In the Matter of Centaur Management Co. LLC
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Centaur Management Co. LLC (Centaur Management). The Order finds that Centaur Management directed its client, Argent Classic Convertible Arbitrage Fund L.P. (Argent Classic), to provide Centaur Management with approximately $15 million in interest free loans made bi-weekly in amounts between $133,000 and $1,500,000 to fund the payroll for employees who provided management and accounting services for Argent Classic and up to fourteen related funds, without adequately disclosing the loans to Argent Classic’s investors.
Based on the above, the Order directs Centaur Management to cease and desist from committing or causing any violations and any future violations of Sections 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder; censures Centaur Management; and directs Centaur Management to pay a civil penalty of $150,000, disgorgement of $172,438, and prejudgment interest of $41,884, which is to be deposited into a Fair Fund for the benefit of investors. Centaur Management consented to the issuance of the Order without admitting or denying any of the Commission’s findings. (Rel. IA-3432; File No. 3-14950)
In the Matter of Jeffrey A. Wolfson, Robert A. Wolfson and Golden Anchor Trading II, LLC (n/k/a Barabino Trading, LLC)
On July 17, 2012, the Commission issued orders making findings and imposing remedial sanctions and cease-and-desist orders as part of settlements with two options traders and a broker-dealer who have agreed to pay more than $14.5 million to settle charges brought by the Commission in an administrative proceeding in January 2012 that they engaged in naked short selling by failing to locate shares involved in short sales and by failing to close out the resulting failures to deliver.
According to the SEC’s Orders, filed today, Jeffrey A. Wolfson generated approximately $8.8 million and Robert A. Wolfson and Golden Anchor Trading II, LLC (Golden Anchor) generated over $700,000, in net illicit trading profits from naked short selling transactions. The SEC’s Orders find that Jeffrey Wolfson engaged in illegal naked short sales while working as a broker-dealer himself and later as the principal trader at a Chicago-based broker-dealer that is no longer in business. Robert Wolfson, Jeffrey’s brother, conducted illegal naked short sales while trading through an account at New York-based broker-dealer Golden Anchor, which also was charged by the SEC and agreed to the settlement.
The Wolfsons and Golden Anchor settled the SEC’s administrative proceedings without admitting or denying the SEC’s findings. The Commission’s Order with respect to Jeffrey Wolfson requires him to pay $13.425 million, which includes a $2.5 million civil penalty in addition to disgorgement and prejudgment interest. The Commission’s Order with respect to Robert Wolfson and Golden Anchor orders them to pay, on a joint and several basis, $1.1 million in disgorgement, prejudgment interest and civil penalties. All of the respondents are also subject to a cease-and-desist order from committing or causing violations of the short sale rules they have been found to have violated. In addition, Jeffrey Wolfson has been suspended from working in the industry for a period of twelve months, and Robert Wolfson has been suspended for a period of four months. Golden Anchor has been censured. (Rel. 34-67450 and 34-67451; File No. 3-14726; Press Rel. 2012-137)
SEC v. Kimon Daifotis and Randall Merk
The Securities and Exchange Commission today announced that Kimon P. Daifotis agreed to settle pending litigation that the Commission filed against him in early 2011. Daifotis was the former lead portfolio manager for the Schwab YieldPlus Fund, the Chief Investment Officer for Fixed Income for Charles Schwab Investment Management (CSIM), a Senior Vice President at Charles Schwab & Co., Inc. (CS&Co.) and an officer of Schwab Investments, the trust of which YieldPlus was a series. Under the terms of the proposed settlement, he would be enjoined from future violations of certain provisions of the federal securities laws and would agree to pay a penalty and disgorgement. The proposed judgment is subject to the Court’s approval. Daifotis also agreed to settle an anticipated administrative proceeding in which the Commission would bar him from the securities industry based on the entry of the injunction, with the right to apply for reentry after three years. Entry of the injunction also would result in automatic ineligibility for Daifotis to hold certain positions associated with registered investment companies. In January 2011, the Commission filed a complaint against Daifotis and another individual regarding the offer, sale, and management of the YieldPlus Fund. SEC v. Kimon Daifotis and Randall Merk, Civil Action No. CV-11-0137 WHA (N.D. Cal., filed Jan. 11, 2011). See Litigation Release No. 21805 (Jan. 11, 2011). The YieldPlus Fund suffered a significant decline and saw its assets fall from $13.5 billion to $1.8 billion during an eight-month period in 2007-2008.
Without admitting or denying the Commission’s allegations, Daifotis consented to the entry of a final judgment permanently enjoining him from future violations of Section 17(a)(2), an antifraud provision of the Securities Act of 1933. The proposed final judgment also would enjoin Daifotis from future violations of Section 34(b) of the Investment Company Act of 1940, which prohibits the making of untrue statements of material fact, or material omissions, in documents filed with the Commission. Daifotis also agreed to pay $250,000 in disgorgement and a $75,000 civil penalty, which the Commission is seeking to have included in an existing Fair Fund for distribution to injured YieldPlus investors.
CSIM, CS&Co. and Schwab Investments previously entered into a related settlement with the Commission that, among other things, required payment of over $118 million in disgorgement and penalty. See Press Release 2011-7 and Litigation Release No. 21806 (Jan. 11, 2011). In November 2011, the Commission also settled with Daifotis’s co-defendant. See Litigation Release No. 22163 (Nov. 21, 2011). [SEC v. Kimon P. Daifotis and Randall Merk, Civil Action No. CV-11-0137 WHA (N.D. Cal.)] (LR-22415)
Commission Charges Family-Run Business Promising Investors Stake in Purported $11 Billion Gold Mine
The Securities and Exchange Commission today charged a father, son, and daughter with running a nationwide investment scheme that falsely promised investors whopping returns from a gold mining operation while their money was actually spent on family cars, jewelry, vacations, and vitamin supplements.
The SEC alleges that Harry Dean Proudfoot III of Mt. Vernon, Ohio, and his children Matthew Dale Proudfoot of Colbert, Wash., and Laurie Anne Vrvilo of Tigard, Ore., raised at least $2.7 million from approximately 140 investors in 23 states through their Portland, Oregon-based company 3 Eagles Research & Development LLC (3 Eagles). They told investors their company would extract gold worth more than $11 billion from gravel pits in central Ohio, and promised investors they could earn 35 times their initial investment. However, 3 Eagles did not even have rights to much of the property it claimed to be mining for gold, and the Proudfoots instead diverted investor money for personal use rather than the mining activities outlined in presentations to investors.
According to the SEC’s complaint filed in federal court in Portland, the scheme primarily occurred between September 2009 and October 2011. The Proudfoots sold investors “royalty units” in the purported gold mining project, claiming their money would be used to purchase mining equipment and conduct mining operations at two gravel pits. The Proudfoots falsely touted they had an expert geologist on the mining project. They solicited investors in a variety of ways, including through a Power Point presentation filled with misleading information. They also hired a securities broker named Dennis Ashley Bukantis of Denver, who is not registered with the SEC and assisted in the sale of royalty units in exchange for nearly $165,000 in commissions. Bukantis is charged along with the Proudfoots in the SEC’s complaint.
The SEC alleges that rather than using investor funds for gold mining equipment and operations, the Proudfoots siphoned off more than $1.1 million of investor money and misused 3 Eagles corporate accounts as their own personal piggy bank, leaving the company penniless and unable to pay the necessary expenses to get the Ohio mine into production. Among their illicit personal expenditures, the Proudfoots spent $80,000 on automobiles, $235,000 in personal travel, and upwards of $30,000 per year for vitamins and nutritional supplements.
According to the SEC’s complaint, after being served investigative subpoenas by the SEC and various state securities regulators in the fall of 2011, Harry Proudfoot was removed from the company and 3 Eagles represented it stopped selling royalty units. However, by December, Matthew Proudfoot was again selling investors a stake in 3 Eagles, this time calling them “membership interests” that would be used to move the Ohio mining project into production. Yet once again, much of the investor money was misused for personal expenses, including defense lawyers for each of the Proudfoots and 3 Eagles as well as Matthew Proudfoot’s bankruptcy payments and household bills.
The SEC’s complaint charges 3 Eagles, Harry Proudfoot, Matthew Proudfoot and Laurie Vrvilo with violations of Sections 5(a), 5(c) and 17 (a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5(a), (b) or (c) thereunder. The complaint also charges Bukantis with acting as an unregistered broker in violation of Section 15 (a) of the Exchange Act. The complaint seeks permanent injunctions, disgorgement with prejudgment interest and civil monetary penalties.
The SEC’s case was investigated by Heather E. Marlow and Tracy L. Davis of the SEC’s San Francisco Regional Office, and the litigation will be led by John Yun. The SEC thanks the State of Washington’s Department of Financial Institutions for its assistance in this matter. [SEC v. 3 Eagles Research & Development LLC, Harry Dean Proudfoot III, Matthew Dale Proudfoot, Laurie Anne Vrvilo and Dennis Ashley Bukantis, Civil Case No. 3:12-cv-01289-ST (D. Oregon)] (LR-22416)
The Dreyfus Corporation, et al.
A notice has been issued giving interested persons until August 6, 2012, to request a hearing on an application filed by The Dreyfus Corporation, et al., for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order would (a) permit certain management investment companies and unit investment trusts registered under the Act to acquire shares of certain open-end management investment companies registered under the Act that are outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30137 – July 12)
Order Disapproving Proposed Rule Changes
The Commission disapproved proposed rule changes submitted by the New York Stock Exchange LLC and NYSE Amex LLC (SR-NYSE-2011-56 and SR-NYSE Amex-20111-86) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934 to codify certain traditional trading floor functions that may be performed by Designated Market Makers and to permit Designated Market Makers and Floor brokers access to disaggregated order information. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67437)
Proposed Rule Change
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2012-11) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the auction process under Options Clearing Corporation Rule 1104. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67443)
Immediate Effectiveness of Proposed Rule Changes
NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2012-20) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to amend Rule 134 - Equities to shorten the time frame for assigning the contra party to unresolved account balances in the Exchange’s Online Comparison System. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67444)
New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-25) under Section 19(b)(1) of the Securities Exchange Act of 1934, which became effective upon filing, to amend Exchange Rule 134 to shorten the time frame for assigning the contra party to unresolved account balances in the Exchange’s Online Comparison System. Publication in the Federal Register is expected during the week of July 16. (Rel. 34-67445)
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-3 Alon USA Energy, Inc., 7616 LBJ FREEWAY, SUITE 300, DALLAS, TX, 75251, 972 367 3600 - 6,514,684 ($55,309,667.16) Equity, (File 333-182675 - Jul. 16) (BR. 04B) S-8 MANNATECH INC, 600 SOUTH ROYAL LANE, SUITE 200, COPPELL, TX, 75019, 9724717400 - 100,000 ($761,000.00) Equity, (File 333-182676 - Jul. 16) (BR. 01A) S-8 Protalix BioTherapeutics, Inc., 2 SNUNIT ST, SCIENCE PARK, POB 455, CARMIEL, L3, 20100, 972-4-988-9488 - 1,600,000 ($9,056,000.00) Equity, (File 333-182677 - Jul. 16) (BR. 01B) S-8 PRUDENTIAL FINANCIAL INC, 751 BROAD ST, NEWARK, NJ, 07102, 9738026000 - 0 ($1,191,000,000.00) Equity, (File 333-182700 - Jul. 16) (BR. 01B) S-8 PIXELWORKS, INC, 224 AIRPORT PARKWAY, SUITE 400, SAN JOSE, CA, 95110, 408-200-9200 - 1,000,000 ($2,490,000.00) Equity, (File 333-182701 - Jul. 16) (BR. 10B) S-8 Geeknet, Inc, 11216 WAPLES MILL RD.,, SUITE 100, FAIRFAX,, VA, 22030, (877) 433-5638 - 100,000 ($2,000,000.00) Equity, (File 333-182702 - Jul. 16) (BR. 02C) S-3 APRICUS BIOSCIENCES, INC., 6330 NANCY RIDGE DRIVE,, SUITE 103, SAN DIEGO,, CA, 92121, (858) 222-8041 - 3,706,397 ($12,342,302.00) Equity, (File 333-182703 - Jul. 16) (BR. 01B)
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 ----------------------------------------------------------------------------------------- Accelerated Building Concepts CORP DE 1.01,2.01,3.02,5.02, 05/24/12 9.01 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/16/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 07/16/12 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 07/16/12 Altra Holdings, Inc. DE 8.01,9.01 07/12/12 AMERICAN EXPRESS CO NY 7.01 07/16/12 AMERICAN HONDA RECEIVABLES LLC DE 6.01,9.01 07/16/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,2.03 07/12/12 Amincor, Inc. NV 8.01 07/16/12 Ampio Pharmaceuticals, Inc. DE 1.01,8.01,9.01 07/13/12 AMSCAN HOLDINGS INC DE 8.01,9.01 07/16/12 ANN INC. DE 5.02 07/11/12 Armour Residential REIT, Inc. MD 7.01,9.01 07/16/12 ARTS WAY MANUFACTURING CO INC DE 2.01,2.03,3.02,9.01 05/10/12 ATLANTIC POWER CORP A1 5.02,7.01,9.01 07/11/12 AV Homes, Inc. DE 2.02,9.01 07/16/12 AV Homes, Inc. DE 5.02 07/13/12 Avalon Oil & Gas, Inc. CO 5.03 06/13/12 AWG International Water Corp 1.01,2.01 07/10/12 AXIS CAPITAL HOLDINGS LTD 5.02,9.01 07/11/12 BARNES GROUP INC DE 7.01,9.01 07/16/12 BASSETT FURNITURE INDUSTRIES INC VA 8.01,9.01 07/16/12 BEAZER HOMES USA INC DE 1.01,2.03,8.01,9.01 07/10/12 BRAZIL FAST FOOD CORP DE 4.01 07/03/12 AMEND Brilliant Technologies, CORP 8.01 07/13/12 BROWN & BROWN INC FL 2.02 07/16/12 CABELAS INC DE 7.01,9.01 07/16/12 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 07/13/12 CAPITAL ONE FINANCIAL CORP DE 9.01 05/01/12 AMEND CASEYS GENERAL STORES INC IA 7.01 07/16/12 CCA INDUSTRIES INC DE 5.07,8.01,9.01 07/10/12 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 07/16/12 China Energy CORP 5.02 07/10/12 CHINACAST EDUCATION CORP DE 8.01 07/16/12 CHRISTOPHER & BANKS CORP DE 2.03,8.01,9.01 07/12/12 CHRISTOPHER & BANKS CORP DE 5.02,9.01 07/05/12 AMEND ChromaDex Corp. DE 1.01,7.01,9.01 07/13/12 CINCINNATI FINANCIAL CORP OH 2.02,9.01 07/16/12 CITIGROUP INC DE 2.02,9.01 07/16/12 CITIZENS & NORTHERN CORP PA 2.02,9.01 07/16/12 CLEAN HARBORS INC MA 8.01,9.01 07/16/12 CLEAN HARBORS INC MA 7.01,9.01 07/16/12 CODEXIS INC 1.01,5.02,9.01 07/10/12 Colony Financial, Inc. MD 1.01,5.03,9.01 07/10/12 COMMERCE GROUP CORP /WI/ 8.01 07/10/12 COMMUNITY BANCORP /VT VT 5.02,9.01 07/10/12 Converted Organics Inc. DE 3.02 07/16/12 CSG SYSTEMS INTERNATIONAL INC DE 7.01,9.01 07/16/12 DiamondRock Hospitality Co 1.01,2.01,3.02,7.01, 07/12/12 9.01 Discovery Gold Corp NV 5.03,8.01,9.01 07/12/12 Duke Energy CORP DE 5.02 07/13/12 Dussault Apparel Inc. 5.02 07/11/12 Eagle Bulk Shipping Inc. 5.02,8.01,9.01 07/10/12 EAST WEST BANCORP INC 5.02 07/16/12 EDISON MISSION ENERGY DE 5.03,9.01 07/10/12 EMTEC INC/NJ UT 2.02,9.01 07/16/12 ENB Financial Corp PA 2.02,9.01 07/12/12 FactorShares 2X: Gold Bull/S&P500 Bea 5.01 07/16/12 FactorShares 2X: Oil Bull/S&P500 Bear 5.01 07/16/12 FactorShares 2X: S&P500 Bull/TBond Be 5.01 07/16/12 FactorShares 2X: S&P500 Bull/USD Bear 5.01 07/16/12 FactorShares 2X: TBond Bull/S&P500 Be 5.01 07/16/12 FASTENAL CO MN 5.02 07/11/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 07/16/12 FIRST TRUST HIGH INCOME LONG/SHORT FU MA 7.01,9.01 07/16/12 FLIR SYSTEMS INC OR 2.02,9.01 07/16/12 FOCUS GOLD Corp 1.01,2.03,9.01 07/12/11 Fortress International Group, Inc. DE 1.02 07/10/12 FREDS INC TN 5.02,9.01 07/13/12 FREQUENCY ELECTRONICS INC DE 2.02,9.01 07/12/12 FXCM Inc. 7.01,9.01 07/16/12 GANNETT CO INC /DE/ DE 2.02,9.01 07/16/12 GBS Enterprises Inc NV 9.01 12/30/10 AMEND GEOVIC MINING CORP. DE 5.02,9.01 07/16/12 Global Indemnity plc L2 5.02 07/16/12 GLOBAL POWER EQUIPMENT GROUP INC. DE 1.01,9.01 07/14/12 Global Telecom & Technology, Inc. DE 2.01,9.01 07/13/12 AMEND GLOBALSCAPE INC DE 5.02,9.01 07/10/12 GlyEco, Inc. NV 7.01 07/16/12 AMEND GOLDEN PHOENIX MINERALS INC NV 3.02 07/12/12 GOOD TIMES RESTAURANTS INC NV 8.01 07/16/12 HAIN CELESTIAL GROUP INC DE 8.01 07/16/12 HARLAND CLARKE HOLDINGS CORP DE 8.01,9.01 07/16/12 HARLAND CLARKE HOLDINGS CORP DE 2.02 07/16/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,7.01,9.01 07/16/12 HEALTH REVENUE ASSURANCE HOLDINGS, IN NV 1.01,5.02,9.01 07/09/12 HEARTLAND FINANCIAL USA INC DE 8.01 07/16/12 Hicks Acquisition CO II, Inc. 3.01,7.01,9.01 07/13/12 HILLS BANCORPORATION IA 5.02 07/16/12 Hines Global REIT, Inc. MD 7.01,8.01,9.01 07/13/12 Honda Auto Receivables 2012-3 Owner T DE 6.01,9.01 07/16/12 HUMAN GENOME SCIENCES INC DE 1.01,3.03,8.01,9.01 07/16/12 ICU MEDICAL INC/DE DE 2.02,9.01 07/16/12 IDEXX LABORATORIES INC /DE DE 5.02 07/10/12 INTERLINE BRANDS, INC./DE DE 8.01,9.01 07/16/12 INTERVEST BANCSHARES CORP DE 2.02,9.01 07/16/12 IsoRay, Inc. MN 1.01,8.01,9.01 07/11/12 IVANHOE ENERGY INC 7.01,9.01 07/12/12 IXYS CORP /DE/ DE 5.02 07/10/12 J2 GLOBAL, INC. DE 2.02,7.01,9.01 07/16/12 JOE'S JEANS INC. DE 2.02,9.01 07/16/12 KIMCO REALTY CORP MD 8.01,9.01 07/16/12 KIT digital, Inc. DE 8.01,9.01 07/15/12 Kosmos Energy Ltd. D0 5.02,7.01,9.01 07/16/12 LAS VEGAS RAILWAY EXPRESS, INC. DE 3.02,9.01 07/10/12 LAS VEGAS SANDS CORP NV 7.01,9.01 07/16/12 LEAGUE NOW HOLDINGS CORP FL 1.01,2.03,3.02,9.01 07/11/12 LEAP WIRELESS INTERNATIONAL INC DE 5.02,9.01 07/13/12 LEAPFROG ENTERPRISES INC 5.02,8.01,9.01 07/13/12 LEVI STRAUSS & CO DE 5.02,5.03,9.01 07/12/12 LIBERTY SILVER CORP NV 8.01,9.01 07/16/12 LIFE PARTNERS HOLDINGS INC TX 5.02 07/12/12 Lone Star Gold, Inc. NV 3.02 07/11/12 MAGELLAN GOLD Corp NV 3.02 07/10/12 MAKEMUSIC, INC. MN 8.01,9.01 07/16/12 Manitex International, Inc. MI 7.01,9.01 07/16/12 MASTERCARD INC DE 1.01,8.01,9.01 07/13/12 MATTRESS FIRM HOLDING CORP. DE 7.01,9.01 07/16/12 MBIA INC CT 8.01 07/16/12 MEADE INSTRUMENTS CORP DE 2.02,9.01 07/16/12 MEDIANET GROUP TECHNOLOGIES INC NV 5.02,9.01 07/12/12 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 07/16/12 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 07/16/12 MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01 07/16/12 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 07/16/12 NANOSPHERE INC DE 2.02,9.01 07/16/12 NEWS CORP 8.01,9.01 07/16/12 NORTH BAY RESOURCES INC DE 1.01,9.01 07/11/12 Northern Tier Energy LLC DE 7.01 07/16/12 NOVAGEN SOLAR INC. NV 2.01,9.01 06/25/12 ONE LIBERTY PROPERTIES INC MD 8.01 07/12/12 Opko Health, Inc. DE 5.02,7.01,9.01 07/10/12 ORRSTOWN FINANCIAL SERVICES INC PA 8.01 06/29/12 OSHKOSH CORP WI 1.01,3.03,9.01 07/13/12 Otter Tail Corp MN 8.01 07/13/12 OXIGENE INC DE 5.02 07/10/12 PACIFIC PREMIER BANCORP INC DE 5.02,9.01 07/13/12 Pana-Minerales S.A. NV 5.02 07/16/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 1.01,3.03,8.01,9.01 07/14/12 PARKS AMERICA, INC NV 5.02,5.03,9.01 06/12/12 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 07/16/12 PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 07/16/12 Phillips Edison - ARC Shopping Center MD 5.07,8.01,9.01 07/02/12 PLANTRONICS INC /CA/ DE 1.01,5.02,9.01 07/16/12 POKERTEK, INC. NC 3.01,5.02 07/11/12 POWER INTEGRATIONS INC CA 9.01 05/01/12 AMEND PREMIER ALLIANCE GROUP, INC. NV 5.02 07/05/12 Primerica, Inc. DE 1.01,2.03,7.01,9.01 07/11/12 Protea Biosciences Group, Inc. DE 1.01,9.01 06/15/12 REALNETWORKS INC WA 5.02,7.01,9.01 07/12/12 REPROS THERAPEUTICS INC. DE 8.01,9.01 07/16/12 Sarepta Therapeutics, Inc. OR 5.02 07/10/12 SBA COMMUNICATIONS CORP FL 1.01,2.03,8.01,9.01 07/10/12 SELECTIVE INSURANCE GROUP INC NJ 2.02,9.01 07/16/12 SEVERN BANCORP INC MD 2.02,9.01 07/16/12 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 05/30/12 SONO TEK CORP NY 7.01,9.01 07/12/12 SOUTHCOAST FINANCIAL CORP SC 2.02,5.07,9.01 07/12/12 SquareTwo Financial Corp DE 5.02 07/16/12 SRI SURGICAL EXPRESS INC FL 1.02,2.01,3.01,3.03, 07/13/12 5.01,5.02,5.03,9.01 SRS LABS INC DE 8.01 07/16/12 STANCORP FINANCIAL GROUP INC OR 2.02,9.01 07/16/12 STEELCASE INC MI 5.02,5.07,9.01 07/11/12 Susser Holdings CORP DE 2.02 07/16/12 T3 Motion, Inc. DE 1.01,2.03,9.01 07/10/12 TECHPRECISION CORP 2.02,7.01,9.01 07/16/12 Terreno Realty Corp MD 8.01,9.01 07/12/12 Timberline Resources Corp DE 7.01,9.01 07/12/12 TOR MINERALS INTERNATIONAL INC DE 8.01 06/13/12 TRANS WORLD ENTERTAINMENT CORP NY 5.02,9.01 07/12/12 TRANSCONTINENTAL GAS PIPE LINE COMPAN DE 1.01,2.03,9.01 07/13/12 TransMontaigne Partners L.P. DE 8.01,9.01 07/16/12 TurkPower Corp DE 7.01 07/16/12 TYCO INTERNATIONAL LTD V8 5.02 07/12/12 UBS-Barclays Commercial Mortgage Trus 9.01 07/16/12 Umami Sustainable Seafood Inc. NV 1.01,2.03,5.02,9.01 06/25/12 Uniontown Energy Inc. NV 8.01,9.01 07/16/12 UNITED REFINING CO PA 8.01,9.01 07/16/12 UniTek Global Services, Inc. DE 5.02,9.01 07/16/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 1.01,9.01 07/13/12 Upstream Worldwide, Inc. DE 5.02 07/10/12 US DATAWORKS INC NV 2.02,9.01 07/13/12 VISA INC. DE 1.01,8.01,9.01 07/13/12 WALGREEN CO IL 5.02,8.01,9.01 07/11/12 WELLS GARDNER ELECTRONICS CORP IL 4.01 07/16/12 AMEND Wendy's Co DE 2.03,8.01 07/16/12 WESTAMERICA BANCORPORATION CA 2.02,9.01 07/16/12 WESTBRIDGE RESEARCH GROUP CA 5.07 07/13/12 WESTLAKE CHEMICAL CORP 1.01,2.03,9.01 07/10/12 WireCo WorldGroup Inc. 1.01,2.01,2.03,7.01, 07/12/12 9.01 Woodward, Inc. DE 2.02,9.01 07/16/12 ZOGENIX, INC. DE 8.01 07/13/12 ZST Digital Networks, Inc. DE 3.02,5.02,9.01 07/10/12