Suspension of Trading in the Matter of Southern USA Resources, Inc.
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order of Suspension of Trading (Order) in the Matter of Southern USA Resources, Inc. (Southern USA). The Order finds that there appears to be a lack of current and accurate information concerning the securities of Southern USA (ticker symbol SUSA) because of questions that have been raised about the accuracy of assertions by Southern USA Resources, and by others, in press releases and other public statements to investors, and in promotional mailers, concerning, among other things: (i) the company’s operations; and (ii) the company’s outstanding shares. Pursuant to Section 12(k) of the Securities Exchange Act, the Commission temporarily suspended trading in the securities of Southern USA for the period from 9:30 a.m. EST, on March 1, 2013, through 11:59 p.m. EDT on March 14, 2013. (Rel. 34-69010)
Steven Harris and Jay Hanson Reappointed to PCAOB
The Securities and Exchange Commission today announced that Public Company Accounting Oversight Board members Steven B. Harris and Jay D. Hanson have been reappointed for five-year terms.
The PCAOB, established by the Sarbanes-Oxley Act of 2002, oversees the audits of the financial statements of public companies and broker-dealers through registration, standard setting, inspection, and disciplinary programs. The Commission selects members and the chair of the PCAOB after consultation with the Treasury Department and the Federal Reserve Board.
“I’m pleased to join my fellow commissioners in reappointing Steve and Jay to serve as PCAOB board members, and I look forward to their continued service in a second term,” said SEC Chairman Elisse B. Walter. “Steve has provided important institutional continuity as the longest-serving Board member who played a key role in helping to shape the law that created the PCAOB. Jay’s depth of expertise in auditing issues from his more than 30 years of prior private practice already has been an invaluable contribution to the Board’s efforts.”
SEC Chief Accountant Paul Beswick added, “The Board has a number of important initiatives underway as it embarks on its second decade of overseeing auditors of companies subject to the securities laws. We are very pleased to be able to continue to work with Steve, Jay, and the rest of the Board on these initiatives.”
Mr. Harris was appointed to the PCAOB in 2008. He was previously Senior Vice President and Special Counsel for APCO Worldwide, where he advised clients on matters relating to financial transactions, corporate governance, crisis management, investigations, foreign investment, trade promotion, and government affairs. For more than 15 years, Mr. Harris served as a Staff Director and Chief Counsel of the U.S. Senate Committee on Banking, Housing, and Urban Affairs. He also served as a Staff Director and Chief Counsel to the Securities Subcommittee. He worked on all of the legislation, investigations, and oversight conducted by the committee from 1981 to 2007. Mr. Harris was a counsel to Senator Donald W. Riegle, Jr. from 1979 to 1981, and served as a counsel to Congresswoman Barbara Jordan and as a representative to the National Commission for the Review of Antitrust Laws and Procedures from 1978 to 1979. He graduated with honors from Dartmouth College and earned an LL.B. from George Washington University.
Mr. Hanson was appointed to the PCAOB in 2011. He previously spent nearly 32 years at McGladrey & Pullen LLP, where he worked with a variety of clients ranging from small nonprofit organizations to large multi-national public companies. Mr. Hanson served as the National Director of Accounting, overseeing the firm’s accounting guidance and training practices, as well as leader of the firm’s Accounting Standards Group. He served as a member of the Emerging Issues Task Force of the Financial Accounting Standards Board (FASB) from 2006 to 2011. He also was a member of the Financial Reporting Executive Committee of the American Institute of Certified Public Accountants (AICPA) from 2005 to 2011, serving as chairman for the final three years of his tenure. Mr. Hanson is a certified public accountant licensed to practice in his home state of Minnesota. He graduated from Concordia College in Moorhead, Minn., with a B.A. in Business Administration, Accounting and Mathematics.
Mr. Harris is reappointed to a second term ending Oct. 24, 2017, and Mr. Hanson is reappointed to a second term ending Oct. 24, 2018. (Press Rel. 2013-31)
SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers
The Securities and Exchange Commission today published a request for data and other information to assist the agency in considering whether to make new rules about the standards of conduct and regulatory obligations for broker-dealers and investment advisers when they provide personalized investment advice about securities to retail customers.
“Studies have shown that few investors realize that the standard of care they receive depends on the type of investment professional they use. And often investors do not know which type of financial professional they are relying on,” said SEC Chairman Elisse B. Walter. “This request for information will help us in our ongoing consideration of alternative standards of conduct for certain broker-dealers and investment advisers, as well as potential harmonization of other aspects of regulation in this area.”
Specifically, the SEC is requesting data and other information from the public and interested parties about the benefits and costs of the current standards of conduct for broker-dealers and investment advisers when providing advice to retail customers, as well as alternative approaches to the standards of conduct.
While the SEC is particularly interested in receiving empirical and quantitative data and other information, all interested parties are encouraged to submit comments, including qualitative and descriptive analysis of the benefits and costs of potential approaches and guidance.
The SEC recognizes that retail investors are unlikely to have significant empirical and quantitative information, and welcomes any information they would like to provide. Commenters should only submit information that they wish to make publicly available. The public comment period will remain open for 120 days following publication of the request for data and other information in the Federal Register. (Press Rel. 2013-32)
In the Matter of Ward Onsa
On March 1, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Ward Onsa.
In the Order, the Division of Enforcement alleges that Onsa pleaded guilty to one count of securities fraud in violation of Title 15 U.S.C. §§ 78j(b) and 78ff, before the United States District Court for the Eastern District of New York, in United States of America v. Onsa, Case Number 10-CR-730. In his guilty plea, Onsa admitted that he formed New Century Hedge Fund Partners I, L.P., (the Fund) in or about May 2004 and told investors in the Fund that he would purchase securities consistent with a “bearish” view of the stock markets and he guaranteed Fund investors a 25 percent annual return on capital. Onsa also admitted that contrary to representations he made to investors, his trading in the Fund was not successful and when the Fund became insolvent, he continued to solicit investors and used new investor money to pay redemptions in Ponzi-like fashion. According to the guilty plea, Onsa also fraudulently inflated account balances communicated to investors.
A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide Onsa with an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. IA-3559; File No. 3-15221)
In the Matter of Nicholas Delbrocco
On March 1, 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 Nicholas Delbrocco. The Order finds that on October 18, 2012 Delbrocco pled guilty to one count of bribing an officer of an employee benefit plan and one count of conspiring to commit mail fraud and honest services mail fraud, in violation of 18 U.S.C. §§ 1954 and 1349, in a criminal action entitled United States v. Nicholas Delbrocco, Case No. 1:12-CR-00448-SL in the United States District Court for the Northern District of Ohio. Delbrocco, a resident of North Kingstown, Rhode Island, was associated with the registered investment advisers New England Asset Management, LLC (NEAM) and Ocean State Asset Management, LLC (OSAM). In connection with his guilty plea, Delbrocco admitted that, inter alia, between 2005 and 2011 he provided airline tickets, frequent flyer miles, theater tickets, rental vehicles, hotel rooms, meals, sporting event tickets, and firearms to a high-ranking union official and his associates in order to obtain and maintain investment management business for NEAM and OSAM. Delbrocco’s sentencing hearing has not yet been scheduled.
Based on the above, the Order bars Delbrocco from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Delbrocco consented to the issuance of the Order. (Rel. IA-3560; File No. 3-15222)
In the Matter of Wendell A. Jacobson
On March 1, 2013 the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Wendell A. Jacobson (Jacobson). The Order finds that on December 18, 2012 a Final Judgment was entered by consent against Jacobson, permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Management Solutions, Inc., et al., Civil Action Number 2:11-CV-1165, in the United States District Court for the District of Utah. Jacobson consented to the entry of the Final Judgment in the civil action.
The Commission’s complaint alleged that, in connection with the sale of membership interests in limited liability companies, Jacobson misused and misappropriated investor funds and failed to disclose to investors that their funds would be pooled with other investor funds that, after commingling and pooling investor funds, Jacobson would redirect in order to pay operating expenses of the numerous entities and promised returns to earlier investors. The complaint also alleged that Jacobson sold unregistered securities and acted as an unregistered broker or dealer.
Based on the above, the Order bars Jacobson from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Additionally, the Order bars Jacobson 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. Jacobson consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-69014; File No. 3-15223)
In the Matter of Allen R. Jacobson
On March 1, 2013 the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Allen R. Jacobson (Jacobson). The Order finds that on December 18, 2012 a Final Judgment was entered by consent against Jacobson, permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Management Solutions, Inc., et al., Civil Action Number 2:11-CV-1165, in the United States District Court for the District of Utah. Jacobson consented to the entry of the Final Judgment in the civil action.
The Commission’s complaint alleged that, in connection with the sale of membership interests in limited liability companies, Jacobson misused and misappropriated investor funds and failed to disclose to investors that their funds would be pooled with other investor funds that, after commingling and pooling investor funds, Jacobson would redirect in order to pay operating expenses of the numerous entities and promised returns to earlier investors. The complaint also alleged that Jacobson sold unregistered securities and acted as an unregistered broker or dealer.
Based on the above, the Order bars Jacobson from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Additionally, the Order bars Jacobson 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. Jacobson consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-69015; File No. 3-15224)
Commission Declares Decision as to Omar Ali Rizvi Final
The Commission has declared final the initial decision of an administrative law judge barring Omar Ali Rizvi from associating with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization and from participating in a penny stock offering. The initial decision found that on July 24, 2012, Rizvi was permanently enjoined by a federal district court from violating Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court also ordered Rizvi along with other defendants to disgorge jointly and severally $1,815,885 plus prejudgment interest of $786,571.06. SEC v. Rizvi, No. 8:10-cv-01632-JVS-FFM (Judgment).
Rizvi, a resident of California, was the managing director of a California LLC that he had formed in 2002, as a business development and management consulting company. He also incorporated in 2002 an unregistered investment adviser in Maryland with its principal place of business in California. Rizvi assembled a team of unregistered brokers who used a script to contact potential investors through the use of cold calling in order to promote pre-IPO investment opportunities to raise money for his unregistered investment adviser. The unregistered securities offerings raised $1,973,385 from 172 investors.
The law judge found that it was necessary and appropriate for the protection of investors to limit Rizvi's participation in the securities industry to the maximum extent possible. (Rel. 34-69019; IA-3561; File No. 3-14984)
Commission Dismisses Appeal Filed By Julio C. Ceballos
The Commission has dismissed an application for review of FINRA disciplinary action filed by Julio C. Ceballos. In March 2010, FINRA barred Ceballos from association with any FINRA member in any capacity because he failed to provide FINRA with information it had requested pursuant to FINRA Rule 8210. The Commission dismissed the appeal because Ceballos failed to file a timely application for review and exhaust his administrative remedies before FINRA. (Rel. 34-69020; File No. 3-15086)
SEC Charges Bay Area Real Estate Fund Managers With $85 Million Fraud
On February 28, 2013, the Securities and Exchange Commission charged three Bay Area real estate fund managers with fraud for secretly using the assets of a new real estate fund to rescue an older, rapidly collapsing fund.
The SEC alleges that Walter Ng, his son Kelly Ng, and Bruce Horwitz lured investors into their real estate fund called Mortgage Fund ‘08 LLC (MF08) by claiming it was safe and secure and would replicate the success of their earlier real estate fund, R.E. Loans LLC. In reality, R.E. Loans could no longer make payouts to its investors, so the Ngs funneled millions of dollars from MF08 to prop up R.E. Loans. The Ngs and Horwitz falsely touted both funds’ performance in their effort to continue raising money. They raised more than $85 million during an 18-month period from investors primarily living in the San Francisco area.
According to the SEC’s complaint filed in federal court in Oakland, the Ngs and Horwitz promoted the MF08 fund in the midst of the 2008 financial crisis as a new opportunity to invest in conservatively underwritten commercial real estate loans secured by deeds of trust. But the Ngs and their advisory firm, The Mortgage Fund LLC, immediately began transferring money raised by MF08 to R.E. Loans so that they could afford distributions to investors in that fund. From December 2007 to March 2008, the Ngs transferred almost $39 million from MF08 to R.E. Loans. They later attempted to justify the transfers by claiming MF08 had purchased three loans from R.E. Loans that totaled around $39 million.
The SEC further alleges that both the Ngs and Horwitz lured investors into MF08 by making false claims about its performance and the R.E. Loans fund’s performance. What investors did not know was that both R.E. Loans and MF08 began to experience significant and dramatic borrower defaults in 2008. For example, the percentage of the R.E. Loans portfolio that was either delinquent or in default increased from 19 percent in January 2008 to 48 percent in August 2008. The percentage of the MF08 portfolio that was delinquent increased from 16 percent in March 2008 to 74 percent in mid-June 2008.
The SEC alleges that despite the funds’ rapidly disintegrating portfolios, the Ngs and Horwitz repeatedly assured investors that R.E. Loans and MF08 were performing well and the underlying loans were safe and secure. For example, both Walter Ng and Horwitz touted the funds’ purportedly positive performance at a June 2008 investor dinner in Oakland’s Chinatown. Additionally, Walter Ng and Kelly Ng in July 2008 characterized MF08 as a “fantastic success” even though more than 70 percent of its loan portfolio was delinquent by that time.
The SEC’s complaint charges Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund with violating the antifraud provisions of the federal securities laws, and seeks injunctive relief, disgorgement of wrongful profits, and financial penalties. [SEC v. Walter Ng, Kelly Ng, Bruce Horwitz, and The Mortgage Fund, LLC, C-13 0895-NC (U.S. District Court for the Northern District of California)] (LR-22628)
Former Officer of Massachusetts-Based LocatePlus Holdings Corporation Sentenced to 60 Months’ Imprisonment for Securities Fraud
The Securities and Exchange Commission (Commission) announced today that, on February 26, 2013, the Honorable Douglas P. Woodlock of the United States District Court for the District of Massachusetts sentenced James C. Fields of Brookline, Massachusetts, to 60 months imprisonment, to be followed by three years of supervised release, and the payment of restitution to be determined at a later hearing. Fields is the former chief financial officer and former chief executive officer of LocatePlus Holdings Corporation, a Massachusetts-based information technology company that sold on-line access to public record databases for investigative searches. Fields was found guilty after a jury trial and was sentenced on 28 criminal charges including securities fraud, false statements to company auditors, false statements and false certifications in SEC filings.
On November 10, 2010, the United States Attorney’s Office for the District of Massachusetts charged Fields and former LocatePlus chief executive officer Jon Latorella with conspiracy to commit securities fraud for their role in a scheme to fraudulently inflate revenue at LocatePlus as well as a scheme to manipulate the stock of another company. On the same date, the Commission amended a previously-filed civil injunctive action against LocatePlus arising out of the same conduct, to add both Fields and Latorella as defendants. The Commission’s civil injunctive action, which is still pending, has been stayed until the conclusion of the criminal cases against Fields and Latorella. [U.S. v. Jon Latorella and James Fields, No. 1:10-CR-1038- DPW (D. Mass); SEC v. LocatePlus Holdings Corporation, Jon Latorella and James Fields, No. 1:10-CV-11751-DPW (D. Mass.)] (LR-22629)
Commission Charges Falcon Ridge Development, Inc. and its President and CEO for Market Manipulation Scheme
The Commission announced that, on March 1, 2013, it charged Falcon Ridge Development, Inc. (“Falcon Ridge”) and its President and CEO, Fred M. Montano, of Albuquerque, New Mexico, with engaging in a fraudulent scheme to manipulate the market for Falcon Ridge’s common stock. Falcon Ridge is a New Mexico real estate company, headquartered in Albuquerque. The United States Attorney for the Eastern District of Pennsylvania separately announced criminal charges involving the same conduct.
The Commission’s action, filed in federal district court in Philadelphia, alleges that, from at least August through November 2008, Montano, who claimed to control Falcon Ridge’s common stock, arranged with an individual (the Cooperator) he believed had connections to corrupt registered representatives to generate purchases of the company’s stock in exchange for cash kickbacks. In reality, the Cooperator was, at all times, secretly cooperating with the FBI. The Commission alleges that, in furtherance of the scheme, Montano paid $1,000 to orchestrate the purchase of 625,000 shares of Falcon Ridge common stock by the Cooperator, in part, through a matched trade designed by Montano to ensure that he received proceeds from the purchases. In addition, Montano shared nonpublic news releases and a confidential shareholder list with the Cooperator, and coordinated the release of news with the illegal purchases in the stock.
The complaint further alleges that Montano engaged in several telephone conversations with the Cooperator in which Montano described his intent and confirmed his involvement in the manipulation. Through these activities, Montano created artificial trading activity, injected artificial information into the marketplace, and created a false impression of supply and demand for Falcon Ridge’s stock.
The complaint alleges violations of Section 17(a)(1) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder against Falcon Ridge and Montano. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains, together with prejudgment interest, and civil penalties against both defendants, and penny stock and officer and director bars against Montano.
The Commission acknowledges and appreciates the assistance of the U.S. Attorney’s Office for the Eastern District of Pennsylvania and the Federal Bureau of Investigation in connection with this matter. [SEC v. Falcon Ridge Development, Inc., et al., Civil Action No. 13-cv-1101 (E.D. Pa.)] (LR-22630)
Market Vectors ETF Trust, et al.
A notice has been issued giving interested persons until March 20, 2013, to request a hearing on an application filed by Market Vectors ETF Trust, et al., for an order to permit: (a) certain open-end management investment companies or series thereof 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 from 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; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (Rel. IC-30409 - February 27)
Triangle Capital Corporation
A notice has been issued giving interested persons until March 20, 2013 to request a hearing on an application filed by Triangle Capital Corporation (Triangle) for an order to amend a prior order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 23(a), 23(b) and 63 of the Act, and under Sections 57(a)(4) and 57(i) of the Act and Rule 17d-1 under the Act authorizing certain joint transactions otherwise prohibited by section 57(a)(4) of the Act (Prior Order). The Prior Order permitted Triangle to issue shares of its restricted common stock as part of the compensation packages for certain of its employees and directors, and certain employees of its wholly-owned consolidated subsidiaries. The amended order would permit Triangle to increase the amount of restricted common stock issued annually to its non-employee directors. (Rel. IC-30410 - February 28)
Forward Funds, et al.
A notice has been issued giving interested persons until March 25, 2013, to request a hearing on an application filed by Forward Funds, et al., for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for exemption from Sections 12(d)(1)(A) and (B) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order would permit certain open-end management investment companies registered under the Act to acquire shares of certain open end management investment companies registered under the Act that are outside of the same group of investment companies as the acquiring investment companies. (Rel. IC-30411 – February 28)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2013-08) to amend EDGA Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in connection with the implementation of the National Market System Plan to Address Extraordinary Market Volatility 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 March 4. (Rel. 34-69002)
A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2013-08) to amend EDGA Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in connection with the implementation of the National Market System Plan to Address Extraordinary Market Volatility 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 March 4. (Rel. 34-69003)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-16) to establish transaction fees for options on Treasury Securities 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 March 4. (Rel. 34-69005)
A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-13) to relocate certain futures and options trading conducted on ICE Futures U.S. from rented space at the New York Mercantile Exchange to the Exchange’s facilities at 20 Broad Street and amending NYSE Rule 6A, which defines the terms Trading Floor” and “NYSE Amex Options Trading Floor” 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 March 4. (Rel. 34-68996)
A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-13) to relocate certain futures and options trading conducted on ICE Futures U.S. from rented space at the New York Mercantile Exchange to the Exchange’s facilities at 20 Broad Street and amending NYSE Rule 6A, which defines the terms Trading Floor” and “NYSE Amex Options Trading Floor” 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 March 4. (Rel. 34-68997)
Proposed Rule Change
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-18) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade fourteen series of the iShares Trust under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of March 4. (Rel. 34-69008)
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-3ASR Interval Leisure Group, Inc., 6262 SUNSET DRIVE, MIAMI, FL, 33143, (305) 666-1861 - 0 ($84,946,934.00) Equity, (File 333-186932 - Feb. 28) (BR. 08C) S-8 MYLAN INC., 1500 CORPORATE DRIVE, CANONSBURG, PA, 15317, 724-514-1800 - 32,800,000 ($927,584,000.00) Equity, (File 333-186933 - Feb. 28) (BR. 01B) S-8 PILGRIMS PRIDE CORP, 1770 PROMONTORY CIRCLE, GREELEY, CO, 80634, 9705068000 - 200,000 ($1,752,000.00) Equity, (File 333-186934 - Feb. 28) (BR. 05C) S-8 ENERNOC INC, 101 FEDERAL STREET, 11TH FLOOR, BOSTON, MA, 02110, (617) 224-9900 - 520,000 ($8,600,800.00) Equity, (File 333-186935 - Feb. 28) (BR. 03A) S-8 Destination Maternity Corp, 456 N 5TH ST, PHILADELPHIA, PA, 19123, 2158732200 - 0 ($18,008,000.00) Equity, (File 333-186937 - Feb. 28) (BR. 09B) S-3ASR EQUINIX INC, ONE LAGOON DRIVE, 4TH FLOOR, REDWOOD CITY, CA, 94065, (650) 598-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186938 - Feb. 28) (BR. 11A) S-3ASR HOME PROPERTIES INC, 850 CLINTON SQ, ROCHESTER, NY, 14604, 5855464900 - 0 ($0.00) Equity, (File 333-186939 - Feb. 28) (BR. 08B) S-3 Cinedigm Digital Cinema Corp., 920 BROADWAY, 9TH FLOOR, NEW YORK, NY, 10010, 973-290-0080 - 2,525,417 ($3,510,330.00) Equity, (File 333-186940 - Feb. 28) (BR. 03A) S-8 CINCINNATI FINANCIAL CORP, 6200 S GILMORE RD, FAIRFIELD, OH, 45014, 5138702000 - 7,000,000 ($311,990,000.00) Equity, (File 333-186941 - Feb. 28) (BR. 01A) F-1 KNOT Offshore Partners LP, ALFORD HOUSE, 1 ALFORD PLACE, ABERDEEN, X0, AB10 1YB, 44 1224 588878 - 0 ($100,000,000.00) Equity, (File 333-186947 - Feb. 28) (BR. 05C) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 0 ($200,000,000.00) Other, (File 333-186948 - Feb. 28) (BR. 09A) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 0 ($764,400.00) Equity, (File 333-186949 - Feb. 28) (BR. 09A) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 0 ($3,057,600.00) Equity, (File 333-186950 - Feb. 28) (BR. 09A) S-8 ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 5742676131 - 0 ($34,206,384.00) Equity, (File 333-186951 - Feb. 28) (BR. 10B) S-3ASR AXIS CAPITAL HOLDINGS LTD, 92 PITTS BAY ROAD, PEMBROKE, D0, HM 08, (441) 496-2600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186952 - Feb. 28) (BR. 01A) S-3ASR STRYKER CORP, 2825 AIRVIEW BLVD, KALAMAZOO, MI, 49002, 2693892600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186953 - Feb. 28) (BR. 10B) S-8 NEUSTAR INC, 21575 RIDGETOP CIRCLE, STERLING, VA, 20166, 571-434-5400 - 0 ($26,718,000.00) Equity, (File 333-186954 - Feb. 28) (BR. 11A) S-8 NEUSTAR INC, 21575 RIDGETOP CIRCLE, STERLING, VA, 20166, 571-434-5400 - 0 ($133,590,000.00) Equity, (File 333-186955 - Feb. 28) (BR. 11A) S-8 COUNTERPATH CORP, 300-505 BURRARD STREET, VANCOUVER, A1, V7X 1M3, 604-320-3344 - 1,800,000 ($3,591,000.00) Equity, (File 333-186956 - Feb. 28) (BR. 03B) S-3 Pzena Investment Management, Inc., 120 WEST 45TH STREET, 20TH FLOOR, NEW YORK, NY, 10036, 212-355-1600 - 529,590 ($3,256,979.00) Equity, (File 333-186957 - Feb. 28) (BR. 12B) S-8 COLUMBIA SPORTSWEAR CO, 14375 NW SCIENCE PARK DRIVE, PORTLAND, OR, 97229, 503 985 4000 - 0 ($84,435,000.00) Equity, (File 333-186958 - Feb. 28) (BR. 09B) S-4 LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817, 3018976000 - 0 ($1,336,384,000.00) Non-Convertible Debt, (File 333-186960 - Feb. 28) (BR. 05C) S-8 Calumet Specialty Products Partners, L.P., 2780 WATERFRONT, PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 - 508,654 ($18,840,544.16) Equity, (File 333-186961 - Feb. 28) (BR. 04B) S-8 BION ENVIRONMENTAL TECHNOLOGIES INC, C/O BOX 566, 1774 SUMMITVIEW WAY, CRESTONE, CO, 81131, (212) 758-6622 - 4,000,000 ($7,600,000.00) Equity, (File 333-186962 - Feb. 28) (BR. 05B) S-8 CEPHEID, 904 CARIBBEAN DRIVE, SUNNYVALE, CA, 94089, 4085414191 - 500,000 ($15,515,000.00) Equity, (File 333-186963 - Feb. 28) (BR. 10A) S-8 REALPAGE INC, 4000 INTERNATIONAL PARKWAY, CARROLLTON, TX, 75007-1913, 972-820-3923 - 1,200,000 ($25,896,000.00) Equity, (File 333-186964 - Feb. 28) (BR. 03B) S-4 APARTMENT INVESTMENT & MANAGEMENT CO, 4582 S ULSTER ST PARKWAY, DENVER, CO, 80237, 3037578101 - 0 ($10,400,306.63) Equity, (File 333-186965 - Feb. 28) (BR. 08C) S-8 REVA Medical, Inc., 5751 COPLEY DRIVE, SAN DIEGO, CA, 92111, (858) 966-3000 - 0 ($5,766,594.00) Equity, (File 333-186966 - Feb. 28) (BR. 10B) S-8 NetApp, Inc., 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 145,595 ($4,924,751.00) Equity, (File 333-186967 - Feb. 28) (BR. 03A) S-8 MAKO Surgical Corp., 2555 DAVIE ROAD, FT. LAUDERDALE, FL, 33317, 954-927-2044 - 1,880,930 ($21,047,606.70) Equity, (File 333-186968 - Feb. 28) (BR. 10B) S-3ASR GEORGIA POWER CO, 241 RALPH MCGILL BOULEVARD, ATLANTA, GA, 30308, 4045066526 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186969 - Feb. 28) (BR. 02A) S-8 ORACLE CORP, 500 ORACLE PARKWAY, MAIL STOP 5 OP 7, REDWOOD CITY, CA, 94065, 6505067000 - 3,293,744 ($88,429,659.52) Equity, (File 333-186971 - Feb. 28) (BR. 03B) S-8 NETSUITE INC, 2955 CAMPUS DR, STE 100, SAN MATEO, CA, 94403, 650-627-1000 - 2,752,087 ($186,481,415.12) Equity, (File 333-186972 - Feb. 28) (BR. 03B) S-8 COHU INC, 12367 CROSTHWAITE CIRCLE, POWAY, CA, 92064-6817, 858-848-8100 - 0 ($14,210,000.00) Equity, (File 333-186973 - Feb. 28) (BR. 10A) S-8 COMMERCIAL METALS CO, 6565 N. MACARTHUR BLVD., SUITE 800, P O BOX 1046, IRVING, TX, 75039, 2146894300 - 0 ($257,197,500.00) Equity, (File 333-186974 - Feb. 28) (BR. 06B)
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 ----------------------------------------------------------------------------------------- 3D SYSTEMS CORP DE 7.01,8.01,9.01 02/27/13 ABBY INC. 4.01,9.01 02/22/13 ABBY INC. 1.02,5.02,9.01 01/28/13 AMEND ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 02/28/13 ACL SEMICONDUCTORS INC 4.01,8.01,9.01 02/22/13 ACME UNITED CORP CT 2.02,9.01 02/28/13 ADAMS RESOURCES & ENERGY, INC. DE 5.03 09/26/12 Addus HomeCare Corp DE 7.01,9.01 02/28/13 AFC ENTERPRISES INC MN 2.02,9.01 02/27/13 Affinion Group Holdings, Inc. DE 2.02,9.01 02/28/13 AGENUS INC DE 2.02,9.01 02/28/13 AGREE REALTY CORP DE 2.02,9.01 02/27/13 AIR LEASE CORP DE 2.02,9.01 02/28/13 AIR LEASE CORP DE 8.01,9.01 02/28/13 AIR METHODS CORP DE 2.02,9.01 02/28/13 AK STEEL HOLDING CORP DE 4.01,9.01 02/22/13 AK STEEL HOLDING CORP DE 4.01,9.01 02/28/13 AMEND ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 02/28/13 Alexander & Baldwin, Inc. HI 2.02,9.01 02/28/13 ALEXANDERS INC DE 5.02,9.01 02/27/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/28/13 Allied World Assurance Co Holdings, A 7.01,9.01 02/28/13 Alphatec Holdings, Inc. DE 2.02,9.01 02/28/13 AMARIN CORP PLC\UK X0 2.02,9.01 02/28/13 Ameresco, Inc. DE 7.01,9.01 02/28/13 AMERICAN AIRLINES INC DE 7.01,9.01 02/28/13 AMERICAN AXLE & MANUFACTURING HOLDING DE 8.01,9.01 02/28/13 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 02/28/13 American Realty Capital Properties, I MD 2.02,7.01,9.01 02/28/13 American Realty Capital Properties, I MD 7.01,8.01,9.01 02/28/13 American Realty Capital Properties, I MD 7.01,9.01 02/28/13 AMEND AMERICAN STATES WATER CO CA 2.02,9.01 02/28/13 AMP Holding Inc. NV 1.01,3.02,9.01 02/21/13 AMR CORP DE 7.01,9.01 02/28/13 AMYRIS, INC. DE 5.02 02/22/13 ANIKA THERAPEUTICS INC MA 5.02,9.01 02/22/13 Anpulo Food Development, Inc. 5.03,9.01 02/21/13 ANSYS INC DE 2.02,9.01 12/31/12 APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 02/28/13 Apollo Commercial Real Estate Finance MD 2.02,9.01 02/27/13 AQUALIV TECHNOLOGIES, INC. NV 3.03,9.01 02/28/13 ARAMARK CORP DE 1.01,9.01 02/22/13 ARC DOCUMENT SOLUTIONS, INC. DE 2.02,9.01 02/28/13 ARCA biopharma, Inc. DE 5.07 02/25/13 ARTHROCARE CORP DE 8.01 02/27/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/28/13 ASSURED GUARANTY LTD D0 2.02,9.01 02/27/13 ATHERSYS, INC / NEW DE 5.07 02/28/13 Atlas Energy, L.P. DE 9.01 12/20/12 AMEND ATLAS PIPELINE PARTNERS LP DE 9.01 12/20/12 AMEND ATOSSA GENETICS INC DE 3.02 02/25/13 AtriCure, Inc. DE 2.02,9.01 02/28/13 Avery Dennison Corp DE 5.02,5.03,9.01 02/27/13 AVX Corp DE 5.02 02/28/13 AXESSTEL INC NV 2.02,9.01 02/28/13 AZZ INC TX 1.01,7.01,9.01 02/22/13 BankGuam Holding Co 8.01,9.01 02/25/13 BARNES & NOBLE INC DE 2.02,9.01 02/28/13 Baron Energy Inc. NV 3.02,5.02 02/21/13 BERRY PETROLEUM CO DE 2.02,9.01 02/28/13 BIO REFERENCE LABORATORIES INC NJ 2.02,9.01 02/28/13 BIODELIVERY SCIENCES INTERNATIONAL IN DE 4.02 02/25/13 Black Elk Energy Offshore Operations, TX 3.02 02/14/13 BlackRock Kelso Capital CORP DE 8.01,9.01 02/28/13 Blue Earth, Inc. NV 1.01,2.03,3.02,9.01 02/22/13 BOB EVANS FARMS INC DE 5.02 02/28/13 BODY CENTRAL CORP 2.02,5.02,9.01 02/22/13 BOULDER BRANDS, INC. DE 2.02,9.01 02/28/13 BOYD GAMING CORP NV 1.01,9.01 02/28/13 BreitBurn Energy Partners L.P. DE 2.02,9.01 02/28/13 Bridgepoint Education Inc DE 8.01 02/27/13 BSB Bancorp, Inc. MD 8.01,9.01 02/28/13 Buckeye Oil & Gas, Inc. FL 8.01,9.01 02/26/13 BUILD A BEAR WORKSHOP INC DE 8.01 02/26/13 CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 02/28/13 Cactus Ventures, Inc. NV 5.02 02/24/13 CADENCE PHARMACEUTICALS INC 1.01,9.01 02/22/13 Cal Dive International, Inc. DE 2.02,7.01,9.01 02/27/13 CardioGenics Holdings Inc. NV 8.01 02/25/13 CARROLS RESTAURANT GROUP, INC. 2.02,9.01 02/28/13 Catamaran Corp B0 2.02,9.01 02/28/13 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 02/28/13 CBL & ASSOCIATES PROPERTIES INC DE 1.01,2.02,9.01 02/22/13 CEDAR FAIR L P DE 7.01,8.01,9.01 02/28/13 CEDAR FAIR L P DE 8.01,9.01 02/28/13 CELL THERAPEUTICS INC WA 2.02,9.01 02/28/13 Cellteck Inc. NV 1.01,2.03,3.02,8.01, 02/08/13 9.01 CEMPRA, INC. DE 2.02,9.01 02/28/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.03 02/25/13 CENTURY PROPERTIES FUND XIX CA 1.01,9.01 02/28/13 CERUS CORP DE 2.02,9.01 02/28/13 CHART INDUSTRIES INC DE 2.02,7.01,9.01 02/28/13 CHEESECAKE FACTORY INC DE 5.02,8.01,9.01 02/26/13 Chemtura CORP DE 8.01,9.01 02/28/13 CHICAGO BRIDGE & IRON CO N V P7 2.02,9.01 02/27/13 CHICOS FAS INC FL 2.02,8.01,9.01 02/28/13 China Energy Recovery, Inc. DE 1.01 02/25/13 China Media Group CORP TX 5.02 02/28/13 CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 02/25/13 CIRCOR INTERNATIONAL INC DE 2.02 02/28/13 Clean Energy Fuels Corp. DE 2.02,9.01 02/28/13 CLEARONE INC UT 2.02,9.01 02/27/13 Clovis Oncology, Inc. DE 2.02,9.01 02/28/13 ClubCorp Club Operations, Inc. DE 5.02 02/25/13 CNO Financial Group, Inc. DE 5.03,7.01,9.01 02/28/13 COBRA ELECTRONICS CORP DE 5.02 02/22/13 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 02/28/13 Command Center, Inc. WA 5.02,9.01 02/22/13 COMPX INTERNATIONAL INC DE 7.01,9.01 02/27/13 CONCUR TECHNOLOGIES INC DE 1.01,5.02,9.01 02/27/13 CONSOLIDATED EDISON INC NY 8.01,9.01 02/25/13 Continental Resources Group, Inc. DE 8.01,9.01 02/27/13 CONTINENTAL RESOURCES, INC OK 2.02,7.01,9.01 02/27/13 CONTINENTAL RESOURCES, INC OK 5.02 02/22/13 Copano Energy, L.L.C. 2.02,9.01 02/28/13 COPART INC CA 2.02,9.01 02/27/13 COSTAR GROUP INC DE 2.02,5.02,7.01,9.01 02/25/13 COWEN GROUP, INC. DE 2.02,9.01 02/28/13 Crescent Financial Bancshares, Inc. 8.01,9.01 02/28/13 CROSSTEX ENERGY INC DE 7.01,9.01 02/28/13 CROSSTEX ENERGY LP DE 7.01,9.01 02/28/13 CSG SYSTEMS INTERNATIONAL INC DE 1.01 02/25/13 CVR ENERGY INC DE 2.02,9.01 02/27/13 CYTEC INDUSTRIES INC/DE/ DE 8.01,9.01 02/26/13 DECKERS OUTDOOR CORP DE 2.02,9.01 02/28/13 DELL INC DE 5.02,9.01 02/22/13 DESTINATION XL GROUP, INC. DE 7.01,9.01 02/27/13 AMEND DEX ONE Corp DE 3.01,8.01,9.01 02/27/13 DIEBOLD INC OH 5.02 02/22/13 DIGIRAD CORP DE 2.02,9.01 02/28/13 DNB FINANCIAL CORP /PA/ PA 8.01,9.01 02/28/13 DOMINOS PIZZA INC 2.02,9.01 02/28/13 Dresser-Rand Group Inc. DE 2.02,9.01 02/28/13 DRIL-QUIP INC DE 2.02,9.01 02/28/13 DubLi, Inc. NV 5.02 02/26/13 DubLi, Inc. NV 4.02 12/12/12 AMEND Duke Energy CORP DE 8.01,9.01 02/28/13 DURECT CORP DE 2.02,9.01 02/28/13 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 02/27/13 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 02/27/13 EASTMAN KODAK CO NJ 7.01,9.01 01/31/13 EDIETS COM INC DE 5.07 02/27/13 EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 02/28/13 EMERITUS CORP\WA\ WA 2.02,9.01 02/28/13 Employers Holdings, Inc. NV 2.02,8.01,9.01 02/27/13 ENBRIDGE ENERGY MANAGEMENT L L C DE 1.01,7.01,9.01 02/25/13 ENBRIDGE ENERGY PARTNERS LP DE 1.01,9.01 02/25/13 ENDO HEALTH SOLUTIONS INC. DE 2.02,9.01 02/28/13 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 02/28/13 Energy Transfer Equity, L.P. DE 1.01,7.01,9.01 02/27/13 Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 02/27/13 Enertopia Corp. NV 7.01,9.01 02/28/13 ENTECH SOLAR, INC. DE 8.01 12/26/12 ENZON PHARMACEUTICALS INC DE 5.02,9.01 02/28/13 EP Energy LLC DE 2.02,7.01,9.01 02/28/13 EPAM Systems, Inc. DE 2.02,9.01 02/27/13 EPICEPT CORP 2.02,9.01 02/28/13 EPIQ SYSTEMS INC MO 7.01,9.01 02/28/13 EQUITY RESIDENTIAL MD 1.01,2.01,2.03,7.01, 02/27/13 9.01 ERA GROUP INC. DE 2.02,9.01 02/27/13 Esio Water & Beverage Development Cor NV 8.01 02/22/13 ESSA Bancorp, Inc. PA 8.01,9.01 02/27/13 ESSEX PROPERTY TRUST INC MD 8.01 02/28/13 ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 02/28/13 Evolucia Inc. NV 1.01,3.02,5.02,9.01 02/22/13 EWaste Systems, Inc. NV 1.01,9.01 02/26/13 Excel Trust, Inc. MD 2.02,9.01 02/27/13 Fabrinet E9 5.02 02/25/13 Fairmount Bancorp, Inc. MD 5.07 02/26/13 FARMER BROTHERS CO CA 5.02,8.01,9.01 02/22/13 Federal Home Loan Bank of Atlanta X1 2.03 02/25/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/25/13 Federal Home Loan Bank of Dallas 2.03,9.01 02/22/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/26/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/28/13 Federal Home Loan Bank of New York X1 2.03,9.01 02/25/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/25/13 Federal Home Loan Bank of San Francis X1 2.03 02/25/13 FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 02/28/13 Fiesta Restaurant Group, Inc. DE 2.02,9.01 02/28/13 First Clover Leaf Financial Corp. MD 8.01,9.01 02/26/13 First Community Financial Partners, I IL 2.02,9.01 02/28/13 First Connecticut Bancorp, Inc. MD 5.02,9.01 02/28/13 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 02/26/13 FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,8.01 02/22/13 FIRST SOCIAL NETWORX CORP. FL 5.01,5.02 02/27/13 FIRSTENERGY CORP OH 7.01,8.01,9.01 02/28/13 FISHER COMMUNICATIONS INC WA 2.02,9.01 02/28/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 02/28/13 FONU2 Inc. NV 5.02 02/27/13 ForceField Energy Inc. NV 5.03,9.01 02/28/13 Fortune Brands Home & Security, Inc. DE 5.02 02/26/13 FRANKLIN COVEY CO UT 8.01 02/28/13 FREEBUTTON, INC. NV 5.02,9.01 02/25/13 FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 02/28/13 Frozen Food Gift Group, Inc DE 1.01 02/22/13 FUQI INTERNATIONAL, INC. DE 8.01 02/28/13 FutureFuel Corp. DE 8.01,9.01 02/28/13 GAP INC DE 2.02,8.01,9.01 02/28/13 GARDNER DENVER INC DE 7.01,9.01 02/27/13 GEOPETRO RESOURCES CO CA 3.02,9.01 02/15/13 GETTY REALTY CORP /MD/ MD 1.01,1.02,2.02,2.03, 02/25/13 9.01 Gordmans Stores, Inc. DE 5.02 02/26/13 GRANDPARENTS.COM, INC. DE 1.01,2.03,3.02,8.01, 02/26/13 9.01 GRANITE CONSTRUCTION INC DE 2.02,9.01 02/28/13 GREAT PLAINS ENERGY INC MO 2.02,9.01 02/28/13 GREATBATCH, INC. DE 5.02,9.01 02/28/13 GT Advanced Technologies Inc. DE 2.05,2.06 01/10/13 AMEND GTJ REIT, Inc. MD 1.01,9.01 02/22/13 GTJ REIT, Inc. MD 1.01,2.03,9.01 02/22/13 HALCON RESOURCES CORP DE 2.02,9.01 02/28/13 HALLIBURTON CO DE 8.01 02/25/13 HAMPTON ROADS BANKSHARES INC VA 5.02,9.01 02/25/13 Hangover Joe's Holding Corp CO 9.01 07/24/12 AMEND HELMERICH & PAYNE INC DE 7.01,9.01 02/28/13 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 02/28/13 HERTZ CORP DE 2.02,9.01 02/25/13 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 02/25/13 HICKOK INC OH 5.07 02/28/13 Hines Global REIT, Inc. MD 5.02 02/25/13 HINES REAL ESTATE INVESTMENT TRUST IN 5.02,8.01 02/26/13 HollyFrontier Corp DE 7.01,9.01 02/28/13 HOME PROPERTIES INC MD 1.01,9.01 02/28/13 Home System Group 4.02 02/28/13 HUDSON TECHNOLOGIES INC /NY NY 2.02,9.01 02/28/13 Huntsman CORP DE 8.01,9.01 02/28/13 IEC ELECTRONICS CORP DE 1.01,9.01 02/25/13 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 02/28/13 IMAGENETIX INC /NV/ NV 8.01,9.01 02/28/13 IMMERSION CORP DE 2.02,9.01 02/28/13 Immunovative, Inc. FL 4.01,9.01 02/27/13 IMPAC MORTGAGE HOLDINGS INC MD 2.02,7.01,9.01 02/27/13 INDEPENDENT BANK CORP MA 7.01 02/27/13 Inspired Builders, Inc. NV 5.02 02/22/13 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.02,9.01 02/28/13 Integrity Applications, Inc. DE 7.01,9.01 02/28/13 INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 02/28/13 INTELSAT S.A. N4 2.02,9.01 02/28/13 Interactive Brokers Group, Inc. DE 8.01,9.01 02/28/13 INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 02/28/13 INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 02/28/13 INVENTURE FOODS, INC. DE 2.02,9.01 02/28/13 IRIDEX CORP DE 2.02,9.01 02/28/13 Iridium Communications Inc. DE 2.02,9.01 02/28/13 IRON MOUNTAIN INC DE 2.02,9.01 02/28/13 ISIS PHARMACEUTICALS INC DE 2.02,9.01 02/28/13 ISLE OF CAPRI CASINOS INC DE 7.01,9.01 02/28/13 ISSUER DIRECT CORP 2.02,9.01 02/28/13 ITC Holdings Corp. MI 2.02,9.01 02/27/13 ITEX CORP NV 8.01 02/26/13 JARDEN CORP DE 7.01,9.01 02/28/13 JPMORGAN CHASE & CO DE 7.01,9.01 02/26/13 KAR Auction Services, Inc. DE 8.01,9.01 02/28/13 KBS Strategic Opportunity REIT, Inc. MD 2.03 02/22/13 KENTUCKY BANCSHARES INC /KY/ KY 8.01 02/28/13 KEY TECHNOLOGY INC OR 1.01,3.02,9.01 02/24/13 KNIGHT CAPITAL GROUP, INC. DE 8.01,9.01 02/28/13 Kodiak Oil & Gas Corp B0 2.02,9.01 02/28/13 KOHLS Corp WI 2.02,7.01,8.01,9.01 02/28/13 Kraton Performance Polymers, Inc. DE 2.02,9.01 02/28/13 KRONOS WORLDWIDE INC 7.01,9.01 02/27/13 Lake Shore Bancorp, Inc. X1 8.01,9.01 02/26/13 LENCO MOBILE INC. DE 1.01,2.03,3.02,5.02, 01/31/12 9.01 LendingClub Corp DE 5.02,7.01,9.01 02/22/13 LEVEL 3 COMMUNICATIONS INC DE 5.02 02/28/13 LEVEL 3 COMMUNICATIONS INC DE 5.02 02/28/13 AMEND LEXINGTON REALTY TRUST MD 8.01 02/28/13 LIBBEY INC DE 2.05,2.06 02/25/13 LIBERTY ENERGY CORP. NV 5.02 02/25/13 LIN TV CORP. DE 2.02,8.01,9.01 02/28/13 LINN ENERGY, LLC DE 5.02 02/27/13 LIQTECH INTERNATIONAL INC NV 5.02,8.01,9.01 02/26/13 LKQ CORP DE 2.02,9.01 02/28/13 Lone Pine Resources Inc. DE 5.02,7.01,9.01 02/27/13 LPL Financial Holdings Inc. DE 5.03,9.01 02/28/13 LSB INDUSTRIES INC DE 2.02,9.01 02/28/13 Lumos Networks Corp. VA 2.02,7.01,9.01 02/28/13 MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 02/28/13 MAGNEGAS CORP DE 7.01,9.01 02/25/13 MANAS PETROLEUM Corp NV 1.01,3.02,5.02,9.01 02/01/13 Marathon Patent Group, Inc. NV 7.01 02/28/13 MARKWEST ENERGY PARTNERS L P 2.02,9.01 02/27/13 MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 02/28/13 MARTIN MIDSTREAM PARTNERS LP DE 8.01,9.01 02/28/13 MASTERCARD INC DE 5.02 02/25/13 MATERION Corp 2.02,9.01 02/28/13 MATERION Corp 2.02,9.01 02/28/13 AMEND MATTSON TECHNOLOGY INC DE 2.02 02/27/13 MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 02/28/13 MECHANICAL TECHNOLOGY INC NY 5.02 02/22/13 Med One Oak, Inc. DE 4.01,9.01 01/10/13 AMEND MEDIACOM BROADBAND LLC DE 2.02,9.01 02/28/13 MEDIACOM LLC NY 2.02,9.01 02/28/13 MEDICAL PROPERTIES TRUST INC 8.01,9.01 02/28/13 MEDIVATION, INC. DE 2.02,9.01 02/28/13 MENTOR GRAPHICS CORP OR 2.02 02/28/13 METHODE ELECTRONICS INC DE 2.02,9.01 02/28/13 MGIC INVESTMENT CORP WI 2.02,9.01 02/28/13 MIDDLEBY CORP DE 8.01 02/22/13 MIDDLEFIELD BANC CORP OH 5.02 02/22/13 Mill City Ventures III, Ltd MN 5.02 02/26/13 Molycorp, Inc. DE 8.01 02/28/13 MONARCH CASINO & RESORT INC NV 2.02,9.01 02/28/13 Motorola Solutions, Inc. DE 8.01,9.01 02/28/13 MPHASE TECHNOLOGIES INC NJ 8.01 02/27/13 Myrexis, Inc. DE 8.01 02/28/13 NAKED BRAND GROUP INC. NV 7.01,9.01 02/27/13 NANOVIRICIDES, INC. NV 1.01,1.02,9.01 02/26/13 NASH FINCH CO DE 2.02,9.01 02/28/13 National Interstate CORP OH 2.02,9.01 02/26/13 NATIONAL TAX CREDIT INVESTORS II CA 5.02 02/28/13 NATIONAL TAX CREDIT PARTNERS L P CA 5.02 02/28/13 NATUS MEDICAL INC DE 2.02,9.01 02/28/13 NAVIGANT CONSULTING INC DE 5.02,7.01,9.01 02/22/13 NCI, Inc. DE 2.02,7.01,9.01 02/28/13 NEKTAR THERAPEUTICS DE 2.02,9.01 02/28/13 NELNET INC NE 2.02,9.01 02/28/13 NEOGENOMICS INC NV 1.01,8.01,9.01 02/27/13 NEWCASTLE INVESTMENT CORP MD 2.02,4.02,9.01 02/28/13 NEWLINK GENETICS CORP 2.02,9.01 02/28/13 NEWMARKET CORP VA 8.01,9.01 02/28/13 NEWS CORP 8.01,9.01 02/28/13 NEXT FUEL, INC. NV 5.07,9.01 02/27/13 NF Energy Saving Corp DE 3.01 02/26/13 NGL Energy Partners LP DE 3.01,5.03,9.01 02/25/13 NII HOLDINGS INC DE 2.02,9.01 02/28/13 NL INDUSTRIES INC NJ 7.01,9.01 02/27/13 NON INVASIVE MONITORING SYSTEMS INC / FL 1.01,2.03,9.01 02/22/13 NORDSTROM INC WA 8.01,9.01 02/28/13 NORTH BAY RESOURCES INC DE 3.02,8.01,9.01 02/20/13 NORTHWEST PIPE CO OR 5.02,9.01 02/22/13 NTELOS HOLDINGS CORP 2.02,9.01 02/28/13 NxStage Medical, Inc. DE 2.02,9.01 02/28/13 OCEANFIRST FINANCIAL CORP DE 5.02,9.01 02/22/12 Oconee Federal Financial Corp. 8.01,9.01 02/28/13 OmniAmerican Bancorp, Inc. MD 2.02,9.01 02/28/13 OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 01/31/13 OMNOVA SOLUTIONS INC OH 7.01 02/27/13 ONLINE INTERNET NETWORK, INC. NV 5.02 02/27/13 OPTIMER PHARMACEUTICALS INC 2.02,8.01,9.01 02/28/13 OVERSEAS SHIPHOLDING GROUP INC DE 7.01 02/27/13 OXIGENE INC DE 5.02,9.01 02/27/13 Palo Alto Networks Inc DE 2.02,9.01 02/28/13 PAULSON CAPITAL CORP OR 8.01,9.01 02/28/13 PCM, INC. DE 2.02,9.01 02/28/13 PEDEVCO CORP TX 1.01 02/28/13 PennantPark Floating Rate Capital Ltd 7.01,9.01 02/28/13 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 02/25/13 PEPSICO INC NC 8.01,9.01 02/25/13 PETROQUEST ENERGY INC DE 2.02 02/28/13 Piedmont Office Realty Trust, Inc. MD 8.01 02/28/13 PITNEY BOWES INC /DE/ DE 8.01,9.01 02/26/13 POPULAR INC 5.02 02/22/13 POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 02/28/13 PROCERA NETWORKS INC NV 2.02,9.01 02/28/13 ProPhase Labs, Inc. NV 2.02,9.01 02/25/13 PROVECTUS PHARMACEUTICALS INC NV 1.01,3.02,3.03,5.03, 02/22/13 9.01 PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 02/28/13 AMEND QUICK-MED TECHNOLOGIES INC 5.02 02/28/13 RALPH LAUREN CORP DE 5.02,9.01 02/25/13 REAL ESTATE ASSOCIATES LTD II CA 5.02 02/28/13 REAL ESTATE ASSOCIATES LTD III CA 5.02 02/28/13 REAL ESTATE ASSOCIATES LTD IV CA 5.02 02/28/13 REAL ESTATE ASSOCIATES LTD VI CA 5.02 02/28/13 REAL ESTATE ASSOCIATES LTD VII CA 5.02 02/28/13 REAL ESTATE ASSOCIATES LTD/CA CA 5.02 02/28/13 Red Lion Hotels CORP WA 2.02,9.01 02/28/13 Regency Energy Partners LP DE 1.01,3.02,7.01,9.01 02/27/13 REPROS THERAPEUTICS INC. DE 8.01,9.01 02/28/13 REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 02/27/13 RESEARCH FRONTIERS INC DE 5.02 02/27/13 Resolute Forest Products Inc. DE 5.02 02/22/13 Revel AC, Inc. DE 5.02 02/22/13 Rhino Resource Partners LP DE 2.02,9.01 02/28/13 ROI Acquisition Corp. DE 7.01,9.01 02/28/13 Rose Rock Midstream, L.P. DE 2.02,9.01 02/28/13 ROSETTA STONE INC 2.02,7.01,9.01 02/28/13 Roundy's, Inc. DE 2.02,8.01,9.01 02/28/13 ROWAN COMPANIES PLC X0 2.02,9.01 02/28/13 RTI Biologics, Inc. DE 5.02 02/25/13 SafeStitch Medical, Inc. DE 1.01,2.03,9.01 02/22/13 SAJAN INC DE 2.02,9.01 02/28/13 SALESFORCE COM INC DE 2.02,9.01 02/28/13 SALIX PHARMACEUTICALS LTD 2.02,8.01,9.01 02/25/13 San Lotus Holding Inc NV 1.01,9.01 02/25/13 SANDRIDGE ENERGY INC DE 2.02,9.01 02/28/13 SCHNITZER STEEL INDUSTRIES INC OR 7.01,9.01 02/28/13 SEACOR HOLDINGS INC /NEW/ DE 2.02,7.01,9.01 02/27/13 SEARS HOLDINGS CORP DE 2.02,8.01,9.01 02/28/13 SEARS HOLDINGS CORP DE 5.02 02/28/13 SELECTICA INC DE 3.01 02/22/13 SemGroup Corp DE 2.02,9.01 02/28/13 Sequoia Mortgage Trust 2013-3 8.01,9.01 02/01/13 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 02/28/13 Shire plc 8.01,9.01 02/28/13 Silver Bay Realty Trust Corp. MD 2.02,9.01 02/28/13 SONUS NETWORKS INC DE 2.02,9.01 02/28/13 SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 02/28/13 SOUTHERN UNION CO DE 1.01,7.01,9.01 02/27/13 SOUTHWEST GEORGIA FINANCIAL CORP GA 8.01,9.01 02/28/13 SPAN AMERICA MEDICAL SYSTEMS INC SC 5.07 02/21/13 Spectra Energy Corp. DE 1.01,2.03,9.01 02/25/13 SPECTRAL CAPITAL Corp 1.01,3.02,9.01 02/26/13 SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 02/22/13 SPHERIX INC DE 4.02 02/27/13 SPLUNK INC 2.02,9.01 02/28/13 Sputnik Enterprises, Inc NV 5.01 02/24/13 ST JOE CO FL 2.02,9.01 02/28/13 Standard Drilling, Inc. 5.02 02/27/13 Starz DE 2.02,5.02,9.01 02/22/13 Starz, LLC DE 2.02,9.01 02/27/13 STATE STREET CORP MA 7.01,9.01 02/28/13 STILLWATER MINING CO /DE/ DE 5.02 02/26/13 AMEND Summit Hotel Properties, Inc. MD 8.01,9.01 02/26/13 SWIFT TRANSPORTATION Co 5.02,9.01 02/22/13 TEJON RANCH CO DE 5.02 02/28/13 Terra Tech Corp. NV 5.02 02/25/13 TESSERA TECHNOLOGIES INC DE 2.02,8.01 02/07/13 AMEND TETRA TECHNOLOGIES INC DE 2.02,9.01 02/28/13 TEXSTAR OIL Corp NV 4.01,9.01 02/19/13 AMEND THQ INC DE 8.01,9.01 02/05/13 TITAN PHARMACEUTICALS INC DE 1.01,8.01,9.01 12/14/12 AMEND TOYOTA MOTOR CREDIT CORP CA 1.01,1.02,2.03,9.01 02/26/13 TRW AUTOMOTIVE HOLDINGS CORP DE 1.01,2.03,3.03,9.01 02/28/13 TTM TECHNOLOGIES INC WA 5.02 02/21/13 TWO RIVERS WATER Co CO 7.01 02/28/13 U.S. Auto Parts Network, Inc. DE 5.02,9.01 02/26/13 U.S. SILICA HOLDINGS, INC. DE 7.01 02/28/13 UBS-Barclays Commercial Mortgage Trus 8.01,9.01 02/28/13 UNITED COMMUNITY FINANCIAL CORP OH 5.02,9.01 02/26/13 United Financial Bancorp, Inc. 8.01,9.01 02/28/13 UNITEDHEALTH GROUP INC MN 8.01,9.01 02/25/13 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 02/28/13 URANIUM ENERGY CORP NV 7.01,9.01 02/28/13 US TUNGSTEN CORP. 5.02,9.01 02/28/13 Valeant Pharmaceuticals International A6 2.02,9.01 02/28/13 VALHI INC /DE/ DE 7.01,9.01 02/27/13 Vanguard Natural Resources, LLC DE 5.02 02/25/13 VHGI HOLDINGS, INC. DE 1.01,3.02,5.03,9.01 02/27/13 VistaGen Therapeutics, Inc. NV 1.01,2.03,3.02,9.01 02/22/13 VISTEON CORP DE 2.02,7.01,9.01 02/28/13 Vitacost.com, Inc. DE 2.02,9.01 02/28/13 VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 02/27/13 VOLTERRA SEMICONDUCTOR CORP 5.02 02/22/13 VORNADO REALTY TRUST MD 5.02,9.01 02/27/13 VSE CORP DE 2.02,9.01 12/31/12 VWR Funding, Inc. DE 7.01,9.01 02/28/13 W&T OFFSHORE INC TX 2.02,9.01 02/26/13 WASHINGTON BANKING CO WA 5.02,8.01,9.01 02/28/13 WashingtonFirst Bankshares, Inc. VA 2.02,9.01 02/26/13 WashingtonFirst Bankshares, Inc. VA 2.02,9.01 02/26/13 AMEND WebXU, Inc. DE 1.02,8.01 02/27/13 WELLS CORE OFFICE INCOME REIT INC 8.01 02/28/13 WELLS FARGO & COMPANY/MN DE 9.01 02/28/13 WELLS MID-HORIZON VALUE-ADDED FUND I 5.02 02/27/13 WELLS REAL ESTATE FUND IX LP GA 1.01 02/25/13 WELLS REAL ESTATE FUND VIII LP GA 1.01 02/25/13 Wendy's Co DE 2.02,9.01 02/28/13 Wendy's Co DE 7.01,9.01 02/28/13 WEST BANCORPORATION INC IA 8.01 02/28/13 WESTAR ENERGY INC /KS KS 2.02,7.01,9.01 02/28/13 Western Refining, Inc. DE 2.02,9.01 02/28/13 WESTMOUNTAIN INDEX ADVISOR INC CO 8.01 02/28/13 WEYCO GROUP INC WI 2.02,9.01 02/28/13 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 02/28/13 WPX ENERGY, INC. DE 2.02 02/28/13 WSFS FINANCIAL CORP DE 8.01 02/28/13 Xenith Bankshares, Inc. VA 2.02,9.01 02/27/13 XPO Logistics, Inc. 7.01,9.01 02/27/13 Yankee Holding Corp. DE 2.02,9.01 02/28/13 YCC Holdings LLC DE 2.02,9.01 02/28/13 Zayo Group LLC DE 1.01,7.01,9.01 02/27/13 ZIMMER HOLDINGS INC DE 5.02 02/22/13