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Commission AnnouncementsSEC Suspends Trading in the Securities of Chimera Energy CorporationThe United States Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Chimera Energy Corporation (“Chimera”) of Houston, Texas, commencing at 9:30 a.m. EDT, October 25, 2012, and terminating at 11:59 p.m. EST, on November 7, 2012. The Commission temporarily suspended trading in the securities of Chimera because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, the statements by Chimera in press releases to investors about the company’s business prospects and agreements. The order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934. 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 this company. 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 Liberty Silver’s 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. (Rel. 34-68103) Report on Administrative ProceedingsThe Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 has been issued, giving summary statistical information on the Commission's administrative proceedings caseload. The report is published in the SEC Docket and appears on the Commission's website. (Rel. 34-68107) Commission MeetingsClosed Meeting on Thursday, November 1, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, November 1, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsIn the Matter of Drucker, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Two Respondents (Default Order) in Drucker, Inc., Admin. Proc. No. 3-15027. The Order Instituting Proceedings alleged that Respondents Drucker, Inc., and DynaMotive Energy Systems Corp. (collectively, Respondents) repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission (Commission). The Default Order finds these allegations to be true as to Respondents and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The Commission has accepted the Offer of Settlement submitted by Respondent Gate to Wire Solutions, Inc. Drucker, Inc., Exchange Act Release No. 68088 (Oct. 24, 2012). (Rel. 34-68102; File No. 3-15027) In the Matter of Rajnish K. DasOn October 24, 2012, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (Order) against Rajnish K. Das. The Order finds that on May 29, 2012, the U.S. District Court for the District of Nebraska entered a final judgment against Das, permanently enjoining him from future violations, direct or indirect, of Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), 13(b)(5), and 14(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13a-14, 13b2-1, 13b2-2, 14a-3, and 14a-9 thereunder. Securities and Exchange Commission v. Rajnish K. Das, et al., Civil Action Number 8:10-cv-00102-LSC-FG3. In the final judgment, the court declared that Das “acted in bad faith toward shareholders of [Info], when committing the acts and omissions that led to this proceeding, and knew his actions were contrary to the interests of [Info] and its shareholders.” The Commission’s complaint in the civil action alleged that Das signed and certified Info’s false Forms 10-K and proxy statements that materially understated and failed to properly disclose the perquisite compensation of Vinod Gupta, Info’s former chief executive officer and Chairman of the Board of Directors, and failed to properly disclose related party transactions involving Gupta. The complaint alleged that for the years 2003 through 2007, Gupta used Info to pay for his personal expenses associated with private jet flights, a yacht, homes, automobiles, credit card expenses, country club memberships, and life insurance policies. As CFO, Das approved Info’s payment of Gupta’s personal expenses and signed and certified Info’s false Forms 10-K for 2003 and 2004 which incorporated information from Info’s proxy statements. The complaint also alleged that Das aided and abetted the filing of Info’s false Form 10-K for 2005 which incorporated information from Info’s proxy statements. The Order states that a court of competent jurisdiction has found Das to have violated the Federal securities laws and permanently enjoined him from violations of the Federal securities laws within the meaning of Rule 102(e)(3)(i)(A) and (B) of the Commission’s Rules of Practice. In view of these findings, the Order temporarily suspends Das from appearing or practicing before the Commission. Das has thirty days after service of the Order to file a petition with the Commission to lift the temporary suspension. If no petition is timely filed, the suspension shall become permanent. If a petition is timely filed, the Commission shall either lift the temporary suspension, or set the matter down for hearing at a time and place to be designated by the Commission, or both. (Rel. 34-68098; AAE Rel. 3420; File No. 3-15078) In the Matter of Ryan M. JindraOn October 25, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Ryan M. Jindra (Jindra). The Order finds that during at least 2008 through June 2009, Jindra, through his wholly-owned entity Envision Investment Advisors, LLC (Envision), acted as an investment adviser, offering portfolio management services primarily to individual customers, having approximately $41.7 million in customer assets under management as of August 2008. The Order finds that on September 25, 2012, the U.S. District Court for the District of Nebraska entered a final judgment against Jindra in a civil action enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 204 and 206 of the Investment Advisers Act of 1940 and Rules 204-2(a)(7)(B) and 206(4)-7 thereunder. The Order finds that the Commission’s complaint in the civil action alleged that Jindra caused at least $773,000 to be misappropriated out of accounts held by Envision customers purportedly as advisory fees. In addition, the Order finds that on April 27, 2012, a judgment of criminal conviction was entered against Jindra in U.S. District Court for the District of Nebraska for one count of wire fraud in violation of Title 18, U.S.C. Section 1343, and that Jindra was sentenced to 48 months imprisonment followed by three years of supervised release and ordered to make restitution of $484,235.52. Based on the above, the Order bars Jindra from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Jindra consented to the issuance of the Order. (Rel. IA-3493; File No. 3-15079) In the Matter of Charles Michael VaughnOn October 25, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions (Order) against Charles Michael Vaughn (Vaughn). The Order finds that on October 24, 2011, Vaughn entered a guilty plea to one count of wire fraud in violation of Title 18 United States Code, Sections 1343 and 2 before the United States District Court for the Northern District of Georgia, in United States v. Charles Michael Vaughn, Indictment No. 1:11-CR-310-RWS. As detailed in the negotiated plea agreement, between July 2004 and October 2007, Vaughn induced more than 50 individuals to invest in a purported pooled investment fund that he claimed earned annual returns from 15 to 50 percent. However, as alleged in the plea agreement, rather than actually investing investor funds in the pooled investment fund, Vaughn misappropriated such funds to finance various private companies that he owned and/or operated and also to pay his personal expenses and to repay earlier investors. The Order further finds that during the period from August 2001 through March 2008, Vaughn was the sole owner and principal of CM Vaughn, LLC, an unregistered broker based in multiple locations in and around Atlanta, Georgia. Based on the above, the Order bars Vaughn from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Vaughn 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. Vaughn consented to the issuance of the Order. (Rel. 34-68106; File No. 3-14949) SEC Charges Former J.Crew Executive With Insider TradingThe Securities and Exchange Commission today announced that it filed an insider trading civil action in the United States District Court for the Southern District of New York against Frank A. LoBue, a former Director of Store Operations at J.Crew Group, Inc. (J.Crew). The Commission’s complaint alleges that in the course of his employment LoBue regularly received nonpublic information about J.Crew’s “Stores” component, which comprised approximately 70% of the company’s sales. In April and May 2009, LoBue received several reports that contained such information for the company’s fiscal first quarter ended May 2, 2009 and that showed results were better than expected. The complaint further alleges that LoBue breached duties he owed to the company and its shareholders by using the information to purchase 2,300 shares of J.Crew common stock in advance of the company’s May 28, 2009 quarterly earnings release. The market reacted positively to the release, with J.Crew’s stock closing up 26.4% from its prior close. The complaint also alleges that in July and August 2009 LoBue continued to receive the reports on J.Crew stores and that the information showed that the company was experiencing an improving sales trend. LoBue again breached his duties by using this information to purchase another 11,680 shares of J.Crew stock ahead of the company’s August 27, 2009 second quarter earnings release. The day following the release, J.Crew stock closed up 6.01% from its prior close. LoBue’s aggregate illicit profits from trading alleged in the complaint were at least $60,735.60 Without admitting or denying the allegations in the complaint, LoBue has consented to the entry of a proposed final judgment permanently enjoining him from violating anti-fraud provisions of the federal securities laws, ordering him to pay disgorgement of $60,735.60, plus prejudgment interest thereon of $6,749.33, and imposing a civil penalty of $60,735.60. The proposed settlement is subject to the approval of the District Court. [SEC v. Frank A. LoBue, 12-CV-7944 (AJN) (S.D.N.Y.)] (LR-22519) INVESTMENT COMPANY ACT RELEASESPNC Capital Advisors, LLC, et al.A notice has been issued giving interested persons until November 19, 2012, to request a hearing on an application filed by PNC Capital Advisors, LLC, PNC Funds and PNC Advantage Funds for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, and under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act. The requested order would permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies. (Rel. IC-30239 – October 23) Northern Trust Investments, Inc., et al.An order has been issued on an application filed by Northern Trust Investments, Inc., et al., for an order to amend an existing order to permit an open-end investment company (Trust) to offer exchange-traded funds based on equity and/or fixed income securities indexes for which Northern Trust Investments, Inc. (Adviser) or an affiliated person, as defined in section 2(a)(3) of the Investment Company Act of 1940, of the Trust, the Adviser, any sub-adviser, distributor or promoter of a fund, is an index provider. In addition, the order modifies various other terms of the Prior Order. (Rel. IC-30240 – October 23) PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc.An order has been issued on an application filed by PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc., exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order supersedes two prior orders and permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30241 – October 23) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesThe Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2012-42) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding the valuation of securities on deposit. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68093) NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2012-111) and Amendment No. 1 thereto, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade shares of the Sprott Physical Platinum and Palladium Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68101) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-3 SandRidge Mississippian Trust I, 919 CONGRESS AVENUE, THE BANK OF NEW YORK MELLON TRUST CO. NA, AUSTIN, TX, 78701, 512 236 6599 - 0 ($11,247,742.00) Equity, (File 333-184561 - Oct. 24) (BR. 04A) S-3ASR SandRidge Permian Trust, 919 CONGRESS AVENUE, THE BANK OF NEW YORK MELLON TRUST CO. NA, AUSTIN, TX, 78701, 512 236 6599 - 0 ($57,442,500.00) Equity, (File 333-184562 - Oct. 24) (BR. 04A) S-3 COVER ALL TECHNOLOGIES INC, 18 01 POLLITT DR, FAIR LAWN, NJ, 07410, 2017944800 - 1,442,000 ($1,629,460.00) Equity, (File 333-184563 - Oct. 24) (BR. 03B) S-8 STEVEN MADDEN, LTD., 52-16 BARNETT AVE, LONG ISLAND CITY, NY, 11104, 7184461800 - 6,500,000 ($277,095,000.00) Equity, (File 333-184564 - Oct. 24) (BR. 09B) S-3ASR Navistar, Inc., 4201 WINFIELD ROAD, WARRENVILLE, IL, 60555, 6307535000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184565 - Oct. 24) (BR. 05) S-1 Kallo Inc., 15 ALLSTATE PARKWAY, SUITE 600, MARKHAM, A6, L3R 5B4, (416) 246-9997 - 50,000,000 ($229.20) Equity, (File 333-184572 - Oct. 24) (BR. 02B) S-8 Wayside Technology Group, Inc., 1157 SHREWSBURY AVE, SHREWSBURY, NJ, 07702, 7323898950 - 0 ($7,650,000.00) Equity, (File 333-184573 - Oct. 24) (BR. 03A) S-1 Rockdale Resources Corp, 11044 RESEARCH BLVD., SUITE A-200, AUSTIN, TX, 78759, (512) 795-2300 - 10,002,000 ($30,000,000.00) Equity, (File 333-184575 - Oct. 24) (BR. 02A) S-8 ISLE OF CAPRI CASINOS INC, 600 EMERSON ROAD, SUITE 300, SAINT LOUIS, MO, 63141, 3148139200 - 0 ($10,850,000.00) Equity, (File 333-184576 - Oct. 24) (BR. 08B) S-1 Geo Point Resources, Inc., 1306 E. EDINGER AVE. #C, SANTA ANA, CA, 92705, 714-665-8777 - 3,065,000 ($3,065.00) Equity, (File 333-184578 - Oct. 24) (BR. ) S-1 BRIGHT HORIZONS FAMILY SOLUTIONS INC., 200 TALCOTT AVENUE SOUTH, WATERTOWN, MA, 02472, 617-673-8000 - 0 ($220,000,000.00) Equity, (File 333-184579 - Oct. 24) (BR. ) S-8 QUEST DIAGNOSTICS INC, 3 GIRALDA FARMS, MADISON, NJ, 07940, 9735202700 - 7,000,000 ($410,340,000.00) Equity, (File 333-184580 - Oct. 24) (BR. 09B) S-8 COMMUNICATION INTELLIGENCE CORP, 275 SHORELINE DR, STE 500, REDWOOD SHORES, CA, 94065, 6508027888 - 50,000,000 ($2,275,000.00) Equity, (File 333-184581 - Oct. 24) (BR. 03C) S-8 TOMPKINS FINANCIAL CORP, PO BOX 460 THE COMMONS, ITHACA, NY, 14851, 6072733210 - 100,000 ($3,993,000.00) Equity, (File 333-184582 - Oct. 24) (BR. 07C) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
8X8 INC /DE/ DE 2.02,9.01 10/24/12
ABAXIS INC CA 8.01 10/23/12
ACADIA REALTY TRUST MD 8.01 10/23/12
Activision Blizzard, Inc. DE 5.02 10/18/12
AirTouch Communications, Inc. DE 1.01,2.03,3.02 10/19/12
AKAMAI TECHNOLOGIES INC DE 2.02,9.01 10/24/12
ALBANY MOLECULAR RESEARCH INC DE 5.02 10/19/12
ALEXION PHARMACEUTICALS INC DE 2.02,9.01 10/24/12
ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 10/24/12
Allegiant Travel CO NV 2.02,9.01 10/24/12
Alliance Petroleum Corp NV 1.01,3.02,5.01,5.02, 10/23/12
9.01
Ally Auto Assets LLC DE 1.01,8.01,9.01 10/24/12
ALTAIR NANOTECHNOLOGIES INC Z4 1.01,2.03 10/19/12
Amarantus BioSciences, Inc. DE 1.01 10/17/12
AMBASSADORS GROUP INC DE 2.02,8.01,9.01 09/30/12
Ameresco, Inc. DE 2.03 10/19/12
AMERICAN ELECTRIC POWER CO INC NY 2.02,9.01 10/24/12
AMERICAN HOME ALLIANCE CORP DE 4.02 10/24/12
AMERICAN PETRO-HUNTER INC NV 5.02,8.01,9.01 10/21/12
American Realty Capital Global Trust, 8.01 10/24/12
American Realty Capital Trust III, In MD 8.01 10/22/12
AMERIPRISE FINANCIAL INC DE 2.02,9.01 10/24/12
Ameris Bancorp GA 2.02,9.01 10/23/12
Anchor Bancorp WA 2.02,9.01 10/24/12
Angie's List, Inc. DE 2.02,9.01 10/24/12
ARBITRON INC DE 2.02,9.01 10/24/12
Ares Commercial Real Estate Corp MD 7.01,9.01 10/24/12
ARIAD PHARMACEUTICALS INC DE 8.01,9.01 10/24/12
ARRIS GROUP INC DE 2.02,9.01 10/24/12
ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 10/24/12
ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 10/23/12
ASSOCIATED ESTATES REALTY CORP OH 1.01,2.03,9.01 10/24/12
ASSURANT INC 2.02,9.01 10/24/12
AT&T INC. DE 2.02,9.01 10/24/12
AT&T INC. DE 8.01,9.01 10/24/12
ATMI INC DE 2.02,9.01 10/24/12
AVALONBAY COMMUNITIES INC MD 2.02,9.01 10/24/12
Avery Dennison Corp DE 2.02,9.01 10/24/12
AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 10/18/12
AWARE INC /MA/ MA 2.02,9.01 10/24/12
BAKERS FOOTWEAR GROUP INC MO 1.02 10/18/12
BANNER CORP WA 2.02,9.01 10/24/12
BARNES & NOBLE INC DE 8.01,9.01 10/24/12
BARRETT BUSINESS SERVICES INC MD 2.02,9.01 10/23/12
Bergio International, Inc. DE 1.01,9.01 10/18/12
BEST BUY CO INC MN 5.02,7.01,9.01 10/24/12
Bioflamex Corp NV 1.01,1.02,2.01,3.02, 07/16/12 AMEND
5.01,5.02,9.01
Bluerock Enhanced Multifamily Trust, MD 1.01,2.01,2.03 10/18/12
BOEING CAPITAL CORP DE 2.02,9.01 10/24/12
BOEING CO DE 2.02,9.01 10/24/12
BOSTON PROPERTIES INC DE 2.02,9.01 10/23/12
BOSTON PROPERTIES LTD PARTNERSHIP DE 2.02,9.01 10/23/12
BRINKER INTERNATIONAL INC DE 2.02,9.01 10/24/12
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 10/24/12
BROADVISION INC DE 2.02,9.01 10/24/12
BUCKEYE TECHNOLOGIES INC DE 2.02,7.01,9.01 10/23/12
BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 10/23/12
CACHE INC FL 2.02,9.01 10/04/12
CADENCE DESIGN SYSTEMS INC DE 2.02,9.01 10/24/12
CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,5.07,7.01,9.01 10/23/12
CAMERON INTERNATIONAL CORP DE 5.03,5.05,9.01 10/18/12
CAPITAL SENIOR LIVING CORP DE 2.01,7.01,9.01 10/23/12
CAPITAL SOUTHWEST CORP TX 8.01,9.01 10/24/12
CARPENTER TECHNOLOGY CORP DE 2.02,9.01 10/23/12
CELADON GROUP INC DE 2.02,9.01 10/23/12
CEMPRA, INC. DE 1.01,9.01 10/18/12 AMEND
CENTERLINE HOLDING CO DE 1.01,9.01 10/19/12
CenterState Banks, Inc. FL 2.02,9.01 10/24/12
CENTRAL BANCORP INC /MA/ MA 8.01,9.01 10/19/12
CH ENERGY GROUP INC NY 1.01,2.03,9.01 10/19/12
Chanticleer Holdings, Inc. DE 7.01,9.01 10/24/12
Chanticleer Holdings, Inc. DE 4.01,4.02,9.01 09/10/12 AMEND
CHEESECAKE FACTORY INC DE 2.02,7.01,9.01 10/22/12
China Energy CORP 4.02,9.01 10/09/12 AMEND
China Energy Recovery, Inc. DE 1.01 10/22/12
China TransInfo Technology Corp. NV 8.01 10/24/12
CITIZENS HOLDING CO /MS/ MS 2.02,7.01,9.01 10/23/12
CITRIX SYSTEMS INC DE 2.02,9.01 10/24/12
Clearwater Paper Corp DE 2.02,9.01 10/24/12
CNA FINANCIAL CORP DE 5.03,9.01 10/24/12
CNB CORP /MI/ MI 5.02,8.01,9.01 10/23/12
COEUR D ALENE MINES CORP ID 8.01 10/22/12
COHEN & STEERS INC DE 2.02,9.01 10/24/12
COLUMBUS MCKINNON CORP NY 1.01,2.03,9.01 10/19/12
COMMERCIAL METALS CO DE 2.02,9.01 10/24/12
COMMUNICATIONS SYSTEMS INC MN 8.01,9.01 10/23/12
COMMUNITY BANK SHARES OF INDIANA INC IN 2.02,9.01 10/24/12
COMMUNITY BANK SYSTEM INC DE 2.02,9.01 10/23/12
Community Partners Bancorp NJ 2.02,9.01 10/24/12
CONCURRENT COMPUTER CORP/DE DE 5.07 10/23/12
Copano Energy, L.L.C. 1.01,7.01,9.01 10/19/12
CORELOGIC, INC. DE 2.02,9.01 10/24/12
CORNING INC /NY NY 2.02,9.01 10/24/12
COSTAR GROUP INC DE 2.02,9.01 10/24/12
CRANE CO /DE/ DE 2.02,9.01 10/23/12 AMEND
Crexendo, Inc. DE 8.01,9.01 10/24/12
Crocs, Inc. 2.02,9.01 10/24/12
CROSSTEX ENERGY INC DE 7.01,9.01 10/22/12
CROSSTEX ENERGY LP DE 7.01,9.01 10/22/12
CTS CORP IN 2.02,9.01 10/23/12
CULLEN/FROST BANKERS, INC. TX 2.02,9.01 10/24/12
CVB FINANCIAL CORP CA 5.02,9.01 10/23/12
DELTA AIR LINES INC /DE/ DE 2.02,9.01 10/24/12
DELTIC TIMBER CORP DE 2.02,9.01 10/24/12
DICE HOLDINGS, INC. DE 2.02,9.01 10/24/12
DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 10/24/12
DOMINOS PIZZA INC 7.01,9.01 10/24/12
DONALDSON CO INC DE 7.01,9.01 10/23/12
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01,9.01 10/24/12
DOVER MOTORSPORTS INC DE 7.01,9.01 10/24/12
DOVER MOTORSPORTS INC DE 7.01,9.01 10/24/12 AMEND
DOW CHEMICAL CO /DE/ DE 2.05,2.06,8.01 10/23/12
DOW CHEMICAL CO /DE/ DE 2.02,9.01 10/23/12
Dr Pepper Snapple Group, Inc. DE 2.02,9.01 10/24/12
DTE ENERGY CO MI 2.02,7.01,9.01 10/23/12
DUMA ENERGY CORP NV 7.01,9.01 10/24/12
DUPONT FABROS TECHNOLOGY, INC. MD 2.02,7.01,9.01 10/24/12
DYAX CORP DE 2.02,9.01 10/24/12
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,8.01,9.01 10/24/12
EASTERN CO CT 2.02,7.01,9.01 10/24/12
ecoTECH Energy Group Inc. NV 3.01 09/20/12
Eloqua, Inc. 2.02,9.01 10/24/12
EMC CORP MA 2.02,9.01 10/24/12
Emerald Oil, Inc. MT 3.03,5.02,5.03,5.07, 10/22/12
8.01,9.01
Energy Future Holdings Corp /TX/ TX 1.01,2.03,9.01 10/23/12
Enertopia Corp. NV 1.01,3.02,7.01,9.01 10/24/12
ENOVA SYSTEMS INC CA 3.01 10/18/12
ENTEGRIS INC DE 1.02,2.02,5.02,9.01 10/22/12
EnteroMedics Inc 2.02,9.01 10/24/12
ENTROPIC COMMUNICATIONS INC DE 2.02,9.01 10/24/12
EPL OIL & GAS, INC. DE 1.01,7.01,9.01 10/18/12
EPOCRATES INC DE 5.02 10/23/12
EQUIFAX INC GA 2.02,9.01 10/24/12
EURONET WORLDWIDE INC DE 2.02,9.01 10/23/12
EverBank Financial Corp DE 2.02,7.01,9.01 10/24/12
EVEREST RE GROUP LTD D0 2.02,9.01 10/24/12
EXAR CORP DE 2.02,9.01 10/24/12
Excel Trust, Inc. MD 8.01 10/24/12
EXELON CORP PA 7.01 10/24/12
F&M BANK CORP VA 2.02,9.01 10/16/12
F5 NETWORKS INC WA 2.02,9.01 10/24/12
FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 10/24/12
FBR & Co. VA 2.02,9.01 10/23/12
FIFTH THIRD BANCORP OH 1.01,2.03 10/19/12
FINANCIAL INSTITUTIONS INC NY 2.02,9.01 10/24/12
FIRST BANCORP /NC/ NC 2.02,8.01,9.01 10/24/12
FIRST BANCSHARES INC /MS/ MS 2.02,7.01,9.01 10/23/12
First Clover Leaf Financial Corp. MD 8.01,9.01 10/24/12
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,7.01,9.01 10/24/12
FLAG INTERMEDIATE HOLDINGS Corp DE 8.01,9.01 10/24/12
FLAGSTAR BANCORP INC MI 1.01,7.01,9.01 10/23/12
FLAGSTAR BANCORP INC MI 2.02,7.01,9.01 10/23/12
FLATBUSH FEDERAL BANCORP INC 5.07 10/24/12
FLORIDA GAMING CORP DE 5.02,8.01 10/18/12
FLUSHING FINANCIAL CORP DE 2.02,9.01 10/23/12
Flux Power Holdings, Inc. NV 9.01 06/14/12 AMEND
FNB CORP/FL/ FL 1.01,9.01 10/22/12
FONU2 Inc. NV 1.01,4.02,5.03,9.01 10/22/12
FOREST OIL CORP NY 5.02,8.01,9.01 10/19/12
FS Energy & Power Fund DE 2.02,9.01 10/24/12
FS Investment CORP MD 2.02,9.01 10/24/12
FS Investment Corp II MD 2.02,9.01 10/24/12
FUELCELL ENERGY INC DE 3.01 10/19/12
FUSION-IO, INC. DE 2.02,9.01 10/24/12
GASCO ENERGY INC NV 7.01,9.01 10/23/12
GENERAL DYNAMICS CORP DE 2.02,9.01 10/24/12
Georgia-Carolina Bancshares, Inc GA 2.02,9.01 10/24/12
GILMAN CIOCIA, INC. DE 4.01,9.01 10/24/12
GlyEco, Inc. NV 3.02,7.01,8.01 10/19/12
GOLDMAN SACHS GROUP INC DE 3.03,5.03,8.01,9.01 10/24/12
GRANITE CITY FOOD & BREWERY LTD. MN 5.07 10/23/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 10/19/12
GREAT SOUTHERN BANCORP INC MD 2.02,9.01 10/23/12
Guar Global Ltd. NV 5.02 10/22/12
GUIDED THERAPEUTICS INC DE 7.01,9.01 10/24/12
GULF ISLAND FABRICATION INC LA 5.02 10/21/12
Hatteras Financial Corp 2.02,9.01 10/23/12
HEALTH REVENUE ASSURANCE HOLDINGS, IN NV 4.01,9.01 10/18/12
HEALTHSTREAM INC TN 7.01,9.01 10/22/12
Heavy Earth Resources, Inc. FL 5.02,9.01 10/23/12
Heckmann Corp DE 8.01,9.01 10/24/12
Heckmann Corp DE 2.02 10/24/12
HICKORY TECH CORP MN 2.02,4.02,9.01 10/18/12
High Plains Gas, Inc. NV 5.02 10/24/12
Hill International, Inc. DE 1.01,2.03,7.01,8.01, 10/18/12
9.01
HOME BANCORP, INC. LA 2.02,9.01 10/23/12
HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 10/24/12
HUDSON CITY BANCORP INC DE 2.02,9.01 07/25/12
HUDSON VALLEY HOLDING CORP NY 2.02,9.01 10/24/12
IAC/INTERACTIVECORP DE 2.02,7.01 10/24/12
IBERIABANK CORP LA 2.02,7.01,9.01 10/23/12
IBERIABANK CORP LA 7.01 10/24/12
IBERIABANK CORP LA 2.02,7.01,9.01 10/23/12 AMEND
IDT CORP DE 8.01,9.01 10/23/12
IMATION CORP DE 2.02,2.05,9.01 10/22/12
INDEPENDENT BANK CORP /MI/ MI 5.02 10/24/12
INFINERA CORP DE 2.02,9.01 10/24/12
Inland Real Estate Income Trust, Inc. MD 1.01,9.01 10/18/12
Inland Real Estate Income Trust, Inc. MD 7.01,9.01 10/24/12
InspireMD, Inc. DE 7.01,9.01 10/24/12
Insulcrete, Inc. DE 4.02 10/24/12
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 10/24/12
Intellicell Biosciences, Inc. NV 1.01,1.02,3.02,3.03, 07/20/12
5.03,8.01,9.01
InterDigital, Inc. PA 2.02,9.01 10/24/12
INTERFACE INC GA 2.02,9.01 10/24/12
INTERSIL CORP/DE DE 2.02,7.01,9.01 10/24/12
IPARTY CORP DE 2.02,9.01 10/24/12
ITC Holdings Corp. MI 2.02,9.01 10/23/12
IXIA CA 2.02,9.01 10/24/12
JARDEN CORP DE 2.02,9.01 10/24/12
JMP Group Inc. DE 2.02,9.01 10/24/12
JONES GROUP INC PA 2.02,7.01,9.01 10/24/12
JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01,9.01 10/24/12
KAISER ALUMINUM CORP DE 8.01,9.01 10/24/12
KBR, INC. DE 2.02,9.01 10/24/12
KENNAMETAL INC PA 2.02,5.07,9.01 10/23/12
KIMBERLY CLARK CORP DE 2.02,2.05,2.06,9.01 10/23/12
KIMCO REALTY CORP MD 8.01,9.01 10/22/12
KNIGHT TRANSPORTATION INC AZ 2.02,9.01 10/24/12
LENNAR CORP /NEW/ DE 8.01 10/23/12
LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 10/24/12
LEXINGTON REALTY TRUST MD 2.03,3.02,8.01 10/22/12
LILLY ELI & CO IN 2.02,9.01 10/24/12
LITHIA MOTORS INC OR 2.02,8.01,9.01 10/24/12
LOCKHEED MARTIN CORP MD 2.02,9.01 10/24/12
LogMeIn, Inc. DE 2.02,9.01 10/24/12
LORILLARD, INC. DE 2.02,9.01 10/24/12
LSI CORP DE 2.02,9.01 10/24/12
Lumber Liquidators Holdings, Inc. 2.02,9.01 10/24/12
Lustros Inc. UT 1.01,9.01 10/21/12
MACK CALI REALTY CORP MD 8.01,9.01 10/23/12
MACROSOLVE INC OK 5.02,9.01 10/23/12
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 10/24/12
MAINSOURCE FINANCIAL GROUP IN 2.02,9.01 10/24/12
MARINE PRODUCTS CORP DE 2.02,9.01 10/24/12
MARINE PRODUCTS CORP DE 8.01,9.01 10/24/12
Mastech Holdings, Inc. PA 2.02,8.01,9.01 10/24/12
MATTSON TECHNOLOGY INC DE 2.02,9.01 10/24/12
MEDICINES CO /DE DE 2.02,9.01 10/24/12
MERU NETWORKS INC DE 2.02,5.02,9.01 10/24/12
METALS USA HOLDINGS CORP. DE 8.01,9.01 10/24/12
METLIFE INC DE 2.02,7.01,9.01 10/24/12
MGM Resorts International DE 1.01,2.03,9.01 10/22/12
MID PENN BANCORP INC PA 2.02,8.01,9.01 10/24/12
MINE SAFETY APPLIANCES CO PA 2.02,9.01 10/24/12
MIRENCO INC IA 5.02 10/24/12
MISSION BROADCASTING INC DE 1.01,2.02,7.01,9.01 10/23/12
MKS INSTRUMENTS INC MA 2.02,9.01 10/24/12
MOLINA HEALTHCARE INC DE 5.02 10/18/12
MONARCH CASINO & RESORT INC NV 2.02,9.01 10/24/12
Motorola Solutions, Inc. DE 2.02,9.01 10/24/12
MRC GLOBAL INC. DE 8.01,9.01 10/24/12
MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 10/24/12
MUELLER INDUSTRIES INC DE 5.02,8.01,9.01 10/24/12
MultiCell Technologies, Inc. DE 1.01,3.02,5.02,9.01 10/19/12
MusclePharm Corp NV 5.02,9.01 10/18/12
NABI BIOPHARMACEUTICALS DE 3.03,5.03,9.01 10/23/12
NABORS INDUSTRIES LTD D0 2.02,9.01 10/23/12
NASDAQ OMX GROUP, INC. DE 2.02,7.01,8.01,9.01 10/24/12
Naugatuck Valley Financial Corp 5.02,8.01,9.01 10/23/12
NBT BANCORP INC DE 2.02,9.01 10/22/12
Neutral Tandem Inc 5.02,8.01 10/23/12
NEW JERSEY RESOURCES CORP NJ 7.01,9.01 10/23/12
NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 10/24/12
NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 10/24/12
NEWS CORP 8.01,9.01 10/24/12
NEXSTAR BROADCASTING GROUP INC DE 1.01,2.02,7.01,9.01 10/23/12
NEXTERA ENERGY INC FL 2.02,9.01 10/24/12
NISSAN AUTO LEASING LLC II DE 1.01,9.01 10/17/12
Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 10/24/12
NORTHRIM BANCORP INC AK 2.02,9.01 10/23/12
NORTHROP GRUMMAN CORP /DE/ 2.02,9.01 10/23/12
NORTHWESTERN CORP DE 2.02,9.01 10/24/12
NUVASIVE INC DE 2.02,9.01 10/24/12
OLD SECOND BANCORP INC DE 2.02,9.01 10/24/12
Omega Flex, Inc. PA 2.02,7.01,9.01 10/24/12
Orchids Paper Products CO /DE DE 2.02,8.01,9.01 10/24/12
Orexigen Therapeutics, Inc. DE 2.02 10/24/12
ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 10/24/12
ORTHOFIX INTERNATIONAL N V 2.02,9.01 10/24/12
OSIRIS THERAPEUTICS, INC. DE 5.02 10/22/12
Owens Corning DE 2.02,9.01 10/24/12
OWENS ILLINOIS INC /DE/ DE 2.02,9.01 10/24/12
OXIS INTERNATIONAL INC DE 7.01,9.01 10/24/12
PACIFIC CAPITAL BANCORP /CA/ DE 2.02,9.01 10/24/12
PACIFIC CONTINENTAL CORP OR 8.01,9.01 10/23/12
PACIFIC WEBWORKS INC NV 5.02 10/22/12
PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 10/24/12
Panex Resources Inc. NV 5.02 10/22/12
PDF SOLUTIONS INC DE 2.02,9.01 10/24/12
PEAPACK GLADSTONE FINANCIAL CORP NJ 5.02,9.01 10/18/12
PENNS WOODS BANCORP INC PA 1.01,9.01 10/18/12
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 10/24/12
PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 10/24/12
PETMED EXPRESS INC FL 8.01,9.01 10/22/12
PetroLogistics LP DE 2.02,9.01 10/24/12
PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 10/24/12
PLEXUS CORP WI 2.02 10/24/12
POLYONE CORP 8.01,9.01 10/24/12
POLYONE CORP 2.02,9.01 10/24/12
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 10/24/12
PRAXAIR INC DE 2.02,9.01 10/24/12
PRIVATEBANCORP, INC DE 8.01,9.01 10/24/12
PROSPERITY BANCSHARES INC TX 2.02,9.01 10/24/12
PUMA BIOTECHNOLOGY, INC. DE 1.01,3.01,8.01,9.01 10/18/12
PVR PARTNERS, L P DE 2.02,7.01,9.01 10/24/12
Pzena Investment Management, Inc. DE 2.02,9.01 09/30/12
QLIK TECHNOLOGIES INC DE 8.01 10/19/12
QLT INC/BC A1 5.02,8.01,9.01 10/24/12
QNB CORP PA 2.02,9.01 10/24/12
QUANTUM CORP /DE/ DE 2.02,9.01 10/24/12
RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 10/24/12
REDFIN NETWORK, INC. NV 3.02,5.02,5.03,9.01 10/18/12
REGENERON PHARMACEUTICALS INC NY 2.02,9.01 10/24/12
REGENERX BIOPHARMACEUTICALS INC DE 1.01,2.03,3.02,7.01, 10/19/12
9.01
REPUBLIC FIRST BANCORP INC PA 2.02,9.01 10/23/12
RESPECT YOUR UNIVERSE, INC. NV 5.02,9.01 10/18/12
Reven Housing REIT, Inc. CO 1.01,2.03,3.02,9.01 10/18/12
Rock Energy Resources, Inc. DE 7.01,9.01 10/24/12
Rockville Financial, Inc. /CT/ CT 7.01,9.01 10/24/12
ROCKY BRANDS, INC. OH 2.02,9.01 10/24/12
ROLLINS INC DE 8.01,9.01 10/23/12
ROLLINS INC DE 2.02,9.01 10/24/12
RPC INC DE 2.02,9.01 10/24/12
RPC INC DE 8.01,9.01 10/24/12
RURBAN FINANCIAL CORP OH 2.02,8.01,9.01 10/18/12
RYLAND GROUP INC MD 2.02,9.01 10/24/12
S Y BANCORP INC KY 2.02,9.01 10/23/12
SANDISK CORP DE 5.02,9.01 10/23/12
SANGAMO BIOSCIENCES INC DE 2.02,9.01 10/24/12
SAUER DANFOSS INC DE 2.02,9.01 10/24/12
SBT Bancorp, Inc. CT 2.02,9.01 10/24/12
SCHULMAN A INC DE 2.02,9.01 10/24/12
SCOLR Pharma, Inc. DE 1.01 10/19/12
SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 10/24/12
SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 10/24/12
ServiceNow, Inc. CA 2.02,9.01 10/24/12
SERVOTRONICS INC /DE/ DE 2.01,9.01 10/23/12
SI Financial Group, Inc. 2.02,9.01 10/24/12
SIGNET JEWELERS LTD 7.01 10/24/12
SILICON LABORATORIES INC DE 2.02,9.01 10/24/12
Silverton Adventures, Inc. NV 4.02 10/23/12
SIONIX CORP NV 5.01 10/10/12
SIONIX CORP NV 5.02 10/10/12 AMEND
Six Flags Entertainment Corp 2.02,9.01 10/24/12
SKECHERS USA INC DE 2.02,9.01 10/24/12
SM Energy Co DE 5.02,9.01 09/28/12
Solar Power, Inc. CA 1.01,9.01 10/18/12
SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 10/22/12
SPARTAN STORES INC MI 2.02,9.01 10/24/12
Spectra Energy Partners, LP DE 1.01,3.02,7.01,9.01 10/23/12
Spicy Gourmet Manufacturing, Inc. DE 2.01,5.03,9.01 10/20/12
ST JUDE MEDICAL INC MN 8.01 10/24/12
Steadfast Income REIT, Inc. MD 7.01,9.01 10/19/12
STEINER LEISURE Ltd C5 2.02,9.01 10/24/12
STEPAN CO DE 2.02,8.01,9.01 10/24/12
STERICYCLE INC DE 2.02,9.01 10/24/12
SunCoke Energy, Inc. 2.02,7.01,9.01 10/24/12
Support.com, Inc. DE 2.02,9.01 10/24/12
SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 10/24/12
SWIFT ENERGY CO 1.01,2.03,9.01 10/18/12
SYMANTEC CORP DE 5.02,5.07 10/23/12
SYMANTEC CORP DE 2.02,9.01 10/24/12
Symetra Financial CORP DE 2.02,9.01 10/24/12
SYMMETRICOM INC DE 2.02,2.05,9.01 10/22/12
Synacor, Inc. DE 2.02,9.01 10/24/12
SYNERGY RESOURCES CORP CO 1.01 10/18/12
SYNNEX CORP DE 1.01,9.01 10/18/12
SYNTHESIS ENERGY SYSTEMS INC DE 5.02,8.01,9.01 10/23/12
TAL International Group, Inc. DE 2.02,9.01 10/24/12
TANGOE INC DE 9.01 08/08/12 AMEND
TAPIMMUNE INC NV 1.01,2.03,3.02,9.01 10/24/12
TAUBMAN CENTERS INC MI 2.02,9.01 10/24/12
TELETOUCH COMMUNICATIONS INC DE 8.01 10/19/12
TENNANT CO MN 2.02,9.01 10/24/12
TEREX CORP DE 2.02,7.01,9.01 10/24/12
THERAVANCE INC DE 8.01,9.01 10/24/12
THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 10/24/12
THERMOGENESIS CORP DE 1.01,9.01 08/20/12 AMEND
THOR INDUSTRIES INC DE 5.02 10/22/12
TITAN INTERNATIONAL INC IL 2.02,9.01 10/24/12
Tonix Pharmaceuticals Holding Corp. NV 8.01,9.01 10/24/12
TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 09/29/12
TORCHMARK CORP DE 2.02,9.01 10/24/12
TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 10/24/12
Transocean Ltd. V8 5.02,8.01,9.01 10/23/12
TRIG ACQUISITION 1, INC NV 1.01,2.01,3.02,5.01, 10/18/12
5.02,5.06,9.01
TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 10/24/12
TrueBlue, Inc. WA 2.02,9.01 10/24/12
TUPPERWARE BRANDS CORP DE 2.02,9.01 10/24/12
Uni-Pixel DE 8.01,9.01 10/24/12
UNION CARBIDE CORP /NEW/ NY 2.05,2.06 10/22/12
United Community Bancorp X1 2.02,9.01 10/23/12
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 10/24/12
UNIVERSAL TECH CORP DE 2.03,9.01 10/10/12
UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 10/24/12
US AIRWAYS GROUP INC DE 2.02,9.01 10/24/12
US AIRWAYS GROUP INC DE 7.01,9.01 10/24/12
US TUNGSTEN CORP. 1.01,9.01 10/01/12
USANA HEALTH SCIENCES INC UT 8.01,9.01 10/24/12
VIRGIN MEDIA INC. DE 8.01,9.01 10/24/12
VISA INC. DE 5.02,9.01 10/23/12
VISA INC. DE 8.01,9.01 10/24/12
W R GRACE & CO DE 2.02,9.01 10/24/12
WEBMEDIABRANDS INC. DE 2.02,9.01 10/24/12
WESBANCO INC WV 2.02,9.01 10/23/12
WESTERN ALLIANCE BANCORPORATION NV 8.01 10/24/12
WHITING PETROLEUM CORP DE 2.02,9.01 10/24/12
WILLIS GROUP HOLDINGS PLC L2 2.02,2.06,9.01 10/23/12
World Omni Auto Receivables Trust 201 DE 8.01,9.01 10/24/12
WYNDHAM WORLDWIDE CORP DE 2.02,9.01 10/24/12
WYNN RESORTS LTD 2.02,7.01,8.01,9.01 10/24/12
XENOPORT INC DE 2.02,9.01 10/24/12
XOMA Corp DE 8.01,9.01 10/24/12
YAHOO INC DE 2.05 10/18/12
YELP INC DE 1.01,2.01,2.02,3.02, 10/23/12
9.01
YOUNG INNOVATIONS INC MO 2.02,9.01 10/23/12
ZYNGA INC DE 2.02,8.01,9.01 10/24/12
http://www.sec.gov/news/digest/2012/dig102512.htm
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