Commission Suspends Trading in the Securities of North China Horticulture, Inc. for Failure to Make Required Periodic Filings
The Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of North China Horticulture, Inc. (IDCX), commencing at 9:30 a.m. EDT on September 6, 2013 and terminating at 11:59 p.m. EDT on September 19, 2013.
The Commission temporarily suspended trading in the securities of IDCX due to a lack of current and accurate information about the company because it has not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-70334)
Commission Charges Former Vice President of Investor Relations with Violating Fair Disclosure Rules
The Commission today charged the former head of investor relations for a Tempe, Ariz.-based solar energy company with violating rules requiring fair disclosure of information when he alerted certain analysts and investors about an upcoming major development.
Regulation FD requires material nonpublic information to be disclosed publicly in a broad manner and not selectively. An SEC investigation determined that Lawrence D. Polizzotto, a former vice president at First Solar Inc., violated Regulation FD when he indicated in phone conversations with some analysts and investors that the company was unlikely to receive a much-anticipated loan guarantee from the U.S. Department of Energy. When First Solar broadly disclosed this material information in a press release the next morning, its stock price dropped 6 percent.
Polizzotto agreed to pay $50,000 to settle the SEC's charges.
"Polizzotto offered previously undisclosed information to select analysts and institutional investors and left the rest of First Solar's investors in the dark," said Michele Wein Layne, Director of the SEC's Los Angeles Office. "All investors, regardless of their size or relationship with the company, are entitled to the same information at the same time."
According to the SEC's order instituting a settled administrative proceeding, Polizzotto attended an investor conference on Sept. 13, 2011, with First Solar's then-CEO, who publicly expressed confidence that the company would receive three loan guarantees totaling approximately $4.5 billion for which the company had received conditional commitments from the Energy Department. However, two days later, Polizzotto and several other executives learned that the company would not be receiving at least one of the loan guarantees. A group of employees including Polizzotto and one of First Solar's in-house lawyers began discussing how and when the company should publicly disclose the loss of the loan guarantee. The company lawyer specifically noted that when the company received official notice from the Energy Department, "we would not have to issue a press release or post something to our website the same day. We would, though, be restricted by Regulation FD in any [sic] answering questions asked by analysts, investors, etc. until such time that we do issue a press release or post to our website…"
According to the SEC's order, Polizzotto violated Regulation FD during one-on-one phone conversations with approximately 20 sell-side analysts and institutional investors on Sept. 21, 2011 - the day after a Congressional committee sent a letter to the Energy Department inquiring about its loan guarantee program and the status of conditional commitments, including three involving First Solar. This Congressional line of inquiry caused concern within the solar industry about whether the Energy Department would be able to move forward with its conditional commitments. Analysts began issuing research reports about the Congressional inquiry, and analysts and investors began calling Polizzotto. Despite knowing that the company had not yet publicly disclosed anything, Polizzotto drafted several talking points that effectively signaled that First Solar would not receive one of the three loan guarantees. His talking points emphasized the high probability of receiving two of the loan guarantees and the low probability of receiving the third. Polizzotto delivered his talking points in the one-on-one calls with analysts and institutional investors, and he directed a subordinate to do the same. Polizzotto went even further than his talking points when he told at least one analyst and one institutional investor that if they wanted to be conservative, they should assume that First Solar would not receive one of the loan guarantees.
Polizzotto agreed to settle the SEC's charges without admitting or denying the findings. In addition to the $50,000 penalty, he agreed to cease and desist from causing any violations and any future violations of Regulation FD and Section 13(a) of the Securities and Exchange Act of 1934.
The SEC has determined not to bring an enforcement action against First Solar due to the company's extraordinary cooperation with the investigation among several other factors. Prior to Polizzotto's selective disclosure on September 21, First Solar cultivated an environment of compliance through the use of a disclosure committee that focused on compliance with Regulation FD. The company immediately discovered Polizzotto's selective disclosure and promptly issued a press release the next morning before the market opened. First Solar then quickly self-reported the misconduct to the SEC. Concurrent with the SEC's investigation, First Solar undertook remedial measures to address the improper conduct. For example, the company conducted additional Regulation FD training for employees responsible for public disclosure.
Commission Sanctions Investment Adviser for Best Execution Failures
On September 6, 2013, the Commission issued an order instituting settled administrative proceedings against Ralph A. Saviano, who conducted business as an investment adviser and was associated with a dually registered investment adviser and broker-dealer as an independent contractor. On June 5, 2013, Saviano pled guilty in U.S. District Court for the District of New Jersey to one count of wire fraud in violation of 18 U.S.C. Section 1343 in connection with his conduct as an investment adviser. In addition to pleading guilty to wire fraud involving two former clients, Saviano agreed to a sentencing guideline offense level that results in a guideline range between 27 and 33 months, the entry of a forfeiture money judgment in the amount of $699,926.51 and an order of restitution for the same amount. In the Order, the Commission barred Saviano from (i) association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and (ii) participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rel. 34-70338)
Commission Orders Hearings on Registration Suspension or Revocation against North China Horticulture, Inc. for Failure to Make Required Periodic Filings
In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of North China Horticulture, Inc. (IDCX) for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that IDCX is delinquent in its 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 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 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent 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. In the Matter of North China Horticulture, Inc., Administrative Proceeding File No. 3-15457. (Rel. 34-70333)
In the Matter of David G. Bartholomew
On September 6, 2013 the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against David G. Bartholomew. The Order finds that Bartholomew was enjoined from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. Mowen, et al., Case No. 2:09-cv-00786-DB (D. UT). The Order further finds that the Commission's complaint in SEC v. Mowen alleged, among other things, that Bartholomew offered and sold purported high-yield promissory notes to investors using private placement memoranda that falsely stated that all the investors' funds were being used to make collateralized domestic real estate and small business loans. Bartholomew's private placement memoranda also falsely represented that Bartholomew would perform due diligence on the purported investment opportunity, when in fact he performed virtually none. Contrary to the representations made to investors, the majority of funds raised were given to Thomas R. Fry, who funneled them to Jeffrey L. Mowen, a convicted felon and securities law recidivist who was operating a Ponzi scheme. While engaging in these securities sales, Bartholomew was not registered as broker-dealer nor associated with a registered broker dealer.
Based on the above, the Order bars Bartholomew from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock. Bartholomew consented to the issuance of the Order without admitting or denying the findings in the Order except he admitted the entry of the judgment against him. (Rel. 34-70340)
In the Matter of Timothy M. McGinn and David L. Smith
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Timothy M. McGinn and David L. Smith.
In the Order, the Division of Enforcement (Division) alleges that McGinn and Smith were the founders and primary owners of McGinn, Smith & Co., Inc. (MS & Co.), a broker-dealer based in Albany, NY. McGinn and Smith were registered from 1981 through August 20102, and were associated with MS & Co. during that time. McGinn and Smith were also indirect owners of McGinn Smith Advisors, LLC, which was registered with the Commission as an investment advisor from January 2006 to April 2009. On February 6, 2013, following a four-week trial in United States v. David L. Smith and Timothy M. McGinn, 12-cr-0028 (N.D.N.Y.) (DNH), a jury in the United States District Court for the Northern District of New York found McGinn and Smith guilty on multiple counts charged in the Superseding Indictment, including conspiracy to commit mail and wire fraud, mail fraud, wire fraud, securities fraud and filing a false tax return. On August 13, 2013, the Court entered judgments against McGinn and Smith. McGinn was sentenced to a prison term of 180 months, and ordered to pay a fine of $100,000 and restitution of $5,992,800. Smith was sentenced a prison term of 120 months, and ordered to pay a fine of $50,000 and restitution of $5,989,726. The counts of the Superseding Indictment to which McGinn and Smith were found guilty alleged, among other things, that through various securities offerings from 2006 through 2009 they devised schemes to defraud investors, made misrepresentations and omissions in private placement memoranda, and misused investor funds.
A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide McGinn and Smith an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial 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. For more information about this matter, please see Press Release No. 2010-62 (Apr. 20, 2010). (Rel. 34-70341)
In the Matter of John A. Picini
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against John A. Picini, a resident of North Attleboro, Massachusetts. The Order finds that on April 3, 2013, Picini pled guilty to five counts of mail fraud and three counts of tax evasion before the United States District Court for the District of Massachusetts in U.S. v. John A. Picini, No. 13-CR-10061 (D. Mass). The Order further finds that the counts of the criminal information to which Picini pled guilty alleged that Picini advised clients to liquidate retirement funds that were invested in annuities or other tax deferred investment vehicles and to reinvest the funds in purported investment accounts supposedly managed by Picini. Contrary to his representations, he used his clients' funds to pay his personal expenses.
Based on the above, the Order bars Picini from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Picini consented to the issuance of the Order. (Rel. 34-70344)
In the Matter of Victor Manuel Rivera, Jr.
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Victor Manuel Rivera, Jr., a resident of Clifton, New Jersey. The Order finds that, on Feb. 28, 2012, Rivera pled guilty to one count of wire fraud before the United States District Court for the District of New Jersey, in United States v. Victor Manuel Rivera, Jr., 2:12-cr-00150-WJM (D.N.J.). The Order further finds that the count of the criminal information to which Rivera pled guilty alleged that from October 2008 through October 2010, Rivera defrauded investors and obtained money and property by means of materially false and misleading statements, and that he transmitted by wire funds in interstate commerce from the defrauded investors without their knowledge or authorization, to a bank account Rivera controlled.
Based on the above, the Order bars Rivera from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Rivera consented to the issuance of the Order. (Rel. 34-70343)
Immediate Effectiveness of Proposed Rule Change
The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding enhancements to CME's Price Quality Auction process for CDS index products. Publication is expected in the Federal Register during the week of September 9th. (Rel. 34-70336)
A proposed rule change filed by International Securities Exchange, LLC relating to $0.50 and $1 strike price intervals for classes in the Short Term Option Series Program (SR-ISE-2013-47) 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 9th. (Rel. 34-70335)
A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-051) to amend fees assessed for connectivity to the Exchange under Rule 7015 and amend the fees assessed and credits paid under Exchange Rule 7018(a) 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 9th. (Rel. 34-70339)
Approval of a Proposed Rule Change
The Commission approved a proposed rule change (SR-NYSEArca-2013-71) submitted by NYSE Arca, Inc. to List and Trade Shares of the SPDR SSgA Ultra Short Term Bond ETF; SPDR SSgA Conservative Ultra Short Term Bond ETF; and SPDR SSgA Aggressive Ultra Short Term Bond ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of September 9th. (Rel. 34-70342)
The Commission approved a proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-029), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, relating to the dissemination of transactions in TRACE-eligible securities that are effected pursuant to Securities Act Rule 144A. Publication is expected in the Federal Register during the week of September 9th. (Rel. 34-70345)
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-4 INERGY MIDSTREAM, L.P., TWO BRUSH CREEK BLVD, SUITE 200, KANSAS CITY, MO, 64112, 816-842-8181 - 0 ($500,000,000.00) Non-Convertible Debt, (File 333-190997 - Sep. 5) (BR. 02C) S-1 ASC Acquisition LLC, 301 Commerce Street, Suite 3300, Fort Worth, TX, 76102, (817) 871-4000 - 0 ($100,000,000.00) Equity, (File 333-190998 - Sep. 5) (BR. 01B) S-1 APPYEA, INC, 777 MAIN STREET, SUITE 600, FORT WORTH, TX, 76102, 817 887 8142 - 699,444 ($349,722.00) Equity, (File 333-190999 - Sep. 5) (BR. 03) S-3 SPHERIX INC, 6430 ROCKLEDGE DRIVE, #503, BETHESDA, MD, 20817, 301-897-2540 - 176,991 ($2,106,193.00) Equity, (File 333-191002 - Sep. 5) (BR. 09B) S-1 IRELAND INC., 2360 WEST HORIZON RIDGE PARKWAY, SUITE 100, HENDERSON, NV, 89052, 702-932-0353 - 26,223,810 ($7,080,428.70) Equity, (File 333-191003 - Sep. 5) (BR. 09A) S-1 Citizens Independent Bancorp, Inc., 188 WEST MAIN STREET, LOGAN, OH, 43137, (740) 385-8561 - 0 ($9,000,000.00) Equity, (File 333-191004 - Sep. 5) (BR. 07) S-8 FINISAR CORP, 1389 MOFFETT PARK DR, SUNNYVALE, CA, 94089, 4085481000 - 0 ($126,522,515.00) Equity, (File 333-191005 - Sep. 5) (BR. 10A) N-2 BMO Lloyd George Frontier Markets Equity Fund, 111 EAST KILBOURN AVENUE, SUITE 200, MILWAUKEE, WI, 53202, 1-800-236-3863 - 100,000 ($1,000,000.00) Equity, (File 333-191008 - Sep. 5) (BR. ) S-3 PACIFIC MERCANTILE BANCORP, 949 SOUTH COAST DRIVE, THIRD FLOOR, COSTA MESA, CA, 92626, 714-438-2500 - 0 ($13,599,999.00) Equity, (File 333-191009 - Sep. 5) (BR. 07C) S-8 SafeStitch Medical, Inc., 4400 BISCAYNE BLVD., SUITE A-100, MIAMI, FL, 33137, 305-575-4600 - 15,680,775 ($2,038,500.75) Equity, (File 333-191011 - Sep. 5) (BR. 08C) S-8 VASCULAR SOLUTIONS INC, 6464 SYCAMORE COURT NORTH, MINNEAPOLIS, MN, 55369, 7636564300 - 1,000,000 ($16,200,000.00) Equity, (File 333-191012 - Sep. 5) (BR. 10B) S-8 HARMONIC ENERGY, INC., 3RD FLOOR, 207 REGENT STREET, LONDON, X0, W1B 3HH, 44 (0) 20 7617 7300 - 7,403,726 ($208,044.70) Equity, (File 333-191013 - Sep. 5) (BR. 05B) S-3 AMERICA FIRST TAX EXEMPT INVESTORS LP, 1004 FARNAM ST, STE 400, OMAHA, NE, 68102, 4024441630 - 0 ($225,000,000.00) Equity, (File 333-191014 - Sep. 5) (BR. 07B) S-11 American Homes 4 Rent, 30601 WEST AGOURA ROAD, SUITE 200, AGOURA HILLS, CA, 91301, (805) 413-5300 - 0 ($100,000,000.00) Equity, (File 333-191015 - Sep. 5) (BR. 08C) S-8 RENASANT CORP, 209 TROY STREET, TUPELO, MS, 38804-4827, (662) 680-1001 - 60,000 ($1,524,000.00) Equity, (File 333-191017 - Sep. 5) (BR. 07B) S-1 Falconridge Oil Technologies Corp., 575 ANTON BLVD., STE. 300, COSTA MESA, CA, 92626, (714) 276-0202 - 19,431,000 ($9,730,500.00) Equity, (File 333-191018 - Sep. 5) (BR. 04A)
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 ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01,9.01 08/29/13 ADDVANTAGE TECHNOLOGIES GROUP INC OK 7.01,9.01 09/03/13 AGENUS INC DE 8.01,9.01 09/05/13 AgFeed Industries, Inc. NV 8.01 08/29/13 ALEXANDRIA REAL ESTATE EQUITIES INC MD 1.01,2.03 08/30/13 ALL GRADE MINING, INC. CO 3.03 08/26/13 ALLEGHANY CORP /DE DE 8.01 09/04/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/05/13 ALLIANT TECHSYSTEMS INC DE 1.01,8.01,9.01 09/04/13 AMARILLO BIOSCIENCES INC TX 5.02 09/05/13 AMBARELLA INC 2.02,9.01 09/05/13 AMERCO /NV/ NV 5.03,9.01 09/04/13 AMERICAN APPAREL, INC DE 7.01,9.01 09/05/13 AMERICAN MEDIA INC DE 5.02 09/03/13 American Realty Capital Global Trust, 1.01,2.01, 08/29/13 2.03,8.01,9.01 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01,9.01 09/05/13 American Realty Capital Properties, I MD 8.01,9.01 09/05/13 American Realty Capital Trust V, Inc. MD 8.01,9.01 09/05/13 Ampio Pharmaceuticals, Inc. DE 8.01 08/30/13 Aon plc X0 8.01 09/04/13 Applied Nanotech Holdings, Inc TX 5.02 09/03/13 Applied Nanotech Holdings, Inc TX 8.01 09/05/13 ARCH CAPITAL GROUP LTD. 8.01 09/05/13 ARTHROCARE CORP DE 7.01 08/30/13 Astex Pharmaceuticals, Inc DE 1.01,5.02,8.01,9.01 09/05/13 ATLANTIC POWER CORP A1 5.02,9.01 08/30/13 AUTONATION, INC. DE 7.01,9.01 09/05/13 Avago Technologies LTD U0 1.01,5.02,8.01,9.01 08/29/13 AVID TECHNOLOGY, INC. DE 3.01,9.01 09/05/13 Bacterin International Holdings, Inc. DE 7.01,9.01 09/04/13 Baltic Trading Ltd 1T 1.01,2.01,2.03,9.01 08/29/13 BANC OF CALIFORNIA, INC. MD 8.01,9.01 09/05/13 BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 09/05/13 BARRY R G CORP /OH/ OH 2.02,9.01 09/05/13 BIG LOTS INC OH 2.02,9.01 08/30/13 BIOMEDICAL TECHNOLOGY SOLUTIONS HOLDI CO 1.01,9.01 08/30/13 BLONDER TONGUE LABORATORIES INC DE 8.01,9.01 09/05/13 Blue Earth, Inc. NV 1.01,9.01 08/30/13 BMB MUNAI INC NV 4.01,9.01 09/01/13 BOLDFACE GROUP, INC. NV 1.01,2.03,3.02,9.01 08/29/13 Bridgepoint Education Inc DE 8.01,9.01 09/04/13 CACI INTERNATIONAL INC /DE/ DE 5.02 08/29/13 CANADIAN DERIVATIVES CLEARING CORP A6 9.01 08/31/13 CAPSTONE TURBINE Corp DE 5.07 08/29/13 CASPIAN SERVICES INC NV 4.01,9.01 09/01/13 CATALYST PHARMACEUTICAL PARTNERS, INC DE 1.01,9.01 09/05/13 CECO ENVIRONMENTAL CORP DE 5.02 09/03/13 Cellular Biomedicine Group, Inc. DE 1.01,3.02 08/29/13 CENTURY PROPERTIES GROWTH FUND XXII CA 2.01 08/29/13 CHEMBIO DIAGNOSTICS, INC. NV 5.02 09/05/13 CHINDEX INTERNATIONAL INC DE 5.02 08/29/13 ChyronHego Corp NY 5.02,9.01 09/04/13 CIG WIRELESS CORP. NY 1.02,5.02 08/29/13 CLEVELAND BIOLABS INC DE 5.02 08/30/13 CLEVELAND BIOLABS INC DE 1.01,2.03,3.02,9.01 09/03/13 CNL Healthcare Properties, Inc. MD 2.01,9.01 08/29/13 CODESMART HOLDINGS, INC. FL 3.02,9.01 08/29/13 COMARCO INC CA 8.01 08/29/13 COMMODITY ADVISORS FUND L.P. NY 3.02 09/01/13 COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 09/05/13 AMEND CONNECTICUT WATER SERVICE INC / CT CT 8.01,9.01 09/05/13 CONNS INC DE 2.02,9.01 09/05/13 Constellation Energy Partners LLC DE 8.01,9.01 09/05/13 COOPER COMPANIES INC DE 2.02,9.01 09/05/13 CorMedix Inc. DE 8.01,9.01 09/05/13 Corporate Capital Trust, Inc. MD 1.01,2.03,9.01 08/29/13 Corporate Resource Services, Inc. DE 8.01,9.01 09/05/13 CORVEL CORP DE 1.01,2.03,9.01 09/01/13 CRAILAR TECHNOLOGIES INC A1 7.01,9.01 09/05/13 CREE INC NC 5.02,9.01 08/30/13 CU Bancorp CA 5.07 08/20/13 CUBIST PHARMACEUTICALS INC DE 1.01,2.03, 09/03/13 3.02,8.01,9.01 DENNYS CORP DE 8.01 09/04/13 DERMA SCIENCES, INC. PA 1.01,9.01 09/03/13 Digimarc CORP OR 5.02 09/03/13 DIRECT INSITE CORP DE 5.02 08/29/13 DYNARESOURCE INC DE 7.01,9.01 09/05/13 DYNARESOURCE INC DE 7.01,9.01 09/05/13 DYNARESOURCE INC DE 7.01,9.01 09/05/13 DYNARESOURCE INC DE 7.01,9.01 09/05/13 EDISON INTERNATIONAL CA 5.02,9.01 09/05/13 ELEPHANT TALK COMMUNICATIONS CORP DE 3.01,7.01,9.01 08/30/13 ENCISION INC CO 5.02,9.01 08/31/13 ENVESTNET, INC. DE 9.01 07/01/13 AMEND EPIQ SYSTEMS INC MO 7.01,9.01 09/05/13 Explortex Energy Inc. NV 8.01 09/05/13 Federal Home Loan Bank of Atlanta X1 2.03 09/03/13 Federal Home Loan Bank of Boston X1 2.03 08/30/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/05/13 Federal Home Loan Bank of New York X1 2.03,9.01 08/30/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/30/13 Federal Home Loan Bank of San Francis X1 2.03 09/03/13 Federal Home Loan Bank of Seattle 2.03 09/03/13 Federal Home Loan Bank of Topeka 2.03,9.01 09/03/13 FINISAR CORP DE 2.02,9.01 09/05/13 FINISAR CORP DE 5.07 09/03/13 Five Oaks Investment Corp. MD 7.01,9.01 09/04/13 FNB CORP/FL/ FL 8.01,9.01 09/05/13 FNB CORP/FL/ FL 8.01,9.01 09/05/13 AMEND FOREST CITY ENTERPRISES INC OH 2.02,9.01 09/05/13 FOREST CITY ENTERPRISES INC OH 2.02,9.01 09/05/13 Fortress Investment Group LLC DE 7.01 09/05/13 FRAC WATER SYSTEMS, INC. NV 5.03,9.01 08/30/13 Francesca's Holdings CORP 8.01,9.01 09/04/13 Fraternity Community Bancorp Inc 5.02,9.01 08/29/13 FRESH START PRIVATE MANAGEMENT, INC. NV 8.01,9.01 08/28/13 FUTURES PORTFOLIO FUND L.P. MD 3.02 09/01/13 GAP INC DE 7.01,9.01 09/05/13 General Motors Co 8.01 09/04/13 GENVEC INC DE 5.03,7.01,8.01,9.01 09/03/13 GILLA INC. NV 3.02 09/03/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 08/30/13 GREENLITE VENTURES INC NV 1.01,1.02,5.02,9.01 08/22/13 GreenPlex Services, Inc. NV 1.01,3.02 08/30/13 Guardian 8 Holdings NV 1.01,2.03,9.01 08/26/13 HAIN CELESTIAL GROUP INC DE 8.01,9.01 09/03/13 HASCO Medical, Inc. FL 2.01 09/05/13 Hawaiian Telcom Holdco, Inc. DE 8.01,9.01 09/05/13 HBP Energy Corp. NY 5.03,5.07,8.01,9.01 08/29/13 Hedge Fund Managers (Diversified) LLC DE 7.01 09/05/13 Helios & Matheson Analytics Inc. DE 1.01,9.01 08/30/13 Hydrodynex, Inc. NV 1.01,3.02 08/30/13 IMMUNOMEDICS INC DE 1.01,5.02,9.01 09/03/13 INFOBLOX INC 2.02,9.01 09/05/13 Inland American Real Estate Trust, In MD 1.01,1.02,9.01 08/28/13 AMEND Innolog Holdings Corp. NV 1.03,5.02 09/05/13 Intra-Cellular Therapies, Inc. DE 1.01,2.01,3.02, 08/29/13 4.01,5.01,5.02,5.03,5.06,9.01 InvenSense Inc DE 5.02,8.01,9.01 09/04/13 iTalk Inc. NV 8.01,9.01 09/03/13 John Bean Technologies CORP DE 7.01,9.01 09/05/13 Joway Health Industries Group Inc NV 5.02 08/30/13 KAYDON CORP DE 1.01,3.02, 09/05/13 5.01,8.01,9.01 KBR, INC. DE 5.02 09/05/13 KORN FERRY INTERNATIONAL DE 2.02,9.01 09/05/13 KV PHARMACEUTICAL CO /DE/ DE 1.03,9.01 08/29/13 L2 MEDICAL DEVELOPMENT CO NV 7.01,9.01 09/04/13 LEGG MASON, INC. MD 5.04 09/05/13 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 09/05/13 LINKEDIN CORP DE 1.01,8.01,9.01 09/04/13 Lipocine Inc. DE 1.01,9.01 08/27/13 AMEND Lipocine Inc. DE 1.01,2.01,3.02, 07/24/13 AMEND 5.01,5.02,5.03,5.06,5.07,9.01 LIVEWIRE ERGOGENICS INC. 1.01,8.01 09/03/13 Location Based Technologies, Inc. NV 2.03,9.01 09/05/13 Madison Square Garden Co DE 8.01,9.01 08/30/13 MAINSOURCE FINANCIAL GROUP IN 7.01,9.01 09/05/13 MANAGED FUTURES PREMIER ABINGDON L.P. NY 3.02 09/01/13 MANAGED FUTURES PREMIER AVENTIS II L. NY 3.02 09/01/13 MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 09/01/13 MARKWEST ENERGY PARTNERS L P 1.01,9.01 09/05/13 Marlin Midstream Partners, LP DE 2.02,9.01 09/04/13 Matador Resources Co TX 7.01,8.01,9.01 09/03/13 Matador Resources Co TX 1.01,7.01,8.01,9.01 09/04/13 MCCLATCHY CO DE 5.02,9.01 09/05/13 MECHANICAL TECHNOLOGY INC NY 5.02 08/28/13 AMEND MEXICO FUND INC MD 7.01,9.01 08/30/13 MICHAEL BAKER CORP PA 8.01,9.01 09/05/13 MIDDLESEX WATER CO NJ 8.01,9.01 09/05/13 Midway Gold Corp A1 7.01 09/04/13 MILLS MUSIC TRUST NY 8.01,9.01 08/29/13 MIMEDX GROUP, INC. FL 8.01,9.01 09/05/13 Mirati Therapeutics, Inc. DE 5.02,9.01 08/30/13 Mistras Group, Inc. DE 5.02,9.01 08/29/13 MobileSmith, Inc. DE 2.03,3.02 09/03/13 MOSAIC CO 2.02,9.01 09/05/13 Mueller Water Products, Inc. DE 7.01,9.01 09/05/13 MURPHY OIL CORP /DE DE 1.01,2.01,8.01,9.01 08/30/13 Murphy USA Inc. DE 1.01,2.01, 09/05/13 2.03,5.01,8.01,9.01 MUSIC OF YOUR LIFE INC 3.02 09/04/13 NABORS INDUSTRIES LTD D0 1.01,8.01,9.01 09/04/13 NATIONAL TAX CREDIT PARTNERS L P CA 1.01,2.01 08/29/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,8.01,9.01 08/29/13 NEOGEN CORP MI 5.02 09/03/13 NEWLINK GENETICS CORP 1.01,9.01 09/05/13 NEXT FUEL, INC. NV 8.01,9.01 09/04/13 NGL Energy Partners LP DE 8.01,9.01 09/01/13 Oasis Petroleum Inc. DE 1.01,2.03,7.01,9.01 09/03/13 Ocera Therapeutics, Inc. DE 5.02,8.01,9.01 08/30/13 OGE ENERGY CORP. OK 8.01 09/03/13 OLD NATIONAL BANCORP /IN/ IN 8.01 09/05/13 One Horizon Group, Inc. DE 1.01,3.02,9.01 08/30/13 ORCHARD SUPPLY HARDWARE STORES CORP DE 2.01,5.02 08/30/13 Panacea Global, Inc. NV 8.01 08/20/13 Park Place Energy Corp. NV 1.01,3.02,9.01 08/30/13 PARKWAY PROPERTIES INC MD 8.01,9.01 09/05/13 PARKWAY PROPERTIES INC MD 1.01,3.02,9.01 09/04/13 PATHEON INC 2.02,7.01,9.01 09/05/13 PEDEVCO CORP TX 3.02,5.02,8.01,9.01 09/05/13 PEDEVCO CORP TX 7.01,9.01 09/05/13 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 08/29/13 PIEDMONT NATURAL GAS CO INC NC 5.02 09/05/13 PMFG, Inc. DE 2.02,9.01 09/05/13 POTOMAC FUTURES FUND LP NY 3.02 09/01/13 PREMIERE GLOBAL SERVICES, INC. GA 1.01,9.01 09/04/13 PRONTO CORP. NV 3.03,5.03,9.01 09/03/13 PROTALEX INC DE 8.01,9.01 09/05/13 QUEST DIAGNOSTICS INC DE 8.01 09/04/13 QUIKSILVER INC DE 2.02,9.01 09/05/13 Rally Software Development Corp DE 2.02,9.01 09/05/13 RCS Capital Corp DE 8.01,9.01 09/05/13 RED TRAIL ENERGY, LLC ND 1.01 08/29/13 Rexnord Corp DE 8.01 09/04/13 RICH STAR DEVELOPMENT, CORP NV 5.02 09/04/13 RING ENERGY, INC. NV 4.01,9.01 09/01/13 RIVER VALLEY BANCORP IN 1.01,8.01,9.01 09/04/13 Samson Oil & Gas LTD C3 1.02,9.01 09/03/13 SCIQUEST INC DE 1.01,2.01,3.02,9.01 08/30/13 SEACHANGE INTERNATIONAL INC DE 5.02,7.01,9.01 09/04/13 SEACHANGE INTERNATIONAL INC DE 2.02,9.01 09/05/13 Seven Arts Entertainment Inc. NV 5.02,9.01 08/28/13 SGB International Holdings Inc. A1 8.01,9.01 09/04/13 SILVER SPRING NETWORKS INC DE 5.02,9.01 09/05/13 SIPP INDUSTRIES, INC. 2.02,9.01 09/03/13 SMITH & WESSON HOLDING CORP NV 2.02,9.01 09/05/13 Solar Senior Capital Ltd. MD 7.01,9.01 09/05/13 Solaris Power Cells, Inc. NV 3.02 09/04/13 Solera National Bancorp, Inc. DE 5.02,9.01 09/03/13 AMEND SOLTA MEDICAL INC DE 1.01,2.03,9.01 08/30/13 SOTHEBYS DE 2.03 09/05/13 SOUTHWEST AIRLINES CO TX 7.01,9.01 07/31/13 AMEND SP Bancorp, Inc. MD 5.02,8.01 09/05/13 SPIRE Corp MA 1.01 09/03/13 Spirit Realty Capital, Inc. MD 8.01,9.01 09/04/13 SPRINT Corp DE 7.01,8.01,9.01 09/04/13 Standard Gold Holdings, Inc. NV 8.01 08/28/13 STATE STREET CORP MA 5.02 08/30/13 Stratex Oil & Gas Holdings, Inc. CO 5.02 08/30/13 STREAMTRACK, INC. 1.01,1.02,3.02,9.01 08/30/13 SUPERNUS PHARMACEUTICALS INC DE 8.01,9.01 09/05/13 SurePure, Inc. NV 1.01,3.02,9.01 09/02/13 TEAM HEALTH HOLDINGS INC. DE 8.01 09/03/13 TEL INSTRUMENT ELECTRONICS CORP NJ 3.01,9.01 09/04/13 TENNECO INC DE 8.01,9.01 09/05/13 THERAVANCE INC DE 7.01,9.01 09/05/13 THOMAS PROPERTIES GROUP INC DE 8.01,9.01 09/04/13 THOMAS PROPERTIES GROUP INC DE 1.01,9.01 09/04/13 THORATEC CORP CA 9.01 09/05/13 AMEND TIDEWATER INC DE 8.01,9.01 08/29/13 TIER REIT INC MD 7.01,9.01 09/05/13 Timberline Resources Corp DE 1.01,7.01,9.01 09/04/13 Titan Machinery Inc. DE 2.02,9.01 09/05/13 TNI BIOTECH, INC. FL 1.01,9.01 08/16/13 Trinity Place Holdings Inc. DE 5.02 08/30/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/05/13 U.S. RARE EARTHS, INC NV 5.02,9.01 08/28/13 UBS Commercial Mortgage Trust 2012-C1 DE 6.02 08/30/13 UBS-Citigroup Commercial Mortgage Tru 6.02 08/30/13 UMB FINANCIAL CORP MO 8.01 09/05/13 UNS Energy Corp AZ 2.03,8.01 08/29/13 URANIUM ENERGY CORP NV 7.01,9.01 09/05/13 US AIRWAYS GROUP INC DE 2.02,9.01 09/05/13 USA Compression Partners, LP 2.01,3.02,7.01,9.01 08/30/13 VERIFONE SYSTEMS, INC. DE 2.02,9.01 09/05/13 VERIZON COMMUNICATIONS INC DE 5.02 12/06/12 AMEND VERIZON COMMUNICATIONS INC DE 5.02 02/07/13 AMEND Vertex Energy Inc. NV 2.02,7.01,9.01 09/04/13 VERTICAL HEALTH SOLUTIONS INC FL 5.02,9.01 08/29/13 VIDEO DISPLAY CORP GA 2.01 08/30/13 VISUALANT INC NV 8.01 08/29/13 VISUALANT INC NV 1.01 06/14/13 AMEND WABASH NATIONAL CORP /DE DE 7.01,9.01 09/05/13 WALGREEN CO IL 2.02,9.01 09/05/13 Walker & Dunlop, Inc. MD 1.01,2.03,9.01 08/30/13 WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 09/05/13 WEST MARINE INC DE 5.02,9.01 09/04/13 Westinghouse Solar, Inc. DE 1.01,3.02,3.03,9.01 08/30/13 WINDAUS GLOBAL ENERGY INC WY 3.02,4.01,9.01 05/22/13 AMEND XILINX INC DE 8.01 08/30/13 Xstelos Holdings, Inc. DE 8.01 09/04/13 Zumiez Inc WA 2.02,9.01 09/05/13