SEC News Digest, October 19, 2012

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Commission Announcements

SEC Charges Trio in ".44 MAGNUM" Investment Scheme

The Securities and Exchange Commission today charged a purported money manager and two of his chief marketers with defrauding investors in a fake company he created that bore a similar name to what was formerly one of Germany's largest banks.

The SEC alleges that Geoffrey H. Lunn of Sheridan, Colo., operated the $5.77 million investment scheme with assistance from Darlene A. Bishop of Odessa, Texas, and Vincent G. Curry of Las Vegas. Lunn portrayed himself as the vice president of Dresdner Financial, a firm whose executives he claimed had connections to Dresdner Bank and was purportedly planning to purchase several other banks to expand its operations. Lunn, Bishop, and Curry solicited investors throughout the U.S. and in several foreign countries for their ".44 Magnum Leveraged Financing Program" that they promised could turn an investment of just $44,000 into $2 million within 10 to 12 banking days. However, Dresdner Financial was not a real company and investor money was not used for any investment purpose. Lunn withdrew the money in cash and Western Union transfers, paid hundreds of thousands of dollars to Bishop and Curry, and gave nearly a million dollars to three Las Vegas call girls.

"Lunn, Bishop, and Curry created an aura of credibility by inventing a fictitious firm with a name similar to a legitimate company," said Robert J. Burson, Associate Regional Director of the SEC's Chicago Regional Office. "But their 100 percent guaranteed investment program and the astronomical returns they promised were nothing more than an elaborate hoax."

According to the SEC's complaint filed in federal court in Denver, the scheme occurred between February 2010 and February 2011, and the securities offered were never registered with the SEC as required under the federal securities laws. Lunn, Bishop, and Curry told investors that Dresdner offered 100 percent guaranteed rates of return through a process involving the lease and monetization of bank instruments. Curry and Bishop marketed the program directly to potential investors through phone calls, e-mails, and other communications. Lunn held conference calls with marketers and investors to explain the workings of the program.

According to the SEC's complaint, Lunn admitted in sworn testimony during the SEC's investigation that, "It was a con, basically." Lunn admitted that he did not lease any bank instruments, obtain any insurance wraps, monetize any bank instruments, or place any money into trading platforms as represented to investors. Nor did he return the money to investors. When Lunn, Bishop, and Curry were unable to repay investors after the promised 10 to 12 days, they perpetuated the scheme by repeatedly postponing the payout dates and claiming the delays were due to holds placed by banks or the government.

The SEC alleges that Lunn did not invest any investor funds as promised and instead began making cash withdrawals after the very first investor deposit. In October 2010, Lunn began making payments to three women he met in Las Vegas whom he described as "call girls." Lunn testified that he gave at least $848,500 to the three women so that they could have "a better type of life." In November 2010, Lunn used investor money to make a $1 million Ponzi-like payment to a favored investor who he thought "was a deserving person." Lunn paid $1.3 million to marketers of the scheme, including more than $650,000 to Bishop and Curry. Lunn used the remaining investor funds to pay for his personal and business expenses.

According to the SEC's complaint, Lunn also testified to SEC investigators that it was a "one-eyed man" using the alias "Robert Perello" who actually created Dresdner and the Magnum program. Lunn testified that Perello told him that he named the program accordingly because "when people found out they'd been ripped off, they would buy a .44 Magnum and shoot themselves in the head." Lunn claimed that Perello threatened to kill him and his family if he did not cooperate in the Dresdner scheme, and that he gave the cash he withdrew from investor funds and the Western Union transfers to Perello. Lunn is the only person who claims to have met Perello in person, saying he does not know Perello's true identify or current whereabouts and that his only distinguishing characteristic is that he has just one eye. Despite Lunn's assertions, no individual resembling Perello has been identified or located.

The SEC's complaint alleges that Lunn, Bishop and Curry violated the registration provisions of Sections 5(a) and 5(c) of the Securities Act of 1933, the antifraud provisions of Section 17(a) of the Securities Act, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and the broker registration provisions of Section 15(a) of the Exchange Act. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties.

The SEC's investigation was conducted by Jedediah B. Forkner and Anne C. McKinley in the SEC's Chicago Regional Office. Gregory vonSchaumburg will lead the SEC's litigation. (Press Rel. 2012-213 )

More Than 1,500 Private Fund Advisers Registered With the SEC Since Passage of the Financial Reform Law

The staff of the Securities and Exchange Commission today reported that 1,504 advisers to hedge funds and other private funds have registered with the agency since the Dodd-Frank Wall Street Reform and Consumer Protection Act mandated such registration.

Hedge Fund and Private Fund Advisers

While some private fund advisers previously registered with the SEC voluntarily, mandatory registration has given the SEC its first comprehensive look at advisers to these types of funds. Including the 2,557 private fund advisers who had registered previously, a total of 4,061 advisers to one or more private funds are now registered with the SEC.

“Prior to the Dodd-Frank Act, regulators only saw a slice of the pie but didn’t know how big the pie even was,” said SEC Chairman Mary L. Schapiro. “The law enables regulators to better protect investors by providing a more comprehensive view of who’s out there and what they’re doing.”

A total of 11,002 investment advisers now are SEC-registered, with 37% advising hedge funds and other private funds. Assets under management at SEC-registered advisers has risen about $5.7 trillion, or 13%, even though the number of advisers fell about 15% as the Dodd-Frank Act required mid-sized advisers to move from federal to state oversight.

"Registration of private fund advisers requires these important market participants to comply with the Advisers Act and SEC rules and arms the SEC with the authority to examine their operations,” said Norm Champ, Director of the SEC’s Division of Investment Management. “Advisers are not just required to file a registration form, they also must take steps to ensure they are acting as fiduciaries, including monitoring their activities for conflicts of interest that can harm investors."

Last week, the SEC's National Examination Program launched an initiative to conduct focused, risk-based examinations of newly registered private fund advisers over the next two years.

“Mid-Sized Advisers”

In addition, the Dodd-Frank Act required mid-sized advisers to move from federal to state registration by June 28. To date, more than 2,300 mid-sized advisers – those managing less than $100 million of assets – have made the transition to state regulation.

In an effort to finalize the transition, the Commission today issued a notice identifying 293 advisers who may no longer be eligible for registration with the SEC because they manage less than $100 million or have failed to comply with other SEC requirements. The Commission undertook this effort with extensive coordination and consultation with the state securities authorities.

“Working together throughout the switch, state securities regulators and the SEC have demonstrated the effectiveness and efficiency of government regulation of investment advisers,” said A. Heath Abshure, Arkansas Securities Commissioner and president of the North American Securities Administrators Association. “The vast majority of switching advisers have made a smooth transition to state regulation and we are committed to working with those firms that continue to diligently pursue their state investment adviser registrations.”

Advisers identified in the notice have until December 17 to withdraw their SEC registration, or inform the Commission staff that they should remain eligible for registration with the SEC. After that date, the Commission may issue an order cancelling the registration of advisers who have not filed an amendment, withdrawn from registration, or requested a hearing.

Information about registered advisers is available on the Investment Adviser Public Disclosure website at http://www.adviserinfo.sec.gov (Press Rel. 2012-214 )

Commission Meetings

Closed Meeting on Thursday, October 25, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Tuesday, October 25, 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.

Enforcement Proceedings

Commission Charges Three Individuals for their Roles in a $5.77 Million Investment Scheme

On October 18, 2012, the Commission charged Geoffrey H. Lunn, Darlene A. Bishop and Vincent G. Curry for their roles in making false and misleading statements to investors and misappropriating investors’ money in connection with a $5.77 million investment scheme under the name of Dresdner Financial, a fictitious financial services company purportedly based in Chicago, Illinois.

The SEC’s complaint, filed in the U.S. District Court for the District of Colorado, alleged that between February 2010 and February 2011, the defendants raised $5.77 million from at least 70 investors located throughout the United States and several foreign countries. According to the complaint, Lunn solicited marketers and investors to the scheme by telling them that he was the Vice-President of Dresdner and that Dresdner’s principals had connections to Dresdner Bank (formerly one of Germany’s largest banks). As marketers, Bishop and Curry played significant roles in the scheme by soliciting and lulling investors while receiving payments from the investors’ money. The complaint alleged that Lunn, Bishop and Curry told investors that Dresdner offered 100% guaranteed rates of return through a process involving the lease and monetization of bank instruments. For example, the defendants told investors that by investing $44,000 in Dresdner’s .44 Magnum Leveraged Financing Program, they would receive a payment of $2 million within 10-12 banking days. When they were unable to repay investors after the promised 10-12 days, the defendants perpetuated the scheme by repeatedly postponing the payout dates and claiming that the delays were due to holds placed by banks or the government. In reality, all of these statements were false and Dresdner and its investment programs were nothing more than an elaborate hoax.

According to the complaint, Lunn did not invest any of the investors’ funds as promised. Instead, Lunn began making cash withdrawals from the investors’ money after the very first deposit. Over the course of the scheme, Lunn withdrew over $1 million in cash and Western Union transfers which he claims to have given to Dresdner’s creator, a one-eyed man who used the alias “Robert Perello.” Lunn also gave at least $848,500 to three Las Vegas call girls, paid over $1.3 million to marketers (including over $650,000 to Bishop and Curry), paid $1 million to a favored investor in a Ponzi-like payment, and using the remaining investor funds to pay for his personal and business expenses.

The SEC’s complaint alleges that Lunn, Bishop and Curry violated the registration provisions of Sections 5(a) and 5(c) of the Securities Act of 1933, the antifraud provisions of Section 17(a) of the Securities Act, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and the broker registration provisions of Section 15(a) of the Exchange Act. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest and civil penalties against all three defendants. [SEC v. Geoffrey H. Lunn, et al., Civil Action No. 12-cv-02767 (D.Colo.)] (LR-22514 )

District Court Orders More Than $3 Million in Remedies, Grants Motions for Disgorgement, Civil Penalties and Officer-And-Director Bars against Timothy Huff, Lawrence Lynch, Joseph J. Monterosso, and Luis Vargas

On October 17, 2012, the United States District Court for the Southern District of Florida granted the Commission's motions for disgorgement, civil penalties, and officer-and-director bars against the four remaining defendants in a civil action arising from a Florida-based accounting fraud.

The District Court adopted a recommendation previously entered by a magistrate judge and ordered the following remedies:

Former GlobeTel Communications (GlobeTel) chief executive officer Timothy Huff to pay a $1.21 million penalty and $1.5 million in disgorgement plus prejudgment interest. Judge Joan A. Lenard calculated Huff’s penalty by imposing a third-tier penalty for each of Huff’s 10 most-serious false disclosures. She also ordered him to disgorge the full $1.5 million that he received when he exercised stock options in the midst of the fraud.
Former GlobeTel chief financial officer Lawrence Lynch to pay a $780,000 civil penalty.
Former GlobeTel former executive Joseph J. Monterosso to pay a $300,000 penalty and $675,000 in disgorgement plus prejudgment interest (joint-and-severable with Luis Vargas) and Monterosso barred from serving as an officer or director of a public company for 10 years.
Former GlobeTel employee Luis Vargas to pay a $150,000 penalty and $675,000 in disgorgement plus prejudgment interest (joint-and-severable with Joseph J. Monterosso) and Vargas barred from serving as an officer or director of a public company for 10 years.

Starting in November 2007, the Commission brought civil actions against the defendants in connection with GlobeTel Communications Corp., now World Surveillance Group Inc. (GlobeTel). GlobeTel reported millions of dollars in telecommunications revenue from 2002 to 2006 that the Commission alleged was fake. Huff and former GlobeTel chief financial officer Thomas Jimenez were sentenced to prison as a result of parallel criminal prosecutions. See U.S. v. Huff, 09-cr-60295-DMM (S.D. Fla.); U.S. v. Jimenez, 08-cr-60367-DTKH (S.D. Fla.). GlobeTel and Jimenez previously consented to the entry of judgments against them in the Commission’s action.

For further information, please see Litigation Release Numbers 20371 (November 26, 2007) [initial complaint filed]; 20550 (May 1, 2008) [civil injunctive action filed against GlobeTel and three former executives]; 21202 (September 9, 2009) [civil action filed against Timothy J. Huff]; and 21913 (April 1, 2011) [summary judgment granted against Joseph J. Monterosso and Luis Vargas].

The Commission acknowledges the assistance of the Internal Revenue Service, the Federal Bureau of Investigation, the Tax Division of the United States Department of Justice, and the United States Attorney’s Office for the Southern District of Florida. [SEC v. Joseph J. Monterosso, et. al., Civil Action No. 07-61693 (S.D. Fla.) (LR-22513 )

Defendant in SEC Action Charged by United States Attorney’s Office for the District of Massachusetts

The Commission announced that on October 17, 2012, the United States Attorney’s Office for the District of Massachusetts charged Arnett L. Waters, a resident of Milton, Massachusetts, with multiple schemes to defraud investors and business clients, as well as with obstruction of justice. Waters is also a defendant in an action filed by the Commission on May 1, 2012. The criminal information charges Waters with sixteen counts of securities fraud, mail fraud, money laundering, and obstruction of justice.

According to the criminal information, from at least 2007 through 2012, Waters used fictitious investment-related partnerships to draw in investors, misappropriate their investment money, and spend the vast majority of it on personal and business expenses and debts. Waters is alleged to have raised at least $839,000 from at least thirteen investors, including $500,000 from his church in March 2012.

The criminal information also alleges that Waters engaged in a criminal scheme to defraud clients of his rare coins business using interstate commerce and the mails. Under this scheme, Waters defrauded coin customers out of as much as $7.8 million by selling coins at prices inflated, on average, by 600% and by inducing coin purchasers to return coins to him, on the false representation that he would sell those coins on the customers’ behalf, when, in fact, he sold most or all of the coins and kept the proceeds for himself. The criminal information further alleges that Waters engaged in money laundering through two transactions totaling $77,000.

Finally, the criminal information alleges that Waters made multiple misrepresentations to Commission staff, including that there were no investors in his investment-related partnerships, in order to conceal the fact that investor money was misappropriated in a fraudulent scheme. Waters is charged with obstruction of justice related to this conduct.

The filing of the criminal information follows the Commission’s complaint filed in federal court in Boston on May 1, 2012 against Waters and two of his companies, A.L. Waters Capital, LLC and Moneta Management. The Commission’s complaint alleges that the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. The Commission also alleges that Arnett Waters and Moneta Management violated Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The Complaint also named Arnett Waters’ wife, Janet Waters, and a third entity controlled by Arnett Waters, Port Huron Partners, L.P., as relief defendants. In its action, the Commission seeks the entry of a permanent injunction against the defendants, disgorgement of ill-gotten gains by the defendants and relief defendants plus pre-judgment interest thereon, and the imposition of civil monetary penalties against the defendants.

On May 3, 2012, the U.S. District Court in Massachusetts issued a preliminary injunction in the SEC’s action that, among other things, prohibits the civil defendants from continuing to violate certain federal securities laws and freezes the assets of the defendants.

On August 7, 2012, the Commission also filed a civil contempt motion alleging that Arnett Waters had willfully violated the Court’s preliminary injunction order. The Commission’s motion alleged that Waters had established an undisclosed bank account, transferred funds to that account, dissipated assets, and failed to disclose the bank account as required by the Court. On August 9, 2012, the United States Attorney’s Office for the District of Massachusetts filed a separate criminal information charging Waters with two counts of criminal contempt based on the same allegations. On October 2, 2012, Waters pled guilty to both counts of criminal contempt, and the Court ordered him detained pending sentencing on December 5, 2012.

The Commission acknowledges the assistance of the United States Attorney’s Office for the District of Massachusetts, the Federal Bureau of Investigation and FINRA in this matter.

[SEC v. A.L. Waters Capital, LLC, et al., Civil Action No. 12-cv-10783-DJC (D. Mass.)] (LR-22512 )

[United States of America v. Arnett L. Waters, Criminal No. 12-cr-10336-DJC (District of Massachusetts)]

Commission Names Alena Dubinsky as Relief Defendant

On October 17, 2012, the Commission filed an amended complaint naming Alena Dubinsky as a relief defendant in its pending civil injunctive action before the United States District Court for the Southern District of New York. The action stems from the hijacking of defunct or inactive publicly-traded companies and the unregistered offer and sale of securities. The amended complaint alleges that Dubinsky, a resident of Ontario, Canada, opened bank and brokerage accounts in Toronto at the behest of certain defendants through which were effected unregistered sales of securities and the deposit of at least $1 million in illicit proceeds. The Commission is seeking disgorgement.

The Commission acknowledges the assistance and cooperation of the Ontario Securities Commission. [SEC v. Irwin Boock, et al., Civil Action No. 09 CV 8261 (S.D.N.Y) (DLC)] (LR-22516 )

SEC Charges Former President of Carter’s, Inc. with Financial Fraud

On October 18, 2012, the Commission charged Joseph Pacifico, a former President of Carter’s, Inc., the Atlanta-based marketer of children’s clothing, for engaging in financial fraud at Carter’s. The SEC alleges that Pacifico’s misconduct caused Carter’s to materially misstate its net income and expenses in several financial reporting periods between 2004 and 2009.

The SEC’s complaint, filed in the United States District Court for the Northern District of Georgia, alleges that between 2004 and 2009, Carter’s Executive Vice President of Sales, Joseph Elles, who reported to Pacifico, fraudulently manipulated the amount of discounts that Carter’s granted to its largest wholesale customer in order to induce that customer—itself a large national department store—to purchase greater quantities of Carter’s clothing for resale. Elles then concealed his conduct by persuading the customer to defer subtracting the discounts from payments until later periods and creating and signing false documents misrepresenting the timing and amount of those discounts to Carter’s accounting personnel.

After Pacifico discovered Elles’s scheme, the complaint alleges that Pacifico signed a false certification to Carter’s accounting personnel that understated the amount discounts that Carter’s owed to the customer. The complained also alleges that Pacifico signed false internal forms that also misstated that discounts to be paid to the customer related to sales in 2009 when, in fact, the discounts related to prior financial periods. After conducting its own internal investigation, Carter’s was required to issue restated financial results for the affected periods.

The SEC’s complaint alleges that Pacifico violated Section 17(a)(2) of the Securities Act of 1933 ("Securities Act") and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”), and Rules 10b-5(b) and 13b2-1 thereunder, and aided and abetted Carter’s violations of Sections 10(b), 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 10b-5(b),12b-20, 13a-1, 13a-11 and 13a-13 thereunder. The SEC is seeking permanent injunctive relief, financial penalties, and an officer and director bar against Pacifico.

This is the second case that the SEC has filed in connection with the financial fraud at Carter’s. The Commission previously charged Joseph Elles in connection with this scheme. See SEC v. Joseph Elles, Litigation Release No. 21784 / December 20, 2010

The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Northern District of Georgia and the Federal Bureau of Investigation in this matter. The SEC’s investigation is continuing. [SEC v. Joseph Pacifico, Civil Action No. 1:12-CV- (N.D.GA)] (LR-22517 )

Hong Kong Firm to Pay $14 Million to Settle Insider Trading Charges

On October 18, 2012, the Commission announced that a Hong Kong-based firm charged with insider trading in July has agreed to settle the case by paying more than $14 million, which is double the amount of its alleged illicit profits. The proposed settlement is subject to the approval of Judge Richard J. Sullivan of the U.S. District Court for the Southern District of New York.

The SEC filed an emergency action against Well Advantage Limited to freeze its assets less than 24 hours after the firm placed an order to liquidate its entire position in Nexen Inc. The SEC alleged that Well Advantage had stockpiled shares of Nexen stock based on confidential information that China-based CNOOC Ltd. was about to announce an acquisition of Nexen. Well Advantage sold those shares for more than $7 million in illicit profits immediately after the deal was publicly announced. Well Advantage is controlled by prominent Hong Kong businessman Zhang Zhi Rong, who also controls another company that has a "strategic cooperation agreement" with CNOOC.

Well Advantage has agreed to the entry of a final judgment requiring payment of $7,122,633.52 in illegal profits made from trading Nexen stock, and payment of a $7,122,633.52 penalty. The proposed judgment also enjoins Well Advantage from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. Well Advantage neither admits nor denies the charges. [SEC v. Well Advantage Limited, et al., Civil Action 12-CV-5786 (SDNY)(RJS)] (LR-22515 )

INVESTMENT COMPANY ACT RELEASES

Trust for Professional Managers
Collins Capital Investments, LLC

A notice has been issued giving interested persons until November 13, 2012 to request a hearing on an application filed by Trust for Professional Managers and Collins Capital Investments, LLC for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30235 - October 18)

SELF-REGULATORY ORGANIZATIONS

Approval of Proposed Rule Change

The Commission approved a proposed rule change (SR-C2-2012-024) submitted by C2 Options Exchange, Incorporated to adopt a Designated Primary Market-Maker program. Publication is expected in the Federal Register during the week of October 22, 2012. (Rel. 34-68070 ).

Immediate Effectiveness of Proposed Rule Changes

ICE Clear Credit LLC (“ICC”) filed a proposed rule change (File No. SR-ICC-2012-19) under Section19(b)(1) of the Exchange Act, which proposed rule change became effective upon filing under Section 19(b)(3)(A), to update the Contract Reference International Securities Identification Numbers in Schedule 502 of the ICC’s Rules for eight single name contracts. Publication of the proposal is expected to be made in the Federal Register during the week of October 22, 2012. (Rel. 34-68069 )

A proposed rule change filed by the New York Stock Exchange LLC amending sections 102.01 and 103.00 of the Exchange’s listed company manual to permit the consideration of stockholders and trading volume in the company’s home country market or primary trading market outside the United States, provided such market is a regulated stock exchange, when determining the qualification for initial listing under section 102.01 of a company from outside North America (SR-NYSE-2012-52) 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 22, 2012. (Rel. 34-68065 )

A proposed rule change filed by NYSE MKT LLC amending Rule 17 - Equities to add a new paragraph (c)(3) addressing the authority of the Exchange or Archipelago Securities LLC to cancel orders when a technical or systems issue occurs and to describe the operation of an error account for Arca Securities (SR-NYSEMKT-2012-52) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 22^,2012. (Rel. 34-68066 )

A proposed rule change filed by New York Stock Exchange LLC amending NYSE Rule 17 to add a new paragraph (c)(3) addressing the authority of the Exchange or Archipelago Securities LLC to cancel orders when a technical or systems issue occurs and to describe the operation of an error account for Arca Securities (SR-NYSE-2012-53) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of October 22, 2012. (Rel. 34-68067 )

A proposed rule change filed by International Securities Exchange, LLC to amend maker fees for certain complex orders executed on the exchange (SR-ISE-2012-86) 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 22, 2012. (Rel. 34-68068 )

SECURITIES ACT REGISTRATIONS

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     MARCUS CORP, 100 EAST WISCONSIN AVENUE, SUITE 1900, MILWAUKEE, WI, 
        53202-4125, 4142726020 - 0 ($204,750,000.00) Equity, (File 333-184478 - 
        Oct. 18) (BR. 08B)

S-3     MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, 
        TOWER 1, SUITE 1600, DENVER, CO, 80202, 303-925-9200 - 
        0 ($1,000,000,000.00) Other, (File 333-184482 - Oct. 18) (BR. 04A)

S-3ASR  Copano Energy, L.L.C., 1200 SMITH STREET, SUITE 2300, HOUSTON, TX, 
        77002, 713-621-9547 - 0 ($0.00) Other, (File 333-184485 - Oct. 18) 
        (BR. 02C)

S-8     HYPERION THERAPEUTICS INC, 601 GATEWAY BLVD., SUITE 200, 
        SOUTH SAN FRANCISCO, CA, 94080, 650-745-7802 - 
        0 ($18,777,006.00) Equity, (File 333-184486 - Oct. 18) (BR. 01A)

S-1     Immudyne, Inc., 50 SPRING MEADOW ROAD, MT. KISCO, NY, 10549, 
        (914) 244-1777 - 1,828,212 ($310,796.04) Equity, (File 333-184487 - 
        Oct. 18) (BR. 01)

S-8     INTUITIVE SURGICAL INC, 4085232100 - 100,000 ($52,488,000.00) Equity, 
        (File 333-184488 - Oct. 18) (BR. 10A)

S-4     BreitBurn Energy Partners L.P., 515 SOUTH FLOWER STREET, SUITE 4800, 
        LOS ANGELES, CA, 90071, (213) 225-5900 - 
        0 ($450,000,000.00) Non-Convertible Debt, (File 333-184489 - Oct. 18) 
        (BR. 04A)

S-4     Verso Paper Holdings LLC, 6775 LENOX COURT PARK, BUILDING E, MEMPHIS, 
        TN, 38115, (901) 369-4100 - 0 ($616,573,000.00) Debt, 
        (File 333-184490 - Oct. 18) (BR. 04B)

S-4     U.S. Well Services, LLC, 770 SOUTH POST OAK LANE, SUITE 405, HOUSTON, 
        TX, 77056, 832-562-3730 - 0 ($68,414,660.00) Debt, (File 333-184491 - 
        Oct. 18) (BR. 04B)

F-10    CENTRAL FUND OF CANADA LTD, #805-1323 15TH AVE SW, HALLMARK ESTATES, 
        CALGARY ALBERTA CANA, A6, T3C 0X8, 4062285861 - 
        0 ($1,000,000,000.00) Equity, (File 333-184492 - Oct. 18) (BR. 08C)

S-1     International Stem Cell CORP, 2595 JASON COURT, OCEANSIDE, CA, 92056, 
        760-940-6383 - 0 ($15,000,000.00) Equity, (File 333-184493 - Oct. 18) 
        (BR. 01A)

S-1     BioPharma Manufacturing Solutions Inc., 1443 MERION WAY, #51G, 
        SEAL BEACH, CA, 90740, 562-244-9785 - 
        72,000,000 ($5,760,000.00) Equity, (File 333-184494 - Oct. 18) (BR. 01B)

RECENT 8K FILINGS

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

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.

STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ABBOTT LABORATORIES IL 8.01 10/17/12 ACACIA RESEARCH CORP DE 2.02,9.01 10/18/12 ADVANCED MICRO DEVICES INC DE 2.02,2.05,7.01,9.01 10/18/12 ADVANCED PHOTONIX INC DE 5.03,9.01 10/16/12 Aircastle LTD D0 7.01,9.01 10/17/12 Aleris International, Inc. DE 8.01,9.01 10/18/12 ALL AMERICAN PET COMPANY, INC. NV 4.01,9.01 10/17/12 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 10/18/12 AMC Networks Inc. DE 5.07 06/05/12 AMEND AMERICAN GREETINGS CORP OH 5.02 10/12/12 American Midstream Partners, LP DE 8.01,9.01 10/18/12 AMERICAN NATIONAL BANKSHARES INC VA 2.02,9.01 10/18/12 AMERICAN RIVER BANKSHARES CA 2.02,9.01 10/18/12 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 10/18/12 Anacor Pharmaceuticals Inc DE 8.01,9.01 10/17/12 ASSOCIATED BANC-CORP WI 2.02,9.01 10/18/12 ATHENAHEALTH INC DE 2.02,9.01 10/18/12 Augme Technologies, Inc. DE 5.02,9.01 10/15/12 AUTOZONE INC NV 5.02,9.01 10/18/12 AVAYA INC DE 7.01 10/17/12 B&G Foods, Inc. DE 2.02,7.01,9.01 10/18/12 BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 10/18/12 Bank of New York Mellon CORP DE 2.02,9.01 10/18/12 BAXTER INTERNATIONAL INC DE 2.02,9.01 10/18/12 BAYLAKE CORP WI 2.02,9.01 10/18/12 BB&T CORP NC 2.02,9.01 10/18/12 Beneficial Mutual Bancorp Inc X1 5.03,9.01 10/18/12 BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 10/18/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 10/18/12 BioPharma Manufacturing Solutions Inc 2.01,3.02,5.06,9.01 10/11/12 Blackstone Group L.P. DE 2.02,9.01 10/18/12 Bluerock Enhanced Multifamily Trust, MD 1.01 10/14/12 Bluerock Enhanced Multifamily Trust, MD 7.01,9.01 10/18/12 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,9.01 10/18/12 AMEND BOSTON SCIENTIFIC CORP DE 2.02,2.06,9.01 10/15/12 BRIGGS & STRATTON CORP WI 2.02,9.01 10/18/12 BRIGGS & STRATTON CORP WI 5.02,9.01 10/17/12 BRYN MAWR BANK CORP PA 1.01,9.01 10/12/12 Builders FirstSource, Inc. DE 2.02,9.01 10/18/12 BWAY PARENT COMPANY, INC. DE 8.01,9.01 10/16/12 CAFEPRESS INC. DE 5.02 10/17/12 CAM Group, Inc. NV 7.01,9.01 10/17/12 CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 10/18/12 Capitol Federal Financial Inc MD 7.01,9.01 10/18/12 Carbonite Inc DE 1.01,9.01 10/17/12 Care Investment Trust Inc. MD 1.02,7.01 10/12/12 CARMAX INC VA 8.01,9.01 10/17/12 CASS INFORMATION SYSTEMS INC MO 2.02,8.01,9.01 10/18/12 CBS CORP DE 5.02 10/15/12 CEPHEID CA 2.02,9.01 10/18/12 Chanticleer Holdings, Inc. DE 4.01,9.01 10/15/12 CHIPOTLE MEXICAN GRILL INC 2.02,8.01,9.01 10/18/12 Circle Entertainment, Inc. DE 1.01,2.03,9.01 10/17/12 Citadel EFT, Inc. NV 8.01 10/18/12 CITIZENS & NORTHERN CORP PA 8.01,9.01 10/18/12 CITIZENS FIRST CORP KY 2.02,7.01,9.01 10/18/12 CITIZENS INC CO 8.01,9.01 10/18/12 CITY NATIONAL CORP DE 2.02,9.01 10/18/12 COBIZ FINANCIAL INC CO 2.02,8.01,9.01 10/18/12 COMCAST CORP PA 7.01 10/18/12 COMM 2012-CCRE3 Mortgage Trust DE 8.01,9.01 10/18/12 Commercial Vehicle Group, Inc. DE 5.02,9.01 10/15/12 CONNECTICUT WATER SERVICE INC / CT CT 1.01,9.01 10/18/12 Copano Energy, L.L.C. 8.01 10/18/12 CORNERSTONE THERAPEUTICS INC DE 7.01 10/18/12 CORPORATE EXECUTIVE BOARD CO DE 9.01 08/01/12 AMEND CUBIST PHARMACEUTICALS INC DE 2.02,9.01 10/18/12 CVB FINANCIAL CORP CA 2.02,9.01 10/17/12 CYBEX INTERNATIONAL INC NY 1.01,8.01,9.01 10/17/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 10/18/12 DANAHER CORP /DE/ DE 2.02,9.01 10/17/12 Daulton Capital Corp. NV 5.02 10/15/12 DELTA AIR LINES INC /DE/ DE 1.01,2.03 10/18/12 Desert Hawk Gold Corp. NV 1.01,2.03,9.01 10/16/12 DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 10/18/12 E TRADE FINANCIAL Corp DE 2.02,9.01 10/18/12 Eastern Resources, Inc. DE 1.01,2.01,3.02,5.01,5.02,9.01 04/06/12 AMEND EASTGROUP PROPERTIES INC MD 2.02,7.01,9.01 10/18/12 EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 10/18/12 El Paso Pipeline Partners, L.P. DE 2.02,9.01 10/17/12 AMEND ELECTRONICS FOR IMAGING INC DE 2.02,9.01 10/18/12 EMPIRE RESORTS INC DE 1.01,9.01 10/12/12 Energy Future Holdings Corp /TX/ TX 7.01,8.01,9.01 10/18/12 ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 10/18/12 EPL OIL & GAS, INC. DE 5.03,7.01,9.01 10/14/12 ESCALON MEDICAL CORP PA 8.01,9.01 10/17/12 EXPRESS, INC. 9.01 10/14/12 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 10/18/12 FARMERS CAPITAL BANK CORP KY 2.02,9.01 10/17/12 Federal Home Loan Bank of Atlanta X1 2.03 10/15/12 Federal Home Loan Bank of Boston X1 2.03 10/15/12 Federal Home Loan Bank of Chicago X1 2.03 10/15/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/15/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/16/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/18/12 Federal Home Loan Bank of New York X1 2.03,9.01 10/15/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/15/12 Federal Home Loan Bank of San Francis X1 2.03 10/16/12 Federal Home Loan Bank of Seattle 2.03 10/16/12 Federal Home Loan Bank of Topeka 2.03,9.01 10/15/12 Fibrocell Science, Inc. DE 7.01,9.01 10/17/12 FIFTH THIRD BANCORP OH 2.02,7.01,9.01 10/18/12 FINISH LINE INC /IN/ IN 8.01,9.01 10/17/12 FLEXTRONICS INTERNATIONAL LTD. U0 2.02,9.01 10/18/12 Florida East Coast Holdings Corp. FL 5.02,9.01 10/15/12 FORWARD AIR CORP TN 2.02,9.01 09/30/12 Franklin Credit Management Corp DE 9.01 10/12/12 Franklin Credit Management Corp DE 8.01,9.01 10/12/12 AMEND FS Energy & Power Fund DE 1.01,2.03,9.01 10/18/12 FSP GALLERIA NORTH CORP 1.01,9.01 10/12/12 FULTON FINANCIAL CORP PA 5.02,9.01 10/17/12 GALTECH SEMICONDUCTOR MATERIALS CO UT 5.02 07/17/08 GALTECH SEMICONDUCTOR MATERIALS CO UT 5.02 09/10/12 GATX CORP NY 2.02,7.01,9.01 10/18/12 Genesis Biopharma, Inc NV 1.01,2.03,3.02 09/12/12 GENUINE PARTS CO GA 2.02,9.01 10/18/12 Global Income Trust, Inc. MD 1.01,2.01,2.03,7.01,9.01 10/12/12 GLOBAL PARTNERS LP 1.01,2.03,9.01 10/12/12 Google Inc. DE 2.02,8.01,9.01 10/18/12 Google Inc. DE 2.02,8.01,9.01 10/18/12 AMEND GREER BANCSHARES INC SC 2.02,9.01 10/17/12 Grizzly Gold Corp. FL 8.01,9.01 10/17/12 GT Advanced Technologies Inc. DE 5.02,9.01 10/12/12 Guaranty Bancorp DE 2.02,7.01,9.01 10/17/12 HALF ROBERT INTERNATIONAL INC /DE/ DE 2.02,9.01 10/18/12 HALLADOR ENERGY CO CO 1.02,2.03,3.03,8.01,9.01 10/18/12 HALLIBURTON CO DE 2.02 10/17/12 HANMI FINANCIAL CORP DE 2.02,9.01 10/18/12 HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,9.01 10/17/12 HEALTHWAYS, INC DE 2.02,9.01 10/18/12 Heritage-Crystal Clean, Inc. DE 2.02,9.01 10/17/12 Higher One Holdings, Inc. DE 1.01,2.03,8.01,9.01 10/16/12 HNI CORP IA 2.02,9.01 10/17/12 HOLLYWOOD MEDIA CORP FL 4.01,9.01 10/12/12 HOME BANCSHARES INC 2.02,7.01,9.01 10/18/12 Homeowners Choice, Inc. FL 5.05,9.01 10/18/12 HomeStreet, Inc. WA 5.02 10/15/12 Honda Auto Receivables 2012-4 Owner T DE 8.01,9.01 10/18/12 Honda Auto Receivables 2012-4 Owner T DE 1.01,9.01 10/18/12 HUBBELL INC CT 2.02,9.01 10/18/12 HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 10/18/12 HUTCHINSON TECHNOLOGY INC MN 5.02,9.01 10/12/12 ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 10/18/12 Imperial Resources, Inc. 5.02 10/17/12 INDEPENDENCE TAX CREDIT PLUS L P II DE 8.01,9.01 10/18/12 INDEPENDENCE TAX CREDIT PLUS LP III DE 8.01,9.01 10/18/12 INDEPENDENT BANK CORP MA 2.02,7.01,9.01 10/18/12 India Globalization Capital, Inc. MD 1.01,9.01 10/13/12 INSTEEL INDUSTRIES INC NC 2.02,9.01 10/18/12 INTELSAT S.A. N4 8.01 10/18/12 ITERIS, INC. DE 2.02,9.01 10/18/12 IVANHOE ENERGY INC 1.01,9.01 10/15/12 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 10/18/12 JABIL CIRCUIT INC DE 5.02,7.01,9.01 10/16/12 JAVA EXPRESS INC NV 4.01,5.02,9.01 10/15/12 AMEND KBS Real Estate Investment Trust II, MD 8.01,9.01 10/17/12 KEYCORP /NEW/ OH 2.02,7.01,9.01 10/18/12 KEYW HOLDING CORP MD 2.01,3.02,9.01 10/12/12 KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 10/17/12 AMEND KINDER MORGAN, INC. DE 1.01,9.01 10/12/12 KINDER MORGAN, INC. DE 2.02,9.01 10/17/12 AMEND LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 10/18/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/18/12 LATTICE SEMICONDUCTOR CORP DE 2.02,2.05 10/18/12 LBI MEDIA HOLDINGS INC 8.01 10/15/12 Legal Life Plans, Inc. DE 5.02 10/12/12 Lender Processing Services, Inc. DE 8.01,9.01 10/16/12 Liberty Global, Inc. DE 2.02,7.01 10/18/12 Liberty Interactive Corp 7.01,9.01 10/15/12 Liberty Media Corp DE 7.01,9.01 10/15/12 LIFE TIME FITNESS, INC. MN 2.02,9.01 10/18/12 LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.02 10/18/12 LKA INTERNATIONAL INC /DE/ DE 8.01 10/15/12 Longhai Steel Inc. NV 5.02 10/18/12 LPATH, INC NV 5.03,9.01 10/16/12 LYRIS, INC. 3.02,5.03,8.01,9.01 10/18/12 Main Street Capital CORP MD 5.02,8.01,9.01 10/18/12 Marriott Vacations Worldwide Corp DE 2.02,9.01 10/18/12 MARVELL TECHNOLOGY GROUP LTD D0 5.02,7.01,9.01 10/16/12 MARVELL TECHNOLOGY GROUP LTD D0 7.01,9.01 10/18/12 Mayflower Bancorp Inc MA 2.02,9.01 10/18/12 McEwen Mining Inc. CO 7.01,9.01 10/18/12 MEADOWBROOK INSURANCE GROUP INC MI 7.01,8.01,9.01 10/18/12 MERCHANTS BANCSHARES INC DE 8.01,9.01 10/18/12 Mesa Energy Holdings, Inc. DE 5.02 10/12/12 MF Global Holdings Ltd. DE 7.01,9.01 10/12/12 MGM Resorts International DE 1.01,8.01,9.01 10/18/12 MICROCHIP TECHNOLOGY INC DE 9.01 08/02/12 AMEND MICROSOFT CORP WA 2.02,9.01 10/18/12 Millennial Media Inc. DE 8.01 10/17/12 Mistras Group, Inc. DE 5.02,5.07 10/15/12 Monarch Financial Holdings, Inc. VA 2.02,9.01 10/18/12 MORGAN STANLEY DE 2.02,9.01 10/18/12 Morgan Stanley Bank of America Merril 9.01 07/27/12 AMEND MRV COMMUNICATIONS INC DE 2.01,9.01 10/12/12 MYERS INDUSTRIES INC OH 2.02,7.01,9.01 10/18/12 NATIONAL BANKSHARES INC VA 2.02,9.01 10/18/12 NATIONAL PENN BANCSHARES INC PA 7.01,9.01 10/18/12 NCR CORP MD 2.01,7.01,9.01 10/18/12 NETSCOUT SYSTEMS INC DE 2.02,9.01 10/18/12 NEWS CORP 8.01,9.01 10/18/12 NORTHERN OIL & GAS, INC. 2.02,9.01 10/18/12 Northern Tier Energy LP DE 2.02,8.01,9.01 10/17/12 NORWOOD FINANCIAL CORP PA 2.02,9.01 10/18/12 NSTAR ELECTRIC CO MA 2.03,9.01 10/15/12 NUCOR CORP DE 2.02,9.01 10/18/12 NVR INC VA 2.02,9.01 10/18/12 OCWEN FINANCIAL CORP FL 8.01 10/18/12 ONCOR ELECTRIC DELIVERY CO LLC DE 7.01 10/18/12 OneBeacon Insurance Group, Ltd. D0 1.01,2.05,7.01,9.01 10/18/12 ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 10/17/12 PAID INC DE 5.02,9.01 10/12/12 PARK ELECTROCHEMICAL CORP NY 8.01,9.01 10/18/12 Pegasi Energy Resources Corporation. NV 5.03,5.07,7.01,9.01 08/09/12 PENNS WOODS BANCORP INC PA 2.02,9.01 10/18/12 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 10/18/12 PEREGRINE PHARMACEUTICALS INC DE 5.02,5.07 10/18/12 Philip Morris International Inc. VA 2.02,9.01 10/18/12 PIONEER NATURAL RESOURCES CO DE 2.02,7.01 10/18/12 Pioneer Southwest Energy Partners L.P DE 2.02,7.01 10/18/12 PIXELWORKS, INC OR 2.02,9.01 10/18/12 Poage Bankshares, Inc. MD 8.01 10/17/12 POLARIS INDUSTRIES INC/MN MN 2.02,7.01,9.01 10/18/12 POOL CORP DE 2.02,7.01,9.01 10/18/12 PPG INDUSTRIES INC PA 2.02,9.01 10/18/12 PPG INDUSTRIES INC PA 5.02,9.01 10/18/12 Precision Aerospace Components, Inc. 8.01,9.01 10/15/12 PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 10/18/12 PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,2.01,3.02,9.01 10/17/12 PRIVATEBANCORP, INC DE 1.01,2.03,9.01 10/18/12 PROSPECT GLOBAL RESOURCES INC. NV 8.01,9.01 10/18/12 Psychic Friends Network Inc. NV 7.01,9.01 10/17/12 RAMBUS INC DE 2.02,2.06,9.01 10/18/12 Reis, Inc. MD 1.01,8.01,9.01 10/18/12 REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 10/18/12 RFS HOLDING LLC 1.01,9.01 10/17/12 RIVER VALLEY BANCORP IN 1.01,2.02,8.01,9.01 10/12/12 Riverbed Technology, Inc. DE 2.02,9.01 10/18/12 SANDISK CORP DE 2.02,9.01 10/18/12 SANDY SPRING BANCORP INC MD 2.02,9.01 10/18/12 Santander Holdings USA, Inc. VA 9.01 10/18/12 AMEND SATCON TECHNOLOGY CORP DE 1.03,2.04,3.01,9.01 10/17/12 SCHULMAN A INC DE 5.02 10/17/12 SED INTERNATIONAL HOLDINGS INC 2Q 5.02,9.01 10/15/12 AMEND SMART ONLINE INC DE 2.03,3.02 10/15/12 SNAP-ON Inc DE 2.02,9.01 10/18/12 SOMERSET HILLS BANCORP NJ 2.02,9.01 10/18/12 SONIC AUTOMOTIVE INC DE 5.02 10/16/12 SONOCO PRODUCTS CO SC 2.02,9.01 10/18/12 Sorrento Therapeutics, Inc. DE 5.02 10/18/12 SOUTHERN CALIFORNIA EDISON CO CA 5.02 10/15/12 SOUTHWEST AIRLINES CO TX 2.02,9.01 09/30/12 SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 10/18/12 STATE STREET CORP MA 5.02 10/18/12 STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 10/17/12 SUN RIVER ENERGY, INC CO 2.01,2.03,5.02,5.07,9.01 09/28/12 SUNGARD CAPITAL CORP DE 2.02,9.01 10/18/12 SUNPEAKS VENTURES, INC. NV 1.01,2.01,3.02,5.01,5.02,5.03,5.06,8.01,9.01 02/13/12 AMEND Sunway Global Inc. NV 8.01 10/15/12 SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 10/18/12 SYNTEL INC MI 2.02,9.01 10/18/12 T & G APOTHECARY INC NV 1.01,8.01,9.01 10/15/12 TANDY BRANDS ACCESSORIES INC DE 5.07 10/16/12 TCF FINANCIAL CORP DE 8.01,9.01 10/18/12 TESORO LOGISTICS LP DE 7.01,9.01 10/18/12 Theron Resource Group WY 5.02 10/12/12 TIDEWATER INC DE 8.01,9.01 10/16/12 Transocean Ltd. V8 7.01,9.01 10/17/12 TRAVELERS COMPANIES, INC. MN 2.02,9.01 10/18/12 U.S. China Mining Group, Inc. NV 5.03,9.01 10/15/12 Ulta Salon, Cosmetics & Fragrance, In DE 5.02,9.01 10/17/12 ULTRATECH INC DE 2.02,9.01 10/18/12 UMPQUA HOLDINGS CORP OR 2.02,9.01 10/17/12 UNION BANKSHARES INC VT 2.02,8.01,9.01 10/17/12 UNION PACIFIC CORP UT 2.02,9.01 10/18/12 Universal Capital Management, Inc. DE 5.05,9.01 10/17/12 US CONCRETE INC DE 1.01,9.01 10/17/12 USG CORP DE 2.02,9.01 10/18/12 VASCULAR SOLUTIONS INC MN 2.02,9.01 10/18/12 VERIZON COMMUNICATIONS INC DE 2.02,9.01 10/18/12 VOC Energy Trust 2.02,9.01 10/18/12 WELLS FARGO & COMPANY/MN DE 9.01 10/18/12 WERNER ENTERPRISES INC NE 2.02 10/17/12 WESCO INTERNATIONAL INC 2.02,7.01,9.01 10/18/12 WESTERN ALLIANCE BANCORPORATION NV 2.02,8.01,9.01 10/18/12 Western Gas Partners LP DE 8.01,9.01 10/18/12 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 10/18/12 WHITE MOUNTAINS INSURANCE GROUP LTD D0 7.01,9.01 10/18/12 Win Global Markets, Inc. NV 5.02 10/18/12 WINMARK CORP MN 2.02,7.01,9.01 10/17/12 Wizard World, Inc. DE 5.02,9.01 10/10/12 WORLD FUEL SERVICES CORP FL 7.01,9.01 10/18/12 XENONICS HOLDINGS, INC. NV 1.01,2.03,3.02 10/15/12

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