Report to Congress on the Credit Rating Standardization Study
The Commission today submitted a report to Congress in accordance with Section 939(h) of the Dodd-Frank Wall Street Reform and Consumer Protection Act containing the findings of a study with respect to: (1) standardizing credit rating terminology, so that all credit rating agencies issue credit ratings using identical terms; (2) standardizing the market stress conditions under which ratings are evaluated; (3) requiring a quantitative correspondence between credit ratings and a range of default probabilities and loss expectations under standardized conditions of economic stress; and (4) standardizing credit rating terminology across asset classes, so that named ratings correspond to a standard range of default probabilities and expected losses independent of asset class and issuing entity. (Section 939(h) Report)
Commission Charges Asset Manager Lied to Investors, Hid Major Losses While Boasting Remarkable Performance During Financial Crisis
The Commission today announced an emergency enforcement action against an asset manager who has boasted remarkable investment success throughout the global financial crisis while allegedly exaggerating the value of the assets he manages and concealing major losses from investors.
The SEC alleges that Nikolai Battoo claims to manage $1.5 billion on behalf of investors around the world, including at least $100 million for U.S.-based investors. But contrary to Battoo's proclaimed track record of exceptional risk-adjusted returns for his investors, he actually suffered major losses in 2008 due to his investments in the Bernard Madoff Ponzi scheme and a failed derivative investment program. Rather than admit the losses to investors, Battoo has been overstating the value of his investments in a variety of ways. By boasting benchmark-beating returns, he has continued to attract new investors. However, during the past several months, investors have requested redemptions on their investments with Battoo. Instead of paying them, Battoo has provided a series of excuses ranging from the MF Global collapse to others placing a hold on investors' money due to government investigations. (Rel. 2012-185)
N.Y.-Based Investment Advisory Firm and Founder Settle SEC Charges For Fraudulent Management Of CDOs
The Commission today announced that New York-based investment advisory firm ICP Asset Management and its founder and president Thomas C. Priore have agreed to settle the agency's charges that they defrauded several collateralized debt obligations (CDOs) they managed. ICP, Priore, and related entities have agreed to a final judgment ordering them to pay more than $23 million to settle the case the SEC filed against them in June 2010 in federal court in Manhattan. The SEC alleged they engaged in fraudulent practices and misrepresentations that caused the CDOs to overpay for securities and lose millions of dollars. Priore and the ICP companies also improperly obtained fees and undisclosed profits at the expense of the CDOs and their investors. (Rel. 2012-184)
Commission Shuts Down San Diego-Based Real Estate Investment Fraud
The Commission today announced an asset freeze against a San Diego-based firm and its owner accused of running a real estate investment fraud that raised approximately $50 million from hundreds of investors nationwide.
The SEC alleges that Western Financial Planning Corporation and Louis V. Schooler sold units in partnerships that Western had organized to buy vacant land in Nevada and hold for sale at a profit at a later date. Schooler and Western failed to tell investors that they were paying an exorbitant mark-up on the land, in some cases more than five times its fair market value. Schooler and Western also failed to tell investors that the land held by the partnerships was often encumbered by mortgages that Western used to help finance the initial purchase of the land. (Rel. 2012-183)
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.
In the Matter of Earl U. Bravo, Sr.
The Commission announced the issuance of 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, Making Findings and Imposing Remedial Sanctions (Order) against Earl U. Bravo, Sr. (Bravo). The Order finds that, at relevant times, Bravo was the Chief Operating Officer, Senior Vice President, Secretary, Assistant Treasurer, and head of equity trading of The Chapman Company, a broker dealer registered with the Commission. He also was the Secretary and Assistant Treasurer of Chapman Capital Management, Inc., an investment adviser registered with the Commission. The Order further finds that on August 27, 2012, a final judgment was entered by consent against Bravo, permanently 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), 206(2) and 206(3) of the Investment Advisers Act of 1940, in the civil action entitled Securities and Exchange Commission v. Chapman, et al., Civil Action Number 3-1877 (WDQ), in the United States District Court for the District of Maryland. The Commission's complaint in that civil action alleged a fraudulent scheme by Bravo and others in connection with the June 2000 initial public offering of, and subsequent secondary market trading in, the common stock of eChapman, Inc.
The Order bars Bravo 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. Bravo consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-67805; File No. 3-15013)
Commission Declares Decision as to 2-Track Global, Inc. Final
The decision of an administrative law judge with respect to 2-Track Global, Inc. has become final. The law judge found that 2-Track Global violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 by its failure prior to May 18, 2012, to timely file any periodic reports since it filed a Form 10-Q for the period ended September 30, 2009.
The law judge found that it was both necessary and appropriate for the protection of investors to revoke the registration of each class of the registered securities of 2-Track Global, Inc. (Rel. 34-67796; File No. 3-14815)
Notice of Proposed Rule Change
The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2012-07), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, consisting of amendments to the Real-Time Transaction Reporting System information system and subscription service. Publication is expected in the Federal Register during the week of September 10th. (Rel. 34-67792)
Order Suspending a Proposed Rule Change and Institution of Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change
The Commission suspended a proposed rule change and instituted proceedings to determine whether to approve or disapprove the proposal, which was filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-068) to amend the customer large trade discount. Publication in the Federal Register is expected during the week of September 10th. (Rel. 34-67794)
Designation of Longer Period for Commission Action on a Proposed Rule Change
The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-CBOE-2012-066) filed by the Chicago Board Options Exchange, Incorporated to increase position and exercise limits for EEM options. Publication is expected in the Federal Register during the week of September 10th. (Rel. 34-67790)
Joint Industry Plans: Notice of Filing and 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-2012-05) to amend Section 3.1 of the OPRA Plan. Publication is expected in the Federal Register during the week of September 10th. (Rel. 34-67791)
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-8 Kallo Inc., 15 ALLSTATE PARKWAY, SUITE 600, MARKHAM, A6, L3R 5B4, (416) 246-9997 - 50,000,000 ($2,000,000.00) Equity, (File 333-183737 - Sep. 6) (BR. 02B) S-3 Resolute Energy Corp, 1675 BROADWAY, SUITE 1950, DENVER, CO, 80202, 303-573-4886 - 0 ($500,000,000.00) Other, (File 333-183738 - Sep. 6) (BR. 04B) S-4 Resolute Energy Corp, 1675 BROADWAY, SUITE 1950, DENVER, CO, 80202, 303-573-4886 - 0 ($250,000,000.00) Debt, (File 333-183739 - Sep. 6) (BR. 04B) S-3ASR HEALTHSOUTH CORP, 3660 GRANDVIEW PARKWAY, SUITE 200, BIRMINGHAM, AL, 35243, 205-967-7116 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183740 - Sep. 6) (BR. 01A) S-8 MATTSON TECHNOLOGY INC, 47131 BAYSIDE PARKWAY, FREMONT, CA, 94538, 510 657 5900 - 5,000,000 ($4,650,000.00) Equity, (File 333-183742 - Sep. 6) (BR. 10B) S-1 PRIVILEGED WORLD TRAVEL CLUB, INC., 1 BLACKFIELD DRIVE, TIBURON, CA, 94920, (415) 888-2478 - 910,056 ($910,056.00) Equity, (File 333-183743 - Sep. 6) (BR. 11C) S-8 FINISAR CORP, 1389 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 - 4,797,581 ($64,863,295.12) Equity, (File 333-183744 - Sep. 6) (BR. 10A) S-8 EVOLUTION PETROLEUM CORP, 2500 CITYWEST BLVD, SUITE 1300, HOUSTON, TX, 77042, 713-935-0122 - 0 ($8,030,000.00) Equity, (File 333-183746 - Sep. 6) (BR. 04A) S-8 LSI INDUSTRIES INC, 10000 ALLIANCE RD, P O BOX 42728, CINCINNATI, OH, 45242, 5135796411 - 100,000 ($653,000.00) Equity, (File 333-183747 - Sep. 6) (BR. 11A) S-8 SHOE CARNIVAL INC, 7500 EAST COLUMBIA STREET, EVANSVILLE, IN, 47715, 8128676471 - 900,000 ($19,872,000.00) Equity, (File 333-183748 - Sep. 6) (BR. 09B) S-8 First Connecticut Bancorp, Inc., ONE FARM GLEN BOULEVARD, FARMINGTON, CT, 06032, 860-676-4600 - 2,503,228 ($32,466,867.00) Equity, (File 333-183749 - Sep. 6) (BR. 07C) S-3 MILLER ENERGY RESOURCES, INC., 3651 BAKER HIGHWAY, STE 106, HUNTSVILLE, TN, 37756, (865) 223-6575 - 0 ($500,000,000.00) Equity, (File 333-183750 - Sep. 6) (BR. 04B) S-3ASR EXELON CORP, PO BOX 805398, CHICAGO, IL, 60680-5398, 3123947399 - 0 ($363,200,000.00) Equity, (File 333-183751 - Sep. 6) (BR. 02B) S-3 American Capital Mortgage Investment Corp., 2 BETHESDA METRO CENTER, 14TH FLOOR, BETHESDA, MD, 20814, 301-951-6122 - 12,000,100 ($296,042,467.00) Equity, (File 333-183752 - Sep. 6) (BR. 08C) S-3 TOMPKINS FINANCIAL CORP, PO BOX 460 THE COMMONS, ITHACA, NY, 14851, 6072733210 - 700,000 ($26,880,000.00) Equity, (File 333-183753 - Sep. 6) (BR. 07C)
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 1ST CONSTITUTION BANCORP NJ 1.01,8.01,9.01 09/05/12 4 KIDS ENTERTAINMENT INC NY 5.02 08/31/12 AAR CORP DE 2.02,7.01,9.01 09/06/12 Abingdon Futures Fund LP NY 3.02 09/01/12 ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 09/05/12 ACCURAY INC DE 2.02,9.01 09/06/12 Addus HomeCare Corp DE 7.01,9.01 09/06/12 ADEPT TECHNOLOGY INC DE 1.01,3.02,5.02, 09/06/12 5.03,8.01,9.01 AETHLON MEDICAL INC NV 1.01,3.02,9.01 08/29/12 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 09/06/12 ALEXANDERS J CORP TN 1.01,8.01,9.01 09/05/12 ALICO INC FL 8.01,9.01 09/06/12 Alkermes plc. 7.01 09/05/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/06/12 ALLIANT TECHSYSTEMS INC DE 1.01,2.03,9.01 09/05/12 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 5.02 08/31/12 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 09/06/12 American Patriot Financial Group, Inc TN 5.07 08/31/12 American Realty Capital Trust, Inc. DE 1.01,3.03,9.01 08/30/12 American Realty Capital Trust, Inc. DE 1.01,8.01,9.01 09/06/12 APOLLO INVESTMENT CORP MD 5.07 09/05/12 ARCH COAL INC DE 7.01,9.01 09/06/12 ARKANSAS BEST CORP /DE/ DE 7.01 09/06/12 ASTRO MED INC /NEW/ RI 5.02,9.01 09/04/12 ATC Ventures Group, Inc. NV 3.01,9.01 08/21/12 AUDIENCE INC 8.01,9.01 09/06/12 BakerCorp International, Inc. DE 8.01,9.01 09/06/12 Barossa Coffee Company, Inc. NV 1.01,9.01 08/30/12 Bazaarvoice Inc DE 2.02,9.01 09/06/12 BEHRINGER HARVARD REIT I INC MD 1.01,3.02,5.02, 08/31/12 5.03,5.05,7.01,9.01 BHM Discretionary Futures Fund L.P. DE 3.02 09/01/12 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 09/04/12 Black Ridge Oil & Gas, Inc. DE 1.01,2.03,3.02, 09/05/12 7.01,9.01 BRIGHTPOINT INC IN 8.01 09/04/12 Calpian, Inc. TX 7.01,9.01 09/06/12 CAMERON INTERNATIONAL CORP DE 5.02 09/06/12 Capital Group Holdings, Inc. MN 1.01 09/06/12 CAPSTONE TURBINE Corp DE 1.01,5.03,5.07,9.01 08/30/12 CARDINAL HEALTH INC OH 5.02,5.04,9.01 08/31/12 Catamaran Corp B0 8.01 09/06/12 CHC Helicopter S.A. N4 2.02,9.01 09/05/12 CHEROKEE INC DE 1.01,2.01,2.02, 09/04/12 2.03,8.01,9.01 CHINA JO-JO DRUGSTORES, INC. 3.01,8.01,9.01 08/31/12 CHUY'S HOLDINGS, INC. DE 5.02,9.01 09/04/12 Claridge Ventures, Inc. NV 1.01,9.01 09/04/12 CLOUD PEAK ENERGY INC. DE 7.01,9.01 09/06/12 COCA-COLA ENTERPRISES, INC. DE 8.01 09/06/12 CODEXIS INC 2.05 09/06/12 COMMODITY ADVISORS FUND L.P. NY 3.02 09/01/12 COMPLETE GENOMICS INC DE 5.02 08/30/12 COOPER COMPANIES INC DE 2.02,9.01 09/06/12 CORNING NATURAL GAS CORP NY 8.01 08/30/12 CPI CORP DE 1.01 08/30/12 CSS INDUSTRIES INC DE 2.05,2.06,7.01,9.01 09/05/12 CUMMINS INC IN 8.01 09/06/12 DAIS ANALYTIC CORP 5.02,9.01 08/30/12 DCT Industrial Trust Inc. MD 8.01,9.01 09/05/12 DEERE & CO DE 7.01 09/06/12 DEL TORO SILVER CORP. NV 1.01,9.01 08/31/12 DELTA AIR LINES INC /DE/ DE 7.01,9.01 09/05/12 DELTA APPAREL, INC GA 2.02,7.01 09/05/12 DGSE COMPANIES INC NV 3.01,5.02,8.01,9.01 08/31/12 DIGIRAD CORP DE 5.02,9.01 09/06/12 Digital Generation, Inc. DE 1.01,3.03,5.03,9.01 09/05/12 DOMINION RESOURCES INC /VA/ VA 8.01 09/06/12 Domus Holdings Corp DE 1.01,3.02 09/04/12 DOW CHEMICAL CO /DE/ DE 5.02,9.01 09/04/12 EDGEWATER TECHNOLOGY INC/DE/ DE 7.01,9.01 09/06/12 EMC CORP MA 5.02,9.01 09/05/12 ENBRIDGE ENERGY PARTNERS LP DE 7.01,9.01 09/05/12 Enhance Skin Products Inc NV 1.01,8.01,9.01 08/31/12 Enstar Group LTD D0 1.01,9.01 09/06/12 ENTERGY CORP /DE/ DE 5.02 08/30/12 ENVIVIO INC DE 2.02,9.01 09/06/12 EPIQ SYSTEMS INC MO 8.01,9.01 09/06/12 EQUITY LIFESTYLE PROPERTIES INC MD 1.01,9.01 09/06/12 ESCALADE INC IN 8.01,9.01 09/06/12 EXA CORP MA 2.02,9.01 09/06/12 Federal Home Loan Bank of Boston X1 2.03 09/04/12 Federal Home Loan Bank of Chicago X1 2.03 09/04/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/04/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/04/12 Federal Home Loan Bank of New York X1 2.03,9.01 09/04/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/31/12 Federal Home Loan Bank of San Francis X1 2.03 09/04/12 Federal Home Loan Bank of Topeka 2.03,9.01 09/04/12 First Advantage Bancorp 5.02 09/04/12 First Connecticut Bancorp, Inc. MD 5.02 09/05/12 FIRST FINANCIAL BANCORP /OH/ OH 8.01 09/06/12 FIRST INTERSTATE BANCSYSTEM INC MT 8.01 09/06/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 09/06/12 Flux Power Holdings, Inc. NV 8.01,9.01 09/05/12 FNB United Corp. NC 5.02 08/31/12 FORUM ENERGY TECHNOLOGIES, INC. DE 7.01 09/05/12 FuLuCai Productions Ltd. NV 5.02 09/05/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 09/01/12 GAIN Capital Holdings, Inc. DE 2.01,9.01 08/31/12 GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02 09/04/12 GENERAL MILLS INC DE 2.02,9.01 09/05/12 GEO GROUP INC FL 1.01,2.03,8.01,9.01 08/30/12 GEOGLOBAL RESOURCES INC. DE 8.01,9.01 09/06/12 GEOPETRO RESOURCES CO CA 5.07 08/31/12 GLOBAL POWER EQUIPMENT GROUP INC. DE 8.01,9.01 09/05/12 GLOBE SPECIALTY METALS INC 5.02 09/05/12 Golden Minerals Co 8.01,9.01 08/30/12 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 09/06/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/31/12 GRYPHON GOLD CORP NV 5.07 09/06/12 GSI GROUP INC A3 5.02,7.01,9.01 09/04/12 HAIN CELESTIAL GROUP INC DE 1.01,1.02,2.03,9.01 08/31/12 HEALTHSOUTH CORP DE 8.01,9.01 09/06/12 HELICOS BIOSCIENCES CORP DE 5.02 08/31/12 HELMERICH & PAYNE INC DE 7.01,9.01 09/06/12 HIGHWOODS PROPERTIES INC MD 8.01,9.01 09/05/12 Hillshire Brands Co MD 7.01,9.01 09/05/12 HOME PROPERTIES INC MD 5.02 09/04/12 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 09/04/12 HOVNANIAN ENTERPRISES INC DE 2.02,9.01 09/06/12 HSBC Finance Corp 8.01,9.01 09/06/12 HYPERION THERAPEUTICS INC DE 8.01,9.01 09/05/12 HYPERION THERAPEUTICS INC DE 2.02,9.01 09/06/12 Idle Media, Inc. NV 1.01 08/29/12 IF Bancorp, Inc. MD 2.02,9.01 09/06/12 IGI LABORATORIES, INC DE 1.01,1.02,9.01 09/06/12 iGo, Inc. DE 4.01,9.01 08/30/12 INFOBLOX INC 2.02,9.01 09/06/12 INUVO, INC. NV 7.01,9.01 09/06/12 IPG PHOTONICS CORP DE 5.02,8.01 09/06/12 ISC8 INC. /DE DE 1.01,8.01,9.01 08/21/12 JEFFERSONVILLE BANCORP NY 5.07 04/24/12 JMG Exploration, Inc. NV 1.01,2.01,3.02, 08/29/12 5.01,5.02,7.01,9.01 KIRBY CORP NV 1.01,2.03,7.01,9.01 08/30/12 KONA GRILL INC DE 7.01,9.01 09/06/12 KRAFT FOODS INC VA 7.01,9.01 09/06/12 LAS VEGAS SANDS CORP NV 7.01,9.01 09/06/12 LAYNE CHRISTENSEN CO DE 2.02,9.01 09/06/12 LEXINGTON REALTY TRUST MD 1.01,7.01,9.01 08/31/12 Liberty Interactive Corp 7.01,9.01 09/05/12 Liberty Media Corp DE 7.01,9.01 09/04/12 LKA INTERNATIONAL INC /DE/ DE 1.01,3.02,9.01 08/31/12 LNB BANCORP INC OH 5.02,9.01 08/30/12 LRI HOLDINGS, INC. 1.01,9.01 09/06/12 LYRIS, INC. 2.02,9.01 09/06/12 MAGICJACK VOCALTEC LTD L3 2.02 09/06/12 MATERIAL SCIENCES CORP DE 2.01 08/31/12 MATTRESS FIRM HOLDING CORP. DE 1.01,2.02,5.07,9.01 09/04/12 MEDIWARE INFORMATION SYSTEMS INC NY 5.02 08/30/12 Medley Capital Corp DE 1.01,2.03,9.01 08/31/12 MENS WEARHOUSE INC TX 2.02,9.01 09/05/12 MERGE HEALTHCARE INC DE 8.01,9.01 09/06/12 Meritage Homes CORP MD 8.01 09/04/12 METLIFE INC DE 7.01,9.01 09/06/12 MultiCell Technologies, Inc. DE 5.02,9.01 09/06/12 National American University Holdings DE 5.02,9.01 08/30/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 5.02,8.01,9.01 08/31/12 NAVISTAR INTERNATIONAL CORP DE 2.02,7.01,9.01 09/06/12 NetApp, Inc. CA 5.02,5.03,5.07,9.01 08/31/12 Neuralstem, Inc. DE 8.01,9.01 09/06/12 NEWS CORP 8.01,9.01 09/06/12 NUTRI SYSTEM INC /DE/ DE 5.02,5.07,9.01 09/05/12 NVR INC VA 8.01,9.01 09/05/12 OGE ENERGY CORP. OK 2.01 08/31/12 ON SEMICONDUCTOR CORP DE 2.03,3.02,9.01 09/04/12 ORION FUTURES FUND LP NY 3.02 09/01/12 PACIFIC GOLD CORP NV 1.01,3.02 08/02/12 PACKAGING CORP OF AMERICA 7.01,9.01 09/05/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 7.01,8.01,9.01 09/06/12 PARTNERRE LTD 8.01,9.01 09/04/12 Pay Mobile, Inc NV 2.01,9.01 06/27/12 AMEND PDL BIOPHARMA, INC. DE 7.01,9.01 09/06/12 PEABODY ENERGY CORP DE 7.01,9.01 09/06/12 PEDEVCO CORP TX 1.01,9.01 08/30/12 PERCEPTRON INC/MI MI 1.01,2.01,2.05,9.01 08/30/12 PHYSICIANS FORMULA HOLDINGS, INC. DE 8.01,9.01 09/06/12 PINNACLE FINANCIAL PARTNERS INC TN 1.01,8.01,9.01 09/04/12 PLATINUM ENERGY SOLUTIONS, INC. NV 7.01 09/04/12 POWIN CORP 3.03,5.02 09/05/12 PREFERRED APARTMENT COMMUNITIES INC MD 1.01,2.03,9.01 08/31/12 PROASSURANCE CORP DE 7.01,9.01 09/06/12 PROCTER & GAMBLE Co OH 7.01 09/06/12 Propell Corporation. DE 5.03,9.01 08/31/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 09/06/12 PURADYN FILTER TECHNOLOGIES INC DE 8.01 08/22/12 QUIKSILVER INC DE 2.02,9.01 09/06/12 REALNETWORKS INC WA 2.05,8.01 09/01/12 REALTY INCOME CORP MD 1.01,7.01,9.01 09/06/12 RED TRAIL ENERGY, LLC 2.02,9.01 09/04/12 REPUBLIC AIRWAYS HOLDINGS INC DE 7.01,9.01 09/05/12 Rosetta Resources Inc. DE 1.02,9.01 09/06/12 SAGE FUND LP MD 3.02 09/01/12 Sagent Pharmaceuticals, Inc. DE 5.02 08/30/12 SANTARUS INC DE 8.01 09/06/12 SAVE THE WORLD AIR INC NV 5.02 08/31/12 SEACHANGE INTERNATIONAL INC DE 2.02,9.01 09/05/12 Select Notes Trust LT 2004-1 DE 8.01,9.01 09/04/12 SEN YU INTERNATIONAL HOLDINGS, INC. DE 5.02 09/05/12 Sentio Healthcare Properties Inc MD 1.01,2.01,2.03,9.01 08/31/12 ServisFirst Bancshares, Inc. DE 7.01,9.01 09/05/12 SGS International, Inc. DE 8.01,9.01 09/02/12 Shire plc 8.01,9.01 09/06/12 SILGAN HOLDINGS INC DE 8.01,9.01 09/05/12 SkyPeople Fruit Juice, Inc FL 5.07,8.01,9.01 09/06/12 SMITH & WESSON HOLDING CORP NV 2.02,9.01 09/06/12 SMITH & WESSON HOLDING CORP NV 7.01,9.01 09/06/12 SMITHFIELD FOODS INC VA 1.01,2.03,8.01,9.01 08/31/12 SOLAR3D, INC. DE 5.02,9.01 08/31/12 SOTHEBYS DE 1.01 09/03/12 SOUTHCOAST FINANCIAL CORP SC 7.01 09/05/12 SPARTON CORP OH 7.01,9.01 09/06/12 SPHERIX INC DE 8.01,9.01 09/06/12 SPS COMMERCE INC DE 1.01,8.01,9.01 09/06/12 SQN Alternative Investment Fund III, DE 8.01 08/31/12 STEELE RESOURCES CORP NV 5.02 09/01/12 Stevia First Corp. 4.01,9.01 08/31/12 STEWART ENTERPRISES INC LA 2.02,9.01 09/05/12 STILLWATER MINING CO /DE/ DE 5.02,9.01 09/06/12 STONE ENERGY CORP DE 7.01,9.01 09/04/12 STRATASYS INC DE 8.01,9.01 09/06/12 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 09/04/12 STRUCTURED PRODUCTS CORTS TRUST FOR J DE 8.01,9.01 09/04/12 SUNTRUST BANKS INC GA 8.01,9.01 09/06/12 SUPERVALU INC DE 1.01,1.02,2.03 08/30/12 Surna Inc. NV 5.02 09/04/12 Swingplane Ventures, Inc. NV 5.01,5.02,9.01 08/22/12 SYMS CORP NJ 1.03,9.01 08/30/12 SYNAPTICS INC DE 5.02 08/30/12 TENGION INC DE 3.01,9.01 09/04/12 TOYS R US INC DE 2.02,9.01 09/06/12 TRANS ENERGY INC NV 5.02,9.01 09/04/12 TransUnion Holding Company, Inc. 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