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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2013-13
January 18, 2013

Commission Announcements

Temporary Suspension of Trading in the Securities of AlphaTrade.com

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 AlphaTrade.com of Las Vegas, Nevada at 9:30 a.m. EST on January 18, 2013, and terminating at 11:59 p.m. EST on February 1, 2013.

The Commission temporarily suspended trading in the securities of AlphaTrade.com due to a lack of current and accurate information about the company because it has not filed any periodic reports since the period ended September 30, 2010.

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 AlphaTrade.com’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 communicate it to Scott W. Friestad, Associate Director of the Division of Enforcement, at (202) 551-4962. (Rel. 34-68687)

Enforcement proceedings

In the Matter of Linda Dianne Alexander

On January 17, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) And Notice of Hearing (Order) against Linda Dianne Alexander (Alexander). In the Order the Division of Enforcement alleges that the Commission’s complaint, filed in the United States District Court for the Northern District of Georgia, alleges that, since at least 2004 Alexander had been conducting a Prime Bank-type investment fraud involving the offer and sale of over $15 million of securities in an unregistered offering to more than 220 investors and prospective investors in Georgia and at least 20 other states. Securities and Exchange Commission v. McClintock, et al., Civil Action Number 1:12-CV-4028-SCJ (N.D. Ga. Nov. 19, 2012). The securities were in the form of investments in a purportedly highly clandestine Trust based in Europe that purportedly had the power to create money through fractional banking and bank debentures. Investors allegedly loaned money to the Trust in exchange for 38% annual interest and were told they must follow the Trust’s strict rules of secrecy to participate in the investment. The complaint also alleges that Alexander knowingly or recklessly made material misrepresentations and omissions of fact to investors and prospective investors concerning, among other things, the expected returns, the use of investor funds, and investment risks, and engaged in conduct which operated as a fraud and deceit on investors. The Commission filed a civil injunctive action based on violations of the registration and anti-fraud provisions and, on December 6, 2012, an Order of Permanent Injunction was entered by consent against Alexander, permanently enjoining her from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act and Rule 10b-5 thereunder and Section 15(a) of the Exchange Act. Based on the above, the Order states that a public hearing shall be convened to determine whether the Commission’s allegations are true and, if so, what, if any, remedial action is appropriate. (Rel. 34-68685; File No. 3-15179)

In the Matter of The Hartcourt Companies, Inc.

An Administrative Law Judge issued an Order Making Findings and Revoking Registrations of Respondents Except for Hellenic Solutions Corp. (Hellenic Solutions) and HIV-VAC, Inc. (n/k/a Grupo International, Inc.) (HIV-VAC), by Default (Default Order) in The Hartcourt Companies, Inc., Admin. Proc. File No. 3-15128. The Default Order found that defaulted Respondents - The Hartcourt Companies, Inc., Hawksdale Financial Visions, Inc. (n/k/a Advanced Medical Institute, Inc.), Healthcare Providers Direct, Inc., and Heartland Oil and Gas Corp., - were issuers of securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), that failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. Based on these factual findings, the Default Order found that revocation of the registration of each class of each defaulted Respondent’s registered securities was both necessary and appropriate for the protection of investors.

The Default Order requires the Division of Enforcement (Division) to inform the Administrative Law Judge if it is able to show that Hellenic Solutions has been served with the OIP or, alternatively, how it intends to proceed; and that HIV-VAC and the Division inform the Administrative Law Judge whether or not they agree that HIV-VAC’s Form 15 should be allowed to take effect. (Rel. 34-68686; File No. 3-15128) Default Order

In the Matter of AlphaTrade.com

On January 18, 2013, the Commission issued an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of AlphaTrade.com for failure to make required periodic filings with the Commission. In this Order, the Division of Enforcement (Division) alleges that AlphaTrade.com is delinquent in its required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and AlphaTrade.com to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of AlphaTrade.com should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68688; File No. 3-15180)


Nexbank Securities, Inc., Pyxis Capital, L.P. and Pyxis Funds II

An order has been issued on an application filed by Nexbank Securities, Inc., Pyxis Capital, L.P. and Pyxis Funds II. The order permits: (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-30352 - January 16)


Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by National Stock Exchange, Inc. to provide for the payment of exchange fees through an integrated billing process (SR-NSX-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. 34-68684)

Proposed Rule Change

New York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2013-02) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to adopting investigation, disciplinary, sanction, and other procedural rules that are modeled on the rules of the Financial Industry Regulatory Authority and to make certain conforming and technical changes. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68678)

Approval of Proposed Rule Change

The Commission granted approval of a proposed rule change, as modified by Amendment No. 1, (SR-NSX-2012-15), submitted by National 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. Publication is expected in the Federal Register during the week of January 21. (Rel. 34-68662)


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.

        CA, 94025, 650-521-8000 - 4,493,571 ($11,076,652.42) Equity, 
        (File 333-186065 - Jan. 17) (BR. 10B)

        FL, 34108, 9419231949 - 
        300,000 ($25,804,000.00) Unallocated (Universal) Shelf, 
        (File 333-186067 - Jan. 17) (BR. 09A)

S-1     Twentyfour/seven Ventures, Inc., 132 W. 11TH AVENUE, DENVER, CO, 80204, 
        720-266-6996 - 1,900,000 ($28,500.00) Equity, (File 333-186068 - 
        Jan. 17) (BR. 03)

S-1     Lollipop Corp, 15500 SW JAY STREET, #81704, BEAVERTON, OR, 97006-6018, 
        855-222-1114 - 400,000 ($100,000.00) Equity, (File 333-186069 - 
        Jan. 17) (BR. 02)

S-3     MEI Pharma, Inc., 11975 EL CAMINO REAL, SUITE 101, SAN DIEGO, CA, 
        92130, 858-792-6300 - 0 ($108,098,055.00) Equity, (File 333-186070 - 
        Jan. 17) (BR. 01B)

        7814611000 - 0 ($5,072,000.00) Equity, (File 333-186072 - Jan. 17) 
        (BR. 10B)

S-11    Griffin-American Healthcare REIT III, Inc., 4000 MACARTHUR BOULEVARD, 
        WEST TOWER, SUITE 200, NEWPORT BEACH, CA, 92660, 949-270-9200 - 
        120,000,000 ($1,300,000,000.00) Equity, (File 333-186073 - Jan. 17) 
        (BR. )

S-8     United Community Bancorp, 92 WALNUT STREET, LAWRENCEBURG, IN, 47025, 
        812-537-4822 - 0 ($4,941,489.00) Equity, (File 333-186074 - Jan. 17) 
        (BR. 07)

S-8     United Community Bancorp, 92 WALNUT STREET, LAWRENCEBURG, IN, 47025, 
        812-537-4822 - 0 ($3,586,790.00) Equity, (File 333-186075 - Jan. 17) 
        (BR. 07)

        TX, 75201, 214-871-0400 - 0 ($150,000,000.00) Equity, 
        (File 333-186076 - Jan. 17) (BR. 04B)

S-8     Ampio Pharmaceuticals, Inc., 5445 DTC PARKWAY, SUITE 925, 
        GREENWOOD VILLAGE, CO, 80111, 720-437-6500 - 0 ($10,800,000.00) Equity, 
        (File 333-186077 - Jan. 17) (BR. 01B)

S-1     AXIOM CORP., PO BOX 49000-00100, NAIROBI, M3, 0000000000, 
        254-736-521-567 - 26,433,333 ($39,650.00) Equity, (File 333-186078 - 
        Jan. 17) (BR. )

        89074-7722, 7026054165 - 4,000,000 ($80,000.00) Equity, 
        (File 333-186079 - Jan. 17) (BR. )


Form 8-K is used by companies to file current reports on the following events:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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.


NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT


22nd Century Group, Inc.                NV       1.01,3.02,3.03,5.03, 01/11/13
3D SYSTEMS CORP                         DE       7.01,9.01            01/17/13

ACTUANT CORP                            WI       5.02,5.07,9.01       01/15/13

ADVANCED CELL TECHNOLOGY, INC.          DE       1.01,2.03,3.02,8.01, 01/11/13
AEMETIS, INC                            NV       8.01                 01/17/13

AFS SenSub Corp.                                 1.01,8.01,9.01       01/15/13

AGILYSYS INC                            OH       2.02,7.01,8.01,9.01  01/17/13

AGL RESOURCES INC                       GA       2.02,9.01            01/17/13    AMEND

Aircastle LTD                           D0       8.01                 01/17/13

AIRWARE LABS CORP.                      DE       5.02                 01/17/13

AKORN INC                               LA       2.02,7.01,9.01       01/17/13

ALL AMERICAN PET COMPANY, INC.          NV       8.01,9.01            01/11/13

ALLERGAN INC                            DE       5.02                 01/16/13

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            01/17/13

Allied Nevada Gold Corp.                DE       7.01,9.01            01/16/13

ALTERNET SYSTEMS INC                    NV       1.01                 01/17/13

ALTERNET SYSTEMS INC                    NV       1.01                 01/17/13

AMERICAN EXPRESS CO                     NY       2.02,7.01            01/17/13

American Railcar Industries, Inc.       ND       1.01                 01/11/13

AMERICANWEST BANCORPORATION             WA       7.01,9.01            01/15/13

Amerilithium Corp.                               4.01,9.01            01/07/13

AMERISOURCEBERGEN CORP                  DE       1.01,9.01            01/16/13

Amincor, Inc.                           NV       8.01,9.01            01/17/13

AMPHENOL CORP /DE/                      DE       2.02,8.01,9.01       01/17/13

AmpliTech Group, Inc.                   NV       1.01,2.01,3.02,5.01, 08/13/12

Angie's List, Inc.                      DE       5.02,9.01            01/17/13

APOLLO GROUP INC                        AZ       5.02                 01/17/13

AQUALIV TECHNOLOGIES, INC.              NV       1.02,9.01            01/11/13

ARBOR REALTY TRUST INC                  MD       8.01                 01/16/13

ARRIS GROUP INC                         DE       3.02,9.01            01/11/13

ASSOCIATED BANC-CORP                    WI       2.02,9.01            01/17/13

AT&T INC.                               DE       8.01                 01/17/13

Atlas Resource Partners, L.P.           DE       1.01,9.01            01/16/13

AUTHENTIDATE HOLDING CORP               DE       1.01,5.02,9.01       01/15/13

Auto Home Lock, Inc.                    NV       8.01                 01/17/13

AVEO PHARMACEUTICALS INC                DE       1.01,8.01,9.01       01/17/13

BANK OF AMERICA CORP /DE/               DE       2.02,7.01,9.01       01/17/13

BANK OF KENTUCKY FINANCIAL CORP         KY       2.02,9.01            01/17/13

BANK OF THE OZARKS INC                  AR       2.02,7.01,9.01       01/16/13

BB&T CORP                               NC       2.02,9.01            01/17/13

BBCN BANCORP INC                        DE       1.01,5.02,9.01       01/14/13

Berkshire Homes, Inc.                   NV       5.03,5.07,9.01       01/11/13

BION ENVIRONMENTAL TECHNOLOGIES INC     CO       7.01,9.01            01/16/13

BlackRock Inc.                          DE       2.02,9.01            01/17/13

BODY CENTRAL CORP                                2.02,9.01            01/15/13

BOEING CO                               DE       8.01,9.01            01/16/13

BPZ RESOURCES, INC.                     TX       1.01,2.03,7.01       01/14/13

BRUNSWICK CORP                          DE       7.01                 01/17/13

Calpian, Inc.                           TX       7.01,9.01            01/17/13

Capital Auto Receivables Asset Trust             1.01,8.01,9.01       01/15/13

CAPITAL ONE FINANCIAL CORP              DE       2.02,7.01,8.01,9.01  01/17/13

CARDINAL FINANCIAL CORP                 VA       2.02,8.01,9.01       01/16/13

Cardium Therapeutics, Inc.              DE       8.01,9.01            01/16/13

Care Investment Trust Inc.              MD       5.02,9.01            01/16/13

CASTLE A M & CO                         MD       7.01,9.01            01/16/13

Cellteck Inc.                           NV       1.01,2.03,3.02,5.03, 11/21/12
Cellteck Inc.                           NV       1.01,9.01            10/12/12    AMEND

CENTERLINE HOLDING CO                   DE       1.01,9.01            01/11/13

CENTRAL FEDERAL CORP                    DE       8.01,9.01            01/17/13

CERUS CORP                              DE       5.02,9.01            01/15/13

China Armco Metals, Inc.                NV       1.01,9.01            01/11/13

CHINA EDUCATION ALLIANCE INC.           NC       5.05,8.01,9.01       01/13/13

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       8.01,9.01            01/11/13

CION Investment Corp                    MD       8.01,9.01            01/16/13

CITIGROUP INC                           DE       2.02,9.01            01/17/13

CITIGROUP INC                           DE       9.01                 01/17/13

CITIZENS FIRST CORP                     KY       2.02,7.01,9.01       01/17/13

CLARCOR INC.                            DE       2.02,9.01            01/16/13

CLAYTON WILLIAMS ENERGY INC /DE         DE       7.01,9.01            01/17/13

Cleantech Solutions International, In   DE       7.01,9.01            01/07/13

COBIZ FINANCIAL INC                     CO       8.01                 01/17/13

COMMAND SECURITY CORP                   NY       5.02,9.01            01/11/13

COMMUNITY FIRST INC                     TN       5.02                 01/15/13

Corporate Resource Services, Inc.       DE       2.02,9.01            01/17/13

CROWN HOLDINGS INC                      PA       1.01,2.03,9.01       01/15/13

CVB FINANCIAL CORP                      CA       2.02,9.01            01/16/13

Cyclacel Pharmaceuticals, Inc.          DE       8.01                 01/11/13

Digital Cinema Destinations Corp.       DE       7.01,9.01            01/17/13

Digital Development Partners, Inc.      NV       4.01                 01/11/13

Digital Generation, Inc.                DE       1.01,9.01            01/16/13

DYNEGY INC.                             DE       7.01,9.01            01/17/13

E TRADE FINANCIAL Corp                  DE       5.02                 01/17/13

ECOLOGY & ENVIRONMENT INC               NY       5.07                 01/17/13

ECOTALITY, INC.                         NV       5.02                 01/11/13

eLayaway, Inc.                          DE       4.01,9.01            01/16/13

ELEPHANT TALK COMMUNICATIONS CORP       DE       2.02,7.01,9.01       01/17/13

EMISPHERE TECHNOLOGIES INC              DE       1.01,5.02,9.01       01/14/13

ENCISION INC                            CO       5.02                 01/16/13

EOG RESOURCES INC                       DE       7.01                 01/17/13

Express Scripts Holding Co.             DE       7.01,9.01            01/17/13

FASTENAL CO                             MN       2.02,9.01            01/17/13

Federal Home Loan Bank of Atlanta       X1       2.03                 01/14/13

Federal Home Loan Bank of Boston        X1       2.03                 01/14/13

Federal Home Loan Bank of Chicago       X1       2.03                 01/14/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            01/14/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            01/15/13

Federal Home Loan Bank of New York      X1       2.03,9.01            01/14/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            01/14/13

Federal Home Loan Bank of San Francis   X1       2.03                 01/14/13

Federal Home Loan Bank of Topeka                 2.03,9.01            01/14/13

Fifth Street Finance Corp               DE       8.01,9.01            01/17/13

Fifth Street Finance Corp               DE       5.02                 01/14/13

FIFTH THIRD BANCORP                     OH       2.02,7.01,9.01       01/17/13

FINISH LINE INC /IN/                    IN       8.01,9.01            01/16/13

FIRST COMMUNITY CORP /SC/               SC       2.02,8.01,9.01       01/16/13

First Financial Northwest, Inc.         WA       1.01,9.01            01/16/13

First Guaranty Bancshares, Inc.         LA       5.02                 01/17/13

FLEXIBLE SOLUTIONS INTERNATIONAL INC    NV       2.02                 01/15/13

FORD CREDIT FLOORPLAN MASTER OWNER TR   DE       1.01,8.01,9.01       01/15/13

FORUM ENERGY TECHNOLOGIES, INC.         DE       2.02,9.01            01/16/13

FREEPORT MCMORAN COPPER & GOLD INC      DE       5.03,9.01            01/10/13

FULLER H B CO                           MN       2.02,9.01            01/16/13

FULTON FINANCIAL CORP                   PA       5.02                 01/17/13

GASCO ENERGY INC                        NV       7.01,9.01            01/16/13

GASCO ENERGY INC                        NV       3.01,7.01,9.01       01/11/13

GENERAL EMPLOYMENT ENTERPRISES INC      IL       1.01,2.02,9.01       01/14/13

GENERAL STEEL HOLDINGS INC              NV       4.01                 12/19/12    AMEND

Genesis Biopharma, Inc                  NV       5.02                 01/14/13

GEOKINETICS INC                         DE       1.01,9.01            01/15/13

GEORGIA GULF CORP /DE/                  DE       8.01,9.01            01/17/13

GEORGIA GULF CORP /DE/                  DE       8.01,9.01            01/17/13

GeoVax Labs, Inc.                       DE       1.01,3.03,9.01       01/17/13

Global Eagle Acquisition Corp.          DE       8.01,9.01            01/17/13

GLOBAL PAYMENTS INC                     GA       8.01                 01/17/13

Global Vision Holdings, Inc.            NV       5.03,9.01            01/08/13

GLOWPOINT, INC.                         DE       5.02,9.01            01/13/13

Greektown Superholdings, Inc.           DE       8.01,9.01            01/16/13

Griffin Capital Net Lease REIT, Inc.             7.01,9.01            01/17/13

HAMPTON ROADS BANKSHARES INC            VA       7.01,9.01            01/17/13

HARRIS & HARRIS GROUP INC /NY/          NY       8.01,9.01            01/17/13

HENNESSY ADVISORS INC                            2.02,7.01,9.01       01/17/13

HERTZ CORP                              DE       8.01,9.01            01/17/13

HERTZ GLOBAL HOLDINGS INC                        8.01,9.01            01/17/13

Hi-Crush Partners LP                    de       7.01,9.01            01/17/13

HOME BANCSHARES INC                              2.02,7.01,9.01       01/17/13

Homeowners Choice, Inc.                 FL       1.01,2.03,8.01,9.01  01/17/13

Homeowners Choice, Inc.                 FL       1.01,9.01            01/10/13    AMEND

HomeTrust Bancshares, Inc.              MD       7.01,9.01            01/17/13

HOOKER FURNITURE CORP                   VA       5.02,9.01            01/15/13

HOPFED BANCORP INC                      DE       5.02,8.01,9.01       01/16/13

Hudson Pacific Properties, Inc.         MD       9.01                 01/17/13

HUNTINGTON BANCSHARES INC/MD            MD       2.02,9.01            01/17/13

IGATE CORP                              PA       2.02,9.01            01/17/13

INFINERA CORP                           DE       2.02,5.02,9.01       01/14/13

INLAND REAL ESTATE CORP                 MD       2.04                 01/11/13

INSTEEL INDUSTRIES INC                  NC       2.02,9.01            01/17/13

INTEL CORP                              DE       2.02                 01/17/13

Internet Patents Corp                            8.01                 01/15/13

Intrepid Potash, Inc.                   DE       2.02,7.01,9.01       01/17/13

JBI, INC.                               NV       1.01,3.02,5.03,9.01  01/11/13

K SWISS INC                             DE       1.01,5.02,7.01,8.01, 01/16/13
KBS Strategic Opportunity REIT, Inc.    MD       2.01,9.01            01/04/13    AMEND

KINGOLD JEWELRY, INC.                   DE       1.01,2.03,8.01,9.01  11/28/12

KKR Financial Holdings LLC              DE       3.03,5.03,9.01       01/17/13

KOPIN CORP                              DE       7.01,9.01            01/15/13

LA JOLLA PHARMACEUTICAL CO              CA       8.01,9.01            01/17/13

LAS VEGAS RAILWAY EXPRESS, INC.         DE       5.02                 01/11/13

Liberty Media Corp                      DE       1.01,3.03,5.02,5.03, 01/11/13
LIGHTSTONE VALUE PLUS REAL ESTATE INV   MD       8.01,9.01            01/16/13

LIQUIDITY SERVICES INC                  DE       2.02,7.01,9.01       01/16/13

Live Nation Entertainment, Inc.         DE       1.01,9.01            01/11/13

LKQ CORP                                DE       5.02                 01/13/13

LODGENET INTERACTIVE CORP               DE       5.02,9.01            01/16/13

M&F BANCORP INC /NC/                    NC       5.02                 01/11/13

MAGELLAN PETROLEUM CORP /DE/            DE       1.01,5.02,5.07,8.01, 01/17/13
MAJESCO ENTERTAINMENT CO                DE       5.02                 01/11/13

MARKETAXESS HOLDINGS INC                         1.01,2.03,9.01       01/14/13

McEwen Mining Inc.                      CO       7.01,9.01            01/17/13

MEDGENICS, INC.                         DE       8.01,9.01            01/17/13

MEDIFAST INC                            DE       7.01,9.01            01/16/13

MELA SCIENCES, INC. /NY                          7.01,9.01            01/16/13

MENS WEARHOUSE INC                      TX       8.01,9.01            01/17/13

MERCHANTS BANCSHARES INC                DE       8.01,9.01            01/17/13

MFRI INC                                DE       5.02                 01/12/13

MICHAELS STORES INC                     DE       7.01,9.01            01/17/13

MICRON TECHNOLOGY INC                   DE       1.01,1.02,9.01       01/17/13

MMRGlobal, Inc.                         DE       7.01,9.01            01/14/13

ModusLink Global Solutions Inc          DE       2.01,5.02,9.01       01/11/13

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       7.01,9.01            01/17/13

MOSAIC CO                                        7.01,9.01            01/17/13

MOTORCAR PARTS AMERICA INC              NY       1.01,2.03,9.01       01/16/13

Motorola Solutions, Inc.                DE       5.02,5.03,9.01       01/17/13

MRV COMMUNICATIONS INC                  DE       1.01,9.01            01/16/13

MULTIBAND CORP                          MN       7.01                 01/15/13

MusclePharm Corp                        NV       5.03,9.01            01/11/13

NASDAQ OMX GROUP, INC.                  DE       8.01,9.01            01/17/13

NAUTILUS, INC.                          WA       2.02,7.01,9.01       01/17/13

Net Element International, Inc.         E9       1.01,2.03,8.01,9.01  01/14/13

NETSCOUT SYSTEMS INC                    DE       2.02,9.01            01/17/13

NEW DAY FINANCIAL MANAGEMENT, INC.      NV       5.02                 01/13/13

NEWS CORP                                        8.01,9.01            01/17/13

NOHO, Inc.                              WY       1.01,5.03,8.01,9.01  01/04/13

NU SKIN ENTERPRISES INC                 DE       2.02                 01/16/13

NuStar Energy L.P.                      DE       1.01,9.01            01/14/13

OCWEN FINANCIAL CORP                    FL       7.01,9.01            01/17/13

ONYX PHARMACEUTICALS INC                DE       8.01,9.01            01/15/13

PACIFIC FINANCIAL CORP                  WA       5.02,9.01            01/11/13

Pacira Pharmaceuticals, Inc.            DE       8.01,9.01            01/17/13

PERNIX THERAPEUTICS HOLDINGS, INC.      MD       3.01,8.01            01/16/13

PINNACLE FINANCIAL PARTNERS INC         TN       5.02,9.01            01/11/13

PLC SYSTEMS INC                         B0       1.01,2.03,3.02,9.01  01/16/13

PNC FINANCIAL SERVICES GROUP, INC.      PA       2.02,9.01            01/17/13

PNC FINANCIAL SERVICES GROUP, INC.      PA       2.02,9.01            01/17/13

Poage Bankshares, Inc.                  MD       8.01,9.01            01/15/13

Poly Shield Technologies Inc.           DE       1.01,2.01,9.01       01/12/13

Post Holdings, Inc.                     MO       1.01,1.02,3.03,9.01  01/16/13

RACKSPACE HOSTING, INC.                          1.01,8.01            01/11/13

RAINMAKER SYSTEMS INC                   DE       5.02                 01/17/13

RAYMOND JAMES FINANCIAL INC             FL       8.01,9.01            01/17/13

REALTY INCOME CORP                      MD       5.07,8.01,9.01       01/16/13

REGAL ENTERTAINMENT GROUP               DE       1.01,2.03,8.01,9.01  01/14/13

REPUBLIC BANCORP INC /KY/               KY       2.02,9.01            01/17/13

REPUBLIC BANCORP INC /KY/               KY       7.01,9.01            01/17/13

Rockwood Holdings, Inc.                 DE       7.01,9.01            01/17/13

ROOMLINX INC                            NV       5.02,8.01,9.01       01/11/13

Rosetta Resources Inc.                  DE       5.02                 01/17/13

San Lotus Holding Inc                   NV       5.03,9.01            01/17/13

SCG Financial Acquisition Corp.         DE       1.01,8.01,9.01       01/11/13

Scio Diamond Technology Corp            NV       2.02,7.01,9.01       01/16/13

Select Income REIT                      MD       1.01,2.01,9.01       01/14/13

SEQUENOM INC                            DE       1.01                 01/11/13

Shire plc                                        8.01,9.01            01/17/13

SM Energy Co                            DE       7.01,9.01            01/16/13

SOLAZYME INC                            DE       7.01,8.01,9.01       01/17/13

SONIC CORP                              DE       5.02,8.01,9.01       01/17/13

SONO TEK CORP                           NY       7.01,9.01            01/15/03

SONO TEK CORP                           NY       7.01,9.01            01/16/13

SOUTH DAKOTA SOYBEAN PROCESSORS LLC              5.03                 01/15/13

SPEEDWAY MOTORSPORTS INC                DE       1.01,2.03,9.01       01/11/13

Spirit Airlines, Inc.                   DE       7.01                 01/17/13

STAGE STORES INC                        NV       8.01,9.01            01/16/13

STAR GAS PARTNERS LP                    DE       2.02,7.01,9.01       01/17/13

Starz                                   DE       1.01,2.02,5.02,5.03, 01/11/13
Starz, LLC                              DE       1.01,8.01,9.01       01/11/13

STEWARDSHIP FINANCIAL CORP              NJ       8.01,9.01            01/16/13

STRUCTURED PRODUCTS CORP TIERS PRI PR   DE       8.01,9.01            01/15/13

STRYKER CORP                            MI       8.01,9.01            01/17/13

SUFFOLK BANCORP                         NY       5.02,9.01            01/17/13

SUPERNUS PHARMACEUTICALS INC            DE       5.02,8.01,9.01       01/14/13

SYNERGY PHARMACEUTICALS, INC.           DE       2.01,5.03,7.01,9.01  01/15/13

TILE SHOP HOLDINGS, INC.                DE       7.01,9.01            01/17/13

TRANS1 INC                                       2.02,9.01            01/14/13

Transocean Ltd.                         V8       7.01,9.01            01/17/13

TRILLIANT EXPLORATION CORP              NV       1.01,3.02,9.01       01/16/13

Trio Merger Corp.                       DE       7.01,9.01            01/17/13

Tropicana Entertainment Inc.            DE       7.01                 01/14/13

TTM TECHNOLOGIES INC                    WA       7.01,9.01            01/17/13

TURBINE TRUCK ENGINES INC               NV       4.01                 01/11/13

TURBINE TRUCK ENGINES INC               NV       4.01,9.01            01/11/13    AMEND

United Continental Holdings, Inc.       DE       2.02,9.01            01/17/13

United States 12 Month Natural Gas Fu            8.01                 01/17/13

United States Short Oil Fund, LP        DE       8.01                 01/17/13

UNITEDHEALTH GROUP INC                  MN       2.02,9.01            01/17/13

UNIVERSAL HOSPITAL SERVICES INC         MN       8.01,9.01            01/17/13

URANIUM RESOURCES INC /DE/              DE       5.02,8.01,9.01       01/16/13

VALERO ENERGY CORP/TX                   DE       7.01,9.01            01/17/13

VESTIN FUND III LLC                              5.02                 01/17/13

Vestin Realty Mortgage I, Inc.                   5.02                 01/17/13

Vestin Realty Mortgage II, Inc          MD       5.02                 01/17/13

VIRGINIA COMMERCE BANCORP INC                    2.02,7.01,9.01       01/17/13

VISTEON CORP                            DE       1.01,8.01,9.01       01/11/13

VOC Energy Trust                                 2.02,9.01            01/17/13

VYCOR MEDICAL INC                       DE       5.03,8.01,9.01       01/15/13

WALTER INVESTMENT MANAGEMENT CORP       MD       9.01                 11/01/12    AMEND

WASHINGTON FEDERAL INC                  WA       2.02,7.01,9.01       01/17/13

WELLS REAL ESTATE FUND VIII LP          GA       1.01                 01/14/13

WELLS REAL ESTATE FUND XI L P           GA       1.01                 01/14/13

WELLS REAL ESTATE FUND XII LP           GA       1.01                 01/14/13

WESTAMERICA BANCORPORATION              CA       2.02,9.01            01/17/13

Wheeler Real Estate Investment Trust,   MD       5.02,8.01,9.01       01/16/13

WOUND MANAGEMENT TECHNOLOGIES, INC.     TX       8.01                 01/15/13

WPX ENERGY, INC.                        DE       5.02,9.01            01/16/13

WSFS FINANCIAL CORP                     DE       8.01                 12/13/12

Xhibit Corp.                            NV       1.01,9.01            01/11/13

XILINX INC                              DE       2.02,9.01            01/17/13

XRS Corp                                MN       5.02                 01/12/13

YELLOW7, Inc                            TX       5.01,5.02            01/10/13

ZAGG Inc                                NV       5.02,9.01            01/15/13



Modified: 01/18/2013