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U.S. Securities and Exchange Commission


Issue 2013-191
October 3, 2013

Commission Announcements

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)

Commission Meetings

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.

        LA JOLLA, CA, 92037, 858-550-7500 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-191523 - Oct. 2) 
        (BR. 01B)

        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)

        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)

        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)

        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)

        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)

        PO BOX 1988, MINOT, ND, 58702-1988, 701-837-4738 - 
        166,667 ($1,385,002.77) Equity, (File 333-191539 - Oct. 2) (BR. 08B)

        (713) 507-6400 - 0 ($604,972,261.60) Equity, (File 333-191540 - Oct. 2) 
        (BR. 02C)

        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:

1.01 Entry into a Material Definitive Agreement
1.02 Termination of a Material Definitive Agreement
1.03 Bankruptcy or Receivership
2.01 Completion of Acquisition or Disposition of Assets
2.02 Results of Operations and Financial Condition
2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
2.05 Cost Associated with Exit or Disposal Activities
2.06 Material Impairments
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
3.02 Unregistered Sales of Equity Securities
3.03 Material Modifications to Rights of Security Holders
4.01 Changes in Registrant's Certifying Accountant
4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
5.01 Changes in Control of Registrant
5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04 Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
5.06 Change in Shell Company Status
6.01 ABS Informational and Computational Material.
6.02 Change of Servicer or Trustee.
6.03 Change in Credit Enhancement or Other External Support.
6.04 Failure to Make a Required Distribution.
6.05 Securities Act Updating Disclosure.
7.01 Regulation FD Disclosure
8.01 Other Events
9.01 Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

NAME OF ISSUER                         CODE      8K ITEM 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

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

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

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

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

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

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

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

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

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

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

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

GlyEco, Inc.                            NV       1.01,2.01,3.02,   09/27/13

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

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

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

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

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

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

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

PDL BIOPHARMA, INC.                     DE       1.01,2.03,8.01,   10/01/13

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

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

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

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

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



Modified: 10/03/2013