SEC Suspends Trading in Securities of City Capital Corporation
The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of City Capital Corporation (City Capital), of Las Vegas, Nevada and Cypress, California at 9:30 a.m. EDT on April 13, 2012, and terminating at 11:59 p.m. EDT on April 26, 2012.
The Commission temporarily suspended trading in the securities of City Capital because of questions that have been raised about the accuracy and adequacy of publicly available information about City Capital because it has not filed any periodic reports since its delinquent 2009 Form 10-K, filed June 15, 2010.
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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to City Capital’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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, please call David L. Peavler, Associate Director, Fort Worth Regional Office, (817) 978-3821. (Rel. 34-66802)
SEC Shuts Down Ponzi Scheme Targeting Persian-Jewish Community in Los Angeles
The Securities and Exchange Commission today obtained an emergency court order to halt an ongoing Ponzi scheme that targeted members of the Persian-Jewish community in Los Angeles.
The SEC alleges that for the past two years, Shervin Neman raised more than $7.5 million from investors by claiming to be a hedge fund manager. Neman told investors that his purported hedge fund – Neman Financial L.P. – invested in foreclosed residential properties that would be quickly flipped for profit as well as in Facebook shares obtained in private transactions and other highly anticipated initial public offerings including Groupon, LinkedIn, and Angie’s List. Although Neman promised investors exorbitant returns resulting from his investing acumen and access to pre-IPO shares of well-known companies, what they actually received was simply other investors’ money in hallmark Ponzi scheme fashion.
“Neman deceived members of his own community to raise money in this fraudulent Ponzi scheme,” said Michele Wein Layne, Associate Regional Director of the SEC’s Los Angeles Office. “By exploiting investors’ trust in him, Neman was continually able to raise more money to pay back existing investors and finance an extravagant lifestyle.”
The Honorable Jacqueline H. Nguyen for the U.S. District Court for the Central District of California granted the SEC’s request for a temporary restraining order and asset freeze against Neman and the entities he controlled.
According to the SEC’s complaint, Neman raised funds from at least 11 investors in the fraudulent securities offering. Most of the investors are members of the Los Angeles Persian-Jewish community along with Neman, who lives in the Century City area of Los Angeles. More than 99 percent of the money Neman raised was used either to pay existing investors or fund his lavish lifestyle. Neman spent nearly $1.6 million of investor funds to buy jewelry and high-end cars as well as to finance his wedding and honeymoon, other vacations, and VIP tickets to sporting events.
The SEC’s investigation was conducted by Cindy Eson of the Los Angeles Regional Office. Molly White will lead the litigation. Joshua Bauder, Harden Sooper, and Yanna Stoyanoff conducted the SEC examination that prompted the investigation.
Judge Nguyen has scheduled a court hearing for April 23 at 2 p.m. on the SEC’s motion for a preliminary injunction. (Press Rel. 2012-64)
Closed Meeting on Thursday, April 19, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, April 19, 2012, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; a litigation matter; and an opinion.
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 Alchemy Ventures, Inc.
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default as to Respondents KM Capital Management, LLC, and Joshua A. Klein (Default Order) in Alchemy Ventures, Inc., Admin. Proc. No. 3-14720. The Default Order finds that, from September 2009 to August 2010, Respondents KM Capital Management, LLC, and Joshua A. Klein (collectively, Respondents) acted as unregistered brokers and, thus, violated Section 15(a) of the Securities Exchange Act of 1934. The Default Order orders Respondents to cease and desist from violating Section 15(a) of the Exchange Act, censures Respondents, orders Respondents to pay disgorgement, jointly and severally, in the amount of $102,802.58 and prejudgment interest of $5,603.98, and orders KM Capital to pay a civil penalty of $150,000 and Klein a civil penalty of $50,000. The Default Order orders the disgorgement and civil penalties be used to create a Fair Fund for the benefit of harmed investors. (Rel. 34-66801; File No. 3-14720)
In the Matter of Advanced Growing Systems, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents (Default Order) in Advanced Growing Systems, Inc., Admin. Proc. File No. 3-14794. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Advanced Growing Systems, Inc., Advantage Capital Development Corp., Bravo! Brands, Inc., and BSML, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-66803; File No. 3-14794)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-30) relating to increasing certain rebates and taker fees for complex orders in options on the SPDR® S&P500® ETF Trust 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 16. (Rel. 34-66789)
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-25) relating to fees and rebates 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 16. (Rel. 34-66790)
A proposed rule change filed by NASDAQ OMX BX, Inc. to amend Chapter V, Section 16 of the BOX Trading Rules (SR-BX-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 April 16. (Rel. 34-66792)
A proposed rule change, (SR-ISE-2012-27), filed by the International Securities Exchange, LLC, to amend an existing fee cap program and a related service fee 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 16. (Rel. 34-66793)
A proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2012-015) related to fees for use of BATS Exchange, Inc. 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 16. (Rel. 34-66794)
A proposed rule change filed by NYSE Amex LLC to adopt recent changes to FINRA Rules 7440 and 7450, and to adopt recent changes to FINRA Rule 5320 by amending Supplementary Material .02 to NYSE Amex Equities Rule 5320 to require that member organizations report to the Order Audit Trail System information barriers put into place by the member organization in reliance on Supplementary Material .02 to NYSE Amex Equities Rule 5320 (SR-NYSEAmex-2012-21) 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 16. (Rel. 34-66795)
A proposed rule change filed by the New York Stock Exchange LLC to adopt recent changes to FINRA Rules 7440 and 7450, and to adopt recent changes to FINRA Rule 5320 by amending Supplementary Material .02 to NYSE Rule 5320 to require that member organizations report to the Order Audit Trail System information barriers put into place by the member organization in reliance on Supplementary Material .02 to NYSE Rule 5320 (SR-NYSE-2012-09) 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 16. (Rel. 34-66797)
A proposed rule change filed by NYSE Arca, Inc. to adopt recent changes to FINRA Rules 7440 and 7450, and to adopt recent changes to FINRA Rule 5320 by amending Commentary .02 to NYSE Arca Equities Rule 5320 to require that ETP Holders report to the Order Audit Trail System information barriers put into place by the ETP Holder in reliance on Commentary .02 to NYSE Arca Equities Rule 5320 (SR-NYSEArca-2012-27) 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 16. (Rel. 34-66798)
A proposed rule change filed by NASDAQ OMX PHLX LLC relating to FINRA fees (SR-Phlx-2012-38) 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 16. (Rel. 34-66799)
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-3 Star Bulk Carriers Corp., C/O STAR BULK MANAGEMENT INC., 40 AGIOU KONSTANTINOU STR, MAROUSSI, ATHENS, J3, 15124, 011-30-210-617-8400 - 0 ($258,902,576.00) Unallocated (Universal) Shelf, (File 333-180674 - Apr. 12) (BR. 05C) S-3 Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO, OR, 97034, 855 855 GALE - 9,470,000 ($6,155,500.00) Equity, (File 333-180675 - Apr. 12) (BR. 01B) N-2 TORTOISE ENERGY INDEPENDENCE FUND, INC., 11550 ASH STREET, SUITE 300, LEAWOOD, KS, 66211, 913-981-1020 - 0 ($5,000,000.00) Equity, (File 333-180678 - Apr. 12) (BR. ) S-4 LG&E & KU Energy LLC, 220 WEST MAIN STREET, LOUISVILLE, KY, 40202, 502-672-2000 - 0 ($250,000,000.00) Debt, (File 333-180679 - Apr. 12) (BR. 02) S-1 PROTECTIVE LIFE INSURANCE CO, 2801 HIGHWAY 280 SOUTH, BIRMINGHAM, AL, 35223, 2058799230 - 0 ($1.00) Other, (File 333-180680 - Apr. 12) (BR. 01B) S-1 Advantage Disposal Solutions, Inc., 42583 NORTH COYOTE ROAD, QUEEN CREEK, AZ, 85140, 602-421-4464 - 90,000,000 ($1,800,000.00) Equity, (File 333-180681 - Apr. 12) (BR. 04) S-3 FERRELLGAS PARTNERS L P, 7500 COLLEGE BOULEVARD, STE 1000, OVERLAND PARK, KS, 66210, 9136611500 - 0 ($750,000,000.00) Unallocated (Universal) Shelf, (File 333-180684 - Apr. 12) (BR. 02A) S-3ASR Meritage Homes CORP, 17851 NORTH 85TH STREET, SUITE 300, SCOTTSDALE, AZ, 85255, 480-515-8100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180685 - Apr. 12) (BR. 06A) S-1 YADKIN VALLEY FINANCIAL CORP, 209 NORTH BRIDGE STREET, P. O. BOX 888, ELKIN, NC, 28621, (336) 526-6300 - 49,312 ($49,312,000.00) Equity, (File 333-180686 - Apr. 12) (BR. 07B) S-8 Solar Energy Initiatives, Inc., 818 A1A NORTH,, SUITE 201, PONTE VEDRA BEACH, FL, 32082, (904) 251-4910 - 2,000,000 ($96,000.00) Equity, (File 333-180687 - Apr. 12) (BR. 10C) S-1 COSI INC, COSI INC, 1751 LAKE COOK ROAD SUITE 650, DEERFIELD, IL, 60015, 847-597-3200 - 0 ($15,000,000.00) Equity, (File 333-180688 - Apr. 12) (BR. 05A) N-2 New Mountain Finance Corp, 787 SEVENTH AVENUE, 48TH FLOOR, NEW YORK, NY, 10019, (212) 720-0300 - 0 ($469,706,115.04) Equity, (File 333-180689 - Apr. 12) (BR. 17) S-1 AspenBio Pharma, Inc., 1585 S. PERRY STREET, CASTLE ROCK, CO, 80104, (303) 794-2000 - 0 ($18,187,000.00) Equity, (File 333-180691 - Apr. 12) (BR. 01B)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 8.01,9.01 04/10/12 AbitibiBowater Inc. DE 8.01,9.01 04/12/12 ACACIA RESEARCH CORP DE 8.01 04/09/12 ACELRX PHARMACEUTICALS INC DE 8.01,9.01 04/11/12 ACORN ENERGY, INC. DE 5.02 04/11/12 AEP INDUSTRIES INC DE 5.07 04/10/12 AIR LEASE CORP DE 1.01 04/09/12 AIR METHODS CORP DE 1.01,5.02,8.01,9.01 04/09/12 ALBANY MOLECULAR RESEARCH INC DE 1.01,1.02,2.03,9.01 04/11/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/12/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 5.02,7.01,9.01 04/11/12 ALLIANCEBERNSTEIN L.P. DE 5.02,7.01,9.01 04/11/12 Allied Nevada Gold Corp. DE 7.01,9.01 04/11/12 Alon Refining Krotz Springs, Inc. DE 8.01,9.01 04/12/12 Alon USA Energy, Inc. DE 8.01,9.01 04/12/12 AMERICAN CRYSTAL SUGAR CO /MN/ MN 5.07 04/10/12 AMERICAN JIANYE GREENTECH HOLDINGS, L NV 4.01,9.01 04/01/12 American Liberty Petroleum Corp. NV 1.01,9.01 04/11/12 Angie's List, Inc. DE 5.02 04/11/12 APOGEE ENTERPRISES, INC. MN 2.02,9.01 04/11/12 APPLIED ENERGETICS, INC. DE 5.02,9.01 04/11/12 ARC WIRELESS SOLUTIONS INC UT 1.01,3.02,8.01,9.01 04/06/12 ARQULE INC DE 1.01,9.01 04/10/12 Artio Global Investors Inc. DE 7.01,9.01 04/12/12 AVAYA INC DE 5.02 04/12/12 AVI BIOPHARMA INC OR 5.02 04/08/12 AZZ INC TX 7.01,8.01,9.01 04/11/12 Bank of New York Mellon CORP DE 5.07 04/10/12 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 5.02,7.01,9.01 04/12/12 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 04/12/12 BERKELEY COFFEE & TEA, INC. NV 4.01 04/11/12 BIGGEST LITTLE INVESTMENTS LP DE 8.01 04/10/12 BioCube, INC. DE 1.01,1.02,8.01,9.01 04/12/12 BioRestorative Therapies, Inc. NV 8.01,9.01 04/10/12 BIOTIME INC CA 7.01,9.01 04/09/12 BISON INSTRUMENTS INC MN 4.01 04/12/12 Bonanza Goldfield Corp. NV 5.02 04/06/12 BRAMPTON CREST INTERNATIONAL INC NV 4.01,9.01 03/05/12 BROCADE COMMUNICATIONS SYSTEMS INC DE 8.01 04/10/12 C & F FINANCIAL CORP VA 1.01,7.01,9.01 04/11/12 Cal Dive International, Inc. DE 7.01 04/11/12 CARMIKE CINEMAS INC DE 8.01,9.01 04/12/12 CATALYST RESOURCE GROUP, INC. FL 4.01,9.01 03/13/12 CATERPILLAR INC DE 5.02,9.01 04/12/12 CenterState Banks, Inc. FL 2.01,9.01 01/27/12 AMEND Ceres, Inc. DE 2.02,9.01 04/12/12 CHEROKEE INC DE 2.02,9.01 04/12/12 China Botanic Pharmaceutical 5.02,5.07,8.01,9.01 04/09/12 CHINA SHEN ZHOU MINING & RESOURCES, I NV 9.01 01/16/12 AMEND CIT GROUP INC DE 5.02,9.01 04/09/12 CITIZENS & NORTHERN CORP PA 2.02,9.01 04/12/12 CKE RESTAURANTS INC DE 2.02,9.01 04/10/12 CleanTech Biofuels, Inc. 1.02 04/11/12 AMEND COINSTAR INC DE 2.02,7.01,9.01 04/12/12 COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 04/12/12 COMMUNITY BANCORP /VT VT 2.02,9.01 04/11/12 COMPUTER SCIENCES CORP NV 7.01,9.01 04/12/12 Converted Organics Inc. DE 1.01,3.02,9.01 04/11/12 Converted Organics Inc. DE 3.02 04/10/12 CYTEC INDUSTRIES INC/DE/ DE 1.01,2.02,8.01,9.01 04/12/12 DENNYS CORP DE 1.01,1.02,2.03,9.01 04/12/12 DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 04/12/12 DSP GROUP INC /DE/ DE 5.02 04/06/12 DUMA ENERGY CORP NV 7.01,9.01 04/12/12 EAGLE ROCK ENERGY PARTNERS L P DE 1.01,9.01 04/06/12 Eastern Resources, Inc. DE 1.01,2.01,3.02,5.01, 04/06/12 5.02,9.01 Emergency Medical Services CORP DE 8.01 04/12/12 ERHC Energy Inc CO 8.01,9.01 04/11/12 Euramax Holdings, Inc. DE 5.02,9.01 04/12/12 FASTENAL CO MN 2.02,9.01 03/31/12 Federal Home Loan Bank of Atlanta X1 2.03 04/12/12 Federal Home Loan Bank of Boston X1 2.03 04/10/12 Federal Home Loan Bank of Chicago X1 2.03 04/09/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/09/12 Federal Home Loan Bank of Des Moines X1 7.01,9.01 04/12/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/10/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/12/12 Federal Home Loan Bank of New York X1 2.03,9.01 04/09/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/09/12 Federal Home Loan Bank of San Francis X1 2.03 04/10/12 Federal Home Loan Bank of Seattle 2.03 04/10/12 Federal Home Loan Bank of Topeka 2.03,9.01 04/09/12 FERRO CORP OH 7.01,9.01 04/12/12 FIRST INDUSTRIAL LP DE 7.01,9.01 04/12/12 FIRST INDUSTRIAL REALTY TRUST INC MD 7.01,9.01 04/12/12 FIRST M&F CORP/MS MS 5.07 04/11/12 FIRST MIDWEST BANCORP INC DE 5.02 04/06/12 FREDERICK COUNTY BANCORP INC MD 5.07 04/12/12 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.01 04/12/12 GASTAR EXPLORATION LTD 5.02,9.01 04/10/12 GE Capital Credit Card Master Note Tr DE 1.01,8.01,9.01 04/11/12 Google Inc. DE 2.02,8.01,9.01 04/12/12 Griffin Capital Net Lease REIT, Inc. 9.01 01/31/12 AMEND GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 04/12/12 GROUP 1 AUTOMOTIVE INC DE 7.01 04/11/12 Halo Companies, Inc. DE 2.02,9.01 04/12/12 HARSCO CORP DE 7.01,9.01 04/11/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 04/04/12 HCA Holdings, Inc. 2.02,7.01,9.01 04/12/12 HELIX BIOMEDIX INC DE 1.01 04/09/12 Homeowners Choice, Inc. FL 8.01,9.01 04/09/12 Horizon Lines, Inc. 2.02,7.01,8.01,9.01 04/10/12 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 04/12/12 HWI GLOBAL INC. NV 1.01,9.01 04/09/12 IDAHO POWER CO ID 8.01,9.01 04/10/12 Ideal Financial Solutions Inc 4.01,4.02 04/12/12 IF Bancorp, Inc. MD 5.02,9.01 04/10/12 IMH Financial Corp DE 8.01 04/11/12 IMPERIAL SUGAR CO /NEW/ TX 2.01 04/06/12 INDEPENDENT BANK CORP MA 2.02,7.01,9.01 04/12/12 INNOVATIVE FOOD HOLDINGS INC FL 1.01,9.01 04/06/12 INTERNATIONAL LEASE FINANCE CORP CA 1.01,1.02,2.03,7.01, 04/12/12 9.01 IntraLinks Holdings, Inc. DE 1.01,9.01 04/06/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 8.01 04/10/12 JA Energy 5.06 04/12/12 JOE'S JEANS INC. DE 2.02,9.01 04/12/12 Kallisto Ventures, Inc. DE 1.01,5.01,5.02,9.01 04/12/12 KBS Legacy Partners Apartment REIT, I MD 2.01,9.01 02/09/12 AMEND L & L ENERGY, INC. NV 8.01 04/12/12 L & L ENERGY, INC. NV 5.02,8.01,9.01 04/12/12 MAINLAND RESOURCES INC. 1.01,9.01 03/28/12 MAINLAND RESOURCES INC. 3.02,8.01,9.01 04/10/12 MAP Pharmaceuticals, Inc. DE 8.01,9.01 04/12/12 MARKETAXESS HOLDINGS INC 5.02 04/06/12 MAXIMUS INC VA 8.01,9.01 04/09/12 MBIA INC CT 8.01 04/11/12 MCKESSON CORP DE 8.01,9.01 04/11/12 MEDTOX SCIENTIFIC INC DE 2.02,9.01 04/12/12 MERCER INTERNATIONAL INC. WA 1.01,5.07,9.01 04/10/12 METABOLIX, INC. 5.02 04/06/12 MILLER ENERGY RESOURCES, INC. TN 3.02,7.01,9.01 04/06/12 MINDEN BANCORP, INC. LA 7.01,9.01 04/10/12 MISSION WEST PROPERTIES INC CA 2.02,9.01 04/11/12 MONARCH CEMENT CO KS 5.07 04/11/12 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02 04/11/12 NANOMETRICS INC DE 5.03,9.01 04/06/12 NATIONAL BANKSHARES INC VA 5.07 04/12/12 NATIONAL BANKSHARES INC VA 2.02,9.01 04/12/12 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 04/12/12 NBT BANCORP INC DE 8.01 04/10/12 Net Element, Inc. DE 1.01,9.01 04/06/12 Neuralstem, Inc. DE 5.02 04/09/12 NEWS CORP 8.01,9.01 04/12/12 NORTHEAST UTILITIES MA 4.01 04/09/12 NORTHRIDGE VENTURES INC. 1.01,2.01,2.03,3.02, 10/08/10 AMEND 5.01,5.03,5.06,9.01 Novus Robotics Inc. NV 5.03,9.01 04/10/12 NUTRACEA CA 5.02 04/12/12 OFFICEMAX INC DE 5.02,9.01 04/06/12 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 3.02 04/09/12 Pacira Pharmaceuticals, Inc. DE 1.01,8.01,9.01 04/12/12 PAREXEL INTERNATIONAL CORP MA 5.07 04/12/12 AMEND PARK ELECTROCHEMICAL CORP NY 5.02,9.01 04/09/12 PCS EDVENTURES COM INC ID 5.02 03/16/12 PDL BIOPHARMA, INC. DE 8.01,9.01 04/12/12 PENN VIRGINIA CORP VA 5.02,9.01 04/10/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,3.02,9.01 04/09/12 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 04/09/12 PEOPLES FINANCIAL SERVICES CORP. PA 9.01 04/12/12 PERFICIENT INC DE 5.02 04/09/12 PIER 1 IMPORTS INC/DE DE 5.02,9.01 04/06/12 PINNACLE BANKSHARES CORP VA 5.07 04/10/12 POLYMER GROUP INC DE 2.05,9.01 04/10/12 PPLUS Trust Series GSC-2 DE 8.01,9.01 04/12/12 PPLUS Trust Series JPM-1 DE 8.01,9.01 04/12/12 PROSPECT GLOBAL RESOURCES INC. NV 7.01,9.01 04/12/12 PULSE ELECTRONICS CORP PA 5.02,9.01 04/06/12 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 04/02/12 Q LOTUS HOLDINGS INC NV 1.01,2.03,9.01 04/02/12 QSGI INC. DE 8.01 04/09/12 QUAINT OAK BANCORP INC 7.01,9.01 04/11/12 Raptor Pharmaceutical Corp DE 8.01 04/12/12 REAL ESTATE ASSOCIATES LTD VII CA 8.01 04/11/12 REDDY ICE HOLDINGS INC DE 2.02,9.01 04/12/12 REDDY ICE HOLDINGS INC DE 7.01,9.01 04/12/12 REPUBLIC BANCORP INC /KY/ KY 2.01,9.01 01/27/12 AMEND Resolute Energy Corp DE 1.01,8.01,9.01 04/09/12 RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 04/12/12 REYNOLDS AMERICAN INC 2.03 04/11/12 RITE AID CORP DE 2.02,9.01 04/12/12 ROLLINS INC DE 8.01,9.01 04/11/12 ROWAN COMPANIES INC DE 1.01,8.01,9.01 04/12/12 SANGUI BIOTECH INTERNATIONAL INC CO 8.01,9.01 04/05/12 SEARCH BY HEADLINES.COM CORP. NV 1.01,2.03,9.01 04/11/12 SIFCO INDUSTRIES INC OH 5.02 04/09/12 SM Energy Co DE 7.01,9.01 04/11/12 SOLTA MEDICAL INC DE 5.03,9.01 04/10/12 SRKP 16 INC DE 4.01,9.01 04/06/12 STEEL PARTNERS HOLDINGS L.P. DE 1.01,3.02 04/11/12 STELLAR PHARMACEUTICALS INC 1.01,9.01 04/05/12 SUNOVIA ENERGY TECHNOLOGIES INC NV 1.02,3.02,5.02,9.01 04/06/12 Swisher Hygiene Inc. DE 1.01,3.01,8.01,9.01 04/11/12 Symmetry Medical Inc. DE 8.01,9.01 04/12/12 TE Connectivity Ltd. V8 2.02,7.01,9.01 04/12/12 TENET HEALTHCARE CORP NV 2.02,9.01 04/12/12 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 04/11/12 THRESHOLD PHARMACEUTICALS INC DE 1.01,5.02,9.01 04/06/12 Tootie Pie Company, Inc. TX 1.01,3.02,9.01 04/06/12 TORON INC. NV 1.01,9.01 01/25/12 AMEND TRACTOR SUPPLY CO /DE/ DE 2.02,7.01,9.01 04/12/12 Trius Therapeutics Inc DE 5.02 04/06/12 UMB FINANCIAL CORP MO 7.01,9.01 04/11/12 UNIFIED GROCERS, INC. CA 5.07 02/16/11 AMEND UNITED STATES CELLULAR CORP DE 5.02,5.03,8.01,9.01 04/12/12 US GEOTHERMAL INC DE 8.01,9.01 04/11/12 USG CORP DE 1.01,2.03,8.01,9.01 04/12/12 WEINGARTEN REALTY INVESTORS /TX/ TX 1.01,7.01,9.01 04/10/12 WESTMORELAND COAL Co DE 9.01 01/31/12 AMEND WYNN RESORTS LTD 1.01,9.01 04/09/12 ZALDIVA INC FL 5.03,9.01 04/11/12