In the Matter of Michel-Jean Geraud
On April 13, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Michel-Jean Geraud (Geraud), which bars him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and imposes a penny stock bar. The Order finds that from March 2008 through July 2008, Geraud was the operating manager and controlled the day to day operations of GPS Management, Inc. (GPS Management), a telemarketing company engaged in the offer and sale of membership interests, or shares, known as Units, in Petroleum Unlimited, LLC and Petroleum Unlimited II, LLC (collectively Petroleum Unlimited). Geraud, indirectly through telemarketers he managed, solicited investors to purchase Petroleum Unlimited securities in exchange for sales commissions. Geraud trained the sales agents and monitored their calls as they pitched the investment. He also provided leads for them to cold call. Geraud received a portion of GPS Management’s receipts, which were based solely on the offering proceeds from the sales of Units of Petroleum Unlimited. GPS Management has never been registered with the Commission in any capacity. During this period, Geraud was neither registered as a broker-dealer nor associated with a registered broker-dealer.
The Order finds that on August 24, 2010, Geraud pleaded guilty to one count of conspiracy to commit mail fraud in violation of Title 18 United States Code, Section 371 before the United States District Court for the Southern District of Florida, in United States v. Michael Geraud, Case No.10-cr-80070 (S.D. Fla.). On the same day, he also pleaded guilty to one count of conspiracy to impede, impair, obstruct and defeat the lawful government functions of the IRS. See United States v. Michael Geraud, Case No. 10-cr-60091 (S.D. Fla.). On November 2, 2010, a judgment in each criminal case was entered against Geraud. For each of the counts, he was sentenced to a 60 month prison term followed by three years of supervised release, to run concurrently.
The Order finds the count of criminal information in United States v. Michael Geraud, Case No.10-cr-80070 (S.D. Fla.), for which Geraud was convicted alleged, among other things, that Geraud, in connection with the offer and sale of Petroleum Unlimited’s securities, defrauded investors and obtained money and property by, among other things, misrepresenting the company’s use of offering proceeds, and failing to disclose exorbitant sales commissions.
Based on the above, the Order bars Geraud from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Geraud is further barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Geraud consented to the issuance of the Order without admitting or denying any of the findings therein, except as to the criminal convictions, which are admitted. (Rel. 34-64297; File No. 3-14187)
David E. Zilkha Sanctioned
David E. Zilkha (Zilkha) has been sanctioned in connection with insider trading in securities of Microsoft Corporation (Microsoft) in 2001. Zilkha, a Microsoft employee who became employed with Pequot Capital Management, Inc. (Pequot), a registered investment adviser, provided material non-public information bearing on an upcoming Microsoft earnings announcement to Pequot’s Arthur J. Samberg (Samberg). Samberg then traded on the information for more than $14 million in gains. Samberg rewarded Zilkha with a $250,000 bonus but fired him when he was no longer able to obtain material non-public information. Zilkha was ordered to cease and desist from violations of the antifraud provisions of the federal securities laws and to disgorge ill-gotten gains of $250,000 plus prejudgment interest. The sanctions were ordered after a hearing before an administrative law judge. (Previously, Samberg and Pequot had settled charges arising out of the same events and were ordered to pay fines and disgorgement of over $20 million among other sanctions. SEC v. Pequot Capital Mgmt., Inc., No. 3:10-cv-00831 (D. Conn. June 2, 2010); Pequot Capital Mgmt., Inc., Admin. Proc. No. 3-13928 (June 8, 2010)) (Initial Decision No. 415; File No. 3-13913)
Court Enters Summary Judgment Against Recidivist Mayer Amsel and His Brother David Amsel in Market Manipulation Case
The United States Securities and Exchange Commission announced today that on March 22, 2011, Judge Sandra Feuerstein of the United States District Court for the Eastern District of New York entered summary judgment in favor of the Commission on most of its claims against Mayer Amsel and his brother, David Amsel in a market manipulation case involving the securities of East Delta Resources Corp. Mayer Amsel is a securities fraud recidivist.
The Commission’s motion for summary judgment argued that from 2004 through at least 2006, the Amsels, in concert with several others and through their individual actions, artificially inflated the volume of market activity for, and in turn the price of, East Delta stock, and illegally sold East Delta shares that they received at little or no cost. The Commission’s summary judgment motion further argued that the Amsels together collected illegal profits of $1,322,703 from their manipulative conduct.
The summary judgment opinion grants the following relief: (1) a permanent injunction prohibiting both Amsels from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder; (2) a permanent injunction prohibiting both Amsels from violating Section 17(a) of the Securities Act of 1933 (Securities Act); (3) a permanent injunction prohibiting David Amsel from violating Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder; and (4) a permanent injunction prohibiting both Amsels from participating in an offering of penny stock, absent an explicit release from the Commission. The opinion reserved judgment on the issue of the Amsels’ liability for violations of Sections 5(a) and 5(c) of the Securities Act (together, Section 5), the question of whether to impose an officer and director bar against David Amsel, and what the appropriate judgment amount should be with respect to disgorgement, civil penalties, and prejudgment interest. Subsequently, the court entered a default judgment against David Amsel that permanently enjoined him from violating Section 5 of the Securities Act after he failed to appear at a bench trial that was held in the case on March 28, 2011.
The latest judgments against the Amsel brothers follow others entered in the same case within the past seven months against East Delta and its former CEO, Victor Sun. On September 22, 2010 and October 13, 2010, the court entered final judgments against East Delta and Sun, respectively. Both defendants settled with the Commission without admitting or denying the allegations against them.
A decision on Mayer Amsel’s Section 5 liability is still pending following the March 28, 2011 trial. A ruling on the officer and director bar against David Amsel and the monetary remedies sought by the Commission is expected after further briefing.
The SEC appreciates the assistance of the Quebec Autorité des marchés financiers (AMF) and the British Columbia Securities Commission (BCSC) in connection with the investigation leading to the litigation. [SEC v. East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel, Civil No. CV10-0310 (E.D.N.Y.)] (LR-21927)
SEC Charges Former Hedge Fund Portfolio Manager With Insider Trading
Hedge Funds Agree to Pay Back Approximately $33 Million
The Securities and Exchange Commission today charged a former hedge fund portfolio manager with insider trading in a bio-pharmaceutical company based on confidential information about negative results of the company’s clinical drug trial.
The SEC alleges that Dr. Joseph F. “Chip” Skowron, a former portfolio manager for six health care-related hedge funds affiliated with FrontPoint Partners LLC, sold hedge fund holdings of Human Genome Sciences Inc. (HGSI) based on a tip he received unlawfully from a medical researcher overseeing the drug trial. HGSI’s stock fell 44 percent after it publicly announced negative results from the trial of Albumin Interferon Alfa 2-a (Albuferon), and the hedge funds avoided at least $30 million in losses.
The SEC previously charged the medical researcher — Dr. Yves M. Benhamou — who illegally tipped Skowron with the non-public information and received envelopes of cash in return according to the SEC’s amended complaint filed today in federal court in Manhattan to additionally charge Skowron. The hedge funds, which have been charged as relief defendants in the SEC’s amended complaint, have agreed to pay back $33 million in ill-gotten gains.
The SEC is seeking permanent injunctions, disgorgement of any ill-gotten gains with prejudgment interest, and financial penalties against Skowron and Benhamou. Simultaneous with the filing of the SEC’s amended complaint, the six hedge funds named as relief defendants agreed to settle with the Commission and pay disgorgement of $29,017,156.00 plus prejudgment interest of $4,003,669.00 without admitting or denying the allegations. The proposed settlement is subject to court approval.
In a parallel action today, the U.S. Attorney’s Office for the Southern District of New York announced criminal charges against Skowron. [SEC v. Joseph F. “Chip” Skowron III, et al., Civil Action No. 10-cv-8266 (S.D.N.Y.)] (LR-21928)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2011-04) under Section 19(b)(2) of the Securities Exchange Act of 1934, consisting of amendments to the MSRB’s Short-term Obligation Rate Transparency (SHORT) subscription service. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64201)
The Commission approved a proposed rule change (SR-FINRA-2011-005) filed by the Financial Industry Regulatory Authority to amend Rule 13806 of the Code of Arbitration Procedure for Industry Disputes to provide that FINRA will appoint a chair-qualified public arbitrator to a panel resolving a promissory note dispute instead of appointing a chair-qualified public arbitrator also qualified to resolve a statutory discrimination claim. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64226)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX to amend Phlx Rule 1001A, Position Limits (SR-Phlx-2011-49) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64248)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change to delay the implementation date of FINRA Rules 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability). Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64260)
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-C2-2011-008) submitted by C2 Options Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to allow the listing and trading of a P.M.-Settled S&P 500 index option product. Publication is expected in the Federal Register during the week of April 11, 2011. (Rel. 34-64266)
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-11 Putnam Mortgage Opportunities Co, ONE POST OFFICE SQUARE, BOSTON, MA, 02109, 617-292-1000 - 0 ($300,000,000.00) Equity, (File 333-173441 - Apr. 12) (BR. 08) S-8 OPTIMER PHARMACEUTICALS INC, 10110 SORRENTO VALLEY ROAD, SUITE C, SAN DIEGO, CA, 92121, 8589090736 - 0 ($23,222,500.00) Equity, (File 333-173442 - Apr. 12) (BR. 01C) S-3ASR SEARS HOLDINGS CORP, 3333 BEVERLY ROAD, HOFFMAN ESTATES, IL, 60179, 847-286-2500 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-173443 - Apr. 12) (BR. 02B) S-8 CVR PARTNERS, LP, 2277 PLAZA DRIVE, SUITE 500, SUGAR LAND, TX, 77479, (281) 207-3200 - 0 ($88,650,000.00) Equity, (File 333-173444 - Apr. 12) (BR. 05A) S-1 Chefs' Warehouse Holdings, LLC, 100 EAST RIDGE ROAD, RIDGEFIELD, CT, 06877, (203) 894-1345 - 0 ($100,000,000.00) Equity, (File 333-173445 - Apr. 12) (BR. ) S-3 Willbros Group, Inc.\NEW\, 4400 POST OAK PARKWAY, SUITE 1000, HOUSTON, TX, 77027, 713-403-8000 - 0 ($86,679,748.38) Equity, (File 333-173446 - Apr. 12) (BR. 04C) S-1 STAFFMARK HOLDINGS, INC., 435 ELM STREET, SUITE 300, CINCINNATI, OH, 45202, 513-651-3600 - 0 ($125,000,000.00) Equity, (File 333-173447 - Apr. 12) (BR. ) S-8 Wolverine Bancorp, Inc., 5710 EASTMAN AVE, MIDLAND, MI, 48640, (989) 631-4280 - 0 ($1.00) Equity, (File 333-173448 - Apr. 12) (BR. 07) S-B POLAND REPUBLIC OF, 5,000,000,000 ($5,000,000,000.00) Debt, (File 333-173450 - Apr. 12) (BR. DN) S-8 HEALTHCARE TRUST OF AMERICA, INC., 16435 N SCOTTSDALE RD #320, SCOTTSDALE, AZ, 85254, 480-998-3478 - 0 ($80,000,000.00) Equity, (File 333-173451 - Apr. 12) (BR. 08A) S-4 BANKshares Inc, 1031 WEST MORSE BLVD. #323, WINTER PARK, FL, 32789, 407-622-3183 - 0 ($7,474,100.00) Equity, (File 333-173452 - Apr. 12) (BR. ) S-8 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6319629600 - 598,275 ($21,490,038.00) Equity, (File 333-173454 - Apr. 12) (BR. 03A) S-1 GREEN EARTH TECHNOLOGIES INC, 3 STAMFORD LANDING, SUITE 200, STAMFORD, CT, 06902, 917-913-6280 - 24,648,600 ($8,873,496.00) Equity, (File 333-173455 - Apr. 12) (BR. 06C) S-1 LIBERTY VISION, INC., 2530 MERIDIAN PARKWAY, UNIT 200, DURHAM, NC, 27713, (919) 806-4593 - 10,000,000 ($500,000.00) Equity, (File 333-173456 - Apr. 12) (BR. ) S-3 TITAN PHARMACEUTICALS INC, 400 OYSTER POINT BLVD, SUITE 505, SAN FRANCISCO, CA, 94080, 4152444990 - 6,000,000 ($8,340,000.00) Equity, (File 333-173457 - Apr. 12) (BR. 01C) S-8 Gammon Gold Inc., 1701 HOLLIS STREET, SUITE 400, PO BOX 2067, HALIFAX, A5, B3J 2Z1, (902) 468-0614 - 0 ($7,556,305.00) Equity, (File 333-173458 - Apr. 12) (BR. 04A) S-4 SEARS HOLDINGS CORP, 3333 BEVERLY ROAD, HOFFMAN ESTATES, IL, 60179, 847-286-2500 - 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-173459 - Apr. 12) (BR. 02B) S-3 Vishay Precision Group, Inc., 3 GREAT VALLEY PARKWAY, SUITE 150, MALVERN, PA, 19355, 484-321-5300 - 1,071,428 ($16,864,277.00) Equity, (File 333-173461 - Apr. 12) (BR. 10) S-4 GEO GROUP INC, 621 NW 53RD STREET, SUITE 700, BOCA RATON, FL, 33487, 561-893-0101 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-173462 - Apr. 12) (BR. 06C) S-1 CYTOMEDIX INC, 209 PERRY PARKWAY,, SUITE 7, GAITHERSBURG,, MD, 20877, 240-499-2680 - 5,001,924 ($1,900,731.00) Equity, (File 333-173463 - Apr. 12) (BR. 10A)
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 1st United Bancorp, Inc. FL 7.01,9.01 04/12/11 99 CENTS ONLY STORES CA 8.01,9.01 04/11/11 ABC Acquisition Corp 1502 NV 4.01 03/22/11 ABSOLUTE LIFE SOLUTIONS, INC. NV 1.01,3.02,5.02,5.03, 04/11/11 9.01 ACME UNITED CORP CT 5.02,9.01 04/12/11 ALCOA INC PA 2.02,9.01 04/11/11 ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,9.01 04/07/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 04/11/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 04/11/11 Allied World Assurance Co Holdings, A 7.01,9.01 04/11/11 ALLSTATE CORP DE 8.01,9.01 04/11/11 AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 04/11/11 American Eagle Energy Inc. NV 1.01,9.01 04/08/11 AMERICAN ENERGY GROUP LTD NV 5.02 04/08/11 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 1.01,5.02,9.01 04/10/11 American Railcar Industries, Inc. ND 5.02 04/06/11 AMERICAN TOWER CORP /MA/ DE 1.01,2.03,7.01,9.01 04/08/11 AMERISTAR CASINOS INC NV 1.01,8.01,9.01 04/11/11 AML COMMUNICATIONS INC DE 8.01,9.01 04/12/11 Ampio Pharmaceuticals, Inc. DE 1.01,3.02 04/08/11 AMSURG CORP TN 1.01,2.03,9.01 04/06/11 APOGEE TECHNOLOGY INC DE 1.01,2.03,3.02,9.01 04/08/11 Arcland Energy Corp UT 4.01,9.01 04/12/11 ARIEL WAY INC FL 1.01,2.01,2.03,3.02, 04/06/11 8.01,9.01 Artio Global Investors Inc. DE 7.01,9.01 04/12/11 ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 04/12/11 AURUM RESOURCES CORP. NV 3.02,5.01,5.02 04/12/11 AUTHENTIDATE HOLDING CORP DE 1.01,8.01,9.01 04/08/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 04/12/11 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,2.03 04/12/11 AVEO PHARMACEUTICALS INC DE 5.02,8.01,9.01 04/08/11 BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 04/12/11 BANK OF SOUTH CAROLINA CORP SC 5.07 04/12/11 BASIC ENERGY SERVICES INC 5.02 04/06/11 BCSB Bancorp Inc. 8.01,9.01 04/08/11 BEL FUSE INC /NJ NJ 8.01,9.01 04/12/11 BIOLASE TECHNOLOGY INC DE 1.01,7.01,9.01 04/07/11 BIOMET INC IN 2.02,9.01 04/12/11 BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 04/11/11 Biostar Pharmaceuticals, Inc. MD 5.02,8.01,9.01 04/06/11 BIOTIME INC CA 7.01,9.01 04/12/11 Blackstone Group L.P. DE 1.01,9.01 04/08/11 BLOCKBUSTER INC DE 1.01,8.01,9.01 04/06/11 Blue Earth, Inc. DE 9.01 10/30/10 AMEND BNC BANCORP NC 5.02 04/07/11 BPZ RESOURCES, INC. TX 7.01,9.01 04/12/11 BRAZIL GOLD CORP. NV 4.01 04/11/11 BRINKER INTERNATIONAL INC DE 5.02,5.03,9.01 04/11/11 CAPITAL GOLD CORP NV 1.02,2.01,2.04,3.01, 04/07/11 3.03,5.01,5.02,9.01 CB RICHARD ELLIS GROUP INC DE 7.01,9.01 04/11/11 Celsion CORP DE 3.01 04/06/11 CENTRAL PACIFIC FINANCIAL CORP HI 8.01,9.01 04/10/11 CENTRAL VIRGINIA BANKSHARES INC VA 5.02 04/04/11 CHEESECAKE FACTORY INC DE 8.01,9.01 04/12/11 CHEMICAL FINANCIAL CORP MI 7.01 04/12/11 CHINA AGRITECH INC DE 4.01,9.01 04/06/11 China Chemical Corp. DE 1.01,2.01,3.02,3.03, 09/30/10 AMEND 5.01,5.02,5.03,5.06, 9.01 China Intelligent Lighting & Electron DE 4.01,4.02,9.01 03/23/11 AMEND CITY NATIONAL CORP DE 8.01,9.01 04/08/11 CMG HOLDINGS, INC. NV 2.01,3.02,5.03,9.01 04/11/11 Cobalt International Energy, Inc. 1.01,8.01,9.01 04/11/11 Coleman Cable, Inc. DE 5.02 04/08/11 Colony Financial, Inc. MD 3.02 04/06/11 COMMERCE GROUP CORP /WI/ WI 5.02 04/11/11 COMMUNITY CENTRAL BANK CORP MI 3.01,9.01 04/06/11 COMPASS BIOTECHNOLOGIES INC. NV 1.01,9.01 02/07/09 AMEND Compass Diversified Holdings DE 8.01,9.01 04/12/11 DealerTrack Holdings, Inc. DE 9.01 01/31/11 AMEND DESERT CAPITAL REIT INC MD 2.04 04/06/11 DIONICS INC DE 3.02 04/08/11 Discover Financial Services DE 5.02,5.07,9.01 04/07/11 DK Sinopharma, Inc. NV 4.01,9.01 04/08/11 DOLLAR FINANCIAL CORP DE 9.01 04/12/11 AMEND Douglas Lake Minerals Inc. NV 7.01,9.01 04/12/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 04/12/11 EDUCATION MANAGEMENT CORPORATION 8.01 04/07/11 Education Realty Trust, Inc. MD 7.01,9.01 04/11/11 EGPI FIRECREEK, INC. NV 5.02 04/12/11 EMC CORP MA 5.02 04/10/11 ENDEAVOUR INTERNATIONAL CORP NV 7.01,9.01 04/11/11 Enertopia Corp. NV 1.01,3.02,7.01,9.01 04/12/11 Eternal Energy Corp. 1.01,9.01 04/08/11 Eternal Image Inc 4.01,9.01 04/07/11 EVEREST RE GROUP LTD D0 8.01,9.01 04/12/11 FARMERS & MERCHANTS BANCORP DE 8.01,9.01 04/11/11 FASTENAL CO MN 2.02,9.01 03/31/11 Federal Home Loan Bank of Atlanta X1 2.03 04/12/11 Federal Home Loan Bank of Boston X1 2.03 04/06/11 Federal Home Loan Bank of Chicago X1 2.03 04/06/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/06/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/08/11 Federal Home Loan Bank of Indianapoli X1 2.03 04/06/11 Federal Home Loan Bank of New York X1 2.03,9.01 04/06/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/06/11 Federal Home Loan Bank of San Francis X1 2.03 04/06/11 Federal Home Loan Bank of Seattle 2.03 04/06/11 Federal Home Loan Bank of Topeka 2.03,9.01 04/06/11 Fifth Street Finance Corp DE 1.01,2.03,3.02,9.01 04/07/11 FINISH LINE INC /IN/ IN 8.01,9.01 04/08/11 First American Financial Corp DE 5.02 03/15/11 AMEND FIRST COMMUNITY BANK CORP OF AMERICA FL 5.07 04/11/11 FPB BANCORP INC FL 3.01 04/12/11 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 04/12/11 FUELCELL ENERGY INC DE 5.07 04/07/11 Fuelstream INC DE 3.02 04/08/11 Fuelstream INC DE 5.06,9.01 04/11/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03 04/11/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03 04/11/11 FUTURES PORTFOLIO FUND L.P. MD 3.02 04/01/11 GAP INC DE 8.01,9.01 04/07/11 GASCO ENERGY INC NV 7.01,9.01 04/12/11 General Moly, Inc DE 8.01,9.01 04/12/11 GeoBio Energy, Inc. CO 8.01 04/11/11 GERBER SCIENTIFIC INC CT 2.05,2.06,7.01,9.01 04/12/11 Global Indemnity plc L2 5.02,9.01 04/12/11 Global Technologies Group, Inc. FL 8.01,9.01 03/29/11 GNC HOLDINGS, INC. DE 1.01,1.02,5.03,9.01 04/06/11 GOLD RESOURCE CORP CO 5.02,7.01,9.01 04/12/11 GOLDMAN SACHS GROUP INC DE 9.01 04/12/11 GOODRICH PETROLEUM CORP DE 3.01 04/06/11 Green Energy Management Services Hold DE 5.02,8.01,9.01 04/06/11 GRUBB & ELLIS CO DE 8.01 04/12/11 HARSCO CORP DE 7.01,9.01 04/12/11 HAWAIIAN HOLDINGS INC DE 1.01,2.03 04/06/11 HERCULES OFFSHORE, INC. DE 5.02 04/06/11 HQ Global Education Inc. DE 5.03 04/08/11 iMedicor NV 7.01,9.01 04/11/11 IMPLANT SCIENCES CORP MA 1.01,2.03,3.02,5.03, 04/12/11 7.01,9.01 Infusion Brands International, Inc. NV 1.01,3.02 04/06/11 INHIBITEX, INC. DE 1.01,8.01,9.01 04/12/11 Inland American Real Estate Trust, In MD 7.01,9.01 04/12/11 instaCare Corp. NV 4.01,9.01 04/12/11 instaCare Corp. NV 4.01,9.01 04/12/11 AMEND INTERVEST BANCSHARES CORP DE 2.02,9.01 04/12/11 Invesco Ltd. D0 7.01,9.01 04/11/11 IROBOT CORP DE 5.02 04/06/11 JACKSON HEWITT TAX SERVICE INC DE 3.01,9.01 04/06/11 JETBLUE AIRWAYS CORP DE 5.03,9.01 02/10/11 KBS Real Estate Investment Trust, Inc MD 1.01,2.03 04/08/11 Keyuan Petrochemicals, Inc. NV 3.01,9.01 04/07/11 Kips Bay Medical, Inc. DE 7.01,9.01 04/12/11 LaPorte Bancorp, Inc. X1 5.02 04/12/11 Laredo Oil, Inc. DE 1.01,9.01 04/06/11 LEVI STRAUSS & CO DE 2.02,9.01 04/12/11 LIGAND PHARMACEUTICALS INC DE 2.01,9.01 01/14/11 AMEND LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 04/12/11 LIQUIDMETAL TECHNOLOGIES INC DE 1.01,3.02 04/06/11 LL&E ROYALTY TRUST TX 8.01,9.01 04/11/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,9.01 04/07/11 MAXLINEAR INC 5.02 04/07/11 Medefile International, Inc. NV 8.01,9.01 04/12/11 MEDICAL PROPERTIES TRUST INC 8.01,9.01 04/12/11 MEDTRONIC INC MN 8.01 04/09/11 MESABI TRUST NY 2.02,9.01 04/12/11 METALICO INC 8.01,9.01 04/12/11 METALLINE MINING CO NV 1.01,1.02,5.02,8.01, 04/06/11 9.01 Mistras Group, Inc. DE 2.02,9.01 04/12/11 MMAX MEDIA, INC. NV 9.01 03/16/11 AMEND Monza Ventures Inc. NV 5.07 04/11/11 MTS SYSTEMS CORP MN 5.05,9.01 04/06/11 NATIONAL FUEL GAS CO NJ 7.01,9.01 04/12/11 NATIONAL INTELLIGENCE ASSOCIATION INC NV 1.01,2.03,3.02,9.01 04/12/11 NEOGENOMICS INC NV 9.01 04/12/11 NEW PEOPLES BANKSHARES INC VA 4.01,9.01 04/11/11 Nissan Auto Receivables 2011-A Owner DE 8.01,9.01 04/11/11 NORTEK INC DE 7.01,9.01 04/11/11 NORTEK INC DE 7.01,9.01 04/12/11 North Penn Bancorp Inc 5.07 04/08/11 Northsight Capital, Inc. NV 3.02 04/12/11 OLD NATIONAL BANCORP /IN/ IN 2.02,8.01,9.01 04/11/11 Omega Water Corp. NV 4.01,9.01 04/11/11 OmniAmerican Bancorp, Inc. MD 5.02,9.01 03/29/11 OMNICOM GROUP INC NY 5.02 04/08/11 Oneida Financial Corp. MD 5.02 04/12/11 OPPENHEIMER HOLDINGS INC A6 1.01,1.02,2.03,3.03 04/12/11 OVERLAND STORAGE INC CA 5.02 04/06/11 PACIFICHEALTH LABORATORIES INC DE 1.01,5.02,9.01 04/12/11 PAETEC Holding Corp. 7.01 04/12/11 PEP BOYS MANNY MOE & JACK PA 7.01,9.01 04/12/11 PREMIER ENERGY CORP. FL 4.01 03/29/11 PRESSURE BIOSCIENCES INC MA 1.01,3.02,5.03,8.01 04/08/11 PRICESMART INC DE 8.01 04/12/11 Primerica, Inc. DE 2.02,8.01,9.01 04/12/11 Primo Water Corp DE 1.01,2.03,3.02,8.01, 04/11/11 9.01 Puda Coal, Inc. 1.01,8.01,9.01 04/06/11 PULSE ELECTRONICS CORP PA 8.01,9.01 04/12/11 QR Energy, LP DE 7.01,9.01 04/12/11 RADIANT LOGISTICS, INC DE 1.01,2.01,8.01,9.01 04/06/11 RAILAMERICA INC /DE DE 8.01 04/11/11 RAMCO GERSHENSON PROPERTIES TRUST MD 5.02 04/07/11 RED TRAIL ENERGY, LLC 1.01,9.01 12/14/10 AMEND RoomStore, Inc. VA 5.02 04/08/11 SAGE FUND LP MD 3.02 04/01/11 Sanswire Corp. DE 8.01,9.01 04/08/11 SARA CREEK GOLD CORP. NV 4.01 02/14/11 AMEND SCHMITT INDUSTRIES INC OR 2.02,9.01 04/12/11 SECURITY NATIONAL FINANCIAL CORP UT 1.01,9.01 04/07/11 ServisFirst Bancshares, Inc. DE 7.01,9.01 04/12/11 Shrink Nanotechnologies, Inc. DE 1.01,7.01,9.01 04/12/11 Silver Dragon Resources Inc. DE 7.01,9.01 04/12/11 SIRIUS XM RADIO INC. DE 5.02 04/12/11 Skilled Healthcare Group, Inc. DE 8.01,9.01 04/11/11 SMITH A O CORP DE 5.02,5.07 04/11/11 SPARK NETWORKS INC X0 1.02,5.02,7.01,9.01 04/11/11 Stealth Resources Inc NV 5.01,5.02 04/12/11 Stone Harbor Investments, Inc. NV 3.02 04/06/11 STREAMLINE HEALTH SOLUTIONS INC. DE 2.02,9.01 04/12/11 SUFFOLK BANCORP NY 2.02 04/12/11 SUN BANCORP INC /NJ/ NJ 1.01,3.02,9.01 04/11/11 SUNGARD CAPITAL CORP DE 5.02 04/06/11 Sustainable Environmental Technologie CA 5.02,5.07,9.01 04/04/11 SYNTHESIS ENERGY SYSTEMS INC DE 1.01,5.02,9.01 04/08/11 TARGET CORP MN 7.01 04/12/11 TechMedia Advertising, Inc. NV 3.02,9.01 04/05/11 TECHNOLOGY RESEARCH CORP FL 8.01,9.01 04/12/11 TEKELEC CA 5.02,5.03,9.01 04/06/11 TEREX CORP DE 8.01,9.01 04/11/11 Thermon Holding Corp. DE 5.02,9.01 04/08/11 Titan Machinery Inc. DE 5.02,9.01 04/11/11 TOFUTTI BRANDS INC DE 2.02,9.01 04/12/11 TOREADOR RESOURCES CORP DE 7.01,9.01 04/12/11 TORTOISE CAPITAL RESOURCES CORP 2.02,5.07,8.01,9.01 04/07/11 Total Nutraceutical Solutions, Inc. NV 4.02,9.01 04/11/11 TRANSATLANTIC PETROLEUM LTD. D0 7.01,9.01 04/12/11 TRICO MARINE SERVICES INC DE 7.01,9.01 04/12/11 TRILLIANT EXPLORATION CORP NV 7.01,9.01 04/08/11 TRILLIANT EXPLORATION CORP NV 4.01,9.01 02/08/11 Tsingyuan Brewery Ltd. DE 4.01,9.01 09/24/10 TUESDAY MORNING CORP/DE DE 2.02,9.01 04/12/11 U S PRECIOUS METALS INC DE 5.02 04/12/11 ULTRATECH INC DE 5.02 01/24/11 AMEND UMB FINANCIAL CORP MO 7.01,9.01 04/12/11 US GEOTHERMAL INC DE 2.01,7.01,8.01,9.01 04/12/11 USA Synthetic Fuel Corp DE 1.01,8.01,9.01 04/06/11 VANGUARD HEALTH SYSTEMS INC DE 8.01 04/12/11 VCG HOLDING CORP CO 5.07 04/11/11 VIASYSTEMS GROUP INC DE 8.01,9.01 04/08/11 VISTA GOLD CORP B0 1.01,9.01 04/12/11 Vitacost.com, Inc. DE 3.01,9.01 04/07/11 vitaminspice 1.01,1.02,4.01,5.02, 04/12/11 7.01,9.01 WADDELL & REED FINANCIAL INC DE 5.07 04/06/11 WebMD Health Corp. DE 2.02,9.01 04/12/11 WEST MARINE INC DE 7.01,9.01 04/12/11 Willbros Group, Inc.\NEW\ 8.01,9.01 04/11/11 Wright Express CORP 5.02,9.01 04/06/11 YELLOWCAKE MINING INC. NV 5.03,5.07,9.01 04/06/11 YTB International, Inc. DE 1.01,8.01,9.01 04/07/11 ZUNICOM INC TX 4.01,9.01 04/06/11 ZYNEX INC NV 5.02 04/06/11