SEC Names Robert Fisher as Deputy Director in Office of International Affairs
The Securities and Exchange Commission today announced that Robert M. Fisher has been named a Deputy Director in the SEC’s Office of International Affairs.
Dr. Fisher, who earned his Ph. D. in economics from Duke University, joined the SEC staff in 2002 as a financial economist in the Office of Economic Analysis. He later became an Assistant Director in the Office of International Affairs, where he has been responsible for the SEC’s international technical assistance program for emerging and recently-emerged markets. In being elevated to a Deputy Director position, Dr. Fisher will now oversee policy issues for the office.
“Rob brings to this position an extraordinary blend of skills as both an attorney and an economist that will serve the Commission well in a time of rapidly changing global markets,” said Ethiopis Tafara, Director of the SEC’s Office of International Affairs. “His extensive experience both in the private sector and at the SEC is a valuable asset as we continue to confront new and evolving regulatory challenges.”
The SEC’s Office of International Affairs advises the Commission on cross-border enforcement and regulatory matters, and engages in regulatory dialogues with authorities outside the U.S. The office also provides technical assistance and is responsible for the SEC’s participation in multilateral standard setting bodies such as the Financial Stability Board and International Organization of Securities Commissions.
Prior to joining the SEC staff, Dr. Fisher worked as an attorney in Washington, D.C. He also was employed as a Practice Manager at the Corporate Executive Board.
Dr. Fisher, 57, earned his law degree at Harvard University. Among his various academic experiences, he has served as an Adjunct Professor of Law at the Georgetown University Law Center where he co-taught a course on global securities markets. Dr. Fisher once clerked for Judge Stephen F. Williams at the U.S. Court of Appeals, D.C. Circuit. (Press Rel. 2012-6)
Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators
The Securities and Exchange Commission today announced that a former audit partner at accounting and consulting firm BDO USA LLP has pled guilty to criminal charges for lying to SEC enforcement staff during investigative testimony.
Ronald C. Machen Jr., the U.S. Attorney for the District of Columbia, filed the criminal charges against certified public accountant Bryan N. Polozola, who lives in Richardson, Texas.
According to the criminal information filed in U.S. District Court for the District of Columbia, the SEC issued subpoenas last year to BDO and Polozola, who was responsible for auditing several hedge funds managed by an investment adviser that the SEC is investigating. The criminal information states that the audit is a central issue in the SEC inquiry, and investigators took testimony from Polozola to obtain information about his role in the audit process and assess his credibility. Polozola was the subject of a 2005 NASD (now FINRA) proceeding alleging that he took $49,350 in funds from a former employer for his personal use. Polozola neither admitted nor denied NASD’s allegations in consenting to a bar from associating with any NASD firm.
The criminal information alleges that during questioning in September 2011, Polozola falsely testified to SEC staff that he was not aware of a $49,350 payment made on his behalf to his former employer. In fact, Polozola was aware that his attorney had repaid the $49,350 to the former employer as reimbursement of the funds he had allegedly taken for his personal use. The payment was made at Polozola’s direction and with Polozola’s funds.
“Truth in testimony is the first principle of a fair and effective enforcement program,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “This guilty plea is a stark reminder that those who lie in SEC investigations will face an SEC committed to working closely with the criminal authorities to ensure that they are held accountable.”
Polozola pled guilty to a one-count information charging him with making a false statement to government officials in violation of 18 U.S.C. § 1001. The Honorable Robert L. Wilkins scheduled a sentencing hearing for March 26, 2012.
The SEC thanks the U.S. Attorney’s Office for the District of Columbia for its efforts in prosecuting the case. (Press Rel. 2012-7)
Closed Meeting on Thursday, January 19, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, January 19, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and an 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.
Ramco Energy PLC (n/k/a SeaEnergy PLC)
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Ramco Energy PLC (n/k/a SeaEnergy PLC), Admin. Proc. No. 3-14661. The Order Instituting Proceedings alleged that Respondent Spectacular Attractions, Inc. failed to file any periodic reports since filing a Form 20-F on May 1, 2001. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Spectacular Attractions, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-66146; File No. 3-14661)
In the Matter of William C. Tak
On January 12, 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) as to William C. Tak (Tak). The Order finds that Tak joined California Wealth Management Group, d.b.a. IFC Advisory (IFC Advisory), an investment adviser registered with the Commission until November 2010, in September 2006 as a senior vice president. The Order also finds that from September 2006 until July 2009, Tak was a registered representative of a registered broker-dealer, until the firm terminated his association for failure to maintain on-site records as required by the firm’s written supervisory procedures. The Order further finds that on January 5, 2012, the United States District Court for the Central District of California, Southern Division, entered a final judgment by consent against Tak in the civil action entitled SEC v. Homestead Properties, L.P., et al., Case Number SACV09-01331, permanently enjoining Tak from future violations of 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.
The Order finds that the Commission’s first amended complaint (complaint) alleged that June 2007 to at least November 2009, Tak sold securities interests in an investment fund, Homestead Properties, L.P., (Homestead), that raised over $9.8 million from 36 investors, at least 33 of whom were between 60 and 97 years old at the time they invested. Tak sold the Homestead offering to at least 29 of the 36 investors. The complaint alleged that Tak misrepresented to investors that Homestead would use a registered broker-dealer to sell interests in Homestead to investors, and that the source of Homestead’s distributions to investors would originate or relate in some way to Homestead’s accrued net profits. Instead, Homestead did not sell interests through a broker-dealer and thus had no oversight or supervision of the offering from a broker-dealer. Homestead also had no accrued net profits, and thus paid investor distributions with money from investors’ capital contributions. Lastly, the complaint alleged that Tak sold unregistered securities, and that he was not associated with a registered broker-dealer for purposes of selling the Homestead offering.
Based on the above, the Order bars Tak from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any offering of penny stock, with the right to reapply for association after three years. Tak consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the Commission’s jurisdiction over him and the entry of the injunction, which he admitted. (Rel. 34-66147; IA-3350; File No. 3-14690)
SEC Charges Earl C. Arrowood and Parker H. “Pete” Petit with Insider Trading
The Securities and Exchange Commission announced that On January 9, 2012, the Securities and Exchange Commission filed a civil injunctive action against Earl C. Arrowood, a 67-year old resident of Gainesville, Georgia, and Parker H. “Pete” Petit, a 72-year old who maintains residences in both Miramar Beach, Florida and Roswell, Georgia. The Commission alleges insider trading by Arrowood based on material non-public information about the potential sale of Matria Healthcare, Inc. (“Matria”), formerly a NASDAQ-listed company, provided by his friend and flying partner, Petit. At that time, Petit was the Chairman and Chief Executive Officer of Matria.
The Commission alleges that Petit tipped Arrowood that Matria was seeking to be acquired in advance of Matria’s January 15, 2008 public announcement. Based on the tip, Arrowood purchased a total of over 17,500 common shares of Matria in October and December 2007 resulting in unrealized gains on the Matria trades in excess of $94,000, based on a 20 percent increase in Matria’s share price after the news was made public in January 2008.
The Commission’s complaint, filed in the United States District Court for the Northern District of Georgia, charges Arrowood and Petit with violating the antifraud provisions of the federal securities laws. The complaint alleges that that each violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks against each a permanent injunction, disgorgement with prejudgment interest and civil monetary penalties pursuant Section 21A of the Exchange Act; and as to Petit, an order barring him from acting as an officer or director of any issuer whose securities are registered with the Commission pursuant to Section 12 of the Exchange Act or which is required to file reports with the Commission pursuant to Section 15(d) of the Exchange Act.
The Commission would like to thank FINRA for its assistance in this matter. [SEC v. Earl C. Arrowood and Parker H. “Pete” Petit, Civil Action No. 1:12-cv-00082-RWSWilliam P. Hicks] (LR-22223)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2011-39) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 16. (Rel. 34-66129)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2011-42) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 16. (Rel. 34-66130)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-99) amending NYSE Arca Equities Rule 7.11, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the effective date of the pilot until July 31, 2012 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 16. (Rel. 34-66132)
A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-105) amending NYSE Amex Equities Rule 80C, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the effective date of the pilot until July 31, 2012 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 16. (Rel. 34-66133)
A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2011-68) amending NYSE Rule 80C, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the effective date of the pilot until July 31, 2012 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 16. (Rel. 34-66134)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-100) amending NYSE Arca Rule 7.10, which governs Clearly Erroneous Executions, to extend the effective date of the Pilot by which portions of such rule operate until July 31, 2012, 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 16. (Rel. 34-66135)
A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2011-69) amending NYSE Rule 128, which governs Clearly Erroneous Executions, to extend the effective date of the Pilot by which portions of such rule operate until July 31, 2012, 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 16. (Rel. 34-66136)
A proposed rule change filed by the NYSE Amex LLC (SR-NYSEAmex-2011-106) amending NYSE Amex Equities Rule 128, which governs Clearly Erroneous Executions, to extend the effective date of the Pilot by which portions of such rule operate until July 31, 2012, 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 16. (Rel. 34-66137)
A proposed rule change filed by the New York Stock Exchange LLC amending its price list to revise its schedule of rebates paid to Designated Market Makers for providing liquidity on the Exchange and to delete references to round and odd lot transactions (SR-NYSE-2011-70) 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 16. (Rel. 34-66138)
A proposed rule change filed by the Chicago Stock Exchange, Inc. to amend its fee schedule to assess fees for derivative securities products (SR-CHX-2012-01) 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 16. (Rel. 34-66139)
A proposed rule change submitted by NASDAQ OMX PHLX LLC relating to Qualified Contingent Cross Orders (SR-Phlx-2011-189) 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 16. (Rel. 34-66145)
Proposed Rule Change
C2 Options Exchange, Incorporated filed a proposed rule change (SR-C2-2011-043) pursuant to Section 19(b)(1) of the Securities Exchange Act, and Rule 19b-4 thereunder, relating to changes to Rule 6.51. Publication is expected in the Federal Register during the week of January 16. (Rel. 34-66131)
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-4 Epicor Software Corp, 18101 VON KARMAN AVENUE, SUITE 1600, IRVINE, CA, 92612, 949-585-4000 - 0 ($465,000,000.00) Non-Convertible Debt, (File 333-178959 - Jan. 11) (BR. 03) F-3ASR UBS AG, BAHNHOFSTRASSE 45, P O BOX CH 8001, ZURICH, V8, CH 8001, 203-719-5241 - 0 ($0.00) Other, (File 333-178960 - Jan. 11) (BR. 12A) S-4 GOODRICH PETROLEUM CORP, 801 LOUISIANA, SUITE 700, HOUSTON, TX, 77002, 7137809494 - 0 ($275,000,000.00) Non-Convertible Debt, (File 333-178967 - Jan. 11) (BR. 04B) S-3ASR STIFEL FINANCIAL CORP, ATTN: JAMES G. LASCHOBER, 501 N. BROADWAY, ST. LOUIS, MO, 63102-2102, 314-342-2000 - 0 ($0.00) Debt, (File 333-178969 - Jan. 11) (BR. 12A) S-8 ZION OIL & GAS INC, 6510 ABRAMS RD, SUITE 300, DALLAS, TX, 75231, 2142214610 - 4,000,000 ($10,100,000.00) Equity, (File 333-178970 - Jan. 11) (BR. 04A) S-8 COLDWATER CREEK INC, ONE COLDWATER CREEK DRIVE, SANDPOINT, ID, 83864, 2082632266 - 0 ($3,605,000.00) Equity, (File 333-178971 - Jan. 11) (BR. 09B) S-3 CURRENCYSHARES EURO TRUST, C/O RYDEX INVESTMENTS, 9601 BLACKWELL ROAD, SUITE 500, ROCKVILLE, MD, 20009, 301-296-5100 - 0 ($1,267,500,000.00) Equity, (File 333-178972 - Jan. 11) (BR. 08B) S-3ASR ASSOCIATED BANC-CORP, 1200 HANSEN ROAD, GREEN BAY, WI, 54304, 920-431-8836 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-178973 - Jan. 11) (BR. 07C)
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 99 CENTS ONLY STORES CA 2.02,9.01 01/11/12 AAR CORP DE 7.01 01/10/12 AbitibiBowater Inc. DE 5.02,9.01 01/05/12 ACCELERATED ACQUISITION XIV DE 1.01,5.01,5.02,9.01 12/28/11 ACCURIDE CORP DE 7.01,9.01 01/11/12 ACEM HOLDINGS, INC. NV 2.01,5.01,5.02,5.03 01/09/12 ACXIOM CORP DE 5.02 01/11/12 AeroVironment Inc DE 7.01,9.01 01/11/12 Affinion Group Holdings, Inc. DE 5.02 01/05/12 AGENT155 MEDIA CORP. NV 3.02 01/03/12 ALLSTATE CORP DE 8.01,9.01 01/09/12 ALTAIR NANOTECHNOLOGIES INC Z4 3.01,9.01 01/06/12 AMERICAN APPAREL, INC DE 8.01 01/09/12 AMERICAN AXLE & MANUFACTURING HOLDING DE 7.01 01/11/12 AMERICAN INTERNATIONAL GROUP INC DE 5.02 01/11/12 API Technologies Corp. DE 1.01,2.03,9.01 01/06/12 Apple REIT Eight, Inc. VA 8.01 01/11/12 Apple REIT Nine, Inc. VA 8.01 01/11/12 Apple REIT Seven, Inc. VA 8.01 01/11/12 APPLE REIT SIX INC 8.01 01/11/12 ARCH CAPITAL GROUP LTD. 2.02,9.01 01/11/12 Archipelago Learning, Inc. DE 5.02,8.01 01/01/12 ARENA PHARMACEUTICALS INC DE 1.01,3.02,9.01 01/10/12 ARTHROCARE CORP DE 5.02,9.01 01/06/12 ASSOCIATED BANC-CORP WI 5.02,9.01 01/05/12 Baby Fox International, Inc. NV 1.01 01/11/12 Bacterin International Holdings, Inc. DE 7.01,9.01 01/11/12 Behringer Harvard Opportunity REIT II MD 2.01,9.01 01/05/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 1.01,1.02,7.01,9.01 01/05/12 BioDrain Medical, Inc. MN 5.02 01/11/12 Blackstone Group L.P. DE 2.01,9.01 01/05/12 BORGWARNER INC DE 7.01 01/10/12 BROWN SHOE CO INC NY 7.01,9.01 01/11/12 CAMPBELL FUND TRUST DE 3.02 01/01/12 CareView Communications Inc NV 1.01,9.01 01/09/12 CASELLA WASTE SYSTEMS INC DE 8.01,9.01 01/11/12 CEDAR FAIR L P DE 5.02,9.01 01/05/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01 01/09/12 CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,9.01 01/09/12 CENTURY ALUMINUM CO DE 8.01,9.01 01/10/12 CHASE CORP MA 2.02,9.01 01/06/12 Chelsea Therapeutics International, L DE 8.01,9.01 01/11/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 1.01,2.03,8.01,9.01 01/06/12 CHEVRON CORP DE 2.02 01/11/12 China Executive Education Corp 5.02 12/31/11 COATES INTERNATIONAL LTD \DE\ DE 8.01,9.01 01/11/12 COCA-COLA ENTERPRISES, INC. DE 8.01 01/11/12 CommonWealth REIT MD 5.03,9.01 01/10/12 COMVERSE TECHNOLOGY INC/NY/ NY 8.01,9.01 01/11/12 CONCEPTUS INC DE 2.02,8.01,9.01 01/09/12 Copano Energy, L.L.C. 8.01,9.01 01/11/12 CorMedix Inc. DE 5.02 01/06/12 COVENANT TRANSPORTATION GROUP INC NV 5.02 01/10/12 CREDO PETROLEUM CORP DE 2.02,9.01 01/10/12 CrowdGather, Inc. NV 7.01,9.01 01/10/12 CSP INC /MA/ MA 4.02 01/11/12 AMEND CTI INDUSTRIES CORP DE 7.01,9.01 01/09/12 CTS CORP IN 1.01,2.03,9.01 01/11/12 CVB FINANCIAL CORP CA 8.01 01/07/12 CVD EQUIPMENT CORP NY 8.01,9.01 01/11/12 DATA I/O CORP WA 5.02,9.01 01/10/11 DecisionPoint Systems, Inc. DE 4.02 12/19/11 dELiAs, Inc. DE 7.01,9.01 01/11/12 DELTA APPAREL, INC GA 5.02 01/09/12 DELTA APPAREL, INC GA 2.02,7.01,9.01 01/10/12 DIGIRAD CORP DE 5.02 01/10/12 DOUBLE EAGLE PETROLEUM CO MD 5.02 01/05/12 EASYLINK SERVICES INTERNATIONAL CORP DE 5.07 01/05/12 EDIETS COM INC DE 7.01,9.01 01/11/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 7.01 01/11/12 ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 01/10/12 EQUITY RESIDENTIAL MD 8.01 01/06/12 Essex Rental Corp. DE 7.01,9.01 01/11/12 EXPRESS, INC. 7.01 01/11/12 FASTENAL CO MN 7.01,9.01 01/11/12 FLOWSERVE CORP NY 2.02,5.02,9.01 01/11/12 FOSSIL INC DE 1.01,8.01,9.01 01/09/12 FrogAds, Inc. NV 8.01,9.01 01/11/12 FS Investment CORP MD 2.02,9.01 01/10/12 FUQI INTERNATIONAL, INC. DE 5.02,9.01 01/03/12 AMEND General Moly, Inc DE 1.01 01/09/12 GENESIS GROUP HOLDINGS INC 1.01,3.02,5.03,9.01 01/11/12 GENTOR RESOURCES, INC. FL 7.01,8.01,9.01 07/19/11 GERON CORP DE 7.01,9.01 01/11/12 GETTY REALTY CORP /MD/ MD 8.01,9.01 01/10/12 GLOBAL NUTECH, INC. NV 7.01 01/07/12 GLOBALSCAPE INC DE 7.01,9.01 01/11/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/06/12 GRAY TELEVISION INC GA 5.02,9.01 01/11/12 GREENBRIER COMPANIES INC OR 5.05,5.07,8.01,9.01 01/06/12 Griffin Capital Net Lease REIT, Inc. 7.01,8.01,9.01 01/10/12 HALLIBURTON CO DE 5.02 01/10/12 HECLA MINING CO/DE/ DE 8.01,9.01 01/11/12 Helios & Matheson Information Technol DE 5.02 01/06/12 HELMERICH & PAYNE INC DE 5.02,9.01 01/10/12 Hill-Rom Holdings, Inc. IN 2.02,9.01 01/10/12 Hoku Corp DE 1.01,2.03,9.01 01/11/12 Hunt For Travel, Inc. NV 1.01,9.01 01/10/12 IGATE CORP PA 8.01,9.01 01/11/12 ILLUMINA INC DE 2.02,9.01 01/11/12 inContact, Inc. DE 2.02,9.01 01/11/12 INFORMATION ARCHITECTS CORP NC 5.02 01/10/12 Innophos Holdings, Inc. 8.01 01/11/12 Integrated Management Information, In 4.01,5.02,8.01,9.01 01/05/12 Interactive Intelligence Group, Inc. IN 5.02 01/05/12 INTERACTIVE SYSTEMS WORLDWIDE INC /DE DE 8.01 12/30/11 Iveda Solutions, Inc. NV 1.01,9.01 01/11/12 JAZZ PHARMACEUTICALS INC DE 2.02,9.01 01/05/12 JONES SODA CO WA 2.02,9.01 01/11/12 KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 01/10/12 KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 01/11/12 Kennedy-Wilson Holdings, Inc. DE 8.01 12/28/11 AMEND KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 01/10/12 KSW INC NY 5.03,9.01 01/05/12 Lake Shore Bancorp, Inc. X1 8.01 01/11/12 LAKELAND FINANCIAL CORP IN 7.01 01/10/12 LEAR CORP DE 8.01,9.01 01/11/12 Legend Oil & Gas, Ltd. CO 2.01,3.02,5.02,5.06, 10/20/11 AMEND 8.01,9.01 LENNAR CORP /NEW/ DE 2.02,9.01 01/11/12 LIFEPOINT HOSPITALS, INC. 8.01 12/15/11 AMEND Limoneira CO DE 1.01,2.03,9.01 01/06/12 Lotus Pharmaceuticals, Inc. NV 5.02 01/03/12 LRAD Corp DE 2.02,9.01 01/11/12 Macy's, Inc. DE 8.01,9.01 01/10/12 MAGNETEK, INC. DE 1.01 01/09/12 Main Street Capital CORP MD 8.01,9.01 01/09/12 Marathon Petroleum Corp DE 2.02,9.01 01/10/12 MedQuist Holdings Inc. DE 7.01,9.01 01/11/12 MEDTRONIC INC MN 5.02 01/05/12 MELA SCIENCES, INC. /NY 1.01,9.01 01/11/12 MENTOR GRAPHICS CORP OR 8.01,9.01 01/10/12 Mesa Energy Holdings, Inc. DE 9.01 07/22/11 AMEND MGM Resorts International DE 8.01,9.01 01/11/12 MGM Resorts International DE 8.01,9.01 01/11/12 Mid-Con Energy Partners, LP DE 7.01,9.01 01/09/12 MINDSPEED TECHNOLOGIES, INC DE 1.01,3.02,9.01 01/05/12 MOMENTA PHARMACEUTICALS INC DE 5.02 01/05/12 Monster Beverage Corp DE 8.01,9.01 01/11/12 Monza Ventures Inc. NV 5.02 12/22/11 AMEND MOSAIC CO 2.02,9.01 01/05/12 MULTI FINELINE ELECTRONIX INC 2.02,9.01 01/11/12 MULTIBAND CORP MN 7.01,9.01 01/09/12 NATIONAL HOLDINGS CORP DE 5.02 01/05/12 NEKTAR THERAPEUTICS DE 8.01 01/11/12 NEOGENOMICS INC NV 1.01,5.02,9.01 01/06/12 NeoStem, Inc. DE 8.01,9.01 01/10/12 NEW JERSEY RESOURCES CORP NJ 7.01,9.01 01/11/12 NEW YORK TIMES CO NY 2.01,9.01 01/06/12 NORTH CENTRAL BANCSHARES INC IA 8.01,9.01 01/11/12 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 01/11/12 NORTHWESTERN CORP DE 7.01,9.01 01/11/12 Novo Energies Corp FL 1.01 01/11/12 NUVASIVE INC DE 2.02,9.01 01/11/12 ORIGINOIL INC NV 2.03,3.02,8.01 01/05/12 OVERLAND STORAGE INC CA 2.02,9.01 01/11/12 OXYGEN BIOTHERAPEUTICS, INC. DE 8.01 01/11/12 Panache Beverage, Inc. 9.01 08/19/11 AMEND PARKWAY PROPERTIES INC MD 2.01 01/11/12 PAXTON ENERGY INC NV 1.01,2.03,3.02,9.01 12/19/11 PC TEL INC DE 1.01 12/31/11 AMEND PEOPLES EDUCATIONAL HOLDINGS MN 3.01 01/09/12 PHH CORP MD 1.01,8.01,9.01 01/10/12 PIONEER NATURAL RESOURCES CO DE 7.01 01/11/12 PIPER JAFFRAY COMPANIES DE 5.02,9.01 01/09/12 PREMIER EXHIBITIONS, INC. FL 2.02,9.01 01/11/12 PROFESSIONAL VETERINARY PRODUCTS LTD NE 7.01,9.01 01/09/12 PVH CORP. /DE/ DE 7.01,9.01 01/11/12 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 12/01/11 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 01/05/12 Rackwise, Inc. NV 8.01 01/04/12 RAMTRON INTERNATIONAL CORP DE 8.01,9.01 01/11/12 Rand Logistics, Inc. DE 7.01,9.01 01/11/12 REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 01/11/12 REVA Medical, Inc. DE 7.01,9.01 01/11/12 ROBBINS & MYERS, INC. OH 5.02,5.07,9.01 01/05/12 Rock Energy Resources, Inc. DE 7.01,9.01 01/11/12 Rockwood Holdings, Inc. DE 7.01,9.01 01/11/12 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,9.01 01/10/12 ROLLINS INC DE 8.01,9.01 01/11/12 ROSETTA STONE INC 5.02,9.01 01/09/12 RTI INTERNATIONAL METALS INC OH 1.01,9.01 01/09/12 rue21, inc. DE 7.01,9.01 01/11/12 SemiLEDs Corp 2.02,9.01 01/11/12 SEQUENOM INC DE 8.01 01/06/12 SIGNATURE GROUP HOLDINGS, INC. NV 8.01 01/06/12 SITEL Worldwide Corp DE 5.02,9.01 01/10/12 SLM CORP DE 4.01 01/05/12 SMTC CORP DE 1.01,3.03,5.03,8.01, 01/04/12 9.01 SMUCKER J M CO OH 5.05 01/05/12 SOLTA MEDICAL INC DE 9.01 11/01/11 AMEND SPX CORP DE 5.02 01/06/12 STANDEX INTERNATIONAL CORP/DE/ DE 1.01,1.02,2.03,9.01 01/05/12 State Auto Financial CORP OH 1.01,9.01 01/05/12 STEEL DYNAMICS INC IN 8.01,9.01 01/11/12 SUN COMMUNITIES INC MD 1.01,8.01,9.01 01/10/12 Super Micro Computer, Inc. CA 2.02,9.01 01/10/12 Superior Venture Corp NV 5.02 01/10/12 SUPERVALU INC DE 2.02,9.01 01/11/12 SURGE COMPONENTS INC NY 5.03,9.01 08/31/10 AMEND SUSQUEHANNA BANCSHARES INC PA 8.01 01/11/12 SWISSINSO HOLDING INC. DE 1.01,5.01,5.02,9.01 11/25/11 SYCAMORE NETWORKS INC DE 5.07 01/10/12 SYNTA PHARMACEUTICALS CORP 8.01,9.01 01/11/12 TARGET CORP MN 5.02,9.01 01/11/12 Team Nation Holdings CORP 1.01,2.01,5.02,5.03 01/05/12 Teavana Holdings Inc 7.01,9.01 01/11/12 Teliphone Corp NV 5.02 01/11/12 Terreno Realty Corp MD 8.01,9.01 01/10/12 TESORO CORP /NEW/ DE 8.01,9.01 01/10/12 THERMOENERGY CORP DE 1.01,3.02 01/10/12 TRACTOR SUPPLY CO /DE/ DE 2.02,7.01,9.01 01/11/12 Transcept Pharmaceuticals Inc DE 7.01 01/06/12 AMEND ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 01/11/12 UMB FINANCIAL CORP MO 7.01,9.01 01/11/12 UNICO INC /AZ/ AZ 5.02 01/05/12 UNIVERSAL AMERICAN CORP. DE 8.01,9.01 01/11/12 Universal Bioenergy, Inc. 8.01,9.01 01/11/12 VALIDUS HOLDINGS LTD 2.02,9.01 01/11/12 VCA ANTECH INC DE 8.01,9.01 01/11/12 Verisk Analytics, Inc. DE 8.01 01/11/12 VIRGIN MEDIA INC. DE 8.01,9.01 01/11/12 VISTEON CORP DE 2.02,7.01,9.01 01/11/12 VLOV INC. NV 8.01,9.01 01/11/12 VOLITIONRX LTD DE 1.01,2.01,3.02,5.01, 10/06/11 AMEND 5.02,5.03,5.06,9.01 VOXX International Corp DE 2.02,8.01 01/09/12 WAYNE SAVINGS BANCSHARES INC /DE/ DE 5.02,9.01 01/10/12 WELLS FARGO & CO/MN DE 5.03,9.01 01/10/12 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 01/11/12 WEYERHAEUSER CO WA 1.01,9.01 12/08/11 WIDEPOINT CORP DE 7.01,9.01 01/05/12 Zalicus Inc. DE 1.01,9.01 01/10/12 ZIOPHARM ONCOLOGY INC DE 7.01,9.01 01/11/12