Commission Awards More Than $14 Million to Whistleblower
The Securities and Exchange Commission (Commission) today announced an award of more than $14 million to a whistleblower whose information led to an SEC enforcement action that recovered substantial investor funds. Payments to whistleblowers are made from a separate fund previously established by the Dodd-Frank Act and do not come from the agency's annual appropriations or reduce amounts paid to harmed investors.
The award is the largest made by the SEC's whistleblower program to date.
The SEC's Office of the Whistleblower was established in 2011 as authorized by the Dodd-Frank Act. The whistleblower program rewards high-quality original information that results in an SEC enforcement action with sanctions exceeding $1 million, and awards can range from 10 percent to 30 percent of the money collected in a case.
"Our whistleblower program already has had a big impact on our investigations by providing us with high quality, meaningful tips," said SEC Chair Mary Jo White. "We hope an award like this encourages more individuals with information to come forward."
The whistleblower, who does not wish to be identified, provided original information and assistance that allowed the SEC to investigate an enforcement matter more quickly than otherwise would have been possible. Less than six months after receiving the whistleblower's tip, the SEC was able to bring an enforcement action against the perpetrators and secure investor funds.
"While it is certainly gratifying to make this significant award payout, the even better news for investors is that whistleblowers are coming forward to assist us in stopping potential fraud in its tracks so that no future investors are harmed," said Sean McKessy, chief of the SEC's Office of the Whistleblower. "That ultimately is what the whistleblower program is all about."
The SEC's first payment to a whistleblower was made in August 2012 and totaled approximately $50,000. In August and September 2013, more than $25,000 was awarded to three whistleblowers who helped the SEC and the U.S. Department of Justice halt a sham hedge fund, and the ultimate total payout in that case once all sanctions are collected is likely to exceed $125,000.
By law, the SEC must protect the confidentiality of whistleblowers and cannot disclose any information that might directly or indirectly reveal a whistleblower's identity.
Open Meeting on Tuesday, October 8, 2013 at 10:00 a.m.
The Securities and Exchange Commission will hold an Open Meeting on October 8, 2013, at 10:00 a.m., in the Auditorium (Room L-002) at the Commission's headquarters building, to hear oral argument in China-Biotics, Inc. from the initial decision of an administrative law judge.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
Commission Halts Texas-Based Scheme Targeting Foreign Investors Seeking U.S. Residency through Eb-5 Visa Program
SEC, USCIS Issue Joint Alert to Caution Investors About Fraudulent EB-5 Investment Schemes
The Commission today announced fraud charges against a husband and wife in Texas for stealing funds from foreign investors under the guise of an investment opportunity to create U.S. jobs and a path to U.S. residency.
The SEC alleges that Marco and Bebe Ramirez and three companies they own have fraudulently raised at least $5 million from investors by falsely promising that their money would be invested as part of the EB-5 Immigrant Investor Pilot Program. Through the program, foreign investors can earn conditional visas and eventually green cards by making investments in U.S. economic development projects that will create or preserve a minimum number of jobs for U.S. workers. Instead of investing the money as promised, the Ramirezes routinely diverted investor funds to other undisclosed businesses and for their personal use. In at least one instance, they used new investor funds to make Ponzi-like payments to an existing investor.
According to the SEC's complaint unsealed today in U.S. District Court for the Southern District of Texas, the Ramirezes initially targeted investors in Mexico, but more recently have solicited investors in Egypt and Nigeria. The court has granted the SEC's request to freeze the assets and accounts of the Ramirezes and their three companies: USA Now LLC, USA Now Energy Capital Group LP, and Now Co. Loan Services. This effectively halts their ability to raise further money from investors or spend any remaining funds in the scheme.
"Through their investment scheme, the Ramirezes abused a program intended to attract foreign capital to create U.S. jobs," said David R. Woodcock, Director of the SEC's Fort Worth Regional Office. "The Ramirezes misappropriated investor funds for their own purposes without any regard for the harm they caused investors who were seeking an avenue to U.S. residency."
The SEC and U.S. Citizenship and Immigration Services (USCIS) today issued a joint investor alert that provides additional information about the EB-5 program and cautions investors about fraudulent EB-5 schemes. USCIS offered substantial assistance in the SEC's investigation of the Ramirezes. The EB-5 program is administered by USCIS and enables foreign investors to make their investments either directly in a business or through EB-5 "regional centers" that are private entities organized to promote economic development in specific geographic areas and industries.
According to the SEC' s complaint, beginning in 2010, the Ramirezes sought approval from USCIS to register USA Now as an EB-5 regional center that would accept and direct investments from foreign investors into investment opportunities that would purportedly satisfy the EB-5 visa requirements. But even before USCIS decided, the Ramirezes and other USA Now employees already had started soliciting investors with false promises about how their money would be invested.
The SEC alleges that the Ramirezes told investors that USA Now would hold their investments in escrow until they received USCIS approval. And once the funds were released from escrow, they would be used for specific business purposes. However, the Ramriezes failed to hold the funds in escrow as required, and instead routinely diverted the funds for other uses not described in offering materials, often on the same day the funds were received. Among their misappropriations, the Ramirezes appear to have opened a Cajun-themed restaurant with investor funds and settled an unrelated lawsuit. Meanwhile, none of the at least 10 investors identified by the SEC as victims of the scheme have received visas from USCIS, and none of their funds seem to remain in escrow.
"Even though investors provided the Ramirezes with at least $5 million, none of them have ever received conditional visas let alone green cards," said David Peavler, Associate Director of the SEC's Fort Worth Regional Office. "Instead, the Ramirezes opened a restaurant and purchased other assets for themselves and their employees."
The SEC's complaint alleges that the Ramirezes and their companies violated and aided and abetted violations of the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. The complaint seeks various relief including preliminary and permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties.
The SEC's investigation has been conducted by Timothy Evans, Kimberly Cain, Ty Martinez, and Jonathan Scott of the Fort Worth Regional Office. The SEC's litigation will be led by Mr. Evans and David Reece. The SEC appreciates the assistance of the Federal Bureau of Investigation and U.S. Attorney's Office for the Southern District of Texas. (Press Rel. 2013-210)
In the Matter of Brewer Investment Advisor, LLC
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 (Advisers Act), Making Findings and Imposing Remedial Sanctions (Order) against Brewer Investment Advisor, LLC (BIA).
The Order finds that from June 2009 through October 2010, BIA was engaged in the business of advising others as to the advisability of investing in and purchasing securities, including promissory notes. During that time, BIA was registered with the Commission as a registered investment adviser. On June 11, 2013, a judgment was entered by consent against BIA, permanently enjoining it from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. Steven Brewer, et al., Civil Action Number 10-cv-6932-BMM-AK, in the United States District Court for the Northern District of Illinois. The Commission's complaint alleged that, from June 2009 through at least the end of September 2010, BIA and Steven Brewer (Brewer), Adam Erickson, Brewer Investment Group, LLC (BIG), and Brewer Financial Services, LLC, a registered broker-dealer, participated in fraudulent, unregistered offerings of promissory notes issued by FPA Limited (FPA), an Isle of Man company, in the aggregate amount of $5.6 million to at least 74 investors. The offering materials misrepresented the risk of the investment and failed to disclose the precarious financial condition of BIG and its subsidiaries. The Commission's complaint alleged that representations in the offering materials concerning the use of proceeds and representations concerning the risk of the investment were materially false and misleading. The complaint alleged that BIA advised its clients to invest in and purchase the fraudulent offering of the FPA Notes. BIA knew that the representations in the offering documents concerning the use of proceeds and risk were materially false and misleading. It also knew that material information about the precarious financial condition of BIG and BIG's failure to make required interest payments on the notes was not being disclosed to prospective investors. Nonetheless, BIA continued to advise investors to invest in and purchase the notes and caused others to advise investors to invest in and purchase the notes
Based on the above, the Order revokes the registration of BIA. In addition, BIA is barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. BIA consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-70592)
In the Matter of Philip Mark Cain
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing ("Order") against Philip Mark Cain ("Cain"), a resident of Tucson, Arizona.
In the Order, the Division of Enforcement alleges that on December 14, 2011, Cain pleaded guilty to one count of mail fraud in violation of 18 U.S.C. Section 1957, engaging in an illegal monetary transaction greater than $10,000 in violation of 18 U.S.C. Section 1957, and structuring transactions to evade currency reporting requirements in violation of 31 U.S.C. Sections 5324(a)(3) and (d)(2) before the United States District Court for the District of Arizona in the criminal action entitled United States v. Philip Mark Cain, Case No. 4:11-CR-1105-JGZ. The counts of the indictment to which Cain pleaded guilty alleged, among other things, that between June 2008 and February 2011, Cain defrauded seven investors out of approximately $1.4 million by purporting to purchase structured notes on their behalf.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Cain an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order directs the administrative law judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-70592).
Commission Revokes Registration of Securities of Blackhawk Capital Group BDC, Inc. for Failure to Make Required Periodic Filings
On October 1, 2013, the Commission revoked the registration of each class of registered securities of Blackhawk Capital Group BDC, Inc. (BHCG) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, BHCG consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Blackhawk Capital Group BDC, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of BHCG's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against BHCG in In the Matter of Altus Pharmaceuticals, Inc., et al., Administrative Proceeding File No. 3-15418.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70587)
Commission Revokes Registration of Securities of Big Bear Mining Corp. for Failure to Make Required Periodic Filings
On October 1, 2013, the Commission revoked the registration of each class of registered securities of Big Bear Mining Corp. (Big Bear Mining) (stock symbol BGBR) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Big Bear Mining consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Big Bear Mining Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Big Bear Mining's securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Big Bear Mining in In the Matter of Big Bear Mining Corp., et al., Administrative Proceeding File No. 3-15465.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-70586)
Delinquent Filers' Stock Registrations Revoked
The registrations of the registered securities of Gamma Pharmaceuticals, Inc., Innovex, Inc., Knight Energy Corp., Komodo, Inc., Uphonia, Inc., and Wilson Brothers USA, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70582)
An Administrative Law Judge issued an Order Making Findings and Revoking Registration By Default (Default Order) in K's Media, Admin. Proc. File No. 3-15451. The Default Order found that K's Media, a revoked Nevada corporation located in Beijing, China, had securities registered with the Securities and Exchange Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934, and had failed to file required periodic reports, and that the evidence supported revocation of its registered securities as necessary or appropriate for the protection of investors. (Rel. 34-70585)
An Administrative Law Judge issued an Order Making Findings and Revoking Registrations of Respondents, Except Galena Acquisition Corp., by Default (Default Order) in G-Cats Acquisition Corp., Admin. Proc. File No. 3-15431. The Default Order found that G-Cats Acquisition Corp., GalaGen, Inc., and Garment Graphics, Inc., have securities registered with the Securities and Exchange Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934, each failed to file required periodic reports, and that the evidence supported revocation of their registered securities is both necessary and appropriate for the protection of investors. (Rel. 34-70584)
Commission Issues Notice of Proposed Plan of Distribution and Opportunity for Comment in the Matter of Charles L. Rizzo and Gina M. Hornbogen
The Commission announced today that it has given notice, pursuant to Rule 1103 of the Securities and Exchange Commission's Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103, that the Division of Enforcement has filed a proposed plan ("Distribution Plan") for the distribution of monies in the matter of Charles L. Rizzo and Gina M. Hornbogen.
The Distribution Plan provides for distribution of disgorgement, prejudgment interest and civil penalties totaling $216,869, less any federal, state, or local taxes and fees and expenses, to clients of investment adviser Results One Financial, LLC ("Results One") who suffered a net loss of funds by virtue of the failure of Respondents Charles L. Rizzo and Gina M. Hornbogen to reasonably supervise Steven Salutric, who, while acting as an investment advisor for Results One, misappropriated millions of dollars from his advisory clients at Results One.
A copy of the Distribution Plan may be obtained by submitting a written request to Nancy Chase Burton, Esq., United States Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-5631. Interested parties may also print a copy of the proposed Distribution Plan from the Commission's public website, http://www.sec.gov. Any person or entity wishing to comment on the Distribution Plan must do so in writing by submitting their comments within 30 days of the date of the notice (i) to the Office of the Secretary, United States Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090; or (ii) via the Commission's Internet comment form (www.sec.gov/litigation/admin.shtml); or (iii) by sending an e-mail to email@example.com. Comments submitted by e-mail or via the Commission's website should include the Administrative Proceeding File Number (Admin. Proc. File No. 3-14641) in the subject line. Comments received will be publicly available. Persons should submit only information that they wish to make publicly available. (Rel. 34-70573)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by National Stock Exchange, Inc. to amend Rule 11.19 to extend the pilot program regarding clearly erroneous executions (SR-NSX-2013-19) 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. 34-70589)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to CBSX Appendix A (SR-CBOE-2013-092) 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. 34-70590)
Notice of Proposed Rule Change
The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2013-07) consisting of proposed MSRB Rule G-47, on time of trade disclosure obligations, proposed revisions to MSRB Rule G-19, on suitability of recommendations and transactions, proposed MSRB Rules D-15 and G-48, on sophisticated municipal market professionals, and the proposed deletion of interpretive guidance. Publication is expected in the Federal Register during the week of September 30th. (Rel. 34-70593)
Order Instituting Proceedings To Determine Whether To Approve Or Disapprove A Proposed Rule Change
The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-59) amending Rule 965NY, which governs NDX and RUT combination orders. Publication is expected in the Federal Register during the week of September 30th. (Rel. 34-70588)
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-1 RiceBran Technologies, 6720 N SCOTTSDALE RD, SUITE 390, SCOTTSDALE, AZ, 85253, 6025223000 - 0 ($15,000,000.00) Equity, (File 333-191448 - Sep. 30) (BR. 04B) S-1 KYTHERA BIOPHARMACEUTICALS INC, 27200 WEST AGOURA ROAD, SUITE 200, CALABASAS, CA, 91301, 818-587-4500 - 0 ($97,750,000.00) Equity, (File 333-191450 - Sep. 30) (BR. 01B) F-1 Robinson Vernice, 404-771-3225 - 948,318 ($434,789.00) Non-Convertible Debt, (File 333-191451 - Sep. 30) (BR. ) S-8 Nielsen Holdings N.V., 770 BROADWAY, NEW YORK, NY, 10003, (646) 654-5000 - 0 ($3,471,200.00) Equity, (File 333-191458 - Sep. 30) (BR. 03A) F-1 Qunar Cayman Islands Ltd., 17TH FL, VIVA PLAZA, BLDG. 18, YARD 29, SUZHOU STREET, HAIDIAN DISTRICT, BEIJING, F4, 100080, 86 10 5760 3000 - 0 ($125,000,000.00) ADRs/ADSs, (File 333-191459 - Sep. 30) (BR. 02) S-4 Trinseo Materials Operating S.C. A., 1000 CHESTERBROOK BOULEVARD, SUITE 300, BERWYN, PA, 19312, (610) 240-3200 - 0 ($1,325,000,000.00) Non-Convertible Debt, (File 333-191460 - Sep. 30) (BR. 06C) S-8 Legend Oil & Gas, Ltd., 1218 THIRD AVE, SUITE 505, SEATTLE, WA, 98101, 206-274-5165 - 10,000,000 ($600,000.00) Equity, (File 333-191461 - Sep. 30) (BR. 04A) S-3ASR Duke Energy CORP, 550 SOUTH TRYON STREET, DEC45, CHARLOTTE, NC, 28202, 704-382-3853 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191462 - Sep. 30) (BR. 02C) S-1 AntriaBio, Inc., 890 SANTA CRUZ AVENUE, MENLO PARK, CA, 94025, 650-847-1919 - 0 ($12,000,000.00) Equity, (File 333-191463 - Sep. 30) (BR. 03B) S-8 OLD LINE BANCSHARES INC, 1525 POINTER RIDGE PLACE, BOWIE, MD, 20716, 3014302544 - 450,000 ($5,890,500.00) Equity, (File 333-191464 - Sep. 30) (BR. 07B) S-1 Container Store Group, Inc., 500 Freeport Parkway, Coppell, TX, 75019, 972-538-6000 - 0 ($200,000,000.00) Equity, (File 333-191465 - Sep. 30) (BR. 02) S-8 Inteliquent, Inc., 550 WEST ADAMS ST, 9TH FLOOR, CHICAGO, IL, 60661, 312-384-8040 - 0 ($965,617.51) Equity, (File 333-191466 - Sep. 30) (BR. 11C) S-8 PALATIN TECHNOLOGIES INC, 4B CEDAR BROOK DRIVE, CRANBURY, NJ, 08512, 609-495-2200 - 3,500,000 ($2,432,500.00) Equity, (File 333-191467 - Sep. 30) (BR. 01B) S-1 Actinium Pharmaceuticals, Inc., 501 FIFTH AVENUE, 3RD FLOOR, NEW YORK, NY, 10017, 212-300-2131 - 0 ($25,258,462.00) Equity, (File 333-191468 - Sep. 30) (BR. 03B) S-1 ARADIGM CORP, 3929 POINT EDEN WAY, HAYWARD, CA, 94545, 5102659000 - 0 ($9,872,500.00) Equity, (File 333-191469 - Sep. 30) (BR. 10A) S-4 HD SUPPLY, INC., 3100 CUMBERLAND BOULEVARD, SUITE 1700, ATLANTA, GA, 30339, 770-852-9000 - 0 ($1,275,000,000.00) Debt, (File 333-191470 - Sep. 30) (BR. 02B) S-1 L2 MEDICAL DEVELOPMENT CO, 13050 PENNYSTONE DRIVE, FARMERS BRANCH, TX, 75244, 972-952-7100 - 0 ($14,486,500.00) Equity, (File 333-191471 - Sep. 30) (BR. 05) S-3 UNITED INSURANCE HOLDINGS CORP., 360 CENTRAL AVENUE, SUITE 900, SAINT PETERSBURG, FL, 33701, 727-895-7737 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-191472 - Sep. 30) (BR. 01B) S-8 UNITED INSURANCE HOLDINGS CORP., 360 CENTRAL AVENUE, SUITE 900, SAINT PETERSBURG, FL, 33701, 727-895-7737 - 1,000,000 ($8,460,000.00) Equity, (File 333-191473 - Sep. 30) (BR. 01B) S-8 Xhibit Corp., 80 E. RIO SALADO PARKWAY, SUITE 115, TEMPE, AZ, 85281, 602-281-3554 - 10,000,000 ($18,950,000.00) Equity, (File 333-191474 - Sep. 30) (BR. 11C) S-1 First Internet Bancorp, 8888 KEYSTONE CROSSING, SUITE 1700, INDIANAPOLIS, IN, 46240, 317-532-7900 - 0 ($28,750,000.00) Equity, (File 333-191475 - Sep. 30) (BR. 07)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 22nd Century Group, Inc. NV 5.07 09/28/13 ABRAXAS PETROLEUM CORP NV 7.01,9.01 09/30/13 ABRAXAS PETROLEUM CORP NV 7.01 09/30/13 AMEND ACELRX PHARMACEUTICALS INC DE 8.01,9.01 09/30/13 Actinium Pharmaceuticals, Inc. NV 3.02 09/25/13 ACTIVE NETWORK INC DE 1.01,8.01,9.01 09/28/13 ACTIVE POWER INC DE 5.02,7.01,9.01 09/30/13 Advaxis, Inc. DE 7.01,9.01 09/27/13 AeroVironment Inc DE 2.05 09/27/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,1.02,2.01, 09/30/13 2.03,7.01,8.01,9.01 AIS FUTURES FUND IV LP DE 5.01 09/26/13 AJS Bancorp, Inc. MD 8.01,9.01 09/27/13 Alexza Pharmaceuticals Inc. DE 2.03 09/27/13 ALLSTATE CORP DE 3.03,5.03,8.01,9.01 09/26/13 Ally Financial Inc. DE 5.02 09/25/13 Alta Mesa Holdings, LP TX 7.01 09/30/13 American Water Works Company, Inc. DE 7.01,9.01 09/30/13 AMR CORP DE 7.01,9.01 09/30/13 ANADIGICS INC DE 5.02,9.01 09/30/13 Angie's List, Inc. DE 5.02 09/26/13 AntriaBio, Inc. DE 5.01 09/25/13 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 09/30/13 APOLO GOLD & ENERGY INC. NV 3.02,5.01,5.02,9.01 09/26/13 APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.07 05/09/13 AMEND APPLIED MATERIALS INC /DE DC 5.02 09/24/13 APX Group Holdings, Inc. DE 7.01 09/30/13 ARBITRON INC DE 1.02,2.01,3.01,3.03, 09/30/13 5.01,5.02,5.03,8.01,9.01 ARDEN GROUP INC DE 8.01,9.01 09/30/13 ARGAN INC DE 3.01,9.01 09/30/13 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 09/28/13 ARKANSAS BEST CORP /DE/ DE 7.01,9.01 09/30/13 Armour Residential REIT, Inc. MD 7.01,9.01 09/30/13 ARQULE INC DE 8.01,9.01 09/30/13 ASBURY AUTOMOTIVE GROUP INC DE 1.01,2.03,9.01 09/26/13 ASTRONICS CORP NY 2.01,9.01 07/18/13 AMEND ASURE SOFTWARE INC DE 5.07 09/30/13 Atkore International Holdings Inc. DE 2.05,2.06 09/25/13 AUTODESK INC DE 2.05 09/24/13 Banyan Rail Services Inc. DE 3.02 09/24/13 BAR HARBOR BANKSHARES ME 8.01 09/30/13 BELO CORP DE 5.07,9.01 09/25/13 BGC Partners, Inc. DE 7.01,9.01 09/30/13 BILL BARRETT CORP DE 7.01,9.01 09/27/13 BIOADAPTIVES, INC. DE 5.03,5.07,9.01 09/24/13 BioMed Realty Trust Inc DE 1.01,2.03,7.01,9.01 09/24/13 BOB EVANS FARMS INC DE 2.05,2.06,9.01 09/26/13 Brekford Corp. DE 1.01 09/27/13 BRIDGE BANCORP INC NY 8.01,9.01 09/27/13 BROOKS AUTOMATION INC DE 5.02,9.01 09/25/13 AMEND BRT REALTY TRUST MA 8.01 09/25/13 CAESARS ENTERTAINMENT Corp DE 8.01 09/27/13 CAL MAINE FOODS INC DE 2.02,9.01 09/30/13 CANCER GENETICS, INC 7.01,9.01 09/30/13 CAPSTONE FINANCIAL GROUP, INC. NV 5.02 09/27/13 CARVER BANCORP INC DE 5.02,9.01 09/25/13 CATERPILLAR INC DE 8.01 09/30/13 CATHAY GENERAL BANCORP DE 8.01,9.01 09/30/13 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 09/30/13 CHARLES RIVER LABORATORIES INTERNATIO 5.02,7.01,9.01 09/26/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 09/30/13 Chatham Lodging Trust MD 8.01,9.01 09/25/13 CHINA BAK BATTERY INC NV 5.07 09/30/13 China Inc NV 4.01 06/30/13 Citigroup Commercial Mortgage Trust 2 DE 8.01,9.01 09/30/13 CITY NATIONAL CORP DE 8.01,9.01 09/30/13 CLEAN HARBORS INC MA 5.02,9.01 09/24/13 CLIFFS NATURAL RESOURCES INC. OH 5.02,9.01 09/24/13 CMS Bancorp, Inc. DE 5.07,8.01 09/26/13 CNH Capital LLC DE 1.01 09/27/13 CNL Growth Properties, Inc. MD 1.01,2.03,9.01 09/24/13 CNO Financial Group, Inc. DE 7.01,9.01 09/30/13 COCA-COLA ENTERPRISES, INC. DE 8.01 09/30/13 Coeur Mining, Inc. DE 7.01,9.01 09/30/13 COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 09/24/13 COLUMBIA PROPERTY TRUST, INC. MD 2.02,7.01,8.01,9.01 09/30/13 COLUMBIA SPORTSWEAR CO OR 1.01,2.03,9.01 09/27/13 Commercial Vehicle Group, Inc. DE 5.02,9.01 09/30/13 COMMUNITY FINANCIAL SHARES INC DE 3.02,8.01,9.01 09/30/13 CommunityOne Bancorp NC 8.01,9.01 09/30/13 COOPER TIRE & RUBBER CO DE 5.07,8.01,9.01 09/30/13 Coronus Solar Inc. A1 1.01,1.02,2.03, 09/30/13 5.07,7.01,8.01,9.01 Corporate Resource Services, Inc. DE 8.01,9.01 09/30/13 COTT CORP /CN/ 2.04,8.01,9.01 09/30/13 DATARAM CORP NJ 3.01,5.07 09/26/13 Diamond Foods Inc DE 2.02,9.01 09/30/13 DJO Finance LLC DE 5.02 09/24/13 DLH Holdings Corp. NJ 8.01,9.01 09/30/13 DOVER Corp DE 8.01,9.01 09/30/13 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,3.03,9.01 09/24/13 DYNEX CAPITAL INC VA 7.01,9.01 09/30/13 ECO Building Products, Inc. CO 5.03,5.07,9.01 09/24/13 Education Realty Trust, Inc. MD 7.01,9.01 09/30/13 ENNIS, INC. TX 1.01,9.01 09/27/13 ENOVA SYSTEMS INC CA 1.01,9.01 09/24/13 ENTERPRISE PRODUCTS PARTNERS L P DE 5.02,5.07,9.01 09/30/13 Evoke Pharma Inc DE 5.03,9.01 09/30/13 FARMER BROTHERS CO CA 7.01 09/30/13 FEDERAL HOME LOAN MORTGAGE CORP 5.02,9.01 09/25/13 FIFTH THIRD BANCORP OH 1.01,2.03 09/26/13 First Clover Leaf Financial Corp. MD 5.02,8.01,9.01 09/24/13 FIRST DEFIANCE FINANCIAL CORP OH 7.01,9.01 09/30/13 FNB BANCORP/CA/ 8.01,9.01 09/27/13 G&K SERVICES INC MN 1.01,2.03,9.01 09/27/13 Garrison Capital Inc. 1.01,1.02,2.03,9.01 09/25/13 GENTIVA HEALTH SERVICES INC DE 7.01,9.01 09/30/13 GOOD TIMES RESTAURANTS INC NV 5.07,8.01 09/30/13 Gramercy Property Trust Inc. MD 1.01,2.03,9.01 09/24/13 GREEN ENERGY RENEWABLE SOLUTIONS, INC FL 5.02 09/30/13 GreenHunter Resources, Inc. DE 7.01,9.01 09/27/13 GUARANTY FEDERAL BANCSHARES INC DE 5.02 09/26/13 HARRIS & HARRIS GROUP INC /NY/ NY 1.01,1.02,2.03, 09/30/13 7.01,8.01,9.01 Hawaiian Telcom Holdco, Inc. DE 8.01,9.01 09/30/13 HF FINANCIAL CORP DE 5.02 09/25/13 HINTO ENERGY, INC WY 7.01,9.01 09/30/13 HMS INCOME FUND, INC. MD 8.01,9.01 09/27/13 HONEYWELL INTERNATIONAL INC DE 5.03,9.01 09/27/13 I-LEVEL MEDIA GROUP INC NV 2.01,3.02,5.01, 09/24/13 5.02,5.03,5.06,9.01 ICON ECI FUND FIFTEEN, L.P. DE 8.01 09/30/13 ICON Equipment & Corporate Infrastruc DE 8.01 09/30/13 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 8.01 09/30/13 India Globalization Capital, Inc. MD 5.07 09/30/13 Inland American Real Estate Trust, In MD 8.01 09/24/13 INNSUITES HOSPITALITY TRUST OH 1.01,2.03,9.01 09/24/13 ION GEOPHYSICAL CORP DE 3.03,5.03,9.01 09/30/13 IsoRay, Inc. MN 2.02,9.01 09/30/13 ITEX CORP NV 5.08 09/26/13 JAVELIN MORTGAGE INVESTMENT CORP. MD 7.01,9.01 09/30/13 KBS Strategic Opportunity REIT, Inc. MD 8.01 09/25/13 KCG Holdings, Inc. DE 7.01 09/30/13 Kiwibox.Com, Inc. DE 1.01 09/24/13 KKR Financial Holdings LLC DE 2.03 09/27/13 KYTO BIOPHARMA INC FL 1.01 09/26/13 Laredo Resources Corp. NV 5.02,9.01 09/27/13 M Street Gallery Inc. FL 3.02,5.01,5.02, 09/26/13 8.01,9.01 M/A-COM Technology Solutions Holdings DE 1.01,2.03,9.01 09/26/13 MAGNUM HUNTER RESOURCES CORP DE 7.01 09/30/13 Manitex International, Inc. MI 8.01,9.01 09/30/13 Marathon Patent Group, Inc. NV 2.01 09/30/13 MCKESSON CORP DE 5.02,7.01,9.01 09/30/13 MEDICAL PROPERTIES TRUST INC 2.01,7.01,9.01 09/26/13 MELA SCIENCES, INC. /NY 5.02,9.01 09/24/13 Midstates Petroleum Company, Inc. DE 1.01,9.01 09/26/13 Minerco Resources, Inc. NV 8.01,9.01 09/30/13 MOBILE GAMING INTERNATIONAL CORP NV 3.02 09/26/13 MOHAWK INDUSTRIES INC DE 1.01,1.02,2.03 09/30/13 MOJO DATA SOLUTIONS, INC. PR 1.01,9.01 09/27/13 MONROE CAPITAL Corp MD 2.03,7.01,9.01 09/30/13 MORGAN STANLEY DE 3.03,5.03,8.01,9.01 09/27/13 MusclePharm Corp NV 8.01 09/30/13 NATIONAL PENN BANCSHARES INC PA 5.03,9.01 09/25/13 NEW CENTURY BANCORP INC NC 1.01,8.01,9.01 09/30/13 NEW ENGLAND REALTY ASSOCIATES LIMITED MA 2.01,9.01 07/19/13 AMEND NEW YORK COMMUNITY BANCORP INC DE 5.02,9.01 09/27/13 NEWLINK GENETICS CORP 8.01,9.01 09/30/13 Nielsen Holdings N.V. P7 2.01,7.01,9.01 09/30/13 NIKE INC OR 2.02,9.01 09/26/13 NORD RESOURCES CORP DE 1.01,9.01 09/30/13 Nuverra Environmental Solutions, Inc. DE 1.01,7.01,9.01 09/27/13 O'Connor Fund of Funds: Masters DE 8.01,9.01 09/30/13 OFS Capital Corp DE 2.02,9.01 09/27/13 OMNOVA SOLUTIONS INC OH 2.02,9.01 09/30/13 Palo Alto Networks Inc DE 8.01 09/30/13 PARK ELECTROCHEMICAL CORP NY 2.02,9.01 09/30/13 PATHFINDER BANCORP INC DE 8.01 09/26/13 Pathfinder Cell Therapy, Inc. DE 2.03,3.02 09/26/13 PAYCHEX INC DE 2.02,9.01 09/30/13 PC TEL INC DE 5.02,9.01 09/24/13 PEABODY ENERGY CORP DE 1.01,1.02,2.03, 09/24/13 3.03,9.01 Performant Financial Corp DE 8.01 09/26/13 PFIZER INC DE 5.02,9.01 09/27/13 POLYMER GROUP INC DE 8.01 09/30/13 POZEN INC /NC 5.02 09/25/13 PRESSURE BIOSCIENCES INC MA 5.02 09/26/13 PRIVATEBANCORP, INC DE 7.01,9.01 09/30/13 Promap Corp CO 4.01,9.01 09/24/13 RADIANT CREATIONS GROUP, INC. NV 1.01,9.01 09/30/13 RADIANT LOGISTICS, INC DE 2.02,9.01 09/30/13 Rally Software Development Corp DE 5.02 09/25/13 RARE ELEMENT RESOURCES LTD A1 8.01,9.01 09/27/13 REALTY INCOME CORP MD 5.02 09/26/13 RegalWorks Media, Inc. NV 2.01,9.01 07/15/13 AMEND RESOURCE AMERICA, INC. DE 5.03 09/30/13 Revolutionary Concepts Inc NV 5.02,8.01,9.01 09/23/13 RPC INC DE 8.01,9.01 09/30/13 SafeStitch Medical, Inc. DE 4.01,9.01 09/25/13 SCANA CORP SC 1.01,2.03 09/26/13 SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 09/30/13 Skilled Healthcare Group, Inc. DE 1.01,2.03,9.01 09/25/13 SkyPeople Fruit Juice, Inc FL 5.07 09/30/13 SLM Student Loan Trust 2006-7 DE 8.01,9.01 09/30/13 SMARTHEAT INC. NV 8.01,9.01 09/17/13 SMTP, Inc. DE 5.02,7.01,9.01 09/25/13 SOFTECH INC MA 8.01,9.01 09/30/13 SOLAR WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 09/16/13 Solaris Power Cells, Inc. NV 1.01,9.01 09/25/13 SOLIGENIX, INC. DE 1.01,9.01 09/24/13 SOLIGENIX, INC. DE 5.02,5.07,9.01 09/25/13 Sorrento Therapeutics, Inc. DE 9.01 09/09/13 AMEND Sotherly Hotels Inc. MD 1.01,2.04,8.01,9.01 09/24/13 SOUTH JERSEY GAS Co NJ 1.01,2.03,9.01 09/27/13 SPHERIX INC DE 5.07 12/10/12 SPRINGLEAF FINANCE CORP IN 1.01,8.01,9.01 09/25/13 STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 09/30/13 STRATEGIC INTERNET INVESTMENTS INC DE 3.02 09/30/13 SYMANTEC CORP DE 5.02,7.01,9.01 09/25/13 SYNALLOY CORP DE 1.01,8.01,9.01 09/24/13 SYSCO CORP DE 5.02,9.01 09/25/13 TC PIPELINES LP DE 7.01 09/27/13 TETRA TECH INC DE 1.01,9.01 09/27/13 THRESHOLD PHARMACEUTICALS INC DE 5.07 05/17/13 AMEND Tianli Agritech, Inc. D8 1.01,3.02,7.01,9.01 09/28/13 TIDEWATER INC DE 8.01,9.01 09/26/13 TMS International Corp. DE 8.01,9.01 09/30/13 TRANS ENERGY INC NV 7.01,9.01 09/30/13 Transcept Pharmaceuticals Inc DE 8.01,9.01 09/30/13 TRANSGENOMIC INC DE 5.02,9.01 09/27/13 TREDEGAR CORP VA 5.02,9.01 09/25/13 TRIO TECH INTERNATIONAL CA 2.02,9.01 09/27/13 TUFCO TECHNOLOGIES INC DE 1.01,5.02,9.01 09/30/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/30/13 UNILENS VISION INC 8.01,9.01 09/30/13 UNITED BANCORP INC /MI/ MI 8.01,9.01 09/30/13 UNITED INSURANCE HOLDINGS CORP. DE 5.02,9.01 09/25/13 UNITED INSURANCE HOLDINGS CORP. DE 5.02,5.07,9.01 09/26/13 AMEND Universal Technology Systems Corp. FL 1.01,2.01,3.02, 09/28/13 5.01,5.02,5.03,5.06,8.01,9.01 UPOD INC 3.02,5.01,5.02 09/26/13 VERDE RESOURCES, INC. NV 5.02 09/25/13 Vertex Energy Inc. NV 3.02,5.02,9.01 09/27/13 VHGI HOLDINGS, INC. DE 1.03,2.04,8.01 09/12/13 VISCOUNT SYSTEMS INC NV 8.01 09/30/13 VISION SCIENCES INC /DE/ DE 1.01,2.03,9.01 09/25/13 Walter Energy, Inc. DE 1.01,2.03,3.03, 09/27/13 8.01,9.01 WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.03,7.01,8.01,9.01 09/30/13 WEB.COM GROUP, INC. DE 5.02 09/30/13 WebMD Health Corp. DE 8.01 09/30/13 WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 09/30/13 Wellesley Bancorp, Inc. 8.01,9.01 09/30/13 WFRBS Commercial Mortgage Trust 2013- NC 8.01,9.01 09/30/13 WILEY JOHN & SONS, INC. NY 8.01 09/30/13 Winthrop Realty Trust OH 1.01,7.01,8.01,9.01 09/25/13 XIANGTIAN (USA) AIR POWER CO., LTD. 5.03,9.01 09/25/13 Yongye International, Inc. NV 5.02 09/30/13 ZaZa Energy Corp DE 1.01,7.01,9.01 09/25/13 ZIONS BANCORPORATION /UT/ UT 9.01 09/30/13