U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission


Issue 2013-139
July 22, 2013


Delinquent Filers' Stock Registrations Revoked

The registrations of the registered securities of Greater Lenora Resources Corp. (n/k/a Mistango River Resources, Inc.), Greenstone Resources, Ltd., GST Telecommunications, Inc., GT Group Telecom, Inc., Gulf International Minerals Ltd., Powernova Technologies Corp., 20/20 Wireless, Inc., and 360Networks, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-70013)

In the Matter of Advanced ID Corp.

An Administrative Law Judge issued an Order Making Findings and Revoking Registration of Electronic Kourseware International, Inc., by Default (Default Order) in Advanced ID Corp., Admin. Proc. File No. 3-15202. The Default Order finds that the public company had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 and it was necessary and appropriate for the protection of investors to revoke the registration of each class of its registered securities because it failed to file required periodic reports with the Commission. (Rel. 34-70012)

Former Bristol-Myers Executive Agrees to Settle Insider Trading Charges

The Commission announced today that the Honorable Susan D. Wigenton of the United States District Court for the District of New Jersey entered a judgment approving a $324,777 settlement between the Commission and Robert D. Ramnarine, a former executive at Bristol-Myers Squibb Co., in a case that arose from allegations of insider trading in the securities of three companies that Bristol had targeted for acquisitions between 2010 and 2012.

In its action against Ramnarine, SEC v. Robert D. Ramnarine, 2:12-cv-04837 (D.N.J.), filed on August 2, 2012, the Commission alleged that Ramnarine, a former executive in Bristol's treasury department, misappropriated material nonpublic information relating to Bristol's involvement in evaluating possible acquisitions of ZymoGenetics, Inc., Pharmasset, Inc. and Amylin Pharmaceuticals, Inc. and then traded in stock options of these potential target companies' securities in personal brokerage accounts. Prior to buying Pharmasset call options, the Commission alleged that Ramnarine sought to conceal his unlawful conduct by conducting internet research, using his Bristol computer, to determine whether his option trading would be detected by regulators. In particular, the Commission alleged that Ramnarine ran internet searches using Bristol's computer network for phrases including "can stock option be traced to purchaser," "how to detect can stock option be traced to purchase inside trading," and "illegal insider trading options trace." According to the Commission's complaint, Ramnarine realized ill-gotten gains of at least $311,361 by trading stock options of ZymoGenetics, Pharmasset and Amylin in advance of announcements that those companies would be acquired.

The judgment entered in the Commission's action permanently enjoins Ramnarine from violating Section 17(a) of the Securities Act of 1933 and Sections 10(b) and (14)(e) of the Securities Exchange Act of 1934, and Rules 10b-5 and 14e-3 thereunder, and permanently enjoins Ramnarine from acting as an officer or director of any issuer that has any class of securities registered pursuant to Section 12 of the Exchange Act. The judgment also requires Ramnarine to disgorge $311,361, plus prejudgment interest of $13,061, and requires that funds in a brokerage account controlled by Ramnarine that were frozen by previous order of the Court be transferred to the Commission. Pursuant to the judgment, the Commission may later move the Court to impose a civil penalty against Ramnarine.     

The U.S. Attorney's Office for the District of New Jersey filed a parallel criminal action against Ramnarine on August 1, 2012 based on the same facts, U.S. v. Ramnarine, 3:13-cr-00387 (D.N.J.), and on June 10, 2013, Ramnarine pleaded guilty to securities fraud before the Honorable Anne E. Thompson of the United States District Court for the District of New Jersey. Sentencing is scheduled for September 26, 2013.

The Commission acknowledges the assistance of the U.S. Attorney's Office for the District of New Jersey, the Federal Bureau of Investigation, and the Options Regulatory Surveillance Authority.

The Commission's investigation was conducted by Market Abuse Unit staff Paul T. Chryssikos, Senior Counsel, and John S. Rymas, Investigator, in the Philadelphia Regional Office. Daniel M. Hawke, Chief of the Market Abuse Unit, supervised the investigation. Regional Trial Counsel, G. Jeffrey Boujoukos and Senior Trial Counsel, John V. Donnelly, handled the litigation. (LR-22754)

Commission Files Fraud Charges against China Intelligent Lighting and Electronics, Inc.; NIVS IntelliMedia Technology Group, Inc.; and their Sibling CEOs

The Commission today announced that the Commission filed fraud and other related charges against China Intelligent Lighting and Electronics, Inc. (CIL); NIVS IntelliMedia Technology Group, Inc. (NIV); and their respective CEOs, Xuemei Li and, her brother, Tianfu Li. CIL reports that it is a lighting company, and NIV reports that it is a consumer electronic company. Both are located in China.

The Commission alleges that CIL, NIV, and their CEOs engaged in fraudulent schemes to raise and divert offering proceeds, and then attempted to hide the diversions by lying to auditors and making false and materially misleading filings with the Commission. CIL and NIV are U.S. issuers that raised approximately $7.7 million and $21.5 million, respectively, in public registered offerings in the U.S. capital markets in 2010. Thereafter, Xuemei Li, and Tianfu Li diverted those offering proceeds from CIL and NIV contrary to the stated uses of proceeds set forth in the offering documents. Specifically, on June 24, 2010, $7.7 million in offering proceeds was deposited into CIL's Hong Kong bank account. The next day, Xuemei Li transferred approximately $6.8 million, or almost 90%, to a company that has no disclosed relation to CIL, but continued to tell CIL's auditor that the funds remained in the account. Similarly, on April 26, 2010, $21.5 million in offering proceeds was deposited in NIV's Hong Kong bank account. Even though almost all of the money was transferred out of the Hong Kong bank account by May 5, 2010, NIV and Tianfu Li told the company's auditor that the funds continued to be held in the account.  

In addition to lying to auditors to mask the diversions, CIL, NIV, and their respective CEOs also falsified bank and accounting records to reflect inflated cash balances, and filed false and misleading quarterly reports on Forms 10-Q with the SEC that contained inflated cash balances. In addition, the defendants filed registration statements signed by the Lis that misled investors about how the offering proceeds would be used.

In its complaint, the Commission alleges that the Defendants violated the antifraud provisions of the securities laws, Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5. The Commission further alleges that Xuemei Li and Tianfu Li lied to the auditors and aided and abetted the companies' violations of the reporting, recordkeeping, and internal controls provisions of the securities laws, including Sections 13(a), 13(b)(2)(A), 13(b)(2) (B), and 13(b)(5) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, 13a-13, 13a-14, 13b2-1, and 13b2-2. The Commission seeks permanent injunctive relief to prevent future violations of the federal securities laws, disgorgement of ill-gotten gains with prejudgment interest, civil penalties, officer and director bars, and any other appropriate relief. (LR-22755)

Commission Orders Hearing on Registration Suspension or Revocation against China Intelligent Lighting and Electronics, Inc. and NIVS IntelliMedia Technology Group, Inc. for Failure to Make Required Periodic Filings

The Commission today instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of China Intelligent Lighting and Electronics, Inc. (CIL) and NIVS IntelliMedia Technology Group, Inc. (NIV). In the Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order), the Division of Enforcement (Division) alleges that CIL and NIV are delinquent in their required periodic filings with the Commission.

In this proceeding, a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division, CIL and NIV 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 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 CIL or NIV 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. 34-70017)

Commission Approves a Plan of Distribution for the Centaur Management Co. LLC Matter

The Commission announced today that it has approved, as written, a Plan of Distribution (the "Plan") for the Centaur Management Co. LLC matter pursuant to Rule 1104 of the Commission's Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1104. The Plan will distribute a Commission ordered Fair Fund to Class A and Class B Limited Partners of the Argent Classic Convertible Arbitrage Fund L.P. ("Argent Classic"), which was managed by Centaur Management Co. LLC ("Centaur"). According to the Commission's July 17, 2012, Order Instituting Administrative and Cease-and-Desist Proceedings pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, Centaur took interest-free loans from its client, Argent Classic, from January 1, 2006, through April 2, 2009, without disclosing the practice to Argent Classic's limited partners (Advisers Act Rel. No. 3432 (July 17, 2012)).

The Plan calls for a distribution of the Commission ordered Fair Fund that is comprised of $172,438 in disgorgement, prejudgment interest of $41,884, and a civil money penalty of $150,000, for a total of $364,322, minus any federal, state, or local taxes and distribution fees and expenses. The Fair Fund will not be distributed pursuant to a claims-made process.

The Commission appointed Gilardi and Co. LLC ("Gilardi"), 3301 Kerner Boulevard San Rafael, CA 94901, as the fund administrator for the distribution of the Fair Fund (Securities Act Rel. No. 69150 (March 15, 2013)). Gilardi will create a website and establish and staff a call center to address investor inquiries. Gilardi will take reasonable steps to calculate distribution amounts, resolve disputes, and distribute the Fair Fund pursuant to a Commission order to disburse.

On May 17, 2013, the Commission issued a Notice of Proposed Plan of Distribution and Opportunity for Comment (the "Notice") pursuant to Rule 1103 of the Commission's Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103 (Exchange Act Rel. No. 69604 (May 17, 2013)). The Notice advised interested parties that they could obtain a copy of the proposed plan of distribution by printing a copy from the Commission's public website or by submitting a written request to Anik A. Shah, United States Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-5631. The Notice also advised that all persons desiring to comment on the Plan could submit their comments, in writing, no later than thirty (30) days from the date of the Notice: a) to the Office of the Secretary, United States Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090; b) by using the Commission's Internet comment form; or c) by sending an e-mail to rule-comments@sec.gov. The Commission received no comments on the Plan. (Rel. 34-70015)

Investment company orders

ING Investments, LLC, et al.

An order has been issued on an application filed by ING Investments, LLC, et al., exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order supersedes a prior order and permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30603)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to CBSX Rule 53.2 (SR- CBOE-2013-074) 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 July 22nd. (Rel. 34-70011)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-072) 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 July 22nd. (Rel. 34-70014)

Notice of Proposed Rule Change

The Financial Industry Regulatory Authority, Inc. has filed a proposed rule change (SR-FINRA-2013-029) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the dissemination of transactions in TRACE-eligible securities that are effected pursuant to Securities Act Rule 144A. Publication is expected in the Federal Register during the week of July 22nd. (Rel. 34-70009)

NYSE Arca, Inc. filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEArca-2013-70) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade shares of First Trust Inflation Managed Fund. Publication is expected in the Federal Register during the week of July 22nd. (Rel. 34-70008)

Notice of Filing and Immediate Effectiveness of the Nineteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Eleventh Charges Amendment to the Restated Consolidated Quotation Plan

Pursuant to Rule 608 under the Securities Exchange Act of 1934, the Participants of the Consolidated Tape Association Plan and Consolidated Quotation Plan filed a proposal to amend the Second Restatement of the CTA Plan and Restated CQ Plan (SR-CTA/CQ-2013-04) to simplify the Plans' existing market data fee schedules by compressing the current 14-tier Network A device rate schedule into just 4 tiers, by consolidating the Plans' eight fee schedules into one, and by realigning the Plans' charges more closely with the services the Plans provide, without materially changing the revenues the current fee schedules generate. Publication is expected in the Federal Register during the week of July 22nd.(Rel. 34-70010)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-8     ASML HOLDING NV, DE RUN 6501, DR VELDHOVEN, P7, 5504, 31402683000 - 
        200,000 ($17,438,000.00) Equity, (File 333-190023 - Jul. 19) (BR. 10A)

S-4     CONAGRA FOODS INC /DE/, ONE CONAGRA DR, OMAHA, NE, 68102, 4022404000 - 
        0 ($716,016,000.00) Debt, (File 333-190025 - Jul. 19) (BR. 04B)

        1770804336 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-190026 - Jul. 19) (BR. 06C)

        MEMPHIS, TN, 38138, 9016826600 - 0 ($2,143,176,222.00) Equity, 
        (File 333-190027 - Jul. 19) (BR. 08B)

        MEMPHIS, TN, 38138, 9016826600 - 0 ($172,714,810.80) Equity, 
        (File 333-190028 - Jul. 19) (BR. 08B)

N-2     Ironwood Multi-Strategy Fund LLC, ONE MARKET PL STEUART TWR STE2500, 
        SAN FRANCISCO, CA, 94105, 415-777-2400 - 0 ($1,000,000,000.00) Other, 
        (File 333-190034 - Jul. 19) (BR. 22)

        917-796-9926 - 70,712,385 ($2,538,569.81) Equity, (File 333-190035 - 
        Jul. 19) (BR. 02C)

        FL, 33301, 954-940-4900 - 0 ($112,818,692.40) Equity, 
        (File 333-190036 - Jul. 19) (BR. 07B)

        408-200-9200 - 0 ($3,270,000.00) Equity, (File 333-190037 - Jul. 19) 
        (BR. 10B)

        E14 5HP, 2124124000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-190038 - Jul. 19) (BR. 12A)

        94088-3453, 4087322400 - 16,500,000 ($71,940,000.00) Equity, 
        (File 333-190039 - Jul. 19) (BR. 10A)

S-3ASR  MANNKIND CORP, 28903 NORTH AVE PAINE, VALENCIA, CA, 91355, 6617755300 - 
        12,000,000 ($83,040,000.00) Equity, (File 333-190040 - Jul. 19) 
        (BR. 01B)

        OH, 44503-1203, 3307420500 - 0 ($69,119,478.40) Equity, 
        (File 333-190043 - Jul. 19) (BR. 07C)

        3037231277 - 0 ($2,300,000,000.00) Debt, (File 333-190044 - Jul. 19) 
        (BR. 11C)

        ATLANTA, GA, 30309, 404-446-2051 - 0 ($37,500,000.00) Other, 
        (File 333-190045 - Jul. 19) (BR. 03B)

S-4     Education Management LLC, 210 SIXTH AVENUE, PITTSBURGH, PA, 15222, 
        412-562-0900 - 0 ($203,044,423.00) Debt, (File 333-190046 - Jul. 19) 
        (BR. 11C)

        95973, 5308980300 - 1,000,000 ($22,680,000.00) Equity, 
        (File 333-190047 - Jul. 19) (BR. 07C)

        CA, 91361, 805-981-8655 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-190048 - Jul. 19) (BR. 08B)

S-8     PROFIRE ENERGY INC, 321 SOUTH 1250 WEST, #3, LINDON, UT, 84042, 
        801-433-2000 - 4,455,000 ($4,994,750.00) Equity, (File 333-190049 - 
        Jul. 19) (BR. 10B)

S-3     Real Goods Solar, Inc., 833 WEST SOUTH BOULDER ROAD, LOUISVILLE, CO, 
        80027, 303-222-3600 - 0 ($25,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-190050 - Jul. 19) (BR. 06B)

S-4     MEDIA GENERAL INC, 333 E FRANKLIN ST, RICHMOND, VA, 23219, 8046496000 - 
        30,555,483 ($325,110,339.12) Equity, (File 333-190051 - Jul. 19) 
        (BR. 11A)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

AARON'S INC                             GA       5.02                 07/15/13

ACELRX PHARMACEUTICALS INC              DE       8.01,9.01            07/18/13

ACME UNITED CORP                        CT       2.02,9.01            07/19/13

ACTUANT CORP                            WI       1.01,2.03            07/18/13

ADGS Advisory, Inc.                     DE       5.03,5.07,8.01,9.01  07/19/13

ADVANCED MICRO DEVICES INC              DE       5.02                 07/16/13

Advaxis, Inc.                           DE       5.02,7.01,9.01       07/16/13

Advaxis, Inc.                           DE       5.07                 06/14/13    AMEND

AIRWARE LABS CORP.                      DE       1.01,9.01            07/19/13

Alpha Natural Resources, Inc.           DE       1.04                 07/15/13

AMERELITE SOLUTIONS, INC.               NV       2.01,3.02,5.01,      07/15/13

AMERICAN ELECTRIC POWER CO INC          NY       1.02,2.03            07/17/13

AMERICAN GREETINGS CORP                 OH       5.04,9.01            07/19/13

AMERICAN GREETINGS CORP                 OH       8.01                 07/16/13

AMERISERV FINANCIAL INC /PA/            PA       8.01                 07/19/13

Ampio Pharmaceuticals, Inc.             DE       1.01,5.02,9.01       07/15/13

AmREIT, Inc.                            MD       1.01,9.01            07/16/13

ANDAIN, INC.                            NV       4.02                 06/10/13    AMEND

ANWORTH MORTGAGE ASSET CORP             MD       8.01,9.01            07/19/13

APACHE CORP                             DE       5.02,9.01            07/18/13

ARES CAPITAL CORP                       MD       1.01,2.03,3.02,9.01  07/15/13

ASTRONICS CORP                          NY       1.01,2.01,2.03,9.01  07/18/13

AUTHENTIDATE HOLDING CORP               DE       3.01                 07/18/13

AUTOLIV INC                             DE       1.01,2.02,2.03,  	 07/16/13

BAKER HUGHES INC                        DE       2.02,7.01,9.01       07/19/13

BANCFIRST CORP /OK/                     OK       2.02,9.01            07/18/13

Bank of Marin Bancorp                   CA       7.01                 07/19/13

Bank of Marin Bancorp                   CA       8.01                 07/19/13

Bank of New York Mellon CORP            DE       2.02,9.01            07/17/13

BCB BANCORP INC                         DC       8.01                 07/17/13

Behringer Harvard Opportunity REIT II   MD       7.01,9.01            07/19/13

Big Clix, Corp.                         FL       1.01                 07/15/13

Big Sky Productions, Inc.               NV       4.01                 06/17/13

BIODELIVERY SCIENCES INTERNATIONAL IN   DE       5.07                 07/18/13

BioScrip, Inc.                          DE       8.01,9.01            07/19/13

Blue Earth, Inc.                        NV       1.01,2.01,9.01       07/15/13

BMC SOFTWARE INC                        DE       8.01,9.01            07/18/13

BOISE CASCADE Co                        DE       1.01                 07/19/13

Bonanza Goldfield Corp.                 NV       1.01,2.03,3.02,	   10/01/12    AMEND

BOND LABORATORIES, INC.                 NV       5.07                 07/17/13

Business Development Corp of America    MD       1.01,9.01            07/18/13

Cape Bancorp, Inc.                      MD       8.01,9.01            07/19/13

Car Charging Group, Inc.                NV       5.02                 02/27/12    AMEND

Cardium Therapeutics, Inc.              DE       8.01,9.01            07/18/13

CEL SCI CORP                            CO       3.01,8.01            07/18/13

CENTRAL VALLEY COMMUNITY BANCORP        CA       5.02                 07/17/13

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            07/18/13

Cheniere Energy Partners, L.P.          DE       5.02                 07/17/13

China Health Industries Holdings, Inc            4.01,9.01            07/15/13

CHIPOTLE MEXICAN GRILL INC                       2.02,9.01            07/18/13

CHS INC                                 MN       3.03,9.01            07/18/13

CHS INC                                 MN       8.01,9.01            07/18/13

CION Investment Corp                    MD       2.02,5.02,9.01       07/19/13

Clear Channel Outdoor Holdings, Inc.    DE       8.01,9.01            07/19/13

CNL Growth Properties, Inc.             MD       8.01                 07/12/13

COCA COLA CO                            DE       5.02,9.01            07/18/13

COLONY BANKCORP INC                     GA       2.02,9.01            07/19/13

CombiMatrix Corp                        DE       1.01,9.01            07/16/13

COMMITTED CAPITAL ACQUISITION Corp      DE       8.01                 07/19/13

Compressco Partners, L.P.               DE       8.01,9.01            07/19/13

CONAGRA FOODS INC /DE/                  DE       8.01,9.01            07/19/13

CONAGRA FOODS INC /DE/                  DE       5.02                 07/15/13

Contango ORE, Inc.                      DE       8.01,9.01            07/16/13

CORPORATE OFFICE PROPERTIES TRUST       MD       1.01,2.03,9.01       07/16/13

Corporate Resource Services, Inc.       DE       8.01,9.01            07/19/13

Corporate Resource Services, Inc.       DE       9.01                 07/19/13    AMEND

CROSS TIMBERS ROYALTY TRUST             TX       2.02,9.01            07/19/13

CROSSTEX ENERGY INC                     DE       7.01,9.01            07/19/13

CROSSTEX ENERGY LP                      DE       7.01,9.01            07/19/13

CrowdGather, Inc.                       NV       1.01,3.02,9.01       07/16/13

DEGARO INNOVATIONS CORP.                NV       5.02                 07/16/13

ECO VENTURES GROUP, INC.                NV       3.03,5.03,9.01       07/15/13

EDISON INTERNATIONAL                    CA       1.01,2.03,9.01       07/18/13

Enduro Royalty Trust                    DE       2.02,9.01            07/19/13

EVOLUTION PETROLEUM CORP                NV       7.01                 07/19/13

EXAR CORP                               DE       3.01,9.01            07/15/13

Excel Trust, Inc.                       MD       8.01,9.01            07/19/13

EXIDE TECHNOLOGIES                      DE       5.02                 07/19/13

Federal Home Loan Bank of Indianapoli   X1       5.02,7.01,9.01       07/19/13

FEEL GOLF CO INC                        CA       1.01,9.01            07/19/13

FIRST CASH FINANCIAL SERVICES INC       DE       2.02,3.01,5.02,9.01  07/16/13

FIRST HORIZON NATIONAL CORP             TN       2.02,9.01            07/19/13

FIRST HORIZON NATIONAL CORP             TN       7.01,9.01            07/19/13

FIRST M&F CORP/MS                       MS       2.02,7.01,9.01       07/19/13

FIRST NIAGARA FINANCIAL GROUP INC       DE       7.01,9.01            07/18/13

FIRST NIAGARA FINANCIAL GROUP INC       DE       2.02,9.01            07/19/13

FIRST PACTRUST BANCORP INC              MD       5.02,5.07,9.01       07/16/13

FIRST REGIONAL BANCORP                  CA       8.01,9.01            07/15/13

FIRST SOLAR, INC.                       DE       1.01,9.01            07/15/13

FOREST CITY ENTERPRISES INC             OH       1.01,2.03,3.02,	   07/15/13

FORWARD AIR CORP                        TN       2.02,9.01            07/18/13    AMEND

FriendFinder Networks Inc.              NV       1.01,8.01,9.01       07/16/13

FRONTIER OILFIELD SERVICES INC          TX       5.02                 07/15/13

FS Investment CORP                      MD       5.07                 07/17/13

GameStop Corp.                          DE       4.01,9.01            07/17/13

Gas Natural Inc.                        OH       5.02                 07/15/13

GENERAC HOLDINGS INC.                   DE       5.02                 07/19/13

GENERAL ELECTRIC CAPITAL CORP           CT       8.01,9.01            07/19/13

GENERAL ELECTRIC CO                     NY       2.02,9.01            07/19/13

Genufood Energy Enzymes Corp.           NV       1.01,9.01            07/11/13

GLIMCHER REALTY TRUST                   MD       2.02,9.01            07/19/13

GLOBAL MOBILETECH, INC.                 NV       5.02                 07/15/13

Global Telecom & Technology, Inc.       DE       5.07                 06/13/13    AMEND

GNC HOLDINGS, INC.                      DE       8.01                 07/19/13

GOLDEN STAR RESOURCES LTD                        7.01,9.01            07/18/13

GOLDMAN SACHS GROUP INC                 DE       9.01                 07/19/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            06/30/13

Great American Group, Inc.              DE       1.01,2.03,9.01       07/15/13

GREEN 4 MEDIA, INC.                              8.01                 07/15/13

GREENE COUNTY BANCORP INC               DE       8.01,9.01            07/16/13

GTX INC /DE/                            DE       2.02,9.01            07/19/13

HALLIBURTON CO                          DE       5.03,9.01            07/18/13

HAMPSHIRE GROUP LTD                     DE       2.02,9.01            07/19/13

HARBINGER GROUP INC.                    DE       8.01                 07/18/13
HEALTH DISCOVERY CORP                   2Q       8.01                 07/19/13

HELIX ENERGY SOLUTIONS GROUP INC        MN       9.01                 07/19/13    AMEND

HF FINANCIAL CORP                       DE       5.02                 07/15/13

HOLOGIC INC                             DE       1.01,2.02,5.02,	   07/17/13

Honda Auto Receivables 2013-3 Owner T   DE       1.01,9.01            07/17/13

HONEYWELL INTERNATIONAL INC             DE       2.02,9.01            07/19/13

HORIZON BANCORP /IN/                    IN       2.02,9.01            07/18/13

HUB GROUP INC                           DE       2.02,9.01            06/30/13

HUGOTON ROYALTY TRUST                   TX       2.02,9.01            07/19/13

Hyatt Hotels Corp                       DE       8.01,9.01            07/15/13

IDENTIVE GROUP, INC.                    DE       2.02,9.01            07/19/13

Independent Bank Group, Inc.            TX       1.01,8.01,9.01       07/18/13

InfuSystem Holdings, Inc                DE       8.01,9.01            07/17/13

Ingen Technologies, Inc.                         8.01,9.01            07/19/13

Ingersoll-Rand plc                      L2       2.02,9.01            07/19/13

INLAND REAL ESTATE CORP                 MD       5.07                 07/15/13

International Stem Cell CORP            DE       1.01,9.01            07/19/13

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,9.01            07/19/13

INTERSIL CORP/DE                        DE       5.02,9.01            07/19/13

INTUIT INC                              DE       5.02                 07/16/13

JOE'S JEANS INC.                        DE       1.01,2.02,2.03,	   07/15/13

JPMORGAN CHASE & CO                     DE       5.02                 07/18/13

KANSAS CITY SOUTHERN                    DE       2.02,9.01            07/19/13

KCAP Financial, Inc.                    DE       8.01,9.01            07/19/13

KV PHARMACEUTICAL CO /DE/               DE       7.01,9.01            07/15/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       2.02                 07/19/13

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 07/19/13

Live Brands, Inc.                       DE       3.02,5.01,5.02       05/07/13

LOT78, INC.                             NV       1.01,2.01,3.02,5.01, 07/17/13    AMEND

LRAD Corp                               DE       5.07                 07/17/13

M I HOMES INC                           OH       1.01,1.02,2.03,9.01  07/18/13

MACK CALI REALTY CORP                   MD       1.01,9.01            07/17/13

Mallinckrodt plc                                 5.02                 07/18/13

ManpowerGroup Inc.                      WI       2.02,9.01            07/19/13

Marathon Patent Group, Inc.             NV       5.03,8.01,9.01       07/18/13

MARRIOTT INTERNATIONAL INC /MD/         DE       1.01,2.03,9.01       07/18/13

MATTHEWS INTERNATIONAL CORP             PA       2.02,9.01            07/18/13

MCDONALDS CORP                          DE       7.01,9.01            07/18/13

MERCHANTS BANCSHARES INC                DE       8.01,9.01            07/18/13

META GOLD, INC.                         NV       3.03,9.01            07/19/13

MetroCorp Bancshares, Inc.              TX       2.02,9.01            07/19/13

MICRON TECHNOLOGY INC                   DE       5.02,5.03,9.01       07/17/13

MILAGRO OIL & GAS, INC.                 DE       1.02                 07/10/13

MILLER HERMAN INC                       MI       5.02                 07/15/13

MIMEDX GROUP, INC.                      FL       8.01,9.01            07/15/13

Molecular Pharmacology (USA) Ltd.       NV       1.01,9.01            07/19/13

MOSAIC CO                                        2.02,9.01            07/16/13

MoSys, Inc.                             DE       2.02,9.01            07/19/13

MVB FINANCIAL CORP                      WV       5.02                 07/16/13

NANOVIRICIDES, INC.                     NV       7.01,9.01            07/19/13

NeoStem, Inc.                           DE       5.02,8.01,9.01       07/15/13

NETSOL TECHNOLOGIES INC                 NV       5.07                 07/19/13

NEW ENGLAND REALTY ASSOCIATES LIMITED   MA       1.01,2.01,9.01       07/15/13

New Enterprise Stone & Lime Co., Inc.   DE       1.01,5.02,9.01       07/17/13

NEWPORT CORP                            NV       1.01,1.02,2.03,	   07/18/13

NEWTEK BUSINESS SERVICES, INC.          NY       1.01,2.03,9.01       07/16/13

NUMBEER, INC.                           NV       2.01,9.01            07/18/13

OBJ Enterprises, Inc.                   FL       4.01,9.01            07/19/13

OCEANFIRST FINANCIAL CORP               DE       2.02,8.01,9.01       07/18/13

OCZ TECHNOLOGY GROUP INC                DE       3.01,9.01            07/19/13

PACIFIC MERCANTILE BANCORP              CA       5.07                 06/05/13    AMEND

Park Place Energy Corp.                 NV       1.01,3.02,9.01       07/12/13    AMEND

People's United Financial, Inc.         DE       2.02,7.01,9.01       07/18/13

PMC COMMERCIAL TRUST /TX                TX       3.01,8.01,9.01       07/17/13

POPE RESOURCES LTD PARTNERSHIP          DE       8.01,9.01            07/18/13

Propell Technologies Group, Inc.        DE       7.01,9.01            07/18/13

PROSPER MARKETPLACE INC                 DE       5.02,8.01            07/19/13

pSivida Corp.                           DE       1.01,7.01,9.01       07/18/13

PUB CRAWL HOLDINGS, INC.                NV       1.01                 07/19/13

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       5.02,9.01            07/15/13

QUESTAR GAS CO                          UT       2.03                 07/19/13

Rango Energy, Inc.                      NV       1.01,9.01            07/15/13

REPUBLIC AIRWAYS HOLDINGS INC           DE       1.01,2.03,9.01       07/15/13

RLI CORP                                IL       7.01,9.01            07/18/13

ROCKWELL COLLINS INC                    DE       2.02,7.01,9.01       07/19/13

RTI Biologics, Inc.                     DE       1.01,2.01,2.03,3.02, 07/15/13

RYDER SYSTEM INC                        FL       9.01                 07/19/13

SAN JUAN BASIN ROYALTY TRUST            TX       2.02,9.01            07/19/13

Sandgate Acquisition Corp               DE       5.03                 07/19/13

SCBT FINANCIAL CORP                     SC       8.01                 07/19/13

SCHLUMBERGER LTD /NV/                   P8       2.02,7.01,9.01       07/19/13

SearchCore, Inc.                        NV       1.01,3.02            07/15/13

Shire plc                                        8.01,9.01            07/19/13

SMITHFIELD FOODS INC                    VA       8.01,9.01            07/19/13

SOHU COM INC                            DE       8.01,9.01            07/19/13

SOLITARIO EXPLORATION & ROYALTY CORP.   CO       1.01,3.02,9.01       07/15/13

SPECTRUM PHARMACEUTICALS INC            DE       1.01,2.01,3.02,8.01,9.01          07/16/13

SpendSmart Payments Co                  CO       3.02                 07/15/13

Standard Drilling, Inc.                          1.01,2.01,3.02,4.01, 07/19/13    AMEND

Standard Financial Corp.                MD       2.02,8.01,9.01       07/18/13

STATE STREET CORP                       MA       2.02,9.01            07/19/13

STEEL DYNAMICS INC                      IN       2.02,9.01            07/17/13

STERLING BANCORP                        NY       8.01                 07/19/13

STREAMLINE HEALTH SOLUTIONS INC.        DE       8.01,9.01            07/19/13

STRUCTURED PRODUCTS CORP TIERS PRI PR   DE       8.01,9.01            07/15/13

SUNTRUST BANKS INC                      GA       2.02,7.01,9.01       07/19/13

Swingplane Ventures, Inc.               NV       9.01                 07/19/13    AMEND

SYNALLOY CORP                           DE       2.02,9.01            07/19/13

Tallgrass Energy Partners, LP           DE       7.01,9.01            07/18/13

Talon Therapeutics, Inc.                DE       1.01,1.02,2.01,3.02, 07/16/13

TELECOMMUNICATION SYSTEMS INC /FA/      MD       1.01,9.01            07/16/13

TENGION INC                             DE       5.07                 07/15/13

TEXAS INSTRUMENTS INC                   DE       5.02                 07/18/13

TIME WARNER INC.                        DE       9.01                 07/17/13

TOYOTA MOTOR CREDIT CORP                CA       7.01,9.01            07/19/13

TransCoastal Corp                       DE       4.01,9.01            07/15/13

Trident Brands Inc                      NV       8.01                 07/09/13

Trovagene, Inc.                         DE       5.07                 07/18/13

TRUE RELIGION APPAREL INC               DE       7.01                 07/19/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            07/19/13

Ubiquity Broadcasting Corp              NV       8.01,9.01            07/19/13

UPSTREAM BIOSCIENCES INC.               NV       1.01,5.03,9.01       07/19/13

USA Compression Partners, LP                     5.02,9.01            07/15/13

V F CORP                                PA       2.02,7.01,9.01       07/19/13

VEECO INSTRUMENTS INC                   DE       8.01,9.01            07/17/13

VERIFONE SYSTEMS, INC.                  DE       1.01,9.01            07/19/13

VIDABLE, INC.                           NV       4.01,9.01            07/08/13

VIVUS INC                               CA       1.01,9.01            07/18/13

Westinghouse Solar, Inc.                DE       1.02,5.02,8.01       07/15/13

Wheeler Real Estate Investment Trust,   MD       8.01,9.01            07/18/13

WHIRLPOOL CORP /DE/                     DE       2.02,9.01            07/19/13

WHITING PETROLEUM CORP                  DE       2.01,2.02,9.01       07/15/13

WINTRUST FINANCIAL CORP                 IL       3.02                 07/19/13

WISCONSIN ENERGY CORP                   WI       8.01                 07/18/13

XCEL ENERGY INC                         MN       8.01                 07/17/13


Modified: 07/24/2013