Parties Stipulate To Dismiss Claims against Relief Defendants in "Golden Goose" Insider Trading Case After Their Trading Profits Were Disgorged
The Securities and Exchange Commission (Commission) announced that on June 24, 2013, the Honorable Lorna G. Schofield, United States District Judge for the Southern District of New York, entered an order dismissing all claims in this action against relief defendants Maria T. Checa and Checa International, Inc. Previously, on June 19, 2013, the District Court entered an order dismissing all claims in this action against relief defendant Lee H. Corbin. The District Court’s orders were based upon stipulations of dismissal with the relief defendants who no longer possess any illegal gains from a long-running insider trading scheme orchestrated by Jamil Bouchareb and Daniel Corbin.
The Commission’s case alleged that Bouchareb and Corbin traded in 11 to 12 corporate transactions based on inside information obtained from Matthew Devlin, a former Lehman Brothers, Inc. representative, who had misappropriated the confidential information from his wife, a partner in a public relations firm working on the deals. Because the inside information was valuable, Bouchareb and Corbin referred to Devlin’s wife as the "golden goose." In their prior settlements with the Commission, Bouchareb and Corbin agreed to pay a total of over $1.2 million in disgorgement and prejudgment interest. Bouchareb’s disgorgement included trading profits generated by relief defendants Checa and Checa International, Inc. Corbin’s disgorgement included trading profits generated by relief defendant Lee Corbin. Entry of the District Court’s orders concludes the Commission’s action. [SEC v. Matthew C. Devlin, et al., Civil Action No. 08-CV-11001 (SDNY) (LGS)] (LR-22734).
Court Enters Final Judgments against JBI, Inc. and Former Officer in Accounting Fraud Case
The Commission announced that a Massachusetts federal court entered final judgments by consent on June 26, 2013 and March 20, 2013, respectively, against John W. Bordynuik ("Bordynuik") and JBI, Inc. ("JBI"), two defendants in a fraud action filed by the Commission in 2012. The Commission alleged in its complaint that JBI, its then CEO, John Bordynuik, and its former CFO, Ronald Baldwin, Jr. ("Baldwin"), engaged in a scheme to commit securities and accounting fraud in 2009. In the consent judgments, the Court ordered JBI to pay $150,000 and Bordynuik to pay $110,000 in civil monetary penalties.
The Commission filed its action on January 4, 2012, alleging that during two reporting periods in 2009 and in contravention of Generally Accepted Accounting Principles ("GAAP"), JBI stated materially false and inaccurate financial information on its financial statements. The Complaint alleged that the defendants misrepresented and overstated the actual value of certain assets, known as media credits, by almost 1,000%, in an effort to bolster its balance sheet. JBI then used the overvalued financial statements in two private capital raising efforts (Private Investment in Public Equity or PIPES) that raised over $8.4 million from unwitting investors in these PIPES just before the company issued a public statement indicating its financial statements could no longer be relied upon, in part, due to the erroneous valuation of the media credits and other assets on the balance sheet. According to the complaint, Bordynuik was aware of, or was reckless in not being aware of, GAAP concerns surrounding the reported value of the media credits in advance of the company’s periodic reports that included the financial statements filed with the Commission, yet falsely certified that the company’s financial statements for those reporting periods were filed in conformity with GAAP.
Without admitting or denying the allegations in the Commission’s complaint, JBI and Bordynuik consented to final judgments entered by the Court. The final judgment against JBI permanently enjoined the company from violating Section 17(a) of the Securities Act of 1933 ("Securities Act") and Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B) and 13(b)(5) of the Securities Exchange Act of 1934 ("Exchange Act") and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13 thereunder, and ordered JBI to pay a civil monetary penalty of $150,000. The final judgment against Bordynuik permanently enjoined him from violating Section 17(a) of the Securities Act and Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-11, and ordered him to pay a civil penalty of $110,000. Bordynuik also was barred for five years (from March 18, 2013) from acting as an officer or director of a public company. The case against the remaining defendant (Baldwin) remains pending. [SEC v. JBI, Inc., John Bordynuik and Ronald Baldwin, Jr., C.A. No. 1:12-cv-10012 (USDC, MA)] (LR-22735)
Jerry L. Burdick, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the CommissionPursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Jerry L. Burdick, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Burdick was suspended from appearing or practicing before the Commission as an accountant on August 29, 2008. His reinstatement is effective immediately. (Rel. 34-69879; AAE Rel. 3467; File No. 3-13151)
In the Matter of Benda Pharmaceutical, Inc.An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default in Benda Pharmaceutical, Inc., Admin. Proc. File No. 3-15325 (Default Order). The Order Instituting Proceedings alleged that Benda Pharmaceutical, Inc. and China Shuangji Cement Ltd. were void Delaware corporations located in the People’s Republic of China with securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 that had failed to file required periodic reports with the Commission since 2010. The Default Order finds these allegations to be true and concludes that it is necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of both corporations. (Rel. 34-69865)
Investment company orders
ETF Issuer Solutions Inc., et al.A notice has been issued giving interested persons until July 22, 2013, to request a hearing on an application filed by ETF Issuer Solutions Inc., et al., for an order to permit: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (IC-30568)
The Dreyfus Corporation, et al.A notice has been issued giving interested persons until July 22, 2013 to request a hearing on an application filed by The Dreyfus Corporation, LLC, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would supersede a prior order and would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (IC-30580)
Invesco Advisers, Inc., et al.A notice has been issued giving interested persons until July 22, 2013, to request a hearing on an application filed by Invesco Advisers, Inc., et al. for an order exempting certain limited partnerships and other entities formed for the benefit of eligible employees of Invesco Ltd. and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each such entity will be an "employees’ securities company" within the meaning of section 2(a)(13) of the Act. (IC-30581)
First Trust Exchange-Traded Fund, et al.A notice has been issued giving interested persons until July 22, 2013, to request a hearing on an application filed by First Trust Exchange-Traded Fund, et al., for an order to permit: (a) certain open-end management investment companies or series thereof to issue shares ("Shares") redeemable in large aggregations only ("Creation Units"); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (d) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption. (IC-30582)
Orders Of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Immediate Effectiveness of Proposed Rule Change
A proposed rule change (SR-CBOE-2013-063) filed by the Chicago Board Options Exchange, Incorporated related to trades for less than $1 has become effective under 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. 34-69854)
A proposed rule change filed by the BOX Options Exchange LLC (SR-BOX-2013-32) to amend BOX Rule 7130 (Execution and Price/Time Priority) to adjust the NBBO exposure period 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. 34-69863)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to message types and connectivity (SR-CBOE-2013-064) 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. 34-69861)
Notice of Proposed Rule Change
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-60) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder proposing to list and trade shares of Market Vectors Low Volatility Commodity ETF and Market Vectors Long/Short Commodity ETF under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of July 1st. (Rel. 34-69862)
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 Gogo Inc., 1250 N. ARLINGTON HEIGHTS RD, SUITE 500, ITASCA, IL, 60143, (630) 647-1400 - 0 ($178,674,130.33) Equity, (File 333-189594 - Jun. 26) (BR. 11C) S-8 Primco Management Inc., 1875 CENTURY PARK EAST, 6TH FLOOR, SUITE 73, CENTURY CITY, CA, 90067, 310-407-5452 - 50,000,000 ($125,000.00) Equity, (File 333-189595 - Jun. 26) (BR. 08B) S-8 GFI Group Inc., 55 WATER STREET, NEW YORK, NY, 10041, 212-968-4100 - 0 ($3,368,000.00) Equity, (File 333-189602 - Jun. 26) (BR. 08C) F-3 Capital Product Partners L.P., 3 IASSONOS STREET, PIRAEUS, J3, 18537, 0030 210 458 4950 - 0 ($74,072,731.77) Limited Partnership Interests, (File 333-189603 - Jun. 26) (BR. 05A) S-8 STRATEGIC DIAGNOSTICS INC/DE/, 111 PENCADER DR, NEWARK, DE, 19702, 3024566789 - 4,000,000 ($6,495,001.00) Equity, (File 333-189604 - Jun. 26) (BR. 06B) S-8 COVANCE INC, 210 CARNEGIE CENTER, PRINCETON, NJ, 08540, 6094524440 - 0 ($211,848,000.00) Equity, (File 333-189605 - Jun. 26) (BR. 01A) S-8 Venaxis, Inc., 1585 S. PERRY STREET, CASTLE ROCK, CO, 80104, (303) 794-2000 - 425,000 ($527,000.00) Equity, (File 333-189606 - Jun. 26) (BR. 01B) S-1 Regulus Therapeutics Inc., 3545 JOHN HOPKINS COURT, SUITE 210, SAN DIEGO, CA, 92121, 858-202-6300 - 0 ($57,500,000.01) Equity, (File 333-189607 - Jun. 26) (BR. 01B) S-8 SYNAGEVA BIOPHARMA CORP, 33 HAYDEN AVE., LEXINGTON, MA, 02421, (781) 357-9900 - 1,500,000 ($60,870,000.00) Equity, (File 333-189608 - Jun. 26) (BR. 01B) S-8 CELL THERAPEUTICS INC, 3101 WESTERN AVENUE, SUITE 600, SEATTLE, WA, 98121, 2062827100 - 0 ($12,720,000.00) Equity, (File 333-189611 - Jun. 26) (BR. 01A) S-8 CYPRESS SEMICONDUCTOR CORP /DE/, 198 CHAMPION COURT, SAN JOSE, CA, 95134, 4089432600 - 1,216,387 ($13,015,340.90) Equity, 0 ($28,304,825.46) Other, (File 333-189612 - Jun. 26) (BR. 10A) S-8 SANDISK CORP, 951 SANDISK DRIVE, MILPITAS, CA, 95035, 408-801-1000 - 20,018,299 ($1,159,259,700.00) Equity, (File 333-189613 - Jun. 26) (BR. 03B) S-8 MAGELLAN PETROLEUM CORP /DE/, 1775 SHERMAN STREET, SUITE 1950, DENVER, CO, 80203, (720) 484-2400 - 6,662,601 ($6,962,418.04) Equity, (File 333-189614 - Jun. 26) (BR. 04B) S-4 TransUnion Holding Company, Inc., 555 WEST ADAMS STREET, CHICAGO, IL, 60661, (312) 985-2000 - 0 ($400,000,000.00) Debt, (File 333-189615 - Jun. 26) (BR. 11A) S-3ASR VIRTUS INVESTMENT PARTNERS, INC., 100 PEARL STREET, 9TH FLOOR, HARTFORD, CT, 06103, 860-403-5000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-189616 - Jun. 26) (BR. 12A) S-3 BAXANO SURGICAL, INC., 110 HORIZON DRIVE, SUITE 230, RALEIGH, NC, 27615, (919) 800-0020 - 17,851,044 ($40,521,869.88) Equity, (File 333-189617 - Jun. 26) (BR. 10B) S-4 CINEMARK USA INC /TX, 3900 DALLAS PARKWAY SUITE 500, PLANO, TX, 75093, 972-665-1000 - 0 ($530,000,000.00) Non-Convertible Debt, (File 333-189618 - Jun. 26) (BR. 05A) S-8 CYS Investments, Inc., 890 WINTER STREET, SUITE 200, WALTHAM, MA, 02451, 617-639-0414 - 8,500,000 ($76,670,000.00) Equity, (File 333-189619 - Jun. 26) (BR. 08C) S-4 HERTZ CORP, 225 BRAE BLVD, PARK RIDGE, NJ, 07656, 2013072000 - 0 ($250,000,000.00) Debt, (File 333-189620 - Jun. 26) (BR. 05C)
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 3DICON CORP OK 7.01,8.01,9.01 06/25/13 Accretive Health, Inc. DE 2.05,5.02 06/20/13 ACORDA THERAPEUTICS INC 8.01,9.01 06/26/13 AFS SenSub Corp. 1.01,9.01 06/20/13 AIR LEASE CORP DE 8.01,9.01 06/26/13 ALIMERA SCIENCES INC DE 5.07 06/18/13 Altisource Portfolio Solutions S.A. N4 9.01 04/12/13 AMEND AMERICAN VANGUARD CORP DE 8.01,9.01 06/24/13 Amerilithium Corp. 3.03,9.01 06/24/13 AMSURG CORP TN 7.01,9.01 06/26/13 Anoteros, Inc. NV 8.01 06/21/13 APOGEE ENTERPRISES, INC. MN 2.02,9.01 06/25/13 Apollo Acquisition Corp E9 5.02 06/20/13 APPLIED MICRO CIRCUITS CORP DE 5.02 06/24/13 ARAMARK CORP DE 5.02,9.01 06/20/13 Arch Therapeutics, Inc. NV 2.01,3.02,4.01, 06/25/13 5.01,5.02,5.06,9.01 ARENA PHARMACEUTICALS INC DE 8.01 06/26/13 Ares Commercial Real Estate Corp MD 8.01,9.01 06/20/13 ARGAN INC DE 5.07,9.01 06/20/13 ARVANA INC NV 5.02 06/14/13 Ascena Retail Group, Inc. DE 7.01,9.01 06/25/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/26/13 ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 06/20/13 Atlantic Coast Financial CORP MD 1.02 06/24/13 AUTHENTIDATE HOLDING CORP DE 5.07,8.01 06/20/13 Avantair, Inc DE 8.01 06/26/13 AVEO PHARMACEUTICALS INC DE 5.02 06/26/13 AVIAT NETWORKS, INC. DE 2.05 06/25/13 Babcock & Wilcox Co DE 5.02,9.01 06/26/13 BankFinancial CORP 8.01,9.01 06/25/13 BANNER CORP WA 5.02 06/25/13 BARNES & NOBLE INC DE 1.01,9.01 06/24/13 BAXANO SURGICAL, INC. DE 9.01 05/30/13 AMEND BAY BANKS OF VIRGINIA INC VA 8.01,9.01 06/26/13 BED BATH & BEYOND INC NY 2.02,9.01 06/26/13 BeesFree, Inc. NV 1.01,2.03,3.02,9.01 06/20/13 BEST BUY CO INC MN 2.01,9.01 06/26/13 BGC Partners, Inc. DE 1.01,5.02,8.01,9.01 06/20/13 BlueFlash Communications, Inc. FL 5.02,5.07 06/20/13 BOLDFACE GROUP, INC. NV 1.01,2.03,3.02,9.01 06/20/13 Bonds.com Group, Inc. DE 3.02,5.02,9.01 06/20/13 Business Development Corp of America MD 5.07 06/26/13 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 06/26/13 Capital Auto Receivables Asset Trust DE 1.01,8.01,9.01 06/26/13 Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 06/24/13 CASELLA WASTE SYSTEMS INC DE 1.01,2.02,9.01 06/26/13 CEL SCI CORP CO 5.07 06/25/13 CELL THERAPEUTICS INC WA 5.02,5.03, 06/26/13 5.07,7.01,9.01 CHAMBERS STREET PROPERTIES MD 8.01,9.01 06/26/13 CHAMBERS STREET PROPERTIES MD 1.01,5.02,5.03, 06/25/13 5.07,8.01,9.01 CHAMPION INDUSTRIES INC WV 2.01 06/25/13 CHC Helicopter S.A. N4 2.02,9.01 06/26/13 CHINA FUND INC MD 7.01,9.01 05/31/13 Cinemark Holdings, Inc. DE 8.01,9.01 06/24/13 CINEMARK USA INC /TX TX 8.01,9.01 06/24/13 COLE CREDIT PROPERTY TRUST IV, INC. MD 9.01 04/15/13 AMEND Colony Financial, Inc. MD 9.01 05/06/13 AMEND Colony Financial, Inc. MD 9.01 05/31/13 AMEND Corporate Resource Services, Inc. DE 5.02,9.01 06/26/13 CROSSROADS SYSTEMS INC DE 5.07 06/21/13 CROSSTEX ENERGY INC DE 7.01,9.01 06/25/13 CROSSTEX ENERGY LP DE 7.01,9.01 06/25/13 CYANOTECH CORP NV 8.01 03/31/13 DAEGIS INC. DE 2.02,9.01 06/26/13 DAWSON GEOPHYSICAL CO TX 1.01,2.03,9.01 06/20/13 DFC GLOBAL CORP. DE 1.01,5.02,9.01 06/21/13 Diligent Board Member Services, Inc. DE 5.02,5.07,9.01 06/24/13 DIRECT INSITE CORP DE 7.01,9.01 06/26/13 DURECT CORP DE 5.07 06/25/13 Eco-Tek Group, Inc. 5.02,8.01,9.01 05/29/13 EMPIRE STATE BUILDING ASSOCIATES L.L. NY 8.01,9.01 06/24/13 Energy Transfer Partners, L.P. DE 1.01,2.03,8.01,9.01 06/20/13 Enertopia Corp. NV 1.02,7.01,9.01 06/26/13 ENVESTNET, INC. DE 3.02 06/24/13 EQUITY LIFESTYLE PROPERTIES INC MD 8.01,9.01 06/25/13 EQUITY RESIDENTIAL MD 9.01 06/25/13 FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 06/26/13 FEDERAL MOGUL CORP DE 8.01,9.01 06/26/13 Feihe International Inc UT 5.07,8.01,9.01 06/26/13 FERRO CORP OH 1.01,9.01 06/20/13 Fidelity National Financial, Inc. 1.01,2.03,8.01,9.01 06/26/13 FIRST M&F CORP/MS MS 5.07 06/25/13 FIRST PACTRUST BANCORP INC MD 1.01,8.01,9.01 06/21/13 FIVE BELOW, INC PA 7.01,9.01 06/26/13 Fixed Income Trust for Prudential Fin 8.01,9.01 06/21/13 FLUOROPHARMA MEDICAL, INC. NV 2.03,7.01,9.01 06/20/13 FONAR CORP DE 5.07 06/24/13 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 06/25/13 GENERAL MILLS INC DE 2.02,9.01 06/26/13 GENESIS ENERGY LP DE 8.01 06/26/13 GLOBAL GOLD CORP DE 5.07 06/21/13 GRANDPARENTS.COM, INC. DE 3.02,5.02 06/20/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 06/21/13 Grilled Cheese Truck, Inc. NV 1.01,3.02,5.02,9.01 06/26/13 GROUP 1 AUTOMOTIVE INC DE 1.01,2.03,8.01,9.01 06/20/13 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 06/25/13 Hatteras Financial Corp 5.02,7.01,9.01 06/26/13 HCI Group, Inc. FL 5.02 06/20/13 Hines Global REIT, Inc. MD 8.01 06/21/13 HollyFrontier Corp DE 8.01 06/26/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 1.01,8.01,9.01 06/20/13 Horsehead Holding Corp DE 1.01,2.03,9.01 06/24/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 06/26/13 IMPERIAL PETROLEUM INC NV 1.01,9.01 06/19/13 Ingersoll-Rand plc L2 1.01,2.03,9.01 06/20/13 INGLES MARKETS INC NC 8.01,9.01 06/26/13 INGLES MARKETS INC NC 8.01,9.01 06/26/13 INNERWORKINGS INC 5.07 06/20/13 INSITE VISION INC DE 1.01 06/20/13 ITC Holdings Corp. MI 8.01,9.01 06/26/13 Janus Resources, Inc. NV 1.01,5.02,9.01 06/20/13 Kandi Technologies Group, Inc. DE 1.01,8.01,9.01 06/26/13 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 06/25/13 KNIGHT CAPITAL GROUP, INC. DE 5.07,8.01,9.01 06/25/13 L3 CORP DE 5.01,5.02,8.01 06/25/13 Laredo Petroleum Holdings, Inc. DE 8.01 06/26/13 LENNAR CORP /NEW/ DE 5.02 06/24/13 LEUCADIA NATIONAL CORP NY 5.02,9.01 06/20/13 Li-ion Motors Corp. NV 4.01 06/25/13 Life Technologies Corp DE 8.01,9.01 06/25/13 LINDSAY CORP DE 2.02,9.01 06/26/13 LMK Global Resources, Inc. DE 1.01,5.02,9.01 06/22/13 LUFKIN INDUSTRIES INC TX 8.01 06/25/13 LYRIS, INC. 5.02 06/26/13 MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 06/26/13 Mandalay Digital Group, Inc. DE 1.01 06/20/13 Mandalay Digital Group, Inc. DE 9.01 04/12/13 AMEND MANHATTAN BRIDGE CAPITAL, INC NY 5.07 06/18/13 AMEND MCGRAW HILL FINANCIAL INC NY 5.03,9.01 06/26/13 MCKESSON CORP DE 7.01,9.01 06/26/13 MELA SCIENCES, INC. /NY 5.02 06/21/13 METLIFE INC DE 3.03,9.01 06/26/13 MILLER HERMAN INC MI 2.02,9.01 06/26/13 MIMEDX GROUP, INC. FL 5.02 06/26/13 MOBIVITY HOLDINGS CORP. NV 5.02,9.01 06/20/13 MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,2.03,7.01,9.01 06/26/13 MONSANTO CO /NEW/ DE 2.02,9.01 06/26/13 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 06/26/13 NATIONAL HOLDINGS CORP DE 5.02,9.01 06/20/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 06/26/13 NAVARRE CORP /MN/ MN 5.02,9.01 06/24/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,1.02,2.04, 06/24/13 3.02,3.03,5.02,5.03,8.01,9.01 New Mountain Finance Holdings, L.L.C. 1.01,2.03,9.01 06/24/13 New York & Company, Inc. 5.07 06/25/13 NORDSTROM INC WA 5.02 06/26/13 Novus Robotics Inc. NV 1.01,2.01,3.02, 02/01/12 AMEND 5.01,5.02,9.01 NuStar Energy L.P. DE 7.01,9.01 06/26/13 NuStar GP Holdings, LLC DE 7.01,9.01 06/26/13 NxStage Medical, Inc. DE 5.02 06/25/13 Oiltanking Partners, L.P. DE 1.01,2.03,9.01 06/26/13 OLIE INC DE 3.02,5.02,9.01 06/26/13 OPTI INC CA 5.02,9.01 06/26/13 ORBIT INTERNATIONAL CORP DE 1.01,5.07,9.01 06/21/13 OSL HOLDINGS INC. 1.01,2.03,3.02, 06/20/13 4.01,5.02,9.01 Pacific Ethanol, Inc. DE 1.01,2.03,9.01 06/20/13 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 06/26/13 Pacific Ventures Group, Inc. DE 1.01,5.01,5.02,9.01 06/21/13 PAN AMERICAN GOLDFIELDS LTD DE 1.01,3.02,5.02,9.01 06/24/13 PARK ELECTROCHEMICAL CORP NY 2.02,9.01 06/26/13 PAYCHEX INC DE 2.02,9.01 06/26/13 Pinacle Enterprise, Inc. 2M 1.01,2.01,3.02,9.01 06/25/13 PPLUS Trust Series JPM-1 DE 8.01,9.01 06/17/13 PROGRESS SOFTWARE CORP /MA MA 2.02,9.01 06/26/13 Prologis, Inc. MD 8.01,9.01 06/26/13 PROSPECT GLOBAL RESOURCES INC. NV 2.03,9.01 06/25/13 PROSPECT GLOBAL RESOURCES INC. NV 1.01,9.01 06/26/13 PROVIDENT NEW YORK BANCORP DE 8.01 06/26/13 PVH CORP. /DE/ DE 5.02,5.07,9.01 06/20/13 QUICKSILVER RESOURCES INC DE 9.01 06/21/13 Radiation Therapy Services Holdings, DE 1.01,8.01,9.01 06/22/13 Radius Health, Inc. DE 5.02,9.01 06/20/13 Rango Energy, Inc. NV 7.01,9.01 06/26/13 REAL ESTATE ASSOCIATES LTD III CA 8.01 06/21/13 RealD Inc. DE 5.02,8.01,9.01 06/20/13 REALOGY HOLDINGS CORP. DE 5.02 06/26/13 Red Giant Entertainment, Inc. NV 8.01,9.01 06/25/13 Regulus Therapeutics Inc. DE 1.01,5.02,8.01,9.01 02/21/13 RENASANT CORP MS 5.07 06/25/13 RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 06/26/13 SANTEON GROUP, INC. DE 1.01,1.02, 06/21/13 5.02,5.07,9.01 SCIQUEST INC DE 4.01,9.01 06/21/13 SEALED AIR CORP/DE DE 5.02,9.01 06/25/13 Shire plc 8.01,9.01 06/26/13 SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 06/25/13 SMITH & WESSON HOLDING CORP NV 1.01,2.03,9.01 06/21/13 SOLIGENIX, INC. DE 8.01,9.01 06/25/13 Soul & Vibe Interactive Inc. NV 1.01,1.02,3.02, 06/26/13 AMEND 5.02,5.03,9.01 Southcross Energy Partners, L.P. DE 7.01,9.01 06/26/13 SOUTHERN UNION CO DE 1.01,3.03,8.01,9.01 06/20/13 SPHERIX INC DE 7.01,9.01 06/25/13 SPHERIX INC DE 3.02,9.01 06/25/13 Spirit Airlines, Inc. DE 1.01,8.01,9.01 06/20/13 Starburst II, Inc. DE 8.01,9.01 06/26/13 STEIN MART INC FL 5.02,9.01 06/25/13 STERLING BANCORP NY 8.01,9.01 06/26/13 Stevia First Corp. NV 1.01,3.02,9.01 06/25/13 Sucampo Pharmaceuticals, Inc. 7.01,9.01 06/26/13 SUFFOLK BANCORP NY 8.01,9.01 06/26/13 SurePure, Inc. NV 8.01,9.01 06/26/13 T Bancshares, Inc. 7.01,9.01 06/26/13 Tallgrass Energy Partners, LP DE 5.02 06/26/13 Tallgrass Energy Partners, LP DE 2.02,9.01 06/26/13 TEMPUR SEALY INTERNATIONAL, INC. DE 7.01,9.01 06/26/13 TESSERA TECHNOLOGIES INC DE 5.02,8.01,9.01 06/26/13 TGC INDUSTRIES INC TX 2.02,7.01,9.01 06/26/13 Tirex CORP 4.01,9.01 06/25/13 TRANS LUX CORP DE 1.01,3.03 06/26/13 Tribute Pharmaceuticals Canada Inc. A6 5.07 06/20/13 Trovagene, Inc. DE 7.01,9.01 06/26/13 True Drinks Holdings, Inc. NV 1.01,2.03,3.02,9.01 03/31/13 TRUSTMARK CORP MS 8.01 06/25/13 UCP HOLDINGS, INC. NV 5.02,5.03,9.01 06/24/13 UGI CORP /PA/ PA 8.01,9.01 06/25/13 UNIFI INC NY 1.01,2.03,9.01 06/25/13 UNIFIRST CORP MA 2.02,9.01 06/26/13 USA TECHNOLOGIES INC PA 5.07 06/21/13 Vantage Drilling CO E9 7.01,8.01,9.01 06/25/13 VERINT SYSTEMS INC DE 5.07 06/25/13 Verso Paper Corp. DE 3.01,9.01 06/25/13 VICOR CORP DE 5.07 06/21/13 VIRCO MFG CORPORATION DE 5.07 06/25/13 VIVUS INC CA 8.01,9.01 06/26/13 W. S. Industries, Inc. NV 4.01 06/11/13 WATERS CORP /DE/ DE 1.01,1.02,2.03 06/25/13 WAUSAU PAPER CORP. WI 1.01,2.01,9.01 06/26/13 WEBSENSE INC DE 8.01,9.01 06/25/13 WELLPOINT, INC IN 8.01,9.01 06/26/13 WESTELL TECHNOLOGIES INC DE 5.02,9.01 06/20/13 ZAP CA 1.01,5.03,9.01 06/18/13 Zinco do Brasil, Inc. DE 1.01,5.02 06/14/13 Zoetis Inc. 5.01,5.02,7.01,9.01 06/20/13