Securities and Exchange Commission Suspends Trading in the Securities of Four Issuers For Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on February 24, 2012 and terminating at 11:59 p.m. EST on March 8, 2012.
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66455)
SEC Charges Three Oil Services Executives With Bribing Customs Officials in Nigeria
The Securities and Exchange Commission today charged three oil services executives with violating the Foreign Corrupt Practices Act (FCPA) by participating in a bribery scheme to obtain illicit permits for oil rigs in Nigeria in order to retain business under lucrative drilling contracts.
The SEC alleges that former Noble Corporation CEO Mark A. Jackson along with James J. Ruehlen, who is the current Director and Division Manager of Noble’s subsidiary in Nigeria, bribed customs officials to process false paperwork purporting to show the export and re-import of oil rigs, when in fact the rigs never moved. The scheme was designed to save Noble Corporation from losing business and incurring significant costs associated with exporting rigs from Nigeria and then re-importing them under new permits. Bribes were paid through a customs agent for Noble’s Nigerian subsidiary with Jackson and Ruehlen’s approval.
The SEC separately charged Thomas F. O’Rourke, who was a former controller and head of internal audit at Noble. The SEC alleges that O’Rourke helped approve the bribe payments and allowed the bribes to be booked improperly as legitimate operating expenses for the company. O’Rourke agreed to settle the SEC’s charges and pay a penalty.
“These executives knowingly authorized and paid foreign officials to process false documents, and they consciously concealed the scheme from Noble’s audit committee,” said Gerald Hodgkins, Associate Director in the SEC’s Division of Enforcement. “When executives bribe government officials overseas, their misconduct puts their companies in legal peril and damages the integrity of foreign markets and the reputation of U.S. companies abroad.”
Noble Corporation was charged with FCPA violations as part of a sweep of the oil services industry in late 2010. The company cooperated with investigators and agreed to pay more than $8 million to settle civil and criminal cases.
According to the SEC’s complaint against Jackson and Ruehlen filed in U.S. District Court for the Southern District of Texas, the executives who perpetrated the scheme worked at Noble Corporation and its Nigerian subsidiary Noble Drilling (Nigeria) Ltd, whose rigs operated in Nigeria on the basis of temporary import permits granted by the Nigeria Customs Service (NCS). These temporary permits allowed the rigs to be in the country for a one-year period. NCS had the discretion to grant up to three extensions lasting six months each, after which the rigs were required to be exported and re-imported under a new temporary permit or be permanently imported with the payment of sizeable duties.
The SEC alleges that Jackson and Ruehlen had a role in arranging, facilitating, approving, making, or concealing the bribe payments to induce Nigerian customs officials to grant new temporary permits illegally and favorably exercise or abuse their discretion to grant permit extensions. Together, Jackson and Ruehlen participated in paying hundreds of thousands of dollars in bribes to obtain about 11 illicit permits and 29 permit extensions. Jackson approved the bribe payments and concealed the payments from Noble’s audit committee and auditors. Ruehlen prepared false documents, sought approval for the bribes, and processed and paid the bribes.
The SEC’s complaint against Jackson and Ruehlen alleges they directly violated the anti-bribery provisions of Section 30A of the Securities Exchange Act and the internal controls and false records provisions at Section 13(b)(5) and Rule 13b2-1 of the Exchange Act. The complaint alleges that they aided and abetted Noble’s violations of Section 30A and the books and records and internal controls provisions at Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. The complaint further alleges that Jackson directly violated Exchange Act Rule 13b2-2 by misleading auditors and Exchange Act Rule 13a-14 by signing false certifications of Noble’s financial statements. He also is liable as a control person under Section 20(a) of the Exchange Act for violations of the anti-bribery, books and records, and internal controls provisions by Noble, Ruehlen, and O’Rourke.
The SEC’s complaint against O’Rourke alleges that he aided and abetted Noble’s violations of the anti-bribery, books and records, and internal controls provisions of the Exchange Act, and that he directly violated the internal controls and false records provisions of the Exchange Act. Without admitting or denying the SEC’s allegations, O’Rourke consented to entry of a court order requiring him to pay a $35,000 penalty and permanently enjoining him from further violations of Sections 13(b)(2)(A), 13(b)(2)(B), 13(b)(5) and 30A of the Exchange Act and Rule 13b2-1.
The SEC’s investigation was conducted by Moira T. Roberts, Sharan K.S. Custer, and Colin Rand, and the litigation effort will be led by Kenneth W. Donnelly. The SEC acknowledges the assistance of the U.S. Department of Justice, Fraud Section, and the Federal Bureau of Investigation. (Press Rel. 2012-32)
Closed Meeting on Thursday, March 1, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, March 1, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
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.
In the Matter of Jon Edward Hankins
On February 23, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Jon Edward Hankins (Hankins). The Order finds that, from October 2009 through April 2010, Hankins raised and attempted to raise investment funds from investors based on false statements of material fact. Hankins represented, among other things, that he, through an entity he controlled, managed over $100 million in assets. In fact, Hankins engaged in little, if any, substantial investment operations, and was not managing a multi-million dollar investment fund. On June 13, 2011, Hankins plead guilty to three counts of wire fraud in violation of Title 18 United States Code, Sections 1343 and 2 and on November 22, 2011, Hankins was sentenced to forty (40) months in prison. (United States of America v. Jon Edward Hankins, No. 1:10-CR-432(N.D. Ga. (2010)). Based on the above, the Order bars Hankins from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization. Hankins consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. IA-3375; File No. 3-14769)
Commission Orders Hearings on Registration Suspension or Revocation Against Four Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In the Matter of American United Gold Corporation, et al., Administrative Proceeding File No. 3-14770
In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66456; File No. 3-14770)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Tornado Gold International Corp., Twin Faces East Entertainment Corp., US Farms, Inc., and US Microbics, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66457; File No. 3-14712)
Orders of Deregistration Under The Investment Company Act of 1940
Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC to modify certain external and inter-cabinet connectivity fees (SR-Phlx-2012-16) 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 February 27. (Rel. 34-66438)
A proposed rule change filed by The NASDAQ Stock Market LLC to modify certain external and inter-cabinet connectivity fees (SR-NASDAQ-2012-025) 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 February 27. (Rel. 34-66439)
A proposed rule change filed by NASDAQ OMX BX, Inc. to modify certain external and inter-cabinet connectivity fees (SR-BX-2012-010) 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 February 27. (Rel. 34-66440)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to correct rule numbering errors (SR-CBOE-2012-018) 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 February 27. (Rel. 34-66449)
A proposed rule change filed by NYSE Amex LLC correcting the formatting of a recently adopted NYSE Amex Rule (SR-NYSEAmex-2012-14) 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 February 27. (Rel. 34-66450)
A proposed rule change (SR-NYSEARCA-2012-15) filed by NYSE Arca, Inc. amending registration requirements for traders and removing obsolete references to paper registration submissions 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 February 27. (Rel. 34-66452)
A proposed rule change (SR-NYSEAMEX-2012-11) filed by NYSE Amex LLC amending registration requirements for traders 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 February 27. (Rel. 34-66453)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-FINRA-2011-073) submitted by the Financial Industry Regulatory Authority, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to establishing a Governmental Accounting Standards Board accounting support fee. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66454)
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 BENBOW HOLDING INC., 4790 CAUGHLIN PKWY, RENO, NV, 89519, 775-851-7397 - 2,060,200 ($41,204.00) Equity, (File 333-179633 - Feb. 23) (BR. ) S-3 SANGAMO BIOSCIENCES INC, 501 CANAL BLVD, POINT RICHMOND TECH CNTR., RICHMOND, CA, 94804, 5109706000 - 0 ($78,190,000.00) Other, (File 333-179634 - Feb. 23) (BR. 01A) S-8 SANGAMO BIOSCIENCES INC, 501 CANAL BLVD, POINT RICHMOND TECH CNTR., RICHMOND, CA, 94804, 5109706000 - 1,636,644 ($8,657,846.76) Equity, (File 333-179635 - Feb. 23) (BR. 01A) F-3 Diana Containerships Inc., PENDELIS 16, 17564 PALAIO FALIRO, ATHENS, J3, 17564, 302109470100 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-179636 - Feb. 23) (BR. 05A) S-1 DARA BioSciences, Inc., 8601 SIX FORKS ROAD SUITE 160, RALEIGH, NC, 27615, 919-861-0202 - 0 ($10,000,000.00) Unallocated (Universal) Shelf, (File 333-179637 - Feb. 23) (BR. 01B) S-8 COMCAST CORP, 0 ($500,000,000.00) Equity, (File 333-179638 - Feb. 23) (BR. 11C) S-3ASR BALL CORP, 10 LONGS PEAK DRIVE, BROOMFIELD, CO, 80021-2510, 3034695511 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179639 - Feb. 23) (BR. 06A) S-1 GRANT PARK FUTURES FUND LIMITED PARTNERSHIP, C/O DEARBORN CAPITAL MANAGEMENT, LLC, 626 WEST JACKSON BLVD, SUITE 600, CHICAGO, IL, 60661, 312-756-4450 - 0 ($200,000,000.00) Limited Partnership Interests, (File 333-179641 - Feb. 23) (BR. 08B) S-8 Spansion Inc., 915 DEGUIGNE DRIVE, P.O. BOX 3453, SUNNYVALE, CA, 94088, (408) 962-2500 - 3,560,245 ($45,998,365.40) Equity, (File 333-179642 - Feb. 23) (BR. 10C) S-8 BARNES GROUP INC, 123 MAIN ST, BRISTOL, CT, 06010, 8605837070 - 2,000,000 ($52,650,000.00) Equity, (File 333-179643 - Feb. 23) (BR. 06C) S-8 SANDISK CORP, 601 MCCARTHY BLVD., MILPITAS, CA, 95035, 408-801-1000 - 120,677 ($5,729,743.96) Equity, (File 333-179644 - Feb. 23) (BR. 03B) S-3D NORTHSTAR REALTY FINANCE CORP., 399 PARK AVENUE,, 18TH FLOOR, NEW YORK, NY, 10022, 212-547-2640 - 0 ($77,825,161.00) Equity, (File 333-179646 - Feb. 23) (BR. 08B) S-11 American Capital Mortgage Investment Corp., 2 BETHESDA METRO CENTER, 14TH FLOOR, BETHESDA, MD, 20814, 301-951-6122 - 0 ($217,000,000.00) Equity, (File 333-179647 - Feb. 23) (BR. 08C) S-3ASR Colfax CORP, 8170 MAPLE LAWN BLVD, SUITE 180, FULTON, MD, 20759, (301) 323-9000 - 0 ($0.00) Other, (File 333-179650 - Feb. 23) (BR. 10A) S-8 Proto Labs Inc, 5540 Pioneer Creek, Maple Plain, MN, 55359, 763-479-7474 - 0 ($102,954,680.00) Other, (File 333-179651 - Feb. 23) (BR. 06A) S-8 CITRIX SYSTEMS INC, 851 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL, 33309, 954-267-3000 - 744,398 ($26,088,805.28) Equity, (File 333-179653 - Feb. 23) (BR. 03A)
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 3D SYSTEMS CORP DE 2.02,7.01,9.01 02/23/12 ACTIVE NETWORK INC DE 2.02,9.01 02/23/12 ACTIVE POWER INC DE 1.01,5.02,7.01,9.01 02/23/12 ALLEGHANY CORP /DE DE 2.02,9.01 02/23/12 ALLIANCE BANKSHARES CORP 2.02,9.01 02/17/12 ALLIANCE DATA SYSTEMS CORP DE 5.02,9.01 02/21/12 Ally Wholesale Enterprises LLC DE 1.01,8.01,9.01 02/22/12 ALTAIR NANOTECHNOLOGIES INC Z4 5.07 02/21/12 ALTERNATE ENERGY HOLDINGS, INC. NV 5.02,9.01 02/20/12 Altisource Portfolio Solutions S.A. N4 5.02,9.01 02/22/12 AMEREN CORP MO 2.02,8.01,9.01 02/23/12 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02 02/22/12 AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 02/23/12 AMERICAN NATIONAL INSURANCE CO /TX/ TX 5.02 02/22/12 American Railcar Industries, Inc. ND 2.02,9.01 02/22/12 American Sands Energy Corp. DE 1.01,5.02,5.03,9.01 02/16/12 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 02/23/12 AMSURG CORP TN 2.02,7.01,9.01 12/31/11 ANALYSTS INTERNATIONAL CORP 2.02,9.01 02/23/12 ANSYS INC DE 2.02,9.01 02/23/12 APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 02/23/12 APPLETON PAPERS INC/WI 1.01,2.05,7.01,9.01 02/20/12 ARKANSAS BEST CORP /DE/ DE 5.02,9.01 02/17/12 ARKANSAS BEST CORP /DE/ DE 5.02,9.01 02/17/12 ARROWHEAD RESEARCH CORP DE 5.02,5.07 02/16/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/23/12 Atlantic Coast Financial CORP MD 2.02,9.01 02/23/12 ATRION CORP DE 5.03,9.01 02/20/12 ATRION CORP DE 5.07 05/26/11 AMEND AUTODESK INC DE 2.02,9.01 02/23/12 AUXILIUM PHARMACEUTICALS INC 1.01,7.01,9.01 02/22/12 AUXILIUM PHARMACEUTICALS INC 2.02,7.01,9.01 02/23/12 AVALONBAY COMMUNITIES INC MD 7.01,9.01 02/16/12 AXT INC DE 2.02,9.01 02/23/12 Behringer Harvard Opportunity REIT II MD 9.01 12/12/11 AMEND BERRY PETROLEUM CO DE 2.02,9.01 02/23/12 BILL BARRETT CORP DE 2.02,7.01,9.01 02/23/12 BIO RAD LABORATORIES INC DE 2.02,9.01 02/23/12 BIOCANCELL THERAPEUTICS INC. 2.02,8.01 02/22/12 BJs RESTAURANTS INC CA 1.01,1.02,2.03 02/17/12 Black Diamond, Inc. DE 1.01,8.01,9.01 02/16/12 Black Raven Energy, Inc. NV 2.01,9.01 02/23/12 AMEND BODY CENTRAL CORP 5.02 02/16/12 Bohai Pharmaceuticals Group, Inc. NV 5.02,9.01 02/19/12 BSQUARE CORP /WA WA 2.02,9.01 02/23/12 BUILD A BEAR WORKSHOP INC DE 8.01 02/21/12 Calumet Specialty Products Partners, DE 8.01 02/21/12 Cape Bancorp, Inc. MD 5.02,8.01,9.01 02/20/12 CAPSTEAD MORTGAGE CORP MD 1.01,8.01,9.01 02/21/12 Carbonite Inc DE 7.01,9.01 02/22/12 CARROLLTON BANCORP MD 5.02 02/17/12 CC Media Holdings Inc 5.02,9.01 02/16/12 CEC ENTERTAINMENT INC KS 2.02,8.01,9.01 02/21/12 Celldex Therapeutics, Inc. DE 8.01 02/23/12 CENTURY ALUMINUM CO DE 2.02,9.01 02/23/12 CHARLES & COLVARD LTD NC 2.02,9.01 02/23/12 Chatham Lodging Trust MD 2.02,9.01 02/22/12 CHECKPOINT SYSTEMS INC PA 1.01,9.01 02/17/12 CHECKPOINT SYSTEMS INC PA 2.02 02/23/12 CHICAGO BRIDGE & IRON CO N V 2.02,9.01 02/23/12 China TransInfo Technology Corp. NV 8.01,9.01 02/23/12 CHOICE HOTELS INTERNATIONAL INC /DE DE 5.02 02/20/12 CIBER INC DE 2.02,5.02,9.01 02/20/12 CIRCOR INTERNATIONAL INC DE 2.02,9.01 02/23/12 Citizens Community Bancorp Inc. MD 7.01,9.01 02/23/12 Cleantech Solutions International, In DE 5.03,5.07,7.01,9.01 02/21/12 CLEAR CHANNEL COMMUNICATIONS INC TX 5.02,9.01 02/16/12 Clear Channel Outdoor Holdings, Inc. DE 5.02,9.01 02/16/12 CMS ENERGY CORP MI 2.02,9.01 02/23/12 CNO Financial Group, Inc. DE 2.02,9.01 02/23/12 COEUR D ALENE MINES CORP ID 2.02,9.01 02/23/12 CommonWealth REIT MD 2.02,9.01 02/23/12 CONCEPTUS INC DE 2.02,7.01,9.01 02/23/12 CONCHO RESOURCES INC DE 2.02,9.01 02/22/12 Consolidated Communications Holdings, DE 1.01,2.03,9.01 02/17/12 CONVENIENTCAST INC. NV 4.01,7.01 12/27/11 AMEND CoreSite Realty Corp MD 2.02,9.01 02/23/12 CORONADO BIOSCIENCES INC DE 5.02,9.01 02/21/12 COSTAR GROUP INC DE 1.01,2.02,2.03,9.01 02/16/12 COSTAR GROUP INC DE 5.02 02/21/12 CRA INTERNATIONAL, INC. MA 8.01,9.01 02/22/12 CREDITRISKMONITOR COM INC NV 2.02,9.01 02/23/12 CREDO PETROLEUM CORP DE 1.01,2.03,9.01 02/16/12 CreXus Investment Corp. MD 2.02,9.01 02/23/12 Crocs, Inc. 2.02,9.01 02/23/12 CROSS A T CO RI 2.02 02/22/12 CROWN DYNAMICS CORP DE 3.02,5.02 02/23/12 CUMULUS MEDIA INC DE 5.02 02/16/12 CVB FINANCIAL CORP CA 7.01,8.01,9.01 02/22/12 DARDEN RESTAURANTS INC FL 7.01,9.01 02/23/12 DECKERS OUTDOOR CORP DE 2.02,8.01,9.01 02/23/12 DENBURY RESOURCES INC DE 2.02,9.01 02/23/12 DEPOMED INC CA 1.01 02/22/12 DEXCOM INC 2.02,9.01 02/23/12 Digimarc CORP OR 2.02,9.01 02/23/12 Discover Card Execution Note Trust DE 8.01 02/23/12 Domtar CORP DE 8.01,9.01 02/23/12 DOT HILL SYSTEMS CORP DE 5.02,9.01 02/20/12 DREW INDUSTRIES INC DE 8.01,9.01 02/22/12 DYNAMIC MATERIALS CORP DE 2.02,9.01 02/23/12 DYNAMICS RESEARCH CORP MA 2.02,9.01 02/22/12 DYNEX CAPITAL INC VA 2.02,9.01 02/21/12 EAGLE ROCK ENERGY PARTNERS L P DE 2.02,7.01,9.01 02/22/12 EchoStar CORP NV 2.02,9.01 02/23/12 ECOLAB INC DE 5.02,9.01 02/23/12 Education Realty Trust, Inc. MD 2.02,7.01,9.01 02/23/12 ELLIE MAE INC DE 2.02,9.01 02/23/12 EMCOR GROUP INC DE 2.02,9.01 02/23/12 EMMAUS LIFE SCIENCES, INC. DE 4.02,9.01 02/16/12 Energy Future Holdings Corp /TX/ TX 8.01,9.01 02/23/12 ENNIS, INC. TX 1.01,2.03,9.01 02/23/12 Ensco plc 2.02,9.01 02/22/12 ENTERTAINMENT PROPERTIES TRUST MD 2.02,8.01,9.01 02/23/12 ENTREMED INC DE 5.02 02/17/12 ENVESTNET, INC. DE 2.02,7.01,9.01 02/23/12 EQUINIX INC DE 5.02,5.03,8.01,9.01 02/17/12 EQUITY ONE, INC. 2.02,7.01,9.01 02/22/12 Eureka Financial Corp. 8.01,9.01 02/22/12 EVANS BANCORP INC NY 7.01 02/21/12 EXACT SCIENCES CORP DE 2.02,9.01 02/23/12 EXTERRAN HOLDINGS INC. DE 2.02 02/23/12 EXTERRAN HOLDINGS INC. DE 5.02 02/22/12 EXTERRAN PARTNERS, L.P. DE 2.02 02/23/12 EXTERRAN PARTNERS, L.P. DE 5.02,8.01,9.01 02/21/12 EXXON MOBIL CORP NJ 2.02,7.01 02/23/12 Federal Home Loan Bank of Atlanta X1 2.03 02/23/12 Federal Home Loan Bank of Boston X1 2.03 02/16/12 Federal Home Loan Bank of Chicago X1 2.03 02/21/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/21/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/23/12 Federal Home Loan Bank of New York X1 2.03,9.01 02/17/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/17/12 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 02/22/12 Federal Home Loan Bank of San Francis X1 2.03 02/21/12 Federal Home Loan Bank of Topeka 2.03,9.01 02/21/12 First American Financial Corp DE 2.02,9.01 02/23/12 FIRST FINANCIAL CORP /IN/ IN 5.02,9.01 12/01/11 FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,9.01 02/22/12 FIRST SOLAR, INC. DE 8.01 02/23/12 FOSTER L B CO PA 2.02,9.01 02/23/12 FOSTER WHEELER AG V8 2.02,9.01 02/23/12 Franklin Financial Corp VA 5.02,5.07 02/21/12 FSP GALLERIA NORTH CORP 1.01,9.01 02/16/12 Fuse Science, Inc. NV 5.02 02/15/12 AMEND GAP INC DE 2.02,7.01,9.01 02/23/12 GENERAL EMPLOYMENT ENTERPRISES INC IL 5.07 02/20/12 General Maritime Corp / MI 1.01,2.03,9.01 02/15/12 GLOBAL GOLD CORP DE 1.01,9.01 02/18/12 GOLDEN STAR RESOURCES LTD 2.02,9.01 02/22/12 GOODRICH PETROLEUM CORP DE 2.02,9.01 02/22/12 GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 02/23/12 GRANITE CONSTRUCTION INC DE 2.02,9.01 02/22/12 GRAPHIC PACKAGING HOLDING CO DE 2.02,9.01 02/23/12 GRAPHIC PACKAGING HOLDING CO DE 5.02 02/17/12 GREATBATCH, INC. DE 2.02,9.01 02/23/12 Greenwood Gold Resources, Inc. NV 5.02 02/15/12 GULFMARK OFFSHORE INC DE 2.02,9.01 02/22/12 GULFPORT ENERGY CORP DE 2.02,9.01 02/23/12 HACKETT GROUP, INC. FL 1.01,2.03,9.01 02/21/12 HANCOCK HOLDING CO MS 2.02,7.01,9.01 10/24/11 HANCOCK HOLDING CO MS 8.01 02/22/12 HEALTHSOUTH CORP DE 2.02,7.01,9.01 02/23/12 HELIX BIOMEDIX INC DE 1.01,5.02 02/16/12 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 02/22/12 HERCULES OFFSHORE, INC. DE 7.01,9.01 02/23/12 Heritage Financial Group Inc MD 8.01,9.01 02/22/12 Heritage-Crystal Clean, Inc. DE 2.02,9.01 02/22/12 Honda Auto Receivables 2012-1 Owner T DE 8.01,9.01 02/23/12 Honda Auto Receivables 2012-1 Owner T DE 1.01,9.01 02/23/12 HONEYWELL INTERNATIONAL INC DE 5.02 02/16/12 HORMEL FOODS CORP /DE/ DE 2.02,9.01 02/23/12 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 02/22/12 HSN, Inc. DE 2.02,7.01,9.01 02/23/12 HUDSON HIGHLAND GROUP INC DE 2.02,9.01 02/23/12 HYBRID Coating Technologies Inc. 1.01,2.03,3.02,9.01 02/23/12 ICG GROUP, INC. DE 2.02,9.01 02/23/12 IDENIX PHARMACEUTICALS INC DE 2.02,8.01,9.01 02/23/12 ILLINOIS TOOL WORKS INC DE 8.01 02/23/12 IMAX CORP A6 2.02,9.01 02/23/12 IMPERIAL OIL LTD 5.02,9.01 02/23/12 INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 02/23/12 Intellicell Biosciences, Inc. NV 1.01,3.02,9.01 02/15/12 InterDigital, Inc. PA 2.02,9.01 02/23/12 INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 02/23/12 INTERNATIONAL LEASE FINANCE CORP CA 1.01,1.02,2.03,7.01, 02/23/12 9.01 INTERNATIONAL SHIPHOLDING CORP DE 1.01,2.03,9.01 02/22/12 INTRICON CORP PA 2.02,7.01,9.01 02/23/12 INVESTORS TITLE CO NC 2.02,9.01 02/23/12 IRON MOUNTAIN INC DE 2.02,9.01 02/23/12 ISLE OF CAPRI CASINOS INC DE 2.02,9.01 02/23/12 ISTA PHARMACEUTICALS INC DE 2.02,9.01 02/23/12 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 02/23/12 JACOBS ENGINEERING GROUP INC /DE/ DE 5.02 02/21/12 JOURNAL COMMUNICATIONS INC 2.02,9.01 02/23/12 KADANT INC DE 2.02,9.01 02/22/12 KADANT INC DE 2.02,9.01 02/23/12 KBR, INC. DE 2.02,9.01 02/22/12 KBW, INC. 2.02,5.02,7.01,9.01 02/21/12 KELLOGG CO DE 5.02,9.01 02/17/12 KINDRED HEALTHCARE, INC DE 5.02 02/22/12 KOHLS Corp WI 2.02,7.01,8.01,9.01 02/23/12 KOPIN CORP DE 5.02 02/22/12 Kosmos Energy Ltd. D0 1.01,2.03 02/17/12 KVH INDUSTRIES INC \DE\ DE 5.02,9.01 02/23/12 LA JOLLA PHARMACEUTICAL CO DE 5.03,9.01 02/17/12 LATTICE SEMICONDUCTOR CORP DE 9.01 02/23/12 AMEND LEAR CORP DE 5.02,9.01 02/16/12 Legend Oil & Gas, Ltd. CO 2.01,3.02,5.02,5.06, 10/20/11 AMEND 8.01,9.01 LEHMAN ABS CORP BCKD TR CRTS GDYR TR DE 8.01,9.01 02/15/12 LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 02/15/12 LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 02/15/12 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/12 Liberator, Inc. FL 8.01,9.01 01/23/12 Liberty Global, Inc. DE 2.02,7.01 02/23/12 Liberty Global, Inc. DE 2.02,7.01 02/23/12 Liberty Global, Inc. DE 2.02,7.01 02/23/12 Liberty Global, Inc. DE 2.03 02/23/12 LINN ENERGY, LLC DE 2.02,9.01 02/23/12 LINN ENERGY, LLC DE 8.01,9.01 02/23/12 Live Nation Entertainment, Inc. DE 2.02,9.01 02/23/12 LKQ CORP DE 2.02,9.01 02/23/12 LORILLARD, INC. DE 7.01,9.01 02/23/12 Loto Inc. NV 5.02,5.03 02/01/12 LTX-CREDENCE CORP MA 2.02,9.01 02/23/12 Macquarie Infrastructure CO LLC DE 2.02,9.01 02/22/12 MACROSOLVE INC OK 2.02,7.01,9.01 02/23/12 Maiden Holdings, Ltd. D0 2.02,8.01,9.01 02/22/12 MARINEMAX INC DE 5.07 02/21/12 MARKETAXESS HOLDINGS INC 1.01,8.01,9.01 02/22/12 MARLIN BUSINESS SERVICES CORP 2.02,9.01 02/23/12 MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 02/23/12 MEDALLION FINANCIAL CORP DE 5.02 02/16/12 MEDASSETS INC DE 2.02,9.01 02/23/12 Medley Capital Corp DE 5.07,8.01,9.01 02/17/12 MERCADOLIBRE INC 8.01 02/23/12 MERCADOLIBRE INC 2.02,7.01,9.01 02/23/12 Merilus, Inc. NV 3.02 02/21/12 MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 02/23/12 METROPCS COMMUNICATIONS INC DE 2.02,9.01 02/23/12 MICROELECTRONICS TECHNOLOGY Co NV 4.01,9.01 02/02/12 AMEND MITEK SYSTEMS INC DE 5.07 02/22/12 MOHAWK INDUSTRIES INC DE 2.02,9.01 02/23/12 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/23/12 MOLINA HEALTHCARE INC DE 2.02,9.01 02/23/12 Molycorp, Inc. DE 2.02,9.01 02/23/12 MONARCH CASINO & RESORT INC NV 2.02,9.01 02/23/12 Monster Beverage Corp DE 2.02,9.01 02/23/12 MORGANS FOODS INC OH 1.01,5.02 02/16/12 MRC GLOBAL INC. DE 8.01,9.01 02/23/12 National CineMedia, Inc. DE 2.02,9.01 02/23/12 NATIONAL FUEL GAS CO NJ 5.02 02/16/12 NATIONAL RETAIL PROPERTIES, INC. MD 3.03,5.03,9.01 02/23/12 Nationstar Mortgage LLC DE 5.02 02/22/12 NATURES SUNSHINE PRODUCTS INC UT 5.02,9.01 02/22/12 NAUTILUS, INC. WA 5.02 02/16/12 NAVARRE CORP /MN/ MN 1.01,5.02,9.01 09/15/11 AMEND NEW ENERGY SYSTEMS GROUP NV 1.01,8.01,9.01 02/23/12 New Leaf Brands, Inc. NV 1.01,5.02,9.01 02/14/12 NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 02/21/12 NEWS CORP 8.01,9.01 02/23/12 NII HOLDINGS INC DE 2.02,9.01 02/23/12 NORDSON CORP OH 2.02,9.01 02/23/12 NORDSTROM INC WA 5.02 02/17/12 NORTHEAST UTILITIES MA 2.02,9.01 02/23/12 NovaBay Pharmaceuticals, Inc. CA 5.02 02/17/12 O'Donnell Strategic Industrial REIT, 1.01,2.03 02/23/12 OCWEN FINANCIAL CORP FL 2.02,9.01 02/23/12 OFFICEMAX INC DE 2.02,9.01 02/23/12 OIL STATES INTERNATIONAL, INC DE 5.02,9.01 02/16/12 OLYMPIC STEEL INC OH 2.02,9.01 02/23/12 OMNICARE INC DE 2.02,9.01 02/23/12 OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 02/23/12 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,2.03,9.01 02/23/12 ONVIA INC DE 2.02,9.01 02/23/12 ORTHOFIX INTERNATIONAL N V 2.02,9.01 02/23/12 Owens Corning DE 5.02 02/20/12 P&F INDUSTRIES INC DE 8.01 02/23/12 PACIFIC CONTINENTAL CORP OR 8.01,9.01 02/23/12 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 02/22/12 PARKER DRILLING CO /DE/ DE 2.02,9.01 02/23/12 Patient Safety Technologies, Inc DE 5.02 02/16/12 PATTERSON COMPANIES, INC. MN 2.02,9.01 02/23/12 PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 02/23/12 Pebblebrook Hotel Trust MD 2.02,8.01,9.01 02/21/12 PENN VIRGINIA CORP VA 2.02,7.01,9.01 02/22/12 PENN VIRGINIA CORP VA 1.01,5.02,9.01 02/16/12 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 02/23/12 PEPSICO INC NC 7.01 02/23/12 Philip Morris International Inc. VA 8.01,9.01 02/23/12 PHOENIX COMPANIES INC/DE DE 2.02,9.01 02/16/12 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 02/23/12 POKERTEK, INC. NC 1.01,9.01 02/22/12 POPULAR INC 5.02 02/17/12 PostRock Energy Corp DE 5.02 02/20/12 PRGX GLOBAL, INC. GA 2.02,9.01 02/22/12 PROCTER & GAMBLE Co OH 7.01 02/23/12 PROGRESS ENERGY INC NC 5.02,9.01 02/22/12 Protalix BioTherapeutics, Inc. FL 7.01,8.01,9.01 02/22/12 PSYCHEMEDICS CORP DE 2.02,9.01 02/23/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 02/23/12 QEP RESOURCES, INC. DE 2.02,9.01 02/22/12 QKL Stores Inc. DE 4.02 02/17/12 QLT INC/BC A1 2.02,9.01 02/23/12 QUEPASA CORP NV 7.01,9.01 02/23/12 RADIAN GROUP INC DE 2.02,8.01,9.01 02/23/12 RADIENT PHARMACEUTICALS Corp DE 2.04,3.01,8.01 02/23/12 RADIOSHACK CORP DE 5.02,9.01 02/16/12 Ranger Gold Corp. 1.02 02/20/12 REPUBLIC FIRST BANCORP INC PA 5.02 02/21/12 RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.02,9.01 02/23/12 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 8.01 02/21/12 ROSETTA STONE INC 5.02,8.01,9.01 02/22/12 ROYAL CARIBBEAN CRUISES LTD 1.01 02/17/12 Rubicon Technology, Inc. DE 2.02,9.01 02/23/12 SAFEWAY INC DE 2.02,9.01 02/23/12 SALESFORCE COM INC DE 2.02,9.01 02/23/12 SANDISK CORP DE 5.02 02/17/12 SANDRIDGE ENERGY INC DE 2.02,9.01 02/23/12 SCHOOL SPECIALTY INC WI 2.02,9.01 02/23/12 SeaBright Holdings, Inc. DE 5.02,9.01 02/16/12 SEACHANGE INTERNATIONAL INC DE 5.02,9.01 02/23/12 SEARS HOLDINGS CORP DE 2.02,8.01,9.01 02/23/12 SEARS HOLDINGS CORP DE 7.01,9.01 02/23/12 SEATTLE GENETICS INC /WA DE 5.02,5.05,9.01 02/16/12 SELECT MEDICAL HOLDINGS CORP 2.02,9.01 02/23/12 SERVICESOURCE INTERNATIONAL, INC. 8.01 02/23/12 Shire plc 8.01,9.01 02/22/12 Silicon Graphics International Corp DE 5.02,9.01 02/23/12 Silver Dragon Resources Inc. DE 7.01,9.01 02/23/12 SM Energy Co DE 2.02,9.01 02/22/12 SMART BALANCE, INC. DE 2.02,9.01 02/23/12 SONOSITE INC 1.01,3.01 02/21/12 SOUTHWEST GEORGIA FINANCIAL CORP GA 8.01,9.01 02/23/12 SOVRAN SELF STORAGE INC MD 2.02,9.01 02/22/12 SPARTAN MOTORS INC MI 5.02,9.01 02/22/12 SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 02/22/12 STARTEK INC DE 2.02,9.01 02/23/12 Station Casinos LLC NV 1.01,9.01 02/22/12 STONE ENERGY CORP DE 2.02,7.01,9.01 02/22/12 STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 02/22/12 Strategic Storage Trust, Inc. MD 7.01,9.01 02/23/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 02/15/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 02/15/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 02/15/12 SuccessFactors, Inc. DE 3.01,3.03,5.01,5.02, 02/16/12 5.03,8.01,9.01 SUMMIT FINANCIAL GROUP INC WV 5.02,9.01 02/16/12 SUN COMMUNITIES INC MD 2.02,8.01 02/23/12 SUN COMMUNITIES INC MD 2.02 02/23/12 AMEND SUNLINK HEALTH SYSTEMS INC OH 2.02,7.01,9.01 02/22/12 SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 02/23/12 SUPERMEDIA INC. DE 7.01 02/23/12 Surge Global Energy, Inc. DE 1.02,8.01 02/23/12 SWIFT ENERGY CO 2.02,9.01 02/23/12 SXC Health Solutions Corp. A6 2.02 02/22/12 Symmetry Medical Inc. DE 8.01,9.01 02/23/12 Symmetry Medical Inc. DE 9.01 12/29/11 AMEND SYNERGY RESOURCES CORP CO 1.01,9.01 02/20/12 TAIWAN FUND INC DE 7.01,9.01 01/31/12 Targa Resources Corp. DE 2.02,9.01 02/23/12 Targa Resources Partners LP DE 2.02,9.01 02/23/12 TARGET CORP MN 2.02,8.01,9.01 02/23/12 TASER INTERNATIONAL INC 2.02,9.01 02/23/12 TECHNEST HOLDINGS INC NV 1.01,2.03,3.02 02/17/12 TELEFLEX INC DE 2.02,9.01 02/23/12 TELEFLEX INC DE 7.01,9.01 02/23/12 TELIK INC DE 2.02,9.01 02/23/12 THERAGENICS CORP DE 2.02 02/23/12 Tim Hortons Inc. A6 2.02,8.01,9.01 02/23/12 TIME WARNER CABLE INC. DE 5.02 02/16/12 TIVO INC DE 2.02,9.01 02/23/12 TIVO INC DE 8.01 02/23/12 Tonix Pharmaceuticals Holding Corp. NV 5.03,5.05,8.01,9.01 02/16/12 TOPSPIN MEDICAL INC DE 1.01,2.01,5.01,5.06, 02/23/12 AMEND 9.01 TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 02/23/12 Tornier N.V. P7 2.02,9.01 02/23/12 TORO CO DE 2.02,9.01 02/23/12 TRAILER BRIDGE INC 7.01 02/20/12 TransDigm Group INC DE 5.07 02/23/12 Transocean Ltd. V8 5.02,5.03,8.01,9.01 02/17/12 TRANSUNION CORP. 7.01,9.01 02/23/12 Tree.com, Inc. DE 1.01,2.03 02/17/12 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 02/02/12 Tropicana Entertainment Inc. DE 5.02,7.01,9.01 02/16/12 TRW AUTOMOTIVE HOLDINGS CORP DE 8.01 02/22/12 TWO RIVERS WATER Co CO 7.01 02/21/12 TYLER TECHNOLOGIES INC DE 2.02 02/22/12 United States Oil & Gas Corp DE 1.01 02/23/12 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 02/23/12 UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 02/23/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 8.01,9.01 02/22/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,5.07 02/22/12 UNIVERSAL TRAVEL GROUP NV 8.01 02/23/12 US CONCRETE INC DE 5.02 02/20/12 VERMILLION, INC. DE 2.02,7.01,9.01 02/23/12 VERSANT CORP CA 2.02,9.01 02/23/12 VIASAT INC DE 8.01,9.01 02/22/12 Volcano Corp DE 5.02 02/16/12 Walter Energy, Inc. DE 5.03,9.01 02/23/12 WASHINGTON POST CO DE 5.02 02/23/12 WCA WASTE CORP DE 2.02,3.01,9.01 02/23/12 WebMD Health Corp. DE 2.02,9.01 02/23/12 WESBANCO INC WV 8.01,9.01 02/23/12 WEST MARINE INC DE 2.02,9.01 02/23/12 WESTAR ENERGY INC /KS KS 2.02,7.01,9.01 02/23/12 WILLIAMS CONTROLS INC DE 5.07 02/21/12 WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 02/23/12 WORLD HEART CORP DE 2.05,5.02 02/15/12 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 02/23/12 WPX ENERGY, INC. DE 2.02 02/23/12 WRIGHT MEDICAL GROUP INC DE 2.02,9.01 02/23/12 WYNN RESORTS LTD 8.01 02/18/12 XCEL ENERGY INC MN 5.02,9.01 02/22/12 XO GROUP INC. DE 5.02,9.01 02/16/12