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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-115
June 14, 2012

Commission Announcements

Securities and Exchange Commission Suspends Trading in the Securities of Stream Communications Network & Media, Inc. For Failure to Make Required Periodic Filings

The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Stream Communications Network & Media, Inc. (Stream Communications) (stock symbol SCNWF), commencing at 9:30 a.m. EDT on June 14, 2012 and terminating at 11:59 p.m. EDT on June 27, 2012.

The Commission temporarily suspended trading in the securities of Stream Communications due to a lack of current and accurate information about the company because it has 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 this company.

Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the Stream Communications 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 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. 34-67198)

Enforcement proceedings

Commission Orders Hearings on Registration Suspension or Revocation Against Stream Communications 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 Stream Communications for failure to make required periodic filings with the Commission.

In this Order, the Division of Enforcement (Division) alleges that Stream Communications is delinquent in its 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 Respondent 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 Stream Communications 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. 34-67199; File No. 3-14916)

In the Matter of Luc D. Nguyen, Esq.

On June 14, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Luc D. Nguyen, Esq. (Nguyen). The Order finds that Nguyen provided advice to individuals and entities regarding compliance with the federal securities laws. The Order further finds that Nguyen has never held any securities licenses and is not registered with the Commission in any capacity and that on June 1, 2012, a final judgment by consent was entered against Nguyen, permanently enjoining Nguyen from future violations of Sections 17(a), 5(a) and 5(c) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunderr, in the civil action entitled Securities and Exchange Commission v. Raymond P. Morris, et al., Civil Action Number 2:11-cv-00021, in the United States District Court for the District of Utah, Central Division.

Based on the above, the Order bars Nguyen from association with any broker, dealer, investment adviser, municipal securities dealer, transfer agent and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. The Order also suspends Nguyen from appearing or practicing before the Commission as an attorney.

Nguyen consented to the issuance of the Order without admitting or denying any of the findings in the Order, except that he admitted to the entry of the permanent injunction. (Rel. 34-67200; File No. 3-14917)

Promoters of Convicted Ponzi Scheme Operator Jeffrey L. Mowen Ordered to Pay Over $20 Million in Disgorgement and Civil Penalties

The Securities and Exchange Commission announced today that on June 11, 2012, the United States District Court for the District of Utah granted its motion for entry of final judgment against Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, and Michael W. Averett ordering disgorgement and civil penalties totaling over $20 million. Previously, pursuant to stipulation, the court entered permanent injunctions against these defendants enjoining them from future violations of the federal securities laws. The SEC Complaint alleged that these defendants acted as promoters for a Ponzi scheme operated by Jeffrey L. Mowen, who is currently serving a 10-year prison term for his actions. The Complaint alleged that the promoters raised millions of dollars through the unregistered offer and sale of high-yield promissory notes to over 150 investors in several states. The funds raised were then funneled to Mowen through Thomas Fry, who used the funds for his personal benefit, misappropriating over $8 million.

The Court ordered that the defendants disgorge the following amounts of ill-gotten gains and civil penalties, respectively: Thomas Fry - $16,751,439.94 and $250,000; Bevan Wilde - $1,326,241.77 and $130,000; James Mooring - $505,521.84 and $130,000; Michael Averett - $774,936.02 and $130,000; Gary Hansen - $349,481.33 and $130,000; Michael Butcher - $201,278.11 and $130,000.

The Court also granted, in part, the Commission’s motion for summary judgment against defendant and promoter David G. Bartholomew. The Court granted summary judgment against Bartholomew for violations of Sections 5(a) and 5(c) of the Securities Act of 1933 for the offer and sale of unregistered securities and of Section 15(a) of the Securities Exchange Act of 1934 for acting as an unregistered broker-dealer. The Court found issues of material fact concerning materiality and scienter as to misrepresentations Bartholomew made to investors and thus denied summary judgment for violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Those claims should be scheduled for trial later this year. [SEC v. Jeffrey L. Mowen, Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, David G. Bartholomew, and Michael W. Averett, Case No. 2:09-cv-00786-DB/PMW (D. Utah)] (LR-22393)

Self regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change (SR-NYSEArca-2012-51) filed by NYSE Arca, Inc. relating to the Accuvest Global Long Short ETF (formerly the Mars Hill Global Relative Value ETF) 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 June 18. (Rel. 34-67195)

Securities Act Registrations

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-8     Constant Contact, Inc., 1601 TRAPELO ROAD, SUITE 329, WALTHAM, MA, 
        02451, 781-472-8100 - 257,780 ($5,129,822.00) Non-Convertible Debt, 
        (File 333-182083 - Jun. 13) (BR. 11C)

S-3     Barclays Bank Delaware, 125 S. WEST STREET, WILMINGTON, DE, 19801, 
        3025588100 - 1,000,000 ($1,000,000.00) Non-Convertible Debt, 
        (File 333-182087 - Jun. 13) (BR. )

        VICTORIA, A1, V8V 1X4, (250) 387 3024 - 0 ($2,508,100,000.00) Debt, 
        (File 333-182088 - Jun. 13) (BR. DN)

        STE 300 PO BOX 762, TORONTO ONTARIO, A6, M5J2T3, 4163639491 - 
        0 ($1,000,000,000.00) Other, (File 333-182092 - Jun. 13) (BR. 08B)

        804-281-6000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-182093 - Jun. 13) (BR. 01B)

S-8     RAIT Financial Trust, 1818 MARKET, 28TH FL, PHILADELPHIA, PA, 19103, 
        2158617900 - 2,500,000 ($10,400,000.00) Equity, (File 333-182094 - 
        Jun. 13) (BR. 08C)

        08054, 8884799111 - 0 ($14,161,950.00) Equity, (File 333-182095 - 
        Jun. 13) (BR. 07B)

        206-470-7000 - 0 ($375,630,945.79) Equity, (File 333-182096 - Jun. 13) 
        (BR. 03C)

        MN, 55402, 612-435-9400 - 0 ($100,000,000.00) Other, (File 333-182097 - 
        Jun. 13) (BR. 03B)

S-3     COTT CORP /CN/, 6525 VISCOUNT RD, MISSISSAUGA, A6, 00000, 9056721900 - 
        0 ($124,709,500.00) Other, (File 333-182100 - Jun. 13) (BR. 09B)

        92121, 858-550-9994 - 0 ($96,647,439.00) Equity, (File 333-182101 - 
        Jun. 13) (BR. 01A)

        336.335.7000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-182102 - Jun. 13) (BR. 05B)

        1345 AVENUE OF THE AMERICAS 46TH FL, NEW YORK, NY, 10105, 2127986100 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-182103 - Jun. 13) 
        (BR. 08C)

        336.335.7000 - 0 ($61,680,000.00) Equity, (File 333-182104 - Jun. 13) 
        (BR. 05B)

        77002, 7132367400 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-182105 - Jun. 13) (BR. 04A)

S-1     LaPorte Bancorp, Inc., 710 INDIANA AVENUE, LAPORTE, IN, 46350, 
        (219) 362-7511 - 0 ($58,367,048.00) Equity, (File 333-182106 - Jun. 13) 
        (BR. )

S-1     Green Field Energy Services, Inc., 4023 AMBASSADOR CAFFERY PARKWAY, 
        SUITE 200, LAFAYETTE, LA, 70503, 337-706-1700 - 0 ($2,470.00) Equity, 
        (File 333-182107 - Jun. 13) (BR. 04)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT


A & B II, Inc.                          HI       1.01,3.03,5.03,9.01  06/08/12

Addus HomeCare Corp                     DE       7.01,9.01            06/13/12

ADEPT TECHNOLOGY INC                    DE       8.01,9.01            06/13/12

AEP INDUSTRIES INC                      DE       5.03,9.01            06/08/12

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       5.02,5.07,9.01       06/08/12

ALEXANDER & BALDWIN INC                 HI       1.01,3.03,9.01       06/08/12

ALLIANCEBERNSTEIN HOLDING L.P.          DE       7.01,9.01            06/12/12

ALLIANCEBERNSTEIN L.P.                  DE       7.01,9.01            06/12/12

ALLIED HEALTHCARE PRODUCTS INC          DE       1.01                 06/08/12

Allied Nevada Gold Corp.                DE       7.01,9.01            06/07/12

Allied World Assurance Co Holdings, A            1.01,1.02,2.03,9.01  06/07/12

ALSERES PHARMACEUTICALS INC /DE         DE       1.01                 06/07/12

Amarantus BioSciences, Inc.             DE       8.01,9.01            06/07/12

AMBAC FINANCIAL GROUP INC               DE       8.01,9.01            06/12/12

AMBIENT CORP /NY                        DE       4.01,9.01            06/08/12

AMBIENT CORP /NY                        DE       5.02,5.07            06/07/12

AMC ENTERTAINMENT INC                   DE       7.01,9.01            06/13/12

AMEREN CORP                             MO       7.01,8.01,9.01       06/13/12

AMERICAN EXPRESS CO                     NY       7.01                 06/13/12

American Realty Capital Properties, I   MD       1.01,7.01,9.01       06/13/12

AMYRIS, INC.                            DE       1.01                 06/11/12

Anpulo Food, Inc.                       NV       4.01,9.01            06/07/12

Ardea Biosciences, Inc./DE              DE       8.01,9.01            06/13/12

ARUBA NETWORKS, INC.                    DE       8.01,9.01            06/13/12

ATLANTIC TELE NETWORK INC /DE           DE       5.07                 06/12/12

Bank of the Carolinas CORP              NC       7.01                 06/13/12

Bazaarvoice Inc                         DE       2.01,7.01,9.01       06/12/12

BeesFree, Inc.                          NV       8.01                 06/08/12

BIOGEN IDEC INC.                        DE       5.03,5.07,9.01       06/07/12

Black Diamond, Inc.                     DE       1.01,5.07,9.01       06/07/12

Boardwalk Pipeline Partners, LP         DE       1.01,2.03,8.01,9.01  06/07/12

BofI Holding, Inc.                      DE       7.01,9.01            06/13/12

Bonds.com Group, Inc.                   DE       1.01,3.02,9.01       06/08/12

BOYD GAMING CORP                        NV       1.01,2.03,3.03,9.01  06/08/12

BRIGHTPOINT INC                         IN       8.01                 06/13/12

CAI International, Inc.                          1.01,2.03,5.07,9.01  06/07/12

CAPITAL ONE FINANCIAL CORP              DE       7.01                 06/13/12

CASEYS GENERAL STORES INC               IA       2.02,9.01            06/13/12

CATERPILLAR INC                         DE       8.01,9.01            06/13/12

CAVCO INDUSTRIES INC                    DE       5.02                 06/08/12

Cazador Acquisition Corp Ltd.           E9       7.01,8.01,9.01       06/13/12

CBEYOND, INC.                                    5.07                 06/08/12

CENTRAL EUROPEAN MEDIA ENTERPRISES LT            5.07,8.01,9.01       06/13/12

CHARLES & COLVARD LTD                   NC       5.02,9.01            06/13/12

CHESAPEAKE ENERGY CORP                  OK       7.01,8.01,9.01       06/08/12

CHILDRENS PLACE RETAIL STORES INC                5.07,8.01,9.01       06/13/12

Chile Mining Technologies Inc.          NV       2.03,3.02,5.02,9.01  06/13/12

China Advanced Construction Materials   DE       5.02,9.01            06/13/12

CHINA FUND INC                          MD       5.02                 06/13/12

China Natural Gas, Inc.                 DE       4.01,9.01            04/20/12    AMEND

China Rongxin Chemical Holding Group,   NV       4.01,9.01            06/07/12

CISCO SYSTEMS, INC.                     CA       8.01                 06/07/12

CLAYTON WILLIAMS ENERGY INC /DE         DE       7.01                 06/13/12

CNO Financial Group, Inc.               DE       7.01,9.01            06/13/12

COCA-COLA ENTERPRISES, INC.             DE       5.02                 06/13/12

CODEXIS INC                                      3.02,5.02,9.01       06/07/12

COFFEE HOLDING CO INC                   NV       2.02,8.01,9.01       06/13/12

COLDWATER CREEK INC                     DE       5.07                 06/09/12

Constant Contact, Inc.                  DE       1.01,2.01,2.02,8.01, 06/12/12
Core-Mark Holding Company, Inc.         DE       5.02                 06/11/12

CPI AEROSTRUCTURES INC                  NY       5.07                 06/13/12

CPI AEROSTRUCTURES INC                  NY       8.01                 06/12/12

CRA INTERNATIONAL, INC.                 MA       5.02,5.07,8.01,9.01  06/07/12

CULP INC                                NC       2.02,9.01            06/13/12

CVB FINANCIAL CORP                      CA       7.01,9.01            06/13/12

CYPRESS SEMICONDUCTOR CORP /DE/         DE       1.01,2.03            06/11/12

CYTOMEDIX INC                           DE       5.02                 06/07/12

Digital Realty Trust, Inc.                       7.01,9.01            06/13/12

Discover Card Execution Note Trust      DE       8.01                 06/13/12

DORAL FINANCIAL CORP                    PR       5.07                 06/13/12

DOW CHEMICAL CO /DE/                    DE       5.02,9.01            06/12/12

ELITE PHARMACEUTICALS INC /NV/          NV       1.01,9.01            06/12/12

Encore Bancshares Inc                   TX       8.01,9.01            06/13/12

ENDEAVOUR INTERNATIONAL CORP            NV       8.01,9.01            06/13/12

Enertopia Corp.                         NV       7.01,9.01            06/12/12

EQUITY RESIDENTIAL                      MD       8.01,9.01            06/13/12

FEDERAL AGRICULTURAL MORTGAGE CORP               5.02,5.07,9.01       06/07/12

Federal Home Loan Bank of Boston        X1       2.03                 06/07/12

Fiesta Restaurant Group, Inc.           DE       5.02                 06/08/12

FIRST CASH FINANCIAL SERVICES INC       DE       5.07                 06/12/12

FIRST FINANCIAL BANCORP /OH/            OH       8.01                 06/13/12

FLEETCOR TECHNOLOGIES INC               DE       8.01,9.01            06/07/12

FLOTEK INDUSTRIES INC/CN/               DE       7.01,9.01            06/13/12

FRANKLIN CREDIT HOLDING CORP/DE/        DE       5.07,7.01,9.01       06/11/12

Fresh Market, Inc.                      DE       8.01,9.01            06/11/12

Fuse Science, Inc.                      NV       8.01,9.01            06/13/12

GAIAM, INC                              CO       9.01                 03/28/12    AMEND

GENERAC HOLDINGS INC.                   DE       5.07                 06/13/12

GENOMIC HEALTH INC                               5.07                 06/07/12

GLATFELTER P H CO                       PA       8.01,9.01            06/13/12

GlyEco, Inc.                            NV       8.01                 06/07/12

GRAMERCY CAPITAL CORP                   MD       3.02,5.02,8.01,9.01  06/07/12

GRAYSON BANKSHARES INC                  VA       2.02,9.01            06/08/12

GREAT AMERICAN ENERGY, INC.                      1.01,9.01            06/07/12

HALCON RESOURCES CORP                   DE       5.02,9.01            06/07/12

HEALTH REVENUE ASSURANCE HOLDINGS, IN   NV       1.01,2.01,3.02,5.01, 02/10/12    AMEND
HERITAGE COMMERCE CORP                  CA       7.01,9.01            06/12/12

Hicks Acquisition CO II, Inc.                    8.01,9.01            06/12/12

HUGHES Telematics, Inc.                 DE       1.01                 06/13/12

IDENTIVE GROUP, INC.                    DE       5.07                 06/13/12

IEC ELECTRONICS CORP                    DE       7.01,9.01            06/12/12

IHS Inc.                                DE       7.01,9.01            06/13/12

IKANOS COMMUNICATIONS                   CA       3.01                 06/08/12

ILLUMINA INC                            DE       5.02                 06/11/12

Immunotech Laboratories, Inc.                    1.01,9.01            05/17/12

Industrial Income Trust Inc.            MD       9.01                 03/28/12    AMEND

Inland American Real Estate Trust, In   MD       7.01,9.01            06/13/12

Inland Diversified Real Estate Trust,   MD       7.01,9.01            06/13/12

INNSUITES HOSPITALITY TRUST             OH       8.01,9.01            06/12/12

INREIT Real Estate Investment Trust     ND       5.07                 06/07/12

Intellicell Biosciences, Inc.           NV       1.01,3.02,9.01       06/07/12

INTERPHASE CORP                         TX       8.01,9.01            06/12/12

JPMORGAN CHASE & CO                     DE       7.01,9.01            06/13/12

KBW, INC.                                        5.07                 06/12/12

KEY TECHNOLOGY INC                      OR       5.02,9.01            06/07/12    AMEND

KINDER MORGAN, INC.                     DE       1.01,9.01            06/06/12

KIT digital, Inc.                       DE       8.01                 06/11/12

KORN FERRY INTERNATIONAL                DE       2.02,9.01            06/13/12

L 3 COMMUNICATIONS HOLDINGS INC         DE       5.02,9.01            06/07/12

LAS VEGAS SANDS CORP                    NV       5.02,5.07,9.01       06/07/12

LAYNE CHRISTENSEN CO                    DE       5.02,5.07,9.01       06/07/12

LIME ENERGY CO.                         DE       5.07,8.01            06/12/12

Live Nation Entertainment, Inc.         DE       5.03,5.07,9.01       06/08/12

M&T BANK CORP                           NY       5.02,9.01            06/08/12

MAC-GRAY CORP                           DE       5.07                 06/07/12

MAD CATZ INTERACTIVE INC                Z4       2.02,5.02,9.01       06/12/12

MAGNETEK, INC.                          DE       7.01,9.01            06/13/12

Mandalay Digital Group, Inc.            DE       1.01,3.02            06/08/12

MANPOWER INC /WI/                       WI       8.01,9.01            06/13/12

MASIMO CORP                             DE       5.07                 06/07/12

MATTRESS FIRM HOLDING CORP.             DE       7.01,9.01            06/13/12

MEDALLION FINANCIAL CORP                DE       5.07                 06/08/12

MEDICAL ACTION INDUSTRIES INC           DE       1.01,2.03,3.01,9.01  06/07/12

MEDL Mobile Holdings, Inc.              NV       7.01,8.01,9.01       06/13/12

METALICO INC                                     8.01,9.01            06/13/12

METROPOLITAN HEALTH NETWORKS INC        FL       5.07                 06/12/12

MICHAEL FOODS GROUP, INC.               DE       8.01,9.01            06/12/12

Midstates Petroleum Company, Inc.       DE       1.01,8.01,9.01       06/08/12

MIDWEST HOLDING INC.                    NE       5.07                 06/13/12

MILLER INDUSTRIES INC /TN/              TN       5.07                 05/25/12

MIPSolutions, Inc.                      NV       5.03,9.01            06/12/12

MOBILE STAR CORP                        DE       3.02,5.01,5.02       06/08/12

NANOSPHERE INC                          DE       7.01,9.01            06/13/12

NATIONAL FUEL GAS CO                    NJ       5.02,7.01,9.01       06/07/12

NaturalNano, Inc.                       NV       3.03,9.01            06/13/12

Net Element, Inc.                       DE       7.01,8.01,9.01       06/13/12

Net Savings Link, Inc.                  NV       1.01,2.03            06/13/12

NEW JERSEY RESOURCES CORP               NJ       7.01,9.01            06/13/12

NEWS CORP                                        8.01,9.01            06/13/12

Nielsen Holdings N.V.                   P7       7.01,9.01            06/13/12

Niska Gas Storage Partners LLC          DE       5.02                 06/07/12

NORTEK INC                              DE       1.01,9.01            06/13/12

NORTHSTAR REALTY FINANCE CORP.          MD       1.01,5.03,8.01,9.01  06/12/12

NORTHSTAR REALTY FINANCE CORP.          MD       7.01,9.01            06/13/12

Nova Mining CORP                                 5.01                 05/21/12    AMEND

NTN BUZZTIME INC                        DE       5.02,5.07            06/08/12

OMEGA PROTEIN CORP                      NV       7.01,9.01            06/13/12

OneBeacon Insurance Group, Ltd.         D0       7.01,9.01            06/13/12

OPENTABLE INC                           DE       3.01,5.07            06/07/12

OSIRIS THERAPEUTICS, INC.               DE       5.07                 06/11/12

PAR TECHNOLOGY CORP                     DE       5.07                 06/07/12

PATHEON INC                                      2.02,7.01,9.01       06/13/12

PDF SOLUTIONS INC                       DE       5.07                 06/13/12    AMEND

PDL BIOPHARMA, INC.                     DE       7.01,9.01            06/13/12

PEP BOYS MANNY MOE & JACK               PA       5.08,8.01            06/13/12

Pershing Gold Corp.                     NV       1.01,9.01            06/11/12

PETROLEUM DEVELOPMENT CORP              NV       1.01,9.01            06/08/12

PFSWEB INC                              DE       5.02,5.07,9.01       06/08/12

PIER 1 IMPORTS INC/DE                   DE       7.01,9.01            06/13/12

PMC COMMERCIAL TRUST /TX                TX       5.07                 06/08/12

POPULAR INC                                      7.01,9.01            06/13/12

PROGRESSIVE CORP/OH/                    OH       7.01,9.01            06/13/12

PROS Holdings, Inc.                     DE       5.07                 06/07/12

Public Storage                          MD       8.01,9.01            06/13/12

PUMA BIOTECHNOLOGY, INC.                DE       1.01,9.01            06/07/12

PURE BIOSCIENCE, INC.                   DE       2.02,9.01            06/13/12

QUEST DIAGNOSTICS INC                   DE       3.03                 06/11/12

RALCORP HOLDINGS INC /MO                MO       2.02,4.02            06/13/12

RALCORP HOLDINGS INC /MO                MO       7.01,9.01            06/13/12

RAMTRON INTERNATIONAL CORP              DE       8.01,9.01            06/12/12

Regenicin, Inc.                         NV       7.01,9.01            06/12/12

REGIONS FINANCIAL CORP                  DE       7.01,9.01            06/13/12

Resource Capital Corp.                  MD       1.01,5.03,8.01,9.01  06/07/12

Rockwood Holdings, Inc.                 DE       7.01,9.01            06/13/12

ROYAL GOLD INC                          DE       8.01,9.01            06/13/12

RYDER SYSTEM INC                        FL       5.02,9.01            06/11/12

SANDISK CORP                            DE       5.07                 06/12/12

SANFILIPPO JOHN B & SON INC             DE       7.01,9.01            06/13/12

SCHIFF NUTRITION INTERNATIONAL, INC.    DE       9.01                 03/30/12    AMEND

SCICLONE PHARMACEUTICALS INC            DE       5.02,5.07,9.01       06/07/12

SEFE, INC.                              NV       2.03,3.02            06/11/12

SEQUENOM INC                            DE       5.02,5.07            06/11/12

SIMPSON MANUFACTURING CO INC /CA/       DE       5.02                 06/11/12

Skinny Nutritional Corp.                NV       1.01,2.03,3.02,9.01  06/07/12

SOLITARIO EXPLORATION & ROYALTY CORP.   CO       1.01,8.01,9.01       06/11/12

SPANISH BROADCASTING SYSTEM INC         DE       5.07                 06/07/12

SPARTAN STORES INC                      MI       1.01,2.03,9.01       06/08/12

STAGE STORES INC                        NV       5.02,9.01            06/08/12

STAMPS.COM INC                          DE       5.07                 06/13/12

STILLWATER MINING CO /DE/               DE       8.01                 06/08/12

Strategic Storage Trust, Inc.           MD       5.07,9.01            06/11/12

STRATS (SM) TRUST FOR JPMORGAN CHASE             8.01,9.01            06/01/12

Strats(SM) Trust for JPMorgan Chase C            8.01,9.01            06/01/12

STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            06/01/12

Support.com, Inc.                       DE       1.01                 06/07/12

SUPREME INDUSTRIES INC                  DE       5.02,9.01            06/07/12

SUREWEST COMMUNICATIONS                 CA       5.07,8.01,9.01       06/12/12

TALBOTS INC                             DE       8.01,9.01            06/12/12

Terra Tech Corp.                        NV       5.03                 06/08/12

Texas Rare Earth Resources Corp.        NV       8.01                 06/07/12

TRANZYME INC                            DE       5.07                 06/07/12    AMEND

Tree.com, Inc.                          DE       5.07                 06/12/12

TUTOR PERINI Corp                       MA       8.01                 06/12/12

TYSON FOODS INC                         DE       1.01,2.03,8.01,9.01  06/06/12

U.S. SILICA HOLDINGS, INC.              DE       8.01,9.01            06/11/12

United American Petroleum Corp.         NV       8.01                 06/07/12

United Continental Holdings, Inc.       DE       5.07,8.01            06/12/12

UNS Energy Corp                         AZ       3.02                 06/11/12

USEC INC                                DE       1.01,9.01            06/12/12

VALENCE TECHNOLOGY INC                  DE       8.01,9.01            06/12/12

Venoco, Inc.                            DE       1.01,9.01            06/12/12

VESTIN FUND III LLC                              2.01                 06/13/12

Viacom Inc.                             DE       8.01,9.01            06/07/12

VSB BANCORP INC                         NY       8.01                 06/12/12

WASHINGTON GAS LIGHT CO                 DC       8.01,9.01            06/06/12

WELLS FARGO & COMPANY/MN                DE       8.01,9.01            06/12/12

Wesco Aircraft Holdings, Inc                     1.01,9.01            06/13/12

Westway Group, Inc.                     DE       8.01,9.01            06/13/12

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       7.01,9.01            06/13/12

Willbros Group, Inc.\NEW\                        8.01                 06/11/12

WINLAND ELECTRONICS INC                 MN       8.01,9.01            06/11/12

WireCo WorldGroup Inc.                           1.01,7.01,9.01       06/12/12

WORLD FUEL SERVICES CORP                FL       5.07,7.01,9.01       06/08/12

XL GROUP PLC                            L2       7.01,9.01            06/13/12

Xun Energy, Inc.                        NV       8.01,9.01            06/12/12

ZILLOW INC                              WA       2.01,9.01            05/31/12    AMEND



Modified: 06/14/2012