Commission Names Karen L. Martinez as Director of Salt Lake Regional Office
The Securities and Exchange Commission (Commission) today announced the appointment of Karen L. Martinez as director of the Salt Lake Regional Office.
Ms. Martinez joined the SEC staff in 2002 as trial counsel in the Salt Lake office. She became assistant director in 2010 and has since supervised the enforcement program in the office. Ms. Martinez also has supervised some investigations in the SEC’s Foreign Corrupt Practices Act (FCPA) specialized unit, which focuses on cases involving bribery of foreign officials.
“Karen has repeatedly proven herself as a creative and talented enforcer of the securities laws,” said Andrew J. Ceresney, Co-Director of the SEC’s Division of Enforcement. “Under her leadership, the Salt Lake City office’s enforcement program has achieved numerous significant successes, and we are pleased that she will continue her SEC service in this new role.”
Ms. Martinez has supervised investigations that included the SEC’s first-ever deferred prosecution agreement as well as cases against a company that targeted deaf investors, a $220 million Ponzi scheme, and a father and son allegedly scheming to profit from the deaths of terminally ill individuals. As trial counsel, Ms. Martinez successfully litigated cases involving insider trading, FCPA violations, and violations of Regulation S-P.
In her new role, Ms. Martinez will oversee both enforcement and examinations in the Salt Lake office.
Andrew J. Bowden, Director of the SEC’s National Exam Program, said, “We are grateful to have someone as dedicated and experienced as Karen to lead the Salt Lake Regional Office.
Ms. Martinez said, “It is a real honor to be named regional director of the Salt Lake office. I look forward to the challenges this new position will bring and continuing to work with all the talented professionals in the Salt Lake office. During the past 10 years, the Salt Lake staff has filed numerous important cases, returned millions to the victims of securities fraud, and worked diligently every day to protect investors.”
Before joining the SEC staff, Ms. Martinez was in private practice. She began her legal career as a law clerk to the Honorable Christine M. Durham of the Utah Supreme Court. Ms. Martinez earned her bachelor’s degree from the University of Idaho, and she earned a master’s degree in Mathematics and her law degree from the University of Utah. (Press Rel. 2013-216)
Commission Suspends Trading in the Securities of China Ritar Power Corp. for Failure to Make Required Periodic Filings
The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of China Ritar Power Corp. at 9:30 a.m. EDT on October 4, 2013, and terminating at 11:59 p.m. EDT on October 17, 2013.
The Commission temporarily suspended trading in the securities of China Ritar Power Corp. due to a lack of current and accurate information about the company because China Ritar Power Corp. has not filed any periodic reports since the period ended September 30, 2010.
The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the securities of China Ritar Power Corp. until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter,
they should immediately communicate it to Scott W. Friestad, Associate Director of the Division of Enforcement, at (202) 551-4962. (Rel. 34-70609)
Commission Orders Hearings on Registration Suspension or Revocation against China Ritar Power Corp. for Failure to Make Required Public Findings
In conjunction with this trading suspension, the Commission today also instituted a public administrative hearing proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of securities of China Ritar Power Corp. for failure to make required periodic filings with the Commission:
In the Matter of China Ritar Power Corp., Administrative Proceeding File No. 3-15551
In this Order, the Division of Enforcement (Division) alleges that the Respondent is delinquent in its required periodic filings with the Commission.
In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and Home System Group to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of China Ritar Power Corp. should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in these proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70610)
Court Enters Final Judgment by Default against Defendant China MediaExpress Holdings, Inc.
The Commission announced that on October 3, 2013, the Honorable Ellen S. Huvelle, United States District Court Judge for the District of Columbia, entered a final judgment by default against Defendant China MediaExpress Holdings, Inc. (China Media). The final judgment permanently enjoins China Media from future violations of various provisions of the federal securities laws, including Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act. The final judgment also holds China Media liable for total combined disgorgement and prejudgment interest of $41,894.082.05 and a civil monetary penalty in the amount of $7,250,000.
On June 20, 2013, the SEC filed a complaint against China Media and its Chairman and CEO, Zheng Cheng (collectively, the “Defendants”) alleging that from at least October 2009, the Defendants engaged in a scheme to mislead and defraud investors by, among other things, grossly overstating China Media’s cash balances. The complaint alleged that after China Media materially misrepresented its financial condition and business operations, its stock price tripled to more than $20 per share, making the company attractive to the investing public and allowing it to raise more than $53 million from stock sales to investors. [SEC v. China MediaExpress Holdings, Inc. and Zheng Cheng, Civil Action No. 1:13-cv-00927 (D.D.C.)]. (Rel. LR-22833)
Joshua Constantin Sanctioned
Joshua Constantin (Constantin), of Huntington, New York, has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him.
Constantin was enjoined from violating the antifraud provisions of the securities laws, based on his wrongdoing while associated with Windham Securities, Inc., a small broker-dealer. (ID-505)
In the Matter of David F. Bandimere
An Administrative Law Judge has issued an Initial Decision in David F. Bandimere, Admin. Proc. File No. 3-15124, as to Respondent John O. Young (Young). The Initial Decision bars Young from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, orders Young to disgorge $430,972.16, including prejudgment interest, imposes a civil penalty of $100,000, and orders Young to cease and desist from committing or causing violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5. Young and the Division of Enforcement had previously submitted Stipulations as to Liability in which Young stipulated that he was liable for the allegations alleged against him in the Order Instituting Proceedings. The parties agreed to resolve the issue of what relief was appropriate by motion practice rather than through a live hearing. (ID-506)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by The NASDAQ Stock Market LLC to amend its Schedule of Fees and Credits applicable to execution and routing of orders in securities priced at $1 or more per share under Rule 7018 (SR-NASDAQ-2013-129) 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 October 7th. (Rel. 34-70614)
Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change
The Commission has issued a notice of filing of Amendment No. 1, and instituted proceedings to determine whether to approve or disapprove the proposed rule change, as modified by Amendment No. 1 (SR-FINRA-2013-025), filed by the Financial Industry Regulatory Authority, Inc. to adopt rules regarding supervision in the consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70612)
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change
The Commission has designated a longer period within which to take action on a proposed rule change (SR-FINRA-2013-036), submitted by the Financial Industry Regulatory Authority, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, relating to wash sale transactions and FINRA Rule 5210 (Publication of Transactions and Quotations). Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70613)
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-4 General Motors Financial Company, Inc., 801 CHERRY STREET, SUITE 3500, FORT WORTH, TX, 76102, 8173027000 - 0 ($1,000,000,000.00) Debt, (File 333-191542 - Oct. 3) (BR. 07B) S-4 General Motors Financial Company, Inc., 801 CHERRY STREET, SUITE 3500, FORT WORTH, TX, 76102, 8173027000 - 0 ($2,500,000,000.00) Debt, (File 333-191543 - Oct. 3) (BR. 07B) S-1 Mirati Therapeutics, Inc., 9363 TOWNE CENTRE DRIVE, SUITE 200, SAN DIEGO, CA, 92121, (514) 337-3333 - 0 ($57,500,000.00) Equity, (File 333-191544 - Oct. 3) (BR. 01A) S-1 Spacepath, Inc., 7 MAYAKOVSKOGO STREET, BIROBIDJAN, 1Z, 679016, 503-660-3174 - 2,000,000 ($80,000.00) Equity, (File 333-191545 - Oct. 3) (BR. 06) S-8 FULLER H B CO, 1200 WILLOW LAKE BLVD, ST PAUL, MN, 55110-5132, 6126453401 - 3,500,000 ($150,430,000.00) Equity, (File 333-191549 - Oct. 3) (BR. 06A) S-1 TWITTER, INC., 1355 MARKET STREET, SUITE 900, San Francisco, CA, 94103, (415) 222-9670 - 0 ($1,000,000,000.00) Equity, (File 333-191552 - Oct. 3) (BR. 03B) F-1 Kofax Ltd, 15211 LAGUNA CANYON ROAD, IRVINE, CA, 92618, 441 295 1442 - 0 ($5,750,000.00) Equity, (File 333-191554 - Oct. 3) (BR. 03C) S-1 Amarantus Bioscience Holdings, Inc., 675 ALMANOR AVE., SUNNYVALE, CA, 94085, (408) 737-2734 - 0 ($10,919,989.08) Equity, (File 333-191555 - Oct. 3) (BR. 01A)
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 ACORDA THERAPEUTICS INC 8.01,9.01 10/02/13 Actavis, Inc. NV 8.01,9.01 09/30/13 Actavis, Inc. NV 1.01,2.01,2.03,3.01, 3.03,5.01,5.02,5.03, 9.01 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 1.01,2.03,3.02,9.01 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 1.01,2.01,7.01,9.01 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 1.01,2.01,5.06,9.01 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 1.01,2.03,7.01,9.01 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, 3.03,5.01,5.02, 5.03,8.01,9.01 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, 5.02,5.03,5.07,8.01, 9.01 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. 2.01,3.01,3.03,5.01, 5.02,5.03,5.07,8.01, 9.01 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 1.01,2.03,8.01,9.01 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 2.01,3.02,5.01,5.02, 5.03,5.06,9.01 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 1.01,2.03,8.01,9.01 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 1.01,2.03,7.01,9.01 09/30/13 GlyEco, Inc. NV 1.01,2.01,3.02,9.01 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 1.01,2.03,3.02,7.01, 9.01 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 1.01,2.03,8.01,9.01 10/02/13 IASIS Healthcare LLC DE 2.01,7.01,9.01 09/26/13 ICEWEB INC DE 1.01,2.01,2.03,3.02, 7.01,9.01 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 5.02,5.03,7.01,9.01 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, 3.03,5.02,5.03, 7.01,9.01 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 1.01,2.03,8.01,9.01 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, 8.01,9.01 09/26/13 PDL BIOPHARMA, INC. DE 1.01,2.03,8.01,9.01 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, 3.02,9.01 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 3.02,3.03,5.02,5.03, 5.07,8.01,9.010 9/27/13 Trio Resources, Inc. NV 1.01,9.01 09/25/13 Truett-Hurst, Inc. 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