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U.S. Securities and Exchange Commission


Issue 2013-163
August 23, 2013


Commission Files Action against Investment Adviser to Enforce Compliance with Order to Pay Disgorgement of Misappropriated Investor Funds, Interest and Civil Penalties

The Commission announced that it filed an application in U.S. District Court for the Eastern District of New York against Anthony T. Vicidomine and North East Capital, LLC alleging that they violated an SEC Order requiring them to pay $346,132.04, consisting of $189,415 in disgorgement, $6,717.04 in prejudgment interest, and a $150,000 civil penalty. According to the application, Vicidomine and North East failed to make any payments by August 21, 2013, despite the SEC's Order and their consent to do so.

According to the SEC's August 16, 2013 order instituting a settled administrative proceeding, Vicidomine, the sole principal of North East Capital, LLC, an unregistered investment adviser, misappropriated $189,415 from the North East Capital Fund LP (the Fund), a pooled investment vehicle he managed, by charging the Fund unearned "incentive fees." Vicidomine disbursed the monies directly into his own personal account, to his other business ventures, and to North East to pay his personal expenses. Additionally, Vicidomine and North East made misrepresentations, both orally and in writing, concerning Vicidomine's own investment in the Fund and the policies and procedures Vicidomine and North East employed to minimize investors' risk of losses.

Based on the above, the SEC ordered Vicidomine and North East to cease and desist from committing or causing any violations and any future violations of Sections 5 and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Vicidomine and North East agreed to pay disgorgement of $189,415 plus prejudgment interest of $6,717.04 as well as a civil monetary penalty of $150,000 by August 21, 2013. They failed to make any payment.

The SEC's application seeks a district court order enforcing its August 16, 2013 Order requiring Vicidomine and North East to pay $346,132.04 in disgorgement, prejudgment interest and civil penalties. [SEC v. Anthony T. Vicidomine and North East Capital, LLC, 13-mc-683 (E.D.N.Y.)] (LR-22787)

In the Matter of Darlene A. Bishop

The Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against Darlene A. Bishop. In the Order, the Division of Enforcement alleged that, on August 1, 2013, a judgment was entered by consent against Bishop, permanently enjoining her from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 ("Securities Act") and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Geoffrey Lunn, et al., Civil Action Number 12-cv-02767, in the United States District Court for the District of Colorado.

The complaint filed in connection with the civil action alleged that between June 2010 and February 2011 Bishop marketed fraudulent securities offered by a fictitious business called Dresdner Financial directly to investors through emails, phone calls and other means. The complaint further alleged that Bishop sold fraudulent, unregistered securities to at least 21 investors for a total of at least $1,452,000 and was paid at least $253,000 from the investors' funds as a commission. The complaint also alleged that Bishop made numerous false statements to the investors regarding the securities and the reasons for which the investors had not received their promised returns and that Bishop never was registered as a broker or associated with a registered broker-dealer.

A hearing will be held by an Administrative Law Judge to determine whether the allegations in the Order are true, to provide the Respondent an opportunity to dispute the allegations and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue a final decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-70252)

Commission Declares Decision as To Ward Onsa, Final

The Commission has declared final the decision of an administrative law judge barring Ward Onsa from being associated with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The initial decision found that on December 15, 2011, Onsa pled guilty to one count of securities fraud. He was sentenced on July 26, 2012 to a prison term of seventy-eight months and ordered to pay $3,135,132.22 in restitution. United States v. Onsa, Case No. 10-cr-730 (E.D.N.Y.)

Onsa was found to have willfully violated Section 10(b) of the Securities Exchange Act and Exchange Act Rule 10b-5 when as a person associated with an investment adviser he operated a classic Ponzi scheme from approximately May 2004 until approximately November 18, 2011. Onsa made fraudulent and misleading representations and made untrue statements of material facts to his investors in order to further his scheme in connection with the purchase and sales of investments in the hedge fund that he managed. The law judge found that Onsa's conduct was egregious as demonstrated by his criminal conduct and the amount of restitution ordered, that his conduct was recurrent, and that he withheld material information from investors regarding the nature of his investments and their losses. (Rel. 34-70248)

Commission Declares Decision as To Guy W. Gane, Jr., Final

The initial decision of an administrative law judge with respect to Guy W. Gane, Jr., has become final. The initial decision barred Guy W. Gane, Jr., from associating with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in an offering of penny stock. The initial decision found that on December 9, 2010, Gane pled guilty in a federal district court to one count of mail fraud and one count of money laundering. He was sentenced to a prison term of 156 months and received three years of supervised release and ordered to make restitution of $6,394,359.37. United States v. Gane, Case No. 1:10-cr-90 (W.D.N.Y). On February 16, 2012, Gane was permanently enjoined from future violations of various provisions of the securities statutes he was found to have violated. in SEC v. Watermark Fin. Ser. Group, Inc., Civil Action No. 1:08-cv-361 (W.D.N.Y.) .

Since 1996, Gane was the president of an investment adviser that had affiliations with various registered broker-dealers. In 2006, Gane, along with several co-conspirators, operated a Ponzi scheme in connection with two financial firms that he owned. Gane made fraudulent misrepresentations to the investors regarding investment opportunities and promised them a guaranteed 10 percent annual return on unregistered debentures and promissory notes in the name of the two firms. The law judge found Gane's conduct was egregious and recurrent because it involved many fraudulent misrepresentations that spanned a number of years and resulted in illegal profits totaling approximately five to six million dollars. The law judge also found that Gane had a high degree of scienter as exhibited by the court's finding that "the undisputed facts demonstrate that [Gane and other] knowingly participated in the scheme to defraud the debenture and promissory note investors." (Rel. 34-70249)

Investment company orders

Equinox Funds Trust
Equinox Institutional Asset Management LP

A notice has been issued giving interested persons until September 18, 2013 to request a hearing on an application filed by Equinox Funds Trust and Equinox Institutional Asset Management LP for an order 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 would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. IC-30673)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-16) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding modifications to its OTC IRS clearing offering, including new fees and the addition of four new currencies and two new rate options. Publication is expected in the Federal Register during the week of August 26th, 2013. (Rel. 34-70247)

Approval of a Proposed Rule Change

The Commission approved the proposed rule change, as modified by Amendment No. 1, (SR-BATS-2013-038) submitted by BATS Exchange, Inc., pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to adopt listing standards for certain securities. Publication of the notice is expected to be made in the Federal Register during the week of August 26th. (Rel. 34-70250)

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-1     Borderless Holdings, Inc., 10045 RED RUN BOULEVARD, SUITE 140, 
        OWINGS MILLS, MD, 21117, 443-334-8840 - 2,000,000 ($600,000.00) Equity, 
        (File 333-190773 - Aug. 22) (BR. 02)

        5184452200 - 0 ($33,540,000.00) Equity, (File 333-190774 - Aug. 22) 
        (BR. 02C)

F-3     Gentium S.p.A., (39) 031 385111 - 300,000 ($5,508,000.00) Equity, 
        (File 333-190775 - Aug. 22) (BR. 01A)

S-1     Unlimited Sky Holdings, Inc., 140 EAST MAIN STREET, RADFORD, VA, 24141, 
        540-639-4121 - 8,467,948 ($7,469,958.00) Equity, (File 333-190776 - 
        Aug. 22) (BR. 08)

S-8     KBR, INC., 601 JEFFERSON STREET, SUITE 3400, HOUSTON, TX, 77002, 
        (713) 753-3834 - 2,000,000 ($62,260,000.00) Equity, (File 333-190777 - 
        Aug. 22) (BR. 06C)

        3145129200 - 1,100,000 ($22,000,000.00) Equity, (File 333-190778 - 
        Aug. 22) (BR. 10A)

S-4     Walter Energy, Inc., 3000 RIVERCHASE GALLERIA, SUITE 1700, BIRMINGHAM, 
        AL, 35244, 205-745-2000 - 0 ($950,000,000.00) Debt, (File 333-190779 - 
        Aug. 22) (BR. 09B)

S-8     SAP AG, DIETMAR-HOPP-ALLEE 16, WALLDORF, 2M, 69190, 0114962277 - 
        2,850,000 ($216,138,015.00) Equity, (File 333-190780 - Aug. 22) 
        (BR. 03C)

F-1     Enzymotec Ltd., SAGI 2000 INDUSTRIAL AREA, P.O. BOX 6, MIGDAL HA?EMEQ, 
        L3, 2310001, 972747177177 - 0 ($75,000,000.00) Equity, 
        (File 333-190781 - Aug. 22) (BR. 01B)

S-8     Amerilithium Corp., 871 CORONADO CENTER DR., SUITE 200, HENDERSON, NV, 
        89052, (702) 583-7790 - 38,000,000 ($186,200.00) Equity, 
        (File 333-190782 - Aug. 22) (BR. 09B)

F-3     Teekay LNG Partners L.P., 4TH FLOOR, BELVEDERE BUILDING, 
        69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 - 
        0 ($39,227,158.74) Limited Partnership Interests, (File 333-190783 - 
        Aug. 22) (BR. 05C)


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

ACME UNITED CORP                        CT       8.01                 08/21/13

Altegris QIM Futures Fund, L.P.         DE       5.02                 08/16/13

Altegris Winton Futures Fund, L.P.      CO       5.02                 08/16/13

AMERICAN EAGLE OUTFITTERS INC           DE       2.02,9.01            08/21/13

American Express Issuance Trust II      DE       8.01,9.01            08/22/13

AMERICAN FINANCIAL GROUP INC            OH       8.01,9.01            08/22/13

American Realty Capital Healthcare Tr   MD       1.01,2.01            08/21/13

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       1.01,2.03,8.01,9.01  08/20/13

AMERICAS CARMART INC                    TX       5.07                 08/21/13

ANDERSONS INC                           OH       5.02                 08/22/13

Andina Acquisition Corp                 E9       1.01,7.01,9.01       08/17/13

ARROGENE, INC                           DE       8.01,9.01            08/21/13

ARUBA NETWORKS, INC.                    DE       2.02,9.01            08/22/13

Ascent Capital Group, Inc.              DE       9.01                 08/16/13    AMEND

ASHLAND INC.                            KY       7.01,9.01            08/22/13

Aspect FuturesAccess LLC                DE       5.02                 08/16/13

Athens Bancshares Corp                           8.01,9.01            08/21/13

AUTODESK INC                            DE       2.02,9.01            08/22/13

AVNET INC                               NY       1.01,2.03,9.01       08/22/13

BANC OF CALIFORNIA, INC.                MD       8.01,9.01            08/22/13

BANCORPSOUTH INC                        MS       7.01,9.01            08/22/13

BANK OF AMERICA CORP /DE/               DE       5.03,9.01            08/22/13

Behringer Harvard Opportunity REIT II   MD       7.01,9.01            08/22/13

BLACKSTONE MORTGAGE TRUST, INC.         MD       7.01,9.01            08/22/13

BLUCORA, INC.                           DE       2.01,7.01,9.01       08/22/13

BON TON STORES INC                      PA       2.02,9.01            08/22/13

BROADLEAF CAPITAL PARTNERS INC          NV       5.02                 08/19/13

BUCKEYE TECHNOLOGIES INC                DE       7.01,8.01,9.01       08/22/13

BUCKLE INC                              NE       2.02,9.01            08/22/13

BURLINGTON NORTHERN SANTA FE, LLC                1.01,2.03,9.01       08/22/13

C & F FINANCIAL CORP                    VA       8.01,9.01            08/21/13

CAPITAL ONE FINANCIAL CORP              DE       7.01,9.01            08/22/13

CARDINAL FINANCIAL CORP                 VA       7.01,9.01            08/22/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       8.01                 08/19/13

CENTRAL VALLEY COMMUNITY BANCORP        CA       8.01,9.01            08/21/13

CHILDRENS PLACE RETAIL STORES INC                2.02,9.01            08/22/13

Citadel EFT, Inc.                       NV       5.02                 08/22/13

CLAYTON WILLIAMS ENERGY INC /DE         DE       5.02,9.01            08/20/13

CNS RESPONSE, INC.                      DE       1.01,3.02            08/16/13

Colt Defense LLC                        DE       5.02,9.01            08/20/13

COMARCO INC                             CA       8.01                 08/19/13

COMSTOCK RESOURCES INC                  NV       8.01,9.01            08/22/13

COPsync, Inc.                           DE       7.01,9.01            08/20/13

CORE MOLDING TECHNOLOGIES INC           DE       5.02                 08/16/13

CORNING NATURAL GAS CORP                NY       4.01,9.01            08/20/13

CoroWare, Inc,                          DE       5.02                 08/16/13

COVANTA HOLDING CORP                    DE       7.01                 08/19/13

CROWN CASTLE INTERNATIONAL CORP         DE       1.01,8.01,9.01       08/22/13

CVR PARTNERS, LP                        DE       7.01,9.01            08/22/13

CYBERONICS INC                          DE       2.02,9.01            08/22/13

CYTOKINETICS INC                                 8.01                 08/22/13

DelMar Pharmaceuticals, Inc.            NV       5.02                 08/20/13

DFC GLOBAL CORP.                        DE       2.02,9.01            08/22/13

DOLLAR TREE INC                         VA       2.02,7.01,9.01       08/22/13

Dynamic Gold Corp.                      NV       3.02                 08/20/13

ECOLOGY & ENVIRONMENT INC               NY       5.02,5.03,9.01       08/21/13

ELEPHANT TALK COMMUNICATIONS CORP       DE       2.03,3.02,9.01       08/17/13

Emerge Energy Services LP               DE       7.01,9.01            08/22/13

Enterologics, Inc.                      NV       4.01,9.01            08/15/13    AMEND

ERBA Diagnostics, Inc.                  DE       5.02                 08/19/13

Expedia, Inc.                           DE       7.01,9.01            08/22/13

Federal Home Loan Bank of Atlanta       X1       2.03                 08/19/13

Federal Home Loan Bank of Chicago       X1       2.03                 08/20/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            08/19/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            08/20/13

Federal Home Loan Bank of New York      X1       2.03,9.01            08/20/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/19/13

Federal Home Loan Bank of San Francis   X1       2.03                 08/20/13

Federal Home Loan Bank of Seattle                2.03                 08/19/13

Federal Home Loan Bank of Topeka                 2.03,9.01            08/19/13

Fifth Third Auto Trust 2013-1           DE       1.01,9.01            08/21/13

FIRST COMMUNITY CORP /SC/               SC       7.01,8.01,9.01       08/22/13

First Financial Northwest, Inc.         WA       8.01,9.01            08/21/13

FIRST MERCHANTS CORP                    IN       8.01,9.01            08/22/13

First Savings Financial Group Inc                8.01,9.01            08/22/13

FLAGSTAR BANCORP INC                    MI       5.07                 08/20/13

FULL HOUSE RESORTS INC                  DE       1.01,9.01            08/16/13    AMEND

GameStop Corp.                          DE       2.02,8.01,9.01       08/20/13

GAP INC                                 DE       2.02,5.02,8.01,9.01  08/21/13

General Growth Properties, Inc.         DE       5.02,9.01            08/16/13

General Moly, Inc                       DE       1.02,8.01,9.01       08/21/13

GeNOsys, Inc.                           UT       5.02                 08/20/13

Globalstar, Inc.                        DE       1.01,9.01            08/21/13

Granite Falls Energy, LLC               MN       1.01,2.03            07/29/13

Green Ballast, Inc.                     DE       5.02                 08/18/13

Green Plains Renewable Energy, Inc.     IA       8.01,9.01            08/22/13

Guardian 8 Holdings                     NV       1.01,2.03,3.02,9.01  08/12/13    AMEND

HARRIS INTERACTIVE INC                  DE       2.02,9.01            08/22/13

HCC INSURANCE HOLDINGS INC/DE/          DE       5.03,9.01            08/21/13

Highbridge Commodities FuturesAccess    DE       5.02                 08/16/13

HMS INCOME FUND, INC.                   MD       1.01,2.03,9.01       08/16/13

HOME BANCSHARES INC                              7.01,9.01            08/22/13

HOME PROPERTIES INC                     MD       1.01,2.03,9.01       08/19/13

HORIZON BANCORP /IN/                    IN       7.01,9.01            08/22/13

HORIZON PHARMA, INC.                    DE       1.01                 08/21/13

HORMEL FOODS CORP /DE/                  DE       2.02,9.01            08/22/13

HOTEL OUTSOURCE MANAGEMENT INTERNATIO   DE       8.01,9.01            08/22/13

HPIL HOLDING                            NV       8.01                 08/22/13

ICEWEB INC                              DE       1.01,3.02,7.01,9.01  08/22/13

IMMUNOMEDICS INC                        DE       2.02,9.01            08/22/13

IMMUNOMEDICS INC                        DE       5.02,9.01            08/16/13

Independent Bank Group, Inc.            TX       1.01,8.01,9.01       08/22/13

Infinity Resources Holdings Corp.       NV       5.02                 08/16/13

INFRAX SYSTEMS, INC.                    FL       1.01,2.01,8.01       08/22/13

Inland Diversified Real Estate Trust,   MD       7.01,9.01            08/22/13

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       3.02                 08/16/13

IntelGenx Technologies Corp.            DE       8.01                 08/22/13

INTERNATIONAL INDUSTRIAL ENTERPRISES,   DE       4.01,9.01            08/12/13

INVESTORS CAPITAL HOLDINGS LTD          MA       5.07                 08/20/13

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       5.02                 08/22/13

IRON MOUNTAIN INC                       DE       8.01,9.01            08/22/13

ISC8 INC. /DE                           DE       1.01,2.03,9.01       07/01/13    AMEND

iTalk Inc.                              NV       4.01,9.01            08/22/13

J C PENNEY CO INC                       DE       1.01,3.03,5.03,9.01  08/21/13

J2 GLOBAL, INC.                         DE       7.01,9.01            08/22/13

KBS Strategic Opportunity REIT, Inc.    MD       8.01                 08/20/13

KEATING CAPITAL INC                              7.01,9.01            08/22/13

KELLOGG CO                              DE       5.02,8.01            08/22/13

LA-Z-BOY INC                            MI       5.07                 08/21/13

LANCASTER COLONY CORP                   OH       2.02,9.01            08/22/13

Landmark Apartment Trust of America,             3.02,7.01,8.01,9.01  08/16/13

LMI AEROSPACE INC                       MO       1.01,2.03,9.01       12/28/12    AMEND

Location Based Technologies, Inc.       NV       8.01,9.01            08/22/13

LRR Energy, L.P.                        DE       7.01,9.01            08/19/13

Man AHL FuturesAccess LLC               DE       5.02                 08/16/13

MARVELL TECHNOLOGY GROUP LTD            D0       2.02,8.01,9.01       08/22/13

MAXIM INTEGRATED PRODUCTS INC           DE       8.01,9.01            08/15/13    AMEND

MAXIM INTEGRATED PRODUCTS INC           DE       8.01,9.01            08/15/13    AMEND

MAXIM INTEGRATED PRODUCTS INC           DE       1.01,9.01            08/15/13    AMEND

MEDIENT STUDIOS, INC.                   NV       1.01,2.03,3.02,9.01  08/16/13

MENTOR GRAPHICS CORP                    OR       2.02                 08/22/13

MERRILL LYNCH DEPOSITOR INC PPLUS TRU   DE       8.01,9.01            08/15/13

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01            08/15/13

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01            08/15/13

MICROS SYSTEMS INC                      MD       2.02,9.01            08/22/13

ML BlueTrend FuturesAccess LLC          DE       5.02                 08/16/13

ML SELECT FUTURES I LP                  DE       5.02                 08/16/13

ML Transtrend DTP Enhanced FuturesAcc   DE       5.02                 08/16/13

ML TREND-FOLLOWING FUTURES FUND L.P.    DE       5.02                 08/16/13

ML Winton FuturesAccess LLC             DE       5.02                 08/16/13

MONITRONICS INTERNATIONAL INC           TX       2.01,2.03,3.02,7.01, 08/16/13

MORGANS FOODS INC                       OH       1.01,1.02            08/22/13

Murphy USA Inc.                         DE       5.02,9.01            08/22/13

NAVIDEA BIOPHARMACEUTICALS, INC.        DE       1.01,8.01,9.01       08/16/13

NET 1 UEPS TECHNOLOGIES INC                      2.02,7.01,9.01       06/30/13

New York & Company, Inc.                         2.02,9.01            08/22/13

Noble Corp / Switzerland                V8       1.01,2.03,9.01       08/22/13

NORDSON CORP                            OH       2.02,9.01            08/22/13

Northern Tier Energy LP                 DE       7.01                 08/22/13

NORTHRIM BANCORP INC                    AK       9.01                 08/21/13

NOVA MINING CORP                        NV       8.01,9.01            06/30/13

NOVAVAX INC                             DE       8.01,9.01            08/22/13

OAK RIDGE MICRO-ENERGY INC              CO       1.01,5.02,9.01       08/01/13

One Horizon Group, Inc.                 PA       5.02,9.01            08/21/13

OPTIMER PHARMACEUTICALS INC                      8.01,9.01            08/22/13

Ortus Currency FuturesAccess LLC        DE       5.02                 08/16/13

PALADIN REALTY INCOME PROPERTIES INC    MD       1.01,8.01            08/16/13

Pandora Media, Inc.                     DE       2.02,9.01            08/22/13

PARK CITY GROUP INC                     NV       5.07                 03/29/13    AMEND

PATRICK INDUSTRIES INC                  IN       5.07                 05/23/13    AMEND

PATTERSON COMPANIES, INC.               MN       2.02,8.01,9.01       08/22/13

PDK ENERGY INC.                         MS       1.02,5.02,9.01       08/22/13

PERRY ELLIS INTERNATIONAL INC           FL       2.02,9.01            08/22/13

Petro River Oil Corp.                   DE       5.02,8.01,9.01       08/15/13

PIKSEL, INC.                            DE       1.01,1.02,3.02,3.03, 08/16/13

PLEXUS CORP                             WI       8.01,9.01            08/21/13

Poly Shield Technologies Inc.           DE       1.01,9.01            08/19/13

PPLUS Trust Series GSC-2                DE       8.01,9.01            08/15/13

PROSPECT CAPITAL CORP                   MD       2.02,7.01,9.01       08/21/13

QCR HOLDINGS INC                        DE       8.01,9.01            08/22/13

QUEST DIAGNOSTICS INC                   DE       5.02,7.01,8.01,9.01  08/20/13

RAND WORLDWIDE INC                      DE       5.02                 08/22/13

Rango Energy, Inc.                      NV       5.03,9.01            08/07/13

Red Giant Entertainment, Inc.           NV       4.01                 04/03/13    AMEND

Remark Media, Inc.                      DE       9.01                 08/22/13

RetailMeNot, Inc.                       DE       2.02,9.01            08/22/13

Riverview Financial Corp                PA       8.01,9.01            08/21/13

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       7.01,9.01            08/22/13

ROSETTA STONE INC                                8.01,9.01            08/22/13

ROSS STORES INC                         DE       2.02,9.01            08/22/13

SALIX PHARMACEUTICALS LTD                        1.02,2.03,8.01,9.01  08/20/13

Samson Oil & Gas LTD                    C3       1.01,8.01,9.01       08/18/13

SANFILIPPO JOHN B & SON INC             DE       2.02,9.01            08/22/13

SBT Bancorp, Inc.                       CT       8.01,9.01            08/21/13

SCANSOURCE INC                          SC       9.01                 08/22/13

SEARS HOLDINGS CORP                     DE       2.02,9.01            08/22/13

Sears Hometown & Outlet Stores, Inc.    DE       8.01,9.01            08/22/13

Sino Agro Food, Inc.                    NV       2.02,7.01,9.01       08/22/13

Skyline Medical Inc.                    MN       5.02                 08/20/13

SOCIAL REALITY                          DE       1.01,3.02,5.02,5.03, 08/16/13

SOLERA HOLDINGS, INC                    DE       2.02,7.01,9.01       08/22/13

Solera National Bancorp, Inc.           DE       5.02                 08/22/13

SPECTRANETICS CORP                      DE       5.02,9.01            08/20/13

SpendSmart Payments Co                  CO       4.02                 08/19/13

Sprouts Farmers Market, Inc.            DE       2.02,9.01            08/22/13

Starz                                   DE       5.02,8.01,9.01       08/16/13

STEIN MART INC                          FL       2.02,8.01,9.01       08/22/13

STIFEL FINANCIAL CORP                   DE       8.01                 08/21/13

StrikeForce Technologies Inc.           WY       5.03                 08/19/13

SunCoke Energy Partners, L.P.           DE       7.01,9.01            08/22/13

SUNEDISON, INC.                         DE       8.01,9.01            08/22/13

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       5.02,9.01            08/22/13

Systematic Momentum FuturesAccess LLC   DE       5.02                 08/16/13

T-Mobile US, Inc.                       DE       1.01,2.03,8.01,9.01  08/21/13

Targa Resources Partners LP             DE       1.01,9.01            08/22/13

Targeted Medical Pharma, Inc.                    1.01,5.02,8.01,9.01  08/19/13

TEAM HEALTH HOLDINGS INC.               DE       7.01                 08/20/13

TENGASCO INC                            TN       8.01,9.01            08/16/13

TherapeuticsMD, Inc.                    NV       5.02,5.07,9.01       08/22/13

Timios National Corp                    DE       5.02,9.01            08/21/13

TORO CO                                 DE       2.02,9.01            08/22/13

Transocean Ltd.                         V8       5.03,9.01            08/22/13

TRANSWITCH CORP /DE                     DE       8.01,9.01            08/21/13

TRANSWITCH CORP /DE                     DE       3.01,8.01,9.01       08/19/13

TREX CO INC                             DE       8.01                 08/19/13

Trunkbow International Holdings Ltd     NV       2.02,3.01,8.01,9.01  08/20/13

TRUSTMARK CORP                          MS       7.01,9.01            08/22/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            08/22/13

UNION FIRST MARKET BANKSHARES CORP      VA       7.01,9.01            08/22/13

UNITED COMMUNITY FINANCIAL CORP         OH       8.01                 07/02/13    AMEND

UniTek Global Services, Inc.            DE       4.01,9.01            08/19/13

UNITY BANCORP INC /NJ/                  NJ       8.01,9.01            08/22/13

UNWIRED PLANET, INC.                    DE       8.01                 08/19/13

USmart Mobile Device Inc.                        5.02                 08/22/13

Venoco, Inc.                            DE       1.01,8.01,9.01       08/15/13

VICAL INC                               DE       2.05,5.02,9.01       08/22/13

VMWARE, INC.                            DE       5.02,9.01            08/19/13

Warner Chilcott plc                              8.01                 08/22/13

WebMD Health Corp.                      DE       8.01                 08/22/13

WESBANCO INC                            WV       8.01,9.01            08/22/13

Western Union CO                        DE       8.01,9.01            08/19/13

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       8.01                 08/22/13

WhiteHorse Finance, Inc.                DE       7.01,9.01            08/22/13

ZaZa Energy Corp                        DE       1.01,3.02,7.01,9.01  08/21/13

ZILLOW INC                              WA       1.01,7.01,9.01       08/19/13



Modified: 08/27/2013