Commission Announces Agenda for Credit Ratings Roundtable
The Commission today announced the agenda for its Credit Ratings Roundtable, which will be held at the SEC’s headquarters in Washington, D.C., on May 14.
The roundtable, which was previously announced, will consist of three panels, with panelists to be named later. The first panel will discuss the potential creation of a credit rating assignment system for asset-backed securities. The second panel will discuss the effectiveness of the SEC’s current system to encourage unsolicited ratings of asset-backed securities. The third panel will discuss other alternatives to the current issuer-pay business model in which the issuer selects and pays the firm it wants to provide credit ratings for its securities.
The event will begin at 9 a.m. and is open to the public with seating on a first-come, first-served basis. The event also will be webcast live on the SEC’s website and will be archived for later viewing. (Press Rel. 2013-71)
Commission Names Anne K. Small as General Counsel
The Commission today announced that Anne K. Small has been named General Counsel of the agency.
Ms. Small comes to the SEC from the White House Counsel’s Office where she has been serving as Special Assistant to the President and Associate Counsel to the President since October 2011. She has advised on legal policy questions with a focus on economic issues.
Ms. Small previously worked at the SEC as Deputy General Counsel for Litigation and Adjudication, helping to oversee enforcement matters, appellate cases, and adjudications. She becomes the first woman to be named General Counsel of the SEC.
“I’m delighted that Annie will be returning the agency at a time when our rule writing is in full swing and our enforcement program continues to pursue cases involving some of the most complex transactions,” said Mary Jo White, the SEC Chair. “The Commission will benefit from her experience, judgment, and tremendous talent.”
Before entering government, Ms. Small worked at WilmerHale LLP, where she was a partner in the firm’s litigation department. She was involved in commercial and securities litigation, a broad range of civil and criminal matters, and trial and appellate work.
Ms. Small said, “It is an honor to return to the Commission. I am looking forward to working with the talented staff in the General Counsel’s Office and serving Chairman White and the other Commissioners in the agency’s efforts to protect investors.”
Ms. Small is expected to arrive at the agency soon and will succeed Geoffrey Aronow, who will become a senior counsel to the Chairman.
“Even in his short stint as General Counsel, Geoff has proved himself to be a wise and insightful counselor to the Commission. I am very pleased that he has agreed to stay on as a senior counsel in my office. In that role, he will assist in navigating some of the more complex and difficult policy issues we must address,” said Chairman White.
Ms. Small began her law career as a law clerk for Judge Guido Calabresi on the U.S. Court of Appeals for the Second Circuit and for Justice Stephen G. Breyer on the U.S. Supreme Court. She received her J.D. in 2001 from Harvard Law School, where she was awarded the Sears Prize and served as President of the Harvard Law Review. She earned her B.A. from Yale University in 1996. (Press Rel. 2013-69)
Commission Announces Agenda for May 1st Meeting of Advisory Committee on Small and Emerging Companies
The Commission today announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies on Wednesday, May 1.
The Advisory Committee will hear presentations from Robert Greifeld, Chief Executive Officer of NASDAQ OMX Group, William R. Hambrecht, Chairman and Chief Executive Officer of WR Hambrecht + Co., and Duncan L. Niederauer, Chief Executive Officer of NYSE Euronext. The presentations and the discussions are expected to cover a wide array of issues regarding small and emerging companies, such as capital formation, securities trading, and research and offering communications.
The Advisory Committee meeting, announced earlier this month, will begin at 9:30 a.m. in the multi-purpose room at the SEC’s Washington, D.C., headquarters. The public is welcome to attend with seating available on a first-come, first-served basis. The event also will be webcast live on the SEC website and will be archived for later viewing.
Members of the public who wish to provide their views on the matters to be considered by the Advisory Committee may submit comments electronically or on paper. Please submit comments using one method only. Information that is submitted will become part of the public record of the meeting. (Press Rel. 2013-68)
Investors to Receive Their Entire Investments Back After Commission Halted Scheme Exploiting Immigration Program
The Commission today announced that investors in a fraudulent investment scheme that offered foreign investors a path to citizenship will get their money back promptly thanks to the SEC’s recent court action. A federal district court judge has ordered the return of all investors’ principal investment in the fraudulent securities offering.
Just two months ago, the SEC charged Anshoo R. Sethi and two companies he created in Chicago to sell more than $147 million in securities to purportedly finance the construction of a hotel and conference center near O’Hare Airport. The SEC alleged that Sethi and his companies misled Chinese investors about both the purported investment opportunity and the prospect of gaining legal U.S. residency through the EB-5 Immigrant Investor Pilot Program.
The SEC filed its complaint in federal court in Chicago and obtained an emergency court order to freeze investor assets that were at risk of being misappropriated. Sethi and his companies then terminated the offering and consented to the SEC’s motion to return all of the funds held in escrow to investors.
U.S. District Court Judge Amy St. Eve modified the asset freeze order on April 19 and directed the return of more than $147 million in escrowed funds to investors. The litigation continues as the SEC seeks further monetary relief and permanent injunctions against Sethi and his companies.
“Obtaining the speedy return of investor funds in cases like this is at the core of the SEC’s mission,” said Stephen L. Cohen, Associate Director of the SEC’s Division of Enforcement. “We will continue to work closely with U.S. Citizenship and Immigration Services when questions arise about investments involving the EB-5 Program.” (Press Rel. 2013-70)
Commission Charges Bahamian Broker-Dealer and its President for Operating Illegally in the United States And Participating in an Unregistered Offering.
On April 18, 2013, the Commission filed a complaint charging Gibraltar Global Securities, Inc. a Bahamas-based broker-dealer, with unlawfully operating as a broker-dealer in the United States, and for participating in an illegal unregistered offering and sale of over 10 million shares of a microcap issuer, Magnum d’Or. The Commission also charged Warren A. Davis, Gibraltar’s owner and president as Gibraltar’s control person with respect to Gibraltar’s unlawful activities as an unregistered broker-dealer and for his participation in the unregistered offering and sale of Magnum d’Or shares.
According to the SEC's complaint, beginning in 2008 and continuing through August 2012, Gibraltar Global Securities, Inc., through its website, solicited United States customers by advertising brokerage services, including the formation of offshore business corporations with nominee officers and directors that would enable U.S. customers to trade anonymously.
The SEC alleges that Gibraltar attracted U.S. customers looking to sell shares of low-priced thinly traded microcap issuers. According to the complaint, Gibraltar routinely accepted deposits of microcap stocks and arranged to have them re-titled into Gibraltar’s name. After the shares were re-titled, Gibraltar followed its customers’ orders and sold the shares through various securities accounts maintained in Gibraltar’s name at United States broker-dealers. The complaint alleges that from approximately March 2008 through August 2012, Gibraltar sold approximately $100 million of microcap shares on behalf of U.S. customers, charging them commissions of between 2-3%.
In addition, the SEC’s complaint also alleges that Gibraltar and Davis participated in the unregistered offering and sale of over 10 million shares of Magnum d’Or on behalf of U.S. customers for proceeds of over $11 million in violation of Sections 5(a) and (c) of the Securities Act of 1933.
The SEC's Complaint was filed in the U.S. District Court for the Southern District of New York, and seeks, among other things, a permanent injunction, disgorgement of ill-gotten gains, with interest, and civil money penalties. [SEC v. Gibraltar Global Securities Inc. and Warren A. Davis, Civil Action No. 13 Civ 2575 (S.D.N.Y.)] (LR-22683).
In the Matter of Harborlight Capital Management, LLC and Dean G. Tanella
The Commission announced the issuance of an Order Instituting Administrative and Cease-And-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order (Order) against Dean G. Tanella and HarborLight Capital Management, LLC (HCM).
The Order finds that HCM, an unregistered investment adviser, and its principal, Dean G. Tanella, breached their fiduciary duty to one of HCM’s managed hedge fund-of-funds, the HarborLight Diversified Fund (Diversified), by directing Diversified to purchase a significant interest in an affiliated hedge fund-of-funds that was in distress, for the purpose of satisfying significant pending redemption requests. The Order also finds that HCM and Tanella failed to disclose to investors the mounting redemption requests and liquidity crisis facing the affiliated fund.
Based on the above, the Order (1) requires Tanella and HCM to cease-and-desist from committing or causing any violations or future violations of Sections 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8; (2) imposes a censure against HCM; (3) requires HCM and Tanella to pay jointly and severally disgorgement of $64,072, plus pre-judgment interest of $6,543, and a civil penalty in the amount of $200,000; and (4) suspends Tanella for a period of twelve months from: (a) association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; (b) serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; and (c) participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock; or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-69425; Rel. IA-3591; Rel. IC-30475; File No. 3-15295)
Default Revocation of Registration of Securities
An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Gazoo Energy Group, Admin. Proc. 3-15239. The Default Order finds that the Respondents 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 that Respondents failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of Gazoo Energy Group, Coach Industries Group, and Pacificap Entertainment. (Rel. 34-69426; File No. 3-15239)
In the Matter of Alfred Varricchio
On April 23, 2013, the Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Alfred Varricchio, age 53 and a resident of Lynbrook, New York. The Order finds that from 1979 to 2006, Varricchio was a securities lending representative associated with A.G. Edwards & Sons Inc., a broker-dealer registered with the Commission. The Order further finds that on September 24, 2007, the Commission filed an amended complaint against Varricchio in the United States District Court for the Eastern District of New York alleging that he violated the antifraud provisions of the federal securities laws, SEC v. Joseph Simone, et al., 07-cv-3928 (JG)(RML). The Commission’s complaint alleges, among other things, that between 2003 and 2004, Varricchio knowingly engaged in a scheme to defraud A.G. Edwards in connection with the lending and borrowing of securities. The Order further finds that on May 22, 2012, the court entered a judgment which, among other things, permanently enjoined Varricchio from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
Based on the above, the Order bars Varricchio from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent and prohibits him from participating in any offering of a penny stock. (Rel. 34-69430; File No. 3-15296)
In the Matter of Charles Peterein
On April 23, 2013, the Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Charles Peterein, age 63 and a resident of Evergreen Park, Illinois. The Order finds that from at least 1996 to 2005, Peterein was employed as a stock loan trader at PAX Clearing Corporation (PAX), a registered broker-dealer, where he was responsible for negotiating, arranging and entering into stock loan transactions on behalf of the firm, and from 2005 to 2009, Peterein worked as a stock loan trader at Sallerson-Troob, LLC, also a registered broker-dealer. The Order further finds that on September 24, 2008, the Commission filed a complaint against Peterein in the United States District Court for the Southern District of New York alleging that he violated the antifraud provisions of the federal securities laws, SEC v. Melvyn Nathanson, et al., 08-cv-8205 (LBS). The Commission’s complaint alleges that from at least 2003 through 2004, during the course of Peterein’s employment with PAX, he knowingly engaged in a scheme to defraud broker-dealers in connection with the lending and borrowing of securities. The Order further finds that on March 5, 2013, the court entered a partial final judgment against Peterein which, among other things, permanently enjoined him from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
Based on the above, the Order bars Peterein from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent and prohibits him from participating in any offering of a penny stock. (Rel. 34-69431; File No. 3-15297)
In the Matter of Anthony Pianelli
On April 23, 2013, the Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Anthony Pianelli, age 58 and a resident of Middletown, New Jersey. The Order finds that from 1983 through 2004, Pianelli was a securities lending representative associated with Weiss, Peck & Greer, LLC (Weiss Peck), a broker-dealer registered with the Commission. The Order further finds that on September 24, 2007, the Commission filed an amended complaint against Pianelli in the United States District Court for the Eastern District of New York alleging that he violated the antifraud provisions of the federal securities laws, SEC v. Joseph Simone, et al., 07-cv-3928 (JG)(RML). The Commission’s complaint alleges, among other things, that between 2000 and 2004, Pianelli knowingly engaged in a scheme to defraud Weiss Peck in connection with the lending and borrowing of securities. The Order further finds that on January 5, 2012, the court entered a judgment which, among other things, permanently enjoined Pianelli from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
Based on the above, the Order bars Pianelli from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent and prohibits him from participating in any offering of a penny stock. (Rel. 34-69432; File No. 3-15298)
Notice of Proposed Plan of Distribution and Opportunity for Comment
Notice is hereby given, pursuant to Rule 1103 of the Securities and Exchange Commission’s (“Commission”) Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103, that the Division of Enforcement has submitted to the Commission a proposed plan for the distribution of monies placed into a Fair Fund in the Matter of Waddell & Reed, Inc., Waddell & Reed Investment Management Company, and Waddell & Reed Services Company and requested comment from all interested persons. (Rel. 34-69437; File. No. 3-12372)
Commission Announces Settlements with Cache Decker and David Decker in SEC v. Zufelt
The Commission today announced that on March 6, 2013, Judge Dee Benson entered final judgments against Cache D. Decker and David M. Decker, Jr in Securities and Exchange Commission v. Zufelt, et al., Case No. 2:10-cv-00574 (DB) (D. Utah, December 29, 2011). The Commission’s complaint alleges that Cache and David Decker participated in and aided and abetted Ponzi schemes operated by Anthony C. Zufelt (“Zufelt”).
Without admitting or denying the allegations of the complaint, the Deckers each consented to the entry of a final judgment permanently enjoining them from directly or indirectly violating Sections 5, 17(a)(2), and 17(a)(3) of the Securities Act of 1933 and Section 15(a) of the Securities Exchange Act of 1934. The final judgment against David Decker orders him to pay disgorgement of $141,000 and prejudgment interest of $39,582. The final judgment also orders David Decker to pay a civil penalty of $25,000. The final judgment against Cache Decker orders him to pay disgorgement of $43,000 and prejudgment interest of $9,395 over three years. The Court did not order Cache Decker to pay a civil penalty based on his sworn statement of financial condition.
The Commission filed a complaint on June 23, 2010, alleging that from approximately June 2005 through June 2006, Zufelt operated a Ponzi scheme through his company Zufelt, Inc. (ZI), and that between July 2006 and December 2006 he ran a second fraudulent scheme through Silver Leaf Investments, Inc. (“SLI”). The Complaint alleges that, in connection with these schemes, the Deckers each made materially false and misleading statements to investors about, among other things, the profitability of ZI and SLI, the ability of ZI and SLI to repay investors, the use of investor funds, and the security of the investments. The Order finds that the Deckers acted as unregistered broker-dealers and sold unregistered ZI and SLI securities. The Commission’s action against Zufelt and others is still pending. [SEC v. Zufelt, et al., Case No. 2:10-cv-00574 (DB) (D. Utah, December 29, 2011)] (LR-22684)
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 Bergio International, Inc., 12 DANIEL ROAD, EAST FAIRFIELD, NJ, 07004, (973) 227-3230 - 35,000,000 ($63,000.00) Equity, (File 333-188049 - Apr. 22) (BR. 02B) S-4 ERA GROUP INC., 600 AIRPORT SERVICE ROAD, LAKE CHARLES, LA, 70605, 337-478-6131 - 0 ($200,000,000.00) Debt, (File 333-188050 - Apr. 22) (BR. 05C) F-3ASR Teekay Offshore Partners L.P., 4TH FLOOR, BELVEDERE BUILDING, 69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 - 0 ($140,000,000.00) Other, (File 333-188051 - Apr. 22) (BR. 05C) S-4 BioTelemetry, Inc., 227 WASHINGTON STREET #210, CONSHOHOCKEN, PA, 19428, 610-729-7000 - 0 ($60,786,671.12) Equity, (File 333-188058 - Apr. 22) (BR. ) S-3ASR HOST HOTELS & RESORTS, INC., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, MD, 20817, 240-744-1000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-188059 - Apr. 22) (BR. 08B) S-1 FIRST XERIS CORP., 7329 FEATHERSTONE BLVD., SARASOTA, FL, 34238, 941-650-5761 - 3,000,000 ($39,000.00) Equity, (File 333-188061 - Apr. 22) (BR. ) S-4 AMSURG CORP, 20 BURTON HILLS BLVD., SUITE 500, NASHVILLE, TN, 37215, 615-665-1283 - 0 ($250,000,000.00) Debt, (File 333-188062 - Apr. 22) (BR. 01A) S-3 Clovis Oncology, Inc., 2525 28TH STREET, SUITE 100, BOULDER, CO, 80301, (303) 625-5000 - 0 ($200,000,000.00) Equity, (File 333-188063 - Apr. 22) (BR. 01B) S-8 INTERCEPT PHARMACEUTICALS INC, 18 Desbrosses Street, NEW YORK, NY, 10013, 646-747-1000 - 661,075 ($20,539,600.25) Equity, (File 333-188064 - Apr. 22) (BR. 01A) S-3 BIOTIME INC, 1301 HARBOR BAY PARKWAY, ALAMEDA, CA, 94502, 5105213390 - 0 ($13,193,787.00) Equity, (File 333-188066 - Apr. 22) (BR. 01A) S-1 Cyalume Technologies Holdings, Inc., 96 WINDSOR STREET,, WEST SPRINGFIELD, MA, 01089, (413) 858-2500 - 3,685,651 ($10,043,399.00) Equity, (File 333-188067 - Apr. 22) (BR. 11C) S-3ASR CF Industries Holdings, Inc., 4 PARKWAY NORTH, SUITE 400, DEERFIELD, IL, 60015, (847) 405-2400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-188068 - Apr. 22) (BR. 05A)
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 ----------------------------------------------------------------------------------------- 1st United Bancorp, Inc. FL 7.01,9.01 04/22/13 ACE Ltd V8 2.02,9.01 04/22/13 ACNB CORP PA 5.02,9.01 04/16/13 AEROSONIC CORP /DE/ DE 1.01,5.02,7.01,9.01 04/18/13 AFC ENTERPRISES INC MN 5.02,9.01 04/16/13 ALTERRA CAPITAL HOLDINGS Ltd 1.01,9.01 04/22/13 American Realty Capital Daily Net Ass MD 1.01 04/04/13 American Realty Capital Properties, I MD 1.01 04/04/13 American Realty Capital Trust IV, Inc MD 1.01 04/04/13 American Realty Capital Trust V, Inc. MD 1.01 04/04/13 AMERICAN SIERRA GOLD CORP. NV 5.02 04/19/13 American Standard Energy Corp. DE 5.02,9.01 04/16/13 AMERIPRISE FINANCIAL INC DE 2.02,9.01 04/22/13 ANADIGICS INC DE 8.01 04/19/13 ANSYS INC DE 8.01,9.01 04/22/13 ARCA biopharma, Inc. DE 1.01,9.01 04/18/13 ARKANSAS BEST CORP /DE/ DE 7.01,9.01 04/19/13 ARKANSAS BEST CORP /DE/ DE 7.01,9.01 04/22/13 Armada Oil, Inc. NV 7.01,9.01 04/22/13 ASAP Expo, Inc. NV 4.01,9.01 04/02/13 AMEND Augme Technologies, Inc. DE 1.01,9.01 04/22/13 AVID TECHNOLOGY, INC. DE 5.02,7.01,9.01 04/19/13 AVIV REIT, INC. MD 1.01,2.03,9.01 04/16/13 BANK OF HAWAII CORP DE 2.02,9.01 04/22/13 Bank of Marin Bancorp CA 2.02,8.01,9.01 04/18/13 BARNES GROUP INC DE 2.01,2.02,7.01,9.01 04/22/13 BBCN BANCORP INC DE 1.01,9.01 04/15/13 BE AEROSPACE INC DE 2.02,9.01 04/22/13 BioScrip, Inc. DE 1.01,8.01,9.01 04/19/13 Blueknight Energy Partners, L.P. DE 7.01,9.01 04/22/13 BOISE CASCADE Co DE 2.02,9.01 04/22/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 5.03,5.07,9.01 04/17/13 BROADWIND ENERGY, INC. DE 8.01,9.01 04/19/13 Brookdale Senior Living Inc. DE 5.02 04/18/13 CALPINE CORP DE 7.01,9.01 04/22/13 Cape Bancorp, Inc. MD 2.02,9.01 04/19/13 CAPITAL CITY BANK GROUP INC FL 2.02,9.01 04/22/13 CARDINAL FINANCIAL CORP VA 2.02,5.07,8.01,9.01 04/18/13 CardioNet, Inc. CA 7.01,9.01 04/22/13 CardioNet, Inc. CA 5.08 04/16/13 CardioNet, Inc. CA 2.02,9.01 04/22/13 CAROLINA BANK HOLDINGS INC NC 8.01,9.01 04/19/13 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 04/22/13 CATERPILLAR INC DE 2.02,9.01 04/22/13 CBRE GROUP, INC. DE 7.01,9.01 04/22/13 CECO ENVIRONMENTAL CORP DE 1.01,7.01,9.01 04/21/13 CenterState Banks, Inc. FL 2.02,9.01 04/22/13 CENVEO, INC CO 1.01,9.01 04/16/13 CENVEO, INC CO 8.01 04/22/13 CF Industries Holdings, Inc. DE 1.01,2.03,8.01,9.01 04/22/13 CHAMPIONS ONCOLOGY, INC. DE 5.02,9.01 04/22/13 CHARLES & COLVARD LTD NC 1.02,5.02,9.01 04/16/13 CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,3.01,7.01,9.01 04/17/13 Chino Commercial Bancorp CA 2.02,9.01 04/22/13 Citadel EFT, Inc. NV 5.03,9.01 04/22/13 CITIZENS FIRST CORP KY 2.02,7.01,9.01 04/22/13 CITY NATIONAL CORP DE 5.02,5.07,9.01 04/17/13 CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,8.01,9.01 04/19/13 Commercial Vehicle Group, Inc. DE 5.02,8.01,9.01 04/17/13 COMMUNITY BANK SHARES OF INDIANA INC IN 8.01,9.01 04/19/13 Community Partners Bancorp NJ 2.02,9.01 04/22/13 COMPUTER TASK GROUP INC NY 2.02,9.01 04/22/13 Copano Energy, L.L.C. 8.01 04/22/13 CorMedix Inc. DE 3.01,9.01 04/18/13 Corporate Resource Services, Inc. DE 8.01,9.01 04/22/13 CORRECTIONS CORP OF AMERICA MD 8.01,9.01 04/22/13 CreXus Investment Corp. MD 5.01 04/16/13 CROSSTEX ENERGY INC DE 7.01,9.01 04/22/13 CROSSTEX ENERGY LP DE 7.01,9.01 04/22/13 CSB BANCORP INC /OH OH 2.02,9.01 04/22/13 CTPARTNERS EXECUTIVE SEARCH INC. DE 5.02,9.01 04/17/13 CyrusOne Inc. MD 5.02,9.01 04/17/13 CYTEC INDUSTRIES INC/DE/ DE 5.02,9.01 04/18/13 DELTIC TIMBER CORP DE 2.02,9.01 04/22/13 Digital Development Group Corp NV 1.01,9.01 04/16/13 DONEGAL GROUP INC DE 1.01,5.03, 04/18/13 5.07,8.01,9.01 DRIVETIME AUTOMOTIVE GROUP INC DE 2.02,7.01 04/22/13 Duff & Phelps Corp DE 5.07 04/22/13 DYNAMIC APPLICATIONS CORP DE 1.01,9.01 04/19/13 EAGLE BANCORP INC MD 2.02,9.01 04/22/13 ELECTRONICS FOR IMAGING INC DE 1.01 04/19/13 ELITE PHARMACEUTICALS INC /NV/ NV 1.01,3.02,5.03,9.01 04/18/13 ENSIGN GROUP, INC 1.01,2.03,9.01 04/17/13 ENZO BIOCHEM INC NY 4.01,9.01 04/19/13 EP Energy LLC DE 7.01,9.01 04/22/13 EPLUS INC DE 5.02 04/18/13 ESB FINANCIAL CORP PA 8.01,9.01 04/22/13 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 04/22/13 First Advantage Bancorp 3.01,9.01 04/22/13 First Advantage Bancorp 2.02,9.01 04/22/13 FOREST CITY ENTERPRISES INC OH 7.01,9.01 04/22/13 GARDNER DENVER INC DE 8.01,9.01 04/22/13 GENUINE PARTS CO GA 5.07,8.01,9.01 04/22/13 Geo Point Resources, Inc. NV 8.01 04/22/13 GEO POINT TECHNOLOGIES INC UT 7.01,9.01 04/22/13 Georgetown Bancorp, Inc. MD 5.02,9.01 04/16/13 Global Geophysical Services Inc DE 8.01,9.01 04/19/13 GLOBAL GOLD CORP DE 8.01,9.01 04/17/13 GLU MOBILE INC DE 1.01,2.03,9.01 04/16/13 GOLDRICH MINING CO AK 5.02,9.01 04/16/13 GOLDRICH MINING CO AK 3.02,7.01,9.01 04/03/13 AMEND GOLDRICH MINING CO AK 2.03,3.02,7.01,9.01 04/03/13 AMEND Greektown Superholdings, Inc. DE 7.01,8.01,9.01 04/22/13 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 04/19/13 HALLIBURTON CO DE 2.02 04/22/13 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV 1.01,8.01,9.01 04/16/13 HARMONIC INC DE 5.02,8.01,9.01 04/17/13 HASBRO INC RI 2.02,9.01 04/22/13 HEALTHSTREAM INC TN 2.02,7.01,9.01 04/22/13 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 04/22/13 HEMISPHERE MEDIA GROUP, INC. DE 3.01,9.01 04/22/13 HEXCEL CORP /DE/ DE 2.02,7.01,8.01,9.01 04/22/13 High Plains Gas, Inc. NV 1.01,3.02,5.01,5.02 04/22/13 HK International Group, Inc. NY 8.01 04/16/13 HOMELAND ENERGY SOLUTIONS LLC 5.02 04/17/13 HONEYWELL INTERNATIONAL INC DE 5.07 04/22/13 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 04/22/13 Howard Bancorp Inc MD 2.02,9.01 04/18/13 HUDSON VALLEY HOLDING CORP NY 5.02 04/22/13 iBio, Inc. DE 3.01,8.01,9.01 04/18/13 ICU MEDICAL INC/DE DE 2.02,9.01 04/22/13 ILLUMINA INC DE 2.02,9.01 04/22/13 INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 04/22/13 INFRAX SYSTEMS, INC. FL 8.01 04/22/13 Inrad Optics, Inc. NJ 5.02 04/21/13 INTER PARFUMS INC DE 2.02 04/22/13 INTRICON CORP PA 2.02,7.01,9.01 04/22/13 IRELAND INC. NV 5.02,9.01 04/16/13 iTalk Inc. NV 8.01,9.01 04/19/13 JBI, INC. NV 5.02,7.01,9.01 04/19/13 Jones Lang LaSalle Income Property Tr MD 8.01,9.01 04/22/13 K12 INC DE 5.02 04/22/13 KCAP Financial, Inc. DE 5.02,9.01 04/22/13 LENNOX INTERNATIONAL INC DE 2.02,9.01 04/22/13 Lithium Corp 1.01,7.01,9.01 04/15/13 LYRIS, INC. 5.02 04/22/13 M&T BANK CORP NY 3.03,5.03,9.01 04/22/13 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 04/22/13 MAGNUM HUNTER RESOURCES CORP DE 4.01,7.01,9.01 04/10/13 AMEND MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 04/22/13 MARKEL CORP VA 1.01,9.01 04/22/13 MEDIVATION, INC. DE 8.01 04/15/13 MENDOCINO BREWING CO INC CA 1.01,2.03,8.01 04/18/13 MERGE HEALTHCARE INC DE 1.01,9.01 04/16/13 MET PRO CORP PA 1.01,3.03, 04/21/13 5.02,7.01,9.01 MET PRO CORP PA 7.01,8.01,9.01 04/22/13 METLIFE INC DE 5.02 04/19/13 METRO BANCORP, INC. 2.02,9.01 04/22/13 MGT CAPITAL INVESTMENTS INC DE 4.01,9.01 04/18/13 MICRON TECHNOLOGY INC DE 8.01 04/18/13 MIMEDX GROUP, INC. FL 8.01,9.01 04/22/13 MISCOR GROUP, LTD. IN 8.01,9.01 04/22/13 MONSANTO CO /NEW/ DE 5.03 04/16/13 MOODYS CORP /DE/ DE 5.02,5.03,5.07,9.01 04/16/13 National CineMedia, Inc. DE 2.02,9.01 04/22/13 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 04/22/13 NATUS MEDICAL INC DE 5.02,9.01 04/19/13 NAVISTAR INTERNATIONAL CORP DE 5.02,5.03,9.01 04/16/13 NAVISTAR INTERNATIONAL CORP DE 5.02,9.01 04/22/13 AMEND NETFLIX INC DE 2.02,9.01 04/22/13 NETSUITE INC DE 5.02,9.01 01/31/13 AMEND Neuralstem, Inc. DE 8.01,9.01 04/17/13 NEW YORK TUTOR Co NV 1.01,2.01,5.06,9.01 04/04/13 NEW YORK TUTOR Co NV 5.01,5.02 03/22/13 AMEND NEWBRIDGE BANCORP NC 2.02,9.01 04/22/13 NOBLE ENERGY INC DE 8.01,9.01 04/22/13 Northwest Bancshares, Inc. MD 2.02,8.01,9.01 04/22/13 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,9.01 04/17/13 Novation Holdings Inc FL 4.01 04/22/13 NVR INC VA 2.02,9.01 04/22/13 OCTAGON 88 RESOURCES, INC. NV 8.01,9.01 04/22/13 Ohr Pharmaceutical Inc 3.02,3.03 04/18/13 OVERSTOCK.COM, INC DE 2.02,9.01 04/18/13 P2 Solar, Inc. DE 8.01 03/05/13 Pacific Coast Oil Trust DE 2.02,9.01 04/22/13 PAR PETROLEUM CORP/CO DE 1.01,2.03,8.01,9.01 04/19/13 PARK NATIONAL CORP /OH/ OH 7.01,9.01 04/22/13 PARKE BANCORP, INC. NJ 2.02,9.01 04/22/13 PDL BIOPHARMA, INC. DE 1.01,2.03,8.01,9.01 04/18/13 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 04/22/13 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 04/18/13 PHAZAR CORP DE 2.02,9.01 04/22/13 PLX TECHNOLOGY INC DE 2.02,9.01 04/22/13 Point.360 CA 5.02 04/21/13 POSITIVEID Corp DE 5.03,5.07,8.01,9.01 04/18/13 POTASH AMERICA, INC. NV 5.02 04/22/13 POWER ONE INC DE 1.01,7.01,9.01 04/21/13 PPG INDUSTRIES INC PA 5.07 04/18/13 PREMIERE GLOBAL SERVICES, INC. GA 4.01,9.01 04/17/13 Press Ventures, Inc. 5.02 04/17/13 Prologis, Inc. MD 8.01,9.01 04/19/13 PUB CRAWL HOLDINGS, INC. NV 1.01,1.02,2.01,5.06 04/22/13 AMEND QCR HOLDINGS INC DE 2.02,9.01 04/22/13 RALPH LAUREN CORP DE 8.01,9.01 04/22/13 REALNETWORKS INC WA 8.01,9.01 04/22/13 Redwood Mortgage Investors IX DE 2.02 12/31/12 RENT A CENTER INC DE 2.02,9.01 04/22/13 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 04/22/13 Rhino Resource Partners LP DE 7.01,9.01 04/22/13 ROGERS INTERNATIONAL RAW MATERIALS FU 4.01,9.01 04/10/13 SALON MEDIA GROUP INC DE 5.03,5.07,8.01 03/01/13 AMEND Samson Oil & Gas LTD C3 8.01,9.01 04/22/13 SANMINA CORP DE 2.02,9.01 04/22/13 Santa Fe Petroleum, Inc. DE 1.01,4.01 04/22/13 SCHULMAN A INC DE 7.01,9.01 04/22/13 SCIVANTA MEDICAL CORP DE 3.02,5.03,9.01 04/16/13 SENESCO TECHNOLOGIES INC DE 8.01,9.01 04/22/13 SHERWIN WILLIAMS CO OH 5.07,9.01 04/17/13 SIERRA BANCORP CA 2.02,9.01 04/22/13 Silver Bay Realty Trust Corp. MD 5.02 04/16/13 SILVER SPRING NETWORKS INC DE 2.02 04/22/13 Six Flags Entertainment Corp 2.02,9.01 04/22/13 SLM Student Loan Trust 2005-5 8.01 04/22/13 SLM Student Loan Trust 2005-8 8.01 04/22/13 SMART ONLINE INC DE 2.03,3.02,5.02 02/17/13 SOLLENSYS CORP. NV 9.01 02/20/13 AMEND Soul & Vibe Interactive Inc. NV 1.01,2.01,3.02, 04/22/13 AMEND 5.02,5.03,9.01 Soul & Vibe Interactive Inc. NV 4.01,9.01 04/22/13 AMEND SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 04/22/13 SOUTHSIDE BANCSHARES INC TX 5.07 04/22/13 SPINDLE, INC. NV 5.02 04/17/13 SPLUNK INC 5.02,9.01 04/19/13 Standard Gold Holdings, Inc. CO 4.01,9.01 04/16/13 STEWART ENTERPRISES INC LA 5.07 04/18/13 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 04/15/13 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 04/15/13 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 04/15/13 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 04/15/13 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 04/15/13 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 04/15/13 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 04/15/13 Stream Global Services, Inc. DE 5.02,9.01 04/16/13 STRUCTURED PROD CORTS TR II FOR PROVI DE 8.01 04/18/13 SUPERMEDIA INC. DE 7.01,9.01 04/22/13 Sustainable Environmental Technologie CA 1.02,3.02,5.02,9.01 03/29/13 Sustainable Environmental Technologie CA 1.01,3.02,5.02,9.01 03/29/13 AMEND SWIFT TRANSPORTATION Co 2.02,9.01 04/22/13 SYNALLOY CORP DE 2.02,9.01 04/19/13 TENNANT CO MN 2.02,9.01 04/22/13 TEXAS INSTRUMENTS INC DE 5.07 04/18/13 TEXAS INSTRUMENTS INC DE 2.02,9.01 04/22/13 THESTREET, INC. DE 7.01,9.01 04/22/13 Titanium Asset Management Corp DE 7.01,9.01 04/22/13 TRANS1 INC 1.01 04/16/13 TransDigm Group INC DE 8.01,9.01 04/22/13 TRC COMPANIES INC /DE/ DE 1.01,1.02,2.03 04/16/13 Trovagene, Inc. DE 7.01,9.01 04/22/13 Truli Media Group, Inc. 5.02 04/22/13 TRUSTCO BANK CORP N Y NY 2.02,9.01 04/22/13 Twin Cities Power Holdings, LLC MN 1.01 04/16/13 Two Harbors Investment Corp. 5.02 04/16/13 ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 04/22/13 ULTRALIFE CORP DE 4.01,9.01 04/16/13 UMPQUA HOLDINGS CORP OR 5.07 04/19/13 UMPQUA HOLDINGS CORP OR 8.01 04/22/13 Uni-Pixel DE 8.01,9.01 04/22/13 UNITED STATIONERS INC DE 2.02,9.01 04/22/13 UPSTREAM BIOSCIENCES INC. NV 1.01,3.02,9.01 03/28/13 AMEND UTi WORLDWIDE INC D8 1.01,5.02,7.01,9.01 04/22/13 VEECO INSTRUMENTS INC DE 2.02,8.01,9.01 04/22/13 VERINT SYSTEMS INC DE 1.01,5.02,9.01 04/19/13 VIKING INVESTMENTS GROUP, INC. NV 1.01,8.01,9.01 04/15/13 VIROPHARMA INC DE 8.01,9.01 04/22/13 VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 04/22/13 WASHINGTON TRUST BANCORP INC RI 2.02,9.01 04/22/13 WASTE MANAGEMENT INC DE 5.02 04/16/13 WELLS FARGO & COMPANY/MN DE 9.01 04/22/13 Wheeler Real Estate Investment Trust, MD 9.01 02/05/13 AMEND WHITE MOUNTAIN TITANIUM CORP NV 5.02 04/19/13 Woodward, Inc. DE 2.02,9.01 04/22/13 XFormity Technologies, Inc. TX 5.02 04/19/13 XFormity Technologies, Inc. TX 5.02 04/17/13 XOOM Corp DE 2.02,9.01 04/22/13 Yinfu Gold Corp. WY 5.02,9.01 04/17/13 ZILLOW INC WA 1.01,9.01 04/16/13 ZIONS BANCORPORATION /UT/ UT 2.02,8.01,9.01 04/22/13