Securities and Exchange Commission Suspends Trading in the Securities of Three Issuers For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on October 20, 2011 and terminating at 11:59 p.m. EDT on November 2, 2011:
The Commission temporarily suspended trading in the securities of these three issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-65594)
Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting on Wednesday, October 26, 2011 at 10:00 a.m.
The subject matter of the Open Meeting will be:
The Commission will consider whether to adopt a rule requiring advisers to hedge funds and other private funds to report information for use by the Financial Stability Oversight Council in monitoring risk to the U.S. financial system. The new Advisers Act rule would implement sections 404 and 406 of the Dodd-Frank Act.
At times, changes in Commission priorities require alterations in the scheduling of meeting item. 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.
Commission Orders Hearings on Registration Suspension or Revocation Against Three Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of three companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the three 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 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 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. 34-65595; File No. 3-14595)
In the Matter of Arthur Cutillo; In the Matter of Jason Goldfarb
The Securities and Exchange Commission announced today that on October 17, 2011, the Honorable Richard J. Sullivan of the United States District Court for the Southern District of New York entered final judgments against Arthur J. Cutillo and Jason C. Goldfarb in SEC v. Cutillo et al., 09-CV-9208, an insider trading case the Commission filed on November 5, 2009. The Commission charged Cutillo and Goldfarb, practicing attorneys at the time of their illicit conduct, with violations of antifraud provisions of the federal securities laws. The Commission alleged that Cutillo misappropriated from his law firm, Ropes & Gray LLP, material, nonpublic information concerning upcoming corporate acquisitions, including the 2007 announced acquisitions of 3Com Corp. and Axcan Pharma Inc. The Commission further alleged that Cutillo, through his friend Goldfarb, tipped the information to Zvi Goffer, a former proprietary trader at the broker-dealer Schottenfeld Group, LLC., in exchange for kickbacks. As alleged in the complaint, Zvi Goffer traded on this inside information and had numerous downstream tippees who also traded on the information, including other Wall Street traders and hedge funds.
To settle the Commission’s charges, Cutillo and Goldfarb each consented to the entry of a final judgment that: (i) permanently enjoins each from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (ii) orders each to pay disgorgement of $32,500, plus $4,204 in prejudgment interest. In related administrative proceedings, the Commission suspended Cutillo and Goldfarb from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice.
Cutillo and Goldfarb each previously pled guilty to charges of securities fraud and conspiracy to commit securities fraud in related criminal cases, United States v. Arthur Cutillo, 10-CR-0056 and United States v. Jason Goldfarb, 10-CR-0056 (S.D.N.Y.). Cutillo was sentenced to a 30 month prison term and ordered to pay a criminal forfeiture of $378,608. Goldfarb was sentenced to a three year prison term and ordered to pay a $32,500 fine and criminal forfeiture of $1,103,131. (Rel. 34-65596; File No. 3-14596; Rel. 34-65597; File No. 3-14597); [SEC v. Cutillo et al., Civil Action No. 09-CV-9208 (S.D.N.Y.) (RJS)] (LR-22135)
Commission Sustains FINRA Disciplinary Action Against Richard A. Neaton
The Commission found that, over a twelve-year period, Richard A. Neaton willfully failed to amend his Form U4 to disclose a series of state bar disciplinary actions against Neaton that resulted in two suspensions and the subsequent revocation of his license to practice law. The Commission further concluded that Neaton also willfully failed to disclose the bases for the state bar's actions, which included making false representations to clients, misappropriation of client trust funds, and affixing (or causing the placement) of the signatures of two proposed expert witnesses on affidavits without the witnesses' knowledge or consent, as well as the fictitious name of a notary.
The Commission sustained FINRA's imposition of a bar on Neaton. The Commission held that Neaton's repeated failure to disclose the state bar's disciplinary actions was significant since the actions involving a wide range of dishonest and ethical violations. Neaton's actions deprived investors, employers and regulators with the information they needed to determine whether to do business with him, hire him, or register him. (Rel. 34-65598; File No. 3-14252)
Michael G. Horsey, CPA, Reinstated to Appear and Practice Before the Commission as an Accountant
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Michael G. Horsey, CPA, has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant. Mr. Horsey was denied the privilege of appearing or practicing before the Commission on November 18, 2002. His reinstatement is effective immediately. (Rel. 34-65600; AAE Rel. 3329; File No. 3-10937)
SEC Charges California-Based Investment Adviser With Fraud and Breach of Fiduciary Duty
On October 18, 2011, the Securities and Exchange Commission (Commission) filed a complaint in United States District Court in Riverside, California against Copeland Wealth Management, A Financial Advisory Corporation (CWM), Copeland Wealth Management, A Real Estate Corporation (Copeland Realty), and Charles P. Copeland (Charles Copeland) for fraud and breach of fiduciary duty. As an investment adviser registered with the Commission, CWM manages approximately $125 million in assets under management. The assets under management are primarily mutual funds and real estate funds. Copeland Realty, an unregistered investment adviser, is the general partner for 21 limited partnerships primarily invested in real estate. Charles Copeland, a certified public accountant, is the founder, co-owner and officer of both CWM and Copeland Realty.
The Commission alleges that from 2003 through May 31, 2011, Charles Copeland, CWM, and Copeland Realty raised over $62 million from over 100 investors, including many of Charles Copeland’s accounting clients, by selling interests in limited partnerships operated by CWM and Copeland Realty. According to the Commission’s complaint, throughout the offer and sale of the limited partnerships, Charles Copeland, CWM, and Copeland Realty made material misrepresentations and omissions regarding: (1) the use of investor funds, (2) conflicts of interest, (3) guaranteed returns, (4) the unauthorized trading of put options, and (5) the payment of undisclosed real estate commissions and other related compensation.
Without admitting or denying the Commission’s allegations, Charles Copeland, CWM, and Copeland Realty agreed to the entry of an order permanently enjoining them 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, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. The defendants also agreed to an order appointing a receiver over CWM and Copeland Realty and prohibiting the destruction of documents. Disgorgement plus prejudgment interest and civil penalties are to be determined at a later date. [SEC v. Charles P. Copeland, Copeland Wealth Management, A Financial Advisory Corporation, and Copeland Wealth Management, A Real Estate Corporation, Civil Action No. 11-08607 (RDTBx) (C.D. Cal.)] (LR-22136)
An order has been issued on an application filed by Fifth Third Funds and Fifth Third Asset Management, Inc. under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order (a) permits certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of certain registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29839 - October 18)
RiverPark Advisors, LLC, et al.
A notice has been issued giving interested persons until November 14, 2011, to request a hearing on an application filed by RiverPark Advisors, LLC, et al., for an order to permit: (a) series of certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-29840 - October 19)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex LLC to retire a pilot program and harmonize the Exchange’s rules regarding listing expirations with the existing rules of other exchanges (SR-NYSEAmex-2011-80) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65590)
A proposed rule change filed by NYSE Arca, Inc. to retire a Pilot Program and harmonize the Exchange’s rules regarding listing expirations with the existing rules of other exchanges (SR-NYSEArca-2011-73) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65591)
Order Denying Petition For Review; Lifting an Automatic Stay; and Notice of Designation of a Longer Comment Period for Proceedings
The Commission has issued an order: (1) denying NASDAQ OMX BX, Inc.’s Petition for Review of an order, issued by the Commission’s Division of Trading and Market pursuant to delegated authority, suspending and instituting proceedings relating to a proposed rule change (SR-BX-2011-046; Release No. 34-65330) (the “Order”) to amend the credits and fees for transaction in the BOX Price Improvement Period; (2) lifting the automatic stay of the Order; and (3) designating a longer comment period for the proceedings instituted by the Order. Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65592)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 Prologis, Inc., PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 5,740,956 ($140,825,650.68) Equity, (File 333-177378 - Oct. 19) (BR. 08C) S-1 Vu1 CORP, 469 SEVENTH AVENUE,, SUITE 356, NEW YORK,, NY, 10018, 888-985-8881 - 0 ($23,000,000.00) Equity, (File 333-177382 - Oct. 19) (BR. 11C) S-3 CURRENCYSHARES EURO TRUST, C/O RYDEX INVESTMENTS, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20009, 301-296-5100 - 0 ($684,100,000.00) Equity, (File 333-177395 - Oct. 19) (BR. 08B) S-8 TANGOE INC, 35 Executive Boulevard, Orange, CT, 06477, 203-859-9300 - 0 ($71,423,566.75) Equity, (File 333-177398 - Oct. 19) (BR. 03C) F-9 CANADIAN NATURAL RESOURCES LTD, 2500, 855-2 STREET SW, CALGARY ALBERTA CANADA, A0, T2P 4J8, 403-517-6700 - 0 ($3,000,000,000.00) Debt, (File 333-177401 - Oct. 19) (BR. 04A) F-10 AuRico Gold Inc., 320 BAY STREET, SUITE 1520, TORONTO, A6, M5H 4A6, 647-260-8880 - 15,200,884 ($153,376,920.00) Equity, (File 333-177404 - Oct. 19) (BR. 09B) S-1 ORIGINOIL INC, 5645 W ADAMS BLVD, Los Angeles, CA, 90016, 323.939.6645 - 0 ($23,000,000.00) Equity, (File 333-177405 - Oct. 19) (BR. 06A)
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 2-Track Global, Inc. 3.01,5.03,9.01 10/14/11 8X8 INC /DE/ DE 2.02,9.01 10/19/11 AASTROM BIOSCIENCES INC MI 5.02,9.01 10/13/11 ABBOTT LABORATORIES IL 2.02,9.01 10/19/11 ACORN ENERGY, INC. DE 5.07 10/17/11 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 10/19/11 ADAMS RESOURCES & ENERGY, INC. DE 5.02 10/19/11 ADVANCED CELL TECHNOLOGY, INC. DE 3.02,8.01 10/14/11 Aircastle LTD D0 7.01,9.01 10/18/11 ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 10/19/11 ALLIED HEALTHCARE INTERNATIONAL INC NY 5.07,8.01,9.01 10/19/11 ALSERES PHARMACEUTICALS INC /DE DE 1.01 10/18/11 AMERICAN AIRLINES INC DE 2.02,9.01 10/19/11 AMERICAN EXPRESS CO NY 2.02,7.01 10/19/11 AMERICAN REALTY INVESTORS INC NV 5.02 10/13/11 AMERICANWEST BANCORPORATION WA 7.01,9.01 10/14/11 Ameris Bancorp GA 8.01,9.01 10/19/11 AMPHENOL CORP /DE/ DE 2.02,9.01 10/19/11 AMR CORP DE 2.02,9.01 10/19/11 AMYLIN PHARMACEUTICALS INC DE 2.02,9.01 10/19/11 ANADYS PHARMACEUTICALS INC 1.01,8.01,9.01 10/16/11 ANTS SOFTWARE INC DE 3.02 10/13/11 APOLLO GROUP INC AZ 2.02,9.01 10/19/11 Apple REIT Eight, Inc. VA 8.01 10/10/11 Apple REIT Nine, Inc. VA 8.01 10/10/11 Apple REIT Ten, Inc. VA 8.01 10/10/11 APPLIED MATERIALS INC /DE DC 8.01,9.01 10/18/11 Applied Nanotech Holdings, Inc TX 5.02 10/17/11 ARCADIA RESOURCES, INC NV 5.02 10/14/11 ARIBA INC DE 7.01 10/19/11 ATHENAHEALTH INC DE 5.07 06/09/11 AMEND ATMI INC DE 2.02,9.01 10/19/11 AWARE INC /MA/ MA 5.02,8.01,9.01 10/18/11 B&G Foods, Inc. DE 8.01,9.01 10/18/11 BALDWIN TECHNOLOGY CO INC DE 1.01,2.03,8.01,9.01 10/13/11 Bank of New York Mellon CORP DE 2.02,9.01 10/19/11 BANKUNITED FINANCIAL CORP FL 7.01 10/19/11 BE Resources Inc. CO 5.02,9.01 10/19/11 BIO-PATH HOLDINGS INC UT 8.01,9.01 10/19/11 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 10/19/11 BlackRock Inc. DE 2.02,9.01 10/19/11 BLACKSANDS PETROLEUM, INC. NV 1.01,2.03,9.01 09/27/11 BLUE CALYPSO, INC. NV 3.02,3.03,5.02,5.03, 10/13/11 9.01 Blue Earth, Inc. NV 7.01 10/19/11 BLUEGREEN CORP MA 2.03 10/14/11 BNC BANCORP NC 1.01,2.01,8.01,9.01 10/14/11 Bollente Companies Inc. NV 1.01,2.01,3.02,5.06, 05/16/11 AMEND 9.01 BORDERS GROUP INC MI 7.01,9.01 10/19/11 BROOKLINE BANCORP INC DE 2.02,8.01,9.01 10/19/11 BUFFALO WILD WINGS INC MN 2.02,9.01 10/19/11 CARVER BANCORP INC DE 3.01 10/18/11 CATHAY GENERAL BANCORP DE 2.02,9.01 10/19/11 CENTRAL BANCORP INC /MA/ MA 5.02 10/19/11 CENTRAL BANCORP INC /MA/ MA 8.01,9.01 10/19/11 Chatham Lodging Trust MD 8.01,9.01 10/19/11 CHEESECAKE FACTORY INC DE 2.02,8.01,9.01 10/17/11 Chelsea Therapeutics International, L DE 8.01,9.01 10/19/11 CHEROKEE INC DE 1.01,8.01,9.01 10/13/11 China Chemical Corp. DE 1.01,9.01 09/27/11 CHINA FUND INC MD 7.01,9.01 09/30/11 Circle Entertainment, Inc. DE 1.01,2.03,9.01 10/14/11 CIRRUS LOGIC INC DE 2.02,7.01,9.01 10/19/11 CITIGROUP INC DE 8.01 10/19/11 CITIZENS INC CO 8.01,9.01 10/17/11 CleanTech Biofuels, Inc. 5.02,5.07,9.01 10/13/11 CMS ENERGY CORP MI 7.01,9.01 10/19/11 COHEN & STEERS INC 2.02 10/19/11 COLDWATER CREEK INC DE 8.01,9.01 10/19/11 COLONY BANKCORP INC GA 5.02 10/18/11 COLONY BANKCORP INC GA 2.02,9.01 10/19/11 COMERICA INC /NEW/ 2.02,7.01,9.01 10/19/11 COMMERCEFIRST BANCORP INC MD 2.02,7.01,9.01 10/19/11 COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 09/30/11 COMPUTER SCIENCES CORP NV 5.02,9.01 10/03/11 Converted Organics Inc. DE 4.02,9.01 10/18/11 CORE LABORATORIES N V P7 2.02 10/19/11 Core-Mark Holding Company, Inc. DE 8.01,9.01 10/19/11 Cornerstone Core Properties REIT, Inc MD 8.01 10/19/11 COVANTA HOLDING CORP DE 2.02,7.01,9.01 10/19/11 CREE INC NC 9.01 10/18/11 AMEND CREE INC NC 9.01 08/17/11 AMEND CRI HOTEL INCOME PARTNERS L P DE 1.01,9.01 10/19/11 CROWN HOLDINGS INC PA 2.02,9.01 10/18/11 CUBIST PHARMACEUTICALS INC DE 2.02,9.01 10/19/11 Cullman Bancorp, Inc. X1 8.01,9.01 10/19/11 CYS Investments, Inc. MD 2.02,9.01 10/19/11 DATALINK CORP MN 2.02,9.01 10/19/11 DAVITA INC DE 2.02,9.01 10/18/11 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 10/19/11 DiamondRock Hospitality Co 2.02,7.01,9.01 10/19/11 Discover Card Execution Note Trust DE 8.01 10/19/11 Discover Card Execution Note Trust DE 1.01,9.01 10/18/11 DISCOVER CARD MASTER TRUST I DE 8.01 10/19/11 DOW CHEMICAL CO /DE/ DE 8.01 10/18/11 DRI CORP NC 7.01,9.01 10/19/11 E TRADE FINANCIAL CORP DE 2.02,9.01 10/19/11 EAST WEST BANCORP INC 2.02,9.01 10/19/11 EBAY INC DE 2.02,9.01 10/19/11 Edwards Lifesciences Corp DE 2.02,9.01 10/19/11 Electromed, Inc. MN 5.02,9.01 10/18/11 ELITE PHARMACEUTICALS INC /DE/ DE 5.07,9.01 10/18/11 EMULEX CORP /DE/ DE 8.01 10/19/11 Energy Transfer Partners, L.P. DE 7.01 10/19/11 EOS Preferred Corp MA 7.01 10/19/11 EQUINIX INC DE 1.01,2.03 10/13/11 EQUITY LIFESTYLE PROPERTIES INC MD 7.01,9.01 10/19/11 ESB FINANCIAL CORP PA 2.02,9.01 10/18/11 EXIDE TECHNOLOGIES DE 5.02,9.01 10/14/11 EXPONENT INC DE 2.02,9.01 10/19/11 FBL FINANCIAL GROUP INC IA 8.01 10/19/11 Federal Home Loan Bank of Chicago X1 5.02 10/13/11 FedFirst Financial Corp 5.02,9.01 10/17/11 Fidelity National Financial, Inc. 2.02 10/19/11 FINISH LINE INC /IN/ IN 8.01,9.01 10/19/11 First Advantage Bancorp 8.01,9.01 10/19/11 First Bancorp, Inc /ME/ ME 2.02 09/30/11 FIRST CASH FINANCIAL SERVICES INC DE 2.02,9.01 10/19/11 FIRST COLOMBIA GOLD CORP. NV 5.02,8.01,9.01 10/10/11 FIRST INTERSTATE BANCSYSTEM INC MT 5.02,9.01 10/19/11 First Trinity Financial CORP 1.01,8.01 10/14/11 Firsthand Technology Value Fund, Inc. 8.01,9.01 10/19/11 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 10/18/11 FNB CORP/FL/ FL 2.02,8.01,9.01 10/19/11 FNB United Corp. NC 8.01,9.01 10/14/11 FORWARD AIR CORP TN 2.02,9.01 10/19/11 FPIC INSURANCE GROUP INC FL 3.01,3.03,5.01,5.02, 10/19/11 5.03,9.01 FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 10/19/11 FURMANITE CORP DE 5.02 10/13/11 GC China Turbine Corp. NV 4.01,9.01 09/21/11 AMEND GIGA TRONICS INC CA 5.07 10/18/11 GLOBAL HEALTH VENTURES INC. NV 3.02,4.01,5.03,9.01 09/15/11 AMEND GLOBAL PARTNERS LP 7.01,9.01 10/19/11 GOODRICH CORP NY 5.02,8.01,9.01 10/13/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 10/19/11 GREENHILL & CO INC DE 2.02,9.01 10/19/11 GRUBB & ELLIS CO DE 1.01,2.03,3.02,8.01, 10/16/11 9.01 GSI GROUP INC A3 1.01,2.03,7.01,8.01, 10/19/11 9.01 GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 10/18/11 HEALTHCARE REALTY TRUST INC MD 1.01,2.03,9.01 10/14/11 HECLA MINING CO/DE/ DE 1.01,5.02,9.01 10/19/11 Helix Wind, Corp. NV 2.04 10/13/11 HOLLY ENERGY PARTNERS LP DE 5.02 10/18/11 HSBC USA INC /MD/ MD 8.01,9.01 10/13/11 Idle Media, Inc. NV 5.02 10/15/11 IEC ELECTRONICS CORP DE 7.01,9.01 10/19/11 IMPLANT SCIENCES CORP MA 1.01,2.02,2.03,7.01, 10/19/11 9.01 INCOME OPPORTUNITY REALTY INVESTORS I NV 5.02 10/13/11 India Globalization Capital, Inc. MD 1.01,9.01 10/14/11 INTEL CORP DE 2.02 10/18/11 Intellicell Biosciences, Inc. NV 1.01,2.01,3.02,5.01, 06/03/11 AMEND 5.02,5.03,9.01 IPARTY CORP DE 1.01,2.02,2.03,9.01 10/14/11 IRVINE SENSORS CORP/DE/ DE 1.01,9.01 10/17/11 ITP Energy Corp 5.02,5.03,9.01 10/17/11 ITRONICS INC TX 2.02 10/13/11 KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 10/19/11 KINDER MORGAN, INC. DE 1.01,9.01 10/16/11 KINDER MORGAN, INC. DE 2.02,9.01 10/19/11 KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 10/19/11 KNOLL INC DE 2.02,9.01 10/19/11 Kodiak Oil & Gas Corp B0 2.02,7.01,9.01 10/18/11 KRANEM CORP CO 7.01,9.01 10/19/11 LAM RESEARCH CORP DE 2.02,9.01 10/19/11 Lantheus Medical Imaging, Inc. DE 1.01,7.01,8.01 10/14/11 LaSalle Hotel Properties MD 2.02,9.01 10/19/11 LCNB CORP OH 2.02,8.01,9.01 10/19/11 LEXMARK INTERNATIONAL INC /KY/ DE 1.01,8.01,9.01 10/18/11 LIGAND PHARMACEUTICALS INC DE 1.01 10/13/11 Lightwave Logic, Inc. NV 8.01,9.01 10/13/11 LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 10/18/11 LOCAL.COM DE 2.01,9.01 07/08/11 AMEND Loreto Resources Corp. NV 1.01 10/18/11 LTC PROPERTIES INC MD 1.01,9.01 10/19/11 LUCAS ENERGY, INC. NV 2.01,9.01 10/13/11 LUCAS ENERGY, INC. NV 1.01,3.02,5.03 10/13/11 LUFKIN INDUSTRIES INC TX 2.02,9.01 10/19/11 M&T BANK CORP NY 2.02,9.01 10/19/11 Man AHL FuturesAccess LLC DE 3.02 10/14/11 Market Leader, Inc. WA 1.01,2.01,9.01 09/15/11 AMEND Mastech Holdings, Inc. PA 2.02,9.01 10/19/11 MEDIA GENERAL INC VA 2.02,9.01 10/19/11 MEDIA SCIENCES INTERNATIONAL INC 8.01 10/19/11 MedQuist Holdings Inc. DE 5.02,9.01 10/13/11 MEDTOX SCIENTIFIC INC DE 2.02,9.01 10/13/11 MERCURY GENERAL CORP CA 5.02 10/17/11 MHI Hospitality CORP MD 1.01,2.03,7.01,9.01 10/17/11 MICROSEMI CORP DE 1.01,2.03,9.01 10/13/11 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 10/19/11 MIDAMERICAN FUNDING LLC IA 8.01 10/19/11 MidWestOne Financial Group, Inc. IA 8.01,9.01 10/19/11 MISSISSIPPI POWER CO MS 8.01,9.01 10/11/11 MKS INSTRUMENTS INC MA 2.02,9.01 10/19/11 ML Aspect FuturesAccess LLC DE 3.02 10/14/11 ML Winton FuturesAccess LLC DE 3.02 10/14/11 MONAR INTERNATIONAL INC. NV 1.02 10/18/11 MONARCH CASINO & RESORT INC NV 2.02,9.01 10/19/11 MORGAN STANLEY DE 2.02,8.01,9.01 10/19/11 NANOSPHERE INC DE 5.07 06/01/11 AMEND NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 3.03,9.01 10/18/11 NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 10/19/11 NEWS CORP 8.01,9.01 10/19/11 Noble Corp / Switzerland V8 2.02,9.01 10/19/11 NORTHERN CALIFORNIA BANCORP INC 1.01,9.01 09/29/11 NORTHERN TRUST CORP DE 2.02,9.01 10/19/11 NUTRI SYSTEM INC /DE/ DE 5.02,9.01 10/19/11 NVE CORP /NEW/ MN 2.02 10/19/11 OHIO LEGACY CORP OH 2.01 10/14/11 Oilsands Quest Inc 1.01,3.02,3.03,5.03, 10/17/11 8.01,9.01 Omega Flex, Inc. PA 2.02 09/30/11 ON SEMICONDUCTOR CORP DE 2.05,2.06,8.01,9.01 10/16/11 ORB Automotive E9 5.02 10/09/11 OSL HOLDINGS INC. 1.01,2.01,3.02,5.01, 10/10/11 5.02,8.01,9.01 PACIFIC CONTINENTAL CORP OR 2.02,9.01 10/17/11 PARKERVISION INC FL 5.02 10/17/11 PDL BIOPHARMA, INC. DE 8.01,9.01 10/19/11 PENN TREATY AMERICAN CORP PA 5.02 10/19/11 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 09/30/11 PERFICIENT INC DE 5.07 06/03/11 AMEND PETMED EXPRESS INC FL 8.01,9.01 10/17/11 PETROLEUM DEVELOPMENT CORP NV 7.01 10/19/11 Petron Energy II, Inc. NV 9.01 08/31/11 PHAZAR CORP DE 2.02,9.01 10/19/11 PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 10/18/11 PIPER JAFFRAY COMPANIES DE 2.02,5.02,9.01 10/19/11 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 10/19/11 PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 10/19/11 POLYCOM INC DE 2.02,9.01 10/19/11 POPULAR INC 7.01,9.01 10/19/11 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 10/18/11 PRECISION OPTICS CORPORATION INC MA 5.02,9.01 10/14/11 Propell Corporation. DE 2.02,5.02,9.01 10/14/11 PROSPECT GLOBAL RESOURCES INC. NV 8.01,9.01 10/17/11 PSM HOLDINGS INC NV 1.01,9.01 10/13/11 Radius Health, Inc. DE 5.02 10/13/11 RANGE RESOURCES CORP DE 7.01,9.01 10/18/11 RARUS MINERALS INC NV 4.01,9.01 10/18/11 RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 10/19/11 RealD Inc. DE 8.01,9.01 10/19/11 REGENERON PHARMACEUTICALS INC NY 8.01,9.01 10/18/11 RENAISSANCE LEARNING INC WI 5.07,8.01,9.01 10/17/11 Riverbed Technology, Inc. DE 2.02,9.01 10/19/11 RLI CORP IL 2.02,9.01 10/18/11 Rockwood Holdings, Inc. DE 2.02,9.01 10/19/11 ROTATE BLACK INC NV 8.01 10/17/11 S Y BANCORP INC KY 2.02,9.01 10/19/11 SANGAMO BIOSCIENCES INC DE 5.07 06/01/11 AMEND SEI INVESTMENTS CO PA 2.02,9.01 10/19/11 SELECT COMFORT CORP MN 2.02,7.01,9.01 10/19/11 Sensata Technologies Holding N.V. P7 2.02,9.01 10/19/11 Silver Falcon Mining, Inc. DE 8.01 10/19/11 Sino Gas International Holdings, Inc. UT 5.02 10/19/11 SIRIUS XM RADIO INC. DE 8.01 10/19/11 SLM CORP DE 2.02,9.01 10/19/11 Smart-tek Solutions Inc NV 2.01,9.01 10/18/11 SOMERSET HILLS BANCORP NJ 2.02,9.01 10/19/11 SPARTAN STORES INC MI 2.02,9.01 10/19/11 ST JUDE MEDICAL INC MN 2.02,9.01 10/19/11 STANDARD MICROSYSTEMS CORP DE 1.01,5.02 10/14/11 STANLEY FURNITURE CO INC. DE 2.02,9.01 10/19/11 STATE BANCORP INC NY 2.02,9.01 10/19/11 STATE BANK FINANCIAL CORP GA 8.01,9.01 10/14/11 STEINER LEISURE Ltd C5 1.01,9.01 10/14/11 STERLING BANCORP NY 7.01,9.01 10/17/11 STRYKER CORP MI 2.02,9.01 09/30/11 Summer Infant, Inc. DE 1.01,5.02,7.01,9.01 10/13/11 SUNESIS PHARMACEUTICALS INC DE 1.01,2.03,8.01,9.01 10/18/11 SUPERIOR ENERGY SERVICES INC DE 8.01,9.01 10/18/11 SUPERVALU INC DE 2.02,9.01 10/19/11 SWIFT TRANSPORTATION Co 2.02,9.01 10/19/11 Targa Resources Corp. DE 8.01 10/19/11 Targa Resources Partners LP DE 8.01 10/19/11 TEKELEC CA 2.02,9.01 10/19/11 TEMPLE INLAND INC DE 2.02,9.01 10/19/11 TEXTRON INC DE 2.02,9.01 10/19/11 TICC Capital Corp. MD 8.01 10/19/11 TOYS R US INC DE 5.02 10/19/11 TPC Group Inc. DE 7.01 10/18/11 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 10/19/11 TRANS1 INC 7.01 10/19/11 TRANSCONTINENTAL REALTY INVESTORS INC NV 5.02 10/13/11 TRAVELERS COMPANIES, INC. MN 2.02,9.01 10/19/11 TREDEGAR CORP VA 1.01,8.01,9.01 10/14/11 Tree.com, Inc. DE 1.01,2.03,9.01 10/13/11 TRI VALLEY CORP 1.01,2.03,9.01 08/29/11 TRUMP ENTERTAINMENT RESORTS, INC. DE 8.01,9.01 10/19/11 UNITED COMMUNICATIONS PARTNERS INC NV 1.01,9.01 10/13/11 United Community Bancorp X1 5.02 10/17/11 UNITED RENTALS INC /DE DE 2.02,7.01,9.01 10/18/11 UNITED TECHNOLOGIES CORP /DE/ DE 2.02,9.01 10/19/11 UNIVERSAL GOLD MINING CORP. NV 5.02 10/18/11 US BANCORP \DE\ DE 2.02,9.01 10/19/11 VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 8.01 10/19/11 VICTORIA INTERNET SERVICES INC NV 8.01 10/12/11 VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 10/19/11 VISA INC. DE 8.01,9.01 10/18/11 Vishay Precision Group, Inc. DE 5.07 06/02/11 AMEND WaferGen Bio-systems, Inc. NV 5.02,5.03,9.01 10/19/11 WASTE CONNECTIONS, INC. DE 7.01 10/19/11 WERNER ENTERPRISES INC NE 2.02,9.01 10/18/11 WEST CORP DE 2.02,9.01 10/19/11 WESTAMERICA BANCORPORATION CA 2.02,9.01 10/19/11 WESTELL TECHNOLOGIES INC DE 2.02,5.02,9.01 10/19/11 WESTERN DIGITAL CORP DE 2.02,9.01 10/19/11 WILSHIRE BANCORP INC 5.02,9.01 10/14/11 WNC HOUSING TAX CREDIT FUND II LP CA 2.02,9.01 10/19/11 WYNN RESORTS LTD 2.02,7.01,9.01 10/19/11 XILINX INC DE 2.02,9.01 10/19/11 ZHONE TECHNOLOGIES INC DE 2.02,9.01 10/19/11 ZION OIL & GAS INC DE 1.01,5.02,9.01 10/14/11 ZIONS BANCORPORATION /UT/ UT 8.01 10/18/11