Commission, FINRA Warn Investors about Pump-And-Dump Stock Spam
The Securities and Exchange Commission (Commission) and the Financial Industry Regulatory Authority (FINRA) today issued a warning to investors about a sharp increase in e-mail linked to "pump-and-dump" stock schemes.
The investor alert entitled Inbox Alert – Don't Trade on Pump-And-Dump Stock E-mails notes that the latest McAfee Threats Report confirms a steep rise in spam e-mail linked to bogus "pump-and-dump" stock schemes designed to trick unsuspecting investors. These false claims could also be made on social media such as Facebook and Twitter as well as on bulletin boards and chat room pages.
"Investors should always be wary of unsolicited investment offers in the form of an e-mail from a stranger," said Lori Schock, Director of the SEC's Office of Investor Education and Advocacy. "The best response to investment spam is to hit delete."
"Spam e-mail is the bait used to lure people into making bad investment decisions. No one should ever make an investment based on the advice of an unsolicited email," said Cameron Funkhouser, Executive Vice President of FINRA's Office of Fraud Detection and Market Intelligence.
Pump-and-dump promoters frequently claim to have "inside" information about an impending development. Others may say they use an "infallible" system that uses a combination of economic and stock market data to pick stocks. These scams are the inbox equivalent of a boiler room sales operation, hounding investors with potentially false information about a company.
The fraudsters behind these scams stand to gain by selling their shares after the stock price is "pumped" up by the buying frenzy they create through the mass e-mail push. Once these fraudsters "dump" their shares by selling them and stop hyping the stock, investors lose their money or are left with worthless or near worthless stock.
Commission Announces More Charges in Massive Kickback Scheme to Secure Business of Venezuelan Bank
The Commission today charged the former head of the Miami office at brokerage firm Direct Access Partners (DAP) for his role in a massive kickback scheme to secure the bond trading business of a state-owned Venezuelan bank.
The SEC charged four individuals last month who enabled the global markets group at DAP to generate more than $66 million in revenue from transaction fees related to fraudulent trades they executed for Banco de Desarrollo Económico y Social de Venezuela (BANDES). A portion of this revenue was illicitly paid to the Vice President of Finance at BANDES, who authorized the fraudulent trades.
The SEC alleges that as managing partner of the global markets group, Ernesto Lujan was an integral participant in the wide-ranging fraudulent scheme that included sham arrangements to hide the kickback payments and route money to the BANDES official through shell corporations. Lujan and others charged in the scheme deceived DAP's clearing brokers, executed internal wash trades, interpositioned another broker-dealer in the trades to conceal their role in the transactions, and engaged in massive roundtrip trades to pad their revenue.
"For a scheme this bold to succeed, it required the sneaky collaboration of several individuals including the head of the Miami office," said Andrew M. Calamari, Director of the SEC's New York Regional Office. "Lujan and the others may have believed they were covering their tracks, but the SEC's exam and enforcement teams unraveled their fraud."
In a parallel action, the U.S. Attorney's Office for the Southern District of New York announced criminal charges against Lujan.
The SEC's amended complaint filed in federal court in Manhattan charges Lujan and the other defendants with fraud and seeks final judgments that would require them to return ill-gotten gains with interest and pay financial penalties.
The SEC's investigation, which is continuing, has been conducted by Wendy Tepperman, Amanda Straub, and Michael Osnato of the New York Regional Office. The SEC's litigation is being led by Howard Fischer. An SEC examination of DAP that that led to the investigation was conducted by members of the New York office's broker-dealer examination staff. The SEC appreciates the assistance of the U.S. Attorney's Office for the Southern District of New York, the Department of Justice's Criminal Division, and the Federal Bureau of Investigation. (Press Rel. 2013-109)
Commission Files Subpoena Enforcement Action against Bridge Securities, LLC, Bridge Equity, LLC, Bridge Equity, Inc. and FOGFuels, Inc.
On June 12, 2013, the Securities and Exchange Commission (Commission) filed an application with the United States District Court for the Northern District of Georgia for an order to enforce investigative subpoenas served on Bridge Securities, LLC, Bridge Equity, LLC, Bridge Equity, Inc. and FOGFuels, Inc. located in Atlanta, Georgia. All of the entity respondents are under the control of Paul James Marshall, a resident of Atlanta, Georgia.
A hearing on the Commission's application has not yet been scheduled. [SEC v. Bridge Securities, LLC, Bridge Equity, LLC, Bridge Equity, Inc. and FOGFuels, Inc., Civil Action No. 1:13-MI-0076 (N.D. GA filed June 12, 2013)](LR-22724)
Former Yahoo Executive Settles SEC Insider Trading Case
The Commission announced today that on June 11, 2013, the Honorable Andrew L. Carter, Jr. of the United States District Court for the Southern District of New York, entered a final judgment against Robert W. Kwok, in SEC v. Reema D. Shah and Robert W. Kwok, 12-CV-4030, an insider trading case the SEC filed on May 21, 2012. The SEC alleged that Kwok, a former Senior Director of Business Management at Yahoo! Inc., illegally tipped and traded on material, nonpublic information concerning Yahoo and Moldflow Corporation.
The SEC's complaint alleged that in April 2008, Reema Shah, a former mutual fund and hedge fund portfolio manager at RiverSource Investments, LLC, tipped Kwok material, nonpublic information concerning an upcoming acquisition of Moldflow by Autodesk, Inc., which had been misappropriated by an Autodesk insider and tipped to Shah. The SEC alleged that, based on this tip, Kwok purchased 1,500 shares of Moldflow in a personal account, which he sold after announcement of the acquisition, realizing profits of approximately $4,750. The SEC also alleged that in July 2009, Kwok, in breach of his duty to Yahoo, tipped Shah material, nonpublic information concerning an upcoming announcement of an internet search engine partnership agreement between Yahoo and Microsoft Corporation. The SEC alleged that, based on Kwok's tip, Shah caused certain of the mutual funds and hedge funds she helped manage to purchase shares of Yahoo.
Previously in this action, the Court entered a consent judgment against Kwok ordering injunctive relief and barring Kwok from serving as an officer or director of a public company. The final judgment, also entered by consent, orders disgorgement of $4,754 plus prejudgment interest of $848, and a civil penalty of $4,754. In a parallel criminal action brought by the U.S. Attorney's Office for the Southern District of New York, Kwok previously pled guilty to conspiracy to commit securities fraud and was sentenced to two years of probation and ordered to forfeit $4,754 and pay a fine of $1,000. [United States v. Robert Kwok, 12-CR-405 (S.D.N.Y.)](LR-22726).
Commission Charges Brothers with Insider Trading
On June 11, 2013, the Commission filed a civil injunctive action in the Northern District of Ohio against Andrew W. Jacobs (A. Jacobs) and his brother Leslie J. Jacobs II (L. Jacobs). The Commission alleges that A. Jacobs provided L. Jacobs material non-public information about a pending tender offer for Chattem, Inc. securities. L. Jacobs then traded on the basis of the information he received from his brother.
According to the Commission's complaint, on December 21, 2009, Sanofi-Aventis (Sanofi), a French pharmaceutical company, announced its intent to make a tender offer for Chattem, a Tennessee-based distributor of over-the-counter pharmaceutical products, at the price of $93.50 per share (Announcement). Shares of Chattem closed 32.60% higher on the day of the Announcement than the prior trading day's close of $69.98 and volume increased more than 3,000% to 10.3 million shares.
The Commission alleges that A. Jacobs learned of the tender offer in a confidential conversation with his brother-in-law, who was at the time a Chattem executive. The executive, with whom A. Jacobs had been friends since business school and who was married to his wife's sister, requested that A. Jacobs keep their discussion confidential. A. Jacobs agreed to do so. Nonetheless, according to the complaint, the next day, A. Jacobs called his brother L. Jacobs A and told him that Chattem was going to be acquired. A few days later, L. Jacobs purchased 2000 shares of Chattem at a cost of $136,579.85. After the Announcement, L. Jacobs sold those shares for a profit of $49,457.21.
The Commission's complaint, filed in the United States District Court for the Northern District of Ohio, alleges that each defendant violated Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder, and seeks against each defendant permanent injunctions, disgorgement with prejudgment interest and civil monetary penalties pursuant to Section 21A of the Exchange Act. The Commission also seeks an officer and director against A. Jacobs, who was a high-level executive of a public company at the time of the tip.
This is the eighth case that the Commission has brought alleging insider trading in connection with the acquisition of Chattem by Sanofi. See SEC v. Lazorchak, et al., Lit. Rel. No. 22485; SEC v. Coots, et al, Lit. Rel. No. 22466; SEC v. Jackson, Lit. Rel. No. 22467; SEC v. Berry, Lit. Rel. No. 22465; SEC v. Melvin, et. al, Lit. Rel. No. 22468; SEC v. Rooks, Lit. Rel. No. 22469; SEC v. Condroyer, et al., Lit. Rel. No. 21347.
INVESTMENT COMPANY ORDERS
ERNY Financial ETF Trust and ERNY Financial Advisors, LLCAn order has been issued on an application filed by ERNY Financial ETF Trust and ERNY Financial Advisors, LLC. The order permits: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30552 - June 10, 2013)
Localshares Investment Trust
An order has been issued on an application filed by LocalShares Investment Trust, LocalShares, Inc., and SEI Investments Distribution Co. for an order to permit: (a) certain open-end management investment companies or series thereof to issue shares ("Shares") redeemable in large aggregations only ("Creation Units"); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30555 - June 11, 2013)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by New York Stock Exchange LLC amending its Price List related to certain pricing applicable to Supplemental Liquidity Providers on the Exchange (SR-NYSE-2013-35) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 10th. (Rel. 34-69734)
A proposed rule change filed by New York Stock Exchange LLC amending NYSE Rule 103B, Section III(A) to increase from three to four the minimum number of DMM units an issuer must interview from the pool of DMM units eligible to participate in the allocation process (SR-NYSE-2013-39) 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. 34-69735)
A proposed rule change filed by CBOE Futures Exchange, LLC relating to the requirements applicable to Foreign Trading Privilege Holders (SR-CFE-2013-004) has become effective pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69731)
A proposed rule change (SR-C2-2013-021), filed by C2 Options Exchange, Incorporated, to extend the Penny Pilot Program 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. 34-69737)
Designation of Longer Period for Commission Action on a Proposed Rule Change
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSEMKT-2013-25) filed by NYSE MKT LLC amending NYSE MKT Rule 104 – Equities to codify certain traditional trading floor functions that may be performed by Designated Market Makers ("DMMs"), to make Exchange systems available to DMMs that would provide DMMs with certain market information, to amend the Exchange's rules governing the ability of DMMs to provide market information to floor brokers, and to make conforming amendments to other rules. Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69733)
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NYSE-2013-21) filed by New York Stock Exchange LLC amending NYSE Rule 104 to codify certain traditional trading floor functions that may be performed by Designated Market Makers ("DMMs"), to make Exchange systems available to DMMs that would provide DMMs with certain market information, to amend the Exchange's rules governing the ability of DMMs to provide market information to floor brokers, and to make conforming amendments to other rules. Publication is expected in the Federal Register during the week of June 10th. (Rel. 34-69736)
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 BlackRock All Asset Income Trust, 55 EAST 52ND STREET, NEW YORK, NY, 10055, (800) 882-0052 - 50,000 ($1,000,000.00) Equity, (File 333-189225 - Jun. 11) (BR. 17) S-4 TRULIA, INC., 116 NEW MONTGOMERY STREET, SUITE 300, SAN FRANCISCO, CA, 94105, (415) 648-4358 - 0 ($181,759,270.00) Equity, (File 333-189226 - Jun. 11) (BR. 03A) F-3D AuRico Gold Inc., 110 YONGE STREET, SUITE 1601, TORONTO, A6, M5C 1T4, 902-468-0614 - 0 ($10,089,000.00) Equity, (File 333-189227 - Jun. 11) (BR. 09B) F-3 Navios Maritime Holdings Inc., C/O INTERNATIONAL SHIPPING ENTERPRISES, 1225 FRANKLIN AVE., SUITE 325, GARDEN CITY, NY, 11530, 516-240-8025 - 0 ($500,000,000.00) Other, (File 333-189231 - Jun. 11) (BR. 05B) S-8 GAP INC, TWO FOLSOM STREET, SAN FRANCISCO, CA, 94105, 6509524400 - 25,000,000 ($1,012,500,000.00) Equity, (File 333-189232 - Jun. 11) (BR. 09A) S-8 OFFICEMAX INC, 263 SHUMAN BLVD., NAPERVILLE, IL, 60563, (630) 864-5070 - 0 ($139,150,000.00) Equity, (File 333-189233 - Jun. 11) (BR. 04B) S-3ASR Clovis Oncology, Inc., 2525 28TH STREET, SUITE 100, BOULDER, CO, 80301, (303) 625-5000 - 0 ($0.00) Equity, (File 333-189234 - Jun. 11) (BR. 01B) S-3 RARE ELEMENT RESOURCES LTD, 325 Howe Street Suite 410, Vancouver, A1, V6C 1Z7, (604) 687-3520 - 0 ($50,000,000.00) Other, (File 333-189235 - Jun. 11) (BR. 09A) S-3ASR FIRST SOLAR, INC., 350 WEST WASHINGTON STREET, SUITE 600, TEMPE, AZ, 85281, (602) 414-9300 - 0 ($0.00) Equity, (File 333-189236 - Jun. 11) (BR. 10A) S-1 CYTOMEDIX INC, 209 PERRY PARKWAY,, SUITE 7, GAITHERSBURG,, MD, 20877, 240-499-2680 - 10,375,000 ($5,083,750.00) Equity, (File 333-189237 - Jun. 11) (BR. 10A) S-3 Rouse Properties, Inc., 1114 AVENUE OF THE AMERICAS, SUITE 2800, NEW YORK, NY, 10036, 212-608-5108 - 0 ($400,000,000.00) Equity, (File 333-189238 - Jun. 11) (BR. 08B) S-8 ESSEX PROPERTY TRUST INC, 925 EAST MEADOW DR, PALO ALTO, CA, 94303, 6504943700 - 1,158,615 ($178,832,225.00) Equity, (File 333-189239 - Jun. 11) (BR. 08B) S-8 REXAHN PHARMACEUTICALS, INC., 15245 SHADY GROVE ROAD, SUITE 455, ROCKVILLE, MD, 20850, 2402685300 - 17,000,000 ($6,800,000.00) Equity, (File 333-189240 - Jun. 11) (BR. 01A) S-1 Selway Capital Acquisition Corp., 900 THIRD AVENUE,, 19TH FL, NEW YORK, NY, 10022, 646-421-6667 - 12,639,708 ($93,533,839.20) Equity, (File 333-189241 - Jun. 11) (BR. 01B) S-3 Western Asset Mortgage Capital Corp, 385 EAST COLORADO BOULEVARD, PASADENA, CA, 91101, 626-844-9400 - 0 ($62,132,959.31) Equity, (File 333-189242 - Jun. 11) (BR. 08A)
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 ABRAXAS PETROLEUM CORP NV 7.01,9.01 06/10/13 ACACIA RESEARCH CORP DE 8.01 06/04/13 ACE MARKETING & PROMOTIONS INC NY 7.01,9.01 06/11/13 AEROSONIC CORP /DE/ DE 1.02,2.01,3.01, 06/05/13 3.02,3.03,5.01,5.02,5.03,9.01 AETNA INC /PA/ PA 7.01 06/11/13 AIR INDUSTRIES GROUP, INC. DE 7.01,9.01 06/10/13 AL International, Inc. 5.02 06/07/13 ALASKA AIR GROUP, INC. DE 7.01,9.01 06/11/13 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.07,7.01 06/11/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 06/11/13 ALLSTATE CORP DE 8.01 06/06/13 Alphatec Holdings, Inc. DE 5.02,8.01,9.01 06/10/13 ALTRIA GROUP, INC. VA 7.01,8.01,9.01 06/11/13 AMBIENT CORP /NY DE 5.07 06/06/13 American Capital Agency Corp 7.01,9.01 06/11/13 AMERICAN SPECTRUM REALTY INC MD 5.07 06/11/13 AMERICAN VANGUARD CORP DE 5.02,5.07,8.01,9.01 06/05/13 AMERIGO ENERGY, INC. DE 8.01,9.01 06/10/13 Amincor, Inc. NV 5.02 06/11/13 AMTECH SYSTEMS INC AZ 5.02 06/05/13 Approach Resources Inc DE 1.01,2.03,9.01 06/06/13 Argo Group International Holdings, Lt 7.01,9.01 06/11/13 ARI NETWORK SERVICES INC /WI WI 2.02,5.02,8.01,9.01 06/05/13 Armada Oil, Inc. NV 7.01,8.01,9.01 06/11/13 ARRIS GROUP INC DE 5.07 06/05/13 ASSURED GUARANTY LTD D0 8.01,9.01 06/11/13 Atlantic Coast Financial CORP MD 5.07,8.01,9.01 06/11/13 AUXILIUM PHARMACEUTICALS INC DE 7.01,9.01 06/11/13 AZZ INC TX 9.01 04/02/13 AMEND B&G Foods, Inc. DE 1.01,7.01,9.01 06/07/13 BALL CORP IN 8.01 06/07/13 BAXTER INTERNATIONAL INC DE 8.01,9.01 06/11/13 Bazaarvoice Inc DE 5.02 06/07/13 BB&T CORP NC 7.01,9.01 06/11/13 BEAM INC DE 2.03,8.01,9.01 06/10/13 BIG 5 SPORTING GOODS CORP DE 5.07 06/06/13 BIMINI CAPITAL MANAGEMENT, INC. MD 5.07 06/11/13 BLUE WATER VENTURES INTERNATIONAL INC NV 7.01,9.01 06/11/13 BlueLinx Holdings Inc. DE 5.02,9.01 06/05/13 Bristow Group Inc DE 5.02,9.01 06/06/13 BROOKS AUTOMATION INC DE 5.02,9.01 06/05/13 CABELAS INC DE 5.02,5.07,9.01 06/05/13 CANCER GENETICS, INC 5.02 06/05/13 Capital Bank Financial Corp. DE 7.01,9.01 06/11/13 Cardinal Energy Group, Inc. NV 5.02 05/23/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,1.03,3.02, 06/05/13 3.03,5.01,5.02,5.03,9.01 Chaparral Energy, Inc. DE 8.01 06/11/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 06/11/13 Chatham Lodging Trust MD 7.01,8.01,9.01 05/17/13 Chelsea Therapeutics International, L DE 5.07,9.01 06/11/13 Circle Entertainment, Inc. DE 1.01,9.01 06/11/13 COCA-COLA ENTERPRISES, INC. DE 8.01 06/10/13 CONSTELLATION BRANDS, INC. DE 1.01,2.01, 06/07/13 2.03,7.01,9.01 Converted Organics Inc. DE 8.01,9.01 06/10/13 CYTOMEDIX INC DE 1.01,9.01 06/07/13 DATALINK CORP MN 5.02 06/06/13 DICKS SPORTING GOODS INC DE 5.07 06/05/13 DIODES INC /DEL/ DE 7.01,9.01 06/10/13 DISCOVERY LABORATORIES INC /DE/ DE 5.03,5.07,9.01 06/11/13 Diversified Restaurant Holdings, Inc. NV 5.02,5.07,9.01 06/06/13 DOLE FOOD CO INC DE 8.01,9.01 06/11/13 DS HEALTHCARE GROUP, INC. FL 9.01 11/01/12 AMEND DSP GROUP INC /DE/ DE 8.01,9.01 06/10/13 EASTERN VIRGINIA BANKSHARES INC VA 8.01,9.01 06/11/13 Ecologic Transportation, Inc. 4.01,9.01 05/23/13 El Paso Pipeline Partners, L.P. DE 7.01 06/11/13 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 5.07 06/07/13 ELEPHANT TALK COMMUNICATIONS CORP DE 1.01,9.01 06/11/13 Energy Services of America CORP DE 1.01,9.01 06/05/13 EnerJex Resources, Inc. NV 5.02,5.07,9.01 06/06/13 Enphase Energy, Inc. DE 5.02 06/07/13 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 4.01,9.01 06/11/13 EQUINIX INC DE 5.03,5.07,9.01 06/05/13 ETHAN ALLEN INTERIORS INC DE 5.02 06/10/13 EWaste Systems, Inc. NV 7.01 06/10/13 EXELON CORP PA 2.06 06/05/13 Express Scripts Holding Co. DE 7.01 06/10/13 EXPRESS, INC. 5.03,5.07,9.01 06/06/13 Fairway Group Holdings Corp DE 7.01,9.01 06/11/13 Federal Home Loan Bank of Atlanta X1 2.03 06/05/13 Federal Home Loan Bank of Boston X1 2.03 06/05/13 Federal Home Loan Bank of Chicago X1 2.03 06/06/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 06/06/13 Federal Home Loan Bank of Dallas 2.03,9.01 06/05/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 06/11/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/11/13 Federal Home Loan Bank of New York X1 2.03,9.01 06/05/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 06/05/13 Federal Home Loan Bank of San Francis X1 2.03 06/05/13 Federal Home Loan Bank of Seattle 2.03 06/05/13 Federal Home Loan Bank of Topeka 2.03,9.01 06/06/13 FIFTH THIRD BANCORP OH 8.01,9.01 06/11/13 FIRST INDEPENDENCE CORP. FL 1.01,9.01 06/05/13 FIRST M&F CORP/MS MS 8.01 06/11/13 FIRST SOLAR, INC. DE 7.01 06/11/13 FLOTEK INDUSTRIES INC/CN/ DE 9.01 05/10/13 AMEND FLUIDIGM CORP DE 5.07 06/06/13 FMC CORP DE 2.02,9.01 06/04/13 AMEND FOREST LABORATORIES INC DE 5.02,9.01 06/10/13 FREQUENCY ELECTRONICS INC DE 1.01,2.03,9.01 06/06/13 Fuel Systems Solutions, Inc. 5.07 06/11/13 GENCORP INC OH 5.02 06/05/13 GENERAL MILLS INC DE 2.02,9.01 06/10/13 General Motors Co 5.07 06/06/13 General Motors Co 1.01,9.01 06/06/13 GENESCO INC TN 7.01 06/11/13 GenMark Diagnostics, Inc. DE 7.01 06/11/13 GENSPERA INC DE 8.01,9.01 06/06/13 GeoVax Labs, Inc. DE 5.07 06/10/13 Google Inc. DE 5.07 06/06/13 GRANITE CONSTRUCTION INC DE 5.07 06/06/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 06/07/13 Gray Fox Petroleum Corp. NV 1.01,5.03, 06/07/13 5.07,8.01,9.01 GREEN HYGIENICS HOLDINGS INC. NV 4.02 06/10/13 GREENLITE VENTURES INC NV 7.01,9.01 06/10/13 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 06/06/13 HANCOCK FABRICS INC DE 2.02,9.01 06/11/13 HARTE HANKS INC DE 5.02,7.01,9.01 06/07/13 HARVEST NATURAL RESOURCES, INC. DE 2.02,9.01 06/05/13 HEALTH NET INC DE 7.01 06/11/13 HEALTHSOUTH CORP DE 1.01 06/11/13 HEARTLAND EXPRESS INC NV 2.02,9.01 06/10/13 Hi-Crush Partners LP de 7.01,9.01 06/11/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 06/11/13 HOSPITALITY PROPERTIES TRUST MD 3.03,8.01,9.01 06/10/13 ICF International, Inc. DE 5.07 06/07/13 ICONIX BRAND GROUP, INC. DE 8.01,9.01 06/11/13 IHS Inc. DE 7.01,9.01 06/11/13 Inland Diversified Real Estate Trust, MD 7.01,9.01 06/11/13 INTERLINE BRANDS, INC./DE DE 5.02,9.01 06/10/13 Invesco Ltd. D0 7.01,9.01 06/11/13 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 06/11/13 JETBLUE AIRWAYS CORP DE 7.01,9.01 06/11/13 KAPSTONE PAPER & PACKAGING CORP DE 1.01,7.01,8.01,9.01 06/10/13 KAR Auction Services, Inc. DE 1.01,9.01 06/05/13 KEATING CAPITAL INC 5.02 06/10/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 06/11/13 KINDER MORGAN MANAGEMENT LLC DE 7.01 06/11/13 KINDER MORGAN, INC. DE 7.01 06/11/13 KINGOLD JEWELRY, INC. DE 5.07 06/06/13 KINGSWAY FINANCIAL SERVICES INC A6 3.01,9.01 06/07/13 Kosmos Energy Ltd. D0 1.01,9.01 06/09/13 Landmark Apartment Trust of America, 5.07,9.01 06/05/13 LEAP WIRELESS INTERNATIONAL INC DE 5.02,5.07 06/06/13 Lehigh Gas Partners LP DE 5.02 06/07/13 Life Care Medical Devices Ltd NV 8.01,9.01 06/11/13 Lion Lam Diamond Inc 5.02 06/11/13 LITHIA MOTORS INC OR 7.01,9.01 06/10/13 LRI HOLDINGS, INC. 2.02,9.01 06/11/13 Mandalay Digital Group, Inc. DE 8.01,9.01 06/06/13 MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02,9.01 06/06/13 MATTRESS FIRM HOLDING CORP. DE 4.01,9.01 06/06/13 McEwen Mining Inc. CO 7.01,9.01 06/10/13 MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 06/11/13 MEDICAL ACTION INDUSTRIES INC DE 2.02,9.01 06/11/13 MEI Pharma, Inc. DE 5.02,9.01 06/07/13 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 06/03/13 Nano Mask, Inc. NV 5.02,8.01 06/05/13 Naprodis, Inc. NV 4.01,9.01 05/31/13 NATHANS FAMOUS INC DE 1.01,3.03,9.01 06/05/13 National American University Holdings DE 7.01,9.01 06/11/13 National CineMedia, Inc. DE 3.02,9.01 06/07/13 NATIONAL FINANCIAL PARTNERS CORP 8.01 06/07/13 NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 06/11/13 Nationstar Mortgage Holdings Inc. DE 1.01,1.02,2.03,9.01 06/07/13 NATUREWELL INC CA 1.01,2.01,3.02, 12/31/12 AMEND 5.01,5.02,5.03,5.06,9.01 NATUS MEDICAL INC DE 5.07 06/07/13 NCI, Inc. DE 5.02,9.01 06/05/13 Neenah Paper Inc DE 1.01,8.01,9.01 06/07/13 Neptune Acquisition Corp. DE 1.01,5.01,5.02,9.01 06/11/13 NETLIST INC DE 5.07 06/10/13 NEWS CORP 5.07,9.01 06/11/13 NN INC DE 8.01,9.01 06/11/13 NORTHRIDGE VENTURES INC. 5.01,5.02 06/05/13 NTN BUZZTIME INC DE 5.03,5.07,9.01 06/07/13 NTS REALTY HOLDINGS LP DE 8.01,9.01 06/11/13 NuStar Energy L.P. DE 1.01,1.02,2.03,9.01 06/05/13 ODYSSEY MARINE EXPLORATION INC NV 5.07 06/05/13 OFFICE DEPOT INC DE 8.01,9.01 06/11/13 OIL DRI CORP OF AMERICA DE 8.01,9.01 06/11/13 OLD LINE BANCSHARES INC MD 7.01,9.01 06/11/13 ONEOK INC /NEW/ OK 2.05,7.01,9.01 06/10/13 OSL HOLDINGS INC. 1.01,2.03, 03/28/13 3.02,4.01,9.01 OXFORD INDUSTRIES INC GA 2.02,9.01 06/11/13 PACIFIC MERCANTILE BANCORP CA 5.07 06/05/13 Pandora Media, Inc. DE 7.01 06/11/13 PASSPORT POTASH INC A1 7.01,9.01 06/11/13 PBF Energy Inc. DE 3.02,8.01,9.01 06/06/13 PDC ENERGY, INC. NV 5.02,5.07 06/06/13 PDL BIOPHARMA, INC. DE 8.01,9.01 06/07/13 PDL BIOPHARMA, INC. DE 7.01,9.01 06/11/13 PDL BIOPHARMA, INC. DE 7.01,9.01 06/11/13 PETSMART INC DE 5.02,9.01 06/10/13 PLANAR SYSTEMS INC OR 5.07 04/25/13 AMEND Polypore International, Inc. 7.01,9.01 06/11/13 Power of The Dream Ventures Inc DE 5.02 05/31/13 POWIN CORP 8.01 06/11/13 PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 06/11/13 PROSPECT GLOBAL RESOURCES INC. NV 8.01,9.01 06/11/13 PROVIDENCE SERVICE CORP DE 5.07 06/06/13 PRUDENTIAL FINANCIAL INC NJ 5.02,8.01,9.01 06/11/13 QUESTCOR PHARMACEUTICALS INC CA 5.02,9.01 06/08/13 QUESTCOR PHARMACEUTICALS INC CA 1.01,2.03,8.01 06/11/13 RADIENT PHARMACEUTICALS Corp DE 1.01,5.02,8.01,9.01 06/11/13 RadNet, Inc. DE 5.07 06/06/13 RCS Capital Corp DE 8.01,9.01 06/11/13 RealD Inc. DE 5.02,9.01 06/05/13 REDWOOD TRUST INC MD 5.02,9.01 06/06/13 REGENCY CENTERS CORP FL 5.03,9.01 06/05/13 Regency Energy Partners LP DE 7.01,9.01 06/11/13 RENASANT CORP MS 8.01 06/11/13 REPUBLIC AIRWAYS HOLDINGS INC DE 5.02,7.01,9.01 06/10/13 Resource Capital Corp. MD 5.07 06/06/13 REXAHN PHARMACEUTICALS, INC. DE 5.02,5.07,9.01 06/10/13 RICKS CABARET INTERNATIONAL INC TX 1.01 05/21/13 Rolling Technologies, Inc. NV 5.01,5.02,9.01 06/11/13 ROSETTA STONE INC 8.01,9.01 06/11/13 Rouse Properties, Inc. DE 9.01 06/11/13 ROYAL HAWAIIAN ORCHARDS, L.P. DE 5.02,9.01 06/05/13 RUBY TUESDAY INC GA 5.02,9.01 06/07/13 rue21, inc. DE 5.07,8.01 06/07/13 SALESFORCE COM INC DE 5.02,5.03,5.07,9.01 06/06/13 SANUWAVE Health, Inc. NV 1.01,2.03,9.01 06/06/13 SAUER ENERGY, INC. NV 8.01,9.01 06/05/13 Selway Capital Acquisition Corp. DE 2.01,9.01 04/10/13 AMEND SemGroup Corp DE 1.01,8.01,9.01 06/07/13 SERVICE CORPORATION INTERNATIONAL TX 8.01,9.01 06/10/13 ServiceNow, Inc. CA 5.07 06/06/13 SHILOH INDUSTRIES INC DE 1.01,2.03,9.01 06/04/13 SIMON WORLDWIDE INC DE 5.02 06/10/13 SMARTHEAT INC. NV 5.02,9.01 06/07/13 SOLARFLEX CORP DE 1.01,3.02,5.02,9.01 06/11/13 Solera National Bancorp, Inc. DE 8.01,9.01 06/07/13 SOUTH CAROLINA ELECTRIC & GAS CO SC 8.01,9.01 06/10/13 SPRINT NEXTEL CORP KS 1.01,8.01,9.01 06/10/13 SSI Investments II Ltd L2 2.02,9.01 06/11/13 STAGE STORES INC NV 8.01,9.01 06/11/13 Starburst II, Inc. DE 1.01,8.01,9.01 06/10/13 STATE STREET CORP MA 7.01,9.01 06/11/13 STEWART ENTERPRISES INC LA 7.01,9.01 06/10/13 STONEMOR PARTNERS LP DE 1.02 06/11/13 STRATEGIC DIAGNOSTICS INC/DE/ DE 4.02 06/06/13 SUNESIS PHARMACEUTICALS INC DE 1.01,1.02, 06/06/13 5.02,5.07,8.01,9.01 SUNTRUST BANKS INC GA 7.01,9.01 06/11/13 SUPERIOR ENERGY SERVICES INC DE 5.02,5.03, 06/06/13 5.05,5.07,8.01,9.01 SYMMETRICOM INC DE 3.01 06/05/13 T3 Motion, Inc. DE 3.02,8.01 06/11/13 Tamir Biotechnology, Inc. DE 7.01 05/22/13 TESSERA TECHNOLOGIES INC DE 5.07 06/07/13 TransDigm Group INC DE 1.01,2.03,9.01 06/05/13 U.S. SILICA HOLDINGS, INC. DE 1.01,9.01 06/05/13 Ulta Salon, Cosmetics & Fragrance, In DE 5.07,8.01 06/06/13 Ulta Salon, Cosmetics & Fragrance, In DE 2.02,9.01 06/11/13 UNIVERSAL HOSPITAL SERVICES INC MN 8.01 06/11/13 V F CORP PA 7.01,9.01 06/11/13 Vanity Events Holding, Inc. DE 1.01,9.01 06/07/13 Vocus, Inc. DE 5.07,8.01,9.01 06/07/13 VRDT Corp DE 1.01,7.01,9.01 06/06/13 WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.03,9.01 06/06/13 WARREN RESOURCES INC MD 7.01,9.01 06/10/13 WELLPOINT, INC IN 7.01 06/11/13 WMI HOLDINGS CORP. WA 5.07 06/05/13 YELP INC 5.02,5.07,9.01 06/05/13 Your Event, Inc. NV 1.01,5.06,9.01 06/04/13 YUM BRANDS INC NC 2.02 06/11/13 Zoetis Inc. 5.02 06/05/13