Commission Renames Division Focusing on Economic and Risk Analysis
The Securities and Exchange Commission (Commission) today announced that it has changed the name of its Division of Risk, Strategy, and Financial Innovation to better reflect its core responsibilities and focus. Starting today, it will be called the "Division of Economic and Risk Analysis."
The division was created in 2009 as the successor to three then-existing offices: the Office of Economic Analysis, Office of Risk Assessment, and Office of Interactive Data. These offices and other functions were combined to leverage expert staff and to provide sophisticated and data-driven economic and risk analyses to help inform the agency's policymaking, rulemaking, enforcement, and examinations.
"The division serves a central role in the SEC's ongoing commitment to rigorous economic analysis. It has grown significantly since its inception in 2009, not only almost doubling its staff since that time but also expanding its efforts to provide economic analysis and risk assessment to support the Commission's mission," said SEC Chair Mary Jo White. "This new name not only echoes the three offices that formed the core of the division, but also reflects the breadth of its still-expanding responsibilities."
Craig Lewis, Chief Economist and the division's director, added, "We are thrilled that this new name will emphasize the twin goals of the division: to provide robust and transparent economic analyses in support of Commission rulemaking and policy development, and enhance data-driven risk analytics to help focus the agency's resources on matters presenting the greatest perceived risk."
The Division of Economic and Risk Analysis has a broad role in Commission activities, interacting with nearly every division and office. Importantly, the division provides economic analysis in support of Commission rulemaking and other policy initiatives. The division also supports the work of the Division of Enforcement, for example, by providing economic and quantitative analysis related to enforcement actions. The division conducts economic research, risk assessment, and data analytics to help staff across the Commission anticipate, identify, and manage risk, particularly focusing on early identification of fraud and illegal or questionable activities. (Press Rel. 2013-104)
Closed Meeting on Thursday, June 13, 2013 at 2:00 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of adjudicatory matters; and other matters relating to enforcement proceedings.
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.
Commission Charges Cyprus-Based Company with Illegally Selling Binary Options in the U.S.
The Commission filed a civil injunctive action on June 5, 2013, in the United States District Court for the District of Nevada charging Banc de Binary Ltd., a Cyprus-based company, with illegally selling binary options to U.S. investors.
Binary options are securities in the form of options contracts whose payout depends on whether the underlying asset - for instance a company's stock - increases or decreases in value. In such an all-or nothing payout structure, investors betting on a stock price increase face two possible outcomes when the contract expires: they either receive a pre-determined amount of money if the value of the asset increased over the fixed period, or no money at all if it decreased.
The SEC alleges that Banc de Binary has been offering and selling binary options to investors across the U.S. without first registering the securities as required under the federal securities laws. The SEC also alleges that Banc de Binary has been acting as a broker when offering and selling these securities, but failed to register with the SEC as a broker as required under U.S. law.
The SEC's complaint seeks disgorgement plus prejudgment interest, financial penalties, and preliminary and permanent injunctions against Banc de Binary among other relief. The CFTC today announced a parallel action against Banc de Binary. The SEC appreciates the assistance of the CFTC in this matter. [SEC v. Banc de Binary Ltd., 2:13-cv-00993-RCJ-VCF](LR-22718) (Press Rel. 2013-103)
Commission Freezes Assets of Thailand-Based Trader for Insider Trading Ahead of Smithfield Foods Acquisition Announcement
The Commission announced an emergency court order to freeze the assets of a trader in Bangkok, Thailand, who made more than $3 million in profits by trading in advance of last week's announcement that Smithfield Foods agreed to a multi-billion dollar acquisition by China-based Shuanghui International Holdings.
The SEC alleges that Badin Rungruangnavarat purchased thousands of out-of-the-money Smithfield call options and single-stock futures contracts from May 21 to May 28 in an account at Interactive Brokers LLC. Rungruangnavarat allegedly made these purchases based on material, nonpublic information about the potential acquisition, and among his possible sources is a Facebook friend who is an associate director at an investment bank to a different company that was exploring an acquisition of Smithfield. After profiting from his timely and aggressive trading, Rungruangnavarat sought to withdraw more than $3 million from his account on June 3.
"The speed in which we were able to bring this emergency action exemplifies the talent, tenacity, and commitment that the SEC staff brings to bear every day to keep our markets fair and investors safe," said Andrew Ceresney, Co-Director of the SEC's Division of Enforcement.
Merri Jo Gillette, Director of the SEC's Chicago Regional Office, added, "As alleged in our complaint, not only did the defendant trade out of the money Smithfield call options, he further pumped up his profits by purchasing single-stock futures, thereby reaping a total unrealized return on his investment of 3,400 percent in the span of eight days. We will act quickly and decisively to uncover and take action against insider trading no matter where the trader resides or what types of securities are used to profit from nonpublic information."
According to the SEC's complaint filed under seal yesterday in U.S. District Court for the Northern District of Illinois, Smithfield publicly announced on May 29 that Shuanghui agreed to acquire the company for $4.7 billion, which would represent the largest-ever acquisition of a U.S. company by a Chinese buyer. Smithfield, which is headquartered in Smithfield, Va., is the world's largest pork producer and processor. Following the announcement, Smithfield stock opened nearly 25 percent higher than the previous day's closing price.
The SEC obtained the emergency court order late yesterday on an ex parte basis. The order freezes the proceeds of Rungruangnavarat's securities purchases, grants expedited discovery, and prohibits Rungruangnavarat from destroying evidence.
The SEC's complaint alleges that Rungruangnavarat violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to the emergency relief, the SEC is seeking disgorgement of ill-gotten gains with prejudgment interest, a financial penalty, and a permanent injunction. (Press Rel. 2013-102)
Commission Announces Entry of Final Judgments by Consent against Nicor Senior Officers
The Commission announced the resolution of a district court action filed in August 2007 against Kathleen Halloran, the former Chief Financial Officer of Nicor, Inc. (Nicor), and George Behrens, the former Treasurer of Nicor. Pursuant to consent judgments entered by the court on May 29, 2013, without admitting or denying the allegations in the remaining count of the Commission's complaint against them, Halloran will pay disgorgement of $177,064.06, together with prejudgment interest thereon in the amount of $114,011.92, for a total of $291,075.98, and Behrens will pay disgorgement of $87,980, together with prejudgment interest thereon in the amount of $64,725.95, for a total of $152,705.95.
The Commission's complaint alleges that from at least 1999 through 2002, Halloran and Behrens materially overstated Nicor's revenues under the company's performance-based rate (PBR) program and thereby materially overstated Nicor's financial performance. They are alleged to have misrepresented Nicor's actual performance under the PBR program by, among other things, making or authorizing false and misleading statements about Nicor's performance in multiple filings with the Commission. Based on these allegations, the complaint asserts claims against Halloran and Behrens for violating Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 (Securities Act).
The Commission initially alleged that Halloran and Behrens also violated Section 17(a)(1) of the Securities Act and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and aided and abetted Nicor's violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. The Commission voluntarily dismissed these charges. [SEC v. Thomas Fisher, et al., Case No. 07-cv-4483 (N.D. Ill.) (LR- 22715)]
Commission Orders Hearing on Registration Suspension or Revocation against Six Public Companies for Failure to Make Required Periodic Filings
The Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
• Greate Bay Hotel & Casino, Inc.
• R&G Financial Corp.
• Verbena Pharmaceuticals, Inc.
• Vistula Communications Services, Inc. (VSTL)
• Z-II, Inc.
• Zonic Corp.
In this Order, the Division of Enforcement (Division) alleges that the six issuers 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 Administrative Law 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 Administrative Law 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69704; File No. 3-15352)
In the Matter of Griffin Mining, Ltd., et al.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default as to Three Respondents (Default Order) in Griffin Mining, Ltd., Admin. Proc. File No. 3-15326. The Order Instituting Proceedings (OIP) alleged that Respondents Power Sports Factory, Inc., Star Energy Corp., and TransNet Corp. 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.
The proceeding has ended as to Respondent Griffin Mining, Ltd. See Griffin Mining, Ltd., Exchange Act Release No. 69698 (June 5, 2013). The Division of Enforcement has received a signed offer of settlement from Respondent Vibe Records, Inc. Respondent Valcom, Inc., remains in the proceeding. (Rel. 34-69705; File No. 3-15326)
INVESTMENT COMPANY ORDERS
Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust
A notice has been issued giving interested persons until July 1, 2013, to request a hearing on an application filed by Compass Efficient Model Portfolios, LLC and Compass EMP Funds Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-30550 - June 4, 2013)
An order was issued granting a limited exemption from Rule 102 of Regulation M concerning NYSE Arca, Inc.'s Exchange Traded Product Incentive Program Pilot pursuant to Rule 102(e) of Regulation M. Publication of the proposal is expected in the Federal Register during the week of June 10th. (Rel. 34-69707)
Immediate Effectiveness of a Proposed Rule Change
A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. relating to dissemination of agency-pass through mortgage-backed securities and SBA-backed asset-backed securities traded in specified pool transactions (SR-FINRA-2013-022) 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 June 3rd. (Rel. 34-69702)
A proposed rule change filed by the Chicago Stock Exchange, Inc. to amend the order cancellation fee (SR-CHX-2013-11) 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 June 10th. (Rel. 34-69701)
A proposed rule changed filed by The NASDAQ Stock Market LLC to adopt fees for the MOPB Routing Option under Rule 7018(a) (SR-NASDAQ-2013-080) 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 June 10th. (Rel. 34-69700)
The Commission issued a notice of filing and immediate effectiveness of a proposed rule change (SR-BOX-2013-29) filed by BOX Options Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend BOX Rule 8050 to lower the minimum quoting requirement for Market Makers quoting in Jumbo SPY Options. ;Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69711)
A proposed rule change (SR-MIAX-2013-26) filed by Miami International Securities Exchange LLC to amend the MIAX Options Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. ;Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69710)
Proposed Rule Change
ICE Clear Europe Limited filed Amendment No. 2 to a proposed rule change (File No. SR-ICEEU-2013-09) under Section 19(b)(1) of the Securities Exchange Act of 1934 to elaborate on certain aspects of the proposed clearing activities as they relate to LIFFE securities products and make a partial amendment to certain rules and procedures to clarify the considerations under which certain margin and risk management requirements would be established and modified from time to time. ;Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69703)
Approval of Proposed Rule Change
The Commission granted approval of a proposed rule change (SR-NYSEArca-2013-34), as modified by Amendment Nos. 1 and 2 thereto, submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to implement a one-year pilot program for issuers of certain exchange-traded products listed on the exchange. ;Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69706)
The Commission approved a proposed rule change (SR-FICC-2013-01) filed by Fixed Income Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend FICC's Mortgage-Backed Securities Division Clearing Rules in order to reflect the recent recommendation from the Treasury Market Practices Group relating to the removal of the resolution period for fails charges. ;Publication of the proposal is expected to be made in the Federal Register during the week of June 10th. (Rel. 34-69708)
The Commission approved a proposed rule change (SR-FICC-2013-03) filed by Fixed Income Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934. The approved rule change amends FICC's Mortgage-Backed Securities Division Clearing Rules in order to accurately reflect the manner in which FICC allocates an indemnity claim made in connection with the use of the Board of Governors of the Federal Reserve's National Settlement Service. ;Publication of the proposal is expected to be made in the Federal Register during the week of June 10th. (Rel. 34-69709)
Notice of Filing of Advance Notice
The National Securities Clearing Corporation (NSCC) filed an advance notice (File No. SR-NSCC-2013-805), as modified by Amendment No. 1, under Section 806(e)(1)(A) of the Payment, Clearing, and Settlement Supervision Act of 2010 to require that all locked-in trade data submitted to NSCC for trade recording be submitted in real-time. Publication is expected in the Federal Register during the week of June 3rd. (Rel. 34-69699)
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.
N-2 AllianceBernstein Multi-Manager Alternative Fund, ALLIANCEBERNSTEIN LP, 1345 AVENUE OF THE AMERICAS, NEW YORK, NY, 10105, 2129691000 - 0 ($1.00) Other, (File 333-189106 - Jun. 5) (BR. 22) S-3 Vertex Energy Inc., 1331 GEMINI STREET, SUITE 250, HOUSTON, TX, 77058, 866-660-8156 - 0 ($25,000,000.00) Equity, (File 333-189107 - Jun. 5) (BR. 06C) S-8 Trius Therapeutics Inc, 6310 NANCY RIDGE DR SUITE 105, SAN DIEGO, CA, 92121, 858-452-0370 - 0 ($39,168,000.00) Equity, (File 333-189108 - Jun. 5) (BR. 01B) S-1 Athlon Energy Inc., 420 THROCKMORTON STREET, SUITE 1200, FORT WORTH, TX, 76102, 817-984-8200 - 0 ($345,000,000.00) Equity, (File 333-189109 - Jun. 5) (BR. 04A) F-3 RADCOM LTD, 24 RAOUL WALLENBERG STREET, TEL AVIV, L3, 69719, 2123108007 - 1,652,852 ($5,210,616.00) Equity, (File 333-189111 - Jun. 5) (BR. 03B) S-1 SOUNDSTORM DIGITAL, INC., SUITE 218, 5511 WEST BOULEVARD, VANCOUVER, A1, V6M 3H4, 626-335-7750 - 7,100,000 ($710,000.00) Equity, (File 333-189112 - Jun. 5) (BR. 03) S-8 UNITED SECURITY BANCSHARES INC, P O BOX 249, 131 WEST FRONT STREET, THOMASVILLE, AL, 36784, 3346365424 - 0 ($5,004,000.00) Equity, (File 333-189113 - Jun. 5) (BR. 07C) S-8 NATURES SUNSHINE PRODUCTS INC, 2500 WEST EXECUTIVE PARKWAY, SUITE 100, LEHI, UT, 84043, (801) 341-7900 - 0 ($29,402,405.00) Equity, (File 333-189116 - Jun. 5) (BR. 01B) S-1 CANCER GENETICS, INC, 201 ROUTE 17 NORTH, 2ND FLOOR, RUTHERFORD, NJ, 07070, 201.528.9200 - 0 ($17,250,000.00) Equity, (File 333-189117 - Jun. 5) (BR. 09) S-3 MELA SCIENCES, INC. /NY, 50 SOUTH BUCKHOUT STREET, SUITE 1, IRVINGTON, NY, 10533, 914-591-3783 - 0 ($55,100,000.00) Equity, (File 333-189118 - Jun. 5) (BR. 10B) S-8 MELA SCIENCES, INC. /NY, 50 SOUTH BUCKHOUT STREET, SUITE 1, IRVINGTON, NY, 10533, 914-591-3783 - 0 ($4,440,000.00) Equity, (File 333-189119 - Jun. 5) (BR. 10B)
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 Abtech Holdings, Inc. NV 5.07,7.01 06/03/13 ACADIA PHARMACEUTICALS INC DE 1.01,9.01 05/31/13 ADCARE HEALTH SYSTEMS, INC OH 1.01,1.02,2.03,5.02 05/30/13 ADVANCED ENERGY INDUSTRIES INC DE 8.01 06/04/13 AIR LEASE CORP DE 1.01,8.01,9.01 05/30/13 ALKALINE WATER Co INC NV 3.02,4.01,5.01, 05/30/13 5.02,5.03,5.06,9.01 Allegiant Travel CO NV 5.07 06/04/13 Ally Auto Assets LLC DE 1.01,8.01,9.01 06/05/13 ALPHA PRO TECH LTD DE 5.07 06/04/13 ALTAIR NANOTECHNOLOGIES INC Z4 1.02 05/28/13 AMERICAN AIRLINES INC DE 2.03,8.01,9.01 06/05/13 American Capital Agency Corp 5.07 05/30/13 AMEND American Caresource Holdings, Inc. DE 5.02,5.07 05/30/13 American Electric Technologies Inc FL 5.02,9.01 06/04/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01 06/05/13 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 06/04/13 AMERICAN NATIONAL BANKSHARES INC VA 7.01,9.01 06/05/13 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 06/05/13 American Realty Capital Properties, I MD 1.01,3.02,8.01,9.01 06/02/13 American Residential Properties, Inc. MD 7.01 06/05/13 AMERICAN SAFETY INSURANCE HOLDINGS LT 1.01,9.01 06/05/13 AMERICAN WOODMARK CORP VA 5.02,9.01 06/05/13 AMERISOURCEBERGEN CORP DE 8.01 06/04/13 AMR CORP DE 2.03,8.01,9.01 06/05/13 Anacor Pharmaceuticals, Inc. DE 5.07 06/03/13 ANDERSONS INC OH 1.01 06/03/13 APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 06/05/13 ARCH CAPITAL GROUP LTD. 1.01,9.01 05/31/13 Arch Therapeutics, Inc. NV 5.03,8.01,9.01 06/05/13 ARES CAPITAL CORP MD 5.07 06/04/13 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 06/03/13 Artemis Acquisition Corp. DE 7.01,9.01 06/03/13 Ascena Retail Group, Inc. DE 2.02,9.01 06/05/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/05/13 Asia Travel Corp NV 8.01 06/05/13 ASURE SOFTWARE INC DE 1.01,8.01,9.01 05/30/13 Atlantic Coast Financial CORP MD 8.01,9.01 06/05/13 Atlas Financial Holdings, Inc. E9 7.01,9.01 06/05/13 ATWOOD OCEANICS INC TX 7.01,9.01 05/31/13 ATWOOD OCEANICS INC TX 7.01,9.01 06/05/13 ATWOOD OCEANICS INC TX 7.01,9.01 05/31/13 ATWOOD OCEANICS INC TX 7.01,9.01 06/05/13 ATWOOD OCEANICS INC TX 7.01,9.01 06/05/13 Bacterin International Holdings, Inc. DE 1.01,3.02,7.01,9.01 06/05/13 BALCHEM CORP MD 5.02 05/30/13 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 06/05/13 BAYLAKE CORP WI 5.07 06/03/13 BELK INC 2.02,9.01 06/03/13 BIOCRYST PHARMACEUTICALS INC DE 1.01,9.01 06/04/13 BOB EVANS FARMS INC DE 2.02,9.01 06/04/13 BROWN FORMAN CORP DE 2.02,9.01 06/05/13 CARDINAL HEALTH INC OH 1.01,9.01 06/04/13 Cellceutix CORP NV 4.01,9.01 06/01/13 CENTRAL FEDERAL CORP DE 5.02 06/05/13 CHECKPOINT SYSTEMS INC PA 5.07 06/05/13 CHESAPEAKE UTILITIES CORP DE 8.01,9.01 05/31/13 CHIMERIX INC DE 1.01 05/30/13 China Natural Gas, Inc. DE 8.01,9.01 05/30/13 CITIZENS FIRST CORP KY 7.01,9.01 06/05/13 CITIZENS INC CO 5.07,9.01 06/04/13 CLEANTECH TRANSIT, INC. 1.01,5.02,7.01,9.01 05/08/13 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02,5.03,5.07,9.01 06/04/13 COLDWATER CREEK INC DE 2.02,9.01 06/05/13 Cole Real Estate Investments, Inc. MD 1.01,2.03, 05/31/13 5.02,5.03,7.01,8.01,9.01 Colonial Financial Services, Inc. 1.01,8.01,9.01 05/30/13 COMMODITY ADVISORS FUND L.P. NY 3.02 06/01/13 COMMUNITY TRUST BANCORP INC /KY/ KY 7.01,9.01 03/31/13 COMPUWARE CORP MI 5.02 05/30/13 CONCEPTUS INC DE 2.01,3.01,3.02, 06/05/13 3.03,5.01,5.02,5.03,8.01,9.01 CONCEPTUS INC DE 1.01,2.04,8.01,9.01 06/05/13 CORCEPT THERAPEUTICS INC DE 5.02 06/03/13 CubeSmart MD 2.02,7.01,9.01 06/05/13 CYBERONICS INC DE 2.02,9.01 06/05/13 CYS Investments, Inc. MD 7.01,9.01 06/05/13 Delta Tucker Holdings, Inc. DE 7.01 06/05/13 Digerati Technologies, Inc. NV 1.03,2.04 05/30/13 DIGI INTERNATIONAL INC DE 5.02 06/03/13 DIGIRAD CORP DE 5.02 06/04/13 Dividend Capital Diversified Property MD 1.01,8.01,9.01 05/01/13 Douglas Emmett Inc MD 5.07 06/04/13 DOVER SADDLERY INC 2.02,7.01,9.01 06/05/13 DSP GROUP INC /DE/ DE 8.01,9.01 06/05/13 DUKE REALTY CORP IN 7.01,9.01 06/05/13 DYNATRONICS CORP UT 5.02,9.01 06/03/13 eCareer Holdings, Inc. NV 4.01,5.03,9.01 05/31/13 ENCORE CAPITAL GROUP INC DE 7.01,9.01 06/05/13 ENDO HEALTH SOLUTIONS INC. DE 1.02,7.01,8.01,9.01 05/31/13 Energizer Tennis Inc. NV 4.01,5.01,9.01 05/31/13 EnteroMedics Inc 8.01 06/03/13 ENTRAVISION COMMUNICATIONS CORP DE 5.07 05/30/13 Eric B. Global Ventures, Inc. DE 5.03,9.01 05/31/13 ESSA Bancorp, Inc. PA 8.01,9.01 06/04/13 Essex Rental Corp. IL 5.07 06/05/13 EXTERRAN PARTNERS, L.P. DE 9.01 06/05/13 EZCORP INC DE 5.04 06/05/13 EZJR, Inc. NV 3.02 06/04/13 FAIRPOINT COMMUNICATIONS INC DE 5.07,7.01 06/03/13 FEDERAL AGRICULTURAL MORTGAGE CORP 8.01,9.01 06/05/13 Federal Home Loan Bank of Boston X1 2.03 05/30/13 FIDELITY SOUTHERN CORP GA 1.01,8.01,9.01 06/05/13 FIFTH THIRD BANCORP OH 7.01,9.01 06/05/13 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 06/05/13 First Connecticut Bancorp, Inc. MD 8.01 05/30/13 FIRST PACTRUST BANCORP INC MD 8.01,9.01 06/05/13 FIRST POTOMAC REALTY TRUST MD 7.01 06/05/13 FIVE BELOW, INC PA 5.02,5.07 05/30/13 FIVE STAR QUALITY CARE INC 8.01,9.01 06/05/13 FLEETCOR TECHNOLOGIES INC DE 5.02,5.07,9.01 05/30/13 Forex International Trading Corp. NV 8.01 06/04/13 FXCM Inc. 7.01,9.01 06/05/13 G III APPAREL GROUP LTD /DE/ DE 5.07 06/04/13 GelTech Solutions, Inc. DE 3.02 06/03/13 General Motors Co 8.01 06/03/13 Giggles N' Hugs, Inc. NV 1.01,9.01 06/04/13 GLOBALSCAPE INC DE 5.02 06/04/13 Gramercy Property Trust Inc. MD 7.01,9.01 06/05/13 GRANITE CITY FOOD & BREWERY LTD. MN 1.01,2.03,9.01 05/31/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 05/31/13 GRAPHIC PACKAGING HOLDING CO DE 1.01,9.01 05/30/13 GREATBATCH, INC. DE 2.05,5.02,8.01,9.01 06/04/13 GreenChoice International, Inc. NV 3.02,5.02 05/29/13 GYMBOREE CORP DE 2.02,9.01 06/05/13 GYRODYNE CO OF AMERICA INC NY 4.01,9.01 06/01/13 Hallwood Group Inc DE 1.01,9.01 06/04/13 HD SUPPLY, INC. DE 2.02,9.01 06/04/13 HELMERICH & PAYNE INC DE 8.01,9.01 06/05/13 High Plains Gas, Inc. NV 4.01 06/05/13 High Plains Gas, Inc. NV 5.02 06/05/13 Hill International, Inc. DE 8.01 05/30/13 HOMEAWAY INC DE 5.07 06/05/13 HOOKER FURNITURE CORP VA 5.07 06/04/13 HOOKER FURNITURE CORP VA 7.01,9.01 06/05/13 HOPFED BANCORP INC DE 8.01,9.01 06/05/13 Horizon Lines, Inc. 5.02,9.01 06/01/13 HOVNANIAN ENTERPRISES INC DE 2.02,9.01 06/05/13 Huayue Electronics, Inc. DE 4.01,9.01 06/01/13 Hudson Global, Inc. DE 5.02,9.01 05/30/13 iBio, Inc. DE 3.01,8.01,9.01 05/31/13 Ignite Restaurant Group, Inc. 5.07 06/04/13 IKANOS COMMUNICATIONS CA 5.07 06/04/13 IMPAX LABORATORIES INC DE 2.05,9.01 06/04/13 INCYTE CORP DE 3.02,5.02,5.07,9.01 05/30/13 INDEPENDENT BANK CORP MA 7.01 06/05/13 Inland Diversified Real Estate Trust, MD 7.01,9.01 06/05/13 INNODATA INC DE 5.07 06/04/13 INNOTRAC CORP GA 5.07 06/05/13 Inrad Optics, Inc. NJ 5.02 05/31/13 Inrad Optics, Inc. NJ 4.01,9.01 06/01/13 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 5.02,8.01,9.01 06/03/13 INTERLEUKIN GENETICS INC DE 5.03,9.01 05/31/13 INTERLEUKIN GENETICS INC DE 5.02 05/17/13 AMEND INTERMUNE INC DE 5.02,5.03,5.07,9.01 05/30/13 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 7.01,9.01 06/05/13 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 7.01,9.01 06/05/13 INTERNATIONAL LEASE FINANCE CORP CA 8.01 06/05/13 INUVO, INC. NV 8.01 06/05/13 IRONWOOD PHARMACEUTICALS INC DE 5.07 06/04/13 iTalk Inc. NV 1.01,2.01,3.02,9.01 05/29/13 KAISER ALUMINUM CORP DE 5.07 06/04/13 KIRKLAND'S, INC 5.07 06/04/13 KIT digital, Inc. DE 8.01,9.01 06/04/13 L 3 COMMUNICATIONS HOLDINGS INC DE 5.02,9.01 06/05/13 LAS VEGAS SANDS CORP NV 7.01,9.01 06/05/13 LAYNE CHRISTENSEN CO DE 2.02,9.01 06/05/13 LendingClub Corp DE 1.01 06/04/13 LEVEL 3 COMMUNICATIONS INC DE 5.02 06/05/13 LIBERATOR MEDICAL HOLDINGS, INC. NV 2.02,9.01 05/16/13 LITTELFUSE INC /DE DE 1.01,1.02,2.01, 05/31/13 2.03,9.01 LOT78, INC. NV 8.01 06/05/13 MAC-GRAY CORP DE 5.03,5.07,8.01,9.01 05/30/13 MAD CATZ INTERACTIVE INC Z4 5.02,9.01 05/30/13 Madison Bancorp Inc MD 2.02,9.01 06/04/13 MAGNEGAS CORP DE 8.01 06/05/13 MALVERN BANCORP, INC. PA 5.07 02/07/13 AMEND MamaMancini's Holdings, Inc. NV 1.01,5.02,9.01 04/26/13 MANAGED FUTURES PREMIER ABINGDON L.P. NY 3.02 06/01/13 MANAGED FUTURES PREMIER AVENTIS II L. NY 3.02 06/01/13 Managed Futures Premier BHM L.P. DE 3.02 06/01/13 MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 06/01/13 Mast Therapeutics, Inc. DE 7.01,9.01 06/05/13 MAXWELL TECHNOLOGIES INC DE 5.02,9.01 06/04/13 Measurement Specialties Inc NJ 2.02,9.01 06/05/13 MERCADOLIBRE INC 5.02,8.01,9.01 05/31/13 MET PRO CORP PA 5.07,7.01,8.01,9.01 06/05/13 METABOLIX, INC. 5.07 05/30/13 Midwest Energy Emissions Corp. DE 5.02 06/01/13 MILESTONE SCIENTIFIC INC. DE 4.01,9.01 06/01/13 MOKITA, INC. 8.01,9.01 05/30/13 Monster Beverage Corp DE 5.07 06/03/13 MONSTER WORLDWIDE, INC. DE 5.07 06/04/13 MoSys, Inc. DE 5.07 06/04/13 Motorola Solutions, Inc. DE 5.02,9.01 06/05/13 MVP REIT, Inc. MD 8.01,9.01 06/05/13 AMEND NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 05/30/13 NAVISTAR INTERNATIONAL CORP DE 7.01 06/05/13 NetApp, Inc. CA 1.01,2.03 06/05/13 NETGEAR, INC DE 5.02,5.07 05/31/13 Neuromama, Ltd. NV 5.03,8.01 05/22/13 New Source Energy Partners L.P. DE 1.01,7.01,9.01 05/31/13 NEWLINK GENETICS CORP 1.01 06/05/13 NEXTERA ENERGY INC FL 8.01,9.01 06/05/13 NORTH BAY RESOURCES INC DE 1.01,9.01 06/04/13 NORTHWEST PIPE CO OR 5.02,5.07,9.01 05/31/13 Novus Robotics Inc. NV 1.01,9.01 06/04/13 Nuance Communications, Inc. DE 2.01 05/31/13 NUMEREX CORP /PA/ PA 5.02,9.01 06/05/13 NV ENERGY, INC. NV 7.01,9.01 05/31/13 NYSE Euronext DE 5.07,9.01 06/03/13 OCEANFIRST FINANCIAL CORP DE 7.01,9.01 06/05/13 OMEGA PROTEIN CORP NV 1.01,7.01,9.01 06/04/13 Opko Health, Inc. DE 7.01,9.01 06/04/13 ORION FUTURES FUND LP NY 3.02 06/01/13 PATTERSON UTI ENERGY INC DE 5.07 06/05/13 PDL BIOPHARMA, INC. DE 7.01,9.01 06/05/13 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 06/01/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 05/31/13 PORTFOLIO RECOVERY ASSOCIATES INC DE 5.02,9.01 06/04/13 POTOMAC FUTURES FUND LP NY 3.02 06/01/13 POWER INTEGRATIONS INC CA 5.07 06/03/13 PRIVATEBANCORP, INC DE 7.01,9.01 06/05/13 PROCTER & GAMBLE Co OH 5.02,7.01 06/05/13 PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 06/05/13 Prosper Funding LLC DE 1.01,5.02,9.01 06/05/13 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 06/05/13 PULTEGROUP INC/MI/ MI 2.05,9.01 05/31/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.02,9.01 05/30/13 RAINMAKER SYSTEMS INC DE 5.07,9.01 06/05/13 RAMCO GERSHENSON PROPERTIES TRUST MD 5.07 06/05/13 RCS Capital Corp DE 7.01,9.01 06/05/13 Receptos, Inc. DE 7.01,9.01 06/05/13 RENTECH INC /CO/ CO 5.02,5.07,9.01 06/04/13 Revett Minerals Inc. A6 8.01,9.01 05/24/13 REX AMERICAN RESOURCES Corp DE 5.07 06/04/13 RPC INC DE 8.01,9.01 06/05/13 rue21, inc. DE 2.02,9.01 06/05/13 Sabra Health Care REIT, Inc. MD 7.01,9.01 06/05/13 Sanwire Corp 5.02 06/05/13 SCANA CORP SC 8.01 06/05/13 SCIENTIFIC GAMES CORP DE 5.07 06/04/13 SCOTTS LIQUID GOLD INC CO 8.01,9.01 06/05/13 SIGNATURE GROUP HOLDINGS, INC. NV 1.01,5.02,9.01 06/04/13 SILGAN HOLDINGS INC DE 5.07 06/03/13 SLM Student Loan Trust 2003-1 DE 8.01,9.01 06/05/13 SLM Student Loan Trust 2003-4 DE 8.01,9.01 06/05/13 SLM Student Loan Trust 2003-7 DE 8.01,9.01 06/05/13 SmartMetric, Inc. NV 1.01,3.02,9.01 05/28/13 SOCKET MOBILE, INC. DE 5.07 06/05/13 Solar Senior Capital Ltd. MD 7.01,9.01 06/05/13 SOLAZYME INC DE 5.07 06/04/13 SOURCE FINANCIAL, INC. 1.01,3.03,5.03, 05/30/13 8.01,9.01 SOVRAN SELF STORAGE INC MD 1.01,2.03,8.01,9.01 06/04/13 SPECTRUM PHARMACEUTICALS INC DE 5.02,9.01 06/03/13 Spine Pain Management, Inc DE 5.07 05/30/13 SquareTwo Financial Corp DE 5.02 06/04/13 Stratex Oil & Gas Holdings, Inc. CO 1.01,2.01,3.02, 07/06/12 AMEND 4.01,5.01,5.02,5.06,9.01 STRATS(SM) Trust for Allstate Corp Se 8.01 05/28/13 Summit Midstream Partners, LP DE 1.01,2.01,2.03, 06/05/13 3.02,7.01,9.01 Summit Midstream Partners, LP DE 8.01,9.01 06/05/13 SUNEDISON, INC. DE 5.02,5.07,8.01,9.01 05/31/13 SUNEDISON, INC. DE 5.03,9.01 05/31/13 Swisher Hygiene Inc. DE 7.01,9.01 06/05/13 TALON INTERNATIONAL, INC. DE 5.07 06/05/13 TAURIGA SCIENCES, INC. FL 1.01,3.02,8.01,9.01 06/03/13 Tennessee Valley Authority 8.01 06/05/13 THERMO FISHER SCIENTIFIC INC. DE 7.01 06/05/13 Thermon Group Holdings, Inc. DE 2.02,9.01 06/05/13 TRANS ENERGY INC NV 2.02,7.01,9.01 05/30/13 TransDigm Group INC DE 7.01,9.01 06/05/13 TransMontaigne Partners L.P. DE 8.01,9.01 06/05/13 TRANSTECH SOLUTIONS INC NV 8.01 06/04/13 Travelport LTD D0 7.01,9.01 06/05/13 Trunity Holdings, Inc. DE 1.01,3.02,5.02,9.01 06/05/13 UAN CULTURAL & CREATIVE CO., LTD. DE 5.02 06/01/13 UNITED FIRE GROUP INC 1.01,1.02,2.03 06/04/13 UNITED GUARDIAN INC DE 4.01,9.01 06/01/13 UNITED INSURANCE HOLDINGS CORP. DE 1.01,9.01 05/31/13 UniTek Global Services, Inc. DE 1.01,7.01,9.01 06/03/13 Universal Truckload Services, Inc. MI 1.01,9.01 06/03/13 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 06/05/13 UPSTREAM BIOSCIENCES INC. NV 5.01,5.02,9.01 05/31/13 UROLOGIX INC MN 3.01,9.01 06/05/13 US AIRWAYS GROUP INC DE 2.02,9.01 06/05/13 USEC INC DE 2.05 05/31/13 VECTREN CORP IN 2.03 05/06/13 VENTRUS BIOSCIENCES INC DE 5.07 06/04/13 Vera Bradley, Inc. 2.02,5.02,9.01 06/05/13 VERIFONE SYSTEMS, INC. DE 2.02,9.01 06/05/13 WABCO Holdings Inc. DE 5.02,5.07,9.01 05/30/13 Walter Energy, Inc. DE 7.01 06/05/13 WEBSENSE INC DE 8.01 06/03/13 WEBSTER FINANCIAL CORP DE 7.01 06/05/13 WESBANCO INC WV 5.02,9.01 06/05/13 WESTPORT FUTURES FUND L.P. NY 3.02 06/01/13 WFRBS Commercial Mortgage Trust 2013- NC 8.01,9.01 06/04/13 WILEY JOHN & SONS, INC. NY 5.02,9.01 06/05/13 WILLIS GROUP HOLDINGS PLC L2 8.01,9.01 06/03/13 WILSHIRE BANCORP INC 8.01,9.01 06/04/13 Zayo Group LLC DE 7.01,9.01 05/31/13 ZaZa Energy Corp DE 5.07 05/30/13 Zewar Jewellery, Inc. NV 8.01 06/05/13 ZHONG SEN INTERNATIONAL TEA CO FL 1.01,2.01, 03/14/13 3.02,5.01,9.01 ZIPREALTY INC 5.02,5.07,9.01 05/30/13 Zumiez Inc WA 7.01,9.01 06/05/13