SEC Charges Tyco for Illicit Payments to Foreign Officials
The Securities and Exchange Commission today charged Tyco International Ltd. with violating the Foreign Corrupt Practices Act (FCPA) when subsidiaries arranged illicit payments to foreign officials in more than a dozen countries.
The SEC alleges that subsidiaries of the Swiss-based global manufacturer perpetuated schemes that typically involved payments of fake “commissions” or the use of third-party agents to funnel money improperly to obtain lucrative contracts. Overall, Tyco reaped illicit benefits amounting to more than $10.5 million as a result of the paid to win business.
Tyco, whose securities are publicly traded in the U.S., agreed to pay more than $26 million to settle the SEC’s charges and resolve a criminal matter announced today by the U.S. Department of Justice.
“Tyco’s subsidiaries operating in Asia and the Middle East saw illicit payment schemes as a typical way of doing business in some countries, and the company illicitly reaped substantial financial benefits as a result,” said Scott W. Friestad, Associate Director of the SEC’s Division of Enforcement.
The SEC alleges that Tyco subsidiaries operated 12 different illicit payment schemes around the world starting before 2006 and continuing until 2009. The most profitable scheme occurred in Germany, where agents of a Tyco subsidiary paid third parties to secure contracts or avoid penalties or fines in several countries. These payments were falsely recorded as “commissions” in Tyco’s books and records when they were in fact bribes to pay off government customers. Tyco’s benefit as a result of these illicit payments was more than $4.6 million.
According to the SEC’s complaint, Tyco’s subsidiary in China signed a contract with the Chinese Ministry of Public Security for $770,000 but reportedly paid approximately $3,700 to the “site project team” of a state-owned corporation to be able to obtain the contract. This amount was improperly recorded as a commission. Tyco’s subsidiary in France recorded payments to individuals from 2005 to 2009 for “business introduction services.” However, one of the individuals receiving payments was a security officer at a government-owned mining company in Mauritania, and many of the earlier payments were deposited in the official’s personal bank account in France. In Thailand, Tyco’s subsidiary had a contract to install a CCTV system in the Thai Parliament House in 2006, and paid more than $50,000 to a Thai entity that acted as a consultant. The invoice for the payment refers to “renovation work,” but Tyco is unable to ascertain what, if any, work was actually done.
The SEC alleges that another scheme occurred in Turkey, where Tyco’s subsidiary retained a New York City-based sales agent who made illicit payments involving the sale of microwave equipment in September 2006 to an entity controlled by the Turkish government. Employees at Tyco’s subsidiary were well aware that the agent was paying foreign government customers to obtain orders. One internal e-mail stated, “Hell, everyone knows you have to bribe somebody to do business in Turkey. Nevertheless, I’ll play it dumb if [the sales agent] should call.” The benefit obtained by Tyco as a result of the September 2006 deal was $44,513.
The SEC’s complaint alleges that Tyco’s books and records were misstated as a result of the misconduct, and Tyco failed to devise and maintain internal controls sufficient to detect the violations. The complaint also alleges that the payments by the sales agent to Turkish government officials violated the anti-bribery provisions of the FCPA.
In arriving at the settlement, the Commission considered Tyco’s extensive efforts to identify and remediate its wrongdoing. Tyco conducted a global review and internal investigation for potential FCPA violations and voluntarily disclosed its findings to the SEC while implementing significant, broad-spectrum remedial measures. Tyco consented to a proposed final judgment that orders the company to pay $10,564,992 in disgorgement and $2,566,517 in prejudgment interest. Tyco also agreed to be permanently enjoined from violating Section 13(b)(2)(A), Section 13(b)(2)(B), and Section 30A(a) of the Securities Exchange Act of 1934.
In the parallel criminal proceedings, the Justice Department entered into a Non-Prosecution Agreement with Tyco in which the company will pay a penalty of approximately $13.68 million.
The SEC’s case was investigated by David Frohlich, Stephen E. Jones, Matthew B. Greiner, and Brent S. Mitchell. The Commission acknowledges the assistance of the U.S. Department of Justice’s Fraud Section in this matter. (Press Rel. 2012-196; [SEC v. Tyco International Ltd, Civil Action No. 1:12-cv-01583, USDC, DDC] (LR-22491; AAE Rel. 3409)
In the Matter of Bradford Keith Dent
On September 21, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Bradford Keith Dent. Dent was a registered representative with Carty & Company, a broker-dealer with offices in Memphis, Tennessee registered with the Commission.
On February 9, 2012, a judgment of conviction was entered against Dent in the United States District Court for the Western District of Tennessee upon Dent’s entry of a plea of guilty to one count of securities fraud in violation of 18 U.S.C. § 1348 (United States v. Bradford Keith Dent, Crim. Case No. 2:10-CR-20345-01). On May 31, 2012, the Court sentenced Dent to 30 months in prison and two years of supervised release, and ordered Dent to pay restitution in the amount of $126,000.00.
The count of the criminal indictment on which Dent was convicted alleged that Dent, while employed by Carty & Company, created losing trades in a customer account and that he transferred the “losses” in the customer account as gains to proprietary accounts of Carty & Company in order to offset losses in the company proprietary, or “error,” accounts that Dent had accumulated as a result of his unauthorized day trading activities in the accounts.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to afford the Respondent an opportunity to establish defenses to the allegations, and to determine whether remedial action is appropriate and in the public interest.
The order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice
The Order provides for public administrative proceedings to establish the truth of the allegations set forth therein, and for a determination of what remedial action against Dent, if any, is in the public interest. (Rel. 34-67911; File No. 3-15039)
In the Matter of Cameron H. Linton, Esq.
On September 21, 2012, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Cameron H. Linton, Esq. (Linton). The Order finds that Linton is and has been an attorney licensed to practice law in the State of Florida. From approximately 2009 to 2012, Linton’s law practice has included writing legal opinion letters for clients involving transactions under the federal securities laws. On April 30, 2012, the Commission filed a complaint in federal court against Linton alleging, among other things, that from January 2010 through October 2011, clients of Linton’s unlawfully sold approximately 3.3 billion shares of penny stock in unregistered transactions. They were able to acquire and sell most of this stock only because Linton, their attorney, issued baseless legal opinions stating that the transactions were exempt from the registration requirement of Section 5 of the Securities Act of 1933 (Securities Act). Linton failed to make necessary factual and legal determinations when he concluded that the transactions qualified under the Section 4(1) exemption and the Securities Act Rule 144 safe harbor. When Linton wrote the opinion letters, he lacked an understanding of the applicable legal principles and failed to substantiate the factual predicate for his opinions.
On September 14, 2012, the court entered an order permanently enjoining Linton from violation of Section 5 of the Securities Act and from providing professional legal services to any person in connection with the offer or sale of securities pursuant to, or claiming, an exemption under Securities Act Rule 144, or any other exemption from the registration provisions of the Securities Act, including, without limitation, participating in the preparation of any opinion letter relating to such offerings. Linton was also permanently barred from participating in an offering of penny stock pursuant to Section 20(g) of the Securities Act and Section 21(d)(6) of the Securities Exchange Act of 1934. Linton was also ordered to pay $6,250 in disgorgement of ill-gotten gains and a $7,500 civil money penalty.
Based on the above, the Order suspends Linton from appearing or practicing before the Commission as an attorney. Linton 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. 34-67912; File No. 3-15040)
Delinquent Filer’s Stock Registration Revoked
The registration of the registered securities of RussOil Corp. 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. 34-67913; File No. 3-14914)
In the Matter of Roger L. Shoss, Esq.
On September 24, 2012, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice (the “Order”) against Roger L. Shoss, Esq. (“Shoss”). The Order finds that Shoss is licensed as an attorney in Texas with an office in Houston, Texas. The Order also finds that on May 22, 2012, a jury returned a guilty verdict against Shoss on one count of conspiracy to commit wire fraud, in violation of 18 U.S.C. § 371, in a proceeding before the United States District Court for the Middle District of Florida captioned United States v. Shoss, et al., Case # 8:11-cr-00366-T-30TBM. The criminal proceeding stemmed from Shoss’s activities in connection with four defunct, publicly-traded issuers during the period February 2005 through at least July 2006. The Order further finds that on August 9, 2012, a judgment of conviction was entered against Shoss and as a result, Shoss was sentenced to 18 months in federal prison, followed by 36 months of home confinement on supervised release. Finally, the Order finds that a final forfeiture money judgment, in the amount of $800,000, was also entered and that a final order of forfeiture was entered for Shoss's residence in Houston, which was purchased with proceeds traceable to the wire fraud conspiracy.
Based on the above, the Commission forthwith suspended Shoss from appearing or practicing before the Commission. (Rel. 34-67914; File No. 3-15041)
Robert C. Pribilski Sanctioned
Robert C. Pribilski (Pribilski) has been barred from association with any broker or dealer and from participating in an offering of penny stock. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In April 2012, Pribilski was enjoined from violating the antifraud and registration provisions of the federal securities laws based on his operation of a Ponzi scheme. The wrongdoing underlying Richey’s conviction took place between 2005 and 2010 and involved selling promissory notes that were to fund “Turkish Eurobonds.” No such investments were made, and Pribilski and another misappropriated millions of dollars for their personal use. (Rel. 34-67915; File No. 3-14875)
In the Matter of Prescient Capital Partners, Ltd. and Steven C. Young
On September 24, 2012, the Commission issued an Order Instituting Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, And Imposing Remedial Sanctions And a Cease-And-Desist Order (Order) against Prescient Capital Partners, Ltd. and Steven C. Young. The Order finds the following: Prescient Capital Partners, Ltd. (PCP) and its owner, Steven C. Young (Young), offered unregistered securities in the form of loan participations issued by PCP. The offerings raised over $7 million from 23 investors from 2010 through 2011. Investors, whom PCP called “loan participants,” provided funds that PCP loaned to commercial borrowers. Investors received a pro rata share of the loan, including the interest payments made by the borrower. PCP and Young ostensibly intended to offer and sell the investments in reliance on the registration exemption contained in Regulation D, Rule 506 under the Securities Act, but failed to comply with the regulatory requirements. PCP and Young made multiple general solicitations using mail, email, social media, and Internet websites and videos, and they solicited and accepted investments from at least four unaccredited, unsophisticated investors. The unregistered, non-exempt offerings violated Sections 5(a) and 5(c) of the Securities Act.
Based on the above, the Order directs that PCP and Young cease and desist from committing or causing any violations and any future violations of Sections 5(a) and (c) of the Securities Act and, jointly and severally, pay disgorgement of $28,987 and prejudgment interest of $981 to the United States Treasury. PCP and Young consented to the issuance of the Order without admitting or denying any of the findings therein. (Rel. 33-9363; File No. 3-15042)
In the Matter of David Gengler
On September 24, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against David Gengler. The Order finds that on September 5, 2012, a final judgment was entered by consent against Gengler, permanently enjoining him from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder in a civil action entitled Securities and Exchange Commission v. David Gengler, et al., Civil Action Number 1:08-cv-00235, in the United States District Court for the Eastern District of Virginia. The Commission’s complaint alleged that Gengler sold packages of personal mentoring, software and classes to investors from December 2002 until early 2007. In doing so, he made misrepresentations to convince unsuspecting, often inexperienced investors into believing that if they purchased the packages they would make extraordinary profits trading securities. The Order further finds that Gengler was a registered representative associated with broker-dealers registered with the Commission from 1998 until October of 2003.
Based on the above, the Order bars David Gengler from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, bars him from participating in any offering of a penny stock. Gengler 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. 34-67918; File No. 3-15043)
In the Matter of JCSD Capital, LLC
On September 24, 2012, the United States Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against JCSD Capital, LLC (JCSD Capital). The Order finds that JCSD Capital, a California based unregistered investment adviser, violated Rule 105 of Exchange Act Regulation M (Rule 105), which prohibits buying shares of an equity security through a public offering after having sold short the same equity security during a restricted period, beginning five business days before the pricing of the offered securities and ending with such pricing. The Order finds that JCSD Capital willfully violated Rule 105 on one occasion, during March 2010. The Commission further found that, at the time of the violation, JCSD Capital had no policies, procedures or controls in place designed to detect or prevent Rule 105 violations.
Based on the above, the Order censures JCSD Capital and requires the firm to cease and desist from committing or causing any violations and any future violations of Rule 105. JCSD Capital will pay $59,522 in disgorgement and $4,939 in prejudgment interest, along with a $29,761 civil monetary penalty. JCSD Capital consented to the issuance of the Order without admitting or denying any of the findings contained therein, except as to the Commission’s jurisdiction over it and the subject matter of the proceedings, which were admitted. (Rel. 34-67919; IA-3474; File No. 3-15044)
In the Matter of David Mura
On September 24, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 against David Mura (Mura).
In the Order, the Division of Enforcement alleges that from September 2008 through April 2011, Mura willfully violated Section 15(a) of the Exchange Act by acting as an unregistered broker-dealer in connection with his solicitation of investors in promissory notes (the LLC Promissory Notes) issued by several small, related New York Limited Liability Companies (the LLCs) located in Pittsford, New York. Specifically, while Mura engaged in these solicitation efforts, he was a registered representative and branch office manager of J.P. Turner & Company, LLC (J.P. Turner), a broker-dealer registered with the Commission. Despite his association with J.P. Turner, Mura conducted the offering of the LLC Promissory Notes outside the scope of his employment with J.P. Turner, in violation of Section 15(a) of the Exchange Act.
The Division of Enforcement further alleges that Mura directed two other persons, one who worked for the LLCs under Mura’s supervision, and another who was an investor in an LLC Promissory Note, to solicit potential investors and to otherwise participate in the offering of the LLC Promissory Notes. These two individuals followed Mura’s instructions, and several individuals who they solicited eventually invested in the LLC Promissory Notes. Through the foregoing actions, these two individuals violated Section 15(a) of the Exchange Act, and Mura willfully aided, abetted and caused such violations. (Rel. 34-67920; File No. 3-15045)
SEC Charges Edward Tackaberry for Acting as an Unregistered Broker-Dealer in Violation of Law and Prior SEC Order
On September 21, 2012, the Securities and Exchange Commission charged Edward Tackaberry (Tackaberry) with acting as, or associating with, an unregistered broker-dealer, in violation of Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and despite a September 27, 2007 order issued by the SEC barring him from associating with any broker or dealer.
The SEC alleges that, from 2007 through 2009, Tackaberry acted as an unregistered broker-dealer, and/or associated with an individual acting as an unregistered broker-dealer, in connection with the solicitation of investors in several New York Limited Liability Companies (LLCs), operating out of offices located in Pittsford, New York. Tackaberry’s role in the securities offering consisted of discussing investment transactions with prospective investors, negotiating the terms of the investments on behalf of the LLCs, and, if an agreement was reached, documenting those transactions.
The SEC further alleges that, at the time he solicited investments in the LLCs’ securities, Tackaberry was subject to a September 27, 2007 order issued by the SEC barring him from associating with any broker or dealer. That bar was imposed after a federal district court found that Tackaberry had committed securities fraud in connection with a separate scheme and permanently enjoined him from future violations of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. (SEC v. Pittsford Capital Income Partners, L.L.C., 06 Civ. 6353 T(P) (W.D.N.Y. Aug. 30, 2007)).
According to the SEC’s complaint, through this conduct, Tackaberry violated Sections 15(a) and 15(b)(6)(B)(i) of the Exchange Act. Tackaberry has consented to the entry of a final judgment in the SEC’s case against him, which would enjoin him from further violations of these provisions.
The SEC’s investigation was conducted by Aaron P. Arnzen and Joseph P. Ceglio of the New York Regional Office. [SEC v. Edward Tackaberry, 6:12-Civ-06512 (W.D.N.Y.)] (LR-22488)
SEC Charges Revolutions Medical Corp. and its CEO for Fraudulently Issuing False and Misleading Press Releases
On September 20, 2012, the Securities and Exchange Commission filed a civil injunctive action in U.S. District Court for the Northern District of Georgia, charging Revolutions Medical Corp. (Revolutions Medical), a medical device company based in Charleston, South Carolina, and the company’s CEO, Rondald L. Wheet (Wheet) with fraudulently issuing false and misleading press releases concerning the company’s flagship product, a retractable, medical safety syringe.
The Commission’s Complaint alleges that, between approximately August 2010 and July 2011, Revolutions Medical and Wheet issued a series of misleading press releases that contained statements designed to convey the impression that, among other things, Revolutions Medical had finalized the development of a safe and effective syringe, the syringe was slated for imminent mass manufacturing and commercial distribution, and Revolutions Medical had entered into, or was on the cusp of entering into, binding mass sales and distribution agreements, including a sales agreement with the U.S. Department of Defense. However, contrary to the statements made in the company’s press releases, Revolutions Medical had not developed a safe and effective syringe ready for mass manufacturing or commercial distribution, and had not entered into any binding agreements for the sale and distribution of such a final product. The Commission’s Complaint further alleges that, through the press releases, Revolutions Medical and Wheet artificially inflated the price of Revolutions Medical’s shares, and that Revolutions Medical sold shares to a third-party hedge fund at inflated prices.
In its Complaint, the Commission alleges that Revolutions Medical and Wheet violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Commission further alleges that Wheet aided and abetted certain of Revolutions Medical’s violations of Section 10(b) of the Exchange Act and Rule 10b-5. [SEC v. Revolutions Medical Corp. and Rondald L. Wheet, Civil Action No. 1:12-cv-03298-TCB (N.D. Ga.)] (LR-22489)
SEC Charges Registered Representative With Fraud for Issuing False Account Statements and Misappropriating Investor Funds
The Securities and Exchange Commission announced that on Friday, September 21, 2012, it filed an injunctive action in the United States District Court for the Eastern District of Pennsylvania against David L. Rothman of Richboro, PA, a registered representative, Vice President, and minority owner of Rothman Securities, Inc., a registered broker-dealer, for conducting a fraud by issuing false account statements and misappropriating investor funds.
The Commission alleges that from 2006 to 2011, Rothman created and issued false account statements to certain elderly and unsophisticated investors that materially overstated the value of their investment accounts. The Commission’s Complaint further alleges that when the investors discovered that Rothman had misrepresented the value of their investments, Rothman engaged in a scheme to conceal his fraudulent conduct by agreeing to pay those investors the investment returns he reported on the false account statements. When Rothman could no longer afford to make those payments, he misappropriated funds from another elderly and unsophisticated investor and from two trust accounts for which he serves as trustee. Rothman also used a substantial portion of the misappropriated funds for his personal benefit.
As a result of the conduct described in the Complaint, the Commission alleges that Rothman violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Complaint seeks a permanent injunction, disgorgement together with prejudgment interest, and civil penalties from Rothman. Criminal charges have also been filed against Rothman in a parallel criminal case.
The Commission thanks the United States Attorney for the Eastern District of Pennsylvania and the Federal Bureau of Investigation for their assistance in this matter.
The Commission’s investigation is continuing. [SEC v. David L. Rothman, Civil Action No. 12-cv-5412-BMS (E.D. Pa.)] (LR-22490)
SEC Charges Four Defendants in Fraudulent Investment Scheme
The Securities and Exchange Commission today filed a complaint in the United States District Court for the Southern District of Indiana, charging Rudolf D. Pameijer, Lindsay R. Sayer, Ryan W. Koester and his entity Rykoworks Capital Group, LLC (“Rykoworks”) with running a fraudulent investment scheme. The complaint alleges that the defendants in this scheme misappropriated nearly $1.7 million from investors.
As alleged in the complaint, Koester held himself out as an expert foreign currency trader, and falsely represented to investors that his unique trading strategy offered investors a principal guaranteed investment opportunity. As alleged in the complaint, Koester and Pameijer, a career insurance salesman, agreed to a profit sharing arrangement for clients Pameijer brought to Rykoworks. The complaint alleges that, starting in 2010, Pameijer and his daughter, Sayer, began soliciting clients to invest with Rykoworks through promissory notes which purported to guarantee investor principal while offering risk free returns from forex trading.
As alleged in the complaint, Pameijer and Sayer misappropriated the majority of funds they raised from investors for personal use. The complaint alleges that Pameijer used investor money to pay for luxury automobiles, a motorcycle, a boat, home renovations, his son’s college tuition, and Sayer’s wedding and honeymoon in St. Lucia. The complaint further alleges that Sayer used investor money to pay rent and wedding expenses, and for other personal expenditures. According to the complaint, the remaining investor funds Pameijer and Sayer transferred to Koester and Rykoworks, and additional funds Koester raised from investors directly, Koester depleted through trading losses and misappropriation of funds for personal expenses. The SEC alleges that, as part of the scheme, each of the proposed defendants made materially false representations to investors, including providing investors with false account statements and information.
By engaging in this conduct, the SEC alleges that each of the defendants violated Section 17(a) of the Securities Act of 1933 (“Securities Act”), Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder. In addition, the complaint alleges that Pameijer and Sayer violated Section 15(a) of the Exchange Act by acting as unregistered brokers. The SEC action seeks injunctions, disgorgement with prejudgment interest, and civil monetary penalties.
Pameijer and Sayer have agreed to judgments, which are subject to Court approval, that permanently enjoin them from violating Section 17(a) of the Securities Act, and Sections 15(a) and 10(b) of the Exchange Act and Rule 10b-5 thereunder, and provide that upon subsequent motion the Court will determine issues relating to monetary relief. In addition, Pameijer and Sayer each have consented to a Commission order, pursuant to Section 15(b)(6) of the Exchange Act, barring them from future association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barring them from participating in any offering of a penny stock.
Koester and Pameijer also are subject to pending Indiana state criminal charges. The SEC thanks the Indiana Division of Securities for its assistance in this matter. [SEC v. Rudolf D. Pameijer, et al., United States District Court for the Southern District of Indiana (Case No. 1:12-CV-01364) (S.D. In.)] (LR-22492)
Wells Fargo Bank, N.A., et al.
A temporary order has been issued to Wells Fargo Bank, N.A., et al. (Wells Fargo Bank) under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction entered by the U.S. District Court for the District of Columbia on September 20, 2012. The temporary order exempts applicants and companies of which Wells Fargo Bank is or becomes an affiliated person from the provisions of Section 9(a) of the Act until the Commission takes final action on an application for a permanent order or, if earlier, November 16, 2012. (Rel. IC-30210 - September 21)
Approval of Proposed Rule Changes
The Commission granted approval of a proposed rule change submitted by NYSE MKT LLC (SR-NYSEMKT-2012-23) Amending the Members’ Schedule of NYSE Amex Options LLC in Order to Reflect Changes to the Capital Structure of the Company. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67902)
The Commission granted approval of a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2012-06) to amend Rule G-34 on CUSIP numbers, new issue, and market information requirements. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67908)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated related to small order preference priority overlay (SR-CBOE-2012-082) 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 24. (Rel. 34-67903)
A proposed rule change submitted by BATS Exchange, Inc. (SR-BATS-2012-038) related to fees for use of BATS Exchange, Inc. 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 24. (Rel. 34-67905)
A proposed rule change filed by NYSE MKT LLC amending Sections 1203(a) and 1205(b) of the NYSE MKT Company Guide (“Company Guide”) to increase the fees applicable to issuers requesting review of a determination to limit or prohibit the continued listing of their securities on the Exchange (SR-NYSEMKT-2012-45) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67907)
A proposed rule change filed by EDGA Exchange, Inc. to amend EDGA Rule 13.9 (SR-EDGA-2012-42) 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 24. (Rel. 34-67909)
A proposed rule change filed by EDGX Exchange, Inc. to amend EDGX Rule 13.9 (SR-EDGX-2012-42) 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 24. (Rel. 34-67910)
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 /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 usell.com, Inc., 245 N. OCEAN BLVD,, SUITE 306, DEERFIELD BEACH, FL, 33441, (954) 915-1550 - 35,000,000 ($7,000,000.00) Equity, (File 333-184007 - Sep. 21) (BR. 11A) S-8 Capital Bank Financial Corp., 121 ALHAMBRA PLAZA, SUITE 1601, CORAL GABLES, FL, 33134, 305 670 0200 - 0 ($87,194,432.00) Equity, (File 333-184008 - Sep. 21) (BR. 07) S-8 Medical Care Technologies Inc., ROOM 815, NO. 2 BUILDING, BEIXIAOJIE, DONGZHIMEN NEI, BEIJING, F4, 10009, (8610)6407 0580 - 285,000,000 ($142,500.00) Equity, (File 333-184009 - Sep. 21) (BR. 09B) S-3 ImmunoCellular Therapeutics, Ltd., 21900 BURBANK BLVD., 3RD FLOOR, WOODLAND HILLS, CA, 91367, 818-992-2907 - 0 ($50,000,000.00) Other, (File 333-184010 - Sep. 21) (BR. 01B) S-3 MEI Pharma, Inc., 11975 EL CAMINO REAL, SUITE 101, SAN DIEGO, CA, 92130, 858-792-6300 - 0 ($974,700.00) Equity, (File 333-184011 - Sep. 21) (BR. 01B) F-1 Seadrill Partners LLC, Par-la-Ville Place, 4th Floor, 14 Par-la-Ville Road, Hamilton, D0, HM 08, +1 (441) 295-9500 - 0 ($225,000,000.00) Equity, (File 333-184023 - Sep. 21) (BR. 04B) S-8 FIRST CAPITAL BANCORP, INC., 4222 COX ROAD, SUITE 200, GLEN ALLEN, VA, 23060, 804-276-1160 - 360,000 ($867,600.00) Equity, (File 333-184025 - Sep. 21) (BR. 07B) S-1 MOBILE GAMING INTERNATIONAL CORP, CASA JAMES, CALLEVENUS, PLAYA DEL SOL, ESTEPONA, MARBELLA, U3, 29680, 00353894624880 - 6,000,000 ($60,000.00) Equity, (File 333-184026 - Sep. 21) (BR. ) S-8 SUNLINK HEALTH SYSTEMS INC, 900 CIRCLE 75 PARKWAY, SUITE 1120, ATLANTA, GA, 30339, 7709337000 - 0 ($363,000.00) Equity, (File 333-184027 - Sep. 21) (BR. 01B) S-8 ENERGY FOCUS, INC/DE, 32000 AURORA ROAD, SOLON, OH, 44139, 5104900719 - 2,350,000 ($540,500.00) Equity, (File 333-184028 - Sep. 21) (BR. 11A) S-8 VIASAT INC, 6155 EL CAMINO REAL, CARLSBAD, CA, 92009, 760-476-2200 - 4,000,000 ($156,840,000.00) Equity, (File 333-184029 - Sep. 21) (BR. 11C) S-4 CONTINENTAL RESOURCES, INC, 20 NORTH BROADWAY, OKLAHOMA CITY, OK, 73102, 4052349000 - 0 ($1,200,000,000.00) Non-Convertible Debt, (File 333-184030 - Sep. 21) (BR. 04B) S-1 FORGIVEN BOTTLING GROUP, INC., 7024 BLUEBIRD WING ST, NORTH LAS VEGAS, NV, 89084, 702-591-1534 - 12,500,000 ($2,500,000.00) Equity, (File 333-184031 - Sep. 21) (BR. ) S-8 CAPSTONE TURBINE Corp, 21211 NORDHOFF STREET, CHATSWORTH, CA, 91311, 818-734-5300 - 0 ($9,591,875.00) Equity, (File 333-184033 - Sep. 21) (BR. 10A) N-2 Nuveen Intermediate Duration Municipal Term Fund, 333 WEST WACKER DR., CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($15,000.00) Equity, (File 333-184034 - Sep. 21) (BR. 18) S-8 Susser Petroleum Partners LP, 555 EAST AIRTEX DRIVE, HOUSTON, TX, 77073, (832) 234-3600 - 0 ($38,056,725.00) Equity, (File 333-184035 - Sep. 21) (BR. 04B) S-1 ZaZa Energy Corp, 1301 MCKINNEY STREET, SUITE 2850, HOUSTON, TX, 77010, 713-595-1900 - 0 ($114,174,349.75) Equity, (File 333-184036 - Sep. 21) (BR. 04A) S-3ASR CONCHO RESOURCES INC, 600 W. ILLINOIS AVENUE, MIDLAND, TX, 79701, 432-683-7443 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184037 - Sep. 21) (BR. 04A) S-8 CENTRAL EUROPEAN MEDIA ENTERPRISES LTD, C/O CME MEDIA SERVICES LIMITED, KRIZENECKEHO NAM. 1078/5, PRAGUE 5, 2N, 152 00, 00 420 242 465 589 - 1,500,000 ($11,595,000.00) Equity, (File 333-184038 - Sep. 21) (BR. 11A) S-1 SEAS Industries Inc., 1900 EMPIRE BLVD. SUITE 189, WEBSTER, NY, 14580, 1-585-217-2797 - 24,000,000 ($240,000.00) Equity, (File 333-184039 - Sep. 21) (BR. ) S-8 PINNACLE ENTERTAINMENT INC., 8918 SPANISH RIDGE AVENUE, LAS VEGAS, NV, 89148, 702-541-7777 - 0 ($2,446,000.00) Equity, (File 333-184040 - Sep. 21) (BR. 08B) S-4 AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156, 8602730123 - 0 ($2,023,255,022.00) Equity, (File 333-184041 - Sep. 21) (BR. 01A) F-3 TSAKOS ENERGY NAVIGATION LTD, 367 SYNGROU AVENUE, ATHENS, J3, 00000, 0 ($425,560,000.00) Unallocated (Universal) Shelf, (File 333-184042 - Sep. 21) (BR. 05C)
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
AAR CORP DE 7.01,9.01 09/21/12 ABIOMED INC DE 7.01 09/21/12 Addus HomeCare Corp DE 1.01,1.02,9.01 09/17/12 AFLAC INC GA 1.01,9.01 09/19/12 ALIMERA SCIENCES INC DE 1.01,5.07 09/20/12 Alliance Bancorp, Inc. of Pennsylvani PA 5.02,9.01 09/19/12 Amarantus BioSciences, Inc. DE 1.01,9.01 08/23/12 AMEREN CORP MO 8.01 09/20/12 AMERICAS CARMART INC TX 1.01,2.03,9.01 09/20/12 AMKOR TECHNOLOGY INC DE 1.01,2.03,8.01,9.01 09/21/12 ANDREA ELECTRONICS CORP NY 5.07 09/14/12 Aon plc X0 5.05 09/21/12 APD ANTIQUITIES, INC. NV 1.01,9.01 08/17/12 Apollo Residential Mortgage, Inc. MD 5.03,9.01 09/19/12 ARC Group Worldwide, Inc. UT 5.02,5.03 09/16/12 Ares Commercial Real Estate Corp MD 7.01,9.01 09/21/12 ARGAN INC DE 8.01,9.01 09/20/12 ARIBA INC DE 8.01 09/18/12 Ascena Retail Group, Inc. DE 7.01,9.01 09/19/12 ASHLAND INC. KY 1.01,2.03,9.01 09/19/12 ASPEN GROUP, INC. DE 2.01,4.01,5.01,5.02, 03/13/12 AMEND 5.03,5.06,9.01 ATHENA SILVER CORP DE 7.01,9.01 09/21/12 Augme Technologies, Inc. DE 2.05,8.01,9.01 09/17/12 Augme Technologies, Inc. DE 5.02,9.01 09/20/12 Avantair, Inc DE 4.02,9.01 09/17/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 5.07 09/18/12 AWARE INC /MA/ MA 2.01,9.01 09/21/12 BNC BANCORP NC 2.01,9.01 09/21/12 BUCKEYE PARTNERS, L.P. DE 8.01,9.01 09/21/12 CATERPILLAR INC DE 7.01 09/21/12 CENTRAL BANCORP INC /MA/ MA 8.01,9.01 09/20/12 CENTRAL ENERGY PARTNERS LP DE 2.04 09/14/12 CHEESECAKE FACTORY INC DE 8.01,9.01 09/20/12 CHEMBIO DIAGNOSTICS, INC. NV 5.07 09/21/12 CHURCH & DWIGHT CO INC /DE/ DE 1.01,9.01 09/19/12 Cindisue Mining Corp DE 5.01,5.02,9.01 09/14/12 CNO Financial Group, Inc. DE 1.01,7.01,8.01,9.01 09/20/12 COMMUNITY FIRST INC TN 1.01,7.01,9.01 09/17/12 CONSOL Energy Inc DE 1.04 09/05/12 AMEND Converted Organics Inc. DE 3.02 09/21/12 COPYTELE INC DE 1.01,3.02,5.02,9.01 09/19/12 COUSINS PROPERTIES INC GA 5.02 09/20/12 Cryoport, Inc. NV 7.01,9.01 09/20/12 CTI INDUSTRIES CORP DE 1.01,9.01 09/19/12 Customers Bancorp, Inc. PA 7.01,9.01 09/20/12 CUTERA INC DE 5.02,9.01 09/21/12 CVB FINANCIAL CORP CA 5.02,9.01 09/19/12 DAEGIS INC. DE 8.01 09/19/12 DARDEN RESTAURANTS INC FL 2.01,5.07,9.01 09/18/12 DARDEN RESTAURANTS INC FL 2.02,5.07,9.01 09/18/12 AMEND DATA I/O CORP WA 8.01 09/18/12 Data Storage Corp NV 1.01,3.02,9.01 09/18/12 Digital Development Group Corp NV 5.02,8.01,9.01 09/14/12 Dividend Capital Diversified Property 8.01 09/15/12 DOLE FOOD CO INC DE 1.01,5.02,9.01 09/17/12 DOMINION RESOURCES INC /VA/ VA 5.02,9.01 09/21/12 Duke Energy Carolinas, LLC NC 8.01,9.01 09/21/12 EDAC TECHNOLOGIES CORP WI 1.01,2.03,9.01 09/19/12 EMC INSURANCE GROUP INC IA 7.01,9.01 09/20/12 EMC METALS CORP. A1 7.01,9.01 09/20/12 EMMIS COMMUNICATIONS CORP IN 8.01 09/19/12 Energizer Resources, Inc. MN 5.02 09/21/12 Engility Holdings, Inc. DE 5.02,9.01 09/18/12 EPL OIL & GAS, INC. DE 2.02,9.01 03/08/12 AMEND EURASIA DESIGN INC. NV 1.01,2.01,3.02,5.03, 07/06/12 AMEND 5.06,8.01,9.01 EVEREST RE GROUP LTD D0 5.02,9.01 09/19/12 EXELIXIS, INC. DE 5.02 09/21/12 Expedia, Inc. DE 5.02 09/17/12 EXTREME NETWORKS INC DE 5.02,9.01 09/17/12 FEDERAL SIGNAL CORP /DE/ DE 1.01,9.01 02/22/12 AMEND FIFTH THIRD BANCORP OH 5.02,5.03,9.01 09/18/12 FIRST CITIZENS BANCSHARES INC /TN/ TN 1.01,8.01,9.01 09/17/12 First Liberty Power Corp NV 1.01,2.01,5.01,9.01 09/19/12 AMEND FIRST PACTRUST BANCORP INC MD 8.01,9.01 09/20/12 FIRST PACTRUST BANCORP INC MD 8.01,9.01 09/21/12 Fuse Science, Inc. NV 8.01 09/21/12 GALECTIN THERAPEUTICS INC NV 5.02,9.01 09/19/12 Geeknet, Inc DE 2.01,5.02,9.01 09/17/12 GENESIS GROUP HOLDINGS INC 1.01,1.02,2.01,2.03, 07/30/12 3.02,3.03,5.03,9.01 GEOGLOBAL RESOURCES INC. DE 8.01,9.01 09/21/12 GLADSTONE INVESTMENT CORPORATION\DE DE 8.01,9.01 09/21/12 GLIMCHER REALTY TRUST MD 5.02 09/20/12 GOLDFIELD CORP DE 1.01,2.03,9.01 09/17/12 Grand Canyon Education, Inc. DE 8.01 09/21/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/31/12 GREEN BANKSHARES, INC. TN 2.01,3.01,3.03,9.01 09/20/12 GUITAR CENTER HOLDINGS, INC. DE 5.02 09/17/12 HALLIBURTON CO DE 5.02 09/19/12 HAMPSHIRE GROUP LTD DE 4.01,9.01 09/14/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 5.03 09/20/12 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 09/18/12 HEMISPHERX BIOPHARMA INC DE 1.01,5.02 09/17/12 High Plains Gas, Inc. NV 4.01,9.01 09/21/12 HMG COURTLAND PROPERTIES INC DE 5.07 09/20/12 HOME DEPOT INC DE 5.02,9.01 09/20/12 HORIZON BANCORP /IN/ IN 8.01,9.01 09/18/12 HOUSTON AMERICAN ENERGY CORP DE 7.01,9.01 09/21/12 IMPACT EXPLORATIONS INC. NV 5.02 09/14/12 Ingredion Inc DE 2.03,8.01,9.01 09/20/12 Inland American Real Estate Trust, In MD 5.02,5.07,7.01,9.01 09/18/12 INTEGRAMED AMERICA INC DE 1.01,1.02,2.01,2.03, 09/19/12 3.01,5.02,5.03,5.07, 9.01 JARDEN CORP DE 1.01,2.03,3.02,7.01, 09/18/12 9.01 JEFFERIES GROUP INC /DE/ DE 5.02 09/19/12 JOY GLOBAL INC DE 5.02,8.01,9.01 09/19/12 KB HOME DE 2.02,9.01 09/21/12 KINDRED HEALTHCARE, INC DE 5.02,9.01 09/20/12 Kodiak Oil & Gas Corp B0 8.01,9.01 09/19/12 Laidlaw Energy Group, Inc. NY 4.01,9.01 09/17/12 Latitude Solutions, Inc. NV 5.02 09/20/12 LENNOX INTERNATIONAL INC DE 5.03,8.01,9.01 09/20/12 Li3 Energy, Inc. NV 5.02,9.01 07/01/12 Lux Digital Pictures, Inc. 5.02,9.01 09/18/12 MARSH & MCLENNAN COMPANIES, INC. DE 5.02,9.01 09/20/12 MEDCATH CORP DE 3.01,3.03,8.01,9.01 09/21/12 MEDIA GENERAL INC VA 5.02,9.01 09/20/12 MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 09/20/12 MEDTRONIC INC MN 5.02,9.01 09/21/12 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 09/17/12 METLIFE INC DE 8.01 09/21/12 MICROVISION INC DE 5.02,7.01,9.01 09/19/12 MID WISCONSIN FINANCIAL SERVICES INC WI 8.01 09/21/12 MILLER ENERGY RESOURCES, INC. TN 1.01,3.03,9.01 09/21/12 MOTRICITY INC DE 1.01 09/19/12 MusclePharm Corp NV 4.01,9.01 09/18/12 MYMETICS CORP DE 1.01 09/18/12 NATUS MEDICAL INC DE 5.02 09/20/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 09/20/12 NEAH POWER SYSTEMS, INC. NV 5.07 09/17/12 NETWORK 1 FINANCIAL GROUP, INC. DE 8.01 09/19/12 NEWLINK GENETICS CORP 8.01 09/21/12 NEWS CORP 8.01,9.01 09/21/12 NEXTERA ENERGY INC FL 8.01,9.01 09/21/12 NextWave Wireless Inc. DE 8.01,9.01 09/20/12 NORD RESOURCES CORP DE 5.07,8.01 09/18/12 NORTHWEST BIOTHERAPEUTICS INC DE 7.01,9.01 09/20/12 NRG ENERGY, INC. DE 8.01,9.01 09/21/12 NUTRI SYSTEM INC /DE/ DE 8.01,9.01 09/13/12 OCZ TECHNOLOGY GROUP INC DE 5.02,9.01 09/17/12 OMEGA HEALTHCARE INVESTORS INC MD 8.01,9.01 09/21/12 OPTICAL CABLE CORP VA 8.01,9.01 09/20/12 ORAGENICS INC FL 5.02 09/21/12 OSHKOSH CORP WI 5.02 09/17/12 OSIRIS THERAPEUTICS, INC. DE 5.02 09/19/12 OXYGEN BIOTHERAPEUTICS, INC. DE 3.01 09/20/12 Pacific Ethanol, Inc. DE 1.01,7.01,8.01,9.01 09/21/12 PAREXEL INTERNATIONAL CORP MA 1.01,9.01 09/17/12 PARK ELECTROCHEMICAL CORP NY 2.02,9.01 09/21/12 PIER 1 IMPORTS INC/DE DE 7.01,9.01 09/21/12 PINNACLE BANKSHARES CORP VA 8.01,9.01 09/21/12 PNC FINANCIAL SERVICES GROUP, INC. PA 3.03,5.03,8.01,9.01 09/17/12 PPLUS Trust Series JPM-1 DE 8.01,9.01 09/17/12 PRESIDENTIAL LIFE CORP DE 5.02,9.01 09/18/12 PRINCIPAL FINANCIAL GROUP INC DE 2.02,7.01,9.01 09/21/12 PRINCIPAL FINANCIAL GROUP INC DE 2.02,7.01,9.01 09/21/12 PROGENICS PHARMACEUTICALS INC DE 5.02,8.01,9.01 09/20/12 Progressive Care Inc. DE 1.01,9.01 09/14/12 Rand Logistics, Inc. DE 5.07 09/21/12 REPLIGEN CORP DE 5.02,8.01,9.01 09/20/12 Resource Capital Corp. MD 8.01,9.01 09/19/12 ROCKWELL COLLINS INC DE 7.01,9.01 09/21/12 RYLAND GROUP INC MD 1.01,2.03,9.01 09/18/12 Sandalwood Ventures NV 1.01,2.01,3.02,5.03, 06/25/12 AMEND 5.06,9.01 Santo Mining Corp. NV 2.01 09/17/12 Seagate Technology plc L2 7.01 09/21/12 SEMTECH CORP DE 5.02,9.01 09/20/12 SIGNATURE GROUP HOLDINGS, INC. NV 8.01 09/19/12 SIMON PROPERTY GROUP INC /DE/ DE 1.01,3.02,7.01,8.01, 09/19/12 9.01 SMTC CORP DE 8.01 09/18/12 SOAPSTONE NETWORKS INC. DE 8.01 09/21/12 SOUTHERN CALIFORNIA GAS CO CA 8.01,9.01 09/18/12 SOUTHERN CONNECTICUT BANCORP INC CT 8.01 09/18/12 SPECTRUM PHARMACEUTICALS INC DE 8.01 09/21/12 SPHERIX INC DE 8.01,9.01 09/21/12 STATE BANK FINANCIAL CORP GA 5.02,9.01 09/21/12 Steadfast Income REIT, Inc. MD 5.02,7.01,9.01 09/17/12 Sucampo Pharmaceuticals, Inc. 5.02 09/21/12 Synutra International, Inc. DE 8.01 09/17/12 TAIWAN FUND INC DE 7.01,9.01 08/31/12 TECH DATA CORP FL 1.01,2.03,8.01,9.01 09/14/12 TEXAS CAPITAL BANCSHARES INC/TX 1.01,8.01,9.01 09/18/12 THOMAS PROPERTIES GROUP INC DE 1.01,2.01,9.01 09/17/12 TIB FINANCIAL CORP. FL 2.01,3.01,3.03,9.01 09/20/12 TICC Capital Corp. MD 8.01,9.01 09/19/12 TORCHMARK CORP DE 1.01,9.01 09/17/12 Toyota Auto Receivables 2012-B Owner DE 1.01,9.01 09/13/12 TRANS1 INC 7.01,9.01 09/17/12 U.S. RARE EARTHS, INC NV 5.02 09/20/12 UNICO AMERICAN CORP NV 5.02 09/21/12 UNIVERSAL BIOSENSORS INC DE 1.01 09/20/12 US FUEL CORP NV 8.01 09/21/12 Valeant Pharmaceuticals International A6 8.01,9.01 09/20/12 VALENCE TECHNOLOGY INC DE 1.01,2.03,7.01,9.01 09/13/12 VALUE LINE INC NY 5.07 09/21/12 Varca Ventures, Inc. NV 1.01,2.03,9.01 09/18/12 VENTRUS BIOSCIENCES INC DE 5.02,8.01 09/17/12 Verastem, Inc. DE 5.02,9.01 09/18/12 VIROPHARMA INC DE 7.01,8.01,9.01 09/21/12 VIVUS INC CA 8.01,9.01 09/21/12 W&T OFFSHORE INC TX 1.01,7.01,9.01 09/17/12 WARWICK VALLEY TELEPHONE CO NY 5.02 09/17/12 WELLS FARGO & COMPANY/MN DE 9.01 09/21/12 Wells Timberland REIT, Inc. MD 7.01,9.01 09/21/12 WILLIS LEASE FINANCE CORP DE 1.01,1.02,7.01,9.01 09/17/12 Wright Express CORP 1.01,8.01,9.01 09/17/12 XPO Logistics, Inc. 8.01,9.01 09/20/12 Xtreme Oil & Gas, Inc. NV 8.01 09/18/12 ZaZa Energy Corp DE 5.02,9.01 09/17/12