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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of American Realty Funds Corporation Because of Questions About the Accuracy of its Public FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuer, commencing at 9:30 a.m. EST on November 15, 2012 and terminating at 11:59 p.m. EST on November 29, 2012:
The Commission temporarily suspended trading in the securities of the foregoing company due to a lack of current and accurate information about the company because of questions concerning the accuracy of publicly disseminated information in the company’s public filings and financial statements. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that has been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-68237) SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating OrganizationsThe Securities and Exchange Commission today issued its second annual staff report on the findings of examinations of credit rating agencies registered with the SEC as Nationally Recognized Statistical Rating Organizations (NRSROs). The staff determined that with one exception, all NRSROs appropriately addressed the staff’s recommendations in the first annual report in 2011. In addition, the staff announced a new initiative to highlight compliance issues at credit rating agencies between examinations. “The SEC’s enhanced oversight of NRSROs is having a positive effect,” said Thomas J. Butler, Director of the SEC’s Office of Credit Ratings. “The firms have been generally responsive to the staff’s recommendations, which are intended to strengthen NRSROs’ policies, procedures, and operations and to make their internal governance and controls more robust. We will continue to review their responses to our recommendations and use our examinations to promote compliance with statutory and Commission requirements.” Congress mandated the creation of the Office of Credit Ratings as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which imposed new reporting, disclosure, and examination requirements to enhance the regulation of NRSROs. The Dodd-Frank Act requires the Commission staff to examine each NRSRO at least annually and issue a report summarizing the essential findings of the examinations. In the reports, firms are referred to as “large NRSROs” or “small NRSROs” to promote the public’s understanding without compromising due process requirements. The 2012 report discusses the staff’s findings and recommendations in eight areas, including whether the NRSRO conducts business in accordance with its policies, procedures, and methodologies, how it manages conflicts of interest, and whether it maintains effective internal controls. The staff identified findings and made recommendations to all NRSROs. Findings identified at one or more NRSROs include the following:
In addition to the recommendations to NRSROs based on the 2012 exams, the SEC’s Office of Credit Ratings will promote compliance between exams by sending letters to the Designated Compliance Officers at all of the firms as issues arise. The first industry-wide “Dear DCO” letter, sent today, urges NRSROs to review SEC rules on preventing the misuse of material nonpublic information and avoiding unfair, coercive, or abusive practices with respect to credit ratings. The letter is available on the SEC’s website at www.sec.gov/about/offices/ocr.shtml. The following staff made significant contributions to the examinations referenced in the second annual staff report: Abe Losice, Kenneth Godwin, Michele Wilham, Jon Hertzke, Natalia Kaden, Nicole Billick, Shawn Davis, Michael Gerity, Warren Greth, Julia Kiel, Russell Long, Carlos Maymi, David Nicolardi, Harriet Orol, Jacob Prudhomme, Abraham Putney, Said Rafat, Mary Ryan, Warren Tong, Evelyn Tuntono, and Kenneth Weinstein. (Press Rel. 2012-228) SEC Receives More Than 3,000 Whistleblower Tips in FY2012Over the past year, the Securities and Exchange Commission received more than 3,000 whistleblower tips from all 50 states and from 49 countries, according to the agency’s 2012 Annual Report on the Dodd-Frank Whistleblower Program released today. The report, which is required by the Dodd Frank Wall Street Reform and Consumer Protection Act, summarizes the activities of the SEC’s Office of the Whistleblower. “In just its first year, the whistleblower program already has proven to be a valuable tool in helping us ferret out financial fraud,” said SEC Chairman Mary L. Schapiro. “When insiders provide us with high-quality road maps of fraudulent wrongdoing, it reduces the length of time we spend investigating and saves the agency substantial resources.” Among other things, the report notes:
Under the Dodd-Frank Act, the SEC can pay financial awards to whistleblowers who provide high-quality, original information about a possible securities law violation that leads to a successful SEC enforcement action with more than $1 million in monetary sanctions. The SEC is authorized to pay the whistleblower 10 to 30 percent of the sanctions collected. Awards are paid from the Investor Protection Fund established by Congress to fund payments. Information on eligibility requirements, directions on how to submit a tip or complaint, instructions on how to apply for an award, and answers to frequently asked questions are available at: www.sec.gov/whistleblower. (Press Rel. 2012-229) Enforcement ProceedingsBP to Pay $525 Million Penalty to Settle SEC Charges of Securities Fraud During Deepwater Horizon Oil SpillThe Securities and Exchange Commission today charged BP p.l.c. with misleading investors while its Deepwater Horizon oil rig was gushing into the Gulf of Mexico by significantly understating the flow rate in multiple reports filed with the SEC. The SEC alleges that the global oil and gas company headquartered in London made fraudulent public statements indicating a flow rate estimate of 5,000 barrels of oil per day. BP reported this figure despite its own internal data indicating that potential flow rates could be as high as 146,000 barrels of oil per day. BP executives also made numerous public statements after the filings were made in which they stood behind the flow rate estimate of 5,000 barrels of oil per day even though they had internal data indicating otherwise. In fact, they criticized other much higher estimates by third parties as scaremongering. Months later, a government task force determined the flow rate estimate was actually more than 10 times higher at 52,700 to 62,200 barrels of oil per day, yet BP never corrected or updated the misrepresentations and omissions it made in SEC filings for investors. BP agreed to settle the SEC’s charges by paying the third-largest penalty in agency history at $525 million. The SEC plans to establish a Fair Fund with the BP penalty to provide harmed investors with compensation for losses they sustained in the fraud. The SEC announced the case today along with the Attorney General and other senior officials at the Justice Department, which brought a criminal action against BP. “The oil spill was catastrophic for the environment, but by hiding its severity BP also harmed another constituency — its own shareholders and the investing public who are entitled to transparency, accuracy, and completeness of company information, particularly in times of crisis,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Good corporate citizenship and responsible crisis management means that a company can’t hide critical information simply because it fears the backlash.” Daniel M. Hawke, Director of the SEC’s Philadelphia Regional Office and Chief of the Enforcement Division’s Market Abuse Unit, said, “Without accurate critical flow rate data known only to BP, the company denied its shareholders and investors the opportunity to fairly assess BP’s potential liabilities and true financial condition.” According to the SEC’s complaint filed in the U.S. District Court for the Eastern District of Louisiana, BP stated that the flow rate was estimated to be 5,000 barrels of oil per day (bopd) in three separate Forms 6-K filed with the SEC following the Deepwater Horizon oil rig explosion on April 20, 2010. In a 6-K filed on April 29, BP stated in part, “[e]fforts continue to stem the flow of oil from the well, currently estimated at up to 5,000 bopd[.]” BP filed another report the next day similarly referencing “[e]fforts to stem the flow from the well, currently estimated at up to 5,000 barrels a day are continuing[.]” The SEC alleges that when the company made those statements, BP possessed at least five different flow rate calculations, estimates, or data indicating a much higher flow rate. BP did not possess or generate any piece of data suggesting that 5,000 bopd represented a ceiling for the rate of oil flowing into the Gulf of Mexico or was the best estimate. The failure to disclose the existence of these higher estimates rendered BP’s statements in its Reports on Form 6-K materially false and misleading. According to the SEC’s complaint, BP issued another 6-K on May 4 that stated, “Accurate estimation of the rate of flow is difficult, but current estimates by the U.S. National Oceanic and Atmospheric Administration (NOAA) suggest that some 5,000 barrels (210,000 US gallons) of oil per day are escaping from the well.” The SEC alleges that BP omitted from its disclosure the material fact that, by this date, it possessed at least six estimates, calculations and data indicating that the oil flow rate far exceeded 5,000 bopd. Therefore, it was no longer accurate to suggest that 5,000 bopd was the best estimate or that the NOAA estimate was the current estimate. The SEC’s complaint further alleges that BP executives made numerous public statements in May 2010 supporting the 5,000 bopd flow rate estimate and criticizing other estimates despite internal evidence showing that flow rates were likely well in excess of 5,000 bopd. Eventually on August 2, the Flow Rate Technical Group consisting of government and academic experts tasked with reaching a final official flow rate estimate announced that the flow rate estimate was 52,700 to 62,200 bopd. BP never corrected or updated its material misrepresentations and omissions about the flow rate. BP has consented to the entry of a final judgment ordering it to pay the $525 million penalty and permanently restraining and enjoining the company from violating Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20 and 13a-16. The proposed final judgment is subject to court approval. The SEC’s investigation, which is continuing, has been conducted by Brian P. Thomas, Matthew S. Raalf, Kelly L. Gibson, Michael F. McGraw, John S. Rymas, Colleen K. Lynch, Jeffrey Boujoukos, Michael J. Rinaldi, and Elaine C. Greenberg in the Philadelphia Regional Office. The SEC appreciates the assistance of the Department of Justice’s Deepwater Horizon Task Force and the United Kingdom Financial Services Authority. (Press Rel. 2012-231); [SEC v. BP p.l.c., Case No. 2:12-cv-02774 (E.D. La.)] (LR-22531) MassMutual to Pay $1.625 Million after SEC Investigation Highlights Prior Insufficient Disclosures about Annuity Product
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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 ----------------------------------------------------------------------------------------- AEROFLEX HOLDING CORP. DE 5.07 11/14/12 ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 11/14/12 ALION SCIENCE & TECHNOLOGY CORP DE 5.05,9.01 11/13/12 ALLIANCE DATA SYSTEMS CORP DE 8.01,9.01 11/14/12 Alliance HealthCare Services, Inc CA 7.01 11/09/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 11/13/12 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 11/13/12 Alliqua, Inc. FL 3.02,5.02,9.01 11/08/12 Alliqua, Inc. FL 3.02,5.02,9.01 11/08/12 Amarantus BioSciences, Inc. DE 1.01,5.03,9.01 11/13/12 AMERICAN DG ENERGY INC DE 2.02,9.01 11/13/12 American Midstream Partners, LP DE 2.02,9.01 11/13/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,2.02,9.01 11/12/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,2.02,9.01 11/12/12 American Realty Capital Trust IV, Inc MD 1.01 11/12/12 AMSURG CORP TN 7.01,9.01 11/14/12 ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 11/14/12 ANGIOTECH PHARMACEUTICALS INC 5.02 11/14/12 Antero Resources LLC DE 7.01,8.01,9.01 11/14/12 ANTS SOFTWARE INC DE 5.02 11/13/12 APRIA HEALTHCARE GROUP INC DE 2.02,9.01 11/14/12 ARAMARK CORP DE 2.02,9.01 11/14/12 ARC Group Worldwide, Inc. UT 5.02 11/13/12 ARC Group Worldwide, Inc. UT 2.02,9.01 08/14/12 ARCTIC CAT INC MN 5.02,9.01 11/12/12 ARKANSAS BEST CORP /DE/ DE 7.01 11/14/12 ARMSTRONG WORLD INDUSTRIES INC PA 7.01,8.01,9.01 11/07/12 Ascent Capital Group, Inc. DE 2.03 11/07/12 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 11/14/12 ASSURANT INC 2.05 11/14/12 ASTEA INTERNATIONAL INC DE 2.02,9.01 11/14/12 ASTROTECH Corp \WA\ WA 2.02,9.01 11/14/12 AUBURN NATIONAL BANCORPORATION, INC DE 8.01,9.01 11/13/12 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 11/14/12 AVIAT NETWORKS, INC. DE 5.07 11/13/12 Bank of the Carolinas CORP NC 2.02,9.01 11/09/12 BB&T CORP NC 7.01,9.01 11/14/12 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 11/14/12 BEST BUY CO INC MN 7.01,9.01 11/14/12 BIOTIME INC CA 7.01,9.01 11/14/12 BofI Holding, Inc. DE 5.07 11/08/12 Boston Therapeutics, Inc. DE 1.01,5.02,9.01 11/13/12 BRIDGFORD FOODS CORP CA 7.01,9.01 11/12/12 BSQUARE CORP /WA WA 2.02,9.01 11/14/12 CAM Group, Inc. NV 1.01,9.01 11/14/12 CAMBRIDGE HEART INC DE 2.02,8.01,9.01 09/30/12 Canadian Tactical Training Academy In NV 7.01,9.01 11/14/12 CAPITOL BANCORP LTD MI 2.02,9.01 11/14/12 CARPENTER TECHNOLOGY CORP DE 5.07 10/13/11 AMEND CCOM Group, Inc. NY 2.02,9.01 11/14/12 CENTERLINE HOLDING CO DE 1.01,9.01 11/09/12 CenterState Banks, Inc. FL 7.01 11/14/12 CENTRAL FEDERAL CORP DE 2.02,9.01 11/14/12 CHEMUNG FINANCIAL CORP NY 8.01,9.01 11/14/12 China Bull Management Inc NV 8.01 09/30/12 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 11/14/12 China Shengda Packaging Group Inc. NV 7.01,9.01 11/13/12 China Shengda Packaging Group Inc. NV 8.01,9.01 11/14/12 China XD Plastics Co Ltd NV 5.02 11/14/12 CICERO INC DE 5.02 11/09/12 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 11/14/12 Cleantech Solutions International, In DE 2.02,7.01,9.01 11/09/12 CME GROUP INC. DE 1.01,2.03,9.01 11/08/12 CME GROUP INC. DE 5.03,9.01 11/07/12 CMS ENERGY CORP MI 1.01,9.01 11/09/12 CNB FINANCIAL CORP/PA PA 8.01,9.01 11/13/12 COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 11/14/12 Cole Credit Property Trust II Inc MD 1.01,5.03,7.01,8.01, 11/07/12 9.01 Community Choice Financial Inc. 2.02,9.01 11/14/12 AMEND COMMUNITY FINANCIAL SHARES INC DE 1.01,3.02,5.01,5.02, 11/13/12 8.01,9.01 CONSOLIDATED EDISON INC NY 8.01 11/13/12 CONTINENTAL MATERIALS CORP DE 2.02,9.01 11/14/12 Cornerstone OnDemand Inc DE 2.02,9.01 11/12/12 CORONADO BIOSCIENCES INC DE 2.02,9.01 11/14/12 Corporate Capital Trust, Inc. MD 2.02,9.01 11/14/12 COVENANT BANCSHARES, INC. IL 8.01 11/06/12 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 11/14/12 Crestwood Midstream Partners LP DE 1.01,2.03,9.01 11/14/12 Crumbs Bake Shop, Inc. DE 2.02,9.01 11/13/12 DAKTRONICS INC /SD/ SD 1.01,9.01 11/09/12 DANE EXPLORATION INC. NV 4.01,9.01 11/12/12 DAWSON GEOPHYSICAL CO TX 2.02,9.01 11/14/12 DEERE & CO DE 7.01 11/14/12 Del Frisco's Restaurant Group, Inc. DE 5.02,9.01 11/12/12 DEL TORO SILVER CORP. NV 7.01 11/13/12 DELTATHREE INC DE 2.02,9.01 11/14/12 Destination Maternity Corp DE 8.01,9.01 11/08/12 DGSE COMPANIES INC NV 8.01,9.01 11/13/12 Diamond Foods Inc DE 2.02,9.01 11/14/12 Diamond Foods Inc DE 5.02,9.01 11/13/12 Diamond Resorts Corp MD 2.02,9.01 11/14/12 DiamondRock Hospitality Co 7.01,9.01 11/13/12 Diversified Resources Inc. NV 5.03,9.01 10/23/12 DOW CHEMICAL CO /DE/ DE 8.01,9.01 11/06/12 Dr Pepper Snapple Group, Inc. DE 1.01,9.01 11/13/12 Duke Energy CORP DE 8.01,9.01 11/13/12 DUMA ENERGY CORP NV 8.01 11/13/12 DUMA ENERGY CORP NV 7.01,9.01 11/14/12 DYNATRONICS CORP UT 2.02,9.01 11/14/12 DYNEGY INC. DE 7.01,9.01 11/14/12 DYNEGY INC. DE 8.01 11/14/12 E TRADE FINANCIAL Corp DE 1.01,8.01,9.01 11/14/12 EATON VANCE CORP MD 8.01,9.01 11/12/12 EBIX INC DE 5.07 11/13/12 Eco Energy Pumps, Inc. NV 1.01,4.01,4.02 11/13/12 EMCORE CORP NJ 8.01 11/09/12 Emrise CORP DE 2.02,7.01,9.01 11/12/12 ENERGY FOCUS, INC/DE DE 2.02,9.01 11/14/12 ENTREMED INC DE 2.02,9.01 11/14/12 ENVIVIO INC DE 2.02,9.01 11/13/12 EPICEPT CORP 2.02,8.01,9.01 11/14/12 EQM Technologies & Energy, Inc. DE 2.02,9.01 11/14/12 EQUITY ONE, INC. 2.02,7.01 11/14/12 ERBA Diagnostics, Inc. DE 2.02,9.01 11/14/12 ETHAN ALLEN INTERIORS INC DE 5.07 11/13/12 Eureka Financial Corp. 2.02,9.01 11/09/12 EXAR CORP DE 4.01,9.01 11/12/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/08/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/09/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/08/12 Federal Home Loan Bank of Topeka 2.03,9.01 11/08/12 FedFirst Financial Corp 8.01,9.01 11/14/12 FIDUS INVESTMENT Corp MD 5.02,9.01 11/13/12 FIELDPOINT PETROLEUM CORP CO 2.02,7.01,9.01 11/14/12 FIFTH THIRD BANCORP OH 7.01,9.01 11/14/12 First American Financial Corp DE 1.01,9.01 11/14/12 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/14/12 FIRST MARBLEHEAD CORP 5.07,7.01,9.01 11/13/12 FIRST MID ILLINOIS BANCSHARES INC DE 8.01 11/13/12 FIRST NATIONAL CORP /VA/ VA 5.02,9.01 11/07/12 FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 11/14/12 FIRSTCITY FINANCIAL CORP DE 2.02,9.01 11/14/12 FLOTEK INDUSTRIES INC/CN/ DE 1.01,8.01,9.01 11/12/12 FLUOR CORP DE 1.01,1.02,2.03 11/09/12 FOREST OIL CORP NY 5.02,8.01,9.01 11/12/12 Fortegra Financial Corp DE 5.02 11/07/12 FRESH START PRIVATE MANAGEMENT, INC. NV 4.01,9.01 11/14/12 FriendFinder Networks Inc. NV 2.02,9.01 11/14/12 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 11/14/12 FS Energy & Power Fund DE 2.02,9.01 11/14/12 FS Investment CORP MD 2.02,9.01 11/14/12 FS Investment Corp II MD 2.02,9.01 11/14/12 Fuelstream INC DE 5.02 11/13/12 FutureFuel Corp. DE 8.01,9.01 11/14/12 G&K SERVICES INC MN 5.07 11/08/12 GARDNER DENVER INC DE 7.01,9.01 11/13/12 GCI INC AK 8.01,9.01 11/09/12 GE Dealer Floorplan Master Note Trust DE 1.01,6.05,9.01 11/09/12 GELTOLOGY INC DE 1.01,2.01 07/11/12 AMEND GENERAL COMMUNICATION INC AK 8.01,9.01 11/09/12 General Finance CORP DE 7.01,9.01 11/13/12 GENERAL STEEL HOLDINGS INC NV 7.01,9.01 11/07/12 GENESIS GROUP HOLDINGS INC 1.01,5.02,9.01 11/01/12 GEORGIA GULF CORP /DE/ DE 8.01,9.01 11/14/12 GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 11/14/12 GeoVax Labs, Inc. DE 2.02,9.01 11/14/12 Global Eagle Acquisition Corp. DE 1.01,3.02,9.01 11/08/12 Global Telecom & Technology, Inc. DE 2.02,9.01 11/14/12 Globalstar, Inc. DE 2.02,7.01,9.01 11/14/12 Gold & Gemstone Mining Inc. NV 2.01,5.01,5.02,5.06, 05/04/12 AMEND 9.01 Golub Capital BDC, Inc. DE 8.01 11/14/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/09/12 Graystone Co DE 3.02 11/13/12 Griffin Capital Net Lease REIT, Inc. 7.01,9.01 11/14/12 Griffin Capital Net Lease REIT, Inc. 7.01,8.01,9.01 11/08/12 GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 11/14/12 GRIFFIN LAND & NURSERIES INC DE 5.02,7.01,9.01 11/13/12 Griffin-American Healthcare REIT II, MD 7.01,9.01 11/14/12 GSE SYSTEMS INC DE 9.01 09/30/12 Gulf United Energy, Inc. NV 8.01 11/14/12 GULFMARK OFFSHORE INC DE 7.01,9.01 11/13/12 HALCON RESOURCES CORP DE 5.02 11/08/12 Hallwood Group Inc DE 2.02,9.01 11/13/12 HANGER, INC. DE 7.01,9.01 11/14/12 HAWTHORN BANCSHARES, INC. MO 2.02,9.01 11/14/12 HEINZ H J CO PA 5.02,9.01 11/14/12 HERITAGE FINANCIAL CORP /WA/ WA 8.01,9.01 11/14/12 Heron Lake BioEnergy, LLC MN 5.02 11/12/12 HIGHWATER ETHANOL LLC 5.02 11/09/12 HOT TOPIC INC /CA/ CA 2.02,8.01,9.01 11/14/12 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 5.02 11/08/12 HPC POS SYSTEM, CORP. NV 4.02 11/13/12 HPC POS SYSTEM, CORP. NV 4.02 11/12/12 AMEND IDERA PHARMACEUTICALS, INC. DE 1.01,3.02,3.03,5.02, 11/09/12 5.03,9.01 IDS Solar Technologies, Inc. NV 1.01,9.01 11/08/12 IHS Inc. DE 7.01,9.01 11/14/12 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 4.01,9.01 11/14/12 INFOSONICS CORP 2.02,9.01 11/14/12 InfuSystem Holdings, Inc DE 2.02,9.01 11/14/12 INLAND REAL ESTATE CORP MD 8.01,9.01 11/13/12 INTEGRAL TECHNOLOGIES INC NV 1.01,5.02,9.01 11/14/12 INTEGRYS ENERGY GROUP, INC. WI 5.02 11/08/12 INTELLIGENT SYSTEMS CORP GA 2.02,9.01 11/14/12 INTELLIGENT SYSTEMS CORP GA 4.02 11/08/12 InterCore Energy, Inc. DE 8.01 11/14/12 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 11/14/12 Intrepid Potash, Inc. DE 7.01,9.01 11/14/12 IsoRay, Inc. MN 2.02,9.01 11/14/12 IsoRay, Inc. MN 2.02,9.01 11/14/12 ITC Holdings Corp. MI 5.02,8.01 11/08/12 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 11/13/12 JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 11/14/12 JDA SOFTWARE GROUP INC DE 8.01,9.01 11/14/12 JOHNSON OUTDOORS INC WI 7.01,9.01 11/14/12 KB HOME DE 5.02 11/08/12 KENNAMETAL INC PA 5.02,9.01 11/12/12 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 11/14/12 KINGOLD JEWELRY, INC. DE 8.01,9.01 11/13/12 LANDEC CORP \CA\ CA 5.02 11/13/12 LaPorte Bancorp, Inc. MD 8.01,9.01 11/08/12 Laredo Petroleum Holdings, Inc. DE 7.01,9.01 11/14/12 Leatt Corp NV 2.02,9.01 11/14/12 Leo Motors, Inc. 5.02 10/15/12 Lifevantage Corp CO 8.01,9.01 11/14/12 LMI AEROSPACE INC MO 5.02,7.01,9.01 11/08/12 Longhai Steel Inc. NV 5.02 11/13/12 MACK CALI REALTY CORP MD 1.01,7.01,9.01 11/13/12 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,8.01,9.01 11/07/12 MAKO Surgical Corp. DE 8.01,9.01 11/14/12 Marina Biotech, Inc. DE 1.01,9.01 05/03/12 AMEND MARKWEST ENERGY PARTNERS L P 7.01,9.01 11/13/12 Marlborough Software Development Hold DE 2.02,9.01 11/14/12 Matson, Inc. HI 7.01,9.01 11/14/12 MATTSON TECHNOLOGY INC DE 3.01 11/14/12 MEDICAL ALARM CONCEPTS HOLDINGS INC NV 7.01 11/14/12 MEDIFAST INC DE 5.02,9.01 11/13/12 MEDIWARE INFORMATION SYSTEMS INC NY 5.03,9.01 11/09/12 AMEND MERITOR INC IN 2.02,2.05,9.01 11/14/12 MERRIMACK PHARMACEUTICALS INC DE 1.01,2.02,2.03,9.01 11/08/12 MONDIAL VENTURES, INC. NV 1.01,2.01,3.02,9.01 10/30/12 MONITRONICS INTERNATIONAL INC TX 2.03 11/07/12 MOSAIC CO 7.01,9.01 11/13/12 MRI INTERVENTIONS, INC. DE 2.02,9.01 11/14/12 MSB FINANCIAL CORP. X1 8.01 11/12/12 NATIONAL BANKSHARES INC VA 5.02 11/14/12 NATIONAL BANKSHARES INC VA 8.01,9.01 11/14/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 11/13/12 AMEND Neiman Marcus, Inc. DE 8.01,9.01 11/14/12 Neonode, Inc DE 2.02,9.01 11/14/12 NeoStem, Inc. DE 1.02,2.01,2.05,2.06, 11/13/12 8.01,9.01 NeoStem, Inc. DE 2.02,7.01,9.01 11/14/12 NetApp, Inc. CA 2.02,7.01,9.01 11/14/12 NETSOL TECHNOLOGIES INC NV 2.02,9.01 11/14/12 NeurogesX Inc CA 1.01,2.03,3.02,5.02 11/12/12 NeurogesX Inc CA 2.02,8.01,9.01 11/14/12 New Concept Energy, Inc. NV 2.02,9.01 11/13/12 NEWFIELD EXPLORATION CO /DE/ DE 5.02,9.01 11/09/12 NEWLINK GENETICS CORP 8.01,9.01 11/14/12 NEWS CORP 8.01,9.01 11/14/12 NORDSTROM INC WA 8.01,9.01 11/13/12 NUTRI SYSTEM INC /DE/ DE 1.01,1.02,2.03,9.01 11/08/12 OFFICE DEPOT INC DE 3.03,8.01,9.01 11/09/12 OLD POINT FINANCIAL CORP VA 7.01,9.01 11/14/12 Onteco Corp NV 1.01,3.02,9.01 10/25/12 Opexa Therapeutics, Inc. TX 2.02,9.01 11/14/12 Opexa Therapeutics, Inc. TX 7.01,9.01 11/14/12 OptimizeRx Corp NV 2.02 11/14/12 OptimizeRx Corp NV 2.02 11/14/12 AMEND ORBIT INTERNATIONAL CORP DE 2.02,9.01 11/13/12 Oritani Financial Corp DE 8.01 11/14/12 OSL HOLDINGS INC. 1.01 11/08/12 OVERLAND STORAGE INC CA 2.02,9.01 11/14/12 OXFORD INDUSTRIES INC GA 5.02 11/14/12 PALATIN TECHNOLOGIES INC DE 2.02,9.01 11/14/12 PANERA BREAD CO DE 5.02 11/14/12 PARK NATIONAL CORP /OH/ OH 7.01,9.01 11/14/12 PC CONNECTION INC DE 5.02 11/12/12 Pebblebrook Hotel Trust MD 7.01,9.01 11/12/12 PennantPark Floating Rate Capital Ltd 2.02,9.01 11/14/12 PENNANTPARK INVESTMENT CORP 2.02,9.01 11/14/12 PEREGRINE PHARMACEUTICALS INC DE 3.01,9.01 11/14/12 Pernix Group, Inc. 5.07 11/12/12 PETSMART INC DE 2.02,5.02,9.01 11/13/12 PHARMOS CORP NV 8.01 11/08/12 PIEDMONT NATURAL GAS CO INC NC 1.01 11/09/12 PILGRIMS PRIDE CORP DE 7.01,9.01 11/13/12 PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 11/13/12 PostRock Energy Corp DE 8.01 11/13/12 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 11/12/12 PRIVATEBANCORP, INC DE 8.01,9.01 11/14/12 PROGRESSIVE CORP/OH/ OH 7.01,9.01 11/14/12 QKL Stores Inc. DE 2.02,9.01 11/14/12 QUANTUM CORP /DE/ DE 2.05 11/08/12 Raider Ventures Inc. NV 4.01,9.01 11/02/12 RAIT Financial Trust MD 7.01,9.01 11/14/12 Rand Logistics, Inc. DE 7.01,9.01 11/08/12 RealD Inc. DE 5.03 11/13/12 RealD Inc. DE 8.01,9.01 11/14/12 RED MOUNTAIN RESOURCES, INC. FL 5.07 11/14/12 REGIONS FINANCIAL CORP DE 7.01,9.01 11/14/12 RELM WIRELESS CORP NV 2.02,9.01 11/14/12 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 11/14/12 Revel AC, Inc. DE 8.01,9.01 11/14/12 RigNet, Inc. DE 7.01,9.01 11/13/12 ROCKWELL COLLINS INC DE 5.02,9.01 11/14/12 ROSETTA STONE INC 5.02,9.01 11/13/12 ROYAL GOLD INC DE 8.01,9.01 11/14/12 RXi Pharmaceuticals Corp DE 2.02,9.01 11/14/12 S Y BANCORP INC KY 8.01,9.01 11/13/12 SAFEGUARD SCIENTIFICS INC PA 8.01,9.01 11/14/12 Samson Oil & Gas LTD C3 5.07,9.01 11/09/12 SANFILIPPO JOHN B & SON INC DE 7.01,9.01 11/14/12 Santa Fe Petroleum, Inc. DE 1.01,2.01,3.02,5.01, 11/14/12 AMEND 5.02,5.06 SATCON TECHNOLOGY CORP DE 3.01 11/12/12 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 11/08/12 SEARS HOLDINGS CORP DE 8.01,9.01 11/14/12 SEMPRA ENERGY CA 5.02 11/13/12 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 11/14/12 SERVICEMASTER CO DE 2.02,9.01 11/14/12 Seven Seas Cruises S. DE R.L. R1 5.02 11/14/12 Shengkai Innovations, Inc. FL 2.02,9.01 11/14/12 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 11/14/12 Shiner International, Inc. NV 2.02,9.01 11/14/12 SILVER HORN MINING LTD. DE 1.01,3.02,9.01 11/08/12 Solar Power, Inc. CA 2.02,9.01 11/14/12 SOLAZYME INC DE 2.02,9.01 11/14/12 SOUTH AMERICAN GOLD CORP. NV 4.01,9.01 11/13/12 SPAR GROUP INC DE 5.02,9.01 11/08/12 Spectrum Brands Holdings, Inc. DE 2.02,9.01 11/14/12 SPECTRUM GROUP INTERNATIONAL, INC. DE 5.03,9.01 11/12/12 Spirit Airlines, Inc. DE 7.01,9.01 11/13/12 SPRINT NEXTEL CORP KS 8.01,9.01 11/08/12 Spy Inc. DE 2.02,9.01 11/13/12 STANCORP FINANCIAL GROUP INC OR 8.01,9.01 11/13/12 STANCORP FINANCIAL GROUP INC OR 5.02,9.01 11/12/12 STAPLES INC DE 2.02,9.01 11/14/12 STEINWAY MUSICAL INSTRUMENTS INC DE 8.01 11/10/12 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 11/08/12 STRATUS PROPERTIES INC DE 2.02,9.01 11/14/12 SUBURBAN PROPANE PARTNERS LP DE 5.02,9.01 11/13/12 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 11/14/12 Sucampo Pharmaceuticals, Inc. 7.01,9.01 11/14/12 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 11/14/12 Surna Inc. NV 4.01 11/10/12 Sutor Technology Group LTD 2.02,7.01,9.01 11/14/12 SW China Imports, Inc. NV 5.02,9.01 11/13/12 SYNERGY PHARMACEUTICALS, INC. DE 2.02,8.01,9.01 11/13/12 SYNERGY RESOURCES CORP CO 8.01,9.01 11/13/12 Synthetic Biologics, Inc. NV 2.02,9.01 11/14/12 TALON INTERNATIONAL, INC. DE 2.02,9.01 11/14/12 Talon Therapeutics, Inc. DE 2.02,9.01 11/14/12 TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 11/14/12 TECHPRECISION CORP 2.02,7.01,9.01 11/14/12 TELKONET INC UT 2.02,9.01 11/14/12 TESSERA TECHNOLOGIES INC DE 2.05,9.01 11/14/12 THERMOENERGY CORP DE 1.02 11/13/12 THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 11/14/12 Titanium Group LTD D8 1.01,9.01 09/10/12 TITANIUM METALS CORP DE 1.01,7.01,9.01 11/09/12 AMEND TNP Strategic Retail Trust, Inc. MD 1.01,2.01,2.03,5.02, 11/09/12 7.01,9.01 Tonix Pharmaceuticals Holding Corp. NV 1.01,3.02,8.01,9.01 11/14/12 TORTOISE CAPITAL RESOURCES CORP 5.03,9.01 11/12/12 TRIG ACQUISITION 1, INC NV 1.01,3.02 11/08/12 Trunkbow International Holdings Ltd NV 8.01,9.01 11/14/12 TRUSTCO BANK CORP N Y NY 8.01,9.01 11/14/12 TRX INC/GA GA 2.02,9.01 09/30/12 TUCOWS INC /PA/ PA 2.02,9.01 11/13/12 Twin Cities Power Holdings, LLC MN 2.02,9.01 11/14/12 Two Harbors Investment Corp. 7.01,9.01 11/13/12 Two Harbors Investment Corp. 8.01,9.01 11/14/12 TYCO INTERNATIONAL LTD V8 2.02,9.01 11/14/12 UIL HOLDINGS CORP CT 7.01,9.01 11/14/12 UNILENS VISION INC 8.01,9.01 11/14/12 UNITED BANCORP INC /MI/ MI 7.01,8.01 11/13/12 UNITED INSURANCE HOLDINGS CORP. DE 2.02,9.01 11/14/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 4.02 11/14/12 AMEND USA TRUCK INC DE 1.01,3.03,5.02,5.03, 11/07/12 8.01,9.01 VALERO ENERGY CORP/TX DE 5.02,9.01 11/09/12 VALUEVISION MEDIA INC MN 2.02,9.01 11/14/12 VERSAR INC DE 5.07 11/13/12 Verso Paper Corp. DE 2.02,9.01 11/13/12 VIASAT INC DE 1.02 11/14/12 VIEWCAST COM INC DE 2.02,9.01 11/14/12 VISTEON CORP DE 7.01,9.01 11/14/12 VOICESERVE INC DE 4.02 11/09/12 Vringo Inc DE 7.01,9.01 11/14/12 Vringo Inc DE 2.02,9.01 11/14/12 WATSON PHARMACEUTICALS INC NV 5.02,9.01 11/12/12 WEBSTER FINANCIAL CORP DE 7.01 11/14/12 WERNER ENTERPRISES INC NE 7.01,9.01 11/13/12 Western Asset Mortgage Capital Corp DE 2.02,9.01 11/09/12 Willbros Group, Inc.\NEW\ 2.02,9.01 11/08/12 WILLIAMS SONOMA INC CA 2.02,9.01 11/14/12 WIRELESS TELECOM GROUP INC NJ 2.02,7.01,9.01 11/14/12 XERIUM TECHNOLOGIES INC DE 2.05,9.01 11/14/12 YTB International, Inc. DE 5.02 11/07/12 Zayo Group LLC DE 9.01 08/31/12 AMEND ZIONS BANCORPORATION /UT/ UT 9.01 11/14/12 Zumiez Inc WA 8.01 11/13/12
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