Comment Period Extension - Proposed Prohibition Against Conflicts of Interest in Securitization
The Commission is extending from December 19, 2011 until January 13, 2012, the comment period for Release No. 34-65355, which proposed a new rule under Section 621 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. No. 111-203, to implement the prohibition under Section 621 regarding material conflicts of interest relating to certain securitizations.
For more information, please contact Elizabeth Sandoe, Anthony Kelly, or Barry O’Connell at (202) 551-5720. (Rel. 34-65942)
On December 13, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act, Making Findings, and Imposing Remedial Sanctions (Order) against Gary S. Bell (Bell) arising out of Bell’s violations of the locate and close out provisions of Regulation SHO (Reg. SHO).
The Order finds that Bell and his firm GAS I, LLC (GAS), both purported options market makers and each registered with the Commission as a broker-dealer, violated the locate and close-out requirements of Reg. SHO from December 2006 through April 2007 (as for Bell) and May and June 2007 (as for GAS). According to the order, Bell and GAS improperly claimed the market maker exception to avoid locating shares before effecting short sale transactions in Reg. SHO threshold securities, in violation of Rule 203(b)(1) of Reg. SHO. The Order also finds that Bell and GAS violated Rule 203(b)(3) of Reg. SHO by engaging in a series of sham reset transactions that employed paired stock and short-term option positions, which enabled Bell and GAS to circumvent their close out obligations in Reg. SHO threshold securities. In addition, according to the Order, Bell and GAS assisted other purported market makers in evading their close out obligations by acting as the counterparty to reset transactions and in doing so sold short shares of Reg. SHO threshold securities without borrowing, arranging to borrow, or locating the shares of these threshold securities, in violation of Rule 203(b)(1) of Reg. SHO. The Order further finds because Bell and GAS improperly failed to borrow or arrange to borrow securities to make delivery when delivery was due, the short sales were “naked” short sales that violated Reg. SHO.
The Order also finds that Bell, the principal trader, managing member and partial owner of GAS, willfully aided and abetted and caused GAS’s violations of Rules 203(b)(1) and 203(b)(3) of Reg. SHO.
Based on the above, the Order suspends Bell from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for a period of nine months, effective on the second Monday following the entry of the Order and orders Bell to cease-and-desist from committing or causing any violations and any future violations of Exchange Act Rules 203(b)(1) and 203(b)(3). The Order also requires Bell to pay disgorgement in the amount of $1,500,000, prejudgment interest of $336,094 and a civil money penalty in the amount of $250,000. Bell consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-65941; File No. 3-14660)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Nine 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 nine companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the nine 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. 34-65947; File No. 3-14661)
SEC Charges Seven Former Siemens Executives With Bribing Leaders in Argentina
The Securities and Exchange Commission filed a Civil Action on December 13, 2011, in the U.S. District Court for the Southern District of New York, charging seven former senior executives of Siemens AG (“Siemens”) and its regional company in Argentina with violations of the anti-bribery, books and records, and internal controls provisions of the Foreign Corrupt Practices Act in connection with a decade-long scheme to bribe senior government officials in Argentina, including two Presidents and Cabinet Ministers in two Presidential administrations. One of the executives was also a payment intermediary for Siemens. According to the SEC complaint, the seven individuals charged today, all foreign nationals, paid scores of millions of dollars in bribes for Siemens to obtain and retain a $1 billion contract to produce national identity cards for Argentine citizens.
The SEC alleges that over $100 million in bribes were paid in connection with Siemens’ efforts to secure the contract and obtain the profits from that contract. The defendants charged in the scheme are Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz. The most senior of these, Uriel Sharef, is a former Siemens Managing Board member. The SEC alleges that in furtherance of the scheme, the defendants falsified documents, including invoices and sham consulting contracts, participated in meetings in the United States to negotiate the terms of bribe payments, and made use of U.S. bank accounts to pay bribes. According to the SEC’s complaint, the bribery scheme lasted for more than a decade, from approximately 1996 until early 2007.
The SEC previously charged Siemens in December 2008 with FCPA violations in Argentina and numerous other countries around the world. Siemens paid over $1.6 billion to resolve the charges with the Commission, the U.S. Department of Justice, and the Office of the Prosecutor General in Munich, Germany.
The SEC’s complaint alleges that:
From approximately 1996 until early 2007, senior executives at Siemens and its regional company in Argentina, Siemens S.A. (“Siemens Argentina”), paid bribes to senior Argentine government officials – including two Presidents, and Cabinet Ministers in two Presidential administrations. The bribes were initially paid to secure a $1 billion government contract (the “DNI Contract”) to produce national identity cards, or Documentos Nacionales de Identidad, for every Argentine citizen. Later, after a change in Argentine political administrations resulted in the DNI Contract being suspended and then canceled, Siemens paid additional bribes in a failed effort to bring the DNI Contract back into force. Still later, after the company instituted an arbitration proceeding to recover its costs and expected profits from the canceled DNI Contract, Siemens paid additional bribes to suppress evidence that the DNI Contract had originally been obtained through corruption.
Over the course of the bribery scheme, over $100 million in bribes were paid, approximately $31.3 million of which were made after March 12, 2001, when Siemens became a U.S. issuer subject to U.S. securities laws. As a result of the bribe payments it made, Siemens received an arbitration award in 2007 against the government of Argentina of over $217 million plus interest for the DNI Contract. In August 2009, after settling bribery charges with the U.S. and Germany, Siemens waived the arbitration award.
During the relevant 2001 to 2007 time period, defendants Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel, and Bernd Regendantz each had a role in authorizing, negotiating, facilitating, or concealing bribe payments in connection with the DNI Contract. Siemens employed a group of consultants, designated the Project Group and led by defendant Sergi, to serve as payment intermediaries between the company and the Argentine government officials.
Each of the defendants violated Section 30A of the Securities Exchange Act of 1934 (the “Exchange Act”) by engaging in the bribery of government officials in Argentina. Each defendant also aided and abetted Siemens’ violations of Section 30A. The defendants also violated Exchange Act Section 13(b)(5) and Rule 13b2-1 thereunder by authorizing or directing others to falsify documents, including invoices and sham consulting contracts, in furtherance of the bribery scheme. Defendant Regendantz violated Rule 13b2-2 by signing false internal certifications pursuant to the Sarbanes Oxley Act (“SOX”). All defendants aided and abetted Siemens’ violations of Exchange Act Sections 13(b)(2)(A) and 13(b)(2)(B) by substantially assisting in Siemens’ failure to maintain internal controls to detect and prevent bribery of government officials in Argentina, and by substantially assisting in the improper recording of the bribe payments in Siemens’ accounting books and records. The SEC’s complaint seeks permanent injunctive relief, disgorgement and civil penalties from the defendants.
Without admitting or denying the SEC’s allegations, defendant Bernd Regendantz has consented to the entry of a final judgment that permanently enjoins him from future violations of Sections 30A and 13(b)(5) of the Exchange Act, and Rules 13b2-1 and 13b2-2 thereunder, and from aiding and abetting violations of Exchange Act Sections 30A, 13(b)(2)(A), and 13(b)(2)(B); and orders him to pay a civil penalty of $40,000, deemed satisfied by Regendantz’ payment of a €30,000 administrative fine ordered by the Public Prosecutor General in Munich, Germany.
The SEC appreciates the assistance of the U.S. Department of Justice’s Fraud Section, the U.S. Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Office of the Prosecutor General in Munich, Germany. [SEC v. Uriel Sharef, Ulrich Bock, Carlos Sergi, Stephan Signer, Herbert Steffen, Andres Truppel and Bernd Regendantz, Civil Action No. 11 civ 9073 (Judge Scheidlin/Pitman) (S.D.N.Y.)] (LR-22190; AAE Rel. 3342)
SEC Charges Three Individuals in Chicago-Area Offering Fraud
The Securities and Exchange Commission announced today that it filed a civil injunctive action alleging fraud in the unregistered offer and sale of securities by Defendants Marcin Malarz (“Malarz”), Jacek Sienkiewicz (“Sienkiewicz”), and Arthur Lin (“Lin”) (collectively, “Defendants”). The SEC’s complaint, filed in the U.S. District Court for the Northern District of Illinois, alleges that from at least September 2006 through at least January 2009, Malarz, Sienkiewicz, and Lin raised at least $14,380,000 from at least 43 investors through the fraudulent unregistered offer and sale of promissory notes issued by entities owned and controlled by Malarz and/or Sienkiewicz. Malarz Equity Investments, LLC (“Malarz Equity”) was the primary entity through which the scheme was perpetrated. Malarz and Lin’s wife, Relief Defendant Gloria Lin, were the members of Malarz Equity, and Lin was an officer of Malarz Equity. Malarz, with Sienkiewicz, also used four other entities, Invision Investment, LLC, Burton Grove Condominiums, LLC, Buffalo Creek Condominiums, LLC, and Willow Lake Condominiums, LLC, to carry out the scheme.
The complaint alleges that investors were told that their funds would be used to purchase apartment complexes and rehabilitate and convert the individual apartment units for sale as condominiums, and that their investments were safe because they were personally guaranteed by Malarz and, in some cases, Sienkiewicz. The complaint alleges that contrary to these representations, Malarz used substantial sums of the Malarz Equity investors’ funds for his personal benefit and to make ponzi-type “interest” and principal payments to previous investors. Further, Lin received at least $436,000 in undisclosed commission payments, which were transmitted to Relief Defendant Gloria Lin. The complaint further alleges that Malarz and Sienkiewicz provided several investors with personal financial statements that materially overstated their respective net worths. It also alleges that Malarz and Sienkiewicz granted some investors mortgages on properties that they either owned or were about to acquire, to purportedly secure the investments. Most of these investors were falsely told that their particular mortgage would have priority over all other debts, except for the mortgages that had previously been granted to banks in conjunction with the property’s purchase. At least two investors were told that their funds would be used as part of a down payment on a new apartment complex in Lombard, Illinois, but Malarz and Sienkiewicz never purchased that property.
The SEC’s complaint charges Malarz, Sienkiewicz, and Lin with violating Sections 5(a), 5(c), and 17(a)(2) of the Securities Act of 1933 (“Securities Act”) and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5(b) thereunder, and charges Lin only with violating Section 15(a) of the Exchange Act. The complaint seeks permanent injunctive relief, disgorgement, and civil penalties from all of the Defendants. The complaint also seeks disgorgement from Relief Defendant Gloria Lin.
The Commission acknowledges the assistance of the Illinois Securities Department in this matter. [SEC v. Marcin Malarz et al., Case No. 11-cv-8803 (N.D. Ill.)] (LR-22191)
SEC Announces Financial Fraud Settlement With Former U.S. Foodservice Executive Mark Kaiser
The U.S. Securities and Exchange Commission (Commission) announced today that on December 12, 2011, the U.S. District Court for the District of Maryland entered a final judgment against defendant Mark P. Kaiser in a Commission injunctive action, Securities and Exchange Commission v. Michael Resnick et al., Civil Action No. 1:05-cv-01254-CCB (D. Md.). Kaiser is the former Executive Vice President of Purchasing and Chief Marketing Officer of U.S. Foodservice, Inc. (USF). The Commission’s original complaint was filed on July 27, 2004 in the U.S. District Court for the Southern District of New York. The Commission’s second amended complaint was filed on February 16, 2005, and alleges that Kaiser and three other USF executives engaged in a scheme to overstate the operating income of USF, and therefore of its then-parent corporation, Royal Ahold (Koninklijke Ahold N.V.) (Ahold), by more than $700 million for Ahold’s fiscal years 2001 and 2002. The Commission also alleged that the executives induced numerous suppliers to submit false confirmations to the company's auditors in order to conceal their fraud. Kaiser’s three co-defendants settled previously.
Without admitting or denying the allegations in the second amended complaint, Kaiser consented to the entry of the final judgment permanently enjoining him from violations of the antifraud provisions and corporate books and records provisions of the Securities Exchange Act of 1934 (Exchange Act) and from aiding and abetting violations of the periodic reporting, corporate books and records, and internal controls provisions of the Exchange Act; prohibiting him from acting as an officer or director of a public company; and ordering him to pay $352,329 in disgorgement, but deeming payment satisfied by entry of a forfeiture order in the parallel federal criminal proceeding.
In that parallel proceeding, United States v. Mark P. Kaiser, (S1) 04 Cr. 733 (SDNY) (TPG), Kaiser was sentenced on December 7, 2011, in the U.S. District Court for the Southern District of New York to a term of incarceration of forty-six months and ordered to forfeit the amount of $352,329. [SEC v. Michael Resnick et al., Civil Action No. 1:05-cv-01254-CCB (D. Md.)] (LR-22192; AAE Rel. 3343)
Wells Fargo Bank, N.A., et al.
The Commission has issued a temporary order to Wells Fargo Bank, N.A., et al. (Wells Fargo Bank) under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction entered by the U.S. District Court for the District of New Jersey on December 9, 2011. The temporary order exempts applicants and companies of which Wells Fargo Bank is or becomes an affiliated person from the provisions of Section 9(a) of the Act until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until January 3, 2012, to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-29881 – December 9)
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change
The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to disapprove a proposed rule change, as modified by Amendment No. 2, filed by the Municipal Securities Rulemaking Board (SR-MSRB-2011-09) consisting of interpretive notice concerning the application of MSRB Rule G-17 to underwriters of municipal securities. Publication is expected in the Federal Register during the week of December 12. (Rel. 34-65918)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-94) amending the NYSE Amex Options Fee Schedule 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 December 12. (Rel. 34-65928)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to option fee disputes (SR-NASDAQ-2011-168) 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 December 12. (Rel. 34-65931)
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-96) amending the NYSE Amex Options Fee Schedule 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 December 12. (Rel. 34-65933)
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-162) relating to Rebates and Fees for Adding and Removing Liquidity in Select Symbols 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 December 12. (Rel. 34-65940)
Proposed Rule Change
NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-Phlx-2011-170) to request permanent approval of the pilot program to permit NASDAQ OMX PSX to receive inbound routes that Nasdaq Execution Services, LLC routes in its capacity as a facility of The NASDAQ Stock Market LLC. Publication is expected in the Federal Register during the week of December 12. (Rel. 34-65934)
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 NETWORK EQUIPMENT TECHNOLOGIES INC, 6900 PASEO PADRE PARKWAY, FREMONT, CA, 94555-3660, 5107137300 - 1,400,000 ($2,016,000.00) Equity, (File 333-178429 - Dec. 12) (BR. 03C) S-8 Tudou Holdings Ltd, Bldg No. 6, X2 Creative Park, 1238 Xietu Road, Xuhui District, Shanghai, F4, 200032, 0 ($61,853,797.00) ADRs/ADSs, (File 333-178430 - Dec. 12) (BR. 03C) S-8 PARAMOUNT GOLD & SILVER CORP., 665 ANDERSON STREET, WINNEMUCCA, NV, 89445, (775) 625-3600 - 4,000,000 ($10,520,000.00) Equity, (File 333-178431 - Dec. 12) (BR. 09A) S-4 MARTIN MARIETTA MATERIALS INC, 2710 WYCLIFF RD, RALEIGH, NC, 27607, 9197814550 - 0 ($4,536,121,283.00) Equity, (File 333-178432 - Dec. 12) (BR. 09A) S-8 Nuance Communications, Inc., 1 WAYSIDE ROAD, BURLINGTON, MA, 01803, 781-565-5000 - 0 ($198,000,000.00) Equity, (File 333-178436 - Dec. 12) (BR. 03C) S-8 Green Endeavors, Inc., 59 WEST 100 SOUTH, SECOND FLOOR, SALT LAKE CITY, UT, 84101, 801-575-8073 - 300,000,000 ($150,000.00) Equity, (File 333-178440 - Dec. 12) (BR. 11C) S-3ASR PLUM CREEK TIMBER CO INC, 999 THIRD AVENUE, SUITE 4300, SEATTLE, WA, 98104-4096, (206)467-3600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178443 - Dec. 12) (BR. 08C) F-3ASR FRANCE TELECOM /, 6 PLACE D ALLERAY, PARIS FRANCE CEDEX 15, I0, 75505, 0 ($0.00) Non-Convertible Debt, (File 333-178444 - Dec. 12) (BR. 11C) S-3 AUTHENTEC INC, 100 RIALTO ROAD, SUITE 100, MELBOURNE, FL, 32901, 321-308-1300 - 100,000,000 ($100,000,000.00) Equity, (File 333-178446 - Dec. 12) (BR. 10A) S-3ASR AMERIGROUP CORP, 4425 CORPORATION LANE, SUITE 100, VIRGINIA BEACH, VA, 23462, 7574906900 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178447 - Dec. 12) (BR. 01A) S-4 1st United Bancorp, Inc., ONE NORTH FEDERAL HIGHWAY, BOCA RATON, FL, 33432, (561) 362-3400 - 0 ($39,944,418.00) Equity, (File 333-178448 - Dec. 12) (BR. 07B) S-8 TALISMAN ENERGY INC, 888 3RD STREET SW SUITE 2000, CALGARY, ALBERTA CANADA, A0, T2P 5C5, 4032371234 - 2,400,000 ($38,615,224.27) Equity, (File 333-178449 - Dec. 12) (BR. 04A) S-8 TALISMAN ENERGY INC, 888 3RD STREET SW SUITE 2000, CALGARY, ALBERTA CANADA, A0, T2P 5C5, 4032371234 - 600,000 ($7,593,000.00) Equity, (File 333-178450 - Dec. 12) (BR. 04A) S-8 LEXMARK INTERNATIONAL INC /KY/, ONE LEXMARK CENTRE DR, LEXINGTON, KY, 40550, 8592322000 - 12,740,000 ($419,146,000.00) Equity, (File 333-178451 - Dec. 12) (BR. 03C) S-8 PEREGRINE PHARMACEUTICALS INC, 14282 FRANKLIN AVE, TUSTIN, CA, 92780, 7145086000 - 3,500,000 ($4,200,000.00) Equity, (File 333-178452 - Dec. 12) (BR. 01B) S-3ASR DEVON ENERGY CORP/DE, 20 N BROADWAY, STE 1500, OKLAHOMA CITY, OK, 73102, 4052353611 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178453 - Dec. 12) (BR. 04B) S-4 ATLAS PIPELINE PARTNERS LP, 110 W. 7TH, SUITE 2300, TULSA, OK, 74119, 918-574-3549 - 0 ($150,000,000.00) Debt Convertible into Equity, (File 333-178454 - Dec. 12) (BR. 02A) S-1 FXCM Inc., 32 OLD SLIP, NEW YORK, NY, 10005, 6464322241 - 57,981,000 ($578,070,570.00) Equity, (File 333-178455 - Dec. 12) (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 AAA CAPITAL ENERGY FUND L.P. 5.02 12/06/11 AAA CAPITAL ENERGY FUND L.P. II NY 5.02 12/06/11 Abingdon Futures Fund LP NY 5.02 12/06/11 ACCO BRANDS CORP DE 5.02,9.01 12/07/11 ACETO CORP NY 5.07 12/08/11 ACTUATE CORP DE 5.07 05/25/11 AMEND ACXIOM CORP DE 5.02 12/09/11 ADCARE HEALTH SYSTEMS INC OH 3.02,5.02 12/12/11 ADOLOR CORP 3.01,3.02,3.03,5.01, 12/07/11 5.02,5.03,9.01 ADTRAN INC DE 7.01,9.01 12/12/11 ADVANCED CELL TECHNOLOGY, INC. DE 5.02 10/04/11 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,3.02,8.01,9.01 12/07/11 AGENT155 MEDIA CORP. NV 3.02 10/25/11 AGENUS INC DE 5.02 12/08/11 Aircastle LTD D0 7.01,8.01,9.01 12/09/11 ALBANY INTERNATIONAL CORP /DE/ DE 2.05,9.01 12/09/11 ALERE INC. DE 1.01,2.03,9.01 12/07/11 ALLEGHENY TECHNOLOGIES INC DE 5.02,8.01 12/08/11 ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 12/09/11 ALTAIR NANOTECHNOLOGIES INC Z4 5.02 12/06/11 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 12/12/11 AMERICAN SPECTRUM REALTY INC MD 8.01,9.01 12/11/11 AQUA AMERICA INC PA 5.02 12/06/11 ARC WIRELESS SOLUTIONS INC UT 5.07 12/08/11 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 12/11/11 ARKANSAS BEST CORP /DE/ DE 1.01,9.01 12/07/11 ARRAY BIOPHARMA INC DE 8.01,9.01 12/11/11 ARRAY BIOPHARMA INC DE 8.01,9.01 12/11/11 ARROW ELECTRONICS INC NY 1.01,9.01 12/07/11 Artio Global Investors Inc. DE 7.01,9.01 12/12/11 As Seen On TV, Inc. FL 1.01,9.01 12/06/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/12/11 AUTOLIV INC DE 5.02,9.01 12/12/11 AVANIR PHARMACEUTICALS, INC. DE 2.02,9.01 12/12/11 AXIS CAPITAL HOLDINGS LTD 5.02,9.01 12/08/11 BALLY TECHNOLOGIES, INC. NV 5.02,9.01 12/06/11 BALLY TECHNOLOGIES, INC. NV 5.07 12/07/11 BANK OF AMERICA CORP /DE/ DE 5.02 12/08/11 BARNWELL INDUSTRIES INC DE 2.02,9.01 12/12/11 BENIHANA INC DE 7.01,9.01 12/12/11 BIGLARI HOLDINGS INC. IN 7.01 12/10/11 BIOTIME INC CA 8.01,9.01 12/12/11 BLOUNT INTERNATIONAL INC DE 5.02 12/07/11 BLUESKY SYSTEMS CORP 3.02,5.02,9.01 12/06/11 BofI Holding, Inc. DE 1.01,7.01,9.01 12/07/11 Booz Allen Hamilton Holding Corp DE 8.01,9.01 12/12/11 BRINKER INTERNATIONAL INC DE 8.01,9.01 12/12/11 BRISTOL ENERGY FUND LP NY 5.02 12/06/11 Bristol Rhace Natural Resource Corp DE 3.02,5.01,5.02,5.03 11/30/11 BROADVIEW NETWORKS HOLDINGS INC DE 1.01,9.01 12/08/11 BRT REALTY TRUST MA 2.02,9.01 12/12/11 Burger King Holdings Inc DE 5.02 12/08/11 CACI INTERNATIONAL INC /DE/ DE 5.02 12/12/11 Capital Financial Holdings, Inc ND 4.01,9.01 12/09/11 Cardiovascular Systems Inc DE 5.02 12/08/11 CC Media Holdings Inc 1.01 12/06/11 CHENIERE ENERGY INC DE 1.01,8.01,9.01 12/11/11 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 12/11/11 CHEVRON CORP DE 5.02 12/06/11 China Green Agriculture, Inc. NV 5.07 12/09/11 CHINACAST EDUCATION CORP DE 8.01,9.01 12/09/11 CHINACAST EDUCATION CORP DE 2.02,9.01 11/09/11 CLAIBORNE LIZ INC DE 8.01 12/12/11 CLEAR CHANNEL COMMUNICATIONS INC TX 1.01 12/06/11 Clear Channel Outdoor Holdings, Inc. DE 1.01 12/06/11 CMS ENERGY CORP MI 7.01,9.01 12/12/11 CNB CORP /SC/ SC 2.02,9.01 12/08/11 COHU INC DE 5.02,9.01 12/08/11 Colfax CORP DE 8.01 12/09/11 CORCEPT THERAPEUTICS INC DE 8.01 12/06/11 CoroWare, Inc, DE 4.01 11/09/11 AMEND Corporate Property Associates 17 - Gl MD 9.01 09/28/11 AMEND COVANCE INC DE 1.01 12/06/11 COWEN GROUP, INC. DE 5.02,9.01 12/08/11 CRACKER BARREL OLD COUNTRY STORE, INC TN 1.01,3.03,9.01 12/11/11 CRAWFORD & CO GA 1.01,2.03,9.01 12/08/11 Crescent Financial Bancshares, Inc. 5.02 12/06/11 CRYO CELL INTERNATIONAL INC DE 8.01 12/12/11 CTM MEDIA HOLDINGS, INC. DE 5.07 12/09/11 CUBIST PHARMACEUTICALS INC DE 1.01,2.01,8.01,9.01 12/06/11 CYBERDEFENDER CORP CA 1.01,9.01 12/06/11 DEBT RESOLVE INC DE 5.02 12/05/11 DEVRY INC DE 8.01,9.01 12/12/11 DEWEY ELECTRONICS CORP NY 5.07 12/08/11 Diamond Foods Inc DE 3.01,8.01,9.01 12/07/11 DITECH NETWORKS INC DE 2.02,9.01 12/12/11 DIVERSIFIED 2000 FUTURES FUND L.P. 5.02 12/06/11 DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 5.02 12/06/11 DIVERSIFIED MULTI-ADVISOR FUTURES FUN NY 5.02 12/06/11 DOLLAR GENERAL CORP TN 1.01,8.01,9.01 12/06/11 DPL INC OH 4.01,9.01 11/28/11 AMEND DRI CORP NC 3.01,7.01,9.01 12/08/11 DRIL-QUIP INC DE 8.01,9.01 12/08/11 DRIL-QUIP INC DE 5.02,9.01 10/20/11 AMEND Duff & Phelps Corp DE 3.02,9.01 12/09/11 DynaVox Inc. 5.07 12/07/11 EBAY INC DE 8.01 12/09/11 ECO VENTURES GROUP, INC. NV 7.01 12/12/11 EDGEWATER TECHNOLOGY INC/DE/ DE 8.01,9.01 12/09/11 EDISON INTERNATIONAL CA 5.02,9.01 12/12/11 eLayaway, Inc. DE 5.02 12/09/11 ELECSYS CORP KS 2.02,9.01 12/12/11 EMERGING CTA PORTFOLIO LP NY 5.02 12/06/11 EMPIRE ENERGY CORP UT 8.01 12/12/11 EMPIRE GLOBAL CORP. DE 1.01,7.01,9.01 12/09/11 ENERGY CONVERSION DEVICES INC DE 5.02 12/06/11 Energy Telecom, Inc. FL 7.01,9.01 12/09/11 EURO SOLAR PARKS, INC. 1.01,9.01 12/12/11 Expedia, Inc. 5.07 12/06/11 EXTERRAN HOLDINGS INC. DE 5.02,9.01 12/06/11 EXTERRAN PARTNERS, L.P. DE 5.02,9.01 12/07/11 FAIRFIELD FUTURES FUND LP II NY 5.02 12/06/11 FIRST NIAGARA FINANCIAL GROUP INC DE 1.01,9.01 12/12/11 FLAGSTAR BANCORP INC MI 8.01,9.01 12/09/11 FNB United Corp. NC 8.01 11/30/11 Forex International Trading Corp. NV 1.01,2.01,2.03,9.01 12/07/11 FREQUENCY ELECTRONICS INC DE 2.02,9.01 12/12/11 GAMETECH INTERNATIONAL INC DE 5.03,9.01 12/07/11 Genie Energy Ltd. DE 7.01,9.01 12/12/11 GeoEye, Inc. DE 1.01,3.03,9.01 12/09/11 GLOBAL DIVERSIFIED FUTURES FUND L.P. 5.02 12/06/11 GLU MOBILE INC DE 5.02,9.01 12/08/11 GRAN TIERRA ENERGY, INC. NV 5.02 12/09/11 GRAND RIVER COMMERCE INC MI 5.02 12/07/11 GRAPHON CORP/DE DE 7.01,9.01 12/12/11 GREEN DOT CORP DE 1.01,1.02,2.03 12/06/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,8.01,9.01 12/09/11 GTSI CORP DE 5.02,9.01 12/08/11 HALOZYME THERAPEUTICS INC DE 5.03,9.01 12/08/11 HEMISPHERX BIOPHARMA INC DE 1.01,5.02,8.01,9.01 12/02/11 HERSHEY CO DE 5.02 12/06/11 HEWLETT PACKARD CO DE 8.01,9.01 12/06/11 Hoku Corp DE 5.07 12/09/11 Hondo Minerals Corp 5.02 12/12/11 IDACORP INC ID 8.01 12/12/11 IDT CORP DE 2.02,9.01 12/12/11 IGATE CORP PA 8.01,9.01 12/09/11 iMetrik M2M Solutions Inc. NV 5.06 12/12/11 INDUSTRIAL SERVICES OF AMERICA INC /F FL 1.01,2.03,9.01 12/06/11 Inland American Real Estate Trust, In MD 7.01,9.01 12/12/11 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 1.01,3.02,9.01 12/06/11 INTEL CORP DE 7.01,9.01 12/12/11 INTELLIGENT COMMUNICATION ENTERPRISE PA 1.01,2.01,3.02,9.01 11/28/11 INTERVEST BANCSHARES CORP DE 5.02 12/08/11 INTEST CORP DE 1.01,8.01,9.01 12/09/11 INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 12/12/11 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 12/12/11 JAZZ PHARMACEUTICALS INC DE 5.02,5.07,8.01 12/12/11 JOE'S JEANS INC. DE 3.01,5.02,9.01 12/06/11 KEATING CAPITAL INC 8.01,9.01 12/12/11 Kohlberg Capital CORP DE 8.01,9.01 12/12/11 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 12/06/11 Leaplab Corp NV 5.02,5.03,9.01 12/12/11 LEE ENTERPRISES, INC DE 1.03,2.04,7.01 12/12/11 LEVIATHAN MINERALS GROUP INC. DE 9.01 12/12/11 AMEND LILLY ELI & CO IN 5.02 12/12/11 LINN ENERGY, LLC DE 8.01,9.01 12/12/11 LRI HOLDINGS, INC. 2.02,9.01 12/12/11 LTX-CREDENCE CORP MA 1.01,5.02,5.07,9.01 12/07/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,7.01,9.01 12/06/11 Marine Drive Mobile Corp. NV 5.02,8.01,9.01 12/07/11 MARKWEST ENERGY PARTNERS L P 7.01,8.01,9.01 12/12/11 MARTHA STEWART LIVING OMNIMEDIA INC DE 1.01,3.02,3.03,5.03, 12/06/11 8.01,9.01 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 12/06/11 MARTIN MARIETTA MATERIALS INC NC 8.01,9.01 12/12/11 MCDONALDS CORP DE 7.01,9.01 12/08/11 MCGRAW-HILL COMPANIES INC NY 5.02 12/12/11 MEDICINES CO /DE DE 5.02 12/06/11 Medytox Solutions, Inc. NV 1.01,2.03 12/12/11 MELA SCIENCES, INC. /NY 5.02 12/08/11 Memorial Production Partners LP DE 1.01,7.01,9.01 12/08/11 MGP INGREDIENTS INC KS 5.02,9.01 12/08/11 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 12/12/11 Midway Gold Corp A1 7.01,9.01 12/08/11 MILLER ENERGY RESOURCES, INC. 2.02,7.01,9.01 12/12/11 MINN DAK FARMERS COOPERATIVE ND 5.03,5.07,9.01 12/06/11 ModusLink Global Solutions Inc DE 8.01,9.01 12/12/11 MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 12/12/11 MORGAN STANLEY SMITH BARNEY CHARTER A DE 5.02 12/06/11 MORGAN STANLEY SMITH BARNEY CHARTER C DE 5.02 12/06/11 MORGAN STANLEY SMITH BARNEY CHARTER W DE 5.02 12/06/11 MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 12/06/11 MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 12/06/11 MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 12/06/11 MORGAN STANLEY SMITH BARNEY SPECTRUM NY 5.02 12/06/11 MORGAN STANLEY SMITH BARNEY SPECTRUM DE 5.02 12/06/11 Morningstar, Inc. IL 8.01,9.01 12/09/11 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 12/08/11 Nationstar Mortgage LLC DE 1.01 12/08/11 NCI BUILDING SYSTEMS INC DE 1.01,9.01 12/12/11 NETWORKING PARTNERS INC NV 5.02,9.01 10/13/11 NETWORKING PARTNERS INC NV 5.02,9.01 10/13/11 AMEND Nevada Property 1 LLC DE 5.02 12/06/11 NEW FRONTIER MEDIA INC CO 5.02,8.01,9.01 12/07/11 NORDSON CORP OH 1.01,2.03,9.01 12/09/11 North Horizon, Inc. NV 1.01,2.01,5.01,5.02, 12/12/11 5.03,5.06,9.01 NUVASIVE INC DE 8.01 12/08/11 Orbitz Worldwide, Inc. DE 5.02,9.01 12/06/11 ORCHID CELLMARK INC 5.01,5.02 12/09/11 ORION FUTURES FUND LP NY 5.02 12/06/11 OXIGENE INC DE 8.01,9.01 12/12/11 P&F INDUSTRIES INC DE 5.02 12/06/11 PACIFIC CONTINENTAL CORP OR 7.01,9.01 12/12/11 Pacific Ethanol, Inc. DE 1.01,3.02,9.01 12/08/11 AMEND PACKAGING CORP OF AMERICA 7.01,9.01 12/07/11 PARK BANCORP INC DE 3.01,9.01 12/09/11 PARK CITY GROUP INC 8.01,9.01 12/12/11 PATTERSON COMPANIES, INC. MN 1.01,2.03,9.01 12/08/11 PDL BIOPHARMA, INC. DE 5.02,9.01 12/09/11 PDL BIOPHARMA, INC. DE 8.01,9.01 12/12/11 AMEND PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 12/12/11 PHH CORP MD 1.01,2.03,3.03,9.01 12/12/11 PHOTONIC PRODUCTS GROUP INC NJ 5.02 12/08/11 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 12/09/11 Pioneer Southwest Energy Partners L.P DE 7.01 12/12/11 PLAYERS NETWORK NV 1.01 12/06/11 POPE RESOURCES LTD PARTNERSHIP DE 7.01 12/12/11 POTOMAC FUTURES FUND LP NY 5.02 12/06/11 Power REIT MD 8.01 12/12/11 QC Holdings, Inc. KS 5.02,9.01 12/06/11 Quanex Building Products CORP DE 2.02,9.01 12/12/11 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 12/12/11 RAMTRON INTERNATIONAL CORP DE 5.02,8.01,9.01 12/06/11 ReachLocal Inc DE 5.02,5.05 12/07/11 Recon Technology, Ltd E9 4.01,9.01 12/08/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 12/12/11 Rosetta Resources Inc. DE 2.02,9.01 12/11/11 Rosetta Resources Inc. DE 7.01,9.01 12/11/11 SAFEWAY INC DE 5.02,9.01 12/06/11 Santander Holdings USA, Inc. PA 7.01,9.01 12/12/11 Santander Holdings USA, Inc. PA 7.01,9.01 12/12/11 Seagate Technology plc L2 8.01 12/08/11 Sensata Technologies Holding N.V. P7 8.01,9.01 12/12/11 Shire plc 8.01,9.01 12/12/11 SIGA TECHNOLOGIES INC DE 8.01,9.01 12/06/11 SIGMATRON INTERNATIONAL INC DE 2.02,9.01 12/12/11 Snap Interactive, Inc DE 8.01 12/12/11 SOUTHERN CALIFORNIA EDISON CO CA 5.02,9.01 12/12/11 SOUTHERN UNION CO DE 5.07 12/12/11 SPARTECH CORP DE 1.01,2.02,9.01 12/06/11 SPECTRUM PHARMACEUTICALS INC DE 8.01,9.01 12/10/11 STONEMOR PARTNERS LP DE 3.01,9.01 12/09/11 STUDIO II BRANDS INC FL 1.01,2.01,3.02,4.02, 02/10/11 AMEND 5.02,9.01 SUN HEALTHCARE GROUP INC DE 7.01,9.01 12/12/11 SunSi Energies Inc. NV 5.03 12/08/11 SUPERIOR ENERGY SERVICES INC DE 1.01,2.03,9.01 12/06/11 SUPERTEL HOSPITALITY INC VA 1.01,2.03,9.01 12/09/11 SYNERGETICS USA INC 2.02,9.01 12/12/11 Synutra International, Inc. DE 7.01,9.01 12/12/11 T3 Motion, Inc. DE 7.01,9.01 12/08/11 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 5.02 12/06/11 TANGER FACTORY OUTLET CENTERS INC NC 7.01,9.01 12/12/11 Tao Minerals Ltd. NV 5.03,7.01,9.01 12/07/11 Territorial Bancorp Inc. MD 8.01,9.01 12/09/11 TEXAS INSTRUMENTS INC DE 2.02,9.01 12/08/11 TIDEWATER FUTURES FUND LP NY 5.02 12/06/11 TN-K ENERGY GROUP INC. DE 1.01,2.01,9.01 12/06/11 TOP GEAR INC DE 1.01,4.01,5.02 11/08/11 AMEND TransDigm Group INC DE 1.01,2.03,9.01 12/09/11 TURBOSONIC TECHNOLOGIES INC DE 5.02,5.07 12/12/11 U.S. Auto Parts Network, Inc. DE 5.02,9.01 12/07/11 ULURU INC. NV 3.01,8.01,9.01 12/09/11 UNITED STATES STEEL CORP DE 1.01,2.03,9.01 12/07/11 UNITED STATIONERS INC DE 5.02,9.01 12/07/11 UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.01,2.03,9.01 12/07/11 UTILITIES HOLDERS SM TRUST NY 8.01,9.01 12/12/11 V F CORP PA 1.01,1.02,2.03,9.01 12/08/11 Valeant Pharmaceuticals International A6 2.01,8.01,9.01 12/12/11 Viacom Inc. DE 8.01,9.01 12/07/11 VISTEON CORP DE 8.01,9.01 11/30/11 VLOV INC. NV 5.03,8.01,9.01 12/09/11 Vulcan Materials CO NJ 8.01 12/06/11 Vulcan Materials CO NJ 7.01,9.01 12/12/11 WABCO Holdings Inc. DE 5.02 12/06/11 WARRINGTON FUND LP NY 5.02 12/06/11 WEB.COM GROUP, INC. DE 2.03 12/12/11 WELLS FARGO & CO/MN DE 9.01 12/12/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01,9.01 12/12/11 WESTPORT JWH FUTURES FUND LP NY 5.02 12/06/11 WESTWOOD ONE INC /DE/ DE 5.02,8.01,9.01 12/06/11 WIRELESS RONIN TECHNOLOGIES INC MN 8.01 12/12/11 Wizard World, Inc. DE 1.01,2.03,3.02 12/06/11 WMS INDUSTRIES INC /DE/ DE 5.07 12/08/11 WSFS FINANCIAL CORP DE 8.01 12/12/11 XL GROUP PLC L2 1.01,1.02,2.03,9.01 12/09/11 ZIONS BANCORPORATION /UT/ UT 9.01 12/12/11 Zyto Corp 5.07,6.02 12/06/11