SEC Charges Two New Jersey-Based Firms and Owner In Stock-Lending Scheme
The Securities and Exchange Commission today charged a New Jersey businessman with running a stock-lending scheme that defrauded public company officials and brought restricted stock to the market.
Ayuda Equity Funding, LLC and AmeriFund Capital Holdings, LLC, both located in North Butler, New Jersey, and owner Manuel M. Bello, agreed to settle the SEC’s complaint without admitting or denying the allegations. Bello and the firms jointly agreed to return $3.2 million of allegedly ill-gotten gains, plus interest. Bello, of Kinnelon, New Jersey, also agreed to pay a $500,000 penalty and be permanently barred from the securities industry.
The case is the second the SEC has brought this year involving stock lending. In March, the SEC charged two executives and their California-based firm with defrauding corporate officials in an $8 million stock-lending scheme.
“We are continuing to clamp down on misconduct in the opaque stock-collateralized lending industry,” said Scott W. Friestad, Associate Director of the SEC’s Division of Enforcement. “Firms cannot induce borrowers to transfer stock to them as purported collateral for loans but then turn right around and sell the borrowers’ stock into the market to fund their operations.”
According to the SEC’s complaint, Ayuda and AmeriFund reaped more than $3.2 million of illegal gains on loans to public company officers and directors who put up stock as collateral. Although some borrowers received written and oral assurances that the stock would not be sold as long as they did not default on their loan payments, Ayuda and AmeriFund sold the shares before or soon after making the loans, the SEC alleged.
The SEC also alleged that in at least 35 loan transactions, Ayuda and AmeriFund sold the borrowers’ restricted shares into the market without registering the transactions and the firms and Bello themselves failed to register with the SEC as brokers or dealers. Without admitting or denying the SEC’s allegations, Ayuda, AmeriFund, and Bello consented to a final judgment permanently enjoining them from violating federal anti-fraud, broker-dealer registration, and securities registration laws. The settlement is subject to court approval.
In a separate administrative proceeding, the SEC charged Howard L. Blum, alleging that he brokered numerous transactions for Ayuda without being registered as a broker or dealer. Blum, without admitting or denying the SEC’s findings, agreed to return more than $1 million of allegedly ill-gotten gains, plus interest, pay a $50,000 penalty, and be suspended from the securities industry for twelve months.
The SEC’s investigation was conducted by Jacob D. Krawitz and supervised by Julie M. Riewe. (Press Rel. 2012-117)
SEC Charges Florida Broker in Astrology-Based Ponzi Scheme
The Securities and Exchange Commission today charged that a former broker in Orlando, Fla., defrauded investors in an astrology-based Ponzi scheme.
The SEC alleges that Gurudeo “Buddy” Persaud lured family, friends, and others into investing in his firm, White Elephant Trading Company LLC, by falsely guaranteeing their money would be safe and yield lofty returns ranging from 6 to 18 percent. Persaud told investors he would invest in the debt, stock, futures, and real estate markets, but did not reveal that his trading strategy was based on his belief that markets are affected by gravitational forces.
According to the SEC’s complaint filed in U.S. District Court for the Middle District of Florida, Persaud used investors’ money to make payments to other investors, the hallmark of a Ponzi scheme. Persaud also lost $400,000 of investor funds through his trading and diverted at least $415,000 to pay for his personal expenses, the SEC alleged. The same month Persaud began receiving investor money, he started using some of that money for his personal expenses. The SEC said that Persaud created phony account statements to hide his trading losses and give investors a false sense of security.
“Persaud preyed on people who trusted him by promising high and steady returns while hiding his unconventional trading strategy,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office. “When Persaud blatantly lied to investors and hid their losses through a Ponzi scheme, he should have known that an SEC enforcement action was in the stars.”
Persaud was a registered representative at a Florida-based broker-dealer but separately operated the now-inactive White Elephant, starting in mid-2007. In all, Persaud raised more than $1 million from at least 14 investors between July 2007 and January 2010.
The SEC alleges that in making trading decisions, Persaud chiefly relied on an Internet service that provided directional market forecasts based on lunar cycles and gravitational pull. Persaud’s strategy was premised on the idea that gravitational forces affect mass human behavior, and in turn, the stock market. For example, Persaud believed that when the moon exerts greater gravitational pull on the Earth, people feel dejected and are more inclined to sell securities.
The SEC’s complaint seeks disgorgement of ill-gotten gains, financial penalties, and injunctive relief against Persaud to enjoin him from future violations of the federal securities laws.
The SEC’s investigation was conducted in the Miami Regional Office by Senior Counsel Rachel K. Paulose and Accountant Karaz S. Zaki under the supervision of Assistant Regional Director Elisha L. Frank, with assistance from examiners Anson Kwong and Brian H. Dyer, Examination Manager George Franceschini, Assistant Regional Director Nicholas A. Monaco, and Associate Regional Director John C. Mattimore. Amie Riggle Berlin will lead the SEC’s litigation. (Press Rel. 2012-118)
An order has been issued granting a limited exemption from Exchange Act Rule 10b-17 to certain actively managed exchange-traded funds pursuant to Exchange Act Rule 10b-17(b)(2). Publication of the proposal is expected in the Federal Register during the week of June 25. (Rel. 34-67215)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Savoy Resources Corp., SNRG Corp., VTEX Energy, 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. (Rel. 34-67228; File No. 3-14888)
Designation of Longer Period For Commission Action on Proposed Rule Change
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEArca-2012-37) filed by NYSE Arca, Inc. proposing a pilot program to create a Lead Market Maker issuer incentive program for issuers of certain exchange-traded products listed on NYSE Arca, Inc. Publication is expected in the Federal Register during the week of June 25. (Rel. 34-67222)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEAmex-2012-24) submitted by NYSE Amex LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list shares of the Nuveen Long/Short Commodity Total Return Fund under NYSE Amex Rule 1600 et seq. Publication is expected in the Federal Register during the week of June 25. (Rel. 34-67223)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX, Inc. to make a clerical correction to the Grandfathered Rules (SR-BX-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 June 25. (Rel. 34-67224)
A proposed rule change filed by EDGA Exchange, Inc. to amend EDGA rules to add the Mid-Point Discretionary Order (SR-EDGA-2012-22) 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 June 25. (Rel. 34-67226)
Institution of Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change
The Commission instituted proceedings to determine whether to approve or disapprove a proposed rule change (SR-ISE-2012-22), as modified by Amendment No. 1, submitted by the International Securities Exchange, LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to add an index option product for trading on the exchange. Publication is expected in the Federal Register during the week of June 25. (Rel. 34-67225)
Proposed Rule Change
The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2012-05) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the rules regarding the GCF Repo Service to adopt changes recommended by the Tri-Party Repo Infrastructure Reform Task Force. Publication is expected in the Federal Register during the week of June 25. (Rel. 34-67227)
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-8 WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003, 2539242345 - 6,550,000 ($133,620,000.00) Equity, (File 333-182224 - Jun. 20) (BR. 08C) S-8 SEMPRA ENERGY, 101 ASH STREET, P O BOX 129400, SAN DIEGO, CA, 92101, 6196962000 - 0 ($33,670,000.00) Equity, 0 ($250,000,000.00) Other, (File 333-182225 - Jun. 20) (BR. 02B) S-8 Burger King Worldwide, Inc., 5505 BLUE LAGOON DRIVE, MIAMI, FL, 33133, 305-378-3000 - 0 ($341,993,365.00) Equity, (File 333-182232 - Jun. 20) (BR. 05A) S-8 ISC8 INC. /DE, 3001 REDHILL AVE, BLDG 4 STE 108, COSTA MESA, CA, 92626, 7145498211 - 29,392,830 ($3,527,140.00) Equity, (File 333-182235 - Jun. 20) (BR. 10A) S-3 dELiAs, Inc., C/O DELIA*S, INC., 50 WEST 23RD STREET, NEW YORK CITY, NY, 10010, (212) 590-6204 - 0 ($30,000,000.00) Unallocated (Universal) Shelf, (File 333-182236 - Jun. 20) (BR. 02C) S-8 GASTAR EXPLORATION LTD, 1331 LAMAR STREET, SUITE 650, HOUSTON, TX, 77010, 7137391800 - 5,000,000 ($9,150,000.00) Equity, (File 333-182237 - Jun. 20) (BR. 04B) S-8 ARENA PHARMACEUTICALS INC, 6166 NANCY RIDGE DR, SAN DIEGO, CA, 92121, 8584537200 - 0 ($254,447,772.00) Equity, (File 333-182238 - Jun. 20) (BR. 01B) S-8 BARD C R INC /NJ/, 730 CENTRAL AVE, MURRAY HILL, NJ, 07974, 9082778000 - 3,500,000 ($346,990,000.00) Equity, (File 333-182239 - Jun. 20) (BR. 10A) S-3 LIGHTPATH TECHNOLOGIES INC, 2603 CHALLENGER TECH CT, SUITE 100, ORLANDO, FL, 32826, 4073824003 - 3,401,744 ($3,946,023.52) Equity, (File 333-182240 - Jun. 20) (BR. 10B) S-8 ESB FINANCIAL CORP, 600 LAWRENCE AVE, ELLWOOD CITY, PA, 16117, 7247585584 - 875,000 ($10,788,750.00) Equity, (File 333-182241 - Jun. 20) (BR. 07C) S-3ASR Aircastle LTD, C/O AIRCASTLE ADVISOR LLC, 300 FIRST STAMFORD PLACE, 5TH FLOOR, STAMFORD, CT, 06902, (203) 504-1020 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182242 - Jun. 20) (BR. 06C) S-8 Kior Inc, 13001 BAY PARK ROAD, PASADENA, TX, 77507, 281-694-8700 - 3,500,000 ($23,380,000.00) Equity, (File 333-182243 - Jun. 20) (BR. 06B)
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 ----------------------------------------------------------------------------------------- ACTIVE POWER INC DE 3.01,9.01 06/19/12 ACTUANT CORP WI 2.02,9.01 06/20/12 Addus HomeCare Corp DE 1.01,9.01 06/18/12 AFFILIATED MANAGERS GROUP INC DE 5.07 06/18/12 AFFYMETRIX INC DE 8.01,9.01 06/19/12 ALTERRA CAPITAL HOLDINGS Ltd 8.01 06/20/12 AMARILLO BIOSCIENCES INC TX 5.02 06/20/12 AMERICAN PUBLIC EDUCATION INC DE 5.02,9.01 06/20/12 AMERICAN TOWER CORP /MA/ DE 5.07,8.01,9.01 06/19/12 Ameris Bancorp GA 7.01,9.01 06/20/12 AOL Inc. DE 5.07 06/14/12 Applied Nanotech Holdings, Inc TX 8.01 06/19/12 APRICUS BIOSCIENCES, INC. NV 1.01 06/19/12 ARENA PHARMACEUTICALS INC DE 5.02,5.07,9.01 06/15/12 ARKANSAS BEST CORP /DE/ DE 1.01,2.03,9.01 06/15/12 AspenBio Pharma, Inc. CO 1.01,5.03,9.01 06/19/12 ASTORIA FINANCIAL CORP DE 8.01,9.01 06/14/12 ASTORIA FINANCIAL CORP DE 5.02,9.01 06/20/12 AtheroNova Inc. DE 1.01,9.01 06/15/12 ATP OIL & GAS CORP TX 1.01,2.03,3.02,9.01 06/20/12 Bank of Commerce Holdings CA 2.02,9.01 06/20/12 BARD C R INC /NJ/ NJ 5.03,8.01,9.01 06/15/12 BED BATH & BEYOND INC NY 2.02,9.01 06/20/12 BINGO.COM LTD. Y6 5.07 06/20/12 BIOZONE PHARMACEUTICALS, INC. NV 1.01,9.01 06/13/12 BON TON STORES INC PA 8.01,9.01 06/18/12 Boomerang Systems, Inc. DE 1.01,2.03,3.02 06/14/12 Brekford Corp. DE 5.07 06/15/12 BSQUARE CORP /WA WA 5.02,5.07 06/13/12 CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 06/15/12 CALLIDUS SOFTWARE INC DE 5.07 06/06/12 Calpian, Inc. TX 3.02 06/19/12 CANTERBURY PARK HOLDING CORP MN 1.01 06/15/12 CAPITAL TRUST INC MD 5.07 06/20/12 CardioNet, Inc. CA 7.01,9.01 06/20/12 CATERPILLAR INC DE 7.01 06/20/12 CELL THERAPEUTICS INC WA 5.02 06/16/12 CHART INDUSTRIES INC DE 7.01,9.01 06/20/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 1.01,5.01,5.02,8.01, 06/15/12 9.01 CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 06/19/12 China Biologic Products, Inc. 5.02 06/20/12 ChinaNet Online Holdings, Inc. NV 5.07 06/15/12 CHURCHILL DOWNS INC KY 5.07 06/20/12 CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 06/20/12 COMMERCIAL NATIONAL FINANCIAL CORP /P PA 3.01 06/19/12 Comstock Mining Inc. NV 5.07 06/19/12 Cornerstone Core Properties REIT, Inc MD 5.02 06/15/12 Cornerstone Financial Corp NJ 3.02 06/15/12 Coronado Corp. NV 8.01 06/19/12 CPI CORP DE 8.01 06/20/12 CROWN CRAFTS INC DE 2.02,9.01 06/20/12 CubeSmart MD 1.01,7.01,9.01 06/19/12 CUBIC ENERGY INC TX 1.01,8.01,9.01 06/18/12 Customers Bancorp, Inc. PA 8.01 06/20/12 Cyalume Technologies Holdings, Inc. DE 8.01 06/15/12 CYTOKINETICS INC 8.01,9.01 06/20/12 Cytosorbents Corp 5.02,7.01,9.01 06/18/12 DARDEN RESTAURANTS INC FL 5.02,8.01,9.01 06/18/12 DCB FINANCIAL CORP OH 5.07 06/14/12 DELMARVA POWER & LIGHT CO /DE/ DE 1.01,9.01 06/19/12 Discovery Energy Corp. NV 5.07 05/07/12 AMEND Eagle Bulk Shipping Inc. 1.01,3.02,3.03 06/20/12 Earth Energy Reserves, Inc. NV 5.02 06/13/12 EATON VANCE CORP MD 1.01,9.01 06/15/12 EMCORE CORP NJ 1.01 06/14/12 EMPIRE ENERGY CORP UT 8.01 06/07/12 ENDOCYTE INC DE 1.02 06/15/12 Energy Transfer Equity, L.P. DE 1.01,9.01 06/15/12 Energy Transfer Partners, L.P. DE 1.01,9.01 06/15/12 EPOCH HOLDING CORP DE 1.01,2.03 06/15/12 ERBA Diagnostics, Inc. DE 1.01,9.01 06/15/12 Fifth & Pacific Companies, Inc. DE 5.02,8.01 06/20/12 FIFTH THIRD BANCORP OH 5.07 04/17/12 AMEND FIRST CASH FINANCIAL SERVICES INC DE 1.01,2.01,9.01 06/15/12 Forbes Energy Services Ltd. D0 1.01,2.03 06/14/12 FORTINET INC 5.07 06/14/12 FUELCELL ENERGY INC DE 5.02,9.01 06/14/12 FXCM Inc. 1.01,2.03,3.02 06/14/12 GENEREX BIOTECHNOLOGY CORP DE 5.07 06/19/12 GenMark Diagnostics, Inc. DE 7.01,9.01 06/20/12 Georgetown Bancorp, Inc. MD 8.01,9.01 06/19/12 Georgetown Bancorp, Inc. X1 8.01,9.01 06/19/12 GEOVIC MINING CORP. DE 5.02,5.07,7.01,9.01 06/15/12 AMEND Gevo, Inc. DE 8.01,9.01 06/20/12 GLOBAL SMART ENERGY, INC. DE 5.03 06/19/12 Global Telecom & Technology, Inc. DE 5.07 06/14/12 GNC HOLDINGS, INC. DE 8.01,9.01 06/19/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 06/15/12 Green Global Investments, Inc. FL 1.01,9.01 06/15/12 GREENLITE VENTURES INC NV 5.03,9.01 06/08/12 GRIFFIN LAND & NURSERIES INC DE 1.01,9.01 06/15/12 Groupon, Inc. DE 5.07 06/19/12 GSI GROUP INC A3 5.07 06/14/12 HEALTH NET INC DE 7.01 06/19/12 Heckmann Corp DE 8.01,9.01 04/10/12 AMEND HERCULES OFFSHORE, INC. DE 7.01,9.01 06/20/12 Hilltop Holdings Inc. MD 5.07 06/15/12 IBERIABANK CORP LA 5.02,9.01 06/18/12 IDENIX PHARMACEUTICALS INC DE 8.01,9.01 06/19/12 IMPERIAL INDUSTRIES INC DE 2.03,9.01 06/18/12 INDIANA COMMUNITY BANCORP IN 8.01,9.01 06/20/12 INLAND REAL ESTATE CORP MD 8.01,9.01 06/19/12 INTEGRATED DEVICE TECHNOLOGY INC DE 1.01,5.02,9.01 06/19/12 INTERMUNE INC DE 8.01 06/19/12 InvenSense Inc DE 5.02 06/20/12 IRON MOUNTAIN INC DE 5.07,8.01 06/14/12 JACKSONVILLE BANCORP INC /FL/ FL 5.02,8.01,9.01 06/14/12 JANEL WORLD TRADE LTD NV 1.01,9.01 06/15/12 JTH Holding, Inc. DE 7.01,9.01 06/20/12 Juhl Wind, Inc 1.01,3.02,9.01 06/15/12 KAMAN CORP CT 8.01,9.01 06/19/12 KERYX BIOPHARMACEUTICALS INC DE 5.07 06/19/12 Kior Inc DE 5.02 06/16/12 Kior Inc DE 5.02,5.07,9.01 06/20/12 KV PHARMACEUTICAL CO /DE/ DE 5.08 06/14/12 LA JOLLA PHARMACEUTICAL CO DE 8.01,9.01 06/07/12 LAS VEGAS RAILWAY EXPRESS, INC. DE 1.01,3.02,9.01 05/17/12 Liberty Global, Inc. DE 5.07 06/19/12 LOCAL.COM DE 5.02,9.01 06/20/12 MAGNEGAS CORP DE 8.01 06/19/12 MERGE HEALTHCARE INC DE 5.07 06/18/12 MGIC INVESTMENT CORP WI 8.01,9.01 06/19/12 MHI Hospitality CORP MD 1.01,2.03,7.01,9.01 06/15/12 MICRON TECHNOLOGY INC DE 2.02,9.01 05/31/12 MIDDLESEX WATER CO NJ 8.01,9.01 06/20/12 MOCON INC MN 9.01 06/20/12 AMEND Morgans Hotel Group Co. DE 8.01,9.01 06/19/12 MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 06/20/12 NASB FINANCIAL INC MO 8.01 06/18/12 NAVISTAR INTERNATIONAL CORP DE 1.01,3.03,5.02,5.03, 06/18/12 8.01,9.01 NEDAK ETHANOL, LLC NE 2.04,7.01,9.01 06/20/12 NEOMAGIC CORP DE 5.02,9.01 05/17/12 AMEND NETWORK ENGINES INC DE 1.01,5.02,8.01,9.01 06/18/12 NETWORK EQUIPMENT TECHNOLOGIES INC DE 1.01,9.01 06/18/12 Neuralstem, Inc. DE 5.07,8.01,9.01 06/19/12 NEW AMERICA ENERGY CORP. NV 1.01,9.01 06/20/12 NEW FRONTIER MEDIA INC CO 1.01,9.01 06/19/12 NEWFIELD EXPLORATION CO /DE/ DE 8.01,9.01 06/19/12 NEWS CORP 8.01,9.01 06/20/12 NORTHWEST PIPE CO OR 5.02,5.07,9.01 06/14/12 Nova Lifestyle, Inc. NV 7.01,9.01 06/20/12 NOVELOS THERAPEUTICS, INC. DE 7.01,9.01 06/19/12 NUTRACEA CA 5.07 06/19/12 Nuveen Diversified Commodity Fund DE 8.01 06/19/12 ODYSSEY MARINE EXPLORATION INC NV 5.07,9.01 06/18/12 OIL DRI CORP OF AMERICA DE 8.01 06/20/12 OLD POINT FINANCIAL CORP VA 5.02 06/20/12 OMEGA HEALTHCARE INVESTORS INC MD 1.01,1.02,9.01 06/19/12 Oncothyreon Inc. DE 5.07 06/07/12 ORIGINOIL INC NV 8.01,9.01 06/20/12 Pacific Coast Oil Trust DE 2.02,9.01 06/19/12 PALMETTO BANCSHARES INC SC 8.01 06/15/12 Parabel Inc. DE 9.01 10/25/11 AMEND PARKE BANCORP, INC. NJ 5.02 06/19/12 Pathfinder Cell Therapy, Inc. DE 2.03,3.02 06/20/12 Pazoo, Inc. 1.01,3.02,7.01,9.01 06/19/12 PINNACLE FINANCIAL PARTNERS INC TN 1.01,2.03,8.01,9.01 06/15/12 PMC COMMERCIAL TRUST /TX TX 1.01,9.01 06/15/12 POLYMER GROUP INC DE 5.02 06/14/12 POWERWAVE TECHNOLOGIES INC DE 3.01 06/15/12 POZEN INC /NC 8.01,9.01 06/15/12 Precision Aerospace Components, Inc. 8.01,9.01 06/19/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 06/20/12 PROCTER & GAMBLE Co OH 7.01 06/20/12 PROGUARD ACQUISITION CORP FL 5.01,5.02,5.03,5.05, 06/18/12 AMEND 5.06,9.01 PSB HOLDINGS INC /WI/ WI 2.01,8.01,9.01 06/14/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 5.02,9.01 06/19/12 QUEST SOFTWARE INC CA 1.01,9.01 06/19/12 Quest Water Global, Inc. DE 1.01,2.01,3.02,4.01, 01/06/12 AMEND 5.01,5.02,5.06,5.07, 9.01 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 06/20/12 RED HAT INC DE 2.02,9.01 06/20/12 REUNION INDUSTRIES INC DE 8.01 12/31/11 RF MONOLITHICS INC /DE/ DE 8.01 06/20/12 Rosetta Resources Inc. DE 8.01 06/18/12 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.02,9.01 06/14/12 ROYAL GOLD INC DE 1.01,2.03,8.01,9.01 06/14/12 ROYAL MINES & MINERALS CORP NV 1.01,9.01 06/14/12 Rubicon Technology, Inc. DE 5.07 06/15/12 Ruths Hospitality Group, Inc. DE 2.02,9.01 06/20/12 S&T BANCORP INC PA 5.02,9.01 06/18/12 SA Recovery Corp. 1.01,2.01,5.01,5.03, 06/19/12 8.01,9.01 SafeStitch Medical, Inc. DE 5.07 06/19/12 SAIC, Inc. 5.03,5.07,8.01,9.01 06/15/12 SALIX PHARMACEUTICALS LTD 5.07 06/14/12 SARATOGA RESOURCES INC /TX TX 5.07 06/18/12 SATCON TECHNOLOGY CORP DE 3.01 06/19/12 SELECT COMFORT CORP MN 1.01,9.01 06/18/12 SilverSun Technologies, Inc. DE 1.01,2.01,9.01 06/14/12 SOHU COM INC DE 5.07 06/15/12 SONIC CORP DE 2.02,9.01 06/20/12 SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 06/20/12 STEELCASE INC MI 2.02,7.01,9.01 06/20/12 STEIN MART INC FL 5.07,9.01 06/19/12 STELLAR PHARMACEUTICALS INC 7.01,9.01 06/20/12 SUN HEALTHCARE GROUP INC DE 1.01,5.02,8.01,9.01 06/20/12 SunCoke Energy, Inc. 7.01,9.01 06/20/12 TAYLOR CAPITAL GROUP INC DE 8.01,9.01 06/18/12 TERADATA CORP /DE/ 1.01,2.03,9.01 06/15/12 Terreno Realty Corp MD 1.01,2.03 06/15/12 THQ INC DE 5.02 06/14/12 Titanium Asset Management Corp DE 5.07 06/18/12 TORTOISE CAPITAL RESOURCES CORP 8.01,9.01 06/20/12 TORVEC INC NY 5.07,8.01 06/14/12 TRINITY CAPITAL CORP NM 8.01,9.01 06/20/12 TRONOX INC DE 8.01 06/15/12 Tronox Ltd C3 1.01,2.01,2.03,3.03, 06/15/12 9.01 TUTOR PERINI Corp MA 5.02 06/14/12 UNITED BANCORP INC /MI/ MI 5.02,9.01 06/18/12 UNIVERSAL ELECTRONICS INC DE 5.07 06/13/12 URBAN OUTFITTERS INC PA 1.01 06/14/12 US AIRWAYS GROUP INC DE 5.05,5.07,9.01 06/14/12 USA Mobility, Inc DE 5.02,9.01 06/20/12 UTG INC 5.07 06/20/12 VALENCE TECHNOLOGY INC DE 3.01,9.01 06/19/12 VICTORY ENERGY CORP NV 8.01,9.01 06/18/12 VICTORY ENERGY CORP NV 4.01 06/18/12 VUMEE INC. NV 5.02 05/17/12 WASHINGTON TRUST BANCORP INC RI 5.02,9.01 06/18/12 WAVE SYSTEMS CORP DE 5.07 06/19/12 WELLS FARGO & COMPANY/MN DE 9.01 06/20/12 WEST PHARMACEUTICAL SERVICES INC PA 7.01 06/20/12 Western Gas Partners LP DE 1.01,9.01 06/19/12 WEYERHAEUSER CO WA 5.02 06/14/12 WSI INDUSTRIES, INC. MN 2.02,8.01,9.01 06/19/12 XTRALINK Corp NV 2.01,5.06,9.01 06/10/12 Zalicus Inc. DE 1.01,9.01 06/19/12 Zeltiq Aesthetics Inc DE 5.07 06/15/12 ZIONS BANCORPORATION /UT/ UT 8.01,9.01 06/13/12