Commission Suspends Trading of Face Up Entertainment Group, Inc.
The Securities and Exchange Commission (“Commission”) ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of Face Up Entertainment Group, Inc. (“Face Up”) because of questions concerning the adequacy and accuracy of publicly available information about Face Up, including, among other things, its financial condition, the control of the company, its business operations, and trading in its securities. Face Up’s ticker symbol is FUEG.
The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EDT on April 4, 2013, and terminates at 11:59 p.m. EDT on April 17, 2013.
The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by Face Up.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the above-named security until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-69293)
Open Meeting on Wednesday, April 10, 2013 at 10:00 a.m., in the Auditorium, Room L-002.
The Commission will consider whether to adopt new rules and guidelines, jointly with the Commodity Futures Trading Commission, to require certain entities that are subject to the Commissions’ respective enforcement authorities to establish programs to address risks of identity theft.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934
The Commission issued an order temporarily exempting certain broker-dealers from the recordkeeping, reporting, and monitoring requirements of Rule 13h-1 under the Securities Exchange Act of 1934. Publication of the order is expected in the Federal Register during the week of April 8th. (Rel. 34-69281)
Commission Revokes Registration of Securities of Durham Marketing Corp. For Failure to Make Required Periodic Filings
On April 4, 2013, the Commission revoked the registration of each class of registered securities of Durham Marketing Corp. (Durham Marketing) 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, Durham Marketing 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 Durham Marketing Corp. 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 Durham Marketing’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Durham Marketing in In the Matter of Artfest International, Inc., et al., Administrative Proceeding File No. 3-15207.
For further information, see Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Durham Marketing Corp., In the Matter of Artfest International, Inc., et al., Administrative Proceeding File No. 3-15207, Exchange Act Release No. 34-69292 (April 4, 2013); Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Artfest International, Inc., et al., Administrative Proceeding File No. 3-15207, Exchange Act Release No. 68902, February 11, 2013. (Rel. 34-69292; File No. 3-15207).
In The Matter Of Colleen Erin Kelly Bishop (CPA).
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Colleen Erin Kelly Bishop (CPA). The Order finds that Colleen Erin Kelly Bishop is a California Certified Public Accountant. A sole practitioner, Bishop conducted audits of the financial statements for Asthma Disease Management, Inc. (ADMI), a Delaware corporation, for the fiscal year ended May 31, 1993 through the fiscal year ended May 31, 1999. The Commission filed a complaint in federal court alleging that ADMI, along with certain of its officers and directors, engaged in a fraudulent marketing scheme in which they issued false press releases, fraudulently inflated ADMI’s assets and disseminated misleading information in Commission filings by omitting the auditor’s going concern opinion and by failing to disclose significant stock-based executive compensation and related party transactions. The Commission further alleged that Bishop aided and abetted the fraud by improperly booking a material asset on ADMI’s balance sheet, by failing to review ADMI’s Forms 10-K before or after they were filed with the Commission, and by failing to conduct her audit of ADMI’s financial statements in accordance with generally accepted auditing standards. On March 14, 2013, the United States District Court for the Eastern District of Pennsylvania entered an order permanently enjoining Bishop, by consent, from aiding and abetting violations of Sections 10(b) and 15(d) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 15d-1, and 15d-3 thereunder.
Based on the above, the Order suspends Colleen Erin Kelly Bishop from appearing or practicing before the Commission as an accountant. Colleen Erin Kelly Bishop consented to the issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rel. 34-69306; File No. 3-15261)
In The Matter Of Gerald "Jerry" D. Kegley
The 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 against Gerald “Jerry” D. Kegley. The Division of Enforcement (Division) alleges that on February 25, 2013, the U.S. District Court for the Northern District of Georgia entered a final judgment by default against Kegley, permanently enjoining him future violations of Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 5 and 17(a) of the Securities Act of 1933. The Complaint in the underlying action alleged that from at least April 8, 2010 through at least August 20, 2010, Kegley was directly responsible for introducing six individuals, who invested $1.95 million, to a fraudulent Prime Bank scheme. The Complaint alleged that in furtherance of the scheme, Kegley forwarded misrepresentations made by others to investors. These misrepresentations included: 1) that investors could draw upon bank issued guarantees worth millions of dollars without having to repay the withdrawn funds; and 2) that investor funds would be held in escrow until the bank guarantees were issued. The Complaint further alleged that Kegley knew or was reckless in not knowing that both of these representations were false because no such bank guarantees existed and investor funds were misappropriated. The Complaint further alleged that Kegley also misrepresented that he would be paid commissions only once the investor received the bank guarantee. In fact, Kegley was paid commissions relatively soon after the investors transferred the money. Kegley further told investors that he had previously worked on a successful bank guarantee program. Kegley, however, had actually reported this purportedly successful bank guarantee program to the Federal Bureau of Investigation because they believed it was a fraud. The Complaint also alleged that Kegley represented himself to investors in written documents as a “Broker” for the transactions and accepted transaction based compensation, thereby acting as an unregistered broker-dealer.
Based on the above, a hearing will be held before an Administrative Law Judge in order to determine whether the allegations in the Order are true and what, if any, remedial action is appropriate in the public interest against Kegley pursuant to Section 15(b) of the Securities Exchange Act of 1934. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 210 days from the date of service of the order instituting proceedings. (Rel. 34-69307; File No. 3-15262)
In The Matter Of ZPR Investment Management, Inc. And Max E. Zavanelli
The Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940 (Order) against ZPR Investment Management, Inc. (ZPR) and Max E. Zavanelli (Zavanelli).
In the Order, the Division of Enforcement (Division) alleges that ZPR and Zavanelli made false and misleading advertisements in several financial magazines and in monthly newsletters to clients and prospective clients between October 2008 and May 2011. Specifically, ZPR, through Zavanelli, distributed advertisements to prospective clients that omitted material information which would have revealed that the firm’s historical performance results were underperforming its benchmark index rather than outperforming it. The Division also alleges that these advertisements, and others that ZPR and Zavanelli distributed to clients and prospective clients, claimed compliance with the Global Investment Performance Standards (GIPS Standards), when in fact they did not comply with the GIPS Standards. The Division further alleges that ZPR and Zavanelli distributed advertisements to clients and prospective clients that falsely claimed ZPR’s performance results had been verified by a GIPS verification firm and that the firm was not under a pending SEC investigation.
The Division seeks to determine (i) what, if any, remedial action should be taken in the public interest, (ii) whether a civil penalty should be imposed, and (iii) whether a cease-and-desist order should be issued, based on ZPR’s violations and Zavanelli’s violations and/or aiding and abetting and causing violations of Sections 206(1), 206(2), and 206(4) of the Advisers Act, and Rule 206(4)-1(a)(5) thereunder. (IA-3574; IC- 30446; File No. 3-15263)
In The Matter Of Edward G. Locker, Richard F. Tipton, and David C. Lin
The Commission today issued Orders Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Orders) as to three former officers of Mountain View, Calif.-based JSW Financial Inc. in connection with two fraudulent Silicon Valley real estate investment funds.
The Orders find that the officers, Edward G. Locker of Ohio and Richard F. Tipton and David C. Lin, both of Silicon Valley, were convicted of criminal violations involving a scheme to defraud investors through the two funds, known as Blue Chip Realty Fund LLC and Shoreline Investment Fund, LLC, by misrepresenting that the money invested in the funds would be used for loans secured by deeds of trust on real estate. According to the Orders, Locker, Tipton, and Lin were associated with investment advisers to the funds, and the conduct underlying their criminal convictions arose out of the business of the investment advisers. The Orders bar Locker, Tipton, and Lin from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. (IA-3575; File No. 3-15153); (IA-3576; File No. 3-15153); (IA-3577; File No. 3-15153)
In The Matter Of George Elia
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against George Elia based upon his conviction in United States v. Elia et al., Case No # 0:12-cr-60077-KMW (S.D. Fla.).
In the Order, the Division of Enforcement alleges from no later than 2005 until January 2012, Elia acted as an unregistered adviser through his company, International Consultants & Investment Group Ltd. Corp. He also operated several investment entities including the Investors Funding Club, and several companies including Vision Equities Fund II, LLC and Vision Equities Fund IV, LLC. Elia sold securities issued by the investment entities to investors. On March 6, 2013, Elia entered a guilty plea in United States v. Elia to: (1) one count of conspiracy to commit mail fraud and wire fraud, in violation of 18 U.S.C. § 371; and (2) nine counts of wire fraud, in violation of 18 U.S.C. § 1343.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3573; File No. 3-15260)
In the Matter of Hesed Technology Co., Ltd. et al.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Hesed Technology Co., Ltd., Admin. Proc. File No. 3-15214. The Order Instituting Proceedings alleged that Respondents Hibernia Foods PLC, Highlander Acquisitions Corp., Hornblower Investments, Inc., Hot Products, Inc.com (n/k/a B-Teller, Inc.), and Hymex Diamond Corp. have repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). Respondent Hesed Technology Co., Ltd., remains in the proceeding. (Rel. 34-69289; File No. 3-15214)
In the Matter of My Complete Care, Inc. et al
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations of Five Respondents by Default (Default Order) in My Complete Care, Inc., Admin. Proc. File No. 3-15217. The Order Instituting Proceedings alleged that New Midwest Co., LLC, NRG, Inc., Nugent Aerospace, Inc., Otter Tail Ag Enterprises, LLC, and Sadhana Equity Investment, Inc., repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. Respondents My Complete Care, Inc., and Raines Lenders LP settled with the Commission and are no longer parties to this proceeding. See My Complete Care, Inc., Exchange Act Release Nos. 69170 (Mar. 19, 2013), 69282 (Apr. 3, 2013). (Rel. 34-69290; File No. 3-15217)
In the Matter of Adzone Research, Inc.et al
An Administrative Law Judge issued an Order Making Findings and Revoking Registrations of Six Respondents by Default (Default Order) in Adzone Research, Inc., Admin. Proc. File No. 3-15242. The Default Order finds that the defaulted Respondents had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that Respondents failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of Adzone Research, Inc., Artcraft III, Inc., Branded Media Corp., Capital Group One, Inc., Cyberworld Technologies, Inc., and Cyfit Wellness Solutions, Inc. The seventh Respondent was the subject of an Order Making Findings and Revoking Securities Pursuant to Section 12(j) of the Exchange Act as to Atlantic Security, Inc. See Adzone Research, Inc., Exchange Act Release No. 69283 (Apr. 3, 2013). (Rel. 34-69291; File No. 3-15242)
The Advisors’ Inner Circle Fund, et al.
An order has been issued on an application filed by The Advisors’ Inner Circle Fund, et al., under Section 12(d)(1)(J) of the Investment Company Act (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and (2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order permits (a) certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of certain registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC- 30443 - April 1, 2013)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca, Inc. amending its option trading rules to extend the operation of its pilot program regarding minimum value sizes for flexible exchange options, currently scheduled to expire on March 29, 2013, until March 31, 2014 (SR-NYSEArca-2013-27) 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 April 8, 2012 (Rel. 34-69267)
A proposed rule change filed by C2 Options Exchange, Incorporated to amend the Fees Schedule (SR-C2-2013-017) 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 April 8th. (Rel. 34-69268)
A proposed rule change filed by NASDAQ OMX PHLX LLC to extend its FLEX option no minimum value size pilot program to March 28, 2014 (SR-Phlx-2013-37) 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 April 8th. (Rel. 34-69269)
A proposed rule change filed by International Securities Exchange, LLC to establish fees and rebates for Mini Options (SR-ISE-2013-28) 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 April 8th. (Rel. 34-69270)
A proposed rule changed filed by The NASDAQ Stock Market LLC to eliminate a fee for use of FIX and OUCH Trading Ports for testing (SR-NASDAQ-2013-056) 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 April 8th. (Rel. 34-69271)
A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-23) to establish the NYSE Trades Digital Media Data Feed and a schedule of the NYSE Proprietary Market Data Fees. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69272)
A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-30) to establish the NYSE MKT Trades Digital Media Data Feed and a schedule of the NYSE MKT Equities Proprietary Market Data Fees. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69273)
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEARCA-2013-30) to establish the NYSE Arca Trades Digital Media Data Feed and a schedule of the NYSE Arca Equities Proprietary Market Data Fees. Publication is expected in the Federal Register during the week of 8th. (Rel. 34-69274)
A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-25) to establish Non-Display Usage Fees for NYSE OpenBook, NYSE Trades, and NYSE BBO and a Redistribution Fee for NYSE OpenBook has become effective. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69278)
A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-32) implementing certain fees for NYSE MKT OpenBook, NYSE MKT Trades, and NYSE MKT BBO has become effective. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69285)
Proposed Rule Change
The Depository Trust Company (DTC) filed a proposed rule change (File No. SR-DTC-2013-01) under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule change became effective upon filing, to modify DTC’s practice regarding the collection of participants’ required Participants Fund deposits. Publication is expected in the Federal Register during the week of April 8th. (Release No. 34-69276)
NASDAQ OMX BX, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BX-2013-029) relating to Board of Director qualifications. Publication is expected in the Federal Register during the week of April 8th. (Rel. 34-69280)
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-1 EMPIRE RESORTS INC, 204 STATE ROUTE 17B, P.O. BOX 5013, MONTICELLO, NY, 12701, (845) 807-0001 - 0 ($11,401,372.39) Equity, (File 333-187693 - Apr. 3) (BR. 05A) S-11 JAVELIN MORTGAGE INVESTMENT CORP., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH, FL, 32963, 772-617-4340 - 143,750,000 ($143,750,000.00) Equity, (File 333-187694 - Apr. 3) (BR. 08C) S-8 21Vianet Group, Inc., M5, 1JIUXIANQIAO EAST ROAD, Chaoyang District, Beijing, F4, 100016, (86 10) 8456-2121 - 0 ($4,164,795.75) ADRs/ADSs, (File 333-187695 - Apr. 3) (BR. 03A) S-4 CLEAR CHANNEL COMMUNICATIONS INC, 200 E BASSE RD, SAN ANTONIO, TX, 78209, 2108222828 - 0 ($2,574,815,000.00) Debt, (File 333-187696 - Apr. 3) (BR. 11C) S-3 Vanguard Energy Corp, 1330 POST OAK BLVD., SUITE 1600, HOUSTON, TX, 77056, 713-627-2500 - 5,760,000 ($8,640,000.00) Equity, (File 333-187697 - Apr. 3) (BR. 04A) S-8 MCCORMICK & CO INC, 18 LOVETON CIRCLE, P O BOX 6000, SPARKS, MD, 21152, 4107717301 - 8,000,000 ($576,510,000.00) Equity, (File 333-187703 - Apr. 3) (BR. 04B) S-1 ALL IN BLIND, INC., 462 WESTBY ST., CHULA VISTA, CA, 91911, 619-808-8958 - 3,000,000 ($30,000.00) Equity, (File 333-187704 - Apr. 3) (BR. 06) S-1 Asterias Biotherapeutics, Inc., 230 CONSTITUTION DRIVE, MENLO PARK, CA, 94025, 510-521-3390 - 0 ($88,746,258.46) Equity, (File 333-187706 - Apr. 3) (BR. ) S-3ASR Genpact LTD, CANON'S COURT, 22 VICTORIA STREET, HAMILTON, D0, HM122, 4412952244 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187707 - Apr. 3) (BR. 08B) S-4 CLEAN HARBORS INC, 42 LONGWATER DRIVE, P.O. BOX 9149, NORWELL, MA, 02061-9149, 781-792-5000 - 0 ($600,000,000.00) Debt, (File 333-187708 - Apr. 3) (BR. 06C) S-8 EMPIRE RESORTS INC, 204 STATE ROUTE 17B, P.O. BOX 5013, MONTICELLO, NY, 12701, (845) 807-0001 - 0 ($4,762,951.86) Equity, (File 333-187709 - Apr. 3) (BR. 05A) S-3 BIOTIME INC, 1301 HARBOR BAY PARKWAY, ALAMEDA, CA, 94502, 5105213390 - 0 ($83,045,307.32) Equity, (File 333-187710 - Apr. 3) (BR. 01A) S-8 CODEXIS INC, 200 PENOBSCOT DRIVE, REDWOOD CITY, CA, 94063, 650-421-8100 - 1,506,707 ($3,495,560.24) Equity, (File 333-187711 - Apr. 3) (BR. 06A)
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 ----------------------------------------------------------------------------------------- AAR CORP DE 1.01,2.03,9.01 03/28/13 ACACIA RESEARCH CORP DE 8.01 03/29/13 ACADIA REALTY TRUST MD 8.01,9.01 04/02/13 ACUITY BRANDS INC DE 2.02,8.01,9.01 04/03/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01,9.01 03/28/13 Alexza Pharmaceuticals Inc. DE 5.02 03/29/13 AMEND AMERICAN CAMPUS COMMUNITIES INC MD 1.01,2.03,9.01 04/02/13 AMERICAN LOCKER GROUP INC DE 5.02,9.01 04/02/13 AMERICAN REALTY INVESTORS INC NV 2.02,9.01 04/02/13 AMERISTAR CASINOS INC NV 1.01,3.03,7.01,9.01 04/02/13 AMPAL-AMERICAN ISRAEL CORP NY 5.02 04/03/13 AMPHENOL CORP /DE/ DE 5.05,9.01 04/03/13 AMREP CORP. OK 1.01,2.03,9.01 04/02/13 AMSURG CORP TN 7.01,9.01 04/03/13 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 1.01,2.03,5.02 04/03/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 04/03/13 ATLANTIC POWER CORP A1 3.03,8.01,9.01 04/01/13 Augme Technologies, Inc. DE 8.01 04/03/13 AUTONATION, INC. DE 7.01,9.01 04/03/13 AUXILIUM PHARMACEUTICALS INC DE 1.01 03/28/13 AXESSTEL INC NV 1.01,2.03,9.01 03/28/13 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 04/03/13 Bassline Productions, Inc NV 1.01,9.01 04/03/13 BEAM INC DE 5.02 04/01/13 BlackRock Inc. DE 1.01,2.03,9.01 03/28/13 BOLDFACE GROUP, INC. NV 1.01,2.03,3.02, 03/28/13 5.02,9.01 BRE PROPERTIES INC /MD/ MD 5.02 03/29/13 BRE PROPERTIES INC /MD/ MD 5.02,9.01 01/30/13 AMEND BROADVIEW INSTITUTE INC MN 5.02 03/28/13 Brookdale Senior Living Inc. DE 1.01,2.03,7.01,9.01 03/28/13 CAI International, Inc. 1.01,2.03,9.01 03/28/13 CANANDAIGUA NATIONAL CORP NY 5.02,9.01 04/03/13 Cape Bancorp, Inc. MD 8.01,9.01 12/10/12 AMEND CapLease, Inc. 8.01 04/03/13 CAPSTONE TURBINE Corp DE 1.01,9.01 03/28/13 Car Charging Group, Inc. NV 1.01,2.01,3.02, 02/26/13 8.01,9.01 CASELLA WASTE SYSTEMS INC DE 8.01,9.01 04/03/13 CASH AMERICA INTERNATIONAL INC TX 5.02,9.01 03/28/13 CBRE GROUP, INC. DE 1.01 03/28/13 CC Media Holdings Inc 8.01,9.01 03/28/13 CENTRAL FEDERAL CORP DE 2.02,9.01 04/03/13 CH ENERGY GROUP INC NY 5.04,9.01 04/03/13 CHAMBERS STREET PROPERTIES MD 8.01,9.01 03/28/13 CHEMBIO DIAGNOSTICS, INC. NV 8.01,9.01 04/03/13 CHEMBIO DIAGNOSTICS, INC. NV 8.01,9.01 04/03/13 China Bilingual Technology & Educatio NV 5.02 04/01/13 CHINACAST EDUCATION CORP DE 4.01,9.01 03/19/13 AMEND CHROMCRAFT REVINGTON INC DE 1.01,9.01 03/28/13 Citizens Community Bancorp Inc. MD 7.01 04/03/13 CLAIMSNET COM INC DE 1.01,2.03,9.01 03/27/13 CLEAN HARBORS INC MA 9.01 04/03/13 CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 03/28/13 Clear Channel Outdoor Holdings, Inc. DE 1.01,8.01,9.01 03/28/13 Clearfield, Inc. MN 1.01,9.01 03/28/13 CNH Capital LLC DE 7.01,9.01 04/03/13 CNH Capital LLC DE 8.01,9.01 04/03/13 CNS RESPONSE, INC. DE 1.01,3.02 03/11/13 Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 04/03/13 CombiMatrix Corp DE 5.02,9.01 03/29/13 COMMODITY ADVISORS FUND L.P. NY 3.02 04/01/13 Compass Diversified Holdings DE 1.01,2.03,8.01,9.01 04/03/13 CONAGRA FOODS INC /DE/ DE 2.02,9.01 04/03/13 CONNS INC DE 2.02,9.01 04/03/13 CONSOLIDATED TOMOKA LAND CO FL 1.01 03/29/13 CONTINENTAL MATERIALS CORP DE 2.02,9.01 04/03/13 CONTINENTAL RESOURCES, INC OK 1.01,8.01,9.01 04/02/13 Cortronix Biomedical Advancement Tech 4.01,9.01 04/02/13 COUNTERPATH CORP NV 5.02 04/03/13 COVANTA HOLDING CORP DE 1.01,2.03 03/29/13 CRAWFORD & CO GA 7.01,9.01 04/03/13 CREATIVE LEARNING Corp DE 4.01,9.01 02/28/13 AMEND Crescent Financial Bancshares, Inc. 2.01,3.02,3.03, 03/28/13 5.02,5.03,8.01,9.01 CRIMSON EXPLORATION INC. 7.01,9.01 04/02/13 CUBIC ENERGY INC TX 1.01,8.01,9.01 03/28/13 CURTISS WRIGHT CORP DE 8.01,9.01 04/01/13 CYTOMEDIX INC DE 1.01,5.02,8.01,9.01 03/29/13 DCP Midstream Partners, LP DE 1.01,2.01, 03/28/13 3.02,7.01,9.01 DIODES INC /DEL/ DE 5.02,8.01,9.01 04/01/13 DISH Network CORP NV 8.01,9.01 04/02/13 Diversified Restaurant Holdings, Inc. NV 2.02,7.01,9.01 04/02/13 DIXIE GROUP INC TN 1.01,9.01 04/01/13 Dresser-Rand Group Inc. DE 5.02,9.01 04/03/13 DUNE ENERGY INC DE 5.02 03/28/13 DYNAMIC MATERIALS CORP DE 5.02 03/11/13 EAGLE BANCORP INC MD 5.02,9.01 04/03/13 ECOLOGY COATINGS, INC. NV 1.03 04/03/13 ELECTRO RENT CORP CA 2.02,9.01 04/02/13 Emerald Oil, Inc. MT 2.01 03/28/13 EMERGING CTA PORTFOLIO LP NY 3.02 04/01/13 ENERGY EDGE TECHNOLOGIES CORP. NJ 3.02 04/03/13 Energy Future Holdings Corp /TX/ TX 8.01 04/01/13 ENVESTNET, INC. DE 4.01,4.02,8.01 03/29/13 EP Energy LLC DE 7.01,9.01 04/03/13 EPL OIL & GAS, INC. DE 8.01 04/03/13 EQUAL ENERGY LTD. A0 9.01 04/02/13 EQUAL ENERGY LTD. A0 8.01,9.01 04/02/13 EXTERRAN HOLDINGS INC. DE 1.01,7.01,9.01 03/31/13 EXTERRAN PARTNERS, L.P. DE 1.01,2.01, 03/31/13 3.02,7.01,9.01 Facebook Inc 5.02 04/02/13 AMEND FASTENAL CO MN 7.01,9.01 04/03/13 FERRO CORP OH 1.01,7.01,8.01,9.01 03/29/13 FIRST POTOMAC REALTY TRUST MD 5.02 04/02/13 FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 2.02,7.01,9.01 04/01/13 FLOTEK INDUSTRIES INC/CN/ DE 5.02,9.01 03/28/13 FNB United Corp. NC 5.02,5.08,8.01 04/02/13 Fortress Investment Group LLC DE 5.02 04/03/13 Francesca's Holdings CORP 9.01 04/02/13 FUTURE ENERGY CORP. 1.01,2.01,3.02,4.01, 03/28/13 5.01,5.02,5.03,9.01 GASTAR EXPLORATION LTD 1.01 03/28/13 General Growth Properties, Inc. DE 1.01,9.01 03/28/13 General Motors Co 8.01 04/02/13 Global Geophysical Services Inc DE 7.01,9.01 03/28/13 Global Telecom & Technology, Inc. DE 3.02 04/03/13 GLOBALWISE INVESTMENTS INC NV 2.02,5.02,9.01 03/29/13 GLOWPOINT, INC. DE 1.01,9.01 03/28/13 GOLD AMERICAN MINING CORP. NV 5.02 03/28/13 GOLDMAN SACHS HEDGE FUND PARTNERS LLC DE 7.01 04/03/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 03/29/13 GRAPHON CORP/DE DE 5.02,9.01 03/29/13 GREENESTONE HEALTHCARE CORP CO 1.01,2.03,3.02,9.01 03/22/13 GREENSHIFT CORP DE 4.02 03/29/13 HALCON RESOURCES CORP DE 8.01 04/01/13 Hallwood Group Inc DE 2.02,8.01 04/01/13 HARVARD BIOSCIENCE INC DE 1.01,2.03,9.01 03/29/13 HARVEST NATURAL RESOURCES, INC. DE 4.02 03/29/13 HealthWarehouse.com, Inc. DE 1.01,2.03,3.02,9.01 03/28/13 Hines Global REIT, Inc. MD 1.01 03/28/13 HINES REAL ESTATE INVESTMENT TRUST IN 7.01,9.01 04/03/13 HMG COURTLAND PROPERTIES INC DE 2.01,9.01 03/29/13 HOOPER HOLMES INC NY 2.02,9.01 04/01/13 HORIZON MINERALS CORP. 5.01,5.02,8.01 03/25/13 ICF International, Inc. DE 7.01,9.01 04/03/13 IMH Financial Corp DE 1.01 03/29/13 Inland Diversified Real Estate Trust, MD 7.01,9.01 04/03/13 Inrad Optics, Inc. NJ 2.02,9.01 04/03/13 INSITE VISION INC DE 1.01,2.01,8.01,9.01 04/02/13 IXIA CA 4.02,7.01 04/03/13 JARDEN CORP DE 1.01,2.03,7.01,9.01 03/28/13 JOSHUA GOLD RESOURCES INC NV 8.01,9.01 04/03/13 KITE REALTY GROUP TRUST MD 5.02 03/28/13 Liberty Interactive Corp 7.01,9.01 03/28/13 LIN TELEVISION CORP DE 8.01,9.01 04/03/13 LOCAL Corp DE 2.02,8.01,9.01 04/03/13 LOCAL Corp DE 5.02,9.01 03/31/13 LORAL SPACE & COMMUNICATIONS INC. DE 1.01,9.01 03/28/13 lululemon athletica inc. DE 5.02,9.01 04/03/13 M I HOMES INC OH 1.01,9.01 03/29/13 MAGICJACK VOCALTEC LTD L3 2.02 04/03/13 MAGNUM HUNTER RESOURCES CORP DE 7.01,9.01 04/02/13 MANAGED FUTURES PREMIER ABINGDON L.P. NY 3.02 04/01/13 MANAGED FUTURES PREMIER AVENTIS II L. NY 3.02 04/01/13 Managed Futures Premier BHM L.P. DE 3.02 04/01/13 MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 04/01/13 ManpowerGroup Inc. WI 5.02,9.01 03/29/13 MARTIN MIDSTREAM PARTNERS LP DE 1.01,2.03,7.01,9.01 03/28/13 MASCO CORP /DE/ DE 1.01,1.02,2.03,9.01 03/28/13 Mast Therapeutics, Inc. DE 7.01,9.01 04/03/13 MATTEL INC /DE/ DE 5.02 04/02/13 MERGE HEALTHCARE INC DE 8.01,9.01 04/02/13 METALS USA HOLDINGS CORP. DE 8.01 04/03/13 MINDSPEED TECHNOLOGIES, INC DE 2.02,9.01 04/03/13 MITCHAM INDUSTRIES INC TX 2.02,8.01,9.01 04/03/13 MMAX MEDIA, INC. NV 2.01,3.02,5.07,9.01 04/01/13 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.01,2.03,9.01 03/28/13 MONSANTO CO /NEW/ DE 2.02,9.01 04/03/13 MOSAIC CO 2.02,9.01 03/28/13 NASB FINANCIAL INC MO 5.02,9.01 04/01/13 NASDAQ OMX GROUP, INC. DE 1.01,8.01,9.01 04/01/13 National American University Holdings DE 1.01,2.02,9.01 03/28/13 NATIONAL RURAL UTILITIES COOPERATIVE DC 1.01 03/28/13 NCI, Inc. DE 5.02 03/28/13 New Concept Energy, Inc. NV 2.02,9.01 04/01/13 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 1.01,7.01,9.01 04/03/13 NEW YORK TUTOR Co NV 5.01,5.02 03/22/13 NEWS CORP 8.01,9.01 04/03/13 Niska Gas Storage Partners LLC DE 1.01,3.02,3.03, 04/02/13 5.03,7.01,9.01 NORTH BAY RESOURCES INC DE 7.01 04/03/13 NORTHSTAR REALTY FINANCE CORP. MD 7.01 04/03/13 NOVATION COMPANIES, INC. MD 8.01,9.01 04/03/13 Obagi Medical Products, Inc. DE 1.01,8.01,9.01 04/03/13 OCWEN FINANCIAL CORP FL 5.02 03/29/13 AMEND OMNOVA SOLUTIONS INC OH 2.02,9.01 04/03/13 ORGANOVO HOLDINGS, INC. DE 5.03,9.01 03/31/13 ORION FUTURES FUND LP NY 3.02 04/01/13 PEER REVIEW MEDIATION & ARBITRATION I FL 5.02 03/15/13 PENN VIRGINIA CORP VA 1.01,2.03, 04/02/13 3.02,7.01,9.01 PENN VIRGINIA CORP VA 7.01,9.01 04/03/13 PENN VIRGINIA CORP VA 7.01,9.01 04/03/13 PENNANTPARK INVESTMENT CORP 7.01,9.01 04/02/13 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 03/28/13 Phillips Edison - ARC Shopping Center MD 9.01 01/15/13 AMEND PHOTRONICS INC CT 7.01,9.01 04/03/13 Pinnacle Foods Inc. DE 1.01,1.02, 04/03/13 3.03,5.02,5.03,8.01,9.01 PIONEER NATURAL RESOURCES CO DE 7.01 04/03/13 PNM RESOURCES INC NM 1.01,2.03,9.01 04/03/13 POTOMAC FUTURES FUND LP NY 3.02 04/01/13 PPG INDUSTRIES INC PA 8.01,9.01 04/01/13 PRECISION CASTPARTS CORP OR 5.02 04/01/13 PREFERRED APARTMENT COMMUNITIES INC MD 2.01,9.01 04/03/13 AMEND PREMIERE GLOBAL SERVICES, INC. GA 5.02,9.01 03/29/13 PREMIERE GLOBAL SERVICES, INC. GA 5.02 03/29/13 AMEND PRIME GLOBAL CAPITAL GROUP Inc NV 5.07 04/02/13 PRIVATEBANCORP, INC DE 7.01,9.01 04/03/13 PROASSURANCE CORP DE 7.01,9.01 04/02/13 PROVIDENCE SERVICE CORP DE 5.02 03/28/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 04/03/13 PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 04/01/13 PureSafe Water Systems, Inc. DE 1.01,3.02, 06/26/12 5.02,5.03,9.01 QUESTCOR PHARMACEUTICALS INC CA 2.01,9.01 01/18/13 AMEND QVC INC DE 7.01,9.01 03/28/13 RAIT Financial Trust MD 1.01,9.01 03/28/13 RAND WORLDWIDE INC DE 5.02 04/02/13 REGENERX BIOPHARMACEUTICALS INC DE 1.01,2.03, 03/29/13 3.02,7.01,9.01 RENTECH INC /CO/ CO 7.01,9.01 04/03/13 RENTECH INC /CO/ CO 8.01,9.01 04/03/13 Rentech Nitrogen Partners, L.P. DE 7.01,9.01 04/03/13 Rentech Nitrogen Partners, L.P. DE 8.01,9.01 04/03/13 SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 04/03/13 Select Notes Trust LT 2004-1 DE 8.01,9.01 04/01/13 SEQUENTIAL BRANDS GROUP, INC. DE 1.01,2.03, 03/28/13 3.02,7.01,9.01 SERVOTRONICS INC /DE/ DE 5.02,9.01 03/31/13 Shire plc 8.01,9.01 04/03/13 SM Energy Co DE 5.02 03/28/13 SORL Auto Parts Inc DE 7.01,9.01 04/01/13 STEELE RESOURCES CORP NV 5.02 04/02/13 STEWART ENTERPRISES INC LA 8.01,9.01 04/03/13 STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 04/01/13 STREAM S&P Dynamic Roll Global Commod DE 3.01 03/27/13 STRUCTURED PRODUCTS CORP CORTS FOR PR DE 8.01,9.01 03/27/13 STRUCTURED PRODUCTS CORP CORTS TR III DE 8.01 03/27/13 SYNNEX CORP DE 5.02,9.01 04/01/13 SYNTHESIS ENERGY SYSTEMS INC DE 7.01,9.01 04/02/13 SYSCO CORP DE 8.01,9.01 04/03/13 TECH DATA CORP FL 3.01,9.01 04/03/13 Teucrium Commodity Trust 8.01,9.01 04/03/13 TGC INDUSTRIES INC TX 2.02,7.01,9.01 04/03/13 TigerLogic CORP DE 5.02 03/30/13 TIVO INC DE 5.02,9.01 03/28/13 TRANSCONTINENTAL REALTY INVESTORS INC NV 2.02,9.01 04/02/13 TRANSWITCH CORP /DE DE 8.01,9.01 04/03/13 TRICO BANCSHARES / CA 5.02,9.01 03/28/13 Trius Therapeutics Inc DE 5.02,9.01 04/01/13 TURBINE TRUCK ENGINES INC NV 1.01,9.01 04/01/13 UMH PROPERTIES, INC. MD 1.01,2.03,9.01 04/03/13 UMH PROPERTIES, INC. MD 7.01,9.01 04/03/13 UNITED BANKSHARES INC/WV WV 5.02 03/31/13 United Continental Holdings, Inc. DE 1.01,2.01, 03/28/13 2.03,5.03,9.01 UNIVERSAL TRAVEL GROUP NV 5.02,9.01 04/01/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 04/03/13 US AIRWAYS GROUP INC DE 2.02,9.01 04/03/13 US AIRWAYS GROUP INC DE 2.02,9.01 04/03/13 Valmie Resources, Inc. NV 1.01 03/25/13 Vantage Drilling CO E9 1.01,1.02, 03/28/13 2.03,8.01,9.01 Vertex Energy Inc. NV 2.02 04/02/13 VIRTUAL PIGGY, INC. DE 3.02,9.01 03/28/13 VISCOUNT SYSTEMS INC NV 8.01 04/01/13 VOLT INFORMATION SCIENCES, INC. NY 7.01,9.01 03/28/13 VORNADO REALTY TRUST MD 1.01,2.03,9.01 03/28/13 WEIGHT WATCHERS INTERNATIONAL INC VA 1.01,2.03 04/02/13 WELLS FARGO & COMPANY/MN DE 9.01 04/03/13 WIDEPOINT CORP DE 2.02,9.01 04/01/13 WIRELESS TELECOM GROUP INC NJ 5.02 03/28/13 YAPPN CORP. 2.01,3.02,5.02,9.01 03/28/13