Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Change In The Meeting: Deletion of an Item
The following item was not considered during the Commission’s Open Meeting on August 22, 2012 at 10:00 a.m.:
The Commission will consider rules to eliminate the prohibition against general solicitation and general advertising in securities offerings conducted pursuant to Rule 506 of Regulation D under the Securities Act and Rule 144A under the Securities Act, as mandated by Section 201(a) of the Jumpstart Our Business Startups Act.
Open Meeting on Wednesday, August 29, 2012 at 10:00 a.m.
The subject matter of the Open Meeting will be:
The Commission will consider whether to propose rules to eliminate the prohibition against general solicitation and general advertising in securities offerings conducted pursuant to Rule 506 of Regulation D under the Securities Act and Rule 144A under the Securities Act, as mandated by Section 201(a) of the Jumpstart Our Business Startups Act.
Closed Meeting on Thursday, August 30, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, August 30, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; 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 23, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Frances M. Guggino a/k/a Frances Favata. The Order finds that Frances M. Guggino, the former CFO and Treasurer of the Fixed Income Funds advised by Legg Mason Partners Fund Advisor, LLC, altered books and records of one of the mutual funds – specifically, a trial balance and Board Meeting Minutes – in order to convince others at Legg Mason & Co. that the fund had received an advancement in connection with a Commission Fair Fund distribution, when the fund had not. Among the documents Ms. Guggino altered were documents required to be created and maintained pursuant to the Investment Company Act. Thus, her alteration of these documents constitutes a violation of Section 34(a) of the Investment Company Act.
Based on the above, Frances M. Guggino is ordered to cease and desist from committing or causing any violations and any future violations of Section 34(a) of the Investment Company Act, to pay a civil money penalty of $15,000 and is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and is prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor or principal underwriter. Frances M. Guggino consented to the issuance of the Order without admitting or denying any of the findings. (Rels. IA- IA-3449; IC-30181; File No. 3-14995)
In the Matter of Spyglass Equity Systems, Inc.
On August 24, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Spyglass Equity Systems, Inc. (Spyglass).
The Order finds that on July 27, 2012, a final judgment was entered by consent against Spyglass, permanently enjoining it from future violations of Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, and from aiding and abetting violations of Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder in the civil action entitled Securities and Exchange Commission v. Spyglass Equity Systems, Inc., Civil Action Number LACV11-02371 JAK, in the United States District Court for the Central District of California. The Commission’s complaint in that action alleged that between October 2007 and March 2009, Spyglass, a California corporation with its principal place of business in Los Angeles, California, operated as a telemarketing firm purportedly selling automated trading systems. Spyglass offered and sold to investors memberships in LLCs that would allow access to trading systems and engage in stock trading on behalf of the investors. Spyglass made baseless performance representations, false statements about the stature and integrity of the investment, misrepresentations about the “systems” supposedly used to trade stock on behalf of investors and misrepresentations about the fees to be charged investors. Investors lost over $3 million in the scheme.
Based on the above, Spyglass is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barred 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. Spyglass consented to the issuance of the Order without admitting or denying the findings of the Order except that it admitted the entry of the injunction against it. (Rel. 34-67224; File No. 3-14996)
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 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.
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. 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. [SEC v. Edward Bronson, et al., Case No. 12-CV-6421 (S.D.N.Y.)] (LR-22457)
Orders of Deregistration Under the Investment Company Act Of 1940
Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Standard Insurance Company Separate Account C
An order has been issued under Section 8(f) of the Investment Company Act of 1940 declaring that Standard Insurance Company Separate Account C has ceased to be an investment company. (Rel. (IC-30180 - August 23)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC relating to membership in The NASDAQ Stock Market LLC (SR-NASDAQ-2012-097) 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 27. (Rel. 34-67721)
A proposed rule change filed by The NASDAQ Stock Market LLC to eliminate market maker pre-opening obligations on NOM (SR-NASDAQ-2012-095) 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 27. (Rel. 34-67722)
A proposed rule change (SR-C2-2012-029) filed by the C2 Options Exchange, Incorporated to amend the fees 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 August 27. (Rel. 34-67723)
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-4 Infor (US), Inc., C/O INFOR (US), INC., 641 AVENUE OF THE AMERICAS, NEW YORK, NY, 10011, (678) 319-8000 - 0 ($1,882,875,000.00) Debt, (File 333-183494 - Aug. 23) (BR. 03) N-2 Duff & Phelps Diversified Income Fund Inc., 200 SOUTH WACKER DRIVE, SUITE 500, CHICAGO, IL, 60606, 312-917-6541 - 50,000 ($1,000,000.00) Equity, (File 333-183496 - Aug. 23) (BR. 17) S-3D MIDDLEFIELD BANC CORP, 15985 E HIGH ST, P O BOX 35, MIDDLEFILED, OH, 44062-9263, 4406321666 - 0 ($11,475,000.00) Equity, (File 333-183497 - Aug. 23) (BR. 07C) S-11 Renegade Ventures, Inc., 2620 REGATTA DRIVE STE 102, LAS VEGAS, NV, 89128, 7025772871 - 20,000,000 ($200,000.00) Equity, (File 333-183499 - Aug. 23) (BR. 08) S-8 LyondellBasell Industries N.V., 1221 MCKINNEY ST, SUITE 700, HOUSTON, TX, 77010, 713-309-7200 - 10,314,563 ($510,467,722.87) Equity, (File 333-183500 - Aug. 23) (BR. 06A) S-8 LyondellBasell Industries N.V., 1221 MCKINNEY ST, SUITE 700, HOUSTON, TX, 77010, 713-309-7200 - 1,500,000 ($74,235,000.00) Equity, (File 333-183501 - Aug. 23) (BR. 06A) S-1 Redfield Ventures, Inc, 244 FIFTH AVE SUITE 1563, NEW YORK, NY, 10001, 212-726-2184 - 9,500,000 ($95,000.00) Equity, (File 333-183502 - Aug. 23) (BR. 11) S-4 Armor Defense Systems Inc., 202 CHAMPIONS POINT WAY, CARY, NC, 27513, 919.389.8321 - 0 ($1,101,743.00) Equity, (File 333-183503 - Aug. 23) (BR. 05) S-3 AMERICAN EQUITY INVESTMENT LIFE HOLDING CO, 5000 WESTOWN PARKWAY, SUITE 440, WEST DEMOINES, IA, 50266, 5152210002 - 3,000,000 ($34,875,000.00) Equity, (File 333-183504 - Aug. 23) (BR. 01A) S-3 Western Gas Partners LP, 1201 LAKE ROBBINS DRIVE, THE WOODLANDS, TX, 77380, 832-636-1000 - 0 ($125,000,000.00) Equity, (File 333-183505 - Aug. 23) (BR. 02C) S-4 HOST HOTELS & RESORTS L.P., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, MD, 20817-1109, 240-744-1000 - 0 ($350,000,000.01) Equity, (File 333-183506 - Aug. 23) (BR. 08B) S-1 GRAYBAR ELECTRIC CO INC, 34 N MERAMEC AVE, ST LOUIS, MO, 63105, 3145129200 - 964,300 ($19,286,000.00) Equity, (File 333-183509 - Aug. 23) (BR. 10A) S-3 UDR, Inc., 1745 SHEA CENTER DRIVE, SUITE 200, HIGHLANDS RANCH, CO, 80129, 720-283-6120 - 0 ($44,929,818.00) Equity, (File 333-183510 - Aug. 23) (BR. 08C) S-8 PROGENICS PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER ROAD, TARRYTOWN, NY, 10591, 9147892800 - 1,000,000 ($4,170,000.00) Equity, (File 333-183511 - Aug. 23) (BR. 01B) S-8 CoroWare, Inc,, 1410 MARKET STREET, KIRKLAND, WA, 98033, 239-466-0488 - 0 ($200,000.00) Other, (File 333-183512 - Aug. 23) (BR. 03A) S-8 IRIDEX CORP, 1212 TERRA BELLA AVE, MOUNTAIN VIEW, CA, 94043, 6509404700 - 400,000 ($1,268,000.00) Equity, (File 333-183513 - Aug. 23) (BR. 10A) S-3ASR COINSTAR INC, 1800 114TH AVENUE S E, BELLEVUE, WA, 98004, 4259438000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183514 - Aug. 23) (BR. 11A) S-8 VAALCO ENERGY INC /DE/, 4600 POST OAK PL STE 309, HOUSTON, TX, 77027, 713-623-0801 - 0 ($23,055,000.00) Equity, (File 333-183515 - Aug. 23) (BR. 04B) S-3ASR SUNTRUST BANKS INC, 303 PEACHTREE ST N E, ATLANTA, GA, 30308, 4045887711 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183516 - Aug. 23) (BR. 12A) S-8 QUINSTREET, INC, 950 TOWER LANE, 6TH FLOOR, FOSTER CITY, CA, 94404, 650-578-7700 - 2,511,101 ($21,017,915.37) Equity, (File 333-183517 - Aug. 23) (BR. 03B) S-3ASR COMPUTER SCIENCES CORP, 3170 FAIRVIEW PARK DRIVE, FALLS CHURCH, VA, 22042, 7038761000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183518 - Aug. 23) (BR. 03B) S-3ASR RLJ Lodging Trust, 3 BETHESDA METRO CENTER, SUITE 1000, BETHESDA, MD, 20814, 301-280-7777 - 0 ($54,261,045.00) Equity, (File 333-183519 - Aug. 23) (BR. 08C) S-1 Discount Coupons Corp, 475 BLUFF VIEW DRIVE, BELLEAIRE BLUFFS, FL, 33770, 919-610-4400 - 10,994,823 ($2,748,705.70) Equity, (File 333-183521 - Aug. 23) (BR. )
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 ----------------------------------------------------------------------------------------- 1 800 FLOWERS COM INC DE 2.02,9.01 08/23/12 ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03,3.02 08/17/12 AECOM TECHNOLOGY CORP DE 8.01,9.01 08/23/12 Alexza Pharmaceuticals Inc. DE 8.01,9.01 08/23/12 Allison Transmission Holdings Inc DE 1.01,9.01 08/23/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.02 08/21/12 AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 08/22/12 AMERICAN FINANCIAL GROUP INC OH 1.01,9.01 08/21/12 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 08/23/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01 08/17/12 AMERICAN SOFTWARE INC GA 5.07 08/20/12 American Strategic Minerals Corp NV 4.02 08/20/12 AMERIGROUP CORP 8.01 08/22/12 APOLLO SOLAR ENERGY, INC. NV 5.02 08/20/12 Apple REIT Eight, Inc. VA 2.02,9.01 08/22/12 Apple REIT Nine, Inc. VA 2.02,9.01 08/22/12 Apple REIT Seven, Inc. VA 2.02,9.01 08/22/12 APPLE REIT SIX INC 2.02,9.01 08/22/12 Apple REIT Ten, Inc. VA 2.02,9.01 08/22/12 ARI NETWORK SERVICES INC /WI WI 1.01,2.01,3.02,8.01, 08/17/12 9.01 ARUBA NETWORKS, INC. DE 2.02,9.01 08/23/12 ASSURED GUARANTY LTD D0 7.01 08/23/12 ATP OIL & GAS CORP TX 3.01 08/20/12 AUTODESK INC DE 2.02,2.05,9.01 08/22/12 BANCFIRST CORP /OK/ OK 7.01 08/23/12 BANK OF AMERICA CORP /DE/ DE 5.02,9.01 08/23/12 BANK OF THE OZARKS INC AR 5.02,9.01 08/21/12 BANNER CORP WA 8.01,9.01 08/23/12 BAR HARBOR BANKSHARES ME 8.01 08/21/12 Beacon Federal Bancorp, Inc. MD 8.01,9.01 08/23/12 Beacon Federal Bancorp, Inc. MD 5.07 05/17/12 AMEND bebe stores, inc. CA 2.02,9.01 08/23/12 BLACKBOX SEMICONDUCTOR, INC. NV 1.01,5.02 06/14/12 BLUE SPHERE CORP. NV 1.01 07/18/11 BOLDFACE GROUP, INC. NV 5.02 08/22/12 BOLT TECHNOLOGY CORP CT 2.02,5.02,8.01,9.01 08/21/12 BRINKER INTERNATIONAL INC DE 7.01,8.01,9.01 08/23/12 BROADVIEW NETWORKS HOLDINGS INC DE 1.03,2.04,9.01 08/22/12 BROADWIND ENERGY, INC. DE 5.03,8.01,9.01 08/22/12 BROADWIND ENERGY, INC. DE 1.01,2.03,9.01 08/23/12 BURLINGTON NORTHERN SANTA FE, LLC 1.01,2.03,9.01 08/23/12 BUTLER NATIONAL CORP DE 8.01,9.01 08/23/12 C & F FINANCIAL CORP VA 8.01,9.01 08/23/12 CADENCE PHARMACEUTICALS INC 8.01 08/22/12 Carey Watermark Investors Inc 9.01 06/08/12 AMEND CELGENE CORP /DE/ DE 5.02 08/21/12 CENTURY PROPERTIES FUND XIX CA 1.01,9.01 08/21/12 Chanticleer Holdings, Inc. DE 7.01,9.01 08/23/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 08/23/12 CHICOS FAS INC FL 2.02,9.01 08/22/12 CHINA EDUCATION INTERNATIONAL, INC. NV 1.01,2.01,3.02,7.01, 08/22/12 9.01 CHINA EDUCATION TECHNOLOGY, INC. NV 4.01 07/16/12 China Liaoning Dingxu Ecological Agri NV 4.01,9.01 08/22/12 CIG WIRELESS CORP. NV 5.03,9.01 08/14/12 Circle Entertainment, Inc. DE 1.01,2.03,5.02,9.01 08/17/12 City Media, Inc. UT 8.01 08/23/12 COCA COLA CO DE 7.01,9.01 08/23/12 CombiMatrix Corp DE 7.01,8.01,9.01 08/23/12 Constant Contact, Inc. DE 9.01 06/12/12 AMEND ContinuityX Solutions, Inc. DE 1.01,5.02,9.01 08/17/12 CROSSTEX ENERGY INC DE 7.01 08/23/12 CROSSTEX ENERGY LP DE 7.01 08/23/12 CRYOLIFE INC FL 1.01,3.03,8.01,9.01 08/20/12 DELTA PETROLEUM CORP/CO CO 1.01 08/15/12 DEX ONE Corp DE 1.01,9.01 08/20/12 AMEND Discovery Communications, Inc. DE 5.02 08/17/12 Discovery Gold Corp NV 5.02,8.01,9.01 08/17/12 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 08/22/12 Domtar CORP DE 2.03,8.01,9.01 08/23/12 DreamWorks Animation SKG, Inc. 1.01,8.01,9.01 08/18/12 DRIL-QUIP INC DE 1.01,9.01 08/20/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 08/22/12 ECOLOGY COATINGS, INC. NV 5.02 08/23/12 EMMIS COMMUNICATIONS CORP IN 1.01,2.01 08/20/12 EMPIRE RESORTS INC DE 1.01,9.01 08/17/12 ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 08/22/12 EPAM Systems, Inc. DE 5.02 08/23/12 EPICEPT CORP 1.02,5.02 08/17/12 EV Energy Partners, LP DE 7.01,9.01 08/20/12 Exterra Energy Inc. NV 7.01,9.01 08/20/12 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02 08/23/12 FBL FINANCIAL GROUP INC IA 5.02,7.01 08/23/12 Federal Home Loan Bank of Atlanta X1 2.03 08/23/12 Federal Home Loan Bank of Boston X1 2.03 08/21/12 Federal Home Loan Bank of Chicago X1 2.03 08/20/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/20/12 Federal Home Loan Bank of Dallas 2.03,9.01 08/17/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/21/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/23/12 Federal Home Loan Bank of New York X1 2.03,9.01 08/21/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/20/12 Federal Home Loan Bank of San Francis X1 2.03 08/20/12 Federal Home Loan Bank of Topeka 2.03,9.01 08/20/12 FIFTH THIRD BANCORP OH 1.01,2.03 08/23/12 FIRST CAPITAL BANCORP, INC. VA 5.07 08/22/12 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.02,9.01 08/21/12 FIRST DEFIANCE FINANCIAL CORP OH 7.01,9.01 08/23/12 FORWARD INDUSTRIES INC NY 2.02,9.01 08/20/12 FREDS INC TN 2.02,9.01 08/23/12 FRISCHS RESTAURANTS INC OH 8.01 08/22/12 FUSION TELECOMMUNICATIONS INTERNATION DE 2.01,7.01,9.01 08/23/11 GAMETECH INTERNATIONAL INC DE 5.02 08/17/12 GAYLORD ENTERTAINMENT CO /DE DE 8.01 08/22/12 GBS Enterprises Inc NV 4.02 08/17/12 GENESIS GROUP HOLDINGS INC 2.01 08/23/12 GIGA TRONICS INC CA 5.07 08/22/12 GLACIER BANCORP INC DE 2.02,9.01 07/26/12 GLEACHER & COMPANY, INC. DE 5.02,9.01 08/17/12 GLIMCHER REALTY TRUST MD 1.01,2.03,9.01 08/22/12 GLOBAL AXCESS CORP NV 2.02,5.02,7.01,9.01 08/20/12 Global Ecology Corp NV 8.01,9.01 07/09/12 GRAMERCY CAPITAL CORP MD 1.01,3.02,7.01,9.01 08/17/12 Great American Group, Inc. DE 5.07 08/21/12 Griffin Capital Net Lease REIT, Inc. 7.01,9.01 08/23/12 GYRODYNE CO OF AMERICA INC NY 1.01,5.02,8.01,9.01 08/17/12 HARRIS CORP /DE/ DE 5.02 08/21/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02 08/20/12 HEALTH CARE REIT INC /DE/ DE 7.01,8.01,9.01 08/22/12 HEALTH NET INC DE 7.01 08/22/12 HELIX ENERGY SOLUTIONS GROUP INC MN 5.02,7.01,9.01 08/23/12 HEMISPHERX BIOPHARMA INC DE 5.03,8.01,9.01 08/23/12 Higher One Holdings, Inc. DE 8.01 08/17/12 Horizon Technology Finance Corp DE 1.01,2.03,9.01 08/23/12 HORMEL FOODS CORP /DE/ DE 2.02,9.01 08/23/12 ICAHN ENTERPRISES HOLDINGS L.P. DE 4.01,9.01 08/09/12 ICAHN ENTERPRISES L.P. DE 4.01,9.01 08/09/12 ILLINOIS TOOL WORKS INC DE 8.01 08/23/12 IMMUNOMEDICS INC DE 2.02,9.01 08/23/12 Inland American Real Estate Trust, In MD 7.01,9.01 08/23/12 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02,9.01 08/17/12 INTERFACE INC GA 2.01,7.01,9.01 08/22/12 INVESTORS CAPITAL HOLDINGS LTD MA 5.07 08/22/12 JAKKS PACIFIC INC DE 8.01 08/13/12 John Bean Technologies CORP DE 7.01,9.01 08/22/12 KAVILCO INC/WA/ AK 4.01 06/30/12 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 08/21/12 KINDER MORGAN ENERGY PARTNERS L P DE 1.01,7.01,9.01 08/17/12 KIRKLAND'S, INC 2.02,9.01 08/17/12 LABORATORY CORP OF AMERICA HOLDINGS DE 1.01,8.01,9.01 08/20/12 LANCASTER COLONY CORP OH 2.02,9.01 08/23/12 LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 08/15/12 LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 08/15/12 LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 08/15/12 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/12 LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 08/15/12 Lincolnway Energy, LLC IA 1.01 08/20/12 LOCAL.COM DE 1.01,2.03,9.01 08/17/12 Location Based Technologies, Inc. NV 8.01,9.01 08/20/12 LOOKSMART LTD DE 1.01,3.03,9.01 08/23/12 Lustros Inc. UT 5.02,8.01 06/30/12 Mastech Holdings, Inc. PA 5.02 08/20/12 Meetinghouse Bancorp, Inc. MD 1.01,9.01 08/17/12 MEI Pharma, Inc. DE 2.01,3.02 08/22/12 MENTOR GRAPHICS CORP OR 2.02 08/23/12 MICHAELS STORES INC DE 2.02,9.01 08/23/12 MICROCHIP TECHNOLOGY INC DE 5.02,5.07,9.01 08/23/12 MICROS SYSTEMS INC MD 2.02,9.01 08/23/12 Motors Liquidation Co DE 8.01,9.01 08/23/12 National CineMedia, Inc. DE 8.01,9.01 08/23/12 NAVISTAR INTERNATIONAL CORP DE 1.01,2.03,9.01 08/17/12 NB&T FINANCIAL GROUP INC OH 5.02 08/23/12 NET 1 UEPS TECHNOLOGIES INC 2.02,5.02,7.01,9.01 08/22/12 Net Element, Inc. DE 1.01,2.03,9.01 08/17/12 NEW FRONTIER MEDIA INC CO 3.01,9.01 08/17/12 New Leaf Brands, Inc. NV 5.02,9.01 08/23/11 NEWS CORP 8.01,9.01 08/23/12 NEXSTAR BROADCASTING GROUP INC DE 7.01 08/23/12 NextWave Wireless Inc. DE 1.01,2.03,9.01 08/16/12 Nexxus Lighting, Inc. DE 2.02,2.06,9.01 06/28/12 NORDSTROM INC WA 8.01,9.01 08/23/12 NORTHWEST BIOTHERAPEUTICS INC DE 1.01,2.03,3.02 08/17/12 NUVASIVE INC DE 8.01 08/17/12 NYSE Euronext DE 5.03,9.01 08/23/12 O REILLY AUTOMOTIVE INC 8.01 08/17/12 OCWEN FINANCIAL CORP FL 8.01 08/23/12 OIL STATES INTERNATIONAL, INC DE 8.01,9.01 08/23/12 OLD LINE BANCSHARES INC MD 7.01 08/23/12 ON SEMICONDUCTOR CORP DE 2.03,3.02 08/22/12 PACIFIC FINANCIAL CORP WA 5.02 08/22/12 PANERA BREAD CO DE 5.02,8.01,9.01 08/23/12 PATTERSON COMPANIES, INC. MN 2.02,9.01 08/23/12 PHH CORP MD 1.01,2.03,8.01,9.01 08/23/12 PHOTOMEDEX INC DE 7.01,8.01,9.01 08/23/12 Piedmont Office Realty Trust, Inc. MD 1.01,2.03,9.01 08/21/12 PIER 1 IMPORTS INC/DE DE 8.01,9.01 08/23/12 Plymouth Opportunity REIT Inc. MD 7.01 08/20/12 Porter Bancorp, Inc. KY 5.02 08/22/12 POZEN INC /NC 8.01,9.01 08/21/12 Punchline Entertainment, Inc. 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