Commission Revokes Registration of Securities of Explortex Energy, Inc. for Failure to Make Required Periodic Filings
The Securities and Exchange Commission (Commission) revoked the registration of each class of registered securities of Explortex Energy, Inc. (EXPX) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, EXPX consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Explortex Energy, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of EXPX’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against EXPX in In the Matter of American Energy Production, Inc., et al., Administrative Proceeding File No. 3-15496.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .
Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Explortex Energy, Inc., In the Matter of American Energy Production, Inc., et al., Administrative Proceeding File No. 3-15496, Exchange Act Release No. 34-70622
Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of American Energy Production, Inc., et al., Administrative Proceeding File No. 3-15496, Exchange Act Release No. 70433 (Rel 34-70622)
In the Matter of Richard Lee
The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Richard Lee. The Order finds that Lee, age 34, resides in Chicago, Illinois. He was employed as a portfolio manager at S.A.C. Capital Advisors, L.P. (S.A.C. Capital), an investment adviser based in Stamford, Connecticut, from April 2009 to June 2011, and then again from September 2012 through March 2013.
On July 25, 2013, the Commission filed an insider trading action against Lee in SEC v. Richard Lee, Civil Action No. 13-cv-5185 (S.D.N.Y.). On July 30, 2013, the Commission amended its complaint against Lee to add charges against Sandeep Aggarwal, a sell-side analyst who tipped material non-public information to Lee. On September 12, 2013, the Court entered a judgment, by consent, permanently enjoining Lee from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission’s amended complaint alleges that on July 10, 2009, Lee obtained from Aggarwal material non-public information concerning negotiations between Yahoo! Inc. and Microsoft Corp. to enter into an internet search engine partnership. The amended complaint further alleges that on November 11, 2009, Lee received material non-public information that Hewlett Packard Company was planning to acquire the computer technology company 3Com Corporation. Lee used these tips to trade Yahoo securities for himself and for S.A.C. Capital, and to trade 3Com securities for S.A.C. Capital. On July 23, 2013, Lee pleaded guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in a parallel criminal proceeding before the United States District Court for the Southern District of New York in United States v. Richard Lee, 13-cr-539 (PGG).
Based on the above, the Order bars Lee from being associated with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Lee consented to the Order. (Rel. IA-3688)
Former Envit Capital Boilerroom Salesman Settles SEC Fraud Charges
The Commission announced today that on October 8, 2013, the federal court in Massachusetts entered a judgment against Jonathan Fraiman in a previously-filed case, arising from his alleged participation in a boiler room operated by Edward M. Laborio. Fraiman consented to the entry of the judgment.
On August 10, 2012, the Commission charged Fraiman, Laborio, Matthew K. Lazar, and seven entities owned and controlled by Laborio, including a non-existent hedge fund, (collectively, the Envit Companies) with raising up to $5.7 million from more than 150 investors through the fraudulent sale of five unregistered offerings. The Complaint alleged that Laborio hired Fraiman in January 2008 to market Envit Capital Multi Strategy Mixed Investment Fund I LP, a purported hedge fund that in reality never conducted any business, and Laborio also named Fraiman as the Director and Chief Compliance Officer of Envit Capital Private Wealth Management, LLC, the purported investment adviser arm of the Envit Companies. Among other conduct, the Complaint alleged that Fraiman raised hundreds of thousands of dollars for Laborio by misrepresenting the historical returns and financial health of the Envit Companies, including that: (i) the non-existent hedge fund returned 42.9% in 2006 and 43.7% in 2007; (ii) shares in one of the unregistered offerings pay a 5% to 10% dividend; and (iii) the company had no debt and was cash flow positive.
On October 8, 2013, the Court entered a final judgment against Fraiman: (i) permanently enjoining him from violating Section 17(a)(2) of the Securities Act of 1933 (Securities Act); Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5(b) thereunder; and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder; (ii) barring him from participating in any offering of penny stock; (iii) finding him liable for disgorgement of $180,961.42 and prejudgment interest of $24,537.22, for a total of $205,498.66; and (iv) waiving payment of the disgorgement and prejudgment interest, and not imposing a civil penalty, based upon the representations in Fraiman’s sworn statement of financial condition. Fraiman agreed to settle the Commission’s charges without admitting or denying the allegations in the Complaint.
To settle the Commission’s charges in related administrative proceedings that the Commission will separately institute, Fraiman has consented to be barred from any future association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, with the right to reapply after ten years.
The Commission’s civil injunctive action against Laborio, Lazar, and the Envit Companies is still pending. [SEC v Edward M. Laborio et al., 1:12-cv-11489-MBB (D. Mass.)] (Rel. LR-22836)
In the Matter of Arn Wilson
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 Arn Wilson. The Order finds that on January 28, 2011 Wilson pled guilty to securities fraud, wire fraud, mail fraud, and conspiracy to commit those three offenses, in violation of 15 U.S.C. §§ 78j(b) and 78ff; 17 C.F.R. § 240.10b-5; and 18 U.S.C. §§ 1341, 1343, and 2, before the United States District Court for the Southern District of New York, in United States v. Ross Mandell, et al., 09-cr-662 (S.D.N.Y.). Wilson, 48 years old, is a resident of Dix Hills, New York. Wilson was a registered representative (“RR”) at The Thornwater Company, L.P. (“Thornwater”) from 1998 to 2002. Wilson was next an RR at Sky Capital LLC (now known as Granta Capital LLC) (Sky Capital), a New York-based broker-dealer, from 2002 to 2008. The counts of the criminal indictment under which Wilson pled guilty alleged, inter alia, that from at least in or about 1998 through in or about 2006, Wilson and others carried out a fraudulent scheme by soliciting millions of dollars from investors under false pretenses, manipulating the market for certain affiliated companies’ stocks, failing to use investors’ funds as promised, and misappropriating and converting investors’ funds without their knowledge. The indictment alleged that Wilson and others used material misrepresentations and omissions to cause individuals to invest in a series of purported investment opportunities, including private placements. The indictment also alleged that Wilson and others raised a total of approximately $140 million from investors through their fraudulent scheme. The indictment further alleged that Wilson and his co-defendants used those funds to enrich themselves, pay undisclosed commissions to brokers, and pay off earlier investors who had lost funds on prior purported investment opportunities. Wilson’s sentencing hearing has not yet been scheduled.
Based on the above, the Order bars Wilson from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Wilson consented to the Order. For more information about this matter, please see also Litigation Release Number 21120 / July 8, 2009. (Rel. 34-70633)
In the Matter of David F. Bandimere
An Administrative Law Judge has issued an Initial Decision as to Respondent David F. Bandimere (Bandimere) in David F. Bandimere, Admin. Proc. File No. 3-15124. The Initial Decision finds that Bandimere willfully violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The Initial Decision bars Bandimere from association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, orders Bandimere to disgorge $638,056.33 plus prejudgment interest, imposes a civil penalty of $390,000, and orders Bandimere to cease and desist from committing or causing violations of the aforementioned provisions of the Securities and Exchange Acts.
An Initial Decision was issued as to John O. Young, the other named Respondent in this proceeding, on October 4, 2013. David F. Bandimere, Initial Decision Release No. 506. (Rel. ID-507)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-29) to amend EDGA Rules 3.2, 13.3, and adopt Rule 12.14, Front Running of Block Transactions to conform with the rules of other self-regulatory organizations, 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 October 7th. (Release No. 34-70625).
A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-36) to amend EDGX Rules 3.2, 13.3, and adopt Rule 12.14, Front Running of Block Transactions to conform with the rules of other self-regulatory organizations, 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 October 7th. (Release No. 34-70626)
A proposed rule change (SR-NASDAQ-2013-130) filed by The NASDAQ Stock Market LLC to adopt new regulatory fees payable by certain listed companies and applicants 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 7th. (Rel. 34-70627)
A proposed rule change filed by NASDAQ OMX PHLX LLC to delay the implementation of the Options Floor Broker Management System (SR-Phlx-2013-100) 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 7th. (Rel. 34-70629)
A proposed rule change filed by BATS-Y Exchange, Inc. to add a reference to Rule 10C-1 under the Exchange Act in the Exchange’s rules concerning Unlisted Trading Privileges (SR-BYX-2013-037) 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 7th. (Rel. 34-70623)
A proposed rule change filed by NASDAQ OMX PHLX LLC to amend the Table of Contents of the Pricing Schedule (SR-Phlx-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 7th. (Rel. 34-70630)
Notice of Proposed Rule Change
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-101) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the WisdomTree Bloomberg U.S. Dollar Bullish Fund, WisdomTree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70624)
New York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2013-68) under Rule 19b-4 of the Securities Exchange Act of 1934 amending Section 907.00 of the Listed Company Manual to expand the suite of complimentary products and services that are offered to certain current and newly listed companies. Publication is expected in the Federal Register during the week of October 7th. (Rel. 34-70628)
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-1 JGWPT Holdings Inc., 201 KING OF PRUSSIA ROAD, SUITE 501, RADNOR, PA, 19087-5148, (484) 434-2300 - 0 ($200,000,000.00) Equity, (File 333-191585 - Oct. 7) (BR. 07) S-1 Blue Capital Reinsurance Holdings Ltd., 94 PITTS BAY RD., PEMBROKE, D0, HM08, 4412997595 - 0 ($100,000,000.00) Equity, (File 333-191586 - Oct. 7) (BR. 01A) S-1 Levy Acquisition Corp, 444 NORTH MICHIGAN AVENUE, SUITE 3500, CHICAGO, IL, 60611, 312-267-4190 - 0 ($172,500,000.00) Equity, (File 333-191587 - Oct. 7) (BR. 03A) S-8 Empire State Realty Trust, Inc., ONE GRAND CENTRAL PLACE, 60 EAST 42ND STREET, NEW YORK, NY, 10165, 212-953-0888 - 12,219,505 ($158,853,565.00) Equity, (File 333-191588 - Oct. 7) (BR. 08C) S-8 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, A6, M5X 1A1, 4168677191 - 0 ($30,000,000.00) Other, (File 333-191591 - Oct. 7) (BR. 12A) S-8 OCI Resources LP, FIVE CONCOURSE PARKWAY, SUITE 2500, ATLANTA, GA, 30328, 770-375-2300 - 0 ($17,724,240.00) Limited Partnership Interests, (File 333-191598 - Oct. 7) (BR. 09) S-8 Cherry Hill Mortgage Investment Corp, 301 HARPER DRIVE, SUITE 110, MOORESTOWN, NJ, 08057, (856) 626-2663 - 0 ($27,945,000.00) Equity, (File 333-191600 - Oct. 7) (BR. 08B) S-1 TANDEM DIABETES CARE INC, 11045 ROSELLE STREET, SUITE 200, San Diego, CA, 92121, 858-366-6900 - 0 ($100,000,000.00) Equity, (File 333-191601 - Oct. 7) (BR. 10B) S-4 DENVER PARENT Corp, 370 17TH ST, STE 3900, DENVER, CO, 80202, 303-626-8300 - 0 ($255,000,000.00) Debt, (File 333-191602 - Oct. 7) (BR. ) S-8 OFG BANCORP, 254 MU?OZ RIVERA AVENUE, SAN JUAN, PR, 00918, 7877716800 - 0 ($23,469,084.08) Equity, (File 333-191603 - Oct. 7) (BR. 07C) S-3ASR BIOMARIN PHARMACEUTICAL INC, 105 DIGITAL DRIVE, NOVATO, CA, 94949, 4155066700 - 0 ($0.00) Other, (File 333-191604 - Oct. 7) (BR. 01B) S-3 UNWIRED PLANET, INC., 170 SOUTH VIRGINIA STREET, SUITE 201, RENO, NV, 89501, 775-980-2345 - 2,481,365 ($4,466,457.00) Equity, (File 333-191605 - Oct. 7) (BR. 03B) S-3ASR Western Union CO, 12500 EAST BELFORD AVENUE, ENGLEWOOD, CO, 80112, (720) 332-3361 - 6,000,000 ($111,480,000.00) Equity, (File 333-191606 - Oct. 7) (BR. 02B) S-1 Norcraft Companies, Inc., 3020 DENMARK AVENUE, SUITE 100, EAGAN, MN, 55121, 800-297-0661 - 0 ($100,000,000.00) Equity, (File 333-191607 - Oct. 7) (BR. 06B) S-3ASR Western Union CO, 12500 EAST BELFORD AVENUE, ENGLEWOOD, CO, 80112, (720) 332-3361 - 0 ($0.00) Debt, (File 333-191608 - Oct. 7) (BR. 02B) S-1 PORTOLA PHARMACEUTICALS INC, 270 EAST GRAND AVENUE, SUITE 22, SOUTH SAN FRANCISCO, CA, 94080, 650-244-6864 - 0 ($115,000,000.00) Equity, (File 333-191609 - Oct. 7) (BR. 01A) S-3 DYNAVAX TECHNOLOGIES CORP, 2929 SEVENTH STREET, SUITE 100, BERKELEY, CA, 94710, 5108485100 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-191610 - Oct. 7) (BR. 01A) S-8 INDEPENDENCE REALTY TRUST, INC, CIRA CENTRE, 2929 ARCH ST. 17TH FLOOR, PHILADELPHIA, PA, 19104, 2152439000 - 0 ($6,640,000.00) Equity, (File 333-191612 - Oct. 7) (BR. 08B) S-4 TENET HEALTHCARE CORP, 1445 ROSS AVENUE, SUITE 1400, DALLAS, TX, 75202, 469-893-2701 - 0 ($2,800,000,000.00) Debt, (File 333-191613 - Oct. 7) (BR. 01B) S-8 TENET HEALTHCARE CORP, 1445 ROSS AVENUE, SUITE 1400, DALLAS, TX, 75202, 469-893-2701 - 0 ($206,443,649.19) Equity, (File 333-191614 - Oct. 7) (BR. 01B)
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 3DICON CORP OK 1.01,2.03,3.02,9.01 10/01/13 ACORDA THERAPEUTICS INC 5.02,9.01 10/07/13 ACORDA THERAPEUTICS INC 5.02,9.01 10/07/13 AMEND ACORN ENERGY, INC. DE 2.06,8.01 10/03/13 ACORN ENERGY, INC. DE 7.01 10/07/13 ADCARE HEALTH SYSTEMS, INC OH 1.01,5.02 10/01/13 Advanced Voice Recognition Systems, I NV 1.01,3.02,9.01 10/01/13 AES CORP DE 5.02,9.01 10/03/13 AgFeed Industries, Inc. NV 8.01 09/30/13 AIS FUTURES FUND IV LP DE 3.02 09/30/13 Allied Nevada Gold Corp. DE 2.02,9.01 10/07/13 ALPHA & OMEGA SEMICONDUCTOR Ltd 5.02,9.01 10/03/13 Altegris QIM Futures Fund, L.P. DE 3.02 10/01/13 Altegris Winton Futures Fund, L.P. CO 3.02 10/01/13 AMAZONICA, CORP. NV 1.01,9.01 09/30/13 AMERICAN EAGLE ENERGY Corp NV 8.01,9.01 10/07/13 American Realty Capital Properties, I MD 1.01,7.01,8.01,9.01 10/06/13 American Realty Capital Properties, I MD 1.01,9.01 10/07/13 American Realty Capital Trust IV, Inc MD 1.01,7.01,8.01,9.01 10/06/13 AMERIPRISE FINANCIAL INC DE 5.03,9.01 10/03/13 AMYRIS, INC. DE 1.01,2.03 10/04/13 ASURE SOFTWARE INC DE 8.01,9.01 10/04/13 Atkore International Holdings Inc. DE 1.01,9.01 10/04/13 AUXILIUM PHARMACEUTICALS INC DE 7.01,9.01 10/07/13 AvWorks Aviation Corp 5.02,9.01 09/23/13 BAKER HUGHES INC DE 5.02,7.01,9.01 10/01/13 Bank of Marin Bancorp CA 7.01,8.01,9.01 10/07/13 BERRY PLASTICS GROUP INC DE 5.02,9.01 10/04/13 Big Clix, Corp. FL 5.03,8.01,9.01 07/15/13 Blue Earth, Inc. NV 7.01,9.01 10/07/13 BOULDER BRANDS, INC. DE 5.02,7.01,9.01 10/07/13 BRADY CORP WI 5.02,9.01 10/06/13 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 10/04/13 BUCKEYE PARTNERS, L.P. DE 5.02,5.03,7.01,9.01 10/01/13 CAL MAINE FOODS INC DE 5.07 10/04/13 Car Charging Group, Inc. NV 8.01 09/24/13 CD INTERNATIONAL ENTERPRISES, INC. FL 1.01,2.01,2.02,9.01 09/28/13 CD INTERNATIONAL ENTERPRISES, INC. FL 1.01,5.02,9.01 09/30/13 CD INTERNATIONAL ENTERPRISES, INC. FL 4.01,9.01 10/03/13 CenterState Banks, Inc. FL 7.01,9.01 10/07/13 CENTRAL FEDERAL CORP DE 8.01 10/07/13 CFCRE Commercial Mortgage Trust 2011- DE 6.02 10/01/13 Citadel EFT, Inc. NV 4.01,8.01 09/17/13 AMEND CO & PA 1999D Limited Partnership WV 8.01,9.01 09/27/13 Colorado 2000B Limited Partnership WV 8.01,9.01 09/27/13 Colorado 2000C Limited Partnership WV 8.01,9.01 09/27/13 Colorado 2000D Limited Partnership WV 8.01,9.01 09/27/13 Colorado 2001A Limited Partnership WV 8.01,9.01 09/27/13 Colorado 2001C Limited Partnership WV 8.01,9.01 09/27/13 Colorado 2001D Limited Partnership WV 8.01,9.01 09/27/13 Colorado 2002A Limited Partnership WV 8.01,9.01 09/27/13 COMMODITY ADVISORS FUND L.P. NY 1.01,9.01 10/01/13 COMPUTER TASK GROUP INC NY 7.01,9.01 10/07/13 COOPER TIRE & RUBBER CO DE 7.01,9.01 10/04/13 CUMBERLAND PHARMACEUTICALS INC 8.01 10/04/13 CUMULUS MEDIA INC DE 2.02,7.01,9.01 10/07/13 CYBEROPTICS CORP MN 2.02,9.01 10/07/13 DARLING INTERNATIONAL INC DE 8.01,9.01 10/07/13 dELiAs, Inc. DE 1.01,2.03,9.01 10/01/13 Digital Generation, Inc. DE 1.01,9.01 10/07/13 Duke Energy CORP DE 8.01 10/07/13 Dutch Gold Resources Inc CO 5.02 10/07/13 DYNEX CAPITAL INC VA 1.01,2.03,9.01 10/01/13 Eastern 1996D Limited Partnership WV 8.01,9.01 09/27/13 Eastern 1997D Limited Partnership WV 8.01,9.01 09/27/13 Eastern 1998D Limited Partnership WV 8.01,9.01 09/27/13 Echo Global Logistics, Inc. DE 5.02,9.01 10/07/13 EL PASO ELECTRIC CO /TX/ TX 5.02 10/03/13 EMERGING CTA PORTFOLIO LP NY 1.01,9.01 10/01/13 Empire State Realty OP, L.P. DE 1.01,2.03,5.03,9.01 10/01/13 Empire State Realty Trust, Inc. MD 1.01,2.03 10/01/13 Ener-Core Inc. NV 1.01,2.01,3.02,4.01, 5.01,5.02,5.03, 5.06, 9.01 07/01/13 AMEND Ever-Glory International Group, Inc. FL 3.01,9.01 10/01/13 FARMERS & MERCHANTS BANCORP DE 5.02 10/04/13 Federal Home Loan Bank of Dallas 2.03,9.01 10/01/13 Fifth & Pacific Companies, Inc. DE 1.01,2.05,2.06,7.01, 9.01 10/07/13 FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01,9.01 10/07/13 First Savings Financial Group Inc 2.02,9.01 07/24/13 Firsthand Technology Value Fund, Inc. 3.02,8.01,9.01 10/07/13 FONAR CORP DE 2.02 06/30/13 Fortress Investment Group LLC DE 7.01 10/07/13 FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,9.01 10/02/13 Fulucai Productions Ltd. NV 1.01,9.01 10/02/13 GelTech Solutions, Inc. DE 5.02 10/01/13 General Motors Financial Company, Inc TX 8.01,9.01 10/01/13 GENVEC INC DE 8.01 10/07/13 Gepco, Ltd. NV 5.03,9.01 10/07/13 GLOBAL PAYMENTS INC GA 5.02,9.01 10/01/13 GoldLand Holdings Corp. DE 8.01 10/07/13 Golub Capital BDC, Inc. DE 2.02,9.01 10/07/13 Gramercy Property Trust Inc. MD 7.01,9.01 10/07/13 Gramercy Property Trust Inc. MD 1.01,3.02,8.01,9.01 10/04/13 AMEND Griffin Capital Essential Asset REIT, 7.01,8.01,9.01 10/03/13 Hanesbrands Inc. MD 2.03,7.01,8.01,9.01 10/07/13 HARBINGER GROUP INC. DE 7.01 10/07/13 HARSCO CORP DE 5.02,8.01 10/07/13 HARVEST NATURAL RESOURCES, INC. DE 3.02 09/30/13 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.03,9.01 10/03/13 HCA Holdings, Inc. 5.02,9.01 10/03/13 HERCULES OFFSHORE, INC. DE 1.01,2.03,7.01,8.01, 9.01 10/01/13 HOME LOAN SERVICING SOLUTIONS, LTD. E9 7.01,9.01 10/07/13 HomeStreet, Inc. WA 7.01,9.01 10/07/13 Independence Energy Corp. NV 1.01,3.02,9.01 09/23/13 AMEND INTERCONTINENTALEXCHANGE INC DE 5.02 10/04/13 INTERMOLECULAR INC DE 5.02,9.01 10/02/13 AMEND International Metals Streaming Corp. NV 8.01 10/07/13 JACKSONVILLE BANCORP INC /FL/ FL 8.01,9.01 10/07/13 JAMBA, INC. DE 2.02,9.01 10/07/13 JONES LANG LASALLE INC MD 1.01,1.02,9.01 10/07/13 KYTHERA BIOPHARMACEUTICALS INC DE 8.01 10/07/13 LEARNING TREE INTERNATIONAL, INC. DE 5.02 10/07/13 LGL GROUP INC DE 1.01,5.02,8.01,9.01 10/07/13 Lightwave Logic, Inc. NV 5.02,9.01 10/02/13 LITHIA MOTORS INC OR 7.01,9.01 10/07/13 LOCAL Corp DE 1.01,9.01 10/03/13 LOUISIANA-PACIFIC CORP DE 7.01 10/07/13 Macquarie Infrastructure CO LLC DE 1.01,9.01 09/30/13 MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,9.01 10/03/13 Maidenform Brands, Inc. DE 1.02,2.01,3.01,3.03, 5.01,5.02,5.03,9.01 10/07/13 MARRIOTT INTERNATIONAL INC /MD/ DE 3.01,9.01 10/04/13 MASIMO CORP DE 5.07 10/02/13 MATERION Corp 2.02,9.01 10/07/13 MAXIMUS INC VA 1.01,5.02,9.01 10/07/13 Memorial Production Partners LP DE 8.01,9.01 10/04/13 MEXICO FUND INC MD 7.01,9.01 09/30/13 MINISTRY PARTNERS INVESTMENT COMPANY, CA 5.02 10/07/13 Molycorp, Inc. DE 1.01 10/07/13 MONARCH CASINO & RESORT INC NV 8.01 10/04/13 Morgan Stanley Bank of America Merril 6.02 10/07/13 Morgan Stanley Capital I Trust 2012-C DE 6.02 10/07/13 Morningstar, Inc. IL 8.01,9.01 10/04/13 MOSAIC CO 7.01,9.01 10/07/13 MTS SYSTEMS CORP MN 5.02 10/07/13 NAVISTAR INTERNATIONAL CORP DE 7.01,8.01,9.01 10/07/13 Neiman Marcus Group LTD Inc. DE 7.01 10/07/13 Nexeo Solutions Holdings, LLC DE 1.01,7.01,9.01 10/04/13 NISOURCE INC/DE DE 1.01,9.01 10/03/13 Noble Corp / Switzerland V8 8.01,9.01 10/07/13 Ocean Power Technologies, Inc. NJ 5.07 10/03/13 OCI Partners LP DE 1.01,5.02,9.01 10/03/13 OMEGA HEALTHCARE INVESTORS INC MD 8.01,9.01 10/01/13 ONCOR ELECTRIC DELIVERY CO LLC DE 5.02 10/07/13 ONCOR ELECTRIC DELIVERY CO LLC DE 5.02 10/07/13 AMEND Orexigen Therapeutics, Inc. DE 1.01 10/01/13 ORGANOVO HOLDINGS, INC. DE 8.01 10/02/13 OUTERWALL INC DE 7.01,9.01 10/04/13 PennantPark Floating Rate Capital Ltd 7.01,9.01 10/04/13 PENNANTPARK INVESTMENT CORP 7.01,9.01 10/04/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 09/25/13 Premier, Inc. 1.01,3.02,5.02, 8.01,9.01 10/01/13 Pzena Investment Management, Inc. DE 8.01,9.01 10/07/13 QAD INC DE 5.07 06/11/13 AMEND QCR HOLDINGS INC DE 8.01,9.01 10/07/13 QUANTUM MATERIALS CORP. NV 7.01,9.01 10/02/13 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 10/03/13 RAINMAKER SYSTEMS INC DE 5.02,8.01,9.01 10/03/13 RBC Bearings INC 8.01,9.01 10/04/13 RECOVERY ENERGY, INC. NV 1.01 10/07/13 REPROS THERAPEUTICS INC. DE 8.01,9.01 10/07/13 REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,5.02,9.01 10/01/13 SANGAMO BIOSCIENCES INC DE 2.01,9.01 10/01/13 SCANSOURCE INC SC 9.01 10/07/13 Select Notes Trust LT 2004-1 DE 8.01,9.01 10/01/13 SHILOH INDUSTRIES INC DE 9.01 10/07/13 Shire plc 8.01,9.01 10/04/13 SHUTTERFLY INC DE 5.02 10/01/13 SKULLCANDY, INC. 5.02,9.01 10/07/13 SolarWinds, Inc. DE 1.01,2.01,2.03,7.01, 9.01 10/01/13 Sorrento Therapeutics, Inc. DE 9.01 09/09/13 AMEND SOURCEFIRE INC DE 2.01,3.01,3.03,5.01, 5.02,5.03,5.07,9.01 10/07/13 Southern Trust Securities Holding Cor FL 5.02,9.01 10/07/13 SOUTHSIDE BANCSHARES INC TX 8.01 10/05/13 SOUTHWEST AIRLINES CO TX 2.02,9.01 10/07/13 SPECTRUM PHARMACEUTICALS INC DE 1.01,9.01 10/07/13 SpendSmart Payments Co CO 5.02 10/01/13 Spirit Airlines, Inc. DE 1.01 10/01/13 SPRINGLEAF FINANCE CORP IN 8.01 10/06/13 STANDARD REGISTER CO OH 8.01,9.01 10/07/13 Starz DE 7.01,9.01 10/03/13 Starz, LLC DE 7.01,9.01 10/03/13 Strategic Environmental & Energy Reso NV 8.01,9.01 10/07/13 TACTICAL DIVERSIFIED FUTURES FUND L.P NY 1.01,9.01 10/01/13 Targeted Medical Pharma, Inc. 1.01 10/01/13 Technologies Scan Corp A8 8.01,9.01 10/04/13 THERAGENICS CORP DE 8.01 10/07/13 TIDEWATER INC DE 8.01,9.01 10/02/13 TITAN INTERNATIONAL INC IL 1.01,2.03,2.04,3.03, 8.01,9.01 10/07/13 Titan Iron Ore Corp. NV 1.01,3.02,9.01 09/30/13 Tower Group International, Ltd. D0 7.01,9.01 10/07/13 TRANS LUX CORP DE 5.07 10/02/13 TRANSATLANTIC PETROLEUM LTD. 7.01,9.01 10/07/13 Transcept Pharmaceuticals Inc DE 8.01,9.01 10/07/13 TransMontaigne Partners L.P. DE 8.01,9.01 10/07/13 TUCSON ELECTRIC POWER CO AZ 2.03,8.01 10/03/13 UBS-Citigroup Commercial Mortgage Tru 6.02 10/01/13 UGI CORP /PA/ PA 1.01 10/01/13 United Continental Holdings, Inc. DE 8.01,9.01 10/07/13 United Financial Bancorp, Inc. 8.01,9.01 10/04/13 UNS Energy Corp AZ 2.03,8.01 10/03/13 US TUNGSTEN CORP. 5.02 10/04/13 VERISIGN INC/CA DE 8.01,9.01 10/07/13 VOLITIONRX LTD DE 5.03,9.01 10/03/13 Vystar Corp GA 5.02 10/01/13 WASHINGTON POST CO DE 1.01,2.01,9.01 10/01/13 Weatherford International Ltd./Switze V8 7.01 10/07/13 Wendy's Co DE 2.01,7.01,9.01 10/07/13 WESTELL TECHNOLOGIES INC DE 5.02,9.01 10/04/13 Whitestone REIT TX 1.01,7.01,9.01 10/07/13 WILSON BANK HOLDING CO TN 2.02,7.01,9.01 10/07/13 XCEL ENERGY INC MN 8.01 10/04/13 ZAYO GROUP LLC DE 7.01,9.01 10/02/13 Zep Inc. DE 5.02,8.01,9.01 10/01/13