Chief Accountant is Seeking Candidates for Professional Accounting Fellow Positions
The Securities and Exchange Commission's Office of the Chief Accountant is now accepting applications for Professional Accounting Fellow (PAF) positions. The PAF program, which began in 1972, is designed to provide participating fellows with outstanding opportunities for public service to investors, personal development, and career advancement. During their fellowship, the successful candidates will be involved in the study and development of rule proposals under the federal securities laws, liaison with accounting, auditing and other professional standard-setting bodies, and consultation with registrants on reporting matters. The Office of the Chief Accountant plans to select candidates for the following positions:
Interested applicants should submit:
Form OF-612 and "Applying for a Federal Job," which highlights the information to be included in the resume or other written submission, can be obtained from the Office of Administrative and Personnel Management, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C., 20549. Form OF-612 is also available on the Internet at http://www.opm.gov.
Applicants are required to submit an eight to twelve page essay that they have prepared on their own on a subject directly related to a current accounting or auditing topic. While no restriction is placed on the essay topic, applicants should consider focusing their essay on a particular technical topic and supplementing their technical discussion with a consideration of one or more interrelated policy-level issues. Applicants are encouraged to consider selecting any current accounting or auditing topic on which they possess expertise.
The application and essay should be submitted on or before Jan. 13, 2012, to the Chief Accountant of the Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C., 20549. In addition to the hard copy, applicants should also e-mail their essay and resume to firstname.lastname@example.org with “PAF Application” in the e-mail subject line. Inquiries about the program may be addressed to the attention of Cecil Mak or Laura McCracken in the Office of the Chief Accountant at (202) 551-5341 and (202) 551-5302, respectively.
The Commission's policy of affording equal employment opportunity to all interested candidates will be followed.
In the Matter of Larry Lee Crawford, CPA
On September 21, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Larry Lee Crawford, CPA (Crawford). The Order finds that Crawford was Escala Group Inc.’s Chief Financial Officer and Executive Vice President from April 2001 until May 2006; that on September 9, 2011 a final judgment was entered by consent against Crawford in SEC v. Escala Group, Inc., et al. (Civil Action Number. 09-cv-2646), permanently enjoining him from future violations of Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13b2-1, and 13a-14 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder, and prohibiting Crawford for three years following the date of the final judgment from acting as an officer or director of any publicly-traded or publicly-reporting company. Crawford was ordered to pay $43,495 in disgorgement, and $21,089.75 in prejudgment interest, and a $100,000 civil money penalty.
Based on the above, the Order bars Crawford from appearing or practicing before the Commission as an accountant. After a period of three years Crawford may request that the Commission consider his reinstatement.
Crawford consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to entry of the injunction. (Rel. 34-65377; AAE Rel. 3322; File No. 3-14558)
In the Matter of Gordon A. Driver
An Administrative Law Judge has issued an Initial Decision (Decision) in Gordon A. Driver, Admin. Proc. No. 3-14161. On December 14, 2009, a final judgment was entered by consent against Gordon A. Driver (Driver) in the U.S. District Court for the Central Division of California (Western Division) permanently enjoining him from future violations of the federal securities laws.
Based on the final judgment entered by consent against Driver, the Decision finds that Driver acting as an unregistered broker, devised a ‘ponzi scheme’ when he solicited friends, neighbors, and business acquaintances to wire transfer funds into bank accounts over which he had sole discretionary authority. Driver prepared and provided false statements to certain investors and misappropriated approximately $10.7 million from new investors to pay old investors and approximately $1.1 million from investors for personal use. The Decision finds these allegations to be true. As a result, Driver violated Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act). In accordance with Section 15(b) of the Exchange Act, the Decision bars Driver from association with any broker, dealer, investment advisor, municipal securities dealer, municipal advisor, transfer agent, nationally recognized statistical rating organization, and from participating in any offering of penny stock. (Initial Decision No. 432; File No. 3-14161)
In the Matter of Barr M. Rosenberg
On September 22, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Section 9(b) of the Investment Company Act of 1940, and Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Barr M. Rosenberg (Respondent).
The Order finds that Respondent was the co-founder of institutional money manager AXA Rosenberg. He created the quantitative investment model used by AXA Rosenberg’s affiliated investment advisers for use in managing client assets, oversaw research projects to improve and enhance that model, and exercised significant authority throughout the AXA Rosenberg organization. In June 2009, Respondent learned of a significant error in the computer code of the quantitative investment model that disabled one of the model’s key components for managing risk and affected the model’s ability to perform as expected. Clients raised concerns about this underperformance, and Respondent knew about and discussed these concerns with others at AXA Rosenberg. But instead of disclosing and correcting the error immediately, Respondent directed others to conceal the error and declined to fix the error. Respondent’s efforts to contain knowledge of the error continued through early October 2009, when he denied the existence of any significant errors in the model during a board meeting discussion about the model’s performance. Knowledge of the error was kept from AXA Rosenberg’s Global CEO until November 2009 and was disclosed to clients in April 2010.
The Order further finds that due to Respondent’s misconduct, AXA Rosenberg and its affiliated investment advisers misrepresented to clients that the model’s underperformance was attributable to factors other than the error, and inaccurately stated that the model was controlling risk correctly. Respondent’s instructions to delay fixing the error caused additional client losses.
Based on the above, the Order finds that Respondent willfully violated the antifraud provisions of the Investment Advisers Act of 1940, Sections 206(1) and 206(2). The Order further requires Respondent to cease and desist from committing or causing any violations and any future violations of these provisions; orders him to pay the $2.5 million penalty; and bars him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and prohibits him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter. Respondent consented to the issuance of the Order without admitting or denying any of the findings in the proceeding. (Rels. IA-3285; IC-29818; File No. 3-14559)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-045) to revise the Series 7 Examination Program 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 September 26. (Rel. 34-65358)
A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2011-021) related to the Exchange’s Automated Improvement Mechanism 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 September 26. (Rel. 34-65371)
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-047) to revise the Series 37 Examination Program 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 September 26. (Rel. 34-65374)
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-048) to revise the Series 38 Examination Program 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 September 26. (Rel. 34-65375)
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-046) to revise the Series 17 Examination Program 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 September 26. (Rel. 34-65376)
Designation of Longer Period for Commission Action on Proposed Rule Change
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSE-2011-38) filed by the New York Stock Exchange LLC to amend Sections 102.01 and 103.01 of the Exchange’s Listed Company Manual to adopt additional listing requirements for companies applying to list after consummation of a “reverse merger” with a shell company. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65368)
Proposed Rule Change
The Options Clearing Corporation filed an amendment to proposed rule change (SR-OCC-2011-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 that provides specific authority to use an auction process as one of the means to liquidate a defaulting clearing member's accounts. Publication is expected in the Federal Register during the week of September 26. (Rel. 34-65370)
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-1 TWO RIVERS WATER Co, 2000 S COLORADO BLVD., ANNEX STE 420, DENVER, CO, 80222, 303-222-1000 - 2,122,800 ($5,307,000.00) Equity, (File 333-176932 - Sep. 21) (BR. 09A) S-1 Elevance Renewable Sciences, Inc., 175 E. CROSSROADS PARKWAY, SUITE F, BOLINGBROOK, IL, 60440, 866-625-7103 - 0 ($100,000,000.00) Equity, (File 333-176933 - Sep. 21) (BR. 06) S-8 Opexa Therapeutics, Inc., 2635 TECHNOLOGY FOREST BLVD., THE WOODLANDS, TX, 77381, (281) 272-9331 - 3,600,000 ($4,842,000.00) Equity, (File 333-176934 - Sep. 21) (BR. 01B) S-8 CHIPMOS TECHNOLOGIES BERMUDA LTD, SCIENCE BASED INDUSTRIAL PARK, R&D RD, HSINCHU TAIWAN, F5, 300, 88635770055 - 0 ($5,990,000.00) Equity, (File 333-176935 - Sep. 21) (BR. 10A) S-3 United States Natural Gas Fund, LP, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, 510-522-9600 - 0 ($1.00) Other, (File 333-176938 - Sep. 21) (BR. 08C) S-1 Cassidy Ventures Inc., #358 - 315 PLACE D?YOUVILLE, MONTREAL, A8, H2Y 0A4, (514) 221-3017 - 1,750,000 ($175,000.00) Equity, (File 333-176939 - Sep. 21) (BR. 04) S-8 Nielsen Holdings N.V., 770 BROADWAY, NEW YORK, NY, 10003, (646) 654-5000 - 0 ($146,980,300.00) Equity, (File 333-176940 - Sep. 21) (BR. 03A) S-8 Peoples Federal Bancshares, Inc., 435 MARKET STREET, BRIGHTON, MA, 02135, (617) 254-0707 - 999,810 ($13,812,375.00) Equity, (File 333-176941 - Sep. 21) (BR. 07C) S-3 TORTOISE CAPITAL RESOURCES CORP, 11550 ASH STREET, SUITE 300, LEAWOOD, KS, 66211, 913-981-1020 - 0 ($1,000,000.00) Other, (File 333-176944 - Sep. 21) (BR. 08) S-4 Marathon Petroleum Corp, 539 SOUTH MAIN STREET, FINDLAY, OH, 45840-3229, 419-422-2121 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-176945 - Sep. 21) (BR. 04B) S-8 EGPI FIRECREEK, INC., 6564 SMOKE TREE LANE, --, SCOTTSDALE, AZ, 85253, 480-948-6581 - 7,500,000 ($90,000.00) Equity, (File 333-176946 - Sep. 21) (BR. 04B) S-8 ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024, 678-473-2000 - 17,500,000 ($195,125,000.00) Equity, (File 333-176947 - Sep. 21) (BR. 11A) S-8 CIFC Corp., 250 PARK AVENUE, 5TH FLOOR, NEW YORK, NY, 10177, 212-624-1200 - 0 ($10,431,547.00) Equity, (File 333-176948 - Sep. 21) (BR. 07A) S-4 HCA Holdings, Inc., ONE PARK PLZ, NASHVILLE, TN, 37203, 6153449551 - 0 ($1,525,000,000.00) Debt, (File 333-176949 - Sep. 21) (BR. 01A) S-3ASR MCMORAN EXPLORATION CO /DE/, 1615 POYDRAS ST, NEW ORLEANS, LA, 70112, 5045824000 - 0 ($33,681,677.00) Equity, (File 333-176950 - Sep. 21) (BR. 04A) S-1 BIOZONE PHARMACEUTICALS, INC., 4400 BISCAYNE BLVD, SUITE 850, MIAMI, FL, 33137, 800-689-0930 - 8,345,310 ($34,048,865.00) Equity, (File 333-176951 - Sep. 21) (BR. 08B)
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 'mktg, inc.' DE 1.01,8.01,9.01 09/16/11 1st FRANKLIN FINANCIAL CORP GA 1.01 09/21/11 AG Mortgage Investment Trust, Inc. MD 8.01,9.01 09/16/11 AgFeed Industries, Inc. NV 5.02 09/15/11 ALLOS THERAPEUTICS INC DE 8.01 09/15/11 Alpha Natural Resources, Inc. DE 2.02,7.01,9.01 09/21/11 ALR TECHNOLOGIES INC 1.02 06/30/11 AMERICAN AIRLINES INC DE 8.01 09/21/11 AMERICAN GREETINGS CORP OH 7.01 09/21/11 AMP Holding Inc. NV 1.01,3.02,9.01 05/10/11 AMEND AMR CORP DE 8.01 09/21/11 ANALOGIC CORP MA 5.02 09/15/11 ANAVEX LIFE SCIENCES CORP. NV 1.01,5.02,9.01 09/16/11 APD ANTIQUITIES, INC. NV 1.01,9.01 09/20/11 Apollo Residential Mortgage, Inc. MD 2.02,9.01 09/15/11 Applied Nanotech Holdings, Inc TX 8.01 09/21/11 Approach Resources Inc DE 7.01,9.01 09/21/11 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 09/21/11 ARROW ELECTRONICS INC NY 8.01,9.01 09/20/11 Artio Global Investors Inc. DE 7.01,9.01 09/21/11 ATLAS AIR WORLDWIDE HOLDINGS INC DE 1.01,7.01,9.01 09/16/11 BANCORPSOUTH INC MS 8.01,9.01 09/21/11 Bank of Commerce Holdings CA 7.01,9.01 09/21/11 BED BATH & BEYOND INC NY 2.02,9.01 09/21/11 BIOLASE TECHNOLOGY INC DE 7.01,9.01 09/21/11 BMW Vehicle Owner Trust 2011-A 8.01,9.01 09/19/11 BMW Vehicle Owner Trust 2011-A 1.01,9.01 09/21/11 BOK FINANCIAL CORP ET AL OK 7.01,9.01 09/21/11 BRITTON & KOONTZ CAPITAL CORP MS 2.02,4.02,8.01 09/20/11 BROWN & BROWN INC FL 2.03 09/15/11 BUCKEYE TECHNOLOGIES INC DE 5.02,9.01 09/19/11 BUCKEYE TECHNOLOGIES INC DE 5.02,9.01 09/19/11 CALLON PETROLEUM CO DE 5.02,9.01 09/21/11 Calumet Specialty Products Partners, DE 1.01,2.03,9.01 09/19/11 Carbon Natural Gas Co DE 2.01,3.02,5.01,5.02, 02/14/11 AMEND 5.03,5.06,9.01 Caribou Coffee Company, Inc. MN 1.01,8.01,9.01 09/19/11 CEDAR FAIR L P DE 1.01 09/16/11 CENTENE CORP 5.02 09/15/11 CENTURYLINK, INC LA 8.01,9.01 09/21/11 CHEETAH OIL & GAS LTD. NV 1.01,5.02,7.01,9.01 09/16/11 China Energy CORP 5.02,9.01 09/15/11 CHINA FUND INC MD 7.01,9.01 08/31/11 China Natural Gas, Inc. DE 4.02,5.05,8.01 09/21/11 CINCINNATI FINANCIAL CORP OH 7.01,9.01 09/21/11 Circle Entertainment, Inc. DE 1.01,2.03,9.01 09/15/11 CITIZENS REPUBLIC BANCORP, INC. MI 5.02 09/16/11 COLUMBIA SPORTSWEAR CO OR 1.01,2.03,9.01 09/20/11 COMMUNICATION INTELLIGENCE CORP DE 1.01,3.02 09/20/11 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 09/21/11 CONSUMER PORTFOLIO SERVICES INC CA 2.01 09/14/11 COPART INC CA 2.02,9.01 09/20/11 CorMedix Inc. DE 8.01 09/15/11 CORPORATE PROPERTY ASSOCIATES 15 INC MD 8.01 09/14/11 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 8.01 09/14/11 Corporate Property Associates 17 - Gl MD 8.01 09/14/11 CUBIST PHARMACEUTICALS INC DE 5.07 06/02/11 AMEND CYBERDEFENDER CORP CA 3.01 09/16/11 CYCLE COUNTRY ACCESSORIES CORP NV 3.01,5.02 09/15/11 CYPRESS SEMICONDUCTOR CORP /DE/ DE 8.01,9.01 09/20/11 Delta Entertainment Group, Inc. FL 1.01,9.01 06/13/11 DITECH NETWORKS INC DE 5.03,5.07,9.01 09/20/11 DOLE FOOD CO INC DE 8.01,9.01 09/20/11 Dorman Products, Inc. PA 2.05,9.01 09/20/11 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 09/18/11 EASTERN VIRGINIA BANKSHARES INC VA 5.02,7.01,9.01 09/15/11 EDGAR ONLINE INC DE 3.01 09/16/11 El Paso Pipeline Partners, L.P. DE 2.03,9.01 09/20/11 ENBRIDGE ENERGY PARTNERS LP DE 7.01,9.01 09/21/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 09/21/11 ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 09/20/11 ESB FINANCIAL CORP PA 8.01,9.01 09/20/11 Expedia, Inc. 5.02 09/15/11 FARMER BROTHERS CO CA 5.02,9.01 09/15/11 FIRST NORTHERN COMMUNITY BANCORP CA 1.01,1.02,3.02,5.03, 09/20/11 5.07 First Physicians Capital Group, Inc. DE 7.01,9.01 09/21/11 FIRST PLACE FINANCIAL CORP /DE/ DE 4.02,8.01 09/20/11 FIRST POTOMAC REALTY TRUST MD 7.01 09/21/11 FIRST PULASKI NATIONAL CORP TN 5.07 04/28/11 AMEND FIRST ROBINSON FINANCIAL CORP DE 8.01,9.01 09/20/11 FIRSTENERGY CORP OH 5.02 09/20/11 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 09/21/11 Full Circle Capital Corp MD 2.02,9.01 09/20/11 FULLCIRCLE REGISTRY INC NV 8.01,9.01 09/20/11 FX ENERGY INC NV 7.01,9.01 09/21/11 GASTAR EXPLORATION LTD 7.01,9.01 09/21/11 GE Capital Credit Card Master Note Tr DE 1.01,9.01 09/20/11 GENERAL MILLS INC DE 2.02,9.01 09/21/11 GOLD STANDARD MINING CORP. NV 5.02 09/21/11 GOLDMAN SACHS GROUP INC DE 9.01 09/21/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/25/11 AMEND GREAT SOUTHERN BANCORP INC MD 8.01,9.01 09/21/11 GULFMARK OFFSHORE INC DE 5.07 06/07/11 AMEND GYRODYNE CO OF AMERICA INC NY 1.01,9.01 09/19/11 Harbin Electric, Inc 1.01,9.01 06/10/11 HCA Holdings, Inc. 1.01,5.02,9.01 09/15/11 HEALTHSOUTH CORP DE 7.01,9.01 09/21/11 HERCULES OFFSHORE, INC. DE 8.01 09/18/11 Homeland Security Capital CORP DE 2.04 09/15/11 HUTCHINSON TECHNOLOGY INC MN 1.01,2.03,9.01 09/16/11 IDENTIVE GROUP, INC. DE 7.01,9.01 09/21/11 IHS Inc. DE 2.02,9.01 09/21/11 IMMERSION CORP DE 1.01,1.02 09/16/11 INHIBITEX, INC. DE 8.01,9.01 09/19/11 INSIGNIA SYSTEMS INC/MN MN 8.01 09/15/11 INSPERITY, INC. DE 1.01,2.03,9.01 09/15/11 INTEGRYS ENERGY GROUP, INC. WI 5.07 05/11/11 AMEND ISECURETRAC CORP DE 1.01,2.03,9.01 09/14/11 ITRON INC /WA/ WA 5.02,8.01 09/15/11 ITT Corp IN 8.01,9.01 09/20/11 ITT Corp IN 1.01,2.03,9.01 09/15/11 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 09/20/11 JEFFERIES GROUP INC /DE/ DE 5.07 05/09/11 AMEND JEFFERSON BANCSHARES INC TN 5.02 09/20/11 KINETIC CONCEPTS INC TX 8.01,9.01 09/21/11 Kraton Performance Polymers, Inc. DE 5.02 09/15/11 LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 09/21/11 LIBERTY MEDIA CORP 8.01,9.01 09/15/11 LIBERTY STAR URANIUM & METALS CORP. NV 8.01,9.01 09/20/11 Lifevantage Corp CO 1.01,8.01,9.01 09/15/11 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.07 05/03/11 AMEND LIQUIDMETAL TECHNOLOGIES INC DE 5.03,9.01 09/19/11 Location Based Technologies, Inc. NV 8.01,9.01 09/20/11 LUBRIZOL Corp OH 2.01,2.03,3.01,3.03, 09/16/11 5.01,5.02,5.03,9.01 LUFKIN INDUSTRIES INC TX 5.02,9.01 09/19/11 LYRIS, INC. 2.02,9.01 09/21/11 LYRIS, INC. 5.02 09/21/11 Magnolia Solar Corp NV 8.01,9.01 09/21/11 MANAGEMENT NETWORK GROUP INC 5.02 09/16/11 MANHATTAN PHARMACEUTICALS INC DE 1.01 09/15/11 Market Leader, Inc. WA 1.01,2.01,9.01 09/15/11 MASTERCARD INC DE 5.02 09/21/11 AMEND MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 09/20/11 Mellanox Technologies, Ltd. L3 8.01,9.01 09/20/11 Mesa Energy Holdings, Inc. DE 5.02,7.01,9.01 09/19/11 METRO BANCORP, INC. 5.07 09/16/11 AMEND MILLER HERMAN INC MI 2.02,9.01 09/21/11 MISONIX INC NY 2.02,9.01 09/20/11 MONOLITHIC POWER SYSTEMS INC CA 8.01,9.01 09/20/11 Morgans Hotel Group Co. DE 1.01 09/15/11 Mount Knowledge Holdings, Inc. NV 1.01,2.03,3.02,9.01 06/30/11 NATURALLY ADVANCED TECHNOLOGIES INC A1 5.07 09/15/11 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 09/15/11 NETREIT, INC. MD 8.01 09/16/11 NEWS CORP 8.01,9.01 09/21/11 NORTHERN OIL & GAS, INC. 7.01,9.01 09/20/11 NOVASTAR FINANCIAL INC MD 1.01,3.03,5.03,9.01 09/15/11 NUCLEAR SOLUTIONS INC NV 7.01,8.01 09/21/11 NuStar Energy L.P. DE 7.01,9.01 09/21/11 NuStar GP Holdings, LLC DE 7.01,9.01 09/21/11 NUVASIVE INC DE 8.01,9.01 09/20/11 OptimizeRx Corp NV 1.01,1.02,3.02,9.01 09/16/11 OptimumBank Holdings, Inc. FL 3.01 09/15/11 Orexigen Therapeutics, Inc. DE 7.01,9.01 09/20/11 Orgenesis Inc. NV 5.03,9.01 09/14/11 OVERSTOCK.COM, INC DE 2.03,8.01,9.01 09/21/11 Owens Corning DE 5.02 09/15/11 PACIFIC BLUE ENERGY CORP. 5.02 09/21/11 PALOMAR MEDICAL TECHNOLOGIES INC DE 1.01,9.01 09/21/11 PARKS AMERICA, INC NV 5.03 09/21/11 PEPSICO INC NC 7.01,9.01 09/20/11 PERICOM SEMICONDUCTOR CORP CA 5.02 09/19/11 Phillips Edison - ARC Shopping Center MD 1.01 09/20/11 PIER 1 IMPORTS INC/DE DE 7.01,9.01 09/21/11 POZEN INC /NC 8.01 09/16/11 PREMIER EXHIBITIONS, INC. FL 5.02,5.03,9.01 09/16/11 PRESIDENTIAL REALTY CORP/DE/ DE 3.01,8.01,9.01 09/06/11 AMEND Protalix BioTherapeutics, Inc. FL 7.01,9.01 09/21/11 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 09/21/11 QUEPASA CORP NV 1.01,9.01 09/15/11 RADIAN GROUP INC DE 5.02 09/19/11 Rand Logistics, Inc. DE 1.01,9.01 09/16/11 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 09/21/11 RED HAT INC DE 2.02,9.01 09/21/11 Reliance Bancshares, Inc. MO 5.02 09/19/11 RETAIL OPPORTUNITY INVESTMENTS CORP DE 5.07 05/05/11 AMEND RUBICON FINANCIAL INC DE 1.01,9.01 08/12/11 RXI PHARMACEUTICALS CORP 1.01,8.01,9.01 09/19/11 Sabra Health Care REIT, Inc. MD 2.01,9.01 08/01/11 SCHAWK INC 1.01,9.01 09/15/11 SCOTTS MIRACLE-GRO CO OH 1.01,1.02,2.03,9.01 09/21/11 SELECTICA INC DE 1.01,2.03,9.01 09/20/11 SIGMATRON INTERNATIONAL INC DE 5.07 09/16/11 SILLENGER EXPLORATION CORP. NV 1.01,8.01,9.01 09/21/11 Sino Clean Energy Inc NV 5.02,9.01 09/05/11 AMEND SOLERA HOLDINGS, INC DE 5.02,9.01 09/14/11 SONESTA INTERNATIONAL HOTELS CORP NY 1.02 09/21/11 SPANISH BROADCASTING SYSTEM INC DE 3.01 09/21/11 STEELCASE INC MI 2.02,7.01,9.01 09/21/11 STEIN MART INC FL 5.02,9.01 09/16/11 SUPERTEL HOSPITALITY INC VA 3.01,9.01 09/21/11 TAIWAN FUND INC DE 7.01,9.01 08/31/11 TEAMSTAFF INC NJ 2.06,8.01 09/15/11 TECHPRECISION CORP 5.02,5.07 09/21/11 TEREX CORP DE 5.02,9.01 09/19/11 TEXAS INSTRUMENTS INC DE 8.01,9.01 09/21/11 TEXTRON INC DE 8.01,9.01 09/21/11 TIDELANDS BANCSHARES INC 8.01 09/21/11 Tiger Oil & Energy, Inc. 1.01,2.01,5.06,9.01 08/30/10 AMEND TII NETWORK TECHNOLOGIES, INC. DE 5.02,9.01 09/16/11 TORCH ENERGY ROYALTY TRUST DE 8.01,9.01 09/19/11 TORON INC. NV 5.03,5.07,9.01 09/12/11 AMEND TOYOTA MOTOR CREDIT CORP CA 1.01,2.03,9.01 09/16/11 TRANSCAT INC OH 4.01,9.01 09/19/11 Tree.com, Inc. DE 1.01,2.01,9.01 09/15/11 TRIMAS CORP DE 1.01,2.03,8.01,9.01 09/15/11 TUESDAY MORNING CORP/DE DE 5.02,9.01 09/20/11 UNIGENE LABORATORIES INC DE 8.01,9.01 09/15/11 United Continental Holdings, Inc. DE 7.01,9.01 09/21/11 USA TECHNOLOGIES INC PA 5.02 09/15/11 VALENCE TECHNOLOGY INC DE 5.02 09/15/11 VANGUARD HEALTH SYSTEMS INC DE 5.02 09/21/11 VECTREN CORP IN 1.01 09/20/11 Vestin Realty Mortgage I, Inc. 8.01 09/20/11 Vestin Realty Mortgage II, Inc MD 8.01 09/20/11 Viacom Inc. DE 5.03,9.01 09/15/11 VIRCO MFG CORPORATION DE 5.02 09/16/11 VITRAN CORP INC A6 5.02,9.01 09/15/11 Walter Energy, Inc. DE 7.01,9.01 09/20/11 WATERS CORP /DE/ DE 5.07 05/10/11 AMEND Western Gas Partners LP DE 1.01,9.01 09/20/11 WILEY JOHN & SONS, INC. NY 5.07 09/21/11 WINDSTREAM CORP DE 8.01 09/21/11 ZAXIS INTERNATIONAL INC DE 4.01,9.01 09/21/11