Closed Meeting on Thursday, June 27, 2013 at 2:00 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of adjudicatory matters; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
Commission Charges China-Based Company and CEO in Latest Cross-Border Working Group Case
The Securities and Exchange Commission (Commission) today charged a China-based company and the CEO with fraudulently misleading investors about its financial condition by touting cash balances that were millions of dollars higher than actual amounts.
The case is the latest from the SEC’s Cross-Border Working Group that focuses on companies with substantial foreign operations that are publicly traded in the U.S. The Working Group has enabled the SEC to file fraud cases against more than 65 foreign issuers or executives and deregister the securities of more than 50 companies.
The SEC alleges that China MediaExpress, which purports to operate a television advertising network on inter-city and airport express buses in the People’s Republic of China, began falsely reporting significant increases in its business operations, financial condition, and profits almost immediately upon becoming a publicly-traded company through a reverse merger. In addition to grossly overstating its cash balances, China MediaExpress also falsely stated in public filings and press releases that two multi-national corporations were its advertising clients when, in fact, they were not. The company’s chairman and CEO Zheng Cheng signed the public filings and attested to their accuracy. After suspicions of fraud were raised by the company’s external auditor and an internal investigation ensued, Zheng attempted to pay off a senior accountant assigned to the case.
“Investor confidence in the representations made by publicly-traded companies is critically important to the proper functioning of our financial markets,” said Antonia Chion, Associate Director in the SEC’s Division of Enforcement. “China MediaExpress and Zheng falsely reported whopping increases in its cash balances and deceptively raised money from stock sales. Today’s action demonstrates the Commission’s commitment to policing financial fraud in the U.S. markets, regardless of whether it is perpetrated by persons who live here or abroad.”
According to the SEC’s complaint filed in Washington D.C., China MediaExpress became a publicly-traded company in October 2009 and began materially overstating its cash balances in press releases and SEC filings. For example, its 2009 annual report filed on March 31, 2010, reported $57 million in cash on hand when it actually had a cash balance of merely $141,000. Later that year on November 9, 2010, China MediaExpress issued a press release boasting a cash balance of $170 million at the end of the third quarter of its fiscal year. The actual cash balance was just $10 million.
According to the SEC’s complaint, after China Media materially misrepresented its financial condition, its stock price tripled to more than $20 per share. At the same time, China Media received $53 million from a hedge fund pursuant to a sale of the company’s preferred and common stock to that fund. Zheng was financially incentivized to misrepresent China MediaExpress’ financial condition, as he had agreements to receive stock if the company met certain net income targets. For instance, when China Media met net income targets for fiscal year 2009, Zheng personally received 600,000 shares of China MediaExpress stock that were worth approximately $6 million at the time.
According to the SEC’s complaint, China MediaExpress’ external auditor resigned in March 2011 due to suspicions about fraudulent bank confirmations and statements. The company’s audit committee then retained a law firm to conduct an internal investigation. The law firm hired a Hong Kong forensic accounting firm to assist in obtaining bank statements from China MediaExpress’ banks to verify the publicly reported cash balances. The evening before a planned visit to the banks by the accounting firm’s team, Zheng called a senior accountant assigned to the team and told him that he had the authorization letters necessary to obtain China MediaExpress’ bank statements. He asked the accountant to meet him alone to obtain the authorization letters. During the meeting, Zheng admitted that there would be discrepancies dating back one to two years between China MediaExpress’ reported and actual cash balances. Zheng offered the accountant approximately $1.5 million to “assist with the investigation.” The accountant refused the offer. Approximately one month later, the bank statements were obtained, and they showed substantial discrepancies between publicly reported and actual cash balances.
The SEC’s complaint charges Zheng and China MediaExpress with violations of the antifraud provisions of the federal securities laws. The complaint charges China MediaExpress with violations of the reporting, books and records, and internal control provisions, and charges Zheng with violating the SEC’s rules prohibiting lying to auditors and making false certifications required under the Sarbanes-Oxley Act. The complaint seeks financial penalties, permanent injunctions, disgorgement, and an officer and director bar against Zheng. (Press Rel. 2013-115)
Delinquent Filer's Stock Registration Revoked: Hellenic Solutions Corp.
An Administrative Law Judge issued an Order Making Findings and Revoking Registration of Hellenic Solutions Corp. by Default (Default Order) in The Hartcourt Companies, Inc., Admin. Proc. File No. 3-15128. The Default Order found that: (1) the Division of Enforcement achieved service on Hellenic Solutions Corp. (Hellenic Solutions) in Greece; (2) Hellenic Solutions had securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act); and (3) it had violated 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 Securities and Exchange Commission. Based on these factual findings, the Default Order found that revocation of the registration of each class of each of Hellenic Solutions' registered securities was both necessary and appropriate for the protection of investors. (34-69815; File No. 3-15128)
Commission Declares Decision as to David E. Ruskjer Final
The Commission has declared final the decision of an administrative law judge permanently barring David E. Ruskjer from associating with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization. The initial decision found that on September 26, 2011, Ruskjer was found guilty in a jury trial of sixteen counts of mail and wire fraud in violation of 18 U.S.C. '' 1341 and 1343, two counts of structuring financial transactions in violation of 31 U.S.C. ' 5324(a)(3) and (d)(2), and twenty-two counts of money laundering in violation of 18 U.S.C. ' 1957. United States v. Ruskjer, No. 1:09-CR-249-HG (D. Haw). He received a 120 month prison sentence and was ordered to pay $11,586,334.85 in restitution. The initial decision also found that on September 28, 2012, Ruskjer was permanently enjoined by a federal district court from future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. SEC v. Ruskjer, No. 1:09-CV-00237-HG (D. Haw.).
Ruskjer, while doing business as Ruskjer & Associates, operated a Ponzi scheme between September 2004 and December 2008. He sold and offered to sell promissory notes that would purportedly pay fixed monthly interest rates ranging from 3% to 5%. During the course of the four year period, he misappropriated nearly $5.5 million from investors and raised approximately $16 million through fraudulent means. Neither Ruskjer nor Ruskjer & Associates were registered brokers.
The law judge held that Ruskjer's misconduct was egregious and recurrent and he has offered no assurances against future violations nor has he recognized the wrongful nature of his conduct.
An Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default (Default Order) in Sunrise Solar Corporation, Admin. Proc. File No. 3-15281. The Default Order finds that Sunrise Solar Corporation has securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 and it was necessary and appropriate for the protection of investors to revoke the registration of each class of its registered securities because it failed to file required periodic reports with the Commission. (Rel. 34-69803; File No. 3-15147)
Immediate Effectiveness of Proposed Rule Change
A proposed rule changed filed by BOX Options Exchange LLC to amend BOX Rule 3150 (Reports Related to Position Limits) (SR-BOX-2013-30) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69802)
A proposed rule changed filed by The NASDAQ Stock Market LLC to amend Rule 4120 to adopt a modification in the process for initiating trading of a security that is the subject of an initial public offering on NASDAQ (SR-NASDAQ-2013-086) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of (Rel. 34-69801)
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-4 HALL TEES, INC., 7405 ARMSTRONG, ROCKWALL, TX, 75088, 214-883-0140 - 7,760,400 ($7,760,000.00) Other, (File 333-189431 - Jun. 19) (BR. 09) S-1 Quinpario Acquisition Corp., 12935 N. FORTY DRIVE, SUITE 201, ST. LOUIS, MO, 63141, 341-548-6200 - 17,250,000 ($172,500,000.00) Equity, (File 333-189432 - Jun. 19) (BR. 09) S-3ASR TRAVELERS COMPANIES, INC., 385 WASHINGTON ST, SAINT PAUL, MN, 55102, 6513107911 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-189434 - Jun. 19) (BR. 01A) S-8 INDEPENDENT BANK CORP /MI/, 230 W MAIN ST, PO BOX 491, IONIA, MI, 48846, 6165279450 - 1,250,000 ($7,587,500.00) Equity, (File 333-189437 - Jun. 19) (BR. 07B) S-8 DENBURY RESOURCES INC, 5320 LEGACY DRIVE, PLANO, TX, 75024, 9726732000 - 7,000,000 ($127,400,000.00) Equity, (File 333-189438 - Jun. 19) (BR. 04A) S-8 OptimizeRx Corp, 400 WATER ST., STE. 200, ROCHESTER, MI, 48307, 248-651-6558 - 1,500,000 ($2,490,000.00) Equity, (File 333-189439 - Jun. 19) (BR. 03B) S-1 Cytosorbents Corp, 7 DEER PARK DRIVE, SUITE K, MONMOUTH JUNCTION, NJ, 08852, 973-329-8885 - 45,000,000 ($4,500,000.00) Equity, (File 333-189441 - Jun. 19) (BR. 10A) S-8 GENTHERM Inc, 21680 HAGGERTY ROAD, NORTHVILLE, MI, 48167-8994, 248-504-0500 - 0 ($21,888,118.00) Equity, (File 333-189442 - Jun. 19) (BR. 05A) S-8 Ingersoll-Rand plc, 170/175 LAKEVIEW DRIVE, AIRSIDE BUSINESS PARK, SWORDS,, CO. DUBLIN, L2, 00000, 732-652-7000 - 0 ($1,120,600,000.00) Equity, (File 333-189446 - Jun. 19) (BR. 10A) S-4 SEITEL INC, 10811 S. WESTVIEW CIRCLE, BUILDING C, SUITE 100, HOUSTON, TX, 77043, 7138818900 - 0 ($250,000,000.00) Debt, (File 333-189447 - Jun. 19) (BR. 04B) S-4 Memorial Production Partners LP, 1301 MCKINNEY, SUITE 2100, HOUSTON, TX, 77010, 713-588-8300 - 0 ($400,000,000.00) Debt, (File 333-189448 - Jun. 19) (BR. 04A) S-3 Memorial Production Partners LP, 1301 MCKINNEY, SUITE 2100, HOUSTON, TX, 77010, 713-588-8300 - 12,422,206 ($242,233,017.00) Equity, (File 333-189449 - Jun. 19) (BR. 04A) S-8 MERU NETWORKS INC, 894 ROSS DRIVE, SUNNYVALE, CA, 94089, 4083162379 - 0 ($2,135,000.00) Equity, (File 333-189450 - Jun. 19) (BR. 03B) S-8 EMCORE CORP, 10420 RESEARCH ROAD, SE, ALBUQUERQUE, NM, 87123, 505-332-5000 - 250,000 ($907,500.00) Equity, (File 333-189451 - Jun. 19) (BR. 10A) S-8 8X8 INC /DE/, 2125 O'NEL DRIVE, SAN JOSE, CA, 95131, 4087271885 - 707,387 ($5,524,692.47) Equity, (File 333-189452 - Jun. 19) (BR. 11A) S-1 GLOBAL GREEN INC., 2820 REMINGTON GREEN CIRCLE, TALLAHASSEE, FL, 32308, 850-597-7906 - 100,000,000 ($2,950,000.00) Equity, (File 333-189454 - Jun. 19) (BR. 01B) S-4 Nielsen CO B.V., 770 BROADWAY, NEW YORK, NY, 10003, 646-654-5000 - 0 ($1.00) Non-Convertible Debt, (File 333-189456 - Jun. 19) (BR. 03A) S-8 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 1,500,000 ($16,785,000.00) Equity, (File 333-189457 - Jun. 19) (BR. 07B) S-3D Sentio Healthcare Properties Inc, 2030 MAIN STREET, SUITE 1300, IRVINE, CA, 92614, 949-852-1007 - 0 ($99,000,000.00) Equity, (File 333-189458 - Jun. 19) (BR. 08B) S-3 FULTON FINANCIAL CORP, ONE PENN SQ, PO BOX 4887, LANCASTER, PA, 17604, 7172912411 - 0 ($2.00) Debt, 0 ($2.00) Equity, (File 333-189459 - Jun. 19) (BR. 07B) S-3 BA Credit Card Funding, LLC, 214 NORTH TRYON STREET, CHARLOTTE, NC, 28255, 704-683-4915 - 1 ($1.00) Other, (File 333-189460 - Jun. 19) (BR. OSF) S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 128,938,769 ($3,168,025,554.33) Equity, (File 333-189461 - Jun. 19) (BR. 03C)
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 A. H. Belo Corp DE 5.02,5.03,9.01 06/19/13 ACE Ltd V8 5.02,7.01,9.01 06/19/13 ACTUANT CORP WI 2.02,9.01 06/19/13 AK STEEL HOLDING CORP DE 8.01,9.01 06/19/13 AK STEEL HOLDING CORP DE 7.01,9.01 06/19/13 AMARIN CORP PLC\UK X0 8.01,9.01 06/19/13 AMBIENT CORP /NY DE 5.02,9.01 06/13/13 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 1.01,3.02,9.01 05/20/13 American Realty Capital Trust IV, Inc MD 1.01,2.03,9.01 06/18/13 AMERICAN STATES WATER CO CA 5.03,9.01 06/13/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/17/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,8.01,9.01 06/19/13 ASSOCIATED ESTATES REALTY CORP OH 1.01,2.03,9.01 06/19/13 ATLANTIC TELE NETWORK INC /DE DE 5.07 06/18/13 AV Homes, Inc. DE 7.01,8.01,9.01 06/19/13 Bank of Commerce Holdings CA 7.01 06/19/13 Bassline Productions, Inc NV 1.01,9.01 03/07/13 BB&T CORP NC 8.01,9.01 06/19/13 BCSB Bancorp Inc. 1.01,9.01 06/13/13 BLACKBAUD INC 5.07 06/19/13 BLUE WATER VENTURES INTERNATIONAL INC NV 7.01,9.01 06/19/13 BON TON STORES INC PA 5.07 06/18/13 BOULDER BRANDS, INC. DE 8.01 06/18/13 BOWL AMERICA INC MD 5.02,9.01 06/18/13 BreitBurn Energy Partners L.P. DE 5.07 06/19/13 CAMPBELL FUND TRUST DE 3.02 06/19/13 Cardinal Energy Group, Inc. NV 1.01 06/13/13 Cardinal Energy Group, Inc. NV 5.02 06/10/13 AMEND CEMPRA, INC. DE 8.01,9.01 06/19/13 CENTENE CORP 1.01 06/18/13 CHIMERA INVESTMENT CORP DE 7.01,9.01 06/19/13 Cinedigm Digital Cinema Corp. DE 2.02,9.01 06/13/13 CIT GROUP INC DE 8.01,9.01 06/19/13 Cole Real Estate Investments, Inc. MD 5.07,7.01,9.01 06/19/13 COLUMBIA SPORTSWEAR CO OR 1.01,2.03,9.01 06/18/13 COMMUNITY FINANCIAL SHARES INC DE 5.03,5.07,9.01 06/13/13 Crestwood Midstream Partners LP DE 8.01,9.01 06/19/13 CROWN CRAFTS INC DE 2.02,9.01 06/19/13 CubeSmart MD 1.01,2.03,7.01,9.01 06/18/13 DAWSON GEOPHYSICAL CO TX 7.01,9.01 06/19/13 DEL TORO SILVER CORP. NV 1.01,3.02,9.01 06/14/13 DENNYS CORP DE 8.01 06/07/13 DEPOMED INC CA 8.01 06/19/13 DGSE COMPANIES INC NV 5.07,9.01 06/14/13 Diamond Foods Inc DE 8.01,9.01 06/14/13 DIRECT INSITE CORP DE 7.01,9.01 06/19/13 Echo Therapeutics, Inc. DE 8.01,9.01 06/13/13 Ellington Residential Mortgage REIT MD 7.01,8.01,9.01 06/18/13 EMPIRE RESOURCES INC /NEW/ DE 5.07,9.01 06/19/13 ENCORE CAPITAL GROUP INC DE 8.01,9.01 06/18/13 Energy Recovery, Inc. DE 5.07 06/18/13 ENSURGE INC NV 8.01,9.01 05/23/13 EPICEPT CORP 1.01,9.01 06/17/13 ERBA Diagnostics, Inc. DE 5.02 06/17/13 EVANS BANCORP INC NY 5.02 06/18/13 Federal Home Loan Bank of Dallas 2.03,9.01 06/13/13 FEDEX CORP DE 2.02,9.01 06/19/13 FIFTH THIRD BANCORP OH 5.07 04/16/13 AMEND FINISAR CORP DE 2.02,9.01 06/19/13 FIRST CITIZENS BANC CORP /OH OH 8.01 06/18/13 FITT HIGHWAY PRODUCTS, INC. NV 1.01,9.01 06/18/13 FIVE BELOW, INC PA 7.01,9.01 06/19/13 FNB CORP/FL/ FL 1.01,9.01 06/13/13 FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,9.01 06/18/13 FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,9.01 06/18/13 FULTON FINANCIAL CORP PA 7.01,9.01 06/19/13 FULTON FINANCIAL CORP PA 1.01,5.02,9.01 06/19/13 Global Telecom & Technology, Inc. DE 5.07 06/13/13 GOLDEN PHOENIX MINERALS INC NV 1.01,7.01,9.01 06/17/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 05/31/13 GRAPHON CORP/DE DE 8.01,9.01 06/19/13 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 06/19/13 Greektown Superholdings, Inc. DE 8.01 06/18/13 GreenChoice International, Inc. NV 5.03 06/19/13 GULFPORT ENERGY CORP DE 1.01,5.02,5.07,9.01 06/13/13 GYMBOREE CORP DE 5.02,9.01 06/18/13 HAEMONETICS CORP MA 2.05,8.01,9.01 06/19/13 Hanesbrands Inc. MD 5.02,9.01 06/18/13 HANGER, INC. DE 1.01,2.03,7.01,9.01 06/17/13 HASCO Medical, Inc. FL 5.02 06/17/13 HELIX ENERGY SOLUTIONS GROUP INC MN 1.01,2.03,7.01,9.01 06/19/13 Hermes Jets, Inc. 5.01,5.02,8.01 06/18/13 HII Technologies, Inc. 5.07 06/17/13 Hines Global REIT, Inc. MD 8.01 06/10/13 HINTO ENERGY, INC WY 1.01,9.01 06/14/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 8.01,9.01 06/19/13 ICF International, Inc. DE 7.01,9.01 06/19/13 IMPERIAL OIL LTD 8.01,9.01 06/19/13 INERGY L P DE 1.01,1.02,2.01, 06/18/13 3.02,5.01,5.02, 5.03,8.01,9.01 INERGY MIDSTREAM, L.P. DE 1.01,5.01,5.02,9.01 06/19/13 INLAND REAL ESTATE CORP MD 8.01,9.01 06/17/13 Inova Technology Inc. NV 8.01 06/19/13 INTEGRATED DEVICE TECHNOLOGY INC DE 5.02,9.01 06/15/13 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 1.01,9.01 06/17/13 IPG PHOTONICS CORP DE 8.01 06/19/13 ISLE OF CAPRI CASINOS INC DE 1.01 06/17/13 JABIL CIRCUIT INC DE 2.02,2.05,9.01 06/19/13 JPX Global Inc. 1.01,2.01,9.01 06/17/13 KBS Real Estate Investment Trust III, MD 1.01,2.01,2.03,9.01 06/19/13 KCAP Financial, Inc. DE 1.01,2.03,9.01 06/18/13 Kior Inc DE 3.02,9.01 06/17/13 KORN FERRY INTERNATIONAL DE 2.02,9.01 06/17/13 AMEND KRISPY KREME DOUGHNUTS INC NC 3.03,5.03,5.07,9.01 06/18/13 LANNETT CO INC DE 5.03,9.01 06/14/13 LIFE PARTNERS HOLDINGS INC TX 7.01,9.01 06/19/13 LogMeIn, Inc. DE 5.02 06/14/13 Lone Pine Resources Inc. DE 3.01,9.01 06/13/13 MANAGEMENT NETWORK GROUP INC 3.03,5.02, 06/18/13 5.03,5.07,9.01 MEDALLION FINANCIAL CORP DE 5.07 06/14/13 Memorial Production Partners LP DE 8.01,9.01 06/19/13 MENS WEARHOUSE INC TX 5.02,8.01,9.01 06/18/13 MICRON TECHNOLOGY INC DE 2.02,9.01 05/30/13 MILLS MUSIC TRUST NY 8.01,9.01 06/19/13 ML BlueTrend FuturesAccess LLC DE 3.02 06/14/13 Monarchy Resources, Inc. NV 1.01,9.01 06/17/13 MYOS Corp NV 7.01,9.01 06/19/13 NATIONAL FINANCIAL PARTNERS CORP 5.07 06/19/13 NEKTAR THERAPEUTICS DE 5.07 06/13/13 NEKTAR THERAPEUTICS DE 8.01,9.01 06/19/13 Nielsen CO B.V. P7 8.01,9.01 06/19/13 Nielsen Holdings N.V. P7 8.01 06/17/13 NOBLE ROMANS INC IN 7.01,9.01 06/17/13 NORTHSTAR REALTY FINANCE CORP. MD 1.01,2.03, 06/13/13 3.02,8.01,9.01 NuSTATE ENERGY HOLDINGS, INC. NV 8.01,9.01 06/18/13 OCZ TECHNOLOGY GROUP INC DE 1.01,3.02 06/13/13 Ohr Pharmaceutical Inc 5.02,9.01 06/13/13 OLD NATIONAL BANCORP /IN/ IN 5.02,9.01 06/19/13 ORBCOMM Inc. DE 9.01 04/05/13 AMEND ORIGINOIL INC NV 3.02 06/13/13 OVERLAND STORAGE INC CA 5.07 06/18/13 Oxford Resource Partners LP 1.01 06/18/13 PAN GLOBAL, CORP. NV 2.01,3.02, 04/26/13 AMEND 4.01,5.06,5.07,9.01 PARADISE INC FL 4.02,9.01 06/19/13 Pendrell Corp DE 5.07 06/14/13 PENFORD CORP WA 4.02 06/13/13 PEOPLES BANCORP INC OH 7.01,9.01 06/19/13 PERCEPTRON INC/MI MI 5.02,9.01 06/14/13 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 06/18/13 PETSMART INC DE 5.02,5.07,9.01 06/14/13 PETSMART INC DE 5.02 06/14/13 AMEND PHARMACYCLICS INC DE 7.01,9.01 06/19/13 PharMerica CORP DE 5.07 06/18/13 PMC COMMERCIAL TRUST /TX TX 5.02,5.07 06/14/13 Primo Water Corp DE 1.01,2.03,9.01 06/14/13 PROGENICS PHARMACEUTICALS INC DE 7.01,9.01 06/19/13 PROGENICS PHARMACEUTICALS INC DE 2.01,9.01 06/19/13 AMEND PROSPECT GLOBAL RESOURCES INC. NV 1.01,3.01,8.01,9.01 06/13/13 Protalix BioTherapeutics, Inc. FL 1.01,8.01,9.01 06/18/13 QLT INC/BC A1 5.02,5.07,9.01 06/14/13 RainEarth Inc. NV 1.01,9.01 06/19/13 RANGE RESOURCES CORP DE 7.01,9.01 06/19/13 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 06/19/13 RBC LIFE SCIENCES, INC. DE 5.07 06/19/13 REALTY INCOME CORP MD 1.01,5.02,9.01 06/19/13 RED HAT INC DE 2.02,9.01 06/19/13 REGIS CORP MN 1.01,3.03,9.01 06/13/13 REGIS CORP MN 8.01 06/13/13 RESEARCH FRONTIERS INC DE 7.01,9.01 06/18/13 REVLON CONSUMER PRODUCTS CORP DE 5.02 06/18/13 REVLON INC /DE/ DE 5.02 06/18/13 RITE AID CORP DE 8.01,9.01 06/18/13 ROCKWELL MEDICAL, INC. MI 5.02,9.01 06/14/13 SAFEWAY INC DE 2.02,7.01 06/19/13 SANDRIDGE ENERGY INC DE 5.02 06/19/13 Sanwire Corp 1.01 06/19/13 SCOTTS LIQUID GOLD INC CO 5.07 06/14/13 SENESCO TECHNOLOGIES INC DE 8.01,9.01 06/19/13 Sino Agro Food, Inc. NV 4.01,9.01 06/19/13 SMART ONLINE INC DE 5.07 06/17/13 SOFTECH INC MA 1.01 06/13/13 SOLITRON DEVICES INC DE 5.02,5.07 06/18/13 SOUTHERN CONNECTICUT BANCORP INC CT 3.01,8.01 06/19/13 STANCORP FINANCIAL GROUP INC OR 1.01,9.01 06/18/13 STANDARD PARKING CORP DE 5.02 06/14/13 STEEL DYNAMICS INC IN 8.01,9.01 06/17/13 STEELCASE INC MI 2.02,7.01,9.01 06/19/13 STEIN MART INC FL 5.07,7.01,9.01 06/18/13 SunCoke Energy Partners, L.P. DE 7.01,9.01 06/19/13 SunCoke Energy, Inc. 7.01,9.01 06/19/13 SUPERIOR UNIFORM GROUP INC FL 4.01,9.01 06/14/13 SYMMETRICOM INC DE 2.05,9.01 06/18/13 SYNERGY RESOURCES CORP CO 1.01,9.01 06/14/13 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 06/13/13 TAIWAN FUND INC DE 7.01,9.01 05/31/13 TESORO LOGISTICS LP DE 2.01,7.01,9.01 06/17/13 TETRA TECH INC DE 7.01,8.01,9.01 06/18/13 TEXAS INDUSTRIES INC DE 8.01,9.01 06/18/13 TICC Capital Corp. MD 5.07 06/19/13 TOROTEL INC MO 5.02,9.01 06/17/13 Triangle Petroleum Corp DE 7.01,9.01 06/19/13 TRIPLE-S MANAGEMENT CORP 7.01,9.01 06/19/13 ULTRA CLEAN HOLDINGS INC DE 1.01,3.03,9.01 06/13/13 Uni-Pixel DE 8.01,9.01 06/19/13 Valeant Pharmaceuticals International A6 8.01,9.01 06/18/13 Vanguard Natural Resources, LLC DE 3.03,5.03,9.01 06/19/13 VECTREN CORP IN 8.01,9.01 06/18/13 VERENIUM CORP DE 5.02,5.07 06/14/13 VHGI HOLDINGS, INC. DE 1.01 05/28/13 VIEWCAST COM INC DE 5.02 06/17/13 VISTEON CORP DE 8.01 06/12/13 AMEND VISUALANT INC NV 1.01,9.01 06/14/13 AMEND VIVUS INC CA 8.01,9.01 06/19/13 WEST BANCORPORATION INC IA 8.01 06/14/13 Western Refining, Inc. DE 7.01 06/19/13 WEYERHAEUSER CO WA 8.01,9.01 06/18/13 Wheeler Real Estate Investment Trust, MD 8.01,9.01 02/05/13 AMEND Whitestone REIT TX 8.01,9.01 06/19/13 WHITING PETROLEUM CORP DE 5.02,9.01 06/17/13 Whoopass Poker Corp DE 4.02 05/31/13 WNC HOUSING TAX CREDIT FUND V LP SERI CA 2.02,9.01 06/19/13 XENOPORT INC DE 7.01 06/19/13 XERIUM TECHNOLOGIES INC DE 5.02,5.07 06/13/13 ZAGG Inc NV 5.07 06/13/13 Zalicus Inc. DE 7.01,9.01 06/19/13 ZHONE TECHNOLOGIES INC DE 3.01,9.01 06/18/13 ZION OIL & GAS INC DE 8.01,9.01 06/19/13 Zoetis Inc. 5.02 06/13/13 ZOGENIX, INC. DE 5.07 06/18/13 Zumiez Inc WA 1.01,9.01 06/14/13