Commission Suspends Trading in the Securities ofBB Liquidation Inc., Formerly Known as Blockbuster Inc.
The Securities and Exchange Commission (“Commission”) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of BB Liquidation Inc. (“BB Liquidation”), formerly known as Blockbuster Inc., commencing at 9:30 a.m. EDT, September 29, 2011, and terminating at 11:59 p.m. EDT, on October 12, 2011.
The Commission temporarily suspended trading in the securities of BB Liquidation because there is a lack of current and accurate information concerning the company’s securities due to assertions in third-party press releases to investors concerning, among other things, the company’s current financial condition and business prospects. This order was entered pursuant to Section 12(k) of the Exchange Act.
BB Liquidation filed for bankruptcy protection on September 23, 2010. On May 2, 2011, Dish Network Corporation (“Dish”) announced that it had completed the purchase of the assets of Blockbuster the previous week, with Blockbuster L.L.C., a newly formed entity, becoming a wholly owned subsidiary of Dish. On September 28, 2011, BB Liquidation announced that as a result of the asset sale to Dish, BB Liquidation has “no further business operations nor assets to liquidate,” and there will be “no value for the common shareholders in the bankruptcy liquidation process, even under the most optimistic of scenarios.” This followed BB Liquidation’s prior disclosure in its Form 10-K filed on July 12, 2011 that the bankruptcy trustee was “winding up the Company’s business” and the trustee expected to convert the bankruptcy case to a Chapter 7 liquidation, at which point its “corporate existence will be terminated” and its “shares of common and preferred stock will be cancelled.”
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 they have 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 quotation 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 BB Liquidation’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. (Rel. 34-65441)
SEC to Hold Roundtable on Conflict Minerals
The Securities and Exchange Commission today announced that it will host a public roundtable next month to discuss the agency’s required rulemaking under Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which relates to reporting requirements regarding conflict minerals originating in the Democratic Republic of the Congo and adjoining countries.
The event will take place on October 18 from 12:30 p.m. to 5:15 p.m. and will provide a forum for various stakeholders to exchange views and provide input on issues related to the SEC’s required rulemaking. The panel discussions will focus on key regulatory issues such as appropriate reporting approaches for the final rule, challenges in tracking conflict minerals through the supply chain, and workable due diligence and other requirements related to the rulemaking.
“We are committed to writing an effective rule as soon as possible, and the roundtable will help us do that,” said Meredith Cross, Director of the SEC’s Division of Corporation Finance.
Roundtable panelists are expected to reflect the views of different constituencies, including affected issuers, human rights organizations, and other stakeholders. A final agenda including a list of participants will be announced closer to the date of the roundtable.
The roundtable will be held in the auditorium at the SEC’s headquarters at 100 F Street NE in Washington D.C. The roundtable will be open to the public with seating on a first-come, first-served basis, and the discussion also can be viewed via live webcast on the SEC website. (Press Rel. 2011-197)
SEC Staff Issues Risk Alert on Master/Subaccount Risks
The staff of the Securities and Exchange Commission today issued a Risk Alert warning of significant concerns regarding trading through sub-accounts, and offered suggestions to help securities industry firms address those risks.
Money laundering, insider trading, market manipulation, account intrusions, unregistered broker-dealer activity, and excessive leverage are all potential risks associated with the master/sub-account trading model, according to the alert. Customers who open master accounts with a registered broker-dealer usually subdivide it for use by individual traders or groups of traders. In some instances, the sub-accounts may be divided to such an extent that the master account customer and the firm where the account is held might not know the identity of the traders in the sub-accounts.
“Although master/sub-account arrangements have legitimate business purposes, some customers may use them as vehicles for illegal activity, or in an attempt to avoid or minimize regulatory obligations and oversight,” said Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, whose national examination staff issued the alert.
The alert includes suggestions for broker-dealers to address concerns arising from trading in sub-accounts and to comply with the SEC’s Market Access Rule, which requires broker-dealers to have controls and procedures to limit risks associated with offering market access to customers, including those with master/sub-accounts.
“When a broker-dealer offers master/sub-accounts, this includes an obligation to reasonably design controls and procedures that address the types of risks that we identify in this report. Our national examination staff intends to scrutinize the controls and procedures at broker-dealers that offer market access to master/sub-account customers,” Mr. di Florio said.
Possible approaches include:
This is the first in a continuing series of Risk Alerts that the SEC’s examination staff expects to issue.
The following staff contributed substantially to preparing this Risk Alert: Julius Leiman-Carbia, Robert Sollazzo, Rosanne Smith, George Kramer, Laura Magyar and John Guidroz.
For more information contact: Carlo di Florio, Director, Office of Compliance Inspections and Examinations, 202-551-6200; Julius Leiman-Carbia, Associate Director, Office of Compliance Inspections and Examinations, 212-336-0970; or George Kramer, Senior Counsel to the Director, Office of Compliance Inspections and Examinations, 202-551-8959.
(Press Rel. 2011-198)
In the Matter of Hector Gallardo
An Administrative Law Judge has issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Hector Gallardo, Admin. Proc. No. 3-14139. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on November 24, 2010, pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Exchange Act). The OIP alleges that Respondent Hector Gallardo (Gallardo) fabricated an investment vehicle and made misrepresentations to two Bolivian investors for the purpose of enriching himself. The Default Order finds the allegations of the OIP to be true.
In the public interest, the Default Order requires that Gallardo cease and desist from committing or causing any violations, or any future violations, of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act, and Rule 10b-5, thereunder. Further, the Default Order bars Gallardo from association with any broker, dealer, investment adviser, municipal securities dealer, transfer agent, NRSRO, and from participating in any offering of penny stock, orders the disgorgement of ill-gotten gains of $876,193, prejudgment interest of $178,682.58 plus any additional prejudgment interest that accrues prior to Respondent’s disgorgement, and orders third-tier civil monetary penalties of $260,000. (Rel. 34-65422; File No. 3-14139)
In the Matter of Wayde M. McKelvy
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanction by Default (Default Order) in Wayde M. McKelvy, Admin. Proc. No. 3-14345. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on April 20, 2011, pursuant to Section 15(b) of the Securities Exchange Act of 1934. The OIP alleges that judgment was entered against Wayde M. McKelvy (McKelvy) on April 5, 2011, permanently enjoining him from violating various provisions of the securities laws in connection with wrongdoing while acting as an unregistered broker-dealer. McKelvy failed to file an Answer or participate in the prehearing conference, and has not otherwise defended the proceeding. Accordingly, the Default Order finds the allegations of the OIP to be true.
The Default Order bars Wade M. McKelvy from association with a broker, dealer, investment adviser, municipal securities dealer, NRSRO, and transfer agent, and from participating in a penny stock offering. (Rel. 34-65423; File No. 3-14345)
In the Matter of Michael C. Pattison, CPA
An Administrative Law Judge has issued an Initial Decision (Decision) in Michael C. Pattison, CPA, Admin. Proc. No. 3-14323. On February 23, 2011, a final judgment was entered against Michael C. Pattison (Pattison) in the U.S. District Court for the Northern District of California permanently enjoining him from violations of the federal securities laws.
Based on the final judgment entered against Pattison after a jury trial, the Decision finds that Pattison failed to properly account for backdated stock options while employed as controller of Embarcadero Technologies, Inc. (Embarcadero), from 2000 to 2004. Pattison’s misconduct involved over $14 million in understated corporate expenses, and necessitated a financial restatement by Embarcadero. The Decision finds these facts to be true. As a result, Pattison violated Rule 102(e)(3) of the Securities and Exchange Commission’s (Commission) Rules of Practice. The Decision permanently denies Pattison the privilege of appearing or practicing before the Commission. (Initial Decision No. 434; File No. 3-14323)
SEC v. Christopher A. Seeley and Justin G. Dickson
The Securities and Exchange Commission announced that, on September 28, 2011, it filed a civil action in the United States District Court for the District of Utah against Christopher A. Seeley, a resident of Herriman, Utah, and Justin G. Dickson, a resident of Salt Lake City, Utah, alleging that each of the Defendants violated the antifraud, securities offering registration, and broker-dealer registration provisions of the federal securities laws.
In its Complaint, the Commission alleges that Seeley conducted a fraudulent offering through two entities, AVF, Inc. and AV Funding, LLC (collectively, Alden View), and that Dickson conducted a fraudulent offering through AV Funding, LLC. According to the Complaint, from 2006 to 2009, Alden View raised $7.9 million from investors through the sale of promissory notes by representing to investors that Alden View was engaged a sophisticated real-estate lending business. In reality, Alden View funneled the majority of its investors’ funds into two Ponzi schemes that were run by its most significant borrowers. In doing so, Seeley and Dickson misled investors regarding, among other things: Alden View’s primary borrower’s loan and payment history, the security obtained by Alden View from its borrowers, and Alden View’s due diligence and knowledge of how its borrowers were using investor funds.
The Complaint alleges that, based on this conduct, Seeley and Dickson violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The Commission seeks permanent injunctions, disgorgement and civil penalties against Seeley and Dickson. [SEC v. Christopher A. Seeley and Justin G. Dickson, Civil Action No., 2:11-CV-00907-DN (D. Utah)] (LR-22108)
SEC Settles Litigation With Former CFO of AOL Time Warner Inc. and With Former CFO of the AOL Division
The U.S. Securities and Exchange Commission today announced that, on September 6, 2011, the U.S. District Court for the Southern District of New York entered a settled final judgment against J. Michael Kelly, the former CFO of AOL Time Warner Inc. and that on July 19, 2010, the district court entered a settled final judgment against Joseph A. Ripp, the former CFO of the AOL Division of AOL Time Warner, in SEC v. John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker, Civil Action No. 08 CV 4612 (CM)(GWG) (S.D.N.Y. filed May 19, 2008). The final judgments resolve the Commission’s case against Kelly and Ripp. The Commission’s complaint alleges that the defendants participated in an effort, from at least mid-2000 to mid-2002, to overstate AOL Time Warner’s online advertising revenue with a series of round-trip transactions.
Without admitting or denying the allegations in the complaint, Kelly consented to entry of a final judgment permanently enjoining him from future violations of Section 17(a)(2) and (3) of the Securities Act of 1933 and ordering him to pay disgorgement of $200,000 and a civil penalty of $60,000. Without admitting or denying the allegations in the complaint, Ripp consented to the entry of a final judgment permanently enjoining him from future violations of Rule 13b2-1 promulgated under the Securities Exchange Act of 1934 (Exchange Act) and from aiding and abetting violations of Exchange Act Section 13(b)(2)(A) and ordering him to pay disgorgement of $130,000 and a civil penalty of $20,000. [SEC v. John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker, Civil Action No. 08 CV 4612 (CM)(GWG) (S.D.N.Y.)] (LR-22109; AAE Rel. 3324)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 ANSYS INC, 275 TECHNOLOGY DRIVE, SOUTHPOINTE, CANONSBURG, PA, 15317, 4127643304 - 544,751 ($14,042,393.00) Equity, (File 333-177030 - Sep. 28) (BR. 03C) S-1 Quadrant 4 Systems Corp, 2850 GOLF ROAD, SUITE 30, ROLLING MEADOWS, IL, 60008, 312-919-4447 - 0 ($10,000,000.00) Equity, (File 333-177031 - Sep. 28) (BR. 11C) S-1 United States Commodity Funds Trust I, 1320 HARBOR BAY PARKWAY, SUITE 145, ALAMEDA, CA, 94502, 510-522-9600 - 1,000 ($25,000.00) Other, (File 333-177036 - Sep. 28) (BR. ) S-8 BRADY CORP, 6555 W GOOD HOPE RD, P O BOX 571, MILWAUKEE, WI, 53201-0571, 4143586600 - 0 ($146,740,000.00) Equity, (File 333-177039 - Sep. 28) (BR. 06A) S-1 CORONADO BIOSCIENCES INC, 45 ROCKEFELLER PLAZA, SUITE 2000, NEW YORK, NY, 10111, 212-332-1665 - 14,512,184 ($48,067,811.85) Equity, (File 333-177041 - Sep. 28) (BR. 01) S-8 IMAGING3 INC, 3200 W. VALHALLA DRIVE, BURBANK, CA, 91505, 8182600930 - 5,000,000 ($500,000.00) Equity, (File 333-177042 - Sep. 28) (BR. 10B) S-3 Clean Energy Fuels Corp., 3020 OLD RANCH PARKWAY, SUITE 400, SEAL BEACH, CA, 90740, (562) 493-2804 - 0 ($112,799,977.44) Equity, (File 333-177043 - Sep. 28) (BR. 02C) S-3ASR ONEOK INC /NEW/, 100 WEST 5TH ST, TULSA, OK, 74103, 9185887000 - 0 ($511,920,000.00) Equity, (File 333-177044 - Sep. 28) (BR. 02C) S-8 FUELCELL ENERGY INC, 3 GREAT PASTURE RD, DANBURY, CT, 06813, 2038256000 - 0 ($1,881,000.00) Equity, (File 333-177045 - Sep. 28) (BR. 10A) S-1 BIOMODA INC/NM, 609 BROADWAY NE, SUITE 215, ALBUQUERQUE, NM, 87102, 5058210875 - 206,387,725 ($4,127,754.50) Equity, (File 333-177046 - Sep. 28) (BR. 01C) S-8 National Health Partners Inc, 120 GIBRALTAR RD, SUITE 107, HORSHAM, PA, 19044, 215-682-7114 - 10,000,000 ($45,000.00) Equity, (File 333-177047 - Sep. 28) (BR. 09B) S-3ASR ONEOK INC /NEW/, 100 WEST 5TH ST, TULSA, OK, 74103, 9185887000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177048 - Sep. 28) (BR. 02C) S-3 URSTADT BIDDLE PROPERTIES INC, C/O URSTADT BIDDLE PROPERTIES INC., 321 RAILROAD AVENUE, GREENWICH, CT, 06830, 2038638200 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-177049 - Sep. 28) (BR. 08C) S-4 FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA, 16148, 724-981-6000 - 0 ($108,928,736.81) Equity, (File 333-177050 - Sep. 28) (BR. 07A) S-1 ICON Oil & Gas Fund, 100 FIFTH AVE - 4TH FL, NEW YORK, NY, 10011, 212 - 418 - 4700 - 4,000 ($40,000,000.00) Limited Partnership Interests, 16,000 ($160,000,000.00) Other, (File 333-177051 - Sep. 28) (BR. ) S-3 CoreSite Realty Corp, 1050 17TH STREET, SUITE 800, DENVER, CO, 80265, (866) 777-2673 - 0 ($367,618,250.00) Equity, (File 333-177052 - Sep. 28) (BR. 08B) S-3 CoreSite Realty Corp, 1050 17TH STREET, SUITE 800, DENVER, CO, 80265, (866) 777-2673 - 0 ($800,000,000.00) Other, (File 333-177053 - Sep. 28) (BR. 08B) S-1 CARVER BANCORP INC, 75 W 125TH ST, NEW YORK, NY, 10027-4512, 2128764747 - 0 ($145,528,927.00) Equity, (File 333-177054 - Sep. 28) (BR. 07A)
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 Abtech Holdings, Inc. NV 3.02 09/23/11 ACCURIDE CORP DE 5.02 09/28/11 ACI WORLDWIDE, INC. DE 8.01,9.01 09/28/11 ACTUANT CORP WI 2.02,9.01 09/28/11 ADVANCED ENERGY INDUSTRIES INC DE 2.05,7.01,9.01 09/27/11 AEROPOSTALE INC 1.01,9.01 09/22/11 AETHLON MEDICAL INC NV 1.01,2.03,3.02,9.01 09/23/11 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02 09/27/11 AMERCO /NV/ NV 8.01,9.01 08/31/11 American Eagle Energy Inc. NV 1.01,9.01 09/28/11 AMERICAN LEARNING Corp NY 5.07 09/27/11 AMERICAN NATIONAL INSURANCE CO /TX/ TX 5.07 04/29/11 AMEND APACHE CORP DE 8.01,9.01 09/26/11 ARI NETWORK SERVICES INC /WI WI 7.01,9.01 09/28/11 ARTESIAN RESOURCES CORP DE 1.02,9.01 09/27/11 ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 09/27/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 09/28/11 ASSURED GUARANTY LTD D0 7.01,9.01 09/27/11 ATMOS ENERGY CORP TX 5.02,8.01,9.01 09/23/11 AUTOZONE INC NV 5.02,5.03,8.01,9.01 09/27/11 Bank of Commerce Holdings CA 1.01,1.02,3.02,3.03, 09/26/11 5.03,8.01,9.01 BARNES GROUP INC DE 1.01,2.03 09/27/11 BEMIS CO INC MO 1.01,9.01 09/27/11 BRIDGE BANCORP INC NY 5.02,9.01 09/27/11 Bridgeline Digital, Inc. DE 3.01 09/22/11 BRIGHTPOINT INC IN 1.01,9.01 09/28/11 BROWN SHOE CO INC NY 7.01,9.01 09/28/11 CADENCE PHARMACEUTICALS INC 7.01,9.01 09/28/11 CAPITAL SENIOR LIVING CORP DE 7.01,9.01 09/27/11 Carroll Bancorp, Inc. MD 8.01,9.01 09/26/11 CASCADE BANCORP OR 1.01,9.01 09/27/11 CENTRAL PACIFIC FINANCIAL CORP HI 5.02,9.01 09/28/11 CENTRUE FINANCIAL CORP DE 5.02 09/26/11 Chelsea Therapeutics International, L DE 8.01,9.01 09/28/11 China Shengda Packaging Group Inc. NV 8.01 09/28/11 China XD Plastics Co Ltd NV 3.03,5.02,8.01,9.01 09/28/11 CHUBB CORP NJ 7.01,9.01 09/28/11 Cleantech Solutions International, In DE 7.01,9.01 09/25/11 CNB CORP /SC/ SC 2.02,9.01 05/27/11 CNB CORP /SC/ SC 5.07 05/10/11 AMEND COMFORT SYSTEMS USA INC 1.01,2.03 09/23/11 COMPUTER SCIENCES CORP NV 8.01,9.01 09/27/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 5.02 09/22/11 CubeSmart MD 8.01,9.01 09/28/11 CVD EQUIPMENT CORP NY 1.02 09/23/11 DANAHER CORP /DE/ DE 1.01 09/26/11 DARDEN RESTAURANTS INC FL 2.02,5.07,9.01 09/22/11 DDI CORP CA 5.02 09/22/11 DELCATH SYSTEMS INC DE 8.01,9.01 09/23/11 DEX ONE Corp DE 8.01 09/28/11 DG FastChannel, Inc DE 5.02 09/13/11 diaDexus, Inc. DE 1.01,2.03,5.02,7.01, 09/22/11 9.01 DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 09/28/11 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01 09/26/11 EMPIRE RESORTS INC DE 8.01,9.01 09/28/11 EnteroMedics Inc 8.01,9.01 09/28/11 EPLUS INC DE 5.02,9.01 09/23/11 Eternal Energy Corp. 1.01,9.01 09/28/11 EXERGETIC ENERGY, INC. MI 5.02,9.01 09/27/11 EXPRESS SCRIPTS INC DE 5.02,9.01 09/28/11 FAMILY DOLLAR STORES INC DE 2.02,7.01,8.01,9.01 09/28/11 FAMILY DOLLAR STORES INC DE 5.02,9.01 09/26/11 Federal Home Loan Bank of Dallas 5.02,9.01 09/22/11 FEDEX CORP DE 5.03,5.07,9.01 09/26/11 FedFirst Financial Corp 8.01,9.01 09/28/11 FIRST BANCORP /PR/ PR 5.02 09/22/11 FIRST MID ILLINOIS BANCSHARES INC DE 5.02,9.01 09/27/11 FIRST PACTRUST BANCORP INC MD 8.01,9.01 09/28/11 FLUSHING FINANCIAL CORP DE 8.01,9.01 09/28/11 FNBH BANCORP INC MI 3.03,5.07 09/22/11 Fushi Copperweld, Inc. NV 8.01,9.01 09/28/11 GelTech Solutions, Inc. DE 5.02,9.01 09/28/11 GLOBAL TRAFFIC NETWORK, INC. DE 2.01,3.01,3.02,3.03, 09/28/11 5.01,5.02,8.01,9.01 GROEN BROTHERS AVIATION INC /UT/ UT 1.01,3.03,5.03,9.01 09/22/11 GRYPHON GOLD CORP NV 7.01,9.01 09/28/11 GULF ISLAND FABRICATION INC LA 8.01,9.01 09/28/11 HARRIS INTERACTIVE INC DE 1.01,2.02,2.03,2.05, 09/25/11 5.02,9.01 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,9.01 09/22/11 HEARTLAND FINANCIAL USA INC DE 1.01,8.01,9.01 09/27/11 HERCULES OFFSHORE, INC. DE 7.01,9.01 09/28/11 HEWLETT PACKARD CO DE 8.01 09/28/11 Hill-Rom Holdings, Inc. IN 1.01,9.01 09/23/11 Horizon Lines, Inc. 8.01,9.01 09/28/11 HORMEL FOODS CORP /DE/ DE 5.02,9.01 09/26/11 HSN, Inc. DE 7.01,9.01 09/28/11 Huntsman CORP DE 2.05,9.01 09/27/11 Iconic Brands, Inc. NV 8.01 09/23/11 Imperial Holdings, Inc. 7.01,9.01 09/27/11 INNOVATIVE FOOD HOLDINGS INC FL 2.02,5.02,9.01 09/27/11 INSIGNIA SYSTEMS INC/MN MN 8.01 09/22/11 Island Radio, Inc. NV 8.01,9.01 09/28/11 Kallo Inc. NV 1.01,3.02,5.07 09/28/11 KINDRED HEALTHCARE, INC DE 1.01,2.03,9.01 09/28/11 Kodiak Oil & Gas Corp B0 7.01,9.01 09/28/11 Liberty Interactive Corp 1.01,2.01,3.01,5.02, 09/22/11 8.01,9.01 Liberty Media Corp DE 1.01,2.01,3.03,5.02, 09/22/11 5.03,9.01 LIGAND PHARMACEUTICALS INC DE 5.07 06/01/11 AMEND Live Nation Entertainment, Inc. DE 1.01,9.01 09/23/11 LOTON, CORP NV 1.01,3.02,9.01 09/09/11 LUBRIZOL Corp OH 1.02 09/27/11 Marina Biotech, Inc. DE 3.01 09/22/11 MARSHALL EDWARDS INC DE 2.02,9.01 09/27/11 MCCORMICK & CO INC MD 2.02,9.01 09/28/11 MECHANICAL TECHNOLOGY INC NY 1.01,9.01 09/23/11 Medical Care Technologies Inc. NV 8.01 09/19/11 MedPro Safety Products, Inc. NV 5.02 09/22/11 MERIT MEDICAL SYSTEMS INC UT 3.01 09/22/11 MERITOR INC IN 1.01,2.03 09/28/11 MONEYGRAM INTERNATIONAL INC 5.03,9.01 09/27/11 MONTPELIER RE HOLDINGS LTD 5.02,9.01 09/26/11 Morgans Hotel Group Co. DE 5.07 05/18/11 AMEND Motorola Mobility Holdings, Inc 8.01 09/28/11 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 09/28/11 Myrexis, Inc. DE 5.02,9.01 09/22/11 AMEND National Asset Recovery Corp. NV 8.01,9.01 09/28/11 NDB Energy, Inc. NV 1.01,2.01,7.01,9.01 09/16/11 NETWORK CN INC DE 7.01,8.01 09/28/11 Neuralstem, Inc. DE 7.01,9.01 09/27/11 NEWFIELD EXPLORATION CO /DE/ DE 1.01,9.01 09/27/11 NIC INC CO 7.01,9.01 09/27/11 Nissan Auto Lease Trust 2011-B DE 1.01,9.01 09/28/11 Noranda Aluminum Holding CORP DE 5.02 09/27/11 Noranda Aluminum Holding CORP DE 5.07 05/10/11 AMEND NUVASIVE INC DE 5.03,5.07,9.01 09/28/11 NYXIO TECHNOLOGIES Corp NV 8.01,9.01 09/26/11 OCEANFIRST FINANCIAL CORP DE 5.07 05/05/11 AMEND ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 09/26/11 OMNOVA SOLUTIONS INC OH 2.02,9.01 09/27/11 Orient Paper Inc. NV 8.01,9.01 09/26/11 OSI RESTAURANT PARTNERS, LLC DE 7.01 09/26/11 PAM TRANSPORTATION SERVICES INC DE 8.01,9.01 09/23/11 Pana-Minerales S.A. NV 5.02,5.03,9.01 09/28/11 Patriot Coal CORP DE 7.01,9.01 09/27/11 Pebblebrook Hotel Trust MD 1.01,9.01 07/29/11 AMEND PENSECO FINANCIAL SERVICES CORP PA 5.07 05/03/11 AMEND PEOPLES FINANCIAL CORP /MS/ MS 5.02,9.01 09/28/11 PEPSICO INC NC 5.02,8.01 09/28/11 PEREGRINE INDUSTRIES INC FL 4.01,9.01 09/28/11 AMEND PHARMATHENE, INC DE 5.02,9.01 09/22/11 PHAZAR CORP DE 8.01,9.01 09/28/11 Phoenix International Ventures, Inc. NV 2.03,9.01 09/27/11 PLAINSCAPITAL CORP TX 1.01,3.02,3.03,5.02, 09/26/11 5.03,7.01,9.01 PLAYERS NETWORK NV 5.02,9.01 09/28/11 Plures Technologies, Inc./DE DE 3.02,9.01 09/28/11 QUANTUM MATERIALS CORP. NV 1.01,7.01,9.01 09/19/11 QUESTCOR PHARMACEUTICALS INC CA 5.02 09/26/11 QUIDEL CORP /DE/ DE 1.01,9.01 09/27/11 Raptor Pharmaceutical Corp DE 5.02,9.01 09/22/11 RENAISSANCE LEARNING INC WI 8.01,9.01 09/27/11 REPLIGEN CORP DE 5.07 09/27/11 RESOURCE AMERICA, INC. DE 1.01,9.01 09/27/11 REX AMERICAN RESOURCES Corp DE 8.01,9.01 09/27/11 ROYAL CARIBBEAN CRUISES LTD 5.07 05/24/11 AMEND RUDOLPH TECHNOLOGIES INC DE 5.02 09/27/11 Sagebrush Gold Ltd. NV 8.01,9.01 09/26/11 SARATOGA INVESTMENT CORP. MD 5.07 09/27/11 SemGroup Corp DE 8.01 09/28/11 Sequoia Mortgage Trust 2011-2 8.01,9.01 09/01/11 Siga Resources Inc. 1.01,1.02,9.01 09/20/11 SIMULATIONS PLUS INC 1.02 09/27/11 SINGLE TOUCH SYSTEMS INC DE 1.01,5.02 09/26/11 SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 09/27/11 SMITH & WESSON HOLDING CORP NV 5.02,5.07,9.01 09/26/11 STAG Industrial, Inc. 5.02 09/26/11 Stanadyne Holdings, Inc. DE 1.01,2.03,9.01 09/26/11 STEINWAY MUSICAL INSTRUMENTS INC DE 1.01,3.03,5.03,9.01 09/25/11 Strategic Storage Trust, Inc. MD 1.01,7.01,9.01 09/22/11 SUNTRUST BANKS INC GA 8.01,9.01 09/28/11 Susser Holdings CORP DE 9.01 09/15/11 AMEND TE Connectivity Ltd. V8 8.01,9.01 09/27/11 THQ INC DE 1.01,1.02,2.03,9.01 09/23/11 TNP Strategic Retail Trust, Inc. MD 1.01,2.01,2.03,7.01, 09/22/11 9.01 Towers Watson & Co. DE 5.02,5.03,9.01 09/22/11 TOWERSTREAM CORP DE 8.01 09/28/11 Toyota Auto Receivables 2011-B Owner DE 8.01,9.01 09/28/11 Toyota Auto Receivables 2011-B Owner DE 1.01,9.01 09/21/11 Transcept Pharmaceuticals Inc DE 7.01,9.01 09/27/11 Travelport LTD D0 7.01,8.01,9.01 09/27/11 TTM TECHNOLOGIES INC WA 7.01,9.01 09/28/11 TWO RIVERS WATER Co CO 7.01 09/22/11 UNILENS VISION INC 8.01,9.01 09/28/11 United States 12 Month Natural Gas Fu 7.01,9.01 09/28/11 United States 12 Month Oil Fund, LP 7.01,9.01 09/28/11 United States Brent Oil Fund, LP DE 7.01,9.01 09/28/11 United States Commodity Index Funds T DE 7.01,9.01 09/28/11 United States Gasoline Fund, LP DE 7.01,9.01 09/28/11 United States Heating Oil Fund, LP DE 7.01,9.01 09/28/11 United States Natural Gas Fund, LP 7.01,9.01 09/28/11 United States Oil Fund, LP DE 7.01,9.01 09/28/11 United States Short Oil Fund, LP DE 7.01,9.01 09/28/11 UniTek Global Services, Inc. DE 5.02,9.01 09/22/11 UNIVEST CORP OF PENNSYLVANIA PA 5.02 09/28/11 USG CORP DE 5.02 09/23/11 VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 1.01,9.01 09/22/11 Visual Network Design, Inc. NV 7.01,9.01 09/27/11 Vystar Corp GA 8.01 09/27/11 Warner Chilcott plc 8.01 09/28/11 WATTS WATER TECHNOLOGIES INC DE 2.05 08/15/11 WESTERN ALLIANCE BANCORPORATION NV 1.01,3.02,3.03,5.02, 09/23/11 5.03,8.01,9.01 Westinghouse Solar, Inc. DE 1.01,3.03,9.01 09/28/11 Westinghouse Solar, Inc. DE 3.01 09/27/11 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 7.01,9.01 09/27/11 XcelMobility Inc. NV 8.01,9.01 09/26/11 XL GROUP PLC L2 8.01,9.01 09/27/11