Commission Announces Renewal of Advisory Committee on Small and Emerging Companies
The Securities and Exchange Commission (Commission) today announced the renewal of its Advisory Committee on Small and Emerging Companies, which will continue to focus on interests and priorities of small businesses and smaller public companies.
The advisory committee was originally established on Oct. 4, 2011, to operate for a term of two years.
Since it was established, the advisory committee has provided recommendations to the Commission regarding rules, regulations, and policies as they relate to emerging companies with less than $250 million in public market capitalization in the areas of:
The advisory committee will continue to advise and consult with the Commission on these issues. (Press Rel. 2013-212)
Commission Sanctions Nebraska-Based Investment Adviser for Best Execution Failures in Selecting Mutual Fund Share Classes
The Commission today sanctioned an Omaha, Neb.-based investment advisory firm and its owner for failing to seek the most beneficial terms reasonably available when investing in mutual fund shares for three funds that they managed.
An SEC investigation found that Manarin Investment Counsel Ltd. and Roland R. Manarin violated their obligation to seek what is known as “best execution” by consistently selecting higher cost mutual fund shares for the three fund clients even though cheaper shares in the same mutual funds were available. As a result, the clients paid avoidable fees on their mutual fund holdings, which were passed through to a brokerage firm owned by Manarin in a practice inconsistent with the disclosures they made to investors. The brokerage firm also is charged with violations.
Manarin and his firms agreed to pay more than $1 million to settle the charges.
“Investment advisers must fulfill their fiduciary duty of best execution when selecting mutual fund shares for their clients,” said Marshall S. Sprung, co-chief of the SEC Enforcement Division’s Asset Management Unit. “Manarin and his firm breached that duty by choosing more expensive shares that would pay higher fees to an affiliate when their clients were eligible to own lower-cost shares in the very same mutual funds.”
According to the SEC’s order instituting settled administrative proceedings, Manarin Investment Counsel provides investment advice to a mutual fund called Lifetime Achievement Fund (LAF) as well as two private funds known as Pyramid I Limited Partnership and Pyramid II Limited Partnership. As “funds-of-funds” they invest their assets principally in the shares of various mutual funds.
The SEC’s order finds that from 2000 to 2010, Manarin and his investment advisory firm caused these fund clients to invest in “Class A” mutual fund shares when they were eligible to own lower-cost “institutional” shares in the same mutual funds. Because they owned “Class A” shares, the clients paid ongoing 12b-1 fees on their mutual fund holdings for distribution and shareholder services. Such fees often could have been avoided had Manarin and his firm purchased institutional shares on the clients’ behalf. Instead, the unnecessary fees were passed through to Manarin’s broker-dealer Manarin Securities Corp. Although Manarin’s brokerage firm eventually refunded 12b-1 fees paid by LAF, it did not refund fees to the Pyramid funds. From June 2000 to October 2010, Manarin Securities Corp. received approximately $685,000 in 12b-1 fees from mutual funds in which the Pyramid funds could have purchased institutional shares.
The SEC’s order finds that by failing to seek best execution when selecting among available mutual fund share classes, Manarin and his investment advisory firm violated their fiduciary duty as investment advisers under Section 206(2) of the Investment Advisers Act of 1940. Because their ongoing practice was inconsistent with disclosures in LAF’s registration statement and the offering memoranda for the two Pyramid funds, the order finds that Manarin and his investment advisory firm violated Section 206(4) of the Advisers Act and Rule 206(4)-8. The SEC’s order also finds that Manarin violated Section 34(b) of the Investment Company Act of 1940, and that he and both firms violated Section 17(a)(2) of the Securities Act of 1933. The SEC’s order further finds that Manarin’s brokerage firm charged commissions to LAF that exceeded the usual and customary amounts charged by broker-dealers for transactions in shares of exchange-traded funds – in violation of Section 17(e)(2)(A) of the Investment Company Act.
Manarin and his brokerage firm agreed to pay disgorgement of $685,006.90 and prejudgment interest of $267,741.72. Manarin agreed to pay a $100,000 penalty. Without admitting or denying the SEC’s findings, Manarin and his firms also consented to censures and cease-and-desist orders.
The SEC’s investigation was conducted by Coates Lear and Kurt Gottschall of the Asset Management Unit in the Denver Regional Office. Examinations of the firms were conducted by Susan Day, Philip Perrone, and Nicholas Madsen of the Denver office’s investment adviser/investment company and broker-dealer examination programs. (Press Rel. 2013-211)
Commission Charges Former La Crosse, Wisconsin Resident with Fraud
The Commission charged Jeremy S. Fisher and his companies, The Good Life Financial Group, Inc. and The Good Life Global, LLC, with violations of the federal securities laws for conducting fraudulent, unregistered offerings of securities and misappropriating investor funds to pay Fisher’s personal expenses. The Commission’s complaint, filed in the U.S. District Court for the Western District of Wisconsin, seeks permanent injunctions and disgorgement of ill-gotten gains with prejudgment interest against all of the defendants and civil penalties against Fisher.
The Commission’s complaint alleges that from August 2009 through December 2012, Fisher, formerly of La Crosse, Wisconsin, raised approximately $1.04 million from approximately 18 investors who invested in unregistered securities offerings conducted by Fisher through his companies. Fisher offered investors the opportunity to invest their money through a “special trading platform” that supposedly generated significant returns. Fisher told investors that their money would be deposited in an overseas bank account and used as collateral for the purchase and sale of collateralized debt obligations and medium term notes on the trading platform. Before soliciting investors, Fisher conducted almost no due diligence into the trading platform. The brief internet search he conducted suggested that the trading platform was actually a scam. Fisher never told investors about what his search had revealed. The trading platform never produced any returns to the investors. Fisher knew this, but he nevertheless continued to solicit investors.
The complaint further alleges that after transferring the funds of early investors to the purported trading platform, Fisher began misappropriating subsequent investors’ funds for his personal use. Of the $1.04 million that Fisher raised, he only sent approximately $155,000 to the purported trading platform. Fisher used at least $166,000 of investor funds to pay previous investors their purported returns or principal. He used the other $880,000 of investor funds for his personal use, including $123,000 to purchase a house, $27,000 to purchase a car, and at least $13,600 to pay for his daughter’s college tuition.
Virtually all of the investors’ funds are gone.
As a result of their conduct, the SEC’s complaint charged Fisher, Good Life Financial, and Good Life Global with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint also charged Fisher with violations of Section 15(a) of the Exchange Act.
The defendants have entered into consents with the Commission agreeing to the entry by the Court of the relief requested in the complaint, including orders of permanent injunction and disgorgement, plus prejudgment, totaling $936,226 to be paid jointly and severally among the defendants. Fisher has also agreed to pay a civil penalty of $150,000. [SEC v. Jeremy Fisher, The Good Life Financial Group, Inc., and The Good Life Global, LLC, Civil Action No. 3:13-cv-00683 (W.D. Wisc.)] (LR-22828)
SEC Charges New Jersey Resident in Prime Bank Investment Scheme and Files Settled Charges against California Attorney Escrow Agent
On September 27, 2013, the Commission filed an enforcement action in the U.S. District Court for the District of New Jersey against New Jersey resident Brett A. Cooper and his companies Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP and REOP Group Inc., who from at least November 2008 through about April 2012 perpetrated three fraudulent schemes and engaged in various fraudulent and deceitful acts, practices and courses of business in furtherance of those schemes.
The SEC’s complaint alleges that, in the first scheme, commonly referred to as a “Prime Bank Fraud”, Cooper raised approximately $1.4 million from investors by claiming to have special access to programs that through pooling of funds allowed individual investors to participate in this investment opportunity generally available only to Wall Street insiders. Cooper misrepresented to investors that the financial instruments are issued by the world’s largest and most financially sound banks; used vague, complex, and meaningless legal and financial terms designed to deceive the investors into believing that he offered legitimate investments; misrepresented that extraordinary returns of up to 1,000 percent within as little as 60 days were possible with little risk to principal; lied to investors that their principal would be collateralized with cash or semi-precious gemstones; and lied that their money would remain safe in escrow with attorneys pending the completion of certain steps in the transaction.
In the second scheme, also purportedly involving investment in prime bank paper, Cooper offered to participate as an investor in the purchase and trade of a $100 million bank guarantee on the condition that all investor funds were pooled in an attorney client trust account. Cooper sent a forged escrow agreement, purportedly from an attorney, containing wiring instructions for the attorney client trust account. The wire instructions, however, were for an account controlled by Cooper, not an attorney acting as escrow agent. The four investors unwittingly deposited a total of $925,000 in the phony escrow account which was, in fact, for Cooper’s company Dream Holdings, after which Cooper misappropriated the funds.
In March 2012 Cooper and his company REOP participated in a third scheme involving the sale of a purported Brazilian sovereign bond. Cooper claimed that, in exchange for a $50,000 “fee”, he would locate a buyer for the bond and open an account at a registered broker-dealer, which Cooper claimed was necessary to sell the bond. Cooper forged a letter that purported to be from the broker-dealer indicating that the bond had been “accepted” by the broker-dealer. Based upon this letter, the deceived investor paid Cooper’s $50,000 “fee”.
According to the SEC’s complaint, Cooper used the investor money to pay personal expenses, buy cars, pay associates in the scheme, and fund frequent gambling junkets to casinos in Las Vegas and Atlantic City.
The SEC’s complaint alleges that, despite his offering and selling of securities, Cooper has never been registered with the SEC to sell securities.
The SEC’s complaint alleges that Cooper and his companies violated the antifraud and broker-dealer registration provisions of the federal securities laws. Specifically, the complaint alleges that they each violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; that Cooper aided and abetted violations of Securities Act, Section 17(a) and Exchange Act Section 10(b) and Rule 10b-5; and that Cooper also violated Exchange Act Section 15(a). The SEC seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest thereon, and civil penalties against each defendant.
Also on September 27, 2013, the SEC charged California attorney David H. Frederickson, a sole practitioner, and his law firm The Law Offices of David H. Frederickson, with aiding and abetting Cooper’s prime bank scheme in two transactions in 2010 and 2011.
According to the SEC’s complaint filed separately in the U.S. District Court for the District of New Jersey, Frederickson served as escrow agent for two of Cooper’s prime bank transactions, and provided letters to investors stating that their investments were secured by collateral owned by Cooper’s company Global Funding Systems LLC. Frederickson did nothing to verify the value, authenticity, or ownership of the collateral, which Cooper claimed to be seven sapphires valued at $376 million. The SEC’s complaint also alleges that by the time Frederickson served as escrow agent for the second of these investors, Frederickson had learned facts indicating that Cooper had affixed Frederickson’s electronic signature to a forged escrow agreement that caused investor funds to be diverted to another Cooper company instead of being sent to Frederickson’s escrow account. Moreover, Frederickson told this second investor that he had served as escrow agent for Cooper in numerous other successful bank instrument trading transactions. In fact, none of the bank instrument trading transactions had been successful.
Frederickson earned a total of $6,790 in escrow fees for these transactions and for a transaction involving an escrow agreement Cooper forged, for which Frederickson provided no escrow services. These fees were paid from the funds of the defrauded investors.
Without admitting or denying the SEC’s allegations, Frederickson and his firm agreed to settle the case against them. The settlement is pending final approval by the court. Specifically, Frederickson and his firm consented to the entry of a final judgment that (1) permanently enjoins each of them from violating or aiding and abetting violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5; (2) permanently enjoins each of them from providing professional legal or escrow services in connection with, or from participating directly or indirectly in, the issuance, offer, or sale of securities involving bank guarantees, medium term notes, standby letters of credit, structured notes, and similar instruments, provided, however, that such injunction shall not prevent Frederickson from purchasing or selling securities listed on a national securities exchange; and (3) orders them to pay, jointly and severally, disgorgement and prejudgment interest totaling $7,257, and a civil penalty in the amount of $25,000, for a total of $32,257.
As part of the settlement, and following the entry of the proposed final judgment, Frederickson, without admitting or denying the Commission’s findings, has consented to the entry of a Commission order pursuant to Rule 102(e)(3) of the Commission’s rules of practice permanently suspending him from appearing or practicing before the Commission as an attorney. [SEC v. Brett A. Cooper, Global Funding Systems LLC, Dream Holdings, LLC, Fortitude Investing, LLC, Peninsula Waterfront Development, LP, and REOP Group Inc., Civil Action No. 1:13-cv-05781-RMB-AMD (D.N.J. Sept. 27, 2013); SEC v David H. Frederickson and The Law Offices of David H. Frederickson, Civil Action No. 1:13-cv-05787-RMD-AMD (D.N.J. Sept. 27, 2013)] (LR-22830).
Court Enters Final Judgment by Consent against SEC Defendants Philip A. Falcone, Harbinger Capital Partners Offshore Manager, L.L.C., Harbinger Capital Partners Special Situations GP, L.L.C., and Harbinger Capital Partners LLC
The Commission announced that, on September 16, 2013, the Honorable Paul A. Crotty, United States District Court Judge for the Southern District of New York, entered a final judgment by consent against Defendants Philip A. Falcone, Harbinger Capital Partners Offshore Manager, L.L.C., Harbinger Capital Partners Special Situations GP, L.L.C., and Harbinger Capital Partners LLC in two related actions. No judgment was entered against Defendant Peter A. Jenson. The final judgment bars Falcone from the securities industry for at least five years. In addition, Falcone and his advisory firm Harbinger Capital Partners agreed to a settlement in which they must pay more than $18 million in disgorgement and penalties and admit wrongdoing.
The SEC filed enforcement actions in June 2012 alleging that Falcone improperly used $113 million in fund assets to pay his personal taxes, secretly favored certain customer redemption requests at the expense of other investors, and conducted an improper "short squeeze" in bonds issued by a Canadian manufacturing company. In the settlement papers filed with the court, Falcone and Harbinger admit to multiple acts of misconduct that harmed investors and interfered with the normal functioning of the securities markets.
On August 19, 2013, Falcone agreed to a settlement which requires him to pay $6,507,574 in disgorgement, $1,013,140 in prejudgment interest, and a $4 million penalty. The Harbinger entities are required to pay a $6.5 million penalty. Falcone also consented to the entry of a judgment barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with a right to reapply after five years. The bar will allow him to assist with the expeditious satisfaction of investor redemption requests under the supervision of an independent monitor.
Among the set of facts that Falcone and Harbinger admitted to in settlement papers filed with the court:
[SEC v. Philip A. Falcone, Harbinger Capital Partners Offshore Manager, L.L.C. and Harbinger Capital Partners Special Situations GP, L.L.C., Civil Action No. 12 Civ. 5027 (PAC) (S.D.N.Y.) and SEC v. and Harbinger Capital Partners LLC, Philip A. Falcone and Peter A. Jenson, Civil Action No. 12 Civ. 5028 (PAC) (S.D.N.Y.)] (LR-22831a)
Court Enters Final Judgments against Defendants Petro-Suisse Ltd. and Mark Gasarch
The Commission announced today that on September 26, 2013, the Honorable Alison J. Nathan, United States District Judge for the Southern District of New York, entered final judgments against defendants Petro-Suisse Ltd. and Mark Gasarch. The Court enjoined Petro-Suisse from future violations of Section 17(a) of the Securities Act of 1933, and Petro-Suisse and Gasarch from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The final judgments orders Petro-Suisse and Gasarch jointly and severally liable to pay $8,370,000 in disgorgement, deemed satisfied by the previous payments made by Petro-Suisse, and for Gasarch to pay a $130,000 civil penalty. Petro-Suisse and Gasarch consented to the final judgments without admitting or denying the allegations in the Commission’s complaint.
The Commission’s complaint alleges that between 2003 and 2006, in connection with the purchase and sale of 21 limited partnership interests offered by Petro-Suisse to finance the drilling of oil wells in Trinidad, Gasarch, Petro-Suisse’s Director, Treasurer, and legal counsel, drafted 21 private placements memorandums (PPMs) that contained materially false and misleading information. Specifically, the PPMs stated that Petro-Suisse or an affiliate, as general partner of the 21 limited partnership offerings, would cause each of the 21 partnerships to enter into written agreements to finance the drilling of oil wells in Trinidad for which the partnerships would receive contractual rights to receive returns measured by the net revenues of the wells drilled and payable out of those revenues. The PPMs contained materially false and misleading information because the partnerships never entered into any such written agreements. [SEC v. Petro-Suisse Ltd., et al., 12-CV-6221 (S.D.N.Y.) (AJN)] (LR-22829)
In the Matter of Jing Xie
The Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Jing Xie (Xie) based on the entry on September 30, 2013 of a final judgment imposing a permanent injunction against Xie in SEC v. Universal Travel Group et al., Case No. 13-cv-1492 (D. D.C.). Xie consented to the entry of the final judgment in the civil action without admitting or denying the allegations in the complaint, and Xie consented to the issuance of the Order without admitting or denying the Commission’s findings, except that he admitted the Commission’s jurisdiction over him and the subject matter of the proceeding and that a final judgment had been entered in the civil action imposing a permanent injunction and other relief.
The Order finds that, until February 2013, Xie was a director and the Secretary and Interim Chief Financial Officer of Universal Travel Group (UTG), a China-based U.S. company that claims to sell travel services. The Order further finds that Xie represents that he is a member of the Association of Credited Chartered Accountants in the People’s Republic of China. The Order further finds that the Commission’s complaint alleged that Xie violated the antifraud and related provisions of the securities laws be making materially false and misleading statements and omissions concerning, among other things, UTG’s risky practice of transferring cash to third parties, UTG’s risky cash handling and controls, and UTG’s corporate organization. The complaint alleged further that Xie aided and abetted UTG’s violations of the internal accounting controls and books and records provisions of the securities laws.
As noted in the Order, the final judgment permanently enjoins Xie, by consent, from future violations of Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(b)(5) of the Exchange Act and Rules 10b-5, 13a-14 and 13b2-1 thereunder, and from aiding and abetting future violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 12b-20, 13a-1 and 13a-13 thereunder. Xie was also ordered to pay a $60,000 civil money penalty and was barred for five years from serving as an officer or director of a public company.
The Commission’s Order suspends Xie from appearing or practicing before the Commission as an accountant, with the right to apply for reinstatement after five years. (Rel. 34-70602)
In the Matter of Commonwealth Capital Securities Corp.
On September 27, 2013, the Commission issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Section 21C of the Securities Exchange Act of 1934 (Exchange Act) Making Findings, and Imposing Remedial Sanctions and a Cease-And-Desist Order (Order) against Commonwealth Income & Growth Fund, Inc. (CIGF), a private Delaware-based company, and Kimberly Springsteen-Abbott, CIGF’s chief executive officer (CEO).
The Commission finds that CIGF and Springsteen-Abbott violated Sections 17(a)(2) and (3) of the Securities Act by their negligent misrepresentations and omissions in fund offering documents and public filings regarding their expensing certain executive officer and director salaries to nine equipment leasing funds for which CIGF served as general partner or manager. From 2006 through 2011, CIGF represented in the nine funds’ offering documents, which were reviewed and approved by Springsteen-Abbott, that the salary expenses of CIGF’s and its parent’s “Controlling Persons” would not be charged to the funds. The offering documents describe the various functions and activities of ten to fifteen individuals for each fund that serve as directors or executive and senior management for CIGF and its parent, referring to them as CIGF’s key management and the persons responsible for making all of the funds’ investment decisions.
CIGF and Springsteen-Abbott negligently failed to disclose that she was the sole Controlling Person under its interpretation of the definition and that CIGF and Commonwealth routinely expensed a portion of the salaries of all other employees, executive officers, and directors to the funds. Each fund’s documentation and each public funds’ Forms 10-K and 10-Q filed with the Commission between 2006 and 2011 disclosed the aggregate amount of reimbursable expenses charged to the Funds, including all salaries charged to the funds. However, the documentation and filings did not break down those expenses such that an investor or prospective investor in a fund would know that those expenses charged to that fund included a portion of the salaries of all CIGF employees, executive officers, and directors other than its CEO.
The Commission also finds that CIGF and Springsteen-Abbott caused violations of Section 15(d) of the Exchange Act and Rules 12b-20, 15d-1, and 15d-3 thereunder in connection with the public funds.
Based on the above, the Order requires CIGF and Springsteen-Abbott to cease and desist from committing or causing any violations or future violations of Sections 17(a)(2) and (3) of the Securities Act and Section 15(d) of the Exchange Act and Rules 12b-20, 15d-1, and 15d-3 thereunder, and orders CIGF and Springsteen-Abbott to jointly and severally pay a $150,000 penalty. CIGF and Springsteen-Abbott consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 33-9459)
In the Matter of Scott London, CPA
The Commission barred Scott London (London) of Agoura Hills, California, the former Partner-in-Charge of KPMG’s Pacific Southwest audit practice, from appearing or practicing before the SEC as an accountant resulting from his participation in an insider trading scheme.
The SEC instituted a settled administrative proceeding against London finding that on at least 18 occasions between 2010 and 2013, London caused KPMG to violate the SEC’s auditor independence rules by tipping his friend, Bryan Shaw (Shaw), with material, nonpublic information concerning five of KPMG’s clients. The SEC’s settled order finds that as London was tipping Shaw, KPMG issued audit reports to the clients stating that the financial statements contained in the reports had been audited by an independent auditor. However, KPMG was not independent due to London’s receipt of cash and other valuable items, including jewelry and concert tickets as compensation for the inside information he provided Shaw.
The SEC previously filed suit against London in April 2013, in an action filed in federal court in Los Angeles. In a parallel action, the U.S. Attorney’s Office for the Central District of California brought criminal charges against London. London has since consented to the entry of an injunction against him in the SEC’s civil case, and pled guilty to one charge of securities fraud by insider trading and is currently awaiting sentencing in the criminal case.
London agreed to settle the SEC’s administrative case and has consented to the entry of an order that finds he willfully aided and abetted and caused KPMG’s violations of Rule 2-02(b)(1) of Regulation S-X, and willfully aided and abetted and caused the five audit clients’ violations of Sections 13(a), 14(a) and 14(c) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 13a-1, 13a-13, 14a-3 and 14c-2 thereunder. The order also finds that London engaged in improper professional conduct pursuant to Rules 102(e)(1)(ii) and 102(e)(1)(iii) of the Commission’s Rules of Practice. London has agreed to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 14(a) and 14(c) of the Exchange Act, and Rules 13a-1, 13a-13, 14a-3 and 14c-2 thereunder, as well as of Rule 2-02(b)(1) of Regulation S-X. Finally, London has agreed to an order that denies him the privilege of appearing or practicing before the Commission as an accountant. (Rel. 34-70549)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Four Rivers BioEnergy, Inc., Mainland Resources, Inc., QI Systems, Inc., South Texas Oil Co., and Synova Healthcare Group, 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. (Rel. 34-70583)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Stock Exchange, Inc. relating to registration, qualification, supervision, and continuing education of individuals associated with Participant Firms (SR-CHX-2013-14) 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 October 7, 2013. (Rel. 34-70597)
A proposed rule change filed by NYSE Arca, Inc. to amend Rule 2.23 to specify applicable Continuing Education requirements, amending the NYSE Amex Options Fee Schedule to specify corresponding CE fees and to specify fees for the Series 56 Examination (SR-NYSEARCA-2013-96) 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 October 7, 2013. (Rel. 34-70598)
A proposed rule change filed by NYSE MKT LLC to amend Rule 341A to specify applicable Continuing Education requirements, amending the NYSE Amex Options Fee Schedule to a specify corresponding CE fees and to specify fees for the Series 56 Examination (SR-NYSEMKT-2013-77) 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 October 7, 2013. (Rel. 34-70599)
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-37) relating to amendments to the EDGX Exchange, Inc. Fee Schedule 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 30th. (Rel. 34-70601)
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-30) relating to amendments to the EDGA Exchange, Inc. Fee Schedule 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 30th. (Rel. 34-70600)
Notice of No Objection to Advance Notice
The Options Clearing Corporation (OCC) filed an advance notice (SR-OCC-2013-806) pursuant to Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 (“Clearing Supervision Act”) and Rule 19b-4(n)(1)(i) of Securities Exchange Act of 1934 setting forth a proposal to replace its credit facility. The Commission has issued a notice of no objection pursuant to Section 806(e)(1)(I) of the Clearing Supervision Act. Publication is expected in the Federal Register during the week of October 7, 2013. (Rel. 34-70596)
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 CNH Industrial N.V., CRANES FARM ROAD, BASILDON, ESSEX, X0, SS14 3AD, 011 44 1268 533000 - 0 ($224,664,536.00) Equity, (File 333-191477 - Oct. 1) (BR. 10A) S-8 GOLDEN QUEEN MINING CO LTD, GOLDEN QUEEN MINING CO. LTD., 6411 IMPERIAL AVE., WEST VANCOUVER, A1, V7W 2J5, 604-921-7570 - 1,720,000 ($2,132,800.00) Equity, (File 333-191478 - Oct. 1) (BR. 09A) S-3 Hi-Crush Partners LP, Three Riverway, Suite 1550, Houston, TX, 77056, 713-963-0099 - 702,851 ($18,449,838.75) Equity, 702,851 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-191481 - Oct. 1) (BR. 09) S-1 RING ENERGY, INC., 6555 SOUTH LEWIS STREET, TULSA, OK, 74136, 918-499-3880 - 10,000,000 ($145,500,000.00) Equity, (File 333-191482 - Oct. 1) (BR. 04B) S-1 RING ENERGY, INC., 6555 SOUTH LEWIS STREET, TULSA, OK, 74136, 918-499-3880 - 3,528,580 ($51,340,839.00) Equity, (File 333-191483 - Oct. 1) (BR. 04B) S-8 Premier, Inc., 13034 BALLANTYNE CORPORATE PLACE, CHARLOTTE, NC, 28277, 704-357-0022 - 0 ($351,561,645.00) Equity, (File 333-191484 - Oct. 1) (BR. 08B) S-8 RING ENERGY, INC., 6555 SOUTH LEWIS STREET, TULSA, OK, 74136, 918-499-3880 - 5,000,000 ($72,750,000.00) Equity, (File 333-191485 - Oct. 1) (BR. 04B) S-3ASR SOUTHWEST GAS CORP, 5241 SPRING MOUNTAIN RD, PO BOX 98510, LAS VEGAS, NV, 89193-8510, 7028767237 - 0 ($250,000,001.00) Debt, (File 333-191486 - Oct. 1) (BR. 02B) S-8 Actavis plc, 70 SIR JOHN ROGERSON'S QUAY, DUBLIN 2, L2, 2, (216) 523-5000 - 0 ($1,568,929,897.00) Other, (File 333-191487 - Oct. 1) (BR. 01A) S-3 METROPOLITAN LIFE INSURANCE CO/NY, 200 PARK AVENUE, NEW YORK, NY, 100166, 212-578-2211 - 0 ($250,000,000.00) Other, (File 333-191489 - Oct. 1) (BR. 20) S-8 DARDEN RESTAURANTS INC, 1000 DARDEN CENTER DRIVE, ORLANDO, FL, 32837, 4072454000 - 6,800,000 ($313,480,000.00) Equity, (File 333-191490 - Oct. 1) (BR. 05B) S-3ASR DARDEN RESTAURANTS INC, 1000 DARDEN CENTER DRIVE, ORLANDO, FL, 32837, 4072454000 - 0 ($0.00) Debt, (File 333-191491 - Oct. 1) (BR. 05B) F-1 Ali Fareed, 678-723-5322 - 612,610 ($291,200.00) Non-Convertible Debt, (File 333-191492 - Oct. 1) (BR. ) S-3 Summit Midstream Partners, LP, 2100 McKinney Avenue, Suite 1250, DALLAS, TX, 75201, 214-242-1955 - 0 ($1,703,033,434.00) Limited Partnership Interests, (File 333-191493 - Oct. 1) (BR. 02B) S-3ASR Duke Energy CORP, 550 SOUTH TRYON STREET, DEC45, CHARLOTTE, NC, 28202, 704-382-3853 - 7,711,442 ($515,895,469.80) Equity, (File 333-191494 - Oct. 1) (BR. 02C) S-3 YORK WATER CO, 130 E MARKET ST, YORK, PA, 17401-1219, 7178453601 - 500,000 ($10,430,000.00) Equity, (File 333-191496 - Oct. 1) (BR. 02C) S-8 YORK WATER CO, 130 E MARKET ST, YORK, PA, 17401-1219, 7178453601 - 260,000 ($5,423,600.00) Equity, (File 333-191497 - Oct. 1) (BR. 02C) S-3ASR iShares Silver Trust, 400 HOWARD STREET, SAN FRANCISCO, CA, 94105, 415-670-2000 - 52,350,000 ($1,094,115,000.00) Equity, (File 333-191498 - Oct. 1) (BR. 08B) N-2 Newtek Business Services Corp., 212 W. 35TH STREET 2ND FLOOR, NEW YORK, NY, 10001, 212-356-9500 - 0 ($50,000,000.00) Equity, (File 333-191499 - Oct. 1) (BR. ) S-1 INTERCEPT PHARMACEUTICALS INC, 18 Desbrosses Street, NEW YORK, NY, 10013, 646-747-1000 - 0 ($115,000,000.00) Equity, (File 333-191501 - Oct. 1) (BR. 01A) S-8 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, WARRINGTON, PA, 18976, 2154889300 - 250,000 ($500,000.00) Equity, (File 333-191502 - Oct. 1) (BR. 01A) S-8 GelTech Solutions, Inc., 1460 PARK LANE SOUTH, SUITE 1, JUPITER, FL, 33458, 561-427-6144 - 11,500,000 ($10,810,000.00) Equity, (File 333-191503 - Oct. 1) (BR. 06B) S-3ASR Domtar CORP, 395 DE MAISONNEUVE BLVD. W., MONTREAL, A8, H3A 1L6, (514) 848-5555 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-191504 - Oct. 1) (BR. 04A) S-8 VISTA GOLD CORP, 7961 SHAFFER PKWY, LITTLETON, CO, 80127, 720-981-1185 - 500,000 ($245,000.00) Equity, (File 333-191505 - Oct. 1) (BR. 09A) S-3 IDENTIVE GROUP, INC., 1900 CARNEGIE AVENUE, BUILDING B, SANTA ANA, CA, 92705, 949-250-8888 - 4,945,353 ($14,836,059.00) Equity, (File 333-191506 - Oct. 1) (BR. 03A) S-8 VISTA GOLD CORP, 7961 SHAFFER PKWY, LITTLETON, CO, 80127, 720-981-1185 - 3,375,524 ($1,654,006.76) Equity, (File 333-191507 - Oct. 1) (BR. 09A) F-1 Wix.com Ltd., 40 NAMAL TEL AVIV ST., TEL AVIV, L3, 6701101, 97235454900 - 0 ($100,000,000.00) Equity, (File 333-191508 - Oct. 1) (BR. 03A) S-1 Snap Interactive, Inc, 462 7TH AVENUE, 4TH FLOOR, NEW YORK,, NY, 10018, (212) 594-5050 - 0 ($4,000,000.00) Equity, (File 333-191509 - Oct. 1) (BR. 03A) S-1 BARRACUDA NETWORKS INC, 3175 WINCHESTER BOULEVARD, CAMPBELL, CA, 95008, 408-342-5400 - 0 ($100,000,000.00) Equity, (File 333-191510 - Oct. 1) (BR. 03B) S-8 BANK OF AMERICA CORP /DE/, BANK OF AMERICA CORPORATE CENTER, 100 N TRYON ST, CHARLOTTE, NC, 28255, 7043868486 - 0 ($200,000,000.00) Debt, (File 333-191511 - Oct. 1) (BR. 12A) S-8 STARBUCKS CORP, P O BOX 34067, SEATTLE, WA, 98124-1067, 2064471575 - 45,016,735 ($3,445,580,896.90) Equity, (File 333-191512 - Oct. 1) (BR. 05C) S-3 ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON, TX, 77002, 7133816500 - 0 ($915,771,799.00) Limited Partnership Interests, (File 333-191514 - Oct. 1) (BR. 02C) S-8 ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON, TX, 77002, 7133816500 - 25,000,000 ($1,508,250,000.00) Limited Partnership Interests, (File 333-191515 - Oct. 1) (BR. 02C) S-8 ENTERPRISE PRODUCTS PARTNERS L P, 1100 LOUISIANA 10TH FLOOR, HOUSTON, TX, 77002, 7133816500 - 3,559,121 ($214,721,769.93) Limited Partnership Interests, (File 333-191516 - Oct. 1) (BR. 02C) S-4 W. P. Carey Inc., 50 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, 2124921100 - 0 ($734,470,433.35) Equity, (File 333-191517 - Oct. 1) (BR. 08B) S-8 Evoke Pharma Inc, 12555 HIGH BLUFF DRIVE, SUITE 385, San Diego, CA, 92130, (760) 487-1255 - 0 ($14,305,300.00) Equity, (File 333-191518 - Oct. 1) (BR. 01) S-8 RE/MAX Holdings, Inc., 5075 SOUTH SYRACUSE STREET, DENVER, CO, 80237, (303)770-5531 - 2,365,793 ($52,047,446.00) Equity, (File 333-191519 - Oct. 1) (BR. 08) S-8 CANCER GENETICS, INC, 201 ROUTE 17 NORTH, 2ND FLOOR, RUTHERFORD, NJ, 07070, 201.528.9200 - 0 ($11,484,000.00) Equity, (File 333-191520 - Oct. 1) (BR. 09) S-8 CANCER GENETICS, INC, 201 ROUTE 17 NORTH, 2ND FLOOR, RUTHERFORD, NJ, 07070, 201.528.9200 - 0 ($7,308,000.00) Equity, (File 333-191521 - Oct. 1) (BR. 09) S-1 PENNYMAC FINANCIAL SERVICES, INC., 6101 CONDOR DRIVE, MOORPARK, CA, 93021, (818) 224-7442 - 0 ($829,783,323.00) Equity, (File 333-191522 - Oct. 1) (BR. 07)
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 NUMBERS DATE COMMENT 22nd Century Group, Inc. NV 1.01,7.01,9.01 10/01/13 99 CENTS ONLY STORES CA 1.01 09/30/13 A. H. Belo Corp DE 8.01,9.01 09/30/13 ACE Ltd V8 5.03,9.01 09/30/13 ACTUANT CORP WI 2.02,9.01 10/01/13 ACUITY BRANDS INC DE 2.02,8.01 09/27/13 ADEPT TECHNOLOGY INC DE 5.02,9.01 09/27/13 ADT Corp DE 1.01,2.03,9.01 10/01/13 AFFIRMATIVE INSURANCE HOLDINGS INC DE 1.01 09/30/13 AMEND Alexander & Baldwin, Inc. HI 2.03 09/24/13 Alexander & Baldwin, Inc. HI 2.01,7.01,9.01 10/01/13 ALIMERA SCIENCES INC DE 8.01,9.01 09/30/13 ALLEGHENY TECHNOLOGIES INC DE 1.01,2.03,9.01 09/26/13 Allied Nevada Gold Corp. DE 1.01,9.01 09/30/13 Ally Financial Inc. DE 2.01,9.01 10/01/13 AMERICAN BAR ASSOCIATION MEMBERS / NO IL 1.01,9.01 09/26/13 American Homes 4 Rent MD 1.01,2.03,7.01, 09/30/13 9.01 AMERICAN JIANYE GREENTECH HOLDINGS, L NV 5.02,9.01 10/01/13 American Midstream Partners, LP DE 8.01,9.01 10/01/13 American Midstream Partners, LP DE 8.01,9.01 10/01/13 AMERICAN REALTY CAPITAL - RETAIL CENT MD 1.01,2.01,2.03, 09/26/13 9.01 AMERIPRISE FINANCIAL INC DE 1.01,2.03,9.01 09/30/13 AMGEN INC DE 2.01,2.03,8.01, 10/01/13 9.01 APARTMENT INVESTMENT & MANAGEMENT CO MD 1.01,2.03,8.01, 10/01/13 9.01 ARES CAPITAL CORP MD 7.01,9.01 10/01/13 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 10/01/13 ASHLAND INC. KY 7.01,9.01 09/30/13 Asterias Biotherapeutics, Inc. DE 2.01,9.01 10/01/13 ASTRONICS CORP NY 1.01,2.01,9.01 10/01/13 Atkore International Holdings Inc. DE 2.01,9.01 10/01/13 ATWOOD OCEANICS INC TX 7.01,9.01 09/30/13 AVAYA INC DE 5.02,7.01,8.01, 10/01/13 9.01 AVIS BUDGET GROUP, INC. DE 7.01 10/01/13 AVNET INC NY 8.01,9.01 10/01/13 Axion Power International, Inc. DE 5.07 09/26/13 BANK OF AMERICA CORP /DE/ DE 2.03,3.03,8.01, 10/01/13 9.01 BARD C R INC /NJ/ NJ 1.01,2.03 09/26/13 BARNES GROUP INC DE 7.01,9.01 10/01/13 BARRY R G CORP /OH/ OH 7.01,9.01 09/30/13 BEAZER HOMES USA INC DE 1.01,2.03,9.01 09/30/13 Bio-Matrix Scientific Group, Inc. DE 1.01,9.01 09/23/13 BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,2.03,9.01 09/25/13 BIOMET INC IN 1.01,2.03,9.01 09/25/13 BIOTIME INC CA 2.01,9.01 10/01/13 BLACKSTONE MORTGAGE TRUST, INC. MD 7.01,9.01 10/01/13 BNC BANCORP NC 8.01,9.01 10/01/13 BOND LABORATORIES, INC. NV 5.03,8.01,9.01 09/28/13 BOOKS A MILLION INC DE 5.02 09/27/13 BPZ RESOURCES, INC. TX 1.02,2.03,7.01, 09/26/13 8.01,9.01 BRIDGE BANCORP INC NY 7.01,9.01 10/01/13 CAESARS ENTERTAINMENT Corp DE 1.01,9.01 09/25/13 Capital Group Holdings, Inc. MN 4.02 09/30/13 Capitol Federal Financial Inc MD 5.02 10/01/13 CARROLLTON BANCORP MD 5.02 09/25/13 CATHAY GENERAL BANCORP DE 5.02 09/30/13 CCFNB BANCORP INC PA 8.01,9.01 10/01/13 CFS BANCORP INC IN 7.01,9.01 10/01/13 CHAMBERS STREET PROPERTIES MD 1.01,2.03,9.01 09/26/13 Chanticleer Holdings, Inc. DE 1.01,9.01 09/30/13 CHOICE HOTELS INTERNATIONAL INC /DE DE 7.01,9.01 10/01/13 Chrysler Group LLC DE 8.01,9.01 10/01/13 Ciralight Global, Inc. NV 5.07 09/27/13 CMS ENERGY CORP MI 8.01 10/01/13 CONAGRA FOODS INC /DE/ DE 5.02,5.07 09/27/13 Cord Blood America, Inc. FL 2.04,8.01,9.01 10/01/13 CORONADO BIOSCIENCES INC DE 5.07 09/30/13 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 8.01,9.01 10/01/13 COUNTERPATH CORP NV 5.02,5.07 09/25/13 COWEN GROUP, INC. DE 7.01 10/01/13 CVSL INC. FL 1.01,2.01,2.03, 09/25/13 8.01,9.01 CYCLONE POWER TECHNOLOGIES INC FL 5.02 09/30/13 CYTODYN INC CO 3.02 09/25/13 Deep Down, Inc. NV 1.01,3.02,9.01 09/27/13 DGSE COMPANIES INC NV 8.01,9.01 09/30/13 Diversicare Healthcare Services, Inc. DE 2.01 10/01/13 Dividend Capital Diversified Property MD 8.01 09/01/13 Dryrock Funding LLC DE 8.01,9.01 10/01/13 Dynamic Nutra Enterprises Holdings, I NV 7.01,9.01 09/24/13 DYNAVAX TECHNOLOGIES CORP DE 5.02 09/26/13 Edgen Group Inc. DE 1.01,5.07,8.01, 10/01/13 9.01 ELECTRONIC ARTS INC. DE 5.02 09/30/13 Embassy Bancorp, Inc. PA 8.01 10/01/13 Employers Holdings, Inc. NV 5.02,9.01 09/26/13 ENCORE CAPITAL GROUP INC DE 7.01,9.01 10/01/13 ENERGY FOCUS, INC/DE DE 5.07 09/26/13 EnerJex Resources, Inc. NV 1.01,1.02,2.01, 09/30/13 2.03,9.01 EnerJex Resources, Inc. NV 7.01,9.01 10/01/13 ENSIGN GROUP, INC 1.01,8.01,9.01 10/01/13 ENTROPIC COMMUNICATIONS INC DE 1.01,5.03,9.01 09/26/13 ENZON PHARMACEUTICALS INC DE 1.01,5.02,8.01 09/25/13 EXA CORP MA 5.02 09/25/13 Federal Home Loan Bank of Boston X1 2.03 09/25/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 09/25/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/27/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/25/13 Federal Home Loan Bank of New York X1 2.03,9.01 09/25/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/25/13 Federal Home Loan Bank of Topeka 2.03,9.01 09/26/13 FEDERAL HOME LOAN MORTGAGE CORP 8.01,9.01 09/25/13 Fibrocell Science, Inc. DE 8.01,9.01 10/01/13 FIRST BANCORP /PR/ PR 5.02,9.01 09/26/13 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 4.01,9.01 09/03/13 AMEND First Community Financial Partners, I IL 2.03,8.01,9.01 09/30/13 FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 10/01/13 FORD MOTOR CO DE 8.01,9.01 10/01/13 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 10/01/13 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 10/01/13 FOREST CITY ENTERPRISES INC OH 5.02,9.01 09/25/13 FOREVERGREEN WORLDWIDE CORP NV 5.02 09/16/13 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 8.01,9.01 09/26/13 FS Investment Corp II MD 5.02 09/30/13 FX ENERGY INC NV 8.01,9.01 10/01/13 GENERAC HOLDINGS INC. DE 5.02 10/01/13 GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01,2.03,7.01, 09/27/13 9.01 GEOSPACE TECHNOLOGIES CORP DE 1.01,2.03,9.01 09/27/13 GERON CORP DE 2.01,9.01 10/01/13 GLOBAL AXCESS CORP NV 1.01,2.01,5.02, 09/10/13 7.01,9.01 GLOBAL BRASS & COPPER HOLDINGS, INC. 1.01,8.01,9.01 09/25/13 GLOBAL CASINOS INC UT 7.01,8.01,9.01 10/01/13 Global Indemnity plc L2 2.03 09/27/13 GLOBAL PAYMENTS INC GA 2.02,9.01 10/01/13 GLOBALSCAPE INC DE 5.02,9.01 09/30/13 GOLDMAN SACHS GROUP INC DE 8.01 10/01/13 GOOD TIMES RESTAURANTS INC NV 1.01 10/01/13 GRANT HARTFORD CORP MT 4.01,5.02,8.01, 07/10/13 9.01 GTX INC /DE/ DE 2.05,5.02 09/27/13 HARVEST NATURAL RESOURCES, INC. DE 8.01,9.01 09/30/13 HEARTLAND PAYMENT SYSTEMS INC DE 5.02 09/25/13 HEAT BIOLOGICS, INC. DE 1.01,5.02,9.01 10/01/13 HELMERICH & PAYNE INC DE 7.01,9.01 10/01/13 Hi-Crush Partners LP de 8.01,9.01 09/30/13 Hines Global REIT, Inc. MD 8.01 10/01/13 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 10/01/13 Horsehead Holding Corp DE 1.01,9.01 09/30/13 Howard Hughes Corp DE 7.01,9.01 10/01/13 Hyatt Hotels Corp DE 2.01,7.01,9.01 10/01/13 Immunotech Laboratories, Inc. 1.01,9.01 10/01/13 IMPLANT SCIENCES CORP MA 2.02,7.01,8.01, 10/01/13 9.01 INERGY L P DE 5.02,7.01,9.01 09/26/13 INERGY MIDSTREAM, L.P. DE 3.03,5.02,5.03, 09/26/13 7.01,9.01 Infinity Resources Holdings Corp. NV 9.01 07/16/13 AMEND Inland Diversified Real Estate Trust, MD 7.01,9.01 10/01/13 INNOVATIVE SOFTWARE TECHNOLOGIES INC CA 4.01,9.01 09/25/13 Inova Technology Inc. NV 8.01,9.01 10/01/13 Intcomex, Inc. DE 5.02,7.01,9.01 10/01/13 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 8.01,9.01 10/01/13 INTERCEPT PHARMACEUTICALS INC DE 8.01 10/01/13 IntercontinentalExchange Group, Inc. DE 1.01,9.01 09/27/13 INTERCONTINENTALEXCHANGE INC DE 1.01,9.01 09/27/13 INTREXON CORP VA 1.01,9.01 09/30/13 Iridium Communications Inc. DE 7.01 10/01/13 J C PENNEY CO INC DE 1.01,9.01 09/26/13 JBI, INC. NV 1.01,2.03,3.02, 09/30/13 8.01,9.01 JMP Group Inc. DE 7.01 10/01/13 Jones Lang LaSalle Income Property Tr MD 7.01,9.01 10/01/13 KBR, INC. DE 8.01,9.01 10/01/13 KEMET CORP DE 7.01,9.01 10/01/13 KFORCE INC FL 8.01 09/30/13 KINDRED HEALTHCARE, INC DE 8.01,9.01 09/30/13 KIWA BIO-TECH PRODUCTS GROUP CORP DE 1.02,9.01 09/23/13 Kiwibox.Com, Inc. DE 7.01,9.01 10/01/13 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 10/01/13 LAKELAND INDUSTRIES INC DE 1.01,2.03,9.01 09/27/13 LEE ENTERPRISES, INC DE 7.01,9.01 10/01/13 Leidos Holdings, Inc. 1.01,2.01,5.02, 09/25/13 5.03,9.01 Liberty Interactive Corp 7.01,9.01 09/30/13 Liberty Media Corp DE 7.01,9.01 09/30/13 LINDSAY CORP DE 5.02 09/25/13 LogMeIn, Inc. DE 5.02 09/30/13 LOUISIANA-PACIFIC CORP DE 7.01,9.01 09/30/13 LRR Energy, L.P. DE 7.01,9.01 10/01/13 LUCAS ENERGY, INC. NV 5.02,9.01 09/30/13 LYDALL INC /DE/ DE 5.02,8.01,9.01 09/30/13 MAGELLAN HEALTH SERVICES INC DE 8.01,9.01 10/01/13 Maiden Holdings, Ltd. D0 5.03,8.01,9.01 09/25/13 Main Street Capital CORP MD 1.01,2.03,8.01, 09/27/13 9.01 Marathon Patent Group, Inc. NV 2.01 09/25/13 MASONITE INTERNATIONAL CORP A1 5.02 09/30/13 MAXIMUS INC VA 8.01 09/30/13 MAXWELL TECHNOLOGIES INC DE 5.08,9.01 09/28/13 MCCLATCHY CO DE 5.02,9.01 09/30/13 MEDICAL PROPERTIES TRUST INC 8.01,9.01 09/26/13 MeetMe, Inc. DE 1.01,5.02,7.01, 09/25/13 8.01,9.01 Memorial Production Partners LP DE 1.01,2.01,2.03, 09/26/13 7.01,8.01,9.01 MERCER INTERNATIONAL INC. WA 8.01,9.01 10/01/13 Merck & Co. Inc. NJ 2.05,9.01 09/30/13 MIKROS SYSTEMS CORP DE 5.02 10/01/13 Mirati Therapeutics, Inc. DE 2.05 10/01/13 MOBETIZE, CORP. NV 8.01,9.01 10/01/13 MOBETIZE, CORP. NV 1.01,3.02,5.02, 10/01/13 9.01 MOD PAC CORP NY 2.03,3.01,3.03, 09/27/13 5.01,5.02,5.03, 5.07,8.01,9.01 MOKITA, INC. 5.03,7.01,9.01 09/23/13 MOKITA, INC. 4.01 05/28/13 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 5.02 09/30/13 MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 10/01/13 Morgans Hotel Group Co. DE 8.01 09/30/13 MYRIAD GENETICS INC DE 7.01 09/30/13 National Bank Holdings Corp DE 2.05,2.06,9.01 09/30/13 NEKTAR THERAPEUTICS DE 7.01,9.01 09/30/13 NeuroMetrix, Inc. DE 5.02,9.01 09/30/13 NEW JERSEY RESOURCES CORP NJ 1.01,2.03,9.01 09/26/13 Nielsen Holdings N.V. P7 5.02,9.01 09/25/13 NISOURCE INC/DE DE 1.01,2.03 09/30/13 NORTHERN OIL & GAS, INC. 1.01,2.03,7.01, 09/30/13 9.01 Northfield Bancorp, Inc. DE 5.07 10/01/13 AMEND NORTHWEST PIPE CO OR 8.01,9.01 09/30/13 Novagen Ingenium Inc. NV 1.01 09/30/13 NTELOS HOLDINGS CORP 7.01,9.01 10/01/13 NTS REALTY HOLDINGS LP DE 8.01,9.01 09/30/13 Nu-Med Plus, Inc. UT 1.01,2.03,9.01 09/27/13 O REILLY AUTOMOTIVE INC 7.01,9.01 10/01/13 ONYX PHARMACEUTICALS INC DE 1.01,2.04,3.01, 10/01/13 3.03,5.01,5.02, 5.03,9.01 ORAGENICS INC FL 1.01,3.02,9.01 09/30/13 ORAGENICS INC FL 1.01 09/30/13 AMEND ORGANOVO HOLDINGS, INC. DE 8.01 09/30/13 OXIGENE INC DE 1.01 09/18/13 AMEND PACIFIC GOLD CORP NV 8.01 09/30/13 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 10/01/13 Pacira Pharmaceuticals, Inc. DE 1.01,9.01 10/01/13 PALATIN TECHNOLOGIES INC DE 2.02,9.01 09/30/12 PENN NATIONAL GAMING INC PA 8.01,9.01 09/26/13 Physicians Realty Trust MD 1.01,2.01,3.02, 09/30/13 9.01 Physicians Realty Trust MD 8.01,9.01 09/30/13 Physicians Realty Trust MD 1.01,2.01,9.01 09/30/13 Pinnacle Foods Inc. DE 1.01,2.01,2.03, 10/01/13 7.01,9.01 PIONEER ENERGY SERVICES CORP TX 7.01,9.01 10/01/13 PITNEY BOWES INC /DE/ DE 7.01,9.01 10/01/13 Polypore International, Inc. 1.01,9.01 09/27/13 POPULAR INC 5.02,9.01 09/27/13 POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 10/01/13 Promap Corp CO 5.07 09/26/13 PROOFPOINT INC DE 1.01 10/01/13 PROTECTIVE LIFE CORP DE 2.01,8.01,9.01 10/01/13 PROTECTIVE LIFE INSURANCE CO TN 2.01,8.01,9.01 10/01/13 RADIANT CREATIONS GROUP, INC. NV 8.01 10/01/13 RCM TECHNOLOGIES INC NV 5.08 10/01/13 RCS Capital Corp DE 1.01,7.01,8.01, 10/01/13 9.01 Resource Capital Corp. MD 7.01,9.01 10/01/13 RESOURCES CONNECTION INC DE 2.02,9.01 10/01/13 Rosetta Resources Inc. DE 7.01,9.01 10/01/13 RPC INC DE 8.01,9.01 10/01/13 Science Applications International Co DE 1.01,5.01,5.02, 09/25/13 5.03,9.01 SENESCO TECHNOLOGIES INC DE 1.01,3.02,9.01 09/30/13 SGB International Holdings Inc. A1 5.07 09/23/13 Shire plc 8.01,9.01 09/30/13 Shire plc 8.01,9.01 10/01/13 SIGMATRON INTERNATIONAL INC DE 8.01,9.01 10/01/13 SilverSun Technologies, Inc. DE 7.01,9.01 08/13/13 SIMON PROPERTY GROUP L P /DE/ DE 1.01,7.01,9.01 09/25/13 Simplicity Bancorp, Inc. 7.01,9.01 10/01/13 SMITH & WESSON HOLDING CORP NV 1.01,1.02,3.03, 10/01/13 5.03,7.01,8.01,9.01 Smokin Concepts Development Corp CO 1.01 09/30/13 SNAP-ON Inc DE 1.01,1.02,2.03, 09/27/13 9.01 Solera National Bancorp, Inc. DE 5.02,7.01,9.01 09/30/13 Solis Pharma US, Inc. 3.02,5.01,5.02 09/30/13 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 09/25/13 SPECTRUM PHARMACEUTICALS INC DE 8.01,9.01 10/01/13 SPHERIX INC DE 5.07 12/10/12 AMEND STANDARD PACIFIC CORP /DE/ DE 1.01,2.03,9.01 09/26/13 Stevia Corp NV 3.02 09/30/13 STIFEL FINANCIAL CORP DE 7.01,9.01 09/30/13 Support.com, Inc. DE 1.01 09/26/13 Swingplane Ventures, Inc. NV 5.02 10/01/13 SWS GROUP INC DE 5.02,9.01 09/30/13 SYNERGETICS USA INC 2.02,2.05,9.01 09/27/13 SYNERGY PHARMACEUTICALS, INC. DE 5.07 09/30/13 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 1.01 09/24/13 TEAM INC TX 2.02,7.01,9.01 10/01/13 TearLab Corp DE 5.02,9.01 10/01/13 TENET HEALTHCARE CORP NV 2.01,2.03,7.01, 10/01/13 8.01,9.01 Texas Rare Earth Resources Corp. DE 5.02 10/01/13 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 10/01/13 TICC Capital Corp. MD 7.01,9.01 10/01/13 TILE SHOP HOLDINGS, INC. DE 5.02,8.01,9.01 10/01/13 Tower Group International, Ltd. D0 1.01,9.01 09/25/13 TransMontaigne Partners L.P. DE 5.02 09/30/13 TransUnion Holding Company, Inc. DE 7.01,9.01 10/01/13 TRINITY CAPITAL CORP NM 1.01,9.01 09/26/13 TRIPLE-S MANAGEMENT CORP 8.01,9.01 09/30/13 TrueBlue, Inc. WA 8.01,9.01 09/30/13 TWENTY-FIRST CENTURY FOX, INC. 1.01,2.03 09/30/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 10/01/13 U S PHYSICAL THERAPY INC /NV NV 8.01,9.01 09/30/13 U.S. Well Services, LLC DE 7.01,9.01 10/01/13 UMH PROPERTIES, INC. MD 7.01,9.01 10/01/13 Uni-Pixel DE 8.01,9.01 10/01/13 UNIONBANCAL CORP DE 2.03 09/26/13 UNITED ONLINE INC DE 8.01,9.01 10/01/13 UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 10/01/13 UNWIRED PLANET, INC. DE 4.01,9.01 09/27/13 URS CORP /NEW/ DE 5.02,9.01 10/01/13 VANGUARD HEALTH SYSTEMS INC DE 1.02,3.01,3.03, 10/01/13 5.01,5.02,5.03, 9.01 WAL MART STORES INC DE 8.01,9.01 09/25/13 WALGREEN CO IL 2.02,7.01,9.01 10/01/13 WELLS FARGO & COMPANY/MN DE 8.01,9.01 09/27/13 WELLS REAL ESTATE FUND IX LP GA 1.01 09/25/13 WELLS REAL ESTATE FUND VIII LP GA 1.01 09/25/13 WGL HOLDINGS INC VA 5.05,9.01 09/25/13 WILLIS LEASE FINANCE CORP DE 8.01 09/26/13 WILSHIRE BANCORP INC 2.01,9.01 10/01/13 World Surveillance Group Inc. DE 1.01,3.02,9.01 09/25/13 WORTHINGTON INDUSTRIES INC OH 2.02,5.02,5.07, 09/26/13 9.01 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 10/01/13 XcelMobility Inc. NV 8.01,9.01 09/18/13 Xumanii, Inc. NV 8.01,9.01 10/01/13 ZHONE TECHNOLOGIES INC DE 2.03,9.01 09/30/13