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U.S. Securities and Exchange Commission


Issue 2013-118
June 20, 2013

Commission Announcements

Commission Meetings

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)

        6513107911 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-189434 - Jun. 19) (BR. 01A)

        48846, 6165279450 - 1,250,000 ($7,587,500.00) Equity, 
        (File 333-189437 - Jun. 19) (BR. 07B)

        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)

        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)

        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)

        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)

        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)

        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)

        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:


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

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

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

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

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

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



Modified: 06/21/2013