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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-86
May 3, 2012

Commission announcements

Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers For Failure to Make Required Periodic Filings

The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 3, 2012, and terminating at 11:59 p.m. EDT on May 16, 2012.

  • Airtrax, Inc. (AITX)
  • Amedia Networks, Inc. (AANI)
  • American Business Financial Services, Inc. (ABFIQ)
  • Appalachian Bancshares, Inc. (APAB)
  • Ariel Way, Inc. (AWYI)

The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).

The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.

Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66909)

Commission Meetings

Change in the Meeting: Additional Item

The following matter was also considered during the 2:00 p.m. Closed Meeting on Thursday, May 3, 2012: a personnel matter.

Closed Meeting on Thursday, May 10, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, May 10, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of amici participation; and other matters relating to enforcement proceedings.

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.

ENFORCEMENT PROCEEDINGS

Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings

In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:

  • Airtrax, Inc. (AITX)
  • Amedia Networks, Inc. (AANI)
  • American Business Financial Services, Inc. (ABFIQ)
  • Appalachian Bancshares, Inc. (APAB)
  • Ariel Way, Inc. (AWYI)

In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66908; File No. 3-14869)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2012-27) implementing an increase to the login fee within the NYSE Amex Options Fee Schedule 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 May 7. (Rel. 34-66903)

A proposed rule change (SR-NYSEArca-2012-40) filed by NYSE Arca, Inc. implementing a fee change for the Floor Broker Electronic Order Capture Device 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 May 7. (Rel. 34-66904)

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-056) to amend Rules 7001 and 7018(h) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66905)

SECURITIES ACT REGISTRATIONS

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.

F-3     Golar LNG Partners LP, PAR-LA-VILLE PLACE, FOURTH FLOOR, 
        14 PAR-LA-VILLE ROAD, HAMILTON, D0, HM 08, 1 441-295-4705 - 
        0 ($1,007,030,000.00) Unallocated (Universal) Shelf, (File 333-181094 - 
        May. 2) (BR. 05A)

S-8     DANA HOLDING CORP, 3939 TECHNOLOGY DRIVE, MAUMEE, OH, 43537, 
        419-887-3000 - 5,000,000 ($74,900,000.00) Equity, (File 333-181101 - 
        May. 2) (BR. 05B)

S-3ASR  AMERICAN CAMPUS COMMUNITIES INC, 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-181102 - May. 2) 
        (BR. 08C)

S-3     CEF EQUIPMENT HOLDING LLC, 
        1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-181103 - 
        May. 2) (BR. OSF)

S-8     SERVICESOURCE INTERNATIONAL, INC., 634 SECOND STREET, SAN FRANCISCO, 
        CA, 94107, 4159016030 - 3,628,371 ($53,322,540.67) Equity, 
        (File 333-181104 - May. 2) (BR. 02C)

S-8     SUNRISE SENIOR LIVING INC, 7902 WESTPARK DR, MCLEAN, VA, 22102, 
        7032737500 - 0 ($18,990,000.00) Equity, (File 333-181106 - May. 2) 
        (BR. 11C)

S-8     LABORATORY CORP OF AMERICA HOLDINGS, 358 S MAIN ST, BURLINGTON, NC, 
        27215, 3362291127 - 0 ($1,081,027,960.00) Equity, (File 333-181107 - 
        May. 2) (BR. 09B)

S-8     LABORATORY CORP OF AMERICA HOLDINGS, 358 S MAIN ST, BURLINGTON, NC, 
        27215, 3362291127 - 0 ($157,716,000.00) Equity, (File 333-181108 - 
        May. 2) (BR. 09B)

S-8     Carlyle Group L.P., C/O THE CARLYLE GROUP, 
        1001 PENNSYLVANIA AVENUE, N.W., WASHINGTON, DC, 20004, 202 729 5626 - 
        30,450,000 ($761,250,000.00) Equity, (File 333-181109 - May. 2) 
        (BR. 06C)

S-3     UMB FINANCIAL CORP, 1010 GRAND AVE, KANSAS CITY, MO, 64106, 
        8168607000 - 0 ($24,112,500.00) Equity, (File 333-181110 - May. 2) 
        (BR. 07B)

S-8     UMB FINANCIAL CORP, 1010 GRAND AVE, KANSAS CITY, MO, 64106, 
        8168607000 - 0 ($14,467,500.00) Equity, (File 333-181111 - May. 2) 
        (BR. 07B)

S-8     Edgen Group Inc., 18444 HIGHLAND ROAD, BATON ROUGE, X1, 70809, 
        2257569868 - 7,700,000 ($68,068,000.00) Equity, (File 333-181112 - 
        May. 2) (BR. 05B)

N-2     Cohen & Steers Low Duration Preferred Income Fund, Inc., 
        280 PARK AVENUE, FLOOR 10, NEW YORK, NY, 10017, (212) 832-3232 - 
        40,000 ($1,000,000.00) Equity, (File 333-181113 - May. 2) (BR. )

S-8     Six Flags Entertainment Corp, 924 AVENUE J EAST, GRAND PRAIRIE, TX, 
        75050, 972 595-5000 - 0 ($209,704,000.00) Equity, (File 333-181114 - 
        May. 2) (BR. 05C)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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                                      5.03,8.01,9.01       04/27/12

ABBOTT LABORATORIES                     IL       5.02                 04/27/12

Abingdon Futures Fund LP                NY       3.02                 05/01/12

ACME PACKET INC                         DE       2.02,9.01            05/02/12

ACTUANT CORP                            WI       5.02,8.01,9.01       04/26/12

Adamis Pharmaceuticals Corp             DE       1.02,9.01            04/24/12

ADEPT TECHNOLOGY INC                    DE       2.02,9.01            05/02/12

ADVISORY BOARD CO                       DE       2.02,8.01,9.01       05/01/12

AGL RESOURCES INC                       GA       5.07                 05/01/12

ALEXANDERS J CORP                       TN       2.02,7.01,9.01       05/02/12

ALEXANDRIA REAL ESTATE EQUITIES INC     MD       2.02,9.01            05/01/12

ALICO INC                               FL       8.01,9.01            05/02/12

ALLEGHANY CORP /DE                      DE       5.07                 04/27/12

Allegiant Travel CO                     NV       7.01,9.01            05/01/12

ALLERGAN INC                            DE       2.02,9.01            05/02/12

Allied World Assurance Co Holdings, A            2.02,9.01            05/02/12

ALLSTATE CORP                           DE       2.02,9.01            05/02/12

ALLSTATE CORP                           DE       8.01,9.01            05/02/12

ALMOST FAMILY INC                       DE       2.02,9.01            05/02/12

ALPHA & OMEGA SEMICONDUCTOR Ltd                  5.02                 04/26/12

Alphatec Holdings, Inc.                 DE       3.01,5.02            04/30/12

American Campus Communities Operating   MD       8.01,9.01            05/02/12

American Capital Agency Corp                     2.02,9.01            05/02/12

American Capital Mortgage Investment    MD       5.07                 05/02/12

AMERICAN EAGLE OUTFITTERS INC           DE       2.02,9.01            05/02/12

AMERICAN NATIONAL INSURANCE CO /TX/     TX       5.03,5.07,9.01       04/27/12

American Realty Capital Properties, I   MD       8.01,9.01            05/02/12

American Reprographics CO               DE       5.02,5.07            05/02/12

AMERICAN SAFETY INSURANCE HOLDINGS LT            2.02,9.01            05/02/12

American Water Works Company, Inc.      DE       2.02,9.01            05/02/12

AMERIGROUP CORP                                  2.02,9.01            05/02/12

AMERISTAR CASINOS INC                   NV       2.02,9.01            05/02/12

AMETEK INC/                             DE       8.01                 05/01/12

AMETEK INC/                             DE       5.02                 05/01/12

AMETEK INC/                             DE       5.07                 05/01/12

Andina Acquisition Corp                 E9       8.01,9.01            04/30/12

ANNALY CAPITAL MANAGEMENT INC           MD       2.02,9.01            05/02/12

ANTS SOFTWARE INC                       DE       9.01                 04/27/12

APOGEE ENTERPRISES, INC.                MN       5.02,9.01            04/26/12

APPLIED MICRO CIRCUITS CORP             DE       2.02,9.01            04/26/12

ARCH COAL INC                           DE       7.01,9.01            04/30/12

ARCH COAL INC                           DE       5.02,5.07            04/26/12

ARDEN GROUP INC                         DE       8.01,9.01            05/02/12

Armour Residential REIT, Inc.           MD       2.02,9.01            05/02/12

ARTHROCARE CORP                         DE       2.02,9.01            05/02/12

ARTS WAY MANUFACTURING CO INC           DE       1.01,2.03,5.07       04/26/12

Ascena Retail Group, Inc.               DE       1.01,2.02,8.01,9.01  05/01/12

ASSOCIATED MATERIALS, LLC               DE       1.01,8.01,9.01       04/26/12

ASTORIA FINANCIAL CORP                  DE       2.02,9.01            05/02/12

AT&T INC.                               DE       5.07                 04/27/12

ATHENA SILVER CORP                      DE       7.01,9.01            04/27/12

ATHENA SILVER CORP                      DE       2.03,9.01            04/27/12

Athens Bancshares Corp                           2.02,9.01            04/30/12

ATLAS PIPELINE PARTNERS LP              DE       2.02,9.01            05/01/12

ATMEL CORP                              DE       2.02,8.01,9.01       05/02/12

ATMOS ENERGY CORP                       TX       2.02,5.02,9.01       05/01/12

AtriCure, Inc.                          DE       2.02,5.02,9.01       04/30/12

AUTONATION, INC.                        DE       7.01,9.01            05/02/12

AVIAT NETWORKS, INC.                    DE       2.02,7.01,9.01       05/02/12

AVIS BUDGET GROUP, INC.                 DE       2.02,9.01            05/01/12

AVISTA CORP                             WA       2.02,9.01            05/02/12

Axiom Gold & Silver Corp                         8.01                 05/02/12

AXT INC                                 DE       2.02,9.01            05/02/12

BADGER METER INC                        WI       5.07                 04/27/12

BALCHEM CORP                            MD       2.02,9.01            05/02/12

BANKATLANTIC BANCORP INC                FL       2.02,9.01            05/01/12

BAYLAKE CORP                            WI       8.01,9.01            04/27/12

BEACON ENTERPRISE SOLUTIONS GROUP INC   NV       7.01,9.01            05/02/12

BEAZER HOMES USA INC                    DE       2.02,9.01            05/02/12

Bering Exploration, Inc.                NV       4.01,9.01            04/30/12

BERKELEY COFFEE & TEA, INC.             NV       2.01,2.03            04/30/12

BHM Discretionary Futures Fund L.P.     DE       3.02                 05/01/12

BioMed Realty Trust Inc                 MD       2.02,9.01            05/01/12

BLUE DOLPHIN ENERGY CO                  DE       9.01                 05/02/12    AMEND

BOSTON BEER CO INC                      MA       2.02,9.01            05/02/12

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       5.03,5.07            04/26/12

BOSTON PROPERTIES INC                   DE       2.02,8.01,9.01       05/01/12

BOSTON PROPERTIES LTD PARTNERSHIP       DE       2.02,9.01            05/01/12

Bravo Brio Restaurant Group, Inc.       OH       5.07                 05/01/12

BRYN MAWR BANK CORP                     PA       1.01,8.01,9.01       04/27/12

BSB Bancorp, Inc.                       MD       2.02,9.01            04/26/12

CABOT CORP                              DE       2.02,9.01            05/01/12

CAL MAINE FOODS INC                     DE       8.01,9.01            05/01/12

CALLIDUS SOFTWARE INC                   DE       2.02,9.01            05/02/12

Calumet Specialty Products Partners,    DE       2.02,9.01            05/02/12

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 04/30/12

Cardiovascular Systems Inc              DE       2.02,9.01            05/02/12

CARRIAGE SERVICES INC                   DE       2.02,9.01            05/01/12

CARRIZO OIL & GAS INC                   TX       2.01,8.01,9.01       04/30/12

CARROLLTON BANCORP                      MD       2.02,8.01,9.01       05/01/12

CASELLA WASTE SYSTEMS INC               DE       1.01                 05/02/12

CBEYOND, INC.                                    2.02,9.01            05/02/12

CENTRAL GARDEN & PET CO                 DE       2.02,9.01            05/02/12

CEVA INC                                DE       2.02,9.01            05/02/12

Chaparral Energy, Inc.                  DE       1.01,2.03,9.01       05/02/12

CHARTER COMMUNICATIONS, INC. /MO/       DE       5.07                 05/01/12

CHEMUNG FINANCIAL CORP                  NY       2.02,9.01            05/02/12

CHESAPEAKE ENERGY CORP                  OK       2.02,9.01            05/01/12

CHESAPEAKE ENERGY CORP                  OK       1.01,1.02,5.02,7.01, 04/30/12
                                                 9.01
          
CHESAPEAKE UTILITIES CORP               DE       2.02,9.01            05/02/12

China Nutrifruit Group LTD              NV       2.02,2.03,2.04,3.01  05/02/12

Chino Commercial Bancorp                CA       8.01,9.01            04/30/12

CHOICE BANCORP, INC.                    WI       2.02,9.01            05/02/12

CHOICE HOTELS INTERNATIONAL INC /DE     DE       5.07,8.01            04/30/12

CLEAN HARBORS INC                       MA       2.02,9.01            05/02/12

CLECO CORP                              LA       2.02,9.01            05/02/12

CLOROX CO /DE/                          DE       2.02,7.01,9.01       05/02/12

CME GROUP INC.                          DE       5.02                 05/01/12

CMG HOLDINGS GROUP, INC.                NV       8.01                 04/20/12

CNL LIFESTYLE PROPERTIES INC            MD       8.01,9.01            05/02/12

CNL LIFESTYLE PROPERTIES INC            MD       8.01,9.01            02/27/12

COLLECTIVE BRANDS, INC.                 DE       1.01,5.02,9.01       04/29/12

COLOMBIA ENERGY RESOURCES, INC.         DE       5.02                 04/30/12

Columbia Seligman Premium Technology    MD       7.01,9.01            05/02/12

COMCAST CORP                            PA       2.02,9.01            05/02/12

COMFORT SYSTEMS USA INC                          2.02,8.01,9.01       05/02/12

Compass Diversified Holdings            DE       2.01,9.01            05/01/12

COMSCORE, INC.                          DE       2.02,9.01            05/02/12

Con-way Inc.                            DE       5.02                 05/01/12

CONCEPTUS INC                           DE       1.01                 04/30/12

CONCHO RESOURCES INC                    DE       2.02,9.01            05/02/12

CONCUR TECHNOLOGIES INC                 DE       2.02,9.01            05/02/12

CONOCOPHILLIPS                          DE       2.01,9.01            04/30/12

CONSOL Energy Inc                       DE       5.07                 05/01/12

Cooper Industries plc                            2.02,9.01            05/02/12

COOPER TIRE & RUBBER CO                 DE       2.02,9.01            05/02/12

CORELOGIC, INC.                         DE       8.01,9.01            05/01/12

CORNERSTONE BANCSHARES INC              TN       2.02,9.01            04/30/12

CORPORATE EXECUTIVE BOARD CO            DE       2.02,8.01,9.01       04/27/12

Corporate Resource Services, Inc.       DE       8.01,9.01            04/18/12

COSTAR GROUP INC                        DE       7.01,9.01            05/02/12

COTT CORP /CN/                                   2.02,5.07,8.01,9.01  05/01/12

COVANCE INC                             DE       2.02,9.01            05/02/12

CREDIT ACCEPTANCE CORP                  MI       2.02,9.01            05/02/12

CreXus Investment Corp.                 MD       2.02,9.01            05/02/12

CUMULUS MEDIA INC                       DE       8.01,9.01            04/30/12

CURTISS WRIGHT CORP                     DE       2.02,9.01            05/01/12

CVD EQUIPMENT CORP                      NY       8.01,9.01            04/26/12

CVR ENERGY INC                          DE       2.02,7.01,9.01       05/02/12

CVS CAREMARK CORP                       DE       2.02,9.01            05/02/12

CYTODYN INC                             CO       1.02                 05/01/12

DAVITA INC                              DE       2.02,9.01            05/01/12

DAWSON GEOPHYSICAL CO                   TX       2.02,9.01            05/02/12

DCT Industrial Trust Inc.               MD       2.02,9.01            05/02/12

DDR CORP                                OH       2.02,9.01            05/01/12

DELTA AIR LINES INC /DE/                DE       8.01,9.01            05/02/12

DEVON ENERGY CORP/DE                    DE       2.02,9.01            05/02/12

DEXCOM INC                              DE       2.02,9.01            05/02/12

Digimarc CORP                           OR       5.07                 04/30/12

Digital Development Group Corp          NV       5.03,8.01,9.01       05/02/12

Domain Extremes Inc.                             5.02                 05/01/12

Douglas Emmett Inc                      MD       9.01                 05/01/12

DreamWorks Animation SKG, Inc.                   2.02,9.01            05/02/12

Duke Mountain Resources, Inc            NV       5.02                 05/02/12

DXP ENTERPRISES INC                     TX       2.02,9.01            05/02/12

DYCOM INDUSTRIES INC                    FL       5.02                 05/01/12

DYNEGY INC.                             DE       1.01,9.01            05/01/12

EDGAR ONLINE INC                        DE       2.02,9.01            05/02/12

Edgen Group Inc.                        DE       2.03,5.02,5.03,8.01, 04/26/12
                                                 9.01
          
EDGEWATER TECHNOLOGY INC/DE/            DE       2.02,9.01            05/02/12

EDISON INTERNATIONAL                    CA       2.02,7.01            05/02/12

EDUCATION MANAGEMENT CORPORATION                 2.02                 05/02/12

EL PASO ELECTRIC CO /TX/                TX       2.02,9.01            05/02/12

ELLIE MAE INC                           DE       2.02,9.01            05/02/12

EMC CORP                                MA       5.07                 05/01/12

EMERGING CTA PORTFOLIO LP               NY       3.02                 05/01/12

EMPIRE RESORTS INC                      DE       1.01,9.01            04/30/12

ENDEAVOUR INTERNATIONAL CORP            NV       2.02,7.01,9.01       05/02/12

ENDURANCE SPECIALTY HOLDINGS LTD                 2.02,9.01            05/02/12

ENERGEN CORP                            AL       8.01,9.01            05/01/12

ENERGIZER HOLDINGS INC                  MO       2.02,5.02,7.01,9.01  05/01/12

Energy Recovery, Inc.                   DE       2.02,9.01            05/02/12

ENTERPRISE PRODUCTS PARTNERS L P        DE       2.02,9.01            05/01/12

ENZON PHARMACEUTICALS INC               DE       2.02,9.01            05/02/12

EQUITY ONE, INC.                                 2.02,7.01,9.01       05/02/12

ERHC Energy Inc                         CO       5.02                 04/26/12

EXCO RESOURCES INC                      TX       2.02,9.01            05/01/12

ExlService Holdings, Inc.               DE       2.02,9.01            05/02/12

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA       2.02,9.01            05/02/12

EXTREME NETWORKS INC                    DE       2.02,9.01            05/02/12

FAIRPOINT COMMUNICATIONS INC            DE       2.02,9.01            05/02/12

FARO TECHNOLOGIES INC                   FL       2.02,9.01            05/01/12

FERRO CORP                              OH       5.07,8.01,9.01       04/27/12

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            05/02/12

FIRST CHINA PHARMACEUTICAL GROUP, INC   NV       2.02,4.02,9.01       04/26/12

First Connecticut Bancorp, Inc.         MD       2.02,9.01            05/01/12

FIRST DATA CORP                         DE       2.02,9.01            05/02/12

FIRST MARBLEHEAD CORP                            2.02,5.02,9.01       04/30/12

FIRST OF LONG ISLAND CORP               NY       2.02,9.01            04/30/12

FIRST PACTRUST BANCORP INC              MD       7.01,8.01,9.01       05/02/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            05/02/12

FLAGSTAR BANCORP INC                    MI       2.02,7.01,8.01,9.01  04/30/12

FLIR SYSTEMS INC                        OR       5.07                 04/27/12

FLIR SYSTEMS INC                        OR       5.07                 04/27/12

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            05/01/12

FOUR OAKS FINCORP INC                   NC       2.02,9.01            04/27/12    AMEND

Fox Chase Bancorp Inc                            2.02,9.01            04/30/12

FRANKLIN ELECTRIC CO INC                IN       2.02,9.01            05/02/12

FRANKLIN RESOURCES INC                  DE       2.02,9.01            05/02/12

FUELCELL ENERGY INC                     DE       1.01,8.01,9.01       04/30/12

FutureFuel Corp.                        DE       8.01,9.01            05/02/12

Galena Biopharma, Inc.                           2.01,9.01            04/26/12

GAMCO INVESTORS, INC. ET AL             NY       2.02,9.01            05/01/12

GAMCO INVESTORS, INC. ET AL             NY       8.01                 05/01/12

Game Face Gaming, Inc.                  FL       5.03,9.01            04/27/12

GARDNER DENVER INC                      DE       5.02,5.07,7.01,9.01  05/01/12

GARMIN LTD                              V8       2.02,9.01            05/02/12

GASCO ENERGY INC                        NV       2.02,7.01,9.01       05/01/12

GATX CORP                               NY       5.07                 04/27/12

GEN PROBE INC                           DE       8.01,9.01            04/30/12

GEN PROBE INC                           DE       8.01,9.01            04/30/12

General Moly, Inc                       DE       2.02,9.01            05/02/12

GenMark Diagnostics, Inc.               DE       5.02                 04/27/12

GENOMIC HEALTH INC                               2.02,9.01            05/02/12

GeoEye, Inc.                            DE       5.02                 04/26/12

Georgetown Bancorp, Inc.                X1       2.02,9.01            04/30/12

GEORGIA GULF CORP /DE/                  DE       2.02,7.01,9.01       05/02/12

GERON CORP                              DE       2.02,9.01            05/02/12

GLOWPOINT, INC.                         DE       5.02                 04/26/12

GLU MOBILE INC                          DE       2.02,9.01            05/02/12

GMX RESOURCES INC                       OK       2.02,9.01            05/02/12

GOLDEN PHOENIX MINERALS INC             NV       1.02,2.01,7.01,9.01  04/27/12

Golub Capital BDC, Inc.                 DE       2.02,9.01            05/02/12

Golub Capital BDC, Inc.                 DE       2.02,9.01            05/02/12

GRANDPARENTS.COM, INC.                  DE       3.02                 05/01/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            04/27/12

GRAY TELEVISION INC                     GA       2.02,9.01            05/02/12

Great Lakes Dredge & Dock CORP          DE       5.02,9.01            04/26/12

Great Lakes Dredge & Dock CORP          DE       2.02,9.01            05/01/12    AMEND

GREEN EQUITY HOLDINGS, INC.             NV       1.01,9.01            05/02/12    AMEND

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       2.02,9.01            05/02/12

GREENMAN TECHNOLOGIES INC               DE       1.01,2.03,3.02,3.03, 04/25/12
                                                 5.02,5.03,7.01,9.01
        
GROEN BROTHERS AVIATION INC /UT/        UT       1.01,3.03,9.01       04/30/12

HALCON RESOURCES CORP                   DE       5.05,8.01            04/26/12

HALLIBURTON CO                          DE       8.01                 04/27/12

HANSEN MEDICAL INC                      DE       2.02,9.01            05/02/12

HARRIS INTERACTIVE INC                  DE       2.02,9.01            05/02/12

HARSCO CORP                             DE       2.02,9.01            05/02/12

HARTFORD FINANCIAL SERVICES GROUP INC   DE       2.02,9.01            05/02/12

HCSB FINANCIAL CORP                     SC       5.07                 04/26/12

HENRY JACK & ASSOCIATES INC             DE       2.02,9.01            05/01/12

HERBALIFE LTD.                          E9       7.01                 05/01/12

HERSHA HOSPITALITY TRUST                MD       2.02,9.01            05/01/12

HERTZ CORP                              DE       2.02,7.01,9.01       05/02/12

HERTZ GLOBAL HOLDINGS INC                        2.02,7.01,9.01       05/02/12

HOME PROPERTIES INC                     MD       5.07,8.01,9.01       05/01/12

HORIZON BANCORP /IN/                    IN       8.01                 04/20/12

HOT TOPIC INC /CA/                      CA       2.02,9.01            05/02/12

HOUSTON AMERICAN ENERGY CORP            DE       2.02,9.01            05/01/12

HSN, Inc.                               DE       2.02,7.01,9.01       05/02/12

IAC/INTERACTIVECORP                     DE       2.02,7.01            05/02/12

IBIS TECHNOLOGY CORP                    MA       8.01                 04/30/12

ICF International, Inc.                 DE       2.02,9.01            05/02/12

IDENIX PHARMACEUTICALS INC              DE       2.02,9.01            05/02/12

IKONICS CORP                                     5.07                 04/26/12

IMAGE SENSING SYSTEMS INC               MN       2.02,9.01            05/02/12

IMAGING3 INC                            CA       8.01,9.01            05/01/12

IMAGING3 INC                            CA       5.07                 05/01/12

INSIGHT ENTERPRISES INC                 DE       1.01,2.03,9.01       04/26/12

INSIGHT ENTERPRISES INC                 DE       2.02,9.01            05/02/12

INTEGRYS ENERGY GROUP, INC.             WI       2.02,9.01            05/02/12

INTERCONTINENTALEXCHANGE INC            DE       2.02,9.01            05/02/12

INTERMOUNTAIN COMMUNITY BANCORP         ID       7.01,9.01            05/02/12

Intrepid Potash, Inc.                   DE       2.02,9.01            05/02/12

IRIS INTERNATIONAL INC                  DE       2.02,9.01            05/02/12

ISSUER DIRECT CORP                               2.02,9.01            05/02/12

JACKSONVILLE BANCORP INC /FL/           FL       5.07                 05/01/12

JDA SOFTWARE GROUP INC                  DE       5.02,9.01            04/30/12

JDS UNIPHASE CORP /CA/                  DE       2.02,9.01            05/02/12

JONES LANG LASALLE INC                  MD       2.02,9.01            05/01/12

Kandi Technologies Corp                 DE       5.02                 04/26/12

Kandi Technologies Corp                 DE       8.01                 04/25/12

KAPSTONE PAPER & PACKAGING CORP         DE       2.02,7.01,9.01       05/02/12

KEMPER Corp                             DE       5.07                 05/02/12

KIMBERLY CLARK CORP                     DE       5.02                 04/30/12

KINDRED HEALTHCARE, INC                 DE       2.02,7.01,9.01       05/01/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       5.02,5.07,9.01       05/01/12

Lake Victoria Mining Company, Inc.      NV       5.02,9.01            04/24/12

LEMAITRE VASCULAR INC                            2.02,9.01            05/02/12

LEXINGTON REALTY TRUST                  MD       7.01                 05/02/12

LEXMARK INTERNATIONAL INC /KY/          DE       8.01                 04/26/12

LHC Group, Inc                                   2.02,9.01            05/02/12

Liberty Global, Inc.                    DE       2.02,7.01            05/02/12

LIGAND PHARMACEUTICALS INC              DE       2.02,9.01            05/02/12

Lightning Gaming, Inc.                  NV       2.04                 04/25/12

Limoneira CO                            DE       1.01,1.02,2.03,9.01  05/01/12

LINCOLN NATIONAL CORP                   IN       2.02,9.01            05/02/12

Lincolnway Energy, LLC                  IA       8.01,9.01            05/02/12

LIONS GATE ENTERTAINMENT CORP /CN/      A1       5.02                 04/27/12

LITHIA MOTORS INC                       OR       5.02,5.07,8.01,9.01  05/01/12

LNB BANCORP INC                         OH       7.01,9.01            05/02/12

LOOKSMART LTD                           DE       2.02,9.01            05/01/12

LOTON, CORP                             NV       5.02                 04/26/12

LPL Investment Holdings Inc.            DE       8.01,9.01            05/01/12

Lucky Boy Silver Corp.                  WY       1.01,9.01            04/24/12

LYDALL INC /DE/                         DE       2.02,9.01            05/02/12

MACERICH CO                             MD       2.02,7.01,9.01       05/02/12

MACKINAC FINANCIAL CORP /MI/            MI       2.02,9.01            05/02/12

MAGELLAN MIDSTREAM PARTNERS LP          DE       2.02,9.01            05/02/12

MAGELLAN PETROLEUM CORP /DE/            DE       8.01,9.01            05/01/12    AMEND

MAGNACHIP SEMICONDUCTOR Corp            DE       7.01,8.01,9.01       05/01/12

MAGNETEK, INC.                          DE       5.07                 05/01/12

Main Street Capital CORP                MD       8.01,9.01            05/01/12

Manning & Napier, Inc.                           2.02,9.01            05/02/12

MARATHON OIL CORP                       DE       2.02,9.01            05/01/12

MARTHA STEWART LIVING OMNIMEDIA INC     DE       2.02,9.01            05/02/12

MASIMO CORP                             DE       2.02,9.01            05/02/12

MASTERCARD INC                          DE       2.02,7.01,9.01       05/02/12

MATERION Corp                                    8.01,9.01            05/02/12

MATERION Corp                                    7.01,9.01            05/02/12

MAXLINEAR INC                                    2.02,9.01            05/02/12

MB FINANCIAL INC /MD                             8.01,9.01            05/02/12

MEDALLION FINANCIAL CORP                DE       2.02,9.01            05/02/12

MEDASSETS INC                           DE       2.02,9.01            05/02/12

MEDICIS PHARMACEUTICAL CORP             DE       8.01                 04/27/12

Memorial Production Partners LP         DE       8.01,9.01            05/01/12

MERITOR INC                             IN       2.02,9.01            05/02/12

MetaStat, Inc.                          NV       5.02,9.01            05/01/12

MICROCHIP TECHNOLOGY INC                DE       1.01,2.02,9.01       05/01/12

MICROS SYSTEMS INC                      MD       1.01,9.01            04/26/12

MIDDLEBURG FINANCIAL CORP               VA       2.02,8.01,9.01       05/02/12

MITEK SYSTEMS INC                       DE       2.02,9.01            05/02/12

MOD PAC CORP                            NY       2.02,9.01            05/02/12

MOLSON COORS BREWING CO                 DE       8.01,9.01            04/26/12

MONARCH CASINO & RESORT INC             NV       5.02                 04/26/12

MoSys, Inc.                             CA       2.02,9.01            05/02/12

MSB FINANCIAL CORP.                     X1       2.02,9.01            05/02/12

MSCI Inc.                               DE       2.02,9.01            05/02/12

Mueller Water Products, Inc.            DE       2.02,9.01            05/01/12

Mueller Water Products, Inc.            DE       7.01,9.01            05/02/12

MURPHY OIL CORP /DE                     DE       2.02,9.01            05/02/12

MYERS INDUSTRIES INC                    OH       5.07,9.01            04/27/12

NACCO INDUSTRIES INC                    DE       2.02,9.01            05/02/12

NACCO INDUSTRIES INC                    DE       2.02,7.01,9.01       05/02/12

National Automation Services Inc        NV       5.03,5.07,9.01       04/27/12

NATIONAL BANCSHARES CORP /OH/           OH       5.07                 04/26/12

NATIONAL PENN BANCSHARES INC            PA       7.01,9.01            05/02/12

NATIONAL PENN BANCSHARES INC            PA       7.01,9.01            05/02/12

NATIONAL RESEARCH CORP                  WI       2.02,9.01            05/01/12

NAVIGANT CONSULTING INC                 DE       8.01                 05/02/12

NBT BANCORP INC                         DE       5.07,7.01,9.01       05/01/12

NCI, Inc.                               DE       2.02,7.01,9.01       05/02/12

NEKTAR THERAPEUTICS                     DE       2.02,9.01            05/02/12

NEOGEN CORP                             MI       2.02,9.01            05/01/12

NetSpend Holdings, Inc.                 DE       5.07                 04/27/12

NETWORK EQUIPMENT TECHNOLOGIES INC      DE       5.02                 04/26/12

NEUROCRINE BIOSCIENCES INC              CA       2.02,9.01            05/02/12

NEW FRONTIER MEDIA INC                  CO       8.01,9.01            05/02/12

NEW YORK COMMUNITY BANCORP INC          DE       7.01,9.01            05/02/12

NEW YORK MORTGAGE TRUST INC             MD       2.02,7.01,9.01       05/02/12

NEWPORT CORP                            NV       2.02,9.01            05/02/12

NEWS CORP                                        8.01,9.01            05/02/12

NewStar Financial, Inc.                          2.02,9.01            05/02/12

NIC INC                                 CO       5.02,5.07,9.01       05/01/12

NICHOLAS FINANCIAL INC                  FL       2.02,9.01            05/02/12

NiMin Energy Corp.                      A0       1.01,9.01            04/26/12

NORTH EUROPEAN OIL ROYALTY TRUST        DE       2.02,9.01            04/30/12

Northumberland Resources, Inc.          NV       1.01,8.01            04/27/12

NORTHWEST BANCORPORATION INC            WA       2.02,9.01            05/02/12

NOVATEL WIRELESS INC                    DE       2.02,9.01            05/02/12

NUMEREX CORP /PA/                       PA       2.02,9.01            05/02/12

NVE CORP /NEW/                          MN       2.02                 05/02/12

Och-Ziff Capital Management Group LLC   DE       7.01                 05/02/12

Och-Ziff Capital Management Group LLC   DE       2.02,8.01,9.01       05/02/12

OLIN CORP                               VA       7.01,9.01            04/26/12

OMEGA PROTEIN CORP                      NV       2.02,9.01            05/02/12

OMNICELL, Inc                           CA       1.01,9.01            04/26/12

OMNICELL, Inc                           CA       2.02,9.01            05/02/12

ON SEMICONDUCTOR CORP                   DE       2.02,9.01            05/02/12

ONYX PHARMACEUTICALS INC                DE       2.02,9.01            05/02/12

Options Media Group Holdings, Inc.      NV       5.02                 04/27/12

ORASURE TECHNOLOGIES INC                DE       2.02,7.01,9.01       05/02/12

ORBCOMM Inc.                            DE       5.02,5.07            04/26/12

ORBIT INTERNATIONAL CORP                DE       5.02,9.01            04/26/12

Orgenesis Inc.                          NV       1.01,3.02,9.01       04/30/12

ORION FUTURES FUND LP                   NY       3.02                 05/01/12

ORRSTOWN FINANCIAL SERVICES INC         PA       5.07                 05/01/12

OVERSEAS SHIPHOLDING GROUP INC          DE       2.02,8.01,9.01       05/01/12

OWENS & MINOR INC/VA/                   VA       5.03,5.07,9.01       04/27/12

P F CHANGS CHINA BISTRO INC                      1.01,9.01            05/01/12

PACWEST BANCORP                         DE       8.01,9.01            04/30/12

PARK NATIONAL CORP /OH/                 OH       1.01,1.02,3.03,9.01  05/02/12

PARKER DRILLING CO /DE/                 DE       2.02,9.01            05/02/12

PATRIOT TRANSPORTATION HOLDING INC      FL       2.02,9.01            05/02/12

PENNANTPARK INVESTMENT CORP                      2.02,9.01            05/02/12

PG&E CORP                               CA       2.02,7.01,9.01       05/02/12

PGT, Inc.                               DE       2.02                 05/02/12

PharMerica CORP                         DE       2.02,9.01            05/02/12

Phillips Edison - ARC Shopping Center   MD       1.01,2.01,8.01,9.01  04/27/12

PHOENIX COMPANIES INC/DE                DE       2.02,9.01            05/02/12

PLANAR SYSTEMS INC                      OR       2.02,9.01            05/02/12

Polypore International, Inc.                     2.02,9.01            05/02/12

Polypore International, Inc.                     2.02,9.01            05/02/12

POPULAR INC                                      5.07,8.01,9.01       04/27/12

PRIME GLOBAL CAPITAL GROUP Inc          NV       1.01,3.02,9.01       05/02/12

Primo Water Corp                        DE       1.01,1.02,2.03,3.02, 04/30/12
                                                 9.01
          
PROGUARD ACQUISITION CORP                        1.01,9.01            04/27/12

Protalix BioTherapeutics, Inc.          FL       8.01,9.01            05/01/12

PROTEONOMIX, INC.                       DE       8.01                 05/02/12

PRUDENTIAL FINANCIAL INC                NJ       2.02,7.01,8.01,9.01  05/02/12

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       2.02,7.01,9.01       05/02/12

QCR HOLDINGS INC                        DE       8.01,9.01            05/02/12

RACKSPACE HOSTING, INC.                          1.01,2.03            04/26/12

RACKSPACE HOSTING, INC.                          9.01                 09/26/11    AMEND

RAYMOND JAMES FINANCIAL INC             FL       7.01                 05/01/12

REALNETWORKS INC                        WA       2.02,9.01            05/02/12

REALOGY CORP                            DE       2.02,9.01            05/02/12

RECOVERY ENERGY, INC.                   NV       5.02,9.01            04/27/12

Red Lion Hotels CORP                    WA       2.02,9.01            05/02/12

REGAL BELOIT CORP                       WI       2.02,7.01,9.01       05/01/12

REGAL BELOIT CORP                       WI       5.07                 04/30/12

REGENCY CENTERS CORP                    FL       5.07                 05/01/12

Regional Management Corp.               DE       2.02,8.01,9.01       05/02/12

REGIONS FINANCIAL CORP                  DE       8.01,9.01            05/02/12

RELIV INTERNATIONAL INC                 DE       2.02,9.01            05/02/12

RENAISSANCERE HOLDINGS LTD              D0       2.02                 05/02/12

REPUBLIC FIRST BANCORP INC              PA       5.07                 05/01/12

REPUBLIC SERVICES, INC.                 DE       8.01,9.01            05/02/12

Resource Capital Corp.                  MD       2.02,9.01            05/01/12

Roadrunner Transportation Systems, In   DE       2.02,9.01            05/02/12

Rockwood Holdings, Inc.                 DE       7.01,9.01            05/01/12

ROWAN COMPANIES INC                     DE       2.02,9.01            05/02/12

RR Donnelley & Sons Co                  DE       2.02,9.01            05/02/12

RTI INTERNATIONAL METALS INC            OH       5.07                 04/27/12

Ryerson Holding Corp                    DE       2.02,9.01            05/02/12

RYERSON INC.                            DE       2.02,9.01            05/02/12

S&T BANCORP INC                         PA       5.02                 04/27/12

SAIA INC                                DE       7.01,9.01            04/27/12

SALIX PHARMACEUTICALS LTD                        8.01,9.01            04/25/12

SANGAMO BIOSCIENCES INC                 DE       2.02,9.01            05/02/12

SAUER DANFOSS INC                       DE       2.02,9.01            05/02/12

SAVANNAH BANCORP INC                    GA       5.07                 04/26/12

SCHWEITZER MAUDUIT INTERNATIONAL INC    DE       2.02,9.01            05/02/12

SEACOAST BANKING CORP OF FLORIDA        FL       2.02,7.01,9.01       04/26/12

SELECT COMFORT CORP                     MN       7.01,9.01            05/02/12

Select Income REIT                      MD       2.02,9.01            05/02/12

SHARPS COMPLIANCE CORP                  DE       2.02,9.01            05/02/12

SIERRA MONITOR CORP /CA/                CA       2.02,9.01            05/02/12

SIGNATURE GROUP HOLDINGS, INC.          NV       5.03,8.01            04/26/12

Silver Dragon Resources Inc.            DE       7.01,9.01            05/02/12

SINCLAIR BROADCAST GROUP INC            MD       2.02,9.01            05/02/12

Skagit State Bancorp, Inc.              WA       8.01                 05/02/12

Skilled Healthcare Group, Inc.          DE       2.02,9.01            05/02/12

SKULLCANDY, INC.                                 2.02,9.01            05/02/12

SkyPeople Fruit Juice, Inc              FL       8.01,9.01            05/02/12

SKYWEST INC                             UT       2.02,9.01            05/02/12

SMITH MICRO SOFTWARE INC                DE       2.02,9.01            05/02/12

SMTP, Inc.                              DE       5.02,7.01,9.01       05/02/12

Somaxon Pharmaceuticals, Inc.           DE       1.01,7.01,9.01       04/26/12

SOUNDBITE COMMUNICATIONS INC                     2.02,9.01            05/02/12

Southeastern Bank Financial CORP        GA       2.02,9.01            04/27/12

SOUTHERN CALIFORNIA EDISON CO           CA       2.02,7.01            05/02/12

SOUTHERN COPPER CORP/                   DE       2.02,9.01            04/30/12

SOUTHWEST BANCORP INC                   OK       5.07,7.01,9.01       04/26/12

SOUTHWEST GAS CORP                      CA       7.01                 05/02/12

SOVRAN SELF STORAGE INC                 MD       2.02,9.01            05/02/12

SPEEDWAY MOTORSPORTS INC                DE       2.02,9.01            05/02/12

SPORT CHALET INC                        DE       1.01,2.03,9.01       05/01/12

SPX CORP                                DE       2.02,9.01            05/02/12

STAAR SURGICAL CO                       DE       2.02,7.01,9.01       05/02/12

STANDARD MICROSYSTEMS CORP              DE       1.01,8.01,9.01       05/01/12

Star Gold Corp.                         NV       3.02                 04/30/12

STARBUCKS CORP                          WA       5.02,9.01            05/01/12

Steadfast Income REIT, Inc.             MD       1.01,2.01,2.03,7.01, 04/26/12
                                                 9.01
          
Steel Excel Inc.                        DE       1.01,3.02,3.03,9.01  04/30/12

STEELE RESOURCES CORP                   NV       5.02                 04/26/12

STEIN MART INC                          FL       5.02,9.01            05/01/12

Stereotaxis, Inc.                       DE       1.01,2.03,2.04,3.02, 05/01/12
                                                 9.01
          
STONEMOR PARTNERS LP                    DE       5.02                 04/30/12

STONERIDGE INC                          OH       2.02,9.01            05/01/12

STR HOLDINGS, INC.                      DE       2.02,9.01            05/01/12

STRUCTURED PRODUCTS CORP CORTS TRUST    DE       8.01,9.01            05/01/12

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            05/01/12

STURM RUGER & CO INC                    DE       8.01,9.01            05/02/12

SUN RIVER ENERGY, INC                   CO       5.02                 04/25/12

SUNOCO LOGISTICS PARTNERS L.P.          DE       2.02,9.01            05/02/12

SUNOCO LOGISTICS PARTNERS L.P.          DE       8.01,9.01            04/29/12

SUNPEAKS VENTURES, INC.                          1.01,9.01            04/26/12

Sunstone Hotel Investors, Inc.          MD       2.02,9.01            05/02/12

Support.com, Inc.                       DE       2.02,9.01            05/02/12

SUREWEST COMMUNICATIONS                 CA       2.02,9.01            05/02/12

Sutor Technology Group LTD                       5.07,9.01            04/27/12

SWIFT ENERGY CO                                  5.02                 05/02/12

SYMANTEC CORP                           DE       2.02,9.01            05/02/12

Symmetry Medical Inc.                   DE       5.02,5.03,5.07       04/27/12

SYNERGY PHARMACEUTICALS, INC.           DE       7.01,8.01,9.01       05/02/12

SYNOVUS FINANCIAL CORP                  GA       5.07                 04/26/12

TELETECH HOLDINGS INC                   DE       2.02,9.01            05/01/12

TELIK INC                               DE       5.02,9.01            04/27/12

TERRA NITROGEN CO L P /DE               DE       5.03,9.01            04/26/12

THOMAS & BETTS CORP                     TN       5.07,8.01,9.01       04/30/12

TIME WARNER CABLE INC.                  DE       1.01,1.02,2.03,9.01  04/27/12

TIME WARNER INC.                        DE       2.02,9.01            05/02/12

TMST, Inc.                              MD       8.01,9.01            05/01/12

TMX Finance LLC                         DE       8.01,9.01            05/02/12

Tonix Pharmaceuticals Holding Corp.     NV       7.01,9.01            05/02/12

TRANS ENERGY INC                        NV       5.02                 04/26/12

TRANS ENERGY INC                        NV       1.01,2.03,9.01       04/26/12

Transocean Ltd.                         V8       2.02,9.01            05/02/12

TRI COUNTY FINANCIAL CORP /MD/          MD       2.02,9.01            05/01/12

TRI VALLEY CORP                         DE       3.01,9.01            04/26/12

Triangle Capital CORP                   MD       2.02,5.02,5.07,7.01, 05/02/12
                                                 9.01
          
TRINITY INDUSTRIES INC                  DE       5.07                 04/30/12

tw telecom inc.                         DE       2.02,9.01            05/01/12

Two Harbors Investment Corp.                     2.02,9.01            05/02/12

UNION DRILLING INC                      DE       2.02,9.01            05/02/12

UNISYS CORP                             DE       5.07                 05/01/12

UNITED ONLINE INC                       DE       2.02,9.01            05/02/12

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       9.01                 05/02/12

USA TECHNOLOGIES INC                    PA       8.01,9.01            05/02/12

VAIL RESORTS INC                        DE       7.01,9.01            05/01/12

VALUECLICK INC/CA                       DE       2.02,9.01            05/02/12

Vanguard Natural Resources, LLC         DE       2.02,7.01,9.01       05/02/12

Vantage Health                          NV       1.02,5.02,9.01       04/14/12

VASCO DATA SECURITY INTERNATIONAL INC   DE       2.02,9.01            04/26/12

VIASYSTEMS GROUP INC                    DE       1.01,2.03,9.01       04/30/12

VICAL INC                               DE       2.02,9.01            05/02/12

VIRTUS INVESTMENT PARTNERS, INC.        DE       2.02,9.01            05/01/12

VISA INC.                               DE       2.02,9.01            05/02/12

VISHAY INTERTECHNOLOGY INC              DE       2.02,7.01,9.01       05/02/12

VISTEON CORP                            DE       2.02,7.01,9.01       05/02/12

VITRO DIAGNOSTICS INC                   NV       7.01,9.01            05/01/12

Volcano Corp                            DE       2.02                 05/02/12

VONAGE HOLDINGS CORP                    DE       2.02                 05/02/12

VSE CORP                                DE       2.02,9.01            04/30/12

VSE CORP                                DE       8.01,9.01            05/01/12

WEB.COM GROUP, INC.                     DE       2.02,9.01            05/01/12

WEBMEDIABRANDS INC.                     DE       2.02,9.01            05/02/12

WebXU, Inc.                             DE       1.01,7.01,9.01       05/02/12

WEIGHT WATCHERS INTERNATIONAL INC       VA       2.02,9.01            05/02/12

WEIS MARKETS INC                        PA       5.07                 04/26/12

WEIS MARKETS INC                        PA       3.01,5.02            04/26/12

WELLCARE HEALTH PLANS, INC.             DE       2.02,9.01            05/02/12

Western Gas Partners LP                 DE       2.02,9.01            05/02/12

WGL HOLDINGS INC                        VA       2.02,9.01            05/02/12

WHOLE FOODS MARKET INC                  TX       2.02,9.01            05/02/12

WINMARK CORP                            MN       5.02,9.01            04/30/12

Wright Express CORP                              2.02,9.01            05/02/12

WRIGHT MEDICAL GROUP INC                DE       7.01                 05/02/12

WYNN RESORTS LTD                                 1.01,9.01            05/02/12

XENOPORT INC                            DE       2.02,9.01            05/02/12

YELP INC                                DE       2.02,9.01            05/02/12

YUM BRANDS INC                          NC       5.02                 05/01/12

Zalicus Inc.                            DE       8.01,9.01            05/02/12

Zayo Group LLC                          DE       7.01,9.01            05/01/12

ZBB ENERGY CORP                         WI       1.01,3.02,9.01       05/01/12

ZILLOW INC                              WA       1.01,2.02,2.03,7.01, 04/30/12
                                                 9.01 
         
ZION OIL & GAS INC                      DE       8.01,9.01            05/01/12

ZOGENIX, INC.                           DE       8.01                 05/02/12

Zumiez Inc                              WA       7.01,9.01            05/02/12

 

http://www.sec.gov/news/digest/2012/dig050312.htm


Modified: 05/03/2012