Closed Meeting on Thursday, April 12, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, April 12, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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.
Commission Seeks Comment On Investor Testing Regarding Target Date Retirement Funds
The Commission announced it is seeking comment on the results of investor testing regarding target date retirement funds. The Commission will consider the comments before acting on a proposal it issued in 2010 intended to enhance the information provided to individuals investing in such funds.
The proposed rule would generally require target date retirement funds to more prominently disclose the fund’s asset allocation at the target date. Under the proposal, the disclosure would have to be placed adjacent to the fund’s name the first time the name appears in marketing materials. The proposal also would require marketing materials for target date retirement funds to include a table, chart, or graph depicting the fund’s asset allocation over time.
In the SEC-sponsored survey, investors were asked questions after reviewing documents containing information about a hypothetical target date retirement fund. The documents included versions revised to reflect the changes proposed by the Commission.
Target date retirement funds are designed to make investing for retirement more convenient by automatically changing the fund’s allocation among asset classes, such as stocks, bonds, and cash, over time. Such funds typically become more conservative as the retirement date nears, and sometimes continue becoming more conservative for a number of years after retirement.
The proposal is available on the Commission’s website. To ensure the public has a chance to comment, the Commission has reopened the comment period. Comments on the proposal are due 45 days after publication in the Federal Register. (Press Rel. 2012-53)
Initial Decision as to Alberto Ferreiras
An Administrative Law Judge has issued an Initial Decision as to Alberto Ferreiras, Initial Decision No. 456, Peter Emrich, Admin. Proc. No. 3-14509, finding that the allegations in the Order Instituting Proceedings issued by the Securities and Exchange Commission on August 18, 2011, are true as to Alberto Ferreiras (Ferreiras). Ferreiras pled guilty to conspiracy and securities fraud charges in United States v. Kozak, 02-cr-879 (E.D. N.Y.) and United States v. Leonard, 02-cr-881 (E.D. N.Y.) and to one count of conspiracy to commit mail fraud and eight counts of mail fraud in United States v. Ferreiras, 07-cr-325 (E.D. N.Y.). As a result on July 21, 2009, U.S. District Court Judge Leonard D. Wexler sentenced Ferreiras to six months in prison in Kozak and Leonard and 125 months in Ferreiras, all sentences to run concurrently. Judge Wexler ordered Ferreiras to pay restitution of $142,423 in Kozak and Leonard, and $16,975,366 in Ferreiras, and to pay restitution of twenty-five percent of his gross income during three years of supervised release on each count, which will run concurrently, and a special assessment on each count of $100, for a total of $1,100, and if he is deported, he cannot return illegally.
The Initial Decision bars Ferreiras from association with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any offering of penny stock. (Initial Decision No. 456; File No. 3-14610)
In the Matter of Alvin C. Ramsey
The Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions against Respondent Alvin C. Ramsey (Ramsey) pursuant to Section 15(b) of the Securities Exchange Act of 1934.
The Order finds that, on November 3, 2010, the United States District Court for the Southern District of Georgia entered a judgment against Ramsey after he pleaded guilty to one count of mail fraud. The Order further finds that the count to which Ramsey pleaded guilty alleged that, from June 2005 to January 2008, Ramsey knowingly and willfully devised and intended to devise a scheme and artifice to defraud and misappropriate more than $400,000 from a customer.
Based on the above, the Order bars Ramsey from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent or nationally recognized statistical rating organization; and further bars Ramsey from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-67744; File No. 3-14434)
In the Matter of Scott A. Wolf
On April 5, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Scott A. Wolf, currently a resident of Dubai, United Arab Emirates, based on the entry of a permanent injunction against him in the civil action entitled U.S. Securities and Exchange Commission v. Kenneth A. Dachman, et al., Civil Action Number 1:12-cv-00821, in the United States District Court for the Northern District of Illinois, Eastern Division.
The Order finds that on February 10, 2012, a final judgment was entered by consent against Wolf permanently enjoining him from violating Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a)(1) of the Securities Exchange Act of 1934 (Exchange Act). The Order further finds that the Commission’s complaint alleged that, between July 2008 and June 2010, Wolf and Stone Lion raised over $3.5 million from investors in Central Sleep and over $567,000 from investors in Central Sleep Florida and Advanced Sleep. Among other things, Wolf and Stone Lion prepared the initial drafts of offering materials based on information provided by Kenneth A. Dachman, the founder and chairman of all three companies, and distributed the offering materials and stock certificates to investors in exchange for a 6% commission. Wolf and Stone Lion were not registered as brokers at any time during the offerings. In addition, the complaint further alleged that no registration statement was filed with the Commission in connection with the Central Sleep securities offering and that Wolf and Stone Lion failed to provide Central Sleep investors with any disclosure documents similar to those used in registered offerings or inquire or obtain information from investors as to whether they qualified as accredited investors. Many of the investors, including friends of Wolf’s, were unsophisticated and did not qualify as accredited investors based on their net worth or income.
Based on the above, the Order bars Wolf from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after one year to the appropriate self-regulatory organization, or if there is none, to the Commission. Wolf consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the permanent injunction against him. (Rel. 34-66745, File No. 3-14837)
Court Holds Defendant in Contempt in Commission Action Involving Rhode Island-Based Offering Fraud
On April 5, 2012, the Commission announced that United States District Judge John J. McConnell, Jr., of the United States District Court for the District of Rhode Island entered an Order of Civil Contempt finding defendant David Stern in contempt based on Stern’s violation of the Court’s previous injunctive orders against him. Stern is a defendant in an enforcement action filed by the Commission in October 2010 alleging that he and his company, Online Registries, Inc., d/b/a Online Medical Registries (“OMR”), defrauded investors by making various misrepresentations and dissipating investor funds. The court initially entered a temporary restraining order and asset freeze in the case and later entered a preliminary injunction and continuing asset freeze that, among other things, prohibited Stern from transferring, assigning, or diminishing in value any assets of OMR or soliciting new investors.
On August 3, 2011, the Commission had filed an application for civil contempt against Stern, alleging that Stern had formed a new company, Instant Medical Access LLC d/b/a Instant Medical Access (“IMA”), that was virtually identical to OMR, and Stern then used OMR’s technology and other intellectual property for the benefit of his new venture. In addition, according to the application Stern had solicited at least one additional investor in IMA and was also spending his own money impermissibly in support of IMA, in violation of the injunctive orders entered against him in this case.
On April 3, 2012, the Court entered an Order of Civil Contempt finding that Stern’s solicitation of investors in IMA, diminishing of the corporate assets of OMR, and unauthorized payments violated the terms of the March 7, 2011 Stipulated Preliminary Injunction, Order Freezing Assets, and Order for Other Equitable Relief. The Court’s Order of Civil Contempt bars Stern from making further payments except as permitted in the Stipulated Preliminary Injunction. Further, the Court ordered Stern to provide documentation detailing every payment he made in excess of $50; provide a complete accounting of the sources of all income, funding, or money he has received; produce a list of all investors, shareholders, owners, and partners in IMA to the Commission; shutdown any and all websites attributable to IMA; and transfer to OMR any and all trade names, trademarks, and domain names attributable to IMA. Stern is further barred from usage of any trade name, trademark, or domain name attributable to IMA. In addition, the Court barred Stern from forming any other business utilizing technology that is similar to the technology that OMR utilizes or that otherwise competes with OMR or provides overlapping services to OMR. Stern is further ordered to provide to the Commission all documents, including computer code and software, relating to IMA. The Order also provides that the Court may impose additional penalties upon Stern in the event of further violations of any Order of the Court.
The Commission previously filed a civil injunctive action against Stern and his company OMR on October 19, 2010, alleging in its complaint that Stern had violated the federal securities laws through fraudulent misrepresentations regarding OMR’s subscriber base, technology testing, partnerships with third-parties, and anticipated share value. The complaint further alleged that Stern depleted virtually all of the investor funds he had received, largely by writing checks payable to himself and one of his affiliates. The Commission obtained a temporary restraining order against David Stern and OMR on October 19, 2010, and the Court subsequently entered a Stipulated Preliminary Injunction, Order Freezing Assets, and Order for Other Equitable Relief against Stern on March 7, 2011. On June 21, 2011, the Commission obtained an Order of Default Judgment as to Liability, Disgorgement, Prejudgment Interest, and Penalties against OMR.
[Securities and Exchange Commission v. Online-Registries, Inc. and David Stern, 10-CA-433-M-DLM (District of Rhode Island)] (LR-22317)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-044) to modify the fees applicable to Non-Display Usage of certain NASDAQ Depth-of-Book market data has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to made in the Federal Register during the week of April 2. (Rel. No. 34-66724)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-29) relating to additions to the schedule of 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. 34-66734)
A proposed rule change filed by The NASDAQ Stock Market LLC to re-organize NASDAQ’s rules governing the fees applicable to NASDAQ’s Depth-of-Book Market Data (SR-NASDAQ-2012-042) 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 9. (Rel. 34-66740)
A proposed rule change filed by The NASDAQ Stock Market LLC to modify NASDAQ’s transaction execution fee and credit schedule (SR-NASDAQ-2012-040) 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 9. (Rel. 34-66741)
Proposed Rule Changes
ICE Clear Credit LLC filed a proposed rule change (File No. SR-ICC-2012-06) under Section 19(b)(1) of the Securities Exchange Act of 1934 to Amend Schedule 502 of its Rules to Provide for Clearing of the Markit CDX North American High Yield Series 15 Credit Default Swap Contracts Maturing on December 20, 2013. Publication is expected in the Federal Register during the week of April 9. (Release No. 34-66732)
NASDAQ OMX BX, Inc. has filed a proposed rule change (SR-BX-2012-020) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 regarding registration, qualification, and continuing education requirements for associated persons. Publication of the proposal is expected in the Federal Register during the week of April 9. (Release No. 34-66733)
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 ExamWorks Group, Inc., 3280 PEACHTREE ROAD, SUITE 2625, ATLANTA, GA, 30305, 404-952-2400 - 250,000,000 ($250,000,000.00) Debt, (File 333-180549 - Apr. 4) (BR. 09) S-3 FLUIDIGM CORP, 7000 SHORELINE COURT, SUITE 100, SOUTH SAN FRANCISCO, CA, 94080, 6502666000 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-180550 - Apr. 4) (BR. 10A) S-1 USA Compression Partners, LP, 100 CONGRESS AVENUE, SUITE 450, AUSTIN, TX, 78701, 512-473-2662 - 0 ($75,000,000.00) Equity, (File 333-180551 - Apr. 4) (BR. 02) S-8 GILAT SATELLITE NETWORKS LTD, 7037349401 - 2,000,000 ($8,000,000.00) Equity, (File 333-180552 - Apr. 4) (BR. 11A) S-3 UDR, Inc., 1745 SHEA CENTER DRIVE, SUITE 200, HIGHLANDS RANCH, CO, 80129, 720-283-6120 - 0 ($69,096,705.34) Equity, (File 333-180553 - Apr. 4) (BR. 08C) S-8 ERF Wireless, Inc., 2911 SOUTH SHORE BLVD, SUITE 100, LEAGUE CITY, TX, 77573, 281-538-2101 - 250,000 ($532,500.00) Equity, (File 333-180555 - Apr. 4) (BR. 11A) S-8 ROCKWELL AUTOMATION INC, 1201 SOUTH 2ND STREET, MILWAUKEE, WI, 53204, 414-382-2000 - 0 ($544,034,000.00) Equity, (File 333-180557 - Apr. 4) (BR. 10C) S-1 ML MACADAMIA ORCHARDS L P, 26-238 HAWAII BELT ROAD, HILO, HI, 96720, 8089698057 - 0 ($20,250,000.00) ADRs/ADSs, (File 333-180558 - Apr. 4) (BR. 05A) S-3 Synthetic Biologics, Inc., 3985 RESEARCH PARK DRIVE,, SUITE 200, ANN ARBOR, MI, 48108, (734) 332-7800 - 3,223,558 ($7,124,063.80) Equity, (File 333-180562 - Apr. 4) (BR. 01A) S-3 DAWSON GEOPHYSICAL CO, 508 WEST WALL, SUITE 800, MIDLAND, TX, 79701, 9156843000 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-180563 - Apr. 4) (BR. 04B) S-4 FIRST COMMUNITY BANCSHARES INC /NV/, PO BOX 989, BLUEFIELD, VA, 26406-0989, 3044879000 - 2,157,133 ($26,312,871.00) Equity, (File 333-180564 - Apr. 4) (BR. 07C) S-3 SAVIENT PHARMACEUTICALS INC, ONE TOWER CENTER, EAST BRUNSWICK, NJ, 08816, 7324189300 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-180565 - Apr. 4) (BR. 01A) S-3 BASIC ENERGY SERVICES INC, 400 W. ILLINOIS, SUITE 800, MIDLAND, TX, 79701, 4326205500 - 0 ($1,000,000,000.00) Other, (File 333-180566 - Apr. 4) (BR. 04B) S-8 ALIMERA SCIENCES INC, 6120 WINDWARD PARKWAY, STE 290, ALPHARETTA, GA, 30005, 6789905740 - 0 ($4,374,197.10) Equity, (File 333-180567 - Apr. 4) (BR. 01B) S-8 Atlas Energy, L.P., PARK PLACE CORPORATE CENTER ONE, 1000 COMMERCE DRIVE, 4TH FLOOR, PITTSBURGH, PA, 15275, 412-489-0006 - 0 ($19,834,420.00) Equity, (File 333-180568 - Apr. 4) (BR. 02A) S-1 Francesca's Holdings CORP, 3480 WEST 12TH STREET, Houston, TX, 77008, 713-864-1358 - 0 ($334,408,500.00) Equity, (File 333-180569 - Apr. 4) (BR. 09) S-4 Remark Media, Inc., SIX CONCOURSE PARKWAY, SUITE 1500, ATLANTA, GA, 30328, (404) 974-2710 - 702,784 ($3,689,616.00) Equity, (File 333-180570 - Apr. 4) (BR. 11A) F-1 Aquasition Corp., 8-10 PAUL STREET, LONDON, X0, EC2A 4JH, 44-20-73770966 - 0 ($105,625,100.00) Equity, (File 333-180571 - Apr. 4) (BR. )
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.
Abingdon Futures Fund LP NY 3.02 04/01/12 ACUITY BRANDS INC DE 2.02,8.01,9.01 03/30/12 ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03,3.02, 03/29/12 9.01 AdvanSource Biomaterials Corp DE 4.01,9.01 04/04/12 AGILYSYS INC OH 5.02,7.01,9.01 03/29/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02 03/29/12 ALEXANDER & BALDWIN INC HI 8.01,9.01 04/03/12 AMEND Alexza Pharmaceuticals Inc. DE 5.02 04/03/12 ALION SCIENCE & TECHNOLOGY CORP DE 3.02 03/31/12 Ally Master Owner Trust 1.01,8.01,9.01 04/03/12 AMERICAN AIRLINES INC DE 8.01 04/04/12 AMERICAN INTERNATIONAL VENTURES INC / DE 5.01,7.01,9.01 03/26/12 AMEND AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.03 03/30/12 American Realty Capital Trust III, In MD 2.03,5.02 03/29/12 AMERICAN REALTY INVESTORS INC NV 2.02,9.01 04/02/12 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,2.02,2.03,3.02, 04/04/12 9.01 AMERIGON INC MI 1.01,8.01,9.01 03/30/12 AMR CORP DE 8.01 04/04/12 AMSURG CORP TN 7.01,9.01 03/31/12 ARES CAPITAL CORP MD 7.01,9.01 04/04/12 ARGAN INC DE 5.02 04/02/12 ARROW ELECTRONICS INC NY 8.01,9.01 04/03/12 Ascend Acquisition Corp. DE 1.01,9.01 02/29/12 AMEND ASIAINFO-LINKAGE, INC DE 5.02 03/30/12 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 04/04/12 Atlantic Green Power Holding Co DE 1.01,5.07,9.01 03/30/12 AVEO PHARMACEUTICALS INC DE 1.01,2.03,5.02,9.01 03/29/12 AVISTA CORP WA 8.01 04/02/12 Bacterin International Holdings, Inc. DE 7.01,9.01 04/04/12 BALLANTYNE STRONG, INC. DE 5.02 04/02/12 BAYHILL CAPITAL CORP DE 8.01,9.01 04/04/12 BED BATH & BEYOND INC NY 2.02,9.01 04/04/12 Bering Exploration, Inc. NV 1.01,9.01 04/04/12 BFC FINANCIAL CORP FL 5.03,9.01 04/04/12 BHM Discretionary Futures Fund L.P. DE 3.02 04/01/12 Bill The Butcher, Inc. NV 2.04,9.01 02/15/12 BillMyParents, Inc. CO 1.01,3.02,9.01 03/31/12 BIOGERON, INC. NV 5.02 03/28/12 BIOHEART, INC. FL 1.01 03/30/12 BIOJECT MEDICAL TECHNOLOGIES INC OR 4.01,9.01 03/30/12 BIOLASE TECHNOLOGY INC DE 7.01,9.01 04/04/12 BION ENVIRONMENTAL TECHNOLOGIES INC CO 3.02,5.02,9.01 03/30/12 Biostar Pharmaceuticals, Inc. MD 3.03,5.03,8.01,9.01 04/03/12 BLACKBAUD INC 8.01,9.01 04/04/12 BlackRock Inc. DE 1.01,2.03,9.01 03/30/12 BLUE DOLPHIN ENERGY CO DE 2.02,9.01 04/04/12 BOLT TECHNOLOGY CORP CT 5.07 11/22/11 AMEND Border Management, Inc. NV 3.02 03/02/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 04/04/12 BRANDYWINE REALTY TRUST MD 1.01,8.01,9.01 04/03/12 Bridgepoint Education Inc DE 1.01,3.03 03/30/12 Business Development Corp of America MD 8.01,9.01 04/04/12 CALLAWAY GOLF CO DE 1.01,7.01,8.01,9.01 03/30/12 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 03/31/12 Cardium Therapeutics, Inc. DE 8.01,9.01 03/30/12 CARMIKE CINEMAS INC DE 2.02,8.01,9.01 04/04/12 Carter Validus Mission Critical REIT, MD 7.01,9.01 04/04/12 Carter Validus Mission Critical REIT, MD 1.01,2.01,2.03,9.01 03/30/12 CARTERS INC DE 1.01 04/04/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02,9.01 03/30/12 CENTURY ALUMINUM CO DE 5.02 03/30/12 AMEND CENTURYLINK, INC LA 8.01,9.01 04/03/12 CIRCLE STAR ENERGY CORP. NV 7.01,9.01 04/03/12 CLAIBORNE LIZ INC DE 3.02 03/30/12 CLEVELAND BIOLABS INC DE 8.01,9.01 04/03/12 CNB CORP /SC/ SC 2.02,9.01 03/28/12 Colt Defense LLC DE 8.01,9.01 04/03/12 COMMUNITY FIRST INC TN 8.01 04/04/12 COMPUTER TASK GROUP INC NY 7.01,9.01 04/04/12 COMSCORE, INC. DE 5.02 03/29/12 Comstock Mining Inc. NV 5.02,9.01 04/02/12 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 1.01,9.01 03/29/12 CONOCOPHILLIPS DE 5.02,8.01,9.01 04/04/12 CONVENIENTCAST INC. NV 4.01,7.01 12/27/11 AMEND CORECARE SYSTEMS INC DE 8.01,9.01 03/26/12 CREDIT ACCEPTANCE CORP MI 1.01,2.03 03/29/12 CROSS BORDER RESOURCES, INC. NV 5.02 04/04/12 CROWN CASTLE INTERNATIONAL CORP DE 7.01,9.01 04/04/12 DATARAM CORP NJ 2.01 04/02/12 DDI CORP CA 1.01,8.01,9.01 04/03/12 DELTATHREE INC DE 1.01,9.01 04/03/12 DERMA SCIENCES, INC. PA 1.01,9.01 04/02/12 Digital Generation, Inc. DE 5.02 03/29/12 Discovery Communications, Inc. DE 8.01,9.01 01/23/12 DNB FINANCIAL CORP /PA/ PA 1.01,9.01 04/02/12 DOLE FOOD CO INC DE 5.02 03/29/12 DUMA ENERGY CORP NV 5.03,8.01,9.01 04/04/12 DYNEGY INC. DE 7.01,9.01 04/04/12 E DIGITAL CORP DE 8.01,9.01 04/02/12 EDELMAN FINANCIAL GROUP INC. TX 9.01 05/26/11 AMEND EdgeWave, Inc. DE 2.02,9.01 04/04/12 EdgeWave, Inc. DE 1.01,2.03,9.01 03/29/12 EL PASO ELECTRIC CO /TX/ TX 5.02 04/02/12 eLayaway, Inc. DE 1.01,3.02 03/29/12 EMERGING CTA PORTFOLIO LP NY 3.02 04/01/12 Enertopia Corp. NV 7.01,9.01 04/04/12 Enlightened Gourmet, Inc. NV 5.02 02/27/12 EQUITY LIFESTYLE PROPERTIES INC MD 5.02 04/02/12 EV Energy Partners, LP DE 1.01,9.01 03/29/12 ExamWorks Group, Inc. DE 8.01,9.01 04/03/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 04/04/12 Fifth Street Finance Corp DE 8.01,9.01 04/04/12 FIRST INTERSTATE BANCSYSTEM INC MT 5.02 04/01/12 FLATBUSH FEDERAL BANCORP INC 8.01 04/04/12 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,7.01,9.01 03/30/12 FORD MOTOR CO DE 8.01,9.01 04/04/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 04/04/12 FOREST LABORATORIES INC DE 1.01,1.02,9.01 04/02/12 FOSSIL INC DE 1.01,2.01,9.01 04/02/12 FRISCHS RESTAURANTS INC OH 2.02,9.01 04/03/12 FRISCHS RESTAURANTS INC OH 5.07 04/03/12 AMEND FULL HOUSE RESORTS INC DE 1.01,1.02,2.01,9.01 03/30/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 04/01/12 G&K SERVICES INC MN 2.02,5.02,7.01,9.01 03/30/12 Galena Biopharma, Inc. 1.01,8.01 04/03/12 Galena Biopharma, Inc. 9.01 04/04/12 AMEND GE Capital Credit Card Master Note Tr DE 8.01 04/04/12 GelTech Solutions, Inc. DE 1.01,3.02 03/29/12 General Maritime Corp / MI 8.01 04/02/12 GERON CORP DE 5.02 04/02/12 Global Investor Services, Inc. UT 1.01,2.03,3.02,9.01 03/05/12 GLU MOBILE INC DE 1.01 03/31/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 03/30/12 GREAT PLAINS ENERGY INC MO 7.01,8.01,9.01 04/04/12 GTX INC /DE/ DE 8.01,9.01 04/04/12 HALCON RESOURCES CORP DE 4.01,8.01,9.01 04/03/12 HAMPSHIRE GROUP LTD DE 5.02 03/30/12 HCA Holdings, Inc. 5.02,9.01 03/30/12 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,5.02,9.01 04/04/12 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 04/03/12 HEALTHCARE SERVICES GROUP INC PA 5.02,8.01,9.01 04/04/12 Heckmann Corp DE 8.01,9.01 04/04/12 High Plains Gas, Inc. NV 1.01,3.02,9.01 03/09/12 HORNBECK OFFSHORE SERVICES INC /LA DE 1.01,2.04,8.01,9.01 03/30/12 HOT TOPIC INC /CA/ CA 8.01,9.01 04/02/12 IASIS Healthcare LLC DE 5.02 03/31/12 IDENTIVE GROUP, INC. DE 5.02,8.01,9.01 03/29/12 IMPERIAL OIL LTD 8.01,9.01 03/21/12 INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 04/02/12 Independence Bancshares, Inc. SC 5.02 03/29/12 Indigo International, Corp. NV 4.01,9.01 03/30/12 INLAND REAL ESTATE CORP MD 1.01,2.03,9.01 03/29/12 Innophos Holdings, Inc. 5.02 03/30/12 INSIGNIA SYSTEMS INC/MN MN 5.02 03/30/12 INTERFACE INC GA 2.05,2.06 04/04/12 INTERNATIONAL SPEEDWAY CORP FL 5.02,7.01,8.01,9.01 04/04/12 IRONSTONE GROUP INC DE 1.01,2.01,2.03,3.02, 03/30/12 5.02 ITRON INC /WA/ WA 8.01 04/02/12 JAKKS PACIFIC INC DE 5.02,9.01 03/29/12 JPMORGAN CHASE & CO DE 8.01 04/04/12 KEMET CORP DE 1.01,2.03,8.01,9.01 03/29/12 KENEXA CORP 5.02,9.01 03/29/12 KENT FINANCIAL SERVICES INC NV 1.01,9.01 04/03/12 KILROY REALTY CORP MD 5.02,9.01 03/30/12 KIRKLAND'S, INC 5.02 03/30/12 KMG CHEMICALS INC TX 4.01,9.01 04/04/12 KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 04/04/11 Lantheus Medical Imaging, Inc. DE 2.02 04/03/12 LifeCare Holdings, Inc. DE 2.02,7.01,9.01 03/30/12 LIGAND PHARMACEUTICALS INC DE 1.01,9.01 03/29/12 LINCOLN EDUCATIONAL SERVICES CORP NJ 5.02 03/29/12 Linkwell CORP FL 1.01,2.01,3.02,5.02, 03/29/12 5.03,9.01 MAGICJACK VOCALTEC LTD L3 5.02 04/04/12 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 03/29/12 McEwen Mining Inc. CO 9.01 01/24/12 AMEND MDC PARTNERS INC A6 7.01,9.01 04/04/12 Medley Capital Corp DE 1.01,9.01 03/30/12 MERCANTILE BANK CORP MI 1.01,9.01 04/04/12 Meritage Futures Fund L.P. DE 3.02 04/01/12 MERU NETWORKS INC DE 2.02,9.01 04/04/12 MINDSPEED TECHNOLOGIES, INC DE 2.05 03/29/12 Mistras Group, Inc. DE 2.02,9.01 04/04/12 MONSANTO CO /NEW/ DE 2.02,9.01 04/04/12 MOSAIC CO 2.02,9.01 03/29/12 MOTORCAR PARTS AMERICA INC NY 1.01,1.02,2.03,7.01, 01/18/12 AMEND 9.01 MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 04/04/12 Mueller Water Products, Inc. DE 2.01,5.02,8.01,9.01 04/02/12 NANOPHASE TECHNOLOGIES CORPORATION IL 1.01,9.01 03/31/12 NATIONAL BANK OF INDIANAPOLIS CORP IN 5.02 04/02/12 NATIONAL HOLDINGS CORP DE 1.01,3.02,5.02,9.01 03/30/12 NATIONAL HOLDINGS CORP DE 1.01,5.02,9.01 04/04/12 NAUTILUS, INC. WA 5.02,9.01 04/02/12 NAVARRE CORP /MN/ MN 1.01,9.01 03/30/12 NBC ACQUISITION CORP DE 7.01,9.01 04/02/12 NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 03/29/12 NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 03/30/12 New Concept Energy, Inc. NV 2.02,9.01 03/30/12 NEWS CORP 8.01,9.01 04/04/12 Northwest Bancshares, Inc. MD 8.01,9.01 04/04/12 NTELOS HOLDINGS CORP 2.02,7.01,9.01 04/04/12 NUTRACEA CA 5.02,9.01 04/02/12 OMNICELL, Inc CA 5.02,8.01 03/30/12 Onteco Corp NV 5.03,9.01 04/03/12 ORASURE TECHNOLOGIES INC DE 7.01,9.01 04/04/12 ORIGINOIL INC NV 5.02,8.01,9.01 03/29/12 ORION FUTURES FUND LP NY 3.02 04/01/12 Orpheum Property Inc DE 5.02 01/13/12 PACIFIC BIOSCIENCES OF CALIFORNIA INC 5.02 04/02/12 PCS EDVENTURES COM INC ID 2.03,9.01 02/29/12 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 03/29/12 PG&E CORP CA 3.02 04/04/12 Polaris Futures Fund L.P. DE 3.02 04/01/12 POLYMER GROUP INC DE 2.02,9.01 03/30/12 Portlogic Systems Inc. NV 5.03,9.01 03/30/12 PREMIER EXHIBITIONS, INC. FL 8.01,9.01 04/04/12 PRICESMART INC DE 2.02,9.01 04/04/12 PROCERA NETWORKS INC NV 4.01,9.01 03/30/12 AMEND QEP RESOURCES, INC. DE 5.02,9.01 03/30/12 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03 03/29/12 RED ROBIN GOURMET BURGERS INC DE 7.01,9.01 04/04/12 REGIONS FINANCIAL CORP DE 8.01,9.01 04/04/12 REINSURANCE GROUP OF AMERICA INC MO 5.02 04/02/12 Rock-Tenn CO GA 1.01,9.01 03/30/12 RUBY TUESDAY INC GA 2.02,9.01 02/28/12 SAGE FUND LP MD 3.02 04/01/12 SAND HILLS, INC NV 1.01,2.01,3.02, 03/30/12 4.01,5.01,5.02, 5.03,5.06,9.01 SANDRIDGE ENERGY INC DE 1.01,8.01,9.01 04/02/12 Santander Holdings USA, Inc. PA 7.01,9.01 04/04/12 SCHOOL SPECIALTY INC WI 5.02,7.01,8.01,9.01 04/02/12 SCHULMAN A INC DE 2.02,9.01 04/04/12 SCIQUEST INC DE 8.01 03/29/12 AMEND SEFE, INC. NV 5.02,9.01 03/29/12 SELECT COMFORT CORP MN 7.01,9.01 04/04/12 Silver Falcon Mining, Inc. DE 8.01 04/04/12 AMEND SINCLAIR BROADCAST GROUP INC MD 2.01,7.01,9.01 04/01/12 SinoCubate, Inc NV 5.02 03/29/12 SMART BALANCE, INC. DE 5.02 03/30/12 SOURCE ROCK, INC. NV 5.02 12/01/11 SOUTHWEST BANCORP INC OK 5.02 03/29/12 SPORT CHALET INC DE 5.02 03/30/12 Steel Excel Inc. DE 5.02,9.01 04/03/12 STERIS CORP OH 8.01 03/30/12 STUDIO II BRANDS INC FL 2.01 03/29/12 SYKES ENTERPRISES INC FL 1.01,2.01,2.05,9.01 03/29/12 SYNTROLEUM CORP DE 8.01 04/04/12 TEAM INC TX 2.02,9.01 04/03/12 Teucrium Commodity Trust 8.01 04/04/12 TOMPKINS FINANCIAL CORP NY 5.02,8.01,9.01 04/03/12 TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 04/02/12 UDR, Inc. MD 8.01,9.01 04/04/12 UNION FIRST MARKET BANKSHARES CORP VA 5.02,8.01,9.01 04/01/12 UNITED COMMUNITY FINANCIAL CORP OH 1.01,1.02,9.01 03/30/12 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 04/02/12 US AIRWAYS GROUP INC DE 2.02,9.01 04/04/12 US AIRWAYS GROUP INC DE 2.02,9.01 04/04/12 Utilicraft Aerospace Industries, Inc. NV 5.03,9.01 03/29/12 VALIDUS HOLDINGS LTD 8.01,9.01 04/04/12 Vanguard Natural Resources, LLC DE 1.01,2.01,2.03,9.01 04/04/12 Verso Paper Corp. DE 8.01,9.01 04/04/12 VHGI HOLDINGS, INC. DE 5.03,9.01 03/29/12 VIASYSTEMS GROUP INC DE 1.01,8.01,9.01 04/03/12 VirtualScopics, Inc. DE 1.01,3.02,3.03,5.02, 04/03/12 5.03,5.07,8.01,9.01 VIRTUSA CORP 2.03 03/30/12 Vulcan Materials CO NJ 8.01,9.01 04/04/12 Walker & Dunlop, Inc. MD 5.02 03/30/12 Weatherford International Ltd./Switze V8 1.01,2.03,9.01 03/30/12 WELLS FARGO & CO/MN DE 9.01 04/04/12 WEST MARINE INC DE 5.02,9.01 04/03/12 WESTELL TECHNOLOGIES INC DE 5.02,9.01 04/01/12 WESTPORT JWH FUTURES FUND LP NY 3.02 04/01/12 WFRBS Commercial Mortgage Trust 2012- NC 8.01,9.01 04/04/12 WHY USA FINANCIAL GROUP INC NV 1.01,3.02,5.02 03/30/12 WIDEPOINT CORP DE 2.02,9.01 03/29/12 Willbros Group, Inc.\NEW\ 1.01,2.02,2.03,2.06, 3/29/12 3.01,8.01,9.010 WISCONSIN ENERGY CORP WI 2.02,7.01,9.01 04/04/12 WMI HOLDINGS CORP. WA 1.01,5.02,8.01,9.01 03/29/12 X-CHANGE CORP NV 1.01,8.01,9.01 04/04/12 XENOPORT INC DE 8.01 04/04/12 YAHOO INC DE 2.05 04/04/12 ZILLOW INC WA 7.01 04/04/12 ZIPREALTY INC 4.01,9.01 03/29/12 Zumiez Inc WA 7.01,9.01 04/04/12