Extension of Interim Final Exemptions for Security-Based Swaps
On January 29, 2013, the Commission extended until February 11, 2014, the interim final exemptions under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939 for security-based swaps that prior to July 16, 2011 were security-based swap agreements and are defined as “securities” under the Securities Act and the Exchange Act as of July 16, 2011 due solely to the provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
SEC Charges Real Estate Executives in Florida-Based $300 Million Investment Scheme
The Securities and Exchange Commission today charged five former real estate executives who defrauded investors into believing they were funding the development of five-star destination resorts in Florida and Las Vegas when they were actually buying into a Ponzi scheme.
The SEC alleges that Cay Clubs Resorts and Marinas raised more than $300 million from nearly 1,400 investors nationwide through a network of hundreds of sales agents, marketing seminars, and podcasts that touted the profitability of purchasing units at Cay Clubs resort locations. Investors were promised immediate income from a guaranteed 15 percent return and a future income stream through a rental program that Cay Clubs managed. But instead of using investor funds to develop resort properties and units, the Cay Clubs executives used new investor deposits to pay leaseback returns to earlier investors. Meanwhile they paid themselves exorbitant salaries and commissions totaling more than $30 million, and investor funds also were misused to buy airplanes and boats. While still advertising itself as a profitable venture, Cay Clubs eventually abandoned its operations. Many investors’ properties went into foreclosure.
“These Cay Clubs executives lined their pockets with millions of dollars that they told investors would be used to develop five-star resort properties,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office. “They continued to defraud investors as Cay Clubs collapsed.”
The SEC’s complaint filed in U.S. District Court for the Southern District of Florida charges the following former Cay Clubs executives:
According to the SEC’s complaint, the scheme began in 2004. Clark, Coleman, Graham, and Stokes solicited investors with promises of guaranteed income, instant equity in undervalued properties, historic appreciation, and at least $30,000 in upgrades to the units they purchased at Cay Clubs resort locations in Florida and Las Vegas. The representations about investors’ profitability and instant equity were false because the purported triple-digit returns resulted from undisclosed insider transactions with Cay Clubs by Coleman, Graham, and Stokes. Their actions made it appear that Cay Clubs units had enormous rates of appreciation over a short period of time when in fact the transactions were merely part of an insider flipping scheme. Further, Stokes wrote letters directly to potential investors claiming that the leaseback payments and profits were “guaranteed” and that Cay Clubs was a “very stable financially healthy company worth BILLIONS.”
The SEC alleges that Cay Clubs continued to solicit new investors despite the fact that the company’s financial condition had deteriorated so significantly that it did not have sufficient funds to make the “guaranteed” leaseback or rental payments to investors. Clark, Coleman, and Schwarz misappropriated millions of dollars in investor funds using the multitude of bank accounts they controlled. Besides purchasing airplanes and boats, they misused investor money for unrelated business ventures including investments in precious metals and a liquor distillery that produced Pirate’s Choice Rum. After Cay Clubs abandoned its operations in 2008, Clark and Coleman (who are now husband and wife) moved to the Cayman Islands and continued to dissipate assets and funnel at least $2 million to offshore accounts.
The SEC’s complaint seeks financial penalties from Clark, Coleman, and Stokes and the disgorgement of ill-gotten gains plus prejudgment interest by all five executives. The complaint also seeks injunctive relief to enjoin them from future violations of the federal securities laws as well as an accounting and an order to repatriate investor assets.
The SEC’s investigation was conducted in the Miami Regional Office by Senior Counsel Linda S. Schmidt and Senior Regional Accountant Fernando Torres under the supervision of Assistant Regional Director Jason R. Berkowitz. Senior Trial Counsel Amie R. Berlin will lead the SEC’s litigation. (Press Rel. 2013-15)
In the Matter of Brian D. Fox
On January 29, 2013, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (Order) against Brian D. Fox.
The Division of Enforcement alleges that on November 2, 2012, the United States District Court for the Northern District of Oklahoma entered judgment against Fox, permanently enjoining him from future violations, direct or indirect, of Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Securities Exchange Act of 1934 (the Exchange Act) and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13b2-1 and 13b2-2 thereunder. The Judgment further prohibited Fox, pursuant to Exchange Act Section 21(d)(2), from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act or required to file reports pursuant to Section 15(d) of the Exchange Act. Securities and Exchange Commission v. Brian D. Fox, Civil Action Number 4:11-CV-0211-CVE-PJC.
The Order temporarily suspends Fox from appearing or practicing before the Commission, effective upon service to the Respondent. Within 30 days after service, Fox may apply to the Commission to lift the temporary suspension, or request the matter be set for hearing. (Rel. 34-68754; AAE Rel. 3442; File No. 3-15191)
In the Matter of ICP Solar Technologies, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in ICP Solar Technologies, Inc., Admin. Proc. No. 3-15144. The Order Instituting Proceedings (OIP) alleged that ICP Solar Technologies, Inc., iDNA, Inc., Infopage, Inc. (a/k/a Tamija Gold & Diamond Exploration, Inc.), and Interlink-US-Network, Ltd., repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-68763; File No. 3-15144)
In the Matter of Dan Rapoport
On January 30, 2013, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) as to Dan Rapoport (Order). The Order finds that from 2003 until February 2008, Rapoport, who has previously held Series 7, 24, and 63 licenses, was employed by OOO CentreInvest Securities (CI-Moscow) a Moscow-based broker-dealer and limited liability company specializing in the sale of second-tier Russian equities. The Order further finds that from about 2003 until at least November 2007, CI-Moscow directly and indirectly solicited investors in the United States to purchase and sell thinly-traded stocks of Russian companies without registering as a broker-dealer, as required by Section 15(a) of the Exchange Act, or meeting the requirements for an exemption. The Order finds that in some cases, Rapoport and other employees of CI-Moscow, who were not licensed to sell securities under U.S. law or registered as brokers or dealers under U.S. law and were not exempt from such licensing and registration requirements, solicited U.S. investors directly. The Order further finds that Rapoport directed employees of CentreInvest, Inc. (CI-New York) – a registered broker-dealer located in New York, New York that was affiliated with CI-Moscow – to solicit U.S. institutional investors for the purchase and sale of Russian securities and that investors who expressed interest in a transaction were referred to CI-Moscow to complete the transaction. The Order also finds that CI-New York failed to maintain proper records concerning CI-Moscow’s transactions with the U.S. investors.
Based on the above, the Commission orders Rapoport to cease and desist from committing or causing violations and any future violations of Section 15(a) of the Exchange Act; bars Rapoport from association with any broker or dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock; and orders Rapoport to pay disgorgement, prejudgment interest and civil penalties totaling $68,402.40. Rapoport consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-68764; File No. 3-13304)
Allianz Variable Insurance Products Fund of Funds Trust, et al.
A notice has been issued giving interested persons until February 25, 2013, to request a hearing on an application filed by Allianz Variable Insurance Products Fund of Funds Trust, et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30371 - January 29)
Proposed Rule Changes
International Securities Exchange, LLC filed a proposed rule change (SR-ISE-2013-07) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, amending the International Securities Exchange, LLC Amended and Restated Constitution. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68740)
NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2013-07) pursuant to Section 19(b)(1) of the Securities Exchange Act amending the attestation requirement of Rule 107C - Equities to allow a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Liquidity Program will qualify as “Retail Orders.” Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68746)
New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2013-08) pursuant to Section 19(b)(1) of the Securities Exchange Act amending the attestation requirement of Rule 107C to allow a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Liquidity Program will qualify as “Retail Orders.” Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68747)
BOX Options Exchange LLC filed a proposed rule change (SR-BOX-2013-06) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 1,000 shares of the SPDR S&P 500 Exchange-Traded Fund. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68759)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to Minimum Volume Orders (SR-CBOE-2013-009) 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. 34-68743)
A proposed rule change filed by NYSE MKT LLC amending Rule 80C - Equities, which provides for trading pauses in individual securities due to extraordinary market volatility, extending the effective date of the Pilot until the earlier of the initial date of operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (SR-NYSEMKT-2013-04) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68744)
A proposed rule change filed by the New York Stock Exchange LLC amending NYSE Rule 80C, which provides for trading pauses in individual securities due to extraordinary market volatility, extending the effective date of the Pilot until the earlier of the initial date of operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (SR-NYSE-2013-05) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68745)
A proposed rule change filed by NYSE Arca, Inc., amending NYSE Arca Equities Rule 7.11, which provides for trading pauses in individual securities due to extraordinary market volatility, extending the effective date of the Pilot until the earlier of the initial date of operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (SR-NYSEARCA-2013-02) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68748)
A proposed rule change filed by C2 Options Exchange, Incorporated relating to amending the fees schedule (SR-C2-2013-005) 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. 34-68751)
A proposed rule change filed by BATS Exchange, Inc. to amend BATS rules in connection with the elimination of Discretionary Orders for BATS Options (SR-BATS-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 28. (Rel. 34-68752)
A proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule to revise qualification thresholds for tiered customer posting credits (SR-NYSEArca-2013-04) 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. 34-68758)
A proposed rule change filed by International Securities Exchange, LLC to amend certain market maker fees, (SR-ISE-2013-05), 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. 34-68760)
A proposed rule change filed by The NASDAQ Stock Market LLC to amend NASDAQ Rule 4756 and Rule 4763 regarding modification of previously entered orders (SR-NASDAQ-2013-012) 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. 34-68762)
Withdrawal of a Proposed Rule Change
ICE Clear Europe Limited withdrew its proposed rule change (SR-ICEEU-2012-08) to clear Western European Sovereign CDS contracts. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68757)
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 EWaste Systems, Inc., 101 FIRST STREET, NUMBER 493, LOS ALTOS, CA, 94022, 650-283-2907 - 20,000,000 ($81,000.00) Debt, (File 333-186261 - Jan. 29) (BR. 02) S-1 H2 FINANCIAL MANAGEMENT INC., 999 18TH STREET, SUITE 3000, DENVER, CO, 80202, 303-893-2902 - 0 ($170,200,000.00) Equity, (File 333-186264 - Jan. 29) (BR. 09) S-8 AMERICAN WOODMARK CORP, 3102 SHAWNEE DRIVE, WINCHESTER, VA, 22601, (540) 665-9100 - 500,000 ($13,610,000.00) Equity, (File 333-186266 - Jan. 29) (BR. 06A) S-8 Carroll Bancorp, Inc., 1321 LIBERTY ROAD, SYKESVILLE, MD, 21784, 410-795-1900 - 46,728 ($474,289.20) Equity, (File 333-186267 - Jan. 29) (BR. 07B) S-8 Industrial Income Trust Inc., 518 SEVENTEENTH STREET, 17TH FLOOR, DENVER, CO, 80202, 303-228-2200 - 0 ($20,800,000.00) Equity, (File 333-186268 - Jan. 29) (BR. 08C) S-1 COMMUNITY FINANCIAL SHARES INC, 357 ROOSEVELT ROAD, GLEN ELLYN, IL, 60137, 6305450900 - 3,000,000 ($3,000,000.00) Equity, (File 333-186269 - Jan. 29) (BR. 07C) S-8 Northfield Bancorp, Inc., 581 MAIN STREET, SUITE 810, WOODBRIDGE, NJ, 07095, (732) 499-7200 - 3,504,024 ($27,796,129.00) Equity, 2,975,454 ($0.01) Other, (File 333-186270 - Jan. 29) (BR. 07B) S-8 WEB.COM GROUP, INC., 12808 GRAN BAY PARKWAY WEST, JACKSONVILLE, FL, 32258, 9046806600 - 0 ($63,680,000.00) Equity, (File 333-186271 - Jan. 29) (BR. 03B) S-3 FIRST BANCORP /NC/, 341 NORTH MAIN ST, PO BOX 508, TROY, NC, 27371-0508, 9105766171 - 4,113,706 ($43,023,350.00) Other, (File 333-186273 - Jan. 29) (BR. 07B) S-4 ENDEAVOUR INTERNATIONAL CORP, 1001 FANNIN STREET, SUITE 1600, HOUSTON, TX, 77002, 713-307-8700 - 0 ($554,000,000.00) Debt, (File 333-186274 - Jan. 29) (BR. 04B)
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 ----------------------------------------------------------------------------------------- 1ST CONSTITUTION BANCORP NJ 2.02,9.01 01/29/13 ACCURIDE CORP DE 5.02 01/28/13 ACE Ltd V8 2.02,9.01 01/29/13 Actavis, Inc. NV 5.02 01/24/13 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 01/29/13 ADMA BIOLOGICS, INC. DE 5.02 01/23/13 AFFILIATED MANAGERS GROUP INC DE 2.02,8.01,9.01 01/29/13 AIR LEASE CORP DE 8.01,9.01 01/29/13 AK STEEL HOLDING CORP DE 2.02,9.01 01/29/13 Alliance Holdings GP, L.P. DE 2.02,9.01 01/29/13 ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 01/29/13 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 01/29/13 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 01/29/13 AMAZON COM INC DE 2.02,9.01 01/29/13 American Midstream Partners, LP DE 1.01,2.03 01/24/13 American Realty Capital Properties, I MD 8.01,9.01 01/25/13 American Realty Capital Trust IV, Inc MD 5.02 01/28/13 American Strategic Minerals Corp NV 5.02,9.01 01/28/13 AMERIGAS PARTNERS LP DE 5.02 01/23/13 Ameris Bancorp GA 2.02,9.01 01/29/13 Anacor Pharmaceuticals Inc DE 8.01,9.01 01/29/13 Anchor Bancorp WA 2.02,9.01 01/29/13 ANIXTER INTERNATIONAL INC DE 2.02,9.01 01/29/13 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 01/29/13 ASHFORD HOSPITALITY TRUST INC MD 5.02 01/24/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 01/29/13 ASHLAND INC. KY 2.02,9.01 01/29/13 ASHLAND INC. KY 7.01,9.01 01/29/13 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 01/29/13 ASPEN TECHNOLOGY INC /DE/ DE 5.02,9.01 01/28/13 ATMOS ENERGY CORP TX 8.01 01/25/13 AUBURN NATIONAL BANCORPORATION, INC DE 2.02,9.01 01/29/13 AUXILIUM PHARMACEUTICALS INC DE 1.01,3.02,8.01,9.01 01/24/13 Bancorp, Inc. 8.01,9.01 01/23/13 BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 01/25/13 BankUnited, Inc. DE 2.02,9.01 01/29/13 BAXTER INTERNATIONAL INC DE 1.01,2.03,9.01 01/25/13 BBCN BANCORP INC DE 2.02,7.01,9.01 01/28/13 Be Active Holdings, Inc. DE 4.01,9.01 01/23/13 Be Active Holdings, Inc. DE 9.01 01/09/13 AMEND BEAZER HOMES USA INC DE 8.01,9.01 01/29/13 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 01/29/13 BERKSHIRE HILLS BANCORP INC DE 2.02,8.01,9.01 01/28/13 BERRY PLASTICS GROUP INC DE 7.01,9.01 01/29/13 BLACK BOX CORP DE 2.02,9.01 01/29/13 Black Elk Energy Offshore Operations, TX 5.02 01/25/13 BOB EVANS FARMS INC DE 1.01,2.02,5.02,8.01, 01/28/13 9.01 BOSTON SCIENTIFIC CORP DE 2.02,2.05,8.01 01/25/13 BROADCOM CORP CA 2.02,9.01 01/29/13 BROADSOFT, INC. DE 5.02,9.01 01/25/13 BSB Bancorp, Inc. MD 8.01 01/29/13 BUCKEYE PARTNERS, L.P. DE 8.01,9.01 01/24/13 BUCKEYE PARTNERS, L.P. DE 7.01,9.01 01/29/13 CALAVO GROWERS INC CA 5.02 01/24/13 CAMDEN NATIONAL CORP ME 2.02,9.01 01/29/13 CAPITAL CITY BANK GROUP INC FL 2.02,9.01 01/29/13 CAPITALSOURCE INC DE 2.02,7.01,9.01 01/29/13 Capitol Federal Financial Inc MD 2.02,9.01 01/29/13 Cardinal Energy Group, Inc. NV 5.02,9.01 01/28/13 CAREER EDUCATION CORP DE 8.01,9.01 01/18/13 CENTER BANCORP INC NJ 2.02,9.01 01/25/13 CFS BANCORP INC IN 2.02,9.01 01/29/13 CHAMPION INDUSTRIES INC WV 2.02,9.01 01/29/13 CHAMPION INDUSTRIES INC WV 2.02,9.01 01/29/13 CHART INDUSTRIES INC DE 7.01,9.01 01/29/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 01/29/13 China Armco Metals, Inc. NV 1.01,9.01 01/28/13 China Energy Recovery, Inc. DE 1.01 01/28/13 CHS INC MN 5.02 01/28/13 CHYRON CORP NY 8.01 01/25/13 CIENA CORP DE 7.01 01/29/13 CINCINNATI BELL INC OH 5.02,9.01 01/23/13 CIT GROUP INC DE 2.02,9.01 01/29/13 Citizens Community Bancorp Inc. MD 2.02,9.01 01/29/13 Cleantech Solutions International, In DE 4.01,9.01 01/28/13 CLECO CORP LA 5.02,9.01 01/24/13 CMS ENERGY CORP MI 5.03,9.01 01/24/13 COCA-COLA ENTERPRISES, INC. DE 8.01 01/29/13 COEUR D ALENE MINES CORP ID 1.01,2.03,9.01 01/29/13 COLONIAL PROPERTIES TRUST AL 5.02 01/23/13 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 01/29/13 COMMUNITY WEST BANCSHARES / CA 2.02,9.01 01/29/13 CONAGRA FOODS INC /DE/ DE 2.01,7.01,9.01 01/29/13 CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 01/29/13 Consolidation Services, Inc. DE 1.01,9.01 01/24/13 CORNERSTONE BANCSHARES INC TN 2.02,9.01 01/28/13 Cornerstone Core Properties REIT, Inc MD 2.01,9.01 01/23/13 CORNING INC /NY NY 2.02,9.01 01/29/13 Corporate Capital Trust, Inc. MD 8.01,9.01 01/29/13 Corporate Property Associates 17 - Gl MD 5.03,9.01 01/23/13 CORVEL CORP DE 2.02,9.01 01/29/13 COSI INC DE 5.02 01/23/13 CRANE CO /DE/ DE 2.02,5.02,5.03,8.01, 01/28/13 9.01 CROGHAN BANCSHARES INC OH 2.02,9.01 01/29/13 CROSSTEX ENERGY INC DE 1.01,2.03,7.01,9.01 01/28/13 CROSSTEX ENERGY LP DE 1.01,2.03,7.01,9.01 01/28/13 Crystal Rock Holdings, Inc. DE 2.02,9.01 01/29/13 CTS CORP IN 2.02,9.01 01/28/13 CVR ENERGY INC DE 1.01,2.01,2.03,9.01 01/23/13 CVR Refining, LP DE 1.01,2.03,3.03,5.03, 01/23/13 9.01 CyrusOne Inc. MD 5.02,9.01 01/23/13 DANAHER CORP /DE/ DE 2.02,9.01 01/29/13 DAWSON GEOPHYSICAL CO TX 7.01,9.01 01/29/13 DELTA APPAREL, INC GA 5.02,9.01 01/23/13 DELTA APPAREL, INC GA 2.02,7.01,9.01 01/28/13 Demandware Inc DE 5.02 01/29/13 DEPOMED INC CA 8.01 01/29/13 Diamond Resorts Corp MD 2.03,9.01 01/23/13 DIGITAL ALLY INC 5.02 01/23/13 Dolby Laboratories, Inc. DE 2.02,9.01 01/29/13 DST SYSTEMS INC DE 2.06 01/29/13 EAGLE ROCK ENERGY PARTNERS L P DE 7.01 01/29/13 EDUCATION MANAGEMENT CORPORATION 1.01,2.03,7.01 01/24/13 EGPI FIRECREEK, INC. NV 5.02,8.01 01/24/13 ELLIE MAE INC DE 5.02 01/23/13 EMC CORP MA 2.02,2.05,9.01 01/25/13 EMC INSURANCE GROUP INC IA 7.01,9.01 01/28/13 ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 01/29/13 ENDEAVOUR INTERNATIONAL CORP NV 8.01,9.01 01/29/13 ENERGEN CORP AL 8.01 01/28/13 ENERGIZER HOLDINGS INC MO 5.07,7.01,9.01 01/28/13 Enphase Energy, Inc. DE 5.02,9.01 01/23/13 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,5.02,9.01 01/24/13 ESB FINANCIAL CORP PA 2.02,9.01 01/29/13 EWaste Systems, Inc. NV 8.01,9.01 01/28/13 Federal Home Loan Bank of Atlanta X1 2.03 01/23/13 Federal Home Loan Bank of Boston X1 2.03 01/23/13 Federal Home Loan Bank of Chicago X1 2.03 01/23/13 Federal Home Loan Bank of Chicago X1 2.02,9.01 01/29/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/24/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/25/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/29/13 Federal Home Loan Bank of New York X1 2.03,9.01 01/23/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/23/13 Federal Home Loan Bank of San Francis X1 2.03 01/23/13 Federal Home Loan Bank of Seattle 2.03 01/23/13 Federal Home Loan Bank of Topeka 2.03,9.01 01/23/13 First American Financial Corp DE 1.01,8.01,9.01 01/29/13 FIRST BUSEY CORP /NV/ NV 2.02,9.01 01/29/13 FIRST BUSINESS FINANCIAL SERVICES, IN WI 5.02,9.01 01/25/13 FIRST DATA CORP DE 2.02,9.01 01/29/13 FIRST DATA CORP DE 5.02,9.01 01/28/13 FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 01/29/13 FIRST INTERSTATE BANCSYSTEM INC MT 2.02,9.01 01/28/13 FIRSTBANK CORP MI 2.02,9.01 01/29/13 FIRSTBANK CORP MI 8.01,9.01 01/29/13 FORD MOTOR CO DE 2.02,9.01 01/28/13 FORD MOTOR CREDIT CO LLC DE 2.02,9.01 01/29/13 FRANKLIN COVEY CO UT 5.07,8.01 01/25/13 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 01/29/13 FREDERICK COUNTY BANCORP INC MD 5.02 01/28/13 Freescale Semiconductor, Ltd. D0 2.02,9.01 01/29/13 G&K SERVICES INC MN 2.02,9.01 01/29/13 GALLAGHER ARTHUR J & CO DE 2.02,9.01 01/29/13 GENTEX CORP MI 2.02,9.01 01/29/13 GLADSTONE CAPITAL CORP MD 2.02,9.01 01/29/13 GLEACHER & COMPANY, INC. DE 5.02,7.01,9.01 01/28/13 GLOBAL EQUITY INTERNATIONAL INC NV 4.01,9.01 01/18/13 AMEND GLOBAL PARTNERS LP 1.01,2.03,9.01 01/25/13 GLOBALWISE INVESTMENTS INC NV 2.02,9.01 01/23/13 GRACO INC MN 2.02,9.01 01/28/13 GREAT NORTHERN IRON ORE PROPERTIES MN 2.02,9.01 01/29/13 Groupon, Inc. DE 5.02,9.01 01/28/13 Guaranty Bancorp DE 2.02,7.01,9.01 01/28/13 GXS Worldwide, Inc. DE 5.02 01/23/13 GYMBOREE CORP DE 5.02 01/25/13 HALF ROBERT INTERNATIONAL INC /DE/ DE 2.02,9.01 01/29/13 HARLEY DAVIDSON INC WI 2.02,9.01 01/29/13 HARMONIC INC DE 2.02,9.01 01/29/13 HARRIS CORP /DE/ DE 2.02,7.01,9.01 01/29/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 1.01,9.01 01/28/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 01/29/13 HAWAIIAN HOLDINGS INC DE 2.02,9.01 01/29/13 HD SUPPLY, INC. DE 8.01,9.01 01/29/13 HEADWATERS INC DE 2.02,9.01 01/29/13 HEALTHCARE REALTY TRUST INC MD 2.02,9.01 01/29/13 HEALTHSOUTH CORP DE 5.02,9.01 01/29/13 Highbridge Commodities FuturesAccess DE 1.01,9.01 01/17/13 AMEND HORTON D R INC /DE/ DE 2.02,9.01 01/29/13 HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 01/29/13 ICAHN ENTERPRISES L.P. DE 1.02,9.01 01/29/13 ICG GROUP, INC. DE 8.01 01/29/13 ICON INCOME FUND NINE LLC DE 8.01,9.01 01/23/13 IDEXX LABORATORIES INC /DE DE 2.02,9.01 01/29/13 ILLINOIS TOOL WORKS INC DE 2.02,9.01 01/29/13 INTER PARFUMS INC DE 2.02 01/29/13 INTERCLOUD SYSTEMS, INC. 4.01,9.01 01/17/13 AMEND InterCore Energy, Inc. DE 1.01,2.01,3.02,5.01, 01/23/13 5.02,9.01 INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 01/29/13 INTEVAC INC CA 2.02,9.01 01/29/13 IVOICE, INC /NJ NJ 2.01 01/29/13 IXYS CORP /DE/ DE 2.02,9.01 01/29/13 JETBLUE AIRWAYS CORP DE 2.02 01/29/13 JETBLUE AIRWAYS CORP DE 7.01,9.01 01/29/13 Jiu Feng Investment Hong Kong Ltd NV 8.01,9.01 01/27/13 Kandi Technologies Group, Inc. DE 1.01,9.01 01/29/13 KB HOME DE 8.01,9.01 01/29/13 KEY TRONIC CORP WA 2.02,9.01 01/29/13 KEYNOTE SYSTEMS INC DE 2.02,8.01,9.01 01/29/13 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 01/29/13 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 01/24/13 Lake Shore Bancorp, Inc. X1 5.02,9.01 01/23/13 LAKELAND BANCORP INC NJ 1.01,7.01,8.01,9.01 01/28/13 Lantheus Medical Imaging, Inc. DE 5.02,9.01 01/23/13 LEXMARK INTERNATIONAL INC /KY/ DE 2.02,9.01 01/29/13 Lightwave Logic, Inc. NV 7.01,9.01 01/29/13 LILLY ELI & CO IN 2.02,9.01 01/29/13 Linkwell CORP FL 8.01 01/09/13 LiverpoolGroup, Inc. OK 4.01 01/05/13 AMEND LKA INTERNATIONAL INC /DE/ DE 8.01 01/28/13 LogMeIn, Inc. DE 5.02 01/24/13 LOJACK CORP MA 1.01 01/29/13 LUBYS INC DE 5.07 01/25/13 M/A-COM Technology Solutions Holdings DE 2.02,9.01 01/29/13 Macy's, Inc. DE 5.02 01/29/13 MANHATTAN ASSOCIATES INC GA 2.02,9.01 01/29/13 MARINEMAX INC DE 2.02,9.01 01/29/13 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 01/29/13 Mastech Holdings, Inc. PA 2.02,9.01 01/29/13 Matson, Inc. HI 5.02,9.01 01/23/13 Med One Oak, Inc. DE 4.01,9.01 01/10/13 Medley Capital Corp DE 1.01,2.03,9.01 01/23/13 MERCURY SYSTEMS INC MA 2.02,9.01 01/29/13 MERU NETWORKS INC DE 2.02,5.02,9.01 01/24/13 MICHAELS STORES INC DE 1.01 01/28/13 MICROPAC INDUSTRIES INC DE 1.01,1.02,2.03,9.01 01/29/13 MIDDLEBY CORP DE 5.02,9.01 01/25/13 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 01/29/13 N-VIRO INTERNATIONAL CORP DE 8.01 01/29/13 NASB FINANCIAL INC MO 5.07 01/28/13 NASDAQ OMX GROUP, INC. DE 8.01,9.01 01/29/13 NBT BANCORP INC DE 5.02,9.01 01/24/13 NETFLIX INC DE 7.01,9.01 01/29/12 NETFLIX INC DE 8.01,9.01 01/29/13 NEWBRIDGE BANCORP NC 2.02,9.01 01/29/13 NEWLINK GENETICS CORP 8.01 01/29/13 NEWMARKET CORP VA 5.02 01/25/13 NEWS CORP 8.01,9.01 01/29/13 NEXTERA ENERGY INC FL 2.02,9.01 01/29/13 NTS REALTY HOLDINGS LP DE 8.01,9.01 01/29/13 NUCOR CORP DE 2.02,9.01 01/29/13 OCLARO, INC. DE 1.01,2.03 01/23/13 OCTAGON 88 RESOURCES, INC. NV 1.01,9.01 11/30/12 OHIO VALLEY BANC CORP OH 2.02,9.01 12/31/12 OLIN CORP VA 7.01,9.01 01/28/13 Onstream Media CORP FL 3.02,5.02 01/22/13 Onteco Corp NV 1.01,9.01 10/03/12 Opko Health, Inc. DE 1.01,2.03,3.02,8.01, 01/23/13 9.01 OVERSTOCK.COM, INC DE 2.02,9.01 01/24/13 Oxford Resource Partners LP 7.01,9.01 01/29/13 PACIFIC FINANCIAL CORP WA 8.01,9.01 01/28/13 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 01/23/13 PANTRY INC DE 5.02 01/29/13 PARKWAY PROPERTIES INC MD 5.02,9.01 01/29/13 PDL BIOPHARMA, INC. DE 5.02 01/23/13 PDL BIOPHARMA, INC. DE 8.01,9.01 01/23/13 PEABODY ENERGY CORP DE 2.02,9.01 01/29/13 PENN VIRGINIA CORP VA 2.02,7.01,9.01 01/29/13 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 01/29/13 PENTAIR LTD V8 2.02,9.01 01/29/13 PERFORMANCE TECHNOLOGIES INC \DE\ DE 5.02 01/24/13 PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 01/29/13 PERVASIVE SOFTWARE INC DE 1.01,8.01,9.01 01/28/13 PERVASIVE SOFTWARE INC DE 8.01,9.01 01/28/13 PERVASIVE SOFTWARE INC DE 2.02,9.01 01/28/13 PFIZER INC DE 2.02,9.01 01/29/13 PIONEER NATURAL RESOURCES CO DE 2.02,7.01 01/29/13 Pioneer Southwest Energy Partners L.P DE 2.02,7.01 01/29/13 PLANTRONICS INC /CA/ DE 7.01,9.01 01/29/13 PLX TECHNOLOGY INC DE 2.02,9.01 09/30/11 PLX TECHNOLOGY INC DE 5.03,9.01 01/24/13 PLX TECHNOLOGY INC DE 2.02,9.01 01/28/13 POLARIS INDUSTRIES INC/MN MN 2.02,7.01,9.01 01/29/13 POLYONE CORP 2.02,9.01 01/29/13 POTLATCH CORP DE 2.02,9.01 01/29/13 PREFERRED APARTMENT COMMUNITIES INC MD 8.01,9.01 01/29/13 PRICE T ROWE GROUP INC MD 2.02,9.01 01/29/13 PROSPECT GLOBAL RESOURCES INC. NV 8.01 01/29/13 QCR HOLDINGS INC DE 8.01,9.01 01/29/13 QUINSTREET, INC DE 2.02,5.02,9.01 01/28/13 RALCORP HOLDINGS INC /MO MO 1.02,2.01,3.01,3.03, 01/29/13 5.01,5.02,5.03,5.07, 9.01 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 01/23/13 RESOURCES CONNECTION INC DE 8.01,9.01 01/24/13 ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 01/29/13 Rock-Tenn CO GA 5.07 01/29/13 ROCKWELL MEDICAL, INC. MI 3.02,9.01 01/28/13 ROGERS CORP MA 2.02,9.01 01/29/13 RYLAND GROUP INC MD 2.02,9.01 01/29/13 S&T BANCORP INC PA 2.02,8.01,9.01 01/28/13 SANDERSON FARMS INC MS 5.02,9.01 01/24/13 Satori Beverages International, Ltd. NV 5.02 02/01/12 Satori Beverages International, Ltd. NV 5.02 07/02/12 SAUL CENTERS INC MD 8.01,9.01 01/29/13 SEQUENTIAL BRANDS GROUP, INC. DE 2.01,5.02,7.01,9.01 01/24/13 Sequoia Mortgage Trust 2013-2 8.01,9.01 01/01/13 Shire plc 8.01,9.01 01/29/13 SILGAN HOLDINGS INC DE 2.02,9.01 02/03/10 Silver Dragon Resources Inc. DE 7.01,9.01 01/29/13 SLM CORP DE 8.01,9.01 01/28/13 SLM Student Loan Trust 2004-8 DE 8.01,9.01 01/25/13 SOLITRON DEVICES INC DE 4.01,9.01 01/24/13 SOLTA MEDICAL INC DE 1.01,2.02,3.02,9.01 01/29/13 SOMERSET HILLS BANCORP NJ 1.01,7.01,8.01,9.01 01/28/13 SOUTH AMERICAN GOLD CORP. NV 1.01,3.02,9.01 01/22/13 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 01/23/13 SOUTHERN CONNECTICUT BANCORP INC CT 5.02,9.01 01/29/13 Spansion Inc. DE 2.02,9.01 01/29/13 Spectrum Brands Holdings, Inc. DE 8.01,9.01 01/29/13 STANCORP FINANCIAL GROUP INC OR 2.02,9.01 01/29/13 STARBUCKS CORP WA 8.01,9.01 01/29/13 STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 01/28/13 Summit Midstream Partners, LP DE 7.01 01/29/13 SUPERIOR OIL & GAS CO NV 8.01 01/25/13 TENET HEALTHCARE CORP NV 5.02,9.01 01/28/13 THQ INC DE 1.01,2.01,9.01 01/29/13 TIVO INC DE 5.02 01/24/13 TNP Strategic Retail Trust, Inc. MD 2.01,2.04,7.01,9.01 01/22/13 TORVEC INC NY 8.01,9.01 01/28/13 TOYS R US INC DE 7.01 01/29/13 TRANSWITCH CORP /DE DE 8.01,9.01 01/29/13 TRAVELZOO INC DE 2.02,9.01 01/24/13 TRICO BANCSHARES / CA 8.01,9.01 01/28/13 Tumi Holdings, Inc. DE 5.02,9.01 01/29/13 TUPPERWARE BRANDS CORP DE 2.02,9.01 01/29/13 TURBINE TRUCK ENGINES INC NV 1.01,9.01 01/23/13 TYCO INTERNATIONAL LTD V8 2.02,9.01 01/29/13 UGI CORP /PA/ PA 5.07 01/24/13 Unique Underwriters, Inc. TX 1.01 01/23/13 UNISYS CORP DE 2.02,9.01 01/29/13 UNITED BANCORP INC /OH/ OH 2.02,9.01 01/28/13 UNITED BANKSHARES INC/WV WV 2.02,9.01 01/29/13 United States 12 Month Natural Gas Fu 7.01,9.01 01/29/13 United States 12 Month Oil Fund, LP 7.01,9.01 01/29/13 United States Brent Oil Fund, LP DE 7.01,9.01 01/29/13 United States Commodity Index Funds T DE 7.01,9.01 01/29/13 United States Diesel-Heating Oil Fund DE 7.01,9.01 01/29/13 United States Gasoline Fund, LP DE 7.01,9.01 01/29/13 United States Natural Gas Fund, LP 7.01,9.01 01/29/13 United States Oil Fund, LP DE 7.01,9.01 01/29/13 United States Short Oil Fund, LP DE 7.01,9.01 01/29/13 UNITED STATES STEEL CORP DE 2.02,9.01 01/29/13 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 01/29/13 UROLOGIX INC MN 3.01,9.01 01/23/13 US CONCRETE INC DE 5.03 01/23/13 VALERO ENERGY CORP/TX DE 2.02,9.01 01/29/13 VECTOR GROUP LTD DE 7.01,9.01 01/29/13 VECTOR GROUP LTD DE 2.02,8.01,9.01 01/29/13 Verso Paper Corp. DE 7.01 01/29/13 VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 01/29/13 VIRGIN MEDIA INC. DE 5.02 01/25/13 W R GRACE & CO DE 2.02,7.01,9.01 01/24/13 WADDELL & REED FINANCIAL INC DE 2.02,9.01 01/29/13 Walker & Dunlop, Inc. MD 1.01,2.03,9.01 01/25/13 WARREN RESOURCES INC MD 5.02,9.01 01/25/13 WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02,8.01,9.01 01/28/13 WEBSENSE INC DE 2.02 01/29/13 WELLS FARGO & COMPANY/MN DE 8.01 01/29/13 WELLS FARGO & COMPANY/MN DE 9.01 01/29/13 WERNER ENTERPRISES INC NE 2.02,9.01 01/28/13 WESBANCO INC WV 2.02,9.01 01/29/13 Wesco Aircraft Holdings, Inc 2.02,9.01 01/29/13 Westport Energy Holdings Inc. DE 1.01,9.01 01/29/13 Wiless Controls Inc. NV 7.01,9.01 01/29/13 Xenith Bankshares, Inc. VA 5.02,9.01 01/23/13 Xstelos Holdings, Inc. DE 7.01,8.01 01/28/13