An Administrative Law Judge issued an Initial Decision as to 2-Track Global, Inc. (Initial Decision), in Advanced BioPhotonics, Inc., Admin. Proc. 3-14815. The Initial Decision finds that the allegations in the Order Instituting Proceedings are true; 2-Track Global, Inc., has securities registered with the Securities and Exchange Commission (Commission) and has failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 by not filing required periodic reports with the Commission for several years. As a result, the Administrative Law Judge ordered the revocation of the registration of each class of the company’s registered securities.
This proceeding began with six Respondents. On April 24, 2012, I issued an Order Making Findings and Revoking Registrations by Default as to Advanced BioPhotonics, Inc., Advanced Viral Research Corp., and Brantley Capital Corp. See Advanced BioPhotonics, Inc., Exchange Act Release No. 66849. On July 20, 2012, the Commission issued a similar order as to Brilliant Technologies Corporation. See Advanced BioPhotonics, Inc., Exchange Act Release No. 67473. The Division of Enforcement and 4C Controls, Inc., have reached a verbal agreement on settlement terms. (Initial Decision No. 465; File No. 3-14815)
Defendant Matthew Brown Settles Penny Stock Manipulation Charges
The Securities and Exchange Commission announced today that Chief Judge Gregory M. Sleet of the United States District Court for the District of Delaware entered a final judgment against Defendant Matthew W. Brown on July 2, 2012 in SEC v. Dynkowski, et al., Civil Action No. 1:09-361, a stock manipulation case the SEC filed on May 20, 2009, and amended on March 25, 2010 and December 22, 2011, to charge additional individuals. The SEC’s complaint alleges that Brown participated in market manipulation schemes involving the stock of GH3 International, Inc. and Asia Global Holdings, Inc.
As alleged in the complaint, the schemes generally followed the same pattern: Defendant Pawel P. Dynkowski and his accomplices agreed to sell large blocks of shares for penny stock companies in exchange for a portion of the proceeds. The shares were put in nominee accounts that Dynkowski and his accomplices controlled. The defendants artificially inflated the market price of the stocks through wash sales, matched orders and other manipulative trading, often timed to coincide with false or misleading press releases, and then sold shares obtained from the issuers and divided the illicit proceeds.
As alleged in the complaint, Dynkowski orchestrated the manipulation scheme involving GH3 International, Inc. stock in 2006 with Brown, who operated a penny stock website called InvestorsHub.com. The complaint alleges that in this scheme Dynkowski and Brown engaged in manipulative trading and that Brown helped coordinate this manipulative trading with issuance of false press releases. The complaint alleges that this scheme generated approximately $747,609 in illicit profits.
The complaint further alleges that in 2006, Brown planned the manipulation scheme involving the stock of Asia Global Holdings, Inc., with two defendants who were registered representatives at a small broker-dealer in California. As alleged in the complaint, Dynkowski and another defendant manipulated the price of Asia Global stock using wash sales, matched orders, and other manipulative trading, coordinated with false press releases. After manipulating the price of the stock, the complaint alleges, Dynkowski, Brown, and others in this scheme sold 54 million shares that had been improperly registered on SEC Form S-8 and held in nominee accounts, generating over $4 million in illicit profits.
To settle the SEC’s charges, Brown consented to a final judgment that permanently enjoins him from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 13(d) of the Securities Exchange Act of 1934, and Rules 10b-5, 13d-1 and 13d-2 thereunder; orders disgorgement of $86,745 and prejudgment interest of $24,081; and bars Brown from participating in any offering of a penny stock. [SEC v. Dynkowski, et al., Civil Action No. 1:09-361 (D. Del.)] (LR-22421). In a related criminal case, Brown previously pled guilty to conspiracy to commit securities fraud and conspiracy to engage in money laundering. He was sentenced to four years in prison and ordered to pay criminal forfeiture of $4,798,138. U.S. v. Brown, Criminal Action No. 09-46-SLR (D. Del.). [SEC v. Dynkowski, et al., Civil Action No. 1:09-361 (D. Del.)] (LR-22421)
SEC v. Renee Marie Brown, et al.
The Securities and Exchange Commission announced that on July 5, 2012, the Honorable Susan Richard Nelson of the U.S. District Court for the District of Minnesota sentenced Renee Marie Brown (Brown), a Minnesota-based investment adviser, to 51 months in federal prison followed by three years of probation, and restitution in the amount of $618,408. This sentence follows an 11-count indictment filed May 11, 2011 by the U.S. Attorney's Office in Minnesota alleging securities fraud, wire fraud and transactional money laundering in connection with Brown’s misappropriation of $1.1 million from her advisory clients through material misrepresentations or omissions. Brown pled guilty on February 15, 2012.
On April 8, 2010, the SEC obtained a temporary restraining order and asset freeze against Brown. The SEC’s action against Brown, which was filed in the United States District Court for the District of Minnesota, arose out of the same facts that are the subject of the criminal case. In its complaint, the SEC alleged that Brown defrauded her advisory clients into transferring more than $1.1 million from July 2009 through March 2010 to Investors Income Fund X, LLC (Fund X), a sham fund formed and controlled by Brown, and falsely representing that Fund X is a bond fund with fixed annual returns of 8% or 9%. The SEC alleged that Brown distributed false "returns" to investors, furthering the fiction that Fund X was a legitimate and successful investment opportunity. Instead, however, the SEC alleged that Brown misappropriated most of the $1.1 million she raised from investors to, among other things, purchase a condominium for herself and build-out office space for her new business.
The SEC's complaint charged Brown and Fund X with violating Sections 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint also charged Brown with violating Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. On August 17, 2011, the SEC obtained a final judgment by consent against Brown: 1) permanently enjoining her from future violations of Section 17(a)(1)(2) and (3) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder; and 2) ordering disgorgement of $310,587.33 plus prejudgment interest of $34,347.17, but waiving payment of all but $14,000 in disgorgement, and not imposing a civil penalty, based upon her sworn statement of financial condition and other documents submitted to the Commission. Based on the final judgment, on August 26, 2011, the Commission issued 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, Making Findings, and Imposing Remedial Sanctions (Order) against Brown barring her from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Brown from participating in any offering of a penny stock. Brown consented to the issuance of the Order without admitting or denying the findings in the Commission’s Order, except that she admitted the entry of the injunction.
For additional information, see Litigation Release No. 21483 (April 9, 2010). [SEC v. Renee Marie Brown, et al., Case No. 10-CV-1207 (D. Minn.)] (LR-22422)
SEC Charges Close Friend of Staffing Company CEO with Insider Trading Around Acquisition
The Securities and Exchange Commission has charged the close friend of a CEO with insider trading in the stock of a Houston-based employment services company by exploiting confidential information he learned while they were spending time together.
The SEC alleges that Ladislav “Larry” Schvacho, who lived in Georgia at the time of his illegal trading, made approximately $511,000 in illicit profits by using inside information to trade around the acquisition of Comsys IT Partners Inc. by another staffing company. Schvacho gleaned nonpublic information while the Comsys CEO called other Comsys executives to discuss the acquisition and through confidential, merger-related documents to which Schvacho had access.
According to the SEC’s complaint filed late yesterday in U.S. District Court for the Northern District of Georgia, Schvacho first met Larry L. Enterline when they worked for the same company in the 1970s. Enterline went on to become the Comsys CEO in 2006. The two maintained their close friendship even after Enterline moved to Houston to run Comsys, speaking frequently on the phone and maintaining a longstanding tradition of Friday evening dinner and drinks when Enterline visited Atlanta, where he still had a home. The two often shared confidential information with one another.
The SEC alleges that Schvacho purchased approximately 72,000 shares of Comsys stock in the weeks leading up to a public announcement on Feb. 2, 2010, that Comsys was to be acquired by Manpower Inc. Given their close relationship and long history of sharing confidences, Enterline made no significant effort to shield information about the impending acquisition from Schvacho. Rather, Enterline reasonably expected that Schvacho would refrain from disclosing or otherwise misusing the confidential information. For example, during one of their Friday evening dinners at a restaurant in Atlanta on Nov. 6, 2009, Enterline discussed the potential acquisition in Schvacho’s presence during phone conversations with one or more Comsys senior executives. On the very next business day (November 9), Schvacho began purchasing Comsys stock relying on the material, nonpublic information he learned.
The SEC further alleges that Schvacho learned nonpublic information between December 11 and December 14 while he and Enterline vacationed together in Florida. Enterline again discussed the possible acquisition in Schvacho’s presence during a phone conversation with another Comsys senior executive. During that vacation, Schvacho also had access to Enterline’s merger-related documents. Just days later, Schvacho bought additional Comsys stock. On December 19, Enterline again discussed the impending acquisition in Schvacho’s presence during a phone conversation after Schvacho picked him up from the airport. On the next business day, Schvacho purchased additional Comsys shares.
According to the SEC’s complaint, on or about January 20, Schvacho converted his 401(k) account to create a self-directed account so that he could buy even more Comsys shares based on material, nonpublic information about the deal. In order to purchase his large position in Comsys stock, Schvacho undertook other various unusual steps including using all available cash in his brokerage accounts to purchase Comsys shares. The Comsys stock price increased approximately 31 percent following the public announcement on February 2. Schvacho immediately sold half of his Comsys shares after the announcement was made.
The SEC’s investigation was conducted by Debbie T. Hampton and Matthew F. McNamara in the Atlanta Regional Office, and Paul Kim will lead the litigation.
The Commission appreciates the assistance of the Financial Industry Regulatory Authority (FINRA) in this matter. [SEC v. Ladislav “Larry” Schvacho, Civil Action No. 1:12-cv-2557-WFD (N.D. Ga.)] (LR-22423; Press Rel. 2012-143)
Commission Charges Aider and Abettor of Penny Stock Company’s Disclosure of Fake Investment
The Commission today announced that it filed a complaint in the United States District Court for the Southern District of New York alleging that Ronald Feldstein aided and abetted the filing of a false press release that announced a fictitious $6 million investment in a penny stock company, Interlink-US-Network, Ltd.
The Commission’s complaint alleges that Interlink’s management paid Feldstein to play the role of a prospective investor in Interlink. Feldstein, pretending to be the President of LED Capital Corp., entered into an investment agreement with Interlink. Feldstein, however, had no position at, or affiliation with, LED. In this investment agreement, Feldstein purported to commit LED to pay $6 million for a minority block of Interlink shares that, at the time, had a market value of under $1.2 million. According to the Commission’s complaint, Feldstein also offered crucial assistance to Interlink’s management by reviewing and contributing to a draft Form 8-K disclosing the purported agreement.
The Commission’s complaint charges Feldstein with aiding and abetting violations by Interlink and its President of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder as well as violations by Interlink of Section 13(a) of the Exchange Act and Rules 12b-20 and 13a-11 thereunder. The Commission seeks permanent injunctions, disgorgement of ill-gotten gains, and a civil monetary penalty. [SEC v. Ronald Feldstein, Civil Action No. 12 Civ. 5751 (S.D.N.Y.)] (LR-22424)
Saratoga Investment Corp., et al.
A notice has been issued giving interested persons until August 17, 2012, to request a hearing on an application filed by Saratoga Investment Corp., (Company), et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18 and 61(a) of the Act. The order would permit the Company to adhere to a modified asset coverage requirement. (Rel. IC-30145 – July 23)
Designation of Longer Period for Commission Action on Proposed Rule Change
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEArca-2012-48) filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31(h) to add a PL Select Order type. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67475)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-036) regarding the implementation date for amendments to NASD Rules 1012 and 1017 in SR-FINRA-2012-018 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 23. (Rel. 34-67484)
Proposed Rule Change
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-75) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending NYSE Arca Equities Rule 7.37(c) to provide that the tracking order process is available only for orders that are eligible to route to an away market. Publication in the Federal Register is expected during the week of July 23. (Rel. 34-67490)
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 WEYERHAEUSER CO, 33663 WEYERHAEUSER WAY SOUTH, FEDERAL WAY, WA, 98003, 2539242345 - 29,000 ($675,120.00) Equity, (File 333-182810 - Jul. 24) (BR. 08C) S-1 I-LEVEL MEDIA GROUP INC, 306-1110 HAMILTON STREET, VANCOUVER, A1, V6B 2S2, 604-339-7401 - 22,000,000 ($1,320,000.00) Equity, (File 333-182811 - Jul. 24) (BR. 11C) S-1 Inova Technology Inc., 2300 W. SAHARA AVE., SUITE 800, LAS VEGAS, NV, 89102, 310-857-6666 - 0 ($3,750,000.00) Equity, (File 333-182813 - Jul. 24) (BR. 02A) S-1 FOCUS VENTURE PARTNERS, INC, 969 POSTAL ROAD, SUITE 100, ALLENTOWN, PA, 18109, 877 633 2239 - 437,500 ($35,000.00) Equity, (File 333-182814 - Jul. 24) (BR. 11) S-8 CD INTERNATIONAL ENTERPRISES, INC., 431 FAIRWAY DRIVE, SUITE 200, DEERFIELD BEACH, FL, 33441, (954) 363-7333 - 5,000,000 ($1,500,000.00) Equity, (File 333-182815 - Jul. 24) (BR. 09B) S-8 Empowered Products, Inc., 3367 WEST OQUENDO ROAD, LAS VEGAS, NV, 89118, 800-929-0407 - 5,000,000 ($5,050,000.00) Equity, (File 333-182816 - Jul. 24) (BR. 06A) S-8 FIVE BELOW, INC, 1818 MARKET STREET, SUITE 1900, PHILADELPHIA, PA, 19103, 215 546 7909 - 0 ($184,433,513.00) Equity, (File 333-182817 - Jul. 24) (BR. 02) S-8 MICROFINANCIAL INC, 16 NEW ENGLAND EXECUTIVE PARK, SUITE 200, BURLINGTON, MA, 01803, 7819944800 - 750,000 ($6,416,250.00) Equity, (File 333-182818 - Jul. 24) (BR. 07C) S-8 WIRELESS TELECOM GROUP INC, EAST 64 MIDLAND AVE, PARAMUS, NJ, 07652, 2012618797 - 0 ($2,500,000.00) Equity, (File 333-182819 - Jul. 24) (BR. 10B) S-8 AMAG PHARMACEUTICALS INC., 100 HAYDEN AVENUE, LEXINGTON, MA, 02421, 6174983300 - 0 ($6,188,000.00) Equity, (File 333-182821 - Jul. 24) (BR. 01A) S-4 PARKER DRILLING CO /DE/, 5 GREENWAY PLAZA, SUITE 100, HOUSTON, TX, 77046, 281-406-2000 - 0 ($125,000,000.00) Non-Convertible Debt, (File 333-182822 - Jul. 24) (BR. 04A) S-3 Vringo Inc, 18 EAST 16TH STREET, NEW YORK, NY, 10003, 646-861-5575 - 0 ($100,000,000.00) Equity, (File 333-182823 - Jul. 24) (BR. 11A) S-3ASR HCP, INC., 3760 KILROY AIRPORT WAY, SUITE 300, LONG BEACH, CA, 90806, 562-733-5100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182824 - Jul. 24) (BR. 08B) S-8 J C PENNEY CO INC, 6501 LEGACY DRIVE, PLANO, TX, 75024-3698, 9722431100 - 7,000,000 ($143,570,000.00) Equity, (File 333-182825 - Jul. 24) (BR. 02B) N-2 Prudential Global Short Duration High Yield Fund, Inc., 100 MULBERRY ST, GATEWAY CENTER 3, NEWARK, NJ, 07102, 973-802-5032 - 50,000 ($1,000,000.00) Equity, (File 333-182826 - Jul. 24) (BR. 16)
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 3DICON CORP 8.01,9.01 07/24/12 AARON'S INC GA 2.02,9.01 07/24/12 Accelerated Acquisition XVI, Inc. DE 1.01,5.01,5.02,9.01 07/23/12 AccelPath, Inc. DE 1.01,2.03,3.02,9.01 07/18/12 ACCESS NATIONAL CORP VA 2.02,7.01,9.01 07/23/12 ACCURIDE CORP DE 1.01,9.01 07/20/12 ACE Ltd V8 2.02,9.01 07/24/12 ACORN ENERGY, INC. DE 8.01,9.01 07/24/12 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 07/24/12 AEROSONIC CORP /DE/ DE 5.07 07/19/12 AFLAC INC GA 2.02,9.01 07/23/12 AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.02,9.01 07/24/12 Air Transport Services Group, Inc. DE 1.01,2.03,7.01,9.01 07/20/12 AK STEEL HOLDING CORP DE 2.02,9.01 07/24/12 ALEXANDERS J CORP TN 8.01,9.01 07/23/12 Allegiant Travel CO NV 8.01 07/23/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/24/12 ALLIANCE FIBER OPTIC PRODUCTS INC CA 2.02,9.01 07/24/12 ALTERA CORP DE 2.02,8.01,9.01 07/24/12 ALTRIA GROUP, INC. VA 2.02,9.01 07/24/12 Alveron Energy Corp. DE 5.03 07/11/12 AMERICAN CAPITAL, LTD 7.01,9.01 07/24/12 AMERICAN RESTAURANT CONCEPTS INC 4.02 07/18/12 AMERICAN SAFETY INSURANCE HOLDINGS LT 5.07 07/23/12 Ameris Bancorp GA 2.02,9.01 07/24/12 AMSURG CORP TN 2.02,7.01,9.01 06/30/12 ANDAIN, INC. NV 4.01,9.01 07/24/12 ANIXTER INTERNATIONAL INC DE 2.02,9.01 07/24/12 Annie's, Inc. DE 2.02,9.01 06/30/12 APPLE INC CA 2.02,9.01 07/24/12 ASBURY AUTOMOTIVE GROUP INC DE 2.02,9.01 07/24/12 ASTEC INDUSTRIES INC TN 2.02,9.01 07/24/12 AT&T INC. DE 2.02,9.01 07/24/12 AT&T INC. DE 8.01,9.01 07/24/12 ATLAS AIR WORLDWIDE HOLDINGS INC DE 5.02 07/23/12 Avery Dennison Corp DE 2.02,9.01 07/24/12 AVX Corp DE 5.07 07/23/12 BAKERS FOOTWEAR GROUP INC MO 5.07 07/18/12 Bancorp, Inc. 2.02,9.01 07/24/12 BANCORPSOUTH INC MS 2.02,7.01,9.01 07/23/12 BAR HARBOR BANKSHARES ME 8.01 07/24/12 BBCN BANCORP INC DE 2.02,9.01 07/23/12 BE AEROSPACE INC DE 2.02,9.01 07/24/12 BEAM INC DE 5.02 07/23/12 BECTON DICKINSON & CO NJ 5.02,9.01 07/23/12 BERKLEY W R CORP DE 2.02,9.01 07/24/12 BIOCRYST PHARMACEUTICALS INC DE 7.01,9.01 07/24/12 Bioflamex Corp NV 1.01,1.02,2.01,3.02, 07/16/12 5.01,5.02,9.01 BIOGEN IDEC INC. DE 2.02,9.01 07/24/12 BIOGEN IDEC INC. DE 2.02,9.01 07/24/12 AMEND BIOSHAFT WATER TECHNOLOGY, INC. NV 5.02 07/16/12 Blueknight Energy Partners, L.P. DE 7.01,9.01 07/24/12 BOISE INC. DE 5.02,9.01 07/24/12 BOYD GAMING CORP NV 2.02,9.01 07/24/12 BRANDYWINE REALTY TRUST MD 2.01,9.01 07/18/12 BROADCOM CORP CA 2.02,9.01 07/24/12 BRUKER CORP DE 2.02,9.01 07/24/12 BUFFALO WILD WINGS INC MN 2.02,9.01 07/24/12 Business Development Corp of America MD 1.02,2.03,9.01 07/24/12 C H ROBINSON WORLDWIDE INC DE 2.02,9.01 07/24/12 CADENCE PHARMACEUTICALS INC 7.01,8.01 07/24/12 CAPELLA EDUCATION CO 2.02,9.01 07/24/12 CAPITAL CITY BANK GROUP INC FL 2.02,9.01 06/30/12 CAPITAL SOUTHWEST CORP TX 2.02,9.01 07/24/12 CARDICA INC DE 8.01,9.01 07/24/12 CARLISLE COMPANIES INC DE 2.02,9.01 07/24/12 Carter Validus Mission Critical REIT, MD 1.01,2.03,9.01 07/19/12 CATERPILLAR INC DE 7.01 07/24/12 Celanese Corp DE 2.02,7.01,9.01 07/23/12 CENTENE CORP 2.02,9.01 07/24/12 CENTURY ALUMINUM CO DE 2.02,9.01 07/24/12 CERADYNE INC DE 2.02,9.01 07/24/12 CHICAGO BRIDGE & IRON CO N V 2.02,9.01 07/24/12 CHICOPEE BANCORP, INC. 2.02,9.01 07/24/12 China Biologic Products, Inc. 5.07 07/24/12 CHINA HGS REAL ESTATE INC. F4 1.01,9.01 07/19/12 Ciralight Global, Inc. NV 5.07 06/25/12 COLUMBUS MCKINNON CORP NY 5.07 07/23/12 COMMERCE GROUP CORP /WI/ 8.01 07/20/12 CommonWealth REIT MD 8.01,9.01 07/20/12 COMMUNITY BANK SYSTEM INC DE 2.01,9.01 07/20/12 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 07/24/12 COMPETITIVE COMPANIES INC NV 4.01 07/20/12 CORELOGIC, INC. DE 1.01,2.05,2.06,7.01, 07/19/12 9.01 CORRECTIONS CORP OF AMERICA MD 8.01 07/23/12 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 07/23/12 COTT CORP /CN/ 1.01,2.03 07/19/12 COURIER Corp MA 2.02,8.01,9.01 07/24/12 CRANE CO /DE/ DE 2.02,8.01,9.01 07/23/12 Crestwood Midstream Partners LP DE 2.02,7.01,8.01,9.01 07/21/12 CROSSTEX ENERGY INC DE 7.01,9.01 07/19/12 CROSSTEX ENERGY LP DE 7.01,9.01 07/19/12 CSB BANCORP INC /OH OH 2.02,9.01 07/24/12 CSS INDUSTRIES INC DE 2.02,9.01 07/24/12 CTS CORP IN 2.02,9.01 07/23/12 CYBEX INTERNATIONAL INC NY 2.02,9.01 07/24/12 CYMER INC NV 2.02,9.01 07/24/12 CYNOSURE INC 2.02,9.01 07/24/12 DCP Midstream Partners, LP DE 5.02 07/19/12 DIGITALGLOBE, INC. DE 1.01 07/24/12 Disability Access Corp 5.03,8.01,9.01 07/19/12 Discovery Gold Corp NV 9.01 10/14/11 AMEND DOMINOS PIZZA INC 2.02,9.01 07/24/12 DTS, INC. DE 1.01,2.01,2.03,9.01 07/18/12 Duff & Phelps Corp DE 2.02,9.01 07/24/12 DUPONT E I DE NEMOURS & CO DE 2.02,9.01 07/24/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 07/24/12 Eagle Bancorp Montana, Inc. 2.02,9.01 07/24/12 EBAY INC DE 8.01,9.01 07/19/12 Edwards Lifesciences Corp DE 2.02,9.01 07/24/12 EFL OVERSEAS, INC. NV 2.01,3.02 07/18/12 EMC CORP MA 2.02,9.01 07/24/12 EMERSON ELECTRIC CO MO 5.02 07/19/12 ENCORE CAPITAL GROUP INC DE 9.01 05/08/12 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 8.01,9.01 07/24/12 EZCORP INC DE 2.02 07/24/12 FASTENAL CO MN 5.02 07/23/12 Federal Home Loan Bank of Atlanta X1 2.03 07/24/12 Federal Home Loan Bank of Boston X1 2.03 07/19/12 Federal Home Loan Bank of Chicago X1 2.02,9.01 07/24/12 Federal Home Loan Bank of Chicago X1 2.03 07/18/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 07/18/12 Federal Home Loan Bank of Cincinnati X1 5.02,9.01 07/19/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 07/20/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 07/24/12 Federal Home Loan Bank of New York X1 2.03,9.01 07/18/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/18/12 Federal Home Loan Bank of San Francis X1 2.03 07/18/12 Federal Home Loan Bank of Seattle 2.03 07/19/12 Federal Home Loan Bank of Topeka 2.03,9.01 07/18/12 FERO INDUSTRIES, INC. CO 5.02,5.03 07/23/12 FIDELITY BANCORP INC PA 3.01,9.01 07/19/12 FINISH LINE INC /IN/ IN 3.02,5.07,8.01,9.01 07/19/12 First Advantage Bancorp 8.01,9.01 07/24/12 FIRST BANKS, INC MO 2.02,9.01 07/24/12 FIRST BUSEY CORP /NV/ NV 2.02,9.01 07/24/12 FIRST CAPITAL INC IN 2.02,9.01 07/19/12 FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 07/23/12 FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 07/24/12 FIRST INTERSTATE BANCSYSTEM INC MT 2.02,9.01 07/23/12 FIRSTMERIT CORP /OH/ OH 2.02,9.01 07/24/12 FNB CORP/FL/ FL 2.02,7.01,8.01,9.01 07/23/12 FORWARD AIR CORP TN 8.01,9.01 07/24/12 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 07/24/12 FX Alliance Inc. 8.01,9.01 07/24/12 GARDNER DENVER INC DE 2.02,9.01 07/19/12 GelTech Solutions, Inc. DE 1.01 07/20/12 GENTEX CORP MI 2.02,9.01 07/24/12 GNC HOLDINGS, INC. DE 5.02,9.01 07/19/12 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.01,3.01,3.03,5.01, 07/24/12 5.02,5.03,7.01,9.01 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 1.01,1.02,2.03 07/24/12 GOOD SAM ENTERPRISES, LLC DE 8.01,9.01 07/23/12 GREAT AMERICAN ENERGY, INC. 1.01,9.01 06/07/12 AMEND GREAT WALL BUILDERS LTD. TX 4.01,4.02 06/28/12 AMEND GREEN HYGIENICS HOLDINGS INC. NV 8.01 07/24/12 Guardian 8 Holdings 3.02 06/09/12 Guardian 8 Holdings 3.02 06/09/12 AMEND GULFMARK OFFSHORE INC DE 2.02,9.01 07/23/12 HALF ROBERT INTERNATIONAL INC /DE/ DE 2.02,9.01 07/24/12 HALLIBURTON CO DE 2.02 07/23/12 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 07/24/12 HANCOCK FABRICS INC DE 5.07 07/20/12 HARLAND CLARKE HOLDINGS CORP DE 1.01,2.03,9.01 07/24/12 HARMONIC INC DE 2.02,5.02,5.03,9.01 07/18/12 HARMONIC INC DE 5.02 03/06/12 AMEND Hatteras Financial Corp 2.02,9.01 07/24/12 HAWAIIAN HOLDINGS INC DE 2.02,9.01 07/24/12 HCP, INC. MD 8.01,9.01 07/24/12 HCP, INC. MD 8.01,9.01 07/24/12 Health Directory Inc. NV 1.01,5.01,5.02,8.01, 07/20/12 9.01 HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,9.01 07/23/12 HEALTHWAYS, INC DE 2.02,9.01 07/24/12 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 07/23/12 HOME BANCORP, INC. LA 2.02,7.01,9.01 07/24/12 HOST HOTELS & RESORTS L.P. DE 8.01,9.01 01/01/11 HUNTINGTON BANCSHARES INC/MD MD 5.03,9.01 07/18/12 ICEWEB INC DE 5.02,9.01 05/25/12 IDEX CORP /DE/ DE 2.02,9.01 07/23/12 ILLINOIS TOOL WORKS INC DE 2.02 07/24/12 ILLUMINA INC DE 2.02,9.01 07/24/12 Imprimis Pharmaceuticals, Inc. DE 1.01,5.02 07/18/12 INDEPENDENT BANK CORP MA 9.01 05/11/12 AMEND INDIANA COMMUNITY BANCORP IN 5.07,8.01,9.01 07/24/12 INFINERA CORP DE 2.02,9.01 07/24/12 Ingredion Inc DE 5.03,9.01 07/18/12 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01,9.01 07/23/12 INTELSAT S.A. N4 1.01 07/18/12 INTER PARFUMS INC DE 2.02,5.07,7.01,9.01 07/24/12 INTERLINE BRANDS, INC./DE DE 8.01,9.01 07/24/12 INTERNATIONAL GAME TECHNOLOGY NV 2.02,9.01 07/24/12 InvenSense Inc DE 2.02,9.01 07/24/12 IROBOT CORP DE 2.02,9.01 07/24/12 JARDEN CORP DE 2.02,9.01 07/24/12 JBI, INC. NV 5.07 07/23/12 JUNIPER NETWORKS INC DE 2.02,9.01 07/24/12 Kennedy-Wilson Holdings, Inc. DE 8.01 07/18/12 KFORCE INC FL 8.01,9.01 07/23/12 Kior Inc DE 7.01,9.01 07/24/12 LEAR CORP DE 7.01 07/24/12 LENNOX INTERNATIONAL INC DE 2.02,9.01 07/24/12 LEVEL 3 COMMUNICATIONS INC DE 2.02,7.01,8.01,9.01 07/18/12 LEXMARK INTERNATIONAL INC /KY/ DE 2.02,9.01 07/24/12 LIBERTY PROPERTY TRUST MD 2.02,9.01 07/24/12 LIBERTY SILVER CORP NV 8.01,9.01 07/24/12 LNB BANCORP INC OH 7.01,9.01 07/24/12 LOCAL.COM DE 7.01,9.01 07/24/12 LOCKHEED MARTIN CORP MD 2.02,9.01 07/24/12 LSB FINANCIAL CORP IN 5.02 07/23/12 MACE SECURITY INTERNATIONAL INC DE 8.01,9.01 07/24/12 MAGNEGAS CORP DE 1.01,9.01 07/16/12 Magnolia Solar Corp NV 8.01,9.01 07/24/12 MANHATTAN ASSOCIATES INC GA 2.02,5.02,7.01,9.01 07/19/12 MAP Pharmaceuticals, Inc. DE 2.02,9.01 07/24/12 MATERIAL SCIENCES CORP DE 1.01 07/23/12 MB FINANCIAL INC /MD 5.02 07/18/12 MDC HOLDINGS INC DE 5.02 07/24/12 MEDIVATION, INC. DE 8.01,9.01 07/24/12 MERIDIAN INTERSTATE BANCORP INC 2.02,9.01 07/24/12 METALICO INC 8.01,9.01 07/24/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 07/24/12 MINDSPEED TECHNOLOGIES, INC DE 2.05 07/20/12 MITEK SYSTEMS INC DE 2.02,9.01 07/24/12 MOLSON COORS BREWING CO DE 5.02 02/23/12 AMEND MOODYS CORP /DE/ DE 8.01,9.01 07/20/12 Motors Liquidation Co DE 8.01,9.01 07/24/12 MOTRICITY INC DE 7.01,9.01 07/24/12 MPG Office Trust, Inc. MD 2.02,7.01,9.01 07/23/12 MS STRUCTURED SATURNS SERIES 2001-6 DE 8.01 07/24/12 MS STRUCTURED TILES SERIES 2005-1 DE 8.01 07/16/12 AMEND MUELLER INDUSTRIES INC DE 2.02,9.01 07/24/12 MULTIBAND CORP MN 8.01 07/24/12 NANOPHASE TECHNOLOGIES CORPORATION IL 8.01,9.01 07/24/12 NANOSPHERE INC DE 1.01,9.01 07/19/12 Nationstar Mortgage Holdings Inc. DE 1.01,2.03,9.01 07/19/12 NBT BANCORP INC DE 2.02,9.01 07/23/12 NEAH POWER SYSTEMS, INC. NV 8.01,9.01 07/24/12 NETFLIX INC DE 2.02,9.01 07/24/12 NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 07/19/12 NEWS CORP 8.01,9.01 07/24/12 NEXSTAR BROADCASTING GROUP INC DE 1.01,9.01 07/18/12 Noranda Aluminum Holding CORP DE 8.01,9.01 07/24/12 NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 07/24/12 NORTH STATE BANCORP NC 5.02,9.01 07/18/12 NORTH STATE BANCORP NC 8.01,9.01 07/18/12 NORTHROP GRUMMAN CORP /DE/ 5.02,8.01,9.01 07/19/12 NORTHWESTERN CORP DE 2.02,9.01 07/24/12 Nuveen Diversified Commodity Fund DE 8.01 07/20/12 OLIN CORP VA 7.01,9.01 07/23/12 OPTIMER PHARMACEUTICALS INC 5.02 07/23/12 Orchids Paper Products CO /DE DE 2.02,8.01,9.01 07/24/12 ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 07/23/12 OWENS & MINOR INC/VA/ VA 1.01,2.02,2.03,9.01 07/20/12 PACCAR INC DE 2.02,9.01 07/24/12 PANERA BREAD CO DE 2.02,7.01,9.01 07/24/12 PATAPSCO BANCORP INC MD 2.02,8.01,9.01 07/20/12 Patient Safety Technologies, Inc DE 5.07 07/18/12 PATRICK INDUSTRIES INC IN 8.01,9.01 07/23/12 Patriot Coal CORP DE 7.01,9.01 07/24/12 PEABODY ENERGY CORP DE 2.02,9.01 07/24/12 PEETS COFFEE & TEA INC WA 1.01,8.01,9.01 07/21/12 PENTAIR INC MN 2.02,8.01,9.01 07/24/12 PEOPLES BANCORP INC OH 2.02,9.01 07/24/12 PERVASIVE SOFTWARE INC DE 2.02,9.01 07/24/12 PETMED EXPRESS INC FL 8.01,9.01 07/23/12 PIONEER BANKSHARES INC/VA 8.01 07/20/12 POLARIS INDUSTRIES INC/MN MN 2.02,7.01,9.01 07/24/12 POLYCOM INC DE 2.02,9.01 07/24/12 POTLATCH CORP DE 2.02,9.01 07/24/12 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 07/24/12 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 07/24/12 PRGX GLOBAL, INC. GA 2.02,9.01 07/23/12 Princeton Security Technologies, Inc. NJ 2.01,3.03,5.01,5.02, 07/24/12 9.01 PRIVATEBANCORP, INC DE 2.02,9.01 07/24/12 Probe Manufacturing Inc NV 2.02,9.01 07/24/12 Proto Labs Inc 2.02,9.01 07/24/12 PROVIDENT NEW YORK BANCORP DE 2.02,9.01 07/23/12 RAMTRON INTERNATIONAL CORP DE 2.02,9.01 07/24/12 REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 07/24/12 RENT A CENTER INC DE 2.02,9.01 07/23/12 REPUBLIC FIRST BANCORP INC PA 2.02,9.01 07/24/12 REYNOLDS AMERICAN INC 2.02,9.01 07/24/12 RF MICRO DEVICES INC NC 2.02,9.01 07/24/12 Riverbed Technology, Inc. DE 2.02,9.01 07/24/12 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,9.01 07/19/12 ROCKWELL COLLINS INC DE 2.02,7.01,9.01 07/24/12 ROCKY BRANDS, INC. OH 2.02,9.01 07/24/12 RoomStore, Inc. VA 1.03,2.01,5.02 07/24/12 RYDER SYSTEM INC FL 2.02,9.01 07/24/12 S&T BANCORP INC PA 8.01,9.01 07/23/12 SANMINA-SCI CORP DE 1.01,2.03 07/19/12 SavWatt USA, Inc. DE 5.02,9.01 06/28/12 SBT Bancorp, Inc. CT 2.02,9.01 07/24/12 SCANSOURCE INC SC 5.02,9.01 07/24/12 SCHAWK INC 5.02,7.01,9.01 07/24/12 SeaBright Holdings, Inc. DE 5.02,9.01 07/23/12 SEVCON, INC. DE 2.02,9.01 07/23/12 Seven Arts Entertainment Inc. NV 8.01,9.01 07/23/12 SIERRA RESOURCE GROUP INC NV 5.02,9.01 07/18/12 SIGMA ALDRICH CORP DE 2.02,5.02,9.01 07/18/12 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 07/23/12 SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 07/24/12 Six Flags Entertainment Corp 2.02,9.01 07/24/12 SMITHFIELD FOODS INC VA 1.01,8.01,9.01 07/18/12 SOCKET MOBILE, INC. DE 3.01,9.01 07/18/12 SOLUTION TECHNOLOGY INTERNATIONAL INC 1.01 07/23/12 Somaxon Pharmaceuticals, Inc. DE 8.01,9.01 07/24/12 SONIC AUTOMOTIVE INC DE 7.01 07/23/12 AMEND SONIC FOUNDRY INC MD 5.02 07/23/12 SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 07/24/12 SOUTHERN USA RESOURCES INC. DE 5.02,9.01 07/19/12 SOUTHWEST GEORGIA FINANCIAL CORP GA 2.02,9.01 06/30/12 Spirit Airlines, Inc. DE 2.02,9.01 07/23/12 Spirit Airlines, Inc. DE 7.01,9.01 07/24/12 SRKP 16 INC DE 1.01,2.01,2.02,3.02, 01/11/12 AMEND 5.01,5.02,5.03,5.06, 9.01 SRS LABS INC DE 2.01,3.01,3.03,5.01, 07/20/12 5.02,5.03,9.01 STANLEY BLACK & DECKER, INC. CT 1.01,9.01 07/18/12 STANLEY BLACK & DECKER, INC. CT 8.01 07/24/12 State Auto Financial CORP OH 8.01,9.01 07/18/12 STEEL DYNAMICS INC IN 2.02,9.01 07/23/12 SUNOCO LOGISTICS PARTNERS L.P. DE 5.02,8.01 07/24/12 SUPER LIGHT INC. DE 5.03,5.07,9.01 07/19/12 SUPERNUS PHARMACEUTICALS INC DE 8.01,9.01 07/20/12 SUPERTEX INC CA 2.02,9.01 07/24/12 SUSQUEHANNA BANCSHARES INC PA 8.01,9.01 07/18/12 SYNOVUS FINANCIAL CORP GA 2.02,7.01,9.01 07/24/12 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 TagLikeMe Corp. NV 7.01,9.01 07/23/12 TALBOTS INC DE 8.01,9.01 07/23/12 TECHE HOLDING CO LA 2.02,9.01 07/24/12 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 07/24/12 Texas Rare Earth Resources Corp. NV 1.01,1.02,5.01,5.02, 07/24/12 8.01,9.01 TNP Strategic Retail Trust, Inc. MD 5.07 07/18/12 TOTAL SYSTEM SERVICES INC GA 2.02,7.01,8.01,9.01 07/24/12 Tri-Tech Holding, Inc. E9 5.02 07/24/12 TripAdvisor, Inc. DE 2.02,9.01 07/24/12 TRUSTMARK CORP MS 2.02,9.01 07/24/12 Under Armour, Inc. MD 2.02,9.01 07/24/12 Uni-Pixel DE 7.01,9.01 07/24/12 UNION FIRST MARKET BANKSHARES CORP VA 2.02,9.01 07/24/12 UNISYS CORP DE 2.02,9.01 07/24/12 United Continental Holdings, Inc. DE 2.02,8.01 07/23/12 UNITED PARCEL SERVICE INC DE 2.02,9.01 07/24/12 UNITED STATIONERS INC DE 2.02,9.01 07/23/12 UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 07/24/12 UNIVERSAL HOSPITAL SERVICES INC MN 7.01,8.01,9.01 07/24/12 UROLOGIX INC MN 3.01 07/23/12 USANA HEALTH SCIENCES INC UT 2.02,9.01 07/24/12 VASCULAR SOLUTIONS INC MN 2.02,9.01 07/24/12 VERTICAL HEALTH SOLUTIONS INC FL 9.01 07/24/12 VERTICAL HEALTH SOLUTIONS INC FL 8.01,9.01 07/24/12 AMEND VIRGIN MEDIA INC. DE 2.02,9.01 07/24/12 VIRGIN MEDIA INC. DE 8.01 07/24/12 Vocus, Inc. DE 2.02,9.01 07/24/12 Voice Assist, Inc. NV 1.01,3.02,9.01 05/22/12 W P CAREY & CO LLC DE 1.01,9.01 07/23/12 WASTE CONNECTIONS, INC. DE 7.01 07/24/12 WATERS CORP /DE/ DE 2.02,9.01 07/24/12 Weatherford International Ltd./Switze V8 2.02,4.02,7.01,9.01 07/24/12 WebMD Health Corp. DE 2.02,9.01 07/24/12 WEBSENSE INC DE 2.02,9.01 07/24/12 WESBANCO INC WV 2.02,9.01 07/24/12 Western Union CO DE 2.02,7.01,9.01 07/24/12 WESTGATE ACQUISITIONS CORP NV 1.01,3.02,9.01 07/23/12 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,7.01,9.01 07/24/12 WHIRLPOOL CORP /DE/ DE 2.02,9.01 07/24/12 Willbros Group, Inc.\NEW\ 5.02 07/18/12 WMI HOLDINGS CORP. WA 8.01,9.01 07/19/12 World Surveillance Group Inc. DE 7.01,9.01 07/24/12 WVS FINANCIAL CORP PA 2.02,9.01 07/24/12 Xinde Technology Co NV 3.03,5.03,9.01 07/18/12 Yew Bio-Pharm Group, Inc. NV 1.01,9.01 07/18/12 Yinfu Gold Corp. WY 4.01,9.01 06/15/12 AMEND YOUNG INNOVATIONS INC MO 2.02,9.01 07/23/12 ZIX CORP TX 2.02,9.01 07/24/12 Ziyang Ceramics Corp FL 2.02,7.01,9.01 07/24/12 ZOGENIX, INC. DE 8.01,9.01 07/24/12