Commission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic Filings
The Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 23, 2013 and terminating at 11:59 p.m. EDT on June 6, 2013.
The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over a year. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69625)
SEC Charges Atlanta-area Registered Representative and Registered Investment Adviser Representative with Securities Fraud
The Commission filed an emergency action seeking a temporary restraining order and other emergency relief in federal court in the Northern District of Georgia, charging Blake Richards (Richards), a Buford, Georgia resident with violations of the federal securities laws for misappropriating investor funds.
The Honorable Julie E. Carnes, the Chief Judge of the Northern District of Georgia, granted the Commission’s request for emergency relief, issuing an order that temporarily restrained Richards from further securities laws violations, froze Richards’s assets, prevented the destruction of documents and expedited discovery. The Court also set a hearing date of June 6 for the Commission’s request for a preliminary injunction. The Commission’s complaint also seeks a permanent injunction, disgorgement of ill-gotten gains with prejudgment interest, and civil penalties. Those claims will be adjudicated at a later date.
The Commission’s complaint alleges that, since at least 2008, Richards, a registered representative of a broker dealer, misappropriated at least $2 million from at least seven investors. The majority of the misappropriated funds constituted retirement savings and/or life insurance proceeds from deceased spouses.
In its complaint, the Commission alleges that Richards instructed investors to write out checks to entities under his control with the understanding that Richards would invest their funds in fixed income assets, variable annuities and/or common stock. The complaint alleges that none of these investments were ever made. None of the investments appeared on the client’s brokerage account statements, and Richards received no commission income from these investments. The complaint further alleges that Richards siphoned off the funds entrusted to him for personal use.
The complaint alleges that Richards violated the antifraud provisions of the federal securities laws, Section 17(a) of the Securities Act of 1933 (“Securities Act”), Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder. The complaint also alleges that Richards violated Sections 206 (1) and Section 206 (2) of the Investment Advisers Act of 1940 (“Advisers Act”), the antifraud provisions of the Advisers Act. [SEC v. Blake B. Richards, Civil Action No. 1:13-cv-1729 (N.D. Ga.)](LR-22706)
Commission Orders Hearings on Registration Suspension or Revocation against Four Companies for Failure to Make Required Periodic Filings
In conjunction with these trading suspensions, the Commission today also instituted a public administrative proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69626; File No. 3-15330)
In the Matter of Neil M.M. Morrison
The Commission today ordered Neil M.M. Morrison, a former investment banker at Goldman, Sachs & Co., to pay a civil money penalty of $100,000 and barred him from the securities industry with the right to apply for reentry after five years for his role in a “pay-to-play” scheme involving undisclosed campaign contributions to then-Massachusetts state Treasurer Timothy P. Cahill while he was a candidate for governor. This marks the first SEC enforcement action sanctioning an individual for violating the Municipal Securities Rulemaking Board (MSRB) pay-to-play rules through “in-kind” non-cash contributions to a political campaign.
According to the SEC’s order, Morrison was a vice president in the firm’s Boston office and solicited underwriting business from the Massachusetts Treasurer’s Office beginning in July 2008. Morrison also was substantially engaged in working on Cahill’s political campaigns from November 2008 to October 2010. Morrison at times conducted campaign activities from the Goldman Sachs office during work hours and using the firm’s phones and e-mail. Morrison’s use of Goldman Sachs work time and resources for campaign activities constituted valuable in-kind campaign contributions to Cahill that were attributable to Goldman Sachs and disqualified the firm from engaging in municipal underwriting business with certain Massachusetts municipal issuers for two years after the contributions. Nevertheless, Goldman Sachs subsequently participated in 30 prohibited underwritings with Massachusetts issuers and earned more than $7.5 million in underwriting fees. Goldman Sachs settled similar charges with the SEC in September 2012 by agreeing to, among other things, pay over $8.2 million in disgorgement and prejudgment interest, and a $3.75 million penalty, the largest ever imposed by the SEC for MSRB pay-to-play violations.
Morrison agreed to settle the charges, without admitting or denying the findings, by paying a $100,000 penalty, which is the largest ever imposed by the SEC against an individual for violating, or causing the violation of, the MSRB pay-to-play rules.. In addition, Morrison agreed to cease and desist from committing or causing any violations and any future violations of the provisions referenced in the order, and also agreed to be barred from the securities industry with the right to apply for reentry after five years, which represents the first time an individual has been barred from the industry for violating, or causing the violation of, the pay-to-play rules.
The SEC’s order against Morrison found that he caused Goldman Sachs to violate Section 15B(c)(1) of the Exchange Act and MSRB Rules G-8, G-9, G-37(b), and G-37(e). In addition, Morrison circumvented the pay-to-play rules by soliciting campaign contributions in violation of MSRB Rule G-37(c) and making an indirect contribution to the Cahill campaign through another person in violation of MSRB Rule G-37(d). Moreover, the SEC’s order found that Morrison’s campaign work and his indirect financial contribution created a conflict of interest that was not disclosed in the relevant municipal securities offerings in violation of MSRB Rule G-17. (Rel. 34-69627; File No. 3-15049).
In the Matter of Joshua H. Constantin and Brian C. Solomon
The Commission today issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Joshua H. Constantin and Brian C. Solomon (Respondents) based upon the entry of permanent injunctions against Respondents in the United States District Court for the Southern District of New York (Securities and Exchange Commission v. Joshua Constantin, et al., Civil Action No. 11-cv-4642 (MHD)).
In the Order, the Division of Enforcement (Division) alleges that on May 7, 2013 the federal court entered a judgment against Respondents, which permanently enjoined each of them from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder.
The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order. (Rel. 34-69623; File No. 3-15332.)
Immediate Effectiveness of Proposed Rule Change
A rule by Nasdaq OMX PHLX LLC has become effective wherein the Exchange proposes to amend Rule 3306 (Entry and Display of Quotes and Orders) and Rule 3303 (Short Sale Price Test Pursuant to Rule 201 of Regulation SHO) to stipulate how Participants in NASDAQ OMX PSX (“PSX”) may modify previously entered orders and to describe how modified orders are processed. Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69610)
Notice of Proposed Rule ChangeICE Clear Europe Limited filed a proposed rule change (File No. SR-ICEEU-2013-09) under Section 19(b)(1) of the Securities Exchange Act of 1934 to clear contracts traded on the LIFFE Administration and Management Market. Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69628)
Notice of Filing Amendment No. 1 to and Designation of Longer Period for Commission Action on a Proposed Rule ChangeThe National Securities Clearing Corporation (NSCC) filed Amendment No. 1 to its proposed rule change (File No. SR-NSCC-2013-02), under Section 19(b)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 19b-4 thereunder, to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. Additionally, the Commission has designated a longer period for Commission action under Section 19(b)(2) of the Exchange Act on the same proposed rule change, as modified. NSCC also filed the proposal contained in the proposed rule change, as modified, as an advance notice (File No. SR-NSCC-2013-802) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 and Rule 19b-4(n)(1)(i) thereunder. See Release No. 34-69451 (Apr. 25, 2013), 78 FR 25496 (May 1, 2013). On May 20, 2013, the Commission extended the period of review of the advance notice. Release No. 34-69605 (May 20, 2013). The proposal shall not take effect until all regulatory actions required with respect to the proposal are completed. The Commission will consider all public comments received on the proposal regardless of whether the comments are submitted in response to the proposed rule change, as modified (File No. SR-NSCC-2013-02) or the advance notice (File No. SR-NSCC-2013-802). Publication is expected in the Federal Register during the week of May 20th. (Rel. 34-69620)
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule ChangeThe Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to disapprove a proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2013-07) amending NYSE Rules 451 and 465, and the related provisions of Section 402.10 of the NYSE Listed Company Manual, which provide a schedule for the reimbursement of expenses by issuers to NYSE member organizations for the processing of proxy materials and other issuer communications provided to investors holding securities in street name, and to establish a five-year fee for the development of an enhanced brokers internet platform. Publication is expected in the Federal Register during the week of May 27th. (Rel. 34-69622)
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.
S-8 SOUTHWESTERN ENERGY CO, 2350 N. SAM HOUSTON PARKWAY EAST, SUITE 125, HOUSTON, TX, 77032, 2816184700 -20,500,000 ($778,385,000.00) Equity, (File 333-188744 -May. 22) (BR. 04A) S-3 OHIO POWER CO, 1 RIVERSIDE PLAZA, COLUMBUS, OH, 43215, 614-716-1000 - 0 ($1,000,000.00) Debt, (File 333-188745 -May. 22) (BR. 02B) S-8 Alpha Natural Resources, Inc., ONE ALPHA PLACE, P.O. BOX 16429, BRISTOL, VA, 24209, 276-619-4410 -3,600,000 ($24,336,000.00) Equity, (File 333-188748 -May. 22) (BR. 09B) S-4 Zoetis Inc., 235 EAST 42ND STREET, NEW YORK, NY, 10017, 212-733-2323 - 0 ($13,380,869,450.00) Equity, (File 333-188750 -May. 22) (BR. 01B) S-8 PROASSURANCE CORP, 100 BROOKWOOD PLACE, BIRMINGHAM, AL, 35209, 2058774400 -0 ($152,970,000.00) Equity, (File 333-188751 -May. 22) (BR. 01B) S-1 Oroplata Resources, Inc., #3 -7 SAN MARCOS, PUERTO PLATA, G8, 80071, 809-223-2353 -15,000,000 ($45,000.00) Equity, (File 333-188752 - May. 22) (BR. 09) S-1 Madison Ventures Inc., LOMA DE BERNAL 3, LOMA DORADA C.P. 76060, QUERETARO, O5, 89703, 52 (442) 388-2645 - 1,850,000 ($185,000.00) Equity, (File 333-188753 -May. 22) (BR. 09) S-8 PARKER DRILLING CO /DE/, 5 GREENWAY PLAZA, SUITE 100, HOUSTON, TX, 77046, 281-406-2000 -0 ($1,179,085.00) Equity, (File 333-188754 - May. 22) (BR. 04A) S-8 ENCANA CORP, 4400, 500 CENTRE STREET SE, CALGARY, A0, T2G 1A6, (403) 645-2000 -5,000,000 ($92,500,000.00) Equity, (File 333-188758 - May. 22) (BR. 04B) S-8 INSIGNIA SYSTEMS INC/MN, 8799 BROOKLYN BLVD., MINNEAPOLIS, MN, 55445, 7633926200 -250,000 ($487,500.00) Equity, (File 333-188761 -May. 22) (BR. 11C) S-4 FTI CONSULTING INC, 500 EAST PRATT STREET, SUITE 1400, BALTIMORE, MD, 21202, 561-515-1900 -0 ($300,000,000.00) Other, (File 333-188762 - May. 22) (BR. 08C) S-8 STREAMLINE HEALTH SOLUTIONS INC., 10200 ALLIANCE ROAD, SUITE 200, CINCINNATI, OH, 45242, 5137947100 -0 ($3,110,000.00) Equity, (File 333-188763 -May. 22) (BR. 03B) S-8 STREAMLINE HEALTH SOLUTIONS INC., 10200 ALLIANCE ROAD, SUITE 200, CINCINNATI, OH, 45242, 5137947100 -0 ($12,440,000.00) Equity, (File 333-188764 -May. 22) (BR. 03B) F-1 Luxoft Holding, Inc, AKARA BLDG., 24 DE CASTRO STREET, WICKHAMS CAY I, PO BOX 3136, ROAD TOWN, TORTOLA, D8, 00000, 410445568446 -0 ($80,000,000.00) Equity, (File 333-188765 -May. 22) (BR. 03A) S-8 SELECT COMFORT CORP, 9800 59TH AVENUE NORTH, MINNEAPOLIS, MN, 55442, 7635517000 -0 ($98,640,000.00) Equity, (File 333-188766 -May. 22) (BR. 06A) S-8 WPX ENERGY, INC., ONE WILLIAMS CENTER, TULSA, OK, 74172, 918-573-2000 - 15,467,118 ($279,490,822.26) Equity, (File 333-188767 -May. 22) (BR. 04B) S-3ASR IDACORP INC, 1221 WEST IDAHO STREET, BOISE, ID, 83702-5627, 2083882200 -0 ($0.00) Other, (File 333-188768 -May. 22) (BR. 02B) S-8 NEWFIELD EXPLORATION CO /DE/, 4 WATERWAY SQUARE PLACE, SUITE 100, THE WOODLANDS, TX, 77380, 281-210-5100 - 3,600,000 ($88,128,000.00) Equity, (File 333-188770 -May. 22) (BR. 04B) F-1 GDC Technology Ltd, UNIT 1-7, 20/F, KODAK HOUSE II, 39 HEALTHY STREET EAST, NORTH POINT, HONG KONG, K3, 00000, 852-2523-6851 -0 ($75,000,000.00) ADRs/ADSs, (File 333-188771 - May. 22) (BR. 11A) S-3ASR AIRGAS INC, 259 N. RADNOR-CHESTER ROAD, SUITE 100, RADNOR, PA, 19087, 6106875253 -0 ($0.00) Debt, (File 333-188772 -May. 22) (BR. 06C) S-8 LSI CORP, 1320 RIDDER PARK DRIVE, SAN JOSE, CA, 95131, 4084338000 - 28,686,535 ($180,973,374.60) Equity, (File 333-188773 -May. 22) (BR. 10B) S-4 Bonanza Creek Energy, Inc., 410 17TH STREET, SUITE 1500, DENVER, CO, 80202, 720-440-6100 -0 ($300,000,000.00) Debt, (File 333-188774 - May. 22) (BR. 04A) S-8 NVIDIA CORP, 2701 SAN TOMAS EXPRESSWAY, SANTA CLARA, CA, 95050, 408-486-2000 -8,606,514 ($125,353,876.41) Equity, (File 333-188775 - May. 22) (BR. 10B) S-8 FLUSHING FINANCIAL CORP, 1979 MARCUS AVENUE , SUITE E140, LAKE SUCCESS, NY, 11042, 718-961-5400 -600,000 ($9,381,000.00) Equity, (File 333-188776 -May. 22) (BR. 07C) S-3 ADVANCED CELL TECHNOLOGY, INC., 33 LOCKE DRIVE, MARLBOROUGH, MA, 01752, 508-756-1212 -35,000,000 ($35,000,000.00) Equity, (File 333-188777 - May. 22) (BR. 01B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3D SYSTEMS CORP DE 5.03,5.07,9.01 05/21/13 8X8 INC /DE/ DE 2.02,9.01 05/22/13 AAON INC NV 5.07,8.01,9.01 05/21/13 ACACIA RESEARCH CORP DE 5.02,5.07,9.01 05/16/13 ADVANCED MICRO DEVICES INC DE 5.02,5.07 05/16/13 AETNA INC /PA/ PA 5.07 05/22/13 AGENUS INC DE 7.01,9.01 05/22/13 ALBANY INTERNATIONAL CORP /DE/ DE 5.07 05/17/13 ALEXANDRIA REAL ESTATE EQUITIES INC MD 5.07 05/20/13 Alexza Pharmaceuticals Inc. DE 5.02,5.07,9.01 05/21/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/22/13 ALLSTATE CORP DE 8.01,9.01 05/22/13 Alpha Natural Resources, Inc. DE 1.01,1.02,2.03, 05/22/13 8.01,9.01 ALTEVA, INC. NY 5.03,5.07,8.01,9.01 05/16/13 AMERICAN EXPRESS CO NY 9.01 05/22/13 AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 05/22/13 AMERICAN NATIONAL BANKSHARES INC VA 5.07 05/22/13 AMERICAN SCIENCE & ENGINEERING, INC. MA 5.02 05/18/13 AMERICAN TOWER CORP /MA/ DE 5.03,5.07,8.01,9.01 05/21/13 Ameris Bancorp GA 7.01,9.01 05/22/13 AMERISERV FINANCIAL INC /PA/ PA 5.03,9.01 05/16/13 AMICUS THERAPEUTICS INC DE 1.01,9.01 05/16/13 ANALOG DEVICES INC MA 7.01,9.01 05/22/13 Apollo Medical Holdings, Inc. DE 5.02,9.01 05/22/13 ARBITRON INC DE 5.07 05/21/13 ARC Realty Finance Trust, Inc. MD 5.02 05/16/13 Artio Global Investors Inc. DE 2.01,3.01,3.03, 05/16/13 5.01,5.02,5.03,5.07,8.01,9.01 ASHLAND INC. KY 7.01,9.01 05/22/13 ASTRO MED INC /NEW/ RI 5.07,9.01 05/21/13 AVALONBAY COMMUNITIES INC MD 5.03,5.07,9.01 05/22/13 AXIALL CORP/DE/ DE 5.07,8.01,9.01 05/21/13 Bacterin International Holdings, Inc. DE 1.01,9.01 05/16/13 Bank of Commerce Holdings CA 5.07 05/21/13 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 05/22/13 BERKLEY W R CORP DE 5.07 05/21/13 Bitzio, Inc. NV 5.02 05/22/13 BLUCORA, INC. DE 5.07 05/22/13 Blue Earth, Inc. NV 5.02,9.01 05/16/13 Booz Allen Hamilton Holding Corp DE 2.02,9.01 05/22/13 BOSTON PROPERTIES INC DE 5.07 05/21/13 BOSTON PROPERTIES LTD PARTNERSHIP DE 5.07 05/21/13 BOYD GAMING CORP NV 8.01,9.01 05/22/13 Burlington Coat Factory Investments H 1.01,2.03,9.01 05/17/13 CAESARS ENTERTAINMENT Corp DE 5.02 05/22/13 CAMCO FINANCIAL CORP DE 5.07 05/21/13 CANCER GENETICS, INC 7.01,9.01 05/21/13 Cardinal Ethanol LLC IN 7.01,9.01 05/17/13 CENTENE CORP 1.01,1.02,2.03,9.01 05/21/13 CENTRAL FEDERAL CORP DE 5.07 05/22/13 CENTRAL FEDERAL CORP DE 5.02,9.01 05/22/13 CHINA FUND INC MD 7.01,9.01 04/30/13 AMEND CHINDEX INTERNATIONAL INC DE 5.07 05/22/13 CIG WIRELESS CORP. NV 1.01,8.01,9.01 05/17/13 Cinemark Holdings, Inc. DE 8.01,9.01 05/21/13 CINEMARK USA INC /TX TX 8.01,9.01 05/21/13 Citi Trends Inc 2.02,9.01 05/22/13 Cleantech Solutions International, In DE 7.01,9.01 05/22/13 Clearwire Corp /DE DE 1.01,8.01,9.01 05/22/13 Clearwire Corp /DE DE 8.01,9.01 05/22/13 CME Realty Inc. 4.01,9.01 05/21/13 CMS ENERGY CORP MI 5.07 05/17/13 CODORUS VALLEY BANCORP INC PA 5.07 05/21/13 COMMERCIAL BANCSHARES INC \OH\ OH 5.07,7.01 05/16/13 COMMUNICATION INTELLIGENCE CORP DE 3.02,7.01,9.01 05/17/13 COMPUWARE CORP MI 5.02 05/16/13 CONCHO RESOURCES INC DE 1.01,2.03,9.01 05/20/13 Constant Contact, Inc. DE 5.07,8.01 05/22/13 Cordia Bancorp Inc VA 2.02,9.01 05/20/13 CRAILAR TECHNOLOGIES INC A1 7.01,9.01 05/22/13 CST Brands, Inc. DE 2.02,9.01 05/22/13 Customers Bancorp, Inc. PA 8.01,9.01 05/22/13 CVR Refining, LP DE 7.01,9.01 05/22/13 Cyclacel Pharmaceuticals, Inc. DE 5.07 05/22/13 Del Frisco's Restaurant Group, Inc. DE 5.07 05/21/13 DEL MONTE CORP 7.01,9.01 05/22/13 Delek US Holdings, Inc. 7.01,9.01 05/22/13 DEVRY INC DE 1.01,5.02,9.01 05/17/13 DigitalTown, Inc. MN 5.02 05/14/13 DIODES INC /DEL/ DE 7.01,9.01 05/14/13 DONALDSON CO INC DE 8.01,9.01 05/22/13 DOVER SADDLERY INC 3.01,9.01 05/17/13 DSP GROUP INC /DE/ DE 8.01,9.01 05/22/13 DUMA ENERGY CORP NV 7.01,9.01 05/22/13 DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 05/21/13 DYNEGY INC. DE 5.07 05/21/13 EAGLE MATERIALS INC DE 5.02,9.01 05/16/13 EASTERN AMERICAN NATURAL GAS TRUST DE 7.01,9.01 05/22/13 EATON VANCE CORP MD 2.02,9.01 04/30/13 Echo Automotive, Inc. NV 1.01,3.02,9.01 05/16/13 EMPIRE ENERGY CORP UT 8.01 05/20/13 ENDEAVOR IP, INC. 2.01,2.03,3.02, 05/13/13 AMEND 4.01,5.03,5.07,8.01,9.01 Energy Transfer Partners, L.P. DE 8.01,9.01 05/16/13 EnerJex Resources, Inc. NV 2.01,9.01 05/16/13 Eos Petro, Inc. NV 8.01 05/17/13 ERBA Diagnostics, Inc. DE 3.01,9.01 05/17/13 ESCALON MEDICAL CORP PA 5.02 05/17/13 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 7.01 05/22/13 FARMERS & MERCHANTS BANCORP DE 5.07,8.01,9.01 05/17/13 FAUQUIER BANKSHARES, INC. VA 5.07,7.01,8.01,9.01 05/21/13 Federal Home Loan Bank of Seattle 7.01,9.01 05/21/13 FEI CO OR 5.02 05/20/13 FEMALE HEALTH CO WI 5.03,9.01 05/16/13 FIFTH THIRD BANCORP OH 7.01,9.01 05/22/13 FIRST COMMUNITY CORP /SC/ SC 7.01,9.01 05/22/13 FIRST FINANCIAL CORP /IN/ IN 8.01,9.01 05/22/13 First Internet Bancorp IN 5.02,5.07,8.01,9.01 05/20/13 FIRST INTERSTATE BANCSYSTEM INC MT 7.01,9.01 05/21/13 FISERV INC WI 5.02,5.07,9.01 05/22/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 05/21/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 05/22/13 Fortress International Group, Inc. DE 2.02,9.01 05/22/13 FRANKLIN STREET PROPERTIES CORP /MA/ 2.01,9.01 05/22/13 Freescale Semiconductor, Ltd. D0 1.01,2.03,8.01,9.01 05/21/13 GAP INC DE 5.07 05/21/13 GENERAL CABLE CORP /DE/ DE 5.07,7.01,9.01 05/16/13 General Finance CORP DE 1.01 05/21/13 General Finance CORP DE 7.01 05/21/13 AMEND Georgia-Carolina Bancshares, Inc GA 5.07 05/20/13 Global Eagle Entertainment Inc. DE 1.01 05/16/13 GMX RESOURCES INC OK 1.01,9.01 05/15/13 GREATBATCH, INC. DE 5.07 05/21/13 Griffin Capital Essential Asset REIT, 7.01,9.01 05/22/13 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 05/22/13 HEALTH MANAGEMENT ASSOCIATES, INC DE 5.07 05/21/13 HeartWare International, Inc. DE 5.07,9.01 05/21/13 HEICO CORP FL 2.02,9.01 05/22/13 HESS CORP DE 5.02,5.03,5.07,9.01 05/22/13 HEWLETT PACKARD CO DE 2.02,9.01 05/22/13 HOLLY ENERGY PARTNERS LP 7.01,9.01 05/22/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.01,2.03,9.01 05/21/13 HOST HOTELS & RESORTS, INC. MD 5.02,5.07,9.01 05/16/13 ICON ECI FUND FIFTEEN, L.P. DE 7.01,9.01 05/22/13 ICON Equipment & Corporate Infrastruc DE 7.01,9.01 05/22/13 ICON INCOME FUND TEN LLC DE 7.01,9.01 05/22/13 ICON LEASING FUND ELEVEN, LLC DE 7.01,9.01 05/22/13 ICON LEASING FUND TWELVE, LLC DE 7.01,9.01 05/22/13 IGATE CORP PA 5.02,7.01,9.01 05/20/13 Imprimis Pharmaceuticals, Inc. DE 7.01,9.01 05/21/13 inContact, Inc. DE 8.01 05/22/13 INFINERA CORP DE 7.01 05/22/13 INFRAX SYSTEMS, INC. FL 8.01 05/22/13 ING U.S., Inc. DE 1.01,2.03 05/16/13 Innophos Holdings, Inc. 5.07 05/20/13 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02 05/16/13 Jive Software, Inc. DE 5.07 05/21/13 KADANT INC DE 7.01,9.01 05/22/13 KBS Real Estate Investment Trust II, MD 1.01 05/21/13 KINDRED HEALTHCARE, INC DE 5.02,5.07,8.01,9.01 05/21/13 KONA GRILL INC DE 7.01,9.01 05/22/13 LAKE SHORE BANCORP, INC. 7.01,9.01 05/22/13 LAM RESEARCH CORP DE 5.03,9.01 05/17/13 LEGACY RESERVES LP DE 7.01,9.01 05/22/13 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 05/09/13 LEXINGTON REALTY TRUST MD 5.07 05/21/13 LOWES COMPANIES INC NC 2.02,9.01 05/22/13 LRAD Corp DE 1.01,5.02,5.08,9.01 05/21/13 LRR Energy, L.P. DE 7.01,9.01 05/22/13 LTX-CREDENCE CORP MA 2.02,9.01 05/22/13 Luxeyard, Inc. DE 5.02 05/22/13 Macquarie Infrastructure CO LLC DE 5.02 05/20/13 MAGELLAN HEALTH SERVICES INC DE 8.01 05/21/13 Mantra Venture Group Ltd. 1.01,9.01 05/06/13 MARKWEST ENERGY PARTNERS L P 7.01,9.01 05/22/13 MAUI LAND & PINEAPPLE CO INC HI 8.01,9.01 05/20/13 MCCLATCHY CO DE 5.07 05/14/13 AMEND MDC HOLDINGS INC DE 5.02,9.01 05/20/13 MEDICAL ACTION INDUSTRIES INC DE 1.01,1.02,2.03,9.01 05/17/13 MERCHANTS BANCSHARES INC DE 5.02,9.01 05/16/13 Merck & Co. Inc. NJ 1.01 05/20/13 MERU NETWORKS INC DE 5.07 05/21/13 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 05/22/13 MIDDLESEX WATER CO NJ 5.07,8.01 05/22/13 Midstates Petroleum Company, Inc. DE 1.01,9.01 05/20/13 MINN SHARES INC DE 1.01,3.02,9.01 05/22/13 Mondelez International, Inc. VA 5.07 05/21/13 MONRO MUFFLER BRAKE INC NY 2.02,8.01,9.01 05/21/13 MULTIBAND CORP MN 1.01,1.02,8.01,9.01 05/21/13 MVB FINANCIAL CORP WV 5.07,8.01,9.01 05/21/13 MYOS Corp NV 7.01,9.01 05/22/13 N-VIRO INTERNATIONAL CORP DE 5.02,9.01 05/16/13 NATIONAL OILWELL VARCO INC DE 5.07 05/22/13 NATURAL RESOURCE PARTNERS LP DE 5.02 05/21/13 NATUS MEDICAL INC DE 3.01,9.01 05/16/13 Naugatuck Valley Financial Corp 5.02 05/16/13 NAVIGANT CONSULTING INC DE 5.07 05/21/13 Net Element International, Inc. E9 1.01,9.01 05/21/13 NEWPARK RESOURCES INC DE 7.01,9.01 05/22/13 Nissan Auto Lease Trust 2013-A DE 1.01,9.01 05/16/13 NISSAN AUTO LEASING LLC II DE 8.01,9.01 05/16/13 Northfield Bancorp, Inc. DE 5.07 05/22/13 NPS PHARMACEUTICALS INC DE 8.01,9.01 05/21/13 NPS PHARMACEUTICALS INC DE 1.01,9.01 05/21/13 NSTAR ELECTRIC CO MA 2.03,9.01 05/17/13 NuStar Energy L.P. DE 7.01,9.01 05/22/13 NuStar GP Holdings, LLC DE 7.01,9.01 05/22/13 OCZ TECHNOLOGY GROUP INC DE 3.01,9.01 05/20/13 OGE ENERGY CORP. OK 5.07 05/16/13 OLD LINE BANCSHARES INC MD 7.01 05/22/13 Optionable Inc 5.02 05/20/13 ORION ENERGY SYSTEMS, INC. WI 1.01,2.02,7.01,9.01 05/22/13 Owens Realty Mortgage, Inc. MD 8.01,9.01 05/22/13 PACIFIC BIOSCIENCES OF CALIFORNIA, IN DE 5.02,5.07 05/21/13 PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02,9.01 05/22/13 PAID INC DE 7.01,8.01,9.01 05/22/13 Park Sterling Corp NC 5.07 05/22/13 PBF Energy Inc. DE 5.07,8.01,9.01 05/21/13 PDL BIOPHARMA, INC. DE 5.02,5.07 05/20/13 PEOPLESTRING CORP DE 5.01,5.02 02/12/13 PEREGRINE SEMICONDUCTOR CORP DE 5.07 05/20/13 PETSMART INC DE 2.02,9.01 05/22/13 PHOENIX COMPANIES INC/DE DE 8.01,9.01 05/22/13 Piedmont Office Realty Trust, Inc. MD 5.07 05/22/13 PINNACLE ENTERTAINMENT INC. DE 5.02,9.01 05/21/13 PINNACLE ENTERTAINMENT INC. DE 5.02,5.07,9.01 05/20/13 Pioneer Consulting group, Inc. NV 8.01 04/04/13 PLURISTEM THERAPEUTICS INC NV 5.07 05/22/13 Poage Bankshares, Inc. MD 8.01 05/21/13 POPULAR INC 8.01,9.01 05/22/13 Porter Bancorp, Inc. KY 5.03,5.07,9.01 05/22/13 Power REIT MD 5.02,8.01 05/21/13 PPL Corp 8.01,9.01 05/20/13 PREAXIA HEALTH CARE PAYMENT SYSTEMS I NV 4.01 05/20/13 PROASSURANCE CORP DE 5.02,5.07,7.01,9.01 05/22/13 PROGRESSIVE CORP/OH/ OH 5.02,9.01 05/16/13 PROSPECT GLOBAL RESOURCES INC. NV 1.01,2.03,8.01,9.01 05/22/13 PROSPECT GLOBAL RESOURCES INC. NV 1.02,2.03, 08/01/12 AMEND 3.02,8.01,9.01 Prothena Corp plc L2 5.02,9.01 05/20/13 ProUroCare Medical Inc. NV 5.02 05/16/13 Quad/Graphics, Inc. WI 5.07 05/20/13 RADIOSHACK CORP DE 5.07,9.01 05/22/13 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 05/22/13 Real Estate Contacts, Inc. 5.03 05/22/13 Regency Energy Partners LP DE 7.01,9.01 05/22/13 REINSURANCE GROUP OF AMERICA INC MO 7.01,9.01 05/22/13 Renewable Energy Group, Inc. DE 5.07 05/16/13 Resolute Forest Products Inc. DE 5.07,7.01 05/16/13 REX AMERICAN RESOURCES Corp DE 2.02,9.01 05/22/13 RJD Green, Inc. NV 1.01,9.01 05/21/13 Roadrunner Transportation Systems, In DE 5.07 05/21/13 ROTECH HEALTHCARE INC DE 8.01,9.01 05/21/13 ROYAL CARIBBEAN CRUISES LTD 5.02,9.01 05/16/13 ROYAL CARIBBEAN CRUISES LTD 5.07 05/22/13 S&T BANCORP INC PA 5.02,5.07,9.01 05/20/13 Saker Aviation Services, Inc. NV 1.01,1.02,2.03 05/17/13 Seagate Technology plc L2 1.01,2.03,9.01 05/22/13 SEALED AIR CORP/DE DE 5.07,7.01,9.01 05/16/13 SEATTLE GENETICS INC /WA DE 5.07 05/17/13 SeaWorld Entertainment, Inc. DE 2.02,9.01 05/22/13 SEMTECH CORP DE 2.02,7.01,9.01 05/22/13 Sequoia Mortgage Trust 2013-7 8.01,9.01 05/22/13 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 05/22/13 SHUTTERFLY INC DE 5.07 05/21/13 SHUTTERFLY INC DE 5.02 05/21/13 SIRIUS XM RADIO INC. DE 5.07 05/21/13 Solera National Bancorp, Inc. DE 5.07 05/22/13 SOUNDBITE COMMUNICATIONS INC 5.07 05/22/13 SOUTHERN FIRST BANCSHARES INC SC 5.07,7.01,9.01 05/21/13 SPARTAN STORES INC MI 2.02,9.01 05/22/13 SPRINT NEXTEL CORP KS 1.01,9.01 05/21/13 Sputnik Enterprises, Inc NV 1.02 05/22/13 ST JOE CO FL 5.07 05/16/13 STAPLES INC DE 2.02,8.01,9.01 05/22/13 STATE BANK FINANCIAL CORP GA 8.01 05/22/13 STEEL DYNAMICS INC IN 5.07 05/16/13 Stellus Capital Investment Corp MD 7.01,9.01 05/22/13 STEWARDSHIP FINANCIAL CORP NJ 5.02,5.07 05/20/13 STILLWATER MINING CO /DE/ DE 1.04,5.02, 04/03/13 5.03,7.01,9.01 SUFFOLK BANCORP NY 5.07 05/21/13 SunCoke Energy Partners, L.P. DE 7.01,9.01 05/21/13 SunCoke Energy, Inc. 7.01,9.01 05/21/13 SUNPOWER CORP DE 7.01,9.01 05/22/13 SUPERTEL HOSPITALITY INC VA 5.07 05/22/13 SUPERVALU INC DE 1.01,2.03,9.01 05/16/13 SYNOPSYS INC DE 2.02,9.01 05/22/13 TARGET CORP MN 2.02,9.01 05/22/13 TELLABS INC DE 5.02 05/17/13 TESLA MOTORS INC DE 1.01,1.02, 05/16/13 2.03,3.02,8.01,9.01 TESORO LOGISTICS LP DE 7.01,9.01 05/22/13 THQ INC DE 8.01,9.01 05/07/13 TIDELANDS BANCSHARES INC 5.07 05/20/13 TOLL BROTHERS INC DE 2.02,9.01 05/22/13 TOTAL SYSTEM SERVICES INC GA 8.01,9.01 05/22/13 TRANSGENOMIC INC DE 5.07 05/22/13 Transocean Ltd. V8 5.02,9.01 05/22/13 TREDEGAR CORP VA 5.02,9.01 05/21/13 TRIPLE-S MANAGEMENT CORP 1.01,9.01 05/16/13 UNITED BANCSHARES INC/OH OH 7.01,8.01,9.01 05/22/13 UNITED SECURITY BANCSHARES INC DE 5.02,9.01 05/16/13 UniTek Global Services, Inc. DE 3.01,9.01 05/20/13 US AIRWAYS GROUP INC DE 8.01,9.01 05/21/13 VALLEY NATIONAL BANCORP NJ 7.01,9.01 05/22/13 VALUEVISION MEDIA INC MN 2.02,8.01,9.01 05/22/13 Vestin Realty Mortgage I, Inc. 8.01 05/22/13 Vishay Precision Group, Inc. DE 5.02,5.07,9.01 05/21/13 VOIS Inc. FL 3.03,5.03,9.01 05/17/13 WashingtonFirst Bankshares, Inc. VA 5.02 05/17/13 AMEND WELLCARE HEALTH PLANS, INC. DE 5.07,8.01,9.01 05/22/13 WELLCARE HEALTH PLANS, INC. DE 5.02,9.01 05/22/13 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 05/22/13 WESTELL TECHNOLOGIES INC DE 2.02,9.01 05/22/13 WESTERN ALLIANCE BANCORPORATION NV 5.07 05/21/13 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 8.01 05/22/13 WESTLAKE CHEMICAL CORP DE 5.02,5.07,9.01 05/17/13 WESTMORELAND COAL Co DE 5.07 05/21/13 WhiteHorse Finance, Inc. DE 7.01,9.01 05/22/13 Whitestone REIT TX 5.07 05/20/13 Whitestone REIT TX 5.02 05/20/13 AMEND WideOpenWest Finance, LLC DE 2.02,9.01 05/22/13 WILLIAMS COMPANIES INC DE 5.07 05/16/13 Winthrop Realty Trust OH 5.07 05/21/13 Wolverine Bancorp, Inc. MD 5.07,9.01 05/20/13 Workday, Inc. DE 2.02,9.01 05/22/13 WORLD ACCEPTANCE CORP SC 8.01 05/21/13 WYNDHAM WORLDWIDE CORP DE 1.01,2.03 05/22/13 WYNN RESORTS LTD 1.01,3.03,8.01,9.01 05/22/13 Xhibit Corp. NV 1.01,2.01, 05/22/13 3.02,5.01,5.03,9.01 ZALE CORP DE 2.02,9.01 05/22/13 ZALE CORP DE 5.02,9.01 05/21/13 ZEBRA TECHNOLOGIES CORP 5.07 05/16/13 Zoetis Inc. 8.01,9.01 05/22/13