Commission Revokes Registration of Securities of Aucxis Corp. For Failure to Make Required Periodic Filings
On March 21, 2012, the Commission revoked the registration of each class of registered securities of Aucxis Corp. (AUCX) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, AUCX consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Aucxis Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of AUCX’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against AUCX in In the Matter of American United Gold Corporation, et al., Administrative Proceeding File No. 3-14770.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of American United Gold Corporation, et al., Administrative Proceeding File No. 3-14770, Exchange Act Release No. 66456 (February 24, 2012). (Rel. 34-66632; File No. 3-14770)
In the Matter of American United Gold Corporation, AMS Homecare Inc., Aucxis Corp., and CYOP Systems International Inc.
An Administrative Law Judge issued an Order Revoking Registration by Default as to American United Gold Corporation and CYOP Systems International Inc. (Default Order) in American United Gold Corporation, Admin. Proc. 3-14770. The Default Order finds that American United Gold Corporation and CYOP Systems International Inc., issuers of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the Administrative Law Judge ordered that the registration of each class of registered securities of each named Respondent is revoked. (Rel. 34-66633; File No. 3-14770)
In the Matter of Brenda A. Eschbach
On March 21, 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 against Brenda A. Eschbach. The Order is based on Eschbach’s guilty plea to mail fraud and money laundering charges in United States v. Brenda A. Eschbach, No. 8:10-cr-00017-JVS-1 (C.D. Cal.), and the entry of a permanent injunction against Eschbach in a related civil action, Securities and Exchange Commission v. Brenda A. Eschbach, No. SACV-12-0244-AG (JPRx) (C.D. Cal.), enjoining her from violating the securities fraud, advisory fraud, and unregistered broker-dealer provisions of the federal securities laws.
The criminal proceeding charged Eschbach in connection with communications and transactions that were part of a scheme to defraud investors. The Commission’s complaint in the civil action alleged that Eschbach breached the trust of her brokerage customers and investment advisory clients and engaged in fraud when she misappropriated over $3 million from several of her customers and concealed her misappropriation by, among other things, issuing and mailing false and misleading account statements to those clients.
The Order bars Eschbach from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and from participating in any offering of a penny stock. Eschbach consented to the issuance of the Order. (Rel. 34-66634; IA-3384; File No. 3-14808)
In the Matter of Derek Lopez
On March 21, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Derek Lopez. In the Order the Commission found that Lopez was enjoined from future violations of Sections 5 and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Blake G. Williams, et al., Civil Action Number 3:10-cv-10681-O, in the United States District Court for the Northern District of Texas. The Commission’s complaint in that action alleged, among other things, that Lopez engaged in a fraudulent scheme to sell stock in unregistered, non-exempt public offerings and to manipulate the markets for those stocks beginning in or about the middle of 2006 and continuing through at least 2008. The complaint alleged that through this conduct Lopez violated the securities registration and anti-fraud provisions of the federal securities laws. The complaint also alleged that Lopez’s conduct was part of a pervasive fraudulent scheme involving the stocks of several microcap issuers. Lopez consented to the final judgment (See Litigation Release No. 21539).
Based on the above, the Order bars Lopez from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Lopez consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. 34-66638; File No. 3-14705)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66640; File No. 3-14809)
Brian Hollnagel and BCI Aircraft Leasing, Inc.
The Securities and Exchange Commission (“Commission”) announced that on March 14, 2012, a federal jury convicted Brian Hollnagel and BCI Aircraft Leasing Inc. on seven criminal counts, including fraud and obstruction charges for engaging in a fraudulent financing scheme that raised more than $50 million from investors and lenders. Brian Hollnagel, 38, of Chicago, the owner, president, and chief executive officer of BCI Aircraft Leasing Inc., and the corporation itself were each convicted of six counts of wire fraud and one count of obstruction of justice for obstructing the Commission’s 2007 lawsuit against them. As part of this verdict, Hollnagel and BCI were convicted of committing fraud and obstruction in connection with the provision of fraudulent court-ordered accountings of investor LLCs to the SEC during that litigation. U.S. v. Brian Hollnagel et al., Criminal Action No. 1:10-cr-0195 (N.D. Ill.) (St. Eve., J.).
On August 13, 2007, the Commission filed a civil injunctive complaint alleging that Defendants Hollnagel and BCI, from approximately 1998 through 2007, raised at least $82 million from approximately 120 investors as part of a fraudulent scheme in which the Defendants commingled investor funds, used investor funds to pay other investors, and failed to use investor funds as represented. The Complaint alleged that, as a result of their conduct, the Defendants violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s action remains pending. [SEC v. Brian Hollnagel and BCI Aircraft leasing, Inc., Civil Action No. 1:07-cv-4538 (N.D. Ill.) (Bucklo, J.)] (LR-22300)
Forward Funds, et al.
A notice has been issued giving interested persons until April 9, 2012 to request a hearing on an application filed by Forward Funds, et al., for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order would permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29982 – March 15)
First Trust Exchange-Traded Fund, et al.
A notice has been issued giving interested persons until April 9, 2012, to request a hearing on an application filed by First Trust Exchange-Traded Fund, et al., for an order to permit: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; and (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units. (Rel. IC-29983 – March 15)
Approval of Proposed Rule Change
The Commission approved a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2012-01) under Section 19(b)(2) of the Securities Exchange Act of 1934, consisting of amendments to Rule G-14, on Reports of Sales or Purchases, including the Rule G-14 RTRS Procedures, and amendments to the Real-Time Transaction Reporting System. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66622)
Proposed Rule Changes
The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of proposed Rule G-43, on broker’s brokers; proposed amendments to Rule G-8, on books and records, Rule G-9, on record retention, and Rule G-18, on execution of transactions; and a proposed interpretive notice on the duties of dealers that use the services of broker’s brokers (SR-MSRB-2012-04). Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66625)
NYSE Arca, Inc filed a proposed rule change (SR-NYSEARCA-2012-18), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade shares of the APMEX Physical – 1 oz. Gold Redeemable Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of March 19. (Rel. 34-66627)
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.
F-1 CIS Acquisition Ltd., 89 UDALTSOVA STREET, SUITE 84, MOSCOW, 1Z, 119607, 917-514-1310 - 0 ($245,400,100.00) Equity, (File 333-180224 - Mar. 20) (BR. 05) S-3ASR SOUTHWEST GAS CORP, 5241 SPRING MOUNTAIN RD, PO BOX 98510, LAS VEGAS, NV, 89193-8510, 7028767237 - 0 ($250,000,000.00) Debt, (File 333-180226 - Mar. 20) (BR. 02B) N-2 Benefit Street Partners BDC, Inc., 9 WEST 57TH STREET, 47TH FLOOR, NEW YORK, NY, 10019, (212) 644-1200 - 0 ($150,000,000.00) Equity, (File 333-180227 - Mar. 20) (BR. 16) S-8 NUPATHE INC., 227 WASHINGTON STREET, SUITE 200, CONSHOHOCKEN, PA, 19428, 484-567-0130 - 0 ($3,451,168.00) Equity, (File 333-180229 - Mar. 20) (BR. 01A) S-1 SECURE IT CORP, 548 MARKET ST., #59722, SAN FRANCISCO, CA, 94104-5401, 866-766-4202 - 750,000 ($112,500.00) Equity, (File 333-180230 - Mar. 20) (BR. 05) S-8 SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 1,400,000 ($43,015,000.00) Equity, (File 333-180236 - Mar. 20) (BR. 04B) S-4 SWIFT ENERGY CO, 16825 NORTHCHASE DR STE 400, HOUSTON, TX, 77060, 2818742700 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-180237 - Mar. 20) (BR. 04B) S-8 PC MALL INC, 1940 E. MARIPOSA AVE., EL SEGUNDO, CA, 90245, 3103545600 - 0 ($2,108,844.06) Equity, (File 333-180238 - Mar. 20) (BR. 02C) S-3 Westinghouse Solar, Inc., 1475 S. BASCOM AVE., SUITE 101, CAMPBELL, CA, 95008-0528, 408-402-9400 - 0 ($20,000,000.00) Equity, (File 333-180239 - Mar. 20) (BR. 06C) N-2 FIRST TRUST STRATEGIC HIGH INCOME FUND II, 120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 3,243,000 ($56,071,470.00) Equity, (File 333-180240 - Mar. 20) (BR. 18) F-1 Ocean Rig UDW Inc., 10 SKOPA STREET, TRIBUNE HOUSE, 2ND FLOOR, OFFICE 202, NICOSIA, G4, CY 1075, 011 357 22767517 - 0 ($100,000,000.00) Equity, (File 333-180241 - Mar. 20) (BR. 04A)
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 3DICON CORP 1.01,5.02,9.01 03/19/12 ABRAXAS PETROLEUM CORP NV 7.01,9.01 03/20/12 AEMETIS, INC NV 7.01,9.01 03/20/12 AGENUS INC DE 5.02,9.01 03/14/12 AGL RESOURCES INC GA 7.01,9.01 03/20/12 ALEXANDER & BALDWIN INC HI 5.02 03/19/12 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 03/20/12 Alpha Natural Resources, Inc. DE 5.02,7.01,9.01 03/14/12 ALTERRA CAPITAL HOLDINGS Ltd 8.01 03/19/12 AMARIN CORP PLC\UK X0 8.01 03/20/12 AMAZON COM INC DE 7.01,9.01 03/19/12 AMBAC FINANCIAL GROUP INC DE 1.03,9.01 03/14/12 AMBASSADORS INTERNATIONAL INC DE 1.03 03/14/12 American Realty Capital Properties, I MD 2.02,7.01,9.01 03/19/11 AMERIGON INC MI 1.01,8.01,9.01 03/20/12 AMGEN INC DE 5.02 03/14/12 AMTECH SYSTEMS INC AZ 5.07 03/15/12 Anthera Pharmaceuticals Inc DE 8.01,9.01 03/15/12 Armour Residential REIT, Inc. MD 7.01,9.01 03/20/12 ASTRO MED INC /NEW/ RI 2.02,9.01 03/20/12 Atlantic Broadband Finance, LLC DE 8.01,9.01 03/20/12 ATOMIC PAINTBALL INC 5.02,8.01 03/16/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 5.02,9.01 03/20/12 AVIS BUDGET GROUP, INC. DE 1.01,1.02,2.03,9.01 03/14/12 BALDWIN TECHNOLOGY CO INC DE 2.01,3.01,3.03,5.01, 03/20/12 5.02,5.03,8.01,9.01 BBCN BANCORP INC DE 4.01,9.01 03/15/12 AMEND Bearing Mineral Exploration, Inc. 5.02 03/19/12 BEHRINGER HARVARD REIT I INC MD 7.01,9.01 03/20/12 Beneficial Mutual Bancorp Inc X1 5.02 03/15/12 BILL BARRETT CORP DE 7.01,9.01 03/20/12 BIOCRYST PHARMACEUTICALS INC DE 7.01 03/19/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 03/19/12 BISON INSTRUMENTS INC MN 4.01,9.01 03/20/12 Blackstone Group L.P. DE 2.01,9.01 03/20/12 AMEND Blue Earth, Inc. NV 5.02 03/14/12 BROOKLINE BANCORP INC DE 9.01 01/01/12 AMEND BUCKLE INC NE 8.01,9.01 03/20/12 Business Development Corp of America MD 5.02,8.01 03/14/12 Capital Group Holdings, Inc. MN 1.01,2.03,5.02,5.03, 04/13/10 AMEND 8.01 CAPITAL ONE FINANCIAL CORP DE 8.01,9.01 03/20/12 CardioGenics Holdings Inc. NV 4.02 03/16/12 CARMAX INC VA 5.02 03/19/12 CARRIAGE SERVICES INC DE 5.02,9.01 03/14/12 Carter Validus Mission Critical REIT, MD 1.01,2.01,2.03,8.01, 03/14/12 9.01 CATALYST HEALTH SOLUTIONS, INC. DE 7.01,9.01 03/19/12 CATERPILLAR INC DE 7.01 03/20/12 CELADON GROUP INC DE 5.07 11/07/11 AMEND Celanese CORP DE 5.02 03/15/12 CHARLES & COLVARD LTD NC 9.01 01/24/12 AMEND China Biologic Products, Inc. 5.02 03/20/12 China Shengda Packaging Group Inc. NV 1.01,9.01 03/20/12 CIFC Corp. DE 1.02 03/16/12 CINTAS CORP WA 2.02,9.01 03/20/12 CITY HOLDING CO WV 7.01,9.01 03/20/12 CNL Healthcare Trust, Inc. MD 5.02 03/14/12 CNL LIFESTYLE PROPERTIES INC MD 5.02 03/14/12 CNO Financial Group, Inc. DE 1.01,9.01 03/20/12 Coastal Carolina Bancshares, Inc. SC 5.02,9.01 03/20/12 COBIZ FINANCIAL INC CO 7.01,8.01,9.01 03/19/12 COCA-COLA ENTERPRISES, INC. DE 8.01 03/20/12 COMM 2012-LC4 Mortgage Trust DE 8.01,9.01 03/20/12 CONCUR TECHNOLOGIES INC DE 5.07 03/14/12 Copano Energy, L.L.C. 7.01,9.01 03/20/12 Coronus Solar Inc. A1 1.01,2.03,7.01,9.01 03/20/12 CORPORATE PROPERTY ASSOCIATES 15 INC MD 5.02 03/14/12 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 5.02 03/14/12 Corporate Property Associates 17 - Gl MD 5.02 03/14/12 COST PLUS INC/CA/ CA 5.02 03/15/12 COVANTA HOLDING CORP DE 5.02,9.01 03/20/12 CREDIT ACCEPTANCE CORP MI 7.01,9.01 03/20/12 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 03/20/12 CROWN DYNAMICS CORP DE 1.01,3.02,5.06,9.01 01/18/12 AMEND Dehaier Medical Systems Ltd 7.01,9.01 03/19/12 DELTA PETROLEUM CORP/CO CO 8.01,9.01 03/20/12 Demandware Inc DE 5.03,9.01 03/20/12 DENDREON CORP DE 8.01 03/14/12 DOUBLE EAGLE PETROLEUM CO MD 1.02,5.02 03/19/12 DSW Inc. OH 2.02,9.01 03/20/12 DTE ENERGY CO MI 2.02,9.01 03/20/12 DYM ENERGY Corp 5.03 03/15/12 Eastern Environment Solutions Corp. 8.01 03/19/12 ECOSPHERE TECHNOLOGIES INC DE 5.02 03/15/12 EDGAR ONLINE INC DE 3.01 03/15/12 EL CAPITAN PRECIOUS METALS INC NV 8.01,9.01 03/20/12 Enduro Royalty Trust DE 2.02,9.01 03/20/12 Energy Transfer Equity, L.P. DE 8.01,9.01 03/20/12 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 03/19/12 ESB FINANCIAL CORP PA 8.01,9.01 03/20/12 ESSEX PROPERTY TRUST INC MD 2.03,8.01,9.01 03/14/12 Europa Acquisition VIII, Inc. NV 1.01,5.02,9.01 03/19/12 EVEREST RE GROUP LTD D0 5.02,9.01 03/20/12 EXCLUSIVE BUILDING SERVICES, INC NV 5.03,8.01,9.01 03/16/12 F5 NETWORKS INC WA 5.07 03/15/12 FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 03/20/12 Federal Home Loan Bank of Atlanta X1 2.03 03/20/12 Federal Home Loan Bank of Boston X1 2.03 03/15/12 Federal Home Loan Bank of Chicago X1 2.03 03/14/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/14/12 Federal Home Loan Bank of Dallas 2.03,9.01 03/14/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/16/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/20/12 Federal Home Loan Bank of New York X1 2.03,9.01 03/14/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/14/12 Federal Home Loan Bank of San Francis X1 2.03 03/14/12 Federal Home Loan Bank of Seattle 2.03 03/14/12 Federal Home Loan Bank of Topeka 2.03,9.01 03/14/12 Fidelity National Information Service 1.01,2.03,8.01,9.01 03/19/12 FIFTH THIRD BANCORP OH 5.02,9.01 11/28/11 AMEND FIRSTCITY FINANCIAL CORP DE 2.02,2.06,7.01,9.01 03/15/12 FIRSTENERGY CORP OH 5.02 03/20/12 FISCHER WATT GOLD CO INC NV 1.01,2.01,3.02,5.02, 03/14/12 9.01 FISHER COMMUNICATIONS INC WA 5.02,7.01,8.01,9.01 03/14/12 FORMFACTOR INC DE 5.02,9.01 03/19/12 FRANKLIN COVEY CO UT 8.01 03/20/12 Fraternity Community Bancorp Inc 2.02,9.01 03/16/12 FS Energy & Power Fund DE 2.02,9.01 03/20/12 FS Investment CORP MD 2.02,9.01 03/20/12 FSI INTERNATIONAL INC MN 2.02,9.01 03/20/12 FUNCTION (X) INC. DE 8.01,9.01 03/20/12 GENELINK INC PA 4.01,9.01 03/14/12 General Finance CORP DE 1.01,9.01 03/15/12 General Maritime Corp / MI 8.01 03/15/12 GENESIS ENERGY LP DE 9.01 01/03/12 AMEND GEORESOURCES INC CO 5.02 03/14/12 GFI Group Inc. DE 4.01,9.01 02/21/12 AMEND GLOBAL EQUITY INTERNATIONAL INC NV 5.02,9.01 03/09/12 Global Investor Services, Inc. UT 8.01,9.01 03/08/12 GOLDEN FORK CORP 5.03,9.01 03/16/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 03/16/12 GSE Holding, Inc. DE 5.02 03/09/12 HARVEST NATURAL RESOURCES, INC. DE 2.02,8.01,9.01 03/14/12 Heelys, Inc. DE 2.02,9.01 03/20/12 Heelys, Inc. DE 5.02,9.01 03/16/12 Heelys, Inc. DE 5.02,9.01 03/16/12 HERCULES OFFSHORE, INC. DE 7.01,8.01,9.01 03/20/12 HERCULES OFFSHORE, INC. DE 9.01 04/27/11 AMEND HEXCEL CORP /DE/ DE 5.07 05/05/11 AMEND HUGOTON ROYALTY TRUST TX 2.02,9.01 03/20/12 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 03/20/12 Hyatt Hotels Corp DE 5.02,9.01 03/16/12 IGI LABORATORIES, INC DE 2.02,9.01 03/20/12 Independence Energy Corp. NV 1.01,9.01 03/15/12 INTERSECTIONS INC DE 2.02,7.01,9.01 03/15/12 ISHARES DIVERSIFIED ALTERNATIVES TRUS DE 5.02 03/07/12 IVANHOE ENERGY INC 1.01,9.01 03/14/12 J CREW GROUP INC DE 2.02,9.01 03/19/12 AMEND JABIL CIRCUIT INC DE 2.02,9.01 03/20/12 JEFFERIES GROUP INC /DE/ DE 2.02,9.01 03/20/12 KAMAN CORP CT 7.01,9.01 03/20/12 KEMPER Corp DE 7.01,9.01 03/20/12 KINGOLD JEWELRY, INC. DE 5.07 10/31/11 AMEND Kips Bay Medical, Inc. DE 5.02 03/20/12 Kiwibox.Com, Inc. DE 1.01,2.03 03/14/12 KKR Financial Holdings LLC DE 1.01,8.01,9.01 03/20/12 KRAFT FOODS INC VA 2.05 03/14/12 KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 03/20/12 LEXINGTON REALTY TRUST MD 5.05 03/14/12 Liberty Global, Inc. DE 7.01 03/20/12 LIQUIDITY SERVICES INC DE 5.02 03/16/12 Location Based Technologies, Inc. NV 5.02 03/20/12 LSB INDUSTRIES INC DE 8.01 03/14/12 MAC-GRAY CORP DE 4.01,9.01 03/14/12 Marina Biotech, Inc. DE 1.01,1.02,9.01 03/19/12 MARKWEST ENERGY PARTNERS L P 7.01,9.01 03/20/12 MEDIA GENERAL INC VA 1.01,9.01 03/20/12 MEDTRONIC INC MN 8.01,9.01 03/14/12 Mercedes-Benz Auto Lease Trust 2012-A DE 8.01,9.01 03/15/12 Merchants & Marine Bancorp, Inc. MS 4.01,9.01 02/21/12 MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 03/20/12 MERITOR INC IN 7.01,9.01 03/20/12 MESA ROYALTY TRUST/TX TX 2.02,9.01 03/20/12 MGM Resorts International DE 8.01,9.01 03/15/12 MGT CAPITAL INVESTMENTS INC DE 5.07 03/20/12 MModal Inc. DE 7.01,9.01 03/20/12 MMRGlobal, Inc. DE 2.02,9.01 03/19/12 MODINE MANUFACTURING CO WI 1.01,9.01 03/15/12 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.01,2.03,9.01 03/14/12 MONAR INTERNATIONAL INC. NV 7.01,9.01 03/19/12 MORRIS PUBLISHING GROUP LLC GA 1.01,8.01 03/19/12 MOSAIC CO 7.01,9.01 03/20/12 MURPHY OIL CORP /DE DE 5.03,9.01 03/20/12 National CineMedia, Inc. DE 3.02,9.01 03/15/12 National CineMedia, LLC DE 3.02,9.01 03/15/12 NATIONAL HOLDINGS CORP DE 5.07 03/16/12 NATIONAL RURAL UTILITIES COOPERATIVE DC 5.02 03/20/12 AMEND NAVIGATORS GROUP INC DE 5.02 03/16/12 NB&T FINANCIAL GROUP INC OH 8.01 03/20/12 NeoStem, Inc. DE 2.02,7.01,9.01 03/20/12 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 03/15/12 NEW JERSEY RESOURCES CORP NJ 7.01,9.01 03/20/12 NEWS CORP 8.01,9.01 03/20/12 NewStar Financial, Inc. 2.03 03/20/12 NOBLE ENERGY INC DE 1.01 03/14/12 NORTEK INC DE 5.07 05/10/11 AMEND NOVATEL WIRELESS INC DE 8.01,9.01 03/15/12 NUPATHE INC. DE 2.02,9.01 03/20/12 OGLETHORPE POWER CORP GA 7.01,9.01 03/20/12 OLD DOMINION ELECTRIC COOPERATIVE VA 7.01,9.01 03/20/12 OMNI BIO PHARMACEUTICAL, INC. CO 7.01,9.01 03/20/12 OMNICELL, Inc CA 1.01,9.01 03/16/12 OMNOVA SOLUTIONS INC OH 2.02,9.01 03/20/12 ON ASSIGNMENT INC DE 7.01,8.01,9.01 03/20/12 ORACLE CORP 2.02,8.01,9.01 03/20/12 ORGANOVO HOLDINGS, INC. DE 8.01,9.01 03/19/12 Otter Tail Corp MN 5.02 03/14/12 Pacific Copper Corp. DE 8.01,9.01 03/08/12 PACIFIC OFFICE PROPERTIES TRUST, INC. MD 1.01,1.02,3.01,5.02, 03/15/12 9.01 PANERA BREAD CO DE 5.02 03/20/12 PENSECO FINANCIAL SERVICES CORP PA 5.02 03/15/12 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 03/20/12 PG&E CORP CA 8.01,9.01 03/20/12 Philip Morris International Inc. VA 8.01,9.01 03/14/12 PINNACLE AIRLINES CORP DE 5.02,9.01 03/20/12 PINNACLE ENTERTAINMENT INC. DE 5.02,8.01,9.01 03/19/12 Pixtel Group Ltd. DE 2.01,2.03,3.02,5.02, 10/07/11 AMEND 5.03,5.06,5.07,9.01 PLURISTEM THERAPEUTICS INC NV 8.01 03/20/12 POINDEXTER J B & CO INC DE 1.01,1.02,2.03,9.01 03/14/12 Porter Bancorp, Inc. KY 5.02 03/19/12 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 03/09/12 QUICKSILVER RESOURCES INC DE 3.01,9.01 03/16/12 RBC LIFE SCIENCES, INC. DE 2.02 03/19/12 RECOVERY ENERGY, INC. NV 7.01,9.01 03/20/12 Resource Capital Corp. MD 1.01,9.01 03/16/12 RURBAN FINANCIAL CORP OH 2.02,2.06 03/20/12 SABA SOFTWARE INC DE 1.01,2.01,7.01,9.01 03/19/12 SAIC, Inc. 2.02,9.01 03/20/12 SAND HILLS, INC NV 1.01 03/16/12 SAVE THE WORLD AIR INC NV 8.01,9.01 03/09/12 SEACOAST BANKING CORP OF FLORIDA FL 8.01 03/14/12 SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 03/16/12 Shengkai Innovations, Inc. FL 5.02 03/20/12 SHORE BANCSHARES INC MD 5.02,9.01 03/15/12 SHUFFLE MASTER INC MN 5.07 03/15/12 SOUTHERN UNION CO DE 8.01,9.01 03/19/12 SPECTRANETICS CORP DE 4.01,9.01 03/14/12 Spy Inc. DE 2.02,9.01 03/20/12 STATER BROS HOLDINGS INC DE 8.01 03/15/12 STEEL DYNAMICS INC IN 8.01,9.01 03/20/12 STERLING CONSTRUCTION CO INC DE 2.02,9.01 03/14/12 STRATUS PROPERTIES INC DE 1.01,3.02,5.02,8.01, 12/07/11 9.01 SUNRISE SENIOR LIVING INC DE 5.02 03/16/12 Surna Inc. NV 5.03 03/20/12 TARGACEPT INC 8.01,9.01 03/20/12 TELETOUCH COMMUNICATIONS INC DE 1.01,9.01 03/14/12 TELKONET INC UT 4.02,8.01,9.01 03/15/12 TENGION INC DE 5.02,9.01 03/14/12 TIDELANDS ROYALTY TRUST B TX 7.01,9.01 03/20/12 TIFFANY & CO DE 2.02 03/20/12 Timberline Resources Corp DE 5.07 03/19/12 TMST, Inc. MD 8.01,9.01 03/19/12 TRANSATLANTIC PETROLEUM LTD. D0 1.01 03/15/12 TRUSTCO BANK CORP N Y NY 5.02,8.01,9.01 03/20/12 U.S. SILICA HOLDINGS, INC. DE 2.02,9.01 03/20/12 ULTRA PETROLEUM CORP 5.02 03/15/12 UNICO AMERICAN CORP NV 5.02 03/19/12 UNITED FIRE GROUP INC 8.01 03/20/12 UNITED INSURANCE HOLDINGS CORP. DE 2.02,5.02,5.08,9.01 03/14/12 UNITED STATES CELLULAR CORP DE 5.02,9.01 03/15/12 UNITED STATES CELLULAR CORP DE 5.02 03/15/12 URS CORP /NEW/ DE 1.01,2.03,8.01,9.01 03/15/12 US ECOLOGY, INC. DE 7.01,9.01 03/20/12 USG CORP DE 8.01,9.01 03/20/12 Varca Ventures, Inc. NV 5.02 03/15/12 VAULT AMERICA, INC. NV 4.01,5.02,5.03,9.01 03/14/12 ViewPoint Financial Group Inc. 8.01,9.01 03/20/12 VILLAGE SUPER MARKET INC NJ 8.01,9.01 03/16/12 VMWARE, INC. DE 5.07 03/16/12 VOXX International Corp DE 1.01,2.01,2.03,7.01, 03/14/12 9.01 W P CAREY & CO LLC DE 5.02 03/15/12 WHIRLPOOL CORP /DE/ DE 8.01,9.01 03/19/12 WILLIAMS COMPANIES INC DE 1.01,7.01,9.01 03/19/12 Williams Partners L.P. 1.01,3.02,7.01,9.01 03/19/12 XCEL ENERGY INC MN 7.01 03/20/12 XPO Logistics, Inc. DE 8.01,9.01 03/20/12 YELLOW7, Inc TX 8.01 03/20/12 Zentric, Inc. NV 1.01,9.01 03/20/12 ZION OIL & GAS INC DE 5.02,9.01 03/19/12