Commission Announces Panelists for Roundtable on Fixed Income Markets
The Securities and Exchange Commission (Commission) today announced the panelists who will participate in its April 16 roundtable on ways to improve the transparency and efficiency of the fixed income markets.
As previously announced, the roundtable will consist of four panels. The participants in the first panel will discuss the characteristics of the municipal securities market. The second panel will focus on the characteristics of the corporate bond and asset-backed securities markets and how they compare to the municipal securities market. The third panel will discuss potential steps to improve the transparency, liquidity, efficiency, or other structural aspects of the municipal securities market. The fourth panel will discuss potential steps to improve the transparency, liquidity, efficiency, or other structural aspects of the corporate bond and asset-backed securities markets.
The roundtable discussion will be held in the multi-purpose room of the SEC’s headquarters at 100 F Street, N.E., in Washington, D.C., beginning at 8:30 a.m. and ending at approximately 4:15 p.m. The public is invited to attend, with seating available on a first-come, first-served basis. The event will be webcast live on the Commission’s website at www.sec.gov and archived for later viewing. (Press Rel. 2013-55)
In The Matter Of Richard P. Sandru
The Commission announced the issuance of an Order Instituting Administrative And Cease-And-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Exchange Act), Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 (Advisers Act), and Section 9(b) of the Investment Company Act of 1940 (Investment Company Act) (Order) against Richard P. Sandru.
The Division of Enforcement alleges in the Order that from at least December 2009 through March 2011 (the relevant period), while associated with an investment adviser and broker-dealer registered with the Commission, Sandru misappropriated at least $308,850 in purported “financial planning fees” from at least 47 advisory clients. The Order further alleges that during the relevant period, Sandru also made oral and written misrepresentations regarding client account values to certain clients to conceal their diminishing account values and induce them to allow him to continue to purchase and sell securities in their accounts and receive advisory fees from their dwindling account balances. The Order alleges that Sandru willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and willfully violated, or, in the alternative, willfully aided and abetted and caused violations of, Sections 206(1) and 206(2) of the Advisers Act.
A hearing will be scheduled before an Administrative Law Judge to provide Sandru an opportunity to respond to the allegations of the Division contained in the Order, to determine whether these allegations are true, and to determine whether remedial sanctions, a cease-and-desist order, disgorgement and civil penalties should be ordered against Sandru. As directed by the Commission, the administrative law judge shall issue an initial decision in this matter not later than 300 days from the date of service of the Order. (Rel. 34- 69348; IA- 3579; IC-30453; File No. 3-15268)
In The Matter Of James C. Fields
The Commission announced the issuance of an Order suspending James C. Fields from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. Starting in 1994 until at least 2006, Fields was a certified public accountant licensed in Minnesota.
The Commission’s forthwith suspension against Fields is based on a February 26, 2013 judgment of criminal conviction entered against him in in United States of America v. James C. Fields 10-CR-10388-DPW in the United States District Court for the District of Massachusetts, finding him guilty of twenty eight criminal charges, including securities fraud, false statements to company auditors and false statements and false certifications in SEC filings. As a result of his conviction, Fields was sentenced to 60 months’ imprisonment, to be followed by three years of supervised release and the payment of restitution to be determined at a later hearing. (Rel. 34-69353; AAE- 3453; File No. 3-15270)
In The Matter Of Anthony John Johnson
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Anthony John Johnson.
In the Order, the Division of Enforcement alleges that on November 19, 2008, Johnson pled guilty to conspiracy to commit securities, mail, and wire fraud in violation of Title 18 United States Code Section 317 before the United States District Court for the Eastern District of New York in United States v. Johnson, Case Number 07-cr-854-3 (FB). The criminal indictment in this case, alleged that between March 2002 and March 2003, under the direction and supervision of Johnson and others, brokers at Park Capital Securities, LLC (Park Capital) engaged in misrepresentations and material omissions to induce retail customers to purchase and refrain from selling certain stock. Additionally, Johnson engaged in manipulative trading by opening an account in the name of his brother, exercising control of the account, and executing highly profitable trades by cross-trading stock between that account and other Park Capital retail customers. Johnson’s account profited, while most other customer accounts suffered losses.
In the Order, the Division of Enforcement further alleges that on June 14, 2012, Johnson pled guilty to one count of mail fraud in violation of Title 18 United States Code Section 1341 before the United States District Court for the Eastern District of New York in United States v. Johnson, Case Number 11-cr-287 (ENV). The criminal information in this case alleged that from approximately August 2010 to April 2011, Johnson operated a Ponzi scheme through Gibraltar Partners Inc. (Gibraltar). Johnson, through Gibraltar and other entities, solicited investor money, representing that the funds would be invested. As part of this scheme, Johnson invested some investor money into two hedge funds, RAHFCO Funds LP and RAHFCO Growth Fund LP (collectively RAHFCO Hedge Funds), without disclosing to the Gibraltar investors that the RAHFCO Hedge Funds’ trading strategy was failing. The majority of Gibraltar investor funds, however, were not invested, but instead were used to pay back prior Gibraltar investors.
A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide Johnson with an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-69352; IA- 3580; File No. 3-15269)
In the Matter of Robert David Beauchene
Robert David Beauchene has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following an October 2012 conviction for securities and wire fraud. His wrongdoing included obtaining, by false representations, at least $160,000 from four investors for investment in a purported hedge fund. Instead, Beauchene used the investors’ funds primarily to pay personal expenses. (Rel. 34-69355, IA-3581, IC-30455; File No. 3-14351)
Investment company act releases
AIP Series Trust and Morgan Stanley AIP GP LP
An order has been issued on an application filed by AIP Series Trust and Morgan Stanley AIP GP LP for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order permits (a) certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30450 - April 8, 2013
Krane Funds Advisors LLC, et al.
An order has issued on an application filed by Krane Funds Advisors LLC, 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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30452 - April 8, 2013)
Renaissance Capital Greenwich Funds, et al.
An order has issued on an application filed by Renaissance Capital Greenwich Funds, et al. The order permits: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days 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; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30451 - April 8, 2013)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change (SR-BOX-2013-19) filed by BOX Options Exchange LLC to amend the Fee Schedule for trading 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 April 8th. (Rel. 34-69936)
Order Approving Proposed Rule Change
The Commission approved a proposed rule change (SR-CBOE-2013-019) filed by Chicago Board Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to Market-Maker continuous quoting obligations. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69338)
The Commission granted accelerated approval of a proposed rule change, as modified by Amendment No. 1, filed by NYSE MKT LLC (SR-NYSEMKT-2013-10) to adopt new Rule 953.1NY to provide for how the Exchange proposes to treat orders, market-making quoting obligations and errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility, and amend Rule 953NY to codify that the Exchange shall halt trading in all options overlying NMS Stocks when the equities markets initiate a market-wide trading halt due to extraordinary market volatility. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69339)
The Commission granted accelerated approval of a proposed rule change, as modified by Amendment No. 1, filed by NYSE Arca, Inc. (SR-NYSEARCA-2013-10) to adopt new Rule 6.65A to provide for how the Exchange proposes to treat orders, market-making quoting obligations and errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility, and amend Rule 6.65 to codify that the Exchange shall halt trading in all options overlying NMS Stocks when the equities markets initiate a market-wide trading halt due to extraordinary market volatility. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69340)
The Commission granted accelerated approval of a proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-048) to adopt Chapter V, Section 3(d)(iv) regarding Obvious Error or Catastrophic Error Review. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69341)
The Commission granted accelerated approval of a proposed rule change filed by Miami International Securities Exchange LLC (SR-MIAX-2013-12) relating to Obvious Errors in Limit or Straddle States. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69342)
The Commission granted accelerated approval of a proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-026) to adopt Chapter V, Section 3(d)(iv) regarding Obvious Error or Catastrophic Error Review. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69343)
The Commission granted accelerated approval of a proposed rule change filed by NASDAQ OMX PHLX LLC (SR-PHLX-2013-29) to address Obvious and Catastrophic Options Errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69344)
The Commission noticed Amendment No. 1 for comment and granted approval on an accelerated basis of a proposed rule change, modified by Amendments No. 1 and 2, submitted by C2 Options Exchange, Incorporated (SR-C2-2013-013) relating to the Regulation NMS Plan to Address Extraordinary Market Volatility. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69345)
Securities Act Registrations
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 Pinnacle Foods Inc., 399 JEFFERSON ROAD, PARSIPPANY, NJ, 07054, 973-541-6620 - 0 ($269,712,060.15) Equity, (File 333-187774 - Apr. 8) (BR. 04B) S-8 MARTHA STEWART LIVING OMNIMEDIA INC, 601 WEST 26TH STREET, NEW YORK, NY, 10001, 2128278000 - 0 ($11,165,316.00) Equity, (File 333-187775 - Apr. 8) (BR. 05A) S-4 ALERE INC., 51 SAWYER ROAD, SUITE 200, WALTHAM, MA, 02453, 7816473900 - 0 ($450,000,000.00) Debt, (File 333-187776 - Apr. 8) (BR. 01A) S-3 iShares S&P GSCI Commodity-Indexed Trust, 400 HOWARD STREET, SAN FRANCISCO, CA, 94105, 415-670-2000 - 0 ($1.00) Equity, (File 333-187777 - Apr. 8) (BR. 08B) S-3ASR CREDIT ACCEPTANCE CORP, 25505 WEST TWELVE MILE ROAD, SOUTHFIELD, MI, 48034-8334, 2483532700 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187778 - Apr. 8) (BR. 07B) S-1 CHUY'S HOLDINGS, INC., 1623 TOOMEY ROAD, AUSTIN, TX, 78704, 512-473-2783 - 0 ($110,848,500.00) Equity, (File 333-187779 - Apr. 8) (BR. 05B) S-1 Global System Designs, Inc., 24123 PEACHLAND BLVD., C-4, #106, PORT CHARLOTTE, FL, 33954, 941-613-9858 - 4,725,000 ($94,500.00) Equity, (File 333-187782 - Apr. 8) (BR. 11) S-1 First NBC Bank Holding Co, 210 BARONNE STREET, NEW ORLEANS, LA, 70112, (504) 566-8000 - 0 ($115,000,000.00) Equity, (File 333-187787 - Apr. 8) (BR. 07) S-8 Arista Power, Inc., 1999 MOUNT READ BLVD, ROCHESTER, NY, 14615, 585-243-4040 - 750,000 ($876,353.00) Equity, (File 333-187790 - Apr. 8) (BR. 10A) S-3ASR Macquarie Infrastructure CO LLC, 125 WEST 55TH STREET, 22ND FLOOR, NEW YORK, NY, 10019, 212-231-1000 - 0 ($0.00) Debt, (File 333-187794 - Apr. 8) (BR. 04B) S-3ASR Targa Resources Partners LP, 1000 LOUISIANA, SUITE 4300, HOUSTON, TX, 77002, (713)584-1000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187795 - Apr. 8) (BR. 02C) S-8 Hi-Crush Partners LP, Three Riverway, Suite 1550, Houston, TX, 77056, 713-963-0099 - 0 ($26,012,148.00) Limited Partnership Interests, (File 333-187796 - Apr. 8) (BR. 09) S-1 PAR PETROLEUM CORP/CO, 1301 MCKINNEY, SUITE 2025, HOUSTON, TX, 77010, 7139693293 - 0 ($50,000,000.00) Equity, (File 333-187797 - Apr. 8) (BR. 04A) S-1 ASPEN GROUP, INC., 720 SOUTH COLORADO BOULEVARD, SUITE 1150N, DENVER, CO, 95765, 646-450-1843 - 2,421,429 ($1,186,500.00) Equity, (File 333-187798 - Apr. 8) (BR. 11C) S-8 Cellular Biomedicine Group, Inc., 530 UNIVERSITY AVENUE, #17, PALO ALTO, CA, 94301, 480 966 2020 - 480,000 ($2,400,000.00) Equity, (File 333-187799 - Apr. 8) (BR. 07C) S-8 VALASSIS COMMUNICATIONS INC, 19975 VICTOR PARKWAY, LIVONIA, MI, 48152, 3135913000 - 750,000 ($20,212,500.00) Equity, (File 333-187800 - Apr. 8) (BR. 11A) S-3 Cyclacel Pharmaceuticals, Inc., 200 CONNELL DRIVE, SUITE 1500, BERKELEY HEIGHTS, NJ, 07922, 908-517-7330 - 0 ($75,000,000.00) Other, (File 333-187801 - Apr. 8) (BR. 01A) S-8 GENCORP INC, 2001 AEROJET ROAD, RANCHO CORDOVA, CA, 95742, 916-355-4000 - 1,500,000 ($20,280,000.00) Equity, (File 333-187802 - Apr. 8) (BR. 06C) S-1 PROVECTUS PHARMACEUTICALS INC, 7327 OAK RIDGE HWY, SUITE B, KNOXVILLE, TN, 37931, 865-769-4011 - 0 ($6,382,725.46) Equity, (File 333-187803 - Apr. 8) (BR. 01B) N-2 WhiteHorse Finance, Inc., 1450 Brickell Avenue, 31st Floor, Miami, FL, 33131, (305) 379-2322 - 0 ($1,000,000.00) Debt, (File 333-187805 - Apr. 8) (BR. 17)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ABRAXAS PETROLEUM CORP NV 7.01,9.01 04/08/13 Adamis Pharmaceuticals Corp DE 1.01,2.03,3.02,9.01 04/05/13 Advanced Voice Recognition Systems, I NV 4.01,9.01 04/02/13 ADVISORY BOARD CO DE 5.02,9.01 04/02/13 ALERE INC. DE 8.01,9.01 04/05/13 Altisource Residential Corp 5.03,9.01 04/04/13 AMC Networks Inc. DE 8.01 04/08/13 AMERICAN AIRLINES INC DE 8.01,9.01 04/08/13 American Realty Capital Properties, I MD 8.01,9.01 04/08/13 AMERICAN RIVER BANKSHARES CA 8.01,9.01 04/08/13 AMR CORP DE 8.01,9.01 04/08/13 Anacor Pharmaceuticals Inc DE 3.02,8.01,9.01 04/05/13 ANWORTH MORTGAGE ASSET CORP MD 3.03,8.01,9.01 04/08/13 ARCTIC CAT INC MN 5.02 04/08/13 ASIA PROPERTIES INC NV 1.01 04/03/13 ASSURED GUARANTY LTD D0 8.01,9.01 04/08/13 ASTORIA FINANCIAL CORP DE 8.01,9.01 04/08/13 AUTHENTIDATE HOLDING CORP DE 3.02,5.07,8.01,9.01 04/05/13 Avery Dennison Corp DE 1.01,9.01 04/08/13 AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 04/04/13 AVON PRODUCTS INC NY 2.05 04/04/13 Bacterin International Holdings, Inc. DE 5.02 04/05/13 Bank of Marin Bancorp CA 7.01,9.01 04/08/13 Be Active Holdings, Inc. DE 4.01,9.01 04/03/13 BIOMERICA INC DE 1.01,1.02 04/02/13 BLUE DOLPHIN ENERGY CO DE 2.02,9.01 04/08/13 BMC SOFTWARE INC DE 2.05,9.01 04/02/13 BRISTOL MYERS SQUIBB CO DE 5.02,9.01 04/03/13 BSD MEDICAL CORP DE 7.01,9.01 04/08/13 CACHE INC FL 8.01,9.01 04/08/13 CACHE INC FL 5.02,5.07 04/02/13 CAREER EDUCATION CORP DE 5.02,9.01 04/06/13 CASCADE CORP OR 5.03,9.01 04/05/13 CATHAY GENERAL BANCORP DE 8.01 04/05/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.03,2.04,8.01,9.01 04/07/13 Cereplast Inc NV 5.07 04/05/13 CHAMPION INDUSTRIES INC WV 1.01,5.02,9.01 04/08/13 Charter Financial Corp MD 8.01,9.01 04/08/13 CHARTER FINANCIAL CORP/GA 8.01,9.01 04/08/13 CHESAPEAKE ENERGY CORP OK 8.01,9.01 04/08/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02 04/08/13 CHRISTOPHER & BANKS CORP DE 7.01,9.01 04/08/13 CHROMCRAFT REVINGTON INC DE 3.01,9.01 04/05/13 CHS INC MN 5.05 04/03/13 CHUY'S HOLDINGS, INC. DE 2.02,9.01 04/08/13 CIBER INC 5.02,9.01 10/04/11 CombiMatrix Corp DE 1.01,3.02,9.01 04/04/13 COMM 2013-CCRE6 Mortgage Trust DE 8.01 04/08/13 Commercial Vehicle Group, Inc. DE 5.02,9.01 04/03/13 COMPUTER TASK GROUP INC NY 7.01,9.01 04/08/13 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 1.01,9.01 04/03/13 CONSTELLATION BRANDS, INC. DE 7.01,8.01,9.01 04/05/13 CORRECTIONS CORP OF AMERICA MD 1.01,2.03,8.01,9.01 04/03/13 COUSINS PROPERTIES INC GA 8.01 03/29/13 CPI CORP DE 1.01,1.02,2.05,8.01 04/03/13 CREDIT ACCEPTANCE CORP MI 2.02,8.01,9.01 04/08/13 CROSSROADS SYSTEMS INC DE 3.01 04/02/13 CROSSTEX ENERGY INC DE 7.01,9.01 04/08/13 CROSSTEX ENERGY LP DE 7.01,9.01 04/08/13 CTC Media, Inc. 5.02 04/02/13 CUMBERLAND PHARMACEUTICALS INC 8.01 04/08/13 Cyclacel Pharmaceuticals, Inc. DE 8.01 04/05/13 CYCLONE POWER TECHNOLOGIES INC FL 7.01,9.01 04/03/13 DEL TORO SILVER CORP. NV 1.01,3.02,9.01 04/02/13 DELCATH SYSTEMS INC DE 8.01,9.01 04/08/13 DENTSPLY INTERNATIONAL INC /DE/ DE 5.02 04/08/13 DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 04/08/13 DTE ENERGY CO MI 7.01,9.01 04/08/13 ECOLAB INC DE 7.01,8.01,9.01 04/08/13 EDAC TECHNOLOGIES CORP WI 8.01,9.01 04/08/13 EMERSON ELECTRIC CO MO 5.03,8.01,9.01 04/02/13 EnDev Holdings Inc. NV 5.02,7.01,9.01 04/03/13 Energy Recovery, Inc. DE 5.02,9.01 04/03/13 ERP OPERATING LTD PARTNERSHIP MD 8.01,9.01 04/03/13 EWaste Systems, Inc. NV 1.01,3.02,9.01 04/05/13 Federal Home Loan Bank of Dallas 2.03,9.01 04/02/13 FIRST SOLAR, INC. DE 5.02 04/03/13 FNB CORP/FL/ FL 3.02,7.01,9.01 04/06/13 FOCUS GOLD Corp 3.02,8.01,9.01 04/05/13 FORMFACTOR INC DE 4.01,9.01 04/02/13 Freescale Semiconductor, Ltd. D0 5.02,9.01 04/02/13 FX ENERGY INC NV 8.01,9.01 04/08/13 FX ENERGY INC NV 7.01,9.01 04/08/13 FXCM Inc. 7.01,9.01 04/08/13 GASCO ENERGY INC NV 8.01,9.01 04/08/13 GASTAR EXPLORATION LTD 7.01,9.01 04/08/13 General Motors Financial Company, Inc TX 8.01,9.01 04/05/13 Genius Brands International, Inc. NV 2.02,9.01 04/02/13 Global Growth Trust, Inc. MD 5.03,9.01 04/08/13 Golub Capital BDC, Inc. DE 2.02,9.01 04/08/13 GREENBRIER COMPANIES INC OR 5.02 04/02/13 GreenHunter Energy, Inc. DE 2.02,7.01,9.01 04/08/13 Hanover Portfolio Acquisitions, Inc. DE 1.01,8.01,9.01 04/02/13 HARBINGER GROUP INC. DE 5.02,5.07 04/08/13 HARBOR ISLAND DEVELOPMENT CORP. 5.01,5.02 04/03/13 HARBOR ISLAND DEVELOPMENT CORP. 1.01,9.01 04/04/13 HARSCO CORP DE 5.02,9.01 04/08/13 HASCO Medical, Inc. FL 5.02 04/08/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 04/08/13 HomeStreet, Inc. WA 7.01,9.01 04/08/13 HomeStreet, Inc. WA 7.01,9.01 04/08/13 HST Global, Inc. DE 4.01,8.01 04/08/13 HUDSON VALLEY HOLDING CORP NY 5.02,9.01 04/04/13 AMEND ILLINOIS TOOL WORKS INC DE 5.02,9.01 04/02/13 IMMUNOGEN INC MA 7.01 04/07/13 Immunovative, Inc. FL 5.02,9.01 03/28/13 Independent Bank Group Inc TX 8.01,9.01 04/08/13 Indigo-Energy, Inc. NV 1.03,5.02,9.01 11/01/12 INTERNATIONAL ISOTOPES INC TX 7.01,9.01 04/08/13 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 04/08/13 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 04/08/13 Investors Bancorp Inc DE 1.01,9.01 04/05/13 ISIS PHARMACEUTICALS INC DE 1.01,9.01 04/08/13 ITC Holdings Corp. MI 1.01,2.03,9.01 04/04/13 IXIA CA 3.01 04/03/13 J C PENNEY CO INC DE 5.02,9.01 04/08/13 Jacksonville Bancorp, Inc. MD 2.02,9.01 04/08/13 KALEX CORP DE 1.01,5.03,9.01 04/02/13 KB HOME DE 5.07 04/04/13 KFORCE INC FL 5.07 04/05/13 LIBERATOR MEDICAL HOLDINGS, INC. NV 9.01 04/05/13 LODGENET INTERACTIVE CORP DE 8.01,9.01 03/28/13 LUCAS ENERGY, INC. NV 1.01,2.03, 04/04/13 3.02,5.02,9.01 LUFKIN INDUSTRIES INC TX 1.01,9.01 04/05/13 MAC-GRAY CORP DE 1.02,3.03, 04/08/13 5.03,7.01,9.01 MAGELLAN HEALTH SERVICES INC DE 5.02,9.01 04/03/13 MAGICJACK VOCALTEC LTD L3 1.01,5.02,9.01 04/08/13 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,9.01 04/02/13 Manitex International, Inc. MI 1.01,2.03,9.01 04/03/13 MARILYNJEAN INTERACTIVE INC. 1.01,5.03,9.01 04/04/13 MBIA INC CT 8.01 04/08/13 MCCORMICK & CO INC MD 5.02,5.07 04/03/13 Med One Oak, Inc. DE 4.01,9.01 04/05/13 AMEND MEDTRONIC INC MN 8.01 04/08/13 MeetMe, Inc. DE 5.02 04/02/13 Memorial Production Partners LP DE 8.01,9.01 04/08/13 Memorial Production Partners LP DE 9.01 03/28/13 AMEND Mistras Group, Inc. DE 2.02,9.01 04/08/13 MOHAWK INDUSTRIES INC DE 2.01,9.01 04/03/13 Mondelez International, Inc. VA 7.01,9.01 01/01/13 Monster Beverage Corp DE 8.01,9.01 04/08/13 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 04/08/13 MVC CAPITAL, INC. DE 5.07 04/03/13 NAKED BRAND GROUP INC. NV 4.01,9.01 04/05/13 NATIONAL HOLDINGS CORP DE 5.07 04/04/13 NATURAL RESOURCE PARTNERS LP DE 9.01 01/23/13 AMEND NAVISTAR INTERNATIONAL CORP DE 1.01,2.03,8.01,9.01 04/02/13 Neuralstem, Inc. DE 8.01,9.01 04/05/13 NEW AMERICA ENERGY CORP. NV 4.01,9.01 03/27/13 NEW FOUND SHRIMP INC IN 4.01 04/08/13 NEWLINK GENETICS CORP 8.01,9.01 04/08/13 NewStar Financial, Inc. 1.01,2.03,8.01,9.01 04/04/13 NOBILITY HOMES INC FL 4.01,9.01 04/03/13 NorthStar Healthcare Income, Inc. MD 1.01,8.01 04/05/13 NORTHSTAR REALTY FINANCE CORP. MD 2.01,7.01,9.01 04/05/13 NORTHWEST BIOTHERAPEUTICS INC DE 2.02,9.01 04/08/13 NOVAGEN SOLAR INC. NV 4.01,9.01 04/03/13 Novus Robotics Inc. NV 5.02,9.01 04/01/13 NYSE Euronext DE 2.02,9.01 04/05/13 Oaktree Capital Group, LLC DE 8.01 04/08/13 AMEND OCCIDENTAL PETROLEUM CORP /DE/ DE 8.01,9.01 04/08/13 OCTAGON 88 RESOURCES, INC. NV 5.02,8.01,9.01 04/08/13 OptimizeRx Corp NV 7.01 04/05/13 ORAGENICS INC FL 8.01,9.01 04/05/13 Orion Marine Group Inc 8.01 04/05/13 OSAGE EXPLORATION & DEVELOPMENT INC DE 1.01,9.01 04/08/13 Pacific Green Technologies Inc. DE 1.01,2.01,3.02,9.01 04/03/13 PediatRx Inc. NV 5.01,5.02,8.01 03/14/13 PHARMACYCLICS INC DE 8.01,9.01 04/08/13 PHARMACYCLICS INC DE 7.01,9.01 04/08/13 Phillips Edison - ARC Shopping Center MD 8.01 04/04/13 PHOTRONICS INC CT 5.07 04/03/13 PLC SYSTEMS INC B0 8.01 04/08/13 PNC FINANCIAL SERVICES GROUP, INC. PA 8.01 04/08/13 PRGX GLOBAL, INC. GA 5.02 04/02/13 ProText Mobility, Inc. DE 4.01 04/08/13 Quanex Building Products CORP DE 5.02 04/03/13 RESEARCH FRONTIERS INC DE 1.01,9.01 04/08/13 RESEARCH FRONTIERS INC DE 1.01,9.01 04/04/13 Resource Capital Corp. MD 2.03,9.01 04/02/13 Rhino Resource Partners LP DE 8.01,9.01 04/08/13 ROTECH HEALTHCARE INC DE 1.03,2.04,9.01 04/07/13 SAFECODE DRUG TECHNOLOGIES CORP. DE 5.02,9.01 04/08/13 SALEM COMMUNICATIONS CORP /DE/ DE 1.02 04/03/13 Santo Mining Corp. NV 1.01,2.01, 03/13/13 3.02,8.01,9.01 SBA COMMUNICATIONS CORP FL 8.01,9.01 04/04/13 SCANSOURCE INC SC 9.01 04/08/13 SCHULMAN A INC DE 2.02,9.01 04/08/13 SCICLONE PHARMACEUTICALS INC DE 4.01,9.01 04/08/13 Sensata Technologies Holding N.V. P7 5.02,9.01 04/05/13 SENSIENT TECHNOLOGIES CORP WI 1.01,2.03,9.01 04/05/13 Sitoa Global Inc. DE 5.02 04/08/13 SkyPeople Fruit Juice, Inc FL 1.01,8.01,9.01 04/03/13 Solar Senior Capital Ltd. MD 7.01,9.01 04/08/13 SOURCEFIRE INC DE 5.02,8.01,9.01 04/08/13 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 04/08/13 Spectra Energy Partners, LP DE 1.01,9.01 04/03/13 SPINDLE, INC. NV 5.02 04/01/13 STAAR SURGICAL CO DE 2.02,8.01,9.01 04/08/13 STAGE STORES INC NV 8.01,9.01 04/08/13 STARWOOD PROPERTY TRUST, INC. 9.01 04/08/13 STARWOOD PROPERTY TRUST, INC. 7.01 04/08/13 SYNAGEVA BIOPHARMA CORP DE 1.01,8.01 04/05/13 SYNOPSYS INC DE 5.02,5.07,9.01 04/03/13 Texas Gulf Energy Inc NV 7.01 04/04/13 Timberline Resources Corp DE 7.01,9.01 04/05/13 TNP Strategic Retail Trust, Inc. MD 7.01,9.01 04/08/13 TNP Strategic Retail Trust, Inc. MD 1.01,2.03,9.01 04/01/13 Tongxin International, Ltd. D8 5.02,9.01 04/05/13 TORCHMARK CORP DE 5.02,9.01 04/08/13 TRANS LUX CORP DE 1.01,3.03,5.02 04/08/13 U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 04/08/13 UMH PROPERTIES, INC. MD 7.01,9.01 04/08/13 Uni-Pixel DE 8.01 04/08/13 United Continental Holdings, Inc. DE 8.01,9.01 04/08/13 UROLOGIX INC MN 8.01,9.01 04/08/13 UV FLU TECHNOLOGIES INC NV 5.02 04/04/13 Vanity Events Holding, Inc. DE 1.01,9.01 04/02/13 VERISIGN INC/CA DE 2.02,7.01,8.01,9.01 04/08/13 VERISIGN INC/CA DE 2.02,9.01 04/08/13 WESBANCO INC WV 2.02,9.01 04/08/13 WESTLAKE CHEMICAL CORP DE 5.02,9.01 04/05/13 WESTMORELAND COAL Co DE 5.02 04/08/13 WMS INDUSTRIES INC /DE/ DE 8.01,9.01 04/08/13 XCEL ENERGY INC MN 8.01 04/03/13 ZaZa Energy Corp DE 5.02,9.01 04/08/13 ZOLTEK COMPANIES INC DE 5.02,8.01,9.01 04/02/13