Closed Meeting on Thursday, October 18, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, October 18, 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.
Commission Declares Decision as to Terry Harris Final
The Commission has declared final the initial decision of an administrative law judge barring Terry Harris from associating with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent. The initial decision determined that following a jury trial, Harris was found guilty of six counts of fraud and two counts of registration violations. Harris was ordered to make restitution of $1,646,944, and is serving a twenty-five year prison sentence in the Limestone Correctional Facility in Harvest, Alabama. State of Alabama v. Terry Harris, CC 07-1624 (Ala. Cir. Ct. Feb. 4, 2011).
Harris, formerly of Birmingham, Alabama, was an unlicensed investment advisor selling unregistered securities in the State of Alabama. The law judge found that Harris raised at least $4.7 million from approximately 1,767 investors by fraudulent means over at least a ten-month period. Harris provided his investors with false financial profit statements. He also misled investors as to his educational background and trading expertise. In reality, Harris was using the funds derived from new investors to pay dividends to earlier investors. The law judge found that Harris's conduct was egregious and recurrent. The law judge also found that Harris has shown no remorse, nor has he made any of the restitution ordered by the court. (Rel. IA-3484; File No. 3-14610)
In the Matter of Gregory D. Tindall
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Gregory D. Tindall, Admin. Proc. No. 3-14894. The Securities and Exchange Commission issued its Order Instituting Proceedings (OIP) on May 29, 2012, pursuant to Section 203(f) of the Investment Advisers Act of 1940. The OIP alleges that Respondent Gregory D. Tindall (Tindall) was previously enjoined from violating the antifraud provisions of the securities laws in connection with wrongdoing while acting as an investment adviser. The OIP also alleges that Tindall engaged in a fraudulent scheme to defraud investors by making material misrepresentations and misappropriating investor funds. The Default Order finds the allegations of the OIP to be true.
In the public interest, the Default Order bars Tindall from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and nationally recognized statistical rating organization. (Rel. IA-3486; File No. 3-14894)
Defendant James L. Douglas a/k/a James L. Cooper Held in Civil Contempt after Failing to Comply with Judgment
The U.S. Securities and Exchange Commission today announced that on Aug. 20, 2012, the Honorable Jack Zouhary of the United States District Court for the Northern District of Ohio found James L. Douglas a/k/a James L. Cooper in civil contempt for failure to pay in full a judgment entered in 1983.
On Jan. 18, 1982, the SEC filed a complaint against Douglas, alleging that he had raised more than $7.5 million by offering and selling unregistered oil and gas partnerships through false pretenses. Douglas subsequently settled. On Aug. 26, 1983, the Court entered an Order Directing Ancillary Relief, ordering him to disgorge $200,000 within three years.
Douglas did not comply with the Court’s payment schedule, paying only $121,975.29 of the $200,000 judgment, and leaving an unpaid balance of $78,024.71 plus post-judgment interest. Counsel for Douglas at the time reported that Douglas lacked the ability to pay, and that Douglas may have moved to Scotland.
Based on the non-payment, the SEC filed a motion for contempt on July 8, 1988. On Aug. 8, 1988, the Court granted the SEC’s motion, found Douglas in contempt, and issued a warrant for his arrest. The warrant was never executed because the U.S. Marshals could not locate Douglas. In 2010, the SEC learned that Douglas had returned to the U.S. and that his fortunes had changed. Douglas filed suit on behalf of his deceased wife’s estate against several tobacco companies in Florida state court. In March, 2010, the jury awarded $2.5 million to the Estate of Charlotte M. Douglas, of which Douglas is the sole beneficiary. The verdict is currently on appeal to the Supreme Court of Florida.
On Jan. 23, 2012, the SEC filed a Motion for a Rule to Show Cause and for an Order of Civil Contempt, requesting that the Court hold Douglas in contempt for a second time. The Court presided over four days of evidentiary hearings. On Aug. 20, 2012, the Court granted the SEC’s motion, holding Douglas in contempt for a second time. The Court ruled that “Defendant’s lavish lifestyle apparently is over, but he has dodged his legal debt long enough, and it is high time for him to pay what he owes.” See Aug. 20, 2012 Memorandum Opinion and Order. The Court also ruled that, under 28 U.S.C. § 1961, Douglas must pay post-judgment interest at the statutory rate of 10.74% from the “date of the entry of the judgment” in 1983. “That rate may seem high by today’s standards, but it is properly calculated. . . . And if [Douglas] finds the amount due unreasonable, it is the result of his own misconduct for avoiding payment for so long.” See Aug. 20, 2012 Memorandum Opinion and Order. Based on the SEC’s calculation, the post-judgment interest now exceeds $1.7 million.
For additional information, please see Litigation Release Nos. 9578 (Feb. 5, 1982), 10120 (Sept. 13, 1983) and 11845 (Aug. 24, 1988). [SEC v. James L. Douglas a/k/a James L. Cooper, Case No. 82-cv-29 (N.D. Ohio)] ( LR-22507)
SEC Brings New Charges in Insider Trading Case Against Chinese Citizens
The Securities and Exchange Commission announced that it has filed new charges in its pending insider trading case against several Chinese citizens and a Chinese-based entity. The SEC previously charged the defendants in complaints filed on December 5 and 14, 2011, with insider trading after they reaped more than $2.8 million in profits by trading in advance of a publicly announced merger between London-based Pearson plc and Beijing-based Global Education and Technology Group, Ltd.
The SEC’s second amended complaint filed on October 4, 2012, names a new defendant, Jie Meng. According to the SEC’s second amended complaint, Meng was a friend of Angela Yang’s (a/k/a/ Yang Yan), a PRC citizen and a resident of Beijing, China. Yang worked for Pearson and was privy to the details concerning the Global Education acquisition before the transaction was made public. In the fall of 2011, Yang told Meng that Pearson was going to acquire Global Education and that if the buyout was successful, the stock price of Global Education would increase. Yang also told Meng that the information about the Global Education acquisition was “top secret” and asked Meng not to tell anybody about the acquisition out of fear of losing her job. Yang then sent Meng $40,000 to purchase Global Education securities. Meng used Yang’s $40,000 plus approximately $35,000 from the bank account Meng shared with previously charged defendant Song Li to purchase 24,592 shares of Global Education securities in Li’s brokerage account.
The second amended complaint also alleges that Pearson and Global Education each announced before trading began on November 21, 2011 that Pearson agreed to acquire all of Global Education’s outstanding stock for $294 million. Global Education’s stock price increased 97 percent that day, from $5.37 to $10.60. On November 21 and 22, 2011, Meng sold a total of 20,592 Global Education shares at an average price of $10.51 per share, resulting in profits of over $142,000. Soon thereafter, Meng requested that the brokerage firm liquidate Li’s account and issue Li a check for the proceeds of Meng’s trading. However, as a result of asset freeze orders imposed in the SEC’s case, those proceeds have remained frozen in Li’s account.
The SEC’s second amended complaint charges Meng with violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Without admitting or denying the allegations of the second amended complaint, Meng consented to the entry of a final judgment enjoining Meng from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, ordering Meng to pay disgorgement, jointly and severally with Li, of $142,052 plus prejudgment interest of $2,141 for a total of $144,193, and ordering a civil penalty against Meng in the amount of $71,000. The second amended complaint also dismisses Li as a defendant, names her as a relief defendant, and orders her to pay, joint and severally with Meng, disgorgement plus prejudgment interest totaling $144,193. The monetary sanctions will be paid out of the frozen funds.
With respect to the other defendants in the pending action, Lili Wang consented to the entry of a final judgment enjoining her from future violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, ordering Wang to pay disgorgement of $197,117.80 plus prejudgment interest of $1,474.15 for a total of $198,591.95, and ordering a civil penalty against Wang in the amount of $197,117.80. The cases against the remaining defendants, Yonghui Zhang, Xuechu Yang, Sha Chen, Zhi Yao, and All Know Holdings Ltd., are pending. The Court’s previous orders freezing the balance of the remaining defendants’ trading profits remain in effect. [SEC v. All Know Holdings Ltd., et al., Civil Action No. 11-CV-8605 (N.D. Ill)] ( LR-22508)
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 October 15. (Rel. 34-67921)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-NYSE-2012-51) filed by the New York Stock Exchange LLC amending Section 902.03 of the New York Stock Exchange LLC Listed Company Manual to amend annual fees and certain other listing fees included therein and to make technical and conforming changes 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 October 15. (Rel. 34-68024)
A proposed rule change submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-114) relating to Non-Penny Pilot and Penny Pilot options 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 October 15. (Rel. 34-68029)
A proposed rule change filed by International Securities Exchange, LLC to amend fees for certain complex orders executed on the exchange (SR-ISE-2012-85) 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 October 15. (Rel. 34-68034)
A proposed rule change submitted by NYSE MKT LLC (SR-NYSEMKT-2012-50) relating to criteria for rebates to Order Flow Providers 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 October 15. (Rel. 34-68036)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-88) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of the RiverFront Strategic Income Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68030)
Proposed Rule Changes
The Chicago Stock Exchange, Inc. has filed a proposed rule change, as modified by amendments Nos.1 and 2, (SR-CHX-2012-13) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to establish listing standards for issuers’ compensation committees. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68033)
ICE Clear Credit LLC (“ICC”) filed a proposed rule change (SR-ICC-2012-18) under Section 19(b)(1) of the Securities Exchange Act of 1934 to add rules related to the clearing of iTraxx Europe Index CDS and European Corporate Single-Name CDS. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68035)
The National Stock Exchange, Inc. has filed a proposed rule change, as modified by amendment No.1, (SR-NSX-2012-15) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending NSX Rule 15.5 to comply with the requirements of Exchange Act Rule 10C-1. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68039)
Accelerated Approval of Proposed Rule Change
The Commission noticed and granted accelerated approval to a proposed rule change (SR-FINRA-2012-045) submitted by Financial Industry Regulatory Authority, Inc. (“FINRA”) that would amend NASD Rule 2711 and Incorporated NYSE Rule 472 to conform with the requirements of the Jumpstart Our Business Startups Act and related changes. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68037)
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 CIRCLE STAR ENERGY CORP., 7065 CONFEDERATE PARK ROAD, SUITE 102, FORT WORTH, TX, 76108, (713) 651-0060 - 0 ($7,000,000.00) Equity, (File 333-184364 - Oct. 11) (BR. 04A) S-8 VOXX International Corp, 180 MARCUS BLVD, HAUPPAUGE, NY, 11788, 6312317750 - 2,000,000 ($14,540,000.00) Equity, (File 333-184365 - Oct. 11) (BR. 10B) S-3 TEJON RANCH CO, 4436 LEBEC ROAD, PO BOX 1000, LEBEC, CA, 93243, 6612483000 - 0 ($150,000,000.00) Equity, (File 333-184367 - Oct. 11) (BR. 08B) S-8 Shutterstock, Inc., 60 BROAD STREET, 30TH FLOOR, NEW YORK, NY, 10004, 646-710-3410 - 0 ($112,739,321.00) Equity, (File 333-184371 - Oct. 11) (BR. 03C) S-3ASR PRIVATEBANCORP, INC, 120 SOUTH LASALLE STREET, 4TH FLOOR, CHICAGO, IL, 60603, 3126837100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184372 - Oct. 11) (BR. 07C) S-8 Hamilton Bancorp, Inc., 501 FAIRMOUNT AVE, SUITE 200, TOWSON, MD, 21286, 410-823-4510 - 0 ($1.00) Other, (File 333-184373 - Oct. 11) (BR. 07) S-8 AutoNavi Holdings Ltd, 16F, SECTION A, FOCUS SQUARE, NO 6. FUTONG EAST AVENUE, WANGJING, CHAOYANG DISTRICT, BEIJING, F4, 100102, (86-10) 8410-7016 - 0 ($27,400,000.00) ADRs/ADSs, (File 333-184375 - Oct. 11) (BR. 03A) S-3 DEUTSCHE MORTGAGE & ASSET RECEIVING CORP, ONE INTERNATIONAL PLACE, ROOM 520, BOSTON, MA, 02110, 6179517690 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-184376 - Oct. 11) (BR. OSF) S-3 IMMUNOMEDICS INC, 300 AMERICAN RD, MORRIS PLAINS, NJ, 07950, 9736058200 - 0 ($70,600,000.00) Equity, (File 333-184377 - Oct. 11) (BR. 01A) S-8 China Mobile Games & Entertainment Group Ltd, Block A, 15/F Huajian Building, 233 Tianfu Road, Tianhe District, Guangzhou, F4, 000000, (86) 20 8561-3455 - 0 ($36,921,345.00) ADRs/ADSs, (File 333-184378 - Oct. 11) (BR. 03C) S-8 Surge Global Energy, Inc., 990 HIGHLAND DRIVE #206, SOLANA BEACH, CA, 92075, 858-720-9900 - 12,000,000 ($270,000.00) Equity, (File 333-184379 - Oct. 11) (BR. 04A) S-8 SOUTHWEST GEORGIA FINANCIAL CORP, 201 FIRST ST SE, P O BOX 849, MOULTRIE, GA, 31768, 2299851120 - 200,000 ($1,750,000.00) Equity, (File 333-184380 - Oct. 11) (BR. 07B)
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 ----------------------------------------------------------------------------------------- 4 KIDS ENTERTAINMENT INC NY 8.01,9.01 10/05/12 AAR CORP DE 5.07 10/10/12 ABBY INC. CO 5.03,9.01 10/04/12 ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 10/10/12 ADCARE HEALTH SYSTEMS INC OH 1.01,9.01 10/08/12 ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 10/11/12 AFFILIATED MANAGERS GROUP INC DE 8.01,9.01 10/11/12 AgFeed Industries, Inc. NV 5.02,9.01 10/05/12 ALASKA AIR GROUP, INC. DE 1.01,7.01,9.01 10/10/12 ALCO STORES INC KS 5.02 10/05/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/11/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 10/11/12 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 10/11/12 Alpha Natural Resources, Inc. DE 1.01,3.03,9.01 10/11/12 Americas Diamond Corp. NV 5.03,9.01 10/08/12 API Technologies Corp. DE 2.02,9.01 10/10/12 ARBOR REALTY TRUST INC MD 1.01,9.01 10/05/12 Artio Global Investors Inc. DE 7.01,9.01 10/11/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 10/11/12 ASURA DEVELOPMENT GROUP, INC. DE 3.02,5.02,5.03,7.01, 09/16/12 9.01 ATLANTIC POWER CORP A1 7.01,9.01 10/11/12 Augme Technologies, Inc. DE 7.01,9.01 10/10/12 AURORA GOLD CORP DE 2.01,3.02,5.01,5.02, 10/05/12 7.01,9.01 AVNET INC NY 2.02,9.01 10/10/12 AVON PRODUCTS INC NY 5.03,9.01 10/05/12 AVX Corp DE 1.01,9.01 10/11/12 AXCESS INTERNATIONAL INC/TX DE 4.01,5.02,5.03,5.07, 09/28/12 8.01,9.01 Bazaarvoice Inc DE 5.07 10/09/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01,9.01 10/11/12 Bidz.com, Inc. CA 8.01,9.01 10/11/12 Biodel Inc DE 8.01 10/11/12 BLACKBOX SEMICONDUCTOR, INC. NV 3.02,9.01 08/17/12 Bloomin' Brands, Inc. DE 7.01,9.01 10/10/12 Blue Star Entertainment Technologies, D8 4.01,9.01 10/01/12 BONANZA GOLD CORP. 3.02 09/04/12 BRINKER INTERNATIONAL INC DE 8.01 10/10/12 CAESARS ENTERTAINMENT Corp DE 5.02 10/09/12 CANTEL MEDICAL CORP DE 2.02,9.01 10/11/12 Cape Bancorp, Inc. MD 5.02,9.01 09/24/12 AMEND CarMax Auto Owner Trust 2012-3 1.01,8.01,9.01 10/11/12 CARTERS INC DE 2.05 10/11/12 CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01, 10/04/12 9.01 CENTRAL ENERGY PARTNERS LP DE 2.04,9.01 10/04/12 CENTURY CASINOS INC /CO/ DE 1.01 10/11/12 Ceres, Inc. DE 5.02,7.01,9.01 10/11/12 CHICOPEE BANCORP, INC. 8.01,9.01 10/11/12 Chimera Energy Corp TX 5.02,8.01,9.01 10/10/12 CIRCLE STAR ENERGY CORP. NV 1.01,3.02,9.01 10/09/12 Cleantech Solutions International, In DE 7.01,9.01 10/10/12 CLEARSIGN COMBUSTION CORP WA 7.01,9.01 10/11/12 COACH INC MD 8.01,9.01 10/11/12 COMVERSE TECHNOLOGY INC/NY/ NY 5.02,5.07,8.01,9.01 10/10/12 Cooper-Standard Holdings Inc. DE 7.01,9.01 10/11/12 CorMedix Inc. DE 8.01,9.01 10/10/12 Corporate Resource Services, Inc. DE 5.02 10/08/12 CORTS TRUST FOR WEYERHAEUSER DEBENTUR DE 8.01,9.01 10/09/12 Crumbs Bake Shop, Inc. DE 1.01,3.02,7.01,9.01 10/10/12 CYTODYN INC CO 7.01,9.01 10/05/12 DAVITA INC DE 5.02,8.01 10/04/12 DGT Holdings Corp. NY 5.02 10/08/12 DILMAX CORP. NV 1.01 10/10/12 DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 10/11/12 DUMA ENERGY CORP NV 5.02,8.01,9.01 10/11/12 DYNACQ HEALTHCARE INC NV 3.01 10/10/12 Dynamic Energy Alliance Corp FL 1.01 10/11/12 EASTERN AMERICAN NATURAL GAS TRUST DE 7.01 10/05/12 EDAC TECHNOLOGIES CORP WI 8.01,9.01 10/11/12 EMPIRE STATE BUILDING ASSOCIATES L.L. NY 1.01,2.03 10/11/12 ENERGY HOLDINGS INTERNATIONAL, INC. NV 4.02 10/10/12 ENGLOBAL CORP NV 7.01,9.01 10/11/12 ENTERTAINMENT PROPERTIES TRUST MD 1.01,2.03,8.01,9.01 10/04/12 ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 10/09/12 ExactTarget, Inc. DE 1.01,2.01,3.02,7.01, 10/09/12 9.01 FASTENAL CO MN 2.02,9.01 10/11/12 Federal Home Loan Bank of Atlanta X1 2.03 10/05/12 Federal Home Loan Bank of Boston X1 2.03 10/05/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/09/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/11/12 Federal Home Loan Bank of Pittsburgh PA 5.02 10/11/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/05/12 Federal Home Loan Bank of San Francis X1 2.03 10/05/12 Federal Home Loan Bank of Seattle 2.03 10/09/12 Fibrocell Science, Inc. DE 8.01 10/11/12 FIRST BANCORP /NC/ NC 5.01 10/10/12 FLUSHING FINANCIAL CORP DE 8.01,9.01 10/11/12 Fortune Brands Home & Security, Inc. DE 5.02 10/08/12 FSI INTERNATIONAL INC MN 2.01,3.01,3.02,3.03, 10/11/12 5.01,5.02,5.03,9.01 G III APPAREL GROUP LTD /DE/ DE 1.01,5.02,9.01 10/05/12 GENESIS ENERGY LP DE 5.01,5.02,8.01 10/11/12 Genie Energy Ltd. DE 3.03,5.03,9.01 10/11/12 GEOPETRO RESOURCES CO CA 3.01,9.01 10/09/12 GIGA TRONICS INC CA 5.07 08/22/12 AMEND GLADSTONE CAPITAL CORP MD 1.02,8.01,9.01 10/11/12 GMX RESOURCES INC OK 8.01,9.01 10/10/12 GRIFFIN LAND & NURSERIES INC DE 2.02,9.01 10/11/12 HARMAN INTERNATIONAL INDUSTRIES INC / DE 1.01,1.02,2.03,9.01 10/10/12 HASBRO INC RI 5.02,8.01,9.01 10/11/12 HEARTLAND FINANCIAL USA INC DE 8.01,9.01 10/11/12 Heckmann Corp DE 8.01,9.01 10/11/12 HERITAGE OAKS BANCORP CA 7.01,9.01 10/11/12 HICKOK INC OH 5.07 10/11/12 Hines Global REIT, Inc. MD 9.01 08/31/12 AMEND Huntington Auto Trust 2012-2 DE 1.01,8.01,9.01 10/11/12 HUNTINGTON BANCSHARES INC/MD MD 8.01 10/11/12 Immunotech Laboratories, Inc. 5.02,9.01 10/10/12 INTER PARFUMS INC DE 7.01 10/11/12 INTERNATIONAL LEASE FINANCE CORP CA 1.01,2.03,7.01,9.01 10/09/12 INTERNATIONAL SHIPHOLDING CORP DE 1.01,8.01,9.01 10/10/12 Interval Leisure Group, Inc. DE 5.02,9.01 10/10/12 JEWETT CAMERON TRADING CO LTD OR 8.01,9.01 10/11/12 KBS Real Estate Investment Trust II, MD 8.01 10/11/12 KBS Real Estate Investment Trust, Inc MD 8.01 10/11/12 KINDER MORGAN, INC. DE 7.01 10/11/12 KINDER MORGAN, INC. DE 7.01 10/11/12 KSW INC NY 2.01,3.01,3.02,3.03, 10/11/12 5.01,5.02,5.03,9.01 LAKELAND BANCORP INC NJ 5.07 05/09/12 AMEND LEAP WIRELESS INTERNATIONAL INC DE 5.02,9.01 10/11/12 LEXARIA CORP. NV 7.01,9.01 10/10/12 Liberty Coal Energy Corp. 1.01,2.03,5.02,9.01 10/11/12 LIFEPOINT HOSPITALS, INC. 8.01 09/14/12 LIGHTPATH TECHNOLOGIES INC DE 1.01,9.01 10/11/12 LIHUA INTERNATIONAL INC. DE 5.07 10/07/12 LOTON, CORP NV 1.01 09/12/12 Lux Digital Pictures, Inc. 1.01,9.01 10/05/12 M/A-COM Technology Solutions Holdings DE 1.01,9.01 10/04/12 MACK CALI REALTY CORP MD 5.02,9.01 10/10/12 MAGNUM HUNTER RESOURCES CORP DE 8.01 10/11/12 Marlborough Software Development Hold DE 1.01,3.02,5.03,9.01 10/10/12 Matador Resources Co TX 7.01,9.01 10/11/12 MATTRESS FIRM HOLDING CORP. DE 5.02,7.01,9.01 10/10/12 McEwen Mining Inc. CO 7.01,9.01 10/11/12 MEMC ELECTRONIC MATERIALS INC DE 5.02 10/11/12 MILLER HERMAN INC MI 5.07 10/08/12 MISSION WEST PROPERTIES INC CA 2.02,9.01 10/10/12 Momentive Performance Materials Inc. DE 7.01,9.01 10/11/12 MRV COMMUNICATIONS INC DE 5.02,8.01,9.01 10/10/12 MULTI FINELINE ELECTRONIX INC 5.02,9.01 10/09/12 NATURAL GAS SERVICES GROUP INC 5.02 10/06/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 10/10/12 NBTY INC DE 7.01,9.01 10/11/12 NEWS CORP 8.01,9.01 10/11/12 NiMin Energy Corp. A0 3.01,9.01 10/10/12 NORTHWESTERN CORP DE 2.06 10/05/12 NOVAGEN SOLAR INC. NV 1.01 10/09/12 Novus Robotics Inc. NV 1.01,2.01,3.02,5.01, 02/01/12 AMEND 5.02,9.01 NTELOS HOLDINGS CORP 2.02,9.01 10/11/12 OIL DRI CORP OF AMERICA DE 2.02,5.02,9.01 10/09/12 OptimumBank Holdings, Inc. FL 5.02 10/05/12 ORBCOMM Inc. DE 8.01,9.01 10/10/12 PACIFIC PREMIER BANCORP INC DE 2.02,9.01 09/30/12 PARAMETRIC TECHNOLOGY CORP MA 2.05,7.01 10/09/12 Pegasi Energy Resources Corporation. NV 1.01,3.02,7.01,9.01 09/09/12 AMEND PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,3.02,5.03,9.01 10/11/12 PEP BOYS MANNY MOE & JACK PA 1.01,2.03,9.01 10/11/12 PEP BOYS MANNY MOE & JACK PA 1.02,2.04 10/11/12 PIER 1 IMPORTS INC/DE DE 5.02 10/11/12 PITNEY BOWES INC /DE/ DE 5.02,8.01 10/08/12 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 10/11/12 PRIVILEGED WORLD TRAVEL CLUB, INC. DE 1.01,3.02,5.06,9.01 10/05/12 QUAINT OAK BANCORP INC 7.01,9.01 10/10/12 RADIAN GROUP INC DE 2.02,9.01 10/10/12 RANGE RESOURCES CORP DE 2.02,9.01 10/11/12 RANGE RESOURCES CORP DE 5.02 10/09/12 Regulus Therapeutics Inc. DE 1.01,3.02,5.03,9.01 10/10/12 Renewable Energy Group, Inc. 2.02,9.01 10/08/12 RETAIL PROPERTIES OF AMERICA, INC. MD 5.07 10/09/12 RFS HOLDING LLC 1.01,8.01,9.01 10/10/12 ROBERTS REALTY INVESTORS INC GA 1.01,8.01,9.01 10/09/12 ROLLINS INC DE 8.01,9.01 10/10/12 SAFEWAY INC DE 2.02,9.01 10/11/12 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 1.01,9.01 10/10/12 SATCON TECHNOLOGY CORP DE 2.04 10/04/12 SEARS HOLDINGS CORP DE 8.01,9.01 10/11/12 ServisFirst Bancshares, Inc. DE 2.04 10/09/12 SILICON IMAGE INC DE 5.02 10/05/12 SMART ABS Series 2012-4US Trust C3 1.01,8.01,9.01 10/04/12 Somaxon Pharmaceuticals, Inc. DE 3.03,5.03,5.07,9.01 10/05/12 Spirit Airlines, Inc. DE 2.02,7.01,9.01 10/10/12 STAG Industrial, Inc. 2.01,9.01 10/09/12 Station Casinos LLC NV 5.02 10/10/12 STEEL PARTNERS HOLDINGS L.P. DE 7.01,9.01 10/05/12 STILLWATER MINING CO /DE/ DE 1.01,8.01,9.01 10/11/12 SUNOCO INC PA 1.02,2.01,3.01,3.03, 10/05/12 5.01,5.02,5.03,7.01, 9.01 SunSi Energies Inc. NV 5.03,9.01 10/08/12 Susser Holdings CORP DE 2.02 10/11/12 TEJON RANCH CO DE 8.01,9.01 10/10/12 TENET HEALTHCARE CORP NV 3.03,5.03,9.01 10/10/12 THERMOENERGY CORP DE 2.03,9.01 10/04/12 THORATEC CORP CA 5.02,9.01 10/10/12 TITAN PHARMACEUTICALS INC DE 8.01 10/08/12 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 10/11/12 TORTOISE CAPITAL RESOURCES CORP 2.02,9.01 10/08/12 TRANS LUX CORP DE 1.01,3.03,5.02 10/05/12 TransDigm Group INC DE 7.01,9.01 10/10/12 Triangle Petroleum Corp NV 8.01 10/11/12 TRIMAS CORP DE 1.01,7.01,9.01 10/05/12 TURBOSONIC TECHNOLOGIES INC DE 8.01,9.01 10/11/12 TWO RIVERS WATER Co CO 7.01 10/10/12 UMH PROPERTIES, INC. MD 9.01 10/11/12 AMEND UNITED TECHNOLOGIES CORP /DE/ DE 2.01,9.01 07/26/12 AMEND UNIVERSAL HEALTH SERVICES INC DE 8.01,9.01 10/10/12 UNIVERSAL SECURITY INSTRUMENTS INC MD 5.07 10/11/12 VIASPACE Inc. 1.01,9.01 10/10/12 VIASPACE Inc. 1.01 10/01/12 AMEND VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 10/11/12 Vringo Inc DE 8.01,9.01 10/05/12 Walter Energy, Inc. DE 2.02,9.01 10/11/12 Western Gas Partners LP DE 1.01,9.01 10/11/12 WESTERN MASSACHUSETTS ELECTRIC CO MA 2.03,9.01 10/04/12 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 10/11/12 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 7.01,9.01 10/11/12 WSI INDUSTRIES, INC. MN 8.01,9.01 10/08/12 Zep Inc. DE 2.02,7.01,9.01 10/11/12