U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-193
October 4, 2012

Commission announcements

Revisions to the EDGAR Filer Manual

The Commission has approved the revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR system.

The EDGAR system was updated to Release 12.2 and, as such, the EDGAR Filer Manual has been updated to share the appropriate information with the filers. For EDGAR Release 12.2, the revisions are being made primarily to allow companies that have previously submitted draft registration statements on EDGAR, to select and publicly file them; support PDF as an official filing format for submission type 40-33 and 40-33/A; support changes in the beneficiary account and receiver American Bank Association number and name for fee payments made for filings; and allow a future period date up to the next business date for Form 8-K. (Rel. 33-9364)

Commission Meetings

Closed Meeting on Thursday, October 11, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, October 11, 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.


In the Matter of in John S. Morgan, et al.

An Administrative Law Judge has issued an Order Making Findings and Imposing Sanctions by Default as to Two Respondents (Default) in John S. Morgan, Admin. Proc. No. 3-14967. On April 2, 2010, a final judgment was entered by default against Thomas D. Woodcock, Jr. (Woodcock), and on July 5, 2012, a final judgment was entered by default against John S. Morgan (Morgan), permanently enjoining them from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Rule 10b-5 thereunder in SEC v. Morgan, No. 8:09-cv-1093-RAL-EAJ (M.D. Fla.).

Based on the final judgments entered against Woodcock and Morgan, the Default bars each from association with a broker, dealer, investment adviser, municipal securities dealer, nationally recognized statistical rating organization, and transfer agent, and from participating in a penny stock offering, pursuant to Section 15(b) of the Exchange Act. (Rel. 34-67974; File No. 3-14967) Default Order

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of China Mobile Media Technology, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-67975; File No. 3-15026) Default Order

Gilbert Bergsman, CPA, Reinstated to Appear and Practice Before the Commission as an Accountant

Pursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Gilbert Bergsman, CPA, has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant. Mr. Bergsman was denied the privilege of appearing or practicing before the Commission as an accountant on December 15, 2005. His reinstatement is effective immediately. (Rel. 34-67988; AAE Rel. 3412; File No. 3-12126)

SEC Charges Unlicensed Financial Advisor James S. Quay for Defrauding Investors in Atlanta Area

The Securities and Exchange Commission today charged an Atlanta-based unlicensed financial advisor with a history of steering retirees into fraudulent investment schemes with defrauding two elderly women he convinced to invest with him directly.

The SEC alleges that James S. Quay (Quay) and his brother Jeffrey A. Quay facilitated a scheme in which the women invested $560,000 with the understanding that they were investing in a covered-call equities trading program. The Quays created a sham limited partnership called Trinity Charitable Solutions (TCS) to purportedly operate the program. However, TCS never became a legal entity, and instead the Quays merely deposited the investors’ money in a Scottrade account and personally misused at least $180,000 to afford mortgage payments, lavish restaurant meals, and membership at a massage spa.

According to the SEC’s complaint filed in U.S. District Court for the Northern District of Georgia, Quay concealed from these two women and other investors that he is a convicted felon and disbarred attorney. Previously, Quay steered investors toward fraudulent investment opportunities from which he received $1.4 million in illicit sales commissions. For instance, Quay was an active sales agent and recruiter for a multi-million dollar Ponzi scheme conducted by a Georgia attorney and a scheme involving an unregistered covered-call equities trading program. He has used various aliases and fake names including Jim Quay, Stephen Quay, and Stephen Jameson.

The SEC alleges that Quay would often host free dinner seminars that target retirees in order to gain their trust. Quay would then encourage the attendees to schedule private consultations with him to discuss their financial situation in greater detail. Attendees would receive a biography that detailed Quay’s educational background and professional designations. The follow-up consultations would often take place at Quay’s personal office, where his legal diplomas, bar certification, and other professional licenses and certifications were displayed on the wall. While he would regularly tout his academic background and legal expertise, he typically would not disclose to investors his criminal background, disbarment, and loss of professional designations and licenses.

Quay agreed to settle the SEC’s charges by consenting to the entry of a final judgment by the court providing permanent injunctive relief under Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5. The proposed final judgment orders Quay to pay disgorgement of $1,403,638.62 plus prejudgment interest of $179,118.78 and a penalty of $450,000. Quay agreed to be permanently barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Quay also agreed to a penny stock bar and to be barred from appearing or practicing before the SEC as an attorney or an accountant. The settlement, in which Quay neither admits nor denies the allegations, is subject to court approval. The SEC’s litigation against Jeffrey Quay remains pending. [SEC v. James S. Quay and Jeffrey A. Quay, Case No. 1:12-cv-03429-RWS (N.D. Ga.)] (LR-22506)


Approval of Proposed Rule Change

The Commission has approved a proposed rule change (SR-ICC-2012-12) filed by ICE Clear Credit LLC under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend Schedule 502 of the ICE Clear Credit rules to provide for clearing of additional single name Investment Grade CDS contracts. Publication is expected in the Federal Register during the week of October 8. (Rel. 34-67970)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. relating to the Trading Activity Fee rate for transactions in security futures (SR-FINRA-2012-044) 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 October 8. (Rel. 34-67971)

A proposed rule change filed by International Securities Exchange, LLC to make non-substantive clarifications to the exchange’s schedule of fees (SR-ISE-2012-73) 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 October 8. (Rel. 34-67973)


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.

        VERO BEACH, FL, 32963, 772-617-4340 - 
        1,150,000 ($23,000,000.00) Equity, (File 333-184243 - Oct. 3) (BR. 08C)

S-8     Edwards Group Ltd, MANOR ROYAL, CRAWLEY, WEST SUSSEX, X0, RH10 9LW, 
        44(0) 1293 528844 - 0 ($14,522,035.00) Other, (File 333-184256 - 
        Oct. 3) (BR. 10A)

S-8     NetApp, Inc., 495 EAST JAVA DR, SUNNYVALE, CA, 94089, 4088226000 - 
        12,350,000 ($385,317,000.00) Equity, (File 333-184259 - Oct. 3) 
        (BR. 03A)

        WARRINGTON, PA, 18976, 2154889300 - 2,500,000 ($7,750,000.00) Equity, 
        (File 333-184277 - Oct. 3) (BR. 01A)


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.




3M CO                                   DE       1.01,9.01            09/28/12

4 KIDS ENTERTAINMENT INC                NY       5.02                 09/30/12

ACACIA RESEARCH CORP                    DE       8.01                 09/28/12

ACURA PHARMACEUTICALS, INC              NY       1.01,5.01,9.01       10/01/12

ADTRAN INC                              DE       7.01                 10/03/12

AEROFLEX HOLDING CORP.                  DE       5.02,9.01            09/28/12

AFFYMAX INC                             DE       5.02,9.01            10/01/12

AGENT155 MEDIA CORP.                    NV       1.01,3.02            09/06/12

AGENT155 MEDIA CORP.                    NV       3.02                 05/15/12

AIR LEASE CORP                          DE       1.01,2.03,8.01,9.01  10/03/12

AIS FUTURES FUND IV LP                  DE       3.02                 09/30/12

ALCOA INC                               PA       5.03,8.01,9.01       09/27/12

ALERE INC.                              DE       2.02,8.01            09/28/12

Alliance Holdings GP, L.P.              DE       7.01,9.01            10/02/12

ALLIANCE RESOURCE PARTNERS LP           DE       7.01,9.01            10/02/12

Allied World Assurance Co Holdings, A            7.01,9.01            10/03/12

Alliqua, Inc.                           FL       5.02                 09/27/12

ALLSTATE LIFE INSURANCE CO                       1.01,9.01            09/30/12

Alta Mesa Holdings, LP                  TX       7.01,9.01            10/02/12

AMERICAN TOWER CORP /MA/                DE       7.01,9.01            10/03/12

Antaga International Corp               NV       5.03,8.01,9.01       09/13/12

ANTS SOFTWARE INC                       DE       5.02                 09/25/12

APPLIED MATERIALS INC /DE               DC       2.05,7.01,9.01       10/03/12

ARES CAPITAL CORP                       MD       5.02                 10/02/12

ARES CAPITAL CORP                       MD       7.01,8.01,9.01       10/03/12

ARISTOCRAT GROUP CORP.                  FL       8.01                 10/01/12

Armada Oil, Inc.                        NV       7.01,9.01            10/03/12

ATWOOD OCEANICS INC                     TX       7.01,9.01            10/02/12

Augme Technologies, Inc.                DE       8.01,9.01            10/03/12

AUTONATION, INC.                        DE       7.01,9.01            10/03/12

Avalon Oil & Gas, Inc.                  CO       5.07                 09/28/12

AZZ INC                                 TX       1.01,9.01            10/03/12

B&G Foods, Inc.                         DE       1.01,8.01,9.01       10/02/12

BAKERS FOOTWEAR GROUP INC               MO       1.02,1.03,2.04,9.01  10/02/12

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            10/03/12

Bio-Matrix Scientific Group, Inc.       DE       4.01,9.01            09/27/12

BIO-PATH HOLDINGS INC                   UT       8.01,9.01            10/03/12

BIO-PATH HOLDINGS INC                   UT       5.02                 10/01/12

BioFuel Energy Corp.                             2.04,9.01            09/28/12

BioNeutral Group, Inc                   NV       8.01,9.01            10/02/12

BJs RESTAURANTS INC                     CA       8.01,9.01            10/02/12

Black Elk Energy Offshore Operations,   TX       5.02,9.01            09/27/12

BLACK HILLS CORP /SD/                   SD       2.01,9.01            09/27/12

BnetEFactor, Inc.                       NV       5.03,9.01            09/27/12

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       5.02                 10/03/12

BRIDGE BANCORP INC                      NY       8.01,9.01            10/03/12

BRISTOL MYERS SQUIBB CO                 DE       1.01,9.01            09/27/12

Bristow Group Inc                       DE       7.01,9.01            10/03/12

BROADWAY FINANCIAL CORP \DE\            DE       8.01,9.01            10/03/12

Burger King Worldwide, Inc.             DE       1.01,1.02,2.03       09/28/12

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 09/30/12

CAPITAL TRUST INC                       MD       1.01,3.02,3.03,5.03, 09/27/12
Carlyle Group L.P.                      DE       8.01,9.01            10/02/12

CASELLA WASTE SYSTEMS INC               DE       8.01                 10/03/12

CenterState Banks, Inc.                 FL       7.01,9.01            10/03/12

CENTURY PROPERTIES FUND XIX             CA       2.01,9.01            09/28/12

CERADYNE INC                            DE       5.02,9.01            09/28/12

CHESAPEAKE ENERGY CORP                  OK       5.02,7.01,9.01       09/28/12

CHEVRON CORP                            DE       5.02,9.01            10/03/12

CHINA FUND INC                          MD       7.01,9.01            08/31/12

China Green Agriculture, Inc.           NV       5.02                 09/28/12

China Power Equipment, Inc.             MD       5.02                 09/25/12    AMEND

Chineseinvestors.com, Inc.              IN       1.01,8.01,9.01       10/03/12

Circle Entertainment, Inc.              DE       1.01,2.03,9.01       10/01/12

Citizens Community Bancorp Inc.         MD       1.01,9.01            09/30/12

CLEAR SYSTEM RECYCLING, INC.            NV       7.01,9.01            09/20/12

CLEAR SYSTEM RECYCLING, INC.            NV       1.02,7.01,9.01       09/28/12

Clearwire Corp /DE                      DE       8.01                 09/27/12

CMS ENERGY CORP                         MI       7.01,9.01            10/03/12

COLE CORPORATE INCOME TRUST, INC.       MD       1.01                 09/27/12

COMPASS MINERALS INTERNATIONAL INC      DE       5.02,9.01            10/01/12

Comstock Holding Companies, Inc.        DE       2.03                 09/27/12

CONTINENTAL AIRLINES INC /DE/           DE       8.01,9.01            10/03/12

Cooper-Standard Holdings Inc.           DE       5.02,9.01            10/01/12

Coronus Solar Inc.                      A1       7.01,8.01,9.01       10/03/12

CoroWare, Inc,                          DE       3.02,5.03,8.01,9.01  10/01/12

CORTLAND BANCORP INC                    OH       5.02,9.01            09/28/12

CRACKER BARREL OLD COUNTRY STORE, INC            5.02,9.01            09/27/12

CRIMSON EXPLORATION INC.                         7.01                 10/03/12

CROSS COUNTRY HEALTHCARE INC            DE       1.01,2.03,8.01,9.01  09/28/12

CROWN CASTLE INTERNATIONAL CORP         DE       7.01,8.01,9.01       10/03/12

CROWN CASTLE INTERNATIONAL CORP         DE       7.01,8.01,9.01       10/03/12

CROWN MARKETING                         WY       1.01,2.01,3.02,5.01, 09/27/12    AMEND
CYTOMEDIX INC                           DE       5.07                 09/28/12

CYTORI THERAPEUTICS, INC.               DE       1.01,9.01            09/27/12

DAKOTA TERRITORY RESOURCE CORP          NV       2.01,5.01,9.01       09/27/12

DDR CORP                                OH       8.01,9.01            10/02/12

Dialogic Inc.                           DE       8.01                 10/02/12

Digital Cinema Destinations Corp.       DE       2.01,2.03,9.01       10/03/12

DILMAX CORP.                            NV       5.01,5.02            10/01/12

DOLLAR GENERAL CORP                     TN       1.01,8.01,9.01       09/27/12

DOLLAR THRIFTY AUTOMOTIVE GROUP INC     DE       1.01                 10/02/12

DREW INDUSTRIES INC                     DE       8.01,9.01            10/01/12

DynaVox Inc.                                     3.01,9.01            10/02/12

DynaVox Inc.                                     5.02                 10/01/12

EAGLE ROCK ENERGY PARTNERS L P          DE       1.01,7.01,9.01       10/03/12

ECOLOGY COATINGS, INC.                  NV       8.01                 10/03/12

ECOLOGY COATINGS, INC.                  NV       5.02                 10/03/12

EME HOMER CITY GENERATION LP            PA       1.01,7.01,9.01       10/03/12

ENCORE WIRE CORP                        DE       1.01,2.03            09/27/12

ENDEAVOUR INTERNATIONAL CORP            NV       1.01,2.03            09/27/12

ENDOLOGIX INC /DE/                      DE       5.02                 09/27/12

ENTEST BIOMEDICAL, INC.                 NV       4.01,9.01            09/27/12

EPOCH HOLDING CORP                      DE       8.01,9.01            10/03/12

EQM Technologies & Energy, Inc.         DE       1.01,2.03,7.01,9.01  09/28/12

ESP Resources, Inc.                     NV       5.07                 09/28/12

EV Energy Partners, LP                  DE       1.01,9.01            09/27/12

ExactTarget, Inc.                       DE       5.02,5.03,9.01       10/03/12

FAMILY DOLLAR STORES INC                DE       2.02,7.01,9.01       10/03/12

FARMERS NATIONAL BANC CORP /OH/         OH       7.01,9.01            10/03/12

FEDERAL AGRICULTURAL MORTGAGE CORP               7.01,9.01            10/03/12

Feihe International Inc                 UT       8.01,9.01            10/03/12

FelCor Lodging Trust Inc                MD       1.02,8.01,9.01       09/28/12

FIRST MARBLEHEAD CORP                            8.01,9.01            10/03/12

FLAGSTAR BANCORP INC                    MI       5.02,7.01,9.01       10/01/12

Flagstone Reinsurance Holdings, S.A.    N4       8.01,9.01            10/03/12

FLUSHING FINANCIAL CORP                 DE       7.01,9.01            10/03/12

Ford Credit Auto Lease Trust 2012-B     DE       8.01,9.01            10/03/12

FORWARD INDUSTRIES INC                  NY       5.07                 09/27/12

GAMETECH INTERNATIONAL INC              DE       1.03,2.01,9.01       09/27/12

GENESEE & WYOMING INC                   DE       1.01,1.02,2.01,2.03, 09/28/12
GEORGETOWN CORP                         NV       1.01,5.02,9.01       09/30/12

GLADSTONE COMMERCIAL CORP               MD       1.01,2.03,9.01       10/01/12

GLATFELTER P H CO                       PA       1.01,2.03,3.03,8.01, 10/03/12
Global Income Trust, Inc.               MD       1.01,2.01,2.03,8.01, 09/27/12
GLOBALSCAPE INC                         DE       7.01,9.01            10/03/12

GNC HOLDINGS, INC.                      DE       1.01,8.01,9.01       10/02/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            09/28/12

GTX INC /DE/                            DE       1.01,1.02,2.01,2.02, 09/28/12
Hanesbrands Inc.                        MD       7.01,9.01            10/03/12

Hauge Technology, Inc.                  DE       3.02,5.01,5.02       10/02/12

HCC INSURANCE HOLDINGS INC/DE/          DE       5.02,9.01            10/02/12

HEWLETT PACKARD CO                      DE       7.01                 10/03/12

HMS HOLDINGS CORP                                7.01,8.01            09/27/12

HOT TOPIC INC /CA/                      CA       8.01,9.01            10/02/12

HOUSTON AMERICAN ENERGY CORP            DE       1.01,7.01,9.01       10/01/12

ImmunoCellular Therapeutics, Ltd.       DE       5.07                 08/24/12

Independence Resources PLC              X0       8.01                 09/19/12

Innovaro, Inc.                                   1.01,9.01            09/27/12

InspireMD, Inc.                         DE       8.01,9.01            09/27/12

INTEGRATED DEVICE TECHNOLOGY INC        DE       8.01,9.01            10/03/12

INTEGRATED DEVICE TECHNOLOGY INC        DE       2.01,9.01            07/19/12    AMEND

INTELSAT S.A.                           N4       1.01,2.03,3.03,8.01, 10/03/12
INTERNET AMERICA INC                    TX       5.02                 10/02/12

INTEVAC INC                             CA       2.06                 09/28/12

INTL FCSTONE INC.                       DE       5.02                 10/01/12

INVENTURE FOODS, INC.                   DE       8.01,9.01            10/03/12

Investors Bancorp Inc                   DE       8.01,9.01            10/03/12

Iridium Communications Inc.             DE       3.02,3.03,5.03,9.01  10/03/12

ISECURETRAC CORP                        DE       1.01,1.02,2.03,3.02, 09/28/12
ITERIS, INC.                            DE       1.01,2.03,9.01       09/28/12

JAKKS PACIFIC INC                       DE       1.01,2.03,9.01       09/27/12

KEYW HOLDING CORP                       MD       1.01,1.02,2.01,2.03, 09/28/12
Kraton Performance Polymers, Inc.       DE       2.06,8.01,9.01       10/02/12

KRONOS WORLDWIDE INC                             1.01,2.03,9.01       09/27/12

KULICKE & SOFFA INDUSTRIES INC          PA       5.02,9.01            10/01/12

LEARNING TREE INTERNATIONAL INC         DE       7.01,9.01            10/03/12

LEE ENTERPRISES, INC                    DE       5.02                 09/28/12

LEVEL 3 COMMUNICATIONS INC              DE       5.02                 10/01/12

LEXINGTON REALTY TRUST                  MD       1.01,9.01            09/28/12

LIBERATOR MEDICAL HOLDINGS, INC.        NV       5.07,8.01,9.01       09/28/12

Lifevantage Corp                        CO       5.02,9.01            10/02/12

LUCAS ENERGY, INC.                      NV       3.03,5.03,9.01       10/01/12

Madison County Financial, Inc.          MD       8.01,9.01            10/03/12

MAKO Surgical Corp.                     DE       5.02,9.01            10/01/12

MALVERN FEDERAL BANCORP INC             X1       5.07,8.01            10/02/12

MARRIOTT INTERNATIONAL INC /MD/         DE       2.02,9.01            10/03/12

MEDICAL ALARM CONCEPTS HOLDINGS INC     NV       7.01                 10/03/12

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01            10/01/12

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01,9.01            10/01/12

Merriman Holdings, Inc                  DE       2.03,3.02            09/27/12

Mesa Energy Holdings, Inc.              DE       7.01,9.01            10/03/12

METROPCS COMMUNICATIONS INC             DE       1.01,2.03,3.02,3.03, 10/02/12

MICROVISION INC                         DE       4.01,9.01            09/27/12

MISSION BROADCASTING INC                DE       1.01,9.01            09/27/12

MISSION COMMUNITY BANCORP               CA       1.01,3.02,9.01       09/27/12

Momentive Performance Materials Inc.    DE       1.01,9.01            10/02/12

MONSANTO CO /NEW/                       DE       2.02,9.01            10/03/12

MONTPELIER RE HOLDINGS LTD                       1.01,8.01,9.01       10/02/12

MVP REIT, Inc.                          MD       8.01                 10/02/12

NATIONAL HEALTH INVESTORS INC           MD       2.01,9.01            09/28/12

NBCUniversal Media, LLC                 DE       8.01,9.01            10/03/12

NELNET STUDENT LOAN FUNDING LLC                  8.01                 10/02/12

NEOGEN CORP                             MI       2.02,9.01            10/02/12

Net Element International, Inc.         E9       5.07                 09/28/12

Net Element, Inc.                       DE       1.02,2.01,3.03,5.02, 09/28/12
NEWLINK GENETICS CORP                            8.01,9.01            10/03/12

NEWS CORP                                        8.01,9.01            10/03/12

NEXSTAR BROADCASTING GROUP INC          DE       1.01,9.01            09/27/12

NextWave Wireless Inc.                  DE       5.07,8.01,9.01       10/02/12

NGL Energy Partners LP                  DE       3.02,9.01            10/01/12

NGP Capital Resources Co                MD       3.01                 10/02/12

NL INDUSTRIES INC                       NJ       1.01,2.03,9.01       09/27/12

NORTEL NETWORKS CORP                             5.02,9.01            10/03/12

NORTH BAY RESOURCES INC                 DE       1.01,2.03,3.02,9.01  10/02/12

NORTHEAST BANCORP /ME/                  ME       4.01,9.01            09/30/12

NORTHWEST BIOTHERAPEUTICS INC           DE       1.01,2.03,3.02       09/27/12

NT MINING Corp                                   4.02                 09/30/12    AMEND

NUVASIVE INC                            DE       2.02,9.01            10/03/12

OMNOVA SOLUTIONS INC                    OH       7.01,9.01            10/03/12

ONLINE DISRUPTIVE TECHNOLOGIES, INC.    NV       5.02                 10/02/12

OPTI INC                                CA       5.03                 10/02/12

OVERSEAS SHIPHOLDING GROUP INC          DE       5.02,9.01            09/27/12

PDC ENERGY, INC.                        NV       7.01,9.01            10/03/12

PDC ENERGY, INC.                        NV       1.01,1.02,2.03,9.01  09/28/12

PennantPark Floating Rate Capital Ltd            7.01,9.01            10/03/12

PENNANTPARK INVESTMENT CORP                      7.01,9.01            10/03/12

PennyMac Mortgage Investment Trust      MD       1.01,2.03,9.01       09/28/12

PHAZAR CORP                             DE       5.02,9.01            10/01/12

PHH CORP                                MD       1.01,5.02,5.03,9.01  09/27/12

PIEDMONT NATURAL GAS CO INC             NC       1.01,2.03            10/01/12

Polonia Bancorp                                  8.01,9.01            10/03/12

Polonia Bancorp Inc                     MD       8.01,9.01            10/03/12

PostRock Energy Corp                    DE       1.01,2.01,9.01       09/28/12

PULSE ELECTRONICS CORP                  PA       3.01,9.01            09/27/12

QUALCOMM INC/DE                         DE       5.02                 09/30/12

RALCORP HOLDINGS INC /MO                MO       1.01,1.02,5.02,7.01, 10/03/12
REAL ESTATE ASSOCIATES LTD VI           CA       8.01                 09/28/12

REGIS CORP                              MN       2.01,9.01            09/27/12

Resource Capital Corp.                  MD       8.01,9.01            10/02/12

RIGEL PHARMACEUTICALS INC               DE       8.01,9.01            10/03/12

RITE AID CORP                           DE       1.01                 10/01/12

Royal Energy Resources, Inc.            DE       7.01,9.01            10/01/12

RPM INTERNATIONAL INC/DE/               DE       2.02,9.01            10/03/12

SABINE ROYALTY TRUST                    TX       2.02,9.01            10/02/12

Sanchez Energy Corp                     DE       5.02,9.01            10/01/12

Santa Fe Petroleum, Inc.                DE       7.01                 10/03/12

SARATOGA INVESTMENT CORP.               MD       5.07                 09/28/12

Sarepta Therapeutics, Inc.              OR       7.01,9.01            10/02/12

SCIQUEST INC                            DE       2.01                 10/01/12

SECURE NetCheckIn Inc                   NV       4.01                 10/02/12

SELECT COMFORT CORP                     MN       7.01,9.01            10/03/12

SELECTICA INC                           DE       8.01                 10/02/12

Sensata Technologies Holding N.V.       P7       8.01,9.01            09/30/12

SINGLE TOUCH SYSTEMS INC                DE       1.01,2.03,3.02       09/27/12

SMITH & WESSON HOLDING CORP             NV       5.07                 10/01/12

SOUTHERN FIRST BANCSHARES INC           SC       9.01                 10/02/12

STR HOLDINGS, INC.                      DE       1.01,2.03,5.02,9.01  09/28/12

Strategic Storage Trust, Inc.           MD       1.01,7.01,8.01,9.01  09/27/12

StrikeForce Technologies Inc.           WY       1.02                 10/03/12

STRYKER CORP                            MI       5.02,9.01            09/28/12

STUDIO II BRANDS INC                    FL       5.02                 09/21/12

Summit Hotel Properties, Inc.           MD       8.01,9.01            09/27/12

SUNRISE SENIOR LIVING INC               DE       1.01,2.01,2.03,9.01  10/01/12

SUNTRUST BANKS INC                      GA       9.01                 10/03/12

SUPERIOR ENERGY SERVICES INC            DE       7.01,9.01            10/02/12

SWIFT ENERGY CO                                  1.01,2.03,8.01,9.01  10/02/12

SWIFT ENERGY CO                                  8.01,9.01            10/03/12

TAMPA ELECTRIC CO                       FL       1.01,2.03,8.01,9.01  09/28/12

TEL OFFSHORE TRUST                      TX       2.02,9.01            10/03/12

TESORO LOGISTICS LP                     DE       1.01,7.01,9.01       10/02/12

Texas Rare Earth Resources Corp.        DE       1.01,5.02,8.01       09/28/12

Texas Rare Earth Resources Corp.        DE       7.01,9.01            10/03/12

TGR Financial, Inc.                     FL       2.01,9.01            07/20/12

TIANYIN PHARMACEUTICAL CO., INC.        DE       7.01,9.01            09/28/12

TILE SHOP HOLDINGS, INC.                DE       1.01,9.01            10/03/12

TransDigm Group INC                     DE       7.01,9.01            10/03/12

TREDEGAR CORP                           VA       1.01,2.03,8.01,9.01  10/01/12

Tronox Ltd                              C3       1.01,5.02            09/30/12

U S PRECIOUS METALS INC                 DE       1.01,8.01            10/01/12    AMEND

ULTRALIFE CORP                          DE       1.01                 09/28/12

UNIGENE LABORATORIES INC                DE       5.02,9.01            09/27/12

UNION BANKSHARES INC                    VT       8.01,9.01            10/01/12

UNIVERSAL TECHNICAL INSTITUTE INC       DE       5.02,9.01            10/03/12

URANIUM ENERGY CORP                     NV       7.01,9.01            10/03/12

URANIUM RESOURCES INC /DE/              DE       3.01                 09/28/12

US AIRWAYS GROUP INC                    DE       2.02,9.01            10/03/12

US AIRWAYS GROUP INC                    DE       2.02,9.01            10/03/12

USA Synthetic Fuel Corp                 DE       1.01,2.01,2.03,3.02, 09/24/12    AMEND
VALSPAR CORP                            DE       5.02,7.01,9.01       10/03/12

VIROPHARMA INC                          DE       1.01                 10/01/12

VIRTUSA CORP                                     1.01,9.01            09/29/12

VISTA GOLD CORP                         B0       7.01,9.01            10/02/12

VUMEE INC.                              NV       9.01                 05/17/12    AMEND

WELLPOINT, INC                          IN       7.01,9.01            10/02/12

WELLS FARGO & COMPANY/MN                DE       9.01                 10/03/12

WELLS MID-HORIZON VALUE-ADDED FUND I             8.01                 09/26/12

WELLS REAL ESTATE FUND IX LP            GA       8.01                 09/26/12

WELLS REAL ESTATE FUND VIII LP          GA       8.01                 09/26/12

WELLS REAL ESTATE FUND XI L P           GA       8.01                 09/26/12

WELLS REAL ESTATE FUND XII LP           GA       8.01                 09/26/12

WELLS REAL ESTATE FUND XIII L P                  8.01                 09/26/12

WELLS REAL ESTATE FUND XIV LP           GA       8.01                 09/26/12

WHITE MOUNTAIN TITANIUM CORP            NV       5.02,9.01            09/28/12

Wilhelmina International, Inc.          DE       4.01,9.01            09/27/12

WILLIS LEASE FINANCE CORP               DE       7.01,9.01            10/03/12

Winthrop Realty Trust                   OH       8.01,9.01            10/02/12

WISCONSIN ENERGY CORP                   WI       7.01,9.01            10/03/12

WISCONSIN PUBLIC SERVICE CORP           WI       1.01,9.01            09/28/12

WMI HOLDINGS CORP.                      WA       7.01,9.01            10/02/12

XOMA Corp                               DE       8.01,9.01            09/27/12

XOMA Corp                               DE       1.01,2.03,3.02,9.01  09/27/12

Yellowwood Acquisition Corp             DE       4.01                 06/14/12    AMEND

Zep Inc.                                DE       8.01                 10/03/12



Modified: 10/04/2012