Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic Filings
The Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on September 19, 2013 and terminating at 11:59 p.m. EDT on October 2, 2013.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have 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 these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies 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 these companies 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. 34-70454)
Commission Suspends Trading in Home System Group
The Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Home System Group at 9:30 a.m. EDT on September 19, 2013, and terminating at 11:59 p.m. EDT on October 2, 2013.
The Commission temporarily suspended trading in the securities of Home System Group due to a lack of current and accurate information about the company because Home System Group has not filed any periodic reports since the period ended December 31, 2011.
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 the company.
Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the securities of Home System Group until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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. (Rel. 34-70457)
JPMorgan Chase Agrees To Pay $200 Million and Admits Wrongdoing to Settle SEC Charges - Firm Must Pay $920 Million in Total Penalties in Global Settlement
The Commission today charged JPMorgan Chase & Co. with misstating financial results and lacking effective internal controls to detect and prevent its traders from fraudulently overvaluing investments to conceal hundreds of millions of dollars in trading losses.
The SEC previously charged two former JPMorgan traders with committing fraud to hide the massive losses in one of the trading portfolios in the firm"s chief investment office (CIO). The SEC"s subsequent action against JPMorgan faults its internal controls for failing to ensure that the traders were properly valuing the portfolio, and its senior management for failing to inform the firm"s audit committee about the severe breakdowns in CIO"s internal controls.
JPMorgan has agreed to settle the SEC"s charges by paying a $200 million penalty, admitting the facts underlying the SEC"s charges, and publicly acknowledging that it violated the federal securities laws.
“JPMorgan failed to keep watch over its traders as they overvalued a very complex portfolio to hide massive losses,” said George S. Canellos, Co-Director of the SEC"s Division of Enforcement. “While grappling with how to fix its internal control breakdowns, JPMorgan"s senior management broke a cardinal rule of corporate governance and deprived its board of critical information it needed to fully assess the company"s problems and determine whether accurate and reliable information was being disclosed to investors and regulators.”
As part of a coordinated global settlement, three other agencies also announced settlements with JPMorgan today: the U.K. Financial Conduct Authority, the Federal Reserve, and the Office of the Comptroller of the Currency. JPMorgan will pay a total of approximately $920 million in penalties in these actions by the SEC and the other agencies.
According to the SEC"s order instituting a settled administrative proceeding against JPMorgan, the Sarbanes-Oxley Act of 2002 established important requirements for public companies and their management regarding corporate governance and disclosure. Public companies such as JPMorgan are required to create and maintain internal controls that provide investors with reasonable assurances that their financial statements are reliable, and ensure that senior management shares important information with key internal decision makers such as the board of directors. JPMorgan failed to adhere to these requirements, and consequently misstated its financial results in public filings for the first quarter of 2012.
According to the SEC"s order, in late April 2012 after the portfolio began to significantly decline in value, JPMorgan commissioned several internal reviews to assess, among other matters, the effectiveness of the CIO"s internal controls. From these reviews, senior management learned that the valuation control group within the CIO – whose function was to detect and prevent trader mismarking – was woefully ineffective and insufficiently independent from the traders it was supposed to police. As JPMorgan senior management learned additional troubling facts about the state of affairs in the CIO, they failed to timely escalate and share that information with the firm"s audit committee.
Among the facts that JPMorgan has admitted in settling the SEC"s enforcement action:
The SEC"s order requires JPMorgan to cease and desist from causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 13a-11, 13a-13, and 13a-15. The order also requires JPMorgan to pay a $200 million penalty that may be distributed to harmed investors in a Fair Fund distribution.
The SEC"s investigation, which is continuing, has been conducted by Michael Osnato, Steven Rawlings, Peter Altenbach, Joshua Brodsky, Joseph Boryshansky, Daniel Michael, Kapil Agrawal, Eli Bass, Sharon Bryant, Daniel Nigro, and Christopher Mele. The SEC appreciates the coordination of the U.K. Financial Conduct Authority, Federal Reserve, and Office of the Comptroller of the Currency as well as the assistance of the U.S. Attorney"s Office for the Southern District of New York, Federal Bureau of Investigation, Commodity Futures Trading Commission, and Public Company Accounting Oversight Board. (Rel. 2013-187)
Commission Orders Hearings on Registration Suspension or Revocation against Six Companies 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 six companies for failure to make required periodic filings with the Commission:
In the Matter of American Asset Development, Inc., et al., Administrative Proceeding File No. 3-15505
In this Order, the Division of Enforcement (Division) alleges that the six 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 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 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. 34-70455)
Commission Orders Hearings on Registration Suspension or Revocation against Home System Group for Failure to Make Required Public Findings
In conjunction with this trading suspension, the Commission today also instituted a public administrative hearing proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of securities of Home System Group for failure to make required periodic filings with the Commission:
In the Matter of Home System Group, Administrative Proceeding File No. 3-15506
In this Order, the Division of Enforcement (Division) alleges that the Respondent is delinquent in its required periodic filings with the Commission.
In these proceedings, 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 Home System Group 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 proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of Home System Group should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in these proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70456)
Commission Bars Portfolio Manager of Fraudulent Silicon Valley Hedge Fund
The Commission today issued an order barring Stephen C. Bond (“Bond”), who held himself out as a portfolio manager of fictitious hedge funds affiliated with Asenqua Capital Management, LLC, from the securities industry. Bond consented to the order as part of his settlement with the Commission. The United States District Court for the Northern District of California earlier entered a consent judgment against Bond enjoining him from violations of the securities laws and requiring him to pay disgorgement of his earnings from the fraudulent hedge fund scheme. In a prior related matter, the Commission took enforcement action of the operator of the Asenqua hedge funds, Albert K. Hu, who was found guilty of seven counts of wire fraud related to the hedge funds. Hu was sentenced to 12 years in prison in June 2012. [SEC v. Stephen C. Bond, 10-CV-1358 RMW (N.D. Cal.)] (LR-21471)
In the Matter of John Moraitis
The Commission announced the issuance of 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 John Moraitis (Respondent), a resident of Jersey City, New Jersey. The Order finds that on September 11, 2011, Respondent was convicted of three counts of securities fraud and two counts of criminal possession of stolen property in the third degree, all in violation of New York law. People of the State of New York v. Moraitis, Case No. 02394-2009 (N.Y. Supreme Ct.). The Order further finds that in connection with his conviction, Respondent admitted that from January 2003 through November 2005, he participated in a firm-wide scheme while he was associated with Joseph Stevens & Company, Inc., at that time a broker-dealer registered with the Commission, to generate and charge customers excessive and undisclosed commissions in connection with the purchase and sale of securities. (Rel. 34-70452)
Final Consent Judgment Entered Against Roland Kaufmann
The Commission announced that on September 18, 2013, the Honorable John Gleeson, United States District Court Judge for the Eastern District of New York, entered a final judgment by consent against Defendant Roland Kaufmann. The final judgment permanently enjoins Kaufmann from future violations of Sections 17(a) of the Securities Act of 1933, Sections 9(a)(1) and 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgment also (i) orders Kaufmann to pay total combined disgorgement and prejudgment interest of $50,368.17, which is deemed satisfied by the forfeiture order entered against him in a parallel criminal action, (ii) bars Kaufmann from participating in any offering of penny stock, and (iii) prohibits Kaufmann from acting as an officer or director of a public company.
On July 5, 2012, the SEC filed its complaint against Axius, Inc., Jean-Pierre Neuhaus, and Kaufmann, alleging that from at least January 2012, they engaged in a fraudulent broker bribery scheme designed to manipulate the market for the common stock of Axius, Inc. The complaint alleged that they engaged in an undisclosed kickback arrangement with an individual who claimed to represent a group of registered representatives with trading discretion over the accounts of wealthy customers.
The Commission acknowledges assistance provided by the Swiss Financial Market Supervisory Authority and the Ontario Securities Commission in this matter. For further information, please see Litigation Release Number 22410 (July 6, 2012). [SEC v. Axius, Inc., Roland Kaufmann, and Jean-Pierre Neuhaus, Civil Action No. 12 Civ. 3338 (JG) (E.D.N.Y.)] (Rel. LR-22802)
Delinquent Filers' Stock Registrations Revoked
The registrations of the registered securities of China Lithium Technologies, Inc., and China Wi-Max Communications, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Exchange Act Release No. 34-70461; File No. 3-15450) (Rel. 34-70461)
Investment company orders
Equinox Funds Trust - Equinox Institutional Asset Management LP
An order has been issued on an application filed by Equinox Funds Trust and Equinox Institutional Asset Management LP exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30691)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by New York Stock Exchange LLC to implement a one-day temporary suspension of those aspects of Rules 36.20 and 36.21 that would not permit Floor brokers to use personal portable phone devices on the Trading Floor due to the unavailability of exchange-provided cell phones on September 11, 2013 (SR-NYSE-2013-61) 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 19th. (Rel. 34-70446)
A proposed rule change filed by NYSE MKT LLC to implement a one-day temporary suspension of those aspects of Rules 36.20 - Equities and 36.21 - Equities that would not permit Floor brokers to use personal portable phone devices on the Trading Floor due to the unavailability of exchange-provided cell phones on September 11, 2013 (SR-NYSEMKT-2013-75) 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 19th, 2013. (Rel. 34-70445)
A proposed rule change filed by NASDAQ OMX PHLX LLC to adopt a temporary rule change 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 (SR-Phlx-2013-95) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of September 19th, 2013. (Rel. 34-70451)
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.
F-1 Criteo S.A., 32 RUE BLANCHE, PARIS, I0, 75009, 33140402290 - 0 ($190,000,000.00) Equity, (File 333-191223 - Sep. 18) (BR. 11A) F-3 Manchester United plc, Old Trafford, Manchester, X0, M16 ORA, 44(0)1618688000 - 0 ($791,668,846.50) Equity, (File 333-191225 - Sep. 18) (BR. 05C) S-4 Northern Tier Energy LLC, 38C GROVE STREET, STE. 100, RIDGEFIELD, CT, 06877, (203) 244-6550 - 0 ($275,000,000.00) Debt, (File 333-191226 - Sep. 18) (BR. 04B) S-3ASR Avery Dennison Corp, 150 N ORANGE GROVE BLVD, PASADENA, CA, 91103, 626.304.2000 - 0 ($0.00) Other, (File 333-191228 - Sep. 18) (BR. 04B) S-3 RADISYS CORP, 5435 NE DAWSON CREEK DR, HILLSBORO, OR, 97124, 5036151100 - 100,000,000 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-191229 - Sep. 18) (BR. 03A) S-8 C H ROBINSON WORLDWIDE INC, 14701 CHARLSON ROAD, EDEN PRAIRIE, MN, 55347, 9529378500 - 0 ($201,552,000.00) Equity, (File 333-191235 - Sep. 18) (BR. 05A) S-1 RXi Pharmaceuticals Corp, 1500 WEST PARK DRIVE, SUITE 210, WESTBOROUGH, MA, 01581, (508) 767-3861 - 0 ($5,883,330.98) Equity, (File 333-191236 - Sep. 18) (BR. 01B) S-3ASR SS&C Technologies Holdings Inc, 80 LAMBERTON RD, WINDSOR, CT, 06095, 860-298-4500 - 0 ($281,387,329.00) Equity, (File 333-191237 - Sep. 18) (BR. 03B) S-1 Intra-Cellular Therapies, Inc., 3960 BROADWAY, NEW YORK, NY, 10032, 212-923-3344 - 0 ($139,516,992.00) Equity, (File 333-191238 - Sep. 18) (BR. 01A) S-3ASR COMCAST CORP, 0 ($0.00) Other, (File 333-191239 - Sep. 18) (BR. 11A) S-8 SPARK NETWORKS INC, 11150 SANTA MONICA BOULEVARD, SUITE 600, LOS ANGELES, CA, 90025, 310-893-0550 - 3,308,355 ($26,169,088.05) Equity, (File 333-191240 - Sep. 18) (BR. 03A) S-1 TRANSUNION CORP., 555 WEST ADAMS STREET, CHICAGO, IL, 60661, (312) 985-2000 - 0 ($1.00) Debt, (File 333-191241 - Sep. 18) (BR. 11A) S-3ASR MID AMERICA APARTMENT COMMUNITIES INC, 6584 POPLAR AVE, STE 340, MEMPHIS, TN, 38138, 9016826600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191243 - Sep. 18) (BR. 08B)
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 99 CENTS ONLY STORES CA 8.01,9.01 09/18/13 AAR CORP DE 7.01,9.01 09/18/13 ACORDA THERAPEUTICS INC 9.01 07/08/13 AMEND ACURA PHARMACEUTICALS, INC NY 8.01,9.01 09/18/13 ADEPT TECHNOLOGY INC DE 2.02,9.01 08/27/13 AMEND ADVENT SOFTWARE INC /DE/ DE 5.02,5.03,9.01 09/17/13 AIR LEASE CORP DE 1.01,9.01 09/13/13 ALLEGHENY TECHNOLOGIES INC DE 1.01,9.01 09/13/13 Altisource Residential Corp 1.01,2.03,9.01 09/12/13 Amarok Resources, Inc. NV 5.02,9.01 09/18/13 AMERICAN CAMPUS COMMUNITIES INC MD 7.01,9.01 09/18/13 AMERICAN GREETINGS CORP OH 5.02 09/13/13 AMERICAN INTERNATIONAL GROUP INC DE 9.01 09/18/13 AMERICAN LOCKER GROUP INC DE 1.01,3.02,3.03, 09/13/13 5.03,9.01 American Standard Energy Corp. DE 1.01 09/18/13 AMERICANWEST BANCORPORATION WA 7.01,9.01 09/13/13 Andina Acquisition Corp E9 7.01,9.01 09/18/13 Antero Resources LLC DE 7.01,9.01 09/18/13 ARIAD PHARMACEUTICALS INC DE 1.01 09/16/13 Armour Residential REIT, Inc. MD 8.01,9.01 09/18/13 ASTORIA FINANCIAL CORP DE 8.01 09/18/13 Atkore International Holdings Inc. DE 1.01 09/13/13 Atkore International Holdings Inc. DE 2.01,9.01 09/17/13 Avery Dennison Corp DE 8.01 09/18/13 AVID TECHNOLOGY, INC. DE 8.01,9.01 09/18/13 AXIALL CORP/DE/ DE 7.01,9.01 09/18/13 Bank of Commerce Holdings CA 7.01 09/18/13 Banyan Rail Services Inc. DE 5.03,9.01 09/12/13 BB&T CORP NC 7.01,9.01 09/18/13 BIOCRYST PHARMACEUTICALS INC DE 1.01,8.01,9.01 09/12/13 Biota Pharmaceuticals, Inc. DE 2.02,9.01 09/18/13 BLUE CALYPSO, INC. DE 1.01,2.01,3.02,9.01 09/12/13 BRANDYWINE REALTY TRUST MD 8.01 09/13/13 CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 09/16/13 CAESARS ENTERTAINMENT Corp DE 8.01 09/17/13 CALA ENERGY CORP. NV 5.03,5.07,9.01 09/12/13 CAMPBELL FUND TRUST DE 3.02 09/18/13 CAPITAL PROPERTIES INC /RI/ RI 8.01 09/16/13 CDW Corp DE 2.04,9.01 09/18/13 CELL THERAPEUTICS INC WA 1.01,3.03,5.03,9.01 09/12/13 CHEMICAL FINANCIAL CORP MI 8.01,9.01 09/18/13 CHEMUNG FINANCIAL CORP NY 5.02 09/18/13 CHIMERIX INC DE 8.01,9.01 09/18/13 China Precision Steel, Inc. CO 5.03,9.01 09/06/13 CION Investment Corp MD 2.02,5.02,9.01 09/18/13 Citadel EFT, Inc. NV 4.01,9.01 09/17/13 CNO Financial Group, Inc. DE 8.01,9.01 09/18/13 CO & PA 1999D Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2000B Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2000C Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2000D Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2001A Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2001B Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2001C Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2001D Limited Partnership WV 1.03,8.01 09/16/13 Colorado 2002A Limited Partnership WV 1.03,8.01 09/16/13 COLUMBIA LABORATORIES INC DE 1.01,2.01,2.03, 09/12/13 5.03,9.01 COMCAST CORP PA 8.01,9.01 09/18/13 Comstock Holding Companies, Inc. DE 1.01,2.03 09/13/13 CRACKER BARREL OLD COUNTRY STORE, INC 2.02,9.01 09/18/13 CULP INC NC 5.07,8.01,9.01 09/17/13 CYBEROPTICS CORP MN 5.02,9.01 09/18/13 CYTOMEDIX INC DE 8.01,9.01 09/17/13 DAVE & BUSTERS INC MO 2.02,9.01 09/17/13 DEER VALLEY CORP 5.02,8.01,9.01 09/11/13 DELL INC DE 5.07 09/12/13 Diamondback Energy, Inc. DE 1.01,2.03,3.03 09/12/13 DICKS SPORTING GOODS INC DE 7.01,9.01 09/18/13 DIGIRAD CORP DE 9.01 07/31/13 AMEND Discovery Communications, Inc. DE 5.02 09/12/13 DLH Holdings Corp. NJ 8.01,9.01 09/18/13 Dolan Co. DE 1.01,3.03,5.03, 09/17/13 8.01,9.01 Domark International Inc. NV 4.02 09/13/13 EAST WEST BANCORP INC 8.01,9.01 09/18/13 Eastern 1996D Limited Partnership WV 1.03,8.01 09/16/13 Eastern 1997D Limited Partnership WV 1.03,8.01 09/16/13 Eastern 1998D Limited Partnership WV 1.03,8.01 09/16/13 El Paso Pipeline Partners, L.P. DE 7.01 09/17/13 ELITE PHARMACEUTICALS INC /NV/ NV 8.01,9.01 09/17/13 Ellington Residential Mortgage REIT MD 8.01,9.01 09/17/13 Emerald Oil, Inc. MT 5.02,9.01 09/16/13 EMPIRE STATE BUILDING ASSOCIATES L.L. NY 5.07 09/12/13 ENCORE CAPITAL GROUP INC DE 7.01,9.01 09/18/13 ENDEAVOUR INTERNATIONAL CORP NV 8.01 09/13/13 EnerSys DE 1.01,9.01 09/16/13 ENNIS, INC. TX 1.01,9.01 09/17/13 EQUITY LIFESTYLE PROPERTIES INC MD 8.01,9.01 09/17/13 Federal Home Loan Bank of Dallas 2.03,9.01 09/12/13 FEDEX CORP DE 2.02,9.01 09/18/13 FIRST BANCORP /PR/ PR 2.02,7.01,9.01 09/18/13 FIRST FINANCIAL BANCORP /OH/ OH 5.02 09/12/13 FORD CREDIT FLOORPLAN MASTER OWNER TR DE 1.01,9.01 09/17/13 FOREST OIL CORP NY 1.01,2.03,9.01 09/12/13 Fresh Healthy Vending International NV 8.01 09/18/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 09/18/13 FULL HOUSE RESORTS INC DE 5.02,9.01 09/12/13 Galena Biopharma, Inc. 8.01,9.01 09/18/13 Garrison Capital Inc. 8.01,9.01 09/18/13 GENERAL MILLS INC DE 2.02,9.01 09/18/13 GLOBAL AXCESS CORP NV 5.02,7.01 09/12/13 Global Eagle Entertainment Inc. DE 7.01,9.01 09/18/13 GOLDFIELD CORP DE 8.01 09/12/13 GRANDPARENTS.COM, INC. DE 1.01,3.02 09/13/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 09/13/13 GRAPHIC PACKAGING HOLDING CO DE 1.01,9.01 09/13/13 Grilled Cheese Truck, Inc. NV 1.01,9.01 09/12/13 GSV Capital Corp. MD 1.01,2.03,3.02, 09/17/13 8.01,9.01 GULFMARK OFFSHORE INC DE 5.02,9.01 09/17/13 HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 09/11/13 HENNESSY ADVISORS INC 5.02,9.01 09/16/13 HYPERTENSION DIAGNOSTICS INC /MN MN 5.02 09/12/13 HYUNDAI ABS FUNDING CORP DE 1.01,9.01 09/18/13 iBio, Inc. DE 1.01 09/06/13 ICON Equipment & Corporate Infrastruc DE 8.01 09/18/13 ICON Equipment & Corporate Infrastruc DE 8.01 09/18/13 ICON LEASING FUND TWELVE, LLC DE 8.01 09/18/13 IDT CORP DE 7.01,9.01 09/18/13 Indo Global Exchange(s) Pte, Ltd. NV 5.02 09/16/13 InspireMD, Inc. DE 2.02,5.03,9.01 09/16/13 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 5.02,8.01,9.01 09/16/13 Intellicell Biosciences, Inc. NV 3.02 09/16/13 INTERACTIVE DATA CORP/MA/ DE 5.02 09/12/13 INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 09/16/13 INTERNATIONAL GAME TECHNOLOGY NV 1.01,9.01 09/12/13 ISABELLA BANK CORP MI 5.02 09/15/13 JAVELIN MORTGAGE INVESTMENT CORP. MD 8.01,9.01 09/18/13 JOHNSON OUTDOORS INC WI 1.01,1.02,2.03,9.01 09/18/13 KEATING CAPITAL INC 8.01,9.01 09/18/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 09/17/13 KINDER MORGAN MANAGEMENT LLC DE 7.01 09/17/13 KINDER MORGAN, INC. DE 7.01 09/17/13 KLEANGAS ENERGY TECHNOLOGIES, INC. 5.02 09/16/13 Kraft Foods Group, Inc. 5.02,9.01 09/18/13 L2 MEDICAL DEVELOPMENT CO NV 5.02 09/15/13 Liberty Interactive Corp 7.01,9.01 09/18/13 Liberty Media Corp DE 7.01,9.01 09/18/13 LIBERTY STAR URANIUM & METALS CORP. NV 5.02 08/28/13 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.02 09/16/13 Lipocine Inc. DE 5.02,9.01 09/15/13 Location Based Technologies, Inc. NV 7.01,9.01 09/16/13 LONGVIEW REAL ESTATE, INC. DE 2.03,9.01 09/16/13 MamaMancini's Holdings, Inc. NV 1.01,3.02,9.01 09/13/13 Marine Drive Mobile Corp. NV 5.02 09/12/13 Matador Resources Co TX 7.01,9.01 09/18/13 MATERION Corp 1.01 09/13/13 Matson, Inc. HI 7.01,9.01 09/18/13 MCDONALDS CORP DE 7.01,9.01 09/18/13 MCGRAW HILL FINANCIAL INC NY 5.02 09/16/13 Medical Hospitality Group, Inc. MD 8.01 09/13/13 MEDICAN ENTERPRISES, INC. NV 5.03 08/06/13 MEDIFAST INC DE 5.07 09/17/13 MetroCorp Bancshares, Inc. TX 1.01,7.01,9.01 09/18/13 MICROS SYSTEMS INC MD 5.02,5.03,9.01 09/13/13 MILLER HERMAN INC MI 2.02,9.01 09/18/13 MOLEX INC DE 1.01,9.01 09/16/13 Moody National REIT I, Inc. MD 9.01 07/02/13 AMEND MYR GROUP INC. DE 7.01 09/13/13 NANOSPHERE INC DE 1.01,9.01 09/13/13 NAPCO SECURITY TECHNOLOGIES, INC DE 2.02,9.01 09/16/13 NATIONAL INSTRUMENTS CORP /DE/ DE 5.02 09/17/13 NATURES SUNSHINE PRODUCTS INC UT 5.02 09/13/13 NAVISTAR INTERNATIONAL CORP DE 1.01,9.01 09/13/13 Neiman Marcus Group LTD Inc. DE 8.01 09/17/13 NetApp, Inc. CA 5.02,5.07 09/13/13 NEXSTAR BROADCASTING GROUP INC DE 1.01,8.01,9.01 09/17/13 NF Energy Saving Corp DE 8.01 09/18/13 OCI Resources LP DE 1.01,2.01,3.02, 09/18/13 8.01,9.01 OFFICEMAX INC DE 8.01,9.01 09/18/13 OPTIMER PHARMACEUTICALS INC 8.01,9.01 09/18/13 ORACLE CORP 2.02,8.01,9.01 09/18/13 ORIGINOIL INC NV 5.02 09/11/13 Pacific Green Technologies Inc. DE 5.02 08/31/13 Pacific Quest Ventures Corp. DE 1.01,5.01,5.02,9.01 08/28/13 PAN GLOBAL, CORP. NV 8.01 09/10/13 Pandora Media, Inc. DE 8.01,9.01 09/17/13 PARKWAY PROPERTIES INC MD 8.01,9.01 09/17/13 PARKWAY PROPERTIES INC MD 5.02 09/18/13 PASSPORT POTASH INC A1 5.02,5.07,8.01 09/12/13 PEABODY ENERGY CORP DE 7.01,9.01 09/18/13 PENSECO FINANCIAL SERVICES CORP PA 1.01,9.01 09/17/13 PERRY ELLIS INTERNATIONAL INC FL 4.01,9.01 09/12/13 Physicians Realty Trust MD 2.01 09/18/13 PLC SYSTEMS INC B0 1.01,3.02,9.01 09/18/13 PNM RESOURCES INC NM 1.01,2.03,9.01 09/18/13 POZEN INC /NC 1.01,8.01 09/16/13 Press Ventures, Inc. NV 1.01,9.01 09/17/13 PRETIUM PACKAGING L L C DE 5.02 09/18/13 Protalix BioTherapeutics, Inc. FL 1.01,2.03,3.02, 09/12/13 8.01,9.01 PULTEGROUP INC/MI/ MI 1.01,9.01 09/13/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,1.02,2.03, 09/15/13 3.02,8.01,9.01 RALPH LAUREN CORP DE 5.02,9.01 09/18/13 Receptos, Inc. DE 5.02,9.01 09/17/13 REPROS THERAPEUTICS INC. DE 8.01,9.01 09/18/13 Retrophin, Inc. OK 8.01,9.01 09/18/13 REX ENERGY CORP DE 5.02 07/29/13 AMEND Rosetta Resources Inc. DE 7.01,9.01 09/18/13 RTS Oil Holdings, Inc. UT 1.01,8.01,9.01 05/08/13 AMEND S Y BANCORP INC KY 8.01,9.01 09/18/13 SAFEWAY INC DE 1.01,3.03,5.03,9.01 09/16/13 Sanchez Energy Corp DE 1.01,8.01,9.01 09/12/13 SANGAMO BIOSCIENCES INC DE 1.01,9.01 09/18/13 Select Income REIT MD 9.01 07/02/13 AMEND SHARP PERFORMANCE INC NV 5.02,5.03,9.01 09/13/13 Shire plc 8.01,9.01 09/18/13 SIEBERT FINANCIAL CORP NY 5.02,8.01,9.01 09/17/13 Sino Agro Food, Inc. NV 7.01,9.01 09/18/13 SMITH MIDLAND CORP DE 1.01,2.03 09/12/13 SOHU COM INC DE 8.01,9.01 09/17/13 Sotherly Hotels Inc. MD 8.01,9.01 09/18/13 SOURCE FINANCIAL, INC. 5.03 06/30/13 AMEND Spirit Airlines, Inc. DE 5.02,7.01,9.01 09/13/13 SPRINGLEAF FINANCE CORP IN 8.01,9.01 09/17/13 Starz DE 7.01,9.01 09/17/13 Starz, LLC DE 7.01,9.01 09/17/13 STEELCASE INC MI 2.02,7.01,9.01 09/18/13 STERLING CONSTRUCTION CO INC DE 5.02,8.01,9.01 09/16/13 STIFEL FINANCIAL CORP DE 7.01,9.01 09/18/13 Strategic Storage Trust, Inc. MD 8.01,9.01 09/17/13 STRUCTURED PROD CORTS TR II FOR PROVI DE 8.01,9.01 09/17/13 Summit Midstream Partners, LP DE 5.02,9.01 09/13/13 SUNEDISON, INC. DE 1.01,8.01,9.01 09/12/13 Sunshine Heart, Inc. DE 8.01,9.01 09/18/13 SUNTRUST BANKS INC GA 7.01 09/18/13 TAKE TWO INTERACTIVE SOFTWARE INC DE 7.01,9.01 09/18/13 TIAA REAL ESTATE ACCOUNT NY 8.01 09/18/13 Timios National Corp DE 1.01,2.01,9.01 09/15/13 TIPTREE FINANCIAL INC. MD 8.01,9.01 09/17/13 TOROTEL INC MO 5.07 09/16/13 Toyota Auto Receivables 2013-B Owner DE 8.01,9.01 09/18/13 Toyota Auto Receivables 2013-B Owner DE 1.01,9.01 09/18/13 TPG Specialty Lending, Inc. DE 3.02 09/13/13 Trade Street Residential, Inc. MD 5.02,9.01 09/13/13 TRANS ENERGY INC NV 7.01,9.01 09/17/13 Transocean Ltd. V8 7.01,9.01 09/18/13 TRAVELZOO INC DE 5.07 09/12/13 True Drinks Holdings, Inc. NV 2.03,3.02 09/12/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/18/13 U S PRECIOUS METALS INC DE 5.02,7.01,9.01 09/16/13 UNION BANKSHARES INC VT 5.02 09/18/13 UNITED BANCORP INC /MI/ MI 1.01,2.03,3.03,9.01 09/16/13 US TUNGSTEN CORP. 2.01 09/17/13 USG CORP DE 5.02,9.01 09/18/13 UTG INC 5.07 09/18/13 UTG INC 8.01 09/18/13 VERSAR INC DE 5.02,9.01 09/13/13 VIROPRO INC NV 1.01 08/02/13 VISION GLOBAL SOLUTIONS INC NV 1.01,7.01,9.01 09/18/13 WELLS FARGO & COMPANY/MN DE 9.01 09/18/13 WEYERHAEUSER CO WA 5.02,9.01 09/16/13 Wheeler Real Estate Investment Trust, MD 8.01,9.01 09/17/13 WhiteHorse Finance, Inc. DE 8.01 09/16/13 World Omni Auto Leasing LLC DE 8.01,9.01 09/18/13 Z TRIM HOLDINGS, INC IL 1.01,3.02,8.01,9.01 08/20/13