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U.S. Securities and Exchange Commission


Issue 2013-173
September 9, 2013


Commission Halts Florida-Based Prime Bank Investment Scheme

The Securities and Exchange Commission (Commission) today announced charges and an emergency asset freeze against a Miami-based attorney and other perpetrators of a prime bank investment scheme that promised exorbitant returns from a purported international trading program.

Prime bank schemes lure investors to participate in a sham international investing opportunity with phony promises of exclusivity and enormous profits. The SEC alleges that attorney Bernard H. Butts, Jr. has acted as an escrow agent to enable Fotios Geivelis, Jr. and his purported financial services firm Worldwide Funding III Limited to defraud approximately 45 investors out of more than $3.5 million they invested in a trading program that doesn’t actually exist. Geivelis, who lives in Tampa and uses the alias “Frank Anastasio” with investors, touted returns of 6.6 million Euros (approximately $8.7 million converted to U.S. dollars) for investors within 15 to 45 business days on an initial investment of $60,000 to $90,000 in U.S. dollars. Geivelis and Butts assured investors that their funds would remain with Butts in an escrow account until Worldwide Funding acquired the bank instruments necessary to generate the promised returns. Butts instead has been doling out investor funds almost as soon as they’re received to enrich himself, sales agents, and Geivelis, who has been spending the money on such personal expenses as travel and gambling.

The SEC’s complaint, filed under seal on August 29 in federal court in Miami, also charged three sales agents who Geivelis and Butts paid to sell interests in the scheme: Douglas J. Anisky of Delray Beach, Fla., James Baggs of Lake Forest, Calif., and Sidney Banner of Delray Beach, Fla., and his company Express Commercial Capital. The court granted the SEC’s request for an asset freeze on August 30, and the case was unsealed late Friday, September 6.

“Geivelis attempted to add a twist of legitimacy to a classic prime bank scheme by using a long-time attorney as an escrow agent to give investors the false impression that their money was secure,” said Julie K. Lutz, Acting Co-Director of the SEC’s Denver Regional Office. “Meanwhile, Geivelis and Butts have misused investor funds and made lulling statements to investors that portray the sham trading program as successful and payments to investors as imminent.”

According to the SEC’s complaint, investors were lured through the Internet, telephone, and personal contact with promises of extraordinary profits. Investors were told their $60,000 to $90,000 investment would pay for bank charges to lease a standby letter of credit (SBLC) in the amount of 10 million Euros from a banking group in Europe. The SBLCs were to be used to acquire loans, and the funds from the loan were to be placed in a securities trading program. Investors were promised that after their initial profit of at least 6.6 million Euros within 15 to 45 business days, the securities trading program would generate a weekly return of approximately 14 percent for 40 to 42 weeks.

The SEC alleges that investors were falsely promised that their money was being deposited into Butts’ attorney trust account, and Butts would not release the funds until he received proof from the receiving bank that a $10 million Euro SBLC had been deposited into the securities trading program to generate profits for investors. Contrary to these representations by Butts, Geivelis, and the sales agents, no SBLC acquisitions ever occurred, no loans were obtained, and no promised returns were earned in a trading program or paid to investors. Investors were not told that instead of using the funds to obtain SBLCs, Butts and Geivelis each took approximately 45 percent and paid approximately 10 percent to the sales agents.

The SEC’s complaint charges all defendants with violations of the antifraud and securities registration provisions of the federal securities laws. The complaint also charges Butts, Geivelis, Anisky, Banner, Express Commercial Capital, and Baggs with violations of the broker-dealer registration provisions of the federal securities laws. The SEC seeks disgorgement of ill-gotten gains, financial penalties, and permanent injunctions. The SEC’s complaint names several relief defendants: Butts’ law firm, his wife Margaret A. Hering, and Butts Holding Corporation as well as two other companies with ties to Geivelis (Global Worldwide Funding Ventures) and Anisky (PW Consulting Group). The complaint names relief defendants for the purposes of recovering any ill-gotten assets from the fraud that may be in their possession.

The SEC’s investigation, which is continuing, has been conducted by Amy A. Sumner and Laura M. Metcalfe in the Denver Regional Office. The SEC’s litigation will be led by Leslie J. Hughes. (Press Rel. 2013-175; LR-22792)

Commission Charges Projaris Management LLC and Victory Partners Financial with Fraud

On September 9, 2013, the Commission brought securities fraud charges against Projaris Management, LLC (Projaris), Victory Partners Financial (Victory), Joe G. Lawler, Brandt A. Lawler, Michael S. Lawler, Ryan G. Lawler, Timothy J. Lawler, and Pamela Hass in a connection with an offering fraud that raised approximately $1.4 million from over 23 investors in multiple states from May 2008 through August 2012.

The complaint, filed in the United States District Court for the District of New Mexico, alleges that Projaris and Victory, which operated in Farmington, New Mexico and Phoenix, Arizona, along with the Lawlers of Farmington, New Mexico participated in a scheme that defrauded investors out of more than $835,000. Additionally, the complaint alleges that the primary function of the defendants’ scheme was to convince investors to invest in a fraudulent pooled investment that purportedly invested in metals, commodities, real estate, and a fund that, among other things, invested overseas. The defendants then siphoned off the invested funds for their own purposes and to continue to perpetuate the fraud. According to the complaint, none of the securities offered was covered by a registration statement filed with the Commission, and Hass, Projaris’ National Sales Director of Tomahawk, Wisconsin, solicited investors to invest in Projaris, but was not a registered broker-dealer.

The complaint alleges that Projaris, Victory, and the Lawlers violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933 (Securities Act). The complaint also alleges that Projaris, Victory, Joe Lawler, and Hass violated Section 5 of the Securities Act for the offer and sale of securities in unregistered transactions. Finally, the complaint alleges that Joe Lawler and Hass violated Section 15(a) of the Exchange Act by acting as unregistered broker-dealers. The Commission seeks permanent injunctive relief, disgorgement plus prejudgment interest, and civil monetary penalties. [SEC v. Projaris Management, LLC et al, Civil Action No. 1:13-cv-00849, (D.N.M.)] (LR-22793)

Commission Files Civil Injunctive Action against Alleged Perpetrator and Unregistered Broker in Fraudulent Promissory Note Offering

On September 9, 2013, the Commission filed a civil injunctive action in the United States District Court for the District of Colorado against Brian G. Elrod for allegedly conducting a fraudulent offering of promissory notes for which Nova Dean Pack acted as an unregistered broker. Elrod and Pack reside in Buffalo Creek, Colorado and Highland, California, respectively.

The Complaint alleges that, from at least March 2009 through November 2009, Elrod and Pack raised approximately $2 million from 12 investors who invested in high-yield promissory notes issued by CFS Holding Company LLC (CFS), a Colorado company owned and managed by Elrod. According to the Complaint, Elrod told investors that their investments were secured and guaranteed and would generate annual returns ranging from 12% to 24%. According to the Complaint, Elrod further represented to investors that the proceeds from their promissory notes would be used to expand a group of financial services companies owned and managed by Elrod. The Complaint alleges that the foregoing representations, among others, were false and misleading when made, and that Elrod, rather than use investor money for legitimate business purposes, improperly used most of the investor funds to make substantial payments to himself and family members and to pay for personal expenses, to pay Pack significant commissions for referring investors, and to make interest payments back to investors. According to the Complaint, the CFS note offering was not registered with the Commission, and Pack was not an associated person of a registered broker or dealer at the time he participated in the CFS note offering.

Without admitting or denying the SEC’s allegations, Elrod and Pack agreed to settle the case against them. The settlement is pending final approval by the court. Specifically, Elrod consented to the entry of a final judgment permanently enjoining him from future violations of Sections 5 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 Rule 10b-5 thereunder, and requiring him to pay disgorgement of $1,720,491, the amount of his ill-gotten gains, plus prejudgment interest of $295,817, and a civil penalty of $1,720,491. Pack consented to the entry of a final judgment permanently enjoining him from future violations of Section 5 of the Securities Act and Section 15(a) of the Exchange Act, and ordering disgorgement of $171,500 plus prejudgment interest of $25,177, but waiving payment and not imposing a civil penalty based upon his financial condition. [SEC v. Brian G. Elrod and Nova Dean Pack, Case CV-02449 (WYD) (D. Colo.)] (LR-22794)


Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-85) relating to changes to the means of achieving the investment objective applicable to the AdvisorShares QAM Equity Hedge ETF 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 9th. (Rel. 34-70347)

A proposed rule change filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2013-048) 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 9th. (Rel. 34-70348)

A proposed rule change filed by Miami International Securities Exchange LLC to amend MIAX Rule 1322 (Options Communications) 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 9th. (Rel. 34-70299)


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.

        SHERMAN OAKS, CA, 91403, (805) 409-4340 - 
        0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-191020 - 
        Sep. 6) (BR. 10B)

        3109722511 - 0 ($0.00) Debt, (File 333-191021 - Sep. 6) (BR. 07C)

S-3ASR  Edwards Lifesciences Corp, ONE EDWARDS WAY, IRVINE, CA, 92614, 
        9492502500 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-191022 - Sep. 6) (BR. 10A)

S-8     RENASANT CORP, 209 TROY STREET, TUPELO, MS, 38804-4827, 
        (662) 680-1001 - 238,122 ($6,048,298.80) Equity, (File 333-191023 - 
        Sep. 6) (BR. 07B)

        716-635-5000 - 0 ($610,000,000.00) Debt, (File 333-191029 - Sep. 6) 
        (BR. 02)

S-4     BGS Acquisition Subsidiary, Inc., 20 WEST 55TH STREET, 2ND FLOOR, 
        NEW YORK, NY, 10019, (212) 823-0281 - 0 ($159,333,849.00) Equity, 
        (File 333-191030 - Sep. 6) (BR. 09)

        BAODING, F4, 071051, (86 312) 3100-500 - 0 ($200,000,000.00) Other, 
        (File 333-191031 - Sep. 6) (BR. 10B)

        45242, 5135796411 - 85,000,001 ($85,000,001.00) Other, 
        (File 333-191032 - Sep. 6) (BR. 11A)

        5036151100 - 250,000 ($860,000.00) Equity, (File 333-191033 - Sep. 6) 
        (BR. 03C)

        5036151100 - 750,000 ($2,580,000.00) Equity, (File 333-191034 - Sep. 6) 
        (BR. 03C)

        2165235000 - 0 ($4,900,000,000.00) Debt, (File 333-191035 - Sep. 6) 
        (BR. 06C)

S-3ASR  AOL Inc., 770 BROADWAY, 4TH FLOOR, NEW YORK, NY, 10003, 703-265-1000 - 
        0 ($80,128,374.97) Equity, (File 333-191041 - Sep. 6) (BR. 03A)

S-8     AOL Inc., 770 BROADWAY, 4TH FLOOR, NEW YORK, NY, 10003, 703-265-1000 - 
        0 ($132,479,429.12) Equity, (File 333-191043 - Sep. 6) (BR. 03A)

S-4     OUTERWALL INC, 1800 114TH AVENUE SE, BELLEVUE, WA, 98004, 4259438000 - 
        0 ($350,000,000.00) Debt, (File 333-191044 - Sep. 6) (BR. 11A)

S-8     IntraLinks Holdings, Inc., C/O INTRALINKS, INC., 
        150 E. 42ND STREET, 8TH FLOOR, NEW YORK, NY, 10017, 212-543-7700 - 
        0 ($4,752,000.00) Equity, (File 333-191045 - Sep. 6) (BR. 03B)

        80112, 3038021000 - 0 ($2,065,000.00) Equity, (File 333-191046 - 
        Sep. 6) (BR. 03B)

        IN, 46038, 317-570-0450 - 0 ($100,000,000.00) Equity, 
        (File 333-191047 - Sep. 6) (BR. 07)

        CA, 95618, 530-750-2800 - 0 ($35,373,827.00) Equity, (File 333-191048 - 
        Sep. 6) (BR. 05A)

S-11    Steadfast Apartment REIT, Inc., 18100 VON KARMAN AVE, STE 500, IRVINE, 
        CA, 92612, 949-852-0700 - 0 ($935,000,000.00) Equity, 
        (File 333-191049 - Sep. 6) (BR. )


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

60 EAST 42ND STREET ASSOCIATES L.L.C.   NY       8.01,9.01            09/06/13

ACTIVE POWER INC                        DE       8.01,9.01            09/05/13

Advanced Voice Recognition Systems, I   NV       1.01,3.02,9.01       09/03/13

AEGEA, INC.                             NV       8.01,9.01            07/22/13    AMEND

AEI INCOME & GROWTH FUND XXI LTD PART   MN       2.01,9.01            08/23/13

AEI INCOME & GROWTH FUND XXII LTD PAR   MN       2.01,9.01            08/23/13

AES CORP                                DE       7.01                 09/06/13

AFC ENTERPRISES INC                     MN       1.01,5.02,9.01       09/05/13

AIS FUTURES FUND IV LP                  DE       3.02                 08/31/13

Aleris Corp                             DE       5.02                 09/02/13

Ally Financial Inc.                     DE       8.01,9.01            09/04/13

Alphatec Holdings, Inc.                 DE       1.01                 08/30/13

Altegris QIM Futures Fund, L.P.         DE       3.02,5.01,8.01       08/30/13

Altegris Winton Futures Fund, L.P.      CO       3.02,5.01,8.01       08/30/13

American Heritage International Inc.    NV       8.01                 09/04/13

American Sands Energy Corp.             DE       5.02,5.07,8.01       09/04/13

AMERICAN SCIENCE & ENGINEERING, INC.    MA       5.03,9.01            09/04/13

AMERICAN TOWER CORP /MA/                DE       1.01,7.01,9.01       09/06/13

AMERICANWEST BANCORPORATION             WA       1.03,9.01            08/30/13

AMERIPRISE FINANCIAL INC                DE       1.01,9.01            09/03/13

ANCHOR BANCORP WISCONSIN INC            WI       1.03,9.01            08/30/13

AOL Inc.                                DE       2.01,9.01            09/05/13

APPLIED MATERIALS INC /DE               DC       5.02                 08/31/13

Ares Commercial Real Estate Corp        MD       1.01,2.03,9.01       08/30/13

Ares Dynamic Credit Allocation Fund,             8.01,9.01            09/06/13

ARGAN INC                               DE       2.02,9.01            09/05/13

Armour Residential REIT, Inc.           MD       7.01,9.01            09/06/13

ASSOCIATED BANC-CORP                    WI       7.01,9.01            09/06/13

Atlantic Coast Financial CORP           MD       8.01                 08/30/13

BANC OF CALIFORNIA, INC.                MD       8.01,9.01            09/03/13

Bankrate, Inc.                          DE       5.02,9.01            09/03/13

BAXTER INTERNATIONAL INC                DE       2.01,9.01            09/06/13

BELK INC                                         2.02,9.01            09/04/13

BIO RAD LABORATORIES INC                DE       4.01,9.01            09/06/13

BioMed Realty Trust Inc                 DE       5.03,9.01            09/01/13

BioTelemetry, Inc.                      DE       8.01                 07/31/13    AMEND

Black Elk Energy Offshore Operations,   TX       1.01,9.01            08/30/13

BLUCORA, INC.                           DE       1.01,1.02,2.03,9.01  08/30/13

BlueLinx Holdings Inc.                  DE       5.02                 09/03/13

BMC SOFTWARE INC                        DE       8.01,9.01            09/06/13

BOND LABORATORIES, INC.                 NV       8.01,9.01            08/30/13

Boston Therapeutics, Inc.               DE       1.01,3.02,9.01       09/06/13

CATERPILLAR FINANCIAL SERVICES CORP     DE       8.01,9.01            09/06/13

CBIZ, Inc.                              DE       2.01,8.01,9.01       08/30/13

CHARTER COMMUNICATIONS, INC. /MO/       DE       2.01,9.01            07/01/13    AMEND

Chesapeake Lodging Trust                MD       8.01,9.01            09/06/13

China United Insurance Service, Inc.    DE       1.01,9.01            06/09/13

CHUBB CORP                              NJ       5.02                 09/04/13

Citadel EFT, Inc.                       NV       5.02                 09/06/13

CITY HOLDING CO                         WV       8.01                 09/05/13

Clear Channel Outdoor Holdings, Inc.    DE       5.02                 09/06/13

CNL Growth Properties, Inc.             MD       1.01                 08/30/13

CNL Healthcare Properties, Inc.         MD       1.01,2.01,2.03,9.01  08/30/13

COACH INC                               MD       1.01,1.02,5.02       08/30/13

COLONY BANKCORP INC                     GA       5.02                 09/05/13

COMERICA INC /NEW/                      DE       7.01,8.01,9.01       09/06/13

COMMODITY ADVISORS FUND L.P.            NY       1.02                 08/31/13

CYCLONE POWER TECHNOLOGIES INC          FL       1.01,2.03,3.02,9.01  08/30/13

Cyclone Uranium Corp                    NV       1.01,3.02            08/30/13

CYNOSURE INC                                     5.02                 09/06/13

CYNOSURE INC                                     9.01                 06/24/13    AMEND

Diamondback Energy, Inc.                DE       1.01,9.01            08/30/13

Diligent Board Member Services, Inc.    DE       8.01,9.01            09/05/13

Discover Card Execution Note Trust      DE       8.01                 09/06/13

DISCOVER CARD MASTER TRUST I            DE       8.01                 09/06/13

DIVALL INSURED INCOME PROPERTIES 2 LI   WI       5.07                 08/30/13

Douglas Emmett Inc                      MD       5.03,9.01            09/06/13

Duke Energy Ohio, Inc.                  OH       8.01,9.01            09/03/13

DUMA ENERGY CORP                        NV       5.02                 08/30/13

EASTMAN KODAK CO                        NJ       1.01                 09/06/13

Eaton Corp plc                                   8.01,9.01            09/06/13

Eaton Corp plc                                   8.01,9.01            09/06/13

EMERGING CTA PORTFOLIO LP               NY       1.02                 08/31/13

EMERITUS CORP\WA\                       WA       7.01                 09/06/13

EMPIRE RESORTS INC                      DE       1.01,9.01            08/30/13

EMPIRE STATE BUILDING ASSOCIATES L.L.   NY       8.01,9.01            09/06/13

ENGLOBAL CORP                           NV       1.01,2.01,           08/30/13    AMEND

Envision Healthcare Holdings, Inc.      DE       8.01,9.01            09/06/13

EP Energy LLC                           DE       5.02                 09/03/13

FALCONSTOR SOFTWARE INC                 DE       5.02                 08/30/13

FIRST FINANCIAL BANCORP /OH/            OH       8.01                 09/06/13

FIRST POTOMAC REALTY TRUST              MD       5.02                 09/03/13

Firsthand Technology Value Fund, Inc.            8.01,9.01            09/06/13

FLORIDA GAMING CORP                     DE       8.01,9.01            08/30/13

FRONTIER OILFIELD SERVICES INC          TX       3.02,5.03,9.01       08/30/13

FUELCELL ENERGY INC                     DE       2.02,3.02,8.01,9.01  09/04/13

GALLAGHER ARTHUR J & CO                 DE       1.01,9.01            09/06/13

GASTAR EXPLORATION LTD                           1.01,7.01,9.01       09/04/13

General Agriculture Corp                DE       5.02,5.05,9.01       09/05/13

General Finance CORP                    DE       8.01,9.01            09/03/13

GENSPERA INC                            DE       5.03,9.01            09/04/13

Gevo, Inc.                              DE       5.02                 09/03/13

GLOBAL GREEN INC.                       FL       7.01,9.01            09/04/13

GOOD TIMES RESTAURANTS INC              NV       3.01,5.02,5.03,8.01  09/06/13

GRAN TIERRA ENERGY INC.                 NV       1.01,2.03,9.01       08/30/13

Graymark Healthcare, Inc.               OK       1.01,9.01            08/30/13

GREEN ENVIROTECH HOLDINGS CORP.         DE       1.02,9.01            06/26/13

GREIF INC                               DE       2.02,5.03,7.01,9.01  09/03/13

GROUP 1 AUTOMOTIVE INC                  DE       7.01,9.01            09/04/13

Healthient, Inc.                                 5.07                 09/05/13

HEALTHSTREAM INC                        TN       5.07                 02/19/13    AMEND

Heatwurx, Inc.                          DE       3.02                 08/30/13

Homeowners of America Holding Corp               1.01,5.03,5.07,9.01  08/31/13

HURCO COMPANIES INC                     IN       2.02,9.01            09/06/13

ICON Equipment & Corporate Infrastruc   DE       8.01                 09/06/13

ICON LEASING FUND TWELVE, LLC           DE       8.01                 09/06/13

IKANOS COMMUNICATIONS                   DE       5.02,9.01            09/05/13

INCEPTION MINING INC.                   NV       1.01,9.01            08/30/13

INCEPTION MINING INC.                   NV       1.01,3.02,9.01       07/31/13    AMEND

INTERNATIONAL ISOTOPES INC              TX       4.01,9.01            09/01/13

Internet Patents Corp                            8.01,9.01            09/05/13

INTERPHASE CORP                         TX       1.01,9.01            09/03/13

JARDEN CORP                             DE       1.01,8.01,9.01       09/04/13

JAVELIN MORTGAGE INVESTMENT CORP.       MD       7.01,9.01            09/06/13

Jones Lang LaSalle Income Property Tr   MD       1.01,2.06,8.01       08/23/13

KEMET CORP                              DE       5.02                 09/06/13

Kips Bay Medical, Inc.                  DE       3.01                 09/05/13

LabStyle Innovations Corp.              DE       5.02,9.01            08/30/13

LAYNE CHRISTENSEN CO                    DE       2.02,9.01            09/06/13

LAZARE KAPLAN INTERNATIONAL INC         DE       2.02,8.01,9.01       08/30/13

LIFEPOINT HOSPITALS, INC.                        1.01,9.01            09/04/13

LOGITECH INTERNATIONAL SA                        5.02,9.01            09/03/13

LOOKSMART LTD                           DE       2.01                 09/03/13

LUCAS ENERGY, INC.                      NV       9.01                 08/30/13    AMEND

Macy's, Inc.                            DE       2.03,9.01            09/06/13

MANNKIND CORP                           DE       2.03,3.02            09/05/13

MATTRESS FIRM HOLDING CORP.             DE       2.02,9.01            09/06/13

MDU COMMUNICATIONS INTERNATIONAL INC    DE       1.01,9.01            09/04/13

MeetMe, Inc.                            DE       1.01,5.02            09/03/13

MERRILL LYNCH DEPOSITOR INC PPLUS TRU   DE       8.01                 09/03/13

METLIFE INC                             DE       8.01,9.01            09/03/13

MEXICO FUND INC                         MD       7.01,9.01            08/30/13    AMEND

NATIONAL BEVERAGE CORP                  DE       2.02,9.01            09/05/13


NATIONAL PENN BANCSHARES INC            PA       7.01,9.01            09/06/13

NATIONAL SECURITY GROUP INC             DE       7.01                 09/04/13

NATURAL RESOURCE PARTNERS LP            DE       7.01,9.01            09/06/13

NEOMEDIA TECHNOLOGIES INC               DE       5.07                 09/03/13

Neurotrope, Inc.                        NV       9.01                 08/23/13    AMEND

Nevada Gold Corp.                       DE       1.01,9.01            09/01/13

NOHO, Inc.                              WY       4.01,9.01            09/06/13

NORSTRA ENERGY INC                      NV       9.01                 06/06/13

NRG ENERGY, INC.                        DE       1.01,9.01            09/04/13

OIL STATES INTERNATIONAL, INC           DE       2.01,8.01,9.01       09/05/13

OM GROUP INC                            DE       1.01,1.02,           09/06/13

OMNICARE INC                            DE       8.01                 09/06/13

ON THE MOVE SYSTEMS CORP.               FL       5.02                 08/29/13

Onconova Therapeutics, Inc.             DE       2.02,9.01            09/06/13

Oncothyreon Inc.                        DE       5.02,9.01            09/05/13

OUTERWALL INC                           DE       8.01,9.01            09/06/13

OUTERWALL INC                           DE       8.01,9.01            09/06/13

PEABODY ENERGY CORP                     DE       7.01                 09/06/13

PERVASIP CORP                           NY       3.02,5.03,9.01       08/30/13

PHARMATHENE, INC                        DE       8.01,9.01            09/06/13

PNC FINANCIAL SERVICES GROUP, INC.      PA       8.01                 09/05/13

Premier Beverage Group Corp             NV       7.01                 09/03/13

PVR PARTNERS, L. P.                     DE       8.01,9.01            09/03/13

RADISYS CORP                            OR       5.07                 09/04/13

RAND WORLDWIDE INC                      DE       1.01,9.01            02/01/13

REALTY INCOME CORP                      MD       5.02,5.03,7.01,9.01  09/03/13

RED MOUNTAIN RESOURCES, INC.            FL       7.01,9.01            09/06/13

Regency Energy Partners LP              DE       1.01,7.01,9.01       09/04/13

RJO GLOBAL TRUST                        DE       5.02,8.01,9.01       07/31/13

Rockwood Holdings, Inc.                 DE       2.01,8.01,9.01       08/31/13

SABINE ROYALTY TRUST                    TX       2.02,9.01            09/05/13

SafeStitch Medical, Inc.                DE       2.01,2.03,3.02,      08/30/13

Sanomedics International Holdings, In   DE       1.01,2.01,          08/30/13

Scripps Networks Interactive, Inc.      OH       5.02,8.01,9.01       09/03/13

Shire plc                                        8.01,9.01            09/06/13

SIGMA ALDRICH CORP                      DE       5.02                 09/03/13

SILGAN HOLDINGS INC                     DE       1.01,8.01,9.01       09/04/13

SMITH & WESSON HOLDING CORP             NV       2.02,7.01,9.01       09/05/13

SMITHFIELD FOODS INC                    VA       2.02,9.01            09/06/13

SOFTECH INC                             MA       1.01,9.01            08/30/13

Solar Power, Inc.                       CA       5.02                 08/30/13

SOLAZYME INC                            DE       5.02                 09/04/13

SOUTHERN CALIFORNIA EDISON CO           CA       5.02,9.01            09/05/13

SOUTHERN UNION CO                       DE       8.01,9.01            09/01/13    AMEND

SPRINT Corp                             DE       5.02,9.01            09/06/13

Standard Financial Corp.                MD       3.01,9.01            09/06/13

STARBUCKS CORP                          WA       2.03,8.01,9.01       09/03/13

Steadfast Income REIT, Inc.             MD       7.01,9.01            09/06/13

SUJA MINERALS, CORP                     NV       1.01,2.01,3.02,  08/15/13    AMEND

SUNEDISON, INC.                         DE       1.02                 09/04/13

SUPERVALU INC                           DE       7.01,8.01,9.01       09/06/13

SYCAMORE NETWORKS INC                   DE       1.02,9.01            09/05/13

Sync2 Networks Corp                     NV       5.01,9.01            08/14/13

TAURIGA SCIENCES, INC.                  FL       5.02,9.01            08/31/13

TENET HEALTHCARE CORP                   NV       7.01,9.01            09/06/13

THERAVANCE INC                          DE       8.01                 09/06/13

Titan Iron Ore Corp.                    NV       1.01,3.02,9.01       09/04/13

TRI-CONTINENTAL CORP                    MD       7.01,9.01            09/06/13

TRICO BANCSHARES /                      CA       8.01,9.01            09/05/13

TripAdvisor, Inc.                       DE       5.02,9.01            09/05/13

Trovagene, Inc.                         DE       8.01,9.01            09/06/13

TURBINE TRUCK ENGINES INC               NV       5.03,9.01            09/05/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            09/06/13

United Development Funding III, LP      DE       8.01,9.01            09/06/13

UNITED STATES STEEL CORP                DE       5.02                 08/30/13    AMEND

UNITED TECHNOLOGIES CORP /DE/           DE       5.02,9.01            09/03/13

UNIVERSAL TECHNICAL INSTITUTE INC       DE       9.01                 09/05/13

UNWIRED PLANET, INC.                    DE       8.01                 09/05/13

URANERZ ENERGY CORP.                    NV       1.01,7.01,9.01       09/06/13

UTi WORLDWIDE INC                       D8       2.02,9.01            09/06/13

Vishay Precision Group, Inc.            DE       3.02,8.01            08/28/13

VIVUS INC                               CA       5.02                 07/18/13    AMEND

Vystar Corp                             GA       5.01                 08/30/13

Wheeler Real Estate Investment Trust,   MD       8.01,9.01            09/03/13

WILLIAMS SONOMA INC                     CA       1.01,2.03            08/30/13

WISCONSIN ENERGY CORP                   WI       7.01,9.01            09/06/13

Xtreme Oil & Gas, Inc.                  NV       5.02                 09/04/13

YUM BRANDS INC                          NC       2.02                 09/06/13



Modified: 09/10/2013