SEC and FSA Co-Host International Roundtable on Market Structures
Securities and Exchange Commission Chairman Mary Schapiro and Martin Wheatley, Managing Director of the Conduct Business Unit at the U.K. Financial Services Authority (FSA), today co-hosted a meeting among regulators from Europe, the Americas, Asia, and Australia to share views on issues pertaining to equity market structure.
The roundtable, held at FSA headquarters in London, considered how advances in technology, new trading strategies, and the increasing integration and globalization of markets have impacted developments in equity market structure. Specifically, the leaders of the various regulatory agencies shared their views on issues related to automated trading strategies, such as high frequency trading, market fragmentation, and undisplayed liquidity (for example, “dark pools”). The participants also discussed possible approaches that regulators might adopt in the light of these market structure developments. The discussion highlighted the need for global coordination on regulatory approaches to many of these issues.
Chairman Schapiro said, “The rapid developments in trading technologies and trading platforms have had a profound impact on the evolution in the structure of markets around the world. This roundtable provided an important opportunity for regulators to share their experiences and their views on these developments. Cooperation among regulators at an international level is increasingly vital in ensuring the safety and soundness of our markets and protecting investors, and the meeting was a tremendous success in advancing such cooperation on market structure issues.”
Mr. Wheatley added, “The meeting provided an opportunity for regulators from around the globe to discuss vital markets structure issues, particularly the impact and role of high frequency trading. The meeting allowed for the sharing of useful information between the regulators and will contribute to a sound basis for continued work to be done at a global level.”
Today’s meeting laid the groundwork for future discussions on these issues, allowing securities regulators an opportunity to continue to work together to address advances in technology and new trading strategies. (Press Rel. 2011-209)
SEC Announces Agenda and Panelists for Roundtable on Conflict Minerals
The Securities and Exchange Commission today announced the agenda and panelists for a public roundtable on 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 October 18 roundtable, announced last month, will feature two panels discussing key issues related to the SEC’s required rulemaking, including what is covered by the rule, what steps will be required to comply with the rule, and reporting under the rule.
The event will begin at 12:30 p.m. in the auditorium at the SEC’s Washington, D.C. headquarters, with public seating on a first-come, first-served basis. The event also can be viewed by live webcast, and will be archived on the website for later viewing.
The SEC staff welcomes feedback on the topics that are discussed at the roundtable. The information that is submitted will become part of the public record of the roundtable. Submissions to the Commission can be made electronically by using the Internet submission form or sending an e-mail to email@example.com. Paper comments can be sent in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, D.C. 20549-1090.
All submissions should refer to File Number S7-40-10. This file number should be included on the subject line if e-mail is used. To help process and review submissions more efficiently, please use only one method. The Commission is posting all comments on the SEC website. Please note that all submissions received will be posted without change. The agency does not edit personal identifying information from submissions. Only submit information intended to be available publicly. (Press Rel. 2011-210)
In the Matter of Dialpoint Communications Corp., Pacel Corp., and Tradequest International, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Respondents Dialpoint Communications Corp., Pacel Corp., and Tradequest International, Inc. (Default Order), in Dialpoint Communications Corp., Admin. Proc. No. 3-14539. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Dialpoint Communications Corp., Pacel Corp., and Tradequest International, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding is still ongoing as to Quantum Group, Inc. (The), which is in settlement talks with the Division of Enforcement. (Rel. 34-65557; File No. 3-14539)
Delinquent Filer’s Stock Registration Revoked
The registration of the registered securities of SJ Electronics, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-65558; File No. 3-14432)
Commission Revokes Registration of Securities of Golden Oil Co. for Failure to Make Required Periodic Filings
On October 14, 2011, the Commission revoked the registration of each class of registered securities of Golden Oil Co. (GOCO) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, GOCO consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Golden Oil Co. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of GOCO’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against GOCO in In the Matter of American Resource Technologies, Inc., et al., Administrative Proceeding File No. 3-14378.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of American Resource Technologies, Inc., et al., Administrative Proceeding File No. 3-14378, Exchange Act Release No. 64460 (May 11, 2011). (Rel. 34-65559; File No. 3-14378)
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. 34-65560; File No. 3-14587)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six 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 six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six 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. 34-65561; File No. 3-14588)
In the Matter of Samaritan Pharmaceuticals, Inc.
An Administrative Law Judge has issued an Initial Decision (Decision) as to Silver Eagle Resources Ltd. (n/k/a Mercator Minerals Ltd.) in Samaritan Pharmaceuticals, Inc., Admin. Proc. No. 3-14423. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Decision finds these allegations to be true and revokes the registration of each class of registered securities of Silver Eagle Resources Ltd. (n/k/a Mercator Minerals Ltd.), pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to the remaining Respondents. See Samaritan Pharmaceuticals, Inc., Exchange Act Release Nos. 65129 (Aug. 15, 2011), 64951 (July 25, 2011), 64866 (July 13, 2011). (Initial Decision No. 437; File No. 3-14423)
Commission Sets Aside Disciplinary Action Taken By PCX Equities, Inc. Against Michael Picozzi III
The Commission has set aside disciplinary action against Michael Picozzi III that was taken by PCX Equities, Inc., a former national securities exchange. The PCX had found that Picozzi, who was formerly associated with Andover Brokerage, failed to respond to a Notice of Summary Determination, which the PCX entered against Picozzi after he failed to respond to a PCX complaint alleging that Picozzi had not cooperated with a PCX investigation. The PCX censured and permanently barred Picozzi from association with any PCX member or member organization. NYSE Euronext, the PCX's successor in interest, did not oppose Picozzi's petition, noting that there was "uncertainty" surrounding PCX's attempt to serve Picozzi and that, "given the passage of time, the [NYSE] likely cannot now as a practical matter determine whether Picozzi, or even Andover for that matter, engaged in any improper conduct in connection with the trading that was the subject of the Investigation."
In granting Picozzi's petition, the Commission emphasized that its decision turned on the particular circumstances of the case, including the lack of evidence surrounding the PCX's attempts to serve Picozzi with the Notice of Summary Determination and the NYSE's statement that it did not oppose Picozzi's petition. The Commission further emphasized that its decision in no way diminished established precedent that a respondent's lack of awareness of official regulatory correspondence is not a defense where evidence shows that the regulatory entity properly sent correspondence to the address that the respondent provided to the regulatory agency. (Rel. 34-65569; File No. 3-14396)
Commission Dismisses Application For Review of FINRA Disciplinary Action
The Commission has dismissed an application for review of FINRA disciplinary action taken against Sharemaster, a FINRA member firm and a registered broker-dealer. FINRA found that Sharemaster violated Rule 17a-5 of the Securities Exchange Act by filing an annual report that was audited by an accounting firm that was not registered with the PCAOB. FINRA suspended the firm until it filed a compliant annual report. After Sharemaster filed an application for review, the suspension was lifted because Sharemaster filed a compliant annual report. As the Commission previously has held, "Section 19(d) does not . . . grant [the Commission] jurisdiction to review disciplinary actions generally, but only over those in which a final disciplinary sanction is imposed." The Commission found that, because the suspension was no longer in effect, there was no final disciplinary sanction within the meaning of Exchange Act Section 19(d) that is subject to review by the Commission. The Commission therefore dismissed Sharemaster's application. (Rel. 34-65570; File No. 3-14104)
Penny Stock Touters Ordered to Pay Fines, Disgorgement; Subject to Lifetime Bars on Penny Stock Dealings
On October 13, 2011 the U.S. District Court for the Southern District of Florida entered judgments against a group of penny-stock promoters arising out of their repackaging of “news” issued by a series of sham energy companies. The judgments, which the defendants consented to as part of a settlement with the Commission, require them to pay penalties and to disgorge profits from their illicit activities. The judgments also permanently ban the defendants from touting and other dealings involving penny stocks.
The judgments came in a civil action that the Commission filed earlier this year against Miami-based stock-touting company Wall Street Capital Funding LLC (WSCF) and its principals – owners Philip Cardwell and Roy Campbell and their associate Aaron Hume. In its Complaint initiating the action, the SEC alleged that the defendants were in the business of distributing promotional materials styled as “Wall Street News Alerts” for penny-stock companies. According to the SEC, one such company, PrimeGen Energy Corp., purported to have great success in drilling for oil in 2009 and 2010. The SEC alleged, however, that PrimeGen was phony: its corporate headquarters were a rented mailbox in a UPS Store opened with a do-not-forward instruction; its phone line was unattended; and its web page was generated by copying the source code from another company’s web site. As alleged in the Complaint, WSCF’s “investment opinions,” emails, and web profiles typically expressed positive opinions about penny-stock companies, their business prospects, and the future direction of their stock price. WSCF, according to the Complaint, created the misleading appearance of an independent basis for its statements even though it was merely repeating the penny-stock companies’ claims. Moreover, the SEC alleged, even when the defendants received ample warning signs that a scam was afoot, they always did the same thing: they closed their eyes and published.
The SEC’s Complaint was filed February 7, 2011 in the U.S. District Court for the Southern District of Florida. The Complaint charged Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume 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, which prohibit fraudulent conduct in connection with securities transactions. Judge Donald L. Graham presided over the action, No. 11-cv-20413-DLG. The judgments imposed by Judge Graham require the defendants, among other things, to pay penalties and disgorgement totaling $300,000, and permanently bar them from promotional activities and other dealings involving penny stocks. The defendants consented to the judgments without admitting or denying the SEC’s allegations.
The SEC’s action was litigated by Todd D. Brody and Daniel R. Walfish, and originated from an investigation handled by Celeste Chase and Mr. Walfish, all of the SEC’s New York Regional Office. [SEC v. Wall Street Capital Funding LLC, Philip Cardwell, Roy Campbell, and Aaron Hume, Civil Action No. 11-cv-20413-DLG (S.D. Fla.)] (LR-22125)
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-3 COLLECTORS UNIVERSE INC, 1921 E. ALTON AVENUE, SANTA ANA, CA, 92705, 9495671234 - 200,000 ($2,738,000.00) Equity, (File 333-177270 - Oct. 13) (BR. 02B) S-3 HUGHES Telematics, Inc., 2002 SUMMIT BOULEVARD, SUITE 1800, ATLANTA, GA, 30319, 404-573-5800 - 11,311,709 ($43,889,430.92) Equity, (File 333-177271 - Oct. 13) (BR. 11A) S-8 COMVERSE TECHNOLOGY INC/NY/, 810 SEVENTH AVENUE, NEW YORK, NY, 10019, 212-739-1000 - 0 ($246,092.00) Equity, (File 333-177272 - Oct. 13) (BR. 11A) S-8 21Vianet Group, Inc., M5, 1JIUXIANQIAO EAST ROAD, Chaoyang District, Beijing, F4, 100016, (86 10) 8456-2121 - 0 ($23,024,691.40) ADRs/ADSs, (File 333-177273 - Oct. 13) (BR. 03A) S-3ASR SMUCKER J M CO, STRAWBERRY LN, ORRVILLE, OH, 44667, 3306823000 - 0 ($0.00) Other, (File 333-177279 - Oct. 13) (BR. 04C) S-1 Chart Acquisition Corp., 75 ROCKEFELLER PLAZA, 14TH FLOOR, NEW YORK, NY, 10019, 212-350-8250 - 11,500,000 ($115,000,000.00) Equity, (File 333-177280 - Oct. 13) (BR. ) S-3 TRANSAMERICA ADVISORS LIFE INSURANCE Co, 425 WEST CAPITAL AVENUE, LITTLE ROCK, AR, 72201, 800-346-3677 - 0 ($50,000,000.00) Other, (File 333-177282 - Oct. 13) (BR. 01A) S-8 RYDER SYSTEM INC, 11690 N.W. 105TH STREET, MIAMI, FL, 33178, 3055003726 - 3,500,000 ($141,435,000.00) Equity, (File 333-177285 - Oct. 13) (BR. 05C) S-8 MEADOWBROOK INSURANCE GROUP INC, 26600 TELEGRAPH RD, STE 300, SOUTHFIELD, MI, 48034, 8103581100 - 500,000 ($4,505,000.00) Equity, (File 333-177287 - Oct. 13) (BR. 01B) S-1 GREEN 4 MEDIA, INC., PO BOX 1108, KAMUELA, HI, 96743, 808-283-8888 - 1,010,000 ($101,000.00) Equity, (File 333-177305 - Oct. 13) (BR. ) S-8 NEOPHOTONICS CORP, 2911 ZANKER ROAD, SAN JOSE, CA, 951342125, 4082329200 - 750,000 ($4,263,750.00) Equity, (File 333-177306 - Oct. 13) (BR. 11A) S-3ASR PEPSICO INC, 700 ANDERSON HILL RD, PURCHASE, NY, 10577, 9142532000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177307 - Oct. 13) (BR. 09A) S-3 HEARTLAND FINANCIAL USA INC, 1398 CENTRAL AVE, DUBUQUE, IA, 52001, 5635892000 - 81,698 ($81,698,000.00) Equity, (File 333-177308 - Oct. 13) (BR. 07A) S-1 CLEAN DIESEL TECHNOLOGIES INC, 4567 TELEPHONE ROAD, SUITE 206, VENTURA, CA, 93003, 805 639 9458 - 2,500,000 ($9,287,500.00) Equity, (File 333-177309 - Oct. 13) (BR. 06C)
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 ACACIA RESEARCH CORP DE 8.01 10/10/11 ADAMS RESOURCES & ENERGY, INC. DE 5.07 10/12/11 AMEND ADTRAN INC DE 5.03,9.01 10/11/11 AKORN INC LA 1.01,2.03,9.01 10/07/11 ALBEMARLE CORP VA 8.01,9.01 10/13/11 Aleris International, Inc. DE 8.01,9.01 10/12/11 ALLIED HEALTHCARE INTERNATIONAL INC NY 8.01 10/12/11 Allied World Assurance Co Holdings, A 7.01,9.01 10/13/11 AMAG PHARMACEUTICALS INC. DE 8.01 10/13/11 AMERICAN ENVIRONMENTAL, INC. FL 4.01,9.01 10/13/11 AMEND AMERICAN INTERNATIONAL GROUP INC DE 1.01,1.02,9.01 10/12/11 AMERICAS CARMART INC TX 5.07 10/12/11 ANTS SOFTWARE INC DE 1.01 09/30/11 ANTS SOFTWARE INC DE 3.02,8.01 10/07/11 Ascent Solar Technologies, Inc. DE 3.01 10/13/11 ASSURANCE GROUP INC. FL 4.01,9.01 10/13/11 AMEND AURORA GOLD CORP DE 1.01,5.02,7.01,9.01 10/11/11 AUTHENTIDATE HOLDING CORP DE 1.01,8.01,9.01 10/07/11 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 10/13/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 10/13/11 BANK OF THE OZARKS INC AR 2.02,7.01,9.01 10/12/11 BASSETT FURNITURE INDUSTRIES INC VA 5.02,8.01,9.01 10/13/11 BAZI INTERNATIONAL, INC. NV 5.02 10/06/11 BEAZER HOMES USA INC DE 7.01,9.01 10/13/11 BENCHMARK ELECTRONICS INC TX 8.01,9.01 10/13/11 BENIHANA INC DE 2.02,9.01 10/13/11 BIOTIME INC CA 7.01,9.01 10/13/11 BLAST ENERGY SERVICES, INC. CA 1.01,9.01 10/07/11 BODISEN BIOTECH, INC DE 4.01 10/11/11 BONANZA GOLD CORP. DE 5.02,9.01 10/12/11 Bonds.com Group, Inc. DE 5.01 10/05/11 BROADWAY FINANCIAL CORP \DE\ DE 5.02,9.01 10/07/11 BRUNSWICK CORP DE 5.02 10/12/11 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 10/13/11 Bunge LTD 5.02,9.01 10/12/11 Cal Dive International, Inc. DE 1.01,2.03,7.01,9.01 10/10/11 Calumet Specialty Products Partners, DE 9.01 10/13/11 CANO PETROLEUM, INC 2.02,7.01,9.01 10/13/11 CANTEL MEDICAL CORP DE 2.02,9.01 10/13/11 CARDINAL BANKSHARES CORP VA 8.01,9.01 10/13/11 CARPENTER TECHNOLOGY CORP DE 5.07 10/10/11 CARRIAGE SERVICES INC DE 7.01,8.01,9.01 10/12/11 CASELLA WASTE SYSTEMS INC DE 5.07 10/13/11 CASEYS GENERAL STORES INC IA 7.01 10/13/11 CBOE Holdings, Inc. DE 5.02 10/11/11 Chatham Lodging Trust MD 5.07 10/13/11 AMEND China Botanic Pharmaceutical 8.01,9.01 10/13/11 CHINA GENGSHENG MINERALS, INC. NV 9.01 10/13/11 AMEND China Housing & Land Development, Inc NV 5.02,8.01,9.01 10/13/11 China Infrastructure Investment CORP NV 1.01,9.01 10/10/11 CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 10/13/11 Clearwire Corp /DE DE 2.02,9.01 10/13/11 CLIFFS NATURAL RESOURCES INC. OH 8.01 09/06/11 COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 10/11/11 COMMERCIAL METALS CO DE 2.06,7.01,9.01 10/07/11 COMPASS MINERALS INTERNATIONAL INC DE 5.02 10/10/11 COMPUTER SCIENCES CORP NV 2.01,9.01 07/29/11 AMEND COMTECH TELECOMMUNICATIONS CORP /DE/ DE 8.01,9.01 10/13/11 Coyote Resources, Inc. NV 7.01,8.01,9.01 10/12/11 CVR ENERGY INC DE 7.01,9.01 10/13/11 CVR ENERGY INC DE 5.07 10/13/11 AMEND DCT Industrial Trust Inc. MD 5.02,9.01 10/12/11 DecisionPoint Systems, Inc. DE 1.01,9.01 09/27/11 DELCATH SYSTEMS INC DE 5.07 06/01/11 AMEND DELTA NATURAL GAS CO INC KY 8.01 10/13/11 DIGAGOGO VENTURES CORP DE 1.01,9.01 10/06/11 DIGITALGLOBE INC 1.01,2.03,9.01 10/12/11 DIODES INC /DEL/ DE 8.01,9.01 10/12/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.02,9.01 10/11/11 DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 10/13/11 Douglas Lake Minerals Inc. NV 5.02,8.01,9.01 10/06/11 DOW CHEMICAL CO /DE/ DE 5.03,9.01 10/12/11 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 10/06/11 ECB BANCORP INC NC 5.07,8.01,9.01 10/12/11 ECO VENTURES GROUP, INC. NV 7.01 10/13/11 EMULEX CORP /DE/ DE 8.01,9.01 10/12/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 9.01 11/30/10 AMEND ENTERTAINMENT PROPERTIES TRUST MD 1.01,2.03,7.01,9.01 10/13/11 EURONET WORLDWIDE INC DE 5.07 10/13/11 AMEND EVERGREEN ENERGY INC DE 5.02,9.01 10/12/11 EXOPACK HOLDING CORP 5.02 10/12/11 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 10/13/11 Fairmount Bancorp, Inc. MD 8.01,9.01 10/12/11 FAR EAST ENERGY CORP NV 5.02,5.07,9.01 10/10/11 FARMERS NATIONAL BANC CORP /OH/ OH 5.02,9.01 10/11/11 FASTENAL CO MN 2.02,9.01 10/13/11 FEDERAL AGRICULTURAL MORTGAGE CORP 8.01 10/06/11 Federal Home Loan Bank of Atlanta X1 2.03 10/13/11 Federal Home Loan Bank of Boston X1 2.03 10/11/11 Federal Home Loan Bank of Chicago X1 2.03 10/11/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/11/11 Federal Home Loan Bank of Indianapoli X1 2.03 10/13/11 Federal Home Loan Bank of New York X1 2.03,9.01 10/07/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/07/11 Federal Home Loan Bank of San Francis X1 2.03 10/07/11 Federal Home Loan Bank of Seattle 2.03 10/11/11 Federal Home Loan Bank of Topeka 2.03,9.01 10/11/11 FIRST ACCEPTANCE CORP /DE/ DE 5.02 10/06/11 FIRST BANCORP /PR/ PR 5.02 10/07/11 FIRST BUSEY CORP /NV/ NV 8.01 10/13/11 FIRST CAROLINA INVESTORS INC DE 8.01,9.01 10/12/11 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 7.01,9.01 10/13/11 FIRST MIDWEST BANCORP INC DE 8.01 10/13/11 FISHER COMMUNICATIONS INC WA 5.02 10/06/11 Fixed Income Client Solutions LLC 1.01,9.01 10/13/11 FLOW INTERNATIONAL CORP WA 1.01,9.01 10/10/11 FREQUENCY ELECTRONICS INC DE 5.07 10/11/11 FRISCHS RESTAURANTS INC OH 8.01,9.01 10/12/11 FXCM Inc. 7.01,9.01 10/13/11 GAP INC DE 8.01,9.01 10/13/11 Genesis Biopharma, Inc NV 9.01 08/05/11 AMEND GIBRALTAR INDUSTRIES, INC. DE 1.01,8.01,9.01 10/11/11 GLU MOBILE INC DE 9.01 07/28/11 AMEND GOLDEN GRAIN ENERGY IA 8.01,9.01 10/13/11 GOLDEN PHOENIX MINERALS INC NV 1.01,3.02 10/07/11 GOLDFIELD CORP DE 1.01,2.03,9.01 10/07/11 Google Inc. DE 2.02,8.01,9.01 10/13/11 GRAPHON CORP/DE DE 8.01,9.01 10/11/11 GS Mortgage Securities Trust 2011-GC5 DE 9.01 10/13/11 GSI TECHNOLOGY INC 2.02,9.01 10/13/11 HANOVER INSURANCE GROUP, INC. DE 8.01,9.01 10/12/11 Helios & Matheson Information Technol DE 3.01 10/11/11 HOVNANIAN ENTERPRISES INC DE 8.01,9.01 10/12/11 ICON ECI FUND FIFTEEN, L.P. DE 8.01 10/13/11 IHS Inc. DE 1.01,9.01 10/11/11 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 09/20/11 INPHI Corp DE 5.07 05/17/11 AMEND Intrepid Potash, Inc. DE 2.02,7.01,9.01 10/13/11 ISLE OF CAPRI CASINOS INC DE 5.07 10/11/11 IsoRay, Inc. MN 1.01,8.01,9.01 10/12/11 ITT Corp IN 7.01,9.01 10/12/11 JPMORGAN CHASE & CO DE 2.02,9.01 10/13/11 JPMORGAN CHASE & CO DE 7.01,9.01 10/13/11 KENT INTERNATIONAL HOLDINGS INC NV 1.01,2.01,5.06,9.01 03/22/11 AMEND KEYNOTE SYSTEMS INC DE 1.01 10/07/11 KEYW HOLDING CORP MD 2.01,9.01 08/05/11 AMEND KFORCE INC FL 2.02,9.01 10/13/11 KINDRED HEALTHCARE, INC DE 8.01,9.01 10/13/11 KMG CHEMICALS INC TX 2.02,9.01 10/13/11 LianDi Clean Technology Inc. NV 5.01,9.01 09/27/11 LIBBEY INC DE 5.02 10/10/11 LifeCare Holdings, Inc. DE 2.01,9.01 08/01/11 AMEND LIGAND PHARMACEUTICALS INC DE 2.04 10/10/11 Lone Pine Resources Inc. DE 1.01,5.02,5.03,9.01 10/12/11 Loreto Resources Corp. NV 3.02 10/10/11 Magnolia Solar Corp NV 8.01,9.01 10/13/11 MANTECH INTERNATIONAL CORP DE 1.01,1.02,2.03,7.01, 10/12/11 9.01 MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 10/06/11 MARTIN MARIETTA MATERIALS INC NC 8.01,9.01 10/12/11 Mastech Holdings, Inc. PA 5.02,9.01 10/10/11 MAXIM INTEGRATED PRODUCTS INC DE 1.01,2.03,9.01 10/13/11 MDC HOLDINGS INC DE 8.01,9.01 10/12/11 MDC HOLDINGS INC DE 5.02,9.01 10/13/11 MEDICINOVA INC DE 3.02 10/13/11 MedQuist Holdings Inc. DE 8.01,9.01 10/12/11 MEDTOX SCIENTIFIC INC DE 2.02,9.01 10/13/11 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 10/13/11 MICROSEMI CORP DE 8.01,9.01 10/13/11 MISSION WEST PROPERTIES INC CA 2.02,9.01 10/12/11 MITEK SYSTEMS INC DE 5.02,8.01,9.01 10/11/11 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/13/11 MOSAIC CO 3.02,3.03,5.07 10/06/11 Mueller Water Products, Inc. DE 7.01,9.01 10/13/11 MULTI FINELINE ELECTRONIX INC 2.06,8.01 10/11/11 NATIONAL BANKSHARES INC VA 2.02,9.01 10/13/11 National CineMedia, Inc. DE 2.02,7.01,9.01 10/13/11 NAVIGATORS GROUP INC DE 5.02,9.01 10/10/11 Neiman Marcus, Inc. DE 2.02,7.01 10/12/11 Neiman Marcus, Inc. DE 2.02,7.01 10/13/11 AMEND NEW HAMPSHIRE THRIFT BANCSHARES INC DE 8.01,9.01 10/11/11 NEWPARK RESOURCES INC DE 5.02 10/07/11 NEWS CORP 8.01,9.01 10/12/11 NowAuto Group, Inc. NV 4.01,9.01 10/12/11 AMEND NUTRACEA CA 3.02,5.02 10/07/11 NYTEX Energy Holdings, Inc. DE 8.01,9.01 10/13/11 OLD NATIONAL BANCORP /IN/ IN 8.01,9.01 10/13/11 OLD REPUBLIC INTERNATIONAL CORP DE 1.01 10/13/11 OMNICOM GROUP INC NY 1.01,2.03,9.01 10/12/11 ON ASSIGNMENT INC DE 5.07 10/13/11 AMEND OneBeacon Insurance Group, Ltd. D0 5.07 05/25/11 AMEND Opko Health, Inc. DE 1.01,2.01,3.01,7.01, 10/13/11 9.01 Orexigen Therapeutics, Inc. DE 5.07 06/02/11 AMEND PAWS Pet Company, Inc. IL 2.01,2.03,3.02,4.01, 08/13/10 AMEND 5.01,5.02,5.03,5.06, 9.01 PENSON WORLDWIDE INC DE 1.01,9.01 10/11/11 PHI INC LA 5.02,5.03,9.01 10/12/11 PHOTOTRON HOLDINGS, INC. DE 1.01,2.03 10/08/11 POWER ONE INC DE 7.01,9.01 10/11/11 PPL Corp 2.05 06/16/11 AMEND PREMIER EXHIBITIONS, INC. FL 2.02,9.01 10/13/11 PREMIERWEST BANCORP OR 7.01 10/13/11 PREMIERWEST BANCORP OR 5.02,9.01 10/13/11 PROVIDENT NEW YORK BANCORP DE 5.02,9.01 10/13/11 Quadrant 4 Systems Corp FL 9.01 04/18/11 AMEND QUAINT OAK BANCORP INC 7.01,9.01 10/12/11 RALCORP HOLDINGS INC /MO MO 8.01,9.01 10/13/11 RED HAT INC DE 8.01,9.01 10/07/11 Regency Energy Partners LP DE 1.01,7.01,9.01 10/07/11 ROCKWOOD SPECIALTIES GROUP INC 5.02 10/11/11 ROLLINS INC DE 8.01,9.01 10/12/11 Rosetta Resources Inc. DE 7.01,9.01 10/12/11 ROSETTA STONE INC 5.02,7.01,9.01 10/12/11 RTG VENTURES INC FL 5.02 09/29/11 SAFEWAY INC DE 2.02,9.01 10/13/11 SANDRIDGE ENERGY INC DE 8.01,9.01 10/13/11 Santa Lucia Bancorp CA 5.07 10/06/11 SARATOGA RESOURCES INC /TX TX 5.02,9.01 10/07/11 SCIQUEST INC DE 1.01,9.01 10/10/11 SEI HOLDINGS, INC. FL 4.01,9.01 10/13/11 AMEND SENIOR HOUSING PROPERTIES TRUST MD 8.01,9.01 10/12/11 SGreenTech Group Ltd DE 2.01,2.03,3.02,5.02, 10/07/11 5.03,5.06,5.07 SIGNATURE GROUP HOLDINGS, INC. NV 2.01,9.01 07/29/11 AMEND SILVER HORN MINING LTD. DE 8.01 09/18/11 SLM Student Loan Trust 2003-14 8.01,9.01 10/13/11 SLM Student Loan Trust 2004-1 8.01,9.01 10/13/11 SLM Student Loan Trust 2004-10 DE 8.01,9.01 10/13/11 SLM Student Loan Trust 2004-5 8.01,9.01 10/13/11 SLM Student Loan Trust 2004-8 DE 8.01,9.01 10/13/11 SMITH MICRO SOFTWARE INC DE 2.02,9.01 10/13/11 SMUCKER J M CO OH 8.01,9.01 10/13/11 SONIC CORP DE 8.01,9.01 10/13/11 ST JOE CO FL 5.02 10/12/11 Stereotaxis, Inc. DE 5.02 10/10/11 STRATEGIC AMERICAN OIL CORP NV 8.01,9.01 10/11/11 STRATTEC SECURITY CORP WI 5.07 10/11/11 SUNTRUST BANKS INC GA 7.01 10/12/11 Susser Holdings CORP DE 5.07 05/25/11 AMEND TANGER FACTORY OUTLET CENTERS INC NC 9.01 06/29/11 AMEND TCF FINANCIAL CORP DE 7.01,8.01,9.01 10/13/11 TEL INSTRUMENT ELECTRONICS CORP NJ 7.01 10/11/11 Territorial Bancorp Inc. MD 8.01,9.01 10/13/11 TEXAS INDUSTRIES INC DE 5.07,8.01,9.01 10/12/11 TEXTRON INC DE 8.01,9.01 10/13/11 Tiger Oil & Energy, Inc. 1.01,2.01,5.06,9.01 08/30/10 AMEND TOR MINERALS INTERNATIONAL INC DE 9.01 10/13/11 TPC Group Inc. DE 5.02,7.01,9.01 10/07/11 TRANS ENERGY INC NV 4.02 10/08/11 TRIMBLE NAVIGATION LTD /CA/ CA 5.02 10/10/11 Tropicana Las Vegas Hotel & Casino, I DE 5.02 10/10/11 TRUSTCO BANK CORP N Y NY 8.01,9.01 10/11/11 UNIGENE LABORATORIES INC DE 8.01 10/13/11 UNITED COMMUNITY BANKS INC GA 8.01,9.01 10/12/11 UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 10/13/11 UNITIL CORP NH 1.01,2.03,9.01 10/12/11 URANIUM ENERGY CORP NV 7.01,9.01 10/13/11 VANGUARD HEALTH SYSTEMS INC DE 5.02,9.01 10/13/11 Vanity Events Holding, Inc. DE 1.01,2.03,3.02,5.02, 09/30/11 5.07,9.01 Vican Resources, Inc. NV 1.01,3.02,3.03,5.01, 10/12/11 5.02,5.03 VOLITIONRX LTD DE 1.01,2.01,3.02,5.01, 10/06/11 5.02,5.03,8.01,9.01 VSB BANCORP INC NY 2.02,9.01 10/12/11 WELLCARE HEALTH PLANS, INC. DE 1.01,9.01 09/16/11 WELLS REAL ESTATE FUND XIII L P 1.01 10/11/11 WELLS REAL ESTATE FUND XIV LP GA 1.01 10/11/11 WHITING PETROLEUM CORP DE 2.03,9.01 10/12/11 Willbros Group, Inc.\NEW\ 2.02,9.01 10/13/11 WINMARK CORP MN 2.02,7.01,9.01 10/12/11 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 10/13/11 WISCONSIN ENERGY CORP WI 7.01,9.01 10/13/11 Wyndstorm CORP NV 1.03 10/12/11 Wyndstorm CORP NV 1.03 10/12/11 XCEL ENERGY INC MN 8.01 10/07/11 Xylem Inc. IN 5.02,5.03,7.01,9.01 10/11/11 Zayo Group LLC DE 1.01,9.01 10/06/11 Zep Inc. DE 2.02,7.01,9.01 10/13/11 ZOGENIX, INC. DE 5.07 05/24/11 AMEND