Closed Meeting on Wednesday, August 22, 2012 at 2:00 p.m. and Thursday, August 23, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, August 23, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
On August 14, 2012, 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. The Order alleges that on February 28, 2012, a final judgment was entered against Stanley C. Brooks (Brooks) and Brookstreet Securities Corp. (Brookstreet), permanently enjoining them from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Brookstreet Securities Corp. and Stanley C. Brooks, Civil Action Number SA 8:09-cv-1431-DOC (ANx), in the United States District Court for the Central District of California.
The Order alleges that the Commission’s complaint in the civil action alleges that from 2004 through 2007, Brookstreet and Brooks committed securities fraud involving the sale of unsuitable Collateralized Mortgage Obligations (“CMOs”) to retail customers. The complaint also alleges that Brooks helped create, promote and facilitate an investment program, the “CMO Program,” through which Brookstreet and its registered representatives improperly sold risky, illiquid CMOs to retail customers with conservative investment goals, including retirees. The complaint further alleges that more than 1,000 Brookstreet customers invested about $300 million through the CMO Program.
A public hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Brooks and Brookstreet an opportunity to respond to the allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the order. (Rels. 34-67658; IA-3444; File No. 3-14983)
In the Matter of Omar Ali Rizvi
On August 15, 2012, 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 and Notice of Hearing against Omar Ali Rizvi (Order). The Order is based on the entry of a permanent injunction against Rizvi in the civil action entitled Securities and Exchange Commission v. Omar Ali Rizvi, et al., Civil Action Number 8:10-cv-01632-JVS -FFM, in the United States District Court for the Central District of California.
In the Order, the Division of Enforcement (Division) alleges that, on July 24, 2012, a judgment was entered against Rizvi, permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Division of Enforcement alleges that the Commission’s complaint alleged, among other things, that Rizvi offered and sold Bellwether securities in an unregistered securities offering that raised more than $1.8 million from investors throughout the United States and that, in the offering, Rizvi misrepresented to investors material facts regarding, among other things, Bellwether’s status as a business development company and the persons who managed Bellwether. The Division alleges that, at the time of the misconduct underlying the permanent injunction, Rizvi was associated with a broker and an investment adviser.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Rizvi an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest, pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940. (Rels. 34-67661; IA-3445; File No. 3-14984)
In the Matter of Jason R. Hyatt
On August 15, 2012, 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 (Advisers Act) Making Findings, and Imposing Remedial Sanctions (Order) against Jason R. Hyatt (Hyatt) based upon the entry of a Permanent Injunction against him in the United States District Court for the Northern District of Illinois (SEC v. Hyatt, et al., Case No: 08-cv-2224).
The Order finds that Hyatt, along with his partner Jay D. Johnson (Johnson), was a managing member and principal of Hyatt Johnson Capital, LLC (HJ Capital), which, from 2003 through 2008, acted as an unregistered investment adviser in connection with at least ten Limited Liability Corporations (LLCs) controlled and managed by HJ Capital (HJ Capital LLCs). During that time period, Hyatt and HJ Capital also acted as unregistered broker-dealers in connection with the HJ Capital LLCs’ purchases of securities offered by BCI Aircraft Leasing, Inc.
The Commission’s complaint in the above captioned matter alleged that, in connection with the sale of these HJ Capital LLC interests, Hyatt misappropriated at least $3.6 million in investor funds for, among other things, the operation of a Latin-themed restaurant in Chicago and Hyatt’s personal expenses including numerous mortgage payments and substantial home improvements for two homes, as well as art and antiques and luxury automobiles. The complaint also alleged that Hyatt received and diverted nearly $1.8 million in undisclosed commissions in connection with the HJ Capital LLCs’ purchases of securities offered by BCI Aircraft Leasing, Inc.
On June 4, 2012, a partial final judgment was entered by consent against Hyatt, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act.
Based on the above, Respondent Jason R. Hyatt consented to an order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rels. 34-67662; IA-3446; File No. 3-14985)
SEC Halts Denver-Based Ponzi Scheme
The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against Bridge Premium Finance LLC, Michael J. Turnock, and William P. Sullivan, II, for allegedly perpetrating a Ponzi scheme. Bridge Premium is based in Denver, Colorado. Turnock resides in Denver, Colorado, and Sullivan resides in Highlands Ranch, Colorado.
According to the SEC’s complaint filed yesterday in federal court in Denver, Bridge Premium raised at least $15.7 million from more than 100 promissory note investors nationwide by promising annual returns of up 12 percent. Turnock and Sullivan represented that investor funds would be used to make loans to small businesses to pay their up-front, annual commercial insurance premiums. They also told investors that Bridge Premium’s business was performing well, and that their funds were “100% Protected” through various forms of collateral on the underlying loans.
However, the SEC alleges that in fact, since at least 2002, Bridge Premium has paid investor returns with funds from other investors because Bridge Premium’s business has been unprofitable and its obligations to noteholders have far exceeded its total assets. Because most funds were diverted for Ponzi payments, any collateral available on Bridge Premium’s underlying loan portfolio will only protect a small fraction of its promissory note investors. Bridge Premium’s offering was not registered with the SEC as required under the federal securities laws.
The Complaint alleges that, based on this conduct, Bridge Premium and Turnock violated Sections 5(a), 5(c) and 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, or in the alternative, Turnock is liable as a control person under Section 20(a) of the Exchange Act for Bridge Premium’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Complaint alleges that Sullivan violated Section 17(a)(1) and (3) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5(a) and (c) thereunder, or in the alternative, he is liable for aiding and abetting Turnock’s and Bridge Premium’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. On the Commission’s motion, the Court issued a Temporary Restraining Order, Asset Freeze, Other Equitable Relief, and Order Setting Preliminary Injunction Hearing (Order) on August 14, 2012. Among other things, the Court’s Order froze the assets of Bridge Premium, Turnock, and Sullivan derived from the scheme alleged in the Complaint, pending resolution of the Commission’s Motion for a Preliminary Injunction. [SEC v. Bridge Premium Finance, LLC, Michael J. Turnock and William P. Sullivan, II, Defendants, (United States District Court for the District of Colorado, Civil Action No. 1:12-cv-02131-JLK)] (LR-22449)
IndexIQ Advisors LLC and IndexIQ Active ETF Trust
A notice has been issued giving interested persons until September 7, 2012, to request a hearing on an application filed by IndexIQ Advisors LLC and IndexIQ Active ETF Trust, for an order to permit: (a) actively managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30166 - August 13)
LoCorr Fund Management, LLC and LoCorr Investment Trust
A notice has been issued giving interested persons until September 10, 2012, to request a hearing on an application filed by LoCorr Fund Management, LLC and LoCorr Investment Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940, as amended (the “Act”), and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. ((Rel. IC-30168 - August 14)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-077) to delay the implementation date of changes to Market-Makers’ continuous quoting obligations 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 August 13. (Rel. 34-67644)
A proposed rule change submitted by National Stock Exchange, Inc. (SR-NSX-2012-12) to modify the text of NSX Rule 11.15 to clarify the manner in which certain orders are routed by the Exchange to other market centers 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 August 13. (Rel. 34-67647)
A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31 to specify how MPL Orders with ALO Order instructions may interact (SR-NYSEArca-2012-83) 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 August 13. (Rel. 34-67652)
A proposed rule change filed by BATS Y-Exchange, Inc. to amend rules related to the BATS-Y Price Sliding Functionality (SR-BYX-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 August 13. (Rel. 34-67656)
A proposed rule change filed by BATS Exchange, Inc. to amend rules related to the BATS Price Sliding Functionality (SR-BATS-2012-035) 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 August 13. (Rel. 34-67657)
Approval of Proposed Rule Change
The Commission approved a proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-81) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder with respect to the authority of the Exchange or NASDAQ Execution Services to cancel orders when a technical or systems issue occurs on the Exchange’s NASDAQ OMX PSX facility and to describe the operation of an error account for NES. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67654)
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change
The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-059) to establish “Benchmark Orders” under NASDAQ Rule 4751(f). Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67655)
Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information
The Options Price Reporting Authority filed with the Securities and Exchange Commission a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2012-04) to amend the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to implement a new fee for “Non-Display Applications”. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67648)
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-3 GreenHunter Energy, Inc., 1048 TEXAN TRAIL, GRAPEVINE, TX, 76051, 972-410-1044 - 18,922,709 ($38,413,099.27) Other, 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-183292 - Aug. 14) (BR. 06B) S-8 ANDAIN, INC., 350 S. CENTER STREET, SUITE 500, RENO, NV, 89501, 775-333-5997 - 5,730 ($500,000.00) Equity, (File 333-183293 - Aug. 14) (BR. 01B) S-8 VimpelCom Ltd., SOM 2 BLD., FLOOR 2, CLAUDE DEBUSSYLAAN 15, AMSTERDAM, P7, 1082 MC, 31 20 79 77 200 - 1,000,000 ($9,010,000.00) Other, (File 333-183294 - Aug. 14) (BR. 11C) S-1 SAFETY-KLEEN, INC, 5360 LEGACY DRIVE, BUILDING 2, SUITE 100, PLANO, TX, 75024, 972-265-2000 - 0 ($400,000,000.00) Equity, (File 333-183295 - Aug. 14) (BR. 06B) S-8 CYBEROPTICS CORP, 5900 GOLDEN HILLS DR, MINNEAPOLIS, MN, 55416, 6125425000 - 350,000 ($2,164,768.00) Equity, (File 333-183296 - Aug. 14) (BR. 10A) S-8 Start Scientific, Inc., 11650 SOUTH STATE STREET, SUITE 240, DRAPER, UT, 84020, 801-816-2560 - 20,000,000 ($8,000,000.00) Equity, (File 333-183297 - Aug. 14) (BR. 03A) S-8 CROWN CRAFTS INC, 916 SOUTH BURNSIDE AVENUE, GONZALES, LA, 70737, 225-647-9100 - 1,175,000 ($6,491,875.00) Equity, (File 333-183298 - Aug. 14) (BR. 02B) S-8 Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO, OR, 97034, 855 855 GALE - 0 ($9,164,871.58) Equity, (File 333-183300 - Aug. 14) (BR. 01B) S-3 BIOMIMETIC THERAPEUTICS, INC., 389-A NICHOL MILL LANE, FRANKLIN, TN, 37067, 615 844 1280 - 0 ($150,000,000.00) Equity, (File 333-183308 - Aug. 14) (BR. 10A) S-1 Homie Recipes, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 775-321-8225 - 4,000,000 ($100,000.00) Equity, (File 333-183310 - Aug. 14) (BR. ) S-8 INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610, 312-642-3700 - 900,000 ($10,858,500.00) Equity, (File 333-183311 - Aug. 14) (BR. 05B) S-8 GUIDED THERAPEUTICS INC, 4955 AVALON RIDGE PKWY, SUITE 300, NORCROSS, GA, 30071, 7702428723 - 5,000,000 ($4,225,000.00) Other, (File 333-183312 - Aug. 14) (BR. 10A) S-3 EnteroMedics Inc, 2800 Patton Rd, St Paul, MN, 55113, 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-183313 - Aug. 14) (BR. 10A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ABIOMED INC DE 5.07 08/08/12 ACCENTIA BIOPHARMACEUTICALS INC FL 7.01,8.01,9.01 08/14/12 ACL I Corp DE 4.02 08/13/12 Advanced BioEnergy, LLC DE 8.01,9.01 08/09/12 Aegion Corp DE 7.01,9.01 08/14/12 Affinity Gaming, LLC NV 2.02,9.01 08/14/12 AGY Holding Corp. DE 2.02,9.01 08/14/12 ALASKA AIR GROUP, INC. DE 7.01,9.01 08/13/12 ALASKA PACIFIC BANCSHARES INC AK 1.02,9.01 08/08/12 ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 08/14/12 ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,9.01 08/14/12 Alta Mesa Holdings, LP TX 2.02,5.02,9.01 08/14/12 AMERICAN APPAREL, INC DE 2.02,9.01 08/13/12 AMERICAN DG ENERGY INC DE 2.02,9.01 08/14/12 AMERICAN SIERRA GOLD CORP. NV 1.01,9.01 08/13/12 AMREP CORP. OK 1.01,2.03 08/13/12 Anchor Bancorp WA 2.02,9.01 08/13/12 ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 08/14/12 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 08/14/12 APD ANTIQUITIES, INC. NV 1.01,9.01 08/06/12 Apple REIT Eight, Inc. VA 2.02,9.01 08/14/12 Apple REIT Nine, Inc. VA 2.02,9.01 08/14/12 Apple REIT Seven, Inc. VA 2.02,9.01 08/14/12 APPLE REIT SIX INC 2.02,9.01 08/14/12 Applied Minerals, Inc. DE 4.02 08/09/12 Ares Commercial Real Estate Corp MD 2.02,9.01 08/14/12 AROTECH CORP DE 2.02,5.07,9.01 08/13/12 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 08/14/12 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 08/14/12 ASSOCIATED BANC-CORP WI 7.01,9.01 08/14/12 ASTEA INTERNATIONAL INC DE 2.02,9.01 08/14/12 ASURE SOFTWARE INC DE 2.02,9.01 08/14/12 Atlantic Coast Financial CORP MD 1.01,9.01 08/10/12 Atlas Financial Holdings, Inc. E9 8.01,9.01 08/14/12 AURORA DIAGNOSTICS HOLDINGS LLC 5.02,8.01,9.01 08/14/12 AVIV REIT, INC. MD 2.02,9.01 08/14/12 AZTEC OIL & GAS, INC. NV 5.03,5.07,7.01 08/10/12 BALLY TECHNOLOGIES, INC. NV 2.02,9.01 08/09/12 BANCORPSOUTH INC MS 7.01,9.01 08/14/12 Bank of New York Mellon CORP DE 7.01 08/14/12 BB&T CORP NC 8.01,9.01 08/14/12 BIGLARI HOLDINGS INC. IN 5.02 08/14/12 BIMINI CAPITAL MANAGEMENT, INC. MD 2.01,9.01 08/13/12 BIOANALYTICAL SYSTEMS INC IN 2.02,9.01 08/14/12 BIOVEST INTERNATIONAL INC DE 7.01,8.01,9.01 08/14/12 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 08/14/12 Blackstone Group L.P. DE 8.01,9.01 08/14/12 BLONDER TONGUE LABORATORIES INC DE 2.02,9.01 08/14/12 BLUE DOLPHIN ENERGY CO DE 2.02,9.01 08/14/12 BLUEFLY INC DE 2.02,9.01 08/14/12 BOB EVANS FARMS INC DE 2.02,8.01,9.01 08/14/12 BofI Holding, Inc. DE 7.01,9.01 08/14/12 Bridgeline Digital, Inc. DE 2.02,9.01 08/14/12 BRIGHTCOVE INC DE 2.01,9.01 08/14/12 BROADCAST INTERNATIONAL INC UT 8.01 08/13/12 BROADCOM CORP CA 8.01,9.01 08/13/12 CACHE INC FL 2.02,9.01 08/14/12 CalAmp Corp. DE 8.01 08/02/12 CAMBREX CORP DE 7.01,9.01 08/14/12 CAMBRIDGE HEART INC DE 2.02,8.01,9.01 06/30/12 CARDINAL FINANCIAL CORP VA 7.01,9.01 08/14/12 CASCADE BANCORP OR 8.01 08/14/12 CASCADE BANCORP OR 8.01,9.01 08/14/12 CASCADE BANCORP OR 8.01 08/14/12 AMEND Castle Brands Inc FL 2.02,9.01 08/14/12 CD INTERNATIONAL ENTERPRISES, INC. FL 2.02,7.01,9.01 08/14/12 Celsion CORP DE 2.02,9.01 08/14/12 CENTERLINE HOLDING CO DE 2.02,9.01 08/14/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 3.01,7.01,9.01 08/10/12 CERADYNE INC DE 7.01,9.01 08/14/12 CFS BANCORP INC IN 7.01,9.01 08/14/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/14/12 CHINA FUND INC MD 7.01,9.01 06/30/12 AMEND CHINA GENGSHENG MINERALS, INC. NV 2.02,8.01,9.01 08/14/12 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 08/14/12 China TransInfo Technology Corp. NV 2.02,7.01,9.01 08/14/12 CIFC Corp. DE 2.02,9.01 08/14/12 Cinedigm Digital Cinema Corp. DE 2.02,9.01 08/14/12 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 08/14/12 CKX LANDS, INC. LA 5.03,9.01 08/14/12 CLAIRES STORES INC DE 2.02,9.01 08/13/12 CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 08/03/12 COMM 2012-LC4 Mortgage Trust DE 9.01 03/20/12 COMMERCIAL BARGE LINE CO DE 4.02 08/13/12 COMMUNITY FINANCIAL CORP /VA/ VA 2.02,9.01 08/13/12 Computer Software Innovations, Inc. DE 2.02,9.01 08/14/12 CONCEPTUS INC DE 5.02,9.01 08/09/12 CONMED CORP NY 8.01,9.01 08/14/12 CONMED CORP NY 1.01,9.01 08/13/12 Conmed Healthcare Management, Inc. DE 2.02,9.01 08/14/12 CONTINENTAL RESOURCES INC OK 1.01,8.01,9.01 08/13/12 CORNERSTONE BANCSHARES INC TN 7.01 08/14/12 COSTAR GROUP INC DE 9.01 04/30/12 AMEND COVER ALL TECHNOLOGIES INC DE 1.01,2.02,2.03,9.01 08/14/12 CPM Holdings, Inc. 1.01,9.01 08/14/12 CPS TECHNOLOGIES CORP/DE/ DE 2.02,9.01 06/30/12 CROWN CRAFTS INC DE 2.02,5.07,9.01 08/14/12 Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 08/14/12 CYTOMEDIX INC DE 9.01 02/08/12 AMEND DATARAM CORP NJ 1.01,9.01 08/10/12 DELCATH SYSTEMS INC DE 7.01,9.01 08/14/12 DIAMOND OFFSHORE DRILLING INC DE 8.01,9.01 08/14/12 Diamond Resorts Corp MD 2.02,9.01 08/14/12 DICKS SPORTING GOODS INC DE 2.02,8.01,9.01 08/13/12 Diligent Board Member Services, Inc. DE 7.01,9.01 08/14/12 DIODES INC /DEL/ DE 2.02,7.01,9.01 08/08/12 DIRECT MARKETS HOLDINGS CORP. DE 2.02,9.01 08/14/12 Dixie Foods International, Inc FL 8.01 08/09/12 DOUBLE EAGLE PETROLEUM CO MD 7.01,8.01,9.01 08/14/12 DTS, INC. DE 5.02 08/09/12 EARTHLINK INC DE 7.01,9.01 08/14/12 EC Development, Inc. DE 7.01,9.01 08/08/12 Echo Therapeutics, Inc. DE 1.01,2.02,9.01 08/08/12 EDIETS COM INC DE 2.02,9.01 08/14/12 Education Realty Trust, Inc. MD 1.01,7.01,9.01 08/14/12 EFL OVERSEAS, INC. NV 5.02 08/08/12 ELITE PHARMACEUTICALS INC /NV/ NV 2.02,9.01 08/14/12 EMERSON RADIO CORP DE 2.02,9.01 08/14/12 EMMIS COMMUNICATIONS CORP IN 8.01 08/14/12 Emrise CORP DE 2.02,7.01,9.01 08/14/12 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 08/14/12 ENERGY FOCUS, INC/DE DE 2.02,9.01 08/14/12 EnergySolutions, Inc. DE 7.01 07/26/12 ENTREMED INC DE 2.02,9.01 08/14/12 EQUITY ONE, INC. 1.01,3.02,9.01 08/08/12 ESTEE LAUDER COMPANIES INC DE 2.02,9.01 08/14/12 EURASIA DESIGN INC. NV 4.01,9.01 08/09/12 EURASIA DESIGN INC. NV 1.02 08/09/12 EV Energy Partners, LP DE 7.01,9.01 08/09/12 EXELIXIS INC DE 1.01,2.03,8.01,9.01 08/09/12 EXOPACK HOLDING CORP 5.02 08/13/12 Federal Home Loan Bank of Atlanta X1 2.03 08/14/12 Federal Home Loan Bank of Boston X1 2.03 08/08/12 Federal Home Loan Bank of Chicago X1 2.03 08/08/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/10/12 Federal Home Loan Bank of Indianapoli X1 7.01,9.01 08/14/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/14/12 Federal Home Loan Bank of New York X1 2.03,9.01 08/08/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/08/12 Federal Home Loan Bank of San Francis X1 2.03 08/08/12 Federal Home Loan Bank of Seattle 2.03 08/08/12 Federal Home Loan Bank of Topeka 2.03,9.01 08/08/12 FIELDPOINT PETROLEUM CORP CO 2.02,7.01,9.01 08/14/12 First Choice Healthcare Solutions, In DE 2.02,7.01,9.01 08/09/12 First Financial Northwest, Inc. WA 5.02,9.01 08/10/12 FIRST MARBLEHEAD CORP 2.02,5.02,8.01,9.01 08/09/12 FIRST PACTRUST BANCORP INC MD 7.01,8.01,9.01 08/13/12 FIVE STAR QUALITY CARE INC 5.02,8.01,9.01 08/08/12 FLOWERS FOODS INC GA 2.02,9.01 08/14/12 Fortress International Group, Inc. DE 2.02,9.01 08/14/12 FriendFinder Networks Inc. NV 2.02,9.01 08/14/12 FS Energy & Power Fund DE 2.02,9.01 08/14/12 FS Investment CORP MD 2.02,9.01 08/14/12 FS Investment Corp II MD 2.02,9.01 08/14/12 FSI INTERNATIONAL INC MN 1.01,5.02,8.01,9.01 08/13/12 Fushi Copperweld, Inc. NV 2.02,9.01 08/09/12 AMEND FX ENERGY INC NV 8.01,9.01 08/14/12 Galena Biopharma, Inc. 2.02,9.01 08/14/12 GARDNER DENVER INC DE 5.02 08/09/12 GELTOLOGY INC DE 9.01 07/11/12 AMEND GENCOR INDUSTRIES INC DE 2.02,9.01 08/14/12 GeoVax Labs, Inc. DE 2.02,9.01 08/13/12 GLADSTONE INVESTMENT CORPORATION\DE DE 5.07 08/09/12 Global Telecom & Technology, Inc. DE 2.02,9.01 08/14/12 GLOBALWISE INVESTMENTS INC NV 1.01,2.03,9.01 08/07/12 GLOBALWISE INVESTMENTS INC NV 2.02,9.01 08/14/12 Graymark Healthcare, Inc. OK 2.02,9.01 08/14/12 Greektown Superholdings, Inc. DE 2.02,9.01 08/14/12 Greektown Superholdings, Inc. DE 5.02,5.03,9.01 08/08/12 Griffin-American Healthcare REIT II, MD 5.08 08/13/12 Griffin-American Healthcare REIT II, MD 7.01,9.01 08/14/12 GUARANTY FEDERAL BANCSHARES INC DE 8.01 08/14/12 HEALTH NET INC DE 7.01 08/13/12 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 08/14/12 Higher One Holdings, Inc. DE 8.01 08/10/12 HITOR GROUP, IN. NV 5.02 08/14/12 HollyFrontier Corp DE 7.01,9.01 08/13/12 HOME DEPOT INC DE 2.02 08/14/12 HORIZON PHARMA, INC. DE 1.01,9.01 08/14/12 HUNTINGTON INGALLS INDUSTRIES, INC. DE 5.02,9.01 08/09/12 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 08/14/12 INDUSTRIAL SERVICES OF AMERICA INC /F FL 5.02,9.01 08/09/12 INFINITY PHARMACEUTICALS, INC. DE 7.01,9.01 08/14/12 INFOSONICS CORP 2.02,9.01 08/14/12 INNOTRAC CORP GA 2.02,9.01 08/14/12 INNSUITES HOSPITALITY TRUST OH 5.07 08/09/12 INOLIFE TECHNOLOGIES, INC. 3.02,5.03,5.07,9.01 07/25/12 AMEND InsPro Technologies Corp DE 8.01,9.01 08/14/12 INTELLIGENT SYSTEMS CORP GA 2.02,9.01 08/14/12 JACOBS ENTERTAINMENT INC DE 2.02,9.01 08/13/12 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 08/14/12 JDS UNIPHASE CORP /CA/ DE 5.02 08/08/12 JOURNAL COMMUNICATIONS INC 1.01,1.02,9.01 08/12/12 KAMAN CORP CT 7.01,9.01 08/14/12 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 08/14/12 KID BRANDS, INC NJ 2.02,9.01 08/14/12 KINGOLD JEWELRY, INC. DE 2.02,9.01 08/14/12 Kior Inc DE 2.02,7.01,9.01 08/14/12 KNOLL INC DE 7.01 08/14/12 KRAFT FOODS INC VA 8.01,9.01 08/14/12 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 08/09/12 L & L ENERGY, INC. NV 5.02,9.01 08/14/12 AMEND Lantheus Medical Imaging, Inc. DE 2.02 08/14/12 Laredo Petroleum Holdings, Inc. DE 7.01,9.01 08/14/12 LAWSON PRODUCTS INC/NEW/DE/ DE 1.01,2.03,9.01 08/08/12 LEGGETT & PLATT INC MO 1.01,8.01,9.01 08/08/12 LENNAR CORP /NEW/ DE 8.01,9.01 08/14/12 LGL GROUP INC DE 5.07 08/09/12 LIFEWAY FOODS INC IL 2.02,9.01 08/14/12 LITHIUM TECHNOLOGY CORP DE 1.01,9.01 08/08/12 Lone Pine Resources Inc. DE 2.02,9.01 08/13/12 Longhai Steel Inc. NV 2.02,7.01,9.01 08/14/12 Macquarie Infrastructure CO LLC DE 1.01,9.01 08/08/12 Madison Bancorp Inc MD 5.07 08/13/12 MAGNEGAS CORP DE 5.02 08/14/12 Manitex International, Inc. MI 7.01,9.01 08/14/12 Marlborough Software Development Hold DE 2.02,9.01 08/14/12 MAXLINEAR INC 5.02,9.01 08/10/12 AMEND MCMORAN EXPLORATION CO /DE/ DE 7.01,9.01 08/13/12 MEADE INSTRUMENTS CORP DE 1.01,5.02,9.01 08/10/12 Measurement Specialties Inc NJ 8.01,9.01 08/14/12 Merriman Holdings, Inc DE 2.02,9.01 08/14/12 META FINANCIAL GROUP INC DE 2.02,9.01 08/14/12 MICHAEL FOODS GROUP, INC. DE 2.02,9.01 08/14/12 Midway Gold Corp A1 7.01,9.01 08/13/12 Millennium India Acquisition CO Inc. DE 2.02,8.01,9.01 08/14/12 MOCON INC MN 2.02,9.01 08/09/12 AMEND Motors Liquidation Co DE 8.01,9.01 08/14/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 8.01 08/14/12 MYRIAD GENETICS INC DE 2.02,9.01 08/14/12 NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 08/14/12 NATIONAL PENN BANCSHARES INC PA 7.01 08/13/12 NATIONAL RETAIL PROPERTIES, INC. MD 2.03,9.01 08/14/12 Nationstar Mortgage Holdings Inc. DE 2.02,9.01 08/14/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 5.07 08/08/12 NCR CORP MD 8.01 08/14/12 NEAH POWER SYSTEMS, INC. NV 5.02 08/14/12 Neonode, Inc DE 2.02,9.01 08/14/12 NETLIST INC DE 2.02,9.01 08/14/12 NETSOL TECHNOLOGIES INC NV 2.02,9.01 08/13/12 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02 08/09/12 NEWLINK GENETICS CORP 2.02,9.01 08/14/12 NEWS CORP 8.01,9.01 08/14/12 Next 1 Interactive, Inc. NV 1.01,3.02,5.03 08/08/12 NORTHSTAR REALTY FINANCE CORP. MD 8.01 08/10/12 Northumberland Resources, Inc. NV 2.01 05/14/12 NORTHWESTERN CORP DE 1.01,2.03,9.01 08/10/12 Novelis Inc. A6 2.02,9.01 08/14/12 Nuance Communications, Inc. DE 1.01,2.03,8.01,9.01 08/09/12 NUPATHE INC. DE 2.02,9.01 08/14/12 OCZ TECHNOLOGY GROUP INC DE 5.07 08/13/12 Onstream Media CORP FL 2.02,9.01 08/14/12 ORRSTOWN FINANCIAL SERVICES INC PA 5.02,9.01 08/14/12 OvaScience, Inc. DE 1.01,3.02,3.03,5.03, 08/13/12 9.01 Pacific Ethanol, Inc. DE 2.02,9.01 08/14/12 PARKER DRILLING CO /DE/ DE 7.01 08/06/12 Patriot Minefinders Inc. NV 1.01,2.01,5.06,9.01 07/24/12 PC MALL INC DE 1.02 08/10/12 PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,9.01 08/14/12 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 08/14/12 PENSON WORLDWIDE INC DE 5.02 08/13/12 PFIZER INC DE 8.01,9.01 08/13/12 PHAR MOR INC PA 7.01 08/14/12 PHH CORP MD 1.01,8.01,9.01 08/09/12 PHYSICIANS FORMULA HOLDINGS, INC. DE 2.02,7.01,9.01 08/14/12 Platinum Studios, Inc. CA 5.02 05/16/12 AMEND PLUG POWER INC DE 2.02,9.01 08/14/12 PROCTER & GAMBLE Co OH 8.01,9.01 08/14/12 PROSPECT CAPITAL CORP MD 1.01,2.03,3.02,8.01, 08/09/12 9.01 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 08/14/12 QKL Stores Inc. DE 2.02,9.01 08/14/12 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 08/13/12 RADISYS CORP OR 7.01 08/08/12 RALPH LAUREN CORP DE 5.07 08/09/12 REALGOLD INTERNATIONAL INC NV 4.01,9.01 08/01/12 AMEND REGENCY CENTERS CORP FL 8.01,9.01 08/14/12 REINSURANCE GROUP OF AMERICA INC MO 9.01 08/14/12 Remark Media, Inc. DE 2.02,7.01,9.01 06/30/12 Renewable Energy Group, Inc. 2.02,9.01 08/14/12 Resource Capital Corp. MD 7.01,9.01 08/14/12 RESPONSE GENETICS INC 2.02,9.01 08/14/12 RigNet, Inc. DE 7.01,9.01 08/13/12 RPC INC DE 8.01,9.01 08/13/12 RT Technologies, Inc. NV 9.01 08/14/12 RT Technologies, Inc. NV 9.01 08/14/12 SAKS INC TN 2.02,9.01 08/14/12 Sanomedics International Holdings, In DE 5.02,9.01 08/13/12 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 08/08/12 SBA COMMUNICATIONS CORP FL 1.01,2.03 07/26/12 SCANA CORP SC 7.01,9.01 08/14/12 SCIENTIFIC LEARNING CORP DE 2.02 08/14/12 SELECT MEDICAL HOLDINGS CORP 1.01,9.01 08/13/12 SERVOTRONICS INC /DE/ DE 2.02,9.01 08/14/12 ShoreTel Inc CA 2.02,9.01 08/14/12 SIGMATRON INTERNATIONAL INC DE 2.01,9.01 06/04/12 AMEND SIMMONS FIRST NATIONAL CORP AR 5.02,9.01 08/13/12 Sino Agro Food, Inc. NV 2.02,7.01,9.01 08/14/12 SIRIUS XM RADIO INC. DE 1.01,2.03,9.01 08/13/12 SMART ONLINE INC DE 2.03,3.02 08/08/12 SMITH MIDLAND CORP DE 2.02,9.01 08/10/12 SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 08/14/12 SPAR GROUP INC DE 8.01,9.01 08/13/12 SPARK NETWORKS INC DE 2.02,9.01 08/14/12 SPRINT NEXTEL CORP KS 8.01,9.01 08/09/12 STAGE STORES INC NV 1.01,1.02,8.01,9.01 08/08/12 STEEL PARTNERS HOLDINGS L.P. DE 2.02,9.01 08/14/12 STELLAR PHARMACEUTICALS INC 7.01,9.01 08/14/12 STRATUS PROPERTIES INC DE 2.02,9.01 08/14/12 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 08/14/12 SUNOCO LOGISTICS PARTNERS L.P. DE 1.01,1.02,2.03 08/14/12 SUPERIOR ENERGY SERVICES INC DE 8.01,9.01 08/13/12 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 08/14/12 Synthetic Biologics, Inc. NV 2.02,9.01 08/14/12 TAUBMAN CENTERS INC MI 1.01,3.03,5.03,8.01, 08/14/12 9.01 TCP Capital Corp. DE 2.02,7.01,9.01 08/09/12 AMEND TECHPRECISION CORP 2.02,7.01,9.01 08/14/12 TELEFLEX INC DE 7.01 08/13/12 TELKONET INC UT 2.02,9.01 08/14/12 TENGION INC DE 2.02,9.01 08/14/12 Thompson Creek Metals CO Inc. A6 7.01,9.01 08/14/12 TIDEWATER INC DE 7.01,9.01 08/08/12 TJX COMPANIES INC /DE/ DE 2.02,9.01 08/14/12 Tonix Pharmaceuticals Holding Corp. NV 7.01,8.01,9.01 08/14/12 Towers Watson & Co. DE 2.02,9.01 08/14/12 Tri-Tech Holding, Inc. E9 2.02,9.01 08/14/12 TRIAD GUARANTY INC DE 2.02,9.01 08/14/12 TRIDENT MICROSYSTEMS INC DE 8.01,9.01 08/09/12 TUCOWS INC /PA/ PA 2.02,9.01 08/13/12 Twin Cities Power Holdings, LLC MN 2.02,9.01 08/14/12 Tyco Flow Control International Ltd. V8 5.02,8.01,9.01 08/08/12 Under Armour, Inc. MD 7.01 08/14/12 Uni-Pixel DE 8.01,9.01 08/14/12 UNITED COMMUNITY FINANCIAL CORP OH 2.02,9.01 08/14/12 UROLOGIX INC MN 5.02 08/10/12 US DATAWORKS INC NV 2.02,9.01 08/14/12 USG1, Inc. DE 1.01,8.01,9.01 08/10/12 VADDA ENERGY CORP FL 5.02 08/09/12 VAIL RESORTS INC DE 5.02,9.01 08/13/12 VALSPAR CORP DE 2.02,9.01 08/14/12 Vanguard Energy Corp CO 8.01,9.01 08/14/12 Vanguard Minerals CORP 5.02 08/13/12 Vantage Drilling CO E9 1.01,9.01 08/13/12 VERMILLION, INC. DE 2.02,7.01,9.01 08/14/12 Vestin Realty Mortgage I, Inc. 1.01,2.01,9.01 08/14/12 AMEND Vestin Realty Mortgage II, Inc MD 1.01,2.01,9.01 08/14/12 AMEND Victor Technologies Group, Inc. DE 2.02 08/13/12 VIEWCAST COM INC DE 2.02,9.01 08/14/12 VIKING SYSTEMS INC DE 2.02,9.01 08/14/12 VIKING SYSTEMS INC DE 1.01,5.02,7.01,9.01 08/13/12 VIPER POWERSPORTS INC NV 9.01 08/13/12 AMEND VirtualScopics, Inc. DE 2.02,9.01 08/14/12 VR Holdings, Inc. DE 8.01,9.01 08/14/12 Vringo Inc DE 2.01,8.01,9.01 08/10/12 Vringo Inc DE 9.01 08/14/12 Weatherford International Ltd./Switze V8 1.01,7.01,8.01,9.01 08/13/12 WEST BANCORPORATION INC IA 7.01,9.01 08/14/12 Western Asset Mortgage Capital Corp DE 2.02,9.01 08/13/12 WESTERN LIBERTY BANCORP DE 2.02,9.01 08/14/12 Westinghouse Solar, Inc. DE 1.01,3.03,9.01 08/13/12 Westinghouse Solar, Inc. DE 2.02,9.01 08/14/12 WESTMOUNTAIN INDEX ADVISOR INC CO 2.03,9.01 08/08/12 Williams Partners L.P. 1.01,7.01,9.01 08/14/12 WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 08/13/12 WINLAND ELECTRONICS INC MN 2.02,9.01 08/14/12 WIZZARD SOFTWARE CORP /CO CO 1.01,9.01 08/14/12 X-Factor Communications Holdings, Inc DE 1.01,3.02,4.01,5.01, 05/15/12 AMEND 5.02,5.03,5.06,9.01 Xenith Bankshares, Inc. VA 2.02,9.01 08/13/12 XENONICS HOLDINGS, INC. NV 2.02,9.01 08/14/12 XILINX INC DE 5.07 08/08/12 Yinfu Gold Corp. WY 1.01,9.01 08/08/12 Ziyang Ceramics Corp FL 2.02,7.01,9.01 08/14/12 Zumiez Inc WA 5.02 08/14/12