Securities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on October 23, 2012, and terminating at 11:59 p.m. EST on November 5, 2012.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-68082)
SEC Adopts Standards for Risk Management and Operations of Clearing Agencies
On October 22, 2012, the Securities and Exchange Commission adopted a rule that establishes standards for how registered clearing agencies should manage their risks and run their operations.
Clearing agencies generally act as middlemen to the parties in a securities transaction. They play a critical role in the securities markets by ensuring that transactions settle on time and on the agreed-upon terms.
The rule was adopted in accordance with the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Dodd Frank Act provides the SEC with additional authority to establish standards for clearing agencies, including for those clearing agencies that clear security-based swaps.
“These new rules are designed to ensure that clearing agencies will be able to fulfill their responsibilities in the multi-trillion dollar derivatives market as well as more traditional securities markets,” said SEC Chairman Mary L. Schapiro. “They’re part of a broader effort to put in place an entirely new regulatory regime intended to mitigate systemic risks that emerged during the financial crisis.”
The new rule would require registered clearing agencies that provide central counterparty services to maintain certain standards with respect to risk management and operations. Among other things, the rules would set standards with respect to measurement and management of credit exposures, margin requirements, financial resources and margin model validation. The rule also establishes certain recordkeeping and financial disclosure requirements for all registered clearing agencies as well as several new operational standards for these entities.
The new rule 17Ad-22 will become effective 60 days after the date of publication in the Federal Register.
Change in the Meeting: Date and Time Change
The Closed Meeting scheduled for Tuesday, October 23, 2012 at 3:00 p.m., has been changed to Thursday, October 25, 2012 at 10:00 a.m.
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 Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68083; File No. 3-15073
SEC Charges Two in Michigan-based Fraudulent Securities Offering
The Securities and Exchange Commission today announced that it filed a civil injunctive action against brothers James Mulholland and Thomas Mulholland accusing them of conducting a fraudulent, unregistered offer and sale of approximately $2 million in securities.
The SEC’s complaint, filed in U.S. District Court in Detroit, alleges that the Mulhollands operated a real estate business which involved buying, maintaining, and renting residential real estate in Michigan. The SEC’s complaint alleges that to finance the real estate business, the Mulhollands raised money from individual investors residing in Michigan and Florida through the offer and sale of securities in the form of demand notes. Beginning in at least January 2009, however, the Mulhollands’ real estate business began to experience financial difficulties. The Mulhollands continued to raise money from investors and from January 2009 through January 2010, they raised approximately $2 million from approximately 75 investors. The Mulhollands told these investors that their real estate business was profitable, they would earn 7% per year on their investment, the returns would be generated by profits of the real estate business, and that the investors could get their money back upon 30 days’ written notice.
The SEC’s complaint alleges that the Mulhollands statements to investors were false and/or misleading. The real estate business was losing money during this period, needed new investor funds to pay its bills and to pay interest to previous investors, and did not have the means to refund investors’ principal within 30 days even if a small number of them asked for their money back. The Mulhollands concealed their perilous financial condition from investors. The Mulhollands never told investors that they were experiencing financial hardship, that they were having difficulty meeting financial obligations critical to the real estate operation, or that they were contemplating filing for bankruptcy.
The SEC’s complaint charges the Mulhollands with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC is seeking against the Mulhollands a permanent injunction, disgorgement of ill-gotten gains with prejudgment interest to be paid jointly and severally, and civil monetary penalties. [SEC v. James C. Mulholland, Jr. and Thomas S. Mulholland, Civil Action No. 12-cv-14663 (E.D. Mich.)] (LR-22518)
Neuberger Berman Alternative Funds, et al.
A notice has been issued giving interested persons until November 16, 2012, to request a hearing on an application filed by Neuberger Berman Alternative Funds, 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) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30236 - October 22)
Leg Mason ETF Trust, et al.
A notice has been issued giving interested persons until November 15, 2012, to request a hearing on an application filed by Leg Mason ETF Trust, et al., for an order to permit: (a) actively managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30237 - October 22)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to amend the definition of “Money Market Instrument” in the FINRA TRACE rules (SR-FINRA-2012-046) 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 22. (Rel. 34-68075)
A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to extend a TRACE pilot program (SR-FINRA-2012-047) 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 22. (Rel. 34-68076)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2012-07) to amend the Real-Time Transaction Reporting System information system and subscription service. Publication is expected in the Federal Register during the week of October 22. (Rel. 34-68081)
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.
F-7 Mountain Province Diamonds Inc., 161 BAY STREET, SUITE 2315, PO BOX 216, TORONTO, A6, M5J 2S1, 416-361-3562 - 13,452,593 ($48,064,594.00) Equity, (File 333-184521 - Oct. 22) (BR. 09A) S-8 BERRY PLASTICS GROUP INC, 101 OAKLEY STREET, PO BOX 959, EVANSVILLE, IN, 47710, 8124242904 - 0 ($246,106,825.69) Equity, (File 333-184522 - Oct. 22) (BR. 06A) F-3ASR SASOL LTD, 1 STURDEE AVE, ROSEBANK, JOHANNESBURG, T3, 2196, 01127114413111 - 0 ($0.00) Debt, (File 333-184526 - Oct. 22) (BR. 04A) S-1 Wishbone Pet Products Inc., 38TH STREET, NEW SEHAILE, BEIRUT, M8, 00000, 011-3-861-590 - 1,500,000 ($15,000.00) Equity, (File 333-184528 - Oct. 22) (BR. 05C) S-1 Wowio, Inc., 6310 SAN VICENTE BLVD., SUITE 240, LOS ANGELES, CA, 90048, (310) 807-8181 - 61,499,236 ($18,446,770.80) Equity, (File 333-184529 - Oct. 22) (BR. ) S-1 SUFFOLK BANCORP, 4 WEST SECOND ST, RIVERHEAD, NY, 11901, 631-208-2400 - 0 ($26,147,695.00) Equity, (File 333-184530 - Oct. 22) (BR. 07B) S-3 AMICUS THERAPEUTICS INC, 6 CEDAR BROOK DRIVE, CRANBURY, NJ, 08512, (609) 662-2000 - 0 ($18,552,865.00) Equity, (File 333-184531 - Oct. 22) (BR. 01B) S-3ASR STONE ENERGY CORP, 625 E KALISTE SALOOM RD, LAFAYETTE, LA, 70508, 3182370410 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184532 - Oct. 22) (BR. 04A) S-3 VIRTUSA CORP, 2000 WEST PARK DRIVE, WESTBOROUGH, MA, 01581, 508-389-7202 - 0 ($108,800,000.00) Unallocated (Universal) Shelf, (File 333-184533 - Oct. 22) (BR. 03A) S-3 ADCARE HEALTH SYSTEMS INC, 5057 TROY RD, SPRINGFEILD, OH, 45502, 937-964-8974 - 0 ($50,000,000.00) Other, (File 333-184534 - Oct. 22) (BR. 11A) S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 2,000,000 ($49,520,000.00) Equity, (File 333-184535 - Oct. 22) (BR. 03C) S-3 Customers Bancorp, Inc., 1015 PENN AVENUE, SUITE 103, WYOMISSING, PA, 19610, 484-359-7113 - 0 ($113,353,282.00) Equity, (File 333-184536 - Oct. 22) (BR. 07B) S-11 Orchid Island Capital, Inc., 3305 FLAMINGO DRIVE, VERO BEACH, FL, 32963, 772-23-1400 - 0 ($45,000,000.00) Equity, (File 333-184538 - Oct. 22) (BR. 08C) S-8 VIROPHARMA INC, 730 STOCKTON DRIVE, EXTON, PA, 19341, 6104587300 - 0 ($72,987,500.00) Equity, (File 333-184539 - Oct. 22) (BR. 01B) S-3 NAVARRE CORP /MN/, 7400 49TH AVE N, NEW HOPE, MN, 55428, 7635358333 - 0 ($1.00) Equity, (File 333-184540 - Oct. 22) (BR. 03A) S-8 Cryoport, Inc., 20382 BARENTS SEA CIRCLE, LAKE FOREST, CA, 92630, (619) 481-6800 - 0 ($570,000.00) Equity, (File 333-184543 - Oct. 22) (BR. 06C)
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 ----------------------------------------------------------------------------------------- Accenture plc L2 5.02,9.01 10/18/12 ACCENTURE SCA 5.02,9.01 10/18/12 ACL SEMICONDUCTORS INC 1.01,9.01 10/15/12 ACNB CORP PA 8.01,9.01 10/16/12 ADVANCE AUTO PARTS INC DE 2.02,9.01 10/22/12 AETNA INC /PA/ PA 1.01,8.01,9.01 10/17/12 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,9.01 10/16/12 AK STEEL HOLDING CORP DE 4.01 10/17/12 AMEND ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 8.01,9.01 06/04/12 AMEND ALEXANDERS INC DE 1.01,9.01 10/21/12 ALIGN TECHNOLOGY INC DE 2.02,9.01 10/22/12 Alliance Bancorp, Inc. of Pennsylvani PA 2.02,9.01 10/22/12 ALNYLAM PHARMACEUTICALS, INC. 1.01 10/18/12 Alphatec Holdings, Inc. DE 2.02,9.01 10/22/12 Alternative Energy Partners, Inc. FL 1.01,9.01 10/22/12 AMBASE CORP DE 8.01 10/22/12 AMBASE CORP DE 8.01 10/22/12 AMC Networks Inc. DE 1.01,9.01 10/21/12 AMERICAN APPAREL, INC DE 1.01,9.01 10/16/12 AMERICAN APPAREL, INC DE 7.01 10/22/12 AMERICAN INTERNATIONAL VENTURES INC / DE 5.02 10/18/12 AMERICAN NATIONAL INSURANCE CO /TX/ TX 2.02,9.01 10/22/12 AMERISERV FINANCIAL INC /PA/ PA 7.01 10/22/12 AMICUS THERAPEUTICS INC DE 8.01 10/22/12 ANALYSTS INTERNATIONAL CORP 2.02,9.01 10/22/12 Ancestry.com Inc. DE 1.01,8.01,9.01 10/21/12 ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 10/21/12 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 10/22/12 Aspect Software Group Holdings Ltd. DE 2.02,9.01 10/22/12 ASSURANT INC 8.01 10/22/12 ATHENAHEALTH INC DE 5.02 10/17/12 Augme Technologies, Inc. DE 5.02,7.01,9.01 10/12/12 Avalon Holding Group, Inc. NV 5.02 09/15/12 AVID TECHNOLOGY, INC. DE 2.02,9.01 10/22/12 AVISTA CORP WA 2.02,9.01 10/22/12 BALLY TECHNOLOGIES, INC. NV 5.03,8.01,9.01 10/16/12 Bancorp, Inc. 5.02 10/22/12 BANK OF HAWAII CORP DE 2.02,9.01 10/22/12 Bank of Marin Bancorp CA 2.02,8.01,9.01 10/18/12 BASIC ENERGY SERVICES INC 1.01,2.03,3.03,8.01, 10/16/12 9.01 BeesFree, Inc. NV 1.01,5.02,7.01,9.01 10/19/12 BERKLEY W R CORP DE 2.02,9.01 10/22/12 BERKSHIRE HILLS BANCORP INC DE 2.01,9.01 10/19/12 BIOCRYST PHARMACEUTICALS INC DE 1.01,8.01,9.01 10/22/12 BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 10/19/12 Black Ridge Oil & Gas, Inc. DE 5.02 10/17/12 BLACKBOX SEMICONDUCTOR, INC. NV 1.01,3.02,8.01,9.01 10/13/12 AMEND BLUEGREEN CORP MA 7.01,9.01 10/22/12 BONAMOUR PACIFIC INC NV 1.01,3.02,5.01,5.02, 10/16/12 9.01 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 8.01 10/22/12 BRANDYWINE REALTY TRUST MD 5.02 10/16/12 CAI International, Inc. 9.01 10/22/12 CAMBRIDGE HEART INC DE 1.01,2.03,3.02,8.01, 10/17/12 9.01 CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 10/22/12 CATERPILLAR INC DE 2.02,9.01 10/22/12 CEDAR REALTY TRUST, INC. MD 1.01 10/19/12 Celanese Corp DE 2.02,7.01,9.01 10/22/12 CHEMICAL FINANCIAL CORP MI 2.02,9.01 10/22/12 Cheniere Energy Partners, L.P. DE 8.01,9.01 10/22/12 China VantagePoint Acquisition Co 8.01 10/16/12 Chino Commercial Bancorp CA 2.02,9.01 10/22/12 CLEVELAND BIOLABS INC DE 1.01,8.01,9.01 10/18/12 COMARCO INC CA 5.07 10/18/12 COMPUTER TASK GROUP INC NY 2.02,9.01 10/22/12 CSX CORP VA 1.01,2.03,9.01 10/17/12 Customers Bancorp, Inc. PA 5.02 10/19/12 DAYSTAR TECHNOLOGIES INC DE 2.01,9.01 10/22/12 DCB FINANCIAL CORP OH 2.02,9.01 10/22/12 Discovery Energy Corp. NV 8.01 10/21/12 DISH Network CORP NV 1.01,8.01,9.01 10/21/12 DNB FINANCIAL CORP /PA/ PA 2.02,9.01 10/22/12 DOCUMENT SECURITY SYSTEMS INC NY 2.02,9.01 10/22/12 DOMINION RESOURCES INC /VA/ VA 2.05,2.06,7.01,9.01 10/22/12 DONEGAL GROUP INC DE 7.01,9.01 10/22/12 Duff & Phelps Corp DE 3.02,9.01 10/22/12 Eagle Bancorp Montana, Inc. 5.07 10/18/12 EFL OVERSEAS, INC. NV 2.01,3.02,9.01 10/17/12 ENVIRONMENTAL TECTONICS CORP PA 5.02,9.01 10/18/12 ENVIRONMENTAL TECTONICS CORP PA 5.07 10/18/12 EQUITY LIFESTYLE PROPERTIES INC MD 5.02 10/18/12 EXPLORE ANYWHERE HOLDING CORP NV 5.02 10/14/12 Federal Home Loan Bank of San Francis X1 5.02 10/16/12 FIDELITY SOUTHERN CORP GA 2.02,9.01 10/18/12 First Financial Northwest, Inc. WA 2.02,9.01 10/19/12 FIRST MARBLEHEAD CORP 7.01,9.01 10/22/12 FIRST MARBLEHEAD CORP 8.01,9.01 10/19/12 FIRSTFED FINANCIAL CORP DE 8.01,9.01 10/16/12 FNB CORP/FL/ FL 7.01,8.01,9.01 10/22/12 FORD MOTOR CO DE 8.01,9.01 10/22/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 10/22/12 FOREST CITY ENTERPRISES INC OH 7.01,9.01 10/22/12 FOREST CITY ENTERPRISES INC OH 3.02 10/19/12 FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 10/22/12 FULTON FINANCIAL CORP PA 1.01,5.02,9.01 10/22/12 FX ENERGY INC NV 8.01,9.01 10/22/12 G III APPAREL GROUP LTD /DE/ DE 2.01,9.01 08/06/12 AMEND GENCORP INC OH 1.01,9.01 10/16/12 GLOBALSCAPE INC DE 7.01,9.01 10/22/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/30/12 Graystone Co DE 8.01 10/22/12 Green Ballast, Inc. DE 1.01,2.03,9.01 10/22/12 GREENE COUNTY BANCORP INC DE 8.01,9.01 10/19/12 GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 10/19/12 GULFMARK OFFSHORE INC DE 5.02 10/16/12 HALCON RESOURCES CORP DE 1.01,3.02,7.01,8.01, 10/19/12 9.01 HALCON RESOURCES CORP DE 8.01,9.01 10/22/12 HARBINGER GROUP INC. DE 7.01 10/22/12 HASBRO INC RI 2.02,9.01 10/22/12 HCA Holdings, Inc. 1.01,2.03,9.01 10/16/12 HEALTHSTREAM INC TN 2.02,7.01,9.01 10/22/12 HEXCEL CORP /DE/ DE 2.02,7.01,8.01,9.01 10/22/12 INDEPENDENT BANK CORP MA 8.01,9.01 10/19/12 INDEPENDENT BANK CORP MA 8.01,9.01 10/19/12 INVENTURE FOODS, INC. DE 1.01,9.01 10/17/12 Investview, Inc. NV 8.01,9.01 10/19/12 IRONSTONE GROUP INC DE 4.01,9.01 10/18/12 JDS UNIPHASE CORP /CA/ DE 5.02 10/17/12 JOHNSON CONTROLS INC WI 2.05,8.01,9.01 10/22/12 KBS Legacy Partners Apartment REIT, I MD 1.01 10/22/12 KIMBALL INTERNATIONAL INC IN 5.07 10/22/12 KIT digital, Inc. DE 8.01 10/22/12 Lantheus Medical Imaging, Inc. DE 1.01,9.01 10/19/12 LANTRONIX INC DE 1.01,2.03,9.01 10/16/12 Lender Processing Services, Inc. DE 1.01,9.01 10/19/12 LENNOX INTERNATIONAL INC DE 2.02,7.01,9.01 10/22/12 LIBERTY SILVER CORP NV 8.01,9.01 10/19/12 LIGAND PHARMACEUTICALS INC DE 8.01,9.01 10/22/12 LMI AEROSPACE INC MO 1.01,5.02,9.01 10/16/12 Location Based Technologies, Inc. NV 8.01,9.01 10/17/12 Location Based Technologies, Inc. NV 8.01,9.01 10/22/12 MAGELLAN PETROLEUM CORP /DE/ DE 7.01,9.01 10/19/12 MAGNUM HUNTER RESOURCES CORP DE 4.02,9.01 10/19/12 MANITOWOC CO INC WI 1.01,2.03,9.01 10/19/12 MANNKIND CORP DE 8.01,9.01 09/12/12 AMEND MEDIVATION, INC. DE 8.01 10/22/12 MET PRO CORP PA 5.02,9.01 10/22/12 METALS USA HOLDINGS CORP. DE 2.02,9.01 10/22/12 METRO BANCORP, INC. 2.02,9.01 10/22/12 MFA FINANCIAL, INC. MD 5.02,9.01 10/19/12 MICROSTRATEGY INC DE 5.02 10/19/12 MORGAN GROUP HOLDING CO 5.02 10/22/12 MY CATALOGS ONLINE, INC. NV 8.01,9.01 10/18/12 Natural Grocers by Vitamin Cottage, I DE 5.02,9.01 10/17/12 NAVISTAR INTERNATIONAL CORP DE 1.01,3.03,8.01,9.01 10/19/12 NEW FRONTIER MEDIA INC CO 5.07,9.01 10/18/12 NEWS CORP 8.01,9.01 10/22/12 Nielsen Holdings N.V. P7 2.02,9.01 10/22/12 NORFOLK SOUTHERN CORP VA 1.01,9.01 10/22/12 NORTHEAST BANCORP /ME/ ME 8.01 10/22/12 Northwest Bancshares, Inc. MD 2.02,9.01 10/22/12 Orexigen Therapeutics, Inc. DE 8.01 10/22/12 OVERSEAS SHIPHOLDING GROUP INC DE 4.02 10/19/12 Owens Corning DE 8.01,9.01 10/22/12 PAPA JOHNS INTERNATIONAL INC DE 5.02 10/18/12 PEABODY ENERGY CORP DE 2.02,9.01 10/22/12 PENN VIRGINIA CORP VA 1.01,9.01 10/18/12 PEOPLES BANCORP OF NORTH CAROLINA INC NC 2.02,9.01 10/22/12 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 10/19/12 Piedmont Office Realty Trust, Inc. MD 8.01,9.01 10/22/12 Plata Resources, Inc. NV 4.01,9.01 10/18/12 Post Holdings, Inc. MO 2.02,7.01,9.01 10/22/12 Post Holdings, Inc. MO 1.01,2.03,8.01,9.01 10/19/12 Post Holdings, Inc. MO 7.01,9.01 10/22/12 Post Holdings, Inc. MO 8.01,9.01 10/22/12 POTLATCH CORP DE 2.02,9.01 10/22/12 POWERVERDE, INC. NV 1.01,5.02,9.01 10/16/12 POZEN INC /NC 5.02 10/19/12 PROSPECT GLOBAL RESOURCES INC. NV 1.02,9.01 10/18/12 PRUDENTIAL BANCORP INC OF PENNSYLVANI 5.02,9.01 10/17/12 REDFIN NETWORK, INC. NV 4.01,9.01 10/19/12 RESEARCH FRONTIERS INC DE 7.01,9.01 10/22/12 Rhino Resource Partners LP DE 7.01,9.01 10/22/12 RUSH ENTERPRISES INC \TX\ TX 2.02,9.01 10/22/12 SALIX PHARMACEUTICALS LTD 8.01,9.01 10/19/12 Santa Fe Gold CORP DE 1.01,9.01 10/19/12 SAUER ENERGY, INC. NV 9.01 10/19/12 SaveDaily Inc NV 4.01,9.01 10/17/12 SCRIPPS E W CO /DE OH 8.01,9.01 10/18/12 Scripps Networks Interactive, Inc. OH 8.01,9.01 10/18/12 SIERRA BANCORP CA 2.02,9.01 10/22/12 Silver Falcon Mining, Inc. DE 8.01 10/22/12 Silver Falcon Mining, Inc. DE 8.01 10/22/12 SIMMONS FIRST NATIONAL CORP AR 7.01,9.01 10/19/12 Skinny Nutritional Corp. NV 1.01,1.02,8.01,9.01 10/19/12 SLM Student Loan Trust 2005-5 8.01 10/22/12 SLM Student Loan Trust 2005-8 8.01 10/22/12 SLM Student Loan Trust 2005-9 DE 8.01 10/22/12 SOURCEFIRE INC DE 8.01,9.01 10/19/12 Soy Energy, LLC IA 8.01,9.01 10/22/12 SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 10/19/12 Spectrum Brands Holdings, Inc. DE 2.02,7.01,9.01 10/22/12 Spectrum Brands, Inc. DE 2.02,7.01,9.01 10/22/12 Spy Inc. DE 5.02 10/22/12 STANCORP FINANCIAL GROUP INC OR 2.02,9.01 10/22/12 STARRETT L S CO MA 5.07 10/22/12 Stereotaxis, Inc. DE 5.02,7.01,9.01 10/22/12 STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 10/22/12 STONE ENERGY CORP DE 1.01,2.02,2.03,7.01, 10/22/12 9.01 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.01,9.01 10/16/12 Stream Global Services, Inc. DE 2.02,9.01 10/22/12 Strike Axe, Inc DE 1.01,9.01 10/16/12 SUNTRUST BANKS INC GA 2.02,7.01,9.01 10/22/12 SUPERNUS PHARMACEUTICALS INC DE 5.02,8.01,9.01 10/19/12 Surge Global Energy, Inc. DE 1.01,3.02,5.01,5.02, 10/16/12 8.01,9.01 SWIFT TRANSPORTATION Co 2.02,9.01 10/22/12 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 10/22/12 T3 Motion, Inc. DE 1.01,9.01 10/17/12 TEREX CORP DE 5.02,9.01 10/19/12 TEXAS INSTRUMENTS INC DE 2.02,9.01 10/22/12 Tianli Agritech, Inc. D8 5.07 10/19/12 TMX Finance LLC DE 2.02,7.01 10/22/12 TOWER FINANCIAL CORP IN 9.01 10/22/12 Tower International, Inc. DE 5.02 10/19/12 TRESORO MINING CORP. NV 8.01,9.01 10/22/12 TRUSTCO BANK CORP N Y NY 2.02,9.01 10/22/12 TUESDAY MORNING CORP/DE DE 2.02,5.02,9.01 10/19/12 ULTRA CLEAN HOLDINGS INC DE 2.02,9.01 10/22/12 UNION FIRST MARKET BANKSHARES CORP VA 2.02,9.01 10/22/12 UNITED COMMUNITY BANKS INC GA 4.01,9.01 10/18/12 UNITED STATIONERS INC DE 5.02 10/16/12 UNITED STATIONERS INC DE 2.02,9.01 10/22/12 UNITEDHEALTH GROUP INC MN 8.01,9.01 10/17/12 UNWIRED PLANET, INC. DE 5.02 10/19/12 Urban Barns Foods Inc. 3.02,7.01,9.01 10/22/12 URSTADT BIDDLE PROPERTIES INC MD 1.01,3.03,5.03,8.01, 10/17/12 9.01 V F CORP PA 5.03,9.01 10/18/12 V F CORP PA 2.02,7.01,9.01 10/22/12 VEECO INSTRUMENTS INC DE 2.02,9.01 10/22/12 Viggle Inc. DE 8.01 10/16/12 VistaGen Therapeutics, Inc. NV 2.03,3.02 10/19/12 VLOV INC. NV 8.01,9.01 10/22/12 VOLTERRA SEMICONDUCTOR CORP 2.02,9.01 10/22/12 W&T OFFSHORE INC TX 1.01,8.01,9.01 10/17/12 W. P. Carey Inc. MD 1.01,8.01,9.01 10/19/12 WASHINGTON TRUST BANCORP INC RI 2.02,9.01 10/22/12 WASTE CONNECTIONS, INC. DE 2.02,7.01,9.01 10/22/12 WAVE SYSTEMS CORP DE 1.01,8.01,9.01 10/18/12 WESTERN DIGITAL CORP DE 2.02,9.01 10/22/12 WHITING PETROLEUM CORP DE 2.03,9.01 10/19/12 WSB Holdings Inc DE 2.02,9.01 10/19/12 WSI INDUSTRIES, INC. MN 2.02,5.02,8.01,9.01 10/17/12 YAHOO INC DE 2.02,9.01 10/22/12 YAHOO INC DE 2.03,9.01 10/19/12 Zalicus Inc. DE 3.01 10/22/12 ZaZa Energy Corp DE 1.01,2.03,3.02,8.01, 10/16/12 9.01 ZION OIL & GAS INC DE 1.01,9.01 10/22/12 ZIONS BANCORPORATION /UT/ UT 2.02,8.01,9.01 10/22/12