Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158
Open Meeting on Wednesday, October 17, 2012 at 10:00 a.m.
The subject matter of the Open Meeting will be:
The Commission will consider whether to propose capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants, and amendments to Rule 15c3-1 under the Exchange Act for broker-dealers.
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 Scott E. Johnson
On October 15, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Scott E. Johnson (Johnson).
In the Order, the Division of Enforcement finds that Scott Johnson was the owner and operator of Income Spread Trader, an internet based company, and Saar Asset Management, both Minnesota-based companies. The Order also states that on December 6, 2011, Johnson pleaded guilty to one count of unlawful securities transactions and six counts of theft before the District Court for the Fourth Judicial District in Hennepin County, Minnesota, in State of Minnesota v. Scott Ernest Johnson, 27-CR-11-23635. On February 9, 2012, a judgment in the criminal case was entered against Johnson. He was sentenced to a prison term of 18 months and ordered to make restitution in the amount of more than $630,000. The Order states that the counts of the criminal information to which Johnson pleaded guilty alleged, inter alia, that Johnson committed several acts of felonious theft, while transacting business as a securities broker without having registered to conduct such business under the Minnesota Securities Act.
Based on the above, the Order bars Johnson from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Johnson consented to the issuance of the Order. (Rel. IA-3487; File No. 3-15065)
In the Matter of Andre J. Hayden
On October 15, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Andre J. Hayden. The Order finds that Hayden acted as an unregistered broker, and solicited prospective investors to purchase interests in a purported real estate joint venture operated by Titan Investment Partners Corp. and, on July 23, 2012, a judgment was entered against Hayden, permanently enjoining him from, among other things, future violations of Section 15(a) of the Exchange Act, in a civil action entitled SEC v. Amella, et al., Civil Action Number 1:11-CV-6849, in the United States District Court for the Northern District of Illinois. The Order further finds that the Complaint alleged that, without investigating the legitimacy of the purported real estate joint venture and the accuracy of his representations, Hayden falsely informed investors that their funds would be used to purchase and develop real estate and that they would receive a guaranteed 10% monthly return on their investments.
Based on the above, the Order bars Hayden from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and also bars him from participating in any offering of a penny stock. Hayden consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-68054; File No. 3-15066)
In the Matter of Rick Cho
On October 15, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Rick Cho. The Order finds that Cho was the managing member, president, and chief compliance officer of Jupiter Group Capital Advisors, LLC (Jupiter Group), an investment adviser formerly registered with the Commission. On September 27, 2012, a final judgment was entered by consent against Cho, permanently enjoining him from future violations of Sections 203A, 204, and 207 of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Jupiter Group Capital Advisors, LLC, et al., Civil Action Number CV11-00291 LEK (RLP), in the United States District Court for the District of Hawaii. The Commission’s complaint alleged that Cho caused Jupiter Group to file a false Form ADV submission with the Commission, improperly registered Jupiter Group as an investment adviser with the Commission although it was ineligible to register because it had less than $25 million in assets under management, and unlawfully refused to allow the Commission's staff to review Jupiter Group's books and records.
Based on the above, the Order barred Cho from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; with the right to apply for reentry after one year to the appropriate self-regulatory organization, or if there is none, to the Commission. Cho consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. IA-3488; File No. 3-15067)
Final Judgments Entered Against Derek F.C. Elliott
On October 5, 2012 the Honorable James C. Mahan, United States District Judge for the District of Nevada, entered a Final Judgment against Derek F.C. Elliott (Elliott).
On May 24, 2012, the United States Securities and Exchange Commission filed a complaint, in the United States District Court for the District of Nevada, against James B. Catledge, Derek F.C. Elliott, EMI Resorts (S.V.G.) Inc., EMI Sun Village, Inc. and Sun Village Juan Dolio alleging that James B. Catledge and Elliott, and certain of their related entities, made material misrepresentations to investors in connection with the unregistered sale of interests in two resorts in the Dominican Republic. The Final Judgment against Elliot seeks no civil penalty at this time, waives disgorgement and authorizes the Commission to seek a civil penalty of not more than $250,000 by subsequent motion.
The Final Judgment enjoins Elliott from future violations of Sections 5(a), 5(c) and 17(a)(1), (2) and (3) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934. Elliott consented to the relief granted in the Final Judgment. [SEC v. James B. Catledge, Derek F.C. Elliott, EMI Resorts (S.V.G.) Inc., EMI Sun Village, Inc. and Sun Village Juan Dolio, Inc., Case No. 2:12-cv-00887-JCM-RJJ (USDC Nevada0] (LR-22509)
Factor Advisors, LLC, et al.
An order has been issued on an application filed by Factor Advisors, LLC, et al., for an order to permit: (a) certain open-end management investment companies and series thereof whose portfolios will consist of the component securities of a securities index to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30230 – October 10)
Wells Fargo Funds Trust and Wells Fargo Funds Management, LLC
An order has been issued on an application filed by Wells Fargo Funds Trust and Wells Fargo Funds Management, LLC 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 (a) permits certain registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. . (Rel. IC-30231 – October 10)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-BX-2012-065) filed by NASDAQ OMX BX, Inc. to add an additional execution algorithm and priority overlays to govern the priority of orders 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 October 15. (Rel. 34-68041)
A proposed rule change filed by The NASDAQ Stock Market LLC to amend NASDAQ’s schedule of execution fees for order routing under Rule 7018 (SR-NASDAQ-2012-115) 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 October 15. (Rel. 34-68045)
A proposed rule change (SR-Phlx-2012-121) relating to a customer rebate program, multiply listed options transaction charges and PIXL 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 October 15. (Rel. 34-68047)
A proposed rule change filed by NASDAQ OMX PHLX LLC, Inc. to modify Phlx’s fee schedule governing order execution on its NASDAQ OMX PSX facility (SR-PHLX-2012-119) 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 October 15. (Rel. 34-68052)
Proposed Rule Changes
The Commission issued notice of a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-117) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder with respect to INAV Pegged Orders for ETFs. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68042)
The Commission issued notice of a proposed rule change and Amendment No. 1 thereto submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-108) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68043)
The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-109) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the U.S. Equity High Volatility Put Write Index Fund under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68044)
Designation of a Longer Period for Commission Action
The Commission has issued a Notice of Designation of a Longer Period for Commission Action pursuant to Section 19(b)(2) of the Exchange Act with regard to a proposed rule change filed by BATS Y-Exchange, Inc. (SR-BYX-2012-019) to adopt a Retail Price Improvement Program. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68049)
A proposed rule change filed by NASDAQ OMX BX, Inc. to modify BX’s fee schedule governing order execution and routing (SR-BX-2012-067) 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 October 15. (Rel. 34-68051)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 EverBank Financial Corp, 501 RIVERSIDE AVENUE, 12TH FLOOR, JACKSONVILLE, FL, 32202, (904) 281-6000 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-184381 - Oct. 12) (BR. 07) S-3ASR AIR LEASE CORP, 2000 AVENUE OF THE STARS, SUITE 1000-N, LOS ANGELES, CA, 90067, (310) 553-0555 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184382 - Oct. 12) (BR. 06B) S-8 Realogy Holdings Corp., 1 CAMPUS DRIVE, PARSIPPANY, NJ, 07054, 973-407-2000 - 0 ($251,597,846.00) Equity, (File 333-184383 - Oct. 12) (BR. 08B) S-8 Bergio International, Inc., 12 DANIEL ROAD, EAST FAIRFIELD, NJ, 07004, (973) 227-3230 - 30,000,000 ($96,000.00) Equity, (File 333-184391 - Oct. 12) (BR. 02B) S-8 QUALYS, INC., 1600 BRIDGE PARKWAY, REDWOOD SHORES, CA, 94065, 650-801-6100 - 9,574,205 ($69,081,629.20) Equity, (File 333-184394 - Oct. 12) (BR. 03B) S-8 Workday, Inc., 6230 STONERIDGE MALL ROAD, SUITE 200, PLEASANTON, CA, 94588, 877-967-5329 - 71,052,965 ($1,218,139,817.15) Equity, (File 333-184395 - Oct. 12) (BR. 03B) S-8 IRONWOOD PHARMACEUTICALS INC, 301 BINNEY STREET, CAMBRIDGE, MA, 02142, 617-621-7722 - 0 ($101,183,394.19) Equity, (File 333-184396 - Oct. 12) (BR. 01B) S-8 RIO TINTO PLC, 2 EASTBOURNE TERRACE, LONDON, W2 6LG, X0, 00000, 44 20 7781 1623 - 1,276,000 ($61,898,760.00) Equity, (File 333-184397 - Oct. 12) (BR. 09A) S-8 NETWORK CN INC, ROOM 2120 & 2122, LEIGHTON CENTRE, 77 LEIGHTON ROAD, CAUSEWAY BAY, K3, 00000, 852 2833 2186 - 10,000,000 ($1,850,000.00) Equity, (File 333-184398 - Oct. 12) (BR. 11C) S-8 Cleartronic, Inc., 8000 N. FEDERAL HWY. #401, BOCA RATON, FL, 33487, 561-939-3900 - 500,000,000 ($100,000.00) Equity, (File 333-184399 - Oct. 12) (BR. 03A) S-8 ROCKWELL AUTOMATION INC, 1201 SOUTH 2ND STREET, MILWAUKEE, WI, 53204, 414-382-2000 - 0 ($420,180,000.00) Equity, (File 333-184400 - Oct. 12) (BR. 10B) S-1 CYCLONE POWER TECHNOLOGIES INC, 601 NE 26TH COURT, POMPANO BEACH, FL, 33064, 954-943-8721 - 15,000,000 ($2,475,000.00) Equity, (File 333-184402 - Oct. 12) (BR. 10A) N-2 FS Energy & Power Fund, CIRA CENTRE, 2929 ARCH STREET, SUITE 675, PHILADELPHIA, PA, 19104-2867, 215-495-1150 - 0 ($1,537,500,000.00) Equity, (File 333-184407 - Oct. 12) (BR. 18) S-8 Amira Nature Foods Ltd., 29E, A.U. Tower, Jumeirah Lake Towers, Dubai, C0, 00000, 9714-235-1755 - 0 ($35,150,266.62) Equity, (File 333-184408 - Oct. 12) (BR. 04A) S-1 Heavy Earth Resources, Inc., 625 SECOND STREET, #280, SAN FRANCISCO, CA, 94107, 415-813-5079 - 14,661,540 ($9,530,001.00) Equity, (File 333-184409 - Oct. 12) (BR. 05C) S-8 COPYTELE INC, 900 WALT WHITMAN RD, MELVILLE, NY, 11747, 5165495900 - 156,500,000 ($14,240,000.00) Equity, (File 333-184410 - Oct. 12) (BR. 03B)
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.
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
AAR CORP DE 5.02 10/11/12 ACACIA RESEARCH CORP DE 8.01 10/09/12 ACCREDITED BUSINESS CONSOLIDATORS COR PA 2.02,2.06,4.02 10/11/12 ACCURAY INC DE 7.01,9.01 10/12/12 Adamis Pharmaceuticals Corp DE 1.01,5.07 10/10/12 ADVANCE AUTO PARTS INC DE 5.02,9.01 10/08/12 AGL RESOURCES INC GA 2.02,9.01 10/11/12 Ally Financial Inc. DE 8.01,9.01 10/12/12 Alpha Natural Resources, Inc. DE 8.01,9.01 10/12/12 AMBASE CORP DE 8.01 10/11/12 AMERICAN LEARNING Corp NY 1.01,3.01,9.01 10/10/12 American Realty Capital Trust, Inc. DE 2.03 10/09/12 AMES NATIONAL CORP IA 2.02,7.01,9.01 10/12/12 ANGIODYNAMICS INC DE 1.01,8.01,9.01 10/08/12 ANGIODYNAMICS INC DE 7.01 10/09/12 ARENA PHARMACEUTICALS INC DE 8.01 10/12/12 ATC Ventures Group, Inc. NV 3.01,5.07 10/12/12 Atlantic Coast Financial CORP MD 3.01 10/08/12 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.03 10/10/12 AVT, Inc. NV 4.01 10/08/12 BAKERS FOOTWEAR GROUP INC MO 1.01,1.03,2.03 10/05/12 Bank of Marin Bancorp CA 7.01,9.01 10/12/12 BANK OF THE OZARKS INC AR 2.02,7.01,9.01 10/11/12 BASSETT FURNITURE INDUSTRIES INC VA 8.01,9.01 10/12/12 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 10/10/12 BEAZER HOMES USA INC DE 3.03,5.03,5.07,8.01, 10/11/12 9.01 Behringer Harvard Opportunity REIT II MD 7.01,9.01 10/12/12 BELDEN INC. DE 9.01 07/26/12 AMEND BIOCUREX INC A1 8.01 10/12/12 BioNeutral Group, Inc NV 1.01,2.03,3.02,9.01 10/03/12 Bristow Group Inc DE 2.03,8.01,9.01 10/12/12 CASTLE A M & CO MD 5.02,8.01,9.01 10/12/12 CATERPILLAR INC DE 5.02,8.01 10/12/12 Cavitation Technologies, Inc. 5.02,9.01 10/12/12 CC Media Holdings Inc 8.01,9.01 10/12/12 CHAMBERS STREET PROPERTIES MD 8.01,9.01 10/01/12 AMEND CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 10/04/12 AMEND CITIZENS & NORTHERN CORP PA 2.02,9.01 10/12/12 CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 10/12/12 Cleartronic, Inc. FL 5.02,9.01 10/12/12 CNB FINANCIAL CORP/PA PA 7.01,9.01 10/12/12 COCONNECT INC NV 5.02 09/30/12 COMM 2012-CCRE3 Mortgage Trust DE 8.01,9.01 10/12/12 CommonWealth REIT MD 8.01,9.01 10/09/12 COMVERSE TECHNOLOGY INC/NY/ NY 8.01,9.01 10/12/12 Comverse, Inc. DE 8.01,9.01 10/12/12 CORPORATE EXECUTIVE BOARD CO DE 1.01,9.01 10/05/12 Corporate Property Associates 17 - Gl MD 5.02 10/05/12 CORVEL CORP DE 5.02 10/08/12 COUPON EXPRESS, INC. NV 5.02 10/10/12 CVD EQUIPMENT CORP NY 8.01 10/12/12 DAKTRONICS INC /SD/ SD 5.02,9.01 10/07/12 DCT Industrial Trust Inc. MD 8.01,9.01 10/12/12 DEERE JOHN CAPITAL CORP DE 9.01 10/12/12 DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 1.01 10/12/12 DiamondRock Hospitality Co 2.02,9.01 10/12/12 Dimus Partners Inc. NV 5.03 10/11/12 DIONICS INC DE 1.01,2.01,9.01 06/29/12 AMEND DOLLAR GENERAL CORP TN 1.01,8.01,9.01 10/09/12 Duke Energy CORP DE 7.01,9.01 10/12/12 EastBridge Investment Group Corp AZ 8.01,9.01 10/11/12 EASTMAN KODAK CO NJ 8.01,9.01 09/10/12 ECOLAB INC DE 1.01,2.02,8.01,9.01 10/11/12 ELECTRO RENT CORP CA 5.07 10/11/12 ENTERTAINMENT PROPERTIES TRUST MD 3.03,5.03,9.01 10/12/12 EnviroStar, Inc. DE 1.01,9.01 10/11/12 EQUITY LIFESTYLE PROPERTIES INC MD 8.01 10/08/12 ERHC Energy Inc CO 5.03 10/09/12 Federal Home Loan Bank of Atlanta X1 5.02,5.07 10/05/12 FEDERAL SIGNAL CORP /DE/ DE 5.02,9.01 10/09/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 10/11/12 FIRST HARTFORD CORP ME 4.01,9.01 10/05/12 FOREST OIL CORP NY 1.01,5.03,9.01 10/11/12 FS Energy & Power Fund DE 1.01,9.01 10/11/12 Galaxy Gaming, Inc. 5.02 10/12/12 GSV Capital Corp. MD 5.02 10/08/12 GULFPORT ENERGY CORP DE 8.01,9.01 10/12/12 HARBINGER GROUP INC. DE 8.01 10/08/12 HEARTLAND EXPRESS INC NV 2.02,9.01 10/12/12 High Plains Gas, Inc. NV 5.02 10/12/12 Homeowners Choice, Inc. FL 3.01,9.01 10/11/12 HUNT J B TRANSPORT SERVICES INC AR 2.02,9.01 10/11/12 HYUNDAI ABS FUNDING CORP DE 8.01,9.01 10/10/12 IGATE CORP PA 2.02,9.01 10/12/12 IHS Inc. DE 8.01 10/12/12 India Globalization Capital, Inc. MD 1.01,2.03,3.02,9.01 10/09/12 Inland American Real Estate Trust, In MD 7.01,9.01 10/12/12 Innovaro, Inc. 1.01,2.01,5.02,9.01 10/09/12 INSMED INC VA 3.01,7.01 10/05/12 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 1.01,2.03 10/05/12 Intellect Neurosciences, Inc. DE 2.02,4.02 10/12/12 INTELSAT S.A. N4 1.01,1.02,8.01 10/05/12 INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 10/12/12 INTERNATIONAL GAME TECHNOLOGY NV 5.02,7.01,9.01 10/08/12 IRON MOUNTAIN INC DE 7.01,8.01 10/11/12 ITRONICS INC TX 8.01 10/12/12 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 10/12/12 JACOBS ENTERTAINMENT INC DE 8.01,9.01 10/12/12 JOY GLOBAL INC DE 1.01,2.01,2.03,9.01 10/12/12 JPMORGAN CHASE & CO DE 2.02,9.01 10/12/12 JPMORGAN CHASE & CO DE 7.01,9.01 10/12/12 KALOBIOS PHARMACEUTICALS INC DE 1.01,1.02,9.01 10/05/12 KELLY SERVICES INC DE 5.02,9.01 10/08/12 KINDER MORGAN, INC. DE 7.01 10/12/12 KMG CHEMICALS INC TX 2.02,9.01 10/12/12 Kodiak Oil & Gas Corp B0 8.01,9.01 10/12/12 LABORATORY CORP OF AMERICA HOLDINGS DE 5.02,7.01,9.01 10/10/12 LANDMARK BANCORP INC DE 7.01,9.01 10/12/12 LBI MEDIA HOLDINGS INC 7.01,9.01 10/12/12 Lender Processing Services, Inc. DE 1.01,8.01,9.01 10/11/12 LEXINGTON REALTY TRUST MD 8.01,9.01 10/09/12 Lifevantage Corp CO 5.02,9.01 10/12/12 Luxeyard, Inc. DE 5.02 10/08/12 LYFE Communications, Inc. UT 4.01,9.01 10/12/12 MANAGEMENT NETWORK GROUP INC 9.01 09/19/12 AMEND Medical Care Technologies Inc. NV 1.01,3.02,5.02,7.01, 10/08/12 9.01 MESA LABORATORIES INC /CO CO 5.02,8.01,9.01 10/08/12 MESABI TRUST NY 2.02,9.01 10/12/12 METALICO INC 8.01,9.01 10/12/12 MGT CAPITAL INVESTMENTS INC DE 3.01,7.01,9.01 10/12/12 MICRON TECHNOLOGY INC DE 8.01 10/12/12 MILLER ENERGY RESOURCES, INC. TN 1.01,9.01 10/12/12 MIMVI, INC. NV 5.02,9.01 10/05/12 MOBIVITY HOLDINGS CORP. NV 9.01 06/09/11 AMEND MOBIVITY HOLDINGS CORP. NV 9.01 04/08/11 AMEND Momentive Performance Materials Inc. DE 7.01 10/11/12 Morgan Stanley Bank of America Merril DE 8.01,9.01 10/12/12 MOTRICITY INC DE 1.01,3.03,5.03,8.01, 10/11/12 9.01 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01,9.01 10/09/12 NABI BIOPHARMACEUTICALS DE 7.01 10/11/12 Nano Labs, Inc. CO 1.01,3.02,5.02 10/10/12 NATURAL HEALTH TRENDS CORP DE 2.02,9.01 10/12/12 NBT BANCORP INC DE 5.02,9.01 10/07/12 NEDAK ETHANOL, LLC NE 2.04,9.01 10/12/12 NEWMONT MINING CORP /DE/ DE 5.02 10/11/12 NEWS CORP 8.01,9.01 10/12/12 NEXTERA ENERGY INC FL 5.02,9.01 10/11/12 NRG ENERGY, INC. DE 1.01,9.01 10/09/12 NUPATHE INC. DE 7.01,8.01,9.01 10/11/12 OAK RIDGE MICRO-ENERGY INC CO 1.01,2.01,3.02,5.01, 10/02/12 AMEND 5.02,9.01 OCZ TECHNOLOGY GROUP INC DE 5.02,9.01 10/08/12 ORIENT EXPRESS HOTELS LTD D0 5.02 10/08/12 ORIGINOIL INC NV 1.01,2.03,3.02,7.01, 10/09/12 9.01 OSL HOLDINGS INC. 3.02 10/08/12 PARKWAY PROPERTIES INC MD 2.03 10/12/12 PCS EDVENTURES COM INC ID 2.03,9.01 10/12/12 PLUG POWER INC DE 3.01,8.01,9.01 10/12/12 Plymouth Opportunity REIT Inc. MD 2.01,9.01 09/10/12 POWELL INDUSTRIES INC NV 3.03,5.02,5.03,9.01 10/09/12 PRIVATEBANCORP, INC DE 1.01,8.01,9.01 10/10/12 PROCTER & GAMBLE Co OH 5.07 10/12/12 PROGRESSIVE CORP/OH/ OH 5.02,7.01,9.01 10/12/12 QKL Stores Inc. DE 5.02,9.01 10/11/12 RadNet, Inc. DE 1.01,1.02,2.03,2.04, 10/10/12 3.03,8.01,9.01 RAMTRON INTERNATIONAL CORP DE 5.01,5.02 10/10/12 Regional Management Corp. DE 5.02 10/08/12 RELIABRAND INC. 7.01,9.01 10/11/12 ROYAL GOLD INC DE 1.01,8.01,9.01 10/10/12 SANMINA-SCI CORP DE 5.02 10/09/12 Santa Fe Gold CORP DE 8.01,9.01 10/11/12 SeaBright Holdings, Inc. DE 8.01,9.01 10/09/12 SERENA SOFTWARE INC DE 5.02,5.07,9.01 10/10/12 SERVICEMASTER CO DE 5.02 10/09/12 Shoshone Silver/Gold Mining Co ID 1.01,9.01 10/11/12 SIGMA DESIGNS INC CA 1.01,5.02,9.01 10/08/12 SONIC AUTOMOTIVE INC DE 2.02,9.01 10/12/12 SONO TEK CORP NY 7.01,9.01 10/11/12 Spectrum Brands Holdings, Inc. DE 8.01 10/08/12 Spectrum Brands, Inc. DE 1.01,9.01 10/08/12 SPECTRUM GROUP INTERNATIONAL, INC. DE 9.01 10/11/12 SPINDLE, INC. NV 3.02,7.01,8.01,9.01 10/09/12 SRA INTERNATIONAL, INC. VA 5.02 10/05/12 STILLWATER MINING CO /DE/ DE 8.01,9.01 10/11/12 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 10/01/12 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 10/01/12 SUNOCO LOGISTICS PARTNERS L.P. DE 3.01,5.01,5.02 10/05/12 SUNPEAKS VENTURES, INC. NV 1.01,5.02,9.01 10/09/12 TETRA TECHNOLOGIES INC DE 9.01 07/27/12 AMEND TEXAS INDUSTRIES INC DE 5.07 10/10/12 THOR INDUSTRIES INC DE 5.02,9.01 10/09/12 Towers Watson & Co. DE 5.02 10/08/12 TRANS1 INC 1.01,7.01,9.01 10/09/12 TURBOSONIC TECHNOLOGIES INC DE 8.01,9.01 10/12/12 VERMILLION, INC. DE 8.01 10/12/12 VIASAT INC DE 1.01,2.03,8.01,9.01 10/12/12 VOXX International Corp DE 2.02,8.01 10/10/12 W&T OFFSHORE INC TX 1.01,2.01,2.02,5.02, 10/05/12 7.01,8.01,9.01 Walker & Dunlop, Inc. MD 1.01,2.03,9.01 10/05/12 WEBSTER FINANCIAL CORP DE 2.02,9.01 10/12/12 WELLS FARGO & COMPANY/MN DE 2.02,9.01 10/12/12 WINTRUST FINANCIAL CORP IL 8.01 10/12/12 WORTHINGTON ENERGY, INC. NV 1.01,2.03,3.02,9.01 09/13/12 WORTHINGTON ENERGY, INC. NV 3.02 09/10/12 AMEND