Closed Meeting on Thursday, April 5, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, April 5, 2012, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
In the Matter of Thermo Tech Technologies Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Thermo Tech Technologies Inc., Admin. Proc. File No. 3-14725. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Thermo Tech Technologies Inc., T.V.G. Technologies Ltd., and Visual Frontier, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-66689; File No. 3-14725)
In the Matter of China Convergent Corp., Ltd.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in China Convergent Corp., Ltd., Admin. Proc. No. 3-14730. The Order Instituting Proceedings alleged that China Convergent Corp., Ltd. (China Convergent), repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of China Convergent, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-66690; File No. 3-14730)
In the Matter of China Ventures Limited and Chinatek, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in China Ventures Limited, Admin. Proc. No. 3-14735. The Order Instituting Proceedings alleged that China Ventures Limited (China Ventures) and Chinatek, Inc. (Chinatek), repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of China Ventures and Chinatek, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-66691; File No. 3-14735)
In the Matter of JC Acquisition Corp.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Two Respondents (Default Order) in JC Acquisition Corp., Admin. Proc. No. 3-14771. The Order Instituting Proceedings alleged that L.B. Nelson Corp. and National Community Builders, Inc., (collectively, Respondents) repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Respondents, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
JC Acquisition Corp. submitted an Offer of Settlement that has been accepted by the Commission. See JC Acquisition Corp., Exchange Act Release No. 66587 (Mar. 14, 2012). This proceeding is still ongoing as to Lakeside Mortgage Fund LLC. (Rel. 34-66692; File No. 3-14771)
In the Matter of Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.)
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Three Respondents (Default Order) in Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.), Admin. Proc. File No. 3-14767. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Lions Petroleum, Inc. (n/k/a China Hongxing Agritech, Inc.), MDI, Inc., and MobilePro Corp. and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-66693; File No. 3-14767)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of topjobs.net PLC, Tropika International Ltd., Tsunami Media Corp., T.Z.F. International Investments, Inc., and Vantage Enterprises Corp. (n/k/a African Gemstones Ltd.) have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66694; File No. 3-14786)
SEC Files Subpoena Enforcement Action Against Wells Fargo for Failure to Produce Documents in Mortgage-Backed Securities Investigation
On March 23, 2012, the Securities and Exchange Commission filed a subpoena enforcement action in the U.S. District Court for the Northern District of California against Wells Fargo & Company. According to the filing, the Commission is investigating possible fraud in connection with Wells Fargo’s sale of nearly $60 billion in residential mortgage-backed securities to investors. Pursuant to subpoenas dating back to September 2011, the bank was obligated to produce (and agreed to produce) documents to the Commission, but has failed to do so. Accordingly, the Commission filed its Application for an Order Requiring Compliance with Administrative Subpoenas.
The Commission’s action relates to its investigation into whether Wells Fargo made material misrepresentations or omitted material facts in a series of offerings between September 2006 and early 2008. The Commission’s application explains that, in connection with the securitization of the loans, a due diligence review of a sample of the loans in each offering was performed. Certain loans within that sample would be dropped from the offering for failure to comply with Wells Fargo’s loan underwriting standards. However, according to the Commission, it does not appear that Wells Fargo took any steps to address similar deficiencies in the remainder of the loans in the pool, which were securitized and sold to investors. The Commission is investigating, among other things, whether Wells Fargo misrepresented to investors that the loans being securitized complied with the bank’s loan underwriting standards.
The staff in the Commission’s San Francisco Regional Office issued several subpoenas to Wells Fargo since September 2011 seeking, among other things, materials related to due diligence and to the bank’s underwriting guidelines. According to the Commission, Wells Fargo agreed to produce the documents, and set forth a timetable for doing so, yet has failed to produce many of the materials.
Pursuant to its Application, the Commission is seeking an order from the federal district court compelling Wells Fargo to comply with the Commission’s administrative subpoenas and to produce all responsive materials to the staff. The Commission notes that it is continuing to conduct a fact-finding inquiry and has not concluded that anyone has broken the law. [SEC v. Wells Fargo & Company, Civil Action No. CV-1280087 CRB Misc. (N.D. Cal.] (LR-22305)
British Virgin Islands Corporation and Resident of Switzerland Settle Charges of Insider Trading in the Options of InterMune, Inc.
On March 29, 2012, the Honorable George B. Daniels, U.S. District Judge for the Southern District of New York, entered a settled final judgment for insider trading in the options of InterMune, Inc. as to Michael S. Sarkesian, a Swiss citizen and resident, and Quorne Ltd., a British Virgin Islands limited liability company wholly owned by a Cyprus trust maintained for the benefit of a Sarkesian relation. The alleged illicit trading by Sarkesian and Quorne took place ahead of a December 17, 2010 announcement that the European Union’s Committee for Medicinal Products for Human Use, or CHMP, had recommended to the European Commission that it permit InterMune to market its developmental drug, Esbriet, in the European Union. Sarkesian and Quorne consented to the entry of the final judgment, which imposes injunctive and monetary relief. The Commission also announced that on March 27, 2012, it amended its complaint, filed on December 23, 2010 against one or more unknown purchasers of the options of InterMune, to name Sarkesian and Quorne as defendants.
In its amended complaint, the Commission alleges that Sarkesian was tipped to material non-public information concerning the CHMP’s recommendation in advance of the December 17 announcement and that, while in possession of this material non-public information, Sarkesian exercised his authority to manage and administer Quorne’s funds by recommending to Quorne that it purchase InterMune call options. As a result, Sarkesian caused Quorne to purchase 400 InterMune call options through a brokerage account in Switzerland on December 7 and 8, 2010. The market price of the 400 options rose over 500% following the December 17 announcement.
On December 23, 2010, on the same day that the Commission filed its initial complaint, the Court entered a Temporary Restraining Order freezing assets and trading proceeds from the alleged illicit trading and prohibiting the then-unknown purchasers from disposing of the options or any proceeds from the sale of the options. Quorne later sold the 400 options, the proceeds of which have remained frozen by Court order.
Without admitting or denying the allegations of the amended complaint, Quorne and Sarkesian consented to entry of a final judgment enjoining them from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and ordering them jointly and severally to pay $616,000 in disgorgement and $93,806.17 in civil penalties pursuant to Exchange Act Section 21A. The monetary sanctions will be paid out of the frozen funds. [SEC v. Quorne Limited and Michael Sarkesian, 10-cv-9560 (GBD) (S.D.N.Y)] (LR-22312)
SEC v. Frederick S. Schiff and Richard J. Lane
The Securities and Exchange Commission announced that on March 27, 2012, the United States District Court in New Jersey entered final judgments against Frederick S. Schiff, former CFO of Bristol-Myers Squibb Co. (Bristol Myers) and Richard J. Lane, former President of the Worldwide Medicines Group for Bristol Myers. Schiff and Lane consented to the entry of the final judgments without admitting or denying the allegations of the Commission’s complaint.
The Commission’s complaint alleged that for the period January 1, 2000 through December 31, 2001, Schiff and Lane deceived the investing public about the true performance, profitability and growth trends of Bristol Myers and at their direction, Bristol Myers engaged in a “channel-stuffing” scheme. The complaint alleged that Bristol Myers used financial incentives to induce wholesalers to buy its pharmaceutical products in excess of prescription demand in order to artificially inflate its results, which in turn was necessary in order to meet Bristol Myers’ internal earnings targets and the consensus earnings estimates of Wall Street securities analysts. The complaint alleged that by doing so, Bristol Myers improperly recognized revenue from pharmaceutical sales associated with the channel-stuffing.
Schiff consented to a final judgment permanently enjoining him from violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, requiring him to pay disgorgement plus prejudgment interest totaling $130,992, and barring him from serving as an officer or director of a public company for one year. Lane consented to a final judgment permanently enjoining him from violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, requiring him to pay disgorgement plus prejudgment interest totaling $36,750, and barring him from serving as an officer or director of a public company for one year. [SEC v. Frederick S. Schiff and Richard J. Lane, (U.S.D.C. NJ, Case Number 05cv4132] (LR-22313)
Sunwest Rollover Member LLC
A notice has been issued giving interested persons until April 23, 2012 to request a hearing on an application filed by Sunwest Rollover Member LLC for an order under sections 6(c) and 6(e) of the Investment Company Act of 1940 (Act) exempting it from certain provisions of the Act and the rules thereunder until the earlier of August 5, 2015 or such time as it no longer meets the definition of an investment company under the Act. (Rel. IC-30014 - March 29)
Proposed Rule Changes
The Options Clearing Corporation filed a proposed rule change (SR-OCC-2012-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to more closely align OCC's By-Laws and Rules with regulatory requirements related to “Statutory Disqualifications.” Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66676)
The Fixed Income Clearing Corporation (FICC) filed a proposed rule change (SR-FICC-2012-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to expand the one-pot cross-margining program with New York Portfolio Clearing, LLC to certain “market professionals.” Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66679)
Designation of Longer Period For Commission Action on Proposed Rules
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings whether to disapprove proposed rule changes (SR-BATS-2011-038; SR-BYX-2011-025; SR-BX-2011-068; SR-CBOE-2011-087; SR-C2-2011-024; SR-CHX-2011-30; SR-EDGA-2011-31; SR-EDGX-2011-30; SR-FINRA-2011-054; SR-ISE-2011-61; SR-NASDAQ-2011-131; SR-NSX-2011-11; SR-NYSE-2011-48; SR-NYSEAmex-2011-73; SR-NYSEArca-2011-68; SR-Phlx-2011-129) filed by BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; C2 Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; and NASDAX OMX PHLX LLC relating to trading halts due to extraordinary market volatility. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66680)
Accelerated Approval of Proposed Rule Change
The Commission issued notice of filing of Amendment No. 3, and granted accelerated approval to a proposed rule change, as modified by Amendments Nos. 1, 2, and 3, submitted by the Financial Industry Regulatory Authority, Inc (SR-FINRA-2011-035), pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to adopt FINRA Rules 2210 (Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), 2214 (Requirements for the Use of Investment Analysis Tools), 2215 (Communications with the Public Regarding Security Futures), and 2216 (Communications with the Public About Collateralized Mortgage Obligations (CMOs)) in the Consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66681)
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 Valmie Resources, Inc., 9190 DOUBLE DIAMOND PARKWAY, RENO, NV, 89521, 801-205-4191 - 1,440,000 ($144,000.00) Equity, (File 333-180424 - Mar. 29) (BR. 09) S-3 ATP OIL & GAS CORP, 4600 POST OAK PL, STE 200, HOUSTON, TX, 77027, 7136223311 - 8,800,000 ($71,808,000.00) Equity, 8,800,000 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-180425 - Mar. 29) (BR. 04A) S-1 GLOBUS MEDICAL INC, 405 GREENE LANE, PHOENIXVILLE, PA, 19460, 6109943164 - 0 ($100,000,000.00) Equity, (File 333-180426 - Mar. 29) (BR. 10A) S-8 CLICKSOFTWARE TECHNOLOGIES LTD, 35 CORPORATE DRIVE, SUITE 400, BURLINGTON, MA, 01803, 4083776088 - 800,000 ($10,304,000.00) Equity, (File 333-180433 - Mar. 29) (BR. 03C) S-8 Rexnord Corp, 4701 GREENFIELD AVENUE, MILWAUKEE, WI, 53214, 414-643-3000 - 0 ($59,525,220.48) Equity, (File 333-180434 - Mar. 29) (BR. 10C) S-8 FSI INTERNATIONAL INC, 3455 LYMAN BLVD., CHASKA, MN, 55318, 9524485440 - 0 ($5,010,000.00) Equity, (File 333-180438 - Mar. 29) (BR. 10A) S-3ASR Rosetta Resources Inc., 717 TEXAS, SUITE 2800, HOUSTON, TX, 77002, (713) 335-4133 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180439 - Mar. 29) (BR. 04A) S-1 OMEGA COMMERCIAL FINANCE CORP, 200 S. BISCAYNE BLVD SUITE 4450, MIAMI, FL, 33131, 305-677-0306 - 2,000,000 ($40,000.00) Equity, (File 333-180443 - Mar. 29) (BR. 07C) F-1 Seanergy Maritime Holdings Corp., 1-3 PATRIARCHOU GRIGORIOU, 16674 GLYFADA, ATHENS, J3, 10673, 30 210 9638461 - 4,641,620 ($16,292,086.00) Equity, (File 333-180444 - Mar. 29) (BR. 05C) S-3ASR CORPORATE OFFICE PROPERTIES TRUST, 6711 COLUMBIA GATEWAY DRIVE, SUITE 300, COLUMBIA, MD, 21046, 4432855400 - 0 ($0.00) Equity, (File 333-180446 - Mar. 29) (BR. 08C) S-3ASR CORPORATE OFFICE PROPERTIES TRUST, 6711 COLUMBIA GATEWAY DRIVE, SUITE 300, COLUMBIA, MD, 21046, 4432855400 - 0 ($1.00) Equity, (File 333-180447 - Mar. 29) (BR. 08C) S-3 NeurogesX Inc, 2215 BRIDGEPOINTE PARKWAY, SUITE 200, SAN MATEO, CA, 94404, 650-358-3300 - 2,969,685 ($1,752,114.15) Equity, (File 333-180448 - Mar. 29) (BR. 01A) S-1 ADMA BIOLOGICS, INC., 65 COMMERCE WAY, HACKENSACK, NJ, 07601, (201) 478-5552 - 1,969,026 ($18,902,650.00) Equity, (File 333-180449 - Mar. 29) (BR. 05A) S-8 Rexnord Corp, 4701 GREENFIELD AVENUE, MILWAUKEE, WI, 53214, 414-643-3000 - 0 ($150,300,000.00) Equity, (File 333-180450 - Mar. 29) (BR. 10C) S-8 Liberator, Inc., 2745 BANKERS INDUSTRIAL DRIVE, ATLANTA, GA, 30360, 770-246-6426 - 5,000,000 ($900,000.00) Equity, (File 333-180451 - Mar. 29) (BR. 06A) S-3ASR INTERNATIONAL GAME TECHNOLOGY, 6355 SOUTH BUFFALO DRIVE, LAS VEGAS, NV, 89113, 7026697777 - 0 ($0.00) Debt, (File 333-180452 - Mar. 29) (BR. 06B) S-8 COMMTOUCH SOFTWARE LTD, 4086534330 - 1,500,000 ($4,462,500.00) Other, (File 333-180453 - Mar. 29) (BR. 11C) S-8 HEICO CORP, 3000 TAFT ST, HOLLYWOOD, FL, 33021, 954-987-4000 - 417,706 ($21,678,941.40) Equity, (File 333-180454 - Mar. 29) (BR. 05B) S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 80,329 ($1,667,630.04) Equity, (File 333-180455 - Mar. 29) (BR. 03C) S-1 NEW PEOPLES BANKSHARES INC, 2 GENT DR, HONAKER, VA, 24260, 5407782294 - 0 ($37,555,000.00) Equity, (File 333-180456 - Mar. 29) (BR. 07B) S-8 HEICO CORP, 3000 TAFT ST, HOLLYWOOD, FL, 33021, 954-987-4000 - 240,000 ($11,060,400.00) Equity, (File 333-180457 - Mar. 29) (BR. 05B) S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 0 ($22,897,857.86) Equity, (File 333-180458 - Mar. 29) (BR. 03C) S-1 KOLASCO CORP, 1005-63 CALLOWHILL DR., TORONTO, A6, M9R 3L6, 416 249 0434 - 1,600,000 ($48,000.00) Equity, (File 333-180459 - Mar. 29) (BR. ) S-3 NovaBay Pharmaceuticals, Inc., 5980 HORTON STREET, SUITE 550, EMERYVILLE, CA, 94608, (510) 899-8800 - 0 ($50,000,000.00) Equity, (File 333-180460 - Mar. 29) (BR. 01B) S-8 NovaBay Pharmaceuticals, Inc., 5980 HORTON STREET, SUITE 550, EMERYVILLE, CA, 94608, (510) 899-8800 - 1,000,000 ($1,360,000.00) Equity, (File 333-180461 - Mar. 29) (BR. 01B) S-8 Franklin Financial Corp, 4501 COX ROAD, GLEN ALLEN, VA, 23060, 804-967-7000 - 2,002,398 ($27,312,708.00) Equity, (File 333-180462 - Mar. 29) (BR. 07C) S-8 GENESCO INC, GENESCO PK 1415 MURFREESBORO RD, NASHVILLE, TN, 37217, 6153677000 - 0 ($93,166,299.00) Equity, (File 333-180463 - Mar. 29) (BR. 09A)
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 ----------------------------------------------------------------------------------------- Acadia Healthcare Company, Inc. DE 5.02 03/23/12 Accretive Health, Inc. DE 8.01 03/29/12 ACL SEMICONDUCTORS INC 1.01 03/09/12 ADMA BIOLOGICS, INC. DE 1.01,2.01,3.02,4.01, 02/13/12 AMEND 5.01,5.02,5.03,5.06, 9.01 ADVANCED ENVIRONMENTAL RECYCLING TECH DE 5.02 03/29/12 Aegerion Pharmaceuticals, Inc. DE 1.01,2.03,9.01 03/28/12 AEHR TEST SYSTEMS CA 2.02,9.01 02/29/12 AIR PRODUCTS & CHEMICALS INC /DE/ DE 7.01,9.01 03/29/12 ALLIANCE BANKSHARES CORP 5.02,9.01 03/23/12 American Assets Trust, Inc. MD 7.01,9.01 03/29/12 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 03/29/12 American Energy Development Corp. NV 7.01,9.01 03/29/12 American Realty Capital Properties, I MD 7.01,9.01 03/29/11 American Realty Capital Trust, Inc. DE 8.01,9.01 03/29/12 Amerilithium Corp. NV 1.01,3.02,9.01 03/12/12 AMEND ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 03/29/12 Ascent Capital Group, Inc. DE 2.03,7.01,9.01 03/23/12 ASSOCIATED BANC-CORP WI 5.02,9.01 03/23/12 ASURE SOFTWARE INC DE 2.02,8.01,9.01 03/27/12 Atlantic Coast Financial CORP MD 2.02 03/26/12 BA Credit Card Funding, LLC DE 9.01 03/29/12 BankFinancial CORP 8.01,9.01 03/28/12 BankGuam Holding Co 5.03,9.01 03/26/12 BARRETT BUSINESS SERVICES INC MD 3.03,5.01,5.03,8.01, 03/27/12 9.01 BEACON POWER CORP DE 7.01,9.01 03/28/12 Behringer Harvard Opportunity REIT II MD 7.01,9.01 03/29/12 BELK INC 2.02,8.01,9.01 03/29/12 BEST BUY CO INC MN 2.02,2.05,7.01,9.01 03/29/12 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01 03/29/12 BLOUNT INTERNATIONAL INC DE 5.02,9.01 03/26/12 BLUEGREEN CORP MA 2.02,9.01 03/28/12 Boomerang Systems, Inc. DE 7.01 03/29/12 BORGWARNER INC DE 5.02 03/27/12 BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 03/29/12 CACHE INC FL 2.02,9.01 03/29/12 CALAIS RESOURCES INC 2.04 03/23/12 CAMCO FINANCIAL CORP DE 2.02,9.01 03/29/12 Capital Financial Holdings, Inc ND 5.02,9.01 03/23/12 CAPITOL BANCORP LTD MI 2.02,9.01 03/29/12 CASCADE BANCORP OR 8.01,9.01 03/27/12 CENTERLINE HOLDING CO DE 2.02,9.01 12/31/11 CENTRAL BANCORP INC /MA/ MA 5.02,9.01 03/29/12 CENTURY CASINOS INC /CO/ DE 2.02 12/31/11 CHARMING SHOPPES INC PA 7.01,9.01 03/28/12 Chelsea Therapeutics International, L DE 8.01,9.01 03/28/12 CHESAPEAKE UTILITIES CORP DE 7.01,9.01 03/29/12 CHEVRON CORP DE 5.02,5.03,8.01,9.01 03/28/12 CHINA SKY ONE MEDICAL, INC. NV 4.01,9.01 03/12/12 AMEND China TransInfo Technology Corp. NV 2.02,7.01,9.01 03/29/12 CIFC Corp. DE 2.02,8.01,9.01 03/29/12 CITY HOLDING CO WV 7.01 03/28/12 CITY HOLDING CO WV 5.02 03/28/12 CLEAR SYSTEM RECYCLING, INC. NV 5.01,5.02,8.01,9.01 03/26/12 CLECO CORP LA 8.01 03/29/12 CNO Financial Group, Inc. DE 7.01,9.01 03/29/12 COMMERCETEL CORP NV 4.02,7.01,9.01 03/26/12 COMMONWEALTH EDISON CO IL 1.01,1.02,2.03,9.01 03/28/12 CONNECTICUT LIGHT & POWER CO CT 1.01,2.03 03/26/12 CORCEPT THERAPEUTICS INC DE 1.01,3.02,8.01,9.01 03/25/12 CORONADO BIOSCIENCES INC DE 2.02,9.01 03/29/12 CORPORATE PROPERTY ASSOCIATES 15 INC MD 8.01 03/29/12 CRA INTERNATIONAL, INC. MA 5.02 03/23/12 CRIMSON EXPLORATION INC. 8.01,9.01 03/29/12 Cryoport, Inc. NV 5.02,7.01,9.01 03/29/12 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 03/29/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 1.01 03/28/12 CYTOMEDIX INC DE 9.01 02/08/12 AMEND DARA BioSciences, Inc. DE 1.01 03/23/12 Deer Consumer Products, Inc. NV 2.02,9.01 03/29/12 Demandware Inc DE 5.02,9.01 03/29/12 DIGITAL POWER CORP CA 2.02,9.01 03/29/12 DigitalTown, Inc. MN 4.01,9.01 03/22/12 AMEND Discover Card Execution Note Trust DE 1.01,8.01,9.01 03/29/12 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 03/29/12 Domark International Inc. NV 8.01,9.01 03/29/12 DPL INC OH 4.01,9.01 03/27/12 AMEND DREAMS INC UT 2.02,9.01 03/29/12 DRI CORP NC 1.03 03/25/12 DUCOMMUN INC /DE/ DE 5.02,9.01 03/23/12 DUNE ENERGY INC DE 2.02,9.01 03/23/12 DURECT CORP DE 1.02,9.01 03/28/12 EC Development, Inc. DE 8.01,9.01 03/20/12 EC Development, Inc. DE 1.01,3.02,9.01 03/28/12 ECOLOGY COATINGS, INC. NV 3.02 03/29/12 Envision Solar International, Inc. NV 3.02,8.01 03/22/12 EVCARCO, INC. NV 5.02,9.01 03/27/12 EXAR CORP DE 2.05,9.01 03/28/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 8.01,9.01 03/29/12 Federal Home Loan Bank of Atlanta X1 2.03 03/29/12 Federal Home Loan Bank of Boston X1 2.03 03/27/12 Federal Home Loan Bank of Chicago X1 2.03 03/26/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/27/12 Federal Home Loan Bank of New York X1 2.03,9.01 03/26/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/26/12 Federal Home Loan Bank of San Francis X1 2.03 03/26/12 Federal Home Loan Bank of Seattle 2.03 03/27/12 Federal Home Loan Bank of Topeka 2.03,9.01 03/26/12 Federal Home Loan Bank of Topeka 7.01,9.01 03/29/12 FIRST INDUSTRIAL LP DE 7.01,9.01 03/29/12 FIRST INDUSTRIAL REALTY TRUST INC MD 7.01,9.01 03/29/12 FIRSTMERIT CORP /OH/ OH 7.01,9.01 03/29/12 FLOWERS FOODS INC GA 8.01,9.01 03/29/12 FOREST CITY ENTERPRISES INC OH 2.02,9.01 03/29/12 Fortegra Financial Corp DE 5.02 03/23/12 FRANKLIN COVEY CO UT 2.02,5.02,8.01,9.01 03/26/12 FriendFinder Networks Inc. NV 2.02,9.01 03/29/12 FROZEN FOOD EXPRESS INDUSTRIES INC TX 1.01 03/29/12 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 03/29/12 FSB Community Bankshares Inc X1 5.02,9.01 03/28/12 FUEL DOCTOR HOLDINGS, INC. DE 1.01,9.01 03/10/12 FULLER H B CO MN 2.02,9.01 03/28/12 Gaming Partners International CORP NV 2.02,9.01 03/29/12 GASCO ENERGY INC NV 2.02,9.01 03/28/12 GENCORP INC OH 2.02,7.01,9.01 03/29/12 General Maritime Corp / MI 1.01,8.01,9.01 03/26/12 GENTA INC DE/ DE 1.01,3.02,9.01 03/28/12 GENUINE PARTS CO GA 7.01,9.01 03/29/12 Georgia-Carolina Bancshares, Inc GA 5.02 03/27/12 GeoVax Labs, Inc. DE 2.02,9.01 03/28/12 GLOBAL AXCESS CORP NV 2.02,7.01,9.01 03/29/12 Government Properties Income Trust MD 9.01 03/29/12 GRAPHON CORP/DE DE 5.02 03/23/12 Graymark Healthcare, Inc. OK 2.02,9.01 03/29/12 Great Wolf Resorts, Inc. DE 8.01,9.01 03/28/12 GREEN DOT CORP DE 1.01 03/23/12 Greenwood Gold Resources, Inc. NV 8.01 02/06/12 AMEND GTSI CORP DE 2.02,9.01 03/29/12 GTSI CORP DE 2.02,9.01 03/29/12 HARBINGER GROUP INC. DE 1.02,8.01 03/28/12 HAWKINS INC MN 5.02,7.01,9.01 03/29/12 HCP, INC. MD 1.01,2.03,7.01,9.01 03/27/12 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 03/29/12 HEICO CORP FL 5.02,5.07,9.01 03/26/12 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 5.02,9.01 03/27/12 HINES REAL ESTATE INVESTMENT TRUST IN 2.02,9.01 03/29/12 Hoku Corp DE 5.02,9.01 03/28/12 HOMEAWAY INC DE 5.02,9.01 03/27/12 HQ Global Education Inc. DE 5.02,9.01 03/28/12 Hubei Minkang Pharmaceutical Ltd. NV 8.01,9.01 03/28/12 ICON INCOME FUND EIGHT B LP DE 7.01,9.01 03/29/12 ICON INCOME FUND NINE LLC 7.01,9.01 03/29/12 ICON INCOME FUND TEN LLC DE 7.01,9.01 03/29/12 ICON LEASING FUND ELEVEN, LLC DE 7.01 03/26/12 IDENIX PHARMACEUTICALS INC DE 5.02 03/27/12 IMAGING3 INC CA 1.01,3.02,9.01 03/28/12 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 03/20/12 IMPERIAL INDUSTRIES INC DE 2.02 03/29/12 INFRAX SYSTEMS, INC. NV 8.01 03/29/12 INTERMOLECULAR INC DE 1.01 03/28/12 INUVO, INC. NV 2.02,7.01,9.01 03/28/12 IVANHOE ENERGY INC 2.02,9.01 03/15/12 JETBLUE AIRWAYS CORP DE 7.01 03/29/12 JETBLUE AIRWAYS CORP DE 7.01 03/29/12 JPMORGAN CHASE & CO DE 8.01,9.01 03/29/12 KBS Real Estate Investment Trust III, MD 1.01,2.01,2.03,9.01 03/27/12 KIT digital, Inc. DE 5.02,9.01 03/23/12 KVH INDUSTRIES INC \DE\ DE 5.02 03/29/12 LAS VEGAS SANDS CORP NV 1.02 03/28/12 Latitude Solutions, Inc. NV 2.01,5.02,7.01,8.01, 03/16/12 9.01 LEARNING TREE INTERNATIONAL INC DE 5.07 03/28/12 LGL GROUP INC DE 2.02,7.01,9.01 03/28/12 LGL GROUP INC DE 7.01,9.01 03/29/12 Li3 Energy, Inc. NV 1.01 03/23/12 Liberty Global, Inc. DE 7.01 03/29/12 Liberty Global, Inc. DE 7.01 03/29/12 Limoneira CO DE 5.07 03/27/12 LINCOLN NATIONAL CORP IN 8.01,9.01 03/29/12 LORAL SPACE & COMMUNICATIONS INC. DE 5.02,8.01,9.01 03/28/12 MACROSOLVE INC OK 1.01,2.03,9.01 03/26/12 MAGELLAN GOLD Corp NV 2.03,9.01 02/28/12 AMEND MAINSOURCE FINANCIAL GROUP IN 7.01 03/29/12 MANNATECH INC TX 2.02,9.01 03/28/12 MAP Pharmaceuticals, Inc. DE 4.02 03/28/12 MAP Pharmaceuticals, Inc. DE 2.02,9.01 03/29/12 MATERION Corp 7.01,9.01 03/29/12 MEDICINOVA INC DE 2.02,9.01 03/28/12 MEDICINOVA INC DE 7.01 03/28/12 MENS WEARHOUSE INC TX 8.01,9.01 03/27/12 Mercedes-Benz Auto Lease Trust 2012-A DE 8.01,9.01 03/22/12 Merriman Holdings, Inc DE 2.02,9.01 03/29/12 MICROWAVE FILTER CO INC /NY/ NY 5.07 03/29/12 MMRGlobal, Inc. DE 2.02,9.01 03/29/12 MOSAIC CO 2.02,9.01 03/28/12 MOVADO GROUP INC NY 2.02,7.01,9.01 03/29/12 NBC ACQUISITION CORP DE 1.01,9.01 03/23/12 Neiman Marcus, Inc. DE 5.02,8.01,9.01 03/28/12 NeoStem, Inc. DE 1.01,8.01,9.01 03/29/12 NEWLINK GENETICS CORP 2.02,8.01,9.01 03/29/12 NEWS CORP 8.01,9.01 03/29/12 NOBILITY HOMES INC FL 3.01,9.01 03/23/12 NORD RESOURCES CORP DE 7.01,9.01 03/29/12 NORTEK INC DE 2.02,9.01 03/29/12 NTN BUZZTIME INC DE 2.02,9.01 03/29/12 OMEROS CORP WA 3.03,9.01 03/28/12 OMNICARE INC DE 1.01,2.03,3.02,9.01 03/29/12 ONCOSEC MEDICAL Inc NV 1.01,3.02,9.01 03/23/12 Oncothyreon Inc. DE 1.01,8.01,9.01 03/29/12 OPTICAL CABLE CORP VA 5.07,7.01,9.01 03/27/12 OptimumBank Holdings, Inc. FL 8.01,9.01 03/29/12 Orpheum Property Inc DE 1.01,3.02,9.01 07/15/11 Pacific Bepure Industry Inc DE 5.02 03/27/12 PANTRY INC DE 5.02 03/27/12 Patriot Coal CORP DE 5.07 03/29/12 AMEND PAULSON CAPITAL CORP OR 8.01,9.01 03/29/12 PDI INC 4.01,9.01 03/23/12 PERNIX THERAPEUTICS HOLDINGS, INC. MD 2.02,9.01 03/28/12 Pershing Gold Corp. NV 8.01,9.01 03/29/12 Pershing Gold Corp. NV 1.01,9.01 03/23/12 PIEDMONT NATURAL GAS CO INC NC 1.01,2.03,9.01 03/27/12 PIER 1 IMPORTS INC/DE DE 5.02,7.01,9.01 03/23/12 PINNACLE AIRLINES CORP DE 5.02 03/29/12 Porter Bancorp, Inc. KY 5.02 03/29/12 POTOMAC ELECTRIC POWER CO VA 1.01,9.01 03/28/12 PPL Corp 8.01 03/26/12 PRICELINE COM INC DE 5.03,9.01 03/26/12 Prime Time Travel, Inc. DE 5.03,9.01 03/29/12 PRINCETON REVIEW INC DE 1.01,3.01,5.02,7.01, 03/23/12 9.01 QUEPASA CORP NV 1.01 03/23/12 Raptor Pharmaceutical Corp DE 8.01,9.01 03/28/12 RBS GLOBAL INC DE 7.01,9.01 03/28/12 RECYCLE TECH INC 1.03 03/28/11 Regency Resources, Inc. NV 8.01 03/28/12 RESEARCH FRONTIERS INC DE 7.01,9.01 03/29/12 RESPONSE BIOMEDICAL CORP A1 4.02 03/27/12 RESPONSE BIOMEDICAL CORP A1 2.02,9.01 03/28/12 RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 03/29/12 RGC RESOURCES INC VA 5.02 03/26/12 Rhino Resource Partners LP DE 7.01,9.01 03/29/12 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,1.02,2.03,9.01 03/26/12 Rock Energy Resources, Inc. DE 7.01,9.01 03/29/12 Rouse Properties, Inc. DE 3.02,5.01,8.01 03/26/12 Rovi Corp DE 1.01,2.03,9.01 03/29/12 Sanchez Energy Corp DE 2.02,7.01,9.01 03/28/12 SCANA CORP SC 7.01,9.01 03/29/12 SEACHANGE INTERNATIONAL INC DE 2.02,9.01 03/29/12 SEQUENTIAL BRANDS GROUP, INC. DE 5.03,9.01 03/23/12 Sequoia Mortgage Trust 2012-2 8.01,9.01 03/28/12 SERVOTRONICS INC /DE/ DE 2.02,9.01 03/29/12 SHAW GROUP INC LA 2.02,9.01 03/29/12 SHAW GROUP INC LA 5.07 03/28/12 AMEND SILGAN HOLDINGS INC DE 1.01,2.03,9.01 03/23/12 Spectrum Brands Holdings, Inc. DE 1.02,8.01 03/28/12 Spectrum Brands, Inc. DE 1.02,8.01,9.01 03/28/12 Station Casinos LLC NV 2.02,9.01 03/28/12 SUNLINK HEALTH SYSTEMS INC OH 1.01,7.01,9.01 03/26/12 SUREWEST COMMUNICATIONS CA 8.01 03/28/12 Texas Gulf Energy Inc NV 4.01,9.01 03/08/12 AMEND TEXAS INDUSTRIES INC DE 2.02,9.01 03/28/12 TIBCO SOFTWARE INC DE 2.02,8.01,9.01 03/29/12 TITANIUM METALS CORP DE 7.01,9.01 03/29/12 TOMPKINS FINANCIAL CORP NY 1.01,8.01,9.01 03/28/12 Tops Holding Corp DE 2.02,9.01 03/29/12 TORVEC INC NY 8.01,9.01 03/27/12 TRANSATLANTIC PETROLEUM LTD. D0 4.01,9.01 02/21/12 AMEND TREDEGAR CORP VA 5.02,9.01 03/23/12 TRI COUNTY FINANCIAL CORP /MD/ MD 8.01,9.01 03/28/12 TRILLIANT EXPLORATION CORP NV 4.01,9.01 03/22/12 Trio Merger Corp. DE 3.01,8.01,9.01 03/26/12 U.S. China Mining Group, Inc. NV 1.01,4.02,9.01 05/25/11 United Community Bancorp X1 2.02,4.02 03/28/12 United Continental Holdings, Inc. DE 7.01,9.01 03/29/12 United States 12 Month Oil Fund, LP 8.01,9.01 03/29/12 United States Commodity Index Funds T DE 8.01,9.01 03/29/12 United States Gasoline Fund, LP DE 8.01,9.01 03/29/12 United States Natural Gas Fund, LP 8.01,9.01 03/29/12 United States Oil Fund, LP DE 8.01,9.01 03/29/12 US ENERGY CORP WY 7.01,9.01 03/28/12 US HOME SYSTEMS INC DE 2.02,9.01 03/27/12 USG CORP DE 8.01,9.01 03/29/12 VERENIUM CORP DE 1.01,1.02,2.01,8.01, 03/23/12 9.01 Verso Paper Corp. DE 7.01,9.01 03/28/12 Verso Paper Corp. DE 7.01,9.01 03/28/12 W P CAREY & CO LLC DE 8.01 03/29/12 WAVE SYSTEMS CORP DE 2.02,9.01 03/28/12 Weatherford International Ltd./Switze V8 5.02 03/23/12 Western Refining, Inc. DE 5.07 06/07/11 AMEND WINLAND ELECTRONICS INC MN 2.02,9.01 03/29/12 WISCONSIN ENERGY CORP WI 7.01 03/29/12 WORTHINGTON INDUSTRIES INC OH 2.02,7.01,9.01 03/29/12 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,5.02,9.01 03/20/12 WSFS FINANCIAL CORP DE 1.01,9.01 03/28/12 XILINX INC DE 5.02 03/23/12 YAHOO INC DE 8.01 03/28/12 ZALDIVA INC FL 1.01,2.01,3.02,5.01, 03/29/12 5.02,9.01 ZaZa Energy Corp DE 1.01,9.01 03/28/12 ZIONS BANCORPORATION /UT/ UT 8.01 03/28/12