Securities and Exchange Commission Suspends Trading in the Securities of Six 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. EDT on May 24, 2012 and terminating at 11:59 p.m. EDT on June 7, 2012.
The Commission temporarily suspended trading in the securities of these six 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 Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-67050)
Securities and Exchange Commission Suspends Trading of the Securities of Indocan Resources, Inc. Because of Questions Regarding the Adequacy of Publicly Available Information About the Company
The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading of the securities of Indocan Resources, Inc. (“IDCN”), of Morehead City, North Carolina at 9:30 a.m. EST on May 24, 2012, and terminating at 11:59 p.m. EDT on June 7, 2012.
The Commission temporarily suspended trading in the securities of IDCN because of questions that have been raised about the adequacy of publicly available information about the company.
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 IDCN 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, they should contact one of the following individuals: Andrew M. Calamari, (212) 336-0042 or firstname.lastname@example.org, Associate Regional Director, New York Regional Office or Michael D. Paley, (212) 336-0145 or email@example.com, Assistant Regional Director, New York Regional Office. (Rel. 34-67052)
SEC Charges Northern California Fund Manager in $60 Million Scheme
The Securities and Exchange Commission today charged an investment adviser in Scotts Valley, Calif., with running a $60 million investment fund like a Ponzi scheme and defrauding investors by touting imaginary trading profits instead of reporting the actual trading losses he incurred.
The SEC alleges that John A. Geringer, who managed the GLR Growth Fund, used false and misleading marketing materials to lure investors into believing that the fund was earning double-digit annual returns by investing 75 percent of its assets in investments tied to major stock indices. In reality, Geringer’s trading generated consistent losses and he eventually stopped trading entirely. To mask his fraud, Geringer paid millions of dollars in “returns” to investors largely by using money received from newer investors. He also sent investors periodic account statements showing fictitious growth in their investments.
“Geringer painted the picture of a successful fund weathering America’s financial crisis through a diversified, conservative investment strategy,” said Marc Fagel, Director of the SEC’s San Francisco Regional Office. “The reality, however, was the complete opposite. Geringer lost millions of dollars in the market, tied up remaining investor funds in a pair of illiquid private companies, and lied about it in phony account statements.”
According to the SEC’s complaint filed in federal court in San Jose, Geringer raised more than $60 million since 2005, mostly from investors in the Santa Cruz area. Geringer used fraudulent marketing materials claiming that the fund had between 17 and 25 percent annual returns in every year of the fund’s operation through investments tied to well-known stock indices like the S&P 500, NASDAQ, and Dow Jones. Although the fund was started in 2003, marketing materials claimed 25 percent returns in 2001 and 2002 – before the fund even existed. The marketing materials also falsely indicated a nearly 24 percent return in 2008 from investing mainly in publicly-traded securities, options, and commodities, while the S&P 500 Index lost 38.5 percent.
The SEC alleges that Geringer’s actual securities trading was unsuccessful, and by mid-2009 the fund did not invest in publicly-traded securities at all. Instead, the fund invested heavily in illiquid investments in two private startup technology companies. The rest of the money was paid to investors in Ponzi-like fashion and to three entities Geringer controlled that also are charged in the SEC’s complaint.
According to the SEC’s complaint, Geringer further lied to investors on account statements that falsely claimed “MEMBER NASD AND SEC APPROVED.” The SEC does not “approve” funds or investments in funds, nor was the fund (or any related entity) a member of the NASD (now called the Financial Industry Regulatory Authority – FINRA). Geringer also falsely claimed that the fund’s financial statements were audited annually by an independent accountant. No such audits were performed.
The SEC’s complaint alleges Geringer and three related entities violated or aided and abetted violations of the antifraud provisions of the securities laws as well as a statute barring people from claiming that the SEC has passed on the merits of a particular investment. The SEC seeks financial penalties, disgorgement of ill-gotten gains, preliminary and permanent injunctions, and other relief. Geringer, the fund, and two of the related entities consented to the entry of a preliminary injunction and a freeze on the fund’s bank account.
The SEC’s investigation, which is continuing, has been conducted by Robert J. Durham and Robert S. Leach of the San Francisco Regional Office. The SEC’s litigation will be led by Sheila O’Callaghan of the San Francisco Regional Office.
The SEC thanks the U.S. Attorney’s Office for the Northern District of California, Federal Bureau of Investigation, and FINRA for their assistance in this matter. (Press Rel. 2012-101; LR-22375)
Change in the Meeting: Additional Item
The following matter will also be considered during the 2:00 p.m. Closed Meeting scheduled for Thursday, May 24, 2012: a personnel matter.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
SEC Advisory Committee on Small and Emerging Companies Open Meeting on Friday, June 8, 2012
The SEC Advisory Committee on Small and Emerging Companies will hold its fourth meeting on Friday, June 8. The meeting will begin at 9:00 a.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters. The event also will be viewable by live webcast, and the webcast will be archived on the website for later viewing. (Rels. 33-9325; 34-67038 File No. 265-27)
Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic Filings
In conjunction with these trading suspensions, 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 six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, 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 proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67051; File No. 3-14890)
Investment Adviser Sanctioned
Investment adviser Koch Asset Management LLC (KAM) and its owner, Donald L. Koch (Koch), have been sanctioned following a hearing before an administrative law judge. They were ordered to cease and desist from violations of the antifraud provisions of the securities laws, to disgorge ill-gotten gains of $4,169.78, and to pay a civil money penalty of $75,000. Additionally, Koch was barred from association with any investment adviser and KAM was censured.
The law judge found that Koch and KAM violated the antifraud provisions by “marking the close” in the purchase of securities for advisory clients. (Initial Decision No. 458; File No. 3-14355)
Stephen H. Guth Settles SEC Insider Trading Charge Concerning Omrix Tender Offer
The U.S. Securities and Exchange Commission today filed a settled civil injunctive action in the U.S. District Court for the District of Columbia alleging that Stephen H. Guth violated the provisions of the federal securities laws that prohibit trading on the basis of material nonpublic information concerning a tender offer. SEC v. Stephen H. Guth, Civil Action No. 1:12-cv-00842 (RBW) (D.D.C. filed May24, 2012).
The Commission’s complaint alleges the following: Guth, a U.S. citizen residing in the United Kingdom, is a self-employed consultant and had been the Chief Financial Officer of Omrix Biopharmaceuticals, Inc. from 1996 to 2000. On October 3, 2008, after Johnson & Johnson, Inc. had taken substantial steps to commence a tender offer for the outstanding shares of Omrix common stock, Guth received an unsolicited communication from the Chief Executive Officer of Omrix requesting assistance with due diligence questions pertaining to transactions that occurred while Guth worked for the company. In October and November 2008, the Chief Executive Officer of Omrix had additional communications with Guth related to due diligence questions. As a result of his communications with the Omrix CEO, Guth learned that an acquisition of Omrix was likely, and he purchased 7,000 shares of Omrix common stock. Guth purchased Omrix securities while in possession of material information relating to the tender offer, which he knew or had reason to know was nonpublic and had been acquired from an officer of the issuer whose securities were to be sought. On November 23, 2008, Omrix and Johnson & Johnson jointly announced the tender offer. Thereafter, defendant Guth tendered his shares of Omrix stock, realizing profits exceeding $60,000.
Without admitting or denying the allegations in the Commission’s complaint, Guth has consented to entry of a proposed Final Judgment that would enjoin him from future violations of the provisions of the federal securities laws that prohibit trading on the basis of material nonpublic information concerning a tender offer, order him to disgorge $63,517, with prejudgment interest of $7,695.49; and impose a civil penalty of $31,758. The proposed settlement is subject to the approval of the district court. [SEC v. Stephen H. Guth, Civil Action No. 1:12-cv-00842 (RBW) (D.D.C.)] (LR-22374)
Steel Partners Holdings L.P.
An order has been issued on an application filed by Steel Partners Holdings L.P. (SPH) under Sections 6(c) and 45(a) of the Investment Company Act of 1940 (Act) exempting SPH from all provisions of the Act until the earlier of one year from the order date or the date that SPH no longer may be deemed to be an investment company, and granting confidential treatment with respect to certain supplemental material submitted to the Commission. (Rel. IC-30070 - May 23)
Proposed Rule Change
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-44) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of iShares Strategic Beta U.S. Large Cap Fund and iShares Strategic Beta U.S. Small Cap Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of May 28. (Rel. 34-67045)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NASDAQ OMX BX, Inc. to eliminate the fees under Rule 7003(b) and adopt a new Equities Regulatory Fee (SR-BX-2012-031) 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 May 28. (Rel. 34-67046)
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-3 TESORO LOGISTICS LP, 19100 RIDGEWOOD PARKWAY, SAN ANTONIO, TX, 78259, 210-626-6000 - 0 ($500,000,000.00) Equity, (File 333-181592 - May. 23) (BR. 04B) S-8 Ensco plc, 6 CHESTERFIELD GARDENS, LONDON, X0, W1J5BQ, 4402076594660 - 14,000,000 ($672,630,000.00) Equity, (File 333-181593 - May. 23) (BR. 04B) S-1 Professional Diversity Network, LLC, 150 NORTH WACKER DRIVE, SUITE 2360, CHICAGO, IL, 60606, 312-827-6440 - 0 ($18,437,600.00) Equity, (File 333-181594 - May. 23) (BR. 03C) S-3ASR ALEXION PHARMACEUTICALS INC, 352 KNOTTER DRIVE, CHESHIRE, CT, 06511, 2037761790 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181595 - May. 23) (BR. 01B) S-3ASR JEFFERIES GROUP INC /DE/, 520 MADISON AVENUE, 12TH FLOOR, NEW YORK, NY, 10022, 212-284-2550 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181596 - May. 23) (BR. 12A) S-1 APT Systems Inc, 16904 76 STREET, EDMONTON, A0, T5Z 3Z9, 7802706048 - 2,140,000 ($428,000.00) Equity, (File 333-181597 - May. 23) (BR. 03) F-10 IVANHOE MINES LTD, SUITE 654, 999 CANADA PLACE, VANCOUVER, A1, V6C 3E1, 604 688 5755 - 0 ($1,800,000,000.00) Equity, (File 333-181598 - May. 23) (BR. 09B) S-1 Modern PVC Inc, 51-01 39TH AVENUE UNIT HH-12, QUEENS, NY, 11104, 7737826273 - 10,000,000 ($100,000.00) Equity, (File 333-181606 - May. 23) (BR. 06) S-8 GENWORTH FINANCIAL INC, 6620 WEST BROAD STREET, RICHMOND, VA, 23230, 804-281-6000 - 16,000,000 ($79,200,000.00) Equity, (File 333-181607 - May. 23) (BR. 01B) S-8 Citi Trends Inc, 104 COLEMAN BOULEVARD, SAVANNAH, GA, 31408, 912-236-1561 - 0 ($25,498,000.00) Equity, (File 333-181609 - May. 23) (BR. 09A) S-8 Fraternity Community Bancorp Inc, 764 WASHINGTON BOULEVARD, BALTIMORE, MD, 21230, 410-539-1313 - 0 ($2,332,890.00) Equity, (File 333-181613 - May. 23) (BR. 07B) S-1 Stereotaxis, Inc., 4320 FOREST PARK AVENUE, SUITE 100, ST.LOUIS, MO, 63108, 314-678-6100 - 0 ($8,176,100.79) Equity, (File 333-181618 - May. 23) (BR. 10B) S-8 BIG LOTS INC, 300 PHILLIPI ROAD, P.O.BOX 28512, COLUMBUS, OH, 43228-0512, 614-278-6800 - 0 ($278,767,500.00) Equity, (File 333-181619 - May. 23) (BR. 02C) S-8 MONTPELIER RE HOLDINGS LTD, MONTPELIER HOUSE, 94 PITTS BAY ROAD, PEMBROKE, D0, HM 08, 441 296 5550 - 0 ($94,893,000.00) Equity, (File 333-181620 - May. 23) (BR. 01B) S-3 SYNAGEVA BIOPHARMA CORP, 128 SPRING STREET, SUITE 520, LEXINGTON, MA, 02421, (781) 357-9900 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-181621 - May. 23) (BR. 01B) S-8 ONYX PHARMACEUTICALS INC, 249 E. GRAND AVE., SOUTH SAN FRANCISCO, CA, 94080, 650-266-0000 - 2,000,000 ($84,120,000.00) Equity, (File 333-181622 - May. 23) (BR. 01B) S-8 DILLARDS INC, 1600 CANTRELL RD, LITTLE ROCK, AR, 72201, 5013765200 - 0 ($195,840,000.00) Equity, (File 333-181623 - May. 23) (BR. 02A) S-1 Lion Consulting Group Inc., 16192 COASTAL HIGHWAY, LEWES, DE, 19958, (940) 604-6214 - 5,000,000 ($100,000.00) Equity, (File 333-181624 - May. 23) (BR. ) S-8 NVIDIA CORP, 2701 SAN TOMAS EXPRESSWAY, SANTA CLARA, CA, 95050, 408-486-2000 - 57,000,000 ($691,410,000.00) Equity, (File 333-181625 - May. 23) (BR. 10B) S-8 Ampio Pharmaceuticals, Inc., 5445 DTC PARKWAY, SUITE 925, GREENWOOD VILLAGE, CO, 80111, 720-437-6500 - 1,200,000 ($3,264,000.00) Equity, (File 333-181626 - May. 23) (BR. 01B) S-8 NORMAN CAY DEVELOPMENT, INC., 2817 NE 32 STREET, #201, FORT LAUDERDALE, FL, 33306, 954-683-3766 - 4,883,000 ($830,110.00) Equity, (File 333-181627 - May. 23) (BR. 11A) S-1 HERITAGE OAKS BANCORP, 545 12TH ST, PASO ROBLES, CA, 93446, 8052395200 - 0 ($24,149,998.00) Other, (File 333-181628 - May. 23) (BR. 07B) S-8 MetroCorp Bancshares, Inc., 9600 BELLAIRE BOULEVARD, SUITE 252, HOUSTON, TX, 77036, (713) 776-3876 - 500,000 ($4,835,000.00) Equity, (File 333-181629 - May. 23) (BR. 07C)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 1st United Bancorp, Inc. FL 5.07 05/22/12 ACACIA RESEARCH CORP DE 5.03,5.07,9.01 05/17/12 ACTIVE POWER INC DE 5.02,5.07 05/17/12 ADA-ES INC CO 7.01,9.01 05/23/12 AG Mortgage Investment Trust, Inc. MD 5.07 05/23/12 AIR PRODUCTS & CHEMICALS INC /DE/ DE 5.05,9.01 05/17/12 ALERE INC. DE 8.01 05/22/12 ALEXION PHARMACEUTICALS INC DE 7.01 05/23/12 Alliance Holdings GP, L.P. DE 7.01,9.01 05/23/12 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 05/23/12 ALLSTATE CORP DE 3.03,5.03,5.05,8.01, 05/21/12 9.01 Altisource Portfolio Solutions S.A. N4 7.01,9.01 05/23/12 American Railcar Industries, Inc. ND 7.01,9.01 05/22/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 05/23/12 American Realty Capital Trust III, In MD 8.01,9.01 05/18/12 AMPAL-AMERICAN ISRAEL CORP NY 3.01 05/23/12 AMREP CORP. OK 8.01 05/21/12 ANTARES PHARMA, INC. DE 5.02,5.07 05/17/12 Apple REIT Eight, Inc. VA 5.07 05/17/12 Apple REIT Eight, Inc. VA 2.02,9.01 05/22/12 Apple REIT Nine, Inc. VA 5.07 05/17/12 Apple REIT Nine, Inc. VA 2.02,9.01 05/22/12 Apple REIT Seven, Inc. VA 5.07 05/17/12 Apple REIT Seven, Inc. VA 2.02,9.01 05/22/12 APPLE REIT SIX INC 5.07 05/17/12 APPLE REIT SIX INC 2.02,9.01 05/22/12 Apple REIT Ten, Inc. VA 5.07 05/17/12 Apple REIT Ten, Inc. VA 2.02,9.01 05/22/12 ARMSTRONG WORLD INDUSTRIES INC PA 7.01,9.01 05/23/12 ARRIS GROUP INC DE 7.01,9.01 05/23/12 ATHENA SILVER CORP DE 7.01,9.01 05/23/12 ATMEL CORP DE 5.07 05/17/12 AVISTAR COMMUNICATIONS CORP DE 1.01 05/21/12 BANK OF KENTUCKY FINANCIAL CORP KY 8.01 05/18/12 BASIC ENERGY SERVICES INC 5.07 05/23/12 Bazaarvoice Inc DE 5.02,9.01 05/22/12 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 05/23/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.01 05/17/12 BENIHANA INC DE 1.01,7.01,9.01 05/22/12 BIOLASE TECHNOLOGY INC DE 7.01,9.01 05/23/12 BIOTIME INC CA 7.01,9.01 05/23/12 BlackRock Inc. DE 1.01,1.02,2.03,3.02, 05/17/12 9.01 BLUE NILE INC DE 5.07 05/17/12 BNC BANCORP NC 5.07 05/21/12 Bristow Group Inc DE 2.02,9.01 05/23/12 BRITTON & KOONTZ CAPITAL CORP MS 8.01 05/18/12 BUCKEYE PARTNERS, L.P. DE 7.01,9.01 05/22/12 Business Development Corp of America MD 2.02,9.01 05/23/12 CALIFORNIA WATER SERVICE GROUP DE 1.01,5.02,5.03,5.07, 05/22/12 9.01 CAMBRIDGE HEART INC DE 1.01,2.03,3.02,8.01, 05/23/12 9.01 CARBO CERAMICS INC DE 5.07 05/22/12 CARDINAL BANKSHARES CORP VA 5.02 05/18/12 CenterState Banks, Inc. FL 7.01 05/23/12 CENTRAL VIRGINIA BANKSHARES INC VA 5.07 05/22/12 CENTURY NEXT FINANCIAL Corp LA 5.07 05/22/12 Ceres, Inc. DE 1.02 05/21/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/23/12 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/23/12 Chefs' Warehouse, Inc. DE 5.07 05/17/12 CHEMICAL FINANCIAL CORP MI 7.01,9.01 05/23/12 China 3C Group NV 4.02,5.02,9.01 05/17/12 China Auto Logistics Inc NV 7.01,9.01 05/23/12 CHYRON CORP NY 5.07 05/23/12 Cleantech Solutions International, In DE 7.01,9.01 05/22/12 CMS ENERGY CORP MI 5.07 05/18/12 COLONIAL COMMERCIAL CORP NY 1.01,2.03,9.01 05/17/12 COLONY BANKCORP INC GA 5.07,9.01 05/22/12 Community Bankers Trust Corp DE 5.07 05/17/12 CONMED CORP NY 5.07 05/21/12 CONNS INC DE 5.07 05/24/11 Consolidated Communications Holdings, DE 7.01,9.01 05/23/12 Consolidated Communications Holdings, DE 5.04,8.01,9.01 05/23/12 Core-Mark Holding Company, Inc. DE 5.07 05/22/12 CRAY INC WA 8.01 05/22/12 CYS Investments, Inc. MD 7.01,9.01 05/23/12 DATARAM CORP NJ 1.01,9.01 05/17/12 Diamond Foods Inc DE 1.01,2.03,3.03,7.01, 05/18/12 9.01 Digital Domain Media Group, Inc. FL 1.01,9.01 05/17/12 DILLARDS INC DE 5.07 05/19/12 Discovery Communications, Inc. DE 8.01,9.01 05/22/12 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 05/23/12 DONALDSON CO INC DE 8.01,9.01 05/23/12 DST SYSTEMS INC DE 1.01,9.01 05/17/12 DUSA PHARMACEUTICALS INC NJ 5.02 05/18/12 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 05/22/12 Eagle Bulk Shipping Inc. 3.03,5.03,8.01 05/21/12 EATON VANCE CORP MD 2.02,9.01 04/30/12 EDGAR ONLINE INC DE 1.01,5.02,7.01,9.01 05/21/12 Education Realty Trust, Inc. MD 8.01,9.01 05/22/12 EMC METALS CORP. A1 5.02 05/21/12 Emergent BioSolutions Inc. DE 5.02,5.07 05/17/12 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 05/23/12 Ensco plc 5.02,5.07,9.01 05/22/12 ENTREMED INC DE 5.02 05/22/12 EPAM Systems, Inc. DE 3.02,7.01,9.01 05/23/12 ESTEE LAUDER COMPANIES INC DE 5.03,9.01 05/22/12 EVANS BANCORP INC NY 5.02,9.01 05/21/12 EXELON CORP PA 8.01 05/17/12 FARMERS & MERCHANTS BANCORP DE 5.07,8.01,9.01 05/21/12 FARMERS NATIONAL BANC CORP /OH/ OH 7.01,9.01 05/23/12 FEDERAL HOME LOAN MORTGAGE CORP 5.03,9.01 05/22/12 FINANCIAL INSTITUTIONS INC NY 8.01,9.01 05/23/12 First Clover Leaf Financial Corp. MD 5.07,9.01 05/22/12 FIRST MID ILLINOIS BANCSHARES INC DE 1.01,9.01 05/22/12 First Sentry Bancshares, Inc. WV 5.07 05/21/12 FIRST TRUST SPECIALTY FINANCE & FINAN 7.01,9.01 05/23/12 FIRST TRUST SPECIALTY FINANCE & FINAN 7.01,9.01 05/23/12 AMEND Flagstone Reinsurance Holdings, S.A. N4 5.05,5.07 05/17/12 FLEETCOR TECHNOLOGIES INC DE 5.07 05/22/12 FLEXTRONICS INTERNATIONAL LTD. U0 5.02 05/17/12 FRANKLIN STREET PROPERTIES CORP /MA/ 5.07 05/17/12 Freescale Semiconductor, Ltd. D0 5.02 05/21/12 GE Capital Credit Card Master Note Tr DE 1.01,8.01,9.01 05/22/12 GEN PROBE INC DE 5.07 05/17/12 General Finance CORP DE 8.01,9.01 05/22/12 General Maritime Corp / MI 1.01,1.02,5.02,5.03 05/16/12 AMEND GENESCO INC TN 2.02,9.01 05/23/12 GENESEE & WYOMING INC DE 5.07 05/22/12 GEORGIA GULF CORP /DE/ DE 5.07 05/22/12 GERMAN AMERICAN BANCORP, INC. IN 5.07 05/17/12 GIBRALTAR INDUSTRIES, INC. DE 5.03,9.01 05/22/12 GIGA TRONICS INC CA 4.02 05/17/12 GIGA TRONICS INC CA 5.02 05/17/12 Global Growth Trust, Inc. MD 1.02 05/17/12 Globalstar, Inc. DE 5.07 05/22/12 GlyEco, Inc. NV 8.01 05/23/12 GOODRICH PETROLEUM CORP DE 7.01,9.01 05/23/12 GOODRICH PETROLEUM CORP DE 7.01,9.01 05/23/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 05/18/12 GREAT NORTHERN IRON ORE PROPERTIES MN 5.02,9.01 05/22/12 GREEN ENVIROTECH HOLDINGS CORP. DE 4.01,9.01 05/23/12 GREER BANCSHARES INC SC 2.02,9.01 05/23/12 H&E Equipment Services, Inc. DE 5.07 05/22/12 H&R BLOCK INC MO 5.02,9.01 05/23/12 HANDENI GOLD INC. NV 8.01,9.01 05/21/12 HARVEST NATURAL RESOURCES, INC. DE 5.07 05/17/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 05/21/12 HEALTH MANAGEMENT ASSOCIATES INC DE 5.07 05/22/12 HEWLETT PACKARD CO DE 2.02,2.05,2.06,9.01 05/23/12 hhgregg, Inc. DE 2.02,5.02,9.01 05/17/12 Hoku Corp DE 1.01,2.03,7.01,9.01 05/21/12 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 05/23/12 HORMEL FOODS CORP /DE/ DE 2.02,9.01 05/23/12 IBERIABANK CORP LA 5.02,9.01 05/21/12 ICAD INC DE 5.07 05/22/12 iGlue, Inc. NV 5.02,9.01 05/16/12 IMMEDIATEK INC NV 5.02 05/18/12 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 04/19/12 Innophos Holdings, Inc. 5.07 05/18/12 INSMED INC VA 8.01,9.01 05/23/12 INTERMOUNTAIN COMMUNITY BANCORP ID 8.01,9.01 05/22/12 INTERNATIONAL BANCSHARES CORP TX 5.07 05/21/12 INTERSIL CORP/DE DE 2.05 05/21/12 INTEST CORP DE 8.01 05/23/12 InZon CORP NV 1.01,9.01 05/17/12 ION GEOPHYSICAL CORP DE 5.07 05/23/12 Iridium Communications Inc. DE 5.02,5.07,9.01 05/22/12 JEFFERSONVILLE BANCORP NY 3.01,9.01 05/23/12 KADANT INC DE 7.01,9.01 05/23/12 KEY ENERGY SERVICES INC MD 5.07 05/17/12 KILROY REALTY CORP MD 5.07 05/17/12 KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 05/23/12 KNIGHT TRANSPORTATION INC AZ 5.02,5.07,8.01,9.01 05/17/12 Lake Shore Bancorp, Inc. X1 7.01,9.01 05/23/12 LaPorte Bancorp, Inc. X1 8.01,9.01 05/22/12 Legend Oil & Gas, Ltd. CO 1.01,3.02,9.01 05/18/12 LEGG MASON, INC. MD 1.01,1.02,3.02,3.03, 05/23/12 5.02,9.01 LIBBEY INC DE 1.01,2.03,7.01,9.01 05/18/12 Liberty Global, Inc. DE 7.01 05/23/12 Liberty Global, Inc. DE 2.01,9.01 05/23/12 LORAL SPACE & COMMUNICATIONS INC. DE 5.07 05/22/12 LTV CORP DE 8.01,9.01 05/21/12 LTX-CREDENCE CORP MA 2.02,9.01 05/23/12 Lux Digital Pictures, Inc. 1.01,2.01,3.02,5.01, 05/17/12 5.02,9.01 MACKINAC FINANCIAL CORP /MI/ MI 5.07 05/23/12 MACKINAC FINANCIAL CORP /MI/ MI 1.01,9.01 05/23/12 MACROSOLVE INC OK 2.02,9.01 05/18/12 MAGNUM HUNTER RESOURCES CORP DE 2.01,7.01,9.01 05/22/12 MAINSOURCE FINANCIAL GROUP IN 5.02,9.01 05/23/12 MARKWEST ENERGY PARTNERS L P 7.01,9.01 05/23/12 Mesa Energy Holdings, Inc. DE 7.01,9.01 05/21/12 MESA LABORATORIES INC /CO CO 2.02,9.01 05/23/12 METLIFE INC DE 8.01,9.01 05/22/12 METLIFE INC DE 2.02,7.01,9.01 05/23/12 MFA FINANCIAL, INC. MD 5.07 05/22/12 MIDDLESEX WATER CO NJ 5.07,8.01,9.01 05/23/12 MOOSEWOOD ACQUISITION Corp DE 3.02,5.01,5.02 05/22/12 MOTRICITY INC DE 5.02,9.01 05/17/12 MOVADO GROUP INC NY 2.02,9.01 05/23/12 MY SCREEN MOBILE, INC. DE 5.02,5.07 05/18/12 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 7.01,9.01 05/23/12 NAVARRE CORP /MN/ MN 2.02,9.01 05/22/12 NAVIGANT CONSULTING INC DE 5.02,5.03,5.07,9.01 05/22/12 NBC ACQUISITION CORP DE 2.02,9.01 05/18/12 NetApp, Inc. CA 2.02,9.01 05/23/12 NEWS CORP 8.01,9.01 05/23/12 NORTH CENTRAL BANCSHARES INC IA 5.07,7.01,9.01 05/23/12 NORTHEAST COMMUNITY BANCORP INC X1 8.01,9.01 05/22/12 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 05/17/12 OAKRIDGE INTERNATIONAL CORP NV 5.02 05/18/12 OCLARO, INC. DE 1.01 05/15/12 OCWEN FINANCIAL CORP FL 8.01 05/22/12 ODYSSEY PICTURES CORP NV 1.01,2.03 05/23/12 OGE ENERGY CORP. OK 5.07,7.01,9.01 05/17/12 OKLAHOMA GAS & ELECTRIC CO OK 7.01,9.01 05/23/12 OMEGA PROTEIN CORP NV 1.01,8.01,9.01 05/21/12 OMNICELL, Inc CA 5.07 05/22/12 ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 05/23/12 ORBIT FR INC DE 8.01,9.01 05/23/12 ORCHARD SUPPLY HARDWARE STORES CORP DE 2.02,5.02,9.01 05/17/12 ORIGINOIL INC NV 8.01,9.01 05/23/12 OSL HOLDINGS INC. 1.01,2.01,9.01 10/10/11 AMEND Pandora Media, Inc. DE 2.02,9.01 05/23/12 PARK NATIONAL CORP /OH/ OH 7.01,9.01 05/23/12 Peninsula Gaming, LLC DE 1.01,9.01 05/22/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,2.01,2.03,3.02, 05/17/12 5.02,5.03,9.01 PFIZER INC DE 5.02,9.01 05/17/12 PINNACLE ENTERTAINMENT INC. DE 5.02,5.07,9.01 05/22/12 PINNACLE ENTERTAINMENT INC. DE 5.02 05/21/12 AMEND PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 05/23/12 PLAINS ALL AMERICAN PIPELINE LP DE 5.03,9.01 05/17/12 PLURISTEM THERAPEUTICS INC NV 7.01,9.01 05/23/12 POPE RESOURCES LTD PARTNERSHIP DE 7.01 05/22/12 PREMIER EXHIBITIONS, INC. FL 2.02,9.01 05/23/12 PREMIER HOLDING CORP. NV 5.02 05/23/12 PRGX GLOBAL, INC. GA 5.02,9.01 05/17/12 PROCTER & GAMBLE Co OH 7.01 05/23/12 PSYCHEMEDICS CORP DE 5.07 05/22/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 05/23/12 PVH CORP. /DE/ DE 2.02,9.01 05/23/12 PyroTec, Inc. DE 1.01,5.01,5.02,9.01 05/23/12 AMEND QLT INC/BC A1 8.01,9.01 05/23/12 QUALITY SYSTEMS, INC CA 2.02,9.01 05/17/12 AMEND RAILAMERICA INC /DE DE 8.01 05/22/12 RAINMAKER SYSTEMS INC DE 8.01 05/17/12 RALCORP HOLDINGS INC /MO MO 8.01,9.01 05/23/12 RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,8.01,9.01 05/17/12 RAVEN INDUSTRIES INC SD 5.02,5.03,5.07 05/22/12 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 05/23/12 RAYONIER INC NC 4.01,5.02,5.03,5.07, 05/17/12 9.01 ReachLocal Inc 5.02,5.07 05/22/12 READING INTERNATIONAL INC NV 5.02,5.03,5.07,8.01, 05/17/12 9.01 RENAISSANCERE HOLDINGS LTD D0 5.07 05/22/12 RESERVE PETROLEUM CO DE 5.07,8.01 05/22/12 REX ENERGY CORP DE 5.02,9.01 05/17/12 RF MONOLITHICS INC /DE/ DE 8.01,9.01 05/23/12 RF MONOLITHICS INC /DE/ DE 8.01,9.01 05/23/12 Rock-Tenn CO GA 7.01,9.01 05/23/12 Rockwood Holdings, Inc. DE 7.01,9.01 05/23/12 Ruths Hospitality Group, Inc. DE 2.02,9.01 05/23/12 SeaCube Container Leasing Ltd. 5.07 05/23/12 Select Income REIT MD 1.01,9.01 05/21/12 SEMTECH CORP DE 7.01 05/23/12 SENIOR HOUSING PROPERTIES TRUST MD 5.02,5.07,8.01,9.01 05/17/12 Sensata Technologies Holding N.V. P7 5.07 05/22/12 SHARPROCK RESOURCES INC. NV 1.02,8.01,9.01 05/16/12 SHILOH INDUSTRIES INC DE 2.02 05/23/12 SHILOH INDUSTRIES INC DE 5.02 05/23/12 SIGMA DESIGNS INC CA 2.02,9.01 05/23/12 SIGNATURE GROUP HOLDINGS, INC. NV 7.01,9.01 05/23/12 Silver Falcon Mining, Inc. DE 8.01 05/23/12 Solar Park Initiatives, Inc. NV 5.02 05/17/12 SolarWinds, Inc. DE 5.07 05/23/12 SOLUTION TECHNOLOGY INTERNATIONAL INC 1.01,9.01 05/18/12 SOVRAN SELF STORAGE INC MD 5.07 05/23/12 SPORT CHALET INC DE 3.01 05/17/12 ST JOE CO FL 5.07 05/17/12 STERLING GROUP VENTURES INC NV 7.01,9.01 05/23/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/15/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/15/12 STRUCTURED OBLIGATIONS CORP LONG TERM DE 8.01,9.01 05/15/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 05/15/12 STRUCTURED OBLIGATIONS CORP SELECT NO DE 8.01,9.01 05/15/12 Summit Hotel Properties, Inc. MD 1.01,2.03,9.01 05/17/12 Sunshine Financial Inc MD 5.07 05/23/12 SUREWEST COMMUNICATIONS CA 5.04,9.01 05/17/12 SYCAMORE NETWORKS INC DE 2.02,9.01 05/23/12 SYNOPSYS INC DE 2.02,5.02,5.03,9.01 05/21/12 TERRACE VENTURES INC NV 3.02,5.06 05/22/12 TIDEWATER INC DE 8.01,9.01 05/18/12 TIDEWATER INC DE 7.01,9.01 05/21/12 TIFFANY & CO DE 5.07 05/17/12 TIFFANY & CO DE 8.01 05/23/12 TNS INC 5.07 05/17/12 TOLL BROTHERS INC DE 2.02,9.01 05/23/12 TRICO BANCSHARES / CA 8.01,9.01 05/22/12 TRICO BANCSHARES / CA 5.07,9.01 05/22/12 TRIM HOLDING GROUP NV 5.03,9.01 05/23/12 Trius Therapeutics Inc DE 5.07 05/22/12 TrueBlue, Inc. WA 7.01,9.01 05/23/12 TUPPERWARE BRANDS CORP DE 5.02,5.07 05/22/12 ULTRA CLEAN HOLDINGS INC DE 1.01,8.01,9.01 05/18/12 VALENCE TECHNOLOGY INC DE 2.02,9.01 05/23/12 VALOR GOLD CORP. 5.03,9.01 05/17/12 Vanguard Natural Resources, LLC DE 5.07,7.01,9.01 05/23/12 VENTAS INC DE 5.02,5.07,8.01,9.01 05/17/12 Viacom Inc. DE 8.01,9.01 05/23/12 Victor Technologies Group, Inc. DE 8.01,9.01 05/21/12 VIRGIN MEDIA INC. DE 8.01 05/23/12 VIROPHARMA INC DE 1.01,5.02,5.07 05/21/12 Vishay Precision Group, Inc. DE 5.07 05/22/12 Vocus, Inc. DE 3.01 05/18/12 WABASH NATIONAL CORP /DE DE 5.07 05/17/12 WaferGen Bio-systems, Inc. NV 5.02 05/17/12 WASTE CONNECTIONS, INC. DE 5.07 05/18/12 WATSON PHARMACEUTICALS INC NV 1.01,9.01 05/21/12 Weatherford International Ltd./Switze V8 3.02,5.02,5.03,5.07, 05/22/12 9.01 WELLCARE HEALTH PLANS, INC. DE 5.07 05/23/12 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 05/23/12 WESTERN DIGITAL CORP DE 5.02 05/17/12 WESTERN RESERVE BANCORP INC 5.07 05/17/12 WESTMORELAND COAL Co DE 5.07 05/22/12 WHITEMARK HOMES INC CO 8.01 05/22/12 WILLIS GROUP HOLDINGS PLC L2 7.01 05/15/12 AMEND WISCONSIN ENERGY CORP WI 7.01,9.01 05/23/12 WISCONSIN POWER & LIGHT CO WI 5.07 05/21/12 Wolverine Bancorp, Inc. MD 5.07,9.01 05/21/12 Wright Express CORP 5.02,5.07,8.01,9.01 05/18/12 ZALE CORP DE 2.02,9.01 05/23/12