SEC Announces Members of New Investor Advisory Committee
The Securities and Exchange Commission today announced the formation of a new Investor Advisory Committee required by the Dodd-Frank Wall Street Reform and Consumer Protection Act.
The 21-member committee replaces the advisory committee that was disbanded after the Dodd-Frank Act became law. Section 911 of the Dodd-Frank Act established the new committee to advise the Commission on regulatory priorities, the regulation of securities products, trading strategies, fee structures, the effectiveness of disclosure, and on initiatives to protect investor interests and to promote investor confidence and the integrity of the securities marketplace. The Dodd-Frank Act authorizes the committee to submit findings and recommendations for review and consideration by the Commission.
Members of the newly formed committee were nominated by all five sitting Commissioners and represent a wide variety of interests, including senior citizens and other individual investors, mutual funds, pension funds, and state securities regulators.
"The SEC’s new Investor Advisory Committee is made up of individuals with a broad range of backgrounds and experiences," said SEC Chairman Mary Schapiro. "I look forward to their insight and recommendations as to how we can further the SEC’s critical investor protection mission."
The members of the new Investor Advisory Committee are:
The Investor Advisory Committee will begin its work in the near future. (Press Rel. 2012-58)
In the Matter of John D. Friedrich
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in John D. Friedrich, Admin. Proc. No. 3-14715. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on January 25, 2012, pursuant to Section 203(f) of the Investment Advisers Act of 1940. The OIP alleges that Respondent John D. Friedrich (Friedrich) was previously enjoined from violating the antifraud provisions of the securities laws in connection with wrongdoing while associated with an investment adviser. The OIP also alleges that Friedrich engaged in a fraudulent scheme to defraud investors, many of them elderly, by making material misrepresentations and omitting material information. The Default Order finds the allegations of the OIP to be true.
In the public interest, the Default Order bars Friedrich from association with a broker, dealer, investment adviser, municipal securities dealer, and transfer agent. (Rel. IA-3394; File No. 3-14715)
In the Matter of China Agro-Technology Holdings Ltd.
On April 9, 2012, an Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default (Default Order) in China Agro-Technology Holdings Ltd., Admin. Proc. 3-14734. The Default Order finds that the allegations in the Order Instituting Proceedings issued on February 2, 2012, are true. China Agro-Technology Holdings Ltd. (China Agro-Technology), an issuer of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), has 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 since 2007. The Default Order revokes the registration of each class of China Agro-Technology’s registered securities. (Rel. 34-66770; File No. 3-14734)
SEC v. Aragon Capital Advisors LLC, et al.
The U.S. District Court for the Southern District of New York (Hon. Frank Maas) signed a consent judgment on April 4, 2012 requiring Defendants in the Securities and Exchange Commission’s (Commission) long-running insider trading case to pay an additional $1 million to resolve the Commission’s case. Under the Judgment, Defendants Zvi Rosenthal (Zvi), Amir Rosenthal (Amir), Ayal Rosenthal (Ayal) and Oren Rosenthal (Oren) and Relief Defendants Rivka Rosenthal, Efrat Rosenthal and Noga Delshad Rosenthal will disgorge $1,072,000, in addition to the $1.5 million they have already paid. The Judgment also includes a permanent injunction against Zvi, Amir and Ayal from further violations of the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, and permanently bars Zvi from acting as an officer or director of any public company. With earlier judgments entered against other Defendants originally charged, the Commission will have collected more than $3 million in illicit profits earned in this scheme.
The case arose out of a five year insider trading scheme by which Zvi, a former pharmaceutical company executive, passed material nonpublic information about the company’s financial performance and FDA new drug approvals to his son, Amir, who traded on that information for his and his family’s benefit, and, the complaint alleged, on occasion, Amir also tipped his brothers, Ayal and Oren, so they could trade themselves. At the time the Commission’s complaint was filed, in February 2007, the United States Attorney’s Office for the Eastern District of New York filed criminal charges against Zvi, Amir and Ayal, charging four of the same instances of insider trading that the S.E.C. had charged. The criminal complaint was resolved when the defendants pled guilty, and they were each subsequently sentenced to imprisonment, with Zvi spending 60 months, Amir, 33 months and Ayal, two months, in jail. [SEC v. Aragon Capital Advisors LLC, et al., Civ. Action 07-919 (S.D.N.Y.)] (LR-22322)
SEC Files Settled Charges Against Silicon Valley Man in Connection With Offering Fraud, Revokes US Registration of Securities of His Company
The United States Securities and Exchange Commission today announced two enforcement actions arising from a $7 million offering fraud perpetrated by Benedict Van of Santa Clara, California, in connection with hereUare, Inc. (hereUare) and eCity, Inc. (eCity), two Internet companies that he controls.
First, the SEC filed a settled civil action against Van, hereUare, and eCity in the U.S. District Court for the Northern District of California. The SEC’s complaint alleges that from 2007 through 2008, Van raised over $7 million from investors through serial, oral misrepresentations about the companies’ prospects for an IPO and revenue growth. According to the complaint, Van falsely told investors that the companies would soon go public within a matter of months and generate millions in IPO returns for investors. The complaint further alleges that in reality, the companies had no plan to go public, were still developing their products, were not generating revenue, and survived only through investor funds. Finally, the complaint alleges that Van, as CEO and founder of both companies, knew, or was reckless in not knowing, that his misrepresentations to investors were false and/or misleading.
The SEC’s complaint charges Van, hereUare, and eCity with violations of Section 17(a)(2) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5(b) thereunder; and Van and hereUare with violations of Sections 5(a) and 5(c) of the Securities Act. As part of the settlement, the defendants’ signed consents – which are subject to approval by the court – provide that each defendant is permanently enjoined against future violations of the statutes and rules each is alleged to have violated. In addition, defendant Van’s signed consent provides that, without admitting or denying the Commission’s allegations, he is permanently barred from serving as the officer or director of a public company. The Commission agreed to waive disgorgement and declined to assess a penalty against Van based on his demonstrated inability to pay.
Second, the SEC instituted a settled proceeding pursuant to Section 12(j) of the Exchange Act revoking the United States registration of each class of registered securities of hereUare, Inc. 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, hereUare consented to the entry of an Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of hereUare’s securities pursuant to Section 12(j) of the Exchange Act. [SEC v. Van, et al. (Civil Action No. CV 12 1743) (N.D. Cal.)] (LR-22323); (Administrative Proceeding - Rel. 34-66771; File No. 3-14838)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-41) relating to routing of non-customer orders 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 April 9. (Rel. 34-66754)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-42) relating to routing fees 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 April 9. (Rel. 34-66755)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-43) relating to rebates and fees for adding and removing liquidity in Select Symbols 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 April 9. (Rel. 34-66756)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-45) relating to rebates for adding and removing liquidity in SPY 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 April 9. (Rel. 34-66757)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-13) relating to new EDGX Rule 11.22 requiring members to input accurate information into the system 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 April 9. (Rel. 34-66761)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-12) 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 April 9. (Rel. 34-66762)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-13) 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 April 9. (Rel. 34-66763)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-14) relating to new EDGA Rule 11.22 requiring members to input accurate information into the system 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 April 9. (Rel. 34-66764)
Approval of Proposed Rule Changes
The Commission granted approval of a proposed rule change (SR-NYSE-2012-05) submitted by New York Stock Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Rule 476A to update its “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A”. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-66758)
The Commission approved a proposed rule change filed pursuant to Rule 19b-4 by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-005) relating to procedures for electronically processing stock-option orders. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-66759)
The Commission approved a proposed rule change filed pursuant to Rule 19b-4 by C2 Options Exchange, Incorporated (SR-C2-2012-004) relating to procedures for electronically processing stock-option orders. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-66760)
Proposed Rule Changes
The Commission issued notice of a proposed rule change and Amendment No. 1 thereto submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-043) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to establish the Market Quality Program. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-66765)
A proposed rule change filed by ICE Clear Credit LLC (“ICC”) changing membership qualifications (SR-ICC-2012-05) was filed pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 9. (Rel. 34-66766)
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 Merculite Distributing, Inc., 19081 N. SHELBY DR, MARICOPA, AZ, 85138, 602-751-9638 - 600,000 ($6.88) Equity, (File 333-180606 - Apr. 6) (BR. 06) S-3ASR ACADIA REALTY TRUST, 1311 MAMARONECK AVENUE, SUITE 260, WHITE PLAINS, NY, 10605, 914-288-8100 - 0 ($188,937,500.00) Other, (File 333-180607 - Apr. 6) (BR. 08B) S-4 Vringo Inc, 18 EAST 16TH STREET, NEW YORK, NY, 10003, 646-861-5575 - 0 ($29,585,743.65) Equity, (File 333-180609 - Apr. 6) (BR. 11A) S-3 MACKINAC FINANCIAL CORP /MI/, 3530 NORTH COUNTRY DR, PO BOX 369, TRAVERSE CITY, MI, 49684, 9063418401 - 0 ($7,000,000.00) Equity, (File 333-180610 - Apr. 6) (BR. 07C) S-1 Media Mechanics, Inc., 100 WESTERN BATTERY ROAD, SUITE 160, TORONTO, A6, M6K3S2, 732-509-1212 - 25,000,000 ($500,000.00) Equity, (File 333-180611 - Apr. 6) (BR. 03) S-3 SATCON TECHNOLOGY CORP, 27 DRYDOCK AVENUE, BOSTON, MA, 02210, 6178972400 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-180613 - Apr. 6) (BR. 10C) S-1 Bloomin' Brands, Inc., 2202 NORTH WEST SHORE BOULEVARD, SUITE 500, TAMPA, FL, 33607, 813-282-1225 - 0 ($300,000,000.00) Equity, (File 333-180615 - Apr. 6) (BR. 05) S-8 CAPSTONE TURBINE Corp, 21211 NORDHOFF STREET, CHATSWORTH, CA, 91311, 818-734-5300 - 0 ($255,000.00) Equity, (File 333-180616 - Apr. 6) (BR. 10A) S-1 CATALYST PHARMACEUTICAL PARTNERS, INC., 355 ALHAMBRA CIRCLE, SUITE 1500, CORAL GABLES, FL, 33134, (305) 529-2522 - 0 ($11,500,000.00) Equity, (File 333-180617 - Apr. 6) (BR. 01B) N-2 Blackstone / GSO Strategic Credit Fund, 345 PARK AVENUE, 31ST FLOOR, NEW YORK, NY, 10154, 212-503-2100 - 0 ($1,000,000.00) Other, (File 333-180618 - Apr. 6) (BR. 16) S-3 PROLOR Biotech, Inc., 3 SAPIR STREET, WEIZMANN SCIENCE PARK, NES-ZIONA, L3, 74140, (866) 644-7811 - 75,000,000 ($75,000,000.00) Equity, (File 333-180619 - Apr. 6) (BR. 01A) S-1 Palo Alto Networks Inc, 232 EAST JAVA DRIVE, SUNNYVALE, CA, 94089, 408-738-7700 - 0 ($175,000,000.00) Equity, (File 333-180620 - Apr. 6) (BR. )
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- ACTUANT CORP WI 1.01,8.01,9.01 04/02/12 ADDVANTAGE TECHNOLOGIES GROUP INC OK 5.02,8.01,9.01 04/02/12 AETHLON MEDICAL INC NV 1.01,2.03,9.01 04/05/12 Allied Nevada Gold Corp. DE 7.01,9.01 04/04/12 ALLOS THERAPEUTICS INC DE 1.01,5.02,9.01 04/04/12 ALTERNATE ENERGY HOLDINGS, INC. NV 1.01,9.01 04/02/12 AMC ENTERTAINMENT INC DE 7.01,9.01 04/06/12 AMERICAN ORIENTAL BIOENGINEERING INC CO 3.01,9.01 03/30/12 American Realty Capital Trust, Inc. DE 8.01,9.01 04/05/12 Apollo Global Management LLC DE 2.01,9.01 04/02/12 BANKATLANTIC BANCORP INC FL 5.07 04/06/12 BE AEROSPACE INC DE 5.02 04/02/12 Beneficial Mutual Bancorp Inc X1 4.01,9.01 04/03/12 BIOMET INC IN 1.01,8.01,9.01 04/02/12 BioRestorative Therapies, Inc. NV 2.03 04/02/12 BLUEFLY INC DE 2.02,9.01 04/06/12 BOISE INC. DE 5.04,9.01 04/06/12 Bridgeline Digital, Inc. DE 3.01 04/05/12 BSD MEDICAL CORP DE 2.02,9.01 04/06/12 CAMPBELL FUND TRUST DE 3.02 04/01/12 Capitol Federal Financial Inc MD 5.02,9.01 04/04/12 CENTER BANCORP INC NJ 5.02,9.01 04/02/12 CEVA INC DE 8.01 04/05/12 CHDT CORP FL 1.01,9.01 04/01/12 China Shenghuo Pharmaceutical Holding 8.01,9.01 03/30/12 CLARCOR INC. DE 1.01,2.03,9.01 04/05/12 Cleantech Solutions International, In DE 7.01,9.01 04/05/12 Constellation Energy Partners LLC DE 1.01,5.02,8.01,9.01 04/05/12 CONVENIENTCAST INC. NV 4.01,9.01 12/27/11 AMEND CRA INTERNATIONAL, INC. MA 1.01,9.01 04/02/12 Cryoport, Inc. NV 5.02 04/02/12 DCP Holding CO OH 5.02,9.01 04/03/12 Derycz Scientific Inc NV 1.01,9.01 04/04/12 Diversified Restaurant Holdings, Inc. NV 1.01,2.03,9.01 04/02/12 EDIETS COM INC DE 7.01,9.01 04/06/12 EL PASO ELECTRIC CO /TX/ TX 8.01 04/06/12 EMMAUS LIFE SCIENCES, INC. DE 5.02 04/02/12 ENOVA SYSTEMS INC CA 2.02,9.01 04/03/12 Enphase Energy, Inc. DE 5.03,8.01,9.01 04/04/12 EXAR CORP DE 5.02 04/03/12 EXELON CORP PA 5.02,5.07 04/02/12 Express Scripts Holding Co. DE 8.01,9.01 04/02/12 EXPRESS SCRIPTS INC DE 8.01,9.01 04/02/12 FEDERAL AGRICULTURAL MORTGAGE CORP 5.02,7.01,9.01 04/03/12 FEDERAL AGRICULTURAL MORTGAGE CORP 5.02,9.01 04/05/12 Federal Home Loan Bank of Dallas 2.03,9.01 04/02/12 Firefish, Inc NV 5.03,9.01 04/05/12 FIRST CAPITAL BANCORP, INC. VA 8.01,9.01 04/06/12 Florida Bank Group, Inc. FL 5.02 04/02/12 FNB United Corp. NC 2.02,9.01 04/06/12 FORWARD INDUSTRIES INC NY 1.02,5.02,9.01 04/02/12 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 04/06/12 FUELCELL ENERGY INC DE 5.07 04/05/12 GENERAL ELECTRIC CAPITAL CORP CT 8.01 04/03/12 GENERAL ELECTRIC CO NY 8.01 04/03/12 GENETHERA INC FL 4.02 09/30/11 Global Investor Services, Inc. UT 5.03,9.01 03/27/12 GlobalOptions Group, Inc. 5.02,8.01,9.01 04/02/12 GRYPHON GOLD CORP NV 5.02 04/02/12 GYRODYNE CO OF AMERICA INC NY 8.01,9.01 04/06/12 HARMONIC ENERGY, INC. NV 1.01,9.01 03/14/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 1.01,2.03,8.01,9.01 04/02/12 AMEND HD SUPPLY, INC. DE 8.01 04/05/12 HERCULES OFFSHORE, INC. DE 1.01,1.02,2.03,9.01 04/06/12 Hines Global REIT, Inc. MD 8.01 04/06/12 HOLLOMAN ENERGY CORP NV 5.02 04/03/12 IAC/INTERACTIVECORP DE 7.01,9.01 04/06/12 ILLINOIS TOOL WORKS INC DE 8.01 04/06/12 IMAGE ENTERTAINMENT INC DE 1.01,9.01 04/02/12 India Globalization Capital, Inc. MD 8.01,9.01 04/05/12 InspireMD, Inc. DE 1.01,2.03,3.02,7.01, 04/05/12 9.01 INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02 04/03/12 IRONCLAD PERFORMANCE WEAR CORP 5.02 04/05/12 J C PENNEY CO INC DE 2.05 04/05/12 KAISER VENTURES LLC DE 1.01,2.01,5.02 04/02/12 KB HOME DE 8.01 04/05/12 LANDMARK BANCORP INC DE 7.01,9.01 04/06/12 LBI MEDIA HOLDINGS INC 2.02,9.01 04/02/12 LEVEL 3 COMMUNICATIONS INC DE 5.02 04/04/12 LEVIATHAN MINERALS GROUP INC. DE 1.01,2.01,3.02,5.01, 08/26/11 AMEND 5.02,5.06,9.01 LIFE PARTNERS HOLDINGS INC TX 5.03,9.01 04/02/12 Madison Square Garden Co DE 5.07 11/30/11 AMEND MAGNUM HUNTER RESOURCES CORP DE 2.01,3.02,7.01,9.01 04/02/12 MAMMATECH CORP FL 8.01 03/31/12 MEDCO HEALTH SOLUTIONS INC DE 8.01,9.01 04/02/12 MICRON TECHNOLOGY INC DE 1.01,1.02,2.01 04/06/12 MOLINA HEALTHCARE INC DE 7.01 04/06/12 MPG Office Trust, Inc. MD 5.02 04/02/12 NORTHEAST COMMUNITY BANCORP INC X1 5.02 04/06/12 NORTHEAST UTILITIES MA 8.01,9.01 04/04/12 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 04/02/12 NRG ENERGY, INC. DE 1.01,9.01 04/05/12 Omnitek Engineering Corp CA 1.01,3.01,9.01 04/05/12 ONEOK INC /NEW/ OK 7.01,9.01 04/06/12 ONEOK Partners LP DE 7.01,9.01 04/06/12 OSI SYSTEMS INC DE 5.02,9.01 04/04/12 PAID INC DE 4.01 04/05/12 Parametric Sound Corp NV 5.02,9.01 04/03/12 Pebblebrook Hotel Trust MD 7.01 04/06/12 Perfumania Holdings, Inc. FL 8.01 04/05/12 Perfumania Holdings, Inc. FL 7.01,9.01 04/05/12 Pernix Group, Inc. 8.01 04/02/12 PHARMOS CORP NV 8.01,9.01 04/05/12 PINNACLE AIRLINES CORP DE 3.01 04/02/12 PINNACLE ENTERTAINMENT INC. DE 5.02,9.01 04/05/12 PLANAR SYSTEMS INC OR 2.02,9.01 04/05/12 POINDEXTER J B & CO INC DE 1.02,9.01 04/02/12 PREMIERWEST BANCORP OR 5.02,9.01 04/05/12 PROVIDENCE & WORCESTER RAILROAD CO/RI RI 8.01 04/06/12 PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 04/05/12 RES CARE INC /KY/ KY 1.01,1.02,2.03,9.01 04/06/12 RLJ Acquisition, Inc. NV 1.01,9.01 04/02/12 SCICLONE PHARMACEUTICALS INC DE 5.02,9.01 04/02/12 SecureAlert, Inc. UT 8.01 04/05/12 Shengkai Innovations, Inc. FL 5.02,9.01 04/06/12 Silicon Graphics International Corp DE 5.02 04/02/12 SKYLINE CORP IN 2.02,9.01 04/06/12 SOURCE ROCK, INC. NV 5.02 12/01/11 AMEND STAGE STORES INC NV 8.01,9.01 04/05/12 STANDARD REGISTER CO OH 3.01,9.01 04/06/12 SUMMER ENERGY HOLDINGS INC NV 4.01,9.01 04/05/12 SUNPEAKS VENTURES, INC. 1.01,9.01 03/30/12 Talon Therapeutics, Inc. DE 5.07,9.01 04/05/12 TAYLOR CAPITAL GROUP INC DE 1.01,9.01 04/03/12 TELLABS INC DE 1.01,5.02,8.01,9.01 04/05/12 TENNECO INC DE 8.01 04/05/12 Timberline Resources Corp DE 7.01,9.01 04/05/12 TUFCO TECHNOLOGIES INC DE 1.01,9.01 04/03/12 U.S. SILICA HOLDINGS, INC. DE 5.02 04/05/12 VALCOM, INC DE 5.02,7.01,9.01 03/30/12 Vantage Drilling CO E9 1.01,9.01 04/02/12 WESTERN ALLIANCE BANCORPORATION NV 8.01,9.01 04/05/12 WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 03/30/12 WIRELESS RONIN TECHNOLOGIES INC MN 3.01 04/02/12 Yankee Holding Corp. DE 5.02 04/02/12 Zentric, Inc. NV 1.01,9.01 04/06/12 ZST Digital Networks, Inc. DE 3.01,9.01 04/06/12 ZYNGA INC DE 1.02,9.01 04/02/12