In the Matter of UBS Financial Services Inc. of Puerto Rico
On July 27, 2012, the Commission issued an Order Extending the Time by Which UBS PR Shall Submit to the Commission the Findings of the Independent Consultant Making Recommendations for Any Changes in or Improvements to UBS PR’s Policies, Procedures, and Practices, and a Procedure for Implementing Such Recommended Changes (Order) In the Matter of UBS Financial Services Inc. of Puerto Rico (UBS PR). The Order extends the time for UBS PR to submit to the Commission, the findings of the independent consultant making recommendations for any changes in or improvements to UBS PR’s policies, procedures, and practices, and a procedure for implementing such recommended changes independent third-party consultant to 120 days after the date of UBS PR’s retention of an independent consultant. The Order further allows, the staff of Commission, upon good cause being shown, to grant UBS PR such additional time as the staff deems necessary for the independent consultant to complete its review or for UBS PR to submit to the Commission the independent consultant’s report and recommendations, if any. (Rel. 33-9343; File No. 3-14863)
Massachusetts-Based LocatePlus Holdings Corporation Settles Fraud Charges and Agrees to Revocation of Securities Registration
The Securities and Exchange Commission (Commission) announced today that LocatePlus Holdings Corporation (LocatePlus) has agreed to settle charges it engaged in securities fraud from 2005 through 2007 by misleading investors about its funding and revenue in violation of the antifraud and reporting provisions of the federal securities laws. Without admitting or denying the Commission’s allegations, LocatePlus consented to the entry of a final judgment enjoining it from further violations of the antifraud and reporting provisions but not imposing any monetary relief in light of its bankruptcy and financial condition. The settlement is subject to Court approval. LocatePlus also consented to an administrative order entered today, in previously-instituted administrative proceedings, revoking the registration of its securities pursuant to Section 12(j) of the Exchange Act based upon its filing of certain materially deficient reports and its repeated failure to file other required periodic reports. In the Matter of LocatePlus Holdings Corporation, Administrative Proceeding File No. 3-14858 (April 30, 2012).
On October 14, 2010, the Commission filed a civil enforcement action in federal district court in Massachusetts alleging that LocatePlus violated the anti-fraud and the books and records provisions of the federal securities laws. LocatePlus is a former Beverly, Massachusetts-based company that sold on-line access to public record databases for investigative searches. On November 10, 2010, the United States Attorney’s Office for the District of Massachusetts unsealed an indictment against former LocatePlus chief executive officer Jon Latorella, and former LocatePlus chief financial officer James Fields, charging them with conspiracy to commit securities fraud for their roles in a scheme to fraudulently inflate revenue at LocatePlus, as well as a scheme to manipulate the stock of another company. On the same day, the Commission amended its previously-filed civil injunctive action against LocatePlus, arising out of the same conduct, to add Latorella and Fields as defendants. On June 16, 2011, LocatePlus filed a petition for protection under Chapter 11 of the U.S. Bankruptcy Code and the U.S. Bankruptcy Court for the District of Massachusetts thereafter appointed a Trustee. On June 14, 2012, Latorella was sentenced to 60 months’ imprisonment in the criminal case, to be followed by three years of supervised release, and the payment of restitution to be determined at a later hearing. The Commission’s civil injunctive action against Latorella and Fields is stayed until the conclusion of the criminal case, which remains pending against Fields. (Rel. 34-67530; File No. 3-14858)
In the Matter of John S. Morgan, Marian I. Morgan, and Thomas D. Woodcock, Jr.
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 (Exchange Act) and Notice of Hearing (Order) against John S. Morgan, Marian I. Morgan, and Thomas D. Woodcock, Jr. (collectively Respondents).
On April 2, 2010 and July 5, 2012, final judgments were entered by default against John S. Morgan, Marian I. Morgan, and Thomas D. Woodcock, Jr., permanently enjoining them from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), 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. John S. Morgan, et al., Civil Action Number 8:09-cv-1093-RAL-EAJ, in the United States District Court for the Middle District of Florida. The Commission’s complaint alleged that from 2006 through June 2009 defendants John S. Morgan and Marian I. Morgan engaged in a scheme to defraud investors by offering and selling investments in a fictitious prime bank instrument trading program. In addition, the complaint alleged that in 2006, Thomas D. Woodcock, Jr. participated in that scheme. The complaint also alleged that Respondents sold unregistered securities.
On November 28, 2011, a judgment was entered against John S. Morgan in United States v. John S. Morgan and Marian I. Morgan, Case 8:09-cr-00585-SCB-TBM in the United States District Court for the Middle District of Florida. John Morgan was sentenced to 121 months of incarceration followed by supervised release of 36 months and ordered to pay restitution of $17,360,850.00. On September 29, 2011, after trial, Marian I. Morgan was found guilty of 22 counts in United States v. John S. Morgan and Marian I. Morgan. On April 27, 2011, a judgment was entered against Marian I. Morgan in that case. Marian I. Morgan was sentenced to 35 years of incarceration followed by supervised release of 36 months and ordered to pay restitution of $17,360,850.00. The counts of the criminal indictment against John and Marian Morgan alleged, among other things, that they engaged in a conspiracy to perpetrate an investment fraud scheme in connection with the fictitious prime bank instrument trading program underlying the Commission’s complaint described above.
A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide the Respondents an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-67541; File No. 3-14967)
SEC Charges Multiple Individuals and Entities in the U.S. For Widespread Misconduct in Connection with Chinese Reverse Merger Company
The Securities and Exchange Commission filed settled fraud charges, among others, against New York-based fund adviser Peter Siris (Siris) in connection with its investigation into China Yingxia International, Inc. (China Yingxia), a now defunct Chinese reverse merger company. The illicit conduct by Siris and/or his associated entities – Guerrilla Capital Management, LLC (Guerrilla Capital), and Hua Mei 21st Century, LLC (Hua Mei) – included insider trading, trading in violation of Rule 105 of Regulation M, fraudulent representations in a securities purchase agreement, misstatements to investors in pooled investment vehicles, acting as an unregistered securities broker, and unregistered sales of securities.
In a separate action, the SEC charged Ren Hu (Hu), former chief financial officer of China Yingxia, for fraudulent representations in Sarbanes-Oxley (SOX) certifications, lying to auditors, failure to implement internal accounting controls, and aiding and abetting China Yingxia’s failure to implement internal controls; and Alan Sheinwald (Sheinwald), and his investor relations firm Alliance Advisors, LLC (Alliance), for acting as unregistered securities brokers.
Additionally, the SEC reached settlements with several other individuals connected to China Yingxia, including Peter Dong Zhou (Zhou) for insider trading, unregistered sales of securities, and aiding and abetting unregistered broker activity; Steve Mazur (Mazur) for acting as an unregistered securities broker; and James Fuld, Jr. (Fuld) for unregistered sales of securities.
Siris and His Entities
The SEC alleges that Siris, a well-known fund manager and active investor in Chinese companies, engaged in a broad range of misconduct. Siris, who has authored one book concerning investing, and until recently was a financial columnist for a New York publication, manages two New York-based hedge funds through which he invested $1.5 million in China Yingxia. Along with being one of three “consultants” that raised money for China Yingxia, Siris and his consulting firm Hua Mei, acted as advisers to China Yingxia, which included review of China Yingxia’s Commission filings and press releases, among other things. Hua Mei received cash and shares, which were received from the CEO’s father and were improperly sold without any registration statement in effect.
Further, in February and March 2009, Siris sold China Yingxia stock while in possession of material, non-public information centered on its CEO’s illegal activity, status of operations at China Yingxia, and a press release concerning the same. Siris, on behalf of his funds, sold over 1.1 million shares in a matter of weeks before China Yingxia’s press release, realizing more than $172,000 in ill-gotten gains. Siris also omitted material information and made material misrepresentations to investors in his funds concerning his role with China Yingxia, depriving his investors of information material to their continued investment decisions with Siris’s funds.
In addition, after agreeing to go “over-the-wall” in connection with ten confidentially marketed offerings for Chinese companies, Siris engaged in insider trading in breach of his duty to not trade on the information. And Siris sold short the securities of two Chinese companies prior to participating in firm-commitment offerings in violation of Rule 105. Further, Siris fraudulently represented in one securities purchase agreement that he had not traded the issuer’s securities, but he had in fact sold short the issuer’s stock. As a result of these violations, Siris generated almost $289,000 in ill-gotten gains.
The SEC filed action in the U.S. District Court for the Southern District of New York against Siris and his entities, alleging violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), Rule 10b-5 thereunder, Rule 105 of Regulation M, and Section 206(4) of the Investment Advisers Act of 1940 (Advisers Act), and Rule 206(4)-8 thereunder. Without admitting or denying the allegations of the complaint, these defendants have agreed to pay disgorgement in the amount of $592,942.39, prejudgment interest of $70,488.83, and Siris has agreed to pay a civil penalty in the amount of $464,011.93. Defendants Siris, Guerrilla Capital, and Hua Mei, also have consented to the entry of a judgment enjoining them from violations of the respective provisions of the Securities Act, Exchange Act, and Advisers Act. The proposed settlement is subject to approval by the court.
Hu, Sheinwald, and Alliance Advisors
The SEC also filed fraud charges against China Yingxia’s former CFO, Hu, for material misrepresentations concerning his role in designing disclosure and internal controls. In several SOX certifications, the SEC alleges that Hu misrepresented that he had designed or caused to be designed such controls, when he had not done so. The SEC also alleges that Hu knowingly failed to implement internal accounting controls, aided and abetted China Yingxia’s failure to do so, and lied to auditors concerning controls and fraud by the CEO, who has reportedly been convicted by Chinese authorities for illegal fundraising activities, similar to a Ponzi scheme.
In addition, the SEC alleges that Sheinwald and his investor relations firm Alliance Advisors, who were also retained as “consultants,” acted as unregistered securities brokers in connection with raising money for China Yingxia and at least one other issuer.
The SEC filed action in the U.S. District Court for the Southern District of New York against Hu alleging violations of Section 10(b) of the Exchange Act, and Rules 10b-5, 13a-14, and 13b2-2 thereunder, and further aided and abetted violations of Section 13(b)(2)(B) of the Exchange Act. The SEC’s action against Sheinwald and Alliance Advisors alleges violations of Section 15(a) of the Exchange Act.
Administrative and/or Cease-and-Desist Proceedings
Finally, today the SEC issued administrative and cease-and-desist orders against Zhou and Mazur, and a cease-and-desist order against Fuld. The order against Zhou, who assisted China Yingxia with its reverse merger and virtually all of its public company tasks, finds that he willfully engaged in insider trading in the securities of China Yingxia, unregistered sales of securities, and aided and abetted unregistered broker-dealer activity. Zhou agreed to pay disgorgement in the amount of $20,900, prejudgment interest of $2,463.39, and a civil monetary penalty in the amount of $50,000. Zhou further agreed to a collateral bar, penny stock bar, and investment company bar, with the right to apply for reentry after three years. The order involving Mazur, whose firm was also retained as a “consultant” to China Yingxia, finds that he willfully acted as an unregistered broker by selling away from the firm with which he was associated in connection with China Yingxia and at least one other issuer. Mazur agreed to pay disgorgement in the amount of $126,800, prejudgment interest of $25,550.01, and a civil monetary penalty in the amount of $25,000. Mazur further agreed to a collateral bar, penny stock bar, and investment company bar, with the right to apply for reentry after two years. The cease-and-desist order against Fuld finds that he engaged in unregistered sales of securities, and he agreed to pay disgorgement of $178,594.85, and $38,096.70 in prejudgment interest.
The SEC’s investigation is continuing.
(Rel. 34-67532 (Mazur), File No. 3-14965)
(Rel. 33-9345 (Fuld), File No. 3-14966)
Judgments Entered Against Defendants for Distributing Unregistered Shares of Universal Express Inc.
The Securities and Exchange Commission announced that the United States District Court for the Southern District of New York entered an amended judgment on July 26, 2012, against defendants Michael J. Xirinachs and Emerald Asset Advisors LLC (Emerald Asset) of Melville, New York, previously finding on August 11, 2011 that they had engaged in an unregistered distribution of billions of shares of Universal Express Inc. (USXP) between February 2006 and June 2007. The judgment enjoined Xirinachs and Emerald Asset from future violations of the securities registration provisions of Section 5 of the Securities Act of 1933, ordered them jointly and severally to disgorge over $3.8 million in profits plus prejudgment interest, and pay civil penalties of $3,835,000 based on 590 unregistered transactions; ordered Xirinachs separately to disgorge over $428,000 in compensation plus prejudgment interest, and pay civil penalties of $2,119,000 based on 326 unregistered transactions; and barred Xirinachs and Emerald Asset from participating in penny stock offerings for three years, but allowed them to purchase penny stocks during that period. The other defendants were previously sanctioned on September 8, 2011. (LR-22094 Sept. 16, 2011) The complaint in this case can be reviewed at www.sec.gov. (LR-21197, Sept. 3, 2009)
The Commission previously sued Universal Express, Inc. for violating the securities registration provisions. See SEC v. Universal Express, Inc. et al, 04 Civ-02322 (GEL), (LR-18636 Mar. 24, 2004). [SEC v. Doyle Scott Elliott, Scott Elliott, Inc., Michael J. Xirinachs, Emerald Asset Advisors LLC, Robert L. Weidenbaum, and CLX & Associates, Inc., Case No. 09-cv-7594-KBF-THK (S.D.N.Y.)] (LR-22425)
Massachusetts-Based Company Settles Fraud Charges
The Securities and Exchange Commission (Commission) announced today that LocatePlus Holdings Corporation (LocatePlus) has agreed to settle charges it engaged in securities fraud from 2005 through 2007 by misleading investors about its funding and revenue in violation of the antifraud and reporting provisions of the federal securities laws. As part of the settlement, LocatePlus consented to an administrative order which prevents it from selling its securities in the public market.
Without admitting or denying the Commission’s allegations, LocatePlus consented to the entry of a final judgment enjoining it from further violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b), 13(a),13(b)(2)(A), 13(b)(2)(B), of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13 thereunder. The proposed judgment, which is subject to court approval, will not impose monetary relief against LocatePlus in light of its bankruptcy and financial condition. LocatePlus also consented to an administrative order entered today, in separate previously-instituted administrative proceedings, revoking the registration of its securities pursuant to Section 12(j) of the Exchange Act based upon its filing of certain materially deficient reports and its repeated failure to file other required periodic reports. As a result of that administrative order, LocatePlus’ securities will no longer trade in the public markets.
On October 14, 2010, the Commission filed a civil enforcement action in federal district court in Massachusetts alleging that LocatePlus violated the anti-fraud and the books and records provisions of the federal securities laws. LocatePlus is a former Beverly, Massachusetts-based company that sold on-line access to public record databases for investigative searches. On November 10, 2010, the United States Attorney’s Office for the District of Massachusetts unsealed an indictment against former LocatePlus chief executive officer Jon Latorella, and former LocatePlus chief financial officer James Fields, charging them with conspiracy to commit securities fraud for their roles in a scheme to fraudulently inflate revenue at LocatePlus, as well as a scheme to manipulate the stock of another company. On the same day, the Commission amended its previously-filed civil injunctive action against LocatePlus, arising out of the same conduct, to add Latorella and Fields as defendants. On June 16, 2011, LocatePlus filed a petition for protection under Chapter 11 of the U.S. Bankruptcy Code and the U.S. Bankruptcy Court for the District of Massachusetts thereafter appointed a Trustee. On June 14, 2012, Latorella was sentenced to 60 months’ imprisonment in the criminal case, to be followed by three years of supervised release, and the payment of restitution to be determined at a later hearing. The Commission’s civil injunctive action against Latorella and Fields is stayed until the conclusion of the criminal case, which remains pending against Fields.
For further information, see Litigation Release No. 22394 (June 18, 2012); Litigation Release No. 21474 (April 2, 2010); Litigation Release No. 21692 (October 14, 2010); Litigation Release No. 21735 (November 10, 2010); Litigation Release No. 21763 (December 6, 2010); Securities Exchange Act Release No. 64607 (June 6, 2011). [SEC v. LocatePlus Holdings Corporation, Jon Latorella and James Fields, No. 1:10-CV-11751-DPW (D. Mass.)] (LR-22426)
Securities and Exchange Commission v. Emanuel L. Sarris, Sr. and Sarris Financial Group, Inc.
The Securities and Exchange Commission announced fraud charges against Bucks-County, Pennsylvania-resident Emanuel L. Sarris, Sr. (“Sarris”) and his firm, Sarris Financial Group, Inc. (“Sarris Financial”), for their role in facilitating a massive Ponzi scheme operated by another individual (who the Commission already sued). The SEC’s complaint, filed in the U.S. District Court for the Eastern District of Pennsylvania, alleges that, from 2001 through 2009, Sarris (through Sarris Financial) convinced over 70 individuals to invest over $30 million in private funds that purportedly traded in foreign currencies, called the “Kenzie Funds.” The Kenzie Funds, however, actually were a massive Ponzi scheme that defrauded at least 400 investors out of more than $105 million. The SEC already obtained final judgment, in the U.S. District Court for the Northern District of Illinois against the perpetrator of the Kenzie fraud, which ordered the perpetrator to pay $44 million in disgorgement and prejudgment interest and a $150,000 civil penalty.
According to the SEC’s complaint, Sarris and Sarris Financial, when selling the Kenzie Funds, falsely represented their relationship with the Kenzie Funds; falsely claimed to have seen the Kenzie Funds’ foreign currency trading and banking; made unverified claims about the Kenzie Funds’ safety, performance, and legitimacy; and, in classic Ponzi scheme fashion, twice proposed that the Kenzie entities use existing or new investor money to pay redemptions to departing investors. In fact, according to the SEC’s allegations, unbeknownst to investors, Sarris was employed by one of the companies that managed the Kenzie Funds to solicit investment in the Kenzie Funds, and Sarris Financial received incentive fees for inducing investments in the Kenzie Funds; Sarris and Sarris Financial never saw any of Kenzie’s trading or banking; they actually did little to investigate the Kenzie Funds, instead ignoring and concealing numerous red flags that raised significant questions about the entities; and Sarris and Sarris Financial never disclosed their proposals to make Ponzi-like payments to their clients.
According to the SEC’s complaint, Sarris and Sarris Financial violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder. [SEC v. Emanuel L. Sarris, Sr. and Sarris Financial Group, Inc., Civil Action No. 12-cv-04272-TON (E.D. Pa.)] (LR-22427)
SEC Freezes Assets of Insider Traders in Nexen Acquisition
On July 27, 2012, the Securities and Exchange Commission obtained an emergency court order in the United States District Court for the Southern District of New York to freeze the assets of traders using trading accounts in Hong Kong and Singapore to reap more than $13 million in illegal profits by trading in advance of this week’s public announcement that China-based CNOOC Ltd. agreed to acquire Canada-based Nexen Inc.
The SEC alleges that Hong Kong-based firm Well Advantage Limited and other unknown traders stockpiled shares of Nexen stock based on confidential information about the deal in the days leading up to the announcement. Well Advantage is controlled by prominent Hong Kong businessman Zhang Zhi Rong, who also controls another company that has a “strategic cooperation agreement” with CNOOC.
The SEC took the emergency action to freeze the traders’ assets within days of the public announcement of the deal and less than 24 hours after Well Advantage placed an order to liquidate its entire position in Nexen. The SEC’s investigation continues.
According to the SEC’s complaint, filed in federal court in Manhattan, CNOOC and Nexen announced before the markets opened on Monday, July 23 that CNOOC agreed to acquire Nexen for approximately $15.1 billion. Nexen’s stock subsequently rose sharply that day to close at nearly 52 percent higher than Friday’s closing price.
The SEC alleges that Well Advantage and certain unknown traders were in possession of material nonpublic information about the impending acquisition when they purchased Nexen’s stock in the days leading up to the public announcement. Well Advantage purchased more than 830,000 shares of Nexen on July 19 and had an unrealized trading profit of more than $7 million based on Nexen’s closing price on the day of the announcement. The other unknown traders used accounts located in Singapore to purchase more than 676,000 Nexen shares in the days preceding the announcement. They immediately sold nearly all of the stock once the announcement was made for illicit profits of approximately $6 million.
The emergency court order obtained by the SEC freezes the assets of the traders valued at more than $38 million, and prohibits the traders from destroying any evidence. The SEC’s complaint charges Well Advantage and the unknown traders and with violating Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5. In addition to the emergency relief, the Commission is seeking a final judgment ordering the traders to disgorge their ill-gotten gains with interest and pay financial penalties, and permanently barring them from future violations. [SEC Well Advantage Limited, Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Phillip Securities PTE LTD, and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4, Civil Action 12-CV-5786 (SDNY)(RJS)] (LR-22428)
SEC Charges Ohio Oil and Gas Concern with Offering Fraud
The Securities and Exchange Commission announced today that it filed a civil injunctive action alleging fraud in connection with the unregistered offer and sale of securities by Michael A. Bodanza (“Bodanza”), the former chief financial officer and a founding member of Preferred Financial Holdings Co., LLC (“Preferred Holdings”), a company formed in 2006 to engage in oil and gas exploration, drilling, and leasing through operating subsidiaries.
In the complaint, filed in the U.S. District Court for the Northern District of Ohio, the Commission alleges that, from June 2007 to August 2010, Defendants Bodanza and Preferred Holdings raised $6,769,635 from at least 61 investors through the unregistered sale of Preferred Holdings promissory notes. During this period, Preferred Holdings experienced through its operating subsidiaries a series of material operational problems and suffered significant losses, including net losses of $1.0 million in 2007, $2.2 million in 2008, $1.8 million in 2009, and $1.3 million in 2010, according to consolidated financial statements prepared in 2011. Bodanza nonetheless depicted Preferred Holdings’ oil and gas operations in a positive light and failed to disclose to most investors that the company had suffered significant losses from 2007 through 2010. Further, Bodanza failed to disclose the following material facts to several investors: (i) Preferred Holdings removed one of its founding members and its chief operating officer in early 2008 and sued him for causing Preferred Holdings to suffer between $3 million to $4 million in damages; (ii) the only operating drilling rig held by Preferred Holdings’ drilling subsidiary suffered an irreparable breakdown in August 2008; (iii) Preferred Holdings was embroiled in an insurance coverage dispute to recover $1 million in losses and expenses incurred as a result of the rig breakdown; (iv) Preferred Holdings’ drilling subsidiary incurred $260,000 in drilling expenses above its original cost estimates in connection with a significant joint venture in 2009; and (v) Preferred Holdings’ subsidiary had failed to acquire certain property in Tennessee that could be used to drill and sell gas from its own producing wells. Finally, Bodanza also failed to disclose to at least three individuals who purchased promissory notes in 2010 that their investment proceeds would be used to make payments to other investors. The complaint further alleges that Preferred Holdings has failed to repay most of the investors whose notes have already come due and likely will default on a significant number of additional notes which come due in 2012. The complaint names Preferred Holdings’ subsidiaries, Preferred Drilling Co., LLC, Preferred Financial Investment Co., LLC, Preferred Financial Leasing Co., LLC, and Preferred Well Management Co., LLC as Relief Defendants based on their receipt or benefit from the funds raised through the unregistered, fraudulent offering.
The Defendants and Relief Defendants consented to entry of judgments against them without admitting or denying the allegations in the SEC’s complaint. Bodanza consented to a judgment permanently enjoining him from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 and ordering disgorgement of $359,656 and prejudgment interest of $50,551, but waiving payment of all but $154,000 and not imposing a civil penalty based upon his financial condition. Preferred Holdings consented to a judgment permanently enjoining it from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5; and ordering disgorgement of $4,485,647 and prejudgment interest of $268,143, jointly and severally with the Relief Defendants. Each of the Relief Defendants consented to a judgment ordering disgorgement of $4,485,647 and prejudgment interest of $268,143, jointly and severally with Preferred Holdings. [SEC v. Michael A. Bodanza et al., Case No. 1:12-CV-1954 (N.D. Ohio)] LR-22429)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-98) to terminate revenue sharing agreement and delete associated fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67508)
A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-054) to terminate revenue sharing agreement and delete associated fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67509)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to fees for access to BONO and ITTO ports (SR-NASDAQ-2012-086) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67511)
A proposed rule change filed by NASDAQ OMX PHLX LLC to update the Trading Floor Qualification Examination (SR-Phlx-2012-96) 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 30. (Rel. 34-67515)
A proposed rule change filed by BATS Exchange, Inc. to amend Rule 20.6, entitled “Obvious Error” (SR-BATS-2012-029) 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 30. (Rel. 34-67516)
A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-031) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 30. (Rel. 34-67520)
A proposed rule change filed by the BATS Y-Exchange, Inc. (SR-BYX-2012-016) to extend the pilot program related to clearly erroneous execution reviews 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 30. (Rel. 34-67521)
A proposed rule change filed by the BATS Y-Exchange, Inc. (SR-BYX-2012-015) to extend the pilot program related to trading pauses due to extraordinary market volatility 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 30. (Rel. 34-67522)
A proposed rule change filed by the BATS Exchange, Inc. (SR-BATS-2012-032) to extend the pilot program related to clearly erroneous execution reviews 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 30. (Rel. 34-67523)
A proposed rule change filed by NYSE MKT LLC amending the NYSE MKT Equities Price List to change certain fees relating to trading pursuant to Unlisted Trading Privileges of securities listed on the Nasdaq Stock Market LLC and other conforming changes (SR-NYSEMKT-2012-29) 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 30. (Rel. 34-67525)
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 Amrose Oil Co Inc., 3525 SAGE RD., #1416, HOUSTON, TX, 77056, 713-280-5173 - 990,000 ($990.00) Equity, (File 333-182871 - Jul. 27) (BR. 04) S-8 Big Three Restaurants, Inc., 9085 CHARLES E. LIMPUS ROAD, ORLANDO, FL, 32836, 516.375.6649 - 5,000,000 ($210,000.00) Equity, (File 333-182872 - Jul. 27) (BR. 04A) S-1 Stone Boat Mining corp., 6325 RINCON DEL PALMITO, COL: RINCON DE LAS LOMAS II, CHIHUAHUA, CHIH., O5, CP31216, 604-331-4422 - 10,000,000 ($20,000.00) Equity, (File 333-182876 - Jul. 27) (BR. 09) S-3 Biodel Inc, 100 SAW MILL ROAD, DANBURY, CT, 06810, 203-796-5000 - 0 ($34,042,359.00) Equity, (File 333-182877 - Jul. 27) (BR. 01A) S-8 CONMED CORP, 525 FRENCH ROAD, UTICA, NY, 13502, 315-624-3215 - 1,000,000 ($25,615,000.00) Other, (File 333-182878 - Jul. 27) (BR. 10A) S-8 Natural Grocers by Vitamin Cottage, Inc., 12612 W. ALAMEDA PARKWAY, LAKEWOOD, CO, 80228, 800-817-9415 - 0 ($16,352,265.00) Equity, (File 333-182886 - Jul. 27) (BR. 02) S-3 Pike Electric CORP, 100 PIKE WAY, MOUNT AIRY, NC, 27030, (336) 789-2171 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-182889 - Jul. 27) (BR. 06B) S-8 BOISE INC., 1111 WEST JEFFERSON STREET, SUITE 200, BOISE, ID, 83702-5388, 208-384-7000 - 2,927,626 ($21,078,907.20) Equity, (File 333-182890 - Jul. 27) (BR. 04B) S-8 ENTREE GOLD INC, SUITE 1201, 1166 ALBERNI STREET, VANCOUVER, A1, V6E 3Z3, 604-687-4777 - 0 ($7,603,757.16) Equity, (File 333-182891 - Jul. 27) (BR. 09A) S-3ASR NORTHWESTERN CORP, 3010 W 69TH STREET, SIOUX FALLS, SD, 57108, 6059782908 - 500,000 ($18,550,000.00) Equity, (File 333-182895 - Jul. 27) (BR. 02B) S-8 ALCOA INC, 201 ISABELLA ST, ALCOA CORPORATE CTR, PITTSBURGH, PA, 15212-5858, 4125532576 - 19,000,000 ($152,950,000.00) Equity, (File 333-182899 - Jul. 27) (BR. 06B) S-8 STEINER LEISURE Ltd, 770 SOUTH DIXIE HWY., 2ND FLOOR, CORAL GABLES, FL, 33146, 3053589002 - 1,200,000 ($50,784,000.00) Equity, (File 333-182901 - Jul. 27) (BR. 11A) S-8 AETHLON MEDICAL INC, 8910 UNIVERSITY CENTER LANE, SUITE 660, SAN DIEGO, CA, 92122, 858-459-7800 - 5,000,000 ($365,000.00) Equity, (File 333-182902 - Jul. 27) (BR. 10A) S-1 Aina Le'a Inc., 201 WAIKOLOA BEACH DRIVE, WAIKOLOA, HI, 96738, 808-640-7590 - 37,500,000,000 ($37,500,000.00) Equity, (File 333-182904 - Jul. 27) (BR. ) S-3ASR MUELLER INDUSTRIES INC, SUITE 150, 8285 TOURNAMENT DRIVE, MEMPHIS, TN, 38125, (901)753-3200 - 0 ($0.00) Equity, (File 333-182906 - Jul. 27) (BR. 06B) S-8 RICHARDSON ELECTRONICS LTD/DE, 40W267 KESLINGER RD, PO BOX 393, LAFOX, IL, 60147, 630 208-2200 - 750,000 ($9,176,250.00) Equity, (File 333-182907 - Jul. 27) (BR. 10B) S-3ASR VISA INC., P.O. BOX 8999, SAN FRANCISCO, CA, 94128-8999, (415) 932-2100 - 0 ($0.00) Equity, (File 333-182908 - Jul. 27) (BR. 03A) S-8 KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, ., SAN DIEGO, CA, 92121, 858-812-7300 - 2,900,000 ($15,660,000.00) Equity, (File 333-182910 - Jul. 27) (BR. 11A) S-8 SEQUENOM INC, 3595 JOHN HOPKINS COURT, SAN DIEGO, X1, 92121, 8582029000 - 0 ($18,700,000.00) Equity, (File 333-182911 - Jul. 27) (BR. 10B) S-8 IntraLinks Holdings, Inc., C/O INTRALINKS, INC., 150 E. 42ND STREET, 8TH FLOOR, NEW YORK, NY, 10017, 212-543-7700 - 0 ($18,270,000.00) Debt, (File 333-182912 - Jul. 27) (BR. 03B) S-3 LITHIA MOTORS INC, 360 E JACKSON ST, MEDFORD, OR, 97501, 541-776-6401 - 100,000,000 ($100,000,000.00) Equity, (File 333-182913 - Jul. 27) (BR. 02C) S-8 TESARO, Inc., 1000 WINTER STREET, SUITE 3300, WALTHAM, MA, 02451, (339) 970-0900 - 0 ($3,795,000.00) Equity, (File 333-182915 - Jul. 27) (BR. 01A) S-8 TESARO, Inc., 1000 WINTER STREET, SUITE 3300, WALTHAM, MA, 02451, (339) 970-0900 - 0 ($26,370,754.80) Equity, (File 333-182916 - Jul. 27) (BR. 01A)
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 A123 SYSTEMS, INC. DE 5.02 07/23/12 ABIOMED INC DE 1.01,7.01 07/27/12 ACACIA RESEARCH CORP DE 8.01 07/26/12 ACCELLENT INC 5.02 07/24/12 ACCURIDE CORP DE 2.02,7.01,9.01 07/26/12 ACELRX PHARMACEUTICALS INC DE 5.07 07/24/12 ACRO INC. NV 2.01,9.01 07/27/12 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 07/27/12 AETHLON MEDICAL INC NV 5.02,5.03,9.01 07/24/12 AETRIUM INC MN 2.02,9.01 07/26/12 AGILYSYS INC OH 2.02,7.01,9.01 07/26/12 AKAMAI TECHNOLOGIES INC DE 5.02 07/25/12 ALLEGHENY TECHNOLOGIES INC DE 8.01 07/27/12 Alliance Holdings GP, L.P. DE 2.02,9.01 07/27/12 ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 07/27/12 Alon USA Energy, Inc. DE 1.01,5.02 07/20/12 Alpha Natural Resources, Inc. DE 1.04 07/25/12 ALST Casino Holdco, LLC DE 5.02 07/26/12 Altra Holdings, Inc. DE 2.02,9.01 07/27/12 AMARIN CORP PLC\UK X0 8.01,9.01 07/26/12 AMCOL INTERNATIONAL CORP DE 2.02,9.01 06/27/12 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01,9.01 07/26/12 AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,9.01 07/27/12 AMERICAN EAGLE OUTFITTERS INC DE 1.01,5.02,9.01 07/25/12 AMERICAN EXPRESS CREDIT CORP DE 9.01 06/12/12 AMEND American Mining Corp NV 5.02 07/25/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 1.01,2.01,2.03 07/26/12 American Realty Capital Trust III, In MD 2.03,9.01 07/26/12 AMERICAN REALTY INVESTORS INC NV 5.07 05/09/12 AMERICAN RESTAURANT CONCEPTS INC 4.02 07/18/12 AMEND American Standard Energy Corp. DE 1.01,2.03,3.02,9.01 07/23/12 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02,5.07,9.01 07/26/12 AMERICAS CARMART INC TX 5.02,9.01 11/13/09 AMEND AMKOR TECHNOLOGY INC DE 2.02,7.01,9.01 07/26/12 AMPCO PITTSBURGH CORP PA 2.02,9.01 07/27/12 AmREIT, Inc. MD 1.01,5.03,9.01 07/23/12 AMSCAN HOLDINGS INC DE 5.01,8.01,9.01 07/27/12 AMSCAN HOLDINGS INC DE 5.01,8.01,9.01 07/27/12 ANIXTER INTERNATIONAL INC DE 8.01 07/27/12 AnythingIT, Inc. DE 5.02,9.01 07/24/12 Aon plc X0 2.02,9.01 07/27/12 Approach Resources Inc DE 2.02,9.01 07/27/12 ARCH COAL INC DE 2.02,9.01 07/27/12 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 07/27/12 Armour Residential REIT, Inc. MD 1.01,5.03,8.01,9.01 07/27/12 ASHLAND INC. KY 8.01,9.01 07/27/12 ASURE SOFTWARE INC DE 5.02 07/27/12 ATMOS ENERGY CORP TX 7.01,9.01 07/27/12 AUTHENTEC INC DE 1.01,8.01,9.01 07/26/12 AUTOBYTEL INC DE 8.01,9.01 07/26/12 AV Homes, Inc. DE 5.07 07/24/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,2.03 07/27/12 AXESSTEL INC NV 5.07 07/26/12 Bacterin International Holdings, Inc. DE 7.01,9.01 07/27/12 Bank of Commerce Holdings CA 2.02,9.01 07/27/12 BARNES GROUP INC DE 2.02 07/27/12 BASIC ENERGY SERVICES INC 2.02,9.01 07/26/12 BE AEROSPACE INC DE 1.01,5.02,5.07,9.01 07/23/12 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 07/27/12 BELDEN INC. DE 1.01,9.01 07/23/12 BELO CORP DE 2.02,9.01 07/27/12 BENCHMARK ELECTRONICS INC TX 2.02,9.01 07/26/12 BEST BUY CO INC MN 7.01,9.01 07/27/12 BillMyParents, Inc. CO 1.01,5.02,9.01 07/23/12 BioDrain Medical, Inc. MN 5.02 07/22/12 BofI Holding, Inc. DE 7.01,9.01 07/27/12 Bridgepoint Education Inc DE 8.01 07/25/12 BROWN FORMAN CORP DE 2.02,5.02,5.07,7.01, 07/26/12 9.01 BRYN MAWR BANK CORP PA 7.01,9.01 07/27/12 BSB Bancorp, Inc. MD 1.04,9.01 07/26/12 CALPINE CORP DE 2.02,9.01 06/27/12 CAMAC Energy Inc. DE 1.01,7.01,9.01 07/23/12 CAMCO FINANCIAL CORP DE 2.02,9.01 07/27/12 Car Charging Group, Inc. NV 8.01,9.01 07/17/12 CARROLLTON BANCORP MD 2.02,8.01,9.01 07/27/12 Cascade Springs Ltd. NV 2.01 07/27/12 CATERPILLAR INC DE 8.01,9.01 07/27/12 CATERPILLAR INC DE 8.01,9.01 07/27/12 AMEND CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 07/26/12 CC Media Holdings Inc 5.02,9.01 01/20/12 AMEND CELL THERAPEUTICS INC WA 5.02 07/25/12 CENTER BANCORP INC NJ 2.02,9.01 07/26/12 CenterState Banks, Inc. FL 5.02,9.01 07/27/12 ChemoCentryx, Inc. DE 5.02 07/24/12 Cheviot Financial Corp. MD 2.02,9.01 07/27/12 CHEVRON CORP DE 2.02 07/27/12 Chile Mining Technologies Inc. NV 8.01 07/27/12 CHINA RECYCLING ENERGY CORP 1.01 07/24/12 CHOICEONE FINANCIAL SERVICES INC MI 2.02,9.01 07/27/12 CHUY'S HOLDINGS, INC. DE 5.03,9.01 07/27/12 CINTAS CORP WA 5.02,9.01 07/24/12 CLEAR CHANNEL COMMUNICATIONS INC TX 5.02,9.01 01/20/12 AMEND Clear Channel Outdoor Holdings, Inc. DE 5.02,9.01 01/20/12 AMEND CLEARONE COMMUNICATIONS INC UT 4.01,9.01 07/23/12 CNL Healthcare Trust, Inc. MD 1.01,5.02 07/27/12 COBRA ELECTRONICS CORP DE 2.02,9.01 07/27/12 COCA COLA CO DE 5.03,9.01 07/27/12 Colfax CORP DE 2.02,9.01 07/27/12 COMMERCIAL NATIONAL FINANCIAL CORP /P PA 2.02 07/27/12 Community Bankers Trust Corp DE 2.02,9.01 07/27/12 COMPUWARE CORP MI 2.02,9.01 07/24/12 COMSCORE, INC. DE 5.07 07/24/12 COVENTRY HEALTH CARE INC DE 2.02,9.01 07/27/12 CROWN DYNAMICS CORP DE 1.01,3.02,5.06,9.01 01/18/12 AMEND CROWN MEDIA HOLDINGS INC DE 2.02,9.01 07/27/12 CTPARTNERS EXECUTIVE SEARCH INC. DE 5.03,9.01 07/25/12 CVR ENERGY INC DE 5.02,9.01 07/23/12 CVR PARTNERS, LP DE 5.02,9.01 07/27/12 DAKOTA PLAINS HOLDINGS, INC. NV 1.01,2.01,3.02,5.01, 03/22/12 AMEND 5.02,5.03,9.01 DATARAM CORP NJ 2.02,9.01 07/27/12 DecisionPoint Systems, Inc. 1.01,5.02,9.01 07/23/12 Destination Maternity Corp DE 2.02,9.01 07/26/12 DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 07/27/12 DIGAGOGO VENTURES CORP DE 5.02 07/23/12 Diversified Resources Inc. NV 5.01,5.02,8.01 07/25/12 Domtar CORP DE 2.02,9.01 07/27/12 DONALDSON CO INC DE 8.01,9.01 07/27/12 DONEGAL GROUP INC DE 2.02,9.01 07/27/12 DTE ENERGY CO MI 2.02,7.01,9.01 07/27/12 Duke Energy CORP DE 5.02,9.01 07/27/12 Dynastar Holdings, Inc. NV 1.01 07/23/12 Ecologic Transportation, Inc. 1.01 07/27/12 EDUCATION MANAGEMENT CORPORATION 5.02,9.01 07/27/12 ELECTRONIC ARTS INC. DE 5.07,9.01 07/26/12 ELRAY RESOURCES, INC. NV 1.01 07/27/12 EMPIRE DISTRICT ELECTRIC CO KS 8.01 07/26/12 EMPIRE GLOBAL CORP. DE 4.01,8.01,9.01 07/23/12 AMEND Emrise CORP DE 5.07,8.01 07/27/12 ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,7.01,9.01 07/26/12 ENTRAVISION COMMUNICATIONS CORP DE 5.02 07/26/12 EVANS BANCORP INC NY 2.02,9.01 07/26/12 EXACT SCIENCES CORP DE 5.07 07/26/12 EXELON CORP PA 8.01,9.01 07/27/12 Exterra Energy Inc. NV 7.01,9.01 07/20/12 Federal Home Loan Bank of Chicago X1 2.02,7.01,9.01 07/27/12 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 07/26/12 FIDELITY D & D BANCORP INC PA 2.02,9.01 07/27/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 2.02,9.01 07/26/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 2.02,7.01,8.01,9.01 07/25/12 FIRST DEFIANCE FINANCIAL CORP OH 5.03,9.01 07/23/12 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 07/27/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 07/26/12 FIRST POTOMAC REALTY TRUST MD 2.02,5.02,7.01,9.01 07/23/12 Firsthand Technology Value Fund, Inc. 5.07 07/27/12 FLUSHING FINANCIAL CORP DE 7.01,9.01 07/27/12 FORUM ENERGY TECHNOLOGIES, INC. DE 2.02,9.01 07/26/12 FORUM ENERGY TECHNOLOGIES, INC. DE 1.01,2.03,9.01 07/27/12 Fox Chase Bancorp Inc 2.02,9.01 07/25/12 FREDERICK COUNTY BANCORP INC MD 5.02,7.01,9.01 07/23/12 FREQUENCY ELECTRONICS INC DE 1.01,9.01 02/21/12 AMEND FSP 50 South Tenth Street Corp 1.01,2.03,9.01 07/27/12 GameStop Corp. DE 5.02,9.01 07/26/12 GE Dealer Floorplan Master Note Trust DE 1.01,9.01 07/25/12 GE Dealer Floorplan Master Note Trust DE 8.01,9.01 07/25/12 GENERAL ELECTRIC CAPITAL CORP CT 3.03,8.01,9.01 07/25/12 GENTA INC DE/ DE 4.02 07/24/12 Georgia-Carolina Bancshares, Inc GA 7.01,9.01 07/27/12 GIGA TRONICS INC CA 8.01,9.01 07/27/12 Graystone Co DE 3.02 06/25/12 GREENMAN TECHNOLOGIES INC DE 5.07 07/23/12 Griffin-American Healthcare REIT II, MD 1.01,2.03,9.01 06/05/12 AMEND Guidance Software, Inc. DE 1.01,9.01 07/26/12 GULF ISLAND FABRICATION INC LA 2.02,9.01 07/26/12 GULF ISLAND FABRICATION INC LA 8.01,9.01 07/26/12 GULF ISLAND FABRICATION INC LA 5.02 07/26/12 GYMBOREE CORP DE 5.02 07/24/12 HANMI FINANCIAL CORP DE 5.07 07/26/12 HELMERICH & PAYNE INC DE 2.02,9.01 07/27/12 HERCULES OFFSHORE, INC. DE 2.02,9.01 07/27/12 HMN FINANCIAL INC DE 2.02,9.01 07/20/12 HMS HOLDINGS CORP 2.02,9.01 07/27/12 Home Federal Bancorp, Inc. MD 2.02,9.01 07/27/12 HomeStreet, Inc. WA 5.02,9.01 07/26/12 HOPFED BANCORP INC DE 2.02,9.01 07/26/12 Horizon Lines, Inc. 5.02,9.01 07/25/12 HORTON D R INC /DE/ DE 2.02,9.01 07/27/12 HOST HOTELS & RESORTS, INC. MD 8.01,9.01 01/01/11 AMEND HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 07/27/12 HPIL HOLDING NV 8.01,9.01 07/27/12 AMEND HSBC USA INC /MD/ MD 9.01 07/27/12 ICAHN ENTERPRISES L.P. DE 1.01,9.01 07/24/12 ICON ECI FUND FIFTEEN, L.P. DE 8.01 07/27/12 ICON Equipment & Corporate Infrastruc DE 8.01 07/27/12 ICON LEASING FUND TWELVE, LLC DE 8.01 07/27/12 ICONIX BRAND GROUP, INC. DE 2.02,9.01 07/25/12 IMPAC MORTGAGE HOLDINGS INC MD 5.07,7.01 07/24/12 Imprimis Pharmaceuticals, Inc. DE 1.01,5.02 07/24/12 INCOME OPPORTUNITY REALTY INVESTORS I NV 5.07 05/09/12 INERGY L P DE 1.01,2.03,9.01 07/26/12 INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 07/25/12 Integrated Freight Systems, Inc. FL 5.02,9.01 04/12/12 INTER PARFUMS INC DE 2.02 07/26/12 INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 07/26/12 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 07/25/12 INTERPHASE CORP TX 2.02,9.01 07/26/12 INTUIT INC DE 5.02,8.01,9.01 07/24/12 IO World Media, Inc FL 3.03 07/26/12 Islet Sciences, Inc NV 1.01,9.01 07/23/12 ISTAR FINANCIAL INC MD 2.02,9.01 07/27/12 ITRONICS INC TX 8.01 07/17/12 AMEND J2 GLOBAL, INC. DE 1.01,2.03,8.01,9.01 07/26/12 JARDEN CORP DE 1.01,5.02,9.01 07/23/12 JPMORGAN CHASE & CO DE 5.02 07/27/12 KAYAK SOFTWARE Corp 3.02 07/25/12 KAYDON CORP DE 2.02,9.01 07/27/12 KEMET CORP DE 5.07 07/26/12 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 07/27/12 KEY ENERGY SERVICES INC MD 2.02,9.01 07/26/12 KEY TECHNOLOGY INC OR 2.02,9.01 07/26/12 KEY TECHNOLOGY INC OR 5.02 07/27/12 KKR & Co. L.P. DE 2.02,9.01 07/27/12 KRANEM CORP CO 1.01,2.01,3.02,4.01, 07/27/12 AMEND 5.01,5.02,5.06,9.01 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 9.01 07/24/12 AMEND KRONOS WORLDWIDE INC 7.01,9.01 07/26/12 KVH INDUSTRIES INC \DE\ DE 2.02,9.01 07/27/12 LACLEDE GROUP INC MO 2.02,7.01,9.01 07/27/12 Lake Shore Bancorp, Inc. X1 8.01 07/25/12 LAKELAND BANCORP INC NJ 7.01,9.01 07/27/12 LaPorte Bancorp, Inc. X1 2.02,9.01 07/27/12 LEE ENTERPRISES, INC DE 5.02 07/23/12 LEGG MASON, INC. MD 2.02,9.01 07/27/12 Liberty Global, Inc. DE 7.01 07/27/12 Liberty Interactive Corp 8.01,9.01 07/25/12 Liberty Media Corp DE 7.01,9.01 07/25/12 Liberty Media Corp DE 7.01,9.01 07/25/12 AMEND LIFEPOINT HOSPITALS, INC. 2.02,9.01 07/27/12 Location Based Technologies, Inc. NV 8.01,9.01 07/24/12 LyondellBasell Industries N.V. P7 2.02,7.01,9.01 07/27/12 MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 07/27/12 MAGELLAN MIDSTREAM PARTNERS LP DE 7.01,8.01,9.01 07/26/12 MAJIC WHEELS CORP 1.01,2.03,9.01 07/24/12 MATERION Corp 2.02,9.01 07/27/12 MCCLATCHY CO DE 9.01 07/27/12 MCKESSON CORP DE 5.07 07/25/12 MEDALLION FINANCIAL CORP DE 5.02 07/26/12 MEDALLION FINANCIAL CORP DE 5.07 07/26/12 AMEND Medical Care Technologies Inc. NV 1.01,1.02,2.03,2.04, 06/12/12 3.02,9.01 MEDISWIPE INC. DE 4.02 07/25/07 AMEND MERCHANTS BANCSHARES INC DE 7.01,9.01 07/25/12 Merck & Co. Inc. NJ 2.02,9.01 07/27/12 MERISEL INC /DE/ DE 5.02 07/27/12 MESA LABORATORIES INC /CO CO 9.01 05/15/12 AMEND METLIFE INC DE 5.02,9.01 07/23/12 MetroCorp Bancshares, Inc. TX 1.02 07/20/12 MIDDLEFIELD BANC CORP OH 2.02,9.01 07/26/12 MILLER ENERGY RESOURCES, INC. TN 5.02,7.01,9.01 07/26/12 ML MACADAMIA ORCHARDS L P DE 1.01 07/23/12 MONARCH CASINO & RESORT INC NV 2.02,9.01 07/26/12 Monotype Imaging Holdings Inc. DE 2.02,5.02,8.01,9.01 07/25/12 MOOG INC NY 2.02,9.01 07/27/12 MUELLER INDUSTRIES INC DE 8.01,9.01 07/27/12 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 07/20/12 NET TALK.COM, INC. FL 3.02,5.02,9.01 07/25/12 NEULION, INC. 1.01,9.01 07/23/12 Neuralstem, Inc. DE 5.02,8.01,9.01 07/25/12 NEWELL RUBBERMAID INC DE 2.02,9.01 07/27/12 NEWMONT MINING CORP /DE/ DE 2.02,9.01 07/26/12 NEWPARK RESOURCES INC DE 2.02,9.01 07/26/12 NEWS CORP 8.01,9.01 07/27/12 NEXTERA ENERGY INC FL 5.02 07/26/12 NII HOLDINGS INC DE 5.02 07/25/12 NORTHEAST BANCORP /ME/ ME 8.01 06/30/12 NORTHRIDGE VENTURES INC. 5.02 07/25/12 NORTHRIDGE VENTURES INC. 5.02 07/25/12 AMEND NOVAGEN SOLAR INC. NV 1.01 06/24/12 NuStar Energy L.P. DE 2.02,9.01 07/27/12 NuStar GP Holdings, LLC DE 2.02,9.01 07/27/12 Nutrastar International Inc. NV 5.07,9.01 07/27/12 NV ENERGY, INC. NV 2.02,7.01,9.01 07/27/12 OCLARO, INC. DE 2.01,5.02,5.07,7.01, 07/23/12 9.01 Oconee Federal Financial Corp. 8.01,9.01 07/26/12 OHIO VALLEY BANC CORP OH 2.02,9.01 06/30/12 OLD LINE BANCSHARES INC MD 2.02,9.01 07/26/12 OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 07/26/12 OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 07/27/12 OmniAmerican Bancorp, Inc. MD 2.02,9.01 07/27/12 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 07/27/12 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 07/27/12 ONEOK INC /NEW/ OK 7.01,8.01,9.01 07/27/12 ONEOK Partners LP DE 7.01,8.01,9.01 07/27/12 Opera Jet International Ltd DE 2.01,3.02,5.06,9.01 02/06/12 AMEND OPNEXT INC 2.01,3.01,3.03,5.01, 07/23/12 5.02,5.03,9.01 ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 07/26/12 ORRSTOWN FINANCIAL SERVICES INC PA 5.02 07/26/12 Oxford Resource Partners LP DE 7.01,9.01 07/27/12 P&F INDUSTRIES INC DE 1.01,9.01 07/24/12 PALMETTO BANCSHARES INC SC 2.02,9.01 07/27/12 PARK ELECTROCHEMICAL CORP NY 5.07 07/24/12 PARKE BANCORP, INC. NJ 2.02,9.01 07/27/12 PATRIOT SCIENTIFIC CORP DE 8.01,9.01 07/24/12 Pazoo, Inc. 3.02,7.01,9.01 07/27/12 PediatRx Inc. NV 1.01,2.03,9.01 07/25/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 5.02 07/24/12 PENSON WORLDWIDE INC DE 3.01,5.02 07/24/12 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 07/27/12 PEOPLES FINANCIAL CORP /MS/ MS 8.01,9.01 07/27/12 PEP BOYS MANNY MOE & JACK PA 7.01,9.01 07/27/12 PHOTOTRON HOLDINGS, INC. DE 1.01,2.01,2.03,9.01 07/23/12 PILGRIMS PRIDE CORP DE 2.02,9.01 07/27/12 PILGRIMS PRIDE CORP DE 7.01 07/27/12 POKERTEK, INC. NC 1.01,9.01 07/23/12 PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 07/27/12 PREMIER HOLDING CORP. NV 5.02 07/27/12 PRIME GLOBAL CAPITAL GROUP Inc NV 2.01,9.01 07/26/12 PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 07/26/12 PROSPERITY BANCSHARES INC TX 2.02,9.01 07/27/12 PROVIDENCE SERVICE CORP DE 2.02,5.02,7.01,9.01 07/25/12 PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 07/27/12 PSB HOLDINGS INC /WI/ WI 2.02,9.01 07/27/12 Public Storage MD 5.02 07/27/12 RBC LIFE SCIENCES, INC. DE 5.02 07/24/12 Reliance Bancshares, Inc. MO 2.02,9.01 07/27/12 RESPONSE BIOMEDICAL CORP A1 5.02,8.01,9.01 07/25/12 RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 07/27/12 RICKS CABARET INTERNATIONAL INC TX 5.02,9.01 07/23/12 RIMAGE CORP MN 2.02,8.01,9.01 07/26/12 RIVERVIEW BANCORP INC WA 2.02,9.01 07/25/12 Roebling Financial Corp, Inc. 1.01,1.02,9.01 07/23/12 ROWAN COMPANIES PLC X0 5.07,8.01 07/25/12 ROYAL GOLD INC DE 8.01,9.01 07/26/12 Ruths Hospitality Group, Inc. DE 2.02,9.01 07/27/12 SAIA INC DE 2.02,9.01 07/27/12 SBA COMMUNICATIONS CORP FL 8.01,9.01 07/27/12 SCBT FINANCIAL CORP SC 2.02,9.01 07/27/12 SCBT FINANCIAL CORP SC 5.02,9.01 07/26/12 SCIQUEST INC DE 1.01,9.01 07/24/12 SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 07/27/12 SEMTECH CORP DE 5.02 07/25/12 SIGNET JEWELERS LTD 5.02,9.01 07/25/12 SILGAN HOLDINGS INC DE 2.02,9.01 07/25/12 SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,9.01 07/26/12 SIMULATIONS PLUS INC 7.01,9.01 07/27/12 SKYLINE CORP IN 2.02,9.01 07/27/12 SMITH & WESSON HOLDING CORP NV 8.01,9.01 07/26/12 Solar Power, Inc. CA 5.02 07/24/12 Solera National Bancorp, Inc. DE 5.02 07/26/12 SONIC AUTOMOTIVE INC DE 8.01,9.01 07/27/12 SOUTHERN MICHIGAN BANCORP INC MI 2.02,9.01 07/27/12 STANDARD REGISTER CO OH 2.02,9.01 07/27/12 STERLING BANCORP NY 7.01,9.01 07/25/12 SUNPEAKS VENTURES, INC. NV 1.01,2.01,3.02,5.01, 02/13/12 AMEND 5.02,5.03,5.06,8.01, 9.01 SUPERMEDIA INC. DE 2.02,7.01,9.01 07/27/12 SURREY BANCORP NC 7.01,9.01 07/27/12 Target Acquisitions I, Inc. DE 2.01,3.02,5.01,5.06, 09/30/11 AMEND 9.01 TELECOMMUNICATION SYSTEMS INC /FA/ MD 2.02,9.01 07/26/12 TELEDYNE TECHNOLOGIES INC DE 5.02,9.01 07/24/12 TELLABS INC DE 2.02,8.01,9.01 07/26/12 TERADATA CORP /DE/ 5.02,9.01 07/24/12 TEREX CORP DE 2.02,9.01 07/26/12 Terreno Realty Corp MD 9.01 05/30/12 AMEND Terreno Realty Corp MD 9.01 07/03/12 AMEND TESSCO TECHNOLOGIES INC DE 5.07 07/26/12 TEXAS CAPITAL BANCSHARES INC/TX 1.01,8.01,9.01 07/27/12 TEXAS CAPITAL BANCSHARES INC/TX 5.02 07/24/12 TIFFANY & CO DE 1.01,2.03,9.01 07/26/12 TRANSCONTINENTAL REALTY INVESTORS INC NV 5.07 05/09/12 TRI COUNTY FINANCIAL CORP /MD/ MD 2.02,9.01 07/25/12 TRICO BANCSHARES / CA 8.01,9.01 07/27/12 UMH PROPERTIES, INC. MD 7.01,9.01 07/27/12 UMPQUA HOLDINGS CORP OR 7.01,9.01 07/27/12 UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 07/27/12 UNITED BANCORP INC /MI/ MI 2.02,7.01,9.01 07/27/12 UNITED BANCORP INC /OH/ OH 2.02,9.01 07/24/12 United Community Bancorp X1 8.01,9.01 07/26/12 United States 12 Month Natural Gas Fu 7.01,9.01 07/27/12 United States 12 Month Oil Fund, LP 7.01,9.01 07/27/12 United States Brent Oil Fund, LP DE 7.01,9.01 07/27/12 United States Commodity Index Funds T DE 7.01,9.01 07/27/12 United States Gasoline Fund, LP DE 7.01,9.01 07/27/12 United States Heating Oil Fund, LP DE 7.01,9.01 07/27/12 UNITED STATES LIME & MINERALS INC TX 2.02,9.01 07/27/12 United States Natural Gas Fund, LP 7.01,9.01 07/27/12 United States Oil Fund, LP DE 7.01,9.01 07/27/12 United States Short Oil Fund, LP DE 7.01,9.01 07/27/12 UNIVERSAL DISPLAY CORP \PA\ PA 1.01,2.01,9.01 07/23/12 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 07/26/12 VERISIGN INC/CA DE 2.02,9.01 07/26/12 VIAD CORP DE 2.02,9.01 07/27/12 VIKING INVESTMENTS GROUP, INC. NV 8.01,9.01 07/23/12 VISTAPRINT N.V. P7 2.02,9.01 07/26/12 AMEND Vulcan Materials CO NJ 2.02,9.01 07/26/12 WABCO Holdings Inc. DE 2.02,7.01,9.01 07/27/12 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,8.01,9.01 07/26/12 Weatherford International Ltd./Switze V8 2.02,7.01 07/24/12 WEBSTER FINANCIAL CORP DE 5.02,9.01 07/27/12 WEST BANCORPORATION INC IA 2.02,9.01 07/26/12 WESTMORELAND COAL Co DE 5.02,9.01 07/27/12 WEYERHAEUSER CO WA 2.02,9.01 07/26/12 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 07/27/12 WILLIAMS SONOMA INC CA 5.02,9.01 07/27/12 WisdomTree Investments, Inc. DE 5.02,5.07 07/24/12 WisdomTree Investments, Inc. DE 2.02,9.01 07/27/12 WMI HOLDINGS CORP. WA 8.01,9.01 07/27/12 XPLORE TECHNOLOGIES CORP DE 8.01,9.01 07/26/12 YAHOO INC DE 2.05 04/04/12 AMEND ZALE CORP DE 1.01,2.03,9.01 07/24/12