Securities and Exchange Commission Suspends Trading in the Securities of Eight Issuers For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on December 28, 2012 and terminating at 11:59 p.m. EST on January 11, 2013.
The Commission temporarily suspended trading in the securities of these eight issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. 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 these companies.
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 companies 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 these companies that have 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. 34-68545)
Securities and Exchange Commission Suspends Trading in the Securities of Southridge Enterprises, Inc.
The Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Southridge Enterprises, Inc. ("Southridge"), of Dallas, Texas, commencing at 9:30 a.m. EST on December 28, 2012, and terminating at 11:59 p.m. EST on January 11, 2013.
The Commission temporarily suspended trading in the securities of Southridge because of questions regarding the accuracy of statements made by Southridge in press releases to investors concerning, among other things, the company’s business operations and arrangements, including certain claims regarding a joint partnership and an arrangement to obtain funding and to change the listing venue for Southridge stock.
The Commission cautions broker-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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Southridge’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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.
Any broker-dealer or other person with information relating to this matter is invited to contact Osman Handoo, Senior Counsel, in the Washington, D.C. office of the Securities and Exchange Commission, at (202) 551-4536. (Rel. 34-68546)
Commission Orders Hearings on Registration Suspension or Revocation Against Eight Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68544; File No. 3-15160)
Foreside Advisor Services, LLC, et al.
An order has been issued on application filed by Foreside Advisor Services, LLC, et al. to permit: (a) certain open-end management investment companies or series thereof 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-30318 - December 27)
Orders of Deregistration Under The Investment Company Act of 1940
Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by BATS Exchange, Inc. to extend the penny pilot program (SR-BATS-2012-048) 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 December 31. (Rel. 34-68516)
A proposed rule change, (SR-BX-2012-076), filed by NASDAQ OMX BX, Inc., relating to extension of the Exchange’s Penny Pilot Program 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 December 31. (Rel. 34-68518)
A proposed rule change, (SR-Phlx-2012-143), filed by NASDAQ OMX PHLX LLC, relating to extension of the Exchange’s Penny Pilot Program and replacement of Penny Pilot issues that have been delisted 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 December 31. (Rel. 34-68534)
A proposed rule change filed by New York Stock Exchange LLC amending the Price List to waive certain fees for Floor brokers for November and December 2012 (SR-NYSE-2012-71) 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 December 31. (Rel. 34-68538)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-125) to extend its Credit Option Margin Pilot Program through January 17, 2014 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68539)
ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-18) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend SPAN margin parameters for ICE OTC Natural Gas Liquids Contracts. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68540)
ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-19) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to Delivery Margin rates for physically deliverable contracts for Energy Clearing Members. Publication is expected in the Federal Register during the week of December 31. (Rel. 34-68541)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 SECURITY NATIONAL FINANCIAL CORP, PO BOX 57220, SALT LAKE CITY, UT, 84157, 8012641060 - 3,137,450 ($4,412.15) Equity, (File 333-185696 - Dec. 27) (BR. 07C) S-1 SeaWorld Entertainment, Inc., 9205 SOUTH PARK CENTER LOOP, SUITE 400, ORLANDO, FL, 32819, (407) 226-5011 - 0 ($100,000,000.00) Equity, (File 333-185697 - Dec. 27) (BR. 05) S-8 EMCORE CORP, 10420 RESEARCH ROAD, SE, ALBUQUERQUE, NM, 87123, 505-332-5000 - 500,000 ($1,804,100.00) Equity, (File 333-185698 - Dec. 27) (BR. 10A) S-8 EMCORE CORP, 10420 RESEARCH ROAD, SE, ALBUQUERQUE, NM, 87123, 505-332-5000 - 1,000,000 ($4,245,000.00) Equity, (File 333-185699 - Dec. 27) (BR. 10A) S-3 APPLIED DNA SCIENCES INC, 25 HEALTH SCIENCES DRIVE, SUITE 113, STONY BROOK, NY, 11790, 631 444 6861 - 0 ($27,520,161.08) Equity, (File 333-185700 - Dec. 27) (BR. 06C) S-3ASR TAUBMAN CENTERS INC, 200 E LONG LAKE RD, SUITE 300 P O BOX 200, BLOOMFIELD HILLS, MI, 48303-0200, 2482586800 - 1,319,716 ($102,370,370.12) Equity, (File 333-185702 - Dec. 27) (BR. 08C) S-8 PROGRESSIVE CORP/OH/, 6300 WILSON MILLS RD, MAYFIELD VILLAGE, OH, 44143, 4404615000 - 10,000,000 ($213,250,000.00) Equity, (File 333-185703 - Dec. 27) (BR. 01B) S-8 PROGRESSIVE CORP/OH/, 6300 WILSON MILLS RD, MAYFIELD VILLAGE, OH, 44143, 4404615000 - 7,500,000 ($159,937,500.00) Equity, (File 333-185704 - Dec. 27) (BR. 01B) S-8 THERAPEUTIC SOLUTIONS INTERNATIONAL, INC., 4093 OCEANSIDE BLVD, SUITE B, OCEANSIDE, CA, 92056, (760) 295-7208 - 12,000,000 ($360,000.00) Equity, (File 333-185712 - Dec. 27) (BR. 03B) S-4 DJO Finance LLC, 1430 DECISION STREET, VISTA, CA, 92081, 760-727-1280 - 0 ($770,000,000.00) Debt, (File 333-185713 - Dec. 27) (BR. 10A) S-1 Li3 Energy, Inc., AV. PARDO Y ALIAGA, 699 OF. 802, LIMA 27, R5, 00000, 011 (511) 212-1880 - 127,850,000 ($6,392,500.00) Equity, (File 333-185714 - Dec. 27) (BR. 06C) S-4 MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA, 23060-3382, 8047470136 - 0 ($1,956,777,230.00) Equity, (File 333-185715 - Dec. 27) (BR. 01B) S-8 RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL, CA, 95008, 4086263800 - 1,250,000 ($816,500.00) Equity, (File 333-185716 - Dec. 27) (BR. 08C) S-8 KEYW HOLDING CORP, 7740 MILESTONE PARKWAY,, SUITE 400, HANOVER, MD, 21076, (443) 733-1600 - 2,000,000 ($25,040,000.00) Equity, (File 333-185718 - Dec. 27) (BR. 03C)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- ACADIA REALTY TRUST MD 2.01,9.01 12/20/12 ACCESS MIDSTREAM PARTNERS LP DE 5.01,5.02,9.01 12/20/12 ACCURAY INC DE 1.01 12/21/12 ACL SEMICONDUCTORS INC 8.01,9.01 12/27/12 ACTIVE POWER INC DE 3.03,9.01 12/21/12 ADA-ES INC CO 1.01,8.01,9.01 12/21/12 ADCARE HEALTH SYSTEMS INC OH 1.01,1.02,2.03 12/20/12 Aegerion Pharmaceuticals, Inc. DE 8.01,9.01 12/21/12 AIR METHODS CORP DE 1.01,9.01 12/20/12 ALLBRITTON COMMUNICATIONS CO DE 5.07 12/21/12 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 2.01,5.06,9.01 12/24/12 American Realty Capital Properties, I MD 7.01,9.01 12/27/12 American Realty Capital Trust, Inc. DE 7.01,9.01 12/27/12 American Reprographics CO DE 5.03,9.01 12/24/12 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 12/27/12 AMERISTAR CASINOS INC NV 5.02 12/26/12 AMYRIS, INC. DE 1.01,3.02 12/24/12 Ancestry.com Inc. DE 5.07,8.01,9.01 12/27/12 Antero Resources LLC DE 1.01,2.01,9.01 12/21/12 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 12/27/12 AV Homes, Inc. DE 5.02 12/20/12 Babcock & Wilcox Co DE 7.01,9.01 12/27/12 BAY BANKS OF VIRGINIA INC VA 8.01 12/27/12 BAZI INTERNATIONAL, INC. NV 9.01 12/26/12 AMEND BENACO, INC. NV 2.01,5.03,9.01 11/12/12 AMEND BIO REFERENCE LABORATORIES INC NJ 1.01,9.01 12/21/12 BIOANALYTICAL SYSTEMS INC IN 1.01,2.02,9.01 12/21/12 Bonds.com Group, Inc. DE 5.07 12/20/12 BRANDYWINE REALTY TRUST MD 8.01 12/27/12 CALPINE CORP DE 5.02,9.01 12/21/12 AMEND Cape Bancorp, Inc. MD 5.02,9.01 12/20/12 Capital Group Holdings, Inc. MN 1.01 09/06/12 AMEND CAPITAL PROPERTIES INC /RI/ RI 2.03,9.01 12/20/12 CAREFUSION Corp 8.01 12/27/12 CarePayment Technologies, Inc. OR 1.01,9.01 12/20/12 CATALYST PHARMACEUTICAL PARTNERS, INC DE 3.01,9.01 12/24/12 CC Media Holdings Inc 1.01,2.03,9.01 12/24/12 Cellceutix CORP NV 7.01 12/21/12 CENTERLINE HOLDING CO DE 5.02,9.01 12/21/12 Cereplast Inc NV 5.07 12/21/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 12/27/12 CHENIERE ENERGY INC DE 1.01,8.01,9.01 12/20/12 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 12/20/12 CHESAPEAKE ENERGY CORP OK 2.01,9.01 12/20/12 China Biologic Products, Inc. 5.02 12/27/12 CHINA RECYCLING ENERGY CORP 8.01 12/20/12 CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02,5.07 12/20/12 CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,2.03,9.01 12/24/12 COMM 2012-CCRE5 Mortgage Trust DE 9.01 12/11/12 AMEND COMMERCE GROUP CORP /WI/ 8.01 12/19/12 CONAGRA FOODS INC /DE/ DE 1.01,2.03,9.01 12/21/12 CONTINENTAL AIRLINES INC /DE/ DE 8.01,9.01 12/27/12 CORONADO BIOSCIENCES INC DE 1.01,9.01 12/21/12 Cryoport, Inc. NV 8.01 12/20/12 CSG SYSTEMS INTERNATIONAL INC DE 1.01 12/21/12 CUMULUS MEDIA INC DE 1.01,9.01 12/27/12 CVR ENERGY INC DE 1.01,1.02,2.03,9.01 12/20/12 DELTA APPAREL, INC GA 5.02 12/21/12 Digital Cinema Destinations Corp. DE 5.07 12/27/12 DISH Network CORP NV 1.01,2.03,9.01 12/27/12 DORAL FINANCIAL CORP PR 5.02,9.01 12/26/12 Duke Energy CORP DE 7.01 12/27/12 DUNE ENERGY INC DE 7.01,9.01 12/27/12 Energy Future Holdings Corp /TX/ TX 5.02 12/20/12 ERHC Energy Inc CO 8.01,9.01 12/27/12 EV Energy Partners, LP DE 1.01,7.01,9.01 12/20/12 ExamWorks Group, Inc. DE 5.02 12/21/12 FARMERS & MERCHANTS BANCORP INC OH 5.02 12/26/12 Federal Home Loan Bank of Atlanta X1 2.03 12/19/12 Federal Home Loan Bank of Boston X1 2.03 12/20/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/27/12 Federal Home Loan Bank of Indianapoli X1 5.02 12/27/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/24/12 FIDELITY SOUTHERN CORP GA 5.02,9.01 12/21/12 First Connecticut Bancorp, Inc. MD 7.01,9.01 12/27/12 FLUIDIGM CORP DE 1.01,9.01 12/21/12 FTI CONSULTING INC MD 8.01,9.01 12/27/12 Fushi Copperweld, Inc. NV 3.01,3.03,5.01,5.02, 12/26/12 5.03,9.01 GALLAGHER ARTHUR J & CO DE 8.01,9.01 12/27/12 GEORGIA GULF CORP /DE/ DE 8.01 12/27/12 GLOBAL EARTH ENERGY, INC. NV 1.01,9.01 12/27/12 Global Growth Trust, Inc. MD 1.01,2.01,2.03,9.01 12/20/12 GOLDEN STAR RESOURCES LTD 5.02 12/20/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 12/21/12 Graymark Healthcare, Inc. OK 4.01 12/21/12 GSE SYSTEMS INC DE 5.02,9.01 12/20/12 HARDINGE INC NY 1.01 12/20/12 HARDINGE INC NY 1.01,2.03 12/20/12 HEALTH DISCOVERY CORP 2Q 5.02 12/18/12 HINTO ENERGY, INC WY 1.01,3.02,8.01 12/18/12 HUDSON TECHNOLOGIES INC /NY NY 5.02 12/20/12 ICAHN ENTERPRISES L.P. DE 8.01 12/20/12 IGI LABORATORIES, INC DE 1.01,3.02,9.01 12/20/12 IMAGE SENSING SYSTEMS INC MN 1.01,9.01 12/24/12 INFERX CORP DE 5.02,9.01 12/21/12 Infinity Resources Holdings Corp. NV 9.01 10/17/12 AMEND Infor, Inc. 5.02 12/20/12 INFORMATION SYSTEMS ASSOCIATES, INC. FL 5.02 12/26/12 Innophos Holdings, Inc. 1.01,8.01 12/21/12 INREIT Real Estate Investment Trust ND 1.01,9.01 12/20/12 INTERCONTINENTALEXCHANGE INC DE 1.01 12/20/12 INVACARE CORP OH 2.05,8.01,9.01 12/21/12 KANSAS CITY SOUTHERN DE 7.01,9.01 12/26/12 LBI MEDIA HOLDINGS INC 7.01,9.01 12/27/12 LIN TV CORP. DE 1.01,2.03,9.01 12/24/12 M I HOMES INC OH 5.02,9.01 12/27/12 MAGICJACK VOCALTEC LTD L3 8.01 12/27/12 MARVELL TECHNOLOGY GROUP LTD D0 8.01,9.01 12/26/12 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 12/27/12 MidWestOne Financial Group, Inc. IA 5.02,9.01 12/27/12 MOBILE MINI INC DE 5.02 12/26/12 MONROE CAPITAL Corp MD 2.03,7.01,9.01 12/26/12 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 12/26/12 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 12/27/12 MSB FINANCIAL CORP. X1 5.02 12/26/12 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02 12/20/12 NANOVIRICIDES, INC. NV 1.01,9.01 12/21/12 New Mountain Finance Corp DE 7.01,9.01 12/27/12 NEWS CORP 8.01,9.01 12/27/12 NGP Capital Resources Co MD 3.01 09/25/12 AMEND NIKE INC OR 2.02,9.01 12/20/12 NYSE Euronext DE 1.01 12/20/12 Oaktree Capital Group, LLC DE 1.01,1.02,2.03,9.01 12/21/12 OMEROS CORP WA 8.01,9.01 12/27/12 Onstream Media CORP FL 3.03,5.03,9.01 12/21/12 ORBCOMM Inc. DE 1.01,1.02 12/21/12 ORIGINOIL INC NV 1.01 12/20/12 OXIGENE INC DE 3.01,5.07,8.01,9.01 12/21/12 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 12/24/12 Panache Beverage, Inc. 1.01,2.03,3.02,5.02 12/21/12 PAREXEL INTERNATIONAL CORP MA 1.01,2.03,9.01 12/20/12 PATRIOT TRANSPORTATION HOLDING INC FL 1.01,2.03 12/27/12 PediatRx Inc. NV 5.02 12/27/12 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 8.01 12/21/12 Petron Energy II, Inc. NV 8.01 12/27/12 PINNACLE AIRLINES CORP DE 1.01 12/26/12 PostRock Energy Corp DE 7.01,9.01 12/27/12 PPG INDUSTRIES INC PA 8.01,9.01 12/27/12 QUALSTAR CORP CA 1.01 12/27/12 RECOVERY ENERGY, INC. NV 7.01,9.01 12/27/12 Revel AC, Inc. DE 1.01,2.03,3.03,7.01, 12/20/12 9.01 Revolution Lighting Technologies, Inc DE 1.01,2.01,2.04,3.02, 12/20/12 3.03,5.03,9.01 ROBBINS & MYERS, INC. OH 5.07,8.01,9.01 12/27/12 ROYAL CARIBBEAN CRUISES LTD 8.01,9.01 12/27/12 RR Donnelley & Sons Co DE 5.02 12/27/12 RVPlus Inc. DE 1.01,9.01 12/27/12 SAFEGUARD SCIENTIFICS INC PA 1.01,9.01 12/21/12 SALISBURY BANCORP INC CT 5.02,9.01 12/21/12 Santander Holdings USA, Inc. VA 8.01,9.01 12/27/12 SEABOARD CORP /DE/ DE 1.02,5.02 12/21/12 SECURITY NATIONAL FINANCIAL CORP UT 8.01,9.01 12/19/12 Shire plc 8.01,9.01 12/27/12 SIMPSON MANUFACTURING CO INC /CA/ DE 8.01 12/21/12 SMITH & WESSON HOLDING CORP NV 8.01,9.01 12/27/12 SOLIGENIX, INC. DE 1.01,9.01 12/20/12 SOUTHWEST BANCORP INC OK 5.02,5.03,9.01 12/20/12 SPIRE Corp MA 1.01,3.01 12/20/12 Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 12/20/12 9.01 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 12/17/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 12/17/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 12/17/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 12/17/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 12/17/12 SUNTRUST BANKS INC GA 8.01,9.01 12/26/12 SUPREME INDUSTRIES INC DE 5.02 12/21/12 Swisher Hygiene Inc. DE 5.02,9.01 12/21/12 SWORDFISH FINANCIAL, INC. MN 5.02 12/26/12 SYNCHRONOSS TECHNOLOGIES INC 1.01,2.01,8.01,9.01 12/24/12 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 12/27/12 SYNTHESIS ENERGY SYSTEMS INC DE 1.01,8.01,9.01 12/21/12 TAIWAN FUND INC DE 7.01,9.01 11/30/12 TEAM HEALTH HOLDINGS INC. DE 8.01,9.01 12/19/12 TELOS CORP MD 8.01,9.01 12/18/12 TESORO CORP /NEW/ DE 5.02,9.01 12/20/12 TESSCO TECHNOLOGIES INC DE 5.02,9.01 12/25/12 Texas Rare Earth Resources Corp. DE 8.01 12/27/12 Timberline Resources Corp DE 7.01,9.01 12/26/12 Tonix Pharmaceuticals Holding Corp. NV 1.01,3.02,8.01,9.01 12/21/12 Tonix Pharmaceuticals Holding Corp. NV 1.01,3.02,8.01,9.01 12/21/12 AMEND TORVEC INC NY 5.02,9.01 12/20/12 TrovaGene Inc. DE 7.01,9.01 12/27/12 ULURU INC. NV 1.01,3.02,7.01,9.01 12/27/12 UMH PROPERTIES, INC. MD 7.01,9.01 12/27/12 United Continental Holdings, Inc. DE 7.01,9.01 12/27/12 United Financial Bancorp, Inc. 8.01 12/20/12 United States 12 Month Natural Gas Fu 7.01,9.01 12/27/12 United States 12 Month Oil Fund, LP 7.01,9.01 12/27/12 United States Brent Oil Fund, LP DE 7.01,9.01 12/27/12 United States Commodity Index Funds T DE 7.01,9.01 12/27/12 United States Diesel-Heating Oil Fund DE 7.01,9.01 12/27/12 United States Gasoline Fund, LP DE 7.01,9.01 12/27/12 United States Natural Gas Fund, LP 7.01,9.01 12/27/12 United States Oil Fund, LP DE 7.01,9.01 12/27/12 United States Short Oil Fund, LP DE 7.01,9.01 12/27/12 UNS Energy Corp AZ 8.01 12/21/12 usell.com, Inc. DE 5.02 12/21/12 USG CORP DE 8.01 12/27/12 VMWARE, INC. DE 5.07 12/24/12 WEBSTER FINANCIAL CORP DE 5.02,9.01 12/21/12 WELLS FARGO & COMPANY/MN DE 9.01 12/27/12 Wheeler Real Estate Investment Trust, MD 1.01,9.01 12/20/12 ZaZa Energy Corp DE 2.01,7.01,9.01 12/27/12