Closed Meeting on Thursday, September 20, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, September 20, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory 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.
SEC Charges Connecticut-Based Broker With Stealing Investor Funds to Pay Mortgage and Shopping Bills
The Securities and Exchange Commission today charged a broker and his company based in Danbury, Conn., with stealing at least $600,000 from customers who he persuaded to withdraw money from their brokerage accounts he managed at other firms and instead invest with him directly.
The SEC alleges that Stephen B. Blankenship lured about a dozen customers – including some retirees and others he met at church – into his scheme by assuring them they could obtain a greater rate of return on their money by transferring it to his firm, Deer Hill Financial Group. Blankenship claimed he was investing their money in established securities such as publicly-traded mutual funds. But in reality he made no investments and merely transferred customer money to his own bank account, and he misused it to pay his mortgage, travel, and grocery bills among other personal expenses. Blankenship also paid some business expenses and made Ponzi-like payments to other customers who requested a return of all or part of their investment.
In a parallel action, the U.S. Attorney’s Office for the District of Connecticut today announced criminal charges against Blankenship.
“Blankenship took advantage of fellow churchgoers and senior citizens who relied on their savings for retirement and placed their trust in him,” said David P. Bergers, Director of the SEC’s Boston Regional Office. “He betrayed that trust by using their money to make personal credit card payments and home improvements.”
According to the SEC’s complaint filed in the U.S. District Court for the District of Connecticut, most of the investors deceived by Blankenship became his brokerage customers at Santa Monica-based Syndicated Capital and later at Melville, N.Y.-based Vanderbilt Securities. Some had been his customers for as long as two decades. Beginning in at least 2002, Blankenship took advantage of those longstanding relationships and began convincing customers to withdraw money from their brokerage accounts at those firms with promises that he could achieve a greater rate of return for them directly by investing their money through Deer Hill.
The SEC alleges that in order to conceal his scheme, Blankenship often created fake account statements that falsely represented that he had invested their money in a variety of investments. The purported account statements were printed on Deer Hill letterhead and provided to customers. In all instances, the investments described on the account statements did not exist.
The SEC’s complaint alleges that Deer Hill and Blankenship violated the antifraud provisions of the federal securities laws and acted as unregistered brokers. The complaint seeks disgorgement of ill-gotten gains plus prejudgment interest, monetary penalties, and the entry of a permanent injunction against Deer Hill and Blankenship, who lives in New Fairfield, Conn.
Based on the same misconduct, the U.S. Attorney’s Office for the District of Connecticut charged Blankenship with criminal violations. The Connecticut Department of Banking‘s Securities Division has obtained, by consent, a revocation of Blankenship’s registration and has barred Blankenship and Deer Hill from operating in Connecticut. The SEC thanks the U.S. Attorney’s Office for the District of Connecticut, the Connecticut Department of Banking’s Securities Division, and the police department in Danbury, Conn., for their assistance in this matter.
The SEC’s investigation, which is continuing, has been conducted by Kevin B. Currid, Robert B. Barry, and Michele Perillo in the Boston Regional Office with assistance from Mark Gera and Andrew Caverly of the broker-dealer examination program. Mr. Currid will lead the SEC’s litigation. (Press Rel. 2012-188; [SEC v. Deer Hill Financial Group, LLC, et al., Civil Action No. 12-01317 (District of Connecticut)] (LR-22479)
SEC Suspends Attorney in the Matter of Jilaine H. Bauer, Esq.
On September 12, 2012, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i)(B) of the Commission’s Rules of Practice that suspends Jilaine H. Bauer from appearing or practicing before the Commission. The Commission’s Order was based on the Eastern District of Wisconsin’s finding in SEC v. Bauer et al., Case No. 03-1427, that Bauer violated the federal securities laws by engaging in insider trading and that she acted with scienter in doing so.
Bauer has 30 days to petition the Commission to lift the temporary suspension. If she does not make a timely petition, the suspension will become permanent pursuant to Rule 102(e)(3)(ii). (Rel. 34-67845; File No. 3-15020)
In the Matter of SJK Investment Management, LLC
On September 12, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions against SJK Investment Management, LLC. The Order finds that SJK Investment Management, LLC (SJK), an investment adviser that has been registered with the Commission since 2009, was permanently enjoined on September 23, 2011 by consent 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), 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. Stanley J. Kowalewski and SJK Investment Management, LLC, Civil Action Number 1:11-CV-0056-TCB, in the United States District Court for the Northern District of Georgia.
Based on the above, the Order revokes the registration of SJK. SJK consented to the issuance of the Order without admitting or denying any of the findings in the Order, except it admitted to the entry of the injunction. (Rel. IA-3463; File No. 3-15021)
Two Former Officers of Sterling Financial Corp. Subsidiary Sentenced to Lengthy Prison Terms and Ordered to Pay $53 Million in Restitution for Conducting Financial Fraud
The Commission announced that on September 11 and 12, 2012, Joseph M. Braas, of Lititz, Pennsylvania, and Michael J. Schlager, of Lancaster, Pennsylvania, were sentenced in a criminal action for orchestrating a sophisticated financial fraud that lasted over five years. Braas and Schlager were two senior officers at Equipment Finance, LLC (EFI), formerly a commercial lender to the soft pulp logging industry and wholly-owned subsidiary of Sterling Financial Corp. (Sterling), a publicly traded bank holding company based in Lancaster, Pennsylvania. Judge Paul S. Diamond of the United States District Court for the Eastern District of Pennsylvania sentenced Braas to 15 years in federal prison, and Schlager to 20 years in prison, each followed by five years of supervised release. Braas and Schlager were also each ordered to pay $53 million in restitution. Braas and Schlager had each previously pleaded guilty to one count of conspiracy to commit mail fraud, and two counts of mail fraud, all affecting a financial institution.
On January 6, 2011, the Commission filed a civil action against Braas and Schlager based on the same conduct alleged in the criminal case. Without admitting or denying the Commission’s allegations, Braas and Schlager agreed to settle the matter, and Final Judgments were entered as to each. The Commission’s complaint alleged that, from at least February 2002 until April 2007, Braas, EFI’s Vice President and Chief Operating Officer, and Schlager, EFI’s Executive Vice President, orchestrated a pervasive and wide-ranging scheme using fraudulent underwriting and reporting practices to hide mounting losses and defaults within EFI’s commercial loan portfolio from Sterling’s senior management and auditors.
The Commission further alleged that Braas and Schlager were able to subvert virtually every aspect of EFI’s loan process and internal controls. They created fictitious loans for the purpose of making monthly payments on delinquent loans, altered loan documents to hide delinquent and fictitious loans, granted excessive deferrals and resets of delinquent loans to make them appear current, reassigned loan payments to unrelated accounts to fund payments on delinquent loans, and used aliases for borrowers to circumvent EFI’s maximum lending limitations. They also deceived Sterling’s internal and independent auditors through fraudulent accounting entries, false collateral descriptions and appraisals, fabricated UCC filings, and by recruiting vendors to assist in the circumvention of loan confirmation procedures.
As alleged in the complaint, Braas and Schlager caused EFI to report false financial information to Sterling which, in turn, from 2002 through 2006, filed quarterly and annual reports with the Commission containing materially false and misleading financial statements. As a result of the fraud, Sterling ultimately charged off $281 million of EFI finance receivables, which represented a large majority of EFI’s loan portfolio, and approximately 13 percent of Sterling’s total loan portfolio during the period of the fraud.
For further information, see Litigation Release No. 21797 (Jan. 6, 2011). [U.S. v. Joseph M. Braas, et al., Case No. 10-cr-00753-PD (E.D. Pa.)] (LR-22480)
Wells Fargo Funds Trust and Wells Fargo Funds Management, LLC
A notice has been issued giving interested persons until October 9, 2012, to request a hearing on an application filed by Wells Fargo Funds Trust and Wells Fargo Funds Management, 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, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies 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, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30201 - September 12)
Proposed Rule Changes
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2012-14) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the clearance and settlement of over-the-counter options. Publication is expected in the Federal Register during the week of September 17. (Rel. 34-67835)
The Commission issued notice of a proposed rule change submitted by New York Stock Exchange LLC (SR-NYSE-2012-44) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending Section 907.00 of the Listed Company Manual, which describes certain complimentary products and services that are offered to certain issuers. Publication is expected in the Federal Register during the week of September 17. (Rel. 34-67846)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Arca, Inc. to amend NYSE Arca Options Rule 6.96 by adding a new paragraph (c) that addresses the authority of the Exchange or Archipelago Securities LLC (“Arca Securities”) to cancel orders when a technical or systems issue occurs and to describe the operation of an error account for Arca Securities (SR-NYSEArca-2012-100) 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 17. (Rel. 34-67836)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to pricing of options on Facebook, Inc., Google, Inc. and Groupon, Inc. (SR-NASDAQ-2012-102) 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 17. (Rel. 34-67837)
A proposed rule change filed by NYSE MKT LLC to amend Rule 993NY by adding a new paragraph (c) that addresses the authority of the Exchange or Archipelago Securities LLC (“Arca Securities”) to cancel orders when a technical or systems issue occurs and to describe the operation of an error account for Arca Securities (SR-NYSEMKT-2012-46) 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 17. (Rel. 34-67838)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-41) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 17. (Rel. 34-67839)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-41) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 17. (Rel. 34-67840)
A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31(d) to provide that an Inside Limit Order designated as a Primary Until 9:45 Order or a Primary After 3:55 Order will follow the order processing of an Inside Limit Order only when the order is on the NYSE Arca Book (SR-NYSEArca-2012-99) 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 17. (Rel. 34-67841)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to the Customer Rebate to Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options (SR-NASDAQ-2012-104) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of September 17. (Rel. 34-67843)
A proposed rule change filed by New York Stock Exchange LLC amending Sections 902.02 and 902.03 of the Listed Company Manual of the New York Stock Exchange LLC (SR-NYSE-2012-43) 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 17. (Rel. 34-67847)
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-NASDAQ-2012-090) filed by The NASDAQ Stock Market LLC to amend Rule 4626—Limitation of Liability. Publication is expected in the Federal Register during the week of September 17. (Rel. 34-67842)
Approval of Proposed Rule Change
The Commission approved a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-75), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, amending NYSE Arca Equities Rule 7.37(c) to provide that the tracking order process is available only for orders that are eligible to route to an away market. Publication is expected in the Federal Register during the week of September 17. (Rel. 34-67844)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-11 Western Asset Mortgage Capital Corp, 385 EAST COLORADO BOULEVARD, PASADENA, CA, 91101, 626-844-9400 - 0 ($100,000,000.00) Equity, (File 333-183840 - Sep. 12) (BR. 08A) S-1 C3 Event Management, INC., 9846 BAILEY RD, CORNELIUS, NC, 28031, 704-519-7484 - 10,680,015 ($534,001.00) Equity, (File 333-183841 - Sep. 12) (BR. 02) S-3ASR HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX, 77002, 832-538-0300 - 0 ($0.00) Equity, (File 333-183843 - Sep. 12) (BR. 04A) S-8 HAUPPAUGE DIGITAL INC, 91 CABOT COURT, HAUPPAUGE, NY, 11788, 5164341600 - 1,000,000 ($1,110,000.00) Equity, (File 333-183849 - Sep. 12) (BR. 03B) S-8 FULLCIRCLE REGISTRY INC, 161 ALPINE DR, SHELBYVILLE, KY, 40065, 502-410-4500 - 10,000,000 ($500,000.00) Equity, (File 333-183850 - Sep. 12) (BR. 05C) S-8 BIOCUREX INC, 7080 RIVER RD, STE 215, RICHMOND, A1, V6X 1X5, 6042079150 - 50,000,000 ($70,000.00) Equity, (File 333-183851 - Sep. 12) (BR. 10A) S-1 Omagine, Inc., 350 FIFTH AVENUE, 48TH FLOOR, NEW YORK, NY, 10118, 212-563-4141 - 116,900 ($438,375.00) Equity, (File 333-183852 - Sep. 12) (BR. 02) S-3ASR GENESEE & WYOMING INC, 66 FIELD POINT ROAD, GREENWICH, CT, 06830, 2036293722 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183862 - Sep. 12) (BR. 05A) S-8 ON ASSIGNMENT INC, 26745 MALIBU HILLS ROAD, CALABASAS, CA, 91301, 8188787900 - 110,534 ($1,826,021.68) Equity, (File 333-183863 - Sep. 12) (BR. 11A) S-3ASR SOTHEBYS, 1334 YORK AVENUE, NEW YORK, NY, 10021, 212-606-7000 - 0 ($0.00) Debt, (File 333-183864 - Sep. 12) (BR. 03C) S-1 GENEREX BIOTECHNOLOGY CORP, 33 HARBOUR SQ, STE 202, TORONTO ONTARIO CANADA, A1, M5J 2G2, 4163642551 - 88,121,621 ($6,212,754.00) Equity, (File 333-183865 - Sep. 12) (BR. 01A) S-8 Kraft Foods Group, Inc., THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 847-646-2000 - 0 ($1,065,900,000.00) Equity, (File 333-183866 - Sep. 12) (BR. 04A) S-8 Kraft Foods Group, Inc., THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 847-646-2000 - 0 ($20,000,000.00) Other, (File 333-183867 - Sep. 12) (BR. 04A) S-8 Kraft Foods Group, Inc., THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 847-646-2000 - 0 ($465,120,000.00) Equity, (File 333-183868 - Sep. 12) (BR. 04A) S-8 BARNES & NOBLE INC, 122 FIFTH AVE, NEW YORK, NY, 10011, 2126333300 - 0 ($19,626,500.00) Equity, (File 333-183869 - Sep. 12) (BR. 02C) S-1 QUORUM CORP, ROOM 214, 2ND FLOOR, WESTLANDS ARCADE,, WESTLANDS, PO BOX 45591-00100, NAIROBI, M3, 00100, 254-733-817923 - 28,336,664 ($42,505.00) Equity, (File 333-183870 - Sep. 12) (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.
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ABIOMED INC DE 8.01 09/10/12 ACACIA RESEARCH CORP DE 8.01 09/11/12 ACETO CORP NY 5.02,9.01 09/06/12 Aircastle LTD D0 7.01,9.01 09/11/12 ALION SCIENCE & TECHNOLOGY CORP DE 5.02 04/23/12 AMEND ALTERRA CAPITAL HOLDINGS Ltd 8.01,9.01 09/12/12 American Assets Trust, Inc. MD 7.01 09/12/12 AMERICAN INTERNATIONAL INDUSTRIES INC NV 5.02 09/12/12 American Realty Capital Trust III, In MD 8.01,9.01 09/11/12 AMEND American Realty Capital Trust, Inc. DE 1.01,5.02,9.01 09/06/12 AMICUS THERAPEUTICS INC DE 8.01 09/07/12 ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 09/11/12 ARDEN GROUP INC DE 8.01 09/12/12 ASIA PROPERTIES INC NV 4.01,9.01 11/01/11 ASTA FUNDING INC DE 8.01,9.01 09/10/12 ASTRO MED INC /NEW/ RI 8.01,9.01 09/06/12 Attitude Drinks Inc. DE 4.01,9.01 09/01/12 AMEND AUTHENTIDATE HOLDING CORP DE 1.01,3.02,5.02,9.01 09/10/12 AVIAT NETWORKS, INC. DE 4.01,9.01 09/06/12 AWG International Water Corp NV 3.03,8.01 09/11/12 AXION INTERNATIONAL HOLDINGS, INC. CO 5.02 09/11/12 Bacterin International Holdings, Inc. DE 5.02,7.01,9.01 09/06/12 BAKERS FOOTWEAR GROUP INC MO 1.01,2.03 09/06/12 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 09/12/12 BARNES & NOBLE INC DE 5.02,5.07,9.01 09/11/12 BG Medicine, Inc. DE 5.02 09/06/12 BIOLASE, INC DE 7.01,9.01 09/11/12 BOISE CASCADE HOLDINGS, L.L.C. DE 1.01,2.03 09/07/12 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.01,9.01 09/11/12 Brenham Oil & Gas Corp. NV 5.02 09/12/12 BRIGGS & STRATTON CORP WI 8.01,9.01 09/07/12 Buckingham Exploration Inc. NV 5.02 08/13/12 CALLON PETROLEUM CO DE 5.02,7.01,9.01 09/07/12 CEDAR REALTY TRUST, INC. MD 8.01,9.01 09/11/12 CHASE CORP MA 2.01,9.01 06/27/12 AMEND Chatham Lodging Trust MD 7.01,8.01,9.01 09/10/12 China VantagePoint Acquisition Co 1.01,8.01,9.01 09/06/12 CHRISTOPHER & BANKS CORP DE 7.01,9.01 09/12/12 Circle Entertainment, Inc. DE 1.01,9.01 09/10/12 CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01 09/12/12 CNL Healthcare Trust, Inc. MD 9.01 06/29/12 AMEND CNS RESPONSE, INC. DE 1.01,2.03,3.02 09/06/12 Cobalt International Energy, Inc. 7.01 09/12/12 CODEXIS INC 3.02,5.02,9.01 09/10/12 COFFEE HOLDING CO INC NV 2.02,8.01,9.01 09/12/12 COLE REAL ESTATE INCOME STRATEGY (DAI MD 1.01 09/06/12 Commercial Vehicle Group, Inc. DE 7.01,9.01 09/12/12 COMPUTER SCIENCES CORP NV 1.01,9.01 09/11/12 Cooper Industries plc 8.01,9.01 09/12/12 Cornerstone OnDemand Inc DE 5.02 08/13/12 Cyalume Technologies Holdings, Inc. DE 5.02,9.01 09/12/12 DARLING INTERNATIONAL INC DE 7.01,9.01 09/11/12 DELTEK, INC DE 5.07 09/07/12 DIAL GLOBAL, INC. /DE/ DE 5.07 09/12/12 Digital Domain Media Group, Inc. FL 1.01,1.03,3.01,5.02, 09/10/12 9.01 DIGITAL POWER CORP CA 5.02,8.01 09/11/12 DIRECT MARKETS HOLDINGS CORP. DE 8.01 09/12/12 DIXIE GROUP INC TN 7.01,9.01 09/12/12 DST SYSTEMS INC DE 1.01,5.02 09/12/12 DSW Inc. OH 5.02,8.01 09/12/12 DUMA ENERGY CORP NV 1.01,2.01,3.02,8.01, 09/06/12 9.01 DYNEX CAPITAL INC VA 7.01,9.01 09/12/12 EATON CORP OH 8.01,9.01 09/12/12 Ellington Financial LLC DE 8.01,9.01 09/11/12 Ellington Financial LLC DE 7.01 09/12/12 Eloqua, Inc. 1.02,5.02,7.01,9.01 08/21/12 ENZO BIOCHEM INC NY 5.02 09/06/12 EXTREME NETWORKS INC DE 8.01 09/11/12 Federal Home Loan Bank of Atlanta X1 2.03 09/06/12 AMEND Federal Home Loan Bank of Boston X1 5.02 09/12/12 FEDERATED NATIONAL HOLDING CO FL 5.07,8.01,9.01 09/11/12 FORD MOTOR CO DE 1.01,3.03,9.01 09/11/12 FOREST OIL CORP NY 5.02,7.01,8.01,9.01 09/11/12 FOREST OIL CORP NY 7.01,9.01 09/12/12 FRONTIER COMMUNICATIONS CORP DE 1.01,2.03,9.01 09/12/12 FS Investment CORP MD 2.02,3.03,8.01,9.01 09/06/12 FS Investment Corp II MD 1.01,2.02,9.01 09/11/12 GENESCO INC TN 7.01 09/12/12 GENESEE & WYOMING INC DE 8.01,9.01 09/12/12 Global Stevia Corp. NV 8.01 09/11/11 GlyEco, Inc. NV 8.01 09/11/12 AMEND GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/07/12 GRAPHITE CORP NV 1.01,3.02,9.01 09/06/12 Graystone Co DE 3.02 09/12/12 HALLIBURTON CO DE 8.01 09/10/12 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 09/06/12 HEARTLAND EXPRESS INC NV 8.01 09/10/12 HENRY JACK & ASSOCIATES INC DE 5.02,9.01 09/10/12 Hines Global REIT, Inc. MD 5.07,7.01,9.01 09/12/12 HollyFrontier Corp DE 7.01,9.01 09/12/12 HPIL HOLDING NV 8.01,9.01 06/30/12 AMEND HPIL HOLDING NV 8.01,9.01 06/30/12 AMEND HUMANA INC DE 7.01 09/12/12 HYDROMER INC NJ 8.01 09/10/12 IMAGEWARE SYSTEMS INC DE 5.02,9.01 09/06/12 INDEPENDENT BANK CORP MA 8.01 09/11/12 INDIANA COMMUNITY BANCORP IN 1.01,9.01 09/12/12 INFINITY PROPERTY & CASUALTY CORP OH 8.01,9.01 09/12/12 Ingen Technologies, Inc. 5.02 09/07/12 Inland American Real Estate Trust, In MD 7.01,9.01 09/12/12 Inland Diversified Real Estate Trust, MD 7.01,9.01 09/12/12 INTEL CORP DE 7.01 09/12/12 iPayment Holdings, Inc DE 5.02,8.01 09/06/12 ISC8 INC. /DE DE 1.01,9.01 09/05/12 IVANHOE ENERGY INC 7.01,9.01 09/10/12 Jones Lang LaSalle Income Property Tr MD 1.01,9.01 09/06/12 KEMET CORP DE 7.01,9.01 09/12/12 KEYW HOLDING CORP MD 1.01,3.02,9.01 09/10/12 KID BRANDS, INC NJ 3.02,5.02,8.01,9.01 09/11/12 L 3 COMMUNICATIONS HOLDINGS INC DE 5.02,9.01 09/06/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/12/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/12/12 LIBERTY ENERGY CORP. NV 3.02 09/01/12 LIBERTY STAR URANIUM & METALS CORP. NV 1.01,3.02,8.01,9.01 08/08/12 LIBERTY STAR URANIUM & METALS CORP. NV 1.01,3.02,9.01 08/22/12 LIBERTY STAR URANIUM & METALS CORP. NV 5.02,8.01,9.01 08/28/12 LIBERTY STAR URANIUM & METALS CORP. NV 1.01,3.02,9.01 08/29/12 Location Based Technologies, Inc. NV 8.01 09/12/12 LODGENET INTERACTIVE CORP DE 5.02,9.01 09/11/12 LUCAS ENERGY, INC. NV 8.01,9.01 09/11/12 MACK CALI REALTY CORP MD 5.02,9.01 09/12/12 MCDONALDS CORP DE 7.01,9.01 09/11/12 MECHANICAL TECHNOLOGY INC NY 5.02 09/06/12 MEDIWARE INFORMATION SYSTEMS INC NY 1.01,9.01 09/11/12 Meritage Homes CORP MD 7.01,9.01 09/12/12 Midstates Petroleum Company, Inc. DE 1.01,9.01 09/07/12 MOLSON COORS BREWING CO DE 1.01,2.03,9.01 09/10/12 MRV COMMUNICATIONS INC DE 1.01,9.01 09/11/12 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 09/11/12 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 09/12/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 09/10/12 NBTY INC DE 5.02 09/07/12 NEOGENOMICS INC NV 8.01 09/11/12 Net Element, Inc. DE 1.01,8.01,9.01 08/30/12 NEW JERSEY RESOURCES CORP NJ 7.01,9.01 09/11/12 NEWS CORP 8.01,9.01 09/12/12 NISOURCE INC/DE DE 7.01,9.01 09/12/12 NOVELOS THERAPEUTICS, INC. DE 1.01,3.03,9.01 09/10/12 NPC Restaurant Holdings, LLC DE 5.07,9.01 09/12/12 NTS REALTY HOLDINGS LP DE 8.01,9.01 09/12/12 NUTRA PHARMA CORP CA 5.02 09/06/12 Opexa Therapeutics, Inc. TX 7.01,9.01 09/12/12 Orient Paper Inc. NV 5.02,5.07,8.01,9.01 09/10/12 Oryon Technologies, Inc. NV 1.01,9.01 09/06/12 PACIFIC BIOSCIENCES OF CALIFORNIA INC 5.02,7.01,9.01 09/12/12 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 09/04/12 PAN AMERICAN GOLDFIELDS LTD DE 1.01,3.02,9.01 09/11/12 PC MALL INC DE 1.01,5.02,9.01 09/11/12 Pegasi Energy Resources Corporation. NV 1.01,3.02,7.01,9.01 09/10/12 PEP BOYS MANNY MOE & JACK PA 5.07 09/12/12 PERNIX THERAPEUTICS HOLDINGS, INC. MD 1.01,2.03,9.01 09/08/12 Phillips Edison - ARC Shopping Center MD 8.01,9.01 09/06/12 PINNACLE ENTERTAINMENT INC. DE 7.01,9.01 09/12/12 PMFG, Inc. DE 2.02,9.01 09/12/12 Point.360 CA 2.02,9.01 09/12/12 Polypore International, Inc. 7.01,9.01 09/12/12 POWERWAVE TECHNOLOGIES INC DE 1.01,2.03,3.02,7.01, 09/11/12 9.01 POWERWAVE TECHNOLOGIES INC DE 2.05 09/06/12 PRICESMART INC DE 2.02,9.01 09/12/12 Punchline Resources Ltd. NV 8.01 09/12/12 R F INDUSTRIES LTD NV 2.02,9.01 09/10/12 Raptor Pharmaceutical Corp DE 5.02,8.01,9.01 09/10/12 RECOVERY ENERGY, INC. NV 3.02 09/07/12 Regional Management Corp. DE 5.02,9.01 09/11/12 REPROS THERAPEUTICS INC. DE 1.01,3.02,9.01 09/07/12 REPROS THERAPEUTICS INC. DE 8.01,9.01 09/12/12 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 09/07/12 Resource Capital Corp. MD 1.01,8.01,9.01 09/07/12 RING ENERGY, INC. NV 9.01 06/28/12 AMEND Sanchez Energy Corp DE 8.01,9.01 09/12/12 SANTARUS INC DE 8.01,9.01 09/11/12 SAUER ENERGY, INC. NV 1.01,9.01 09/05/12 SCIENTIFIC LEARNING CORP DE 2.05 09/10/12 SEQUENOM INC DE 1.01,7.01,8.01,9.01 09/10/12 SGS International, Inc. DE 8.01,9.01 09/11/12 SILLENGER EXPLORATION CORP. NV 1.01,9.01 09/11/12 SINOHUB, INC. DE 4.01 09/06/12 SLM CORP DE 8.01,9.01 09/12/12 SMART ONLINE INC DE 2.03,3.02 09/07/12 SMF ENERGY CORP DE 7.01,9.01 08/20/12 SOUTHERN COPPER CORP/ DE 5.02 09/10/12 SPARTECH CORP DE 2.02,9.01 09/12/12 Spy Inc. DE 1.01,2.03,9.01 09/06/12 STAG Industrial, Inc. 1.01,2.03,9.01 09/10/12 STARRETT L S CO MA 2.02,9.01 09/12/12 STRATUS PROPERTIES INC DE 1.01,9.01 09/10/12 STREAMLINE HEALTH SOLUTIONS INC. DE 2.02,9.01 09/12/12 Sucampo Pharmaceuticals, Inc. 8.01,9.01 09/12/12 SUN COMMUNITIES INC MD 1.01,8.01,9.01 09/10/12 SUN HYDRAULICS CORP FL 8.01,9.01 09/10/12 TC GLOBAL, INC. WA 5.02 09/09/12 TECH DATA CORP FL 8.01,9.01 09/11/12 TELVUE CORP DE 5.02 09/10/12 THESTREET, INC. DE 1.01,2.01,2.05,5.02, 09/07/12 7.01,9.01 THOR INDUSTRIES INC DE 8.01,9.01 09/06/12 TIDEWATER INC DE 8.01,9.01 09/06/12 TRC COMPANIES INC /DE/ DE 2.02,9.01 09/12/12 Triangle Petroleum Corp NV 2.02,9.01 09/06/12 TUCOWS INC /PA/ PA 5.07 09/11/12 Two Harbors Investment Corp. 7.01,9.01 09/11/12 Two Harbors Investment Corp. 7.01,9.01 09/12/12 UDR, Inc. MD 2.02,9.01 09/12/12 UGI CORP /PA/ PA 1.01,5.02,8.01,9.01 09/12/12 UNION DRILLING INC DE 7.01,9.01 09/12/12 UNITED TECHNOLOGIES CORP /DE/ DE 5.02,9.01 09/12/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 8.01,9.01 09/11/12 Urigen Pharmaceuticals, Inc. DE 1.01 09/06/12 US CONCRETE INC DE 7.01,9.01 09/12/12 US HOME SYSTEMS INC DE 8.01,9.01 09/12/12 USAA Auto Owner Trust 2012-1 8.01,9.01 09/10/12 USAA Auto Owner Trust 2012-1 8.01,9.01 08/10/12 VANGUARD HEALTH SYSTEMS INC DE 1.01 09/12/12 Verisk Analytics, Inc. DE 1.01,8.01,9.01 09/12/12 Vertex Energy Inc. 1.01,2.01,2.03,3.02, 09/11/12 7.01,9.01 VISUALANT INC NV 5.02,9.01 09/06/12 AMEND VIVUS INC CA 5.05,9.01 09/07/12 VSB BANCORP INC NY 8.01 09/11/12 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 09/12/12 WEYERHAEUSER CO WA 7.01,9.01 09/12/12 WMX Group Holdings, Inc. FL 1.01,9.01 05/22/12 WORLDSTAR ENERGY, CORP. NV 1.02,9.01 09/11/12 WSFS FINANCIAL CORP DE 1.01,9.01 09/12/12 XFormity Technologies, Inc. CO 5.02 09/11/12 Xylem Inc. IN 7.01,9.01 09/12/12 Yanglin Soybean, Inc. NV 2.01 06/27/12