SEC Issues Notice of Proposed Distribution Plan and Opportunity for Comment in the Matter of PacketPort, Inc.
The Securities and Exchange Commission (Commission) announced today that it has given notice, pursuant to Rule 1103 of the Securities and Exchange Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103, that the Division of Enforcement has filed a proposed plan (Distribution Plan) for the distribution of monies in the matter of PacketPort, Inc.
The Distribution Plan provides for distribution of the $1,075,000.00 of disgorgement paid by Ronald Durando, Gustave Dotoli, Robert H. Jaffe, and Microphase Corporation, plus any accumulated interest, less any federal, state, or local taxes on the interest and tax administrator fees. The proposed plan provides for distribution of the monies on a pro rata basis to investors who purchased shares of PacketPort.com stock from December 13, 1999 through April 11, 2000.
A copy of the Distribution Plan may be obtained by submitting a written request to Moira T. Roberts, Assistant Director, United States Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-6010. Interested parties may also print a copy of the proposed Distribution Plan from the Commission’s public website, http://www.sec.gov. Any person or entity wishing to comment on the Distribution Plan may do so in writing by submitting their comments within 30 days of the date of the Notice (i) to the Office of the Secretary, United States Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090; or (ii) via the Commission’s Internet comment form (www.sec.gov/litigation/admin.shtml); or (iii) by sending an e-mail to firstname.lastname@example.org. Comments submitted by e-mail or via the Commission’s website should include the Administrative Proceeding File Number (Admin. Proc. File No. 3-12868) in the subject line. Comments received will be publicly available. Persons should submit only information that they wish to make publicly available. (Rel. 34-65490; 34-65498; File No. 3-12868)
Closed Meeting on Thursday, October 13, 2011 at 3:30 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, October 13, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; 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.
In the Matter of Richard L. Goble
An Administrative Law Judge has issued an Initial Decision (Decision) in Richard L. Goble, Admin. Proc. No. 3-14390. On April 27, 2011, the U. S. District Court for the Middle District of Florida entered a final judgment against Richard L. Goble (Goble) permanently enjoining him from violations of the federal securities laws.
Based on the final judgment entered against Goble, the Decision finds that Goble violated Sections 10(b), 15(c)(3), and 17(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 10b-5, 15c3-3, and 17a-3 in connection with a sham purchase of money market assets and subsequent wire transfer. Pursuant to Section 15(b) of the Securities Exchange Act, the Decision bars Goble from association with any broker, dealer, investment adviser, municipal securities dealer, transfer agent, or NRSRO. (Initial Decision No. 435; File No. 3-14390)
In the Matter of Steven Fortuna
On October 5, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Steven Fortuna. The Order finds that Fortuna is a resident of Westwood, Massachusetts. Fortuna was a co-founder and principal of S2 Capital Management, LP (S2 Capital), which was an unregistered, New York based hedge fund investment adviser. Prior to starting S2 Capital, Fortuna was a portfolio manager at Stratix Asset Management. S2 Capital served as the investment adviser to the hedge fund S2 Capital Fund, LP. Fortuna has held Series 7, 63, 86 and 87 licenses.
On November 5, 2009, the Commission filed an Amended Complaint in SEC v. Galleon Management, LP, et al., Civil Action No. 1:09-CV-8811 (SDNY), naming Fortuna as a defendant. On September 30, 2011, the Court entered an order permanently enjoining Fortuna, by consent, from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that Fortuna engaged in insider trading that occurred in S2 Capital funds because he effectuated trades on behalf of S2 Capital, controlled S2 Capital and/or unlawfully tipped inside information to S2 Capital.
On October 20, 2009, Fortuna pled guilty to one count of securities fraud and three counts of conspiracy to commit securities fraud in violation of 15 U.S.C. §§ 78j(b) and 78ff and 18 U.S.C. § 371 before the United States District Court for the Southern District of New York in United States v. Steven Fortuna, 10-CR-01003 (SDNY).
Based on the above, the Order bars Fortuna from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Fortuna consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. IA-3298; File No. 3-14577)
SEC Charges Silicon Valley Medical Technology Executives in Fraudulent Sales Scheme
The Securities and Exchange Commission today filed fraud charges against two former sales executives with Mountain View, Calif. medical equipment company Hansen Medical, Inc., alleging they orchestrated fraudulent transactions to inflate the company’s reported revenues. In a separate proceeding, the SEC also filed settled charges against Hansen Medical for providing misleading financial information to public investors.
The SEC’s complaint, filed in federal district court in San Francisco, alleges that Christopher Sells, Hansen Medical’s former Vice President of Commercial Operations, and Timothy Murawski, a former Vice President of Sales who reported to Sells, participated in multiple improper sales transactions in 2008 and 2009. The SEC alleges the individuals engaged in the scheme as Hansen Medical underwent efforts to raise additional capital from investors.
According to the SEC’s complaint, on multiple occasions Sells of Dallas, Tex., and Murawski of Lake Zurich, Ill., schemed to have Hansen Medical personnel temporarily install the company’s robotic catheter system at a customer site before the customer was ready for it so that Hansen Medical could record the product sale. Hansen Medical personnel would then immediately dismantle the equipment and put it in storage until months later, when they would return to reinstall the equipment. The SEC further alleges that, in a sales transaction in the final days of December 2008, Sells and Murawski instructed Hansen Medical personnel to forge a customer signature on certain required documents to allow the company to record the revenue that quarter. According to the SEC, Sells and Murawski’s schemes were intended to circumvent revenue recognition rules and to fool Hansen Medical’s finance personnel and auditors into believing that the sales had been completed and revenue could be recorded.
The SEC’s complaint charges Sells and Murawski with violations of Sections 17(a)(1) and (3) of the Securities Act, and Sections 10(b) and 13(b)(5) of the Exchange Act, and Rules 10b-5 and 13b2-1 thereunder, 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. The SEC also charges Sells with violations of Rules 13b2-2 under the Exchange Act. The SEC seeks permanent injunctions and financial penalties against Sells and Murawski, and also seeks to bar Sells from serving as an officer or director of a public company.
In a separate administrative proceeding, Hansen Medical consented (without admitting or denying the SEC’s findings) to the entry of a Order that requires that Hansen Medical to cease and desist from committing or causing any violations and any future violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act, and 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. In considering whether to accept Hansen Medical's settlement offer, the Commission took into consideration Hansen Medical’s cooperation with the Commission’s investigation and its remedial efforts once the fraud came to light.
The case was investigated by Cameron Hoffman, Kristin Snyder, Ron Baer and Tracy Davis of the San Francisco Regional Office. The SEC’s litigation efforts will be led by Susan LaMarca and Sheila O’Callaghan. (Rel. 33-9265; 34-65501; File No. 3-14578); [SEC v. Christopher Sells and Timothy Murawski, Civil Case No. CV-11-4941-HRL (N.D. Cal.)] (LR-22116; AAE Rel. 3326)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-65506; File No. 3-14579)
SEC Charges StratoComm Corporation, CEO, Former Director of Investor Relations and Outside Counsel with Fraud
On October 4, 2011, the Securities and Exchange Commission (SEC) filed a complaint in United States District Court for the Northern District of New York charging StratoComm Corporation, its CEO Roger D. Shearer, and its former Director of Investor Relations, Craig Danzig, with violating the antifraud provisions of the securities laws and with illegally selling securities in unregistered transactions. On October 3, 2011, the SEC filed a complaint in United States District Court for the Southern District of Florida alleging that attorney Stewart A. Merkin, StratoComm’s outside counsel, also committed securities fraud.
The SEC’s complaint filed in Albany, New York alleges that StratoComm, acting at Shearer’s direction and with Danzig’s assistance, issued and distributed public statements falsely portraying the company as actively engaged in the manufacture and sale of telecommunications systems for use in underdeveloped countries, particularly Africa. In reality, the company had no product and no revenue. The SEC’s complaint also alleges that StratoComm, Shearer and Danzig sold investors approximately $3 million worth of StratoComm stock in unregistered transactions. Shearer used much of that money for his own purposes, including paying a substantial part of the restitution he owed in connection with his guilty plea in a prior criminal proceeding.
The SEC’s complaint charges StratoComm with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. It charges Shearer with violating Sections 5(a) and 5(c) of the Securities Act, aiding and abetting StratoComm’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and with being liable as a control person for StratoComm’s violations. The SEC’s complaint charges Danzig with violating Sections 5(a), 5(c), and 17(a) of the Securities Act, with violating Section 15(a) of the Exchange Act, and with aiding and abetting StratoComm’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The SEC’s complaint seeks permanent injunctions, disgorgement of unlawful proceeds plus prejudgment interest, and a financial penalty from all defendants. It also seeks an order prohibiting Shearer from serving as an officer or director of a public company and prohibiting Shearer and Danzig from participating in the offering of a penny stock.
The SEC’s complaint filed in Miami, Florida alleges that Merkin wrote four attorney representation letters for posting on the website of Pink Sheets LLC and its successor, Pink OTC Markets, Inc. In those letters Merkin disclaimed knowledge of any investigation into possible violations of the securities laws by StratoComm or any of its officers or directors. However, the SEC’s complaint also alleges that Merkin was representing StratoComm and several individuals in connection with the SEC’s investigation at the time. Nevertheless, in order that StratoComm’s shares would continue to be quoted, the SEC’s complaint alleges that Merkin falsely stated that to his knowledge StatoComm was not under investigation. The SEC’s complaint charges Merkin with violating Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. It seeks a permanent injunction, disgorgement of unlawful proceeds plus prejudgment interest, a financial penalty, and an order prohibiting Merkin from participating in the offering of a penny stock. [SEC v. StratoComm Corporation., et al., Civil Action No. 1:11-CV-1188 (N.D.NY); SEC v. Stewart A. Merkin, Civil Action No. 1:11-cv-23585 (S.D.FL)] (LR-22115)
Commission Charges Operators of Green Product-Themed Ponzi Scheme
The Commission today announced that it obtained an emergency court order today to halt a Ponzi scheme that promised investors rich returns on water-filtering natural stone pavers, but bilked them of approximately $26 million over a four-year period.
The Commission’s complaint, filed in U.S. District Court for the Southern District of New York, alleges that convicted felon Eric Aronson and others defrauded investors in PermaPave Companies, a group of firms based on Long Island, N.Y., and controlled by Aronson. About 140 individuals, many working in the construction or landscaping business, invested in the scheme between 2006 and 2010, the Commission alleged. Investors were told that PermaPave Companies had a tremendous backlog of orders for pavers imported from Australia, which could be sold in the U.S. at a substantial mark-up, yielding monthly returns to investors of 7.8% to 33%. In reality, the complaint states that there was little demand for the product, and the cost of the pavers far exceeded the revenue from sales.
Lacking the profits promised to investors, Aronson and two other PermaPave Companies executives, Vincent Buonauro Jr., and Robert Kondratick, used new investments to make payments to earlier investors and then siphoned off much of the rest for themselves, buying luxury cars, gambling trips to Las Vegas, and jewelry. In addition, the complaint alleges that Aronson used investors’ money to make court-ordered restitution payments to victims of a previous scheme to which he pleaded guilty to conducting in 2000.
According to the Commission’s complaint, when investors began demanding money owed to them, Aronson accused them of committing a felony by lending the PermaPave Companies money at the interest rates he promised them, which he suddenly claimed were usurious. Aronson and his attorney, Fredric Aaron, then allegedly made false statements to persuade investors to convert their securities into ones that deferred payments owed them for several years.
The Commission also alleges that Interlink-US-Network, Ltd., a publicly traded company controlled by Kondratick, Aaron, and Aronson, issued a Form 8-K, signed by Kondratick, which falsely stated that LED Capital Corp. had agreed to invest $6 million in Interlink. According to the complaint, LED Capital Corp. did not have $6 million and had no dealings, let alone any agreements, with Interlink.
U.S. District Court Judge Jed S. Rakoff granted the Commission’s request to freeze assets of the defendants and eight relief defendants. The Commission is seeking preliminary and permanent injunctions against the defendants, and to have them return their allegedly illicit profits with prejudgment interest, and pay civil monetary penalties. In addition, the Commission seeks to bar Aronson, Kondratick, and Aaron from participating in penny-stock offerings and from serving as officers or directors of public companies.
The SEC’s complaint charges Aronson, Kondratick, Buonauro, the PermaPave Companies, and Interlink with violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and charges Aaron with aiding and abetting the Section 10(b) and Rule 10b-5 violations. The complaint charges Interlink with violations of Section 13(a) of the Exchange Act and Rules 12b-20 and 13a-11 thereunder, and charges Aronson, Kondratick, and Aaron with aiding and abetting these violations. The complaint also asserts violations of Section 5(a) and 5(c) of the Securities Act as to Aronson, Buonauro, and the PermaPave Companies and violations of Section 15(a) of the Exchange Act as to Aronson and Buonauro.
The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Eastern District of New York and the Securities Fraud Squad of Federal Bureau of Investigation in connection with this matter. [SEC v. Eric Aronson, Vincent Buonauro, Jr., Robert Kondratick, Fredric Aaron, Esq., PermaPave Industries, LLC, PermaPave USA Corp., PermaPave Distributions, Inc., Permeable Solutions, Inc., Verigreen, LLC, and Interlink-US-Network, Ltd., Defendants, and Caroline Aronson, Deborah Buonauro, DASH Development, LLC, Aron Holdings, Inc., PermaPave Construction Corp., Dymoncrete Industries, LLC, Dymon Rock LI, LLC, and Lumi-Coat, Inc., Relief Defendants, Civil Action No. 11 Civ. 7033 (S.D.N.Y.)] (LR-22117)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-132) to extend fee pilot program for NASDAQ Last Sale has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 10. (Rel. 34-65488)
A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) to add one additional series of credit default index swaps available for clearing (SR-CME-2011-08) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of October 10. (Rel. 34-65489)
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 Glori Energy Inc., 4315 SOUTH DRIVE, HOUSTON, TX, 77053, 713 237-8880 - 0 ($115,000,000.00) Equity, (File 333-177172 - Oct. 5) (BR. 04C) S-8 COMVERSE TECHNOLOGY INC/NY/, 810 SEVENTH AVENUE, NEW YORK, NY, 10019, 212-739-1000 - 0 ($150,285,656.80) Equity, (File 333-177173 - Oct. 5) (BR. 11A) S-8 COMVERSE TECHNOLOGY INC/NY/, 810 SEVENTH AVENUE, NEW YORK, NY, 10019, 212-739-1000 - 0 ($6,684,069.00) Equity, (File 333-177174 - Oct. 5) (BR. 11A) S-3ASR NORDSTROM INC, 1617 SIXTH AVENUE, SEATTLE, WA, 98101-4407, 2066282111 - 0 ($0.00) Other, (File 333-177175 - Oct. 5) (BR. 09B) S-8 CABOT CORP, TWO SEAPORT LANE SUITE 1300, BOSTON, MA, 02109-1806, 6173450100 - 0 ($11,835,000.00) Equity, (File 333-177176 - Oct. 5) (BR. 06C) S-4 KENNEDY WILSON INC, 9601 WILSHIRE SUITE 220, BEVERLY HILLS, CA, 90210, 3108876400 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-177177 - Oct. 5) (BR. 08B) S-8 AMBIENT CORP /NY, 270 MAIDOSN AVENUE, BUILDING ONE, NEW YORK, NY, 10016, 6173320004 - 2,150,000 ($16,082,000.00) Equity, (File 333-177179 - Oct. 5) (BR. 11A) S-8 STANDARD MICROSYSTEMS CORP, 80 ARKAY DRIVE, HAUPPAUGE, NY, 11788, 6314342904 - 1,000,000 ($19,350,000.00) Equity, (File 333-177183 - Oct. 5) (BR. 10C) S-8 World Surveillance Group Inc., 1400 STATE ROAD 405, BLDG M6-306A, KENNEDY SPACE CENTER, FL, 32815, 321.452.3545 - 63,916,667 ($4,625,250.00) Equity, (File 333-177184 - Oct. 5) (BR. 11A) S-1 BIOJECT MEDICAL TECHNOLOGIES INC, 20245 SW 95TH AVENUE, TUALATIN, OR, 97062, 5036928001 - 0 ($7,283,017.35) Equity, (File 333-177185 - Oct. 5) (BR. 10A)
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 AAR CORP DE 7.01,9.01 10/05/11 ACUITY BRANDS INC DE 2.02,5.03,8.01,9.01 09/30/11 ADVANCED VENTURES CORP DE 5.01,5.02,9.01 09/26/11 AeroGrow International, Inc. NV 5.02 10/03/11 AeroVironment Inc DE 5.02,5.07,9.01 09/29/11 AES CORP DE 1.01,2.03,9.01 10/03/11 AGCO CORP /DE DE 1.01,9.01 09/30/11 AK STEEL HOLDING CORP DE 1.01,7.01,9.01 10/04/11 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 10/05/11 AlphaMetrix Managed Futures LLC DE 3.02 10/03/11 Altegris QIM Futures Fund, L.P. DE 3.02 10/01/11 Altegris Winton Futures Fund, L.P. CO 3.02 10/01/11 AMBAC FINANCIAL GROUP INC DE 8.01,9.01 10/04/11 AMERICAN AIRLINES INC DE 8.01 10/05/11 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 10/05/11 Amerilithium Corp. NV 8.01 09/30/11 AMERON INTERNATIONAL CORP DE 2.01,3.01,3.03,5.01, 10/05/11 5.02,5.03,8.01,9.01 Ampio Pharmaceuticals, Inc. DE 9.01 09/08/11 AMEND AMR CORP DE 8.01 10/05/11 AMTECH SYSTEMS INC AZ 5.02 10/05/11 Anoteros, Inc. NV 1.01,9.01 10/03/11 APOLLO INVESTMENT CORP MD 8.01,9.01 09/29/11 APOLLO INVESTMENT CORP MD 8.01,9.01 09/29/11 Apple REIT Ten, Inc. VA 2.01,9.01 09/30/11 APPLIED ENERGETICS, INC. DE 5.07 10/03/11 ARCADIA RESOURCES, INC NV 2.04 09/29/11 ARES CAPITAL CORP MD 7.01,9.01 10/05/11 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02 09/30/11 ASSURANT INC 8.01 10/05/11 ASURE SOFTWARE INC DE 1.01,2.01,2.03,3.02, 09/29/11 8.01,9.01 AVIS BUDGET GROUP, INC. DE 1.01,2.01,2.03,5.02, 09/30/11 7.01,9.01 BECTON DICKINSON & CO NJ 5.02 10/03/11 Behringer Harvard Opportunity REIT II MD 1.01,7.01,9.01 09/29/11 BERKSHIRE HILLS BANCORP INC 8.01,9.01 10/05/11 BIOCANCELL THERAPEUTICS INC. 8.01 10/04/11 BIOCRYST PHARMACEUTICALS INC DE 7.01,9.01 10/05/11 BIOLARGO, INC. DE 1.01,5.02,8.01,9.01 10/03/11 BIOMIMETIC THERAPEUTICS, INC. DE 8.01 10/04/11 BLOCKBUSTER INC DE 7.01,9.01 10/01/11 Blue Earth, Inc. NV 3.02,9.01 09/29/11 Blueknight Energy Partners, L.P. DE 8.01,9.01 10/05/11 BOISE CASCADE HOLDINGS, L.L.C. DE 5.02,9.01 09/30/11 BREEZE-EASTERN CORP DE 1.01,8.01,9.01 10/05/11 BRINKS CO VA 1.01,1.02,2.03,9.01 10/03/11 CACI INTERNATIONAL INC /DE/ DE 5.02 10/03/11 CALLAWAY GOLF CO DE 5.02 10/01/11 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 09/30/11 CERUS CORP DE 1.01,2.03,8.01 09/30/11 CHEESECAKE FACTORY INC DE 8.01,9.01 10/05/11 China Youth Media, Inc. DE 1.01,1.02,2.01,3.02, 106/21/11 AMEND 5.01,5.02,9.0 CHRISTOPHER & BANKS CORP DE 2.02,9.01 10/05/11 Cindisue Mining Corp DE 8.01 10/04/11 CITIZENS REPUBLIC BANCORP, INC. MI 5.02 09/29/11 CLARCOR INC DE 5.02 10/05/11 Clean Coal Technologies Inc. NV 8.01,9.01 10/04/11 CNL Properties Trust, Inc. MD 8.01,9.01 10/05/11 CORNING INC /NY NY 8.01 10/05/11 COSTCO WHOLESALE CORP /NEW WA 2.02,9.01 10/05/11 CPM Holdings, Inc. 5.02 10/05/11 CYTOMEDIX INC DE 5.07,9.01 09/30/11 DANA HOLDING CORP DE 2.01,9.01 09/30/11 DENBURY RESOURCES INC DE 5.02 09/29/11 diaDexus, Inc. DE 5.02 09/30/11 DIGITALGLOBE INC 5.02,9.01 09/30/11 Dinello Restaurant Ventures, Inc. FL 2.01,5.03 10/01/11 Discovery Communications, Inc. DE 8.01,9.01 10/04/11 Diversified Restaurant Holdings, Inc. NV 1.01 09/29/11 Dutch Gold Resources Inc CO 1.01,9.01 09/26/11 DYNACQ HEALTHCARE INC NV 8.01 09/30/11 DYNAVAX TECHNOLOGIES CORP DE 1.01,8.01,9.01 10/03/11 Eagle Ford Oil & Gas Corp NV 9.01 10/05/11 AMEND EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 10/04/11 EASYLINK SERVICES INTERNATIONAL CORP DE 1.01,9.01 09/29/11 EASYLINK SERVICES INTERNATIONAL CORP DE 2.02,9.01 10/05/11 EDEN ENERGY CORP NV 1.02,5.02,8.01 09/20/11 Emergent BioSolutions Inc. DE 1.01 09/28/11 EMMIS COMMUNICATIONS CORP IN 5.02 10/03/11 ENER1 INC FL 5.02 09/30/11 ENERGY QUEST, INC. NV 5.02,9.01 09/30/11 EPOCH HOLDING CORP DE 8.01,9.01 10/05/11 EQUITY ONE, INC. 1.01,2.03,7.01,9.01 09/30/11 ESTERLINE TECHNOLOGIES CORP DE 2.01,9.01 07/26/11 AMEND EVERGREEN SOLAR INC DE 3.01 09/30/11 EZJR, Inc. NV 8.01 10/04/11 FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 10/05/11 FIRST BANCORP /PR/ PR 1.01 09/29/11 FIRST RESOURCES CORP NV 5.02 10/03/11 FIRST TRUST MORTGAGE INCOME FUND 7.01,9.01 09/29/11 FOUR RIVERS BIOENERGY INC. NV 1.01,9.01 05/24/11 AMEND Fresh Traffic Group Inc. NV 7.01,8.01,9.01 10/04/11 FROZEN FOOD EXPRESS INDUSTRIES INC TX 8.01,9.01 10/05/11 FULLER H B CO MN 5.02,9.01 09/29/11 General Motors Co 8.01 10/03/11 Globalstar, Inc. DE 1.01,7.01 09/30/11 GOLDEN PHOENIX MINERALS INC NV 1.01,3.02 09/30/11 GOLDEN STAR RESOURCES LTD 5.02,9.01 10/04/11 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 3.02 10/05/11 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 10/05/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 10/05/11 GREEN EARTH TECHNOLOGIES, INC 8.01,9.01 09/08/11 AMEND GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 10/05/11 Grubb & Ellis Healthcare REIT II, Inc MD 1.01,7.01,9.01 09/29/11 HARDINGE INC NY 5.07 05/03/11 AMEND Heckmann CORP 1.01,2.01,7.01,9.01 09/30/11 HF FINANCIAL CORP DE 5.02,9.01 10/04/11 HOMELAND ENERGY SOLUTIONS LLC 8.01,9.01 10/05/11 HOT TOPIC INC /CA/ CA 8.01,9.01 10/05/11 HOUSTON AMERICAN ENERGY CORP DE 8.01 10/03/11 Houston Wire & Cable CO 1.01,9.01 09/30/11 Hybred International, Inc. CO 5.02 07/09/10 INDIANA COMMUNITY BANCORP IN 2.06 10/05/11 INHIBITEX, INC. DE 5.02 10/03/11 INLAND REAL ESTATE CORP MD 1.01,3.03,5.03,8.01, 09/29/11 9.01 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 5.02 09/28/11 INSIGNIA SYSTEMS INC/MN MN 8.01 09/29/11 INTEGRATED ELECTRICAL SERVICES INC DE 5.02,9.01 10/03/10 INTERMUNE INC DE 5.07 05/10/11 AMEND INTERNATIONAL ISOTOPES INC TX 8.01 09/30/11 INTERPHASE CORP TX 5.02 10/04/11 JACOBS ENGINEERING GROUP INC /DE/ DE 5.02,9.01 09/29/11 JAKKS PACIFIC INC DE 8.01,9.01 10/05/11 JMP Group Inc. DE 5.07 06/06/11 AMEND KOHLS Corp WI 5.03,9.01 10/03/11 Laredo Oil, Inc. DE 4.01,9.01 09/30/11 LaSalle Hotel Properties MD 7.01,8.01,9.01 10/05/11 LEXON TECHNOLOGIES INC DE 1.01 10/03/11 Liberty Gold Corp. DE 3.02,8.01,9.01 09/10/11 Location Based Technologies, Inc. NV 8.01,9.01 10/04/11 LODGENET INTERACTIVE CORP DE 5.02 10/01/11 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 10/05/11 MATRIXX RESOURCE HOLDINGS, INC. DE 4.01,8.01,9.01 10/05/11 MEDGENICS, INC. DE 5.05,9.01 09/29/11 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 10/04/11 Molycorp, Inc. DE 7.01,9.01 10/05/11 MONARCH CASINO & RESORT INC NV 8.01,9.01 10/05/11 MONSANTO CO /NEW/ DE 2.02,9.01 10/05/11 Morgan Stanley Capital I Trust 2011-C 8.01,9.01 10/05/11 MOSAIC CO 2.02,9.01 09/29/11 MOTRICITY INC DE 1.01,5.02,9.01 09/29/11 MULTI COLOR Corp OH 1.01,2.01,2.03,3.02, 09/30/11 5.02,8.01,9.01 Nationstar Mortgage LLC DE 1.01 09/29/11 Naugatuck Valley Financial Corp MD 2.02,4.02 09/30/11 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 10/04/11 New Leaf Brands, Inc. NV 1.01,2.03,3.02,9.01 08/24/11 NEWPORT CORP NV 7.01 10/05/11 NEWS CORP 8.01,9.01 10/05/11 NewStar Financial, Inc. 8.01 09/29/11 NEXTERA ENERGY INC FL 5.02,7.01 10/05/11 NGA Holdco, LLC NV 4.01 09/29/11 Nielsen Holdings N.V. P7 1.01 09/29/11 Noble Corp / Switzerland V8 5.02,9.01 09/06/11 NOBLE ENERGY INC DE 1.01,2.03,7.01,8.01, 09/30/11 9.01 NV ENERGY, INC. NV 1.01 09/29/11 OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 10/05/11 ORBIT INTERNATIONAL CORP DE 1.01,9.01 10/01/11 ORION ENERGY SYSTEMS, INC. WI 1.01,2.03,9.01 09/30/11 ORION FUTURES FUND LP NY 3.02 10/01/11 PACWEST BANCORP DE 5.07 10/05/11 AMEND PAID INC DE 1.01,2.03,3.02 08/05/11 PARAMETRIC TECHNOLOGY CORP MA 1.01,9.01 09/30/11 Park Place Energy Corp. NV 3.02,5.02 09/30/11 Phillips Edison - ARC Shopping Center MD 7.01,8.01,9.01 09/29/11 PIONEER DRILLING CO TX 7.01,9.01 10/05/11 POLYONE CORP 1.01,9.01 09/30/11 POTOMAC FUTURES FUND LP NY 3.02 10/01/11 PRESSURE BIOSCIENCES INC MA 1.01,2.03,3.02 10/05/11 PUBLIC MEDIA WORKS INC DE 5.02 10/04/11 Q LOTUS HOLDINGS INC NV 1.01,5.02,9.01 09/28/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,3.02,9.01 09/29/11 QUEPASA CORP NV 5.02,8.01 10/02/11 REALOGY CORP DE 2.02,9.01 10/05/11 Regeneca, Inc. NV 1.02 10/04/11 REGIS CORP MN 5.02,9.01 10/02/11 RENTECH INC /CO/ CO 5.07 05/11/11 AMEND REPLIGEN CORP DE 2.02,9.01 10/04/11 ROCKWELL MEDICAL TECHNOLOGIES INC MI 5.07 05/26/11 AMEND ROLLINS INC DE 8.01,9.01 10/03/11 RPM INTERNATIONAL INC/DE/ DE 2.02,9.01 10/05/11 RUBY TUESDAY INC GA 2.02,5.07,9.01 10/05/11 SABINE ROYALTY TRUST TX 2.02,9.01 10/04/11 Scrap China CORP UT 8.01 10/05/11 SELECT COMFORT CORP MN 7.01,9.01 10/05/11 SELECTICA INC DE 1.01,2.03,9.01 09/29/11 SILICON SOUTH INC 5.02 09/30/11 SILVERADO GOLD MINES LTD A1 7.01,9.01 10/04/11 SOLTA MEDICAL INC DE 7.01,9.01 10/05/11 Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 10/04/11 Sono Resources, Inc. NV 7.01,9.01 10/05/11 SP Bancorp, Inc. MD 8.01,9.01 10/05/11 STILLWATER MINING CO /DE/ DE 2.01,3.02,8.01,9.01 10/04/11 STR HOLDINGS, INC. DE 8.01,9.01 10/03/11 SunCoke Energy, Inc. 5.02 09/30/11 SunCoke Energy, Inc. 7.01,9.01 10/05/11 SYSTEMAX INC DE 5.02 10/04/11 TARGET CORP MN 5.02,9.01 10/03/11 Tianli Agritech, Inc. D8 7.01,9.01 10/04/11 TITANIUM METALS CORP DE 7.01 10/04/11 Transcept Pharmaceuticals Inc DE 7.01,9.01 10/04/11 TRANSWITCH CORP /DE DE 2.05,5.02,7.01,9.01 09/30/11 Tree.com, Inc. DE 1.01,2.03,9.01 09/30/11 TRIPLE-S MANAGEMENT CORP 8.01,9.01 10/03/11 AMEND TRIQUINT SEMICONDUCTOR INC DE 5.07 05/13/11 AMEND Two Harbors Investment Corp. 8.01,9.01 10/05/11 UIL HOLDINGS CORP CT 8.01,9.01 10/04/11 US AIRWAYS GROUP INC DE 2.02,9.01 10/05/11 US AIRWAYS GROUP INC DE 2.02,9.01 10/05/11 VALASSIS COMMUNICATIONS INC DE 5.02 10/03/11 Vanguard Natural Resources, LLC DE 1.01,9.01 10/05/11 Visual Network Design, Inc. NV 1.01,4.01,5.02,5.03, 09/29/11 8.01,9.01 VORNADO REALTY LP DE 2.02,8.01,9.01 10/04/11 VORNADO REALTY TRUST MD 2.02,8.01,9.01 10/04/11 Vringo Inc DE 8.01,9.01 10/04/11 Vu1 CORP CA 5.02 09/28/11 WALTER INVESTMENT MANAGEMENT CORP MD 7.01 10/05/11 WARRINGTON FUND LP NY 3.02 10/01/11 WASHINGTON BANKING CO WA 5.02 10/04/11 WASTE MANAGEMENT INC DE 5.02,9.01 10/02/11 WELLS FARGO & CO/MN DE 9.01 10/05/11 Westinghouse Solar, Inc. DE 3.01 10/04/11 Willow Creek Enterprises Inc. 1.01 10/04/11 Wonder Auto Technology, Inc NV 5.02,8.01,9.01 09/29/11 XCel Brands, Inc. DE 1.01,2.01,3.02,4.01, 09/29/11 5.02,5.03,5.05,5.06, 9.01 YUM BRANDS INC NC 2.02,9.01 10/04/11 Zevotek, Inc DE 5.01,5.03,5.07,9.01 09/12/11 Zoro Mining Corp. NV 1.01,9.01 10/04/11 Zumiez Inc WA 7.01,9.01 10/05/11