Commission Suspends Trading in PacWest Equities Inc.
The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of PacWest Equities, Inc. ("PacWest"), of Las Vegas, Nevada at 9:30 a.m. EDT on September 17, 2013, and terminating at 11:59 p.m. EDT, on September 30, 2013.
The Commission temporarily suspended trading in the securities of PacWest because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, the company's business operations and assets. This order was entered pursuant to Section 12(k) of the Exchange Act.
The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to PacWest's securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker-dealer or other person has any information which may relate to this matter, they should contact J. Lee Buck, II of the Division of Enforcement at (202) 551-4598. The Commission acknowledges the assistance of the Financial Industry Regulatory Authority. (Rel. 34-70423)
Commission Charges 23 Firms with Short Selling Violations in Crackdown on Potential Manipulation in Advance of Stock Offerings
The Commission today announced enforcement actions against 23 firms for short selling violations as the agency increases its focus on preventing firms from improperly participating in public stock offerings after selling short those same stocks. Such violations typically result in illicit profits for the firms.
The enforcement actions are being settled by 22 of the 23 firms charged, resulting in more than $14.4 million in monetary sanctions.
The SEC's Rule 105 of Regulation M prohibits the short sale of an equity security during a restricted period - generally five business days before a public offering - and the purchase of that same security through the offering. The rule applies regardless of the trader's intent, and promotes offering prices that are set by natural forces of supply and demand rather than manipulative activity. The rule therefore helps prevent short selling that can reduce offering proceeds received by companies by artificially depressing the market price shortly before the company prices its public offering.
The firms charged in these cases allegedly bought offered shares from an underwriter, broker, or dealer participating in a follow-on public offering after having sold short the same security during the restricted period.
"The benchmark of an effective enforcement program is zero tolerance for any securities law violations, including violations that do not require manipulative intent," said Andrew J. Ceresney, Co-Director of the SEC's Division of Enforcement. "Through this new program of streamlined investigations and resolutions of Rule 105 violations, we are sending the clear message that firms must pay the price for violations while also conserving agency resources."
The SEC's National Examination Program simultaneously has issued a risk alert to highlight risks to firms from non-compliance with Rule 105. The risk alert highlights observations by SEC examiners focusing on Rule 105 compliance issues as well as corrective actions that some firms proactively have taken to remedy Rule 105 concerns.
"This coordination between the enforcement and examination programs reaffirms that market participants must be in compliance with Rule 105 to preserve and protect the independent pricing mechanisms of the securities markets," said Andrew Bowden, Director of the SEC's National Exam Program.
In a litigated administrative proceeding against G-2 Trading LLC, the SEC's Division of Enforcement is alleging that the firm violated Rule 105 in connection with transactions in the securities of three companies, resulting in profits of more than $13,000. The Enforcement Division is seeking full disgorgement of the trading profits, prejudgment interest, penalties, and other relief as appropriate and in the public interest.
The SEC charged the following firms in this series of settled enforcement actions:
The SEC's investigations were conducted by Conway T. Dodge, Anita B. Bandy, Lauren B. Poper, Christina M. Adams, Allen A. Flood, Kevin J. Gershfeld, Wendy Kong, Mary S. Brady, Ian S. Karpel, Kimberly L. Frederick, and J. Lee Robinson. The SEC's litigation will be led by James A. Kidney. The SEC appreciates the ongoing assistance of the Financial Industry Regulatory Authority. (Press Rel. 2013-182)
Joseph Paul Zada Indicted for Fraud
The Commission announced today that on September 4, 2013, a Grand Jury sitting in the United States District Court for the Southern District of Florida returned an Indictment charging Joseph Paul Zada with 21 counts of mail fraud, two counts of wire fraud, two counts of money laundering, and two counts of interstate transportation of stolen property. The Indictment also seeks forfeiture of properties obtained as a result of the alleged criminal violations.
The Indictment alleges that from at least January 1998 through August 2009, Zada caused over twenty investors to invest over $20 million based on materially false statements and omissions. According to the Indictment, Zada attracted investors by projecting an image of great wealth, portraying himself as a successful businessman and investor with connections to Saudi Arabian oil ventures. He also hosted extravagant parties, drove expensive luxury vehicles, and maintained expensive homes in Wellington, Florida and Grosse Pointe, Michigan. The investors sent money to Zada with the understanding that he would use the funds to invest in various oil ventures on their behalf. The investors usually received promissory notes reflecting the principal amount of their investment. Zada deposited investors' funds into bank accounts he controlled. Instead of investing the funds in oil ventures, Zada used the money to support his lavish lifestyle and to make purported returns on investments to prior investors.
The Indictment's allegations are based on the same conduct underlying the Commission's November 10, 2010 Complaint against Zada in the United States District Court for the Eastern District of Michigan. The Commission charged Zada with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. On July 31, 2013, the Court granted the Commission's motion for summary judgment against Zada, finding that Zada had violated the provisions alleged by the Commission in its Complaint. The Court set a hearing for October 9, 2013 on the Commission's for disgorgement and civil penalties against Zada. [U.S. v. Joseph Paul Zada, Case No. 13-80173-CV (S. Dist. Fla.)] (LR-22798)
Commission Charges Purported Money Manager in New York Who Schemed Investors and Lied to SEC Examiners
The Commission today charged the owner of a New York-based investment advisory firm with defrauding investors while grossly exaggerating the amount of assets under his management.
The SEC alleges that Fredrick D. Scott registered his firm ACI Capital Group as an investment adviser and then embarked on a series of fraudulent schemes targeting individual investors and small businesses. Scott repeatedly touted ACI's registration under the securities laws and falsely claimed the firm's assets under management to be as high as $3.7 billion to bolster his credibility when offering too-good-to-be-true investment opportunities. As Scott solicited funds from investors after promising them very high rates of return, he simply stole their money almost as soon as they deposited it with ACI. Scott paid no returns to investors and illegally used their money to fund such personal expenses as his children's private school tuition, air travel and hotels, department store purchases, and several thousand dollars in dental bills.
In a parallel action, the U.S. Attorney's Office for the Eastern District of New York today announced Scott has pleaded guilty to criminal charges. Among the charges to which Scott has pleaded guilty is making false statements to SEC examiners when they questioned whether Scott and ACI had accepted loans from investors. SEC examiners notified the agency's Enforcement Division, which began investigating and referred the matter to criminal authorities.
According to the SEC's complaint filed in federal court in Brooklyn, one variation of Scott's fraud was a so-called advance fee scheme - Scott promised investors that ACI would provide multi-million dollar loans to people seeking bank financing. But investors were told that they first needed to advance ACI a percentage of the loan amount, and once they did so they would receive the remaining balance of the amount that Scott promised to pay. Scott had no intention of ever returning the money, nor did he repay it.
The SEC alleges that in another iteration of his fraud, Scott offered investors the opportunity to make a bridge loan to a third-party entity. The investor was told to fund one portion of the loan, and ACI would supposedly fund the remaining balance. In exchange, the investor would supposedly receive a substantial return on his initial investment. In this scheme as with each of his others, investors never received returns and Scott stole the money.
The SEC's complaint charges Scott with violating Section 17(a) of the Securities Act, Section 10(b) of the Securities Exchange Act and Rule 10b-5, Section 207 of the Investment Advisers Act for filing a false Form ADV, and aiding and abetting ACI's improper registration in violation of Section 203A of the Advisers Act.
The SEC's investigation was conducted in the New York office by Sharon Binger, Adam Grace, Justin Alfano, Elzbieta Wraga, and Jordan Baker. The investigation stemmed from a referral by the SEC's examination staff including Raymond Slezak, Michael O'Donnell, Kathleen Raimondi, and Ken Fong. The SEC's litigation will be led by Alexander Vasilescu. The SEC appreciates the assistance of the U.S. Attorney's Office for the Eastern District of New York and the Federal Bureau of Investigation. [SEC v. Fredrick D. Scott, Civil Action No. 13-Cv-5113 (DLI) (E.D.N.Y.)] (LR-22799)
Commission Decision as to Walter V. Gerasimowicz, Meditron Asset Management, LLC, and Meditron Management Group, LLC, is Declared Final
The initial decision of an administrative law judge with respect to Walter V. Gerasimowicz, Meditron Asset Management, LLC ("MAM"), and Meditron Management Group, LLC ("MMG") (Respondents), has become final. The law judge found that on May 3, 2013, after Respondents' offer of settlement, the Commission issued an order (Continuation Order) that required Respondents to pay disgorgement and third-tier civil penalties. The disgorgement and penalty amounts were decided by summary disposition, pursuant to 17 C.F.R. ' 201.250. Walter V. Gerasimowicz, Admin. Proc. No. 3-15024 (A.L.J. Apr. 19, 2013). The Respondents were ordered to pay disgorgement, jointly and severally, of $3,143,029.41, plus prejudgment interest, and pay third-tier civil penalties, jointly and severally, of $1,950,000.
Walter V. Gerasimowicz was the sole owner, Chairman, CEO and CCO of MAM, a registered investment adviser. He was also the sole owner of an unregistered investment adviser MMG. Respondents were found to have violated the antifraud provisions within the meaning of Section 21B(b)(3) of the Exchange Act, 203(i)(2) of the Advisers Act, and 9(d)(2) of the Investment Company Act, when they illicitly used funds obtained from investors totaling approximately $2,650,000, in order to keep solvent a private company, where Gerasimowicz served as its President and Chairman of the Board. The funds were lost and the company was bankrupted. The law judge ordered Respondents to disgorge $2,650,000, the amount of diverted funds stipulated in the Continuation Order, and $493,029.41, representing management and incentive fees retained by Respondents. The law judge also found that there were "no unique or compelling reasons" why prejudgment interest should not accrue in accordance with 17 C.F.R. ' 201.600, and so ordered Respondents to pay the prejudgment interest on the total disgorgement amount of $3,143,029.4. The law judge also found that Respondents violated the antifraud provision and that their violative actions "involved fraud [and] reckless disregard of a regulatory requirement" within the meaning of Sections 21B(b)(3) of the Exchange Act, 203(i)(2) of the Advisers Act, and 9(d)(2) of the Investment Company Act such that substantial penalties were warranted because Respondents abused the fiduciary duty owed to their advisory client. A total third-tier penalty amount of $1,950,000 was ordered against Respondents, jointly and severally. The law judge found that Gerasimowicz had not introduced any evidence to support his assertion of his inability to pay any disgorgement, interest, or penalties ordered in the proceeding. (Rel. 34-70430)
Commission Revokes Registration of Securities of Five Respondents by Default for Failure to Make Required Periodic Filings
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in GBS Com-Tech Corp., Admin. Proc. File No. 3-15410. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Gentia Software PLC, Glengarry Holdings, Ltd., Global TeleSystems, Inc., Golden Health Holdings, Inc., and Golden Vista International, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
GBS Com-Tech Corp. and Goolu, Inc., remain in this proceeding. (Rel. 34-70422)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NASDAQ OMX PHLX LLC to amend pricing schedule sections II and IV (SR-Phlx-2013-92) 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 16th. (Rel. 34-70416)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to the appointment cost of IWM Options (SR-CBOE-2013-088) 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 16th. (Rel. 34-70424)
A proposed rule change filed by NYSE Arca, Inc. to specify that LMMs receive execution allocations of incoming Electronic Complex Orders and Complex Order Auction eligible orders in accordance with the guaranteed participation provision of Rule 6.76A(a)(1)(A), without any exceptions (SR-NYSEArca-2013-90) 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 16th. (Rel. 34-70425)
A proposed rule change filed by the Topaz Exchange, LLC (SR-Topaz-2013-04) amending 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 16th. (Rel. 34-70426)
Notice of Proposed Rule Change
The BOX Options Exchange LLC filed a proposed rule change (SR-BOX-2013-43) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, to permit Complex Orders to participate in Price Improvement Periods. Publication is expected in the Federal Register during the week of September 16th. (Rel. 34-70427)
Joint Industry Plans
Pursuant to Rule 608 under the Securities Exchange Act of 1934, the Participants of the Consolidated Tape Association Plan filed a proposal to amend the Second Restatement of the CTA Plan (SR-CTA-2013-05) to remove odd-lot transactions from the list of transactions that are not to be reported for inclusion on the consolidated tape. Publication of the notice is expected to be made in the Federal Register during the week of September 16th. (Rel. 34-70428)
Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder, the operating committee of the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis ("Nasdaq/UTP Plan") filed a proposal to remove odd-lot transactions from the list of transactions that are not to be reported for inclusion on the consolidated tape. Publication of the notice is expected to be made in the Federal Register during the week of September 16th. (Rel. 34-70429)
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 United American Petroleum Corp., 9600 GREAT HILLS TRAIL, SUITE 150W, AUSTIN, TX, 78759, (512) 852-7888 - 2,000,000 ($118,100.00) Equity, (File 333-191174 - Sep. 16) (BR. 04B) S-1 Songbird Development Inc., 108 DNIPROPETROVSKA DOROHA STREET, APT 110, ODESA, 2H, 65000, 415-735-6610 - 2,000,000 ($80,000.00) Equity, (File 333-191175 - Sep. 16) (BR. 06A) S-8 NICE SYSTEMS LTD, 8 HAPNINA STREET, P.O.B. 690, RA'ANANA, L3, 43107, 972-9-775-3777 - 131,316 ($36,769.00) Equity, (File 333-191176 - Sep. 16) (BR. 03A) S-8 Phoenix New Media Ltd, SINOLIGHT PLAZA, FL.16, NO.4 QIYANG RD.,, WANGJING, CHAOYANG DISTRICT, Beijing, F4, 100102, (86) 10 60676000 - 0 ($23,016,656.01) ADRs/ADSs, (File 333-191177 - Sep. 16) (BR. 11C) S-4 Armstrong Energy, Inc., 7733 FORSYTH BOULEVARD, SUITE 1625, ST. LOUIS, MO, 63105, 314-721-8202 - 0 ($200,000,000.00) Debt, (File 333-191182 - Sep. 16) (BR. 09) F-3 BOS BETTER ONLINE SOLUTIONS LTD, 20 FREIMAN STREET, RISHON LEZION, L3, 75100, 011-972-3-954-1000 - 122,500 ($490,612.50) Equity, (File 333-191183 - Sep. 16) (BR. 03A) S-8 VALASSIS COMMUNICATIONS INC, 19975 VICTOR PARKWAY, LIVONIA, MI, 48152, 3135913000 - 1,816,571 ($7,148.47) Equity, (File 333-191187 - Sep. 16) (BR. 11A) S-3ASR CUMMINS INC, 500 JACKSON ST, BOX 3005 MAIL CODE 60207, COLUMBUS, IN, 47202-3005, 8123773842 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191189 - Sep. 16) (BR. 10A) S-3ASR Pandora Media, Inc., 2101 WEBSTER STREET, SUITE 1650, OAKLAND, CA, 94612, (510) 451-4100 - 0 ($0.00) Equity, (File 333-191190 - Sep. 16) (BR. 11A) S-4 BOISE CASCADE Co, 1111 WEST JEFFERSON STREET, SUITE 300, P. O. BOX 50, BOISE, ID, 83702, (208) 384-6161 - 0 ($50,000,000.00) Debt, (File 333-191191 - Sep. 16) (BR. 06A) S-3 SB FINANCIAL GROUP, INC., 401 CLINTON ST, DEFIANCE, OH, 43512, 4197838930 - 0 ($30,000,000.00) Other, (File 333-191192 - Sep. 16) (BR. 07C) S-1 Essent Group Ltd., 61 FRONT STREET, HAMILTON, D0, HM 11, 877-673-8190 - 0 ($287,500,000.00) Equity, (File 333-191193 - Sep. 16) (BR. 01A) S-8 Restoration Hardware Holdings Inc, 15 KOCH ROAD, SUITE J, CORTE MADERA, CA, 94925, 415-924-1005 - 0 ($207,571,487.70) Equity, (File 333-191194 - Sep. 16) (BR. 02) S-1 Global Defense & National Security Systems, Inc., C/O SKARDEL, LLC, 920 N. MARKET ST., ONE RODNEY SQ., WILMINGTON, DE, 19801, (703) 395-7649 - 0 ($69,000,000.00) Equity, (File 333-191195 - Sep. 16) (BR. 02) S-4 PIONEER NATURAL RESOURCES CO, 200 WILLIAMS SQUARE WEST, 5205 N OCONNOR BLVD, IRVING, TX, 75039, 9724449001 - 0 ($746,523,447.85) Equity, (File 333-191196 - Sep. 16) (BR. 04B) S-4 RHP Hotel Properties, LP, ONE GAYLORD DRIVE, NASHVILLE, TN, 37214, 615-316-6000 - 0 ($350,000,000.00) Non-Convertible Debt, (File 333-191197 - Sep. 16) (BR. )
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 NUMBERS DATE COMMENT 3DICON CORP OK 7.01,8.01,9.01 09/12/13 AETRIUM INC MN 8.01,9.01 09/13/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02 09/10/13 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02,9.01 09/16/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/16/13 Alon USA Energy, Inc. DE 1.01,2.03,3.02, 09/10/13 7.01,9.01 AMERICAN AXLE & MANUFACTURING HOLDING DE 1.01,2.03,9.01 09/13/13 AMERICAN ELECTRIC POWER CO INC NY 7.01 09/16/13 AMERICAN EXPRESS CO NY 7.01 09/16/13 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 1.01,3.02,9.01 09/09/13 American Realty Capital Properties, I MD 1.01,3.02,8.01,9.01 09/11/13 Andina Acquisition Corp E9 3.01 09/11/13 ARES CAPITAL CORP MD 7.01,9.01 09/16/13 ARUBA NETWORKS, INC. DE 2.02,9.01 09/16/13 Atkore International Holdings Inc. DE 1.01,9.01 09/13/13 AUTHENTIC TEAS INC. NV 1.01,5.03,9.01 09/13/13 BANC OF CALIFORNIA, INC. MD 8.01,9.01 09/10/13 BankUnited, Inc. DE 5.02,9.01 09/16/13 BEAZER HOMES USA INC DE 8.01,9.01 09/16/13 BLUE CALYPSO, INC. DE 1.01,9.01 09/13/13 BlueLinx Holdings Inc. DE 8.01,9.01 09/13/13 Boston Therapeutics, Inc. DE 5.03,9.01 09/16/13 BRE PROPERTIES INC /MD/ MD 7.01,9.01 09/16/13 BREEZE-EASTERN CORP DE 5.07 09/12/13 BROADWAY FINANCIAL CORP \DE\ DE 8.01,9.01 09/16/13 CABELAS INC DE 7.01,9.01 09/16/13 CAMAC Energy Inc. DE 1.01 09/10/13 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 09/16/13 CAPITAL ONE FINANCIAL CORP DE 7.01 09/16/13 Cardiovascular Systems Inc DE 3.02,8.01 09/10/13 CASEYS GENERAL STORES INC IA 5.07,7.01,9.01 09/13/13 CBL & ASSOCIATES PROPERTIES INC DE 8.01,9.01 09/16/13 CBL & ASSOCIATES PROPERTIES INC DE 8.01,9.01 09/16/13 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 5.02,7.01,9.01 09/10/13 CF Industries Holdings, Inc. DE 5.02,9.01 09/12/13 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 09/16/13 CHINA RECYCLING ENERGY CORP 1.01,3.02,9.01 09/05/13 Clean Energy Fuels Corp. DE 1.01,2.03,3.02,9.01 09/16/13 CNS RESPONSE, INC. DE 1.01,3.02 09/10/13 COLGATE PALMOLIVE CO DE 5.02,9.01 09/12/13 CommonWealth REIT MD 8.01,9.01 09/13/13 CONAGRA FOODS INC /DE/ DE 1.01 09/14/13 CORNERSTONE THERAPEUTICS INC DE 1.01,8.01,9.01 09/15/13 CORNERSTONE THERAPEUTICS INC DE 5.03,8.01,9.01 09/15/13 Corporate Resource Services, Inc. DE 8.01,9.01 09/16/13 CREDEX CORP FL 8.01 09/13/13 CREDIT ACCEPTANCE CORP MI 7.01,9.01 09/16/13 Crystal Rock Holdings, Inc. DE 2.02,9.01 09/16/13 CVENT INC DE 2.02,9.01 09/16/13 Deep Down, Inc. NV 1.01,3.02,9.01 09/10/13 DEL TORO SILVER CORP. NV 1.02,9.01 09/13/13 DELCATH SYSTEMS, INC. DE 5.02,9.01 09/10/13 Destination Maternity Corp DE 7.01 09/12/13 DEVON ENERGY CORP/DE DE 5.03,9.01 09/11/13 Discover Financial Services DE 7.01,9.01 09/16/13 Domark International Inc. NV 4.01,9.01 09/10/13 Domark International Inc. NV 4.01,9.01 08/30/13 AMEND DUKE REALTY CORP IN 7.01,9.01 09/16/13 DXP ENTERPRISES INC TX 1.01,9.01 09/16/13 Eaton Corp plc 5.02 09/13/13 EMPIRE RESOURCES INC /NEW/ DE 8.01,9.01 09/13/13 EPR PROPERTIES MD 5.02,7.01,9.01 09/16/13 ESSA Bancorp, Inc. PA 5.02,9.01 09/11/13 EVEREST RE GROUP LTD D0 5.02,9.01 09/13/13 EXPERIENCE ART & DESIGN, INC. NV 1.01,1.02,2.01, 05/02/13 AMEND 2.03,3.02,4.01,5.01,5.06,9.01 FactorShares 2X: TBond Bull/S&P500 Be 3.01 09/10/13 FERRO CORP OH 7.01,9.01 09/12/13 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 08/09/13 Fifth Street Senior Floating Rate Cor DE 8.01,9.01 09/16/13 FIRST REGIONAL BANCORP CA 8.01,9.01 09/11/13 FS Investment Corp II MD 2.02 09/10/13 GAIN Capital Holdings, Inc. DE 5.02,9.01 09/09/13 GAIN Capital Holdings, Inc. DE 5.02,9.01 09/09/13 AMEND GENESIS ENERGY LP DE 1.01,8.01,9.01 09/11/13 GENTIVA HEALTH SERVICES INC DE 5.02,9.01 09/12/13 GRAYBAR ELECTRIC CO INC NY 5.02,9.01 09/12/13 Green Living Concepts Inc. NV 3.03,5.01,5.02, 08/29/13 5.03,9.01 Green Plains Renewable Energy, Inc. IA 8.01,9.01 09/16/13 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 09/13/13 GYRODYNE CO OF AMERICA INC NY 1.01,8.01,9.01 09/12/13 H&R BLOCK INC MO 5.03,5.07,9.01 09/12/13 HAIN CELESTIAL GROUP INC DE 8.01,9.01 09/12/13 HAPYKIDZ.COM NV 8.01 09/12/13 HARSCO CORP DE 1.01,2.06,7.01,9.01 09/12/13 HERCULES OFFSHORE, INC. DE 7.01,9.01 09/16/13 hhgregg, Inc. DE 5.02 09/10/13 HI TECH PHARMACAL CO INC NY 1.01,9.01 09/12/13 Hines Global REIT, Inc. MD 8.01 08/29/13 HOVNANIAN ENTERPRISES INC DE 1.01,2.03,3.03, 09/16/13 8.01,9.01 HUDSON CITY BANCORP INC DE 8.01,9.01 09/13/13 IGATE CORP PA 5.02,9.01 09/16/13 Independent Bank Group, Inc. TX 7.01,9.01 09/16/13 Infinity Augmented Reality, Inc. NV 5.02 09/11/13 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 2.01,9.01 09/11/13 InspireMD, Inc. DE 5.02,8.01,9.01 09/03/13 AMEND INTEGRATED ELECTRICAL SERVICES INC DE 1.01,2.01,2.03, 09/13/13 7.01,9.01 JOY GLOBAL INC DE 5.03,9.01 09/10/13 KENNAMETAL INC PA 1.01 09/14/13 KILROY REALTY CORP MD 7.01,8.01,9.01 09/11/13 KITARA MEDIA CORP. DE 9.01 07/01/13 AMEND Kraton Performance Polymers, Inc. DE 5.02,9.01 09/11/13 Landmark Apartment Trust of America, 9.01 07/01/13 AMEND LEXMARK INTERNATIONAL INC /KY/ DE 8.01 09/16/13 LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 09/12/13 LIFELOCK, INC. DE 1.01,9.01 09/09/13 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 5.07 09/16/13 Lightstone Value Plus Real Estate Inv MD 5.07 09/16/13 LPL Financial Holdings Inc. DE 5.02,9.01 09/13/13 McEwen Mining Inc. CO 5.02,7.01,9.01 09/13/13 MEDGENICS, INC. DE 5.02,7.01,9.01 09/13/13 MENTOR GRAPHICS CORP OR 5.02,9.01 09/11/13 MERITOR INC IN 5.02,9.01 09/11/13 METWOOD INC NV 1.01,2.01,3.02,9.01 09/13/13 AMEND MID AMERICA APARTMENT COMMUNITIES INC TN 8.01,9.01 09/16/13 MIDDLESEX WATER CO NJ 8.01,9.01 09/16/13 MOBETIZE, CORP. NV 2.01,3.02,5.01, 07/15/13 5.02,9.01 MOBETIZE, CORP. NV 4.01,9.01 09/03/13 MOBETIZE, CORP. NV 4.01,9.01 09/03/13 AMEND MOLEX INC DE 8.01,9.01 09/16/13 MOSAIC CO 7.01,9.01 09/16/13 NAKED BRAND GROUP INC. NV 1.01,3.02,8.01,9.01 09/10/13 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 09/16/13 NEKTAR THERAPEUTICS DE 7.01 09/16/13 Net Element International, Inc. E9 5.02 09/11/13 NETLIST INC DE 3.01 09/10/13 NORTHWEST BIOTHERAPEUTICS INC DE 8.01,9.01 09/10/13 NVIDIA CORP DE 5.02 09/11/13 OCLARO, INC. DE 2.02,9.01 09/16/13 OLD DOMINION FREIGHT LINE INC/VA VA 7.01,9.01 09/16/13 OLD LINE BANCSHARES INC MD 3.02,9.01 09/13/13 OMEGA HEALTHCARE INVESTORS INC MD 8.01 09/13/13 OPTIMER PHARMACEUTICALS INC 1.01,3.02,3.03, 09/16/13 5.03,9.01 OUTERWALL INC DE 7.01,9.01 09/16/13 Pandora Media, Inc. DE 8.01,9.01 09/16/13 Patriot Coal CORP DE 8.01 09/10/13 PEDEVCO CORP TX 2.02,8.01,9.01 09/16/13 PEDEVCO CORP TX 1.01,2.03,8.01,9.01 09/11/13 PERMA FIX ENVIRONMENTAL SERVICES INC DE 5.07,8.01 09/12/13 PHOTRONICS INC CT 5.02,9.01 09/16/13 PICO HOLDINGS INC /NEW CA 2.01,9.01 09/10/13 PIONEER NATURAL RESOURCES CO DE 8.01 09/16/13 PLUG POWER INC DE 7.01,9.01 09/16/13 PLURISTEM THERAPEUTICS INC NV 8.01 09/16/13 PORTFOLIO RECOVERY ASSOCIATES INC DE 5.02,9.01 09/11/13 Post Holdings, Inc. MO 1.01,9.01 09/15/13 PPL Corp 7.01,9.01 09/14/13 PROCTER & GAMBLE Co OH 7.01 09/16/13 PROSPECT GLOBAL RESOURCES INC. NV 2.03,9.01 09/13/13 Protea Biosciences Group, Inc. DE 1.01,2.03,3.02,9.01 09/11/13 Qumu Corp MN 5.03,9.01 09/16/13 Rand Logistics, Inc. DE 8.01,9.01 09/16/13 Regional Management Corp. DE 8.01,9.01 09/16/13 RESOURCE AMERICA, INC. DE 7.01,9.01 09/16/13 Resource Real Estate Opportunity REIT MD 8.01,9.01 09/16/13 Resource Real Estate Opportunity REIT MD 1.01 09/13/13 Retrophin, Inc. OK 4.02 09/13/13 Rockville Financial, Inc. /CT/ CT 7.01,9.01 09/16/13 Ryman Hospitality Properties, Inc. DE 8.01,9.01 09/16/13 Ryman Hospitality Properties, Inc. DE 8.01,9.01 09/16/13 SAGA COMMUNICATIONS INC DE 2.02,9.01 09/16/13 Sagent Pharmaceuticals, Inc. DE 1.01,8.01,9.01 09/10/13 SAKS INC TN 5.02,9.01 09/16/13 Saleen Automotive, INC. NV 1.01,2.01,2.03, 06/26/13 AMEND 3.02,3.03,4.01,5.01,5.02,5.06 Skyline Medical Inc. MN 3.02,5.02,5.07 09/10/13 SMITHFIELD FOODS INC VA 8.01,9.01 09/16/13 SOHU COM INC DE 1.01,8.01,9.01 09/16/13 Solo International, Inc NV 5.02 09/13/13 SOURCEFIRE INC DE 8.01,9.01 09/16/13 SOUTHWEST BANCORP INC OK 8.01 09/16/13 SPHERIX INC DE 8.01,9.01 09/16/13 Spirit Realty Capital, Inc. MD 7.01,9.01 09/16/13 STERLING FINANCIAL CORP /WA/ WA 8.01 09/13/13 Summit Hotel Properties, Inc. MD 8.01,9.01 09/13/13 Swisher Hygiene Inc. DE 5.02,9.01 09/10/13 SYNTA PHARMACEUTICALS CORP 8.01,9.01 09/12/13 Tallgrass Energy Partners, LP DE 7.01,9.01 09/16/13 Teamupsport Inc. NV 5.03,7.01,9.01 09/09/13 TECHPRECISION CORP 2.02,7.01,9.01 09/16/13 TERRA NITROGEN CO L P /DE DE 5.02 09/16/13 TEXAS VANGUARD OIL CO TX 1.01,9.01 09/13/13 Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 09/16/13 TRANS ENERGY INC NV 7.01,9.01 09/10/13 TRANS ENERGY INC NV 7.01,9.01 09/10/13 TRIMAS CORP DE 8.01,9.01 09/16/13 Truewest Corp NV 5.01,5.02,9.01 09/13/13 Truli Media Group, Inc. OK 1.01,2.03,3.02,9.01 09/10/13 TUPPERWARE BRANDS CORP DE 1.01,1.02,2.03,9.01 09/11/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/16/13 U. S. Premium Beef, LLC 7.01,9.01 09/16/13 UMAX GROUP CORP NV 3.02,5.02,8.01 09/12/13 UMB FINANCIAL CORP MO 8.01,9.01 09/10/13 UNIFI INC NY 7.01,9.01 09/16/13 UNITED FIRE GROUP INC 8.01,9.01 09/16/13 UNS Energy Corp AZ 8.01 09/11/13 US ENERGY CORP WY 2.01,9.01 09/11/13 USMD Holdings, Inc. DE 1.01,2.03,3.02, 09/13/13 7.01,9.01 VALOR GOLD CORP. DE 3.02,5.03,9.01 09/11/13 VERIZON COMMUNICATIONS INC DE 8.01,9.01 09/11/13 VERMILLION, INC. DE 5.02,9.01 09/16/13 VII Peaks-KBR Co-Optivist Income BDC MD 5.03,9.01 09/11/13 VILLAGE SUPER MARKET INC NJ 8.01,9.01 09/13/13 VIROPRO INC NV 4.01 07/30/12 Volcano Corp DE 5.02,9.01 09/10/13 Vringo Inc DE 7.01,9.01 09/13/13 WebMD Health Corp. DE 8.01,9.01 09/10/13 AMEND WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 09/16/13 WELLS MID-HORIZON VALUE-ADDED FUND I 1.01,5.02 09/11/13 WERNER ENTERPRISES INC NE 8.01,9.01 09/16/13 WESTFIELD FINANCIAL INC MA 7.01,9.01 09/16/13 WESTFIELD FINANCIAL INC MA 7.01,9.01 09/16/13 AMEND WEYERHAEUSER CO WA 1.01,2.03,8.01,9.01 09/12/13 WPCS INTERNATIONAL INC DE 2.02,9.01 09/16/13 WPCS INTERNATIONAL INC DE 7.01,9.01 09/16/13 Writers Group Film Corp DE 1.01,7.01,9.01 09/13/13 Zoetis Inc. 7.01,9.01 09/12/13