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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-158
August 15, 2012

Commission announcements

Commission Meetings

Closed Meeting on Wednesday, August 22, 2012 at 2:00 p.m. and Thursday, August 23, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Wednesday, August 22, 2012 will be a litigation matter.

The subject matter of the Closed Meeting scheduled for Thursday, August 23, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; 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

In the Matter of Stanley C. Brooks and Brookstreet Securities Corp.

On August 14, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940. The Order alleges that on February 28, 2012, a final judgment was entered against Stanley C. Brooks (Brooks) and Brookstreet Securities Corp. (Brookstreet), permanently enjoining them from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Brookstreet Securities Corp. and Stanley C. Brooks, Civil Action Number SA 8:09-cv-1431-DOC (ANx), in the United States District Court for the Central District of California.

The Order alleges that the Commission’s complaint in the civil action alleges that from 2004 through 2007, Brookstreet and Brooks committed securities fraud involving the sale of unsuitable Collateralized Mortgage Obligations (“CMOs”) to retail customers. The complaint also alleges that Brooks helped create, promote and facilitate an investment program, the “CMO Program,” through which Brookstreet and its registered representatives improperly sold risky, illiquid CMOs to retail customers with conservative investment goals, including retirees. The complaint further alleges that more than 1,000 Brookstreet customers invested about $300 million through the CMO Program.

A public hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Brooks and Brookstreet an opportunity to respond to the allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest. The Order directs the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the order. (Rels. 34-67658; IA-3444; File No. 3-14983)

In the Matter of Omar Ali Rizvi

On August 15, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Omar Ali Rizvi (Order). The Order is based on the entry of a permanent injunction against Rizvi in the civil action entitled Securities and Exchange Commission v. Omar Ali Rizvi, et al., Civil Action Number 8:10-cv-01632-JVS -FFM, in the United States District Court for the Central District of California.

In the Order, the Division of Enforcement (Division) alleges that, on July 24, 2012, a judgment was entered against Rizvi, permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Division of Enforcement alleges that the Commission’s complaint alleged, among other things, that Rizvi offered and sold Bellwether securities in an unregistered securities offering that raised more than $1.8 million from investors throughout the United States and that, in the offering, Rizvi misrepresented to investors material facts regarding, among other things, Bellwether’s status as a business development company and the persons who managed Bellwether. The Division alleges that, at the time of the misconduct underlying the permanent injunction, Rizvi was associated with a broker and an investment adviser.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Rizvi an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest, pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940. (Rels. 34-67661; IA-3445; File No. 3-14984)

In the Matter of Jason R. Hyatt

On August 15, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) Making Findings, and Imposing Remedial Sanctions (Order) against Jason R. Hyatt (Hyatt) based upon the entry of a Permanent Injunction against him in the United States District Court for the Northern District of Illinois (SEC v. Hyatt, et al., Case No: 08-cv-2224).

The Order finds that Hyatt, along with his partner Jay D. Johnson (Johnson), was a managing member and principal of Hyatt Johnson Capital, LLC (HJ Capital), which, from 2003 through 2008, acted as an unregistered investment adviser in connection with at least ten Limited Liability Corporations (LLCs) controlled and managed by HJ Capital (HJ Capital LLCs). During that time period, Hyatt and HJ Capital also acted as unregistered broker-dealers in connection with the HJ Capital LLCs’ purchases of securities offered by BCI Aircraft Leasing, Inc.

The Commission’s complaint in the above captioned matter alleged that, in connection with the sale of these HJ Capital LLC interests, Hyatt misappropriated at least $3.6 million in investor funds for, among other things, the operation of a Latin-themed restaurant in Chicago and Hyatt’s personal expenses including numerous mortgage payments and substantial home improvements for two homes, as well as art and antiques and luxury automobiles. The complaint also alleged that Hyatt received and diverted nearly $1.8 million in undisclosed commissions in connection with the HJ Capital LLCs’ purchases of securities offered by BCI Aircraft Leasing, Inc.

On June 4, 2012, a partial final judgment was entered by consent against Hyatt, permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act.

Based on the above, Respondent Jason R. Hyatt consented to an order barring him from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. (Rels. 34-67662; IA-3446; File No. 3-14985)

SEC Halts Denver-Based Ponzi Scheme

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze against Bridge Premium Finance LLC, Michael J. Turnock, and William P. Sullivan, II, for allegedly perpetrating a Ponzi scheme. Bridge Premium is based in Denver, Colorado. Turnock resides in Denver, Colorado, and Sullivan resides in Highlands Ranch, Colorado.

According to the SEC’s complaint filed yesterday in federal court in Denver, Bridge Premium raised at least $15.7 million from more than 100 promissory note investors nationwide by promising annual returns of up 12 percent. Turnock and Sullivan represented that investor funds would be used to make loans to small businesses to pay their up-front, annual commercial insurance premiums. They also told investors that Bridge Premium’s business was performing well, and that their funds were “100% Protected” through various forms of collateral on the underlying loans.

However, the SEC alleges that in fact, since at least 2002, Bridge Premium has paid investor returns with funds from other investors because Bridge Premium’s business has been unprofitable and its obligations to noteholders have far exceeded its total assets. Because most funds were diverted for Ponzi payments, any collateral available on Bridge Premium’s underlying loan portfolio will only protect a small fraction of its promissory note investors. Bridge Premium’s offering was not registered with the SEC as required under the federal securities laws.

The Complaint alleges that, based on this conduct, Bridge Premium and Turnock violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act), and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, or in the alternative, Turnock is liable as a control person under Section 20(a) of the Exchange Act for Bridge Premium’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Complaint alleges that Sullivan violated Section 17(a)(1) and (3) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5(a) and (c) thereunder, or in the alternative, he is liable for aiding and abetting Turnock’s and Bridge Premium’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. On the Commission’s motion, the Court issued a Temporary Restraining Order, Asset Freeze, Other Equitable Relief, and Order Setting Preliminary Injunction Hearing (Order) on August 14, 2012. Among other things, the Court’s Order froze the assets of Bridge Premium, Turnock, and Sullivan derived from the scheme alleged in the Complaint, pending resolution of the Commission’s Motion for a Preliminary Injunction. [SEC v. Bridge Premium Finance, LLC, Michael J. Turnock and William P. Sullivan, II, Defendants, (United States District Court for the District of Colorado, Civil Action No. 1:12-cv-02131-JLK)] (LR-22449)

INVESTMENT COMPANY ACT RELEASES

IndexIQ Advisors LLC and IndexIQ Active ETF Trust

A notice has been issued giving interested persons until September 7, 2012, to request a hearing on an application filed by IndexIQ Advisors LLC and IndexIQ Active ETF Trust, for an order to permit: (a) actively managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30166 - August 13)

LoCorr Fund Management, LLC and LoCorr Investment Trust

A notice has been issued giving interested persons until September 10, 2012, to request a hearing on an application filed by LoCorr Fund Management, LLC and LoCorr Investment Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940, as amended (the “Act”), and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. ((Rel. IC-30168 - August 14)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-077) to delay the implementation date of changes to Market-Makers’ continuous quoting obligations 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 August 13. (Rel. 34-67644)

A proposed rule change submitted by National Stock Exchange, Inc. (SR-NSX-2012-12) to modify the text of NSX Rule 11.15 to clarify the manner in which certain orders are routed by the Exchange to other market centers 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 August 13. (Rel. 34-67647)

A proposed rule change filed by NYSE Arca, Inc. amending NYSE Arca Equities Rule 7.31 to specify how MPL Orders with ALO Order instructions may interact (SR-NYSEArca-2012-83) 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 August 13. (Rel. 34-67652)

A proposed rule change filed by BATS Y-Exchange, Inc. to amend rules related to the BATS-Y Price Sliding Functionality (SR-BYX-2012-018) 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 August 13. (Rel. 34-67656)

A proposed rule change filed by BATS Exchange, Inc. to amend rules related to the BATS Price Sliding Functionality (SR-BATS-2012-035) 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 August 13. (Rel. 34-67657)

Approval of Proposed Rule Change

The Commission approved a proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-81) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder with respect to the authority of the Exchange or NASDAQ Execution Services to cancel orders when a technical or systems issue occurs on the Exchange’s NASDAQ OMX PSX facility and to describe the operation of an error account for NES. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67654)

Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change

The Commission is instituting proceedings pursuant to Section 19(b)(2)(B) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-059) to establish “Benchmark Orders” under NASDAQ Rule 4751(f). Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67655)

JOINT INDUSTRY PLAN RELEASES

Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information

The Options Price Reporting Authority filed with the Securities and Exchange Commission a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2012-04) to amend the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to implement a new fee for “Non-Display Applications”. Publication in the Federal Register is expected during the week of August 13. (Rel. 34-67648)

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-3     GreenHunter Energy, Inc., 1048 TEXAN TRAIL, GRAPEVINE, TX, 76051, 
        972-410-1044 - 18,922,709 ($38,413,099.27) Other, 
        0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-183292 - 
        Aug. 14) (BR. 06B)

S-8     ANDAIN, INC., 350 S. CENTER STREET, SUITE 500, RENO, NV, 89501, 
        775-333-5997 - 5,730 ($500,000.00) Equity, (File 333-183293 - Aug. 14) 
        (BR. 01B)

S-8     VimpelCom Ltd., SOM 2 BLD., FLOOR 2, CLAUDE DEBUSSYLAAN 15, AMSTERDAM, 
        P7, 1082 MC, 31 20 79 77 200 - 1,000,000 ($9,010,000.00) Other, 
        (File 333-183294 - Aug. 14) (BR. 11C)

S-1     SAFETY-KLEEN, INC, 5360 LEGACY DRIVE, BUILDING 2, SUITE 100, PLANO, TX, 
        75024, 972-265-2000 - 0 ($400,000,000.00) Equity, (File 333-183295 - 
        Aug. 14) (BR. 06B)

S-8     CYBEROPTICS CORP, 5900 GOLDEN HILLS DR, MINNEAPOLIS, MN, 55416, 
        6125425000 - 350,000 ($2,164,768.00) Equity, (File 333-183296 - 
        Aug. 14) (BR. 10A)

S-8     Start Scientific, Inc., 11650 SOUTH STATE STREET, SUITE 240, DRAPER, 
        UT, 84020, 801-816-2560 - 20,000,000 ($8,000,000.00) Equity, 
        (File 333-183297 - Aug. 14) (BR. 03A)

S-8     CROWN CRAFTS INC, 916 SOUTH BURNSIDE AVENUE, GONZALES, LA, 70737, 
        225-647-9100 - 1,175,000 ($6,491,875.00) Equity, (File 333-183298 - 
        Aug. 14) (BR. 02B)

S-8     Galena Biopharma, Inc., 310 N. STATE STREET, SUITE 208, LAKE OSWEGO, 
        OR, 97034, 855 855 GALE - 0 ($9,164,871.58) Equity, (File 333-183300 - 
        Aug. 14) (BR. 01B)

S-3     BIOMIMETIC THERAPEUTICS, INC., 389-A NICHOL MILL LANE, FRANKLIN, TN, 
        37067, 615 844 1280 - 0 ($150,000,000.00) Equity, (File 333-183308 - 
        Aug. 14) (BR. 10A)

S-1     Homie Recipes, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 
        775-321-8225 - 4,000,000 ($100,000.00) Equity, (File 333-183310 - 
        Aug. 14) (BR. )

S-8     INNERWORKINGS INC, 600 WEST CHICAGO, SUITE 750, CHICAGO, IL, 60610, 
        312-642-3700 - 900,000 ($10,858,500.00) Equity, (File 333-183311 - 
        Aug. 14) (BR. 05B)

S-8     GUIDED THERAPEUTICS INC, 4955 AVALON RIDGE PKWY, SUITE 300, NORCROSS, 
        GA, 30071, 7702428723 - 5,000,000 ($4,225,000.00) Other, 
        (File 333-183312 - Aug. 14) (BR. 10A)

S-3     EnteroMedics Inc, 2800 Patton Rd, St Paul, MN, 55113, 
        0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-183313 - 
        Aug. 14) (BR. 10A)

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


ABIOMED INC                             DE       5.07                 08/08/12

ACCENTIA BIOPHARMACEUTICALS INC         FL       7.01,8.01,9.01       08/14/12

ACL I Corp                              DE       4.02                 08/13/12

Advanced BioEnergy, LLC                 DE       8.01,9.01            08/09/12

Aegion Corp                             DE       7.01,9.01            08/14/12

Affinity Gaming, LLC                    NV       2.02,9.01            08/14/12

AGY Holding Corp.                       DE       2.02,9.01            08/14/12

ALASKA AIR GROUP, INC.                  DE       7.01,9.01            08/13/12

ALASKA PACIFIC BANCSHARES INC           AK       1.02,9.01            08/08/12

ALION SCIENCE & TECHNOLOGY CORP         DE       2.02,7.01,8.01       08/14/12

ALPHA & OMEGA SEMICONDUCTOR Ltd                  2.02,9.01            08/14/12

Alta Mesa Holdings, LP                  TX       2.02,5.02,9.01       08/14/12

AMERICAN APPAREL, INC                   DE       2.02,9.01            08/13/12

AMERICAN DG ENERGY INC                  DE       2.02,9.01            08/14/12

AMERICAN SIERRA GOLD CORP.              NV       1.01,9.01            08/13/12

AMREP CORP.                             OK       1.01,2.03            08/13/12

Anchor Bancorp                          WA       2.02,9.01            08/13/12

ANGIOTECH PHARMACEUTICALS INC                    2.02,9.01            08/14/12

APARTMENT INVESTMENT & MANAGEMENT CO    MD       7.01,9.01            08/14/12

APD ANTIQUITIES, INC.                   NV       1.01,9.01            08/06/12

Apple REIT Eight, Inc.                  VA       2.02,9.01            08/14/12

Apple REIT Nine, Inc.                   VA       2.02,9.01            08/14/12

Apple REIT Seven, Inc.                  VA       2.02,9.01            08/14/12

APPLE REIT SIX INC                               2.02,9.01            08/14/12

Applied Minerals, Inc.                  DE       4.02                 08/09/12

Ares Commercial Real Estate Corp        MD       2.02,9.01            08/14/12

AROTECH CORP                            DE       2.02,5.07,9.01       08/13/12

ARRHYTHMIA RESEARCH TECHNOLOGY INC /D   DE       2.02,9.01            08/14/12

ASPEN INSURANCE HOLDINGS LTD            D0       7.01,9.01            08/14/12

ASSOCIATED BANC-CORP                    WI       7.01,9.01            08/14/12

ASTEA INTERNATIONAL INC                 DE       2.02,9.01            08/14/12

ASURE SOFTWARE INC                      DE       2.02,9.01            08/14/12

Atlantic Coast Financial CORP           MD       1.01,9.01            08/10/12

Atlas Financial Holdings, Inc.          E9       8.01,9.01            08/14/12

AURORA DIAGNOSTICS HOLDINGS LLC                  5.02,8.01,9.01       08/14/12

AVIV REIT, INC.                         MD       2.02,9.01            08/14/12

AZTEC OIL & GAS, INC.                   NV       5.03,5.07,7.01       08/10/12

BALLY TECHNOLOGIES, INC.                NV       2.02,9.01            08/09/12

BANCORPSOUTH INC                        MS       7.01,9.01            08/14/12

Bank of New York Mellon CORP            DE       7.01                 08/14/12

BB&T CORP                               NC       8.01,9.01            08/14/12

BIGLARI HOLDINGS INC.                   IN       5.02                 08/14/12

BIMINI CAPITAL MANAGEMENT, INC.         MD       2.01,9.01            08/13/12

BIOANALYTICAL SYSTEMS INC               IN       2.02,9.01            08/14/12

BIOVEST INTERNATIONAL INC               DE       7.01,8.01,9.01       08/14/12

BIRNER DENTAL MANAGEMENT SERVICES INC   CO       2.02,9.01            08/14/12

Blackstone Group L.P.                   DE       8.01,9.01            08/14/12

BLONDER TONGUE LABORATORIES INC         DE       2.02,9.01            08/14/12

BLUE DOLPHIN ENERGY CO                  DE       2.02,9.01            08/14/12

BLUEFLY INC                             DE       2.02,9.01            08/14/12

BOB EVANS FARMS INC                     DE       2.02,8.01,9.01       08/14/12

BofI Holding, Inc.                      DE       7.01,9.01            08/14/12

Bridgeline Digital, Inc.                DE       2.02,9.01            08/14/12

BRIGHTCOVE INC                          DE       2.01,9.01            08/14/12

BROADCAST INTERNATIONAL INC             UT       8.01                 08/13/12

BROADCOM CORP                           CA       8.01,9.01            08/13/12

CACHE INC                               FL       2.02,9.01            08/14/12

CalAmp Corp.                            DE       8.01                 08/02/12

CAMBREX CORP                            DE       7.01,9.01            08/14/12

CAMBRIDGE HEART INC                     DE       2.02,8.01,9.01       06/30/12

CARDINAL FINANCIAL CORP                 VA       7.01,9.01            08/14/12

CASCADE BANCORP                         OR       8.01                 08/14/12

CASCADE BANCORP                         OR       8.01,9.01            08/14/12

CASCADE BANCORP                         OR       8.01                 08/14/12    AMEND

Castle Brands Inc                       FL       2.02,9.01            08/14/12

CD INTERNATIONAL ENTERPRISES, INC.      FL       2.02,7.01,9.01       08/14/12

Celsion CORP                            DE       2.02,9.01            08/14/12

CENTERLINE HOLDING CO                   DE       2.02,9.01            08/14/12

CENTRAL EUROPEAN DISTRIBUTION CORP      DE       3.01,7.01,9.01       08/10/12

CERADYNE INC                            DE       7.01,9.01            08/14/12

CFS BANCORP INC                         IN       7.01,9.01            08/14/12

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            08/14/12

CHINA FUND INC                          MD       7.01,9.01            06/30/12    AMEND

CHINA GENGSHENG MINERALS, INC.          NV       2.02,8.01,9.01       08/14/12

CHINA JO-JO DRUGSTORES, INC.                     8.01,9.01            08/14/12

China TransInfo Technology Corp.        NV       2.02,7.01,9.01       08/14/12

CIFC Corp.                              DE       2.02,9.01            08/14/12

Cinedigm Digital Cinema Corp.           DE       2.02,9.01            08/14/12

CITIZENS BANCSHARES CORP /GA/           GA       2.02,9.01            08/14/12

CKX LANDS, INC.                         LA       5.03,9.01            08/14/12

CLAIRES STORES INC                      DE       2.02,9.01            08/13/12

CLEAN WIND ENERGY TOWER, INC.           NV       1.01,2.03,3.02,9.01  08/03/12

COMM 2012-LC4 Mortgage Trust            DE       9.01                 03/20/12

COMMERCIAL BARGE LINE CO                DE       4.02                 08/13/12

COMMUNITY FINANCIAL CORP /VA/           VA       2.02,9.01            08/13/12

Computer Software Innovations, Inc.     DE       2.02,9.01            08/14/12

CONCEPTUS INC                           DE       5.02,9.01            08/09/12

CONMED CORP                             NY       8.01,9.01            08/14/12

CONMED CORP                             NY       1.01,9.01            08/13/12

Conmed Healthcare Management, Inc.      DE       2.02,9.01            08/14/12

CONTINENTAL RESOURCES INC               OK       1.01,8.01,9.01       08/13/12

CORNERSTONE BANCSHARES INC              TN       7.01                 08/14/12

COSTAR GROUP INC                        DE       9.01                 04/30/12    AMEND

COVER ALL TECHNOLOGIES INC              DE       1.01,2.02,2.03,9.01  08/14/12

CPM Holdings, Inc.                               1.01,9.01            08/14/12

CPS TECHNOLOGIES CORP/DE/               DE       2.02,9.01            06/30/12

CROWN CRAFTS INC                        DE       2.02,5.07,9.01       08/14/12

Cyclacel Pharmaceuticals, Inc.          DE       2.02,9.01            08/14/12

CYTOMEDIX INC                           DE       9.01                 02/08/12    AMEND

DATARAM CORP                            NJ       1.01,9.01            08/10/12

DELCATH SYSTEMS INC                     DE       7.01,9.01            08/14/12

DIAMOND OFFSHORE DRILLING INC           DE       8.01,9.01            08/14/12

Diamond Resorts Corp                    MD       2.02,9.01            08/14/12

DICKS SPORTING GOODS INC                DE       2.02,8.01,9.01       08/13/12

Diligent Board Member Services, Inc.    DE       7.01,9.01            08/14/12

DIODES INC /DEL/                        DE       2.02,7.01,9.01       08/08/12

DIRECT MARKETS HOLDINGS CORP.           DE       2.02,9.01            08/14/12

Dixie Foods International, Inc          FL       8.01                 08/09/12

DOUBLE EAGLE PETROLEUM CO               MD       7.01,8.01,9.01       08/14/12

DTS, INC.                               DE       5.02                 08/09/12

EARTHLINK INC                           DE       7.01,9.01            08/14/12

EC Development, Inc.                    DE       7.01,9.01            08/08/12

Echo Therapeutics, Inc.                 DE       1.01,2.02,9.01       08/08/12

EDIETS COM INC                          DE       2.02,9.01            08/14/12

Education Realty Trust, Inc.            MD       1.01,7.01,9.01       08/14/12

EFL OVERSEAS, INC.                      NV       5.02                 08/08/12

ELITE PHARMACEUTICALS INC /NV/          NV       2.02,9.01            08/14/12

EMERSON RADIO CORP                      DE       2.02,9.01            08/14/12

EMMIS COMMUNICATIONS CORP               IN       8.01                 08/14/12

Emrise CORP                             DE       2.02,7.01,9.01       08/14/12

ENDURANCE SPECIALTY HOLDINGS LTD                 7.01,9.01            08/14/12

ENERGY FOCUS, INC/DE                    DE       2.02,9.01            08/14/12

EnergySolutions, Inc.                   DE       7.01                 07/26/12

ENTREMED INC                            DE       2.02,9.01            08/14/12

EQUITY ONE, INC.                                 1.01,3.02,9.01       08/08/12

ESTEE LAUDER COMPANIES INC              DE       2.02,9.01            08/14/12

EURASIA DESIGN INC.                     NV       4.01,9.01            08/09/12

EURASIA DESIGN INC.                     NV       1.02                 08/09/12

EV Energy Partners, LP                  DE       7.01,9.01            08/09/12

EXELIXIS INC                            DE       1.01,2.03,8.01,9.01  08/09/12

EXOPACK HOLDING CORP                             5.02                 08/13/12

Federal Home Loan Bank of Atlanta       X1       2.03                 08/14/12

Federal Home Loan Bank of Boston        X1       2.03                 08/08/12

Federal Home Loan Bank of Chicago       X1       2.03                 08/08/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            08/10/12

Federal Home Loan Bank of Indianapoli   X1       7.01,9.01            08/14/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            08/14/12

Federal Home Loan Bank of New York      X1       2.03,9.01            08/08/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/08/12

Federal Home Loan Bank of San Francis   X1       2.03                 08/08/12

Federal Home Loan Bank of Seattle                2.03                 08/08/12

Federal Home Loan Bank of Topeka                 2.03,9.01            08/08/12

FIELDPOINT PETROLEUM CORP               CO       2.02,7.01,9.01       08/14/12

First Choice Healthcare Solutions, In   DE       2.02,7.01,9.01       08/09/12

First Financial Northwest, Inc.         WA       5.02,9.01            08/10/12

FIRST MARBLEHEAD CORP                            2.02,5.02,8.01,9.01  08/09/12

FIRST PACTRUST BANCORP INC              MD       7.01,8.01,9.01       08/13/12

FIVE STAR QUALITY CARE INC                       5.02,8.01,9.01       08/08/12

FLOWERS FOODS INC                       GA       2.02,9.01            08/14/12

Fortress International Group, Inc.      DE       2.02,9.01            08/14/12

FriendFinder Networks Inc.              NV       2.02,9.01            08/14/12

FS Energy & Power Fund                  DE       2.02,9.01            08/14/12

FS Investment CORP                      MD       2.02,9.01            08/14/12

FS Investment Corp II                   MD       2.02,9.01            08/14/12

FSI INTERNATIONAL INC                   MN       1.01,5.02,8.01,9.01  08/13/12

Fushi Copperweld, Inc.                  NV       2.02,9.01            08/09/12    AMEND

FX ENERGY INC                           NV       8.01,9.01            08/14/12

Galena Biopharma, Inc.                           2.02,9.01            08/14/12

GARDNER DENVER INC                      DE       5.02                 08/09/12

GELTOLOGY INC                           DE       9.01                 07/11/12    AMEND

GENCOR INDUSTRIES INC                   DE       2.02,9.01            08/14/12

GeoVax Labs, Inc.                       DE       2.02,9.01            08/13/12

GLADSTONE INVESTMENT CORPORATION\DE     DE       5.07                 08/09/12

Global Telecom & Technology, Inc.       DE       2.02,9.01            08/14/12

GLOBALWISE INVESTMENTS INC              NV       1.01,2.03,9.01       08/07/12

GLOBALWISE INVESTMENTS INC              NV       2.02,9.01            08/14/12

Graymark Healthcare, Inc.               OK       2.02,9.01            08/14/12

Greektown Superholdings, Inc.           DE       2.02,9.01            08/14/12

Greektown Superholdings, Inc.           DE       5.02,5.03,9.01       08/08/12

Griffin-American Healthcare REIT II,    MD       5.08                 08/13/12

Griffin-American Healthcare REIT II,    MD       7.01,9.01            08/14/12

GUARANTY FEDERAL BANCSHARES INC         DE       8.01                 08/14/12

HEALTH NET INC                          DE       7.01                 08/13/12

HENRY JACK & ASSOCIATES INC             DE       2.02,9.01            08/14/12

Higher One Holdings, Inc.               DE       8.01                 08/10/12

HITOR GROUP, IN.                        NV       5.02                 08/14/12

HollyFrontier Corp                      DE       7.01,9.01            08/13/12

HOME DEPOT INC                          DE       2.02                 08/14/12

HORIZON PHARMA, INC.                    DE       1.01,9.01            08/14/12

HUNTINGTON INGALLS INDUSTRIES, INC.     DE       5.02,9.01            08/09/12

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       2.02,9.01            08/14/12

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       5.02,9.01            08/09/12

INFINITY PHARMACEUTICALS, INC.          DE       7.01,9.01            08/14/12

INFOSONICS CORP                                  2.02,9.01            08/14/12

INNOTRAC CORP                           GA       2.02,9.01            08/14/12

INNSUITES HOSPITALITY TRUST             OH       5.07                 08/09/12

INOLIFE TECHNOLOGIES, INC.                       3.02,5.03,5.07,9.01  07/25/12    AMEND

InsPro Technologies Corp                DE       8.01,9.01            08/14/12

INTELLIGENT SYSTEMS CORP                GA       2.02,9.01            08/14/12

JACOBS ENTERTAINMENT INC                DE       2.02,9.01            08/13/12

JDS UNIPHASE CORP /CA/                  DE       2.02,9.01            08/14/12

JDS UNIPHASE CORP /CA/                  DE       5.02                 08/08/12

JOURNAL COMMUNICATIONS INC                       1.01,1.02,9.01       08/12/12

KAMAN CORP                              CT       7.01,9.01            08/14/12

KEYSTONE CONSOLIDATED INDUSTRIES INC    DE       2.02,7.01,9.01       08/14/12

KID BRANDS, INC                         NJ       2.02,9.01            08/14/12

KINGOLD JEWELRY, INC.                   DE       2.02,9.01            08/14/12

Kior Inc                                DE       2.02,7.01,9.01       08/14/12

KNOLL INC                               DE       7.01                 08/14/12

KRAFT FOODS INC                         VA       8.01,9.01            08/14/12

KV PHARMACEUTICAL CO /DE/               DE       7.01,9.01            08/09/12

L & L ENERGY, INC.                      NV       5.02,9.01            08/14/12    AMEND

Lantheus Medical Imaging, Inc.          DE       2.02                 08/14/12

Laredo Petroleum Holdings, Inc.         DE       7.01,9.01            08/14/12

LAWSON PRODUCTS INC/NEW/DE/             DE       1.01,2.03,9.01       08/08/12

LEGGETT & PLATT INC                     MO       1.01,8.01,9.01       08/08/12

LENNAR CORP /NEW/                       DE       8.01,9.01            08/14/12

LGL GROUP INC                           DE       5.07                 08/09/12

LIFEWAY FOODS INC                       IL       2.02,9.01            08/14/12

LITHIUM TECHNOLOGY CORP                 DE       1.01,9.01            08/08/12

Lone Pine Resources Inc.                DE       2.02,9.01            08/13/12

Longhai Steel Inc.                      NV       2.02,7.01,9.01       08/14/12

Macquarie Infrastructure CO LLC         DE       1.01,9.01            08/08/12

Madison Bancorp Inc                     MD       5.07                 08/13/12

MAGNEGAS CORP                           DE       5.02                 08/14/12

Manitex International, Inc.             MI       7.01,9.01            08/14/12

Marlborough Software Development Hold   DE       2.02,9.01            08/14/12

MAXLINEAR INC                                    5.02,9.01            08/10/12    AMEND

MCMORAN EXPLORATION CO /DE/             DE       7.01,9.01            08/13/12

MEADE INSTRUMENTS CORP                  DE       1.01,5.02,9.01       08/10/12

Measurement Specialties Inc             NJ       8.01,9.01            08/14/12

Merriman Holdings, Inc                  DE       2.02,9.01            08/14/12

META FINANCIAL GROUP INC                DE       2.02,9.01            08/14/12

MICHAEL FOODS GROUP, INC.               DE       2.02,9.01            08/14/12

Midway Gold Corp                        A1       7.01,9.01            08/13/12

Millennium India Acquisition CO Inc.    DE       2.02,8.01,9.01       08/14/12

MOCON INC                               MN       2.02,9.01            08/09/12    AMEND

Motors Liquidation Co                   DE       8.01,9.01            08/14/12

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       8.01                 08/14/12

MYRIAD GENETICS INC                     DE       2.02,9.01            08/14/12

NATIONAL MENTOR HOLDINGS, INC.          DE       2.02,9.01            08/14/12

NATIONAL PENN BANCSHARES INC            PA       7.01                 08/13/12

NATIONAL RETAIL PROPERTIES, INC.        MD       2.03,9.01            08/14/12

Nationstar Mortgage Holdings Inc.       DE       2.02,9.01            08/14/12

NATURALLY ADVANCED TECHNOLOGIES INC     A1       5.07                 08/08/12

NCR CORP                                MD       8.01                 08/14/12

NEAH POWER SYSTEMS, INC.                NV       5.02                 08/14/12

Neonode, Inc                            DE       2.02,9.01            08/14/12

NETLIST INC                             DE       2.02,9.01            08/14/12

NETSOL TECHNOLOGIES INC                 NV       2.02,9.01            08/13/12

NEW HAMPSHIRE THRIFT BANCSHARES INC     DE       5.02                 08/09/12

NEWLINK GENETICS CORP                            2.02,9.01            08/14/12

NEWS CORP                                        8.01,9.01            08/14/12

Next 1 Interactive, Inc.                NV       1.01,3.02,5.03       08/08/12

NORTHSTAR REALTY FINANCE CORP.          MD       8.01                 08/10/12

Northumberland Resources, Inc.          NV       2.01                 05/14/12

NORTHWESTERN CORP                       DE       1.01,2.03,9.01       08/10/12

Novelis Inc.                            A6       2.02,9.01            08/14/12

Nuance Communications, Inc.             DE       1.01,2.03,8.01,9.01  08/09/12

NUPATHE INC.                            DE       2.02,9.01            08/14/12

OCZ TECHNOLOGY GROUP INC                DE       5.07                 08/13/12

Onstream Media CORP                     FL       2.02,9.01            08/14/12

ORRSTOWN FINANCIAL SERVICES INC         PA       5.02,9.01            08/14/12

OvaScience, Inc.                        DE       1.01,3.02,3.03,5.03, 08/13/12
                                                 9.01
          
Pacific Ethanol, Inc.                   DE       2.02,9.01            08/14/12

PARKER DRILLING CO /DE/                 DE       7.01                 08/06/12

Patriot Minefinders Inc.                NV       1.01,2.01,5.06,9.01  07/24/12

PC MALL INC                             DE       1.02                 08/10/12

PENSKE AUTOMOTIVE GROUP, INC.           DE       2.02,9.01            08/14/12

PENSKE AUTOMOTIVE GROUP, INC.           DE       8.01,9.01            08/14/12

PENSON WORLDWIDE INC                    DE       5.02                 08/13/12

PFIZER INC                              DE       8.01,9.01            08/13/12

PHAR MOR INC                            PA       7.01                 08/14/12

PHH CORP                                MD       1.01,8.01,9.01       08/09/12

PHYSICIANS FORMULA HOLDINGS, INC.       DE       2.02,7.01,9.01       08/14/12

Platinum Studios, Inc.                  CA       5.02                 05/16/12    AMEND

PLUG POWER INC                          DE       2.02,9.01            08/14/12

PROCTER & GAMBLE Co                     OH       8.01,9.01            08/14/12

PROSPECT CAPITAL CORP                   MD       1.01,2.03,3.02,8.01, 08/09/12
                                                 9.01
          
PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            08/14/12

QKL Stores Inc.                         DE       2.02,9.01            08/14/12

QUESTCOR PHARMACEUTICALS INC            CA       7.01,9.01            08/13/12

RADISYS CORP                            OR       7.01                 08/08/12

RALPH LAUREN CORP                       DE       5.07                 08/09/12

REALGOLD INTERNATIONAL INC              NV       4.01,9.01            08/01/12    AMEND

REGENCY CENTERS CORP                    FL       8.01,9.01            08/14/12

REINSURANCE GROUP OF AMERICA INC        MO       9.01                 08/14/12

Remark Media, Inc.                      DE       2.02,7.01,9.01       06/30/12

Renewable Energy Group, Inc.                     2.02,9.01            08/14/12

Resource Capital Corp.                  MD       7.01,9.01            08/14/12

RESPONSE GENETICS INC                            2.02,9.01            08/14/12

RigNet, Inc.                            DE       7.01,9.01            08/13/12

RPC INC                                 DE       8.01,9.01            08/13/12

RT Technologies, Inc.                   NV       9.01                 08/14/12

RT Technologies, Inc.                   NV       9.01                 08/14/12

SAKS INC                                TN       2.02,9.01            08/14/12

Sanomedics International Holdings, In   DE       5.02,9.01            08/13/12

SAVIENT PHARMACEUTICALS INC             DE       2.02,9.01            08/08/12

SBA COMMUNICATIONS CORP                 FL       1.01,2.03            07/26/12

SCANA CORP                              SC       7.01,9.01            08/14/12

SCIENTIFIC LEARNING CORP                DE       2.02                 08/14/12

SELECT MEDICAL HOLDINGS CORP                     1.01,9.01            08/13/12

SERVOTRONICS INC /DE/                   DE       2.02,9.01            08/14/12

ShoreTel Inc                            CA       2.02,9.01            08/14/12

SIGMATRON INTERNATIONAL INC             DE       2.01,9.01            06/04/12    AMEND

SIMMONS FIRST NATIONAL CORP             AR       5.02,9.01            08/13/12

Sino Agro Food, Inc.                    NV       2.02,7.01,9.01       08/14/12

SIRIUS XM RADIO INC.                    DE       1.01,2.03,9.01       08/13/12

SMART ONLINE INC                        DE       2.03,3.02            08/08/12

SMITH MIDLAND CORP                      DE       2.02,9.01            08/10/12

SPANISH BROADCASTING SYSTEM INC         DE       2.02,9.01            08/14/12

SPAR GROUP INC                          DE       8.01,9.01            08/13/12

SPARK NETWORKS INC                      DE       2.02,9.01            08/14/12

SPRINT NEXTEL CORP                      KS       8.01,9.01            08/09/12

STAGE STORES INC                        NV       1.01,1.02,8.01,9.01  08/08/12

STEEL PARTNERS HOLDINGS L.P.            DE       2.02,9.01            08/14/12

STELLAR PHARMACEUTICALS INC                      7.01,9.01            08/14/12

STRATUS PROPERTIES INC                  DE       2.02,9.01            08/14/12

SUMMIT FINANCIAL SERVICES GROUP INC     FL       2.02,9.01            08/14/12

SUNOCO LOGISTICS PARTNERS L.P.          DE       1.01,1.02,2.03       08/14/12

SUPERIOR ENERGY SERVICES INC            DE       8.01,9.01            08/13/12

SYNERGY PHARMACEUTICALS, INC.           DE       8.01,9.01            08/14/12

Synthetic Biologics, Inc.               NV       2.02,9.01            08/14/12

TAUBMAN CENTERS INC                     MI       1.01,3.03,5.03,8.01, 08/14/12
                                                 9.01
         
TCP Capital Corp.                       DE       2.02,7.01,9.01       08/09/12    AMEND

TECHPRECISION CORP                               2.02,7.01,9.01       08/14/12

TELEFLEX INC                            DE       7.01                 08/13/12

TELKONET INC                            UT       2.02,9.01            08/14/12

TENGION INC                             DE       2.02,9.01            08/14/12

Thompson Creek Metals CO Inc.           A6       7.01,9.01            08/14/12

TIDEWATER INC                           DE       7.01,9.01            08/08/12

TJX COMPANIES INC /DE/                  DE       2.02,9.01            08/14/12

Tonix Pharmaceuticals Holding Corp.     NV       7.01,8.01,9.01       08/14/12

Towers Watson & Co.                     DE       2.02,9.01            08/14/12

Tri-Tech Holding, Inc.                  E9       2.02,9.01            08/14/12

TRIAD GUARANTY INC                      DE       2.02,9.01            08/14/12

TRIDENT MICROSYSTEMS INC                DE       8.01,9.01            08/09/12

TUCOWS INC /PA/                         PA       2.02,9.01            08/13/12

Twin Cities Power Holdings, LLC         MN       2.02,9.01            08/14/12

Tyco Flow Control International Ltd.    V8       5.02,8.01,9.01       08/08/12

Under Armour, Inc.                      MD       7.01                 08/14/12

Uni-Pixel                               DE       8.01,9.01            08/14/12

UNITED COMMUNITY FINANCIAL CORP         OH       2.02,9.01            08/14/12

UROLOGIX INC                            MN       5.02                 08/10/12

US DATAWORKS INC                        NV       2.02,9.01            08/14/12

USG1, Inc.                              DE       1.01,8.01,9.01       08/10/12

VADDA ENERGY CORP                       FL       5.02                 08/09/12

VAIL RESORTS INC                        DE       5.02,9.01            08/13/12

VALSPAR CORP                            DE       2.02,9.01            08/14/12

Vanguard Energy Corp                    CO       8.01,9.01            08/14/12

Vanguard Minerals CORP                           5.02                 08/13/12

Vantage Drilling CO                     E9       1.01,9.01            08/13/12

VERMILLION, INC.                        DE       2.02,7.01,9.01       08/14/12

Vestin Realty Mortgage I, Inc.                   1.01,2.01,9.01       08/14/12    AMEND

Vestin Realty Mortgage II, Inc          MD       1.01,2.01,9.01       08/14/12    AMEND

Victor Technologies Group, Inc.         DE       2.02                 08/13/12

VIEWCAST COM INC                        DE       2.02,9.01            08/14/12

VIKING SYSTEMS INC                      DE       2.02,9.01            08/14/12

VIKING SYSTEMS INC                      DE       1.01,5.02,7.01,9.01  08/13/12

VIPER POWERSPORTS INC                   NV       9.01                 08/13/12    AMEND

VirtualScopics, Inc.                    DE       2.02,9.01            08/14/12

VR Holdings, Inc.                       DE       8.01,9.01            08/14/12

Vringo Inc                              DE       2.01,8.01,9.01       08/10/12

Vringo Inc                              DE       9.01                 08/14/12

Weatherford International Ltd./Switze   V8       1.01,7.01,8.01,9.01  08/13/12

WEST BANCORPORATION INC                 IA       7.01,9.01            08/14/12

Western Asset Mortgage Capital Corp     DE       2.02,9.01            08/13/12

WESTERN LIBERTY BANCORP                 DE       2.02,9.01            08/14/12

Westinghouse Solar, Inc.                DE       1.01,3.03,9.01       08/13/12

Westinghouse Solar, Inc.                DE       2.02,9.01            08/14/12

WESTMOUNTAIN INDEX ADVISOR INC          CO       2.03,9.01            08/08/12

Williams Partners L.P.                           1.01,7.01,9.01       08/14/12

WILLIS GROUP HOLDINGS PLC               L2       7.01,9.01            08/13/12

WINLAND ELECTRONICS INC                 MN       2.02,9.01            08/14/12

WIZZARD SOFTWARE CORP /CO               CO       1.01,9.01            08/14/12

X-Factor Communications Holdings, Inc   DE       1.01,3.02,4.01,5.01, 05/15/12    AMEND
                                                 5.02,5.03,5.06,9.01
        
Xenith Bankshares, Inc.                 VA       2.02,9.01            08/13/12

XENONICS HOLDINGS, INC.                 NV       2.02,9.01            08/14/12

XILINX INC                              DE       5.07                 08/08/12

Yinfu Gold Corp.                        WY       1.01,9.01            08/08/12

Ziyang Ceramics Corp                    FL       2.02,7.01,9.01       08/14/12

Zumiez Inc                              WA       5.02                 08/14/12

 

http://www.sec.gov/news/digest/2012/dig081512.htm


Modified: 08/15/2012