Securities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on December 12, 2012 and terminating at 11:59 p.m. EST on December 26, 2012.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-68410)
SEC Chief of Staff Didem A. Nisanci to Leave Agency
The Securities and Exchange Commission today announced that SEC Chief of Staff Didem A. Nisanci will leave the agency at the end of this week.
SEC Chairman Mary Schapiro named Ms. Nisanci as Chief of Staff in March 2009. In that position, Ms. Nisanci has been a senior advisor to the Chairman on policy, management, and regulatory issues. She played an integral role in the SEC’s efforts in the passage of the Dodd-Frank Act. She also has served as an SEC deputy to the Financial Services Oversight Council.
“Didem has been a trusted adviser who has always offered solid judgment and wise counsel on critical policy matters,” said SEC Chairman Schapiro. “Didem’s leadership has helped us to reform and improve so much of the way the agency operates. Investors everywhere are better off today because of her public service and commitment to enhancing the integrity of the nation’s securities markets.”
Ms. Nisanci said, "It’s been a great honor to serve at the SEC during such a pivotal and consequential period. I have been fortunate to work with so many talented and dedicated professionals both at the SEC and across the financial regulatory community to advance the Commission’s mission and work on fundamental issues relating to enhancing the integrity, resiliency, and transparency of our financial markets.”
Before coming to the SEC, Ms. Nisanci served as Staff Director for the U.S. Senate Banking Subcommittee on Securities, Insurance, and Investment, chaired by Sen. Jack Reed. During her tenure, the subcommittee held hearings examining the financial crisis, over-the-counter derivatives, credit rating agencies, risk management, consolidated supervised entities, and accounting. Ms. Nisanci also served as a lead staff negotiator for key provisions of the Emergency Economic Stabilization Act of 2008 and the Housing and Economic Recovery Act of 2008.
Ms. Nisanci earned a B.A. in Economics and Government from Smith College in 1995. (Press Rel. 2012-263)
Change in the Meeting: Additional Item
The following matter will also be considered during the 2:00 p.m. Closed Meeting scheduled for Thursday, December 13, 2012: a personnel matter.
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.
Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks
The Securities and Exchange Commission today charged the manager of two New York-based hedge funds with conducting a pair of trading schemes involving Chinese bank stocks and making $16.7 million in illicit profits. He and his firms have agreed to pay $44 million to settle the SEC’s charges.
The SEC alleges that Sung Kook “Bill” Hwang, the founder and portfolio manager of Tiger Asia Management and Tiger Asia Partners, committed insider trading by short selling three Chinese bank stocks based on confidential information they received in private placement offerings. Hwang and his advisory firms then covered the short positions with private placement shares purchased at a significant discount to the stocks’ market price. They separately attempted to manipulate the prices of publicly traded Chinese bank stocks in which Hwang’s hedge funds had substantial short positions by placing losing trades in an attempt to lower the price of the stocks and increase the value of the short positions. This enabled Hwang and Tiger Asia Management to illicitly collect higher management fees from investors.
In a parallel action, the U.S. Attorney’s Office for the District of New Jersey today announced criminal charges against Tiger Asia Management.
“Hwang today learned the painful lesson that illegal offshore trading is not off-limits from U.S. law enforcement, and tomorrow’s would-be securities law violators would be well-advised to heed this warning,” said Robert Khuzami, Director of the SEC’s Division of Enforcement.
Sanjay Wadhwa, Associate Director of the SEC’s New York Regional Office and Deputy Chief of the Enforcement Division’s Market Abuse Unit, added, “Hwang betrayed his duty of confidentiality by trading ahead of the private placements, and betrayed his fiduciary obligations when he defrauded his investors by collecting fees earned from his attempted manipulation scheme.”
The SEC also charged Raymond Y.H. Park for his roles in both schemes as the head trader of the two hedge funds involved – Tiger Asia Fund and Tiger Asia Overseas Fund. Park, who lives in Riverdale, N.Y., also agreed to settle the SEC’s charges. Hwang lives in Tenafly, N.J.
According to the SEC’s complaint filed in federal court in Newark, N.J., from December 2008 to January 2009, Hwang and his advisory firms participated in two private placements for Bank of China stock and one private placement for China Construction Bank stock. Before disclosing material nonpublic information about the offerings, the placement agents required wall-crossing agreements from Park and the firms to keep the information confidential and refrain from trading until the transaction took place. Despite agreeing to those terms, Hwang ordered Park to make short sales in each stock in the days prior to the private placement. Hwang and his firms illegally profited by $16.2 million by using the discounted private placement shares they received to cover the short sales they had entered into based on inside information about the placements.
The SEC further alleges that on at least four occasions from November 2008 to February 2009, Hwang and his firms, with Park’s assistance, attempted to manipulate the month-end closing prices of Chinese bank stocks publicly listed on the Hong Kong Stock Exchange. These stocks were among the largest short position holdings in the hedge funds’ portfolios. The more assets the hedge funds had under management, the greater the management fee that Tiger Asia Management was entitled to collect. So Hwang directed Park to place losing trades in order to depress the stock prices, which would inflate the calculation of the management fees. Hwang and Tiger Asia Management made approximately $496,000 in fraudulent management fees through this scheme.
The SEC’s complaint charges Hwang, his firms, and Park with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 as well as Section 17(a) of the Securities Act of 1933. Hwang and his firms also are charged with violating Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8, and Park is charged with aiding and abetting those violations.
The settlements, which are subject to court approval, require Hwang, Tiger Asia Management, and Tiger Asia Partners to collectively pay $19,048,787 in disgorgement and prejudgment interest. Each of them has agreed to pay a penalty of $8,294,348 for a total of 24,883,044. Park agreed to pay $39,819 in disgorgement and prejudgment interest, and a penalty of $34,897. With the exception of Tiger Asia Management, the defendants neither admit nor deny the charges.
The SEC’s investigation was conducted by Thomas P. Smith, Jr., Sandeep Satwalekar, and Amelia A. Cottrell of the SEC’s Market Abuse Unit in New York, and Frank Milewski of the New York Regional Office. The SEC appreciates the assistance of the U.S. Attorney’s Office for the District of New Jersey, the Federal Bureau of Investigation, the Japanese Securities and Exchange Surveillance Commission, and the Hong Kong Securities and Futures Commission. (Press Rel. 2012-264)
Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic Filings
In conjunction with these trading suspensions, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68409; File No. 3-15128)
Commission Revokes Registration of Securities of EarthBlock Technologies, Inc. for Failure to Make Required Periodic Filings
On December 12, 2012, the Commission revoked the registration of each class of registered securities of EarthBlock Technologies, Inc. (EBLC) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, EBLC consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to EarthBlock Technologies, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of EBLC’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against EBLC in In the Matter of DIAS Holding, Inc., et al., Administrative Proceeding File No. 3-15090.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of DIAS Holding, Inc., et al., Administrative Proceeding File No. 3-15090, Exchange Act Release No. 68221 (November 14, 2012). (Rel. 34-68411; File No. 3-15090)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market 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-NASDAQ-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. 34-68395)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-ISE-2012-93) filed by the International Securities Exchange, LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to increase position and exercise limits in EEM options. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68398)
A proposed rule change filed by NYSE Arca, Inc. to amend the NYSE Arca Options Fee Schedule to allow manual orders entered into the Exchange’s Electronic Order Capture System or entered into an order entry device and contemporaneously recorded into the EOC System to qualify for the manual transaction fee (SR-NYSEARCA-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. 34-68399)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to fees for SOX, OSX and HGX (SR-NASDAQ-2012-136) 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. 34-68400)
A proposed rule change, (SR-Phlx-2012-137), filed by NASDAQ OMX PHLX LLC, relating to rebates and fees for adding and removing liquidity 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. 34-68402)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-CME-2012-42) filed by Chicago Mercantile Exchange Inc. (CME) under Section 19(b)(1) of the Securities Exchange Act of 1934 to include accrued interest in the valuation of securities on deposit. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68401)
The Commission has approved a proposed rule change (SR-FINRA-2012-041), filed by the Financial Industry Regulatory Authority, Inc. to amend the Customer and Industry Codes of Arbitration Procedure relating to subpoenas and to arbitrator authority to direct the appearance of associated person witnesses and the production of documents without subpoenas. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68404)
Proposed Rule Change
The Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2012-23) under Section 19(b)(1) of the Securities Exchange Act of 1934 to Accommodate Certain Physically-Settled Options on U.S. Treasury Securities. Publication is expected in the Federal Register during the week of December 10. (Rel. 34-68403)
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 TELULAR CORP, 311 SOUTH WACKER DRIVE, SUITE 4300, CHICAGO, IL, 60606, 3123798397 - 440,000 ($4,360,400.00) Equity, (File 333-185380 - Dec. 11) (BR. 11C) S-8 U S PHYSICAL THERAPY INC /NV, 1300 WEST SAM HOUSTON PARKWAY, SUITE 300, HOUSTON, TX, 77043, 7132977000 - 350,000 ($9,611,000.00) Equity, (File 333-185381 - Dec. 11) (BR. 09A) S-4 PLY GEM INDUSTRIES INC, 5020 WESTON PARKWAY, SUITE 400, CARY, NC, 27513, 919-677-3900 - 160,000,000 ($160,000,000.00) Debt, (File 333-185386 - Dec. 11) (BR. 06B) S-3ASR Sensata Technologies Holding N.V., KOLTHOFSINGEL 8, ALMEMO, P7, 7602 EM, 31-546-979-450 - 10,000,000 ($310,550,000.00) Equity, (File 333-185388 - Dec. 11) (BR. 10B) S-1 Harvard Apparatus Regenerative Technology, Inc., 84 OCTOBER HILL ROAD, HOLLISTON, MA, 01746, (508) 893-8999 - 0 ($20,000,000.00) Equity, (File 333-185389 - Dec. 11) (BR. ) S-3 ENVESTNET, INC., 35 E WACKER DR STE 2400, CHICAGO, IL, 60601, 312-827-2800 - 0 ($250,000,000.00) Debt, 0 ($116,370,836.00) Equity, (File 333-185390 - Dec. 11) (BR. 02) S-4 BIOSANTE PHARMACEUTICALS INC, 111 BARCLAY BLVD, LINCOLNSHIRE, IL, 60069, 8474780500 - 0 ($99,501.69) Equity, (File 333-185391 - Dec. 11) (BR. 01B) S-3 IDERA PHARMACEUTICALS, INC., 167 SIDNEY STREET, CAMBRIDGE, MA, 02139, 6176795500 - 16,969,680 ($11,539,383.00) Equity, (File 333-185392 - Dec. 11) (BR. 01A)
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 United Bancorp, Inc. FL 7.01,9.01 12/11/12 AAR CORP DE 2.02,7.01,9.01 12/11/12 ABAKAN, INC NV 5.02,7.01,9.01 12/05/12 ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 12/10/12 ACACIA RESEARCH CORP DE 5.02 12/06/12 Acadia Healthcare Company, Inc. DE 5.02 12/10/12 ADCARE HEALTH SYSTEMS INC OH 7.01,8.01,9.01 12/10/12 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 12/11/12 AEROSONIC CORP /DE/ DE 2.02,9.01 12/10/12 AETNA INC /PA/ PA 7.01 12/11/12 AIR LEASE CORP DE 8.01,9.01 12/11/12 ALLERGAN INC DE 5.02 12/10/12 ALLETE INC MN 5.02,7.01 12/11/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 12/11/12 ALMOST FAMILY INC DE 8.01,9.01 12/10/12 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01 12/11/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 12/11/12 Anacor Pharmaceuticals Inc DE 8.01,9.01 12/10/12 Ancestry.com Inc. DE 8.01,9.01 12/10/12 APRICUS BIOSCIENCES, INC. NV 1.02 12/10/12 AMEND Argo Group International Holdings, Lt 7.01,9.01 12/11/12 ARIAD PHARMACEUTICALS INC DE 8.01,9.01 12/09/12 ARROGENE, INC DE 3.02 08/21/12 ARROGENE, INC DE 3.02 11/30/12 Ascent Capital Group, Inc. DE 7.01,9.01 12/07/12 AT&T INC. DE 8.01,9.01 12/11/12 Athens Bancshares Corp 8.01,9.01 12/06/12 ATLANTIC POWER CORP A1 8.01,9.01 12/03/12 ATMOS ENERGY CORP TX 1.01,1.02,2.01,9.01 12/05/12 AUTODESK INC DE 1.01,9.01 12/10/12 AVAYA INC DE 2.02,9.01 12/11/12 Bay Acquisition Corp. NV 2.01,3.02,5.06,9.01 11/16/12 Biota Pharmaceuticals, Inc. DE 4.01,9.01 12/05/12 Blink Couture Inc. DE 1.02,9.01 12/05/12 BRANDYWINE REALTY TRUST MD 5.02,9.01 12/10/12 BROADWAY FINANCIAL CORP \DE\ DE 8.01,9.01 12/11/12 BSD MEDICAL CORP DE 5.02 12/10/12 Burlington Coat Factory Investments H 7.01,9.01 12/11/12 C H ROBINSON WORLDWIDE INC DE 5.02,9.01 12/06/12 CAESARS ENTERTAINMENT Corp DE 5.02,8.01 12/11/12 CALIX, INC 5.02 12/06/12 Calpian, Inc. TX 5.02 12/05/12 Cardium Therapeutics, Inc. DE 9.01 09/28/12 AMEND CASEYS GENERAL STORES INC IA 2.02,9.01 12/11/12 CATALYST PHARMACEUTICAL PARTNERS, INC DE 3.02,8.01,9.01 12/10/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02,8.01 12/10/12 CENTRAL GARDEN & PET CO DE 2.02,9.01 12/11/12 CEVA INC DE 7.01,9.01 12/11/12 CF Industries Holdings, Inc. DE 5.03,9.01 12/11/12 CHAMPION INDUSTRIES INC WV 3.02,3.03,5.07 12/07/12 CHC Helicopter S.A. N4 2.02,9.01 12/11/12 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 12/11/12 CHINA GENGSHENG MINERALS, INC. NV 4.01,9.01 12/11/12 China Growth Equity Investment Ltd E9 3.01 12/05/12 China Polypeptide Group, Inc. DE 4.01,9.01 12/10/12 CHRISTOPHER & BANKS CORP DE 7.01,9.01 12/11/12 CHUBB CORP NJ 7.01,9.01 12/11/12 CITIZENS REPUBLIC BANCORP, INC. MI 8.01,9.01 12/11/12 COBRA ELECTRONICS CORP DE 1.01,2.03,9.01 12/07/12 COLDWATER CREEK INC DE 5.07 12/10/12 Cole Credit Property Trust II Inc MD 7.01,8.01,9.01 12/06/12 COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,2.01,2.03,9.01 12/05/12 Community Bankers Trust Corp DE 1.02,9.01 12/05/12 Comverse, Inc. DE 2.02,9.01 12/11/12 Comverse, Inc. DE 2.02,9.01 12/11/12 AMEND CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 12/11/12 Contango ORE, Inc. DE 5.07,8.01,9.01 12/06/12 CRA INTERNATIONAL, INC. MA 1.01,9.01 12/07/12 Crocs, Inc. 1.01,2.03,8.01,9.01 12/10/12 Crocs, Inc. 7.01,9.01 12/11/12 CROSSTEX ENERGY INC DE 7.01,9.01 12/10/12 CROSSTEX ENERGY INC DE 7.01,9.01 12/11/12 CROSSTEX ENERGY LP DE 7.01,9.01 12/10/12 CROSSTEX ENERGY LP DE 7.01,9.01 12/11/12 CU Bancorp CA 7.01,9.01 12/11/12 CubeSmart MD 7.01 12/10/12 CYBRA CORP NY 3.03,5.03,5.07,9.01 12/04/12 CYTEC INDUSTRIES INC/DE/ DE 8.01 12/11/12 CYTRX CORP DE 5.02 12/10/12 DELTA AIR LINES INC /DE/ DE 8.01,9.01 12/11/12 DEVON ENERGY CORP/DE DE 5.02 12/07/12 DEWEY ELECTRONICS CORP NY 5.07 12/06/12 DGT Holdings Corp. NY 2.02,9.01 12/10/12 DigitalTown, Inc. MN 5.02 12/10/12 DOLLAR GENERAL CORP TN 2.02,7.01,9.01 12/11/12 DS HEALTHCARE GROUP, INC. FL 7.01,9.01 12/11/12 DynaVox Inc. 5.07 12/05/12 EAGLE CAPITAL GROWTH FUND, INC. MD 5.03 12/06/12 EASTMAN CHEMICAL CO DE 5.02 12/05/12 EC Development, Inc. DE 5.02 12/03/12 ECOTALITY, INC. NV 8.01 12/10/12 EMAGIN CORP DE 8.01,9.01 12/09/12 EMPIRE PETROLEUM CORP DE 1.01,1.02,3.02,9.01 12/11/12 Energy Recovery, Inc. DE 7.01,9.01 12/11/12 Energy Services of America CORP DE 5.02,9.01 12/06/12 ENTERGY MISSISSIPPI INC MS 8.01,9.01 12/11/12 ENZO BIOCHEM INC NY 2.02,7.01,9.01 12/10/12 EQUIFAX INC GA 7.01,8.01,9.01 12/10/12 EVOLUTION PETROLEUM CORP NV 5.07 12/06/12 EXAR CORP DE 5.02 12/11/12 Expedia, Inc. DE 7.01 12/11/12 Federal Home Loan Bank of Atlanta X1 2.03 12/05/12 Federal Home Loan Bank of Boston X1 2.03 12/05/12 Federal Home Loan Bank of Chicago X1 2.03 12/05/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 12/05/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/07/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/11/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/05/12 Federal Home Loan Bank of San Francis X1 2.03 12/05/12 Federal Home Loan Bank of Topeka 2.03,9.01 12/05/12 FINDEX COM INC NV 3.02,5.02 12/06/12 First Advantage Bancorp 5.02 12/10/12 FIRST PACTRUST BANCORP INC MD 4.01,5.02 12/10/12 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 2.02,9.01 12/11/12 FIRSTBANK CORP MI 8.01,9.01 12/11/12 FLUIDIGM CORP DE 5.02,9.01 12/07/12 FMC CORP DE 8.01,9.01 12/11/12 FMC CORP DE 7.01,9.01 12/11/12 Forestar Group Inc. DE 7.01,9.01 12/11/12 FUEL TECH, INC. DE 5.02 12/05/12 Fushi Copperweld, Inc. NV 5.07,8.01,9.01 12/11/12 GENEREX BIOTECHNOLOGY CORP DE 1.01,3.02,5.03,9.01 12/10/12 GENOMIC HEALTH INC 8.01 12/10/12 GEORGIA GULF CORP /DE/ DE 8.01,9.01 12/11/12 GEOSPACE TECHNOLOGIES CORP DE 2.02,9.01 12/11/12 Global Income Trust, Inc. MD 9.01 09/27/12 AMEND GlyEco, Inc. NV 3.02,7.01,8.01 12/10/12 AMEND GMS Capital Corp. FL 5.02 12/11/12 Government Properties Income Trust MD 1.01,8.01,9.01 12/10/12 GRAN TIERRA ENERGY INC. NV 1.01 12/06/12 GRAPHON CORP/DE DE 7.01,9.01 12/10/12 GRAYBAR ELECTRIC CO INC NY 5.02,9.01 12/09/12 Graystone Co DE 3.02 12/10/12 GreenHunter Energy, Inc. DE 1.01,9.01 12/11/12 Gulf United Energy, Inc. NV 8.01 12/10/12 HALCON RESOURCES CORP DE 1.01,2.01,3.02,3.03, 12/05/12 5.02,5.03,7.01,8.01, 9.01 HANOVER INSURANCE GROUP, INC. DE 8.01 12/10/12 HARBINGER GROUP INC. DE 8.01,9.01 12/10/12 HARRIS CORP /DE/ DE 1.01,9.01 12/05/12 HARRIS CORP /DE/ DE 2.05,2.06 12/11/12 AMEND HARSCO CORP DE 5.02,9.01 12/05/12 HARVARD BIOSCIENCE INC DE 8.01,9.01 12/11/12 HASCO Medical, Inc. FL 5.02 12/11/12 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 12/06/12 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 12/06/12 Hillenbrand, Inc. IN 7.01,9.01 12/11/12 HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 12/10/12 Howard Hughes Corp DE 1.01,9.01 12/06/12 IBERIABANK CORP LA 8.01 12/10/12 ICONIX BRAND GROUP, INC. DE 1.01,2.03,7.01,9.01 11/29/12 IDEXX LABORATORIES INC /DE DE 1.01,9.01 12/05/12 IMAGE SENSING SYSTEMS INC MN 8.01 12/10/12 Indigo International, Corp. NV 3.03,5.03,9.01 12/04/12 Industrial Income Trust Inc. MD 2.01,9.01 12/05/12 Infinity Resources Holdings Corp. NV 5.03 12/11/12 Ingersoll-Rand plc L2 5.02,8.01,9.01 12/07/12 INTEL CORP DE 8.01,9.01 12/11/12 IntelGenx Technologies Corp. DE 7.01 12/11/12 INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02,7.01,9.01 12/07/12 IRIDEX CORP DE 5.02 12/05/12 IRONCLAD PERFORMANCE WEAR CORP 1.01,2.03,9.01 12/05/12 ISIS PHARMACEUTICALS INC DE 1.01,9.01 12/11/12 JAVELIN MORTGAGE INVESTMENT CORP. MD 7.01,9.01 12/11/12 Jazz Pharmaceuticals plc L2 8.01 12/10/12 JOE'S JEANS INC. DE 3.01,9.01 12/07/12 KAR Auction Services, Inc. DE 1.01,9.01 12/05/12 KBS Strategic Opportunity REIT, Inc. MD 1.01,2.01,9.01 12/05/12 KEYNOTE SYSTEMS INC DE 8.01,9.01 12/10/12 Keyuan Petrochemicals, Inc. NV 8.01,9.01 12/10/12 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 12/11/12 KONA GRILL INC DE 7.01,9.01 12/11/12 LANDAUER INC DE 2.02,7.01,9.01 12/10/12 LANNETT CO INC DE 8.01,9.01 12/07/12 Liberty Interactive Corp 8.01,9.01 12/11/12 LifeCare Holdings, Inc. DE 5.02 12/05/12 Lifevantage Corp CO 7.01,9.01 12/11/12 LIMITED BRANDS INC DE 8.01 12/10/12 LPATH, INC NV 1.01,8.01 12/05/12 LRI HOLDINGS, INC. 2.02,9.01 12/11/12 Luxeyard, Inc. DE 5.02,9.01 11/15/12 MATERION Corp 7.01,9.01 12/11/12 MCDONALDS CORP DE 7.01,9.01 12/10/12 MEDICIS PHARMACEUTICAL CORP DE 1.01,2.01,3.01,3.03, 12/11/12 5.01,5.02,5.03,9.01 MGM Resorts International DE 8.01,9.01 12/06/12 MICHAEL FOODS GROUP, INC. DE 8.01,9.01 12/11/12 MONITRONICS INTERNATIONAL INC TX 7.01,9.01 12/07/12 MONOLITHIC POWER SYSTEMS INC CA 7.01,9.01 12/11/12 Monster Beverage Corp DE 7.01,9.01 12/11/12 NATHANS FAMOUS INC DE 1.01 12/06/12 NATIONAL PRESTO INDUSTRIES INC WI 8.01,9.01 12/07/12 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 12/11/12 NAVIGATORS GROUP INC DE 5.02 12/06/12 NCI BUILDING SYSTEMS INC DE 7.01,9.01 12/11/12 NET 1 UEPS TECHNOLOGIES INC 8.01 12/11/12 Net Element International, Inc. E9 8.01,9.01 12/10/12 Neutral Tandem Inc 8.01,9.01 12/11/12 Nevada Property 1 LLC DE 5.02 12/11/12 NEWTEK BUSINESS SERVICES, INC. NY 1.01,2.02,5.04,9.01 12/05/12 NICHOLAS FINANCIAL INC FL 8.01,9.01 12/11/12 NORTHSTAR ELECTRONICS INC DE 8.01 12/11/12 NorthStar Real Estate Income Trust, I MD 1.01 12/10/12 NORTHSTAR REALTY FINANCE CORP. MD 1.01,7.01,9.01 12/10/12 NORTHWEST BIOTHERAPEUTICS INC DE 5.03,9.01 12/11/12 NOVAGEN SOLAR INC. NV 7.01 12/10/12 Novation Holdings Inc FL 2.01,9.01 12/06/12 OIL DRI CORP OF AMERICA DE 5.07 12/11/12 OMEGA HEALTHCARE INVESTORS INC MD 1.01,1.02,2.03,9.01 12/07/12 ONEOK INC /NEW/ OK 7.01,9.01 12/11/12 ONEOK Partners LP DE 7.01,9.01 12/11/12 OPTIMER PHARMACEUTICALS INC 5.02 12/11/12 Pacific Green Technologies Inc. DE 5.03,9.01 12/03/12 PANTRY INC DE 2.02,9.01 12/11/12 PASSPORT POTASH INC A8 5.07,8.01 11/29/12 PDL BIOPHARMA, INC. DE 5.02 12/05/12 PEPCO HOLDINGS INC DE 7.01,9.01 12/11/12 PEREGRINE PHARMACEUTICALS INC DE 8.01,9.01 12/11/12 PERICOM SEMICONDUCTOR CORP CA 5.07 12/06/12 PHARMACYCLICS INC DE 7.01,9.01 12/11/12 PHARMACYCLICS INC DE 7.01,9.01 12/10/12 PHARMACYCLICS INC DE 7.01,9.01 12/11/12 PIPER JAFFRAY COMPANIES DE 5.02 12/11/12 PLEXUS CORP WI 7.01,9.01 12/11/12 Poly Shield Technologies Inc. DE 1.01,9.01 12/06/12 PRESSURE BIOSCIENCES INC MA 5.02,9.01 12/05/12 PRICELINE COM INC DE 8.01 12/07/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 12/11/12 PROGRESSIVE CORP/OH/ OH 5.02,9.01 12/07/12 QR Energy, LP DE 1.01,7.01,8.01,9.01 12/07/12 Radiation Therapy Services Holdings, DE 4.01 12/10/12 REDWOOD TRUST INC MD 5.02,9.01 12/07/12 Resolute Energy Corp DE 1.01,2.03,7.01,9.01 12/05/12 RICHFIELD OIL & GAS Co NV 5.02,9.01 12/10/12 ROWAN COMPANIES PLC X0 1.01,2.03,9.01 12/11/12 S&W Seed Co NV 5.07 12/08/12 Sanomedics International Holdings, In DE 1.01,2.03,3.02,9.01 12/06/12 SAUER DANFOSS INC DE 5.02 12/11/12 SAUL CENTERS INC MD 2.01,9.01 12/10/12 SCOTTS MIRACLE-GRO CO OH 7.01 12/11/12 SEACOR HOLDINGS INC /NEW/ DE 8.01,9.01 12/10/12 SEACOR HOLDINGS INC /NEW/ DE 1.01,2.03,3.02,8.01, 12/05/12 9.01 SEI INVESTMENTS CO PA 8.01,9.01 12/11/12 SENIOR HOUSING PROPERTIES TRUST MD 1.01,8.01,9.01 12/11/12 Shire plc 8.01,9.01 12/11/12 Silicon Graphics International Corp DE 5.07 12/07/12 Six Flags Entertainment Corp 7.01,9.01 12/11/12 SMF ENERGY CORP DE 7.01,9.01 11/19/12 SMITH & WESSON HOLDING CORP NV 7.01,9.01 12/11/12 SMITHFIELD FOODS INC VA 2.02,9.01 12/11/12 Somaxon Pharmaceuticals, Inc. DE 1.01,7.01,9.01 12/10/12 SOPAC CELLULAR SOLUTIONS INC. NV 5.02 12/10/12 SOPAC CELLULAR SOLUTIONS INC. NV 8.01,9.01 12/10/12 SOPAC CELLULAR SOLUTIONS INC. NV 8.01 12/04/12 SOUTHERN CO DE 5.02 12/07/12 Spectra Energy Corp. DE 1.01,7.01,9.01 12/10/12 SPECTRUM PHARMACEUTICALS INC DE 7.01,9.01 12/10/12 SSI Investments II Ltd L2 2.02,9.01 12/11/12 Stark Beneficial, Inc. DE 4.01,9.01 12/10/12 STEIN MART INC FL 3.01,9.01 12/07/12 STRUCTURED PRODUCTS CORP TIERS CORP B DE 8.01,9.01 12/03/12 STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 12/03/12 Sugarmade, Inc. DE 5.02,5.03,9.01 12/06/12 SunCoke Energy, Inc. 7.01,9.01 12/11/12 SUNOCO LOGISTICS PARTNERS L.P. DE 5.02 12/10/12 Swingplane Ventures, Inc. NV 5.02 11/05/12 AMEND TESORO LOGISTICS LP DE 1.01,7.01,9.01 12/06/12 THERMOGENESIS CORP DE 5.07 12/11/12 TIDEWATER INC DE 8.01,9.01 12/05/12 TNS INC 1.01,9.01 12/11/12 TOYS R US INC DE 7.01,9.01 12/11/12 TPC Group Inc. DE 8.01,9.01 12/11/12 TRANS ENERGY INC NV 7.01,9.01 12/04/12 TRICO BANCSHARES / CA 8.01,9.01 12/07/12 TRIG ACQUISITION 1, INC NV 1.01,2.01,5.02,9.01 10/18/12 AMEND Trio Merger Corp. DE 1.01,7.01,9.01 12/10/12 TRIO TECH INTERNATIONAL CA 5.07 12/10/12 TripAdvisor, Inc. DE 8.01,9.01 12/11/12 TrovaGene Inc. DE 5.07 12/10/12 TRX INC/GA GA 5.02,9.01 12/11/12 TTM TECHNOLOGIES INC WA 5.02,9.01 12/06/12 UNIGENE LABORATORIES INC DE 8.01,9.01 12/11/12 UNION FIRST MARKET BANKSHARES CORP VA 5.02,9.01 12/07/12 Urban Barns Foods Inc. 1.01,3.02,9.01 12/04/12 US BANCORP \DE\ DE 5.02,9.01 12/11/12 USA Graphite Inc. NV 1.01,2.03,3.02,9.01 12/11/12 VERMILLION, INC. DE 5.02,9.01 12/07/12 ViewPoint Financial Group Inc. 8.01,9.01 12/11/12 VISTA GOLD CORP B0 7.01,9.01 09/28/12 VISTA GOLD CORP B0 7.01,9.01 12/05/12 VMWARE, INC. DE 5.02 12/05/12 WATERS CORP /DE/ DE 1.01,9.01 12/11/12 WebMD Health Corp. DE 2.05,8.01,9.01 12/07/12 WebXU, Inc. DE 1.01,2.01,9.01 12/07/12 WELLPOINT, INC IN 7.01 12/11/12 WEST MARINE INC DE 5.03,9.01 12/06/12 Western Refining, Inc. DE 8.01,9.01 12/10/12 Western Union CO DE 7.01,8.01,9.01 12/05/12 WEYCO GROUP INC WI 8.01,9.01 12/11/12 WIRELESS TELECOM GROUP INC NJ 5.02,8.01,9.01 12/05/12 WISCONSIN ELECTRIC POWER CO WI 8.01,9.01 12/05/12 Wolverine Bancorp, Inc. MD 8.01,9.01 12/10/12 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,9.01 12/05/12 ZaZa Energy Corp DE 7.01,9.01 12/11/12