SEC Announces Panelists for Market Technology Roundtable on October 2
The Securities and Exchange Commission today announced the panelists who will participate in the agency’s October 2 market technology roundtable that will discuss the relationship between the operational stability and integrity of the securities markets and the ways that market participants design, implement, and manage complex and interconnected trading technologies.
The morning portion of the event will focus on the prevention of errors, including discussion about current best practices and the practical constraints for creating, deploying, and operating systems used to automatically generate and route orders, match trades, confirm transactions, and disseminate data. The afternoon panel discussion will focus on error response, with experts discussing how the market might employ independent filters, objective tests, and other real-time processes or crisis-management procedures to detect, limit, and stop erroneous market activities when they occur.
The roundtable will begin at 10 a.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters located at 100 F Street N.E. Public is invited to attend and observe the discussion with seating available on a first-come, first-served basis. The event also will be webcast live on the SEC website and archived for later viewing.
Agenda and Panelists for Market Technology Roundtable
10 a.m. – Opening Statements
10:15 a.m. – Panel 1: Preventing Errors through Robust System Design, Deployment, and Operation
• Sudhanshu Arya, Managing Director, ITG
• Chris Isaacson, Chief Operating Officer, BATS Exchange
• Dave Lauer, Market Structure and HFT Consultant, Better Markets, Inc.
• Dr. Nancy Leveson, Professor of Aeronautics and Astronautics and Engineering Systems, MIT
• Jamil Nazarali, Head of Citadel Execution Services, Citadel
• Lou Pastina, Executive Vice President – NYSE Operations, NYSE
• Christopher Rigg, Partner – Financial Services Industry, IBM
• Jonathan Ross, Chief Technology Officer, GETCO LLC
12:15 p.m. – Break
2 p.m. – Panel 2: Responding to Errors and Malfunctions and Managing Crises in Real-Time
• David Bloom, Head of UBS Group Technology, UBS
• Chad Cook, Chief Technology Officer, Lime Brokerage LLC
• Anna Ewing, Executive Vice President and Chief Information Officer, NASDAQ OMX
• Albert Gambale, Managing Director and Chief Development Officer, Depository Trust and Clearing Corp.
• Saro Jahani, Chief Information Officer, Direct Edge
• Dr. M. Lynne Markus, Professor of Information and Process Management, Bentley University
• Lou Steinberg, Chief Technology Officer, TD Ameritrade
4 p.m. – Roundtable Concludes
(Press Rel. 2012-202)
SEC Charges Financial Executive in Minnesota with Diverting Company Dollars to Pay Unauthorized Entertainment Expenses
The Securities and Exchange Commission today charged the former chief financial officer of a Minnetonka, Minn.-based manufacturer of computer networking devices for secretly diverting company funds to cover unauthorized personal expenses and other employees’ entertainment expenses that lacked any legitimate business purpose.
The SEC alleges that Subramanian Krishnan, the former CFO of Digi International, evaded the company’s internal controls that he created in order to approve employees’ falsified travel and entertainment expense reports over a five-year period. Krishnan also manipulated internal controls to review and approve his own expense reports that included unauthorized hotel and entertainment expenses. By doing so, Krishnan demonstrated a lack of management integrity.
Krishnan has agreed to settle the SEC’s charges and consent to an officer-and-director bar and financial penalties that will be determined in court at a later date.
“Krishnan diverted company dollars for activities that were personal entertainment expenses,” said Kenneth Israel, Director of the SEC’s Salt Lake Regional Office. “Krishnan basically reviewed and approved his own expense reports by thwarting self-designed internal accounting controls that are supposed to detect such misuse of corporate assets.”
According to the SEC’s complaint filed in U.S. District Court for the District of Minnesota, Krishnan’s scheme began as early as March 2005 and continued until May 2010, when he resigned. Digi’s internal controls required the CFO’s expense reports to be approved by the CEO. In order to circumvent this internal control, Krishnan arranged for the Hong Kong office to submit his expenses as belonging to other employees. This way, Krishnan had the final authorization to approve the expenses and reimburse the Hong Kong office directly, rather than needing CEO approval.
The SEC alleges that as the scheme went undetected, Krishnan submitted or approved large numbers of fraudulent expense reports for purported work and travel expenses. Krishnan knew the expenditures violated Digi’s travel and entertainment policies because he personally drafted and approved these internal policies. Despite this knowledge that he was evading Digi’s internal controls, Krishnan signed each of Digi’s annual and quarterly reports over a five-year period and, as part of those filings, certified that Digi’s internal controls were effective. He also signed 20 management representation letters to auditors that falsely asserted he had no knowledge of fraud involving management having a significant role in internal controls over financial reporting.
The SEC’s complaint alleges that Krishnan, who lives in Plymouth, Minn., violated the antifraud, issuer reporting, internal controls, books and records, filing certification and lying to auditors provisions of the federal securities laws. Krishnan has consented to the entry of an injunction from future violations of those provisions, with disgorgement, prejudgment interest, financial penalties as well as the duration of the officer-and-director bar to be determined by stipulation of the parties or motion of the SEC at a later date.
The SEC’s investigation was conducted by Jennifer Moore, Audrey Phillips and Karen Martinez in the Salt Lake Regional Office. The case will be litigated by Daniel Wadley. (Press Rel. 2012-203; [SEC v. Subramanian Krishnan, Civil No. 12-CV-2495 PAM-JJG (USDC Min)] (LR-22500))
In the Matter of Douglas Alan Goldberg
On September 27, 2012, the United States Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Douglas Alan Goldberg, a former employee of Rubin/Chambers Dunhill Insurance Services, Inc., dba CDR Financial Products, Inc. (CDR), a registered investment adviser with the Commission from 2001 until February 14, 2011, when the Commission cancelled CDR’s registration.
Goldberg consented to a Commission Order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. This sanction was based upon Goldberg’s March 25, 2010 guilty plea to a criminal information, filed in United States v. Douglas Alan Goldberg, Criminal No. 10-cr-209, that charged him with two counts of conspiracy and one count of wire fraud for engaging in misconduct in connection with the competitive bidding process for municipal reinvestment products. The Commission recognizes Goldberg’s cooperation in the SEC’s investigation as well as investigations conducted by other law enforcement agencies.
The SEC thanks the Antitrust Division of the Department of Justice and the Federal Bureau of Investigation for their cooperation and assistance in this matter. (Rel. IA-3476; File No. 3-15051)
In the Matter of David Rubin
On September 27, 2012, the United States Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against David Rubin, founder, president, and chief executive of Rubin/Chambers Dunhill Insurance Services, Inc., dba CDR Financial Products, Inc. (CDR), a registered investment adviser with the Commission from 2001 until February 14, 2011, when the Commission cancelled CDR’s registration. Rubin is also the sole shareholder of CDR Holdings, Inc., CDR’s parent corporation.
Rubin consented to a Commission Order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. This sanction was based upon Rubin’s December 30, 2011 guilty plea to three counts of an eight-count superseding indictment, filed in United States v. Rubin/Chambers, Dunhill Insurance Services, Inc., et al., Criminal No. 09-cr-1058 (VM). The counts to which Rubin pled guilty charged him with two counts of conspiracy and one count of wire fraud for engaging in fraudulent misconduct in connection with the competitive bidding process for municipal reinvestment products.
The SEC thanks the Antitrust Division of the Department of Justice and the Federal Bureau of Investigation for their cooperation and assistance in this matter. (Rel. IA-3480; File No. 3-15055)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Feigeda Electronic Technology, Inc. (f/k/a SRKP 20, Inc.), Flomo Resources, Inc., Flexemessaging.com, Inc. (n/k/a Flexemessaging Acquisition Ltd.), Formulab Neuronetics Corp. Ltd. (n/k/a Foundation Healthcare Ltd.), and Genesis Development & Construction Ltd. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67944; File No. 3-14994)
Douglas W. Marcille, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the Commission
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Douglas W. Marcille, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Marcille was suspended from appearing or practicing before the Commission as an accountant on October 31, 2006. His reinstatement is effective immediately. (Rel. 34-67945; AAE Rel. 3411; File No. 3-12468)
SEC Obtains Judgments and $12.9 Million in Monetary Relief Against Three Defendants Involved in 23 Corporate Hijackings
On August 2, 2012, the United States District Court for the Southern District of New York entered judgments against Irwin Boock, Jason C. Wong and Stanton B.J. DeFreitas for their involvement in hijacking 23 defunct or inactive publicly-traded companies and subsequently making unregistered offers and sales of billions of shares.
On March 26, 2010, the Court entered a default as to Boock and DeFreitas and imposed permanent injunctions against future violations of the registration provisions, Section 5 of the Securities Act of 1933, and the antifraud provisions, Securities Act 17(a) and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Court order also imposed a permanent bar against Boock and DeFreitas participating in any offering of a penny stock and a permanent bar against Boock serving as an officer or director of a publicly-traded company with a class of securities registered with the Commission.
On August 25, 2011, the Court entered summary judgment as to Wong on the Commission’s claims under Securities Act Section 17(a) and Exchange Act Section 10(b) and Rule 10b-5. The Court also granted partial summary judgment as to Wong on the Commission’s claims under Securities Act Section 5, finding that the evidence was sufficient to establish that Wong had violated the registration requirements in relation to 12 of the hijacked companies.
The judgments entered on August 2, 2012 hold Boock, Wong, and DeFreitas jointly and severally liable to pay $6,140,172 in disgorgement and $2,062,282 in prejudgment interest. The judgments also order Boock, Wong, and DeFreitas to pay civil penalties of $2,999,000, $1,560,000, and $130,000, respectively. The judgment entered against Wong also permanently enjoins him from committing future violations of Securities Act Sections 5 and 17(a) and Exchange Act Section 10(b) and Rule 10b-5 thereunder and imposes a permanent penny stock bar and officer and director bar.
On September 24, 2012, the Commission instituted an order suspending a fourth defendant, Roger L. Shoss, from appearing or practicing as an attorney before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice based on his felony conviction in United States v. Roger Shoss, et al., Case # 8:11-cr-00366-T-30TBM (M.D. Fla.). See In the Matter of Roger L. Shoss, Administrative Proceeding No. 3-15041 (Ex. Act Rel. No. 67914). The Commission’s civil action against Shoss has been stayed pending the outcome of the criminal proceeding. [SEC v. Irwin Boock, et al., Civil Action No. 09 CV 8261 (S.D.N.Y) (DLC)] (LR-22499)
Orders of Deregistration Under the Investment Company Act of 1940
Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
• Dreyfus Connecticut Municipal Money Market Fund Inc. [File No. 811-6014]
• Morgan Stanley Special Growth Fund [File No. 811-6711]
• Thirty Eight Hundred Fund LLC [File No. 811-22158]
Separate Account II of National Integrity Life Insurance Company
An order has been issued on an application filed by Separate Account II of National Integrity Life Insurance Company pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that it has ceased to be an investment company. (Rel. IC-30219 - September 26)
Separate Account II of Integrity Life Insurance Company
An order has been issued on an application filed by Separate Account II of Integrity Life Insurance Company pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that it has ceased to be an investment company. (Rel. IC-30220 - September 26)
Western-Southern Life Assurance Company Separate Account 2
An order has been issued on an application filed by Western-Southern Life Assurance Company Separate Account 2 pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that it has ceased to be an investment company. (Rel. IC-30221 - September 26)
PowerShares Exchange-Traded Fund Trust, et al.
A notice has been issued giving interested persons until October 22, 2012, to request a hearing on an application filed by PowerShares Exchange-Traded Fund Trust, et al. 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), (B) and (C) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order would permit certain registered open-end management investment companies to acquire shares of certain registered open-end and closed-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-30222 - September 26)
Filing of Advance Notice
The Options Clearing Corporation filed an advance notice (SR-OCC-2012-17) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the margining of segregated futures customer accounts on a gross basis. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67921)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to codification of a fee schedule for the sale by Market Data Express, LLC, an affiliate of CBOE, of a data product that includes option valuations (SR-CBOE-2012-090) 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. 34-67928)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-034) related to AIM and SAM 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. 34-67929)
A proposed rule change filed by BOX Options Exchange LLC to eliminate position limits for options on the SPDR® S&P 500® exchange-traded fund (SR-BOX-2012-013) 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. 34-67936)
A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to eliminate position and exercise limits for physically-settled SPY options on a pilot basis (SR-CBOE-2012-091) 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. 34-67937)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-093) related to AIM, SAM, FLEX AIM, FLEX SAM and FLEX Electronic RFQs 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 24. (Rel. 34-67938)
A proposed rule change filed by C2 Options Exchange, Incorporated to extend the P.M.-Settled S&P 500 Index Option Product pilot program (SR-C2-2012-033) 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. 34-67939)
A proposed rule change filed by EDGA Exchange, Inc. relating to amendment to Rule 2.11 (SR-EDGA-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 24. (Rel. 34-67941)
A proposed rule change filed by EDGX Exchange, Inc. relating to amendment to Rule 2.11 (SR-EDGX-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 24. (Rel. 34-67942)
Approval of Proposed Rule Change
The Fixed Income Clearing Corporation (“FICC”) filed a proposed rule change (SR-FICC-2012-06) under Section 19(b)(1) of the Securities Exchange Act of 1934 to move the time at which the Mortgage-Backed Securities Division runs its daily morning pass. The proposed rule change has been approved pursuant to Section 19(b)(2) of the Exchange Act. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67931)
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 Mid-Con Energy Partners, LP, 2431 E. 61ST STREET, SUITE 850, TULSA, OK, 74136, 918-743-7575 - 0 ($106,214,000.00) Other, (File 333-184120 - Sep. 27) (BR. 04C) S-1 AutoGenomics, Inc., 2980 SCOTT STREET, VISTA, CA, 92081, (760) 477-2248 - 0 ($65,000,000.00) Equity, (File 333-184121 - Sep. 27) (BR. 10A) S-3ASR WATSON PHARMACEUTICALS INC, MORRIS CORPORATE CENTER III, 400 INTERPACE PARKWAY, PARSIPPANY, NJ, 07054, 9092701400 - 0 ($0.00) Equity, (File 333-184122 - Sep. 27) (BR. 01A) S-B OESTERREICHISCHE KONTROLLBANK AKTIENGESELLSCHAFT, AM HOF 4, PO BOX 70, A-1010 VIENNA, AUSTRIA, C4, 00000, 011431531272569 - 0 ($1.00) Non-Convertible Debt, (File 333-184123 - Sep. 27) (BR. DN) S-11 LOGISTICS INCOME TRUST INC., 518 SEVENTEENTH STREET, 17TH FLOOR, DENVER, CO, 80202, 303-228-2200 - 0 ($1,000,000,000.00) Equity, (File 333-184126 - Sep. 27) (BR. 08) F-3 Crosshair Energy Corp, SUITE 1240, 1140 WEST PENDER STREET, VANCOUVER, A1, V6E 4G1, 604-681-8030 - 0 ($25,000,000.00) Asset-Backed Securities, (File 333-184127 - Sep. 27) (BR. 09B) S-3 ENTREMED INC, 9640 MEDICAL CNTR DR, STE 200, ROCKVILLE, MD, 20850, 3012179858 - 0 ($22,748,691.00) Equity, (File 333-184128 - Sep. 27) (BR. 01A) S-8 Avago Technologies LTD, 1 YISHUN AVENUE 7, SINGAPORE, U0, 768923, (65) 6755-7888 - 14,000,000 ($451,700,000.00) Equity, (File 333-184132 - Sep. 27) (BR. 10A) S-8 MILLER ENERGY RESOURCES, INC., 9721 COGDILL ROAD, SUITE 302, KNOXVILLE, TN, 37932, (865) 223-6575 - 8,150,000 ($45,365,200.00) Equity, (File 333-184133 - Sep. 27) (BR. 04B) S-B ISRAEL STATE OF, 800 SECOND AVENUE 17TH FLOOR, NEW YORK, NY, 10017, 2125600600 - 0 ($4,500,000,000.00) Debt, (File 333-184134 - Sep. 27) (BR. DN) S-3 PLAINS ALL AMERICAN PIPELINE LP, 333 CLAY STREET, SUITE 1600, HOUSTON, TX, 77002, 7136544100 - 0 ($800,000,000.00) Unallocated (Universal) Shelf, (File 333-184135 - Sep. 27) (BR. 04A) S-8 ATTUNITY LTD, POB 3787, KFAR NETTER INDUSTRIAL PARK, KFAR NETTER, L3, 40593, 011-972-9-899-3000 - 866,026 ($4,020,011.00) Equity, (File 333-184136 - Sep. 27) (BR. 03C) S-3ASR PLAINS ALL AMERICAN PIPELINE LP, 333 CLAY STREET, SUITE 1600, HOUSTON, TX, 77002, 7136544100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184137 - Sep. 27) (BR. 04A) F-3 ATTUNITY LTD, POB 3787, KFAR NETTER INDUSTRIAL PARK, KFAR NETTER, L3, 40593, 011-972-9-899-3000 - 0 ($20,000,000.00) Unallocated (Universal) Shelf, (File 333-184139 - Sep. 27) (BR. 03C) S-3ASR Lender Processing Services, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE, FL, 32204, 904-854-5100 - 0 ($0.00) Non-Convertible Debt, (File 333-184140 - Sep. 27) (BR. 02A) S-8 Q Holdings, Inc., 615 ARAPEEN DRIVE, SUITE 102, SALT LAKE CITY, UT, 84108, (801) 582-5400 - 6,035,443 ($422,481.01) Equity, (File 333-184141 - Sep. 27) (BR. 01A) S-1 PARATEK PHARMACEUTICALS INC, 75 KNEELAND STREET, BOSTON, MA, 02111, (617) 275-0040 - 0 ($92,000,000.00) Equity, (File 333-184142 - Sep. 27) (BR. 01)
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 ----------------------------------------------------------------------------------------- ABAXIS INC CA 1.01,9.01 09/24/12 ACCELERIZE NEW MEDIA INC DE 1.01,1.02,2.01,3.02, 09/27/12 9.01 Accenture plc L2 2.02,9.01 09/27/12 ACCENTURE SCA 2.02,9.01 09/27/12 ACTIVE NETWORK INC DE 5.02,7.01,9.01 09/21/12 ACTUANT CORP WI 2.02,9.01 09/27/12 ADAMS RESOURCES & ENERGY, INC. DE 5.02 09/26/12 AETNA INC /PA/ PA 1.01,2.03,8.01,9.01 09/24/12 ALEXANDERS J CORP TN 3.02,5.02 09/26/12 Alpha Natural Resources, Inc. DE 7.01,8.01,9.01 09/27/12 AMERICAN AIRLINES INC DE 7.01,9.01 09/27/12 American Realty Capital Properties, I MD 7.01,9.01 09/27/12 American Realty Capital Trust, Inc. DE 7.01,9.01 09/27/12 AMERIGAS PARTNERS LP DE 5.02,9.01 09/24/12 AMR CORP DE 7.01,9.01 09/27/12 APRICUS BIOSCIENCES, INC. NV 9.01 07/12/12 AMEND ARMSTRONG WORLD INDUSTRIES INC PA 7.01,8.01,9.01 09/26/12 Asia Interactive Media Inc. NV 4.02,9.01 09/27/12 AspenBio Pharma, Inc. CO 5.02,8.01,9.01 09/26/12 ASURE SOFTWARE INC DE 5.03,5.05 09/21/12 ATP OIL & GAS CORP TX 1.01,9.01 09/21/12 ATWOOD OCEANICS INC TX 7.01,9.01 09/25/12 ATWOOD OCEANICS INC TX 1.01,7.01,9.01 09/25/12 Augme Technologies, Inc. DE 1.01,2.02,3.02,5.02, 09/25/12 8.01,9.01 AURORA GOLD CORP DE 1.01,7.01,9.01 09/21/12 AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 1.01,2.03,3.02,4.02, 09/24/12 5.01,5.02,8.01,9.01 BANK OF SOUTH CAROLINA CORP SC 8.01,9.01 09/27/12 BARCLAY ROAD, INC. WY 1.01,5.02 09/27/12 BASSETT FURNITURE INDUSTRIES INC VA 2.02,9.01 09/27/12 BAXTER INTERNATIONAL INC DE 5.02 09/25/12 BFC FINANCIAL CORP FL 8.01 09/27/12 BJs RESTAURANTS INC CA 8.01,9.01 09/27/12 Black Ridge Oil & Gas, Inc. DE 1.01,5.02,9.01 09/25/12 BLUEGREEN CORP MA 8.01 09/27/12 Bridge Capital Holdings CA 5.02,9.01 09/27/12 BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 09/27/12 Business Development Corp of America MD 8.01,9.01 09/24/12 BUTLER NATIONAL CORP DE 8.01,9.01 09/27/12 CALIFORNIA WATER SERVICE GROUP DE 5.02,5.03,8.01,9.01 09/26/12 Canterbury Resources, Inc. NV 1.01,5.03,8.01,9.01 09/21/12 CAPITAL TRUST INC MD 8.01,9.01 09/27/12 Cardium Therapeutics, Inc. DE 8.01,9.01 09/20/12 CD INTERNATIONAL ENTERPRISES, INC. FL 7.01,8.01 09/24/12 Charlie GPS Inc NV 5.02,5.07 09/21/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 09/27/12 CHINA MEDICINE CORP NV 8.01 09/26/12 Citigroup Commercial Mortgage Trust 2 DE 8.01,9.01 09/27/12 CITIGROUP INC DE 9.01 09/27/12 CITY HOLDING CO WV 7.01 09/26/12 CLARCOR INC. DE 8.01,9.01 09/27/12 CLEARSIGN COMBUSTION CORP WA 7.01,9.01 09/27/12 Clearwire Corp /DE DE 8.01,9.01 09/27/12 CollabRx, Inc. DE 8.01,9.01 07/12/12 AMEND CONNS INC DE 1.01 09/26/12 Cord Blood America, Inc. FL 5.03,9.01 09/25/12 CORNING NATURAL GAS CORP NY 8.01,9.01 09/24/12 CROWN MARKETING WY 1.01,2.01,3.02,5.01, 09/27/12 5.02,8.01 CYTODYN INC CO 5.02 09/24/12 DARA BioSciences, Inc. DE 7.01 09/27/12 Demandware Inc DE 1.02 09/27/12 Diamond Resorts Corp MD 7.01,9.01 09/27/12 AMEND Discover Financial Services DE 2.02,9.01 09/27/12 Discovery Communications, Inc. DE 1.01,9.01 09/25/12 DLH Holdings Corp. NJ 8.01,9.01 09/25/12 DOLLAR GENERAL CORP TN 1.01,9.01 09/25/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 9.01 09/24/12 AMEND DubLi, Inc. NV 5.03,9.01 09/25/12 DUNE ENERGY INC DE 1.01,9.01 09/25/12 EAGLE MATERIALS INC DE 1.01,2.03,7.01,9.01 09/26/12 AMEND eCrypt Technologies, Inc. CO 5.02,9.01 09/14/12 EFL OVERSEAS, INC. NV 2.01,9.01 07/18/12 AMEND ELECTRONIC ARTS INC. DE 5.02 09/25/12 ENDO HEALTH SOLUTIONS INC. DE 1.01 09/26/12 ENDO HEALTH SOLUTIONS INC. DE 8.01 09/26/12 ENNIS, INC. TX 5.03,9.01 09/21/12 Enphase Energy, Inc. DE 5.02 09/25/12 EPICEPT CORP 1.01,3.03,9.01 09/24/12 Express Scripts Holding Co. DE 5.02 09/27/12 FASTFUNDS FINANCIAL CORP NV 1.01,2.01,9.01 09/27/12 AMEND Federal Home Loan Bank of Atlanta X1 2.03 09/24/12 Federal Home Loan Bank of Boston X1 2.03 09/25/12 Federal Home Loan Bank of Chicago X1 2.03 09/24/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/24/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/25/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/27/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/24/12 Federal Home Loan Bank of San Francis X1 2.03 09/24/12 Federal Home Loan Bank of Seattle 2.03 09/24/12 Federal Home Loan Bank of Topeka 2.03,9.01 09/24/12 Federal Home Loan Bank of Topeka 7.01,9.01 09/27/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 09/26/12 FIRST BANCORP /NC/ NC 1.01,7.01,9.01 09/26/12 FIRST PACTRUST BANCORP INC MD 5.02,9.01 09/21/12 FLAGSTAR BANCORP INC MI 5.07,8.01,9.01 09/24/12 Flux Power Holdings, Inc. NV 1.01,2.03,9.01 09/24/12 Forex International Trading Corp. NV 1.01,2.03,3.02,9.01 09/25/12 FRANKLIN STREET PROPERTIES CORP /MA/ 1.01,2.03,9.01 09/27/12 FRANKLIN WIRELESS CORP NV 1.01 09/19/12 FULLER H B CO MN 2.02,5.02,9.01 09/24/12 FURNITURE BRANDS INTERNATIONAL INC DE 1.01,1.02,2.03,7.01, 09/25/12 9.01 Fuse Science, Inc. NV 4.01,9.01 09/25/12 GelTech Solutions, Inc. DE 5.02,5.03,9.01 09/21/12 General Finance CORP DE 7.01,9.01 09/26/12 GLOBAL GOLD CORP DE 1.01,9.01 09/26/12 GLOBAL PAYMENTS INC GA 2.02,9.01 09/27/12 Global Stevia Corp. NV 1.01,2.03,9.01 09/07/11 GLOBALWISE INVESTMENTS INC NV 5.02,7.01,9.01 09/24/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/21/12 AMEND GREAT AMERICAN ENERGY, INC. 1.01,9.01 07/04/12 Griffin Capital Net Lease REIT, Inc. 2.03 09/21/12 GRYPHON GOLD CORP NV 1.01 09/26/12 HAEMONETICS CORP MA 8.01,9.01 09/25/12 HAMPTON ROADS BANKSHARES INC VA 3.02,7.01,8.01,9.01 09/27/12 HARBINGER GROUP INC. DE 7.01 09/27/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 1.01,7.01,9.01 09/27/12 HEALTH NET INC DE 7.01 09/26/12 HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 09/27/12 IDT CORP DE 2.02,8.01,9.01 09/27/12 INERGY L P DE 5.02,5.03,9.01 09/21/12 INERGY MIDSTREAM, L.P. 5.02,9.01 09/21/12 INREIT Real Estate Investment Trust ND 1.01,9.01 09/20/12 INTERLEUKIN GENETICS INC DE 1.01 09/21/12 Internet Patents Corp 5.02,5.08 09/26/12 JOHNSON CONTROLS INC WI 5.02,7.01 09/25/12 KBS Real Estate Investment Trust II, MD 8.01 09/21/12 KBS Real Estate Investment Trust III, MD 1.01 09/27/12 KEMET CORP DE 2.06 09/21/12 LANDEC CORP \CA\ CA 2.02,9.01 09/26/12 LAWSON PRODUCTS INC/NEW/DE/ DE 5.02,9.01 09/24/12 Lazard Group LLC DE 1.01 09/25/12 Lazard Ltd D0 1.01 09/25/12 LIGHTING SCIENCE GROUP CORP DE 1.01,2.05,3.02,5.02, 09/24/12 5.03,7.01,9.01 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 2.01,9.01 07/13/12 AMEND LIONS GATE ENTERTAINMENT CORP /CN/ A1 1.01,2.03,7.01,9.01 09/27/12 LODGENET INTERACTIVE CORP DE 3.01 09/21/12 LONGWEI PETROLEUM INVESTMENT HOLDING CO 2.01,9.01 09/26/12 Matador Resources Co TX 7.01,9.01 09/27/12 Mattersight Corp DE 7.01,9.01 09/26/12 MCCORMICK & CO INC MD 2.02,9.01 09/27/12 Medefile International, Inc. NV 5.07 09/21/12 MF Global Holdings Ltd. DE 7.01,9.01 09/27/12 MICRON TECHNOLOGY INC DE 2.02,9.01 08/30/12 MIDSOUTH BANCORP INC LA 1.01,5.03,7.01,9.01 09/26/12 Midstates Petroleum Company, Inc. DE 1.01,9.01 09/26/12 Motors Liquidation Co DE 8.01 09/26/12 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 09/25/12 MVP REIT, Inc. MD 8.01 09/26/12 AMEND NASH FINCH CO DE 7.01,9.01 09/27/12 NEAH POWER SYSTEMS, INC. NV 8.01,9.01 09/27/12 Neuralstem, Inc. DE 8.01,9.01 09/27/12 NEW YORK TIMES CO NY 2.01,9.01 09/24/12 NEWS CORP 8.01,9.01 09/27/12 NIKE INC OR 2.02,9.01 09/26/12 NORTHWEST PIPELINE GP 1.01,2.03,9.01 09/25/12 NORTHWESTERN CORP DE 7.01,9.01 09/26/12 NTS, INC. NV 2.03 09/27/12 NUTRI SYSTEM INC /DE/ DE 5.02,9.01 09/27/12 OMNICARE INC DE 5.02 09/21/12 ON SEMICONDUCTOR CORP DE 5.02,9.01 09/26/12 Oneida Financial Corp. MD 8.01,9.01 09/26/12 ONYX PHARMACEUTICALS INC DE 8.01,9.01 09/27/12 ORAMED PHARMACEUTICALS INC. DE 1.01,3.02,5.02 09/27/12 ORAMED PHARMACEUTICALS INC. DE 1.01,3.02 09/27/12 AMEND ORIGINOIL INC NV 8.01 09/27/12 Oryon Technologies, Inc. NV 1.01 09/25/12 PALATIN TECHNOLOGIES INC DE 5.03,5.07,9.01 09/27/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 5.07 09/27/12 Park Sterling Corp NC 5.07,8.01,9.01 09/26/12 Patient Safety Technologies, Inc DE 7.01,9.01 09/27/12 PATTERSON COMPANIES, INC. MN 8.01 09/26/12 PAULSON CAPITAL CORP OR 3.01 09/27/12 PEDEVCO CORP TX 2.01,3.02,8.01,9.01 09/24/12 PENSKE AUTOMOTIVE GROUP, INC. DE 8.01,9.01 09/27/12 PEPCO HOLDINGS INC DE 5.02 09/27/12 PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 09/27/12 PHYSICIANS FORMULA HOLDINGS, INC. DE 1.01,1.02,8.01,9.01 09/26/12 PLAINS ALL AMERICAN PIPELINE LP DE 8.01,9.01 09/27/12 Plandai Biotechnology, Inc. NV 4.01,9.01 08/23/12 PLY GEM HOLDINGS INC DE 1.01,1.02,2.03 09/24/12 Point.360 CA 1.02,2.03,9.01 09/26/12 POWERWAVE TECHNOLOGIES INC DE 8.01 09/26/12 PRIME ESTATES & DEVELOPMENTS INC NV 1.01,9.01 09/25/12 Profit Planners Management, Inc. NV 8.01 09/26/12 Protalix BioTherapeutics, Inc. FL 8.01,9.01 09/27/12 PRUCO LIFE INSURANCE CO AZ 8.01 09/27/12 PRUDENTIAL FINANCIAL INC NJ 7.01,8.01,9.01 09/27/12 QLT INC/BC A1 1.01,2.01,8.01,9.01 09/21/12 RAMBUS INC DE 8.01,9.01 09/27/12 RANGE RESOURCES CORP DE 8.01,9.01 09/26/12 Revolutions Medical CORP NV 8.01 09/21/12 RGC RESOURCES INC VA 5.02 09/26/12 ROBERTS REALTY INVESTORS INC GA 1.01,2.03 09/27/12 ROMA FINANCIAL CORP X1 1.01,9.01 09/21/12 ROOMLINX INC NV 7.01 09/27/12 S&W Seed Co NV 2.02,9.01 09/27/12 Sagetree Acquisition Corp DE 3.02,5.01,5.02 09/25/12 Sarepta Therapeutics, Inc. OR 7.01 09/27/12 SAVIENT PHARMACEUTICALS INC DE 5.02,9.01 09/24/12 SEALY CORP DE 2.02,9.01 09/27/12 SEALY CORP DE 1.01,8.01,9.01 09/26/12 Searchlight Minerals Corp. NV 4.01,9.01 09/21/12 SINOCOKING COAL & COKE CHEMICAL INDUS FL 2.02,9.01 09/27/12 SMF ENERGY CORP DE 7.01,9.01 09/19/12 Sorrento Therapeutics, Inc. DE 5.02 09/21/12 SOTHEBYS DE 1.01,2.03,9.01 09/27/12 SOUTHERN STAR CENTRAL CORP DE 5.02 09/27/12 Strategic Storage Trust, Inc. MD 7.01,9.01 09/27/12 SUNOCO INC PA 5.04,9.01 09/27/12 SUPERIOR OIL & GAS CO NV 8.01 09/25/12 Swisher Hygiene Inc. DE 1.01,2.03,5.02,8.01, 09/21/12 9.01 T & G APOTHECARY INC NV 7.01,9.01 09/21/12 T3 Motion, Inc. DE 1.01,9.01 09/21/12 TC PIPELINES LP DE 7.01,9.01 09/27/12 TEMPUR PEDIC INTERNATIONAL INC DE 1.01,8.01,9.01 09/26/12 TEXAS INDUSTRIES INC DE 2.02,9.01 09/26/12 TICC Capital Corp. MD 1.01,2.03,3.02,8.01, 09/26/12 9.01 TIDEWATER INC DE 8.01,9.01 09/26/12 Tongxin International, Ltd. D8 2.02,9.01 09/27/12 TRANSCONTINENTAL GAS PIPE LINE COMPAN DE 1.01,2.03,9.01 09/25/12 TRANSGENOMIC INC DE 2.01,9.01 09/21/12 Transocean Ltd. V8 8.01 09/27/12 UBS-Barclays Commercial Mortgage Trus DE 9.01 09/26/12 UBS-Barclays Commercial Mortgage Trus DE 8.01,9.01 09/27/12 UGI CORP /PA/ PA 5.02,9.01 09/24/12 UGI UTILITIES INC PA 8.01,9.01 09/24/12 UNION FIRST MARKET BANKSHARES CORP VA 5.02,9.01 09/27/12 United Continental Holdings, Inc. DE 7.01,9.01 09/27/12 UNITED PARCEL SERVICE INC DE 8.01,9.01 09/24/12 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 8.01,9.01 09/27/12 URSTADT BIDDLE PROPERTIES INC MD 1.01,1.02,2.03,9.01 09/21/12 USA TECHNOLOGIES INC PA 8.01 09/21/12 V Media Corp DE 5.02 09/24/12 VIASAT INC DE 1.01,8.01,9.01 09/26/12 Viggle Inc. DE 8.01,9.01 09/26/12 VII Peaks-KBR Co-Optivist Income BDC MD 2.02 09/26/12 VLOV INC. NV 7.01,9.01 09/27/12 WATSON PHARMACEUTICALS INC NV 8.01,9.01 09/27/12 WELLS FARGO & COMPANY/MN DE 9.01 09/27/12 Wells Fargo Commercial Mortgage Trust 8.01,9.01 09/27/12 Wesco Aircraft Holdings, Inc 7.01,9.01 09/27/12 Westinghouse Solar, Inc. DE 1.01,9.01 09/21/12 WHITE MOUNTAIN TITANIUM CORP NV 8.01,9.01 09/27/12 Williams Partners L.P. 1.01,2.03,9.01 09/25/12 WireCo WorldGroup Inc. 9.01 07/12/12 AMEND WIZZARD SOFTWARE CORP /CO CO 7.01,9.01 09/27/12 WMI HOLDINGS CORP. WA 1.01,9.01 09/24/12 WOLVERINE WORLD WIDE INC /DE/ MI 8.01,9.01 09/27/12 WORTHINGTON INDUSTRIES INC OH 2.02,7.01,9.01 09/26/12