SEC Charges Hedge Fund Manager and Brokerage CEO with Fraud
The Securities and Exchange Commission today announced charges against a Houston-based hedge fund manager and his firm accused of defrauding investors in two hedge funds and steering bloated fees to a brokerage firm CEO who also is charged in the SEC’s case.
An investigation by the SEC’s Enforcement Division found that George R. Jarkesy Jr., worked closely with Thomas Belesis to launch two hedge funds that raised $30 million from investors. Jarkesy and his firm John Thomas Capital Management (since renamed Patriot28 LLC) inflated valuations of the funds’ assets, causing the value of investors’ shares to be overstated and his management and incentive fees to be increased. Jarkesy, a frequent media commentator and radio talk show host, also lied to investors about the identity of the funds’ auditor and prime broker. Meanwhile, although they shared the same “John Thomas” brand name, Jarkesy’s firm and Belesis’ firm John Thomas Financial were portrayed as wholly independent. Jarkesy led investors to believe that as manager of the funds, he was solely responsible for all investment decisions. However, Belesis sometimes supplanted Jarkesy as the decision maker and directed some investments from the hedge funds into a company in which his firm was heavily invested. Belesis also bullied Jarkesy into showering excessive fees on John Thomas Financial even in instances where the firm had done virtually nothing to earn them.
“Jarkesy disregarded the basic standards to which all fund managers are held,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “Not only did he falsify valuations and deceive investors about the value of their holdings, but he bent over backwards to enrich Belesis at the funds’ expense. Belesis in turn exploited the supposed independence of the funds to surreptitiously pull the strings on key decisions.”
According to the SEC’s order instituting administrative proceedings against Jarkesy, Belesis, and their firms, Jarkesy launched the two hedge funds in 2007 and 2009, and they were called John Thomas Bridge and Opportunity Fund LP I and John Thomas Bridge and Opportunity Fund LP II. The funds invested in three asset classes: bridge loans to start-up companies, equity investments principally in microcap companies, and life settlement policies. Jarkesy mispriced certain holdings to increase the net asset values of the funds, which were the basis for calculating the management and incentive fees that Jarkesy deducted from the funds for himself. Jarkesy also falsely claimed that prominent service providers such as KPMG and Deutsche Bank worked with the funds.
According to the SEC’s order, Jarkesy used fund assets to hire multiple stock promoters in 2010 and 2011 to create an artificial and unsustainable spike in the price of two microcap stocks in which the funds were heavily invested. As a result of these efforts, the funds recorded temporary gains in the value of the microcap stocks that Jarkesy used to mask the write-down of other more illiquid holdings of the funds.
According to the SEC’s order, Jarkesy violated his fiduciary duties to the funds in multiple instances by providing excessive compensation to Belesis and John Thomas Financial. This only incited further demands by Belesis. For example, in February 2009, Belesis angrily complained via e-mail that Jarkesy was not steering enough money to John Thomas Financial, and Jarkesy responded that “we will always try to get you as much as possible, Everytime [sic] without exception!” On another occasion, Jarkesy reassured Belesis that “[n]obody gets access to Tommy until they make us money!!!!!”
The SEC’s order charges that Jarkesy and John Thomas Capital Management violated and aided and abetted violations of Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act and Rule 10b-5, and violated Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act and Rule 206(4)-8. The SEC’s order further charges that Belesis and John Thomas Financial aided and abetted and caused Jarkesy’s and John Thomas Capital Management’s violations of Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8. The administrative proceedings will determine what, if any, remedial action is appropriate in the public interest against Jarkesy, John Thomas Capital Management, Belesis, and John Thomas Financial including disgorgement and financial penalties.
The SEC’s investigation was conducted by Igor Rozenblit, Kathy Murdocco, and Michael Osnato in the New York Regional Office. The SEC’s litigation will be led by Todd Brody. The SEC appreciates the assistance of the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2013-46)
In the Matter of American United Gold Corporation, et al.
An Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default as to AMS Homecare Inc. in Am. United Gold Corp., Admin. Proc. File No. 3-14770 (Default Order). The Order Instituting Proceedings (OIP) alleged that AMS Homecare Inc. (AMS Homecare) had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act) and had failed to file required periodic reports with the Commission since it filed a Form 20-F for the period ended February 28, 2007. The Default Order finds these allegations to be true and concludes that it is necessary and appropriate for the protection of investors to revoke the registration of each class of AMS Homecare’s registered securities.
The allegations in the OIP have been resolved as to all other Respondents. See Am. United Gold Corp., Exchange Act Release Nos. 66632, 66633 (Mar. 21, 2012). (Rel. 34-69206; File No. 3-14770)
In the Matter of Advance Nanotech, Inc., et al.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Three Respondents (Default Order) in Advance Nanotech, Inc., Admin. Proc. No. 3-15201. The Order Instituting Proceedings (OIP) alleged that Respondents Advance Nanotech, Inc., Chocolate Candy Creations, Inc., and Dermaxar, Inc., 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 (Exchange Act).
The proceeding has ended as to Respondents ANTS Software, Inc., and Beauty Brands Group, Inc. See Advance Nanotech, Inc., Exchange Act Release Nos. 68968, 69097 (Feb. 22 & Mar. 11, 2013). Respondents Crystallex International Corp., EcoReady Corp., and e-SIM, Ltd., remain in the proceeding. (Rel. 34-69207; File No. 3-15201)
In the Matter of Edward L. Moskop
The United States Securities and Exchange Commission issued an Order Instituting Administrative Proceedings against Edward L. Moskop pursuant to Section 15(b)(6) of the Exchange Act, and simultaneously accepted Moskop’s Offer of Settlement in which he consented to a collateral bar. The Order permanently bars Moskop from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and prohibits him from participating in any offering of a penny stock.
The Order Instituting Administrative Proceedings against Moskop is based on a Permanent Injunction Order entered by the U.S. District Court for the Northern District of Illinois. Moskop was the president and sole owner of Financial Services Moskop & Associates, Inc., an Illinois corporation that offered and purported to sell various financial products to the public. In its complaint in the district court, the Commission alleged that from at least 1989 to November 2010, Moskop misused investor funds, falsely stated to investors their funds were invested, and sent out false account statements indicating that investors’ funds were fully invested and earning returns. On July 21, 2011, the district court entered a final judgment by consent against Moskop, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. (Rel. 34-69214; File No. 3-15256)
SEC v. Timothy J. Roth, et al.
The Securities and Exchange Commission announced that on March 21, 2013, the Honorable Michael M. Mihm of the United States District Court for the Central District of Illinois entered a judgment against Timothy J. Roth ("Roth"), a former investment adviser who misappropriated millions of dollars from the accounts of his advisory clients. The judgment permanently enjoins Roth from violating the antifraud provisions of the federal securities laws. Roth consented to the judgment.
The SEC filed an emergency against Roth on March 21, 2011. On that same day, the Court issued an order freezing Roth’s assets and those of several companies he controlled. On March 31, 2011, the Court appointed a Receiver over Roth’s assets and those of the companies he controlled. The SEC’s complaint alleged that Roth worked for Comprehensive Capital Management, Inc. ("Comprehensive"), a New Jersey-based registered investment adviser. The SEC’s complaint alleged that from October 2010 through February 2011, Roth stole more than $6 million worth of mutual fund shares from several deferred compensation plans (“Plans”) for whom he provided investment advice. Roth's theft of client assets was later determined to have been over $16 million. The SEC alleged that Roth, who worked out of Comprehensive’s office near Urbana, Illinois, secretly caused his victims’ mutual fund shares to be transferred to an account under his control, even though no such transfer had been requested or authorized by the clients. The SEC alleges that after selling the clients’ shares, Roth funneled the cash proceeds to various accounts and companies under his control or for his benefit. According to the SEC’s complaint, at the time he was engaging in his scheme, Roth did not tell the clients about the transfers. As a result of his conduct, the SEC’s complaint charged Roth with violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and with aiding and abetting violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940, and Rule 206(4)-2 thereunder.
In a parallel criminal proceeding arising out of the same facts that were the subject of the SEC's civil action against him, Roth pled guilty in October 2011 to one count of mail fraud and one count of money laundering. On January 31, 2013, Roth was sentenced to 151 months of incarceration and was ordered to pay $16,151,964 in restitution to his victims. Based on Roth's conviction and the $16 million in restitution ordered against him, the Court has also entered an order granting the Commission's motion to dismiss its monetary claims against Roth. [SEC v. Timothy J. Roth, et al., Civil Action No. 11-cv-02079 (C.D. Ill.)] (LR-22656)
SEC Announces Settlement with Vendor Charged with Aiding and Abetting Violations by Royal Ahold
The Securities and Exchange Commission (Commission) announced today that the U.S. District Court for the District of Columbia, on March 21, 2013, entered a settled Final Judgment as to defendant Joseph Grendys, in Securities and Exchange Commission v. Joseph Grendys et al., Civil Action No. 07-120 (D.D.C. filed Jan. 18, 2007). The Commission’s complaint alleged, among other things, that Grendys aided and abetting violations of the periodic reporting, books and records, and internal controls provisions of the federal securities laws by Royal Ahold (Koninklijke Ahold N.V.), by signing a materially false audit confirmation letter and sending it to the company’s independent auditors. At the time, Royal Ahold was the parent company of U.S. Foodservice, Inc. The audit confirmation letter was used in connection with the independent auditors’ annual audit of the financial statements of U.S. Foodservice. Grendys owns a vendor, Koch Poultry, which supplied U.S. Foodservice with certain products.
Without admitting or denying the allegations in the Commission’s complaint, Grendys agreed to settle the action against him by consenting to a Final Judgment permanently enjoining him from aiding and abetting violations of the periodic reporting, books and records, and internal controls provisions and imposing a $25,000 civil penalty. Grendys’ three co-defendants settled with the Commission previously.
The Commission acknowledges the assistance and cooperation of the Office of the United States Attorney for the Southern District of New York, and the New York Office of the Federal Bureau of Investigation. [SEC v. Joseph Grendys et al., Civil Action No. 07-120 (D.D.C.) (LR-22657; AAE Rel. 3449)
SEC Charges Del Monte Foods Company Employee with Insider Trading
The Securities and Exchange Commission today charged Juan Carlos Bertini, a vice president of finance at Del Monte Foods Company (“Del Monte”), with insider trading for purchasing stock in advance of Del Monte’s announcement that it would be acquired by an investor group.
According to the SEC’s complaint filed in the U.S. District Court for the Northern District of California, Bertini worked on the buyout transaction for Del Monte and obtained material nonpublic information regarding the investor group’s pending offer. Bertini then used that information to acquire 8,000 shares of Del Monte stock in his mother’s brokerage account and reap illicit profits of approximately $16,035.
The SEC alleges that Bertini caused false information to be supplied to the Financial Industry Regulatory Authority (“FINRA”), which requested information about the trades from Del Monte. In the course of FINRA’s investigation, Bertini provided inaccurate information regarding his involvement in the trades to Del Monte’s counsel. He told counsel that he learned of his mother’s purchases of Del Monte shares after she purchased them and after the acquisition was announced in late November 2010. Bertini also told counsel that his mother purchased the Del Monte shares after she read articles suggesting that Del Monte was going to be acquired. In truth, Bertini was responsible for the trading that had occurred in his mother’s brokerage account.
Without admitting or denying the SEC’s allegations, Bertini agreed to settle the case against him. The settlement is pending final approval by the court. Specifically, Bertini consented to the entry of a final judgment permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; requiring him to pay disgorgement of $16,035, the amount of his ill-gotten gains, plus prejudgment interest of $961, and a civil penalty of $32,070; and prohibiting him from serving as an officer and director of a public company for a period of five years.
The SEC thanks FINRA’s Office of Fraud Detection and Market Intelligence for its assistance in this matter. [SEC v. Juan Carlos Bertini, CV-13-01292 (N.D. Cal.)] (LR-22659)
ING Life Insurance and Annuity Company, et al.
A notice has been issued giving interested persons until April 11, 2013 to request a hearing on an application filed by ING Life Insurance and Annuity Company, ING USA Annuity and Life Insurance Company, ReliaStar Life Insurance Company of New York, Security Life of Denver Insurance Company, Variable Annuity Account B of ING Life Insurance and Annuity Company, Variable Annuity Account I of ING Life Insurance and Annuity Company, Separate Account B of ING USA Annuity and Life Insurance Company, Separate Account EQ of ING USA Annuity and Life Insurance Company, ReliaStar Life Insurance Company of New York Separate Account NY-B, Security Life Separate Account S-A1, and ING Investors Trust (Applicants).
Applicants request an order under Section 26(c) of the Investment Company Act of 1940 to permit the substitution of shares of the ING Large Cap Growth Portfolio, a series of the ING Investors Trust, for shares of the Fidelity VIP Contrafund Portfolio. (Rel. IC-30431 – March 21, 2013)
Triangle Capital Corporation
An order has been issued on an application filed by Triangle Capital Corporation (Triangle) for an order to amend a prior order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 23(a), 23(b) and 63 of the Act, and under Sections 57(a)(4) and 57(i) of the Act and Rule 17d-1 under the Act authorizing certain joint transactions otherwise prohibited by section 57(a)(4) of the Act (Prior Order). The Prior Order permitted Triangle to issue shares of its restricted common stock as part of the compensation packages for certain of its employees and directors, and certain employees of its wholly-owned consolidated subsidiaries. The amended order permits Triangle to increase the amount of restricted common stock issued annually to its non-employee directors. (Rel. IC-30432 - March 21)
Market Vectors ETF Trust, et al.
An order has issued on an application filed by Market Vectors ETF Trust, et al. The order permits: (a) certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (Rel. IC-30433 - March 21)
Separate Account VA QQ
An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Separate Account VA QQ has ceased to be an investment company. (Rel. IC-30434 – March 21)
Order Granting a Limited Exemptions
An order was issued granting a limited exemption from Rule 102 of Regulation M concerning the NASDAQ Stock Market LLC Market Quality Program Pilot pursuant to Rule 102(e) of Regulation M. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69196)
An order was issued granting TriLinc Global Impact Fund, LLC an exemption from Rule 102(e) of Regulation M pursuant to Rule 102(e) of Regulation M. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69199)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by BOX Options Exchange LLC to add Interpretive Material to Rule 7080 in connection with the implementation of the Limit Up- Limit Down Plan (SR-BOX-2013-12) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69186)
A proposed rule change filed by NYSE Arca, Inc. amending the definition of complex orders and stock/options orders to accommodate the trading of option contracts overlying 10 shares of a security (SR-NYSEArca-2013-28) 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 March 25, 2013. (Rel. 34-69197)
A proposed rule change filed by NYSE MKT LLC amending the definition of complex orders, complex trades and stock/options orders to accommodate the trading of option contracts overlying 10 shares of a security (SR-NYSEMKT-2013-29) 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 March 25, 2013. (Rel. 34-69198)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-031) relating to the equity rights program of CBSX has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69200)
A proposed rule change (SR-BOX-2013-15) filed by BOX Options Exchange LLC to amend the Fee Schedule to establish fees for Mini Options on BOX 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 March 25, 2013. (Rel. 34-69202)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to an order router subsidy program for complex orders (SR-CBOE-2013-032) 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 March 25, 2013. (Rel. 34-69203)
A proposed rule change filed by NASDAQ OMX PHLX to amend Sections I and II of the Pricing Schedule (SR-Phlx-2013-31) 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 March 25, 2013. (Rel. 34-69204)
Designation of Longer Period for Commission Action on Proposed Rule Changes
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proposed rule changes (SR-NYSE-2013-08; SR-NYSEMKT-2013-07) filed by the New York Stock Exchange LLC and NYSE MKT LLC amending the attestation requirement of Rules 107C and 107C-Equities, respectively, 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 March 25, 2013. (Rel. 34-69187)
The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-BOX-2013-06) filed by BOX Options Exchange LLC 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 March 25, 2013. (Rel. 34-69193)
Proposed Rule Changes
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2013-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to add provisions to the By-Laws to facilitate the use of the Stock Loan/Hedge Program by Canadian Clearing Members. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69188)
NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2013-24) to adopt a price/display/time priority algorithm, permit the registration of market makers, and amend the order types available on PSX. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69194)
ICE Clear Credit LLC filed a proposed rule change (File No. SR-ICC-2013-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend rules relating to recovery and resolution arrangements. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69201)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-BATS-2013-005) filed by BATS Exchange, Inc. under Rule 19b-4 of the Exchange Act to modify the competitive liquidity provider program to, among other things, modify the calculation of size event tests. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69190)
The Commission approved a proposed rule change (SR-NASDAQ-2012-137), as modified by Amendment Nos. 1 and 3 thereto, submitted by the NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to establish the Market Quality Program. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69195)
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.
F-3 NORDIC AMERICAN TANKERS Ltd, LOM BUILDING, 27 REID STREET, HAMILTON HM 11, D0, 00000, (441) 292-7202 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-187399 - Mar. 21) (BR. 05B) F-3 NORDIC AMERICAN TANKERS Ltd, LOM BUILDING, 27 REID STREET, HAMILTON HM 11, D0, 00000, (441) 292-7202 - 0 ($1.00) Equity, (File 333-187400 - Mar. 21) (BR. 05B) S-8 Q LOTUS HOLDINGS INC, 500 NORTH DEARBORN STREET SUITE 605, CHICAGO, IL, 60654, 312 379-1800 - 5,000,000 ($60,000.00) Equity, (File 333-187401 - Mar. 21) (BR. 02C) S-4 IntercontinentalExchange Group, Inc., 2100 RIVEREDGE PARKWAY, SUITE 500, ATLANTA, GA, 30328, 770-857-4700 - 0 ($18,073,857,898.00) Equity, (File 333-187402 - Mar. 21) (BR. 08) S-3ASR ST JUDE MEDICAL INC, ONE ST JUDE MEDICAL DRIVE, ST PAUL, MN, 55117, 6517562000 - 0 ($0.00) Debt, (File 333-187405 - Mar. 21) (BR. 10B) S-8 Allot Communications Ltd., 22 HANGAR STREET, NEVE NE'EMAN, INDUSTRIAL ZONE B, HOD-HASHARON, L3, 4501317, 972-9-761-9200 - 1,000,000 ($14,300,000.00) Equity, (File 333-187406 - Mar. 21) (BR. 03B) S-3 United States Commodity Index Funds Trust, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, 510-522-9600 - 0 ($1.00) Other, (File 333-187410 - Mar. 21) (BR. 08C) S-3 United States Commodity Index Funds Trust, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, 510-522-9600 - 0 ($1.00) Other, (File 333-187411 - Mar. 21) (BR. 08C) S-8 COSTCO WHOLESALE CORP /NEW, 999 LAKE DRIVE, ISSAQUAH, WA, 98027-, 4253138100 - 0 ($290,791,524.00) Equity, (File 333-187418 - Mar. 21) (BR. 02A) S-3 Resource Capital Corp., 712 FIFTH AVENUE, 12TH FLOOR, NEW YORK, NY, 10019, 212-506-3870 - 0 ($135,800,000.00) Equity, (File 333-187419 - Mar. 21) (BR. 08C) S-4 NexCore Companies LLC, 1621 18TH STREET, SUITE 250, DENVER, CO, 80202, 720-264-0630 - 5,055,000 ($18,198,000.00) Equity, (File 333-187420 - Mar. 21) (BR. ) S-3 8X8 INC /DE/, 810 WEST MAUDE AVENUE, SUNNYVALE, CA, 94085, 4087271885 - 0 ($250,000,000.00) Equity, (File 333-187421 - Mar. 21) (BR. 11A) S-3ASR PERKINELMER INC, 940 WINTER STREET, WALTHAM, MA, 02451, 781 663 5776 - 0 ($0.00) Other, (File 333-187422 - Mar. 21) (BR. 10B) S-1 MULTIBAND CORP, 9449 SCIENCE CENTER DR, NEW HOPE, MN, 55428, 6125043000 - 0 ($20,000,000.00) Equity, (File 333-187423 - Mar. 21) (BR. 11C) S-3 FEDERAL MOGUL CORP, 26555 NORTHWESTERN HGWY, SOUTHFIELD, MI, 48034, 248-354-7700 - 0 ($485,497,100.00) Equity, 0 ($750,000,000.00) Unallocated (Universal) Shelf, (File 333-187424 - Mar. 21) (BR. 05B) S-4 VOXX International Corp, 180 MARCUS BLVD, HAUPPAUGE, NY, 11788, 6312317750 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-187425 - Mar. 21) (BR. 10B) S-3ASR INTERNATIONAL FLAVORS & FRAGRANCES INC, 521 W 57TH ST, NEW YORK, NY, 10019, 2127655500 - 0 ($0.00) Debt, (File 333-187426 - Mar. 21) (BR. 06C) S-3 VOXX International Corp, 180 MARCUS BLVD, HAUPPAUGE, NY, 11788, 6312317750 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-187427 - Mar. 21) (BR. 10B) S-8 SunCoke Energy Partners, L.P., 1011 WARRENVILLE ROAD, SUITE 600, LISLE, IL, 60532, 630-824-1000 - 0 ($32,656,000.00) Equity, (File 333-187428 - Mar. 21) (BR. 06A) S-3 Emerald Oil, Inc., 1600 BROADWAY, SUITE 1360, DENVER, CO, 80202, (303) 323-0008 - 1,165,015 ($8,131,805.00) Equity, (File 333-187429 - Mar. 21) (BR. 04A) S-4 Antero Resources Finance Corp, 1625 17TH STREET, DENVER, CO, 80202, 303 357 7325 - 0 ($525,000,000.00) Other, (File 333-187430 - Mar. 21) (BR. 04B) S-8 MATTEL INC /DE/, 333 CONTINENTAL BLVD, EL SEGUNDO, CA, 90245, 3102522000 - 0 ($20,900,000.00) Equity, 0 ($102,000,000.00) Other, (File 333-187431 - Mar. 21) (BR. 05B) S-8 NEWPORT CORP, 1791 DEERE AVE, IRVINE, CA, 92714, 7148633144 - 0 ($16,510,000.00) Equity, (File 333-187432 - Mar. 21) (BR. 10B) S-8 SERVOTRONICS INC /DE/, 1110 MAPLE ST, ELMA, NY, 14059, 7166335990 - 0 ($2,245,500.00) Equity, (File 333-187433 - Mar. 21) (BR. 06B) S-1 Teucrium Commodity Trust, 232 HIDDEN LAKE ROAD, BRATTLEBORO, VT, 05301, 802-257-1617 - 0 ($1.00) Equity, (File 333-187434 - Mar. 21) (BR. 08C) S-1 Teucrium Commodity Trust, 232 HIDDEN LAKE ROAD, BRATTLEBORO, VT, 05301, 802-257-1617 - 0 ($1.00) Equity, (File 333-187435 - Mar. 21) (BR. 08C)
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 ----------------------------------------------------------------------------------------- 3Power Energy Group Inc. NV 5.02,8.01,9.01 03/15/13 ACACIA RESEARCH CORP DE 8.01 03/21/13 ACADIA PHARMACEUTICALS INC DE 8.01 03/20/13 ACADIA PHARMACEUTICALS INC DE 8.01 03/20/13 AMEND ACCURIDE CORP DE 7.01,9.01 03/20/13 ADMA BIOLOGICS, INC. DE 2.03 03/15/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.03 03/15/13 AIRGAS INC DE 8.01,9.01 03/21/13 AK STEEL HOLDING CORP DE 7.01,9.01 03/20/13 ALIMERA SCIENCES INC DE 2.02 03/21/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 03/21/13 American Assets Trust, Inc. MD 5.02 03/21/13 AMERICAN CAMPUS COMMUNITIES INC MD 1.01,5.02,9.01 03/21/13 American Express Issuance Trust II DE 8.01,9.01 03/12/13 American Realty Capital Properties, I MD 8.01,9.01 03/21/13 Anacor Pharmaceuticals Inc DE 8.01,9.01 03/21/13 ANDAIN, INC. NV 4.01 01/28/13 AROTECH CORP DE 5.02 03/18/13 ASSURANT INC 8.01,9.01 03/21/13 AVID TECHNOLOGY, INC. DE 3.01 03/19/13 BIOTIME INC CA 5.02 03/19/13 BLACKBAUD INC 5.02 03/15/13 Bnet Media Group, Inc. NV 5.01,5.02,5.03,9.01 03/21/13 BON TON STORES INC PA 5.02,9.01 03/19/13 Bridgepoint Education Inc DE 5.02 03/18/13 BRIDGFORD FOODS CORP CA 5.07 03/20/13 CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 03/15/13 CAI International, Inc. 1.01,2.03,9.01 03/15/13 CALIFORNIA WATER SERVICE GROUP DE 7.01,9.01 03/20/13 Calpian, Inc. TX 2.01,9.01 03/15/13 CAMBIUM LEARNING GROUP, INC. 1.01,5.02,8.01 03/19/13 Campus Crest Communities, Inc. MD 1.01,2.01,8.01,9.01 03/15/13 CASCADE MICROTECH INC 5.02 03/18/13 CBRE GROUP, INC. DE 7.01,9.01 03/21/13 CBS CORP DE 1.01,2.03,9.01 03/18/13 CENTURYLINK, INC LA 8.01,9.01 03/21/13 Charter Financial Corp MD 8.01,9.01 03/21/13 CHESAPEAKE ENERGY CORP OK 8.01,9.01 03/18/13 CHINA EDUCATION ALLIANCE INC. NC 4.02 03/16/13 China Xuefeng Environmental Engineeri NV 1.01,3.02,9.01 03/19/13 CLAIRES STORES INC DE 2.02,9.01 03/20/13 CLARCOR INC. DE 2.02,9.01 03/20/13 CNO Financial Group, Inc. DE 7.01,9.01 03/21/13 COCA COLA CO DE 8.01,9.01 03/21/13 COEUR D ALENE MINES CORP ID 5.02,8.01 03/15/13 Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 03/21/13 Commercial Vehicle Group, Inc. DE 5.02 03/04/13 Compressco Partners, L.P. DE 5.02 03/15/13 Constellation Energy Partners LLC DE 4.01,9.01 03/18/13 CORINTHIAN COLLEGES INC 5.02,9.01 03/15/13 Corporate Capital Trust, Inc. MD 2.02,9.01 03/19/13 CORRECTIONS CORP OF AMERICA MD 7.01,8.01,9.01 03/21/13 Coyote Resources, Inc. NV 2.03,9.01 03/20/13 Crown Alliance Capital Ltd NV 8.01 03/21/13 CTPARTNERS EXECUTIVE SEARCH INC. DE 4.02 03/15/13 CTPARTNERS EXECUTIVE SEARCH INC. DE 2.02,9.01 03/20/13 CYTOKINETICS INC 8.01 03/21/13 DAKOTA TERRITORY RESOURCE CORP NV 5.02,9.01 03/19/13 DATALINK CORP MN 1.01,2.03,9.01 03/19/13 DEL TORO SILVER CORP. NV 7.01 03/15/13 DESTINATION XL GROUP, INC. DE 7.01,9.01 03/21/13 Dialogic Inc. DE 2.02,9.01 03/15/13 DIGIRAD CORP DE 8.01,9.01 03/15/13 DISCOUNT DENTAL MATERIALS, INC. NV 5.02 03/20/13 DOT HILL SYSTEMS CORP DE 5.02 03/16/13 DYCOM INDUSTRIES INC FL 7.01,9.01 03/21/13 DYNAVAX TECHNOLOGIES CORP DE 1.01,5.02 03/15/13 Eco-Trade Corp. DE 5.02 03/18/13 Edgen Group Inc. DE 7.01,9.01 03/21/13 ENTREMED INC DE 2.02,9.01 03/21/13 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 5.07 03/21/13 Federal Home Loan Bank of Atlanta X1 2.03 03/18/13 Federal Home Loan Bank of Boston X1 2.03 03/19/13 Federal Home Loan Bank of Chicago X1 2.03 03/18/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/19/13 Federal Home Loan Bank of New York X1 2.03,9.01 03/18/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/18/13 Federal Home Loan Bank of San Francis X1 2.03 03/18/13 Federal Home Loan Bank of Seattle 5.02,9.01 03/19/13 Federal Home Loan Bank of Seattle 2.03 03/18/13 Federal Home Loan Bank of Topeka 2.03,9.01 03/19/13 Fifth Third Holdings Funding, LLC DE 1.01,8.01,9.01 03/19/13 First Bancorp, Inc /ME/ ME 8.01 03/21/13 FIRST BANCSHARES INC /MS/ MS 5.03,9.01 03/18/13 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 03/21/13 First California Financial Group, Inc DE 5.07 03/20/13 First Financial Northwest, Inc. WA 5.03,9.01 03/20/13 FIRST OF LONG ISLAND CORP NY 7.01 03/21/13 Fortress International Group, Inc. DE 2.02,9.01 03/21/13 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 1.01,3.02,3.03,5.01, 03/15/13 5.03,9.01 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 2.02,5.02,9.01 03/15/13 FRESH START PRIVATE MANAGEMENT, INC. NV 4.01,9.01 02/07/12 AMEND FUEL TECH, INC. DE 5.02 03/15/13 Galena Biopharma, Inc. 1.01,2.01,2.03,9.01 03/15/13 GE Capital Credit Card Master Note Tr DE 1.01,8.01,9.01 03/19/13 Gevo, Inc. DE 8.01,9.01 03/21/13 GLOBE SPECIALTY METALS INC 5.02 03/20/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/28/13 GREAT CHINA MANIA HOLDINGS, INC. FL 4.01,9.01 03/21/13 AMEND GREAT SOUTHERN BANCORP INC MD 8.01,9.01 03/20/13 Greektown Superholdings, Inc. DE 1.01,5.03,8.01 03/18/13 Green Innovations Ltd. 8.01 02/19/13 Guidewire Software, Inc. DE 5.02,9.01 03/21/13 GULFMARK OFFSHORE INC DE 7.01,9.01 03/19/13 Hartman Short Term Income Properties MD 1.01,2.01,2.03,7.01, 03/21/13 9.01 HEALTH MANAGEMENT ASSOCIATES, INC DE 1.01,9.01 03/20/13 HEALTHCARE REALTY TRUST INC MD 1.01,8.01,9.01 03/19/13 Heckmann Corp DE 7.01,9.01 03/20/13 HEINZ H J CO PA 5.02 03/15/13 HERCULES OFFSHORE, INC. DE 7.01,9.01 03/21/13 HEWLETT PACKARD CO DE 5.02,5.07,7.01,9.01 03/20/13 Highpower International, Inc. DE 2.02,7.01,9.01 03/21/13 HollyFrontier Corp DE 1.01,9.01 03/19/13 Homeowners Choice, Inc. FL 4.01,9.01 03/20/13 HomeStreet, Inc. WA 4.01,9.01 03/18/13 IDACORP INC ID 5.02 03/20/13 IHS Inc. DE 2.02,9.01 03/21/13 iMedicor NV 4.02,9.01 10/16/12 inContact, Inc. DE 5.02 03/15/13 INDEPENDENT BANK CORP MA 8.01 03/21/13 INFRASTRUCTURE DEVELOPMENTS CORP. 3.03,5.03,9.01 03/04/13 INNOVATIVE FOOD HOLDINGS INC FL 5.02 03/20/13 INTELSAT S.A. N4 8.01,9.01 03/20/13 INTELSAT S.A. N4 8.01 03/21/13 INTERLINE BRANDS, INC./DE DE 5.02,9.01 03/19/13 INTERMUNE INC DE 8.01 03/20/13 INTUITIVE SURGICAL INC DE 7.01,9.01 03/20/13 INVESTORS REAL ESTATE TRUST ND 1.01,2.03,9.01 03/21/13 IsoRay, Inc. MN 1.01,9.01 01/09/13 AMEND JAVELIN MORTGAGE INVESTMENT CORP. MD 2.02,9.01 03/21/13 JBI, INC. NV 8.01,9.01 03/18/13 JOY GLOBAL INC DE 5.02 03/16/13 KAMAN CORP CT 5.02,9.01 03/20/13 KB HOME DE 2.02,9.01 03/21/13 KID BRANDS, INC NJ 8.01 03/21/13 KMG CHEMICALS INC TX 8.01 03/15/13 AMEND KV PHARMACEUTICAL CO /DE/ DE 7.01,8.01,9.01 03/15/13 KYTHERA BIOPHARMACEUTICALS INC DE 2.02,9.01 03/21/13 LAS VEGAS SANDS CORP NV 7.01,9.01 03/21/13 LENCO MOBILE INC. DE 9.01 12/23/11 AMEND Li3 Energy, Inc. NV 1.01,8.01,9.01 03/18/13 Liberty Global, Inc. DE 7.01 03/20/13 LIBERTY SILVER CORP NV 8.01,9.01 03/21/13 LSB INDUSTRIES INC DE 5.02 03/15/13 LUBYS INC DE 2.02,9.01 03/20/13 lululemon athletica inc. DE 2.02,9.01 03/21/13 MAGNEGAS CORP DE 1.01,9.01 03/20/13 Magnolia Solar Corp NV 7.01,9.01 03/21/13 MAKO Surgical Corp. DE 5.03,9.01 03/15/13 Marathon Patent Group, Inc. NV 7.01,9.01 03/21/13 MARCUS CORP WI 2.02,9.01 03/21/13 MAXIM INTEGRATED PRODUCTS INC DE 1.01,9.01 03/20/13 MAXIMUS INC VA 5.07 03/20/13 MAXIMUS INC VA 1.01,2.03,9.01 03/15/13 MDC HOLDINGS INC DE 5.02,9.01 03/18/13 Memorial Production Partners LP DE 1.01,2.03,7.01,9.01 03/19/13 MF Global Holdings Ltd. DE 7.01,9.01 03/15/13 MICRON TECHNOLOGY INC DE 2.02,9.01 03/21/13 Mid-Con Energy Partners, LP DE 5.02,7.01,9.01 03/18/13 Midstates Petroleum Company, Inc. DE 2.02,9.01 03/05/13 AMEND MOOG INC NY 8.01,9.01 03/20/13 MOVADO GROUP INC NY 2.02,7.01,9.01 03/21/13 MULTIBAND CORP MN 1.01,2.03,9.01 03/20/13 MVB FINANCIAL CORP WV 5.03,9.01 03/20/13 Nationstar Mortgage Holdings Inc. DE 5.02 03/19/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 03/21/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 03/21/13 NATUREWELL INC CA 4.01 01/28/13 NATUREWELL INC CA 1.01,2.01,3.02,5.01, 03/19/13 5.02,5.03,5.06,9.01 NBTY INC DE 1.01,9.01 03/21/13 New York & Company, Inc. 2.02,9.01 03/21/13 NEWBRIDGE BANCORP NC 8.01,9.01 03/21/13 NEWS CORP 8.01,9.01 03/21/13 NIKE INC OR 2.02,9.01 03/20/13 NOHO, Inc. WY 1.01,8.01,9.01 03/18/13 NORTEK INC DE 8.01,9.01 03/20/13 NORTHWESTERN CORP DE 7.01,9.01 03/21/13 NTN BUZZTIME INC DE 5.02,9.01 03/20/13 Nuveen Long/Short Commodity Total Ret DE 8.01,9.01 03/14/13 OCTAGON 88 RESOURCES, INC. NV 4.01,9.01 03/15/13 Ohr Pharmaceutical Inc 8.01 03/21/13 OM GROUP INC DE 5.02,9.01 03/21/13 OXYGEN BIOTHERAPEUTICS, INC. DE 3.01 03/20/13 PACIFIC PREMIER BANCORP INC DE 2.01,5.02,9.01 03/15/13 PACIFIC PREMIER BANCORP INC DE 8.01,9.01 03/21/13 PACWEST BANCORP DE 5.07 03/20/13 PAPA JOHNS INTERNATIONAL INC DE 5.02,9.01 03/19/13 PARKERVISION INC FL 1.01,8.01,9.01 03/21/13 Patriot Coal CORP DE 7.01,9.01 03/21/13 PDL BIOPHARMA, INC. DE 7.01,9.01 03/21/13 PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 03/21/13 PINNACLE WEST CAPITAL CORP AZ 9.01 03/19/13 PMI GROUP INC DE 7.01,9.01 03/21/13 POLYMEDIX, INC DE 8.01,9.01 03/21/13 POPE RESOURCES LTD PARTNERSHIP DE 7.01 03/21/13 Post Holdings, Inc. MO 2.05,9.01 03/19/13 PowerShares DB Commodity Index Tracki 8.01,9.01 03/20/13 PowerShares DB G10 Currency Harvest F DE 8.01,9.01 03/20/13 PowerShares DB Multi-Sector Commodity DE 8.01,9.01 03/20/13 PowerShares DB US Dollar Index Trust DE 8.01,9.01 03/20/13 PREMIER FINANCIAL BANCORP INC KY 1.01,5.02,9.01 03/20/13 PROASSURANCE CORP DE 7.01,9.01 03/21/13 Prologis, Inc. MD 8.01,9.01 03/21/13 PUGET TECHNOLOGIES, INC. NV 4.01,9.01 01/25/13 AMEND Regional Management Corp. DE 5.02,9.01 03/18/13 RESPONSE GENETICS INC 2.02,9.01 03/21/13 Rockville Financial, Inc. /CT/ CT 5.03,9.01 03/21/13 ROSS STORES INC DE 2.02,9.01 03/21/13 rue21, inc. DE 2.02,9.01 03/21/13 SABA SOFTWARE INC DE 5.02 03/15/13 Sabra Health Care REIT, Inc. MD 1.01,3.03,5.03,9.01 03/21/13 Sagetree Acquisition Corp DE 8.01 03/01/13 AMEND SALESFORCE COM INC DE 5.03,5.07,8.01,9.01 03/20/13 Sanchez Energy Corp DE 1.01,3.02,8.01,9.01 03/15/13 SARATOGA RESOURCES INC /TX TX 8.01,9.01 03/21/13 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 03/19/13 SCHOLASTIC CORP DE 2.02,9.01 03/21/13 SCHOOL SPECIALTY INC WI 5.02 03/15/13 SEALED AIR CORP/DE DE 1.01,1.02,2.03,8.01, 03/21/13 9.01 Security Devices International Inc. DE 5.03,5.07,9.01 03/21/13 SEITEL INC DE 1.01,2.03,9.01 03/20/13 SERENA SOFTWARE INC DE 3.02,5.02,9.01 03/15/13 SERVICEMASTER CO DE 5.02 03/15/13 SERVOTRONICS INC /DE/ DE 2.02,9.01 03/21/13 SINCLAIR BROADCAST GROUP INC MD 8.01,9.01 03/18/13 SOLTA MEDICAL INC DE 1.01,2.03,9.01 03/18/13 SOURCE FINANCIAL, INC. 5.03,8.01,9.01 03/15/13 STANCORP FINANCIAL GROUP INC OR 7.01,9.01 03/21/13 STANDEX INTERNATIONAL CORP/DE/ DE 5.02 03/21/13 STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 03/21/13 StellarOne CORP VA 4.01,9.01 03/18/13 STEMCELLS INC DE 2.02,9.01 03/19/13 SUPERMEDIA INC. DE 2.02,7.01,9.01 03/21/13 SUPERVALU INC DE 8.01,9.01 03/21/13 Susser Holdings CORP DE 7.01,9.01 03/21/13 Susser Petroleum Partners LP DE 7.01,9.01 03/21/13 SUTRON CORP VA 4.02,9.01 03/15/13 TARGET CORP MN 8.01,9.01 03/20/13 Targeted Medical Pharma, Inc. 1.01,5.02,9.01 03/18/13 TECH DATA CORP FL 4.02,9.01 03/21/13 THERMOENERGY CORP DE 5.02 03/20/13 TIBCO SOFTWARE INC DE 2.02,9.01 03/21/13 TIDEWATER INC DE 8.01,9.01 03/19/13 TRAVELERS COMPANIES, INC. MN 5.02 03/21/13 Tribute Pharmaceuticals Canada Inc. A6 2.02,9.01 03/21/13 TWO RIVERS WATER Co CO 5.03 03/20/13 UMPQUA HOLDINGS CORP OR 7.01,9.01 03/21/13 UNITED GUARDIAN INC DE 2.02,9.01 03/21/13 United Realty Trust Inc MD 1.01 03/18/13 UNITED STATES STEEL CORP DE 1.01,9.01 03/20/13 UNIVERSAL INSURANCE HOLDINGS, INC. DE 5.02,9.01 03/21/13 VERISIGN INC/CA DE 5.02 03/20/13 Vertex Energy Inc. NV 2.02,9.01 03/21/13 VISUALANT INC NV 8.01 03/21/13 Vitamin Shoppe, Inc. DE 8.01 03/14/13 VITRAN CORP INC A6 5.03,8.01,9.01 03/18/13 VORNADO REALTY TRUST MD 8.01 03/15/13 Vringo Inc DE 2.02,9.01 03/21/13 WAUSAU PAPER CORP. WI 8.01,9.01 03/21/13 WET SEAL INC DE 2.02,5.02,9.01 03/21/13 WINNEBAGO INDUSTRIES INC IA 7.01,9.01 03/21/13 WORTHINGTON INDUSTRIES INC OH 2.02,7.01,9.01 03/21/13 Xenith Bankshares, Inc. VA 5.02,9.01 03/21/13 XOMA Corp DE 8.01,9.01 03/18/13 XOMA Corp DE 8.01 03/19/13 YADKIN VALLEY FINANCIAL CORP NC 8.01,9.01 03/21/13 YUM BRANDS INC NC 5.02,9.01 03/15/13 ZAIS Financial Corp. MD 5.02 03/20/13 Zinco do Brasil, Inc. DE 1.01,8.01 02/13/13 ZOGENIX, INC. DE 5.02 03/15/13 ZYNGA INC DE 7.01 03/21/13