SEC Approves Rules and Interpretations on Key Terms for Regulating Derivatives
The Securities and Exchange Commission late Friday took another step toward regulating the over-the-counter derivatives market by unanimously approving rules and interpretations for key definitions of certain derivative products.
The SEC rules and interpretations further define the terms “swap” and “security-based swap” and whether a particular instrument is a “swap” regulated by the Commodity Futures Trading Commission (CFTC) or a “security-based swap” regulated by the SEC. The SEC action also addresses “mixed swaps,” which are regulated by both agencies, and “security-based swap agreements,” which are regulated by the CFTC but over which the SEC has antifraud and other authority.
The rules and interpretations written jointly with the CFTC implement provisions of the 2010 Dodd-Frank Act that establish a comprehensive framework for regulating over-the-counter derivatives.
“Approving the product rules and interpretations is another foundational step in the establishment of a new regulatory regime for derivatives,” said SEC Chairman Mary L. Schapiro. “I look forward to action on the rules and interpretations by my colleagues at the CFTC.”
Once both agencies adopt the final rules, they will become effective 60 days after the date of publication in the Federal Register. The compliance date of such rules for purposes of certain interim exemptions under the federal securities laws will be 180 days after the date of publication in the Federal Register. The final rule text and a fact sheet will be available after both agencies adopt the final rules. (Press Rel. 2012-130)
Paula Drake Named Chief Counsel and Chief Compliance and Ethics Officer of SEC's Office Of Compliance Inspections and Examinations
The Securities and Exchange Commission today announced that Paula Drake has been appointed an Associate Director to serve as Chief Counsel and Chief Compliance and Ethics Officer in the SEC’s Office of Compliance Inspections and Examinations (OCIE). Starting August 6, Ms. Drake will oversee a staff of eight lawyers and coordinate the efforts of attorney advisors in the SEC’s eleven regional offices.
Ms. Drake served most recently as General Counsel and Chief Operating Officer at Oechsle International Advisors, LLC, where she was involved in all aspects of the investment management business, including registering investment advisers and establishing risk and compliance programs. Ms. Drake has extensive experience managing litigation, regulatory relationships, examinations, audits and internal investigations, and recently completed eight years as a member of the Board of Governors of the Investment Advisers Association.
Before joining Oechsle, Ms. Drake was an attorney with the law firm of Ropes & Gray, and at Fidelity Investments. She is a graduate of Harvard Law School and received a Bachelor of Arts degree and Ph.D. in English from the University of Massachusetts.
“It’s very exciting to welcome Paula to our leadership team. Paula adds extensive legal, business and industry experience and expertise. She will help us with the continued advancement of the national examination program, including leading the critical legal function, developing our national examination policy manual, and overseeing our internal compliance team,” said OCIE Director Carlo di Florio.
Ms. Drake said, “I am grateful for the opportunity to join OCIE at such an exciting time. The development over the past two years of a national examination program with uniform goals and consistent standards has been critically important. I look forward to supporting the national team as it fulfills its vital mission.”
OCIE conducts the SEC’s national examination program for investment advisers and investment companies, broker-dealers, self-regulatory organizations, clearing agencies, and transfer agents to fulfill its mission of promoting compliance, preventing fraud, monitoring risk and informing SEC policy. (Press Rel. 2012-131)
Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting on Wednesday, July 11, 2012 at 10:00 a.m.
The subject matter of the Open Meeting will be:
The Commission will consider whether to adopt Rule 613 under Section 11A of the Securities Exchange Act, to require national securities exchanges and national securities associations to submit a national market system (“NMS”) plan to develop, implement, and maintain a consolidated order tracking system, or consolidated audit trail, with respect to the trading of NMS securities, that would capture customer and order event information for orders in NMS securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.
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 True Product ID, Inc.
On July 9, 2012, an Administrative Law Judge issued an Order Granting Motion and Making Findings and Revoking Registration by Default (Default Order) in True Product ID, Inc., Admin. Proc. 3-14904. The Default Order finds that the allegations in the Order Instituting Proceedings issued on June 5, 2012, are true. True Product ID, Inc. (True Product), an issuer of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), has failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission since 2009. The Default Order revokes the registration of each class of True Product’s registered securities. (Rel. 34-67366; File No. 3-14904)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Fourthstage Technologies, Inc., Freesoftwareclub.com, FTM Media, Inc., Full Moon Universe, Inc., and Future Educational Systems, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67367; File No. 3-14920)
In the Matter of Manuel M. Bello
On July 9, 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 Manuel M. Bello. The Order finds that Bello is the President and Chief Executive Officer of Ayuda Funding Corporation, which wholly owns Ayuda Equity Funding, LLC, and is the owner of AmeriFund Capital Holdings, LLC. On July 6, 2012, a final judgment was entered by consent against Bello, permanently enjoining him from future violations of Section 5 of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Manuel M. Bello, et al., Civil Action Number 2:12-CV-03794-JLL-MAH (D.N.J.).
Based on the above, the Order bars Bello from association with any broker, dealer, investment adviser, municipal securities dealer, or 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.
Bello 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. 34-67368; File No. 3-14941)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law 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 Administrative Law Judge in the proceeding 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67369; File No. 3-14942)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies For Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law 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 Administrative Law Judge in the proceeding 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67370; File No. 3-14943)
Final Judgment Entered Against Connecticut Man Who Misappropriated Over $1 Million From Vulnerable Investors
The Securities and Exchange Commission (Commission) announced that, on July 5, 2012, the United States District Court for the District of Connecticut entered a final judgment by default against Florin S. Ilovici, formerly of Avon, Connecticut. The Commission’s action against Ilovici was originally filed in June 2011 and charged that, starting as early as 2008, Ilovici made material misrepresentations in raising over $1 million in investment funds from at least two elderly Connecticut women who lived alone, had little or no family, and had health problems. The complaint alleged that, instead of investing these funds on their behalf as he promised, Ilovici transferred the investor funds to his personal bank and brokerage accounts where he either lost the funds in risky securities or foreign currency exchange trading or used the funds for personal expenses, including mortgage and credit card payments, travel, and home improvements, all without the knowledge or authorization of his investors. The complaint alleged that Ilovici’s conduct violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
The final judgment entered by the Court came in response to a Commission motion for default judgment and permanently enjoined Ilovici from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgment also ordered Ilovici to pay disgorgement in the amount of $1,094,984.52, representing profits gained as a result of the conduct alleged in the complaint, plus pre-judgment interest on the disgorgement in the amount of $54,935.50, and a civil penalty in the amount of $900,000.00. The complaint also named Ilovici’s wife, Diana Ilovici, as a relief defendant, as to whom the judgment requires a payment of $30,196.93 in unjust enrichment because she received proceeds of the conduct alleged in the complaint. [SEC v. Florin S. Ilovici, et al., 3:11-CV00981-WWE (District of Connecticut)] (LR-22411)
Accelerated Approval of Proposed Rule Change
The Chicago Mercantile Exchange Inc. (“CME”) filed a proposed rule change (SR-CME-2012-27) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend rules relating to Interest Rate Swaps Clearing. The proposed rule change has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Exchange Act. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67362)
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 AMBICOM HOLDINGS, INC, 500 ALDER DRIVE, MILPITAS, CA, 95035, 408-321-0822 - 20,000,000 ($2,400,000.00) Equity, (File 333-182555 - Jul. 6) (BR. 10A) S-8 Tronox Ltd, 1 BRODIE HALL DRIVE, TECHNOLOGY PARK, BENTLEY, C3, 6102, (405) 775-5000 - 0 ($361,657,542.60) Equity, (File 333-182556 - Jul. 6) (BR. 06) S-3 SOUTHERN CALIFORNIA GAS CO, 555 W FIFTH ST, ML 14H1, LOS ANGELES, CA, 90013-1011, 2132441200 - 0 ($2,000,000,000.00) Unallocated (Universal) Shelf, (File 333-182557 - Jul. 6) (BR. 02B) S-8 ATA Inc., 8TH FLOOR, TOWER E, 6 GONGYUAN WEST ST., JIAN GUO MEN NEI, BEIJING, F4, 100005, 8610-6518-1122 - 0 ($702,882.00) ADRs/ADSs, (File 333-182558 - Jul. 6) (BR. 11C) S-8 Seven Arts Entertainment Inc., 1801 CENTURY PARK EAST, #1830, LOS ANGELES, CA, 90067, 44 020 7043 5394 - 20,000,000 ($800,000.00) Equity, (File 333-182559 - Jul. 6) (BR. 05A) N-2 ABERDEEN ASIA-PACIFIC INCOME FUND INC, 1735 MARKET STREET, 32ND FLOOR, PHILADELPHIA, PA, 19103, 215-405-5700 - 0 ($375,000,000.00) Equity, (File 333-182564 - Jul. 6) (BR. 17) S-1 Line Up Advertisement, Inc., 2360 CORPORATE CIRCLE, SUITE 400, HENDERSON, NV, 89074, (702)478-2122 - 5,000,000 ($100,000.00) Equity, (File 333-182566 - Jul. 6) (BR. 11) S-3 Targa Resources Partners LP, 1000 LOUISIANA, SUITE 4300, HOUSTON, TX, 77002, (713)584-1000 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-182567 - Jul. 6) (BR. 02C) S-1 AUDEO ONCOLOGY, INC., 100 PINE STREET, SUITE 2040, SAN FRANCISCO, CA, 94111, 61-07-3340-0200 - 0 ($60,000,000.00) Equity, (File 333-182568 - Jul. 6) (BR. ) S-8 SXC Health Solutions Corp., 2441 WARRENVILLE ROAD, SUITE 610, LISLE, IL, 60532, 630-577-3100 - 0 ($236,625,000.00) Equity, (File 333-182569 - Jul. 6) (BR. 01A) S-4 TRUSTMARK CORP, 248 E CAPITOL ST, P O BOX 291, JACKSON, MS, 39201, 6013545111 - 0 ($55,429,391.00) Equity, (File 333-182570 - Jul. 6) (BR. 07C) S-3 TAYLOR CAPITAL GROUP INC, 350 EAST DUNDEE ROAD, WHEELING, IL, 60090, 8478086369 - 0 ($304,116,249.40) Equity, (File 333-182571 - Jul. 6) (BR. 07B) S-4 DAVITA INC, 1551 WEWATTA STREET, 6TH FLOOR, DENVER, CO, 80202, 3034052100 - 0 ($1.00) Equity, (File 333-182572 - Jul. 6) (BR. 09A)
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 22nd Century Group, Inc. NV 5.02 07/06/12 A123 SYSTEMS, INC. DE 1.01,8.01,9.01 07/05/12 ACCESS NATIONAL CORP VA 5.02 06/30/12 ACME PACKET INC DE 2.02,9.01 07/06/12 Activision Blizzard, Inc. DE 5.02 06/29/12 Adamis Pharmaceuticals Corp DE 1.01,5.02,9.01 07/02/12 ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03 07/01/12 ADVENT SOFTWARE INC /DE/ DE 5.02 07/01/12 ADVOCAT INC DE 5.02 07/06/12 Alexza Pharmaceuticals Inc. DE 8.01,9.01 07/05/12 ALR TECHNOLOGIES INC. NV 1.01 07/06/12 Altegris QIM Futures Fund, L.P. DE 3.02 07/01/12 Altegris Winton Futures Fund, L.P. CO 3.02 07/01/12 AMARIN CORP PLC\UK X0 8.01 07/02/12 American Realty Capital Properties, I MD 8.01,9.01 07/06/12 American Realty Capital Trust, Inc. DE 8.01,9.01 07/06/12 American Standard Energy Corp. DE 1.01,3.02,3.03,5.03, 06/30/12 9.01 AMERICAN VANGUARD CORP DE 5.02,8.01,9.01 07/06/12 Amincor, Inc. NV 5.02 07/05/12 AMTECH SYSTEMS INC AZ 5.02,9.01 06/29/12 ANCHOR BANCORP WISCONSIN INC WI 5.02 06/30/12 ASURE SOFTWARE INC DE 1.01,2.01,2.03,3.02, 07/01/12 7.01,9.01 ATLANTIC POWER CORP A1 8.01,9.01 07/05/12 BAKKEN RESOURCES INC NV 1.01,9.01 07/03/12 BANCTRUST FINANCIAL GROUP INC AL 8.01 07/02/12 BANK OF KENTUCKY FINANCIAL CORP KY 5.07 04/20/12 AMEND Bank of New York Mellon CORP DE 1.01,2.02,9.01 07/05/12 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 07/06/12 BIOSANTE PHARMACEUTICALS INC DE 3.02 07/06/12 BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 07/06/12 Black Diamond, Inc. DE 3.02 07/02/12 Black Diamond, Inc. DE 1.01,9.01 06/07/12 AMEND BON TON STORES INC PA 8.01,9.01 07/05/12 BOSTON SCIENTIFIC CORP DE 1.01,2.03,9.01 06/29/12 BSD MEDICAL CORP DE 2.02 07/05/12 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 07/05/12 BURZYNSKI RESEARCH INSTITUTE INC DE 1.01,9.01 07/05/12 CAMELOT CORP NV 5.01 05/05/12 CAPITOL BANCORP LTD MI 7.01,9.01 07/06/12 Cardiovascular Systems Inc DE 1.01,2.03 06/29/12 Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 06/29/12 CATALYST HEALTH SOLUTIONS, INC. DE 1.02,2.01,3.01,3.03, 07/02/12 5.01,5.02,5.03,5.07, 9.01 CD INTERNATIONAL ENTERPRISES, INC. FL 1.01,3.02,9.01 08/30/11 AMEND CFS BANCORP INC IN 7.01,9.01 07/06/12 CHESAPEAKE ENERGY CORP OK 7.01,8.01,9.01 07/02/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 1.01,5.01,5.02,9.01 06/29/12 China Natural Gas, Inc. DE 9.01 04/20/12 AMEND CHINA YIDA HOLDING, CO. 3.01 07/02/12 CHRISTOPHER & BANKS CORP DE 1.01,3.03,5.02,5.03, 07/05/12 8.01,9.01 Clean Coal Technologies Inc. NV 1.01,3.02,9.01 06/29/12 CME GROUP INC. DE 1.01,9.01 06/29/12 CMS ENERGY CORP MI 7.01,9.01 07/06/12 CNL Healthcare Trust, Inc. MD 1.01,2.01,2.03,9.01 06/29/12 COMPETITIVE TECHNOLOGIES INC DE 1.01,8.01,9.01 07/06/12 Compressco Partners, L.P. DE 2.03 07/05/12 Computer Software Innovations, Inc. DE 1.01,2.03,9.01 06/29/12 COMPUWARE CORP MI 5.02,9.01 06/30/12 CONSOLIDATED WATER CO LTD E6 8.01 07/03/12 CORCEPT THERAPEUTICS INC DE 1.01,8.01,9.01 07/02/12 Cord Blood America, Inc. FL 1.01,3.02,9.01 06/29/12 CORINTHIAN COLLEGES INC 2.03 06/29/12 COSI INC DE 5.02,9.01 06/30/12 CPI AEROSTRUCTURES INC NY 9.01 07/02/12 AMEND CREDIT ACCEPTANCE CORP MI 1.01,2.03,8.01,9.01 06/29/12 CTI INDUSTRIES CORP DE 4.01,9.01 07/01/12 DARLING INTERNATIONAL INC DE 5.02,9.01 07/06/12 DAVITA INC DE 8.01,9.01 07/06/12 DELTA PETROLEUM CORP/CO CO 1.01 07/03/12 Desert Hawk Gold Corp. NV 1.01,2.03,3.02 06/29/12 Deyu Agriculture Corp. NV 5.02 06/30/12 Digital Generation, Inc. DE 5.02,9.01 06/30/12 DIONICS INC DE 7.01,9.01 07/03/12 DIONICS INC DE 1.01,2.01,3.02,5.01, 06/29/12 5.02,5.03,9.01 DynaVox Inc. 5.02,9.01 06/29/12 DYNEGY INC. DE 1.03,9.01 07/06/12 EASTERN VIRGINIA BANKSHARES INC VA 5.02,9.01 06/29/12 EDGEWATER TECHNOLOGY INC/DE/ DE 1.01,9.01 06/29/12 EdgeWave, Inc. DE 1.01,5.02,9.01 06/29/12 EMPIRE RESORTS INC DE 1.01,9.01 06/29/12 ENOVA SYSTEMS INC CA 3.01 07/05/12 EPOCH HOLDING CORP DE 8.01 07/06/12 EVCARCO, INC. NV 2.01,3.02,5.02 05/23/12 Federal Home Loan Bank of Dallas 2.03,9.01 06/29/12 Federal Home Loan Bank of Topeka 2.03,9.01 07/02/12 FIRST CITIZENS BANC CORP /OH OH 2.02,8.01 07/06/12 FIRST LEVEL ENTERTAINMENT GROUP, INC. FL 3.02 06/30/12 FREDERICK COUNTY BANCORP INC MD 2.02,7.01,9.01 07/06/12 FriendFinder Networks Inc. NV 5.02 07/01/12 FTI CONSULTING INC MD 2.05,9.01 07/06/12 FULL HOUSE RESORTS INC DE 1.01,2.03 06/29/12 FuLuCai Productions Ltd. NV 1.01,9.01 06/29/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 07/01/12 Galena Biopharma, Inc. 5.02 07/02/12 Genesis Biopharma, Inc NV 1.01,9.01 06/30/12 GeoMet, Inc. DE 5.02,7.01,9.01 07/02/12 GLOBAL AXCESS CORP NV 1.01,9.01 06/30/12 GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 07/06/12 GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 07/05/12 HAIN CELESTIAL GROUP INC DE 5.02,9.01 06/30/12 HALF ROBERT INTERNATIONAL INC /DE/ DE 8.01 07/05/12 HARMAN INTERNATIONAL INDUSTRIES INC / DE 1.01,9.01 07/02/12 HARRIS INTERACTIVE INC DE 2.05 06/29/12 HEALTH DISCOVERY CORP 2Q 5.07 06/29/12 HEMAGEN DIAGNOSTICS INC DE 2.04 07/06/12 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,8.01,9.01 07/06/12 Homeland Security Capital CORP DE 1.01,9.01 06/29/12 Horizon Lines, Inc. 5.02 07/05/12 INERGY L P DE 1.01,7.01,9.01 07/06/12 Inland American Real Estate Trust, In MD 1.01,9.01 07/01/12 INTERMUNE INC DE 8.01 07/05/12 Iron Eagle Group, Inc. DE 4.01,9.01 06/27/12 iSatori, Inc. DE 4.01,8.01,9.01 06/29/12 Island Radio, Inc. NV 5.03 07/02/12 JACOBS ENTERTAINMENT INC DE 1.01,2.01,9.01 06/29/12 Keyuan Petrochemicals, Inc. NV 5.02,8.01 06/29/12 KINGSWAY FINANCIAL SERVICES INC A6 5.03,8.01 07/03/12 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 07/02/12 LACROSSE FOOTWEAR INC WI 1.01,9.01 07/05/12 LANDEC CORP \CA\ CA 9.01 04/23/12 AMEND LAPOLLA INDUSTRIES INC DE 1.01,2.03,9.01 06/29/12 LBI MEDIA HOLDINGS INC 5.02,9.01 06/29/12 Lease Equity Appreciation Fund II, L. DE 1.01 06/29/12 LEGEND INTERNATIONAL HOLDINGS INC DE 1.01,3.02,9.01 06/29/12 LIBBEY INC DE 5.02 07/06/12 Lifevantage Corp CO 1.01 07/02/12 LINCARE HOLDINGS INC DE 1.01,8.01,9.01 07/01/12 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,9.01 06/29/12 MARINE PRODUCTS CORP DE 8.01,9.01 07/02/12 McEwen Mining Inc. CO 7.01,9.01 07/06/12 MEDCATH CORP DE 1.01,2.01,8.01,9.01 06/30/12 Midway Gold Corp A1 1.01,7.01,9.01 07/06/12 MITEK SYSTEMS INC DE 1.01 07/03/12 ModusLink Global Solutions Inc DE 5.02 07/03/12 MOTORCAR PARTS AMERICA INC NY 3.01,9.01 06/29/12 Motors Liquidation Co DE 8.01,9.01 06/29/12 MRI INTERVENTIONS, INC. DE 1.01,3.02,9.01 07/02/12 MusclePharm Corp NV 5.02,8.01,9.01 07/03/12 MYERS INDUSTRIES INC OH 8.01,9.01 06/29/12 NAVISTAR INTERNATIONAL CORP DE 7.01,8.01,9.01 07/06/12 NEAH POWER SYSTEMS, INC. NV 5.02 06/30/12 Neogenix Oncology Inc MD 5.02 07/06/12 NETREIT, INC. MD 5.07 07/05/12 NEW FOUND SHRIMP INC IN 3.02 07/03/12 NEWCASTLE INVESTMENT CORP MD 7.01 07/06/12 NEWS CORP 8.01,9.01 07/06/12 NICHOLAS FINANCIAL INC FL 5.02,9.01 07/03/12 NOVATEL WIRELESS INC DE 5.02,9.01 07/03/12 NuStar Energy L.P. DE 1.01,9.01 07/03/12 NuStar Energy L.P. DE 1.01,2.03,9.01 06/29/12 NuStar GP Holdings, LLC DE 1.01,2.03,9.01 06/29/12 OptimumBank Holdings, Inc. FL 1.01,5.02,9.01 06/29/12 Orpheum Property Inc DE 4.01,9.01 06/14/12 AMEND Oxford Resource Partners LP DE 5.02,9.01 06/30/12 PACER INTERNATIONAL INC TN 1.01,9.01 07/06/12 PALATIN TECHNOLOGIES INC DE 1.01,3.02,9.01 07/02/12 PAULSON CAPITAL CORP OR 8.01,9.01 07/05/12 PEABODY ENERGY CORP DE 5.02,9.01 06/30/12 Pebblebrook Hotel Trust MD 7.01 07/06/12 PIER 1 IMPORTS INC/DE DE 8.01 07/06/12 Plandai Biotechnology, Inc. NV 2.01,3.02,5.01,5.02, 11/23/11 AMEND 5.03 POWER INTEGRATIONS INC CA 1.01,1.02,2.03 07/05/12 PREMIER EXHIBITIONS, INC. FL 9.01 04/20/12 AMEND PRESIDENTIAL LIFE CORP DE 1.01,9.01 02/23/12 PRESSURE BIOSCIENCES INC MA 1.01,3.02,9.01 07/03/12 Preventia, Inc. 1.01,9.01 06/30/12 PROASSURANCE CORP DE 7.01,9.01 07/06/12 PROSPERITY BANCSHARES INC TX 2.01,5.02,9.01 07/01/12 PRUCO LIFE INSURANCE CO AZ 4.02 07/02/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 07/06/12 PURE BIOSCIENCE, INC. DE 1.01,3.02,9.01 06/29/12 Rackwise, Inc. NV 3.02,9.01 06/29/12 RALCORP HOLDINGS INC /MO MO 5.02,9.01 07/06/12 REGENERX BIOPHARMACEUTICALS INC DE 5.02 07/02/12 ROTECH HEALTHCARE INC DE 5.02 06/29/12 RPC INC DE 8.01,9.01 07/02/12 RPM INTERNATIONAL INC/DE/ DE 1.01,1.02,9.01 06/29/12 Rubicon Technology, Inc. DE 1.01,9.01 02/03/12 AMEND SABINE ROYALTY TRUST TX 2.02,9.01 07/05/12 SAGE FUND LP MD 3.02 07/01/12 Sandalwood Ventures NV 1.01,2.01,3.02,5.03, 06/25/12 5.06,9.01 Santa Fe Gold CORP DE 8.01,9.01 07/05/12 SERVICESOURCE INTERNATIONAL, INC. 1.01,1.02,2.03 06/29/12 SGB International Holdings Inc. A1 5.07 06/29/12 SHERWIN WILLIAMS CO OH 1.01,1.02,2.03,9.01 06/29/12 SKYSTAR BIO-PHARMACEUTICAL CO NV 4.01,9.01 06/29/12 Solar Capital Ltd. MD 1.01,2.03,9.01 07/06/12 SOUTHERN CONNECTICUT BANCORP INC CT 1.01,9.01 07/02/12 SOUTHERN STAR CENTRAL CORP DE 1.01,2.03,9.01 07/06/12 Steadfast Income REIT, Inc. MD 1.01,2.01,2.03,7.01, 06/29/12 9.01 STEELE RESOURCES CORP NV 1.01,2.01,5.02 06/28/12 STRUCTURED PRODUCTS CORP CRED ENHANCE DE 8.01,9.01 07/02/12 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 07/02/12 SUBURBAN PROPANE PARTNERS LP DE 1.01,7.01,9.01 07/06/12 Sucampo Pharmaceuticals, Inc. 8.01,9.01 07/06/12 SunCoke Energy, Inc. 7.01,9.01 07/06/12 SunOpta Inc. 5.02,9.01 07/06/12 SUNRISE SENIOR LIVING INC DE 2.01,7.01,9.01 06/29/12 SWK Holdings Corp DE 5.02 07/05/12 SXC Health Solutions Corp. A6 1.01,1.02,2.01,2.03, 07/02/12 5.02,5.07,8.01,9.01 SYNAGEVA BIOPHARMA CORP DE 9.01 07/06/12 TAL International Group, Inc. DE 1.01,2.03 07/05/12 Target Acquisitions I, Inc. DE 4.02 07/02/12 Terreno Realty Corp MD 2.01,7.01,9.01 07/03/12 THQ INC DE 3.03,5.03,5.07,9.01 06/29/12 TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 06/29/12 Tronox Ltd C3 8.01,9.01 07/05/12 U. S. Premium Beef, LLC 7.01,9.01 07/06/12 UNIFIED GROCERS, INC. CA 1.01 06/19/12 UNITED COMMUNITY BANKS INC GA 8.01 07/03/12 Vanguard Energy Corp CO 3.02,7.01,9.01 06/29/12 VelaTel Global Communications, Inc. NV 3.02 07/05/12 Viggle Inc. DE 1.01,2.03,9.01 06/29/12 VIRTUSA CORP 2.03 06/29/12 VISTAPRINT N.V. P7 5.02 06/29/12 VUMEE INC. NV 1.01,9.01 06/29/12 WALTER INVESTMENT MANAGEMENT CORP MD 1.01,9.01 06/29/12 WARREN RESOURCES INC MD 5.02,9.01 07/02/12 WASHINGTON FEDERAL INC WA 5.02,9.01 07/03/12 WGL HOLDINGS INC VA 8.01,9.01 07/03/12 XATA CORP /MN/ MN 5.02 07/02/12 Your Event, Inc. NV 5.02 06/29/12 ZILLOW INC WA 7.01 07/06/12