Jennifer McHugh Named Senior Advisor in SEC's Division of Investment Management
The Securities and Exchange Commission today announced that Jennifer B. McHugh has been named Senior Advisor to the Director in its Division of Investment Management.
Ms. McHugh will advise the Director of Investment Management on issues related to mutual funds and investment advisers. She starts her new position on December 17.
“We are excited to have Jennifer join the Division of Investment Management as she brings extensive experience on investment management issues,” said Norm Champ, Director of the SEC’s Division of Investment Management. “Jennifer has a wealth of experience from her last four years in the Chairman’s Office that will be extremely helpful to the Division.”
Ms. McHugh said, “I look forward to working with Norm Champ and the dedicated and talented staff of the Division of Investment Management. The Division’s work developing regulatory policy for mutual funds and investment advisers is particularly meaningful and rewarding because it has a direct impact on everyday investors.”
Ms. McHugh served as Acting Director of the Division of Investment Management from the end of 2010 to early 2011, and has been a Senior Advisor to SEC Chairman Mary L. Schapiro since 2009. She is a 13-year SEC veteran who joined the agency in 1999 as an attorney in the Division of Investment Management, where she focused on mutual fund rulemaking. In 2000, she was named Special Counsel in the Division’s Office of Investment Adviser Regulation. From 2001 to 2009, Ms. McHugh served as Senior Advisor to the Director in the Division of Investment Management, advising two Directors and two Acting Directors on management and policy issues. Ms. McHugh received the SEC’s Distinguished Service Award in 2012, and is a three-time recipient of the Chairman’s Award for Excellence.
Ms. McHugh received her J.D., magna cum laude, from Catholic University where she was the Lead Articles Editor of the Catholic University Law Review. She received her B.A., cum laude, from the University of Notre Dame. Prior to joining the SEC staff, Ms. McHugh was an associate in the Investment Management Practice Group of Dechert LLP.
The SEC’s Division of Investment Management protects investors and promotes capital formation through oversight and regulation of the nation’s multi-trillion dollar investment management industry. (Press Rel. 2012-260)
SEC Charges New York-Based Fund Manager with Conducting Fraudulent Trading Schemes
The Securities and Exchange Commission today charged a New York-based fund manager with conducting a pair of illegal trading schemes to financially benefit his investment fund Octagon Capital Partners LP.
The SEC alleges that Steven B. Hart made $831,071 during a four-year period through illicit trading while he also worked as a portfolio manager and employee at a New Jersey-based firm that served as an adviser for several affiliated investment funds. In one scheme, Hart illegally matched 31 pre-market trades to benefit his own fund at the expense of one of his employer’s funds. In the other scheme, Hart conducted insider trading in the securities of 19 issuers based on nonpublic information he learned in advance of their offering announcements. Furthermore, Hart signed two securities purchase agreements in which he falsely represented that he had not traded the issuer’s securities prior to the public announcement of the offerings in which he had been confidentially solicited to invest.
Hart agreed to pay more than $1.3 million to settle the SEC’s charges.
“By engaging in more than 50 instances of illegal activity in his securities trading, Hart showed a complete disregard for the securities laws and our markets,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “Hart also misused his position of authority as a portfolio manager of his employer’s fund in order to make handsome profits for his own fund.”
According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Hart conducted his schemes from 2007 to 2011. He caused Octagon to purchase stock in small, thinly traded issuers at the going market price so that he could sell the same stock the following day to his employer’s fund at a price substantially above the prevailing market price. Each of the sales from Octagon to the employer’s fund occurred in pre-market trading, thus Hart was able to ensure that the trades matched. Later that same day or within a few days of the matched trades, Hart directed the employer’s fund to sell the recently-acquired stock on the open market at a loss. Hart generated ill-gotten gains of $586,338 for Octagon in this scheme.
According to the SEC’s complaint, Hart was confidentially solicited by 19 issuers to invest in securities offerings where he expressly agreed to go “over-the-wall” and keep confidential the information he received and not trade on it. Nevertheless, Hart traded for Octagon on the basis of material nonpublic information about the offerings in breach of his duty of trust or confidence. Hart’s illegal trades involved PIPE offerings, registered direct offerings, and confidentially marketed public offerings. Octagon derived ill-gotten gains of $244,733 as a result of Hart’s misconduct.
The SEC alleges that in order to induce two issuers to sell securities to his fund, Hart signed securities purchase agreements falsely representing that Octagon had not traded the issuers’ securities after he had been solicited. Despite going “over-the-wall” during the solicitations conducted by the two issuers, Hart directed short sales of these issuers’ securities and obtained insider trading profits. He subsequently signed the securities purchase agreements misrepresenting that he hadn’t traded in their securities in the days leading up to the public announcements about the offerings.
The SEC’s complaint against Hart alleges violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. Hart agreed to pay $831,071 in disgorgement, $103,424 in prejudgment interest, and a $394,733 penalty to settle the SEC’s charges without admitting or denying the allegations. Hart also consented to the entry of a judgment enjoining him from future violations of the respective provisions of the Securities Act, Exchange Act, and Advisers Act. The settlement is subject to court approval.
The SEC’s investigation was conducted in the New York Regional Office by Celeste A. Chase, Eduardo A. Santiago-Acevedo, and Osman E. Nawaz with assistance from Frank J. Milewski. The SEC acknowledges the assistance of the Financial Industry Regulatory Authority (FINRA) in this matter. (Press Rel. 2012-261)
SEC Charges New Jersey-Based Consultant to Chinese Reverse Merger Companies with Violating Securities Laws
The Securities and Exchange Commission today charged a New Jersey-based consultant with violating securities laws and defrauding some investors while helping Chinese companies gain access to the U.S. capital markets.
The SEC alleges that Huakang “David” Zhou and his consulting firm Warner Technology and Investment Corporation located more than 20 private companies in China to bring public in the U.S. through reverse mergers, and then committed various securities laws violations in the course of advising those companies and later assuming operational roles at some of them. After earning millions of dollars in consulting fees, Zhou and his firm have left several failed Chinese companies in their wake in the U.S. markets including China Yingxia International, whose registration was revoked after the company collapsed amid fraud allegations. The SEC has previously charged several individuals and firms with misconduct related to China Yingxia, including Zhou’s son.
The SEC alleges that the elder Zhou engaged in varied misconduct ranging from non-disclosure of certain holdings and transactions to outright fraud. For instance, Zhou failed to disclose to investors in one company that he engaged in questionable wire transfers of their money to evade Chinese currency regulations, and he orchestrated an elaborate scheme to meet the requirements necessary to list a purported Chinese real estate developer on a national securities exchange. Zhou also stole $271,500 in investment proceeds from a capital raise to make mortgage payments on a million-dollar condo where his son lives in New York City.
“Zhou and his firm sought to take advantage of our financial markets by propping up some Chinese issuers with the sole purpose of enriching themselves at the expense of U.S. investors,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office.
According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Warner Technology and Investment Corporation advertises itself on its website as the first U.S. consulting firm that successfully brought a Chinese private company public in the U.S. through a reverse merger with an OTCBB trading company. Zhou’s misconduct occurred from at least 2007 to 2010. After completing the reverse mergers, Zhou strongly influenced or even directed many of his clients’ newfound U.S. presence and obligations as public companies. He opened and controlled U.S. bank accounts for many of his clients to pay for services rendered and receive any proceeds from fundraising done in the U.S. This enabled Zhou to control how and when offering proceeds were wired to China, and gave him the ability to direct money to himself purportedly to collect fees or repay loans made to the companies.
The SEC alleges that while Zhou raised $2 million for client American Nano Silicon Technologies, he concealed from investors that their money would be put at risk due to the circuitous manner in which he purportedly sent investment proceeds to China. Unknown to the investors, Zhou controlled a U.S. bank account for the issuer and sent hundreds of thousands of dollars by wire transfer to multiple individuals in China who had no apparent affiliation with American Nano. The process called for the individuals to then wire the money to the company’s CEO, who would transfer the money to the company’s Chinese bank account. Zhou failed to disclose to investors that he engaged in these questionable wire transfers to evade Chinese currency regulations. Although investment proceeds were in part used for seemingly legitimate company expenses in the U.S. such as to pay accountants, the transfer agent, and an investment bank, Zhou used some of the money as his own. In addition to the $271,500 of investor money that he siphoned away for mortgage payments, Zhou paid his wife a “refund” of $40,000 for undisclosed reasons and wrote a check for $5,824 to “cash.”
The SEC alleges that Zhou engaged in manipulative trading as part of his scheme to list China HGS Real Estate on a national exchange, including matched orders to meet the $4 minimum bid required for listing. Through gifts of stock and a purportedly private sale to a broker-dealer, Zhou schemed to artificially create a sufficient number of shareholders to meet a listing requirement to have more than 400 “round lot shareholders” with 100 shares or more. The scheme succeeded, and Zhou’s client was approved for listing on the exchange.
According to the SEC’s complaint, Zhou engaged in unregistered sales of securities for several clients, including a $5 million offering to roughly 85 Chinese-Americans living in several U.S. states. Zhou and his firm also improperly assisted with securities offerings for two clients while not registered as broker-dealers, and they aided and abetted violations by other unregistered brokers.
The SEC’s complaint against Zhou and Warner Technology and Investment Corporation alleges violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b), 13(d), 15(a), and 16(a) of the Securities Exchange Act of 1934, and Rules 10b-5, 13d-1, 13d-2, and 16a-3. The SEC’s complaint further charges Zhou for control person liability and aiding and abetting violations of Section 10(b) and 15(a) of the Exchange Act, and Rule 10b-5(b).
The SEC’s investigation was conducted by Celeste A. Chase, Eduardo A. Santiago-Acevedo, and Osman E. Nawaz in the New York Regional Office with assistance from Frank Milewski. The SEC’s litigation will be led by Paul Gizzi and Mr. Nawaz. The SEC appreciates the assistance of the Financial Industry Regulatory Authority (FINRA) in this matter. (Press Rel. 2012-262)
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. These proceedings are related to another action, In the Matter of David R. Smith. (Rel. 33-9372; 34-68372; IC-30293; IA-3511; File No. 3-15124)
In the Matter of David R. Smith
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 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against David R. Smith. The Order finds that Smith was involved in selling IV Capital, Ltd., a Ponzi scheme investment, between 2006 and 2009. Smith raised at least $2.6 million from 8 investors and earned at least $139,000 in commissions from selling IV Capital. Smith acted as an unregistered broker for IV Capital and also violated Sections 5(a) and 5(c) of the Securities Act by selling unregistered securities. Furthermore, Smith negligently ignored numerous red flags of fraud when selling the IV Capital investment to his investors.
Based on the above, Smith was ordered to cease and desist from committing or causing any violations and any future violations of Sections 5(a), 5(c), 17(a)(2) and 17(a)(3) of the Securities Act, and Section 15(a) of the Exchange Act. The Order also bars Smith, with the rightly to apply for reentry after five years, from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; prohibits him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor or principal underwriter; and bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Smith was also ordered to pay $139,407 in disgorgement and $19,234 in prejudgment interest, but payment of those amounts and a penalty were not imposed based upon Smith’s financial condition. Smith consented to the issuance of the Order without admitting or denying any of findings, except he admitted the Commission’s jurisdiction over him and the subject matter of the proceedings. These proceedings are related to another action, In the Matter of David F. Bandimere and John O. Young. (Rel. 33-9373; 34-68373; IC-30294; File No. 3-15125)
In the Matter of Careside, Inc.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Nine Respondents (Default Order) in Careside, Inc., Admin. Proc. No. 3-15085. The Order Instituting Proceedings alleged that Careside, Inc., Castcity.com, Inc., Castle Corp. International, CDT, Inc. (n/k/a CDT Acquisitions, Inc.), Centurion Communications Corp., Champion American Energy Reserves, Inc., Charter Resources International, Inc., Clemmy Technologies Corp., and Cryocon, Inc., repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
This proceeding has ended as to Respondent Cayenne Entertainment, Inc. (f/k/a Boeing Run, Inc.). See Careside, Inc., Exchange Act Release No. 68304 (Nov. 28, 2012). (Rel. 34-68397)
Stanley C. Brooks, Brookstreet Securities Corp. Sanctioned
Stanley C. Brooks (Brooks), of San Clemente, California, and Brookstreet Securities Corp. (Brookstreet), a now-defunct former broker-dealer and investment adviser, have been barred from association with a broker, dealer, or investment adviser and from participating in an offering of penny stock. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against them.
Brooks and Brookstreet were enjoined from violating the antifraud provisions of the securities laws, based on wrongdoing in connection with selling collateralized mortgage obligations to investors. (Initial Decision No. 475; File No. 3-14983)
Court Enters Final Judgments Ordering Dwight Flatt and David Della Sciucca, Jr. to Pay Disgorgement, Prejudgment Interest and Civil Penalties
The Securities and Exchange Commission announced that on November 2, 2012 and November 5, 2012, the United States District Court for the Southern District of Florida entered final judgments against Defendants Dwight Flatt and David Della Sciucca, Jr., respectively. The final judgment against Flatt orders him to pay disgorgement in the amount of $2,207,885.96 representing ill-gotten gains received as a result of Flatt’s violations of the federal securities laws, with prejudgment interest of $214,892.21. Flatt is also ordered to pay a civil penalty equal to his pecuniary gain of $2,207,885.96. The final judgment against Sciucca, orders him to pay disgorgement in the amount of $665,141.92 representing ill-gotten gains received as a result of Sciucca’s violations of the federal securities laws, with prejudgment interest of $59,899.33. Sciucca is also ordered to pay a civil penalty equal to his pecuniary gain of $665,141.92. Previously, the Court entered judgments of permanent injunction and other relief, by consent, against Sciucca and Flatt.
The Commission commenced this action by filing its Complaint on April 29, 2011, against Sciucca, Flatt, Magnum d’Or Resources, Inc., and others. The Complaint alleges Magnum issued stock pursuant to false Form S-8 registration statements, and used bogus consultants, including Flatt and Sciucca, to funnel more than $7 million in illicit stock proceeds back into the company. In facilitating this kickback scheme, Magnum garnered the assistance of Flatt, Sciucca, and others, who liquidated Magnum S-8 stock, kept a portion of the sales proceeds, and then returned the remaining sales proceeds to Magnum under the guise of loan agreements. [SEC v. Magnum d’Or Resources, Inc., et al., Civil Action No. 11-60920-CIV-Ungaro (S.D. Fla.)] ( LR-22565)
SEC Charges Oil and Gas Company and Principal with Offering Fraud
On December 10, 2012, the Securities and Exchange Commission filed a settled civil injunctive action against Premco Western, Inc. (Premco), and its principal, Rodney Ratheal (Ratheal). Premco is an oil and gas company incorporated in Texas that operates by drilling land leased from the Bureau of Land Management (BLM). Premco has been solely owned and operated by Ratheal since he acquired it in June 2001.
In its Complaint, filed in the U.S. District Court for the District of Utah, the Commission alleges that, from June 2001 through April 2012, Ratheal raised over $4 million from approximately 100 investors through the fraudulent and unregistered sale of undivided fractional working interests in two oil and gas wells located along the Utah/Arizona border. Ratheal actively promoted and solicited investors by conducting marketing seminars in investors’ homes, cold-calling, and by posting Premco’s private placement memo (PPM) on the company’s Internet website.
The Commission alleges that Premco – through Ratheal – made various false and misleading statements to investors orally and in the company’s private PPM, regarding, among other things, that the company’s purported “in house” geologist and a geologist working for the U.S. Geological Survey (USGS), had discovered a “Super Giant” oil and gas field under Premco’s 1,000 acres of federal mineral leases, with recoverable oil reserves of 5 to 10 billion barrels.
The Commission further alleges that once drilling commenced on each drill site, Ratheal misrepresented to investors that drilling was successful. In reality, neither of the two wells drilled with investor funds produced any oil. In fact, the BLM terminated the drilling permits for lack of actual drilling. Additionally, Ratheal misrepresented to investors that their investment proceeds would be used to drill the two wells and that only 10% of the investment proceeds would be to cover his living expenses. In reality, approximately nearly $3 million (or 70%) of investor funds were used to support Ratheal’s lavish lifestyle.
By engaging in this conduct, Premco and Ratheal violated Sections 5(a), 5(c) and 17(a)(2) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5(b) thereunder. Premco and Ratheal have consented to the entry of a permanent injunction enjoining them from future violations of Section 5(a), 5(c), and 17(a)(2) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5(b) under the Securities Exchange Act of 1934. Further, they consented to be held jointly and severally liable and consented to an entry of final judgment ordering them (1) to disgorge $2,927,037.68 and (2) to pay prejudgment interest in the amount of $4,445,221.48 for a total amount of $7,372,259.16 and (3) to pay a civil penalty but not imposing the disgorgement, prejudgment interest, and civil penalty amounts based on Ratheal’s and Premco’s demonstrated inability to pay any money. [SEC v. Premco Western, Inc., et al., Civil No. 2:12-cv-01120-BSJ (USDC Utah)] ( LR-22566)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-94) to amend its payment for order flow fees has become effective under 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. 34-68384)
A proposed rule change filed by the NASDAQ Stock Market LLC to amend and adopt several NASDAQ rules to reflect changes to rules of the Financial Industry Regulatory Authority (“FINRA”) (SR-NASDAQ-2012-122) 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. 34-68389)
A proposed rule change filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2012-25) 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. 34-68391)
A proposed rule change filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2012-24) 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. 34-68392)
A proposed rule change filed by NASDAQ OMX PHLX LLC with respect to the authority of the Exchange or Nasdaq Options Services LLC (“NOS”) to cancel options orders when a technical or system issue occurs and to describe the operation of an error account for NOS (SR-Phlx-2012-134) 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. 34-68393)
A proposed rule change filed by NASDAQ OMX BX, Inc. with respect to the authority of the Exchange or Nasdaq Options Services LLC (“NOS”) to cancel options orders when a technical or system issue occurs and to describe the operation of an error account for NOS (SR-BX-2012-073) 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. 34-68394)
Proposed Rule Changes
NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2012-133) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending NYSE Arca Equities Rule 7.31(h)(7) to permit PL Select Orders to interact with incoming orders larger than the size of the PL Select Order. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68385)
Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2012-053) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to establish optional TRACE data delivery services and related fees. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68387)
The Commission granted approval of a proposed rule change (SR-BATS-2012-042) submitted by BATS Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the iShares Sovereign Screened Global Bond Fund. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68390)
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 CAPSTONE COMPANIES, INC., 350 JIM MORAN BLVD., SUITE 120, DEERFIELD BEACH, FL, 33442, (954) 252-3440 - 10,000,000 ($100,000.00) Equity, (File 333-185358 - Dec. 10) (BR. 11A) S-4 Aircastle LTD, C/O AIRCASTLE ADVISOR LLC, 300 FIRST STAMFORD PLACE, 5TH FLOOR, STAMFORD, CT, 06902, (203) 504-1020 - 0 ($500,000,000.00) Equity, (File 333-185359 - Dec. 10) (BR. 06C) S-3ASR AMC Networks Inc., 11 PENN PLAZA, NEW YORK, NY, 10001, (212) 324-8500 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-185361 - Dec. 10) (BR. 11C) S-3 LRR Energy, L.P., HERITAGE PLAZA, SUITE 4600, 1111 BAGBY STREET, HOUSTON, TX, 77002, (713) 292-9510 - 0 ($513,735,936.00) Debt, (File 333-185366 - Dec. 10) (BR. 04A) S-8 ENERGY EDGE TECHNOLOGIES CORP., 1200 ROUTE 22 EAST, SUITE 2000, BRIDGEWATER, NJ, 08807, 8887295722 EXT.100 - 15,000,000 ($495,000.00) Equity, (File 333-185367 - Dec. 10) (BR. 06C) S-1 EPICURE CHARCOAL, INC., 6910 SALASHAN PARKWAY, FERNDALE, WA, 98248, (775) 882-1013 - 4,500,000 ($180,000.00) Equity, (File 333-185368 - Dec. 10) (BR. ) S-B QUEBEC, 12 ST-LOUIS ST, MINISTERE DES FINANCES, QUEBEC QC CANADA GIR 5L3, A8, 00000, 0 ($1,777,573,656.87) Debt, (File 333-185372 - Dec. 10) (BR. DN) S-3ASR Dr Pepper Snapple Group, Inc., 5301 LEGACY DRIVE, PLANO, TX, 75024, (972) 673-7000 - 0 ($90,620,000.00) Equity, (File 333-185374 - Dec. 10) (BR. 09B) F-10 PLATINUM GROUP METALS LTD, 328 - 550 BURRARD STREET, SUITE 800, VANCOUVER, A1, V6C 2B5, 6048995450 - 0 ($220,925,350.00) Equity, (File 333-185375 - Dec. 10) (BR. 09A) S-1 DYNEGY INC., 601 TRAVIS, SUITE 1400, HOUSTON, TX, 77002, (713) 507-6400 - 0 ($601,329,062.18) Equity, (File 333-185376 - Dec. 10) (BR. 02C) S-1 AbbVie Inc., 1 NORTH WAUKEGAN ROAD, NORTH CHICAGO, IL, 60064, (847) 937-6100 - 0 ($575,360,000.00) Equity, (File 333-185377 - Dec. 10) (BR. 01B) S-3ASR AIR LEASE CORP, 2000 AVENUE OF THE STARS, SUITE 1000-N, LOS ANGELES, CA, 90067, (310) 553-0555 - 0 ($671,402,001.00) Equity, (File 333-185378 - Dec. 10) (BR. 06B) S-3ASR ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL, MN, 55102, 6512932233 - 0 ($0.00) Equity, (File 333-185379 - Dec. 10) (BR. 06A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 1 800 FLOWERS COM INC DE 5.07 12/10/12 ACCELLENT INC 5.02 12/05/12 ACETO CORP NY 5.02,5.07 12/06/12 ACTIVE POWER INC DE 5.02,9.01 12/04/12 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 12/10/12 ADHEREX TECHNOLOGIES INC 8.01,9.01 12/10/12 Advaxis, Inc. DE 8.01,9.01 12/05/12 AIR METHODS CORP DE 8.01,9.01 12/10/12 Alpha Natural Resources, Inc. DE 1.04 12/04/12 AMBER RESOURCES CO OF COLORADO DE 1.03,3.03,9.01 08/31/12 AMERICAN AIRLINES INC DE 8.01,9.01 12/10/12 AMERICAN INTERNATIONAL GROUP INC DE 1.01,8.01,9.01 12/09/12 Ameris Bancorp GA 8.01,9.01 12/07/12 AMR CORP DE 8.01,9.01 12/10/12 Antero Resources LLC DE 1.01,9.01 11/19/12 APRICUS BIOSCIENCES, INC. NV 1.01,2.03 12/07/12 ARRAY BIOPHARMA INC DE 8.01,9.01 12/10/12 Atlas Financial Holdings, Inc. E9 5.07,8.01,9.01 12/07/12 ATLAS PIPELINE PARTNERS LP DE 1.01,1.02,8.01,9.01 12/04/12 Augme Technologies, Inc. DE 3.02 11/02/12 AMEND Avago Technologies LTD U0 8.01,9.01 12/06/12 BARNWELL INDUSTRIES INC DE 2.02,9.01 12/10/12 Bassline Productions, Inc NV 5.02 12/07/12 BBX CAPITAL CORP FL 5.02 12/10/12 BIG LOTS INC OH 2.02,5.02,7.01,9.01 12/04/12 BIGLARI HOLDINGS INC. IN 7.01 12/08/12 Bio-Matrix Scientific Group, Inc. DE 4.01,9.01 12/04/12 BRIGGS & STRATTON CORP WI 8.01,9.01 12/07/12 BROADCAST INTERNATIONAL INC UT 8.01 12/07/12 BROWN FORMAN CORP DE 7.01,9.01 12/10/12 Bunge LTD 8.01,9.01 12/07/12 CALLIDUS SOFTWARE INC DE 8.01 12/07/12 CAPITAL SOUTHWEST CORP TX 8.01,9.01 12/10/12 CAREER EDUCATION CORP DE 2.05 12/07/12 CASELLA WASTE SYSTEMS INC DE 1.01,3.02,5.02,9.01 12/10/12 CASEYS GENERAL STORES INC IA 2.02,7.01,9.01 12/10/12 Cellceutix CORP NV 1.01,3.02,8.01,9.01 12/06/12 CHEMICAL FINANCIAL CORP MI 7.01,9.01 12/10/12 Chile Mining Technologies Inc. NV 8.01 12/10/12 China Xibolun Technology Holdings Cor NV 8.01 11/29/12 CIGNA CORP DE 7.01 12/10/12 CIRTRAN CORP NV 8.01,9.01 12/06/12 CLEAN HARBORS INC MA 1.01,2.03,9.01 12/07/12 CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 12/10/12 Core-Mark Holding Company, Inc. DE 8.01,9.01 12/10/12 CorEnergy Infrastructure Trust, Inc. 1.01,2.03,8.01,9.01 12/07/12 CorEnergy Infrastructure Trust, Inc. 7.01,9.01 12/10/12 CorEnergy Infrastructure Trust, Inc. 8.01,9.01 12/10/12 COSTCO WHOLESALE CORP /NEW WA 5.02 12/07/12 COWEN GROUP, INC. DE 8.01,9.01 12/10/12 CSS INDUSTRIES INC DE 5.02,5.03,9.01 12/04/12 CVS CAREMARK CORP DE 8.01,9.01 12/10/12 DEAN FOODS CO DE 5.02,9.01 12/04/12 DELCATH SYSTEMS INC DE 7.01,9.01 12/05/12 DERMA SCIENCES, INC. PA 9.01 12/06/12 AMEND DEX ONE Corp DE 3.01,8.01,9.01 12/04/12 Diversified Restaurant Holdings, Inc. NV 9.01 09/25/12 AMEND DJO Finance LLC DE 5.02 12/04/12 DOVER Corp DE 7.01,9.01 12/10/12 DYNEGY INC. DE 1.01,7.01,9.01 12/10/12 ELECSYS CORP KS 2.02,9.01 12/10/12 ELITE PHARMACEUTICALS INC /NV/ NV 1.01,9.01 12/05/12 Ellington Financial LLC DE 7.01,9.01 12/07/12 EMCLAIRE FINANCIAL CORP PA 8.01 12/10/12 Emerald Oil, Inc. MT 5.02,7.01,8.01,9.01 11/30/12 EQUIFAX INC GA 8.01,9.01 12/10/12 ESSA Bancorp, Inc. PA 7.01,9.01 12/06/12 ESSEX PROPERTY TRUST INC MD 1.01,5.02,9.01 12/04/12 FEDERAL AGRICULTURAL MORTGAGE CORP 5.02,9.01 12/06/12 Federal Home Loan Bank of New York X1 5.02,5.07,9.01 12/10/12 Feihe International Inc UT 1.01,9.01 12/05/12 FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 12/10/12 Fidelity National Information Service 5.02,9.01 12/10/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 12/10/12 FOREST LABORATORIES INC DE 8.01,9.01 12/07/12 FREEDOM FINANCIAL GROUP INC DE 8.01 12/10/12 FreightCar America, Inc. DE 5.02 12/04/12 Fresh Traffic Group Inc. NV 3.02,5.02 08/28/12 FULTON FINANCIAL CORP PA 7.01,9.01 12/10/12 GARMIN LTD V8 1.01,9.01 12/07/12 GILEAD SCIENCES INC DE 8.01 12/10/12 Golub Capital BDC, Inc. DE 8.01,9.01 12/10/12 HANCOCK FABRICS INC DE 2.02,9.01 12/07/12 HARBINGER GROUP INC. DE 8.01,9.01 12/10/12 HARLEY DAVIDSON INC WI 5.02 12/04/12 HARRIS INTERACTIVE INC DE 5.02 12/07/12 HARSCO CORP DE 8.01,9.01 12/10/12 HASTINGS ENTERTAINMENT INC TX 8.01,9.01 12/07/12 HCP, INC. MD 8.01,9.01 12/10/12 HEALTH DISCOVERY CORP 2Q 5.02,9.01 12/06/12 HEALTH MANAGEMENT ASSOCIATES, INC DE 5.02 12/04/12 HEARTLAND FINANCIAL USA INC DE 8.01,9.01 12/10/12 Heelys, Inc. DE 1.01,1.02,8.01,9.01 12/07/12 HELICOS BIOSCIENCES CORP DE 4.01,9.01 12/05/12 HERTZ GLOBAL HOLDINGS INC 8.01 12/10/12 HUMANA INC DE 1.01,8.01,9.01 12/10/12 HURCO COMPANIES INC IN 1.01,1.02,2.03,9.01 12/07/12 ICG GROUP, INC. DE 8.01,9.01 12/07/12 IDEX CORP /DE/ DE 5.02,9.01 12/06/12 IDT CORP DE 2.02,9.01 12/10/12 Ignite Restaurant Group, Inc. 5.02,9.01 12/04/12 INDEPENDENT BANK CORP /MI/ MI 7.01,9.01 12/10/12 INERGETICS INC DE 8.01 12/10/12 INFINITY PHARMACEUTICALS, INC. DE 8.01,9.01 12/10/12 Ingersoll-Rand plc L2 7.01,8.01,9.01 12/10/12 Inland Diversified Real Estate Trust, MD 9.01 12/10/12 AMEND INSIGNIA SYSTEMS INC/MN MN 5.02,8.01 12/04/12 Interactive Brokers Group, Inc. DE 8.01,9.01 12/10/12 Intermec, Inc. DE 1.01,7.01,9.01 12/09/12 INTERNATIONAL FUEL TECHNOLOGY INC NV 5.07 12/04/12 INTERNATIONAL LEASE FINANCE CORP CA 5.01,9.01 12/09/12 INTERSIL CORP/DE DE 5.02 12/10/12 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 12/10/12 INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 12/10/12 INVESTORS REAL ESTATE TRUST ND 8.01,9.01 12/10/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 8.01 12/04/12 ISIS PHARMACEUTICALS INC DE 1.01,9.01 12/10/12 IVANHOE ENERGY INC 7.01,9.01 12/10/12 KBS Real Estate Investment Trust, Inc MD 2.01,9.01 12/07/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 12/10/12 KIT digital, Inc. DE 3.01,5.02,8.01 12/04/12 KV PHARMACEUTICAL CO /DE/ DE 1.01,2.03,9.01 12/05/12 LA JOLLA PHARMACEUTICAL CO CA 1.01,9.01 12/07/12 LANDEC CORP \CA\ CA 5.02,9.01 12/07/12 LAS VEGAS RAILWAY EXPRESS, INC. DE 4.01,9.01 12/10/12 LEGACY RESERVES LP DE 1.01,2.03,9.01 12/04/12 Lehigh Gas Partners LP DE 2.02,9.01 12/10/12 LEHMAN ABS CORP CORP BACKED TRUST CER DE 8.01,9.01 12/03/12 LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 12/05/12 LEMAITRE VASCULAR INC 5.02,9.01 12/06/12 Li3 Energy, Inc. NV 7.01,9.01 12/10/12 LIBBEY INC DE 8.01,9.01 12/10/12 LIBERTY PROPERTY TRUST MD 8.01,9.01 12/07/12 LIBERTY VISION, INC. NV 5.01,5.02,9.01 12/04/12 Lightstone Value Plus Real Estate Inv MD 1.01,2.01,9.01 12/04/12 LITHIUM TECHNOLOGY CORP DE 5.01,5.02,9.01 12/03/12 LITTELFUSE INC /DE DE 7.01,9.01 12/10/12 LIVEPERSON INC DE 8.01 12/10/12 LRR Energy, L.P. DE 8.01,9.01 12/10/12 LyondellBasell Industries N.V. P7 8.01,9.01 12/04/12 M&T BANK CORP NY 8.01,9.01 12/10/12 MAINSTREET BANKSHARES INC VA 5.02,9.01 12/09/12 MARATHON OIL CORP DE 5.02,9.01 12/10/12 Marine Drive Mobile Corp. NV 4.01 12/05/12 Marketing Acquisition Corp NV 5.01,5.02,5.03,9.01 12/10/12 MATERION Corp 2.02,9.01 12/10/12 MCKESSON CORP DE 7.01,9.01 12/10/12 MDC PARTNERS INC A6 1.01,2.03,9.01 12/10/12 MDC PARTNERS INC A6 7.01,9.01 12/10/12 Medbook World, Inc DE 4.01,9.01 12/06/12 MEDIA GENERAL INC VA 1.01 12/04/12 MEDICIS PHARMACEUTICAL CORP DE 5.07 12/07/12 Medley Capital Corp DE 2.02,9.01 12/10/12 MENDOCINO BREWING CO INC CA 5.08 12/07/12 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 12/03/12 METROPOLITAN HEALTH NETWORKS INC FL 8.01 12/09/12 MFRI INC DE 5.02 12/05/12 MGT CAPITAL INVESTMENTS INC DE 7.01,9.01 12/06/12 MICHAEL FOODS GROUP, INC. DE 7.01 12/07/12 MICHAEL FOODS GROUP, INC. DE 8.01,9.01 12/10/12 MILLER ENERGY RESOURCES, INC. TN 2.02,7.01,9.01 12/10/12 MIPS TECHNOLOGIES INC DE 8.01,9.01 12/09/12 MIPS TECHNOLOGIES INC DE 1.01,8.01,9.01 12/09/12 MMRGlobal, Inc. DE 8.01 12/05/12 MONAR INTERNATIONAL INC. NV 5.02,7.01,9.01 12/07/12 Montavo, Inc. DE 8.01 12/07/12 Montavo, Inc. DE 8.01 12/07/12 AMEND MONTPELIER RE HOLDINGS LTD 7.01,9.01 12/10/12 MORGANS FOODS INC OH 5.02,9.01 12/06/12 Morningstar, Inc. IL 8.01,9.01 12/07/12 MusclePharm Corp NV 1.01,2.03,3.02,9.01 12/04/12 NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 12/10/12 NAVARRE CORP /MN/ MN 8.01,9.01 12/07/12 NB&T FINANCIAL GROUP INC OH 8.01 12/10/12 NewStar Financial, Inc. 1.01,2.03,9.01 12/07/12 NORTHWESTERN CORP DE 7.01,9.01 12/10/12 NUCOR CORP DE 5.02 12/05/12 NUVASIVE INC DE 8.01,9.01 12/10/12 Obagi Medical Products, Inc. DE 8.01,9.01 12/10/12 OCLARO, INC. DE 8.01,9.01 12/10/12 OCLARO, INC. DE 8.01,9.01 12/10/12 OCWEN FINANCIAL CORP FL 7.01,9.01 12/10/12 OptimizeRx Corp NV 7.01,9.01 12/05/12 ORCHARD SUPPLY HARDWARE STORES CORP DE 2.02,7.01,9.01 12/10/12 Orgenesis Inc. NV 1.01,1.02,3.02,9.01 12/03/12 OXIGENE INC DE 8.01,9.01 12/10/12 PACCAR INC DE 5.02,9.01 12/04/12 PAIN THERAPEUTICS INC DE 8.01,9.01 12/07/12 PARKWAY PROPERTIES INC MD 1.01,9.01 12/10/12 PATHEON INC 8.01,9.01 12/10/12 PAYCHEX INC DE 8.01,9.01 12/10/12 PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 12/10/12 PERRY ELLIS INTERNATIONAL INC FL 8.01,9.01 12/10/12 PHARMACYCLICS INC DE 7.01,9.01 12/08/12 PHARMACYCLICS INC DE 7.01,9.01 12/09/12 PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 12/10/12 POLYCOM INC DE 2.01,9.01 12/04/12 POPE RESOURCES LTD PARTNERSHIP DE 7.01,9.01 12/10/12 PORTSMOUTH SQUARE INC CA 8.01,9.01 12/10/12 POWERWAVE TECHNOLOGIES INC DE 8.01 12/07/12 PRGX GLOBAL, INC. GA 1.01,9.01 12/05/12 PRICELINE COM INC DE 8.01 12/10/12 Primco Management Inc. DE 5.01,5.02 10/17/12 Primo Water Corp DE 5.02,9.01 12/04/12 PRIVATEBANCORP, INC DE 7.01,9.01 12/07/12 Protalix BioTherapeutics, Inc. FL 8.01,9.01 12/10/12 Radiation Therapy Services Holdings, DE 4.01,9.01 12/04/12 Rangeford Resources, Inc. NV 1.01,5.02,9.01 12/10/12 RBC Bearings INC 1.01,9.01 12/04/12 REO PLUS, INC. TX 4.01,9.01 12/10/12 AMEND REXAHN PHARMACEUTICALS, INC. DE 8.01,9.01 12/10/12 RISK GEORGE INDUSTRIES INC CO 8.01,9.01 12/10/12 Rose Rock Midstream, L.P. 5.02 12/06/12 Rosetta Resources Inc. DE 7.01,9.01 12/10/12 ROTECH HEALTHCARE INC DE 5.02,9.01 12/10/12 SAFEGUARD SCIENTIFICS INC PA 5.02 12/05/12 SALON MEDIA GROUP INC DE 5.02,9.01 12/03/12 SAN DIEGO GAS & ELECTRIC CO CA 5.02 12/07/12 Sancon Resources Recovery, Inc. K3 1.01,9.01 12/10/12 SANFILIPPO JOHN B & SON INC DE 8.01,9.01 12/10/12 Santa Fe Petroleum, Inc. DE 5.02 11/28/12 SANTARUS INC DE 8.01 12/10/12 SAVIENT PHARMACEUTICALS INC DE 5.02,9.01 12/05/12 SAVIENT PHARMACEUTICALS INC DE 2.02,9.01 11/08/12 AMEND SENESCO TECHNOLOGIES INC DE 8.01,9.01 12/10/12 Sensata Technologies Holding N.V. P7 1.01,9.01 12/06/12 Sensata Technologies Holding N.V. P7 5.02,9.01 12/10/12 SEQUENTIAL BRANDS GROUP, INC. DE 1.01,8.01,9.01 12/07/12 SHERWIN WILLIAMS CO OH 1.01,2.03,9.01 12/10/12 Shire plc 8.01,9.01 12/10/12 SIMON PROPERTY GROUP L P /DE/ DE 8.01,9.01 12/10/12 SIMULATIONS PLUS INC 8.01,9.01 12/07/12 SIRIUS XM RADIO INC. DE 1.01,2.03,9.01 12/05/12 Smack Sportswear NV 5.02,9.01 12/10/12 SONO TEK CORP NY 4.01,9.01 12/04/12 AMEND SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 12/10/12 SPHERIX INC DE 5.07 11/15/12 Sputnik Enterprises, Inc NV 1.01 12/05/12 STANCORP FINANCIAL GROUP INC OR 5.02,9.01 12/07/12 STAR GAS PARTNERS LP DE 2.02,7.01,9.01 12/10/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 1.01,2.03,8.01,9.01 12/05/12 STEELE RESOURCES CORP NV 1.01,9.01 11/30/12 Strategic Storage Trust, Inc. MD 7.01,9.01 12/10/12 SWISSINSO HOLDING INC. DE 7.01,9.01 12/10/12 SYNERGETICS USA INC 2.02,9.01 12/10/12 SYNTROLEUM CORP DE 3.01 12/06/12 Targa Resources Partners LP DE 1.01,2.03,8.01,9.01 12/04/12 TARGACEPT INC 1.01,2.03 12/04/12 Teavana Holdings Inc 2.02,9.01 12/10/12 TECHNICAL COMMUNICATIONS CORP MA 2.02,8.01,9.01 12/06/12 TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 12/10/12 TERADATA CORP /DE/ 8.01,9.01 12/10/12 TEXAS INSTRUMENTS INC DE 7.01,9.01 12/10/12 Texas Roadhouse, Inc. DE 8.01,9.01 12/10/12 TG THERAPEUTICS, INC. DE 8.01,9.01 12/10/12 Thompson Creek Metals CO Inc. A6 7.01,9.01 12/07/12 TILE SHOP HOLDINGS, INC. DE 8.01,9.01 12/10/12 TOWER FINANCIAL CORP IN 7.01,9.01 12/10/12 TRANSAX INTERNATIONAL LTD CO 8.01 12/10/12 Triangle Petroleum Corp DE 2.02,9.01 12/10/12 U.S. Well Services, LLC DE 2.02,9.01 12/10/12 ULTRA PETROLEUM CORP 1.01 12/07/12 Umami Sustainable Seafood Inc. NV 5.02,7.01,9.01 12/08/12 UNIGENE LABORATORIES INC DE 5.02,9.01 12/10/12 UNISYS CORP DE 8.01,9.01 12/10/12 United Continental Holdings, Inc. DE 8.01,9.01 12/10/12 United Financial Bancorp, Inc. 7.01,9.01 12/10/12 Unseen Solar Inc DE 3.03 12/10/12 URANIUM ENERGY CORP NV 7.01,9.01 12/10/12 USA Graphite Inc. NV 1.01,2.03,3.02,9.01 12/07/12 UTAH MEDICAL PRODUCTS INC UT 1.01,2.03 12/07/12 VALERO ENERGY CORP/TX DE 7.01,9.01 12/10/12 Vantage Drilling CO E9 8.01,9.01 12/07/12 VENTAS INC DE 8.01,9.01 12/06/12 VERENIUM CORP DE 1.01,2.03,3.02,9.01 12/07/12 VERIZON COMMUNICATIONS INC DE 7.01 12/10/12 VERSANT CORP CA 2.02,9.01 12/10/12 Volcano Corp DE 1.01,1.02,3.02,9.01 12/04/12 VOLT INFORMATION SCIENCES, INC. NY 5.02 11/13/12 VONAGE HOLDINGS CORP DE 5.02,9.01 12/05/12 WASHINGTON POST CO DE 8.01,9.01 12/07/12 WESCO INTERNATIONAL INC 8.01,9.01 12/10/12 Western Gas Partners LP DE 7.01,9.01 12/10/12 WILEY JOHN & SONS, INC. NY 7.01 12/06/12 WMS INDUSTRIES INC /DE/ DE 5.02,5.07 12/06/12 WORLD ACCEPTANCE CORP SC 5.02,9.01 12/05/12 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 12/10/12 Xhibit Corp. NV 1.01,9.01 12/04/12 Xstelos Holdings, Inc. DE 8.01,9.01 12/10/12 ZAGG Inc NV 5.02,8.01,9.01 12/04/12 ZALE CORP DE 5.02,5.07,9.01 12/06/12 ZaZa Energy Corp DE 5.02 12/10/12 ZOGENIX, INC. DE 8.01 12/07/12