SEC Suspends Trading in Securities of C$ cMoney, Inc.
The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of C$ cMoney, Inc. (cMoney), of Houston, Texas at 9:30 a.m. EST on February 16, 2012, and terminating at 11:59 p.m. EST on March 1, 2012.
The Commission temporarily suspended trading in the securities of cMoney because of questions regarding the accuracy of assertions by cMoney, and by others, in press releases to investors and other public statements concerning, among other things, the identity of persons controlling the operations, management and securities of the company, the purported engagement of an independent auditor and the status of the company’s audit.
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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to cMoney’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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 brokers, dealers or other person has any information which may relate to this matter, please call the Fort Worth Regional Office of the Securities and Exchange Commission at (817) 978-3821 or e-mail email@example.com. (Rel. 34-66404)
Commission Suspends Trading in the Securities of Nikron Holdings, Inc.
The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of Nikron Technologies, Inc. (Nikron), of Topeka, Kansas at 9:30 a.m. on February 16, 2012, and terminating at 11:59 p.m. on March 1, 2012.
The Commission temporarily suspended trading in the securities of Nikron because of possible manipulative conduct occurring in the market for the company’s stock. Nikron is quoted on OTC Link operated by OTC Markets Group, Inc. under the ticker symbol “NKRN.”
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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Nikron securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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, Gerald Gross, Assistant Regional Director, of the New York office of the Securities and Exchange Commission should be telephoned at 212-336-0085. (Rel. 34-66405)
SEC Tightens Rules on Advisory Performance Fee Charges
On February 15, 2012, the Securities and Exchange Commission announced it is tightening its rule on investment advisory performance fees to raise the net worth requirement for investors who pay performance fees, by excluding the value of the investor’s home from the net worth calculation.
Under the SEC’s rule, registered investment advisers may charge clients performance fees if the client’s net worth or assets under management by the adviser meet certain dollar thresholds. Investors who meet the net worth or asset threshold are deemed to be “qualified clients,” able to bear the risks associated with performance fee arrangements.
The revised rule will require “qualified clients” to have at least $1 million of assets under management with the adviser, up from $750,000, or a net worth of at least $2 million, up from $1 million. These rule changes conform the rule’s dollar thresholds to the levels set by a Commission order in July 2011. The Commission-ordered increase in the thresholds was required by the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act. In addition, the revised rule will exclude the value of a client’s primary residence and certain property-related debts from the net worth calculation; the change was not required by the Dodd-Frank Act, but is consistent with changes the Commission approved in December to net worth calculations for determining who is an “accredited investor” eligible to invest in certain unregistered securities offerings.
A new grandfather provision to the performance fee rule will permit registered investment advisers to continue to charge clients performance fees if the clients were considered “qualified clients” before the rule changes. In addition, the grandfather provision will permit newly registering investment advisers to continue charging performance fees to those clients they were already charging performance fees.
Finally, the revised rule provides that every five years, the Commission will issue an order making inflation adjustments to the dollar thresholds used to determine whether an individual or company is a qualified client, as required by the Dodd-Frank Act.
The rule amendments will take effect 90 days after publication in the Federal Register, but investment advisers may rely on the grandfather provisions before then. (Press Rel. 2012-29)
In the Matter of James Davis Risher
On February 15, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) against James Davis Risher. The Order finds that on September 9, 2011, Risher pled guilty to one count of mail fraud, one count of money laundering, and one count of engaging in an illegal monetary transaction, in violation of Title 18 United States Code, Sections 1341 and 2, Sections 1956(a)(1)(A)(i) and 2, and Sections 1957 and 2, respectively, before the United States District Court for the Middle District of Florida in the criminal case entitled United States v. James Davis Risher, Case No. 8:11-CR-343-T-23TGW.
From no later than January 2007 through July 2010, Risher was the sole trader for a purported private equity fund operating under various names including the Safe Harbor Private Equity Fund, Managed Capital Fund, and Preservation of Principal Fund (collectively the “Fund”). Count one of the criminal information to which Risher pled guilty alleged, among other things, that Risher defrauded investors and obtained money and property by means of materially false and misleading statements which caused investors to invest their funds with him in the Fund. Count two of the criminal information alleged, among other things, that Risher knowingly conducted a financial transaction involving proceeds from the unlawful activity of mail fraud. Count three alleged, among other things, that Risher knowingly engaged in a monetary transaction involving funds that were the proceeds of his criminal activity of mail fraud.
Based on the above, the Order bars Risher from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Rel. IA-3373; File No. 3-14550)
SEC Charges Two Foreign Companies and their Chairman with Registration Violations in Connection with Promissory Notes and Investments in Fine Wine Interests
On February 15, 2012, the Securities and Exchange Commission charged two non-U.S. companies – Venulum Ltd. (a British Virgin Islands company) and Venulum Inc. (a Canadian company) – and their owner and chairman Giles Cadman (a resident of the United Kingdom), with registration violations in connection with unregistered offers and sales of promissory notes and interests in fine wines. The Commission’s suit alleges that, beginning in 2002, Venulum made unsolicited calls to American investors, primarily dentists, to solicit investments in interests in trading in fine wines to be managed by Venulum. Venulum’s solicitation highlighted its purported expertise in selecting, sourcing, storing and marketing fine wines for the benefit of investors. Then, starting in 2010, Venulum solicited 94 of its wine investors to purchase high-interest promissory notes. Neither of the offerings was registered with the Commission.
Without admitting or denying the Commission’s allegations, the defendants consented to permanent injunctions against violating Sections 5(a) and 5(c) of the Securities Act of 1933. [SEC v. Venulum Ltd., et al., Civil Action No. 3:12-cv-00477-N; USDC, N.D.Tex., Dallas Division] (LR-22258)
SEC Charges Investment Adviser Brenda A. Eschbach With Multi-Year Misappropriation of Client Funds
The Securities and Exchange Commission announced today that on February 14, 2012, it filed a civil injunctive action in the U.S. District Court for the Central District of California charging Brenda A. Eschbach of Tustin, California with violations of the securities fraud, investment advisory fraud, and unregistered broker-dealer provisions of the federal securities laws, Securities and Exchange Commission v. Brenda A. Eschbach, No. SA CV 12 0244 (AG) (JPRx) (C.D. Cal.). In its complaint, the Commission alleged that Eschbach misappropriated over $3 million in investment advisory client funds from 2003 through 2009. The Commission is seeking a permanent injunction against future violations of those provisions, disgorgement of her ill-gotten gains, with prejudgment interest thereon, and a civil money penalty.
The complaint alleges that Eschbach began to misappropriate client funds while operating a franchise of a large investment adviser and broker-dealer and that the theft of client funds continued after Eschbach founded Aventine Investment Services, Inc., a now-defunct California corporation. The complaint further alleges that Eschbach used the misappropriated funds to pay for, among other things, living expenses, business expenses, credit card payments, Mercedes lease payments, private school tuition for her daughter, and trips to Las Vegas and Atlanta and that Eschbach concealed her misappropriations by issuing and mailing false and misleading account statements to those clients whom she had defrauded.
Without denying the Commission’s allegations, Eschbach has consented to entry of a proposed final judgment granting full injunctive relief and ordering disgorgement of $2,561,873, payment of which would be deemed satisfied dollar for dollar by criminal restitution ordered in a related criminal proceeding, U.S. v. Brenda A. Eschbach, 8:10-cr-00017-JVS (C.D. Cal.). Entry of the proposed final judgment is subject to approval by the U.S. District Court for the Central District of California. In the related federal prosecution, Eschbach entered a plea of guilty on September 30, 2011 to one count of mail fraud and one count of money laundering. She is currently awaiting sentencing.
Eschbach has also consented to the issuance of a Commission Order barring her from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any offering of a penny stock. Issuance of such an Order is predicated on entry of the proposed injunction against Eschbach and her plea of guilty in the federal prosecution. [SEC v. Brenda A. Eschbach, No. SA CV 12 0244 (AG) (JPRx) (C.D. Cal.)] (LR-22259)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Stock Exchange, Inc. to amend the fee schedule to implement a clearing submission fee credit for institutional brokers (SR-CHX-2012-05) 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 February 20. (Rel. 34-66391)
The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2012-01) under Section 19(b)(1) of the Securities Exchange Act of 1934 to make a technical correction with respect to the Excess Capital Premium as set forth in Procedure XV (Clearing Fund Formula) of NSCC’s Rules and Procedures. The rule change became effective upon filing. Publication is expected in the Federal Register during the week of February 20. (Rel. 34-66399)
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2012-07) amending Exchange Rule 123C(4) to provide for how certain interest is included in the calculation of MOC and LOC imbalances 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 February 20. (Rel. 34-66400)
A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2012-03) amending Exchange Rule 123C(4) to provide for how certain interest is included in the calculation of MOC and LOC imbalances 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 February 20. (Rel. 34-66401)
A proposed rule change filed by EDGX Exchange, Inc. relating to an offering of a new historical data feed service to Members and Non-Members (SR-EDGX-2012-05) 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 February 20. (Rel. 34-66402)
A proposed rule change filed by EDGA Exchange, Inc. relating to an offering of a new historical data feed service to Members and Non-Members (SR-EDGA-2012-05) 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 February 20. (Rel. 34-66403)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-07) relating to fees for certain Complex Orders executed on the Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 20. (Rel. 34-66406)
Proposed Rule Changes
C2 Options Exchange, Incorporated filed a proposed rule change (SR-C2-2012-004) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, related to stock-option processing. Publication is expected in the Federal Register during the week of February 20. (Rel. 34-66393)
Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2012-005) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, related to stock-option processing. Publication is expected in the Federal Register during the week of February 20. (Rel. 34-66394)
The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2012-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to enhance its margining methodology as applied to municipal and corporate bonds. Publication is expected in the Federal Register during the week of February 20. (Rel. 34-66398)
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes
The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to disapprove proposed rule changes filed by the New York Stock Exchange LLC and NYSE Amex LLC (SR-NYSE-2011-56 and SR-NYSEAmex-2011-86) to codify certain traditional trading floor functions that may be performed by Designated Market Makers and to permit Designated Market Makers and floor brokers access to disaggregated order information. Publication is expected in the Federal Register during the week of February 20. (Rel. 34-66397)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-4 Alexander & Baldwin Holdings, Inc., 822 BISHOP STREET, P.O. BOX 3440, HONOLULU, HI, 96801, (808) 525-6611 - 0 ($1,968,978,084.98) Equity, (File 333-179524 - Feb. 15) (BR. 05) S-8 IN Media Corp, 4920 EL CAMINO REAL, SUITE 100, LOS ALTOS, CA, 94022, 408-849-9499 - 2,000,000 ($200,000.00) Equity, (File 333-179525 - Feb. 15) (BR. 06B) S-8 51JOB, INC., BUILDING 3, NO. 1387 ZHANG DONG ROAD, SHANGHAI, F4, 201203, 8621-6160-1888 - 0 ($112,350,000.00) Equity, (File 333-179526 - Feb. 15) (BR. 08B) S-8 MICRO IMAGING TECHNOLOGY, INC., 23456 S POINTE DR, LAGUNA HILLS, CA, 92653-1512, 9497709347 - 60,000,000 ($234,000.00) Equity, (File 333-179531 - Feb. 15) (BR. 03A) S-8 Myriad Interactive Media, Inc., 7 INGRAM DRIVE SUITE 128, TORONTO, A6, M6M 2L7, 888-648-9366 - 5,000,000 ($525,000.00) Equity, (File 333-179532 - Feb. 15) (BR. 09B) S-11 American Realty Capital Trust, Inc., 106 OLD YORK ROAD, JENKINTOWN, PA, 19046, 215.887.2189 - 0 ($87,285,000.00) Equity, (File 333-179533 - Feb. 15) (BR. 08B) S-1 SUPERFUND GOLD, L.P., P.O.BOX 1479, GRAND ANSE, ST. GEORGE'S, J5, 00000, 473-439-2418 - 0 ($1.00) Limited Partnership Interests, (File 333-179534 - Feb. 15) (BR. 08B) S-3 MULTI COLOR Corp, 4053 CLOUGH WOODS DRIVE, BATAVIA, OH, 45103, 513-381-1480 - 0 ($59,380,500.00) Equity, 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-179535 - Feb. 15) (BR. 05B) S-8 PRO DEX INC, 2361 MCGAW AVENUE, IRVINE, CA, 92614, 949-769-3200 - 500,000 ($1,050,000.00) Equity, (File 333-179536 - Feb. 15) (BR. 10C) S-3 OptimumBank Holdings, Inc., 10197 CLEARY BOULEVARD, PLANTATION, FL, 33324, 954-452-9501 - 21,591,750 ($15,546,060.00) Equity, (File 333-179537 - Feb. 15) (BR. 07B)
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 ----------------------------------------------------------------------------------------- ACCO BRANDS CORP DE 2.02,9.01 02/15/12 ACCURIDE CORP DE 7.01,9.01 02/15/12 ACORN ENERGY, INC. DE 1.01,2.01,7.01,9.01 02/15/12 AGILENT TECHNOLOGIES INC DE 2.02,9.01 02/15/12 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 02/15/12 ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 02/15/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/15/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/15/12 Allied World Assurance Co Holdings, A 2.02,9.01 02/15/12 ALNYLAM PHARMACEUTICALS, INC. 1.01,8.01,9.01 02/15/12 AMACORE GROUP, INC. DE 1.01,2.03,3.02,9.01 02/09/12 AMERICAN AIRLINES INC DE 2.02,9.01 02/15/12 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 02/14/12 AMERICAN EXPRESS CO NY 7.01 02/15/12 AMERICAN INTERNATIONAL VENTURES INC / DE 5.02 02/15/12 AMERICAN NATIONAL BANKSHARES INC VA 7.01,9.01 02/15/12 American Realty Capital Trust, Inc. DE 3.03,5.02,8.01,9.01 02/15/12 American Standard Energy Corp. DE 1.01,2.03,3.02,9.01 02/09/12 American Strategic Minerals Corp NV 3.02,9.01 02/13/12 AMR CORP DE 2.02,9.01 02/15/12 Amtrust Financial Services, Inc. DE 2.02,9.01 02/15/12 Ancestry.com Inc. DE 2.02,9.01 02/15/12 Ancestry.com Inc. DE 5.02,5.03,9.01 02/13/12 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 02/15/12 APOLLO INVESTMENT CORP MD 5.02,9.01 02/15/12 Apps Genius Corp NV 1.01,8.01,9.01 02/09/12 ARCH CAPITAL GROUP LTD. 2.02,9.01 02/14/12 ARCH COAL INC DE 7.01,9.01 02/15/12 Argo Group International Holdings, Lt 2.02,9.01 02/14/12 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 02/15/12 ASSOCIATED BANC-CORP WI 8.01,9.01 02/15/12 ATHENAHEALTH INC DE 2.02,9.01 02/15/12 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 02/15/12 AUBURN NATIONAL BANCORPORATION, INC DE 8.01,9.01 02/14/12 AV Homes, Inc. DE 5.02,5.03,9.01 02/13/12 AVISTA CORP WA 2.02,9.01 02/15/12 AVT, Inc. NV 8.01 02/15/12 AXIS CAPITAL HOLDINGS LTD 7.01,9.01 02/15/12 B&G Foods, Inc. DE 9.01 11/30/11 AMEND BANK OF KENTUCKY FINANCIAL CORP KY 8.01,9.01 02/15/12 BGC Partners, Inc. DE 1.01,8.01,9.01 02/15/12 Black Diamond, Inc. DE 7.01,9.01 02/15/12 BLACKBAUD INC 1.01,2.03,9.01 02/09/12 BLUE NILE INC DE 2.02,9.01 02/15/12 BlueLinx Holdings Inc. DE 2.02,9.01 02/15/12 BOB EVANS FARMS INC DE 2.02,9.01 02/14/12 BROADWAY FINANCIAL CORP \DE\ DE 1.01,9.01 02/10/12 C&J Energy Services, Inc. DE 2.02,7.01,9.01 02/15/12 CABELAS INC DE 7.01,9.01 02/15/12 CAESARS ENTERTAINMENT Corp DE 1.01,2.03,9.01 02/14/12 CAESARS ENTERTAINMENT Corp DE 5.02 02/09/12 CAGLES INC GA 7.01,9.01 01/31/12 Calumet Specialty Products Partners, DE 2.02,9.01 02/15/12 CAMBRIDGE PROJECTS INC. 2.01,5.06 02/08/12 CAMCO FINANCIAL CORP DE 1.01,1.02 02/09/12 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 02/15/12 CASEYS GENERAL STORES INC IA 7.01 02/15/12 CB RICHARD ELLIS REALTY TRUST MD 1.02 01/30/12 CBS CORP DE 2.02,9.01 02/15/12 CELL THERAPEUTICS INC WA 1.01,7.01,9.01 02/13/12 CENTRAL GARDEN & PET CO DE 1.01,2.03,5.02,5.07, 02/13/12 9.01 CENTURYLINK, INC LA 2.02 02/15/12 CF Industries Holdings, Inc. DE 2.02,9.01 02/15/12 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 02/15/12 CHINA SKY ONE MEDICAL, INC. NV 8.01 02/15/12 CIENA CORP DE 1.01,9.01 02/13/12 CIMAREX ENERGY CO DE 2.02,7.01,9.01 02/15/12 CITIBANK OMNI-S MASTER TRUST 8.01 02/15/12 CITIZENS BANCORP OF VIRGINIA INC VA 5.02 02/10/12 CleanTech Biofuels, Inc. 1.02 02/09/12 Clearwire Corp /DE DE 2.02,5.02,9.01 02/10/12 CNB FINANCIAL CORP/PA PA 8.01,9.01 02/14/12 COCA COLA CO DE 5.02,9.01 02/15/12 COLUMBIA LABORATORIES INC DE 1.01,2.01,8.01,9.01 02/10/12 COLUMBUS MCKINNON CORP NY 1.01,2.03,9.01 02/13/12 COMCAST CORP PA 2.02,9.01 02/15/12 COMMUNITY FIRST INC TN 1.01,7.01,9.01 02/09/12 CONCEPTUS INC DE 8.01 02/15/12 CONMED CORP NY 2.02,9.01 02/15/12 CORELOGIC, INC. DE 8.01 02/15/12 CROWN CRAFTS INC DE 2.02,9.01 02/15/12 Crumbs Bake Shop, Inc. DE 5.02,9.01 02/09/12 CURTISS WRIGHT CORP DE 2.02,9.01 02/14/12 CYBEX INTERNATIONAL INC NY 2.02,9.01 02/15/12 DARA BioSciences, Inc. DE 1.01 02/09/12 DDI CORP CA 2.02,8.01,9.01 02/15/12 DEAN FOODS CO DE 2.02,9.01 02/15/12 DEERE & CO DE 2.02,7.01,8.01,9.01 02/15/12 DEERE JOHN CAPITAL CORP DE 2.02,7.01,8.01,9.01 02/15/12 DemandTec, Inc. DE 2.01,3.01,3.03,5.01, 02/14/12 9.01 DENNYS CORP DE 2.02,9.01 02/15/12 DEVON ENERGY CORP/DE DE 2.02,9.01 02/15/12 DEVON ENERGY CORP/DE DE 8.01 02/15/12 Diamond Foods Inc DE 1.02,8.01,9.01 02/14/12 Digital Generation, Inc. DE 2.02,9.01 02/15/12 DIRECTV DE 5.02,9.01 02/09/12 DIVALL INSURED INCOME PROPERTIES 2 LI WI 2.02,7.01,9.01 02/15/12 DOLLAR TREE INC VA 7.01,9.01 02/15/12 DONEGAL GROUP INC DE 8.01,9.01 02/15/12 DOVER Corp DE 5.02 02/09/12 DOW CHEMICAL CO /DE/ DE 8.01,9.01 02/15/12 Dr Pepper Snapple Group, Inc. DE 2.02,9.01 02/15/12 Duff & Phelps Corp DE 2.02,9.01 02/15/12 DYNATRONICS CORP UT 2.02,9.01 02/14/12 DYNEGY HOLDINGS, LLC DE 7.01,9.01 12/22/11 AMEND EASTMAN KODAK CO NJ 8.01 02/15/12 ECO Building Products, Inc. CO 4.01,9.01 02/09/12 AMEND eLayaway, Inc. DE 1.01,2.01,3.02,9.01 02/13/12 EMC INSURANCE GROUP INC IA 1.01,9.01 02/13/12 EMERGING MEDIA HOLDINGS INC NV 2.01,9.01 12/29/11 AMEND EMERSON RADIO CORP DE 2.02,9.01 02/14/12 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 02/15/12 Energy Transfer Equity, L.P. DE 2.02,9.01 02/15/12 Energy Transfer Partners, L.P. DE 2.02,9.01 02/15/12 ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 12/31/11 ENTERPRISE PRODUCTS PARTNERS L P DE 1.01,8.01,9.01 02/15/12 EQUIFAX INC GA 5.02,9.01 02/10/12 EQUINIX INC DE 2.02,9.01 02/15/12 EQUITY ONE, INC. 1.01,2.03,5.02,7.01, 02/10/12 9.01 ERHC Energy Inc CO 8.01,9.01 02/14/12 EV Energy Partners, LP DE 1.01,7.01,9.01 02/10/12 FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 02/15/12 Federal Home Loan Bank of Dallas 2.03,9.01 02/10/12 Federal Home Loan Bank of Seattle 2.02,7.01,9.01 02/15/12 FEDERAL REALTY INVESTMENT TRUST MD 5.02 02/09/12 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 02/15/12 FLUIDIGM CORP DE 8.01,9.01 02/15/12 FMC TECHNOLOGIES INC DE 2.02,9.01 02/14/12 FONAR CORP DE 2.02 12/31/11 Ford Credit Floorplan Master Owner Tr DE 8.01,9.01 02/15/12 Ford Credit Floorplan Master Owner Tr DE 8.01,9.01 02/15/12 FOREST CITY ENTERPRISES INC OH 7.01,9.01 02/14/12 FRESH START PRIVATE MANAGEMENT, INC. NV 4.01,9.01 02/07/12 AMEND FriendFinder Networks Inc. NV 8.01 02/14/12 FS Energy & Power Fund DE 2.02,8.01,9.01 02/14/12 FS Investment CORP MD 2.02,9.01 02/09/12 FSP 303 East Wacker Drive Corp. 7.01,9.01 02/15/12 FSP 50 South Tenth Street Corp 7.01,9.01 02/15/12 FSP GALLERIA NORTH CORP 7.01,9.01 02/15/12 FSP PHOENIX TOWER CORP 7.01,9.01 02/15/12 FX ENERGY INC NV 7.01,9.01 02/15/12 FXCM Inc. 7.01,9.01 02/15/12 GARTNER INC DE 5.02,9.01 02/09/12 GARTNER INC DE 5.02,9.01 02/09/12 AMEND GEN PROBE INC DE 1.01,2.03,9.01 02/10/12 GENTA INC DE/ DE 8.01,9.01 02/15/12 GEOVIC MINING CORP. DE 5.02,9.01 02/14/12 GLOBALSCAPE INC DE 2.01,9.01 12/02/11 AMEND GoldLand Holdings Corp. DE 5.02 02/15/12 GreenHunter Energy, Inc. DE 5.02,9.01 02/14/12 GSE Holding, Inc. DE 1.01,1.02,5.03,8.01, 02/09/12 9.01 GULFMARK OFFSHORE INC DE 5.02,9.01 02/10/12 HANDENI GOLD INC. NV 5.03,9.01 02/14/12 Hanesbrands Inc. MD 2.02,7.01,9.01 02/15/12 HARLEYSVILLE GROUP INC DE 8.01,9.01 02/15/12 HEALTHWAYS, INC DE 2.02,9.01 02/15/12 HENRY SCHEIN INC DE 2.02,9.01 12/31/11 HERSHA HOSPITALITY TRUST MD 5.03,9.01 02/10/12 HITTITE MICROWAVE CORP 5.02 02/09/12 ICEWEB INC DE 2.02,9.01 02/14/12 Imperial Holdings, Inc. 5.02,9.01 02/15/12 IMPERIAL PETROLEUM INC NV 5.02,9.01 02/09/12 INCYTE CORP DE 2.02,9.01 02/15/12 INFINERA CORP DE 5.02 02/13/12 INFOSPACE INC DE 2.02,9.01 02/15/12 INLAND REAL ESTATE CORP MD 8.01,9.01 02/15/12 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 02/09/12 AMEND INNOSPEC INC. DE 2.02,9.01 02/14/12 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,7.01 02/12/12 Internet Patents Corp 8.01 02/15/12 Intrepid Potash, Inc. DE 2.02,9.01 02/15/12 Iron Eagle Group, Inc. DE 9.01 12/13/11 AMEND IRONWOOD PHARMACEUTICALS INC 8.01,9.01 02/09/12 IsoRay, Inc. MN 2.02,9.01 02/15/12 ITRON INC /WA/ WA 2.02,9.01 02/15/12 ITRON INC /WA/ WA 8.01,9.01 02/15/12 J2 GLOBAL, INC. DE 2.02,7.01,9.01 02/14/12 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 02/15/12 JARDEN CORP DE 2.02,9.01 02/15/12 JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 02/15/12 JMP Group Inc. DE 2.02,9.01 02/15/12 Kallo Inc. NV 4.01,9.01 02/10/12 AMEND KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 02/15/12 KELLOGG CO DE 7.01,8.01,9.01 02/15/12 KEYNOTE SYSTEMS INC DE 5.02 02/09/12 LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 02/15/12 Liberator, Inc. FL 2.02,9.01 02/14/12 Liberty Global, Inc. DE 7.01 02/14/12 LogMeIn, Inc. DE 2.02,9.01 02/15/12 Lone Pine Resources Inc. DE 1.01,2.03,7.01,9.01 02/09/12 MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 02/14/12 Manning & Napier, Inc. 2.02,9.01 02/15/12 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 02/15/12 Mattersight Corp DE 2.02,7.01,9.01 02/15/12 MAXWELL TECHNOLOGIES INC DE 8.01,9.01 02/14/12 MEDICINOVA INC DE 8.01,9.01 02/15/12 MEDTOX SCIENTIFIC INC DE 2.02,9.01 02/09/12 MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 02/15/12 MERCER INTERNATIONAL INC. WA 2.02,9.01 02/15/12 Millennium India Acquisition CO Inc. DE 2.01,8.01,9.01 02/15/12 MINDEN BANCORP, INC. LA 2.02,9.01 02/15/12 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/15/12 MONARCH CEMENT CO KS 1.01,2.03,9.01 02/09/12 MUTUALFIRST FINANCIAL INC MD 5.02,9.01 01/18/12 NAPCO SECURITY TECHNOLOGIES, INC DE 2.02,9.01 02/13/12 NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 12/31/11 NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 12/31/11 NATIONAL RESEARCH CORP WI 2.02,9.01 02/14/12 NATURAL RESOURCE PARTNERS LP DE 2.02,7.01,9.01 02/14/12 NetApp, Inc. CA 2.02,9.01 02/15/12 NETFLIX INC DE 5.02 02/13/12 NETLOGIC MICROSYSTEMS INC DE 2.02 02/15/12 NeuroMetrix, Inc. DE 2.02,9.01 02/15/12 NEWPORT CORP NV 7.01,9.01 02/15/12 NEWS CORP 8.01,9.01 02/15/12 NewStar Financial, Inc. 2.02,9.01 02/15/12 NEXAIRA WIRELESS INC. NV 2.04,5.02,8.01 02/14/12 NEXCORE HEALTHCARE CAPITAL CORP CO 2.02,9.01 02/14/12 NGL Energy Partners LP DE 1.01,5.02 01/13/12 Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 02/15/12 NORMAN CAY DEVELOPMENT, INC. NV 7.01,9.01 02/14/12 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 01/31/12 NORTH EUROPEAN OIL ROYALTY TRUST DE 5.07 01/31/12 NORTHEAST UTILITIES MA 1.01,9.01 02/15/12 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 02/09/12 Novelis Inc. A6 5.02,9.01 02/09/12 NPS PHARMACEUTICALS INC DE 2.02,9.01 02/15/12 NSTAR/MA 1.01,9.01 02/15/12 NUVILEX, INC. NV 4.01,9.01 02/09/12 NVIDIA CORP DE 2.02,9.01 02/15/12 Oasis Petroleum Inc. DE 5.02,7.01,9.01 02/13/12 OCEANEERING INTERNATIONAL INC DE 2.02,8.01,9.01 02/15/12 OLD POINT FINANCIAL CORP VA 1.01 02/14/12 Onstream Media CORP FL 7.01,8.01,9.01 02/15/12 Orbitz Worldwide, Inc. DE 7.01,9.01 02/14/12 ORION ENERGY SYSTEMS, INC. WI 3.01,7.01,9.01 02/14/12 OWENS & MINOR INC/VA/ VA 5.02,9.01 02/15/12 Owens Corning DE 2.02,9.01 02/15/12 OYO GEOSPACE CORP DE 8.01,9.01 02/14/12 PALATIN TECHNOLOGIES INC DE 2.02,9.01 02/15/12 Parametric Sound Corp NV 5.07,7.01,9.01 02/15/12 PARKWAY PROPERTIES INC MD 5.02,9.01 02/15/12 PATHEON INC 5.02,9.01 02/15/12 PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,9.01 02/15/12 PINNACLE BANKSHARES CORP VA 5.02 02/14/12 PINNACLE BANKSHARES CORP VA 2.02,9.01 02/13/12 PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 02/15/12 PMX Communities, Inc. NV 5.02,9.01 12/29/11 AMEND PostRock Energy Corp DE 1.01,3.02,7.01,9.01 02/09/12 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 02/13/12 PRESIDENTIAL LIFE CORP DE 5.02,9.01 02/15/12 AMEND PROCTER & GAMBLE Co OH 7.01 02/15/12 PROGRESSIVE CORP/OH/ OH 7.01,9.01 02/15/12 Protalix BioTherapeutics, Inc. FL 2.02,7.01,8.01,9.01 02/15/12 PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 02/15/12 PRUDENTIAL FINANCIAL INC NJ 5.02,9.01 02/14/12 QCR HOLDINGS INC DE 8.01,9.01 02/15/12 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.07 02/14/12 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 02/14/12 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 02/14/12 AMEND RANCON REALTY FUND V CA 7.01,9.01 02/15/12 RARE ELEMENT RESOURCES LTD A1 2.02,7.01,9.01 02/09/12 ReachLocal Inc 2.02,9.01 02/15/12 REALNETWORKS INC WA 2.02,9.01 02/15/12 RESOURCE AMERICA, INC. DE 1.01,9.01 02/15/12 Resource Real Estate Opportunity REIT MD 7.01,8.01 02/09/12 Revolutions Medical CORP NV 1.01,2.03,3.02,9.01 01/10/12 Rockville Financial, Inc. /CT/ CT 8.01,9.01 02/15/12 ROCKWELL MEDICAL TECHNOLOGIES INC MI 8.01,9.01 02/15/12 ROCKY BRANDS, INC. OH 2.02,9.01 02/15/12 Roundy's, Inc. DE 1.01,1.02,2.03,5.02, 02/13/12 9.01 RSC Holdings Inc. DE 8.01,9.01 02/15/12 RUSH ENTERPRISES INC \TX\ TX 2.02,9.01 02/14/12 SAN JUAN BASIN ROYALTY TRUST TX 8.01,9.01 02/15/12 SANTARUS INC DE 8.01,9.01 02/15/12 SBT Bancorp, Inc. CT 8.01,9.01 02/14/12 SCANA CORP SC 2.02,9.01 02/15/12 SENESCO TECHNOLOGIES INC DE 2.02,9.01 02/15/12 Sibling Entertainment Group Holdings, TX 5.02 02/12/12 Silver Dragon Resources Inc. DE 7.01,9.01 02/15/12 Silver Falcon Mining, Inc. DE 5.02 02/15/12 Six Flags Entertainment Corp 2.02,9.01 02/15/12 SKECHERS USA INC DE 2.02,9.01 02/15/12 SMARTPAY EXPRESS, INC. NV 4.01,5.02,9.01 01/10/12 AMEND SOUTHERN COMMUNITY FINANCIAL CORP 5.02 02/10/12 SquareTwo Financial Corp DE 8.01,9.01 02/15/12 STIFEL FINANCIAL CORP DE 2.02,9.01 02/15/12 STONERIDGE INC OH 2.02,9.01 02/13/12 Sunset Suits Holdings, Inc. NV 1.01,2.01,9.01 02/15/12 Surna Inc. NV 2.01,9.01 09/01/11 AMEND Sutor Technology Group LTD 5.02,9.01 02/09/12 SVB FINANCIAL GROUP 7.01,9.01 02/15/12 Symetra Financial CORP DE 8.01,9.01 02/15/12 SYNNEX CORP DE 4.01,9.01 02/09/12 SYNTA PHARMACEUTICALS CORP 5.02 02/10/12 TANGOE INC DE 2.02,9.01 02/15/12 TEAMSTAFF INC NJ 2.02,9.01 02/15/12 TEAMSTAFF INC NJ 2.02,9.01 02/15/12 AMEND TECHNEST HOLDINGS INC NV 8.01,9.01 02/15/12 TechTarget Inc 2.02,5.02,9.01 02/14/12 TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 02/15/12 TEREX CORP DE 2.02,7.01,9.01 02/15/12 TERRA NITROGEN CO L P /DE DE 2.02,9.01 02/15/12 TESLA MOTORS INC DE 2.02,9.01 02/15/12 THERMOGENESIS CORP DE 8.01 02/15/12 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 02/14/12 TITAN INTERNATIONAL INC IL 5.02,9.01 02/13/12 TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 12/31/11 TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 02/15/12 TransDigm Group INC DE 1.01,7.01,9.01 02/15/12 TRANSGLOBAL ASSETS, INC. NV 8.01 02/01/12 Travelport LTD D0 5.02,9.01 02/10/12 TrovaGene Inc. DE 3.02,9.01 02/10/12 UNITED AMERICAN HEALTHCARE CORP MI 1.01,8.01,9.01 02/09/12 UNITED RENTALS INC /DE DE 8.01,9.01 02/14/12 UNIVERSAL DETECTION TECHNOLOGY CA 3.02 02/09/12 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 02/15/12 V F CORP PA 5.03,9.01 02/14/12 VALIDUS HOLDINGS LTD 7.01,9.01 02/15/12 VALMONT INDUSTRIES INC DE 2.02,9.01 02/14/12 VARIAN MEDICAL SYSTEMS INC DE 5.07 02/09/12 VARIAN MEDICAL SYSTEMS INC DE 5.02 08/05/11 AMEND ViewPoint Financial Group Inc. 8.01,9.01 02/15/12 VONAGE HOLDINGS CORP DE 2.02,9.01 02/15/12 VONAGE HOLDINGS CORP DE 5.02 02/09/12 Voyager Oil & Gas, Inc. DE 1.01,1.02,2.03,9.01 02/10/12 Vringo Inc DE 1.01,9.01 02/09/12 Vulcan Materials CO NJ 5.02,9.01 02/09/12 WABASH NATIONAL CORP /DE DE 7.01,9.01 02/15/12 WATSCO INC FL 2.02,7.01,9.01 02/15/12 WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 02/15/12 WELLS FARGO & CO/MN DE 9.01 02/15/12 WELLS FARGO & CO/MN DE 9.01 02/15/12 Westway Group, Inc. DE 1.01,3.02,8.01,9.01 02/13/12 WILLIS GROUP HOLDINGS PLC L2 2.02,9.01 02/14/12 WSI INDUSTRIES, INC. MN 1.01,2.03,9.01 02/15/12 Xun Energy, Inc. NV 1.01,9.01 02/13/12 YAHOO INC DE 8.01 02/14/12 Zalicus Inc. DE 8.01,9.01 02/15/12 ZILLOW INC WA 2.02,9.01 02/15/12