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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-187
September 26, 2012

Commission announcements

SEC Suspends Trading of Titan Resources International, Corp.

The Securities and Exchange Commission (“Commission”) ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of Titan Resources International, Corp (“Titan”) quoted on the OTC Markets electronic quotations service because of questions regarding the adequacy and accuracy of information about Titan, including, among other things, its business operations and current financial condition. Titan’s ticker symbol is TNRI.

The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EDT on September 26, 2012, and terminates at 11:59 p.m. EDT on October 9, 2012.

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

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to the above-named securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact the following individual: (Rel. 34-67926)

Commission Meetings

Technology and Trading Roundtable, Tuesday, October 2, 2012, 10:00 a.m.

Securities and Exchange Commission will hold a technology and trading roundtable discussion on Tuesday, October 2, 2012, in the Multipurpose Room, L-006. The meeting will begin at 10:00 a.m. and will be open to the public. Seating will be on a first-come, first served basis. Doors will be open at 9:30 a.m. Visitors will be subject to security checks. The roundtable will be webcast on the Commission’s website at www.sec.gov and will be archived for later viewing.

The agenda for the roundtable includes opening remarks followed by two panel discussions. The first panel will focus on the prevention of errors through robust system design, deployment, and operation. The second panel will focus on the responses to errors and malfunctions and managing crises in real-time.

For further information, please contact the Office of the Secretary at (202) 551-5400.


Travis Richey Sanctioned

Travis Richey (Richey) has been barred from association with any broker or dealer and from participating in an offering of penny stock. The sanctions were ordered in an administrative proceeding before an administrative law judge, following a January 2012 Arizona conviction for operating a fraudulent scheme and artifice and other violations. The wrongdoing underlying Richey’s conviction took place between November 2007 and July 2008 and involved selling promissory notes through his company Blue Investments, LLC. (Rel. 34-67925; File No. 3-14976)

Former “Teach Me to Trade” Salesman Agrees to Settle Securities Fraud Charges and Pay a $200,000 Penalty

The Securities and Exchange Commission announced that on September 5, 2012 the United States District Court for the Eastern District of Virginia entered a settled final judgment in Securities and Exchange Commission v. David Gengler, Lashaico, et al, Civil Action No. 1:08cv235 (E.D.Va. filed March 11, 2008). The final judgment resolves the Commission’s case against David Gengler and Lashaico, Inc., which was initially filed in 2008.

Gengler sold securities trading products and services such as classes, mentoring and software called “Teach Me to Trade” to investors who wanted to learn how to trade securities. The Commission’s complaint alleged that Gengler told investors at Teach Me to Trade securities trading workshops that he had purchased mentoring, classes and software to learn to trade, and quickly profited by trading securities using Teach Me to Trade methods. The Commission alleged that Gengler’s tales of trading success were untrue; he was not a successful securities trader. Gengler was president of Lashaico, and he sold the products and services pursuant to an independent contractor agreement between Lashaico and Teach Me to Trade. See Litigation Release No. 20486 (March 11, 2008)

Under the terms of the settlement, Gengler agreed to pay a civil money penalty of $200,000. Without admitting or denying the Commission’s allegations, Gengler and Lashaico also consented to the entry of a final judgment permanently enjoining them from future violations of Section 10(b) of the Securities Exchange Act of 1934. Additionally, under the terms of the final judgment Gengler and Lashaico are permanently enjoined from receiving compensation for participating in the development, presentation, promotion, marketing or sale of any classes, workshops, or seminars (and products or services that are offered in connection with them) given to actual or prospective securities investors concerning securities trading and designed to influence their securities trading.

On September 24, 2012, the Commission issued an Order in a related, settled administrative proceeding barring Gengler from associating with any broker, dealer, investment advisor, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any penny stock offering. The bar is based on the entry of the final judgment in SEC v. David Gengler, et al., enjoining Gengler from future violations of the antifraud provisions of the Exchange Act. Without admitting to the findings in the Commission’s Order, except as to jurisdiction and the entry of the final judgment, Gengler consented to the issuance of the Order. [SEC v. David Gengler, Lashaico, et al., Civil Action No. 1:08cv235 (E.D.Va)] (LR-22494)


Emerging Global Advisors, LLC, et al.

An order has been issued on an application filed by Emerging Global Advisors, LLC, et al. to permit: (a) certain open-end management investment companies or series thereof 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 from 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-30212 - September 25)

Alvarez & Marsal, Inc., et al.

An order has been issued on an application filed by Alvarez & Marsal, Inc., et al. to exempt certain limited partnerships and other entities formed for the benefit of eligible employees of Alvarez & Marsal, Inc. and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each company will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30214 - September 25)

Cash Account Trust, et al..

An order has been issued on an application filed by Cash Account Trust, et al. under Sections 6(c) and 17(b) of the Investment Company Act of 1940 (Act) for an exemption from Section 17(a) of the Act. The order permits certain registered investment companies (Funds) to engage in principal transactions involving taxable money market instruments and repurchase agreements with a broker dealer that is an affiliated person of an affiliated person of the Funds. (Rel. IC-30215 - September 25)


Accelerated Approval of Proposed Rule Change

The Chicago Mercantile Exchange Inc. (“CME”) filed a proposed rule change (SR-CME-2012-37) under Section 19(b)(1) of the Securities Exchange Act of 1934 to allow FCM clearing member CEOs and CFOs to designate authorized representatives to approve certain disbursements of customer funds. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67922)

Proposed Rule Change

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2012-103) under Section 19(b)(1) of the Securities Exchange Act of 1934 amending NYSE Arca Rules 3.2 and 3.3 and NYSE Arca Equities, Inc. (“NYSE Arca Equities”) Rules 3.2 and 3.3 to expand the eligibility requirements for service on boards of directors and committees. Publication is expected in the Federal Register during the week of September 24. (Rel. 34-67923)


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-4     ITC Holdings Corp., 27175 ENERGY WAY, NOVI, MI, 48377, 248-946-3000 - 
        0 ($4,082,650,000.00) Equity, (File 333-184073 - Sep. 25) (BR. 02B)

        4039202000 - 250,000 ($1,319.61) Equity, (File 333-184074 - Sep. 25) 
        (BR. 02A)

        CA, 92688, 800-511-3651 - 0 ($6,450,000.00) Equity, (File 333-184075 - 
        Sep. 25) (BR. 06B)

N-2     AGIC Convertible & Income Fund, C/O ALLIANZ GLOBAL INVESTORS FUND MGMT, 
        1633 BROADWAY, NEW YORK, NY, 10019, 212-739-3000 - 
        0 ($1,000,000.00) Equity, (File 333-184077 - Sep. 25) (BR. 17)

        650-681-5000 - 0 ($150,000,000.00) Equity, (File 333-184078 - Sep. 25) 
        (BR. 05C)

S-8     JIAYUAN.COM INTERNATIONAL LTD, Changxin Building, Room 1005, 
        No. 39 Anding Road, Chaoyang District, Bejing, PRC, F4, 00000, 
        8610-6442-8783 - 0 ($8,473,061.67) ADRs/ADSs, (File 333-184079 - 
        Sep. 25) (BR. 03A)

        973 617 3500 - 0 ($450,000,000.00) Non-Convertible Debt, 
        (File 333-184082 - Sep. 25) (BR. 02C)

        HOUSTON, TX, 77019, 7135225141 - 0 ($0.00) Debt, (File 333-184087 - 
        Sep. 25) (BR. 11A)

S-8     RED HAT INC, 1801 VARSITY DRIVE, RALEIGH, NC, 27606, 9197543700 - 
        21,000,000 ($1,197,630,000.00) Equity, (File 333-184088 - Sep. 25) 
        (BR. 03B)

        9784599000 - 475,000 ($7,847,000.00) Equity, (File 333-184089 - 
        Sep. 25) (BR. 07B)

S-4     CityCenter Holdings, LLC, 3950 LAS VEGAS BLVD, SOUTH, LAS VEGAS, NV, 
        89119, 702-632-9724 - 0 ($240,000,000.00) Debt, (File 333-184090 - 
        Sep. 25) (BR. 08B)

        NASHVILLE,, TN, 37203, 615-255-0068 - 
        0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-184091 - 
        Sep. 25) (BR. 01B)

S-8     CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 
        7035069460 - 6,000,000 ($2,880,000.00) Equity, (File 333-184092 - 
        Sep. 25) (BR. 01A)

        BEIJING, F4, 100080, 86-10-58851881 - 0 ($129,994,357.67) ADRs/ADSs, 
        (File 333-184093 - Sep. 25) (BR. 11A)

S-3     CEL SCI CORP, 8229 BOONE BLVD ., SUITE 802, VIENNA, VA, 22182, 
        7035069460 - 0 ($50,000,000.00) Equity, (File 333-184094 - Sep. 25) 
        (BR. 01A)

        48334, 8107374190 - 0 ($250,000,000.00) Equity, (File 333-184095 - 
        Sep. 25) (BR. 08C)

S-3     PowerShares DB US Dollar Index Trust, C/O DB COMMODITY SERVICES LLC, 
        60 WALL STREET, NEW YORK, NY, 10005, 212-250-5883 - 
        0 ($2,704,800,000.00) Unallocated (Universal) Shelf, (File 333-184096 - 
        Sep. 25) (BR. 08B)


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.




ACCESS NATIONAL CORP                    VA       5.02,9.01            09/25/12

ADEPT TECHNOLOGY INC                    DE       5.02                 09/20/12

AGREE REALTY CORP                       DE       5.03,9.01            09/21/12

AGREE REALTY CORP                       DE       8.01,9.01            09/25/12

Alkermes plc.                                    1.01,1.02,2.03,7.01, 09/25/12
ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            09/25/12

ALNYLAM PHARMACEUTICALS, INC.                    1.01                 09/20/12

AMERICAN MEDICAL ALERT CORP             NY       8.01,9.01            09/25/12

AMERICAN POWER CORP.                    NV       1.01,3.02,9.01       09/20/12

Andatee China Marine Fuel Services Co   DE       8.01,9.01            09/07/12

ARES CAPITAL CORP                       MD       1.01,2.03,9.01       09/25/12

As Seen On TV, Inc.                     FL       1.01,3.02,9.01       09/20/12

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            09/25/12

ASHLAND INC.                            KY       7.01,9.01            09/25/12

ASSURANCEAMERICA CORP                   NV       5.02                 09/21/12

AXIS CAPITAL HOLDINGS LTD                        5.02,9.01            09/20/12

B&G Foods, Inc.                         DE       1.01,7.01,9.01       09/19/12

Banyan Rail Services Inc.               DE       3.02                 09/24/12

BARRETT BUSINESS SERVICES INC           MD       1.01,2.03,8.01,9.01  09/21/12

BEHRINGER HARVARD MULTIFAMILY REIT I             5.07,8.01            09/21/12

BioDrain Medical, Inc.                  MN       5.07                 09/20/12

BioFuel Energy Corp.                             8.01,9.01            09/24/12

BioRestorative Therapies, Inc.          NV       8.01,9.01            09/25/12

BIOZONE PHARMACEUTICALS, INC.           NV       1.01,9.01            09/20/12

BOLDFACE GROUP, INC.                    NV       1.01,2.01,3.02,5.01, 07/12/12    AMEND
C H ROBINSON WORLDWIDE INC              DE       1.01,7.01,9.01       09/24/12

CalAmp Corp.                            DE       2.02,9.01            09/25/12

CAM Group, Inc.                         NV       1.01,2.01,3.02,4.01, 09/25/12    AMEND
CAMDEN NATIONAL CORP                    ME       7.01,8.01,9.01       09/25/12

CAMPBELL SOUP CO                        NJ       5.03,9.01            09/24/12

Cape Bancorp, Inc.                      MD       5.02,9.01            09/24/12

CAPITAL BANK CORP                       NC       2.01,3.01,3.03,5.07, 09/24/12 
Capital Bank Financial Corp.            DE       2.01,9.01            09/20/12

CARNIVAL CORP                           DE       2.02,9.01            09/25/12

CEPHEID                                 CA       1.01                 09/24/12

Cheniere Energy Partners, L.P.          DE       1.01,7.01,9.01       09/20/12

CHESAPEAKE ENERGY CORP                  OK       7.01,8.01,9.01       09/19/12

CHINA GREEN CREATIVE, INC.                       1.01,3.02,9.01       09/25/12

China TransInfo Technology Corp.        NV       8.01,9.01            09/25/12

CIENA CORP                              DE       5.02                 09/24/12

CIFC Corp.                              DE       1.01,2.01,2.04,3.03, 09/24/12

CLAIRES STORES INC                      DE       1.01,2.03,8.01,9.01  09/20/12

COEUR D ALENE MINES CORP                ID       5.02,9.01            09/20/12

COLDWATER CREEK INC                     DE       5.07,8.01,9.01       09/21/12

COMMAND SECURITY CORP                   NY       5.07                 09/20/12

CONSOLIDATED GRAPHICS INC /TX/          TX       5.02,9.01            09/19/12

CorMedix Inc.                           DE       1.01,8.01,9.01       09/20/12

CORONADO BIOSCIENCES INC                DE       8.01                 09/17/12

CPI CORP                                DE       8.01,9.01            09/20/12

CREDIT ACCEPTANCE CORP                  MI       1.01,2.03,9.01       09/20/12

Crescent Financial Bancshares, Inc.              1.01,8.01,9.01       09/25/12

CTI INDUSTRIES CORP                     DE       5.02                 09/24/12

CVS CAREMARK CORP                       DE       1.01,9.01            09/19/12

DENBURY RESOURCES INC                   DE       1.01,9.01            09/19/12

DICE HOLDINGS, INC.                     DE       5.02,9.01            09/24/12

Dimus Partners Inc.                     NV       1.01,3.02,5.01,5.02, 09/21/12
Discovery Communications, Inc.          DE       8.01,9.01            09/21/12

DUNE ENERGY INC                         DE       5.02,9.01            09/21/12

DXP ENTERPRISES INC                     TX       9.01                 09/24/12    AMEND

DYNEGY HOLDINGS, LLC                    DE       8.01,9.01            09/25/12

DYNEGY INC.                             DE       8.01,9.01            09/25/12

E DIGITAL CORP                          DE       8.01,9.01            09/25/12

EASTERN AMERICAN NATURAL GAS TRUST      DE       7.01,9.01            09/25/12

ECB BANCORP INC                         NC       1.01,7.01,9.01       09/25/12

EMERSON ELECTRIC CO                     MO       7.01                 09/25/12

EMPIRE ENERGY CORP                      UT       8.01                 08/24/12

Energy Services of America CORP         DE       5.02,9.01            09/21/12

ENNIS, INC.                             TX       2.02,9.01            09/25/12

EWaste Systems, Inc.                    NV       1.01,2.01,3.03,5.03, 10/14/11    AMEND
FACTSET RESEARCH SYSTEMS INC            DE       2.02,9.01            09/25/12

Federal Home Loan Bank of Atlanta       X1       2.03                 09/19/12

Federal Home Loan Bank of Boston        X1       2.03                 09/19/12

Federal Home Loan Bank of Chicago       X1       2.03                 09/19/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            09/19/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            09/21/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            09/25/12

Federal Home Loan Bank of New York      X1       2.03,9.01            09/19/12

Federal Home Loan Bank of New York      X1       5.05,9.01            09/20/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            09/19/12

Federal Home Loan Bank of San Francis   X1       2.03                 09/20/12

Federal Home Loan Bank of Seattle                2.03                 09/21/12

Federal Home Loan Bank of Topeka                 2.03,9.01            09/19/12

FEDEX CORP                              DE       5.07                 09/24/12

FIRST FINANCIAL SERVICE CORP            KY       5.02,8.01            09/19/12

FISERV INC                              WI       1.01,2.03,8.01,9.01  09/25/12

FMC TECHNOLOGIES INC                    DE       1.01,9.01            09/21/12

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            09/25/12

FREDERICK COUNTY BANCORP INC            MD       8.01,9.01            09/25/12

FRONTIER COMMUNICATIONS CORP            DE       1.01,8.01,9.01       09/25/12

GENERAL CABLE CORP /DE/                 DE       8.01,9.01            09/24/12

GENERAL CABLE CORP /DE/                 DE       1.01,2.03,7.01,9.01  09/25/12

GENVEC INC                              DE       2.05,5.02,7.01,9.01  09/21/12

Global Cash Access Holdings, Inc.       DE       8.01                 09/24/12

GOOD TIMES RESTAURANTS INC              NV       8.01,9.01            09/24/12

GRAY TELEVISION INC                     GA       8.01,9.01            09/24/12

GREEN ENVIROTECH HOLDINGS CORP.         DE       3.02                 09/25/12

Griffin-American Healthcare REIT II,    MD       8.01                 09/24/12

HEALTHCARE REALTY TRUST INC             MD       1.01,8.01,9.01       09/25/12

HOLLY ENERGY PARTNERS LP                         9.01                 07/12/12    AMEND

HomeTrust Bancshares, Inc.              MD       1.01,3.03,5.03,8.01, 09/25/12
HORMEL FOODS CORP /DE/                  DE       5.02,9.01            09/22/12

HOVNANIAN ENTERPRISES INC               DE       1.01,8.01,9.01       09/19/12

INDEPENDENT BANK CORP                   MA       5.05,8.01,9.01       09/20/12

INSIGNIA SYSTEMS INC/MN                 MN       5.02                 09/25/12

InspireMD, Inc.                         DE       8.01,9.01            09/25/12

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       1.02,8.01,9.01       09/21/12

INTERNATIONAL BUSINESS MACHINES CORP    NY       5.02,9.01            09/25/12

JABIL CIRCUIT INC                       DE       2.02,9.01            09/25/12

JAKKS PACIFIC INC                       DE       5.02,9.01            09/20/12

JONES GROUP INC                         PA       1.01,2.03,9.01       09/25/12

KANSAS CITY SOUTHERN                    DE       7.01,9.01            09/21/12

KEY ENERGY SERVICES INC                 MD       7.01,9.01            09/24/12

Kiwibox.Com, Inc.                       DE       7.01,9.01            09/25/12

KNIGHT CAPITAL GROUP, INC.              DE       5.02,9.01            09/20/12

KOHLS Corp                              WI       9.01                 09/18/12

LAS VEGAS RAILWAY EXPRESS, INC.         DE       3.02,9.01            07/24/12

Leo Motors, Inc.                                 4.01                 09/17/12    AMEND

Liberty Interactive Corp                         7.01,9.01            09/21/12

Liberty Media Corp                      DE       7.01,9.01            09/21/12

LIFEAPPS DIGITAL MEDIA INC.             DE       1.01,2.01,3.02,5.01, 09/20/12
LIMITED BRANDS INC                      DE       5.02,9.01            09/20/12

Lincolnway Energy, LLC                  IA       7.01,9.01            09/25/12

LOS ANGELES SYNDICATE OF TECHNOLOGY,    NV       5.03                 09/25/12

Madison County Financial, Inc.          MD       8.01,9.01            09/24/12

MANAGEMENT NETWORK GROUP INC                     5.02,5.07,9.01       09/19/12

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            09/25/12

Massive Dynamics, Inc.                  NV       8.01,9.01            09/25/12

MCDERMOTT INTERNATIONAL INC             R1       5.02,9.01            09/24/12

MCMORAN EXPLORATION CO /DE/             DE       8.01                 09/21/12

MedClean Technologies, Inc.             DE       5.02,9.01            09/21/12

MEDIA GENERAL INC                       VA       3.02                 09/24/12

MEDICIS PHARMACEUTICAL CORP             DE       8.01                 09/18/12

MEMC ELECTRONIC MATERIALS INC           DE       1.01,1.02,2.04,9.01  09/25/12

MENS WEARHOUSE INC                      TX       8.01,9.01            09/25/12

METRO BANCORP, INC.                              1.01                 09/21/12

MICHAELS STORES INC                     DE       1.01,9.01            09/20/12

MIMVI, INC.                             NV       7.01,9.01            09/25/12

NABI BIOPHARMACEUTICALS                 DE       8.01,9.01            09/24/12

NATIONAL HEALTH INVESTORS INC           MD       8.01,9.01            09/19/12

NATIONAL RURAL UTILITIES COOPERATIVE    DC       8.01,9.01            09/24/12

Nationstar Mortgage Holdings Inc.       DE       8.01,9.01            09/25/12

Nationstar Mortgage Holdings Inc.       DE       8.01,9.01            09/25/12

NET TALK.COM, INC.                      FL       4.01,9.01            09/17/12    AMEND

Nevada Property 1 LLC                   DE       5.02                 09/20/12

NEW YORK TIMES CO                       NY       8.01                 09/25/12

NEWS CORP                                        8.01,9.01            09/25/12

NiMin Energy Corp.                      A0       8.01,9.01            09/24/12

NOVAGEN SOLAR INC.                      NV       2.01,5.06,9.01       06/25/12    AMEND

OPENTABLE INC                           DE       1.01,9.01            09/19/12

ORRSTOWN FINANCIAL SERVICES INC         PA       8.01,9.01            09/25/12

OSL HOLDINGS INC.                                1.01,1.02,2.03,9.01  08/13/12

PACIFIC CONTINENTAL CORP                OR       3.01                 09/19/12

PACIFIC HEALTH CARE ORGANIZATION INC    UT       5.02                 08/31/12

Panama Dreaming Inc.                    NV       5.02                 09/24/12

PANERA BREAD CO                         DE       5.02                 09/25/12

PAR PETROLEUM CORP/CO                   DE       8.01,9.01            09/19/12

PAREXEL INTERNATIONAL CORP              MA       5.02                 09/19/12

Patriot Coal CORP                       DE       7.01,9.01            09/24/12

Patriot Coal CORP                       DE       5.02,9.01            09/19/12

PDC ENERGY, INC.                        NV       1.01,5.02,7.01,9.01  09/21/12

PDC ENERGY, INC.                        NV       7.01,9.01            09/25/12

POLYONE CORP                                     5.02                 09/19/12

Porter Bancorp, Inc.                    KY       1.01,5.02,9.01       09/19/12

ProShares Trust II                      DE       8.01,9.01            09/20/12

ProShares Trust II                      DE       8.01,9.01            09/20/12

Pulse Beverage Corp                     NV       8.01                 09/24/12

Puramed Bioscience Inc.                 MN       1.01,2.03,3.02,9.01  09/07/12

QCR HOLDINGS INC                        DE       5.02                 09/21/12

QUALITY SYSTEMS, INC                    CA       5.02,7.01,9.01       09/25/12

QUEST SOFTWARE INC                      CA       5.07,9.01            09/25/12

RESPONSE BIOMEDICAL CORP                A1       8.01,9.01            09/24/12

Rockwood Holdings, Inc.                 DE       1.01,8.01,9.01       09/20/12

Rockwood Holdings, Inc.                 DE       1.01,2.03,9.01       09/25/12

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       1.01,2.03            09/24/12

Rosetta Resources Inc.                  DE       7.01,9.01            09/24/12

ROYAL CARIBBEAN CRUISES LTD                      8.01,9.01            09/25/12

RT Technologies, Inc.                   NV       4.01,4.02,9.01       09/13/12    AMEND

SALON MEDIA GROUP INC                   DE       1.01                 09/20/12

SANDERSON FARMS INC                     MS       5.02                 09/20/12

SAUL CENTERS INC                        MD       5.02                 09/20/12

SCHOLASTIC CORP                         DE       5.07                 09/19/12

SeaBright Holdings, Inc.                DE       8.01,9.01            09/25/12

Sequoia Mortgage Trust 2012-4                    8.01,9.01            09/21/12

SGS International, Inc.                 DE       1.01,8.01,9.01       09/24/12

SM Energy Co                            DE       7.01,9.01            09/24/12

SMITHFIELD FOODS INC                    VA       5.07                 09/19/12

SOUTH JERSEY GAS Co                     NJ       1.01,2.03,9.01       09/20/12

STAPLES INC                             DE       2.05,2.06,7.01,8.01, 09/20/12
STEPAN CO                               DE       1.01,1.02,2.03,9.01  09/20/12

Sucampo Pharmaceuticals, Inc.                    8.01,9.01            09/19/12

SUNOCO INC                              PA       8.01                 09/24/12

SUPERTEL HOSPITALITY INC                VA       3.01                 09/25/12

Susser Petroleum Partners LP            DE       1.01,2.01,2.03,3.02, 09/19/12

Swisher Hygiene Inc.                    DE       3.01,9.01            09/21/12

SYNERGY PHARMACEUTICALS, INC.           DE       7.01                 09/25/12

SYNNEX CORP                             DE       2.02,9.01            09/25/12

SYNTHESIS ENERGY SYSTEMS INC            DE       2.01,2.02,3.02,7.01, 09/21/12
SYSTEM ENERGY RESOURCES INC             AR       8.01,9.01            09/25/12

Tao Minerals Ltd.                       NV       4.01,9.01            05/30/12    AMEND

TEGAL CORP /DE/                         DE       5.03,5.07,8.01,9.01  09/25/12

TELEDYNE TECHNOLOGIES INC               DE       5.02,9.01            09/21/12

TESLA MOTORS INC                        DE       1.01,8.01,9.01       09/24/12

TGR Financial, Inc.                     FL       1.01,2.01,5.01,5.02, 09/19/12
Thermon Group Holdings, Inc.            DE       1.01                 09/20/12

ULURU INC.                              NV       1.01,3.02,7.01,9.01  09/20/12

UMPQUA HOLDINGS CORP                    OR       7.01                 09/25/12

UMPQUA HOLDINGS CORP                    OR       7.01                 09/25/12    AMEND

UNION DRILLING INC                      DE       8.01,9.01            09/25/12

United Financial Bancorp, Inc.                   5.02,9.01            09/20/12

UNITED MINES INC                        AZ       3.01,8.01,9.01       09/24/12

UNITED RENTALS INC /DE                  DE       1.01,2.03,9.01       09/24/12

VAIL RESORTS INC                        DE       2.02,9.01            09/25/12

Valley High Mining CO                   NV       1.01,9.01            09/08/12

VHGI HOLDINGS, INC.                     DE       1.01,3.02,5.02,9.01  09/20/12

VIROPHARMA INC                          DE       1.01,1.02            09/24/12

W P CAREY & CO LLC                      DE       2.01,9.01            09/19/12

WEBSENSE INC                            DE       8.01                 09/20/12

WESTELL TECHNOLOGIES INC                DE       5.07                 09/24/12

WESTERN ALLIANCE BANCORPORATION         NV       5.02                 09/19/12

Whitestone REIT                         TX       2.01,7.01,9.01       09/25/12

Whitestone REIT Operating Partnership   DE       2.01,7.01,9.01       09/25/12

Wilhelmina International, Inc.          DE       5.02                 09/20/12

Xun Energy, Inc.                        NV       1.01,9.01            09/20/12



Modified: 09/26/2012