Andrew Bowden Named Deputy Director in the SEC’S Office of Compliance Inspections and Examinations
The Securities and Exchange Commission today announced that Andrew J. Bowden has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). He succeeds Norm Champ who was named in July to head the SEC’s Division of Investment Management.
Mr. Bowden joined the SEC in November 2011 as the National Associate Director for OCIE’s Investment Adviser/Investment Company Examination Program. He will assume his new responsibilities immediately and continue in his former role until a successor is in place.
“Drew is an outstanding professional with a valuable combination of technical expertise, industry perspective, and leadership and management skills. In his short time at the Commission, he has demonstrated excellent teamwork and collaboration across the SEC and with other regulators,” said OCIE Director Carlo di Florio.
OCIE conducts inspections and examinations of SEC-registered investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, and transfer agents. In the past two years, OCIE has adopted a risk-focused examination program, hired industry experts, leveraged technology to increase efficiency, and launched a training program focused on quality and consistency. These initiatives have resulted in an increase in the number and quality of examinations and strengthened OCIE’s ability to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.
As Deputy Director, Mr. Bowden will work closely with Mr. di Florio on OCIE’s strategy, governance structure, risk-based exam process, training programs, and technology, and will continue to co-chair OCIE’s People Committee, which focuses on training, teamwork, and other initiatives to maintain a high-performance culture.
“I am grateful for this opportunity to work more broadly with colleagues in OCIE and to continue the assessment and improvement initiatives instituted by Carlo and the OCIE National Leadership Team over the last two years,” said Mr. Bowden.
Before joining the SEC, Mr. Bowden worked in private law practice, chiefly on legal, regulatory, and compliance issues involving broker-dealer activities. He spent 17 years at Legg Mason, Inc. in a variety of legal, compliance, and senior business roles related to Legg Mason’s broker-dealer and investment management businesses and served on the Board of Governors and Executive Committee of the Investment Advisers Association.
Mr. Bowden received his law degree, cum laude, from the University of Pennsylvania Law School and his bachelor’s degree, summa cum laude, from Loyola University in Baltimore. (Press Rel. 2012-187)
In the Matter of Robert Carlsson
On September 11, 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 former broker Robert Carlsson (Carlsson) based his guilty plea to one count of obstructing an official proceeding, specifically an examination by Commission staff. U.S. v. Hollnagel et al., 1:10-cr-00195 (N.D. Ill.).
Previously, the Commission filed an emergency action against BCI Aircraft Leasing, Inc. (BCI) and its CEO Brian Hollnagel (Hollnagel) in August 2007. SEC v. Hollnagel et al., Case No. 07-cv-4538 (N.D. Ill.). The Commission alleged that BCI and Hollnagel conducted a fraudulent scheme in which BCI raised $83 million from investors in connection with the offer and sale of membership interests in BCI entities which purportedly purchased ownership interests in commercial aircraft.
The Order finds that Carlsson was a licensed securities broker who raised money for BCI from outside investors. During at least 2006 and 2007, Carlsson was a principal of 21 Capital Group, Inc. (21 Capital), a securities broker-dealer registered with the Commission. The Order also finds that the grand jury alleged that in connection with 2006 and 2007 examinations by staff of the Commission’s Office of Compliance Inspections and Examinations (OCIE), Carlsson “corruptly obstructed, influenced and impeded and attempted to corruptly obstruct, influence and impede an official proceeding, namely a Commission examination of 21 Capital and [Carlsson].” Finally, the Order finds that on November 8, 2011, Carlsson entered a plea of guilty to one count of obstruction of an official proceeding, Title 18 U.S.C. § 1512.
Based on the above, Respondent Robert Carlsson consented to an order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-67823; File No. 3-15018)
Commission Orders Hearing on Registration Suspension or Revocation Against Jiangbo Pharmaceuticals, Inc. for Failure to Make Required Periodic Filings
On September 11, 2012, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 against Jiangbo Pharmaceuticals, Inc. (Jiangbo). The Division of Enforcement alleges that Jiangbo is delinquent in its periodic filings with the Commission. Jiangbo has failed to file required annual and quarterly reports with the Commission since filing its quarterly report for the fiscal quarter ended March 31, 2011.
In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondent 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 judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of the Respondent 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. 34-67833; File No. 3-15019)
Delinquent Filer’s Stock Registration Revoked
The registration of the registered securities of Shiming U.S., Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67834; File No. 3-14432)
LoCorr Fund Management, LLC and LoCorr Investment Trust
An order has been issued on an application filed by LoCorr Fund Management, LLC and LoCorr Investment Trust for an exemption from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-30199 - September 11)
Prudential Investment Portfolios 3, The Prudential Investment Portfolios, Inc. and Prudential Investments LLC
A notice has been issued giving interested persons until October 5, 2012, to request a hearing on an application filed by Prudential Investment Portfolios 3, The Prudential Investment Portfolios, Inc. and Prudential Investments LLC for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act. The requested order would permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies. (Rel. IC-30200 - September 11)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-NYSEArca-2012-085) filed by NYSE Arca, Inc. amending certain NYSE Arca equities rules to replace references to “NYSE Amex” with “NYSE MKT” reflecting the recent name change of NYSE Amex LLC to NYSE MKT LLC has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67797)
The Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2012-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 to correct an administrative oversight in rule filing SR-OCC-2012-10. The proposed rule change has become effective upon filing. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67826)
A proposed rule change (SR-Phlx-2012-112) relating to rebates and fees for adding and removing liquidity in Select Symbols has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67830)
A proposed rule change (SR-Phlx-2012-111) relating to routing fees to NOM has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67831)
A proposed rule change filed by C2 Options Exchange, Incorporated to make technical amendments to the rules (SR-C2-2012-031) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67832)
Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to approve or disapprove proposed rule changes (SR-Phlx-2012-27 and SR-Phlx-2012-54) filed by the NASDAQ OMX PHLX LLC relating to complex order fees and rebates for adding and removing liquidity in Select Symbols. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67825)
Proposed Rule Changes
Pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, Chicago Board Options Exchange, Incorporated has filed with the Securities and Exchange Commission a proposed rule change (SR-CBOE-2012-085) to modify its complex order auction (“COA”) procedures to provide that a request for response (“RFR”) message will identify the side of the market of an order that is subject to COA and to clarify that RFR responses must be on the opposite side of the market from the COA order. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67827)
Pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, C2 Options Exchange, Incorporated has filed with the Securities and Exchange Commission a proposed rule change (SR-C2-2012-030) to modify its complex order auction (“COA”) procedures to provide that a request for response (“RFR”) message will identify the side of the market of an order that is subject to COA and to clarify that RFR responses must be on the opposite side of the market from the COA order. Publication is expected in the Federal Register during the week of September 10. (Rel. 34-67828)
Securities Act Registrations
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-1 MIAMI DAYS CORP., 1504 BAY ROAD, UNIT 924, MIAMI BEACH, FL, 33139, 17862227673 - 10,000,000 ($100,000.00) Equity, (File 333-183814 - Sep. 11) (BR. 05) S-4 EP Energy LLC, 1001 LOUISIANA STREET, HOUSTON, TX, 77002, 713.997.1000 - 0 ($3,100,000,000.00) Debt, (File 333-183815 - Sep. 11) (BR. 04) S-3ASR Bristow Group Inc, 2103 CITY WEST BLVD., 4TH FLOOR, HOUSTON, TX, 77042, 7132677600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183816 - Sep. 11) (BR. 05B) S-3 American Midstream Partners, LP, 1614 15TH STREET SUITE 300, DENVER, CO, 80202, (720) 457-6060 - 0 ($13,784,531.20) Equity, 0 ($400,000,000.00) Other, (File 333-183818 - Sep. 11) (BR. 02) F-10 IMRIS Inc., 100-1370 SONY PLACE, WINNIPEG, A2, R3T 1N5, (204) 480-7090 - 75,000,000 ($75,000,000.00) Equity, (File 333-183820 - Sep. 11) (BR. 10A) S-8 SCHOOL SPECIALTY INC, W6316 DESIGN DRIVE, GREENVILLE, WI, 54942, (920) 734-5712 - 180,000 ($498,600.00) Equity, (File 333-183821 - Sep. 11) (BR. 02A) S-3 PALATIN TECHNOLOGIES INC, 4B CEDAR BROOK DRIVE, CRANBURY, NJ, 08512, 609-495-2200 - 35,861,151 ($20,799,467.58) Equity, (File 333-183837 - Sep. 11) (BR. 01B) S-11 Silver Bay Realty Trust Corp., 601 CARLSON PARKWAY, SUITE 250, MINNETONKA, MN, 55305, 612-238-3300 - 0 ($287,500,000.00) Equity, (File 333-183838 - Sep. 11) (BR. ) S-1 Wishbone Pet Products Inc., 38TH STREET, NEW SEHAILE, BEIRUT, M8, 00000, 011-3-861-590 - 1,500,000 ($15,000.00) Equity, (File 333-183839 - Sep. 11) (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 ----------------------------------------------------------------------------------------- AccelPath, Inc. DE 1.01,3.02,5.03 09/07/12 ACCESS POWER INC FL 5.03,8.01 09/11/12 ACTUANT CORP WI 8.01,9.01 09/10/12 ADMA BIOLOGICS, INC. DE 7.01,9.01 09/11/12 AEROSONIC CORP /DE/ DE 2.02,9.01 09/10/12 AETNA INC /PA/ PA 7.01 09/11/12 AMEREN CORP MO 8.01,9.01 09/11/12 AMERICAN AIRLINES INC DE 8.01 09/11/12 AMERICAN APPAREL, INC DE 1.01,9.01 08/30/12 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 1.01,9.01 08/29/12 American Midstream Partners, LP DE 9.01 07/02/12 AMEND AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.01,2.03,9.01 09/07/12 American Realty Capital Properties, I MD 8.01,9.01 09/10/12 American Realty Capital Trust III, In MD 8.01,9.01 09/10/12 American Realty Capital Trust IV, Inc MD 8.01 09/10/12 American Realty Capital Trust IV, Inc MD 8.01,9.01 09/11/12 AMR CORP DE 8.01 09/11/12 Annie's, Inc. DE 5.07 09/10/12 ANTS SOFTWARE INC DE 5.02 09/11/12 AOL Inc. DE 5.02 09/07/12 ARES CAPITAL CORP MD 5.02 09/07/12 ASHLAND INC. KY 7.01,9.01 09/11/12 ASPEN INSURANCE HOLDINGS LTD D0 5.02,9.01 09/06/12 ASTORIA FINANCIAL CORP DE 8.01,9.01 09/10/12 AtheroNova Inc. DE 7.01,9.01 09/11/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,2.03 09/05/12 Bacterin International Holdings, Inc. DE 7.01,9.01 09/11/12 BARRY R G CORP /OH/ OH 2.02,9.01 09/11/12 BB&T CORP NC 7.01,9.01 09/11/12 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 1.01,5.02 09/10/12 BIMINI CAPITAL MANAGEMENT, INC. MD 1.02,7.01,9.01 09/11/12 BKF CAPITAL GROUP INC DE 5.02 09/05/12 BOSTON PROPERTIES INC DE 5.02 09/11/12 BOSTON PROPERTIES LTD PARTNERSHIP DE 5.02 09/11/12 BreitBurn Energy Partners L.P. DE 1.01,7.01,9.01 09/05/12 Bullfrog Gold Corp. DE 2.03,3.02,9.01 09/05/12 Burlington Coat Factory Investments H 7.01,9.01 09/11/12 BURLINGTON COAT FACTORY WAREHOUSE COR DE 7.01,9.01 09/11/12 CAPITAL ONE FINANCIAL CORP DE 7.01 09/11/12 CASEYS GENERAL STORES INC IA 2.02,9.01 09/11/12 CENTRAL BANCORP INC /MA/ MA 5.07,8.01,9.01 09/11/12 Chefs' Warehouse, Inc. DE 5.02 09/07/12 CHENIERE ENERGY INC DE 7.01,9.01 09/11/12 Cheniere Energy Partners, L.P. DE 7.01,9.01 09/11/12 Cheniere Energy Partners, L.P. DE 3.02,5.02 09/05/12 Chesapeake Lodging Trust MD 8.01 09/10/12 Chesapeake Lodging Trust MD 9.01 08/21/12 AMEND China Natural Gas, Inc. DE 2.04,9.01 09/05/12 CHINA VALVES TECHNOLOGY, INC NV 3.01 09/11/12 ChinaNet Online Holdings, Inc. NV 1.01,9.01 09/10/12 CITIGROUP INC DE 2.06,8.01 09/11/12 Clearwater Paper Corp DE 7.01,9.01 09/11/12 CLICKER INC. NV 5.02,9.01 09/06/12 CLOROX CO /DE/ DE 8.01,9.01 09/10/12 CNO Financial Group, Inc. DE 8.01 09/04/12 AMEND Colony Financial, Inc. MD 1.01,9.01 09/06/12 COMPUTER SCIENCES CORP NV 8.01 09/06/12 CONAGRA FOODS INC /DE/ DE 8.01 09/10/12 CONSOL Energy Inc DE 1.04 09/05/12 Consolidated Communications Holdings, DE 9.01 06/29/12 AMEND COPYTELE INC DE 5.02,9.01 09/05/12 Coronus Solar Inc. A1 1.01,1.02,7.01,8.01, 09/11/12 9.01 Customers Bancorp, Inc. PA 8.01 09/11/12 CYBERONICS INC DE 1.01,8.01,9.01 09/11/12 CYS Investments, Inc. MD 7.01,9.01 09/11/12 DIGITAL ALLY INC 3.01 09/10/12 DJO Finance LLC DE 7.01,9.01 09/11/12 DJO Finance LLC DE 8.01,9.01 09/11/12 DYCOM INDUSTRIES INC FL 7.01,9.01 09/11/12 E TRADE FINANCIAL Corp DE 7.01,9.01 09/11/12 EARTH DRAGON RESOURCES INC. 2.04,3.02,9.01 09/06/12 EBIX INC DE 8.01 09/11/12 EDIETS COM INC DE 1.01,9.01 09/06/12 Education Realty Trust, Inc. MD 7.01,9.01 09/11/12 El Paso Pipeline Partners, L.P. DE 7.01,8.01,9.01 09/11/12 Ellington Financial LLC DE 7.01,9.01 09/10/12 ENVIRONMENTAL CONTROL CORP. 1.01,5.02,9.01 09/04/12 EOG RESOURCES INC DE 1.01,9.01 09/10/12 EXAR CORP DE 5.07 09/06/12 FARMER BROTHERS CO CA 2.02,9.01 09/10/12 Federal Home Loan Bank of Atlanta X1 2.02 09/11/12 Federal Home Loan Bank of Boston X1 2.03 09/05/12 Federal Home Loan Bank of Chicago X1 2.03 09/05/12 Federal Home Loan Bank of Cincinnati X1 5.02 09/10/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/05/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/07/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/11/12 Federal Home Loan Bank of New York X1 2.03,9.01 09/05/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/05/12 Federal Home Loan Bank of San Francis X1 2.03 09/06/12 Federal Home Loan Bank of Seattle 2.03 09/07/12 Federal Home Loan Bank of Topeka 2.03,9.01 09/05/12 FIFTH THIRD BANCORP OH 7.01,9.01 09/11/12 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 09/11/12 FIRST FINANCIAL BANKSHARES INC TX 8.01,9.01 09/07/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 09/11/12 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 09/11/12 FLORIDA GAMING CORP DE 8.01 09/05/12 FLOWSERVE CORP NY 1.01,1.02,2.03,7.01, 09/06/12 9.01 FLUOROPHARMA MEDICAL, INC. NV 7.01,9.01 09/11/12 Forbes Energy Services Ltd. D0 5.02 09/05/12 FREQUENCY ELECTRONICS INC DE 2.02,9.01 09/11/12 FRESH MEDICAL LABORATORIES, INC. 5.02,8.01,9.01 09/10/12 FRONTIER OILFIELD SERVICES INC TX 3.02,9.01 06/04/12 AMEND General Finance CORP DE 8.01,9.01 09/11/12 GEORGIA GULF CORP /DE/ DE 1.01,5.02,9.01 09/11/12 GEORGIA GULF CORP /DE/ DE 8.01,9.01 09/11/12 GLOBAL GOLD CORP DE 8.01,9.01 09/06/12 GLOBECOMM SYSTEMS INC 2.02,9.01 09/11/12 Granite Falls Energy, LLC MN 1.01,2.03 09/05/12 Great Lakes Dredge & Dock CORP DE 7.01,9.01 09/11/12 GREAT WALL BUILDERS LTD. TX 5.02 09/06/12 Green Endeavors, Inc. UT 1.01,8.01,9.01 08/17/12 GSI TECHNOLOGY INC 1.01,9.01 08/09/12 HALCON RESOURCES CORP DE 9.01 08/01/12 AMEND HEALTHSOUTH CORP DE 1.01,8.01,9.01 09/11/12 HELIX BIOMEDIX INC DE 8.01,9.01 09/11/12 HELMERICH & PAYNE INC DE 5.02,9.01 09/05/12 HERITAGE COMMERCE CORP CA 8.01 09/05/12 HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 09/11/12 IMPLANT SCIENCES CORP MA 1.01,2.03,3.02,5.03, 09/11/12 7.01,9.01 INDIANA COMMUNITY BANCORP IN 8.01 09/07/12 INSMED INC VA 5.02,9.01 09/10/12 InterDigital, Inc. PA 8.01 09/10/12 INTERMUNE INC DE 8.01 09/11/12 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 09/11/12 ION GEOPHYSICAL CORP DE 7.01 09/11/12 JAMBA, INC. DE 5.02,9.01 09/10/12 JARDEN CORP DE 7.01,9.01 09/11/12 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 09/11/12 LAYNE CHRISTENSEN CO DE 7.01,9.01 09/11/12 LEGACY RESERVES LP DE 5.02,8.01 09/05/12 Liberty Interactive Corp 8.01,9.01 09/07/12 Limelight Networks, Inc. DE 5.02 09/05/12 Linkwell CORP FL 9.01 05/11/12 AMEND LOGITECH INTERNATIONAL SA 5.02,5.07,8.01,9.01 09/05/12 LUCAS ENERGY, INC. NV 1.01,9.01 09/10/12 M I HOMES INC OH 1.01,2.03,8.01,9.01 09/05/12 MAGNUM HUNTER RESOURCES CORP DE 1.01,9.01 09/07/12 MARTIN MARIETTA MATERIALS INC NC 8.01 09/05/12 MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 09/11/12 METLIFE INC DE 2.02,7.01,9.01 09/11/12 MFA FINANCIAL, INC. MD 7.01 09/11/12 MGIC INVESTMENT CORP WI 8.01,9.01 09/11/12 MORGAN STANLEY DE 8.01 09/11/12 MPG Office Trust, Inc. MD 1.01,5.02,7.01,9.01 09/11/12 Mueller Water Products, Inc. DE 7.01,9.01 09/11/12 NATIONAL HOLDINGS CORP DE 1.01 09/05/12 NAVISTAR INTERNATIONAL CORP DE 5.02 09/05/12 Neenah Paper Inc DE 5.02 09/05/12 NEW JERSEY RESOURCES CORP NJ 8.01,9.01 09/11/12 NEWS CORP 8.01,9.01 09/11/12 NEWS CORP 8.01,9.01 09/11/12 NEXTERA ENERGY INC FL 8.01,9.01 09/11/12 NRG ENERGY, INC. DE 5.02 09/07/12 NUVASIVE INC DE 8.01 09/10/12 O'Donnell Strategic Industrial REIT, 1.01 09/10/12 OLD LINE BANCSHARES INC MD 1.01,9.01 09/10/12 OLD NATIONAL BANCORP /IN/ IN 7.01 09/07/12 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 3.02,9.01 09/11/12 PALATIN TECHNOLOGIES INC DE 2.02,9.01 09/11/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 7.01,9.01 09/11/12 PDL BIOPHARMA, INC. DE 7.01,9.01 09/11/12 People's United Financial, Inc. DE 7.01,9.01 09/11/12 PEPSICO INC NC 5.02,7.01 09/06/12 PetroHunter Energy Corp MD 8.01 08/28/12 PMFG, Inc. DE 1.01,1.02,2.03,9.01 09/07/12 Polypore International, Inc. 8.01,9.01 09/11/12 POSITIVEID Corp DE 1.01,2.03 09/07/12 PREFERRED APARTMENT COMMUNITIES INC MD 1.01,9.01 09/06/12 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 09/11/12 PUBLIC SERVICE CO OF COLORADO CO 8.01,9.01 09/11/12 Public Storage MD 8.01,9.01 09/11/12 Punchline Resources Ltd. NV 1.01,2.01,5.01,5.06, 09/07/12 9.01 QUESTAR GAS CO UT 8.01 09/10/12 RARE ELEMENT RESOURCES LTD A1 5.03 09/07/12 Red Lion Hotels CORP WA 5.02,8.01,9.01 09/05/12 RED TRAIL ENERGY, LLC 4.01,9.01 08/27/12 AMEND REGIONS FINANCIAL CORP DE 7.01,9.01 09/11/12 RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 09/11/12 RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 09/10/12 RETRACTABLE TECHNOLOGIES INC TX 5.07 09/07/12 Rock Energy Resources, Inc. DE 1.01,2.03,7.01 08/28/12 AMEND ROCKWELL AUTOMATION INC DE 5.03,9.01 09/05/12 RVPlus Inc. DE 1.01,3.02,9.01 09/07/12 Sanchez Energy Corp DE 7.01,8.01,9.01 09/11/12 SCICLONE PHARMACEUTICALS INC DE 5.02,9.01 09/10/12 SecureAlert, Inc. UT 1.01,9.01 09/05/12 Sentio Healthcare Properties Inc MD 4.01,9.01 09/06/12 Shengkai Innovations, Inc. FL 5.02 09/07/12 SIGMATRON INTERNATIONAL INC DE 2.02,9.01 09/11/12 Solar Senior Capital Ltd. MD 7.01,9.01 09/11/12 SOLITRON DEVICES INC DE 4.01,9.01 09/01/12 AMEND SONIC AUTOMOTIVE INC DE 5.02,7.01,9.01 09/10/12 SONOCO PRODUCTS CO SC 7.01,9.01 09/10/12 SPECTRUM PHARMACEUTICALS INC DE 5.02,9.01 09/07/12 SPECTRUM PHARMACEUTICALS INC DE 1.01,9.01 09/05/12 SPS COMMERCE INC DE 8.01 09/11/12 STANDARD PARKING CORP DE 5.07,9.01 09/11/12 STATE STREET CORP MA 7.01,9.01 09/11/12 STEC, INC. CA 4.01,9.01 09/05/12 STRATEGIC HOTELS & RESORTS, INC 1.01,7.01,9.01 09/07/12 SunCoke Energy, Inc. 7.01,9.01 09/11/12 SUNESIS PHARMACEUTICALS INC DE 8.01,9.01 09/11/12 SUNTRUST BANKS INC GA 7.01,9.01 09/11/12 SUPERVALU INC DE 2.05 09/05/12 Technologies Scan Corp A8 1.01,9.01 09/05/12 TENET HEALTHCARE CORP NV 5.02,9.01 09/06/12 TENGION INC DE 1.01,2.03,3.02,8.01, 09/07/12 9.01 TEXAS INDUSTRIES INC DE 7.01,9.01 09/11/12 TEXAS INSTRUMENTS INC DE 7.01,9.01 09/11/12 TIBCO SOFTWARE INC DE 8.01 09/11/12 Todays Alternative Energy Corp NY 4.01,9.01 09/10/12 TOTAL SYSTEM SERVICES INC GA 1.01,1.02,2.03,9.01 09/10/12 TOYS R US INC DE 7.01,9.01 09/11/12 TRANSACT TECHNOLOGIES INC DE 1.01,8.01 09/11/12 TransBiotec, Inc. 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