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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-172
September 5, 2012

Commission announcements

Commission Charges Public Relations Executive With Insider Trading In Client’s Stock

The Commission today charged the CEO of a Los Angeles-based public relations firm with insider trading on nonpublic information she learned from a client that was about to acquire a bank in a deal assisted by the Federal Deposit Insurance Corporation (FDIC). (Rel. 2012-179).

Commission Charges Attorney And Two Other South Florida Residents In $27.5 Million Investment Fraud

The Commission today charged an attorney and two others living in South Florida for their roles in a $27.5 million investment scheme that led investors to believe they were purchasing securities consisting of “pre-sold” commodities contracts with a pre-determined profit.  However, the supposed profits actually distributed to investors were largely taken from other investors’ funds.  (Rel. 2012-178)

Commission Charges Radio Personality For Conducting Misleading Investment Seminars

The Commission today charged a nationally syndicated radio personality and financial advice author for spreading misleading information about his “Buckets of Money” strategy at a series of investment seminars that he and his company hosted for potential clients.

The SEC’s Division of Enforcement alleges that investment adviser Ray Lucia, Sr. claimed that the wealth management strategy he promoted at the seminars had been empirically “backtested” over actual bear market periods.  Backtesting is the process of evaluating a strategy, theory, or model by applying it to historical data and calculating how it would have performed had it actually been used in a prior time period.  (Rel. 2012-177). 

SEC Suspends Trading in Securities of eHydrogen Solutions and ChromoCure       

The Commission announced the issuance of an Order of Suspension of Trading (Order) in the Matter of eHydrogen Solutions, Inc. (eHydrogen) and ChromoCure, Inc. (ChromoCure).  The Order finds that there appears to be a lack of current and accurate information concerning the securities of eHydrogen (ticker symbol EHYD) and ChromoCure (ticker symbol KKUR) because of questions concerning the adequacy of publicly available information about eHydrogen and ChromoCure.  Pursuant to Section 12(k) of the Securities Exchange Act, the Commission temporarily suspended trading in the securities of eHydrogen and ChromoCure for the period from 9:30 a.m. EDT, on September 5, 2012, through 11:59 p.m. EDT on September 18, 2012.  (Rel. 34-67779)


SEC Charges California Man for Illegal Tips to Hedge Fund Manager

On September 4, 2012, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the Southern District of New York charging Hyung Lim with illegally tipping a hedge fund manager with inside information about Nvidia Corporation’s quarterly earnings that he learned from his friend who worked at the company. 

The SEC alleges that Lim of Los Altos, Calif., received $15,000 and stock tips about a pending corporate acquisition for regularly providing a fellow poker player, Danny Kuo, with nonpublic details ahead of Nvidia’s quarterly earnings announcements.  Kuo, a hedge fund manager, illegally traded on the information and passed it on to multi-billion dollar hedge fund advisory firms Diamondback Capital Management LLC and Level Global Investors LP.  The SEC charged Kuo and the firms among others earlier this year as part of its widespread investigation into the trading activities of hedge funds.

In a parallel action, the U.S. Attorney for the Southern District of New York today announced criminal charges against Lim.

According to the SEC’s complaint filed in federal court in Manhattan, Kuo and the hedge funds made nearly $16 million trading in Nvidia securities based on Lim’s inside information.  Lim lives in Los Altos, Calif., and was employed by a semiconductor firm.  Lim and Kuo met at poker parties organized by a mutual friend. 

The SEC alleges that during at least 2009 and 2010, Lim regularly obtained detailed information about the contents of Nvidia’s upcoming quarterly earnings announcements from his friend who worked at Nvidia.  Lim’s source provided him with not just one but a series of tips, which grew more accurate and reliable as Nvidia finalized its financial results for a given quarter and prepared to report them publicly.  Lim typically learned the nonpublic information in phone conversations with his Nvidia friend, and within one minute of ending a conversation Lim would immediately call Kuo to relay the latest inside information.  Lim provided Kuo such nonpublic details as Nvidia’s calculation of its revenues, gross profit margins, and other important financial metrics before the company made those figures public in its quarterly earnings announcements. 

The SEC alleges that Lim was compensated by Kuo for the confidential Nvidia information that he provided.  Kuo wired $5,000 to a Las Vegas casino to pay a debt for Lim, and later Kuo made two $5,000 cash payments to Lim.  Kuo also provided Lim with nonpublic information about a pending corporate acquisition, which Lim used to make more than $11,000 in trading profits.

The SEC’s complaint charges Lim with violating the anti-fraud provisions of U.S. securities laws and seeks a final judgment ordering him to disgorge his ill-gotten gains and those of his tippees plus interest, ordering him to pay a financial penalty, permanently enjoining him from future violations, and barring him from serving as an officer or director of a public company. [SEC v. Hyung Lim, Civil Action 12-CV-6707 (SDNY)](LR-22471)

In The Matter Of Global Pari-Mutuel Services, Inc.

The Commission announced the issuance of an Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against Global Pari-Mutuel Services, Inc.

The Division of Enforcement alleges in the Order that Global failed to comply with Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder by failing to file quarterly or annual reports.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Global an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary or appropriate for the protection of investors.  The Order directs the administrative law judge to issue an initial decision within 120 days from the date of service of the Order Instituting Proceedings.  (Rel. 34-67788; File No. 3-15009)

In The Matter Of Steven Yamashiro

The Commission announced the issuance of 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, Making Findings and Imposing Remedial Sanctions (Order) against Steven Boyle Yamashiro (Respondent).  Yamashiro consented to the issuance of the Order.  The Order finds that on December 27, 2011, Yamashiro pled guilty to two counts of wire fraud in violation of Title 18, United States Code, Section 1343, and one count of money laundering in violation of Title 18, United States Code, Section 1957 before the United States District Court for the Central District of California, in United States v. Steven Boyle Yamashiro, CR No. 11-217-ODW.

The Order further finds that the counts of the indictment to which Yamashiro pled guilty alleged that Yamashiro knowingly and with the intent to defraud, devised, participated in, and executed a scheme to defraud his clients and to obtain money and property from his clients by making materially false and misleading representations and promises, and that he executed the scheme to defraud by means of wire and radio communications in interstate and foreign commerce.

Based on the above, the Order bars Respondent from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Respondent 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.  (Rel. 34-67789; File No. 3-15010)


Approval of Proposed Rule Change

The Commission approved a proposed rule change, as modified by Amendment No. 1, filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-025) to adopt existing NASD IM-2110-3 as new FINRA Rule 5270 (Front Running of Block Transactions) with changes in the consolidated FINRA rulebook.  Publication is expected in the Federal Register during the week of September 3rd.  (Rel. 34-67774)

The Commission approved a proposed rule change (SR-FINRA-2012-026) filed by Financial Industry Regulatory Authority, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the handling of stop and stop limit orders.  Publication is expected in the Federal Register during the week of September 3rd.  (Rel. 34-67778)

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-110) relating to the elimination of a Reversal and Conversion Fee Cap has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of September 3rd.  (Rel. 34-67776)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated, to establish transaction fees for CBOE Range Options on the S&P 500 Index (SR-CBOE-2012-084) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act.  Publication is expected in the Federal Register during the week of  September 3rd.  (Rel. 34-67777)


Notice of Applications for Deregistration under the Investment Company Act of 1940

For the month of August 2012, a notice has been issued giving interested persons until September 25, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:

Dreyfus Connecticut Municipal Money Market Fund Inc. [File No. 811-6014]
Morgan Stanley Special Growth Fund [File No. 811-6711]
Thirty Eight Hundred Fund LLC [File No. 811-22158]
Separate Account II of Integrity Life Insurance Company [File No. 811-7134]
Separate Account II of National Integrity Life Insurance Company [File No. 811-7132]
Western-Southern Life Assurance Company Separate Account 2 [File No. 811-8550]  (IC Rel. 30191/August 31, 2012).


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-8     TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002, 
        408-519-9100 - 1,500,000 ($13,770,000.00) Equity, (File 333-183692 - 
        Sep. 4) (BR. 11C)

S-8     TIVO INC, 2160 GOLD STREET, PO BOX 2160, ALVISO, CA, 95002, 
        408-519-9100 - 7,000,000 ($64,260,000.00) Equity, (File 333-183693 - 
        Sep. 4) (BR. 11C)

F-3ASR  WPP Finance 2010, 27 FARM STREET, LONDON, X0, W1J 5RJ, 
        0044 20 7408 2204 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-183695 - Sep. 4) (BR. 11)

S-8     Graystone Co, 2620 REGATTA DRIVE, STE 102, LAS VEGAS, NV, 89128, 
        7025825535 - 40,000,000 ($400,000.00) Equity, (File 333-183702 - 
        Sep. 4) (BR. 03B)

        99336, 509-736-4000 - 39,760,594 ($5,218,089.00) Other, 
        (File 333-183705 - Sep. 4) (BR. 06C)

        10013, 646-747-1000 - 0 ($75,000,000.00) Equity, (File 333-183706 - 
        Sep. 4) (BR. 01)

        M5C 2Y7, 4169471212 - 0 ($53,448,268.00) Equity, (File 333-183707 - 
        Sep. 4) (BR. 09B)

        8606698630 - 0 ($10,911,110.00) Equity, (File 333-183708 - Sep. 4) 
        (BR. 02C)

        704-566-2400 - 0 ($200,000,000.00) Non-Convertible Debt, 
        (File 333-183709 - Sep. 4) (BR. 02A)

        44 845 862 2690 - 4,000,000 ($200,000.00) Equity, (File 333-183710 - 
        Sep. 4) (BR. )

S-8     STEMCELLS INC, 6504753100 - 500,000 ($782,500.00) Equity, 
        (File 333-183712 - Sep. 4) (BR. 01A)

        9047371367 - 0 ($12,378,623.00) Equity, (File 333-183713 - Sep. 4) 
        (BR. 11A)

        CA, 90067, (310) 553-0555 - 0 ($1,000,000,000.00) Debt, 
        (File 333-183714 - Sep. 4) (BR. 06B)


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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


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


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


Cost Associated with Exit or Disposal Activities


Material Impairments


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


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


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


Changes in Control of Registrant


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


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


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


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


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


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.


Acadia Healthcare Company, Inc.         DE       1.01,2.01,9.01       08/28/12

ACURA PHARMACEUTICALS, INC              NY       7.01,9.01            09/04/12

AGCO CORP /DE                           DE       5.02,9.01            08/29/12

AIR T INC                               DE       1.01,5.07            08/29/12

ALICO INC                               FL       5.02,9.01            08/31/12

Allegiant Travel CO                     NV       7.01,9.01            09/04/12

ALTRIA GROUP, INC.                      VA       8.01,9.01            08/31/12

AMC ENTERTAINMENT INC                   DE       5.01,5.02,8.01,9.01  09/04/12

AMERCO /NV/                             NV       5.07                 09/04/12

AMERCO /NV/                             NV       8.01,9.01            09/04/12

AMERICAN AXLE & MANUFACTURING HOLDING   DE       1.01,7.01,9.01       08/31/12

American Sands Energy Corp.             DE       5.02,5.03,5.07,8.01  08/28/12

American Water Works Company, Inc.      DE       7.01                 09/04/12

AMPAL-AMERICAN ISRAEL CORP              NY       2.04                 09/04/12

ARCH COAL INC                           DE       5.02,7.01,9.01       08/31/12

ASSOCIATED BANC-CORP                    WI       7.01,9.01            09/04/12

ATHENAHEALTH INC                        DE       1.01,2.03            08/29/12

ATWOOD OCEANICS INC                     TX       7.01,9.01            08/30/12

AWARE INC /MA/                          MA       4.01,9.01            08/29/12

BeesFree, Inc.                          NV       5.02,7.01,9.01       08/30/12

BEST BUY CO INC                         MN       5.02,7.01,9.01       09/04/12

BIOSPECIFICS TECHNOLOGIES CORP          DE       7.01,9.01            09/04/12

Black Ridge Oil & Gas, Inc.             DE       5.02,9.01            08/31/12

Bloomin' Brands, Inc.                   DE       2.02,9.01            09/04/12

BON TON STORES INC                      PA       7.01,9.01            09/04/12

Bristow Group Inc                       DE       7.01,9.01            09/04/12

Bristow Group Inc                       DE       1.01,9.01            09/04/12

CAI International, Inc.                          1.01,2.03,9.01       08/30/12

CALLAWAY GOLF CO                        DE       1.01,2.03,3.02,9.01  08/29/12

CAMPBELL SOUP CO                        NJ       2.02,9.01            09/04/12

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 08/31/12

CARBONICS CAPITAL CORP                  DE       1.01,9.01            09/04/12

CARRIAGE SERVICES INC                   DE       1.01,2.03,8.01,9.01  08/29/12

CARROLS RESTAURANT GROUP, INC.                   5.07                 08/29/12

CARTERS INC                             DE       1.01,2.03,9.01       08/31/12

CASH AMERICA INTERNATIONAL INC          TX       1.01,2.03,9.01       08/28/12

CATHAY GENERAL BANCORP                  DE       8.01                 08/31/12

CBIZ, Inc.                              DE       1.01,9.01            08/30/12

CELL THERAPEUTICS INC                   WA       1.01,3.03,5.02,	   08/31/12

Cereplast Inc                           NV       3.02                 08/29/12

CF Industries Holdings, Inc.            DE       8.01                 09/01/12

CHINA CHANGJIANG MINING & NEW ENERGY    DE       4.01,9.01            08/20/12

Chrysler Group LLC                      DE       8.01,9.01            09/04/12

Circle Entertainment, Inc.              DE       1.01,2.03,9.01       08/29/12

CMG HOLDINGS GROUP, INC.                NV       7.01                 09/04/12

CMS ENERGY CORP                         MI       7.01,9.01            09/04/12

CNO Financial Group, Inc.               DE       8.01,9.01            09/04/12

CNO Financial Group, Inc.               DE       1.01,2.03,7.01,	  09/04/12

CODEXIS INC                                      1.01,1.02,2.05,3.03, 08/28/12

COLE CREDIT PROPERTY TRUST IV, INC.     MD       1.01                 08/29/12

COLLECTORS UNIVERSE INC                 DE       2.02,7.01,9.01       08/30/12

COMPUTER SCIENCES CORP                  NV       8.01,9.01            08/31/12

CONSOLIDATED TOMOKA LAND CO             FL       7.01,9.01            09/04/12

CONTANGO OIL & GAS CO                   DE       2.02,9.01            08/31/12

CORONADO BIOSCIENCES INC                DE       7.01,9.01            09/04/12

COUSINS PROPERTIES INC                  GA       5.02                 08/30/12

COVENANT BANCSHARES, INC.               IL       8.01,9.01            08/28/12

Customers Bancorp, Inc.                 PA       7.01,9.01            09/04/12

Data Storage Corp                       NV       8.01,9.01            09/04/12

Delek US Holdings, Inc.                          7.01,9.01            09/04/12

DEVRY INC                               DE       7.01,9.01            09/04/12

DEVRY INC                               DE       5.02,8.01,9.01       09/04/12

Digital Domain Media Group, Inc.        FL       2.04,5.02,8.01       08/21/12

Diversified Restaurant Holdings, Inc.   NV       7.01,9.01            09/04/12

Dividend Capital Diversified Property            8.01                 07/12/12

DOLLAR TREE INC                         VA       7.01,9.01            08/31/12

DUPONT E I DE NEMOURS & CO              DE       1.01,7.01,9.01       08/30/12

Durata Therapeutics, Inc.               DE       2.02,9.01            09/04/12

El Paso Pipeline Partners, L.P.         DE       7.01                 09/04/12

ELECTRO RENT CORP                       CA       8.01,9.01            09/04/12

ELECTRONICS FOR IMAGING INC             DE       8.01,9.01            09/04/12

EPICEPT CORP                                     1.02                 08/28/12

EVANS BANCORP INC                       NY       5.02                 08/29/12

EXELON CORP                             PA       7.01,9.01            09/04/12

Facebook Inc                                     5.02,8.01            08/30/12

FAIRPOINT COMMUNICATIONS INC            DE       7.01,9.01            08/31/12
Farm Lands of Africa, Inc.              NV       5.02                 08/28/12

Federal Home Loan Bank of Atlanta       X1       2.03                 09/04/12

Federal Home Loan Bank of Chicago       X1       2.03                 08/29/12

Federal Home Loan Bank of Dallas                 2.03,9.01            08/28/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            09/04/12

Federal Home Loan Bank of New York      X1       8.01,9.01            09/04/12

Federal Home Loan Bank of New York      X1       2.03,9.01            08/30/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/29/12

Federal Home Loan Bank of San Francis   X1       2.03                 08/30/12

Federal Home Loan Bank of Seattle                2.03                 08/29/12

Federal Home Loan Bank of Topeka                 2.03,9.01            08/29/12

FEDEX CORP                              DE       2.02,9.01            09/04/12

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            08/31/12    AMEND

FINISAR CORP                            DE       2.02,9.01            09/04/12

FIRST ACCEPTANCE CORP /DE/              DE       5.02                 08/28/12

FIRST BANCORP /NC/                      NC       5.02                 08/29/12    AMEND

FIRST PACTRUST BANCORP INC              MD       8.01,9.01            09/03/12

FIRST POTOMAC REALTY TRUST              MD       5.02                 08/28/12

FIRST SOUTH BANCORP INC /VA/            VA       5.02,9.01            08/31/12

Flagstone Reinsurance Holdings, S.A.    N4       1.01,8.01,9.01       08/30/12

FLOWSERVE CORP                          NY       5.02                 09/04/12

FOCUS GOLD Corp                                  5.02,8.01            08/23/12

FORD MOTOR CO                           DE       8.01,9.01            09/04/12

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            09/04/12

FOREST CITY ENTERPRISES INC             OH       2.02,9.01            09/04/12

FOREST CITY ENTERPRISES INC             OH       2.02,9.01            09/04/12

FOREST CITY ENTERPRISES INC             OH       7.01,9.01            09/04/12

FORTUNE INDUSTRIES, INC.                DE       5.02,8.01,9.01       08/16/12

Francesca's Holdings CORP                        2.02,5.02,7.01,9.01  09/04/12

Freedom Environmental Services, Inc.    DE       5.02                 09/04/12

GALTECH SEMICONDUCTOR MATERIALS CO      UT       5.02                 08/28/12

GASTAR EXPLORATION LTD                           7.01                 09/04/12

GENERAL CABLE CORP /DE/                 DE       7.01,9.01            09/04/12

Golden Growers Cooperative              MN       5.02                 09/04/12

Graystone Co                            DE       3.02,8.01            09/01/12

GREENBRIER COMPANIES INC                OR       5.02                 08/28/12

GREIF INC                               DE       2.02,7.01,8.01,9.01  08/29/12

GROUP 1 AUTOMOTIVE INC                  DE       8.01,9.01            09/04/12

GRYPHON GOLD CORP                       NV       5.07                 09/04/12

Guidewire Software, Inc.                DE       2.02,9.01            09/04/12

GYRODYNE CO OF AMERICA INC              NY       8.01,9.01            08/29/12

Halo Companies, Inc.                    DE       5.02                 08/31/12

HARTFORD FINANCIAL SERVICES GROUP INC   DE       1.01,7.01,9.01       09/04/12

HAWAIIAN HOLDINGS INC                   DE       7.01,9.01            09/04/12

HD SUPPLY, INC.                         DE       2.02,9.01            09/04/12

HEALTH REVENUE ASSURANCE HOLDINGS, IN   NV       7.01,9.01            08/31/12

Heavy Earth Resources, Inc.             FL       1.01,2.03,3.02,9.01  08/29/12

Heckmann Corp                           DE       1.01,3.02,8.01,9.01  09/03/12

HollyFrontier Corp                      DE       7.01,9.01            09/04/12

HOLLYWOOD MEDIA CORP                    FL       1.01,5.02,9.01       08/28/12

HUMANA INC                              DE       7.01                 09/04/12

Huron Consulting Group Inc.             DE       1.01,5.02,9.01       08/31/12

INDIANA COMMUNITY BANCORP               IN       1.01,8.01,9.01       08/28/12

Inland Diversified Real Estate Trust,   MD       7.01,9.01            09/04/12

INSIGHT ENTERPRISES INC                 DE       8.01                 08/27/12

INTERMOUNTAIN COMMUNITY BANCORP         ID       8.01,9.01            08/31/12

INTERNAP NETWORK SERVICES CORP          DE       1.01,2.03,9.01       08/30/12

ITC Holdings Corp.                      MI       8.01                 08/31/12

KAMAN CORP                              CT       8.01,9.01            09/04/12

KCAP Financial, Inc.                    DE       5.02,9.01            08/28/12

KEMET CORP                              DE       2.03                 08/28/12

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 09/04/12

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 09/04/12

KINDER MORGAN, INC.                     DE       7.01                 09/04/12

KINDRED HEALTHCARE, INC                 DE       8.01,9.01            09/04/12

Landmark Apartment Trust of America,             2.01,2.03,8.01,9.01  08/28/12

Latitude Solutions, Inc.                NV       5.02                 09/04/12

LAWSON PRODUCTS INC/NEW/DE/             DE       5.02,9.01            08/29/12

LEAGUE NOW HOLDINGS CORP                FL       1.01,2.03,3.02,9.01  08/29/12

Legend Oil & Gas, Ltd.                  CO       5.07                 08/29/12

LEXMARK INTERNATIONAL INC /KY/          DE       1.01                 08/28/12

LHC Group, Inc                                   1.01,2.03,9.01       08/31/12

Lifeloc Technologies, Inc               CO       5.02,5.03,9.01       08/29/12

LITTLEFIELD CORP                        DE       1.02,9.01            08/28/12

Lucky Boy Silver Corp.                  WY       5.03                 05/09/12    AMEND

Lumos Networks Corp.                    VA       5.02                 08/30/12

MAGELLAN PETROLEUM CORP /DE/            DE       3.02,8.01,9.01       08/31/12

MARSH & MCLENNAN COMPANIES, INC.        DE       5.02,9.01            09/04/12

MCMORAN EXPLORATION CO /DE/             DE       8.01,9.01            09/04/12

Mead Johnson Nutrition Co               DE       5.02                 09/04/12

MeetMe, Inc.                            DE       5.02                 08/29/12

MID AMERICA APARTMENT COMMUNITIES INC   TN       1.01,2.03,8.01,9.01  08/31/12

MILLER ENERGY RESOURCES, INC.           TN       3.03,5.03,9.01       08/28/12

MITCHAM INDUSTRIES INC                  TX       2.03                 08/31/12

MOVE INC                                DE       1.01,2.01,8.01,9.01  09/01/12

MYERS INDUSTRIES INC                    OH       5.02,9.01            08/31/12

NATIONAL FUEL GAS CO                    NJ       7.01,9.01            09/04/12

Nationstar Mortgage Holdings Inc.       DE       1.01,2.03,8.01,9.01  08/28/12

NCI BUILDING SYSTEMS INC                DE       2.01,9.01            06/22/12    AMEND

NETSOL TECHNOLOGIES INC                 NV       2.02                 09/04/12

NEW CENTURY BANCORP INC                 NC       5.02                 08/31/12

NEXTERA ENERGY INC                      FL       7.01                 09/04/12

NGL Energy Partners LP                  DE       9.01                 06/19/12    AMEND

NN INC                                  DE       5.02,9.01            09/04/12

NORFOLK SOUTHERN CORP                   VA       8.01,9.01            09/04/12

NORTHWESTERN CORP                       DE       8.01,9.01            09/04/12

Nova Lifestyle, Inc.                    NV       7.01,9.01            08/30/12

NuStar Energy L.P.                      DE       8.01,9.01            09/04/12

OLIN CORP                               VA       7.01,9.01            09/04/12

ONEOK INC /NEW/                         OK       7.01,9.01            09/04/12

ONEOK Partners LP                       DE       7.01,9.01            09/04/12

OWENS & MINOR INC/VA/                   VA       1.01,8.01,9.01       08/31/12

OWENS ILLINOIS INC /DE/                 DE       7.01,8.01,9.01       08/21/12

PARK CITY GROUP INC                              8.01,9.01            09/04/12

PATTERSON UTI ENERGY INC                DE       7.01,9.01            09/04/12

PennantPark Floating Rate Capital Ltd            7.01,9.01            09/04/12

PENNANTPARK INVESTMENT CORP                      7.01,9.01            09/04/12

PEP BOYS MANNY MOE & JACK               PA       2.02,9.01            09/04/12

PEPSICO INC                             NC       7.01                 09/04/12

Perfumania Holdings, Inc.               FL       7.01,9.01            08/30/12

Phillips Edison - ARC Shopping Center   MD       8.01,9.01            08/30/12

PHYHEALTH Corp                          DE       5.02                 09/01/12

PINNACLE ENTERTAINMENT INC.             DE       1.01,8.01,9.01       08/29/12

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            09/04/12

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                 09/04/12

POWER SOLUTIONS INTERNATIONAL, INC.     DE       5.02,5.07,9.01       08/29/12

PRO DEX INC                             CO       2.02,2.04,9.01       09/04/12

Punchline Entertainment, Inc.           NV       5.03,9.01            08/31/12

Quanex Building Products CORP           DE       2.02,7.01,9.01       08/30/12

QUESTCOR PHARMACEUTICALS INC            CA       7.01                 09/04/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       7.01,9.01            09/04/12

RING ENERGY, INC.                       NV       5.02,8.01            08/31/12

Rock-Tenn CO                            GA       7.01                 09/04/12

Rock-Tenn CO                            GA       8.01                 09/04/12

RTI Biologics, Inc.                     DE       5.02,9.01            08/29/12

SANTARUS INC                            DE       8.01                 09/04/12

Sarepta Therapeutics, Inc.              OR       1.01,7.01,8.01,9.01  08/29/12

Sarepta Therapeutics, Inc.              OR       1.01,8.01,9.01       09/04/12

SAUL CENTERS INC                        MD       5.02                 09/04/12

SAVIENT PHARMACEUTICALS INC             DE       8.01                 09/04/12

Savoy Energy Corp                       NV       4.02                 08/29/12

SavWatt USA, Inc.                       DE       1.01,3.02,5.02,9.01  08/29/12

SED INTERNATIONAL HOLDINGS INC          2Q       5.02,9.01            08/28/12
SEI INVESTMENTS CO                      PA       8.01                 09/04/12

SELECTIVE INSURANCE GROUP INC           NJ       7.01,9.01            09/04/12

SemiLEDs Corp                                    5.02                 08/28/12

SEQUENOM INC                            DE       5.02                 08/30/12

Shiner International, Inc.              NV       3.01,8.01,9.01       08/28/12

Shire plc                                        8.01,9.01            09/03/12

SMITHFIELD FOODS INC                    VA       2.02,9.01            09/04/12

SOLTA MEDICAL INC                       DE       1.01,2.03,9.01       08/29/12

SOUTHERN COMMUNITY FINANCIAL CORP                8.01,9.01            09/04/12

Soy Energy, LLC                         IA       8.01                 08/28/12

STEMCELLS INC                           DE       8.01,9.01            09/03/12

Swisher Hygiene Inc.                    DE       1.01,2.03,9.01       08/31/12

SWS GROUP INC                           DE       2.02,9.01            09/04/12

T Bancshares, Inc.                               1.02,9.01            08/31/12

TANDY BRANDS ACCESSORIES INC            DE       2.02,9.01            09/04/12

Teavana Holdings Inc                             2.02,7.01,9.01       09/04/12

TESORO LOGISTICS LP                     DE       7.01,8.01,9.01       09/04/12

TESSERA TECHNOLOGIES INC                DE       5.02,7.01,9.01       09/04/12

THERAVANCE INC                          DE       8.01,9.01            09/03/12

THERAVANCE INC                          DE       7.01,9.01            09/04/12

Valeant Pharmaceuticals International   A6       1.01,9.01            09/02/12

VALIDUS HOLDINGS LTD                             1.01,2.03,7.01,	 09/04/12

Vampt America, Inc.                     NV       1.01,2.01,3.02,4.01, 03/31/12    AMEND
Vantage Health                          NV       5.02                 08/28/12

Venoco, Inc.                            DE       1.01,9.01            08/31/12

VERENIUM CORP                           DE       8.01                 08/30/12

VII Peaks-KBR Co-Optivist Income BDC    MD       2.02,8.01            08/29/12

VISUALANT INC                           NV       1.01,9.01            08/28/12

VLOV INC.                               NV       8.01,9.01            09/04/12

WALTER INVESTMENT MANAGEMENT CORP       MD       7.01,8.01,9.01       09/04/12

WELLS FARGO & COMPANY/MN                DE       9.01                 09/04/12

Western Refining, Inc.                  DE       7.01                 09/04/12

Westinghouse Solar, Inc.                DE       7.01,9.01            09/04/12

WISCONSIN ENERGY CORP                   WI       7.01,9.01            09/04/12

WMI HOLDINGS CORP.                      WA       9.01                 08/01/12    AMEND

WORLD FUEL SERVICES CORP                FL       7.01,9.01            09/04/12

WRIGHT MEDICAL GROUP INC                DE       1.01,1.02,2.03, 	 08/28/12
XCEL ENERGY INC                         MN       7.01                 09/04/12

Xun Energy, Inc.                        NV       5.02,9.01            08/31/12

Zalicus Inc.                            DE       8.01,9.01            09/04/12

Zayo Group LLC                          DE       2.01,9.01            08/31/12



Modified: 09/06/2012