Commission Charges Indiana Resident with Conducting Ponzi Scheme Targeting Retirement Savings of Investors
The Securities and Exchange Commission ("Commission") today charged a Noblesville, Ind., resident and his company with defrauding investors in a Ponzi scheme that targeted retirement savings.
The SEC alleges that John K. Marcum touted himself as a successful trader and asset manager to raise more than $6 million through promissory notes issued by his company Guaranty Reserves Trust. Marcum helped investors set up self-directed IRA accounts and gained control over their retirement assets, saying he would earn them strong returns on the promissory notes by day-trading in stocks while guaranteeing the safety of their principal investment. Yet Marcum did little actual trading and almost always lost money when he did. Throughout his scheme, Marcum provided investors with false account statements showing annual returns of more than 20 percent. Meanwhile, he used investor funds to pay for his luxurious personal lifestyle and finance several start-up companies.
The SEC obtained an emergency court order to freeze the assets of Marcum and his company.
"Marcum tricked investors into putting their retirement nest eggs in his hands by portraying himself as a talented trader who could earn high returns while eliminating the risk of loss," said Timothy L. Warren, Acting Director of the Chicago Regional Office. "Marcum tried to carry on his charade of success even after he squandered nearly all of the funds from investors."
According to the SEC's complaint filed in federal court in Indianapolis, Marcum began his scheme in 2010. Investors gave Marcum control of their assets by either rolling their existing IRA accounts into the newly-established self-directed IRA accounts or by transferring their taxable assets directly to brokerage accounts that Marcum controlled. Marcum and certain investors co-signed the promissory notes, and Marcum then placed them in the IRA accounts.
The SEC alleges that Marcum assured investors he could safely grow their money through investments in widely-held publicly-traded stocks, and he promised annual returns between 10 percent and 20 percent. Marcum also told a number of investors that their principal was "guaranteed" and would never be at risk. He falsely told at least one investor that her principal would be federally insured. In the little trading he has done, Marcum has suffered losses amounting to more than $900,000. He has misappropriated the remaining investor funds for various unauthorized uses.
According to the SEC's complaint, Marcum used investor money as collateral for a $3 million line of credit at the brokerage firm where he used to work. He took frequent and regular advances from the line of credit to fund such start-up ventures as a bridal store, a bounty hunter reality television show, and a soul food restaurant owned and operated by the bounty hunters. None of these businesses appear to be profitable, and Marcum's investors were not aware that their money was being used for these purposes. Marcum used nearly $1.4 million of investor money to make payments directly to the start-up ventures and other companies. He also used more than a half-million dollars to pay personal expenses accrued on credit card bills, including airline tickets, luxury car payments, hotel stays, sports and event tickets, and tabs at a Hollywood nightclub.
According to the SEC's complaint, Marcum did not have the funds needed to honor investor redemption requests. So he provided certain investors with a "recovery plan" that revealed his intention to solicit funds from new investors so that he could pay back his existing investors. Marcum had a phone conversation with three investors in June 2013 and admitted that he had misappropriated investor funds and was unable to pay investors back. During this call, Marcum begged the investors for more time to recover their money. He offered to name them as beneficiaries on his life insurance policies, which he claimed include a "suicide clause" imposing a two-year waiting period for benefits. He suggested that if he is unsuccessful in returning their money, he would commit suicide to guarantee that they would eventually be repaid.
The SEC's complaint alleges that Marcum and Guaranty Reserves Trust violated the antifraud provisions of the federal securities laws. The SEC sought and obtained emergency relief including a temporary restraining order and asset freeze. The SEC additionally seeks permanent injunctions, disgorgement of ill-gotten gains and financial penalties from Marcum and Guaranty Reserves Trust, and disgorgement of ill-gotten gains from Marcum Companies LLC, which is named as a relief defendant. (Press Rel. 2013-164)
Commission Orders Hearing on Registration Suspension or Revocation against Seven 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 seven companies for failure to make required periodic filings with the Commission:
• Anasazi Capital Corp.
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and/or 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70254)
Investment company orders
Exchange Traded Concepts, LLC, et al.
An order has been issued on an application filed by Exchange Traded Concepts, LLC, et al. The order permits (a) 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 from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. The order supersedes a prior order. (Rel. IC-30674)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by BOX Options Exchange LLC to amend the fee schedule (SR-BOX-2013-42) 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 August 26th. (Rel. 34-70255)
A proposed rule change filed by BATS Y-Exchange, Inc. related to registration and continuing education fees for BATS Y-Exchange, Inc. (SR-BYX-2013-029) 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 August 26th. (Rel. 34-70256)
A proposed rule change filed by BATS Exchange, Inc. related to registration and continuing education fees for BATS Exchange, Inc. (SR-BATS-2013-047) 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 August 26th. (Rel. 34-70257)
A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-050) to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday 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 August 26th. (Rel. 34-70258)
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-89) to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday 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 August 26th. (Rel. 34-70259)
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-112) to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday 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 August 26th. (Rel. 34-70260)
Notice of Proposed Rule Change
The NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change (SR-NASDAQ-2013-107) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of the shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII. Publication is expected in the Federal Register during the week of August 26th. (Rel. 34-70253)
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 INDEPENDENT BANK CORP /MI/, 230 W MAIN ST, PO BOX 491, IONIA, MI, 48846, 6165279450 - 0 ($3,593,750.00) Equity, (File 333-190784 - Aug. 23) (BR. 07B) S-1 ILoadApp, 190/1 ALBA IULIA STR., CHISINAU, 1S, MD2091, 37369231658 - 5,000,000 ($50,000.00) Equity, (File 333-190786 - Aug. 23) (BR. 03) S-8 SONIC FOUNDRY INC, 222 W. WASHINGTON AVENUE, SUITE 775, MADISON, WI, 53703, 6084431600 - 0 ($6,531,000.00) Equity, (File 333-190787 - Aug. 23) (BR. 11C) S-1 HISPANICA INTERNATIONAL DELIGHTS OF AMERICA, INC., 1311 JACKSON AVENUE, SUITE 5D, LONG ISLAND CITY, NY, 11101, (516) 867-8383 - 0 ($890,625.00) Equity, (File 333-190788 - Aug. 23) (BR. 09) S-8 YADKIN FINANCIAL Corp, 209 NORTH BRIDGE STREET, P. O. BOX 888, ELKIN, NC, 28621, (336) 526-6300 - 300,000 ($4,581,000.00) Equity, (File 333-190790 - Aug. 23) (BR. 07B) S-4 POLYONE CORP, POLYONE CENTER, 33587 WALKER ROAD, AVON LAKE, OH, 44012, 440-930-1000 - 0 ($600,000,000.00) Debt, (File 333-190792 - Aug. 23) (BR. 06A) S-8 Fidelity National Information Services, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE, FL, 32204, 904-438-6365 - 14,552,989 ($664,052,888.07) Equity, (File 333-190793 - Aug. 23) (BR. 02A) S-B PERU REPUBLIC OF, 241 EAST 49TH ST, NEW YORK, NY, 10017, 0 ($1.00) Unallocated (Universal) Shelf, (File 333-190794 - Aug. 23) (BR. DN) S-8 CHEROKEE INC, 6835 VALJEAN AVE, VAN NUYS, CA, 91406-4713, 8189511002 - 0 ($9,380,152.00) Equity, (File 333-190795 - Aug. 23) (BR. 09B) S-8 BIODELIVERY SCIENCES INTERNATIONAL INC, 801 CORPORATE CENTER DRIVE, SUITE 210, RALEIGH, NC, 27607, 919 582 9050 - 0 ($11,544,000.00) Equity, (File 333-190796 - Aug. 23) (BR. 01B) S-8 ANN INC., 7 TIMES SQUARE, 15TH FLOOR, NEW YORK, NY, 10036, 2125413300 - 0 ($53,364,148.00) Equity, (File 333-190797 - Aug. 23) (BR. 09A) S-1 Adamis Pharmaceuticals Corp, 11455 EL CAMINO REAL, SUITE 310, SAN DIEGO, CA, 92130, (858) 997-2400 - 26,499,996 ($11,394,999.00) Equity, (File 333-190798 - Aug. 23) (BR. 01A) S-8 Dialogic Inc., 1504 MCCARTHY BLVD, MILPITAS, CA, 95035, 4087509400 - 1,720,781 ($1,445,365.13) Equity, (File 333-190799 - Aug. 23) (BR. 03C) F-10 HudBay Minerals Inc., 201 PORTAGE AVENUE, SUITE 1906, WINNEPEG, A2, R3B 3L3, (204) 949-4261 - 0 ($150,000,000.00) Debt, (File 333-190801 - Aug. 23) (BR. 09A) S-1 IKANOS COMMUNICATIONS, 47669 FREMONT BLVD., FREMONT, CA, 94538, (510) 979-0400 - 0 ($30,000,000.00) Equity, (File 333-190803 - Aug. 23) (BR. 11C) S-3 Green Plains Renewable Energy, Inc., 450 REGENCY PARKWAY, SUITE 400, OMAHA, NE, 68114, 402-884-8700 - 0 ($200,000,000.00) Other, (File 333-190804 - Aug. 23) (BR. 06C) S-1 Shutterstock, Inc., 60 BROAD STREET, 30TH FLOOR, NEW YORK, NY, 10004, 646-710-3410 - 0 ($172,500,000.00) Equity, (File 333-190805 - Aug. 23) (BR. 03C) S-8 Raptor Pharmaceutical Corp, 9 COMMERCIAL BLVD, SUITE 200, NOVATO, CA, 94949, 415-382-1390 - 3,000,000 ($36,705,000.00) Equity, (File 333-190806 - Aug. 23) (BR. 01A) N-2 John Hancock Floating Rate High Income Fund, 601 CONGRESS STREET, BOSTON, MA, 02210, 800-225-6265 - 0 ($1,000,000.00) Equity, (File 333-190807 - Aug. 23) (BR. ) S-3 AROTECH CORP, 1229 OAK VALLEY DRIVE, ANN ARBOR, MI, 48108, 8002810356 - 0 ($25,000,000.00) Equity, (File 333-190808 - Aug. 23) (BR. 10A)
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 AEROPOSTALE INC 2.02,9.01 08/22/13 Affinity Gaming NV 4.01,9.01 08/19/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.02,9.01 08/19/13 AIR T INC DE 1.01 08/21/13 ALERE INC. DE 5.02 08/19/13 ALTRIA GROUP, INC. VA 1.01,8.01,9.01 08/19/13 AMERICAN EAGLE ENERGY Corp NV 1.01,1.02,2.03,8.01, 08/19/13 9.01 American Realty Capital Daily Net Ass MD 5.02 08/21/13 American Realty Capital Trust V, Inc. MD 1.01,2.01,9.01 08/19/13 AMERICAN RESTAURANT CONCEPTS INC 5.02 08/19/13 American Sands Energy Corp. DE 1.01,2.03,3.02,9.01 08/20/13 AMKOR TECHNOLOGY INC DE 5.03,8.01,9.01 08/21/13 ANN INC. DE 2.02,9.01 08/23/13 ARI NETWORK SERVICES INC /WI WI 5.02 08/20/13 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,3.01,9.01 08/23/13 ASHFORD HOSPITALITY TRUST INC MD 5.02 08/19/13 AVIAT NETWORKS, INC. DE 8.01 08/22/13 Baron Energy Inc. NV 3.02,5.02 08/19/13 BAXANO SURGICAL, INC. DE 5.07 08/20/13 BB&T CORP NC 8.01,9.01 08/23/13 BELO CORP DE 8.01,9.01 08/22/13 BioNeutral Group, Inc NV 1.01,3.02,3.03,5.02, 08/23/13 8.01,9.01 BKF CAPITAL GROUP INC DE 8.01 08/22/13 BlueLinx Holdings Inc. DE 5.02,9.01 08/22/13 BOB EVANS FARMS INC DE 5.02,5.07,9.01 08/21/13 BOB EVANS FARMS INC DE 7.01,9.01 08/21/13 BRIDGE BANCORP INC NY 5.02,9.01 08/20/13 BRINKER INTERNATIONAL INC DE 7.01,8.01,9.01 08/22/13 BROADWAY FINANCIAL CORP \DE\ DE 8.01,9.01 08/22/13 BUCKEYE TECHNOLOGIES INC DE 2.01,3.01,3.03,5.01, 08/23/13 5.02,8.01,9.01 CAI International, Inc. 5.02,9.01 08/20/13 Cal Dive International, Inc. DE 5.02 08/19/13 CARTERS INC DE 7.01,9.01 08/22/13 CATO CORP DE 2.02,9.01 08/03/13 CENTRAL ENERGY PARTNERS LP DE 2.03 08/19/13 ChemoCentryx, Inc. DE 7.01,8.01,9.01 08/23/13 CHIMERA INVESTMENT CORP DE 7.01,9.01 08/23/13 China Advanced Construction Materials DE 8.01,9.01 08/23/13 CNH CAPITAL RECEIVABLES LLC DE 1.01,8.01,9.01 08/20/13 CNH CAPITAL RECEIVABLES LLC DE 8.01,9.01 08/20/13 CNL Healthcare Properties, Inc. MD 1.01,2.01,2.03,9.01 08/16/13 COLONIAL PROPERTIES TRUST AL 8.01 07/23/13 COMMUNITY BANK SHARES OF INDIANA INC IN 8.01,9.01 08/23/13 Community Bankers Trust Corp DE 1.01,9.01 08/19/13 COMMVAULT SYSTEMS INC DE 5.02,5.07 08/21/13 CONTANGO OIL & GAS CO DE 8.01,9.01 08/22/13 Cordia Bancorp Inc VA 2.02,8.01,9.01 08/15/13 Corporate Resource Services, Inc. DE 8.01,9.01 08/23/13 CRIMSON EXPLORATION INC. 8.01,9.01 08/23/13 CSG SYSTEMS INTERNATIONAL INC DE 5.02 08/21/13 Cytosorbents Corp NV 8.01,9.01 08/21/13 DEAN FOODS CO DE 1.01 08/19/13 DEEP WELL OIL & GAS INC NV 8.01,9.01 08/16/13 DESTINATION XL GROUP, INC. DE 2.02,9.01 08/23/13 DEVRY INC DE 5.03,9.01 08/21/13 Diamond Resorts International, Inc. DE 7.01,9.01 08/23/13 Discover Card Execution Note Trust DE 8.01 08/23/13 DISCOVER CARD MASTER TRUST I DE 8.01 08/23/13 DISH Network CORP NV 3.01 08/19/13 EASTMAN KODAK CO NJ 8.01 08/23/13 ECOTALITY, INC. NV 3.01 08/23/13 ELITE PHARMACEUTICALS INC /NV/ NV 1.01 08/19/13 Ellington Financial LLC DE 7.01 08/23/13 Entergy Louisiana, LLC TX 8.01,9.01 08/23/13 EverBank Financial Corp DE 8.01 08/23/13 EWaste Systems, Inc. NV 4.02,9.01 08/19/13 EXCO RESOURCES INC TX 1.01,2.03,9.01 08/19/13 EXTREME NETWORKS INC DE 5.02,9.01 08/20/13 FAIRFIELD FUTURES FUND LP II NY 1.01 08/02/13 First Financial Northwest, Inc. WA 5.02,9.01 08/21/13 FOOT LOCKER INC NY 2.02,9.01 08/23/13 FOUR OAKS FINCORP INC NC 5.02 08/23/13 FS Bancorp, Inc. 2.02,9.01 08/23/13 GILLA INC. NV 8.01,9.01 08/22/13 Global Biotech Corp. 5.02 07/03/13 GOLDEN GRAIN ENERGY IA 8.01 08/19/13 GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02 08/21/13 GroveWare Technologies Ltd. NV 2.04 08/20/13 GT Advanced Technologies Inc. DE 5.02 08/19/13 HASCO Medical, Inc. FL 5.02 08/21/13 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 7.01 08/23/13 HERCULES OFFSHORE, INC. DE 8.01,9.01 08/23/13 HERCULES OFFSHORE, INC. DE 8.01,9.01 08/23/13 HIBBETT SPORTS INC 2.02,7.01,9.01 08/23/13 ICAHN ENTERPRISES L.P. DE 1.01,9.01 08/23/13 INDEPENDENT BANK CORP /MI/ MI 8.01,9.01 08/23/13 INSIGNIA SYSTEMS INC/MN MN 5.02,8.01,9.01 08/19/13 INTEGRATED ELECTRICAL SERVICES INC DE 8.01,9.01 08/23/13 Inteliquent, Inc. 5.02,8.01,9.01 08/22/13 INTERMUNE INC DE 5.03,9.01 08/19/13 JetPay Corp NY 1.01,5.03,8.01,9.01 08/22/13 John Bean Technologies CORP DE 7.01,9.01 08/23/13 KEYNOTE SYSTEMS INC DE 2.01,3.01,3.03,5.01, 08/22/13 5.02,5.03,5.07,8.01,9.01 L Brands, Inc. DE 2.02,7.01 08/21/13 LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 08/15/13 LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 08/15/13 LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 08/15/13 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 08/15/13 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/13 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 08/15/13 LEUCADIA NATIONAL CORP NY 5.02,9.01 08/21/13 LIME ENERGY CO. DE 3.01 08/19/13 Lithium Exploration Group, Inc. NV 1.01,9.01 08/21/13 LOJACK CORP MA 5.02 08/23/13 MAGELLAN GOLD Corp NV 1.01,9.01 08/20/13 MAJESCO ENTERTAINMENT CO DE 5.02,9.01 08/22/13 Mallinckrodt plc 5.02 08/22/13 Mandalay Digital Group, Inc. DE 1.01,3.02,9.01 08/16/13 Mattersight Corp DE 1.01,2.03,3.02,9.01 08/19/13 MEADOWBROOK INSURANCE GROUP INC MI 8.01,9.01 08/23/13 MGM Resorts International DE 5.03,9.01 08/20/13 MICREL INC CA 5.02,9.01 08/23/13 MICROSOFT CORP WA 5.02,7.01,9.01 08/23/13 MISCOR GROUP, LTD. IN 8.01,9.01 08/23/13 MMRGlobal, Inc. DE 5.03,9.01 08/20/13 MONARCH COMMUNITY BANCORP INC MD 5.07 08/23/13 MONROE CAPITAL Corp MD 8.01 08/20/13 NOGAL ENERGY, INC. NV 5.01 08/09/13 NuStar Energy L.P. DE 1.01,9.01 08/19/13 OFG BANCORP PR 5.02 08/22/13 OLD REPUBLIC INTERNATIONAL CORP DE 5.03,9.01 08/21/13 OMNICARE INC DE 1.01,2.03,3.02,8.01, 08/22/13 9.01 OptimumBank Holdings, Inc. FL 3.01 08/19/13 ORGANOVO HOLDINGS, INC. DE 5.02,5.07,9.01 08/21/13 Owens Corning DE 5.02 06/13/13 AMEND Pandora Media, Inc. DE 5.03 08/20/13 PASSPORT POTASH INC A1 1.01,8.01,9.01 08/20/13 Pathfinder Cell Therapy, Inc. DE 2.03,3.02 08/22/13 PAYCHEX INC DE 4.01,9.01 08/20/13 PDI INC 8.01,9.01 08/20/13 PG&E Corp CA 8.01 08/19/13 PMC SIERRA INC DE 4.01,9.01 08/19/13 POLYONE CORP 8.01,9.01 08/23/13 POTOMAC FUTURES FUND LP NY 1.01 08/02/13 Press Ventures, Inc. 1.01,2.01,3.02,5.01, 08/19/13 5.06,9.01 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01 08/23/13 Prosper Funding LLC DE 5.02 08/23/13 PVR PARTNERS, L. P. DE 1.01,9.01 08/23/13 QLOGIC CORP DE 5.02,5.07,9.01 08/22/13 QUALSTAR CORP CA 5.02,8.01,9.01 08/16/13 AMEND Remark Media, Inc. DE 4.02 08/23/13 RING ENERGY, INC. NV 8.01 06/28/13 ROBERTS REALTY INVESTORS INC GA 1.01,1.02,9.01 08/20/13 SENESCO TECHNOLOGIES INC DE 5.07,8.01 08/22/13 SIMON WORLDWIDE INC DE 1.01,2.01,9.01 03/18/13 AMEND SM Energy Co DE 7.01,9.01 08/22/13 Solar Power, Inc. CA 5.02 08/19/13 SOLTA MEDICAL INC DE 5.02 08/22/13 SONO TEK CORP NY 7.01,9.01 08/23/13 Sound Financial Bancorp, Inc. MD 8.01,9.01 08/23/13 Sovereign Lithium, Inc. 1.01 08/19/13 STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01,9.01 08/23/13 STRATTEC SECURITY CORP WI 7.01,9.01 08/23/13 SurePure, Inc. NV 8.01,9.01 08/23/13 SYNERGY RESOURCES CORP CO 5.07 08/20/13 TELIK INC DE 4.01,9.01 08/19/13 TRANS WORLD ENTERTAINMENT CORP NY 1.01,2.02,7.01,9.01 08/22/13 TRANSAMERICA ADVISORS LIFE INSURANCE AR 4.01 08/23/13 TRANSAMERICA ADVISORS LIFE INSURANCE NY 4.01 08/23/13 TRIMAS CORP DE 5.02,9.01 08/21/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 08/23/13 TWO RIVER BANCORP NJ 5.02,9.01 08/20/13 United Community Bancorp 8.01,9.01 08/22/13 USA Mobility, Inc DE 8.01 08/23/13 VALENCE TECHNOLOGY INC DE 7.01,9.01 08/20/13 VII Peaks-KBR Co-Optivist Income BDC MD 1.01,1.02,5.03,9.01 08/20/13 VSE CORP DE 5.03,9.01 07/31/13 WESTPORT FUTURES FUND L.P. NY 1.01 08/02/13 WEYERHAEUSER CO WA 5.02,9.01 08/19/13 Wheeler Real Estate Investment Trust, MD 8.01,9.01 08/21/13 WHITEWAVE FOODS Co DE 5.03,9.01 08/21/13 WORLD FUEL SERVICES CORP FL 7.01,9.01 08/23/13 WORLD STEVIA CORP. NV 5.03,8.01 08/15/13 WOUND MANAGEMENT TECHNOLOGIES, INC. TX 4.01,9.01 08/16/13 WYNN RESORTS LTD 7.01,9.01 08/23/13 YOU ON DEMAND HOLDINGS, INC. NV 3.01 08/20/13 ZIONS BANCORPORATION /UT/ UT 9.01 08/23/13