SEC Proposes Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
The Securities and Exchange Commission today voted unanimously to propose capital, margin, and segregation requirements for security-based swap dealers and major security-based swap participants.
The proposed rules are required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, which authorizes the SEC and other regulators to put in place a comprehensive framework for regulating the over-the-counter swaps markets.
Under the Dodd-Frank Act, the SEC must impose margin and capital requirements to help ensure the safety and soundness of security-based swap dealers and major security-based swap participants. The margin rules are required to be appropriate for the risk associated with security-based swaps that are not “cleared” by a security-based swap clearing agency. The proposed segregation rules are intended to facilitate the prompt return of customer property to customers before or during a liquidation proceeding if a security-based swap dealer fails.
“The SEC has now proposed – and in some cases adopted – substantially all of the rules that create the new regulatory regime for derivatives within our jurisdiction,” said SEC Chairman Mary L. Schapiro. “These rules are intended to make the financial system safer and the derivative markets fairer, more efficient, and more transparent.”
The SEC is seeking public comment on the proposed rules for 60 days following their publication in the Federal Register. (Press Rel. 2012-210)
Andrew Calamari Named Director of New York Regional Office
The Securities and Exchange Commission today announced that Andrew M. Calamari has been named Director of the agency’s New York Regional Office. Mr. Calamari joined the SEC staff in 2000 and has been serving as Acting Director of the New York office since the promotion of George Canellos to Deputy Director of the Division of Enforcement earlier this year.
Mr. Calamari will lead a staff of 400 that includes enforcement attorneys, accountants, investigators, and compliance examiners involved in the investigation and prosecution of enforcement actions and the performance of compliance inspections in the New York region. The New York office has responsibility for the largest concentration of SEC-registered financial institutions including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds.
“For the last 12 years, Andy has dedicated himself to our core mission of protecting investors,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “His tough but fair approach has won the respect of his colleagues, and his excellent judgment and strong leadership make him ideally suited to lead the New York Regional Office.”
Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “Andy is a dedicated leader who has earned the respect and trust of his colleagues as a result of his proven performance and exemplary commitment to our mission. He understands the power of teamwork and collaboration, and will be a great addition to our leadership team both regionally and nationally.”
Mr. Calamari said, “I have been so privileged these past 12 years to be able to work with the remarkably dedicated and talented enforcement and exam staff of the New York office. To now have the opportunity to serve as Director of this great office is an honor, and I am excited about the work we will do together in the years ahead.”
Mr. Calamari has been the Senior Associate Director and co-head of Enforcement for the New York Regional Office since 2004. Mr. Calamari has worked on many significant SEC enforcement actions including:
Mr. Calamari began his SEC tenure as a staff attorney and rose through the ranks to his leadership position. In 2004, he received the agency’s Arthur F. Matthews Award, which is awarded annually to an SEC employee who has been consistently creative in applying the federal securities laws for the benefit of investors. In 2009, Mr. Calamari received the Stanley Sporkin Award, which is one of the SEC’s top awards for its enforcement officials.
Prior to his work at the SEC, Mr. Calamari spent nearly 15 years in private law practice, including as a litigation partner at Donovan Leisure Newton & Irvine. He is a 1985 graduate of Fordham Law School. (Press Rel. 2012-211)
Closed Meeting on Tuesday, October 23, 2012 at 3:00 p.m.
The subject matter of the Closed Meeting scheduled for Tuesday, October 23, 2012 will be: a litigation matter.
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.
In the Matter of Larry Michael Parrish
On October 16, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Larry Michael Parrish.
The Order alleges that on September 25, 2012, the United States District Court for the District of Colorado entered default judgment against Parrish and entered an order permanently enjoining Parrish from violations of Sections 5 and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), (2), and (4) of Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Larry Michael Parrish, Civil Action Number 11-cv-00558-WJM-MJW.
The Commission’s complaint alleged that during the period beginning in 2005 and continuing into 2010, Parrish operated a Ponzi scheme that raised about $9.2 million from at least 70 investors in 3 states. Parrish guaranteed 30% annual returns and told investors that the securities were “extremely low risk” because investor funds would be placed safely in escrow and used to secure a line of credit that would be used for the trading program. Parrish’s claims were false: Parrish’s early investors were paid the returns he guaranteed, and about $5 million in total “profit” payments were made to investors. But all or nearly all of these payments were from investor deposits, not profitable trading. Parrish also misappropriated at least $780,000 from investors for his personal benefit. No investor funds remain.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to provide Parrish an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-68059; IA-3489; File No. 3-15068)
In the Matter of China Agritech, Inc.
On October 17, 2012, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 12(j) and 21C of the Securities Exchange Act of 1934, Making Findings, Imposing a Cease-and-Desist Order, and Revoking Registration of Securities (Order) against China Agritech, Inc. (Agritech), a China-based manufacturer of organic agricultural fertilizer.
Agritech consented to an Order authorizing and instituting settled administrative and cease-and-desist proceedings against Agritech pursuant to Sections 12(j) and 21C of the Exchange Act. The resulting Order (a) finds that Agritech has failed to comply with and violated various filing requirements imposed on registered issuers, including the requirements to timely file annual, quarterly, and current reports, (b) revokes the registration of each class of Agritech’s securities registered under Section 12 of the Exchange Act, and (c) orders Agritech to cease and desist from committing or causing any violations and any future violations of Exchange Act Section 13(a) and Rules 12b-25, 13a-1, 13a-11, and 13a-13 thereunder. (Rel. 34-68060; File No. 3-15069)
SEC Charges Hedge Fund Adviser and Two Executives With Fraud
The United States Securities and Exchange Commission (Commission) filed a civil enforcement action in the United States District Court for the Southern District of New York, charging a former $1 billion hedge fund advisory firm and two executives with scheming to overvalue assets under management and exaggerate the reported returns of hedge funds they managed in order to hide losses and increase the fees collected from investors.
The complaint alleges that New Jersey-based Yorkville Advisors LLC, founder and president Mark Angelo, and chief financial officer Edward Schinik enticed pension funds and other investors to invest in their hedge funds by falsely portraying Yorkville as a firm that managed a highly-collateralized investment portfolio and employed a robust valuation procedure. They misrepresented the safety and liquidity of the investments made by the hedge funds, and charged excessive fees to the funds based on the fraudulently inflated values of the investments.
The Commission alleges that by fraudulently making Yorkville’s funds more attractive to potential investors, Angelo and Schinik enticed more than $280 million in investments from pension funds and funds of funds. This enabled Yorkville to charge the funds at least $10 million in excess fees based on the inflated values of Yorkville’s assets under management.
The Commission’s complaint charges Yorkville with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5. Yorkville also is charged with violating Sections 206(1), (2) and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8. Angelo is charged with violating Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5, and Sections 206(1), (2) and (4) of the Advisers Act and Rule 206(4)-8. He also is charged with aiding and abetting Yorkville’s violations of the Exchange Act and Advisers Act. Schinik is charged with violating Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5, and with aiding and abetting Yorkville’s violations of the Exchange Act and Advisers Act. The complaint seeks a final judgment permanently enjoining the defendants from future violations of the above provisions of the federal securities laws, ordering them to disgorge their ill-gotten gains plus prejudgment interest, and ordering them to pay civil penalties. [SEC v. Yorkville Advisors, LLC, Mark Angelo and Edward Schinik, Civil Action No. 12-CV-7728 (S.D.N.Y.) (GBD)] (LR-22510; Press Rel. 2012-209)
SEC Charges Arizona Man With Acting As An Unregistered Broker and Unlawful Touting
The Securities and Exchange Commission announced that, on Oct. 16, 2012, it filed a civil action in the United States District Court for the District of Arizona against Michael J. Southworth, a resident of Mesa, Arizona, and his entity, The Investors Registry, LLC (TIR), alleging that both defendants violated the broker-dealer registration provisions, and that Southworth violated the anti-touting provisions of the federal securities laws.
In its Complaint, the Commission alleges that since 2007, Southworth sold hundreds of memberships in TIR, which he marketed as an “exclusive investment community” in which members would have the opportunity to invest in “pre-IPO” issuers. Through TIR, Southworth profiled microcap issuers by sending emails to TIR members and by posting information to a members-only website. From 2007 to 2011, Southworth, through TIR, acted as an unregistered broker with respect to the profiling of five issuers by soliciting TIR members to invest in the issuers, advising TIR members as to the merits of investing in the issuers, and negotiating with the issuers regarding certain terms of their offerings to TIR members. Southworth also touted the same five issuers without adequate disclosure of the consideration that he received from them.
Southworth and TIR agreed to settle the SEC’s charges without admitting or denying the allegations in the Complaint. This settlement is subject to approval by the court. Southworth and TIR agreed to be permanently enjoined from violations of Section 15(a) of the Securities Exchange Act of 1934, and barring Southworth and TIR from participating in the offering or sale of a penny stock for three years. Southworth further agreed to be permanently enjoined from violations of Section 17(b) of the Securities Act of 1933, and to pay disgorgement of $217,755 plus prejudgment interest, with the waiver of payment of all but $100,000, and not imposing civil penalties based on Southworth’s Sworn Statement of Financial Condition. [SEC v. The Investors Registry, LLC and Michael J. Southworth, Civil Action No. 2:12-cv-02214-MEA (D. Ariz.)] (LR-22511)
Financial Investors Trust, et al.
An order has been issued on an application filed by Financial Investors Trust, et al. for an exemption under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and (2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1 2(a) under the Act. The order (a) permits certain series of registered open-end management investment companies to acquire shares of other registered open-end management investment companies and unit investment trusts that are within or outside the same group of investment companies, and (b) permits certain series of registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30233 - October 16)
Medley Capital Corporation, et al.
A notice has been issued giving interested persons until November 13, 2012, to request a hearing on an application filed by Medley Capital Corporation (Company), et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18 and 61(a) of the Act. The order would permit the Company to adhere to a modified asset coverage requirement. (Rel. IC-30234 – October 16)
Accelerated Approval of Proposed Rule Change
Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (SR-CME-2012-39) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend CME Rule 971 to require FCM clearing members to provide certain view-only access. Publication is expected in the Federal Register during the week of October 15. (Rel. 34-68055)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-NSX-2012-16) filed by National Stock Exchange, Inc. to amend its rules to clarify the handling of zero displayed reserve orders during crossed markets and to add a definition of a primary peg order 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 October 15. (Rel. 34-68056)
A proposed rule change filed by NASDAQ OMX BX, Inc. to assess a monthly fee for subscription to the QView service (SR-BX-2012-068) 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. 34-68057)
A proposed rule change filed by NASDAQ OMX PHLX LLC to assess a monthly fee for subscription to the QView service (SR-Phlx-2012-123) 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. 34-68058)
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-3 Voyager Oil & Gas, Inc., 1600 BROADWAY, SUITE 1040, DENVER, CO, 80202, (303) 323-0008 - 0 ($309,586,821.00) Equity, (File 333-184430 - Oct. 16) (BR. 04A) S-3 MEDGENICS, INC., TERADION BUSINESS PK., P.O. BOX 14, MISGAV, L3, 20179, 1-646-239-1690 - 0 ($150,000,000.00) Equity, (File 333-184431 - Oct. 16) (BR. 01B) S-1 Tumi Holdings, Inc., 1001 DURHAM AVE., SOUTH PLAINFIELD, NJ, 07080, 908-756-4400 - 11,615,000 ($265,635,050.00) Equity, (File 333-184432 - Oct. 16) (BR. 09) S-8 Madison County Financial, Inc., 111 WEST THIRD STREET, MADISON, NE, 68748, (402) 454-6511 - 0 ($1.00) Other, (File 333-184438 - Oct. 16) (BR. 07) S-8 KYTHERA BIOPHARMACEUTICALS INC, 27200 WEST AGOURA ROAD, SUITE 200, CALABASAS, CA, 91301, 818-587-4500 - 0 ($19,894,680.12) Equity, (File 333-184439 - Oct. 16) (BR. 01B) S-1 AZURE HOLDING GROUP CORP., 2360 CORPORATE CIRCLE - SUITE 400, HENDERSON, NV, 89074-7722, 7029973113 - 2,650,000 ($79,500.00) Equity, (File 333-184440 - Oct. 16) (BR. ) S-1 COIL TUBING TECHNOLOGY, INC., 19511 WIED RD., SUITE E, SPRING, TX, 77388, 2816510200 - 887,501 ($2,041,252.00) Equity, (File 333-184443 - Oct. 16) (BR. 04A) S-8 MALVERN BANCORP, INC., 42 EAST LANCASTER AVENUE, PAOLI, PA, 19301, 610-644-9400 - 100,000 ($1,075,000.00) Equity, (File 333-184445 - Oct. 16) (BR. 07) S-8 Franklin Credit Management Corp, 101 HUDSON STREET, 25TH FLOOR, JERSEY CITY, NJ, 07302, (201) 604-1800 - 1,500,000 ($390,000.00) Equity, (File 333-184449 - Oct. 16) (BR. 07) F-3ASR Ocean Rig UDW Inc., 10 SKOPA STREET, TRIBUNE HOUSE, 2ND FLOOR, OFFICE 202, NICOSIA, G4, CY 1075, 011 357 22767517 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184450 - Oct. 16) (BR. 04A) S-1 Lone Star Gold, Inc., 6565 AMERICAS PARKWAY NE, SUITE 200, ALBUQUERQUE, NM, 87110, (505) 563-5828 - 20,653,595 ($1,280,522.89) Equity, (File 333-184451 - Oct. 16) (BR. 09B) S-4 CITY HOLDING CO, 25 GATEWATER ROAD, P O BOX 7520, CHARLESTON, WV, 25313, 3047691100 - 0 ($4,495,843.00) Equity, (File 333-184452 - Oct. 16) (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 ----------------------------------------------------------------------------------------- ACORDA THERAPEUTICS INC 8.01,9.01 10/16/12 Advanced BioEnergy, LLC DE 1.01,7.01,9.01 10/15/12 AeroGrow International, Inc. NV 7.01,8.01,9.01 10/16/12 ALABAMA POWER CO AL 8.01,9.01 10/09/12 Aleris International, Inc. DE 8.01,9.01 10/16/12 Aleris International, Inc. DE 7.01,9.01 10/16/12 ALICO INC FL 8.01,9.01 09/06/12 Ally Master Owner Trust 1.01,8.01,9.01 10/11/12 AMERIGAS PARTNERS LP DE 2.02,7.01,9.01 10/16/12 AMERISERV FINANCIAL INC /PA/ PA 2.02 10/16/12 ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 10/16/12 Apollo Global Management LLC DE 7.01,9.01 10/15/12 APOLLO GROUP INC AZ 1.01,2.02,9.01 10/16/12 ARCA biopharma, Inc. DE 3.01 10/10/12 ARQULE INC DE 8.01,9.01 10/16/12 ARROGENE, INC DE 7.01,9.01 10/10/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 10/16/12 ASTRONICS CORP NY 8.01,9.01 10/15/12 BADGER METER INC WI 2.02,9.01 10/16/12 BANCFIRST CORP /OK/ OK 2.02,9.01 10/16/12 Bankrate, Inc. DE 2.02,9.01 10/15/12 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 10/16/12 Bidz.com, Inc. CA 8.01,9.01 10/16/12 BJs RESTAURANTS INC CA 8.01,9.01 10/16/12 Boardwalk Pipeline Partners, LP DE 7.01,9.01 10/15/12 Booz Allen Hamilton Holding Corp DE 8.01,9.01 10/16/12 BPZ RESOURCES, INC. TX 5.02,9.01 10/12/12 BreitBurn Energy Partners L.P. DE 8.01,9.01 10/11/12 Brekford Corp. DE 5.02,8.01 09/28/12 BROWN & BROWN INC FL 2.02 09/30/12 BWAY PARENT COMPANY, INC. DE 1.01,8.01,9.01 10/12/12 CABLEVISION SYSTEMS CORP /NY DE 1.01,1.02,2.03,9.01 10/12/12 CALLISTO PHARMACEUTICALS INC DE 1.01,9.01 10/15/12 CALLON PETROLEUM CO DE 1.01,2.03,7.01,9.01 10/11/12 CAPITAL ONE FINANCIAL CORP DE 5.02 10/16/12 CapLease, Inc. 1.01,2.03,9.01 10/12/12 CATHAY GENERAL BANCORP DE 2.02,9.01 10/16/12 Charlie GPS Inc NV 7.01 10/16/12 Cheniere Energy Partners, L.P. DE 7.01,9.01 10/16/12 Cheniere Energy Partners, L.P. DE 7.01,9.01 10/16/12 CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 10/15/12 CHINA BAK BATTERY INC NV 3.01 10/16/12 CITIGROUP INC DE 5.02,9.01 10/15/12 COCA COLA CO DE 2.02,9.01 10/16/12 COEUR D ALENE MINES CORP ID 8.01 10/12/12 COLE CORPORATE INCOME TRUST, INC. MD 9.01 07/31/12 AMEND COMMERCE BANCSHARES INC /MO/ MO 2.02,9.01 10/16/12 CONSOL Energy Inc DE 2.02,7.01,9.01 10/15/12 CORCEPT THERAPEUTICS INC DE 5.02,9.01 10/10/12 CorMedix Inc. DE 8.01 10/10/12 Coronus Solar Inc. A1 1.01,7.01,9.01 10/16/12 CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 10/11/12 CRANE CO /DE/ DE 5.02 10/15/12 CREE INC NC 2.02,9.01 10/16/12 CROWN CASTLE INTERNATIONAL CORP DE 1.01,2.03,9.01 10/15/12 CSX CORP VA 2.02,9.01 10/16/12 CYTODYN INC CO 2.03,3.02,5.02,8.01 10/10/12 DCB FINANCIAL CORP OH 7.01,9.01 10/12/12 DE Acquisition 2, Inc. 5.01,5.02,9.01 10/10/12 Deer Consumer Products, Inc. NV 3.01,5.02,9.01 10/10/12 Del Frisco's Restaurant Group, Inc. DE 2.02,9.01 10/16/12 DIEBOLD INC OH 2.02,9.01 10/16/12 DIRECT MARKETS HOLDINGS CORP. DE 8.01 10/15/12 Discover Financial Services DE 3.03,5.03,8.01,9.01 10/09/12 DOMINOS PIZZA INC 2.02,9.01 10/16/12 EASTMAN KODAK CO NJ 7.01,9.01 09/10/12 AMEND Edgen Group Inc. DE 8.01,9.01 10/05/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 8.01,9.01 10/16/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 7.01 10/16/12 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 10/16/12 ENZO BIOCHEM INC NY 2.02,7.01,9.01 10/15/12 EQUINIX INC DE 7.01,9.01 10/16/12 ERHC Energy Inc CO 8.01 10/16/12 ESSA Bancorp, Inc. PA 9.01 07/31/12 AMEND EXACT SCIENCES CORP DE 7.01 10/16/12 EXACT SCIENCES CORP DE 7.01 10/16/12 AMEND EXTREME NETWORKS INC DE 8.01 10/15/12 F5 NETWORKS INC WA 5.02,8.01,9.01 10/15/12 FARO TECHNOLOGIES INC FL 5.02,8.01,9.01 10/11/12 Federal Home Loan Bank of Atlanta X1 2.03 10/11/12 Federal Home Loan Bank of Boston X1 2.03 10/12/12 Federal Home Loan Bank of Chicago X1 2.02,7.01,9.01 10/16/12 Federal Home Loan Bank of Chicago X1 2.03 10/10/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/10/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/10/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/16/12 Federal Home Loan Bank of New York X1 2.03,9.01 10/10/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/10/12 Federal Home Loan Bank of San Francis X1 2.03 10/11/12 Federal Home Loan Bank of Seattle 2.03 10/11/12 Federal Home Loan Bank of Topeka 2.03,9.01 10/10/12 FERRO CORP OH 5.02 10/12/12 FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 10/16/12 FIRST SOUTH BANCORP INC /VA/ VA 5.02,9.01 10/15/12 FOREST CITY ENTERPRISES INC OH 1.01,3.02,9.01 10/16/12 FORRESTER RESEARCH INC DE 8.01,9.01 10/15/12 FORTINET INC 2.02,9.01 10/16/12 Fuelstream INC DE 3.02 10/16/12 FULTON FINANCIAL CORP PA 2.02,9.01 10/16/12 Fuse Science, Inc. NV 8.01 10/16/12 GAMETECH INTERNATIONAL INC DE 5.02,5.03,9.01 10/01/12 GAP INC DE 5.02,7.01,9.01 10/15/12 GATEWAY ENERGY CORP/NE DE 8.01 10/16/12 GELTOLOGY INC DE 1.01,2.01,3.02,4.01, 07/11/12 AMEND 5.01,5.02,5.06,9.01 GIGA TRONICS INC CA 2.02,9.01 09/15/12 GLOBAL CASINOS INC UT 1.01,3.02,9.01 10/11/12 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 10/16/12 GOOD TIMES RESTAURANTS INC NV 1.01,8.01,9.01 10/16/12 GRAINGER W W INC IL 2.02,9.01 10/16/12 Great Wolf Resorts, Inc. DE 5.02,9.01 10/16/12 Greenpro Resources Corp DE 5.01,5.02 10/16/12 Guar Global Ltd. NV 5.02 10/15/12 GULF RESOURCES, INC. DE 5.07 10/16/12 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 10/15/12 HCA Holdings, Inc. 2.02,7.01,9.01 10/16/12 HCP, INC. MD 1.01,2.02,7.01,9.01 10/16/12 HELEN OF TROY LTD 2.02,9.01 10/10/12 Hillenbrand, Inc. IN 1.01,7.01,8.01,9.01 10/16/12 HORIZON BANCORP /IN/ IN 8.01,9.01 10/16/12 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 10/15/12 INTEL CORP DE 2.02 10/16/12 Interactive Brokers Group, Inc. DE 2.02,8.01,9.01 10/16/12 INTERCEPT PHARMACEUTICALS INC DE 5.02,5.03,7.01,8.01, 10/16/12 9.01 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 10/16/12 Intrepid Potash, Inc. DE 2.02,7.01 10/16/12 INTUITIVE SURGICAL INC DE 2.02,9.01 10/16/12 Investors Bancorp Inc DE 2.01,9.01 10/15/12 IRONWOOD PHARMACEUTICALS INC 2.02,9.01 10/16/12 ISC8 INC. /DE DE 2.01,9.01 10/12/12 JDS UNIPHASE CORP /CA/ DE 2.01,8.01,9.01 10/12/12 JMG Exploration, Inc. NV 5.02 10/10/12 JOHNSON & JOHNSON NJ 2.02,9.01 10/16/12 KAISER ALUMINUM CORP DE 8.01,9.01 10/15/12 KITE REALTY GROUP TRUST MD 7.01 10/16/12 KROGER CO OH 7.01,9.01 10/16/12 KYTHERA BIOPHARMACEUTICALS INC DE 5.03,8.01,9.01 10/16/12 LAKELAND BANCORP INC NJ 2.02,8.01,9.01 10/16/12 LANDEC CORP \CA\ CA 5.03,5.07,9.01 10/11/12 Landmark Apartment Trust of America, 2.01,2.03,9.01 08/28/12 AMEND Lantheus Medical Imaging, Inc. DE 1.01,5.02,9.01 10/11/12 LAWSON PRODUCTS INC/NEW/DE/ DE 5.02,9.01 10/16/12 LAZARE KAPLAN INTERNATIONAL INC DE 2.02,8.01 10/16/12 LCNB CORP OH 2.02,8.01,9.01 09/30/12 Liberty Global, Inc. DE 2.03 10/12/12 LIBERTY SILVER CORP NV 1.01,2.01,3.02,8.01, 10/15/12 9.01 LODGENET INTERACTIVE CORP DE 1.01,2.03,7.01,9.01 10/15/12 LSB INDUSTRIES INC DE 2.02,9.01 10/11/12 MANHATTAN ASSOCIATES INC GA 2.02,9.01 10/16/12 MAP Pharmaceuticals, Inc. DE 8.01,9.01 10/16/12 MARKWEST ENERGY PARTNERS L P 7.01,9.01 10/16/12 MATTEL INC /DE/ DE 2.02,8.01,9.01 10/16/12 Maxray Optical Technology Co. Ltd. DE 5.02 10/12/12 Measurement Specialties Inc NJ 1.01,9.01 10/03/12 MERCANTILE BANK CORP MI 2.02,9.01 10/16/12 METTLER TOLEDO INTERNATIONAL INC/ DE 2.03,9.01 10/16/12 Mid-Con Energy Partners, LP DE 1.01,7.01,8.01,9.01 10/15/12 MURPHY OIL CORP /DE DE 8.01,9.01 10/16/12 NABI BIOPHARMACEUTICALS DE 8.01,9.01 10/16/12 NB&T FINANCIAL GROUP INC OH 2.02,7.01,9.01 10/16/12 Neenah Paper Inc DE 8.01,9.01 10/16/12 Neenah Paper Inc DE 1.01,2.03 10/11/12 NET TALK.COM, INC. FL 2.03,9.01 10/16/12 NETWORK CN INC DE 1.01 10/16/12 NEW FRONTIER MEDIA INC CO 5.02,9.01 10/10/12 NEW FRONTIER MEDIA INC CO 1.01,3.03,9.01 10/15/12 NEWMONT MINING CORP /DE/ DE 2.02,9.01 10/16/12 NEWS CORP 8.01,9.01 10/16/12 NEWS CORP 5.07 10/16/12 NORTHEAST COMMUNITY BANCORP INC X1 8.01,9.01 10/12/12 NORTHERN OIL & GAS, INC. 5.02 10/16/12 NORTHERN TRUST CORP DE 5.02,8.01,9.01 10/16/12 NORTHWEST INDIANA BANCORP IN 2.02,9.01 10/16/12 NovaBay Pharmaceuticals, Inc. CA 5.02 10/10/12 Nuance Communications, Inc. DE 1.01,8.01,9.01 10/15/12 OHIO VALLEY BANC CORP OH 8.01 10/16/12 OIL DRI CORP OF AMERICA DE 8.01,9.01 10/16/12 OMNICOM GROUP INC NY 2.02,9.01 10/16/12 OPTICAL CABLE CORP VA 8.01,9.01 10/15/12 ORTHOFIX INTERNATIONAL N V 5.02,7.01,9.01 10/10/12 Oxford Resource Partners LP 1.01 10/15/12 PACKAGING CORP OF AMERICA 2.02,9.01 10/15/12 PARK NATIONAL CORP /OH/ OH 2.02,7.01,8.01,9.01 10/16/12 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 10/15/12 Pernix Group, Inc. 2.01,9.01 06/30/12 PG&E Corp CA 8.01 10/16/12 PHARMA INVESTING NEWS, INC. NV 8.01 09/17/12 PHARMACYCLICS INC DE 7.01,9.01 10/15/12 PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 10/16/12 PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 10/16/12 Portus Holdings Inc. 1.01,9.01 10/12/12 POST DATA, INC. 3.02,5.02 10/11/12 POST DATA, INC. 3.02,5.01,5.02 10/11/12 AMEND PRINCIPAL FINANCIAL GROUP INC DE 7.01 10/16/12 PROTECTIVE LIFE CORP DE 8.01 10/10/12 Quad/Graphics, Inc. WI 1.01,9.01 10/10/12 Realogy Holdings Corp. DE 1.02,5.02,8.01,9.01 10/11/12 RENASANT CORP MS 2.02,9.01 10/16/12 RR Donnelley & Sons Co DE 1.01,1.02,2.03,9.01 10/15/12 Sabine Pass LNG, L.P. DE 7.01,9.01 10/16/12 Santo Mining Corp. NV 5.02,9.01 10/03/12 Seagate Technology plc L2 7.01 10/12/12 SED INTERNATIONAL HOLDINGS INC 2Q 5.02,9.01 10/15/12 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 8.01,9.01 10/16/12 SJW CORP CA 7.01 10/16/12 SKY PETROLEUM, INC. NV 1.01,7.01,9.01 10/11/12 SONIC CORP DE 2.02,9.01 10/16/12 Spectra Energy Corp. DE 8.01,9.01 10/16/12 SRA INTERNATIONAL, INC. VA 8.01 10/12/12 ST JOE CO FL 5.02 10/10/12 STANLEY FURNITURE CO INC. DE 2.02,9.01 10/16/12 STATE BANK FINANCIAL CORP GA 8.01,9.01 10/15/12 STATE STREET CORP MA 2.02,9.01 10/16/12 STERIS CORP OH 1.01,8.01,9.01 10/12/12 STRATEGIC INTERNET INVESTMENTS INC DE 1.01,1.02 10/14/12 SUNPOWER CORP DE 2.05 10/12/12 Swingplane Ventures, Inc. NV 1.01,9.01 10/15/12 SYNERGY PHARMACEUTICALS, INC. DE 1.01,9.01 10/15/12 SYNTHESIS ENERGY SYSTEMS INC DE 1.01,2.01,3.02,5.02, 10/10/12 7.01,9.01 SYNTHESIS ENERGY SYSTEMS INC DE 8.01 10/12/12 TeleNav, Inc. DE 8.01,9.01 10/10/12 TENET HEALTHCARE CORP NV 1.01,2.03,8.01,9.01 10/16/12 THERAGENICS CORP DE 1.01,2.03,9.01 10/10/12 THERAVANCE INC DE 8.01,9.01 10/16/12 THOR INDUSTRIES INC DE 5.02,9.01 10/12/12 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 10/16/12 TITAN PHARMACEUTICALS INC DE 8.01 10/13/12 Tongxin International, Ltd. D8 5.02 10/10/12 TORCH ENERGY ROYALTY TRUST DE 3.01,9.01 10/11/12 TRANSATLANTIC PETROLEUM LTD. D0 7.01,9.01 10/16/12 TransUnion Holding Company, Inc. DE 2.02,9.01 10/16/12 Triangle Petroleum Corp NV 7.01,9.01 10/16/12 TRIMAS CORP DE 1.01,2.03,7.01,9.01 10/11/12 TSIC, Inc. DE 7.01,9.01 10/15/12 TSR INC DE 8.01,9.01 10/16/12 UGI CORP /PA/ PA 2.02,7.01,9.01 10/16/12 UNIGENE LABORATORIES INC DE 8.01,9.01 10/16/12 UNITEDHEALTH GROUP INC MN 2.02,9.01 10/16/12 usell.com, Inc. DE 5.02 10/10/12 VERIFONE SYSTEMS, INC. DE 1.01,2.03,9.01 10/15/12 VICAL INC DE 5.02 10/15/12 VistaGen Therapeutics, Inc. NV 1.01,2.03,3.02,8.01, 10/10/12 9.01 VistaGen Therapeutics, Inc. NV 2.03 10/10/12 AMEND VITRAN CORP INC A6 1.01,7.01 10/10/12 WALTER INVESTMENT MANAGEMENT CORP MD 8.01,9.01 10/15/12 Warner Music Group Corp. DE 2.02,7.01,9.01 10/16/12 WESTERN ALLIANCE BANCORPORATION NV 8.01,9.01 10/16/12 WILLIAM LYON HOMES DE 3.02,5.02,5.07 10/10/12 WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 10/16/12 WOLVERINE WORLD WIDE INC /DE/ MI 5.02,5.03,9.01 10/10/12 Yellowwood Acquisition Corp DE 2.01,3.02,4.01,5.03, 06/12/12 AMEND 5.06,9.01 ZaZa Energy Corp DE 7.01,8.01,9.01 10/16/12 Zeltiq Aesthetics Inc DE 5.02 10/10/12 ZOOM TECHNOLOGIES INC DE 4.01,9.01 10/08/12 AMEND