Statement of Chairman Schapiro on the Senate Confirmation of Luis A. Aguilar and Daniel M. Gallagher as SEC Commissioners
The following is a statement from SEC Chairman Mary L. Schapiro on the Senate confirmation of Luis A. Aguilar and Daniel M. Gallagher as SEC Commissioners:
(Press Rel. 2011-219)
In the Matter of SGI International
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Seven Respondents (Default Order) in SGI International, Admin. Proc. No. 3-14555. 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 SGI International, Shared Imaging Partners, LP, Sibun River Group, Inc., Simon Transportation Services, Inc., Sirius Software, Inc., SLM Entertainment, Ltd., and Snake River Properties, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
African Metals Corporation, successor to Respondent Shiega Resources Corp., has filed a Motion for Leave to File Answer, Answer, and Notice of Appearance. The proceeding remains pending as to Respondent. (Rel. 34-65606; File No. 3-14555)
In the Matter of Banco Espirito Santo S.A.
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Banco Espirito Santo S.A. (BES).
The Order finds that BES offered its approximately 3,800 U.S.-resident customers and clients brokerage services and investment advice between 2004 and 2009. However, BES was not registered with the Commission as a broker-dealer or investment adviser, and it offered and sold securities to its U.S. customers and clients who were primarily Portuguese immigrants, without the intermediation of a registered broker-dealer despite having a U.S.-based wholly-owned subsidiary that has been registered with the Commission as a broker-dealer since at least 2004 and is a member of FINRA. In addition, none of the securities BES sold to U.S. residents was registered as required by the federal securities laws.
Based on the above, the Order finds that BES willfully violated Sections 5(a) and 5(c) of the Securities Act of 1933, Section 15(a) of the Securities Exchange Act of 1934, and Section 203(a) of the Investment Advisers Act of 1940. The Order orders BES to cease and desist from committing or causing any violations or any future violations of these provisions, and orders BES to pay a total of nearly $7 million, including $1,650,000 in disgorgement, $363,518 in prejudgment interest, and a $4,950,000 million civil money penalty. BES has agreed to undertake to make all of its U.S. customers and clients whole for any realized or unrealized investment losses plus interest. BES consented to the issuance of the Order without admitting or denying any of the findings in Order. (Rel. 33-9270; 34-65608; IA-3304; File No. 3-14599)
In the Matter of Pipeline Trading Systems LLC, Fred J. Federspiel, and Alfred R. Berkeley III
On October 24, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order (Order) as to Pipeline Trading Systems LLC (Pipeline Trading), Fred J. Federspiel, and Alfred R. Berkeley III.
The Order found that Pipeline Trading (together with its parent, Pipeline) operated an alternative trading system (ATS), a private stock-trading platform commonly referred to as a “dark pool.” Pipeline held out its ATS as a “crossing network” that anonymously matched customers’ interests in trading large amounts of stock. However, Pipeline did not disclose to its customers that the overwhelming majority of the shares traded on its ATS were bought or sold by a wholly owned subsidiary of Pipeline. The undisclosed subsidiary (the Affiliate) was entirely owned and funded by Pipeline, which created the Affiliate to provide liquidity to Pipeline’s customers. Pipeline advertised that it had “no prop [rietary trading] desk attempting to game [customer] orders.” Its advertising and other public statements repeatedly claimed that the trading opportunities on its trading platform were “natural,” that the platform would not reveal the side (i.e., whether an order was to buy or to sell) or price of a customer order before a trade was completed, that the platform denied “arbitrageurs” and “high-frequency traders” information needed to “front run,” that it provided a refuge from “predators,” and that it prevented “pre-trade information leakage.” These claims were false and misleading in that the Affiliate was on the other side of the vast majority of trades executed on the platform. The Affiliate sought to predict the side and price of Pipeline customers’ orders and then trade on the same side as those orders in other trading venues before filling them on Pipeline.
The Order also found that while Pipeline on the advice of its counsel disclosed to most of its customers the possibility of unspecified Pipeline affiliates trading on the Pipeline ATS, it assured its customers that any affiliate trading on the ATS would receive no preferential treatment and would “have no access to order or trade data of other subscribers.” In fact, Pipeline occasionally revealed to the Affiliate, after the trades were consummated, order and trade data of other customers. Pipeline also provided the Affiliate with certain access and information that improved the Affiliate’s ability to trade advantageously, including certain electronic connectivity to the ATS, input into designing ATS rules for deterring predatory conduct, and information about ATS operations and Pipeline’s methods of policing for predatory behavior that were not known to other customers. From August 2004 to March 2010, Pipeline violated the Commission’s Regulation ATS by omitting to disclose, in required filings with the Commission, the Affiliate as an entity involved in the operation of the alternative trading system.
Pipeline Trading, Federspiel and Berkeley consented to the issuance of the Order, without admitting or denying any of its findings, finding that Pipeline Trading violated Section 17(a)(2) of the Securities Act and Rules 301(b)(2) and 301(b)(10) of Regulation ATS under the Exchange Act, and that Federspiel and Berkeley caused Pipeline Trading to violate Section 17(a)(2) of the Securities Act and Rules 301(b)(2) and 301(b)(10) of Regulation ATS; ordering Pipeline Trading, Federspiel and Berkeley to cease and desist from committing or causing any violations and any future violations of these provisions; and ordering Pipeline Trading, Federspiel and Berkeley to pay civil penalties of $1 million, $100,000, and $100,000, respectively.
Gerald Gross, Daniel Walfish, Stephen Larson, and Alexander Janghorbani of the SEC’s New York Regional Office conducted the investigation. (Rels. 33-9271; 34-65609; File No. 3-14600)
In the Matter of International Butec Industries Corp. (n/k/a Websmart.com Communications, Inc.)
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) as to International Colin Energy Corp. (n/k/a Morgan Hydrocarbons, Inc.) and International Menu Solutions Corp. (n/k/a Dunwynn Exploration, Inc.) in International Butec Industries Corp. (n/k/a Websmart.com Communications, Inc.), Admin. Proc. No. 3-14476. The Order Instituting Proceedings alleged that seven 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 as to these two Respondents and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to all other Respondents. See International Butec Industries Corp. (n/k/a Websmart.com Communications, Inc.), Exchange Act Release Nos. 65212 (Aug. 29, 2011) and 65219 (Aug. 30, 2011). (Rel. 34-65607; File No. 3-14476)
SEC Files Complaint and Proposed Settlement with Koss Corporation and its CEO Michael J. Koss
The Securities and Exchange Commission today filed a Complaint against Koss Corporation (“Koss”), located in Milwaukee, Wisconsin, and Michael J. Koss, its CEO and former CFO, based on Koss Corporation’s preparation of materially inaccurate financial statements, book and records, and lack of adequate internal controls from fiscal years 2005 through 2009. During this period, two former accounting employees engaged in a wide-ranging accounting fraud to cover up embezzlement of over $30 million from Koss. The Commission’s Complaint alleges, among other things, that:
After discovering the embezzlement, Koss amended and restated its financial statements for fiscal years 2008 and 2009 and the first three quarters of fiscal year 2010.
Koss and Michael J. Koss have consented to the entry of an injunctive order without admitting or denying the allegations in the Commission’s complaint. The settlement is subject to approval by the court. The proposed order would:
Enjoin Koss from violating and Michael J. Koss from aiding and abetting violations of the reporting, books and records and internal controls provisions (Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-1, 13a-11 and 13a-13) of the federal securities laws and Michael J. Koss from violating the certification provision (Section 13a-14 of the Exchange Act).
Order Michael J. Koss to reimburse Koss $242,419 in cash and 160,000 of options pursuant to Section 304 of the Sarbanes-Oxley Act.
The Commission acknowledges the assistance of the U.S. Attorney’s Office for the Eastern District of Wisconsin, the Federal Bureau of Investigation and the Public Company Accounting Oversight Board and also the cooperation of Koss Corporation and Michael J. Koss. [SEC v. Koss Corporation and Michael J. Koss., Civil Case No. 2:11-cv-00991, USDC, E.D., Wisc.] ( LR-22138; AAE Rel. 3330)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Two 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 two companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the two 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. 34-65611; File No. 3-14601)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-FINRA-2011-043) to amend FINRA Rule 0160 (Definitions in FINRA By-Laws). Publication is expected in the Federal Register during the week of October 24. (Rel. 34-65599)
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 NORTH VALLEY BANCORP, 300 PARK MARINA CIRCLE, REDDING, CA, 96001, 5302262900 - 196,615 ($1,863,910.00) Equity, (File 333-177421 - Oct. 21) (BR. 07B) S-3 Education Realty Trust, Inc., 530 OAK COURT DRIVE, SUITE 300, MEMPHIS, TN, 38117, 901.259.2500 - 0 ($500,000,000.00) Equity, (File 333-177422 - Oct. 21) (BR. 08B) S-8 BP PLC, 1 ST JAMES'S SQUARE, LONDON, SW1Y 4PD, X0, 00000, 442074964000 - 453,814,360 ($2,965,449,935.00) Equity, (File 333-177423 - Oct. 21) (BR. 04B) S-8 Colonial Financial Services, Inc., 2745 S. DELSEA DRIVE, VINELAND, NJ, 08360, (856) 205-0058 - 321,300 ($3,971,268.00) Equity, (File 333-177426 - Oct. 21) (BR. 07A) S-8 CAPITAL SOUTHWEST CORP, 12900 PRESTON RD STE 700, DALLAS, TX, 75230, 9722338242 - 187,000 ($15,262,940.00) Equity, (File 333-177432 - Oct. 21) (BR. 16) S-8 CAPITAL SOUTHWEST CORP, 12900 PRESTON RD STE 700, DALLAS, TX, 75230, 9722338242 - 47,000 ($3,836,140.00) Equity, (File 333-177433 - Oct. 21) (BR. 16) S-1 CENTRAL FEDERAL CORP, C/O CENTRAL FEDERAL BANK, 601 MAIN ST, WELLSVILLE, OH, 43968, 3305321517 - 0 ($37,500,000.00) Equity, (File 333-177434 - Oct. 21) (BR. 07C) S-8 PIZZA INN HOLDINGS, INC /MO/, 3551 PLANO PARKWAY, THE COLONY, TX, 75056, 469-384-5000 - 1,500,000 ($5,115,000.00) Equity, (File 333-177436 - Oct. 21) (BR. 02B) S-3 PRUCO LIFE INSURANCE CO, 213 WASHINGTON ST, 111 DURHAM AVENUE, NEWARK, NJ, 07102, 2018026000 - 5,000,000,000 ($5,000,000,000.00) Non-Convertible Debt, (File 333-177437 - Oct. 21) (BR. 01B) S-3 PRUCO LIFE INSURANCE CO, 213 WASHINGTON ST, 111 DURHAM AVENUE, NEWARK, NJ, 07102, 2018026000 - 0 ($1.00) Non-Convertible Debt, (File 333-177438 - Oct. 21) (BR. 01B) S-3 PRUCO LIFE INSURANCE OF NEW JERSEY, 213 WASHINGTON ST, NEWARK, NJ, 07102, 9738022859 - 0 ($1.00) Non-Convertible Debt, (File 333-177440 - Oct. 21) (BR. 01B) S-8 ASB Bancorp Inc, 11 CHURCH STREET, ASHEVILLE, NC, 28801, 828-254-7411 - 0 ($4,800,004.00) Equity, (File 333-177442 - Oct. 21) (BR. 07) S-3 PRUCO LIFE INSURANCE CO, 213 WASHINGTON ST, 111 DURHAM AVENUE, NEWARK, NJ, 07102, 2018026000 - 0 ($1.00) Non-Convertible Debt, (File 333-177444 - Oct. 21) (BR. 01B) S-3 PRUCO LIFE INSURANCE CO, 213 WASHINGTON ST, 111 DURHAM AVENUE, NEWARK, NJ, 07102, 2018026000 - 0 ($1.00) Non-Convertible Debt, (File 333-177445 - Oct. 21) (BR. 01B) S-3 PRUCO LIFE INSURANCE OF NEW JERSEY, 213 WASHINGTON ST, NEWARK, NJ, 07102, 9738022859 - 0 ($1.00) Non-Convertible Debt, (File 333-177446 - Oct. 21) (BR. 01B) S-3 PRUCO LIFE INSURANCE OF NEW JERSEY, 213 WASHINGTON ST, NEWARK, NJ, 07102, 9738022859 - 0 ($1.00) Non-Convertible Debt, (File 333-177447 - Oct. 21) (BR. 01B) S-8 SUN HYDRAULICS CORP, 1500 WEST UNIVERSITY PKWY, SARASOTA, FL, 34243, 9413621200 - 2,125,000 ($53,348,125.00) Equity, (File 333-177448 - Oct. 21) (BR. 06A) S-3 PRUCO LIFE INSURANCE OF NEW JERSEY, 213 WASHINGTON ST, NEWARK, NJ, 07102, 9738022859 - 0 ($1.00) Non-Convertible Debt, (File 333-177449 - Oct. 21) (BR. 01B) S-3 PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP/CT, ONE CORPORATE DRIVE, SHELTON, CT, 06484, 2039261888 - 0 ($6,000,000,000.00) Other, (File 333-177451 - Oct. 21) (BR. 01B) S-1 ProText Mobility, Inc., 6800 JERICHO TURNPIKE, SUITE 208E, SYOSSET, NY, 11791, 917-733-8067 - 35,000,000 ($1,050,000.00) Equity, (File 333-177452 - Oct. 21) (BR. 11A) S-8 COHU INC, 12367 CROSTHWAITE CIRCLE, POWAY, CA, 92064-6817, 858-848-8100 - 0 ($4,660,000.00) Equity, (File 333-177453 - Oct. 21) (BR. 10A) S-8 MORGAN STANLEY, 1585 BROADWAY, NEW YORK, NY, 10036, 212-761-4000 - 0 ($529,725,000.00) Equity, (File 333-177454 - Oct. 21) (BR. 12A) S-3 PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP/CT, ONE CORPORATE DRIVE, SHELTON, CT, 06484, 2039261888 - 0 ($10,000,000.00) Non-Convertible Debt, (File 333-177456 - Oct. 21) (BR. 01B) S-3 PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP/CT, ONE CORPORATE DRIVE, SHELTON, CT, 06484, 2039261888 - 0 ($1.00) Non-Convertible Debt, (File 333-177458 - Oct. 21) (BR. 01B) S-4 GFI Group Inc., 55 WATER STREET, NEW YORK, NY, 10041, 212-968-4100 - 0 ($250,000,000.00) Debt, (File 333-177459 - Oct. 21) (BR. 08C) S-3 Guaranty Bancorp, 1331 SEVENTEENTH STREET, SUITE 345, DENVER, CO, 80202, 303-296-9600 - 0 ($5,883,842.00) Equity, (File 333-177461 - Oct. 21) (BR. 07C) S-3 Oculus Innovative Sciences, Inc., 1129 N. MCDOWELL BLVD., PETALUMA, CA, 94954, 707-782-0792 - 3,890,000 ($5,368,200.00) Equity, (File 333-177462 - Oct. 21) (BR. 10B) S-1 AUDIOEYE INC, 9901 KENTSDALE DR, POTOMAC, MD, 20854, 301-717-0577 - 1,500,000 ($600.00) Debt, (File 333-177463 - Oct. 21) (BR. ) S-8 BPZ RESOURCES, INC., 580 WESTLAKE PARK BLVD., SUITE 525, HOUSTON, TX, 77079, 2815566200 - 0 ($5,600,000.00) Equity, (File 333-177464 - Oct. 21) (BR. 04A) S-11 Rouse Properties, Inc., 110 NORTH WACKER DRIVE, CHICAGO, IL, 60606, 312 960-5000 - 0 ($200,000,000.00) Equity, (File 333-177465 - Oct. 21) (BR. 08B)
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 ACME PACKET INC DE 5.02,9.01 10/17/11 ACME UNITED CORP CT 2.02,9.01 10/21/11 ACORDA THERAPEUTICS INC 8.01,9.01 10/21/11 ACORDA THERAPEUTICS INC 8.01,9.01 10/20/11 AeroGrow International, Inc. NV 2.03,9.01 10/17/11 AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 10/21/11 ALAMO GROUP INC DE 2.01,9.01 10/18/11 AMEND Alarion Financial Services Inc 5.02 10/19/11 Ally Master Owner Trust 1.01,8.01,9.01 10/19/11 Alpha Natural Resources, Inc. DE 1.01,2.03,9.01 10/19/11 AMAG PHARMACEUTICALS INC. DE 7.01,9.01 10/21/11 AMAG PHARMACEUTICALS INC. DE 1.02,5.07 10/21/11 AMEREN CORP MO 8.01 10/21/11 American Energy Development Corp. NV 7.01,9.01 10/21/11 ANAVEX LIFE SCIENCES CORP. NV 5.02,9.01 10/21/11 ANGIOTECH PHARMACEUTICALS INC 5.02 10/17/11 Anoteros, Inc. NV 1.01,9.01 10/20/11 Apps Genius Corp NV 1.01,8.01,9.01 10/17/11 ASB Bancorp Inc NC 5.02,9.01 10/18/11 AVID TECHNOLOGY, INC. DE 5.03,9.01 10/19/11 BANK MUTUAL CORP WI 2.02 10/20/11 BARNES & NOBLE INC DE 5.02,9.01 10/21/11 BASIC ENERGY SERVICES INC 2.02,9.01 10/20/11 BERKSHIRE HILLS BANCORP INC 8.01,9.01 10/21/11 BEST BUY CO INC MN 5.02 10/17/11 BIOLIFE SOLUTIONS INC DE 7.01,9.01 10/20/11 Birmingham Bloomfield Bancshares MI 2.02,9.01 10/18/11 BOVIE MEDICAL CORP DE 5.07 10/18/11 BOYD GAMING CORP NV 5.02 10/17/11 BRIGHAM EXPLORATION CO DE 1.01,5.02,7.01,8.01, 10/17/11 9.01 BRISTOL MYERS SQUIBB CO DE 5.02,9.01 10/18/11 BROADCOM CORP CA 8.01 10/20/11 CALIPER LIFE SCIENCES INC DE 8.01 10/20/11 CAPSALUS CORP NV 1.01,7.01,9.01 10/13/11 CENTRAL BANCORP INC /MA/ MA 8.01,9.01 10/20/11 CENTRAL FEDERAL CORP DE 5.07,8.01,9.01 10/20/11 CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 10/19/11 CHEESECAKE FACTORY INC DE 8.01,9.01 10/21/11 Cheniere Energy Partners, L.P. DE 8.01,9.01 10/21/11 CHICOPEE BANCORP, INC. 2.02,9.01 10/21/11 China Infrastructure Investment CORP NV 3.01 10/17/11 CHINA JO-JO DRUGSTORES, INC. 2.01,9.01 08/25/11 CHINA NUVO SOLAR ENERGY INC NV 5.03,9.01 10/18/11 CITY HOLDING CO WV 2.02,9.01 10/20/11 CLOUD PEAK ENERGY INC. DE 8.01,9.01 10/21/11 COCONNECT INC NV 5.02 10/21/11 COMMUNITY BANCORP /VT VT 2.02,9.01 10/18/11 COMMUNITY BANK SYSTEM INC DE 5.07 10/21/11 AMEND Compressco Partners, L.P. DE 8.01,9.01 10/20/11 COPART INC CA 5.02 10/14/11 CORNERSTONE BANCSHARES INC TN 2.02,9.01 10/20/11 COSTCO WHOLESALE CORP /NEW WA 5.02 10/18/11 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 10/21/11 DAEGIS INC. DE 1.01,9.01 06/30/11 AMEND DEMAND MEDIA INC. DE 9.01 10/21/11 DICKS SPORTING GOODS INC DE 5.02 10/17/11 DIODES INC /DEL/ DE 5.07 05/26/11 AMEND DOVER Corp DE 2.02,9.01 09/30/11 DreamWorks Animation SKG, Inc. 5.02 10/17/11 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 10/17/11 DT Sale Corp. CA 5.02,8.01 10/17/11 DTE ENERGY CO MI 8.01,9.01 10/21/11 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 10/21/11 DYNEGY INC. DE 7.01,9.01 10/20/11 EARTHLINK INC DE 5.02,8.01,9.01 10/18/11 EASTERN VIRGINIA BANKSHARES INC VA 2.02,9.01 10/21/11 ECO VENTURES GROUP, INC. NV 7.01 10/19/11 Education Realty Trust, Inc. MD 8.01,9.01 10/21/11 EL PASO ELECTRIC CO /TX/ TX 8.01 10/21/11 El Paso Pipeline Partners, L.P. DE 8.01,9.01 10/21/11 EMCLAIRE FINANCIAL CORP PA 2.02,9.01 10/21/11 ENERGIZER HOLDINGS INC MO 5.02,9.01 10/17/11 ENERGY CONVERSION DEVICES INC DE 5.02 10/17/11 Energy Transfer Equity, L.P. DE 1.01,2.03,9.01 10/17/11 EQUITY LIFESTYLE PROPERTIES INC MD 1.01,8.01,9.01 10/19/11 EVERGREEN SOLAR INC DE 7.01,9.01 09/30/11 EXPLORE ANYWHERE HOLDING CORP NV 2.01,3.02,5.06,9.01 02/04/11 AMEND F&M BANK CORP VA 2.02,9.01 10/21/11 Fabrinet E9 7.01 10/21/11 Fabrinet E9 5.02 10/20/11 Federal Home Loan Bank of Boston X1 5.02,5.07 10/18/11 Federal Home Loan Bank of Cincinnati X1 5.02 10/20/11 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 10/21/11 Financial Engines, Inc. DE 1.01,9.01 10/18/11 FIRST CENTURY BANKSHARES INC WV 2.02,9.01 10/21/11 FIRST COMMUNITY CORP /SC/ SC 2.02,8.01,9.01 10/19/11 FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 10/21/11 FIRST HORIZON NATIONAL CORP TN 5.02 10/17/11 Galena Biopharma, Inc. 5.02 10/17/11 GENERAL ELECTRIC CAPITAL CORP CT 8.01,9.01 10/21/11 GENERAL ELECTRIC CAPITAL SERVICES INC DE 8.01,9.01 10/21/11 GENERAL ELECTRIC CO NY 2.02,9.01 10/21/11 GENESIS FINANCIAL INC WA 5.02,8.01 10/20/11 GENTA INC DE/ DE 5.07,8.01 10/21/11 GLACIER BANCORP INC DE 2.02,9.01 10/20/11 GLOBAL 8 ENVIRONMENTAL TECHNOLOGIES, NV 3.02 03/01/11 GLU MOBILE INC DE 5.02 10/20/11 GNC HOLDINGS, INC. DE 2.02,9.01 10/21/11 GTSI CORP DE 5.02,9.01 09/30/11 AMEND Guaranty Bancorp DE 2.02,7.01,9.01 10/20/11 GULFMARK OFFSHORE INC DE 7.01,9.01 10/20/11 Harbin Electric, Inc 8.01,9.01 10/21/11 HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 10/21/11 Heritage-Crystal Clean, Inc. DE 5.07 10/19/11 HIGHLANDS BANCORP, INC. NJ 2.02,9.01 10/21/11 Hill International, Inc. DE 1.01,2.03,8.01,9.01 10/17/11 HINES REAL ESTATE INVESTMENT TRUST IN 7.01,9.01 10/20/11 HITOR GROUP, IN. NV 4.02 10/20/11 Honda Auto Receivables 2011-3 Owner T DE 8.01,9.01 10/21/11 Honda Auto Receivables 2011-3 Owner T DE 1.01,9.01 10/21/11 HONEYWELL INTERNATIONAL INC DE 2.02,9.01 10/21/11 HORIZON BANCORP /IN/ IN 2.02,9.01 10/20/11 HUGOTON ROYALTY TRUST TX 2.02,9.01 10/21/11 Huntsman CORP DE 2.06,5.02 10/19/11 IAC/INTERACTIVECORP DE 9.01 08/25/11 AMEND IASIS Healthcare LLC DE 5.02 10/17/11 IDEX CORP /DE/ DE 7.01,9.01 10/20/11 IDEXX LABORATORIES INC /DE DE 2.02,9.01 10/21/11 IHS Inc. DE 2.01,9.01 08/11/11 AMEND IMAGINE MEDIA LTD DE 4.01 10/20/11 INFINITY PHARMACEUTICALS, INC. DE 7.01,9.01 10/21/11 IPC The Hospitalist Company, Inc. DE 5.02 10/19/11 AMEND ISECURETRAC CORP DE 1.01,2.03,9.01 10/19/11 Iveda Solutions, Inc. NV 4.01,5.02,9.01 10/17/11 JAKKS PACIFIC INC DE 5.02,5.03,8.01,9.01 10/19/11 KANSAS CITY SOUTHERN DE 2.02,9.01 10/21/11 KBR, INC. DE 8.01 10/21/11 AMEND KEYNOTE SYSTEMS INC DE 2.01,9.01 10/18/11 KINETIC CONCEPTS INC TX 9.01 09/30/11 KIRKLAND'S, INC 5.07 10/21/11 AMEND KRONOS WORLDWIDE INC 7.01,9.01 10/20/11 KRONOS WORLDWIDE INC 7.01,9.01 10/20/11 LA-Z-BOY INC MI 1.01,2.03,3.03,9.01 10/19/11 LAMPERD LESS LETHAL INC NV 8.01 10/21/11 LIGAND PHARMACEUTICALS INC DE 1.02,9.01 10/18/11 LyondellBasell Industries N.V. P7 8.01,9.01 10/20/11 LyondellBasell Industries N.V. P7 8.01,9.01 10/20/11 MACROSOLVE INC OK 1.01,2.03,9.01 10/20/11 MAGELLAN PETROLEUM CORP /DE/ DE 4.01 10/20/11 MANPOWER INC /WI/ WI 2.02,9.01 10/21/11 MARKWEST ENERGY PARTNERS L P 8.01,9.01 10/18/11 MATTHEWS INTERNATIONAL CORP PA 7.01,9.01 10/20/11 MB FINANCIAL INC /MD 2.02,9.01 10/20/11 MCCLATCHY CO DE 9.01 09/25/11 MCDONALDS CORP DE 2.02,9.01 10/21/11 MCJUNKIN RED MAN HOLDING CORP DE 2.02,9.01 10/20/11 MERCHANTS BANCSHARES INC DE 8.01,9.01 10/20/11 MERCURY COMPUTER SYSTEMS INC MA 5.02,5.07,8.01,9.01 10/21/11 METALS USA HOLDINGS CORP. DE 2.02,9.01 10/20/11 METHODE ELECTRONICS INC DE 8.01,9.01 10/20/11 MetroCorp Bancshares, Inc. TX 2.02,9.01 10/21/11 MGIC INVESTMENT CORP WI 2.02,9.01 10/21/11 MGP INGREDIENTS INC KS 1.01,2.03,3.03,8.01, 10/20/11 9.01 MISONIX INC NY 1.01,2.01,9.01 10/19/11 Mistras Group, Inc. DE 5.02,5.07 10/17/11 MMRGlobal, Inc. DE 3.02 10/17/11 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/21/11 MRV COMMUNICATIONS INC DE 1.01,5.02,8.01,9.01 10/17/11 Myrexis, Inc. DE 1.01,5.02,8.01,9.01 10/18/11 N-VIRO INTERNATIONAL CORP DE 1.02,9.01 10/18/11 NASDAQ OMX GROUP, INC. DE 2.03 10/19/11 NATIONAL RURAL UTILITIES COOPERATIVE DC 2.03 10/21/11 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 1.01,9.01 10/18/11 NETLOGIC MICROSYSTEMS INC DE 8.01 10/20/11 NETSCOUT SYSTEMS INC DE 5.07 09/07/11 AMEND NeurogesX Inc CA 3.01 10/18/11 NEVADA GOLD & CASINOS INC NV 1.01,5.07,9.01 10/18/11 NewCardio, Inc. DE 5.02 10/17/11 NewMarket Technology Inc NV 5.07 09/01/11 NEWPARK RESOURCES INC DE 5.02,9.01 10/17/11 Newport Bancorp Inc 2.02,9.01 10/21/11 NGA Holdco, LLC NV 4.01 10/21/11 NORTEK INC DE 5.02,9.01 10/21/11 Oak Valley Bancorp CA 2.02,7.01,9.01 10/19/11 OCEANFIRST FINANCIAL CORP DE 2.02,8.01 10/20/11 Oconee Federal Financial Corp. 8.01,9.01 10/20/11 ON SEMICONDUCTOR CORP DE 2.06,8.01,9.01 10/18/11 Oncologix Tech Inc. NV 3.02 10/19/11 ONCOR ELECTRIC DELIVERY CO LLC DE 5.02 10/18/11 Orsus Xelent Technologies Inc DE 3.01,9.01 10/14/11 Oxford Resource Partners LP DE 7.01,9.01 10/21/11 PACIFIC ENTERTAINMENT CORP CA 5.03,9.01 10/17/11 PARTICLE DRILLING TECHNOLOGIES INC/NV NV 8.01 10/21/11 Pendrell Corp DE 8.01 10/17/11 PENN MILLERS HOLDING CORP 8.01,9.01 10/21/11 PENN NATIONAL GAMING INC PA 2.02,9.01 10/20/11 People's United Financial, Inc. DE 2.02,8.01,9.01 10/20/11 PEOPLESTRING CORP DE 8.01,9.01 10/20/11 PERMIAN BASIN ROYALTY TRUST TX 2.02,7.01,9.01 10/21/11 PINNACLE ENTERTAINMENT INC. DE 5.02 10/17/11 PPG INDUSTRIES INC PA 8.01,9.01 10/21/11 PREMIER EXHIBITIONS, INC. FL 1.01,1.02,3.02,9.01 10/18/11 PRESSURE BIOSCIENCES INC MA 1.01,9.01 10/21/11 PROSPERITY BANCSHARES INC TX 2.02,9.01 10/21/11 PROTEONOMIX, INC. DE 8.01 10/21/11 PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.02,7.01,9.01 10/19/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,3.02,9.01 10/17/11 QUIDEL CORP /DE/ DE 5.02,9.01 10/18/11 RAMTRON INTERNATIONAL CORP DE 8.01,9.01 10/20/11 RED MOUNTAIN RESOURCES, INC. FL 1.01,5.02 10/20/11 REGIONS FINANCIAL CORP DE 5.02,9.01 10/19/11 RENASANT CORP MS 5.02,5.03,9.01 10/18/11 Revolutions Medical CORP NV 4.02 10/14/11 Rhino Resource Partners LP DE 7.01,9.01 10/21/11 Riverview Financial Corp PA 2.02,9.01 10/20/11 Riverview Financial Corp PA 5.02,9.01 10/20/11 RLI CORP IL 7.01,9.01 10/19/11 RTI INTERNATIONAL METALS INC OH 1.01,9.01 10/17/11 Santander Holdings USA, Inc. PA 1.01 10/20/11 SAVE THE WORLD AIR INC NV 3.02,9.01 10/15/11 SBT Bancorp, Inc. CT 5.02 10/18/11 SCHLUMBERGER LTD /NV/ P8 2.02,7.01,9.01 10/21/11 Seagate Technology plc L2 2.02,8.01,9.01 10/20/11 SENSIENT TECHNOLOGIES CORP WI 2.02,9.01 10/20/11 SIERRA RESOURCE GROUP INC NV 1.01 10/12/11 SignPath Pharma, Inc. DE 5.03,9.01 10/20/11 Sino Agro Food, Inc. NV 7.01,9.01 10/21/11 SITESEARCH CORP 5.02 10/20/11 SMITH A O CORP DE 2.02,9.01 10/21/11 SOUTH HERTFORDSHIRE UNITED KINGDOM FU CO 5.02 09/16/11 ST JOE CO FL 5.02 10/17/11 STAG Industrial, Inc. 1.01,2.03,9.01 10/17/11 Standard Financial Corp. MD 2.02,8.01,9.01 10/20/11 STANDARD PARKING CORP DE 8.01 10/20/11 Station Casinos LLC NV 9.01 06/17/11 AMEND STERLING BANCORP NY 2.02,7.01,9.01 10/20/11 Sucampo Pharmaceuticals, Inc. 7.01,9.01 10/21/11 SUNTRUST BANKS INC GA 2.02,7.01,9.01 10/21/11 SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 10/20/11 SYNAPTICS INC DE 5.07 10/18/11 TAIWAN FUND INC DE 7.01,9.01 09/30/11 Talon Therapeutics, Inc. 5.02 10/17/11 Tanke Biosciences Corp NV 4.02 10/13/11 Tanke Biosciences Corp NV 9.01 02/09/11 AMEND Targa Resources Partners LP DE 1.01,9.01 10/21/11 Targa Resources Partners LP DE 2.02,9.01 10/19/11 AMEND Targeted Medical Pharma, Inc. 1.01,5.02 10/17/11 TCF FINANCIAL CORP DE 5.02,9.01 10/17/11 TeleNav, Inc. DE 5.02,9.01 10/17/11 TELESTONE TECHNOLOGIES CORP CO 7.01,9.01 10/18/11 AMEND TESORO LOGISTICS LP DE 7.01,9.01 10/20/11 THERMADYNE HOLDINGS CORP /DE DE 5.02,9.01 10/17/11 Thwapr, Inc. NV 7.01 10/21/11 TRAILER BRIDGE INC 5.02 10/21/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 10/21/11 TRAVELZOO INC DE 2.02,9.01 10/20/11 TRUSTCO BANK CORP N Y NY 2.02,9.01 10/21/11 TSIC, Inc. DE 7.01,9.01 10/20/11 U S GOLD CORP CO 7.01,9.01 10/21/11 U S GOLD CORP CO 5.07 10/18/11 AMEND United Financial Bancorp, Inc. 2.02,9.01 10/21/11 UNITED ONLINE INC DE 5.02 10/17/11 UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 10/20/11 V F CORP PA 5.02 10/21/11 VALUE LINE INC NY 5.02,8.01,9.01 10/20/11 VERIZON COMMUNICATIONS INC DE 2.02,9.01 10/21/11 VIAD CORP DE 2.02,9.01 10/21/11 Vuzix Corp DE 8.01,9.01 10/21/11 WARWICK VALLEY TELEPHONE CO NY 9.01 08/05/11 AMEND WCA WASTE CORP DE 9.01 03/03/11 AMEND WILLIS GROUP HOLDINGS PLC L2 5.02,9.01 10/20/11 WMS INDUSTRIES INC /DE/ DE 1.01,2.03,9.01 10/18/11 WNC CALIFORNIA HOUSING TAX CREDITS II CA 2.02,9.01 10/21/11 WSB Holdings Inc DE 2.02,9.01