Commission Completes 18th Annual International Enforcement Institute
The Securities and Exchange Commission announced the completion of its 18th Annual International Enforcement Institute, held from Nov. 5 to Nov. 9 at SEC headquarters in Washington, D.C., with participants from 60 different countries. In all, 161 officials from foreign stock exchanges and other regulatory and law enforcement agencies attended the weeklong training program.
SEC Chairman Mary L. Schapiro said, “The commitment of securities regulators around the globe to protecting their investors and markets from those that would cause them harm has never been stronger. Through this program, the SEC staff teaches and learns enforcement best practices. We stand alongside our foreign law enforcement partners, ready to protect our capital markets from fraudsters, manipulators, and schemers, wherever they may lurk.”
SEC Enforcement Division Director Rob Khuzami and former Enforcement Directors Linda Chatman Thompson, William McLucas, and Gary G. Lynch, kicked off the event with a discussion of the experiences and challenges of their tenure. The Institute also featured presentations by dozens of SEC officials, two U.S. Attorney’s Offices, and the Financial Industry Regulatory Authority, on topics such as insider trading and other market abuses, market intelligence and surveillance, investigative techniques, anti-money laundering initiatives, and optimal remedies for violations.
"In a world of global financial markets, where securities fraud crosses borders as easily as capital, cross-border cooperation in investigations and enforcement is essential,” said Ethiopis Tafara, Director of the SEC’s Office of International Affairs. “The professional and personal relationships formed at these Institutes provide a strong foundation for us to address shared challenges and continue to learn from and assist our counterparts in what is truly a common mission.”
The Institute is part of the SEC’s Technical Assistance Program, whose annual International Institute for Securities Market Development took place in April. For more information on the Technical Assistance Program, contact Z. Scott Birdwell or Erin McCartney in the SEC’s Office of International Affairs at 202-551-6690, or by email at OIA@SEC.gov. (Press Rel. 2012-256)
SEC Suspends Trading in Securities of Emerging World Pharma
The 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 Emerging World Pharma, Inc., (“Emerging World”) commencing at 9:30 a.m. EST on December 6, 2012, and terminating at 11:59 p.m. EST on December 19, 2012.
The Commission temporarily suspended trading in Emerging World because of questions regarding the adequacy and accuracy of information about Emerging World, including, among other things, its business operations and current financial condition. Emerging World’s ticker symbol is EWPI.
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 Emerging World.
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 suspensions, 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 he has complied with the rule, he 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, he should refrain from entering quotations relating to the above-named securities until such time as he has familiarized himself 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.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact the following individuals:
David Rosenfeld, (212) 336-0153 or email@example.com
George N. Stepaniuk, (212) 336-0173 or firstname.lastname@example.org
Commission Amends rule 19b-4(N)(1), Rule 19b-4(O)(2) and Form 19b-4 to Extend Dates for Certain Requirements
On December 5, 2012, the Commission adopted amendments to Rule 19b-4(n)(1) and Rule 19b-4(o)(2) under the Securities Exchange Act of 1934 to extend the date with respect to the requirement that designated clearing agencies for which the Commission is the supervisory agency file advance notices and clearing agencies file security-based swap submissions with the Commission in an electronic format to dedicated email addresses established by the Commission to December 10, 2013. The Commission also adopted amendments to Form 19b-4 to make conforming changes to clarify how advance notices and security-based swap submissions, and amendments, extensions, or withdrawals thereto, are required to be filed with the Commission. The amendments will become effective immediately upon publication in the Federal Register. (Rel. 34-68357; File No. S7-44-10).
Final Judgment by default against Defendant John Zanic
The Commission announced that on December 5, 2012, the Honorable Kimba M. Wood, United States District Court Judge for the Southern District of New York, entered a final judgment by default against Defendant John Zanic. The final judgment permanently enjoins Zanic from future violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and permanently bars Zanic from participating in an offering of penny stock. The final judgment also holds Zanic liable for total combined disgorgement and prejudgment interest of $86,551.35 and a civil monetary penalty in the amount of $130,000.
On September 18, 2008, the SEC filed its complaint against Glenn Grossman, Lawrence Steven Cohen, Shay Keren, and John Zanic (collectively, the “Defendants”) alleging that from at least April 2008, the Defendants engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stock of Guyana Gold, Corp. The complaint alleges that the Defendants engaged in an undisclosed kickback arrangement with an individual who claimed to represent a group of registered representatives with trading discretion over the accounts of wealthy customers.
For further information, please see Litigation Release Number 22498 (September 27, 2012) [Court Enters Final Judgments by Consent Against SEC Defendants Shay Keren and Lawrence Steven Cohen], Litigation Release Number 20776 (October 8, 2008) [SEC Charges Four Stock Promoters with Market Manipulation] and Litigation Release Number 22184 (December 9, 2011) [Court Enters Final Judgment by Consent Against SEC Defendant Glenn Grossman].
The SEC acknowledges the assistance of the United States Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation in this matter. [Securities and Exchange Commission v. Glenn Grossman, Lawrence Steven Cohen, Shay Keren, and John Zanic, Civil Action No. 08-cv-8078 (KMW) (SDNY)] (LR- 22559)
In The Matter of Martin M. Werner
The Commission announced the issuance of 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 Martin M. Werner.
The Order finds that Werner resides in Boca Raton, Florida. He is an attorney licensed to practice law in Florida since approximately 1985. In November 2003, Werner began serving as corporate counsel for Merendon Mining (Nevada) Inc. (Merendon Nevada), a Nevada corporation that offered and sold securities to investors. In April 2007, Werner became the president of Syndicated Gold Depository S.A. (SGD), a Bahamian registered corporation that operated from offices in Miami, Florida, and which offered and sold securities to investors. In about November 2007, Werner became the president of Bearstone Capital Management Inc. (Bearstone), another company that offered and sold securities to investors. On June 10, 2010, the Commission filed a complaint against Werner in SEC v. Merendon Mining (Nevada), Inc. et al., et al. (W.D. Wash. civil action No. 2:10-cv-955-RAJ). On October 30, 3012, the court entered an order permanently enjoining Werner, by consent, from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s complaint alleged, among other things, that Werner used SGD as a part of a fraudulent scheme to provide capital for Merendon Mining Corp. Ltd., a corporation formed in Alberta, Canada. Werner, as the president of SGD, directly or indirectly offered and sold SGD’s securities, and made false and misleading statements to salesmen and investors about, among other things, the rate of return paid by SGD securities, the use of investors’ funds, the security of the investment, and independence of the various companies. The complaint also alleged that during 2007, Werner offered and sold securities of Merendon Nevada which made corresponding investments in SGD. Further, the complaint alleged that beginning in February or March 2007, Werner used one or more of his attorney trust accounts to receive funds from investors in SGD or the other selected companies, pay purported returns back to investors, and pay funds for the benefit of others involved in the scheme. Werner knew from participation in various meetings that investors’ funds were uses as part of a Ponzi scheme and that his trust account was used to hide the movement of the funds.
Based on the above, the Order suspends Werner from appearing or practicing before the Commission as an attorney. Werner consented to the issuance of the Order without admitting or denying any of the findings, except that he admitted the entry of the final judgment against him. (Rel 34-68364: File No. 3-15118)
In The Matter of Adam Harrington
The Commission announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) against Adam Harrington, aka Adam Rukdeschel and Adam Harrington Ruckdeschel.
The Division of Enforcement (Division) alleges in the Order that on July 26, 2011 Harrington was convicted of securities fraud, wire fraud, mail fraud, and conspiracy (to commit those three offenses), in violation of 15 U.S.C. §§ 78j(b) and 78ff; 17 C.F.R. § 240.10b-5; and 18 U.S.C. §§ 1341, 1342, and 1343, before the United States District Court for the Southern District of New York, in United States v. Ross Mandell, et al., 09-cr-662 (S.D.N.Y.). Harrington, 42 years old, is a resident of Miami, Florida. Harrington was a registered representative at Sky Capital LLC (now known as Granta Capital LLC) (Sky Capital), a New York-based broker-dealer. The counts of the criminal indictment under which Harrington was found guilty alleged, inter alia, that from in or about 1999 through in or about 2005, Harrington and others carried out a fraudulent scheme by soliciting millions of dollars from investors under false pretenses, manipulating the market for certain affiliated companies’ stocks, failing to use investors’ funds as promised, and misappropriating and converting investors’ funds without their knowledge. The indictment alleged that Harrington and others used material misrepresentations and omissions to cause individuals to invest in a series of purported investment opportunities, including private placements. The indictment also alleged that Harrington and others raised a total of approximately $140 million from investors through their fraudulent scheme. The indictment further alleged that Harrington and his co-defendants used those funds to enrich themselves, pay undisclosed commissions to brokers, and pay off earlier investors who had lost funds on prior purported investment opportunities. On May 7, 2012, Harrington was sentenced in Mandell to a 60-month prison term, followed by three years of supervised release, and a money judgment of $20,000,000. On September 26, 2012, the Mandell Court further ordered Harrington to pay an additional $24,880,460 in restitution to the victims of his criminal activities.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Harrington an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. For more information about this matter, please see Litigation Release Number 21120 / July 8, 2009. (Rel. 34-68365; File No. 3-15119)
Investment Company Act Releases
Highland Associates, Inc. and Financial Investors Trust
An order has been issued on an application filed by Highland Associates, Inc. and Financial Investors Trust for an exemption from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-30291 - December 5th)
Mutual of America Life Insurance Company, et al.
A notice has been issued giving interested persons until December 28, 2012 to request a hearing on an application filed by Mutual of America Life Insurance Company, et al. requesting an order pursuant to Section 26(c) of the Investment Company Act of 1940 (the “Act”) to permit substitution of shares of certain registered management investment companies with shares of certain other registered management investment companies. The applicants also seek an order of exemption pursuant to Section 17(b) of the Act from Section 17(a) of the Act to the extent necessary to permit certain in-kind transactions in connection with the substitutions. (Rel. IC-30292 - December 5th)
17d-2 Plans for Allocation of Regulatory Responsibilities:Notice Of Filing and Order Approving and Declaring Effective an Amendment To The Plan for The Allocation Of Regulatory Responsibilities Pursuant To Rule 17d-2 Concerning Options Related Market Surveillance
The Commission noticed, approved, and declared effective a proposed amendment, filed on November 20, 2012, to the plan for the allocation of regulatory responsibilities relating to options-related surveillance between NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc,. the NASDAQ OMX PHLX, Inc. and Miami International Securities Exchange, LLC pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (File No. 4-551). Publication is expected in the Federal Register during the week of December 10th. (Rel. 34-68362)Notice Of Filing and Order Approving and Declaring Effective an Amendment To The Plan For The Allocation Of Regulatory Responsibilities Pursuant To Rule 17d-2 Concerning Options Related Sales Practice Matters
The Commission noticed, approved, and declared effective a proposed amendment, filed on November 20, 2012, to the plan for the allocation of regulatory responsibilities relating to options-related sales practice matters between BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, LLC pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (File No. S7-966). Publication is expected in the Federal Register during the week of December 10th. (Rel. 34-68363)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-113) to amend the CBOE Stock Exchange fees schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of December 10th. (Rel. 34-68352)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEMKT-2012-71) filed by NYSE MKT LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending Commentary .07 to Exchange Rule 904 to increase the position and exercise limits for options on the iShares MSCI Emerging Markets Index Fund to 500,000 contracts. Publication is expected in the Federal Register during the week of December 10th. (Rel. 34-68358)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NYSEArca-2012-132) filed by NYSE Arca, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending Commentary .06 to Exchange Rule 6.8 to increase the position and exercise limits for options on the iShares MSCI Emerging Markets Index Fund to 500,000 contracts. Publication is expected in the Federal Register during the week of December 10th. (Rel. 34-68359)
A proposed rule change filed by the BOX Options Exchange LLC to expand the Short Term Options Series Program (SR-BOX-2012-020) 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 10th. (Rel. 34-68361)
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-3ASR AUTODESK INC, 111 MCINNIS PKWY, SAN RAFAEL, CA, 94903, 4155075000 - 0 ($0.00) Debt, (File 333-185265 - Dec. 5) (BR. 03B) S-11 Equisource Hotel Fund I, LLP, 2009 E. WINDMILL LANE, LAS VEGAS, NV, 89123, 702-240-0977 - 25,000 ($2,500,000.00) Limited Partnership Interests, (File 333-185267 - Dec. 5) (BR. ) S-3ASR STARWOOD HOTEL & RESORTS WORLDWIDE, INC, ONE STARPOINT, STAMFORD, CT, 06902, 203-964-4000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185268 - Dec. 5) (BR. 08C) S-1 Taylor Morrison Home Corp, 4900 N. SCOTTSDALE ROAD, SUITE 2000, SCOTTSDALE, AZ, 85251, 480-840-8100 - 0 ($250,000,000.00) Equity, (File 333-185269 - Dec. 5) (BR. 06) S-1 maniaTV Inc., 8335 SUNSET BOULEVARD, WEST HOLLYWOOD, CA, 90069, 855-886-2642 - 1,111,111 ($1,000,000.00) Equity, (File 333-185270 - Dec. 5) (BR. 03) S-3 NORTHERN TECHNOLOGIES INTERNATIONAL CORP, 4201 WOODLAND ROAD, PO BOX 69, CIRCLE PINES, MN, 55014, (763) 225-6601 - 0 ($25,000,000.00) Equity, (File 333-185271 - Dec. 5) (BR. 06B) S-1 Zewar Jewellery, Inc., SUNSHINE BUILDING, ADADE FARIA ROAD, MARGAO, GOA, K7, 403601, (011) 91992-381-7403 - 3,200,000 ($32,000.00) Equity, (File 333-185278 - Dec. 5) (BR. 02) S-1 KLEANGAS ENERGY TECHNOLOGIES, INC., 8110 ULMERTON RD, LARGO, FL, 33771, 727-364-2744 - 316,500,000 ($25,000.00) Equity, (File 333-185280 - Dec. 5) (BR. 09) S-8 Horsehead Holding Corp, 4955 STEUBENVILLE PIKE, SUITE 405, PITTSBURGH, PA, 15205, 724-773-2212 - 0 ($25,056,000.00) Equity, (File 333-185281 - Dec. 5) (BR. 09A) S-3 VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITTEN FUNDING, LLC, 2200 FERDINAND PORSCHE DR., HERNDON, VA, 20171, (703) 364-7325 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-185282 - Dec. 5) (BR. OSF) N-2 THAI CAPITAL FUND INC, ONE EVERTRUST PLAZA- 9TH FL, DAIWA SECURITIES TRUST CO, JERSEY CITY, NJ, 07302-3051, 201-915-3054 - 0 ($17,645,829.30) Equity, (File 333-185284 - Dec. 5) (BR. 18) S-3ASR TD AMERITRADE HOLDING CORP, 4211 SOUTH 102ND STREET, OMAHA, NE, 68127, 4023317856 - 0 ($0.00) Debt, (File 333-185286 - Dec. 5) (BR. 12A) S-8 LOCAL Corp, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618, (949) 784-0800 - 0 ($4,527,000.00) Equity, (File 333-185287 - Dec. 5) (BR. 03A) S-1 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD, 20814, 240-497-6400 - 0 ($850,000,000.00) Other, (File 333-185288 - Dec. 5) (BR. 08B) S-3 ProShares Trust II, 7501 WISCONSIN AVE, SUITE 1000, BETHESDA, MD, 20814, 240-497-6400 - 0 ($1,850,000,000.00) Other, (File 333-185289 - Dec. 5) (BR. 08B) S-8 APPLIED MATERIALS INC /DE, 3050 BOWERS AVE, SANTA CLARA, CA, 95054-3299, 4087275555 - 0 ($161,250,000.00) Equity, (File 333-185290 - Dec. 5) (BR. 10A) S-1 GENESIS GROUP HOLDINGS INC, 2500 N. MILITARY TRAIL, SUITE 275, BOCA RATON, FL, 33431, 561-988-1988 - 0 ($40,000,000.00) Equity, (File 333-185293 - Dec. 5) (BR. 02B)
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.
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 30DC, INC. MD 7.01,9.01 12/03/12 Abingdon Futures Fund LP NY 3.02 12/01/12 ACCURIDE CORP DE 7.01,9.01 12/05/12 ADOBE SYSTEMS INC DE 5.02,9.01 12/04/12 AIRGAS INC DE 7.01,9.01 12/05/12 ALABAMA POWER CO AL 8.01,9.01 11/27/12 ALEXANDRIA REAL ESTATE EQUITIES INC MD 7.01,9.01 12/05/12 ALICO INC FL 2.02,9.01 12/05/12 ALIGN TECHNOLOGY INC DE 5.02,9.01 12/05/12 Alliqua, Inc. FL 5.02,7.01,9.01 11/29/12 Altegris QIM Futures Fund, L.P. DE 3.02 12/01/12 Altegris Winton Futures Fund, L.P. CO 3.02 12/01/12 ALTERA CORP DE 7.01,9.01 12/04/12 AMARILLO BIOSCIENCES INC TX 5.02 12/05/12 AMBARELLA INC 2.02,9.01 12/05/12 AMERICAN APPAREL, INC DE 7.01 12/05/12 AMERICAN AXLE & MANUFACTURING HOLDING DE 7.01,9.01 12/04/12 American Tire Distributors Holdings, 1.01,2.01,2.03,9.01 11/30/12 AMERICAN VANGUARD CORP DE 8.01,9.01 11/30/12 Amogear Inc. NV 4.01,9.01 12/03/12 AMTECH SYSTEMS INC AZ 2.02,9.01 12/04/12 Annie's, Inc. DE 8.01 11/30/12 APPLE REIT SIX INC 1.01,9.01 11/29/12 APPLIED DNA SCIENCES INC DE 5.02 11/30/12 ARES CAPITAL CORP MD 5.02 11/30/12 ARKANSAS BEST CORP /DE/ DE 1.01 11/29/12 Ascena Retail Group, Inc. DE 2.02,9.01 12/05/12 ATHENAHEALTH INC DE 1.01 12/05/12 ATP OIL & GAS CORP TX 1.01,9.01 11/29/12 Bank of New York Mellon CORP DE 7.01,9.01 12/05/12 BAZI INTERNATIONAL, INC. NV 5.07 11/27/12 BB&T CORP NC 7.01,9.01 12/05/12 BIOCUREX INC A1 5.03 11/27/12 Blue Star Entertainment Technologies, D8 1.01,2.01,3.02,5.01, 11/27/12 5.02,9.01 Bluforest Inc. NV 8.01 12/04/12 Bluforest Inc. NV 5.02 11/01/12 AMEND BOTTOMLINE TECHNOLOGIES INC /DE/ DE 8.01 12/05/12 BROWN FORMAN CORP DE 2.02,9.01 12/05/12 Cadista Holdings Inc. DE 1.01 11/30/12 CAESARS ENTERTAINMENT Corp DE 8.01,9.01 12/05/12 CALGON CARBON CORPORATION DE 7.01,9.01 12/05/12 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 11/30/12 CAPITAL ONE FINANCIAL CORP DE 7.01 12/05/12 CardioNet, Inc. CA 5.02 11/29/12 CASH AMERICA INTERNATIONAL INC TX 7.01,9.01 12/04/12 CEL SCI CORP CO 1.01,9.01 12/04/12 CHAMPION INDUSTRIES INC WV 2.01 12/05/12 Chaparral Energy, Inc. DE 7.01,9.01 12/05/12 CHART INDUSTRIES INC DE 7.01,9.01 12/05/12 Chatham Lodging Trust MD 7.01,8.01,9.01 12/04/12 Chelsea Therapeutics International, L DE 8.01,9.01 12/04/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 12/04/12 CHEVRON CORP DE 8.01,9.01 12/05/12 China XD Plastics Co Ltd NV 5.07 11/30/12 ChromaDex Corp. DE 7.01,9.01 12/05/12 Cinemark Holdings, Inc. DE 8.01,9.01 12/03/12 CINEMARK USA INC /TX TX 8.01,9.01 12/03/12 CITIGROUP INC DE 8.01,9.01 12/05/12 CLOUD PEAK ENERGY INC. DE 7.01,8.01,9.01 12/05/12 CME GROUP INC. DE 1.01,2.03,9.01 11/30/12 COLE CORPORATE INCOME TRUST, INC. MD 1.01,2.03 11/29/12 COMMAND SECURITY CORP NY 7.01 12/05/12 Compressco Partners, L.P. DE 1.01,2.03,9.01 11/30/12 CONMED CORP NY 8.01 12/03/12 Consolidated Communications Holdings, DE 1.01,7.01,9.01 12/04/12 CONTANGO OIL & GAS CO DE 5.02,5.07,7.01,9.01 11/29/12 COVANTA HOLDING CORP DE 7.01,9.01 12/05/12 CROSS BORDER RESOURCES, INC. NV 5.02 11/29/12 CVB FINANCIAL CORP CA 7.01,8.01,9.01 12/05/12 DCB FINANCIAL CORP OH 7.01,9.01 12/05/12 DCT Industrial Trust Inc. MD 5.02,9.01 12/04/12 DELCATH SYSTEMS INC DE 1.01,9.01 12/05/12 DELCATH SYSTEMS INC DE 8.01,9.01 12/05/12 DELL INC DE 5.02,9.01 12/01/12 DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 1.01,3.02,9.01 12/05/12 DIAMOND HILL INVESTMENT GROUP INC OH 8.01,9.01 12/05/12 DICKS SPORTING GOODS INC DE 5.02,8.01,9.01 11/29/12 Discover Card Execution Note Trust DE 5.03 12/04/12 Discovery Communications, Inc. DE 5.02 12/03/12 DOLLAR GENERAL CORP TN 5.02,9.01 12/05/12 Dorman Products, Inc. PA 8.01,9.01 12/04/12 Duff & Phelps Corp DE 5.02 12/05/12 AMEND DYCOM INDUSTRIES INC FL 1.01,1.02,2.02,9.01 12/03/12 Electromed, Inc. 5.07,8.01 11/30/12 ELSINORE SERVICES INC DE 1.01,2.01,2.03,3.02,8.01,9.01 12/05/12 Energy Future Holdings Corp /TX/ TX 1.01,2.03,8.01,9.01 12/05/12 EPLUS INC DE 8.01,9.01 12/04/12 ERIE INDEMNITY CO PA 8.01,9.01 12/04/12 ESB FINANCIAL CORP PA 8.01,9.01 12/05/12 Federal Home Loan Bank of Dallas 2.03,9.01 12/03/12 FIFTH THIRD BANCORP OH 7.01,9.01 12/05/12 FINISAR CORP DE 2.02,9.01 12/05/12 FINISAR CORP DE 5.07 12/03/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 12/04/12 First Connecticut Bancorp, Inc. MD 8.01,9.01 12/05/12 FIRST MARINER BANCORP MD 5.07 12/03/12 FNB BANCORP/CA/ 2.01,9.01 09/21/12 AMEND FOREST CITY ENTERPRISES INC OH 5.02 12/03/12 Forex International Trading Corp. NV 8.01 12/04/12 Fortress Investment Group LLC DE 7.01 12/05/12 Francesca's Holdings CORP 2.02,9.01 12/05/12 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 3.01,9.01 11/29/12 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 12/05/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 12/01/12 G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 12/05/12 General Motors Co 8.01 12/03/12 GENWORTH FINANCIAL INC DE 5.02 12/05/12 GEOGLOBAL RESOURCES INC. DE 3.01,9.01 11/30/12 GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 12/05/12 GEOSPACE TECHNOLOGIES CORP DE 5.07 04/10/12 GLOBE SPECIALTY METALS INC 5.07 12/04/12 Gold & Gemstone Mining Inc. NV 1.01,9.01 11/28/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/30/12 GREATBATCH, INC. DE 5.02,9.01 12/05/12 GRYPHON GOLD CORP NV 7.01,9.01 12/05/12 Guanwei Recycling Corp. NV 3.03,5.07 11/29/12 GUIDED THERAPEUTICS INC DE 7.01,9.01 12/05/12 GYMBOREE CORP DE 2.02,9.01 12/05/12 HALOZYME THERAPEUTICS INC DE 5.05 12/03/12 HDS INTERNATIONAL CORP. NV 1.01,7.01,9.01 11/30/12 HEARTLAND PAYMENT SYSTEMS INC DE 5.02,9.01 11/29/12 HELMERICH & PAYNE INC DE 7.01,9.01 12/04/12 Hilltop Holdings Inc. MD 2.01,2.03,3.02,3.03,5.02,5.03,8.01,9.01 11/29/12 HOME BANCSHARES INC 2.01,7.01,9.01 12/01/12 IMMUNOGEN INC MA 5.02 11/30/12 Inland Diversified Real Estate Trust, MD 8.01,9.01 11/30/12 INNOSPEC INC. DE 5.02,9.01 12/05/12 INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02,9.01 12/05/12 Integrated Management Information, In 5.03,9.01 12/03/12 InterDigital, Inc. PA 8.01,9.01 12/05/12 International Stem Cell CORP DE 5.02 11/30/12 INTERNATIONAL TEXTILE GROUP INC DE 5.02 11/29/12 Internet Patents Corp 5.07 11/30/12 INTEST CORP DE 8.01,9.01 12/03/12 INUVO, INC. NV 7.01,9.01 12/05/12 INVESTORS REAL ESTATE TRUST ND 3.01,9.01 12/05/12 JACKSONVILLE BANCORP INC /FL/ FL 3.01 11/29/12 JPMORGAN CHASE & CO DE 5.02 11/29/12 K12 INC DE 5.07 11/29/12 KBS Strategic Opportunity REIT, Inc. MD 2.01 12/04/12 KKR Financial Holdings LLC DE 1.01,2.03,3.03,7.01,9.01 11/30/12 KRANEM CORP CO 4.01,9.01 11/02/12 AMEND KYTHERA BIOPHARMACEUTICALS INC DE 1.01,9.01 11/30/12 Lehigh Gas Partners LP DE 1.01,9.01 11/30/12 LEUCADIA NATIONAL CORP NY 8.01,9.01 12/05/12 Limelight Networks, Inc. DE 5.02 12/03/12 Magnolia Solar Corp NV 8.01,9.01 12/05/12 MAGNUM HUNTER RESOURCES CORP DE 7.01,8.01,9.01 12/04/12 Maiden Holdings, Ltd. D0 8.01 12/04/12 MANAGED FUTURES PREMIER ABINGDON L.P. NY 5.03 11/29/12 Managed Futures Premier BHM L.P. DE 5.03 11/30/12 Managed Futures Premier BHM L.P. DE 3.02 12/01/12 MANAGED FUTURES PREMIER GRAHAM L.P. DE 5.03 11/30/12 MASCO CORP /DE/ DE 5.02 12/04/12 MCCLATCHY CO DE 1.01,8.01,9.01 11/28/12 McEwen Mining Inc. CO 8.01,9.01 12/05/12 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 12/05/12 MEDICIS PHARMACEUTICAL CORP DE 8.01 12/05/12 METROPCS COMMUNICATIONS INC DE 8.01,9.01 12/05/12 MISSION BROADCASTING INC DE 1.01,2.03,9.01 12/03/12 Momentive Performance Materials Inc. DE 1.01,2.03,9.01 11/30/12 Monotype Imaging Holdings Inc. DE 7.01,9.01 12/05/12 Nano Mask, Inc. NV 5.02 10/25/12 NET 1 UEPS TECHNOLOGIES INC 8.01,9.01 12/05/12 NET TALK.COM, INC. FL 2.03 10/16/12 AMEND NetApp, Inc. CA 1.02 12/03/12 New Concept Energy, Inc. NV 5.07 11/29/12 NEWS CORP 8.01,9.01 12/05/12 NEXCORE HEALTHCARE CAPITAL CORP DE 1.01,3.02,5.02 11/30/12 NEXSTAR BROADCASTING GROUP INC DE 1.01,2.03,9.01 12/03/12 NEXSTAR BROADCASTING GROUP INC DE 1.01,8.01,9.01 11/29/12 NORTHWEST PIPE CO OR 5.02,9.01 11/30/12 Nuance Communications, Inc. DE 5.02 11/29/12 ON4 COMMUNICATIONS INC. DE 5.03,5.07,9.01 11/01/12 ORION FUTURES FUND LP NY 3.02 12/01/12 OverNear, Inc. NV 1.01,3.02,3.03,5.03,9.01 11/09/12 Pacific Ethanol, Inc. DE 8.01,9.01 12/05/12 PACIFIC PREMIER BANCORP INC DE 8.01,9.01 12/05/12 PACIFIC PREMIER BANCORP INC DE 8.01,9.01 12/05/12 PARAMOUNT GOLD & SILVER CORP. DE 5.07 12/04/12 PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 12/05/12 PDL BIOPHARMA, INC. DE 8.01,9.01 12/05/12 PEPCO HOLDINGS INC DE 8.01 11/29/12 PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 12/05/12 Phillips Edison - ARC Shopping Center MD 7.01,9.01 12/05/12 PHOTRONICS INC CT 2.02,9.01 12/04/12 PLAINS EXPLORATION & PRODUCTION CO DE 7.01,8.01,9.01 12/05/12 PLANAR SYSTEMS INC OR 1.01,2.01,9.01 11/30/12 PLUG POWER INC DE 1.01,9.01 11/29/12 POKERTEK, INC. NC 7.01,9.01 12/05/12 POWELL INDUSTRIES INC NV 2.02,9.01 12/04/12 PPL Corp 7.01 12/05/12 PREMIER EXHIBITIONS, INC. FL 5.02 11/29/12 PREMIER HOLDING CORP. NV 8.01 11/29/12 PROASSURANCE CORP DE 7.01,9.01 12/05/12 PROASSURANCE CORP DE 7.01,8.01,9.01 12/05/12 PROCERA NETWORKS INC NV 5.02,9.01 12/03/12 REGIONS FINANCIAL CORP DE 7.01,8.01,9.01 11/30/12 Resolute Energy Corp DE 1.01,7.01,8.01,9.01 12/01/12 Resolute Energy Corp DE 8.01,9.01 12/05/12 RESOURCE AMERICA, INC. DE 2.02,9.01 12/04/12 REX AMERICAN RESOURCES Corp DE 2.02,9.01 12/05/12 RICHARDSON ELECTRONICS LTD/DE DE 5.02,7.01,9.01 12/03/12 ROBERTS REALTY INVESTORS INC GA 1.01 11/30/12 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 7.01 12/04/12 ROWAN COMPANIES PLC X0 1.01,2.03,9.01 12/05/12 SAGE FUND LP 3.02 12/01/12 SAIC, Inc. 2.02,9.01 12/05/12 SARATOGA RESOURCES INC /TX TX 1.01,2.03,8.01,9.01 12/04/12 SEACOR HOLDINGS INC /NEW/ DE 7.01,8.01,9.01 12/04/12 SERVICESOURCE INTERNATIONAL, INC. 5.02,9.01 11/29/12 SEVCON, INC. DE 2.02,9.01 12/04/12 Shire plc 8.01,9.01 12/05/12 Shire plc 8.01,9.01 12/05/12 SIGMA DESIGNS INC CA 2.02,9.01 12/05/12 Six Flags Entertainment Corp 1.01,7.01,9.01 12/05/12 SLM Student Loan Trust 2003-1 DE 8.01,9.01 12/05/12 SLM Student Loan Trust 2003-4 DE 8.01,9.01 12/05/12 SLM Student Loan Trust 2003-7 DE 8.01,9.01 12/05/12 SmartMetric, Inc. 8.01,9.01 12/03/12 Solar Power, Inc. CA 4.01,9.01 11/29/12 SONO TEK CORP NY 4.01,9.01 12/04/12 SOUTH JERSEY GAS Co NJ 1.01,2.03,9.01 11/30/12 SOUTHERN CALIFORNIA GAS CO CA 5.02 12/04/12 SPRINGLEAF FINANCE CORP IN 5.02 12/05/12 SquareTwo Financial Corp DE 7.01,9.01 12/05/12 ST JUDE MEDICAL INC MN 7.01,9.01 12/05/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 1.01,1.02,2.03,9.01 11/30/12 STERIS CORP OH 1.01,2.03 12/04/12 STIFEL FINANCIAL CORP DE 7.01,9.01 12/05/12 SYNALLOY CORP DE 9.01 08/21/12 AMEnd SYNOPSYS INC DE 2.02,9.01 12/05/12 TAUBMAN CENTERS INC MI 8.01,9.01 12/04/12 TECHPRECISION CORP 7.01,9.01 12/05/12 TELEPHONE & DATA SYSTEMS INC /DE/ DE 1.01,8.01,9.01 12/04/12 AMEND TELETOUCH COMMUNICATIONS INC DE 8.01,9.01 12/03/12 TF FINANCIAL CORP DE 1.01,9.01 12/03/12 TMX Finance LLC DE 2.02,9.01 11/29/12 Tonix Pharmaceuticals Holding Corp. NV 1.01,3.02,8.01,9.01 12/04/12 TORO CO DE 2.02,9.01 12/05/12 TOWER FINANCIAL CORP IN 5.02,9.01 12/04/12 TOWERSTREAM CORP DE 5.02,8.01,9.01 11/30/12 TRANZYME INC DE 5.02,9.01 12/04/12 TRAVELERS COMPANIES, INC. MN 8.01,9.01 12/05/12 UniTek Global Services, Inc. DE 5.02,9.01 11/30/12 Universal Business Payment Solutions DE 1.01,8.01,9.01 12/04/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 12/05/12 URANIUM ENERGY CORP NV 7.01,9.01 12/05/12 US AIRWAYS GROUP INC DE 2.02,9.01 12/05/12 VALUECLICK INC/CA DE 5.02,9.01 12/04/12 VENDUM BATTERIES INC. NV 5.02 12/03/12 Vera Bradley, Inc. 2.02,9.01 12/05/12 VERINT SYSTEMS INC DE 2.02,7.01,9.01 12/05/12 Volcano Corp DE 1.01,2.03,8.01,9.01 12/04/12 VUMEE INC. NV 1.01,9.01 11/26/12 VYCOR MEDICAL INC DE 5.07 12/03/12 W270, INC. NV 1.01,5.01,5.02 11/30/12 WALGREEN CO IL 2.02,9.01 12/05/12 WARRINGTON FUND LP NY 3.02 12/01/12 WEST MARINE INC DE 1.01,7.01,9.01 11/30/12 Wheeler Real Estate Investment Trust, MD 8.01,9.01 12/03/12 Willbros Group, Inc.\NEW\ 5.02 12/05/12 WPCS INTERNATIONAL INC DE 1.01,3.03,7.01,9.01 12/04/12 Yinfu Gold Corp. WY 1.01,9.01 11/30/12 Z TRIM HOLDINGS, INC IL 5.02,5.07,9.01 12/03/12 Zep Inc. DE 2.01,7.01,9.01 12/01/12 ZIONS BANCORPORATION /UT/ UT 8.01,9.01 11/29/12 ZIPCAR INC 1.01,9.01 11/30/12