SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives
The Securities and Exchange Commission today unanimously adopted a new rule to define a series of terms related to the over-the-counter swaps market.
The rules, written jointly with the Commodity Futures Trading Commission (CFTC), implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that established a comprehensive framework for regulating derivatives.
“Adopting these entity definitions is a foundational step in the establishment of the new regime to regulate trading in this significant market,” said SEC Chairman Mary L. Schapiro. “These rules clarify for market participants whether their current activities will subject them to comprehensive oversight in the coming months.”
The final rule will become effective 60 days after the date of publication in the Federal Register. (Press Rel. 2012-67)
Commission Revokes Registration of Securities of Lakeside Mortgage Fund LLC For Failure to Make Required Periodic Filings
On April 18, 2012, the Commission revoked the registration of each class of registered securities of Lakeside Mortgage Fund LLC (Lakeside Mortgage Fund) 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, Lakeside Mortgage Fund 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 Lakeside Mortgage Fund LLC 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 Lakeside Mortgage Fund’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Lakeside Mortgage Fund in In the Matter of JC Acquisition Corp., et al., Administrative Proceeding File No. 3-14771.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of JC Acquisition Corp., et al., Administrative Proceeding File No. 3-14771, Exchange Act Release No. 66470, February 27, 2012. (Rel. 34-66823; File No. 3-14771)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Angstrom Microsystems Corp., Bedminster National Corp., Brake Headquarters U.S.A., Inc., and BrandPartners Group, Inc., 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. (Exchange Act Release No. 34-66824; File No. 3-14817)
In the Matter of Brian J. Smart
On April 18, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Brian J. Smart (Smart).
In the Order, the Division of Enforcement alleges that: From 2003 until 2009, Smart owned and operated an unregistered investment adviser, Smart Assets, LLC (Smart Assets). On June 8, 2011, a final judgment was entered against Smart and Smart Assets, permanently enjoining defendants from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5, and ordering defendants to pay $2,059,077 in disgorgement, prejudgment interest of $597,426, and a civil penalty of $2,059,077, in the civil action titled SEC v. Brian J. Smart, et al., Civil Action Number 2:09-CV-00224, in the United States District Court for the District of Utah. The Court found that Smart and Smart Assets, inter alia, misappropriated over $2.05 million from investors through a “systematic program of deception and fraud.” The Court found that Smart falsely represented that he would place investor funds in safe, principal guaranteed investments. Instead, the Court found, Smart used investor money to pay personal expenses, to invest in risky real estate ventures and hard money loans, and to pay purported “dividends” to other investors.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Smart with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Order. (Rel. IA-3397; File No. 3-14851)
Former Gateway CFO Settles SEC Fraud Action
On April 10, 2012, a final judgment was entered against John J. Todd, a former CFO of Gateway, Inc. Todd consented to entry of the final judgment without admitting or denying the allegations made by the Securities and Exchange Commission that he engaged in fraud and other violations of the federal securities laws in connection with Gateway’s recognition of revenue in the third quarter of 2000. This concludes the litigation of this action, brought in 2003 against three former officers of Gateway.
The SEC alleged that Todd falsely represented Gateway’s financial condition in the third quarter of 2000 in order to meet financial analysts’ earnings and revenue expectations. Among other transactions, the SEC alleged that Todd caused Gateway to record $47.2 million in revenue from a one-time sale of fixed assets to Gateway’s third-party information technology services provider in violation of Generally Accepted Accounting Principles (GAAP), and that Todd, then Gateway’s CFO, caused Gateway to recognize an additional $21 million in revenue from an incomplete sale of computers to a second entity, also in violation of GAAP. The SEC alleged that absent either of these transactions, Gateway would not have met analysts’ expectations with regard to its third quarter revenue.
Todd consented to a final judgment permanently enjoining him from violations of the antifraud provisions of Section 10(b) and Rule 10b-5 thereunder, and from violations of SEC Rule 13b2-2, which prohibits making misrepresentations and omissions of material fact to company auditors, as well as from aiding and abetting the issuer reporting provisions of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Todd further consented to be barred for ten years from acting as an officer or director of a public company, and to pay disgorgement of $165,000, constituting his salary and bonus for the relevant quarter, together with prejudgment interest thereon of $138,162.24 totaling $303,162.24, and a $110,000 penalty.
Previously, on March 7, 2007, a jury had rendered a unanimous verdict finding Todd and defendant Robert D. Manza, Gateway’s former controller, liable for fraud, making false representations to auditors, aiding and abetting issuer reporting violations and other violations following a three week trial. On May 30, 2007, the Honorable Roger T. Benitez overturned the jury verdict as to the fraud and certain other claims. The SEC appealed that ruling, as well as the District Court’s prior August 1, 2006, grant of summary judgment to Gateway’s former CEO, Jeffrey Weitzen, dismissing the SEC’s case as to Weitzen. On June 23, 2011, the Ninth Circuit reversed those rulings and remanded the matter to the District Court. On January 25, 2012, the Court entered final judgments against Weitzen and Manza pursuant to their consents. For further information see LR 22244, January 31, 2012. [SEC v. John J. Todd, Robert D. Manza, and Jeffrey Weitzen, United States District Court for the Southern District of California, Case No. 03 CV 2230 BEN] (LR-22335; AAE Rel. 3381)
Court Enters Judgment Enforcing Commission Order Suspending Attorney William J. Reilly from Practicing as an Attorney before Commission
On April 16, 2012, Judge Donald M. Middlebrooks of the United States District Court for the Southern District of Florida entered a judgment enforcing an order entered by the Securities and Exchange Commission suspending William J. Reilly, a New York attorney residing in Boca Raton, Florida, from appearing or practicing as an attorney before the SEC.
The judgment finds that on October 27, 2009 the SEC suspended Reilly from appearing or practicing as an attorney before the SEC, with the right to apply for reinstatement after three years. In the Matter of William J. Reilly, Esq., Admin. Proc. 3-13666 (Oct. 27, 2009). The judgment further finds that a registration statement on Form S-8 filed with the SEC on June 21, 2011 incorporated as an exhibit a legal opinion letter signed by Reilly. By this conduct, Reilly knowingly violated the terms of the order suspending him from appearing or practicing before the SEC as an attorney.
The judgment entered by the court under Section 21(e) of the Securities Exchange Act of 1934 requires Reilly to comply with the SEC order. [SEC v. William J. Reilly, 9:11-CV-81322-DMM (S.D. Fla.)] (LR-22336)
SEC Charges Los Angeles-Based Perpetrator For Municipal Bond Fraud Scheme
The Securities and Exchange Commission today announced that it has obtained an emergency court order to freeze the assets of a Los Angeles man orchestrating a securities fraud by falsely presenting himself to investors as a specialist in municipal bond investments.
The SEC alleges that Michael Anthony Gonzalez raised approximately $1 million since February 2010 by telling investors he would invest their money in specific tax-exempt municipal bonds insured by the Securities Investor Protection Corporation (SIPC). In reality, Gonzalez never purchased the bonds and instead deposited investor money into his own bank account for personal use. He later attempted to conceal the scheme by providing investors with phony confirmation statements.
According to the SEC’s complaint filed in the United States District Court for the Central District of California, Gonzalez falsely told investors that he was associated with New York-based broker-dealer May Capital Group in order to portray himself as a legitimate money manager. Gonzalez had no dealings with May Capital, and through his false representations and fake confirmations he succeeded in giving investors the false impression that their investments were insured and safe. Gonzalez also provided investors with phony trade confirmations that identified securities that were either not purchased or non-existent.
The Honorable S. James Otero, United States District Judge, granted the SEC’s request for a temporary restraining order against Gonzalez and issued orders freezing his assets, requiring accountings, prohibiting the destruction of documents, and granting expedited discovery. The court will hold a hearing on the SEC’s motion for a preliminary injunction on May 25, 2012.
The SEC’s complaint charges Gonzalez with violating the antifraud provisions, Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and the registration provisions of Section 15(a) of the Exchange Act. In addition to the emergency relief, the SEC’s complaint seeks preliminary and permanent injunctions, disgorgement, prejudgment interest, and financial penalties against Gonzalez.
The SEC’s investigation was conducted by Solomon R. Mangolini and Janet Weissman in the Los Angeles Regional Office. Spencer Bendell will lead the SEC’s litigation. [SEC v. Michael Anthony Gonzalez, United States District Court for the Central District of California, Case No. 12-03319 SJO (PLAx)] (LR-22337)
Domini Social Investment Trust
Domini Social Investments LLC
An order has been issued on an application filed by Domini Social Investment Trust and Domini Social Investments LLC, exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30035 – April 17)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca, Inc. relating to the Peritus High Yield ETF (SR-NYSEArca-2012-33) 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 16. (Rel. 34-66818)
Amendment to Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. filed Amendment No. 1 to its proposed rule change (SR-FINRA-2011-058) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities). Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66819)
Proposed Rule Changes
NYSE Amex LLC filed a proposed rule change under Rule 19b-4 (SR-NYSEAmex-2012-22) amending NYSE Amex Equities Rule 107B to add a class of Supplemental Liquidity Providers that are registered as Market Makers at the exchange. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66820)
New York Stock Exchange LLC filed a proposed rule change under Rule 19b-4 (SR-NYSE-2012-10) amending NYSE Rule 107B to add a class of Supplemental Liquidity Providers that are registered as Market Makers at the exchange. Publication is expected in the Federal Register during the week of April 16. (Rel. 34-66821)
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 GREAT IDEA CORP, 2724 OTTER CREEK CT, 101, LAS VEGAS, NV, 89117, 702-767-5131 - 4,000,000 ($100,000.00) Equity, (File 333-180761 - Apr. 17) (BR. 04) N-2 CONNECTOR CAPITAL Corp, 970 WEST BROADWAY, PMB 402 POB 30 000, JACKSON, WY, 83002, 307 633 2831 - 0 ($115,000,000.00) Equity, (File 333-180762 - Apr. 17) (BR. 16) S-3ASR AUTOZONE INC, 123 SOUTH FRONT ST, MEMPHIS, TN, 38103, 9014956500 - 0 ($0.00) Debt, (File 333-180768 - Apr. 17) (BR. 02B) S-8 FORUM ENERGY TECHNOLOGIES, INC., 8807 W SAM HOUSTON PKWY NORTH, SUITE 200, HOUSTON, TX, 77040, 713-351-7900 - 18,500,000 ($404,502,500.00) Equity, (File 333-180769 - Apr. 17) (BR. 04A) S-8 Allot Communications Ltd., 5 HANAGAR STREET, INDUSTRIAL ZONE B, HOD-HASHARON, L3, 45800, 972-9-761-9200 - 1,000,000 ($23,760,000.00) Equity, (File 333-180770 - Apr. 17) (BR. 03B) F-3 CANADIAN IMPERIAL BANK OF COMMERCE /CAN/, PO BOX 770, SUITE 4440, BCE PLACE, 181 BAY STREET, TORONTO ONTARIO, A6, A6 M5L 1A2, 2128563612 - 0 ($2,000,000,000.00) Debt, (File 333-180771 - Apr. 17) (BR. 12A) S-1 FIRSTBANK CORP, 311 WOODWORTH AVE, PO BOX 1029, ALMA, MI, 48801, 5174633131 - 611,947 ($37,949,997.00) Equity, (File 333-180773 - Apr. 17) (BR. 07C) S-4 Hexion U.S. Finance Corp., 180 EAST BROAD STREET, COLUMBUS, OH, 43215, (614) 225-4000 - 0 ($450,000,000.00) Non-Convertible Debt, (File 333-180774 - Apr. 17) (BR. 06B) S-1 GlobalOptions Group, Inc., 75 ROCKEFELLER PLAZA, 27TH FLOOR, NEW YORK, NY, 10019, 212-445-6262 - 3,311,086 ($9,271,041.00) Equity, (File 333-180775 - Apr. 17) (BR. 08C) S-8 Myriad Interactive Media, Inc., 7 INGRAM DRIVE SUITE 128, TORONTO, A6, M6M 2L7, 888-648-9366 - 855,462 ($84,690.74) Equity, (File 333-180776 - Apr. 17) (BR. 09B) S-8 MRC GLOBAL INC., 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100, HOUSTON, TX, 77010, 877.294.7574 - 0 ($128,104,745.67) Equity, (File 333-180777 - Apr. 17) (BR. 06C) S-8 Erickson Air-Crane Inc, 5550 SW MACADAM AVENUE, SUITE 200, PORTLAND, OR, 97239, 503-505-5800 - 0 ($3,349,544.90) Equity, (File 333-180778 - Apr. 17) (BR. 05A) S-3 Morgan Stanley Capital I Inc., 1585 BROADWAY, NEW YORK, NY, 10036, 212-761-4000 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-180779 - Apr. 17) (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.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 8.01,9.01 04/17/12 3M CO DE 8.01 04/17/12 ABM INDUSTRIES INC /DE/ DE 5.02 04/13/12 ACCO BRANDS CORP DE 2.02,7.01,9.01 04/17/12 ACCO BRANDS CORP DE 7.01,9.01 04/17/12 ACEM HOLDINGS, INC. NV 1.01,9.01 12/10/11 AMEND ACEM HOLDINGS, INC. NV 1.03,3.03 12/13/11 AMEND ACEM HOLDINGS, INC. NV 8.01 12/21/11 AMEND ACEM HOLDINGS, INC. NV 5.07 01/06/12 AMEND ACEM HOLDINGS, INC. NV 2.01,5.01,5.02,5.03 01/09/12 AMEND AEHR TEST SYSTEMS CA 8.01,9.01 04/17/12 AGENUS INC DE 7.01,9.01 04/17/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/17/12 ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 04/17/12 ALLIANT TECHSYSTEMS INC DE 5.02 04/16/12 Ally Financial Inc. DE 8.01 04/17/12 ALR TECHNOLOGIES INC. NV 5.03,9.01 04/10/12 AMBIENT CORP /NY DE 8.01 04/17/12 American Mining Corp NV 5.02 04/14/12 AMERISERV FINANCIAL INC /PA/ PA 2.02 04/17/12 AMERISTAR CASINOS INC NV 1.01,9.01 04/16/12 ASTEC INDUSTRIES INC TN 1.01,2.03 04/12/12 AXCELIS TECHNOLOGIES INC DE 8.01 04/17/12 BANCFIRST CORP /OK/ OK 2.02,9.01 04/16/12 BERRY PETROLEUM CO DE 1.01,2.03,9.01 04/13/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 04/17/12 BLONDER TONGUE LABORATORIES INC DE 2.01,9.01 02/01/12 AMEND Bluerock Enhanced Multifamily Trust, MD 8.01 04/17/12 BORGWARNER INC DE 7.01,9.01 04/17/12 Bridgepoint Education Inc DE 1.01,2.03,3.03 04/13/12 Burlington Coat Factory Investments H 7.01,9.01 04/17/12 Business Development Corp of America MD 8.01,9.01 04/17/12 CABOT MICROELECTRONICS CORP DE 2.02,9.01 04/16/12 CANANDAIGUA NATIONAL CORP NY 5.07 04/11/12 Capital Group Holdings, Inc. MN 1.01 04/12/12 CARNIVAL CORP DE 5.07 04/11/12 Castmor Resources Ltd NV 5.02 04/16/12 CATHAY GENERAL BANCORP DE 2.02,9.01 04/17/12 CENTERPOINT ENERGY INC 7.01,9.01 04/17/12 CenterState Banks, Inc. FL 7.01,9.01 04/17/12 CH ENERGY GROUP INC NY 2.03 04/16/12 CHARMING SHOPPES INC PA 5.02 04/12/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,2.03,9.01 04/11/12 CHENIERE ENERGY INC DE 8.01,9.01 04/16/12 CHENIERE ENERGY INC DE 3.02 04/16/12 Cheniere Energy Partners, L.P. DE 8.01,9.01 04/16/12 CHINA EDUCATION ALLIANCE INC. NC 2.02,9.01 04/16/12 CHINA RECYCLING ENERGY CORP 5.02 04/12/12 CHINA YIDA HOLDING, CO. 4.01,9.01 04/13/12 CHINACAST EDUCATION CORP DE 5.02 04/11/12 CHRISTOPHER & BANKS CORP DE 5.02,7.01,9.01 04/13/12 CITIZENS CAPITAL CORP TX 1.01,8.01,9.01 04/17/12 CNB FINANCIAL CORP/PA PA 2.02,9.01 04/16/12 COCA COLA CO DE 2.02,9.01 04/17/12 COCA COLA CO DE 2.02,9.01 04/17/12 AMEND Colorado Ceramic Tile, Inc. CO 5.03 04/11/12 COMERICA INC /NEW/ DE 2.02,7.01,9.01 04/17/12 CONSOLIDATED TOMOKA LAND CO FL 5.02,9.01 04/16/12 COSTAR GROUP INC DE 8.01 04/17/12 CREE INC NC 2.02,9.01 04/17/12 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 04/16/12 CSX CORP VA 2.02,9.01 04/17/12 DARA BioSciences, Inc. DE 8.01 04/16/12 DDI CORP CA 2.02,9.01 04/16/12 DEERE JOHN CAPITAL CORP DE 9.01 04/17/12 DESTINY MEDIA TECHNOLOGIES INC CO 8.01,9.01 04/16/12 Digerati Technologies, Inc. NV 7.01,8.01,9.01 04/11/12 Digital Cinema Destinations Corp. DE 8.01,9.01 04/17/12 DREAMS INC UT 8.01,9.01 04/13/12 AMEND DRIVETIME AUTOMOTIVE GROUP INC DE 8.01 04/12/12 DTS, INC. DE 1.01,8.01,9.01 04/16/12 Eagle Ford Oil & Gas Corp NV 4.01,9.01 04/17/12 EAST WEST BANCORP INC 2.02,9.01 04/17/12 ECOLOGY COATINGS, INC. NV 3.02 04/17/12 Edgen Murray II, L.P. DE 7.01,9.01 04/17/12 EL PASO ELECTRIC CO /TX/ TX 8.01,9.01 04/17/12 EMPIRE ENERGY CORP UT 8.01 04/17/12 Emrise CORP DE 5.02 04/17/12 EMTEC INC/NJ UT 2.02,9.01 04/17/12 ENERGIZER HOLDINGS INC MO 5.02 04/16/12 ENGLOBAL CORP NV 2.02,2.03,9.01 04/12/12 EnteroMedics Inc 1.01,2.03,3.02,8.01, 04/16/12 9.01 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 04/17/12 ENTROPIC COMMUNICATIONS INC DE 1.01,9.01 04/15/12 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,9.01 04/16/12 ESB FINANCIAL CORP PA 7.01,9.01 04/17/12 FASTENAL CO MN 7.01,9.01 04/17/12 Federal Home Loan Bank of Atlanta X1 2.03 04/17/12 Federal Home Loan Bank of Boston X1 2.03 04/11/12 Federal Home Loan Bank of Chicago X1 2.03 04/11/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/11/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/13/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/17/12 Federal Home Loan Bank of New York X1 2.03,9.01 04/11/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/11/12 Federal Home Loan Bank of San Francis X1 2.03 04/13/12 Federal Home Loan Bank of Seattle 2.03 04/11/12 Federal Home Loan Bank of Topeka 2.03,9.01 04/11/12 FIFTH THIRD BANCORP OH 7.01,9.01 04/17/12 FIRST DATA CORP DE 5.02,9.01 04/12/12 First Liberty Power Corp NV 1.01,3.02,5.02,8.01, 04/01/12 9.01 FIRST SECURITY GROUP INC/TN TN 5.02,7.01,9.01 04/16/12 FIRST SOLAR, INC. DE 2.05,2.06,7.01,8.01, 04/16/12 9.01 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 04/17/12 FOOTSTAR INC DE 8.01 04/17/12 FOREST LABORATORIES INC DE 2.02,9.01 04/17/12 FORUM ENERGY TECHNOLOGIES, INC. DE 1.01,3.02,5.02,5.03, 04/11/12 7.01,9.01 FOSSIL INC DE 5.02,9.01 04/16/12 FULLER H B CO MN 5.07 04/12/12 FULTON FINANCIAL CORP PA 2.02,9.01 04/17/12 GENERAL AIRCRAFT INC. NV 8.01 04/16/12 Goldenway, Inc. NV 1.01,2.01,3.02,5.01, 04/16/12 AMEND 5.02,5.03,5.06,5.07, 9.01 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 04/17/12 GRAINGER W W INC IL 2.02,9.01 04/17/12 GRANT HARTFORD CORP MT 8.01 04/16/12 GRANT HARTFORD CORP MT 8.01 04/16/12 AMEND GTJ REIT, Inc. MD 5.02 04/11/12 HANDENI GOLD INC. NV 5.02 04/16/12 HARLEYSVILLE GROUP INC DE 8.01,9.01 04/16/12 HCSB FINANCIAL CORP SC 2.02,9.01 04/17/12 HEMISPHERX BIOPHARMA INC DE 1.01,5.02 03/03/12 AMEND HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,9.01 04/17/12 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 3.01,8.01,9.01 04/17/12 Hines Global REIT, Inc. MD 7.01,8.01,9.01 04/16/12 IGATE CORP PA 5.07 04/13/12 INFOSPACE INC DE 2.01,9.01 01/31/12 AMEND INLAND REAL ESTATE CORP MD 8.01,9.01 04/17/12 INSMED INC VA 8.01,9.01 04/16/12 INTEL CORP DE 2.02 04/17/12 Intermec, Inc. DE 2.02,7.01,9.01 04/17/12 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 04/17/12 INTERPLAY ENTERTAINMENT CORP DE 4.01,9.01 03/19/12 AMEND Intrepid Potash, Inc. DE 2.02,7.01,9.01 04/17/12 INTUITIVE SURGICAL INC DE 2.02,9.01 04/17/12 ISC8 INC. /DE DE 3.02 04/13/12 ISTA PHARMACEUTICALS INC DE 8.01,9.01 04/16/12 ISTA PHARMACEUTICALS INC DE 8.01,9.01 04/16/12 AMEND JOHNSON & JOHNSON NJ 2.02,9.01 04/17/12 KIT digital, Inc. DE 5.02,9.01 04/11/12 KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 04/17/12 LAYNE CHRISTENSEN CO DE 5.03,9.01 04/11/12 LENCO MOBILE INC. DE 5.02,9.01 04/11/12 Lifetech Industries Inc. NV 8.01 04/16/12 LIGHTBRIDGE Corp NV 5.07 04/17/12 Limoneira CO DE 8.01,9.01 04/16/12 LINCARE HOLDINGS INC DE 2.02,9.01 04/16/12 Location Based Technologies, Inc. NV 7.01,9.01 04/16/12 LoopNet, Inc. DE 8.01 04/17/12 Madison Enterprises Group, Inc. DE 2.01,3.02,5.01,5.02, 05/10/11 AMEND 5.03,9.01 MARTIN MARIETTA MATERIALS INC NC 8.01,9.01 04/16/12 MCCORMICK & CO INC MD 7.01,9.01 04/17/12 MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 04/17/12 MEADWESTVACO Corp DE 8.01,9.01 04/13/12 Medefile International, Inc. NV 2.02,9.01 04/17/12 MEDTOX SCIENTIFIC INC DE 2.02,9.01 04/12/12 MERCANTILE BANK CORP MI 2.02,9.01 04/17/12 MidWestOne Financial Group, Inc. IA 7.01,9.01 04/17/12 MRC GLOBAL INC. DE 1.01,1.02,3.03,5.03, 04/11/12 9.01 NATIONAL SECURITY GROUP INC DE 8.01,9.01 04/13/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 04/17/12 NATUS MEDICAL INC DE 1.02,3.03 04/13/12 NBC ACQUISITION CORP DE 8.01,9.01 04/10/12 NEAH POWER SYSTEMS, INC. NV 7.01,9.01 04/16/12 NEWLINK GENETICS CORP 8.01,9.01 04/17/12 NEWMARKET CORP VA 8.01,9.01 04/16/12 NEWS CORP 8.01,9.01 04/17/12 Next 1 Interactive, Inc. NV 1.01,2.03,3.02,9.01 03/28/12 NORTHERN TRUST CORP DE 2.02,9.01 04/17/12 NORTHERN TRUST CORP DE 7.01,9.01 04/17/12 NORTHWEST BIOTHERAPEUTICS INC DE 2.03,3.02,5.02,8.01 04/11/12 NV ENERGY, INC. NV 2.03 04/13/12 OFFICEMAX INC DE 5.02 04/11/12 OHIO VALLEY BANC CORP OH 2.02,9.01 03/31/12 OHIO VALLEY BANC CORP OH 8.01 04/17/12 OMNICOM GROUP INC NY 2.02,9.01 04/17/12 OPTICAL CABLE CORP VA 8.01,9.01 04/16/12 PALADIN REALTY INCOME PROPERTIES INC MD 9.01 03/15/12 AMEND PANERA BREAD CO DE 5.02,9.01 04/17/12 PANHANDLE EASTERN PIPE LINE CO LP DE 4.01,9.01 04/16/12 PARK NATIONAL CORP /OH/ OH 2.02,7.01,8.01,9.01 04/16/12 PATRIOT TRANSPORTATION HOLDING INC FL 8.01 04/17/12 AMEND PAULSON CAPITAL CORP OR 1.01,2.01,9.01 04/10/12 Phillips 66 DE 5.02 04/12/12 PHOTOTRON HOLDINGS, INC. DE 8.01,9.01 04/13/12 PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 04/16/12 PIONEER POWER SOLUTIONS, INC. DE 9.01 06/28/11 AMEND PLAINS ALL AMERICAN PIPELINE LP DE 8.01,9.01 04/17/12 Plures Technologies, Inc./DE DE 3.02,9.01 04/13/12 PLURISTEM THERAPEUTICS INC NV 8.01 04/17/12 POTASH AMERICA, INC. NV 1.01,9.01 04/12/12 PREMIER HOLDING CORP. NV 5.02 04/11/12 ProPhase Labs, Inc. NV 5.07 04/16/12 Q LOTUS HOLDINGS INC NV 1.01,9.01 04/05/12 QUEPASA CORP NV 5.02 04/11/12 RADIAN GROUP INC DE 8.01 04/11/12 RARE ELEMENT RESOURCES LTD A1 7.01,9.01 04/13/12 REALTY INCOME CORP MD 8.01,9.01 04/12/12 RED METAL RESOURCES, LTD. NV 1.01,3.02,9.01 04/12/12 REDDY ICE HOLDINGS INC DE 1.01,1.03,2.04,7.01, 04/11/12 9.01 ROI Acquisition Corp. DE 8.01,9.01 04/16/12 RSC Holdings Inc. DE 2.02,8.01,9.01 04/17/12 SANDRIDGE ENERGY INC DE 1.01,2.01,2.03,3.02, 04/17/12 8.01,9.01 Sara Lee Corp MD 8.01,9.01 04/13/12 SCHOOL SPECIALTY INC WI 5.02,9.01 04/12/12 SCIENTIFIC LEARNING CORP DE 3.01 04/11/12 Seagate Technology plc L2 2.02,9.01 04/17/12 SEFE, INC. NV 5.02 04/13/12 SENIOR HOUSING PROPERTIES TRUST MD 8.01 04/13/12 SEQUENOM INC DE 1.01 04/12/12 Shire plc 8.01,9.01 04/17/12 SIGMA LABS, INC. NV 4.02 04/11/12 SILVER BULL RESOURCES, INC. NV 5.02,5.07 04/11/12 SIRIUS XM RADIO INC. DE 8.01 04/16/12 SIRONA DENTAL SYSTEMS, INC. DE 5.07 02/23/12 SMITH A O CORP DE 5.07 04/16/12 SOLIGENIX, INC. DE 5.02 04/16/12 SOUTHCOAST FINANCIAL CORP SC 2.02,9.01 04/12/12 SOUTHERN UNION CO DE 4.01,9.01 04/16/12 SRS LABS INC DE 1.01,8.01,9.01 04/16/12 STAGE STORES INC NV 8.01,9.01 04/17/12 STANLEY FURNITURE CO INC. DE 2.02,9.01 04/17/12 STATE STREET CORP MA 2.02,9.01 04/17/12 STEIN MART INC FL 5.02,9.01 04/12/12 STRATASYS INC DE 1.01,3.03,5.03,8.01, 04/13/12 9.01 STRYKER CORP MI 2.02,9.01 04/17/12 SUN BANCORP INC /NJ/ NJ 5.02 04/16/12 Susser Holdings CORP DE 2.02 04/17/12 SYSCO CORP DE 8.01,9.01 04/13/12 TAPIMMUNE INC NV 1.01,9.01 04/17/12 TD AMERITRADE HOLDING CORP DE 2.02,3.01,9.01 04/11/12 TELIK INC DE 8.01,9.01 04/17/12 TELLABS INC DE 5.02,9.01 04/16/12 TENGION INC DE 7.01,8.01,9.01 04/17/12 TEXAS INDUSTRIES INC DE 8.01,9.01 04/16/12 THERMOENERGY CORP DE 2.02,9.01 04/17/12 Thrive World Wide Inc. NV 5.02 04/17/12 TII NETWORK TECHNOLOGIES, INC. DE 5.02,9.01 04/13/12 TITAN PHARMACEUTICALS INC DE 8.01,9.01 04/16/12 TRANS LUX CORP DE 2.02,9.01 04/16/12 TRC COMPANIES INC /DE/ DE 1.02 04/11/12 Tree.com, Inc. DE 2.02 02/24/12 AMEND Triangle Petroleum Corp NV 2.02,5.02,7.01,9.01 04/14/12 ULTRATECH INC DE 5.02,5.03,9.01 04/17/12 UMH PROPERTIES, INC. MD 7.01,9.01 04/17/12 UNISOURCE ENERGY CORP AZ 3.02 04/17/12 United Continental Holdings, Inc. DE 5.02,9.01 04/15/12 UNITED REFINING CO PA 8.01,9.01 04/16/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 04/17/12 Unum Group DE 7.01,9.01 04/17/12 UQM TECHNOLOGIES INC CO 1.01,9.01 04/13/12 US BANCORP \DE\ DE 2.02,9.01 04/17/12 USG CORP DE 2.02,9.01 04/17/12 VIASYSTEMS GROUP INC DE 1.01,2.02,7.01,8.01, 04/16/12 9.01 WEBSTER FINANCIAL CORP DE 2.02,9.01 04/17/12 Wendy's Co DE 8.01,9.01 04/17/12 WESBANCO INC WV 7.01,9.01 04/17/12 WEST PHARMACEUTICAL SERVICES INC PA 2.02 04/17/12 WESTAMERICA BANCORPORATION CA 2.02,9.01 04/17/12 WESTERN ASSET GLOBAL PARTNERS INCOME MD 8.01,9.01 04/17/12 WESTERN ASSET HIGH INCOME FUND INC. MD 8.01,9.01 04/17/12 WESTERN ASSET MUNICIPAL PARTNERS FUND MD 8.01,9.01 04/17/12 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,7.01,9.01 04/12/12 WINLAND ELECTRONICS INC MN 3.01,9.01 04/11/12 WORLD FUEL SERVICES CORP FL 7.01,9.01 04/17/12 YAHOO INC DE 2.02,9.01 04/17/12 Yellowwood Acquisition Corp DE 3.02,5.01,5.02 04/17/12 ZOGENIX, INC. DE 1.01 04/12/12