Commission Announces Two Promotions to Senior Positions in Division of Economic and Risk Analysis
The Securities and Exchange Commission (Commission) today announced two promotions to senior positions in its Division of Economic and Risk Analysis (DERA). Scott Bauguess has been named deputy director, and Vanessa Countryman will become chief counsel.
The SEC created the division in September 2009 to help inform the agency’s policymaking, rulemaking, enforcement, and examinations. The division provides economic analyses in support of rulemaking, risk assessment, and quantitative research, and its staff has expertise in a variety of academic disciplines as well as deep knowledge of the financial industry and markets.
DERA’s two deputy director positions assist the chief economist with the overall management of the division. Dr. Bauguess, who has been an assistant director for DERA’s Office of Corporate Finance since 2011, will focus on overseeing the division’s risk assessment functions in his new role. He also will be involved in the division’s policy and rulemaking support activities, working closely together with DERA’s other deputy director, Jennifer Marietta-Westberg. Dr. Bauguess replaces Kathleen Hanley, who recently returned to academia.
“Dr. Bauguess combines deep technical knowledge with a broad understanding of how data-driven analytics can help the Commission fulfill its mission,” said Dr. Craig Lewis, the SEC’s chief economist and director of DERA. “I’m pleased that he will be able to continue to provide his expertise to the agency in this new and important role.”
Dr. Bauguess added, “I’m excited to take on these new responsibilities and continue working with the committed and talented staff in DERA and across the agency to help the Commission make informed decisions through the use of technical research and analysis.”
Ms. Countryman has been the deputy chief counsel in DERA since February 2012. In her heightened role, she will provide advice and guidance to staff within DERA and across the agency regarding the legal aspects of integrating economic analysis and data analytics into the SEC’s work, particularly rulemaking and policy development. She also will advise the chief economist and other division staff on legal issues implicated by the division’s broad mandate.
Dr. Lewis said, “Ms. Countryman already has been an invaluable member of DERA, contributing significantly to the implementation of the Current Guidance on Economic Analysis in SEC Rulemaking over the past year and a half. I am thrilled that she will continue her fine work with the division.”
Ms. Countryman added, “DERA increasingly contributes to so many of the Commission’s important initiatives, and I’m honored to continue to be part of the division’s ongoing work.”
Dr. Bauguess joined the SEC staff in 2007 as a visiting academic scholar in the Office of Economic Analysis and became a senior financial economist in 2009 prior to becoming an assistant director two years later. Before coming to the SEC, he was an assistant professor at Texas Tech University. Since 2009, he has taught in the Masters of Finance program as an adjunct member of the faculty at the George Washington University School of Business. Dr. Bauguess holds an advanced degree in engineering and spent six years working in the high-tech industry before earning a Ph.D. in finance at Arizona State University in 2004.
Ms. Countryman began working at the SEC in July 2010 as a counsel to Commissioner Kathleen Casey. She later was a counsel to Commissioner Daniel Gallagher before joining DERA. Prior to the SEC, she worked at the law firm Gibson Dunn and represented clients in a variety of appellate and administrative matters. She clerked for Judge Emilio Garza on the Fifth Circuit Court of Appeals after graduating from the University of Chicago Law School in 2005. Ms. Countryman received her B.A. from Columbia University and also holds an M.Phil. in Victorian Literature from Oxford University. (Press Rel. 2013-213)
Commission Announces Date for Annual Government-Business Forum on Small Business Capital Formation
The Commission today announced that it will hold its annual Government-Business Forum on Small Business Capital Formation on November 21 at its Washington D.C. headquarters.
This year’s forum will begin with panel discussions about small business capital formation matters, including implementation of the JOBS Act. During the afternoon session, participants will work in groups to formulate specific policy recommendations. The names of panel participants and the full agenda for the forum will be announced at a later date and posted at:
The forum begins at 9 a.m. with the panel discussions, which will be webcast live on the SEC’s website. The afternoon breakout group sessions will be open to the public and accessible by teleconference, but will not be webcast. Anyone wishing to participate in a breakout group either in person or by teleconference must register online by November 15.
Members of the public are invited to make suggestions for recommendations or topics to be discussed at the forum by e-mailing the SEC’s Office of Small Business Policy at SmallBusiness@sec.gov. (Press Rel. 2013-214)
Closed Meeting on Thursday, October 10, 2013 at 2:00 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
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 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 Anasazi Capital Corp., Admin. Proc. File No. 3-15439. The Order Instituting Proceedings alleged that Anasazi Capital Corp., Certified Diabetic Services, Inc., China Junlian Integrated Surveillance, Inc., FirstPlus Financial Group, Inc., and Great American Hotels & Resorts, Inc., 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 and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The Division of Enforcement has reached a settlement with Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.), and proceedings are still ongoing with respect to Respondent First Sun South Corp. Accordingly, the Default Order does not apply to these two Respondents. (Rel. 34-70604)
Commission Obtains Asset Freeze and Other Emergency Relief in Ponzi Scheme Targeting Investors in Japan
The Commission announced an emergency action to freeze the assets of a Las Vegas resident and his companies in connection with a Ponzi scheme that defrauded thousands of investors living primarily in Japan.
The SEC alleges that Edwin Yoshihiro Fujinaga and his company MRI International, Inc. raised more than $800 million from investors who were told that their money would be used to buy medical accounts receivable (MARs) that medical providers in the United States held against insurance companies. Fujinaga and MRI represented that the company used investors’ money to buy MARs from medical providers at a discount and tried to recover the full value of the MARs from the insurance companies. Fujinaga and MRI represented that they used investor money solely and exclusively to buy MARs.
According to the SEC’s complaint, which was filed under seal on September 11, 2013 and unsealed last week in the U.S. District Court for the District of Nevada, MRI was a fraudulent Ponzi scheme designed to misappropriate money from investors. Fujinaga and MRI used investor money to pay the principal and interest due to earlier investors, for the expenses of MRI and other businesses owned by Fujinaga, and to buy luxury cars and pay Fujinaga’s credit card bills, alimony, and child support.
The Honorable James C. Mahan for the U.S. District Court for the District of Nevada granted the SEC’s request for a temporary restraining order, asset freeze and other emergency relief against MRI, Fujinaga, and CSA Service Center LLC, as a relief defendant.
The Commission’s complaint alleges that Fujinaga and MRI violated Sections 17(a)(1), (2), and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and seeks disgorgement of ill-gotten gains from Fujinaga, MRI, and relief defendant CSA, as well as financial penalties, permanent injunctions and other emergency relief.
The SEC’s investigation, which is continuing, has been conducted by Danette R. Edwards and Thomas C. Swiers and supervised by Gregory G. Faragasso. The JFSA’s Yuichiro Enomoto, who was seconded to the SEC, provided valuable assistance. The SEC’s litigation is being led by Richard E. Simpson and Robert I. Dodge. The SEC appreciates the assistance of the JFSA, SESC, and the State of Nevada Division of Mortgage Lending. [SEC v. Edwin Yoshihiro Fujinaga, MRI International, Inc., and CSA Service Center, LLC, Civil Action No. 2:13-cv-01658-JCM-CWH (D. Nev.)] (LR-22832)
Immediate Effectiveness of Proposed Rule Change
ICE Clear Credit LLC (ICC) filed a proposed rule change (File No. SR-ICC-2013-06) under Section 19(b)(1) of the Securities Exchange Act of 1934 to correct minor grammatical errors, remove obsolete references and comply with a Commission recommendation. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70606)
The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-21) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to its interest rate swap margin methodology. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70605)
Notice of Proposed Rule Change
Municipal Securities Rulemaking Board filed a proposed rule change consisting of amendments to Rule G-11, on primary offering practices, relating to changes in a bond authorizing document (SR-MSRB-2013-08). Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70607)
BATS Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-BATS-2013-051) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade shares of the iShares Liquidity Income Fund. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70608)
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-3ASR LIGAND PHARMACEUTICALS INC, 11119 NORTH TORREY PINES ROAD, SUITE 200, LA JOLLA, CA, 92037, 858-550-7500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191523 - Oct. 2) (BR. 01B) S-3ASR KILROY REALTY CORP, 12200 W. OLYMPIC BLVD., SUITE 200, LOS ANGELES, CA, 90064, 3104818400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191524 - Oct. 2) (BR. 08B) N-2 KEATING CAPITAL INC, 5251 DTC PARKWAY, SUITE 1100, Greenwood Village, CO, 80111, 720-889-0139 - 3,000,000 ($21,690,000.00) Equity, (File 333-191525 - Oct. 2) (BR. 18) S-8 Innovative Product Opportunities Inc., 7235 - 88077 BELSHIRE GATE, MISSISSAUGA, A6, L5N8M1, 347-789-7131 - 750,000,000 ($225,000.00) Equity, (File 333-191527 - Oct. 2) (BR. 02C) S-3 OXIGENE INC, 701 GATEWAY BLVD., SOUTH SAN FRANCISCO, CA, 94080, 650-635-7000 - 5,052,007 ($11,973,256.59) Equity, (File 333-191531 - Oct. 2) (BR. 01B) S-1 Applied Minerals, Inc., 110 GREENE STREET, SUITE 1101, NEW YORK, NY, 10012, 212-226-4256 - 19,899,733 ($21,690,709.00) Equity, (File 333-191532 - Oct. 2) (BR. 09A) S-3ASR LEUCADIA NATIONAL CORP, 520 MADISON AVENUE, NEW YORK, NY, 10022, 2124601900 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191533 - Oct. 2) (BR. 05A) S-1 Arc Logistics Partners LP, 725 FIFTH AVENUE, 19TH FLOOR, NEW YORK, NY, 10022, (212) 993-1280 - 0 ($100,000,000.00) Equity, (File 333-191534 - Oct. 2) (BR. 04A) S-8 FOREST CITY ENTERPRISES INC, 1100 TERMINAL TOWER, 50 PUBLIC SQ, CLEVELAND, OH, 44113, 216-621-6060 - 5,000,000 ($94,750,000.00) Equity, (File 333-191535 - Oct. 2) (BR. 08B) S-4 CenterState Banks, Inc., 1101 FIRST ST. S., SUITE 202, WINTER HAVEN, FL, 33880, 8632932600 - 0 ($59,711,075.00) Equity, (File 333-191536 - Oct. 2) (BR. 07C) S-8 MEDASSETS INC, 100 NORTH POINT CENTER EAST, SUITE 200, ALPHARETTA, GA, 30022, 6783232500 - 2,600,000 ($65,702,000.00) Equity, (File 333-191537 - Oct. 2) (BR. 03A) S-3 ZALE CORP, 901 W WALNUT HILL LN, MS 6B-3, IRVING, TX, 75038, 9725804000 - 0 ($166,357,523.94) Equity, (File 333-191538 - Oct. 2) (BR. 02B) S-3 INVESTORS REAL ESTATE TRUST, 1400 31ST AVENUE SW, SUITE 60, PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 166,667 ($1,385,002.77) Equity, (File 333-191539 - Oct. 2) (BR. 08B) S-3ASR DYNEGY INC., 601 TRAVIS, SUITE 1400, HOUSTON, TX, 77002, (713) 507-6400 - 0 ($604,972,261.60) Equity, (File 333-191540 - Oct. 2) (BR. 02C) S-8 MID AMERICA APARTMENT COMMUNITIES INC, 6584 POPLAR AVE, STE 340, MEMPHIS, TN, 38138, 9016826600 - 0 ($41,182,539.88) Equity, (File 333-191541 - Oct. 2) (BR. 08B)
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 ACORDA THERAPEUTICS INC 8.01,9.01 10/02/13 Actavis, Inc. NV 8.01,9.01 09/30/13 Actavis, Inc. NV 1.01,2.01,2.03, 10/01/13 3.01,3.03,5.01, 5.02,5.03,9.01 Addus HomeCare Corp DE 5.02 10/02/13 ALION SCIENCE & TECHNOLOGY CORP DE 8.01,9.01 09/27/13 ALLIANT TECHSYSTEMS INC DE 1.01,2.03,9.01 09/26/13 ALTAIR NANOTECHNOLOGIES INC Z4 5.02 09/26/13 ALTAIR NANOTECHNOLOGIES INC Z4 5.02 09/26/13 AMEND Amarantus Bioscience Holdings, Inc. NV 8.01,9.01 10/02/13 AMAZONICA, CORP. NV 5.02,8.01,9.01 09/26/13 AMERICAN EAGLE ENERGY Corp NV 1.01,8.01,9.01 10/01/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 10/02/13 AMERICAN MEDIA INC DE 1.01,2.03,9.01 09/27/13 American Midstream Partners, LP DE 9.01 10/01/13 AMEND Amincor, Inc. NV 3.02 10/02/13 Anacor Pharmaceuticals, Inc. DE 8.01,9.01 10/01/13 Andalay Solar, Inc. DE 1.01,2.03,3.02, 09/30/13 9.01 ANIKA THERAPEUTICS INC MA 1.01,5.02,9.01 09/30/13 ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 10/02/13 APPLIED MICRO CIRCUITS CORP DE 5.02,9.01 09/26/13 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 10/02/13 ASTORIA FINANCIAL CORP DE 8.01,9.01 10/02/13 ASURE SOFTWARE INC DE 1.01,9.01 09/30/13 AUTHENTIDATE HOLDING CORP DE 3.02,5.02,9.01 09/30/13 AUTODESK INC DE 7.01,9.01 10/02/13 AUTONATION, INC. DE 7.01,9.01 10/02/13 BBX CAPITAL CORP FL 2.03,9.01 10/02/13 bebe stores, inc. CA 5.02 10/02/13 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 10/02/13 BFC FINANCIAL CORP FL 2.03,9.01 09/26/13 BIOLARGO, INC. DE 8.01,9.01 09/27/13 BJs RESTAURANTS INC CA 8.01,9.01 10/01/13 Blue Water Petroleum Corp. 7.01,9.01 10/02/13 BOISE CASCADE Co DE 1.01,2.01,7.01, 09/30/13 9.01 BOISE INC. DE 8.01,9.01 10/02/13 BTU INTERNATIONAL INC DE 1.01,2.03,9.01 09/26/13 C & F FINANCIAL CORP VA 2.01,9.01 10/01/13 CAESARS ENTERTAINMENT Corp DE 8.01 10/02/13 CalAmp Corp. DE 2.02,9.01 10/02/13 Campus Crest Communities, Inc. MD 1.01,7.01,9.01 09/30/13 Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 09/26/13 Cellular Biomedicine Group, Inc. DE 5.02,8.01,9.01 09/30/13 Cellular Concrete Technologies, Inc. DE 4.01,9.01 10/02/13 Cellular Concrete Technologies, Inc. DE 1.01,2.01,5.06, 06/12/13 AMEND 9.01 CelLynx Group, Inc. NV 4.01,9.01 09/27/13 CenterState Banks, Inc. FL 1.01,9.01 09/30/13 CENTURY NEXT FINANCIAL Corp LA 8.01,9.01 10/02/13 China Green Agriculture, Inc. NV 5.02,8.01 09/28/13 CIRRUS LOGIC INC DE 7.01,9.01 10/01/13 CLAYTON WILLIAMS ENERGY INC /DE DE 1.01,2.03,7.01, 09/26/13 9.01 CMS ENERGY CORP MI 7.01,9.01 10/02/13 CODEXIS INC 4.01 09/26/13 COLONIAL PROPERTIES TRUST AL 1.02,2.01,3.01, 10/01/13 3.03,5.01,5.02, 5.03,8.01,9.01 COMSCORE, INC. DE 1.01,2.03 09/26/13 Conatus Pharmaceuticals Inc DE 1.02 09/25/13 CONTANGO OIL & GAS CO DE 1.01,1.02,2.01, 10/01/13 5.02,5.03,5.07, 8.01,9.01 Corporate Resource Services, Inc. DE 8.01,9.01 10/02/13 CORRECTIONS CORP OF AMERICA MD 7.01 10/02/13 CRIMSON EXPLORATION INC. 2.01,3.01,3.03, 10/01/13 5.01,5.02,5.03, 5.07,8.01,9.01 CRIMSON EXPLORATION INC. 1.02 10/01/13 CROSSTEX ENERGY INC DE 7.01,9.01 10/02/13 CROSSTEX ENERGY LP DE 7.01,9.01 10/02/13 DARLING INTERNATIONAL INC DE 1.01,2.03,8.01, 09/27/13 9.01 DDR CORP OH 2.01,9.01 10/01/13 DELTA AIR LINES INC /DE/ DE 7.01,9.01 10/02/13 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 10/02/13 Diligent Board Member Services, Inc. DE 5.02,9.01 09/27/13 Discovery Energy Corp. NY 1.01,2.03,9.01 09/26/13 Diversicare Healthcare Services, Inc. DE 5.02 10/02/13 Dixie Foods International, Inc FL 3.02 10/01/13 EARTHSTONE ENERGY INC DE 5.07,8.01 09/25/13 Emerald Oil, Inc. MT 7.01,9.01 10/02/13 Enduro Royalty Trust DE 1.01,8.01,9.01 09/26/13 Ener-Core Inc. NV 1.01,9.01 09/26/13 Engility Holdings, Inc. DE 5.07 05/23/13 AMEND ENNIS, INC. TX 8.01,9.01 10/01/13 EQUINIX INC DE 1.01 09/26/13 EXAR CORP DE 1.02 09/30/13 EXAR CORP DE 5.02 09/30/13 EXP Realty International Corp DE 2.01,3.02,5.01, 09/27/13 5.02,5.03,5.06, 9.01 F&M BANK CORP VA 5.07 09/26/13 FAB Universal Corp. CO 8.01,9.01 10/02/13 FASTENAL CO MN 7.01,9.01 10/02/13 Federal Home Loan Bank of San Francis X1 7.01,9.01 10/02/13 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 10/02/13 FIRST CASH FINANCIAL SERVICES INC DE 1.01,2.03,8.01, 09/30/13 9.01 FIRST COMMUNITY CORP /SC/ SC 8.01,9.01 10/02/13 Foundation Medicine, Inc. DE 5.03,9.01 09/30/13 Fuel Systems Solutions, Inc. 5.03 10/02/13 FUSION TELECOMMUNICATIONS INTERNATION DE 3.02 10/02/13 Gaming Partners International CORP NV 8.01 09/20/13 GENERAL STEEL HOLDINGS INC NV 3.01,8.01,9.01 09/26/13 Global Ecology Corp NV 8.01 10/01/13 Global Geophysical Services Inc DE 1.01,2.03,7.01, 09/30/13 9.01 GlyEco, Inc. NV 1.01,2.01,3.02, 09/27/13 9.01 GNC HOLDINGS, INC. DE 7.01,9.01 10/02/13 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02 10/01/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/27/13 GREENESTONE HEALTHCARE CORP CO 1.02,8.01,9.01 09/30/13 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 09/30/13 HAMPSHIRE GROUP LTD DE 1.01,2.03,9.01 09/26/13 Hatteras Financial Corp 5.02 09/26/13 HCP, INC. MD 5.02 09/27/13 HD Supply Holdings, Inc. DE 7.01,9.01 10/02/13 Health Insurance Innovations, Inc. DE 9.01 07/17/13 AMEND HEALTHWAYS, INC DE 1.01,2.03,3.02, 10/01/13 7.01,9.01 HIGHWATER ETHANOL LLC 1.01,7.01,9.01 09/27/13 HITTITE MICROWAVE CORP 5.02,9.01 10/01/13 Horizon Technology Finance Corp DE 2.02,9.01 10/02/13 Howard Hughes Corp DE 1.01,2.03,8.01, 10/02/13 9.01 IASIS Healthcare LLC DE 2.01,7.01,9.01 09/26/13 ICEWEB INC DE 1.01,2.01,2.03, 10/01/13 3.02,7.01,9.01 Imprimis Pharmaceuticals, Inc. DE 1.02,5.02,5.07 09/26/13 Ingersoll-Rand plc L2 5.02,9.01 10/02/13 Inka Productions Corp. NV 3.02,5.01,5.02 09/24/13 INREIT Real Estate Investment Trust ND 1.01,9.01 09/26/13 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 8.01,9.01 10/01/13 INTERMOLECULAR INC DE 5.02 10/02/13 International Gold Corp. NV 8.01,9.01 10/01/13 INVESTORS CAPITAL HOLDINGS LTD MA 8.01,9.01 10/01/13 KBS Real Estate Investment Trust III, MD 1.01 09/27/13 KILROY REALTY CORP MD 8.01,9.01 10/02/13 KORN FERRY INTERNATIONAL DE 5.03,5.07,9.01 09/26/13 LIBERTY STAR URANIUM & METALS CORP. NV 3.02,5.02,9.01 09/05/13 AMEND Limelight Networks, Inc. DE 5.02 10/02/13 LNB BANCORP INC OH 5.02 10/01/13 MAGNUM HUNTER RESOURCES CORP DE 5.07,7.01 09/27/13 MAKO Surgical Corp. DE 1.01,8.01,9.01 10/01/13 MARINE PRODUCTS CORP DE 8.01,9.01 10/01/13 MERITOR INC IN 7.01,9.01 10/02/13 METABOLIX, INC. 5.02 09/27/13 METWOOD INC NV 5.03,9.01 10/02/13 MICREL INC CA 5.02,9.01 10/02/13 MICROCHIP TECHNOLOGY INC DE 5.02,5.03,7.01, 10/02/13 9.01 MICRON TECHNOLOGY INC DE 1.01 07/31/13 AMEND MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,2.01,2.03, 10/01/13 3.03,5.02,5.03, 7.01,9.01 MILLER ENERGY RESOURCES, INC. TN 7.01 10/01/13 Minerco Resources, Inc. NV 8.01,9.01 10/02/13 MMRGlobal, Inc. DE 3.02 10/02/13 MobileSmith, Inc. DE 2.03,3.02,5.02 09/26/13 MODEL N, INC. DE 7.01 09/30/13 MONSANTO CO /NEW/ DE 2.02,9.01 10/02/13 MRV COMMUNICATIONS INC DE 4.01 10/02/13 National American University Holdings DE 2.02,9.01 10/02/13 NEW CENTURY BANCORP INC NC 7.01,8.01,9.01 10/01/13 NEWBRIDGE BANCORP NC 2.01,9.01 10/01/13 NEXSTAR BROADCASTING GROUP INC DE 5.02 09/26/13 NEXSTAR BROADCASTING GROUP INC DE 1.01,2.03,8.01, 10/01/13 9.01 NOODLES & Co DE 5.02 09/26/13 NORTHEAST COMMUNITY BANCORP INC X1 5.02,8.01,9.01 09/26/13 NORTHERN EMPIRE ENERGY CORP. NV 5.01,5.02 10/02/13 Oasis Petroleum Inc. DE 2.01,7.01,9.01 10/01/13 Och-Ziff Capital Management Group LLC DE 7.01 10/02/13 OCLARO, INC. DE 1.01 09/26/13 ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 09/26/13 OMNIVISION TECHNOLOGIES INC DE 5.07,9.01 09/26/13 OMNOVA SOLUTIONS INC OH 7.01,9.01 10/02/13 OphthaliX, Inc. 8.01,9.01 10/02/13 PACIFIC GOLD CORP NV 1.01,9.01 09/24/13 Park Sterling Corp NC 8.01,9.01 09/30/13 Pattern Energy Group Inc. DE 1.01,3.02,7.01, 09/26/13 8.01,9.01 PDL BIOPHARMA, INC. DE 1.01,2.03,8.01, 10/01/13 9.01 PennantPark Floating Rate Capital Ltd 7.01,9.01 10/02/13 PHILLIPS 66 PARTNERS LP DE 5.02 09/30/13 PITNEY BOWES INC /DE/ DE 7.01,9.01 10/02/13 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 10/02/13 PRAXAIR INC DE 1.01,9.01 10/02/13 PRO DEX INC CO 5.08,9.01 09/24/13 PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 10/02/13 Promap Corp CO 5.03 10/01/13 Promap Corp CO 4.01,9.01 10/01/13 AMEND PRUDENTIAL BANCORP INC OF PENNSYLVANI 8.01,9.01 10/02/13 PUBLIX SUPER MARKETS INC FL 2.02,9.01 10/01/13 QUEST DIAGNOSTICS INC DE 2.02,9.01 10/01/13 RCS Capital Corp DE 8.01,9.01 10/01/13 RCS Capital Corp DE 8.01,9.01 10/01/13 AMEND REALNETWORKS INC WA 5.02,7.01,9.01 10/02/13 RegalWorks Media, Inc. NV 2.01,9.01 07/15/13 AMEND RETAIL OPPORTUNITY INVESTMENTS CORP MD 1.01,2.01,2.03, 09/26/13 3.02,9.01 RETRACTABLE TECHNOLOGIES INC TX 8.01 09/30/13 Retrophin, Inc. OK 5.02,9.01 09/26/13 REVLON CONSUMER PRODUCTS CORP DE 5.02,9.01 10/01/13 REVLON INC /DE/ DE 5.02,9.01 10/01/13 Rich Pharmaceuticals, Inc. 5.03,9.01 10/02/13 RLI CORP IL 8.01,9.01 10/02/13 ROCKWELL AUTOMATION INC DE 5.02,9.01 09/30/13 ROGERS CORP MA 5.02,9.01 09/26/13 ROLLINS INC DE 8.01,9.01 10/01/13 ROYAL MINES & MINERALS CORP NV 1.01,1.02,9.01 09/27/13 RPC INC DE 8.01,9.01 10/01/13 RREEF Property Trust, Inc. MD 7.01 09/30/13 SABINE ROYALTY TRUST TX 2.02,9.01 10/02/13 Samson Oil & Gas LTD C3 5.02 09/26/13 SCANA CORP SC 8.01 10/02/13 SEARS HOLDINGS CORP DE 1.01,2.03,9.01 10/02/13 SED INTERNATIONAL HOLDINGS INC 2Q 8.01,9.01 10/02/13 SELECT COMFORT CORP MN 7.01,9.01 10/02/13 Shire plc 8.01,9.01 10/02/13 SIMON PROPERTY GROUP L P /DE/ DE 1.01,2.03,9.01 10/02/13 SMITHFIELD FOODS INC VA 4.01,5.02,9.01 09/26/13 Sorrento Therapeutics, Inc. DE 1.01,2.03,3.02 09/27/13 SOUTHERN CO DE 7.01,8.01 10/02/13 SPHERIX INC DE 7.01,9.01 10/02/13 STANDARD REGISTER CO OH 2.05 09/26/13 STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 10/01/13 STONEMOR PARTNERS LP DE 1.01,9.01 09/26/13 STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01,9.01 09/30/13 STRATUM HOLDINGS, INC. NV 5.01,5.02,9.01 10/01/13 Stratus Media Group, Inc 1.01,8.01,9.01 09/30/13 SUPERTEL HOSPITALITY INC VA 1.01,1.02,9.01 09/26/13 SVB FINANCIAL GROUP 2.02 10/02/13 Synacor, Inc. 1.01 09/27/12 SYNCHRONOSS TECHNOLOGIES INC 1.01 09/27/13 TECH DATA CORP FL 3.01,9.01 10/02/13 TENGION INC DE 3.02,8.01,9.01 09/26/13 TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 09/27/13 TNI BIOTECH, INC. FL 1.01,9.01 09/17/13 Trade Street Residential, Inc. MD 5.02,9.01 09/26/13 TRANS WORLD CORP NV 5.07 10/02/13 Trinity Place Holdings Inc. DE 3.02,3.03,5.02, 09/27/13 5.03,5.07,8.01, 9.01 Trio Resources, Inc. NV 1.01,9.01 09/25/13 Truett-Hurst, Inc. DE 5.02 10/02/13 UIL HOLDINGS CORP CT 7.01,9.01 10/02/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 7.01,9.01 10/02/13 URANIUM ENERGY CORP NV 1.01,5.02,8.01, 09/26/13 9.01 US GEOTHERMAL INC DE 2.03 09/26/13 VOLT INFORMATION SCIENCES, INC. NY 5.02 09/27/13 Vu1 CORP CA 7.01,9.01 09/30/13 WaferGen Bio-systems, Inc. NV 3.02,7.01,9.01 09/30/13 WALT DISNEY CO/ DE 5.02,9.01 09/27/13 WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02 09/27/13 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/26/13 Western Refining, Inc. DE 7.01,9.01 10/02/13 WINDAUS GLOBAL ENERGY INC WY 1.01,1.02,2.01, 05/22/13 AMEND 3.02,4.01,5.01, 5.02,5.03,9.01 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,9.01 10/01/13 Xhibit Corp. NV 5.02,9.01 09/26/13 XRS Corp MN 5.02,9.01 10/01/13 ZALE CORP DE 8.01 10/02/13 Zalicus Inc. DE 3.03,5.03,9.01 10/02/13 ZION OIL & GAS INC DE 7.01,9.01 10/02/13 ZOGENIX, INC. DE 8.01 10/01/13