In the Matter of Ross Mandell
The United States Securities and Exchange Commission announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) against Ross Mandell.
The Division of Enforcement (Division) alleges in the Order that on July 26, 2011 Mandell was convicted of securities fraud in violation of Title 15 United States Code, Sections 78j(b) and 78ff; mail fraud in violation of Title 18 United States Code, Section 1341; wire fraud in violation of Title 18 United States Code, Section 1343; and conspiracy to commit offenses against the United States, namely securities fraud, mail fraud and wire fraud, in violation of Title 18 United States Code, Section 371, before the United States District Court for the Southern District of New York, in United States v. Ross Mandell, et al., 09-cr-662 (S.D.N.Y.). Mandell, 55 years old, is a resident of Boca Raton, Florida. Mandell founded Sky Capital LLC (now known as Granta Capital LLC) (Sky Capital), a New York-based broker-dealer, in June 2001, and was its President, CEO and majority shareholder until April 2008. The counts of the criminal indictment under which Mandell was found guilty alleged, inter alia, that from in or about 1998 through in or about 2006, Mandell defrauded investors out of approximately $140 million through a series of purported private offerings and a stock manipulation scheme in the securities of two companies affiliated with Sky Capital. The indictment also alleged that Mandell obtained money and property by means of materially false and misleading statements, that he used the United States mails to further the scheme, and that he used wire and radio communications in interstate commerce for the purpose of executing the scheme. Further, the indictment alleged that Mandell employed devices, schemes and artifices to defraud, made untrue statements of material facts, and engaged in acts, practices and courses of business which operated as a fraud and deceit upon Sky Capital’s customers in connection with the purchase and sale of securities. The indictment also alleged that Mandell used the wire and mails communications in interstate and foreign commerce to carry out the fraudulent scheme. On May 7, 2012, Mandell was sentenced to a prison term of 144 months followed by three years of supervised release and a $10,000 fine, and a money judgment of $50,000, with restitution to be determined.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Mandell an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice.
For more information about this matter, please see Litigation Release Number 21120 / July 8, 2009. (Rel. 34-67645; File No. 3-14981)
In the Matter of Optimized Transportation Management, Inc.
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against Optimized Transportation Management, Inc. (Optimized Transportation Management). The Order finds that Optimized Transportation Management is a Delaware corporation formerly headquartered in Springville, Utah and now headquartered in San Antonio, Texas with a class of securities registered with the Commission pursuant to Section 12(g) of the Exchange Act. Optimized Transportation Management’s common stock is currently quoted on the OTC Link operated by OTC Markets Group Inc. under the trading symbol “OPTZ”. The Order also finds Optimized Transportation Management has failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder while its common stock was registered with the Commission because it has not filed its required periodic reports since it filed its last Form 10-K for the year ended December 31, 2009 on March 31, 2010 and its last Form 10-Q for the quarter ended September 30, 2010 on November 22, 2010.
Optimized Transportation Management consented to the issuance of the Order revoking the registration of each class of Optimized Transportation Management’s securities registered with the Commission pursuant to Section 12 of the Exchange Act. (Rel. 34-67646; File No. 3-14905)
In the Matter of Wells Fargo Brokerage Services, LLC, n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry
The Securities and Exchange Commission today charged Wells Fargo’s brokerage firm and a former vice president for selling investments tied to mortgage-backed securities without fully understanding their complexity or disclosing the risks to investors.
The SEC found that Wells Fargo improperly sold asset-backed commercial paper (ABCP) structured with high-risk mortgage-backed securities and collateralized debt obligations (CDOs) to municipalities, non-profit institutions, and other customers. Wells Fargo did not obtain sufficient information about these investment vehicles and relied almost exclusively upon their credit ratings. The firm’s representatives failed to understand the true nature, risks, and volatility behind these products before recommending them to investors with generally conservative investment objectives.
Wells Fargo agreed to pay more than $6.5 million to settle the SEC’s charges. The money will be placed into a Fair Fund for the benefit of harmed investors.
According to the SEC’s order instituting settled administrative proceedings against Minneapolis-based Wells Fargo Brokerage Services (now Wells Fargo Securities), the improper sales occurred from January 2007 to August 2007. Registered representatives in Wells Fargo’s Institutional Brokerage and Sales Division made recommendations to institutional customers to purchase ABCP issued by limited purpose companies called structured investment vehicles (SIVs) and SIV-Lites backed largely by mortgage-backed securities and CDOs. Wells Fargo and its registered representatives did not review the private placement memoranda (PPMs) for the investments and the extensive risk disclosures in those documents. Instead, they relied almost exclusively on the credit ratings of these products despite various warnings against such over-reliance in the PPM and elsewhere. Wells Fargo also failed to establish any procedures to ensure that its personnel adequately reviewed and understood the nature and risks of these commercial paper programs.
The SEC’s order finds that Wells Fargo and its registered representatives failed to have a reasonable basis for their recommendations. They also failed to disclose to their customers the risks associated with the complex SIV-issued ABCP investments, including the nature and volatility of the underlying assets. A number of customers purchased SIV-issued ABCP as a result of Wells Fargo’s recommendations, and many of them ultimately suffered substantial losses after three SIV-issued ABCP programs defaulted in 2007.
The SEC charged former vice president Shawn McMurtry for his improper sale of SIV issued ABCP. McMurtry exercised discretionary authority in violation of Wells Fargo’s internal policy and selected the particular issuer of ABCP for one longstanding municipal customer. McMurtry did not obtain sufficient information about the investment and relied almost entirely upon its credit rating.
Wells Fargo and McMurtry were, at a minimum, negligent in recommending the relevant ABCP programs without obtaining adequate information about them to form a reasonable basis for recommending these products and without disclosing the material risks of these products. As a result, they willfully violated Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933.
The SEC’s order finds that Wells Fargo has taken a number of remedial measures since 2007 to ensure that its registered representatives have adequate information about the nature and risk of the securities they recommend to customers, and that relevant information about those securities will be fully disclosed to customers.
Wells Fargo and McMurtry consented to the SEC’s order without admitting or denying the findings. Wells Fargo agreed to pay a $6.5 million penalty, $65,000 in disgorgement, and $16,571.96 in prejudgment interest. McMurtry agreed to be suspended from the securities industry for six months and pay a $25,000 penalty.
The SEC’s investigation was conducted jointly by the Enforcement Division’s Municipal Securities and Public Pensions Unit led by Elaine C. Greenberg and Mark R. Zehner and the Chicago Regional Office led by Merri Jo Gillette and Timothy L. Warren. The investigative attorneys were Rebecca R. Goldman and Sally Hewitt supervised by Assistant Director Peter K.M. Chan. Also assisting in the investigation were Senior Trial Counsel Steven C. Seeger as well as Daniel R. Gregus, George Jacobus, and Christopher L. Caprio of the Chicago office’s broker-dealer examinations group. (Rels. 33-9349; 34-67649; IC-30167; File No. 3-14982)
SEC Charges Six Individuals In $6 Million “Shell Factory” Scheme
On August 13, 2012, the Securities and Exchange Commission filed a civil injunctive action alleging antifraud and reporting violations by six individuals based on their roles in the creation and carrying out of a scheme to manufacture and sell at least 15 public shell companies, from which they realized nearly $6 million.
The Commission’s complaint alleges that Thomas and Elizabeth Coldicutt installed nominee officers and directors in corporations they secretly controlled, and directed the nominees, including Linda S. Farrell, Robert C. Weaver, Jr., Christopher C. Greenwood, and Susana Gomez, to submit materially false and misleading registration statements and reports to the SEC. These false documents gave the companies the appearance of legitimacy and permitted their securities to be quoted on the OTC Bulletin Board. The complaint further alleges that the Coldicutts, with assistance from the other defendants, used nominees to purchase and hold stock in the shell companies, and that the Coldicutts funded these stock purchases.
The complaint charges the Coldicutts, Farrell, Weaver, Greenwood, and Gomez with violating or aiding and abetting violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint further alleges that the Coldicutts are liable as control persons under Section 20(a) of the Exchange Act for the other Defendants’ violations of Section 10(b) and Rule 10b-5. In addition, the complaint alleges that the Coldicutts, Farrell, Weaver, and Gomez aided and abetted violations of Exchange Act 15(d) and Rules 12b-20, 15d-1, and 15d-13 thereunder, while Greenwood aided and abetted violations of Section 15(d) and Rules 12b-20 and 15d-13 thereunder. Finally, the complaint alleges that Farrell, Weaver, Greenwood, and Gomez each aided and abetted violations of Exchange Act Rule 15d-14. The SEC seeks permanent injunctions, disgorgement with prejudgment interest, the assessment of civil penalties, permanent officer and director bars, and permanent penny stock bars as to each of the Defendants. [SEC v. Thomas D. Coldicutt, Jr., et al., Civil Action No. 4:12-CV-00505; USDC, E.D.Tex., Sherman Division] (LR-22445)
The Securities and Exchange Commission announced that on August 7, 2012, the Honorable Dale S. Fischer of the United States District Court for the Central District of California granted the Commission’s motion for summary judgment and entered final judgment against defendant Alero Odell Mack, Jr. (Mack). The judgment enjoins Mack from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), (2), and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. In addition, the Court ordered Mack to pay disgorgement of $1,079,879, prejudgment interest of $58,905.32, and a civil penalty of $150,000.
According to the complaint, from 2007 through as late as March 2010, Mack, Steven Enrico Lopez, Sr., and various entities under Mack’s control, obtained approximately $4 million in investor funds through various fraudulent investment schemes that primarily involved the offer and sale of investments in various purported hedge funds, as well as in an investment adviser to a hedge fund. The Commission previously obtained judgments against defendants Steven Enrico Lopez, Sr., Easy Equity Asset Management, Inc., Easy Equity Management, L.P., Easy Equity Partners, L.P, Alero Equities The Real Estate Company, L.L.C., and Alero I.X. Corporation. [SEC v. Alero Odell Mack, Jr. et al., Civil Action No. CV 10-8383, DSF (PJWx), USDC, CD Cal] (LR-22446)
SEC Charges Home and Construction Loan Companies and Their Principal with Offering Fraud
On August 13, 2012 the Securities and Exchange Commission filed a civil injunctive action against Ivan Wade Brown (Brown) and two companies he owns and solely controls: Highland Residential, LLC (Highland) and Avanti Capital Partners, LLC (Avanti).
In its Complaint, the Commission alleges that Brown raised over $27 million from at least 93 investors through the fraudulent and unregistered sale of promissory notes in Highland and Avanti. Brown started selling unregistered promissory notes for Highland in 2004, and he formed Avanti in 2007 after the Utah Division of Securities investigated his and Highland’s conduct.
Brown represented to investors that Highland and Avanti would use investor funds to make secured bridge loans to individuals buying or building a residence under circumstances that he represented to investors would involve little-to-no risk. Instead of using investor funds as represented, Brown used a significant portion of investor funds for his personal use, to make Ponzi payments, to invest in properties other than the ones he had identified, and to invest in other suspected frauds, including a mineral refiner, a movie production, and a dubious contract scheme where he attempted to insure real estate above market value. By engaging in this conduct, Brown, Highland, and Avanti violated Sections 5(a), 5(c) and 17(a)(2) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5(b) thereunder. [SEC v. Avanti Capital Partners, LLC, et al., Civil No. 2:12-cv-788-BCW (USDC Utah)] (LR-22447)
SEC Charges Petro-Suisse Ltd. and Mark Gasarch With Offering Fraud
The Securities and Exchange Commission announced today that on August 14, 2012, it filed a civil injunctive action in the United States District Court for the Southern District of New York charging Petro-Suisse Ltd. (Petro-Suisse) and Mark Gasarch (Gasarch) with offering fraud.
The Commission’s complaint alleges that between 2003 and 2006, in connection with the purchase and sale of 21 limited partnership interests offered by Petro-Suisse to finance the drilling of oil wells in Trinidad, Gasarch, Petro-Suisse’s Director, Treasurer, and legal counsel, drafted 21 private placements memorandums (PPMs) that contained materially false and misleading information. Specifically, the PPMs stated that Petro-Suisse or an affiliate, as general partner of the 21 limited partnership offerings, would cause each of the 21 partnerships to enter into written agreements to finance the drilling of oil wells in Trinidad for which the partnerships would receive contractual rights to receive returns measured by the net revenues of the wells drilled and payable out of those revenues. The PPMs contained materially false and misleading information because the partnerships never entered into any such written agreements.
Without admitting or denying the allegations in the complaint, Petro-Suisse consented to the entry of a proposed Final Judgment enjoining it from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Gasarch consented to the entry of a proposed Final Judgment enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The proposed Final Judgments also orders Gasarch and Petro-Suisse jointly and severally liable to pay $8,370,000 in disgorgement, deemed satisfied by the previous payments made by Petro-Suisse to the limited partnership investors, and for Gasarch to pay a $130,000 civil penalty. The proposed settlements are subject to the approval of the district court. [SEC v. Petro-Suisse Ltd. and Mark Gasarch, 12-CV-6221 (S.D.N.Y.)] (LR-22448)
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 ENDEAVOUR INTERNATIONAL CORP, 1001 FANNIN STREET, SUITE 1600, HOUSTON, TX, 77002, 713-307-8700 - 1,950,000 ($16,516,500.00) Equity, (File 333-183250 - Aug. 13) (BR. 04B) S-8 ENDEAVOUR INTERNATIONAL CORP, 1001 FANNIN STREET, SUITE 1600, HOUSTON, TX, 77002, 713-307-8700 - 50,000 ($423,500.00) Equity, (File 333-183251 - Aug. 13) (BR. 04B) S-1 BMC Capital, Inc., 13355 NOEL ROAD, SUITE 400, DALLAS, TX, 75240, (972) 616-6360 - 2,602,959 ($780,888.00) Other, (File 333-183252 - Aug. 13) (BR. 02) S-8 Liberty Interactive Corp, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 7208755400 - 0 ($115,500,000.00) Equity, (File 333-183253 - Aug. 13) (BR. 11C) S-1 Zoetis Inc., 235 EAST 42ND STREET, NEW YORK, NY, 10017, 212-733-2323 - 0 ($100,000,000.00) Equity, (File 333-183254 - Aug. 13) (BR. 01) S-4 WashingtonFirst Bankshares, Inc., 11636 PLAZA AMERICA DRIVE, RESTON, VA, 20190, (703) 481-0118 - 0 ($22,177,265.00) Equity, (File 333-183255 - Aug. 13) (BR. 07) S-1 IDELIK FOOTWEAR, INC., 2610 OLD SOUTH DRIVE, JONESBORO, GA, 30236, 4043963581 - 10,000,000 ($1,000,000.00) Equity, (File 333-183265 - Aug. 13) (BR. ) S-3 MIDSOUTH BANCORP INC, 102 VERSAILLES BLVD, VERSAILLES CENTRE, LAFAYETTE, LA, 70501, 3182378343 - 75,000,000 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-183266 - Aug. 13) (BR. 07B) S-8 DNA BRANDS INC, 506 NW 77TH STREET, BOCA RATON, FL, 33487, 954-978-8401 - 5,400,000 ($864,000.00) Equity, (File 333-183267 - Aug. 13) (BR. 11A) S-8 PLANTRONICS INC /CA/, 345 ENCINAL ST, SANTA CRUZ, CA, 95061-1802, 8314265858 - 1,300,000 ($43,576,000.00) Equity, (File 333-183268 - Aug. 13) (BR. 11C) S-8 KINDRED HEALTHCARE, INC, 680 SOUTH FOURTH STREET, LOUISVILLE, KY, 40202, 5025967300 - 0 ($2,136,000.00) Equity, (File 333-183269 - Aug. 13) (BR. 11C) S-8 Bloomin' Brands, Inc., 2202 NORTH WEST SHORE BOULEVARD, SUITE 500, TAMPA, FL, 33607, 813-282-1225 - 0 ($134,280,640.00) Equity, (File 333-183270 - Aug. 13) (BR. 05C) S-1 NC SOLAR INC, 1107 TOWN CREEK ROAD, EDEN, NC, 27288, 336 432 2623 - 1,451,351 ($217,702.70) Equity, (File 333-183272 - Aug. 13) (BR. ) S-3ASR Clearwire Corp /DE, 1475 120TH AVE NE, BELLEVUE, WA, 98005, 425-216-7600 - 4,819,278 ($7,469,880.90) Equity, (File 333-183273 - Aug. 13) (BR. 11C) S-8 FIRST BUSINESS FINANCIAL SERVICES, INC., 401 CHARMANY DRIVE, MADISON, WI, 53719, 608-238-8008 - 245,542 ($5,502,596.22) Equity, (File 333-183274 - Aug. 13) (BR. 07B) S-3D CECO ENVIRONMENTAL CORP, 4625 RED BANK ROAD, SUITE 200, CINCINNATI, OH, 45227, 4165936543 - 0 ($5,940,000.00) Equity, (File 333-183275 - Aug. 13) (BR. 06C) S-1 Atlas Financial Holdings, Inc., 150 NORTHWEST POINT BOULEVARD, ELK GROVE VILLAGE, IL, 60007, 847-700-8000 - 18,804,361 ($38,548,940.05) Equity, (File 333-183276 - Aug. 13) (BR. 01B) S-8 Manchester United plc, Old Trafford, Manchester, X0, M16 ORA, 44(0)1618688000 - 0 ($224,000,000.00) Other, (File 333-183277 - Aug. 13) (BR. 05C) S-8 SPIRE Corp, ONE PATRIOTS PARK, BEDFORD, MA, 01730-2396, 6172756000 - 750,000 ($420,000.00) Equity, (File 333-183278 - Aug. 13) (BR. 10B) S-1 MRI INTERVENTIONS, INC., ONE COMMERCE SQUARE, SUITE 2550, MEMPHIS, TN, 38103, 9015229300 - 19,045,808 ($43,233,984.16) Equity, (File 333-183279 - Aug. 13) (BR. 10B) S-3 Chesapeake Lodging Trust, 1997 ANNAPOLIS EXCHANGE PARKWAY, SUITE 410, ANNAPOLIS, MD, 21401, (410) 972-4140 - 0 ($365,512,500.00) Equity, (File 333-183280 - Aug. 13) (BR. 08C) S-8 SATCON TECHNOLOGY CORP, 27 DRYDOCK AVENUE, BOSTON, MA, 02210, 6178972400 - 0 ($885,000.00) Equity, (File 333-183281 - Aug. 13) (BR. 10B) S-8 SATCON TECHNOLOGY CORP, 27 DRYDOCK AVENUE, BOSTON, MA, 02210, 6178972400 - 0 ($590,000.00) Equity, (File 333-183282 - Aug. 13) (BR. 10B) S-3 DREW INDUSTRIES INC, 200 MAMARONECK AVE, WHITE PLAINS, NY, 10601, 9144289098 - 900,000 ($26,073,000.00) Equity, (File 333-183283 - Aug. 13) (BR. 05A) S-8 CORCEPT THERAPEUTICS INC, 149 COMMONWEALTH DRIVE, MENLO PARK, CA, 94025, 650.688.8803 - 15,710,531 ($48,859,751.41) Equity, (File 333-183284 - Aug. 13) (BR. 01B) S-3ASR DAVITA INC, 1551 WEWATTA STREET, 6TH FLOOR, DENVER, CO, 80202, 3034052100 - 0 ($0.00) Debt, (File 333-183285 - Aug. 13) (BR. 09A) S-3 Celsion CORP, 10220 OLD COLUMBIA ROAD, SUITE L, COLUMBIA, MD, 21046-1705, 4102905390 - 0 ($75,000,000.00) Equity, (File 333-183286 - Aug. 13) (BR. 01A) S-3ASR ONEOK Partners LP, 100 WEST FIFTH STREET, TULSA, OK, 74103, 9185887000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183287 - Aug. 13) (BR. 02C) S-8 Celsion CORP, 10220 OLD COLUMBIA ROAD, SUITE L, COLUMBIA, MD, 21046-1705, 4102905390 - 3,250,000 ($9,132,500.00) Equity, (File 333-183288 - Aug. 13) (BR. 01A) S-8 DTS, INC., 5220 LAS VIRGENES ROAD, CALABASAS, CA, 91302, 818 436-1000 - 0 ($4,680,467.72) Equity, (File 333-183289 - Aug. 13) (BR. 03A) S-8 American Midstream Partners, LP, 1614 15TH STREET SUITE 300, DENVER, CO, 80202, (720) 457-6060 - 0 ($18,167,270.00) Equity, (File 333-183290 - Aug. 13) (BR. 02) S-1 AmpliTech Group, Inc., 328 W. 44TH ST. NO.22, NEW YORK, NY, 10036, 646-388-2495 - 6,418,638 ($1,586,660.00) Equity, (File 333-183291 - Aug. 13) (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 ACADIA REALTY TRUST MD 8.01,9.01 08/09/12 ACELRX PHARMACEUTICALS INC DE 2.02,9.01 08/09/12 ACORDA THERAPEUTICS INC 8.01,9.01 08/13/12 ADAMS RESOURCES & ENERGY, INC. DE 2.02 08/10/12 ADVANCED PHOTONIX INC DE 2.02,7.01,9.01 08/13/12 Aircastle LTD D0 1.01,5.02,9.01 08/07/12 ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 08/13/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 08/13/12 ALTAIR NANOTECHNOLOGIES INC Z4 1.01,2.03,9.01 08/08/12 AMBASE CORP DE 8.01 08/13/12 American Assets Trust, Inc. MD 7.01 08/13/12 American Electric Technologies Inc FL 2.02,9.01 08/08/12 American Midstream Partners, LP DE 2.02,9.01 08/13/12 American Realty Capital Trust III, In MD 2.02,9.01 08/10/12 AMYLIN PHARMACEUTICALS INC DE 1.01,2.01,2.04,3.01, 08/08/12 3.02,3.03,5.01,5.02, 5.03 Antero Resources LLC DE 2.02,9.01 08/13/12 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,9.01 08/09/12 APRIA HEALTHCARE GROUP INC DE 2.02,9.01 08/13/12 ARADIGM CORP CA 2.02,9.01 08/09/12 ARK RESTAURANTS CORP NY 2.02,9.01 08/10/12 ARKANOVA ENERGY CORP. NV 1.01,2.03,9.01 08/06/12 ARRAY BIOPHARMA INC DE 2.02,9.01 08/13/12 ARROWHEAD RESEARCH CORP DE 8.01,9.01 08/10/12 ARROWHEAD RESEARCH CORP DE 2.02,9.01 08/13/12 AT&T INC. DE 8.01 08/13/12 ATHERSYS, INC / NEW DE 2.02,9.01 08/13/12 Atkore International Holdings Inc. DE 2.02,9.01 08/13/12 AUSTRALIAN OIL & GAS CORP DE 3.01 08/13/12 BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 08/10/12 BAR HARBOR BANKSHARES ME 8.01 08/13/12 BAXTER INTERNATIONAL INC DE 8.01,9.01 08/13/12 BB&T CORP NC 8.01 08/13/12 Beacon Federal Bancorp, Inc. MD 2.02,9.01 08/09/12 BELDEN INC. DE 8.01,9.01 08/13/12 BIOSPECIFICS TECHNOLOGIES CORP DE 1.01,9.01 03/31/12 AMEND BIOZONE PHARMACEUTICALS, INC. NV 2.02,4.02 08/08/12 Bloomin' Brands, Inc. DE 5.03,7.01,9.01 08/13/12 BLUCORA, INC. DE 3.03,5.03,9.01 08/09/12 Bonanza Creek Energy, Inc. DE 2.02,9.01 08/13/12 BRIGGS & STRATTON CORP WI 1.01,5.03,9.01 08/08/12 BRINKS CO VA 7.01,9.01 08/13/12 BROADCOM CORP CA 8.01,9.01 08/13/12 CAMAC Energy Inc. DE 4.01,9.01 08/09/12 CAMBIUM LEARNING GROUP, INC. 2.02,9.01 08/08/12 CAMELOT CORP NV 5.01 05/05/12 AMEND Camelot Entertainment Group, Inc. DE 3.02 08/10/12 CANTERBURY PARK HOLDING CORP MN 2.02,9.01 08/13/12 CapLease, Inc. 8.01,9.01 08/13/12 Carbonite Inc DE 7.01,9.01 08/13/12 CARVER BANCORP INC DE 9.01 08/07/12 CenterState Banks, Inc. FL 7.01,9.01 08/13/12 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 7.01,8.01,9.01 08/13/12 CENTRUE FINANCIAL CORP DE 2.02,9.01 08/13/12 Chanticleer Holdings, Inc. DE 2.02,9.01 08/13/12 CHARTER FINANCIAL CORP/GA 8.01,9.01 08/13/12 Chefs' Warehouse, Inc. DE 1.01,2.01,7.01,9.01 08/10/12 ChemoCentryx, Inc. DE 2.02,9.01 08/10/12 Chino Commercial Bancorp CA 1.01,9.01 07/01/12 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01 08/13/12 Citizens Community Bancorp Inc. MD 7.01,9.01 08/13/12 CKE RESTAURANTS INC DE 8.01,9.01 08/09/12 CLEARONE COMMUNICATIONS INC UT 8.01 07/30/12 COINSTAR INC DE 5.02,7.01,8.01,9.01 08/10/12 Colt Defense LLC DE 5.02 08/13/12 COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 08/08/12 COMVERSE TECHNOLOGY INC/NY/ NY 1.01,8.01,9.01 08/12/12 CONCEPTUS INC DE 5.02,9.01 08/13/12 CONTINENTAL RESOURCES INC OK 8.01,9.01 08/13/12 Converted Organics Inc. DE 3.02 08/10/12 COOPER TIRE & RUBBER CO DE 1.01,9.01 08/10/12 Coronus Solar Inc. A1 1.01,2.03,7.01,9.01 08/13/12 COUPON EXPRESS, INC. NV 1.01,3.02,5.02,7.01, 08/01/12 9.01 CRACKER BARREL OLD COUNTRY STORE, INC 5.02,9.01 08/09/12 Crescent Financial Bancshares, Inc. 1.01,3.02,9.01 08/10/12 CTI INDUSTRIES CORP DE 2.02,9.01 08/13/12 CURTISS WRIGHT CORP DE 1.01,9.01 08/09/12 DAVITA INC DE 8.01,9.01 08/13/12 DAVITA INC DE 7.01,9.01 08/13/12 DELCATH SYSTEMS INC DE 7.01,9.01 08/07/12 Delta Tucker Holdings, Inc. 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