On June 15, 2011, the Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading of the securities of Voice One Corp. (Voice One) at 9:30 a.m. on June 15, 2011, and terminating at 11:59 p.m. on June 28, 2011.
The Commission temporarily suspended trading in the securities of Voice One due to a lack of adequate and accurate information about the company’s management and financing arrangements involving related parties.
The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until the broker or dealer has 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 quotations 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 Voice One’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, he or she should contact Jennifer Leete, Assistant Director in the Division of Enforcement, at (202) 551-4971. (Rel. 34-64671)
SEC Proposes Ways to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets
The Securities and Exchange Commission today unanimously proposed amendments to the broker-dealer financial reporting rule in order to strengthen the audits of broker-dealers as well as the SEC’s oversight of the way broker-dealers handle their customers’ securities and cash.
The SEC’s proposal builds upon rules adopted in December 2009 that strengthened the protections provided to investors who turn their assets over to investment advisers.
“When investors hand their assets over to a broker-dealer, they trust that their broker-dealer will hold and invest the assets as directed,” said SEC Chairman Mary L. Schapiro. “To protect investors and help maintain confidence in the market, we must take strong steps to help safeguard the assets held by broker-dealers.”
The SEC’s proposal is intended to strengthen the annual audits of broker-dealers by requiring an increased focus on the custody activities of broker-dealers. While current rules require broker-dealers to protect and account for customer assets, the proposed rule amendments would mandate an audit of the controls that the broker-dealer has put in place.
Additionally, the proposal would strengthen oversight of broker-dealer custody practices by requiring broker-dealers that maintain custody of customer assets or self-clear transactions to allow SEC staff and the relevant designated examining authority to review work papers of the public accounting firm that audits the broker-dealer and discuss any findings with the accounting firm. The proposed amendments also would require all broker-dealers to quarterly file a proposed new form that would elicit information about the custody practices of the broker-dealer to be used as a starting point for examinations by regulators.
Public comments on the SEC’s proposal should be received within 60 days of its publication in the Federal Register. (Press Rel. 2011-128)
SEC Concludes That Certain Stanford Ponzi Scheme Investors are Entitled to Protections of SIPA
The Securities and Exchange Commission today concluded that certain individuals who invested money through the Stanford Group Company – a U.S. broker-dealer owned and used by Allen Stanford to perpetrate a massive Ponzi scheme – are entitled to the protections of the Securities Investor Protection Act of 1970 (SIPA).
In exercising its discretionary authority under SIPA and based on the totality of the facts and circumstances of the case, the Commission asked the Securities Investor Protection Corporation (SIPC) to initiate a court proceeding under SIPA to liquidate the broker-dealer.
According to its 2009 complaint, the SEC alleged that Allen Stanford operated a Ponzi scheme in which certain investors were sold certificates of deposit (CDs) issued by Stanford International Bank Ltd. (SIBL) through the Stanford Group Company (SGC). SGC is a SIPC Member.
In an analysis provided to SIPC, the SEC explains that, on the specific facts of this case, investors with brokerage accounts at SGC who purchased the CDs through the broker-dealer qualify for protected “customer” status under SIPA.
In reaching its determination, the SEC cited the conclusions in the report of the court appointed-receiver for SGC, who noted that the many companies controlled and directly or indirectly owned by Stanford “were operated in a highly interconnected fashion, with a core objective of selling” the CDs.
Among other things, the receiver also noted that “[c]orporate separateness was not respected within the Stanford empire. ... Money was transferred from entity to entity as needed, irrespective of legitimate business need. Ultimately, all of the fund transfers supported the Ponzi scheme in one way or another, or benefitted Allen Stanford personally.”
The Commission further determined that, in light of all of the facts and circumstances in this case, the customers’ claims should be based on their net investment in the fraudulent CDs used to carry out the Ponzi scheme.
A SIPA liquidation proceeding would allow investors with accounts at SGC to file claims with a trustee selected by SIPC. The trustee would decide whether the investors have “customer” claims that are protected by the statute. An investor who disagreed with the trustee’s determination could seek court review.
The Commission has authorized its staff to file an action in federal district court under SIPA to compel SIPC to initiate a liquidation proceeding in the event SIPC does not do so. (Press Rel. 2011-129)
Closed Meeting on Thursday, June 23, 2011, at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, June 23, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
John D. Van Fleet, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, John D. Van Fleet, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Van Fleet was suspended from appearing or practicing before the Commission as an accountant on June 2, 2005. His reinstatement is effective immediately. (Rel. 34-64668; AAE Rel. 3291; File No. 3-11940)
Gregory Pasko, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Gregory Pasko, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Pasko was suspended from appearing or practicing before the Commission as an accountant on Dec. 10, 2009. His reinstatement is effective immediately. (Rel. 34-64669; AAE Rel. 3292; File No. 3-13711)
Laurence D. Cohen, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With tThe Commission
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Laurence D. Cohen, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Cohen was suspended from appearing or practicing before the Commission as an accountant on Dec. 27, 2004. His reinstatement is effective immediately. (Rel. 34-64670; AAE Rel. 3293; File No. 3-11783)
In the Matter of Dechtar Direct Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents (Default Order) in Dechtar Direct Inc., Admin. Proc. No. 3-14391. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Dechtar Direct Inc., DigitalReach Holdings, Inc. (n/k/a People Dynamics Holdings, Inc.), DLD Group, Inc., DNA Plant Technology Corp., Docplanet.com, Inc., and Docugraphix, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to Respondent DTC Data Technology Corp. See Dechtar Direct Inc., Exchange Act Release No. 64619 (June 8, 2011). The Division and Respondent Dippy Foods, Inc. are in settlement negotiations, and the proceeding is therefore pending the outcome of those negotiations. (Rel. 34-64672; File No. 3-14391)
In the Matter of Pegasus Investment Management, LLC, Peter Benjamin Bortel, and Douglas Wayne Saksa
The Securities and Exchange Commission today brought charges against Bainbridge Island, Washington hedge fund manager Pegasus Investment Management, LLC (PIM) for failing to disclose to fund investors its receipt of cash payments from a third party. PIM combined its securities trades with another firms’ in order for that firm to receive volume discounts. PIM was paid $90,000 over a 10-month period for its role in the scheme and retained the money for itself rather than passing it along to fund investors.
The SEC also charged PIM’s Vice President, Peter Benjamin Bortel, for his role in the violations, and PIM’s President and Chief Compliance Officer, Douglas Wayne Saksa, for failing reasonably to supervise Bortel. Without admitting or denying the SEC’s findings, PIM, Bortel, and Saksa agreed to settle the charges by disgorging the $90,000 and paying penalties totaling $75,000.
According to the administrative order issued today, in spring 2008, a proprietary trading firm sought to obtain a reduced commission rate for its futures trading business. The firm worked out an arrangement with PIM whereby the firms would combine their trading volume so the other firm could obtain this reduced commission rate from the broker. The firm then compensated PIM by paying it $0.50 for each trade that PIM made with the broker. The firm provided Bortel with monthly reconciliation statements showing the total revenue generated by the arrangement. PIM improperly treated the undisclosed payments as its own rather than as an asset of the funds it managed.
The SEC’s order finds that PIM and Bortel willfully violated Section 206(2) of the Investment Advisers Act and that PIM and Saksa failed to reasonably supervise Bortel within the meaning of Section 203(e)(6) of the Advisers Act. The order censures PIM, Bortel, and Saksa, orders PIM and Bortel to cease and desist from future violations of Section 206(2), requires PIM to disgorge $90,000 in undisclosed payments, and levies $50,000 and $25,000 civil penalties against Bortel and Saksa, respectively. PIM, Bortel, and Saksa consented to the entry of the order without admitting or denying the findings.
The case was investigated by Sahil W. Desai and Robert S. Leach of the San Francisco Regional Office, both of whom are members of the SEC’s Asset Management Unit. The examination of PIM was conducted by Vivien Lin, Cindy Tom, and Ada Chee of the San Francisco Regional Office’s investment adviser/investment company examination program. (Rel. IA-3215; File No. 3-14425)
SEC Obtains Summary Judgment Against Defendants in Fraudulent Investment Scheme
On June 6, 2011, the Honorable Dale A. Kimball of the United States District Court for the District of Utah granted the SEC’s motion for summary judgment and entered final judgment against defendants Brian J. Smart of Lehi, Utah, and his company Smart Assets, LLC in SEC v. Brian J. Smart, et al., Case No. 2:09-CV-00224 (D. Utah). The Court found that Smart and his company violated the antifraud provisions of the federal securities laws, and ordered defendants to pay $4.7 million in disgorgement and civil penalties.
The SEC filed this action against the defendants on March 11, 2009, alleging that Smart and his company had engaged in a Ponzi-like scheme in the offer and sale of promissory notes and other securities. The complaint alleged that Smart falsely represented to investors, including senior citizens, that he was providing a conservative, liquid investment opportunity. Instead, according to the complaint, Smart was misappropriating investor funds for his own personal use, investing in illiquid and ill-fated real estate ventures, and using proceeds from new investors to make payments to earlier investors.
On the day this action was filed, the Court granted the SEC’s motion for a temporary restraining order, asset freeze, and other preliminary relief. Subsequently, on August 21, 2009, the Court granted the SEC’s motion for a preliminary injunction against the defendants.
After completion of discovery in this case, the parties moved for summary judgment. In granting the SEC’s motion for summary judgment and entering final judgment, the Court found that Smart and his company misappropriated over $2.05 million from investors through a “systematic program of deception and fraud.” The Court found that Smart targeted elderly investors and that he falsely represented that he would place investor funds in safe, principal guaranteed investments. Instead, the Court found, Smart used investor money to pay personal expenses, to invest in risky real estate ventures and hard money loans, and to pay purported “dividends” to other investors.
The Court’s final judgment against Smart and Smart Assets permanently enjoins the defendants from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5, and orders defendants to pay $2,059,077 in disgorgement, $597,426 in prejudgment interest, and a $2,059,077 civil penalty.
For further information regarding this case, see Litigation Release No. 20946 (March 12, 2009). [SEC v. Brian J. Smart and Smart Assets, LLC, Case No. 2:09-CV-00224 (D. Utah)] (LR-22001)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-CBOE-2011-041) submitted by the Chicago Board Options Exchange establishing Qualified Contingent Cross Orders. Publication is expected in the Federal Register during the week of June 13. (Rel. 34-64653)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the Financial Industry Regulatory Authority (SR-FINRA-2011-025) to extend a TRACE pilot program 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 June 13. (Rel. 34-64665)
A proposed rule change filed by the National Securities Clearing Corporation (SR-NSCC-2011-03) to clarify provisions related to the Analytic Reporting Service has become effective pursuant to Section 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(4) thereunder. Publication is expected in the Federal Register during the week of June 13. (Rel. 34-64666)
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.
N-2 Triton Pacific Investment Corporation, Inc., 10877 WILSHIRE BLVD., 12TH FLOOR, LOS ANGELES, CA, 90024, 310-943-4990 - 20,000,000 ($300,000,000.00) Equity, (File 333-174873 - Jun. 14) (BR. 18) S-1 GELTOLOGY INC, 54 WEST 16TH STREET, 10B, NEW YORK, NY, 10011, 888 841 2841 - 5,000,000 ($100,000.00) Equity, (File 333-174874 - Jun. 14) (BR. 09) S-1 PREMIER BIOMEDICAL INC, 1362 SPRINGFIELD CHURCH ROAD, JACKSON CENTER, PA, 16133, 814 786 8849 - 1,674,400 ($310,120.00) Equity, (File 333-174876 - Jun. 14) (BR. 01) S-3 QUESTAR PIPELINE CO, 180 E 100 SOUTH STREET, P O BOX 45360, SALT LAKE CITY, UT, 84145, 8013242400 - 250,000,000 ($250,000,000.00) Debt, (File 333-174877 - Jun. 14) (BR. 02C) F-3ASR AEGON NV, AEGONPLEIN 50, PO BOX 85, THE HAGUE, P7, 2501 CB, 011-31-70-344-7308 - 0 ($0.00) Other, (File 333-174878 - Jun. 14) (BR. 01A) S-3 MAGNUM HUNTER RESOURCES CORP, 777 POST OAK BLVD #910, HOUSTON, TX, 77056, 832-369-6986 - 0 ($300,030,321.00) Equity, (File 333-174879 - Jun. 14) (BR. 04C) S-3ASR TAUBMAN CENTERS INC, 200 E LONG LAKE RD, SUITE 300 P O BOX 200, BLOOMFIELD HILLS, MI, 48303-0200, 2482586800 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-174880 - Jun. 14) (BR. 08C) S-8 COLORADO GOLDFIELDS INC., 10920 W. ALAMEDA AVENUE, SUITE 207, LAKEWOOD, CO, 80226, 303-984-5324 - 0 ($4,000,000.00) Equity, (File 333-174881 - Jun. 14) (BR. 04B) S-8 CH ENERGY GROUP INC, 284 SOUTH AVE, POUGHKEEPSIE, NY, 12601, 8454522000 - 432,805 ($22,605,405.00) Equity, (File 333-174882 - Jun. 14) (BR. 02A) S-8 AIRGAS INC, 259 N. RADNOR-CHESTER ROAD, SUITE 100, RADNOR, PA, 19087, 6106875253 - 0 ($6,000,000.00) Other, (File 333-174883 - Jun. 14) (BR. 06C) S-8 IEC ELECTRONICS CORP, 105 NORTON ST, NEWARK, NY, 14513, 3153317742 - 2,000,000 ($13,530,000.00) Equity, (File 333-174884 - Jun. 14) (BR. 03C) S-3 UniTek Global Services, Inc., 97 LINDEN AVENUE, ELMWOOD PARK, NJ, 07407, 201.791.3200 - 0 ($7,500,583.00) Equity, (File 333-174885 - Jun. 14) (BR. 11C) N-2 Kiewit Investment Fund LLLP, KIEWIT PLAZA, OMAHA, NE, 68131, 800-443-4306 - 55 ($1,000,000.00) Limited Partnership Interests, (File 333-174886 - Jun. 14) (BR. 22) S-1 GWG Holdings, Inc., 220 SOUTH SIXTH STREET, SUITE 1200, MINNEAPOLIS, MN, 55402, 877-494-2388 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-174887 - Jun. 14) (BR. ) S-3ASR Tim Hortons Inc., 874 SINCLAIR ROAD, OAKVILLE, A6, L6K 2Y1, (905) 845-6511 - 5,000,000 ($220,550,000.00) Equity, (File 333-174888 - Jun. 14) (BR. 05B) S-1 INDIA ECOMMERCE CORP, 5850 CENTRE AVENUE, #701, PITTSBURGH, PA, 15206, (412)450-0028 - 7,250,000 ($145,000.00) Equity, (File 333-174889 - Jun. 14) (BR. ) S-8 Capitol Federal Financial Inc, 700 KANSAS AVENUE, TOPEKA, KS, 66603, 785-235-1341 - 5,000,000 ($61,399,063.00) Equity, (File 333-174890 - Jun. 14) (BR. 07A) S-8 Capitol Federal Financial Inc, 700 KANSAS AVENUE, TOPEKA, KS, 66603, 785-235-1341 - 372,349 ($4,341,589.00) Equity, (File 333-174891 - Jun. 14) (BR. 07A) S-1 FITS MY STYLE INC, 9A YADIN IGAL STREET, RA'ANANA, L3, 43582, 972 9 774 8752 - 786,000 ($39,300.00) Equity, (File 333-174892 - Jun. 14) (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 3DICON CORP 1.01,5.02,9.01 06/13/11 AbitibiBowater Inc. DE 5.02,5.07 06/08/11 ACADIA PHARMACEUTICALS INC DE 5.07 06/14/11 ACCENTIA BIOPHARMACEUTICALS INC 1.01,2.03,3.02,7.01, 06/13/11 9.01 ACCO BRANDS CORP DE 7.01,8.01,9.01 05/25/11 ADVANCED CELL TECHNOLOGY, INC. DE 5.07 06/09/11 Aegerion Pharmaceuticals, Inc. DE 5.02 06/08/11 AEROSONIC CORP /DE/ DE 2.02,9.01 06/13/11 AGENUS INC DE 7.01,9.01 06/14/11 AGILYSYS INC OH 2.02,7.01,9.01 06/14/11 AGL RESOURCES INC GA 5.07,8.01,9.01 06/14/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 06/14/11 Allied World Assurance Co Holdings, A 1.01,8.01,9.01 06/12/11 Alpha Natural Resources, Inc. DE 8.01,9.01 06/14/11 ALTERNATE ENERGY HOLDINGS, INC. NV 5.02 06/10/11 Amarantus BioSciences, Inc. DE 8.01 06/13/11 AMBAC FINANCIAL GROUP INC DE 5.02 06/10/11 America's Suppliers, Inc. 5.07 06/10/11 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.07 06/09/11 American Standard Energy Corp. DE 8.01,9.01 06/13/11 AMPAL-AMERICAN ISRAEL CORP NY 8.01,9.01 06/14/11 ANGIODYNAMICS INC DE 2.02,5.02,9.01 06/13/11 ante5, Inc. DE 8.01 06/13/11 Apple REIT Ten, Inc. VA 5.02 06/09/11 ARBOR REALTY TRUST INC MD 8.01 06/14/11 ARCH COAL INC DE 1.01,2.03,8.01,9.01 06/08/11 ARENA PHARMACEUTICALS INC DE 5.07 06/13/11 ARGAN INC DE 2.02,9.01 06/13/11 ARI NETWORK SERVICES INC /WI WI 2.02,9.01 06/14/11 Armour Residential REIT, Inc. MD 8.01,9.01 06/14/11 ARRAY BIOPHARMA INC DE 2.05,9.01 06/13/11 Ascent Media CORP DE 8.01,9.01 06/13/11 ASSURANT INC 5.02,9.01 06/08/11 ASTEA INTERNATIONAL INC DE 5.07 06/13/11 AVID TECHNOLOGY, INC. DE 5.02,5.07 06/10/11 AVIS BUDGET GROUP, INC. DE 7.01,9.01 06/14/11 Avro Energy Inc. NV 5.02 06/09/11 Bacterin International Holdings, Inc. DE 7.01,9.01 06/13/11 BANCORPSOUTH INC MS 7.01,9.01 06/14/11 BASIC ENERGY SERVICES INC 1.01,2.03,9.01 06/13/11 BEAZER HOMES USA INC DE 5.02,9.01 06/12/11 BEESTON ENTERPRISES LTD NV 3.02 06/04/11 BEST BUY CO INC MN 2.02,7.01,9.01 06/14/11 BIOJECT MEDICAL TECHNOLOGIES INC OR 5.07 06/09/11 BIOLASE TECHNOLOGY INC DE 7.01,9.01 06/14/11 Bitstream Inc. DE 5.07 06/08/11 Bitzio, Inc. NV 5.03,8.01 06/10/11 BLACK HAWK EXPLORATION 1.01,8.01,9.01 06/03/10 BOEING CO DE 5.02,5.03,9.01 06/13/11 BOK FINANCIAL CORP ET AL OK 1.02,2.03,9.01 06/09/11 BreitBurn Energy Partners L.P. DE 7.01,9.01 06/14/11 Bristow Group Inc DE 5.02,9.01 06/08/11 BROADVIEW NETWORKS HOLDINGS INC DE 8.01,9.01 06/14/11 Brookdale Senior Living Inc. DE 1.01,2.03,9.01 06/08/11 Burlington Coat Factory Investments H 7.01,9.01 06/14/11 CABELAS INC DE 5.02,5.03,5.07,9.01 06/08/11 CABELAS INC DE 5.02 06/09/11 AMEND CAMPBELL FUND TRUST DE 3.02 06/14/11 CANTERBURY PARK HOLDING CORP MN 8.01,9.01 06/14/11 Capital Financial Holdings, Inc ND 5.02 06/09/11 CAPSTONE TURBINE Corp DE 2.02,9.01 06/14/11 CARACO PHARMACEUTICAL LABORATORIES LT MI 2.01,3.01,3.03,5.02, 06/14/11 5.03,5.07,8.01,9.01 Cardium Therapeutics, Inc. DE 8.01,9.01 06/13/11 CASEYS GENERAL STORES INC IA 2.02,9.01 06/14/11 Castle Brands Inc FL 1.01,7.01,9.01 06/13/11 Cavitation Technologies, Inc. NV 1.01 06/10/11 CC Media Holdings Inc 1.01,8.01,9.01 06/14/11 CEPHALON INC DE 8.01 06/13/11 CHINA ELECTRIC MOTOR, INC. DE 3.01 06/13/11 China Energy Recovery, Inc. DE 5.02 06/07/11 AMEND CHINA GENGSHENG MINERALS, INC. NV 8.01,9.01 06/14/11 CHINA HGS REAL ESTATE INC. F4 1.01,8.01,9.01 06/14/11 ChromaDex Corp. 7.01,9.01 06/14/11 CIB MARINE BANCSHARES INC WI 5.02 06/09/11 CITIZENS REPUBLIC BANCORP, INC. MI 8.01,9.01 06/14/11 CLEAN HARBORS INC MA 5.02 06/08/11 CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,2.03,8.01,9.01 06/14/11 CNA SURETY CORP 3.01,3.03,5.02,5.03 06/10/11 CODEXIS INC 5.02,5.07 06/08/11 Cogito Media Group Inc. CO 1.01,3.02,9.01 06/10/11 COLGATE PALMOLIVE CO DE 5.07 05/06/11 AMEND COMMAND SECURITY CORP NY 5.02,9.01 06/09/11 CONCUR TECHNOLOGIES INC DE 5.07 06/08/11 AMEND Consolidated Communications Holdings, DE 1.01,7.01,9.01 06/13/11 Converted Organics Inc. DE 5.03,5.07,8.01 06/13/11 CORTEX PHARMACEUTICALS INC/DE/ DE 1.01,1.02,9.01 06/10/11 CROWN HOLDINGS INC PA 1.01 06/09/11 Crystal Rock Holdings, Inc. DE 2.02,9.01 06/14/11 CUTERA INC DE 5.07 06/14/11 CVR ENERGY INC DE 7.01,9.01 06/14/11 DELTA PETROLEUM CORP/CO CO 5.02 06/10/11 DENNYS CORP DE 8.01 06/14/11 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 06/14/11 Domark International Inc. NV 8.01 06/13/11 Domark International Inc. NV 8.01 06/14/11 DOVER Corp DE 8.01 06/14/11 Dussault Apparel Inc. 3.02 05/01/11 E-Debit Global Corp. CO 8.01 06/13/11 EDEN ENERGY CORP NV 3.02 06/09/11 Edgen Murray II, L.P. DE 5.02 06/08/11 eHealth, Inc. DE 8.01,9.01 06/14/11 ENERGY EDGE TECHNOLOGIES CORP. NJ 8.01 06/09/11 Enstar Group LTD D0 1.01,2.03 06/13/11 ENTECH SOLAR, INC. DE 1.01,3.02,9.01 06/13/11 ENTEGRIS INC DE 1.01,1.02,2.03,8.01 06/09/11 EnteroMedics Inc 8.01,9.01 06/14/11 EPLUS INC DE 2.02,9.01 06/08/11 EQUINIX INC DE 5.03,9.01 06/09/11 ESTERLINE TECHNOLOGIES CORP DE 8.01,9.01 06/14/11 EXACTECH INC FL 5.07 06/09/11 EXPRESS-1 EXPEDITED SOLUTIONS INC DE 1.01,3.02,8.01,9.01 06/13/11 FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 06/14/11 Federal Home Loan Bank of Atlanta X1 2.03 06/14/11 Federal Home Loan Bank of Boston X1 2.03 06/09/11 Federal Home Loan Bank of Chicago X1 2.03 06/08/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/08/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/10/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/14/11 Federal Home Loan Bank of New York X1 2.03,9.01 06/09/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/08/11 Federal Home Loan Bank of San Francis X1 2.03 06/08/11 Federal Home Loan Bank of Seattle 2.03 06/08/11 Federal Home Loan Bank of Topeka 2.03,9.01 06/08/11 FEDERAL REALTY INVESTMENT TRUST MD 5.02 06/13/11 FENTURA FINANCIAL INC MI 5.02 06/10/11 FIRST CASH FINANCIAL SERVICES INC DE 8.01 06/10/11 First Sentry Bancshares, Inc. WV 8.01 06/14/11 FISERV INC WI 1.01,2.03,8.01,9.01 06/14/11 FOREST CITY ENTERPRISES INC OH 5.02,5.07 06/10/11 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 2.02,9.01 06/14/11 Freescale Semiconductor Holdings I, L D0 1.01,2.03,8.01,9.01 06/10/11 FREESTONE RESOURCES, INC. NV 1.01,9.01 06/14/11 Fresh Market, Inc. DE 2.02,7.01,9.01 06/13/11 FUELCELL ENERGY INC DE 5.02,9.01 06/14/11 GCI INC AK 1.01,2.03,9.01 06/10/11 GENERAL COMMUNICATION INC AK 1.01,2.03,9.01 06/10/11 GEOGLOBAL RESOURCES INC. DE 5.07,8.01,9.01 06/09/11 Global Geophysical Services Inc DE 1.01,2.03,9.01 06/14/11 GLOBAL GOLD CORP DE 5.07,8.01 06/10/11 GMV Wireless, Inc. NV 5.03,8.01,9.01 06/13/11 Go Solar USA, Inc. 5.02 06/13/11 GOLD HORSE INTERNATIONAL, INC. FL 2.02,7.01,9.01 06/10/11 GOLDMAN SACHS GROUP INC DE 9.01 06/14/11 GRACO INC MN 5.07 04/21/11 AMEND Graham Packaging Co Inc. DE 8.01,9.01 06/14/11 GRAHAM PACKAGING HOLDINGS CO DE 8.01,9.01 06/13/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 06/14/11 Greektown Superholdings, Inc. DE 5.07 06/08/11 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 06/14/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 06/14/11 GT Solar International, Inc. DE 7.01,9.01 06/13/11 GTJ REIT, Inc. MD 5.07 06/09/11 H & H Imports, Inc. FL 4.01,9.01 06/08/11 HAMPTON ROADS BANKSHARES INC VA 1.01,8.01,9.01 06/13/11 HANOVER INSURANCE GROUP, INC. DE 7.01,8.01,9.01 06/14/11 Harbin Electric, Inc 8.01,9.01 06/10/11 HAUPPAUGE DIGITAL INC DE 5.02 06/09/11 HECLA MINING CO/DE/ DE 8.01,9.01 06/13/11 HEMACARE CORP /CA/ CA 4.01 06/08/11 HERITAGE COMMERCE CORP CA 1.02,9.01 06/07/11 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 4.01,9.01 05/26/11 AMEND Hudson Pacific Properties, Inc. MD 5.07 06/09/11 IDEX CORP /DE/ DE 7.01,9.01 06/10/11 IMAGEWARE SYSTEMS INC DE 1.01,2.03,3.02,9.01 06/09/11 Industrial Income Trust Inc. MD 1.01,2.03 06/08/11 INFOSPACE INC DE 5.07 06/08/11 Inland American Real Estate Trust, In MD 7.01,9.01 06/13/11 IntelGenx Technologies Corp. DE 7.01 06/14/11 IntelGenx Technologies Corp. DE 7.01 06/14/11 INUVO, INC. NV 5.07 06/13/11 INX Inc DE 8.01 06/14/11 J C PENNEY CO INC DE 1.01,3.02,9.01 06/13/11 J C PENNEY CO INC DE 5.02,9.01 06/14/11 JOHNSON & JOHNSON NJ 5.02,9.01 06/13/11 KENSINGTON LEASING, LTD. NV 5.03,9.01 06/10/11 KENT FINANCIAL SERVICES INC NV 1.01,5.02,9.01 06/13/11 KEYCORP /NEW/ OH 8.01,9.01 06/13/11 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 06/14/11 Kiwibox.Com, Inc. DE 7.01,9.01 06/14/11 Kodiak Oil & Gas Corp B0 7.01,9.01 06/13/11 KVH INDUSTRIES INC \DE\ DE 1.01,9.01 06/09/11 LA JOLLA PHARMACEUTICAL CO DE 8.01 06/06/11 LAYNE CHRISTENSEN CO DE 5.07 06/09/11 LEHMAN ABS CORP CORP BACKED TRUST CER DE 8.01,9.01 06/01/11 Limelight Networks, Inc. DE 5.03,5.07,9.01 06/09/11 LJM Energy Corp. NV 5.02,7.01,9.01 06/08/11 lululemon athletica inc. DE 7.01,9.01 06/14/11 Macquarie CNL Global Income Trust, In MD 2.01,2.03,7.01,9.01 06/08/11 MAD CATZ INTERACTIVE INC Z4 2.02,5.02,9.01 06/13/11 MAJIC WHEELS CORP 4.01 06/13/11 MANNATECH INC TX 8.01,9.01 06/09/11 MARKETAXESS HOLDINGS INC 5.07 06/09/11 MASSEY ENERGY CO DE 1.01,2.03,8.01,9.01 06/14/11 MCGRAW-HILL COMPANIES INC NY 7.01,9.01 06/14/11 MESA LABORATORIES INC /CO CO 2.02,9.01 06/08/11 MGT CAPITAL INVESTMENTS INC DE 3.01,9.01 06/08/11 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 06/14/11 MILLER ENERGY RESOURCES, INC. 5.02,7.01,9.01 06/09/11 MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.07 05/05/11 MONSANTO CO /NEW/ DE 5.03,9.01 06/08/11 MOTORCAR PARTS AMERICA INC NY 2.02,9.01 06/13/11 MSC INDUSTRIAL DIRECT CO INC NY 1.01,2.03,9.01 06/08/11 Mueller Water Products, Inc. DE 5.02,9.01 06/14/11 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 06/13/11 NBTY INC DE 5.02 06/13/11 NEAH POWER SYSTEMS, INC. NV 1.01,3.01 06/08/11 NeoStem, Inc. DE 7.01,9.01 06/13/11 AMEND NETLIST INC DE 5.02 06/14/11 NETWORK ENGINES INC DE 8.01,9.01 06/09/11 Neuralstem, Inc. DE 7.01,9.01 06/14/11 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 06/14/11 NICOR INC IL 7.01 06/14/11 NIVS IntelliMedia Technology Group, I DE 4.01 06/09/11 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,3.02,5.02 06/08/11 NOVELOS THERAPEUTICS, INC. DE 9.01 04/08/11 AMEND NUPATHE INC. DE 1.01,2.03,5.07,8.01 06/08/11 NYXIO TECHNOLOGIES Corp NV 5.03,8.01,9.01 06/14/11 Omega Flex, Inc. PA 8.01,9.01 06/14/11 ONE LIBERTY PROPERTIES INC MD 5.07,8.01,9.01 06/14/11 Onstream Media CORP FL 5.07 06/13/11 OPTI INC CA 8.01 06/14/11 Orexigen Therapeutics, Inc. DE 1.01,5.02,9.01 06/08/11 ORIENT EXPRESS HOTELS LTD D0 5.05,9.01 06/13/11 Orient Paper Inc. NV 8.01,9.01 06/07/11 ORION ENERGY SYSTEMS, INC. WI 4.02 06/09/11 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 03/31/11 PennantPark Floating Rate Capital Ltd 7.01 06/14/11 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 06/08/11 PERRY ELLIS INTERNATIONAL INC FL 5.07 06/09/11 PharMerica CORP DE 5.07,7.01,9.01 06/10/11 PHC INC /MA/ MA 8.01 06/14/11 PMC COMMERCIAL TRUST /TX TX 5.07 06/10/11 POINDEXTER J B & CO INC DE 4.02 06/03/11 PONIARD PHARMACEUTICALS, INC. WA 5.07,8.01,9.01 06/09/11 PORTFOLIO RECOVERY ASSOCIATES INC DE 5.07 06/14/11 POZEN INC /NC 5.07 06/09/11 QUANTUM CORP /DE/ DE 1.01,8.01,9.01 06/13/11 QUICKLOGIC CORPORATION CA 1.01,9.01 06/09/11 RAMTRON INTERNATIONAL CORP DE 5.02 06/09/11 RCLC, INC. NJ 7.01,9.01 06/10/11 REGEN BIOLOGICS INC DE 1.01,1.03,8.01 06/08/11 REGENCY CENTERS CORP FL 5.02 06/13/11 Regenicin, Inc. NV 8.01 06/09/11 RENTECH INC /CO/ CO 1.01,2.03,9.01 06/10/11 Resume In Minutes, Inc. NV 5.03,8.01,9.01 06/06/11 Rockwood Holdings, Inc. DE 7.01,9.01 06/14/11 Rodobo International Inc NV 7.01,9.01 06/14/11 ROTECH HEALTHCARE INC DE 7.01,9.01 06/14/11 SAJAN INC DE 5.07 06/08/11 SAPIENT CORP DE 5.02,5.07 06/08/11 SARATOGA INVESTMENT CORP. MD 5.03,9.01 06/10/11 SCOLR Pharma, Inc. DE 5.03,5.07,9.01 06/09/11 SEMPRA ENERGY CA 5.07 05/13/11 AMEND ShengdaTech, Inc. 3.01,4.01,8.01,9.01 06/08/11 SHUFFLE MASTER INC MN 2.02,9.01 06/08/11 Silver Falcon Mining, Inc. DE 8.01 06/14/11 Sino Green Land Corp NV 7.01 06/07/11 SINOHUB, INC. DE 8.01,9.01 06/14/11 Sky Harvest Windpower Corp. NV 9.01 06/14/11 SL INDUSTRIES INC NJ 3.01,5.02,5.07 06/08/11 SM Energy Co DE 1.01,7.01,9.01 06/14/11 SMART Modular Technologies (WWH), Inc E9 8.01,9.01 06/13/11 SOLERA HOLDINGS, INC DE 7.01,9.01 06/14/11 SOLERA HOLDINGS, INC DE 7.01,9.01 06/14/11 SOLUTIA INC DE 8.01,9.01 06/14/11 AMEND Spectra Energy Partners, LP DE 1.01,9.01 06/09/11 SPECTRANETICS CORP DE 5.07 06/09/11 SPECTRASCIENCE INC MN 7.01,9.01 06/13/11 SPS COMMERCE INC 8.01 06/14/11 STRATEGIC HOTELS & RESORTS, INC 9.01 06/09/11 AMEND Strategic Storage Trust, Inc. MD 1.01,2.01,2.03,7.01, 06/10/11 9.01 SuccessFactors, Inc. DE 5.07 06/03/11 SULPHCO INC NV 3.01,9.01 06/14/11 SUNRISE SENIOR LIVING INC DE 7.01,9.01 06/14/11 SWIFT TRANSPORTATION Co 1.01,1.02,2.03 06/08/11 SYNTROLEUM CORP DE 8.01 06/13/11 Synutra International, Inc. DE 2.02,9.01 06/14/11 SYSTEMAX INC DE 5.07 06/10/11 TARGACEPT INC 5.07 06/08/11 TAUBMAN CENTERS INC MI 7.01,9.01 06/14/11 TC PIPELINES LP DE 8.01,9.01 06/14/11 TENNANT CO MN 5.02,9.01 06/14/11 Tennessee Commerce Bancorp, Inc. TN 7.01,9.01 06/14/11 THL Credit, Inc. DE 5.07 06/09/11 THOMAS GROUP INC DE 5.02,8.01,9.01 06/09/11 Tower International, Inc. DE 1.01,1.02,2.03,9.01 06/13/11 TOYS R US INC DE 7.01,9.01 06/14/11 TRANSNET CORP DE 2.01,7.01 06/14/11 TRI CITY BANKSHARES CORP WI 5.07 06/08/11 Tri-Tech Holding, Inc. E9 8.01,9.01 06/14/11 TUCANA LITHIUM CORP. NV 1.01,9.01 06/13/11 U S GOLD CORP CO 7.01,9.01 06/14/11 UFP TECHNOLOGIES INC DE 5.02,5.07,9.01 06/08/11 ULURU INC. NV 1.01,9.01 06/13/11 United States Oil & Gas Corp DE 7.01,9.01 06/14/11 UNIVERSAL HOSPITAL SERVICES INC MN 1.01,3.03,7.01,8.01, 06/09/11 9.01 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 1.01,3.02,9.01 06/10/11 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 06/13/11 AMEND URANIUM ENERGY CORP NV 7.01,9.01 06/14/11 USA TECHNOLOGIES INC PA 5.07 06/13/11 USA TRUCK INC DE 7.01,9.01 06/14/11 USG CORP DE 5.02 06/13/11 VIKING SYSTEMS INC DE 5.02 06/09/11 Vringo Inc DE 1.01,3.02,9.01 06/08/11 WASTE MANAGEMENT INC DE 5.02,9.01 06/13/11 Westway Group, Inc. DE 8.01,9.01 06/10/11 WIRELESS HOLDRS TRUST NY 8.01,9.01 06/14/11 WISCONSIN ENERGY CORP WI 7.01,9.01 06/14/11 WORLD FUEL SERVICES CORP FL 5.07 06/10/11 XCEL ENERGY INC MN 8.01 06/10/11 XL GROUP PLC L2 8.01,9.01 06/13/11 ZBB ENERGY CORP WI 1.01,9.01 06/13/11 ZION OIL & GAS INC DE 8.01,9.01 06/13/11