Delinquent Filer’s Stock Registration Revoked
On April 4, 2012, the Commission revoked the registration of each class of registered securities of California Oil & Gas Corp. (COGC) 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, COGC 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 California Oil & Gas Corp. 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 COGC’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against COGC in In the Matter of BIOTECH Holdings Ltd., et al., Administrative Proceeding File No. 3-14763.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-66730; File No. 3-14763)
In the Matter of Bryan N. Polozola, CPA
On April 4, 2012, the Commission announced the issuance of an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice against Bryan N. Polozola, CPA (Order). The Order finds that Bryan N. Polozola (Polozola) is licensed as a certified public accountant in Texas and New York. The Order also finds that on March 26, 2012, Polozola was convicted of one count of making false statements to Commission staff during investigative testimony in violation of 18 U.S.C. § 1001, before the United States District Court for the District of Columbia, in United States v. Bryan N. Polozola, No. 1:11-cr-00374-RLW. In addition, the Order finds that Polozola was sentenced to 24 months of probation and ordered to serve 200 hours of community service and to pay an assessment in the amount of $100.
Based on the above, the Commission forthwith suspended Polozola from appearing or practicing before the Commission. (Rel. 34-66735; AAE Rel. 3376; File No. 3-14834)
In the Matter of Grant M. Carroll
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Grant M. Carroll, a resident of Texas, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Grant M. Carroll, et al., Civil Action No. 1:10-CV-913 in the United States District Court for the Western District of Texas, Austin Division.
In the Order, the Commission finds that, on December 6, 2011, an agreed permanent injunction was entered against Carroll, permanently enjoining him from future violations of Sections 5(a) and 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934. The Commission further finds in the Order that the Commission filed a Complaint against Carroll, alleging that from April 2007 through approximately May 2008, Carroll, together with the other defendants, participated in an unregistered securities offering in which approximately $9 million was raised from investors from the sale of interests in high-yield or “Prime Bank” investment schemes. According to the Complaint, Carroll misrepresented that he was a licensed securities broker and that he had verified the legitimacy of the transactions.
Based on the above, the Order bars Carroll from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; the Order also bars Carroll from participating in any offering of a penny stock. In consenting to the entry of the Order, Carroll admitted the Order’s finding as to the entry of the injunction against him and its findings that the Commission has jurisdiction over him and over the matters set forth in the Order; Carroll did not, however, admit any of the other findings in the Order. (Rel. 34-66739; File No. 3-14836)
In the Matter of Daniel J. Burns
An Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Daniel J. Burns, Admin. Proc. No. 3-14765. The Default Order finds the allegations in the Order Instituting Proceedings, alleging that Respondent Daniel J. Burns (Burns) was permanently enjoined from violating various provisions of the federal securities statutes in SEC v. Burns, No. 1:11-CV-246 (N.D. Ill. Jan. 31, 2012), to be true. In addition, the Default Order finds that the district court ordered Burns to disgorge ill-gotten gains of $804,100, prejudgment interest of $324,325, for a total of $1,128,425, and barred him from acting as an officer or director of a public company.
Based on these findings and public interest considerations, the Default Order bars Burns, pursuant to Section 15(b) of the Securities Exchange Act of 1934, from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and from participating in an offering of penny stock. (Rel. No. 34-66738; File No. 3-14765)
In the Matter of Kenneth E. Marsh et al.
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Kenneth E. Marsh, Admin. Proc. No. 3-14653. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on December 7, 2011, pursuant to Section 203(f) of the Investment Advisers Act of 1940. The OIP alleges that from at least 2007 through April 2010, Respondents marketed Gryphon Holdings, Inc. (Gryphon), an unregistered investment adviser by repeatedly making false statements about virtually every aspect of Gryphon’s business, including the scope of the firm’s investment management operations, the past performance of its trading recommendations, the credentials and qualifications of its staff, and the satisfaction of prior clients. The OIP also alleges that Respondents were enjoined from violating the antifraud provisions of the federal securities laws and were criminally convicted of conspiracy and securities fraud violations. The Default Order finds the allegations of the OIP to be true.
In the public interest, the Default Order bars Kenneth E. Marsh, Baldwin Anderson, Robert Anthony Budion, Jeanne M. Lada, and James T. Levier from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and nationally recognized statistical rating organization. (Rel. No. IA- 3391; File No. 3-14653)
Harris & Harris Group, Inc.
An order has been issued under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 23(a), 23(b) and 63 of the Act; under Sections 57(a)(4) and 57(i) of the Act and Rule 17d-1 under the Act authorizing certain joint transactions otherwise prohibited by Section 57(a)(4) of the Act; and under Section 23(c)(3) of the Act for an exemption from Section 23(c) of the Act. The order permits Harris & Harris Group, Inc. to (a) issue restricted shares of its common stock (Restricted Stock) as part of the compensation package for directors, including non-employee directors, officers and employees (Participants), (b) withhold shares of its common stock or purchase shares of its common stock from Participants to satisfy tax withholding obligations relating to the vesting of Restricted Stock or the exercise of options to purchase shares of its common stock, and (c) permit certain Participants to pay the exercise price of options with shares of applicant’s common stock. (Rel. No. IC-30027 - April 3, 2012)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-BX-2012-021) filed by The NASDAQ OMX BX, Inc. to modify rebate pricing for BX members using the NASDAQ OMX BX equities routing system 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 April 2. (Rel. No. 34-66718)
A proposed rule change filed by The NASDAQ Stock market LLC (SR-NASDAQ-2012-046) relating to customer routing fees 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 April 2. (Rel. No. 34-66719)
A proposed rule change, (SR-Phlx-2012-34), filed by NASDAQ OMX PHLX LLC, relating to singly listed options 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 April 2. (Rel. 34-66721)
A proposed rule change (SR-BYX-2012-007) filed by the BATS Y-Exchange, Inc. to amend the certificate of information of BATS Global Markets, Inc. 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 April 2. (Rel. No. 34-66722)
A proposed rule change (SR-BATS-2012-014) filed by the BATS Exchange, Inc. to amend the certificate of information of BATS Global Markets, Inc. 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 April 2. (Rel. No. 34-66723)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-025) relating to exchange trading floor booth fees and policy 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 April 2. (Rel. 34-66727)
A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX Fee Schedule (SR-BX-2012-023) 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 April 2. (Rel. 34-66728)
A proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-037) relating to fees for newly listed indexes 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 April 2. (Rel. No. 34-66729)
Approval of Proposed Rule Changes
The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-10) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of shares of the BNP Paribas S&P Dynamic Roll Global Commodities Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66717)
The Commission has approved a proposed rule change (SR-NSCC-2012-02) filed by the National Securities Clearing Corporation 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 April 2. (Rel. 34-66731)
Proposed Rule Changes
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-26) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade option contracts overlying 10 shares of a security (“Mini-Options Contracts”) and implementing rule text necessary to distinguish Mini-Options Contracts from option contracts overlying 100 shares of a security (“Standard Contracts”). Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66725)
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 NPC INTERNATIONAL INC, 720 W. 20TH ST, PITTSBURG, KS, 66762-2860, 3162313390 - 0 ($190,000,000.00) Debt, (File 333-180524 - Apr. 3) (BR. 05C) S-1 VISUALANT INC, 500 UNION STREET, SUITE 406, SEATTLE, WA, 98101, 206-903-1351 - 7,600,000 ($760,000.00) Other, (File 333-180525 - Apr. 3) (BR. 10C) S-3ASR CROWN CASTLE INTERNATIONAL CORP, 1220 AUGUSTA DRIVE, SUITE 500, HOUSTON, TX, 77057, 7135703000 - 0 ($0.00) Other, (File 333-180526 - Apr. 3) (BR. 11A) F-3ASR DELHAIZE GROUP, SQUARE MARIE CURIE 40, BRUSSELS, C9, 1070, 011-32-2-412-2211 - 0 ($0.00) Debt, (File 333-180527 - Apr. 3) (BR. 02C) S-8 CAFEPRESS INC., 1850 GATEWAY DRIVE, SUITE 300, SAN MATEO, CA, 94404, 650.655.3000 - 3,862,146 ($53,076,593.40) Equity, (File 333-180531 - Apr. 3) (BR. 02) S-3 ING LIFE INSURANCE & ANNUITY CO, ONE ORANGE WAY, WINDSOR, CT, 06095-4774, 860-580-2851 - 0 ($50,000,000.00) Other, (File 333-180532 - Apr. 3) (BR. 01A) S-3 PACIFIC BIOSCIENCES OF CALIFORNIA INC, 1380 WILLOW ROAD, MENLO PARK, CA, 94025, 650-521-8000 - 150,000,000 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-180533 - Apr. 3) (BR. 10C) S-3 HUTCHINSON TECHNOLOGY INC, 40 W HIGHLAND PARK, HUTCHINSON, MN, 55350, 3205873797 - 3,869,000 ($8,511,800.00) Equity, (File 333-180534 - Apr. 3) (BR. 10B) S-1 GeoVax Labs, Inc., 1900 LAKE PARK DRIVE, SUITE 380, SMYRNA, 2Q, 30080, 678-384-7220 - 11,733,332 ($10,970,666.00) Equity, (File 333-180535 - Apr. 3) (BR. 01A) S-1 BENSATA Corp, 2500 CITY WEST BLVD, SUITE 300, HOUSTON, TX, 77042, 713 267 2361 - 10,000,000 ($500,000.00) Equity, (File 333-180536 - Apr. 3) (BR. 03) S-8 Millennial Media Inc., 2400 BOSTON STREET, SUITE 301, Baltimore, MD, 21224, (410) 552-8705 - 0 ($81,760,008.99) Equity, (File 333-180540 - Apr. 3) (BR. 11A) S-3 FIRST M&F CORP/MS, 134 W WASHINGTON ST, P O BOX 520, KOSCIUSKO, MS, 39090, 6622898508 - 38,313,113 ($187,734,254.00) Equity, (File 333-180542 - Apr. 3) (BR. 07B) S-4 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 7208755400 - 0 ($787,661,450.44) Equity, (File 333-180543 - Apr. 3) (BR. 11C) S-3 HANSEN MEDICAL INC, 800 EAST MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA, 94043, 650 404 5800 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-180547 - Apr. 3) (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 ACNB CORP PA 1.01,5.02,9.01 03/28/12 Advance America, Cash Advance Centers DE 8.01,9.01 04/02/12 Affinity Gaming, LLC NV 2.02,9.01 04/03/12 Aircastle LTD D0 7.01,9.01 04/03/12 ALICO INC FL 8.01,9.01 04/02/12 Alon Refining Krotz Springs, Inc. DE 8.01,9.01 04/03/12 Alon USA Energy, Inc. DE 8.01,9.01 04/03/12 American Capital Agency Corp 1.01,5.03,9.01 04/02/12 American Casino & Entertainment Prope DE 8.01 03/28/12 AMERICAN INTERNATIONAL VENTURES INC / DE 5.01,7.01,9.01 03/26/12 AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02 03/29/12 Annie's, Inc. DE 5.03,9.01 04/02/12 APPLETON PAPERS INC/WI 2.05 04/03/12 AMEND ASTROTECH Corp \WA\ WA 5.07,9.01 03/29/12 AUTONATION, INC. DE 7.01,9.01 04/03/12 AVX Corp DE 5.02 04/03/12 Bazaarvoice Inc DE 8.01 03/30/12 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 04/03/12 BGC Partners, Inc. DE 8.01 03/28/12 BILL BARRETT CORP DE 7.01,9.01 04/03/12 BIO-PATH HOLDINGS INC UT 2.02,8.01,9.01 03/29/12 BioDrain Medical, Inc. MN 1.01,2.03,3.02,9.01 03/28/12 BIOVEST INTERNATIONAL INC DE 5.02 03/30/12 Bizzingo, Inc. NV 7.01,9.01 04/03/12 BJs RESTAURANTS INC CA 8.01,9.01 04/03/12 Black Ridge Oil & Gas, Inc. DE 5.03,9.01 04/02/12 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 04/03/12 Bluefire Renewables, Inc. NV 1.01,2.03,3.02 03/28/12 Bluefire Renewables, Inc. NV 1.01,3.02 03/28/12 Bohai Pharmaceuticals Group, Inc. NV 8.01 04/03/12 BPZ RESOURCES, INC. TX 5.02,8.01,9.01 03/28/12 Buckeye Oil & Gas, Inc. FL 5.02,9.01 04/02/12 BUCKEYE PARTNERS, L.P. DE 5.02,8.01,9.01 03/29/12 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 03/31/12 Campus Crest Communities, Inc. MD 7.01,9.01 04/03/12 CANO PETROLEUM, INC 7.01,9.01 04/03/12 CAPSTEAD MORTGAGE CORP MD 7.01,9.01 04/02/12 Cardigant Medical Inc. DE 5.02 04/01/12 CARROLS RESTAURANT GROUP, INC. 2.06 03/16/12 Celldex Therapeutics, Inc. DE 1.02 03/29/12 CENTURY PROPERTIES FUND XIX CA 2.01,9.01 03/29/12 CFS BANCORP INC IN 7.01,9.01 04/03/12 CHEMICAL FINANCIAL CORP MI 7.01 04/03/12 China Housing & Land Development, Inc NV 2.02,7.01,9.01 03/30/12 CHINA MARINE FOOD GROUP LTD NV 2.02,9.01 03/27/12 CHINA SKY ONE MEDICAL, INC. NV 4.01,9.01 03/12/12 AMEND Chrysler Group LLC DE 8.01,9.01 04/03/12 CIT GROUP INC DE 8.01,9.01 04/02/12 CLAIBORNE LIZ INC DE 5.02,9.01 03/28/12 CleanTech Innovations, Inc. NV 5.02 04/02/12 Cogdell Spencer Inc. MD 1.02,3.01,3.03,5.01, 04/02/12 5.02,5.03,9.01 COMMERCIAL BARGE LINE CO DE 5.02,9.01 03/30/12 Compass Diversified Holdings DE 1.01,2.03,9.01 04/02/12 COMPETITIVE TECHNOLOGIES INC DE 5.02 04/03/12 COMPUTER SCIENCES CORP NV 8.01,9.01 03/16/12 Computer Software Innovations, Inc. DE 8.01,9.01 04/03/12 COMVERSE TECHNOLOGY INC/NY/ NY 2.02,9.01 04/03/12 CONNS INC DE 2.02,9.01 04/03/12 COVANTA HOLDING CORP DE 7.01,9.01 04/03/12 CVS CAREMARK CORP DE 5.02,9.01 03/29/12 DELTA AIR LINES INC /DE/ DE 8.01,9.01 04/03/12 DEPOMED INC CA 8.01 03/30/12 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 04/03/12 AMEND DOMINION RESOURCES INC /VA/ VA 2.02,9.01 04/03/12 DOUBLE EAGLE PETROLEUM CO MD 1.02,5.02,9.01 03/30/12 DPL INC OH 4.01,9.01 03/27/12 AMEND DST SYSTEMS INC DE 5.02 04/02/12 DYAX CORP DE 5.02 03/30/12 EARTHSTONE ENERGY INC DE 8.01,9.01 04/03/12 Ecologic Transportation, Inc. 1.01,2.01 03/15/12 AMEND EL PASO ELECTRIC CO /TX/ TX 1.01,2.03 03/29/12 ELECTRO RENT CORP CA 2.02,9.01 04/03/12 EME HOMER CITY GENERATION LP PA 1.01 03/29/12 ENERGY FOCUS, INC/DE DE 8.01,9.01 03/29/12 EnteroMedics Inc 8.01,9.01 04/03/12 EnteroMedics Inc 1.01 03/28/12 ENTERPRISE PRODUCTS PARTNERS L P DE 8.01,9.01 04/02/12 ENTREMED INC DE 5.02,9.01 04/02/12 Envision Solar International, Inc. NV 3.02,8.01 03/22/12 AMEND EPICEPT CORP 1.01,5.03,9.01 03/28/12 EPOCH HOLDING CORP DE 8.01,9.01 04/03/12 FARMER BROTHERS CO CA 5.02 03/28/12 Federal Home Loan Bank of Atlanta X1 2.03 04/03/12 Federal Home Loan Bank of Boston X1 2.03 03/29/12 Federal Home Loan Bank of Chicago X1 5.02 03/30/12 Federal Home Loan Bank of Chicago X1 2.03 03/30/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/28/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/30/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/03/12 Federal Home Loan Bank of New York X1 2.03,9.01 03/28/12 Federal Home Loan Bank of New York X1 8.01,9.01 04/03/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/28/12 Federal Home Loan Bank of San Francis X1 2.03 03/28/12 Federal Home Loan Bank of Seattle 2.03 03/28/12 Federal Home Loan Bank of Topeka 2.03,9.01 03/28/12 FIRST BANCORP /NC/ NC 5.02 03/30/12 FIRST COLOMBIA GOLD CORP. NV 1.01,2.03,3.02,9.01 03/29/12 FIRST FINANCIAL HOLDINGS INC /DE/ DE 8.01 03/28/12 FLOWERS FOODS INC GA 1.01,2.03,9.01 03/29/12 FNBH BANCORP INC MI 5.02 03/28/12 FORD MOTOR CO DE 8.01,9.01 04/03/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 04/03/12 FTI CONSULTING INC MD 5.02,8.01,9.01 03/28/12 FTI CONSULTING INC MD 5.05,9.01 04/01/12 FUQI INTERNATIONAL, INC. DE 5.02,9.01 03/31/12 GAIAM, INC CO 2.01,2.03,9.01 03/28/12 GASTAR EXPLORATION LTD 7.01,9.01 04/03/12 GENCORP INC OH 5.02,5.07,9.01 03/28/12 General Growth Properties, Inc. DE 8.01 04/02/12 Genie Energy Ltd. DE 5.02 03/28/12 GENSPERA INC DE 8.01,9.01 03/29/12 GLOBAL AXCESS CORP NV 5.02 04/02/12 GOLDMAN SACHS GROUP INC DE 5.02,8.01,9.01 03/30/12 GRAMERCY CAPITAL CORP MD 1.01,9.01 03/30/12 GRAN TIERRA ENERGY, INC. NV 5.02 02/03/12 AMEND Green Ballast, Inc. DE 1.01,9.01 03/28/12 GROUP 1 AUTOMOTIVE INC DE 7.01,8.01,9.01 03/30/12 GRYPHON GOLD CORP NV 7.01,9.01 04/03/12 Hallwood Group Inc DE 2.02,9.01 04/02/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 03/29/12 HeartWare International, Inc. DE 1.01,9.01 03/29/12 AMEND Heelys, Inc. DE 1.02,5.02 03/28/12 Higher One Holdings, Inc. DE 1.01 04/03/12 HILLMAN COMPANIES INC DE 5.02 04/02/12 Hines Global REIT, Inc. MD 2.01,7.01,9.01 03/29/12 HOMELAND ENERGY SOLUTIONS LLC 8.01 04/02/12 HOVNANIAN ENTERPRISES INC DE 7.01,9.01 04/03/12 HUDSON VALLEY HOLDING CORP NY 2.01,9.01 03/28/12 HYPERTENSION DIAGNOSTICS INC /MN MN 8.01 03/28/12 IMAGING3 INC CA 3.02,8.01 04/03/12 IMAGING3 INC CA 5.02 03/31/12 Innovaro, Inc. 4.02,9.01 03/30/12 Inrad Optics, Inc. NJ 2.02,9.01 04/02/12 INTEGRATED ELECTRICAL SERVICES INC DE 2.02,8.01,9.01 03/03/12 Intellicell Biosciences, Inc. NV 8.01,9.01 03/28/12 INTERNATIONAL SPEEDWAY CORP FL 2.02,7.01,8.01,9.01 04/03/12 ISTA PHARMACEUTICALS INC DE 1.01,2.03,9.01 03/30/12 JOE'S JEANS INC. DE 8.01,9.01 03/29/12 KAISER VENTURES LLC DE 8.01 03/30/12 KBS Real Estate Investment Trust, Inc MD 1.01,8.01 03/30/12 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 5.02 04/02/12 KFORCE INC FL 7.01,8.01 03/30/12 LANDMARK BANCORP INC DE 2.01,9.01 04/01/12 LEXON TECHNOLOGIES INC DE 5.02,5.07,8.01,9.01 01/01/12 LIFEWAY FOODS INC IL 7.01,9.01 04/02/12 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 04/03/12 Lithium Exploration Group, Inc. NV 1.01,9.01 03/28/12 MACERICH CO MD 5.02,9.01 03/30/12 MAGNEGAS CORP DE 1.01,7.01,8.01,9.01 03/28/12 Maidenform Brands, Inc. DE 1.01,9.01 04/02/12 MARTIN MARIETTA MATERIALS INC NC 8.01,9.01 04/03/12 Measurement Specialties Inc NJ 1.01,9.01 04/02/12 Measurement Specialties Inc NJ 5.02 03/29/12 AMEND MEDINA INTERNATIONAL HOLDINGS, INC. CO 1.01,9.01 04/02/12 Memorial Production Partners LP DE 8.01,9.01 04/02/12 MERGE HEALTHCARE INC DE 1.01 03/28/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 04/03/12 MIDAMERICAN ENERGY CO IA 7.01,9.01 04/03/12 MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 04/03/12 Millennial Media Inc. DE 5.03,9.01 04/03/12 Mister Goody, Inc. FL 8.01,9.01 04/03/12 MITCHAM INDUSTRIES INC TX 2.02,9.01 04/03/12 MITEK SYSTEMS INC DE 8.01,9.01 04/03/12 MOCON INC MN 1.01,2.01,2.03,9.01 03/28/12 ModusLink Global Solutions Inc DE 7.01 04/03/12 MOLSON COORS BREWING CO DE 1.01,2.03,8.01,9.01 04/03/12 Monster Offers NV 7.01,9.01 04/03/12 Morgan Stanley Capital I Trust 2012-C DE 8.01,9.01 04/03/12 MRV COMMUNICATIONS INC DE 5.02,9.01 03/30/12 MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01,9.01 04/03/12 MS STRUCTURED SATURNS SERIES 2003-7 DE 8.01,9.01 04/03/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 04/03/12 NCO Group, Inc. DE 8.01,9.01 04/03/12 NDB Energy, Inc. NV 2.01,3.02,5.02,7.01, 03/30/12 9.01 NEVADA GOLD & CASINOS INC NV 1.01,9.01 03/30/12 NEW FRONTIER MEDIA INC CO 1.01,7.01,9.01 03/23/12 NEWS CORP 8.01,9.01 04/03/12 Nexxus Lighting, Inc. DE 5.02 04/02/12 NN INC DE 8.01,9.01 04/02/12 NORTHEAST UTILITIES MA 8.01 04/02/12 Northumberland Resources, Inc. NV 5.02 04/01/12 NSTAR/MA 8.01 04/03/12 Och-Ziff Capital Management Group LLC DE 7.01 04/03/12 OCWEN FINANCIAL CORP FL 2.01 04/02/12 Oncothyreon Inc. DE 8.01,9.01 04/03/12 OPENTABLE INC DE 5.02,9.01 03/29/12 PACER INTERNATIONAL INC TN 8.01 03/27/12 PACIFICORP /OR/ OR 7.01,9.01 04/03/12 Parabel Inc. DE 8.01 04/02/12 PARK ELECTROCHEMICAL CORP NY 2.05,9.01 01/25/12 PARKWAY PROPERTIES INC MD 4.01,9.01 04/02/12 PARLUX FRAGRANCES INC DE 1.01,5.02,9.01 03/30/12 PEABODY ENERGY CORP DE 5.02,8.01,9.01 03/07/12 AMEND PENN VIRGINIA CORP VA 5.02,9.01 02/16/12 AMEND PERMA FIX ENVIRONMENTAL SERVICES INC DE 3.03,5.03,9.01 03/29/12 PHARMATHENE, INC DE 1.01,2.03,9.01 03/30/12 PHOTRONICS INC CT 5.07 04/02/12 Pinnacle Foods Finance LLC DE 5.01 04/02/12 Pioneer Southwest Energy Partners L.P DE 1.01,2.03,9.01 04/03/12 PIXELWORKS, INC OR 8.01 03/29/12 PLUG POWER INC DE 1.01,9.01 03/30/12 POLYMER GROUP INC DE 4.01,9.01 03/30/12 POTASH AMERICA, INC. NV 7.01,9.01 04/03/12 PREMIERWEST BANCORP OR 7.01 04/02/12 PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,3.02,9.01 03/30/12 PRIVATE MEDIA GROUP INC NV 5.02,8.01 03/21/12 Proto Labs Inc 5.02,9.01 04/03/12 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 04/03/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 04/03/12 QUEPASA CORP NV 7.01 04/03/12 RADIENT PHARMACEUTICALS Corp DE 2.04 04/03/12 RAYMOND JAMES FINANCIAL INC FL 1.01,9.01 04/02/12 RCM TECHNOLOGIES INC NV 7.01 04/03/12 RDA Holding Co. 1.01,2.03,9.01 03/30/12 RENTECH INC /CO/ CO 7.01,9.01 04/03/12 Rexnord Corp DE 1.01,1.02,3.03,5.03, 04/03/12 8.01,9.01 RGC RESOURCES INC VA 1.01,2.03,9.01 03/30/12 RING ENERGY, INC. NV 8.01,9.01 03/28/12 Rock Energy Resources, Inc. DE 7.01,9.01 04/03/12 Rockville Financial, Inc. /CT/ CT 7.01,9.01 04/03/12 ROLLINS INC DE 8.01,9.01 04/02/12 Rosewood Acquisition Corp DE 3.02,5.01,5.02 03/31/12 ROYALE ENERGY INC CA 3.02 03/28/12 S&T BANCORP INC PA 1.01,8.01,9.01 03/29/12 SAN DIEGO GAS & ELECTRIC CO CA 2.03 03/30/12 SANDISK CORP DE 2.02,9.01 04/03/12 Scripps Networks Interactive, Inc. OH 5.02,9.01 03/29/12 SEACOAST BANKING CORP OF FLORIDA FL 8.01,9.01 04/03/12 Secure Luggage Solutions Inc. 5.02,9.01 03/01/12 SEMPRA ENERGY CA 2.03 03/30/12 Shire plc 8.01,9.01 04/02/12 Shire plc 8.01,9.01 04/03/12 SL INDUSTRIES INC NJ 2.02,9.01 03/30/12 SM Energy Co DE 5.02,7.01,9.01 03/29/12 SOLAZYME INC DE 1.01 04/02/12 SOUTH JERSEY GAS Co NJ 1.01,2.03,9.01 03/29/12 SOUTHERN CALIFORNIA GAS CO CA 2.03 03/30/12 SPECTRUM PHARMACEUTICALS INC DE 8.01 04/01/12 SSI Investments II Ltd L2 2.02,9.01 04/03/12 STAGE STORES INC NV 5.02 03/28/12 STAMPS.COM INC DE 5.02 04/02/12 STARTEK INC DE 5.02 03/28/12 STELLAR PHARMACEUTICALS INC 7.01,9.01 03/16/12 STELLAR PHARMACEUTICALS INC 2.02,9.01 04/02/12 STONE ENERGY CORP DE 7.01,9.01 04/03/12 Strategic Mining Corp 4.02 03/30/12 AMEND Strategic Storage Trust, Inc. MD 7.01,8.01,9.01 04/02/12 STUDIO II BRANDS INC FL 5.02 03/29/12 SUNESIS PHARMACEUTICALS INC DE 1.01,3.02,9.01 03/29/12 SUNOVIA ENERGY TECHNOLOGIES INC NV 5.02,9.01 03/26/12 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 04/03/12 TBS International plc L2 1.03,3.03,9.01 03/29/12 TELOS CORP MD 5.02,9.01 03/29/12 TENGION INC DE 3.01,7.01,9.01 04/03/12 TESORO CORP /NEW/ DE 1.01,2.01,2.03,9.01 03/30/12 TESORO LOGISTICS LP DE 1.01,2.01,2.03,3.02, 03/30/12 5.03,9.01 TESSERA TECHNOLOGIES INC DE 5.07 03/30/12 THERMODYNETICS INC DE 5.02 03/31/12 Timberline Resources Corp DE 7.01,9.01 03/30/12 TMX Finance LLC DE 2.02,9.01 03/29/12 Tonix Pharmaceuticals Holding Corp. NV 1.01,2.01,3.02,4.01, 10/07/11 AMEND 5.01,5.02,5.06,8.01, 9.01 Transcept Pharmaceuticals Inc DE 7.01,9.01 04/03/12 Transocean Ltd. V8 8.01 03/29/12 Treaty Energy Corp NV 2.03,9.01 03/27/12 TWO RIVERS WATER Co CO 2.03 03/29/12 UNIGENE LABORATORIES INC DE 8.01,9.01 04/03/12 UNITED INSURANCE HOLDINGS CORP. DE 1.01,5.02,9.01 03/28/12 UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 04/03/12 UniTek Global Services, Inc. DE 1.01,5.02,9.01 03/28/12 URANIUM ENERGY CORP NV 1.01,8.01,9.01 04/02/12 USG CORP DE 8.01,9.01 04/02/12 VALUECLICK INC/CA DE 5.02,9.01 04/03/12 Vantage Drilling CO E9 8.01,9.01 03/30/12 VISHAY INTERTECHNOLOGY INC DE 1.01,2.03,8.01,9.01 04/03/12 VISTA GOLD CORP B0 7.01,9.01 03/30/12 VYCOR MEDICAL INC DE 2.02,9.01 03/30/12 W R GRACE & CO DE 7.01,9.01 04/03/12 WABCO Holdings Inc. DE 5.02,9.01 03/28/12 WALTER INVESTMENT MANAGEMENT CORP MD 5.02,8.01,9.01 03/09/12 WASHINGTON GAS LIGHT CO DC 8.01 03/29/12 WEIKANG BIO-TECHNOLOGY GROUP CO., INC NV 2.02,9.01 04/02/12 WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 04/03/12 Wendy's Co DE 7.01 04/03/12 Western Refining, Inc. DE 8.01,9.01 03/29/12 WFRBS Commercial Mortgage Trust 2012- NC 8.01,9.01 03/30/12 WILSHIRE BANCORP INC 1.01,9.01 03/28/12 WNC Housing Tax Credit Fund VI, L.P., CA 2.02,9.01 04/03/12 WORLD HEART CORP DE 1.01,9.01 03/29/12 WORTHINGTON INDUSTRIES INC OH 2.02,9.01 03/29/12 WPCS INTERNATIONAL INC DE 5.02,9.01 04/03/12 XCEL ENERGY INC MN 8.01 03/29/12 YAHOO INC DE 8.01 04/02/12 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 04/03/12 ZIOPHARM ONCOLOGY INC DE 5.02,9.01 03/30/12