U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission


Issue 2013-130
July 9, 2013

Commission announcements

The Securities and Exchange Commission (Commission) issued a notice requesting comments on a proposal to revise two existing Privacy Act systems of records, "Freedom of Information and Privacy Act Requests (SEC-24)", which is used by Commission staff to process FOIA and Privacy Act requests and appeals and to prepare reports to the Department of Justice, the Office of Management and Budget, and other oversight entities on the Commission's FOIA and PA activities and "Backup Care Employee and Family Records (SEC-66)," which contains records of current SEC employees who voluntarily sign up for backup care benefits and their family members for whom care is needed. Publication is expected in the Federal Register during the week of July 8th. (Rel. PA-50)


Commission Orders Hearing on Registration Suspension or Revocation against Five Public Companies for Failure to Make Required Periodic Filings

Today, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of five companies for failure to make required periodic filings with the Commission:

  • Gadzoox Networks, Inc. (n/k/a West Coast Venture Capital, Inc.)

  • Gateway Data Sciences Corp.

  • Gem International USA, Inc.

  • Genus International Corp.

  • GenuTec Business Solutions, Inc.

In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69946; File No. 3-15371)

Commission Obtains Final Judgment against Miami Attorney Stewart A. Merkin

On July 1, 2013, the Honorable Donald L. Graham, United States District Judge for the Southern District of Florida, signed the final judgment against Stewart A. Merkin in a civil action filed on October 3, 2011. Merkin is an attorney in Miami, Florida.

The Commission's Complaint alleged that Merkin violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder by writing four letters that falsely stated that his client, StratoComm Corporation, was not under investigation for violations of the securities laws. It alleged that Merkin knew that his statements were false because he was representing StratoComm and several individuals in the Commission's investigation of the company. It alleged that Merkin authorized his letters to be posted on the website maintained by Pink Sheets LLC.

On October 3, 2012, the Court granted the Commission's motion for summary judgment on liability. Merkin consented to the entry of a final judgment that: (i) orders him to pay a total of $125,000 in disgorgement, prejudgment interest and a civil penalty; (ii) imposes a permanent injunction; and (iii) imposes a permanent penny stock bar. Merkin retained his right to appeal from the Court's ruling on summary judgment with respect to liability. (Rel. LR-22746)

In the Matter of Matthew M. Taylor

The Commission announced today the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Matthew M. Taylor based on his criminal conviction. (Rel. 34-69949; File No. 3-15372)

In the Matter of Joseph J. Hennessy

The Commission announced the issuance of an Order InstitutingAdministrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions(Order) against Joseph J. Hennessy (Hennessy).

The Order finds that Hennessy is a co-principal of Resources Planning Group, Inc., an investment adviser registered with the Commission. The Order also finds that on May 7, 2013, a judgment was entered by consent against Hennessy, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206-4(8)(a)(1) thereunder in the civil action entitled Securities and Exchange Commission v. Resources Planning Group, Inc. and Joseph J. Hennessy, Number 12-CV-9509, in the United States District Court for the Northern District of Illinois (District Court Litigation).

The Commission's complaint in the District Court Litigation alleges that between at least February 2007 and April 2012, in connection with the sale of promissory notes and units in the Midwest Opportunity Fund, LLC ("MOF"), a private equity fund that Hennessy co-founded in 2004, Hennessy made misrepresentations about the nature and prospects of the MOF investment and failed to inform investors about the existence of MOF promissory notes that Hennessy had personally guaranteed. The complaint also alleges that Hennessy misappropriated investor funds to make MOF debt payments, and otherwise engaged in a variety of conduct which operated as a fraud and deceit on investors.

Based on the above, the Order bars Hennessy from being associated with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Hennessy from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Hennessy consented to the issuance of the Order without admitting or denying any of the findings in the Order, except Hennessy admits the entry of the permanent injunction against him in the District Court Litigation.

The Order finds that on April 3, 2013, Taylor, a former registered representative of Goldman, Sachs & Co. (Goldman), a broker-dealer and investment adviser registered with the Commission, pled guilty to one count of wire fraud in violation of Title 18 United States Code, Section 1343 before the United States District Court for the Southern District of New York, in United States v. Matthew Taylor, Crim. Information No. 1:13-CR-00251 (WHP). According to the Commission's Order, in December 2007, Taylor willfully and knowingly devised and executed a scheme to accumulate and then conceal an unauthorized $8.3 billion position in a trading account he managed at Goldman, resulting in significant losses to Goldman. The Commission's Order further finds that in order to restore his professional reputation and increase his performance-based compensation at Goldman, Taylor concealed those trading loses by fabricating trades to Goldman's internal systems.

Based on the above, the Order bars Taylor from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and barred from participating in any offering of a penny stock. Taylor consented to the issuance of the Order. (Rel. 34-69950; File No. 3-15373)

Canadian Court Enforces U.S. Judgment Award in Market Manipulation Case against William Todd Peever and Phillip James Curtis

The Commission today announced that on June 20, 2013, the Honorable Justice Peter J. Rogers of the Supreme Court of British Columbia, Canada granted summary judgment in favor of the Commission to recognize and enforce judgments previously entered in U.S. District Court for the Southern District of New York against William Todd Peever ("Peever") and Phillip James Curtis ("Curtis"), both of whom are Canadian citizens residing in British Columbia. Those U.S. judgments held Peever and Curtis jointly and severally liable for $2,894,537.48 in disgorgement and $1,611,998.18 in prejudgment interest for their respective roles in a fraudulent scheme to manipulate the stock price of SHEP Technologies, Inc. ("SHEP") f/k/a Inside Holdings Inc. ("IHI"), whose shares traded on the Over-the-Counter Bulletin Board.

The Commission's complaint in SEC v. Brian N. Lines, et al., 1:07-CV-11387 (DLC) (S.D.N.Y. Dec. 19, 2007), filed in U.S. federal court, had alleged, in pertinent part, that during 2002 and 2003, defendants Peever and Curtis, together with certain co-defendants, engaged in a scheme to secretly obtain control of the publicly traded shell company IHI, through use of nominees. The scheme involved merging IHI with a private company to form SHEP, secretly paying touters to promote the IHI/SHEP stock, and then selling SHEP stock into the ensuing demand. During the first half of 2003, Peever, Curtis, and certain other defendants sold over 3 million SHEP shares into this artificially-stimulated demand, generating about $4.3 million in illegal proceeds. As part of the scheme, Peever and Curtis failed to file required reports with the Commission regarding their beneficial ownership of IHI and SHEP stock to conceal that they, among others, owned substantial positions in, and had been selling, SHEP stock.

Curtis and Peever challenged the Commission's attempt to enforce the U.S. court judgments in Canada by contending: (1) the judgments had been procured by fraud; and (2) that the disgorgement award was penal in nature and, therefore, could not be recognized under Canadian law. The Canadian court rejected both of the Defendants' arguments, and held that there was no basis to bar enforcement of the judgments against the Defendants in Canada.

[SEC v. Brian N. Lines, Scott G.S. Lines, LOM (Holdings) Ltd., Lines Overseas Management Ltd., LOM Capital Ltd., LOM Securities (Bermuda) Ltd., LOM Securities (Cayman) Ltd., LOM Securities (Bahamas) Ltd., Anthony W. Wile, Wayne E. Wile, Robert J. Chapman, William Todd Peever, Phillip James Curtis and Ryan Leeds, Civil Action No. 1:07-CV-11387 (DLC) (S.D.N.Y., filed Dec.17, 2007)] (LR-22745).

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by The NASDAQ Stock Market LLC to conform Rule 5705 governing Exchange Traded Funds to the listing standards of another market (SR-NASDAQ-2013-094) 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. 34-69928)

A proposed rule change (SR-MIAX-2013-31) filed by Miami International Securities Exchange LLC to adopt a Priority Customer rebate program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of July 8th. (Rel. 34-69947)

Approval of a Proposed Rule Change

The Commission approved a proposed rule change (SR-CBOE-2013-041), as modified by Amendment Nos. 1 and 2 thereto, submitted by the Chicago Board Options Exchange, Incorporated, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend CBOE Rule 6.53(u), relating to Qualified Contingent Cross Orders. Publication is expected in the Federal Register during the week of July 8th. (Rel. 34-69948)

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.

        703-226-3500 - 0 ($100,000,000.00) Equity, (File 333-189837 - Jul. 8) 
        (BR. 03A)

        30328, 770-375-2300 - 
        0 ($115,000,000.00) Limited Partnership Interests, (File 333-189838 - 
        Jul. 8) (BR. 09)

S-1     Black Rock Petroleum Co, 1361 PELTIER DRIVE, POINT ROBERTS, WA, 98281, 
        (403) 708-2523 - 120,850,000 ($12,085.00) Equity, (File 333-189839 - 
        Jul. 8) (BR. )

S-1     Ignite Restaurant Group, Inc., 9900 WESTPARK DRIVE, SUITE 300, HOUSTON, 
        TX, 77063, (713) 336-7500 - 0 ($80,000,000.00) Equity, 
        (File 333-189840 - Jul. 8) (BR. 05A)

        831-274-6500 - 0 ($120,000,000.00) Equity, (File 333-189841 - Jul. 8) 
        (BR. 05A)

S-3ASR  NGL Energy Partners LP, 6120 S. YALE, SUITE 805, TULSA, OK, 74136, 
        918.481.1119 - 0 ($0.00) Other, (File 333-189842 - Jul. 8) (BR. 02A)

S-1     Canwealth Minerals Corp, 1376 PERROT BLVD, ILE PERROT, A8, J7V7P2, 
        (514) 425-2020 - 15,000,000 ($1,500,000.00) Equity, (File 333-189845 - 
        Jul. 8) (BR. 07)

        DYCE, ABDERDEEN, X0, AB21 7HG, 44 1224-401600 - 
        266,596,633 ($10,154,665,750.97) Equity, (File 333-189846 - Jul. 8) 
        (BR. )


Recent 8K Filings

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

99 CENTS ONLY STORES                    CA       7.01,9.01            07/08/13

A. H. Belo Corp                         DE       2.01                 07/02/13

AGILYSYS INC                            OH       2.01,9.01            07/01/13

ALCO STORES INC                         KS       5.02,7.01,9.01       07/01/13

Alon Refining Krotz Springs, Inc.       DE       1.01                 07/01/13

AMARIN CORP PLC\UK                      X0       8.01                 07/08/13

American Caresource Holdings, Inc.      DE       5.02                 07/01/13

American Casino & Entertainment Prope   DE       1.01,2.03,8.01,9.01  07/03/13

AMERICAN DG ENERGY INC                  DE       8.01,9.01            07/08/13

American Realty Capital Properties, I   MD       8.01,9.01            07/01/13

AMPHENOL CORP /DE/                      DE       1.01,9.01            07/08/13

ANAVEX LIFE SCIENCES CORP.              NV       1.01,3.02,		 07/08/13

ANNALY CAPITAL MANAGEMENT INC           MD       8.01,9.01            07/08/13

ANWORTH MORTGAGE ASSET CORP             MD       3.03,8.01,9.01       07/08/13

AOL Inc.                                DE       1.01,2.03,7.01       07/01/13

Arch Therapeutics, Inc.                 NV       5.02,9.01            07/08/13

Armco Metals Holdings, Inc.             NV       5.03,5.07,9.01       07/02/13

ASSISTED LIVING CONCEPTS INC            NV       8.01,9.01            07/08/13

AVNET INC                               NY       8.01,9.01            07/08/13

AVT, Inc.                               NV       1.01,3.02,9.01       07/02/13

B&G Foods, Inc.                         DE       1.01,2.03,8.01,9.01  07/03/13

Baltic Trading Ltd                      1T       1.01,7.01,9.01       07/02/13

Baltic Trading Ltd                      1T       7.01                 07/08/13

BECTON DICKINSON & CO                   NJ       5.02,9.01            06/28/13

BIOSPECIFICS TECHNOLOGIES CORP          DE       7.01,9.01            07/08/13

BROADWAY FINANCIAL CORP \DE\            DE       3.01,9.01            07/03/13

BROWN & BROWN INC                       FL       2.01,5.02,7.01,9.01  07/01/13

BURZYNSKI RESEARCH INSTITUTE INC        DE       5.02                 07/03/13

CALLIDUS SOFTWARE INC                   DE       5.02                 07/01/13

CapLease, Inc.                                   8.01,9.01            07/08/13

Chemtura CORP                           DE       8.01,9.01            07/08/13

CHESAPEAKE ENERGY CORP                  OK       5.02,7.01,8.01,9.01  07/01/13

CHURCH & DWIGHT CO INC /DE/             DE       5.02                 07/02/13

CITIGROUP INC                           DE       5.02,9.01            07/04/13

CMS ENERGY CORP                         MI       7.01,9.01            07/08/13

CNL Healthcare Properties, Inc.         MD       2.01,9.01            07/01/13

CNL LIFESTYLE PROPERTIES INC            MD       2.01,9.01            07/01/13

Coeur Mining, Inc.                      DE       7.01,9.01            07/08/13

Compass Diversified Holdings            DE       8.01,9.01            07/08/13

COMPUTER TASK GROUP INC                 NY       7.01,9.01            07/08/13

Consumer Capital Group, Inc.                     4.01,9.01            07/03/13

CorMedix Inc.                           DE       8.01,9.01            07/05/13

CROSSTEX ENERGY INC                     DE       7.01,9.01            07/08/13

CROSSTEX ENERGY LP                      DE       7.01,9.01            07/08/13

CYTEC INDUSTRIES INC/DE/                DE       8.01,9.01            07/08/13

CYTOKINETICS INC                                 8.01                 07/08/13

DAVITA HEALTHCARE PARTNERS INC.         DE       5.02,9.01            07/05/13

DAYSTAR TECHNOLOGIES INC                DE       5.02,9.01            07/08/13

DEAN FOODS CO                           DE       1.01,1.02,2.03,9.01  07/02/13

DEFENSE INDUSTRIES INTERNATIONAL INC             1.01,2.01,2.03,9.01  07/08/13

DEX MEDIA, INC.                         DE       2.01,9.01            04/29/13    AMEND

Diamond Resorts Corp                    MD       1.01,9.01            07/01/13

DOVER DOWNS GAMING & ENTERTAINMENT IN   DE       7.01,9.01            07/03/13

DOVER MOTORSPORTS INC                   DE       7.01,9.01            07/03/13

DYNAVAX TECHNOLOGIES CORP               DE       5.02,9.01            07/03/13

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01,9.01            07/08/13

EARTHSTONE ENERGY INC                   DE       7.01,9.01            07/08/13

ENCORE CAPITAL GROUP INC                DE       1.01,2.01            07/01/13

EveryWare Global, Inc.                  DE       3.01                 07/03/13

EWaste Systems, Inc.                    NV       1.01,9.01            07/02/13

EXA CORP                                MA       7.01,9.01            07/08/13

EXCO RESOURCES INC                      TX       1.01,7.01,9.01       07/02/13

Federal Home Loan Bank of Boston        X1       2.03                 07/02/13

FIRST INTERSTATE BANCSYSTEM INC         MT       5.02,9.01            07/08/13

FIRST PACTRUST BANCORP INC              MD       8.01,9.01            07/02/13

FIRST SOUTH BANCORP INC /VA/            VA       8.01                 06/28/13

Forbes Energy Services Ltd.             D0       1.01,3.03,9.01       07/08/13

FOREST CITY ENTERPRISES INC             OH       1.01,2.03,9.01       07/03/13

Fortress Investment Group LLC           DE       7.01                 07/08/13

Freescale Semiconductor, Ltd.           D0       8.01                 07/08/13

Frontier Beverage Company, Inc          NV       5.01,5.02,9.01       07/01/13

Frozen Food Gift Group, Inc             DE       1.01                 07/01/13

GARDNER DENVER INC                      DE       7.01,9.01            07/08/13

GELTOLOGY INC                           DE       5.02,9.01            07/01/13

GENELINK INC                            PA       5.02                 07/01/13

Gigamon Inc.                            DE       1.01,2.03            07/02/13

GP STRATEGIES CORP                      DE       1.01,8.01,9.01       07/02/13

Graystone Co                            DE       8.01                 07/08/13

GREENE COUNTY BANCORP INC               DE       4.01,9.01            07/08/13

GRYPHON GOLD CORP                       NV       7.01,9.01            07/05/13

GSE Holding, Inc.                       DE       5.02,9.01            07/01/13

GWG Holdings, Inc.                      DE       1.01,1.02,9.01       06/28/13

HASBRO INC                              RI       8.01,9.01            07/08/13

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       8.01                 07/08/13

HCP, INC.                               MD       5.02,7.01,9.01       07/02/13

HEALTH CARE REIT INC /DE/               DE       2.01,9.01            07/01/13

HEALTH MANAGEMENT ASSOCIATES, INC       DE       8.01                 07/08/13

HEALTHWAYS, INC                         DE       1.01,2.03,3.02,9.01  07/08/13

HOME LOAN SERVICING SOLUTIONS, LTD.     E9       2.01,2.03,9.01       07/01/13

HOME PROPERTIES INC                     MD       8.01,9.01            07/08/13

HomeStreet, Inc.                        WA       7.01,9.01            07/08/13

HOPFED BANCORP INC                      DE       5.02,9.01            07/01/13

InfuSystem Holdings, Inc                DE       5.02,9.01            07/01/13

Intellicell Biosciences, Inc.           NV       3.02                 07/05/13

Intellicheck Mobilisa, Inc.             DE       8.01                 07/08/13

ISC8 INC. /DE                           DE       5.07                 06/04/13    AMEND

ISSUER DIRECT CORP                               5.02,9.01            07/03/13

IVANHOE ENERGY INC                               7.01,9.01            07/08/13

KNIGHT CAPITAL GROUP, INC.              DE       2.03,3.01,3.03,	 07/01/13

L3 CORP                                 DE       3.03,5.03,9.01       07/08/13

Landmark Apartment Trust of America,             1.01,2.01,2.03,	 07/01/13

LAYNE CHRISTENSEN CO                    DE       5.02,9.01            07/02/13

Lender Processing Services, Inc.        DE       8.01,9.01            07/07/13

LILLY ELI & CO                          IN       5.02,9.01            07/08/13

LINCOLN NATIONAL CORP                   IN       5.03                 07/03/13

MAKO Surgical Corp.                     DE       5.02,9.01            07/03/13

MALVERN BANCORP, INC.                   PA       4.01,9.01            07/02/13

MEDIABISTRO INC.                        DE       1.01,3.03,5.03,9.01  07/03/13

MEXICO FUND INC                         MD       7.01,9.01            06/30/13

MIKROS SYSTEMS CORP                     DE       4.01,9.01            07/03/13

Monster Offers                          NV       1.01                 06/14/13

MPG Office Trust, Inc.                           7.01,9.01            07/08/13

MSB FINANCIAL CORP.                     X1       4.01,9.01            07/02/13

MSC INDUSTRIAL DIRECT CO INC            NY       2.01,9.01            04/22/13    AMEND

NANOVIRICIDES, INC.                     NV       7.01,9.01            07/02/13

Nationstar Mortgage Holdings Inc.       DE       1.01                 07/01/13

NATUS MEDICAL INC                       DE       2.02,9.01            07/08/13

NEUSTAR INC                                      7.01,9.01            07/08/13

NEWMARKET CORP                          VA       2.01,9.01            07/02/13

Niska Gas Storage Partners LLC          DE       7.01,9.01            07/08/13

NOVAVAX INC                             DE       8.01,9.01            07/08/13

OAK RIDGE MICRO-ENERGY INC              CO       1.01,3.02,5.02,9.01  07/01/13

OCWEN FINANCIAL CORP                    FL       2.01,9.01            07/01/13

OFFICE DEPOT INC                        DE       5.02,8.01            07/05/13

ORTHOFIX INTERNATIONAL N V                       1.01,9.01            07/01/13

PennantPark Floating Rate Capital Ltd            7.01,9.01            07/08/13

PENNANTPARK INVESTMENT CORP                      7.01,9.01            07/08/13

PENNYMAC FINANCIAL SERVICES, INC.       DE       1.01,2.03,9.01       07/02/13

PHAZAR CORP                             DE       8.01,9.01            07/08/13

PICO HOLDINGS INC /NEW                  CA       7.01                 07/08/13

PMC COMMERCIAL TRUST /TX                TX       1.01,7.01,9.01       07/08/13

POLYMER GROUP INC                       DE       5.02                 07/01/13

PostRock Energy Corp                    DE       3.02                 07/01/13

Power REIT                              MD       9.01                 07/08/13

PROOFPOINT INC                          DE       5.02                 07/02/13

Pzena Investment Management, Inc.       DE       8.01,9.01            06/30/13

QCR HOLDINGS INC                        DE       8.01,9.01            07/08/13

RCS Capital Corp                        DE       8.01,9.01            07/08/13

REDFIN NETWORK, INC.                    NV       1.01,2.03,5.02,9.01  06/10/13

REGIONS FINANCIAL CORP                  DE       7.01                 07/08/13

RITE AID CORP                           DE       8.01                 07/05/13

ROBERTS REALTY INVESTORS INC            GA       8.01                 07/01/13

SAExploration Holdings, Inc.            DE       7.01,9.01            07/08/13

SAExploration Holdings, Inc.            DE       4.01,9.01            06/24/13    AMEND

SAVE THE WORLD AIR INC                  NV       5.02,5.03,8.01,9.01  07/03/13

SCANSOURCE INC                          SC       9.01                 07/08/13

Searchlight Minerals Corp.              NV       7.01,9.01            07/08/13

SED INTERNATIONAL HOLDINGS INC          2Q       5.02                 07/03/13

SERVICE CORPORATION INTERNATIONAL       TX       1.01,2.03,9.01       07/02/13

Shengkai Innovations, Inc.              FL       3.01                 07/02/13

Shire plc                                        8.01,9.01            07/08/13

SLM Student Loan Trust 2006-7           DE       8.01,9.01            07/08/13

SMITH & WESSON HOLDING CORP             NV       5.02                 07/02/13

SORL Auto Parts Inc                     DE       4.01,9.01            07/01/13

SOTHEBYS                                DE       5.02                 07/01/13

SOUTH JERSEY INDUSTRIES INC             NJ       7.01,9.01            07/08/13

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       5.02                 07/08/13

SPRINT NEXTEL CORP                      KS       8.01,9.01            07/08/13

Starburst II, Inc.                      DE       8.01,9.01            07/05/13

STEPAN CO                               DE       5.02,9.01            07/08/13

STURM RUGER & CO INC                    DE       8.01,9.01            07/08/13

TENGASCO INC                            TN       8.01,9.01            07/08/13

TIBCO SOFTWARE INC                      DE       5.02,9.01            07/08/13

Timberline Resources Corp               DE       7.01,9.01            07/03/13

TOMI Environmental Solutions, Inc.      FL       5.02,9.01            07/08/13

TRAC Intermodal LLC                     DE       8.01,9.01            07/08/13

TRC COMPANIES INC /DE/                  DE       5.02                 07/01/13

Tropicana Las Vegas Hotel & Casino, I   DE       5.02,9.01            07/08/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            07/08/13

UIL HOLDINGS CORP                       CT       8.01                 07/08/13

United Continental Holdings, Inc.       DE       8.01,9.01            07/08/13

United Financial Bancorp, Inc.                   8.01,9.01            07/08/13

UNIVERSAL SECURITY INSTRUMENTS INC      MD       1.01,9.01            07/03/13

Vanity Events Holding, Inc.             DE       1.01,9.01            07/02/13

VERDE RESOURCES, INC.                   NV       1.01                 06/30/13

VIRGIN MEDIA INC.                       DE       7.01                 07/01/13

VIVUS INC                               CA       8.01                 07/01/13

VOICESERVE INC                          DE       5.02                 06/26/13

WD 40 CO                                DE       2.02,9.01            07/08/13

WESBANCO INC                            WV       2.02,9.01            07/08/13

WEYERHAEUSER CO                         WA       9.01                 07/08/13

WHITE MOUNTAIN TITANIUM CORP            NV       7.01,9.01            07/03/13

WHITE MOUNTAIN TITANIUM CORP            NV       5.03,8.01,9.01       07/02/13

Win Global Markets, Inc.                NV       5.02                 07/08/13

WISCONSIN ENERGY CORP                   WI       7.01,9.01            07/08/13

WMX Group Holdings, Inc.                FL       1.01,2.01,3.02,	 04/29/13    AMEND

WOUND MANAGEMENT TECHNOLOGIES, INC.     TX       1.01,9.01            06/21/13

WYNN RESORTS LTD                                 8.01                 07/02/13

X-Factor Communications Holdings, Inc   DE       1.01,3.02,5.02,9.01  07/01/13

XCEL ENERGY INC                         MN       8.01                 07/03/13

Zep Inc.                                DE       7.01                 07/08/13


Modified: 07/10/2013