Commission Revokes Registration of Securities of Indico Technologies, Inc. (n/k/a Indico Resources Ltd.) for Failure to Make Required Periodic Filings
On January 24, 2013, the Commission revoked the registration of each class of registered securities of Indico Technologies, Inc. (n/k/a Indico Resources Ltd.) (Indico Resources) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Indico Resources consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Indico Technologies, Inc. (n/k/a Indico Resources Ltd.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 13a-1 thereunder and revoking the registration of each class of Indico Resources’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Indico Resources in In the Matter of IAS Energy, Inc., et al., Administrative Proceeding File No. 3-15145.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of IAS Energy, Inc., et al., Administrative Proceeding File No. 3-15145, Exchange Act Release No. 68486, December 20, 2012. (Rel. 34-68715; File No. 3-15145)
Commission Revokes Registration of Securities of Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.) for Failure to Make Required Periodic Filings
On January 24, 2013, the Commission revoked the registration of each class of registered securities of Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.) (FreedomRoads RV) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, FreedomRoads RV consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of FreedomRoads RV’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against FreedomRoads RV in In the Matter of HI DEF Enterprises, Inc., et al., Administrative Proceeding File No. 3-15166.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of HI DEF Enterprises, Inc., et al., Administrative Proceeding File No. 3-15166, Exchange Act Release No. 68598, January 7, 2013. (Rel. 34-68716; File No. 3-15166)
Judgment Entered Against Vision Securities, Daniel James Gallagher, Christopher Castaldo and Corporate Communications Corp.; Claims Against Frank Zangara Dismissed
On August 17, 2009, U.S. District Court Judge Jed S. Rakoff issued a Memorandum Order and Final Judgment (“Order”) with respect to Daniel James Gallagher, Vision Securities, Christopher Castaldo, and Corporate Communications Corp. The Order was entered following a hearing on remedies and a trial that had resulted in jury verdicts against Gallagher, Vision, and Castaldo. Prior to trial, a default judgment had been entered against defendant Corporate Communications Corp. and the Commission had voluntarily dismissed with prejudice its claims against defendants Frank Zangara and B.H.I. Group, Inc.
Judge Rakoff declined to impose injunctive relief against any of the defendants, but ordered the following monetary relief:
● As to Castaldo: $208,500 in disgorgement; $48,225.29 in prejudgment interest; and $24,000 in civil money penalties, with payments of disgorgement and prejudgment interest to be made in monthly installments in amounts based on Castaldo’s gross income and civil penalties to be paid in monthly installments of $1,000.
● As to Gallagher and Vision Securities, jointly and severally: $126,466.91 in disgorgement, $29,251.32, in prejudgment interest, and $24,000 in civil money penalties, with payments of disgorgement and prejudgment interest to be made in monthly installments in amounts based on those defendants’ gross income, minus an amount reflecting Gallagher’s support obligations to his ex-wife and children.
[SEC v. Christopher Castaldo, Daniel James Gallagher, Frank J. Zangara, B.H.I. Group, Inc., Corporate Communications Corp., and Vision Securities Inc., 08 Civ. 8397 (JSR) (S.D.N.Y.)] (LR-22598)
SEC Charges Jonathan C. Gilchrist with the Unregistered Offer and Sale of Securities and Stock Manipulation
The Securities and Exchange Commission today filed a civil injunctive action in the U.S. District Court for the Southern District of Texas against Jonathan C. Gilchrist, alleging that he effected the unregistered offer and sale of shares of The Alternative Energy Technology Center, Inc. and engaged in a stock manipulation scheme in violation of the registration and antifraud provisions of the federal securities laws.
The Commission’s complaint alleges that in December 2007, Gilchrist, acting as the president and chairman of Mortgage Xpress, Inc. (subsequently renamed The Alternative Energy Technology Center, Inc.), authorized the unregistered offer and sale of six million company shares at a deep discount to himself and two entities he controlled, improperly maintaining that the offer and sale were exempt from registration under Rule 504 of Regulation D of the Securities Act of 1933. The complaint alleges that the company could not claim a Rule 504 exemption from registration because it was a development stage company which, at the time, planned to merge with another entity. The complaint further alleges that the shares issued to the two entities controlled by Gilchrist should have been subject to restriction on resale based on Gilchrist being an affiliate of the company, but were not. As a result, according to the complaint, the share issuance improperly gave Gilchrist control over at least 94% of the public float.
The complaint further alleges that from January through March 2008, Gilchrist effected 25 wash trades in company securities through brokerage accounts he controlled and, in March 2008, arranged for promoters to tout the company. Gilchrist allegedly thereby drove the per share price from $1.00 per share immediately after the reverse stock split on January 18, 2008 to $3.75 per share on April 1, 2008, the day before the Commission suspended trading in the stock. During this time period, Gilchrist made unregistered sales of 229,661 shares, resulting in illicit proceeds of $692,146.38.
Based on the facts alleged, the Commission charged Gilchrist with violating Sections 5(a), 5(c), 17(a)(1) and 17(a)(3) of the Securities Act, and Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a) and (c) thereunder. The Commission is seeking to have Gilchrist permanently enjoined, ordered to pay disgorgement and a civil money penalty, barred from participating in any penny stock offering, and prohibited from serving as an officer or director. [SEC v. Jonathan C. Gilchrist, C.A. No. 4:13-cv-00163 (S.D.Tex.)] (LR-22599)
District Court Denies China-based Company’s Motion to Dismiss SEC Enforcement Action
The Securities and Exchange Commission announced today that on January 24, 2013 the U.S. District Court for the District of Massachusetts denied AutoChina International Limited’s motion to dismiss an SEC enforcement action filed in April 2012 for lack of proper venue, or in the alternative, to transfer venue to a federal court in New York. The SEC’s complaint, filed April 11, 2012, alleges that AutoChina, a company based in the People’s Republic of China, two Virgin Island companies, and nine individuals residing in China fraudulently traded AutoChina’s stock to boost its daily trading volume.
Determining that “[t]he proper question is not just where the defendants acted, but whether the defendants knew or had reason to know that the misleading manipulation would be communicated to and relied upon by market participants within the forum,” the Court found that the defendants’ trading scheme, as alleged by the SEC, had a significant relationship to Massachusetts, and therefore, denied AutoChina’s motion to dismiss. In the alternative, AutoChina also moved to transfer the case to the U.S. District Court for the Southern District of New York, which the Court also denied.
According to the SEC’s complaint, the defendants and others deposited more than $60 million into U.S.-based brokerage accounts and engaged in hundreds of fraudulent trades over the next three months through these accounts and accounts with a Hong Kong-based broker-dealer. The fraudulent trades included matched orders, where one account sold shares to another account at the same time and for the same price, and wash trades, which resulted in no change of beneficial ownership of the shares. According to the complaint, AutoChina and the other defendants engaged in the scheme after lenders offered AutoChina unfavorable terms for a stock-backed loan due to low trading volume in its stock.
The SEC complaint further alleges that in the three months before the defendants opened the U.S.-based brokerage accounts, the average daily trading volume of AutoChina’s stock was approximately 18,000 shares. From November 1, 2010 through January 31, 2011, the average daily trading volume increased to more than 139,000 shares. On some days, the defendants and related accounts’ trading accounted for as much as 70% of the trading of AutoChina’s stock.
According to the SEC’s complaint, several of the defendants are related to AutoChina’s Chairman and Chief Executive Officer, who at the time of the scheme owned more than 57% of the company. Three of the defendants are siblings of AutoChina’s Chairman and Chief Executive Officer and another is married to one his siblings.
The SEC’s complaint charges AutoChina; Hui Kai Yan; Rui Ge Dong; Victory First Limited; Rainbow Yield Limited; Yong Qi Li; Ai Xi Ji; Ye Wang; Zhong Wen Zhang; Li Xin Ma; Yong Li Li; and Shu Ling Li with violating Section 17(a) of the Securities Act of 1933, Sections 9(a) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The complaint further alleges that Rui Ge Dong; Victory First Limited; Rainbow Yield Limited; Yong Qi Li; Ai Xi Ji; Ye Wang; Zhong Wen Zhang; Li Xin Ma; Yong Li Li; and Shu Ling Li aided and abetted AutoChina’s violations of Section 17(a) of the Securities Act of 1933, Sections 9(a) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.
The complaint seeks a final judgment permanently enjoining the defendants from committing future violations of these provisions, ordering them to disgorge their ill-gotten gains plus prejudgment interest, imposing financial penalties and barring Hui Kai Yan them from acting as an officer or director of a public company. [SEC v. AutoChina International Limited, Hui Kai Yan, Rui Ge Dong, Victory First Limited, Rainbow Yield Limited, Yong Qi Li, Ai Xi Ji, Ye Wang, Zhong Wen Zhang, Li Xin Ma, Yong Li Li, and Shu Ling Li 1:12-CV-10643-GAO (District of Massachusetts)] (LR-22600)
Randy M. Cho Sentenced to Prison Term of 12 Years in Criminal Action
The Securities and Exchange Commission (SEC) announced that on January 18, 2013, in a criminal action brought by the U.S. Attorney’s Office for the Northern District of Illinois, the Honorable James B. Zagel, U.S. District Judge of the Northern District of Illinois, sentenced Randy M. Cho to 12 years in federal prison on charges of wire fraud and tax fraud. Cho was charged for perpetrating an investment scheme between 2001 and October 2009, which resulted in almost $8 million in losses from 57 investors. Cho was also ordered to pay restitution of $7,995,707. Cho’s sentence was lengthened, in part, because Cho lied to the SEC during its investigation into his scheme. [USA v. Randy M. Cho, Case No. 1:10 cr 01099, USDC, N.D. Ill.]
In October 2009, the SEC filed an emergency district court action against Cho for his fraudulent scheme, and obtained orders that froze Cho’s assets and permanently enjoined Cho from violating the antifraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940. In August 2010, the SEC obtained a final judgment against Cho in which Cho was ordered to pay approximately $7.78 million in disgorgement, prejudgment interest, and a $150,000 statutory civil penalty. [SEC v. Randy M. Cho, Case No. 09-CV-6261, USDC, N.D.Ill.] (LR-22601)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by New York Stock Exchange LLC extending the temporary suspension of those aspects of Rules 36.20 and 36.21 that would not permit Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of hurricane Sandy until the earlier of when phone service is fully restored or Friday, February 15, 2013 (SR-NYSE-2013-06) 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 28. (Rel. 34-68704)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 Fuelstream INC, 10757 RIVER FRONT PARKWAY, SUITE 125, SOUTH JORDAN, UT, 84095, 8018162500 - 1,121,584 ($2,759,096.40) Equity, (File 333-186142 - Jan. 23) (BR. 02C) S-8 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 128,470 ($245,377.70) Equity, (File 333-186143 - Jan. 23) (BR. 03C) S-3ASR ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186144 - Jan. 23) (BR. 03C) S-1 OMEGA COMMERCIAL FINANCE CORP, 200 S. BISCAYNE BLVD SUITE 4450, MIAMI, FL, 33131, 305-677-0306 - 100,000,000 ($10,000,000.00) Equity, (File 333-186145 - Jan. 23) (BR. 07C) S-8 ACTUANT CORP, ATTN: MATT PAULI, N86 W12500 WESTBROOK CROSSING, MENOMONEE FALLS, WI, 53051, 262-293-1524 - 0 ($115,920,000.00) Equity, (File 333-186146 - Jan. 23) (BR. 06A) S-3 CenterState Banks, Inc., 1101 FIRST ST. S., SUITE 202, WINTER HAVEN, FL, 33880, 8632932600 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-186148 - Jan. 23) (BR. 07C) S-3ASR NASDAQ OMX GROUP, INC., ONE LIBERTY PLAZA, NEW YORK, NY, 10006, 2124018700 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186155 - Jan. 23) (BR. 08C) S-1 PBF Holding Co LLC, ONE SYLVAN WAY, SECOND FLOOR, PARSIPPANY, NJ, 07054, 973-455-7500 - 0 ($25,500,000.00) Non-Convertible Debt, (File 333-186156 - Jan. 23) (BR. 04A) S-3ASR AUXILIUM PHARMACEUTICALS INC, 640 LEE ROAD, CHESTERBROOK, PA, 19087, 484 321 5900 - 0 ($0.00) Other, (File 333-186157 - Jan. 23) (BR. 01A) N-2 Firsthand Technology Value Fund, Inc., 150 ALMADEN BLVD., SUITE 1250, SAN JOSE, CA, 95113, 408-886-7096 - 0 ($10,000,000.00) Equity, (File 333-186158 - Jan. 23) (BR. 16) S-4 FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA, 16148, 724-981-6000 - 0 ($58,384,080.00) Equity, (File 333-186159 - Jan. 23) (BR. 07C) S-8 CREE INC, 4600 SILICON DR, DURHAM, NC, 27703, 9194075300 - 4,000,000 ($132,160,000.00) Equity, (File 333-186161 - Jan. 23) (BR. 10A) S-4 HD SUPPLY, INC., 3100 CUMBERLAND BOULEVARD, SUITE 1700, ATLANTA, GA, 30339, 770-852-9000 - 0 ($950,000,000.00) Debt, (File 333-186164 - Jan. 23) (BR. 02B)
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 ----------------------------------------------------------------------------------------- ABBOTT LABORATORIES IL 2.02,9.01 01/23/13 AFC ENTERPRISES INC MN 2.02,9.01 01/23/13 AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 01/23/13 AKAMAI TECHNOLOGIES INC DE 5.02 01/16/13 Aleris Corp DE 8.01,9.01 01/23/13 ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 01/23/13 ALLERGAN INC DE 1.01,8.01,9.01 01/22/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/23/13 Allison Transmission Holdings Inc DE 7.01 01/23/13 ALTERA CORP DE 2.02,8.01,9.01 01/23/13 ALTERRA CAPITAL HOLDINGS Ltd 8.01 01/22/13 AMERICAN ELECTRIC POWER CO INC NY 5.02 01/22/13 American Electric Technologies Inc FL 5.02,8.01,9.01 01/21/13 AMERICAN EXPRESS CREDIT CORP DE 2.02 01/23/13 AMGEN INC DE 2.02,9.01 01/23/13 AMREP CORP. OK 5.02,9.01 01/22/13 Anacor Pharmaceuticals Inc DE 1.01,9.01 01/18/13 ANALOGIC CORP MA 5.07 01/22/13 ANGIODYNAMICS INC DE 7.01,9.01 01/23/13 APPIPHANY TECHNOLOGIES HOLDINGS CORP 5.02 01/23/13 APPLE INC CA 2.02,9.01 01/23/13 Applied Minerals, Inc. DE 1.01,5.02,9.01 01/18/13 ARCA biopharma, Inc. DE 1.01,3.02,9.01 01/22/13 ARES CAPITAL CORP MD 7.01,9.01 01/23/13 AROTECH CORP DE 7.01,9.01 01/23/13 ARTHROCARE CORP DE 5.02 01/21/13 Ascena Retail Group, Inc. DE 5.02,9.01 01/22/13 Ascena Retail Group, Inc. DE 7.01,9.01 01/16/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/22/13 AMEND AtheroNova Inc. DE 7.01,9.01 01/23/13 AUXILIO INC NV 5.02,9.01 01/22/13 AUXILIUM PHARMACEUTICALS INC DE 8.01 01/23/13 Azteca Acquisition Corp D8 1.01,8.01,9.01 01/22/13 BAKER HUGHES INC DE 2.02,7.01,9.01 01/23/13 Bancorp, Inc. 2.02,9.01 01/23/13 BANK OF AMERICA CORP /DE/ DE 5.02,9.01 01/23/13 Bank of New York Mellon CORP DE 2.02,9.01 01/16/13 BANNER CORP WA 2.02,9.01 01/23/13 BAR HARBOR BANKSHARES ME 8.01 01/22/13 Biota Pharmaceuticals, Inc. DE 2.01,9.01 11/08/12 AMEND BLACKBAUD INC 2.02,5.02,9.01 01/23/13 Blueknight Energy Partners, L.P. DE 7.01,9.01 01/23/13 BOEING CAPITAL CORP DE 1.02,8.01,9.01 01/23/13 BOEING CO DE 8.01,9.01 01/23/13 BOISE CASCADE HOLDINGS, L.L.C. DE 8.01,9.01 01/23/13 BON TON STORES INC PA 7.01,9.01 01/23/13 Boomerang Systems, Inc. DE 5.07 01/16/13 BROWN FORMAN CORP DE 7.01,8.01,9.01 01/23/13 CAPITAL ONE FUNDING, LLC 9.01 01/23/13 Capitol Federal Financial Inc MD 5.07,7.01,8.01,9.01 01/23/13 CARVER BANCORP INC DE 5.02,9.01 01/22/13 CATHAY GENERAL BANCORP DE 2.02,9.01 01/23/13 China Botanic Pharmaceutical 5.02,9.01 01/18/13 Chino Commercial Bancorp CA 8.01 01/23/13 Circle Entertainment, Inc. DE 8.01 01/16/13 Clearwire Corp /DE DE 8.01,9.01 01/23/13 COACH INC MD 2.02,9.01 01/23/13 COHEN & STEERS INC DE 2.02,9.01 01/23/13 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 01/22/13 CONTINENTAL RESOURCES, INC OK 2.02,9.01 01/23/13 COURIER Corp MA 5.07 01/22/13 CROSSTEX ENERGY INC DE 2.02,9.01 01/23/13 CROSSTEX ENERGY LP DE 2.02,9.01 01/23/13 CSX CORP VA 7.01,9.01 01/23/13 CUBIST PHARMACEUTICALS INC DE 2.02,9.01 01/23/13 CVR ENERGY INC DE 1.01,5.02,7.01,9.01 01/16/13 CVR ENERGY INC DE 1.02,2.04,9.01 01/23/13 CVR Refining, LP DE 1.01,3.02,3.03,5.02, 01/16/13 7.01,9.01 CyrusOne Inc. MD 8.01,9.01 01/17/13 DARLING INTERNATIONAL INC DE 7.01,9.01 01/23/13 DEERE JOHN CAPITAL CORP DE 9.01 01/23/13 DelMar Pharmaceuticals, Inc. 3.03,5.03,8.01,9.01 01/16/13 DEPOMED INC CA 8.01 01/22/13 DEX ONE Corp DE 8.01,9.01 01/23/13 DMH INTERNATIONAL, INC. NV 1.01,2.01,3.02,5.06, 12/11/12 AMEND 9.01 DST SYSTEMS INC DE 1.01,5.02,9.01 01/17/13 DubLi, Inc. NV 1.02,9.01 01/23/12 DYNAMIC MATERIALS CORP DE 1.01,5.02 01/16/13 EAGLE BANCORP INC MD 2.02,9.01 01/23/13 EAGLE MATERIALS INC DE 9.01 11/30/12 AMEND EAST WEST BANCORP INC 2.02,9.01 01/23/13 ECOLOGY COATINGS, INC. NV 4.01 01/23/13 AMEND EMPIRE ENERGY CORP UT 8.01 01/23/13 Energy Transfer Partners, L.P. DE 1.01,9.01 01/22/13 Enservco Corp DE 2.02,7.01,9.01 01/23/13 ENTERGY CORP /DE/ DE 2.02,9.01 01/23/13 ESB FINANCIAL CORP PA 8.01 01/23/13 EXACTECH INC FL 2.02,7.01,9.01 01/22/13 EXAR CORP DE 2.02,9.01 01/23/13 F5 NETWORKS INC WA 2.02,9.01 01/23/13 FAMILY DOLLAR STORES INC DE 5.07,8.01,9.01 01/17/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/17/13 Federal Home Loan Bank of Dallas 2.03,9.01 01/16/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/16/13 FIRST CASH FINANCIAL SERVICES INC DE 2.02,8.01,9.01 01/23/13 First Clover Leaf Financial Corp. MD 8.01,9.01 01/22/13 FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01,9.01 01/22/13 FIRST HORIZON NATIONAL CORP TN 5.02,8.01,9.01 01/15/13 FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 01/23/13 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 01/23/13 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 01/23/13 FIRST OF LONG ISLAND CORP NY 5.03,9.01 01/22/13 FIRSTMERIT CORP /OH/ OH 7.01,9.01 01/23/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 01/23/13 FNB CORP/FL/ FL 2.02,8.01,9.01 01/23/13 FORD CREDIT FLOORPLAN MASTER OWNER TR DE 8.01,9.01 01/23/13 GENERAL DYNAMICS CORP DE 2.02,9.01 01/23/13 GENERAL EMPLOYMENT ENTERPRISES INC IL 3.01,9.01 01/17/13 GEOGLOBAL RESOURCES INC. DE 1.01,9.01 01/16/13 Global Cornerstone Holdings Ltd D8 5.02 01/20/13 Gold & Gemstone Mining Inc. NV 5.02 01/16/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/18/13 Greektown Superholdings, Inc. DE 8.01,9.01 01/17/13 GRIFFIN LAND & NURSERIES INC DE 5.02 09/18/12 AMEND GYMBOREE CORP DE 5.02 01/17/13 GYSAN HOLDINGS, INC. NV 2.01,3.01,9.01 01/23/13 HALCON RESOURCES CORP DE 3.02,5.02,5.03,5.07, 01/17/13 8.01,9.01 HANDENI GOLD INC. NV 3.02 01/22/13 HANDENI GOLD INC. NV 5.02 01/22/13 HEALTHCARE SERVICES GROUP INC PA 8.01,9.01 01/22/13 HEARTLAND EXPRESS INC NV 2.02,9.01 01/23/13 HEARTLAND FINANCIAL USA INC DE 7.01,9.01 01/23/13 HEINZ H J CO PA 7.01,9.01 01/23/13 Heron Lake BioEnergy, LLC MN 1.01,7.01,8.01,9.01 01/22/13 HEXCEL CORP /DE/ DE 2.02,7.01,8.01,9.01 01/23/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.03,9.01 01/22/13 HOMELAND RESOURCES LTD. NV 5.02 01/22/13 Honda Auto Receivables 2013-1 Owner T DE 8.01,9.01 01/23/13 Honda Auto Receivables 2013-1 Owner T DE 1.01,9.01 01/23/13 HOT TOPIC INC /CA/ CA 5.02 01/21/13 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 01/23/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 01/16/13 ICG GROUP, INC. DE 8.01,9.01 01/23/13 INFRAX SYSTEMS, INC. FL 8.01 01/23/13 Inland Real Estate Income Trust, Inc. MD 9.01 01/23/13 AMEND INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02,9.01 01/23/13 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 01/22/13 INTUIT INC DE 5.07,8.01 01/17/13 INUVO, INC. NV 7.01,9.01 01/23/13 InvenSense Inc DE 2.02,9.01 01/23/13 ITC Holdings Corp. MI 5.02,9.01 01/17/13 J2 GLOBAL, INC. DE 9.01 11/09/12 AMEND JBI, INC. NV 8.01,9.01 01/23/13 JMP Group Inc. DE 1.01,8.01,9.01 01/17/13 KB HOME DE 7.01,8.01,9.01 01/22/13 KEATING CAPITAL INC 5.02 01/21/13 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 01/23/12 Kentucky First Federal Bancorp 5.02,8.01,9.01 01/17/13 KKR & Co. L.P. DE 7.01,9.01 01/23/13 KOPIN CORP DE 5.02 01/16/13 KUNEKT CORP NV 8.01 01/22/13 LAM RESEARCH CORP DE 2.02,9.01 01/23/13 LAM RESEARCH CORP DE 5.02,9.01 01/23/13 LaPorte Bancorp, Inc. MD 8.01,9.01 01/22/13 LEE ENTERPRISES, INC DE 2.02,9.01 01/22/13 LEE ENTERPRISES, INC DE 3.01,9.01 01/22/13 AMEND LENNAR CORP /NEW/ DE 5.03,8.01,9.01 01/17/13 Lightyear Network Solutions, Inc. NV 1.02,2.06 01/17/13 LITHIA MOTORS INC OR 7.01,9.01 01/23/13 LITHIUM TECHNOLOGY CORP DE 5.02 01/16/13 LiverpoolGroup, Inc. OK 4.01 01/07/13 LiverpoolGroup, Inc. OK 4.01 01/07/13 LOCAL Corp DE 5.02,9.01 01/16/13 Locan, Inc. OK 4.01 01/07/13 Location Based Technologies, Inc. NV 5.02 01/21/13 Location Based Technologies, Inc. NV 4.01,4.02,9.01 12/14/12 AMEND LSI CORP DE 2.02,9.01 01/23/13 MAGNUM HUNTER RESOURCES CORP DE 1.01,3.03,5.02,5.07, 01/23/13 9.01 MAINSOURCE FINANCIAL GROUP IN 2.02,8.01,9.01 01/23/13 MAP Pharmaceuticals, Inc. DE 1.01,9.01 01/22/13 MARINE PRODUCTS CORP DE 8.01,9.01 01/23/13 MARINE PRODUCTS CORP DE 2.02,9.01 01/23/13 MARKEL CORP VA 8.01 01/22/13 MARTEN TRANSPORT LTD DE 2.02,9.01 01/22/13 MATTSON TECHNOLOGY INC DE 7.01 01/22/13 MCDONALDS CORP DE 2.02,9.01 01/23/13 McEwen Mining Inc. CO 7.01,9.01 01/22/13 Mellanox Technologies, Ltd. L3 2.02,9.01 01/23/13 MERCANTILE BANK CORP MI 5.02 01/22/13 MERCURY GENERAL CORP CA 2.05 01/22/13 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 01/15/13 MHI Hospitality CORP MD 4.01,5.02,9.01 01/21/13 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 01/22/13 Mill City Ventures III, Ltd MN 5.03,7.01,9.01 01/17/13 MOLEX INC DE 2.02,9.01 01/23/13 Molycorp, Inc. DE 7.01 01/23/13 Motorola Solutions, Inc. DE 2.02,9.01 01/23/13 MOTRICITY INC DE 5.02 01/23/13 Mueller Water Products, Inc. DE 8.01,9.01 01/23/13 MusclePharm Corp NV 8.01,9.01 01/16/13 NATURAL RESOURCE PARTNERS LP DE 7.01,9.01 01/23/13 NETFLIX INC DE 2.02,9.01 01/23/13 NEWS CORP 8.01,9.01 01/23/13 Noble Corp / Switzerland V8 2.02,9.01 01/23/13 NORFOLK SOUTHERN CORP VA 1.01,5.03,9.01 01/22/13 NOVAGEN SOLAR INC. NV 5.02,7.01,9.01 01/22/13 NT MINING Corp 5.02 01/22/13 NVE CORP /NEW/ MN 2.02 01/23/13 OBA Financial Services, Inc. MD 5.02,9.01 01/17/13 OCZ TECHNOLOGY GROUP INC DE 5.02,9.01 01/16/13 AMEND OFS Capital Corp DE 1.01,1.02,9.01 01/22/13 OLD POINT FINANCIAL CORP VA 2.02,9.01 01/23/13 OLD SECOND BANCORP INC DE 2.02,9.01 01/23/13 OMEROS CORP WA 8.01,9.01 01/22/13 ONEOK INC /NEW/ OK 7.01,9.01 01/23/13 ONEOK Partners LP DE 1.01,9.01 01/23/13 ONEOK Partners LP DE 7.01,9.01 01/23/13 Opexa Therapeutics, Inc. TX 1.01,2.03,3.02,8.01, 01/23/13 9.01 ORGANIC PLANT HEALTH INC. NV 8.01,9.01 01/23/13 ORMAT TECHNOLOGIES, INC. DE 2.06,9.01 01/23/13 OXIGENE INC DE 5.02,9.01 01/23/13 PACIFIC PREMIER BANCORP INC DE 2.02,9.01 12/31/12 Pacira Pharmaceuticals, Inc. DE 1.01,1.02,2.03,3.02, 01/23/13 9.01 PALMETTO BANCSHARES INC SC 2.02,9.01 01/23/13 PARAMETRIC TECHNOLOGY CORP MA 2.02,9.01 01/23/13 PARKWAY PROPERTIES INC MD 2.02,7.01,9.01 01/22/13 PARKWAY PROPERTIES INC MD 1.01,9.01 01/23/13 Patriot Coal CORP DE 7.01,9.01 01/23/13 PETMED EXPRESS INC FL 8.01,9.01 01/22/13 PETROSONIC ENERGY, INC. NV 1.01,3.02,9.01 01/09/13 PIER 1 IMPORTS INC/DE DE 5.02 01/17/13 POLYCOM INC DE 2.02,9.01 01/23/13 POLYMEDIX, INC DE 1.01,7.01,9.01 01/16/13 PRAXAIR INC DE 2.02,9.01 01/23/13 PREFERRED APARTMENT COMMUNITIES INC MD 1.01,2.01,3.02,3.03, 01/17/13 7.01,9.01 PREMIERWEST BANCORP OR 2.02,9.01 01/22/13 PRICESMART INC DE 5.07 01/22/13 PROVIDENT NEW YORK BANCORP DE 2.02,9.01 01/23/13 PULASKI FINANCIAL CORP MO 2.02,9.01 01/22/13 PURE CYCLE CORP CO 5.07 01/16/13 QUANTUM MATERIALS CORP. NV 1.01,3.02,5.02,8.01, 01/10/13 9.01 QUEST DIAGNOSTICS INC DE 2.02,9.01 01/23/13 RALCORP HOLDINGS INC /MO MO 8.01 01/22/13 RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 01/23/13 REALTY INCOME CORP MD 1.01,1.02,2.01,2.03, 01/22/13 8.01,9.01 RESOLUTE ONCOLOGY INC NV 8.01 01/18/13 Reven Housing REIT, Inc. CO 9.01 11/07/12 AMEND RLI CORP IL 2.02,9.01 01/23/13 Rock-Tenn CO GA 8.01,9.01 01/22/13 Rock-Tenn CO GA 2.02,9.01 01/22/13 ROLLINS INC DE 8.01,9.01 01/22/13 ROLLINS INC DE 2.02,9.01 01/23/13 RPC INC DE 8.01,9.01 01/23/13 RPC INC DE 2.02,9.01 01/23/13 S Y BANCORP INC KY 2.02,9.01 01/23/13 SANDISK CORP DE 2.02,9.01 01/23/13 Santa Fe Petroleum, Inc. DE 1.01,2.01,3.02,5.01, 01/23/12 AMEND 5.02,5.06,7.01,9.01 SANTARUS INC DE 8.01 01/21/13 SARATOGA RESOURCES INC /TX TX 7.01,9.01 01/23/13 SeaCube Container Leasing Ltd. D0 1.01,5.02,8.01,9.01 01/18/13 SECURITY FEDERAL CORP SC 5.02,5.03 01/17/13 Shire plc 8.01,9.01 01/23/13 SIFCO INDUSTRIES INC OH 5.02,5.07 01/17/13 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 01/23/13 SOUTHWEST BANCORP INC OK 2.02,4.02,9.01 01/22/13 SPIRIT REALTY CAPITAL, INC. MD 1.01,5.02,9.01 01/22/13 ST JUDE MEDICAL INC MN 2.02,9.01 01/23/13 STRYKER CORP MI 2.02,9.01 01/23/13 SUMMER ENERGY HOLDINGS INC NV 5.02,9.01 01/21/13 SUPERMEDIA INC. DE 8.01,9.01 01/23/13 SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 01/23/13 SWIFT TRANSPORTATION Co 2.02,9.01 01/23/13 Swingplane Ventures, Inc. NV 9.01 08/30/12 AMEND SYMANTEC CORP DE 5.02,9.01 01/21/13 SYMANTEC CORP DE 2.02,9.01 01/23/13 SYMMETRICOM INC DE 2.02,2.05,9.01 01/21/13 TAIWAN FUND INC DE 7.01,9.01 12/31/12 TARGACEPT INC 5.02 01/17/13 TE Connectivity Ltd. V8 2.02,7.01,9.01 01/23/13 TECHE HOLDING CO LA 2.02,9.01 01/23/13 TECUMSEH PRODUCTS CO MI 7.01,9.01 01/23/13 TECUMSEH PRODUCTS CO MI 7.01,9.01 01/23/13 AMEND TELETECH HOLDINGS INC DE 5.02,9.01 01/22/13 TELIK INC DE 8.01,9.01 01/22/13 TESORO LOGISTICS LP DE 7.01,9.01 01/23/13 TEXTRON INC DE 2.02,9.01 01/23/13 THERAVANCE INC DE 1.01,8.01,9.01 01/17/13 TICC Capital Corp. MD 2.02,9.01 01/23/13 TRAVELERS COMPANIES, INC. MN 7.01 01/22/13 TRI COUNTY FINANCIAL CORP /MD/ MD 2.02,9.01 01/22/13 UMB FINANCIAL CORP MO 2.02,8.01,9.01 01/22/13 UNIFI INC NY 2.02,7.01,8.01,9.01 01/22/13 UNITED GUARDIAN INC DE 1.01,9.01 01/18/13 UNITED TECHNOLOGIES CORP /DE/ DE 2.02,7.01,9.01 01/23/13 UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 01/23/13 US AIRWAYS GROUP INC DE 2.02,9.01 01/23/13 US AIRWAYS GROUP INC DE 7.01,9.01 01/23/13 US FUEL CORP NV 1.01 01/23/13 US GEOTHERMAL INC DE 8.01,9.01 01/23/13 VALOR GOLD CORP. DE 5.02 01/17/13 Vanda Pharmaceuticals Inc. DE 8.01,9.01 01/23/13 VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 01/23/13 VelaTel Global Communications, Inc. NV 3.02 01/04/13 Verso Paper Holdings LLC DE 7.01 01/22/13 VITRAN CORP INC A6 1.01 01/22/13 WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 01/22/13 WELLPOINT, INC IN 2.02,9.01 01/23/13 WESTERN DIGITAL CORP DE 2.02,9.01 01/23/13 WESTERN DIGITAL CORP DE 2.05 01/23/13 WINDSTREAM CORP DE 1.01,2.03,8.01,9.01 01/22/13 Woodward, Inc. DE 2.02,7.01,9.01 01/22/13 ZHONE TECHNOLOGIES INC DE 2.02,9.01 01/23/13