SEC Adopts Rule for Disclosing Use of Conflict Minerals
The Securities and Exchange Commission today adopted a rule mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act to require companies to publicly disclose their use of conflict minerals that originated in the Democratic Republic of the Congo (DRC) or an adjoining country.
The regulatory reform law directed the Commission to issue rules requiring certain companies to disclose their use of conflict minerals that include tantalum, tin, gold, or tungsten if those minerals are “necessary to the functionality or production of a product” manufactured by those companies. Companies are required to provide this disclosure on a new form to be filed with the SEC called Form SD.
After proposing the rule in 2010, the Commission hosted a roundtable in October 2011 to assist in finalizing the rule.
“I am pleased that the Commission has finalized this very challenging project in such a thoughtful manner,” said SEC Chairman Mary L. Schapiro. “We have received significant public input on this rulemaking, and in response we incorporated many changes from the proposal that are designed to address concerns about the costs. I believe the final rule faithfully implements the statutory requirement as mandated by Congress in a fair and balanced manner.”
Under the final rule, issuers are required to file for the same period – a calendar year – regardless of when their fiscal year ends. Companies will file their first specialized disclosure report on May 31, 2014 (for the 2013 calendar year) and annually on May 31 every year thereafter. (Press Rel. 2012-163)
SEC Adopts Rules Requiring Payment Disclosures By Resource Extraction Issuers
The Securities and Exchange Commission today adopted rules mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act requiring resource extraction issuers to disclose certain payments made to the U.S. government or foreign governments.
The regulatory reform law directed the Commission to issue these rules requiring companies engaged in the development of oil, natural gas, or minerals to disclose the information annually by filing a new form with the SEC called Form SD.
A resource extraction issuer is required to comply with the new rules for fiscal years ending after Sept. 30, 2013. The form must be filed with the SEC no later than 150 days after the end of its fiscal year. (Press Rel. 2012-164)
SEC Charges New York-Based Firm and Owner in Penny Stock Scheme
The Securities and Exchange Commission today charged a New York-based firm and its owner with conducting a penny stock scheme in which they bought billions of stock shares from small companies and illegally resold those shares in the public market.
The SEC alleges that Edward Bronson and E-Lionheart Associates LLC reaped more than $10 million in unlawful profits from selling shares they bought at deep discounts from approximately 100 penny stock companies. On average, Bronson and E-Lionheart were able to generate sales proceeds that were approximately double the price at which they had acquired the shares. No registration statement was filed or in effect for any of the securities that Bronson and E-Lionheart resold to the investing public, and no valid exemption from the registration requirements of the federal securities laws was available.
“By violating the registration provisions of the securities laws and dumping billions of unregistered shares into the over-the-counter market, Bronson deprived investors of important information about the companies in which they were investing,” said Andrew M. Calamari, Acting Director of the SEC’s New York Regional Office.
According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Bronson lives in Ossining, N.Y. E-Lionheart, which also does business under the name Fairhills Capital, is located in White Plains. Acting at Bronson’s direction, E-Lionheart personnel systematically “cold called” penny stock companies quoted on the OTC Link to ask if they were interested in obtaining capital. If the company was interested, E-Lionheart personnel would offer to buy stock in the company at a rate that was deeply discounted from the trading price of the company’s stock at that time. Typically, Bronson and E-Lionheart immediately began reselling the shares to the investing public through a broker within days of receiving the shares from the company.
Bronson and E-Lionheart purported to rely on an exemption from registration under Rule 504(b)(1)(iii) of Regulation D, which exempts transactions that are in compliance with certain types of state law exemptions. However, no such state law exemptions were applicable to these transactions. Bronson and E-Lionheart claimed to rely on a Delaware state law registration exemption, but the transactions in fact had little or no connection to the state of Delaware. The particular Delaware state law exemption claimed by Bronson and E-Lionheart is not an exemption that meets the specific requirements of Rule 504(b)(1)(iii). As a result, investors purchasing these shares did not have access to all of the information that a registration statement would have provided, including in many instances important information concerning the issuance of millions of new shares by the company to Bronson and E-Lionheart.
The SEC’s complaint charges E-Lionheart and Bronson with violations of the registration provisions of the federal securities laws, and seeks disgorgement of more than $10 million in ill-gotten gains, penalties. The SEC also seeks penny stock bars against E-Lionheart and Bronson. The complaint also names another entity owned and controlled by Bronson – Fairhills Capital Inc. – as a relief defendant for the purpose of recovering the illegal proceeds it received.
The SEC’s investigation was conducted in the SEC’s New York Regional Office by Senior Attorney William Edwards and Assistant Regional Director Wendy B. Tepperman. The SEC’s litigation will be led by Senior Trial Counsel Kevin McGrath. (Press Rel. 2012-165)
In the Matter of in Orbit E-Commerce, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Pacificnet, Inc., (Default Order) in Orbit E-Commerce, Inc., Admin. Proc. No. 3-14881. The Order Instituting Proceedings (OIP) alleged that Pacificnet, Inc. (Pacificnet), repeatedly failed to file timely periodic reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Pacificnet and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
On June 27, 2012, the securities registrations of the other six named Respondents were revoked by default. See Orbit E-Commerce, Inc., Exchange Act Release No. 67268. (Rel. 34-67703; File No. 3-14881)
In the Matter of Todd C. Crow
On August 22, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Todd C. Crow (Crow). The Order finds that on July 23, 2012, a final judgment was entered by consent against Crow permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 10b-5, 13a-14, 13b2-1, and 13b2-2 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20, 13a-1, and 13a-13 thereunder in the civil action entitled SEC v. NutraCea, et al., Civil Action No. CV 11-0092-PHX-SRB, in the United States District Court for the District of Arizona. The Commission alleged in its complaint that NutraCea, through the misconduct of Crow and others, overstated its sales revenues for its fiscal year 2007 by engaging in improper revenue recognition practices. The complaint alleged that Crow violated the antifraud, books and records, and internal controls provisions of the federal securities laws because he knew or was reckless in not knowing that NutraCea improperly accounted for a $2.6 million sale in the second quarter of 2007 and a $1.9 million sale in the fourth quarter of 2007. The complaint further alleged that Crow signed false management representation letters to NutraCea’s auditors.
Pursuant to the Order, Crow is suspended from appearing or practicing before the Commission as an accountant. Crow consented to the issuance of the Order without admitting or denying the finding in the Order, except he admitted the entry of the injunction. (Rel. 34-67708; AAE Rel. 3402; File No. 3-14992)
In the Matter of MiddleCove Capital, LLC and Noah L. Myers
On August 22, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (the Order) against MiddleCove Capital, LLC (MiddleCove), an investment adviser registered with the Commission, and Noah L. Myers (Myers), the principal of MiddleCove.
The Division of Enforcement alleges that from approximately October 2008 to February 2011, Myers engaged in fraudulent trade allocation – “cherry-picking” – at MiddleCove. Myers executed his cherry-picking scheme by unfairly allocating trades that had appreciated in value during the course of the day to his personal and business accounts and allocating trades that had depreciated in value during the day to the accounts of his advisory clients. Myers did this by purchasing securities in an omnibus account and delaying allocation of the purchases until later in the day (and sometimes the next day), after he saw whether the securities appreciated in value. When a security appreciated in value on the day of purchase, Myers would often sell the security and disproportionately allocate the purchase and the realized day-trading profit to his own accounts or accounts benefiting himself or his family members. In contrast, for securities that did not appreciate on the day of purchase, Myers would disproportionately allocate these purchases to his clients’ accounts and his clients would hold the position for more than one day.
Myers carried out his cherry-picking scheme with regard to several securities, but was most active with an inverse and leveraged exchange traded fund (ETF). Myers finally ceased these practices in February 2011 when one of his employees threatened to contact the Commission. As a result of his fraud, Myers realized ill-gotten gains of approximately $460,000. Myers’s cherry-picking scheme also resulted in more than $2 million in client losses from his trading in the inverse and leveraged ETF. Neither MiddleCove nor Myers disclosed to clients that they were engaged in cherry-picking and that they would favor Myers’s accounts in the allocation of appreciated securities. In addition, Myers and MiddleCove failed to follow the policies stated in MiddleCove’s ADV concerning trade allocation.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondents an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rels. 34-67709; IA-3448; IC-30179; File No. 3-14493)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-67710; File No. 3-14994)
ReconTrust Company, N.A., et al.
The Commission has issued a temporary order to ReconTrust Company, N.A., et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction against ReconTrust Company, N.A. (ReconTrust) entered by the U.S. District Court for the Western District of Washington on August 20, 2012. The temporary order exempts ReconTrust, BofA Advisors, LLC, BofA Distributors, Inc., Bank of America Capital Advisors LLC, KECALP Inc. and Merrill Lynch Global Private Equity Inc. and any other companies of which ReconTrust is or becomes an affiliated person from the provisions of Section 9(a) of the Act until the Commission takes final action on an application for a permanent order. The Commission also has issued a notice giving interested persons until September 14, 2012, to request a hearing on the application filed by applicants for a permanent order under Section 9(c) of the Act. (Rel. IC-30174 – August 20)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-36) to terminate revenue sharing agreement 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 August 20. (Rel. 34-67693)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-35) to terminate revenue sharing agreement 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 August 20. (Rel. 34-67694)
A proposed rule change filed by NYSE MKT LLC making certain conforming changes to its rules following the change in the Exchange’s name from NYSE Amex LLC to NYSE MKT LLC (SR-NYSEMKT-2012-38) 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 20. (Rel. 34-67695)
A proposed rule change filed by NASDAQ OMX PHLX LLC relating to Rule 1014 (SR-Phlx-2012-108) 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 August 20. (Rel. 34-67700)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-107) regarding client information about agency orders of floor brokers 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 20. (Rel. 34-67701)
A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-43) amending the NYSE Amex Options LLC Limited Liability Company Agreement to eliminate certain restrictions relating to the qualification of Founding Firm Advisory Committee Members 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 20. (Rel. 34-67702)
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-11 Modern International Ventures Inc, 3282 W 34TH AVE, VANCOUVER, A1, V6N 2K4, 604-537-7721 - 2,000,000 ($600,000.00) Equity, (File 333-183445 - Aug. 21) (BR. 08) S-3 Alon USA Energy, Inc., 7616 LBJ FREEWAY, SUITE 300, DALLAS, TX, 75251, 972 367 3600 - 1,795,555 ($20,882,304.65) Equity, (File 333-183446 - Aug. 21) (BR. 04B) S-8 AIRMEDIA GROUP INC., 17/F, SKY PLAZA, NO.46 DONGZHIMENWAI ST., DONGCHENG DISTRICT, BEIJING, F4, 100027, (86-10) 8438-6868 - 2,000,000 ($4,630,000.00) Equity, (File 333-183448 - Aug. 21) (BR. 11C) S-3ASR ILLINOIS TOOL WORKS INC, 3600 WEST LAKE AVE, GLENVIEW, IL, 60026-1215, 8476574204 - 0 ($0.00) Debt, (File 333-183449 - Aug. 21) (BR. 10A) S-8 TILE SHOP HOLDINGS, INC., 14000 CARLSON PARKWAY, PLYMOUTH, MN, 55441, 763-852-2978 - 2,500,000 ($3,925,000.00) Equity, (File 333-183455 - Aug. 21) (BR. 02) S-8 FIDELITY SOUTHERN CORP, 3490 PIEDMONT RD, STE 1550, ATLANTA, GA, 30305, 4043715500 - 2,750,000 ($25,516,150.00) Equity, (File 333-183458 - Aug. 21) (BR. 07C) S-8 PEREGRINE SEMICONDUCTOR CORP, 9380 CARROLL PARK DRIVE, SAN DIEGO, CA, 92121, 858-731-9400 - 0 ($104,596,282.81) Equity, (File 333-183459 - Aug. 21) (BR. 10B) S-8 Solar Energy Initiatives, Inc., 818 A1A NORTH,, SUITE 201, PONTE VEDRA BEACH, FL, 32082, (904) 251-4910 - 9,100,000 ($18,200.00) Equity, (File 333-183460 - Aug. 21) (BR. 10B) S-8 Lifevantage Corp, 10813 S. RIVER FRONT PARKWAY, STE. 500, SOUTH JORDAN, UT, 84095, 858-312-8000 - 0 ($10,081,000.00) Equity, (File 333-183461 - Aug. 21) (BR. 01A) S-8 Exelis Inc., 1650 TYSONS BOULEVARD, SUITE 1700, MCLEAN, VA, 22102, 703-790-6300 - 0 ($128,940,000.00) Equity, (File 333-183462 - Aug. 21) (BR. 11C) S-1 ICEWEB INC, 22900 SHAW ROAD, SUITE 111, STERLING, VA, 20166, 571-287-2400 - 39,258,270 ($4,644,065.00) Equity, (File 333-183463 - Aug. 21) (BR. 03B) S-8 CHECKPOINT SYSTEMS INC, 101 WOLF DRIVE, THOROFARE, NJ, 08086, 856-848-1800 - 400,000 ($2,786,000.00) Equity, (File 333-183464 - Aug. 21) (BR. 11C) S-8 ISTAR FINANCIAL INC, 1114 AVENUE OF THE AMERICAS 27TH FLOOR, NEW YORK, NY, 10036, 2129309494 - 0 ($57,840,000.00) Equity, (File 333-183465 - Aug. 21) (BR. 08B) S-1 Summit Midstream Partners, LP, 2100 McKinney Avenue, Suite 1250, DALLAS, TX, 75201, 214-242-1955 - 0 ($301,875,000.00) Equity, (File 333-183466 - Aug. 21) (BR. 02) S-8 CONCEPTUS INC, 334 E EVELYN AVE, MOUNTAIN VIEW, CA, 94041, 650 962 4000 - 90,000 ($1,654,700.00) Equity, (File 333-183467 - Aug. 21) (BR. 10A) S-4 Vestin Realty Mortgage II, Inc, 8880 W. SUNSET ROAD, SUITE 200, LAS VEGAS, NV, 89148, 702 227-0965 - 4,758,198 ($4,853,361.96) Equity, (File 333-183469 - Aug. 21) (BR. 08C)
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.
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ACTUANT CORP WI 8.01,9.01 08/08/12 Advanced Voice Recognition Systems, I NV 1.01,3.02,9.01 08/21/12 AMEDISYS INC DE 7.01,9.01 08/21/12 AMERCO /NV/ NV 8.01 08/20/12 American Assets Trust, Inc. MD 2.01,7.01,9.01 08/21/12 AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01,9.01 08/21/12 American Realty Capital Trust III, In MD 8.01,9.01 08/20/12 American Realty Capital Trust, Inc. DE 8.01,9.01 08/21/12 AMERICAN WOODMARK CORP VA 2.02,9.01 08/21/12 AMPAL-AMERICAN ISRAEL CORP NY 7.01,9.01 08/21/12 ANALOG DEVICES INC MA 2.02,9.01 08/21/12 Ancestry.com Inc. DE 1.01,2.01,9.01 08/17/12 ANGEION CORP/MN MN 5.03,9.01 08/21/12 ARDENT MINES LTD 8.01,9.01 08/16/12 Ascent Solar Technologies, Inc. DE 8.01,9.01 08/20/12 ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 08/21/12 ASSOCIATED BANC-CORP WI 7.01,8.01 08/20/12 ASTORIA FINANCIAL CORP DE 8.01,9.01 08/21/12 ASTRO MED INC /NEW/ RI 2.02,9.01 08/21/12 Attitude Drinks Inc. DE 8.01 08/21/12 BARNES & NOBLE INC DE 2.02,9.01 08/21/12 Barossa Coffee Company, Inc. NV 5.01 08/20/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 1.01,1.02 08/15/12 BEST BUY CO INC MN 2.02,7.01,9.01 08/21/12 BEST BUY CO INC MN 5.02,7.01,9.01 08/19/12 BION ENVIRONMENTAL TECHNOLOGIES INC CO 5.02,9.01 08/14/12 BJs RESTAURANTS INC CA 8.01,9.01 08/21/12 BlueLinx Holdings Inc. DE 5.02 08/16/12 BON TON STORES INC PA 5.02,9.01 08/20/12 BOOKS A MILLION INC DE 2.02,9.01 08/17/12 BOYD GAMING CORP NV 8.01,9.01 08/16/12 BRAZIL FAST FOOD CORP DE 2.02,9.01 08/20/12 BRAZIL FAST FOOD CORP DE 5.07 08/15/12 Bristow Group Inc DE 7.01,9.01 08/21/12 BROADWAY FINANCIAL CORP \DE\ DE 4.02 08/15/12 Brownie's Marine Group, Inc NV 2.01 08/16/12 Bulova Technologies Group, Inc. FL 1.01,9.01 08/17/12 BURLINGTON NORTHERN SANTA FE, LLC 1.01,9.01 08/16/12 CABCO SERIES 2004-1 TRUST (GOLDMAN SA 8.01,9.01 08/15/12 CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 08/15/12 CAPSTEAD MORTGAGE CORP MD 7.01,9.01 08/20/12 CAPSTONE COMPANIES, INC. FL 7.01,9.01 08/15/12 AMEND CAREER EDUCATION CORP DE 5.02,9.01 08/15/12 Cascade Springs Ltd. NV 4.01,9.01 08/17/12 CENTAURUS DIAMOND TECHNOLOGIES, INC. NV 1.01,2.01,3.02,5.01, 06/05/12 AMEND 5.02,5.06,9.01 CENTRAL FEDERAL CORP DE 8.01,9.01 08/21/12 Ceres Ventures, Inc. NV 5.02,7.01 08/15/12 CHAMPION INDUSTRIES INC WV 2.04 08/21/12 Chesapeake Lodging Trust MD 2.01,9.01 08/21/12 ChinaNet Online Holdings, Inc. NV 2.02,8.01,9.01 06/30/12 CINCINNATI FINANCIAL CORP OH 7.01,9.01 08/17/12 CLEAN DIESEL TECHNOLOGIES INC DE 1.01,7.01,9.01 08/15/12 CLEARSIGN COMBUSTION CORP WA 7.01,9.01 08/21/12 COLE CORPORATE INCOME TRUST, INC. MD 8.01 08/09/12 Cole Credit Property Trust II Inc MD 8.01 08/08/12 COLLECTIVE BRANDS, INC. DE 5.07 08/21/12 COLORADO GOLDFIELDS INC. NV 5.03,9.01 08/21/12 COMM 2012-CCRE2 Mortgage Trust DE 9.01 08/21/12 Copano Energy, L.L.C. 7.01,9.01 08/21/12 COUNTERPATH CORP NV 8.01,9.01 08/20/12 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 08/21/12 CSP INC /MA/ MA 5.02,7.01,9.01 08/20/12 CU Bancorp CA 7.01,9.01 08/16/12 CVB FINANCIAL CORP CA 5.02 08/15/12 CYMER INC NV 5.02 08/15/12 CYTORI THERAPEUTICS, INC. DE 5.07 08/16/12 Dakota Gold Corp FL 1.01,1.02,9.01 08/17/12 DAKTRONICS INC /SD/ SD 2.02,9.01 08/21/12 DARA BioSciences, Inc. DE 5.02 08/20/12 Del Frisco's Restaurant Group, Inc. DE 2.02,9.01 08/21/12 DELL INC DE 2.02,9.01 08/21/12 DELTA NATURAL GAS CO INC KY 5.02 08/17/12 DEX ONE Corp DE 1.01,5.02,8.01,9.01 08/20/12 DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 1.01 08/13/12 DIRECT MARKETS HOLDINGS CORP. DE 8.01 08/21/12 DOUBLE EAGLE PETROLEUM CO MD 1.01,9.01 08/16/12 DSW Inc. OH 2.02,9.01 08/21/12 Duke Energy CORP DE 8.01,9.01 08/21/12 El Paso Pipeline Partners, L.P. DE 7.01 08/20/12 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 08/21/12 AMEND Enduro Royalty Trust DE 2.02,9.01 08/21/12 ENTEGRIS INC DE 8.01 08/20/12 EURASIA DESIGN INC. NV 4.01,9.01 07/03/12 AMEND EVOLUTION PETROLEUM CORP NV 9.01 04/17/12 AMEND FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.03 08/15/12 Federal Home Loan Bank of Atlanta X1 2.03 08/21/12 Federal Home Loan Bank of Boston X1 2.03 08/16/12 Federal Home Loan Bank of Chicago X1 2.03 08/15/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/15/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/17/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/21/12 Federal Home Loan Bank of New York X1 2.03,9.01 08/15/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/15/12 Federal Home Loan Bank of San Francis X1 2.03 08/15/12 Federal Home Loan Bank of Seattle 2.03 08/16/12 Federal Home Loan Bank of Topeka 2.03,9.01 08/15/12 Fidelity National Financial, Inc. 8.01,9.01 08/21/12 FIFTH THIRD BANCORP OH 7.01,8.01,9.01 08/21/12 FLUIDIGM CORP DE 8.01,9.01 08/21/12 FOREST LABORATORIES INC DE 5.07 08/15/12 FX ENERGY INC NV 8.01,9.01 08/20/12 GateHouse Media, Inc. DE 8.01,9.01 08/16/12 GE Capital Credit Card Master Note Tr DE 1.01,9.01 08/20/12 GENCORP INC OH 1.01,2.03,9.01 08/16/12 GENSPERA INC DE 5.02,8.01,9.01 08/16/12 GENTEX CORP MI 5.02 08/16/12 GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 06/30/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/17/12 GRAPHON CORP/DE DE 5.02,9.01 08/21/12 Graystone Co DE 3.02 08/20/12 H&E Equipment Services, Inc. DE 7.01,8.01,9.01 08/20/12 HASTINGS ENTERTAINMENT INC TX 2.02,9.01 08/20/12 HERCULES OFFSHORE, INC. DE 7.01,9.01 08/21/12 Hi-Crush Partners LP de 1.01,2.01,2.03,3.02, 08/15/12 5.02,5.03,9.01 HOPFED BANCORP INC DE 5.02 08/15/12 Industrial Income Trust Inc. MD 1.01,1.02,2.03,8.01 08/15/12 Innovaro, Inc. 3.01,9.01 08/16/12 INTERNATIONAL LEASE FINANCE CORP CA 1.01,2.03,9.01 08/21/12 INTERNATIONAL SILVER INC AZ 5.02,9.01 08/15/12 INTUIT INC DE 2.02,8.01,9.01 08/21/12 IPG PHOTONICS CORP DE 8.01 08/21/12 ITC Holdings Corp. MI 5.02,8.01 08/15/12 ITEX CORP NV 8.01 08/16/12 JAMBA, INC. DE 5.02,9.01 08/15/12 JDS UNIPHASE CORP /CA/ DE 5.03,9.01 08/16/12 KBS Real Estate Investment Trust, Inc MD 1.01,2.03 08/17/12 KEY TRONIC CORP WA 2.02,9.01 08/21/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 08/20/12 KINDER MORGAN MANAGEMENT LLC DE 7.01 08/20/12 KINDER MORGAN, INC. DE 7.01 08/20/12 LA-Z-BOY INC MI 2.02,9.01 08/21/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01,9.01 08/20/12 LAS VEGAS RAILWAY EXPRESS, INC. DE 3.02 08/21/12 LIVEDEAL INC NV 2.01,9.01 08/16/12 LODGENET INTERACTIVE CORP DE 8.01,9.01 08/21/12 LORILLARD, INC. DE 1.01,2.03,9.01 08/16/12 LRAD Corp DE 5.02,9.01 08/20/12 MAD CATZ INTERACTIVE INC Z4 5.07 08/20/12 MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 08/21/12 MARINE PETROLEUM TRUST TX 7.01,9.01 08/21/12 MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 08/21/12 MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 08/21/12 MDU RESOURCES GROUP INC DE 5.02,5.03,9.01 08/16/12 MEDIACOM BROADBAND LLC DE 8.01,9.01 08/20/12 MEDIACOM BROADBAND LLC DE 1.01,2.03,8.01,9.01 08/20/12 MEDIANET GROUP TECHNOLOGIES INC NV 1.01,3.02,3.03,5.01, 08/16/12 5.03,9.01 MEDICINOVA INC DE 1.01,8.01,9.01 08/20/12 MEDTRONIC INC MN 2.02,9.01 08/21/12 MeetMe, Inc. DE 5.02,9.01 08/15/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 08/21/12 MISSISSIPPI POWER CO MS 8.01,9.01 08/13/12 ModusLink Global Solutions Inc DE 1.01,2.03,9.01 08/16/12 MONSANTO CO /NEW/ DE 5.02,9.01 08/20/12 MRC GLOBAL INC. DE 7.01,9.01 08/21/12 Myrexis, Inc. DE 5.02,8.01,9.01 08/15/12 NATIONAL BANCSHARES CORP /OH/ OH 2.02 08/21/12 NATIONAL HOLDINGS CORP DE 2.02,9.01 08/15/12 NB&T FINANCIAL GROUP INC OH 8.01 08/21/12 New Source Energy Corp DE 5.02 08/21/12 NEW YORK MORTGAGE TRUST INC MD 1.01,9.01 08/16/12 NEWMARKET CORP VA 5.02,9.01 08/15/12 NEWS CORP 8.01,9.01 08/21/12 Nexxus Lighting, Inc. DE 3.01,7.01,9.01 08/15/12 NORDSON CORP OH 2.02,9.01 08/20/12 AMEND NORFOLK SOUTHERN CORP VA 1.01,2.03,9.01 08/20/12 Nuveen Mortgage Opportunity Term Fund MA 8.01,9.01 08/21/12 Nuveen Mortgage Opportunity Term Fund MA 8.01,9.01 08/21/12 O REILLY AUTOMOTIVE INC 1.01,2.03,8.01,9.01 08/16/12 ONEOK INC /NEW/ OK 7.01,9.01 08/21/12 ONEOK Partners LP DE 7.01,9.01 08/21/12 ORMAT TECHNOLOGIES, INC. DE 7.01,9.01 08/21/12 PAA NATURAL GAS STORAGE LP DE 7.01 08/21/12 Pacific Coast Oil Trust DE 2.02,9.01 08/21/12 Pana-Minerales S.A. NV 1.01,9.01 08/15/12 PENN TREATY AMERICAN CORP PA 8.01,9.01 08/21/12 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 08/15/12 Philip Morris International Inc. VA 8.01,9.01 08/14/12 Pinnacle Foods Finance LLC DE 7.01 08/21/12 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 08/21/12 PLANAR SYSTEMS INC OR 5.02,5.07,9.01 08/15/12 PLC SYSTEMS INC B0 2.02,9.01 08/21/12 PMI GROUP INC DE 7.01,9.01 08/21/12 PREMIER ALLIANCE GROUP, INC. NV 5.02 08/20/12 PREMIER BIOMEDICAL INC NV 5.02 08/17/12 PRESIDENTIAL REALTY CORP/DE/ DE 5.07 08/15/12 QUANTA SERVICES INC DE 5.03,9.01 08/16/12 QUANTUM CORP /DE/ DE 5.02,9.01 08/15/12 RAMCO GERSHENSON PROPERTIES TRUST MD 2.01,9.01 06/01/12 Real Goods Solar, Inc. CO 5.02 08/15/12 RECOVERY ENERGY, INC. NV 3.01 08/15/12 REINSURANCE GROUP OF AMERICA INC MO 1.01,2.03,8.01,9.01 08/21/12 REPUBLIC SERVICES, INC. DE 5.02,9.01 08/20/12 RESPONSE GENETICS INC 5.02,9.01 08/15/12 RIDER EXPLORATION INC NV 8.01 08/09/12 ROOMLINX INC NV 5.02 08/15/12 AMEND RVPlus Inc. DE 1.01,2.02,9.01 08/21/12 SABA SOFTWARE INC DE 3.01,9.01 08/16/12 SAIC, Inc. 1.01,9.01 08/21/12 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 08/21/12 SANDRIDGE ENERGY INC DE 1.01,2.03,9.01 08/20/12 Santa Fe Gold CORP DE 5.02,9.01 08/20/12 SATCON TECHNOLOGY CORP DE 3.01 08/16/12 SCIENTIFIC GAMES CORP DE 1.01,2.03,8.01,9.01 08/20/12 SCIVANTA MEDICAL CORP DE 3.02,9.01 08/15/12 SERVICEMASTER CO DE 1.01,2.03,9.01 08/21/12 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 08/17/12 SINOHUB, INC. DE 2.02,7.01,9.01 08/21/12 SMITH & WESSON HOLDING CORP NV 2.05 10/05/11 AMEND SMTP, Inc. DE 5.02,7.01,8.01,9.01 08/21/11 Sound Financial, Inc. 5.07 08/15/12 STATE STREET CORP MA 8.01,9.01 08/21/12 STEEL DYNAMICS INC IN 5.02,8.01,9.01 08/16/12 STEEL DYNAMICS INC IN 5.02,9.01 08/15/12 Strategic Storage Trust, Inc. MD 7.01,9.01 08/21/12 STREAMLINE HEALTH SOLUTIONS INC. DE 1.01,2.01,2.03,3.02, 08/16/12 3.03,5.02,5.03,9.01 STRUCTURED PROD TIERS CORP BOND-BCKD DE 8.01,9.01 08/15/12 STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01,9.01 08/15/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 08/16/12 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/15/12 STURM RUGER & CO INC DE 8.01,9.01 08/20/12 SUPER LIGHT INC. DE 8.01 08/17/12 SUPERMEDIA INC. DE 1.01,8.01,9.01 08/20/12 SYKES ENTERPRISES INC FL 2.01,2.03,9.01 08/20/12 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 08/21/12 TACTICAL AIR DEFENSE SERVICES, INC. 1.01,7.01,9.01 08/21/12 TECH DATA CORP FL 2.02,9.01 08/21/12 TG THERAPEUTICS, INC. DE 1.01,3.02,9.01 08/15/12 Thermon Group Holdings, Inc. DE 1.01,1.02,2.03,9.01 08/07/12 TILE SHOP HOLDINGS, INC. DE 2.01,5.02,8.01,9.01 08/21/12 Todays Alternative Energy Corp NY 5.02,9.01 08/02/12 AMEND Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 08/21/12 TRANS ENERGY INC NV 7.01,9.01 08/15/12 TREE TOP INDUSTRIES, INC. NV 1.01,9.01 08/15/11 TRUSTCO BANK CORP N Y NY 8.01,9.01 08/21/12 ULTRATECH INC DE 1.01,9.01 08/15/12 Uni-Pixel DE 8.01,9.01 08/21/12 UNION BANKSHARES INC VT 8.01 08/16/12 United Financial Bancorp, Inc. 5.02 08/16/12 UNITED SECURITY BANCSHARES INC DE 5.02 08/21/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 08/20/12 URBAN OUTFITTERS INC PA 2.02,9.01 08/20/12 US CONCRETE INC DE 8.01,9.01 08/20/12 USA TECHNOLOGIES INC PA 8.01,9.01 08/16/12 VHGI HOLDINGS, INC. DE 4.01,5.02,9.01 08/15/12 VIRGIN MEDIA INC. DE 8.01 08/21/12 VISUALANT INC NV 1.01,9.01 08/16/12 VLOV INC. NV 7.01,9.01 08/21/12 Warner Chilcott plc 1.01,2.03,8.01,9.01 08/21/12 WELLS FARGO & COMPANY/MN DE 9.01 08/21/12 WESTERN DIGITAL CORP DE 5.02 08/15/12 WET SEAL INC DE 1.01,2.02,3.03,5.02, 08/21/12 5.03,9.01 WILLIAMS SONOMA INC CA 2.02,9.01 08/21/12 WIZZARD SOFTWARE CORP /CO CO 7.01,9.01 08/21/12 WSFS FINANCIAL CORP DE 1.01,8.01,9.01 08/21/12 ZaZa Energy Corp DE 3.01,9.01 08/15/12