In the Matter of MedLink International, Inc.
The U.S. Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of MedLink International, Inc. (“MedLink”) of Hauppauge, New York, commencing at 9:30 a.m. EDT on October 24, 2012, and terminating at 11:59 p.m. EST on November 6, 2012.
The Commission temporarily suspended trading in the securities of MedLink because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning MedLink’s public filings and financial statements.
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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, it should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, it should refrain from entering quotations relating to MedLink’s securities until such time as it has become familiar with the rule and is certain that all of its provisions have been met. 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. (Rel. 34-68089)
Securities and Exchange Commission Suspends Trading in the Securities of Seven 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 24, 2012 and terminating at 11:59 p.m. EST on November 6, 2012.
The Commission temporarily suspended trading in the securities of these seven 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 Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-68092)
In the Matter of Candice D. Campbell
An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default (Default Order) in Candice D. Campbell, Admin. Proc. File No. 3-14997. On January 25, 2012, after being found guilty in a criminal proceeding, Candice D. Campbell (Campbell) was sentenced to fifty-one months in prison and ordered to pay restitution of $703,474.10. United States v. Campbell, 2:11-cr-20388 (E.D. Mich.). On August 28, 2012, in a civil case, Campbell was permanently enjoined from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act). SEC v. C.J.’s Financial and Candice Campbell, 2:10-cv-13083 (E.D. Mich.).
Based on the final judgments in the underlying civil and criminal cases, the Default Order permanently bars Campbell, pursuant to Section 203(f) of the Advisers Act, from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization. (Rel. IA-3491; File No. 3-14997)
In the Matter of Lyman J. Bruhn
On October 23, 2012, the 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 Lyman J. Bruhn (Bruhn). The Order finds that on September 20, 2012, the Commission filed a complaint against Bruhn in SEC v. Bruhn, et al. (Case Number 3:12-cv-01697-ST). On September 24, 2012, a final judgment was entered, enjoining Bruhn from future violations of Section10(b) of the Exchange Act and Rule 10b-5 thereunder, Section 17(a) of the Securities Act, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act and Rule 206(4)-8 thereunder. Bruhn, a resident of Vancouver, Washington, served as the sole principal to two unregistered investment advisers to various hedge funds formed by Bruhn. The Commission’s complaint alleges, among other things, that from 2002 to 2010, Bruhn employed a device, scheme, or artifice to defraud investors and/or potential investors in hedge funds he managed, including the Blue Chip Focus Fund. In doing so, Bruhn defrauded his hedge fund clients by misappropriating fund assets and engaging in a Ponzi scheme.
Based on the above, the Order bars Bruhn from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Bruhn consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. IA-3492; File No. 3-15074)
In the Matter of Jacques Nichols, Esq.
On October 23, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Jacques Nichols (Nichols). The Order finds that on September 20, 2012, the Commission filed a complaint against Nichols in SEC v. Nichols (Case Number 3:12-cv-01698-HZ). On September 26, 2012, a final judgment was entered, enjoining Nichols from aiding and abetting violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Nichols is a resident of Camas, Washington, and was an Oregon licensed attorney until January 2012. The complaint alleged that Nichols aided and abetted a Ponzi scheme involving various funds managed by Yusaf Jawed and his entities, Grifphon Asset Management, LLC and Grifphon Holdings, LLC. Nichols and others represented that third parties had promised to pay tens of millions of dollars to buy Grifphon fund assets. In actuality, the third parties were sham entities with no ability to pay anything for Grifphon’s alleged assets.
Based on the above, the Order suspends Nichols from appearing or practicing before the Commission as an attorney. Nichols consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-68087; File No. 3-15075)
Commission Revokes Registration of Securities of Gate to Wire Solutions, Inc. for Failure to Make Required Periodic Filings
On October 24, 2012, the Commission revoked the registration of each class of registered securities of Gate to Wire Solutions, Inc. (GWIR) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, GWIR consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Gate to Wire Solutions, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of GWIR’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against GWIR in In the Matter of Drucker, Inc., et al., Administrative Proceeding File No. 3-15027.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Drucker, Inc., et al., Administrative Proceeding File No. 3-15027, Exchange Act Release No. 67874 (September 18, 2012). (Rel. 34-68088; File No. 3-15027)
In the Matter of Enwin Resources, Inc.
An Administrative Law Judge issued an Order Making Findings and Revoking Registration by Default (Default Order) in Enwin Resources, Inc., Admin. Proc. 3-15028. The Default Order finds that Enwin Resources, Inc. (Enwin), an issuer of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), has failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the Administrative Law Judge revoked the registration of each class of registered securities of Enwin. (Rel. 34-68090; File No. 3-15028)
Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic Filings
In conjunction with these trading suspensions, 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 seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, 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 proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68091; File No. 3-15076)
In the Matter of Stormy L. Dean
On October 24, 2012, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (Order) against Stormy L. Dean. The Order finds that on May 29, 2012, the U.S. District Court for the District of Nebraska entered a final judgment against Dean, permanently enjoining him from future violations, direct or indirect, of Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), 13(b)(5), and 14(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-14, 13b2-1, 13b2-2, 14a-3, and 14a-9 thereunder. Securities and Exchange Commission v. Stormy L. Dean, et al., Civil Action Number 8:10-cv-00102-LSC-FG3. In the final judgment, the court declared that Dean “acted in bad faith toward shareholders of [Info], when committing the acts and omissions that led to this proceeding, and knew his actions were contrary to the interests of [Info] and its shareholders.”
The Commission’s complaint in the civil action alleged that Dean signed and certified Info’s false Forms 10-K and proxy statements that materially understated and failed to properly disclose the perquisite compensation of Vinod Gupta, Info’s former chief executive officer and Chairman of the Board of Directors, and failed to properly disclose related party transactions involving Gupta. The complaint alleged that for the years 2003 through 2007, Gupta used Info to pay for his personal expenses associated with private jet flights, a yacht, homes, automobiles, credit card expenses, country club memberships, and life insurance policies. As CFO, Dean approved Info’s payment of Gupta’s personal expenses and signed and certified Info’s false Forms 10-K for 2005 and 2006 which incorporated information from Info’s proxy statements. The complaint also alleged that Dean aided and abetted the filing of Info’s false Form 10-K for 2003 which incorporated information from Info’s proxy statements.
The Order states that a court of competent jurisdiction has found Dean to have violated the Federal securities laws and permanently enjoined him from violations of the Federal securities laws within the meaning of Rule 102(e)(3)(i)(A) and (B) of the Commission’s Rules of Practice. In view of these findings, the Order temporarily suspends Dean from appearing or practicing before the Commission. Dean has thirty days after service of the Order to file a petition with the Commission to lift the temporary suspension. If no petition is timely filed, the suspension shall become permanent. If a petition is timely filed, the Commission shall either lift the temporary suspension, or set the matter down for hearing at a time and place to be designated by the Commission, or both. (Rel. 34-68097; AAE Re. 3419; File No. 3-15077)
PowerShares Exchange-Traded Fund Trust, et al.
An order has been issued on an application filed by PowerShares Exchange-Traded Fund Trust, PowerShares Exchange-Traded Fund Trust II, PowerShares Actively Managed Exchange-Traded Fund Trust, and Invesco PowerShares Capital Management LLC 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 permits certain registered open-end management investment companies that operate as “funds of funds” 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-30238 – October 23)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-042), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, relating to post-trade transparency for agency pass-through mortgage-backed securities traded in specified pool transactions and SBA-backed asset-backed securities transactions. Publication is expected in the Federal Register during the week of October 22. (Rel. 34-68084)
The Commission granted approval of a proposed rule change (SR-CBOE-2012-066), as modified by Amendment No. 1 thereto, submitted by the Chicago Board Options Exchange, Incorporated pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to increase position and exercise limits for EEM options. Publication is expected in the Federal Register during the week of October 22. (Rel. 34-68086)
Proposed Rule Change
The NASDAQ Stock Market LLC, filed a proposed rule change (SR-NASDAQ-2012-119) under Section 19(b)(1) of the Securities Exchange Act of 1934 to Establish Fees for New Optional Wireless Connectivity for Co-located Clients. Publication is expected in the Federal Register during the week of October 22. (Rel. 34-68085)
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-8 Shutterstock, Inc., 60 BROAD STREET, 30TH FLOOR, NEW YORK, NY, 10004, 646-710-3410 - 0 ($39,240,000.00) Equity, (File 333-184544 - Oct. 23) (BR. 03C) S-1 SQN AIF IV, L.P., 110 WILLIAM STREET, 26TH FLOOR, NEW YORK, NY, 10038, 212-422-2166 - 200,000 ($200,000,000.00) Limited Partnership Interests, (File 333-184550 - Oct. 23) (BR. ) S-4 Starz, LLC, 8900 LIBERTY CIRCLE, ENGLEWOOD, CO, 80112, 720-852-5819 - 0 ($500,000,000.00) Debt, (File 333-184551 - Oct. 23) (BR. ) S-8 China Armco Metals, Inc., ONE WATERS PARK DRIVE, SUITE 98, SAN MATEO, CA, 94403, (650) 212-7620 - 4,000,000 ($1,320,000.00) Equity, (File 333-184552 - Oct. 23) (BR. 05B) F-3ASR Vale S.A., AVENIDA GRACA ARANHA #26, RIO DE JANEIRO, D5, 20005-900, 552138144540 - 0 ($0.00) Debt, (File 333-184553 - Oct. 23) (BR. 09B) S-8 PREMIER EXHIBITIONS, INC., 3340 PEACHTREE ROAD NE, SUITE 900, ATLANTA, GA, 30326, 404-842-2600 - 0 ($5,820,000.00) Equity, (File 333-184554 - Oct. 23) (BR. 05B) S-1 UNITED INSURANCE HOLDINGS CORP., 360 CENTRAL AVENUE, SUITE 900, SAINT PETERSBURG, FL, 33701, 727-895-7737 - 6,753,587 ($40,724,130.00) Equity, (File 333-184555 - Oct. 23) (BR. 01B) S-3 HAMPTON ROADS BANKSHARES INC, 999 WATERSIDE DR., STE. 200, NORFOLK, VA, 23510, 757-217-1000 - 138,668,812 ($183,042,831.84) Equity, (File 333-184557 - Oct. 23) (BR. 07C) S-8 NATIONAL GRID PLC, 1-3 STRAND, LONDON, X0, WC2N 5EH, (44) 207 004 3220 - 0 ($8,000,000.00) Other, (File 333-184558 - Oct. 23) (BR. 02B) F-10 Brookfield Residential Properties Inc., 4906 RICHARD RD. SW, CALGARY, A0, T3E 6L1, 403-231-8900 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-184559 - Oct. 23) (BR. 06A)
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 ----------------------------------------------------------------------------------------- 24HOLDINGS INC DE 4.01,9.01 10/22/12 3M CO DE 2.02,9.01 10/23/12 A123 SYSTEMS, INC. DE 3.01 10/16/12 ABAXIS INC CA 2.02,9.01 10/23/12 ABM INDUSTRIES INC /DE/ DE 5.02 08/06/12 AMEND ACCESS NATIONAL CORP VA 2.02,7.01,9.01 10/23/12 ACE Ltd V8 2.02,9.01 10/23/12 AEMETIS, INC NV 1.01,2.03,9.01 10/16/12 AFFIRMATIVE INSURANCE HOLDINGS INC DE 2.04 10/17/12 AFLAC INC GA 2.02,9.01 10/23/12 AGENUS INC DE 7.01,9.01 10/23/12 AGENUS INC DE 8.01,9.01 10/23/12 AMEND AIRGAS INC DE 2.02,8.01,9.01 10/23/12 AK STEEL HOLDING CORP DE 2.02,9.01 10/23/12 Alamo Energy Corp. NV 8.01 10/22/12 ALLIANCE FIBER OPTIC PRODUCTS INC CA 2.02,9.01 10/23/12 Ally Financial Inc. DE 8.01,9.01 10/23/12 ALTERA CORP DE 2.02,8.01,9.01 10/22/12 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 10/22/12 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,9.01 10/19/12 American Realty Capital Properties, I MD 8.01,9.01 10/23/12 AMERIGROUP CORP 5.07,8.01,9.01 10/23/12 AMETEK INC/ DE 2.02,9.01 10/23/12 AMETEK INC/ DE 8.01 10/23/12 AMGEN INC DE 2.02,9.01 10/23/12 AMPAL-AMERICAN ISRAEL CORP NY 3.01,9.01 10/23/12 AMSURG CORP TN 2.02,7.01,9.01 09/30/12 ANAREN INC NY 2.02,9.01 10/23/12 Andatee China Marine Fuel Services Co DE 4.01,9.01 10/18/12 ANIXTER INTERNATIONAL INC DE 2.02,9.01 10/23/12 ANNAPOLIS BANCORP INC MD 1.01,7.01,9.01 10/22/12 ANNAPOLIS BANCORP INC MD 1.01,9.01 10/22/12 AMEND AnythingIT, Inc. DE 4.01,9.01 10/22/12 Apollo Medical Holdings, Inc. DE 5.02,7.01,9.01 10/17/12 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 10/23/12 ARCA biopharma, Inc. DE 1.01,3.02,9.01 10/22/12 ARKANSAS BEST CORP /DE/ DE 8.01,9.01 10/23/12 ASBURY AUTOMOTIVE GROUP INC DE 2.02,9.01 10/23/12 AspenBio Pharma, Inc. CO 8.01 10/12/12 ATLANTIC CITY ELECTRIC CO NJ 8.01 10/23/12 AUTHENTIDATE HOLDING CORP DE 5.07 10/18/12 AUTOLIV INC DE 2.02,7.01,9.01 10/23/12 AVISTA CORP WA 2.05 10/22/12 AVISTA CORP WA 8.01 10/19/12 Bacterin International Holdings, Inc. DE 7.01,9.01 10/23/12 Bacterin International Holdings, Inc. DE 7.01,9.01 10/23/12 Bancorp, Inc. 2.02,9.01 10/23/12 BAR HARBOR BANKSHARES ME 8.01 10/23/12 BARD C R INC /NJ/ NJ 2.02,9.01 10/23/12 BBCN BANCORP INC DE 2.02,7.01,9.01 10/22/12 BE AEROSPACE INC DE 2.02,9.01 10/23/12 BFC FINANCIAL CORP FL 4.01,5.08,9.01 10/17/12 BG Medicine, Inc. DE 5.02,9.01 10/17/12 BIMINI CAPITAL MANAGEMENT, INC. MD 8.01 10/22/12 BIOTIME INC CA 7.01,9.01 10/23/12 BLUE SPHERE CORP. NV 1.01 10/23/12 BLUEGREEN CORP MA 4.01,5.08,9.01 10/17/12 Blueknight Energy Partners, L.P. DE 7.01,9.01 10/23/12 BOISE CASCADE HOLDINGS, L.L.C. DE 1.01,1.02,2.03,9.01 10/22/12 Bravo Brio Restaurant Group, Inc. OH 2.02,9.01 10/23/12 BRIDGE BANCORP INC NY 2.02,9.01 10/23/12 Bridge Capital Holdings CA 2.02,9.01 10/23/12 BROADCOM CORP CA 2.02,9.01 10/23/12 BUFFALO WILD WINGS INC MN 2.02,9.01 10/23/12 Buyrite Club Corp. 4.01,9.01 10/19/12 C H ROBINSON WORLDWIDE INC DE 2.02,9.01 10/23/12 CAI International, Inc. 1.01,2.01,2.03,9.01 10/18/12 CAI International, Inc. 2.02,9.01 10/22/12 AMEND CAPELLA EDUCATION CO 2.02,9.01 10/23/12 Capital Bank Financial Corp. DE 2.02,9.01 10/23/12 CAPITAL CITY BANK GROUP INC FL 2.02,9.01 09/30/12 CAPITAL SOUTHWEST CORP TX 2.02,9.01 10/23/12 CardioGenics Holdings Inc. NV 5.07 10/17/12 CARLISLE COMPANIES INC DE 2.02,9.01 10/23/12 CASCADE CORP OR 1.01,3.03,5.02,5.03, 10/21/12 8.01,9.01 CBL & ASSOCIATES PROPERTIES INC DE 9.01 10/23/12 CCA INDUSTRIES INC DE 8.01,9.01 10/22/12 CENTENE CORP 2.02,9.01 10/17/12 CHICAGO BRIDGE & IRON CO N V 2.02,9.01 10/23/12 CHURCHILL DOWNS INC KY 8.01,9.01 10/23/12 CIT GROUP INC DE 2.02,9.01 10/23/12 CITIZENS FINANCIAL SERVICES INC PA 2.02,9.01 10/23/12 Clarion Partners Property Trust Inc. MD 1.01,2.01,3.02,8.01, 10/17/12 9.01 CNB FINANCIAL CORP/PA PA 2.02,9.01 10/22/12 COACH INC MD 2.02,9.01 10/23/12 COMMERCE GROUP CORP /WI/ 8.01 10/19/12 CONCEPTUS INC DE 2.02,9.01 10/23/12 CORNERSTONE THERAPEUTICS INC DE 5.02,9.01 10/19/12 COVENTRY HEALTH CARE INC DE 1.01,5.02,9.01 10/17/12 CRANE CO /DE/ DE 2.02,8.01,9.01 10/22/12 Crumbs Bake Shop, Inc. DE 3.02 10/10/12 AMEND Cryoport, Inc. NV 5.02,5.03,9.01 10/22/12 CSB BANCORP INC /OH OH 2.02,9.01 10/23/12 CYBEX INTERNATIONAL INC NY 2.02,9.01 10/23/12 CYNOSURE INC 2.02,9.01 10/23/12 DAIS ANALYTIC CORP 1.01,9.01 10/17/12 DELTATHREE INC DE 5.02 10/23/12 DRIVETIME AUTOMOTIVE GROUP INC DE 8.01 10/22/12 DUPONT E I DE NEMOURS & CO DE 2.02,9.01 10/23/12 EAGLE BANCORP INC MD 2.02,9.01 10/22/12 Eagle Bancorp Montana, Inc. 2.02,9.01 10/23/12 EBAY INC DE 5.02 10/19/12 Ecolivegreen Corp FL 4.01,9.01 10/19/12 EMERSON ELECTRIC CO MO 7.01 10/23/12 ENDO HEALTH SOLUTIONS INC. DE 1.01,9.01 10/17/12 EP Energy LLC DE 7.01 10/23/12 EP Energy LLC DE 7.01,9.01 10/23/12 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 10/22/12 EXPRESS, INC. 5.02,9.01 10/14/12 AMEND FAB Universal Corp. CO 7.01,9.01 10/23/12 Facebook Inc 2.02,9.01 10/23/12 FARMERS & MERCHANTS BANCORP INC OH 5.02 09/09/12 Federal Home Loan Bank of Atlanta X1 2.03 10/17/12 Federal Home Loan Bank of Boston X1 2.03 10/17/12 Federal Home Loan Bank of Chicago X1 2.03 10/17/12 Federal Home Loan Bank of Chicago X1 2.02,9.01 10/23/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/17/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/18/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/23/12 Federal Home Loan Bank of New York X1 2.03,9.01 10/17/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/17/12 Federal Home Loan Bank of San Francis X1 2.03 10/17/12 Federal Home Loan Bank of Seattle 2.03 10/17/12 Federal Home Loan Bank of Topeka 2.03,9.01 10/17/12 Fifth & Pacific Companies, Inc. DE 8.01,9.01 10/23/12 Fifth Street Finance Corp DE 8.01,9.01 10/23/12 FINISAR CORP DE 1.02 10/17/12 FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 10/22/12 FIRST CAPITAL INC IN 2.02,9.01 10/18/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 8.01,9.01 10/23/12 FIRST DEFIANCE FINANCIAL CORP OH 2.02,9.01 10/22/12 FIRST INTERSTATE BANCSYSTEM INC MT 2.02,9.01 10/22/12 FIRST REGIONAL BANCORP CA 1.03,3.01,5.02 02/26/10 FIRSTBANK CORP MI 2.02,9.01 10/23/12 FIRSTBANK CORP MI 8.01,9.01 10/23/12 FIRSTFED FINANCIAL CORP DE 8.01,9.01 10/22/12 FIRSTMERIT CORP /OH/ OH 2.02,9.01 10/23/12 Flagstone Reinsurance Holdings, S.A. N4 8.01,9.01 10/23/12 FMC TECHNOLOGIES INC DE 2.02,9.01 10/23/12 FNB CORP/FL/ FL 2.02,7.01,8.01,9.01 10/22/12 FOCUS GOLD Corp 8.01,9.01 10/19/12 FOREST LABORATORIES INC DE 1.01,9.01 10/19/12 Fortune Brands Home & Security, Inc. DE 2.02,9.01 10/23/12 Fresh Harvest Products, Inc. NJ 1.01,1.02,2.01,3.03, 10/11/12 9.01 Fresh Harvest Products, Inc. NJ 5.02,9.01 10/04/12 AMEND Galaxy Gaming, Inc. 8.01,9.01 10/22/12 GALTECH SEMICONDUCTOR MATERIALS CO UT 5.02 09/04/12 GALTECH SEMICONDUCTOR MATERIALS CO UT 5.02 10/19/12 GALTECH SEMICONDUCTOR MATERIALS CO UT 5.02 10/19/12 GENTEX CORP MI 2.02,9.01 10/23/12 GEOGLOBAL RESOURCES INC. DE 7.01,8.01,9.01 10/18/12 GILEAD SCIENCES INC DE 2.02,9.01 10/23/12 GLOBECOMM SYSTEMS INC 8.01,9.01 10/23/12 GNC HOLDINGS, INC. DE 5.02,5.03,9.01 10/17/12 Green Innovations Ltd. 5.02,9.01 09/12/12 GUESS INC DE 8.01 10/23/12 GULFMARK OFFSHORE INC DE 7.01,9.01 10/22/12 GULFPORT ENERGY CORP DE 1.01,2.03,3.03,9.01 10/17/12 HALCON RESOURCES CORP DE 8.01,9.01 10/23/12 HANDY & HARMAN LTD. DE 1.01,9.01 10/17/12 Hanesbrands Inc. MD 2.02,7.01,9.01 10/23/12 HARLEY DAVIDSON INC WI 2.02,9.01 10/23/12 HARMONIC INC DE 2.02,9.01 10/23/12 HAWAIIAN HOLDINGS INC DE 2.02,9.01 10/23/12 HCA Holdings, Inc. 1.01,2.03,9.01 10/22/12 HEALTH MANAGEMENT ASSOCIATES, INC DE 2.02,9.01 10/22/12 Heelys, Inc. DE 1.01,8.01,9.01 10/20/12 HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 10/22/12 HERCULES OFFSHORE, INC. DE 7.01,9.01 10/23/12 Higher One Holdings, Inc. DE 9.01 08/07/12 AMEND HPC POS SYSTEM, CORP. NV 8.01 10/22/12 HUB GROUP INC DE 2.02,9.01 09/30/12 ICON ECI FUND FIFTEEN, L.P. DE 7.01,9.01 10/23/12 ICON Equipment & Corporate Infrastruc DE 7.01,9.01 10/23/12 ICON INCOME FUND NINE LLC 7.01,9.01 10/22/12 ICON INCOME FUND TEN LLC DE 7.01,9.01 10/23/12 ICON LEASING FUND ELEVEN, LLC DE 7.01,9.01 10/23/12 ICON LEASING FUND TWELVE, LLC DE 7.01,9.01 10/23/12 IDEX CORP /DE/ DE 2.02,8.01,9.01 10/22/12 II-VI INC PA 2.02,9.01 10/23/12 ILLINOIS TOOL WORKS INC DE 2.02,9.01 10/23/12 ILLUMINA INC DE 2.02,9.01 10/23/12 Industrial Income Trust Inc. MD 7.01,9.01 10/23/12 INNODATA INC DE 2.02,9.01 10/23/12 Innovaro, Inc. 3.01,9.01 10/19/12 InspireMD, Inc. DE 1.01,2.02,3.02,9.01 10/20/12 INTER PARFUMS INC DE 2.02 10/23/12 InvenSense Inc DE 2.02,9.01 10/23/12 InvenSense Inc DE 5.02,9.01 10/23/12 IROBOT CORP DE 2.02,5.02,9.01 10/19/12 Iron Eagle Group, Inc. DE 2.01,3.02,9.01 08/20/12 AMEND Iron Sands Corp. DE 5.02,9.01 10/19/12 JACOBS ENTERTAINMENT INC DE 8.01,9.01 10/22/12 JAKKS PACIFIC INC DE 8.01,9.01 10/23/12 John Bean Technologies CORP DE 2.02,9.01 10/22/12 JUNIPER NETWORKS INC DE 2.02,8.01,9.01 10/23/12 JUNIPER NETWORKS INC DE 5.02,8.01,9.01 10/17/12 KBS Strategic Opportunity REIT, Inc. MD 8.01,9.01 09/24/12 KBS Strategic Opportunity REIT, Inc. MD 8.01 10/23/12 KOPIN CORP DE 7.01,9.01 10/23/12 Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 10/23/12 LEXMARK INTERNATIONAL INC /KY/ DE 2.02,9.01 10/23/12 LIBERTY PROPERTY TRUST MD 2.02,9.01 10/23/12 LIME ENERGY CO. DE 1.01,2.03,3.02,9.01 10/22/12 Location Based Technologies, Inc. NV 7.01,9.01 10/19/12 LRI HOLDINGS, INC. 2.02,9.01 10/23/12 MAGELLAN GOLD Corp NV 3.02 10/17/12 MATTMAR MINERALS INC 4.01,9.01 10/22/12 MEADWESTVACO Corp DE 2.02,9.01 10/23/12 Medidata Solutions, Inc. DE 1.01,9.01 10/19/12 MERCURY COMPUTER SYSTEMS INC MA 2.02,9.01 10/23/12 MERIDIAN INTERSTATE BANCORP INC 2.02,9.01 10/23/12 METRO BANCORP, INC. 1.02,9.01 10/19/12 MFA FINANCIAL, INC. MD 5.02 10/19/12 AMEND MICROWAVE FILTER CO INC /NY/ NY 5.02 10/23/12 MIDDLESEX WATER CO NJ 8.01,9.01 10/23/12 MMRGlobal, Inc. DE 2.02,9.01 10/22/12 MOLEX INC DE 2.02,9.01 10/23/12 MOLINA HEALTHCARE INC DE 2.02,9.01 10/23/12 Mondelez International, Inc. VA 5.02,9.01 10/23/12 MONROE CAPITAL Corp MD 9.01 10/23/12 MUELLER INDUSTRIES INC DE 2.02,9.01 10/23/12 NABI BIOPHARMACEUTICALS DE 5.07 10/22/12 NETFLIX INC DE 2.02,9.01 10/23/12 NETWORK 1 SECURITY SOLUTIONS INC DE 8.01,9.01 10/18/12 NEWS CORP 8.01,9.01 10/23/12 NEWTOWN LANE MARKETING INC 4.01,9.01 10/22/12 NISSAN AUTO LEASING LLC II DE 8.01,9.01 10/17/12 NORFOLK SOUTHERN CORP VA 2.02,7.01,9.01 10/23/12 NORTHEAST BANCORP /ME/ ME 2.02,9.01 10/22/12 NOVAVAX INC DE 8.01,9.01 10/23/12 Nuance Communications, Inc. DE 2.03 10/22/12 NUPATHE INC. DE 5.02,5.03,7.01,8.01, 10/22/12 9.01 OCZ TECHNOLOGY GROUP INC DE 3.01,9.01 10/17/12 OLD POINT FINANCIAL CORP VA 2.02,9.01 10/23/12 OMEGA COMMERCIAL FINANCE CORP WY 1.01,9.01 10/16/12 OPENTABLE INC DE 5.02 10/19/12 ORCHARD SUPPLY HARDWARE STORES CORP DE 1.01,2.03,9.01 10/17/12 OSI SYSTEMS INC DE 2.02,9.01 10/23/12 OWENS & MINOR INC/VA/ VA 5.02,5.03,9.01 10/18/12 PANERA BREAD CO DE 2.02,7.01,9.01 10/23/12 PEOPLES BANCORP INC OH 2.02,9.01 10/23/12 PEOPLES BANCORP OF NORTH CAROLINA INC NC 5.02 10/18/12 PEPCO HOLDINGS INC DE 8.01 10/23/12 PERVASIVE SOFTWARE INC DE 2.02,9.01 10/23/12 PETMED EXPRESS INC FL 8.01,9.01 10/22/12 PLAINS EXPLORATION & PRODUCTION CO DE 8.01,9.01 10/22/12 PLX TECHNOLOGY INC DE 8.01 10/23/12 PMI GROUP INC DE 7.01,9.01 10/23/12 POLYCOM INC DE 2.02,9.01 10/23/12 POLYCOM INC DE 1.01,8.01 10/22/12 PRESSTEK INC /DE/ DE 8.01 10/22/12 Prologis, Inc. MD 2.02,7.01,9.01 10/23/12 Putnam Hills Corp. DE 5.02,9.01 10/19/12 QCR HOLDINGS INC DE 2.02,9.01 10/22/12 QUIDEL CORP /DE/ DE 2.02,9.01 10/23/12 RADIO ONE, INC. DE 5.02,9.01 10/22/12 RADIOSHACK CORP DE 2.02,9.01 09/30/12 RAIT Financial Trust MD 1.01,3.02,5.02,9.01 10/17/12 RAMCO GERSHENSON PROPERTIES TRUST MD 2.02,7.01,9.01 10/23/12 REALNETWORKS INC WA 5.07 10/18/12 REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 10/23/12 RELIABRAND INC. 7.01,9.01 10/22/12 RENT A CENTER INC DE 2.02,9.01 10/22/12 RESOURCES CONNECTION INC DE 5.07,8.01,9.01 10/18/12 REVA Medical, Inc. DE 7.01,9.01 10/23/12 REYNOLDS AMERICAN INC 2.02,9.01 10/23/12 RF MICRO DEVICES INC NC 2.02,9.01 10/23/12 RPM INTERNATIONAL INC/DE/ DE 1.01,8.01,9.01 10/18/12 Rx Technologies Corp. 4.01,9.01 10/19/12 RYDER SYSTEM INC FL 2.02,9.01 10/23/12 S&T BANCORP INC PA 2.02,8.01,9.01 10/22/12 SAFE DYNAMICS CORP 5.01,5.02,8.01 10/19/12 SALESFORCE COM INC DE 9.01 08/13/12 AMEND SANGUI BIOTECH INTERNATIONAL INC CO 8.01 10/23/12 SeaBright Holdings, Inc. DE 2.02,9.01 10/23/12 SEARS HOLDINGS CORP DE 8.01,9.01 10/22/12 Sensata Technologies Holding N.V. P7 2.02,9.01 10/23/12 Sensata Technologies Holding N.V. P7 1.01,2.05,9.01 10/17/12 SIGMA ALDRICH CORP DE 2.02,9.01 10/23/12 SIRIUS XM RADIO INC. DE 5.02,9.01 10/23/12 SMTP, Inc. DE 1.01,7.01,9.01 10/18/12 SOLAZYME INC DE 5.02 10/22/12 SOMERSET HILLS BANCORP NJ 2.02,9.01 10/18/12 AMEND SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 10/23/12 SOUPMAN, INC. DE 5.02 10/18/12 SOUTHERN FIRST BANCSHARES INC SC 2.02,9.01 10/23/12 STANDARD PARKING CORP DE 8.01 10/23/12 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.01,9.01 10/16/12 AMEND SUNGARD CAPITAL CORP DE 8.01,9.01 10/18/12 SUNRISE SENIOR LIVING INC DE 1.01,2.01,2.03,9.01 10/16/12 Super Micro Computer, Inc. CA 2.02,9.01 10/23/12 SUPERTEX INC CA 2.03,5.02,7.01,9.01 10/22/12 SYCAMORE NETWORKS INC DE 1.01,2.05,8.01,9.01 10/22/12 SYNOVUS FINANCIAL CORP GA 2.02,7.01,9.01 10/23/12 TARGET CORP MN 1.01,9.01 10/22/12 TECHNE CORP /MN/ MN 2.02,9.01 10/23/12 TECO ENERGY INC FL 1.01 10/17/12 TELEDYNE TECHNOLOGIES INC DE 1.01,2.03,9.01 10/22/12 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 10/23/12 THERAVANCE INC DE 7.01,9.01 10/23/12 TICC Capital Corp. MD 8.01,9.01 10/22/12 Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 10/23/12 TOTAL SYSTEM SERVICES INC GA 2.02,7.01,9.01 10/23/12 TransUnion Holding Company, Inc. DE 8.01,9.01 10/23/12 TransUnion Holding Company, Inc. DE 1.01,9.01 10/22/12 Trenton Acquisition Corp. DE 5.02,9.01 10/19/12 TRUSTMARK CORP MS 2.02,9.01 10/23/12 TUESDAY MORNING CORP/DE DE 5.02,9.01 10/18/12 TWIN DISC INC WI 2.02,5.07,7.01,8.01, 10/23/12 9.01 UMB FINANCIAL CORP MO 2.02,8.01,9.01 10/23/12 UNISYS CORP DE 2.02,9.01 10/23/12 UNITED TECHNOLOGIES CORP /DE/ DE 2.02,9.01 10/23/12 UNITED THERAPEUTICS Corp DE 7.01,9.01 10/23/12 UNWIRED PLANET, INC. DE 5.02,9.01 10/22/12 URANERZ ENERGY CORP. NV 7.01,9.01 10/23/12 URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 10/22/12 USANA HEALTH SCIENCES INC UT 2.02,9.01 10/23/12 VANGUARD HEALTH SYSTEMS INC DE 5.02 10/23/12 VIASPACE Inc. 1.01,3.02,9.01 10/23/12 VICOR CORP DE 2.02,9.01 10/23/12 VIRGIN MEDIA INC. DE 2.02,9.01 10/23/12 VISCOUNT SYSTEMS INC NV 3.02,3.03,5.03,8.01, 10/17/12 9.01 VISTA GOLD CORP B0 7.01,9.01 10/22/12 VMWARE, INC. DE 2.02,5.02,9.01 10/23/12 Vocus, Inc. DE 2.02,9.01 10/23/12 VOIS Inc. FL 1.01,2.01,3.02,4.01, 10/19/12 5.01,5.02,9.01 WALTER INVESTMENT MANAGEMENT CORP MD 1.01,1.02,8.01,9.01 10/23/12 Warner Music Group Corp. DE 8.01,9.01 10/22/12 WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 10/18/12 WASTE CONNECTIONS, INC. DE 7.01 10/23/12 WATERS CORP /DE/ DE 2.02,9.01 10/23/12 WEB.COM GROUP, INC. DE 7.01,9.01 10/23/12 WEBSENSE INC DE 2.02,9.01 10/23/12 WELLESLEY CAPITAL MANAGEMENT CORP. FL 4.01,9.01 10/19/12 Wellness Center USA, Inc. NV 1.01,2.01,3.02,5.01, 08/02/12 AMEND 5.06,9.01 WELLS FARGO & COMPANY/MN DE 9.01 10/23/12 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,7.01,9.01 10/23/12 WHIRLPOOL CORP /DE/ DE 2.02,9.01 10/23/12 WNC CALIFORNIA HOUSING TAX CREDITS II CA 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND II LP CA 1.01 10/19/12 WNC HOUSING TAX CREDIT FUND III L P CA 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND IV L P SE CA 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND IV L P SE CA 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND V LP SERI CA 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND VI LP SER 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND VI LP SER 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND VI LP SER CA 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND VI LP SER CA 4.01 10/19/12 WNC HOUSING TAX CREDIT FUND VI LP SER 4.01 10/19/12 XEROX CORP NY 2.02,9.01 10/23/12 XOMA Corp DE 8.01 10/23/12 YOU ON DEMAND HOLDINGS, INC. NV 1.01,7.01,9.01 10/19/12 YouChange Holdings Corp NV 1.01,2.01,3.02,5.01, 10/17/12 5.02,5.03,5.05,9.01 Your Event, Inc. NV 1.01,8.01,9.01 10/18/12 ZIX CORP TX 2.02,9.01 10/23/12