Trading and Markets Director Robert Cook to Leave SEC
The Securities and Exchange Commission today announced that Robert W. Cook, Director of the SEC’s Division of Trading and Markets, plans to leave the agency.
Since joining the SEC in January 2010, Mr. Cook has led the Division’s broad regulatory policy program that includes oversight of securities exchanges and markets, broker-dealers, clearing agencies, and the Financial Industry Regulatory Authority (FINRA). Mr. Cook has overseen the implementation of significant rulemaking and other responsibilities assigned to the Division under the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act.
“Robert provided extraordinary counsel and worked tirelessly as we put in place measures that have helped to bolster our markets,” said SEC Chairman Mary L. Schapiro. “With his deep experience across a range of issues, he has helped us lay the groundwork for an entirely new and comprehensive regulatory regime for derivatives.”
Mr. Cook said, “I am honored to have worked with my colleagues in the Division of Trading and Markets and others throughout the agency on so many different initiatives to improve our markets and protect investors. It has been a period of unprecedented productivity for the Division, and I am proud of the staff’s hard work and many accomplishments. I would like to thank Chairman Schapiro and the other Commissioners for the opportunity to serve them and the agency. It is an experience for which I will always be grateful.”
Mr. Cook, 47, oversaw several significant market structure initiatives including the adoption of enhanced risk controls for traders with access to the securities markets, large trader registration and reporting rules, and consolidated audit trail rules. He also directed the staff’s ongoing review of equity market structure and its analysis of the “Flash Crash” of May 6, 2010, as well as its work on various regulatory responses such as single-stock circuit breakers, more transparent clearly erroneous trade break rules, updated market-wide circuit breakers, and the limit-up/limit-down volatility moderation mechanism.
Mr. Cook also supervised more than 30 other major rulemaking initiatives and studies authorized or mandated by Dodd-Frank or the JOBS Act, including the development of a new regulatory regime for security-based swaps under Title VII of the Dodd-Frank Act. In addition, Mr. Cook oversaw various projects related to the Chairman’s work on the Financial Stability Oversight Council.
In order to support the increasing amount and complexity of the Division’s responsibilities, Mr. Cook helped to improve the Division’s organization and operations. As part of this effort, he oversaw a significant increase in the Division’s staff to approximately 250 attorneys, financial economists and analysts, accountants, and others. The Division also implemented enhanced procedures for the review of the more than 2,000 proposed rule changes and other filings received annually from self-regulatory organizations.
Mr. Cook will remain with the Commission for a transitional period in order to help ensure continuity in the Division’s functions.
Prior to arriving at the SEC, Mr. Cook was a partner at the law firm of Cleary Gottlieb Steen & Hamilton LLP. He earned a J.D. from Harvard Law School, an M.Sc. from the London School of Economics, and an A.B. from Harvard College. (Press Rel. 2012-253)
General Counsel Mark Cahn to Leave SEC
The Securities and Exchange Commission today announced that General Counsel Mark D. Cahn will leave the agency at the end of the year to return to the private sector.
Mr. Cahn has served as the SEC’s General Counsel since February 2011 and counseled the Commission on issues ranging from enforcement actions, rulemakings, other administrative proceedings, and appeals throughout the country and in the Supreme Court. Prior to becoming General Counsel, Mr. Cahn served as the SEC’s Deputy General Counsel for two years.
“Mark has always provided the Commission clear and thoughtful legal advice as we set out to better protect investors,” said SEC Chairman Mary L. Schapiro. “The Commission has benefited greatly from his careful guidance and his good judgment.”
“It has been a unique privilege to have worked at the Commission during such an extraordinary period of change in the financial and regulatory arena,” said Mr. Cahn. “I am particularly honored to have worked alongside Chairman Schapiro and the other Commissioners on so many important issues that affect investors every day, and I thank them for that opportunity.”
Mr. Cahn served as the SEC’s chief legal officer during a period of unprecedented enforcement and regulatory activity. He was deeply involved in developing the Commission’s rules to establish a Whistleblower Program. The General Counsel’s office also provided advice on every rulemaking release that came before the Commission, including rules proposed and adopted pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Mr. Cahn’s tenure as General Counsel and Deputy General Counsel coincided with a period of significant appellate activity. This included the successful defense of SEC enforcement actions in the Courts of Appeals and involvement as amicus in Supreme Court cases addressing a variety of issues, including mutual fund advisory fees (Jones v. Harris Associates), the statute of limitations in securities litigation (Merck & Co., Inc. v. Reynolds), and pleading and proof requirements in securities fraud actions (Matrixx Initiatives v. Siracusano and Erica P. John Fund v. Halliburton).
“The rewards of public service are many, but none as great as the opportunity to work with so many dedicated professionals,” Mr. Cahn added. “I want particularly to express my profound appreciation to the exceptional lawyers who served with me in the Office of the General Counsel. Every day I was the beneficiary of their extraordinary talents.”
Prior to joining the SEC in 2009, Mr. Cahn was a partner at the law firm of Wilmer Cutler Pickering Hale and Dorr LLP. Mr. Cahn began his legal career as law clerk to Judge Herbert J. Stern of the U.S. District Court for the District of New Jersey and to Judge John J. Gibbons, Chief Judge of the U.S. Court of Appeals for the Third Circuit. He graduated from Tufts University in 1983 and from Yale Law School in 1986. . (Press Rel. 2012-254)
SEC Charges 10 in Insider Trading Ring Around Investment Banker’s Illegal Tips on Impending Mergers
The Securities and Exchange Commission today charged an investment banker who was primarily based in Charlotte, N.C., and nine others involved in an insider trading ring that garnered more than $11 million in illicit profits trading on confidential information about impending mergers.
The SEC alleges that John W. Femenia misused his position at Wells Fargo Securities to obtain material, nonpublic information about four separate merger transactions involving firm clients. Upon learning inside information about an impending deal, Femenia’s first call to set the insider trading ring in motion was typically to his longtime friend Shawn C. Hegedus, who worked as a registered broker. Femenia and Hegedus illegally tipped other friends who in turn tipped more friends or family members in a ring that spread across five states.
The SEC has obtained a court order freezing the assets of the illegal traders.
“Here you have an investment banker who clearly knew better that inside information can’t form the basis of trading decisions,” said William P. Hicks, Associate Director for Enforcement in the SEC’s Atlanta Regional Office. “Instead he basically started a phone tree of nonpublic information to enrich friends and others.”
According to the SEC’s complaint filed in U.S. District Court for the Western District of North Carolina, Femenia was based in Wells Fargo’s Charlotte office when most of the misconduct occurred, but later moved and worked in New York where he currently resides. Femenia’s tippees included his friends Aaron M. Wens, who lives in Encinatas, Calif., and Matthew Musante, who lives in Miami. Musante tipped his father Anthony Musante, who lives in Melbourne, Fla. Hegedus tipped his girlfriend Danielle Laurenti and his business colleague Roger A. Williams, who lives in Georgetown, S.C. Williams tipped three of his friends: Frank M. Burgess, Jr. of Charlotte, James A. Hayes IV of Charlotte, and Kenneth M. Raby of Greer, S.C.
The SEC charged two companies with ties to Hegedus or Laurenti that were involved in the illegal trading: Coram Real Estate Holdings Inc. and GoldStar P.S. The SEC also charged two others as relief defendants for the purposes of recovering illicit profits that are now in their possession: Femenia’s girlfriend Kristine Lack and Anthony Musante’s wife Christine Musante.
According to the SEC’s complaint, the illegal trading occurred from July 2010 to July 2012 and involved the following transactions:
According to the SEC’s complaint, Femenia’s tips enabled profitable trades in the stock and options of the companies being acquired in the deals, and at least one trader provided a portion of his profits to Femenia in exchange for the information. Some downstream tippees also kicked back a portion of their profits.
The SEC’s complaint alleges that the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. At the SEC’s request, The Honorable Graham C. Mullen entered a temporary restraining order freezing the assets of the defendants and relief defendants. The court order also provides for expedited discovery and prohibits the defendants and relief defendants from destroying evidence.
The investigation was conducted in the SEC’s Atlanta Regional Office by Staff Attorney Monifa F. Wright under the supervision of Assistant Regional Director Matthew F. McNamara. Paul T. Kim and Pat Huddleston will lead the litigation.
The SEC appreciates the assistance of the U.S. Attorney’s Office for the Western District of North Carolina, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2012-255)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Changed E-Mail, Inc., Channel America Broadcasting, Inc., Charys Holding Co., Inc., Children’s Wonderland, Inc., County Seat Stores, Inc., CRCB Corp., Crowley Financial Services, Inc., Crystal Finance Holding Corp., and Cumberland Mountain Bancshares, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68355; File No. 3-15096)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Castle Hill Associates, Inc., Centurion Health Corp. (f/k/a Templemore Acquisition Corp.), CFO Advisory Group, Inc., Chromatics Color Sciences International, Inc., Creative Resources, Inc., Crown Financial Holdings, Inc. (f/k/a Crown Financial Group, Inc.), and Crown Jewel Resources Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Exchange Act Release No. 34-68356; File No. 3-15088)
Chicago Area Man Involved in “Prime Bank” Scheme Sanctioned
Anthony Fields, of the Chicago, Illinois, area, who also did business as Anthony Fields & Associates (AFA), an investment adviser, and as Platinum Securities Brokers (Platinum), an unregistered broker-dealer, has been sanctioned following a hearing before an administrative law judge. The law judge concluded that Fields violated the antifraud, registration, and other provisions of the securities laws. He was ordered to cease and desist from violations of the antifraud, registration, and other provisions of the securities laws and to pay a civil money penalty of $150,000. Additionally, Fields was barred from the securities industry and AFA’s registration as an investment adviser was revoked.
The law judge found that Fields attempted to broker transactions in fraudulent so-called “prime bank” instruments known as “bank guarantees” and “mid-term notes” through postings on the social media websites LinkedIn, TradeKey, and E-2/Commerce. Fraudulent so-called “prime bank” schemes involve a purported – in fact, nonexistent – secondary market for such esoteric “prime bank” instruments as standby letters of credit, bank guarantees, bank notes, and other formulations, purportedly associated with a major international bank. The schemes are typically shrouded in secrecy and unduly complex, with layers of unknown individuals, for no understandable reason. The materials often refer to “top 10” or “AAA” rated banks, and may reference products, such as Treasury bills, or institutions, such as the Federal Reserve, to gain credibility. They may refer to transactions that do not make economic sense, for example, offering a note purportedly issued by a major bank at 40% of its face value and bearing 7% interest.
Additionally, Fields made unambiguously false representations on AFA’s and Platinum’s websites and elsewhere concerning the entities’ non-existent assets under management, inventory of securities, and other matters. He also acted as an unregistered broker. (Initial Decision No. 474; File No. 3-14684)
Proposed Rule Change
The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-131) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of December 3. (Rel. 34-68351)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend its rule related to Multi-Class Broad-Based Index Option Spread Orders (SR-CBOE-2012-117) 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. 34-68350)
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 AAR CORP, 1100 N WOOD DALE RD, WOOD DALE, IL, 60191, 6302272000 - 0 ($175,000,000.00) Debt, (File 333-185250 - Dec. 4) (BR. 05A) S-4 PVH CORP. /DE/, 200 MADISON AVENUE, NEW YORK, NY, 10016, 2123813500 - 0 ($980,441,830.00) Equity, (File 333-185251 - Dec. 4) (BR. 09B) S-4 HUNTSMAN INTERNATIONAL LLC, 500 HUNTSMAN WAY, SALT LAKE CITY, UT, 84108, 8015845700 - 0 ($400,000,000.00) Debt, (File 333-185252 - Dec. 4) (BR. 06A) S-3ASR INTEL CORP, 2200 MISSION COLLEGE BLVD, RNB-4-151, SANTA CLARA, CA, 95054, 4087658080 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185253 - Dec. 4) (BR. 10A) S-4 BASIC ENERGY SERVICES INC, 801 CHERRY STREET, SUITE 2100, UNIT #21, FORT WORTH, TX, 76102, 817-334-4100 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-185256 - Dec. 4) (BR. 04B) S-8 M I HOMES INC, 3 EASTON OVAL STE 500, COLUMBUS, OH, 43219, 6144188000 - 900,000 ($17,515,836.20) Equity, (File 333-185257 - Dec. 4) (BR. 06B) S-8 M I HOMES INC, 3 EASTON OVAL STE 500, COLUMBUS, OH, 43219, 6144188000 - 50,000 ($1,103,000.00) Equity, (File 333-185258 - Dec. 4) (BR. 06B) S-3 Chase Auto Receivables LLC, C/O JPMORGAN CHASE BANK, NATIONAL ASSN, 900 STEWART AVENUE, GARDEN CITY, NY, 11530, 516-745-4520 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-185259 - Dec. 4) (BR. ) S-8 FARMERS NATIONAL BANC CORP /OH/, 20 S BROAD STREET, P O BOX 555, CANFIELD, OH, 44406, 3305333341 - 500,000 ($2,985,000.00) Equity, (File 333-185260 - Dec. 4) (BR. 07B) S-8 SONY CORP, 7-1, KONAN, 1-CHOME, MINATO-KU, TOKYO, M0, 108-0075, 0367482180 - 0 ($21,557,159.00) Equity, (File 333-185261 - Dec. 4) (BR. 11A) S-4 Calumet Specialty Products Partners, L.P., 2780 WATERFRONT, PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 - 0 ($275,000,000.00) Debt, (File 333-185262 - Dec. 4) (BR. 04B) S-1 PLAYERS NETWORK, 1771 E. FLAMINGO ROAD, SUITE # 201-A, LAS VEGAS, NV, 89119, 702-734-3457 - 14,500,000 ($1.00) Equity, (File 333-185263 - Dec. 4) (BR. 11C) S-8 Delek Logistics Partners, LP, 7102 COMMERCE WAY, BRENTWOOD, TN, 37027, (615) 771-6701 - 612,207 ($13,535,896.77) Equity, (File 333-185264 - Dec. 4) (BR. 04A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 4 KIDS ENTERTAINMENT INC NY 8.01,9.01 10/29/12 Acadia Healthcare Company, Inc. DE 8.01,9.01 12/04/12 ACE Ltd V8 7.01 12/04/12 AeroVironment Inc DE 2.02,9.01 12/04/12 AK STEEL HOLDING CORP DE 7.01,9.01 12/03/12 Alexander & Baldwin, Inc. HI 1.01,2.03 11/30/12 ALEXANDERS INC DE 2.01,7.01,9.01 11/28/12 ALIMERA SCIENCES INC DE 1.01,8.01,9.01 11/28/12 ALLIANCE BANKSHARES CORP 8.01,9.01 12/04/12 American Realty Capital Daily Net Ass MD 5.02,9.01 11/30/12 Ampio Pharmaceuticals, Inc. DE 5.02,9.01 11/28/12 ANIKA THERAPEUTICS INC MA 8.01,9.01 12/04/12 APACHE CORP DE 1.01,9.01 11/28/12 Apps Genius Corp NV 1.01,1.02,8.01,9.01 11/13/12 ARI NETWORK SERVICES INC /WI WI 1.01,2.01,2.03,3.02, 11/28/12 3.03,8.01,9.01 ARRAY BIOPHARMA INC DE 1.01 11/29/12 As Seen On TV, Inc. FL 1.01,3.02,9.01 11/28/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 12/04/12 ASHLAND INC. KY 7.01 12/04/12 ASIA PACIFIC BOILER Corp NV 5.02 11/30/12 AT&T INC. DE 8.01,9.01 12/04/12 Atlanticus Holdings Corp GA 8.01 11/30/12 ATLAS PIPELINE PARTNERS LP DE 1.01,3.02,7.01,9.01 11/30/12 Auto Home Lock, Inc. NV 5.07 11/28/12 AUTONATION, INC. DE 7.01,9.01 12/04/12 AUTOZONE INC NV 2.02,9.01 12/04/12 AVANIR PHARMACEUTICALS, INC. DE 8.01,9.01 12/03/12 AVISTA CORP WA 1.01,2.03,9.01 11/30/12 AXCELIS TECHNOLOGIES INC DE 1.01,7.01,9.01 12/03/12 AXT INC DE 5.02,9.01 12/04/12 BAXTER INTERNATIONAL INC DE 1.01,8.01,9.01 12/03/12 BBX CAPITAL CORP FL 8.01 12/04/12 BECTON DICKINSON & CO NJ 8.01 12/01/12 BEL FUSE INC /NJ NJ 1.01,8.01,9.01 12/04/12 BFC FINANCIAL CORP FL 8.01,9.01 11/28/12 BIOLASE, INC DE 7.01,9.01 12/04/12 BIOTIME INC CA 7.01,9.01 12/04/12 BNC BANCORP NC 2.01,5.02,8.01,9.01 11/30/12 BOISE INC. DE 5.02,9.01 12/04/12 BON TON STORES INC PA 8.01,9.01 12/04/12 Boomerang Systems, Inc. DE 7.01 12/04/12 Bridgeline Digital, Inc. DE 2.02,9.01 12/04/12 BRUNSWICK CORP DE 5.02,9.01 12/03/12 C H ROBINSON WORLDWIDE INC DE 5.02 11/30/12 Calumet Specialty Products Partners, DE 9.01 12/04/12 Calumet Specialty Products Partners, DE 9.01 10/01/12 AMEND CAMBRIDGE HEART INC DE 1.01,2.03,3.02,7.01, 11/30/12 8.01 CapLease, Inc. 8.01,9.01 11/30/12 CASELLA WASTE SYSTEMS INC DE 2.02,5.02,8.01,9.01 12/03/12 CASUAL MALE RETAIL GROUP INC DE 8.01,9.01 12/04/12 CASUAL MALE RETAIL GROUP INC DE 5.03,9.01 11/28/12 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 12/04/12 CD INTERNATIONAL ENTERPRISES, INC. FL 7.01,9.01 12/04/12 CDI CORP PA 1.01,2.03 11/30/12 CECO ENVIRONMENTAL CORP DE 8.01 11/30/12 CENTERLINE HOLDING CO DE 1.01,9.01 11/29/12 Cereplast Inc NV 1.01,2.03 11/27/12 Chanticleer Holdings, Inc. DE 7.01,9.01 12/04/12 CHINA FUND INC MD 7.01,9.01 10/31/12 ChinaNet Online Holdings, Inc. NV 8.01,9.01 11/30/12 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02,9.01 12/04/12 CITIGROUP INC DE 9.01 12/04/12 Cleantech Solutions International, In DE 1.01,3.02,7.01,9.01 11/28/12 CLECO CORP LA 7.01,9.01 12/04/12 CNH Capital LLC DE 7.01,9.01 12/04/12 CNS RESPONSE, INC. DE 1.01,2.03,3.02,5.02, 11/28/12 9.01 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02 12/03/12 CombiMatrix Corp DE 5.03,5.07,7.01,9.01 11/29/12 COMPUTER SCIENCES CORP NV 7.01,9.01 12/03/12 Cooper Industries plc 2.01,3.01,3.03,5.01, 11/30/12 5.03,9.01 COPYTELE INC DE 3.02,5.02,5.07 11/30/12 CoreSite Realty Corp MD 8.01 11/05/12 CREE INC NC 5.02 11/28/12 Crescent Financial Bancshares, Inc. 5.07 12/04/12 Crestwood Midstream Partners LP DE 7.01 12/04/12 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/29/12 CROSSTEX ENERGY INC DE 7.01 12/04/12 CROSSTEX ENERGY LP DE 7.01 12/04/12 CROWN CASTLE INTERNATIONAL CORP DE 2.01,9.01 11/30/12 Cytosorbents Corp 5.02,8.01,9.01 11/28/12 DARDEN RESTAURANTS INC FL 7.01,9.01 12/04/12 DEAN FOODS CO DE 1.01,8.01,9.01 12/02/12 DEERE & CO DE 7.01 12/04/12 Delek Logistics Partners, LP DE 7.01,9.01 12/04/12 Delek US Holdings, Inc. 7.01,9.01 12/04/12 DELTA AIR LINES INC /DE/ DE 7.01,9.01 12/04/12 Digimarc CORP OR 2.01,7.01,8.01,9.01 12/03/12 Discover Financial Services DE 5.03 12/03/12 DITECH NETWORKS INC DE 3.01,3.03,5.01,5.02, 12/03/12 5.03,5.07,9.01 DSW Inc. OH 8.01,9.01 12/04/12 DUMA ENERGY CORP NV 7.01,9.01 12/04/12 DYCOM INDUSTRIES INC FL 2.01,9.01 12/03/12 EATON CORP OH 1.01,2.01,2.03,3.01, 11/30/12 3.03,5.01,5.03,9.01 EchoStar CORP NV 5.02,9.01 12/03/12 Eco-Trade Corp. DE 1.01 12/03/12 ECOTALITY, INC. NV 5.07 11/28/12 ELECTRONIC CONTROL SECURITY INC NJ 1.01,2.03,9.01 11/29/12 Emergency Medical Services CORP DE 2.02,7.01,9.01 12/04/12 ENDEAVOUR INTERNATIONAL CORP NV 1.01,9.01 11/29/12 AMEND ENDOLOGIX INC /DE/ DE 5.02 12/04/12 Energy Telecom, Inc. FL 7.01,9.01 12/04/12 Entergy Louisiana, LLC TX 8.01,9.01 12/04/12 Entergy Louisiana, LLC TX 9.01 12/04/12 AMEND ENVIVIO INC DE 2.02,5.02,9.01 11/28/12 ERF Wireless, Inc. NV 5.02,9.01 10/04/12 ESPEY MFG & ELECTRONICS CORP NY 5.07,8.01,9.01 11/30/12 EverBank Financial Corp DE 7.01,9.01 12/04/12 EVEREST RE GROUP LTD D0 5.02,9.01 09/13/12 ExamWorks Group, Inc. DE 7.01,9.01 12/04/12 EXXON MOBIL CORP NJ 5.02,9.01 11/28/12 EZCORP INC DE 4.01,9.01 11/29/12 Federal Home Loan Bank of Atlanta X1 2.03 11/28/12 Federal Home Loan Bank of Boston X1 2.03 11/28/12 Federal Home Loan Bank of Chicago X1 2.03 11/28/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/28/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/29/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/28/12 Federal Home Loan Bank of New York X1 2.03,9.01 11/29/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/28/12 Federal Home Loan Bank of Topeka 2.03,9.01 11/28/12 FEMALE HEALTH CO WI 2.02,9.01 12/04/12 Fifth Street Finance Corp DE 1.01,2.03,9.01 11/30/12 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 12/04/12 First Liberty Power Corp NV 5.02 12/01/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 12/04/12 FOCUS GOLD Corp 3.03,5.02,9.01 11/29/12 FSP PHOENIX TOWER CORP 7.01,9.01 12/04/12 Fuelstream INC DE 5.02 11/30/12 FuLuCai Productions Ltd. NV 1.01,1.02,5.02 06/29/12 Galena Biopharma, Inc. 1.01,8.01,9.01 12/04/12 Genesis Biopharma, Inc NV 5.02 11/28/12 GENWORTH FINANCIAL INC DE 8.01,9.01 12/03/12 Gold & Gemstone Mining Inc. NV 1.01 12/03/12 Gold & Gemstone Mining Inc. NV 2.01,5.01,5.02,5.06, 05/04/12 AMEND 9.01 GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 12/04/12 GREIF INC DE 5.04 12/04/12 HALCON RESOURCES CORP DE 5.03,9.01 11/30/12 HALLADOR ENERGY CO CO 8.01 11/29/12 HELMERICH & PAYNE INC DE 8.01,9.01 12/04/12 HERITAGE OAKS BANCORP CA 5.02,9.01 12/04/12 HINES REAL ESTATE INVESTMENT TRUST IN 7.01,9.01 12/04/12 HOLLY ENERGY PARTNERS LP 7.01,9.01 12/04/12 Home Federal Bancorp, Inc. of Louisia LA 7.01,9.01 12/04/12 HOOKER FURNITURE CORP VA 2.02,9.01 12/03/12 HOOKER FURNITURE CORP VA 7.01,9.01 12/04/12 HYPERION THERAPEUTICS INC DE 1.01,9.01 11/30/12 IAC/INTERACTIVECORP DE 9.01 09/24/12 AMEND IndiePub Entertainment, Inc. DE 1.01,2.03 11/28/12 InspireMD, Inc. DE 8.01,9.01 12/04/12 INTEL CORP DE 8.01 12/04/12 INTEL CORP DE 7.01,9.01 12/04/12 INTERLINE BRANDS, INC./DE DE 5.02,9.01 12/04/12 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01 12/04/12 Intrepid Potash, Inc. DE 8.01,9.01 12/04/12 INUVO, INC. NV 3.01,7.01,9.01 11/30/12 INVESTMENT TECHNOLOGY GROUP INC DE 2.05,5.02,9.01 11/30/12 IROBOT CORP DE 2.01,9.01 10/01/12 AMEND ISLE OF CAPRI CASINOS INC DE 2.01,9.01 11/29/12 Jones Lang LaSalle Income Property Tr MD 8.01,9.01 12/04/12 JPMORGAN CHASE & CO DE 7.01,9.01 12/04/12 JPMORGAN CHASE & CO DE 7.01,9.01 12/04/12 JTH Holding, Inc. DE 2.02,9.01 12/04/12 KAR Auction Services, Inc. DE 8.01,9.01 12/04/12 KEMET CORP DE 7.01,9.01 12/04/12 KENEXA CORP 2.01,3.01,3.03,5.01, 12/03/12 5.07,9.01 KILROY REALTY CORP MD 1.01,9.01 11/28/12 Liberty Global, Inc. DE 7.01 12/03/12 Liberty Global, Inc. DE 2.03 11/21/12 AMEND LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 12/03/12 LIGAND PHARMACEUTICALS INC DE 7.01,9.01 12/04/12 LINDSAY CORP DE 5.02,9.01 11/29/12 LIVEWIRE ERGOGENICS INC. 3.03,9.01 12/04/12 Lone Star Gold, Inc. NV 1.01 11/26/12 LOOKSMART LTD DE 3.01 11/29/12 LRAD Corp DE 5.02 11/29/12 LRR Energy, L.P. DE 7.01,9.01 11/28/12 LUCAS ENERGY, INC. NV 7.01,9.01 12/04/12 Lumos Networks Corp. VA 5.02 12/04/12 MACERICH CO MD 2.01,9.01 11/28/12 MARKETAXESS HOLDINGS INC 8.01,9.01 12/04/12 MARKWEST ENERGY PARTNERS L P 7.01,9.01 12/04/12 MATTRESS FIRM HOLDING CORP. DE 2.02,9.01 12/04/12 MCDONALDS CORP DE 5.02 11/28/12 MCKESSON CORP DE 1.01,2.03,9.01 12/04/12 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 12/03/12 Memorial Production Partners LP DE 1.01,2.03,9.01 12/03/12 MEREDITH CORP IA 7.01,9.01 12/04/12 MERITOR INC IN 1.01,2.03,3.02,8.01, 12/04/12 9.01 MESA LABORATORIES INC /CO CO 5.02 11/30/12 MICHAEL FOODS GROUP, INC. DE 8.01,9.01 12/03/12 Millburn Multi-Markets Fund L.P. DE 3.02 10/01/12 MITCHAM INDUSTRIES INC TX 2.02,9.01 12/04/12 MONRO MUFFLER BRAKE INC NY 5.02,8.01,9.01 11/29/12 MONTPELIER RE HOLDINGS LTD 8.01,9.01 12/04/12 MRC GLOBAL INC. DE 5.02,9.01 12/03/12 MRV COMMUNICATIONS INC DE 8.01,9.01 12/03/12 Mueller Water Products, Inc. DE 7.01,9.01 12/04/12 NASB FINANCIAL INC MO 1.01,9.01 11/29/12 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 12/04/12 Naugatuck Valley Financial Corp 8.01,9.01 12/04/12 NCI BUILDING SYSTEMS INC DE 2.02,9.01 12/04/12 NCR CORP MD 8.01,9.01 12/04/12 NCR CORP MD 8.01,9.01 12/04/12 NET 1 UEPS TECHNOLOGIES INC 8.01 12/04/12 NEWELL RUBBERMAID INC DE 1.01,9.01 11/29/12 NEWS CORP 8.01,9.01 12/03/12 NEWS CORP 8.01,9.01 12/04/12 NEXSTAR BROADCASTING GROUP INC DE 2.01,8.01,9.01 12/03/12 NEXTERA ENERGY INC FL 7.01 12/04/12 NGP Capital Resources Co MD 8.01,9.01 12/03/12 NorthStar Real Estate Income Trust, I MD 1.01,8.01,9.01 11/30/12 NORTHWESTERN CORP DE 7.01,9.01 12/04/12 NuStar Energy L.P. DE 7.01,9.01 12/04/12 NuStar GP Holdings, LLC DE 7.01,9.01 12/04/12 NYTEX Energy Holdings, Inc. DE 1.01,9.01 11/29/12 Oaktree Capital Group, LLC DE 7.01,9.01 12/04/12 Och-Ziff Capital Management Group LLC DE 7.01 12/04/12 OICCO ACQUISITION I, INC. DE 1.01 11/15/12 OIL DRI CORP OF AMERICA DE 8.01,9.01 12/04/12 OLD REPUBLIC INTERNATIONAL CORP DE 8.01,9.01 12/03/12 ORAMED PHARMACEUTICALS INC. DE 1.01,3.02 12/04/12 OXFORD INDUSTRIES INC GA 2.02,9.01 12/04/12 Pacira Pharmaceuticals, Inc. DE 5.02,9.01 11/29/12 Pandora Media, Inc. DE 2.02,9.01 12/04/12 PANERA BREAD CO DE 1.01,1.02,2.03,9.01 12/04/12 PAULSON CAPITAL CORP OR 8.01,9.01 12/04/12 PENNANTPARK INVESTMENT CORP 7.01,9.01 12/04/12 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 8.01 11/30/12 PENTAIR LTD V8 8.01,9.01 11/28/12 PENTAIR LTD V8 8.01,9.01 12/04/12 PEPCO HOLDINGS INC DE 7.01,9.01 12/04/12 Pershing Gold Corp. NV 1.01,3.02,9.01 11/30/12 Petron Energy II, Inc. NV 1.01,2.01,3.02,4.01, 12/03/12 5.03,9.01 Pike Electric CORP 8.01,9.01 12/04/12 PITNEY BOWES INC /DE/ DE 5.02,9.01 12/03/12 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 12/04/12 PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 12/04/12 POST PROPERTIES INC GA 1.02 12/03/12 PROGENICS PHARMACEUTICALS INC DE 8.01 12/04/12 PROSPECT GLOBAL RESOURCES INC. NV 1.01,2.03,5.02,9.01 11/29/12 PROTALEX INC DE 4.01,9.01 12/03/12 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 12/04/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 12/04/12 PULTEGROUP INC/MI/ MI 5.02,9.01 11/30/12 QAD INC DE 8.01,9.01 12/02/12 QUANTA SERVICES INC DE 7.01,9.01 12/03/12 RAINMAKER SYSTEMS INC DE 5.02 11/29/12 RAIT Financial Trust MD 1.01,2.03,5.03,9.01 11/28/12 RAYTHEON CO/ DE 9.01 12/04/12 RCM TECHNOLOGIES INC NV 7.01,8.01,9.01 12/04/12 Real Goods Solar, Inc. CO 3.01 11/30/12 REALNETWORKS INC WA 5.02,7.01,9.01 11/30/12 RECOVERY ENERGY, INC. NV 5.02,9.01 12/03/12 REDWOOD TRUST INC MD 2.03,9.01 11/28/12 REGAL BELOIT CORP WI 7.01,9.01 12/04/12 Regency Energy Partners LP DE 7.01,9.01 12/04/12 Regency Energy Partners LP DE 7.01,9.01 12/04/12 REMEC LIQUIDATING TRUST CA 2.02,8.01,9.01 11/30/12 Revolutionary Concepts Inc NV 8.01 12/04/12 REXAHN PHARMACEUTICALS, INC. DE 8.01,9.01 12/04/12 REYNOLDS AMERICAN INC 5.02,9.01 11/29/12 ROCKWELL MEDICAL, INC. MI 1.01,2.03,9.01 11/30/12 SABA SOFTWARE INC DE 1.01,5.02,7.01,9.01 11/30/12 SARATOGA RESOURCES INC /TX TX 8.01,9.01 12/04/12 SAVANNAH BANCORP INC GA 5.07 11/30/12 SCBT FINANCIAL CORP SC 5.07 11/30/12 SCIENTIFIC INDUSTRIES INC DE 1.01,5.07 11/29/12 SEACHANGE INTERNATIONAL INC DE 1.01,2.02,2.03,9.01 11/28/12 SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 12/04/12 SELECT MEDICAL HOLDINGS CORP 7.01,9.01 12/04/12 Sequoia Mortgage Trust 2012-6 8.01,9.01 11/01/12 Shire plc 8.01,9.01 12/04/12 Sino Gas International Holdings, Inc. UT 2.02,9.01 11/28/12 SM Energy Co DE 7.01,9.01 12/03/12 SMF ENERGY CORP DE 1.03,9.01 10/16/12 SMTC CORP DE 2.05 11/28/12 SOFTECH INC MA 1.01,3.02,9.01 12/04/12 Southcross Energy Partners, L.P. DE 7.01,9.01 12/03/12 SOUTHERN USA RESOURCES INC. DE 1.01,2.03,3.02,3.03, 11/29/12 9.01 STAGE STORES INC NV 8.01,9.01 12/04/12 STATE STREET CORP MA 7.01,9.01 12/04/12 Station Casinos LLC NV 8.01 12/03/12 Steadfast Income REIT, Inc. MD 7.01,9.01 11/29/12 STEEL DYNAMICS INC IN 5.02,9.01 12/03/12 Stevia Agritech Corp. 4.01,9.01 11/29/12 SUNGARD CAPITAL CORP DE 7.01 12/04/12 SUNTRUST BANKS INC GA 7.01,9.01 12/03/12 Superior Venture Corp NV 7.01,9.01 12/04/12 Superior Venture Corp NV 4.01,9.01 11/09/12 AMEND SYNTEL INC MI 8.01,9.01 12/04/12 TECHNE CORP /MN/ MN 5.02,9.01 10/31/12 AMEND TEXAS INDUSTRIES INC DE 8.01,9.01 12/04/12 TIBCO SOFTWARE INC DE 2.02,9.01 12/04/12 TIDEWATER INC DE 8.01,9.01 11/28/12 TMX Finance LLC DE 5.02 11/29/12 TOLL BROTHERS INC DE 2.02,9.01 12/04/12 TPC Group Inc. DE 7.01,8.01,9.01 12/04/12 TPC Group LLC TX 7.01,8.01,9.01 12/04/12 TPG Specialty Lending, Inc. DE 1.01,9.01 11/29/12 TRANZYME INC DE 1.02 12/04/12 TRIDENT MICROSYSTEMS INC DE 8.01,9.01 11/30/12 TRUE RELIGION APPAREL INC DE 8.01,9.01 11/28/12 UMH PROPERTIES, INC. MD 7.01,9.01 12/04/12 UMPQUA HOLDINGS CORP OR 8.01 12/04/12 Universal Bioenergy, Inc. 8.01 12/04/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 1.01,9.01 11/29/12 US BANCORP \DE\ DE 7.01,9.01 12/04/12 VAIL RESORTS INC DE 2.02,9.01 12/04/12 VAIL RESORTS INC DE 5.07 11/29/12 VASCULAR SOLUTIONS INC MN 1.01 11/30/12 Vera Bradley, Inc. 5.02 10/01/12 AMEND VIASAT INC DE 5.03,9.01 12/02/12 VICON INDUSTRIES INC /NY/ NY 2.02,9.01 12/04/12 VITESSE SEMICONDUCTOR CORP DE 2.02,5.02,9.01 11/28/12 Volcano Corp DE 8.01,9.01 12/03/12 Vuzix Corp DE 5.07 11/30/12 WALTER INVESTMENT MANAGEMENT CORP MD 1.01,1.02,2.03,8.01, 11/28/12 9.01 WEBSTER FINANCIAL CORP DE 3.03,5.03,8.01,9.01 11/30/12 WESCO INTERNATIONAL INC 8.01 12/04/12 WESCO INTERNATIONAL INC 8.01 12/04/12 WESTERN DIGITAL CORP DE 7.01,9.01 12/03/12 Western Refining, Inc. DE 7.01 12/04/12 Whitestone REIT Operating Partnership DE 9.01 09/30/12 AMEND Xun Energy, Inc. NV 1.01,9.01 12/04/12 YOUNG INNOVATIONS INC MO 1.01,9.01 12/03/12 ZIONS BANCORPORATION /UT/ UT 8.01 12/04/12 ZIONS BANCORPORATION /UT/ UT 7.01,9.01 12/04/12 ZOOM TECHNOLOGIES INC DE 5.07 11/30/12