In the Matter of UCBH Holdings, Inc.
On October 11, 2011, the Commission issued an Order Instituting Public Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against UCBH Holdings, Inc. (UCBH).
The Order states that the Commission deems it necessary and appropriate for the protection of investors that public administrative proceedings be instituted to determine whether to suspend for a period not exceeding twelve months, or to revoke the registration of, UCBH’s securities registered pursuant to Section 12 of the Exchange Act.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide UCBH an opportunity to respond to these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. An Administrative Law Judge will issue an initial decision no later than 120 days from the date of service of the Commission’s Order. (Rel. 34-65531; File No. 3-14584)
SEC v. M. Jason Hanold
The Securities and Exchange Commission today filed a civil injunctive action in the U.S. District Court for the Northern District of Illinois charging M. Jason Hanold, a former managing director at an executive search firm in Chicago, with illegal insider trading in Hewitt Associates stock.
The SEC alleges that on July 7, Hanold bought shares of Hewitt Associates stock after learning of the impending merger from his wife, who was an executive at Aon at the time. He did so despite requests from his wife that he keep this nonpublic information confidential.
According to the SEC’s complaint, Hanold’s wife told Hanold during a July 6, 2011 telephone call that Aon and Hewitt Associates had arrived at a merger agreement and that a public announcement was to be made soon. Despite assuring his wife that he would keep this information confidential, Hanold purchased Hewitt Associate’s stock on July 7, 2011, before the July 12, 2011 public announcement of this merger agreement. The announcement caused Hewitt Associates’ stock price to increase by more than 32%. Hanold sold all of his shares that day for a profit of $10,241.
Hanold has consented to entry of a final judgment that permanently enjoins him from violating Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. Hanold has also consented to pay $20,766 in disgorgement, prejudgment interest and civil penalties. The settlement is subject to approval by the court.
The Commission thanks FINRA for its assistance in this matter. [SEC v. M. Jason Hanold, 11-cv-07148 (N.D. Ill.)] (LR-22118)
Court Enters Final Judgment Settling Action Against Former Brocade CEO Gregory Reyes
The Securities and Exchange Commission announced that on August 18, 2011, the Honorable Charles R. Breyer, United States District Judge for the Northern District of California, entered Final Judgment as to Gregory L. Reyes, based on his Consent submitted in order to settle the Commission’s action against him.
The Final Judgment against Reyes, which he agreed to without admitting or denying the allegations against him, provides that he is enjoined from violating Section 17(a) of the Securities Act of 1933 (“Securities Act”), Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”), and Rules 10b 5, 13a 14, 13b2 1, and 13b2 2 thereunder, and from 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; orders him to pay disgorgement in the amount of $150,000, plus prejudgment interest thereon in the amount of $145,219.74; orders him to pay a civil penalty in the amount of $550,000; and prohibits him, for ten years, from acting as an officer or director of a public company.
The Commission’s complaint alleged that Reyes, the former CEO of Brocade Communications Systems, Inc., a San Jose computer networking company, engaged in a years-long fraudulent stock options backdating scheme. [SEC v. Gregory L. Reyes, et al., Case No. C-06-4435] (LR-22119)
SEC Charges Murdoch Security & Investigations, Inc. With Fraud and Conducting an Illegal Offering of Securities
On October 7, 2011, United States District Judge John G. Koeltl entered an order, consistent with a stipulated agreement between the Commission and Defendants, preliminarily enjoining Murdoch Security & Investigations, Inc. (“Murdoch”) and its two principal officers, Robert Goldstein and William Vassell from continuing an allegedly illegal, unregistered offering and sale of securities that the Commission alleges raised more than $1 million from noteholders, who were promised 22% annual interest on their investments. Judge Koeltl’s order also preliminarily enjoined Defendants Murdoch and Goldstein from further violations of certain anti-fraud provisions of the federal securities laws and froze certain of Defendants’ assets pending final disposition of the case.
The Commission’s complaint, filed in the U.S. District Court for the Southern District of New York, alleges that Defendants, beginning in approximately October 2010, offered and sold notes to investors by placing advertisements in the Wall Street Journal and other financial press. The Commission further alleges that Murdoch, through Goldstein, misrepresented material facts to investors about the security company, including boasts of highly lucrative overseas operations when, in fact, Murdoch lacked any international business whatsoever.
According to the Commission’s complaint, Murdoch told investors that capital was needed to finance acquisitions of additional security companies that would enhance Murdoch’s overall revenues and fund 22% interest payments to noteholders. In reality, the Commission alleges, money from new investors has been used primarily to fund interest payments to earlier investors and to pay the salaries of Defendants Goldstein and Vassell.
The Commission’s complaint charges each Defendant with violations of Sections 5(a) and 5(c) of the Securities Act of 1933, and Defendants Murdoch and Goldstein with violations of Section 17(a) of the Securities Act, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
The Commission is seeking permanent injunctions against the defendants, and to have them return their allegedly ill-gotten gains with prejudgment interest, and pay civil monetary penalties.
The Commission acknowledges the assistance of the New York District Attorney’s Office in connection with this matter. [SEC v. Murdoch Security & Investigations, Inc., Robert Goldstein, and William Vassell, Civil Action No. 11 Civ. 7076 (S.D.N.Y.)] (LR-22120)
SEC Charges Four Bank Executives With Fraudulent Financial Reporting
The Securities and Exchange Commission announced that on Oct. 11, 2011, it charged former bank executives with misleading investors about mounting loan losses at San Francisco-based United Commercial Bank during 2008 and 2009. According to the SEC, former Chief Executive Officer Thomas Wu, Chief Operating Officer Ebrahim Shabudin, and senior officer Thomas Yu concealed losses on loans and other assets from the bank’s auditors, causing the bank’s public holding company UCBH Holdings, Inc. (UCBH) to understate 2008 operating losses by at least $65 million.
In a complaint filed in federal court in San Francisco, the SEC alleges that Wu, Shabudin, and Yu deliberately delayed the proper recording of loan losses, and that each committed securities fraud by making false and misleading statements to investors and UCBH’s independent auditors. The complaint alleges that during December 2008 and the first three months of 2009, as the company prepared its 2008 financial statements, Wu, Shabudin, and Yu were aware of significant losses on several large loans. Among other things, these executives are alleged to have learned about dramatically reduced property appraisals and worthless collateral securing the loans, yet they repeatedly hid this information from UCBH’s auditors and investors.
The SEC’s complaint also alleges that the bank’s former Chief Financial Officer Craig On acted negligently by misleading the company’s outside auditors and aiding the filing of false financial statements. On agreed to settle the SEC charges without admitting or denying the allegations. He will be permanently enjoined from violating certain antifraud, reporting, record-keeping, and internal controls provisions of the federal securities laws and will pay a $150,000 penalty. On also consented to the issuance of an administrative order suspending him from appearing or practicing before the SEC as an accountant, with a right to apply for reinstatement after five years.
The SEC’s complaint charges Wu with knowingly violating the antifraud provisions of Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint charges Shabudin and Yu with knowingly violating Sections 17(a)(1) and 17(a)(3) of the Securities Act and Section 10(b) and Rule 10b-5 of the Exchange Act. Wu, Shabudin, and Yu are charged with aiding and abetting UCBH’s violation of Section 10(b) and Rule 10b-5 of the Exchange Act. The complaint charges On with violating Sections 17(a)(2) and 17(a)(3) of the Securities Act. Each of the defendants is charged with aiding and abetting UCBH’s violation of its periodic reporting requirements under Section 13(a) and Rules 12b-20, 13a-1, and 13a-11of the Exchange Act, aiding and abetting UCBH’s violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act, and falsifying books and records and making false or misleading statements to auditors in violation of Exchange Act Rules 13b2-1 and 13b2-2. The SEC’s complaint seeks permanent injunctive relief, a judgment barring Wu, Shabudin, and Yu from serving as officers or directors of any public company, and civil money penalties.
Lloyd Farnham, Michael Fortunato, Jason Habermeyer, and Cary Robnett of the SEC’s San Francisco Regional Office conducted the SEC’s investigation. The SEC’s litigation will be handled by Lloyd Farnham and Robert Mitchell.
The SEC acknowledges the assistance of the FDIC, U.S. Attorney’s Office for the Northern District of California, Federal Bureau of Investigation, Office of the Special Inspector General for the Troubled Asset Relief Program (SIGTARP), FDIC’s Office of Inspector General, and Office of Inspector General for the Board of Governors of the Federal Reserve System. (Press Rel. 2011-202) [SEC v. Thomas Wu, Ebrahim Shabudin, Thomas Yu, and Craig On, Civil Case No. CV-11-4988 LB (N.D. Cal.)] (LR-22121; AAE Rel. 3327)
SEC Charges Chicago-Area Company and CEO with Defrauding Investors in $20 Million Stock Offering Scheme
On October 11, 2011, the SEC filed a civil enforcement action in the United States District Court for the Northern District of Illinois against Gregory E. Webb and InfrAegis, Inc. Webb, a 64-year-old resident of Arlington Heights, Illinois, is the Chairman, CEO, and President of InfrAegis. InfrAegis is a company based in the Chicago suburb of Elk Grove Village, Illinois and purports to make products for the homeland security market. The SEC’s Complaint charges Webb and InfrAegis with conducting a fraudulent, unregistered offering of InfrAegis stock that raised over $20 million from hundreds of investors across the country.
The SEC’s Complaint alleges that, throughout the offering, in written offering materials provided to investors, Webb and InfrAegis made false and misleading claims about InfrAegis’ commercial success, including the existence of contracts for the sale of InfrAegis’ products. For example, according to the SEC’s Complaint, Webb and InfrAegis made false and misleading statements to investors about the existence of lucrative contracts with the City of Chicago and the Washington Metropolitan Area Transit Authority that would result in billions of dollars in revenue for InfrAegis. The SEC also alleges that Webb and InfrAegis made false and misleading claims about the purported sale of a partial stake in InfrAegis for $8.7 billion, which they told investors would result in 3800% to 4000% returns on their investments. According to the Complaint, Webb personally solicited investors during conference calls in which he repeated these false and misleading claims.
Based on their conduct, the SEC alleges that Webb and InfrAegis violated the registration and antifraud provisions of the federal securities laws. The SEC’s Complaint seeks a permanent injunction and disgorgement, plus prejudgment interest, against Webb and InfrAegis and a civil penalty against Webb. [SEC v. Gregory E. Webb and InfrAegis, Inc., Civil Action No. 1:11-cv-07152 (N.D. Ill.)] (LR-22122)
NGP Capital Resources Company, et al.
A notice has been issued giving interested persons until November 1, 2011, to request a hearing on an application filed by NGP Capital Resources Company, et al., for an order under Section 57(a)(4) and 57(i) of the Investment Company Act of 1940 (Act) and Rule 17d-1 under the Act to permit certain joint transactions otherwise prohibited by Section 57(a)(4) of the Act. The order would permit a business development company to co-invest with certain affiliates in portfolio companies. (Rel. IC-29831 - October 7)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-BX-2011-066) filed by the NASDAQ OMX BX, Inc. relating to inbound routing from an affiliated exchange 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. 34-65514)
A proposed rule change (SR-BYX-2011-026) filed by the BATS Y-Exchange, Inc. to extend the pilot period of the inbound router, as described in Rule 2.12, 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. 34-65515)
A proposed rule change (SR-BATS-2011-040) filed by the BATS Exchange, Inc. to extend the pilot period of the inbound router, as described in Rule 2.12, 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. 34-65516)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-097) to amend the Fees Schedule 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. 34-65517)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-096) to amend the Fees Schedule 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. 34-65518)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-094) to amend the Fees Schedule 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. 34-65519)
A proposed rule change submitted by C2 Options Exchange, Incorporated to insert the specific conclusion date of a newly approved pilot program (SR-C2-2011-029) 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. 34-65521)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-56) relating to fees and rebates for certain orders executed on the Exchange 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. 34-65522)
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 SILVER HORN MINING LTD., 3266 W. GALVESTON DRIVE, APACHE JUNCTION, AZ, 85120, (480) 288-6530 - 10,000,000 ($10,000,000.00) Equity, (File 333-177207 - Oct. 7) (BR. 10C) S-3 PACIFIC MERCANTILE BANCORP, 949 SOUTH COAST DRIVE, THIRD FLOOR, COSTA MESA, CA, 92626, 714-438-2500 - 0 ($6,778,944.00) Equity, (File 333-177208 - Oct. 7) (BR. 07C) S-1 UNIVERSAL TECH CORP, 5/10 DISKIN ST, JERUSALEM, L3, 96440, 855 334 3331 - 1,200,000 ($120,000.00) Equity, (File 333-177209 - Oct. 7) (BR. 02) F-1 Arcos Dorados Holdings Inc., Roque Saenz Pena 432, B1636FFB Olivos, Buenos Aires, C1, None, 011 54 11 4711 2000 - 0 ($50,000,000.00) Equity, (File 333-177210 - Oct. 7) (BR. 05C) S-3 COBIZ FINANCIAL INC, 821 - 17TH STREET, SUITE 900, DENVER, CO, 80202, 3032932265 - 0 ($57,366,000.00) Other, (File 333-177216 - Oct. 7) (BR. 07A) S-3 SWS GROUP INC, SUITE 3500, 1201 ELM STREET, DALLAS, TX, 75270, 2146511800 - 17,391,304 ($77,913,041.92) Equity, (File 333-177217 - Oct. 7) (BR. 12A) S-3ASR WEINGARTEN REALTY INVESTORS /TX/, 2600 CITADEL PLAZA DR, SUITE 300, HOUSTON, TX, 77292, 7138666000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177218 - Oct. 7) (BR. 08C) S-4 AMERISTAR CASINOS INC, 3773 HOWARD HUGHES PKWY, SUITE 490 SOUTH, LAS VEGAS, NV, 89169, 7025677000 - 0 ($800,000,000.00) Non-Convertible Debt, (File 333-177220 - Oct. 7) (BR. 08C) S-1 ALENTUS CORP, 3050 RAINBOW AVE, PAHRUMP, NV, 89048, 877-922-9903 - 4,393,846 ($123,027.69) Equity, (File 333-177221 - Oct. 7) (BR. 11) S-3ASR CLOUD PEAK ENERGY INC., 505 SOUTH GILLETTE AVE., GILLETTE, WY, 82716, 307-687-6000 - 0 ($0.00) Other, (File 333-177222 - Oct. 7) (BR. 09B) S-3ASR NUVASIVE INC, 7475 LUSK BLVD., SAN DIEGO, CA, 92121, (858) 909-1800 - 0 ($36,491,444.00) Equity, (File 333-177223 - Oct. 7) (BR. 10B) F-3 EDAP TMS SA, PARC D'ACTIVITES LA POUDRETTE LAMARTINE, 4 RUE DU DAUPHINE, 69120 VAULX EN VELIN, I0, 30,000,000 ($30,000,000.00) Equity, (File 333-177224 - Oct. 7) (BR. 10A) S-8 SUN RIVER ENERGY, INC, 5950 BERKSHIRE LANE, SUITE 1650, DALLAS, TX, 75225, (214) 739-9191 - 5,000,000 ($13,500,000.00) Equity, (File 333-177227 - Oct. 7) (BR. 04B) S-8 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 - 0 ($252,165.22) Equity, (File 333-177229 - Oct. 7) (BR. 03C) S-1 LendingClub Corp, 71 STEVENSON ST., 3RD FL., SAN FRANCISCO, CA, 94115, 415-632-5666 - 0 ($1,000,000,000.00) Other, (File 333-177230 - Oct. 7) (BR. 07B) S-4 DUCOMMUN INC /DE/, 23301 WILMINGTON AVE., CARSON, CA, 90745, 3105137280 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-177231 - Oct. 7) (BR. 05A)
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 3D SYSTEMS CORP DE 5.03,5.07,9.01 10/07/11 AARON'S INC GA 7.01,9.01 10/05/11 ADHEREX TECHNOLOGIES INC 8.01 10/07/11 AdvanSource Biomaterials Corp DE 5.07 10/07/11 AGCO CORP /DE DE 5.07 07/20/11 AMEND Alexza Pharmaceuticals Inc. DE 1.01,9.01 10/05/11 Alkermes plc. L2 5.02 10/05/11 ALLSTATE CORP DE 8.01,9.01 10/07/11 Alto Group Holdings Inc. NV 3.02,5.02,5.03,5.07, 10/05/11 9.01 AMEREN CORP MO 2.06 10/04/11 American Energy Development Corp. NV 1.01,3.02,7.01,9.01 10/03/11 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01,9.01 09/19/11 AMEND AMERICAN SUPERCONDUCTOR CORP /DE/ DE 8.01 10/07/11 American Water Works Company, Inc. DE 8.01 10/03/11 AMERITRANS CAPITAL CORP DE 3.01 10/03/11 ANAREN INC NY 2.02,9.01 10/06/11 ARETE INDUSTRIES INC CO 2.01,3.02,5.03,7.01, 09/16/11 9.01 ASB Bancorp Inc NC 8.01,9.01 10/07/11 Augme Technologies, Inc. DE 5.02 10/07/11 AXIM INTERNATIONAL INC. NV 3.02 09/30/11 BANK OF AMERICA CORP /DE/ DE 5.02,9.01 10/06/11 BEAM INC DE 2.01,2.05,5.02,5.03, 10/03/11 9.01 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 10/06/11 BigBand Networks, Inc. DE 5.07 09/30/11 AMEND BLACKHAWK CAPITAL GROUP BDC INC DE 8.01 10/07/11 BLUE COAT SYSTEMS INC DE 5.07 10/06/11 Book Merge Technology, Inc. NV 1.01,2.01,3.02,5.01, 11/29/10 AMEND 5.02,5.06 BreitBurn Energy Partners L.P. DE 2.01,7.01,8.01,9.01 10/05/11 BRUKER CORP DE 2.02,7.01 10/07/11 Bullfrog Gold Corp. DE 2.01,3.02,4.01,5.01, 09/30/11 AMEND 5.03,5.06,9.01 Cadista Holdings Inc. DE 1.01,9.01 10/06/11 CAMBIUM LEARNING GROUP, INC. 8.01 10/06/11 Cardiovascular Systems Inc DE 2.02,9.01 10/06/11 CATASYS, INC. DE 1.01,2.01,2.03,3.02, 10/05/11 9.01 CBRE GROUP, INC. DE 2.01,9.01 10/03/11 CBS CORP DE 5.02,9.01 10/06/11 CBS CORP DE 5.02,9.01 10/05/11 CHINA NUVO SOLAR ENERGY INC NV 5.02,9.01 10/03/11 ChromaDex Corp. 5.07 10/04/11 CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 10/03/11 COACH INC MD 5.02,9.01 10/07/11 COMMERCIAL BARGE LINE CO DE 5.02 10/03/11 CONCEPTUS INC DE 1.01,9.01 10/03/11 CONOCOPHILLIPS DE 5.02 10/05/11 CONTINENTAL RESOURCES INC OK 2.02,9.01 10/07/11 COVENANT TRANSPORTATION GROUP INC NV 1.01,2.02,2.03,9.01 10/07/11 COWEN GROUP, INC. 5.02,9.01 10/07/11 CST HOLDING CORP. CO 1.01,5.02,9.01 09/09/11 CYBEX INTERNATIONAL INC NY 3.01 10/04/11 Cyclacel Pharmaceuticals, Inc. DE 3.03 10/06/11 DICKS SPORTING GOODS INC DE 5.02 10/03/11 DIGITALGLOBE INC 1.01,9.01 10/05/11 Duke Energy CORP DE 8.01 10/06/11 DUNE ENERGY INC DE 1.01,7.01,9.01 10/06/11 Dynamic Gold Corp. NV 5.02,9.01 10/07/11 ECO VENTURES GROUP, INC. NV 7.01 10/07/11 Emdeon Inc. DE 8.01,9.01 10/07/11 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 10/07/11 EXCELSIOR LASALLE PROPERTY FUND INC 2.04 10/05/11 EXCO RESOURCES INC TX 5.07,9.01 10/06/11 EXELON CORP PA 8.01 10/07/11 FAIR ISAAC CORP DE 5.02,9.01 10/06/11 FBL FINANCIAL GROUP INC IA 1.01,8.01,9.01 10/06/11 Federal Home Loan Bank of Dallas 2.03,9.01 10/03/11 FIRST BANCORP /PR/ PR 1.01,9.01 10/03/11 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 10/03/11 FIRST PLACE FINANCIAL CORP /DE/ DE 3.01,9.01 10/03/11 FIRST UNITED CORP/MD/ MD 5.02 09/23/11 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 5.02 10/06/11 FLUIDIGM CORP DE 2.02,9.01 10/07/11 FNB United Corp. NC 8.01,9.01 10/04/11 FNBH BANCORP INC MI 3.03,9.01 10/03/11 Ford Credit Floorplan Master Owner Tr DE 1.01,8.01,9.01 10/06/11 FS Energy & Power Fund DE 2.02,9.01 10/04/11 FSB Community Bankshares Inc X1 1.01,9.01 10/07/11 GALLAGHER ARTHUR J & CO DE 5.07 05/10/11 AMEND GANNETT CO INC /DE/ DE 5.02,7.01,9.01 10/06/11 GENTA INC DE/ DE 8.01 10/07/11 GeoEye, Inc. DE 5.02 10/06/11 GEORESOURCES INC CO 2.02,7.01,9.01 10/03/11 Global Aviation Holdings Inc. DE 7.01,9.01 10/06/11 GTX CORP NV 5.02 10/03/11 HAMPTON ROADS BANKSHARES INC VA 5.07 10/04/11 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,7.01,9.01 10/06/11 HAWAIIAN HOLDINGS INC DE 5.02,9.01 10/04/11 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 5.02 10/04/11 HIDENET SECURE ARCHITECTURES INC NJ 1.01,5.02 10/04/11 Hill International, Inc. DE 1.01,9.01 09/30/11 ICG GROUP, INC. DE 5.02,9.01 10/04/11 ILLUMINA INC DE 2.02 10/06/11 IMAGINE MEDIA LTD DE 3.02 09/12/11 INTERNATIONAL LEASE FINANCE CORP CA 7.01,8.01,9.01 10/07/11 IPAYMENT INC DE 1.01,9.01 10/05/11 KILLBUCK BANCSHARES INC OH 5.02 10/03/11 KINGSTONE COMPANIES, INC. DE 8.01,9.01 10/04/11 KL Energy Corp NV 8.01 10/07/11 LEFT BEHIND GAMES INC. WA 1.01,3.02,9.01 10/06/11 LEHMAN ABS CORP MOTOROLA DEBENTURE BA DE 8.01,9.01 10/03/11 LIBERTY ENERGY CORP. NV 4.01,9.01 09/23/11 LIQUIDITY SERVICES INC DE 1.01,2.01,8.01,9.01 10/03/11 Location Based Technologies, Inc. NV 8.01,9.01 10/07/11 MAGELLAN PETROLEUM CORP /DE/ DE 4.01,9.01 10/03/11 MANPOWER INC /WI/ WI 1.01,1.02,9.01 10/05/11 MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 10/03/11 MATERIAL SCIENCES CORP DE 2.02,9.01 10/07/11 Matter of Time I Co. NV 5.01,5.02 10/03/11 Merilus, Inc. NV 4.01,9.01 10/04/11 MESA LABORATORIES INC /CO CO 8.01 10/04/11 METABOLIX, INC. 5.07 05/19/11 AMEND MEXICO FUND INC MD 7.01,9.01 09/30/11 MMRGlobal, Inc. DE 5.02 09/30/11 MobileBits Holdings Corp NV 1.01,9.01 10/03/11 Morningstar, Inc. IL 7.01 10/07/11 MTS SYSTEMS CORP MN 8.01,9.01 10/06/11 Nationstar Mortgage LLC DE 5.02 10/07/11 NEWPORT CORP NV 1.01,1.02,2.01,2.03, 10/04/11 9.01 nFinanSe Inc. 1.01,9.01 09/30/11 NGL Energy Partners LP DE 1.01,2.01,3.02,5.02, 10/03/11 8.01,9.01 NorthStar Real Estate Income Trust, I MD 5.02 10/05/11 NovaBay Pharmaceuticals, Inc. CA 7.01,9.01 10/04/11 Nuance Communications, Inc. DE 2.01,9.01 10/06/11 NUVASIVE INC DE 2.01,3.02,8.01,9.01 10/07/11 NV ENERGY, INC. NV 1.01,2.03 10/07/11 Oasis Petroleum Inc. DE 1.01,2.03,7.01,9.01 10/06/11 OM GROUP INC DE 5.07 05/10/11 AMEND OPENWAVE SYSTEMS INC DE 5.02 10/03/11 PALATIN TECHNOLOGIES INC DE 1.01,8.01,9.01 10/07/11 PALL CORP NY 8.01,9.01 10/06/11 PATRIOT SCIENTIFIC CORP DE 8.01,9.01 09/30/11 PATTERSON COMPANIES, INC. MN 8.01 09/23/11 PCS EDVENTURES COM INC ID 1.01 09/14/11 AMEND PENN VIRGINIA RESOURCE PARTNERS L P DE 5.02 10/06/11 PennantPark Floating Rate Capital Ltd 7.01,9.01 10/07/11 PENNANTPARK INVESTMENT CORP 7.01,9.01 10/07/11 PIER 1 IMPORTS INC/DE DE 1.01,9.01 10/05/11 POWER EFFICIENCY CORP DE 1.01,3.02,9.01 10/04/11 PRESSURE BIOSCIENCES INC MA 3.01 10/07/11 RAPTOR NETWORKS TECHNOLOGY INC 4.01,9.01 09/28/11 AMEND RARE ELEMENT RESOURCES LTD A1 7.01,9.01 09/07/11 RESMED INC DE 8.01 10/06/11 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 5.02 09/30/11 Sagebrush Gold Ltd. NV 3.02,9.01 10/03/11 SCANSOURCE INC SC 2.02,9.01 10/07/11 SCHMITT INDUSTRIES INC OR 2.02,9.01 10/07/11 SeaBright Holdings, Inc. DE 5.02 10/03/11 SIMON PROPERTY GROUP L P /DE/ DE 1.01,1.02,2.03,9.01 10/05/11 SKYLINE CORP IN 2.02,9.01 10/07/11 SMITH & WESSON HOLDING CORP NV 2.05 10/05/11 Solar Senior Capital Ltd. MD 7.01,9.01 10/07/11 SOUTHWEST AIRLINES CO TX 2.02,9.01 09/30/11 SPARTECH CORP DE 7.01,9.01 10/06/11 STAGE STORES INC NV 8.01,9.01 10/06/11 Stevia Corp NV 5.02,8.01,9.01 10/04/11 SURMODICS INC MN 5.02,9.01 10/03/11 TESLA MOTORS INC DE 5.07 06/01/11 AMEND TRAILER BRIDGE INC 1.01,3.01,9.01 10/06/11 TRANSATLANTIC HOLDINGS INC DE 5.02 10/07/11 TRANSGENOMIC INC DE 7.01,9.01 10/06/11 UNITED FIRE & CASUALTY CO IA 9.01 03/28/11 AMEND United States Oil & Gas Corp DE 1.01,2.01,7.01,9.01 10/04/11 UNIVERSAL CITY DEVELOPMENT PARTNERS L 3.03,7.01,9.01 10/07/11 VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 1.01,3.02,9.01 10/05/11 VILLAGE SUPER MARKET INC NJ 7.01,9.01 10/06/11 Voyager Oil & Gas, Inc. DE 4.01,9.01 10/06/11 WALT DISNEY CO/ DE 5.02,8.01,9.01 10/05/11 WARNACO GROUP INC /DE/ DE 5.07 05/11/11 AMEND WHITE MOUNTAINS INSURANCE GROUP LTD D0 8.01,9.01 10/07/11 WINGS & THINGS INC NV 4.01,9.01 10/05/11 WORLD HEALTH ENERGY HOLDINGS, INC. DE 5.02,9.01 10/04/11 Zep Inc. DE 5.02,8.01 10/05/11 ZION OIL & GAS INC DE 8.01,9.01 10/07/11