Investor Advisory Committee Meeting, Friday, January 18, 2013, 10:00 a.m.
The Securities and Exchange Commission Investor Advisory Committee will hold a meeting on Friday, January 18, 2013, in Multi-Purpose Room LL-006 at the Commission’s headquarters, 100 F Street, NE, Washington, DC. The meeting will begin at 10:00 a.m. (EDT) and will be open to the public. Seating will be on a first-come, first-served basis. Doors will open at 9:30 a.m. Visitors will be subject to security checks. The meeting will be webcast on the Commission’s website at www.sec.gov.
On January 9, 2013, the Commission issued notice of the Committee meeting (Release No. 33-9378), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. This Sunshine Act notice is being issued because a quorum of the Commission may attend the meeting.
The agenda for the meeting includes introductory remarks from Chairman Walter and Commissioners; introductory remarks from Committee officers; discussion of administrative matters; and reports from the four Investor Advisory Committee subcommittees (the Investor as Owner subcommittee, the Investor as Purchaser subcommittee, the Investor Education subcommittee, and the Market Structure subcommittee).
Advisory Committee on Small and Emerging Companies Meeting, Friday, February 1, 2013, 10:00 a.m.
The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold a public meeting on Friday, February 1, 2013, in Multi-Purpose Room LL-006 at the Commission’s headquarters, 100 F Street, N.E., Washington, DC. The meeting will begin at 9:30 a.m. (EDT) and will be open to the public. Seating will be on a first-come, first-served basis. Doors will open at 9:00 a.m. Visitors will be subject to security checks. The meeting will be webcast on the Commission’s website at www.sec.gov.
On January 9, 2013, the Commission published notice of the Committee meeting (Release No. 33-9379), indicating that the meeting is open to the public and inviting the public to submit written comments to the Committee. This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting.
The agenda for the meeting includes consideration of recommendations and other matters relating to rules and regulations affecting small and emerging companies under the federal securities laws.
Closed Meeting on Thursday, January 10, 2013 at 2:00 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions;
institution and settlement of administrative proceedings; and litigation matters.
Closed Meeting on Thursday, January 17, 2013 at 2:00 p.m
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of amicus participation; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Jimmie Dean Jones, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission
Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Jimmie Dean Jones, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Jones was denied the privilege of appearing or practicing before the Commission as an accountant on July 17, 2009. His reinstatement is effective immediately. (Rel. 34-68611; AAE Rel. 3438; File No. 3-13555)
In the Matter of Kris Chellam
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions against Kris Chellam. The Order finds that Chellam, age 61, resides in Saratoga, California. From 1998 to 2007, Chellam was a senior officer at Xilinx, Inc. (“Xilinx”), including serving as Xilinx’s chief financial officer from 1998 to 2005. From approximately May 2007 to April 2009, Chellam was the Co-Managing Partner of the Galleon Special Opportunities Fund, a late-stage venture capital fund affiliated with the hedge fund investment adviser Galleon Management, LP (“Galleon”).
On October 26, 2012, the Commission filed a civil action against Chellam in Securities and Exchange Commission v. Chellam, Civil Action Number 12-CV-7983, in the United States District Court for the Southern District of New York. On November 7, 2012, the Court entered a final judgment by consent against Chellam, permanently enjoining him from future 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.
The Commission’s complaint alleges that during his employment with Xilinx, Chellam, in breach of an obligation arising from a relationship of trust and confidence and with the expectation of receiving a benefit, conveyed material nonpublic information concerning Xilinx to Galleon founder Raj Rajaratnam, who traded Xilinx securities while in possession of this inside information. The Commission’s complaint alleges further that after Chellam joined the Galleon Special Opportunities Fund in 2007, he continued to obtain material nonpublic information about Xilinx and to pass that information to Rajaratnam and other individuals affiliated with Galleon.
Based on the above, the Order bars Chellam from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent. Chellam consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. IA-3532; File No. 3-15169).
Court Orders New York-Based Hedge Fund Manager and Firm to Pay Nearly $5 Million in Disgorgement and Penalties
The Commission announced today that, on January 3, 2013, Judge Paul A. Engelmayer of the U.S. District Court for the Southern District of New York entered final judgments against hedge fund manager Chetan Kapur and his firm, ThinkStrategy Capital Management (ThinkStrategy), ordering them to jointly and severally pay disgorgement of $3,988,196.59 and civil penalties in the amount of $1,000,000.
The final judgments stem from a partially-settled civil injunctive action filed by the Commission on November 10, 2011. The SEC’s complaint alleged that over nearly seven years, Kapur and ThinkStrategy engaged in a pattern of deceptive conduct designed to bolster their track record, size, and credentials. In particular, Kapur and ThinkStrategy materially overstated the performance of their ThinkStrategy Capital Fund, giving investors the false impression that the fund’s returns were consistently positive and minimally volatile. The complaint also alleged that Kapur and ThinkStrategy repeatedly inflated the firm’s assets, exaggerated the firm’s longevity and performance history, and misrepresented the size and credentials of ThinkStrategy’s management team.
With respect to a second hedge fund they managed, the TS Multi-Strategy Fund, the complaint alleged that Kapur and ThinkStrategy misstated the scope and quality of due diligence checks on certain managers and funds selected for inclusion in the fund-of-funds’ portfolio. As a result, the TS Multi-Strategy Fund made investments in certain hedge funds that were later revealed to be Ponzi schemes or other serious frauds, including Bayou Superfund, Valhalla/Victory Funds, and Finvest Primer Fund.
The Commission charged Kapur and ThinkStrategy with 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 Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Without admitting or denying the allegations in the Commission’s complaint, Kapur and ThinkStrategy consented to the entry of November 18, 2011 judgments permanently enjoining them from violating the above provisions. Kapur also consented to a November 30, 2011 SEC order permanently barring him from association with any investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization.
[Securities and Exchange Commission v. Chetan Kapur; Lilaboc, LLC d/b/a ThinkStrategy Capital Management, LLC, Civil Action No. 11-CIV-8094 (S.D.N.Y.) (PAE)] (LR- 22588)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of HearMe, Heratsi Pharmaceuticals, Inc., Historic Housing for Seniors Limited Partnership, Historic Housing for Seniors II Limited Partnership, Historic Housing for Seniors III Limited Partnership, Homesmart.Com, Inc. (a/k/a Smart Truck Systems, Inc.), and House2Home, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68614; File No. 3-15138)
Exchange Traded Spreads Trust, et al.
A notice has been issued giving interested persons until February 4, 2013, to request a hearing on an application filed by Exchange Traded Spreads Trust, et al., for an order to permit: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30346 - January 9)
Approval of Proposed Rule Changes
The Commission has approved a proposed rule change (SR-OCC-2012-22) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to clarify the use of certain amounts credited to the liquidating settlement account to settle mark-to-market payments arising from stock loan and borrow positions carried in the customers’ account. Publication is expected in the Federal Register during the week of January 14th. (Rel. 34-68602)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend Interpretation and Policy .04 to CBOE Rule 5.5 to permit the Exchange to list additional strike prices until the close of trading on the second business day prior to the expiration of a monthly, or standard, option in the event of unusual market conditions (SR-CBOE-2012-131) 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 January 14th. (Rel. 34-68606)
A proposed rule change filed by New York Stock Exchange LLC increasing the fees paid by participants in the Exchange’s medallion signature program from $1,000 per year to $1,300 per year (SR-NYSE-2012-80) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of January 14th. (Rel. 34-68607)
A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees (SR-BX-2013-002) 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 January 14th. (Rel. 34-68608)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to routing fees (SR-NASDAQ-2013-001) 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 January 14th. (Rel. 34-68609)
A proposed rule change filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2012-27) 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 January 14th. (Rel. 34-68612)
A proposed rule change filed by The NASDAQ Stock Market LLC relating to Penny Pilot Options (SR-NASDAQ-2012-141) 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 January 14th. (Rel. 34-68613)
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-4 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 0 ($1,685,336,890.00) Equity, (File 333-185935 - Jan. 9) (BR. 08B) S-11 Trade Street Residential, Inc., 19950 W. COUNTRY CLUB DRIVE, SUITE 800, AVENTURA, FL, 33180, 786-248-5200 - 0 ($75,000,000.00) Equity, (File 333-185936 - Jan. 9) (BR. 08C) S-11 ZAIS Financial Corp., TWO BRIDGE AVENUE, SUITE 322, RED BANK, NJ, 07701, 732-530-3610 - 0 ($140,000,000.00) Equity, (File 333-185938 - Jan. 9) (BR. 08C) S-8 XENOPORT INC, 3410 CENTRAL EXPRESSWAY, SANTA CLARA, CA, 95051, 4086167200 - 0 ($16,900,721.28) Equity, (File 333-185940 - Jan. 9) (BR. 01B) S-8 Bridgepoint Education Inc, 13500 EVENING CREEK DR. #600, SAN DIEGO, CA, 92128, 858-668-2586 - 1,081,981 ($11,344,570.79) Equity, (File 333-185944 - Jan. 9) (BR. 11C) S-8 Altisource Residential Corp, 14A & 14C STRAND STREET, FREDERIKSTED, VI, 00840, 770-612-7007 - 0 ($12,358,937.36) Equity, (File 333-185945 - Jan. 9) (BR. 08) S-3 INERGY MIDSTREAM, L.P., TWO BRUSH CREEK BLVD, SUITE 200, KANSAS CITY, MO, 64112, 816-842-8181 - 0 ($1,572,457,355.60) Equity, 0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-185946 - Jan. 9) (BR. 02C) S-8 Altisource Asset Management Corp, 14A & 14C STRAND STREET, FREDERIKSTED, VI, 00840, (770) 612-7007 - 0 ($45,996,058.58) Equity, (File 333-185947 - Jan. 9) (BR. 08C)
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 A123 SYSTEMS, INC. DE 3.01 01/09/13 AEHR TEST SYSTEMS CA 2.02,9.01 11/30/12 AFFYMETRIX INC DE 2.02 01/08/13 ALBEMARLE CORP VA 5.02 01/03/13 ALCOA INC PA 5.02,9.01 01/04/13 ALCOA INC PA 2.02,9.01 01/08/13 ALICO INC FL 8.01,9.01 01/08/13 Alliqua, Inc. FL 8.01,9.01 01/07/13 ALTAIR NANOTECHNOLOGIES INC Z4 7.01,8.01,9.01 01/03/13 Amarantus BioSciences, Inc. DE 8.01,9.01 01/08/13 AMERICAN AIRLINES INC DE 8.01,9.01 01/09/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 01/09/13 American Natural Energy Corp OK 2.03,3.02,7.01,9.01 01/09/13 American Realty Capital Properties, I MD 8.01,9.01 01/08/13 American Realty Capital Trust, Inc. DE 8.01,9.01 01/09/13 AMR CORP DE 8.01,9.01 01/09/13 APOLLO GROUP INC AZ 5.07 01/08/13 APPLIED DNA SCIENCES INC DE 3.02 01/07/13 Artio Global Investors Inc. DE 5.02,9.01 01/08/13 ASHFORD HOSPITALITY TRUST INC MD 5.02,9.01 01/07/13 Atlas Resource Partners, L.P. DE 9.01 12/20/12 AMEND Augme Technologies, Inc. DE 2.02,9.01 01/09/12 AXION INTERNATIONAL HOLDINGS, INC. CO 2.03,3.02 01/04/13 BARCLAY ROAD, INC. WY 4.01,9.01 01/09/13 bebe stores, inc. CA 1.01,5.02,7.01,9.01 01/09/13 BILL BARRETT CORP DE 5.02,9.01 01/07/13 BIOTIME INC CA 7.01,9.01 01/09/13 BON TON STORES INC PA 1.01,9.01 01/09/13 Bonanza Creek Energy, Inc. DE 2.02,9.01 01/03/13 BROADWAY FINANCIAL CORP \DE\ DE 3.01,9.01 01/03/13 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 01/02/13 CANTERBURY PARK HOLDING CORP MN 5.02,9.01 01/04/13 Capital Group Holdings, Inc. MN 5.02 01/31/12 CARPENTER TECHNOLOGY CORP DE 5.02,8.01,9.01 01/09/13 Cereplast Inc NV 2.04 01/03/13 CHEESECAKE FACTORY INC DE 8.01,9.01 01/09/13 China Logistics Group Inc FL 7.01,9.01 01/08/13 Chrysler Group LLC DE 7.01,9.01 01/09/13 CITIZENS INC CO 8.01,9.01 01/09/13 Clearwire Corp /DE DE 8.01,9.01 01/02/13 Clovis Oncology, Inc. DE 2.02,9.01 01/07/13 CollabRx, Inc. DE 7.01,9.01 01/09/13 COMCAST CORP PA 8.01,9.01 01/08/13 CONCURRENT COMPUTER CORP/DE DE 5.02 01/04/13 CONSOLIDATED EDISON INC NY 8.01 01/09/13 CONSOLIDATED TOMOKA LAND CO FL 8.01,9.01 01/04/13 CONSTELLATION BRANDS, INC. DE 2.02,7.01,9.01 01/09/13 CORONADO BIOSCIENCES INC DE 5.02 01/07/13 CRA INTERNATIONAL, INC. MA 2.05 07/22/12 AMEND CROWN MEDIA HOLDINGS INC DE 5.02,9.01 01/08/13 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 01/08/13 DANAHER CORP /DE/ DE 2.02,9.01 01/08/13 DAYSTAR TECHNOLOGIES INC DE 3.01 01/09/13 DEAN FOODS CO DE 2.01,9.01 01/03/13 Delek US Holdings, Inc. 7.01,9.01 01/09/13 Digital Generation, Inc. DE 3.01,8.01,9.01 01/03/13 DOUGLAS DYNAMICS, INC DE 2.02,9.01 01/08/13 DUKE REALTY CORP IN 7.01,9.01 01/09/13 DUNE ENERGY INC DE 5.02,9.01 01/08/13 EASTERN AMERICAN NATURAL GAS TRUST DE 1.01,9.01 01/03/13 Emergency Medical Services CORP DE 5.02,9.01 01/09/13 ENDOLOGIX INC /DE/ DE 5.02 01/09/13 Energy Future Holdings Corp /TX/ TX 8.01,9.01 01/09/13 ENTERGY ARKANSAS INC AR 2.03,9.01 01/09/13 ESSENTIAL INNOVATIONS TECHNOLOGY CORP NV 4.01 01/04/13 EURONET WORLDWIDE INC DE 3.02 01/04/13 EURONET WORLDWIDE INC DE 7.01,9.01 01/08/13 Express Scripts Holding Co. DE 8.01,9.01 01/09/13 FelCor Lodging Trust Inc MD 1.01,9.01 01/07/13 Fibrocell Science, Inc. DE 7.01,9.01 01/09/13 FIRST M&F CORP/MS MS 8.01 01/07/13 Forex International Trading Corp. NV 1.01,2.03,9.01 01/07/13 GENCORP INC OH 8.01,9.01 01/08/13 GeoEye, Inc. DE 8.01,9.01 01/09/13 GigOptix, Inc. DE 2.02,5.02,9.01 01/07/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/04/13 Greektown Superholdings, Inc. DE 9.01 12/30/12 AMEND GREENBRIER COMPANIES INC OR 2.02,9.01 01/09/13 GreenHunter Energy, Inc. DE 5.02,9.01 01/08/13 GREENLITE VENTURES INC NV 7.01 01/09/13 GUIDED THERAPEUTICS INC DE 7.01,9.01 01/09/13 HARBINGER GROUP INC. DE 8.01 01/08/13 HD SUPPLY, INC. DE 2.02,7.01 01/09/13 HD SUPPLY, INC. DE 8.01,9.01 01/09/13 Heron Lake BioEnergy, LLC MN 1.01 01/03/13 Homeowners Choice, Inc. FL 8.01,9.01 01/09/13 IDENIX PHARMACEUTICALS INC DE 8.01 01/07/13 ILLUMINA INC DE 2.02 01/08/13 IMMERSION CORP DE 8.01 01/09/13 IMMUCOR INC GA 1.01,8.01,9.01 01/03/13 Inland Diversified Real Estate Trust, MD 1.01,2.03,9.01 12/27/12 AMEND INLAND REAL ESTATE CORP MD 8.01,9.01 01/03/13 InspireMD, Inc. DE 3.02,5.02,8.01,9.01 01/02/13 Interactive Intelligence Group, Inc. IN 2.02,9.01 01/09/13 INTERMOUNTAIN COMMUNITY BANCORP ID 8.01,9.01 01/09/13 INTEST CORP DE 5.02 01/08/13 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 01/09/13 ITRONICS INC TX 2.02,9.01 01/03/13 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 01/09/13 Jacksonville Bancorp, Inc. MD 2.02,9.01 01/09/13 Jasper Explorations Inc. NV 5.02,5.03,9.01 12/31/12 JEFFERIES GROUP INC /DE/ DE 7.01,9.01 01/08/13 JPMORGAN CHASE & CO DE 5.02,8.01 01/07/13 KBS Legacy Partners Apartment REIT, I MD 1.01 01/08/13 KCAP Financial, Inc. DE 8.01,9.01 01/09/13 Kraft Foods Group, Inc. 7.01,9.01 01/09/13 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 01/09/13 Liberty Global, Inc. DE 2.02,7.01 01/09/13 Liberty Media Corp DE 7.01,8.01,9.01 01/03/13 Liberty Spinco, Inc. DE 7.01,8.01,9.01 01/03/13 LIGHTCOLLAR, INC. 8.01 11/19/12 LINKEDIN CORP DE 7.01,9.01 01/09/13 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.02 01/09/13 Luxeyard, Inc. DE 1.03 12/27/12 MARINE PRODUCTS CORP DE 8.01,9.01 01/08/13 Maxwell Resources, Inc. NV 8.01,9.01 01/06/13 McEwen Mining Inc. CO 7.01,9.01 01/09/13 Momentive Performance Materials Inc. DE 8.01,9.01 01/09/13 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 7.01 01/09/13 Morningstar, Inc. IL 5.02,9.01 01/07/13 NBTY INC DE 5.02 01/09/13 Neuralstem, Inc. DE 7.01,9.01 01/08/13 NEW JERSEY RESOURCES CORP NJ 8.01 01/09/13 NEWS CORP 8.01,9.01 01/09/13 NRG ENERGY, INC. DE 1.01,9.01 01/03/13 NUVASIVE INC DE 2.02,9.01 01/09/13 OLD NATIONAL BANCORP /IN/ IN 1.01,7.01,9.01 01/08/13 OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 01/09/13 OLIE INC DE 8.01 01/08/13 Oncologix Tech Inc. NV 3.02 01/08/13 Opko Health, Inc. DE 1.01,3.02,7.01,9.01 01/08/13 PACIFIC PREMIER BANCORP INC DE 8.01,9.01 01/09/13 PARADISE INC FL 4.01,9.01 01/08/13 PARAMETRIC TECHNOLOGY CORP MA 2.05,7.01 01/08/13 PEER REVIEW MEDIATION & ARBITRATION I FL 4.01,9.01 01/09/13 PENFORD CORP WA 2.02,9.01 01/09/13 PetroLogistics LP DE 8.01,9.01 01/08/13 PIONEER ENERGY SERVICES CORP TX 7.01,9.01 01/09/13 PNC FINANCIAL SERVICES GROUP, INC. PA 7.01 01/09/13 POSITIVEID Corp DE 7.01,9.01 01/03/13 PREMIER EXHIBITIONS, INC. FL 2.02,9.01 01/09/13 PRICESMART INC DE 2.02,9.01 01/09/13 PRIME ESTATES & DEVELOPMENTS INC NV 5.02,9.01 01/05/13 PROCERA NETWORKS INC NV 2.01 01/09/13 Protea Biosciences Group, Inc. DE 1.01,2.03,3.02,9.01 01/03/13 QR Energy, LP DE 9.01 01/09/13 AMEND QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 01/09/13 QUICKLOGIC CORPORATION CA 2.02,9.01 01/09/13 RADIAN GROUP INC DE 2.02,9.01 01/09/13 RADIO ONE, INC. DE 3.01 01/08/13 Rangeford Resources, Inc. NV 4.01,9.01 01/04/13 Raptor Pharmaceutical Corp DE 2.02,9.01 01/09/13 RESOLUTE ONCOLOGY INC NV 5.03,7.01,9.01 01/09/13 ROCKFORD MINERALS INC /FI 5.02,9.01 05/04/12 Rovi Corp DE 2.02 01/09/13 RPC INC DE 8.01,9.01 01/08/13 RUBY TUESDAY INC GA 2.02,9.01 12/04/12 SCHMITT INDUSTRIES INC OR 2.02,9.01 01/09/13 SERVICESOURCE INTERNATIONAL, INC. DE 8.01 01/09/13 SEVERN BANCORP INC MD 5.02,9.01 01/09/13 Shire plc 8.01,9.01 01/09/13 Siga Resources Inc. 4.01,9.01 01/09/13 SOLERA HOLDINGS, INC DE 5.02 01/09/13 Source Gold Corp. NV 4.01,9.01 12/12/12 SOUTHERN USA RESOURCES INC. DE 1.01,2.03,3.02, 12/21/12 3.03,9.01 SPEEDWAY MOTORSPORTS INC DE 1.01,2.03,9.01 01/08/13 ST JUDE MEDICAL INC MN 2.02,9.01 01/09/13 STERIS CORP OH 8.01 12/27/12 STRYKER CORP MI 2.02,9.01 01/09/13 SUNRISE SENIOR LIVING INC DE 1.01,2.01,3.01,3.03, 01/09/13 5.01,5.02,5.03,8.01,9.01 SurePure, Inc. NV 5.02 01/06/13 TESORO CORP /NEW/ DE 8.01,9.01 01/08/13 THERAVANCE INC DE 8.01,9.01 01/09/13 THT Heat Transfer Technology, Inc. NV 4.01,9.01 01/07/13 TIDEWATER INC DE 8.01 01/09/13 TRAVELCENTERS OF AMERICA LLC 1.01,9.01 01/08/13 Tumi Holdings, Inc. DE 5.02,9.01 01/08/13 tw telecom inc. DE 1.01 01/09/13 UMB FINANCIAL CORP MO 7.01,9.01 01/09/13 United Continental Holdings, Inc. DE 8.01,9.01 01/08/13 US TUNGSTEN CORP. 5.02 01/08/13 USA TECHNOLOGIES INC PA 2.02,9.01 01/08/13 USA TECHNOLOGIES INC PA 1.01 01/03/13 VALERO ENERGY CORP/TX DE 7.01,9.01 01/09/13 VALOR GOLD CORP. DE 5.02 01/03/13 VERIZON COMMUNICATIONS INC DE 7.01 01/08/13 VIROPHARMA INC DE 7.01,9.01 01/08/13 VIRTUSA CORP 1.01,9.01 12/14/12 Wellness Center USA, Inc. NV 1.01,2.01,3.02, 08/24/12 AMEND 5.01,5.02,9.01 WELLS FARGO & COMPANY/MN DE 5.03,9.01 01/09/13 Western Refining, Inc. DE 7.01 01/08/13 WINLAND ELECTRONICS INC MN 8.01,9.01 01/04/13 World Moto, Inc. NV 2.01 11/14/12 AMEND WOUND MANAGEMENT TECHNOLOGIES, INC. TX 1.01,9.01 01/02/13 XcelMobility Inc. NV 4.01,9.01 01/03/13 Xtreme Oil & Gas, Inc. NV 7.01,8.01,9.01 01/07/13 Xumanii, Inc. NV 1.01,2.03,9.01 01/08/13 YTB International, Inc. DE 4.02,8.01 12/17/12 AMEND Zalicus Inc. DE 5.02,9.01 01/04/13