SEC Charges Father-and-Son Hedge Fund Managers Who Agree to Pay $4.8 Million to Settle Fraud Case
The Securities and Exchange Commission today charged a Boston-based father-son duo of hedge fund managers and their firms with securities fraud for misleading investors about their investment strategy and past performance.
The SEC’s investigation found that Gabriel and Marco Bitran raised millions of dollars for their hedge funds through GMB Capital Management LLC and GMB Capital Partners LLC by falsely telling investors they had a lengthy track record of success based on actual trades using real money. In truth, the Bitrans knew the track record was based on back-tested hypothetical simulations. The Bitrans also misled investors in certain hedge funds to believe they used quantitative optimal pricing models devised by Gabriel Bitran to invest in exchange-traded funds (ETFs) and other liquid securities. Instead, they merely invested the money almost entirely in other hedge funds. GMB Capital Management later provided false documents to SEC staff examining the firm’s claims in marketing materials of a successful track record.
The Bitrans agreed to be barred from the securities industry and pay a total of $4.8 million to settle the SEC’s charges.
“The Bitrans solicited investors by touting an impressive track record and a unique investment strategy, and they lied about both,” said David P. Bergers, Director of the SEC’s Boston Regional Office.
According to the SEC’s order instituting settled administrative proceedings, Gabriel Bitran founded GMB Capital Management in 2005 for the stated purpose of managing hedge funds using quantitative models he developed based on his academic optimal pricing research to trade primarily ETFs. He and his son Marco Bitran solicited potential investors with three primary selling points:
The SEC’s order states that over a period of three years, the Bitrans raised more than $500 million for eight hedge funds and various managed accounts while making these misrepresentations to investors. In order to market the hedge funds, GMB Management and the Bitrans created performance track records beginning in January 1998 showing double-digit annualized return without any down years. They distributed these track records to potential investors in marketing materials, and told investors that they were based on actual trading with real money using Gabriel Bitran’s optimal pricing models. In reality, the Bitrans knew their representations were false and the track records were based on hypothetical historical investments. For two of their hedge funds, they created track records showing annualized returns of 16.2 percent and 11.7 percent with no down years, and told investors the returns were based on actual trading when in fact they were based on hypothetical historical allocations to hedge fund managers.
According to the SEC’s order, investors were misled to believe their money was being invested according to Gabriel Bitran’s unique quant strategy when in reality certain GMB hedge funds were merely investing predominantly in other hedge funds without his involvement. For example, investors in two GMB hedge funds were told that Gabriel Bitran spent 80 percent of his time managing the funds and was involved in reviewing trades in the funds on a daily basis. However, he actually had no role in the management of either fund. Both funds experienced a series of losses at the end of 2008, and GMB eventually dissolved them. When a possible financial fraud at the Petters Group Worldwide was reported in late September 2008, the two hedge funds’ investments in a fund that was entirely invested in the Petters Group became illiquid. However, GMB did not disclose to investors that it had been impacted by the Petters fraud, instead sending investors a letter stating that “a swap instrument that the Fund entered into seeking to realize a higher return on a portion of its uninvested cash” had become illiquid because “one of the parties underlying the swap instrument is currently experiencing a credit and liquidity crisis, in conjunction with other alleged factors.” Furthermore, the two GMB funds suffered significant losses in hedge funds that had invested with Bernard Madoff. These investments in funds that ultimately invested with the Petters Group and Madoff were made contrary to what GMB investors were told.
According to the SEC’s order, during an SEC examination of GMB Capital Management, the firm produced a document that the Bitrans claimed was a real-time record of Gabriel Bitran’s trades since 1998. In fact, the document was false and created solely for the purpose of responding to the SEC staff’s request for the books and records that supported GMB’s performance claims.
The GMB entities and the Bitrans neither admitted nor denied the SEC’s findings in settling the charges. They agreed to pay disgorgement of $4.3 million. Gabriel and Marco Bitran also agreed to pay $250,000 each in penalties and be barred from the securities industry, and the GMB entities will be censured. The SEC’s order requires the Bitrans and the GMB entities to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 204, 206(1), 206(2) and 206(4) of the Advisers Act and Rules 204-2(a)(16) and 206(4)-8 thereunder.
The SEC’s investigation was conducted by Kerry Dakin, Kevin Kelcourse, and Kathleen Shields of the Boston Regional Office. Paul Prata, Elizabeth Ward, and Milton Pepin of the Boston Regional Office worked on the SEC’s examination. Stuart Jackson of the SEC’s Division of Risk, Strategy, and Financial Innovation assisted in the investigation. (Press Rel. 2012-71; 33-9315)
SEC Charges British Twin Brothers Touting “Stock Picking Robot” in Internet Pump-and-Dump Scheme
The Securities and Exchange Commission today charged twin brothers from the U.K. with defrauding approximately 75,000 investors through an Internet-based pump-and-dump scheme in which they touted a fake “stock picking robot” that purportedly identified penny stocks set to double in price. Instead, the brothers were merely touting stocks they were being paid separately to promote.
The SEC alleges that Alexander John Hunter and Thomas Edward Hunter were just 16 years old when they set their fraud in motion beginning in 2007. They disseminated e-mail newsletters through a pair of websites they created to tout stocks selected by the robot – which they described as a highly sophisticated computer trading program that was the product of extensive research and development. Their claims were persuasive as the Hunters received at least $1.2 million from investors primarily in the U.S. who paid $47 apiece for annual newsletter subscriptions. Some investors paid an additional fee for the “home version” of the robot software.
In reality, the SEC alleges that the Hunters used a third website to offer their services as stock promoters, claiming that they could “rocket” a stock’s price and increase its volume by sending out newsletters. The Hunters were consequently paid at least $1.865 million in fees from known or suspected stock promoters, and they did not disclose to their newsletter followers the conflicting relationship between their two businesses.
“The Hunters used the anonymity of the Internet and the promise of easy riches to prey on investors,” said Thomas A. Sporkin, Chief of the SEC’s Office of Market Intelligence. “While touting their supposed breakthrough investment technology on two websites, the Hunters were racking up fees as stock promoters through a third.”
According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, the Hunters created websites Doublingstocks.com and Daytradingrobot.com to falsely tout that a former trading algorithm programmer from a large investment bank had designed a stock picking robot that they named “Marl.” The robot could purportedly analyze the over-the-counter securities markets and identify penny stocks that were set to experience large price increases. The brothers offered investors paid subscriptions to their e-mail newsletter that would contain the robot’s latest stock pick.
The SEC alleges that the brothers separately created the website Equitypromoter.com where they marketed their newsletter subscriber list to penny stock promoters and boasted, “One email to this list of people rockets a stock price.” The Hunters were in turn paid to send selected penny stock ticker symbols to their subscribers, who were misled to believe that the stock “picks” were the product of the robot. The Hunters sent out their newsletters near the beginning of the trading day, and the price and volume of the promoted stocks spiked dramatically as newsletter subscribers rushed to purchase shares. However, the stocks typically fell precipitously shortly thereafter, leaving investors with shares worth less than they had purchased them for earlier in the day.
According to the SEC’s complaint, the Hunters also offered subscribers a downloadable version of the stock picking robot for an additional fee of $97. Rather than performing the analysis advertised, the software was actually designed to just deliver users a stock pick supplied by the brothers. In soliciting bids in 2007 from free-lance coders to create the software, Alexander Hunter wrote that the software should “not actually find stocks at all. It should connect to my database and simply request any new stocks I have put in.” He bluntly explained that the software “is almost a ‘fake’ piece of software and needs to simply appear advanced to the user.” Like the newsletter, the home version of the stock picking robot was no more than a fraudulent delivery vehicle for stock symbols that the Hunters had been compensated to promote.
The SEC’s complaint charges the Hunters with violating the anti-fraud provisions of the U.S. securities laws, namely 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 SEC is seeking permanent injunctions, disgorgement of all ill-gotten gains with prejudgment interest, and financial penalties.
Closed Meeting on Thursday, April 26, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, April 26, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and an opinion.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
Commission Revokes Registration of Securities of Mikron Infrared, Inc. (n/k/a LumaSense Technologies, Inc.) For Failure to Make Required Periodic Filings
On April 20, 2012, the Commission revoked the registration of each class of registered securities of Mikron Infrared Inc. (n/k/a LumaSense Technologies, Inc.) 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, Mikron Infrared Inc. (n/k/a LumaSense Technologies, Inc.) 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 Mikron Infrared Inc. (n/k/a LumaSense Technologies, 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 Mikron Infrared Inc. (n/k/a LumaSense Technologies, Inc.) securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Mikron Infrared Inc. (n/k/a LumaSense Technologies, Inc.) in In the Matter of Jetborne International, Inc., et al., Administrative Proceeding File No. 3-14809.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, International, Inc., et al., Administrative Proceeding File No. 3-14809, Exchange Act Release No. 66640, March 21, 2012. (Rel. 34-66836; File No. 3-14809)
Commission Bars Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski Following Injunction in Federal Court
The Commission barred Vladimir Boris Bugarski, Vladislav Walter Bugarski, and Aleksander Negovan Bugarski (collectively, "Respondents"), principals of mUrgent Corporation, from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of penny stock. The Commission found that Respondents had been enjoined in federal district court from violating various provisions of the securities laws in connection with a civil suit brought by the Commission alleging that mUrgent and Respondents raised approximately $9.6 million through unregistered offerings by making material misrepresentations and omissions concerning mUrgent's business performance and financing plans. Based upon the injunction and the facts alleged in suit, the Commission determined that the public interest required Respondents be barred, stating that "barring Respondents from participating in the securities industry and from participating in an offering of penny stock provides an important additional layer of protection to the public beyond the sanctions imposed by the district court." (Rel. 34-66842; File No. 3-14496)
In the Matter of Montford and Company, Inc. d/b/a Montford Associates, and Ernest V. Montford, Sr.
An Administrative Law Judge issued an Initial Decision in Montford and Company, Inc. d/b/a Montford Associates, and Ernest V. Montford, Sr., Admin. Proc. 3-14536, Initial Decision Release No. 457. The Initial Decision finds Respondents violated Sections 206(1), 206(2), and 207 of the Investment Advisers Act of 1940 (Advisers Act), and Ernest V. Montford, Sr., (Montford) aided, abetted, and caused Montford and Company, Inc., d/b/a/ Montford Associates’ (Montford Associates) violations of Advisers Act Section 204 and Advisers Act Rule 204-1(a)(2).
Montford Associates, until March 30, 2012, a federally-registered investment adviser chartered in Georgia, admitted, among other things, accepting a total of $210,000 in 2010 from an investment manager that it recommended to clients without disclosure in Montford Associates’ Forms ADV or in communications with clients or prospective clients.
The Initial decision: (1) orders Respondents to disgorge $130,000, with prejudgment interest from February 1, 2010, and $80,000, with prejudgment interest from December 1, 2010; (2) orders Montford Associates to pay a civil penalty of $500,000 and Montford to pay a civil penalty of $150,000; (3) establishes a Fair Fund so that the amount of disgorgement and civil penalties can be used for the benefit of Montford Associates’ clients harmed by the violations found in the Initial Decision; (4) bars Montford from association with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and (5) orders that Montford Associates and Montford cease and desist from committing or causing any violations, and any future violations, of Sections 204, 206(1), 206(2), and 207 of the Advisers Act and Advisers Act Rule 204-1(a)(2). (Initial Decision No. 457; File No. 3-14536)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-020), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, relating to post-trade transparency for agency pass-through mortgage-backed securities traded TBA. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-66829)
The Commission approved proposed rule changes (SR-EDGA-2012-08; SR-EDGX-2012-07; SR-ISE-2012-21) submitted by EDGA Exchange, Inc.; EDGX Exchange, Inc.; and International Securities Exchange, LLC; pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to a corporate transaction in which SIX Swiss Exchange AG will transfer its interest in ISE Holdings, Inc. to a newly formed Swiss corporation, Eurex Global Derivatives AG. Publication is expected in the Federal Register during the week of April 23. (Rel. 34-66834)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31 to specify how the immediate-or-cancel time-in-force instructions are applicable to an MPL Order (SR-NYSEArca-2012-32) 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 April 23. (Rel. 34-66833)
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 TrovaGene Inc., 11055 FLINTKOTE AVENUE, SAN DIEGO, CA, 92121, 858-217-5420 - 0 ($18,000,000.00) Equity, (File 333-180810 - Apr. 19) (BR. 01B) S-1 PARAMOUNT GOLD & SILVER CORP., 665 ANDERSON STREET, WINNEMUCCA, NV, 89445, (775) 625-3600 - 0 ($24,638,040.00) Equity, (File 333-180812 - Apr. 19) (BR. 09A) N-2 CORNERSTONE PROGRESSIVE RETURN FUND, C/O ULTIMUS FUND SOLUTIONS, LLC, 350 JERICHO TURNPIKE, SUITE 206, JERICHO, NY, 11753, (646) 881-4985 - 167,224 ($1,000,000.00) Equity, (File 333-180813 - Apr. 19) (BR. 16) S-8 SONIC AUTOMOTIVE INC, 4401 COLWICK ROAD, CHARLOTTE, NC, 28211, 704-566-2400 - 0 ($34,860,000.00) Equity, (File 333-180814 - Apr. 19) (BR. 02A) S-8 SONIC AUTOMOTIVE INC, 4401 COLWICK ROAD, CHARLOTTE, NC, 28211, 704-566-2400 - 0 ($5,229,000.00) Equity, (File 333-180815 - Apr. 19) (BR. 02A) S-1 MICRO IMAGING TECHNOLOGY, INC., 23456 S POINTE DR, LAGUNA HILLS, CA, 92653-1512, 9497709347 - 140,000,000 ($455,000.00) Equity, (File 333-180816 - Apr. 19) (BR. 03A) S-1 Safe & Sound International Inc., 77-83 JUDITH ST, CRESTMEAD, C3, 4132, 011-61-409346458 - 990,000 ($955,746.00) Face Amount Certificates, (File 333-180817 - Apr. 19) (BR. ) S-1 RESPECT YOUR UNIVERSE, INC., 5940 S. RAINBOW BLVD., LAS VEGAS, NV, 89118, 888-455-6183 - 5,763,800 ($660.53) Equity, (File 333-180818 - Apr. 19) (BR. 09) S-3 Ameris Bancorp, 24 2/ND/ AVENUE, MOULTRIE, GA, 31768, 9128901111 - 52,000 ($52,000,000.00) Equity, (File 333-180820 - Apr. 19) (BR. 07B) S-B KOREA DEVELOPMENT BANK, 2126887686 - 0 ($5,000,000,000.00) Debt, (File 333-180821 - Apr. 19) (BR. DN) S-8 KINROSS GOLD CORP, 25 YORK STREET, 17TH FLOOR, TORONTO, A6, M5J 2V5, 8013639152 - 0 ($187,200,000.00) Equity, (File 333-180822 - Apr. 19) (BR. 09A) S-8 KINROSS GOLD CORP, 25 YORK STREET, 17TH FLOOR, TORONTO, A6, M5J 2V5, 8013639152 - 0 ($198,120,004.00) Equity, (File 333-180823 - Apr. 19) (BR. 09A) S-8 KINROSS GOLD CORP, 25 YORK STREET, 17TH FLOOR, TORONTO, A6, M5J 2V5, 8013639152 - 0 ($53,039,994.00) Equity, (File 333-180824 - Apr. 19) (BR. 09A) S-4 TOMPKINS FINANCIAL CORP, PO BOX 460 THE COMMONS, ITHACA, NY, 14851, 6072733210 - 0 ($89,689,009.00) Equity, (File 333-180825 - Apr. 19) (BR. 07C) S-8 BIOCUREX INC, 7080 RIVER RD, STE 215, RICHMOND, A1, V6X 1X5, 6042079150 - 20,000,000 ($200,000.00) Equity, (File 333-180826 - Apr. 19) (BR. 10A) S-8 NORTHERN TRUST CORP, 50 S LASALLE ST, CHICAGO, IL, 60603, 3126306000 - 0 ($1,378,200,000.00) Equity, (File 333-180827 - Apr. 19) (BR. 12A) S-8 CYTEC INDUSTRIES INC/DE/, FIVE GARRET MOUNTAIN PLAZA, WEST PATERSON, NJ, 07424, 9733573100 - 2,000,000 ($127,360,000.00) Equity, (File 333-180828 - Apr. 19) (BR. 06A) S-8 WARWICK VALLEY TELEPHONE CO, 47 49 MAIN ST, WARWICK, NY, 10990, 9149861101 - 600,000 ($8,364,000.00) Equity, (File 333-180829 - Apr. 19) (BR. 11A) S-8 ANTARES PHARMA, INC., 250 PHILLIPS BLVD, SUITE 290, EWING, NJ, 08618, 609-359-3020 - 2,000,000 ($6,020,000.00) Equity, (File 333-180832 - Apr. 19) (BR. 10A) S-3ASR KIMCO REALTY CORP, 3333 NEW HYDE PARK RD, PO BOX 5020, NEW HYDE PARK, NY, 11042, 5168699000 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-180833 - Apr. 19) (BR. 08B) S-4 Level 3 Financing, Inc., 1025 ELDORADO BLVD., BROOMFIELD, CO, 80021, 720-888-1000 - 0 ($900,000,000.00) Debt, (File 333-180834 - Apr. 19) (BR. 11C)
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 ----------------------------------------------------------------------------------------- ACACIA RESEARCH CORP DE 2.02,9.01 04/19/12 ADVANCED MICRO DEVICES INC DE 2.02,7.01,9.01 04/19/12 AEMETIS, INC NV 1.01,2.03,9.01 04/13/12 Affinity Gaming, LLC NV 5.02,9.01 09/23/11 AFS SenSub Corp. 8.01,9.01 04/19/12 AgFeed Industries, Inc. NV 2.02,5.02,9.01 04/18/12 Aircastle LTD D0 7.01,9.01 04/18/12 ALASKA AIR GROUP INC DE 2.02,7.01,9.01 04/18/12 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 04/19/12 ALLSTATE CORP DE 7.01,9.01 04/19/12 ALTERA CORP DE 2.02,9.01 04/19/12 AMCON DISTRIBUTING CO DE 2.02,9.01 04/19/12 AMEREN CORP MO 8.01 04/19/12 AMERICAN AIRLINES INC DE 2.02,9.01 04/19/12 AMERICAN AIRLINES INC DE 7.01 04/19/12 American Electric Technologies Inc FL 1.01,3.02,8.01,9.01 04/13/12 AMERICAN RIVER BANKSHARES CA 2.02,9.01 04/19/12 AMERISERV FINANCIAL INC /PA/ PA 8.01,9.01 04/19/12 AMP Holding Inc. NV 1.01,5.02,8.01,9.01 04/13/12 AMR CORP DE 2.02,9.01 04/19/12 AMR CORP DE 2.02,9.01 04/19/12 AMR CORP DE 7.01 04/19/12 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 04/19/12 APOLLO GROUP INC AZ 1.01,8.01 04/18/12 ARBITRON INC DE 2.02,9.01 04/19/12 Arlington Asset Investment Corp. VA 2.02,9.01 04/18/12 ASSOCIATED BANC-CORP WI 2.02,9.01 04/19/12 ASTORIA FINANCIAL CORP DE 2.02,8.01,9.01 04/18/12 Athens Bancshares Corp 8.01,9.01 04/18/12 AUTOZONE INC NV 1.01,9.01 04/17/12 AVISTAR COMMUNICATIONS CORP DE 2.02,9.01 04/19/12 AZTEC OIL & GAS, INC. NV 7.01 08/31/11 B&G Foods, Inc. DE 2.02,7.01,9.01 04/19/12 BANK OF AMERICA CORP /DE/ DE 2.02,7.01,9.01 04/19/12 BANK OF KENTUCKY FINANCIAL CORP KY 2.02,9.01 04/19/12 BANK OF THE OZARKS INC AR 1.01,5.02,5.07,7.01, 04/17/12 9.01 BASIC ENERGY SERVICES INC 2.02,9.01 04/18/12 BASSETT FURNITURE INDUSTRIES INC VA 5.07,8.01,9.01 04/18/12 BAXTER INTERNATIONAL INC DE 2.02,9.01 04/19/12 BB&T CORP NC 2.02,9.01 04/19/12 BGC Partners, Inc. DE 2.01,8.01,9.01 04/13/12 BIGLARI HOLDINGS INC. IN 2.02,7.01 04/19/12 BioScrip, Inc. DE 1.01,5.02 04/17/12 BIOVEST INTERNATIONAL INC DE 7.01,9.01 04/18/12 Blackstone Group L.P. DE 2.02,9.01 04/19/12 BOOKS A MILLION INC DE 4.01,9.01 04/13/12 BOSTON SCIENTIFIC CORP DE 2.02,9.01 04/19/12 BOSTON SCIENTIFIC CORP DE 1.01,1.02,2.03,9.01 04/18/12 BROOKLINE BANCORP INC DE 2.02 04/18/12 Brownie's Marine Group, Inc NV 5.02 04/18/12 BRUNSWICK CORP DE 7.01 04/19/12 Builders FirstSource, Inc. DE 2.02,9.01 04/19/12 C & F FINANCIAL CORP VA 5.07 04/17/12 CAN CAL RESOURCES LTD NV 3.02,5.02,9.01 04/17/12 CAPITAL ONE FINANCIAL CORP DE 2.02,7.01,8.01,9.01 04/19/12 CapLease, Inc. 1.01,3.03,5.03,9.01 04/16/12 Carbonite Inc DE 5.02 04/19/12 CATALYST HEALTH SOLUTIONS, INC. DE 1.01,9.01 04/17/12 CBRE GROUP, INC. DE 7.01,9.01 04/19/12 CENTRAL FEDERAL CORP DE 8.01,9.01 04/19/12 CEPHEID CA 2.02,9.01 04/19/12 CHEMED CORP DE 2.02,9.01 04/19/12 China Armco Metals, Inc. NV 3.02,9.01 04/13/12 China Bull Management Inc NV 1.01 04/15/12 AMEND CHINA HGS REAL ESTATE INC. F4 5.02 04/13/12 CHINACAST EDUCATION CORP DE 8.01 04/19/12 CHIPOTLE MEXICAN GRILL INC 2.02,9.01 04/19/12 CHOICE BANCORP, INC. WI 1.01,9.01 04/13/12 CHUBB CORP NJ 2.02,9.01 04/19/12 CINCINNATI BELL INC OH 8.01 04/16/12 Cinedigm Digital Cinema Corp. DE 8.01,9.01 04/19/12 Circle Entertainment, Inc. DE 5.02 04/16/12 CITIZENS & NORTHERN CORP PA 5.07 04/19/12 CITIZENS FIRST CORP KY 2.02,7.01,9.01 04/19/12 CITIZENS REPUBLIC BANCORP, INC. MI 1.02,9.01 04/17/12 CITY NATIONAL CORP DE 2.02,9.01 04/19/12 CLIFFS NATURAL RESOURCES INC. OH 8.01 04/19/12 CNA FINANCIAL CORP DE 1.01,9.01 04/19/12 CNL Healthcare Trust, Inc. MD 1.01,5.02,9.01 04/13/12 CNL LIFESTYLE PROPERTIES INC MD 1.01,5.02,9.01 04/13/12 COBIZ FINANCIAL INC CO 2.02,9.01 04/19/12 CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 02/17/12 CONSUMER PORTFOLIO SERVICES INC CA 2.02,9.01 04/18/12 CONTINENTAL RESOURCES INC OK 2.02,9.01 04/18/12 CORNING NATURAL GAS CORP NY 5.02,5.07,9.01 04/17/12 COURIER Corp MA 2.02,8.01,9.01 04/19/12 CRAY INC WA 5.03,8.01,9.01 04/17/12 CRIMSON EXPLORATION INC. 5.02,9.01 04/18/12 CUBIST PHARMACEUTICALS INC DE 8.01,9.01 04/17/12 CVR ENERGY INC DE 2.02,8.01,9.01 04/18/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 2.02,9.01 04/19/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 5.02,9.01 04/19/12 CYTEC INDUSTRIES INC/DE/ DE 8.01,9.01 04/19/12 CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 04/19/12 CYTOKINETICS INC 8.01,9.01 04/19/12 DANAHER CORP /DE/ DE 2.02,9.01 04/18/12 DEFENSE INDUSTRIES INTERNATIONAL INC 9.01 04/02/12 AMEND DEX ONE Corp DE 8.01,9.01 04/19/12 Deyu Agriculture Corp. NV 1.01,2.01,9.01 02/02/12 AMEND DGSE COMPANIES INC NV 3.01,9.01 04/17/12 DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 04/19/12 Discover Financial Services DE 5.07 04/18/12 DM Products, Inc. NV 8.01,9.01 04/19/12 DOLLAR GENERAL CORP TN 5.02,9.01 04/16/12 DREW INDUSTRIES INC DE 8.01,9.01 04/18/12 DUPONT E I DE NEMOURS & CO DE 2.02,9.01 04/19/12 E TRADE FINANCIAL Corp DE 2.02,9.01 04/19/12 EASTGROUP PROPERTIES INC MD 2.02,9.01 04/19/12 ECOTALITY, INC. NV 8.01,9.01 04/16/12 EDGAR ONLINE INC DE 8.01 04/18/12 EL PASO CORP/DE DE 5.04,8.01,9.01 04/19/12 ELECTRONICS FOR IMAGING INC DE 2.02,9.01 04/19/12 EMC CORP MA 2.02,9.01 04/19/12 ENDOCYTE INC DE 1.01,9.01 04/13/12 ENTEGRIS INC DE 2.02,9.01 04/19/12 ENTERGY CORP /DE/ DE 2.02,9.01 04/19/12 ENTERPRISE BANCORP INC /MA/ MA 2.02,9.01 04/19/12 EQT Corp PA 5.07 04/18/12 EQUITY RESIDENTIAL MD 1.01,7.01,9.01 04/18/12 ERE MANAGEMENT INC NV 3.03,5.03,9.01 04/17/12 ESB FINANCIAL CORP PA 5.02,5.07,9.01 04/18/12 Eureka Financial Corp. 5.02,5.07 04/16/12 EVOLVING SYSTEMS INC DE 4.01,9.01 04/13/12 EXPLORE ANYWHERE HOLDING CORP NV 5.02 04/14/12 EXTREME NETWORKS INC DE 2.02,5.02,9.01 04/19/12 EZCORP INC DE 2.02,7.01,9.01 04/18/12 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 2.02 04/19/12 FARMERS CAPITAL BANK CORP KY 2.02,9.01 04/18/12 FBL FINANCIAL GROUP INC IA 7.01 04/19/12 Federal Home Loan Bank of Atlanta X1 2.03 04/19/12 Federal Home Loan Bank of Boston X1 2.03 04/16/12 Federal Home Loan Bank of Chicago X1 2.03 04/16/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/17/12 Federal Home Loan Bank of Dallas 2.03,9.01 04/13/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/17/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/19/12 Federal Home Loan Bank of New York X1 2.03,9.01 04/16/12 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 04/19/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/16/12 Federal Home Loan Bank of San Francis X1 2.03 04/17/12 Federal Home Loan Bank of Topeka 7.01,9.01 04/19/12 Federal Home Loan Bank of Topeka 2.03,9.01 04/16/12 Fidelity National Financial, Inc. 1.01,9.01 04/16/12 FIFTH THIRD BANCORP OH 2.02,7.01,9.01 04/19/12 FINISH LINE INC /IN/ IN 8.01,9.01 04/18/12 FIRST HORIZON NATIONAL CORP TN 2.02,9.01 04/19/12 FIRST HORIZON NATIONAL CORP TN 7.01,9.01 04/19/12 FIRST M&F CORP/MS MS 2.02,7.01,9.01 04/19/12 FIRST NIAGARA FINANCIAL GROUP INC DE 2.02,9.01 04/19/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 04/19/12 FIRST OF LONG ISLAND CORP NY 5.07 04/17/12 FIRST PACTRUST BANCORP INC MD 8.01 04/18/12 Firsthand Technology Value Fund, Inc. 8.01,9.01 04/19/12 FORWARD AIR CORP TN 2.02,9.01 03/31/12 FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,9.01 04/19/12 Freescale Semiconductor Holdings I, L D0 2.02,7.01,9.01 04/19/12 FULLER H B CO MN 2.05,9.01 04/18/12 GAIN Capital Holdings, Inc. DE 5.02 04/13/12 Galena Biopharma, Inc. 1.01 04/18/12 GE Capital Credit Card Master Note Tr DE 1.01,9.01 04/18/12 GENTEX CORP MI 2.02,9.01 04/19/12 GENUINE PARTS CO GA 2.02,9.01 04/19/12 GLACIER BANCORP INC DE 2.02,9.01 04/19/12 GLADSTONE CAPITAL CORP MD 3.01,9.01 04/19/12 GLOBALSCAPE INC DE 7.01 04/19/12 AMEND GREAT AMERICAN ENERGY, INC. 5.02 04/19/12 Great Wolf Resorts, Inc. DE 8.01,9.01 04/19/12 Green Ballast, Inc. DE 1.01,2.03,9.01 04/16/12 Green PolkaDot Box Inc NV 1.01,2.03,3.02,9.01 04/09/12 GREENHILL & CO INC DE 2.02,5.02,5.07,9.01 04/18/12 GROEN BROTHERS AVIATION INC /UT/ UT 1.01,3.03,5.03,9.01 04/18/12 GRYPHON GOLD CORP NV 7.01,9.01 04/19/12 GSE Holding, Inc. DE 1.01,1.02,2.03,9.01 04/18/12 GUIDED THERAPEUTICS INC DE 5.02,9.01 04/19/12 HALLIBURTON CO DE 2.02 04/18/12 Hanesbrands Inc. MD 2.02,7.01,9.01 04/19/12 HANMI FINANCIAL CORP DE 2.02,9.01 04/19/12 HARLEYSVILLE SAVINGS FINANCIAL CORP 2.02,8.01,9.01 04/18/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 1.02 04/19/12 HEARTLAND EXPRESS INC NV 2.02,9.01 04/17/12 HERCULES OFFSHORE, INC. DE 7.01,9.01 04/19/12 Heritage-Crystal Clean, Inc. DE 2.02 04/16/12 HILLS BANCORPORATION IA 5.07 04/16/12 Hines Global REIT, Inc. MD 1.01,2.03,9.01 04/13/12 HNI CORP IA 2.02,9.01 04/18/12 HOME BANCSHARES INC 2.02,7.01,9.01 04/19/12 HORIZON BANCORP /IN/ IN 2.02,9.01 04/18/12 HOUSTON AMERICAN ENERGY CORP DE 8.01,9.01 04/19/12 HUBBELL INC CT 2.02,9.01 04/19/12 HUMAN GENOME SCIENCES INC DE 8.01,9.01 04/19/12 IBERIABANK CORP LA 2.02,9.01 04/18/12 IBERIABANK CORP LA 7.01 04/19/12 Ideal Financial Solutions Inc 4.01 04/17/12 Ideal Financial Solutions Inc 4.01,4.02 04/05/12 AMEND INDEPENDENT BANK CORP MA 8.01 04/13/12 AMEND INERGY L P DE 1.01,2.03,9.01 04/13/12 INERGY MIDSTREAM, L.P. 2.03 04/16/12 INFINITY ENERGY RESOURCES, INC DE 1.01,3.02,3.03,5.03, 04/13/12 9.01 INSTEEL INDUSTRIES INC NC 2.02,9.01 04/19/12 INTEGRAMED AMERICA INC DE 1.02 04/19/12 Intellicell Biosciences, Inc. NV 1.01,9.01 04/16/12 Interactive Brokers Group, Inc. DE 2.02,8.01 04/19/12 Islet Sciences, Inc NV 1.01,3.02,9.01 04/13/12 IXIA CA 2.02,9.01 04/19/12 JOHNSON & JOHNSON NJ 8.01 04/19/12 JOHNSON & JOHNSON NJ 5.03,9.01 04/17/12 JONES LANG LASALLE INC MD 5.02,9.01 04/19/12 KANSAS CITY SOUTHERN DE 7.01 04/19/12 Kansas City Southern de Mexico, S.A. 7.01 04/19/12 Kentucky First Federal Bancorp 8.01 04/16/12 KEYCORP /NEW/ OH 2.02,7.01,9.01 04/19/12 KIMCO REALTY CORP MD 8.01,9.01 04/19/12 LABORATORY CORP OF AMERICA HOLDINGS DE 2.02 04/19/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 04/19/12 LaSalle Hotel Properties MD 2.02,9.01 04/18/12 LaSalle Hotel Properties MD 7.01,8.01,9.01 04/19/12 LATTICE SEMICONDUCTOR CORP DE 2.02,9.01 04/19/12 LAYNE CHRISTENSEN CO DE 2.02,9.01 04/19/12 LD HOLDINGS, INC. NV 8.01 04/19/12 LEE ENTERPRISES, INC DE 2.02,9.01 04/17/12 LEVI STRAUSS & CO DE 5.02,8.01,9.01 04/18/12 LIFE TIME FITNESS, INC. MN 2.02,5.02,9.01 04/16/12 LIGHTING SCIENCE GROUP CORP DE 1.01,3.02,9.01 04/13/12 LILLY ELI & CO IN 5.07 04/16/12 Limelight Networks, Inc. DE 5.02 04/13/12 LUCAS ENERGY, INC. NV 8.01,9.01 04/18/12 M&F BANCORP INC /NC/ NC 4.01,9.01 04/18/12 MACK CALI REALTY CORP MD 1.01,9.01 04/19/12 MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 04/19/12 MERCHANTS BANCSHARES INC DE 8.01,9.01 04/19/12 METLIFE INC DE 2.02,7.01,9.01 04/18/12 MF Global Holdings Ltd. DE 7.01,9.01 04/16/12 MICROFINANCIAL INC MA 2.02,9.01 04/18/12 MICROSOFT CORP WA 2.02,9.01 04/19/12 Monarch Financial Holdings, Inc. VA 2.02,9.01 04/19/12 MORGAN STANLEY DE 2.02,9.01 04/19/12 MOUNTAIN NATIONAL BANCSHARES INC TN 5.02,8.01 04/13/12 MRI INTERVENTIONS, INC. DE 5.02 04/16/12 MYERS INDUSTRIES INC OH 2.02,7.01,9.01 04/19/12 N-VIRO INTERNATIONAL CORP DE 1.01,3.02,5.02 04/13/12 NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 03/31/12 National CineMedia, Inc. DE 8.01,9.01 04/18/12 NCR CORP MD 2.02,9.01 04/19/12 NCR CORP MD 5.02,9.01 04/19/12 NET 1 UEPS TECHNOLOGIES INC 1.01,3.02,9.01 04/18/12 NeurogesX Inc CA 8.01,9.01 04/17/12 NEW YORK TIMES CO NY 2.02,9.01 04/19/12 NEWS CORP 8.01,9.01 04/19/12 NORTHERN TRUST CORP DE 5.02,5.07,9.01 04/17/12 Northwest Bancshares, Inc. MD 5.07,8.01,9.01 04/18/12 NOVASTAR FINANCIAL INC MD 8.01,9.01 04/18/12 NUCOR CORP DE 2.02,9.01 04/19/12 NVR INC VA 2.02,9.01 04/19/12 Oilsands Quest Inc 5.02,9.01 04/18/12 OLD SECOND BANCORP INC DE 8.01 04/19/12 OLIN CORP VA 7.01,9.01 04/19/12 OMNICOM GROUP INC NY 8.01,9.01 04/19/12 ORIGINOIL INC NV 5.02,8.01,9.01 04/14/12 Otter Tail Corp MN 5.02,5.07,9.01 04/16/12 OVERSTOCK.COM, INC DE 2.02,9.01 04/19/12 Owens Corning DE 5.07 04/19/12 OYO GEOSPACE CORP DE 8.01,9.01 04/19/12 Oz Saferooms Technologies, Inc. DE 4.01 04/11/12 AMEND PARLUX FRAGRANCES INC DE 1.02,2.01,3.01,3.03, 04/17/12 5.01,5.02,5.07,7.01, 9.01 PASSUR Aerospace, Inc. NY 5.02 04/15/12 PEABODY ENERGY CORP DE 2.02,9.01 04/19/12 PENNS WOODS BANCORP INC PA 2.02,9.01 04/18/12 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 1.01,9.01 04/13/12 PEOPLES BANCORP INC/MD MD 8.01 04/18/12 PEOPLES BANCORPORATION INC /SC/ SC 8.01 04/17/12 PEP BOYS MANNY MOE & JACK PA 8.01,9.01 04/19/12 Perfumania Holdings, Inc. FL 1.01,2.01,2.03,3.02, 04/17/12 5.02,5.03,5.07,7.01, 9.01 PHARMACYCLICS INC DE 5.02 04/13/12 Philip Morris International Inc. VA 2.02,9.01 04/19/12 PINGIFY INTERNATIONAL INC. NV 5.02 04/17/12 PINNACLE AIRLINES CORP DE 5.02,9.01 04/18/12 PIXELWORKS, INC OR 2.02,9.01 04/19/12 PLUMAS BANCORP CA 5.02,9.01 04/18/12 POOL CORP DE 2.02,7.01,9.01 04/19/12 POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 04/19/12 POWER-SAVE ENERGY CO UT 5.02 04/18/12 PPG INDUSTRIES INC PA 2.02,9.01 04/19/12 PPL Corp 1.01,2.03,9.01 04/18/12 PPL Corp 8.01 04/19/12 PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 04/19/12 PRESSTEK INC /DE/ DE 3.01 04/19/12 PRICE T ROWE GROUP INC MD 5.07 04/17/12 PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,9.01 04/18/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.01,8.01,9.01 04/15/12 PROLOR Biotech, Inc. NV 7.01,9.01 04/19/12 PRUDENTIAL BANCORP INC OF PENNSYLVANI 1.01,5.02,7.01,9.01 04/18/12 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 5.07 04/17/12 PUBLIX SUPER MARKETS INC FL 5.07 04/17/12 PUMA BIOTECHNOLOGY, INC. DE 8.01,9.01 04/16/12 QUICKSILVER RESOURCES INC DE 5.02,9.01 04/13/12 RAMBUS INC DE 2.02,9.01 04/19/12 RAMTRON INTERNATIONAL CORP DE 2.02,9.01 04/19/12 Raptor Pharmaceutical Corp DE 1.01 04/16/12 Raystream Inc. NV 5.02 04/11/12 RBS GLOBAL INC DE 1.01,2.03,8.01,9.01 04/19/12 RED TRAIL ENERGY, LLC 1.01 04/16/12 REDDY ICE HOLDINGS INC DE 1.01,9.01 04/16/12 REPUBLIC BANCORP INC /KY/ KY 2.02,9.01 04/19/12 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 04/19/12 RESPECT YOUR UNIVERSE, INC. NV 5.02,5.03,9.01 04/16/12 Rexnord Corp DE 1.01,2.03,8.01,9.01 04/19/12 RING ENERGY, INC. NV 4.01,9.01 04/15/12 Riverbed Technology, Inc. DE 2.02,9.01 04/19/12 RLI CORP IL 2.02,9.01 04/18/12 Roadrunner Transportation Systems, In DE 8.01,9.01 04/19/12 ROCKWELL COLLINS INC DE 2.02,7.01,9.01 04/19/12 ROCKY BRANDS, INC. OH 2.02,9.01 04/19/12 ROMA FINANCIAL CORP X1 5.07 04/18/12 RXi Pharmaceuticals Corp DE 1.01 04/18/12 SANDISK CORP DE 2.02,9.01 04/19/12 SEQUENOM INC DE 8.01 04/19/12 SHERWIN WILLIAMS CO OH 2.02,9.01 04/19/12 SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 04/19/12 Skinny Nutritional Corp. NV 3.02 04/17/12 SMF ENERGY CORP DE 3.01 04/16/12 SNAP-ON Inc DE 2.02,9.01 04/19/12 SOMERSET HILLS BANCORP NJ 2.02,9.01 04/19/12 SOMERSET HILLS BANCORP NJ 7.01,9.01 04/19/12 SONOCO PRODUCTS CO SC 2.02,9.01 04/19/12 SOUTHWEST AIRLINES CO TX 2.02,9.01 03/31/12 STAR GAS PARTNERS LP DE 2.02,7.01 04/19/12 STEVIA NUTRA CORP. NV 8.01 04/17/12 STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 04/18/12 STRATEGIC HOTELS & RESORTS, INC 5.03,8.01,9.01 04/17/12 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 04/19/12 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 04/19/12 SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 04/19/12 SUPREME INDUSTRIES INC DE 2.02,7.01,9.01 04/16/12 SWIFT TRANSPORTATION Co 1.01,2.02,8.01,9.01 04/17/12 Symmetry Medical Inc. DE 8.01,9.01 04/19/12 SYNTEL INC MI 2.02,9.01 04/19/12 TAYLOR CAPITAL GROUP INC DE 2.02,9.01 04/19/12 TAYLOR CAPITAL GROUP INC DE 7.01,9.01 04/19/12 TCF FINANCIAL CORP DE 2.02,9.01 04/19/12 TearLab Corp DE 8.01,9.01 04/16/12 TearLab Corp DE 5.02 04/17/12 TELLABS INC DE 5.02 04/16/12 AMEND TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 04/19/12 Terra Tech Corp. NV 1.01,2.01,3.02,3.03, 02/09/12 AMEND 5.01,5.03,5.06,9.01 THESTREET, INC. DE 5.07 05/26/11 AMEND THOR INDUSTRIES INC DE 1.01,9.01 04/13/12 TII NETWORK TECHNOLOGIES, INC. DE 9.01 04/13/12 AMEND TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 04/19/12 TORON INC. NV 2.01 04/16/12 AMEND TRANSACT TECHNOLOGIES INC DE 5.02,9.01 04/19/12 TRAVELERS COMPANIES, INC. MN 2.02,9.01 04/19/12 ULTRATECH INC DE 2.02,9.01 04/19/12 UMPQUA HOLDINGS CORP OR 2.02,9.01 04/19/12 UMPQUA HOLDINGS CORP OR 5.07 04/19/12 UNION PACIFIC CORP UT 2.02,9.01 04/19/12 United American Petroleum Corp. NV 7.01,8.01,9.01 04/13/12 United Continental Holdings, Inc. DE 2.02,9.01 04/19/12 United Maritime Group, LLC FL 1.01,8.01,9.01 04/18/12 UNITEDHEALTH GROUP INC MN 2.02,9.01 04/19/12 UNIVERSAL FOREST PRODUCTS INC MI 5.07 04/18/12 US BANCORP \DE\ DE 5.02,5.07 04/17/12 USEC INC DE 5.02,9.01 04/13/12 VALCOM, INC DE 7.01,9.01 04/18/12 VERIZON COMMUNICATIONS INC DE 2.02,9.01 04/19/12 Vestin Realty Mortgage II, Inc MD 8.01 04/19/12 VirnetX Holding Corp DE 5.02 04/13/12 VOC Energy Trust 2.02,9.01 04/19/12 W R GRACE & CO DE 2.02,8.01 04/19/12 AMEND W R GRACE & CO DE 7.01,9.01 04/19/12 AMEND WERNER ENTERPRISES INC NE 2.02,9.01 04/18/12 WESCO INTERNATIONAL INC 2.02,7.01,9.01 04/19/12 Western Union CO DE 8.01 04/19/12 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 04/19/12 WHIRLPOOL CORP /DE/ DE 8.01,9.01 04/17/12 WINMARK CORP MN 2.02,7.01,9.01 04/18/12 WINTRUST FINANCIAL CORP IL 2.02,9.01 04/19/12 WORDLOGIC CORP NV 5.02,7.01,9.01 04/18/12 YUM BRANDS INC NC 2.02,9.01 04/18/12 Zeltiq Aesthetics Inc DE 5.02,8.01,9.01 04/18/12 Zeltiq Aesthetics Inc DE 2.02,9.01 04/19/12 ZHONE TECHNOLOGIES INC DE 2.02,9.01 04/19/12 ZIONS BANCORPORATION /UT/ UT 8.01 04/19/12 Ziyang Ceramics Corp FL 2.02,7.01,9.01 04/19/12