Mary Jo White Sworn in as Chair of Commission
The Securities and Exchange Commission (Commission) today announced that Mary Jo White was sworn in this morning as the 31st Chair of the SEC.
Chairman White comes to the SEC with decades of experience as a federal prosecutor and securities lawyer. She was nominated to be SEC Chair by President Barack Obama on Feb. 7, 2013, and confirmed by the U.S. Senate on April 8.
“It is an honor to lead the talented and dedicated SEC staff on behalf of America’s investors and markets,” said Chairman White. “Our markets are the envy of the world precisely because of the SEC’s work effectively regulating the markets, requiring comprehensive disclosure, and vigorously enforcing the securities laws.”
Chairman White specialized in prosecuting complex securities and financial institution frauds and international terrorism cases when she served as the U.S. Attorney for the Southern District of New York from 1993 to 2002. Under her leadership, the office earned convictions against the terrorists responsible for the 1993 bombing of the World Trade Center and the bombings of American embassies in Africa. She is the only woman to hold the top position in the 200-year-plus history of that office.
Prior to becoming the U.S. Attorney for the Southern District of New York, Chairman White served as the First Assistant U.S. Attorney and later Acting U.S. Attorney for the Eastern District of New York from 1990 to 1993. She previously served as an Assistant U.S. Attorney for the Southern District of New York from 1978 to 1981 and became Chief Appellate Attorney of the Criminal Division.
After leaving her U.S. Attorney post, Chairman White became chair of the litigation department at Debevoise & Plimpton in New York, where she led a team of more than 200 lawyers. Chairman White previously was a litigation partner at the firm from 1983 to 1990, and worked as an associate from 1976 to 1978.
Chairman White earned her undergraduate degree, Phi Beta Kappa, from William & Mary in 1970, and her master’s degree in psychology from The New School for Social Research in 1971. She earned her law degree in 1974 at Columbia Law School, where she was an officer of the Law Review. She served as a law clerk to the Honorable Marvin E. Frankel of the U.S. District Court for the Southern District of New York.
Chairman White has won numerous awards in recognition of her outstanding work both as a prosecutor and a securities lawyer. The 2012 Chambers USA Women in Law Awards named her Regulatory Lawyer of the Year. Among other honors she has received are the Margaret Brent Women Lawyers of Achievement Award, the George W. Bush Award for Excellence in Counterterrorism, the Sandra Day O’Connor Award for Distinction in Public Service, and the “Women of Power and Influence Award” given by the National Organization for Women.
Chairman White is a fellow in the American College of Trial Lawyers and the International College of Trial Lawyers. She also has served as a director of The NASDAQ Stock Exchange and on its executive, audit, and policy committees. Chairman White is a member of the Council on Foreign Relations.
Chairman White was administered the oath of office by SEC Secretary Elizabeth M. Murphy. (Press Rel. 2013-56)
Commission Adopts Rules to Help Protect Investors from Identity Theft
The Commission today voted unanimously to adopt rules requiring broker-dealers, mutual funds, investment advisers, and certain other entities regulated by the agency to adopt programs to detect red flags and prevent identity theft.
The SEC adopted the rules jointly with the Commodity Futures Trading Commission (CFTC) in accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
“Under these rules, certain businesses regulated by the SEC and CFTC would be required to adopt and implement programs to detect and respond to indicators of possible identity theft,” said SEC Chairman Mary Jo White. “These rules are a common-sense response to the growing threat of identity theft to all Americans who invest, save, or borrow money.”
The final rules will become effective 30 days after publication in the Federal Register, and the compliance date will be six months after the effective date. (Press Rel. 2013-57)
The Matter of Toby G. Scammell
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing (Order) against Toby G. Scammell (Scammell or Respondent) based upon the entry of a permanent injunction entered against him in the United States District Court for the Central District of California (SEC v. Scammell, Civil Action No. CV-11-6597 DSF (MRWx)).
In the Order, the Division of Enforcement alleges that on June 15, 2012, the United States District Court for the Central District of California entered a judgment of permanent injunction and other relief against Scammell, which permanently enjoined him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine, what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3584; File No. 3-15271)
Commission Revokes Registration of Securities of Montavo, Inc. For Failure to Make Required Periodic Filings
On April 10, 2013, the Commission revoked the registration of each class of registered securities of Montavo, Inc. (Montavo) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Montavo consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Montavo, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Montavo’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Montavo in In the Matter of Largo Vista Group, Ltd., et al., Administrative Proceeding File No. 3-15187.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-69357; File No. 3-15187)
Global X Funds, et al.
An order has been issued on an application filed by Global X Funds, et al. under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A), (B), and (C) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) 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 certain registered open-end and closed-end management investment companies, business development companies as defined by Section 2(a)(48) of the Act, and registered unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies and (b) certain registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30454 - April 9, 2013)
Order Approving Proposed Rule Change
The Commission approved a proposed rule change, as modified by Amendment No. 1 thereto (SR-C2-2013-008), filed by C2 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. 34-69350)
The Commission granted approval on an accelerated basis of a proposed rule change, modified by Amendment No. 1, submitted by Miami International Securities Exchange LLC (SR-MIAX-2013-15) relating to Limit Up Limit Down Functionality. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69354)
The Commission issued a notice of filing and order granting accelerated approval of a proposed rule change (File No. SR-ICC-2013-05), as modified by Amendment No. 1 thereto, filed by ICE Clear Credit LLC under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise rules related to regulatory reporting of swap data. Publication is expected in the Federal Register during the week of April 8th. (Release No. 34-69356)
Joint Industry Plans: Notice of Filing And Immediate Effectiveness of Amendment No. 28 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the 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., International Securities Exchange LLC, Nasdaq OMX BX, Inc., Nasdaq OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC., and NYSE Arca, Inc. Pursuant to Section 11A under the Securities Exchange Act of 1934 and Rule 608 thereunder, the operating committee of the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (“Nasdaq/UTP Plan”) filed a proposal to amend the Nasdaq/UTP Plan (S7-24-89) to increase the interrogation device fee, to establish a redistribution fee and to establish a “net reporting” option. Publication of the notice is expected to be made in the Federal Register during the week of April 15th. (Rel. 34-69361)
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-3ASR MEXICAN ECONOMIC DEVELOPMENT INC, GENERAL ANAYA NO 601 PTE, COLONIA BELLA VISTA, MONTERREY, N.L., O5, 64410, 528183286167 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187806 - Apr. 9) (BR. 09A) S-4 OFFICE DEPOT INC, 6600 NORTH MILITARY TRAIL, BOCA RATON, FL, 33496, 561-438-8176 - 0 ($1,021,166,490.00) Equity, (File 333-187807 - Apr. 9) (BR. 02A) S-3 Matador Resources Co, 5400 LBJ FREEWAY, STE. 1500, DALLAS, TX, 75240, 972-371-5200 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-187808 - Apr. 9) (BR. 04A) S-8 ConnectOne Bancorp, Inc., 301 SYLVAN AVENUE, ENGLEWOOD CLIFFS, NJ, 07632, 201-816-8900 - 551,000 ($16,419,800.00) Equity, (File 333-187810 - Apr. 9) (BR. 07) S-8 SPHERIX INC, 6430 ROCKLEDGE DRIVE, #503, BETHESDA, MD, 20817, 301-897-2540 - 0 ($20,524,000.00) Equity, (File 333-187811 - Apr. 9) (BR. 09B) S-3ASR Realogy Holdings Corp., 1 CAMPUS DRIVE, PARSIPPANY, NJ, 07054, 973-407-2000 - 0 ($0.00) Equity, (File 333-187816 - Apr. 9) (BR. 08B) S-3 Tornier N.V., FRED ROESKESTRAAT 123, AMSTERDAM, P7, 1076EE, 952-426-7600 - 0 ($343,680,000.00) Other, (File 333-187817 - Apr. 9) (BR. 10B) S-3 FIRST COMMUNITY BANCSHARES INC /NV/, PO BOX 989, BLUEFIELD, VA, 24605, 3043236300 - 0 ($200,000,000.00) Equity, (File 333-187818 - Apr. 9) (BR. 07C) S-1 WILLIAM LYON HOMES, 4490 VON KARMAN AVENUE, NEWPORT BEACH, CA, 92660, 9498333600 - 0 ($200,000,000.00) Equity, (File 333-187819 - Apr. 9) (BR. 06C) S-3 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD, 20814, 240-497-6400 - 0 ($9,700,000,000.00) Other, (File 333-187820 - Apr. 9) (BR. 08B) N-2 REIT Exchange Fund, Inc., 801 ARTHUR GODFREY ROAD, SUITE 200, MIAMI BEACH, FL, 33140, 3052099898 - 0 ($500,000,000.00) Equity, (File 333-187821 - Apr. 9) (BR. )
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 AASTROM BIOSCIENCES INC MI 1.01,5.02,9.01 04/03/13 ACCURIDE CORP DE 5.02 04/09/13 ACCURIDE CORP DE 5.02 04/08/13 AMEND ADB International Group, Inc. NJ 4.01,9.01 04/09/13 ADVANCE AUTO PARTS INC DE 7.01 04/09/13 AFFYMETRIX INC DE 2.02 04/09/13 ALASKA AIR GROUP, INC. DE 7.01,8.01,9.01 04/08/13 ALCOA INC PA 2.02,9.01 04/08/13 ALION SCIENCE & TECHNOLOGY CORP DE 3.02 03/31/13 Alkermes plc. 2.05 04/04/13 ALL GRADE MINING, INC. CO 4.01 03/28/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/09/13 Allied Nevada Gold Corp. DE 7.01,9.01 04/08/13 AMARANTUS BIOSCIENCE, INC. DE 8.01 04/04/13 AMERICAN APPAREL, INC DE 1.01,1.02 04/04/13 2.03,7.01,9.01 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01 04/09/13 AMERITRANS CAPITAL CORP DE 8.01 04/05/13 ANGIODYNAMICS INC DE 2.02,9.01 04/08/13 API Technologies Corp. DE 2.02,9.01 04/09/13 ARES CAPITAL CORP MD 7.01,9.01 04/09/13 Armada Oil, Inc. NV 7.01,9.01 04/05/13 ASTEA INTERNATIONAL INC DE 5.02 04/09/13 ASTRO MED INC /NEW/ RI 5.02,9.01 04/03/13 ATMI INC DE 5.02,9.01 04/03/13 Augme Technologies, Inc. DE 5.02,9.01 04/09/13 Bank of New York Mellon CORP DE 8.01,9.01 04/09/13 BANK OF SOUTH CAROLINA CORP SC 2.02,5.07,9.01 04/09/13 Behringer Harvard Opportunity REIT II MD 7.01,9.01 04/09/13 Big Tree Group, Inc. CO 4.02 04/03/13 BIOMET INC IN 2.02,9.01 04/09/13 Bluerock Multifamily Growth REIT, Inc MD 1.01 04/03/13 BofI Holding, Inc. DE 7.01,9.01 04/08/13 BOISE CASCADE Co DE 8.01,9.01 04/09/13 BRE PROPERTIES INC /MD/ MD 5.03,9.01 04/04/13 BSD MEDICAL CORP DE 1.01,8.01,9.01 04/09/13 C&J Energy Services, Inc. DE 5.02 04/04/13 CACHE INC FL 8.01,9.01 04/09/13 CACHE INC FL 3.01 04/08/13 Campus Crest Communities, Inc. MD 8.01 04/09/13 CapLease, Inc. 1.01,9.01 04/04/13 CELL THERAPEUTICS INC WA 8.01 04/09/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 3.01,7.01,9.01 04/08/13 CENTURY CASINOS INC /CO/ DE 1.01 04/09/13 China Botanic Pharmaceutical 4.01,9.01 04/03/13 CHINA GLOBAL MEDIA INC NV 5.02 01/10/13 CIRTRAN CORP NV 8.01 04/02/13 CLEVELAND BIOLABS INC DE 1.01,5.02,9.01 04/04/13 CLIFFS NATURAL RESOURCES INC. OH 5.02 04/03/13 AMEND CMS ENERGY CORP MI 7.01,9.01 04/09/13 COLUMBIA LABORATORIES INC DE 1.01,7.01,9.01 04/04/13 COMMUNITY FINANCIAL SHARES INC DE 5.02 04/08/13 Compass Diversified Holdings DE 8.01,9.01 04/09/13 CORRECTIONS CORP OF AMERICA MD 8.01,9.01 04/08/13 COUPON EXPRESS, INC. NV 5.02 03/29/13 Covidien plc 8.01,9.01 04/08/13 Creative App Solutions, Inc. NV 8.01 04/08/13 CrowdGather, Inc. NV 1.01,3.02,5.03,9.01 04/08/13 CURRENCYSHARES EURO TRUST NY 1.01,9.01 04/08/13 CURRENCYSHARES JAPANESE YEN TRUST NY 1.01,9.01 04/08/13 CVB FINANCIAL CORP CA 8.01 04/07/13 CVD EQUIPMENT CORP NY 8.01,9.01 04/05/13 CYTEC INDUSTRIES INC/DE/ DE 2.01,9.01 04/03/13 DAYSTAR TECHNOLOGIES INC DE 4.01 04/09/13 DDR CORP OH 3.03,5.03,8.01,9.01 03/25/13 Digital Development Group Corp NV 1.01,3.02 04/03/13 5.02,8.01,9.01 Digital Realty Trust, Inc. 8.01,9.01 04/09/13 DreamWorks Animation SKG, Inc. 1.01,9.01 04/03/13 DTE ENERGY CO MI 1.01,1.02,2.03,9.01 04/05/13 DTE ENERGY CO MI 1.01,1.02,2.03,9.01 04/05/13 ECLIPSE IDENTITY RECOGNITION Corp NV 2.01,3.02, 04/04/13 5.01,5.02,5.03,5.06,9.01 Education Realty Trust, Inc. MD 7.01,9.01 04/09/13 EFLO ENERGY, INC. NV 5.03 04/04/13 EMC INSURANCE GROUP INC IA 7.01,9.01 04/09/13 ENB Financial Corp PA 2.02,9.01 04/08/13 ENCORE CAPITAL GROUP INC DE 1.01,5.02,9.01 04/08/13 ENGLOBAL CORP NV 3.01 04/04/13 ENTREMED INC DE 5.02,9.01 04/04/13 ESTERLINE TECHNOLOGIES CORP DE 1.01,2.03,9.01 04/08/13 FALCONSTOR SOFTWARE INC DE 5.02,9.01 04/08/13 Federal Home Loan Bank of Atlanta X1 2.03 04/03/13 Federal Home Loan Bank of Boston X1 2.03 04/03/13 Federal Home Loan Bank of Chicago X1 2.03 04/03/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/05/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/09/13 Federal Home Loan Bank of New York X1 2.03,9.01 04/03/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/03/13 Federal Home Loan Bank of San Francis X1 2.03 04/03/13 Federal Home Loan Bank of Seattle 2.03 04/03/13 Federal Home Loan Bank of Topeka 2.03,9.01 04/04/13 FEEL GOLF CO INC CA 2.01,5.02,8.01,9.01 04/09/13 FIRST BUSEY CORP /NV/ NV 8.01 04/09/13 FIRST COMMUNITY CORP /SC/ SC 8.01,9.01 04/08/13 FIRST COMMUNITY CORP /SC/ SC 7.01,9.01 04/09/13 FIRST MERCHANTS CORP IN 8.01,9.01 04/09/13 FIRST SOLAR, INC. DE 7.01,9.01 04/09/13 Furiex Pharmaceuticals, Inc. DE 8.01,9.01 04/04/13 FUSION TELECOMMUNICATIONS INTERNATION DE 2.02,7.01,9.01 04/03/13 FXCM Inc. 7.01,8.01,9.01 04/08/13 Game Plan Holdings, Inc. NV 5.02 04/04/13 GEO GROUP INC FL 1.01,2.03,9.01 04/03/13 GEOGLOBAL RESOURCES INC. DE 1.01,8.01,9.01 04/05/13 GLOBAL MOBILETECH, INC. NV 8.01,9.01 04/09/13 GMX RESOURCES INC OK 1.01,2.03,9.01 04/03/13 Granite Falls Energy, LLC MN 7.01,9.01 04/09/13 Greektown Superholdings, Inc. DE 8.01,9.01 04/08/13 GTJ REIT, Inc. MD 1.01,2.03,9.01 04/03/13 HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 04/09/13 HAMPSHIRE GROUP LTD DE 1.01,9.01 04/05/13 Hanover Portfolio Acquisitions, Inc. DE 1.01,2.01, 04/02/13 AMEND 3.02,8.01,9.01 HARLAND CLARKE HOLDINGS CORP DE 2.02 04/09/13 HEALTH MANAGEMENT ASSOCIATES, INC DE 2.02,9.01 04/09/13 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 04/09/13 HECLA MINING CO/DE/ DE 8.01,9.01 04/09/13 HERBALIFE LTD. E9 4.01,4.02,8.01,9.01 04/08/13 HERITAGE FINANCIAL CORP /WA/ WA 5.02,8.01,9.01 04/08/13 HERITAGE OAKS BANCORP CA 7.01,9.01 04/08/13 HERTZ CORP DE 2.03,9.01 04/08/13 HERTZ GLOBAL HOLDINGS INC 2.03,9.01 04/08/13 HINTO ENERGY, INC WY 7.01,9.01 04/09/13 HOST HOTELS & RESORTS, INC. MD 8.01 04/09/13 HYBRID Coating Technologies Inc. 4.01,9.01 04/09/13 AMEND HYPERTENSION DIAGNOSTICS INC /MN MN 8.01 04/09/13 IASIS Healthcare LLC DE 1.01,7.01,9.01 04/05/13 ICON ECI FUND FIFTEEN, L.P. DE 8.01 04/05/13 ICON LEASING FUND TWELVE, LLC DE 8.01 04/05/13 Independence Energy Corp. NV 1.01,9.01 04/05/13 INFINITY PHARMACEUTICALS, INC. DE 5.02 04/03/13 Integrity Applications, Inc. DE 8.01,9.01 04/09/13 InterAmerican Gaming, Inc. NV 1.01,2.01,3.02, 01/13/10 4.01,5.01,5.02,5.06,8.01,9.01 INTERCLOUD SYSTEMS, INC. 1.01,9.01 04/03/13 INTERPHASE CORP TX 5.02,9.01 04/04/13 Ironwood Gold Corp. 5.03,9.01 04/09/13 JMP Group Inc. DE 8.01 04/03/13 JPMORGAN CHASE & CO DE 8.01,9.01 04/08/13 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 04/09/13 LAKELAND FINANCIAL CORP IN 7.01,9.01 04/09/13 LEARNING TREE INTERNATIONAL INC DE 5.02,9.01 04/08/13 LEUCADIA NATIONAL CORP NY 8.01,9.01 04/09/13 LEVI STRAUSS & CO DE 2.02,9.01 04/09/13 Liberto, Inc. NV 1.01,5.02,9.01 04/04/13 Liberty Interactive Corp 7.01,9.01 04/03/13 LUCAS ENERGY, INC. NV 1.01,9.01 04/08/13 Lyons Liquors Inc. NV 4.01,9.01 04/09/13 MANHATTAN SCIENTIFICS INC DE 1.01,2.03,3.02,9.01 04/03/13 MARINE PRODUCTS CORP DE 8.01,9.01 04/08/13 Matador Resources Co TX 7.01,9.01 04/09/13 MEDICAL ALARM CONCEPTS HOLDINGS INC NV 4.01,9.01 04/08/13 MENS WEARHOUSE INC TX 5.02,8.01,9.01 04/03/13 MIDWEST HOLDING INC. NE 5.02,9.01 04/05/13 MIDWEST HOLDING INC. NE 5.02,9.01 04/05/13 MIDWEST HOLDING INC. NE 5.02,9.01 04/05/13 MIDWEST HOLDING INC. NE 5.02,9.01 04/05/13 Mister Goody, Inc. FL 1.01,2.01,7.01,9.01 04/03/13 MOBILE MINI INC DE 5.02,9.01 04/05/13 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 04/09/13 MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.02,7.01,9.01 04/09/13 MOTRICITY INC DE 2.01,3.01, 04/09/13 3.03,5.07,7.01,9.01 MRV COMMUNICATIONS INC DE 5.08 04/09/13 NEWMARKET CORP VA 5.02,9.01 03/28/13 NEWS CORP 8.01,9.01 04/09/13 NORTHSTAR REALTY FINANCE CORP. MD 1.01,5.03,8.01,9.01 04/03/13 NORTHWEST PIPE CO OR 8.01 04/09/13 NovaCopper Inc. A1 2.02,9.01 04/09/13 Oasis Petroleum Inc. DE 1.01,2.03,7.01,9.01 04/05/13 ONVIA INC DE 1.01,9.01 04/04/13 Orgenesis Inc. NV 1.01,3.02,9.01 04/09/13 OVERSEAS SHIPHOLDING GROUP INC DE 5.02,9.01 04/04/13 OXIGENE INC DE 2.02,8.01 04/09/13 Pacific Clean Water Technologies, Inc DE 8.01 04/09/13 PEDEVCO CORP TX 9.01 04/09/13 AMEND PINNACLE WEST CAPITAL CORP AZ 1.01,1.02,2.03 04/09/13 PINNACLE WEST CAPITAL CORP AZ 5.02 04/03/13 PITNEY BOWES INC /DE/ DE 5.02,8.01,9.01 04/04/13 Planet Payment Inc DE 4.01,9.01 04/03/13 PRICESMART INC DE 2.02,9.01 04/09/13 PROVIDENT NEW YORK BANCORP DE 1.01,5.02,5.03,9.01 04/03/13 PROVIDENT NEW YORK BANCORP DE 1.01,5.02,5.03,9.01 04/03/13 AMEND Pzena Investment Management, Inc. DE 8.01,9.01 03/31/13 QLT INC/BC A1 1.01,2.01,9.01 04/03/13 RADIAN GROUP INC DE 2.02,9.01 04/09/13 Rangeford Resources, Inc. NV 5.02,5.03,8.01,9.01 04/04/13 Raptor Pharmaceutical Corp DE 1.01 04/03/13 REALNETWORKS INC WA 5.02 04/05/13 Realogy Holdings Corp. DE 2.02,5.02,9.01 04/09/13 Realogy Holdings Corp. DE 2.02,5.02,9.01 04/09/13 Red Giant Entertainment, Inc. NV 4.01 04/03/13 REDtone Asia Inc NV 4.01,9.01 04/05/13 REGENERON PHARMACEUTICALS INC NY 1.01 04/03/13 RELIANCE STEEL & ALUMINUM CO CA 8.01,9.01 04/09/13 ROSETTA STONE INC 5.02,8.01,9.01 04/07/13 RPC INC DE 8.01,9.01 04/08/13 SABA SOFTWARE INC DE 3.01,5.03,9.01 04/04/13 SCHMITT INDUSTRIES INC OR 2.02,9.01 04/09/13 SEACHANGE INTERNATIONAL INC DE 2.02,9.01 04/09/13 Shire plc 8.01,9.01 04/09/13 SOLAR WIND ENERGY TOWER, INC. NV 8.01,9.01 04/08/13 SOLAR WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 03/25/13 SOLITRON DEVICES INC DE 1.01,9.01 04/03/13 SOURCE FINANCIAL, INC. 8.01,9.01 04/08/13 Spirit AeroSystems Holdings, Inc. DE 5.02 04/03/13 STEIN MART INC FL 1.01 04/01/13 STERLING BANCORP NY 1.01,9.01 04/03/13 STERLING BANCORP NY 1.01,9.01 04/03/13 AMEND STONE ENERGY CORP DE 7.01,9.01 04/08/13 SunCoke Energy, Inc. 7.01,9.01 04/09/13 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 04/09/13 TEL OFFSHORE TRUST TX 2.02,8.01,9.01 04/09/13 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.01,9.01 04/03/13 TETRA TECH INC DE 8.01,9.01 04/08/13 TOLL BROTHERS INC DE 1.01,2.03,9.01 04/03/13 TUESDAY MORNING CORP/DE DE 2.02,9.01 04/09/13 TUESDAY MORNING CORP/DE DE 5.02 04/08/13 UNITED STATES CELLULAR CORP DE 2.01,9.01 04/03/13 VENTRUS BIOSCIENCES INC DE 5.02 04/05/13 Verity Corp. NV 3.03,5.03,8.01,9.01 04/04/13 Viggle Inc. DE 5.02 04/04/13 VITRAN CORP INC A6 5.02,9.01 04/04/13 Voltari Corp DE 2.01,7.01,9.01 04/09/13 WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.03,5.02,9.01 03/30/13 Warner Chilcott plc 8.01 04/09/13 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 04/09/13 Westbury Bancorp, Inc. MD 8.01,9.01 04/09/13 Western Refining, Inc. DE 8.01 04/08/13 Wikifamilies, Inc. NV 8.01,9.01 04/08/13 Wiless Controls Inc. NV 7.01,9.01 04/08/13 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 04/09/13 XERIUM TECHNOLOGIES INC DE 2.02,7.01,9.01 04/09/13 Zep Inc. DE 2.02,7.01,9.01 04/09/13 ZION OIL & GAS INC DE 7.01,9.01 04/09/13