SEC Suspends Trading in New Generation Biofuels Holdings, Inc.
The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of New Generation Biofuels Holdings, Inc. (“New Generation”), of Columbia, Maryland at 9:30 a.m. on December 21, 2012, and terminating at 11:59 p.m. on January 7, 2013.
The Commission temporarily suspended trading in the securities of New Generation because of questions that have been raised about the accuracy and adequacy of publicly disseminated information about New Generation and because it has not filed any periodic reports since the period ended June 30, 2011.
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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to New Generation’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact Elisha L. Frank, Assistant Regional Director, Miami Regional Office, of the Securities and Exchange Commission should be telephoned at (305) 982-6392. (Rel. 34-68507)
SEC Announces Agenda for Roundtable on Decimalization
The Securities and Exchange Commission today announced the agenda for its upcoming staff roundtable that will evaluate the impact of tick sizes on the securities markets.
The roundtable, announced earlier this month, will take place on February 5 in Washington D.C. Panelists will be finalized and announced at a later date.
The roundtable will be divided into three panels.
Participants on the first panel will address the impact of tick sizes on small and mid-sized companies, the economic consequences (including costs and benefits) of increasing or decreasing minimum tick sizes, and whether other policy alternatives might better address concerns related to Section 106(b) of the JOBS Act.
Participants on the second panel will address the impact of tick sizes on the securities market in general, including what benefits may have been achieved and what, if any, negative effects have resulted.
Participants on the third panel will address potential methods for analysis of the issues, including whether and how to conduct a pilot for alternative minimum tick sizes. SEC staff is particularly interested in hearing what types of data that market participants should provide for use in assessing the effects of an increase or variation in minimum tick sizes for companies of different capitalizations.
The SEC staff welcomes feedback regarding any of the topics to be addressed at the roundtable. Information that is submitted will become part of the public record of the roundtable.
Information may be submitted to the Commission using the following methods:
All submissions should refer to File Number 4-657. This file number should be included on the subject line if e-mail is used. To help process and review submissions more efficiently, please use only one method. The SEC will post all submissions at www.sec.gov.
Please note that all submissions received will be posted without change. The SEC does not edit personal identifying information from submissions. Only information desired to be shared publicly should be submitted. (Press Rel. 2012-274)
Paul Beswick Named SEC Chief Accountant
Securities and Exchange Commission Chairman Elisse Walter today announced the appointment of Paul A. Beswick as the agency’s Chief Accountant. Mr. Beswick has been serving as Acting Chief Accountant for the past several months.
“Paul has served the Commission with great distinction and provided wise counsel on difficult accounting questions,” said SEC Chairman Elisse Walter. “Investors and the accounting profession will benefit with Paul as the Chief Accountant.”
The SEC’s Office of the Chief Accountant is responsible for establishing and enforcing accounting and auditing policy to enhance the transparency and relevancy of financial reporting, and for improving the professional performance of public company auditors in order to ensure that financial statements used for investment decisions are presented fairly and have credibility.
Mr. Beswick joined the SEC staff in September 2007 has held several positions in the Office of the Chief Accountant. Prior to assuming the role of Acting Chief Accountant, Mr. Beswick served as Deputy Chief Accountant and was responsible for the day-to-day operations of the office’s accounting group, including resolution of accounting practice issues, rulemaking, and oversight of private sector standard-setting efforts.
Mr. Beswick also served as staff director of a multi-year effort to help the Commission evaluate the implications of incorporating International Financial Reporting Standards (IFRS) into the financial reporting system for U.S. companies. The effort began in February 2010 and a final staff report was published earlier this year.
Mr. Beswick replaces James L. Kroeker, who left the SEC in July 2012 to return to the private sector.
Prior to joining the SEC staff, Mr. Beswick was a Partner with Ernst & Young LLP, where he worked in the firm's Professional Practice and Risk Management Group. He also served as a Practice Fellow at the Financial Accounting Standards Board, where he assisted in the development of accounting guidance related to evolving accounting issues.
Mr. Beswick is a graduate of Miami University in Oxford, Ohio. (Press Rel. 2012-275)
SEC Approves New Rules Regarding Lost Holders of Securities
The Securities and Exchange Commission today unanimously approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact.
A similar rule already applied to recordkeeping transfer agents, who are the intermediaries between the clearing house and the broker-dealer. The Dodd-Frank Wall Street Reform and Consumer Protection Act tasked the SEC with extending the application of this rule to broker dealers so that broker-dealers have the same obligation.
The new rules also require broker-dealers and other securities market participants to provide notifications to persons who have not processed checks that they have received in connection with their securities holdings.
“For the first time, broker-dealers will have a duty to reach out and find those they have lost touch with. It’s a straightforward rule with a common-sense objective,” said SEC Chairman Elisse Walter. “Among other things, it will make it more likely that investors will get the money that they may not have realized is owed to them.”
Specifically, the new rules:
The original rule – Rule 17Ad-17 – required only recordkeeping transfer agents to exercise reasonable care to ascertain the correct addresses of “lost securityholders” and conduct certain database searches for them. This loss of contact can be harmful to holders of securities because they no longer receive corporate communications or the interest and dividend payments to which they may be entitled. In addition, the securities and any related interest and dividend payments to which the holders of securities may be entitled are often placed at risk of being deemed abandoned under operation of state escheatment laws.
The amendments will become effective 60 days after the date of publication of the release in the Federal Register. The compliance date will be one year after the date of publication of the release in the Federal Register. (Press Rel. 2012-277)
In the Matter of The New America High Income Fund, Inc.; Robert F. Birch; and Ellen E. Terry
On December 20, 2012, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against The New America High Income Fund, Inc. (New America), a registered closed-end fund located in Boston, Massachusetts; Robert F. Birch, a Director and the President of New America; and Ellen E. Terry, New America’s Vice President, Treasurer, Secretary, and Chief Compliance Officer.
The Order finds that in January 2008, during the auction rate securities (ARS) market crisis, New America, acting through Birch and Terry, repurchased $15 million of its preferred stock, an ARS called Auction Term Preferred Stock (ATP), to avoid a failed auction. New America made the repurchase from Lehman Brothers Inc. (Lehman), which at the time was the exclusive broker-dealer and the holder of a majority of New America’s ATP, with the understanding that Lehman would place a support bid in a future auction to prevent it from failing. Although the repurchase also was intended to preserve liquidity, it was inconsistent with the ATP terms and conditions, which prohibited New America from submitting an order or otherwise acquiring ATP in an auction. The repurchase also unfairly discriminated against other ATP holders, and was contrary to New America’s prior statements in shareholder reports that it would redeem or repurchase ATP to the extent necessary to maintain applicable asset coverage requirements. The repurchase was not intended to maintain asset coverage requirements; it was designed to avoid a failed auction, and this purpose was not adequately disclosed in New America’s shareholder reports, which were certified and filed with the Commission by Birch and Terry.
The Order also finds that in September 2008, when Lehman became subject to liquidation and resigned as an ATP broker-dealer, New America, acting through Birch and Terry, improperly lowered the dividend rate on the majority of its ATP by 70% from the Maximum Applicable Rate to the Minimum Applicable Rate based on a rationale that was inconsistent with the ATP terms and conditions. This reduction of the dividend rate resulted in an underpayment of dividends from September 2008 to December 2010 in the amount of $410,594.08. Like the ATP repurchase, this action also was not adequately disclosed in New America’s shareholder reports filed with the Commission.
Without admitting or denying the Commission’s findings, New America, Birch, and Terry consented to the entry of an order requiring them to cease and desist from committing or causing any violations and any future violations of Sections 23(c) and 34(b) of the Investment Company Act and Rule 23c-1 thereunder. New America also was ordered to pay $410,594.08 in disgorgement and $2,805.49 in prejudgment interest, but the payment was deemed satisfied by New America’s payment of a Supplemental Dividend of $413,399.57 to affected ATP shareholders as of December 2010. Birch and Terry also were ordered to pay a civil money penalty of $10,000 each. (Rel. IC-30313; File No. 3-15146)
In the Matter of Steven B. Hart
On December 20, 2012, Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Steven B. Hart (Hart), a fund manager for his own investment fund, Octagon Capital Partners, LP, and a portfolio manager at a New Jersey-based unregistered adviser. The Commission’s Order bars Hart from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization.
Hart consented to the Commission’s Order based upon the entry of a Final Judgment entered against him on December 13, 2012 by the U.S. District Court for the Southern District of New York in Securities and Exchange Commission v. Steven B. Hart, 12-CV-8986 (JPO). The Commission’s complaint against Hart alleged 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 thereunder, and Sections 206(1) and 206(2) of the Advisers Act. Without admitting or denying the allegations of the complaint, Hart 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. Hart also agreed to pay $831,071 in disgorgement and $103,424 in prejudgment interest, and a civil penalty of $394,733.
According to the SEC’s complaint, Hart conducted two illegal trading schemes from 2007 to 2011. The Commission’s complaint alleged that Hart directed over thirty matched trades between Octagon and his employer’s investment fund that illegally benefitted Octagon. The complaint further alleged that, after being confidentially solicited to invest in numerous securities offerings, and despite expressly agreeing to keep the information he received confidential and to not trade on it, Hart nevertheless traded the securities of nineteen issuers conducting twenty separate offerings, including PIPEs, registered direct offerings, and confidentially marketed public offerings, on behalf of Octagon while in possession of material nonpublic information concerning the offerings. In addition, the complaint alleged that, on two occasions, Hart signed securities purchase agreements falsely representing that, after being solicited, Octagon had not traded the issuers’ securities in the days leading up to the public announcement of the transactions. (LR-22567)
Hart consented to the issuance of the Order without admitting or denying the findings except he admitted the entry of the injunction. (Rel. IA-3524; File No. 3-15150)
Commission Dismisses Asensio & Company, Inc.'s Application for Review
The Commission has dismissed the application of Asensio & Company, Inc., a Delaware corporation based in New York, NY, for Commission review of FINRA's denial of the firm's application for FINRA membership. The firm's sole officer, Manuel P. Asensio, is subject to a statutory disqualification as a result of a 2006 FINRA decision that barred him from associating with any FINRA member in any capacity. FINRA denied the firm's application on the basis that the firm had failed to demonstrate that: (i) it was capable of complying with the federal securities laws, the rules and regulations thereunder, and FINRA Rules, as required by NASD Rule 1014(a)(3); (ii) it has a supervisory system designed to prevent and detect violations of the federal securities laws, the rules and regulations thereunder, and FINRA Rules, as required by FINRA Rule 1014(a)(10); and (iii) it and its associated persons had all required licenses and registrations, as required by NASD Rule 1014(a)(2). In dismissing the firm's application for review, the Commission found that: (i) the specific grounds on which FINRA based its denial of the firm's membership application exist in fact; (ii) FINRA's action was in accordance with its rules; and (iii) FINRA's rules are, and were applied in a manner, consistent with the purposes of the Exchange Act. (Rel. 34-68505; File No. 3-14711)
Commission Orders Hearing on Registration Suspension or Revocation Against New Generation Biofuels Holdings, Inc. for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Exchange Act (Order) against New Generation (Respondent). The Order alleges that the Respondent is delinquent in its periodic filings with the Commission in violation of Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, having not filed any periodic reports since it filed a Form 10-Q for the period ended June 30, 2011.
A hearing will be held by an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish any defenses to such allegations, and to determine whether it is necessary or appropriate for the protection of investors to suspend for a period not exceeding twelve months, or revoke the registration of each class of securities of the Respondent registered pursuant to Section 12 of the Securities Exchange Act of 1934. The Order requires the Administrative Law Judge to issue an initial decision no later than 120 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact Elisha L. Frank, Assistant Regional Director, Miami Regional Office, of the Securities and Exchange Commission should be telephoned at (305) 982-6392. (Rel. 34-68508; File No. 3-15151)
In the Matter of James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin
The Securities and Exchange Commission (SEC) today issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against four former officers of Mountain View, Calif.-based JSW Financial Inc. in connection with two Silicon Valley real estate investment funds. The administrative proceedings are based on the recent entry of judgments against each of the officers in separate criminal proceedings. The officers named in the Order are James S. Ward and Edward G. Locker (both of Ohio) and Richard F. Tipton and David C. Lin (both of Silicon Valley).
A hearing will be held to determine whether the allegations in the Order are true and what administrative remedies, if any, are appropriate against the officers.
The SEC also issued today an Order of Suspension Pursuant to SEC Rule of Practice 102(e)(2) against David C. Lin, who was admitted to practice law in California at the time of the violations underlying his criminal conviction, suspending Lin from appearing or practicing before the SEC. (Rels. 34-68509; File No. 3-15152; IA-3525; File No. 3-15153)
SEC Bans Arizona-Based Investment Adviser From Securities Industry for Fraudulent Actions in Mutual Fund Collapse
The Securities and Exchange Commission today barred an Arizona-based mutual fund manager from the securities industry for failing to follow the investment objectives of a stock mutual fund managed by his firm, leading to the fund’s collapse.
An SEC investigation found that the prospectus of Z Seven Fund (ZSF) stated that it sought long-term capital appreciation and restricted the use of options. Nonetheless, beginning in September 2009, Barry C. Ziskin and his firm Top Fund Management (TFM) invested ZSF in put options for speculative purposes contrary to the fund’s stated investment policy. The losses from options trading and the ensuing investor redemptions ultimately resulted in ZSF’s liquidation in December 2010.
“ZSF investors expected the fund to pursue capital appreciation by buying stocks, but TFM and Ziskin took the fund down a very different and disastrous path,” said Bruce Karpati, Chief of the SEC Enforcement Division’s Asset Management Unit. “Mutual fund advisers who deviate from their fund’s investment strategy and keep investors in the dark will be held accountable for their fraudulent actions.”
According to the SEC’s order instituting settled administrative proceedings against TFM and Ziskin, disclosures in ZSF’s prospectuses and statements of additional information provided that the fund could trade options only to hedge its portfolio. However, because TFM and Ziskin traded put options in such large amounts relative to the size of ZSF’s equity portfolio, their strategy amounted to speculation. For example, ZSF’s equity portfolio had a market value of $1,835,607 on July 6, 2010, but ZSF held enough option contracts to protect a portfolio worth $32,858,000 (17.9 times the value of the equity portfolio). ZSF’s options trading also caused the fund’s performance to plummet. As of October 2009, ZSF had net assets of $5.3 million, but over the next 15 months the fund suffered $3.7 million in losses from options. TFM and Ziskin misled ZSF investors by misrepresenting in a shareholder report that options trading was for hedging purposes.
The SEC’s order finds that TFM and Ziskin willfully violated the antifraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940. The order also finds that TFM and Ziskin violated Section 34(b) of the Investment Company Act of 1940 and caused ZSF to violate Section 13(a)(3) of that act. Without admitting or denying the SEC’s findings, TFM and Ziskin agreed to cease and desist from committing or causing any violations and any future violations of these provisions. They also consented to the entry of an SEC order that censures TFM and bars Ziskin from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and prohibits him from serving as an officer, director or employee of a mutual fund.
The SEC’s investigation was conducted by Payam Danialypour and C. Dabney O’Riordan, who are members of the Asset Management Unit in the SEC’s Los Angeles Regional Office. The examination of TFM was conducted by Arlana D. Williams and John K. Kreimeyer of the Los Angeles office’s investment adviser/investment company examination program. (Press Rel. 2012-276; Rel. 33-9377; File No. 3-15154)
SEC Charges Four Penny Stock Purchasers with Fraud
The Securities and Exchange Commission today charged four securities industry professionals with conducting a fraudulent penny stock scheme in which they illegally acquired more than one billion unregistered shares in microcap companies at deep discounts and then dumped them on the market for approximately $17 million in illicit profits while claiming bogus exemptions from the federal securities laws.
The SEC alleges that Danny Garber, Michael Manis, Kenneth Yellin, and Jordan Feinstein acquired shares at about 30 to 60 percent off the market price by misrepresenting to the penny stock companies that they intended to hold the shares for investment purposes rather than immediately re-selling them. Instead, they immediately sold the shares without registering them by purporting to rely on an exemption for transactions that are in compliance with certain types of state law exemptions. However, no such state law exemptions were applicable to their transactions. To create the appearance that the claimed exemption was valid, they created virtual corporate presences in Minnesota, Texas, and Delaware. The SEC also charged 12 entities that they operated in connection with the scheme.
According to the SEC’s complaint filed in federal court in Manhattan, Garber, Manis, Yellin, and Feinstein all live in the New York/New Jersey area and operated the scheme from 2007 to 2010. They each have previously worked in the securities industry either as registered representatives or providers of investment management or financial advisory services.
“These penny stock purchasers had enough securities industry experience to know that their penny stock trading was not exempt from the securities laws as they claimed,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “They repeatedly violated the registration provisions and in the process also committed securities fraud. We will continue to fight microcap stock abuses that result in the unregistered distribution of shares without vital information about those companies being known to investors.”
The SEC’s complaint alleges that Garber, Manis, Yellin, Feinstein and the named entities violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933; Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The SEC’s complaint seeks a final judgment, among other things, ordering all of the defendants to pay disgorgement, prejudgment interest and financial penalties; permanently enjoining all the defendants from future violations of the securities laws; and permanently enjoining all the defendants from participating in penny stock offerings.
The SEC’s investigation, which is continuing, has been conducted by Michael Paley, Laura Yeu, Elzbieta Wraga, Haimavathi Marlier, Yitzchok Klug and Paul Gizzi of the New York Regional Office. Mr. Gizzi and Ms. Marlier will lead the SEC’s litigation. (Press Rel. 2012-278)
SEC Settles Pending Civil Fraud Charges Against Three Former Executives of Enron Broadband Services
The Securities and Exchange Commission announced today that former Enron senior vice presidents Rex T. Shelby and Scott Yeager and the former chief financial officer of Enron Broadband Services (EBS) Kevin A. Howard have agreed to settle the SEC's pending civil actions against them.
The SEC charged Shelby and Yeager with securities fraud and insider trading on May 1, 2003, amending a complaint previously filed March 12, 2003, which charged Howard and Michael W. Krautz, a former senior director of accounting at EBS, with securities fraud. The SEC’s civil case was stayed by the U.S. District Court while criminal proceedings occurred against these defendants.
To settle the SEC’s action against them, Shelby agreed to pay a civil penalty of $1 million, and Yeager and Howard agreed to pay civil penalties of $110,000 and $65,000, respectively. In addition, they each consented to the entry of a final judgment enjoining them from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and permanently barring them from serving as an officer or director of a public company. Howard also agreed to be permanently enjoined from violating Section 17(a) of the Securities Act of 1933, Section 13(b)(5) of the Exchange Act and Exchange Act Rule 13b2-1, and aiding and abetting violations of Sections 13(a) and 13(b)(2)(A) and (B) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1 and 13a-13. These settlement agreements are subject to court approval. Separately, Howard also consented to the entry of an Administrative Order, pursuant to Rule 102(e) of the Commission’s Rules of Practice, suspending him from appearing or practicing before the Commission as an accountant.
In the related criminal proceedings, the Department of Justice previously entered into plea agreements with Shelby and Howard on related charges. Shelby and Howard agreed to respectively forfeit $2,568,750 and $25,000 that, along with the Commission's civil penalties announced today, will contribute $3,658,750 for the benefit of injured investors through the Commission's Enron Fair Fund. Yeager was acquitted in a related criminal proceeding.
As alleged in the Commission's complaint, Shelby, Yeager and other EBS executives engaged in a fraudulent scheme to, among other things, make false or misleading statements about the technological prospects, performance, and financial condition of EBS. These statements were made at Enron's annual analyst conference and in multiple press releases during 2000. While aware of material non-public information concerning the true nature of EBS' technological and commercial condition, Shelby and Yeager sold a large amount of Enron stock at inflated prices. In another part of the scheme, Howard engaged in a sham transaction, known as “Project Braveheart,” in which Enron improperly recognized $53 million in earnings in the fourth quarter of 2000 and $58 million in earnings in the first quarter of 2001.
The Commission also announced today that it filed notices of voluntary dismissal of its case against Krautz, along with its case against Schuyler M. Tilney and Thomas W. Davis, two former Merrill Lynch executives who were charged on March 17, 2003 with aiding and abetting Enron’s securities fraud. Krautz was acquitted at trial in a related criminal proceeding.
For more information, see Litigation Release No. 18122 (May 1, 2003); Litigation Release No. 18038 (March 17, 2003). [SEC v. Rex T. Shelby, Scott Yeager, Kevin A. Howard and Michael W. Krautz, Civil Action No. H-03-0905 (S.D. Tex.); SEC v. Schuyler M. Tilney and Thomas W. Davis, Civil Action No. H-03-0946 (S.D. Tex.)] (LR-22577; AAE Rel. 3434)
SEC Charges Former Chairman of Board In Connection With A Fraudulent Plan To Evade The Beneficial Ownership Reporting Requirements
The United States Securities and Exchange Commission (Commission) filed an enforcement action against Lee S. Rosen the former Chairman of the Board of publicly traded New Generation Biofuels Holdings, Inc., alleging that he fraudulently evaded the reporting requirements concerning his ownership interest in New Generation shares held in five separate trusts in violation of the antifraud provisions and beneficial reporting provisions of the federal securities laws. According to the Commission’s complaint, at various times from June 2007 through May 2010, Rosen, directly or indirectly profited from the sale of New Generation shares held in two of the five trusts and benefited from using shares in two trusts as payment toward an ultimately unsuccessful purchase of a yacht. Further, the complaint alleges that Rosen failed to disclose these transactions and his true holdings in New Generation securities in various Commission filings and that Rosen made false and misleading statements and omissions in Commission filings regarding his true beneficial ownership of New Generation shares.
The SEC’s complaint, which was filed in the United States District Court for the Southern District of Florida, charges Rosen with violating Section 17(a) of the Securities Act of 1933, and Sections 10(b), 13(d) and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 13d-1, 13d-2, 16a-3, and 16a-8 thereunder. Rosen has agreed to settle the SEC’s charges without admitting or denying the allegations. Rosen consented to a permanent injunction, and an order requiring him to pay $666,000 in disgorgement, plus $50,484 in prejudgment interest, a $195,000 civil money penalty, and barring him from serving as an officer or director. [SEC v. Lee S. Rosen (United States District Court for the Southern District of Florida, CASE NO. 9:12-cv-81395] (LR-22578)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC to modify a Level 2 subscriber fee and related rule clarifications (SR-NASDAQ-2012-133) 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 24. (Rel. 34-68493)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to port fees and a participant fee (SR-NASDAQ-2012-139) 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 24. (Rel. 34-68502)
Proposed Rule Changes
The Chicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2012-122), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, related to SPX Combo Orders. Publication is expected in the Federal Register during the week of December 24. (Rel. 34-68504)
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-11 Five Oaks Investment Corp., 641 LEXINGTON AVENUE, SUITE 1432, NEW YORK, NY, 10022, (212) 328-9521 - 0 ($115,000,000.00) Equity, (File 333-185570 - Dec. 20) (BR. 08C) S-1 SW China Imports, Inc., 15800 CRABBS BRANCH WAY, SUITE 310, ROCKVILLE, MD, 20855, 240-477-7738 - 147,500,000 ($16,225,000.00) Equity, (File 333-185571 - Dec. 20) (BR. 02) S-1 BASTA HOLDINGS, CORP., ROOM 2105, SINO LIFE TOWER, NO. 707, ZHANG YANG RD. PUDONG, SHANGHAI, F4, 200120, 8618721459159 - 3,000,000 ($90,000.00) Equity, (File 333-185572 - Dec. 20) (BR. 06) S-8 Macy's, Inc., 7 WEST SEVENTH STREET, CINCINNATI, OH, 45202, 5135797000 - 150,000 ($5,737,500.00) Equity, 40,000,000 ($40,000,000.00) Other, (File 333-185575 - Dec. 20) (BR. 02A) S-3 TRANSAMERICA ADVISORS LIFE INSURANCE Co, 425 WEST CAPITAL AVENUE, LITTLE ROCK, AR, 72201, 800-346-3677 - 0 ($50,000,000.00) Other, (File 333-185576 - Dec. 20) (BR. 01A) S-4 W&T OFFSHORE INC, 0 ($300,000,000.00) Non-Convertible Debt, (File 333-185579 - Dec. 20) (BR. 04A) S-1 Translation Group Inc., 702-425-3296 - 5,000,000 ($100,000.00) Equity, (File 333-185580 - Dec. 20) (BR. 02) S-8 JPMORGAN CHASE & CO, 270 PARK AVE, 38TH FL, NEW YORK, NY, 10017, 2122706000 - 0 ($275,640,000.00) Other, (File 333-185581 - Dec. 20) (BR. 12A) S-8 JPMORGAN CHASE & CO, 270 PARK AVE, 38TH FL, NEW YORK, NY, 10017, 2122706000 - 0 ($878,200,000.00) Equity, (File 333-185582 - Dec. 20) (BR. 12A) S-8 DUKE REALTY CORP, 600 EAST 96TH STREET, STE 100, INDIANAPOLIS, IN, 46240, 3178086000 - 0 ($27,440,000.00) Other, (File 333-185583 - Dec. 20) (BR. 08C) S-8 JPMORGAN CHASE & CO, 270 PARK AVE, 38TH FL, NEW YORK, NY, 10017, 2122706000 - 0 ($329,325,000.00) Equity, (File 333-185584 - Dec. 20) (BR. 12A) S-3 CombiMatrix Corp, 310 GODDARD, SUITE 150, IRVINE, CA, 92618, 949-753-0624 - 0 ($13,028,597.45) Equity, (File 333-185585 - Dec. 20) (BR. 10A) S-8 ZaZa Energy Corp, 1301 MCKINNEY STREET, SUITE 3000, HOUSTON, TX, 77010, 713-595-1900 - 12,181,250 ($24,606,125.00) Equity, (File 333-185586 - Dec. 20) (BR. 04A) S-8 BEST BUY CO INC, 7601 PENN AVE SOUTH, RICHFIELD, MN, 55423, 6122911000 - 5,000,000 ($60,250,000.00) Equity, (File 333-185587 - Dec. 20) (BR. 02C) S-3 Altra Holdings, Inc., 300 GRANITE STREET, SUITE 201, BRAINTREE, MA, 02184, 781-917-0600 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-185588 - Dec. 20) (BR. 06A) S-8 SUPREME INDUSTRIES INC, P O BOX 237, 2581 EAST KERCHER ROAD, GOSHEN, IN, 46528, 5746423070 - 0 ($3,510,000.00) Equity, (File 333-185589 - Dec. 20) (BR. 05C) S-3 CalAmp Corp., 1401 N. RICE AVENUE, OXNARD, CA, 93030, 8059879000 - 0 ($75,000,000.00) Equity, (File 333-185590 - Dec. 20) (BR. 11C) F-3 ENBRIDGE INC, 3000 425 - 1ST STREET SW, CALGARY ALBERTA CANA, A0, T2P 3L8, 4032313900 - 0 ($1.00) Equity, (File 333-185591 - Dec. 20) (BR. 04B) S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 75,643 ($1,491,679.96) Equity, (File 333-185592 - Dec. 20) (BR. 03C) S-1 PROGUARD ACQUISITION CORP, 2501 EAST COMMERCIAL BLVD, SUITE 207, FORT LAUDERDALE, FL, 33308, 954-491-7050 - 81,858,584 ($7,468,658.00) Mortgage Backed Securities, (File 333-185593 - Dec. 20) (BR. 04A) S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 87,567 ($1,726,821.24) Equity, (File 333-185594 - Dec. 20) (BR. 03C) S-3 SAUL CENTERS INC, 7501 WISCONSIN AVENUE, SUITE 1500, BETHESDA, MD, 20814, 3019866207 - 0 ($200,000,000.00) Equity, (File 333-185595 - Dec. 20) (BR. 08C) S-1 Health Insurance Innovations, Inc., 15438 N. FLORIDA AVENUE, SUITE 201, TAMPA, FL, 33613, (877) 376-5831 - 0 ($86,250,000.00) Equity, (File 333-185596 - Dec. 20) (BR. 01A) S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 52,561 ($1,036,502.92) Equity, (File 333-185597 - Dec. 20) (BR. 03C)
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 SOURCE CORP IN 5.02 12/14/12 5Barz International, Inc. 1.01,1.02 12/06/12 AMEND ABBOTT LABORATORIES IL 4.01,9.01 12/14/12 AbbVie Inc. DE 4.01,9.01 12/14/12 ACACIA RESEARCH CORP DE 8.01 12/19/12 ACADIA REALTY TRUST MD 1.01 12/14/12 ACCURIDE CORP DE 1.01,3.03,9.01 12/19/12 ACE Ltd V8 5.03,9.01 12/17/12 ACURA PHARMACEUTICALS, INC NY 8.01,9.01 12/20/12 Affinion Group Holdings, Inc. DE 5.02 12/14/12 Affinity Gaming, LLC NV 3.03,5.03,8.01,9.01 12/20/12 AIR PRODUCTS & CHEMICALS INC /DE/ DE 8.01 12/20/12 ALLIANCE BANKSHARES CORP 5.07 12/19/12 Allied World Assurance Co Holdings, A 7.01,9.01 12/20/12 Alliqua, Inc. FL 5.07,9.01 12/19/12 ALTAIR NANOTECHNOLOGIES INC Z4 5.03,9.01 12/17/12 Amarantus BioSciences, Inc. DE 1.01,9.01 12/14/12 AMCON DISTRIBUTING CO DE 5.07 12/20/12 AMEREN CORP MO 2.06 12/20/12 AMERICAN GREETINGS CORP OH 1.01,2.02,9.01 12/19/12 AMERICAN POWER CORP. NV 1.01,9.01 12/11/12 American Railcar Industries, Inc. ND 7.01,9.01 12/19/12 AMERICAN RIVER BANKSHARES CA 8.01,9.01 10/20/12 Ampio Pharmaceuticals, Inc. DE 5.02,5.07,9.01 12/15/12 ANALOG DEVICES INC MA 1.01,2.03,9.01 12/19/12 ANN INC. DE 1.01,2.03 12/19/12 ARRIS GROUP INC DE 1.01,7.01,9.01 12/19/12 ARROW ELECTRONICS INC NY 1.01,8.01,9.01 12/17/12 ARROWHEAD RESEARCH CORP DE 2.02,9.01 12/20/12 ASHLAND INC. KY 7.01,9.01 12/20/12 ATOSSA GENETICS INC DE 2.02,5.03,9.01 12/17/12 ATWOOD OCEANICS INC TX 7.01,9.01 12/20/12 AUTHENTIDATE HOLDING CORP DE 5.02 12/18/12 Avalon Holding Group, Inc. NV 4.01 12/06/12 AVEO PHARMACEUTICALS INC DE 5.02,8.01,9.01 12/18/12 AVISTA CORP WA 2.05 10/22/12 AMEND BED BATH & BEYOND INC NY 2.02,9.01 12/19/12 Behringer Harvard Opportunity REIT I, MD 2.02,7.01 12/14/12 BEHRINGER HARVARD REIT I INC MD 2.02,7.01,8.01,9.01 12/20/12 Biostar Pharmaceuticals, Inc. MD 5.02 12/14/12 BIOTIME INC CA 7.01,9.01 12/20/12 Black Ridge Oil & Gas, Inc. DE 1.01,2.03,9.01 12/14/12 BLACKBAUD INC 5.02 12/16/12 BLUE DOLPHIN ENERGY CO DE 9.01 12/20/12 AMEND Blue Earth, Inc. NV 1.01,9.01 12/12/12 AMEND BLYTH INC DE 1.01,1.02,9.01 12/18/12 BRAINSTORM CELL THERAPEUTICS INC. DE 8.01,9.01 12/17/12 Brenham Oil & Gas Corp. NV 8.01,9.01 12/19/12 BRIGGS & STRATTON CORP WI 5.02,9.01 12/14/12 BROWN FORMAN CORP DE 5.02,9.01 12/20/12 Business Development Corp of America MD 8.01,9.01 12/19/12 CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 12/17/12 CalAmp Corp. DE 2.02,8.01,9.01 12/20/12 CAPITALSOURCE INC DE 5.02 12/20/12 CAPITOL BANCORP LTD MI 5.02 12/20/12 Carlyle Group L.P. DE 7.01,8.01,9.01 12/19/12 CARMAX INC VA 2.02,9.01 12/20/12 CARNIVAL CORP DE 2.02,9.01 12/20/12 CARRIAGE SERVICES INC DE 5.02 12/20/12 CATERPILLAR INC DE 7.01 12/20/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 3.02 12/19/12 CHINA BAK BATTERY INC NV 2.02,7.01,9.01 12/20/12 China Green Agriculture, Inc. NV 5.07 12/15/12 Cinemark Holdings, Inc. DE 1.01,2.03,9.01 12/18/12 CINEMARK USA INC /TX TX 1.01,2.03,9.01 12/18/12 CINTAS CORP WA 2.02,9.01 12/20/12 CMS ENERGY CORP MI 2.03,9.01 12/17/12 CNL Healthcare Trust, Inc. MD 1.01,2.01,2.03,9.01 10/30/12 CNL Healthcare Trust, Inc. MD 1.01,2.01,2.03,9.01 12/18/12 COEUR D ALENE MINES CORP ID 8.01,9.01 12/18/12 COLE CORPORATE INCOME TRUST, INC. MD 1.01,2.01,2.03,9.01 12/17/12 COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,2.03 12/14/12 CombiMatrix Corp DE 8.01 12/19/12 COMMUNICATIONS SYSTEMS INC MN 5.02,9.01 12/14/12 Computer Vision Systems Laboratories FL 4.01,9.01 12/14/12 COMVERSE TECHNOLOGY INC/NY/ NY 8.01,9.01 12/19/12 CONAGRA FOODS INC /DE/ DE 2.02,9.01 12/20/12 CORNERSTONE THERAPEUTICS INC DE 1.01 12/14/12 CREE INC NC 5.02,9.01 12/17/12 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 12/20/12 Customers Bancorp, Inc. PA 1.01,9.01 12/18/12 DARDEN RESTAURANTS INC FL 2.02,9.01 12/20/12 DEX ONE Corp DE 5.02 12/14/12 DIRECT INSITE CORP DE 5.02,9.01 12/17/12 Discover Financial Services DE 2.02,5.02,9.01 12/18/12 DISH Network CORP NV 8.01,9.01 12/19/12 DSW Inc. OH 5.02,9.01 12/19/12 DTE ENERGY CO MI 7.01,8.01,9.01 12/20/12 DYCOM INDUSTRIES INC FL 5.02,9.01 12/14/12 Eagle Ford Oil & Gas Corp NV 8.01 12/20/12 Eloqua, Inc. 1.01,8.01,9.01 12/19/12 EMERSON ELECTRIC CO MO 7.01 12/20/12 Empeiria Acquisition Corp DE 1.01,2.01,3.02,3.03, 12/14/12 5.01,5.02,5.03,5.06, 9.01 Enduro Royalty Trust DE 2.02,9.01 12/20/12 ENGLOBAL CORP NV 5.02,9.01 12/18/12 ENZON PHARMACEUTICALS INC DE 2.05,8.01,9.01 12/14/12 EPICEPT CORP 5.02 12/15/12 EQT Corp PA 1.01,7.01,9.01 12/19/12 EQUIFAX INC GA 1.01,1.02,2.03,9.01 12/17/12 EVEREST RE GROUP LTD D0 8.01,9.01 12/20/12 EZCORP INC DE 5.02 12/14/12 EZCORP INC DE 3.02,8.01,9.01 12/20/12 FACTSET RESEARCH SYSTEMS INC DE 5.07 12/18/12 FAR EAST ENERGY CORP NV 1.01,9.01 12/18/12 Federal Home Loan Bank of Atlanta X1 2.03 12/17/12 Federal Home Loan Bank of Chicago X1 2.03 12/17/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 12/18/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 12/20/12 Federal Home Loan Bank of New York X1 2.03,9.01 12/17/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 12/17/12 Federal Home Loan Bank of San Francis X1 2.03 12/17/12 Federal Home Loan Bank of Seattle 2.03 12/17/12 Federal Home Loan Bank of Topeka 5.02 12/14/12 FEDERAL HOME LOAN MORTGAGE CORP 5.03,9.01 12/20/12 FEDERAL MOGUL CORP DE 1.02,8.01,9.01 12/19/12 First Bancorp, Inc /ME/ ME 8.01 12/20/12 FIRST CITIZENS BANCSHARES INC /DE/ DE 1.01,5.02 12/20/12 First Financial Northwest, Inc. WA 1.01,9.01 12/19/12 FIRST MIDWEST BANCORP INC DE 5.02 12/14/12 FIRST PLACE FINANCIAL CORP /DE/ DE 1.01,9.01 12/14/12 FIRST REGIONAL BANCORP CA 8.01,9.01 12/14/12 FLIR SYSTEMS INC OR 8.01,9.01 12/20/12 Flux Power Holdings, Inc. NV 8.01,9.01 12/20/12 FOREST CITY ENTERPRISES INC OH 3.02,8.01,9.01 12/18/12 FORWARD INDUSTRIES INC NY 2.02,9.01 12/20/12 FRANKLIN WIRELESS CORP NV 5.07 12/18/12 General Finance CORP DE 8.01,9.01 12/20/12 General Motors Co 1.01,9.01 12/18/12 GEO GROUP INC FL 1.01,2.03,9.01 12/14/12 GIBRALTAR INDUSTRIES, INC. DE 5.02 12/14/12 GLOBAL CASINOS INC UT 2.03,9.01 12/20/12 Globalstar, Inc. DE 3.01,7.01,9.01 12/19/12 Google Inc. DE 7.01,9.01 12/19/12 GRANDPARENTS.COM, INC. DE 1.01,1.02,2.03,3.02, 12/14/12 9.01 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/30/12 GreenHunter Energy, Inc. DE 8.01,9.01 12/20/12 GREENSHIFT CORP DE 1.01 12/18/12 GREIF INC DE 1.01,1.02,2.03,2.04, 12/19/12 9.01 Griffin Capital Net Lease REIT, Inc. 2.03,7.01,8.01,9.01 12/11/12 GTX INC /DE/ DE 5.02 12/14/12 GULFPORT ENERGY CORP DE 1.01,7.01,9.01 12/19/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 12/20/12 Hangover Joe's Holding Corp CO 7.01,9.01 12/20/12 HAWAIIAN HOLDINGS INC DE 7.01,9.01 12/20/12 HERCULES OFFSHORE, INC. DE 7.01,9.01 12/19/12 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,9.01 12/17/12 HMS INCOME FUND, INC. MD 8.01,9.01 12/18/12 Howard Bancorp Inc MD 8.01,9.01 12/20/12 HPEV, INC. NV 1.01,2.03,3.02,5.03, 12/14/12 9.01 HPIL HOLDING NV 3.02 12/20/12 HSN, Inc. DE 5.02,9.01 12/20/12 HUGOTON ROYALTY TRUST TX 2.02,9.01 12/20/12 HUTTIG BUILDING PRODUCTS INC DE 5.02,8.01,9.01 12/17/12 ICAHN ENTERPRISES L.P. DE 1.02,8.01,9.01 12/19/12 ICON ECI FUND FIFTEEN, L.P. DE 8.01 12/20/12 ICON Equipment & Corporate Infrastruc DE 8.01 12/20/12 INTEGRATED DEVICE TECHNOLOGY INC DE 1.02,8.01,9.01 12/19/12 INTERCONTINENTALEXCHANGE INC DE 7.01,8.01,9.01 12/20/12 INTERSIL CORP/DE DE 5.02,9.01 12/20/12 INVACARE CORP OH 8.01,9.01 12/20/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02 12/18/12 IPASS INC DE 5.02 12/17/12 IRON MOUNTAIN INC DE 5.02 12/20/12 JEFFERIES GROUP INC /DE/ DE 1.01,9.01 12/19/12 Jones Lang LaSalle Income Property Tr MD 7.01,8.01 12/14/12 KB HOME DE 2.02,9.01 12/20/12 KCAP Financial, Inc. DE 8.01,9.01 12/20/12 KID BRANDS, INC NJ 3.01,8.01,9.01 12/14/12 KIMBALL INTERNATIONAL INC IN 1.01,2.03,9.01 12/18/12 KIRBY CORP NV 1.01,2.01,2.03,7.01, 12/13/12 9.01 Kodiak Oil & Gas Corp B0 7.01,9.01 12/18/12 Kosmos Energy Ltd. D0 5.02 12/19/12 Liberty Global, Inc. DE 2.03 12/14/12 Location Based Technologies, Inc. NV 7.01,9.01 12/19/12 LOOKSMART LTD DE 1.01,3.03,9.01 12/19/12 LUBYS INC DE 2.02,9.01 12/19/12 MACKINAC FINANCIAL CORP /MI/ MI 1.01,9.01 12/19/12 MARCUS CORP WI 2.02,9.01 12/20/12 Matson, Inc. HI 5.02 12/19/12 Matter of Time I Co. NV 1.01,2.01,3.02,5.01, 12/14/12 5.02,5.03,5.06,9.01 MCCLATCHY CO DE 1.01,2.03,8.01,9.01 12/18/12 MEADOWBROOK INSURANCE GROUP INC MI 8.01,9.01 12/20/12 MEDIENT STUDIOS, INC. NV 4.01,9.01 09/30/12 AMEND MEDIVATION, INC. DE 5.02 12/14/12 Meetinghouse Bancorp, Inc. MD 5.02 12/18/12 Merriman Holdings, Inc DE 2.03 12/13/12 MESA ROYALTY TRUST/TX TX 2.02,9.01 12/20/12 METALICO INC 5.02,8.01,9.01 12/20/12 MetaStat, Inc. NV 7.01,9.01 12/19/12 MFA FINANCIAL, INC. MD 5.02,9.01 12/19/12 MGM Resorts International DE 1.01,1.02,2.03,9.01 12/18/12 MICRON TECHNOLOGY INC DE 2.02,9.01 11/29/12 MOKITA VENTURES, INC. NV 5.02,5.07 12/14/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 12/20/12 MONRO MUFFLER BRAKE INC NY 1.01,2.03,5.03,9.01 08/07/12 MULTI-CORP INTERNATIONAL INC. NV 1.01,2.01,3.02,9.01 12/17/12 NEOGEN CORP MI 8.01 12/20/12 NEOGEN CORP MI 2.02,9.01 12/20/12 NETLIST INC DE 1.01,5.03,9.01 12/19/12 NETWORK 1 FINANCIAL GROUP, INC. DE 3.02,9.01 09/06/12 NETWORK 1 SECURITY SOLUTIONS INC DE 5.02 12/19/12 NEULION, INC. 1.01,9.01 06/26/10 NEW ENERGY SYSTEMS GROUP NV 5.07,8.01,9.01 12/16/12 NEW YORK MORTGAGE TRUST INC MD 5.02 12/14/12 NEWS CORP 8.01,9.01 12/19/12 NEXCORE HEALTHCARE CAPITAL CORP DE 8.01 12/18/12 Nexeo Solutions Holdings, LLC DE 5.02 12/17/12 AMEND NEXTERA ENERGY INC FL 2.03,8.01,9.01 12/14/12 NIKE INC OR 2.02,9.01 12/20/12 NORTHWEST PIPE CO OR 5.02,9.01 12/19/12 NTS, INC. NV 5.07 12/20/12 NYSE Euronext DE 7.01,8.01,9.01 12/20/12 Ocean Shore Holding Co. 5.02,9.01 12/19/12 OCLARO, INC. DE 1.01,2.03 12/14/12 Oconee Federal Financial Corp. 8.01,9.01 12/20/12 OCZ TECHNOLOGY GROUP INC DE 8.01,9.01 12/19/12 OMEGA COMMERCIAL FINANCE CORP WY 1.01,7.01,9.01 12/13/12 OMNI BIO PHARMACEUTICAL, INC. CO 3.02,5.02,7.01,9.01 12/19/12 OMNICARE INC DE 5.02 12/14/12 ORRSTOWN FINANCIAL SERVICES INC PA 8.01,9.01 12/20/12 P&F INDUSTRIES INC DE 1.01,2.03,9.01 12/19/12 PARK NATIONAL CORP /OH/ OH 5.02,9.01 12/19/12 PARKER DRILLING CO /DE/ DE 1.01,2.03,3.03 12/14/12 PINNACLE BANKSHARES CORP VA 8.01 12/20/12 PIONEER NATURAL RESOURCES CO DE 1.01,2.03,9.01 12/20/12 Plures Technologies, Inc./DE DE 4.01,9.01 12/14/12 PLX TECHNOLOGY INC DE 1.02,8.01,9.01 12/19/12 PLX TECHNOLOGY INC DE 5.07 12/19/12 POOL CORP DE 5.03,9.01 12/20/12 PORTFOLIO RECOVERY ASSOCIATES INC DE 1.01,1.02,2.03,9.01 12/19/12 POSITIVEID Corp DE 1.01,9.01 12/20/12 Powder River Coal Corp. FL 8.01,9.01 12/17/12 PRECISION CASTPARTS CORP OR 1.01,2.03,9.01 12/17/12 PREMIERE GLOBAL SERVICES, INC. GA 5.02,8.01,9.01 12/20/12 PRESIDENTIAL LIFE CORP DE 5.07,8.01,9.01 12/20/12 Prologis, Inc. MD 8.01,9.01 12/20/12 ProPhase Labs, Inc. NV 1.01,3.01,9.01 12/20/12 PROSPER MARKETPLACE INC DE 5.02 12/17/12 PVH CORP. /DE/ DE 1.01,2.03,7.01,9.01 12/20/12 QC Holdings, Inc. KS 8.01 12/19/12 Radius Health, Inc. DE 1.01,9.01 12/14/12 RAPTOR RESOURCES HOLDINGS INC. NV 2.01,3.02,5.02,9.01 12/17/12 RECOVERY ENERGY, INC. NV 7.01 12/20/12 RED HAT INC DE 2.02,9.01 12/20/12 REDFIN NETWORK, INC. NV 1.01,2.03,3.02,9.01 12/14/12 Remark Media, Inc. DE 5.02 12/14/12 REMY INTERNATIONAL, INC. DE 5.02 12/20/12 RENAISSANCERE HOLDINGS LTD D0 7.01,9.01 12/20/12 RESOURCES CONNECTION INC DE 2.02,9.01 12/20/12 RESPECT YOUR UNIVERSE, INC. NV 5.02 12/19/12 RETAIL PROPERTIES OF AMERICA, INC. MD 3.03,5.03,8.01,9.01 12/11/12 AMEND Revolutionary Concepts Inc NV 1.01,2.01,3.02,5.03, 12/19/12 9.01 RITE AID CORP DE 2.02,8.01,9.01 12/20/12 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 7.01,9.01 12/19/12 ROMA FINANCIAL CORP X1 1.01,9.01 12/19/12 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 8.01,9.01 12/18/12 RUSH ENTERPRISES INC \TX\ TX 1.01,8.01,9.01 12/19/12 Ryman Hospitality Properties, Inc. DE 8.01,9.01 12/20/12 S Y BANCORP INC KY 1.01,8.01,9.01 12/19/12 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 12/20/12 Sanchez Energy Corp DE 5.02,9.01 12/18/12 SANDISK CORP DE 5.03,9.01 12/20/12 SANDRIDGE ENERGY INC DE 1.01,8.01,9.01 12/19/12 Santa Fe Petroleum, Inc. DE 4.01,9.01 12/20/12 Santa Fe Petroleum, Inc. DE 1.01,2.01,3.02,5.01, 12/20/12 AMEND 5.02,5.06 SANTARUS INC DE 8.01 12/19/12 SANTARUS INC DE 5.02 12/19/12 SARATOGA RESOURCES INC /TX TX 7.01,9.01 12/20/12 SCHOLASTIC CORP DE 2.02,9.01 12/20/12 Searchlight Minerals Corp. NV 7.01,9.01 12/20/12 SHILOH INDUSTRIES INC DE 2.02 12/20/12 Shire plc 8.01,9.01 12/20/12 Shire plc 8.01,9.01 12/20/12 SOFTECH INC MA 2.02,5.07,9.01 12/19/12 SOTHEBYS DE 1.01,2.03,7.01,9.01 12/20/12 SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01,9.01 12/20/12 SPARTECH CORP DE 8.01 12/20/12 STAR BUFFET INC DE 1.03,9.01 12/17/12 STONE ENERGY CORP DE 7.01,8.01,9.01 12/17/12 Strategic Storage Trust, Inc. MD 7.01,9.01 12/20/12 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 12/17/12 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 12/17/12 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 12/17/12 STRATS SM TRUST FOR U S CELL CORP SEC 8.01,9.01 12/17/12 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 12/17/12 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 12/17/12 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 12/17/12 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 12/17/12 SUMMIT FINANCIAL SERVICES GROUP INC FL 1.01,9.01 12/20/12 SUNGARD CAPITAL CORP DE 1.01,2.03,3.03,5.03, 12/17/12 8.01,9.01 SUNTRUST BANKS INC GA 3.03,5.03,8.01,9.01 12/13/12 Surge Global Energy, Inc. DE 4.01,9.01 12/20/12 SYNTA PHARMACEUTICALS CORP 1.01,9.01 12/14/12 Synutra International, Inc. DE 5.02,9.01 12/18/12 TAUBMAN CENTERS INC MI 1.01,2.01,8.01,9.01 12/17/12 TCF FINANCIAL CORP DE 5.02,9.01 12/14/12 TGFIN HOLDINGS INC DE 5.01 12/19/12 THERMOENERGY CORP DE 5.02,9.01 12/10/12 THERMOENERGY CORP DE 5.02 12/17/12 THQ INC DE 7.01 12/19/12 TIBCO SOFTWARE INC DE 2.02,9.01 12/20/12 TIDELANDS ROYALTY TRUST B TX 7.01,9.01 12/20/12 Titanium Asset Management Corp DE 5.01,5.02 12/18/12 TIVO INC DE 5.02,9.01 12/20/12 Tops Holding Corp DE 1.01,2.03,8.01,9.01 12/14/12 TRACTOR SUPPLY CO /DE/ DE 5.02,9.01 12/20/12 TransMontaigne Partners L.P. DE 1.01,2.01,8.01,9.01 12/20/12 TRIMAS CORP DE 1.01,2.03,8.01,9.01 12/17/12 TRINITY INDUSTRIES INC DE 2.03 12/19/12 TSIC, Inc. DE 7.01,9.01 12/13/12 TUCOWS INC /PA/ PA 1.01,2.03,9.01 12/14/12 TUFCO TECHNOLOGIES INC DE 2.02,9.01 12/18/12 TurkPower Corp DE 5.02 12/20/12 Twin Cities Power Holdings, LLC MN 1.01 12/17/12 UBS-Barclays Commercial Mortgage Trus DE 8.01,9.01 12/20/12 UMH PROPERTIES, INC. MD 7.01,9.01 12/20/12 Uni-Pixel DE 8.01,9.01 12/20/12 UNION BANKSHARES INC VT 8.01 12/19/12 UNITED COMMUNITY FINANCIAL CORP OH 5.07 12/18/12 UNITED STATES ANTIMONY CORP MT 5.03,5.07,9.01 12/15/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 1.01,2.01,9.01 12/14/12 US GEOTHERMAL INC DE 8.01 11/20/12 UWHARRIE CAPITAL CORP NC 5.02 12/20/12 Venaxis, Inc. CO 5.02,9.01 12/19/12 VERISIGN INC/CA DE 2.02,9.01 12/20/12 Village Bank & Trust Financial Corp. 8.01 12/20/12 VOIS Inc. FL 1.01,3.02,9.01 12/18/12 Volcano Corp DE 1.01 12/14/12 W&E Source Corp. DE 1.01,3.02 12/15/12 Western Asset Mortgage Capital Corp DE 7.01,9.01 12/19/12 Wheeler Real Estate Investment Trust, MD 1.01,2.01,9.01 12/14/12 WHIRLPOOL CORP /DE/ DE 8.01,9.01 12/19/12 WILLIAMS COMPANIES INC DE 1.01,7.01,9.01 12/18/12 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 12/20/12 WORLD FUEL SERVICES CORP FL 8.01,9.01 12/20/12 WORLDWIDE STRATEGIES INC NV 8.01 12/14/12