Criminal Charges Filed Against Massachusetts Investment Adviser for Defrauding Investors
The Securities and Exchange Commission (Commission) announced that, on July 1, 2013, the United States Attorney's Office for the District of Massachusetts filed a criminal Information against Jeffrey A. Liskov (Liskov) of Plymouth, Massachusetts. The one-count criminal Information charged Liskov with willfully violating Section 206 of the Investment Advisers Act of 1940 (Advisers Act). The Commission previously filed a civil action against Liskov and his advisory firm, EagleEye Asset Management, LLC (EagleEye), for defrauding advisory clients in connection with foreign currency exchange (forex) investments. The factual allegations in the criminal Information are substantially similar to those in the Commission's complaint in the civil case.
The Commission's complaint in the civil case, filed on September 8, 2011, alleged that, between at least November 2008 and August 2010, Liskov made material misrepresentations to several advisory clients to induce them to liquidate investments in securities and instead invest in forex. The forex investments resulted in client losses totaling nearly $4 million, while EagleEye and Liskov came away with over $300,000 in performance fees, in addition to other management fees they collected from clients. The Commission alleged that Liskov's strategy was to generate temporary profits on client forex investments to enable him to collect performance fees, after which client forex investments invariably quickly declined in value.
According to the Commission's complaint, Liskov made material misrepresentations or failed to disclose material information to clients concerning the nature of forex investments, the risks involved in forex, and Liskov's poor track record in forex trading for himself and other clients. The Commission's complaint further alleged that, as to two clients, without their knowledge or consent, Liskov liquidated securities in their brokerage accounts and transferred the proceeds to their forex trading accounts where he lost nearly all their funds, but not before first collecting performance fees on temporary profits in these clients' forex accounts. The complaint alleged that Liskov accomplished the unauthorized transfers by using "white out" correction fluid to change dates, amounts, and other data on asset transfer documentation. Liskov also opened multiple forex trading accounts in the name of one client, without obtaining the client's consent, thereby maximizing his ability to earn performance fees on the client's forex investments.
As result of the foregoing conduct, the Commission alleged that EagleEye and Liskov violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder and Sections 206(1) and 206(2) of the Advisers Act. The Commission also alleged that EagleEye failed to maintain certain books and records required of investment advisers in violation of Section 204 of the Advisers Act and Rule 204-2 thereunder, and that Liskov aided and abetted EagleEye's violations of these recordkeeping provisions.
On November 26, 2012, after an eight-day trial in the Commission's civil action, a jury found that EagleEye and Liskov violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Section 206(1) of the Advisers Act. After a further hearing, U.S. District Court Judge William G. Young found violations by EagleEye and Liskov of Section 204 of the Advisers Act and Rule 204-2 thereunder, concerning their recordkeeping obligations relating to EagleEye's advisory business. On December 12, 2012, the court entered a final judgment against EagleEye and Liskov in the Commission's civil action, ordering that they be permanently enjoined from future violations of the foregoing provisions of the securities laws. The court further ordered EagleEye and Liskov, jointly and severally, to pay disgorgement of their ill-gotten gains in the amount of $301,502.26, plus pre-judgment interest on that amount of $29,603.59, and the court also ordered EagleEye and Liskov each to pay a civil penalty of $725,000.
On December 27, 2012, the Commission instituted public administrative proceedings against each of EagleEye and Liskov to determine what sanctions against them, if any, may be appropriate and in the public interest.
The Commission acknowledges the assistance of Secretary of the Commonwealth of Massachusetts William F. Galvin's Securities Division and the United States Commodity Futures Trading Commission, both of which filed cases against EagleEye and Liskov in September 2011.
For additional information, see Litigation Release Numbers 22086 (September 8, 2011), 22546 (November 27, 2012), and 22570 (December 14, 2012), and Advisers Act Release Numbers 3527 and 3528 (December 27, 2012).
[United States v. Jeffrey A. Liskov, No. 13-CR-10206 (D. Mass.); Securities and Exchange Commission v. EagleEye Asset Management, LLC and Jeffrey A. Liskov, No. 11-CV-11576 (D. Mass.)] (LR-22743)
Commission Files Charges in Ponzi Scheme involving John Fowler, Jeffrey Fowler, and Julianne Chalmers
On July 5, 2013, the Commission filed an enforcement action against John Fowler, a convicted felon, Jeffrey Fowler, a former Florida public school teacher, and Julianne Chalmers. The SEC charged John Fowler and Jeffrey Fowler with violations of the antifraud provisions of the federal securities laws. The SEC also charged John Fowler and Julianne Chalmers with registration violations.
In its complaint, filed in the U.S. District Court for the Middle District of Florida, the Commission alleges that from January 2011 through November 2011, John Fowler and Jeffrey Fowler raised approximately $4.3 million from 70 unsuspecting investors nationwide through a Ponzi scheme disguised as a gold futures investment program. The program purportedly was affiliated with a prominent New York-based hedge fund manager but actually had no connection to this manager and no investment in gold futures. Chalmers solicited investors to invest in the gold futures program by purchasing promissory notes. The complaint alleges that John Fowler, among other things, masterminded the Ponzi scheme and made misrepresentations and omissions in connection with the offer and sale of the promissory notes. The complaint alleges that John Fowler's son, Jeffrey Fowler, took steps to make the scheme appear legitimate by forming a Florida corporation with an identical name to the actual New York-based hedge fund manager, opening several bank accounts in this corporate name, and making purported interest payments to investors from investor funds. John Fowler and Jeffrey Fowler also allegedly misappropriated investor funds for personal use. The complaint alleges that John Fowler unlawfully sold unregistered securities and that Julianne Chalmers unlawfully acted as an unregistered broker-dealer and sold unregistered securities.
The Commission's enforcement action charges John Fowler with violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5(a) and 10b-5(c) thereunder; and Jeffrey Fowler with violating Sections 17(a)(1) and (3) of the Securities Act and Section 10(b) of the Exchange Act and Rules 10b-5(a) and 10b-5(c) thereunder. The action charges Chalmers with violating Sections 5(a) and 5(c) of the Securities Act and Section 15(a) of the Exchange Act. Both John Fowler and Jeffrey Fowler have consented to the entry of judgments, which would enjoin then from violation of the above provisions. These judgments are subject to court approval. The Commission is seeking a permanent injunction, disgorgement, and financial penalties against Chalmers.
The Commission acknowledges assistance from the U.S. Attorney's Office for the Middle District of Florida, the U.S. Secret Service, and the Federal Bureau of Investigation. (LR-22744)
Initial Decision in "Buckets of Money" Case
An Administrative Law Judge issued an initial decision Monday barring radio personality Raymond J. Lucia, Sr. from associating with any investment adviser, broker or dealer, revoking investment adviser registrations for him and his firm, Raymond J. Lucia Companies, Inc. (RJLC), and imposing a $50,000 penalty against him and a $250,000 penalty against RJLC. Judge Elliot's decision found that that RJLC had violated the investment adviser antifraud statutes and that Lucia had aided and abetted RJLC's violations.
Judge Elliot's decision follows an administrative proceeding in which the SEC's Division of Enforcement alleged that Lucia and RJLC misled investors at investment seminars by claiming that their proprietary "Buckets of Money" investment strategy had been empirically "backtested" over actual bear market periods when they performed scant, if any, backtesting.
"Judge Elliot's initial decision vindicates the Division of Enforcement's original position that Lucia and RJLC misled the investors who attended their seminars by claiming that the Buckets of Money strategy had been successfully backtested when in fact it had not been," said Michele Wein Layne, Director of the SEC's Los Angeles Regional Office. Lucia and RJLC have 21 days from the date of the decision to appeal the decision. (ID-495; File No.3-15006)
In the Matter of Aichun Li, CPA
On July 8, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Aichun Li (Li) based on the entry on July 2, 2013 of a final judgment imposing a permanent injunction against Li in SEC v. Keyuan Petrochemicals, Inc., Civil No. 13-cv-00263 (D.D.C.). Li consented to the entry of the final judgment in the civil action without admitting or denying the allegations in the complaint and consented to the issuance of the Order without admitting or denying the Commission's findings, except that she admitted the Commission's jurisdiction over her and the subject matter of the proceeding and that a final judgment had been entered in the civil action imposing a permanent injunction and other relief.
The Order finds that Li was the Chief Financial Officer of Keyuan Petrochemicals, Inc. from May 2010 until her resignation in October 2011. The Order further finds that Li has been licensed as a certified public accountant in the State of North Carolina.
The Order further finds that the Commission's complaint alleged, among other things, that between May 2010 and January 2011, Keyuan failed to disclose material related party transactions between and among the company and its chief executive officer and controlling shareholders as well as entities controlled by or affiliated with those persons. The related party transactions took the form of loan guarantees, purchases of raw materials, sales of products, and short term cash transfers for financing purposes. Li, who was hired to ensure the company's compliance with U.S. GAAP and oversee the SEC reporting process, received information indicating that the company was engaged in certain related party transactions in the form of loan guarantees. Li also encountered red flags that should have alerted her that the company was not properly identifying or disclosing certain related party transactions. Despite such knowledge, Li signed off on registration statements and periodic reports filed between May 2010 and January 2011 that failed to disclose material related party transactions, as required by U.S. GAAP and/or Commission regulations.
As noted in the Order, the final judgment permanently enjoins Li, by consent, from future violations of Section 13(b)(5) of the Exchange Act and from aiding and abetting violations of Section 13(a) and 13(b)(2)(A) of the Exchange Act and Exchange Act Rules 12b-20 and 13a-13 thereunder. Li was also ordered to pay a $25,000 civil money penalty.
The Commission's Order suspends Li from appearing or practicing before the Commission as an accountant, with the right to apply for reinstatement after two years. (Rel. 34-69945; AAE Rel. 3472; File No. 3-15370)
In the Matter of Greate Bay Hotel & Casino, Inc.
An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default in Greate Bay Hote & Casino, Inc., Admin. Proc. File No. 3-15352 (Default Order). The Order Instituting Proceedings alleged that Greate Bay Hotel & Casino, Inc., R&G Financial Corp., Verbena Pharmaceuticals, Inc., Vistula Communications Services, Inc., and Zonic Corp. had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 and each had failed to file required periodic reports with the Commission for over three years. The Default Order found the allegations to be true and concluded that it is necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of each issuer. (Rel. 34-69943; File No. 3-15352)
In the Matter of China Properties Developments, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in China Properties Developments, Inc., Admin. Proc. File No. 3-15335. The Order Instituting Proceedings alleged that China Properties Developments, Inc., repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-69942; File No. 3-15335)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to extending FLEX AIM pilot program until July 18, 2014 (SR-CBOE-2013-069) 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 8th. (Rel. 34-69938)
A proposed rule changed filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2013-14) 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 8th. (Rel. 34-69941)
Approval of a Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NASDAQ-2013-079), as modified by Amendment No. 1 thereto, submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund. Publication is expected in the Federal Register during the week of July 8th. (Rel. 34-69944)
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.
F-10 CANADIAN PACIFIC RAILWAY CO/NEW, SUITE 500, 401-9TH AVENUE S.W., CALGARY ALBERTA, A0, T2P 4Z4, 4033196171 - 0 ($500,000,000.00) Debt, (File 333-189815 - Jul. 5) (BR. 05A) S-1 FIRST SECURITY GROUP INC/TN, 531 BROAD STREET, CHATTANOOGA, TN, 37402, 423-266-2000 - 3,329,234 ($4,993,851.00) Equity, (File 333-189816 - Jul. 5) (BR. 07C) N-2 APOLLO INVESTMENT CORP, 0 ($487,910,000.00) Unallocated (Universal) Shelf, (File 333-189817 - Jul. 5) (BR. 18) S-3ASR lululemon athletica inc., 400 - 1818 CORNWALL AVENUE, VANCOUVER, A1, V6J 1C7, 604-732-6124 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-189818 - Jul. 5) (BR. 09B) S-1 Restoration Hardware Holdings Inc, 15 KOCH ROAD, SUITE J, CORTE MADERA, CA, 94925, 415-924-1005 - 0 ($753,200,000.00) Equity, (File 333-189819 - Jul. 5) (BR. 02) S-8 ATA Inc., 8TH FLOOR, TOWER E, 6 GONGYUAN WEST ST., JIAN GUO MEN NEI, BEIJING, F4, 100005, 8610-6518-1122 - 0 ($770,143.00) Equity, (File 333-189820 - Jul. 5) (BR. 11C) S-4 Alexander & Baldwin, Inc., 822 BISHOP STREET, P.O. BOX 3440, HONOLULU, HI, 96801, (808) 525-6611 - 0 ($79,332,000.00) Equity, (File 333-189822 - Jul. 5) (BR. 08B) S-1 GUIDED THERAPEUTICS INC, 4955 AVALON RIDGE PKWY, SUITE 300, NORCROSS, GA, 30071, 7702428723 - 8,268,964 ($5,705,585.00) Other, (File 333-189823 - Jul. 5) (BR. 10A) S-1 Daric, Inc., 234 MARSHALL STREET, SUITE 14, REDWOOD CITY, CA, 94059, 6502184287 - 0 ($10,000,000.00) Debt, (File 333-189827 - Jul. 5) (BR. 07) S-3 Bacterin International Holdings, Inc., 600 CRUISER LANE, BELGRADE, MT, 59714, 406-388-0480 - 12,763,161 ($6,764,475.33) Equity, (File 333-189830 - Jul. 5) (BR. 01A) S-3 AVANIR PHARMACEUTICALS, INC., 20 ENTERPRISE, SUITE 200, ALISO VIEJO, CA, 92656, 949-389-6700 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-189831 - Jul. 5) (BR. 01B) S-8 LEVEL 3 COMMUNICATIONS INC, 1025 ELDORADO BOULEVARD, BLDG 2000, BROOMFIELD, CO, 80021, 7208881000 - 0 ($133,250,000.00) Equity, (File 333-189832 - Jul. 5) (BR. 11C)
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 250 WEST 57TH ST ASSOCIATES L.L.C. NY 5.07 06/12/13 60 EAST 42ND STREET ASSOCIATES L.L.C. NY 5.07 06/28/13 ACACIA RESEARCH CORP DE 5.02,7.01,9.01 07/03/13 ADEPT TECHNOLOGY INC DE 3.01,5.02 07/02/13 Aegion Corp DE 1.01,2.01,9.01 06/30/13 Alliqua, Inc. FL 1.01,1.02,3.02,9.01 06/28/13 ALTAIR NANOTECHNOLOGIES INC Z4 1.01,9.01 07/02/13 AMBASE CORP DE 2.01 07/05/13 AMERICAN GREETINGS CORP OH 1.01,8.01,9.01 07/03/13 American Realty Capital Global Trust, 1.01 07/02/13 American Realty Capital Properties, I MD 8.01,9.01 07/05/13 AMTECH SYSTEMS INC AZ 5.02 06/28/13 ANCHOR BANCORP WISCONSIN INC WI 2.04 06/30/13 APEX 8 Inc. DE 5.01,5.02 06/21/13 ARETE INDUSTRIES INC CO 1.01,2.03,3.02,9.01 06/28/13 Ascend Acquisition Corp. DE 1.01,2.01,3.02, 07/01/13 5.01,5.02,5.07,9.01 AUTOBYTEL INC DE 5.07 07/03/13 AMEND AUTOLIV INC DE 5.02,9.01 07/02/13 AVANIR PHARMACEUTICALS, INC. DE 1.01,8.01 07/01/13 AVAYA INC DE 5.02 06/28/13 Avery Dennison Corp DE 9.01 07/01/13 AMEND Bank of Marin Bancorp CA 1.01,9.01 07/05/13 Biota Pharmaceuticals, Inc. DE 5.02 07/01/13 BIOVEST INTERNATIONAL INC DE 1.03,9.01 06/28/13 CAPITOL CITY BANCSHARES INC GA 4.02,9.01 07/05/13 CHC Helicopter S.A. N4 5.02 07/02/13 ChemoCentryx, Inc. DE 5.02 07/01/13 CHINA GENGSHENG MINERALS, INC. NV 5.02,9.01 07/05/13 China Ginseng Holdings Inc 1.01,2.01,9.01 06/30/13 Cleantech Solutions International, In DE 7.01,9.01 07/02/13 CLEANTECH TRANSIT, INC. 1.01,7.01,9.01 07/05/13 Clearwire Corp /DE DE 8.01,9.01 07/05/13 CNL Growth Properties, Inc. MD 1.01,2.03,9.01 06/28/13 CNL LIFESTYLE PROPERTIES INC MD 8.01 06/10/13 CORELOGIC, INC. DE 1.01,8.01,9.01 06/30/13 CORGENIX MEDICAL CORP/CO CO 1.02 07/01/13 Corporate Resource Services, Inc. DE 2.01,9.01 07/05/13 AMEND COVER ALL TECHNOLOGIES INC DE 5.02,9.01 07/05/13 DEGARO INNOVATIONS CORP. NV 1.01,9.01 07/02/13 Discovery Energy Corp. NY 1.01,2.03,9.01 07/01/13 ECLIPSE IDENTITY RECOGNITION Corp NV 2.01,3.02,5.01, 04/04/13 AMEND 5.02,5.06,9.01 ENBRIDGE ENERGY PARTNERS LP DE 1.01,8.01,9.01 06/28/13 FALCONSTOR SOFTWARE INC DE 5.02,8.01,9.01 04/26/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/02/13 Federal Home Loan Bank of New York X1 2.03,9.01 07/01/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/01/13 Federal Home Loan Bank of San Francis X1 2.03 07/02/13 Federal Home Loan Bank of Seattle 2.03 07/02/13 Federal Home Loan Bank of Topeka 2.03,9.01 07/01/13 First Internet Bancorp IN 1.01,2.03,9.01 06/28/13 FLEXSTEEL INDUSTRIES INC MN 1.01,2.03,9.01 06/28/13 FLOW INTERNATIONAL CORP WA 5.02,9.01 07/01/13 FUTURES PORTFOLIO FUND L.P. MD 3.02 07/01/13 GETTY REALTY CORP /MD/ MD 5.02 06/28/13 Green Ballast, Inc. DE 5.02 06/28/13 GREENLITE VENTURES INC NV 4.01 07/01/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 07/02/13 High Plains Gas, Inc. NV 4.01 07/05/13 HOME BANCORP, INC. LA 5.04,9.01 07/03/13 HUDSON TECHNOLOGIES INC /NY NY 2.02,9.01 07/01/13 Inland American Real Estate Trust, In MD 1.01,9.01 06/29/13 InspireMD, Inc. DE 8.01,9.01 07/03/13 Intcomex, Inc. DE 5.02 06/28/13 InterMetro Communications, Inc. NV 3.02,9.01 06/28/13 INTERNAP NETWORK SERVICES CORP DE 8.01,9.01 07/01/13 JOSHUA GOLD RESOURCES INC NV 8.01 07/05/13 Kearny Financial Corp. X1 4.01,9.01 07/03/13 Kenergy Scientific, Inc. NJ 2.02,2.05 07/04/13 KID BRANDS, INC NJ 1.01,5.02,8.01,9.01 06/30/13 KOSS CORP DE 1.01,9.01 07/03/13 Landmark Apartment Trust of America, 1.01,3.02,3.03, 06/28/13 5.02,5.03,9.01 LEFT BEHIND GAMES INC. WA 7.01,9.01 07/05/13 LIME ENERGY CO. DE 2.04 07/02/13 LOCAL Corp DE 5.02,9.01 07/02/13 lululemon athletica inc. DE 8.01,9.01 07/03/13 LUNA INNOVATIONS INC DE 1.01 06/28/13 MDU COMMUNICATIONS INTERNATIONAL INC DE 1.01,2.03,2.04,8.01 06/30/13 MEADE INSTRUMENTS CORP DE 8.01,9.01 07/05/13 Measurement Specialties Inc NJ 2.02,9.01 07/05/13 Midway Gold Corp A1 7.01,9.01 07/03/13 Mindesta Inc. DE 5.02 07/05/13 MISSION BROADCASTING INC DE 1.01,2.03,9.01 06/28/13 MOBIVITY HOLDINGS CORP. NV 5.02 06/28/13 Morningstar, Inc. IL 7.01 07/05/13 MusclePharm Corp NV 1.01,3.02,5.02,9.01 07/05/13 MV Oil Trust DE 2.02,9.01 07/05/13 NATUS MEDICAL INC DE 1.01,2.03,9.01 06/28/13 NEXSTAR BROADCASTING GROUP INC DE 1.01,2.03,9.01 06/28/13 NOVAVAX INC DE 8.01,9.01 07/02/13 NuZee, Inc. 1.01,2.01,3.02,4.01, 04/19/13 AMEND 5.01,5.02,5.03,5.06,9.01 OMNICARE INC DE 5.02,9.01 07/05/13 Orgenesis Inc. NV 1.01,2.03,3.02,9.01 06/30/13 OVERLAND STORAGE INC CA 3.01 07/02/13 PDK ENERGY INC. MS 1.01,9.01 06/28/13 Petro River Oil Corp. DE 7.01,9.01 07/03/13 AMEND Press Ventures, Inc. 4.01,9.01 07/02/13 PVF CAPITAL CORP OH 5.02 07/01/13 Raptor Pharmaceutical Corp DE 1.01,9.01 07/03/13 RESPECT YOUR UNIVERSE, INC. NV 5.07 06/28/13 Rockville Financial, Inc. /CT/ CT 8.01,9.01 06/28/13 ROTATE BLACK INC NV 5.02 07/02/13 SABINE ROYALTY TRUST TX 2.02,9.01 07/03/13 Sagent Pharmaceuticals, Inc. DE 2.01,9.01 06/04/13 SAIA INC DE 1.01,2.03,9.01 06/28/13 Santa Fe Gold CORP DE 1.01,9.01 06/28/13 Santa Fe Gold CORP DE 1.01,9.01 06/28/13 SCHAWK INC 7.01,9.01 07/05/13 SCIENTIFIC LEARNING CORP DE 5.02,9.01 06/30/13 Scio Diamond Technology Corp NV 1.02,5.02 06/30/13 Select Income REIT MD 2.01 07/02/13 SHERWIN WILLIAMS CO OH 8.01,9.01 07/05/13 Shire plc 8.01,9.01 07/04/13 SOURCE FINANCIAL, INC. 2.01,3.02,3.03, 06/30/13 5.01,5.02,9.01 SPECTRASCIENCE INC MN 5.02 07/03/13 SPRINT NEXTEL CORP KS 8.01,9.01 07/05/13 Summit Materials, LLC DE 5.02 07/01/13 Talon Therapeutics, Inc. DE 5.02,9.01 06/30/13 TENGION INC DE 1.01,2.03,3.02,9.01 06/28/13 TITAN PHARMACEUTICALS INC DE 1.01,9.01 07/02/13 TRANS WORLD ENTERTAINMENT CORP NY 5.07 07/02/13 TREMOR VIDEO INC. DE 1.01,5.03,9.01 07/05/13 TripAdvisor, Inc. DE 5.07 06/28/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/03/13 UNIFIED GROCERS, INC. CA 1.01,2.03,7.01,9.01 06/28/13 UROLOGIX INC MN 1.01,2.03,9.01 06/28/13 Vanport Acquisition I, Corp DE 4.01,9.01 05/08/13 Vanport Acquisition II, Corp DE 4.01,9.01 05/08/13 Vanport Acquisition III, Corp. DE 4.01,9.01 05/08/13 Vanport Acquisition IV, Corp DE 4.01,9.01 05/08/13 Vanport Acquisition V, Corp DE 4.01,9.01 05/08/13 VISTA GOLD CORP B0 7.01,9.01 07/03/13 VIVUS INC CA 5.02,9.01 07/03/13 Vystar Corp GA 4.01,9.01 06/28/13 WAUSAU PAPER CORP. WI 2.01,9.01 06/26/13 AMEND Whitestone REIT TX 5.02 07/05/13