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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2013-17
January 25, 2013

Commission Announcements

Securities and Exchange Commission Suspends Trading in the Securities of Twenty-Two Issuers for Failure to Make Required Periodic Filings

The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on January 25, 2013 and terminating at 11:59 p.m. EST on February 7, 2013.

  • Largo Vista Group, Ltd. (LGOV)
  • Law Enforcement Associates Corp. (LAWEQ)
  • Matrixx Resource Holdings, Inc. (MXXH)
  • Medis Technologies Ltd. (MDTL)
  • Modern Medical Modalities Corp. (MODM)
  • Montavo, Inc. (MTVO)
  • Mortgage Assistance Center Corp. (MTGC)
  • National Datacomputer, Inc. (NDCP)
  • New Media Lottery Services, Inc. (NWMD)
  • OBN Holdings, Inc. (OBNI)
  • PrepaYd, Inc. (PPDC)
  • Ready Welder Corp. (RDYW)
  • Sino Shipping Holdings, Inc. (SSHZ)
  • Sino-Bon Entertainment, Inc. (SIBO)
  • Snowdon Resources Corp. (SWDO)
  • Sonnen Corp. (SONP)
  • Superior Oil & Gas Co. (SIOR)
  • Tamir Biotechnology, Inc. (ACEL)
  • TechMedia Advertising, Inc. (TECM)
  • Tekoil & Gas Corp. (TKGN)
  • Trend Mining Co. (TRDM)
  • Unico, Inc. (UNCO)

The Commission temporarily suspended trading in the securities of these twenty-two issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over a year. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).

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 these companies.

Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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 communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rels. 34-68726; 34-68728; 34-68730)

Commission Meetings

Closed Meeting on Thursday, January 31, 2013 at 2:00 p.m.

The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.

Enforcement Proceedings

Commission Orders Hearings on Registration Suspension or Revocation Against Twenty-Three Companies for Failure to Make Required Periodic Filings

In conjunction with these trading suspensions, the Commission today also instituted three public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of twenty-three companies for failure to make required periodic filings with the Commission:

In the Matter of Largo Vista Group, Ltd., et al., Administrative Proceeding File No. 3-15187

  • Largo Vista Group, Ltd. (LGOV)
  • Montavo, Inc. (MTVO)
  • OBN Holdings, Inc. (OBNI)
  • PrepaYd, Inc. (PPDC)
  • Ready Welder Corp. (RDYW)
  • Snowdon Resources Corp. (SWDO)

In the Matter of Medis Technologies Ltd., et al., Administrative Proceeding File No. 3-15185

  • Medis Technologies Ltd. (MDTL)
  • Modern Medical Modalities Corp. (MODM)
  • National Datacomputer, Inc. (NDCP)
  • New Media Lottery Services, Inc. (NWMD)
  • Sino-Bon Entertainment, Inc. (SIBO)
  • Tamir Biotechnology, Inc. (ACEL)
  • TechMedia Advertising, Inc. (TECM)

In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186

  • Law Enforcement Associates Corp. (LAWEQ)
  • Matrixx Resource Holdings, Inc. (MXXH)
  • Mortgage Assistance Center Corp. (MTGC)
  • MVP Network, Inc. (MVPN)
  • Sino Shipping Holdings, Inc. (SSHZ)
  • Sonnen Corp. (SONP)
  • Superior Oil & Gas Co. (SIOR)
  • Tekoil & Gas Corp. (TKGN)
  • Trend Mining Co. (TRDM)
  • Unico, Inc. (UNCO)

In these Orders, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission.

In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rels. 34-68727; 34-68729; 34-68731)

In the Matter of Nicolette D. Loisel

On January 25, 2013, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission's Rules of Practice (Order) against Nicolette D. Loisel, Esq. (Loisel). The Order finds that Loisel is an attorney, whom the State of Texas admitted to practice law in 1981, but whose license was suspended on September 1, 2012 for failure to pay bar dues and the attorney occupational tax. The Order also finds that on May 22, 2012, a jury returned a guilty verdict against Loisel on one count of conspiracy to commit wire fraud, in violation of 18 U.S.C. 371, in a proceeding before the United States District Court for the Middle District of Florida captioned United States v. Shoss, et al., Case # 8:11-cr-00366-T-30TBM. The criminal proceeding stemmed from Loisel’s activities in connection with four defunct, publicly-traded issuers during the period February 2005 through at least July 2006. The Order further finds that on December 20, 2012, a judgment of conviction was entered against Loisel and, as a result, Loisel was sentenced to 12 months and one day in federal prison, followed by 36 months of supervised release. The Order further finds that a final forfeiture money judgment, in the amount of $800,000, was also entered against Loisel. On the basis of the foregoing, the Order finds that Loisel has been convicted of a felony within the meaning of Rule 102(e) of the Commission’s Rules of Practice.

Based on the above, the Commission Order forthwith suspends Loisel from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. (Rel. 34-68738; File No. 3-15188)

Investment Company Act Releases

Orders of Deregistration Under the Investment Company Act of 1940

Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:

  • Yacktman Fund Inc. [File No. 811-6628]
    [Rel. No. IC-30355]
  • Dreyfus BASIC U.S. Government Money Market Fund [File No. 811-6606]
    [Rel. No. IC-30356]
  • Build America Bond Portfolio [File No. 811-22351]
    [Rel. No. IC-30357]
  • Global Growth Portfolio [File No. 811-7303]
    [Rel. No. IC-30358]
  • Multi-Sector Portfolio [File No. 811-22295]
    [Rel. No. IC-30359]
  • Eaton Vance National Municipal Income Trust [File No. 811-9143]
    [Rel. No. IC-30360]
  • Cash Management Portfolio [File No. 811-8390]
    [Rel. No. IC-30361]
  • Bhirud Funds Inc. [File No. 811-6680]
    [Rel. No. IC-30362]
  • Tax Managed Mid Cap Core Portfolio [File No. 811-10597]
    [Rel. No. IC-30363]
  • Special Equities Portfolio [File No. 811-8594]
    [Rel. No. IC-30364]
  • Small-Cap Portfolio [File No. 811-9915
    [Rel. No. IC-30365]
  • Elite Group of Mutual Funds [File No. 811-4804]
    [Rel. No. IC-30366]
  • Delaware Investments Arizona Municipal Income Fund, Inc. [File No. 811-7412]
    [Rel. No. IC-30367]
  • Delaware Group Tax Free Money Fund [File No. 811-3120]
    [Rel. No. IC-30368]

Washington National Variable Annuity Fund A

An order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Washington National Variable Annuity Fund A has ceased to be an investment company. (Rel. IC-30369 – January 23)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NYSE MKT LLC to extend the temporary suspension of those aspects of Rules 36.20 - Equities and 36.21 - Equities that would not permit Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of hurricane Sandy until the earlier of when phone service is fully restored or Friday, February 15, 2013 (SR-NYSEMKT-2013-06) 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 January 28. (Rel. 34-68705)

A proposed rule change filed by New York Stock Exchange LLC amending NYSE rule 107C to allow retail liquidity providers to enter retail price improvement orders in a non-RLP capacity for securities to which the RLP is not assigned (SR-NYSE-2013-04) 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 January 28. (Rel. 34-68709)

 A proposed rule change filed by NYSE MKT LLC amending rule 107C - equities to allowretail liquidity providers to enter retail price improvement orders in a non-RLP capacity for securities to which the RLP is not assigned (SR-NYSEMKT-2013-02) 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 January 28. (Rel. 34-68710)

A proposed rule change (SR-MIAX-2013-01) filed by Miami International Securities Exchange LLC to amend the MIAX Options Fee Schedule 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 January 28. (Rel. 34-68711)

A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-01) relating to fees for EdgeBook Attributed has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68713)

A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-01) relating to fees for EdgeBook Attributed has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68714)

A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees (SR-BX-2013-005) 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 January 28. (Rel. 34-68717)

A proposed rule change filed by The NASDAQ Stock Market LLC relating to routing fees (SR-NASDAQ-2013-010) 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 January 28. (Rel. 34-68718)

The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BX-2013-006) filed by NASDAQ OMX BX, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to Mini Options. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68719)

The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NASDAQ-2013-011) filed by The NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to Mini Options. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68720)

A proposed rule change filed by The NASDAQ Stock Market LLC to amend Rule 5710 (SR-NASDAQ-2013-008) 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 January 28. (Rel. 34-68721)

A proposed rule change (SR-MIAX-2013-02) filed by the Miami International Securities Exchange LLC. to adopt MIAX Rule 319 relating to proxy voting 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 January 28. (Rel. 34-68723)

New York Stock Exchange LLC has filed with the Securities and Exchange Commission a proposed change (SR-NYSE-2013-03) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending Rule 440B to provide how the Trigger Price will be calculated if trading is interrupted because of a systems or technical issue and is not restored during the trading day. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68724)

Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change

The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2012-090) filed by The NASDAQ Stock Market, LLC, to amend Rule 4626—Limitation of Liability. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68707)

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-NYSEArca-2012-131) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68708)

The Commission approved a proposed rule change (SR-OCC-2012-23) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to accommodate certain physically-settled options on U.S. Treasury securities. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68712)

The Commission approved a proposed rule change (SR-NYSEARCA-2012-133) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending NYSE Arca Equities Rule 7.31(h)(7) to permit PL Select Orders to interact with incoming orders larger than the size of the PL Select Order. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68725)

SECURITIES ACT REGISTRATIONS

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-3ASR  First American Financial Corp, 1 FIRST AMERICAN WAY, SANTA ANA, CA, 
        92707, 714-250-3000 - 0 ($0.00) Debt, (File 333-186166 - Jan. 24) 
        (BR. 01A)

S-1     Daniels Corporate Advisory Company, Inc., 
        104-60 QUEENS BLVD, SUITE 12-B, FOREST HILLS, NY, 11375, 372-242-3148 - 
        4,801,069 ($4,901.07) Equity, (File 333-186169 - Jan. 24) (BR. 08C)

S-8     MERIDIAN INTERSTATE BANCORP INC, 10 MERIDIAN STREET, EAST BOSTON, MA, 
        02128, 617-567-1500 - 1 ($1.00) Equity, (File 333-186170 - Jan. 24) 
        (BR. 07C)

S-3ASR  FIRST HORIZON NATIONAL CORP, 165 MADISON AVENUE, MEMPHIS, TN, 38103, 
        9018186232 - 0 ($0.00) Other, (File 333-186171 - Jan. 24) (BR. 07C)

S-8     UGI CORP /PA/, 460 N GULPH RD, P O BOX 858, KING OF PRUSSIA, PA, 19406, 
        6103371000 - 0 ($487,490,000.00) Equity, (File 333-186178 - Jan. 24) 
        (BR. 02B)

S-8     AFFYMAX INC, 4001 MIRANDA AVE, PALO ALTO, CA, 94304, 650-812-8700 - 
        0 ($32,500,125.00) Equity, (File 333-186180 - Jan. 24) (BR. 01A)

S-3     Ocean Power Technologies, Inc., 1590 REED ROAD, PENNINGTON, NJ, 08534, 
        609-730-0400 - 0 ($40,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-186181 - Jan. 24) (BR. 02B)

S-3D    Corporate Property Associates 17 - Global INC, 50 ROCKEFELLER PLAZA, 
        NEW YORK, NY, 10020, 212-492-1100 - 0 ($1,900,000,000.00) Equity, 
        (File 333-186182 - Jan. 24) (BR. 08B)

S-8     MICROS SYSTEMS INC, 7031 COLUMBIA GATEWAY DRIVE, COLUMBIA, MD, 
        21046-2289, 4432856000 - 1,200,000 ($52,020,000.00) Equity, 
        (File 333-186183 - Jan. 24) (BR. 03B)

S-8     Norwegian Cruise Line Holdings Ltd., 7665 CORPORATE DRIVE, MIAMI, FL, 
        33126, 305-436-4000 - 15,035,106 ($373,171,330.92) Other, 
        (File 333-186184 - Jan. 24) (BR. 05B)

S-8     TEKMIRA PHARMACEUTICALS Corp, 100-8900 GLENLYON PARKWAY, BURNABY, A1, 
        V5J 5J8, 604-419-3200 - 0 ($9,731,517.00) Equity, (File 333-186185 - 
        Jan. 24) (BR. 01A)

S-8     CyrusOne Inc., 1649 W. FRANKFORD RD., CARROLLTON, TX, 75007, 
        214-488-1365 - 0 ($85,360,000.00) Equity, (File 333-186186 - Jan. 24) 
        (BR. 08C)

S-8     SCOTTS MIRACLE-GRO CO, 14111 SCOTTSLAWN ROAD, MARYSVILLE, OH, 43041, 
        9376440011 - 3,600,000 ($160,668,000.00) Equity, (File 333-186187 - 
        Jan. 24) (BR. 05C)

RECENT 8K FILINGS

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------

3M CO                                   DE       2.02,9.01            01/24/13

8X8 INC /DE/                            DE       2.02,9.01            01/24/13

99 CENTS ONLY STORES                    CA       5.02,9.01            01/23/13

99 CENTS ONLY STORES                    CA       8.01,9.01            01/23/13

ACADIA PHARMACEUTICALS INC              DE       5.02                 01/18/13

ACCESS NATIONAL CORP                    VA       2.02,7.01,9.01       01/22/13

ACORDA THERAPEUTICS INC                          8.01,9.01            01/24/13

AFS SenSub Corp.                                 8.01,9.01            01/24/13

AIRGAS INC                              DE       2.02,9.01            01/24/13

ALASKA AIR GROUP, INC.                  DE       2.02,7.01,9.01       01/23/13

Alliance Bancorp, Inc. of Pennsylvani   PA       2.02,9.01            01/23/13

AMERICAN INTERNATIONAL GROUP INC        DE       7.01,9.01            01/23/13

AMERICAN NATIONAL BANKSHARES INC        VA       8.01,9.01            10/18/12

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       8.01,9.01            01/24/13

AMERICAN RIVER BANKSHARES               CA       2.02,9.01            01/24/13

American Strategic Minerals Corp        NV       2.01,3.02,5.02,9.01  11/14/12    AMEND

American Water Works Company, Inc.      DE       2.02,7.01,9.01       01/24/13

Americas Diamond Corp.                  NV       1.01,5.02,9.01       01/23/13

AMERISOURCEBERGEN CORP                  DE       2.02,9.01            01/24/13

AMETEK INC/                             DE       2.02,9.01            01/24/13

AMPAL-AMERICAN ISRAEL CORP              NY       3.01,9.01            01/24/13

AMPHENOL CORP /DE/                      DE       2.02,5.02,9.01       01/24/13

ARIAD PHARMACEUTICALS INC               DE       1.01,8.01,9.01       01/24/13

Ascend Acquisition Corp.                DE       1.01,8.01,9.01       01/07/13

ASSOCIATED ESTATES REALTY CORP          OH       5.02,7.01,9.01       01/21/13

ASTORIA FINANCIAL CORP                  DE       2.02,8.01,9.01       01/23/13

AT&T INC.                               DE       2.02,9.01            01/24/13

AT&T INC.                               DE       8.01,9.01            01/23/13

ATLANTIC TELE NETWORK INC /DE           DE       1.01,9.01            01/21/13

Augme Technologies, Inc.                DE       5.02,7.01,9.01       01/21/13

AVNET INC                               NY       2.02,9.01            01/24/13

AVX Corp                                DE       2.02,9.01            01/24/13

BANCORPSOUTH INC                        MS       2.02,7.01,9.01       01/23/13

BAXTER INTERNATIONAL INC                DE       2.02,9.01            01/24/13

Bazaarvoice Inc                         DE       5.02,7.01,9.01       01/23/13

BEST BUY CO INC                         MN       7.01,9.01            01/24/13

BG Medicine, Inc.                       DE       1.01,2.02,3.02,8.01, 01/24/13
                                                 9.01
          
Big Tree Group, Inc.                    CO       8.01,9.01            01/23/13

BLUEGREEN CORP                          MA       7.01,8.01,9.01       01/22/13

BMW Vehicle Lease Trust 2013-1                   8.01,9.01            01/24/13

BMW Vehicle Lease Trust 2013-1                   1.01,9.01            01/16/13

BNC BANCORP                             NC       8.01,9.01            01/22/13

BOEING CAPITAL CORP                     DE       1.02,9.01            01/24/13

BOSTON PROPERTIES INC                   DE       5.02                 01/24/13

BOSTON PROPERTIES LTD PARTNERSHIP       DE       5.02                 01/24/13

Bridge Capital Holdings                 CA       2.02,9.01            01/24/13

BRIGGS & STRATTON CORP                  WI       2.02,9.01            01/24/13

BRISTOL MYERS SQUIBB CO                 DE       2.02,9.01            01/24/13

BRUNSWICK CORP                          DE       2.02,9.01            01/24/13

BRYN MAWR BANK CORP                     PA       2.02,9.01            01/24/13

CABOT MICROELECTRONICS CORP             DE       2.02,9.01            01/24/13

CALIFORNIA FIRST NATIONAL BANCORP       CA       2.02,7.01,9.01       01/23/13

CapLease, Inc.                                   1.01,3.03,5.03,9.01  01/17/13

Caribou Coffee Company, Inc.            MN       3.01,3.02,3.03,5.01, 01/23/13
                                                 5.02,5.03,8.01,9.01
        
CASH AMERICA INTERNATIONAL INC          TX       2.02,7.01,8.01,9.01  01/17/13

CASS INFORMATION SYSTEMS INC            MO       2.02,8.01,9.01       01/24/13

CELADON GROUP INC                       DE       2.02,9.01            01/23/13

CELGENE CORP /DE/                       DE       2.02,9.01            01/24/13

CENTURY NEXT FINANCIAL Corp             LA       5.02                 01/22/13

CEPHEID                                 CA       2.02,9.01            01/24/13

Chefs' Warehouse, Inc.                  DE       5.02,9.01            01/21/13

CIGNA CORP                              DE       7.01                 01/24/13

CIRRUS LOGIC INC                        DE       2.02,7.01,9.01       01/24/13

CITIZENS & NORTHERN CORP                PA       8.01,9.01            01/24/13

CITIZENS HOLDING CO /MS/                MS       2.02,7.01,9.01       01/23/13

CITY NATIONAL CORP                      DE       2.02,9.01            01/24/13

CKE RESTAURANTS INC                     DE       8.01                 01/24/13

Clearfield, Inc.                        MN       2.02,9.01            01/24/13

Clearwater Paper Corp                   DE       1.01,1.02,2.03,8.01, 01/17/13
                                                 9.01
          
CLIFFS NATURAL RESOURCES INC.           OH       2.02,2.06,9.01       01/23/13

CLOUD PEAK ENERGY INC.                  DE       7.01,8.01,9.01       01/24/13

CNS RESPONSE, INC.                      DE       8.01                 01/23/13

COBIZ FINANCIAL INC                     CO       2.02,9.01            01/24/13

COHERENT INC                            DE       2.02,9.01            01/24/13

Cole Credit Property Trust II Inc       MD       1.01,9.01            01/22/13

Cole Credit Property Trust II Inc       MD       8.01                 01/23/13

COLONIAL PROPERTIES TRUST               AL       2.02,7.01,9.01       01/24/13

Colorado Gold Mines, Inc.                        5.03                 01/22/13

COLUMBIA BANKING SYSTEM INC             WA       2.02,8.01,9.01       01/24/13

COMMUNITY BANK SHARES OF INDIANA INC    IN       8.01,9.01            01/22/13

Community Partners Bancorp              NJ       8.01,9.01            01/24/13

Computer Graphics International Inc.    NV       4.01,9.01            01/21/13

COVANCE INC                             DE       2.02,9.01            01/24/13

CROWN CASTLE INTERNATIONAL CORP         DE       2.02,9.01            01/23/13

CUBIST PHARMACEUTICALS INC              DE       7.01                 01/23/13

CVR ENERGY INC                          DE       7.01,9.01            01/24/13

CVR ENERGY INC                          DE       1.01                 01/16/13    AMEND

CVR PARTNERS, LP                        DE       7.01,9.01            01/24/13

CVR Refining, LP                        DE       1.01                 01/16/13    AMEND

CYPRESS SEMICONDUCTOR CORP /DE/         DE       2.02,9.01            01/24/13

DAEGIS INC.                             DE       5.02,9.01            01/17/13

DATAWATCH CORP                          DE       5.02                 01/17/13

DELUXE CORP                             MN       2.02,9.01            01/24/13

DELUXE CORP                             MN       8.01                 01/24/13

DFC GLOBAL CORP.                        DE       2.02,9.01            01/24/13

DIEBOLD INC                             OH       2.02,5.02,9.01       01/19/13

DIGI INTERNATIONAL INC                  DE       2.02,9.01            01/24/13

DIME COMMUNITY BANCSHARES INC           DE       2.02,9.01            01/24/13

DISCOUNT DENTAL MATERIALS, INC.         NV       1.01,4.01,5.02,9.01  01/24/13

DNB FINANCIAL CORP /PA/                 PA       2.02,9.01            01/24/13

DOVER Corp                              DE       2.02,9.01            01/24/13

DOVER DOWNS GAMING & ENTERTAINMENT IN   DE       2.02,7.01,9.01       01/24/13

DOVER MOTORSPORTS INC                   DE       2.02,7.01,9.01       01/24/13

Dresser-Rand Group Inc.                 DE       5.02,9.01            01/18/13

DYNAMICS RESEARCH CORP                  MA       5.02                 01/17/13

E TRADE FINANCIAL Corp                  DE       2.02,9.01            01/24/13

Eagle Bancorp Montana, Inc.                      2.02,9.01            01/24/13

ELECTRONICS FOR IMAGING INC             DE       2.02,9.01            01/24/13

Emergency Medical Services CORP         DE       2.02,7.01,9.01       01/24/13

ENB Financial Corp                      PA       8.01,9.01            01/23/13

ENDEAVOUR INTERNATIONAL CORP            NV       8.01,9.01            01/24/13

ENDEAVOUR INTERNATIONAL CORP            NV       1.01,1.02,2.01,2.03, 05/31/12    AMEND
                                                 9.01
          
ENERGEN CORP                            AL       2.02,7.01,9.01       01/23/13

Energy Future Holdings Corp /TX/        TX       7.01                 01/22/13    AMEND

EnteroMedics Inc                                 8.01,9.01            12/20/12

ENTERPRISE BANCORP INC /MA/             MA       2.02,9.01            01/24/13

ENTERPRISE FINANCIAL SERVICES CORP      DE       2.02,9.01            01/24/13

EQT Corp                                PA       2.02,9.01            01/24/13

EQT Midstream Partners, LP              DE       2.02,9.01            01/24/13

F&M BANK CORP                           VA       2.02,9.01            01/24/13

FAIRCHILD SEMICONDUCTOR INTERNATIONAL   DE       2.02                 01/24/13

FAIRPOINT COMMUNICATIONS INC            DE       5.02,8.01            01/22/13

FARMERS CAPITAL BANK CORP               KY       2.02,8.01,9.01       01/23/13

Federal Home Loan Bank of Atlanta       X1       2.03                 01/18/13

Federal Home Loan Bank of Chicago       X1       2.03                 01/22/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            01/22/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            01/24/13

Federal Home Loan Bank of Indianapoli   X1       7.01,9.01            01/18/13

Federal Home Loan Bank of New York      X1       2.03,9.01            01/18/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            01/18/13

Federal Home Loan Bank of San Francis   X1       2.03                 01/18/13

FedFirst Financial Corp                          8.01,9.01            01/23/13

FIRST BANCORP /NC/                      NC       1.01,2.06,9.01       01/17/13

FIRST FINANCIAL BANCORP /OH/            OH       2.02,5.02,9.01       01/17/13

FIRST FINANCIAL HOLDINGS INC /DE/       DE       2.02,9.01            12/31/12

FIRST HORIZON NATIONAL CORP             TN       8.01,9.01            01/23/13

FIRST MERCHANTS CORP                    IN       2.02,9.01            12/31/12

FIRST MERCHANTS CORP                    IN       2.02,9.01            12/31/12

FIRST POTOMAC REALTY TRUST              MD       7.01,9.01            01/24/13

FLAGSTAR BANCORP INC                    MI       2.02,7.01,9.01       01/23/13

FLEXTRONICS INTERNATIONAL LTD.          U0       2.02,2.05,9.01       01/23/13

FLOWSERVE CORP                          NY       2.02,9.01            01/24/13

FNB CORP/FL/                            FL       8.01,9.01            01/17/13

FORTINET INC                                     5.02,9.01            01/24/13

GATX CORP                               NY       2.02,7.01,9.01       01/24/13

GLACIER BANCORP INC                     DE       2.02,9.01            01/24/13

Global Cash Access Holdings, Inc.       DE       5.02,9.01            01/18/13

Global Eagle Acquisition Corp.          DE       7.01,9.01            01/24/13

Global Security Agency Inc.             NV       8.01                 01/23/13

GRAINGER W W INC                        IL       2.02,9.01            01/24/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            12/31/12

Graystone Co                            DE       8.01                 01/24/13

GREAT AMERICAN ENERGY, INC.                      1.01,9.01            01/21/13

GREAT SOUTHERN BANCORP INC              MD       7.01                 01/24/13

GREENE COUNTY BANCORP INC               DE       2.02,9.01            01/24/13

GREENHILL & CO INC                      DE       2.02,9.01            01/23/13

GROUP 1 AUTOMOTIVE INC                  DE       7.01,9.01            01/22/13

GTJ REIT, Inc.                          MD       1.01,2.01,2.03,3.02, 01/17/13
                                                 5.02,9.01
     
HANCOCK HOLDING CO                      MS       2.02,9.01            01/24/13

HANMI FINANCIAL CORP                    DE       2.02,9.01            01/24/13

HARLEYSVILLE SAVINGS FINANCIAL CORP              2.02,5.07,9.01       01/23/13

Harvard Illinois Bancorp, Inc.          MD       8.01,9.01            01/24/13

HENNESSY ADVISORS INC                            5.02,5.07,9.01       01/17/13

Heritage Financial Group Inc            MD       2.02,9.01            01/24/13

HERITAGE OAKS BANCORP                   CA       2.02,9.01            01/24/13

Hill-Rom Holdings, Inc.                 IN       2.02,9.01            01/24/13

HINES REAL ESTATE INVESTMENT TRUST IN            1.01                 01/17/13

HOLLY ENERGY PARTNERS LP                         7.01,9.01            01/24/13

Home Federal Bancorp, Inc. of Louisia   LA       2.02,8.01,9.01       01/24/13

HORIZON BANCORP /IN/                    IN       2.02,9.01            01/23/13

HUBBELL INC                             CT       2.02,9.01            01/24/13

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            01/24/13

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            01/16/13    AMEND

INDEPENDENT BANK CORP                   MA       2.02,7.01,9.01       01/24/13

INFORMATICA CORP                        DE       2.02,9.01            01/24/13

INTERNATIONAL SPEEDWAY CORP             FL       2.02,7.01,8.01,9.01  01/24/13

International Stem Cell CORP            DE       1.01,3.02,9.01       01/22/13

INTEVAC INC                             CA       2.06                 12/19/12    AMEND

Invesco Ltd.                            D0       5.02                 01/18/13

ITERIS, INC.                            DE       2.02,9.01            01/24/13

ITT EDUCATIONAL SERVICES INC            DE       2.02,9.01            01/24/13

JACKSONVILLE BANCORP INC /FL/           FL       1.01,2.01,3.02,3.03, 12/27/12    AMEND
                                                 5.02,5.03,9.01

JACOBS ENGINEERING GROUP INC /DE/       DE       2.02,9.01            01/23/13

JANUS CAPITAL GROUP INC                 DE       2.02,5.02,9.01       01/22/13

JEWETT CAMERON TRADING CO LTD           OR       5.02                 01/18/13

JUNIPER NETWORKS INC                    DE       2.02,9.01            01/24/13

KB HOME                                 DE       8.01,9.01            01/23/13

KBS Real Estate Investment Trust III,   MD       1.01                 01/18/13

KENNAMETAL INC                          PA       2.02,9.01            01/24/13

KEY TECHNOLOGY INC                      OR       2.02,9.01            01/24/13

KEYCORP /NEW/                           OH       2.02,9.01            01/24/13

KLA TENCOR CORP                         DE       2.02,9.01            01/24/13

KNIGHT CAPITAL GROUP, INC.              DE       2.02,5.02,7.01,9.01  01/17/13

LACLEDE GROUP INC                       MO       7.01,8.01,9.01       01/22/13

LAKELAND BANCORP INC                    NJ       2.02,8.01,9.01       01/24/13

LATTICE SEMICONDUCTOR CORP              DE       2.02,9.01            01/24/13

LEUCADIA NATIONAL CORP                  NY       8.01,9.01            01/24/13

Liberty Media Corp                      DE       2.01,8.01,9.01       01/18/13

LOCAL Corp                              DE       2.02,9.01            01/24/13

LOCKHEED MARTIN CORP                    MD       2.02,9.01            01/24/13

LOGITECH INTERNATIONAL SA                        2.02,9.01            01/23/13

LOJACK CORP                             MA       5.02,9.01            01/24/13

LOWES COMPANIES INC                     NC       8.01,9.01            01/24/13

MACK CALI REALTY CORP                   MD       1.01,9.01            01/17/13

Magyar Bancorp, Inc.                    DE       2.02,9.01            01/24/13

MAINSOURCE FINANCIAL GROUP              IN       8.01                 01/23/13

MAXIM INTEGRATED PRODUCTS INC           DE       2.02,9.01            01/24/13

MAXIMUS INC                             VA       1.01,2.03,9.01       01/18/13

Mayflower Bancorp Inc                   MA       2.02,9.01            01/22/13

MBT FINANCIAL CORP                      MI       2.02,9.01            01/24/13

MCCORMICK & CO INC                      MD       2.02,9.01            01/24/13

MCMORAN EXPLORATION CO /DE/             DE       2.01,8.01            01/17/13

MEDIENT STUDIOS, INC.                   NV       8.01,9.01            01/22/13

MEGA WORLD FOOD HOLDING CO              NV       3.02,5.01,5.02,9.01  01/22/13

MEGAS INC                               NV       5.01,5.02,5.03,9.01  11/03/12

MERCHANTS BANCSHARES INC                DE       2.02,9.01            01/23/13

MEREDITH CORP                           IA       2.02,9.01            01/18/13

MEREDITH CORP                           IA       2.02,9.01            01/24/13

MERIDIAN BIOSCIENCE INC                 OH       2.02,5.07,9.01       01/23/13

MERIT MEDICAL SYSTEMS INC               UT       9.01                 11/26/12    AMEND

MERITOR INC                             IN       5.07                 01/24/13

MERRILL LYNCH DEPOSITOR INC             DE       9.01                 01/23/13

MICHAEL BAKER CORP                      PA       5.02,5.03,9.01       01/19/13

MICRON TECHNOLOGY INC                   DE       5.02,5.03,5.07,9.01  01/22/13

MICROS SYSTEMS INC                      MD       2.02,9.01            01/24/13

MICROSEMI CORP                          DE       2.02,9.01            01/24/13

MICROSOFT CORP                          WA       2.02,9.01            01/24/13

MID PENN BANCORP INC                    PA       1.01,2.02,9.01       01/23/13

MidWestOne Financial Group, Inc.        IA       2.02,9.01            01/24/13

MINERALS TECHNOLOGIES INC               DE       8.01,9.01            01/23/13

MUTUALFIRST FINANCIAL INC               MD       5.02,9.01            01/23/13

Nano Mask, Inc.                         NV       5.02,9.01            01/01/13

National Bank Holdings Corp             DE       8.01                 01/22/13

NATIONAL PATENT DEVELOPMENT CORP        DE       5.02                 01/17/13

NATIONAL PENN BANCSHARES INC            PA       2.02,7.01,9.01       01/24/13

NATIONAL PENN BANCSHARES INC            PA       2.02,7.01,9.01       01/24/13

NEOPHOTONICS CORP                       DE       1.01                 01/22/13

NEWS CORP                                        8.01,9.01            01/24/13

NORTHRIM BANCORP INC                    AK       2.02,9.01            01/23/13

Norwegian Cruise Line Holdings Ltd.              7.01,9.01            01/24/13

NVR INC                                 VA       2.02,9.01            01/24/13

Oak Valley Bancorp                      CA       2.02,7.01,9.01       01/22/13

OCEANFIRST FINANCIAL CORP               DE       2.02,8.01,9.01       01/24/13

Oconee Federal Financial Corp.                   8.01,9.01            01/24/13

OFFICE DEPOT INC                        DE       5.03,8.01,9.01       01/24/13

OLD NATIONAL BANCORP /IN/               IN       8.01,9.01            01/24/13

OPEN TEXT CORP                          A6       2.02,9.01            01/24/13

ORANCO INC                              NV       4.01,9.01            01/22/13

Oritani Financial Corp                  DE       2.02,9.01            01/24/13

ORRSTOWN FINANCIAL SERVICES INC         PA       5.03,9.01            01/24/13

ORRSTOWN FINANCIAL SERVICES INC         PA       2.02,9.01            01/23/13

ORRSTOWN FINANCIAL SERVICES INC         PA       2.02,9.01            01/23/13

OSI SYSTEMS INC                         DE       2.02,9.01            01/24/13

OVERSTOCK.COM, INC                      DE       2.02,9.01            01/24/13

Pebblebrook Hotel Trust                 MD       7.01,9.01            01/22/13

PEOPLES BANCORP INC                     OH       8.01,9.01            01/24/13

Performant Financial Corp               DE       2.02,9.01            01/22/13

PERNIX THERAPEUTICS HOLDINGS, INC.      MD       5.02,8.01,9.01       01/17/13

PETMED EXPRESS INC                      FL       8.01,9.01            01/22/13

PGT, Inc.                               DE       2.01,9.01            01/24/13

PINNACLE AIRLINES CORP                  DE       7.01,9.01            01/24/13

PISMO COAST VILLAGE INC                 CA       5.02,5.07            01/19/13

PMI GROUP INC                           DE       7.01,9.01            01/24/13

POPULAR INC                                      5.02,9.01            01/17/13

POPULAR INC                                      2.02,9.01            01/24/13

POPULAR INC                                      7.01,9.01            01/24/13

PRECISION CASTPARTS CORP                OR       2.02,8.01,9.01       01/24/13

PRECISION OPTICS Corp INC               MA       8.01                 01/17/13

PREMIERWEST BANCORP                     OR       5.02,9.01            01/23/13

Protea Biosciences Group, Inc.          DE       1.01,3.02,5.02,9.01  12/10/12

ProText Mobility, Inc.                  DE       1.01                 01/24/13    AMEND

PROVIDENCE & WORCESTER RAILROAD CO/RI   RI       2.03                 01/24/13

PROVIDENT FINANCIAL HOLDINGS INC        DE       8.01,9.01            01/22/13

PROVIDENT FINANCIAL HOLDINGS INC        DE       2.02,7.01,9.01       01/24/13

PURE CYCLE CORP                         CO       8.01,9.01            01/24/13

PVF CAPITAL CORP                        OH       2.02,9.01            01/23/13

QLOGIC CORP                             DE       2.02,9.01            01/24/13

QUALITY SYSTEMS, INC                    CA       2.02,8.01,9.01       01/23/13

RALCORP HOLDINGS INC /MO                MO       1.01,2.03,9.01       01/18/13

RAMBUS INC                              DE       2.02,9.01            01/24/13

RAYONIER INC                            NC       2.02,9.01            01/24/13

RAYTHEON CO/                            DE       2.02,9.01            01/24/13

Redwood Mortgage Investors IX           DE       9.01                 09/30/12

RELIABRAND INC.                                  7.01,9.01            01/24/13

RESMED INC                              DE       2.02,8.01,9.01       01/24/13

RING ENERGY, INC.                       NV       2.03,3.02,5.02,5.03, 01/22/13
                                                 5.07,8.01,9.01

Rosetta Resources Inc.                  DE       2.02,9.01            01/24/13

ROSS STORES INC                         DE       5.02,9.01            01/23/13

RURBAN FINANCIAL CORP                   OH       2.02,9.01            01/23/13

SANDY SPRING BANCORP INC                MD       2.02,9.01            01/24/13

SCANSOURCE INC                          SC       2.02,9.01            01/24/13

SCOTTS MIRACLE-GRO CO                   OH       5.02,5.07,9.01       01/24/13

SELECT COMFORT CORP                     MN       2.02,9.01            01/24/13

SELECT COMFORT CORP                     MN       7.01,9.01            01/24/13

SENIOR HOUSING PROPERTIES TRUST         MD       8.01,9.01            01/23/13

SILVERSTAR MINING CORP.                 NV       7.01,9.01            01/18/13

SIMMONS FIRST NATIONAL CORP             AR       2.02,9.01            12/31/12

Skinny Nutritional Corp.                NV       5.02,9.01            01/17/13

SMITH A O CORP                          DE       2.02,9.01            01/24/13

SMTC CORP                               DE       5.02,5.03,9.01       01/18/13

SOLAZYME INC                            DE       1.01,2.03,3.02,9.01  01/24/13

SOMERSET HILLS BANCORP                  NJ       2.02,9.01            01/24/13

SOUTHCOAST FINANCIAL CORP               SC       2.02,9.01            01/17/13

SOUTHWEST AIRLINES CO                   TX       2.02,9.01            12/31/12

SPX CORP                                DE       5.02                 01/22/13

STANLEY BLACK & DECKER, INC.            CT       2.02,9.01            01/24/13

STARBUCKS CORP                          WA       2.02,9.01            01/24/13

STARBUCKS CORP                          WA       7.01,9.01            01/24/13

STARWOOD PROPERTY TRUST, INC.                    1.01,7.01,9.01       01/23/13

STERLING BANCORP                        NY       7.01,9.01            01/22/13

STRATTEC SECURITY CORP                  WI       2.02,9.01            01/24/13

SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       01/24/13

SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       01/24/13

SunCoke Energy Partners, L.P.           DE       1.01,2.01,2.03,3.02, 01/17/13
                                                 5.03,8.01,9.01

SunCoke Energy, Inc.                             1.01,2.03,8.01,9.01  01/18/13

SUNVALLEY SOLAR, INC.                   NV       5.02                 01/14/13

SVB FINANCIAL GROUP                              2.02,9.01            01/24/13

SYNAPTICS INC                           DE       2.02,9.01            01/24/13

TAYLOR CAPITAL GROUP INC                DE       2.02,7.01,9.01       01/24/13

TELEDYNE TECHNOLOGIES INC               DE       2.02,5.02            01/22/13

TEMPUR PEDIC INTERNATIONAL INC          DE       2.02,7.01,8.01,9.01  01/24/13

TERADYNE, INC                           MA       2.02,9.01            01/23/13

TEXAS CAPITAL BANCSHARES INC/TX                  2.02,9.01            01/23/13

TF FINANCIAL CORP                       DE       2.02,9.01            01/24/13

TF FINANCIAL CORP                       DE       5.02                 01/17/13

TF FINANCIAL CORP                       DE       5.05,9.01            01/23/13

Thompson Creek Metals CO Inc.           A6       8.01,9.01            01/22/13

TIMBERLAND BANCORP INC                  WA       5.07                 01/22/13

TIMKEN CO                               OH       2.02,9.01            01/24/13

TORCH ENERGY ROYALTY TRUST              DE       3.01,9.01            01/24/13

TOWER FINANCIAL CORP                    IN       2.02,9.01            01/24/13

UMPQUA HOLDINGS CORP                    OR       2.02,9.01            01/23/13

Under Armour, Inc.                      MD       8.01,9.01            01/24/13

UNICO INC /AZ/                          AZ       5.02                 06/27/12

UNION FIRST MARKET BANKSHARES CORP      VA       2.02,9.01            01/23/13

UNION PACIFIC CORP                      UT       2.02,9.01            01/24/13

UNITED BANCORP INC /MI/                 MI       2.02,7.01,9.01       01/24/13

UNITED COMMUNITY BANKS INC              GA       5.02                 01/23/13

UNITED COMMUNITY BANKS INC              GA       2.02,9.01            01/24/13

United Continental Holdings, Inc.       DE       2.02,7.01,9.01       01/24/13

UNITED RENTALS INC /DE                  DE       2.02,7.01,9.01       01/23/13

UNIVEST CORP OF PENNSYLVANIA            PA       5.02                 01/23/13

USEC INC                                DE       1.01,9.01            01/23/13

VALERO ENERGY CORP/TX                   DE       5.02,9.01            01/23/13

VERISIGN INC/CA                         DE       2.02,9.01            01/24/13

Viking Minerals Inc.                    NV       1.01,5.02            01/16/13

Village Bank & Trust Financial Corp.             8.01,9.01            01/18/13

VISANT CORP                                      5.02,8.01            01/23/13

Walter Energy, Inc.                     DE       2.02,9.01            01/22/13

WALTER INVESTMENT MANAGEMENT CORP       MD       3.01,9.01            01/23/13

WEBSENSE INC                            DE       5.02                 01/22/13

WELLS FARGO & COMPANY/MN                DE       9.01                 01/24/13

WESTAMERICA BANCORPORATION              CA       8.01,9.01            01/24/13

White River Capital Inc                 IN       8.01,9.01            01/17/13

WINMARK CORP                            MN       7.01,8.01,9.01       01/23/13

XCel Brands, Inc.                       DE       5.07                 01/24/13

XEROX CORP                              NY       2.02,9.01            01/24/13

YADKIN VALLEY FINANCIAL CORP            NC       2.02,9.01            01/24/13

YADKIN VALLEY FINANCIAL CORP            NC       2.02                 01/24/13    AMEND

ZION OIL & GAS INC                      DE       8.01,9.01            01/24/13

ZIPREALTY INC                                    5.02,9.01            01/21/13

 

http://www.sec.gov/news/digest/2013/dig012513.htm


Modified: 01/25/2013