Delinquent Filers' Stock Registrations Revoked
The registrations of the registered securities of Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), Greenstone Resources, Ltd., GST Telecommunications, Inc., GT Group Telecom, Inc., Gulf International Minerals Ltd., Powernova Technologies Corp., 20/20 Wireless, Inc., and 360Networks, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70013)
In the Matter of Advanced ID Corp.
An Administrative Law Judge issued an Order Making Findings and Revoking Registration of Electronic Kourseware International, Inc., by Default (Default Order) in Advanced ID Corp., Admin. Proc. File No. 3-15202. The Default Order finds that the public company had 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. 34-70012)
Former Bristol-Myers Executive Agrees to Settle Insider Trading Charges
The Commission announced today that the Honorable Susan D. Wigenton of the United States District Court for the District of New Jersey entered a judgment approving a $324,777 settlement between the Commission and Robert D. Ramnarine, a former executive at Bristol-Myers Squibb Co., in a case that arose from allegations of insider trading in the securities of three companies that Bristol had targeted for acquisitions between 2010 and 2012.
In its action against Ramnarine, SEC v. Robert D. Ramnarine, 2:12-cv-04837 (D.N.J.), filed on August 2, 2012, the Commission alleged that Ramnarine, a former executive in Bristol's treasury department, misappropriated material nonpublic information relating to Bristol's involvement in evaluating possible acquisitions of ZymoGenetics, Inc., Pharmasset, Inc. and Amylin Pharmaceuticals, Inc. and then traded in stock options of these potential target companies' securities in personal brokerage accounts. Prior to buying Pharmasset call options, the Commission alleged that Ramnarine sought to conceal his unlawful conduct by conducting internet research, using his Bristol computer, to determine whether his option trading would be detected by regulators. In particular, the Commission alleged that Ramnarine ran internet searches using Bristol's computer network for phrases including "can stock option be traced to purchaser," "how to detect can stock option be traced to purchase inside trading," and "illegal insider trading options trace." According to the Commission's complaint, Ramnarine realized ill-gotten gains of at least $311,361 by trading stock options of ZymoGenetics, Pharmasset and Amylin in advance of announcements that those companies would be acquired.
The judgment entered in the Commission's action permanently enjoins Ramnarine from violating Section 17(a) of the Securities Act of 1933 and Sections 10(b) and (14)(e) of the Securities Exchange Act of 1934, and Rules 10b-5 and 14e-3 thereunder, and permanently enjoins Ramnarine from acting as an officer or director of any issuer that has any class of securities registered pursuant to Section 12 of the Exchange Act. The judgment also requires Ramnarine to disgorge $311,361, plus prejudgment interest of $13,061, and requires that funds in a brokerage account controlled by Ramnarine that were frozen by previous order of the Court be transferred to the Commission. Pursuant to the judgment, the Commission may later move the Court to impose a civil penalty against Ramnarine.
The U.S. Attorney's Office for the District of New Jersey filed a parallel criminal action against Ramnarine on August 1, 2012 based on the same facts, U.S. v. Ramnarine, 3:13-cr-00387 (D.N.J.), and on June 10, 2013, Ramnarine pleaded guilty to securities fraud before the Honorable Anne E. Thompson of the United States District Court for the District of New Jersey. Sentencing is scheduled for September 26, 2013.
The Commission acknowledges the assistance of the U.S. Attorney's Office for the District of New Jersey, the Federal Bureau of Investigation, and the Options Regulatory Surveillance Authority.
The Commission's investigation was conducted by Market Abuse Unit staff Paul T. Chryssikos, Senior Counsel, and John S. Rymas, Investigator, in the Philadelphia Regional Office. Daniel M. Hawke, Chief of the Market Abuse Unit, supervised the investigation. Regional Trial Counsel, G. Jeffrey Boujoukos and Senior Trial Counsel, John V. Donnelly, handled the litigation. (LR-22754)
Commission Files Fraud Charges against China Intelligent Lighting and Electronics, Inc.; NIVS IntelliMedia Technology Group, Inc.; and their Sibling CEOs
The Commission today announced that the Commission filed fraud and other related charges against China Intelligent Lighting and Electronics, Inc. (CIL); NIVS IntelliMedia Technology Group, Inc. (NIV); and their respective CEOs, Xuemei Li and, her brother, Tianfu Li. CIL reports that it is a lighting company, and NIV reports that it is a consumer electronic company. Both are located in China.
The Commission alleges that CIL, NIV, and their CEOs engaged in fraudulent schemes to raise and divert offering proceeds, and then attempted to hide the diversions by lying to auditors and making false and materially misleading filings with the Commission. CIL and NIV are U.S. issuers that raised approximately $7.7 million and $21.5 million, respectively, in public registered offerings in the U.S. capital markets in 2010. Thereafter, Xuemei Li, and Tianfu Li diverted those offering proceeds from CIL and NIV contrary to the stated uses of proceeds set forth in the offering documents. Specifically, on June 24, 2010, $7.7 million in offering proceeds was deposited into CIL's Hong Kong bank account. The next day, Xuemei Li transferred approximately $6.8 million, or almost 90%, to a company that has no disclosed relation to CIL, but continued to tell CIL's auditor that the funds remained in the account. Similarly, on April 26, 2010, $21.5 million in offering proceeds was deposited in NIV's Hong Kong bank account. Even though almost all of the money was transferred out of the Hong Kong bank account by May 5, 2010, NIV and Tianfu Li told the company's auditor that the funds continued to be held in the account.
In addition to lying to auditors to mask the diversions, CIL, NIV, and their respective CEOs also falsified bank and accounting records to reflect inflated cash balances, and filed false and misleading quarterly reports on Forms 10-Q with the SEC that contained inflated cash balances. In addition, the defendants filed registration statements signed by the Lis that misled investors about how the offering proceeds would be used.
In its complaint, the Commission alleges that the Defendants violated the antifraud provisions of the securities laws, Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5. The Commission further alleges that Xuemei Li and Tianfu Li lied to the auditors and aided and abetted the companies' violations of the reporting, recordkeeping, and internal controls provisions of the securities laws, including Sections 13(a), 13(b)(2)(A), 13(b)(2) (B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, 13a-13, 13a-14, 13b2-1, and 13b2-2. The Commission seeks permanent injunctive relief to prevent future violations of the federal securities laws, disgorgement of ill-gotten gains with prejudgment interest, civil penalties, officer and director bars, and any other appropriate relief. (LR-22755)
Commission Orders Hearing on Registration Suspension or Revocation against China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc. for Failure to Make Required Periodic Filings
The Commission today instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of China Intelligent Lighting and Electronics, Inc. (CIL) and NIVS IntelliMedia Technology Group, Inc. (NIV). In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that CIL and NIV are delinquent in their required periodic filings with the Commission.
In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division, CIL and NIV 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 CIL or NIV 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. 34-70017)
Commission Approves a Plan of Distribution for the Centaur Management Co. LLC Matter
The Commission announced today that it has approved, as written, a Plan of Distribution (the "Plan") for the Centaur Management Co. LLC matter pursuant to Rule 1104 of the Commission's Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1104. The Plan will distribute a Commission ordered Fair Fund to Class A and Class B Limited Partners of the Argent Classic Convertible Arbitrage Fund L.P. ("Argent Classic"), which was managed by Centaur Management Co. LLC ("Centaur"). According to the Commission's July 17, 2012, Order Instituting Administrative and Cease-and-Desist Proceedings pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Centaur took interest-free loans from its client, Argent Classic, from January 1, 2006, through April 2, 2009, without disclosing the practice to Argent Classic's limited partners (Advisers Act Rel. No. 3432 (July 17, 2012)).
The Plan calls for a distribution of the Commission ordered Fair Fund that is comprised of $172,438 in disgorgement, prejudgment interest of $41,884, and a civil money penalty of $150,000, for a total of $364,322, minus any federal, state, or local taxes and distribution fees and expenses. The Fair Fund will not be distributed pursuant to a claims-made process.
The Commission appointed Gilardi and Co. LLC ("Gilardi"), 3301 Kerner Boulevard San Rafael, CA 94901, as the fund administrator for the distribution of the Fair Fund (Securities Act Rel. No. 69150 (March 15, 2013)). Gilardi will create a website and establish and staff a call center to address investor inquiries. Gilardi will take reasonable steps to calculate distribution amounts, resolve disputes, and distribute the Fair Fund pursuant to a Commission order to disburse.
On May 17, 2013, the Commission issued a Notice of Proposed Plan of Distribution and Opportunity for Comment (the "Notice") pursuant to Rule 1103 of the Commission's Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103 (Exchange Act Rel. No. 69604 (May 17, 2013)). The Notice advised interested parties that they could obtain a copy of the proposed plan of distribution by printing a copy from the Commission's public website or by submitting a written request to Anik A. Shah, United States Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-5631. The Notice also advised that all persons desiring to comment on the Plan could submit their comments, in writing, no later than thirty (30) days from the date of the Notice: a) to the Office of the Secretary, United States Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090; b) by using the Commission's Internet comment form; or c) by sending an e-mail to email@example.com. The Commission received no comments on the Plan. (Rel. 34-70015)
Investment company orders
ING Investments, LLC, et al.
An order has been issued on an application filed by ING Investments, LLC, et al., exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order supersedes a prior order and permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30603)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to CBSX Rule 53.2 (SR- CBOE-2013-074) 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 22nd. (Rel. 34-70011)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-072) 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 22nd. (Rel. 34-70014)
Notice of Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2013-029) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the dissemination of transactions in TRACE-eligible securities that are effected pursuant to Securities Act Rule 144A. Publication is expected in the Federal Register during the week of July 22nd. (Rel. 34-70009)
NYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEArca-2013-70) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade shares of First Trust Inflation Managed Fund. Publication is expected in the Federal Register during the week of July 22nd. (Rel. 34-70008)
Notice of Filing and Immediate Effectiveness of the Nineteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Charges Amendment to the Restated Consolidated Quotation Plan
Pursuant to Rule 608 under the Securities Exchange Act of 1934, the Participants of the Consolidated Tape Association Plan and Consolidated Quotation Plan filed a proposal to amend the Second Restatement of the CTA Plan and Restated CQ Plan (SR-CTA/CQ-2013-04) to simplify the Plans' existing market data fee schedules by compressing the current 14-tier Network A device rate schedule into just 4 tiers, by consolidating the Plans' eight fee schedules into one, and by realigning the Plans' charges more closely with the services the Plans provide, without materially changing the revenues the current fee schedules generate. Publication is expected in the Federal Register during the week of July 22nd.(Rel. 34-70010)
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 ASML HOLDING NV, DE RUN 6501, DR VELDHOVEN, P7, 5504, 31402683000 - 200,000 ($17,438,000.00) Equity, (File 333-190023 - Jul. 19) (BR. 10A) S-4 CONAGRA FOODS INC /DE/, ONE CONAGRA DR, OMAHA, NE, 68102, 4022404000 - 0 ($716,016,000.00) Debt, (File 333-190025 - Jul. 19) (BR. 04B) F-3ASR CRH AMERICA INC, 375 NORTHRIDGE RD, SUITE 350, ATLANTA, GA, 30350, 1770804336 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190026 - Jul. 19) (BR. 06C) S-4 MID AMERICA APARTMENT COMMUNITIES INC, 6584 POPLAR AVE, STE 340, MEMPHIS, TN, 38138, 9016826600 - 0 ($2,143,176,222.00) Equity, (File 333-190027 - Jul. 19) (BR. 08B) S-4 MID AMERICA APARTMENT COMMUNITIES INC, 6584 POPLAR AVE, STE 340, MEMPHIS, TN, 38138, 9016826600 - 0 ($172,714,810.80) Equity, (File 333-190028 - Jul. 19) (BR. 08B) N-2 Ironwood Multi-Strategy Fund LLC, ONE MARKET PL STEUART TWR STE2500, SAN FRANCISCO, CA, 94105, 415-777-2400 - 0 ($1,000,000,000.00) Other, (File 333-190034 - Jul. 19) (BR. 22) S-1 TAURIGA SCIENCES, INC., 39 OLD RIDGEBURY ROAD, DANBURY, CT, 06180, 917-796-9926 - 70,712,385 ($2,538,569.81) Equity, (File 333-190035 - Jul. 19) (BR. 02C) S-4 BFC FINANCIAL CORP, 401 EAST LAS OLAS BLVD, SUITE 800, FORT LAUDERDALE, FL, 33301, 954-940-4900 - 0 ($112,818,692.40) Equity, (File 333-190036 - Jul. 19) (BR. 07B) S-8 PIXELWORKS, INC, 224 AIRPORT PARKWAY, SUITE 400, SAN JOSE, CA, 95110, 408-200-9200 - 0 ($3,270,000.00) Equity, (File 333-190037 - Jul. 19) (BR. 10B) F-3ASR BARCLAYS BANK PLC, 1 CHURCHILL PLACE, CANARY WHARF, LONDON, X0, E14 5HP, 2124124000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190038 - Jul. 19) (BR. 12A) S-8 ADVANCED MICRO DEVICES INC, ONE AMD PL, MS 68, SUNNYVALE, CA, 94088-3453, 4087322400 - 16,500,000 ($71,940,000.00) Equity, (File 333-190039 - Jul. 19) (BR. 10A) S-3ASR MANNKIND CORP, 28903 NORTH AVE PAINE, VALENCIA, CA, 91355, 6617755300 - 12,000,000 ($83,040,000.00) Equity, (File 333-190040 - Jul. 19) (BR. 01B) S-3 UNITED COMMUNITY FINANCIAL CORP, 275 WEST FEDERAL STREET, YOUNGSTOWN, OH, 44503-1203, 3307420500 - 0 ($69,119,478.40) Equity, (File 333-190043 - Jul. 19) (BR. 07C) S-4 DISH DBS CORP, 9601 S. MERIDIAN BLVD., ENGLEWOOD, CO, 80112, 3037231277 - 0 ($2,300,000,000.00) Debt, (File 333-190044 - Jul. 19) (BR. 11C) S-3 STREAMLINE HEALTH SOLUTIONS INC., 1230 PEACHTREE STREET NE, SUITE 1000, ATLANTA, GA, 30309, 404-446-2051 - 0 ($37,500,000.00) Other, (File 333-190045 - Jul. 19) (BR. 03B) S-4 Education Management LLC, 210 SIXTH AVENUE, PITTSBURGH, PA, 15222, 412-562-0900 - 0 ($203,044,423.00) Debt, (File 333-190046 - Jul. 19) (BR. 11C) S-8 TRICO BANCSHARES /, TRICO BANCSHARES, 63 CONSTITUTION DRIVE, CHICO, CA, 95973, 5308980300 - 1,000,000 ($22,680,000.00) Equity, (File 333-190047 - Jul. 19) (BR. 07C) S-3ASR LTC PROPERTIES INC, 2829 TOWNSGATE ROAD, SUITE 350, WESTLAKE VILLAGE, CA, 91361, 805-981-8655 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190048 - Jul. 19) (BR. 08B) S-8 PROFIRE ENERGY INC, 321 SOUTH 1250 WEST, #3, LINDON, UT, 84042, 801-433-2000 - 4,455,000 ($4,994,750.00) Equity, (File 333-190049 - Jul. 19) (BR. 10B) S-3 Real Goods Solar, Inc., 833 WEST SOUTH BOULDER ROAD, LOUISVILLE, CO, 80027, 303-222-3600 - 0 ($25,000,000.00) Unallocated (Universal) Shelf, (File 333-190050 - Jul. 19) (BR. 06B) S-4 MEDIA GENERAL INC, 333 E FRANKLIN ST, RICHMOND, VA, 23219, 8046496000 - 30,555,483 ($325,110,339.12) Equity, (File 333-190051 - Jul. 19) (BR. 11A)
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 AARON'S INC GA 5.02 07/15/13 ACELRX PHARMACEUTICALS INC DE 8.01,9.01 07/18/13 ACME UNITED CORP CT 2.02,9.01 07/19/13 ACTUANT CORP WI 1.01,2.03 07/18/13 ADGS Advisory, Inc. DE 5.03,5.07,8.01,9.01 07/19/13 ADVANCED MICRO DEVICES INC DE 5.02 07/16/13 Advaxis, Inc. DE 5.02,7.01,9.01 07/16/13 Advaxis, Inc. DE 5.07 06/14/13 AMEND AIRWARE LABS CORP. DE 1.01,9.01 07/19/13 Alpha Natural Resources, Inc. DE 1.04 07/15/13 AMERELITE SOLUTIONS, INC. NV 2.01,3.02,5.01, 07/15/13 5.02,9.01 AMERICAN ELECTRIC POWER CO INC NY 1.02,2.03 07/17/13 AMERICAN GREETINGS CORP OH 5.04,9.01 07/19/13 AMERICAN GREETINGS CORP OH 8.01 07/16/13 AMERISERV FINANCIAL INC /PA/ PA 8.01 07/19/13 Ampio Pharmaceuticals, Inc. DE 1.01,5.02,9.01 07/15/13 AmREIT, Inc. MD 1.01,9.01 07/16/13 ANDAIN, INC. NV 4.02 06/10/13 AMEND ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 07/19/13 APACHE CORP DE 5.02,9.01 07/18/13 ARES CAPITAL CORP MD 1.01,2.03,3.02,9.01 07/15/13 ASTRONICS CORP NY 1.01,2.01,2.03,9.01 07/18/13 AUTHENTIDATE HOLDING CORP DE 3.01 07/18/13 AUTOLIV INC DE 1.01,2.02,2.03, 07/16/13 7.01,9.01 BAKER HUGHES INC DE 2.02,7.01,9.01 07/19/13 BANCFIRST CORP /OK/ OK 2.02,9.01 07/18/13 Bank of Marin Bancorp CA 7.01 07/19/13 Bank of Marin Bancorp CA 8.01 07/19/13 Bank of New York Mellon CORP DE 2.02,9.01 07/17/13 BCB BANCORP INC DC 8.01 07/17/13 Behringer Harvard Opportunity REIT II MD 7.01,9.01 07/19/13 Big Clix, Corp. FL 1.01 07/15/13 Big Sky Productions, Inc. NV 4.01 06/17/13 BIODELIVERY SCIENCES INTERNATIONAL IN DE 5.07 07/18/13 BioScrip, Inc. DE 8.01,9.01 07/19/13 Blue Earth, Inc. NV 1.01,2.01,9.01 07/15/13 BMC SOFTWARE INC DE 8.01,9.01 07/18/13 BOISE CASCADE Co DE 1.01 07/19/13 Bonanza Goldfield Corp. NV 1.01,2.03,3.02, 10/01/12 AMEND 7.01,9.01 BOND LABORATORIES, INC. NV 5.07 07/17/13 Business Development Corp of America MD 1.01,9.01 07/18/13 Cape Bancorp, Inc. MD 8.01,9.01 07/19/13 Car Charging Group, Inc. NV 5.02 02/27/12 AMEND Cardium Therapeutics, Inc. DE 8.01,9.01 07/18/13 CEL SCI CORP CO 3.01,8.01 07/18/13 CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 07/17/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 07/18/13 Cheniere Energy Partners, L.P. DE 5.02 07/17/13 China Health Industries Holdings, Inc 4.01,9.01 07/15/13 CHIPOTLE MEXICAN GRILL INC 2.02,9.01 07/18/13 CHS INC MN 3.03,9.01 07/18/13 CHS INC MN 8.01,9.01 07/18/13 CION Investment Corp MD 2.02,5.02,9.01 07/19/13 Clear Channel Outdoor Holdings, Inc. DE 8.01,9.01 07/19/13 CNL Growth Properties, Inc. MD 8.01 07/12/13 COCA COLA CO DE 5.02,9.01 07/18/13 COLONY BANKCORP INC GA 2.02,9.01 07/19/13 CombiMatrix Corp DE 1.01,9.01 07/16/13 COMMITTED CAPITAL ACQUISITION Corp DE 8.01 07/19/13 Compressco Partners, L.P. DE 8.01,9.01 07/19/13 CONAGRA FOODS INC /DE/ DE 8.01,9.01 07/19/13 CONAGRA FOODS INC /DE/ DE 5.02 07/15/13 Contango ORE, Inc. DE 8.01,9.01 07/16/13 CORPORATE OFFICE PROPERTIES TRUST MD 1.01,2.03,9.01 07/16/13 Corporate Resource Services, Inc. DE 8.01,9.01 07/19/13 Corporate Resource Services, Inc. DE 9.01 07/19/13 AMEND CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 07/19/13 CROSSTEX ENERGY INC DE 7.01,9.01 07/19/13 CROSSTEX ENERGY LP DE 7.01,9.01 07/19/13 CrowdGather, Inc. NV 1.01,3.02,9.01 07/16/13 DEGARO INNOVATIONS CORP. NV 5.02 07/16/13 ECO VENTURES GROUP, INC. NV 3.03,5.03,9.01 07/15/13 EDISON INTERNATIONAL CA 1.01,2.03,9.01 07/18/13 Enduro Royalty Trust DE 2.02,9.01 07/19/13 EVOLUTION PETROLEUM CORP NV 7.01 07/19/13 EXAR CORP DE 3.01,9.01 07/15/13 Excel Trust, Inc. MD 8.01,9.01 07/19/13 EXIDE TECHNOLOGIES DE 5.02 07/19/13 Federal Home Loan Bank of Indianapoli X1 5.02,7.01,9.01 07/19/13 FEEL GOLF CO INC CA 1.01,9.01 07/19/13 FIRST CASH FINANCIAL SERVICES INC DE 2.02,3.01,5.02,9.01 07/16/13 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 07/19/13 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 07/19/13 FIRST M&F CORP/MS MS 2.02,7.01,9.01 07/19/13 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 07/18/13 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 07/19/13 FIRST PACTRUST BANCORP INC MD 5.02,5.07,9.01 07/16/13 FIRST REGIONAL BANCORP CA 8.01,9.01 07/15/13 FIRST SOLAR, INC. DE 1.01,9.01 07/15/13 FOREST CITY ENTERPRISES INC OH 1.01,2.03,3.02, 07/15/13 7.01,9.01 FORWARD AIR CORP TN 2.02,9.01 07/18/13 AMEND FriendFinder Networks Inc. NV 1.01,8.01,9.01 07/16/13 FRONTIER OILFIELD SERVICES INC TX 5.02 07/15/13 FS Investment CORP MD 5.07 07/17/13 GameStop Corp. DE 4.01,9.01 07/17/13 Gas Natural Inc. OH 5.02 07/15/13 GENERAC HOLDINGS INC. DE 5.02 07/19/13 GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 07/19/13 GENERAL ELECTRIC CO NY 2.02,9.01 07/19/13 Genufood Energy Enzymes Corp. NV 1.01,9.01 07/11/13 GLIMCHER REALTY TRUST MD 2.02,9.01 07/19/13 GLOBAL MOBILETECH, INC. NV 5.02 07/15/13 Global Telecom & Technology, Inc. DE 5.07 06/13/13 AMEND GNC HOLDINGS, INC. DE 8.01 07/19/13 GOLDEN STAR RESOURCES LTD 7.01,9.01 07/18/13 GOLDMAN SACHS GROUP INC DE 9.01 07/19/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 06/30/13 Great American Group, Inc. DE 1.01,2.03,9.01 07/15/13 GREEN 4 MEDIA, INC. 8.01 07/15/13 GREENE COUNTY BANCORP INC DE 8.01,9.01 07/16/13 GTX INC /DE/ DE 2.02,9.01 07/19/13 HALLIBURTON CO DE 5.03,9.01 07/18/13 HAMPSHIRE GROUP LTD DE 2.02,9.01 07/19/13 HARBINGER GROUP INC. DE 8.01 07/18/13 HEALTH DISCOVERY CORP 2Q 8.01 07/19/13 HELIX ENERGY SOLUTIONS GROUP INC MN 9.01 07/19/13 AMEND HF FINANCIAL CORP DE 5.02 07/15/13 HOLOGIC INC DE 1.01,2.02,5.02, 07/17/13 7.01,9.01 Honda Auto Receivables 2013-3 Owner T DE 1.01,9.01 07/17/13 HONEYWELL INTERNATIONAL INC DE 2.02,9.01 07/19/13 HORIZON BANCORP /IN/ IN 2.02,9.01 07/18/13 HUB GROUP INC DE 2.02,9.01 06/30/13 HUGOTON ROYALTY TRUST TX 2.02,9.01 07/19/13 Hyatt Hotels Corp DE 8.01,9.01 07/15/13 IDENTIVE GROUP, INC. DE 2.02,9.01 07/19/13 Independent Bank Group, Inc. TX 1.01,8.01,9.01 07/18/13 InfuSystem Holdings, Inc DE 8.01,9.01 07/17/13 Ingen Technologies, Inc. 8.01,9.01 07/19/13 Ingersoll-Rand plc L2 2.02,9.01 07/19/13 INLAND REAL ESTATE CORP MD 5.07 07/15/13 International Stem Cell CORP DE 1.01,9.01 07/19/13 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 07/19/13 INTERSIL CORP/DE DE 5.02,9.01 07/19/13 INTUIT INC DE 5.02 07/16/13 JOE'S JEANS INC. DE 1.01,2.02,2.03, 07/15/13 3.02,8.01,9.01 JPMORGAN CHASE & CO DE 5.02 07/18/13 KANSAS CITY SOUTHERN DE 2.02,9.01 07/19/13 KCAP Financial, Inc. DE 8.01,9.01 07/19/13 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 07/15/13 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 07/19/13 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 07/19/13 Live Brands, Inc. DE 3.02,5.01,5.02 05/07/13 LOT78, INC. NV 1.01,2.01,3.02,5.01, 07/17/13 AMEND 5.02,5.03,5.06,8.01,9.01 LRAD Corp DE 5.07 07/17/13 M I HOMES INC OH 1.01,1.02,2.03,9.01 07/18/13 MACK CALI REALTY CORP MD 1.01,9.01 07/17/13 Mallinckrodt plc 5.02 07/18/13 ManpowerGroup Inc. WI 2.02,9.01 07/19/13 Marathon Patent Group, Inc. NV 5.03,8.01,9.01 07/18/13 MARRIOTT INTERNATIONAL INC /MD/ DE 1.01,2.03,9.01 07/18/13 MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 07/18/13 MCDONALDS CORP DE 7.01,9.01 07/18/13 MERCHANTS BANCSHARES INC DE 8.01,9.01 07/18/13 META GOLD, INC. NV 3.03,9.01 07/19/13 MetroCorp Bancshares, Inc. TX 2.02,9.01 07/19/13 MICRON TECHNOLOGY INC DE 5.02,5.03,9.01 07/17/13 MILAGRO OIL & GAS, INC. DE 1.02 07/10/13 MILLER HERMAN INC MI 5.02 07/15/13 MIMEDX GROUP, INC. FL 8.01,9.01 07/15/13 Molecular Pharmacology (USA) Ltd. NV 1.01,9.01 07/19/13 MOSAIC CO 2.02,9.01 07/16/13 MoSys, Inc. DE 2.02,9.01 07/19/13 MVB FINANCIAL CORP WV 5.02 07/16/13 NANOVIRICIDES, INC. NV 7.01,9.01 07/19/13 NeoStem, Inc. DE 5.02,8.01,9.01 07/15/13 NETSOL TECHNOLOGIES INC NV 5.07 07/19/13 NEW ENGLAND REALTY ASSOCIATES LIMITED MA 1.01,2.01,9.01 07/15/13 New Enterprise Stone & Lime Co., Inc. DE 1.01,5.02,9.01 07/17/13 NEWPORT CORP NV 1.01,1.02,2.03, 07/18/13 7.01,9.01 NEWTEK BUSINESS SERVICES, INC. NY 1.01,2.03,9.01 07/16/13 NUMBEER, INC. NV 2.01,9.01 07/18/13 OBJ Enterprises, Inc. FL 4.01,9.01 07/19/13 OCEANFIRST FINANCIAL CORP DE 2.02,8.01,9.01 07/18/13 OCZ TECHNOLOGY GROUP INC DE 3.01,9.01 07/19/13 PACIFIC MERCANTILE BANCORP CA 5.07 06/05/13 AMEND Park Place Energy Corp. NV 1.01,3.02,9.01 07/12/13 AMEND People's United Financial, Inc. DE 2.02,7.01,9.01 07/18/13 PMC COMMERCIAL TRUST /TX TX 3.01,8.01,9.01 07/17/13 POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 07/18/13 Propell Technologies Group, Inc. DE 7.01,9.01 07/18/13 PROSPER MARKETPLACE INC DE 5.02,8.01 07/19/13 pSivida Corp. DE 1.01,7.01,9.01 07/18/13 PUB CRAWL HOLDINGS, INC. NV 1.01 07/19/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 5.02,9.01 07/15/13 QUESTAR GAS CO UT 2.03 07/19/13 Rango Energy, Inc. NV 1.01,9.01 07/15/13 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,2.03,9.01 07/15/13 RLI CORP IL 7.01,9.01 07/18/13 ROCKWELL COLLINS INC DE 2.02,7.01,9.01 07/19/13 RTI Biologics, Inc. DE 1.01,2.01,2.03,3.02, 07/15/13 3.03,5.02,5.03,8.01,9.01 RYDER SYSTEM INC FL 9.01 07/19/13 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 07/19/13 Sandgate Acquisition Corp DE 5.03 07/19/13 SCBT FINANCIAL CORP SC 8.01 07/19/13 SCHLUMBERGER LTD /NV/ P8 2.02,7.01,9.01 07/19/13 SearchCore, Inc. NV 1.01,3.02 07/15/13 Shire plc 8.01,9.01 07/19/13 SMITHFIELD FOODS INC VA 8.01,9.01 07/19/13 SOHU COM INC DE 8.01,9.01 07/19/13 SOLITARIO EXPLORATION & ROYALTY CORP. CO 1.01,3.02,9.01 07/15/13 SPECTRUM PHARMACEUTICALS INC DE 1.01,2.01,3.02,8.01,9.01 07/16/13 SpendSmart Payments Co CO 3.02 07/15/13 Standard Drilling, Inc. 1.01,2.01,3.02,4.01, 07/19/13 AMEND 5.01,5.02,5.06,9.01 Standard Financial Corp. MD 2.02,8.01,9.01 07/18/13 STATE STREET CORP MA 2.02,9.01 07/19/13 STEEL DYNAMICS INC IN 2.02,9.01 07/17/13 STERLING BANCORP NY 8.01 07/19/13 STREAMLINE HEALTH SOLUTIONS INC. DE 8.01,9.01 07/19/13 STRUCTURED PRODUCTS CORP TIERS PRI PR DE 8.01,9.01 07/15/13 SUNTRUST BANKS INC GA 2.02,7.01,9.01 07/19/13 Swingplane Ventures, Inc. NV 9.01 07/19/13 AMEND SYNALLOY CORP DE 2.02,9.01 07/19/13 Tallgrass Energy Partners, LP DE 7.01,9.01 07/18/13 Talon Therapeutics, Inc. DE 1.01,1.02,2.01,3.02, 07/16/13 3.03,5.01,5.02,5.03,9.01 TELECOMMUNICATION SYSTEMS INC /FA/ MD 1.01,9.01 07/16/13 TENGION INC DE 5.07 07/15/13 TEXAS INSTRUMENTS INC DE 5.02 07/18/13 TIME WARNER INC. DE 9.01 07/17/13 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 07/19/13 TransCoastal Corp DE 4.01,9.01 07/15/13 Trident Brands Inc NV 8.01 07/09/13 Trovagene, Inc. DE 5.07 07/18/13 TRUE RELIGION APPAREL INC DE 7.01 07/19/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/19/13 Ubiquity Broadcasting Corp NV 8.01,9.01 07/19/13 UPSTREAM BIOSCIENCES INC. NV 1.01,5.03,9.01 07/19/13 USA Compression Partners, LP 5.02,9.01 07/15/13 V F CORP PA 2.02,7.01,9.01 07/19/13 VEECO INSTRUMENTS INC DE 8.01,9.01 07/17/13 VERIFONE SYSTEMS, INC. DE 1.01,9.01 07/19/13 VIDABLE, INC. NV 4.01,9.01 07/08/13 VIVUS INC CA 1.01,9.01 07/18/13 Westinghouse Solar, Inc. DE 1.02,5.02,8.01 07/15/13 Wheeler Real Estate Investment Trust, MD 8.01,9.01 07/18/13 WHIRLPOOL CORP /DE/ DE 2.02,9.01 07/19/13 WHITING PETROLEUM CORP DE 2.01,2.02,9.01 07/15/13 WINTRUST FINANCIAL CORP IL 3.02 07/19/13 WISCONSIN ENERGY CORP WI 8.01 07/18/13 XCEL ENERGY INC MN 8.01 07/17/13