Longtop Financial Technologies Limited
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Longtop Financial Technologies Limited, Admin. Proc. No. 3-14622. The Order Instituting Proceedings alleged that Respondent failed to file an annual report on Form 20-F for the year ended March 31, 2011, and that it failed to provide the investing public with annual reports for 2008, 2009, and 2010, containing audited financial statements while its 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 Longtop Financial Technologies Limited, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-65948; File No. 3-14622)
Commission Declares Decision as to Lodavina Grosnickle Final
The decision of an administrative law judge barring Lodavina Grosnickle from association with a broker, dealer, investment adviser, municipal securities dealer, NRSRO, and transfer agent, and from participating in a penny stock offering, has become final. The law judge noted that on
May 9, 2011, the United States District Court for the Central District of California entered a Final Judgment permanently enjoining Grosnickle from violating Sections 10(b) and 15(a) of the Securities Exchange Act of 1934, Exchange Act Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. SEC v. TG Capital LLC, et al., Civil Action Number 8:07-cv-00579-CJC-AN. The Final Judgment imposed a third tier civil penalty of $130,000 and ordered disgorgement in the amount of $216,355.93.
Grosnickle was the co-founder and vice president of TG Capital LLC, a Nevada limited liability company formed in February 2007, with registered business addresses in Irvine, California, and Las Vegas, Nevada. The court found, that between the months of February and April 2007, Grosnickle, along with a co-conspirator, knowingly assisted in the dissemination of forged documents, misrepresented material facts and diverted approximately $3.78 million of investor funds for their personal use. The court further noted that Grosnickle’s misconduct was egregious, recurrent, and involved a high degree of scienter. (Rel. 34-65949; File No. 3-14408)
In the Matter of Kempisty & Company, CPAs, P.C., Philip C. Kempisty, CPA, and John Anthony Rubino, CPA
On December 14, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(ii) and (iii) of the Commission’s Rules of Practice against Kempisty & Company, Certified Public Accountants, P.C.(Kempisty & Company), Philip C. Kempisty, CPA (Kempisty) and John Anthony Rubino, CPA (Rubino). The Order finds that Kempisty & Company, Kempisty and Rubino willfully aided and abetted and caused Kentucky Energy, Inc.’s violations of Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 13a-1, 13a-13 and 12b-20 thereunder. The Order also finds that Kempisty & Company, Kempisty and Rubino engaged in improper professional conduct pursuant to Section 4C(a)(2) of the Exchange Act and Rule 102(e)(1)(ii) of the Commission’s Rules of Practice.
Based on the above, the Order orders Kempisty & Company, Kempisty and Rubino to cease and desist from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and13a-13 promulgated thereunder. The Order also denies Kempisty & Company, Kempisty and Rubino the privilege of appearing or practicing before the Commission as an accountant. After one year from the date of the Order, Kempisty may request that the Commission consider his reinstatement. After three years from the date of the Order, Rubino may request that the Commission consider his reinstatement.
Kempisty & Company, Kempisty and Rubino consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-65950; AAE Rel. 3344; File No. 3-14339)
In the Matter of Steven R. Long and Stanley M. Paulic
On December 14, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Steven R. Long and Stanley M. Paulic (Respondents).
The Order finds that on November 23, 2011, a final judgment was entered by consent against Respondents permanently enjoining them from future violations of the antifraud and registration provisions of the federal securities laws in United States Securities and Exchange Commission v. Integrity Financial AZ, LLC, et al., Civil Action No. 1:10-CV-00782, filed in the United States District Court for the Northern District of Ohio. The Commission’s complaint in that action alleged that Long, who is based in Mather, California, and Paulic, who is based in Aurora, Ohio, co-founded, co-owned, and served as officers of Integrity Financial AZ, LLC, and, in their roles, offered and sold unregistered securities in the form of promissory notes purportedly secured by real estate in Arizona. The complaint further alleged that Long, Paulic and the other defendants made multiple fraudulent misrepresentations and omissions regarding the company’s performance, status and personnel, the use and handling of investors’ funds, and the security of the investments.
Based on the above, the Commission deems it necessary and appropriate in the public interest that administrative proceedings be instituted to determine whether the allegations set forth in the Order are true and, in connection therewith, to afford Respondents an opportunity to establish any defenses to such allegations, and to determine what, if any, remedial action is appropriate in the public interest against Respondents pursuant to Section 15(b) of the Exchange Act.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Respondents Long and Paulic an opportunity to respond to these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order Instituting Proceedings. (Rel. 34-65951; File No. 3-14662; 34-65952; File No. 3-14663)
Commission Decision as to Dale St. Jean Declared Final
The Commission has barred Dale St. Jean from association with any investment adviser, broker, dealer, municipal securities dealer, and transfer agent. Administrative proceedings were instituted based on the June 30, 2011 district court order permanently enjoining St. Jean, by default, from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and from violating Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. SEC v. St. Jean, 8:10-cv-02859-JDW-MAP (M.D. FL
June 30, 2011). The final judgment ordered that St. Jean pay a civil money penalty and disgorge approximately $1.6 million in illicit profits, plus prejudgment interest.
The injunctive complaint alleges that between April 2008 and July 2009, while acting as an investment adviser to two hedge funds, Arcanum Equity Fund, LLC and Vestium Equity Fund, LLC (the Funds), St. Jean repeatedly breached his fiduciary duty to investors by selecting and approving investments in which he had a financial interest, and accepting performance-based compensation when he knew, or should have known, that the Funds were not profitable. St. James, along with others, misappropriated $34 million in capital raised for the Funds.
The law judge found that St. Jean’s actions were egregious and recurring. The law judge further noted that St. Jean has not recognized the wrongful nature of his conduct; and, without an associational bar, there is the likelihood that he would commit future violations. (Rel. IA-3334; File No. 3-14472)
American Century Strategic Asset Allocation, Inc., et al.
A notice has been issued giving interested persons until January 9, 2011 to request a hearing on an application filed by American Century Strategic Asset Allocation, Inc., et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29883 – December 13)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the C2 Options Exchange, Incorporated related to a complex order auction feature (SR-C2-2011-039) 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. 34-65938)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated related to a complex order auction feature (SR-CBOE-2011-119) 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. 34-65939)
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-95) 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. 34-65943)
Approval of Proposed Rule Change
The Commission approved a proposed rule change (SR-FINRA-2011-062) filed by the Financial Industry Regulatory Authority, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to repeal incorporated NYSE Rule 2A (Jurisdiction). Publication is expected in the Federal Register during the week of December 12. (Rel. 34-65944)
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-1 Northern Tier Energy, Inc., 38C GROVE STREET, SUITE 100, RIDGEFIELD, CT, 06877, (203) 244-6550 - 0 ($200,000,000.00) Equity, (File 333-178457 - Dec. 13) (BR. 04) S-4 Northern Tier Energy LLC, 38C GROVE STREET, STE. 100, RIDGEFIELD, CT, 06877, (203) 244-6550 - 0 ($290,000,000.00) Non-Convertible Debt, (File 333-178458 - Dec. 13) (BR. 04) S-8 SavWatt USA, Inc., 6801 EASTERN AVENUE, SUITE 203, BALTIMORE, MD, 21224, 866 641 3507 - 250,000,000 ($225,000.00) Equity, (File 333-178459 - Dec. 13) (BR. 06B) S-3ASR OLIN CORP, OLIN CORP, 190 CARONDELET PLAZA SUITE 1530, CLAYTON, MO, 63105, 3144801400 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178460 - Dec. 13) (BR. 06C) S-1 SKOOKUM SAFETY SOLUTIONS CORP., 1017 5TH STREET SE, HIGH RIVER, A0, T1V 1J2, 866-279-7880 - 300,000 ($30,000.00) Equity, (File 333-178464 - Dec. 13) (BR. 09) S-8 Rhino Productions, Inc., 16887 NW KING RICHARD COURT, SHERWOOD, OR, 97140, 925-234-1783 - 1,200,000 ($237,000.00) Equity, (File 333-178465 - Dec. 13) (BR. 04B) S-1 Tumi Holdings, Inc., 1001 DURHAM AVE., SOUTH PLAINFIELD, NJ, 07080, 908-756-4400 - 0 ($300,000,000.00) Equity, (File 333-178466 - Dec. 13) (BR. 09) S-8 AVIAT NETWORKS, INC., 5200 GREAT AMERICA PARKWAY, SANTA CLARA, CA, 95054, 408-567-7000 - 6,000,000 ($10,500,000.00) Equity, (File 333-178467 - Dec. 13) (BR. 11C) S-8 PROSPER MARKETPLACE INC, 111 SUTTER STREET, 22ND FLOOR, SAN FRANCISCO, CA, 94104, 415-593-5400 - 1,000,000 ($120,000.00) Equity, (File 333-178468 - Dec. 13) (BR. 07C) S-4 CLAYTON WILLIAMS ENERGY INC /DE, SIX DESTA DR, STE 6500, MIDLAND, TX, 79705, 9156826324 - 0 ($350,000,000.00) Debt, (File 333-178470 - Dec. 13) (BR. 04A) S-1 iVoiceIdeas, Inc., 9600 GREAT HILLS TRAIL, SUITE 150W, AUSTIN, TX, 78759, 512-637-1330 - 0 ($500,000.00) Equity, (File 333-178471 - Dec. 13) (BR. )
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 1 800 FLOWERS COM INC DE 5.07 12/12/11 ACACIA RESEARCH CORP DE 8.01 12/06/11 Aegerion Pharmaceuticals, Inc. DE 5.02,9.01 12/07/11 AEROSONIC CORP /DE/ DE 2.02,9.01 12/12/11 AeroVironment Inc DE 5.02 12/11/11 AGILYSYS INC OH 4.01,9.01 12/09/11 AGL RESOURCES INC GA 5.03,8.01,9.01 12/07/11 ALBEMARLE CORP VA 5.02,9.01 12/07/11 Aleris International, Inc. DE 5.02 12/07/11 Alexza Pharmaceuticals Inc. DE 8.01,9.01 12/13/11 ALLETE INC MN 7.01 12/13/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 12/12/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 12/12/11 Alpha Lujo, Inc. NY 5.02,9.01 07/14/11 AlumiFuel Power Corp NV 5.03,9.01 12/07/11 AMERCO /NV/ NV 8.01,9.01 12/07/11 AMERICAN GREETINGS CORP OH 5.02 12/08/11 AMERICAN LOCKER GROUP INC DE 5.02 12/05/11 AMERICAN MEDICAL ALERT CORP NY 8.01,9.01 12/12/11 American Realty Capital Properties, I MD 2.01,9.01 12/12/11 American Strategic Minerals Corp NV 4.01,9.01 12/09/11 AMERICAN WOODMARK CORP VA 2.05,2.06,9.01 12/12/11 AMERICAS ENERGY Co - AECO NV 1.01,1.03,9.01 11/07/11 Amwest Imaging Inc NV 5.02 12/12/11 ANIXTER INTERNATIONAL INC DE 5.02 12/08/11 APOLLO GROUP INC AZ 8.01 12/12/11 APOLLO GROUP INC AZ 5.02 12/07/11 Apple REIT Ten, Inc. VA 1.01 12/08/11 Arcis Resources Corp NV 5.03,9.01 12/12/11 Arcland Energy Corp UT 7.01,8.01,9.01 11/16/11 Armour Residential REIT, Inc. MD 1.01,8.01,9.01 12/07/11 ARRIS GROUP INC DE 5.02,9.01 12/12/11 ASIAINFO-LINKAGE, INC DE 5.02,9.01 12/07/11 ASSURED GUARANTY LTD D0 7.01 12/13/11 Atlas Energy, L.P. DE 5.03,9.01 12/12/11 ATLAS PIPELINE PARTNERS LP DE 5.03,9.01 12/12/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 12/13/11 AVI BIOPHARMA INC OR 2.05 12/09/11 AVON PRODUCTS INC NY 5.02 12/13/11 BAXTER INTERNATIONAL INC DE 8.01,9.01 12/13/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 12/12/11 Behringer Harvard Opportunity REIT II MD 1.01 12/07/11 BEST BUY CO INC MN 2.02,9.01 12/13/11 BHM Discretionary Futures Fund L.P. DE 5.02 12/06/11 BIO-PATH HOLDINGS INC UT 8.01,9.01 12/13/11 BioDrain Medical, Inc. MN 5.02 12/13/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 12/13/11 Black Tusk Minerals Inc. NV 7.01,9.01 12/08/11 BORGWARNER INC DE 7.01,8.01 12/12/11 BUCKLE INC NE 8.01,9.01 12/13/11 Bunge LTD 8.01 12/07/11 Burlington Coat Factory Investments H 7.01,9.01 12/13/11 CABOT MICROELECTRONICS CORP DE 8.01,9.01 12/13/11 Carbon Natural Gas Co DE 1.01,5.02,5.07,9.01 12/07/10 CASTLE A M & CO MD 8.01,9.01 12/13/11 Cavico Corp 5.02 09/01/11 CENTER BANCORP INC NJ 1.01,8.01,9.01 12/07/11 CFCRE Commercial Mortgage Trust 2011- DE 8.01,9.01 12/13/11 CHARMING SHOPPES INC PA 7.01,9.01 12/13/11 CHARMING SHOPPES INC PA 5.02 12/09/11 CHENIERE ENERGY INC DE 7.01,9.01 12/13/11 CHESAPEAKE UTILITIES CORP DE 8.01 12/06/11 China Liaoning Dingxu Ecological Agri NV 5.03 12/12/11 China Liaoning Dingxu Ecological Agri NV 4.01,9.01 12/06/11 China Liaoning Dingxu Ecological Agri NV 1.01,2.01,3.02,5.06, 12/12/11 9.01 China Pharmaceuticals Inc NV 8.01 12/07/11 CIGNA CORP DE 5.02,9.01 12/09/11 CLAYTON WILLIAMS ENERGY INC /DE DE 8.01,9.01 12/13/11 Clearwire Corp /DE DE 1.01,5.07,8.01,9.01 12/07/11 CLIFFS NATURAL RESOURCES INC. OH 8.01 12/09/11 COHERENT INC DE 5.02,8.01 12/09/11 COLE REAL ESTATE INCOME STRATEGY (DAI MD 1.01,2.01,2.03,8.01, 12/08/11 9.01 CONSOLIDATED GRAPHICS INC /TX/ TX 7.01 12/13/11 COOPER TIRE & RUBBER CO DE 5.02,8.01,9.01 12/08/11 Coronado Corp. NV 1.01,9.01 12/08/11 CoroWare, Inc, DE 4.01 11/09/11 AMEND CORRECTIONS CORP OF AMERICA MD 5.02,7.01,9.01 12/13/11 Covidien plc 5.02 12/09/11 CREDIT ONE FINANCIAL INC FL 5.02 12/12/11 CURTISS WRIGHT CORP DE 8.01,9.01 12/09/11 CVR ENERGY INC DE 7.01,9.01 12/09/11 CYPRESS SEMICONDUCTOR CORP /DE/ DE 8.01,9.01 12/08/11 DELTA NATURAL GAS CO INC KY 9.01 12/08/11 DEVRY INC DE 8.01 12/12/11 Digital Realty Trust, Inc. 7.01,9.01 12/13/11 DIODES INC /DEL/ DE 7.01,9.01 12/08/11 Douglas Lake Minerals Inc. NV 5.02 12/12/11 DTE ENERGY CO MI 7.01,9.01 12/13/11 DUNKIN' BRANDS GROUP, INC. DE 7.01,9.01 12/12/11 DYNEX CAPITAL INC VA 7.01,9.01 12/13/11 EARTHSTONE ENERGY INC DE 8.01,9.01 12/13/11 EASTMAN CHEMICAL CO DE 1.01,1.02,2.03,9.01 12/07/11 ELLIE MAE INC DE 1.01,9.01 12/12/11 EMPIRE RESORTS INC DE 5.07,9.01 12/13/11 ENCORE CAPITAL GROUP INC DE 5.02,9.01 12/07/11 ENDOCYTE INC DE 7.01,9.01 12/13/11 EnteroMedics Inc 8.01,9.01 12/13/11 ENTERPRISE PRODUCTS PARTNERS L P DE 7.01,8.01,9.01 12/08/11 ENVESTNET, INC. DE 2.01,8.01,9.01 12/09/11 EPOCRATES INC DE 5.02 12/07/11 EXPRESS SCRIPTS INC DE 8.01 12/13/11 FACTSET RESEARCH SYSTEMS INC DE 2.02,9.01 12/13/11 FBL FINANCIAL GROUP INC IA 5.02 12/08/11 Federal Home Loan Bank of Atlanta X1 2.03 12/13/11 Federal Home Loan Bank of Boston X1 2.03 12/07/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/07/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/09/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/13/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/07/11 Federal Home Loan Bank of San Francis X1 2.03 12/07/11 Federal Home Loan Bank of Topeka 2.03,9.01 12/07/11 Fibrocell Science, Inc. DE 8.01 12/13/11 FIRST BANCORP /PR/ PR 5.07 12/09/11 FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 12/13/11 FIRST NIAGARA FINANCIAL GROUP INC DE 8.01,9.01 12/13/11 FIRST QUANTUM VENTURES INC NV 8.01 12/13/11 First Trinity Financial CORP 1.01,5.02,9.01 12/08/11 FLEETCOR TECHNOLOGIES INC DE 1.01,2.01,7.01,9.01 12/13/11 Forbes Energy Services Ltd. D0 1.01,9.01 12/08/11 FOREST OIL CORP NY 7.01,9.01 12/12/11 FORMFACTOR INC DE 2.02,8.01,9.01 12/13/11 Furiex Pharmaceuticals, Inc. DE 8.01,9.01 12/08/11 GARTNER INC DE 1.01,9.01 12/12/11 GateHouse Media, Inc. DE 8.01,9.01 12/08/11 Genesis Biopharma, Inc NV 9.01 10/05/11 AMEND GENVEC INC DE 5.02,9.01 12/07/11 GigOptix, Inc. DE 1.01,2.03,8.01,9.01 12/09/11 GILEAD SCIENCES INC DE 1.01,2.03,9.01 12/13/11 Global Income Trust, Inc. MD 9.01 10/27/11 AMEND GLOBE SPECIALTY METALS INC 5.02 12/08/11 GMX RESOURCES INC OK 1.01,1.02,8.01,9.01 12/08/11 GOLDFIELD CORP DE 5.02 12/08/11 GOOD SAM ENTERPRISES, LLC DE 5.02 12/08/11 GRAN TIERRA ENERGY, INC. NV 1.02 12/06/11 GREATBATCH, INC. DE 1.01,8.01,9.01 12/09/11 GREEN ENERGY GROUP INC. FL 4.01,9.01 12/13/11 AMEND GREIF INC DE 2.02,7.01,8.01,9.01 12/07/11 Griffin Capital Net Lease REIT, Inc. 7.01,9.01 12/13/11 Grubb & Ellis Healthcare REIT II, Inc MD 8.01 12/09/11 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,5.03,5.07,9.01 12/07/11 HECLA MINING CO/DE/ DE 1.01,3.02,9.01 12/12/11 HOME PROPERTIES INC MD 1.01,2.03,9.01 12/09/11 Horizon Lines, Inc. 1.01,5.03,8.01,9.01 12/07/11 Horsehead Holding Corp 8.01 12/13/11 HOST HOTELS & RESORTS, INC. MD 8.01 12/13/11 HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 12/13/11 IASIS Healthcare LLC DE 8.01,9.01 12/13/11 iBio, Inc. DE 5.07 12/08/11 Infrared Systems International NV 4.02 12/01/11 AMEND INGLES MARKETS INC NC 5.02 12/13/11 INSIGNIA SYSTEMS INC/MN MN 8.01 12/08/11 INTEVAC INC CA 5.02 12/09/11 INTL FCSTONE INC. DE 2.02,7.01,9.01 12/13/11 Intrepid Potash, Inc. DE 1.01,9.01 12/09/11 INUVO, INC. NV 7.01,9.01 12/13/11 Invesco Ltd. D0 7.01,9.01 12/12/11 Invesco Mortgage Capital Inc. MD 8.01,9.01 12/13/11 James River Coal CO VA 8.01 12/09/11 JOHNSON & JOHNSON NJ 8.01 12/12/11 KENSEY NASH CORP DE 5.02,5.07,9.01 12/07/11 LaSalle Hotel Properties MD 5.02 12/08/11 LEARNING TREE INTERNATIONAL INC DE 2.02,9.01 12/13/11 LEFT BEHIND GAMES INC. WA 7.01,9.01 12/13/11 LIVEDEAL INC NV 8.01 12/12/11 LUFKIN INDUSTRIES INC TX 1.01,2.01,2.03,7.01, 11/30/11 AMEND 9.01 LV Futures Fund L.P. DE 5.02 12/06/11 MAGELLAN HEALTH SERVICES INC DE 1.01,2.03,8.01,9.01 12/09/11 MANAGED FUTURES CHARTER GRAHAM L.P. DE 5.02 12/06/11 MARCHEX INC DE 7.01 12/09/11 MARTHA STEWART LIVING OMNIMEDIA INC DE 9.01 12/12/11 AMEND MEDCATH CORP DE 8.01,9.01 11/30/11 MEDIA TECHNOLOGIES, INC. NV 3.02 07/28/11 Meritage Futures Fund L.P. DE 5.02 12/06/11 Mindesta Inc. DE 8.01,9.01 12/13/11 MORGAN STANLEY DE 8.01,9.01 12/13/11 MS STRUCTURED SATURNS SERIES 2002-11 DE 8.01,9.01 12/01/11 MusclePharm Corp NV 1.01,2.03,3.02,9.01 10/15/11 NASB FINANCIAL INC MO 2.02,9.01 12/13/11 NAVISTAR INTERNATIONAL CORP DE 7.01 12/13/11 Neutral Tandem Inc 8.01 12/13/11 NEW ENERGY SYSTEMS GROUP NV 8.01 12/07/11 NEW ENERGY TECHNOLOGIES, INC. 5.02,7.01 12/08/11 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 12/12/11 NEWPORT CORP NV 7.01 12/13/11 NEWPORT CORP NV 7.01 12/09/11 NEWS CORP 8.01,9.01 12/13/11 NEXTERA ENERGY INC FL 8.01,9.01 12/13/11 NORTHLAND CABLE PROPERTIES EIGHT LIMI WA 1.02,7.01,9.01 12/13/11 NOVAGEN SOLAR INC. NV 5.02 12/07/11 NPC INTERNATIONAL INC KS 1.01,7.01,9.01 12/13/11 NSTAR/MA 5.07 12/13/11 NTS REALTY HOLDINGS LP DE 8.01,9.01 12/13/11 OIL DRI CORP OF AMERICA DE 5.07,8.01,9.01 12/13/11 Otter Tail Corp MN 1.01,9.01 12/12/11 OXYGEN BIOTHERAPEUTICS, INC. DE 9.01 12/08/11 AMEND PAID INC DE 1.01,2.03,3.02 12/07/11 AMEND PANTRY INC DE 2.02,9.01 12/13/11 PEPSICO INC NC 5.02,9.01 12/12/11 PFIZER INC DE 5.02,8.01,9.01 12/12/11 PHARMATHENE, INC DE 5.02,5.07 12/07/11 PILGRIMS PRIDE CORP DE 1.01,3.03 12/13/11 PINNACLE AIRLINES CORP DE 5.02 12/08/11 PLUMAS BANCORP CA 5.04 12/13/11 Polaris Futures Fund L.P. DE 5.02 12/06/11 PREMIER ALLIANCE GROUP, INC. NV 5.02 12/12/11 PRIME GLOBAL CAPITAL GROUP Inc NV 8.01,9.01 12/08/11 Prologis, Inc. MD 5.02,9.01 12/08/11 Protalix BioTherapeutics, Inc. FL 7.01,9.01 12/13/11 PUMA BIOTECHNOLOGY, INC. DE 1.01,9.01 12/07/11 Quanex Building Products CORP DE 7.01,9.01 12/12/11 RANGE RESOURCES CORP DE 5.02,9.01 12/08/11 Regency Resources, Inc. NV 8.01 12/12/11 Regeneca, Inc. NV 5.02 12/08/11 RPC INC DE 8.01,9.01 12/13/11 Ryerson Holding Corp DE 8.01,9.01 12/09/11 RYERSON INC. DE 8.01,9.01 12/09/11 Santander Holdings USA, Inc. PA 8.01,9.01 12/13/11 Scio Diamond Technology Corp NV 5.02 12/08/11 SCRIPPS E W CO /DE OH 1.01,9.01 12/09/11 SEALY CORP DE 5.02,9.01 12/12/11 SHAW GROUP INC LA 5.02 12/12/11 SILVER BULL RESOURCES, INC. NV 8.01,9.01 12/13/11 SM Energy Co DE 7.01,9.01 12/12/11 Smart Kids Group Inc. FL 3.03,5.03,9.01 12/12/11 SMITH A O CORP DE 5.02,9.01 12/12/11 Sono Resources, Inc. NV 7.01,9.01 12/13/11 STR HOLDINGS, INC. DE 5.02,9.01 12/07/11 STR HOLDINGS, INC. DE 5.07 05/24/11 AMEND STRATEGIC AMERICAN OIL CORP NV 7.01,9.01 12/13/11 STRATEGIC DIAGNOSTICS INC/DE/ DE 1.01,2.01,9.01 12/08/11 STRATTEC SECURITY CORP WI 7.01,9.01 12/13/11 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 1.01,9.01 12/13/11 SYNERGY PHARMACEUTICALS, INC. 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