Securities and Exchange Commission Suspends Trading in the Securities of Five 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. EST on November 18, 2011 and terminating at 11:59 p.m. EST on December 2, 2011.
The Commission temporarily suspended trading in the securities of these five 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. 34-65784)
SEC Charges Perpetrator of Washington-Area Ponzi Scheme
The Securities and Exchange Commission today charged a Bethesda, Md. man and several family members and friends with conducting a multi-million dollar Ponzi scheme targeting investors in the Washington D.C. metropolitan area.
The SEC alleges that Garfield M. Taylor lured primarily middle-class residents in his community with little to no investing experience to invest in promissory notes issued by his two companies that engaged in purportedly low-risk options trading. Taylor urged investors to refinance their homes and use any available means to invest, including their personal savings and retirement funds. He promised returns as high as 20 percent per year and falsely assured investors that their investments would be protected by a “reserve account” or that he would employ a “covered call” trading strategy that would not touch the principal amount of their investment.
According to the SEC’s complaint filed in federal court in Washington D.C., Taylor and his companies instead engaged in very high-risk, speculative options trading and suffered massive losses. Taylor relied upon money from new investors to pay returns to earlier investors in typical Ponzi scheme fashion. He also siphoned off $5 million in investor funds to pay family and friends and for other personal uses, including $73,000 to the private school his children attended.
“Garfield Taylor and his partners in the scheme touted themselves as seasoned and trustworthy financial professionals offering a conservative but lucrative investment opportunity. In reality, they were gambling away investor assets in extremely risky trades and operating a classic Ponzi scheme,” said Stephen L. Cohen, Associate Director of the SEC’s Division of Enforcement.
The SEC alleges that the Ponzi scheme defrauded more than $27 million from approximately 130 investors from 2005 to 2010. The scheme ultimately collapsed in the fall of 2010 when the companies’ accounts were depleted by the trading losses and interest payments to investors.
The SEC’s complaint charged Taylor’s companies Garfield Taylor Inc. and Gibraltar Asset Management Group LLC – which were not registered with the SEC – as well as five collaborators in Taylor’s scheme:
According to the SEC’s complaint, Garfield Taylor and the others jointly prepared and finalized a Gibraltar PowerPoint presentation for prospective investors that was riddled with false and misleading statements. They misrepresented the nature of the company’s options trading strategy, the anticipated rate of return, the protections offered by its outside accountant, and the overall level of risk involved in an investment with Gibraltar. They pitched the PowerPoint presentation to potential institutional investors and charitable organizations, including a Washington D.C.-based children’s charity and a Baptist church in Maryland. Garfield Taylor went so far as to provide the Baptist church with a fake “letter of recommendation” from Charles Schwab as he pitched the investment opportunity.
The SEC alleges that in order to maintain a steady flow of new investor money, Garfield Taylor induced current investors and others including King and Mitchell to solicit and refer new investors to him in exchange for commission payments based on the amounts invested. Garfield Taylor, who was not a licensed securities broker, persuaded several individuals to give him online access to their personal brokerage accounts so he could place trades and give them a promised share of any profits generated.
The SEC’s complaint charges each of the Taylors, Dalley, King, Garfield Taylor Inc. and Gibraltar Asset Management Group with violating the anti-fraud provisions of federal securities laws. The SEC charged Garfield Taylor, King, and Mitchell with violating the broker-dealer registration requirements, and Garfield Taylor, Garfield Taylor Inc. and Gibraltar Asset Management Group with violating the offering registration requirements of the federal securities laws. The SEC seeks a judgment permanently enjoining the defendants from future violations of the relevant provisions of the federal securities laws and ordering them to pay penalties and disgorgement with prejudgment interest. The SEC also named three companies belonging to Randolph Taylor, Dalley, King, and Mitchell as relief defendants for the purposes of seeking disgorgement with prejudgment interest of investor funds in their possession.
The SEC’s investigation was conducted by Sarah Allgeier, Richard Johnston, Robert Dodge, and Donato Furlano. The SEC’s litigation will be led by Richard Hong. (Press Rel. 2011-246)
Change in the Meeting: Deletion of Item
The following item was not considered during the Closed Meeting on Thursday, November 17, 2011: adjudicatory matter.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
Commission Decision as to Glenn M. Barikmo Declared Final
The Commission has barred Glenn M. Barikmo, a former registered representative, from associating with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and NRSRO. Administrative proceedings were instituted based on the June 30, 2011 district court order permanently enjoining Barikmo, by default, from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from aiding and abetting any violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. SEC v. Mittasch, 8:10-cv-02859-JDW-MAP (M.D. CA June 30, 2011). The court found that from approximately April 2008 through April 2010, Barikmo, in connection with the purchase or sale of securities, knowingly, willfully, or recklessly, employed devices, schemes, or artifices to defraud; made material untrue statements and omissions; or engaged in acts, practices, and courses of business which operated as a fraud upon the purchasers of such securities.
The law judge found that Barikmo has offered no assurances against future violations; and, he has not acknowledged the wrongful nature of his conduct. The law judge further noted that a permanent bar will protect the investing public from future harm. (Rel. 34-65782; IA-3317; File No. 3-14474)
In the Matter of Dr. Joseph F. Skowron III, Respondent
On November 17, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Dr. Joseph F. Skowron III. The Order finds that Skowron was a managing director of Morgan Stanley and a co-portfolio manager of six healthcare related hedge funds. On November 16, 2011, 2011, a final judgment was entered by consent against Skowron, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged that Skowron ordered the sale of approximately six million shares of Human Genome Sciences Inc. (HGSI) prior to a negative public announcement, based on tips he received from Dr. Yves Benhamou, a medical researcher overseeing a clinical drug trial for HGSI. By selling in advance of the negative announcement, the hedge funds avoided losses of approximately $30 million. On August 15, 2011, Skowron pled guilty to one count of conspiracy to commit securities fraud and obstruct justice, which carries, among other things, a maximum sentence of five years’ imprisonment. [SEC v. Dr. Joseph F. “Chip” Skowron III, et al., Civil Action No. 10-CV-8266 (S.D.N.Y.) (LR-21928); United States v. Joseph F. Skowron III, Case No. 11-CR-699 (S.D.N.Y.)]
Based on the above, the Order bars Dr. Skowron from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-65783; IA-3318; File No. 3-14633)
Commission Orders Hearings on Registration Suspension or Revocation Against Five 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 five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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. 34-65785; File No. 3-14634)
RiverPark Advisors, LLC, et al.
An order has been issued on an application filed by RiverPark Advisors, LLC, et al. The order permits: (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-29863 - November 17)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ -2011-151) relating to routing fees to BATS Exchange, Inc. has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65768)
A proposed rule change filed by NASDAQ OMX BX, Inc. to simplify the $1 Strike Price Interval Program (SR-BX-2011-074) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65769)
A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX Rules to expand the Short Term Option Series Program (SR-BX-2011-075) 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 November 21. (Rel. 34-65773)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to expand the Weeklys Program (SR-CBOE-2011-108) 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 November 21. (Rel. 34-65774)
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-151) relating to the Professional Routing Fee to the BATS Exchange, Inc. 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 November 21. (Rel. 34-65777)
A proposed rule change (SR-Phlx-2011-152) filed by NASDAQ OMX PHLX LLC to perform a test of routing functionality has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65779)
A proposed rule change (SR-BX-2011-076) filed by NASDAQ OMX BX, Inc. to perform a test of routing functionality has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65780)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-101) to clarify that CBSX will process only round-lot orders of HOLDRS 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 November 21. (Rel. 34-65781)
Designation of Longer Period For Commission Action on Proposed Rules
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proposed rule changes (SR-BATS-2011-038; SR-BYX-2011-025; SR-BX-2011-068; SR-CBOE-2011-087; SR-C2-2011-024; SR-CHX-2011-30; SR-EDGA-2011-31; SR-EDGX-2011-30; SR-FINRA-2011-054; SR-ISE-2011-61; SR-NASDAQ-2011-131; SR-NSX-2011-11; SR-NYSE-2011-48; SR-NYSEAmex-2011-73; SR-NYSEArca-2011-68; SR-Phlx-2011-129) filed by BATS Exchange, Inc.; BATS Y-Exchange, Inc.; NASDAQ OMX BX, Inc.; Chicago Board Options Exchange, Incorporated; C2 Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; EDGA Exchange, Inc.; EDGX Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Amex LLC; NYSE Arca, Inc.; National Stock Exchange, Inc.; and NASDAX OMX PHLX LLC relating to trading halts due to extraordinary market volatility. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65770)
Approval of Proposed Rule Changes
The Commission granted approval of a proposed rule change (SR-ISE-2011-60) submitted by the International Securities Exchange, LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to expand the Short Term Option Series Program. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65771)
The Commission granted approval of a proposed rule change (SR-CBOE-2011-086) submitted by the Chicago Board Options Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to increase the number of series permitted per class in the Short Term Option Series Program. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65772)
The Commission approved a proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2011-138) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 expanding the Short Term Option Series Program. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65775)
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2011-80) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the Rockledge SectorSAM ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of November 21. (Rel. 34-65778)
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 PREMIERWEST BANCORP, 503 AIRPORT ROAD, PO BOX 40, MEDFORD, OR, 97501, 541-282-5391 - 500,000 ($502,500.00) Equity, (File 333-178026 - Nov. 17) (BR. 07C) S-8 SUNPOWER CORP, 77 RIO ROBLES, SAN JOSE, CA, 95134, 408-240-5500 - 2,500,000 ($20,350,000.00) Equity, (File 333-178027 - Nov. 17) (BR. 10C) S-8 COMVERSE TECHNOLOGY INC/NY/, 810 SEVENTH AVENUE, NEW YORK, NY, 10019, 212-739-1000 - 0 ($147,620,000.00) Equity, (File 333-178028 - Nov. 17) (BR. 11A) S-3 AMERICAN SPECTRUM REALTY INC, 5850 SAN FELIPE, SUITE 450, HOUSTON, TX, 77057, 713-706-6200 - 300,565 ($3,441,469.00) Equity, (File 333-178029 - Nov. 17) (BR. 08C) S-1 YELP! INC, 706 MISSION ST, 7TH FLOOR, SAN FRANCISCO, CA, 95103, 415-568-3249 - 0 ($100,000,000.00) Equity, (File 333-178030 - Nov. 17) (BR. ) S-8 Talon Therapeutics, Inc., 7000 SHORELINE COURT, SUITE 370, SOUTH SAN FRANCISCO, CA, 94080, 650-588-6404 - 150,000 ($78,000.00) Equity, (File 333-178031 - Nov. 17) (BR. 01A) S-8 NEWLINK GENETICS CORP, 2503 SOUTH LOOP DRIVE, SUITE 5100, AMES, IA, 50010, 515-296-5555 - 0 ($17,735,687.31) Equity, (File 333-178032 - Nov. 17) (BR. 01B) S-8 QUEST SOFTWARE INC, 5 POLARIS WAY, ALISO VIEJO, CA, 92656, 9497548000 - 0 ($433,852.54) Equity, (File 333-178033 - Nov. 17) (BR. 03C) S-3 SANTARUS INC, 3721 VALLEY CENTRE DRIVE, STE 400, SAN DIEGO, CA, 92130, 8583145700 - 0 ($75,000,000.01) Unallocated (Universal) Shelf, (File 333-178034 - Nov. 17) (BR. 01A) S-8 QIAGEN NV, SPOORSTRAAT 50, KJ VENLO, P7, 5911, 31-77-320-8400 - 0 ($127,080,000.00) Equity, (File 333-178035 - Nov. 17) (BR. 01B) S-8 InvenSense Inc, 1197 BORREGAS AVENUE, SUNNYVALE, CA, 94089, 650) 493-9300 - 20,685,382 ($127,596,953.75) Equity, (File 333-178036 - Nov. 17) (BR. 10B)
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 11/15/11 ACETO CORP NY 5.02,9.01 10/05/11 AMEND AGENUS INC DE 8.01,9.01 11/16/11 AGL RESOURCES INC GA 1.01,2.03,9.01 11/17/11 AIR METHODS CORP DE 3.01,9.01 11/11/11 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/17/11 ALLSTATE CORP DE 8.01 11/17/11 ALST Casino Holdco, LLC DE 1.02,9.01 11/14/11 ALTERRA CAPITAL HOLDINGS Ltd 7.01,9.01 11/17/11 AMCOL INTERNATIONAL CORP DE 5.03,9.01 11/16/11 AMERICAN EXPRESS RECEIVABLES FINANCIN DE 8.01,9.01 11/17/11 American Midstream Partners, LP DE 2.02,9.01 11/14/11 American Mining Corp NV 4.01,9.01 11/08/11 AMEND AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01 11/10/11 AMERICAN SPECTRUM REALTY INC MD 5.02 11/17/11 AMERIGROUP CORP 1.01,2.03,9.01 11/16/11 AMTECH SYSTEMS INC AZ 5.02 11/11/11 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 11/17/11 Aquilex Holdings LLC DE 1.01,2.03,3.03,9.01 11/15/11 ARCA biopharma, Inc. DE 8.01,9.01 11/16/11 ARETE INDUSTRIES INC CO 2.02,9.01 11/15/11 ARROWHEAD RESEARCH CORP DE 3.03,5.03,9.01 11/17/11 ARUBA NETWORKS, INC. DE 2.02,8.01,9.01 11/17/11 ASPEN INSURANCE HOLDINGS LTD D0 5.02,9.01 11/17/11 Atlantic Coast Financial CORP MD 3.01 11/11/11 AtriCure, Inc. DE 8.01,9.01 11/17/11 ATWOOD OCEANICS INC TX 2.02,9.01 11/17/11 Augme Technologies, Inc. DE 8.01,9.01 11/17/11 AUTONATION, INC. DE 7.01,9.01 11/17/11 AVANIR PHARMACEUTICALS, INC. DE 5.02,8.01 11/10/11 AVI BIOPHARMA INC OR 8.01 11/16/11 AVT, Inc. NV 4.01 09/30/11 BALDWIN TECHNOLOGY CO INC DE 5.02,5.07,8.01,9.01 11/10/11 BANCTRUST FINANCIAL GROUP INC AL 8.01 11/15/11 BANK OF AMERICA CORP /DE/ DE 3.02 11/10/11 BARNES GROUP INC DE 1.01,2.06 11/14/11 BAYLAKE CORP WI 5.03,9.01 11/17/11 BEHRINGER HARVARD REIT I INC MD 7.01,8.01,9.01 11/17/11 BIOLASE TECHNOLOGY INC DE 7.01,9.01 11/16/11 BioMed Realty Trust Inc MD 8.01,9.01 11/14/11 BISON INSTRUMENTS INC MN 4.01,9.01 11/17/11 BLUE COAT SYSTEMS INC DE 2.02,9.01 11/17/11 BON TON STORES INC PA 2.02,9.01 11/17/11 BOYD GAMING CORP NV 1.01,2.04 11/17/11 BROWN FORMAN CORP DE 5.02,7.01,9.01 11/16/11 BUCKLE INC NE 2.02,9.01 11/17/11 Business Development Corp of America MD 2.02,9.01 11/16/11 Business Development Corp of America MD 8.01,9.01 11/17/11 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 11/15/11 Calpian, Inc. TX 1.01 11/15/11 CAPITAL BANK CORP NC 9.01 09/07/11 AMEND CARRIZO OIL & GAS INC TX 1.01,2.03,9.01 11/14/11 CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 11/17/11 CBRE GROUP, INC. DE 1.01,2.03,9.01 11/10/11 CENTRAL GARDEN & PET CO DE 2.02,9.01 11/17/11 CENTURY ALUMINUM CO DE 5.02,8.01,9.01 11/15/11 CHARTER FINANCIAL CORP/GA 2.02,9.01 11/14/11 CHEMUNG FINANCIAL CORP NY 8.01,9.01 11/16/11 CHESAPEAKE ENERGY CORP OK 8.01,9.01 11/10/11 Cheviot Financial Corp. MD 1.01,8.01,9.01 11/10/11 CHILDRENS PLACE RETAIL STORES INC 2.02,9.01 11/17/11 China Bilingual Technology & Educatio NV 2.01,9.01 08/31/11 China Carbon Graphite Group, Inc. NV 2.02,9.01 11/15/11 CHINA CLEAN ENERGY INC DE 1.01,2.01,9.01 11/10/11 CHINA FUND INC MD 7.01,9.01 10/31/11 China Industrial Steel Inc. MD 9.01 06/28/11 AMEND China Intelligence Information System NV 4.01,4.02,8.01,9.01 11/10/11 CHROMCRAFT REVINGTON INC DE 2.02,9.01 11/15/11 CITY NATIONAL BANCSHARES CORP NJ 1.01,5.02,9.01 10/31/11 CME GROUP INC. DE 1.01,2.03,9.01 11/14/11 CNS RESPONSE, INC. DE 1.01,2.03,3.02 11/11/11 Cogito Media Group Inc. CO 1.01,3.02,5.02,9.01 10/28/11 COLOMBIA ENERGY RESOURCES, INC. DE 5.02,8.01,9.01 11/10/11 COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 11/15/11 Compressco Partners, L.P. DE 7.01,9.01 11/17/11 COMVERSE TECHNOLOGY INC/NY/ NY 5.02,5.07,9.01 11/16/11 Copano Energy, L.L.C. 7.01,9.01 11/17/11 CORECARE SYSTEMS INC DE 5.02,9.01 11/11/11 CORELOGIC, INC. DE 7.01 11/14/11 Cornerstone Financial Corp NJ 1.01,5.02 11/16/11 Crescent Financial Bancshares, Inc. DE 1.01,3.02,3.03,5.02, 11/14/11 8.01,9.01 Cyalume Technologies Holdings, Inc. DE 2.02,9.01 11/14/11 DAKTRONICS INC /SD/ SD 1.01,9.01 11/15/11 DEX ONE Corp DE 7.01,9.01 11/17/11 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 11/16/11 DILLARDS INC DE 2.02,9.01 11/16/11 DIRECTV DE 1.01,2.03,3.03 11/14/11 DIRECTV HOLDINGS LLC DE 1.01,3.03 11/14/11 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 11/17/11 Dolby Laboratories, Inc. DE 2.02,9.01 11/17/11 Dolby Laboratories, Inc. DE 5.02 11/17/11 DOLE FOOD CO INC DE 2.02,7.01,9.01 11/17/11 DOLLAR TREE INC VA 2.02,7.01,9.01 11/17/11 DONALDSON CO INC DE 2.02,9.01 11/17/11 Douglas Emmett Inc MD 5.02,9.01 11/17/11 Douglas Lake Minerals Inc. NV 8.01,9.01 11/15/11 Dr Pepper Snapple Group, Inc. DE 5.02,8.01,9.01 11/17/11 Duke Energy CORP DE 8.01,9.01 11/14/11 DYNAMIC VENTURES CORP. 2.02,9.01 11/16/11 DYNEGY INC. DE 5.03,5.05,9.01 11/16/11 Eagle Bulk Shipping Inc. 5.02,5.07,9.01 11/17/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 11/16/11 EastBridge Investment Group Corp AZ 1.01,9.01 04/12/11 AMEND EcoReady Corp FL 4.01,9.01 11/11/11 EMMAUS LIFE SCIENCES, INC. DE 1.01,2.01,2.02,5.01, 05/03/11 AMEND 5.02,5.03,5.06,9.01 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 11/17/11 EQUINIX INC DE 5.02,7.01,9.01 11/16/11 ESSEX PROPERTY TRUST INC MD 7.01,9.01 11/16/11 Essex Rental Corp. DE 1.01,2.01,9.01 11/14/11 Europa Acquisition VI, Inc. NV 1.01,5.01,5.02,9.01 11/08/11 EVERGREEN SOLAR INC DE 1.01,7.01,9.01 11/10/11 EXELON CORP PA 5.07,8.01,9.01 11/17/11 Federal Home Loan Bank of Atlanta X1 2.03 11/17/11 Federal Home Loan Bank of Boston X1 2.03 11/15/11 Federal Home Loan Bank of Chicago X1 5.02,5.07,7.01,9.01 11/16/11 Federal Home Loan Bank of Chicago X1 2.03 11/14/11 Federal Home Loan Bank of Cincinnati X1 5.02,5.07,9.01 11/17/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/15/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/17/11 Federal Home Loan Bank of New York X1 2.03,9.01 11/15/11 Federal Home Loan Bank of New York X1 5.02,5.07,8.01,9.01 11/17/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/14/11 Federal Home Loan Bank of San Francis X1 2.03 11/14/11 Federal Home Loan Bank of Seattle 5.02,9.01 11/10/11 Federal Home Loan Bank of Topeka 2.03,9.01 11/14/11 FiberTower CORP DE 7.01,9.01 11/16/11 FIDELITY BANCORP INC PA 5.02 11/14/11 First Clover Leaf Financial Corp. MD 4.01,6.03 11/14/11 FIRST MARBLEHEAD CORP 5.02,5.07,8.01,9.01 11/12/11 Florida Bank Group, Inc. FL 2.02,9.01 11/17/11 FOOT LOCKER INC NY 2.02,9.01 11/17/11 FOREVER VALUABLE COLLECTIBLES, INC. CO 4.01 11/17/11 AMEND Forex International Trading Corp. NV 5.02,9.01 11/15/11 FRANKLIN WIRELESS CORP NV 5.02 11/11/11 Frontier Beverage Company, Inc NV 5.02 11/15/11 GameStop Corp. DE 2.02,8.01,9.01 11/17/11 GAP INC DE 2.02,7.01,9.01 11/17/11 General Maritime Corp / MI 1.01,1.03,2.03,2.04, 11/16/11 3.01,7.01,9.01 GENWORTH FINANCIAL INC DE 2.02,9.01 11/17/11 Global Karaoke Network, Inc. DE 5.01 11/17/11 GOLDMAN SACHS GROUP INC DE 9.01 11/17/11 GREEN BANKSHARES, INC. TN 9.01 09/07/11 AMEND Green Carbon Technologies Corp. NV 5.02 11/17/11 GRIFFON CORP DE 2.02,9.01 11/17/11 GT Advanced Technologies Inc. DE 1.02 11/15/11 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 11/17/11 HAWAIIAN HOLDINGS INC DE 1.01,9.01 11/14/11 HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 11/17/11 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 11/17/11 HealthWarehouse.com, Inc. DE 2.02,9.01 11/17/11 HELMERICH & PAYNE INC DE 2.02,9.01 11/17/11 HERCULES OFFSHORE, INC. DE 7.01,9.01 11/17/11 HERITAGE FINANCIAL CORP /WA/ WA 8.01,9.01 11/16/11 HEWLETT PACKARD CO DE 5.02,5.03,9.01 11/17/11 Hines Global REIT, Inc. MD 7.01,9.01 11/17/11 HollyFrontier Corp DE 7.01,9.01 11/16/11 HollyFrontier Corp DE 7.01,9.01 11/17/11 HOME BANCSHARES INC 1.01,7.01,9.01 11/16/11 Horiyoshi Worldwide Inc. NV 5.02 11/17/11 IFLI Acquisition Corp. DE 1.01,5.02,9.01 11/11/11 iGambit, Inc. DE 2.02,9.01 11/17/11 Indigo International, Corp. NV 5.02 11/14/11 INFOSPACE INC DE 5.02,7.01,9.01 11/13/11 Inland American Real Estate Trust, In MD 7.01,9.01 11/17/11 INLAND REAL ESTATE CORP MD 8.01,9.01 11/17/11 INLAND REAL ESTATE CORP MD 8.01 11/15/11 AMEND INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 11/17/11 INTEGRATED DEVICE TECHNOLOGY INC DE 8.01 11/14/11 INTEGRYS ENERGY GROUP, INC. WI 5.02 11/11/11 INTER PARFUMS INC DE 2.02 11/16/11 INTUIT INC DE 2.02,8.01,9.01 11/17/11 INX Inc DE 2.02,7.01,9.01 11/17/11 J C PENNEY CO INC DE 5.02,9.01 11/11/11 JINZANGHUANG TIBET PHARMACEUTICALS, I DE 4.02 10/12/11 John Bean Technologies CORP DE 5.02 11/17/11 KBS Real Estate Investment Trust II, MD 8.01 11/17/11 KELLOGG CO DE 1.01,2.03,9.01 11/14/11 KELLY SERVICES INC DE 8.01,9.01 11/16/11 KEMET CORP DE 7.01,9.01 11/17/11 KEYCORP /NEW/ OH 5.02,9.01 11/17/11 KeyOn Communications Holdings Inc. DE 5.02 11/10/11 Kodiak Oil & Gas Corp B0 9.01 11/14/11 AMEND LANDAUER INC DE 1.01,1.02,2.01,2.03, 11/14/11 9.01 LANTRONIX INC DE 8.01 11/16/11 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,8.01,9.01 11/10/11 LHC Group, Inc 5.07 11/17/11 AMEND Limoneira CO DE 1.01,8.01,9.01 11/14/11 LSI INDUSTRIES INC OH 5.07 11/17/11 LUFKIN INDUSTRIES INC TX 8.01 11/14/11 LyondellBasell Industries N.V. P7 1.01,2.03,9.01 11/14/11 MAGNETEK, INC. DE 8.01,9.01 11/17/11 MAGNUM HUNTER RESOURCES CORP DE 5.02 11/14/11 MAINSOURCE FINANCIAL GROUP IN 5.02,9.01 11/14/11 Man AHL FuturesAccess LLC DE 3.02 11/14/11 MARKWEST ENERGY PARTNERS L P 7.01,9.01 11/17/11 MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 11/17/11 MASS Petroleum Inc. 3.02,3.03,9.01 11/10/11 MAXIM INTEGRATED PRODUCTS INC DE 5.07 11/16/11 mBeach Software, Inc. FL 1.01,9.01 11/03/11 MCG CAPITAL CORP DE 8.01 11/16/11 Medytox Solutions, Inc. NV 1.01,2.01,9.01 11/17/11 AMEND MENTOR GRAPHICS CORP OR 2.02 11/17/11 MF Global Holdings Ltd. DE 5.02 11/17/11 MICHAELS STORES INC DE 2.02,9.01 11/17/11 MICROSOFT CORP WA 5.07 11/15/11 ML Aspect FuturesAccess LLC DE 3.02 11/14/11 ML Systematic Momentum FuturesAccess DE 3.02 11/14/11 ML Winton FuturesAccess LLC DE 3.02 11/14/11 MONAR INTERNATIONAL INC. NV 5.02 11/14/11 MSC INDUSTRIAL DIRECT CO INC NY 5.02,9.01 11/11/11 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 2.02,9.01 11/17/11 National American University Holdings DE 7.01,9.01 11/17/11 NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 11/17/11 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 11/17/11 NBT BANCORP INC DE 1.01,9.01 11/16/11 NCO Group, Inc. DE 5.02 11/16/11 Neenah Paper Inc DE 1.01,8.01,9.01 11/16/11 Neonode, Inc DE 5.02,9.01 11/17/11 NEW JERSEY RESOURCES CORP NJ 1.01,9.01 11/17/11 New York & Company, Inc. 2.02,9.01 11/17/11 New York & Company, Inc. 5.02,9.01 11/16/11 NEWTEK BUSINESS SERVICES, INC. NY 8.01 11/15/11 NextMart Inc. DE 4.01,9.01 11/14/11 NISOURCE INC/DE DE 1.01,9.01 11/14/11 NISSAN AUTO RECEIVABLES CORP II DE 1.01,9.01 11/17/11 Noranda Aluminum Holding CORP DE 7.01,9.01 11/17/11 NORFOLK SOUTHERN CORP VA 1.01,2.03,9.01 11/14/11 NORTHROP GRUMMAN CORP /DE/ DE 5.02,9.01 11/16/11 NPC INTERNATIONAL INC KS 7.01,9.01 11/17/11 Nuance Communications, Inc. DE 5.02 11/11/11 NYTEX Energy Holdings, Inc. DE 5.02 11/14/11 OCEANEERING INTERNATIONAL INC DE 3.03,5.02,5.03,9.01 11/11/11 OM GROUP INC DE 5.02,9.01 11/14/11 ORAGENICS INC FL 5.02,9.01 11/14/11 Oxford Resource Partners LP DE 7.01,9.01 11/14/11 PARK CITY GROUP INC 7.01,8.01,9.01 11/17/11 PARK NATIONAL CORP /OH/ OH 1.01,7.01,8.01,9.01 11/16/11 PEABODY ENERGY CORP DE 1.01,2.01,2.03,9.01 11/15/11 PennantPark Floating Rate Capital Ltd 9.01 11/17/11 PEP BOYS MANNY MOE & JACK PA 5.02,9.01 11/16/11 PEPSICO INC NC 8.01,9.01 11/17/11 PERRY ELLIS INTERNATIONAL INC FL 2.02,9.01 11/17/11 PERVASIVE SOFTWARE INC DE 5.07 11/14/11 PICO HOLDINGS INC /NEW CA 2.02 09/30/11 PIEDMONT NATURAL GAS CO INC NC 7.01,9.01 10/20/11 Pioneer Southwest Energy Partners L.P DE 7.01 11/17/11 PIZZA INN HOLDINGS, INC /MO/ 8.01 11/17/11 PLUMAS BANCORP CA 5.02,9.01 11/16/11 POSITIVEID Corp DE 7.01,9.01 11/16/11 POTOMAC BANCSHARES INC WV 7.01,9.01 11/16/11 PPL Corp 5.02,9.01 11/14/11 PRESIDENTIAL LIFE CORP DE 5.02 11/16/11 PRINCETON REVIEW INC DE 3.01 11/11/11 ProUroCare Medical Inc. NV 1.01,9.01 11/15/11 PULSE ELECTRONICS CORP PA 5.02,9.01 11/15/11 QCR HOLDINGS INC DE 1.01,8.01,9.01 11/16/11 QEP RESOURCES, INC. DE 4.01,9.01 11/11/11 Rackwise, Inc. NV 1.01,1.02,3.02,5.01, 09/21/11 AMEND 5.02,5.03,5.06,9.01 RADIANT LOGISTICS, INC DE 1.01,2.01,8.01,9.01 11/15/11 Rand Logistics, Inc. DE 7.01,9.01 11/10/11 READING INTERNATIONAL INC NV 8.01,9.01 11/12/11 Regency Energy Partners LP DE 7.01,9.01 11/17/11 RLI CORP IL 8.01,9.01 11/17/11 Roadrunner Transportation Systems, In DE 9.01 08/31/11 AMEND ROOMLINX INC NV 5.02 11/09/11 ROSS STORES INC DE 2.02,9.01 11/17/11 S1 CORP /DE/ DE 5.02 11/09/11 AMEND SALESFORCE COM INC DE 2.02,9.01 11/17/11 SAN DIEGO GAS & ELECTRIC CO CA 8.01,9.01 11/14/11 SBT Bancorp, Inc. CT 8.01,9.01 11/16/11 SCHAWK INC 7.01 11/17/11 SCIENTIFIC INDUSTRIES INC DE 1.01,2.01,9.01 11/14/11 SCRIPPS E W CO /DE OH 5.02 11/14/11 SEARS HOLDINGS CORP DE 2.02,9.01 11/17/11 SemGroup Corp DE 8.01,9.01 10/24/11 SERACARE LIFE SCIENCES INC 2.02,9.01 11/17/11 SHOE CARNIVAL INC IN 2.02,9.01 11/17/11 SHORE BANCSHARES INC MD 1.01,9.01 11/16/11 ShoreTel Inc CA 5.07 11/15/11 SIGMATRON INTERNATIONAL INC DE 5.02,9.01 11/10/11 SILVER BULL RESOURCES, INC. NV 5.07 04/20/11 AMEND Sino Agro Food, Inc. NV 7.01,9.01 11/17/11 SKYWORKS SOLUTIONS, INC. DE 5.02 11/10/11 SL GREEN REALTY CORP MD 1.01,2.03,8.01,9.01 11/10/11 Smooth Global (China) Holdings, Inc. NV 2.01,4.01,5.02,9.01 06/30/11 SMUCKER J M CO OH 2.02,9.01 11/17/11 SONIC FOUNDRY INC MD 2.02,9.01 11/17/11 SOUTHERN MISSOURI BANCORP INC MO 1.01,8.01,9.01 11/16/11 SOUTHERN POWER CO 8.01,9.01 11/10/11 SP Bancorp, Inc. MD 8.01,9.01 11/17/11 Star Gold Corp. NV 5.03,9.01 11/14/11 STATE BANK FINANCIAL CORP GA 2.02,8.01,9.01 11/14/11 STRATEGIC AMERICAN OIL CORP NV 7.01,9.01 11/17/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/11 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 11/15/11 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 11/15/11 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 11/15/11 SUPERIOR ENERGY SERVICES INC DE 1.01,2.03,9.01 11/10/11 SUPERMEDIA INC. DE 7.01 11/17/11 SUPERTEL HOSPITALITY INC VA 1.01,3.02,9.01 11/16/11 SUPERTEL HOSPITALITY INC VA 1.01,9.01 11/16/11 AMEND SUSQUEHANNA BANCSHARES INC PA 5.07,8.01,9.01 11/16/11 TAIWAN FUND INC DE 7.01,9.01 10/31/11 TANGOE INC 2.02,9.01 11/08/11 TAYLOR DEVICES INC NY 5.02,5.07,8.01,9.01 11/11/11 TeleNav, Inc. DE 5.07 11/15/11 TELEPHONE & DATA SYSTEMS INC /DE/ DE 8.01,9.01 11/14/11 TELOS CORP MD 5.07 11/14/11 THERAVANCE INC DE 8.01,9.01 11/16/11 THOMAS PROPERTIES GROUP INC DE 2.01,9.01 11/14/11 TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 11/14/11 TIB FINANCIAL CORP. FL 9.01 09/07/11 AMEND TITAN PHARMACEUTICALS INC DE 1.01,9.01 11/14/11 Total Apparel Group , Inc. NV 4.01,9.01 11/17/11 TOWER BANCORP INC PA 8.01,9.01 11/16/11 TRAILER BRIDGE INC 3.01,9.01 11/16/11 TRANS1 INC 8.01 11/08/11 TransDigm Group INC DE 2.02,9.01 11/17/11 Tree.com, Inc. DE 2.02,9.01 11/11/11 TRI VALLEY CORP 1.01,2.03,9.01 11/10/11 TRIDENT MICROSYSTEMS INC DE 5.02 11/11/11 TYCO INTERNATIONAL LTD V8 5.02 11/16/11 UNION PACIFIC CORP UT 8.01,9.01 11/17/11 UNITED COMMUNICATIONS PARTNERS INC NV 3.02,5.01,5.02,9.01 11/11/11 UNITED THERAPEUTICS Corp DE 3.02,7.01 11/11/11 UniTek Global Services, Inc. DE 2.02,4.02 11/15/11 UNIVERSAL DETECTION TECHNOLOGY CA 8.01 11/16/11 UNIVERSAL ELECTRONICS INC DE 8.01,9.01 11/16/11 VALPEY FISHER CORP MD 1.01,5.02,9.01 11/16/11 VARIAN MEDICAL SYSTEMS INC DE 5.02 09/29/11 AMEND VARIAN SEMICONDUCTOR EQUIPMENT ASSOCI DE 2.01,3.01,3.03,5.01, 11/10/11 5.03,9.01 VECTREN CORP IN 1.01,9.01 11/15/11 VERINT SYSTEMS INC DE 5.02 11/16/11 VERSAR INC DE 5.07 11/16/11 VIASYSTEMS GROUP INC DE 8.01,9.01 11/16/11 VIKING SYSTEMS INC DE 5.03,9.01 11/10/11 Village Bank & Trust Financial Corp. 2.02,9.01 11/16/11 WASHINGTON TRUST BANCORP INC RI 5.07 04/26/11 AMEND WEBMEDIABRANDS INC. DE 1.01,2.03,8.01,9.01 11/14/11 WELLS FARGO & CO/MN DE 9.01 11/17/11 WESTMOUNTAIN ASSET MANAGEMENT INC CO 7.01,9.01 11/17/11 WILLIAM LYON HOMES DE 8.01 11/17/11 WILLIAMS SONOMA INC CA 2.02,9.01 11/17/11 WIRED ASSOCIATES SOLUTIONS INC NV 1.01,5.01,5.02 11/01/11 Wizard World, Inc. DE 1.01,2.01,3.02,5.01, 12/07/10 AMEND 5.02,5.03,5.06,9.01 Wright Express CORP 1.01,8.01,9.01 11/11/11 WUHAN GENERAL GROUP (CHINA), INC NV 3.01 11/15/11 ZOLL MEDICAL CORP MA 2.02,9.01 11/16/11 AMEND ZYGO CORP DE 5.07 11/16/11