Change in the Meeting: Date Change
The Closed Meeting scheduled for Monday, December 3, 2012 at 2:00 p.m., has been changed to Tuesday, December 4, 2012 at 2:30 p.m.
Closed Meeting on Thursday, December 6, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting will be: an adjudicatory matter; institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Brazilian Ex-Banker to Pay $5.1 Million for Insider Trading in Burger King Stock
The Securities and Exchange Commission today announced insider trading charges against a Brazilian ex-banker for his role in a scheme to illegally trade Burger King securities. The SEC previously charged a Brazilian citizen working in the Miami office of Wells Fargo with tipping him the inside information.
The SEC alleges that Igor Cornelsen and his firm through which he made trades – Bainbridge Group – reaped illicit profits of more than $1.68 million by trading Burger King options based on confidential information ahead of the company’s September 2010 announcement that it was being acquired by a New York private equity firm. Cornelsen is now a resident of the Bahamas with a home in South Florida after holding high-ranking positions at several banks in Brazil before his retirement. He sought inside information from his broker Waldyr Da Silva Prado Neto by sending him e-mails with such masked references as, “Is the sandwich deal going to happen?” Prado was stealing the inside information from another Wells Fargo brokerage customer involved in the Burger King deal.
Cornelsen and Bainbridge Group agreed to pay more than $5.1 million to settle the SEC’s charges. The settlement is subject to court approval. The litigation continues against Prado, whose assets have been frozen by the court.
“Cornelsen shamelessly prodded Prado for details on ‘the sandwich deal’ and Prado happily obliged to satisfy his customer’s appetite for inside information,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit and Director of the Philadelphia Regional Office.
Sanjay Wadhwa, Deputy Chief of the Market Abuse Unit and Associate Director of the New York Regional Office, added, “Foreign investors who access the U.S. capital markets must play by the rules and not rig the market in their favor, otherwise they face getting caught by the SEC and paying a hefty price as Cornelsen is here.”
According to the SEC’s complaint filed today in federal court in Manhattan, Cornelsen became Prado’s customer in 2008. On May 17, 2010, Prado sent Cornelsen an e-mail written in Portuguese that translates to, “Igor, if you are around call me at the hotel … I have some info … You have to hear this.” Cornelsen called Prado at his hotel and they had a 10-minute conversation. Earlier that same day, Prado told a friend that he had knowledge of the impending Burger King deal. After talking with Prado, Cornelsen began trading out-of-the-money Burger King call options the very next day. Cornelsen had never previously traded Burger King securities.
The SEC alleges that Cornelsen continued trading Burger King options over that summer despite losing money in some instances. In August, Cornelsen sent Prado e-mails seeking assurances that ‘the sandwich deal’ was going to happen, and Prado responded with such statements as “Yes it’s going to happen” and “Everything is 100% under control.” Cornelsen then purchased additional Burger King call options. Cornelsen took steps to minimize his connection to Prado by purchasing the Burger King call options in accounts held at brokerage firms other than where Prado worked.
The SEC alleges that after the public announcement of the Burger King deal, Cornelsen e-mailed Prado to inquire about the acquisition price. Upon learning the new per share price that would yield him substantial illegal profits, Cornelsen e-mailed back, “Wow! What a day!”
The SEC’s complaint charges Cornelsen and Bainbridge Group with violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3. The proposed final judgment orders them to jointly and severally pay $1,681,090 in disgorgement and $136,620.96 in prejudgment interest. Cornelsen is ordered to pay a $3,362,180 penalty. They neither admit nor deny the SEC charges. The proposed final judgment also enjoins them from future violations of these provisions of the federal securities laws.
The SEC’s investigation, which is continuing, has been conducted by Market Abuse Unit members Megan Bergstrom, David Brown, and Diana Tani in the Los Angeles office with assistance from Charles D. Riely in the New York office. The SEC appreciates the assistance of the Comissão de Valores Mobliliários (Securities and Exchange Commission of Brazil), the Options Regulatory Surveillance Authority (ORSA), and the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2012-248)
In the Matter of Stephen P. Amella
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Stephen P. Amella. The Order finds that Amella acted as an unregistered broker, and solicited prospective investors to purchase interests in a purported real estate joint venture operated by Titan Investment Partners Corp. and, on September 25, 2012, a judgment was entered against Amella, permanently enjoining him from, among other things, future violations of Section 15(a) of the Exchange Act, in a civil action entitled SEC v. Amella, et al., Civil Action Number 1:11-CV-6849, in the United States District Court for the Northern District of Illinois. The Order further finds that the Complaint alleged that, without investigating the legitimacy of the purported real estate joint venture and the accuracy of his representations, Amella falsely informed investors that their funds would be used to purchase and develop real estate and that they would receive a guaranteed 10% monthly return on their investments.
Based on the above, the Order bars Amella from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and also bars him from participating in any offering of a penny stock. Amella 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. 34-68327; File No. 3-15113)
SEC v. John H. Pamplin, Jr.
On November 29, 2012, the Securities and Exchange Commission charged John H. Pamplin, Jr. of Nashville, Tennessee with insider trading in the securities of TurboChef Technologies, Inc. (“TurboChef”). According to the complaint, Pamplin was the Chief Information Officer for Atlanta-based TurboChef until March 2008, when TurboChef terminated him. Through his relationships with current and former TurboChef employees, Pamplin gained access to material nonpublic information regarding TurboChef’s pending acquisition by The Middleby Corporation of Elgin, Illinois. The SEC alleges that Pamplin repeatedly pressed several of his former coworkers for information on the progress of the proposed acquisition and, based on the information he learned, liquidated more than 6,000 shares of TurboChef common stock and used those proceeds and most of his liquid assets to buy more than $100,000 of out-of-the-money TurboChef call options with near term expirations. Pamplin’s options trading resulted in a profit of $68,000─six times the profit he would have earned had he merely held his TurboChef common shares─when the shares rose in the wake of the August 12, 2008 acquisition announcement.
The SEC’s complaint alleges that Pamplin violated Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act"), and Rule 10b-5 thereunder, which prohibit trading on the basis of material nonpublic information. The SEC is seeking permanent injunctive relief, disgorgement, prejudgment interest, and civil penalties. [SEC v. John H. Pamplin, Jr., Civil Action No. 1:12-CV-04136-JEC (U.S. District Court for the Northern District of Georgia)] (LR-22550)
SEC Obtains Final Judgments in Case Involving Ponzi Scheme and Promotion of China Voice Holding Corp.
The Commission today announced the entry of final judgments against Alex Dowlatshahi, Christopher Mills, and Robert Wilson, and their various entities. The Commission previously alleged that Dowlatshahi and Mills helped orchestrate a Ponzi scheme that benefited themselves, David Ronald Allen, and numerous companies affiliated with Allen, including China Voice Holding Corp. In addition, the Commission also alleged that Wilson conducted a blast fax campaign concerning China Voice, which was financed by two shareholders of China Voice at the same time that they sold millions of shares of the company.
The final judgments permanently enjoin Dowlatshahi and Mills from violating Section 10(b) of the Securities Exchange Act of 1934 and Sections 5 and 17(a) of the Securities Act of 1933. The final judgment also orders Dowlatshahi: (i) with his company, Lucrative Enterprises Corp., to pay disgorgement and prejudgment interest of $317,860, and a civil penalty of $150,227; (ii) with his company, Synergetic Solutions LLC, to pay disgorgement and prejudgment interest of $26,484, and a civil penalty of $12,045; (iii) with his company, Integrity Driven Network Corp., to pay a civil penalty of $50,000; and (iv) with his company, Darius Assets Holding Corp., to pay disgorgement and prejudgment interest of $322,962. The final judgment orders Mills: (i) to pay disgorgement and prejudgment interest of $2,405, and a civil penalty of $2,165; (ii) with his company, Sleeping Bear LLC, to pay disgorgement and prejudgment interest of $124,857, and a civil penalty of $116,219; and (iii) with his company, Silver Summit Holdings LLC, to pay disgorgement and prejudgment interest of $20,015, and a civil penalty of $18,025.
The final judgment against Wilson permanently enjoins him from violating Section 10(b) of the Exchange Act and Section 17(b) of the Securities Act. Wilson and his company, Strategic Capital, previously consented to the injunction to settle charges related to their role in conducting a blast fax campaign regarding China Voice Holding Corp. The final judgment orders Wilson and Strategic Capital to pay disgorgement and prejudgment interest of $764,886, and a civil penalty of $664,269. In addition, Wilson and his company, Green Horseshoe Holdings, Inc., were ordered to pay disgorgement and prejudgment interest of $73,067. The final judgment also permanently bars Wilson from participating in offerings of penny stocks. The final judgments were entered on November 26 and 29, 2012. [SEC v. David Ronald Allen, et al., Civil Action No. 3:11-CV-882-O (N.D. Tex.)] (LR-22551)
SEC Files Fraud Charges Against China North East Petroleum Holdings Limited; Its CEO, President and Former Chairman; Its Founder and Former Director; and Its Vice President and Secretary
The Securities and Exchange Commission today announced that, on November 29, 2012, the Commission filed fraud and other related charges against China North East Petroleum Holdings (CNEP); its CEO, President and former Chairman of the Board of Directors, Wang Hongjun (Wang); its founder, former director and Wang’s mother, Ju Guizhi (Ju); and its Vice President of Corporate Finance and Secretary, Jiang Chao. The Commission also named Wang’s wife, Sun Jishuang (Sun), and Jiang Chao’s father, Jiang Mingfu, as Relief Defendants to recover company monies that they improperly received.
The Commission alleges that CNEP, Wang, Ju and Jiang Chao diverted offering proceeds to the personal accounts of corporate insiders and their immediate family members, and also engaged in fraudulent conduct in connection with at least 176 undisclosed transactions between the company and its insiders or their immediate family members, otherwise known as related-party transactions.
The Commission alleges that CNEP, Wang, Ju and Jiang Chao violated the antifraud provisions of the securities laws, Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5. The Commission further alleges violations of reporting, recordkeeping and internal controls provisions of the securities laws, Sections 13(a), 13(b)(2)(A) & (B), and 13(b)(5) of the Securities Exchange Act and Rules 13a-1, 13a-11, 13a-13 and 13b2-1. The Commission is seeking: (i) permanent injunctive relief to prevent future violations of the federal securities laws, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties from each Defendant; (ii) officer and director bars against Wang, Ju and Jiang Chao; and (iii) disgorgement from the Relief Defendants, Sun and Jiang Mingfu, of improperly received funds. [SEC v. China North East Petroleum Holdings Limited, et al., Case No. 12-CV-8696 (U.S. District Court for the Southern District of New York)] (LR-22552)
SEC Charges Westport, Connecticut Resident With Insider Trading in the Shares of Patriot Capital Funding, Inc.
The Commission today charged a Connecticut-based business executive with insider trading ahead of the sale of Patriot Capital Funding Group based on nonpublic information he learned at the helm of a firm involved in the bidding process.
The SEC alleges that I. Joseph Massoud, who founded investment advisory firm Compass Group Management, gained access to nonpublic information contained in an online “dataroom” where bidding companies could learn more about Patriot Capital’s financial condition. For access to the data, Compass Group had to enter into a confidentiality agreement that prohibited its employees from buying Patriot Capital stock. Nonetheless, Massoud purchased shares soon after Compass Group gained access to the confidential information, and he bought even more stock after he learned that Compass Group’s bid was what he described as “waaaaay off” compared to bids from other companies. Patriot Capital’s share price more than doubled after a merger was publicly announced, and Massoud realized more than $676,000 in illegal profits.
According to the SEC’s complaint filed in federal court in Connecticut, Patriot Capital initiated a nonpublic bidding process in 2009 to entertain proposals for strategic investments and the possible sale of the company. In May 2009, Massoud directed Compass Group to execute a confidentiality agreement with Patriot Capital so it could participate in that process. After Compass Group was provided access to the online dataroom as part of the bidding process, a Compass Group analyst accessed the dataroom and provided various reports containing material, nonpublic information to Massoud.
The SEC alleges that Massoud also learned nonpublic information about the value of bids received by Patriot Capital from other parties involved in the bidding process. On July 7, 2009, Massoud e-mailed others working on the Patriot Capital transaction at Compass Group and indicated that he had just talked with Patriot Capital’s CEO. He wrote that Compass Group was “waaaaay off” on its bid to acquire Patriot Capital, which according to the CEO had received several acquisition bids that were much higher than Compass Group’s offer. Massoud also learned from the CEO that Compass Group would have to increase its bid to match those higher proposals if it wanted to be considered.
According to the SEC’s complaint, Massoud bought 322,216 shares of Patriot Capital stock in transactions spread across 15 different trading days from May to July. Massoud purchased more than half of those shares after July 7 when Patriot Capital’s CEO confidentially told him about other higher bids to acquire Patriot Capital. On August 3, 2009, Patriot Capital publicly announced a merger with Prospect Capital Corporation. On August 25, after Patriot Capital had been acquired and its stock price had increased significantly, Massoud sold all of his Patriot Capital stock.
The SEC alleges that Massoud violated Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder and that his profits constitute ill-gotten gains. Massoud agreed to pay disgorgement of $676,013, prejudgment interest of $80,785, and a penalty of $676,013. He agreed to be enjoined from violating Section 10(b) and Rule 10b-5 in the future, and he will be barred from serving as a public company officer or director and from being associated with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or national recognized statistical rating organization. He also will be barred from participating in any penny stock offering.
The SEC’s investigation was conducted by James Fay, Deena Bernstein, and Kevin Kelcourse in the Boston Regional Office. The SEC acknowledges the assistance of the Financial Industry Regulatory Authority (FINRA). [SEC v. I. Joseph Massoud, Civil Action No. 3:12-cv-01691 (D.C.T.)] (LR-22553)
Foreside Advisor Services, LLC, et al.
A notice has been issued giving interested persons until December 26, 2012 to request a hearing on an application filed by Foreside Advisor Services, LLC, et al., for an order to permit: (a) certain open-end management investment companies or series thereof 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 from 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-30284 - November 29)
William Blair & Company, L.L.C. and William Blair Funds
The Commission has issued a notice giving interested persons until December 20, 2012 to request a hearing on an application filed by William Blair & Company, L.L.C. (William Blair) and William Blair Funds for an order to permit certain registered open-end management investment companies or series thereof that are advised by William Blair to invest in a private investment vehicle established by William Blair to invest in China A Shares. (Rel. IC-30285 – November 29)
Immediate Effectiveness of Proposed Rule Changes
The Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2012-21) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to explicitly state that OCC may reject a request for withdrawal of margin or make an intra-day margin call in situations where a Clearing Member’s projected settlement obligations could exceed OCC’s available liquidity resources. Publication is expected in the Federal Register during the week of December 3. (Rel. 34-68308)
A proposed rule change filed by International Securities Exchange, to make available a new market data offering (SR-ISE-2012-75) 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 December 3. (Rel. 34-68314)
A proposed rule change submitted by National Stock Exchange, Inc. (SR-NSX-2012-22) to adopt a new order type called the Double Play Order 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 December 3. (Rel. 34-68317)
A proposed rule change filed by the International Securities Exchange, LLC Regarding the Short Term Option Series Program (SR-ISE-2012-90) 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 December 3. (Rel. 34-68318)
A proposed rule change filed by NYSE Arca, Inc. to permit ETP Holders to designate orders as Retail Orders by using a tag in the order entry message (SR-NYSEArca-2012-129) 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 December 3. (Rel. 34-68322)
Designation of Longer Period For Commission Action on Proposed Rule Changes
The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-CHX-2012-013) filed by the Chicago Stock Exchange, Inc. to adopt listing standards for compensation committees and advisors as required by Rule 10C-1. Publication is expected in the Federal Register during the week of December 3. (Rel. 34-68311)
The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-NSX-2012-015) filed by the National Stock Exchange, Inc. to adopt listing standards for compensation committees and advisors as required by Rule 10C-1. Publication is expected in the Federal Register during the week of December 3. (Rel. 34-68312)
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEArca-2012-109) filed by NYSE Arca, Inc. relating to the listing and trading of shares of the U.S. Equity High Volatility Put Write Index Fund under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of December 3. (Rel. 34-68319)
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEArca-2012-108), as modified by Amendment No. 1 thereto, filed by NYSE Arca, Inc. relating to the listing and trading of shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of December 3. (Rel. 34-68320)
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-4 Armada Oil, Inc., 1 GATEWAY CENTER, SUITE 2600, NEWARK, NJ, 07102, 800-676-1006 - 33,732,191 ($18,890,027.00) Equity, (File 333-185185 - Nov. 29) (BR. 04B) S-8 FEI CO, 5350 NE DAWSON CREEK DRIVE, HILLSBORO, OR, 97124, 503-726-7500 - 500,000 ($24,562,500.00) Equity, (File 333-185187 - Nov. 29) (BR. 10A) S-8 BOLT TECHNOLOGY CORP, FOUR DUKE PL, NORWALK, CT, 06854, 2038530700 - 750,000 ($10,582,500.00) Equity, (File 333-185190 - Nov. 29) (BR. 04B) N-2 GLADSTONE CAPITAL CORP, 1521 WESTBRANCH DRIVE, SUITE 200, MCLEAN, VA, 22102, 703-287-5800 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-185191 - Nov. 29) (BR. 17) S-3ASR SUNOCO LOGISTICS PARTNERS L.P., 1818 MARKET STREET, SUITE 1500, PHILADEPHIA, PA, 19103-3615, (215) 977-3000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185192 - Nov. 29) (BR. 04A) F-3 FRONTLINE LTD /, PO BOX HM 1593 MERCURY HOUSE, 101 FRONT STREET, HAMILTON HM GX BERMU, D0, 00000, 8092957259 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-185193 - Nov. 29) (BR. 05A) S-8 WESTERN DIGITAL CORP, 3355 MICHELSON DRIVE, SUITE 100, IRVINE, CA, 92612, 9499325000 - 21,201,975 ($670,410,000.00) Equity, (File 333-185194 - Nov. 29) (BR. 03C)
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 ----------------------------------------------------------------------------------------- ABERCROMBIE & FITCH CO /DE/ DE 8.01 11/21/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/29/12 ALTAIR NANOTECHNOLOGIES INC Z4 5.02,5.07 11/28/12 ALTERRA CAPITAL HOLDINGS Ltd 7.01,9.01 11/29/12 AMANASU TECHNO HOLDINGS CORP NV 4.02 12/31/10 AMANASU TECHNO HOLDINGS CORP NV 4.02 12/31/09 AMARIN CORP PLC\UK X0 8.01 11/29/12 AMAZON COM INC DE 8.01,9.01 11/26/12 AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 11/28/12 American Realty Funds Corp TN 4.01,7.01,8.01,9.01 11/24/12 American Reprographics CO DE 5.02 11/09/12 AMEND AMERICAN SOFTWARE INC GA 2.02,9.01 11/29/12 American Standard Energy Corp. DE 3.02,5.02,9.01 11/24/12 Andatee China Marine Fuel Services Co DE 5.02,9.01 11/23/12 APPIPHANY TECHNOLOGIES HOLDINGS CORP 1.01,9.01 11/27/12 APPLIED DNA SCIENCES INC DE 1.01,3.02,5.03,9.01 11/28/12 ARROW FINANCIAL CORP NY 8.01,9.01 11/28/12 ASSURED GUARANTY LTD D0 2.02,9.01 11/29/12 ATHENA SILVER CORP DE 1.01,7.01,9.01 11/28/12 Avago Technologies LTD U0 2.02,7.01,9.01 11/29/12 AXIM INTERNATIONAL INC. NV 1.01,9.01 11/26/12 BARNES & NOBLE INC DE 2.02,9.01 11/29/12 BEACON ROOFING SUPPLY INC DE 2.02,9.01 11/29/12 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 11/29/12 BERKSHIRE HILLS BANCORP INC DE 7.01,9.01 11/27/12 BIOTIME INC CA 7.01,9.01 11/29/12 BLUEFLY INC DE 5.02,9.01 11/28/12 BLYTH INC DE 5.02 11/28/12 C&J Energy Services, Inc. DE 7.01,9.01 11/28/12 CAMBREX CORP DE 5.02,9.01 11/29/12 Camelot Entertainment Group, Inc. DE 3.02 11/29/12 CANYON COPPER CORP. 5.02 11/29/12 CARLISLE COMPANIES INC DE 7.01,8.01,9.01 11/29/12 Centor Inc. NV 1.01,9.01 11/26/12 CENVEO, INC CO 8.01 11/29/12 CHASE CORP MA 7.01 11/27/12 CHINA BAK BATTERY INC NV 8.01,9.01 11/29/12 CHRISTOPHER & BANKS CORP DE 2.02,9.01 11/29/12 CHRISTOPHER & BANKS CORP DE 5.02,7.01,9.01 10/29/12 AMEND CIRCLE STAR ENERGY CORP. NV 7.01,9.01 11/29/12 CNO Financial Group, Inc. DE 7.01,9.01 11/29/12 COMMERCE GROUP CORP /WI/ 8.01 11/23/12 COSTCO WHOLESALE CORP /NEW WA 2.02,8.01,9.01 11/28/12 CRACKER BARREL OLD COUNTRY STORE, INC 2.02,9.01 11/29/12 CRAY INC WA 8.01 11/28/12 CreXus Investment Corp. MD 8.01,9.01 11/29/12 Crumbs Bake Shop, Inc. DE 5.02,8.01,9.01 11/28/12 CVS CAREMARK CORP DE 8.01,9.01 11/26/12 CYTOKINETICS INC 8.01 11/29/12 DAKTRONICS INC /SD/ SD 7.01,9.01 11/29/12 DigitalTown, Inc. MN 5.02 11/27/12 DOCUMENT CAPTURE TECHNOLOGIES, INC. 8.01,9.01 11/16/12 Duke Energy CORP DE 1.01,5.02,9.01 11/29/12 DYCOM INDUSTRIES INC FL 8.01,9.01 11/28/12 EASTMAN KODAK CO NJ 7.01,8.01,9.01 11/28/12 ELECTRO RENT CORP CA 1.01,2.03,8.01,9.01 11/29/12 Employers Holdings, Inc. NV 8.01,9.01 11/29/12 ENDEAVOUR INTERNATIONAL CORP NV 5.02 11/27/12 Energy Services of America CORP DE 9.01 11/29/12 EnerJex Resources, Inc. NV 1.01,9.01 11/27/12 ENTERGY NEW ORLEANS INC LA 8.01,9.01 11/29/12 EPOCH HOLDING CORP DE 5.07 11/28/12 EXCALIBUR INDUSTRIES UT 5.02 03/05/12 Facebook Inc 8.01 11/28/12 FARMER BROTHERS CO CA 5.02,9.01 11/29/12 Federal Home Loan Bank of Atlanta X1 2.03 11/27/12 Federal Home Loan Bank of Boston X1 2.03 11/26/12 Federal Home Loan Bank of Chicago X1 2.03 11/26/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/26/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/27/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/26/12 Federal Home Loan Bank of New York X1 2.03,9.01 11/26/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/26/12 Federal Home Loan Bank of San Francis X1 2.03 11/26/12 Federal Home Loan Bank of Topeka 2.03,9.01 11/27/12 FEEL GOLF CO INC CA 1.01,5.02,9.01 11/26/12 FEEL GOLF CO INC CA 1.01,5.02,9.01 11/26/12 AMEND First Clover Leaf Financial Corp. MD 8.01,9.01 11/27/12 FIRST FEDERAL BANCSHARES OF ARKANSAS AR 5.02 11/28/12 FISERV INC WI 5.02,9.01 11/28/12 FIVE BELOW, INC PA 2.02,9.01 11/29/12 FLORIDA GAMING CORP DE 1.01,9.01 11/25/12 FLUOR CORP DE 8.01 11/28/12 Frozen Food Gift Group, Inc DE 1.01 11/21/12 FTI CONSULTING INC MD 1.01,1.02,2.03,3.03, 11/27/12 7.01,8.01,9.01 GAP INC DE 7.01,9.01 11/29/12 GENSPERA INC DE 7.01,9.01 11/29/12 GLADSTONE CAPITAL CORP MD 5.02,7.01,9.01 11/27/12 AMEND GLADSTONE COMMERCIAL CORP MD 5.02,7.01,9.01 11/27/12 AMEND GLADSTONE INVESTMENT CORPORATION\DE DE 5.02,7.01,9.01 11/27/12 AMEND Global Geophysical Services Inc DE 5.02,5.05,9.01 11/29/12 GMX RESOURCES INC OK 5.07,8.01,9.01 11/29/12 Golub Capital BDC, Inc. DE 2.02,9.01 11/29/12 Golub Capital BDC, Inc. DE 2.02,9.01 11/29/12 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 11/28/12 GREIF INC DE 8.01,9.01 11/29/12 GS Mortgage Securities Trust 2012-GCJ DE 8.01,9.01 11/29/12 HEALTH DISCOVERY CORP 2Q 5.02,9.01 11/25/12 HECLA MINING CO/DE/ DE 1.04 11/28/12 Heron Lake BioEnergy, LLC MN 5.02 11/26/12 HOLLY ENERGY PARTNERS LP 7.01,9.01 11/29/12 Home Federal Bancorp, Inc. MD 8.01,9.01 11/29/12 HUNTINGTON BANCSHARES INC/MD MD 5.02,9.01 11/28/12 ILLUMINA INC DE 5.02 11/26/12 Innovaro, Inc. 1.01,9.01 10/22/12 INTERMUNE INC DE 8.01 11/29/12 INTREorg SYSTEMS INC. TX 5.02,9.01 10/17/12 IRELAND INC. NV 7.01,9.01 11/16/12 ISLE OF CAPRI CASINOS INC DE 2.02,9.01 11/29/12 J&J SNACK FOODS CORP NJ 8.01,9.01 11/29/12 JDA SOFTWARE GROUP INC DE 8.01,9.01 11/29/12 JONES LANG LASALLE INC MD 5.02,9.01 11/27/12 KBW, INC. 8.01,9.01 11/29/12 KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 11/27/12 KIMBALL INTERNATIONAL INC IN 1.01,9.01 11/26/12 KOHLS Corp WI 2.02,9.01 11/29/12 Kosmos Energy Ltd. D0 1.01,2.03 11/23/12 KROGER CO OH 2.02,7.01,9.01 11/29/12 Lake Shore Bancorp, Inc. X1 8.01,9.01 11/29/12 LIQUIDITY SERVICES INC DE 2.02,9.01 11/29/12 LOCAL Corp DE 7.01,9.01 11/29/12 Location Based Technologies, Inc. NV 7.01,9.01 11/29/12 Location Based Technologies, Inc. NV 1.01 11/28/12 AMEND LOCKHEED MARTIN CORP MD 8.01,9.01 11/29/12 LTX-CREDENCE CORP MA 2.02,9.01 11/29/12 MARTIN MIDSTREAM PARTNERS LP DE 8.01 11/29/12 MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 11/27/12 MENTOR GRAPHICS CORP OR 2.02 11/29/12 Merck & Co. Inc. NJ 5.02,9.01 11/26/12 MERITOR INC IN 8.01,9.01 11/29/12 METROPOLITAN HEALTH NETWORKS INC FL 8.01,9.01 11/28/12 MICROSOFT CORP WA 5.07 11/28/12 MID WISCONSIN FINANCIAL SERVICES INC WI 1.01,9.01 11/28/12 MITEL NETWORKS CORP 2.02,9.01 11/29/12 MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 11/29/12 MOTORCAR PARTS AMERICA INC NY 2.02,9.01 11/28/12 NAKED BRAND GROUP INC. NV 3.02 11/26/12 NASH FINCH CO DE 5.02 11/26/12 NATIONAL BEVERAGE CORP DE 8.01,9.01 11/23/12 NATIONAL PENN BANCSHARES INC PA 7.01,9.01 11/29/12 NEW JERSEY RESOURCES CORP NJ 2.02,7.01,9.01 11/29/12 NEWFIELD EXPLORATION CO /DE/ DE 7.01,9.01 11/28/12 NEWS CORP 8.01,9.01 11/29/12 NOBILITY HOMES INC FL 2.02,9.01 11/28/12 NORDSTROM INC WA 7.01,9.01 11/29/12 NORTHEAST BANCORP /ME/ ME 5.01,5.03,5.07,8.01, 09/30/12 9.01 NTELOS HOLDINGS CORP 7.01,9.01 11/29/12 NUPATHE INC. DE 1.01,2.03,9.01 11/26/12 AMEND NuStar Energy L.P. DE 7.01,9.01 11/29/12 NuStar GP Holdings, LLC DE 7.01,9.01 11/29/12 Nutrastar International Inc. NV 5.02,9.01 11/29/12 OMNICARE INC DE 1.01,8.01 11/29/12 OMNIVISION TECHNOLOGIES INC DE 2.02,5.02,9.01 11/29/12 OWENS & MINOR INC/VA/ VA 7.01,9.01 11/29/12 OWENS MORTGAGE INVESTMENT FUND A CALI CA 1.02 11/26/12 PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02,9.01 11/29/12 PALADIN REALTY INCOME PROPERTIES INC MD 8.01 11/27/12 PAYMENT DATA SYSTEMS INC NV 1.01,8.01,9.01 11/27/12 PEOPLES FINANCIAL CORP /MS/ MS 5.01 11/29/12 PIER 1 IMPORTS INC/DE DE 2.02,9.01 11/29/12 PINNACLE WEST CAPITAL CORP AZ 1.01,2.03 11/29/12 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 11/29/12 Poage Bankshares, Inc. MD 2.06 11/26/12 PREMIERE GLOBAL SERVICES, INC. GA 7.01,9.01 11/29/12 PRO DEX INC CO 8.01 11/29/12 PROVIDENT FINANCIAL HOLDINGS INC DE 5.02,5.07,9.01 11/27/12 PRUCO LIFE INSURANCE OF NEW JERSEY NJ 8.01,9.01 11/29/12 AMEND RALCORP HOLDINGS INC /MO MO 1.01,3.03,5.02,9.01 11/26/12 ReachLocal Inc 1.01,9.01 11/27/12 REGIS CORP MN 5.02,9.01 11/28/12 RigNet, Inc. DE 7.01,9.01 11/29/12 Ruby Creek Resources, Inc. NV 5.02,9.01 11/23/12 SADDLEBROOK RESORTS INC FL 2.03 09/30/12 SAFEGUARD SCIENTIFICS INC PA 5.02 11/26/12 SANDY SPRING BANCORP INC MD 4.01,9.01 11/26/12 Santander Holdings USA, Inc. VA 7.01,9.01 11/29/12 SCBT FINANCIAL CORP SC 8.01 11/28/12 SCHAWK INC 7.01 11/29/12 Seagate Technology plc L2 8.01,9.01 11/29/12 Sequoia Mortgage Trust 2012-6 8.01,9.01 11/28/12 Sequoia Mortgage Trust 2012-6 8.01,9.01 11/01/12 Shire plc 8.01,9.01 11/29/12 SHORE BANCSHARES INC MD 8.01,9.01 11/28/12 SMARTHEAT INC. NV 5.03,9.01 11/23/12 SOUTHWEST GEORGIA FINANCIAL CORP GA 8.01,9.01 11/29/12 SOUTHWESTERN ENERGY CO DE 8.01,9.01 11/29/12 SPLUNK INC DE 2.02,5.02,9.01 11/27/12 STEIN MART INC FL 7.01,9.01 11/27/12 SUNLINK HEALTH SYSTEMS INC OH 5.07 11/26/12 Sunshine Biopharma, Inc CO 8.01 11/28/12 SYCAMORE NETWORKS INC DE 2.02,8.01,9.01 11/27/12 Targeted Medical Pharma, Inc. 7.01,9.01 11/29/12 TECHE HOLDING CO LA 8.01,9.01 11/29/12 TENGION INC DE 5.03,5.07,9.01 11/26/12 THERAVANCE INC DE 7.01,9.01 11/29/12 TIDEWATER INC DE 8.01,9.01 11/27/12 TIFFANY & CO DE 2.02,9.01 11/29/12 TIFFANY & CO DE 9.01 11/29/12 AMEND TROY INC 1.01,5.01,5.02,5.03, 11/27/12 8.01,9.01 Ulta Salon, Cosmetics & Fragrance, In DE 2.02,9.01 11/29/12 UNIVEST CORP OF PENNSYLVANIA PA 5.02 11/28/12 USANA HEALTH SCIENCES INC UT 7.01 11/29/12 VERINT SYSTEMS INC DE 7.01,9.01 11/29/12 VERISIGN INC/CA DE 7.01,9.01 11/29/12 VIASPACE Inc. 1.01,3.02,9.01 11/27/12 VIEWCAST COM INC DE 5.07 11/28/12 Viggle Inc. DE 8.01,9.01 11/29/12 VILLAGE SUPER MARKET INC NJ 8.01,9.01 11/29/12 VMWARE, INC. DE 8.01,9.01 11/28/12 WALT DISNEY CO/ DE 8.01,9.01 11/27/12 WEBSENSE INC DE 1.01 11/28/12 WELLS FARGO & COMPANY/MN DE 5.02,9.01 11/27/12 WELLS FARGO & COMPANY/MN DE 9.01 11/29/12 WESCO INTERNATIONAL INC 8.01 11/29/12 WIDEPOINT CORP DE 5.02,9.01 11/27/12 WILSON BANK HOLDING CO TN 5.02,9.01 11/23/12 WISCONSIN PUBLIC SERVICE CORP WI 8.01,9.01 11/26/12 XUNNA INFORMATION TECHNOLOGY INC. NV 5.01 11/29/12 ZaZa Energy Corp DE 7.01,9.01 11/29/12 Zumiez Inc WA 2.02,9.01 11/29/12 ZYNGA INC DE 1.01 11/28/12