Jane Jarcho Named Head of Commission's Investment Adviser/Investment Company Examination Program
The Securities and Exchange Commission (Commission) today announced that Jane E. Jarcho has been named as the National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE). She will oversee a staff of approximately 450 lawyers, accountants, and examiners responsible for inspections of U.S.-registered investment advisers and investment companies.
Ms. Jarcho has been the Acting National Associate Director of the Investment Adviser/Investment Company (IA/IC) exam program since March. She joined the SEC in 1990 and previously served as the Associate Director of the IA/IC examination program in the SEC's Chicago regional office.
"Jane brings a wealth of experience that will help us to continue to strengthen our risk-based approach to the examination of investment advisers and investment companies," said OCIE Director Andrew Bowden.
Ms. Jarcho said, "I am honored and excited for the opportunity to work with the IA/IC examination staff in Washington, D.C. and throughout the country. I have worked alongside the IA/IC staff for several years and know they are a dedicated group of professionals who are committed to protecting investors by promoting compliance, informing policy, and detecting wrongdoing."
Ms. Jarcho began her SEC career in the Division of Enforcement and held several positions including Branch Chief, Senior Trial Counsel, and Assistant Regional Director before joining OCIE in 2008. She has a B.A. from Middlebury College and a law degree from the University of Wisconsin Law School.
OCIE conducts the SEC's national examination program for investment advisers and investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and credit rating agencies to fulfill its mission of promoting compliance, preventing fraud, monitoring risk, and informing SEC policy. (Press Rel. 2013-161)
Commission Charges Former Oppenheimer Private Equity Fund Manager with Misleading Investors about Valuation and Performance
The Commission today charged a former portfolio manager at Oppenheimer & Co. with misleading investors about the valuation and performance of a fund consisting of other private equity funds.
An SEC investigation found that Brian Williamson disseminated quarterly reports and marketing materials to prospective investors misstating that the valuation of the Oppenheimer fund's holdings was based on values received from the portfolio managers of those underlying funds. Williamson actually valued the fund's largest investment at a significant markup to the manager's estimated value. He also sent marketing materials reporting an internal rate of return that failed to deduct fees and expenses. As a result, the fund's reported performance as measured by its internal rate of return – a key indicator of the fund's performance – was significantly enhanced.
Earlier this year, Oppenheimer agreed to pay $2.8 million in a settlement of related charges.
"Investors deserve and the law requires honest disclosure about how their investments are valued," said Andrew J. Ceresney, Co-Director of the SEC's Division of Enforcement. "Williamson improperly lured investors to the private equity fund he managed by providing false and misleading information about the fund's performance."
According to the SEC's order instituting administrative proceedings against Williamson, he was an Oppenheimer employee from 2005 to 2011. Williamson marketed Oppenheimer Global Resource Private Equity Fund I, L.P. to pensions, foundations, endowments, and high net worth individuals and families. From September to October 2009, Williamson marketed the fund using materials that reported an internal rate of return that did not take into account any fees and expenses that the fund paid to underlying fund managers or the additional fees and expenses that the fund paid Oppenheimer. Furthermore, Williamson modified the Oppenheimer fund's marketing materials in October 2009 by increasing the reported value of the fund's largest investment – Cartesian Investors-A LLC – from $6 million to approximately $9 million. This increase was a significant markup to the underlying manager's estimated value. Nonetheless, the marketing materials falsely stated that underlying fund values were "based on the underlying manager's estimated values."
According to the SEC's order, Williamson made or approved additional material misrepresentations that created the misleading impression that the Oppenheimer fund's increased internal rate of return was due to increased performance or third party valuations. In fact, it was Williamson's revised valuation of Cartesian that resulted in a material increase in the Oppenheimer fund's reported performance. For example, for the quarter ended June 30, 2009, Williamson's markup of the Cartesian investment increased the reported internal rate of return from approximately 3.8 percent to 38.3 percent.
"Interim valuations are especially important when used to raise funds in the private equity industry," said Julie M. Riewe, Co-Chief of the SEC Division of Enforcement's Asset Management Unit. "Private fund managers must provide investors with accurate disclosures about valuation methodologies as well as fund fees and expenses so they can make fully informed investment choices."
The SEC's order alleges that Williamson, who lives in Newtown, Pa., willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8.
The SEC's investigation was conducted by Panayiota K. Bougiamas, Joshua M. Newville, and Igor Rozenblit of the Enforcement Division's Asset Management Unit along with Jack Kaufman and Lisa Knoop of the New York Regional Office. The case was supervised by Valerie A. Szczepanik. Mr. Kaufman, Mr. Newville and, Charu Chandrasekhar will lead the SEC's litigation. The SEC acknowledges the assistance of the Massachusetts Attorney General's office. (Press Rel. 2013-160)
Federal Court Permanently Enjoins Atlanta-area Registered Representative Blake Richards from Securities Fraud Violations
On August 20, 2013, the Honorable Julie E. Carnes of the United States District Court for the Northern District of Georgia entered an order of permanent injunction against Blake Richards of Buford, Georgia enjoining the defendant from further violations of the securities laws in connection with allegations that the registered representative misappropriated investor funds. Specifically, Richards is permanently enjoined from further violations of the antifraud provisions of the federal securities laws, Section 17(a) of the Securities Act of 1933 ("Securities Act"), Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 10b-5 thereunder, and Sections 206 (1) and Section 206 (2) of the Investment Advisers Act of 1940 ("Advisers Act"). The Order further provides that the issues of disgorgement and civil penalties will be resolved on motion of the Commission at a later date, and that in response to that motion, Richards is precluded from arguing that he did not violate the federal securities laws. Further, for purposes of that motion, the Order also provides that the allegations of the Complaint shall be accepted as and deemed true by the Court. Richards consented to the entry of the order of permanent injunction, without admitting or denying the allegations of the Commission's complaint.
The Commission's complaint alleged that, since at least 2008, Richards, a registered representative of a broker dealer, misappropriated approximately $2 million from at least seven investors. The majority of the misappropriated funds constituted retirement savings and/or life insurance proceeds from deceased spouses. The Commission further alleged that Richards instructed investors to write out checks to entities under his control with the understanding that Richards would invest their funds in fixed income assets, variable annuities and/or common stock, and that none of these investments were made as represented. None of the investments appeared on the client's brokerage account statements, and Richards received no commission income from these investments. The complaint further alleged that Richards siphoned off the funds entrusted to him for personal use. [SEC v. Blake B. Richards, Civil Action No. 1:13-cv-1729 (N.D. Ga.)] (LR- 22784)
Commission Orders Hearing on Registration Suspension or Revocation against Four Public Companies for Failure to Make Required Periodic Filings
Today, 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 four companies for failure to make required periodic filings with the Commission:
• G-Cats Acquisition Corp.
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. 34-70238)
First Georgia Community Corp.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Three Respondents (Default Order) in First Georgia Community Corp., Admin. Proc. File No. 3-15378. The Order Instituting Proceedings alleged that Respondents 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 as to FLO Corp., Florida Community Banks, Inc., and In Touch Media Group, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. First Georgia Community Corp. and NHS Health Solutions, Inc., remain in this proceeding. (Rel. 34-70233)
Investment company orders
Calamos Advisors LLC and Calamos ETF Trust
An order has been issued on an application filed by Calamos Advisors LLC and Calamos ETF Trust. 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-30653)
Ngam Advisors, L.P., et al.
An order has issued on an application filed by NGAM Advisors, L.P. et al. The order permits: (a) series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Unit Aggregations); (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; and (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 Unit Aggregations. (Rel. IC-30654)
Immediate Effectiveness of Proposed Rule Change
EDGX Exchange, Inc. filed a proposed rule change (File No. SR-EDGX-2013-32) under Section 19(b)(1) of the Securities Exchange Act of 1934 to eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization." Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70230)
EDGA Exchange, Inc. filed a proposed rule change (File No. SR-EDGA-2013-25) under Section 19(b)(1) of the Securities Exchange Act of 1934 to eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization." Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70231)
Notice of Proposed Rule Change
The Fixed Income Clearing Corporation ("FICC") filed a proposed rule change (File No. SR-FICC-2013-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 to shorten the grace period for members to reconcile notifications of settlement and to increase the late fee for members that fail to reconcile notifications of settlement in a timely manner. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70232)
Designation of Longer Period for Commission Action on a Proposed Rule Change
The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-NYSEMKT-2013-59) filed by NYSE MKT LLC amending Rule 965NY, which governs NDX and RUT Combination Orders. Publication is expected in the Federal Register during the week of August 19th. (Rel. 34-70235)
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-11 American Realty Capital Hospitality Trust, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, (212) 415-6500 - 0 ($2,499,999,987.00) Equity, (File 333-190698 - Aug. 19) (BR. 08) S-1 RE/MAX Holdings, Inc., 5075 SOUTH SYRACUSE STREET, DENVER, X1, 80237, (303)770-5531 - 0 ($100,000,000.00) Equity, (File 333-190699 - Aug. 19) (BR. 08) S-3ASR ZILLOW INC, 1301 SECOND AVENUE, FLOOR 31, SEATTLE, WA, 98101, 206-470-7000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190700 - Aug. 19) (BR. 03C) S-8 HORMEL FOODS CORP /DE/, 1 HORMEL PL, AUSTIN, MN, 55912-3680, (507) 437-5611 - 0 ($32,193,750.00) Equity, (File 333-190714 - Aug. 19) (BR. 05B) S-8 SAKS INC, 12 EAST 49TH STREET, NEW YORK, NY, 10017, (212) 940-5305 - 0 ($152,760,000.00) Equity, (File 333-190715 - Aug. 19) (BR. 02B) S-8 Norwegian Cruise Line Holdings Ltd., 7665 CORPORATE DRIVE, MIAMI, FL, 33126, 305-436-4000 - 5,761,291 ($183,209,054.00) Equity, (File 333-190716 - Aug. 19) (BR. 05B) F-3ASR Seaspan CORP, UNIT 2, 7TH FLOOR, BUPA CENTRE, 141 CONNAUGHT ROAD WEST, HONG KONG, F4, 00000, (852) 2540 1686 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190718 - Aug. 19) (BR. 05C) S-1 NETWORK 1 SECURITY SOLUTIONS INC, 445 PARK AVENUE, SUITE 1018, NEW YORK, NY, 10022, 2128295770 - 6,324,661 ($11,556,403.36) Equity, (File 333-190719 - Aug. 19) (BR. 03C) S-8 United Health Products, Inc., 120 WALL STREET, SUITE 2401, NEW YORK, NY, 10005, (646) 961-4459 - 15,000,000 ($1,650,000.00) Equity, (File 333-190720 - Aug. 19) (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 3PEA INTERNATIONAL, INC. NV 2.02,9.01 08/15/13 ACCESS MIDSTREAM PARTNERS LP DE 1.01,2.03,9.01 08/14/13 ALCOA INC PA 8.01,9.01 08/14/13 Alon Refining Krotz Springs, Inc. DE 8.01 08/16/13 Alon USA Energy, Inc. DE 8.01 08/16/13 AMERICAN SAFETY INSURANCE HOLDINGS LT 8.01,9.01 08/14/13 AMERICAN TOWER CORP /MA/ DE 1.01,2.03,9.01 08/19/13 AMERICANWEST BANCORPORATION WA 7.01,9.01 08/15/13 AMERICAS CARMART INC TX 2.02,9.01 08/19/13 ANNALY CAPITAL MANAGEMENT INC MD 5.02,9.01 08/14/13 ANV SECURITY GROUP INC. NV 5.02,9.01 07/19/13 ARCH COAL INC DE 8.01,9.01 08/19/13 ARGAN INC DE 8.01 08/12/13 ARK RESTAURANTS CORP NY 2.02,9.01 08/13/13 ASSOCIATED MATERIALS, LLC DE 9.01 08/19/13 BALLY TECHNOLOGIES, INC. NV 2.02,9.01 08/15/13 BioScrip, Inc. DE 1.01,9.01 08/13/13 BlueLinx Holdings Inc. DE 1.01,9.01 08/16/13 Bluerock Multifamily Growth REIT, Inc MD 1.01,2.03 08/13/13 BOB EVANS FARMS INC DE 2.02,9.01 08/19/13 BOSTON BEER CO INC MA 8.01 08/16/13 BOYD GAMING CORP NV 1.01,9.01 08/19/13 Business Development Corp of America MD 8.01,9.01 08/15/13 Caldera Pharmaceuticals Inc DE 5.02 08/14/13 CAMBIUM LEARNING GROUP, INC. 5.02,9.01 08/14/13 Carey Watermark Investors Inc 1.01,2.01,9.01 08/13/13 Casablanca Mining Ltd. NV 5.02,9.01 08/17/13 CECIL BANCORP INC MD 2.01,9.01 08/16/13 CHENIERE ENERGY INC DE 7.01,9.01 08/19/13 Cheniere Energy Partners, L.P. DE 7.01,9.01 08/19/13 ChinaNet Online Holdings, Inc. NV 8.01,9.01 08/19/13 CIL&D, LLC DE 1.01,1.03,8.01 08/12/13 CLOROX CO /DE/ DE 5.02,9.01 08/14/13 ClubCorp Club Operations, Inc. DE 5.02 08/15/13 COMMONWEALTH EDISON CO IL 1.01,2.03,9.01 08/19/13 COVANTA HOLDING CORP DE 7.01,9.01 08/19/13 CROWN CRAFTS INC DE 8.01 08/15/13 CULP INC NC 1.01 08/13/13 DARA BioSciences, Inc. DE 1.01,8.01,9.01 08/19/13 Delek Logistics Partners, LP DE 7.01,9.01 08/19/13 Delek US Holdings, Inc. 7.01,9.01 08/19/13 Deyu Agriculture Corp. NV 5.02 08/16/13 Diamondback Energy, Inc. DE 1.01,7.01,9.01 08/14/13 Digital Realty Trust, Inc. 2.03 08/15/13 Education Realty Trust, Inc. MD 7.01,9.01 08/19/13 Enterologics, Inc. NV 4.01,9.01 08/15/13 EQUUS TOTAL RETURN, INC. DE 8.01,9.01 08/14/13 ERBA Diagnostics, Inc. DE 2.02,7.01,9.01 08/19/13 ESSA Bancorp, Inc. PA 8.01,9.01 08/16/13 FAUQUIER BANKSHARES, INC. VA 8.01,9.01 08/16/13 Federal Home Loan Bank of Dallas 2.03,9.01 08/13/13 FEEL GOLF CO INC CA 1.01,9.01 08/14/13 FIRST NATIONAL CORP /VA/ VA 5.02,5.03,9.01 08/14/13 FIRST REGIONAL BANCORP CA 8.01,9.01 08/13/13 FLUSHING FINANCIAL CORP DE 8.01,9.01 08/19/13 Frank's International N.V. P7 1.01,2.01,2.03, 08/13/13 3.02,5.02,5.03,9.01 Fraternity Community Bancorp Inc 5.02,9.01 08/13/13 Fresh Healthy Vending International DE 1.01,5.02,5.03, 08/19/13 8.01,9.01 GASTAR EXPLORATION LTD 7.01,9.01 08/19/13 General Motors Financial Company, Inc TX 9.01 08/19/13 AMEND GENUINE PARTS CO GA 8.01,9.01 08/19/13 GOLF ROUNDS COM INC 1.01,9.01 08/19/13 GOODRICH PETROLEUM CORP DE 1.01,3.03,5.03,9.01 08/14/13 GREAT PLAINS ENERGY INC MO 1.01,2.03,9.01 08/16/13 GREENWAY MEDICAL TECHNOLOGIES INC 2.02,9.01 08/19/13 GTX INC /DE/ DE 8.01,9.01 08/19/13 HANGER, INC. DE 2.01,9.01 08/19/13 HARBINGER GROUP INC. DE 8.01 08/19/13 HARLAND CLARKE HOLDINGS CORP DE 1.01,2.01,5.02,9.01 08/16/13 HARMONIC INC DE 5.03,5.07 08/14/13 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 08/19/13 HealthWarehouse.com, Inc. DE 5.07 08/15/13 Heron Lake BioEnergy, LLC MN 7.01,9.01 08/16/13 INDEPENDENT BANK CORP /MI/ MI 8.01,9.01 08/19/13 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 08/15/13 ING U.S., Inc. DE 7.01 08/13/13 Inrad Optics, Inc. NJ 2.02,9.01 08/19/13 INSIGHT ENTERPRISES INC DE 5.02 08/18/13 Integrated Drilling Equipment Holding DE 5.02 08/16/13 INTERCLOUD SYSTEMS, INC. 7.01,9.01 08/19/13 INTERCLOUD SYSTEMS, INC. 2.02 08/05/13 AMEND INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,5.03,7.01,9.01 08/16/13 INTEVAC INC CA 5.02 08/14/13 IPC The Hospitalist Company, Inc. DE 8.01,9.01 08/19/13 IZEA, Inc. NV 2.02,9.01 08/15/13 JBI, INC. NV 1.01,8.01,9.01 08/14/13 JPMBB Commercial Mortgage Securities DE 8.01,9.01 08/19/13 Legal Life Plans, Inc. DE 5.02 08/16/13 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,9.01 08/16/13 LHC Group, Inc 5.02,9.01 08/19/13 LIME ENERGY CO. DE 2.02,9.01 08/19/13 Location Based Technologies, Inc. NV 2.03,9.01 08/19/13 LUBYS INC DE 1.01,1.02,2.03,9.01 08/13/13 MAGELLAN PETROLEUM CORP /DE/ DE 5.07 08/19/13 MAGELLAN PETROLEUM CORP /DE/ DE 3.03,5.03,9.01 08/19/13 MANNKIND CORP DE 2.02,9.01 08/14/13 ManpowerGroup Inc. WI 5.02,9.01 08/13/13 MARCHEX INC DE 7.01 08/19/13 MAXIM INTEGRATED PRODUCTS INC DE 1.01,9.01 08/19/13 MCCORMICK & CO INC MD 8.01,9.01 08/14/13 McEwen Mining Inc. CO 7.01,9.01 08/19/13 MEDCAREERS GROUP, Inc. NV 9.01 11/19/10 AMEND Media Mechanics, Inc. NV 1.01,5.01,5.02,9.01 08/13/13 MESA ROYALTY TRUST/TX TX 2.02,9.01 08/19/13 MICRON TECHNOLOGY INC DE 8.01 08/14/13 MICRONET ENERTEC TECHNOLOGIES, INC. DE 7.01,8.01,9.01 08/18/13 Millennial Media Inc. DE 1.01,3.02,9.01 08/13/13 ML BlueTrend FuturesAccess LLC DE 3.02 08/14/13 MOCON INC MN 3.01,9.01 08/15/13 Moody National REIT I, Inc. MD 5.07 08/13/13 MOPALS.COM, INC. DE 4.01,9.01 03/26/13 AMEND MRC GLOBAL INC. DE 5.02 08/16/13 MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 08/15/13 MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 08/15/13 NATURES SUNSHINE PRODUCTS INC UT 2.02,2.03,8.01,9.01 08/08/13 NEF Enterprises, Inc. NV 8.01 08/15/13 NeoStem, Inc. DE 5.02,8.01,9.01 08/19/13 NF Investment Corp. MD 3.02 08/19/13 Nielsen Holdings N.V. P7 1.01 08/14/13 North American Oil & Gas Corp. NV 1.01,9.01 08/16/13 NORTH BAY RESOURCES INC DE 3.02,9.01 08/13/13 NorthStar Healthcare Income, Inc. MD 1.01 08/16/13 NORTHWEST NATURAL GAS CO OR 8.01,9.01 08/19/13 NUCOR CORP DE 5.02 08/15/13 NuStar Energy L.P. DE 1.01,9.01 08/14/13 NV ENERGY, INC. NV 8.01,9.01 08/19/13 O REILLY AUTOMOTIVE INC 1.01,9.01 08/14/13 Ocera Therapeutics, Inc. DE 5.02 08/13/13 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 9.01 07/25/13 AMEND Onstream Media CORP FL 2.02,9.01 08/19/13 Opko Health, Inc. DE 8.01,9.01 08/19/13 ORTHOFIX INTERNATIONAL N V 1.01,3.01,7.01, 08/14/13 8.01,9.01 P2 Solar, Inc. DE 4.01,9.01 08/15/13 PENNYMAC FINANCIAL SERVICES, INC. DE 1.01,5.03,9.01 08/14/13 PennyMac Mortgage Investment Trust MD 8.01,9.01 08/13/13 PennyMac Mortgage Investment Trust MD 1.01,9.01 08/14/13 PEPSICO INC NC 7.01 08/19/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 08/13/13 PMC SIERRA INC DE 5.02 08/17/13 POLYONE CORP 5.02 08/13/13 Press Ventures, Inc. 1.01,5.02,5.03,9.01 08/13/13 PRIVATEBANCORP, INC DE 7.01,9.01 08/19/13 PROASSURANCE CORP DE 7.01,9.01 08/19/13 PROGAMING PLATFORMS CORP DE 1.01,9.01 08/15/13 QUALITY SYSTEMS, INC CA 5.07 08/15/13 Quanex Building Products CORP DE 8.01 08/17/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,9.01 08/19/13 RADIO ONE, INC. DE 4.02 08/19/13 RAVEN INDUSTRIES INC SD 2.02,9.01 08/19/13 Red Giant Entertainment, Inc. NV 1.01,3.02 08/19/13 RED MOUNTAIN RESOURCES, INC. FL 8.01,9.01 08/16/13 REINSURANCE GROUP OF AMERICA INC MO 9.01 08/19/13 RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 08/15/13 Retrophin, Inc. OK 7.01,9.01 08/16/13 REVLON CONSUMER PRODUCTS CORP DE 1.01,2.03,9.01 08/19/13 REVLON INC /DE/ DE 1.01,2.03,9.01 08/19/13 Riverbed Technology, Inc. DE 8.01,9.01 08/19/13 SAExploration Holdings, Inc. DE 2.02,2.03,5.07,9.01 08/13/13 SAKS INC TN 2.02,9.01 08/19/13 ScanSys, Inc. DE 1.01,2.01,3.03, 06/12/13 AMEND 5.01,5.02,5.03,5.06,9.01 SCHOOL SPECIALTY INC DE 5.02,8.01,9.01 08/19/13 Seaniemac International, Ltd. 8.01 08/16/13 SearchCore, Inc. NV 1.01,9.01 08/15/13 SEQUENOM INC DE 2.05 08/19/13 SMITH & WESSON HOLDING CORP NV 1.01,2.03,9.01 08/15/13 SMUCKER J M CO OH 5.07 08/14/13 SOLARCITY CORP DE 1.01,3.02,9.01 08/13/13 SOUPMAN, INC. DE 5.02 08/13/13 Spansion Inc. DE 8.01,9.01 08/19/13 Spansion Inc. DE 9.01 08/01/13 AMEND Staffing 360 Solutions, Inc. NY 1.01,8.01,9.01 08/14/13 Stereotaxis, Inc. DE 3.02 08/13/13 STRUCTURED PROD TIERS CORP BOND-BCKD DE 8.01,9.01 08/15/13 STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 08/15/13 Surge Global Energy, Inc. DE 5.01,8.01,9.01 08/19/13 TAYLOR CALVIN B BANKSHARES INC MD 5.02 08/14/13 TECHPRECISION CORP 2.02,9.01 08/19/13 Tianli Agritech, Inc. D8 7.01,9.01 08/14/13 TOMI Environmental Solutions, Inc. FL 8.01,9.01 08/19/13 Tower Group International, Ltd. D0 1.02,9.01 08/18/13 Towers Watson & Co. DE 5.02,5.03,9.01 08/16/13 TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 08/19/13 Transocean Ltd. V8 7.01 08/19/13 TRINITY INDUSTRIES INC DE 7.01,9.01 08/15/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/19/13 Twin Cities Power Holdings, LLC MN 1.01,9.01 07/30/13 ULURU INC. NV 8.01,9.01 08/15/13 Umami Sustainable Seafood Inc. NV 5.02,7.01,9.01 08/16/13 UNION PACIFIC CORP UT 8.01,9.01 08/19/13 UNITED FIRE GROUP INC 5.05,9.01 08/16/13 Universal Truckload Services, Inc. MI 1.01,8.01,9.01 08/16/13 URBAN AG. CORP 3.03,5.03,9.01 08/14/13 US-TH ENERGY SCIENCE & TECHNOLOGY INT CA 4.01,9.01 07/12/13 US-TIANXIA SOFTWARE TECHNOLOGY INT'L, CA 4.01,9.01 07/12/13 US-TQ BEVERAGE PRODUCTS INT'L, INC. 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