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U.S. Securities and Exchange Commission


Issue 2013-168
August 30, 2013

Commission announcements

Fee Rate Advisory #1 for Fiscal Year 2014

The Securities and Exchange Commission (Commission) today announced that in fiscal year 2014, the fees that public companies and other issuers pay to register their securities with the Commission will be set at $128.80 per million dollars.

The Commission determined this new rate in accordance with procedures required under the securities laws. Accordingly, the Commission consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustment.


The securities laws require the Commission to make annual adjustments to the rates for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934. The Commission must set rates for the fees paid under Section 6(b) to levels that the Commission projects will generate collections equal to annual statutory target amounts. The statutory target amount for fiscal year 2014 is $485 million. The annual adjustment to the fee rate under Section 6(b) also sets the annual adjustment to the fee rates under Sections 13(e) and 14(g).

Under changes made by the Dodd-Frank Act, the annual rate changes for fees paid under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934 must take effect on the first day of each fiscal year. Therefore, effective Oct. 1, 2013, the Section 6(b) fee rate applicable to the registration of securities, the Section 13(e) fee rate applicable to the repurchase of securities, and the Section 14(g) fee rates applicable to proxy solicitations and statements in corporate control transactions will decrease from $136.40 per million dollars to $128.80 per million dollars. The Section 6(b) rate is also the rate used to calculate the fees payable with the Annual Notice of Securities Sold Pursuant to Rule 24f-2 under the Investment Company Act of 1940.

The Commission will issue further notices as appropriate to keep the public informed of the effective date of the fee rate changes under Section 6(b), Section 13(e) and Section 14(g). These notices will be posted at the SEC's Internet website at www.sec.gov. (Press Rel. 2013-170; Rel. Nos. 33-9447; 34-70298)


Commission Charges San Diego-Based Investment Adviser in Cherry-Picking and Soft Dollar Schemes

The Commission today announced charges against a San Diego-based investment advisory firm and its president for allegedly steering winning trades to favored clients and lying about how certain money was being spent.

The SEC' Enforcement Division alleges that J.S. Oliver Capital Management and Ian O. Mausner engaged in a cherry-picking scheme that awarded more profitable trades to hedge funds in which Mausner and his family had invested. Meanwhile they doled out less profitable trades to other clients, including a widow and a charitable foundation. The disfavored clients suffered approximately $10.7 million in harm.

The SEC' Enforcement Division further alleges that Mausner and J.S. Oliver misused soft dollars, which are credits or rebates from a brokerage firm on commissions paid by clients for trades executed in the investment adviser' client accounts. If appropriately disclosed, an investment adviser may retain the soft dollar credits to pay for expenses, including a limited category of brokerage and research services that benefit clients. However, Mausner and J.S. Oliver misappropriated more than $1.1 million in soft dollars for undisclosed purposes that in no way benefited clients, such as a payment to Mausner' ex-wife related to their divorce.

"Mausner' fraudulent schemes were a one-two punch that betrayed his clients and cost them millions of dollars," said Marshall S. Sprung, Co-Chief of the SEC Enforcement Division' Asset Management Unit. "Investment advisers must allocate trades and use soft dollars consistent with their fiduciary duty to put client interests first."

The SEC also charged Douglas F. Drennan, a portfolio manager at J.S. Oliver, for his role in the soft dollar scheme.

According to the SEC' order instituting administrative proceedings, Mausner engaged in the cherry-picking scheme from June 2008 to November 2009 by generally waiting to allocate trades until after the close of trading or the next day. This allowed Mausner to see which securities had appreciated or declined in value, and he gave the more favorably priced securities to the accounts of four J.S. Oliver hedge funds that contained investments from Mausner and his family. Mausner profited by more than $200,000 in fees earned from one of the hedge funds based on the boost in its performance from the winning trades he allocated. Mausner also marketed that same hedge fund to investors by touting the fund' positive returns when in reality those returns merely resulted from the cherry-picking scheme.

According to the SEC' order, the soft dollar scheme occurred from January 2009 to November 2011. Mausner and J.S. Oliver failed to disclose the following uses of soft dollars:

• More than $300,000 that Mausner owed his ex-wife under their divorce agreement.
• More than $300,000 in "rent" for J.S. Oliver to conduct business at Mausner' home. Most of this amount was funneled to Mausner' personal bank account.
• Approximately $480,000 to Drennan' company for outside research and analysis when in reality Drennan was an employee at J.S. Oliver.
• Nearly $40,000 in maintenance and other fees on Mausner' personal timeshare in New York City.

According to the SEC' order, Drennan participated in the soft dollar scheme by submitting false information to support the misuse of soft dollar credits and approving some of the soft dollar payments to his own company.

The SEC' order alleges that J.S. Oliver and Mausner willfully violated the antifraud provisions of the federal securities laws and asserts disclosure, compliance, and recordkeeping violations against them. The SEC' order alleges that Drennan willfully aided, abetted, and caused J.S. Oliver' fraud violations in the soft dollar scheme.

The SEC' investigation, which is continuing, has been conducted by Ronnie Lasky and C. Dabney O'Riordan of the Enforcement Division' Asset Management Unit in the Los Angeles Regional Office. The SEC' litigation will be led by David Van Havermaat, John Bulgozdy, and Ms. Lasky. The examination of J.S. Oliver was conducted by Ashish Ward, Eric Lee, and Pristine Chan of the Los Angeles office' investment adviser/investment company examination program. (Press Rel. 2013-168; IA- 9446)

Commission Rewards Three Whistleblowers Who Helped Stop Sham Hedge Fund

The Commission today announced that three whistleblowers have been awarded more than $25,000 combined for tips and information they provided to help the SEC and Justice Department stop a sham hedge fund.

This is the first installment of anticipated payments to the whistleblowers as additional assets are collected from the purported hedge fund manager. The whistleblowers are expected to ultimately receive approximately $125,000 in total.

The SEC issued an order earlier this summer rewarding each of the three whistleblowers with 5 percent of the money that the SEC ultimately collects from its enforcement action against Locust Offshore Management and its CEO Andrey C. Hicks. In cases where there are related criminal proceedings in which money is collected by another regulator, a provision in the whistleblower rules allows whistleblowers to then additionally apply for an award based off the other regulator' collections in what qualifies as a "related action." The Commission subsequently approved 5 percent payouts to each whistleblower for money collected in the related criminal action.

Hicks pled guilty on Dec. 12, 2012, to five counts of wire fraud and consented to the forfeiture of his interest in property previously seized by the Justice Department. He was sentenced to 40 months in prison. Approximately $170,000 has been administratively forfeited in the criminal proceeding – money that is deemed collected for purposes of issuing whistleblower awards. Therefore, the three whistleblowers will now receive $8,505 each. Additional payments can be made to these whistleblowers upon forfeiture of the additional assets that have been seized. The aggregate value of assets seized from Hicks is estimated to be approximately $845,000, and the whistleblowers are expected to ultimately receive 15 percent of this amount for a combined total of approximately $125,000.

The SEC' order does not identify the whistleblowers, whose confidentiality is protected under the SEC' whistleblower program. The order states that two of the whistleblowers provided information that prompted the SEC to open an investigation and stop the scheme before more investors were harmed. The third whistleblower identified key witnesses and confirmed information the other two whistleblowers provided.

The SEC' whistleblower program is authorized under the law to reward individuals who offer high-quality, original information that leads to an SEC enforcement action in which more than $1 million in sanctions is ordered. More information about the whistleblower program and how to report a tip is available at: http://www.sec.gov/whistleblower (Press Rel. 2013-169; 34-70293)

In the Matter of GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Sections 203(e) and 203(f) of the Investment Advisers Act of 1940 and Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against GEI Financial Services, Inc. (GEI Financial), Norman Goldstein (Goldstein), and Laurie Gatherum (Gatherum) (collectively, Respondents).

The Order alleges that on August 13, 2013 a final judgment by default became effective against GEI Financial, Goldstein, and Gatherum permanently enjoining them from future violations of Sections 204, 204A, 206(1), 206(2), and 206(4) of the Advisers Act and Rules 204-1, 204A-1, 204-2, 204-3, 206(4)-7, and 206(4)-8(a)(1) thereunder, in the civil action entitled Securities and Exchange Commission v. GEI Financial Services, Inc., et al., Civil Action Number 12-CV-7927, in the United States District Court for the Northern District of Illinois. The Order also alleges that the injunctions arose from allegations in the district court action that Respondents took over $147,000 in excessive fees and capital withdrawals from their advisory client, the GEI Health Care Fund 2001, L.P. (the Fund), an unregistered investment pool. According to the district court complaint, Respondents also never told their advisory clients that the State of Illinois revoked Goldstein' securities registrations in 2011, which barred him from providing investment advisory services in Illinois. But even after losing his Illinois registration as an investment adviser representative, Goldstein still made all investment decisions for GEI Financial' clients and the Fund.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true; to provide GEI Financial, Goldstein, and Gatherum with an opportunity to respond to these allegations; and to determine what sanctions, if any, are appropriate and in the public interest. As directed by the Commission, an administrative law judge shall issue an initial decision in this matter no later than 210 days from the date of service of the Order. (Rel. 34-70297)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2013-60) to amend the New York Stock Exchange Price List to provide for fees for a 40 gigabit Liquidity Center Network connection in the exchange data center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70287)

A proposed rule change filed by the NYSE MKT LLC (SR-NYSEMKT-2013-71) to amend the NYSE MKT Equities Price List and NYSE Amex Options Fee Schedule to provide for fees for a 40 gigabit Liquidity Center Network connection in the exchange data center has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70285)

A proposed rule change filed by NYSE MKT LLC to delete certain obsolete rules that relate to its disciplinary proceedings and make a conforming change (SR-NYSEMKT-2013-72) 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 September 2nd. (Rel. 34-70294)

A proposed rule change filed by the Topaz Exchange, LLC (SR-Topaz-2013-03) to amend the Schedule of Fees 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 September 2nd. (Rel. 34-70296)

Notice of Proposed Rule Change

The Depository Trust Company (DTC) filed a proposed rule change (File No. SR-DTC-2013-10) under Section 19(b)(1) of the Securities Exchange Act of 1934 to terminate the Sealed Envelope Service, which is part of DTC' Custody Service. Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70291)

Notice of Designation of Longer Period for Commission Action

The Commission has extended the time for Commission action on proceedings to determine whether to approve or disapprove the proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2013-016) to adopt a directed order process.  Publication is expected in the Federal Register during the week of September 2nd. (Rel. 34-70295)

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.

        92121, 8583208800 - 0 ($4,815,000.00) Equity, (File 333-190878 - 
        Aug. 29) (BR. 11A)

        92121, 8583208800 - 0 ($9,630,000.00) Equity, (File 333-190879 - 
        Aug. 29) (BR. 11A)

S-1     Fidelity & Guaranty Life, 1001 FLEET STREET, 6TH FL, BALTIMORE, MD, 
        21202, 410-895-0100 - 0 ($100,000,000.00) Equity, (File 333-190880 - 
        Aug. 29) (BR. 01)

        ATHENS, J3, 10671, 011-30-210-452-8770 - 
        2,469,551 ($469,214.69) Equity, (File 333-190882 - Aug. 29) (BR. 05B)

        PR, 00926, (787) 759-9999 - 0 ($100,000,000.00) Equity, 
        (File 333-190883 - Aug. 29) (BR. 03A)

S-1     WNS Studios, Inc., 1154 60TH STREET, BROOKLYN, NY, 11219, 
        347-772-1708 - 250,000 ($50,000.00) Equity, (File 333-190886 - Aug. 29) 
        (BR. 05C)

        10,000,000 ($199,300,000.00) Equity, (File 333-190887 - Aug. 29) 
        (BR. 07B)

        M5C 2Y7, 4169471212 - 0 ($94,020,000.00) Other, (File 333-190888 - 
        Aug. 29) (BR. 09B)

        27517-8149, 919-313-6617 - 0 ($1,181,163.00) Equity, (File 333-190890 - 
        Aug. 29) (BR. 01B)

        27517-8149, 919-313-6617 - 0 ($13,660,789.00) Equity, 
        (File 333-190891 - Aug. 29) (BR. 01B)

        703-226-3500 - 0 ($186,782,757.00) Equity, (File 333-190892 - Aug. 29) 
        (BR. 03A)

        60654, 3129510600 - 0 ($75,000,000.00) Equity, (File 333-190893 - 
        Aug. 29) (BR. 05A)

S-4     INGLES MARKETS INC, PO BOX 6676, ASHEVILLE, NC, 28816, 828-669-2941 - 
        1 ($1.00) Debt, (File 333-190895 - Aug. 29) (BR. 02A)

S-8     EveryWare Global, Inc., 519 N. PIERCE AVENUE, LANCASTER, OH, 43130, 
        740-687-2500 - 0 ($14,297,097.96) Equity, (File 333-190896 - Aug. 29) 
        (BR. 02)

S-1     Lipocine Inc., 675 ARAPEEN DRIVE, SUITE 202, SALT LAKE CITY, X1, 84108, 
        801 994 7383 - 6,336,664 ($38,019,984.00) Equity, (File 333-190897 - 
        Aug. 29) (BR. 01A)

        SALT LAKE CITY, UT, 84047, 801-562-2252 - 
        224,213,719 ($17,937,097.52) Equity, (File 333-190898 - Aug. 29) 
        (BR. 02C)


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

1 800 FLOWERS COM INC                   DE       2.02,9.01            08/29/13

ACETO CORP                              NY       2.02,9.01            08/28/13

Actavis, Inc.                           NV       8.01,9.01            08/29/13

AgFeed Industries, Inc.                 NV       5.02,9.01            08/25/13

AIR LEASE CORP                          DE       8.01,9.01            08/26/13

AMBASE CORP                             DE       2.01,9.01            08/29/13    AMEND

AMERICAN DG ENERGY INC                  DE       1.01,3.02,9.01       08/29/13

AMERICAN POWER GROUP Corp               DE       7.01,9.01            08/13/13

AMERICAN SOFTWARE INC                   GA       2.02,9.01            08/29/13

Ameris Bancorp                          GA       1.01,2.03,9.01       08/28/13

Antaga International Corp               NV       5.02,8.01            08/28/13

ARADIGM CORP                            CA       1.01,3.02,5.02,9.01  08/27/13

ARENA PHARMACEUTICALS INC               DE       8.01                 08/28/13

Arista Power, Inc.                      NY       5.02,8.01,9.01       08/27/13

ARKANSAS BEST CORP /DE/                 DE       8.01                 08/28/13

ASBURY AUTOMOTIVE GROUP INC             DE       8.01,9.01            08/29/13

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            08/29/13

ASSURED GUARANTY LTD                    D0       2.02,7.01,9.01       08/29/13

ASTRO MED INC /NEW/                     RI       5.02,9.01            08/29/13

ASTRO MED INC /NEW/                     RI       2.02,9.01            08/29/13

ATMEL CORP                              DE       5.02                 08/23/13

ATWOOD OCEANICS INC                     TX       7.01,9.01            08/28/13

BAHAMAS CONCIERGE, INC.                 NV       4.01,9.01            08/15/13

BALLY TECHNOLOGIES, INC.                NV       1.01,9.01            08/27/13

BankGuam Holding Co                              8.01,9.01            08/26/13

BB&T CORP                               NC       5.03,9.01            08/29/13

bebe stores, inc.                       CA       2.02,9.01            08/29/13

BIO REFERENCE LABORATORIES INC          NJ       2.02,9.01            08/29/13

BIOMET INC                              IN       2.02,9.01            08/29/13    AMEND

BLASTGARD INTERNATIONAL INC             CO       3.02,8.01            08/28/13

BLUE CALYPSO, INC.                      DE       4.02                 08/26/13

Blue Earth, Inc.                        NV       1.01,2.01,9.01       08/23/13

Blue Water Petroleum Corp.                       7.01,9.01            08/29/13

Blueknight Energy Partners, L.P.        DE       5.02                 07/02/13

Bluerock Multifamily Growth REIT, Inc   MD       1.01,1.02,2.01,	 08/23/13

Boardwalk Pipeline Partners, LP         DE       1.01,9.01            08/29/13

BOOKS A MILLION INC                     DE       2.02,9.01            08/27/13    AMEND

Cadista Holdings Inc.                   DE       1.01,5.02            08/23/13

Calamos Asset Management, Inc. /DE/              5.02,9.01            08/29/13

CAMBIUM LEARNING GROUP, INC.                     3.01                 08/28/13

CAMPBELL SOUP CO                        NJ       2.02,9.01            08/29/13

CANNABIS SCIENCE, INC.                  NV       5.02,9.01            05/20/13

Capall Stables, Inc.                    DE       5.06                 08/29/13

CAPSTONE FINANCIAL GROUP, INC.          NV       5.02,5.03,5.07,9.01  08/23/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       5.02,8.01,9.01       08/28/13

CELL THERAPEUTICS INC                   WA       2.02,7.01,9.01       08/29/13

CELLULAR DYNAMICS INTERNATIONAL, INC.   WI       9.01                 08/29/13

CHC Helicopter S.A.                     N4       8.01                 08/23/13

CHICOS FAS INC                          FL       2.02,9.01            08/28/13

CHIPOTLE MEXICAN GRILL INC                       5.02                 08/26/13

CITIZENS HOLDING CO /MS/                MS       7.01,9.01            08/28/13

CNH CAPITAL RECEIVABLES LLC             DE       1.01,9.01            08/29/13

COAST DISTRIBUTION SYSTEM INC           DE       5.07                 08/27/13

CommonWealth REIT                       MD       8.01,9.01            08/27/13

COMMUNITY FINANCIAL SHARES INC          DE       1.01,3.02,8.01,9.01  08/28/13

Comstock Mining Inc.                    NV       8.01,9.01            08/26/13

CONTROL4 CORP                           DE       2.02,9.01            08/29/13

CORINTHIAN COLLEGES INC                          2.02,9.01            08/29/13

Cornerstone Core Properties REIT, Inc   MD       1.01,9.01            08/26/13

COWEN GROUP, INC.                       DE       7.01                 08/29/13

Crexendo, Inc.                          DE       5.02,9.01            08/29/13

CUBIST PHARMACEUTICALS INC              DE       8.01,9.01            08/28/13

Customers Bancorp, Inc.                 PA       1.01,2.03,9.01       08/27/13

CVR ENERGY INC                          DE       4.01,9.01            08/23/13

CVR PARTNERS, LP                        DE       4.01,9.01            08/23/13

CVR Refining, LP                        DE       4.01,9.01            08/23/13

DAEGIS INC.                             DE       2.02,9.01            08/28/13

DELTA APPAREL, INC                      GA       1.01,2.01,2.03,	 08/27/13

DETHRONE ROYALTY HOLDINGS, INC.         NV       1.01,2.03,3.02,9.01  08/26/13

DSI REALTY INCOME FUND IX               CA       4.01                 06/30/13    AMEND

DSI REALTY INCOME FUND VI               CA       4.01                 06/30/13    AMEND

DSI REALTY INCOME FUND VII              CA       4.01                 06/30/13    AMEND

DSI REALTY INCOME FUND VIII             CA       4.01                 06/30/13    AMEND

DSI REALTY INCOME FUND X                CA       4.01                 06/30/13    AMEND

DSI REALTY INCOME FUND XI               CA       4.01                 06/30/13    AMEND

DYAX CORP                               DE       1.02                 08/23/13

DYCOM INDUSTRIES INC                    FL       2.02,7.01,9.01       08/28/13

Eastern Insurance Holdings, Inc.        PA       8.01,9.01            08/29/13

EASTMAN KODAK CO                        NJ       1.03,5.02,9.01       08/23/13

Echo Therapeutics, Inc.                 DE       5.02,9.01            08/29/13

ELEPHANT TALK COMMUNICATIONS CORP       DE       2.03,3.02,9.01       08/28/13

EMC INSURANCE GROUP INC                 IA       7.01,9.01            08/29/13

Emerge Energy Services LP               DE       7.01                 08/28/13

EMPIRE STATE BUILDING ASSOCIATES L.L.   NY       5.07                 08/29/13

ENDURANCE SPECIALTY HOLDINGS LTD        D0       7.01,9.01            08/29/13

Ener-Core Inc.                          NV       1.01,2.01,3.02,	 07/01/13    AMEND

ENERGEN CORP                            AL       7.01,9.01            08/28/13

Energiz Renewable, Inc.                 FL       8.01                 08/28/13

ENERGY HOLDINGS INTERNATIONAL, INC.     NV       9.01                 08/07/13

ENOVA SYSTEMS INC                       CA       5.02,9.01            08/27/13

ESTERLINE TECHNOLOGIES CORP             DE       2.02,9.01            08/29/13

EWaste Systems, Inc.                    NV       3.02,9.01            08/19/13

EXA CORP                                MA       5.07                 08/28/13

Extra Space Storage Inc.                MD       1.01,3.02,5.02,	 08/26/13

Federal Home Loan Bank of Atlanta       X1       2.03                 08/26/13

Federal Home Loan Bank of Boston        X1       2.03                 08/23/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            08/27/13

Federal Home Loan Bank of New York      X1       2.03,9.01            08/26/13

Federal Home Loan Bank of Pittsburgh    PA       7.01,9.01            08/29/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/26/13

Federal Home Loan Bank of San Francis   X1       2.03                 08/26/13

Federal Home Loan Bank of Seattle                2.03                 08/27/13

FEDERAL MOGUL CORP                      DE       5.02                 08/26/13

FINJAN HOLDINGS, INC.                   DE       8.01,9.01            08/28/13

FIRST OF LONG ISLAND CORP               NY       5.02,9.01            08/28/13

FIRST REGIONAL BANCORP                  CA       1.03,9.01            08/23/13

FIRST TRUST ENHANCED EQUITY INCOME FU            7.01,9.01            08/29/13

Fortegra Financial Corp                 DE       5.02                 08/23/13

FREDS INC                               TN       2.02,9.01            08/29/13

FS Investment CORP                      MD       5.07                 08/28/13

FURNITURE BRANDS INTERNATIONAL INC      DE       5.02                 08/23/13

GENESCO INC                             TN       2.02,9.01            08/29/13

GIBRALTAR INDUSTRIES, INC.              DE       8.01,9.01            08/29/13

GLADSTONE COMMERCIAL CORP               MD       9.01                 07/09/13    AMEND

GLOBECOMM SYSTEMS INC                            1.01,5.01,9.01       08/25/13

Granite Falls Energy, LLC               MN       7.01,9.01            08/29/13

GRIFFIN LAND & NURSERIES INC            DE       1.01,2.03,7.01,9.01  08/28/13

HACKETT GROUP, INC.                     FL       1.01,2.03,9.01       08/27/13

HARBINGER GROUP INC.                    DE       7.01                 08/28/13

HARVARD BIOSCIENCE INC                  DE       5.02,9.01            08/26/13

HCI Group, Inc.                         FL       1.01,8.01,9.01       08/29/13

Heavy Earth Resources, Inc.             FL       1.01,2.01,8.01,9.01  08/29/13

HESKA CORP                              DE       1.01,9.01            06/17/13    AMEND

HOPFED BANCORP INC                      DE       8.01,9.01            08/29/13

HOST HOTELS & RESORTS, INC.             MD       8.01,9.01            08/29/13

ICAHN ENTERPRISES L.P.                  DE       4.01,9.01            08/23/13

ICON LEASING FUND TWELVE, LLC           DE       8.01                 08/28/13

IMMUNE PHARMACEUTICALS INC                       1.01,2.01,2.03,	 08/23/13

INDEPENDENT BANK CORP /MI/              MI       8.01,9.01            08/29/13

INERGY L P                              DE       9.01                 06/19/13    AMEND

InfuSystem Holdings, Inc                DE       7.01,9.01            08/29/13

INLAND REAL ESTATE CORP                 MD       1.01,2.03,9.01       08/23/13

INNOSPEC INC.                           DE       1.01,9.01            08/28/13
Innovaro, Inc.                                   2.03,9.01            08/15/13

Intcomex, Inc.                          DE       5.02,9.01            08/23/13

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       3.02                 08/23/13

Inteliquent, Inc.                                8.01,9.01            08/29/13

IsoRay, Inc.                            MN       1.01,1.02,3.03,	 08/28/13

JAMESON STANFORD RESOURCES Corp                  1.01,2.03,3.02,	 08/19/13

JTH Holding, Inc.                       DE       1.01,9.01            08/29/13

K12 INC                                 DE       2.02,9.01            08/29/13

K12 INC                                 DE       8.01,9.01            08/29/13

KBR, INC.                               DE       8.01,9.01            08/27/13

KEWAUNEE SCIENTIFIC CORP /DE/           DE       2.02,9.01            08/27/13

KFORCE INC                              FL       5.02                 08/19/13

Kior Inc                                DE       3.02,9.01            08/27/13

KRISPY KREME DOUGHNUTS INC              NC       2.02,7.01,9.01       08/29/13

Lantheus Medical Imaging, Inc.          DE       5.02                 08/23/13

LANTRONIX INC                           DE       2.02,9.01            08/29/13

LAS VEGAS SANDS CORP                    NV       7.01,9.01            08/29/13

LAYNE CHRISTENSEN CO                    DE       5.02,9.01            08/23/13

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            08/26/13

Maidenform Brands, Inc.                 DE       8.01,9.01            08/28/13

MATRIX SERVICE CO                       DE       5.02                 08/29/13

MECHANICAL TECHNOLOGY INC               NY       5.02                 08/28/13

METHODE ELECTRONICS INC                 DE       2.02,9.01            08/29/13

MGC DIAGNOSTICS Corp                    MN       2.02,9.01            08/29/13

MIAMI DAYS CORP.                        NV       7.01                 08/29/13

MICHAELS STORES INC                     DE       2.02,9.01            08/29/13

Minerco Resources, Inc.                 NV       8.01,9.01            08/01/13

MITEL NETWORKS CORP                              2.02,9.01            08/29/13

Morningstar, Inc.                       IL       8.01,9.01            08/29/13

MVP REIT, Inc.                          MD       2.01                 08/29/13

N-VIRO INTERNATIONAL CORP               DE       1.01                 08/23/13

NATIONAL HOLDINGS CORP                  DE       1.01,3.02,9.01       08/28/13

NEOMEDIA TECHNOLOGIES INC               DE       7.01,9.01            08/27/13

Neurotrope, Inc.                        NV       1.01,2.01,3.02,	 08/23/13

NORTHERN MINERALS & EXPLORATION LTD.    NV       1.01,9.01            08/26/13

NORTHWEST PIPE CO                       OR       5.02                 08/27/13

OFFICE DEPOT INC                        DE       7.01,9.01            08/29/13

OMNIVISION TECHNOLOGIES INC             DE       2.02,9.01            08/29/13

Oneida Resources Corp.                  DE       1.01,9.01            08/23/13

Optex Systems Holdings Inc              DE       4.01,9.01            08/28/13

OVERSEAS SHIPHOLDING GROUP INC          DE       7.01,9.01            08/29/13

P2 Solar, Inc.                          DE       4.01,9.01            08/15/13    AMEND

PACIFIC SUNWEAR OF CALIFORNIA INC       CA       2.02,9.01            08/29/13

PALL CORP                               NY       2.02,9.01            08/29/13

Pebblebrook Hotel Trust                 MD       7.01,8.01,9.01       08/28/13

PENFORD CORP                            WA       5.02,9.01            08/28/13

PHARMACYCLICS INC                       DE       8.01,9.01            08/29/13

Poage Bankshares, Inc.                  MD       5.03,8.01,9.01       08/24/13

PostRock Energy Corp                    DE       8.01,9.01            08/23/13

PREFERRED APARTMENT COMMUNITIES INC     MD       2.01,9.01            06/14/13    AMEND

Premiere Opportunities Group, Inc.      NV       4.01,9.01            08/29/13

QEP RESOURCES, INC.                     DE       5.02                 08/28/13

READING INTERNATIONAL INC               NV       9.01                 08/29/13    AMEND

RECOVERY ENERGY, INC.                   NV       7.01                 08/29/13

REXAHN PHARMACEUTICALS, INC.            DE       1.02,7.01,9.01       08/25/13

Rockwood Holdings, Inc.                 DE       5.02,5.03,		 08/26/13

ROLLINS INC                             DE       8.01,9.01            08/26/13

SAExploration Holdings, Inc.            DE       2.02,9.01            08/27/13

SAJAN INC                               DE       5.02,9.01            08/26/13

SALESFORCE COM INC                      DE       2.02,9.01            08/29/13

SANDY SPRING BANCORP INC                MD       8.01,9.01            08/29/13

SERVICEMASTER CO                        DE       5.02,9.01            08/26/13

SHILOH INDUSTRIES INC                   DE       2.02                 08/29/13

SHOE CARNIVAL INC                       IN       2.02,9.01            08/29/13

SIGNET JEWELERS LTD                              2.02,9.01            08/29/13

SIMMONS FIRST NATIONAL CORP             AR       8.01,9.01            08/29/13

SMTP, Inc.                              DE       7.01,9.01            08/29/13

SNYDER'S-LANCE, INC.                    NC       1.01,9.01            08/23/13

Solaris Power Cells, Inc.                        1.01,2.01,3.02,	 08/23/13

SOUTHWEST GEORGIA FINANCIAL CORP        GA       8.01,9.01            08/29/13

Spectra Energy Partners, LP             DE       8.01,9.01            08/02/13    AMEND

SPLUNK INC                                       2.02,9.01            08/29/13

STATE BANK FINANCIAL CORP               GA       5.02,8.01,9.01       08/23/13

Steel Excel Inc.                        DE       2.01,8.01,9.01       08/23/13

STEWART INFORMATION SERVICES CORP       DE       5.02,9.01            08/23/13

Strategic Storage Trust, Inc.           MD       7.01,9.01            08/29/13

SUPERTEL HOSPITALITY INC                VA       3.01,5.03,8.01,9.01  08/29/13

SUPERTEL HOSPITALITY INC                VA       8.01,9.01            08/29/13

SYNALLOY CORP                           DE       1.01,2.01,2.03,9.01  08/26/13

Tanke Biosciences Corp                  NV       1.01                 08/23/13

THERMOGENESIS CORP                      DE       1.02,2.02,9.01       08/26/13

Tierra Grande Resources Inc.            NV       7.01,9.01            08/29/13

Tiger Oil & Energy, Inc.                         1.01                 08/21/13

Tonix Pharmaceuticals Holding Corp.     NV       7.01,9.01            08/29/13

TRACTOR SUPPLY CO /DE/                  DE       8.01,9.01            08/29/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            08/29/13

U S GLOBAL INVESTORS INC                TX       2.02,9.01            08/28/13

United Development Funding IV           MD       5.02                 08/27/13

United States Brent Oil Fund, LP        DE       8.01                 08/29/13

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       9.01                 08/29/13

VALLEY NATIONAL BANCORP                 NJ       8.01,9.01            08/28/13

Vestin Realty Mortgage I, Inc.                   2.01                 08/29/13

Vestin Realty Mortgage II, Inc          MD       2.01                 08/29/13

VIASPACE Inc.                                    1.01,3.02,9.01       08/28/13

VII Peaks-KBR Co-Optivist Income BDC    MD       5.02                 08/28/13

Warner Chilcott plc                              8.01,9.01            08/29/13

WCI Communities, Inc.                   DE       1.01,2.03,9.01       08/27/13

Westinghouse Solar, Inc.                DE       8.01                 08/23/13

WFRBS Commercial Mortgage Trust 2012-   NC       6.02                 08/29/13

Wikifamilies, Inc.                      NV       5.07                 08/27/13

WMS INDUSTRIES INC /DE/                 DE       2.02,9.01            08/29/13

WORLD ACCEPTANCE CORP                   SC       5.07,8.01            08/29/13

World Surveillance Group Inc.           DE       1.01,9.01            08/27/13

WSFS FINANCIAL CORP                     DE       8.01,9.01            08/26/13

XCEL ENERGY INC                         MN       8.01                 08/22/13

ZAIS Financial Corp.                    MD       8.01                 08/28/13

ZOGENIX, INC.                           DE       1.01                 08/26/13


Modified: 09/05/2013