Commission Suspends Trading in the Securities of Crown Alliance Capital Limited
The Securities and Exchange Commission ("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 Crown Alliance Capital Limited ("Crown Alliance"), of Ontario, Canada, at 9:30 a.m. EDT on October 22, 2013, and terminating at 11:59 p.m. EST on November 4, 2013.
The Commission temporarily suspended trading in the securities of Crown Alliance because of questions regarding the accuracy of assertions in Crown Alliance's public filings concerning the company's assets and shareholders and because of potentially manipulative conduct in the trading of Crown Alliance's shares.
The Commission cautions broker-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 Crown Alliance's securities 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, Elisha Frank of the Securities and Exchange Commission should be telephoned at (305) 982-6392. (Rel. 34-70732)
Commission Suspends Trading in the Securities of Arx Gold Corporation
The Commission announced the temporary suspension of trading in ARX Gold Corp.'s ("ARX Gold") securities, commencing at 9:30 a.m. EDT on October 22, 2013 and terminating at 11:59 p.m. EST on November 4, 2013. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission temporarily suspended trading in the securities of ARX Gold because of questions regarding the authorship of, and accuracy of information contained in, an exhibit, dated June 15, 2012 and entitled "Feasibility Study ARX Springs & ARX Pacific Properties For Mining Project Located in Wide Bay Burnett Region, Queensland, Australia," to ARX Gold's Form 10-K filed on September 4, 2013 and an exhibit, dated May 7, 2012 and entitled "Definitive Feasibility Study on the ARX Springs and ARX Pacific Properties located in Wide Bay Burnett Region, Queensland, Australia," to its Form 8-K filed on May 30, 2012. On October 3, 2013, ARX Gold filed an amended Form 10-K purporting "to delete an exhibit which was erroneously filed" with the 10-K filed on September 4, 2013 (emphasis added) without explicitly identifying or explaining that the Feasibility Study was the exhibit it sought to delete. ARX Gold has not amended its May 2012 Form 8-K and its October 2013 amendment to the Form 10-K does not disclaim the purported facts described in the earlier Feasibility Study filed with the Commission.
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 these companies. Further, brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker-dealer or other person has any information which may relate to this matter, they should immediately contact Douglas McAllister, Assistant Director, at (202) 551-4939, or Carlisle Perkins, Senior Counsel, at (202) 551-4822, or by e-mail at firstname.lastname@example.org or email@example.com. (Rel. 34-70730)
Commission Charges Diebold with FCPA Violations in China, Indonesia, and Russia
The Commission today charged Diebold, Inc. ("Diebold"), an Ohio corporation that is a global provider of ATMs and bank security systems, with violations of the Foreign Corrupt Practices Act ("FCPA") for lavishing international leisure trips, entertainment, and other improper gifts on foreign officials to obtain and retain lucrative business with government owned banks in China and Indonesia, and for paying other bribes in connection with the sale of ATMs to private banks in Russia. The SEC's complaint, filed in the United States District Court for the District of Columbia, alleges that Diebold paid approximately $3 million in illicit payments in these countries from 2005 through 2010. To settle the SEC's charges, Diebold has agreed to consent to final judgment, which is subject to court approval, ordering a permanent injunction, payment of $22,972,942 in disgorgement and prejudgment interest, and appointment of independent compliance monitor.
As alleged in the SEC's complaint, from 2005 through 2010, through its Chinese subsidiary Diebold Financial Equipment Company (China), Ltd., Diebold provided international leisure trips and entertainment to officials of government owned banks in China. This included trips to Europe, with stays in Paris, Amsterdam, Florence, Rome and other European cities, and trips to the United States, with travel to the Grand Canyon, Napa Valley, Disneyland, Las Vegas, and other popular tourist destinations. The SEC alleges that Diebold spent approximately $1.6 million on leisure trips, entertainment, and other improper gifts for government bank officials in China. During this same time period, the SEC alleges, Diebold spent over $147,000 on leisure trips and entertainment for officials of government banks in Indonesia. As alleged in the complaint, Diebold executives in charge of the company's operations in Asia knew of these improper payments, which were falsely recorded in Diebold's books and records as training or other legitimate business expenses.
The SEC's complaint further alleges that from 2005 through 2008, through its Russian subsidiary Diebold Self-Service Ltd., Diebold paid bribes on the sale of ATMs to private banks in Russia. As alleged in the complaint, these bribes totaled approximately $1.2 million, and were funneled through a Diebold distributor in Russia. According to the complaint, Diebold's Russian subsidiary executed phony service contracts with its distributor to hide and falsely record the payments as legitimate business expenses.
The SEC's complaint charges Diebold with violating Sections 30A, 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934. Diebold has agreed to consent to a final judgment that permanently enjoins the company from future violations of these provisions, orders Diebold to pay $22,972,942 in disgorgement and prejudgment interest, and requires the appointment of an independent compliance monitor. In a parallel criminal proceeding, Diebold has agreed to pay a $25.2 million criminal fine as part of a deferred prosecution agreement with the U.S. Department of Justice.
The SEC's investigation was led by Devon A. Brown and Brian O. Quinn with assistance from Jennifer Baskin of the FCPA Unit and Kristen Dieter. The SEC thanks the U.S. Department of Justice's Fraud Section, the United States Attorney's Office for the Northern District of Ohio, and the Federal Bureau of Investigation, for their assistance in this matter. (Press Rel. 2013-225; Rel. LR-22849)
Commission Obtains Jury Verdict in its Favor against All Defendants on All Counts
On October 10, 2013, a jury in the Eastern District of Tennessee, Knoxville Division, returned a verdict against AIC, Inc., Community Bankers Securities, LLC, and Nicholas D. Skaltsounis on all counts. Defendant AIC was a financial services holding company for three broker-dealers and an investment adviser based in Richmond, Virginia. Defendant Community Bankers Securities was one of the subsidiary broker-dealers. Defendant Skaltsounis was the founder, President, and Chief Executive Officer of AIC and Community Bankers Securities. The Commission's complaint, which was filed in April 2011, alleged that Skaltsounis devised and orchestrated an offering fraud by offering and selling millions of dollars of AIC promissory notes and stock.
The complaint alleged that, from at least January 2006 through November 2009, Skaltsounis, directly and through registered representatives associated with Community Bankers Securities, offered and sold AIC promissory notes and stock to numerous investors across multiple states, many of whom were elderly, unsophisticated brokerage customers of CB Securities. The Defendants misrepresented and omitted material information to investors relating to, among other things, the safety and risk associated with the investments, the rates of return on the investments, and how AIC would use the proceeds of the investments. AIC and its subsidiaries were never profitable. AIC earned de minimis revenue, and its subsidiaries did not earn sufficient revenue to meet their expenses. The Defendants used money raised from new investors to pay back principal and returns to existing investors.
Prior to trial, the United States District Court for the Eastern District of Tennessee granted the Commission's motion for partial summary judgment and found in favor of the Commission on its claims against AIC, Community Bankers Securities, and Skaltsounis under Sections 5(a) and 5(c) of the Securities Act of 1933. The court also found in favor of the Commission on its claims against three relief defendants, Allied Beacon Partners, Inc. (f/k/a Waterford Investor Services, Inc.), Advent Securities, Inc., and Allied Beacon Wealth Management, LLC (f/k/a CBS Advisors, LLC), all of which were subsidiaries of AIC and all of which received proceeds from the Defendants' illegal and fraudulent conduct. In addition, prior to trial, two co-defendants, John B. Guyette, of Greeley, Colorado, and John R. Graves, formerly of Pensacola, Florida, and now incarcerated at the Federal Detention Center at Oakdale, Louisiana, both of whom were participants in the scheme, entered into settlement agreements with the Commission. A final judgment ordering injunctive relief, disgorgement of ill-gotten gains, and civil penalties was entered against Guyette, and a final judgment ordering injunctive relief and civil penalties was entered against Graves.
At the conclusion of the almost three-week trial, the jury returned a verdict for the Commission and against Defendants AIC, Community Bankers Securities, and Skaltsounis on all of the remaining claims. In particular, the jury found in favor of the Commission on its claims under Section 17(a) of the Securities Act and under Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition, the jury found in favor of the Commission on its claims against Defendants AIC and Community Bankers Securities under Section 20(a) of the Exchange Act and against Skaltsounis under Section 20(e) of the Exchange Act.
The trial team from the Commission's Philadelphia Regional Office consisted of trial attorneys Michael J. Rinaldi, John V. Donnelly III, G. Jeffrey Boujoukos, and Scott A. Thompson and trial paralegal Nichelle Pridgen. [SEC v. AIC, Inc., et al., Case No. 3:11-cv-00176 (E.D. Tenn.)] (Rel. LR-22850)
In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern
The Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to OX Trading, LLC and optionsXpress, Inc. (OX Order). The OX Order finds that OX Trading, LLC (OX Trading) willfully violated Sections 15(a) and 15(b)(8) of the Securities Exchange Act of 1934 by operating as an unregistered dealer from October 2009 to November 2010 and transacting in securities while not a member of a national securities association or a national exchange from March 2009 to November 2010, respectively. The OX Order also finds that optionsXpress, Inc. caused OX Trading's violations. The OX Order ordered OX Trading and optionsXpress to cease and desist and ordered OX Trading to pay $2,750,000 in disgorgement, prejudgment interest of $253,094.39, and a civil money penalty of $750,000. (Rel. 34-70739).
The Commission also issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Thomas E. Stern (Stern Order). The Stern Order finds that Thomas E. Stern (Stern), OX Trading's Chief Financial Officer and Chief Compliance Officer during the relevant time period, willfully aided and abetted and caused OX Trading's violations of Sections 15(a) and 15(b)(8) of the Exchange Act. The Stern Order ordered Stern to cease and desist and to pay a civil money penalty of $50,000. (Rel. 34-70740) Respondents consented to the issuance of the Orders. These proceedings were instituted on April 19, 2012. (Rel. 34-66831).
In the Matter of Aleksey P. Koval a/k/a Alexei P. Koval
The Commission announced that on October 7, 2013, the Honorable Alvin K. Hellerstein of the United States District Court for the Southern District of New York entered a final judgment against Aleksey P. Koval a/k/a Alexei Koval, formerly a registered securities professional. Koval had been charged with involvement in a long-running insider trading scheme in which a former UBS investment banker tipped Koval about eleven impending acquisitions, tender offers, or other business combinations. Koval traded on the basis of that information and tipped another couple, who also participated in the trading.
The Commission's complaint, filed on March 24, 2010, alleged that, from at least July 2005 through February 2009, Koval participated in an insider trading ring that netted over $1 million in illicit profits. According to the complaint, Koval traded securities in each of the impending corporate transactions based on material, nonpublic information which he obtained from Igor Poteroba, an investment banker in UBS's Global Healthcare Group. Pursuant to the insider trading scheme as described in the complaint, Koval also tipped his friend, defendant Alexander Vorobiev. In a parallel criminal proceeding, Koval pleaded guilty to three counts of securities fraud, was ordered to pay a forfeiture of $1,414,290, and was sentenced to twenty-six months of imprisonment.
Koval consented to the entry of a judgment that permanently enjoins him from violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and Rule 14e-3 thereunder. In addition, the final judgment found Koval liable for disgorgement in the amount of $1,086,457, representing profits obtained as a result of the conduct alleged in the Complaint, together with prejudgment interest in the amount of $159,620, with those amounts deemed satisfied by the criminal forfeiture order. The Commission determined not to seek a civil penalty in light of Koval's term of imprisonment. [SEC v. Igor Poteroba, Aleksey Koval, Alexander Vorobiev, and Relief Defendants Tatiana Vorobieva and Anjali Walter, Civil Action No. 1:10-CV-2667 (AKH) (S.D.N.Y., filed March 24, 2010)] (Rel. LR-22851)
Separately, the Commission today issued an administrative order that bars Koval from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent, and from participating in any offering of a penny stock, based on his criminal conviction in the parallel proceeding. (Rel. 34-70737)
Delinquent Filer's Stock Registration Revoked
The registration of the registered securities of China Ritar Power Corp. has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70729)
Investment company orders
Guinness Atkinson Asset Management, Inc., et al.
An order has issued on an application filed by Guinness Atkinson Asset Management, Inc., et al. The order permits: (a) certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain series to issue Shares in less than Creation Unit size to investors participating in a distribution reinvestment program; and (f) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30751)
Forethought Variable Insurance Trust, et al.
An order has been issued on an application filed by Forethought Variable Insurance Trust, et al., exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30750)
Variable Insurance Trust, et al.
An order has been issued on an application filed by Variable Insurance Trust ("Fund") and MFund Services LLC (collectively "Applicants") pursuant to Section 6(c) of the Investment Company Act of 1940. The order exempts each life insurance company separate account supporting variable life insurance contracts ("VLI Account") (and its insurance company depositor) that may invest in shares of an existing portfolio of the Fund or any other "Insurance Fund," as defined below (collectively, the "Insurance Funds"), and one or more of the following other types of investors also hold shares of the Insurance Funds: (i) separate accounts registered as investment companies or separate accounts that are not registered as investment companies under the Act pursuant to exemptions from registration under Section 3(c) of the Act that fund variable annuity contracts ("VA Accounts") and VLI Accounts (VA Accounts and VLI Accounts together "Separate Accounts") issued by both affiliated life insurance companies and unaffiliated life insurance companies ("Participating Insurance Companies"); (ii) trustees of qualified group pension or group retirement plans ("Qualified Plans") outside the Separate Account context; (iii) investment adviser(s) or affiliated person(s) of the investment adviser(s) to a series of an Insurance Fund (the "Adviser"), for the purpose of providing seed capital to a series of an Insurance Fund; and (iv) any general account of an insurance company depositor of VA Accounts and/or VLI Accounts ("General Accounts"). An Insurance Fund is any investment company (or investment portfolio or series thereof), including an existing portfolio of the Fund, designed to be sold to VA Accounts and/or VLI Accounts and to which an Applicant or its affiliates serve or may serve in the future as investment advisers, investment subadvisers, investment managers, administrators, principal underwriters or sponsors. (Rel. IC-30749)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE MKT LLC amending commentary .07 to Rule 904 to extend the pilot program that eliminated the position limits for options on SPDR S&P 500 ETF (SR-NYSEMKT-2013-83) 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 21st. (Rel. 34-70734)
Designation of Longer Period for Commission Action on a Proposed Rule Change
The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-NYSEArca-2013-42) filed by NYSE Arca, Inc. to make the Penny Pilot Program for options permanent. Publication is expected in the Federal Register during the week of October 21st. (Rel. 34-70733)
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-3 S&W Seed Co, 25552 SOUTH BUTTE AVENUE, FIVE POINTS, CA, 93624, 559 884 2535 - 100,000,000 ($100,000,000.00) Equity, (File 333-191819 - Oct. 21) (BR. 05C) S-4 Gyrodyne, LLC, 1 FLOWERFIELD, SUITE 24, ST. JAMES, NY, 11780, 631-584-5400 - 0 ($112,491,676.65) Equity, (File 333-191820 - Oct. 21) (BR. 08) S-1 ColorStars Group, 515 N SMITH AVE, STE. 101, CORUNA, CA, 92880, 989-450-1365 - 37,028,090 ($92,570,225.00) Equity, (File 333-191827 - Oct. 21) (BR. 11A) S-1 Research Solutions, Inc., 1524 CLOVERFIELD BLVD.,, SUITE E, SANTA MONICA,, CA, 90404, 310 477 0354 - 1,321,175 ($3,032,350.00) Equity, (File 333-191832 - Oct. 21) (BR. 02B) F-3 Costamare Inc., 60 ZEPHYROU STREET & SYNGROU AVENUE, ATHENS, J3, 17564, 30-2109490000 - 0 ($253,750,000.00) Other, (File 333-191833 - Oct. 21) (BR. 05A) S-3ASR Guidewire Software, Inc., 1001 E. HILLSDALE BOULEVARD, FOSTER CITY, CA, 94404, 650-357-9100 - 7,475,000 ($354,240,250.00) Equity, (File 333-191834 - Oct. 21) (BR. 03B) F-10 FRANCO NEVADA Corp, EXCHANGE TOWER, 130 KING ST W, SUITE 740, TORONTO, XX, M5X 1E4, 416-306-6306 - 0 ($964,227,171.92) Other, (File 333-191835 - Oct. 21) (BR. 09A)
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 AFFYMETRIX INC DE 1.01,2.03,9.01 10/17/13 ALABAMA GAS CORP AL 5.02 10/15/13 ALLEGHANY CORP /DE DE 1.01,2.03,9.01 10/15/13 Allegiant Travel CO NV 2.03 10/18/13 Alta Mesa Holdings, LP TX 5.02 10/21/13 AMC Networks Inc. DE 5.02 10/16/13 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 8.01,9.01 10/21/13 AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02 10/16/13 AMPHENOL CORP /DE/ DE 1.01,2.03,9.01 10/21/13 Anacor Pharmaceuticals, Inc. DE 1.01,9.01 10/16/13 Annie's, Inc. DE 5.02,7.01,9.01 10/16/13 ARATANA THERAPEUTICS, INC. DE 5.02 10/18/13 ARROW FINANCIAL CORP NY 2.02,9.01 10/21/13 AT&T INC. DE 1.01,9.01 10/04/13 Atlantic Coast Financial CORP MD 8.01 10/15/13 AVAYA INC DE 5.02,9.01 10/15/13 Bank of Marin Bancorp CA 2.02,8.01,9.01 10/17/13 BARFRESH FOOD GROUP INC. DE 1.01,2.01 10/21/13 Baron Energy Inc. NV 3.02,5.02 10/15/13 BERKLEY W R CORP DE 2.02,9.01 10/21/13 Bluerock Multifamily Growth REIT, Inc MD 1.01 10/21/13 BOISE CASCADE Co DE 2.02,9.01 10/21/13 BOLDFACE GROUP, INC. NV 2.02,5.02,9.01 10/15/13 Buckeye Oil & Gas, Inc. FL 5.02 10/18/13 Business Development Corp of America MD 1.01 10/15/13 CAESARS ENTERTAINMENT Corp DE 8.01 10/11/13 Carey Watermark Investors Inc 9.01 08/13/13 AMEND CATHAY GENERAL BANCORP DE 2.02,9.01 10/21/13 CC Media Holdings Inc 8.01,9.01 10/19/13 CD INTERNATIONAL ENTERPRISES, INC. FL 1.01,9.01 10/09/13 CEDAR FAIR L P DE 1.01,5.02,9.01 10/21/13 Chanticleer Holdings, Inc. DE 1.01,3.02,9.01 10/17/13 Chanticleer Holdings, Inc. DE 5.07 08/09/13 AMEND Chemtura CORP DE 2.02,7.01 10/21/13 Clear Channel Capital I, LLC DE 8.01,9.01 10/19/13 CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 10/19/13 Clear Channel Outdoor Holdings, Inc. DE 8.01,9.01 10/19/13 CODESMART HOLDINGS, INC. FL 3.02 09/16/13 COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 10/21/13 Compressco Partners, L.P. DE 8.01,9.01 10/18/13 COMPUTER TASK GROUP INC NY 2.02,9.01 10/21/13 CORNERSTONE BANCSHARES INC 2.02,9.01 10/21/13 Crestwood Midstream Partners LP DE 1.01,9.01 10/17/13 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 10/21/13 CROSSTEX ENERGY INC DE 8.01,9.01 10/21/13 CROSSTEX ENERGY LP DE 8.01,9.01 10/21/13 CROWN CASTLE INTERNATIONAL CORP DE 1.01,7.01,9.01 10/18/13 CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 10/21/13 CROWN CASTLE INTERNATIONAL CORP DE 7.01,8.01,9.01 10/21/13 Crown Equity Holdings, Inc. NV 5.02,9.01 10/15/13 DELL INC DE 5.07 10/17/13 diaDexus, Inc. DE 1.01 10/16/13 Discover Financial Services DE 2.02,9.01 10/21/13 Dussault Apparel Inc. 5.02 10/18/13 EAGLE BANCORP INC MD 2.02,9.01 10/21/13 EATON VANCE CORP MD 5.02,5.07,9.01 10/17/13 EDISON MISSION ENERGY DE 1.01,9.01 10/18/13 AMEND ELECSYS CORP KS 1.01,9.01 10/16/13 EMERSON ELECTRIC CO MO 7.01 10/21/13 Enduro Royalty Trust DE 2.02,9.01 10/21/13 ENTROPIC COMMUNICATIONS INC DE 1.01 10/16/13 ESB FINANCIAL CORP PA 2.02,9.01 10/21/13 Euramax Holdings, Inc. DE 5.02 10/21/13 Eurocan Holdings Ltd. NV 1.01,9.01 10/18/13 FAMILY DOLLAR STORES INC DE 5.02 10/15/13 Federal Home Loan Bank of Dallas 2.03,9.01 10/15/13 FERRO CORP OH 7.01,9.01 10/16/13 FIDELITY SOUTHERN CORP GA 2.02,9.01 10/17/13 FIRST COMMUNITY CORP /SC/ SC 5.03,9.01 06/18/13 FMC CORP DE 5.02 10/18/13 AMEND FOREST CITY ENTERPRISES INC OH 8.01,9.01 10/21/13 FORWARD AIR CORP TN 2.02,9.01 10/21/13 Fuelstream INC DE 8.01 09/23/13 GANNETT CO INC /DE/ DE 2.02 10/21/13 GASCO ENERGY INC NV 1.01,2.03,3.02, 10/15/13 3.03,5.01,5.02,5.03,9.01 General Sales & Leasing, Inc. NV 8.01,9.01 10/21/13 GENVEC INC DE 8.01 10/13/13 GENWORTH FINANCIAL INC DE 5.02 10/16/13 Gigamon Inc. DE 2.02 10/21/13 GILMAN CIOCIA, INC. DE 2.01,3.03,5.01, 10/15/13 5.02,5.03,8.01,9.01 Global Eagle Entertainment Inc. DE 1.01,2.03,3.02,7.01, 10/18/13 8.01,9.01 GOLDMAN SACHS GROUP INC DE 5.02,9.01 10/21/13 Gray Fox Petroleum Corp. NV 1.01,3.02,9.01 10/15/13 GRAY TELEVISION INC GA 1.01,2.03,8.01,9.01 10/18/13 GREAT PLAINS ENERGY INC MO 1.01,2.03 10/17/13 GREENSHIFT CORP DE 5.02 10/21/13 HALLIBURTON CO DE 2.02 10/21/13 HASBRO INC RI 2.02,9.01 10/21/13 Healthcare Corp of America DE 2.04 10/15/13 HEALTHSTREAM INC TN 2.02,7.01,9.01 10/21/13 HEARTLAND FINANCIAL USA INC DE 2.01,3.02,5.02,9.01 10/18/13 Heatwurx, Inc. DE 7.01,9.01 10/21/13 HEINZ H J CO PA 5.03 10/15/13 HEXCEL CORP /DE/ DE 2.02,7.01,8.01,9.01 10/21/13 HII Technologies, Inc. 2.02,7.01,9.01 10/21/13 HMG COURTLAND PROPERTIES INC DE 8.01,9.01 10/21/13 HMN FINANCIAL INC DE 2.02,9.01 10/18/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 10/21/13 HPEV, INC. NV 4.01,9.01 10/11/13 AMEND HUGOTON ROYALTY TRUST TX 2.02,9.01 10/21/13 ICU MEDICAL INC/DE DE 2.02,9.01 10/21/13 IDT CORP DE 5.02 10/16/13 ILLUMINA INC DE 2.02,9.01 10/21/13 INDEPENDENT BANK CORP MA 8.01,9.01 10/18/13 INDUSTRIAL SERVICES OF AMERICA INC /F FL 1.01,2.03,9.01 10/15/13 ING U.S., Inc. DE 2.02 10/21/13 INKSURE TECHNOLOGIES INC. DE 5.02 10/21/13 Innocent, Inc. 4.02 08/31/12 INTERCEPT PHARMACEUTICALS INC DE 1.01,8.01,9.01 10/15/13 Iridium Communications Inc. DE 1.01,7.01,9.01 10/18/13 iTalk Inc. NV 1.01,2.03,3.02, 10/10/13 5.02,5.03,8.01 KAYDON CORP DE 2.01,3.01,3.03, 10/15/13 5.01,5.02,5.03,8.01,9.01 KENTUCKY BANCSHARES INC /KY/ KY 8.01 10/21/13 KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 10/21/13 KIMBALL INTERNATIONAL INC IN 5.02,5.07 10/15/13 Kior Inc DE 1.01,2.03,3.02, 10/18/13 8.01,9.01 Kior Inc DE 1.01,9.01 10/21/13 Kips Bay Medical, Inc. DE 7.01,9.01 10/21/13 KOPJAGGERS INC. FL 4.01,9.01 10/11/13 AMEND LEAP WIRELESS INTERNATIONAL INC DE 4.02 10/20/13 LENNOX INTERNATIONAL INC DE 2.02,9.01 10/21/13 Liberty Global plc X0 2.03,9.01 10/15/13 LIGHTING SCIENCE GROUP CORP DE 3.02 10/16/13 MAGNUM HUNTER RESOURCES CORP DE 1.01,9.01 10/15/13 ManpowerGroup Inc. WI 1.01,2.02,9.01 10/21/13 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,3.03,5.02, 10/21/13 5.03,8.01,9.01 MCDONALDS CORP DE 2.02,9.01 10/21/13 MEI Pharma, Inc. DE 8.01,9.01 10/20/13 METRO BANCORP, INC. 2.02,9.01 10/21/13 MICROSEMI CORP DE 1.01,8.01,9.01 10/21/13 MidWestOne Financial Group, Inc. IA 8.01,9.01 10/15/13 ML BlueTrend FuturesAccess LLC DE 3.02 10/17/13 MODEL N, INC. DE 7.01 10/21/13 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 10/17/13 Molycorp, Inc. DE 8.01,9.01 10/15/13 MONAR INTERNATIONAL INC. NV 1.01,7.01,9.01 10/21/13 MONAR INTERNATIONAL INC. NV 7.01,9.01 10/21/13 AMEND Morgan Stanley Bank of America Merril DE 8.01,9.01 10/21/13 Motors Liquidation Co DE 8.01 10/21/13 MusclePharm Corp NV 5.02,9.01 10/16/13 MUTUALFIRST FINANCIAL INC MD 2.02,9.01 10/21/13 NATIONAL HOLDINGS CORP DE 2.01,5.02,8.01,9.01 10/15/13 NAVISTAR INTERNATIONAL CORP DE 8.01,9.01 10/21/13 NETFLIX INC DE 2.02,9.01 10/21/13 NORCRAFT COMPANIES LP 2.02,9.01 10/21/13 Northumberland Resources, Inc. NV 5.03 10/17/13 Northwest Bancshares, Inc. MD 2.02,9.01 10/21/13 NORTHWEST INDIANA BANCORP IN 2.02,9.01 10/21/13 NRG ENERGY, INC. DE 1.01,9.01 10/18/13 AMEND NTS REALTY HOLDINGS LP DE 1.02,9.01 10/18/13 NTS, INC. NV 1.01,8.01,9.01 10/21/13 Nuveen Diversified Currency Opportuni MA 8.01 10/21/13 Nuveen Global Income Opportunities Fu MA 8.01 10/21/13 NVR INC VA 2.02,9.01 10/21/13 Oak Valley Bancorp CA 5.02,9.01 10/15/13 Opko Health, Inc. DE 8.01 10/18/13 OSIRIS THERAPEUTICS, INC. MD 7.01,9.01 10/21/13 OVERLAND STORAGE INC CA 1.01 10/15/13 OXIGENE INC DE 8.01,9.01 10/21/13 Patriot Minefinders Inc. NV 4.01 10/18/13 PAYCHEX INC DE 5.07 10/16/13 PDL BIOPHARMA, INC. DE 1.01,2.01,8.01,9.01 10/18/13 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 10/21/13 PETMED EXPRESS INC FL 8.01,9.01 10/21/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 10/08/13 PLAINS GP HOLDINGS LP DE 1.01,9.01 10/15/13 PLX TECHNOLOGY INC DE 2.02,9.01 10/21/13 Poage Bankshares, Inc. MD 1.01,8.01,9.01 10/21/13 PROGAMING PLATFORMS CORP DE 1.01,9.01 10/21/13 PROVIDENT NEW YORK BANCORP DE 8.01,9.01 10/21/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 5.02 10/18/13 PUMA BIOTECHNOLOGY, INC. DE 5.02 10/18/13 RCM TECHNOLOGIES INC NV 5.02,5.03,9.01 10/18/13 READING INTERNATIONAL INC NV 8.01,9.01 10/21/13 REALTY INCOME CORP MD 7.01,8.01,9.01 10/21/13 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 10/18/13 RESOLUTE ONCOLOGY INC NV 1.02 10/15/13 Resource Capital Corp. MD 1.01,2.03,8.01,9.01 10/15/13 Rhino Resource Partners LP DE 5.02,7.01,9.01 10/20/13 Riverview Financial Corp PA 8.01 10/17/13 Rouse Properties, Inc. DE 1.01 10/18/13 ROYALE GROUP HOLDING, INC. NV 5.02 10/15/13 SAFEWAY INC DE 5.03,9.01 10/17/13 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 10/21/13 SARA CREEK GOLD CORP. NV 1.01,9.01 10/15/13 SCHLUMBERGER LTD /NV/ P8 1.01,1.02,9.01 10/16/13 SENESCO TECHNOLOGIES INC DE 8.01,9.01 10/21/13 SENSIENT TECHNOLOGIES CORP WI 5.02,9.01 10/17/13 SEQUENOM INC DE 8.01,9.01 10/16/13 ServisFirst Bancshares, Inc. DE 2.02,9.01 10/21/13 SEVERN BANCORP INC MD 2.02,9.01 10/21/13 SFX Entertainment, INC DE 1.01,2.01,3.02, 10/18/13 8.01,9.01 SHFL entertainment Inc. MN 8.01,9.01 10/21/13 SIERRA BANCORP CA 2.02,9.01 10/21/13 SILICON LABORATORIES INC DE 5.02,9.01 10/17/13 SINGLE TOUCH SYSTEMS INC DE 1.01,5.02,7.01,9.01 10/15/13 SMITH A O CORP DE 2.02,9.01 10/21/13 SOLARCITY CORP DE 1.01,9.01 10/16/13 Solo International, Inc NV 3.02 09/13/13 SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 10/21/13 SONIC CORP DE 2.02,9.01 10/21/13 Sorrento Therapeutics, Inc. DE 2.03,9.01 10/21/13 SPAR GROUP INC DE 9.01 10/18/13 AMEND SPARK NETWORKS INC DE 5.02,9.01 10/17/13 SPECTRUM GROUP INTERNATIONAL, INC. DE 5.02 10/15/13 SPRINGLEAF FINANCE CORP IN 5.02,9.01 10/15/13 Standard Gold Holdings, Inc. NV 1.01 10/10/13 STARRETT L S CO MA 5.07 10/16/13 STEEL DYNAMICS INC IN 8.01 10/15/13 STEEL DYNAMICS INC IN 2.02,9.01 10/16/13 Steel Excel Inc. DE 2.01,8.01,9.01 08/23/13 AMEND STERLING BANCORP NY 8.01,9.01 10/21/13 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 10/15/13 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 10/15/13 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 10/15/13 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 10/15/13 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 10/15/13 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 10/15/13 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 10/15/13 SYNALLOY CORP DE 2.02,9.01 10/21/13 TECOGEN INC. 1.01,3.02,9.01 10/16/13 TELLABS INC DE 1.01,8.01,9.01 10/18/13 TETRAPHASE PHARMACEUTICALS INC DE 5.02 10/18/13 TEXAS INSTRUMENTS INC DE 2.02,9.01 10/21/13 THOR INDUSTRIES INC DE 2.01,5.02,8.01,9.01 10/21/13 TIDEWATER INC DE 8.01,9.01 10/17/13 TOR MINERALS INTERNATIONAL INC DE 9.01 10/18/13 TRIMAS CORP DE 1.01,2.03,7.01,9.01 10/16/13 Trovagene, Inc. DE 8.01,9.01 10/21/13 TRUSTCO BANK CORP N Y NY 2.02,9.01 10/21/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 10/21/13 TWO RIVER BANCORP NJ 2.02,9.01 10/21/13 ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 10/21/13 UNITED COMMUNITY FINANCIAL CORP OH 5.02,9.01 10/15/13 V F CORP PA 5.03,8.01,9.01 10/16/13 V F CORP PA 2.02,7.01,9.01 10/21/13 Valeant Pharmaceuticals International A8 9.01 08/05/13 AMEND VAPOR CORP. NV 2.02,9.01 10/21/13 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 10/15/13 VICTORY ENERGY CORP NV 5.02,9.01 10/21/13 VICTORY ENERGY CORP NV 5.02 10/21/13 VISION GLOBAL SOLUTIONS INC NV 8.01 10/21/13 VMWARE, INC. DE 2.02,9.01 10/21/13 Vringo Inc DE 8.01,9.01 10/18/13 WASHINGTON TRUST BANCORP INC RI 2.02 10/21/13 WashingtonFirst Bankshares, Inc. VA 2.02,9.01 10/18/13 WELLS FARGO & COMPANY/MN DE 9.01 10/21/13 Wheeler Real Estate Investment Trust, MD 8.01,9.01 10/15/13 WhiteHorse Finance, Inc. DE 8.01,9.01 10/21/13 WILSHIRE BANCORP INC 2.02,9.01 10/21/13 Woodgate Energy Corp DE 5.02 10/02/13 WORLD STEVIA CORP. NV 8.01 10/21/13 XCel Brands, Inc. DE 1.01,5.02,9.01 10/18/13 XTREME HEALTHCARE Corp 2.01,3.02,5.06,9.01 11/12/12 AMEND ZaZa Energy Corp DE 1.01,7.01,9.01 10/15/13 ZIONS BANCORPORATION /UT/ UT 2.02,8.01,9.01 10/21/13 ZIOPHARM ONCOLOGY INC DE 7.01,9.01 10/21/13 ZYGO CORP DE 5.02,9.01 10/21/13