David Grim Named Deputy Director of Commission’s Division of Investment Management
The Securities and Exchange Commission today announced that David Grim has been appointed Deputy Director of its Division of Investment Management. Mr. Grim has worked in the division for 17 years, most recently as Assistant Chief Counsel in its Office of Chief Counsel, and has received several awards for his legal and managerial work.
“We are pleased to welcome Dave to his new role as Deputy Director of the Division of Investment Management. He brings intellectual curiosity and extensive management experience, and is committed to our program of making the division an organization that grows through continuous improvement,” said Norm Champ, Director of the Division of Investment Management.
Mr. Grim joined the SEC in September 1995 as a Staff Attorney in the division’s Office of Investment Company Regulation. In January 1998, he moved to the division’s Office of Chief Counsel, where he has served in a variety of positions, including since September 2007 as Assistant Chief Counsel. Mr. Grim received the SEC Capital Markets Award in 2005, the SEC Supervisory Excellence Award in 2007, and the SEC Law and Policy Award in 2011.
“I am honored to have the opportunity to work with Norm and my dedicated colleagues in the division to carry out our vitally important mission on behalf of investors,” Mr. Grim said.
Mr. Grim graduated cum laude with a degree in Political Science from Duke University and received his law degree from George Washington University, where he was Managing Editor of the George Washington Journal of International Law and Economics.
The SEC’s Division of Investment Management works to protect investors, promote informed investment decisions, and facilitate innovation in investment products and services through regulation of the asset management industry. (Press Rel. 2013-5)
Commission Names Gregg E. Berman as Associate Director of the Office of Analytics and Research
The Commission today announced that Gregg E. Berman has been named Associate Director of the Office of Analytics and Research in the SEC’s Division of Trading and Markets.
Mr. Berman has been a senior advisor to the Director of the Division of Trading and Markets since June 2010, and joined the SEC staff in October 2009 as a senior advisor in the Division of Risk, Strategy, and Financial Innovation. In his new role, Mr. Berman will oversee the office established in 2012 to conduct research and analysis that will help inform the Commission’s policies on markets and market structure.
“Gregg’s analytical expertise and market background make him a tremendous asset for our new Office of Analytics and Research,” said John Ramsay, Acting Director of the Division of Trading and Markets. “In his time at the SEC, Gregg has worked on many complex issues, including an analysis of the causes of the May 6, 2011, ‘flash crash,’ on rulemaking to create a Consolidated Audit Trail, and on the many new rules for derivatives trading required by the Dodd-Frank Act.”
“I am excited to take on these new responsibilities and honored to have the opportunity to continue working with such a talented and dedicated set of colleagues, both within the division and across the entire SEC,” said Mr. Berman. “Though the markets may be complex, they are not impenetrable, and I am confident in our abilities to continue developing data-driven analyses to inform policy.”
The new office will provide expertise in quantitative data analysis, trading, portfolio management, and risk management, and will examine a wide variety of topics, ranging from market structure to new products and rule filings by exchanges. The use of data analysis to help inform the Commission’s policy decisions is central to the office’s mission and will be aided by the SEC’s recent acquisition of an advanced market data system, which will for the first time allow the staff to analyze trading using the same tools and technologies used by some of today’s most sophisticated market participants.
Before coming to the SEC, Mr. Berman was a co-founding partner of New York-based RiskMetrics Group, which focuses on risk management, corporate governance, and financial research and analysis. Mr. Berman served in various roles during his 11 years at the firm, most recently as the head of its global risk business. Mr. Berman holds a bachelor’s degree in physics from the Massachusetts Institute of Technology and doctorate in physics from Princeton University. (Press Rel. 2013-6)
Commission Orders Hearing on Registration Suspension or Revocation against Six Public Companies for Failure to Make Required Periodic Filings
The Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six 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 Administrative Law 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 Administrative Law 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. 34-68649; File No. 3-15174)
United States District Court Enters Final Judgments in Penny Stock Distribution Scheme Charged by the Commission
The Commission announced the entry of final judgments against each of the five defendants in SEC v. Christel S. Scucci, et al., Case No. 6:12-cv-646 (M.D. Fla.). The Commission’s complaint, filed on April 30, 2012, charged the defendants with a scheme to unlawfully acquire and sell shares of penny stock that were never registered for sale to the public, in violation of Section 5 of the Securities Act of 1933 (“Securities Act”).
On September 14, 2012, the United States District Court for the Middle District of Florida entered a final judgment by consent as to defendant Cameron H. Linton Esq. (“Linton”): (1) permanently enjoining him from violating Section 5 of the Securities Act, (2) permanently enjoining him from providing professional legal services to any person in connection with the offer or sale of securities pursuant to, or claiming, an exemption under Securities Act Rule 144, or any other exemption from the registration provisions of the Securities Act, including, without limitation, participating in the preparation of any opinion letter relating to such offerings, (3) permanently barring him from participating in an offering of penny stock, and (4) ordering him to pay $13,750, including disgorgement of $6,250, and a civil penalty of $7,500. Linton consented to the entry of the final judgment without admitting or denying the allegations of the complaint.
On November 5, 2012, the Court entered final judgments by default as to defendants Karen S. Beach (“Beach”), Capital Edge Enterprises, LLC (“Capital Edge”), and Protégé Enterprises, LLC (“Protégé”): (1) permanently enjoining them from violating Section 5 of the Securities Act, (2) permanently barring them from participating in an offering of penny stock, (3) ordering Beach and Capital Edge to pay, jointly and severally, disgorgement and prejudgment interest totaling $268,936.73, ordering each to pay a civil penalty of $30,000, and (4) ordering Protégé to pay disgorgement and prejudgment interest totaling $1,419,143.16, and a civil penalty of $52,500.
On November 8, 2012, the Court entered a final judgment as to defendant Christel S. Scucci (“Scucci”): (1) permanently enjoining her from violating Section 5 of the Securities Act; (2) permanently barring her from participating in an offering of penny stock, and (3) ordering her to pay, jointly and severally with Protégé, disgorgement and prejudgment interest totaling $1,419,143.16, and to pay a civil penalty of $52,500. Scucci consented to the injunction and penny stock bar without admitting or denying the allegations of the complaint. [Securities and Exchange Commission v. Christel S. Scucci, et al., Case No. 6:12-cv-646-RBD-KRS (M.D. Fla.)] (LR-22592)
Commission Settles with Four Defendants in Sedona Corporation Market Manipulation Fraud
The Commission announced that on December 19, 2012, the U.S. District Court for the Southern District of New York entered settled final judgments against defendants Andreas Badian, Jeffrey “Danny” Graham, Pond Securities Corporation (Pond), and Ezra Birnbaum in a Commission injunctive action arising from fraudulent manipulative trading in the securities of Sedona Corporation. Securities and Exchange Commission v. Andreas Badian, et al., Civ. Action. No. 06 CV 2621 (LTS) (S.D.N.Y. filed Apr. 4, 2006).
Without admitting or denying the allegations in the Commission's complaint, the defendants consented to the following relief: Badian consented to the entry of a judgment enjoining him from future violations of the antifraud provisions of the federal securities laws and ordering him to pay disgorgement of ill-gotten gains of $375,000, and a civil penalty of $75,000; Graham consented to the entry of a judgment ordering him to pay a civil penalty of $25,000; Pond consented to the entry of a judgment enjoining it from future violations of: the antifraud and broker-dealer record-keeping provisions of the federal securities laws; the provisions prohibiting a broker or dealer from allowing unassociated persons to effect securities transactions; the NASD rule requiring supervision of persons associated with an NASD member firm; and a Commission Order requiring sworn written responses to certain inquiries from the Commission, and ordering it to pay disgorgement of ill-gotten gains of $8,000, together with $14,822.38 in prejudgment interest thereon, and a civil penalty of $177,177.62; and Birnbaum consented to the entry of a judgment enjoining him from future violations of the NASD rule requiring supervision of persons associated with an NASD member firm.
The Commission's complaint alleged that, from February to April 2001, Badian, Graham, Pond, and others participated in a scheme to manipulate Sedona’s stock price. The complaint also alleged that Graham and others aided and abetted violations of the broker-dealer record-keeping requirements through the creation of trade tickets which falsely reported short sales of Sedona stock as “long” sales, and that Pond, Birnbaum, and defendant Shaye Hirsch violated NASD Conduct Rules by failing to supervise brokers at Pond.
On December 20, 2012, pursuant to its approval of the parties’ stipulation of voluntary dismissal, the court entered an order dismissing all claims by the Commission against Hirsch. Defendants Jacob Spinner and Mottes Drillman had settled previously with the Commission. Accordingly, the civil action has been resolved in its entirety. [Securities and Exchange Commission v. Andreas Badian, et al., Civ. Action. No. 06 CV 2621 (LTS) (S.D.N.Y. filed Apr. 4, 2006)] (LR-22593)
Commission Obtains Significant Relief In Summary Judgment Win Against Defendants Charged With Defrauding Investors In Fictitious Offerings
The Commission announced that on December 17, 2012, the United States District Court for the Central District of California granted the Commission’s motion for summary judgment against all defendants and relief defendants in a civil action arising from two “prime bank” or “high yield” investment schemes that defrauded investors out of more than $11 million. In addition to permanently enjoining Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, and entities they control, from violations of the antifraud and other securities law provisions, the judgment also orders the defendants to pay disgorgement and civil penalties and bars Wilde and Haglund from acting as an officer or director of a public company. In addition, a separate judgment issued by the court orders relief defendants IBalance LLC, Maureen Wilde, and Shillelagh Capital Corporation to pay disgorgement of illegally obtained profits.
The Commission’s complaint, filed on February 24, 2011, alleged that Wilde, through his company Matrix Holdings LLC, orchestrated two fraudulent investment schemes. The first scheme began in April 2008 when Wilde obtained a U.S. Treasury bond with a market value of nearly $5 million from an investor by making false and misleading promises of outsized returns from what he claimed was a “private placement program.” Wilde eventually exhausted all of the funds obtained with the investor’s bond and never produced a return for the investor.
The Commission further claimed that, beginning in October 2009, Wilde concocted another fraudulent scheme with Woods and Gelazela in the form of a “bank guarantee funding” program using the services of Haglund as escrow attorney. Between October 2009 and mid-March 2010, Woods (through BMW Majestic LLC) and Gelazela (through IDLYC Holdings Trust (IDLYC) and IDLYC Holdings Trust LLC (IDLYC LLC)) signed contracts with 24 investors who sent over $6.3 million to Haglund’s trust account. Wilde never successfully acquired or leased a single legitimate financial instrument and exhausted all $6.3 million of the investors’ funds, much of which was taken by the defendants in the form of undisclosed fees.
The judgment permanently enjoins Wilde, Woods, Gelazela, Matrix, BMW Majestic, IDLYC, and IDLYC LLC from violating Sections 5 and 17(a) of the Securities Act of 1933 and Sections 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder; Woods and Gelazela from violating Section 15(a)(1) of the Exchange Act; and Haglund from violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. [Securities and Exchange Commission v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al., Case No. SACV 11-315 DOC (AJWx ) (C.D. Cal.)] (LR-22594)
Yorkville ETF Trust and Yorkville ETF Advisors, LLC
An order has been issued on application filed by Yorkville ETF Trust and Yorkville ETF Advisors, LLC to permit: (a) series of certain open-end management investment companies 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 after the tender of Creation Units 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-30349- January 14, 2013)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX, Inc. to reduce fees assessed for certain co-location services (SR-BX-2013-003) 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 January 14th. (Rel. 34-68625)
A proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2013-005) proposing to adopt the Interim Form for Funding Portals for use, on a voluntary basis, by prospective intermediaries that intend to apply for membership with FINRA as funding portals pursuant to Title III of the Jumpstart Our Business Startups Act has become effective. Publication is expected in the Federal Register during the week of January 14th. (Rel. 34-68633)
A proposed rule change filed by NASDAQ OMX PHLX LLC to reduce the fees assessed for certain co-location services (SR-Phlx-2013-02) 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 January 14th. (Rel. 34-68648)
The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2012-47) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the acquisition of the Kansas City Board of Trade Clearing Corporation. Publication is expected in the Federal Register during the week of January 14th. (Rel. 34-68652)
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-8 NovaBay Pharmaceuticals, Inc., 5980 HORTON STREET, SUITE 550, EMERYVILLE, CA, 94608, (510) 899-8800 - 1,478,924 ($1,722,946.00) Equity, (File 333-185998 - Jan. 14) (BR. 01B) S-1 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 7025825535 - 65,000,000 ($195,000.00) Equity, (File 333-186002 - Jan. 14) (BR. 03B) F-1 ALCOBRA LTD., 65 ROTHCHILD AVENUE, TEL AVIV, L3, 65785, 972722204661 - 0 ($18,750,000.00) Equity, (File 333-186003 - Jan. 14) (BR. 01) F-10 ALAMOS GOLD INC, SUITE 1400, 400 BURRARD STREET, VANCOUVER, A1, 00000, 6046431787 - 30,217,850 ($264,181,771.95) Equity, (File 333-186004 - Jan. 14) (BR. 04A) S-4 PBF Holding Co LLC, ONE SYLVAN WAY, SECOND FLOOR, PARSIPPANY, NJ, 07054, 973-455-7500 - 0 ($650,000,000.00) Non-Convertible Debt, (File 333-186007 - Jan. 14) (BR. ) S-1 CHUY'S HOLDINGS, INC., 1623 TOOMEY ROAD, AUSTIN, TX, 78704, 512-473-2783 - 0 ($118,766,250.00) Equity, (File 333-186008 - Jan. 14) (BR. 05B) S-1 PANTHER MOTOR GROUP, INC, 10358 WEST MCNAB ROAD, TAMARAC, FL, 33321, 954 682 3693 - 2,516,500 ($503,300.00) Equity, (File 333-186009 - Jan. 14) (BR. ) S-8 NUPATHE INC., 227 WASHINGTON STREET, SUITE 200, CONSHOHOCKEN, PA, 19428, 484-567-0130 - 0 ($3,073,675.00) Equity, (File 333-186010 - Jan. 14) (BR. 01A) S-3 MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, TOWER 1, SUITE 1600, DENVER, CO, 80202, 303-925-9200 - 0 ($1,054,190,371.00) Limited Partnership Interests, (File 333-186011 - Jan. 14) (BR. 04A) S-1 Eauker Minerals Corp., 1422 BEECH TREE DRIVE, GREEN BAY, WI, 54304, 920-737-0999 - 330,000 ($33,000.00) Equity, (File 333-186012 - Jan. 14) (BR. ) N-2 Ironwood Institutional Multi-Strategy Fund LLC, ONE MARKET PL STEUART TWR STE2500, SAN FRANCISCO, CA, 94105, 415-777-2400 - 0 ($300,000,000.00) Other, (File 333-186014 - Jan. 14) (BR. 22) S-4 MAGNUM HUNTER RESOURCES CORP, 777 POST OAK BLVD #910, HOUSTON, TX, 77056, 832-369-6986 - 0 ($600,000,000.00) Debt, (File 333-186015 - Jan. 14) (BR. 04A) S-3D NEW YORK MORTGAGE TRUST INC, 52 VANDERBILT AVENUE, SUITE 403, NEW YORK, NY, 10017, (212) 792-0107 - 0 ($20,000,000.00) Equity, (File 333-186016 - Jan. 14) (BR. 08B) S-3 NEW YORK MORTGAGE TRUST INC, 52 VANDERBILT AVENUE, SUITE 403, NEW YORK, NY, 10017, (212) 792-0107 - 0 ($500,000,000.00) Equity, (File 333-186017 - Jan. 14) (BR. 08B) S-3 CURRENCYSHARES BRITISH POUND STERLING TRUST, C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($1.00) Equity, (File 333-186018 - Jan. 14) (BR. 08B)
RECENT 8K FILINGS
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 22nd Century Group, Inc. NV 7.01,9.01 01/14/13 ACCO BRANDS CORP DE 2.02,5.02,9.01 01/11/13 ACCO BRANDS CORP DE 2.02 01/11/13 AMEND ADA-ES INC CO 7.01,9.01 01/08/13 ADT Corp DE 1.01,2.03,9.01 01/14/13 Aegerion Pharmaceuticals, Inc. DE 1.01,8.01,9.01 01/11/13 AEP INDUSTRIES INC DE 2.02 01/14/13 ALARMING DEVICES, INC. NV 4.01,9.01 01/11/13 ALCOA INC PA 2.02,9.01 01/08/13 ALLIANCE DATA SYSTEMS CORP DE 1.01,7.01,9.01 01/09/13 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 01/10/13 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 01/10/13 ALNYLAM PHARMACEUTICALS, INC. 8.01,9.01 01/14/13 AMERICAN AIRLINES INC DE 1.01 01/14/13 AMERICAN HONDA RECEIVABLES LLC DE 6.01,9.01 01/11/12 AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,9.01 01/14/13 American Realty Capital Trust, Inc. DE 8.01,9.01 01/14/13 AMR CORP DE 1.01 01/14/13 Amwest Imaging Inc NV 4.01,9.01 01/10/13 Applied Visual Sciences, Inc. DE 5.02 01/14/13 ARI NETWORK SERVICES INC /WI WI 5.07 01/14/13 Arno Therapeutics, Inc DE 7.01,9.01 01/11/13 AVIAT NETWORKS, INC. DE 2.02,9.01 01/14/13 Banyan Rail Services Inc. DE 1.03,5.02,9.01 01/08/13 BARD C R INC /NJ/ NJ 8.01 01/14/13 Bassline Productions, Inc NV 5.01,5.02 01/02/13 BillMyParents, Inc. CO 5.02 01/08/13 BIOLOGIX HAIR INC. NV 2.01,3.02,5.01,5.02, 01/09/13 5.03,5.06,9.0101/09/13 BIOMIMETIC THERAPEUTICS, INC. DE 8.01 01/10/13 BLUE CALYPSO, INC. DE 3.02,5.02 01/10/13 Blue Water Restaurant Group, Inc. NV 5.02,9.01 01/11/13 Bluforest Inc. NV 5.02 01/10/13 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02 01/14/13 BREEZE-EASTERN CORP DE 1.01,3.03,8.01,9.01 01/08/13 Bridgepoint Education Inc DE 8.01 01/10/13 BSD MEDICAL CORP DE 2.02,9.01 01/10/12 Buckingham Exploration Inc. NV 3.03 01/14/13 C H ROBINSON WORLDWIDE INC DE 9.01 01/14/13 AMEND CAREFUSION Corp 5.08,9.01 01/14/13 CENTURYLINK, INC LA 5.02 01/08/13 Chanticleer Holdings, Inc. DE 5.02,9.01 01/11/13 Chatham Lodging Trust MD 8.01,9.01 01/09/13 CHIMERA INVESTMENT CORP DE 3.01,9.01 01/14/13 CHINA EDUCATION ALLIANCE INC. NC 5.03 01/09/13 CHINA GENGSHENG MINERALS, INC. NV 5.02,9.01 01/14/13 CHINA LONGYI GROUP INTERNATIONAL HOLD NY 4.01,9.01 01/14/13 CHROMCRAFT REVINGTON INC DE 8.01,9.01 01/11/13 Circle Entertainment, Inc. DE 5.02 01/12/13 CITIZENS & NORTHERN CORP PA 2.02,9.01 01/14/13 CLICKER INC. NV 4.01,9.01 01/09/13 COLDWATER CREEK INC DE 7.01,9.01 01/14/13 Computer Vision Systems Laboratories FL 8.01,9.01 01/11/13 CoreSite Realty Corp MD 1.01,9.01 01/10/13 Corporate Resource Services, Inc. DE 5.03 01/14/13 CRYOLIFE INC FL 5.02 01/10/13 CSP INC /MA/ MA 8.01,9.01 01/14/13 CYTODYN INC CO 4.01,9.01 01/08/13 DAWSON GEOPHYSICAL CO TX 5.02 01/08/13 DENNYS CORP DE 2.02,9.01 01/14/13 Diamond Foods Inc DE 7.01,9.01 01/14/13 Duke Energy CORP DE 8.01,9.01 01/14/13 EastBridge Investment Group Corp AZ 1.01,2.01,9.01 12/17/12 EATON VANCE CORP MD 5.07 01/09/13 EMPIRE ENERGY CORP UT 8.01 01/11/13 EMTEC INC/NJ UT 2.02,9.01 01/14/13 ENB Financial Corp PA 2.02,9.01 01/11/13 Energy Transfer Partners, L.P. DE 8.01,9.01 01/14/13 Federal Home Loan Bank of Dallas 2.03,9.01 01/08/13 FEI CO OR 5.02,8.01 01/11/13 FIDELITY D & D BANCORP INC PA 5.02,9.01 01/14/13 Fifth & Pacific Companies, Inc. DE 2.02,9.01 01/14/13 Firsthand Technology Value Fund, Inc. 8.01,9.01 01/14/13 FIRSTMERIT CORP /OH/ OH 8.01 01/11/13 FISERV INC WI 1.01,2.01,2.02, 01/14/13 2.03,9.01 FLOWERS FOODS INC GA 1.01,9.01 01/11/13 FLUIDIGM CORP DE 5.02,9.01 01/10/13 Francesca's Holdings CORP 7.01,9.01 01/14/13 FX ENERGY INC NV 8.01,9.01 01/14/13 G III APPAREL GROUP LTD /DE/ DE 1.01,5.02,9.01 01/09/13 GENCORP INC OH 7.01,8.01,9.01 01/14/13 GENESEE & WYOMING INC DE 2.05 01/09/13 GEOPETRO RESOURCES CO CA 4.01 01/09/13 GEORGIA GULF CORP /DE/ DE 2.02,8.01,9.01 01/14/13 GLOBECOMM SYSTEMS INC 8.01,9.01 01/14/13 GMX RESOURCES INC OK 8.01 01/11/13 GOFF, CORP NV 8.01 01/04/13 Golub Capital BDC, Inc. DE 2.02,7.01,9.01 01/14/13 Gordmans Stores, Inc. DE 2.02,9.01 01/14/13 Griffin Capital Net Lease REIT, Inc. 7.01,8.01,9.01 01/11/13 GSI TECHNOLOGY INC 2.02,9.01 01/14/13 HEALTH MANAGEMENT ASSOCIATES, INC DE 2.02,8.01,9.01 01/13/13 hhgregg, Inc. DE 2.02,9.01 01/14/13 Immunovative, Inc. FL 1.02,8.01,9.01 01/08/13 Industrial Income Trust Inc. MD 8.01,9.01 01/14/13 Inland American Real Estate Trust, In MD 7.01,9.01 01/11/13 INNSUITES HOSPITALITY TRUST OH 3.01,5.02,9.01 01/08/13 INTERMUNE INC DE 8.01,9.01 01/14/13 IXIA CA 2.02,9.01 01/14/13 KAISER ALUMINUM CORP DE 8.01,9.01 01/14/13 KILROY REALTY CORP MD 1.01,9.01 01/14/13 KINGOLD JEWELRY, INC. DE 1.02,2.04 01/10/13 KITE REALTY GROUP TRUST MD 5.02 01/08/13 KOPJAGGERS INC. FL 4.01,9.01 01/10/13 KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 01/07/13 LA JOLLA PHARMACEUTICAL CO CA 8.01,9.01 01/14/13 LA JOLLA PHARMACEUTICAL CO CA 4.01,9.01 01/08/13 LACLEDE GROUP INC MO 1.01,9.01 01/11/13 LASERLOCK TECHNOLOGIES INC NV 4.01 01/01/13 AMEND LEAR CORP DE 7.01,9.01 01/14/13 LEGGETT & PLATT INC MO 1.01,5.02,9.01 01/10/13 LEXINGTON REALTY TRUST MD 1.01,8.01,9.01 01/11/13 Lifevantage Corp CO 8.01,9.01 01/14/13 Limoneira CO DE 2.02,9.01 01/14/13 LITHIUM TECHNOLOGY CORP DE 3.02,9.01 12/24/12 lululemon athletica inc. DE 7.01,9.01 01/14/13 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 01/11/13 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 01/11/13 Mantra Venture Group Ltd. 1.01,9.01 01/08/13 MATERIAL SCIENCES CORP DE 2.02,9.01 01/14/13 MAUI LAND & PINEAPPLE CO INC HI 8.01 01/14/13 METLIFE INC DE 8.01,9.01 01/14/13 MIPS TECHNOLOGIES INC DE 8.01 01/11/13 ModusLink Global Solutions Inc DE 2.02,7.01,9.01 01/11/13 MULTI FINELINE ELECTRONIX INC 2.02,9.01 01/14/13 MULTI-CORP INTERNATIONAL INC. NV 8.01,9.01 01/11/13 NATIONAL BANCSHARES CORP /OH/ OH 5.02 01/11/13 NEUROCRINE BIOSCIENCES INC CA 5.02 01/10/13 NEWS CORP 8.01,9.01 01/14/13 NorthStar Real Estate Income Trust, I MD 8.01 01/14/13 NuStar Energy L.P. DE 8.01 01/14/13 NuStar GP Holdings, LLC DE 8.01 01/14/13 OWENS & MINOR INC/VA/ VA 5.02,9.01 01/14/13 PennantPark Floating Rate Capital Ltd 7.01,9.01 01/14/13 PENSKE AUTOMOTIVE GROUP, INC. DE 1.01,7.01,9.01 01/14/13 PGT, Inc. DE 1.01 01/11/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 01/07/13 PORTLAND GENERAL ELECTRIC CO /OR/ OR 7.01 01/11/13 PPG INDUSTRIES INC PA 8.01,9.01 01/14/13 PPG INDUSTRIES INC PA 2.02,9.01 01/14/13 PPL Corp 8.01,9.01 01/11/13 QUALSTAR CORP CA 5.02,9.01 01/10/13 RADIOSHACK CORP DE 7.01,9.01 01/14/13 RADISYS CORP OR 2.02 01/14/13 Recon Technology, Ltd E9 8.01,9.01 01/14/13 RENTECH INC /CO/ CO 9.01 10/31/12 AMEND Rentech Nitrogen Partners, L.P. DE 9.01 10/31/12 AMEND Resource Real Estate Opportunity REIT MD 7.01 11/15/12 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 1.01,2.01,2.02,9.01 01/14/13 Rose Rock Midstream, L.P. 1.01,2.01,2.03, 01/08/13 2.03,9.01 SCICLONE PHARMACEUTICALS INC DE 5.02,9.01 01/10/13 SEACOR HOLDINGS INC /NEW/ DE 5.02,8.01,9.01 01/14/13 SemGroup Corp DE 1.01,2.03,7.01,9.01 01/08/13 SemiLEDs Corp 2.02,9.01 01/14/13 Sequoia Mortgage Trust 2013-1 8.01,9.01 01/14/13 SG BLOCKS, INC. DE 1.01,2.03,3.02,9.01 01/08/13 Shire plc 8.01,9.01 01/14/13 SHOE CARNIVAL INC IN 7.01,9.01 01/14/13 SICHUAN LEADERS PETROCHEMICAL Co FL 4.01,9.01 01/10/13 SLM Student Loan Trust 2003-14 8.01,9.01 01/14/13 SLM Student Loan Trust 2004-1 8.01,9.01 01/14/13 SLM Student Loan Trust 2004-10 DE 8.01,9.01 01/14/13 SLM Student Loan Trust 2004-8 DE 8.01,9.01 01/14/13 SNYDER'S-LANCE, INC. NC 5.02,9.01 01/08/13 Spirit Airlines, Inc. DE 2.02,7.01,9.01 01/11/13 ST JUDE MEDICAL INC MN 8.01 01/11/13 STANLEY BLACK & DECKER, INC. CT 5.02,9.01 01/14/13 Stereotaxis, Inc. DE 8.01 01/09/13 SUNPEAKS VENTURES, INC. NV 5.03,5.07,9.01 12/28/12 Superior Venture Corp NV 4.01,9.01 01/10/13 SUPERVALU INC DE 1.01,5.02,9.01 01/09/13 SWIFT TRANSPORTATION Co 8.01,9.01 01/11/13 Targa Resources Partners LP DE 1.01,9.01 01/10/13 Teamupsport Inc. NV 4.01,9.01 01/10/13 TEMPUR PEDIC INTERNATIONAL INC DE 5.02,9.01 01/09/13 TIMKEN CO OH 8.01 01/14/13 TORCHMARK CORP DE 1.01,9.01 01/10/13 TRANSAKT LTD. A0 1.01,2.01,7.01,9.01 01/04/13 TRANSATLANTIC PETROLEUM LTD. D0 7.01,9.01 01/14/13 TransMontaigne Partners L.P. DE 8.01,9.01 01/14/13 Transocean Ltd. V8 7.01 01/14/13 UMPQUA HOLDINGS CORP OR 5.02,9.01 01/14/13 UNITED REFINING CO PA 8.01,9.01 01/14/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 01/14/13 UNWIRED PLANET, INC. DE 5.02,9.01 01/10/13 UNWIRED PLANET, INC. DE 9.01 01/10/13 AMEND Urban Barns Foods Inc. 5.02,9.01 11/01/12 VAIL RESORTS INC DE 5.02,9.01 01/14/13 VIRGINIA COMMERCE BANCORP INC 7.01,9.01 01/14/13 VISTEON CORP DE 2.02,7.01,9.01 01/14/13 WaferGen Bio-systems, Inc. NV 5.02,9.01 01/10/13 WALGREEN CO IL 5.02,5.07,8.01,9.01 01/09/13 WEBSENSE INC DE 1.01,2.02,5.02, 01/09/13 2.03,9.01 XENOPORT INC DE 5.02,9.01 01/09/13 YOUNG INNOVATIONS INC MO 8.01,9.01 01/14/13 Z Holdings Group, Inc. 4.01,9.01 01/10/13 Zep Inc. DE 5.07,8.01 01/08/13 ZHONGPIN INC. DE 1.01,9.01 01/14/13