SEC Announces Arrival of New Administrative Law Judge Cameron Elliot
The Securities and Exchange Commission announced that Cameron Elliot begins work today at the agency as an Administrative Law Judge.
Mr. Elliot has been based in New York as an Administrative Law Judge for the Social Security Administration since June 2008. He was previously an attorney at the law firm of Darby & Darby P.C. in New York, where he handled intellectual property litigation. Prior to his private-sector work, Mr. Elliot spent eight years at the U.S. Department of Justice, starting in 1998 as a trial attorney in Washington, D.C., where he was responsible for civil litigation in patent and copyright cases. From November 2001 until September 2006, Mr. Elliot was an Assistant U.S. Attorney, first in the Southern District of Florida and then in the Eastern District of New York.
Mr. Elliot graduated from Harvard Law School in 1996 and clerked for Judge Edward Reed in the U.S. District Court in Nevada from July 1996 to August 1998. Mr. Elliot holds a Bachelor of Science degree in physics and applied physics from Yale College, where he graduated magna cum laude in 1987. He then served for six years as a submarine officer in the U.S. Navy and Naval Reserve.
Administrative law judges are independent judicial officers who rule on allegations of securities law violations in public administrative proceedings instituted by the Commission. They conduct public hearings, in a manner similar to non-jury trials in federal district courts, issue initial decisions, and have authority to impose a broad range of sanctions. Those sanctions include suspending or revoking the registration of registered securities, brokers, dealers, investment companies, investment advisers, municipal securities dealers, municipal advisors, transfer agents, and nationally recognized statistical rating organizations. In addition, they can order disgorgement, civil penalties, censures, and cease-and-desist orders against these entities, as well as individuals, and can suspend or bar persons from association with these entities or from participating in an offering of penny stock. Parties may appeal an administrative law judge’s decision to the five-member Commission, which can affirm, reverse, or modify it, set it aside, or remand it for further proceedings. Appeals from Commission decisions are to a U.S. Court of Appeals. (Press Rel. 2011-96)
Gene Gohlke, Associate Director for Examinations, Retiring After 35 Years at SEC
The Securities and Exchange Commission announced today that Gene Gohlke, an Associate Director for Examinations in the Office of Compliance Inspections and Examinations, is retiring from public service at the end of April after more than 35 years at the SEC.
Dr. Gohlke has been a key architect of the examination program for investment advisers and mutual funds at a time when the number of firms and their assets under management increased dramatically. He has led the investment adviser/investment company examination program for the past 30 years.
“Gene’s career at the SEC has spanned five decades, and he will be sorely missed,” said Carlo di Florio, Director of the Office of Compliance Inspections and Examinations. “The Commission and the investment management industry have benefited enormously from his extensive knowledge of the securities laws, his deep understanding of the investment management exam program, and his keen insight into the investment management business.”
The SEC’s Office of Compliance Inspections and Examinations (OCIE) conducts the national examination program for investment advisers/investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents and rating agencies to fulfill its mission of promoting compliance, preventing fraud, monitoring risk, and informing SEC policy. Norm Champ, OCIE’s Deputy Director, will serve as Acting Associate Director for the National Investment Adviser/Investment Company Examination Program until Dr. Gohlke’s successor is named.
Dr. Gohlke joined the agency in 1975 as a staff accountant in the Division of Investment Management, which operated the investment adviser examination program prior to the creation of OCIE in 1995. Dr. Gohlke went on to hold the positions of Examination Program Coordinator, Chief Financial Analyst, and Assistant Director in the Division before becoming Associate Director for the examination program in 1986. He moved to an Associate Director position in OCIE when it assumed responsibility for the examination program.
Dr. Gohlke served under 10 SEC chairmen during his tenure at the agency. He served as Acting Director of the Division of Investment Management in 1990.
Dr. Gohlke said, “I have been privileged to have the opportunity to help shape the regulatory regime that fostered the evolution and growth of mutual funds during a period of momentous change for investors, investment management, and the financial markets.”
Among his many accomplishments, Dr. Gohlke authored the far-sighted guidance issued in 1979 that allowed mutual funds to responsibly use instruments that create leverage. He helped craft rulemaking adopted in 2003 that requires investment advisers and investment companies to establish compliance programs and appoint chief compliance officers to administer those programs.
Prior to joining the SEC staff, Dr. Gohlke was an officer in the U.S. Army for two years and worked as a financial management consultant for the U.S. Agency for International Development for four years. Dr. Gohlke graduated from the University of Wisconsin in 1968 with a Ph.D. in business administration. He also has a MBA degree from Wisconsin and is a certified public accountant (CPA). (Press Rel. 2011-97)
Delinquent Filer’s Stock Registration Revoked
The registration of the registered securities of Sporlox Corp. has been revoked. Sporlox Corp. 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. 34-64331; File No. 3-14311)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Circadian, Inc., Clean Energy Combustion, Inc. (n/k/a Clean Energy Combustion Systems, Inc.), Collectible Concepts Group, Inc., and ConSyGen, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64332; File No. 3-14301)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Centrack International, Inc., Intelligent Medical Imaging, Inc., and Optimark Data Systems, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64333; File No. 3-14315)
In the Matter of Huntleigh Securities Corporation and Jeffrey S. Christanell
On April 25, 2011, the Commission instituted a settled administrative proceeding finding that Jeffrey S. Christanell, former head of equity trading at Huntleigh Securities Corporation (Huntleigh), willfully violated the antifraud provisions of the Securities Exchange Act of 1934 by engaging in trading activity known as “marking the close” in certain thinly traded securities. The Commission also charged Huntleigh with failing reasonably to supervise Christanell.
“Marking the close” involves placing orders at or near the close of the market to artificially affect the closing prices of a security. The Commission found that, from September 2009 through December 2009, Christanell, on behalf of, and at the direction of, an SEC-registered investment adviser, placed buy orders at prices well above the most recent previous trade shortly before the markets closed, thereby affecting the closing prices of those securities. The Commission further found that Huntleigh failed to establish procedures or to have a system to implement existing policies and procedures reasonably designed to prevent and detect Christanell’s marking-the-close trading.
Under the terms of the settlement, Christanell consented to the issuance of an administrative order: (i) requiring him to cease and desist from committing or causing any violations and any future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; (ii) requiring him to pay a civil penalty of $15,000; and (iii) barring him from association with any broker or dealer as well as collateral industry bars with the right to reapply for association after one year. Huntleigh consented to the issuance of an administrative order: (i) censuring it; and (ii) requiring it to comply with certain undertakings, including adopting and implementing procedures requiring daily review of trade execution blotters and exception reports by compliance personnel and provision to and review of daily trading exception reports by compliance personnel. The Commission declined to impose a civil penalty against Huntleigh based on Huntleigh’s representations in sworn financial statements and other documents filed with the Commission. Christanell and Huntleigh consented to the issuance of the order without admitting or denying any of the findings in the order. (Rel. 34-64336; File No. 3-14354)
In the Matter of Donald L. Koch and Koch Asset Management LLC
On April 25, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 (Exchange Act), Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 (Advisers Act), and Section 9(b) of the Investment Company Act of 1940 to determine whether Donald L. Koch (Koch) and Koch Asset Management LLC (KAM) willfully violated the antifraud provisions of the Exchange Act and the Advisers Act and the books-and-records provisions of the Advisers Act. KAM is a Missouri limited liability company and investment adviser that has been registered with the Commission since 1992. Koch, age 64, resides in St. Louis, Missouri and is the President, Chief Compliance Officer, and founder of KAM.
The Division of Enforcement alleges in the Order after an investigation that from September 2009 through December 2009, Koch and KAM engaged in a scheme to “mark the close” of certain thinly traded securities held in KAM’s clients’ investment accounts and thereby willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, which prohibit fraudulent conduct in connection with the purchase or sale of securities, and Sections 206(1) and 206(2) of the Advisers Act, which prohibit fraudulent conduct by an investment adviser. “Marking the close” is a trading strategy that involves the placing of orders at or near the close of market trading to artificially affect the reported closing price of a security. The Division of Enforcement alleges that KAM, by marking-the-close in a security held by many of its advisory accounts, was able to artificially improve the reported monthly performance for each account holding that security.
The Division of Enforcement further alleges that KAM and Koch failed to seek best execution of orders placed for their advisory clients. Finally, the Division of Enforcement alleges in the Order that KAM willfully violated, and Koch willfully aided and abetted and caused violations of, Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder, which requires investment advisers to implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules that the Commission has adopted thereunder, and Section 204 of the Advisers Act and Rule 204-2(a)(7) thereunder, which require the maintenance of certain books and records.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide the Respondent an opportunity to dispute the allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest pursuant to Section 15(b) of the Exchange Act, Sections 203(e) and 203(f) of the Advisers Act, and Section 9(b) of the Investment Company Act of 1940.
The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rels. 34-64337; IA-3190; IC-29659; File No. 3-14355)
Court Enters Final Judgment Against Defendant Gregory L. Oldham
The Securities and Exchange Commission announced that on April 20, 2011, the Honorable Leonard D. Wexler of the United States District Court for the Eastern District of New York entered a final judgment on consent against Defendant Gregory L. Oldham, a former registered representative of Advanced Planning Securities, Inc., a former registered broker-dealer. The judgment (i) permanently enjoins Oldham from violating Section 5 of the Securities Act of 1933 and (ii) finds Oldham liable for disgorgement and prejudgment interest of $673,989, but waives payment of that amount and imposes no civil penalty based on Oldham’s sworn statement of financial condition and other documents. Oldham consented to the entry of the judgment without admitting or denying any of the allegations of the Commission’s complaint.
The Commission’s complaint, filed on Oct. 22, 2009, alleges that from 2004 through 2006, Oldham violated the registration provisions of the securities laws by selling securities for which there was no registration statement in effect. Among other things, the complaint alleges that Oldham sold securities to elderly, unsophisticated investors who could not have been expected to understand the risks associated with the investments.
In addition to the relief described above, Oldham consented to the entry of an order in a separate Commission administrative proceeding barring him from association with any broker, dealer, or investment adviser with the right to reapply for association after eighteen months. [SEC v. Charles C. Slowey, Jr., et al., Civil Action No. 09 Civ. 4547 (LDW) (ETB) (E.D.N.Y.)] (LR-21946)
SEC Halts Fraudulent Beverly Hills Hedge Fund and Wealth Management Business
On April 22, 2011, the Securities and Exchange Commission obtained an emergency court order to shut down a Beverly Hills, Calif. hedge fund and wealth management business targeting retirees, university professors, and members of the Christian community.
The SEC alleges that IU Group Inc., its principal Elijah Bang, and its salesperson Daniel Lee targeted retirees and claimed on websites to have been founded by “devoted Christians who believe in God, Jesus Christ, and the Holy Spirit.” Lee also allegedly sent “cold call” e-mail solicitations to university professors.
It appears that IU Group was unsuccessful in obtaining any hedge fund investors or wealth management clients before the SEC’s emergency action halted its operations.
According to the SEC’s complaint filed in federal court in Los Angeles, Bang and Lee made numerous false representations to potential investors and wealth management clients, including the following statements:
The SEC alleges that Bang and Lee solicited potential investors and wealth management clients using various company names and websites, including IU Wealth Management, LLC and Icon Capital Management LLC. Lee also tried to find potential investors and clients using “cold call” e-mail solicitations.
According to the SEC’s complaint, IU Group and IU Wealth are not registered with the SEC. IU Group’s business license was suspended by the State of California, and IU Wealth and Icon Capital are not companies of record in California. These entities have a mailing address in Beverly Hills, Calif., and Bang is believed to be a California resident. On May 19, 2009, California’s Department of Corporations ordered IU Investments LLC, Bang, and Lee to desist and refrain from the unlawful offer or sale of securities and from the fraudulent sale of securities.
The SEC’s complaint charges all defendants with violations of the registration and antifraud provisions of Sections 5(c) and 17(a) of the Securities Act of 1933. The complaint also charges defendant Bang with violations of the investment adviser antifraud provisions of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. The Honorable Margaret M. Morrow, U.S. District Judge for the Central District of California, granted the SEC’s request for emergency relief for investors, including an order temporarily enjoining defendants IU Group and Bang from future violations of the antifraud provisions. A hearing on whether a preliminary injunction should be issued against the defendants IU Group and Bang is scheduled for May 6, 2011, at 10:00 a.m. PT. [SEC v. IU Group, Inc., Elijah Bang (a/k/a Elijah Bhang), and Daniel Lee, Civil Action No. CV 11-00556-MMM (AJWx) (C.D. Cal.)] (LR-21947)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Arca to permit the listing of series with $0.50 and $1 strike price increments on certain options used to calculate volatility indexes (SR-NYSEArca-2011-19) 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 April 25. (Rel. 34-64324)
A proposed rule change filed by NYSE Amex to permit the listing of series with $0.50 and $1 strike price increments on certain options used to calculate volatility indexes (SR-NYSEAmex-2011-26) 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 April 25. (Rel. 34-64325)
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-8 NEOMEDIA TECHNOLOGIES INC, CORPORATE CENTER II,SUITE 500, TWO CONCOURSE PARKWAY, ATLANTA,, GA, 30328, 678-638-0460 - 2,000,000 ($32,000.00) Equity, (File 333-173673 - Apr. 22) (BR. 03A) N-2 Main Street Capital CORP, 1300 POST OAK BOULEVARD, SUITE 800, HOUSTON, TX, 77056, (713) 350-6000 - 0 ($381,958,750.00) Equity, (File 333-173674 - Apr. 22) (BR. 18) S-4 KENTUCKY UTILITIES CO, ONE QUALITY ST, LEXINGTON, KY, 40507, 6062552100 - 0 ($1,500,000,000.00) Debt, (File 333-173675 - Apr. 22) (BR. 02B) S-4 LOUISVILLE GAS & ELECTRIC CO /KY/, 220 W MAIN ST, P O BOX 32030, LOUISVILLE, KY, 40232, 5026272000 - 0 ($535,000,000.00) Debt, (File 333-173676 - Apr. 22) (BR. 02B) S-1 CPG INTERNATIONAL INC., 888 NORTH KEYSER AVENUE, SCRANTON, PA, 18504, 570-558-8000 - 0 ($150,000,000.00) Equity, (File 333-173678 - Apr. 22) (BR. 06A) S-1 Tango Supplies Inc., 1890 S. 3850 WEST #C, SALT LAKE CITY, UT, 84104, 888-511-9018 - 8,000,000 ($8,000.00) Equity, (File 333-173679 - Apr. 22) (BR. ) S-1 Zippy Bags Inc., 3464 SOUTH MAGNOLIA DR., MAGNA, UT, 84101, 801-250-8000 - 8,000,000 ($8,000.00) Equity, (File 333-173680 - Apr. 22) (BR. ) S-1 E-WORLD USA HOLDING,INC, 9550 FLAIR DRIVE, #308, EL MONTE, CA, 91731, 626 448 3737 - 2,340,388 ($1,170,194.00) Equity, (File 333-173681 - Apr. 22) (BR. ) S-3 Armour Residential REIT, Inc., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH, FL, 32963, (772) 617-4340 - 1,000,000,000 ($1,000,000,000.00) Equity, (File 333-173682 - Apr. 22) (BR. 08B) S-8 CITIGROUP INC, 399 PARK AVENUE, NEW YORK, NY, 10043, 2125591000 - 0 ($1,994,305,312.00) Equity, (File 333-173683 - Apr. 22) (BR. 07A) S-1 1st FRANKLIN FINANCIAL CORP, 135 E TUGALO ST, P O BOX 880, TOCCOA, GA, 30577, 4048867571 - 75,000,000 ($75,000,000.00) Non-Convertible Debt, (File 333-173684 - Apr. 22) (BR. 07A) S-1 1st FRANKLIN FINANCIAL CORP, 135 E TUGALO ST, P O BOX 880, TOCCOA, GA, 30577, 4048867571 - 800,000,000 ($800,000,000.00) Non-Convertible Debt, (File 333-173685 - Apr. 22) (BR. 07A) S-1 BrightSource Energy Inc, 1999 HARRISON STREET, SUITE 2150, OAKLAND, CA, 94612, 510-550-8161 - 0 ($250,000,000.00) Equity, (File 333-173686 - Apr. 22) (BR. ) S-1 Azteca Acquisition Corp, 421 N. BEVERLY DRIVE, SUITE 300, BEVERLY HILLS, CA, 90210, 310-553-7009 - 0 ($115,000,000.00) Equity, (File 333-173687 - Apr. 22) (BR. ) S-8 LIFE TIME FITNESS INC, 2902 CORPORATE PLACE, CHANHASSEN, MN, 55317, 952-229-7543 - 0 ($92,050,000.00) Equity, (File 333-173688 - Apr. 22) (BR. 05B) S-1 Shop Eat Live, Inc., 423 31ST ST., NEWPORT BEACH, CA, 92663, 876-775-6074 - 8,000,000 ($8,000.00) Equity, (File 333-173689 - Apr. 22) (BR. ) S-1 Party City Holdings Inc., 80 GRASSLAND ROAD, ELMSFORD, NY, 10523, 914-345-2020 - 0 ($350,000,000.00) Equity, (File 333-173690 - Apr. 22) (BR. )
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 ADEN SOLUTIONS INC. NV 5.02 04/21/11 Advanced Life Sciences Holdings, Inc. 1.01 04/18/11 AGL RESOURCES INC GA 8.01,9.01 04/18/11 ALLIANCE BANKSHARES CORP 5.02 04/18/11 ALLIED MOTION TECHNOLOGIES INC CO 9.01 12/30/10 AMEND Allied World Assurance Co Holdings, A 8.01 04/22/11 AMBAC FINANCIAL GROUP INC DE 7.01 04/22/11 AMERCO /NV/ NV 8.01,9.01 04/19/11 American Renal Holdings Inc. DE 5.02 04/21/11 Aspect Software Group Holdings Ltd. DE 5.02 04/18/11 ASSURED GUARANTY LTD D0 2.02,9.01 04/22/11 ASSURED GUARANTY LTD D0 5.02,9.01 04/21/11 AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 04/22/11 AMEND BANCORP RHODE ISLAND INC 1.01,5.02,9.01 04/19/11 BARD C R INC /NJ/ NJ 5.07 04/20/11 BECKMAN COULTER INC DE 1.01,2.03,9.01 04/18/11 BIOHEART, INC. FL 1.02,9.01 04/18/11 BofI Holding, Inc. DE 5.02,8.01,9.01 04/21/11 BRAINY BRANDS COMPANY, INC. DE 1.01,2.03,3.02,9.01 04/18/11 Bronco Drilling Company, Inc. DE 8.01 04/22/11 BROOKLINE BANCORP INC DE 1.01,5.02,5.07,9.01 04/19/11 BROWN SHOE CO INC NY 9.01 04/22/11 AMEND BTHC XV, Inc. DE 2.01,2.02,3.02,4.01, 10/18/10 AMEND 5.01,5.02,5.06,9.01 BUCYRUS INTERNATIONAL INC DE 5.07 04/21/11 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 04/21/11 CARVER BANCORP INC DE 3.01,9.01 04/18/11 Cavico Corp 3.01,9.01 04/18/11 CEC ENTERTAINMENT INC KS 5.02 04/18/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02,9.01 04/19/11 CERNER CORP /MO/ DE 5.02,7.01,9.01 04/20/11 CHESAPEAKE ENERGY CORP OK 7.01,9.01 04/18/11 China Bio-Energy Corp. DE 4.02,5.02,9.01 04/18/11 AMEND China Century Dragon Media, Inc. DE 1.01,9.01 04/18/11 China Polypeptide Group, Inc. DE 4.01,9.01 04/18/11 China Power Technology, Inc. NV 4.01,9.01 04/22/11 China Ritar Power Corp. UT 3.01,9.01 04/18/11 China Shengda Packaging Group Inc. NV 4.01,9.01 04/22/11 China Shenghuo Pharmaceutical Holding 4.01,9.01 04/18/11 CIT GROUP INC DE 8.01,9.01 04/21/11 CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 04/21/11 CKX LANDS, INC. LA 5.07 04/21/11 COCA-COLA ENTERPRISES, INC. DE 8.01,9.01 04/22/11 COHU INC DE 2.02,9.01 04/20/11 Cole Credit Property Trust III, Inc. MD 8.01 04/21/11 COLONY BANKCORP INC GA 2.02,9.01 04/22/11 COMARCO INC CA 4.01 04/20/11 COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 04/22/11 COMMUNITY HEALTH SYSTEMS INC DE 7.01 04/22/11 CORTLAND BANCORP INC OH 5.02,9.01 04/19/11 Crestwood Midstream Partners LP DE 5.02 04/18/11 CUBIST PHARMACEUTICALS INC DE 1.01 04/21/11 CYBEX INTERNATIONAL INC NY 2.02,8.01,9.01 04/22/11 DA-LITE SCREEN CO INC IN 2.02,8.01 04/22/11 Digital Systems, Inc. CO 7.01,9.01 04/21/11 DNB FINANCIAL CORP /PA/ PA 2.02,9.01 04/22/11 DONEGAL GROUP INC DE 1.01,5.07,8.01,9.01 04/21/11 EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 04/22/11 ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 04/22/11 EPL Intermediate, Inc. DE 5.02 04/20/11 ERESEARCHTECHNOLOGY INC /DE/ DE 5.02,9.01 04/21/11 EVOLVING SYSTEMS INC DE 1.01,9.01 04/19/11 Federal Home Loan Bank of Boston X1 2.03 04/18/11 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.07 04/20/11 FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 04/20/11 FIRST FARMERS & MERCHANTS CORP TN 5.07 04/19/11 FIRST FARMERS & MERCHANTS CORP TN 2.02,9.01 04/18/11 FIRST FINANCIAL BANKSHARES INC TX 2.02,9.01 04/21/11 FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 04/22/11 FIRST INDUSTRIAL REALTY TRUST INC MD 1.01,9.01 04/21/11 FIRST NATIONAL CORP /VA/ 2.02,9.01 04/22/11 FIRST OF LONG ISLAND CORP NY 5.07 04/20/11 FNDS3000 Corp DC 2.02,9.01 04/18/11 FORCE PROTECTION INC NV 1.01,8.01,9.01 04/21/11 FORCE PROTECTION INC NV 1.01,5.02,9.01 04/18/11 FOREST CITY ENTERPRISES INC OH 1.01,2.03,9.01 04/21/11 FORLINK SOFTWARE CORP INC NV 5.02 04/21/11 GARDNER DENVER INC DE 2.02,9.01 04/20/11 GENCOR INDUSTRIES INC DE 5.02 04/22/11 Genesis Biopharma, Inc NV 1.01,3.02,9.01 04/18/11 GLEACHER & COMPANY, INC. DE 1.01,5.02,5.03,7.01, 04/18/11 9.01 Global Cornerstone Holdings Ltd D8 1.01,9.01 04/15/11 GLOBAL PARI-MUTUEL SERVICES, INC. NV 1.01,9.01 04/21/11 Golden Minerals Co 8.01,9.01 05/04/10 AMEND Good Earth Land Sales CO FL 4.01,9.01 04/22/11 GREEN EQUITY HOLDINGS, INC. NV 1.01,5.02,9.01 04/05/11 GRIFFON CORP DE 9.01 04/21/11 AMEND Guaranty Bancorp DE 2.02,7.01,9.01 04/21/11 HANMI FINANCIAL CORP DE 2.02,9.01 04/21/11 AMEND Hawaiian Telcom Holdco, Inc. DE 5.02 04/21/11 HOME BANCSHARES INC 5.07 04/21/11 HOST HOTELS & RESORTS, INC. MD 1.01,8.01,9.01 04/21/11 HUDSON TECHNOLOGIES INC /NY NY 1.01,9.01 04/19/11 IMH Financial Corp DE 7.01,9.01 04/22/11 INDEPENDENCE HOLDING CO DE 5.02,9.01 04/18/11 INDUSTRIAL MINERALS INC DE 5.02,7.01 04/18/11 Ingen Technologies, Inc. 5.02,8.01 04/21/11 INSITUFORM TECHNOLOGIES INC DE 5.07 04/20/11 INSPIRE PHARMACEUTICALS INC DE 8.01,9.01 04/22/11 InspireMD, Inc. DE 1.01,3.02,9.01 04/18/11 INTERCONTINENTALEXCHANGE INC 8.01 04/22/11 INTERNATIONAL LEASE FINANCE CORP CA 7.01,9.01 04/21/11 INVISA INC NV 5.02 04/19/11 Jingwei International LTD NV 4.01,9.01 04/18/11 JMP Group Inc. DE 1.01,9.01 04/21/11 LaSalle Hotel Properties MD 5.07 04/22/11 LIGHTTOUCH VEIN & LASER INC NV 5.02 04/21/11 Limelight Networks, Inc. DE 8.01 04/20/11 Limelight Networks, Inc. DE 8.01,9.01 04/21/11 LOCATEPLUS HOLDINGS CORP 5.02 04/22/11 LOCKHEED MARTIN CORP MD 5.02 04/22/11 MACATAWA BANK CORP MI 1.01,3.02,9.01 04/21/11 MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 04/22/11 Majestic Capital, Ltd. 8.01,9.01 04/21/11 MANPOWER INC /WI/ WI 8.01,9.01 04/20/11 MARKETAXESS HOLDINGS INC 5.02 04/18/11 MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 04/20/11 Medical Care Technologies Inc. NV 1.01,2.03,3.02,9.01 03/21/11 Mercantile Bancorp, Inc. DE 8.01,9.01 04/21/11 METRO BANCORP, INC. 2.02,9.01 04/22/11 MICRON TECHNOLOGY INC DE 5.03 04/07/11 AMEND MIDCAROLINA FINANCIAL CORP NC 2.02,8.01,9.01 04/22/11 MidWestOne Financial Group, Inc. IA 5.07,8.01 04/21/11 MILLER INDUSTRIES INC /TN/ TN 5.02,9.01 04/18/11 MINERALS TECHNOLOGIES INC DE 1.01,5.02,9.01 04/18/11 MORGAN STANLEY DE 1.01,3.02,9.01 04/21/11 MOTRICITY INC DE 5.02,9.01 04/19/11 MWI Veterinary Supply, Inc. DE 1.01 04/22/11 Neuralstem, Inc. DE 7.01,9.01 04/20/11 NEUSTAR INC 5.02 04/18/11 NEWMONT MINING CORP /DE/ DE 5.07 04/19/11 Nile Therapeutics, Inc. DE 5.02 04/18/11 NORTHWEST BIOTHERAPEUTICS INC DE 4.02 04/13/11 AMEND NOVAVAX INC DE 5.02,9.01 04/19/11 Obagi Medical Products, Inc. DE 5.02,9.01 04/21/11 OCEANFIRST FINANCIAL CORP DE 2.02,5.02,8.01,9.01 04/20/11 OFFICEMAX INC DE 5.02 04/21/11 OHIO VALLEY BANC CORP OH 8.01 04/22/11 ONEOK INC /NEW/ OK 7.01,8.01,9.01 05/04/10 ONEOK Partners LP DE 7.01,8.01,9.01 05/04/10 Oxford Resource Partners LP DE 7.01,9.01 04/22/11 People's United Financial, Inc. DE 5.07 04/21/11 PERMA FIX ENVIRONMENTAL SERVICES INC DE 1.01,2.03,9.01 04/18/11 PINNACLE FINANCIAL PARTNERS INC TN 5.07 04/19/11 PINNACLE WEST CAPITAL CORP AZ 8.01,9.01 04/21/11 Platinum Studios, Inc. CA 5.02 04/15/11 PLEXUS CORP WI 1.01,2.03,9.01 04/21/11 PREMIERWEST BANCORP OR 2.02,9.01 04/21/11 PRIVATE MEDIA GROUP INC NV 3.01,5.07,9.01 04/14/11 PSB Holdings, Inc. 2.02,9.01 04/22/11 Recon Technology, Ltd E9 4.01,9.01 04/18/11 RENASANT CORP MS 5.03,5.07,9.01 04/19/11 RUSH ENTERPRISES INC \TX\ TX 5.02 04/20/11 S Y BANCORP INC KY 5.02,9.01 04/19/11 Santander Drive Auto Receivables Trus DE 8.01,9.01 04/22/11 Santaro Interactive Entertainment Co NV 4.01,9.01 04/22/11 SCG Financial Acquisition Corp. DE 8.01 04/18/11 SCICLONE PHARMACEUTICALS INC DE 5.02 04/18/11 SEACOR HOLDINGS INC /NEW/ DE 7.01 04/22/11 ServisFirst Bancshares, Inc. DE 5.07 04/20/11 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 5.07,7.01,9.01 04/19/11 SIGNATURE GROUP HOLDINGS INC NV 5.02,7.01,9.01 04/22/11 SILICON LABORATORIES INC DE 5.02,9.01 04/21/11 SILICON LABORATORIES INC DE 5.07 04/21/11 SIMMONS FIRST NATIONAL CORP AR 5.07 04/19/11 Sino Agro Food, Inc. NV 2.02,9.01 04/14/11 SIPP International Industries, Inc. NV 5.02 04/20/11 Six Flags Entertainment Corp 8.01,9.01 04/22/11 Skagit State Bancorp, Inc. WA 5.07 04/22/11 SOUTHSIDE BANCSHARES INC TX 2.02,9.01 03/31/11 SP Bancorp, Inc. MD 8.01,9.01 04/22/11 Spectra Energy Corp. DE 5.02,5.07,9.01 04/19/11 SPECTRUM GROUP INTERNATIONAL, INC. NY 1.01 04/19/11 SPICY PICKLE FRANCHISING INC CO 8.01,9.01 04/22/11 SUN BANCORP INC /NJ/ NJ 8.01,9.01 04/22/11 SUN RIVER ENERGY, INC CO 2.01,9.01 02/07/11 AMEND SUPREME INDUSTRIES INC DE 5.02 04/18/11 SYNTA PHARMACEUTICALS CORP 1.01,9.01 04/19/11 TCF FINANCIAL CORP DE 2.02,7.01,9.01 04/22/11 Telanetix,Inc DE 5.02,9.01 04/22/11 TELETECH HOLDINGS INC DE 5.02,9.01 04/19/11 TENET HEALTHCARE CORP NV 8.01,9.01 04/22/11 TEREX CORP DE 2.02,9.01 04/21/11 THERAPEUTIC SOLUTIONS INTERNATIONAL, NV 5.02 04/21/11 Thrust Energy Corp. NV 1.01,3.02,5.03,9.01 04/18/11 TOWER FINANCIAL CORP IN 8.01 04/21/11 TRANS ENERGY INC NV 5.02 04/22/11 TRAVELZOO INC DE 1.01,2.01,9.01 04/21/11 Tri-Tech Holding, Inc. E9 4.01,9.01 04/18/11 TRICO MARINE SERVICES INC DE 7.01,9.01 04/21/11 UMPQUA HOLDINGS CORP OR 5.07,8.01 04/22/11 UNITED BANCORP INC /MI/ MI 2.02,7.01,9.01 04/22/11 UNITED COMMUNITY BANKS INC GA 1.01,5.02,8.01,9.01 04/18/11 UNIVEST CORP OF PENNSYLVANIA PA 5.07 04/19/11 US BANCORP \DE\ DE 8.01,9.01 04/21/11 Vanity Events Holding, Inc. DE 5.02,8.01 04/21/11 ViewPoint Financial Group Inc. MD 8.01,9.01 04/22/11 WESTERN PLAINS ENERGY LLC KS 1.01,5.02,7.01,8.01, 04/19/11 9.01 WHIRLPOOL CORP /DE/ DE 5.07,8.01,9.01 04/19/11 WNC CALIFORNIA HOUSING TAX CREDITS II CA 2.02,9.01 04/21/11 WNC HOUSING TAX CREDIT FUND II LP CA 2.02,9.01 04/21/11 WNC HOUSING TAX CREDIT FUND V LP SERI CA 2.02,9.01 04/21/11 WNC HOUSING TAX CREDIT FUND VI LP SER CA 2.02,9.01 04/21/11 WSFS FINANCIAL CORP DE 8.01,9.01 04/21/11 ZAP CA 2.01,9.01 01/21/11 AMEND