Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic Filings
On February 20, 2013, 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 eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the 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. 34-68956; File No. 3-15213)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic Filings
On February 20, 2013, 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. 34-68961; File No. 3-15214)
SEC Charges Virgin Islands-Based Investment Adviser With Defrauding Clients
The Securities and Exchange Commission today charged an investment adviser located in the U.S. Virgin Islands with defrauding clients from whom he withheld the fact that he was receiving kickbacks for investing their money in thinly-traded companies. When he faced pressure to pay clients their returns on those investments, he allegedly used money from other clients in a Ponzi-like fashion to make payments.
The SEC’s Enforcement Division alleges that James S. Tagliaferri, through his St. Thomas-based firm TAG Virgin Islands, routinely used his discretionary authority over the accounts of his clients to purchase promissory notes issued by particular private companies. In exchange for financing those companies, TAG received millions of dollars in cash and other compensation – a conflict of interest that was never disclosed to investors. The Enforcement Division further alleges that when the promissory notes neared or passed maturity and his clients demanded payment, Tagliaferri misused assets of other clients to meet those demands.
“Tagliaferri was anything but forthcoming with his clients and he repeatedly failed to act in their best interests,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “He didn’t tell them about the compensation he received from the companies they were financing, and then compounded his fraud by using client assets to pay other clients when the conflicted investments came due.”
In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Tagliaferri.
According to the SEC’s order instituting administrative proceedings, Tagliaferri invested TAG clients primarily in conservative and liquid investments such as municipal bonds and blue-chip stocks until around 2007, when he began investing clients in highly illiquid securities. These investments included promissory notes issued by various closely-held private companies that were nothing more than holding companies through which an individual and his family effected personal and business transactions. He also invested at least $40 million of clients’ money in notes of a private horse-racing company, International Equine Acquisitions Holdings, Inc.
According to the SEC’s order, TAG received more than $3.35 million and approximately 500,000 shares of stock of a microcap company in return for placing various investments with these companies. The compensation that TAG received from the companies for the investments that Tagliaferri made on behalf of his clients created a conflict of interest that he was required to disclose to investors.
The SEC’s Enforcement Division alleges that Tagliaferri then further defrauded clients by investing their funds in microcap and other thinly-traded public companies in order to raise at least $80 million to pay the interest or principal due to other clients on certain of the promissory notes. Tagliaferri explained in e-mails he sent in April 2010 to the individual behind the companies that the real motivation for investing TAG clients in one of his microcap companies was to use the proceeds to pay off other clients invested in the initial series of promissory notes. “Where is the $125MM. As you are aware, this money was earmarked to clear all of the notes and other issues facing us both,” Tagliaferri wrote. He later added, the “shares you transferred are being sold to clients. With those proceeds, you’re buying back your own notes.” TAG clients were unaware, however, that Tagliaferri’s true motivation for having them buy these stocks was to repay other TAG clients on other conflicted investments he had made for them.
According to the SEC’s order, Tagliaferri willfully violated Sections 17(a)(1) and (3) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rules 10b-5 thereunder, and Sections 206(1), 206(2) and 206(3) of the Investment Advisers Act of 1940.
The SEC’s investigation, which is continuing, was conducted by Leslie Kazon, Saima S. Ahmed, and Christopher Ferrante of the New York Regional Office. The litigation will be led by Ms. Ahmed and Nancy Brown. The SEC thanks the U.S. Attorney’s Office for the Southern District of New York, the U.S. Postal Inspection Service, and the Financial Industry Regulatory Authority (FINRA) for their assistance in this matter. (Press Rel. 2013-25; Rels. 34-68963; IA-3555; IC-30402; File No. 3-15215)
SEC Charges Fund Manager in Scheme Involving Risky Mortgage-Related Investments
The Securities and Exchange Commission today announced charges against an investment fund manager with offices in California and Arizona who is allegedly deceiving investors about the safety and performance of their investments, which involve risky collateralized mortgage obligations (CMOs).
The SEC alleges that George Charles Cody Price of La Jolla, Calif., raised $18 million for three investment funds through his firm ABS Manager LLC, and he promised investors that their money was secured by government-backed bonds yielding extraordinary double-digit returns as high as 18 percent per year. Price used the tagline “Your Flight to Safety” in marketing one of those funds. However, Price was actually investing in one the riskiest tranches of CMOs on the market, and the investments failed to achieve the returns that Price promised and sometimes even lost money. Price concealed the actual performance of these risky bonds by providing fake monthly statements to investors that inflated the value of the investments.
The SEC further alleges that Price, who regularly co-hosted a radio show in the San Diego area called “The Wealth Weekend Hour” and recommended that listeners invest in one of his funds, also stole a half-million dollars of fund assets in the form of purported fees, and grossly inflated the assets under his management to misrepresent his prominence as an investment manager as he solicited investors.
The SEC’s complaint charges Price and ABS Manager with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a) and (c) thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rules 206(4)-8(a) thereunder. Price’s three investment funds (ABS Fund, LLC [Arizona], ABS Fund, LLC [California], and Capital Access, LLC) are named as relief defendants along with his company Cavan Private Equity Holdings LLC and his wife’s company Lucky Star Events LLC because they hold cash or other assets acquired from the fund assets.
Concurrent with filing the complaint, the SEC also sought a temporary restraining order, asset freeze, receiver, order prohibiting the destruction of documents, and an accounting. The SEC sought to file the action under seal. In an Order dated February 11, 2013, United States District Court Judge Gonzalo Curiel denied the requests at this time.
The SEC’s investigation was conducted by Morgan B. Ward Doran, Janet Weissman, and Carol Shau of the Los Angeles Regional Office. Sam Puathasnanon and Lynn Dean will lead the litigation. [SEC v. ABS Manager, LLC et al., Civil Action No. 13 CV 0319-GPC-JMA, (S.D. Cal.)] (LR-22622)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX, Inc. relating to a pricing clarification (SR-BX-2013-014) 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 February 18. (Rel. 34-68950)
A proposed rule change filed by BATS Exchange, Inc. to amend the fee schedule pursuant to Rules 15.1(a) and (c) (SR-BATS-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 February 18. (Rel. 34-68951)
A proposed rule change filed by Miami International Securities Exchange LLC to revise Market Maker obligations regarding the opening process on the exchange (SR-MIAX-2013-04) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68954)
A proposed rule change filed by NYSE MKT LLC extending the temporary suspension of those aspects of Rules 36.20 - Equities and 36.21 - Equities 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, March 29, 2013 (SR-NYSEMKT-2013-14) 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 February 18. (Rel. 34-68957)
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, March 29, 2013 (SR-NYSE-2013-14) 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 February 18. (Rel. 34-68958)
Approval of Proposed Rule Change
The Commission approved a proposed rule change (SR-ICEEU-2012-11), as modified by Amendment No. 1 thereto, filed by ICE Clear Europe Limited under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to enhanced margin methodology. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68955)
Proposed Rule Changes
NYSE Arca, Inc. filed a proposed rule change under Rule 19b-4 (SR-NYSEArca-2013-17) amending its rules to reflect the merger of NYSE Arca Holdings, Inc., an intermediate holding company, into and with NYSE Group, Inc., thereby eliminating NYSE Arca Holdings, Inc. from the ownership structure of the exchange. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68959)
NASDAQ OMX PHLX LLC filed a proposed rule change under Rule 19b-4 (SR-Phlx-2013-09) to Enhance the Functionality Offered on its Options Floor Broker Management System (“FBMS”) by, Among Other Things, Automating Functions Currently Performed by Floor Brokers. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68960)
Notice of Filing and Immediate Effectiveness of the Second Amendment to the National Market System Plan to Address Extraordinary Market Volatility
A proposed amendment to the National Market System Plan to Address Extraordinary Market Volatility, filed by NYSE Euronext, on behalf of New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc., and the following parties to the National Market System Plan: BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, the Nasdaq Stock Market LLC, and National Stock Exchange, Inc. (File No. 4-631) has become effective pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 of Regulation NMS thereunder. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68953)
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 TESARO, Inc., 1000 WINTER STREET, SUITE 3300, WALTHAM, MA, 02451, (339) 970-0900 - 0 ($86,250,000.00) Equity, (File 333-186753 - Feb. 20) (BR. 01A) S-8 Jacksonville Bancorp, Inc., 1211 WEST MORTON AVENUE, JACKSONVILLE, IL, 62650, (217) 245-4111 - 206,285 ($1,633,966.85) Equity, (File 333-186754 - Feb. 20) (BR. 07B) F-3ASR NOMURA HOLDINGS INC, 9-1 NIHONBASHI 1-CHOME, CHUO-KU, TOKYO, M0, 103-8645, 81 3-5255-1000 - 0 ($0.00) Non-Convertible Debt, (File 333-186755 - Feb. 20) (BR. 12A) S-1 AMBIT BIOSCIENCES CORP, 4215 SORRENTO VALLEY BLVD., SAN DIEGO, CA, 92121, 8583342100 - 0 ($57,500,000.00) Equity, (File 333-186760 - Feb. 20) (BR. 01B) S-8 CDI CORP, 1717 ARCH STREET, 35TH FLOOR, PHILADELPHIA, PA, 19103-2768, 2155692200 - 0 ($17,406,228.00) Equity, (File 333-186763 - Feb. 20) (BR. 11A) S-8 COMSCORE, INC., 11950 DEMOCRACY DRIVE, SUITE 600, RESTON, VA, 20190, 703-438-2000 - 1,427,177 ($21,721,633.94) Equity, (File 333-186764 - Feb. 20) (BR. 03A) S-8 F5 NETWORKS INC, 401 ELLIOT AVE WEST, STE 500, SEATTLE, WA, 98119, 2062725555 - 301,478 ($30,500,529.26) Equity, (File 333-186765 - Feb. 20) (BR. 03B) S-3ASR MASCO CORP /DE/, 21001 VAN BORN RD, TAYLOR, MI, 48180, 3132747400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186766 - Feb. 20) (BR. 06B) S-3 Boardwalk Pipeline Partners, LP, 9 GREENWAY PLAZA, SUITE 2800, HOUSTON, TX, 77046, 866-913-2122 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-186767 - Feb. 20) (BR. 02C) S-3ASR Boardwalk Pipeline Partners, LP, 9 GREENWAY PLAZA, SUITE 2800, HOUSTON, TX, 77046, 866-913-2122 - 0 ($0.00) Debt, (File 333-186768 - Feb. 20) (BR. 02C) S-3 CACHE INC, 1440 BROADWAY, 5TH FLOOR, NEW YORK, NY, 10018, 212-575-3248 - 0 ($8,000,000.00) Other, (File 333-186769 - Feb. 20) (BR. 09B) S-8 XOOM Corp, 100 BUSH STREET SUITE 300, SAN FRANCISCO, CA, 94104, 415-395-4203 - 0 ($83,125,785.00) Equity, (File 333-186770 - Feb. 20) (BR. 07)
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 ----------------------------------------------------------------------------------------- 99 CENTS ONLY STORES CA 5.02 02/20/13 ABIOMED INC DE 8.01,9.01 02/19/13 Acadia Healthcare Company, Inc. DE 2.02,9.01 02/20/13 ACCURAY INC DE 2.03,3.02 02/19/13 ACHILLION PHARMACEUTICALS INC DE 2.02,9.01 02/20/13 Addus HomeCare Corp DE 7.01,9.01 02/19/13 Affinity Gaming NV 5.08,8.01,9.01 02/20/13 AIMCO PROPERTIES L.P. DE 5.02,9.01 02/20/13 ALLSTATE CORP DE 5.02,9.01 02/18/13 ALTERA CORP DE 5.02 02/15/13 AMEREN CORP MO 2.02,8.01,9.01 02/20/13 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02,9.01 02/20/13 AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 02/20/13 American Renal Associates Holdings, I DE 1.01 02/20/13 American Renal Holdings Inc. DE 1.01 02/20/13 American Strategic Minerals Corp NV 5.03,5.07,7.01,9.01 02/20/13 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02,9.01 02/14/13 AmREIT, Inc. MD 2.02,8.01,9.01 02/19/13 AMSURG CORP TN 7.01,9.01 02/20/13 ANADARKO PETROLEUM CORP DE 7.01,9.01 02/20/13 ANAREN INC NY 5.03,9.01 02/13/13 Armour Residential REIT, Inc. MD 1.01,8.01,9.01 02/13/13 ASHLAND INC. KY 8.01,9.01 02/20/13 ASTORIA FINANCIAL CORP DE 5.02 02/20/13 ATHENA SILVER CORP DE 3.02 02/20/13 AUTHENTIDATE HOLDING CORP DE 8.01,9.01 02/15/13 AVANIR PHARMACEUTICALS, INC. DE 5.07 02/14/13 AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 02/15/13 AVISTA CORP WA 2.02,9.01 02/20/13 AVRA Surgical Robotics, Inc. DE 3.02 02/20/13 Bacterin International Holdings, Inc. DE 2.02,9.01 02/20/13 Baltic Trading Ltd 1T 2.02,9.01 02/20/13 BASIC ENERGY SERVICES INC 2.02,9.01 02/19/13 Behringer Harvard Opportunity REIT II MD 7.01,9.01 02/20/13 BILL BARRETT CORP DE 7.01,9.01 02/19/13 BillMyParents, Inc. CO 8.01 02/13/13 BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,5.02,9.01 02/15/13 BOSTON BEER CO INC MA 2.02,9.01 02/20/13 BRINKS CO VA 7.01,9.01 02/20/13 CAI International, Inc. 2.02,9.01 02/13/13 AMEND Calamos Asset Management, Inc. /DE/ 5.02 02/13/13 CAMDEN PROPERTY TRUST TX 5.02 02/14/13 CAPITAL ONE FINANCIAL CORP DE 5.02,9.01 02/19/13 Carey Watermark Investors Inc 9.01 12/06/12 AMEND CASH AMERICA INTERNATIONAL INC TX 5.02 02/14/13 CATERPILLAR INC DE 7.01 02/19/13 CEDAR FAIR L P DE 8.01 02/20/13 CELGENE CORP /DE/ DE 7.01,9.01 02/20/13 CF Industries Holdings, Inc. DE 2.02,9.01 02/20/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/19/13 Chatham Lodging Trust MD 2.02,9.01 02/19/13 CHEESECAKE FACTORY INC DE 2.02,5.02,8.01,9.01 02/16/13 Chelsea Therapeutics International, L DE 8.01,9.01 02/20/13 Chelsea Therapeutics International, L DE 8.01 02/20/13 CHEMED CORP DE 8.01,9.01 02/20/13 CHESAPEAKE ENERGY CORP OK 8.01,9.01 02/20/13 Cheviot Financial Corp. MD 5.02 02/19/13 China Growth Equity Investment Ltd E9 8.01,9.01 02/15/13 China Precision Steel, Inc. CO 2.02,9.01 02/19/13 CIG WIRELESS CORP. NV 9.01 09/07/12 AMEND Cinemark Holdings, Inc. DE 2.02,7.01,9.01 02/20/13 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01 02/19/13 CITIGROUP INC DE 9.01 02/20/13 CLAIRES STORES INC DE 2.02,9.01 02/18/13 CLEAN HARBORS INC MA 2.02,9.01 02/20/13 Clearwater Paper Corp DE 2.02,9.01 02/20/13 COBRA ELECTRONICS CORP DE 2.02,5.03,9.01 02/19/13 COCA COLA CO DE 5.02,9.01 02/20/13 COEUR D ALENE MINES CORP ID 1.01,2.03,3.02,7.01, 02/20/13 8.01,9.01 COLE CREDIT PROPERTY TRUST IV, INC. MD 9.01 12/05/12 AMEND COLOMBIA ENERGY RESOURCES, INC. DE 3.02 02/14/13 CONTANGO OIL & GAS CO DE 2.02,9.01 02/13/13 Corporate Resource Services, Inc. DE 8.01,9.01 02/20/13 CreXus Investment Corp. MD 2.02,9.01 02/19/13 Crocs, Inc. 2.02,9.01 02/20/13 CubeSmart MD 5.02,9.01 02/20/13 CUMMINS INC IN 2.02,9.01 02/20/13 CURIS INC DE 2.02,9.01 02/20/13 CYTOMEDIX INC DE 1.01,2.02,2.03,3.02, 02/18/13 3.03,8.01,9.01 CYTTA CORP. NV 5.03,9.01 11/07/12 DAYSTAR TECHNOLOGIES INC DE 5.02 02/20/13 DEMAND MEDIA INC. DE 5.02 02/19/13 DENNYS CORP DE 2.02,9.01 02/20/13 DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 02/20/13 DEPOMED INC CA 2.02,9.01 02/20/13 DEVON ENERGY CORP/DE DE 2.02,9.01 02/20/13 DEVON ENERGY CORP/DE DE 8.01 02/20/13 DEVRY INC DE 5.02,9.01 02/13/13 Dewmar International BMC, Inc. NV 1.01,5.01,5.02 10/28/11 AMEND DIAMOND HILL INVESTMENT GROUP INC OH 5.02,9.01 02/13/13 DIEBOLD INC OH 5.02 02/14/13 DISCOVERY LABORATORIES INC /DE/ DE 8.01 02/20/13 DIXIE GROUP INC TN 2.02,9.01 02/20/13 DIXIE GROUP INC TN 7.01,9.01 02/20/13 DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 02/19/13 DOMINION RESOURCES INC /VA/ VA 5.02,9.01 02/19/13 DOW CHEMICAL CO /DE/ DE 8.01,9.01 02/19/13 DREW INDUSTRIES INC DE 2.02,7.01,9.01 02/20/13 DTE ENERGY CO MI 2.02,7.01,9.01 02/20/13 DTS, INC. DE 5.02 02/14/13 DYNEX CAPITAL INC VA 2.02,9.01 02/20/13 EARTHLINK INC DE 7.01,9.01 02/20/13 EATON VANCE CORP MD 2.02,9.01 01/31/13 ECOSPHERE TECHNOLOGIES INC DE 3.02 02/19/13 EDUCATION MANAGEMENT CORPORATION 1.01,2.03 02/15/13 Education Realty Trust, Inc. MD 7.01,9.01 02/20/13 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 02/20/13 ENCORE WIRE CORP DE 2.02,7.01,9.01 02/20/13 ENDO HEALTH SOLUTIONS INC. DE 8.01,9.01 02/20/13 Energy Transfer Equity, L.P. DE 2.02,9.01 02/20/13 Energy Transfer Partners, L.P. DE 2.02,9.01 02/20/13 EnergySolutions, Inc. DE 1.01,2.03,9.01 02/15/13 EnteroMedics Inc 5.02,9.01 02/15/13 EQUITY ONE, INC. 2.02,7.01,9.01 02/20/13 EXACT SCIENCES CORP DE 2.02,9.01 02/20/13 FAR EAST ENERGY CORP NV 5.02 02/18/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/15/13 Federal Home Loan Bank of New York X1 2.02,8.01,9.01 02/20/13 Federal Home Loan Bank of Topeka 2.03,9.01 02/15/13 FEEL GOLF CO INC CA 1.01,9.01 02/13/13 FINANCIAL INSTITUTIONS INC NY 8.01,9.01 02/20/13 First California Financial Group, Inc DE 2.05,2.06 02/13/13 FIRST FINANCIAL HOLDINGS INC /DE/ DE 8.01,9.01 02/20/13 FIRST REGIONAL BANCORP CA 8.01,9.01 02/20/13 FIRSTENERGY CORP OH 5.02 02/19/13 FLUOR CORP DE 2.02,9.01 02/20/13 FNB CORP/FL/ FL 1.01,9.01 02/19/13 FOREST OIL CORP NY 2.01,9.01 02/15/13 FRANKLIN ELECTRIC CO INC IN 2.02,9.01 02/20/13 FreightCar America, Inc. DE 1.01,9.01 02/19/13 FreightCar America, Inc. DE 2.02,9.01 02/19/13 FRESH DEL MONTE PRODUCE INC E9 8.01,9.01 02/20/13 GARMIN LTD V8 2.02,9.01 02/20/13 GDT TEK, Inc. 8.01,9.01 02/13/13 GENCO SHIPPING & TRADING LTD 2.02,9.01 02/20/13 Genpact LTD D0 5.02 02/15/13 GLEACHER & COMPANY, INC. DE 8.01 02/19/13 GlyEco, Inc. NV 3.02,7.01,8.01 02/15/13 GOLDEN HARVEST Corp 4.01 01/24/13 AMEND Golub Capital BDC, Inc. DE 8.01 02/20/13 Government Properties Income Trust MD 2.02,9.01 02/20/13 GRAY TELEVISION INC GA 2.02,9.01 02/20/13 GREENWORLD DEVELOPMENT, INC. DE 2.01 02/18/13 HARDINGE INC NY 2.02,9.01 02/14/13 HEALTH REVENUE ASSURANCE HOLDINGS, IN NV 1.01,3.02,9.01 02/15/13 HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 02/20/13 HEALTHSOUTH CORP DE 5.02 02/20/13 HEICO CORP FL 2.02,9.01 02/20/13 Hillshire Brands Co MD 7.01,9.01 02/20/13 HollyFrontier Corp DE 7.01,9.01 02/20/13 HOMEAWAY INC DE 2.02,9.01 02/20/13 HONEYWELL INTERNATIONAL INC DE 5.02 02/15/13 Horsehead Holding Corp 2.02,9.01 02/20/13 HUDSON TECHNOLOGIES INC /NY NY 1.01,2.03,9.01 02/15/13 Huron Consulting Group Inc. DE 2.02,9.01 02/20/13 HYPERION THERAPEUTICS INC DE 1.01,9.01 02/14/13 ICAD INC DE 2.02,9.01 02/19/13 ICG GROUP, INC. DE 2.01,8.01,9.01 02/20/13 ICON ECI FUND FIFTEEN, L.P. DE 8.01 02/20/13 ICON Equipment & Corporate Infrastruc DE 8.01 02/20/13 IDEX CORP /DE/ DE 5.02,9.01 02/14/13 IKONICS CORP 2.02,9.01 02/19/13 Immunovative, Inc. FL 8.01 02/19/13 Industrial Income Trust Inc. MD 9.01 12/05/12 AMEND InterDigital, Inc. PA 2.02,9.01 02/20/13 Intermec, Inc. DE 1.01,9.01 02/14/13 INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 02/13/13 AMEND InZon CORP NV 5.02,9.01 02/18/13 ISLE OF CAPRI CASINOS INC DE 2.02,9.01 02/20/13 JACK IN THE BOX INC /NEW/ DE 2.02,9.01 02/20/13 JACKSONVILLE BANCORP INC /FL/ FL 5.03,5.07,8.01,9.01 02/18/13 Jacksonville Bancorp, Inc. MD 5.02 02/19/13 JOURNAL COMMUNICATIONS INC 5.02,5.03,8.01,9.01 02/19/13 KAR Auction Services, Inc. DE 2.02,9.01 02/20/13 KBR, INC. DE 2.02,9.01 02/19/13 KELLOGG CO DE 7.01 02/20/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 02/20/13 Kraton Performance Polymers, Inc. DE 5.02 01/16/13 AMEND KULICKE & SOFFA INDUSTRIES INC PA 5.07 02/19/13 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 02/15/13 LaSalle Hotel Properties MD 2.02,9.01 02/20/13 LaSalle Hotel Properties MD 1.01,9.01 02/20/13 LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 02/20/13 LIFEAPPS DIGITAL MEDIA INC. DE 7.01,9.01 02/14/13 LIFELOCK, INC. DE 2.02,9.01 02/20/13 Limoneira CO DE 1.01,8.01,9.01 02/13/13 LINKEDIN CORP DE 5.02 02/14/13 LITHIA MOTORS INC OR 2.02,9.01 02/20/13 Lumber Liquidators Holdings, Inc. 2.02,9.01 02/20/13 MANNKIND CORP DE 8.01 12/20/12 AMEND MANTECH INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 02/20/13 MATTSON TECHNOLOGY INC DE 5.02,9.01 02/19/13 MCDONALDS CORP DE 5.02 02/13/13 MCMORAN EXPLORATION CO /DE/ DE 7.01,8.01 02/20/13 MEDASSETS INC DE 2.02,9.01 02/20/13 MEDICINES CO /DE DE 2.02,9.01 02/20/13 METHES ENERGIES INTERNATIONAL LTD NV 3.02,9.01 02/19/13 MGM Resorts International DE 2.02,9.01 02/20/13 MGM Resorts International DE 1.01 02/13/13 MICRON TECHNOLOGY INC DE 8.01 02/13/13 Minerco Resources, Inc. NV 1.01,3.02 02/20/13 ML BlueTrend FuturesAccess LLC DE 3.02 02/14/13 ML Winton FuturesAccess LLC DE 3.02 02/14/13 MONEYGRAM INTERNATIONAL INC 1.01,2.03,9.01 02/15/13 MOTORCAR PARTS AMERICA INC NY 1.01,9.01 02/13/13 MusclePharm Corp NV 8.01,9.01 02/15/13 Myrexis, Inc. DE 5.02 02/13/13 NABORS INDUSTRIES LTD D0 2.02,7.01,8.01,9.01 02/15/13 NANOMETRICS INC DE 3.01,5.02,9.01 02/13/13 NATIONAL HOLDINGS CORP DE 5.02 02/13/13 NetSpend Holdings, Inc. DE 7.01,8.01,9.01 02/19/13 Neuralstem, Inc. DE 8.01,9.01 02/20/13 NEW CENTURY BANCORP INC NC 2.02,9.01 02/15/13 NEWPORT CORP NV 2.02,9.01 02/20/13 NEXSTAR BROADCASTING GROUP INC DE 2.01,8.01,9.01 02/15/13 NGP Capital Resources Co MD 7.01,9.01 02/20/13 Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 02/20/13 NorthStar Real Estate Income Trust, I MD 8.01 02/15/13 NxStage Medical, Inc. DE 5.02 02/20/13 OFFICE DEPOT INC DE 2.02,9.01 02/20/13 OFFICEMAX INC DE 2.02,9.01 02/20/13 OFFICEMAX INC DE 8.01,9.01 02/20/13 Onstream Media CORP FL 2.02,9.01 02/20/13 Orexigen Therapeutics, Inc. DE 1.01,5.02 02/15/13 Ortus Currency FuturesAccess LLC DE 3.02 02/14/13 Owens Corning DE 2.02,9.01 02/20/13 OXYGEN BIOTHERAPEUTICS, INC. DE 8.01,9.01 02/20/13 PEGASYSTEMS INC MA 2.02,9.01 02/20/13 PENN VIRGINIA CORP VA 5.02,5.03,9.01 02/13/13 Peoples Federal Bancshares, Inc. 5.07 02/19/13 PGT, Inc. DE 9.01 02/20/13 PHAZAR CORP DE 7.01,9.01 02/20/13 Philip Morris International Inc. VA 8.01,9.01 02/20/13 PLAINS EXPLORATION & PRODUCTION CO DE 7.01 02/20/13 PMX Communities, Inc. NV 4.01,9.01 02/15/13 Polypore International, Inc. 2.02,9.01 02/20/13 Polypore International, Inc. 2.02,9.01 02/20/13 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 02/20/13 PREMIERWEST BANCORP OR 8.01,9.01 02/19/13 Primco Management Inc. DE 5.01,5.02,8.01,9.01 02/07/13 Prosper Funding LLC DE 5.02 02/20/13 PS BUSINESS PARKS INC/CA CA 2.02,9.01 02/19/13 PVR PARTNERS, L. P. DE 2.02,7.01,9.01 02/20/13 QEP RESOURCES, INC. DE 2.01,9.01 02/19/13 QUALITY DISTRIBUTION INC FL 2.02,9.01 02/20/13 QUESTAR CORP UT 2.02,9.01 02/20/13 Rangeford Resources, Inc. NV 1.01,9.01 02/19/13 AMEND RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 02/20/13 RCM TECHNOLOGIES INC NV 2.02,9.01 02/20/13 REALNETWORKS INC WA 5.02,8.01,9.01 02/19/13 REALPAGE INC DE 2.02,9.01 02/20/13 REDWOOD TRUST INC MD 7.01,9.01 02/20/13 Regulus Therapeutics Inc. DE 2.02,9.01 02/20/13 RESPECT YOUR UNIVERSE, INC. NV 2.02,9.01 02/20/13 RESPONSYS INC DE 2.02,9.01 02/20/13 Revel AC, Inc. DE 1.01,8.01,9.01 02/19/13 ROBBINS & MYERS, INC. OH 1.02,2.01,3.01,3.03, 02/20/13 5.01,5.03,8.01,9.01 Rockville Financial, Inc. /CT/ CT 7.01,9.01 02/20/13 Rubicon Technology, Inc. DE 2.02,9.01 02/20/13 Santa Fe Gold CORP DE 1.01,9.01 02/15/12 SAUER DANFOSS INC DE 2.02,9.01 02/20/13 SCBT FINANCIAL CORP SC 8.01,9.01 02/20/13 SeaCube Container Leasing Ltd. D0 2.02,9.01 02/20/13 SELECT MEDICAL HOLDINGS CORP 1.01,2.03,9.01 02/15/13 Shire plc 8.01,9.01 02/20/13 SHORE BANCSHARES INC MD 5.02,9.01 02/20/13 Shoshone Silver/Gold Mining Co ID 1.01 02/20/13 Simplicity Bancorp, Inc. 8.01,9.01 02/20/13 Six Flags Entertainment Corp 2.02,9.01 02/20/13 SJW CORP CA 2.02,9.01 02/19/13 SKYWEST INC UT 5.02 02/13/13 SOHU COM INC DE 5.02 02/18/13 SOLARFLEX CORP DE 5.02,9.01 02/19/13 SOLAZYME INC DE 2.02,9.01 02/20/13 Solera National Bancorp, Inc. DE 1.01,7.01,9.01 02/15/13 SOLLENSYS CORP. NV 1.01,2.01,3.02,5.02, 02/20/13 9.01 SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 02/20/13 Sonora Resources Corp. NV 1.01,9.01 02/15/13 Sputnik Enterprises, Inc NV 4.01,9.01 02/20/13 SPX CORP DE 5.03,9.01 02/20/13 SRA INTERNATIONAL, INC. VA 5.07 02/14/13 Staffing 360 Solutions, Inc. 1.01,4.01,5.02,9.01 02/14/13 STAG Industrial, Inc. 1.01,2.03,9.01 02/14/13 STAG Industrial, Inc. 2.02,9.01 02/20/13 Standard Financial Corp. MD 5.07,9.01 02/19/13 SUPERIOR ENERGY SERVICES INC DE 7.01,9.01 02/20/13 Support.com, Inc. DE 1.01 02/19/13 Susser Holdings CORP DE 5.02 02/14/13 SVB FINANCIAL GROUP 7.01,9.01 02/20/13 Synacor, Inc. DE 2.02,9.01 02/20/13 SYNOPSYS INC DE 2.02,9.01 02/20/13 TAL International Group, Inc. DE 8.01,9.01 02/20/13 TD AMERITRADE HOLDING CORP DE 5.07 02/13/13 TENGION INC DE 3.02 02/15/13 Tennessee Valley Authority 5.02 02/14/13 Tennessee Valley Authority 5.02 01/01/13 AMEND TESLA MOTORS INC DE 2.02,9.01 02/20/13 TESSERA TECHNOLOGIES INC DE 8.01,9.01 02/20/13 TILE SHOP HOLDINGS, INC. DE 2.02,4.02,9.01 02/18/13 TOLL BROTHERS INC DE 2.02,9.01 02/20/13 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 02/20/13 Triangle Petroleum Corp DE 7.01,9.01 02/20/13 U.S. RARE EARTH MINERALS, INC NV 5.02 02/11/13 AMEND U.S. RARE EARTHS, INC NV 8.01 02/08/13 UNITED ONLINE INC DE 2.02,9.01 02/20/13 UNIVERSAL AMERICAN CORP. DE 2.02,9.01 02/19/13 UNWIRED PLANET, INC. DE 5.02,7.01,9.01 02/14/13 UQM TECHNOLOGIES INC CO 5.02,9.01 02/15/13 US TUNGSTEN CORP. 1.01,9.01 02/19/13 Vantiv, Inc. 2.02,9.01 02/20/13 VB CLOTHING, INC. NV 1.01,2.01,3.02,4.01, 02/13/13 5.01,5.02,5.03,5.06, 8.01 VERIFONE SYSTEMS, INC. DE 2.02,9.01 02/20/13 VERMILLION, INC. DE 2.02,7.01,9.01 02/20/13 Vitacost.com, Inc. DE 8.01,9.01 02/18/13 VITRAN CORP INC A6 2.02,9.01 02/20/13 WAGEWORKS, INC. DE 2.02,9.01 02/20/13 Walter Energy, Inc. DE 5.02,9.01 02/18/13 WASTE CONNECTIONS, INC. DE 2.02,7.01,9.01 02/20/13 WELLS FARGO & COMPANY/MN DE 9.01 02/20/13 WIKI GROUP, INC. 5.02 02/19/13 WILLIAMS COMPANIES INC DE 2.02,9.01 02/20/13 Williams Partners L.P. 2.02,9.01 02/20/13 XENONICS HOLDINGS, INC. NV 3.02,5.02 02/18/13 Zalicus Inc. DE 8.01,9.01 02/20/13