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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-174
September 7, 2012

Commission announcements

Report to Congress on the Credit Rating Standardization Study

The Commission today submitted a report to Congress in accordance with Section 939(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act containing the findings of a study with respect to: (1) standardizing credit rating terminology, so that all credit rating agencies issue credit ratings using identical terms; (2) standardizing the market stress conditions under which ratings are evaluated; (3) requiring a quantitative correspondence between credit ratings and a range of default probabilities and loss expectations under standardized conditions of economic stress; and (4) standardizing credit rating terminology across asset classes, so that named ratings correspond to a standard range of default probabilities and expected losses independent of asset class and issuing entity.  (Section 939(h) Report)

Commission Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis

The Commission today announced an emergency enforcement action against an asset manager who has boasted remarkable investment success throughout the global financial crisis while allegedly exaggerating the value of the assets he manages and concealing major losses from investors.

The SEC alleges that Nikolai Battoo claims to manage $1.5 billion on behalf of investors around the world, including at least $100 million for U.S.-based investors.  But contrary to Battoo's proclaimed track record of exceptional risk-adjusted returns for his investors, he actually suffered major losses in 2008 due to his investments in the Bernard Madoff Ponzi scheme and a failed derivative investment program.  Rather than admit the losses to investors, Battoo has been overstating the value of his investments in a variety of ways.  By boasting benchmark-beating returns, he has continued to attract new investors.  However, during the past several months, investors have requested redemptions on their investments with Battoo.  Instead of paying them, Battoo has provided a series of excuses ranging from the MF Global collapse to others placing a hold on investors' money due to government investigations. (Rel. 2012-185)

N.Y.-Based Investment Advisory Firm and Founder Settle SEC Charges For Fraudulent Management Of CDOs

The Commission today announced that New York-based investment advisory firm ICP Asset Management and its founder and president Thomas C. Priore have agreed to settle the agency's charges that they defrauded several collateralized debt obligations (CDOs) they managed.  ICP, Priore, and related entities have agreed to a final judgment ordering them to pay more than $23 million to settle the case the SEC filed against them in June 2010 in federal court in Manhattan.  The SEC alleged they engaged in fraudulent practices and misrepresentations that caused the CDOs to overpay for securities and lose millions of dollars.  Priore and the ICP companies also improperly obtained fees and undisclosed profits at the expense of the CDOs and their investors.  (Rel. 2012-184)

Commission Shuts Down San Diego-Based Real Estate Investment Fraud

The Commission today announced an asset freeze against a San Diego-based firm and its owner accused of running a real estate investment fraud that raised approximately $50 million from hundreds of investors nationwide. 

The SEC alleges that Western Financial Planning Corporation and Louis V. Schooler sold units in partnerships that Western had organized to buy vacant land in Nevada and hold for sale at a profit at a later date.  Schooler and Western failed to tell investors that they were paying an exorbitant mark-up on the land, in some cases more than five times its fair market value.  Schooler and Western also failed to tell investors that the land held by the partnerships was often encumbered by mortgages that Western used to help finance the initial purchase of the land.  (Rel. 2012-183)

Commission Meetings

Closed Meeting on Thursday, September 13, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, August 23, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.


In the Matter of Earl U. Bravo, Sr.

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Earl U. Bravo, Sr. (Bravo).  The Order finds that, at relevant times, Bravo was the Chief Operating Officer, Senior Vice President, Secretary, Assistant Treasurer, and head of equity trading of The Chapman Company, a broker dealer registered with the Commission.  He also was the Secretary and Assistant Treasurer of Chapman Capital Management, Inc., an investment adviser registered with the Commission.  The Order further finds that on August 27, 2012, a final judgment was entered by consent against Bravo, permanently enjoining him 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 Sections 206(1), 206(2) and 206(3) of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. Chapman, et al., Civil Action Number 3-1877 (WDQ), in the United States District Court for the District of Maryland.  The Commission's complaint in that civil action alleged a fraudulent scheme by Bravo and others in connection with the June 2000 initial public offering of, and subsequent secondary market trading in, the common stock of eChapman, Inc. 

The Order bars Bravo from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock.  Bravo consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-67805; File No. 3-15013)

Commission Declares Decision as to 2-Track Global, Inc. Final

The decision of an administrative law judge with respect to 2-Track Global, Inc. has become final.  The law judge found that 2-Track Global violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 by its failure prior to May 18, 2012, to timely file any periodic reports since it filed a Form 10-Q for the period ended September 30, 2009. 

The law judge found that it was both necessary and appropriate for the protection of investors to revoke the registration of each class of the registered securities of 2-Track Global, Inc. (Rel. 34-67796; File No. 3-14815)


Notice of Proposed Rule Change

The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2012-07), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, consisting of amendments to the Real-Time Transaction Reporting System information system and subscription service.  Publication is expected in the Federal Register during the week of September 10th.  (Rel. 34-67792)

Order Suspending a Proposed Rule Change and Institution of Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change

The Commission suspended a proposed rule change and instituted proceedings to determine whether to approve or disapprove the proposal, which was filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-068) to amend the customer large trade discount.  Publication in the Federal Register is expected during the week of  September 10th.  (Rel. 34-67794)

Designation of Longer Period for Commission Action on a Proposed Rule Change

The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-CBOE-2012-066) filed by the Chicago Board Options Exchange, Incorporated to increase position and exercise limits for EEM options.  Publication is expected in the Federal Register during the week of September 10th.  (Rel. 34-67790)

Joint Industry Plans: Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information

The Options Price Reporting Authority filed with the Securities and Exchange Commission a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2012-05) to amend Section 3.1 of the OPRA Plan.   Publication is expected in the Federal Register during the week of September 10th.  (Rel. 34-67791)


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     Kallo Inc., 15 ALLSTATE PARKWAY, SUITE 600, MARKHAM, A6, L3R 5B4, 
        (416) 246-9997 - 50,000,000 ($2,000,000.00) Equity, (File 333-183737 - 
        Sep. 6) (BR. 02B)

S-3     Resolute Energy Corp, 1675 BROADWAY, SUITE 1950, DENVER, CO, 80202, 
        303-573-4886 - 0 ($500,000,000.00) Other, (File 333-183738 - Sep. 6) 
        (BR. 04B)

S-4     Resolute Energy Corp, 1675 BROADWAY, SUITE 1950, DENVER, CO, 80202, 
        303-573-4886 - 0 ($250,000,000.00) Debt, (File 333-183739 - Sep. 6) 
        (BR. 04B)

        35243, 205-967-7116 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-183740 - Sep. 6) (BR. 01A)

        510 657 5900 - 5,000,000 ($4,650,000.00) Equity, (File 333-183742 - 
        Sep. 6) (BR. 10B)

        94920, (415) 888-2478 - 910,056 ($910,056.00) Equity, 
        (File 333-183743 - Sep. 6) (BR. 11C)

S-8     FINISAR CORP, 1389 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 - 
        4,797,581 ($64,863,295.12) Equity, (File 333-183744 - Sep. 6) (BR. 10A)

        77042, 713-935-0122 - 0 ($8,030,000.00) Equity, (File 333-183746 - 
        Sep. 6) (BR. 04A)

        45242, 5135796411 - 100,000 ($653,000.00) Equity, (File 333-183747 - 
        Sep. 6) (BR. 11A)

        8128676471 - 900,000 ($19,872,000.00) Equity, (File 333-183748 - 
        Sep. 6) (BR. 09B)

S-8     First Connecticut Bancorp, Inc., ONE FARM GLEN BOULEVARD, FARMINGTON, 
        CT, 06032, 860-676-4600 - 2,503,228 ($32,466,867.00) Equity, 
        (File 333-183749 - Sep. 6) (BR. 07C)

        TN, 37756, (865) 223-6575 - 0 ($500,000,000.00) Equity, 
        (File 333-183750 - Sep. 6) (BR. 04B)

S-3ASR  EXELON CORP, PO BOX 805398, CHICAGO, IL, 60680-5398, 3123947399 - 
        0 ($363,200,000.00) Equity, (File 333-183751 - Sep. 6) (BR. 02B)

S-3     American Capital Mortgage Investment Corp., 2 BETHESDA METRO CENTER, 
        14TH FLOOR, BETHESDA, MD, 20814, 301-951-6122 - 
        12,000,100 ($296,042,467.00) Equity, (File 333-183752 - Sep. 6) 
        (BR. 08C)

        6072733210 - 700,000 ($26,880,000.00) Equity, (File 333-183753 - 
        Sep. 6) (BR. 07C)


Form 8-K is used by companies to file current reports on the following events:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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.


1ST CONSTITUTION BANCORP                NJ       1.01,8.01,9.01       09/05/12

4 KIDS ENTERTAINMENT INC                NY       5.02                 08/31/12

AAR CORP                                DE       2.02,7.01,9.01       09/06/12

Abingdon Futures Fund LP                NY       3.02                 09/01/12

ABM INDUSTRIES INC /DE/                 DE       2.02,8.01,9.01       09/05/12

ACCURAY INC                             DE       2.02,9.01            09/06/12

Addus HomeCare Corp                     DE       7.01,9.01            09/06/12

ADEPT TECHNOLOGY INC                    DE       1.01,3.02,5.02,	   09/06/12

AETHLON MEDICAL INC                     NV       1.01,3.02,9.01       08/29/12

Air Transport Services Group, Inc.      DE       2.02,7.01,9.01       09/06/12

ALEXANDERS J CORP                       TN       1.01,8.01,9.01       09/05/12

ALICO INC                               FL       8.01,9.01            09/06/12

Alkermes plc.                                    7.01                 09/05/12

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            09/06/12

ALLIANT TECHSYSTEMS INC                 DE       1.01,2.03,9.01       09/05/12

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       5.02                 08/31/12

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            09/06/12

American Patriot Financial Group, Inc   TN       5.07                 08/31/12

American Realty Capital Trust, Inc.     DE       1.01,3.03,9.01       08/30/12

American Realty Capital Trust, Inc.     DE       1.01,8.01,9.01       09/06/12

APOLLO INVESTMENT CORP                  MD       5.07                 09/05/12

ARCH COAL INC                           DE       7.01,9.01            09/06/12

ARKANSAS BEST CORP /DE/                 DE       7.01                 09/06/12

ASTRO MED INC /NEW/                     RI       5.02,9.01            09/04/12

ATC Ventures Group, Inc.                NV       3.01,9.01            08/21/12

AUDIENCE INC                                     8.01,9.01            09/06/12

BakerCorp International, Inc.           DE       8.01,9.01            09/06/12

Barossa Coffee Company, Inc.            NV       1.01,9.01            08/30/12

Bazaarvoice Inc                         DE       2.02,9.01            09/06/12

BEHRINGER HARVARD REIT I INC            MD       1.01,3.02,5.02,	   08/31/12

BHM Discretionary Futures Fund L.P.     DE       3.02                 09/01/12

BIOSPECIFICS TECHNOLOGIES CORP          DE       8.01,9.01            09/04/12

Black Ridge Oil & Gas, Inc.             DE       1.01,2.03,3.02,	   09/05/12

BRIGHTPOINT INC                         IN       8.01                 09/04/12

Calpian, Inc.                           TX       7.01,9.01            09/06/12

CAMERON INTERNATIONAL CORP              DE       5.02                 09/06/12

Capital Group Holdings, Inc.            MN       1.01                 09/06/12

CAPSTONE TURBINE Corp                   DE       1.01,5.03,5.07,9.01  08/30/12

CARDINAL HEALTH INC                     OH       5.02,5.04,9.01       08/31/12

Catamaran Corp                          B0       8.01                 09/06/12

CHC Helicopter S.A.                     N4       2.02,9.01            09/05/12

CHEROKEE INC                            DE       1.01,2.01,2.02,	   09/04/12

CHINA JO-JO DRUGSTORES, INC.                     3.01,8.01,9.01       08/31/12

CHUY'S HOLDINGS, INC.                   DE       5.02,9.01            09/04/12

Claridge Ventures, Inc.                 NV       1.01,9.01            09/04/12

CLOUD PEAK ENERGY INC.                  DE       7.01,9.01            09/06/12

COCA-COLA ENTERPRISES, INC.             DE       8.01                 09/06/12

CODEXIS INC                                      2.05                 09/06/12

COMMODITY ADVISORS FUND L.P.            NY       3.02                 09/01/12

COMPLETE GENOMICS INC                   DE       5.02                 08/30/12

COOPER COMPANIES INC                    DE       2.02,9.01            09/06/12

CORNING NATURAL GAS CORP                NY       8.01                 08/30/12

CPI CORP                                DE       1.01                 08/30/12

CSS INDUSTRIES INC                      DE       2.05,2.06,7.01,9.01  09/05/12

CUMMINS INC                             IN       8.01                 09/06/12

DAIS ANALYTIC CORP                               5.02,9.01            08/30/12

DCT Industrial Trust Inc.               MD       8.01,9.01            09/05/12

DEERE & CO                              DE       7.01                 09/06/12

DEL TORO SILVER CORP.                   NV       1.01,9.01            08/31/12

DELTA AIR LINES INC /DE/                DE       7.01,9.01            09/05/12

DELTA APPAREL, INC                      GA       2.02,7.01            09/05/12

DGSE COMPANIES INC                      NV       3.01,5.02,8.01,9.01  08/31/12

DIGIRAD CORP                            DE       5.02,9.01            09/06/12

Digital Generation, Inc.                DE       1.01,3.03,5.03,9.01  09/05/12

DOMINION RESOURCES INC /VA/             VA       8.01                 09/06/12

Domus Holdings Corp                     DE       1.01,3.02            09/04/12

DOW CHEMICAL CO /DE/                    DE       5.02,9.01            09/04/12

EDGEWATER TECHNOLOGY INC/DE/            DE       7.01,9.01            09/06/12

EMC CORP                                MA       5.02,9.01            09/05/12

ENBRIDGE ENERGY PARTNERS LP             DE       7.01,9.01            09/05/12

Enhance Skin Products Inc               NV       1.01,8.01,9.01       08/31/12

Enstar Group LTD                        D0       1.01,9.01            09/06/12

ENTERGY CORP /DE/                       DE       5.02                 08/30/12

ENVIVIO INC                             DE       2.02,9.01            09/06/12

EPIQ SYSTEMS INC                        MO       8.01,9.01            09/06/12

EQUITY LIFESTYLE PROPERTIES INC         MD       1.01,9.01            09/06/12

ESCALADE INC                            IN       8.01,9.01            09/06/12

EXA CORP                                MA       2.02,9.01            09/06/12

Federal Home Loan Bank of Boston        X1       2.03                 09/04/12

Federal Home Loan Bank of Chicago       X1       2.03                 09/04/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            09/04/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            09/04/12

Federal Home Loan Bank of New York      X1       2.03,9.01            09/04/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/31/12

Federal Home Loan Bank of San Francis   X1       2.03                 09/04/12

Federal Home Loan Bank of Topeka                 2.03,9.01            09/04/12

First Advantage Bancorp                          5.02                 09/04/12

First Connecticut Bancorp, Inc.         MD       5.02                 09/05/12

FIRST FINANCIAL BANCORP /OH/            OH       8.01                 09/06/12

FIRST INTERSTATE BANCSYSTEM INC         MT       8.01                 09/06/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            09/06/12

Flux Power Holdings, Inc.               NV       8.01,9.01            09/05/12

FNB United Corp.                        NC       5.02                 08/31/12

FORUM ENERGY TECHNOLOGIES, INC.         DE       7.01                 09/05/12

FuLuCai Productions Ltd.                NV       5.02                 09/05/12
FUTURES PORTFOLIO FUND L.P.             MD       3.02                 09/01/12

GAIN Capital Holdings, Inc.             DE       2.01,9.01            08/31/12

GENERAL EMPLOYMENT ENTERPRISES INC      IL       5.02                 09/04/12

GENERAL MILLS INC                       DE       2.02,9.01            09/05/12

GEO GROUP INC                           FL       1.01,2.03,8.01,9.01  08/30/12

GEOGLOBAL RESOURCES INC.                DE       8.01,9.01            09/06/12

GEOPETRO RESOURCES CO                   CA       5.07                 08/31/12

GLOBAL POWER EQUIPMENT GROUP INC.       DE       8.01,9.01            09/05/12

GLOBE SPECIALTY METALS INC                       5.02                 09/05/12

Golden Minerals Co                               8.01,9.01            08/30/12

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 09/06/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            08/31/12

GRYPHON GOLD CORP                       NV       5.07                 09/06/12

GSI GROUP INC                           A3       5.02,7.01,9.01       09/04/12

HAIN CELESTIAL GROUP INC                DE       1.01,1.02,2.03,9.01  08/31/12

HEALTHSOUTH CORP                        DE       8.01,9.01            09/06/12

HELICOS BIOSCIENCES CORP                DE       5.02                 08/31/12

HELMERICH & PAYNE INC                   DE       7.01,9.01            09/06/12

HIGHWOODS PROPERTIES INC                MD       8.01,9.01            09/05/12

Hillshire Brands Co                     MD       7.01,9.01            09/05/12

HOME PROPERTIES INC                     MD       5.02                 09/04/12

HORNBECK OFFSHORE SERVICES INC /LA      DE       8.01,9.01            09/04/12

HOVNANIAN ENTERPRISES INC               DE       2.02,9.01            09/06/12

HSBC Finance Corp                                8.01,9.01            09/06/12

HYPERION THERAPEUTICS INC               DE       8.01,9.01            09/05/12

HYPERION THERAPEUTICS INC               DE       2.02,9.01            09/06/12

Idle Media, Inc.                        NV       1.01                 08/29/12

IF Bancorp, Inc.                        MD       2.02,9.01            09/06/12

IGI LABORATORIES, INC                   DE       1.01,1.02,9.01       09/06/12

iGo, Inc.                               DE       4.01,9.01            08/30/12

INFOBLOX INC                                     2.02,9.01            09/06/12

INUVO, INC.                             NV       7.01,9.01            09/06/12

IPG PHOTONICS CORP                      DE       5.02,8.01            09/06/12

ISC8 INC. /DE                           DE       1.01,8.01,9.01       08/21/12

JEFFERSONVILLE BANCORP                  NY       5.07                 04/24/12

JMG Exploration, Inc.                   NV       1.01,2.01,3.02,	   08/29/12
KIRBY CORP                              NV       1.01,2.03,7.01,9.01  08/30/12

KONA GRILL INC                          DE       7.01,9.01            09/06/12

KRAFT FOODS INC                         VA       7.01,9.01            09/06/12

LAS VEGAS SANDS CORP                    NV       7.01,9.01            09/06/12

LAYNE CHRISTENSEN CO                    DE       2.02,9.01            09/06/12

LEXINGTON REALTY TRUST                  MD       1.01,7.01,9.01       08/31/12

Liberty Interactive Corp                         7.01,9.01            09/05/12

Liberty Media Corp                      DE       7.01,9.01            09/04/12

LKA INTERNATIONAL INC /DE/              DE       1.01,3.02,9.01       08/31/12

LNB BANCORP INC                         OH       5.02,9.01            08/30/12

LRI HOLDINGS, INC.                               1.01,9.01            09/06/12

LYRIS, INC.                                      2.02,9.01            09/06/12

MAGICJACK VOCALTEC LTD                  L3       2.02                 09/06/12

MATERIAL SCIENCES CORP                  DE       2.01                 08/31/12

MATTRESS FIRM HOLDING CORP.             DE       1.01,2.02,5.07,9.01  09/04/12

MEDIWARE INFORMATION SYSTEMS INC        NY       5.02                 08/30/12

Medley Capital Corp                     DE       1.01,2.03,9.01       08/31/12

MENS WEARHOUSE INC                      TX       2.02,9.01            09/05/12

MERGE HEALTHCARE INC                    DE       8.01,9.01            09/06/12

Meritage Homes CORP                     MD       8.01                 09/04/12

METLIFE INC                             DE       7.01,9.01            09/06/12

MultiCell Technologies, Inc.            DE       5.02,9.01            09/06/12

National American University Holdings   DE       5.02,9.01            08/30/12

NAVIDEA BIOPHARMACEUTICALS, INC.        DE       5.02,8.01,9.01       08/31/12

NAVISTAR INTERNATIONAL CORP             DE       2.02,7.01,9.01       09/06/12

NetApp, Inc.                            CA       5.02,5.03,5.07,9.01  08/31/12

Neuralstem, Inc.                        DE       8.01,9.01            09/06/12

NEWS CORP                                        8.01,9.01            09/06/12

NUTRI SYSTEM INC /DE/                   DE       5.02,5.07,9.01       09/05/12

NVR INC                                 VA       8.01,9.01            09/05/12

OGE ENERGY CORP.                        OK       2.01                 08/31/12

ON SEMICONDUCTOR CORP                   DE       2.03,3.02,9.01       09/04/12

ORION FUTURES FUND LP                   NY       3.02                 09/01/12

PACIFIC GOLD CORP                       NV       1.01,3.02            08/02/12

PACKAGING CORP OF AMERICA                        7.01,9.01            09/05/12

PAR PHARMACEUTICAL COMPANIES, INC.      DE       7.01,8.01,9.01       09/06/12

PARTNERRE LTD                                    8.01,9.01            09/04/12

Pay Mobile, Inc                         NV       2.01,9.01            06/27/12    AMEND

PDL BIOPHARMA, INC.                     DE       7.01,9.01            09/06/12

PEABODY ENERGY CORP                     DE       7.01,9.01            09/06/12

PEDEVCO CORP                            TX       1.01,9.01            08/30/12

PERCEPTRON INC/MI                       MI       1.01,2.01,2.05,9.01  08/30/12

PHYSICIANS FORMULA HOLDINGS, INC.       DE       8.01,9.01            09/06/12

PINNACLE FINANCIAL PARTNERS INC         TN       1.01,8.01,9.01       09/04/12

PLATINUM ENERGY SOLUTIONS, INC.         NV       7.01                 09/04/12

POWIN CORP                                       3.03,5.02            09/05/12

PREFERRED APARTMENT COMMUNITIES INC     MD       1.01,2.03,9.01       08/31/12

PROASSURANCE CORP                       DE       7.01,9.01            09/06/12

PROCTER & GAMBLE Co                     OH       7.01                 09/06/12

Propell Corporation.                    DE       5.03,9.01            08/31/12

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            09/06/12

PURADYN FILTER TECHNOLOGIES INC         DE       8.01                 08/22/12

QUIKSILVER INC                          DE       2.02,9.01            09/06/12

REALNETWORKS INC                        WA       2.05,8.01            09/01/12

REALTY INCOME CORP                      MD       1.01,7.01,9.01       09/06/12

RED TRAIL ENERGY, LLC                            2.02,9.01            09/04/12

REPUBLIC AIRWAYS HOLDINGS INC           DE       7.01,9.01            09/05/12

Rosetta Resources Inc.                  DE       1.02,9.01            09/06/12

SAGE FUND LP                            MD       3.02                 09/01/12

Sagent Pharmaceuticals, Inc.            DE       5.02                 08/30/12

SANTARUS INC                            DE       8.01                 09/06/12

SAVE THE WORLD AIR INC                  NV       5.02                 08/31/12

SEACHANGE INTERNATIONAL INC             DE       2.02,9.01            09/05/12

Select Notes Trust LT 2004-1            DE       8.01,9.01            09/04/12

SEN YU INTERNATIONAL HOLDINGS, INC.     DE       5.02                 09/05/12

Sentio Healthcare Properties Inc        MD       1.01,2.01,2.03,9.01  08/31/12

ServisFirst Bancshares, Inc.            DE       7.01,9.01            09/05/12

SGS International, Inc.                 DE       8.01,9.01            09/02/12

Shire plc                                        8.01,9.01            09/06/12

SILGAN HOLDINGS INC                     DE       8.01,9.01            09/05/12

SkyPeople Fruit Juice, Inc              FL       5.07,8.01,9.01       09/06/12

SMITH & WESSON HOLDING CORP             NV       2.02,9.01            09/06/12

SMITH & WESSON HOLDING CORP             NV       7.01,9.01            09/06/12

SMITHFIELD FOODS INC                    VA       1.01,2.03,8.01,9.01  08/31/12

SOLAR3D, INC.                           DE       5.02,9.01            08/31/12

SOTHEBYS                                DE       1.01                 09/03/12

SOUTHCOAST FINANCIAL CORP               SC       7.01                 09/05/12

SPARTON CORP                            OH       7.01,9.01            09/06/12

SPHERIX INC                             DE       8.01,9.01            09/06/12

SPS COMMERCE INC                        DE       1.01,8.01,9.01       09/06/12

SQN Alternative Investment Fund III,    DE       8.01                 08/31/12

STEELE RESOURCES CORP                   NV       5.02                 09/01/12

Stevia First Corp.                               4.01,9.01            08/31/12

STEWART ENTERPRISES INC                 LA       2.02,9.01            09/05/12

STILLWATER MINING CO /DE/               DE       5.02,9.01            09/06/12

STONE ENERGY CORP                       DE       7.01,9.01            09/04/12

STRATASYS INC                           DE       8.01,9.01            09/06/12

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            09/04/12

STRUCTURED PRODUCTS CORTS TRUST FOR J   DE       8.01,9.01            09/04/12

SUNTRUST BANKS INC                      GA       8.01,9.01            09/06/12

SUPERVALU INC                           DE       1.01,1.02,2.03       08/30/12

Surna Inc.                              NV       5.02                 09/04/12

Swingplane Ventures, Inc.               NV       5.01,5.02,9.01       08/22/12

SYMS CORP                               NJ       1.03,9.01            08/30/12

SYNAPTICS INC                           DE       5.02                 08/30/12

TENGION INC                             DE       3.01,9.01            09/04/12

TOYS R US INC                           DE       2.02,9.01            09/06/12

TRANS ENERGY INC                        NV       5.02,9.01            09/04/12

TransUnion Holding Company, Inc.        DE       7.01,9.01            09/06/12

TRI-CONTINENTAL CORP                    MD       7.01,9.01            09/06/12

Triangle Petroleum Corp                 NV       2.02,9.01            09/06/12

TRIG ACQUISITION 1, INC                 NV       1.01,3.02,9.01       08/27/12

Tronox Ltd                              C3       5.02                 08/28/12

U.S. RARE EARTHS, INC                   NV       5.02,9.01            08/23/12

Ulta Salon, Cosmetics & Fragrance, In   DE       2.02,9.01            09/06/12

UNI CORE HOLDINGS CORP                  WY       5.03,9.01            09/05/12

United Continental Holdings, Inc.       DE       7.01,9.01            09/06/12

UNITED FIRE GROUP INC                            7.01,8.01,9.01       09/06/12

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       9.01                 09/06/12

US CONCRETE INC                         DE       1.01,1.02,2.03,	   08/31/12

US HOME SYSTEMS INC                     DE       8.01,9.01            09/06/12

USA TECHNOLOGIES INC                    PA       2.02,9.01            09/06/12

UTi WORLDWIDE INC                       D8       2.02,9.01            09/06/12

VIASYSTEMS GROUP INC                    DE       8.01,9.01            09/05/12

VistaGen Therapeutics, Inc.             NV       1.01,2.03,3.02,9.01  08/30/12

Voyager Oil & Gas, Inc.                 MT       8.01,9.01            09/04/12

VRDT Corp                               DE       1.01,2.01,3.02,      08/31/12

WALTER INVESTMENT MANAGEMENT CORP       MD       1.01,3.02,9.01       08/31/12

Warner Music Group Corp.                DE       1.01,9.01            08/31/12

WARRINGTON FUND LP                      NY       3.02                 09/01/12

WARWICK VALLEY TELEPHONE CO             NY       1.01                 08/30/12

WELLCARE HEALTH PLANS, INC.             DE       8.01,9.01            09/06/12

WELLS CORE OFFICE INCOME REIT INC                8.01                 09/05/12

Westinghouse Solar, Inc.                DE       7.01,9.01            09/06/12

WILLIS LEASE FINANCE CORP               DE       8.01,9.01            09/06/12

WOLVERINE WORLD WIDE INC /DE/           MI       7.01,9.01            09/06/12

WYNDHAM WORLDWIDE CORP                  DE       1.01                 08/30/12

Xun Energy, Inc.                        NV       1.01                 08/31/12

Xylem Inc.                              IN       7.01,9.01            08/06/12

YRC Worldwide Inc.                      DE       7.01,9.01            09/06/12

ZION OIL & GAS INC                      DE       8.01,9.01            09/06/12

Zurvita Holdings, Inc.                  DE       4.01                 09/01/12



Modified: 09/10/2012