SEC Charges Five Physicians With Insider Trading in Stock of Medical Professional Liability Insurer
The Securities and Exchange Commission today charged five physicians with insider trading in the securities of an East Lansing, Mich.-based holding company for a medical professional liability insurer.
The SEC alleges that Apparao Mukkamala learned confidential information from board meetings and other communications about the anticipated acquisition of American Physicians Capital Inc. (ACAP) by another insurance company. Mukkamala in turn shared the nonpublic information with fellow physicians and friends Suresh Anne, Jitendra Prasad Katneni and Rao A.K. Yalamanchili as well as his brother-in-law Mallikarjunarao Anne. The five physicians each purchased ACAP stock based on confidential information about the impending sale in the months leading up to a public announcement. Collectively, they made more than $623,000 in illegal profits on their ACAP stock following the announcement.
The physicians agreed to pay a combined total of more than $1.9 million to settle the SEC’s charges.
“These physicians made numerous purchases of ACAP shares that were detected as highly unusual when compared to their past trading patterns,” said Robert J. Burson, Senior Associate Regional Director of the SEC’s Chicago office. “Board chairmen and other insiders should never choose greed over duty when possessing confidential information about the companies they serve.”
According to the SEC’s complaint filed in U.S. District Court for the Eastern District of Michigan’s Southern Division, Mukkamala is a resident of Grand Blanc, Mich., and served as a member of ACAP’s board since its formation in July 2000. He became its chairman in May 2007. At a meeting on March 12, 2010, ACAP’s board confidentially discussed whether it should consider a potential sale of ACAP and instructed company management to evaluate whether or not to continue as an independent, stand-alone company.
The SEC alleges that as ACAP’s board and management continued undertaking definite steps toward a sale, Mukkamala routinely disclosed material nonpublic information along the way to the other four physicians. Between April 30 and July 7, 2010, they illegally purchased nearly $2.2 million of ACAP stock based on the confidential information that Mukkamala shared. Mukkamala himself made a trade in the trading account of Chinmaya Mission West, a charitable organization for which he was then serving as president. On July 8, the acquisition of ACAP by Napa, Calif.-based insurer The Doctors Company was publicly announced, and ACAP shares closed approximately 28 percent higher than the previous day’s closing price.
Without admitting or denying the allegations in the SEC’s complaint, the five physicians consented to the entry of final judgments ordering them to pay disgorgement, prejudgment interest, and financial penalties, and permanently enjoining them from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Mukkamala further agreed to be barred from acting as an officer or director of a public company.
Specifically, Mukkamala agreed to pay approximately $631,000. Mallikarjunarao Anne, a resident of Chicago, agreed to pay approximately $253,000. Suresh Anne, a resident of Grand Blanc, Mich., agreed to pay approximately $697,000. Katneni, a resident of Fenton, Mich., agreed to pay approximately $22,000. Yalamanchili, a resident of Staten Island, N.Y., agreed to pay approximately $298,000. The proposed settlement is subject to court approval.
The SEC’s case was investigated in the Chicago Regional Office by Assistant Regional Director James A. Davidson, Staff Attorney James J. Thibodeau, Staff Accountant Norman H. Jones, and Paralegal Sruthi Talluri.
The SEC appreciates the assistance of the Financial Industry Regulatory Authority (FINRA) in this matter. (Press Rel. 2012-132)
SEC Charges Orthofix International With FCPA Violations
The Securities and Exchange Commission today charged Texas-based medical device company Orthofix International N.V. with violating the Foreign Corrupt Practices Act (FCPA) when a subsidiary paid routine bribes referred to as “chocolates” to Mexican officials in order to obtain lucrative sales contracts with government hospitals.
The SEC alleges that Orthofix’s Mexican subsidiary Promeca S.A. de C.V. bribed officials at Mexico’s government-owned health care and social services institution Instituto Mexicano del Seguro Social (IMSS). The “chocolates” came in the form of cash, laptop computers, televisions, and appliances that were provided directly to Mexican government officials or indirectly through front companies that the officials owned. The bribery scheme lasted for several years and yielded nearly $5 million in illegal profits for the Orthofix subsidiary.
Orthofix agreed to pay $5.2 million to settle the SEC’s charges.
“Once bribery has been likened to a box of chocolates, you know a corruptive culture has permeated your business,” said Kara Novaco Brockmeyer, Chief of the SEC Enforcement Division’s Foreign Corrupt Practices Act Unit. “Orthofix’s lax oversight allowed its subsidiary to illicitly spend more than $300,000 to sweeten the deals with Mexican officials.”
According to the SEC’s complaint filed in U.S. District Court for the Eastern District of Texas, the bribes began in 2003 and continued until 2010. Initially, Promeca falsely recorded the bribes as cash advances and falsified its invoices to support the expenditures. Later, when the bribes got much larger, Promeca falsely recorded them as promotional and training costs. Because of the bribery scheme, Promeca’s training and promotional expenses were significantly over budget. Orthofix did launch an inquiry into these expenses, but did very little to investigate or diminish the excessive spending. Later, upon discovery of the bribe payments through a Promeca executive, Orthofix immediately self-reported the matter to the SEC and implemented significant remedial measures. The company terminated the Promeca executives who orchestrated the bribery scheme.
The SEC’s proposed settlement is subject to court approval. Orthofix consented to a final judgment ordering it to pay $4,983,644 in disgorgement and more than $242,000 in prejudgment interest. The final judgment would permanently enjoined the company from violating the books and records and internal controls provisions of the FCPA. Orthofix also agreed to certain undertakings, including monitoring its FCPA compliance program and reporting back to the SEC for a two-year period.
Orthofix also disclosed today in an 8-K filing that it has reached an agreement with the U.S. Department of Justice to pay a $2.22 million penalty in a related action.
The SEC’s investigation was conducted by Carol Shau and Alka N. Patel in the Los Angeles Regional Office. The SEC acknowledges and appreciates the assistance of the U.S. Department of Justice’s Criminal Division-Fraud Section and the Federal Bureau of Investigation. (Press Rel. 2012-133)
Change in the Meeting: Date Change
The Closed Meeting scheduled for Tuesday, July 10, 2012 at 10:00 a.m., has been changed to Friday, July 13, 2012 at 3:00 p.m.
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 Kay Berensen-Galster
The United States Securities and Exchange Commission (Commission) announced the issuance of an Amended Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Kay Berensen-Galster (Galster). The Order finds that on November 9, 2011, Galster was permanently enjoined from violating Sections 17(a)(3) and 17A(d) of the Exchange Act and Rules 17Ad-2, 17f-1, 17f-2(a), 17Ac2-1(c), 17Ac2-2, 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-13, 17Ad-15(c), 17Ad-17 and 17Ad-19 thereunder in Securities and Exchange Commission v. National Stock Transfer, Inc., et al., Civil No. 2:11-cv-798 (U.S.D.C. Utah).
Based on the above, the Order bars Galster from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Galster consented to the issuance of the Order without admitting or denying any of the findings in the Order, except she admitted the entry of the injunction against her. (Rel. 34-66144A; File No. 3-14689)
In the Matter of Roger Greer
The United States Securities and Exchange Commission (Commission) announced the issuance of an Amended Order Instituting Administrative Proceedings Pursuant to Section 17A of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Roger Greer (Greer). The Order finds that on January 31, 2012, Greer was permanently enjoined from violating Sections 17(a)(3) and 17A(d) of the Exchange Act and Rules 17Ad-2, 17f-1, 17f-2(a), 17Ac2-1(c), 17Ac2-2, 17Ad-6, 17Ad-7, 17Ad-10, 17Ad-13, 17Ad-15(c), 17Ad-17 and 17Ad-19 thereunder, in Securities and Exchange Commission v. National Stock Transfer, et al., Civil No. 2:11-cv-798 (U.S.D.C. Utah).
Based on the above, the Order bars Greer from association with any broker, dealer, investment advisor, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Greer consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction against him. (Rel. 34-66647A; File No. 3-14811)
In the Matter of Raymond P. Morris
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Raymond P. Morris (Morris).
The Division of Enforcement alleges in the Order that the Morris was the control person of E & R Holdings, LLC, Wise Financial Holdings, LLC, and Momentum Leasing, LLC, and offered and sold promissory notes to investors on behalf of those companies. The Division further alleges that on June 4, 2012, a final judgment was entered against Morris, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Morris, et al., Civil Action Number 2:11-CV-00021, in the United States District Court for the District of Utah, Central Division.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Morris with an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary or appropriate for the protection of investors. The Order directs the administrative law judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-67364; File No. 3-14939)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Three 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 three companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the three 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. 34-67365; File No. 3-14940)
In the Matter of Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis
The United States Securities and Exchange Commission (Commission) announced today that Calhoun Asset Management, LLC (Calhoun) and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Ward) have agreed to settle proceedings previously instituted against them.
On December 29, 2011, the Commission instituted public administrative and cease-and-desist proceedings against Calhoun and Ward for violations of Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 203A, 204, 206(4), and 207 of the Investment Advisers Act of 1940 (Advisers Act) and Rules 204-2(a)(16) and 206(4)-8 thereunder.
Today, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order). In the Order, the Commission found that Ward raised the assets managed by Calhoun, the investment adviser to two funds of funds, by grossly exaggerating Calhoun’s assets under management. The Commission also found that Ward made misleading statements about Calhoun’s due diligence process and filed numerous false Forms ADV with the Commission. In addition to making false and misleading statements, Ward failed to maintain records to support the performance that Calhoun claimed in its marketing materials.
Without admitting or denying the Commission’s findings, Calhoun and Ward agreed to cease and desist from committing or causing any violations and future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 203A, 204, 206(4), and 207 of the Advisers Act and Rules 204-2(a)(16) and 206(4)-8 thereunder. Calhoun and Ward also agreed to pay a joint-and-several $50,000 penalty. Finally, with the exception of certain activities aimed solely at winding down Calhoun, Ward agreed to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, with the right to apply for reentry after five years. (Rel. 33-9333; File No. 3-14680)
In the Matter of Recycle Tech, Inc.
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against Recycle Tech, Inc. (Recycle Tech). The Order finds that Recycle Tech is a Colorado corporation based in Miami, Florida with a class of securities registered with the Commission pursuant to Section 12(g) of the Exchange Act. Recycle Tech’s stock is currently quoted on OTC Link operated by OTC Markets Group Inc. under the trading symbol “RCYT.” The Order also finds Recycle Tech has failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder while its common stock was registered with the Commission because it has not filed any of its required periodic reports since January 13, 2010, when it filed a Form 10-Q for the quarterly period ending November 30, 2009.
Based on the above, Recycle Tech consented to the issuance of the Order revoking the registration of each class of Recycle Tech’s securities registered with the Commission pursuant to Section 12 of the Exchange Act. (Rel. 34-67378; File No. 3-14866)
In the Matter of Brian M. Campbell
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Brian M. Campbell. The Order alleges that, in March 2011, Campbell was convicted of mail fraud and embezzlement by stealing a total of 33 commission checks (totaling approximately $571,000) from his employer, Pamrapo Service Corporation, and diverting them to his own personal bank account. The Order further alleges that, at the time of Campbell’s conduct, he was a registered representative of a broker-dealer registered with the Commission since 1986, and an associated person of an investment adviser registered with the Commission since 1984.
A public hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondent to determine whether the allegations of the Division contained in the Order are true.
The Order directs the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-67384; File No. 3-14944)
In the Matter of Mitchell Segal, Esq.
The United States Securities and Exchange Commission announced the issuance of an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice (Order) against Mitchell Segal, Esq., an attorney admitted to the practice of law in the state of New York. The Order finds that a court of competent jurisdiction has found that Segal violated registration and antifraud provisions of the federal securities laws, and has permanently enjoined him from further violations of those laws.
Based on those violations, the Order temporarily suspends Segal from appearing or practicing before the Commission. If Segal does not petition to lift that suspension within thirty days after service of the Order, the suspension will become permanent pursuant to Rule 102(e)(3)(ii) of the Commission’s Rules of Practice. If Segal does timely petition to lift the suspension, a hearing will be scheduled before an administrative law judge to give Segal an opportunity to show cause why he should not be censured or temporarily or permanently disqualified from appearing or practicing before the Commission. (Rel. 34-67393; File No. 3-14945)
IndexIQ Advisors LLC and IndexIQ Active ETF Trust
A notice has been issued giving interested persons until August 2, 2012 to request a hearing on an application filed by IndexIQ Advisors LLC and IndexIQ Active ETF Trust, for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30130 – July 9)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by the NASDAQ Stock Market LLC to extend the fee pilot program for NASDAQ Last Sale (SR-NASDAQ-2012-078) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 9. (Rel. 34-67376)
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 HDS INTERNATIONAL CORP., 10 DORRANCE STREET, PROVIDENCE, RI, 02903, (401) 400-0028 - 50,070,550 ($6,027,500.00) Equity, (File 333-182573 - Jul. 9) (BR. 03B) S-1 Hi-Crush Partners LP, Three Riverway, Suite 1550, Houston, TX, 77056, 713-963-0099 - 0 ($200,000,000.00) Limited Partnership Interests, (File 333-182574 - Jul. 9) (BR. 09) S-1 Mandalay Digital Group, Inc., 4751 WILSHIRE BOULEVARD, THIRD FLOOR, LOS ANGELES,, CA, 90010, (310) 601-2500 - 23,310,473 ($17,366,302.00) Equity, (File 333-182575 - Jul. 9) (BR. 03B) S-8 Morgans Hotel Group Co., 475 TENTH AVENUE, NEW YORK, NY, 10018, 212-277-4100 - 0 ($14,100,000.00) Equity, (File 333-182576 - Jul. 9) (BR. 08C) S-3 CONNECTICUT WATER SERVICE INC / CT, 93 W MAIN ST, CLINTON, CT, 06413, 8606698630 - 0 ($49,878,000.00) Equity, (File 333-182577 - Jul. 9) (BR. 02C) S-8 Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO, OR, 97034, 855 855 GALE - 0 ($1,230,000.00) Equity, (File 333-182578 - Jul. 9) (BR. 01B) S-4 ACTUANT CORP, ATTN: MATT PAULI, N86 W12500 WESTBROOK CROSSING, MENOMONEE FALLS, WI, 53051, 262-293-1524 - 0 ($300,000,000.00) Debt, (File 333-182579 - Jul. 9) (BR. 06A) S-4 99 CENTS ONLY STORES, 4000 EAST UNION PACIFIC AVENUE, CITY OF COMMERCE, CA, 90023, 3239808145 - 0 ($250,000,000.00) Debt, (File 333-182582 - Jul. 9) (BR. 02A) S-3ASR Armour Residential REIT, Inc., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH, FL, 32963, (772) 617-4340 - 0 ($0.00) Equity, (File 333-182583 - Jul. 9) (BR. 08B) S-8 ACI WORLDWIDE, INC., 120 BROADWAY, SUITE 3350, NEW YORK, NY, 10271, 402-390-7600 - 2,750,000 ($124,547,500.00) Equity, (File 333-182584 - Jul. 9) (BR. 03C) S-8 JTH Holding, Inc., 1716 CORPORATE LANDING PARKWAY, VIRGINIA BEACH, VA, 23454, 757-493-8855 - 0 ($67,504,026.50) Equity, (File 333-182585 - Jul. 9) (BR. 11C) S-8 PILGRIMS PRIDE CORP, 1770 PROMONTORY CIRCLE, GREELEY, CO, 80634, 9705068000 - 0 ($47,685,925.00) Equity, (File 333-182586 - Jul. 9) (BR. 05C) S-8 Silver Falcon Mining, Inc., 2520 MANATEE AVENUE, WEST, #200, BRADENTON, FL, 34205, 941-761-7819 - 115,000,000 ($3,450,000.00) Equity, (File 333-182592 - Jul. 9) (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 4 KIDS ENTERTAINMENT INC NY 2.01 07/02/12 ABM INDUSTRIES INC /DE/ DE 7.01 07/06/12 ACCELR8 TECHNOLOGY CORP CO 5.02 07/02/12 AIR LEASE CORP DE 1.01 07/03/12 AK STEEL HOLDING CORP DE 7.01 07/06/12 ALASKA AIR GROUP, INC. DE 7.01,8.01,9.01 07/06/12 AMERICAN AIRLINES INC DE 8.01 07/09/12 AMERICAN APPAREL, INC DE 2.02,9.01 07/05/12 American Midstream Partners, LP DE 2.01,9.01 07/02/12 AMERICAN PETRO-HUNTER INC NV 1.01,2.03,3.02,8.01, 07/03/12 9.01 American Realty Capital Properties, I MD 8.01,9.01 07/02/12 AMERIGROUP CORP 8.01,9.01 07/09/12 AMERIGROUP CORP 1.01,9.01 07/09/12 AMKOR TECHNOLOGY INC DE 8.01,9.01 07/05/12 Ampio Pharmaceuticals, Inc. DE 8.01 07/03/12 AMR CORP DE 8.01 07/09/12 ANIXTER INTERNATIONAL INC DE 7.01,9.01 07/09/12 ANWORTH MORTGAGE ASSET CORP MD 3.03,8.01,9.01 07/09/12 APD ANTIQUITIES, INC. NV 1.01,9.01 06/30/12 AMEND Apollo Global Management LLC DE 5.02,9.01 07/02/12 APPLETON PAPERS INC/WI 8.01 07/06/12 APTARGROUP INC DE 2.02,9.01 07/09/12 ARES CAPITAL CORP MD 7.01,9.01 07/09/12 Ares Commercial Real Estate Corp MD 5.02,7.01,9.01 07/09/12 Armada Oil, Inc. NV 1.01,7.01,9.01 07/02/12 Armada Oil, Inc. NV 2.01,7.01,9.01 03/31/12 AMEND ASSISTED LIVING CONCEPTS INC NV 5.07 07/02/12 ATLAS PIPELINE PARTNERS LP DE 5.02 07/03/12 ATWOOD OCEANICS INC TX 7.01,9.01 07/09/12 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 07/09/12 BAR HARBOR BANKSHARES ME 7.01,9.01 07/09/12 BARRETT BUSINESS SERVICES INC MD 5.02 07/02/12 BEAZER HOMES USA INC DE 2.02,8.01,9.01 07/09/12 BIOANALYTICAL SYSTEMS INC IN 5.02 07/04/12 BIOCRYST PHARMACEUTICALS INC DE 7.01 07/09/12 BIOLIFE SOLUTIONS INC DE 8.01,9.01 07/09/12 BIOMIMETIC THERAPEUTICS, INC. DE 8.01,9.01 07/09/12 BioNeutral Group, Inc NV 5.02,9.01 07/02/12 Bluerock Enhanced Multifamily Trust, MD 7.01,9.01 07/09/12 Bridgepoint Education Inc DE 8.01 07/05/12 Buildablock Corp. FL 5.02,9.01 07/06/12 Bureau of Fugitive Recovery Inc CO 2.03,3.02,5.01,5.02, 07/02/12 5.07,8.01,9.01 CAMPBELL SOUP CO NJ 7.01,9.01 07/09/12 CAPELLA EDUCATION CO 8.01 07/02/12 CERUS CORP DE 1.01,2.03 07/03/12 CHAMPION INDUSTRIES INC WV 2.01 07/09/12 CHDT CORP FL 8.01,9.01 07/06/12 Chineseinvestors.com, Inc. IN 8.01 07/09/12 CITIGROUP INC DE 9.01 07/09/12 CMS Bancorp, Inc. DE 8.01,9.01 07/09/12 Community Health Systems, Inc. 8.01,9.01 07/09/12 COTT CORP /CN/ 5.02 07/03/12 CREDITRISKMONITOR COM INC NV 3.01,9.01 07/09/12 DAVITA INC DE 8.01,9.01 07/06/12 DCP Midstream Partners, LP DE 1.01,2.01,2.03,3.02, 07/02/12 7.01,9.01 DELCATH SYSTEMS INC DE 5.02,9.01 07/03/12 dELiAs, Inc. DE 7.01,9.01 07/09/12 DENNYS CORP DE 8.01 07/09/12 DERBY RESOURCES, INC. NV 5.01,9.01 07/01/12 DiamondRock Hospitality Co 1.01,3.02,5.03,7.01, 07/09/12 9.01 Digital Cinema Destinations Corp. DE 1.01,9.01 07/09/12 DJO Finance LLC DE 5.02 06/29/12 DOVER Corp DE 2.02,9.01 07/09/12 EBIX INC DE 8.01 07/06/12 EDGAR ONLINE INC DE 8.01,9.01 07/09/12 Ellington Financial LLC DE 7.01,9.01 07/09/12 Engility Holdings, Inc. DE 5.02,5.03,7.01,9.01 07/06/12 ERESEARCHTECHNOLOGY INC /DE/ DE 1.01,1.02,2.01,2.03, 07/03/12 5.01,5.02,5.03,8.01, 9.01 ERESEARCHTECHNOLOGY INC /DE/ DE 3.01,3.03 07/03/12 Extra Space Storage Inc. MD 2.01,9.01 07/02/12 FEDERAL HOME LOAN MORTGAGE CORP 8.01,9.01 07/09/12 FEDERAL MOGUL CORP DE 7.01,8.01,9.01 07/02/12 Fiesta Restaurant Group, Inc. DE 5.02 07/05/12 FIFTH THIRD BANCORP OH 8.01,9.01 07/09/12 FIRST BUSEY CORP /NV/ NV 8.01 07/09/12 FIRST COLOMBIA GOLD CORP. NV 1.01,2.03,3.02,9.01 07/02/12 FIRST PLACE FINANCIAL CORP /DE/ DE 8.01,9.01 07/09/12 FIRST TRUST MORTGAGE INCOME FUND 7.01,9.01 07/09/12 AMEND FIRST TRUST STRATEGIC HIGH INCOME FUN MA 7.01,9.01 07/09/12 AMEND Firsthand Technology Value Fund, Inc. 8.01,9.01 07/09/12 Fortress Investment Group LLC DE 7.01 07/09/12 FSP PHOENIX TOWER CORP 7.01 07/06/12 FX Alliance Inc. 8.01,9.01 07/09/12 Galaxy Gaming, Inc. 5.02,9.01 07/06/12 GAMCO INVESTORS, INC. ET AL NY 8.01 07/09/12 GEOGLOBAL RESOURCES INC. DE 8.01,9.01 07/03/12 GlyEco, Inc. NV 8.01 07/02/12 AMEND GOOD TIMES RESTAURANTS INC NV 5.02 07/09/12 Guidance Software, Inc. DE 5.02,9.01 07/02/12 HeartWare International, Inc. DE 5.02,9.01 07/09/12 HERITAGE OAKS BANCORP CA 5.02,5.07 07/06/12 HIBBETT SPORTS INC 8.01,9.01 07/09/12 HOSPITALITY PROPERTIES TRUST MD 1.01 07/06/12 HOVNANIAN ENTERPRISES INC DE 3.02 06/28/12 ICAHN ENTERPRISES L.P. DE 7.01,9.01 07/09/12 ICAHN ENTERPRISES L.P. DE 9.01 05/04/12 AMEND ICEWEB INC DE 3.02,8.01,9.01 06/29/12 IGI LABORATORIES, INC DE 2.02,7.01,9.01 07/09/12 INFORMATION SYSTEMS ASSOCIATES, INC. FL 5.02 06/26/12 INFOSONICS CORP 5.07 06/11/12 INSMED INC VA 7.01,9.01 07/09/12 INTEGRATED DEVICE TECHNOLOGY INC DE 8.01 07/06/12 INTEL CORP DE 7.01,9.01 07/09/12 Jazz Pharmaceuticals plc L2 8.01 07/09/12 LA-Z-BOY INC MI 5.02,9.01 07/09/12 LIBERTY SILVER CORP NV 8.01,9.01 07/09/12 LifeCare Holdings, Inc. DE 5.02 07/02/12 LifeCare Holdings, Inc. DE 5.02 07/02/12 LINN ENERGY, LLC DE 7.01 07/09/12 LITHIA MOTORS INC OR 7.01 07/09/12 LRR Energy, L.P. DE 7.01,9.01 07/09/12 MACKINAC FINANCIAL CORP /MI/ MI 8.01 07/09/12 MAKO Surgical Corp. DE 2.02,9.01 07/09/12 MANNATECH INC TX 1.01,9.01 07/09/12 MARINEMAX INC DE 1.01,2.03 07/05/12 MECHANICAL TECHNOLOGY INC NY 5.02 07/02/12 Meritage Homes CORP MD 8.01,9.01 07/09/12 MEXICO FUND INC MD 7.01,9.01 06/30/12 MILAGRO OIL & GAS, INC. DE 5.02 07/02/12 MIMVI, INC. NV 1.01,2.03,3.02,9.01 07/06/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 07/09/12 MusclePharm Corp NV 4.02 05/14/12 AMEND MYERS INDUSTRIES INC OH 8.01,9.01 07/09/12 N-VIRO INTERNATIONAL CORP DE 8.01,9.01 07/09/12 NAPCO SECURITY TECHNOLOGIES, INC DE 1.01,9.01 06/29/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 07/09/12 NATUS MEDICAL INC DE 2.05 07/02/12 NEOPHOTONICS CORP DE 2.02,9.01 07/09/12 NeoStem, Inc. DE 1.01,5.02,8.01,9.01 06/18/12 Net Profits Ten Inc. NV 1.01,5.01,5.02,9.01 06/28/12 NEWS CORP 8.01,9.01 07/09/12 Northern Tier Energy LLC DE 2.02,9.01 07/02/12 Northwest Bancshares, Inc. MD 8.01,9.01 07/06/12 NTN BUZZTIME INC DE 5.02,9.01 07/02/12 O'Donnell Strategic Industrial REIT, 5.07 07/06/12 OCLARO, INC. DE 8.01 07/06/12 OGE ENERGY CORP. OK 8.01,9.01 07/02/12 OICCO ACQUISITION I, INC. DE 1.01 06/30/12 OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 07/02/12 OLD NATIONAL BANCORP /IN/ IN 5.02,9.01 07/09/12 OMNICARE INC DE 8.01 07/09/12 OPNEXT INC 8.01,9.01 07/06/12 ORASURE TECHNOLOGIES INC DE 8.01,9.01 07/09/12 ORGANOVO HOLDINGS, INC. DE 5.02,8.01,9.01 07/06/12 P F CHANGS CHINA BISTRO INC 1.01,2.03,3.01,3.02, 07/02/12 3.03,5.01,5.02,5.03, 9.01 Panache Beverage, Inc. 5.02 07/02/12 Patriot Coal CORP DE 1.03 07/09/12 PAWS Pet Company, Inc. IL 1.01,3.02,9.01 06/19/12 Phillips Edison - ARC Shopping Center MD 1.01,2.01,8.01,9.01 07/05/12 PHOTOTRON HOLDINGS, INC. DE 2.01,9.01 04/05/12 AMEND PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 07/09/12 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,9.01 07/09/12 PLEXUS CORP WI 1.01,9.01 07/03/12 Portus Holdings Inc. 4.01,9.01 07/06/12 POWERWAVE TECHNOLOGIES INC DE 1.02 07/03/12 PRICESMART INC DE 2.02,9.01 07/09/12 PROS Holdings, Inc. DE 1.01 07/02/12 Psychic Friends Network Inc. NV 3.02 06/30/12 Pzena Investment Management, Inc. DE 8.01,9.01 06/30/12 QLIK TECHNOLOGIES INC DE 2.02,9.01 07/09/12 QUESTCOR PHARMACEUTICALS INC CA 2.02,7.01 07/09/12 RADIAN GROUP INC DE 2.02,9.01 07/09/12 RALCORP HOLDINGS INC /MO MO 7.01,9.01 07/09/12 REPROS THERAPEUTICS INC. DE 8.01,9.01 07/09/12 RESEARCH FRONTIERS INC DE 7.01,9.01 07/09/12 ROADSHIPS HOLDINGS, INC. DE 1.01,5.02,9.01 07/02/12 SANTARUS INC DE 8.01 07/06/12 SATCON TECHNOLOGY CORP DE 8.01,9.01 07/03/12 SAVIENT PHARMACEUTICALS INC DE 3.01 06/29/12 SCHULMAN A INC DE 2.02,9.01 07/09/12 SEARS HOLDINGS CORP DE 7.01 07/06/12 SERVOTRONICS INC /DE/ DE 5.07,9.01 07/03/12 Shire plc 8.01,9.01 07/09/12 Shoshone Silver/Gold Mining Co ID 1.01 07/03/12 SILGAN HOLDINGS INC DE 8.01,9.01 07/03/12 SKY PETROLEUM, INC. NV 1.02,5.02 07/03/12 SLM FUNDING LLC DE 6.01,9.01 07/09/12 SLM Student Loan Trust 2006-7 DE 8.01,9.01 07/09/12 SMALL BUSINESS CO DE 8.01,9.01 07/06/12 Solar Senior Capital Ltd. MD 7.01,9.01 07/09/12 SONIC AUTOMOTIVE INC DE 1.01,2.03,9.01 07/02/12 SOUTHERN CALIFORNIA GAS CO CA 5.07 07/06/12 AMEND SOUTHWEST AIRLINES CO TX 7.01,9.01 06/30/12 SOUTHWEST BANCORP INC OK 8.01 07/09/12 STAGE STORES INC NV 8.01,9.01 07/05/12 SUPREME INDUSTRIES INC DE 5.02 07/03/12 SUREWEST COMMUNICATIONS CA 1.02,3.01,3.03,5.01, 07/02/12 5.02,5.03,9.01 SURFACE COATINGS, INC. NV 5.02 07/09/12 Sweetwater Resources, Inc. NV 5.03,7.01,8.01,9.01 07/09/12 SYNERGY RESOURCES CORP CO 2.02,9.01 07/06/12 T.O ENTERTAINMENT, INC. CO 1.01,2.01,3.02,5.01, 01/03/12 AMEND 5.02,5.03,5.06,9.01 TESSERA TECHNOLOGIES INC DE 7.01,9.01 07/09/12 Tonix Pharmaceuticals Holding Corp. NV 7.01,8.01,9.01 07/09/12 TRANS WORLD ENTERTAINMENT CORP NY 5.02,9.01 07/09/12 TRUSTCO BANK CORP N Y NY 8.01,9.01 07/09/12 UMH PROPERTIES, INC. MD 7.01,9.01 07/09/12 Universal Business Payment Solutions DE 1.01,3.02,8.01,9.01 07/06/12 US GEOTHERMAL INC DE 5.03 07/09/12 Vanguard Energy Corp CO 3.02,7.01,9.01 06/29/12 AMEND VYCOR MEDICAL INC DE 1.01,5.02,9.01 07/02/12 Walker & Dunlop, Inc. MD 8.01,9.01 07/09/12 Warner Chilcott plc 8.01 07/06/12 WD 40 CO DE 2.02,9.01 07/09/12 WELLPOINT, INC IN 8.01,9.01 07/09/12 WELLS GARDNER ELECTRONICS CORP IL 4.01 07/09/12 WHITE MOUNTAIN TITANIUM CORP NV 1.01 07/06/12 WWA GROUP INC NV 5.02 06/27/12 Z TRIM HOLDINGS, INC IL 2.02,9.01 06/30/12