Closed Meeting on Thursday, December 13, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting will be: adjudicatory matters; 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.
Commission Declares Decision as to Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.)
The decision of an administrative law judge with respect to Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.) has become final. The law judge found that Eagle Worldwide violated Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 by its failure to file any periodic reports found to be acceptable by Corporation Finance since filing a Form 10 registration statement on August 21, 1998, and materially deficient, unaudited annual reports, for the years ended 2007 through 2011.
The law judge found that it was necessary and appropriate for the protection of investors to revoke the registration of each class of Eagle Worldwide's registered securities. (Rel. 34-68366; File No. 3-14943)
In the Matter of Benjamin R. Daniels
On December 6, 2012, the Commission issued an Order Instituting Administrative and Cease-and Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Benjamin R. Daniels. The Order finds that Daniels, age 35, of Indio, CA was retained by Yusef Jawed, of Portland, OR, to raise money for Jawed’s purported funds, Grifphon Alpha I Fund, L.P. and Grifphon Qualified Fund, L.P. (the “Grifphon Funds). In September 2012, the Commission charged Jawed and certain entities he controlled with securities fraud in connection with the Grifphon Funds for perpetrating a long-running Ponzi scheme that raised over $37 million from more than 100 investors in the Pacific Northwest and across the country. See SEC v. Jawed, et al., Civ. Action No. 12-01696 (D. Oregon, Sep. 20, 2012). From 2007 through 2009, Daniels raised approximately $4.3 million from 20 investors for the Grifphon Funds. Daniels served as the primary point of contact between the Grifphon Funds and certain investors. He discussed with investors the Grifphon Funds’ purported high rates of returns, the purported nature of the investments, and attested to Jawed’s reputable and trustworthy character. He also provided to investors Grifphon Funds’ private placement memoranda and other marketing materials. Several investors relied solely on Daniels’ representations in deciding to invest in the Grifphon Funds and had never met or spoken with Jawed before investing. Jawed paid Daniels approximately $286,683 in transaction-based compensation. Although Daniels previously was a registered representative associated with various broker-dealers registered with the Commission, he was not associated with a registered broker-dealer during the time he raised money for the Grifphon Funds. The Commission’s Order finds that Daniels acted as a broker without being registered or associated with a registered broker or dealer in violation of Section 15(a) of the Exchange Act.
Based on the above, the Order orders Daniels to cease and desist from committing or causing any violations and any future violations of Section 15(a) of the Exchange Act and bars Daniels from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock with the right to apply for reentry after three years. Daniels consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-68369; File No. 3-15121)
In the Matter of Stephen Persad
On December 6, 2012, the Commission issued an Order Instituting Administrative and Cease-and Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Stephen Persad. The Order finds that Persad, age 50, of Milwaukie, OR, was retained by Yusef Jawed, of Portland, OR, to raise money for Jawed’s purported hedge funds Grifphon Alpha I Fund, L.P. and Grifphon Qualified Fund, L.P. (the “Grifphon Funds). In September 2012, the Commission charged Jawed and certain entities he controlled with securities fraud in connection with the Grifphon Funds for perpetrating a long-running Ponzi scheme that raised over $37 million from more than 100 investors in the Pacific Northwest and across the country. See SEC v. Jawed, et al., Civ. Action No. 12-01696 (D. Or. Sep. 20, 2012). From 2006 through 2009, Persad raised approximately $9 million from 26 investors for the Grifphon Funds. Persad served as the primary point of contact between the Grifphon Funds and certain investors. He discussed with investors the Grifphon Funds’ purported high rates of return, the purported nature of the investments, and attested to Jawed’s reputable and trustworthy character. He also provided to investors Grifphon Funds’ private placement memoranda and other marketing materials. Some investors relied solely on Persad’s representations in deciding to invest in the Grifphon Funds and had never met or spoken with Jawed before investing. Jawed paid Persad approximately $386,720 in transaction-based compensation. Although Persad previously was a registered representative associated with various broker-dealer registered with the Commission, he was not associated with a registered broker-dealer during the time he raised money for the Grifphon Funds. The Commission’s Order finds that Persad acted as a broker without being registered or associated with a registered broker or dealer in violation of Section 15(a) of the Exchange Act.
Based on the above, the Order orders Persad to cease and desist from committing or causing any violations and any future violations of Section 15(a) of the Exchange Act and bars Persad from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock with the right to apply for reentry after three years. Persad consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-68370; File No. 3-15122)
In the Matter of Dominic O’Dierno
On December 6, 2012, the Commission issued an Order Instituting Administrative and Cease-and Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Dominic O’Dierno. The Order finds that O’Dierno, age 45, of Portland, OR, was retained by Yusef Jawed, of Portland, OR, to raise money for Jawed’s purported hedge funds Grifphon Alpha I Fund, L.P. and Grifphon Qualified Fund, L.P. (the Grifphon Funds). In September 2012, the Commission charged Jawed and certain entities he controlled with securities fraud in connection with the Grifphon Funds for perpetrating a long-running Ponzi scheme that raised over $37 million from more than 100 investors in the Pacific Northwest and across the country. See SEC v. Jawed, et al., Civ. Action No. 12-01696 (D. Oregon, Sep. 20, 2012). From 2005 through 2008, O’Dierno raised approximately $2.3 million from seven investors for the Grifphon Funds. O’Dierno served as the point of contact between the Grifphon Funds and certain investors. He answered investors’ questions about the Grifphon Funds, including repeating the false statements made by Jawed about the Grifphon Funds’ investment strategies and the types of investments they made. He also provided to investors certain of the Grifphon Funds’ marketing materials. Jawed paid O’Dierno approximately $118,770 in transaction-based compensation. In 2011, O’Dierno paid for certain of Grifphon Funds’ expenses in the amount of $82,728. Although O’Dierno previously was a registered representative associated with a broker-dealer registered with the Commission, he was not associated with a registered broker-dealer during the time he raised money for the Grifphon Funds. The Commission’s Order finds that O’Dierno acted as a broker without being registered or associated with a registered broker or dealer in violation of Section 15(a) of the Exchange Act.
Based on the above, the Order orders O’Dierno to cease and desist from committing or causing any violations and any future violations of Section 15(a) of the Exchange Act and to pay $45,561 in disgorgement and prejudgment interest over a two-year period. The Order also bars O’Dierno from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock with the right to apply for reentry after three years. O’Dierno consented to the issuance of the Order without admitting or denying the findings in the Order. (Rel. 34-68371; File No. 3-15123)
In the Matter of David F. Bandimere and John O. Young
On December 6, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Section 9(b) of the Investment Company Act of 1940, and Sections 203(f) and (k) of the Investment Advisers Act of 1940, and Notice of Hearing (Order) against David F. Bandimere and John O. Young. The Division of Enforcement alleges in the Order that, among other things, Bandimere and Young willfully violated the antifraud provisions of the Securities Act and Exchange Act while operating as unregistered brokers in selling unregistered investments in IV Capital Ltd. (IV Capital) and Universal Consulting Resources LLC (UCR), two Ponzi schemes which the Commission brought actions against in 2011 and 2010 respectively. The Division alleges that between 2006 and 2010, Bandimere raised at least $9.3 million from over 60 investors while acting as an unregistered broker for these Ponzi schemes and earned at least $735,000 in compensation. The Division further alleges that Bandimere misled potential investors by presenting only a one-sided, positive view of the IV Capital and UCR investments while failing to disclose numerous red flags and negative facts. With regard to Young, the Division alleges that he raised approximately $2.5 million from at least 20 investors between 2007 and 2010 while acting as unregistered broker for UCR and IV Capital, earning at least $400,000 in compensation. The Division further alleges that Young made numerous misrepresentations to investors, including claiming that he and his family had significantly invested in UCR when they had not invested at all. Finally, the Division alleges that both Bandimere and Young willfully violated Section 5 of the Securities Act by selling unregistered securities.
A hearing will be scheduled before an Administrative Law Judge to provide Bandimere and Young an opportunity to respond to the allegations of the Division contained in the Order, to determine whether these allegations are true, and to determine whether remedial sanctions, a cease-and-desist order, an accounting, disgorgement and civil penalties should be ordered against Bandimere and Young. As directed by the Commission, the administrative law judge shall issue an initial decision in this matter not later than 300 days from the date of service of the Order. (Rels. 33-9372; 34-68372; IC-30293; IA-3511; File No. 3-15124)
In the Matter of William J. Reilly, Esq.
On December 6, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 4C of the Securities Exchange Act of 1934 and Rule 102(e)(1)(ii) of the Commission’s Rules of Practice (Order) against William J. Reilly, Esq. of Boca Raton, Florida. The Office of the General Counsel alleges in the Order that Reilly engaged in improper professional conduct by providing a legal opinion letter contained in a public company’s filing with the Commission while he was subject to a 2009 Commission order suspending him from appearing or practicing before Commission as an attorney. The Order further alleges that United States District Court for the Southern District of Florida issued an order finding that Reilly knowingly practiced before the Commission and violated the 2009 Commission order suspending him from appearing or practicing before the Commission as an attorney by providing this opinion letter. An administrative hearing will be scheduled to determine whether the allegations in the Order are true, to provide Reilly an opportunity to establish any defenses to the allegations, and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, the administrative law judge shall issue an initial decision in this matter no later than 300 days from the date of service of the Order. (Rel. 34-68374; File No. 3-15126)
SEC Secures Trial Victory and Obtains Over $2.1 Million in Disgorgement and Penalties in Market Manipulation Case
The Securities and Exchange Commission announced today that on October 18, 2012, the Honorable Sandra J. Feuerstein of the U.S. District Court for the Eastern District of New York entered a final judgment against two brothers, Mayer Amsel and David Amsel, following a bench trial in a market manipulation case involving the securities of a company known as East Delta Resources Corp.
The final judgment orders the Amsels to pay, on a joint and several basis, $936,780.46 in disgorgement and $326,631.17 in prejudgment interest. In addition, Mayer Amsel was ordered to pay a civil money penalty of $455,000, and David Amsel was ordered to pay a civil money penalty of $715,000.
Besides monetary remedies, the judgment also provides injunctive relief. The Amsels were permanently enjoined from violating Section 10(b) of the Securities Exchange Act of 1934; Exchange Act Rule 10b-5; and Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933. The judgment likewise permanently enjoins both men from participating in any offering of penny stock and any activities to induce the purchase or sale of any penny stock. David Amsel was permanently enjoined from aiding and abetting violations of Section 13(a) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, and 13a-13. David Amsel was also enjoined from serving as an officer or director of a publicly held company for eight years from September 7, 2012.
The SEC charged the Amsels in January 2010, alleging that together they garnered more than $1 million in illegal profits when they conducted unlawful wash sales and matched sales of unregistered East Delta shares. All of the SEC’s claims against the Amsels were resolved in the SEC’s favor via summary judgment, at trial, or through two post-trial rulings. All of the findings in the court’s summary judgment ruling and post-trial rulings were incorporated into the final judgment.
The court found on summary judgment that the Amsels violated Section 10(b) of the Exchange Act and Section 17(a) of the Securities Act when they executed fraudulent wash sales and matched sales, and that David Amsel aided and abetted East Delta’s violation of Section 13(a) of the Exchange Act when he prepared certain SEC filings for East Delta. Based upon the evidence presented at trial, the court found that both Amsels also violated Sections 5(a) and 5(c) of the Securities Act by selling unregistered East Delta shares, notwithstanding the existence of a Form S-8 registration statement and consulting agreement associated with Mayer Amsel’s stock. Significantly, the court found the Form S-8 ineffective for registration purposes because the “primary character” of Mayer Amsel’s consulting role at East Delta was capital-raising and promotional and thus contrary to the eligibility requirements for effective Form S-8 registration.
The SEC’s case was litigated by Frederick Block, Assistant Chief Litigation Counsel and Danette Edwards, Senior Counsel. The investigation prior to the litigation was led by Stephen Herm, David Neuman, Senior Investigations Counsel, and Gregory Faragasso, Assistant Director.
The SEC appreciates the assistance of the Quebec Autorité des marchés financiers (AMF) and the British Columbia Securities Commission (BCSC) in connection with the investigation leading to the litigation.
For further information, see Litigation Release No. 21395, January 26, 2010; the complaint filed on January 26, 2010; Litigation Release No. 21927, April 13, 2011; the order on summary judgment; the memorandum of decision; and the final judgment. [SEC v. East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel, Civil No. CV10-0310 (E.D.N.Y.)] (LR-22561)
SEC Charges Florida-Based Lawyer with Forging Attorney Opinion Letters for Microcap Stocks
The Securities and Exchange Commission today announced charges against a Florida-based securities lawyer for issuing fraudulent attorney opinion letters that resulted in more than 70 million shares of microcap stock becoming available for unrestricted trading by investors.
An attorney opinion letter is required from a licensed and duly authorized securities lawyer in order to facilitate the transfer of restricted microcap shares on the over-the-counter markets. In April 2010, the Pink Sheets (now OTC Markets Group) banned Guy M. Jean-Pierre of Pompano Beach, Fla., from issuing attorney opinion letters due to “repeated missing information and inconsistencies” about the issuers and his lack of due diligence in his past letters.
The SEC alleges that Jean-Pierre has since engaged in a scheme to continue writing and issuing attorney opinion letters in the name of his niece by applying her signature without her consent. Jean-Pierre (also known as Marcelo Dominguez de Guerra) sought to evade the ban by forming a new company called Complete Legal Solutions and misrepresenting that his niece was conducting the legal work that was allegedly performed.
“Securities lawyers are trusted gatekeepers in the issuance of stock, and it is particularly offensive when attorneys like Jean-Pierre blatantly break the rules and commit fraud,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “The SEC is committed to punishing offenders like Jean-Pierre as we continue to root out the enablers of microcap fraud in our markets.”
According to the SEC’s complaint filed late yesterday in U.S. District Court for the Southern District of New York, Jean-Pierre hatched a plan within two weeks of his ban to continue issuing attorney opinion letters through Complete Legal and his niece’s identity. Jean-Pierre’s niece, a licensed attorney herself, was looking for work at the time. Jean-Pierre told his niece about his work issuing attorney opinion letters and offered to pay her to assist him. He suggested they form Complete Legal and asked her to send him three copies of her signature and a copy of her driver’s license. Jean-Pierre’s niece complied with his requests with the understanding this information was needed to incorporate Complete Legal. Afterwards, Jean-Pierre never requested that his niece do any legal work at Complete Legal and she was not compensated for any such work.
Instead, the SEC alleges that Jean-Pierre used the new company and his niece’s identity to continue his prior practice of issuing attorney opinion letters. Each of these letters contained fraudulent statements and falsely represented his niece as the signatory. Jean-Pierre’s niece did not write any of the letters and did not make the representations concerning the issuers. Jean-Pierre fabricated attorney opinion letters on Complete Legal letterhead for at least 11 companies that traded publicly on the Pink Sheets. Certain letters resulted in Pink Sheet issuers being granted the improved status of having adequate current information in the public domain under Rule 144(c)(2) of the Securities Act of 1933. This status kept the issuers from being tagged on the Pink Sheets’ website with a red “STOP” sign near its ticker symbol with the moniker of “OTC Pink No Information” and a large warning that the company “may not be making material information publicly available.”
According to the SEC’s complaint, adequate current public information about an issuer must be available for certain selling security holders to comply with the Rule 144 safe harbor allowing companies to issue unregistered securities pursuant to Section 4(1) of the Securities Act. Jean-Pierre falsely issued letters bearing his niece’s signature to transfer agents opining that restrictive legends could be legally removed from either pre-existing stock certificates or newly issued stock certificates pursuant to Rules 144 or 504 of the Securities Act.
The SEC’s complaint alleges that Jean-Pierre violated Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The SEC is seeking disgorgement of ill-gotten gains with prejudgment interest and financial penalties, a permanent injunction, and a bar from participating in the offering of any penny stock pursuant to Section 20(g) of the Securities Act.
The SEC’s investigation, which is continuing, has been conducted by Megan Genet and Steven G. Rawlings in the New York Regional Office. Todd Brody, Barry Kamar, and Ms. Genet are handling the SEC’s litigation. (Press Rel. 2012-257 ; [SEC v. Guy M. Jean-Pierre a/k/a Marcelo Dominguez de Guerra, Civil Action No. 12-cv-8886-MGC (S.D.N.Y.)] (LR-22562)
SEC Charges Prominent Entrepreneur in Miami-Based Scheme
The Securities and Exchange Commission today charged a prominent Miami-based entrepreneur with defrauding investors by grossly exaggerating the financial success of his company that purportedly produced housing materials to withstand fires and hurricanes. Claudio Osorio stole nearly half of the money raised from investors to pay the mortgage on his multi-million dollar mansion and other lavish highlife expenses.
The SEC alleges that Osorio, who is a former Ernst & Young Entrepreneur of the Year award winner, raised at least $16.8 million from investors by portraying InnoVida Holdings LLC as having millions of dollars more in cash and equity than it actually did. Osorio sometimes solicited investors one-on-one at political fundraising events. To add an air of legitimacy to his company, Osorio assembled a high-profile board of directors that included a former governor of Florida, a lobbyist, and a major real estate developer. Osorio falsely told a potential investor he had invested tens of millions of dollars of his own money as InnoVida’s largest stakeholder, and he hyped a Middle Eastern sovereign wealth fund investment as a ruse to solicit additional funds from investors.
The SEC also charged InnoVida’s chief financial officer Craig Toll, a certified public accountant living in Pembroke Pines, Fla., who helped Osorio create the false financial picture of InnoVida.
The SEC alleges that besides his Miami Beach mansion, Osorio illegally used investor money to pay for his Maserati, a Colorado mountain retreat home, and country club dues. He stole at least $8.1 million in investor funds.
“From his lap of luxury, Osorio concocted a compelling story about InnoVida by recruiting an impressive board of directors and boasting a bogus financial condition to lure investors into funding his scheme of lies,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office.
In a parallel action, the U.S. Attorney’s Office for the Southern District of Florida today announced criminal charges against Osorio and Toll.
According to the SEC’s complaint filed in U.S. District Court for the Southern District of Florida, the scheme began in 2007 and lasted until 2010. InnoVida was purportedly in the business of manufacturing building panels used to construct houses and other structures resistant to fires and hurricanes. The company entered bankruptcy in 2011.
To induce funds from investors, Osorio and Toll allegedly produced false pro forma financial statements. A pro forma financial statement for March 31, 2009, stated that InnoVida had more than $35 million in cash and cash equivalents and more than $100 million of equity. A pro forma financial statement for Dec. 31, 2009, listed more than $39 million in cash and cash equivalents and $122 million of equity. In reality, the company’s bank accounts held less than $185,000 on March 31, 2009, and less than $2 million on Dec. 31, 2009. Toll failed to review all of InnoVida’s bank account statements when he drafted financial statements. Instead, he accepted Osorio’s misrepresentations that InnoVida had these assets in an account to which Toll did not have access.
The SEC alleges that Osorio offered bogus share prices to prospective investors based on false valuations. He told one investor that InnoVida was valued at $250 million, and then a week later told a different investor that the company was worth $50 million. The latter investor purchased $100,000 of Osorio’s stake in the company for five cents per share.
The SEC further alleges that Osorio lied to an investor when he said that he had personally invested tens of millions of dollars into InnoVida. He had in fact made no such investment. Osorio also enticed an investor to increase an investment in InnoVida by touting a supposed $500 million deal he was negotiating with a Middle Eastern sovereign wealth fund that would significantly benefit InnoVida investors. Osorio went so far as to create a document showing the investor how much he would make once the sovereign wealth deal closed and was funded. Based on Osorio’s misrepresentations, the investor was able to raise approximately $700,000 and later borrowed $3 million from a close friend. However, no sovereign wealth buyout deal ever materialized, and InnoVida investors never benefited as promised.
The SEC’s complaint seeks disgorgement of ill-gotten gains, financial penalties, and injunctive relief against InnoVida, Osorio, and Toll to enjoin them from future violations of the federal securities laws. The complaint also seeks an order barring Osorio and Toll from serving as an officer or director of a public company.
The SEC’s investigation was conducted in the Miami Regional Office by Senior Investigations Counsel Gary M. Miller and Accountant Karaz S. Zaki under the supervision of Assistant Regional Director Elisha L. Frank. Amie Riggle Berlin will lead the SEC’s litigation. The SEC acknowledges the assistance and cooperation of the U.S. Attorney’s Office for the Southern District of Florida, and the Federal Bureau of Investigation’s Miami Division. (Press Rel. 2012-258; [SEC v. InnoVida Holdings LLC, Claudio Osorio and Craig Toll, Civil Action No. 1:12-CV-24326, S.D. Fla.] (LR-22563)
Immediate Effectiveness of Proposed Rule Changes
New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-70) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 relating to Rule 472 (Communications with the Public). The proposed rule change has become immediately effective. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68353)
NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2012-73) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 relating to Rule 472 - Equities (Communications with the Public). The proposed rule change has become immediately effective. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68354)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the fees schedule (SR-CBOE-2012-115) 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 10. (Rel. 34-68360)
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document
The Commission granted approval of the accelerated delivery of a supplement to the options disclosure document, submitted by The Options Clearing Corporation (SR-ODD-2012-02) pursuant to Rule 9b-1 under the Securities Exchange Act of 1934, reflecting certain changes to disclosure regarding adjustments for cash dividends and distributions in respect of options overlying less than 100 shares to accommodate the trading of Mini Options. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68368)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 China Ceetop.com, Inc., A2803, LIANHE GUANGCHANG,, 5022 BINHE DADAO, FUTIAN DISTRICT,, SHENZHEN, F4, 518033, (86-755) 3336-6628 - 0 ($1,760.00) Equity, (File 333-185294 - Dec. 6) (BR. 02) S-1 TobahMaoz, Inc., 94 EAST CANYON ROAD, PO BOX 32, MAYFIELD, UT, 84643, 435-262-1335 - 35,000,000 ($35,000,000.00) Equity, (File 333-185296 - Dec. 6) (BR. 01) S-1 PRWC Energy Inc., 3350 SOUTH 2940 EAST#9948, SALT LAKE CITY, UT, 84109, 604-331-4422 - 10,000,000 ($20,000.00) Equity, (File 333-185297 - Dec. 6) (BR. 09) S-8 UNILEVER PLC, UNILEVER HOUSE, BLACKFRIARS, LONDON ENGLAND, X0, EC4P 4BQ, 201-894-2790 - 7,300,000 ($277,966,000.00) Equity, (File 333-185299 - Dec. 6) (BR. 04B) S-8 SUMMER ENERGY HOLDINGS INC, 800 BERING DRIVE, SUITE 260, HOUSTON, TX, 77057, (713) 375-2790 - 785,000 ($1,609,250.00) Equity, (File 333-185303 - Dec. 6) (BR. 06B) S-1 Darkstar Ventures, Inc., 410 PARK AVE, 15TH FL, NEW YORK, NY, 10022, 866-360-7565 - 2,000,000 ($3,400,000.00) Equity, (File 333-185305 - Dec. 6) (BR. 02) S-3 CITY HOLDING CO, 25 GATEWATER ROAD, P O BOX 7520, CHARLESTON, WV, 25313, 3047691100 - 100,000,000 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-185306 - Dec. 6) (BR. 07B) S-3 AMICUS THERAPEUTICS INC, 6 CEDAR BROOK DRIVE, CRANBURY, NJ, 08512, (609) 662-2000 - 0 ($149,490,000.00) Equity, (File 333-185307 - Dec. 6) (BR. 01B) S-3 CYTRX CORP, 11726 SAN VICENTE BOULEVARD, SUITE 650, LOS ANGELES, CA, 90049, 310-826-5648 - 0 ($100,000,000.00) Equity, (File 333-185308 - Dec. 6) (BR. 01B) S-3 MULTI FINELINE ELECTRONIX INC, 8659 RESEARCH DR., IRVINE, CA, 92618, 949-453-6800 - 0 ($243,444,165.00) Equity, (File 333-185309 - Dec. 6) (BR. 03A) S-8 Xenith Bankshares, Inc., ONE JAMES CENTER, 901 E. CARY STREET, SUITE 1700, RICHMOND, VA, 23219, (804) 433-2200 - 0 ($4,704,597.85) Equity, (File 333-185310 - Dec. 6) (BR. 07C) S-3ASR CME GROUP INC., 20 S. WACKER DR., CHICAGO, IL, 60606, 3129303011 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-185311 - Dec. 6) (BR. 08C) S-3 Market Leader, Inc., 11332 N.E. 122ND WAY, SUITE 200, KIRKLAND, WA, 98034, (425) 952-5615 - 0 ($59,840,000.00) Unallocated (Universal) Shelf, (File 333-185312 - Dec. 6) (BR. 11C) S-4 NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/, 20701 COOPERATIVE WAY, DULLES, VA, 20166-6691, 7034671800 - 0 ($379,372,000.00) Other, (File 333-185313 - Dec. 6) (BR. 07C) S-8 TUESDAY MORNING CORP/DE, 6250 LBJ FREEWAY, DALLAS, TX, 75240, 2143873562 - 0 ($17,619,750.00) Equity, (File 333-185314 - Dec. 6) (BR. 02C) S-3 PACIFIC MERCANTILE BANCORP, 949 SOUTH COAST DRIVE, THIRD FLOOR, COSTA MESA, CA, 92626, 714-438-2500 - 0 ($30,519,720.00) Equity, (File 333-185316 - Dec. 6) (BR. 07C)
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 ----------------------------------------------------------------------------------------- 1st Century Bancshares, Inc. DE 1.01,9.01 12/04/12 A123 SYSTEMS, INC. DE 7.01,9.01 12/03/12 ABRAXAS PETROLEUM CORP NV 6.05,9.01 12/05/12 ADCARE HEALTH SYSTEMS INC OH 1.01,2.03,9.01 11/30/12 ADT Corp DE 5.03,9.01 12/06/12 ADVANCED MICRO DEVICES INC DE 1.01 12/06/12 ADVENT SOFTWARE INC /DE/ DE 2.03 11/30/12 Affinia Group Intermediate Holdings I DE 2.01 11/30/12 AIRGAS INC DE 1.01,2.03,9.01 12/05/12 ALBANY MOLECULAR RESEARCH INC DE 1.01,1.02,8.01,9.01 12/04/12 Altisource Portfolio Solutions S.A. N4 8.01,9.01 12/06/12 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 12/06/12 AMERIGROUP CORP 8.01 12/06/12 AMERISOURCEBERGEN CORP DE 8.01,9.01 12/05/12 ANALOGIC CORP MA 2.02,9.01 12/06/12 APPLIED MICRO CIRCUITS CORP DE 2.05 12/03/12 ARDENT MINES LTD 5.06,9.01 08/31/11 ARTS WAY MANUFACTURING CO INC DE 7.01,9.01 12/06/12 Ascena Retail Group, Inc. DE 7.01,9.01 12/05/12 Aspect FuturesAccess LLC DE 5.03,9.01 11/30/12 ASPEN TECHNOLOGY INC /DE/ DE 5.07 12/06/12 ASSURED GUARANTY LTD D0 8.01,9.01 12/06/12 ASSURED GUARANTY LTD D0 7.01 12/06/12 ASTEC INDUSTRIES INC TN 8.01 12/06/12 ATHENAHEALTH INC DE 7.01 12/06/12 AtheroNova Inc. DE 5.02,9.01 12/04/12 AUTHENTIDATE HOLDING CORP DE 3.02,8.01 12/01/12 AVANIR PHARMACEUTICALS, INC. DE 5.02 12/04/12 Avantair, Inc DE 1.01,2.03,3.02,7.01, 11/30/12 9.01 AXESSTEL INC NV 7.01,9.01 12/06/12 Bancorp of New Jersey, Inc. NJ 5.02 12/06/12 Banyan Rail Services Inc. DE 1.01,2.03,9.01 11/30/12 BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 12/03/12 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 12/06/12 BERRY PLASTICS GROUP INC DE 1.01,2.03,9.01 12/06/12 BillMyParents, Inc. CO 1.01,3.02,9.01 11/30/12 BIO REFERENCE LABORATORIES INC NJ 2.02,9.01 12/06/12 BIOLASE, INC DE 7.01,9.01 12/06/12 BIOTIME INC CA 1.01 11/30/12 BlueLinx Holdings Inc. DE 7.01,9.01 12/06/12 BofI Holding, Inc. DE 7.01,9.01 12/05/12 Bohai Pharmaceuticals Group, Inc. NV 1.01,8.01,9.01 12/06/12 BOSTON FINANCIAL QUALIFIED HOUSING TA DE 8.01 12/06/12 BOWL AMERICA INC MD 5.07 12/04/12 BOWL AMERICA INC MD 8.01 12/04/12 BreitBurn Energy Partners L.P. DE 2.01,3.02,5.02,7.01, 11/30/12 9.01 Buckingham Exploration Inc. NV 5.02 12/06/12 Bunge LTD 5.02,8.01,9.01 12/05/12 Bunge LTD 8.01,9.01 12/05/12 BWAY PARENT COMPANY, INC. DE 1.01,8.01,9.01 11/30/12 CADENCE PHARMACEUTICALS INC 1.01,2.03,3.02,9.01 12/05/12 CADENCE PHARMACEUTICALS INC 7.01,9.01 12/06/12 CAESARS ENTERTAINMENT Corp DE 8.01,9.01 12/06/12 CANTEL MEDICAL CORP DE 2.02,9.01 12/06/12 CAPITOL BANCORP LTD MI 1.02 12/06/12 Capitol Federal Financial Inc MD 7.01,9.01 12/06/12 CAPSTEAD MORTGAGE CORP MD 5.03,5.05,7.01,9.01 11/30/12 Capstone Therapeutics Corp. DE 8.01,9.01 12/06/12 Car Charging Group, Inc. NV 8.01,9.01 11/30/12 CARNIVAL CORP DE 8.01,9.01 12/06/12 CATASYS, INC. DE 1.01,3.02,9.01 12/04/12 CBRE GROUP, INC. DE 7.01,8.01,9.01 12/06/12 CEDAR FAIR L P DE 3.02 12/05/12 CHEROKEE INC DE 2.02,9.01 12/06/12 CHINA SHEN ZHOU MINING & RESOURCES, I NV 5.02,8.01,9.01 12/03/12 China Shengda Packaging Group Inc. NV 8.01,9.01 12/06/12 CHUY'S HOLDINGS, INC. DE 1.01,1.02,9.01 11/30/12 CIRCLE STAR ENERGY CORP. NV 7.01,9.01 12/06/12 CIRCOR INTERNATIONAL INC DE 5.02,7.01 12/05/12 Clean Coal Technologies Inc. NV 1.01,3.02,5.02,5.03, 12/05/12 9.01 Cleartronic, Inc. FL 8.01 12/06/12 CME GROUP INC. DE 8.01,9.01 12/06/12 CMS ENERGY CORP MI 1.01,9.01 11/30/12 COFFEE HOLDING CO INC NV 8.01 12/06/12 COMMERCE GROUP CORP /WI/ 8.01 11/30/12 Community Choice Financial Inc. 5.02,5.07 12/06/12 Computer Vision Systems Laboratories FL 5.02 11/30/12 COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 10/31/12 Consolidation Services, Inc. DE 5.07 11/30/12 Constant Contact, Inc. DE 5.02,8.01 12/04/12 Constellation Energy Partners LLC DE 7.01,9.01 12/06/12 COOPER COMPANIES INC DE 2.02,8.01,9.01 12/05/12 COPART INC CA 5.07 12/05/12 CPI AEROSTRUCTURES INC NY 1.01,2.03,7.01,9.01 12/05/12 CPI International Holding Corp. 2.02,9.01 12/05/12 CROWN CASTLE INTERNATIONAL CORP DE 8.01,9.01 12/05/12 CUMMINS INC IN 8.01 12/06/12 DARA BioSciences, Inc. DE 3.01 11/30/12 Dehaier Medical Systems Ltd 7.01,9.01 12/06/12 DENBURY RESOURCES INC DE 1.01,2.01,9.01 11/30/12 DEX ONE Corp DE 1.01,8.01,9.01 12/05/12 DFC GLOBAL CORP. DE 5.02,9.01 12/05/12 Digerati Technologies, Inc. NV 8.01 12/06/12 DISH Network CORP NV 5.02 11/30/12 DOLE FOOD CO INC DE 5.07,7.01,8.01,9.01 12/06/12 DOT HILL SYSTEMS CORP DE 8.01,9.01 12/06/12 DOVER Corp DE 7.01,9.01 12/06/12 DURECT CORP DE 1.01,8.01,9.01 12/05/12 DYNAMIC VENTURES CORP. 5.02 12/01/12 ECOLAB INC DE 5.02 11/30/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 1.01,2.03,5.02,8.01, 12/06/12 9.01 EL PASO ELECTRIC CO /TX/ TX 8.01,9.01 12/06/12 EMCORE CORP NJ 2.02,7.01,9.01 12/06/12 EMULEX CORP /DE/ DE 1.01,8.01,9.01 12/05/12 Energy Future Holdings Corp /TX/ TX 1.01,2.03,9.01 11/30/12 EPOCH HOLDING CORP DE 8.01,9.01 12/06/12 EPOCH HOLDING CORP DE 1.01,9.01 12/06/12 EQUIFAX INC GA 7.01,9.01 12/06/12 EQUINIX INC DE 1.01,2.03 11/30/12 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 12/06/12 FEDERAL AGRICULTURAL MORTGAGE CORP 8.01,9.01 12/06/12 Federal Home Loan Bank of Atlanta X1 2.03 12/03/12 Federal Home Loan Bank of Boston X1 2.03 12/03/12 Federal Home Loan Bank of Chicago X1 2.03 12/04/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/03/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/04/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/03/12 Federal Home Loan Bank of New York X1 2.03,9.01 12/03/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/03/12 Federal Home Loan Bank of San Francis X1 2.03 12/04/12 Federal Home Loan Bank of Seattle 2.03 12/03/12 Federal Home Loan Bank of Topeka 2.03,9.01 12/03/12 FINISH LINE INC /IN/ IN 1.01,1.02,2.03,9.01 11/30/12 Firemans Contractors, Inc. NV 5.02,9.01 12/04/12 FIRST PACTRUST BANCORP INC MD 8.01,9.01 12/03/12 FLORIDIAN FINANCIAL GROUP INC 3.02,8.01,9.01 11/30/12 FLOW INTERNATIONAL CORP WA 2.02,9.01 12/06/12 FOREST CITY ENTERPRISES INC OH 2.02,9.01 12/06/12 FOREST CITY ENTERPRISES INC OH 2.02,9.01 12/06/12 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,5.02,8.01,9.01 12/05/12 GENEREX BIOTECHNOLOGY CORP DE 1.01,2.03 11/30/12 GENESIS GROUP HOLDINGS INC 3.02,3.03,5.02,9.01 11/30/12 GERON CORP DE 1.02,2.05,5.02,8.01 12/01/12 Global Growth Trust, Inc. MD 1.01,2.01,2.03,7.01, 11/30/12 9.01 Global Resource Energy Inc. NV 8.01 12/06/12 GLOBALSCAPE INC DE 7.01,9.01 12/06/12 GOLDFIELD CORP DE 5.02,8.01,9.01 12/06/12 GRAY TELEVISION INC GA 5.02 12/05/12 Green Plains Renewable Energy, Inc. IA 1.01,2.01,7.01,9.01 11/30/12 Griffin Capital Net Lease REIT, Inc. 8.01 09/24/12 Griffin Capital Net Lease REIT, Inc. 2.03,9.01 12/04/12 Guidewire Software, Inc. DE 5.07 12/05/12 GULFMARK OFFSHORE INC DE 1.01,2.03,7.01,9.01 11/30/12 H&R BLOCK INC MO 2.02,9.01 12/06/12 HANGER, INC. DE 2.01,9.01 12/05/12 HANMI FINANCIAL CORP DE 8.01,9.01 12/04/12 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.07 12/05/12 HARRIS CORP /DE/ DE 7.01,9.01 12/06/12 HARTE HANKS INC DE 8.01,9.01 12/06/12 HASBRO INC RI 8.01,9.01 12/06/12 HCA Holdings, Inc. 1.01,2.03,8.01,9.01 12/03/12 HD SUPPLY, INC. DE 2.02,9.01 12/06/12 HEALTH CARE REIT INC /DE/ DE 8.01 11/30/12 Heckmann Corp DE 1.01,2.01,2.03,3.02, 11/30/12 5.02,8.01,9.01 HERSHA HOSPITALITY TRUST MD 5.02 12/03/12 HI TECH PHARMACAL CO INC NY 2.02,9.01 12/06/12 Highbridge Commodities FuturesAccess DE 5.03,9.01 11/30/12 HII Technologies, Inc. 1.01,2.01,3.02,5.02, 09/26/12 AMEND 9.01 HUBBELL INC CT 5.02,5.03,7.01,9.01 12/04/12 HUMANA INC DE 1.01,9.01 12/05/12 IASIS Healthcare LLC DE 2.02,9.01 12/06/12 ICONIX BRAND GROUP, INC. DE 2.01,9.01 11/30/12 ImmunoCellular Therapeutics, Ltd. DE 5.02,9.01 12/03/12 IMMUNOMEDICS INC DE 5.07,9.01 12/05/12 Innovaro, Inc. 3.01,9.01 12/04/12 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01 12/04/12 INTEGRATED SILICON SOLUTION INC DE 1.01,9.01 12/04/12 INTEL CORP DE 7.01,8.01,9.01 12/04/12 INTELLIGENT COMMUNICATION ENTERPRISE PA 2.01,3.02,5.01,5.02, 11/30/12 8.01,9.01 INTERNATIONAL BARRIER TECHNOLOGY INC A1 7.01,9.01 12/04/12 INTERNATIONAL SHIPHOLDING CORP DE 2.01,9.01 12/05/12 INVACARE CORP OH 7.01,9.01 12/05/12 IRELAND INC. NV 1.01,3.02,9.01 11/30/12 Iridium Communications Inc. DE 3.02,5.02,7.01,8.01, 11/30/12 9.01 ISC8 INC. /DE DE 1.01,5.02,9.01 11/30/12 IVANHOE ENERGY INC 7.01,9.01 12/06/12 JINZANGHUANG TIBET PHARMACEUTICALS, I DE 4.01,9.01 12/05/12 JOHNSON CONTROLS INC WI 5.02 11/30/12 Kearny Financial Corp. X1 5.02 12/04/12 Kentucky First Federal Bancorp 8.01,9.01 11/30/12 KEWAUNEE SCIENTIFIC CORP /DE/ DE 5.02,5.03 12/05/12 KNIGHT CAPITAL GROUP, INC. DE 1.01,2.03,9.01 12/05/12 KORN FERRY INTERNATIONAL DE 2.02,9.01 12/06/12 KORN FERRY INTERNATIONAL DE 1.01,8.01,9.01 12/05/12 LA JOLLA PHARMACEUTICAL CO CA 8.01,9.01 12/05/12 LANDSTAR SYSTEM INC DE 5.02,8.01 12/04/12 LAYNE CHRISTENSEN CO DE 2.02,2.05,5.02,7.01, 12/04/12 9.01 LEUCADIA NATIONAL CORP NY 5.02,8.01,9.01 12/03/12 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 12/06/12 Lifevantage Corp CO 8.01,9.01 12/05/12 LMI AEROSPACE INC MO 1.01,7.01,9.01 12/05/12 LODGENET INTERACTIVE CORP DE 5.02,9.01 11/21/12 AMEND LSB INDUSTRIES INC DE 1.01,9.01 11/30/12 lululemon athletica inc. DE 2.02,5.02,9.01 12/04/12 MAD CATZ INTERACTIVE INC Z4 1.01 12/03/12 Man AHL FuturesAccess LLC DE 5.03,9.01 11/30/12 Marriott Vacations Worldwide Corp DE 8.01 11/30/12 Marriott Vacations Worldwide Corp DE 8.01 12/04/12 Matador Resources Co TX 7.01,9.01 12/06/12 MAYS J W INC NY 2.02 12/06/12 MDC PARTNERS INC A6 8.01,9.01 12/06/12 MDC PARTNERS INC A6 8.01,9.01 12/06/12 MEDIZONE INTERNATIONAL INC NV 4.01,9.01 12/03/12 MEDL Mobile Holdings, Inc. NV 7.01,9.01 12/06/12 MENS WEARHOUSE INC TX 2.02,9.01 12/05/12 MENS WEARHOUSE INC TX 2.02,9.01 12/05/12 METHODE ELECTRONICS INC DE 2.02,9.01 12/06/12 MEXICO FUND INC MD 7.01,9.01 11/30/12 MICROS SYSTEMS INC MD 5.02,9.01 12/03/12 MID AMERICA APARTMENT COMMUNITIES INC TN 5.02 12/04/12 MISONIX INC NY 5.07 12/04/12 MISSION COMMUNITY BANCORP CA 8.01 11/29/12 ML BlueTrend FuturesAccess LLC DE 5.03,9.01 11/30/12 ML Transtrend DTP Enhanced FuturesAcc DE 5.03,9.01 11/30/12 ML Winton FuturesAccess LLC DE 5.03,9.01 11/30/12 MOTORCAR PARTS AMERICA INC NY 1.01,2.03,9.01 12/03/12 MRC GLOBAL INC. DE 7.01,9.01 12/06/12 MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 12/06/12 NANOPHASE TECHNOLOGIES CORPORATION IL 1.01,9.01 12/02/12 NATIONAL BANKSHARES INC VA 5.02,9.01 12/06/12 AMEND NATIONAL HEALTHCARE CORP DE 8.01,9.01 12/06/12 National Interstate CORP OH 5.02,9.01 12/06/12 Naugatuck Valley Financial Corp 5.02 11/30/12 NEOGENOMICS INC NV 8.01,9.01 12/06/12 NET TALK.COM, INC. FL 2.03,9.01 11/29/12 NetApp, Inc. CA 1.01,9.01 12/05/12 NETFLIX INC DE 7.01 12/06/12 NextWave Wireless Inc. DE 8.01,9.01 12/06/12 NOBLE ENERGY INC DE 7.01,9.01 12/06/12 Northwest Bancshares, Inc. MD 8.01,9.01 12/06/12 NovaBay Pharmaceuticals, Inc. CA 8.01,9.01 12/06/12 NuStar Energy L.P. DE 7.01,9.01 12/06/12 OAK RIDGE MICRO-ENERGY INC CO 1.01,2.01,9.01 11/30/12 OMEGA PROTEIN CORP NV 5.02,7.01,9.01 12/03/12 OMNOVA SOLUTIONS INC OH 5.04,9.01 12/06/12 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,3.02,5.02,9.01 12/05/12 Onstream Media CORP FL 1.01,2.01,3.02,9.01 11/30/12 ORION ENERGY SYSTEMS, INC. WI 5.02,9.01 12/01/12 PACIFIC PREMIER BANCORP INC DE 1.01,8.01,9.01 12/06/12 PACIFIC WEBWORKS INC NV 5.01,5.02,9.01 11/30/12 PAID INC DE 5.02 11/30/12 Palo Alto Networks Inc DE 2.02,9.01 12/06/12 Patient Safety Technologies, Inc DE 7.01,9.01 12/06/12 PDL BIOPHARMA, INC. DE 7.01,9.01 12/06/12 PEDEVCO CORP TX 1.01,5.03,5.07,9.01 11/30/12 People's United Financial, Inc. DE 8.01,9.01 12/03/12 PHOENIX COMPANIES INC/DE DE 7.01,9.01 12/06/12 PLAINS ALL AMERICAN PIPELINE LP DE 1.01,9.01 12/03/12 PLAINS EXPLORATION & PRODUCTION CO DE 1.01,5.02,9.01 12/05/12 Preventia, Inc. 4.01,9.01 10/22/12 AMEND PROGUARD ACQUISITION CORP FL 2.02,7.01,9.01 12/06/12 Protalix BioTherapeutics, Inc. FL 8.01,9.01 12/06/12 Protea Biosciences Group, Inc. DE 1.01,2.03,3.02,9.01 11/30/12 PVH CORP. /DE/ DE 8.01,9.01 12/06/12 PVH CORP. /DE/ DE 8.01,9.01 12/06/12 PVH CORP. /DE/ DE 5.02 12/05/12 QLT INC/BC A1 2.05,9.01 12/06/12 QR Energy, LP DE 2.01,7.01,9.01 12/04/12 Red Lion Hotels CORP WA 5.02,9.01 12/04/12 REGENCY CENTERS CORP FL 7.01,9.01 12/06/12 Resolute Energy Corp DE 8.01,9.01 12/06/12 Revolution Lighting Technologies, Inc DE 1.01,3.02,9.01 12/01/12 REX ENERGY CORP DE 8.01,9.01 12/06/12 RiceBran Technologies CA 5.02 12/04/12 Roadrunner Transportation Systems, In DE 1.01,8.01,9.01 12/05/12 Rock Energy Resources, Inc. DE 7.01,9.01 12/06/12 ROOMLINX INC NV 7.01,9.01 12/06/12 Rosetta Resources Inc. DE 5.02 12/06/12 Rosetta Resources Inc. DE 5.03,9.01 12/05/12 S&T BANCORP INC PA 7.01,9.01 12/06/12 SABINE ROYALTY TRUST TX 2.02,9.01 12/05/12 Sabra Health Care REIT, Inc. MD 1.01,1.02,9.01 12/01/12 SCANSOURCE INC SC 5.07 12/06/12 SCHOLASTIC CORP DE 1.01 12/05/12 SCHWAB CHARLES CORP DE 8.01,9.01 12/03/12 SCIENTIFIC GAMES CORP DE 5.02,8.01 11/30/12 SCOTTS MIRACLE-GRO CO OH 5.02 12/06/12 Scripps Networks Interactive, Inc. OH 8.01 11/30/12 SecureAlert, Inc. UT 1.01,9.01 12/03/12 Select Notes Trust LT 2004-1 DE 8.01,9.01 12/03/12 SHERIDAN GROUP INC DE 5.02 12/05/12 SIERRA RESOURCE GROUP INC NV 5.02 11/30/12 SINCLAIR BROADCAST GROUP INC MD 2.01,7.01,8.01,9.01 12/01/12 SM Energy Co DE 7.01,9.01 12/05/12 Smack Sportswear NV 2.01,3.02,5.03,9.01 12/06/12 SMITH & WESSON HOLDING CORP NV 2.02,8.01,9.01 12/06/12 SMITH & WESSON HOLDING CORP NV 2.02,7.01 12/06/12 SMITHFIELD FOODS INC VA 2.02,9.01 12/06/12 Solar Senior Capital Ltd. MD 7.01,9.01 12/06/12 Solera National Bancorp, Inc. DE 1.01,5.02,7.01,9.01 11/30/12 SONIC FOUNDRY INC MD 2.02,9.01 12/06/12 SOTHEBYS DE 8.01,9.01 12/06/12 SPARTAN STORES INC MI 1.01,2.03,7.01,9.01 12/04/12 SPEEDEMISSIONS INC FL 1.01,2.01,9.01 11/30/12 SPHERIX INC DE 2.01,5.02,9.01 11/30/12 STONERIDGE INC OH 5.02,9.01 12/03/12 Strategic Storage Trust, Inc. MD 7.01,9.01 12/06/12 STRATS SM TRUST FOR IBM CORP SEC SERI 8.01,9.01 11/29/12 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 12/03/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01 12/04/12 SUMMER ENERGY HOLDINGS INC NV 8.01 12/03/12 SUNRISE SENIOR LIVING INC DE 9.01 10/01/12 AMEND SUPERMEDIA INC. DE 8.01 12/05/12 SUPERMEDIA INC. DE 1.01,8.01,9.01 12/05/12 Synthetic Biologics, Inc. NV 7.01,9.01 12/06/12 Systematic Momentum FuturesAccess LLC DE 5.03,9.01 11/30/12 TANDY LEATHER FACTORY INC DE 5.02,9.01 12/03/12 TECHPRECISION CORP 5.07 12/05/12 THERMOENERGY CORP DE 2.03,9.01 11/30/12 TIDEWATER INC DE 8.01,9.01 12/03/12 Titan Machinery Inc. DE 2.02,9.01 12/06/12 TOOTSIE ROLL INDUSTRIES INC VA 7.01,9.01 12/04/12 Tops Holding Corp DE 7.01,8.01,9.01 12/06/12 Tower Group, Inc. DE 7.01,9.01 12/06/12 TransDigm Group INC DE 7.01,9.01 12/06/12 TRANSWITCH CORP /DE DE 3.01,8.01,9.01 12/04/12 TRAVELCENTERS OF AMERICA LLC 1.01,9.01 12/04/12 TRINITY CAPITAL CORP NM 8.01,9.01 12/06/12 Two Harbors Investment Corp. 1.01,1.02,9.01 12/04/12 U S PHYSICAL THERAPY INC /NV NV 1.01,2.03,8.01,9.01 12/03/12 UNITED GUARDIAN INC DE 7.01,9.01 12/06/12 United Realty Trust Inc MD 5.02 11/30/12 UNITEDHEALTH GROUP INC MN 8.01 12/06/12 UROLOGIX INC MN 1.01,9.01 11/30/12 USEC INC DE 1.01 11/30/12 UTi WORLDWIDE INC D8 2.02,9.01 12/06/12 Vantage Drilling CO E9 1.01,9.01 12/03/12 Vantage Drilling CO E9 7.01 12/05/12 VERINT SYSTEMS INC DE 2.02,7.01,9.01 12/06/12 AMEND VERISIGN INC/CA DE 8.01 12/05/12 VERIZON COMMUNICATIONS INC DE 5.02 12/06/12 Voice Assist, Inc. NV 5.02 11/30/12 VOLTERRA SEMICONDUCTOR CORP 5.02,9.01 12/05/12 WARRINGTON FUND LP NY 5.03 11/30/12 WESTPORT FUTURES FUND L.P. NY 5.03 12/01/12 WhiteHorse Finance, Inc. 8.01,9.01 12/05/12 WINLAND ELECTRONICS INC MN 8.01,9.01 12/03/12 WINLAND ELECTRONICS INC MN 8.01,9.01 12/05/12 WINLAND ELECTRONICS INC MN 1.01,5.02,9.01 11/30/12 World Monitor Trust III - Series J DE 8.01,9.01 12/01/12 Xenith Bankshares, Inc. VA 8.01 12/06/12