SEC Issues Guidance Update on Social Media Filings By Investment Companies
The Securities and Exchange Commission today published a guidance update from its staff to clarify the obligations of mutual funds and other investment companies to seek review of materials posted on their social media sites.
The guidance from the Division of Investment Management is the first in its “IM Guidance Update” series, which will offer the staff’s views on emerging legal issues. The goal of the guidance is to increase transparency and enhance compliance with federal securities laws and regulations.
Mutual funds and other investment companies are required to file certain advertisements for review by Financial Industry Regulatory Authority (FINRA). The SEC staff has learned that out of an abundance of caution, many mutual funds and other investment companies may file materials on their social media sites with FINRA unnecessarily.
The IM Guidance Update provides examples of the kinds of communications that the staff believes would be subject to a requirement to file with FINRA and examples of communications that would not trigger a filing requirement.
“Today’s inaugural IM Guidance Update on social media is intended to help firms strengthen their compliance efforts by providing meaningful real life examples in a format that is accessible to all on the SEC’s website,” said Norm Champ, Director of the Division of Investment Management. “We expect future guidance updates will highlight other relevant issues for funds, advisers, and the public.”
Douglas Scheidt, Sara Crovitz, Brian Murphy, and Catherine Courtney from the Division of Investment Management contributed substantially to preparing the IM Guidance Update, as did Paula Jenson, Lourdes Gonzalez, and Alicia Goldin from the Division of Trading and Markets.
The Division of Investment Management works to:
through regulating the asset management industry.
(Press Rel. 2013-40)
SEC Charges San Diego Lawyers and Others in an International Market Manipulation Scheme
The Securities and Exchange Commission today charged a group of Canadian stock promoters, two San Diego attorneys, a Bahamas-based broker-dealer, and other participants in an international “pump-and-dump” scheme involving two publicly traded U.S. companies, Pacific Blue Energy Corporation and Tradeshow Marketing Company Ltd.
According to the SEC’s complaint, Canadian stock promoters John Kirk, Benjamin Kirk, Dylan Boyle, James Hinton, and their associates, used false and misleading promotions to pump up trading in the stock of the two microcap companies and made millions when they secretly dumped their own shares.
Microcap companies typically have limited assets and low-priced stock that trades in low volumes. The SEC alleges that the promoters sent investors false and misleading emails about the companies through two websites they controlled, Skymark Research and Emerging Stock Report, and used “boiler room” sales calls to tout the stocks, falsely claiming that the recommendations were based on independent research by Skymark and Emerging Stock Report.
The SEC alleges that San Diego-based attorneys Luis Carrillo and Wade Huettel were central participants in the scheme who helped the promoters conceal their ownership interests in the companies, drafted misleading public filings, and provided misleading legal opinions. As part of the scheme, their law firm, Carrillo Huettel LLP, secretly received proceeds of stock sales in the form of a sham “loan.”
The SEC’s complaint, filed in federal court in Manhattan, alleges that Gibraltar Global Securities, a Bahamian broker-dealer, provided false affidavits and misleading statements that allowed Benjamin Kirk to secretly sell shares of the companies he was promoting. The SEC also charged Gibraltar’s president, Warren Davis, who signed misleading representations on behalf of Gibraltar.
“Microcap fraud is a scourge on our markets and we will continue to aggressively pursue individuals who engage in it, whether they are unscrupulous stock promoters who prey on investors or unethical attorneys who enable these pernicious schemes. Moreover, as this action demonstrates, the SEC is working closely with foreign authorities to root out this conduct in the international arena,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office.
According to the SEC, Tradeshow president Luniel de Beer, who served as chairman of Pacific Blue, received more than $330,000 in secret kickbacks for his part in the scheme. In addition, the SEC alleged that de Beer and Pacific Blue president Joel Franklin made misleading representations and facilitated the promoters’ stock sales. Without admitting or denying the SEC’s allegations, Franklin agreed to settle the SEC’s charges and consented to certain injunctive relief.
The SEC’s complaint charges Carrillo Huettel LLP, Carrillo, Huettel, Gibraltar Global Securities, John Kirk, Benjamin Kirk, Boyle, Hinton, de Beer, Franklin, Pacific Blue, and Tradeshow with violations of U.S. anti-fraud laws and rules, and charges these defendants, along with Warren Davis and Carrillo’s father, Dr. Luis Carrillo, with distributing unregistered shares, in violation of U.S. securities laws.
The SEC is seeking to have the defendants return their allegedly ill-gotten gains, with interest, and to bar Carrillo, Huettel, de Beer, John Kirk, Benjamin Kirk, Boyle, and Hinton from participating in penny stock offerings and from serving as public company officers or directors. The SEC is seeking civil monetary penalties from the attorneys, their law firm, and from de Beer.
Joshua Newville, Katherine Bromberg, Michael Paley, and Michael Osnato of the New York Regional Office conducted the SEC’s investigation. Mr. Newville, Ms. Bromberg and Todd Brody will lead the SEC’s litigation effort.
The SEC thanks the Financial Industry Regulatory Authority, the Alberta Securities Commission, the British Columbia Securities Commission, the Bahamas Securities Commission, the National Banking and Securities Commission of Mexico, and the Turks and Caicos Islands Financial Services Commission for their assistance in this matter. (Press Rel. 2013-39; [SEC v. Carrillo Huettel LLP, Luis J. Carrillo, Wade D. Huettel, Gibraltar Global Securities, Warren Davis, John B. Kirk, Benjamin T. Kirk, Dylan L. Boyle, James K. Hinton Jr., Luniel de Beer, Joel P. Franklin, Pacific Blue Energy Corporation, Tradeshow Marketing Company Ltd., and Dr. Luis Carrillo, Civil Action No. 13 Civ. 1735 (GBD) (S.D.N.Y.)] (LR-22645)
CR Intrinsic Agrees to Pay More than $600 Million in Largest-Ever Settlement for Insider Trading Case
The Securities and Exchange Commission today announced that Stamford, Conn.-based hedge fund advisory firm CR Intrinsic Investors has agreed to pay more than $600 million to settle SEC charges that it participated in an insider trading scheme involving a clinical trial for an Alzheimer’s drug being jointly developed by two pharmaceutical companies.
The SEC charged CR Intrinsic with insider trading in November 2012, alleging that one of the firm’s portfolio managers Mathew Martoma illegally obtained confidential details about the clinical trial from Dr. Sidney Gilman, who was selected by the pharmaceutical companies – Elan Corporation and Wyeth – to present the final drug trial results to the public.
The settlement filed today in federal court in Manhattan is the largest ever in an insider trading case, requiring CR Intrinsic – an affiliate of S.A.C. Capital Advisors – to pay $274,972,541 in disgorgement, $51,802,381.22 in prejudgment interest, and a $274,972,541 penalty.
“The historic monetary sanctions against CR Intrinsic and its affiliates are sharp warning that the SEC will hold hedge fund advisory firms and their funds accountable when employees break the law to benefit the firm,” said George S. Canellos, Acting Director of the SEC’s Division of Enforcement.
Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “A robust culture of compliance and zero tolerance toward employee misconduct can help other firms avoid the severe financial consequences that CR Intrinsic is facing for its misconduct.”
The SEC’s complaint against CR Intrinsic, Martoma, and Dr. Gilman alleged that during phone calls arranged by a New York-based expert network firm for which Dr. Gilman moonlighted as a medical consultant, he tipped Martoma with safety data and eventually details about negative results in the trial about two weeks before they were made public in July 2008. Martoma and CR Intrinsic then caused several hedge funds to sell more than $960 million in Elan and Wyeth securities in a little more than a week.
In an amended complaint filed today, the SEC added S.A.C. Capital Advisors and four hedge funds managed by CR Intrinsic and S.A.C. Capital as relief defendants because they each received ill-gotten gains from the insider trading scheme. These ill-gotten gains are comprised of profits and avoided losses resulting from trades placed in the hedge fund portfolios that CR Intrinsic and S.A.C. Capital managed, and include fees that S.A.C. Capital received as a result of these ill-gotten gains.
The settlement is subject to the approval of Judge Victor Marrero of the U.S. District Court for the Southern District of New York. The settlement would resolve the SEC’s charges against CR Intrinsic and the relief defendants relating to the trades in the securities of Elan and Wyeth between July 21 and July 30, 2008. The settling parties neither admit nor deny the charges. The settlement does not resolve the charges against Martoma, whose case continues in litigation. The court previously entered a consent judgment against Dr. Gilman requiring him to pay disgorgement and prejudgment interest, and permanently enjoining him from further violations of the anti-fraud provisions of the federal securities laws.
The SEC’s investigation, which is continuing, has been conducted by Charles D. Riely and Amelia A. Cottrell of the SEC’s Market Abuse Unit in New York, and Matthew J. Watkins and Neil Hendelman of the New York Regional Office. The case has been supervised by Sanjay Wadhwa. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2013-41)
SEC Charges Hedge Fund Firm Sigma Capital with Insider Trading
The Securities and Exchange Commission today announced that New York-based hedge fund advisory firm Sigma Capital Management has agreed to pay nearly $14 million to settle charges that the firm engaged in insider trading based on nonpublic information obtained through one of its analysts about the quarterly earnings of Dell and Nvidia Corporation.
The SEC’s case, borne out of its ongoing investigation into expert networks and the trading activities of hedge funds, began last year with charges against several hedge fund managers and analysts including Jon Horvath, a former analyst at Sigma Capital. Horvath agreed to a settlement earlier this month in which he admitted liability.
In a complaint filed today along with the proposed settlement in federal court in Manhattan, the SEC additionally charged Sigma Capital in the insider trading scheme and named two affiliated hedge funds – Sigma Capital Associates and S.A.C. Select Fund – as relief defendants that unjustly benefited from Sigma Capital’s violations. S.A.C. Select Fund is an affiliate of S.A.C. Capital.
The SEC’s complaint alleges that Horvath provided Sigma Capital portfolio managers with nonpublic details about quarterly earnings at Dell and Nvidia after he learned them through a group of hedge fund analysts with whom he regularly communicated. Based on the confidential information, Sigma Capital traded Dell and Nvidia securities in advance of earnings announcements in 2008 and 2009 for $6.425 million in gains for its hedge fund affiliates.
Sigma Capital agreed to pay disgorgement of $6.425 million plus prejudgment interest of $1,094,161.92 and a penalty of $6.425 million.
“Quarterly revenues and profit margins are fundamental drivers of stock prices. By illegally obtaining these vital financial measures in advance of their public announcement, Sigma Capital secured a crystal ball revealing where the stock would likely be trading in the near future,” said George S. Canellos, Acting Director of the SEC’s Division of Enforcement. “However, the crystal ball failed to predict a costly settlement with the SEC.”
Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “Sigma Capital’s violations of the securities laws were blatant and recurring. The firm obtained key quarterly earnings information before it was public and exploited an unfair edge over the rest of the market to reap millions of dollars in unlawful gains.”
According to the SEC’s complaint, the key inside information that Horvath obtained about upcoming earnings announcements by Dell and Nvidia often differed significantly from the predictions of market analysts, who only had access to publicly available information. Based on this inside information, Sigma Capital traded Dell and Nvidia securities in advance of four quarterly earnings announcements and reaped more than $5.2 million for its hedge fund Sigma Capital Associates. Horvath’s inside information also enabled S.A.C. Select Fund to execute trades and avoid losses of more than $1 million.
The SEC’s complaint charges Sigma Capital with violating Section 17(a) of the Securities Act, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Sigma Capital is neither admitting nor denying the charges. The settlement, subject to court approval, also would permanently enjoin Sigma Capital from future violations of the antifraud provisions of the federal securities laws.
The SEC’s investigation, which is continuing, has been conducted by Joseph Sansone, Daniel Marcus, and Stephen Larson – members of the SEC’s Market Abuse Unit in New York – and Matthew Watkins, Justin Smith, Neil Hendelman, Diego Brucculeri, and James D’Avino of the New York Regional Office. It has been supervised by Sanjay Wadhwa. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2013-42)
In the Matter of Laura A. Roser
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Laura A. Roser (Roser).
The Division of Enforcement alleges in the Order that from at least April 2009 through April 2011, Roser, through her company, Mason Hill, fraudulently raised at least $2.5 million through an offering fraud and Ponzi scheme from approximately 75 investors through the offer and sale of unregistered securities in the form of investment contracts. The Order also alleges that Roser acted as an unregistered broker. The Order further alleges that on March 6, 2013, a Judgment of Permanent Injunction and Other Relief was entered against Roser, permanently enjoining her from future violations of Sections 17(a), 5(a) and (c) 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. Art Intellect, Inc., et al., Civil Action Number 2:11-cv-00357, in the United States District Court for the District of Utah. Roser was ordered to pay disgorgement in the amount of $1,509,313 together with a civil penalty in an amount to be determined.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Roser an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate. The Order directs the administrative law judge to issue an initial decision within 210 days after service of the Order. (Rel. 34-69143; File No. 3-15245)
In the Matter of Patrick Merrill Brody
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Patrick Merrill Brody (Brody).
The Division of Enforcement alleges in the Order that from at least April 2009 through April 2011, Brody, through a company known as Mason Hill, fraudulently raised at least $2.5 million through an offering fraud and Ponzi scheme from approximately 75 investors through the offer and sale of unregistered securities in the form of investment contracts. The Order also alleges that Brody acted as an unregistered broker. The Order further alleges that on March 6, 2013, a Judgment of Permanent Injunction and Other Relief was entered against Brody, permanently enjoining him from future violations of Sections 17(a), 5(a) and (c) 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. Art Intellect, Inc., et al., Civil Action Number 2:11-cv-00357, in the United States District Court for the District of Utah. Brody was ordered to pay disgorgement in the amount of $1,509,313 together with a civil penalty in an amount to be determined.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Brody an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate. The Order directs the administrative law judge to issue an initial decision within 210 days after service of the Order. (Rel. 34-69144; File No. 3-15246)
Commission Declares Decision as to Andrew J. Franz Final
The initial decision of an administrative law judge with respect to Andrew J. Franz has become final. The initial decision barred Franz from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, or from participating in a penny stock offering. The initial decision found that on March 16, 2012, Franz was permanently enjoined by a federal district court from violating of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 206(1) and 206(2) of the Investment Advisers Act of 1940. SEC v. Franz, No. 5:12-cv-00642 (N.D. Ohio Mar. 16, 2012) (Civil Action).
Franz, a resident of Aurora, Ohio, was an associated person of a registered investment adviser. He was also employed as a registered representative by several broker dealers. For a period of five years, from 2007 to 2012, Franz intercepted advisory fee checks intended for the investment adviser. He also caused securities to be liquidated in clients' accounts by sending unauthorized advisory fee requests to mutual funds and annuity companies. The monies derived from those illegal activities were placed in his personal bank account. From 2009 to 2012, Franz employed the use of forgery, which enabled him to misappropriate funds from a trust that his father had been appointed trustee, and deposited those funds, totaling $93,730 into his personal account. Of the $93,730, Franz kept or spent $37,239. Franz failed to disclose those misappropriations to the registered investment adviser or to record them on the firm's books.
The law judge found Franz's conduct to be egregious, recurrent and involved scienter. The law judge found it was in the public interest to bar him from the industry. (Rel. 34-69145; IA-3567; File No. 3-14960)
SEC Charges Edmund E. Wilson and Walter L. Ross With Violations of the Federal Securities Laws
On March 14, 2013, the Securities and Exchange Commission filed a civil injunctive action against Edmund E. Wilson (Wilson) and Walter L. Ross (Ross), alleging that Wilson and Ross violated the federal securities laws in connection with the sale of securities by Fountain Group of Companies of Utah, Inc. (Fountain Group).
In its Complaint, filed in the U.S. District Court for the District of Utah, the Commission alleges that Wilson raised approximately $11 million from at least 60 investors through the fraudulent and unregistered sale of securities in Fountain Group. The Complaint alleges that beginning in September 2005, Wilson, through his company Fountain Group, offered and sold securities for the stated purpose of providing funding for real estate development. Wilson told investors that for a fee of either $80,000 or $150,000, Fountain Group would leverage a bond backed by senior life settlement policies to generate funding in the tens of millions of dollars for each proposed real estate project. Wilson assured investors their fee would be used to pay expenses to “activate” the funding. Instead of using investors’ funds as represented, Wilson transferred investor funds to other entities he owned and controlled where the funds were spent on expenses related to those businesses. In addition, Wilson used investor funds for his own personal purposes. Wilson was assisted in his solicitation of investors by Ross.
The Commission alleges that by engaging in this conduct Wilson and Ross violated Sections 5(a) and 5(c) Securities Act of 1933 (Securities Act) and Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Wilson violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The complaint seeks a permanent injunction as well as disgorgement, prejudgment interest and a civil penalty from Wilson and Ross. [SEC v. Wilson, et al., Civil No. 2:13-cv-00188 (USDC Utah] (LR-22644)
Former Mercury Interactive General Counsel Settles Suit Alleging Stock Options Backdating and Other Misconduct
Susan Skaer, former General Counsel of Mercury Interactive Corporation, to be Permanently Enjoined and to Pay Civil Penalties and Disgorgement, and to be Barred from Practicing or Appearing as an Attorney Before the Commission
The Securities and Exchange Commission today settled civil fraud charges against Susan Skaer, the former General Counsel and Secretary of Mercury Interactive Corporation (Mercury), arising from an alleged scheme to backdate stock option grants and from other alleged misconduct.
On May 31, 2007, the Commission charged three other former senior Mercury officers and Skaer with perpetrating a scheme from 1997 to 2005 to award Mercury executives and other employees undisclosed, secret compensation by backdating stock option grants and failing to record hundreds of millions of dollars of compensation expense. The Commission’s Complaint also alleged other misconduct by Skaer related to the award of stock options to Mercury executives and employees.
Without admitting or denying the allegations in the Commission’s complaint, Skaer consented to the entry of a final judgment permanently enjoining her from violating and/or aiding and abetting violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, as well as the financial reporting, record-keeping, internal controls, false statements to auditors, and proxy provisions of the federal securities laws. Skaer will pay $628,037 in disgorgement and prejudgment interest, representing the “in-the-money” benefit from her exercise of backdated option grants, and a $225,000 civil penalty. The settlement is subject to the approval of the United States District Court for the Northern District of California.
As part of the settlement, and following the entry of the proposed final judgment, Skaer, without admitting or denying the Commission's findings, has consented to the entry of a Commission order, pursuant to Rule 102(e)(3) of the Commission's Rules of Practice, suspending her from appearing or practicing before the Commission as an attorney. [SEC v. Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer, Case No. 07-2822 (WHA). (N.D. Cal.)] (LR-22646)
The settlement with Skaer, if approved, will conclude the litigation. The Commission previously filed settled charges against Mercury and three former outside directors of Mercury. On May 31, 2007, the Commission filed civil fraud charges against Mercury based on the stock option backdating scheme and other fraudulent conduct noted above. Mercury, which was acquired by Hewlett-Packard Company on November 8, 2006, after the alleged misconduct, settled the matter by agreeing to pay a $28 million penalty and to be permanently enjoined. See Litigation Release No. 20136 (May 31, 2007). On September 17, 2008, in a separate action, the Commission filed settled charges against three former outside directors of Mercury alleging that they recklessly approved backdated stock option grants and reviewed and signed public filings that contained materially false and misleading disclosures about the company’s stock option grants and company expenses. The outside directors settled the matter by consenting to permanent injunctions and the payment by each director of a $100,000 penalty. See Litigation Release No. 20724 (Sept. 17, 2008). Mercury and the outside directors settled the charges without admitting or denying the allegations in the Commission’s complaint. The Commission also previously settled with three of the four senior officers in its contested action. On March 20, 2009, the Commission settled with former Mercury CFO Sharlene Abrams by which she agreed to entry of a permanent injunction against the antifraud and certain other securities law provisions, to pay $2,287,914 in disgorgement which was deemed partially satisfied by payment to Mercury, to pay a $425,000 civil penalty, to be permanently barred from serving as an officer and director of any public company, and to a Commission order barring her from appearing or practicing before the Commission as an accountant. See Litigation Release No. 20964 (March 20, 2009). On February 21, 2013, the Commission settled with former Mercury CEO Amnon Landan and former Mercury CFO Douglas Smith. Landan agreed to entry of a permanent injunction against the antifraud and certain other securities law provisions, to pay $1,252,822 in disgorgement and prejudgment interest, to pay a $1,000,000 civil penalty, to be barred from serving as an officer and director of any public company for five years, and to reimburse Mercury, pursuant to Section 304 of the Sarbanes-Oxley Act, $5,064,678 for cash bonuses and profits from the sale of Mercury stock. Smith agreed to a permanent injunction against future violations of certain of the antifraud provisions, to pay $451,200 in disgorgement satisfied by a prior repayment to Mercury, to pay a $100,000 civil penalty, and to reimburse Mercury, pursuant to Section 304 of the Sarbanes-Oxley Act, $2,814,687 for profits received from the sale of Mercury stock, all but $250,000 of which was deemed satisfied by prior cash repayments and foregoing of rights to exercise vested options to the benefit of Mercury. See Litigation Release No. 22623 (Feb. 21, 2013). Landan, Abrams and Smith each settled without admitting or denying the allegations in the Commission’s complaint. [SEC v. Mercury Interactive, LLC (f/k/a Mercury Interactive Corporation), Amnon Landan, Sharlene Abrams, Douglas Smith, and Susan Skaer, Case No. 07-2822 (WHA) (N.D. Cal.)] (LR-22646)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by The NASDAQ Stock Market LLC relating to Relating to Penny Pilot and Non-Penny Pilot Options (SR-NASDAQ-2013-041) 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 18, 2013. (Rel. 34-69132)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-042) to amend Rules 7014 and 7018 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 March 18, 2013. (Rel. 34-69133)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-24) amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services with respect to the Retail Order Tier 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 March 18, 2013. (Rel. 34- 69134)
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 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 0 ($0.00) Other, (File 333-187240 - Mar. 14) (BR. 08B) S-1 OVERLAND STORAGE INC, 9112 SPECTRUM CENTER BOULEVARD, SAN DIEGO, CA, 92123, 8585715555 - 0 ($16,841,842.80) Equity, (File 333-187241 - Mar. 14) (BR. 03C) S-3 SYNTA PHARMACEUTICALS CORP, 45 HARTWELL AVE, LEXINGTON, MA, 02421, 781-274-8200 - 0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-187242 - Mar. 14) (BR. 01A) S-8 SYNTA PHARMACEUTICALS CORP, 45 HARTWELL AVE, LEXINGTON, MA, 02421, 781-274-8200 - 0 ($12,655,500.00) Equity, (File 333-187243 - Mar. 14) (BR. 01A) S-8 Empire Global Gaming, Inc., 6460 MEDICAL CENTER STREET, SUITE 230, LAS VEGAS, NV, 89148, 1-877-643-3200 - 0 ($60,000.00) Equity, (File 333-187244 - Mar. 14) (BR. 05A) S-1 SBH ASSOCIATES, INC., 10639 SCHMIDT ROAD, WALLER, TX, 77484, 832-665-1906 - 2,000,000 ($20,000.00) Equity, (File 333-187245 - Mar. 14) (BR. 08) S-8 PAR TECHNOLOGY CORP, PAR TECHNOLOGY PARK, 8383 SENECA TURNPIKE, NEW HARTFORD, NY, 13413, 3157380600 - 1,250,000 ($5,775,000.00) Equity, (File 333-187246 - Mar. 14) (BR. 03A) S-1 Clutterbug Move Management, Inc., 29 CHURCH STREET, SOUTH ORANGE, NJ, 07079, 201-317-6922 - 750,000 ($7,500.00) Equity, (File 333-187248 - Mar. 14) (BR. 08) S-8 EMC INSURANCE GROUP INC, 717 MULBERRY ST, DES MOINES, IA, 50309, 5153452902 - 0 ($5,006,000.00) Equity, (File 333-187250 - Mar. 14) (BR. 01A) S-3ASR ISHARES GOLD TRUST, BLACKROCK INC., 400 HOWARD STREET, SAN FRANCISCO, CA, 94105, 415-670-4879 - 62,000,000 ($950,770,000.00) Equity, (File 333-187251 - Mar. 14) (BR. 08B) S-3ASR iShares Silver Trust, 400 HOWARD STREET, SAN FRANCISCO, CA, 94105, 415-670-2000 - 33,000,000 ($921,195,000.00) Equity, (File 333-187252 - Mar. 14) (BR. 08B) S-8 Transcept Pharmaceuticals Inc, 1003 W. CUTTING BLVD, SUITE 110, POINT RICHMOND, CA, 94804, (510) 215-3500 - 933,819 ($4,818,506.04) Equity, (File 333-187254 - Mar. 14) (BR. 01B) S-3 HAWAIIAN HOLDINGS INC, 3375 KOAPAKA STREET, SUITE G-350, HONOLULU, HI, 96819, 8088353700 - 0 ($525,000,000.00) Unallocated (Universal) Shelf, (File 333-187255 - Mar. 14) (BR. 05B) S-8 BANNER CORP, 10 S FIRST AVENUE, WALLA WALLA, WA, 99362, 5095273636 - 300,000 ($9,387,000.00) Equity, (File 333-187256 - Mar. 14) (BR. 07C) S-8 Oncothyreon Inc., 2601 FOURTH AVENUE, SUITE 500, SEATTLE, WA, 98121, (206) 801-2100 - 0 ($2,053,280.00) Equity, (File 333-187257 - Mar. 14) (BR. 01A) S-8 ENDOLOGIX INC /DE/, 11 STUDEBAKER, IRVINE, CA, 92618, 9495957200 - 1,034,000 ($15,913,260.00) Equity, (File 333-187258 - Mar. 14) (BR. 10A) S-4 MEDIACOM BROADBAND LLC, C/O MEDIACOM COMMUNICATIONS CORP, 100 CRYSTAL RUN ROAD, MIDDLETOWN, NY, 10941, 8456952600 - 0 ($300,000,000.00) Debt, (File 333-187259 - Mar. 14) (BR. 11A) S-4 CENTRAL VALLEY COMMUNITY BANCORP, 7100 N. FINANCIAL DRIVE, #101, FRESNO, CA, 93720, 559-323-3433 - 0 ($8,075,405.00) Equity, (File 333-187260 - Mar. 14) (BR. 07B) S-8 CONSOLIDATED WATER CO LTD, TRAFALGAR PL, WEST BAY RD, GRAND CAYMAN BWI CAY, E9, 00000, 8099474277 - 1,535,000 ($13,976,175.00) Equity, (File 333-187261 - Mar. 14) (BR. 02A) S-8 BRIDGE BANCORP INC, 2200 MONTAUK HGWAY, BRIDGEHAMPTON, NY, 11932, 6315371000 - 0 ($16,767,095.24) Equity, (File 333-187262 - Mar. 14) (BR. 07B) S-3ASR JANUS CAPITAL GROUP INC, 151 DETROIT ST, DENVER, CO, 80206, 3033333863 - 0 ($0.00) Equity, (File 333-187263 - Mar. 14) (BR. 12A) S-8 Carlyle Group L.P., C/O THE CARLYLE GROUP, 1001 PENNSYLVANIA AVENUE, N.W., WASHINGTON, DC, 20004, 202 729 5626 - 0 ($564,922,336.00) Limited Partnership Interests, (File 333-187264 - Mar. 14) (BR. 12B) S-8 JANUS CAPITAL GROUP INC, 151 DETROIT ST, DENVER, CO, 80206, 3033333863 - 0 ($9,660,000.00) Equity, (File 333-187265 - Mar. 14) (BR. 12A) S-8 JANUS CAPITAL GROUP INC, 151 DETROIT ST, DENVER, CO, 80206, 3033333863 - 0 ($86,940,000.00) Equity, (File 333-187266 - Mar. 14) (BR. 12A) S-3 NOVAVAX INC, 9920 BELWARD CAMPUS DRIVE, ROCKVILLE, MD, 20850, 240-268-2000 - 200,000,000 ($200,000,000.00) Debt, (File 333-187267 - Mar. 14) (BR. 01B) N-2 Cushing Royalty & Income Fund, C/O SWANK CAPITAL, LLC, 8117 PRESTON ROAD, SUITE 440, DALLAS, TX, 75225, 214-692-6334 - 0 ($1,000,000.00) Other, (File 333-187268 - Mar. 14) (BR. 17)
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 ----------------------------------------------------------------------------------------- 5Barz International, Inc. 4.01,9.01 03/13/13 AAON INC NV 2.02,7.01,9.01 03/14/13 ADA-ES INC CO 2.02,9.01 03/14/13 ADAMS RESOURCES & ENERGY, INC. DE 2.02 12/31/12 ADEPT TECHNOLOGY INC DE 5.02,9.01 03/08/13 ADVOCAT INC DE 5.03,8.01,9.01 03/14/13 AEROCENTURY CORP DE 1.01,1.03,2.02,9.01 03/13/13 Affinia Group Intermediate Holdings I DE 2.02,9.01 03/14/13 Alliance HealthCare Services, Inc CA 2.02,5.02,9.01 03/13/13 AMBAC FINANCIAL GROUP INC DE 2.02,9.01 02/28/13 AMEREN CORP MO 8.01,9.01 03/14/13 AMERICAN BAR ASSOCIATION MEMBERS / NO IL 1.01,9.01 03/12/13 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.02,9.01 03/11/13 AMERICAN EXPRESS CO NY 7.01 03/14/13 American Realty Capital Healthcare Tr MD 1.01,5.02 03/10/13 AMERICAN VANGUARD CORP DE 8.01,9.01 03/08/13 AMERIGO ENERGY, INC. DE 8.01,9.01 03/14/13 AMYRIS, INC. DE 1.01 03/13/13 Anacor Pharmaceuticals Inc DE 2.02,9.01 03/14/13 ANADIGICS INC DE 1.01,9.01 03/14/13 ANALOG DEVICES INC MA 5.07 03/13/13 ANALOG DEVICES INC MA 5.07 03/13/13 AMEND Angie's List, Inc. DE 5.02 03/12/13 APRIA HEALTHCARE GROUP INC DE 7.01 03/14/13 ARC Realty Finance Trust, Inc. MD 1.01 03/13/13 Ares Commercial Real Estate Corp MD 7.01,9.01 03/14/13 ARIAD PHARMACEUTICALS INC DE 8.01 03/12/13 ARK RESTAURANTS CORP NY 8.01,9.01 03/08/13 ARQULE INC DE 2.02,9.01 03/14/13 As Seen On TV, Inc. FL 5.02,9.01 03/08/13 Ascena Retail Group, Inc. DE 1.01,2.03,9.01 03/13/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/12/13 ASURE SOFTWARE INC DE 5.02 03/08/13 Avago Technologies LTD U0 5.02,9.01 02/26/13 AMEND AVAYA INC DE 1.01,2.03,9.01 03/12/13 AVIS BUDGET GROUP, INC. DE 7.01,9.01 03/14/13 BANCORPSOUTH INC MS 5.02 03/12/13 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 03/14/13 Bank of New York Mellon CORP DE 8.01,9.01 03/14/13 BIOCLINICA INC DE 3.01,3.02,5.01,5.02, 03/11/13 5.03,8.01,9.01 BioDrain Medical, Inc. MN 1.01,2.03,3.02,9.01 03/08/13 BIOGEN IDEC INC. DE 1.01,2.03 03/14/13 BIOHEART, INC. FL 5.02 03/12/13 BioScrip, Inc. DE 1.01,9.01 03/08/13 BlackRock Kelso Capital CORP DE 1.01,7.01,9.01 03/13/13 Blueknight Energy Partners, L.P. DE 2.02,9.01 03/13/13 BUCKLE INC NE 2.02,9.01 03/14/13 Bunge LTD 5.02 03/08/13 CABELAS INC DE 8.01,9.01 03/13/13 Cactus Ventures, Inc. NV 5.02 03/09/13 CALLIDUS SOFTWARE INC DE 5.02 03/14/13 CALLON PETROLEUM CO DE 2.02,7.01,9.01 03/14/13 CAMPBELL FUND TRUST DE 3.02 02/19/13 CAMPBELL FUND TRUST DE 3.02 03/14/13 CAPITAL TRUST INC MD 4.01,9.01 03/11/13 Capstone Therapeutics Corp. DE 2.02,7.01,9.01 03/14/13 CARDTRONICS INC DE 5.02,9.01 03/14/13 CARMIKE CINEMAS INC DE 2.02,9.01 03/14/13 Castle Brands Inc FL 1.01,2.03,9.01 03/11/13 CBRE GROUP, INC. DE 1.01,9.01 03/11/13 CEF EQUIPMENT HOLDING LLC DE 9.01 03/12/13 CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 03/12/13 CENTERLINE HOLDING CO DE 5.03,7.01,9.01 03/14/13 Centor Inc. NV 4.01 03/14/13 CERUS CORP DE 8.01,9.01 03/14/13 CHAMPIONS ONCOLOGY, INC. DE 2.02,9.01 03/14/13 CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 03/14/13 ChemoCentryx, Inc. DE 2.02,9.01 03/13/13 CHINA BAK BATTERY INC NV 3.01 03/14/13 CHINA EDUCATION INTERNATIONAL, INC. NV 7.01,9.01 03/08/13 China United Insurance Service, Inc. DE 1.01,9.01 03/14/13 China XD Plastics Co Ltd NV 1.01,7.01,8.01,9.01 03/08/13 CHYRON CORP NY 3.01 03/12/13 CITIGROUP INC DE 8.01 03/14/13 Classic Rules Judo Championships, Inc CT 4.01,9.01 03/01/13 CLEARONE INC UT 7.01,9.01 03/13/13 CLEVELAND BIOLABS INC DE 2.02,9.01 03/14/13 COLE CREDIT PROPERTY TRUST IV, INC. MD 1.01,2.03,8.01 03/07/13 COLE REAL ESTATE INCOME STRATEGY (DAI MD 5.07 03/13/13 COLUMBIA LABORATORIES INC DE 2.02,9.01 03/14/13 COLUMBIA LABORATORIES INC DE 7.01,9.01 03/14/13 COMERICA INC /NEW/ DE 7.01,9.01 03/14/13 COMMUNITY BANCORP /VT VT 5.03,8.01,9.01 03/12/13 CONSOLIDATED WATER CO LTD E6 2.02,9.01 03/13/13 Core-Mark Holding Company, Inc. DE 2.02,9.01 03/14/13 CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 03/14/13 CORNERSTONE THERAPEUTICS INC DE 1.01 03/08/13 CORONADO BIOSCIENCES INC DE 2.02,9.01 03/14/13 COSI INC DE 2.02,7.01,9.01 03/14/13 CRAILAR TECHNOLOGIES INC A1 1.01,8.01,9.01 03/11/13 CRAILAR TECHNOLOGIES INC A1 2.02,9.01 03/14/13 CRAILAR TECHNOLOGIES INC A1 8.01,9.01 03/13/13 CREDITRISKMONITOR COM INC NV 2.02,9.01 03/14/13 Crestwood Midstream Partners LP DE 7.01 03/14/13 CROSSROADS SYSTEMS INC DE 2.05 03/08/13 CUBIC CORP /DE/ DE 1.01,2.03,9.01 03/12/13 DATARAM CORP NJ 5.03,5.07,8.01,9.01 03/13/13 DCP Midstream Partners, LP DE 1.01,2.03,9.01 03/14/13 DEAN FOODS CO DE 1.01,2.03,9.01 03/08/13 DELCATH SYSTEMS INC DE 2.02,9.01 03/13/13 DELCATH SYSTEMS INC DE 7.01 03/14/13 DelMar Pharmaceuticals, Inc. NV 1.01,2.01,3.02,4.01, 01/25/13 AMEND 5.01,5.02,5.03,5.06, 9.01 DELTA APPAREL, INC GA 1.01,9.01 03/11/13 DEX ONE Corp DE 5.07 03/13/13 DIRECTVIEW HOLDINGS INC 4.01,9.01 03/13/13 DOT HILL SYSTEMS CORP DE 2.02,9.01 03/14/13 DOT HILL SYSTEMS CORP DE 8.01,9.01 03/14/13 DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 03/13/13 DREW INDUSTRIES INC DE 8.01,9.01 03/14/13 DYNEGY INC. DE 2.02,7.01,9.01 03/14/13 Edgen Group Inc. DE 2.02,9.01 03/14/13 EHOUSEGLOBAL, INC. NV 5.07,9.01 12/09/12 EMC INSURANCE GROUP INC IA 5.02 03/13/13 Emerald Oil, Inc. MT 2.02,5.02,9.01 03/13/13 EMPIRE ENERGY CORP UT 8.01 03/14/13 ENERGEN CORP AL 8.01 03/14/13 Ensco plc 7.01,9.01 03/14/13 ENTROPIC COMMUNICATIONS INC DE 1.01 03/12/13 EPR PROPERTIES MD 5.02 03/14/13 ERF Wireless, Inc. NV 5.02,9.01 02/22/13 ETHAN ALLEN INTERIORS INC DE 5.02,9.01 03/14/13 EVERTEC Group, LLC PR 2.02,9.01 03/14/13 FactorShares 2X: Gold Bull/S&P500 Bea 5.02 03/14/13 FactorShares 2X: Oil Bull/S&P500 Bear 5.02 03/14/13 FactorShares 2X: S&P500 Bull/TBond Be 5.02 03/14/13 FactorShares 2X: S&P500 Bull/USD Bear 5.02 03/14/13 FactorShares 2X: TBond Bull/S&P500 Be 5.02 03/14/13 FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 03/14/13 FASTFUNDS FINANCIAL CORP NV 4.01,9.01 03/14/13 Federal Home Loan Bank of Atlanta X1 2.03 03/11/13 Federal Home Loan Bank of Boston X1 2.03 03/11/13 Federal Home Loan Bank of Chicago X1 2.03 03/11/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/11/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/12/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/11/13 Federal Home Loan Bank of New York X1 2.03,9.01 03/11/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/11/13 Federal Home Loan Bank of San Francis X1 2.03 03/11/13 Federal Home Loan Bank of Seattle 2.03 03/12/13 Federal Home Loan Bank of Topeka 2.03,9.01 03/11/13 FEDERAL MOGUL CORP DE 2.01,8.01,9.01 03/08/13 Fibrocell Science, Inc. DE 5.02,8.01 03/11/13 Fiesta Restaurant Group, Inc. DE 2.02,9.01 03/14/13 Fifth Street Finance Corp DE 5.07 03/14/13 FIFTH THIRD BANCORP OH 7.01,9.01 03/14/13 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 03/14/13 FIRST COLOMBIA GOLD CORP. NV 1.01,3.02,9.01 03/12/13 First Connecticut Bancorp, Inc. MD 2.02 03/01/13 AMEND FIRST FINANCIAL BANCORP /OH/ OH 8.01 03/14/13 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 03/13/13 FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 03/14/13 Ford Credit Auto Lease Trust 2013-A DE 1.01,8.01,9.01 03/12/13 FRANKLIN COVEY CO UT 1.01,7.01,9.01 03/11/13 FRANKLIN RESOURCES INC DE 5.07 03/13/13 Fresh Market, Inc. DE 5.02,9.01 03/08/13 FRONTIER FUND DE 1.01,1.02,8.01 03/08/13 FX ENERGY INC NV 8.01,9.01 03/14/13 FX ENERGY INC NV 8.01,9.01 03/14/13 GARMIN LTD V8 1.01 03/14/13 GARMIN LTD V8 8.01,9.01 03/14/13 GENERAL EMPLOYMENT ENTERPRISES INC IL 3.01,9.01 03/11/13 AMEND GENESEE & WYOMING INC DE 9.01 03/13/13 AMEND GLOBAL PARTNERS LP 2.02,7.01,9.01 03/14/13 Globalstar, Inc. DE 2.02,7.01,9.01 03/14/13 Great Lakes Dredge & Dock CORP DE 2.02,4.02,5.02,9.01 03/12/13 GREAT PLAINS ENERGY INC MO 8.01,9.01 03/11/13 GRIFFON CORP DE 1.01 03/08/13 GSE Holding, Inc. DE 2.02,7.01,9.01 12/31/12 GTX INC /DE/ DE 8.01,9.01 03/14/13 HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 03/14/13 HARVARD BIOSCIENCE INC DE 5.05,9.01 03/09/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 5.02 03/08/13 HAWAIIAN HOLDINGS INC DE 2.02,8.01,9.01 03/14/13 Health Insurance Innovations, Inc. DE 2.02,9.01 03/14/13 Health Insurance Innovations, Inc. DE 1.01,2.01,5.02,8.01, 03/08/13 9.01 HECLA MINING CO/DE/ DE 8.01,9.01 03/14/13 HERTZ CORP DE 8.01,9.01 03/14/13 HERTZ GLOBAL HOLDINGS INC 8.01,9.01 03/14/13 Hill International, Inc. DE 2.02,9.01 03/11/13 HollyFrontier Corp DE 5.02,9.01 03/11/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 05/21/12 HORNBECK OFFSHORE SERVICES INC /LA DE 8.01,9.01 03/14/13 HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 1.01,9.01 03/10/13 Imperial Holdings, Inc. 5.02 03/12/13 INTERACTIVE DATA CORP/MA/ DE 1.01,2.03,9.01 03/08/13 International Stem Cell CORP DE 1.01,3.02,9.01 03/12/13 INTUITIVE SURGICAL INC DE 8.01,9.01 03/13/13 INVESTORS CAPITAL HOLDINGS LTD MA 1.01,2.03 03/08/13 J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 03/14/13 Jones Lang LaSalle Income Property Tr MD 8.01 03/14/13 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 03/14/13 KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 03/14/13 Labor Smart, Inc. NV 5.02,8.01,9.01 03/11/13 LENCO MOBILE INC. DE 1.01,3.02,3.03,5.03, 03/08/13 9.01 LEXMARK INTERNATIONAL INC /KY/ DE 5.02,9.01 03/08/13 LGL GROUP INC DE 8.01,9.01 03/14/13 LIFETIME BRANDS, INC DE 2.02,9.01 03/14/13 LIGAND PHARMACEUTICALS INC DE 1.01,8.01,9.01 03/14/13 LIN TV CORP. DE 8.01,9.01 03/14/13 Lone Pine Resources Inc. DE 2.02,5.02,7.01,9.01 03/13/13 Loreto Resources Corp. NV 1.01,3.02,3.03,5.01, 03/08/13 5.03,5.07,9.01 MARCHEX INC DE 8.01 03/13/13 Matador Resources Co TX 1.01,2.02,2.03,7.01, 03/11/13 9.01 MAUI LAND & PINEAPPLE CO INC HI 5.02,5.03,9.01 02/07/13 MAXIM INTEGRATED PRODUCTS INC DE 1.01 03/13/13 MAXIMUS INC VA 8.01 03/12/13 MEDGENICS, INC. DE 5.02,7.01,9.01 03/08/13 MEMC ELECTRONIC MATERIALS INC DE 8.01,9.01 03/13/13 AMEND MENS WEARHOUSE INC TX 2.02,9.01 03/13/13 MERRIMACK PHARMACEUTICALS INC DE 2.02,9.01 03/14/13 METROPCS COMMUNICATIONS INC DE 8.01,9.01 03/08/13 Molycorp, Inc. DE 2.02,2.06,9.01 03/14/13 Monarch Financial Holdings, Inc. VA 3.02,9.01 03/14/13 Mondelez International, Inc. VA 8.01,9.01 03/12/13 MORGAN STANLEY DE 8.01 03/14/13 MusclePharm Corp NV 2.02,7.01,9.01 03/14/13 NATURAL GAS SERVICES GROUP INC 2.02,9.01 03/13/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 7.01 03/13/13 NBTY INC DE 2.05,2.06 03/08/13 Neonode, Inc DE 2.02,9.01 03/14/13 NEWS CORP 8.01,9.01 03/14/13 NORTEK INC DE 2.02,9.01 03/14/13 Northern Tier Energy LP DE 2.02,7.01,9.01 03/13/13 NORTHWEST PIPE CO OR 2.02,9.01 03/14/13 NTS REALTY HOLDINGS LP DE 8.01,9.01 03/14/13 AMEND Oak Valley Bancorp CA 8.01 03/13/13 Obagi Medical Products, Inc. DE 2.02,9.01 03/14/13 Ocean Power Technologies, Inc. NJ 2.02,9.01 03/14/13 OCWEN FINANCIAL CORP FL 5.02,9.01 03/11/13 Oncothyreon Inc. DE 2.02,9.01 03/14/13 ONE LIBERTY PROPERTIES INC MD 2.02,9.01 03/14/13 ORBCOMM Inc. DE 2.02,9.01 03/14/13 OvaScience, Inc. DE 1.01,3.02,8.01,9.01 03/14/13 PANTRY INC DE 5.07 03/14/13 PASSPORT POTASH INC A1 7.01,9.01 03/13/13 PENNS WOODS BANCORP INC PA 8.01,9.01 03/14/13 PEP BOYS MANNY MOE & JACK PA 5.02,9.01 03/13/13 PHARMACYCLICS INC DE 8.01 03/14/13 PPLUS Trust Series EQ-1 DE 8.01 03/13/13 PPLUS Trust Series LMG-3 8.01 03/13/13 PPlus Trust Series LMG-4 DE 8.01 03/13/13 PREFORMED LINE PRODUCTS CO OH 2.02,9.01 03/14/13 PREMIERWEST BANCORP OR 8.01,9.01 03/13/13 PRUDENTIAL FINANCIAL INC NJ 8.01,9.01 03/14/13 Q Therapeutics, Inc. DE 5.02 03/08/13 QUEST DIAGNOSTICS INC DE 8.01,9.01 03/14/13 RAMBUS INC DE 5.02,8.01,9.01 03/08/13 READING INTERNATIONAL INC NV 5.02 03/07/13 REAL ESTATE ASSOCIATES LTD II CA 8.01 12/04/12 REALTY INCOME CORP MD 5.03,9.01 03/13/13 REGIONS FINANCIAL CORP DE 7.01,9.01 03/14/13 Resolute Energy Corp DE 5.02,9.01 03/08/13 RESOLUTE ONCOLOGY INC NV 3.02 03/13/13 Revel AC, Inc. DE 1.01,5.02,7.01,9.01 03/08/13 Revolution Lighting Technologies, Inc DE 1.01,3.02,9.01 03/08/13 Rockdale Resources Corp CO 5.02 03/13/13 RR Donnelley & Sons Co DE 8.01,9.01 03/14/13 Sabra Health Care REIT, Inc. MD 8.01,9.01 03/13/13 SALEM COMMUNICATIONS CORP /DE/ DE 1.01,1.02,2.03,9.01 03/14/13 Santander Drive Auto Receivables Trus DE 1.01,9.01 03/13/13 Santo Mining Corp. NV 1.02 02/27/13 AMEND SILICON LABORATORIES INC DE 5.02,9.01 03/13/13 SILICON LABORATORIES INC DE 5.02,9.01 02/22/13 AMEND SmartMetric, Inc. 8.01,9.01 03/13/13 Snap Interactive, Inc DE 2.02,9.01 03/14/13 Sorrento Therapeutics, Inc. DE 1.01,3.02,9.01 03/13/13 SOUTHERN STATES SIGN Co NV 1.01,9.01 03/10/13 SPECTRUM PHARMACEUTICALS INC DE 1.01,9.01 03/08/13 SPIRIT REALTY CAPITAL, INC. MD 8.01,9.01 03/14/13 STEC, INC. CA 2.02,9.01 03/14/13 STR HOLDINGS, INC. DE 2.02,9.01 03/14/13 STRATEGIC HOTELS & RESORTS, INC 1.01,2.03,9.01 03/08/13 Summit Midstream Partners, LP DE 2.02,9.01 03/13/13 SUN COMMUNITIES INC MD 1.01,8.01,9.01 03/08/13 SUNGARD CAPITAL CORP DE 1.01,9.01 03/08/13 SUNTRUST BANKS INC GA 8.01,9.01 03/14/13 SUPERCONDUCTOR TECHNOLOGIES INC DE 5.03,5.07,9.01 03/14/13 SUPERNUS PHARMACEUTICALS INC DE 2.02,9.01 03/14/13 Synacor, Inc. 1.01,7.01,9.01 03/11/13 TAL International Group, Inc. DE 1.01,2.03 03/12/13 TEAM INC TX 7.01,9.01 03/14/13 Technology Applications International FL 4.01,9.01 03/12/13 Texas Gulf Energy Inc NV 7.01,9.01 03/14/13 Tianli Agritech, Inc. D8 2.02,7.01,9.01 03/14/13 Transocean Ltd. V8 7.01,9.01 03/14/13 Tribute Pharmaceuticals Canada Inc. 1.01,3.02,9.01 03/14/13 TRIMAS CORP DE 4.01,9.01 02/28/13 AMEND TRINITY INDUSTRIES INC DE 5.03,9.01 03/12/13 TRISTAR WELLNESS SOLUTIONS, INC. NV 1.01,3.02,9.01 03/14/13 True Drinks Holdings, Inc. NV 8.01 03/13/13 U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 03/14/13 Ulta Salon, Cosmetics & Fragrance, In DE 2.02,5.02,9.01 03/14/13 United Development Funding III, LP DE 8.01,9.01 03/14/13 United Development Funding IV MD 8.01,9.01 03/14/13 UNS Energy Corp AZ 2.03,9.01 03/14/13 US BANCORP \DE\ DE 8.01,9.01 03/14/13 UWHARRIE CAPITAL CORP NC 2.02,9.01 03/14/13 Vanda Pharmaceuticals Inc. DE 8.01,9.01 03/14/13 VERENIUM CORP DE 2.02,4.02,9.01 03/14/13 Viacom Inc. DE 8.01,9.01 03/11/13 VIASAT INC DE 1.01,9.01 03/11/13 VIEW SYSTEMS INC NV 1.01,5.02,9.01 03/01/13 VIRGINIA ELECTRIC & POWER CO VA 8.01,9.01 03/11/13 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 03/14/13 Workday, Inc. DE 5.03,9.01 03/08/13 XcelMobility Inc. NV 1.01,3.02,5.02,9.01 03/09/13 XRS Corp MN 5.03,5.07,9.01 03/08/13 Zumiez Inc WA 2.02,9.01 03/14/13 ZYNEX INC NV 2.02,9.01 03/14/13