Commission Suspends Trading in the Securities of Left Behind Games, Inc. for Failure to Make Required Periodic Filings
The Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Left Behind Games, Inc. (Left Behind), commencing at 9:30 a.m. EDT on September 25, 2013 and terminating at 11:59 p.m. EDT on October 8, 2013.
The Commission temporarily suspended trading in the securities of Left Behind due to a lack of current and accurate information about the company because it has not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (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 Left Behind.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of Left Behind unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of Left Behind that have been subject to trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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 immediately communicate it to Marc Blau at (323) 965-3975, or by e-mail at email@example.com. (Rel. 34-70495)
Commission Charges CEO of Video Game Company and Purported Consultant in Revenue Inflation Scheme
The Commission today announced charges against the founder of a religious-themed video game manufacturer and his friend for scheming to falsely inflate the company's revenue by nearly 1,300 percent in a one-year period through sham circular transactions.
The SEC alleges that Troy Lyndon, who serves as the CEO and CFO, caused Left Behind Games Inc. to issue almost two billion shares of stock to Ronald Zaucha as purported compensation for consulting services to the California-based company. The true purpose of the arrangement was to enable Zaucha to sell millions of unregistered shares of Left Behind Games stock into the market and then kick back a portion of his stock proceeds to the company in order to prop up its revenue at a time when it was in dire need of additional funds.
The SEC's complaint was filed late yesterday in federal court in Hawaii. Lyndon lives in Honolulu and Zaucha lives in Maui. The company's stock was suspended by the SEC today.
"Lyndon and Zaucha's scheme duped investors into believing Left Behind Games was becoming a successful enterprise when it was struggling to stay afloat," said Michele Wein Layne, Director of the SEC's Los Angeles Office. "Lyndon essentially gave Zaucha stock in exchange for phony revenue streams that created an inaccurate portrait of the company's financial health."
According to the SEC's complaint, Left Behind Games was founded in 2001 and touted itself as "the only publicly-traded exclusive publisher of Christian modern media" and "the world leader in the publication of Christian video games and a Christian social network provider." However, financial troubles caused the company to terminate all of its employees and close its office at the end of 2011.
The SEC alleges that Lyndon and Zaucha concocted their scheme beginning in 2009 in an apparent last-ditch fraudulent effort to save the company, which was unprofitable and severely undercapitalized at the time. Left Behind Games issued stock to Zaucha for his so-called consulting services, and at Lyndon's direction he promptly sold virtually all of his stock for approximately $4.6 million in proceeds. Zaucha then kicked back approximately $3.3 million of the proceeds to the company in three deceiving ways.
The SEC alleges that Zaucha first paid the company $871,000 from September 2009 to June 2010 for what his consulting agreement termed as "early-sell fees" for his excessive sale of stock. Secondly, in December 2010, Zaucha formed a company called Lighthouse Distributors and used the proceeds of his stock sales to finance the purchase of approximately $1.38 million in old and obsolete inventory from Left Behind Games. Lighthouse simply gave most of these products away to churches and religious organizations, yet Left Behind Games improperly recognized the revenue from these sham transactions and falsely claimed that its revenue had increased nearly 1,300 percent from the prior fiscal year. Zaucha later kicked back another $1 million to Left Behind Games as instructed by Lyndon. Meanwhile, Lyndon allowed Zaucha to retain $1.28 million of his stock sale proceeds for personal uses, which included the purchase of condominiums in Maui and Orange County, Calif.
Zaucha performed few, if any, consulting services, according to the SEC's complaint. Each of the consulting agreements was vague about the services that Zaucha would provide. One agreement noted that Zaucha had experience in marketing related to non-profit corporations when, in fact, Lyndon understood Zaucha's experience to be as a pastor running prison ministries rather than in marketing. Two agreements also vaguely stated that Zaucha would perform services to build an "independent rep network" to contact church pastors in an effort to offer Left Behind Games products. In reality, Left Behind Games had no "network" of independent representatives calling potential purchasers of its products.
The SEC's complaint alleges that Lyndon and Zaucha violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The complaint also alleges that Lyndon violated Section 13(b)(5) of the Exchange Act, and Rules 13a-14, 13b2-1, and 13b2-2, and that he aided and abetted Left Behind Games' violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13. The complaint seeks permanent injunctions, financial penalties, and penny stock bars against Lyndon and Zaucha, and an officer-and-director bar against Lyndon.
The SEC's investigation, which is continuing, has been conducted by Lucee Kirka, Carol Shau, and Marc Blau of the Los Angeles office. The SEC's litigation will be led by Karen Matteson and Amy Longo. (Press Rel. 2013-198)
SEC Settles Action against Oregon-Based Hedge Fund Manager Yusaf Jawed, Who Masterminded a Ponzi Scheme
The Commission announced that on Sept. 11, 2013, final judgments were entered against Yusaf Jawed and his two entities (Grifphon Asset Management, LLC and Grifphon Holdings, LLC), which enjoin them from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, Section 17(a) of the Securities Act, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act and Rule 206(4)-8 thereunder and order them to pay disgorgement and interest of $33,909,974. The Commission's previously filed complaint alleged that Jawed through the two entities he controlled masterminded a long-running, $30-plus million Ponzi scheme that defrauded more than 100 investors in the Pacific Northwest and across the country.
Based on the final judgment against Jawed, the Commission issued today an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions that bars Jawed from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization.
For further information on earlier actions in this case, see Lit. Release No. LR-22487 (Sept. 21, 2012) (SEC charges Yusaf Jawed, and the entities he controlled, for running a Ponzi scheme that raised over $37 million from more than 100 investors in the Pacific Northwest and across the country). [SEC v. Yusaf Jawed, Grifphon Asset Management, LLC, and Grifphon Holdings, LLC, 3:12-CV-01696-PK (District of Oregon)] (LR-22812)
In the Matter of Left Behind Games, Inc.
The Commission announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against Left Behind Games, Inc. (Left Behind). The Division of Enforcement alleges that Left Behind is delinquent in its periodic filings with the Commission, having not filed any periodic reports since it filed a Form 10-Q for the period ended September 30, 2011.
The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70494)
Delinquent Filer's Stock Registration Revoked
The registration of the registered securities of Axius, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70493)
Investment company orders
Forethought Variable Insurance Trust and Forethought Investment Advisors, LLC
A notice has been issued giving interested persons until October 21, 2013, to request a hearing on an application filed by Forethought Variable Insurance Trust and Forethought Investment Advisors, LLC for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (IC-30716)
U.S. Global Investors, Inc., et al.
A notice has been issued giving interested persons until October 21, 2013, to request a hearing on an application filed by U.S. Global Investors, Inc., et al., for an order to permit: (a) certain open-end management investment companies or series thereof to issue shares ("Shares") redeemable in large aggregations only ("Creation Units"); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (IC- 30723)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change (SR-MIAX-2013-43) filed by Miami International Securities Exchange LLC to implement an equity rights program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of
September 30th. (Rel. 34-70498)
A proposed rule change filed by Miami International Securities Exchange LLC amending exchange Rule 604 in connection with market maker continuous quoting obligations (SR-MIAX-2013-44) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of September 30th. (Rel. 34-70505)
A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-76) to amend the NYSE Amex Options Fee Schedule to specify the frequency with which the Exchange may change the Options Regulatory Fee has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of September 30th. (Rel. 34-70499)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-91) to amend the NYSE Arca Options Fee Schedule to specify the frequency with which the Exchange may change the Options Regulatory Fee has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of September 30th. (Rel. 34-70500)
A proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule to add an additional tier to the Lead Market Maker rights fees (SR-NYSEArca-2013-95) 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 30th. (Rel. 34-70503)
A proposed rule change filed by NYSE Arca, Inc. amending the NYSE Arca Options Fee Schedule to include an additional Market Maker monthly posting credit tier (SR-NYSEArca-2013-93) 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 30th. (Rel. 34-70504)
Notice of Proposed Rule Change
ICE Clear Credit LLC filed a proposed rule change (File No. SR-ICC-2013-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the clearance of Standard Emerging European and Middle Eastern Sovereign Single Names, specifically the Republic of Turkey and the Russian Federation. Publication is expected in the Federal Register during the week of September 30th. (Rel. 34-70496)
Approval of a Proposed Rule Change
The Commission has approved a proposed rule change (SR-OCC-2013-13) filed by The Options Clearing Corporation (OCC) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the use of manual signatures, reduction of segregated long positions in accounts with aggregated long positions, requirements to be physically present, and other technical changes to OCC's By-Laws and Rules to better reflect current operational practices. Publication is expected in the Federal Register during the week of September 30th. (Rel. 34-70502)
Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change
The Commission has designated a longer period for Commission action on proceedings under Section 19(b)(2) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change (File No. SR-NSCC-2013-02), as modified by Amendment Nos. 1 and 2, to institute supplemental liquidity deposits to its clearing fund designed to increase liquidity resources to meet its liquidity needs. NSCC also filed the proposal contained in the proposed rule change, as modified, as an advance notice (File No. SR-NSCC-2013-802) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) thereunder. See Release No. 34-69451 (Apr. 25, 2013), 78 FR 25496 (May 1, 2013). The proposal shall not take effect until all regulatory actions required with respect to the proposal are completed. The Commission will consider all public comments received on the proposal regardless of whether the comments are submitted in response to the proposed rule change, as modified (File No. SR-NSCC-2013-02) or the advance notice (File No. SR-NSCC-2013-802). Publication is expected in the Federal Register during the week of September 30th. (Rel. 34-70501)
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.
F-3 Adecoagro S.A., 13-15 Avenue de la Liberte, N/A, N4, L-1931, 352 2689-8213 - 0 ($405,262,500.00) Equity, (File 333-191325 - Sep. 24) (BR. 05A) S-8 VIASAT INC, 6155 EL CAMINO REAL, CARLSBAD, CA, 92009, 760-476-2200 - 0 ($16,608,000.00) Equity, (File 333-191326 - Sep. 24) (BR. 11C) S-3 Gas Natural Inc., 1 FIRST AVE SOUTH, PO BOX 2229, GREAT FALLS, MT, 59401, 4067917500 - 0 ($15,450,000.00) Equity, (File 333-191328 - Sep. 24) (BR. 02B) S-8 ML Capital Group, Inc., 16810 AVENUE OF THE FOUNTAINS, FOUNTAIN HILLS, AZ, 85268, 480-516-5308 - 10,000,000 ($2,500,000.00) Equity, (File 333-191330 - Sep. 24) (BR. 07) S-3 GS MORTGAGE SECURITIES CORP II, 85 BROAD ST, NEW YORK, NY, 10004, 2129021000 - 1 ($1.00) Mortgage Backed Securities, (File 333-191331 - Sep. 24) (BR. OSF) S-8 ARUBA NETWORKS, INC., 1344 CROSSMAN AVE., SUNNYVALE, CA, 94089, 408-227-4500 - 0 ($131,600,237.00) Equity, (File 333-191334 - Sep. 24) (BR. 03B) S-8 ClubCorp Holdings, Inc., 3030 LBJ FREEWAY, SUITE 500, DALLAS, TX, 75234, 972-406-4112 - 0 ($59,880,000.00) Equity, (File 333-191335 - Sep. 24) (BR. 05A) S-1 Apparel Holding Corp., 600 KELLWOOD PARKWAY, CHESTERFIELD, MO, 63107, (314) 576-3100 - 0 ($200,000,000.00) Equity, (File 333-191336 - Sep. 24) (BR. 09) S-8 RALPH LAUREN CORP, 650 MADISON AVENUE, NEW YORK, NY, 10022, 2123187000 - 1,700,000 ($285,345,000.00) Equity, (File 333-191338 - Sep. 24) (BR. 09A)
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 AAR CORP DE 2.02,9.01 09/24/13 ACCELERON PHARMA INC DE 3.02,5.02,5.03, 09/18/13 8.01,9.01 ACORN ENERGY, INC. DE 5.07 09/20/13 ALERE INC. DE 8.01,9.01 09/24/13 ALL GRADE MINING, INC. CO 4.01,9.01 03/28/13 AMEND Amarantus Bioscience Holdings, Inc. NV 8.01,9.01 09/24/13 Amarantus Bioscience Holdings, Inc. NV 7.01,8.01 09/23/13 AMEND AMERICAN CAPITAL, LTD 1.01,9.01 09/20/13 American Express Receivables Financin DE 8.01,9.01 09/24/13 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,8.01,9.01 09/24/13 AmREIT, Inc. MD 1.01,2.01,2.03, 09/18/13 7.01,9.01 AMSURG CORP TN 7.01,9.01 09/24/13 ANGIODYNAMICS INC DE 1.01,1.02,2.03,9.01 09/19/13 Apollo Acquisition Corp E9 4.01,9.01 09/18/13 APPLIED MATERIALS INC /DE DC 1.01,7.01,9.01 09/24/13 Approach Resources Inc DE 7.01,9.01 09/24/13 ARBOR REALTY TRUST INC MD 7.01,9.01 09/24/13 Armada Hoffler Properties, Inc. MD 7.01,9.01 09/20/13 Ascena Retail Group, Inc. DE 2.02,9.01 09/24/13 AUTOBYTEL INC DE 1.01 09/18/13 AV Homes, Inc. DE 5.02,5.07 09/18/13 AWG International Water Corp NV 5.02 09/22/13 AXIS CAPITAL HOLDINGS LTD 1.01,9.01 09/18/13 BANNER CORP WA 8.01,9.01 09/24/13 BEHRINGER HARVARD MULTIFAMILY REIT I 8.01 09/20/13 BIGLARI HOLDINGS INC. IN 1.01,9.01 09/18/13 BJs RESTAURANTS INC CA 8.01,9.01 09/24/13 BLACKSTONE MORTGAGE TRUST, INC. MD 1.01 09/23/13 Blue Water Petroleum Corp. 7.01,9.01 09/24/13 CAESARS ENTERTAINMENT Corp DE 8.01,9.01 09/24/13 CAMDEN NATIONAL CORP ME 7.01,8.01,9.01 09/24/13 Carey Watermark Investors Inc 9.01 07/10/13 AMEND CARMAX INC VA 2.02,9.01 09/24/13 CARNIVAL CORP DE 2.02,9.01 09/24/13 CASEY CONTAINER CORP NV 8.01,9.01 09/24/13 CatchMark Timber Trust, Inc. MD 1.01,5.02,5.03, 09/18/13 8.01,9.01 CENVEO, INC CO 5.02,7.01,9.01 09/18/13 CHARLES & COLVARD LTD NC 2.03,9.01 09/20/13 Chatham Lodging Trust MD 7.01,8.01,9.01 09/24/13 CHRISTOPHER & BANKS CORP DE 7.01,9.01 09/24/13 CINCINNATI BELL INC OH 8.01 09/23/13 CINCINNATI FINANCIAL CORP OH 7.01,9.01 09/24/13 Clean Energy Fuels Corp. DE 1.01,2.03,3.02,9.01 09/20/13 CMS ENERGY CORP MI 7.01,9.01 09/24/13 CONSUMERS BANCORP INC /OH/ OH 7.01,9.01 09/24/13 COUPON EXPRESS, INC. NV 5.02 09/05/13 Crestwood Midstream Partners LP DE 8.01 09/24/13 CROSSROADS SYSTEMS INC DE 3.01 09/18/13 CUMMINS INC IN 1.01,2.03,8.01,9.01 09/19/13 DIAMOND OFFSHORE DRILLING INC DE 5.02,9.01 09/23/13 Eastern Insurance Holdings, Inc. PA 1.01,5.02,7.01,9.01 09/23/13 Energizer Resources, Inc. MN 5.02 09/20/13 EnteroMedics Inc 8.01,9.01 09/24/13 Epicor Software Corp 1.01 09/20/13 Federal Home Loan Bank of Atlanta X1 2.03 09/18/13 Federal Home Loan Bank of Boston X1 2.03 09/18/13 Federal Home Loan Bank of Chicago X1 2.03 09/18/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/19/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/20/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/24/13 Federal Home Loan Bank of New York X1 2.03,9.01 09/18/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/18/13 Federal Home Loan Bank of Seattle 2.03 09/20/13 Federal Home Loan Bank of Topeka 2.03,9.01 09/18/13 FEDEX CORP DE 5.02,5.07,9.01 09/23/13 FINJAN HOLDINGS, INC. DE 8.01,9.01 09/24/13 FIVE STAR QUALITY CARE INC 1.01,8.01,9.01 09/19/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 09/24/13 FMC CORP DE 5.02,5.03,9.01 09/23/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 09/24/13 GALECTIN THERAPEUTICS INC NV 7.01,9.01 09/24/13 General Growth Properties, Inc. DE 7.01,9.01 09/24/13 General Motors Co 7.01,9.01 09/24/13 GEOVIC MINING CORP. DE 5.02,9.01 09/17/13 GLADSTONE COMMERCIAL CORP MD 8.01,9.01 09/24/13 GLATFELTER P H CO PA 5.03 12/12/12 GlobalOptions Group, Inc. 1.01,2.01,3.02,3.03, 09/18/13 5.01,5.02,5.03,5.06,9.01 GOLDEN ENTERPRISES INC DE 5.07 09/19/13 GOLDEN QUEEN MINING CO LTD A1 5.02,8.01,9.01 09/18/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/20/13 GreenHunter Resources, Inc. DE 1.01,3.02,9.01 09/19/13 Hamilton Bancorp, Inc. MD 8.01 09/24/13 HARRIS TEETER SUPERMARKETS, INC. NC 8.01 09/24/13 Heron Lake BioEnergy, LLC MN 1.01,2.03,3.02,9.01 09/18/13 HEWLETT PACKARD CO DE 5.02,5.03,9.01 09/18/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 5.02 09/24/13 Homeowners of America Holding Corp 5.07 09/19/13 HORMEL FOODS CORP /DE/ DE 5.02 09/21/13 HSBC USA INC /MD/ MD 9.01 09/24/13 IDERA PHARMACEUTICALS, INC. DE 8.01,9.01 09/24/13 IHS Inc. DE 2.01,9.01 09/24/13 AMEND ImmunoCellular Therapeutics, Ltd. DE 5.02,5.03,5.07,9.01 09/20/13 INERGY MIDSTREAM, L.P. DE 8.01 09/24/13 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 5.07 09/24/13 INTERCLOUD SYSTEMS, INC. 1.01,2.03,9.01 09/20/13 INTERGROUP CORP DE 3.01,9.01 09/20/13 INTL FCSTONE INC. DE 1.01,9.01 09/20/13 INVENTURE FOODS, INC. DE 8.01,9.01 09/24/13 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 09/24/13 ISC8 INC. /DE DE 5.02 09/18/13 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 09/24/13 KANSAS CITY SOUTHERN DE 7.01,9.01 09/20/13 KAR Auction Services, Inc. DE 1.01,9.01 09/19/13 KB HOME DE 2.02,9.01 09/24/13 KEATING CAPITAL INC 7.01 09/19/13 LANDEC CORP \CA\ CA 2.02,9.01 09/24/13 LAS VEGAS RAILWAY EXPRESS, INC. DE 8.01 09/22/13 Lehigh Gas Partners LP DE 5.02,5.05,7.01,9.01 09/19/13 LENNAR CORP /NEW/ DE 2.02,9.01 09/24/13 Li3 Energy, Inc. NV 5.02 07/31/13 AMEND Lightlake Therapeutics Inc. NV 8.01,9.01 09/24/13 MamaMancini's Holdings, Inc. NV 1.01,3.02,9.01 09/20/13 Mandalay Digital Group, Inc. DE 5.02 09/20/13 Mandalay Digital Group, Inc. DE 5.02,9.01 09/23/13 MARRIOTT INTERNATIONAL INC /MD/ DE 5.02 09/23/13 MDU COMMUNICATIONS INTERNATIONAL INC DE 2.04 09/20/13 MEDICAN ENTERPRISES, INC. NV 8.01 08/16/13 MENDOCINO BREWING CO INC CA 2.04 09/18/13 MICHAELS STORES INC DE 5.02 09/18/13 MILLER ENERGY RESOURCES, INC. TN 7.01,9.01 09/24/13 MINISTRY PARTNERS INVESTMENT COMPANY, CA 5.02 09/24/13 MOLINA HEALTHCARE INC DE 7.01 09/23/13 MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,9.01 09/24/13 NATIONAL OILWELL VARCO INC DE 7.01,9.01 09/24/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 09/24/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 09/24/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,9.01 09/24/13 NAVIGANT CONSULTING INC DE 1.01,2.03,8.01,9.01 09/19/13 NEOGEN CORP MI 2.02,9.01 09/24/13 NET TALK.COM, INC. FL 5.02 04/30/13 Nexus Enterprise Solutions, Inc. WY 5.02 09/24/13 NIKE INC OR 5.07 09/19/13 Noble Corp / Switzerland V8 8.01,9.01 09/24/13 NORFOLK SOUTHERN CORP VA 1.01,9.01 09/24/13 AMEND NOVAVAX INC DE 1.01,8.01,9.01 09/23/13 NTELOS HOLDINGS CORP 1.01,7.01,9.01 09/23/13 NUTRANOMICS, INC. NV 1.01,2.01,3.02,4.01, 09/19/13 5.01,5.02,5.03,5.06,9.01 Oculus Innovative Sciences, Inc. CA 5.02 09/19/13 Oculus Innovative Sciences, Inc. CA 9.01 05/23/13 AMEND OCWEN FINANCIAL CORP FL 1.01,2.03,7.01,9.01 09/23/13 ONYX PHARMACEUTICALS INC DE 8.01,9.01 09/24/13 OptimizeRx Corp NV 8.01 09/24/13 Pacific Coast Oil Trust DE 2.02,9.01 09/24/13 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 09/20/13 Petron Energy II, Inc. NV 5.02 09/24/13 PG&E Corp CA 7.01,9.01 09/23/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 09/23/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 09/18/13 PIER 1 IMPORTS INC/DE DE 7.01,9.01 09/24/13 PIZZA INN HOLDINGS, INC /MO/ 5.02 06/18/13 POOL CORP DE 1.01,2.03,9.01 09/24/13 PROASSURANCE CORP DE 1.01,7.01,9.01 09/24/13 PROASSURANCE CORP DE 7.01,9.01 09/24/13 Promap Corp CO 5.02 09/23/13 Protea Biosciences Group, Inc. DE 1.01,2.03,3.02,9.01 09/20/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 09/24/13 Quinpario Acquisition Corp. 8.01 09/24/13 REINSURANCE GROUP OF AMERICA INC MO 1.01,2.03,9.01 09/24/13 REX ENERGY CORP DE 7.01,9.01 09/23/13 RISK GEORGE INDUSTRIES INC CO 8.01,9.01 09/24/13 RLJ ENTERTAINMENT, INC. NV 7.01,9.01 09/23/13 Rockville Financial, Inc. /CT/ CT 7.01,9.01 09/24/13 Sagent Pharmaceuticals, Inc. DE 1.01,9.01 09/23/13 Samson Oil & Gas LTD C3 2.02,9.01 09/19/13 SARA CREEK GOLD CORP. NV 1.01,9.01 09/18/13 Searchlight Minerals Corp. NV 1.01,3.02,3.03,5.03, 09/18/13 7.01,9.01 SecureAlert, Inc. UT 4.01,9.01 09/23/13 SemiLEDs Corp 3.01 09/23/13 SENIOR HOUSING PROPERTIES TRUST MD 1.01,8.01,9.01 09/19/13 SENOMYX INC DE 5.02,9.01 09/18/13 SEVERN BANCORP INC MD 5.02 09/24/13 SILICON LABORATORIES INC DE 3.02 09/23/13 Skilled Healthcare Group, Inc. DE 1.01,2.03,9.01 09/18/13 SKYLINE CORP IN 5.07,7.01 09/24/13 Skyline Medical Inc. MN 5.02 09/18/13 SMTP, Inc. DE 5.02,7.01,9.01 09/18/13 SOLARFLEX CORP DE 4.01,9.01 09/24/13 SOLIGENIX, INC. DE 1.01,9.01 09/18/13 Southern Trust Securities Holding Cor FL 1.01 09/18/13 SPHERIX INC DE 8.01,9.01 09/24/13 SPHERIX INC DE 1.01,3.03,9.01 01/24/13 AMEND SPHERIX INC DE 5.02,9.01 02/01/13 AMEND SPIRE Corp MA 1.01,2.01,9.01 09/18/13 SPORT CHALET INC DE 7.01,9.01 09/23/13 SS&C Technologies Holdings Inc DE 1.01,8.01,9.01 09/18/13 Steel Excel Inc. DE 8.01 09/10/13 Summit Hotel Properties, Inc. MD 7.01,9.01 09/24/13 Super Micro Computer, Inc. CA 1.01,8.01,9.01 09/20/13 Swisher Hygiene Inc. DE 3.01 09/23/13 TENGASCO INC TN 5.02 09/18/13 TherapeuticsMD, Inc. NV 8.01 09/24/13 TIFFANY & CO DE 5.02,5.03,9.01 09/24/13 Top To Bottom Pressure Washing, Inc. FL 5.02,5.03 09/11/13 Tower Group International, Ltd. D0 5.02 09/24/13 TRI COUNTY FINANCIAL CORP /MD/ MD 8.01,9.01 09/24/13 Tri-Tech Holding, Inc. E9 5.02,9.01 09/18/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/24/13 U S PRECIOUS METALS INC DE 7.01,8.01,9.01 09/19/13 UMH PROPERTIES, INC. MD 5.02,7.01,9.01 09/24/13 UMPQUA HOLDINGS CORP OR 7.01,9.01 09/24/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 09/24/13 VALENCE TECHNOLOGY INC DE 7.01,9.01 09/20/13 WALTER INVESTMENT MANAGEMENT CORP MD 9.01 10/15/12 AMEND WALTER INVESTMENT MANAGEMENT CORP MD 9.01 11/01/12 AMEND WALTER INVESTMENT MANAGEMENT CORP MD 8.01,9.01 01/31/13 AMEND WASHINGTON FEDERAL INC WA 8.01 09/23/13 WEIS MARKETS INC PA 5.02,9.01 09/21/13 WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 09/24/13 WELLS MID-HORIZON VALUE-ADDED FUND I 8.01 09/23/13 Wendy's Co DE 1.01,2.03,8.01,9.01 09/24/13 WILLIS LEASE FINANCE CORP DE 1.01,8.01 09/18/13 XPLORE TECHNOLOGIES CORP DE 5.07 09/24/13