SEC Suspends Trading of Medex, Inc.
The Securities and Exchange Commission (“Commission”) ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of Medex, Inc. (“Medex”), quoted on OTC Link, operated by OTC Markets Group, Inc., because of questions regarding the accuracy of assertions by Medex, and by others, in press releases and other public statements to investors, and in promotional emails, concerning, among other things: (i) the company’s operations; and (ii) the company’s outstanding shares. Medex’s ticker symbol is MDXX.
The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EST on January 17, 2013, and terminates at 11:59 p.m. EST on January 31, 2013.
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 Medex.
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 the above-named 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 the following individuals: Sanjay Wadhwa, (212) 336-0181 or email@example.com, Associate Regional Director, New York Regional Office; Michael Paley, (212) 336-0145 or firstname.lastname@example.org, Assistant Regional Director, New York Regional Office. (Rel. 34-68682)
Closed Meeting on Thursday, January 24, 2013 at 1:45 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
Change in the Meeting: Deletion of Item
The following item will was not considered during the Closed Meeting on Thursday, January 17, 2013 at 2:00 p.m.: consideration of amicus participation.
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.
Delinquent Filer’s Stock Registration Revoked
The registration of the registered securities of Instachem Systems, Inc. (n/k/a CH Lighting International Corp.), has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68679; File No. 3-15143)
In the Matter of IAS Energy, Inc., et al.
An Administrative Law Judge issued an Order on Motion, Making Findings, and Revoking Registrations of Respondents by Default Except IAS Energy, Inc. (IAS Energy) and Indico Technologies, Inc. (n/k/a Indico Resources Ltd.) (Indico) (Default Order), in IAS Energy, Inc., Admin. Proc. 3-15145. The Default Order finds that the defaulted Respondents had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that Respondents, except IAS Energy and Indico, failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and/or 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of IB3 Networks, Inc., Immune Network Ltd., Innofone.com, Inc. (n/k/a Goldstar Global Minerals Corp.), and International Aerospace Enterprises, Inc.
The Default Order amended the OIP in Paragraph II.B.9 to state: “As a result of the foregoing, Respondents failed to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder.”
The Default Order sets a prehearing conference for February 14, 2013, unless IAS Energy and Indico resolve the allegations in the OIP as to them prior to that date. (Rel. 34-68680; File No. 3-15145)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Desert Mining, Inc., Eagle Broadband, Inc., Endovasc, Inc., Environmental Oil Processing Technology Corporation, Falcon Ridge Development, Inc., Fellows Energy Ltd., Forster Drilling Corp. (n/k/a Phoenix Drilling Corporation), and Golden Autumn Holdings, 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. 34-68681; File No. 3-15160)
SEC Files Settled Insider Trading Charges Against Former Trader Eric Rogers
The Securities and Exchange Commission filed a settled civil enforcement action on January 16, 2013, against Eric Rogers, a former proprietary trader at the now-defunct registered broker-dealer Spectrum Trading, LLC, charging Rogers with using inside information to trade ahead of the September 28, 2007 announced acquisition of 3Com Corp.
In its complaint, the SEC alleges that Arthur Cutillo and Brien Santarlas, two former attorneys at the law firm Ropes & Gray LLP, misappropriated from their law firm material, nonpublic information concerning upcoming corporate acquisitions or bids, including the 2007 announced acquisition of 3Com. As alleged in the complaint, Cutillo tipped the inside information, through another attorney, to Zvi Goffer, a proprietary trader at the broker-dealer Schottenfeld Group LLC, in exchange for kickbacks. The SEC alleges that Goffer tipped the inside information to, among others, his brother Emanuel, who worked with Rogers at Spectrum. The complaint alleges that Emanuel Goffer tipped the information to Rogers, who, based on that information, purchased 3Com securities in a proprietary account at Spectrum, resulting in total illicit profits of approximately $207,000. Rogers’ personal share in the trading profits was $103,500.
To settle the SEC’s charges, Rogers consented to the entry of a final judgment that: (i) permanently enjoins him from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; and (ii) orders disgorgement of $103,500, plus prejudgment interest of $24,872. Those payments obligations will be waived, and no civil penalty will be imposed, in light of Rogers’ financial condition. In addition, Rogers consented to the entry of an SEC Order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and barring him from participating in any offering of a penny stock. [SEC v. Eric D. Rogers, Civil Action No. 13-CV-0374 (S.D.N.Y.)] (LR-22595)
SEC Charges Georgia Resident with Insider Trading
On January 15, 2013, the Securities and Exchange Commission filed a civil injunctive action in the Northern District of Georgia against John M. Darden III. The Commission alleges that Darden learned material non-public information about a pending merger from a long-time board member of AirTran Holdings, Inc. (AirTran). The Commission further alleges that, based upon the inside information obtained from the board member, Darden purchased 40,000 common shares and 200 out-of-the-money call options in the days before the September 27, 2010 public announcement that Southwest Airlines Company and AirTran had entered into a definitive merger agreement.
According to the Commission’s complaint, as a result of his improper use of the inside information concerning the merger, Darden generated trading profits of $159,160.
Darden has agreed to settle the Commission’s claims against him by consenting to the entry of a final judgment providing permanent injunctive relief under Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder, and by paying disgorgement of $159,160, prejudgment interest of $9,387, and a penalty of $159,160. Darden neither admits nor denies the Commission’s allegations, and his settlement is subject to court approval. [SEC v. John M. Darden III, Civil Action No. 1:13-cv-00138-ODE, United States District Court, Northern District of Georgia] (LR-22596)
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified By Amendment Nos. 1, 2 and 3
The Commission issued notice of filing of Amendment No. 3 and granted accelerated approval of a proposed rule change, as modified by Amendment Nos. 1, 2 and 3 thereto (SR-CHX-2012-13), submitted by Chicago Stock Exchange, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the listing rules for compensation committees to comply with Securities Exchange Act Rule 10C-1 and make other related changes. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68653)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the New York Stock Exchange LLC to extend the pilot program that provides an exception to NYSE Rule 2B by permitting the Exchange’s equity ownership interest in BIDS Holdings L.P. (SR-NYSE-2013-01) 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 21. (Rel. 34-68658)
A proposed rule change filed by BATS Y-Exchange, Inc. related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-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 21. (Rel. 34-68665)
A proposed rule change filed by NASDAQ OMX PHLX relating to its pricing schedule (SR-Phlx-2013-01) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68674)
A proposed rule change filed by The Nasdaq Stock Market LLC to modify fees for review of delisting determinations and appeal of panel decisions (SR-NASDAQ-2013-004) 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 21. (Rel. 34-68676)
A proposed rule change filed by The Nasdaq Stock Market LLC to increase the record-keeping and substitution listing fees payable by companies listed on Nasdaq (SR-NASDAQ-2013-003) 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 21. (Rel. 34-68677)
Proposed Rule Change
The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2013-01) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of the Newfleet Multi-Sector Income ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68666)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-NYSEArca-2012-109) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the U.S. Equity High Volatility Put Write Index Fund under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68667)
The Commission approved a proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-053), under Section 19(b)(2) of the Securities Exchange Act of 1934, to establish optional TRACE data delivery services and related fees. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68675)
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes
The Commission has issued an order instituting proceedings under Section 19(b)(2) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change (SR- NYSEArca-2012-108), as modified by Amendment No. 1 thereto, filed by NYSE Arca, Inc. relating to the listing and trading of Shares of the NYSE Arca U.S. Equity Synthetic Reverse Convertible Index Fund under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68671)
The Commission has issued an order instituting proceedings under Section 19(b)(2) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2012-117) filed by The NASDAQ Stock Market LLC with respect to INAV Pegged Orders for ETFs. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68672)
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 Unilife Corp, 250 CROSS FARM LANE, YORK, PA, 17406, (717) 384-3400 - 0 ($4,652,400.00) Equity, (File 333-186049 - Jan. 16) (BR. 10B) S-1 LabStyle Innovations Corp., 40 EAST MAIN STREET, NEWARK, DE, 19711, 646-259-3321 - 10,596,855 ($15,895,282.00) Equity, (File 333-186054 - Jan. 16) (BR. 10B) S-8 MFRI INC, 7720 LEHIGH AVE, NILES, IL, 60714, 8479661000 - 200,000 ($1,162,300.00) Equity, (File 333-186055 - Jan. 16) (BR. 06B) S-3ASR THERAVANCE INC, 901 GATEWAY BLVD, SOUTH SAN FRANCISCO, CA, 94080, 6508086000 - 0 ($0.00) Debt Convertible into Equity, (File 333-186058 - Jan. 16) (BR. 01A) S-4 RADIAN GROUP INC, 1601 MARKET STREET, 12TH FLOOR, PHILADELPHIA, PA, 19103, 2155646600 - 0 ($195,176,000.00) Non-Convertible Debt, (File 333-186060 - Jan. 16) (BR. 01B) S-3 IMATION CORP, 1 IMATION PL, OAKDALE, MN, 55128, 6517044000 - 3,319,324 ($12,779,397.40) Equity, (File 333-186061 - Jan. 16) (BR. 11C) S-8 RED MOUNTAIN RESOURCES, INC., 2515 MCKINNEY AVENUE, SUITE 900, DALLAS, TX, 75201, 214-871-0400 - 8,200,000 ($6,478,000.00) Equity, (File 333-186064 - Jan. 16) (BR. 04B)
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 ----------------------------------------------------------------------------------------- ABRAXAS PETROLEUM CORP NV 7.01,9.01 01/16/13 AMEND Accelerated Building Concepts CORP DE 2.02,8.01 01/16/13 ACCELRYS, INC. DE 2.01,8.01,9.01 01/11/13 ACQUIRED SALES CORP NV 1.01,2.01,9.01 01/16/13 ADTRAN INC DE 2.02,9.01 01/15/13 Aegion Corp DE 7.01,9.01 01/15/13 ALLSTATE CORP DE 8.01,9.01 01/14/13 ALNYLAM PHARMACEUTICALS, INC. 1.01,8.01,9.01 01/15/13 ALNYLAM PHARMACEUTICALS, INC. 8.01,9.01 01/16/13 ALTERRA CAPITAL HOLDINGS Ltd 5.02,8.01 01/14/13 Altisource Asset Management Corp VI 7.01,9.01 01/16/13 Altisource Residential Corp 7.01,9.01 01/16/13 AMERICAN AIRLINES INC DE 2.02,9.01 01/16/13 AMERICAN AXLE & MANUFACTURING HOLDING DE 7.01 01/15/13 AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,9.01 01/10/13 American Realty Capital Trust, Inc. DE 8.01,9.01 01/16/13 American Realty Capital Trust, Inc. DE 8.01,9.01 01/16/13 AMERICAN SHARED HOSPITAL SERVICES CA 8.01 01/16/13 AMKOR TECHNOLOGY INC DE 8.01 01/11/13 AMR CORP DE 2.02,9.01 01/16/13 ANN INC. DE 8.01 01/14/13 ARCTIC CAT INC MN 5.03,9.01 01/15/13 Armada Oil, Inc. NV 1.01,9.01 01/10/13 AtriCure, Inc. DE 1.01,9.01 01/16/13 AVEO PHARMACEUTICALS INC DE 8.01,9.01 01/16/13 Bank of Commerce Holdings CA 8.01,9.01 01/16/13 Bank of New York Mellon CORP DE 2.02,9.01 01/16/13 BEL FUSE INC /NJ NJ 2.02,9.01 01/16/13 Black Elk Energy Offshore Operations, TX 2.02,9.01 01/16/13 BLUEFLY INC DE 7.01,9.01 01/16/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 2.02,8.01,9.01 01/16/13 BROWN FORMAN CORP DE 8.01,9.01 01/16/13 CANTEL MEDICAL CORP DE 5.07 01/11/13 CapLease, Inc. 8.01 01/16/13 CARDICA INC DE 8.01 01/16/13 Carlyle Group L.P. DE 8.01 01/15/13 CARPENTER TECHNOLOGY CORP DE 2.02,9.01 01/16/13 CENTRAL GARDEN & PET CO DE 5.02 01/15/13 CENTURY BANCORP INC MA 2.02,9.01 01/15/13 CEPHEID CA 5.02,8.01 01/16/12 Chanticleer Holdings, Inc. DE 3.01,5.02,9.01 01/16/13 CHESAPEAKE ENERGY CORP OK 7.01,9.01 01/15/13 Cheviot Financial Corp. MD 8.01,9.01 01/16/13 China YCT International Group, Inc. FL 1.01,9.01 10/29/12 CITY HOLDING CO WV 5.02 01/10/13 CLEARONE COMMUNICATIONS INC UT 1.01,8.01 01/15/13 COLE CORPORATE INCOME TRUST, INC. MD 7.01,9.01 01/16/13 Colfax CORP DE 2.01,9.01 10/31/12 AMEND Colt Defense LLC DE 5.02 01/16/13 COLUMBIA LABORATORIES INC DE 1.01,1.02,5.02,8.01, 01/15/13 9.01 Columbia Seligman Premium Technology MD 7.01 01/16/13 COLUMBIA SPORTSWEAR CO OR 2.02,9.01 01/16/13 COMERICA INC /NEW/ DE 2.02,7.01,9.01 01/16/13 COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 12/31/12 CorMedix Inc. DE 1.01,9.01 01/10/13 Corporate Resource Services, Inc. DE 8.01,9.01 01/16/13 COTTON BAY HOLDINGS, INC. 9.01 01/15/13 AMEND CRAILAR TECHNOLOGIES INC A1 1.01,8.01,9.01 01/10/13 CRAILAR TECHNOLOGIES INC A1 7.01,9.01 01/16/13 Data Call Technologies 5.02,9.01 01/14/13 DCP Holding CO OH 1.01,3.02,5.03,9.01 01/11/13 DEL TORO SILVER CORP. NV 1.01,9.01 01/15/13 dELiAs, Inc. DE 7.01,9.01 01/16/13 DIAL GLOBAL, INC. /DE/ DE 1.01,9.01 01/15/13 DOVER MOTORSPORTS INC DE 1.01,9.01 01/14/13 DRINKS AMERICAS HOLDINGS, LTD DE 5.02,5.07 01/14/13 DUNE ENERGY INC DE 1.01,5.02,9.01 01/14/13 DUNKIN' BRANDS GROUP, INC. DE 2.02,7.01,9.01 01/16/13 DYNEGY INC. DE 1.01,2.03,9.01 01/16/13 EAGLE FINANCIAL SERVICES INC VA 8.01,9.01 01/16/13 EASTERN AMERICAN NATURAL GAS TRUST DE 8.01 01/10/13 EBAY INC DE 2.02,9.01 01/16/13 EINSTEIN NOAH RESTAURANT GROUP INC DE 7.01 01/16/13 El Paso Pipeline Partners, L.P. DE 2.02,5.02,9.01 01/16/13 Emerald Oil, Inc. MT 7.01,9.01 01/16/13 EMPIRE RESORTS INC DE 8.01,9.01 01/16/13 Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 01/14/13 Ensco plc 7.01,9.01 01/16/13 Envision Solar International, Inc. NV 1.01,9.01 01/16/13 EPOCRATES INC DE 8.01 01/11/13 EXELIXIS, INC. DE 8.01 01/14/13 FASTENAL CO MN 7.01,9.01 01/16/13 Fiesta Restaurant Group, Inc. DE 7.01,9.01 01/16/13 First Advantage Bancorp 8.01,9.01 01/16/13 First Bancorp, Inc /ME/ ME 2.02 01/16/13 FIRST FEDERAL BANCSHARES OF ARKANSAS AR 1.02 01/15/13 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 01/16/13 FRISCHS RESTAURANTS INC OH 2.02,9.01 01/16/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 01/16/13 FS Energy & Power Fund DE 2.02 01/14/13 FS Investment Corp II MD 2.02 01/14/13 FutureFuel Corp. DE 7.01,9.01 01/16/13 GIBRALTAR INDUSTRIES, INC. DE 7.01,8.01,9.01 01/15/13 GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 01/16/13 GRANDPARENTS.COM, INC. DE 7.01,9.01 01/16/13 Graystone Co DE 3.02,8.01 01/15/13 GRYPHON GOLD CORP NV 7.01,9.01 01/15/13 Hangover Joe's Holding Corp CO 1.01,3.02,5.02,5.03 01/10/13 HARBINGER GROUP INC. DE 8.01 01/16/13 HD SUPPLY, INC. DE 1.01,2.03 01/16/13 HEINZ H J CO PA 5.02 01/16/13 AMEND HOLLY ENERGY PARTNERS LP 5.03,7.01,9.01 01/16/13 HUMAN PHEROMONE SCIENCES INC CA 5.02 01/15/13 HYPERION THERAPEUTICS INC DE 8.01,9.01 01/15/13 IDENTIVE GROUP, INC. DE 5.02 01/14/13 IDEXX LABORATORIES INC /DE DE 5.02 01/10/13 iGo, Inc. DE 5.02,9.01 01/10/13 IMMUCOR INC GA 8.01 01/16/13 IMPERVA INC DE 5.02 01/12/13 IMPLANT SCIENCES CORP MA 7.01,8.01,9.01 01/16/13 India Globalization Capital, Inc. MD 3.01,7.01,9.01 01/11/13 INLAND REAL ESTATE CORP MD 8.01,9.01 01/15/13 INSIGNIA SYSTEMS INC/MN MN 5.02,9.01 01/10/13 INTERCLOUD SYSTEMS, INC. 5.02,5.03,9.01 01/10/13 INTERVEST BANCSHARES CORP DE 2.02,9.01 01/16/13 JARDEN CORP DE 7.01 01/16/13 JPMORGAN CHASE & CO DE 2.02,9.01 01/16/13 JPMORGAN CHASE & CO DE 8.01 01/16/13 JPMORGAN CHASE & CO DE 7.01,9.01 01/16/13 KANSAS CITY SOUTHERN DE 1.01,9.01 01/10/13 Kansas City Southern de Mexico, S.A. 1.01,9.01 01/10/13 KBS Legacy Partners Apartment REIT, I MD 2.01,2.03,9.01 01/15/13 KBS Strategic Opportunity REIT, Inc. MD 8.01 01/11/13 KINDER MORGAN ENERGY PARTNERS L P DE 2.02,5.02,9.01 01/16/13 KINDER MORGAN MANAGEMENT LLC DE 5.02 01/16/13 KINDER MORGAN, INC. DE 2.02,5.02,9.01 01/16/13 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 01/15/13 LIGHTPATH TECHNOLOGIES INC DE 5.02 01/11/13 Lightstone Value Plus Real Estate Inv MD 8.01 12/21/12 LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 01/15/13 LMI AEROSPACE INC MO 7.01,9.01 01/16/13 LMI AEROSPACE INC MO 9.01 12/28/12 AMEND LORILLARD, INC. DE 7.01,9.01 01/16/13 M&T BANK CORP NY 2.02,9.01 01/16/13 MANAGEMENT NETWORK GROUP INC 7.01 01/16/13 MATTSON TECHNOLOGY INC DE 8.01,9.01 01/15/13 MEDICAL ACTION INDUSTRIES INC DE 3.01,5.02,8.01,9.01 01/11/13 MESABI TRUST NY 2.02,9.01 01/15/13 MICHAEL BAKER CORP PA 5.02,9.01 01/10/13 Mid-Con Energy Partners, LP DE 5.02,9.01 11/02/12 AMEND MIDAMERICAN ENERGY CO IA 8.01 01/16/13 MIDDLEFIELD BANC CORP OH 5.02 01/14/13 MIDWEST HOLDING INC. NE 5.02,9.01 01/16/13 MidWestOne Financial Group, Inc. IA 8.01,9.01 01/15/13 MidWestOne Financial Group, Inc. IA 8.01,9.01 01/16/13 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 7.01,9.01 01/16/13 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 7.01 01/16/13 MOOG INC NY 2.03,8.01 01/15/13 NAUTILUS, INC. WA 2.02,9.01 01/16/13 Neuralstem, Inc. DE 8.01,9.01 01/14/13 NEWS CORP 8.01,9.01 01/16/13 NORTHERN TRUST CORP DE 2.02,9.01 01/16/13 Onstream Media CORP FL 2.02,9.01 01/16/13 OPENTABLE INC DE 1.01,2.03,9.01 01/10/13 Optionable Inc 4.01,9.01 01/15/13 OXIGENE INC DE 8.01,9.01 01/14/13 P&F INDUSTRIES INC DE 5.03,8.01,9.01 01/14/13 PACIFIC CONTINENTAL CORP OR 2.02,9.01 01/16/13 PACWEST BANCORP DE 2.02,9.01 01/16/13 PARK CITY GROUP INC 7.01,8.01 01/16/13 PBF Energy Inc. DE 7.01,9.01 01/16/13 Peoples Federal Bancshares, Inc. 8.01,9.01 01/16/13 Perfumania Holdings, Inc. FL 5.07 01/10/13 PHOENIX COMPANIES INC/DE DE 8.01,9.01 01/16/13 PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 01/15/13 PLEXUS CORP WI 2.02 01/16/13 Polar Petroleum Corp. 1.01,2.01,2.03,3.02, 01/15/13 AMEND 5.06,8.01,9.01 PREFERRED VOICE INC DE 5.03 01/16/13 PRGX GLOBAL, INC. GA 5.02 01/14/13 PRINCIPAL FINANCIAL GROUP INC DE 7.01 01/16/13 PROSPECT GLOBAL RESOURCES INC. NV 8.01 01/15/13 PVH CORP. /DE/ DE 7.01,9.01 01/16/13 Q LOTUS HOLDINGS INC NV 1.01 01/14/13 QR Energy, LP DE 1.01,9.01 12/20/12 QUALITY SYSTEMS, INC CA 5.02 01/14/13 QUEST DIAGNOSTICS INC DE 2.02,9.01 01/16/13 RANGE RESOURCES CORP DE 2.02,9.01 01/16/13 Rockville Financial, Inc. /CT/ CT 8.01 01/16/13 ROTECH HEALTHCARE INC DE 1.01,1.02,9.01 12/21/12 AMEND rue21, inc. DE 7.01,9.01 01/16/13 Ruths Hospitality Group, Inc. DE 2.02,9.01 01/14/13 S&W Seed Co NV 7.01,9.01 01/16/13 SANTANDER DRIVE AUTO RECEIVABLES LLC DE 1.01,9.01 01/16/13 SCHWAB CHARLES CORP DE 2.02,9.01 01/16/13 Sears Oil & Gas NV 4.01,9.01 08/11/09 AMEND SEQUENTIAL BRANDS GROUP, INC. DE 7.01,9.01 01/16/13 Sequoia Mortgage Trust 2013-1 8.01,9.01 01/01/13 SERENA SOFTWARE INC DE 5.02,9.01 01/10/13 Shire plc 8.01,9.01 01/16/13 SIERRA RESOURCE GROUP INC NV 1.01,9.01 01/10/13 SIMULATIONS PLUS INC 8.01,9.01 01/15/13 Sino-Bon Entertainment, Inc. NV 5.01 01/14/13 SLM CORP DE 2.02,9.01 01/16/13 Solera National Bancorp, Inc. DE 7.01,9.01 01/14/13 Southcross Energy Partners, L.P. DE 5.02,9.01 01/16/13 SOUTHERN CONNECTICUT BANCORP INC CT 1.01,9.01 01/16/13 Spectra Energy Corp. DE 2.02,7.01 01/16/13 STONE ENERGY CORP DE 2.02,7.01,9.01 01/15/13 Sunshine Heart, Inc. DE 1.01,3.02,8.01,9.01 01/15/13 Swisher Hygiene Inc. DE 7.01,9.01 01/16/13 SYNERGY PHARMACEUTICALS, INC. DE 5.07,9.01 01/14/13 SYSCO CORP DE 2.02 01/12/13 TEAM HEALTH HOLDINGS INC. DE 5.02,9.01 01/16/13 TESSERA TECHNOLOGIES INC DE 5.02,7.01,9.01 01/14/13 THERAVANCE INC DE 8.01,9.01 01/16/13 THOR INDUSTRIES INC DE 1.01 01/15/13 THOR INDUSTRIES INC DE 5.02,9.01 01/14/13 Todays Alternative Energy Corp NY 4.01,9.01 09/11/12 AMEND Tower Group, Inc. DE 2.02,4.02,9.01 01/10/13 TRI-CONTINENTAL CORP MD 7.01 01/16/13 TrovaGene Inc. DE 5.02 01/14/13 TTM TECHNOLOGIES INC WA 2.02,9.01 01/15/13 U. S. Premium Beef, LLC 7.01,9.01 01/16/13 UMH PROPERTIES, INC. MD 7.01,9.01 01/16/13 UNION BANKSHARES INC VT 2.02,8.01,9.01 01/16/13 UNWIRED PLANET, INC. DE 5.02,9.01 01/14/13 URANIUM RESOURCES INC /DE/ DE 5.07,8.01,9.01 01/14/13 US BANCORP \DE\ DE 2.02,9.01 01/16/13 USEC INC DE 5.02,9.01 01/16/13 Vystar Corp GA 3.02,8.01 01/10/13 Walker & Dunlop, Inc. MD 5.02,9.01 01/10/13 WALTER INVESTMENT MANAGEMENT CORP MD 7.01,9.01 01/16/13 WAUSAU PAPER CORP. WI 8.01,9.01 01/11/13 Wendy's Co DE 2.02,9.01 01/16/13 Wendy's Co DE 7.01,9.01 01/16/13 Westway Group, Inc. DE 8.01,9.01 01/14/13 WILLIAMS SONOMA INC CA 7.01,9.01 01/16/13 Yankee Holding Corp. DE 7.01,9.01 01/16/13 YCC Holdings LLC DE 7.01,9.01 01/16/13 Your Event, Inc. NV 4.01,9.01 12/12/12