U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission


Issue 2013-68
April 10, 2013

Commission Announcements

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.

        COLONIA BELLA VISTA, MONTERREY, N.L., O5, 64410, 528183286167 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-187806 - Apr. 9) 
        (BR. 09A)

        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)

        3043236300 - 0 ($200,000,000.00) Equity, (File 333-187818 - Apr. 9) 
        (BR. 07C)

        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:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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.

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


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


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


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


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


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


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



Modified: 04/10/2013