SEC Charges Financier with Stealing Investor Funds in Purported Offerings of Pre-IPO Facebook Shares
The Securities and Exchange Commission today announced charges against a financier masquerading as a sophisticated fund manager who defrauded investors seeking to acquire highly coveted pre-IPO shares of Facebook and other social media companies.
An investigation by the SEC’s Enforcement Division found that Craig Berkman, a former Oregon gubernatorial candidate who now lives in Florida, touted to investors that he had special access to scarce sources of pre-IPO stock in Facebook, LinkedIn, Groupon, and Zynga. Instead of purchasing shares on investors’ behalf as promised, Berkman misused their investments to make Ponzi-like payments to earlier investors, fund personal expenses, and pay off claims against him in a bankruptcy case.
The SEC’s Enforcement Division also charged John B. Kern of Charleston, S.C., for his participation in the fraud as legal counsel to some of Berkman’s companies. When investors in Berkman’s phony Facebook fund began questioning what happened to their money after Facebook’s IPO occurred, Kern falsely assured them that their money was used to purchase pre-IPO Facebook stock being held for them by unnamed counterparties.
“Berkman blatantly capitalized on the market fervor preceding highly anticipated IPOs of Facebook and other social media companies to fleece investors whose cash flow he treated like an ATM to fund his own living expenses and pay court-ordered claims to victims of his past misdeeds,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office.
Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “Lawyers and others who help shady operators commit fraud in the securities markets will be held accountable for their supporting roles. Kern was duty-bound to look out for investors’ best interests, but instead he was actively colluding with Berkman to prevent investors from discovering the fraud.”
In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Berkman.
According to the SEC’s order instituting administrative proceedings, Berkman raised at least $13.2 million from 120 investors by selling membership interests in limited liability companies that he controlled. Berkman defrauded investors in three different sets of offerings. He falsely told the first set of investors he would use their money to acquire pre-IPO shares of several social media companies. He misled the second set of investors into believing that their money would be used to purchase pre-IPO shares of Facebook or acquire a company that held pre-IPO Facebook shares. In the third offering, Berkman falsely told investors that he would use their money to fund various new large-scale technology ventures.
The SEC’s Enforcement Division alleges that Berkman misappropriated virtually all investor funds that he raised. He did use $600,000 to purchase a small interest in an unrelated fund that had acquired pre-IPO Facebook stock, however that purchase did not provide any company affiliated with Berkman with ownership of Facebook shares. One of Berkman’s companies nevertheless used a forged letter about that investment to falsely represent to investors that it owned nearly a half-million shares of Facebook stock. Upon discovering the forgery, the fund informed Berkman that it was immediately terminating and liquidating his company’s interest, leaving it without even an indirect interest in Facebook shares.
The SEC’s order details a recidivist history for Berkman. The Oregon Division of Finance and Securities issued a cease-and-desist order and $50,000 fine against Berkman in 2001 for offering and selling convertible promissory notes without a brokerage license to Oregon residents. In June 2008, an Oregon jury found Berkman liable in a private action for breach of fiduciary duty, conversion of investor funds, and misrepresentation to investors arising from Berkman’s involvement with a series of purported venture capital funds known as Synectic Ventures. The court entered a $28 million judgment against Berkman. In March 2009, Synectic filed an involuntary Chapter 7 bankruptcy petition against Berkman in Florida for his unpaid debts arising from the 2008 court judgment. The parties to the bankruptcy proceeding reached a settlement with Berkman.
According to the SEC’s order, instead of using his own money to satisfy these past claims, Berkman spent more than $5.4 million in funds from investors in his pre-IPO offerings to make the payments in the bankruptcy settlement. Berkman also made $4.8 million in Ponzi-like payments to earlier investors in the pre-IPO scheme, falsely telling some of them that they had made money on their investment when in reality he never purchased shares for them. Berkman used approximately $1.6 million of investor money to make large cash withdrawals and pay his own dining and travel expenses.
According to the SEC’s order, three months after Facebook’s IPO transpired, Kern wrote and signed a memorandum addressed to concerned investors in Berkman’s purported Facebook fund. Kern’s memorandum stated that a counterparty has “repeatedly affirmed that it has the requisite [Facebook] shares and reconfirmed to us that we have the securities interests to which we subscribed.” Kern knew this statement was false because the “counterparty” had told Kern that it was terminating Berkman’s company’s interest in the fund because of the forged letter. Kern received nearly $300,000 out of the offering proceeds.
The SEC’s order alleges that Berkman and his affiliated entities committed and caused violations of the antifraud provisions of the federal securities laws, and that Kern caused and aided and abetted the violations. The administrative proceedings will determine whether a cease-and-desist order should be issued and what, if any, remedial action or financial sanctions are appropriate and in the public interest.
The SEC’s investigation, which is continuing, has been conducted by Christopher M. Castano, Neil Hendelman, Layla Mayer, Vipul Soni, and George N. Stepaniuk of the New York Regional Office. The SEC’s litigation will be led by Preethi Krishnamurthy. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York and the U.S. Postal Inspection Service. (Press Rel. 2013-44; Rels. 33-9394; 34-69171; IA-3569; IC-30428; File No. 3-15249)
In the Matter of Millennium BCP
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Banco Comercial PortuguÍs, S.A. (BCP).
The Order finds that since at least 2006, BCP, a commercial bank headquartered in Portugal, maintained accounts for U.S. resident customers, primarily Portuguese immigrants or citizens residing in the U.S., that held products deemed to be securities under U.S. law. Although BCP has never been registered with the Commission as a broker, dealer or investment adviser, BCP, in violation of the broker-dealer and investment adviser registration provisions, bought and sold securities for U.S. resident customers and provided some of those customers with investment advice. Such transactions in the BCP accounts were not registered and did not qualify for any exemption from registration. By offering and selling securities in the U.S. without registration and without an exemption from registration, and by acting as a broker-dealer and investment adviser to U.S. residents without registering with the Commission, BCP willfully violated Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act), Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Section 203(a) of the Investment Advisers Act of 1940 (Advisers Act).
Based on the above, the Order (i) orders BCP to cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act, Section 15(a) of the Exchange Act, and Section 203(a) of the Advisers Act; (ii) censures BCP; (iii) requires BCP to pay disgorgement of $1,352,220 along with prejudgment interest of $289,838 and a civil money penalty of $250,000; and (iv) orders BCP to comply with its undertakings to terminate all business of providing broker-dealer and investment advisory services to any U.S. person within 90 days of the entry of the order. BCP consented to the issuance of the Order without admitting or denying any of the findings in the Order except BCP admitted the Commission’s jurisdiction over BCP and the subject matter of the proceedings. (Rel. 33-9393; 34-69167; IA-3568; File No. 3-15248)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Law Enforcement Associates Corp. and Sino Shipping Holdings, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69168; File No. 3-15186)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Maxsys Holdings, Inc., Noble Consolidated Industries Corp., NSM Holdings, Inc., N.T. Properties, Inc., and PrimePlayer, Inc. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69169; File No. 3-15218)
Commission Revokes Registration of Securities of My Complete Care, Inc. for Failure to Make Required Periodic Filings
On March 19, 2013, the Commission revoked the registration of each class of registered securities of My Complete Care, Inc. (My Complete Care) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, My Complete Care consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to My Complete Care, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of My Complete Care’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against My Complete Care in In the Matter of My Complete Care, Inc., et al., Administrative Proceeding File No. 3-15217.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of My Complete Care, Inc., et al., Administrative Proceeding File No. 3-15217, Exchange Act Release No. 68986, February 26, 2013. (Rel. 34-69170; File No. 3-15217)
Commission Dismisses Review Proceeding Brought By Eric J. Weiss
The Commission dismissed the review proceeding of a FINRA-member firm's application to continue to employ Eric J. Weiss as a registered representative and securities principal despite Weiss's statutory disqualification. In dismissing the review proceeding, the Commission found that FINRA's denial of the application was in accordance with FINRA's rules and that FINRA applied those rules in a manner consistent with the Securities Exchange Act of 1934. Among other things, the Commission found that FINRA, in rejecting the member firm's application, appropriately considered (i) the seriousness of the violations that led to the Connecticut consent order that caused Weiss to become statutorily disqualified; (ii) Weiss's personal history, which includes multiple customer complaints; and (iii) shortcomings in the member firm's proposed supervisory plan. (Rel. 34-69177; File No. 3-14844)
In the Matter of Berton M. Hochfeld
The United States Securities and Exchange Commission (Commission) announced the issuance of 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 Berton M. Hochfeld. The Order finds that on November 21, 2012, a judgment was ordered against Hochfeld, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 203, 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940, and Rule 206(4)-8 thereunder, in the civil action entitled SEC v. Berton M. Hochfeld, et al., 12-CV-8202 (S.D.N.Y.). The Commission’s complaint alleged, among other things, that between April 2011 and October 2012, Hochfeld misappropriated approximately $1.3 million from a hedge fund he managed, the Heppelwhite Fund, LP, and made material misstatements to fund investors, including providing them with periodic statements that overstated the value of their investments.
Based on the above, the Order bars Hochfeld from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Hochfeld consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the judgment. (Rel. IA-3570; File No. 3-15250)
Massachusetts Federal Court Enters Judgments Against Two Defendants Charged in Investment Frauds
The Commission announced that on March 13, 2013, a Massachusetts federal court entered final judgments by default against 211 Ventures, LLC (“211 Ventures”), based in Billerica, Massachusetts, and against Robert S. Anderson, of Madison, Indiana. The two were defendants in a fraud action involving the promotion and sale of fictitious financial instruments and trading programs filed by the Commission on September 19, 2011. The default judgments entered by the Honorable Mark L. Wolf require the two defendants to pay a total of more than $2.3 million in disgorgement of ill-gotten gains, prejudgment interest, and civil penalties, and permanently enjoin them both from future violations of the antifraud and other provisions of the federal securities laws. The Commission’s action against three other defendants remains pending.
The Commission’s complaint alleged that 211 Ventures purported to offer direct investments in fraudulent and non-existent trading programs, promising high returns and guarantees against loss. The Court ordered 211 Ventures to pay $1,074,000 in disgorgement, $206,502.91 in prejudgment interest, and a civil penalty in the amount of $650,000. The Commission alleged that Anderson offered investors fictitious trading programs through an entity called E-Trust, based on gold or precious metals, medium term notes, or other assets, and received investor funds that he used for his personal gain. The final judgment against Anderson requires him to pay $252,719.53 in disgorgement, $34,574.13 in prejudgment interest, and a civil penalty in the amount of $150,000. The Court also permanently enjoined both Anderson and 211 Ventures from committing further violations of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 5 of the Securities Act.
The Commission’s complaint also charged Diane Glatfelter, of Billerica, MA, and Robert Rice of Tallahassee, Florida, who together own 211 Ventures, and K2 Unlimited, Inc., based in Billerica Massachusetts, of which Glatfelter is sole shareholder. The Commission’s case against Glatfelter, Rice and K2 Unlimited, Inc. will continue.
Investors who are offered investments similar to those alleged in the Commission's complaint may want to consult the SEC's website concerning "Warning to All Investors about Bogus "Prime Bank" and Other Banking-Related Investment Schemes," at: http://www.sec.gov/divisions/enforce/primebank.shtml; or, "How Prime Bank Frauds Work," at: http://www.sec.gov/divisions/enforce/primebank/howtheywork.shtml. [SEC v. K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson, Case No. 11cv11649 (U.S. District Court, D. Mass.] (LR-22649)
SEC v. Sigma Capital Management, LLC et al.
On March 19, 2013, the Securities and Exchange Commission 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 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.
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. [SEC v. Sigma Capital Management, LLC et al., 13 Civ. 1740] (LR-22650)
SEC Charges E-Monee.com, Inc., its President, and a Florida Attorney for Fraudulent Offer of Securities
On March 19, 2013, the Securities and Exchange Commission filed fraud charges against E-Monee.com, Inc. (E-Monee), its president, Estuardo Benavides (Benavides), and one of its directors and a licensed Florida attorney, Robert B. Cook (Cook), for offering shares in E-Monee to investors under the false pretense that the company owned Mexican bonds worth billions of dollars.
The SEC’s complaint, filed in the United States District Court for the Southern District of Florida, charges E-Monee.com, Inc., Estuardo Benavides, 59, of Margate, Florida, and Robert C. Cook, 70, of Tequesta, Florida for fraudulently offering shares in E-Monee from at least January 2010 through May 2011, while claiming, among other things, the company owned Mexican bonds purportedly worth approximately $5 billion, and that E-Monee’s shares would substantially increase in value. The complaint alleges that the Mexican bonds the company owned, in reality, were essentially worthless and there was no valid basis for the claims by Benavides and Cook that E-Monee’s shares would substantially increase in value.
The SEC’s complaint charges E-Monee, Benavides and Cook with violations of Section 17(a)(1) and 17(a)(3) of the Securities Act of 1933. The SEC is seeking permanent injunctions and civil money penalties against all three defendants. The SEC will also seek penny stock bars against Benavides and Cook.
The SEC acknowledges the substantial assistance of the U.S. Secret Service in this investigation. [SEC v. E-Monee.com, Inc. et al., Civil Action No. 0:13-cv-60637-WJZ (S.D. Fla)] (LR-22651)
Defendant in SEC Enforcement Action Sentenced to Over Seven Years in Prison and Ordered to Pay Over $3 Million
The Securities and Exchange Commission announced today that, on March 12, 2012, the United States District Court for the District of Massachusetts sentenced former investment advisor Gary J. Martel, a resident of Chelsea, Massachusetts, to eighty-seven months imprisonment plus three years of supervised release, and ordered him to pay restitution in the amount of $3,274,031.41 based upon his guilty plea to criminal charges brought by the United States District Attorney for the District of Massachusetts. In November 2012, Martel pled guilty to three counts of mail fraud and to wire fraud. The criminal information filed against Martel alleged that, from 2004 to 2012, he defrauded his investment advisory clients by diverting funds that he received from them for investments for his own personal use rather than investing the funds as he represented that he would.
The Commission previously filed a related civil enforcement action against Martel in June 2012. In January 2013, the United States District Court for the District of Massachusetts entered a final judgment of default in that case against Martel, who conducted business under the names Martel Financial Group and MFG Funding. The final judgment enjoins Martel from violating Section 10(b) of the Securities Act of 1934 and Rule 10b-5 thereunder; Section 17(a) of the Securities Act of 1933; and Sections 206(1) and (2) of the Investment Advisers Act of 1940. The final judgment also orders Martel to pay $3,957,244 in disgorgement and pre-judgment interest, and a civil penalty in the amount of $3,261,438. According to the complaint the Commission filed against Martel on June 19, 2012, the former investment adviser raised money from investors in Massachusetts, Vermont, New Hampshire, New York, and Florida by promising to invest their money in “pass through” bonds with favorable interest rates, as well as by promising to make pooled investments in mortgage-related securities and Facebook’s initial public offering. The complaint alleged that Martel’s bonds and investment pools were fictitious, and instead of investing his clients’ funds on their behalf as he promised, Martel used the funds for other purposes, including making payments to earlier investors. A preliminary injunction prohibiting Martel from violating the antifraud provisions of the federal securities laws and freezing his assets was entered by the district court on June 20, 2012.
The Commission has barred Martel from the securities industry. On February 7, 2013, an Order Making Findings and Imposing Sanctions by Default was entered against Martel barring him from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical organization and from participating in an offering of penny stock based on findings that Martel, among other things, had pled guilty to the mail and wire fraud charges brought by the United States Attorney’s Office for the District of Massachusetts. [SEC v. Gary J. Martel, d/b/a Martel Financial Group and MFG Funding, Criminal No. 1:12-cr-10345-FDS-1 (District of Massachusetts] (LR-22652)
Immediate Effectiveness of Proposed Rule Changes
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-ISE-2013-23) filed by the International Securities Exchange, LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend its rules related to Mini Options traded on the exchange. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69153)
The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BOX-2013-14) filed by the BOX Options Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the minimum price variation for Mini Options to be the same as permitted for standard options on the same underlying security. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69154)
A proposed rule change filed by NASDAQ OMX PHLX LLC relating to Mini Options (SR-Phlx-2013-34) 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. 34-69162)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-ISE-2013-07), submitted by International Securities Exchange, LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, and Rule 19b-4 thereunder, to amend the International Securities Exchange, LLC Amended and Restated Constitution. Publication is expected in the Federal Register during the week of March 18, 2013. (Rel. 34-69164)
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-3 LADENBURG THALMANN FINANCIAL SERVICES INC, 4400 BISCAYNE BLVD., 12TH FLOOR, MIAMI, FL, 33137, 212-409-2000 - 0 ($250,000,000.00) Equity, (File 333-187322 - Mar. 18) (BR. 08B) S-4 LIN TELEVISION CORP, ONE WEST EXCHANGE STREET, SUITE 5A, PROVIDENCE, RI, 02903, 4014542880 - 0 ($290,000,000.00) Debt, (File 333-187323 - Mar. 18) (BR. 11A) N-2 Medley Capital Corp, 375 PARK AVENUE, SUITE 3304, NEW YORK, NY, 10152, 212-759-0777 - 0 ($750,000,000.00) Equity, (File 333-187324 - Mar. 18) (BR. 22) S-1 BLACKHAWK NETWORK HOLDINGS, INC, 5918 STONERIDGE MALL ROAD, PLEASANTON, CA, 94588, 925-226-9990 - 0 ($200,000,000.00) Equity, (File 333-187325 - Mar. 18) (BR. 07) S-8 HORIZON PHARMA, INC., 520 LAKE COOK ROAD, SUITE 520, DEERFIELD, IL, 60062, 224-383-3000 - 0 ($3,733,698.00) Equity, (File 333-187326 - Mar. 18) (BR. 01B) S-8 Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 7025825535 - 20,000,000 ($58,000.00) Equity, (File 333-187333 - Mar. 18) (BR. 03B) S-3 ENDOCYTE INC, 3000 KENT AVE STE A1-100, WEST LAFAYETTE, IN, 47906, 7654637175 - 0 ($125,000,000.00) Other, (File 333-187334 - Mar. 18) (BR. 01A) S-3 BioScrip, Inc., 100 CLEARBROOK ROAD, ELMSFORD, NY, 10523, 914 460 1600 - 0 ($395,257,042.00) Equity, (File 333-187336 - Mar. 18) (BR. 01B) S-3ASR HOLLY ENERGY PARTNERS LP, 2828 N. HARWOOD, SUITE 1300, DALLAS, TX, 75201, 214-871-3555 - 0 ($0.00) Limited Partnership Interests, (File 333-187337 - Mar. 18) (BR. 04B) S-8 AUTODESK INC, 111 MCINNIS PKWY, SAN RAFAEL, CA, 94903, 4155075000 - 4,727,109 ($161,052,603.63) Equity, (File 333-187338 - Mar. 18) (BR. 03B) S-3 Universal Business Payment Solutions Acquisition Corp, 150 NORTH RADNOR-CHESTER ROAD, SUITE F-200, RADNOR, PA, 19087, 6109772482 - 13,145,774 ($41,935,019.06) Equity, (File 333-187339 - Mar. 18) (BR. 03B) S-8 Pandora Media, Inc., 2101 WEBSTER STREET, SUITE 1650, OAKLAND, CA, 94612, (510) 451-4100 - 5,175,182 ($70,434,227.02) Equity, (File 333-187340 - Mar. 18) (BR. 11A) N-2 NUVEEN CALIFORNIA PERFORMANCE PLUS MUNICIPAL FUND INC, 333 WEST WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,000 ($15,990.00) Equity, (File 333-187341 - Mar. 18) (BR. 18) S-8 HANSEN MEDICAL INC, 800 EAST MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA, 94043, 650 404 5800 - 3,433,124 ($7,346,885.36) Equity, (File 333-187342 - Mar. 18) (BR. 10A) S-3 ORAMED PHARMACEUTICALS INC., 2 ELZA STREET, JERUSALEM, L3, 93706, 011 972-54-7909058 - 0 ($25,000,000.00) Equity, (File 333-187343 - Mar. 18) (BR. 01B) S-8 OMEROS CORP, 1420 5TH AVE, SUITE 2600, SEATTLE, WA, 98101, 206-676-5000 - 0 ($7,290,141.00) Equity, (File 333-187344 - Mar. 18) (BR. 01A) S-3 SMITH & WESSON HOLDING CORP, 2100 ROOSEVELT AVENUE, SPRINGFIELD, MA, 01104, 4137473573 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-187345 - Mar. 18) (BR. 06C) S-8 AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376, ANN ARBOR, MI, 48106, 7349305555 - 0 ($6,500,000.00) Equity, (File 333-187346 - Mar. 18) (BR. 01A) S-8 Anacor Pharmaceuticals Inc, 1020 E. MEADOW CIRCLE, PALO ALTO, CA, 94303, 650-543-7500 - 0 ($5,382,977.50) Equity, (File 333-187347 - Mar. 18) (BR. 01A) S-3 Chefs' Warehouse, Inc., 100 EAST RIDGE ROAD, RIDGEFIELD, CT, 06877, (203) 894-1345 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-187348 - Mar. 18) (BR. 02A) S-4 Chefs' Warehouse, Inc., 100 EAST RIDGE ROAD, RIDGEFIELD, CT, 06877, (203) 894-1345 - 0 ($75,360,000.00) Equity, (File 333-187349 - Mar. 18) (BR. 02A) S-3ASR AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202, 2108214105 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187350 - Mar. 18) (BR. 11A) S-3D SOVRAN SELF STORAGE INC, 6467 MAIN ST, WILLIAMSVILLE, NY, 14221, 7166331850 - 0 ($184,230,000.00) Equity, (File 333-187351 - Mar. 18) (BR. 08C) S-1 AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TR, C/O NORTHERN TRUST INVESTMENTS, N.A., 50 SOUTH LASALLE STREET, CHICAGO, IL, 60603, 312-630-6000 - 0 ($46,000,000.00) Other, (File 333-187352 - Mar. 18) (BR. 08C) S-8 ACETO CORP, 4 TRI HARBOR COURT, PORT WASHINGTON, NY, 11050, 5166276000 - 0 ($34,498,750.00) Equity, (File 333-187353 - Mar. 18) (BR. 06C)
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 ----------------------------------------------------------------------------------------- AASTROM BIOSCIENCES INC MI 2.02,9.01 03/18/13 ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 03/18/13 ACORN ENERGY, INC. DE 2.02,9.01 03/18/13 ADA-ES INC CO 7.01,9.01 03/18/13 ADVANCED VENTURES CORP DE 4.01,9.01 03/14/13 AETRIUM INC MN 1.01,5.02,9.01 03/13/13 AFFYMAX INC DE 5.02,8.01,9.01 03/18/13 Air Transport Services Group, Inc. DE 5.02,5.03,9.01 03/18/13 AMBASE CORP DE 5.02 03/18/13 AMC Networks Inc. DE 5.02,9.01 03/12/13 Ameresco, Inc. DE 2.02,7.01 03/18/13 American Casino & Entertainment Prope DE 2.02,9.01 03/18/13 American Liberty Petroleum Corp. NV 2.01,9.01 03/14/13 American Realty Capital Properties, I MD 8.01,9.01 03/17/13 American Realty Capital Properties, I MD 8.01,9.01 03/18/13 AMERICANWEST BANCORPORATION WA 7.01,9.01 03/15/13 AMERISTAR CASINOS INC NV 7.01,9.01 03/18/13 Ampio Pharmaceuticals, Inc. DE 7.01 03/15/13 Andina Acquisition Corp E9 3.01 03/14/13 ANNALY CAPITAL MANAGEMENT INC MD 5.02,9.01 03/17/13 Antero Resources LLC DE 2.02,9.01 03/18/13 ARDEN GROUP INC DE 8.01,9.01 03/18/13 Argo Group International Holdings, Lt 7.01,9.01 03/18/13 ARI NETWORK SERVICES INC /WI WI 1.01,3.02,3.03,8.01, 03/12/13 9.01 ARMSTRONG WORLD INDUSTRIES INC PA 1.01,2.03,7.01,9.01 03/15/13 AROTECH CORP DE 2.02,9.01 03/18/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/15/13 AMEND ASHLAND INC. KY 1.01,2.03,7.01,9.01 03/14/13 ASSURANT INC 5.02,9.01 03/14/13 ASSURED GUARANTY LTD D0 7.01 03/18/13 ATHENAHEALTH INC DE 1.01,9.01 03/12/13 Atlas Financial Holdings, Inc. E9 2.02,9.01 03/18/13 AVALONBAY COMMUNITIES INC MD 5.02,9.01 03/13/13 AVISTA CORP WA 7.01 03/18/13 AVRA Surgical Robotics, Inc. DE 5.02 03/12/13 BAKKEN RESOURCES INC NV 5.02,9.01 03/12/13 BANK OF KENTUCKY FINANCIAL CORP KY 8.01,9.01 03/18/13 BASIC ENERGY SERVICES INC 5.02,9.01 03/12/13 BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 03/18/13 BILL BARRETT CORP DE 1.01,9.01 03/18/13 BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,9.01 03/14/13 BIOANALYTICAL SYSTEMS INC IN 5.07 03/14/13 BIOMARIN PHARMACEUTICAL INC DE 8.01 03/14/13 BIOMARIN PHARMACEUTICAL INC DE 3.02 03/13/13 BIOTIME INC CA 2.02,9.01 03/18/13 BLUCORA, INC. DE 5.02 03/15/13 BOB EVANS FARMS INC DE 7.01,9.01 03/18/13 Bonanza Creek Energy, Inc. DE 2.02,9.01 03/14/13 BRAINSTORM CELL THERAPEUTICS INC. DE 8.01,9.01 03/18/13 BROWN SHOE CO INC NY 5.02,9.01 03/18/13 Car Charging Group, Inc. NV 5.02,8.01,9.01 01/11/13 Carey Watermark Investors Inc 1.01,2.01,9.01 03/12/13 Celsion CORP DE 2.02,9.01 03/18/13 CENTERPOINT ENERGY INC 1.01,8.01,9.01 03/14/13 CHARLES & COLVARD LTD NC 5.02,9.01 03/12/13 Chefs' Warehouse, Inc. DE 8.01,9.01 03/18/13 China Energy Recovery, Inc. DE 1.01 03/13/13 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02 03/18/13 AMEND Cindisue Mining Corp DE 8.01,9.01 03/14/13 CKE RESTAURANTS INC DE 1.01,9.01 03/15/13 CMS ENERGY CORP MI 7.01,9.01 03/18/13 COCA-COLA ENTERPRISES, INC. DE 8.01 03/18/13 CommonWealth REIT MD 8.01,9.01 03/15/13 COMSTOCK RESOURCES INC NV 1.01,7.01,9.01 03/15/13 CONNECTICUT WATER SERVICE INC / CT CT 4.01,9.01 03/13/13 CONSOLIDATED GRAPHICS INC /TX/ TX 7.01,9.01 03/18/13 Coronus Solar Inc. A1 1.01,1.02,7.01,8.01, 03/18/13 9.01 CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 03/13/13 CPI CORP DE 1.01,2.04,9.01 03/13/13 CRAWFORD & CO GA 7.01,9.01 03/18/13 CREDIT ACCEPTANCE CORP MI 7.01,9.01 03/18/13 Crestwood Midstream Partners LP DE 8.01,9.01 03/18/13 Crestwood Midstream Partners LP DE 9.01 01/08/13 AMEND CRIMSON EXPLORATION INC. 2.02,9.01 03/15/13 CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 03/18/13 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 03/18/13 CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 03/18/13 Crystal Rock Holdings, Inc. DE 2.02,9.01 03/18/13 CUMULUS MEDIA INC DE 2.02,9.01 03/18/13 CYNOSURE INC 1.01,5.02,8.01,9.01 03/17/13 CYTOKINETICS INC 8.01 03/18/13 DAKOTA PLAINS HOLDINGS, INC. NV 7.01,9.01 03/18/13 Del Frisco's Restaurant Group, Inc. DE 5.08 03/12/13 Delek US Holdings, Inc. 1.01,8.01,9.01 03/12/13 DENDREON CORP DE 8.01,9.01 03/18/13 Desert Canadians Ltd. 5.01,5.02,9.01 03/12/13 DEX ONE Corp DE 1.03,2.02,2.04,7.01, 03/18/13 9.01 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 03/18/13 Digital Generation, Inc. DE 7.01,9.01 03/18/13 Diligent Board Member Services, Inc. DE 7.01,9.01 03/18/13 Diversicare Healthcare Services, Inc. DE 8.01,9.01 03/18/13 Dorman Products, Inc. PA 8.01 03/15/13 DTS, INC. DE 2.02,9.01 03/11/13 AMEND Duke Energy CORP DE 7.01,9.01 03/18/13 Duke Energy CORP DE 8.01,9.01 03/18/13 Dynastar Holdings, Inc. NV 1.01,2.01,3.02,5.01, 01/17/12 AMEND 5.02,5.06,9.01 E-Debit Global Corp. CO 8.01,9.01 03/18/13 EAGLE ROCK ENERGY PARTNERS L P DE 1.01,9.01 03/13/13 EBIX INC DE 2.02,9.01 03/14/13 Echo Therapeutics, Inc. DE 5.02,9.01 03/12/13 ECOSPHERE TECHNOLOGIES INC DE 5.02 03/12/13 ECOTALITY, INC. NV 8.01,9.01 03/12/13 EDAC TECHNOLOGIES CORP WI 8.01,9.01 03/18/13 ELECTRONIC ARTS INC. DE 2.02,5.02,9.01 03/18/13 Emdeon Inc. DE 2.02,9.01 03/18/13 EMERITUS CORP\WA\ WA 8.01,9.01 03/12/13 Enduro Royalty Trust DE 2.02,9.01 03/18/13 ENTERPRISE PRODUCTS PARTNERS L P DE 1.01,8.01,9.01 03/18/13 ENTROPIC COMMUNICATIONS INC DE 7.01,9.01 03/18/13 ENZON PHARMACEUTICALS INC DE 2.02,9.01 03/18/13 EPL OIL & GAS, INC. DE 8.01,9.01 03/18/13 EQUITY LIFESTYLE PROPERTIES INC MD 5.02,8.01 03/13/13 EQUITY RESIDENTIAL MD 5.02 03/14/13 ESSEX PROPERTY TRUST INC MD 1.01,5.02,9.01 03/12/13 Essex Rental Corp. IL 1.01,2.03,9.01 03/12/13 Essex Rental Corp. IL 2.02,9.01 03/18/13 Eventure Interactive, Inc. NV 8.01 03/14/13 ExlService Holdings, Inc. DE 5.02,9.01 03/18/13 EXTERRAN PARTNERS, L.P. DE 7.01,8.01,9.01 03/18/13 FAB Universal Corp. CO 2.02,7.01,9.01 03/18/13 FALCONSTOR SOFTWARE INC DE 2.02,9.01 03/18/13 Federal Home Loan Bank of Dallas 2.03,9.01 03/12/13 FERRELLGAS PARTNERS L P DE 5.02 03/18/13 Fidelity National Information Service 5.02,9.01 03/18/13 Fiesta Restaurant Group, Inc. DE 7.01 03/18/13 Fiesta Restaurant Group, Inc. DE 8.01,9.01 03/18/13 First California Financial Group, Inc DE 8.01 03/17/13 FIRST FARMERS & MERCHANTS CORP TN 4.02 03/15/13 First Financial Northwest, Inc. WA 5.02,9.01 03/14/13 FIVE STAR QUALITY CARE INC 1.01,2.03,9.01 03/15/13 FOREST OIL CORP NY 8.01 03/18/13 FREQUENCY ELECTRONICS INC DE 5.03,9.01 03/13/13 FS Energy & Power Fund DE 2.02 03/15/13 FS Investment Corp II MD 2.02 03/14/13 FutureFuel Corp. DE 2.02,9.01 03/18/13 FX ENERGY INC NV 8.01,9.01 03/18/13 GAIAM, INC CO 2.02,9.01 03/18/13 GATEWAY ENERGY CORP/NE DE 4.02 03/05/13 AMEND GATX CORP NY 1.01,2.03,9.01 03/14/13 GENERAL ELECTRIC CO NY 5.02 03/18/13 GEO GROUP INC FL 8.01,9.01 03/12/13 Global Clean Energy Holdings, Inc. DE 1.01,2.01,2.03,3.02, 12/31/12 9.01 Global Eagle Entertainment Inc. DE 1.01,2.01,3.02,3.03, 01/31/13 AMEND 5.01,5.02,5.03,5.06, 9.01 GLOBAL LINES INC NV 5.02 03/18/13 GOLD RESOURCE CORP CO 2.02,9.01 03/18/13 Golub Capital BDC, Inc. DE 1.01,9.01 03/15/13 GRAPHON CORP/DE DE 7.01,9.01 03/18/13 GRAYBAR ELECTRIC CO INC NY 5.03,9.01 03/14/13 Greenfield Farms Food, Inc. NV 7.01,9.01 03/12/13 HANGER, INC. DE 2.02,4.02,9.01 03/18/13 HANSEN MEDICAL INC DE 1.01,9.01 03/15/13 HARBINGER GROUP INC. DE 7.01,9.01 03/18/13 HARBINGER GROUP INC. DE 7.01 03/18/13 HASTINGS ENTERTAINMENT INC TX 2.02,9.01 03/18/13 HCC INSURANCE HOLDINGS INC/DE/ DE 5.02,5.03,9.01 03/13/13 HeartWare International, Inc. DE 1.01,8.01,9.01 03/12/13 HELMERICH & PAYNE INC DE 7.01,9.01 03/18/13 HELPEO INC. NV 4.01,9.01 03/18/13 HOLLY ENERGY PARTNERS LP 7.01,9.01 03/18/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.01,9.01 03/13/13 HomeStreet, Inc. WA 8.01,9.01 03/18/13 Horizon Lines, Inc. 2.02,7.01,9.01 03/12/13 HORIZON PHARMA, INC. DE 2.02,9.01 03/18/13 Houston Wire & Cable CO 9.01 03/18/13 Howard Hughes Corp DE 4.01,9.01 03/13/13 HUGOTON ROYALTY TRUST TX 2.02,9.01 03/18/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,7.01,9.01 03/18/13 ICONIX BRAND GROUP, INC. DE 1.01,2.03,3.02,9.01 03/12/13 IGATE CORP PA 9.01 03/18/13 ILLINOIS TOOL WORKS INC DE 5.02 03/15/13 ILLUMINA INC DE 5.02 03/14/13 INCYTE CORP DE 8.01 03/18/13 Innophos Holdings, Inc. 8.01,9.01 03/18/13 INNSUITES HOSPITALITY TRUST OH 5.02,9.01 03/18/13 INSMED INC VA 2.02,9.01 03/18/13 INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02,8.01,9.01 03/18/13 Integrity Applications, Inc. DE 1.01,3.02,3.03,5.03, 03/18/13 8.01,9.01 INTELLIGENT SYSTEMS CORP GA 5.02 03/14/13 InterAmerican Gaming, Inc. NV 8.01,9.01 03/18/13 INTERCEPT PHARMACEUTICALS INC DE 2.02,8.01,9.01 03/18/13 INTERNAP NETWORK SERVICES CORP DE 8.01 03/14/13 ION GEOPHYSICAL CORP DE 7.01 03/18/13 ISTAR FINANCIAL INC MD 1.01,9.01 03/12/13 IVANHOE ENERGY INC 7.01,9.01 03/18/13 JONES LANG LASALLE INC MD 5.02 03/15/13 JONES LANG LASALLE INC MD 7.01,9.01 03/18/13 JOY GLOBAL INC DE 5.02,8.01,9.01 03/12/13 KB HOME DE 1.01,2.03,8.01 03/12/13 KBR, INC. DE 8.01 03/14/13 KENNAMETAL INC PA 8.01,9.01 03/18/13 KEYNOTE SYSTEMS INC DE 5.07 03/15/13 Kior Inc DE 1.01,2.02,2.03,3.02, 03/13/13 5.02,7.01,8.01,9.01 Kips Bay Medical, Inc. DE 8.01 03/14/13 KIRKLAND'S, INC 5.02 03/12/13 KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 03/18/13 LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 03/18/13 Laredo Petroleum Holdings, Inc. DE 7.01,9.01 03/18/13 LIFEPOINT HOSPITALS, INC. 8.01 03/15/13 LIPOSCIENCE INC DE 7.01 03/15/13 LORAL SPACE & COMMUNICATIONS INC. DE 5.02,9.01 03/15/13 LRI HOLDINGS, INC. 5.02 03/18/13 LRR Energy, L.P. DE 8.01 03/18/13 MAGNETEK, INC. DE 7.01,9.01 03/18/13 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 03/18/13 Mantra Venture Group Ltd. 1.01,9.01 11/30/12 MASTEC INC FL 1.01,2.03,3.03,9.01 03/18/13 MASTEC INC FL 2.04 03/18/13 MB FINANCIAL INC /MD 9.01 12/28/12 AMEND MBT FINANCIAL CORP MI 8.01 03/18/13 McEwen Mining Inc. CO 7.01,9.01 03/18/13 MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 03/18/13 MEADOWBROOK INSURANCE GROUP INC MI 1.01,2.03,3.02,9.01 03/12/13 MELA SCIENCES, INC. /NY 1.01 03/15/13 MERISEL INC /DE/ DE 5.02 12/06/12 AMEND MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 03/07/13 MESA ROYALTY TRUST/TX TX 2.02,9.01 03/18/13 METHODE ELECTRONICS INC DE 5.03,9.01 03/18/13 MICREL INC CA 2.02 03/18/13 MIDDLEBY CORP DE 8.01 03/06/13 MILLER ENERGY RESOURCES, INC. TN 7.01 03/18/13 Monster Offers NV 5.02,9.01 03/18/13 MYERS INDUSTRIES INC OH 5.02 03/14/13 NANOMETRICS INC DE 5.02 03/12/13 National CineMedia, Inc. DE 3.02,9.01 03/14/13 NATIONAL FUEL GAS CO NJ 7.01,9.01 03/18/13 Net Element International, Inc. E9 1.01,1.02 03/12/13 NEW ENERGY TECHNOLOGIES, INC. 1.01,9.01 03/13/13 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02,9.01 03/15/13 NOBLE ENERGY INC DE 5.02,9.01 03/14/13 NORSTRA ENERGY INC NV 1.01,8.01,9.01 03/12/13 NORTHWEST BIOTHERAPEUTICS INC DE 8.01,9.01 03/18/13 NUMEREX CORP /PA/ PA 2.02,9.01 03/18/13 NUVASIVE INC DE 8.01 03/13/13 OCCIDENTAL PETROLEUM CORP /DE/ DE 7.01,9.01 03/18/13 OCEANEERING INTERNATIONAL INC DE 7.01 03/18/13 OMEROS CORP WA 2.02,9.01 03/18/13 ORGANOVO HOLDINGS, INC. DE 2.02,9.01 03/18/13 Orient Paper Inc. NV 2.02,9.01 03/18/13 OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 03/18/13 PACIFIC PREMIER BANCORP INC DE 8.01,9.01 03/18/13 Pacira Pharmaceuticals, Inc. DE 1.01,5.02,9.01 03/13/13 PACWEST BANCORP DE 8.01 03/17/13 PALOMAR MEDICAL TECHNOLOGIES INC DE 1.01,3.03,5.02,8.01, 03/17/13 9.01 PARK CITY GROUP INC 3.02 03/14/13 PCM, INC. DE 2.02 02/28/13 AMEND PEABODY ENERGY CORP DE 7.01,9.01 03/18/13 PEPSICO INC NC 5.02,9.01 03/14/13 PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 03/18/13 PetroLogistics LP DE 8.01,9.01 03/15/13 PINNACLE ENTERTAINMENT INC. DE 7.01,9.01 03/18/13 PISMO COAST VILLAGE INC CA 5.02 03/18/13 Planet Payment Inc DE 2.02,9.01 03/18/13 PLATINUM UNDERWRITERS HOLDINGS LTD D0 3.01 03/14/13 PMC COMMERCIAL TRUST /TX TX 2.02,9.01 03/15/13 Polar Petroleum Corp. 1.01,3.02,9.01 03/18/13 PPL Corp 5.02 01/25/13 AMEND PREMIERWEST BANCORP OR 1.01,9.01 03/18/13 PROASSURANCE CORP DE 7.01,9.01 03/18/13 Protalix BioTherapeutics, Inc. FL 8.01,9.01 03/18/13 QUICKSILVER RESOURCES INC DE 5.04,9.01 03/18/13 RAIT Financial Trust MD 7.01,9.01 03/18/13 RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,8.01,9.01 03/12/13 Rand Logistics, Inc. DE 8.01,9.01 03/18/13 REPROS THERAPEUTICS INC. DE 2.02,9.01 03/18/13 REPROS THERAPEUTICS INC. DE 7.01,9.01 03/18/13 REX ENERGY CORP DE 7.01,9.01 03/18/13 REYNOLDS AMERICAN INC 1.01,2.03,9.01 03/15/13 REYNOLDS AMERICAN INC 1.01,8.01,9.01 03/12/13 ROCKWELL MEDICAL, INC. MI 2.02,9.01 03/18/13 Sabra Health Care REIT, Inc. MD 8.01,9.01 03/18/13 SALESFORCE COM INC DE 1.01,2.03,3.02,9.01 03/12/13 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 03/18/13 San Lotus Holding Inc NV 1.01,9.01 03/16/13 SANUWAVE Health, Inc. NV 7.01,9.01 03/13/13 SCHLUMBERGER LTD /NV/ P8 7.01,9.01 03/18/13 SEALY CORP DE 8.01,9.01 03/18/13 Sentio Healthcare Properties Inc MD 5.02,8.01,9.01 03/12/13 SERVICESOURCE INTERNATIONAL, INC. DE 5.02,9.01 03/12/13 SHFL entertainment Inc. MN 5.07 03/14/13 SILVER SPRING NETWORKS INC DE 3.02,9.01 03/18/13 SKULLCANDY, INC. 5.02,9.01 03/18/13 SLM Student Loan Trust 2006-7 DE 8.01,9.01 03/18/13 SONIC AUTOMOTIVE INC DE 8.01 03/18/13 SONIC AUTOMOTIVE INC DE 1.01,9.01 03/14/13 Soul & Vibe Interactive Inc. NV 1.01,2.01,3.02,5.02, 03/18/13 AMEND 5.03,9.01 Soul & Vibe Interactive Inc. NV 4.01,9.01 03/18/13 AMEND Southern National Bancorp of Virginia VA 4.01,9.01 03/13/13 SPARTAN STORES INC MI 7.01 03/18/13 SPECTRASCIENCE INC MN 1.01,2.03,3.02,7.01 03/12/13 ST JOE CO FL 5.02 03/12/13 STERICYCLE INC DE 8.01 03/12/13 STIFEL FINANCIAL CORP DE 7.01,9.01 03/18/13 Sucampo Pharmaceuticals, Inc. 2.02,7.01 03/13/13 AMEND SUPERMEDIA INC. DE 1.03,2.04,5.07,9.01 03/13/13 Swisher Hygiene Inc. DE 2.02,9.01 03/18/13 SYNTROLEUM CORP DE 8.01,9.01 03/18/13 TANDY BRANDS ACCESSORIES INC DE 2.05,2.06,9.01 03/18/13 TARGACEPT INC 5.02 03/12/13 TECHNE CORP /MN/ MN 1.01,5.02,8.01,9.01 03/16/13 TEMPUR PEDIC INTERNATIONAL INC DE 1.01,1.02,2.01,3.02, 03/12/13 7.01,9.01 TENGION INC DE 2.02,9.01 03/18/13 TIDELANDS ROYALTY TRUST B TX 7.01,9.01 03/18/13 Tower Group International, Ltd. D0 7.01,9.01 03/18/13 TOWERSTREAM CORP DE 2.02,7.01,9.01 03/18/13 TRAVELCENTERS OF AMERICA LLC 2.02,9.01 03/13/13 TRUMP ENTERTAINMENT RESORTS, INC. DE 3.03,5.03,5.07,8.01, 03/18/13 9.01 TTM TECHNOLOGIES INC WA 1.01,7.01,9.01 03/13/13 Twin Cities Power Holdings, LLC MN 1.01,2.03,5.02,9.01 12/10/12 Two Harbors Investment Corp. 7.01,8.01,9.01 03/18/13 Ulta Salon, Cosmetics & Fragrance, In DE 8.01,9.01 03/15/13 ULTRA PETROLEUM CORP 8.01 03/18/13 UNITED FIRE GROUP INC 7.01,8.01,9.01 03/18/13 URANIUM RESOURCES INC /DE/ DE 5.02 03/12/13 US ENERGY CORP WY 2.02,9.01 03/15/13 USEC INC DE 8.01 03/15/13 USEC INC DE 2.02,9.01 03/18/13 VALOR GOLD CORP. DE 7.01,9.01 03/18/13 Vantage Drilling CO E9 5.07 03/18/13 VECTREN CORP IN 7.01 03/18/13 VECTREN CORP IN 7.01 03/18/13 Venaxis, Inc. CO 7.01,8.01,9.01 03/18/13 VENTAS INC DE 9.01 03/14/13 VERINT SYSTEMS INC DE 7.01,8.01,9.01 03/15/13 VILLAGE SUPER MARKET INC NJ 8.01,9.01 03/15/13 W270, INC. NV 1.01,3.03 03/13/13 Walter Energy, Inc. DE 7.01 03/18/13 WARWICK VALLEY TELEPHONE CO NY 4.02,7.01,9.01 03/12/13 WAVE SYSTEMS CORP DE 1.01,8.01,9.01 03/12/13 WESTELL TECHNOLOGIES INC DE 1.01,9.01 03/15/13 WHOLE FOODS MARKET INC TX 5.07,8.01 03/15/13 WILLIAM LYON HOMES DE 2.02,9.01 03/14/13 WILLIAMS COMPANIES INC DE 5.02,9.01 03/12/13 WILLIAMS COMPANIES INC DE 1.01,2.03,9.01 03/12/13 WMS INDUSTRIES INC /DE/ DE 8.01,9.01 03/18/13 WORLD HEALTH ENERGY HOLDINGS, INC. DE 4.01,9.01 02/21/13 AMEND WPCS INTERNATIONAL INC DE 2.02,9.01 03/18/13 WPCS INTERNATIONAL INC DE 7.01,9.01 03/18/13 Xun Energy, Inc. NV 1.01,9.01 03/18/13 YAPPN CORP. 5.03,5.07,8.01,9.01 03/14/13