Commission Issues Risk Alert on “Pay-To-Play” Prohibitions Under MSRB Rules
The Commission today issued an alert to strengthen compliance with a Municipal Securities Rulemaking Board rule that limits political contributions by municipal securities professionals to campaigns of public officials of issuers with whom they are doing or seek to do business.
The Risk Alert issued by the agency’s Office of Compliance Inspections and Examinations notes that SEC examiners have observed practices that raise concerns about firms’ compliance with their obligations under MSRB Rule G-37, which clamped down on so-called “pay to play” practices. (Rel. 2012-173)
Fee Rate Advisory #7 for Fiscal Year 2013
The Commission today announced that in fiscal year 2013 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $136.40 per million dollars.
The Commission determined this new rate in accordance with procedures required under the securities laws. Accordingly, the Commission consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustment. (Rel. 2012-174; Rel. 33-9357)
Commission Revokes Registration of Securities of Green Energy Group, Inc. (A/K/A Ecom Ecom.Com, Inc.) for Failure to Make Required Periodic Filings
On August 31, 2012, the Commission revoked the registration of each class of registered securities of Green Energy Group, Inc. (a/k/a eCom eCom.Com, Inc.) (ECEC) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, ECEC consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Green Energy Group, Inc. (a/k/a eCom eCom.Com, Inc.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of ECEC’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against ECEC in In the Matter of AngelCiti Entertainment, Inc., et al., Administrative Proceeding File No. 3-14932. (Rel. 34-67762; File No. 3-14932).
In the Matter of Matthew Crisp
The Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order) as to Matthew Crisp, of Hillsborough, California. The Order finds that, among other things, Crisp willfully violated, aided, and abetted violations of the antifraud provisions of the Exchange Act and the Advisers Act by exploiting undisclosed conflicts for his personal gain while working as a partner and fiduciary of Adams Street Partners, LLC (Adams Street), a registered investment adviser to multiple private equity funds. The Order Instituting Proceedings was filed on August 29, 2011, and a hearing was held on January 23 through 26, 2012.
Crisp consented to the issuance of the Order without admitting or denying the Commission’s findings. The Order requires him to disgorge profits totaling $89,761; orders Crisp to pay a civil penalty of $50,000; bars Crisp from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after one year; and orders Crisp to cease and desist from committing or causing any violations and any future violations of Sections 206(1), 206(2) and 206(4) of the Advisers Act, and Rule 206(4)-8 thereunder, and Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. (Rel. 34-67761; File No. 3-14520).
Commission Revokes Registration of Securities of Clear Choice Financial, Inc. for Failure to Make Required Periodic Filings
On August 31, 2012, the Commission revoked the registration of each class of registered securities of Clear Choice Financial, Inc. (CLCI) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, CLCI consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Clear Choice Financial, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CLCI’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against CLCI in In the Matter of Alliance Bancshares California, et al., Administrative Proceeding File No. 3-14956. (Rel. 34-67763; File No. 3-14956).
In the Matter of Federico Quinto, Jr., CPA
The Commission announced the issuance of an Order Instituting Public Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Federico Quinto, Jr. The Order finds that Quinto engaged in improper professional conduct as the engagement partner on the 2007 audit and first three quarterly reviews of 2008 of Soyo Group, Inc.’s (Soyo) financials. In this capacity, Quinto failed to ensure that Vasquez & Company, LLP’s engagement team for Soyo adhered to the standards of the Public Company Accounting Oversight Board in performing audit and review procedures in key areas, such as debt and going concern.
Based on the above, the Order denies Quinto the privilege of appearing or practicing before the Commission as an accountant, with the opportunity to seek reinstatement after one year. Quinto consented to the issuance of the Order without admitting or denying any of the findings in the administrative proceeding. (Rel. 34-67767; File No. 3-15001).
In the Matter of Jay T. Comeaux
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions, and a Cease-and-Desist Order against a former executive of Stanford Group Company (SGC), a dually registered U.S. broker-dealer and investment adviser owned by Robert Allen Stanford. In the Order, the Commission finds that SGC defrauded investors of certificates of deposit (CDs) issued by an affiliated Antiguan bank, Stanford International Bank (SIB). The Commission finds that Jay T. Comeaux, SGC’s former Executive Director and President, knew that SGC marketed and sold SIB CDs to U.S. investors as safe and secure based on the purported liquid and marketable composition of SIB’s underlying investment portfolio. Comeaux also knew, however, that SIB refused to disclose the details of its investment portfolio to him or to any other SGC executives or representatives, so nobody at SGC could verify the purported size, liquidity, and marketability of the assets in SIB’s investment portfolio. The Commission also finds that SGC: (i) marketed and sold SIB CDs to U.S. investors as being supported by a “comprehensive insurance program” that provided “depositor security;” and (ii) trained its financial advisors that FDIC insurance was “relatively weak” in comparison to SIB’s robust insurance program. However, Comeaux knew that the SIB CDs were not insured and that SIB did not maintain insurance that was the equivalent of – or better than – FDIC protection.
Without admitting or denying the SEC’s charges, Comeaux consented to the entry of a final judgment enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Comeaux agreed to be barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization; from acting as an employee, officer, or director of a registered investment company; and from participating in any penny stock offering. Comeaux also agreed to participate in further administrative proceedings to determine what, if any, additional remedial action, including disgorgement and financial penalties, is appropriate.
A hearing will be scheduled before an administrative law judge to determine what remedial sanctions, if any, are necessary and appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order on Comeaux. (Rel. 33-9355; File No. 15002).
Delinquent Filers’ Stock Registrations Revoked
An Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Raymond P. Morris, Admin. Proc. No. 3-14939. The Order Instituting Proceedings (OIP) alleged that Respondent Raymond P. Morris (Morris) was permanently enjoined from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rule 10b-5 on June 4, 2012, in SEC v. Morris, No. 2:11-CV-00021 (D. Utah). The Default Order finds the allegations of the OIP to be true and that it is in the public interest, pursuant to Section 15(b) of the Exchange Act, to bar Morris from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and from participating in an offering of penny stock. (Rel. 34-67758; File No. 3-14939).
Approval Of Proposed Rule Change
The Commission approved proposed rule changes submitted by Boston Stock Exchange Clearing Corporation (SR-BSECC-2012-01); NASDAQ OMX BX, Inc. (SR-BX-2012-052); the NASDAQ Stock Market LLC (SR-NASDAQ-2012-072); NASDAQ OMX PHLX LLC (SR-PHLX-2012-95); and Stock Clearing Corporation of Philadelphia (SR-SCCP-2012-001) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 with respect to the amendment of the by-laws of the NASDAQ OMX Group, Inc. Publication is expected in the Federal Register during the week of September 3rd. (Rel. 34-67760)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by New York Stock Exchange LLC amending Rule 107B to change the existing Supplemental Liquidity Provider monthly volume requirement in all assigned SLP securities and amend the Exchange’s price list to specify the applicable percentage of NYSE CADV for the monthly volume requirement (SR-NYSE-2012-38) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of September 3rd. (Rel. 34-67759)
Notice of Proposed Rule Change
The NASDAQ Stock Market LLC has filed a proposed rule change (SR-NASDAQ-2012-098) pursuant to Section 19(b) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the WisdomTree Global Corporate Bond Fund of the WisdomTree Trust. Publication is expected in the Federal Register during the week of September 3rd. (Rel. 34-67750)
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.
N-2 Salient MLP & Energy Infrastructure Fund, 4265 SAN FELIPE, SUITE 800, HOUSTON, TX, 77027, 713-993-4675 - 0 ($75,000,000.00) Equity, (File 333-183623 - Aug. 30) (BR. 17) F-1 Maxclean Holdings Ltd, 88 Yu Feng Shuo Fang Town, New District, Wuxi city, Jiangsu Province P. R. China, F4, 00000, 86510-8526-1996 - 91,951,367 ($11,034,164.00) Equity, (File 333-183624 - Aug. 30) (BR. 06A) S-8 Del Frisco's Restaurant Group, Inc., 930 S. KIMBALL AVE., SUITE 100, SOUTHLAKE, TX, 76092, 817-601-3421 - 2,232,800 ($28,468,200.00) Equity, (File 333-183627 - Aug. 30) (BR. 05B) S-4 PUGET ENERGY INC /WA, 10885 NE 4TH STREET, BELLEVUE, WA, 980045515, 4254546363 - 0 ($450,000,000.00) Debt, (File 333-183628 - Aug. 30) (BR. 02B) S-8 VelaTel Global Communications, Inc., 5950 LA PLACE COURT, SUITE 160, CARLSBAD, CA, 92008, 760-230-8985 - 8,354,081 ($701,742.64) Equity, (File 333-183629 - Aug. 30) (BR. 11A) S-1 Vyrian, INC, 10101 SOUTHWEST FRWY., SUITE 400, HOUSTON, TX, 77074, 2818174008 - 30,000,000 ($3,000,000.00) Equity, (File 333-183630 - Aug. 30) (BR. 10B) S-4 NEW HAMPSHIRE THRIFT BANCSHARES INC, 9 MAIN ST, THE CARRAIG HOUSE, NEWPORT, NH, 03257, 6038630886 - 0 ($11,451,017.00) Equity, (File 333-183631 - Aug. 30) (BR. 07B) S-4 Lone Pine Resources Inc., 640-5 AVENUE SW, SUITE 1100, CALGARY, A0, T2P 3G4, 403-292-8000 - 0 ($200,000,000.00) Debt, (File 333-183632 - Aug. 30) (BR. 04A) S-8 RXi Pharmaceuticals Corp, 1500 WEST PARK DRIVE, SUITE 210, WESTBOROUGH, MA, 01581, (508) 767-3861 - 0 ($9,247,887.36) Equity, (File 333-183633 - Aug. 30) (BR. 01B) S-3ASR FLOWSERVE CORP, 5215 N. O'CONNOR BLVD., SUITE 2300, IRVING, TX, 75039, 9724436500 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183634 - Aug. 30) (BR. 10A) S-8 Walker & Dunlop, Inc., 7501 WISCONSIN AVENUE, SUITE 1200E, BETHESDA, MD, 20814, (301) 215-5500 - 0 ($42,192,400.00) Equity, (File 333-183635 - Aug. 30) (BR. 07C) S-1 Taylor & Martin Group Inc, 12 Greenway Plaza, Suite 2300, Houston, TX, 77002, 713-425-4940 - 0 ($172,500,000.00) Equity, (File 333-183637 - Aug. 30) (BR. 02) F-3ASR NORDIC AMERICAN TANKERS Ltd, LOM BUILDING, 27 REID STREET, HAMILTON HM 11, D0, 00000, (441) 292-7202 - 0 ($0.00) Equity, (File 333-183639 - Aug. 30) (BR. 05B) S-1 Workday, Inc., 6230 STONERIDGE MALL ROAD, SUITE 200, PLEASANTON, CA, 94588, 877-967-5329 - 0 ($400,000,000.00) Equity, (File 333-183640 - Aug. 30) (BR. 03B) S-4 CLEAN HARBORS INC, 42 LONGWATER DRIVE, P.O. BOX 9149, NORWELL, MA, 02061-9149, 781-792-5000 - 0 ($800,000,000.00) Debt, (File 333-183641 - Aug. 30) (BR. 06C) F-3ASR NORDIC AMERICAN TANKERS Ltd, LOM BUILDING, 27 REID STREET, HAMILTON HM 11, D0, 00000, (441) 292-7202 - 1,664,450 ($2,211.00) Equity, (File 333-183643 - Aug. 30) (BR. 05B) S-8 Northern Tier Energy LP, 38C GROVE STREET, SUITE 100, RIDGEFIELD, CT, 06877, (203) 244-6550 - 0 ($166,458,065.00) Limited Partnership Interests, (File 333-183644 - Aug. 30) (BR. 04B) S-3ASR LEXINGTON REALTY TRUST, ONE PENN PLAZA, SUITE 4015, NEW YORK, NY, 10119, (212) 692-7200 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183645 - Aug. 30) (BR. 08B) S-4 DIGITALGLOBE, INC., 1601 DRY CREEK DRIVE, SUITE 260, LONGMONT, CO, 80503, 3036844000 - 30,942,097 ($609,317,116.00) Equity, (File 333-183646 - Aug. 30) (BR. 11C)
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 STATE 8K ITEM NUMBERS DATE COMMENT AARON'S INC GA 5.02,7.01,9.01 08/24/12 AgFeed Industries, Inc. NV 8.01 08/30/12 Allegiant Travel CO NV 2.03 08/27/12 ALTERA CORP DE 5.02 08/30/12 AMERICAN APPAREL, INC DE 7.01,9.01 08/30/12 American Renal Associates Holdings, I DE 1.01,2.03 08/27/12 American Renal Holdings Inc. DE 1.01,2.03 08/27/12 AMERIGAS PARTNERS LP DE 5.02 08/28/12 AMP Holding Inc. NV 5.02,9.01 08/24/12 AMSURG CORP TN 7.01,9.01 08/30/12 Apple REIT Seven, Inc. VA 8.01 08/24/12 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 08/30/12 ARROW ELECTRONICS INC NY 8.01,9.01 08/29/12 Ascena Retail Group, Inc. DE 9.01 06/14/12 AMEND Augme Technologies, Inc. DE 3.02 08/25/12 AUTHENTIDATE HOLDING CORP DE 3.03,5.03,9.01 08/30/12 Avantair, Inc DE 5.02 08/24/12 AVAYA INC DE 5.02 08/24/12 AZZ INC TX 5.02 08/29/12 BARNES GROUP INC DE 2.01,2.03,9.01 08/24/12 BeesFree, Inc. NV 7.01,8.01,9.01 08/27/12 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 08/30/12 Behringer Harvard Opportunity REIT II MD 1.01 08/24/12 BIO REFERENCE LABORATORIES INC NJ 2.02,9.01 08/30/12 BioDrain Medical, Inc. MN 1.01,3.02,9.01 08/24/12 BofI Holding, Inc. DE 7.01,9.01 08/30/12 BRT REALTY TRUST MA 9.01 06/20/12 AMEND CAMCO FINANCIAL CORP DE 5.02 08/29/12 Capital Group Holdings, Inc. MN 1.01 08/23/12 CAPITOL BANCORP LTD MI 8.01,9.01 08/30/12 CardioNet, Inc. CA 1.01,2.01,2.03,9.01 08/29/12 Catalent Pharma Solutions, Inc. DE 2.02,9.01 08/30/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02 08/24/12 CHART INDUSTRIES INC DE 7.01,9.01 08/30/12 CHINA VALVES TECHNOLOGY, INC NV 3.01,5.02 08/30/12 China VantagePoint Acquisition Co 1.01,8.01,9.01 08/24/12 ChromaDex Corp. DE 7.01,9.01 08/29/12 ChromaDex Corp. DE 5.07 08/28/12 CIENA CORP DE 2.02,9.01 08/30/12 CIRCLE STAR ENERGY CORP. NV 1.01,3.02,9.01 08/30/12 CLAIRES STORES INC DE 2.02,9.01 08/29/12 COAST DISTRIBUTION SYSTEM INC DE 5.07 08/28/12 CODORUS VALLEY BANCORP INC PA 2.06 08/30/12 COLORADO INTERSTATE GAS COMPANY, L.L. DE 5.02 08/29/12 COLUMBIA BANKING SYSTEM INC WA 5.02,7.01,9.01 08/28/12 Computer Vision Systems Laboratories DE 1.01,9.01 08/24/12 COMPUWARE CORP MI 5.07 08/28/12 CONNS INC DE 5.02,9.01 08/28/12 COVENANT BANCSHARES, INC. IL 3.02 08/24/12 CPI CORP DE 2.02 08/30/12 CYCLONE POWER TECHNOLOGIES INC FL 7.01,9.01 08/24/12 DARDEN RESTAURANTS INC FL 8.01,9.01 08/29/12 DEL TORO SILVER CORP. NV 7.01,9.01 08/29/12 DIGITAL ALLY INC 5.03,9.01 08/24/12 DIGITALGLOBE, INC. DE 1.01,9.01 08/30/12 DIRECT MARKETS HOLDINGS CORP. DE 3.01,5.02 08/28/12 Duke Energy CORP DE 7.01 08/29/12 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 08/29/12 Echo Therapeutics, Inc. DE 1.01,9.01 08/28/12 EFL OVERSEAS, INC. NV 5.02 08/27/12 ELECTRONIC ARTS INC. DE 1.01,2.03,9.01 08/30/12 EMC INSURANCE GROUP INC IA 7.01,9.01 08/29/12 EMC INSURANCE GROUP INC IA 5.02 08/29/12 EMMIS COMMUNICATIONS CORP IN 1.01,9.01 08/30/12 ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 08/30/12 Federal Home Loan Bank of Atlanta X1 2.03 08/30/12 Federal Home Loan Bank of Boston X1 2.03 08/27/12 Federal Home Loan Bank of Chicago X1 2.03 08/27/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/27/12 Federal Home Loan Bank of Indianapolis X1 2.03,9.01 08/30/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/27/12 Federal Home Loan Bank of San Francis X1 2.03 08/27/12 Federal Home Loan Bank of Topeka 2.03,9.01 08/27/12 FelCor Lodging Trust Inc MD 5.02,9.01 08/24/12 Flagstone Reinsurance Holdings, S.A. N4 8.01,9.01 08/30/12 FLOWSERVE CORP NY 8.01,9.01 08/30/12 FRIEDMAN INDUSTRIES INC TX 5.07 08/30/12 FS Energy & Power Fund DE 1.01,2.03,9.01 08/28/12 FXCM Inc. 9.01 06/25/12 AMEND GAMETECH INTERNATIONAL INC DE 1.03,9.01 08/21/12 GAP INC DE 7.01,9.01 08/30/12 Genpact LTD D0 1.01,1.02, 08/30/12 2.03,8.01,9.01 GeoEye, Inc. DE 1.01 08/30/12 GeoEye, Inc. DE 1.01,9.01 08/30/12 Goldenway, Inc. NV 1.01,5.07,9.01 08/24/12 Gordmans Stores, Inc. DE 2.02,9.01 08/30/12 Graystone Co DE 3.02,8.01 08/28/12 HARLEYSVILLE SAVINGS FINANCIAL CORP 5.04,9.01 08/29/12 HERSHA HOSPITALITY TRUST MD 2.01,9.01 06/18/12 AMEND HIGHWATER ETHANOL LLC 5.02 08/29/12 HOMEAWAY INC DE 3.01,5.02 08/24/12 HomeTrust Bancshares, Inc. MD 5.02,9.01 08/28/12 IMAGE SENSING SYSTEMS INC MN 5.02,9.01 08/24/12 IMMUNOMEDICS INC DE 5.02 08/27/12 INERGY L P DE 7.01 08/30/12 INPHI Corp DE 5.02 08/24/12 INTEGRATED ELECTRICAL SERVICES INC DE 5.07 08/30/12 AMEND INTEGRATED FREIGHT Corp FL 4.01,9.01 08/24/12 INTERNATIONAL SILVER INC AZ 1.01,9.01 08/28/12 iPayment Holdings, Inc DE 1.01,9.01 08/28/12 ISECURETRAC CORP DE 5.01 08/29/12 J&J SNACK FOODS CORP NJ 8.01,9.01 08/30/12 KEATING CAPITAL INC 7.01,9.01 08/28/12 KIT digital, Inc. DE 5.02 08/28/12 KIT digital, Inc. DE 1.01,9.01 08/30/12 KOHLS Corp WI 2.02,9.01 08/30/12 LAM RESEARCH CORP DE 5.02,8.01,9.01 08/30/12 LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 08/30/12 LEXINGTON REALTY TRUST MD 8.01,9.01 08/30/12 LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 08/29/12 Lifevantage Corp CO 8.01 08/27/12 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 08/30/12 LOCAL.COM DE 7.01,9.01 08/30/12 LUBYS INC DE 2.02,9.01 08/30/12 LUBYS INC DE 1.01,9.01 08/28/12 LZG INTERNATIONAL, INC. FL 4.01,9.01 08/27/12 MAGELLAN GOLD Corp NV 1.01,3.02,7.01,9.01 08/28/12 Manhattan Bancorp CA 5.02 08/24/12 Mantra Venture Group Ltd. 1.01,9.01 07/31/12 Mastech Holdings, Inc. PA 5.02 08/20/12 AMEND MEADOWBROOK INSURANCE GROUP INC MI 1.01,1.02,2.03,9.01 08/29/12 MEDINA INTERNATIONAL HOLDINGS, INC. CO 3.03,5.03,9.01 08/23/12 MedPro Safety Products, Inc. NV 5.07 08/28/12 MERRIMACK PHARMACEUTICALS INC DE 1.01 08/24/12 METHODE ELECTRONICS INC DE 2.02,9.01 08/30/12 MGC DIAGNOSTICS Corp MN 2.01,2.02,9.01 08/28/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 08/30/12 MID PENN BANCORP INC PA 5.02,9.01 08/29/12 MINN DAK FARMERS COOPERATIVE ND 5.02,8.01 08/28/12 MITEL NETWORKS CORP 2.02,9.01 08/30/12 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 08/25/12 MTS SYSTEMS CORP MN 1.01,9.01 08/30/12 NAKED BRAND GROUP INC. NV 5.03,7.01,9.01 08/29/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,9.01 08/27/12 NAVISTAR INTERNATIONAL CORP DE 1.01,5.02,7.01,9.01 08/26/12 NAVISTAR INTERNATIONAL CORP DE 2.05 08/02/12 AMEND NETWORK ENGINES INC DE 8.01,9.01 08/30/12 NORDSTROM INC WA 7.01,9.01 08/30/12 NORTECH SYSTEMS INC MN 5.07 08/30/12 OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 08/30/12 ONE LIBERTY PROPERTIES INC MD 8.01 08/22/12 Optionable Inc 8.01,9.01 08/24/12 Pandora Media, Inc. DE 5.02 08/29/12 Patient Safety Technologies, Inc DE 7.01,9.01 08/30/12 PEABODY ENERGY CORP DE 5.02,9.01 08/27/12 PENTAIR INC MN 5.04,9.01 08/27/12 PEREGRINE PHARMACEUTICALS INC DE 1.01,5.03,9.01 08/30/12 PIER 1 IMPORTS INC/DE DE 2.02,7.01,9.01 08/30/12 Pinnacle Foods Finance LLC DE 1.01,2.03 08/30/12 PIZZA INN HOLDINGS, INC /MO/ MO 1.01,1.02,2.03,9.01 08/28/12 PMC SIERRA INC DE 5.02,9.01 08/27/12 Prime Time Travel, Inc. DE 8.01 08/29/12 PRIVATEBANCORP, INC DE 7.01,9.01 08/30/12 Progressive Care Inc. DE 5.02,9.01 08/27/12 PROSPECT GLOBAL RESOURCES INC. NV 5.02,5.03,5.07,9.01 08/27/12 RAMBUS INC DE 2.05,5.02 08/28/12 RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,2.03,9.01 08/28/12 RPX Corp DE 5.02 08/27/12 RT Technologies, Inc. NV 4.02,9.01 08/30/12 RVUE HOLDINGS, INC. NV 5.02 08/27/12 SAIC, Inc. 7.01,9.01 08/30/12 SAIC, Inc. 2.02,9.01 08/30/12 SANDY SPRING BANCORP INC MD 5.02,9.01 08/29/12 SAUER DANFOSS INC DE 5.02,8.01,9.01 08/27/12 SeaBright Holdings, Inc. DE 8.01,9.01 08/30/12 SEARS HOLDINGS CORP DE 8.01 08/28/12 AMEND Seneca Foods Corp NY 7.01 08/30/12 Seven Arts Entertainment Inc. NV 8.01 08/27/12 Sino Agro Food, Inc. NV 2.02,7.01,9.01 08/30/12 SOUTH AMERICAN GOLD CORP. NV 5.02,7.01,9.01 08/30/12 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 7.01,8.01,9.01 08/30/12 SPECTRUM PHARMACEUTICALS INC DE 7.01 08/30/12 SPECTRUM PHARMACEUTICALS INC DE 7.01 08/30/12 SPLUNK INC DE 2.02,9.01 08/30/12 SSI Investments II Ltd L2 2.02,9.01 08/30/12 ST JUDE MEDICAL INC MN 2.05,3.01, 08/27/12 5.02,7.01,9.01 STILLWATER MINING CO /DE/ DE 5.02,9.01 08/29/12 Stratus Media Group, Inc 5.02 08/27/12 SWK Holdings Corp DE 5.02 08/28/12 TAPIMMUNE INC NV 5.02,9.01 08/23/12 THERAPEUTIC SOLUTIONS INTERNATIONAL, NV 8.01,9.01 08/24/12 TRANSAX INTERNATIONAL LTD CO 4.02 08/29/12 TRICO BANCSHARES / CA 8.01,9.01 08/28/12 U S GLOBAL INVESTORS INC TX 2.02,9.01 08/29/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 08/30/12 URANIUM RESOURCES INC /DE/ DE 8.01,9.01 08/29/12 US CONCRETE INC DE 7.01 08/28/12 USA TRUCK INC DE 1.01,9.01 08/24/12 VALIDUS HOLDINGS LTD 8.01,9.01 08/30/12 VERAMARK TECHNOLOGIES INC DE 5.02,9.01 08/27/12 VERINT SYSTEMS INC DE 5.03,8.01,9.01 08/30/12 VERINT SYSTEMS INC DE 7.01,9.01 08/30/12 VIPER POWERSPORTS INC NV 5.02 08/27/12 Walker & Dunlop, Inc. MD 5.02,5.07,9.01 08/30/12 WELLS CORE OFFICE INCOME REIT INC 8.01 08/30/12 WORTHINGTON ENERGY, INC. NV 8.01,9.01 08/30/12 Wright Express CORP 8.01,9.01 08/30/12 XFormity Technologies, Inc. CO 1.01,9.01 08/01/12 AMEND Zumiez Inc WA 2.02,9.01 08/30/12