Securities and Exchange Commission Suspends Trading in the Securities of Sixteen Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on February 6, 2013 and terminating at 11:59 p.m. EST on February 20, 2013.
The Commission temporarily suspended trading in the securities of these sixteen issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over a year. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-68835)
Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting, Wednesday, February 13, 2013 at 10:00 a.m.
The subject matter of the Open Meeting will be:
The Commission will consider whether to approve the 2013 budget of the Public Company Accounting Oversight Board and will consider the related annual accounting support fee for the Board under Section 109 of the Sarbanes-Oxley Act of 2002.
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.
Commission Orders Hearings on Registration Suspension or Revocation Against Seventeen Companies for Failure to Make Required Periodic Filings
In conjunction with these trading suspensions, the Commission today also instituted two public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seventeen companies for failure to make required periodic filings with the Commission:
In the Matter of Advance Nanotech, Inc., et al., Administrative Proceeding File No. 3-68836
In the Matter of Advanced ID Corp., et al., Administrative Proceeding File No. 3-68837
In these Orders, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68836; File No. 3-15201)
In the Matter of Howard B. Berger
On February 6, 2013, the 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 Howard B. Berger (Berger), a resident of Syosset, New York. The Order finds that Berger co-managed Professional Traders Management, LLC and Professional Offshore Traders Management, LLC, investment advisers not registered with the Commission that managed two hedge funds, Professional Traders Fund, LLC (PTF) and Professional Offshore Opportunity Fund, Ltd. (POOF), respectively. On January 15, 2013, a final judgment was entered by consent against Berger, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Howard B. Berger, et al., Civil Action Number 2012 CV 4728, in the United States District Court for the Eastern District of New York.
The Commission’s complaint in the above-noted civil injunctive action alleged that Berger controlled the trading activity in PTF and POOF and engaged in a fraudulent “cherry picking” scheme where he oftentimes allocated profitable trades for his benefit at the expense of the hedge funds he managed. The complaint alleged that for more than a year, Berger profited from fraudulently allocating profitable trades to an account in his wife’s name while oftentimes allocating his unprofitable trades to PTF and POOF accounts.
Based on the above, the Order bars Berger from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent. Berger consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of the final judgment. (Rel. IA-3548; File No. 3-15203)
In the Matter of Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez
On February 6, 2013, the 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 Arturo Allan Rodriguez Lopez a/k/a Arturo Rodriguez (Rodriguez). The Order finds that on August 14, 2012, a judgment was entered by consent against Rodriguez in SEC v. Juno Mother Earth Asset Management, LLC, et al. (Civil Action Number 11 Civ. 1778 (TPG) (S.D.N.Y.)), permanently enjoining Rodriguez from 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 203A, 206(1), 206(2), 206(4) and 207 of the Advisers Act of 1940, and Rules 206(4)-2 and 206(4)-8 thereunder.
The Order finds that the Commission’s complaint in SEC v. Juno Mother Earth Asset Management, LLC, et al. alleged that Rodriguez, Eugenio Verzili and Juno Mother Earth Asset Management LLC (Juno) orchestrated a multi-faceted scheme to defraud a hedge fund under their control, as well as the investors in the fund, and failed to comply with their fiduciary obligations to the hedge fund, through: (a) misappropriating approximately $1.8 million of assets from a Juno-advised hedge fund; (b) fraudulently concealing their misappropriation from the fund’s independent directors; (c) inflating and misrepresenting Juno’s assets under management by approximately $40 million; (d) filing false Forms ADV with the Commission that, among other things, failed to disclose transactions between Juno and the hedge fund; (e) concealing Juno’s precarious financial condition; and (f) misrepresenting the amount of capital certain Juno partners had invested in a Juno-advised fund.
Based on the above, the Order bars Rodriguez barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Rodriguez consented to the issuance of the Order without admitting or denying any of the findings in the Commission’s Order, except that he admitted the entry of injunction. (Rel. IA-3549; File No. 3-15204)
In the Matter of Jorge Gomez
On February 6, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act), and Notice of Hearing against Jorge Gomez. The proceedings are based on a judgment of permanent injunction entered by default against Gomez in the civil action entitled Securities & Exchange Commission v. Jorge Gomez, et al., Civil Action Number 12-CV-21962-Ungaro, in the United States District Court for the Southern District of Florida. The judgment permanently enjoins Gomez from future violations of Section 10(b) and Rule 10b-5 of the Exchange Act and Sections 206(1) and 206(2), of the Advisers Act, and aiding and abetting violations of Sections 206(1) and 206(2).
The Commission’s Complaint alleged that from 2007 through 2010, Gomez misappropriated more than $4.3 million from a single advisory client (the “Client”), who had entrusted Gomez with approximately $10.9 million to invest on his behalf. Gomez concealed his misappropriation by providing the Client with fraudulent account statements, which overstated the Client’s account value and misstated his securities transactions and holdings. Gomez also provided fraudulent certificates for fictitious securities purportedly held by the Client, and created a fake customer service hotline to field calls from the Client.
A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directs the Administrative law Judge to issue an initial decision within 210 days from the date of service of the Orders. (Rel. IA-3550; File No. 3-15205)
Securities and Exchange Commission Institutes Administrative Proceedings Against Joseph Repko Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice
On February 6, 2013, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice and Imposing Temporary Suspension against Joseph J. Repko, CPA. The Order finds that on November 28, 2012, the U.S. District Court for the Southern District of Florida entered a final judgment by default against Repko that, among other things, permanently enjoined him from future violations, direct or indirect, of Section 17(a)(1) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) thereunder. Securities and Exchange Commission v. Joseph J. Repko, et al., Civil Action Number 0:12-cv-61079-KMW. The Commission’s complaint alleged that from April through June 2009, Repko and others engaged in a fraudulent scheme involving illicit kickbacks to induce the purchase of Sure Trace Security Corp.’s stock. Specifically, according to the complaint, Repko participated in paying illegal kickbacks to a purported trustee of an employee pension fund so the trustee would purchase 133 million restricted shares of the company’s stock. Repko and the other defendants attempted to conceal the kickbacks by entering into a sham consulting agreement between Sure Trace and a purported consulting company created to receive the kickbacks.
The Order temporarily suspends Repko from appearing or practicing before the Commission and provides that Repko may file a petition with the Commission to lift the temporary suspension. If the Commission within thirty days after service of the Order receives no petition, the suspension shall become permanent pursuant to Rule 102(e)(3)(ii). (Rel. 34-68845; AAE Rel. 3444, File No. 3-15206)
Former Investment Adviser Sentenced to 12 Years for Misappropriating Client Assets
The Securities and Exchange Commission announced that on January 31, 2013, the Honorable Michael M. Mihm of the United States District Court for the Central District of Illinois sentenced Timothy J. Roth to 151 months (12 years and 7 months) of incarceration followed by supervised release of 3 years and ordered Roth to pay $16,151,964 in restitution to his victims. Roth, a former investment adviser associated with Comprehensive Capital Management, Inc. (“Comprehensive”), pleaded guilty to one count of mail fraud and one count of money laundering in connection with his misappropriation of over $16 million worth of mutual funds from the accounts of eleven clients between 2004 and 2011. Roth, 56, of Stonington, Illinois, transferred the shares without the clients’ authorization into an account he controlled, sold them, and used the proceeds to form and support several companies he owned or controlled and to fund his own securities trading.
The criminal charges arose out of the same facts that were the subject of an emergency civil action that the SEC filed against Roth on March 21, 2011. On that same day, the Court issued an order freezing Roth’s assets and those of several companies he controlled. On March 31, 2013, the Court appointed a Receiver over Roth’s assets and those of the companies he controlled. The SEC’s complaint alleged that Roth worked for Comprehensive, a New Jersey-based registered investment adviser. The SEC’s complaint alleged that from October 2010 through February 2011, Roth stole more than $6 million worth of mutual fund shares from several deferred compensation plans (“Plans”) for whom he provided investment advice. Roth's theft of client assets was later determined to have been over $16 million. The SEC alleged that Roth, who worked out of Comprehensive’s office near Urbana, Illinois, secretly caused his victims’ mutual fund shares to be transferred to an account under his control, even though no such transfer had been requested or authorized by the clients. The SEC alleges that after selling the clients’ shares, Roth funneled the cash proceeds to various accounts and companies under his control or for his benefit. According to the SEC’s complaint, at the time he was engaging in his scheme, Roth did not tell the clients about the transfers.
As a result of his conduct, the SEC’s complaint charged Roth with violations of Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and with aiding and abetting violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940, and Rule 206(4)-2 thereunder. [SEC v. Timothy J. Roth, et al.: 11-cv-02079 (C.D. Ill.)] (LR-22609)
Steel Company Executives and Two Tippees Agree to Settle Insider Trading Charges
The Securities and Exchange Commission today announced that four steel company executives and two of their tippees have agreed to pay $639,260 to settle insider trading charges against them.
The SEC filed a civil action on March 17, 2011, against eight individuals, alleging that they traded on the basis of material, nonpublic information about the forthcoming acquisition of Steel Technologies, Inc. by Mitsui & Co. (USA). Specifically, the SEC alleged that four executives traded based on inside information and that three of them tipped others who also traded in advance of the upcoming acquisition. The six settling defendants collectively earned $268,805 from their trades.
Without admitting or denying the SEC’s allegations, each of the settling defendants consented to final judgments that have been entered by the court. The final judgments order: (i) Patrick M. Carroll to disgorge $34,279 plus pay prejudgment interest of $10,412 and a penalty of $34,279; (ii) James P. Carroll to disgorge $3,020 plus pay prejudgment interest of $917 and a penalty of $3,020; (iii) William T. Carroll to disgorge $54,163 plus pay prejudgment interest of $16,452 and a penalty of $54,163; (iv) David Mark Calcutt to disgorge $150,297 plus pay prejudgment interest of $45,652 and a penalty of $150,297; (v) Christopher T. Calcutt to disgorge $4,250 plus pay prejudgment interest of $1,291 and a penalty of $4,250; and (vi) David Stitt to disgorge $22,796 plus pay prejudgment interest of $6,924 and a penalty of $42,796. They are also permanently enjoined from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
The SEC’s charges against the other traders, John Monroe and Stephen Somers, remain pending.
The SEC litigation is being handled by Daniel J. Hayes and Jake Schmidt of the Chicago Regional Office. [SEC v. Patrick M. Carroll, James P. Carroll, William T. Carroll, David Mark Calcutt, Christopher Calcutt, David Stitt, John Monroe and Stephen Somers, Civil Action No. 3:11-cv-165-H] (LR-22610)
SEC Obtains Judgments Against Former Officers of Gibraltar Asset Management Group, LLC
The United States Securities and Exchange Commission (Commission) announced that the Honorable Robert L. Wilkins, United States District Judge for the District of Columbia, entered final judgments on January 16, 2013, against three defendants to settle charges related to their collaboration in a multi-million dollar Washington-area Ponzi scheme operated through Gibraltar Asset Management Group, LLC and Garfield Taylor, Inc. (GTI). The final judgments were entered by consent in the civil action entitled Securities and Exchange Commission v. Garfield Taylor, Inc., et al., Civil Action No. 1:11-CV-02054-RLW, in the United States District Court for the District of Columbia:
Benjamin C. Dalley, of Washington D.C., formerly Vice President of Operations at Gibraltar, without admitting or denying the allegations in the SEC’s complaint, consented to the entry of a Final Judgment permanently enjoining him from aiding and abetting violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Final Judgment orders him to pay $72,500 in disgorgement and prejudgment interest and a civil penalty of $40,000.
Randolph M. Taylor, of Washington D.C., formerly Vice President for Organizational Development at Gibraltar, without admitting or denying the allegations in the SEC’s complaint, consented to the entry of a Final Judgment permanently enjoining him from aiding and abetting violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Final Judgment orders him to pay $584,148.32 in disgorgement and prejudgment interest, but waives payment of all but $30,000 of this amount, and does not impose a civil penalty, based upon his sworn Statement of Financial Condition. In connection with the settlements reached with Dalley and Randolph Taylor, Relief Defendant Reverb Enterprises, LLC consented to a judgment, which the Court entered on December 13, 2012, ordering it to pay $165,635 in disgorgement, representing profits gained as a result of the scheme.
William B. Mitchell, of Middle River, Md., formerly Vice President for Finance at GTI and an Executive Vice President of Strategic Planning at Gibraltar, without admitting or denying the allegations in the SEC’s complaint consented to the entry of a Final Judgment permanently enjoining him from violating Section 15(a)(1) of the Securities Exchange Act of 1934. The Final Judgment orders Mitchell to pay $164,131 in disgorgement and prejudgment interest, but waives payment of all but $15,000 of this amount, and does not impose a civil penalty, based upon his sworn Statement of Financial Condition.
Based upon the entry of the Court’s injunction against Mitchell, on January 30, 2013, the Commission instituted settled administrative proceedings against Mitchell. Without admitting or denying the Commission’s findings, except as to his admission of the entry of the Final Judgment by the Court, Mitchell consented to the entry of the Commission’s Order, which bars him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock.
The Commission filed a complaint on November 18, 2011, alleging that Gibraltar’s and GTI’s former Chief Executive Officer, Garfield M. Taylor, operating through GTI. and Gibraltar, with the assistance of Benjamin C. Dalley, Randolph M. Taylor, William B. Mitchell, Jeffrey A. King and Maurice G. Taylor, conducted a multi-million Ponzi scheme targeting investors in the Washington D.C. metropolitan area. According to the SEC’s complaint, the defendants defrauded more than $27 million from approximately 130 investors between 2005 and 2010.
The Commission’s case is still pending against the remaining defendants: Garfield M. Taylor, Jeffrey A. King, Maurice G. Taylor, GTI, Gibraltar, and The King Group, LLC. On December 13, 2012, the Court granted the Commission’s motion for summary judgment on all charges sought by the Commission against Garfield Taylor. The Court will determine the appropriate injunctive relief, as well as the specific amount of disgorgement and penalty that Garfield Taylor will be ordered to pay, when it enters its Final Judgment against him. [SEC v. Garfield Taylor, Inc., et al., Civil Action No. 1:11-CV-02054-RLW (District Court for the District of Columbia)] (LR-22611)
SEC Charges Husband With Insider Trading in Santa Clara-Based Tech Company Based on Confidential Information From Wife
On February 6, 2013, the Securities and Exchange Commission charged a Houston man with insider trading ahead of the acquisition of Santa Clara-based National Semiconductor Corporation based on confidential details that he gleaned from his wife, a partner at a large law firm that was consulted on the deal.
The SEC alleges that James Balchan immediately bought shares of National Semiconductor stock after his wife informed him that a social event for the company’s general counsel had been cancelled because he was busy working on an imminent merger. Balchan and his wife were among the invitees to the event. Balchan made nearly $30,000 in illicit profits when he sold his shares after Texas Instruments publicly announced its acquisition of National Semiconductor and the stock price jumped more than 75 percent.
Balchan agreed to pay nearly $60,000 to settle the SEC’s charges.
According to the SEC’s complaint filed in U.S. District Court for the Southern District of Texas, another partner at the firm where Balchan’s wife worked began organizing informal client “wine and dine” events for the first weekend of April 2011 in honor of National Semiconductor’s general counsel. The partner was close to Balchan’s wife and socially acquainted with Balchan. The partner invited both of them to the weekend events and told them that National Semiconductor’s general counsel would be in attendance.
According to the SEC’s complaint, the partner called National Semiconductor’s general counsel a few days before the weekend and was informed that he was working on the company’s impending acquisition. The general counsel sought the law firm’s advice in dealing with certain regulatory issues arising from the deal. He also informed the partner that, in light of the acquisition, he would be unable to attend the event that coming weekend. When the law partner advised Balchan’s wife that National Semiconductor’s general counsel cancelled the client weekend because of the imminent acquisition, she shared the information with Balchan in confidence later that night in the context of discussing their weekend plans.
The SEC alleges that the very next morning, Balchan misappropriated the confidential information he learned about the acquisition and purchased 2,000 National Semiconductor shares. A few days later, Balchan purchased 1,000 shares. Texas Instruments issued a press release on April 4 announcing its acquisition of National Semiconductor. Each of Balchan’s National Semiconductor trades was based on inside information in violation of duties of trust and confidence that he owed to his wife. Balchan was aware that his wife owed a duty of trust or confidence to her law firm and its clients.
The SEC’s complaint charges Balchan with violations of Section 10(b) of the Securities Exchange Act and Rule 10b-5 thereunder. Balchan has settled the SEC’s charges without admitting or denying the allegations. He has agreed to the entry of a judgment enjoining him from future violations of relevant provisions of the Exchange Act, and to pay disgorgement and prejudgment interest of $30,615.18, and an additional penalty equal to his profits of $29,052.39.
The SEC’s investigation was conducted by Jennifer J. Lee and Jina L. Choi of the San Francisco Regional Office. The SEC acknowledges the assistance of the Financial Industry Regulatory Authority (FINRA) in this matter. [SEC v. James Balchan, Civil Action No. 4:13-cv-00298 (U.S. District Court for the Southern District of Texas)] (LR-22612)
INVESTMENT COMPANY ACT RELEASES
First Trust Exchange-Traded Fund, et al.
An order has been issued on an application filed by First Trust Exchange-Traded Fund, et al. under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A), (B), and (C) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order permits (a) certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of certain registered open-end and closed-end management investment companies, business development companies as defined by Section 2(a)(48) of the Act, and registered unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies and (b) certain registered open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30377 – February 5)
Notice of Designation of Longer Period for Commission Action
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NSCC-2012-10) filed by the National Securities Clearing Corporation (NSCC) to eliminate the offset of NSCC obligations with institutional delivery transactions that settle at the Depository Trust Company for the purpose of calculating the NSCC clearing fund under Procedure XV of NSCC’s Rules & Procedures. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68829)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2013-03) 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 February 4. (Rel. 34-68824)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-03) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 February 4. (Rel. 34-68830)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-03) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 February 4. (Rel. 34-68831)
A proposed rule change filed by BOX Options Exchange LLC to make the market data product, the BOX High Speed Vendor Feed (“HSVF”), available to all market participants (SR-BOX-2013-04) 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 February 4. (Rel. 34-68833)
Accelerated Approval of Proposed Rule Change
The Commission issued a notice of filing of Amendment No. 1 and granted accelerated approval to a proposed rule change, as modified by Amendment No. 1, submitted by the Financial Industry Regulatory Authority, Inc. (“FINRA”) (SR-FINRA-2012-050), pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, to adopt a supplementary schedule for derivatives and other off-balance sheet items pursuant to FINRA Rule 4524 (Supplemental FOCUS Information). Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68832)
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 CHENIERE ENERGY INC, 700 MILAM ST., SUITE 800, HOUSTON, TX, 77002, 7133755000 - 25,000,000 ($528,750,000.00) Equity, (File 333-186451 - Feb. 5) (BR. 02A) S-3 BIGLARI HOLDINGS INC., 17802 IH 10 WEST, SUITE 400, SAN ANTONIO, TX, 78257, 2103443400 - 0 ($50,000,000.00) Equity, (File 333-186452 - Feb. 5) (BR. 05C) S-1 Global Tech Solutions, Inc., 80731 ALEXANDRIA COURT, INDIO, CA, 92201, (714) 473-9728 - 4,000,000 ($40,000.00) Equity, (File 333-186460 - Feb. 5) (BR. 03) S-1 Sedition Films, Inc., 37 NETHERHALL GARDENS, GROUND FLOOR SUITE, LONDON, X0, NW35RL, 447859091084 - 1,413,400 ($56,536.00) Equity, (File 333-186461 - Feb. 5) (BR. ) S-8 BP PLC, 1 ST JAMES'S SQUARE, LONDON, X0, SW1Y 4PD, 442074962107 - 10,000,000 ($74,937,000.00) Equity, (File 333-186462 - Feb. 5) (BR. 04B) S-8 BP PLC, 1 ST JAMES'S SQUARE, LONDON, X0, SW1Y 4PD, 442074962107 - 360,000,000 ($2,697,732,000.00) Equity, (File 333-186463 - Feb. 5) (BR. 04B) S-8 BioDrain Medical, Inc., 2060 CENTRE POINTE BOULEVARD, SUITE 7, MENDOTA HEIGHTS, MN, 55120, (612) 850-9460 - 20,000,000 ($1,660,000.00) Equity, (File 333-186464 - Feb. 5) (BR. 10A) S-3ASR ANNALY CAPITAL MANAGEMENT INC, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 212 696 0100 - 0 ($0.00) Other, (File 333-186465 - Feb. 5) (BR. 08B) S-3 NCI BUILDING SYSTEMS INC, 10943 NORTH SAM HOUSTON PARKWAY W, HOUSTON TEXAS, TX, 77064, 2818977799 - 54,136,818 ($836,413,838.10) Equity, (File 333-186466 - Feb. 5) (BR. 06C) S-8 NCI BUILDING SYSTEMS INC, 10943 NORTH SAM HOUSTON PARKWAY W, HOUSTON TEXAS, TX, 77064, 2818977799 - 5,000,000 ($77,250,000.00) Equity, (File 333-186467 - Feb. 5) (BR. 06C) S-8 MINES MANAGEMENT INC, 905 W RIVERSIDE AVENUE, SUITE 311, SPOKANE, WA, 99201, 5098386050 - 0 ($3,531,840.00) Equity, (File 333-186468 - Feb. 5) (BR. 09B) S-3 Rose Rock Midstream, L.P., TWO WARREN PLACE, 6120 S. YALE AVENUE, SUITE 700, TULSA, OK, 74136-4216, (918) 524-8100 - 0 ($65,180,000.00) Limited Partnership Interests, (File 333-186469 - Feb. 5) (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 ----------------------------------------------------------------------------------------- ABIOMED INC DE 7.01 02/04/13 ACADIA REALTY TRUST MD 1.01,2.03,9.01 01/31/13 ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 02/04/13 AECOM TECHNOLOGY CORP DE 2.02,8.01,9.01 02/05/13 AEROPOSTALE INC 5.02,9.01 02/05/13 AFFYMAX INC DE 8.01 02/04/13 AFH ACQUISITION VII, INC. DE 5.02,7.01,9.01 02/05/13 AFLAC INC GA 2.02,9.01 02/05/13 AGCO CORP /DE DE 2.02,9.01 02/05/13 AGENUS INC DE 1.01,3.02,3.03,9.01 02/04/13 AIR LEASE CORP DE 1.01,2.03,9.01 02/05/13 ALLERGAN INC DE 2.02,2.05,5.02,9.01 01/31/13 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 02/05/13 ALLIANT TECHSYSTEMS INC DE 2.02,9.01 02/05/13 ALLIED VENTURES HOLDING CORP. NV 3.02 02/05/13 Ally Financial Inc. DE 2.02,9.01 02/05/13 Ally Financial Inc. DE 2.01,9.01 02/05/13 ALTERRA CAPITAL HOLDINGS Ltd 2.02,8.01,9.01 02/05/13 AMARANTUS BIOSCIENCE, INC. DE 1.01 01/30/13 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 2.01,5.06,9.01 02/04/13 AMEND AMP Holding Inc. NV 1.01,2.03,3.02,9.01 01/29/13 Anthera Pharmaceuticals Inc DE 5.02 02/05/13 Apple REIT Ten, Inc. VA 8.01 01/31/13 APPLIED MICRO CIRCUITS CORP DE 2.02,9.01 01/30/13 ARBITRON INC DE 7.01,9.01 02/05/13 ARCH COAL INC DE 2.02,9.01 02/05/13 ARCHER DANIELS MIDLAND CO DE 2.02,9.01 12/31/12 ARRAY BIOPHARMA INC DE 2.02,9.01 02/04/13 ARROW FINANCIAL CORP NY 5.02 01/31/13 ASTRONICS CORP NY 2.02,9.01 02/05/13 Athens Bancshares Corp 2.02,8.01,9.01 01/30/13 AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 02/05/13 AVAYA INC DE 2.02,9.01 02/05/13 AXIALL CORP/DE/ DE 5.02,7.01,9.01 02/04/13 Azteca Acquisition Corp D8 8.01,9.01 02/04/13 Backgate Acquisition Corp DE 5.03 02/04/13 Backgate Acquisition Corp DE 5.03 02/04/13 AMEND BAKER HUGHES INC DE 7.01 02/04/13 BARRY R G CORP /OH/ OH 2.02,9.01 02/05/13 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 02/05/13 BEAZER HOMES USA INC DE 1.01,2.02,2.03,5.03, 02/05/13 5.07,8.01,9.01 BECTON DICKINSON & CO NJ 2.02,9.01 02/05/13 Behringer Harvard Mid-Term Value Enha TX 5.02 01/31/13 BEHRINGER HARVARD MULTIFAMILY REIT I 5.02 01/31/13 Behringer Harvard Opportunity REIT I, MD 5.02 01/31/13 Behringer Harvard Opportunity REIT II MD 5.02 01/31/13 BEHRINGER HARVARD REIT I INC MD 1.02,5.02,5.03,9.01 01/31/13 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 5.02 01/31/13 BENCHMARK ELECTRONICS INC TX 2.02,9.01 02/04/13 Beneficial Mutual Bancorp Inc X1 5.02 01/17/13 BIGLARI HOLDINGS INC. IN 8.01 02/05/13 BIOMIMETIC THERAPEUTICS, INC. DE 8.01 02/05/13 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 02/05/13 BJs RESTAURANTS INC CA 5.02 02/01/13 BOK FINANCIAL CORP ET AL OK 5.02 01/30/13 BON TON STORES INC PA 1.01,9.01 01/31/13 BPZ RESOURCES, INC. TX 7.01,9.01 02/04/13 BRE PROPERTIES INC /MD/ MD 2.02,5.02,8.01,9.01 02/04/13 BRINKS CO VA 7.01,9.01 02/05/13 Bristow Group Inc DE 7.01,9.01 02/05/13 C H ROBINSON WORLDWIDE INC DE 2.02,9.01 02/05/13 CACHE INC FL 2.02,9.01 02/05/13 CAESARS ENTERTAINMENT Corp DE 8.01,9.01 02/04/13 CALIX, INC 2.02,9.01 02/05/13 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 01/31/13 CARDINAL HEALTH INC OH 2.02,7.01,9.01 02/05/13 CASCADE MICROTECH INC 2.02,9.01 02/05/13 CELADON GROUP INC DE 8.01 02/04/13 CEMPRA, INC. DE 1.01 01/30/13 CENTENE CORP 2.02,9.01 02/05/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02 02/04/13 CERNER CORP /MO/ DE 2.02,9.01 02/05/13 CEVA INC DE 5.02,9.01 01/30/13 Chatham Lodging Trust MD 7.01,9.01 02/04/13 CHENIERE ENERGY INC DE 5.02,5.03,5.07,9.01 02/01/13 China Botanic Pharmaceutical 3.01,9.01 01/31/13 CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 02/05/13 CLEAN HARBORS INC MA 5.02 02/04/13 CLIFTON SAVINGS BANCORP INC 2.02,9.01 02/04/13 CME GROUP INC. DE 2.02,9.01 02/05/13 COBIZ FINANCIAL INC CO 7.01 02/05/13 COCA-COLA ENTERPRISES, INC. DE 8.01 02/05/13 COMMERCE BANCSHARES INC /MO/ MO 5.02 01/30/13 COMMODITY ADVISORS FUND L.P. NY 3.02 02/01/13 CommonWealth REIT MD 1.01,2.03,9.01 02/04/13 COMPETITIVE TECHNOLOGIES INC DE 5.02 02/04/13 COMPUTER SCIENCES CORP NV 2.02,9.01 02/05/13 COMPUTER TASK GROUP INC NY 7.01,9.01 02/05/13 COMVERSE TECHNOLOGY INC/NY/ NY 2.01,3.01,3.03,5.01, 02/04/13 5.02,5.03,5.07,9.01 CONCEPTUS INC DE 2.02,9.01 02/05/13 CONOLOG CORP DE 5.02,9.01 01/31/13 CORCEPT THERAPEUTICS INC DE 5.02 01/30/13 Cornerstone Core Properties REIT, Inc MD 1.01,2.01,2.03,9.01 01/31/13 CPI CORP DE 8.01 01/28/13 CPI International Holding Corp. 2.02,9.01 02/05/13 CRIMSON EXPLORATION INC. 2.02,9.01 02/05/13 CROSS A T CO RI 8.01 02/04/13 CROSS COUNTRY HEALTHCARE INC DE 1.01,7.01,9.01 02/02/13 CRYOLIFE INC FL 8.01 02/05/13 CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 02/05/13 Customers Bancorp, Inc. PA 5.02 01/30/13 CYMER INC NV 5.07,9.01 02/05/12 CyrusOne Inc. MD 5.02 01/30/13 CYTOKINETICS INC 2.02,9.01 02/05/13 DAWSON GEOPHYSICAL CO TX 7.01,9.01 02/04/13 DEL MONTE CORP 1.01,2.03,9.01 02/05/13 Delek US Holdings, Inc. 7.01,9.01 02/05/13 DELL INC DE 8.01,9.01 02/05/13 Delphi Automotive PLC Y9 2.02,9.01 02/05/13 DENBURY RESOURCES INC DE 1.01,2.03,8.01,9.01 02/05/13 DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 02/05/13 DineEquity, Inc DE 1.01,9.01 02/04/13 DOLLAR GENERAL CORP TN 1.01,5.02 02/01/13 DOVER SADDLERY INC 2.02,7.01,9.01 02/05/13 Duke Energy CORP DE 2.06,7.01,9.01 02/05/13 Duke Energy CORP DE 2.06,7.01,9.01 02/05/13 DUKE REALTY CORP IN 2.02,9.01 01/30/13 DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 02/04/13 DURECT CORP DE 8.01 02/04/13 DYNAVAX TECHNOLOGIES CORP DE 5.02 01/30/13 E TRADE FINANCIAL Corp DE 5.02 02/04/13 Eaton Corp plc 2.02,9.01 02/05/13 ECA Marcellus Trust I DE 2.02,9.01 02/05/13 ECOSPHERE TECHNOLOGIES INC DE 5.02 01/30/13 EGAIN Corp DE 2.02,9.01 02/05/13 Eight Dragons Co. 4.01,9.01 02/05/13 EMCORE CORP NJ 2.02,7.01,9.01 02/05/13 EMERSON ELECTRIC CO MO 2.02,9.01 02/05/13 EMULEX CORP /DE/ DE 8.01,9.01 02/01/13 ENTROPIC COMMUNICATIONS INC DE 2.02,9.01 02/05/13 EQM Technologies & Energy, Inc. DE 8.01,9.01 02/05/13 ESTEE LAUDER COMPANIES INC DE 2.02,8.01,9.01 02/05/13 Expedia, Inc. DE 2.02,8.01,9.01 02/05/13 Federal Home Loan Bank of Atlanta X1 2.03 01/30/13 Federal Home Loan Bank of Boston X1 2.03 01/30/13 Federal Home Loan Bank of Chicago X1 2.03 01/30/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/30/13 Federal Home Loan Bank of Dallas 2.03,9.01 01/30/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/01/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/05/13 Federal Home Loan Bank of New York X1 2.03,9.01 01/30/13 Federal Home Loan Bank of New York X1 8.01 02/05/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/30/13 Federal Home Loan Bank of San Francis X1 2.03 01/30/13 Federal Home Loan Bank of San Francis X1 5.02 02/05/13 AMEND Federal Home Loan Bank of Seattle 2.03 01/30/13 Federal Home Loan Bank of Topeka 2.03,9.01 01/30/13 FEDERAL NATIONAL MORTGAGE ASSOCIATION 5.02 02/04/13 FIRST BANCORP /PR/ PR 2.02,9.01 02/05/13 FIRST DATA CORP DE 5.02,9.01 01/30/13 FIRST PLACE FINANCIAL CORP /DE/ DE 4.01,9.01 01/25/13 FIRST TRUST MORTGAGE INCOME FUND 7.01,9.01 02/05/13 FISERV INC WI 2.02,9.01 02/05/13 FLEETCOR TECHNOLOGIES INC DE 1.01,2.03,9.01 02/04/13 Franklin Credit Management Corp DE 1.01 01/31/13 GALECTIN THERAPEUTICS INC NV 7.01,9.01 02/05/13 GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 02/05/13 GelTech Solutions, Inc. DE 1.01,3.02 02/01/13 GENERAL EMPLOYMENT ENTERPRISES INC IL 5.02 01/31/13 General Finance CORP DE 8.01,9.01 02/05/13 GENESIS ENERGY LP DE 7.01 01/30/13 GENWORTH FINANCIAL INC DE 2.02,9.01 02/05/13 GILEAD SCIENCES INC DE 5.02 01/30/13 GLADSTONE CAPITAL CORP MD 5.02 02/05/13 GLU MOBILE INC DE 2.02,9.01 02/05/13 GOLD RESOURCE CORP CO 5.02,7.01,9.01 01/30/13 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 02/05/13 GRAMERCY CAPITAL CORP MD 1.01,7.01,9.01 01/30/13 GSE Holding, Inc. DE 8.01,9.01 02/05/13 HAIN CELESTIAL GROUP INC DE 2.02,9.01 02/05/13 Hamilton Bancorp, Inc. MD 2.02,9.01 02/04/13 Hanesbrands Inc. MD 2.02,7.01,9.01 02/05/13 HCA Holdings, Inc. 2.02,7.01,8.01,9.01 02/05/13 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 02/05/13 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 1.01,2.03,9.01 01/31/13 HELMERICH & PAYNE INC DE 7.01,9.01 02/05/13 HEMISPHERX BIOPHARMA INC DE 8.01,9.01 02/01/13 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 02/05/13 Heritage-Crystal Clean, Inc. DE 1.01,2.03,9.01 01/31/13 Hi-Crush Partners LP de 1.01,3.02,3.03,5.03, 01/31/13 9.01 HINES REAL ESTATE INVESTMENT TRUST IN 1.01,2.03,8.01,9.01 01/30/13 HomeStreet, Inc. WA 7.01,9.01 02/05/13 HORTON D R INC /DE/ DE 8.01,9.01 01/30/13 IBERIABANK CORP LA 7.01,9.01 02/05/13 ICU MEDICAL INC/DE DE 5.02 01/31/13 IDENIX PHARMACEUTICALS INC DE 8.01,9.01 02/04/13 IDEX CORP /DE/ DE 2.02,9.01 02/04/13 IEC ELECTRONICS CORP DE 2.02,9.01 02/05/13 INERGY L P DE 2.02,7.01,9.01 02/05/13 INERGY MIDSTREAM, L.P. DE 2.02,7.01,9.01 02/05/13 INFINERA CORP DE 5.02 01/30/13 INFINERA CORP DE 2.02,9.01 02/05/13 INFORMATION SYSTEMS ASSOCIATES, INC. FL 4.01,9.01 01/31/13 Interactive Intelligence Group, Inc. IN 2.02,9.01 02/04/13 AMEND Invesco Mortgage Capital Inc. MD 2.02,9.01 02/05/13 IPG PHOTONICS CORP DE 7.01 02/04/13 JEFFERSON BANCSHARES INC TN 2.02,9.01 01/31/13 Jive Software, Inc. DE 2.02,9.01 02/05/13 JPMORGAN CHASE & CO DE 3.03,5.03,8.01,9.01 02/05/13 K12 INC DE 2.02,9.01 02/05/13 KELLOGG CO DE 2.02,9.01 02/05/13 KELLOGG CO DE 7.01,9.01 02/05/13 KERYX BIOPHARMACEUTICALS INC DE 8.01,9.01 01/30/13 KEY ENERGY SERVICES INC MD 7.01,9.01 02/05/13 KIMCO REALTY CORP MD 2.02 02/05/13 KINDER MORGAN ENERGY PARTNERS L P DE 1.01 01/29/13 AMEND KKR Financial Holdings LLC DE 2.02,8.01,9.01 02/05/13 KNOLL INC DE 2.02,7.01,9.01 02/05/13 KVH INDUSTRIES INC \DE\ DE 1.01,9.01 01/30/13 LA JOLLA PHARMACEUTICAL CO CA 8.01,9.01 02/05/13 LACLEDE GROUP INC MO 2.02,7.01,9.01 02/05/13 Laredo Petroleum Holdings, Inc. DE 7.01,9.01 02/05/13 LaSalle Hotel Properties MD 5.02 02/05/13 LEAR CORP DE 1.01,2.03,9.01 01/30/13 LENNAR CORP /NEW/ DE 8.01 02/04/13 LENNOX INTERNATIONAL INC DE 2.02,9.01 02/05/13 Liberty Interactive Corp 7.01,9.01 01/30/13 Liberty Media Corp DE 7.01,9.01 01/30/13 LIBERTY PROPERTY TRUST MD 2.02,9.01 02/05/13 LIBERTY PROPERTY TRUST MD 8.01,9.01 02/05/13 Linkwell CORP FL 4.01,9.01 02/05/13 LITTELFUSE INC /DE DE 2.02,9.01 02/05/13 LITTLEFIELD CORP DE 8.01 02/05/13 MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 02/05/13 Macy's, Inc. DE 5.02 02/05/13 MAD CATZ INTERACTIVE INC Z4 2.02,9.01 02/05/13 MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 02/05/13 MANAGED FUTURES PREMIER ABINGDON L.P. NY 3.02 02/01/13 Managed Futures Premier BHM L.P. DE 3.02 02/01/13 MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 02/01/13 Manitex International, Inc. MI 1.01,2.03,9.01 01/31/13 MARKWEST ENERGY PARTNERS L P 1.01,7.01,8.01,9.01 01/30/13 MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 02/05/13 Matador Resources Co TX 2.02,7.01,9.01 02/05/13 MAXLINEAR INC 2.02,9.01 02/05/13 MCGRAW-HILL COMPANIES INC NY 8.01,9.01 02/05/13 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 02/04/13 Measurement Specialties Inc NJ 2.02,9.01 02/05/13 MEDICAL ALARM CONCEPTS HOLDINGS INC NV 7.01 02/04/13 MERITOR INC IN 2.02,7.01,9.01 02/05/13 METHODE ELECTRONICS INC DE 7.01,9.01 02/05/13 MICRON TECHNOLOGY INC DE 7.01,9.01 02/05/13 MICRON TECHNOLOGY INC DE 7.01,9.01 02/05/13 Midway Gold Corp A1 7.01,9.01 02/05/13 MIPS TECHNOLOGIES INC DE 8.01,9.01 02/05/13 ML Transtrend DTP Enhanced FuturesAcc DE 3.02 01/31/13 MMRGlobal, Inc. DE 8.01 02/04/13 Molycorp, Inc. DE 8.01 02/05/13 MUELLER INDUSTRIES INC DE 2.02,9.01 02/05/13 Mueller Water Products, Inc. DE 2.02,9.01 02/05/13 MULTI COLOR Corp OH 2.02,8.01,9.01 02/01/13 MUNICIPAL MORTGAGE & EQUITY LLC DE 3.02 01/29/13 MYRIAD GENETICS INC DE 2.02,8.01,9.01 02/05/13 Nationstar Mortgage Holdings Inc. DE 8.01,9.01 02/04/13 NAVARRE CORP /MN/ MN 2.02,9.01 02/04/13 NEPHROS INC DE 1.01,2.03,9.01 02/04/13 NETSUITE INC DE 1.01,9.01 02/01/13 NEUSTAR INC 2.02,7.01,9.01 02/05/13 NEWLINK GENETICS CORP 8.01,9.01 02/04/13 NEWS CORP 8.01,9.01 02/05/13 NII HOLDINGS INC DE 2.02,7.01,8.01,9.01 02/05/13 Noble Corp / Switzerland V8 5.02,9.01 02/01/13 NORTH BAY RESOURCES INC DE 1.01,9.01 01/28/13 NORTHEAST UTILITIES MA 8.01,9.01 02/05/13 NUPATHE INC. DE 1.01,8.01,9.01 01/31/13 NYSE Euronext DE 2.02,9.01 02/05/13 OFFICIAL PAYMENTS HOLDINGS, INC. DE 2.02,9.01 02/05/13 OneBeacon Insurance Group, Ltd. 2.02,9.01 02/05/13 OneBeacon Insurance Group, Ltd. 2.02,9.01 02/05/13 ONLINE RESOURCES CORP DE 9.01 01/30/13 AMEND Opexa Therapeutics, Inc. TX 1.01,7.01,9.01 02/04/13 Opko Health, Inc. DE 1.01,2.03,3.02,8.01, 01/30/13 9.01 ORACLE CORP 5.02 02/04/13 ORGANOVO HOLDINGS, INC. DE 8.01,9.01 02/05/13 PACIFIC BIOSCIENCES OF CALIFORNIA INC 2.02,9.01 02/05/13 PACIFIC BIOSCIENCES OF CALIFORNIA INC 2.02,9.01 02/05/13 PACIFIC BIOSCIENCES OF CALIFORNIA INC 1.01,2.03,3.02,9.01 02/05/13 PAID INC DE 1.01,2.01,9.01 01/31/13 PANERA BREAD CO DE 5.02 02/05/13 PANERA BREAD CO DE 2.02,7.01,9.01 02/05/13 PANTRY INC DE 2.02,9.01 02/05/13 PARK ELECTROCHEMICAL CORP NY 1.01,8.01,9.01 01/30/13 PARTNERRE LTD 8.01 01/30/13 Patriot Coal CORP DE 5.02,9.01 01/30/13 PDC ENERGY, INC. NV 1.01,2.02,8.01,9.01 02/04/13 PENN NATIONAL GAMING INC PA 8.01 01/30/13 PHOTOMEDEX INC DE 8.01,9.01 02/05/13 Pike Electric CORP 2.02,9.01 02/05/13 PINNACLE AIRLINES CORP DE 5.02,9.01 02/05/13 PopBig, Inc. DE 4.01,9.01 01/31/13 POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 02/05/13 POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 02/05/13 POST PROPERTIES INC GA 2.02,9.01 02/04/13 POTOMAC FUTURES FUND LP NY 3.02 02/01/13 POWER ONE INC DE 1.01,2.03,9.01 01/30/13 PRAXAIR INC DE 8.01,9.01 02/05/13 Propell Technologies Group, Inc. DE 1.01,2.01,3.02,9.01 02/04/13 Protalix BioTherapeutics, Inc. FL 7.01,9.01 02/05/13 PROVIDENT FINANCIAL SERVICES INC DE 5.02,9.01 01/31/13 PyroTec, Inc. DE 1.01,1.02,2.01,3.02, 01/31/13 5.01,5.02,9.01 QKL Stores Inc. DE 3.03,5.03,8.01,9.01 02/04/13 RAMBUS INC DE 5.02,9.01 02/04/13 Real Goods Solar, Inc. CO 5.02,9.01 02/04/13 REGAL BELOIT CORP WI 2.02,9.01 02/04/13 REMY INTERNATIONAL, INC. DE 5.02,9.01 01/31/13 RESOURCE EXCHANGE OF AMERICA CORP. FL 3.03,5.03 01/31/13 AMEND Revel AC, Inc. DE 1.01,9.01 01/30/13 REVLON CONSUMER PRODUCTS CORP DE 8.01,9.01 02/05/13 REVLON CONSUMER PRODUCTS CORP DE 2.02 02/05/13 REVLON INC /DE/ DE 2.02,9.01 02/05/13 REVLON INC /DE/ DE 8.01,9.01 02/05/13 RING ENERGY, INC. NV 9.01 11/19/12 AMEND RJS Development, Inc. FL 4.01,9.01 01/10/13 ROCKWELL MEDICAL, INC. MI 8.01,9.01 02/04/13 Rose Rock Midstream, L.P. DE 9.01 01/08/13 AMEND Rosetta Resources Inc. DE 7.01,9.01 02/04/13 SAIA INC DE 7.01,9.01 01/30/13 SAKS INC TN 5.02,9.01 02/04/13 SCIENTIFIC GAMES CORP DE 1.01,9.01 01/30/13 Select Income REIT MD 1.01,2.03,8.01,9.01 02/04/13 Select Notes Trust LT 2004-1 DE 8.01,9.01 02/01/13 SELECTIVE INSURANCE GROUP INC NJ 8.01 02/05/13 SELECTIVE INSURANCE GROUP INC NJ 8.01,9.01 02/05/13 Shire plc 8.01,9.01 02/05/13 ShoreTel Inc CA 5.07 11/02/12 SHUTTERFLY INC DE 2.02,9.01 02/05/13 SILICON IMAGE INC DE 2.02,9.01 02/05/13 SIRIUS XM RADIO INC. DE 2.02,9.01 02/05/13 SLM CORP DE 8.01,9.01 02/05/13 SMITHFIELD FOODS INC VA 1.01,2.03 01/31/13 Snap Interactive, Inc DE 1.01,9.01 01/31/13 SOHU COM INC DE 1.02,2.02,5.02,9.01 02/03/13 Solar Senior Capital Ltd. MD 7.01,9.01 02/05/13 Somaxon Pharmaceuticals, Inc. DE 1.01,7.01,9.01 02/01/13 SPARTON CORP OH 2.02,7.01,9.01 02/05/13 Spectra Energy Corp. DE 2.02,9.01 02/05/13 Spectra Energy Partners, LP DE 2.02,9.01 02/05/13 STANLEY FURNITURE CO INC. DE 2.02,9.01 02/05/13 STATE INVESTORS BANCORP, INC. 2.02,9.01 02/05/13 STEINWAY MUSICAL INSTRUMENTS INC DE 5.02,5.07,9.01 01/30/13 StrikeForce Technologies Inc. WY 5.03 02/04/13 SunCoke Energy Partners, L.P. DE 2.02,7.01,9.01 02/05/13 SunCoke Energy, Inc. 2.02,7.01,9.01 02/05/13 SUNLINK HEALTH SYSTEMS INC OH 5.02,7.01,9.01 02/05/13 Symetra Financial CORP DE 7.01,9.01 02/05/13 SYNALLOY CORP DE 2.02,9.01 02/04/13 SYNIVERSE HOLDINGS INC DE 1.01,2.03 02/05/13 TABLE TRAC INC NV 8.01 12/18/12 TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 02/05/13 TAMM Oil & Gas Corp. NV 5.02,8.01 02/05/13 TEAM HEALTH HOLDINGS INC. DE 2.02,9.01 02/05/13 TECHNE CORP /MN/ MN 2.02,9.01 02/05/13 TECHNE CORP /MN/ MN 8.01,9.01 02/05/13 TECO ENERGY INC FL 2.02,9.01 02/05/13 TECO ENERGY INC FL 5.02 01/30/13 TENET HEALTHCARE CORP NV 1.01,2.03,8.01,9.01 02/05/13 Texas Gulf Energy Inc NV 7.01,9.01 02/05/13 THORATEC CORP CA 2.02,9.01 02/05/13 THQ INC DE 5.02 02/05/13 TIDEWATER INC DE 2.02,9.01 02/01/13 TJX COMPANIES INC /DE/ DE 5.02 02/01/13 TMS International Corp. DE 7.01 02/05/13 TOWERSTREAM CORP DE 8.01,9.01 02/05/13 TRANS WORLD ENTERTAINMENT CORP NY 5.02 02/03/13 TRANSACT TECHNOLOGIES INC DE 2.02,9.01 02/04/13 TRANSATLANTIC PETROLEUM LTD. D0 5.02,9.01 01/31/13 Transocean Ltd. V8 7.01 02/05/13 Travelport LTD D0 5.02 01/31/13 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 02/05/13 Truewest Corp NV 4.01,9.01 01/25/13 TTM TECHNOLOGIES INC WA 2.02,9.01 02/05/13 TUESDAY MORNING CORP/DE DE 5.02,7.01,9.01 02/04/13 TYSON FOODS INC DE 5.02,5.07 02/01/13 UDR, Inc. MD 2.02,7.01,9.01 02/05/13 United Community Bancorp 2.02,9.01 02/04/13 UNITED COMMUNITY FINANCIAL CORP OH 1.02,8.01,9.01 01/31/13 UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 02/04/13 UNIVERSAL BIOSENSORS INC DE 5.02 02/05/13 UNIVERSAL CORP /VA/ VA 2.02,8.01,9.01 02/04/13 UNS Energy Corp AZ 8.01 02/04/13 Unum Group DE 2.02,9.01 02/05/13 US AIRWAYS GROUP INC DE 2.02,9.01 02/05/13 US ECOLOGY, INC. DE 1.01,2.03,9.01 01/30/13 USA TECHNOLOGIES INC PA 2.02,9.01 01/29/13 USA TRUCK INC DE 5.02 01/30/13 USANA HEALTH SCIENCES INC UT 2.02,9.01 02/05/13 VALERO ENERGY CORP/TX DE 7.01,9.01 02/05/13 Vanguard Natural Resources, LLC DE 1.01,9.01 02/05/13 VASCULAR SOLUTIONS INC MN 2.02,9.01 02/05/13 VECTOR GROUP LTD DE 7.01,9.01 02/04/13 VECTREN CORP IN 8.01 02/04/13 VERINT SYSTEMS INC DE 2.01,5.02,5.03,5.07, 02/04/13 8.01,9.01 VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 02/05/13 VITESSE SEMICONDUCTOR CORP DE 9.01 02/05/13 Vocus, Inc. DE 2.02,9.01 02/05/13 WABASH NATIONAL CORP /DE DE 2.02,9.01 02/05/13 WALT DISNEY CO/ DE 2.02,9.01 02/05/13 Warner Chilcott plc 8.01,9.01 02/05/13 WARWICK VALLEY TELEPHONE CO NY 8.01,9.01 02/04/13 WashingtonFirst Bankshares, Inc. VA 3.02 02/05/13 AMEND WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 02/05/13 XZERES Corp. NV 5.02 02/01/13 Yinfu Gold Corp. WY 1.01,9.01 01/31/13 YOUNG INNOVATIONS INC MO 2.01,3.01,3.03,5.01, 01/30/13 5.03,5.07,8.01,9.01 ZILLOW INC WA 7.01 02/05/13 Zinco do Brasil, Inc. DE 1.01,3.02 02/05/13 ZOLTEK COMPANIES INC DE 2.02,5.07,9.01 01/31/13 ZYNGA INC DE 2.02,9.01 02/05/13