Fee Rate Advisory #1 for Fiscal Year 2014
The Securities and Exchange Commission (Commission) today announced that in fiscal year 2014, the fees that public companies and other issuers pay to register their securities with the Commission will be set at $128.80 per million dollars.
The Commission determined this new rate in accordance with procedures required under the securities laws. Accordingly, the Commission consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustment.
The securities laws require the Commission to make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934. The Commission must set rates for the fees paid under Section 6(b) to levels that the Commission projects will generate collections equal to annual statutory target amounts. The statutory target amount for fiscal year 2014 is $485 million. The annual adjustment to the fee rate under Section 6(b) also sets the annual adjustment to the fee rates under Sections 13(e) and 14(g).
Under changes made by the Dodd-Frank Act, the annual rate changes for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 must take effect on the first day of each fiscal year. Therefore, effective Oct. 1, 2013, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and statements in corporate control transactions will decrease from $136.40 per million dollars to $128.80 per million dollars. The Section 6(b) rate is also the rate used to calculate the fees payable with the Annual Notice of Securities Sold Pursuant to Rule 24f-2 under the Investment Company Act of 1940.
The Commission will issue further notices as appropriate to keep the public informed of the effective date of the fee rate changes under Section 6(b), Section 13(e) and Section 14(g). These notices will be posted at the SEC's Internet website at www.sec.gov. (Press Rel. 2013-170; Rel. Nos. 33-9447; 34-70298)
Commission Charges San Diego-Based Investment Adviser in Cherry-Picking and Soft Dollar Schemes
The Commission today announced charges against a San Diego-based investment advisory firm and its president for allegedly steering winning trades to favored clients and lying about how certain money was being spent.
The SEC' Enforcement Division alleges that J.S. Oliver Capital Management and Ian O. Mausner engaged in a cherry-picking scheme that awarded more profitable trades to hedge funds in which Mausner and his family had invested. Meanwhile they doled out less profitable trades to other clients, including a widow and a charitable foundation. The disfavored clients suffered approximately $10.7 million in harm.
The SEC' Enforcement Division further alleges that Mausner and J.S. Oliver misused soft dollars, which are credits or rebates from a brokerage firm on commissions paid by clients for trades executed in the investment adviser' client accounts. If appropriately disclosed, an investment adviser may retain the soft dollar credits to pay for expenses, including a limited category of brokerage and research services that benefit clients. However, Mausner and J.S. Oliver misappropriated more than $1.1 million in soft dollars for undisclosed purposes that in no way benefited clients, such as a payment to Mausner' ex-wife related to their divorce.
"Mausner' fraudulent schemes were a one-two punch that betrayed his clients and cost them millions of dollars," said Marshall S. Sprung, Co-Chief of the SEC Enforcement Division' Asset Management Unit. "Investment advisers must allocate trades and use soft dollars consistent with their fiduciary duty to put client interests first."
The SEC also charged Douglas F. Drennan, a portfolio manager at J.S. Oliver, for his role in the soft dollar scheme.
According to the SEC' order instituting administrative proceedings, Mausner engaged in the cherry-picking scheme from June 2008 to November 2009 by generally waiting to allocate trades until after the close of trading or the next day. This allowed Mausner to see which securities had appreciated or declined in value, and he gave the more favorably priced securities to the accounts of four J.S. Oliver hedge funds that contained investments from Mausner and his family. Mausner profited by more than $200,000 in fees earned from one of the hedge funds based on the boost in its performance from the winning trades he allocated. Mausner also marketed that same hedge fund to investors by touting the fund' positive returns when in reality those returns merely resulted from the cherry-picking scheme.
According to the SEC' order, the soft dollar scheme occurred from January 2009 to November 2011. Mausner and J.S. Oliver failed to disclose the following uses of soft dollars:
• More than $300,000 that Mausner owed his ex-wife under their divorce agreement.
According to the SEC' order, Drennan participated in the soft dollar scheme by submitting false information to support the misuse of soft dollar credits and approving some of the soft dollar payments to his own company.
The SEC' order alleges that J.S. Oliver and Mausner willfully violated the antifraud provisions of the federal securities laws and asserts disclosure, compliance, and recordkeeping violations against them. The SEC' order alleges that Drennan willfully aided, abetted, and caused J.S. Oliver' fraud violations in the soft dollar scheme.
The SEC' investigation, which is continuing, has been conducted by Ronnie Lasky and C. Dabney O'Riordan of the Enforcement Division' Asset Management Unit in the Los Angeles Regional Office. The SEC' litigation will be led by David Van Havermaat, John Bulgozdy, and Ms. Lasky. The examination of J.S. Oliver was conducted by Ashish Ward, Eric Lee, and Pristine Chan of the Los Angeles office' investment adviser/investment company examination program. (Press Rel. 2013-168; IA- 9446)
Commission Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund
The Commission today announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund.
This is the first installment of anticipated payments to the whistleblowers as additional assets are collected from the purported hedge fund manager. The whistleblowers are expected to ultimately receive approximately $125,000 in total.
The SEC issued an order earlier this summer rewarding each of the three whistleblowers with 5 percent of the money that the SEC ultimately collects from its enforcement action against Locust Offshore Management and its CEO Andrey C. Hicks. In cases where there are related criminal proceedings in which money is collected by another regulator, a provision in the whistleblower rules allows whistleblowers to then additionally apply for an award based off the other regulator' collections in what qualifies as a "related action." The Commission subsequently approved 5 percent payouts to each whistleblower for money collected in the related criminal action.
Hicks pled guilty on Dec. 12, 2012, to five counts of wire fraud and consented to the forfeiture of his interest in property previously seized by the Justice Department. He was sentenced to 40 months in prison. Approximately $170,000 has been administratively forfeited in the criminal proceeding – money that is deemed collected for purposes of issuing whistleblower awards. Therefore, the three whistleblowers will now receive $8,505 each. Additional payments can be made to these whistleblowers upon forfeiture of the additional assets that have been seized. The aggregate value of assets seized from Hicks is estimated to be approximately $845,000, and the whistleblowers are expected to ultimately receive 15 percent of this amount for a combined total of approximately $125,000.
The SEC' order does not identify the whistleblowers, whose confidentiality is protected under the SEC' whistleblower program. The order states that two of the whistleblowers provided information that prompted the SEC to open an investigation and stop the scheme before more investors were harmed. The third whistleblower identified key witnesses and confirmed information the other two whistleblowers provided.
The SEC' whistleblower program is authorized under the law to reward individuals who offer high-quality, original information that leads to an SEC enforcement action in which more than $1 million in sanctions is ordered. More information about the whistleblower program and how to report a tip is available at: http://www.sec.gov/whistleblower (Press Rel. 2013-169; 34-70293)
In the Matter of GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against GEI Financial Services, Inc. (GEI Financial), Norman Goldstein (Goldstein), and Laurie Gatherum (Gatherum) (collectively, Respondents).
The Order alleges that on August 13, 2013 a final judgment by default became effective against GEI Financial, Goldstein, and Gatherum permanently enjoining them from future violations of Sections 204, 204A, 206(1), 206(2), and 206(4) of the Advisers Act and Rules 204-1, 204A-1, 204-2, 204-3, 206(4)-7, and 206(4)-8(a)(1) thereunder, in the civil action entitled Securities and Exchange Commission v. GEI Financial Services, Inc., et al., Civil Action Number 12-CV-7927, in the United States District Court for the Northern District of Illinois. The Order also alleges that the injunctions arose from allegations in the district court action that Respondents took over $147,000 in excessive fees and capital withdrawals from their advisory client, the GEI Health Care Fund 2001, L.P. (the Fund), an unregistered investment pool. According to the district court complaint, Respondents also never told their advisory clients that the State of Illinois revoked Goldstein' securities registrations in 2011, which barred him from providing investment advisory services in Illinois. But even after losing his Illinois registration as an investment adviser representative, Goldstein still made all investment decisions for GEI Financial' clients and the Fund.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true; to provide GEI Financial, Goldstein, and Gatherum with an opportunity to respond to these allegations; and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order. (Rel. 34-70297)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2013-60) to amend the New York Stock Exchange Price List to provide for fees for a 40 gigabit Liquidity Center Network connection in the exchange data center 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 September 2nd. (Rel. 34-70287)
A proposed rule change filed by the NYSE MKT LLC (SR-NYSEMKT-2013-71) to amend the NYSE MKT Equities Price List and NYSE Amex Options Fee Schedule to provide for fees for a 40 gigabit Liquidity Center Network connection in the exchange data center 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 September 2nd. (Rel. 34-70285)
A proposed rule change filed by NYSE MKT LLC to delete certain obsolete rules that relate to its disciplinary proceedings and make a conforming change (SR-NYSEMKT-2013-72) 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 September 2nd. (Rel. 34-70294)
A proposed rule change filed by the Topaz Exchange, LLC (SR-Topaz-2013-03) to amend the Schedule of Fees 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 September 2nd. (Rel. 34-70296)
Notice of Proposed Rule Change
The Depository Trust Company (DTC) filed a proposed rule change (File No. SR-DTC-2013-10) under Section 19(b)(1) of the Securities Exchange Act of 1934 to terminate the Sealed Envelope Service, which is part of DTC' Custody Service. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70291)
Notice of Designation of Longer Period for Commission Action
The Commission has extended the time for Commission action on proceedings to determine whether to approve or disapprove the proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2013-016) to adopt a directed order process. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70295)
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 NOVATEL WIRELESS INC, 9645 SCRANTON ROAD, SUITE 205, SAN DIEGO, CA, 92121, 8583208800 - 0 ($4,815,000.00) Equity, (File 333-190878 - Aug. 29) (BR. 11A) S-8 NOVATEL WIRELESS INC, 9645 SCRANTON ROAD, SUITE 205, SAN DIEGO, CA, 92121, 8583208800 - 0 ($9,630,000.00) Equity, (File 333-190879 - Aug. 29) (BR. 11A) S-1 Fidelity & Guaranty Life, 1001 FLEET STREET, 6TH FL, BALTIMORE, MD, 21202, 410-895-0100 - 0 ($100,000,000.00) Equity, (File 333-190880 - Aug. 29) (BR. 01) F-1 FREESEAS INC., 10 ELEFTHERIOU VENIZELOU STREET, (PANEPISTIMIOU AVENUE), ATHENS, J3, 10671, 011-30-210-452-8770 - 2,469,551 ($469,214.69) Equity, (File 333-190882 - Aug. 29) (BR. 05B) S-1 EVERTEC, Inc., CUPEY CENTER BUILDING, ROAD 176, KM 1.3, RIO PIEDRAS, PR, 00926, (787) 759-9999 - 0 ($100,000,000.00) Equity, (File 333-190883 - Aug. 29) (BR. 03A) S-1 WNS Studios, Inc., 1154 60TH STREET, BROOKLYN, NY, 11219, 347-772-1708 - 250,000 ($50,000.00) Equity, (File 333-190886 - Aug. 29) (BR. 05C) S-8 BANCORPSOUTH INC, ONE MISSISSIPPI PL, TUPELO, MS, 38804, 6626802000 - 10,000,000 ($199,300,000.00) Equity, (File 333-190887 - Aug. 29) (BR. 07B) F-3D AGNICO EAGLE MINES LTD, 145 KING STREET EAST, SUITE 400, TORONTO, A6, M5C 2Y7, 4169471212 - 0 ($94,020,000.00) Other, (File 333-190888 - Aug. 29) (BR. 09B) S-3 CEMPRA, INC., 6340 QUADRANGLE DRIVE, SUITE 100, CHAPEL HILL, NC, 27517-8149, 919-313-6617 - 0 ($1,181,163.00) Equity, (File 333-190890 - Aug. 29) (BR. 01B) S-8 CEMPRA, INC., 6340 QUADRANGLE DRIVE, SUITE 100, CHAPEL HILL, NC, 27517-8149, 919-313-6617 - 0 ($13,660,789.00) Equity, (File 333-190891 - Aug. 29) (BR. 01B) S-8 CVENT INC, 8180 GREENSBORO DRIVE, SUITE 900, MCLEAN, VA, 22102, 703-226-3500 - 0 ($186,782,757.00) Equity, (File 333-190892 - Aug. 29) (BR. 03A) S-1 POTBELLY CORP, 222 MERCHANDISE MART PLAZA, 23RD FLOOR, CHICAGO, IL, 60654, 3129510600 - 0 ($75,000,000.00) Equity, (File 333-190893 - Aug. 29) (BR. 05A) S-4 INGLES MARKETS INC, PO BOX 6676, ASHEVILLE, NC, 28816, 828-669-2941 - 1 ($1.00) Debt, (File 333-190895 - Aug. 29) (BR. 02A) S-8 EveryWare Global, Inc., 519 N. PIERCE AVENUE, LANCASTER, OH, 43130, 740-687-2500 - 0 ($14,297,097.96) Equity, (File 333-190896 - Aug. 29) (BR. 02) S-1 Lipocine Inc., 675 ARAPEEN DRIVE, SUITE 202, SALT LAKE CITY, X1, 84108, 801 994 7383 - 6,336,664 ($38,019,984.00) Equity, (File 333-190897 - Aug. 29) (BR. 01A) S-4 BROADCAST INTERNATIONAL INC, 7050 UNION PARK AVENUE, #600, SALT LAKE CITY, UT, 84047, 801-562-2252 - 224,213,719 ($17,937,097.52) Equity, (File 333-190898 - Aug. 29) (BR. 02C)
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 1 800 FLOWERS COM INC DE 2.02,9.01 08/29/13 ACETO CORP NY 2.02,9.01 08/28/13 Actavis, Inc. NV 8.01,9.01 08/29/13 AgFeed Industries, Inc. NV 5.02,9.01 08/25/13 AIR LEASE CORP DE 8.01,9.01 08/26/13 AMBASE CORP DE 2.01,9.01 08/29/13 AMEND AMERICAN DG ENERGY INC DE 1.01,3.02,9.01 08/29/13 AMERICAN POWER GROUP Corp DE 7.01,9.01 08/13/13 AMERICAN SOFTWARE INC GA 2.02,9.01 08/29/13 Ameris Bancorp GA 1.01,2.03,9.01 08/28/13 Antaga International Corp NV 5.02,8.01 08/28/13 ARADIGM CORP CA 1.01,3.02,5.02,9.01 08/27/13 ARENA PHARMACEUTICALS INC DE 8.01 08/28/13 Arista Power, Inc. NY 5.02,8.01,9.01 08/27/13 ARKANSAS BEST CORP /DE/ DE 8.01 08/28/13 ASBURY AUTOMOTIVE GROUP INC DE 8.01,9.01 08/29/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/29/13 ASSURED GUARANTY LTD D0 2.02,7.01,9.01 08/29/13 ASTRO MED INC /NEW/ RI 5.02,9.01 08/29/13 ASTRO MED INC /NEW/ RI 2.02,9.01 08/29/13 ATMEL CORP DE 5.02 08/23/13 ATWOOD OCEANICS INC TX 7.01,9.01 08/28/13 BAHAMAS CONCIERGE, INC. NV 4.01,9.01 08/15/13 BALLY TECHNOLOGIES, INC. NV 1.01,9.01 08/27/13 BankGuam Holding Co 8.01,9.01 08/26/13 BB&T CORP NC 5.03,9.01 08/29/13 bebe stores, inc. CA 2.02,9.01 08/29/13 BIO REFERENCE LABORATORIES INC NJ 2.02,9.01 08/29/13 BIOMET INC IN 2.02,9.01 08/29/13 AMEND BLASTGARD INTERNATIONAL INC CO 3.02,8.01 08/28/13 BLUE CALYPSO, INC. DE 4.02 08/26/13 Blue Earth, Inc. NV 1.01,2.01,9.01 08/23/13 Blue Water Petroleum Corp. 7.01,9.01 08/29/13 Blueknight Energy Partners, L.P. DE 5.02 07/02/13 Bluerock Multifamily Growth REIT, Inc MD 1.01,1.02,2.01, 08/23/13 2.03,3.03,7.01,9.01 Boardwalk Pipeline Partners, LP DE 1.01,9.01 08/29/13 BOOKS A MILLION INC DE 2.02,9.01 08/27/13 AMEND Cadista Holdings Inc. DE 1.01,5.02 08/23/13 Calamos Asset Management, Inc. /DE/ 5.02,9.01 08/29/13 CAMBIUM LEARNING GROUP, INC. 3.01 08/28/13 CAMPBELL SOUP CO NJ 2.02,9.01 08/29/13 CANNABIS SCIENCE, INC. NV 5.02,9.01 05/20/13 Capall Stables, Inc. DE 5.06 08/29/13 CAPSTONE FINANCIAL GROUP, INC. NV 5.02,5.03,5.07,9.01 08/23/13 CATALYST PHARMACEUTICAL PARTNERS, INC DE 5.02,8.01,9.01 08/28/13 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 08/29/13 CELLULAR DYNAMICS INTERNATIONAL, INC. WI 9.01 08/29/13 CHC Helicopter S.A. N4 8.01 08/23/13 CHICOS FAS INC FL 2.02,9.01 08/28/13 CHIPOTLE MEXICAN GRILL INC 5.02 08/26/13 CITIZENS HOLDING CO /MS/ MS 7.01,9.01 08/28/13 CNH CAPITAL RECEIVABLES LLC DE 1.01,9.01 08/29/13 COAST DISTRIBUTION SYSTEM INC DE 5.07 08/27/13 CommonWealth REIT MD 8.01,9.01 08/27/13 COMMUNITY FINANCIAL SHARES INC DE 1.01,3.02,8.01,9.01 08/28/13 Comstock Mining Inc. NV 8.01,9.01 08/26/13 CONTROL4 CORP DE 2.02,9.01 08/29/13 CORINTHIAN COLLEGES INC 2.02,9.01 08/29/13 Cornerstone Core Properties REIT, Inc MD 1.01,9.01 08/26/13 COWEN GROUP, INC. DE 7.01 08/29/13 Crexendo, Inc. DE 5.02,9.01 08/29/13 CUBIST PHARMACEUTICALS INC DE 8.01,9.01 08/28/13 Customers Bancorp, Inc. PA 1.01,2.03,9.01 08/27/13 CVR ENERGY INC DE 4.01,9.01 08/23/13 CVR PARTNERS, LP DE 4.01,9.01 08/23/13 CVR Refining, LP DE 4.01,9.01 08/23/13 DAEGIS INC. DE 2.02,9.01 08/28/13 DELTA APPAREL, INC GA 1.01,2.01,2.03, 08/27/13 3.03,9.01 DETHRONE ROYALTY HOLDINGS, INC. NV 1.01,2.03,3.02,9.01 08/26/13 DSI REALTY INCOME FUND IX CA 4.01 06/30/13 AMEND DSI REALTY INCOME FUND VI CA 4.01 06/30/13 AMEND DSI REALTY INCOME FUND VII CA 4.01 06/30/13 AMEND DSI REALTY INCOME FUND VIII CA 4.01 06/30/13 AMEND DSI REALTY INCOME FUND X CA 4.01 06/30/13 AMEND DSI REALTY INCOME FUND XI CA 4.01 06/30/13 AMEND DYAX CORP DE 1.02 08/23/13 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 08/28/13 Eastern Insurance Holdings, Inc. PA 8.01,9.01 08/29/13 EASTMAN KODAK CO NJ 1.03,5.02,9.01 08/23/13 Echo Therapeutics, Inc. DE 5.02,9.01 08/29/13 ELEPHANT TALK COMMUNICATIONS CORP DE 2.03,3.02,9.01 08/28/13 EMC INSURANCE GROUP INC IA 7.01,9.01 08/29/13 Emerge Energy Services LP DE 7.01 08/28/13 EMPIRE STATE BUILDING ASSOCIATES L.L. NY 5.07 08/29/13 ENDURANCE SPECIALTY HOLDINGS LTD D0 7.01,9.01 08/29/13 Ener-Core Inc. NV 1.01,2.01,3.02, 07/01/13 AMEND 4.01,5.01,5.02,5.03,5.06,9.01 ENERGEN CORP AL 7.01,9.01 08/28/13 Energiz Renewable, Inc. FL 8.01 08/28/13 ENERGY HOLDINGS INTERNATIONAL, INC. NV 9.01 08/07/13 ENOVA SYSTEMS INC CA 5.02,9.01 08/27/13 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 08/29/13 EWaste Systems, Inc. NV 3.02,9.01 08/19/13 EXA CORP MA 5.07 08/28/13 Extra Space Storage Inc. MD 1.01,3.02,5.02, 08/26/13 5.03,7.01,8.01,9.01 Federal Home Loan Bank of Atlanta X1 2.03 08/26/13 Federal Home Loan Bank of Boston X1 2.03 08/23/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/27/13 Federal Home Loan Bank of New York X1 2.03,9.01 08/26/13 Federal Home Loan Bank of Pittsburgh PA 7.01,9.01 08/29/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/26/13 Federal Home Loan Bank of San Francis X1 2.03 08/26/13 Federal Home Loan Bank of Seattle 2.03 08/27/13 FEDERAL MOGUL CORP DE 5.02 08/26/13 FINJAN HOLDINGS, INC. DE 8.01,9.01 08/28/13 FIRST OF LONG ISLAND CORP NY 5.02,9.01 08/28/13 FIRST REGIONAL BANCORP CA 1.03,9.01 08/23/13 FIRST TRUST ENHANCED EQUITY INCOME FU 7.01,9.01 08/29/13 Fortegra Financial Corp DE 5.02 08/23/13 FREDS INC TN 2.02,9.01 08/29/13 FS Investment CORP MD 5.07 08/28/13 FURNITURE BRANDS INTERNATIONAL INC DE 5.02 08/23/13 GENESCO INC TN 2.02,9.01 08/29/13 GIBRALTAR INDUSTRIES, INC. DE 8.01,9.01 08/29/13 GLADSTONE COMMERCIAL CORP MD 9.01 07/09/13 AMEND GLOBECOMM SYSTEMS INC 1.01,5.01,9.01 08/25/13 Granite Falls Energy, LLC MN 7.01,9.01 08/29/13 GRIFFIN LAND & NURSERIES INC DE 1.01,2.03,7.01,9.01 08/28/13 HACKETT GROUP, INC. FL 1.01,2.03,9.01 08/27/13 HARBINGER GROUP INC. DE 7.01 08/28/13 HARVARD BIOSCIENCE INC DE 5.02,9.01 08/26/13 HCI Group, Inc. FL 1.01,8.01,9.01 08/29/13 Heavy Earth Resources, Inc. FL 1.01,2.01,8.01,9.01 08/29/13 HESKA CORP DE 1.01,9.01 06/17/13 AMEND HOPFED BANCORP INC DE 8.01,9.01 08/29/13 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 08/29/13 ICAHN ENTERPRISES L.P. DE 4.01,9.01 08/23/13 ICON LEASING FUND TWELVE, LLC DE 8.01 08/28/13 IMMUNE PHARMACEUTICALS INC 1.01,2.01,2.03, 08/23/13 3.02,5.01,5.02,9.01 INDEPENDENT BANK CORP /MI/ MI 8.01,9.01 08/29/13 INERGY L P DE 9.01 06/19/13 AMEND InfuSystem Holdings, Inc DE 7.01,9.01 08/29/13 INLAND REAL ESTATE CORP MD 1.01,2.03,9.01 08/23/13 INNOSPEC INC. DE 1.01,9.01 08/28/13 Innovaro, Inc. 2.03,9.01 08/15/13 Intcomex, Inc. DE 5.02,9.01 08/23/13 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02 08/23/13 Inteliquent, Inc. 8.01,9.01 08/29/13 IsoRay, Inc. MN 1.01,1.02,3.03, 08/28/13 5.03,9.01 JAMESON STANFORD RESOURCES Corp 1.01,2.03,3.02, 08/19/13 8.01,9.01 JTH Holding, Inc. DE 1.01,9.01 08/29/13 K12 INC DE 2.02,9.01 08/29/13 K12 INC DE 8.01,9.01 08/29/13 KBR, INC. DE 8.01,9.01 08/27/13 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 08/27/13 KFORCE INC FL 5.02 08/19/13 Kior Inc DE 3.02,9.01 08/27/13 KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 08/29/13 Lantheus Medical Imaging, Inc. DE 5.02 08/23/13 LANTRONIX INC DE 2.02,9.01 08/29/13 LAS VEGAS SANDS CORP NV 7.01,9.01 08/29/13 LAYNE CHRISTENSEN CO DE 5.02,9.01 08/23/13 MAGNUM HUNTER RESOURCES CORP DE 8.01,9.01 08/26/13 Maidenform Brands, Inc. DE 8.01,9.01 08/28/13 MATRIX SERVICE CO DE 5.02 08/29/13 MECHANICAL TECHNOLOGY INC NY 5.02 08/28/13 METHODE ELECTRONICS INC DE 2.02,9.01 08/29/13 MGC DIAGNOSTICS Corp MN 2.02,9.01 08/29/13 MIAMI DAYS CORP. NV 7.01 08/29/13 MICHAELS STORES INC DE 2.02,9.01 08/29/13 Minerco Resources, Inc. NV 8.01,9.01 08/01/13 MITEL NETWORKS CORP 2.02,9.01 08/29/13 Morningstar, Inc. IL 8.01,9.01 08/29/13 MVP REIT, Inc. MD 2.01 08/29/13 N-VIRO INTERNATIONAL CORP DE 1.01 08/23/13 NATIONAL HOLDINGS CORP DE 1.01,3.02,9.01 08/28/13 NEOMEDIA TECHNOLOGIES INC DE 7.01,9.01 08/27/13 Neurotrope, Inc. NV 1.01,2.01,3.02, 08/23/13 4.01,5.01,5.02,5.04,5.06,9.01 NORTHERN MINERALS & EXPLORATION LTD. NV 1.01,9.01 08/26/13 NORTHWEST PIPE CO OR 5.02 08/27/13 OFFICE DEPOT INC DE 7.01,9.01 08/29/13 OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 08/29/13 Oneida Resources Corp. DE 1.01,9.01 08/23/13 Optex Systems Holdings Inc DE 4.01,9.01 08/28/13 OVERSEAS SHIPHOLDING GROUP INC DE 7.01,9.01 08/29/13 P2 Solar, Inc. DE 4.01,9.01 08/15/13 AMEND PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02,9.01 08/29/13 PALL CORP NY 2.02,9.01 08/29/13 Pebblebrook Hotel Trust MD 7.01,8.01,9.01 08/28/13 PENFORD CORP WA 5.02,9.01 08/28/13 PHARMACYCLICS INC DE 8.01,9.01 08/29/13 Poage Bankshares, Inc. MD 5.03,8.01,9.01 08/24/13 PostRock Energy Corp DE 8.01,9.01 08/23/13 PREFERRED APARTMENT COMMUNITIES INC MD 2.01,9.01 06/14/13 AMEND Premiere Opportunities Group, Inc. NV 4.01,9.01 08/29/13 QEP RESOURCES, INC. DE 5.02 08/28/13 READING INTERNATIONAL INC NV 9.01 08/29/13 AMEND RECOVERY ENERGY, INC. NV 7.01 08/29/13 REXAHN PHARMACEUTICALS, INC. DE 1.02,7.01,9.01 08/25/13 Rockwood Holdings, Inc. DE 5.02,5.03, 08/26/13 7.01,8.01,9.01 ROLLINS INC DE 8.01,9.01 08/26/13 SAExploration Holdings, Inc. DE 2.02,9.01 08/27/13 SAJAN INC DE 5.02,9.01 08/26/13 SALESFORCE COM INC DE 2.02,9.01 08/29/13 SANDY SPRING BANCORP INC MD 8.01,9.01 08/29/13 SERVICEMASTER CO DE 5.02,9.01 08/26/13 SHILOH INDUSTRIES INC DE 2.02 08/29/13 SHOE CARNIVAL INC IN 2.02,9.01 08/29/13 SIGNET JEWELERS LTD 2.02,9.01 08/29/13 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 08/29/13 SMTP, Inc. DE 7.01,9.01 08/29/13 SNYDER'S-LANCE, INC. NC 1.01,9.01 08/23/13 Solaris Power Cells, Inc. 1.01,2.01,3.02, 08/23/13 5.01,5.02,9.01 SOUTHWEST GEORGIA FINANCIAL CORP GA 8.01,9.01 08/29/13 Spectra Energy Partners, LP DE 8.01,9.01 08/02/13 AMEND SPLUNK INC 2.02,9.01 08/29/13 STATE BANK FINANCIAL CORP GA 5.02,8.01,9.01 08/23/13 Steel Excel Inc. DE 2.01,8.01,9.01 08/23/13 STEWART INFORMATION SERVICES CORP DE 5.02,9.01 08/23/13 Strategic Storage Trust, Inc. MD 7.01,9.01 08/29/13 SUPERTEL HOSPITALITY INC VA 3.01,5.03,8.01,9.01 08/29/13 SUPERTEL HOSPITALITY INC VA 8.01,9.01 08/29/13 SYNALLOY CORP DE 1.01,2.01,2.03,9.01 08/26/13 Tanke Biosciences Corp NV 1.01 08/23/13 THERMOGENESIS CORP DE 1.02,2.02,9.01 08/26/13 Tierra Grande Resources Inc. NV 7.01,9.01 08/29/13 Tiger Oil & Energy, Inc. 1.01 08/21/13 Tonix Pharmaceuticals Holding Corp. NV 7.01,9.01 08/29/13 TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 08/29/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/29/13 U S GLOBAL INVESTORS INC TX 2.02,9.01 08/28/13 United Development Funding IV MD 5.02 08/27/13 United States Brent Oil Fund, LP DE 8.01 08/29/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 08/29/13 VALLEY NATIONAL BANCORP NJ 8.01,9.01 08/28/13 Vestin Realty Mortgage I, Inc. 2.01 08/29/13 Vestin Realty Mortgage II, Inc MD 2.01 08/29/13 VIASPACE Inc. 1.01,3.02,9.01 08/28/13 VII Peaks-KBR Co-Optivist Income BDC MD 5.02 08/28/13 Warner Chilcott plc 8.01,9.01 08/29/13 WCI Communities, Inc. DE 1.01,2.03,9.01 08/27/13 Westinghouse Solar, Inc. DE 8.01 08/23/13 WFRBS Commercial Mortgage Trust 2012- NC 6.02 08/29/13 Wikifamilies, Inc. NV 5.07 08/27/13 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 08/29/13 WORLD ACCEPTANCE CORP SC 5.07,8.01 08/29/13 World Surveillance Group Inc. DE 1.01,9.01 08/27/13 WSFS FINANCIAL CORP DE 8.01,9.01 08/26/13 XCEL ENERGY INC MN 8.01 08/22/13 ZAIS Financial Corp. MD 8.01 08/28/13 ZOGENIX, INC. DE 1.01 08/26/13