Commission Files Injunctive Action against South Carolina Father and Son for Fraudulent Program Designed To Profit from Fate of Terminally Ill
The Securities and Exchange Commission ("Commission") today announced the filing of a complaint in federal district court against Benjamin Sydney Staples ("Benjamin Staples") and his son, Benjamin Oneal Staples ("Oneal Staples") (collectively, the "Defendants") of Lexington, South Carolina for operating a fraudulent investment program designed to profit illegally from the deaths of terminally ill individuals.
The complaint alleges that Defendants deceived bond issuers out of at least $6.5 million by lying about the ownership interest in bonds they purchased in joint brokerage accounts opened with people facing imminent death who were concerned about affording the high costs of a funeral. According to the Commission's complaint, Benjamin and Oneal Staples operated what they called the Estate Assistance Program from early 2008 to mid-2012. They recruited at least 44 individuals into the program and purchased approximately $26.5 million in bonds from at least 35 issuers.
The Complaint further alleges that Defendants required the terminally ill individuals to sign documents relinquishing any ownership interest in the assets in the joint account, including the bonds that Defendants later purchased. According to the complaint, Defendants purchased discounted corporate bonds containing a "survivor's option" that allowed them to redeem the bonds for the full principal amount prior to maturity under such circumstances as the death of a joint owner of the bond. The Commission alleges that after a terminally ill participant died, Defendants wrote a letter to the brokerage firm where the joint account was held, requesting the bonds to be redeemed under the survivor's option. In the redemption request letters, Defendants falsely represented that the deceased participant was an "owner" of the bonds. Defendants did not inform the brokerage firms or bond issuers that the deceased program participants had signed the estate assistance agreements and participant letters relinquishing all ownership interest in the bonds.
The Commission's complaint charges Benjamin and Oneal Staples with violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. The Commission is seeking disgorgement of ill-gotten gains plus prejudgment interest, financial penalties and permanent injunctions. The Commission's complaint names another son of Benjamin Staples, Brian Staples, also of Lexington, South Carolina, as a relief defendant for the purposes of recovering $400,000 in illicit profits that were transferred into his possession. Brian Staples had no active role in the scheme. (Press Rel. 2013-190; LR-22805)
Commission Charges Former Technology Company Executive for Role in Rajaratnam Insider Trading Scheme
The Commission today charged a former executive at a Massachusetts-based technology firm for illegally tipping non-public information about the company's financial predicament as part of the insider trading scheme operated by now-imprisoned Galleon Management hedge fund founder Raj Rajaratnam.
The SEC alleges that Kieran Taylor, who was the senior director of marketing for Akamai Technologies, illegally tipped hedge fund portfolio manager Danielle Chiesi with confidential information about the company's plans to lower its revenue guidance for 2008. Chiesi in turn tipped Rajaratnam with the non-public information so they and others could trade ahead of the negative news and make millions of dollars in illegal profits. Taylor also traded on the non-public information by selling 2,500 shares of Akamai stock that he held in a personal brokerage account to avoid losses of $20,635.
Taylor, who now lives in New York City, has agreed to settle the SEC's charges by paying more than $145,000 and being barred from serving as an officer or director of a public company. The settlement is subject to court approval.
"Here we have yet another senior executive who succumbed to greed and exploited his employer's confidential information for personal gain when he should have adhered to his duty to protect it," said Sanjay Wadhwa, Senior Associate Director for Enforcement in the SEC's New York Regional Office. "Taylor's willing misuse of information about Akamai's financial situation otherwise unknown to the rest of the investing public made him just another cog in the sprawling Rajaratnam insider trading machine."
The SEC has obtained a record $92.8 million penalty against Rajaratnam.
According to the SEC's complaint against Taylor filed in federal court in Manhattan, he obtained confidential information in July 2008 from internal company sources indicating that Akamai would fall short of previous revenue projections it made publicly. Akamai was planning to update its revenue guidance for 2008 when it announced its second quarter financial results on July 30. Based on this inside information, Taylor sold his Akamai stock in the days leading up to the announcement. Taylor also tipped Chiesi, a lifelong family friend who was then a portfolio manager at hedge fund advisory firm New Castle Funds. Chiesi then prompted New Castle to short sell Akamai stock.
According to the SEC's complaint, the inside information leaked by Taylor continued to make its way around the Rajaratnam insider trading circle. Chiesi tipped other hedge fund managers including Rajaratnam with the inside information so Galleon Management and other firms could short Akamai stock. Chiesi called Rajaratnam and relayed what she had learned from Taylor, noting that Akamai was "going to guide down a lot" at the company's upcoming quarterly earnings announcement. Chiesi similarly provided Taylor's Akamai information to another friend, Steven Fortuna of the hedge fund advisory firm S2 Capital. Chiesi, Rajaratnam, and Fortuna collectively shorted hundreds of thousands of shares of Akamai stock based on the non-public information illegally tipped by Taylor. Their hedge funds consequently reaped approximately $10 million in illicit profits.
The SEC charged Rajaratnam and Chiesi with insider trading in October 2009, and Fortuna was charged with insider trading a month later. The SEC has charged a total of 34 firms and individuals in its Galleon-related enforcement actions, which have exposed widespread and repeated insider trading by numerous hedge funds as well as traders, investment professionals, and corporate insiders located throughout the country. The insider trading occurred in the securities of more than 15 companies for illicit profits totaling more than $96 million.
The SEC's complaint charges Taylor with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Section 17(a) of the Securities Act of 1933. Taylor agreed to pay $20,635 in disgorgement, $4,190.26 in prejudgment interest, and a $120,635 penalty. Without admitting or denying the charges, Taylor also agreed to be barred from serving as an officer or director of a public company for five years, and be permanently enjoined from future violations of these provisions of the federal securities laws.
The SEC's investigation, which is continuing, has been conducted by Joseph Sansone of the SEC's Market Abuse Unit in New York and John Henderson, Matthew Watkins, Diego Brucculeri, and James D'Avino of the New York Regional Office. The case has been supervised by Sanjay Wadhwa. The SEC appreciates the assistance of the U.S. Attorney's Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2013-189)
Commission Charges Fake Lawyer and Two Others in Multi-Million Dollar Fraudulent Prime Bank Offering and Ponzi Scheme
The Commission has charged Jenifer E. Hoffman and John C. Boschert, the former principals of Assured Capital Consultants, LLC - a now-dissolved Florida company - and Bryan T. Zuzga, the company's purported escrow agent, for their involvement in a fraudulent prime bank offering and Ponzi scheme.
According to the Commission's complaint, filed in U.S. District Court for the Middle District of Florida, between approximately January and September 2009, Assured Capital, through Hoffman, Boschert, and Zuzga, raised at least $25 million from investors, through false representations and fake documents. The complaint alleges that Hoffman and Boschert represented to investors that their money would be invested in Assured Capital's offshore, confidential trading program which, in turn, would invest in blocks of medium term notes. As the complaint further alleges, Hoffman and Boschert enticed investors with claims of exorbitant profits and with the illusion of safety by telling them that the investment would provide weekly returns of up to 50% and that it was performing, safe, and guaranteed. In addition, Hoffman and Boschert represented to investors their money would remain safe in an Assured Capital escrow account that would be used to secure a line of credit for investing in the company's offshore trading program. Furthermore, Hoffman, Boschert, and Zuzga told investors that Zuzga controlled the escrow account as Assured Capital's escrow agent and that he was a licensed attorney. Moreover, Hoffman provided investors with fake bank documents and a sham verification letter, notarized by Zuzga, purporting to confirm Assured Capital had $500 million at a Panamanian bank.
As the complaint alleges, none of these representations were true and the investment program was purely fictional. Zuzga was not Assured Capital's escrow agent and has never been a licensed attorney. Hoffman and Boschert used investor funds to make payments to other investors in Ponzi fashion, and stole investor funds along with Zuzga for their personal use. Assured Capital has since gone out of business.
The Commission's complaint alleges that Hoffman of Clermont, Florida, Boschert of Apopka, Florida, and Zuzga of Coldwater, Michigan, all violated Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission is seeking financial penalties, disgorgement of ill-gotten gains plus prejudgment interest, and permanent injunctions against all the defendants. (LR-22804)
Commission Charges Advisory Firm Owner and Stockbroker with Insider Trading Ahead of Merger Announcement by Pharmaceutical Firms
The Commission today charged the owner of a New York-based advisory firm with insider trading in his own account and client accounts based on non-public information in advance of a merger announcement by pharmaceutical companies.
The SEC alleges that Tibor Klein, who lives on Long Island and is president of Klein Financial Services, learned confidential information about Pfizer Inc.'s planned acquisition of King Pharmaceuticals. He misappropriated the information and traded in advance of the public announcement for illicit profits of more than $300,000 for himself and his clients.
The SEC also charged Klein's close friend Michael Shechtman, a stockbroker living in South Florida who was tipped by Klein and traded on the non-public information for more than $100,000 in illegal profits.
According to the SEC's complaint filed in U.S. District Court for the Southern District of Florida, Klein learned material, non-public information about the impending merger in August 2010 from one of his clients - an attorney who works on matters for King Pharmaceuticals. On August 16 - the first day that the markets opened after he learned the confidential information - Klein began purchasing large amounts of King Pharmaceuticals' stock. Klein had not purchased so many securities of an individual stock for so many clients in such a short time period in 2010 as he did when he made these purchases.
The SEC alleges that Klein then went one step further and tipped his best friend, Shechtman, with the non-public information about King Pharmaceuticals. Klein and Shechtman speak often but rarely more than once a day. But Klein called Shechtman six times on August 16, when Shechtman submitted an application to open an options trading account and handwrote "Please expedite ASAP" at the top of the form. Shechtman had never before traded in options. On August 18, Klein called Shechtman 11 more times as Shechtman purchased 2,500 shares of King Pharmaceuticals stock and 300 call options in his personal account, and 2,400 shares in his wife's Roth IRA account.
According to the SEC's complaint, the public announcement was made on Oct. 12, 2010. King Pharmaceuticals stock subsequently rose 39 percent and trading volume increased by more than 12,000 percent from the previous day. Following the announcement, Klein sold his King Pharmaceuticals stock and generated profits of $328,375.02 for himself and his clients. Shechtman sold his shares and his wife's share in King Pharmaceuticals stock and options for profits of $109,040.53.
The SEC's complaint charges Klein and Shechtman with violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3. The SEC seeks disgorgement of ill-gotten gains, financial penalties, and permanent injunctive relief against Klein and Shechtman to enjoin them from future violations of the federal securities laws.
The SEC appreciates the assistance of the Financial Industry Regulatory Authority and the Options Regulatory Surveillance Authority. [SEC v. Tibor Klein and Michael R. Shechtman (United States District Court for the Southern District Of Florida, Case No. 9:13-cv-80954)] (Press Rel. 2013-188; LR-22803)
In the Matter of David Blech
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), Making Findings, and Imposing Remedial Sanctions (Order) against David Blech. The Order finds that on May 9, 2012 Blech pleaded guilty to two counts of securities fraud in violation of 18 U.S.C. §§ 1341 and 1343, before the United States District Court for the Southern District of New York, in United States v. David Blech, 1:12-cr-372 (S.D.N.Y.). Blech, 57 years old, is a resident of New York, New York. The counts of the criminal information to which Blech pleaded guilty alleged, inter alia, that at various times throughout 2007 and 2008, Blech engaged in fraudulent schemes to manipulate the market of two publicly traded companies by using brokerage accounts under his control to sell off his holdings of each company's stock. Blech did this in a manner that disguised these sales for the purpose of creating an illusion of greater liquidity and so that the price of the two company's stock would not significantly drop. On May 2, 2013, Blech was sentenced to 48 months of imprisonment, three years of supervised release, a $200 special assessment and $1,338,000 in forfeiture.
Based on the above, the Order bars Blech from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barred from participating in any offering of a penny stock. Blech consented to the Order. (Rel. 34-70466)
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Advantage Technologies, Inc., Admin. Proc. File No. 3-15434.
The Order Instituting Proceedings alleged that Respondents Advantage Technologies, Inc., Electronic Game Card, Inc., Faucet Impressions International, Inc. (f/k/a Europa Acquisition V, Inc.), and Molecular Imaging Corp. repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-70469)
Investment company orders
Principal Management Corporation, et al.
A notice has been issued giving interested persons until October 15, 2013, to request a hearing on an application filed by Principal Management Corporation, et al., for an order that permits: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30692)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-119) to modify the existing fees to receive CME Group multi-cast market data feeds via wireless connectivity has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of September 20th, 2013. (Rel. 34-70467)
Notice of Proposed Rule Change
The Nasdaq Stock Market LLC, has filed a proposed rule change (SR-NASDAQ-2013-121) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the shares of the First Trust Low Beta Income Fund of First Trust Exchange-Traded Fund VI. Publication is expected in the Federal Register during the week of September 20th, 2013. (Rel. 34-70459)
The Nasdaq Stock Market LLC, has filed a proposed rule change (SR-NASDAQ-2013-122) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the shares of the First Trust High Income Fund of First Trust Exchange-Traded Fund VI. Publication is expected in the Federal Register during the week of September 20th, 2013. (Rel. 34-70460)
Designation of Longer Period for Commission Action on Proposed Rule Change
The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proposed rule changes (SR-NYSE-2013-54; SR-NYSEMKT-2013-66; and SR-NYSEARCA-2013-77) that address the Exchanges' emergency powers. Publication is expected in the Federal Register during the week of September 20th, 2013. (Rel. 34-70463)
Approval of a Proposed Rule Change
The Commission approved a proposed rule change (SR-ICEEU-2013-11) filed by ICE Clear Europe Limited under Section 19(b)(1) of the Securities Exchange Act of 1934 related to its enhanced margin and guaranty fund methodology. Publication is expected in the Federal Register during the week of September 20th, 2013. (Release No. 34-70464)
Notice of Withdrawal
The Commission issued notice of withdrawal of a proposed rule change, as modified by Amendment No. 1 thereto, submitted by BATS Exchange, Inc. (SR-BATS-2013-035) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend the Competitive Liquidity Provider Program. Publication is expected in the Federal Register during the week of September 20th, 2013. (Rel. 34-70465)
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-8 INCEPTION MINING INC., 10775 DOUBLE R BOULEVARD, RENO, NV, 89521, 775-996-8200 - 1,750,000 ($2,362,500.00) Equity, (File 333-191244 - Sep. 19) (BR. 05B) F-1 MAZOR ROBOTICS LTD., 7 HAESHEL STREET, CAESAREA INDUSTRIAL PARK SOUTH, L3, 38900, 97246187101 - 0 ($46,000,000.00) ADRs/ADSs, (File 333-191246 - Sep. 19) (BR. 10) S-8 Bacterin International Holdings, Inc., 600 CRUISER LANE, BELGRADE, MT, 59714, 406-388-0480 - 2,000,000 ($1,200,000.00) Equity, (File 333-191248 - Sep. 19) (BR. 01A) S-8 COGNIZANT TECHNOLOGY SOLUTIONS CORP, 500 FRANK W. BURR BLVD., TEANECK, NJ, 07666, 2018010233 - 0 ($403,950,000.00) Equity, (File 333-191249 - Sep. 19) (BR. 03A) F-3ASR NOMURA HOLDINGS INC, 9-1 NIHONBASHI 1-CHOME, CHUO-KU, TOKYO, M0, 103-8645, 81 3-5255-1000 - 0 ($0.00) Non-Convertible Debt, (File 333-191250 - Sep. 19) (BR. 12A) S-1 OVERTECH CORP., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 89074-7722, 79153376940 - 5,000,000 ($100,000.00) Equity, (File 333-191251 - Sep. 19) (BR. 03) S-8 NATIONAL HOLDINGS CORP, 120 BROADWAY, 27TH FLOOR, NEW YORK, NY, 10271, 212-417-8000 - 15,500,000 ($1,180.00) Equity, (File 333-191253 - Sep. 19) (BR. 12) F-8 DENISON MINES CORP., 595 BAY STREET, SUITE 402, TORONTO, A6, M5G 2C2, (416) 979-1991 - 0 ($5,308,249.17) Equity, (File 333-191254 - Sep. 19) (BR. 09B) S-11 American Realty Capital Trust V, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 0 ($351,842,103.00) Equity, (File 333-191255 - Sep. 19) (BR. 08B) S-1 Sanwire Corp, 9710 E. 55TH PLACE, TULSA, OK, 74146, 1-800-243-1254 - 7,651,000 ($2,601,340.00) Equity, (File 333-191257 - Sep. 19) (BR. 09B) F-1 Avianca Holdings S.A., AVENIDA CALLE 26 #59 - 15, BOGOTA, F8, NONE, 57 1 587-7700 - 0 ($100,000,000.00) Equity, (File 333-191258 - Sep. 19) (BR. 05C) S-1 VALERO ENERGY PARTNERS LP, (210) 345-2639 - 0 ($345,000,000.00) Equity, (File 333-191259 - Sep. 19) (BR. 04) S-8 BAXANO SURGICAL, INC., 110 HORIZON DRIVE, SUITE 230, RALEIGH, NC, 27615, (919) 800-0020 - 4,000,000 ($6,480,000.00) Equity, (File 333-191260 - Sep. 19) (BR. 10B) S-8 ING U.S., Inc., 230 PARK AVENUE, NEW YORK, NY, 10169, 860-580-2818 - 800,000 ($23,704,000.00) Equity, (File 333-191261 - Sep. 19) (BR. 01A) S-8 ING U.S., Inc., 230 PARK AVENUE, NEW YORK, NY, 10169, 860-580-2818 - 10,500,000 ($311,115,000.00) Equity, (File 333-191262 - Sep. 19) (BR. 01A) S-1 Atlas Financial Holdings, Inc., 150 NORTHWEST POINT BOULEVARD, ELK GROVE VILLAGE, IL, 60007, 847-700-8000 - 1,262,471 ($12,397,465.22) Equity, (File 333-191263 - Sep. 19) (BR. 01B) S-8 LOCAL Corp, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618, (949) 784-0800 - 0 ($4,040,000.00) Equity, (File 333-191264 - Sep. 19) (BR. 03A) F-3 Navios Maritime Acquisition CORP, 7 AVENUE DE GRANDE BRETAGNE, OFFICE 11B2, MONTE CARLO, MC, O9, 98000, 37797982140 - 0 ($195,751,255.00) Unallocated (Universal) Shelf, (File 333-191266 - Sep. 19) (BR. 05B) S-8 FOREST LABORATORIES INC, 909 THIRD AVENUE, NEW YORK, NY, 10022, (212)421-7850 - 28,000,000 ($1,250,340,000.00) Equity, (File 333-191267 - Sep. 19) (BR. 01A) S-1 CHC Group Ltd., 4740 AGAR DRIVE, RICHMOND, A1, V7B 1A3, 604-276-7500 - 0 ($400,000,000.00) Equity, (File 333-191268 - Sep. 19) (BR. ) S-3 LGL GROUP INC, 2525 SHADER ROAD, ORLANDO, FL, 32804, (407) 298-2000 - 2,175,593 ($2,557,377.22) Equity, (File 333-191269 - Sep. 19) (BR. 10B) S-4 NCL CORP Ltd., 7665 CORPORATE CENTER DRIVE, MIAMI, FL, 33126, (305) 436-4000 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-191270 - Sep. 19) (BR. 05B) S-8 MPHASE TECHNOLOGIES INC, 587 CONNECTICUT AVE, PO BOX 566, NORWALK, CT, 06854, 2038312212 - 222,222,222 ($200,000.00) Equity, (File 333-191271 - Sep. 19) (BR. 10B)
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 8X8 INC /DE/ DE 5.02,9.01 09/17/13 Activision Blizzard, Inc. DE 8.01,9.01 09/18/13 Activision Blizzard, Inc. DE 1.01,2.03,8.01,9.01 09/19/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02 09/15/13 AGENUS INC DE 1.01,7.01,8.01,9.01 09/18/13 AGILENT TECHNOLOGIES INC DE 5.02,7.01,9.01 09/18/13 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 09/19/13 AK STEEL HOLDING CORP DE 7.01,9.01 09/19/13 Alexander & Baldwin, Inc. HI 2.03 09/13/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 09/19/13 AMBIENT CORP /NY DE 5.02,9.01 09/17/13 American Electric Technologies Inc FL 5.02,9.01 09/15/13 American Electric Technologies Inc FL 5.07 05/13/13 AMEND American Realty Capital Properties, I MD 1.01,9.01 09/11/13 AMEND AMERICAN RESTAURANT CONCEPTS INC 1.01,2.03,9.01 09/13/13 Anacor Pharmaceuticals, Inc. DE 8.01 09/17/13 APOGEE ENTERPRISES, INC. MN 2.02,9.01 09/18/13 APOLLO INVESTMENT CORP MD 1.01,2.03,7.01,9.01 09/13/13 Approach Resources Inc DE 1.01,7.01,9.01 09/18/13 ARK RESTAURANTS CORP NY 8.01,9.01 09/17/13 ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02 09/19/13 Ascent Capital Group, Inc. DE 2.02,7.01,9.01 08/16/13 AMEND ASHLAND INC. KY 7.01 09/18/13 Atlantic Coast Financial CORP MD 5.02 09/13/13 AVALON HOLDINGS CORP OH 8.01 09/19/13 Baltic Trading Ltd 1T 8.01,9.01 09/19/13 BCB BANCORP INC DC 5.02,9.01 09/18/13 BIOLASE, INC DE 1.01,3.02,8.01,9.01 09/06/13 AMEND BIOTIME INC CA 7.01,9.01 09/19/13 Blue Water Global Group, Inc. NV 1.01,2.03,3.02,9.01 09/18/13 BPZ RESOURCES, INC. TX 1.01,2.03,7.01, 09/16/13 8.01,9.01 BRADY CORP WI 7.01,9.01 09/19/13 BRIGHT MOUNTAIN HOLDINGS, INC. NV 5.03,9.01 08/30/13 CAESARS ENTERTAINMENT Corp DE 7.01,9.01 09/19/13 CARBO CERAMICS INC DE 7.01,9.01 09/19/13 CARDINAL FINANCIAL CORP VA 8.01,9.01 09/19/13 CEF EQUIPMENT HOLDING LLC DE 9.01 09/17/13 CEF EQUIPMENT HOLDING LLC DE 1.01,9.01 09/07/13 CHINA GENGSHENG MINERALS, INC. NV 5.02,9.01 09/19/13 China Internet Cafe Holdings Group, I NV 5.02 09/15/13 CINTAS CORP WA 2.02,9.01 09/19/13 CITIGROUP INC DE 5.03,9.01 09/18/13 CITIZENS & NORTHERN CORP PA 5.02,9.01 09/19/13 CLARCOR INC. DE 2.02,9.01 09/18/13 CNB FINANCIAL CORP/PA PA 8.01,9.01 09/19/13 CONAGRA FOODS INC /DE/ DE 2.02,9.01 09/19/13 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 1.01,9.01 09/16/13 COOPER TIRE & RUBBER CO DE 8.01 09/13/13 CORELOGIC, INC. DE 1.01,2.03 09/18/13 CORNERSTONE THERAPEUTICS INC DE 5.02 09/15/13 CORPORATE OFFICE PROPERTIES TRUST MD 1.01,9.01 09/16/13 Covidien plc 2.05 09/18/13 DATARAM CORP NJ 1.01,9.01 09/18/13 dELiAs, Inc. DE 8.01,9.01 09/13/13 AMEND DENDREON CORP DE 8.01,9.01 09/17/13 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 09/19/13 DIGITAL RIVER INC /DE DE 7.01,9.01 09/19/13 DUMA ENERGY CORP NV 5.02,5.03,9.01 09/17/13 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,2.03,9.01 09/13/13 EDGEWATER TECHNOLOGY INC/DE/ DE 8.01,9.01 09/18/13 EMPIRE STATE BUILDING ASSOCIATES L.L. NY 8.01,9.01 09/19/13 ENDEAVOR IP, INC. 8.01,9.01 09/17/13 Energy Transfer Partners, L.P. DE 1.01,9.01 09/19/13 Enertopia Corp. NV 1.01,3.02,7.01,9.01 09/17/13 ENTERPRISE BANCORP INC /MA/ MA 5.02,9.01 09/17/13 EXELIXIS, INC. DE 5.02 09/18/13 FEDERAL AGRICULTURAL MORTGAGE CORP 7.01,9.01 09/19/13 Federal Home Loan Bank of Atlanta X1 2.03 09/17/13 Federal Home Loan Bank of Boston X1 2.03 09/16/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/17/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/17/13 Federal Home Loan Bank of Indianapoli X1 7.01,9.01 09/19/13 Federal Home Loan Bank of New York X1 2.03,9.01 09/16/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/16/13 Federal Home Loan Bank of Topeka 2.03,9.01 09/16/13 Federal Home Loan Bank of Topeka 7.01,9.01 09/19/13 FEMALE HEALTH CO WI 3.01 09/18/13 First Bancorp, Inc /ME/ ME 8.01 09/19/13 FIVE BELOW, INC PA 8.01,9.01 09/17/13 FLUOROPHARMA MEDICAL, INC. NV 1.01,3.02,9.01 09/18/13 FOX FACTORY HOLDING CORP DE 2.02,9.01 09/19/13 FriendFinder Networks Inc. NV 1.01,5.02,9.01 09/16/13 FRONTIER COMMUNICATIONS CORP DE 5.02 09/19/13 GENVEC INC DE 5.02,5.08 09/19/13 GIA INVESTMENTS CORP. NV 1.01,9.01 09/16/13 GigOptix, Inc. DE 8.01,9.01 09/17/13 Globalstar, Inc. DE 7.01,9.01 09/19/13 Globalstar, Inc. DE 7.01,9.01 09/19/13 AMEND GOLDEN ENTERPRISES INC DE 8.01,9.01 09/19/13 GREAT EAST ENERGY, INC. DE 5.03,8.01,9.01 09/19/13 GREAT SOUTHERN BANCORP INC MD 8.01,9.01 09/18/13 HARTE HANKS INC DE 1.01,5.02,8.01,9.01 09/17/13 Hilltop Holdings Inc. MD 1.01,2.01,7.01,9.01 09/13/13 HINES REAL ESTATE INVESTMENT TRUST IN 5.07,7.01,9.01 09/18/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.03,9.01 09/18/13 HORACE MANN EDUCATORS CORP /DE/ DE 5.02,9.01 09/17/13 IDACORP INC ID 5.02,7.01,8.01,9.01 09/18/13 IHS Inc. DE 2.02,9.01 09/19/13 IHS Inc. DE 5.02 09/18/13 IMAGENETIX INC /NV/ NV 8.01,9.01 09/19/13 IMMUNOGEN INC MA 5.02 09/13/13 INDEPENDENT BANK CORP MA 8.01 09/19/13 INDUSTRIAL SERVICES OF AMERICA INC /F FL 1.01,2.03 09/13/13 INGRAM MICRO INC DE 5.02,8.01,9.01 09/17/13 INTEGRATED DEVICE TECHNOLOGY INC DE 5.07 09/17/13 INTERMOLECULAR INC DE 3.03,9.01 09/17/13 INTERNATIONAL GAME TECHNOLOGY NV 1.01,9.01 09/19/13 International Stem Cell CORP DE 5.02 09/15/13 James River Coal CO VA 8.01,9.01 09/19/13 JetPay Corp NY 8.01,9.01 09/18/13 JPMORGAN CHASE & CO DE 8.01,9.01 09/19/13 JPMORGAN CHASE & CO DE 8.01,9.01 09/19/13 KALOBIOS PHARMACEUTICALS INC DE 5.02,9.01 09/19/13 KID BRANDS, INC NJ 5.02 09/18/13 KINGSWAY FINANCIAL SERVICES INC A6 1.01,5.02,8.01,9.01 09/13/13 Kior Inc DE 7.01,9.01 09/19/13 KYTHERA BIOPHARMACEUTICALS INC DE 5.02,9.01 09/17/13 L & L ENERGY, INC. NV 5.07 09/19/13 LAZARE KAPLAN INTERNATIONAL INC DE 1.01,9.01 09/13/13 LEXICON PHARMACEUTICALS, INC./DE DE 1.01,9.01 09/19/13 LGL GROUP INC DE 1.01,9.01 09/19/13 LINN ENERGY, LLC DE 1.01 09/19/13 LIPOSCIENCE INC DE 5.02 09/13/13 Lithium Exploration Group, Inc. NV 1.01,9.01 09/15/13 LIVEDEAL INC NV 8.01,9.01 09/19/13 LYRIS, INC. 2.02,9.01 09/19/13 MARCHEX INC DE 7.01,9.01 09/19/13 MARCUS CORP WI 2.02,9.01 09/19/13 MASTERCARD INC DE 5.02 09/17/13 MEDICAL PROPERTIES TRUST INC 1.01,7.01,9.01 09/13/13 MEDIFAST INC DE 8.01 09/18/13 MEDIFAST INC DE 7.01,9.01 09/19/13 MESA ROYALTY TRUST/TX TX 2.02,9.01 09/19/13 MICROVISION INC DE 1.01,9.01 09/19/13 MIDAMERICAN FUNDING LLC IA 8.01,9.01 09/19/13 MIDSOUTH BANCORP INC LA 3.01,9.01 09/19/13 MIDSOUTH BANCORP INC LA 3.01,9.01 09/19/13 AMEND MILLER ENERGY RESOURCES, INC. TN 7.01,8.01,9.01 09/19/13 MITEL NETWORKS CORP 7.01,9.01 09/19/13 ML BlueTrend FuturesAccess LLC DE 3.02 09/16/13 MOLINA HEALTHCARE INC DE 7.01,9.01 09/19/13 MONITRONICS INTERNATIONAL INC TX 2.02,7.01,9.01 08/16/13 AMEND Motors Liquidation Co DE 8.01 09/18/13 MUNICIPAL MORTGAGE & EQUITY LLC DE 8.01 09/18/13 MusclePharm Corp NV 8.01 09/18/13 MWI Veterinary Supply, Inc. DE 5.02 09/13/13 NAPCO SECURITY TECHNOLOGIES, INC DE 5.02 09/17/13 NATURAL RESOURCE PARTNERS LP DE 1.01,2.03,9.01 09/18/13 Neiman Marcus Group LTD Inc. DE 2.02,7.01,9.01 09/19/13 NEOMEDIA TECHNOLOGIES INC DE 1.01 09/16/13 NeoStem, Inc. DE 7.01,8.01,9.01 09/18/13 NET TALK.COM, INC. FL 5.02 06/06/13 NEW JERSEY RESOURCES CORP NJ 1.01,2.03,9.01 09/13/13 NewPage Holdings Inc. DE 5.02,9.01 09/19/13 Nexus Enterprise Solutions, Inc. WY 5.02 09/13/13 NorthStar Real Estate Income II, Inc. MD 1.01,7.01,8.01 09/18/13 NUPATHE INC. DE 1.01,2.03,9.01 09/18/13 NUTRANOMICS, INC. 5.03,8.01,9.01 09/19/13 OIL DRI CORP OF AMERICA DE 5.02,8.01,9.01 09/19/13 AMEND ONCOSEC MEDICAL Inc NV 1.01,3.02,8.01,9.01 09/16/13 OneBeacon Insurance Group, Ltd. 8.01 09/19/13 ORGANOVO HOLDINGS, INC. DE 8.01 09/16/13 Pandora Media, Inc. DE 1.01,9.01 09/18/13 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 8.01 09/16/13 PERMA FIX ENVIRONMENTAL SERVICES INC DE 8.01 09/13/13 PIER 1 IMPORTS INC/DE DE 2.02,9.01 09/19/13 PIONEER POWER SOLUTIONS, INC. DE 8.01,9.01 09/19/13 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 09/19/13 PPLUS Trust Series JPM-1 DE 8.01,9.01 09/16/13 PROSPECT GLOBAL RESOURCES INC. NV 8.01,9.01 09/18/13 PRUDENTIAL FINANCIAL INC NJ 8.01 09/19/13 QUANTUM MATERIALS CORP. NV 1.01,9.01 08/21/13 QUINSTREET, INC DE 1.01,5.02,9.01 09/18/13 RCS Capital Corp DE 8.01,9.01 09/18/13 Real Estate Contacts, Inc. 4.01,9.01 09/18/13 RITE AID CORP DE 2.02,9.01 09/19/13 ROYAL GOLD INC DE 5.02,8.01,9.01 09/13/13 RTI INTERNATIONAL METALS INC OH 2.02,4.02,7.01 09/17/13 SAIC Gemini, Inc. DE 5.02,5.03,9.01 09/15/13 Sanchez Energy Corp DE 1.01,2.03,9.01 09/13/13 Santander Drive Auto Receivables Trus DE 1.01,9.01 09/13/13 SBT Bancorp, Inc. CT 5.02 09/18/13 SCHOLASTIC CORP DE 2.02,9.01 09/19/13 SCHOOL SPECIALTY INC DE 7.01,9.01 09/19/13 SEFE, INC. NV 3.02 09/14/13 Selway Capital Acquisition Corp. DE 4.02 09/16/13 ServisFirst Bancshares, Inc. DE 8.01,9.01 09/19/13 SHARPROCK RESOURCES INC. NV 3.02,8.01 09/10/13 SHARPROCK RESOURCES INC. NV 8.01 09/10/13 SLM FUNDING LLC DE 9.01 09/17/13 SLM FUNDING LLC DE 1.01,2.01,9.01 09/17/13 SMTP, Inc. DE 7.01,9.01 09/19/13 STAGE STORES INC NV 8.01,9.01 09/19/13 STEEL DYNAMICS INC IN 8.01,9.01 09/17/13 STEINWAY MUSICAL INSTRUMENTS INC DE 2.01,3.01,3.03, 09/19/13 5.01,5.02,5.03,8.01,9.01 STEINWAY MUSICAL INSTRUMENTS INC DE 1.01,1.02,2.03 09/19/13 SUN BANCORP INC /NJ/ NJ 8.01 09/19/13 Sundance Strategies, Inc. NV 1.01,2.01,3.02,9.01 06/07/13 AMEND Sunshine Heart, Inc. DE 1.01,8.01,9.01 09/19/13 SYNERGY RESOURCES CORP CO 1.01 09/16/13 SYNERGY RESOURCES CORP CO 8.01,9.01 09/16/13 SYNTHESIS ENERGY SYSTEMS INC DE 2.02,9.01 09/19/13 TAIWAN FUND INC DE 7.01,9.01 08/31/13 TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02,5.07,9.01 09/18/13 TCP Capital Corp. DE 1.01,2.03,9.01 09/18/13 TENNECO INC DE 8.01 09/18/13 TESCO CORP 5.02 09/16/13 TEXAS INSTRUMENTS INC DE 8.01,9.01 09/19/13 THERAVANCE INC DE 7.01,9.01 09/19/13 TIBCO SOFTWARE INC DE 2.02,9.01 09/19/13 TITAN INTERNATIONAL INC IL 7.01,9.01 09/19/13 TRIMAS CORP DE 5.02,9.01 09/13/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 09/19/13 TWO RIVER BANCORP NJ 5.02,9.01 09/16/13 U S GLOBAL INVESTORS INC TX 5.07,8.01,9.01 09/19/13 U S PRECIOUS METALS INC DE 7.01,9.01 09/19/13 United Continental Holdings, Inc. DE 1.01,9.01 09/13/13 VALUE LINE INC NY 5.07 09/19/13 VEECO INSTRUMENTS INC DE 1.01,9.01 09/18/13 VIASAT INC DE 5.02,5.07,9.01 09/18/13 Walter Energy, Inc. DE 7.01,8.01,9.01 09/19/13 Wellness Center USA, Inc. NV 1.01,3.02,9.01 09/19/13 WELLS CORE OFFICE INCOME REIT INC 5.02 09/17/13 Western Asset Mortgage Capital Corp DE 7.01,9.01 09/19/13 WESTFIELD FINANCIAL INC MA 8.01,9.01 09/17/13 Wheeler Real Estate Investment Trust, MD 1.02 09/17/13 Where Food Comes From, Inc. 2.01,3.02,7.01,9.01 09/19/13 Wolverine Exploration Inc. NV 3.02,9.01 09/19/13 WORLD FUEL SERVICES CORP FL 8.01 09/19/13