On June 17, 2011, Unico, Inc received a grand jury subpoena from the United States Attorney’s Office for the Southern District of California (USAO-SD Cal) requesting certain documents as part of an ongoing criminal investigation. The subpoena is focused on transactions conducted under section 3(a)(10) of the Securities Act of 1933 that took place in the time period 2006 to 2008. On June 29, 2011, the USAO-SD Cal executed a search warrant on a storage unit containing Unico, Inc, documents. The search warrant focuses on the same types of transactions.