SEC Names Thomas Butler as Director of New Office of Credit Ratings
The Securities and Exchange Commission today announced that Thomas J. Butler has been appointed Director of the agency’s new Office of Credit Ratings.
The SEC’s Office of Credit Ratings was created by the Dodd-Frank Act and is responsible for overseeing the nine registered Nationally Recognized Statistical Rating Organizations (NRSROs). Required among these responsibilities is conducting an annual exam of each credit rating agency and issuing a public report.
Mr. Butler will oversee a staff of approximately 25 lawyers, accountants, and examiners responsible for examining and monitoring the NRSROs. Mr. Butler begins work on June 18.
“Tom’s background and experience will bolster the agency’s oversight and review of credit rating agencies,” said SEC Chairman Mary L. Schapiro.
Mr. Butler said, “I am honored to accept this new position and look forward to working with my new colleagues to carry out the regulatory requirements to oversee credit rating agencies.”
Throughout his career, Mr. Butler has served in leadership positions through which he gained extensive knowledge about the role of credit rating agencies in the financial services sector. He spent 14 years working at Morgan Stanley Smith Barney and its predecessors including Citi Global Wealth Management, where he held senior executive positions for several business units. Mr. Butler was a managing director and chief operating officer for the Investment Strategy, Investment Advisory, Global Investments and Public Sector Group units. Earlier in his career, Mr. Butler worked at UBS Securities LLC, Babcock & Brown Inc., and two major law firms.
Mr. Butler received his J.D. from Rutgers University School of Law at Newark and his B.A. from Rutgers College.
Prior to the creation of the Office of Credit Ratings, the NRSRO examinations required under Dodd-Frank were conducted by the SEC’s Office of Compliance Inspections and Examinations, which issued the first public report regarding the annual examinations on Sept. 30, 2011. (Press Rel. 2012-113)
Director of Division of Investment Management Eileen Rominger to Retire
The Securities and Exchange Commission today announced that Eileen Rominger, Director of the Division of Investment Management, will be retiring in July.
The SEC’s Division of Investment Management protects investors and promotes capital formation through oversight and regulation of the nation’s multi-trillion dollar investment management industry. During Ms. Rominger’s tenure, the Division has been instrumental in implementing the Dodd-Frank Act’s mandates regarding advisers to hedge funds and other private funds.
“Eileen understood the importance of a fair and efficient investment management industry to the well-being of investors everywhere. Her practical insights and steady leadership served investors well,” said SEC Chairman Mary L. Schapiro.
Ms. Rominger said, “It has been a privilege to work with the talented and dedicated staff of the SEC in its mission of protecting investors.”
In the 30-year period before arriving at the SEC, Ms. Rominger worked as a portfolio manager and a leader of portfolio management teams, serving investors and being held accountable to mutual fund boards of directors in those roles. Until 2010, Ms. Rominger worked at Goldman Sachs Asset Management for 11 years, serving most recently as the firm’s global chief investment officer. She previously worked for 18 years at Oppenheimer Capital, where she was a portfolio manager, managing director, and a member of the Executive Committee.
Ms. Rominger received a BA in English from Fairfield University and an MBA in Finance from the Wharton School of Business at the University of Pennsylvania. (Press Rel. 2012-114)
Closed Meeting on Thursday, June 21, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, June 21, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and disclosure of non-public information.
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 Matthew H. Kluger
On June 14, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Matthew H. Kluger. The Order finds that on May 2, 2012, a final judgment was entered by consent against Kluger, permanently enjoining him from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Furthermore, the Order finds that on December 14, 2011, Kluger pled guilty to conspiracy to commit securities fraud, securities fraud, conspiracy to commit money laundering, and obstruction of justice before the United States District Court for the District of New Jersey, in United States v. Matthew H. Kluger, No. 2:11-cr-00858. The Order also finds that the Commission alleged in its complaint that Kluger engaged in a long-standing serial insider trading scheme along with two others: Kenneth T. Robinson, who was identified only as the “middle man”, and Garrett D. Bauer. Over the course of several years, Kluger repeatedly accessed material nonpublic information about pending mergers and acquisitions from the computer system of his former employer, Wilson Sonsini Goodrich & Rosati (Wilson Sonsini), and passed that information to his friend, Robinson, who served as the middle man, and further passed along the information to Bauer to place trades for the benefit of Kluger and Robinson. Robinson also traded for himself and Kluger in two instances. From at least April 2006 through February 2011, based on nonpublic information that Kluger obtained from Wilson Sonsini, Bauer and/or Robinson traded in advance of at least eleven pending mergers and acquisitions involving companies that were advised by Wilson Sonsini, and the trio realized over $32 million in ill-gotten gains.
Based on the above, the Order suspends Kluger from appearing or practicing before the Commission as an attorney. Kluger consented to the issuance of the Order. (Rel. 34-67204; File No. 3-14918)
In the Matter of Garrett D. Bauer
On June 14, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Garrett D. Bauer. The Order finds that on May 1, 2012, a final judgment was entered by consent against Bauer, permanently enjoining him from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Furthermore, the Order finds that on December 8, 2011, Bauer pled guilty to conspiracy to commit securities fraud, securities fraud, conspiracy to commit money laundering, and obstruction of justice before the United States District Court for the District of New Jersey, in United States v. Garrett D. Bauer, No. 2:11-cr-00842. The Order also finds that the Commission alleged in its complaint that Bauer engaged in a long-standing serial insider trading scheme along with two others: Mathew H. Kluger, a lawyer who over the course of several years repeatedly accessed material nonpublic information about pending mergers and acquisitions from the computer system of his former employer, Wilson Sonsini Goodrich & Rosati (Wilson Sonsini) and Kenneth T. Robinson, identified in the complaint only as the “middle man”, who was Kluger’s friend and who passed along the information to Bauer (and later traded on it himself in two instances). From at least April 2006 through February 2011, based on nonpublic information that Kluger obtained from Wilson Sonsini, Bauer traded in advance of at least nine pending mergers and acquisitions involving companies that were advised by Wilson Sonsini, and realized over $30 million in ill-gotten gains.
Based on the above, the Order bars Bauer from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and bars him from participating in any offering of penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issues 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. Bauer consented to the issuance of the Order. (Rel. 34-67205; File No. 3-14919)
In the Matter of American United Gold Corporation
An Administrative Law Judge issued an Initial Decision as to AMS Homecare Inc., (AMS Homecare) in American United Gold Corporation, Admin. Proc. 3-14770. AMS Homecare, an issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission since 2007. The Administrative Law Judge revoked the registration of each class of AMS Homecare’s registered securities. (Initial Decision No. 460; File No. 3-14770)
In the Matter of Alchemy Ventures, Inc., Mark H. Rogers, and Steven D. Hotovec
The Securities and Exchange Commission (SEC) today issued an Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) as to Alchemy Ventures, Inc. (Alchemy), a San Mateo, California based electronic trading firm, its President Mark H. Rogers of San Carlos, California, and its Vice President Steven D. Hotovec of Redwood City, California.
The Order finds that Alchemy acted as a broker without SEC registration in willful violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) by extending sponsored market access to traders through Alchemy’s brokerage account, and that Rogers and Hotovec willfully aided and abetted and caused Alchemy’s violation. According to the Order, one of the traders was an individual who used the market access to profit from an account intrusion and market manipulation scheme. Alchemy, Rogers, and Hotovec, without admitting or denying the SEC’s findings, each agreed to the issuance of the Order, which orders Alchemy to disgorge profits and prejudgment interest totaling $31,017.18, orders Alchemy to pay a civil penalty of $75,000, orders Rogers and Hotovec each to pay a civil penalty of $35,000, censures Alchemy, Rogers, and Hotovec and orders them to cease and desist from committing or causing any violations and any future violations of Section 15(a) of the Exchange Act. (Rel. 34-67206; File No. File No. 3-14720)
In the Matter of Andrey C. Hicks
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Andrey C. Hicks, Admin. Proc. File No. 3-14832. The Order Instituting Proceedings (OIP) alleged that Respondent Andrey C. Hicks (Hicks) violated the antifraud provisions of the federal securities laws by engaging in a scheme to defraud potential investors in a non-existent pooled investment fund through the use of numerous material misrepresentations. On March 20, 2012, the United States District Court for the District of Massachusetts entered a final judgment against Hicks by default in SEC v. Hicks, 1:11-CV-11888-RGS, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. The district court further ordered Hicks to disgorge approximately $2.5 million in illegally-obtained profits and pay a civil penalty of more than $2.5 million.
The Default Order finds the allegations of the OIP to be true and concludes that, pursuant to Section 203(f) of the Advisers Act, it is in the public interest to bar Hicks from association with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Rel. IA-3419; File No. 3-14832)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE MKT LLC amending Commentary .10 to Exchange Rule 903 allowing the NYSE Amex Options to open Short Term Option Series that are opened by other securities exchanges in option classes selected by other exchanges under their respective Short Term Option rules (SR-NYSEMKT-2012-08) 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 June 18. (Rel. 34-67194)
A proposed rule change (SR-ISE-2012-54) filed by the International Securities Exchange, LLC relating to the extension of the Price Improvement Mechanism pilot program has become effective under Section 19(b)(3)(A) under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 18. (Rel. 34-67202)
Proposed Rule Change
The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-57) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of QAM Equity Hedge ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of June 18. (Rel. 34-67196)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-1 ZBB ENERGY CORP, N93 W14475 WHITTAKER WAY, MENOMONEE FALLS, WI, 53051, 262-253-9800 - 0 ($1,275,220.00) Equity, (File 333-182111 - Jun. 14) (BR. 02A) S-1 ASTIKA HOLDING INC., 4605 SOUTH OCEAN BOULEVARD, APARTMENT 4C, HIGHLAND BEACH, FL, 33487, 786-280-7575 - 40,000 ($400,000.00) Debt, (File 333-182113 - Jun. 14) (BR. 11) S-3 INNODATA INC, THREE UNIVERSITY PLAZA, SUITE 506, HACKENSACK, NJ, 07601, 201 371 8000 - 0 ($70,000,000.00) Equity, (File 333-182114 - Jun. 14) (BR. 03B) S-3ASR DCP Midstream Partners, LP, 370 17TH STREET, SUITE 2775, DENVER, CO, 80202, 720.944.9400 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-182116 - Jun. 14) (BR. 02C) S-8 BIRNER DENTAL MANAGEMENT SERVICES INC, 1777 S. HARRISON STREET,, SUITE 1400, DENVER, CO, 80210, 3036910680 - 475,000 ($7,989,500.00) Equity, (File 333-182118 - Jun. 14) (BR. 09A) S-8 DICKS SPORTING GOODS INC, 345 COURT STREET, CORAOPOLIS, PA, 15108, 7242733400 - 0 ($604,117,272.70) Equity, (File 333-182120 - Jun. 14) (BR. 02C) S-3ASR CARPENTER TECHNOLOGY CORP, 2 MERIDIAN BOULEVARD, WYOMISSING, PA, 19612, 6102082000 - 0 ($273,906,907.00) Equity, (File 333-182121 - Jun. 14) (BR. 06B) S-8 ViewPoint Financial Group Inc., 1309 W 15TH STREET SUITE 400, PLANO, TX, 75075, 972-578-5000 - 0 ($36,652,335.00) Equity, (File 333-182122 - Jun. 14) (BR. 07B) S-8 Intellicell Biosciences, Inc., 30 EAST 76TH STREET, 6TH FLOOR, NEW YORK, NY, 10021, (212) 249-3050 - 7,000,000 ($14,851,622.50) Equity, (File 333-182123 - Jun. 14) (BR. 06A) S-3 INSMED INC, 9 DEER PARK DRIVE, SUITE C, MONMOUTH JUNCTION, NJ, 08852, 732-997-4600 - 75,000,000 ($75,000,000.00) Equity, (File 333-182124 - Jun. 14) (BR. 01A) S-8 AMERISAFE INC, 2301 HIGHWAY 190 WEST, DERIDDER, LA, 70634, 337-463-9052 - 0 ($13,395,000.00) Equity, (File 333-182125 - Jun. 14) (BR. 01A) S-8 Conmed Healthcare Management, Inc., 7250 PARKWAY DR., SUITE 400, HANOVER, MD, 21076, 5152221717 - 1,000,000 ($3,230,000.00) Equity, (File 333-182128 - Jun. 14) (BR. 09A) S-8 CIFC Corp., 250 PARK AVENUE, 5TH FLOOR, NEW YORK, NY, 10177, 212-624-1200 - 0 ($11,302,500.00) Equity, (File 333-182129 - Jun. 14) (BR. 07C) S-1 AVRA INC., EXCHANGE, OCHO RIOS, P.O, ST. ANN, L8, 0000, (876) 975-5471 - 19,597,800 ($39,195.60) Equity, (File 333-182130 - Jun. 14) (BR. ) S-8 PULSE ELECTRONICS CORP, 1210 NORTHBROOK DR, SUITE 470, TREVOSE, PA, 19053, 2153552900 - 6,000,000 ($11,400,000.00) Equity, (File 333-182131 - Jun. 14) (BR. 10B) S-1 AQUALIV TECHNOLOGIES, INC., 4550 NW NEWBERRY HILL ROAD, SUITE 202, SILVERDALE, WA, 98383, 3604731160 - 128,927,716 ($399,675.92) Equity, (File 333-182133 - Jun. 14) (BR. 10A)
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 ----------------------------------------------------------------------------------------- ACE MARKETING & PROMOTIONS INC NY 1.01,2.03,3.02,9.01 06/12/12 ACORN ENERGY, INC. DE 5.02 06/11/12 ACTIVE POWER INC DE 5.02,7.01,9.01 06/13/12 ADCARE HEALTH SYSTEMS INC OH 1.01,2.03 06/08/12 Advaxis, Inc. DE 1.01,3.02,9.01 06/13/12 AEROPOSTALE INC 5.07 06/14/12 AETRIUM INC MN 3.01 06/13/12 AGR TOOLS, INC. NV 5.02,8.01,9.01 05/25/12 ALASKA AIR GROUP, INC. DE 7.01,9.01 06/13/12 Allezoe Medical Holdings Inc DE 8.01 06/13/12 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 06/13/12 AMBASE CORP DE 8.01 06/14/12 AMERICAN BAR ASSOCIATION MEMBERS / NO IL 1.01,1.02 06/11/12 AMERICAN INDEPENDENCE CORP DE 7.01,9.01 06/14/12 AMERISTAR CASINOS INC NV 5.07 06/13/12 Anchor Funding Services, Inc. DE 5.02 06/14/12 ANIKA THERAPEUTICS INC MA 8.01 06/12/12 ANTS SOFTWARE INC DE 5.02 06/12/12 ARI NETWORK SERVICES INC /WI WI 2.02,9.01 06/14/12 ARKANSAS BEST CORP /DE/ DE 7.01 06/14/12 ARKANSAS BEST CORP /DE/ DE 7.01,9.01 06/14/12 Armour Residential REIT, Inc. MD 8.01,9.01 06/14/12 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.07 06/08/12 ASTORIA FINANCIAL CORP DE 8.01,9.01 06/14/12 AT&T INC. DE 8.01,9.01 06/14/12 AVIS BUDGET GROUP, INC. DE 5.02,5.07,9.01 06/11/12 BARD C R INC /NJ/ NJ 8.01 06/14/12 Bazaarvoice Inc DE 5.02 06/10/12 Behringer Harvard Opportunity REIT I, MD 8.01 06/13/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 2.01,9.01 06/08/12 BENCHMARK ELECTRONICS INC TX 8.01,9.01 06/13/12 BEST BUY CO INC MN 7.01,9.01 06/14/12 Biodel Inc 1.01 06/08/12 BLUE DOLPHIN ENERGY CO DE 1.01,9.01 06/14/12 BNC BANCORP NC 1.01,2.01,8.01,9.01 06/08/12 BON TON STORES INC PA 5.07 06/12/12 Booz Allen Hamilton Holding Corp DE 1.01,5.02,9.01 06/12/12 Boston Therapeutics, Inc. DE 3.02,9.01 06/14/12 BRAINSTORM CELL THERAPEUTICS INC 8.01,9.01 06/14/12 BRAINSTORM CELL THERAPEUTICS INC 5.02,5.07,9.01 06/11/12 BROADCAST INTERNATIONAL INC UT 5.02 06/11/12 BROWN FORMAN CORP DE 8.01,9.01 06/14/12 CAPITOL BANCORP LTD MI 5.02 06/14/12 CAPSTONE TURBINE Corp DE 2.02,9.01 06/14/12 CARDINAL BANKSHARES CORP VA 8.01,9.01 06/13/12 Carey Watermark Investors Inc 1.01,2.01,9.01 06/08/12 CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 06/13/12 Castle Brands Inc FL 7.01,9.01 06/14/12 CATERPILLAR INC DE 5.02 06/14/12 Cazador Acquisition Corp Ltd. E9 1.01,9.01 06/12/12 CELGENE CORP /DE/ DE 8.01,9.01 06/13/12 Celldex Therapeutics, Inc. DE 5.02,5.07,9.01 06/13/12 CENTER BANCORP INC NJ 7.01,9.01 06/14/12 CENTURY ALUMINUM CO DE 8.01,9.01 06/11/12 CHAMPION INDUSTRIES INC WV 2.02,9.01 06/14/12 CHINA AGRITECH INC DE 5.02,8.01,9.01 01/14/12 China Media Group CORP TX 2.01,3.02,5.01,5.02, 06/14/12 AMEND 9.01 CHINDEX INTERNATIONAL INC DE 5.02,5.07,9.01 05/31/12 Chrysler Group LLC DE 5.02,9.01 06/10/12 CIT GROUP INC DE 7.01,9.01 06/14/12 CITY NATIONAL CORP DE 8.01,9.01 06/13/12 Clearwire Corp /DE DE 5.07 06/14/12 CMS ENERGY CORP MI 7.01,9.01 06/14/12 CNH CAPITAL RECEIVABLES LLC DE 1.01,8.01,9.01 06/12/12 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 06/12/12 CNL LIFESTYLE PROPERTIES INC MD 8.01 06/14/12 COMMERCIAL METALS CO DE 8.01,9.01 06/13/12 COMMUNITY BANCORP /VT VT 8.01,9.01 06/13/12 CorMedix Inc. DE 8.01,9.01 06/14/12 CorTS(R) Trust III For Verizon Global DE 8.01,9.01 06/01/12 CROWN DYNAMICS CORP DE 5.02 06/07/12 CRYOLIFE INC FL 1.01 06/08/12 Crystal Rock Holdings, Inc. DE 2.02,9.01 06/14/12 CTC Media, Inc. 5.02,9.01 06/14/12 CYBERMESH INTERNATIONAL CORP. 1.01,3.02,9.01 06/22/11 DAVE & BUSTERS INC MO 2.02,9.01 06/12/12 DAVITA INC DE 5.02,5.07,9.01 06/11/12 DCP Midstream Partners, LP DE 1.01,3.03,8.01,9.01 06/14/12 Deltron, Inc. NV 8.01 06/13/12 DEMAND MEDIA INC. DE 5.02,7.01,9.01 06/14/12 DEMAND MEDIA INC. DE 5.07 06/14/12 DENDREON CORP DE 5.07 06/13/12 DIAL GLOBAL, INC. /DE/ DE 1.01,5.02,9.01 06/13/12 Diamond Foods Inc DE 3.01,9.01 06/12/12 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 06/14/12 DiMi Telematics International, Inc. NV 1.01,3.02,9.01 06/14/12 DIRECT INSITE CORP DE 8.01 05/21/12 AMEND DSW Inc. OH 5.07 06/14/12 DTE ENERGY CO MI 5.02,9.01 06/14/12 DYAX CORP DE 8.01,9.01 06/14/12 Embassy Bancorp, Inc. PA 8.01,9.01 06/14/12 ENGLOBAL CORP NV 5.02,7.01,9.01 06/13/12 ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 06/14/12 EXELON CORP PA 8.01,9.01 06/13/12 EXIDE TECHNOLOGIES DE 4.01,9.01 06/08/12 FBL FINANCIAL GROUP INC IA 5.02,7.01 06/13/12 Federal Home Loan Bank of Atlanta X1 2.03 06/14/12 Federal Home Loan Bank of Chicago X1 2.03 06/11/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/12/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/14/12 Federal Home Loan Bank of New York X1 2.03,9.01 06/12/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/11/12 Federal Home Loan Bank of San Francis X1 2.03 06/11/12 Federal Home Loan Bank of Seattle 2.03 06/12/12 Federal Home Loan Bank of Topeka 2.03,9.01 06/11/12 Financial Engines, Inc. DE 7.01,9.01 06/14/12 FIRST CAPITAL BANCORP, INC. VA 7.01 06/13/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 1.01,2.01,7.01,9.01 06/08/12 AMEND FIRST PACTRUST BANCORP INC MD 7.01,9.01 06/14/12 First Sentry Bancshares, Inc. WV 8.01 06/14/12 Fresh Market, Inc. DE 1.01,8.01,9.01 06/12/12 FS Energy & Power Fund DE 2.02,9.01 06/14/12 FS Investment Corp II MD 5.03,5.07,8.01,9.01 06/14/12 FXCM Inc. 7.01,9.01 06/14/12 GAIAM, INC CO 5.07 06/12/12 General Moly, Inc DE 7.01,9.01 06/14/12 Gevo, Inc. DE 5.07 06/12/12 GLOWPOINT, INC. DE 1.01,9.01 06/12/12 GRAPHON CORP/DE DE 8.01 05/30/12 GRAPHON CORP/DE DE 8.01,9.01 06/13/12 GRAYBAR ELECTRIC CO INC NY 5.07 06/14/12 Green Technology Solutions, Inc. DE 1.01,9.01 06/08/12 GUARANTY FEDERAL BANCSHARES INC DE 1.01,8.01,9.01 06/13/12 Hanesbrands Inc. MD 8.01,9.01 06/13/12 HARRIS & HARRIS GROUP INC /NY/ NY 1.01,9.01 06/11/12 HD SUPPLY, INC. DE 7.01,9.01 06/14/12 HERITAGE BANKSHARES INC /VA VA 7.01,9.01 06/14/12 HERITAGE BANKSHARES INC /VA VA 5.07 06/14/12 HERSHEY CO DE 5.02 06/14/12 Hill International, Inc. DE 5.07,9.01 06/11/12 Hines Global REIT, Inc. MD 9.01 03/29/12 AMEND Home Federal Bancorp, Inc. MD 8.01,9.01 06/13/12 Homeowners Choice, Inc. FL 1.01 06/12/12 HOUSTON AMERICAN ENERGY CORP DE 5.02,5.07,9.01 06/11/12 Howard Hughes Corp DE 5.07,9.01 06/11/12 HUNTINGTON BANCSHARES INC/MD MD 5.02,8.01,9.01 06/08/12 ICF International, Inc. DE 5.02,9.01 06/08/12 Innovaro, Inc. 5.07 06/07/12 INSMED INC VA 5.03,9.01 06/13/12 Integrated Healthcare Holdings Inc 1.01,2.03,9.01 06/08/12 IntelGenx Technologies Corp. DE 7.01 06/14/12 INTERNATIONAL GAME TECHNOLOGY NV 1.01,8.01,9.01 06/13/12 INUVO, INC. NV 7.01,9.01 06/13/12 JOHNSON & JOHNSON NJ 2.01,9.01 06/14/12 JTH Holding, Inc. DE 2.02,5.02,9.01 06/13/12 Kior Inc DE 5.02 06/09/12 KRISPY KREME DOUGHNUTS INC NC 5.02,5.07,9.01 06/12/12 KROGER CO OH 2.02,7.01,9.01 06/14/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 06/14/12 LAKELAND INDUSTRIES INC DE 2.02,9.01 06/14/12 LaPorte Bancorp, Inc. X1 8.01,9.01 06/13/12 Laredo Petroleum Holdings, Inc. DE 5.02,9.01 06/13/12 LATTICE SEMICONDUCTOR CORP DE 7.01,9.01 06/14/12 LHC Group, Inc 8.01 06/13/12 LIGHTING SCIENCE GROUP CORP DE 1.01,5.02,9.01 06/08/12 LIGHTING SCIENCE GROUP CORP DE 5.02 06/08/12 AMEND Lightwave Logic, Inc. NV 5.02,7.01,9.01 06/14/12 LUBYS INC DE 2.02,9.01 06/13/12 MECHANICAL TECHNOLOGY INC NY 5.07 06/14/12 MEDICAL ACTION INDUSTRIES INC DE 2.02,9.01 06/14/12 MEDICINES CO /DE DE 1.01,2.03,3.02,8.01, 06/11/12 9.01 MERIDIAN BIOSCIENCE INC OH 5.02,9.01 06/12/12 METALICO INC 8.01 06/13/12 MICROVISION INC DE 7.01,9.01 06/14/12 MOMENTA PHARMACEUTICALS INC DE 5.07 06/13/12 Monster Offers NV 8.01 06/13/12 MRI INTERVENTIONS, INC. DE 3.03,8.01,9.01 06/11/12 MTR GAMING GROUP INC DE 5.07 06/13/12 NABI BIOPHARMACEUTICALS DE 5.02 06/08/12 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 06/14/12 Nationstar Mortgage Holdings Inc. DE 1.01,9.01 06/08/12 NEOPHOTONICS CORP DE 5.07 06/08/12 Net Element, Inc. DE 1.01,9.01 06/12/12 NEWELL RUBBERMAID INC DE 1.01,9.01 06/11/12 NEWS CORP 5.02,9.01 06/11/12 NEWS CORP 8.01,9.01 06/14/12 NGP Capital Resources Co MD 7.01,9.01 06/14/12 NISOURCE INC/DE DE 1.01,2.03,9.01 06/11/12 NORDSON CORP OH 2.01,9.01 06/14/12 NorthStar Real Estate Income Trust, I MD 8.01 06/14/12 NORTHWEST PIPE CO OR 7.01,9.01 06/14/12 NORWOOD FINANCIAL CORP PA 8.01,9.01 06/14/12 Nova Mining CORP 5.02,9.01 05/21/12 NOVELOS THERAPEUTICS, INC. DE 7.01,9.01 06/14/12 NTS REALTY HOLDINGS LP DE 8.01,9.01 06/13/12 OCLARO, INC. DE 8.01 06/13/12 ONEOK INC /NEW/ OK 1.01,7.01,9.01 06/12/12 ORBITAL SCIENCES CORP /DE/ DE 8.01 06/13/12 ORIGINOIL INC NV 5.02,5.03,5.07,8.01, 05/25/12 AMEND 9.01 OxySure Systems Inc 7.01,9.01 06/13/12 PACIFIC BIOSCIENCES OF CALIFORNIA INC 5.07 06/13/12 PC TEL INC DE 5.02,5.07 06/11/12 PDL BIOPHARMA, INC. DE 7.01,9.01 06/14/12 PEERLESS SYSTEMS CORP DE 2.02,9.01 06/14/12 Pendrell Corp DE 5.02,9.01 06/14/12 PENNS WOODS BANCORP INC PA 5.02,9.01 06/12/12 PERCEPTRON INC/MI MI 5.02 06/13/12 PHOTOMEDEX INC DE 8.01,9.01 06/14/12 PIER 1 IMPORTS INC/DE DE 2.02,5.02,9.01 06/13/12 Post Holdings, Inc. MO 1.01,2.03,9.01 06/13/12 POW! ENTERTAINMENT, INC. DE 5.03,9.01 06/14/12 Power REIT MD 8.01,9.01 06/14/12 PPL Corp 2.03,8.01,9.01 06/11/12 PREMIERE GLOBAL SERVICES, INC. GA 5.07 06/13/12 PRESIDENTIAL REALTY CORP/DE/ DE 1.01,2.03,9.01 06/08/12 Princeton Security Technologies, Inc. NJ 1.01,5.07,7.01,9.01 06/13/12 Probe Manufacturing Inc NV 5.02,7.01,9.01 06/11/12 QUEST SOFTWARE INC CA 8.01,9.01 06/14/12 Rand Logistics, Inc. DE 7.01,9.01 06/08/12 Raptor Pharmaceutical Corp DE 8.01,9.01 06/13/12 Real Goods Solar, Inc. CO 5.02,5.07,9.01 06/11/12 REALPAGE INC DE 8.01,9.01 06/14/12 REGENERON PHARMACEUTICALS INC NY 5.07 06/08/12 REPROS THERAPEUTICS INC. DE 5.07 06/13/12 Resolute Forest Products Inc. DE 7.01,9.01 06/13/12 ROCKWELL MEDICAL TECHNOLOGIES INC MI 5.02,9.01 06/11/12 ROGERS CORP MA 2.05 05/09/12 AMEND Sally Beauty Holdings, Inc. 1.01,9.01 06/08/12 SCHOOL SPECIALTY INC WI 2.02,9.01 06/14/12 SCI Engineered Materials, Inc. OH 5.07 06/13/12 SEARCH BY HEADLINES.COM CORP. NV 1.01,2.03,9.01 06/13/12 Select Notes Trust LT 2004-1 DE 8.01,9.01 06/01/12 Sentio Healthcare Properties Inc MD 1.01,2.03,8.01,9.01 06/11/12 SIEBERT FINANCIAL CORP NY 5.07 06/11/12 Sierra Income Corp MD 5.03,9.01 06/14/12 Silver Dragon Resources Inc. DE 7.01,9.01 06/14/12 SITEL Worldwide Corp DE 1.01,2.03,5.07,9.01 06/14/12 SMITHFIELD FOODS INC VA 2.02,9.01 06/14/12 Solar Power, Inc. CA 1.01,2.01,9.01 06/08/12 Somaxon Pharmaceuticals, Inc. DE 8.01 06/12/12 SOUTHERN CALIFORNIA GAS CO CA 5.07 06/13/12 SOUTHERN CONNECTICUT BANCORP INC CT 3.01,5.02,9.01 06/08/12 SPARTECH CORP DE 8.01 06/13/12 SPEEDEMISSIONS INC FL 2.03,9.01 06/08/12 STAGE STORES INC NV 1.01,5.02 06/12/12 Stalar 2, Inc. DE 1.01,9.01 06/13/12 STATER BROS HOLDINGS INC DE 5.02 06/08/12 STEELE RESOURCES CORP NV 5.02 06/09/12 STRATASYS INC DE 2.02,8.01,9.01 06/08/12 STREAMLINE HEALTH SOLUTIONS INC. DE 7.01,9.01 06/14/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01 06/04/12 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01 06/04/12 STRUCTURED PRODUCTS CORP TIERS CORP B DE 8.01,9.01 06/01/12 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 06/01/12 SUNGARD DATA SYSTEMS INC DE 5.02,7.01,9.01 06/08/12 SYMANTEC CORP DE 1.01,9.01 06/11/12 SYNERGETICS USA INC 7.01,9.01 06/13/12 Synutra International, Inc. DE 2.02,9.01 06/14/12 Tamir Biotechnology, Inc. DE 7.01 05/30/12 TAYLOR CAPITAL GROUP INC DE 1.01,9.01 06/13/12 TEL INSTRUMENT ELECTRONICS CORP NJ 7.01 06/08/12 Terreno Realty Corp MD 1.01 06/11/12 TORTOISE CAPITAL RESOURCES CORP 5.07 06/06/12 TRANS LUX CORP DE 5.02 06/08/12 Transocean Ltd. V8 7.01,9.01 06/14/12 TRI VALLEY CORP DE 5.02 06/09/12 Triangle Petroleum Corp NV 2.02,7.01,9.01 06/11/12 TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01 06/14/12 TYSON FOODS INC DE 1.01,2.04,3.03,9.01 06/13/12 UNITY BANCORP INC /NJ/ NJ 5.02 06/14/12 UNIVERSAL INSURANCE HOLDINGS, INC. DE 5.02,5.07,9.01 06/08/12 US AIRWAYS GROUP INC DE 7.01,9.01 06/14/12 US ENERGY CORP WY 7.01,9.01 06/14/12 UTi WORLDWIDE INC D8 5.07 06/11/12 Viacom Inc. DE 8.01,9.01 06/14/12 VIASAT INC DE 5.08 06/14/12 Walker & Dunlop, Inc. MD 5.07 06/13/12 Western Gas Partners LP DE 8.01 06/12/12 Western Refining, Inc. DE 5.07 06/08/12 WIKI GROUP, INC. 5.02,9.01 06/11/12 Willbros Group, Inc.\NEW\ 5.02 06/11/12 AMEND WINNEBAGO INDUSTRIES INC IA 2.02,9.01 06/14/12