SEC News Digest

commission Announcements

SEC Recommends Improvements to Help Investors in Municipal Securities Market

The Securities and Exchange Commission today issued a comprehensive report with recommendations to help improve the structure of the $3.7 trillion municipal securities market and enhance the disclosures provided to investors.

The report is the culmination of an extensive review of the municipal securities market that was initiated by SEC Chairman Mary L. Schapiro in mid-2010 and led by SEC Commissioner Elisse B. Walter. The recommendations address concerns raised by market participants and others in public field hearings and meetings with Commissioner Walter and SEC staff as well as the public comment process during the agency’s review of the municipal securities market.

“The municipal securities market is the bedrock for funding of local government projects throughout our country. It is essential that the market work well and that investors have confidence in it,” said Chairman Schapiro. “While we have put in place measures to help investors make more knowledgeable decisions about municipal securities, we could do more for investors with statutory authority to improve disclosure and muni market practices.”

Commissioner Walter said, “On behalf of my colleagues and the professional and dedicated staff at the SEC, I am pleased that the report brings into clear focus the current state of the municipal securities market and recommends potential action to address issues raised by investors, issuers, and other market participants. I look forward to moving forward with the efforts articulated in our report to further strengthen and enhance this vital market.”

State and local governments issue municipal securities to finance a wide variety of projects that are critical to building and maintaining the nation’s infrastructure.

At the start of 2012, there were more than one million different municipal bonds outstanding totaling $3.7 trillion, with 75 percent held by individual “retail” investors.

Despite its size and importance, the municipal securities market has not been subject to the same level of regulation as other sectors of the U.S. capital markets due to broad exemptions under federal securities laws for municipal securities.

Without a statutory regime for municipal securities regulation, the SEC’s investor protection efforts in the municipal securities market have been limited. The SEC’s report discusses potential legislative changes that could help improve disclosures to investors. For instance, the report recommends that Congress consider authorizing the SEC to set baseline disclosure standards and require municipal issuers to have audited financial statements.

Other potential legislative changes recommended in the report to help improve disclosures and practices in the municipal securities market include:

• Eliminating the availability of Securities Act and Exchange Act exemptions for conduit borrowers who are not municipal entities.
  
• Authorizing the Commission to establish the form and content of financial statements for municipal issuers who issue municipal securities, and to recognize a designated private-sector body as the standard setter for generally accepted for federal securities law purposes.
  
• Providing a safe harbor from private liability for forward-looking statements of repeat municipal issuers that satisfy certain conditions.
  
• Permitting the Internal Revenue Service to share information with the SEC that it obtains from returns, audits, and examinations related to municipal securities offerings, particularly in instances of suspected securities fraud.
  
• Providing a mechanism, through trustees or other entities, to enforce compliance with continuing disclosure agreements and other obligations of municipal issuers to protect municipal securities bondholders.

In addition to potential legislation, the SEC’s report identifies potential rulemaking by the Commission or the Municipal Securities Rulemaking Board and enhancement of best practices by the municipal securities industry.

The SEC’s report discusses several disclosure issues including the timing and content of financial information, disclosures relating to pension and other post-employment benefit plans, derivatives use by issuers and obligated persons, and conflicts of interest including pay-to-play practices. The report also reviews the current structure of the municipal securities market and discusses potential initiatives to improve pre-trade and post-trade price transparency and support existing dealer pricing obligations.

The report was prepared after substantial input from investors, investor advocates, market professionals, and representatives of municipal issuers – including those who participated in the SEC’s field hearings in San Francisco, Washington D.C., and Birmingham, Ala.

The SEC already has taken steps to improve municipal securities disclosure within its limited regulatory authority. In May 2010, the Commission adopted amendments to Exchange Act Rule 15c2-12 that were aimed at improving the quality and timeliness of municipal securities disclosure. The changes were intended to help provide investors with enhanced information by further regulating those who underwrite or sell municipal securities. The measures strengthened existing requirements for the scope of securities covered, the nature of the events that issuers must disclose, and the time period in which disclosure must be made. (Press Rel. 2012-147)

Enforcement Proceedings

In the Matter of Nancy Shao Wen Chu

On July 30, 2012, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (Order) against Nancy Shao Wen Chu. The Order finds that Chu has been permanently enjoined by the U.S. District Court for the Central District of California from violating the federal securities laws and orders that she be suspended from appearing or practicing before the Commission. (Rel. 34-67542; AAE Rel. 3395; File No. 3-14968)

Commission Declares Decision as to Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.) Final

The decision of an administrative law judge with respect to Jetronic Industries, Inc. (n/k/a New Bastion Development, Inc.) (“New Bastion”), has become final. The law judge found that New Bastion violated Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 by failure to file timely any periodic reports between the period ended January 31, 2000, and September 30, 2009.

The law judge found that New Bastion’s chronic failure to file periodic reports for approximately eight years, along with its failure to request an extension of time to submit those periodic filings was recurrent; the last request for an extension was made on September 14, 2000.

The law judge also noted that New Bastion had attempted to remedy its past violations by filing Forms 10-Q for the interim fiscal periods for years ended December 31, 2010, and December 31, 2011. New Bastion had also represented its intent to file Forms 10-Q for fiscal year 2009, but it currently lacked the funds at the time to do so. The law judge found that New Bastion’s efforts to remedy its past violations were accordingly inadequate, and did not significantly mitigate its misconduct. The law judge further found that revocation of the registration of New Bastion’s registered securities will serve the public interest and the protection of investors, pursuant to Section 12(j) of the Exchange Act. (Rel. 34-67543; File No. 3-14767)

Matthew J. Gagnon Sanctioned

Matthew J. Gagnon (Gagnon) has been barred from association with any broker or dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In March 2012, Gagnon was enjoined from violating the antifraud and registration provisions of the federal securities laws based on his involvement in a Ponzi scheme and other fraudulent schemes. (Release No. 34-67544; File No. 3-14868)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX BX, Inc. to modify the Post-Only Order type on BX Options (SR-BX-2012-057) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67517)

A proposed rule change filed by The NASDAQ Stock Market LLC to modify the Post-Only Order type on NOM (SR-NASDAQ-2012-089) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67518)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-66) to amend ISE Rule 2102 to extend the single stock circuit breaker pilot program until February 4, 2013 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67527)

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-67) to amend ISE Rule 2128 to extend the pilot program until February 4, 2013 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67528)

A proposed rule change filed by the New York Stock Exchange LLC to amend its Price List to establish pricing for the Retail Liquidity Program (SR-NYSE-2012-30) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67529)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-099) to extend the pilot period of the trading pause for NMS stocks other than rights and warrants has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67537)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-100) to extend the pilot period of amendments to the clearly erroneous rule has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67538)

Accelerated Approval of Proposed Rule Change

The Chicago Mercantile Exchange, Inc. (CME) filed a proposed rule change (SR-CME-2012-31) under Section 19(b)(1) of the Securities Exchange Act of 1934 to make clarifying changes to CME Rule 819 and certain Chapter 8F Rules. The proposed rule change has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Exchange Act. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67533)

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.

S-1     Amrose Oil Co Inc., 3525 SAGE RD., #1416, HOUSTON, TX, 77056, 
        713-280-5173 - 990,000 ($990.00) Equity, (File 333-182871 - Jul. 27) 
        (BR. 04)

S-8     Big Three Restaurants, Inc., 9085 CHARLES E. LIMPUS ROAD, ORLANDO, FL, 
        32836, 516.375.6649 - 5,000,000 ($210,000.00) Equity, 
        (File 333-182872 - Jul. 27) (BR. 04A)

S-1     Stone Boat Mining corp., 6325 RINCON DEL PALMITO, 
        COL: RINCON DE LAS LOMAS II, CHIHUAHUA, CHIH., O5, CP31216, 
        604-331-4422 - 10,000,000 ($20,000.00) Equity, (File 333-182876 - 
        Jul. 27) (BR. 09)

S-3     Biodel Inc, 100 SAW MILL ROAD, DANBURY, CT, 06810, 203-796-5000 - 
        0 ($34,042,359.00) Equity, (File 333-182877 - Jul. 27) (BR. 01A)

S-8     CONMED CORP, 525 FRENCH ROAD, UTICA, NY, 13502, 315-624-3215 - 
        1,000,000 ($25,615,000.00) Other, (File 333-182878 - Jul. 27) (BR. 10A)

S-8     Natural Grocers by Vitamin Cottage, Inc., 12612 W. ALAMEDA PARKWAY, 
        LAKEWOOD, CO, 80228, 800-817-9415 - 0 ($16,352,265.00) Equity, 
        (File 333-182886 - Jul. 27) (BR. 02)

S-3     Pike Electric CORP, 100 PIKE WAY, MOUNT AIRY, NC, 27030, 
        (336) 789-2171 - 0 ($1.00) Unallocated (Universal) Shelf, 
        (File 333-182889 - Jul. 27) (BR. 06B)

S-8     BOISE INC., 1111 WEST JEFFERSON STREET, SUITE 200, BOISE, ID, 
        83702-5388, 208-384-7000 - 2,927,626 ($21,078,907.20) Equity, 
        (File 333-182890 - Jul. 27) (BR. 04B)

S-8     ENTREE GOLD INC, SUITE 1201, 1166 ALBERNI STREET, VANCOUVER, A1, 
        V6E 3Z3, 604-687-4777 - 0 ($7,603,757.16) Equity, (File 333-182891 - 
        Jul. 27) (BR. 09A)

S-3ASR  NORTHWESTERN CORP, 3010 W 69TH STREET, SIOUX FALLS, SD, 57108, 
        6059782908 - 500,000 ($18,550,000.00) Equity, (File 333-182895 - 
        Jul. 27) (BR. 02B)

S-8     ALCOA INC, 201 ISABELLA ST, ALCOA CORPORATE CTR, PITTSBURGH, PA, 
        15212-5858, 4125532576 - 19,000,000 ($152,950,000.00) Equity, 
        (File 333-182899 - Jul. 27) (BR. 06B)

S-8     STEINER LEISURE Ltd, 770 SOUTH DIXIE HWY., 2ND FLOOR, CORAL GABLES, FL, 
        33146, 3053589002 - 1,200,000 ($50,784,000.00) Equity, 
        (File 333-182901 - Jul. 27) (BR. 11A)

S-8     AETHLON MEDICAL INC, 8910 UNIVERSITY CENTER LANE, SUITE 660, SAN DIEGO, 
        CA, 92122, 858-459-7800 - 5,000,000 ($365,000.00) Equity, 
        (File 333-182902 - Jul. 27) (BR. 10A)

S-1     Aina Le'a Inc., 201 WAIKOLOA BEACH DRIVE, WAIKOLOA, HI, 96738, 
        808-640-7590 - 37,500,000,000 ($37,500,000.00) Equity, 
        (File 333-182904 - Jul. 27) (BR. )

S-3ASR  MUELLER INDUSTRIES INC, SUITE 150, 8285 TOURNAMENT DRIVE, MEMPHIS, TN, 
        38125, (901)753-3200 - 0 ($0.00) Equity, (File 333-182906 - Jul. 27) 
        (BR. 06B)

S-8     RICHARDSON ELECTRONICS LTD/DE, 40W267 KESLINGER RD, PO BOX 393, LAFOX, 
        IL, 60147, 630 208-2200 - 750,000 ($9,176,250.00) Equity, 
        (File 333-182907 - Jul. 27) (BR. 10B)

S-3ASR  VISA INC., P.O. BOX 8999, SAN FRANCISCO, CA, 94128-8999, 
        (415) 932-2100 - 0 ($0.00) Equity, (File 333-182908 - Jul. 27) (BR. 03A)

S-8     KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, ., 
        SAN DIEGO, CA, 92121, 858-812-7300 - 2,900,000 ($15,660,000.00) Equity, 
        (File 333-182910 - Jul. 27) (BR. 11A)

S-8     SEQUENOM INC, 3595 JOHN HOPKINS COURT, SAN DIEGO, X1, 92121, 
        8582029000 - 0 ($18,700,000.00) Equity, (File 333-182911 - Jul. 27) 
        (BR. 10B)

S-8     IntraLinks Holdings, Inc., C/O INTRALINKS, INC., 
        150 E. 42ND STREET, 8TH FLOOR, NEW YORK, NY, 10017, 212-543-7700 - 
        0 ($18,270,000.00) Debt, (File 333-182912 - Jul. 27) (BR. 03B)

S-3     LITHIA MOTORS INC, 360 E JACKSON ST, MEDFORD, OR, 97501, 541-776-6401 - 
        100,000,000 ($100,000,000.00) Equity, (File 333-182913 - Jul. 27) 
        (BR. 02C)

S-8     TESARO, Inc., 1000 WINTER STREET, SUITE 3300, WALTHAM, MA, 02451, 
        (339) 970-0900 - 0 ($3,795,000.00) Equity, (File 333-182915 - Jul. 27) 
        (BR. 01A)

S-8     TESARO, Inc., 1000 WINTER STREET, SUITE 3300, WALTHAM, MA, 02451, 
        (339) 970-0900 - 0 ($26,370,754.80) Equity, (File 333-182916 - Jul. 27) 
        (BR. 01A)

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


A123 SYSTEMS, INC.                      DE       5.02                 07/23/12

ABIOMED INC                             DE       1.01,7.01            07/27/12

ACACIA RESEARCH CORP                    DE       8.01                 07/26/12

ACCELLENT INC                                    5.02                 07/24/12

ACCURIDE CORP                           DE       2.02,7.01,9.01       07/26/12

ACELRX PHARMACEUTICALS INC              DE       5.07                 07/24/12

ACRO INC.                               NV       2.01,9.01            07/27/12

ACURA PHARMACEUTICALS, INC              NY       8.01,9.01            07/27/12

AETHLON MEDICAL INC                     NV       5.02,5.03,9.01       07/24/12

AETRIUM INC                             MN       2.02,9.01            07/26/12

AGILYSYS INC                            OH       2.02,7.01,9.01       07/26/12

AKAMAI TECHNOLOGIES INC                 DE       5.02                 07/25/12

ALLEGHENY TECHNOLOGIES INC              DE       8.01                 07/27/12

Alliance Holdings GP, L.P.              DE       2.02,9.01            07/27/12

ALLIANCE RESOURCE PARTNERS LP           DE       2.02,9.01            07/27/12

Alon USA Energy, Inc.                   DE       1.01,5.02            07/20/12

Alpha Natural Resources, Inc.           DE       1.04                 07/25/12

ALST Casino Holdco, LLC                 DE       5.02                 07/26/12

Altra Holdings, Inc.                    DE       2.02,9.01            07/27/12

AMARIN CORP PLC\UK                      X0       8.01,9.01            07/26/12

AMCOL INTERNATIONAL CORP                DE       2.02,9.01            06/27/12

AMERICA FIRST TAX EXEMPT INVESTORS LP   DE       8.01,9.01            07/26/12

AMERICAN AXLE & MANUFACTURING HOLDING   DE       2.02,7.01,9.01       07/27/12

AMERICAN EAGLE OUTFITTERS INC           DE       1.01,5.02,9.01       07/25/12

AMERICAN EXPRESS CREDIT CORP            DE       9.01                 06/12/12    AMEND

American Mining Corp                    NV       5.02                 07/25/12

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       1.01,2.01,2.03       07/26/12

American Realty Capital Trust III, In   MD       2.03,9.01            07/26/12

AMERICAN REALTY INVESTORS INC           NV       5.07                 05/09/12

AMERICAN RESTAURANT CONCEPTS INC                 4.02                 07/18/12    AMEND

American Standard Energy Corp.          DE       1.01,2.03,3.02,9.01  07/23/12

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       5.02,5.07,9.01       07/26/12

AMERICAS CARMART INC                    TX       5.02,9.01            11/13/09    AMEND

AMKOR TECHNOLOGY INC                    DE       2.02,7.01,9.01       07/26/12

AMPCO PITTSBURGH CORP                   PA       2.02,9.01            07/27/12

AmREIT, Inc.                            MD       1.01,5.03,9.01       07/23/12

AMSCAN HOLDINGS INC                     DE       5.01,8.01,9.01       07/27/12

AMSCAN HOLDINGS INC                     DE       5.01,8.01,9.01       07/27/12

ANIXTER INTERNATIONAL INC               DE       8.01                 07/27/12

AnythingIT, Inc.                        DE       5.02,9.01            07/24/12

Aon plc                                 X0       2.02,9.01            07/27/12

Approach Resources Inc                  DE       2.02,9.01            07/27/12

ARCH COAL INC                           DE       2.02,9.01            07/27/12

ARIAD PHARMACEUTICALS INC               DE       8.01,9.01            07/27/12

Armour Residential REIT, Inc.           MD       1.01,5.03,8.01,9.01  07/27/12

ASHLAND INC.                            KY       8.01,9.01            07/27/12

ASURE SOFTWARE INC                      DE       5.02                 07/27/12

ATMOS ENERGY CORP                       TX       7.01,9.01            07/27/12

AUTHENTEC INC                           DE       1.01,8.01,9.01       07/26/12

AUTOBYTEL INC                           DE       8.01,9.01            07/26/12

AV Homes, Inc.                          DE       5.07                 07/24/12

AVENTINE RENEWABLE ENERGY HOLDINGS IN   DE       1.01,2.03            07/27/12

AXESSTEL INC                            NV       5.07                 07/26/12

Bacterin International Holdings, Inc.   DE       7.01,9.01            07/27/12

Bank of Commerce Holdings               CA       2.02,9.01            07/27/12

BARNES GROUP INC                        DE       2.02                 07/27/12

BASIC ENERGY SERVICES INC                        2.02,9.01            07/26/12

BE AEROSPACE INC                        DE       1.01,5.02,5.07,9.01  07/23/12

BEASLEY BROADCAST GROUP INC             DE       2.02,9.01            07/27/12

BELDEN INC.                             DE       1.01,9.01            07/23/12

BELO CORP                               DE       2.02,9.01            07/27/12

BENCHMARK ELECTRONICS INC               TX       2.02,9.01            07/26/12

BEST BUY CO INC                         MN       7.01,9.01            07/27/12

BillMyParents, Inc.                     CO       1.01,5.02,9.01       07/23/12

BioDrain Medical, Inc.                  MN       5.02                 07/22/12

BofI Holding, Inc.                      DE       7.01,9.01            07/27/12

Bridgepoint Education Inc               DE       8.01                 07/25/12

BROWN FORMAN CORP                       DE       2.02,5.02,5.07,7.01, 07/26/12
                                                 9.01
          
BRYN MAWR BANK CORP                     PA       7.01,9.01            07/27/12

BSB Bancorp, Inc.                       MD       1.04,9.01            07/26/12

CALPINE CORP                            DE       2.02,9.01            06/27/12

CAMAC Energy Inc.                       DE       1.01,7.01,9.01       07/23/12

CAMCO FINANCIAL CORP                    DE       2.02,9.01            07/27/12

Car Charging Group, Inc.                NV       8.01,9.01            07/17/12

CARROLLTON BANCORP                      MD       2.02,8.01,9.01       07/27/12

Cascade Springs Ltd.                    NV       2.01                 07/27/12

CATERPILLAR INC                         DE       8.01,9.01            07/27/12

CATERPILLAR INC                         DE       8.01,9.01            07/27/12    AMEND

CBL & ASSOCIATES PROPERTIES INC         DE       2.02,9.01            07/26/12

CC Media Holdings Inc                            5.02,9.01            01/20/12    AMEND

CELL THERAPEUTICS INC                   WA       5.02                 07/25/12

CENTER BANCORP INC                      NJ       2.02,9.01            07/26/12

CenterState Banks, Inc.                 FL       5.02,9.01            07/27/12

ChemoCentryx, Inc.                      DE       5.02                 07/24/12

Cheviot Financial Corp.                 MD       2.02,9.01            07/27/12

CHEVRON CORP                            DE       2.02                 07/27/12

Chile Mining Technologies Inc.          NV       8.01                 07/27/12

CHINA RECYCLING ENERGY CORP                      1.01                 07/24/12

CHOICEONE FINANCIAL SERVICES INC        MI       2.02,9.01            07/27/12

CHUY'S HOLDINGS, INC.                   DE       5.03,9.01            07/27/12

CINTAS CORP                             WA       5.02,9.01            07/24/12

CLEAR CHANNEL COMMUNICATIONS INC        TX       5.02,9.01            01/20/12    AMEND

Clear Channel Outdoor Holdings, Inc.    DE       5.02,9.01            01/20/12    AMEND

CLEARONE COMMUNICATIONS INC             UT       4.01,9.01            07/23/12

CNL Healthcare Trust, Inc.              MD       1.01,5.02            07/27/12

COBRA ELECTRONICS CORP                  DE       2.02,9.01            07/27/12

COCA COLA CO                            DE       5.03,9.01            07/27/12

Colfax CORP                             DE       2.02,9.01            07/27/12

COMMERCIAL NATIONAL FINANCIAL CORP /P   PA       2.02                 07/27/12

Community Bankers Trust Corp            DE       2.02,9.01            07/27/12

COMPUWARE CORP                          MI       2.02,9.01            07/24/12

COMSCORE, INC.                          DE       5.07                 07/24/12

COVENTRY HEALTH CARE INC                DE       2.02,9.01            07/27/12

CROWN DYNAMICS CORP                     DE       1.01,3.02,5.06,9.01  01/18/12    AMEND

CROWN MEDIA HOLDINGS INC                DE       2.02,9.01            07/27/12

CTPARTNERS EXECUTIVE SEARCH INC.        DE       5.03,9.01            07/25/12

CVR ENERGY INC                          DE       5.02,9.01            07/23/12

CVR PARTNERS, LP                        DE       5.02,9.01            07/27/12

DAKOTA PLAINS HOLDINGS, INC.            NV       1.01,2.01,3.02,5.01, 03/22/12    AMEND
                                                 5.02,5.03,9.01

DATARAM CORP                            NJ       2.02,9.01            07/27/12

DecisionPoint Systems, Inc.                      1.01,5.02,9.01       07/23/12

Destination Maternity Corp              DE       2.02,9.01            07/26/12

DIAMOND HILL INVESTMENT GROUP INC       OH       2.02,9.01            07/27/12

DIGAGOGO VENTURES CORP                  DE       5.02                 07/23/12

Diversified Resources Inc.              NV       5.01,5.02,8.01       07/25/12

Domtar CORP                             DE       2.02,9.01            07/27/12

DONALDSON CO INC                        DE       8.01,9.01            07/27/12

DONEGAL GROUP INC                       DE       2.02,9.01            07/27/12

DTE ENERGY CO                           MI       2.02,7.01,9.01       07/27/12

Duke Energy CORP                        DE       5.02,9.01            07/27/12

Dynastar Holdings, Inc.                 NV       1.01                 07/23/12

Ecologic Transportation, Inc.                    1.01                 07/27/12

EDUCATION MANAGEMENT CORPORATION                 5.02,9.01            07/27/12

ELECTRONIC ARTS INC.                    DE       5.07,9.01            07/26/12

ELRAY RESOURCES, INC.                   NV       1.01                 07/27/12

EMPIRE DISTRICT ELECTRIC CO             KS       8.01                 07/26/12

EMPIRE GLOBAL CORP.                     DE       4.01,8.01,9.01       07/23/12    AMEND

Emrise CORP                             DE       5.07,8.01            07/27/12

ENTERPRISE FINANCIAL SERVICES CORP      DE       2.02,7.01,9.01       07/26/12

ENTRAVISION COMMUNICATIONS CORP         DE       5.02                 07/26/12

EVANS BANCORP INC                       NY       2.02,9.01            07/26/12

EXACT SCIENCES CORP                     DE       5.07                 07/26/12

EXELON CORP                             PA       8.01,9.01            07/27/12

Exterra Energy Inc.                     NV       7.01,9.01            07/20/12

Federal Home Loan Bank of Chicago       X1       2.02,7.01,9.01       07/27/12

Federal Home Loan Bank of San Francis   X1       2.02,7.01,9.01       07/26/12

FIDELITY D & D BANCORP INC              PA       2.02,9.01            07/27/12

FIRST BUSINESS FINANCIAL SERVICES, IN   WI       2.02,9.01            07/26/12

FIRST COMMUNITY BANCSHARES INC /NV/     NV       2.02,7.01,8.01,9.01  07/25/12

FIRST DEFIANCE FINANCIAL CORP           OH       5.03,9.01            07/23/12

FIRST NIAGARA FINANCIAL GROUP INC       DE       2.02,9.01            07/27/12

FIRST NIAGARA FINANCIAL GROUP INC       DE       7.01,9.01            07/26/12

FIRST POTOMAC REALTY TRUST              MD       2.02,5.02,7.01,9.01  07/23/12

Firsthand Technology Value Fund, Inc.            5.07                 07/27/12

FLUSHING FINANCIAL CORP                 DE       7.01,9.01            07/27/12

FORUM ENERGY TECHNOLOGIES, INC.         DE       2.02,9.01            07/26/12

FORUM ENERGY TECHNOLOGIES, INC.         DE       1.01,2.03,9.01       07/27/12

Fox Chase Bancorp Inc                            2.02,9.01            07/25/12

FREDERICK COUNTY BANCORP INC            MD       5.02,7.01,9.01       07/23/12

FREQUENCY ELECTRONICS INC               DE       1.01,9.01            02/21/12    AMEND

FSP 50 South Tenth Street Corp                   1.01,2.03,9.01       07/27/12

GameStop Corp.                          DE       5.02,9.01            07/26/12

GE Dealer Floorplan Master Note Trust   DE       1.01,9.01            07/25/12

GE Dealer Floorplan Master Note Trust   DE       8.01,9.01            07/25/12

GENERAL ELECTRIC CAPITAL CORP           CT       3.03,8.01,9.01       07/25/12

GENTA INC DE/                           DE       4.02                 07/24/12

Georgia-Carolina Bancshares, Inc        GA       7.01,9.01            07/27/12

GIGA TRONICS INC                        CA       8.01,9.01            07/27/12

Graystone Co                            DE       3.02                 06/25/12

GREENMAN TECHNOLOGIES INC               DE       5.07                 07/23/12

Griffin-American Healthcare REIT II,    MD       1.01,2.03,9.01       06/05/12    AMEND

Guidance Software, Inc.                 DE       1.01,9.01            07/26/12

GULF ISLAND FABRICATION INC             LA       2.02,9.01            07/26/12

GULF ISLAND FABRICATION INC             LA       8.01,9.01            07/26/12

GULF ISLAND FABRICATION INC             LA       5.02                 07/26/12

GYMBOREE CORP                           DE       5.02                 07/24/12

HANMI FINANCIAL CORP                    DE       5.07                 07/26/12

HELMERICH & PAYNE INC                   DE       2.02,9.01            07/27/12

HERCULES OFFSHORE, INC.                 DE       2.02,9.01            07/27/12

HMN FINANCIAL INC                       DE       2.02,9.01            07/20/12

HMS HOLDINGS CORP                                2.02,9.01            07/27/12

Home Federal Bancorp, Inc.              MD       2.02,9.01            07/27/12

HomeStreet, Inc.                        WA       5.02,9.01            07/26/12

HOPFED BANCORP INC                      DE       2.02,9.01            07/26/12

Horizon Lines, Inc.                              5.02,9.01            07/25/12

HORTON D R INC /DE/                     DE       2.02,9.01            07/27/12

HOST HOTELS & RESORTS, INC.             MD       8.01,9.01            01/01/11    AMEND

HOUSTON AMERICAN ENERGY CORP            DE       8.01,9.01            07/27/12

HPIL HOLDING                            NV       8.01,9.01            07/27/12    AMEND

HSBC USA INC /MD/                       MD       9.01                 07/27/12

ICAHN ENTERPRISES L.P.                  DE       1.01,9.01            07/24/12

ICON ECI FUND FIFTEEN, L.P.             DE       8.01                 07/27/12

ICON Equipment & Corporate Infrastruc   DE       8.01                 07/27/12

ICON LEASING FUND TWELVE, LLC           DE       8.01                 07/27/12

ICONIX BRAND GROUP, INC.                DE       2.02,9.01            07/25/12

IMPAC MORTGAGE HOLDINGS INC             MD       5.07,7.01            07/24/12

Imprimis Pharmaceuticals, Inc.          DE       1.01,5.02            07/24/12

INCOME OPPORTUNITY REALTY INVESTORS I   NV       5.07                 05/09/12

INERGY L P                              DE       1.01,2.03,9.01       07/26/12

INSIGNIA SYSTEMS INC/MN                 MN       2.02,9.01            07/25/12

Integrated Freight Systems, Inc.        FL       5.02,9.01            04/12/12

INTER PARFUMS INC                       DE       2.02                 07/26/12

INTERACTIVE DATA CORP/MA/               DE       2.02,9.01            07/26/12

INTERNATIONAL BUSINESS MACHINES CORP    NY       9.01                 07/25/12

INTERPHASE CORP                         TX       2.02,9.01            07/26/12

INTUIT INC                              DE       5.02,8.01,9.01       07/24/12

IO World Media, Inc                     FL       3.03                 07/26/12

Islet Sciences, Inc                     NV       1.01,9.01            07/23/12

ISTAR FINANCIAL INC                     MD       2.02,9.01            07/27/12

ITRONICS INC                            TX       8.01                 07/17/12    AMEND

J2 GLOBAL, INC.                         DE       1.01,2.03,8.01,9.01  07/26/12

JARDEN CORP                             DE       1.01,5.02,9.01       07/23/12

JPMORGAN CHASE & CO                     DE       5.02                 07/27/12

KAYAK SOFTWARE Corp                              3.02                 07/25/12

KAYDON CORP                             DE       2.02,9.01            07/27/12

KEMET CORP                              DE       5.07                 07/26/12

KENTUCKY BANCSHARES INC /KY/            KY       2.02,9.01            07/27/12

KEY ENERGY SERVICES INC                 MD       2.02,9.01            07/26/12

KEY TECHNOLOGY INC                      OR       2.02,9.01            07/26/12

KEY TECHNOLOGY INC                      OR       5.02                 07/27/12

KKR & Co. L.P.                          DE       2.02,9.01            07/27/12

KRANEM CORP                             CO       1.01,2.01,3.02,4.01, 07/27/12    AMEND
                                                 5.01,5.02,5.06,9.01
        
KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       9.01                 07/24/12    AMEND

KRONOS WORLDWIDE INC                             7.01,9.01            07/26/12

KVH INDUSTRIES INC \DE\                 DE       2.02,9.01            07/27/12

LACLEDE GROUP INC                       MO       2.02,7.01,9.01       07/27/12

Lake Shore Bancorp, Inc.                X1       8.01                 07/25/12

LAKELAND BANCORP INC                    NJ       7.01,9.01            07/27/12

LaPorte Bancorp, Inc.                   X1       2.02,9.01            07/27/12

LEE ENTERPRISES, INC                    DE       5.02                 07/23/12

LEGG MASON, INC.                        MD       2.02,9.01            07/27/12

Liberty Global, Inc.                    DE       7.01                 07/27/12

Liberty Interactive Corp                         8.01,9.01            07/25/12

Liberty Media Corp                      DE       7.01,9.01            07/25/12

Liberty Media Corp                      DE       7.01,9.01            07/25/12    AMEND

LIFEPOINT HOSPITALS, INC.                        2.02,9.01            07/27/12

Location Based Technologies, Inc.       NV       8.01,9.01            07/24/12

LyondellBasell Industries N.V.          P7       2.02,7.01,9.01       07/27/12

MAGELLAN HEALTH SERVICES INC            DE       2.02,9.01            07/27/12

MAGELLAN MIDSTREAM PARTNERS LP          DE       7.01,8.01,9.01       07/26/12

MAJIC WHEELS CORP                                1.01,2.03,9.01       07/24/12

MATERION Corp                                    2.02,9.01            07/27/12

MCCLATCHY CO                            DE       9.01                 07/27/12

MCKESSON CORP                           DE       5.07                 07/25/12

MEDALLION FINANCIAL CORP                DE       5.02                 07/26/12

MEDALLION FINANCIAL CORP                DE       5.07                 07/26/12    AMEND

Medical Care Technologies Inc.          NV       1.01,1.02,2.03,2.04, 06/12/12
                                                 3.02,9.01
     
MEDISWIPE INC.                          DE       4.02                 07/25/07    AMEND

MERCHANTS BANCSHARES INC                DE       7.01,9.01            07/25/12

Merck & Co. Inc.                        NJ       2.02,9.01            07/27/12

MERISEL INC /DE/                        DE       5.02                 07/27/12

MESA LABORATORIES INC /CO               CO       9.01                 05/15/12    AMEND

METLIFE INC                             DE       5.02,9.01            07/23/12

MetroCorp Bancshares, Inc.              TX       1.02                 07/20/12

MIDDLEFIELD BANC CORP                   OH       2.02,9.01            07/26/12

MILLER ENERGY RESOURCES, INC.           TN       5.02,7.01,9.01       07/26/12

ML MACADAMIA ORCHARDS L P               DE       1.01                 07/23/12

MONARCH CASINO & RESORT INC             NV       2.02,9.01            07/26/12

Monotype Imaging Holdings Inc.          DE       2.02,5.02,8.01,9.01  07/25/12

MOOG INC                                NY       2.02,9.01            07/27/12

MUELLER INDUSTRIES INC                  DE       8.01,9.01            07/27/12

NEOMEDIA TECHNOLOGIES INC               DE       1.01,3.02,9.01       07/20/12

NET TALK.COM, INC.                      FL       3.02,5.02,9.01       07/25/12

NEULION, INC.                                    1.01,9.01            07/23/12

Neuralstem, Inc.                        DE       5.02,8.01,9.01       07/25/12

NEWELL RUBBERMAID INC                   DE       2.02,9.01            07/27/12

NEWMONT MINING CORP /DE/                DE       2.02,9.01            07/26/12

NEWPARK RESOURCES INC                   DE       2.02,9.01            07/26/12

NEWS CORP                                        8.01,9.01            07/27/12

NEXTERA ENERGY INC                      FL       5.02                 07/26/12

NII HOLDINGS INC                        DE       5.02                 07/25/12

NORTHEAST BANCORP /ME/                  ME       8.01                 06/30/12

NORTHRIDGE VENTURES INC.                         5.02                 07/25/12

NORTHRIDGE VENTURES INC.                         5.02                 07/25/12    AMEND

NOVAGEN SOLAR INC.                      NV       1.01                 06/24/12

NuStar Energy L.P.                      DE       2.02,9.01            07/27/12

NuStar GP Holdings, LLC                 DE       2.02,9.01            07/27/12

Nutrastar International Inc.            NV       5.07,9.01            07/27/12

NV ENERGY, INC.                         NV       2.02,7.01,9.01       07/27/12

OCLARO, INC.                            DE       2.01,5.02,5.07,7.01, 07/23/12
                                                 9.01
          
Oconee Federal Financial Corp.                   8.01,9.01            07/26/12

OHIO VALLEY BANC CORP                   OH       2.02,9.01            06/30/12

OLD LINE BANCSHARES INC                 MD       2.02,9.01            07/26/12

OLD REPUBLIC INTERNATIONAL CORP         DE       2.02,9.01            07/26/12

OMEGA HEALTHCARE INVESTORS INC          MD       2.02,9.01            07/27/12

OmniAmerican Bancorp, Inc.              MD       2.02,9.01            07/27/12

OneBeacon Insurance Group, Ltd.         D0       2.02,9.01            07/27/12

OneBeacon Insurance Group, Ltd.         D0       2.02,9.01            07/27/12

ONEOK INC /NEW/                         OK       7.01,8.01,9.01       07/27/12

ONEOK Partners LP                       DE       7.01,8.01,9.01       07/27/12

Opera Jet International Ltd             DE       2.01,3.02,5.06,9.01  02/06/12    AMEND

OPNEXT INC                                       2.01,3.01,3.03,5.01, 07/23/12
                                                 5.02,5.03,9.01

ORRSTOWN FINANCIAL SERVICES INC         PA       2.02,9.01            07/26/12

ORRSTOWN FINANCIAL SERVICES INC         PA       5.02                 07/26/12

Oxford Resource Partners LP             DE       7.01,9.01            07/27/12

P&F INDUSTRIES INC                      DE       1.01,9.01            07/24/12

PALMETTO BANCSHARES INC                 SC       2.02,9.01            07/27/12

PARK ELECTROCHEMICAL CORP               NY       5.07                 07/24/12

PARKE BANCORP, INC.                     NJ       2.02,9.01            07/27/12

PATRIOT SCIENTIFIC CORP                 DE       8.01,9.01            07/24/12

Pazoo, Inc.                                      3.02,7.01,9.01       07/27/12

PediatRx Inc.                           NV       1.01,2.03,9.01       07/25/12

PENN VIRGINIA RESOURCE PARTNERS L P     DE       5.02                 07/24/12

PENSON WORLDWIDE INC                    DE       3.01,5.02            07/24/12

PEOPLES BANCORP OF NORTH CAROLINA INC   NC       2.02,9.01            07/27/12

PEOPLES FINANCIAL CORP /MS/             MS       8.01,9.01            07/27/12

PEP BOYS MANNY MOE & JACK               PA       7.01,9.01            07/27/12

PHOTOTRON HOLDINGS, INC.                DE       1.01,2.01,2.03,9.01  07/23/12

PILGRIMS PRIDE CORP                     DE       2.02,9.01            07/27/12

PILGRIMS PRIDE CORP                     DE       7.01                 07/27/12

POKERTEK, INC.                          NC       1.01,9.01            07/23/12

PREMIER FINANCIAL BANCORP INC           KY       7.01,9.01            07/27/12

PREMIER HOLDING CORP.                   NV       5.02                 07/27/12

PRIME GLOBAL CAPITAL GROUP Inc          NV       2.01,9.01            07/26/12

PRINCIPAL FINANCIAL GROUP INC           DE       2.02,9.01            07/26/12

PROSPERITY BANCSHARES INC               TX       2.02,9.01            07/27/12

PROVIDENCE SERVICE CORP                 DE       2.02,5.02,7.01,9.01  07/25/12

PROVIDENT FINANCIAL SERVICES INC        DE       2.02,7.01,9.01       07/27/12

PSB HOLDINGS INC /WI/                   WI       2.02,9.01            07/27/12

Public Storage                          MD       5.02                 07/27/12

RBC LIFE SCIENCES, INC.                 DE       5.02                 07/24/12

Reliance Bancshares, Inc.               MO       2.02,9.01            07/27/12

RESPONSE BIOMEDICAL CORP                A1       5.02,8.01,9.01       07/25/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       7.01,9.01            07/27/12

RICKS CABARET INTERNATIONAL INC         TX       5.02,9.01            07/23/12

RIMAGE CORP                             MN       2.02,8.01,9.01       07/26/12

RIVERVIEW BANCORP INC                   WA       2.02,9.01            07/25/12

Roebling Financial Corp, Inc.                    1.01,1.02,9.01       07/23/12

ROWAN COMPANIES PLC                     X0       5.07,8.01            07/25/12

ROYAL GOLD INC                          DE       8.01,9.01            07/26/12

Ruths Hospitality Group, Inc.           DE       2.02,9.01            07/27/12

SAIA INC                                DE       2.02,9.01            07/27/12

SBA COMMUNICATIONS CORP                 FL       8.01,9.01            07/27/12

SCBT FINANCIAL CORP                     SC       2.02,9.01            07/27/12

SCBT FINANCIAL CORP                     SC       5.02,9.01            07/26/12

SCIQUEST INC                            DE       1.01,9.01            07/24/12

SEACOR HOLDINGS INC /NEW/               DE       2.02,9.01            07/27/12

SEMTECH CORP                            DE       5.02                 07/25/12

SIGNET JEWELERS LTD                              5.02,9.01            07/25/12

SILGAN HOLDINGS INC                     DE       2.02,9.01            07/25/12

SIMPSON MANUFACTURING CO INC /CA/       DE       2.02,9.01            07/26/12

SIMULATIONS PLUS INC                             7.01,9.01            07/27/12

SKYLINE CORP                            IN       2.02,9.01            07/27/12

SMITH & WESSON HOLDING CORP             NV       8.01,9.01            07/26/12

Solar Power, Inc.                       CA       5.02                 07/24/12

Solera National Bancorp, Inc.           DE       5.02                 07/26/12

SONIC AUTOMOTIVE INC                    DE       8.01,9.01            07/27/12

SOUTHERN MICHIGAN BANCORP INC           MI       2.02,9.01            07/27/12

STANDARD REGISTER CO                    OH       2.02,9.01            07/27/12

STERLING BANCORP                        NY       7.01,9.01            07/25/12

SUNPEAKS VENTURES, INC.                 NV       1.01,2.01,3.02,5.01, 02/13/12    AMEND
                                                 5.02,5.03,5.06,8.01,
                                                 9.01
   
SUPERMEDIA INC.                         DE       2.02,7.01,9.01       07/27/12

SURREY BANCORP                          NC       7.01,9.01            07/27/12

Target Acquisitions I, Inc.             DE       2.01,3.02,5.01,5.06, 09/30/11    AMEND
                                                 9.01
          
TELECOMMUNICATION SYSTEMS INC /FA/      MD       2.02,9.01            07/26/12

TELEDYNE TECHNOLOGIES INC               DE       5.02,9.01            07/24/12

TELLABS INC                             DE       2.02,8.01,9.01       07/26/12

TERADATA CORP /DE/                               5.02,9.01            07/24/12

TEREX CORP                              DE       2.02,9.01            07/26/12

Terreno Realty Corp                     MD       9.01                 05/30/12    AMEND

Terreno Realty Corp                     MD       9.01                 07/03/12    AMEND

TESSCO TECHNOLOGIES INC                 DE       5.07                 07/26/12

TEXAS CAPITAL BANCSHARES INC/TX                  1.01,8.01,9.01       07/27/12

TEXAS CAPITAL BANCSHARES INC/TX                  5.02                 07/24/12

TIFFANY & CO                            DE       1.01,2.03,9.01       07/26/12

TRANSCONTINENTAL REALTY INVESTORS INC   NV       5.07                 05/09/12

TRI COUNTY FINANCIAL CORP /MD/          MD       2.02,9.01            07/25/12

TRICO BANCSHARES /                      CA       8.01,9.01            07/27/12

UMH PROPERTIES, INC.                    MD       7.01,9.01            07/27/12

UMPQUA HOLDINGS CORP                    OR       7.01,9.01            07/27/12

UNION FIRST MARKET BANKSHARES CORP      VA       8.01,9.01            07/27/12

UNITED BANCORP INC /MI/                 MI       2.02,7.01,9.01       07/27/12

UNITED BANCORP INC /OH/                 OH       2.02,9.01            07/24/12

United Community Bancorp                X1       8.01,9.01            07/26/12

United States 12 Month Natural Gas Fu            7.01,9.01            07/27/12

United States 12 Month Oil Fund, LP              7.01,9.01            07/27/12

United States Brent Oil Fund, LP        DE       7.01,9.01            07/27/12

United States Commodity Index Funds T   DE       7.01,9.01            07/27/12

United States Gasoline Fund, LP         DE       7.01,9.01            07/27/12

United States Heating Oil Fund, LP      DE       7.01,9.01            07/27/12

UNITED STATES LIME & MINERALS INC       TX       2.02,9.01            07/27/12

United States Natural Gas Fund, LP               7.01,9.01            07/27/12

United States Oil Fund, LP              DE       7.01,9.01            07/27/12

United States Short Oil Fund, LP        DE       7.01,9.01            07/27/12

UNIVERSAL DISPLAY CORP \PA\             PA       1.01,2.01,9.01       07/23/12

UNIVERSAL HEALTH SERVICES INC           DE       2.02,9.01            07/26/12

VERISIGN INC/CA                         DE       2.02,9.01            07/26/12

VIAD CORP                               DE       2.02,9.01            07/27/12

VIKING INVESTMENTS GROUP, INC.          NV       8.01,9.01            07/23/12

VISTAPRINT N.V.                         P7       2.02,9.01            07/26/12    AMEND

Vulcan Materials CO                     NJ       2.02,9.01            07/26/12

WABCO Holdings Inc.                     DE       2.02,7.01,9.01       07/27/12

WASHINGTON REAL ESTATE INVESTMENT TRU   MD       2.02,7.01,8.01,9.01  07/26/12

Weatherford International Ltd./Switze   V8       2.02,7.01            07/24/12

WEBSTER FINANCIAL CORP                  DE       5.02,9.01            07/27/12

WEST BANCORPORATION INC                 IA       2.02,9.01            07/26/12

WESTMORELAND COAL Co                    DE       5.02,9.01            07/27/12

WEYERHAEUSER CO                         WA       2.02,9.01            07/26/12

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       2.02,9.01            07/27/12

WILLIAMS SONOMA INC                     CA       5.02,9.01            07/27/12

WisdomTree Investments, Inc.            DE       5.02,5.07            07/24/12

WisdomTree Investments, Inc.            DE       2.02,9.01            07/27/12

WMI HOLDINGS CORP.                      WA       8.01,9.01            07/27/12

XPLORE TECHNOLOGIES CORP                DE       8.01,9.01            07/26/12

YAHOO INC                               DE       2.05                 04/04/12    AMEND

ZALE CORP                               DE       1.01,2.03,9.01       07/24/12

http://www.sec.gov/news/digest/2012/dig073112.htm