SEC Announces Agenda and Panelists for Roundtable on International Financial Reporting Standards
The staff of the Securities and Exchange Commission today announced the panelists and final agenda for the International Financial Reporting Standards (IFRS) Roundtable to be held July 7.
The roundtable will feature three panels representing investors, smaller public companies, and regulators. The panel discussions will focus on topics such as investor understanding of IFRS, the impact on smaller public companies, and on the benefits and challenges of incorporating IFRS into U.S. public company accounting.
The agenda and list of panelists can be found on the SEC website.
The roundtable discussion will begin at 10 a.m. and will be available by webcast on the SEC website. The webcast also will be archived for later viewing. Public seating is available on a first-come, first-served basis in the Multipurpose Room at the SEC’s headquarters at 100 F Street NE in Washington, D.C.
Members of the public who wish to provide their views on the matters to be considered at the roundtable discussion may submit comments through one of the following methods:
Send paper submissions in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090, and refer to File Number 4-600.
Any statements submitted in connection with the roundtable will be made available to the public. (Press Rel. 2011-139)
SEC’s Chief Diversity Official Ronald L. Crawford to Retire After 31 Years at SEC
The Securities and Exchange Commission today announced that Ronald L. Crawford, the SEC’s first chief diversity official, is retiring from public service this week after 31 years at the SEC.
Mr. Crawford, a senior officer, was appointed Chief Counsel for Diversity and Policy Initiatives in July 2009. He has been responsible for planning and developing programs and initiatives that would implement the SEC’s diversity policy, execute the SEC’s strategic goals on diversity, and support the SEC’s equal employment opportunity mission.
Mr. Crawford has worked on several projects, collaborating with other SEC staff to develop an executive leadership program, coordinating the activities of a diversity council planning group, serving on several special emphasis committees, participating in a number of major recruiting events, and promoting the SEC’s first student shadowing program. He participated on three federal interagency committees that are coordinating and designing the new statutorily mandated diversity and gender inclusion compliance measures for the securities and financial industries. In this role, Mr. Crawford served as a key leader preparing for the eventual establishment of the SEC’s Office of Minority and Women Inclusion under Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
“As the first person to serve as the Chief Counsel for Diversity and Policy Initiatives at the SEC, Ron has done an outstanding job of establishing the concept and demonstrating the value this position can contribute to the agency,” said Jeff Risinger, the Chief Human Capital Officer at the SEC. “The Dodd-Frank Act created the Office of Minority and Women Inclusion at each of the financial regulators, which in many ways reflects the work that Ron established long before this idea was federal law.”
Mr. Crawford has been a frequent panelist and speaker before bar associations, law schools, and professional groups on such topics as diversity, implementation of Section 342, securities law practice, and what the SEC is doing to become an “Employer of Choice.” During 2010 and 2011, Mr. Crawford was an adjunct professor of law at Howard University’s School of Law and was instrumental in connecting the SEC staff with the School of Law community of students, faculty, and administrators.
Prior to his appointment as the SEC’s senior diversity official, Mr. Crawford was the senior associate regional director for the SEC’s Atlanta Regional Office and had supervisory responsibilities for enforcement, examinations, bankruptcy, and information technology programs. He began his career at the SEC in 1980 as a staff attorney in the Division of Enforcement and served in three regional offices. During his assignments in the Enforcement Division, he supervised and played an important role in the resolution of numerous high-profile enforcement cases. While serving as a branch chief in the Philadelphia Regional Office, Mr. Crawford taught corporate law as an adjunct lecturer at the University of Pennsylvania’s Wharton School of Business from 1985 to 1987.
“I have had the privilege of first working on the SEC’s primary mission of investor protection and then having an opportunity to lead the SEC in addressing the emerging diversity issues now facing most government and private organizations,” Mr. Crawford said. “I wanted to leave the SEC well-positioned to be in the vanguard of federal agencies operating in this arena. The investments that the SEC has made in strengthening diversity and inclusion are complex and critical to mission success.”
Prior to joining the SEC staff, Mr. Crawford was a member of the faculty at St. John’s University, where he was an assistant academic dean and the director and founder of the Institute of Ethnic and Urban Affairs. Mr. Crawford received his JD from Columbia University’s School of Law, a BA in mathematics from the University of Bridgeport, an MA in mathematics education from Colgate University, and a M.Ed. and Ed.D. in educational administration from Columbia University’s Teachers College, where he was a Ford Foundation Fellow. (Press Rel. 2011-140)
SEC Provides Additional Guidance, Interim Relief and Exemptions for Security-Based Swaps Under Dodd-Frank Act
The Securities and Exchange Commission today provided additional guidance to clarify which U.S. securities laws will apply to security-based swaps starting July 16 -- the effective date of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
That Act created a new regulatory framework for over-the-counter derivatives, authorizing the SEC to regulate security-based swaps and the Commodity Futures Trading Commission to regulate other swaps. Under the Dodd-Frank Act, starting July 16, 2011, security-based swaps are defined as “securities” subject to existing federal securities laws, including the Securities Act of 1933 and the Securities Exchange Act of 1934.
As one part of today’s action, the Commission approved an order granting temporary relief and interpretive guidance to make clear that a substantial number of the requirements of the Exchange Act applicable to securities will not apply to security-based swaps when the revised definition of “security” goes into effect on July 16. Nevertheless, federal securities laws prohibiting fraud and manipulation will continue to apply to security-based swaps after that date. To enhance legal certainty for market participants, the Commission also provided temporary relief from provisions of U.S. securities laws that allow the voiding of contracts made in violation of those laws.
“As we move forward with the implementation of the Dodd-Frank Act, this temporary relief will help maintain the existing legal framework for security-based swaps under the Exchange Act until the Commission adopts new rules for these transactions,” said Robert Cook, Director of the SEC’s Division of Trading and Markets.
In addition, the Commission approved an interim final rule providing exemptions from the Securities Act, Trust Indenture Act and other provisions of the federal securities laws to allow certain security-based swaps to continue to trade and be cleared as they have pre-Dodd-Frank. That interim relief will extend until the Commission adopts rules further defining “security-based swap” and “eligible contract participant.”
The Commission previously issued guidance in this area on June 15 and plans additional steps in coming days related to the July 16 effective date. Although these actions have been approved, the Commission is seeking input from the public on today’s actions. (Press Rel. 2011-141)
SEC Division of Investment Management Names Robert Plaze as Deputy Director and Diane Blizzard as Managing Executive
The Securities and Exchange Commission today announced that Robert E. Plaze has been named Deputy Director in the Division of Investment Management and Diane C. Blizzard has been named Managing Executive of the Division.
As Deputy Director, Mr. Plaze will play an integral role in the Division’s regulatory program under the Investment Company and Investment Advisers Acts of 1940. This includes rulemaking, granting orders exempting entities from requirements of the Acts, and issuing interpretive positions under the Acts.
Mr. Plaze has been a member of the Division staff for more than 27 years. He has served in a number of positions, most recently as Associate Director for Regulatory Policy. Mr. Plaze has led numerous regulatory policy and rulemaking initiatives, and has engaged extensively with other financial regulators on behalf of the Commission on important and timely projects related to investment advisers and investment companies.
“I’m very pleased that we will have the benefit of Bob’s great experience and talent deployed across a broader scope of the Division’s work,” said Eileen Rominger, Director of the SEC’s Division of Investment Management. “In his new role, Bob will help me and other leaders in the Division appropriately prioritize our near-term regulatory agenda and longer-term initiatives, and help the Commission identify the best possible solutions to the challenging issues we face in our mission of investor protection.”
Mr. Plaze said, “This is a great opportunity to work with Eileen Rominger to further investor protections and our ambitious regulatory agenda.”
Mr. Plaze is a past recipient of the SEC’s Distinguished Service Award, and twice received the agency’s Law and Policy Award. He holds an AB and JD from Georgetown University.
Ms. Blizzard has been appointed to the newly created position of Managing Executive of the Division. Formerly the Senior Adviser to the Director, Ms. Blizzard has 11 years of experience at the SEC. Ms. Blizzard will now be responsible for the overall management of all administrative, resource allocation, and strategic planning initiatives in the Division. She also will be responsible for assessing the effectiveness of the Division’s work processes and overseeing business improvement projects to streamline workflow.
“Diane is a dynamic manager with excellent knowledge of the Division’s work,” said Ms. Rominger. “I look forward to working with her to remove any impediments to productivity and move toward the very highest standards of management practice.”
Ms. Blizzard said, “This is a critical time to examine our operations in order to optimize our resources in fulfilling our mission on behalf of the investing public. I look forward to working with the excellent staff in the Division on this very important effort.”
Earlier in her career, Ms. Blizzard served as counsel to an affiliate of the Investment Company Institute. She holds an AB from Duke University, and a JD from Georgetown University. (Press Rel. 2011-142)
Closed Meeting on Thursday, July 7, 2011 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, July 7, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; 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.
SEC Issues Temporary, Conditional Exemption From Registration Requirements for Entities Providing Certain Clearing Services for Security-Based Swaps
The Securities and Exchange Commission issued an order pursuant to Section 36 of the Securities Exchange Act of 1934 granting a temporary, conditional exemption from the clearing agency registration requirements under Section 17A(b) of the Exchange Act for entities providing certain services for security-based swaps. This exemption will be effective until the compliance date for the final rules relating to the registration of clearing agencies that clear security-based swaps pursuant to Sections 17A(i) and (j) of the Exchange Act. Publication of the proposal is expected in the Federal Register during the week of July 4. (Rel. 34-64796)
Commission Revokes Registration of Securities of Alternafuels, Inc. for Failure to Make Required Periodic Filings
On July 1, 2011, the Commission revoked the registration of each class of registered securities of Alternafuels, Inc. (ALTFD) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, ALTFD consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Alternafuels, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of ALTFD’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against ALTFD in In the Matter of Centrack International, Inc., et al., Administrative Proceeding File No. 3-14315.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Centrack International, Inc., et al., Administrative Proceeding File No. 3-14315, Exchange Act Release No. 64169 (April 4, 2011). (Rel. 34-64787; File No. 3-14315)
Final Judgments Entered Against Robert M. Esposito and Gregory A. King Ordering Over $20 Million in Disgorgement and Civil Penalties In Fraudulent Touting Case
The Securities and Exchange Commission announced today that on June 24, 2011, the Honorable Judge Richard A. Lazzara, United States District Judge for the Middle District of Florida, entered final judgments against two penny stock promoters, Robert M. Esposito and Gregory A. King, ordering them to pay $19,515,598 and $943,166, respectively, in disgorgement and civil penalties, in a fraudulent touting case the Commission filed on March 17, 2008. SEC v. Esposito, et al., No. 08 CV 494 T26 (M.D. Fla.). See Lit. Rel. No. 20499. The Court had previously entered judgments against Esposito and King permanently enjoining them from violating the anti-fraud and other provisions of the federal securities laws, and barring them from participating in any future penny stock offering. See Lit. Rel. No. 21449 (March 11, 2010).
In this action, the Commission charged that Esposito, King, and others participated in a fraudulent touting scheme of the stock of Anscott Industries, Inc. The complaint alleged that in April 2003, Esposito, a penny stock promoter, orchestrated a reverse merger between Anscott (then a private company) and Liquidix, Inc., a public shell company which, after the merger, changed its name to Anscott. According to the complaint, Esposito received 4 million shares of Anscott stock from the company as compensation for arranging the reverse merger and for future stock promotion work. The complaint further alleged that a fraudulent Form S-8 registration statement was filed with the Commission for the 4 million shares of Anscott issued to Esposito, which improperly enabled Esposito to sell these shares to the public during the fraudulent touting scheme.
As alleged in the complaint, after the reverse merger and the issuance of shares to Esposito, Esposito paid King, another penny stock promoter with whom Esposito had worked previously, to prepare and disseminate materially false and misleading tout sheets promoting Anscott stock. The Commission alleged that these tout sheets -- crafted to appear like independent investment newsletters and entitled the Wall Street Bulletin -- recommended Anscott as a “strong buy,” and were disseminated to the public through fax spamming from late May 2003 through July 2003.
According to the complaint, these tout sheets, which King prepared, contained materially false and misleading representations about Anscott’s products, business affiliations, and projected revenues. The complaint further alleged that these tout sheets failed to disclose, among other information, that Esposito, who was paid by the company to promote Anscott stock, was paying King to prepare and disseminate these “newsletters,” and that Esposito was selling his Anscott stock during the touting scheme contrary to the Wall Street Bulletin’s “strong buy” recommendation and price targets.
During the touting campaign, the price of Anscott’s stock rose from around $1.40 a share in mid-May 2003, to a high of $4.59 a share on July 11, 2003. The complaint alleged that Esposito sold most of his Anscott stock to the public, realizing millions of dollars in illicit profits.
The Court’s final judgment against Esposito orders him to pay disgorgement of $7,691,135, prejudgment interest of $4,133,326, and third tier civil penalty of $7,691,135. The judgment against Esposito also (a) permanently enjoins him from future violations of Sections 17(a), 5(a) and 5(c) of the Securities Act of 1933, Sections 10(b) and 13(d) of the Securities Exchange Act of 1934 and Exchange Act Rules 10b-5, 13d-1 and 13d-2; and (b) permanently bars him from participating in any future penny stock offerings.
The Court’s final judgment against King orders him to pay disgorgement of $358,000, prejudgment interest of $227,166, and a third tier civil penalty of $358,000. The judgment against King also (a) permanently enjoins him from future violations of Sections 17(b) of the Securities Act, Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5; and (b) permanently bars him from participating in any future penny stock offerings.
The Court previously entered final judgment against other defendants in this case, Anscott and its CEO, Jack R. Belluscio, on October 27, 2008: (1) permanently enjoining them from future violations of Sections 5(a) and 5(c) of the Securities Act, Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5; (2) permanently barring Belluscio from acting as an officer or director of a public company; (3) ordering Belluscio to pay third tier civil penalties of $240,000; and (4) ordering Anscott to pay third tier civil penalties of $1,200,000. In a related administrative proceeding, on May 7, 2008, the Commission issued an Order revoking the registration of Anscott securities pursuant to Section 12(j) of the Exchange Act. See In the Matter of Anscott Industries, Inc., Release No. 34-57791. [SEC v. Robert M. Esposito, Gregory A. King, Jack R. Belluscio and Anscott Industries, Inc., C.A. No. 08:00494 T26 (M.D. Fla.) (RAL)] (LR-22020)
Former Schottenfeld Proprietary Trader David Plate Settles SEC Insider Trading Charges
The Securities and Exchange Commission announced today that on June 28, 2011, The Honorable Jed S. Rakoff of the United States District Court for the Southern District of New York entered a judgment against David Plate in SEC v. Galleon Management, LP, et al., 09-CV-8811, an insider trading case the SEC filed on Oct. 16, 2009. The SEC charged Plate, who was a registered representative and a proprietary trader at the broker-dealer Schottenfeld Group, LLC, during the relevant time period, with using inside information to trade ahead of an impending acquisition announcement.
In its action, the SEC alleged that, in March 2007, Plate was tipped inside information that Kronos Inc. would be acquired in about a week for a substantial premium. On the basis of the material non-public information he received, Plate traded in a Schottenfeld account he managed.
To settle the SEC’s charges, Plate consented to the entry of a judgment that: (i) permanently enjoins him from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (ii) orders him to pay disgorgement of $43,876.37, plus prejudgment interest of $9,415.54. The judgment further provides that the Court later will determine issues relating to a civil penalty. Plate previously pled guilty to charges of securities fraud and conspiracy to commit securities fraud in a related criminal case, United States v. David Plate, 10-CR-0056 (S.D.N.Y.). [SEC v. Galleon Management, LP, et al., Civil Action No. 09-CV-8811 (S.D.N.Y.) (JSR)] (LR-22021)
Court Enters Final Judgment of Permanent Injunction and Other Relief Against Shawn A. Icely
The Securities and Exchange Commission announced that on June 20, 2011, the United States District Court for the Middle District of Florida entered a final judgment of permanent injunction and other relief against Defendant Shawn A. Icely. The final judgment enjoins Icely from violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. In addition to injunctive relief, the final judgment orders Icely to pay disgorgement of $391,435.26, prejudgment interest of $20,316.76, and imposes a civil penalty of $130,000. Icely consented to entry of the final judgment without admitting or denying any of the allegations in the complaint.
The Commission commenced this action by filing its complaint against Icely on Oct. 21, 2010. The complaint alleges Icely violated the antifraud provisions of the federal securities laws in connection with his misappropriation of hundreds of thousands of dollars from customers of American Portfolios Financial Services, Inc. while he was employed there as a registered representative. [SEC v. Shawn A. Icely, Civil Action No. 8:10-CV-2363-T17-EAK-AEP (M.D. Fla.)] (LR-22022)
Former StarMedia CEO Agrees to Settlement in SEC Litigation
The U.S. Securities and Exchange Commission today announced that on June 30, 2011, the U.S. District Court for the Southern District of New York entered a settled final judgment as to Fernando J. Espuelas, a co-founder of StarMedia Network, Inc. and the company’s former Chief Executive Officer. StarMedia is a now-defunct Internet portal that was based in New York City. The Commission’s amended complaint alleges that for fiscal year 2000 and the first two quarters of fiscal year 2001, StarMedia’s books and records, and its filings with the Commission, misstated the quality and amount of the company’s revenue. The amended complaint also alleges that StarMedia executives made misstatements regarding the company’s revenue to certain entities from which it was attempting to obtain financing. In its amended complaint, the Commission alleged violations of the federal securities laws by eight former StarMedia executives.
Without admitting or denying the allegations in the amended complaint, Espuelas consented to the entry of the Final Judgment permanently enjoining him from future violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 and Rule 13b2-1 promulgated under the Securities Exchange Act of 1934 (Exchange Act), and from aiding and abetting violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Exchange Act Rules 12b-20 and 13a-1, and ordering him to pay a civil penalty in the amount of $40,000. [SEC v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (RJH) (S.D.N.Y)] (LR-22023; AAE Rel. 3298)
Securities and Exchange Commission files additional claims in case against ICP Asset Management, LLC
The Securities and Exchange Commission today announced the filing of its amended complaint in its case against investment advisory firm ICP Asset Management, LLC (ICP) and its founder, owner and president, Thomas C. Priore. The additional claims seek to rescind Priore’s transfer of assets to ensure that they would be within the reach of the Court in the event the Commission is successful in the pending case in Priore, ICP, and related entities.
The Commission filed fraud charges in June 2010 against Priore, ICP, its affiliated broker-dealer ICP Securities, LLC, and holding company Institutional Credit Partners, LLC. The Commission’s civil suit, filed in the United States District Court for the District of New York, alleged that ICP and Priore repeatedly directed trading that caused certain clients to overpay for securities in order to make money for ICP and to protect other ICP clients from realizing losses.
On June 29, 2010, the Court granted leave for the Commission to amend its pending complaint. The amended complaint adds allegations that, at a time when Priore knew that the Commission’s staff expected to bring fraud charges against him and his companies, he transferred ownership of his two homes into trusts in an attempt to make them unavailable to satisfy any judgment entered by the Court against Priore.
The Commission’s amended complaint adds new claims of fraudulent conveyance under New York law and federal law against Priore (as transferor and as transferee in his capacity as trustee of certain trusts), his wife Lori A. Priore (as transferor and as transferee in her capacity as trustee of certain trusts), and Bertrand H. Smyers (as transferee in his capacity as trustee of certain trusts). The amended complaint also adds relief claims against Priore, Lori Priore, and Smyers in their role as trustees of the trusts. The amended complaint seeks a final judgment voiding the transfers of the two properties in question, and requiring the return of any ill-gotten gains from the transfers. [SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, Thomas C. Priore, Lori A. Priore, and Bertrand H. Smyers, Civil Action No. 10-CV-4791 (S.D.N.Y.)] (LR-22024)
Court Orders Investment Adviser Locke Capital Management, Inc., and its Principal, Leila C. Jenkins, to Pay Over $5 Million
The Securities and Exchange Commission announced today that on June 30, 2011, a federal judge in Rhode Island granted the Commission’s motion for summary judgment and entered final judgments against Locke Capital Management, Inc., an investment adviser based in Newport, Rhode Island and New York City, and Leila C. Jenkins, its founder and sole owner. The Commission’s Complaint against Locke and Jenkins, filed in March 2009, alleged that they invented a billion-dollar client in order to gain credibility and attract legitimate investors. The Complaint further alleged that Jenkins tried to perpetuate her scheme by lying to the Commission staff about the existence of the invented client and furnishing the staff with bogus documents in 2008, including fake custodial statements that she created on her laptop. The Court ordered that Locke and Jenkins will be jointly and severally liable for disgorgement of $1,781,520, representing advisory fees paid to them from 2007-2009, plus prejudgment interest of $110,956. In addition, each defendant was ordered to pay a penalty of $1,781,520.
According to the Complaint, filed on March 9, 2009, Jenkins repeatedly claimed that the so-called "confidential" client accounts that she invented and claimed to manage contained more than $1 billion in assets. Even as Locke began to take on genuine clients in late 2006, the assets under management of its real clients never amounted to more than a very small portion of the billion-plus dollars that Jenkins claimed to manage. From at least 2003 to 2009, falsehoods concerning the confidential accounts were made in brochures, meetings, submissions to online databases that prospective clients used to select money managers, and in SEC filings.
The Honorable William E. Smith, United States District Judge in the United States District Court for the District of Rhode Island, issued an Opinion and Order on June 30, 2011, granting the Commission’s motion for summary judgment against Jenkins and denying Jenkins’s motion for summary judgment. The Court had previously granted the Commission’s motion for default judgment against Locke in March 2010. The court entered final judgments against Jenkins and Locke on June 30, 2011. The final judgments permanently enjoin Jenkins and Locke from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 207 of the Investment Advisers Act of 1940 (Advisers Act”). The final judgment as to Locke also permanently enjoins it from violating Sections 204 and 206(4) of the Advisers Act and Rules 204-2(a)(6), (8), (10), (15), and (16), as wells as 206(4)-1(a)(5) thereunder, and the final judgment as to Jenkins further permanently enjoins her from aiding and abetting violations of the same law sections. The final judgment as to Locke further permanently enjoins it from violating Section 204A of the Advisers Act and Rule 204A-1 thereunder. The final judgments hold Locke and Jenkins jointly and severally liable for disgorgement of $1,781,520 plus prejudgment interest of $110,956, and order each defendant was ordered to pay a penalty of $1,781,520. [SEC v. Locke Capital Management, Inc. and Leila C. Jenkins, Civil Action No. 09-CV-100-WES (D.R.I.)] (LR-22025)
A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-44) extending the operation of its Supplemental Liquidity Providers pilot until the earlier of the Securities and Exchange Commission’s approval to make such pilot permanent or January 31, 2012 has become immediately 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 July 4. (Rel. 34-64772)
A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-43) extending the operation of its New Market Model pilot until the earlier of Securities and Exchange Commission approval to make such pilot permanent or January 31, 2012 has become immediately 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 July 4. (Rel. 34-64773)
A proposed rule change filed by NASDAQ OMX BX to extend a pilot program that permits BOX to have no minimum size requirement for orders entered into the price improvement period (PIP) process until July 18, 2012 (SR-BX-2011-041) 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 July 4. (Rel. 34-64779)
A proposed rule change (SR-NYSE-2011-26) submitted pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder by New York Stock Exchange LLC to delete the text of NYSE Rule 409(f), adopt the text of FINRA Rule 2232, and delete the Rule Interpretations to NYSE Rule 346 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 July 4. (Rel. 34-64782)
A proposed rule change (SR-NYSEAMEX-2011-41) submitted pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder by NYSE Amex LLC to delete the text of Rule 409(f) – NYSE Amex Equities and adopt the text of FINRA Rule 2232 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 July 4. (Rel. 34-64783)
A proposed rule change (SR-NYSEAMEX-2011-42) submitted pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder by NYSE Amex LLC to delete NYSE Amex Equities Rule 351(a)-(d) and Supplementary Material .10 and .13, adopt the text of FINRA Rule 4530, and make certain conforming changes 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 July 4. (Rel. 34-64784)
A proposed rule change (SR-NYSE-2011-27) submitted pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder by New York Stock Exchange LLC to delete NYSE Rule 351(a)-(d) and Supplementary Material .10 and .13, adopt the text of FINRA Rule 4530, and make certain conforming changes 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 July 4. (Rel. 34-64785)
Accelerated Approval of Proposed Rule Change
The Commission has issued a notice of filing of Amendment No. 2 and Order granting accelerated approval to proposed rule change, as modified by Amendment Nos. 1 and 2 thereto, by BATS Exchange (SR-BATS-2011-009) to create, on a six-month pilot basis, a Directed Order Program. Publication is expected in the Federal Register during the week of July 4. (Rel. 34-64781)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-4 CNL LIFESTYLE PROPERTIES INC, CNL CENTER AT CITY COMMONS, 450 S ORANGE AVENUE, ORLANDO, FL, 32801, 4076501000 - 0 ($400,000,000.00) Equity, (File 333-175233 - Jun. 30) (BR. 08A) S-3ASR VERIFONE SYSTEMS, INC., 2099 GATEWAY PLACE, SUITE 600, SAN JOSE, CA, 95110, (408) 232-7800 - 1,138,872 ($47,263,188.00) Equity, (File 333-175235 - Jun. 30) (BR. 03B) F-3ASR NIPPON TELEGRAPH & TELEPHONE CORP, 3-1 OTEMACHI 2-CHOME, CHIYODA-KU, TOKYO JAPAN, M0, 100-8116, 2128082203 - 0 ($0.00) Non-Convertible Debt, (File 333-175237 - Jun. 30) (BR. 11C) S-8 AUXILIUM PHARMACEUTICALS INC, 40 VALLEY STREAM PARKWAY, MALVERN, PA, 19355, 484 321 5900 - 0 ($71,362,500.00) Equity, (File 333-175238 - Jun. 30) (BR. 01A) S-8 ICU MEDICAL INC/DE, 951 CALLE AMANECER, SAN CLEMENTE, CA, 92763-6212, 949-366-2183 - 899,700 ($37,994,331.00) Equity, (File 333-175239 - Jun. 30) (BR. 10B) S-8 PVH CORP. /DE/, 200 MADISON AVENUE, NEW YORK, NY, 10016, 2123813500 - 15,648 ($1,013,364.00) Equity, (File 333-175240 - Jun. 30) (BR. 09B) S-8 LEADING BRANDS INC, SUITE 1800, 1500 WEST GEORGIA STREET, VANCOUVER, A1, V6G 2Z6, 604 685-5200 - 500,000 ($1,255,000.00) Equity, (File 333-175241 - Jun. 30) (BR. 09B) S-3 EQUITY RESIDENTIAL, EQUITY RESIDENTIAL, TWO NORTH RIVERSIDE PLAZA, SUITE 400, CHICAGO, IL, 60606, 3129281178 - 0 ($14,489,577.67) Equity, (File 333-175242 - Jun. 30) (BR. 08A) S-8 VECTREN CORP, ONE VECTREN SQUARE, EVANSVILLE, IN, 47708, 8124914000 - 1,300,000 ($35,594,000.00) Equity, (File 333-175243 - Jun. 30) (BR. 02B) S-8 Marathon Petroleum Corp, 539 SOUTH MAIN STREET, FINDLAY, OH, 45840-3229, 419-422-2121 - 23,900,000 ($890,753,000.00) Equity, (File 333-175244 - Jun. 30) (BR. 04B) S-8 Marathon Petroleum Corp, 539 SOUTH MAIN STREET, FINDLAY, OH, 45840-3229, 419-422-2121 - 15,000,000 ($559,050,000.00) Equity, (File 333-175245 - Jun. 30) (BR. 04B) F-10 IAMGOLD CORP, 401 BAY STREET, SUITE 3200, TORONTO ONTARIO CANADA, A6, M5H 2Y4, 4163604710 - 0 ($1,000,000,000.00) Equity, (File 333-175246 - Jun. 30) (BR. 04B) S-3 STAR GAS PARTNERS LP, 2187 ATLANTIC ST, STAMFORD, CT, 06902, 2033287300 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-175247 - Jun. 30) (BR. 02C) S-1 GENSPERA INC, 2511 N LOOP 1604 W, SUITE 204, SAN ANTONIO, TX, 78258, (210) 479-8112 - 7,141,290 ($17,802,482.00) Equity, (File 333-175248 - Jun. 30) (BR. 01A) S-8 ORGANA GARDENS INTERNATIONAL, 35 SOUTH AVE, PATCHOGUE, NY, 11772, 888-488-6882 - 9,800,000 ($127,400.00) Equity, (File 333-175249 - Jun. 30) (BR. 04C) S-8 APACHE CORP, 2000 POST OAK BLVD, STE 100, HOUSTON, TX, 77056-4400, 7132966000 - 25,500,000 ($2,954,940,000.00) Equity, (File 333-175250 - Jun. 30) (BR. 04B) S-1 WESTMORELAND COAL Co, 2 N CASCADE AVE, 2ND FLOOR, COLORADO SPRINGS, CO, 80903-1614, 7194422600 - 0 ($4,467,500.00) Equity, (File 333-175254 - Jun. 30) (BR. 04C) S-8 BROOKLINE BANCORP INC, 160 WASHINGTON STREET, BROOKLINE, MA, 02147, 6177303500 - 500,000 ($4,545,000.00) Equity, (File 333-175255 - Jun. 30) (BR. 07B) S-1 ABSOLUTE LIFE SOLUTIONS, INC., 45 BROADWAY, 6TH FLOOR, NEW YORK, NY, 10006, (212) 201-4070 - 124,437,090 ($228,398,267.84) Equity, (File 333-175256 - Jun. 30) (BR. 01) S-3 METALICO INC, 186 NORTH AVE EAST, 908-497-9610, CRANFORD, NJ, 07016, 908-497-9610 - 1,456,731 ($18,815,772.15) Equity, (File 333-175257 - Jun. 30) (BR. 06C) S-8 FIFTH THIRD BANCORP, 38 FOUNTAIN SQ PLZ, FIFTH THIRD CENTER, CINCINNATI, OH, 45263, 5135795300 - 43,500,000 ($529,177,500.00) Equity, (File 333-175258 - Jun. 30) (BR. 07A) S-3 NORTHSTAR REALTY, 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, NY, 10022, 212-547-2640 - 0 ($105,489,835.80) Equity, (File 333-175259 - Jun. 30) (BR. 08B) S-8 HONEYWELL INTERNATIONAL INC, 101 COLUMBIA RD, PO BOX 4000, MORRISTOWN, NJ, 07962, 9734552000 - 39,000,000 ($2,283,450,000.00) Equity, (File 333-175260 - Jun. 30) (BR. 05C) S-8 ENNIS, INC., 2441 PRESIDENTIAL PARKWAY, MIDLOTHIAN, TX, 76065, 9727759801 - 0 ($16,860,000.00) Equity, (File 333-175261 - Jun. 30) (BR. 05A) S-3 FIRST COMMUNITY BANCSHARES INC /NV/, PO BOX 989, BLUEFIELD, VA, 26406-0989, 3044879000 - 1,305,549 ($18,251,575.02) Equity, (File 333-175262 - Jun. 30) (BR. 07C) S-8 LIBERTY PROPERTY TRUST, 500 CHESTERFIELD PARKWAY, MALVERN, PA, 19355, 6106481700 - 0 ($24,630,000.00) Equity, (File 333-175263 - Jun. 30) (BR. 08B) S-8 Reis, Inc., 530 FIFTH AVENUE, 5TH FLOOR, NEW YORK, NY, 10036, 2129211122 - 1,000,000 ($8,660,000.00) Equity, (File 333-175264 - Jun. 30) (BR. 03C) S-8 Brookfield Office Properties Inc, BCE PLACE, 181 BAY STREET, SUITE 330, TORONTO, A6, M5J 2T3, 416-369-2300 - 1,000,000 ($18,320,000.00) Equity, (File 333-175265 - Jun. 30) (BR. 08A) S-3ASR SuccessFactors, Inc., 1500 FASHION ISLAND BLVD., SUITE 300, SAN MATEO, CA, 94404, (650) 645-2000 - 3,407,130 ($99,181,554.30) Equity, (File 333-175266 - Jun. 30) (BR. 03C) S-8 SuccessFactors, Inc., 1500 FASHION ISLAND BLVD., SUITE 300, SAN MATEO, CA, 94404, (650) 645-2000 - 1,348,963 ($20,033,890.53) Equity, (File 333-175267 - Jun. 30) (BR. 03C) S-8 FIRST PACTRUST BANCORP INC, 610 BAY BOULEVARD, CHULA VISTA, CA, 91910, 6196911519 - 85,000 ($1,232,800.00) Equity, (File 333-175268 - Jun. 30) (BR. 07C) S-4 VALLEY NATIONAL BANCORP, 1455 VALLEY RD, WAYNE, NJ, 07470, 9733053380 - 0 ($237,291,071.30) Equity, (File 333-175269 - Jun. 30) (BR. 07C) S-4 GUITAR CENTER, INC., 8187358800 - 0 ($979,454,894.00) Debt, (File 333-175270 - Jun. 30) (BR. 02A) S-8 GFI Group Inc., 55 WATER STREET, NEW YORK, NY, 10041, 212-968-4100 - 0 ($37,995,000.00) Equity, (File 333-175271 - Jun. 30) (BR. 08A) S-8 TIME WARNER CABLE INC., 60 COLUMBUS CIRCLE, 17TH FLOOR, NEW YORK, NY, 10023, 212-364-8200 - 20,000,000 ($1,488,800,000.00) Equity, (File 333-175272 - Jun. 30) (BR. 11A) S-8 DENBURY RESOURCES INC, 5320 LEGACY DRIVE, PLANO, TX, 75024, 9726732000 - 1,000,000 ($18,650,000.00) Equity, (File 333-175273 - Jun. 30) (BR. 04A) S-8 IMMERSION CORP, 801 FOX LANE, SAN JOSE, CA, 95131, 408-467-1900 - 4,979,263 ($41,178,505.01) Equity, (File 333-175274 - Jun. 30) (BR. 03B) S-8 LEAPFROG ENTERPRISES INC, 6401 HOLLIS ST, STE 100, EMERYVILLE, CA, 94608, 5104205000 - 0 ($67,813,098.00) Equity, (File 333-175275 - Jun. 30) (BR. 05B) S-8 RESPONSYS INC, 900 CHERRY AVENUE, 5TH FLOOR, SAN BRUNO, CA, 94066, 650-745-1700 - 19,995,708 ($183,736,939.08) Equity, (File 333-175276 - Jun. 30) (BR. 03C)
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 Financial Services CORP NC 5.07,8.01 06/27/11 ACACIA RESEARCH CORP DE 8.01 06/29/11 ACELRX PHARMACEUTICALS INC DE 1.01,1.02,2.03,3.02, 06/29/11 9.01 ADVANCED BATTERY TECHNOLOGIES, INC. DE 8.01,9.01 06/30/11 Advaxis, Inc. DE 8.01 06/24/11 Advaxis, Inc. DE 8.01 06/24/11 AMEND Affinity Gaming, LLC NV 8.01,9.01 06/29/11 AFLAC INC GA 1.01,2.03,9.01 06/30/11 Alamo Energy Corp. NV 7.01,9.01 06/30/11 ALANCO TECHNOLOGIES INC AZ 1.01,9.01 06/29/11 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 06/30/11 Alpha Natural Resources, Inc. DE 9.01 06/30/11 ALTAIR NANOTECHNOLOGIES INC 5.07 06/23/11 ALTRIA GROUP, INC. VA 1.01,1.02,2.03,9.01 06/30/11 AMERICAN APPAREL, INC DE 5.02 06/24/11 American Energy Fields, Inc. DE 5.03,9.01 06/28/11 AMERICAN SCIENCE & ENGINEERING, INC. MA 8.01,9.01 06/29/11 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,3.02,9.01 06/29/11 AMGEN INC DE 1.01,9.01 06/27/11 AMICUS THERAPEUTICS INC DE 5.02,9.01 06/28/11 AMP Holding Inc. NV 1.01,3.02,9.01 05/10/11 AMEND ANCHOR BANCORP WISCONSIN INC WI 5.02,9.01 06/29/11 ANSYS INC DE 1.01,8.01,9.01 06/29/11 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 06/30/11 AP PHARMA INC /DE/ DE 1.01,3.02,5.03,5.07, 06/29/11 8.01,9.01 Apartment Trust of America, Inc. 1.01,5.02,5.03,5.07, 06/28/11 8.01,9.01 APOLLO GROUP INC AZ 2.02,5.02,9.01 06/30/11 Apps Genius Corp NV 1.01,2.03,9.01 06/28/11 ARMSTRONG WORLD INDUSTRIES INC PA 5.07 06/30/11 ARROW FINANCIAL CORP NY 5.02,9.01 06/29/11 ARTVENTIVE MEDICAL GROUP, INC. NV 5.03,9.01 06/29/11 ASIA GLOBAL HOLDINGS CORP. NV 5.01,5.02 06/20/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 06/30/11 AVISTA CORP WA 8.01 06/28/11 BALLANTYNE STRONG, INC. DE 2.03,3.03,9.01 06/28/11 BankFinancial CORP 5.07,9.01 06/28/11 Banks.com, Inc. FL 5.07 06/24/11 BARD C R INC /NJ/ NJ 8.01 06/30/11 BECKMAN COULTER INC DE 1.01,2.01,2.04,3.01, 06/24/11 3.02,3.03,5.01,5.03, 9.01 Bio-Carbon Systems International Inc. NV 5.02 06/27/11 Bohai Pharmaceuticals Group, Inc. NV 4.01 06/24/11 Bonanza Goldfield Corp. NV 5.02 06/28/11 BORGWARNER INC DE 1.01,2.03,9.01 06/30/11 Boston Therapeutics, Inc. DE 1.01,9.01 06/24/11 CADENCE PHARMACEUTICALS INC 8.01 06/30/11 CAI International, Inc. 1.01,9.01 06/27/11 CalAmp Corp. DE 2.02,9.01 06/30/11 CALLAWAY GOLF CO DE 7.01,9.01 06/29/11 Calumet Specialty Products Partners, DE 1.01,2.03,9.01 06/24/11 CANTERBURY PARK HOLDING CORP MN 8.01,9.01 06/30/11 CARMAX INC VA 5.02,5.07,9.01 06/27/11 CARPENTER TECHNOLOGY CORP DE 1.01,9.01 06/30/11 Carter Validus Mission Critical REIT, MD 8.01 06/27/11 CARTERS INC DE 7.01 06/30/11 CARVER BANCORP INC DE 2.02 06/30/11 Castle Brands Inc FL 2.02,9.01 06/30/11 Cavico Corp 3.01,9.01 06/24/11 CDW Corp DE 1.01,1.02,2.03,9.01 06/24/11 CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 06/29/11 CHESAPEAKE ENERGY CORP OK 7.01,9.01 06/29/11 Chesapeake Lodging Trust MD 1.01,2.03,9.01 06/30/11 CHINA AMERICA HOLDINGS, INC. FL 7.01,9.01 06/30/11 CHINA EDUCATION ALLIANCE INC. NC 5.02,9.01 06/30/11 China Infrastructure Investment CORP NV 5.02,5.07 06/27/11 China Integrated Energy, Inc. DE 4.02 06/27/11 CHINA YIDA HOLDING, CO. 5.07 06/26/11 CHRISTOPHER & BANKS CORP DE 1.01,2.02,9.01 06/29/11 CITIZENS SOUTH BANKING CORP DE 2.01,9.01 04/15/11 AMEND CITY HOLDING CO WV 7.01,9.01 06/30/11 CLAYTON WILLIAMS ENERGY INC /DE DE 5.02,9.01 06/28/11 CNO Financial Group, Inc. DE 7.01,9.01 06/30/11 Compressco Partners, L.P. DE 1.01,2.03,9.01 06/24/11 CONCURRENT COMPUTER CORP/DE DE 5.03,5.07,9.01 06/29/11 CONSOLIDATED TOMOKA LAND CO FL 1.01,2.03,9.01 06/28/11 CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 06/30/11 CONSTELLATION ENERGY GROUP INC MD 8.01 06/30/11 CORCEPT THERAPEUTICS INC DE 8.01,9.01 06/30/11 CORINTHIAN COLLEGES INC 2.03,8.01 06/29/11 Crexendo, Inc. DE 8.01,9.01 06/30/11 CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 06/30/11 CROWN MEDIA HOLDINGS INC DE 7.01,9.01 06/29/11 CURAXIS PHARMACEUTICAL Corp NV 5.02,5.03,9.01 06/24/11 CYTTA CORP. NV 1.01,9.01 06/24/11 DANAHER CORP /DE/ DE 1.01,2.01,2.03,9.01 06/24/11 DARDEN RESTAURANTS INC FL 2.02,9.01 06/30/11 DCT Industrial Trust Inc. MD 5.02 06/30/11 Delek US Holdings, Inc. 1.02,9.01 06/28/11 DELTA AIR LINES INC /DE/ DE 5.07 06/30/11 DELTA NATURAL GAS CO INC KY 1.01,2.03,9.01 06/27/11 DemandTec, Inc. DE 2.02,9.01 06/30/11 Diligent Board Member Services, Inc. DE 1.01 06/27/11 DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 06/30/11 DOCUMENT SECURITY SYSTEMS INC NY 1.01,1.02,2.03,9.01 06/29/11 DUNE ENERGY INC DE 5.07 06/28/11 DXP ENTERPRISES INC TX 5.07 06/30/11 DYNAMICS RESEARCH CORP MA 8.01 06/22/11 ECHELON CORP DE 5.02,9.01 06/30/11 Echo Therapeutics, Inc. DE 3.01,9.01 06/28/11 EMISPHERE TECHNOLOGIES INC DE 1.01,3.02,8.01,9.01 06/30/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01,9.01 06/30/11 ENER1 INC FL 1.01,9.01 06/29/11 ENERGY FOCUS, INC/DE DE 8.01 06/29/11 Energy Transfer Equity, L.P. DE 7.01,8.01,9.01 06/30/11 ENGLOBAL CORP NV 5.02,9.01 06/30/11 ENGLOBAL CORP NV 8.01,9.01 06/29/11 Enstar Group LTD D0 5.07 06/28/11 ESSA Bancorp, Inc. PA 5.07 03/03/11 AMEND EURO GROUP OF COMPANIES, INC. DE 5.02 06/30/11 EXELON CORP PA 8.01 06/30/11 EXPLORE ANYWHERE HOLDING CORP NV 8.01 06/30/11 Federal Home Loan Bank of Atlanta X1 2.03 06/30/11 Federal Home Loan Bank of Chicago X1 2.03 06/27/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/28/11 Federal Home Loan Bank of Des Moines X1 2.03 06/28/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/30/11 Federal Home Loan Bank of New York X1 2.03,9.01 06/27/11 Federal Home Loan Bank of New York X1 8.01 06/30/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/27/11 Federal Home Loan Bank of San Francis X1 2.03 06/27/11 Federal Home Loan Bank of Seattle 2.03 06/27/11 Federal Home Loan Bank of Topeka 2.03,9.01 06/27/11 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.02,9.01 06/30/11 FIRST FINANCIAL BANKSHARES INC TX 1.01,9.01 06/30/11 FLORIDIAN FINANCIAL GROUP INC 5.02,9.01 06/30/11 FREESTONE RESOURCES, INC. NV 1.01,9.01 06/30/11 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 06/30/11 FULL HOUSE RESORTS INC DE 1.01,9.01 06/28/11 GASTAR EXPLORATION LTD 8.01,9.01 06/29/11 GBS Enterprises Inc NV 7.01,9.01 03/14/11 AMEND GENCORP INC OH 2.02,7.01,9.01 06/30/11 GENESIS ENERGY LP DE 1.01,7.01,9.01 06/24/11 GENSPERA INC DE 7.01 06/29/11 GENUINE PARTS CO GA 7.01,9.01 06/30/11 Golden Minerals Co 1.01,9.01 06/24/11 GOLDMAN SACHS GROUP INC DE 9.01 06/30/11 Green Technology Solutions, Inc. DE 8.01,9.01 06/30/11 GRYPHON GOLD CORP NV 7.01,9.01 06/30/11 H&Q HEALTHCARE INVESTORS MA 8.01,9.01 06/30/11 H&Q LIFE SCIENCES INVESTORS MA 8.01,9.01 06/30/11 HANMI FINANCIAL CORP DE 8.01,9.01 06/30/11 Hartman Short Term Income Properties MD 2.01 06/30/11 HELICOS BIOSCIENCES CORP DE 5.02 06/26/11 HERITAGE OAKS BANCORP CA 7.01,9.01 06/30/11 Highpower International, Inc. DE 7.01,8.01,9.01 06/24/11 Hines Global REIT, Inc. MD 8.01 06/30/11 HOLLY ENERGY PARTNERS LP DE 5.02 06/24/11 Homeowners Choice, Inc. FL 1.01,5.02 06/27/11 Horizon Technology Finance Corp DE 8.01,9.01 06/30/11 Horsehead Holding Corp 7.01,9.01 06/29/11 IDEX CORP /DE/ DE 1.01,1.02,2.03,9.01 06/27/11 IDO Security Inc. NV 5.02 06/24/11 III TO I MARITIME PARTNERS CAYMAN I L 1.01,2.01,9.01 06/24/11 IMAGENETIX INC /NV/ NV 5.02 06/30/11 inContact, Inc. DE 1.01,5.02,9.01 06/27/11 Inland Diversified Real Estate Trust, MD 9.01 06/30/11 AMEND INSIGNIA SYSTEMS INC/MN MN 8.01 06/20/11 INTER PARFUMS INC DE 1.01 06/30/11 INTERFACE INC GA 1.01,2.03,9.01 06/28/11 INVESTORS REAL ESTATE TRUST ND 2.02,7.01,8.01,9.01 06/30/11 INVIVO THERAPEUTICS HOLDINGS CORP. NV 4.02 06/23/11 JACKSONVILLE BANCORP INC /FL/ FL 5.02 06/23/11 Jiangbo Pharmaceuticals, Inc. FL 5.07 06/27/11 Kearny Financial Corp. X1 5.02,9.01 06/30/11 KEYW HOLDING CORP MD 8.01 06/30/11 KFORCE INC FL 8.01 06/29/11 KILROY REALTY CORP MD 1.01,9.01 06/27/11 KNIGHT CAPITAL GROUP, INC. DE 1.01,2.03,9.01 06/29/11 Kodiak Oil & Gas Corp B0 9.01 06/29/11 Kodiak Oil & Gas Corp B0 2.01,2.03,3.02,7.01, 06/30/11 9.01 KOSS CORP DE 8.01,9.01 06/24/11 Kraton Performance Polymers, Inc. DE 7.01,9.01 06/30/11 LABRANCHE & CO INC DE 2.01,3.01,3.03,4.01, 06/28/11 5.01,5.02,5.03,8.01, 9.01 LEAPFROG ENTERPRISES INC 5.02,9.01 06/02/11 AMEND LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 06/29/11 LianDi Clean Technology Inc. NV 2.02,9.01 06/30/11 LIBERTY PROPERTY TRUST MD 8.01,9.01 06/30/11 LILLY ELI & CO IN 7.01,9.01 06/30/11 LINDSAY CORP DE 2.02,9.01 06/29/11 Live Nation Entertainment, Inc. DE 5.02,9.01 06/28/11 Loto Inc. NV 1.01,5.02 06/02/11 MANHATTAN BRIDGE CAPITAL, INC NY 5.02,9.01 06/30/11 MAXIMUS INC VA 8.01,9.01 06/30/11 MB FINANCIAL INC /MD 8.01 06/30/11 MCCORMICK & CO INC MD 2.02,9.01 06/30/11 MEDICIS PHARMACEUTICAL CORP DE 5.02 06/24/11 MEDINA INTERNATIONAL HOLDINGS, INC. CO 1.01,3.02,9.01 06/28/11 MEMSIC Inc 5.07 06/29/11 METHODE ELECTRONICS INC DE 2.02,9.01 06/30/11 MEXCO ENERGY CORP CO 2.02,9.01 06/30/11 MEXCO ENERGY CORP CO 8.01,9.01 06/30/11 MITEL NETWORKS CORP 2.02,9.01 06/30/11 MONMOUTH REAL ESTATE INVESTMENT CORP MD 8.01 06/29/11 MONTPELIER RE HOLDINGS LTD 7.01,9.01 06/30/11 MORGAN STANLEY DE 1.01,9.01 06/30/11 MOSAIC CO 8.01 06/27/11 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 06/27/11 MSC INDUSTRIAL DIRECT CO INC NY 2.02,9.01 06/30/11 MWI Veterinary Supply, Inc. DE 1.01 06/30/11 MWI Veterinary Supply, Inc. DE 5.07 06/30/11 AMEND National CineMedia, Inc. DE 8.01,9.01 06/29/11 NATIONAL PROPERTY INVESTORS 5 CA 1.01,9.01 06/27/11 NeoStem, Inc. DE 5.02 06/29/11 NeoStem, Inc. DE 4.01,9.01 06/23/11 AMEND NEW YORK MORTGAGE TRUST INC MD 8.01,9.01 06/30/11 NEXTERA ENERGY INC FL 2.03 06/30/11 NORTH CENTRAL BANCSHARES INC IA 8.01,9.01 06/30/11 Nova Lifestyle, Inc. NV 1.01,2.01,3.02,5.01, 06/27/11 5.02,5.03,5.06,8.01, 9.01 Nova Lifestyle, Inc. NV 4.01 06/30/11 NUCLEAR SOLUTIONS INC NV 5.02 06/30/11 OM GROUP INC DE 5.02,9.01 06/28/11 Opexa Therapeutics, Inc. TX 5.02,9.01 06/27/11 ORAGENICS INC FL 1.01,9.01 06/29/11 ORBIT INTERNATIONAL CORP DE 1.01 06/29/11 PACIFIC ENTERPRISES INC CA 8.01 06/30/11 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 06/27/11 PARK NATIONAL CORP /OH/ OH 8.01 06/24/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,2.03,9.01 06/29/11 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 06/28/11 PHH CORP MD 1.01,9.01 06/24/11 Platinum Studios, Inc. CA 5.02 06/10/11 PLATINUM UNDERWRITERS HOLDINGS LTD D0 1.01,2.03,9.01 06/24/11 Porter Bancorp, Inc. KY 1.01,9.01 06/24/11 POW! ENTERTAINMENT, INC. DE 8.01,9.01 06/27/11 PRE PAID LEGAL SERVICES INC OK 7.01,9.01 06/30/11 PRECISION OPTICS CORPORATION INC MA 1.01,9.01 06/28/11 PREFERRED APARTMENT COMMUNITIES INC MD 7.01,9.01 06/30/11 PREFERRED APARTMENT COMMUNITIES INC MD 9.01 04/15/11 AMEND PREFERRED APARTMENT COMMUNITIES INC MD 9.01 04/21/11 AMEND PROGRESSIVE CORP/OH/ OH 7.01,9.01 06/30/11 PROGRESSIVE CORP/OH/ OH 8.01 06/30/11 PROTECTIVE LIFE CORP DE 5.02 06/29/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 06/30/11 RADIANT LOGISTICS, INC DE 5.02 06/30/11 RAYMOND JAMES FINANCIAL INC FL 1.01,7.01,9.01 06/29/11 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 06/30/11 REDtone Asia Inc NV 2.01,9.01 08/02/10 AMEND RENASANT CORP MS 8.01,9.01 06/29/11 RENASANT CORP MS 5.07 04/19/11 AMEND RENTRAK CORP OR 5.02 06/24/11 Resume In Minutes, Inc. NV 2.01,3.02,5.01,5.02, 06/24/11 5.06,7.01,9.01 Rhino Resource Partners LP DE 8.01 06/24/11 RICKS CABARET INTERNATIONAL INC TX 5.02,9.01 06/30/11 ROBERTS REALTY INVESTORS INC GA 1.01,9.01 06/30/11 ROBERTS REALTY INVESTORS INC GA 8.01,9.01 06/30/11 ROYAL GOLD INC DE 8.01 06/29/11 SANDY SPRING BANCORP INC MD 5.02,9.01 06/29/11 SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 06/30/11 SCOTTS MIRACLE-GRO CO OH 5.02,9.01 06/27/11 Scripps Networks Interactive, Inc. OH 8.01,9.01 06/30/11 ServisFirst Bancshares, Inc. DE 3.02,7.01,9.01 06/30/11 Shire plc 2.01,8.01,9.01 06/28/11 ShoreTel Inc CA 5.02 06/28/11 SIGNET JEWELERS LTD 8.01 06/30/11 SINGLE TOUCH SYSTEMS INC DE 5.02 06/27/11 SINOCOKING COAL & COKE CHEMICAL INDUS FL 5.07 06/24/11 SMITH & WESSON HOLDING CORP NV 2.02,9.01 06/30/11 Sona Resources, Inc. NV 5.03,8.01,9.01 06/30/11 SONOCO PRODUCTS CO SC 5.02 06/25/11 SOTHEBYS DE 2.05 06/27/11 SOUTH AMERICAN GOLD CORP. NV 5.02,9.01 06/24/11 SOUTH DAKOTA SOYBEAN PROCESSORS LLC 1.01,2.03,9.01 05/12/11 AMEND Southern National Bancorp of Virginia VA 8.01,9.01 06/29/11 Spirit Airlines, Inc. DE 1.01,8.01 06/24/11 SRA INTERNATIONAL INC DE 8.01,9.01 06/30/11 STATE INVESTORS BANCORP, INC. 8.01,9.01 06/30/11 SuccessFactors, Inc. DE 1.01,2.01,3.02,9.01 06/28/11 SUNPOWER CORP DE 5.01 06/28/11 SUPERVALU INC DE 8.01,9.01 06/15/11 Suspect Detection Systems, Inc. DE 5.02,9.01 06/21/11 Suspect Detection Systems, Inc. DE 1.01 06/27/11 SYNALLOY CORP DE 5.02 06/30/11 SYNTROLEUM CORP DE 1.01,9.01 06/30/11 T3 Motion, Inc. DE 8.01,9.01 06/30/11 TANDY BRANDS ACCESSORIES INC DE 5.02,9.01 06/24/11 TEAM HEALTH HOLDINGS INC. DE 2.03,9.01 06/29/11 TEL INSTRUMENT ELECTRONICS CORP NJ 2.02 06/30/11 TENGASCO INC TN 8.01,9.01 06/30/11 TENGION INC DE 5.02,9.01 06/30/11 TETRA TECHNOLOGIES INC DE 1.01,9.01 06/20/11 Tiga Energy Services Inc. NV 5.07 06/27/11 TII NETWORK TECHNOLOGIES, INC. DE 5.02 06/27/11 TRANSATLANTIC PETROLEUM LTD. D0 5.07 06/27/11 Transocean Ltd. V8 5.02,9.01 06/29/11 TREY RESOURCES INC DE 5.03,9.01 06/27/11 Trio Merger Corp. DE 8.01,9.01 06/24/11 TRUSTCO BANK CORP N Y NY 1.01,8.01,9.01 06/29/11 UMH PROPERTIES, INC. MD 8.01 06/29/11 UNIVERSAL TRAVEL GROUP NV 1.01 04/15/11 UNIVEST CORP OF PENNSYLVANIA PA 8.01 06/29/11 USEC INC DE 1.01,9.01 06/30/11 VASCO DATA SECURITY INTERNATIONAL INC DE 5.07 06/16/11 Verdant Automotive Corp 1.01,3.02,5.02,5.07, 06/24/11 7.01,9.01 VIAD CORP DE 8.01,9.01 06/30/11 VISTA GOLD CORP B0 7.01 06/27/11 VIVUS INC CA 8.01,9.01 06/30/11 WACCAMAW BANKSHARES INC NC 3.01,8.01,9.01 06/24/11 WELLPOINT, INC IN 5.02,9.01 06/29/11 WELLS FARGO & CO/MN DE 9.01 06/30/11 Willbros Group, Inc.\NEW\ 5.02 06/28/11 WORTHINGTON INDUSTRIES INC OH 2.02,7.01 06/30/11 WWA GROUP INC NV 4.01 05/13/10 AMEND Yayi International Inc DE 2.02,9.01 06/30/11 Z3 ENTERPRISES, INC. NV 1.02 03/24/11 Z3 ENTERPRISES, INC. NV 5.01 09/03/10 AMEND Zoo Entertainment, Inc DE 1.01,1.02,9.01 06/24/11