2012 PCAOB Budget and Accounting Support Fee
The Commission issued an order approving the 2012 budget and annual accounting support fee of the Public Company Accounting Oversight Board under Section 109 of the Sarbanes-Oxley Act of 2002. (Rels. 33-9294; 34-66141)
In the Matter of Stephen M. Folan
On January 10, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Sections 15(b) and 15B(c) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Stephen M. Folan, a former registered representative associated with FTN Financial Securities Corporation, a broker-dealer registered with the Commission, and with FTN Financial Capital Markets, a municipal securities dealer registered with the Commission. The Order finds that on Dec. 16, 2011, a final judgment was entered by consent against Folan in the civil action entitled SEC v. Folan, 11-cv-8905 (N.D. Ill.), permanently enjoining him from aiding and abetting future violations of Section 206(2) of the Investment Advisers Act of 1940 (Advisers Act).
The Order find that the Commission’s complaint alleged, among other things, that, in connection with a year-end 2006 repurchase transaction between FTN Financial Securities Corporation and the registered investment adviser Sentinel Management Group, Inc. (Sentinel), Folan aided and abetted Sentinel’s violations of Section 206(2) of the Advisers Act.
The Order bars Folan from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and prohibits him from participating in any offering of a penny stock. Folan consented to the issuance of the Order, without admitting or denying any of its findings, except he admitted to the entry of the final judgment. (Rel. 34-66127; File No. 3-14687)
Commission Sustains PCAOB Disciplinary Action Against R.E. Bassie & Co. and R. Everett Bassie, C.P.A.
The Commission has sustained PCAOB disciplinary action against R.E. Bassie & Co., a registered public accounting firm, and R. Everett Bassie, C.P.A. The Commission found that Bassie and his firm refused to cooperate with an investigation by the PCAOB's Division of Enforcement and Investigations when they failed for many months to provide documents in response to accounting board demands.
The Commission found that "investigations play a crucial role in furthering the Board's goals of investor protection and the preparation of informative, accurate, and independent audit reports" and that imposing sanctions for failure to cooperate with investigations "clearly serves the public interest." Characterizing the applicants' behavior as "a protracted campaign of stalling and delay," the Commission sustained the sanctions imposed by the PCAOB: it permanently revoked R.E. Bassie & Co.'s registration, permanently barred Bassie's association with any registered public accounting firm, and imposed a civil money penalty of $75,000 on Bassie. (AAER-3354; File No. 3-14130)
In the Matter of Lloyd V. Barriger
On January 11, 2012, 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 Lloyd V. Barriger. The Order finds that Barriger was, at all relevant times, an unregistered investment adviser and the president of the Gaffken & Barriger Fund, LLC, an unregistered investment company located in Monticello, New York, the principal shareholder, director and officer of G&B Partners, Inc., the Fund’s managing member and sole common shareholder, the sole owner of Bridgeville Management, LLC, the purported investment manager to the Fund. The Order further finds that Barriger owned a 30% equity interest in, and jointly controlled and co-managed Campus Capital Corp. (Campus), another unregistered investment company. The Order finds that, during the relevant period, Barriger was also the chairman and CEO, and a registered representative and principal of, Barriger & Barriger, Inc., which was at all relevant times a registered broker-dealer. Barriger, 55 years old, is a resident of Damascus, Pennsylvania.
The Order further finds that on December 14, 2011, a final judgment was entered by consent against Barriger, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. Lloyd Barriger, Civil Action Number 11 Civ. 3250, in the United States District Court for the Southern District of New York (the Civil Action).
The Commission’s complaint in the Civil Action alleged that Barriger fraudulently offered and sold unregistered securities in the G&B Fund and Campus, and defrauded the funds themselves by misusing fund assets. The Commission’s complaint alleged that Barriger defrauded investors and prospective investors in the G&B Fund by misrepresenting that the Fund was a relatively safe and liquid investment that paid a minimum return of 8% per year while knowing, or recklessly disregarding, that the Fund’s actual performance did not justify these performance claims, and without disclosing information about the Fund’s true performance and financial condition. The Commission’s complaint alleged that Barriger defrauded the G&B Fund by causing it to misuse its assets to pay cash distributions not justified by the Fund’s performance, and to redeem investors at inflated values. The Commission’s complaint alleged that Barriger defrauded Campus and prospective investors in Campus by causing Campus to inject a total of nearly $2.5 million into the G&B Fund at a time when the G&B Fund was in distress, by raising money for Campus without disclosing his use of Campus’s assets to prop up the ailing G&B Fund, and by causing Campus to engage in other transactions that personally benefitted him and were contrary to Campus’s restrictions on related-party transactions.
Based on the above, the Order barred Barriger from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barred him 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. Barriger consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rels. 34-66142; IA-3349; File No. 3-14688)
In the Matter of Justin William Rifkin; Rifkin Consents to Collateral Bar
On January 11, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Justin William Rifkin of Corpus Christi, Texas, who previously resided in Colorado Springs, Colorado. Rifkin consented, without admitting or denying the Commission’s findings except as to the Commission’s jurisdiction and to the entry on the previous injunction, to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barred 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.
These proceedings, instituted on September 20, 2011, were based on an August 31, 2011, final judgment that enjoined Rifkin from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in a civil action entitled Securities and Exchange Commission v. Wellco Energy LLC, et al., Civil Action Number 1:09-CV-1114 (D. Colo.). In the order instituting these proceedings (Order), the Division of Enforcement alleged that the Complaint in the civil action alleged that in connection with sales of fractional undivided interests in four oil and gas projects, Rifkin misrepresented that Wellco Energy LLC was the operator of the four oil and gas projects. The Complaint also alleged that Wellco did not operate the projects and instead purchased fractional undivided interests from another company, which interests it further divided and resold to investors. The Complaint also alleged Rifkin misrepresented that he had extensive experience operating oil and gas prospects. In fact, Rifkin’s experience was limited to raising money through sales of other companies’ oil and gas projects. He had no experience operating oil and gas wells. In addition, the Complaint alleged that Rifkin misrepresented the use of investors’ funds and did not disclose that he used approximately 42% of investors’ funds to acquire the working interests in the oil and gas wells and spent the rest on sales commissions and business expenses or for his personal expenses. The Complaint also alleged that Rifkin sold securities when no registration statement was filed or in effect with the Commission and that Rifkin was not registered or associated with a broker or dealer during the time when he offered and sold the securities at issue in the case. In the civil action, Rifkin was enjoined from further violations of the federal securities laws, ordered to pay disgorgement, prejudgment interest and a civil penalty totaling $1,612,377, and to assign the working interests acquired by Wellco Energy LLC directly to the investors. (Rel. 34-66143; File No. 3-14554)
In the Matter of Kay Berensen-Galster
On January 11, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Kay Berensen-Galster (Galster). The Order finds that on November 9, 2011, Galster was permanently enjoined from violating Sections 17(a)(3) and 17A(d) of the Exchange Act and Rules 17Ad-2, 17f-1, 17f-2(a), 17Ac2-1(c), 17Ac-2-2, 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-13, 17Ad-15(c), 17Ad-17 and 17Ad-19 thereunder in Securities and Exchange Commission v. National Stock Transfer, Inc., et al., Civil No. 2:11-cv-798 (U.S.D.C. Utah).
Based on the above, the Order bars Galster from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Galster 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. Galster consented to the issuance of the Order without admitting or denying any of the findings in the Order, except she admitted the entry of the injunction against her. (Rel. 34-66144; File No. 3-14689)
Operators of Real Estate Investment Programs Agree to Settle SEC Charges
The Securities and Exchange Commission announced today the resolution of an enforcement action filed by the Commission on March 1, 2010 in federal district court in Massachusetts against several Massachusetts-based parties who offered real estate investments. The court entered final judgments by consent against several defendants on January 10, 2012, and the Commission agreed to dismiss the case against certain of the other parties.
The Commission’s complaint charged Kathleen S. Dobens and Charles T. Dobens, husband and wife business partners from Duxbury, Massachusetts; their business partner, Joseph A. Roche of Braintree, Massachusetts; and four entities through which they operated (Silex Group, LLC, Preakness Apartments I & II, LLC, Cherry Hills Apartments of Fort Worth, LLC, and Clear River Partners, LLC). The complaint alleged that the defendants committed securities law violations with respect to real estate investments that they offered. The Commission also charged four other entities as relief defendants.
Without admitting or denying the allegations in the Commission’s complaint, the three individual defendants (Kathleen S. Dobens, Charles T. Dobens, and Joseph A. Roche) agreed to the entry of final judgments that: (a) permanently enjoin them from violating Sections 5(a), 5(c) and 17(a) 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 thereunder; (b) order the individual defendants to pay, jointly and severally, disgorgement of $284,399 plus prejudgment interest of $20,775; (c) order Kathleen S. Dobens and Charles T. Dobens to each pay a civil monetary penalty of $80,000, but not imposing any civil penalty against Roche based on the representations in Roche’s sworn statement of financial condition; (d) order that any money, assets, or other benefit received by the individual defendants from their ownership interest in defendant Preakness Apartments I & II, LLC be applied toward partial satisfaction of the outstanding disgorgement orders against them; and (e) orders that the individual defendants comply with an undertaking forbidding them from having any control over expenditures made by or on behalf of Preakness Apartments I & II, LLC.
Three of the entity defendants (Silex Group, LLC, Cherry Hills Apartments of Forth Worth, LLC, and Clear River Partners, LLC), also agreed, without admitting or denying the allegations in the Commission’s complaint, to the entry of final judgments permanently enjoining each of them from violating Sections 5(a), 5(c) and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.
Finally, the Commission agreed to dismiss its charges against defendant Preakness Apartments I & II, LLC and the relief defendants East Coast Investment Solutions, LLC, The Dobens Company, LLC, Crosscreeks Apartments I and Crosscreeks Apartments II, LLC. [SEC v. Kathleen S. Dobens, Charles T. Dobens, Joseph A. Roche, Silex Group, LLC, Preakness Apartments I & II, LLC, Cherry Hills Apartments of Forth Worth, LLC, and Clear River Partners, LLC, as Defendants, and East Coast Investment Solutions, LLC, The Dobens Company, LLC, Crosscreeks Apartments I and Crosscreeks Apartments II, LLC, as Relief Defendants, Civil Action No. 10-CA-10360-MLW (D. Mass] (LR-22222)
SEC Wins Judgments Against Allen E. Weintraub and AWMS Acquisitions, Inc. For Making Phony Tender Offers For Eastman Kodak and AMR
On January 10, 2012, the U.S. District Court for the Southern District of Florida in Miami entered final judgments against Allen E. Weintraub and his company, AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings (Sterling Global), in connection with purported tender offers they made for the common stock of Eastman Kodak Company (Kodak) and AMR Corporation (AMR), the parent company of American Airlines. The Court’s order imposes permanent injunctions against Weintraub and Sterling Global and requires them to pay $400,000 in civil money penalties.
On December 30, 2011, the Court entered an order granting the Securities and Exchange Commission’s motion for summary judgment against Weintraub, a resident of Aventura, Florida. In its Order, the Court found that Weintraub deceived the public by making false and misleading statements regarding Sterling Global’s ability to purchase and operate Kodak and AMR. Specifically, the Court found:
The Court permanently enjoined Weintraub and Sterling Global from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-8 thereunder, and ordered them to each pay a civil money penalty in the amount of $200,000. The Commission did not seek any other remedies.
The Commission filed its complaint in this matter on May 3, 2011. See Litigation Release 21955 (May 4, 2011). On July 21, 2011 the Clerk of the Court entered a default against Sterling Global for failing to appear via an attorney and to answer the Commission’s complaint. [SEC v. Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings, Case No. 11-21549-CIV-HUCK/BANDSTRA (S.D.Fla.)] (LR-22225)
American Century Strategic Asset Allocations, Inc., et al.
An order has been issued on an application filed by American Century Strategic Asset Allocations, Inc., American Century Investment Management, Inc. and American Century Investment Services, Inc. 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 permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29916 – January 10)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-186) to modify fees applicable to the trading of NMS Stocks through NASDAQ OMX PSX 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 January 9. (Rel. 34-66122)
A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2011-41) to amend EDGA Rule 1.5(q) 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 January 9. (Rel. 34-66125)
A proposed rule change submitted by The Nasdaq Stock Market LLC (SR-NASDAQ-2012-003) relating to the customer rebate to add liquidity in penny pilot options 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 January 9. (Rel. 34-66126)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-96) to establish fees for the NYSE Arca Integrated Data Feed 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 January 9. (Rel. 34-66128)
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-3ASR VALSPAR CORP, 1101 THIRD ST SOUTH, MINNEAPOLIS, MN, 55415, 6123327371 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178948 - Jan. 10) (BR. 06B) S-3 General Finance CORP, 39 EAST UNION STREET, PASADENA, CA, 91103, 626-584-9722 - 1,171,339 ($5,856,695.00) Equity, (File 333-178950 - Jan. 10) (BR. 02C) S-3 ICAD INC, 98 SPIT BROOK ROAD, SUITE 100, NASHUA, NH, 03062, 603-882-5200 - 2,750,000 ($1,773,750.00) Equity, (File 333-178952 - Jan. 10) (BR. 10B) S-1 ICEWEB INC, 22900 SHAW ROAD, SUITE 111, STERLING, VA, 20166, 571-287-2400 - 63,891,287 ($10,861,519.00) Equity, (File 333-178954 - Jan. 10) (BR. 03B) S-8 Prologis, Inc., PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 300,000 ($8,604,000.00) Equity, (File 333-178955 - Jan. 10) (BR. 08C) F-10 Brookfield Office Properties Canada, 181 BAY STREET, SUITE 330, TORONTO, A6, M5J 2T3, 416-369-2300 - 0 ($732,994,526.00) Debt, (File 333-178956 - Jan. 10) (BR. 08) S-8 Healthient, Inc., 15132 PARK OF COMMERCE BLVD., 2ND FLOOR, JUPITER, FL, 33478, 888-720-2112 - 12,000,000 ($1,020,000.00) Equity, (File 333-178957 - Jan. 10) (BR. 11C) S-1 NORTHWEST BIOTHERAPEUTICS INC, 7600 WISCONSIN AVE., SUITE 750, BETHESDA, MD, 20814, 4256083008 - 7,000,000 ($2,730,000.00) Equity, (File 333-178958 - Jan. 10) (BR. 01B)
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.
'mktg, inc.' DE 5.02 01/05/12 ACE Ltd V8 5.07 01/09/12 AFFYMETRIX INC DE 8.01 01/09/12 ALCOA INC PA 2.02,9.01 01/09/12 Allied Nevada Gold Corp. DE 7.01,9.01 01/09/12 ALLOS THERAPEUTICS INC DE 2.02,9.01 01/10/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 7.01,9.01 01/10/12 AMARIN CORP PLC\UK X0 1.01,2.03,3.02,9.01 01/09/12 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 5.02,9.01 01/10/12 American Assets Trust, Inc. MD 1.01,2.03,7.01,9.01 01/10/12 AMERICAN DEFENSE SYSTEMS INC DE 5.03,9.01 01/09/12 AMERICAN SCIENTIFIC RESOURCES INC NV 5.02 01/08/12 AMERIGO ENERGY, INC. DE 4.01,9.01 01/09/12 ANALOGIC CORP MA 8.01 01/10/12 APRICUS BIOSCIENCES, INC. NV 1.01,9.01 01/10/12 ARENA PHARMACEUTICALS INC DE 8.01 01/10/12 Arno Therapeutics, Inc DE 5.02 01/04/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.04 01/05/12 BJs RESTAURANTS INC CA 2.02,8.01,9.01 01/09/12 BLOCKBUSTER INC DE 7.01,9.01 11/30/11 Blueknight Energy Partners, L.P. DE 5.02,9.01 01/06/12 BODY CENTRAL CORP 7.01,9.01 01/09/12 BOSTON PROPERTIES INC DE 8.01,9.01 01/10/12 BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 01/10/12 BPZ RESOURCES, INC. TX 1.01 01/09/12 BreitBurn Energy Partners L.P. DE 7.01,8.01,9.01 01/10/12 BSD MEDICAL CORP DE 2.02,8.01,9.01 01/10/12 Bureau of Fugitive Recovery Inc CO 5.02 01/01/12 CALAVO GROWERS INC CA 2.02,9.01 01/05/12 CALAVO GROWERS INC CA 9.01 05/25/11 AMEND CALYPSO WIRELESS INC DE 8.01 01/09/12 CAPSTONE TURBINE Corp DE 1.01,9.01 01/09/12 Cardium Therapeutics, Inc. DE 8.01,9.01 01/05/12 CHESAPEAKE UTILITIES CORP DE 5.02,9.01 01/05/12 China Botanic Pharmaceutical 5.03,5.08,7.01,9.01 01/06/12 China Direct Industries, Inc. FL 5.02,7.01,9.01 01/06/12 Chino Commercial Bancorp CA 2.02,9.01 01/09/12 CHURCH & DWIGHT CO INC /DE/ DE 5.02 01/06/12 CITIGROUP INC DE 9.01 01/10/12 CLAIBORNE LIZ INC DE 2.02,5.02,9.01 01/09/12 CLAIRES STORES INC DE 5.02,9.01 01/06/12 Clear Channel Outdoor Holdings, Inc. DE 5.02 01/04/12 COLDWATER CREEK INC DE 7.01,9.01 01/10/12 COMPLETE GENOMICS INC DE 8.01,9.01 01/09/12 Converted Organics Inc. DE 8.01 01/06/12 Copano Energy, L.L.C. 1.01,9.01 01/04/12 COPART INC CA 1.01,1.02,3.03,5.03, 01/10/12 9.01 Cornerstone Core Properties REIT, Inc MD 5.02 01/05/12 CORRECTIONS CORP OF AMERICA MD 1.01,2.03,8.01,9.01 01/05/12 COVANCE INC DE 2.02,9.01 01/09/12 CRAFT BREWERS ALLIANCE, INC. WA 2.02 01/10/12 Crestwood Midstream Partners LP DE 1.01,7.01,9.01 01/09/12 Crocs, Inc. 2.02,9.01 01/10/12 CROWN CASTLE INTERNATIONAL CORP DE 7.01,9.01 01/10/12 CYBERDEFENDER CORP CA 5.07 01/05/12 DANA HOLDING CORP DE 7.01,9.01 01/10/12 DATA I/O CORP WA 2.02,8.01,9.01 01/09/12 DEXCOM INC 2.02 01/10/12 DITECH NETWORKS INC DE 5.02 01/06/12 DSW Inc. OH 7.01,9.01 01/10/12 EDIETS COM INC DE 1.01,9.01 01/09/12 ELECTRONICS FOR IMAGING INC DE 2.02,7.01,8.01,9.01 01/10/12 Ellington Financial LLC DE 7.01,9.01 01/09/12 EMPIRE ENERGY CORP UT 8.01 01/10/12 ENERGIZER HOLDINGS INC MO 7.01,9.01 01/10/12 Epazz Inc IL 4.02 08/16/11 AMEND EQT Corp PA 5.02,7.01,9.01 01/04/12 Federal Home Loan Bank of Atlanta X1 2.03 01/04/12 Federal Home Loan Bank of Boston X1 2.03 01/05/12 Federal Home Loan Bank of Chicago X1 2.03 01/04/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/04/12 Federal Home Loan Bank of Dallas 2.03,9.01 01/04/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/06/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/10/12 Federal Home Loan Bank of New York X1 2.03,9.01 01/04/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/04/12 Federal Home Loan Bank of San Francis X1 2.03 01/04/12 Federal Home Loan Bank of Topeka 2.03,9.01 01/04/12 FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 01/06/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 01/09/12 FOREST OIL CORP NY 1.01,5.02,9.01 01/04/12 Francesca's Holdings CORP 2.02,9.01 01/10/12 FRANKLIN WIRELESS CORP NV 8.01 01/10/12 FRISCHS RESTAURANTS INC OH 2.02,9.01 01/10/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 01/10/12 GENERAC HOLDINGS INC. DE 2.02,9.01 01/10/12 GENESCO INC TN 7.01,9.01 01/09/12 Genesis Biopharma, Inc NV 1.01,9.01 01/05/12 AMEND GeoMet, Inc. DE 5.02 01/04/12 GlyEco, Inc. NV 3.02 12/21/11 GlyEco, Inc. NV 8.01,9.01 01/09/12 GlyEco, Inc. NV 1.01,2.01,9.01 12/27/11 AMEND Golub Capital BDC, Inc. DE 2.02,9.01 01/10/12 GRIFFON CORP DE 5.02,9.01 01/10/12 GSI GROUP INC A3 7.01,9.01 01/10/12 GSI TECHNOLOGY INC 2.02,9.01 01/10/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 01/10/12 HARRIS & HARRIS GROUP INC /NY/ NY 7.01,9.01 01/10/12 HCA Holdings, Inc. 7.01 01/10/12 HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,5.02,9.01 01/05/12 HELEN OF TROY LTD 2.02,9.01 01/05/12 HELICOS BIOSCIENCES CORP DE 5.02 01/04/12 hhgregg, Inc. DE 2.02,9.01 01/10/12 HOMEFED CORP DE 5.02,9.01 01/05/12 HOSPIRA INC DE 7.01,9.01 01/10/12 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 01/08/12 iBio, Inc. DE 1.01,9.01 01/09/12 IGATE CORP PA 5.02 01/06/12 IGATE CORP PA 8.01 01/07/12 IGEN NETWORKS CORP NV 1.01 01/05/12 ImmunoCellular Therapeutics, Ltd. DE 1.01,8.01,9.01 01/09/12 INHIBITEX, INC. DE 1.01,8.01,9.01 01/07/12 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 01/10/12 Intellicell Biosciences, Inc. NV 7.01,9.01 01/10/12 Internet Patents Corp 5.02 01/04/12 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 01/10/12 IXIA CA 2.02,9.01 01/10/12 Jacksonville Bancorp, Inc. MD 2.02,9.01 01/10/12 JAMBA, INC. DE 2.02,9.01 01/09/12 John Bean Technologies CORP DE 7.01,9.01 01/10/12 JONES GROUP INC PA 2.02,2.06,9.01 01/10/12 KAMAN CORP CT 7.01,9.01 01/10/12 KRAFT FOODS INC VA 8.01,9.01 01/05/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/10/12 LaSalle Hotel Properties MD 5.02,7.01,9.01 01/04/12 LEVEL 3 COMMUNICATIONS INC DE 2.01,9.01 01/10/12 LIFEPOINT HOSPITALS, INC. 8.01 12/15/11 Limelight Networks, Inc. DE 5.02 01/05/12 lululemon athletica inc. DE 7.01,9.01 01/10/12 LVB Acquisition, Inc. 2.02,9.01 01/10/12 MANAGEMENT NETWORK GROUP INC 5.02,7.01,9.01 01/08/12 MANHATTAN BRIDGE CAPITAL, INC NY 8.01,9.01 01/10/12 MANNATECH INC TX 5.07,8.01,9.01 01/09/12 MARCUS CORP WI 5.02,8.01,9.01 01/10/12 MATTRESS FIRM HOLDING CORP. DE 7.01,9.01 01/10/12 MEDCATH CORP DE 8.01 01/09/12 Memorial Production Partners LP DE 5.02 01/09/12 METLIFE INC DE 7.01,9.01 01/10/12 Midas Medici Group Holdings, Inc. 9.01 07/29/11 AMEND MIDDLESEX WATER CO NJ 8.01 01/10/12 Midwest Energy Emissions Corp. DE 8.01 01/10/12 Milwaukee Iron Arena Football, Inc 4.01,9.01 01/03/12 MS STRUCTURED SATURNS SERIES 2005-2 DE 8.01,9.01 01/03/12 MTS SYSTEMS CORP MN 5.02,9.01 01/09/12 Naugatuck Valley Financial Corp MD 5.02 01/09/12 NCI BUILDING SYSTEMS INC DE 7.01,9.01 01/10/12 NewCardio, Inc. DE 5.02,7.01 01/01/12 NEWS CORP 8.01,9.01 01/10/12 NORTH SPRINGS RESOURCES CORP. NV 1.01,2.03,3.02,9.01 01/09/11 NORTH SPRINGS RESOURCES CORP. 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