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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2013-21
January 31, 2013

Commission Announcements

SEC Announces Panelists for Roundtable on Decimalization Enforcement Proceedings

The Securities and Exchange Commission today announced the panelists who will participate in its roundtable next week on decimalization.

The February 5 roundtable, which will evaluate the impact of tick sizes on the securities markets, will consist of three panels.

Participants on the first panel will address the impact of tick sizes on small and mid-sized companies, the economic consequences (including costs and benefits) of increasing or decreasing minimum tick sizes, and whether other policy alternatives might better address concerns related to Section 106(b) of the JOBS Act.

Participants on the second panel will address the impact of tick sizes on the securities market in general, including what benefits may have been achieved and what, if any, negative effects have resulted.

Participants on the third panel will address potential methods for analysis of the issues, including whether and how to conduct a pilot for alternative minimum tick sizes. SEC staff is particularly interested in hearing what types of data that market participants should provide for use in assessing the effects of an increase or variation in minimum tick sizes for companies of different capitalizations.

The roundtable will begin at 9:30 a.m. in the auditorium at the SEC’s Washington D.C. headquarters located at 100 F Street N.E. The public is invited to attend and observe the discussion with seating available on a first-come, first-served basis. The event will be webcast live on the SEC website and archived for later viewing. (Press Rel. 2013-16)


Commission Declares Decision as to Lisa B. Premo Final

The initial decision of an administrative law judge with respect to Lisa B. Premo has become final. The law judge ordered Premo to cease and desist from aiding and abetting and causing future violations of Sections 206(1) and (2) of the Investment Advisers Act of 1940 and Investment Company Act of 1940 Rule 22c-1(a). The law judge also barred Premo for five years from associating with an investment adviser and from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter.

The law judge found that Lisa B. Premo, a mutual fund manager for a registered investment adviser, willfully aided and abetted and caused the investment adviser's violations of Sections 206(1) and (2) of the Advisers Act and Investment Company Act Rule 22c-1(a) when she knowingly failed to disclose relevant material information relating to a bond, resulting in the mispricing of the bond. As a result of this mispricing the funds shares were overpriced and investors overpaid for fund shares for approximately two months and the fund paid higher advisory fees than the investment advisor should have received.

In imposing the sanction the law judge found that Premo's unblemished twenty-year record was outweighed by the seriousness of the conduct by someone working in a fiduciary capacity and by the harm to the public. (Rel. IA-3541; IC-30372; File No. 3-14697)

In the Matter of William B. Mitchell

On January 30, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against William B. Mitchell (Mitchell). The Order finds that Mitchell, a former officer of Garfield Taylor, Inc. (GTI) and Gibraltar Asset Management Group, LLC (GAM), solicited new investors and referred multiple potential investors to GTI in return for thousands of dollars in commission payments based on the amounts of money ultimately invested. Mitchell was not registered as a broker-dealer or associated with a registered broker-dealer at the time he worked for GTI and GAM.

On January 16, 2013, a final judgment was entered by consent against Mitchell permanently enjoining him from future violations of Section 15(a) of the Exchange Act, in the civil action entitled Securities and Exchange Commission v. Garfield Taylor, Inc., et al., Civil Action No. 1:11-CV-02054-RLW, in the United States District Court for the District of Columbia. The Commission’s complaint alleged that Defendant Garfield M. Taylor, operating through GTI and GAM, defrauded over 130 investors, primarily middle-class residents and charitable organizations in the Washington, DC metropolitan area, of more than $27 million from at least 2005 until 2010. The complaint further alleged that Garfield Taylor (Taylor) orchestrated the frauds with the assistance of Mitchell and four other co-defendants; that Garfield Taylor induced Mitchell (who was not a licensed securities broker) to solicit and refer new investors to Taylor in exchange for commission payments based on the amounts invested; and that Mitchell solicited new investors and referred multiple potential investors to GTI in return for thousands of dollars in commission payments from GTI based on the amounts of money ultimately invested.

Based on the above, the Order bars Mitchell from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and 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. Mitchell consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. 34-68772; File No. 3-15195)

Commission Declares Decision as to Stanley C. Brooks and Brookstreet Securities Corp. Final

The Commission has declared final the initial decision of an administrative law judge barring Stanley C. Brooks and Brookstreet Securities Corp. (Respondents) from associating with any broker, dealer, or investment adviser and from participating in a penny stock offering. The initial decision found that on February 28, 2012, the Respondents were permanently enjoined by a federal district court from violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The court also ordered Brooks to pay a civil penalty of $10,010.00 and disgorge $90,000 plus prejudgment interest of $20,713.31. SEC v. Brookstreet Sec. Corp., No. 8:09-cv-01431 (C.D. Cal. Feb. 28, 2012).

Brooks, a resident of San Clemente, California, was the president and CEO of Brookstreet, a registered broker-dealer and registered investment adviser. For a period of three years, from 2004 through 2007, Brookstreet's registered representatives sold unsuitable collateralized mortgage obligations (CMOs) to at least seventy-seven investors. The law judge found that Respondents' conduct was recurrent and egregious, as there were at least seventy-seven investor victims; nor have they given future assurances against future violations or recognition of the wrongful nature of their conduct. (Rel. 34-68773; IA-3542; File No. 3-14983)

SEC Charges Two Information Technology Specialists With Insider Trading Ahead of Their Employer’s Merger

On January 30, 2013, the Securities and Exchange Commission charged two information technology specialists at a Bend, Oregon-based health insurance company with insider trading on confidential information about the acquisition of their employer.

The SEC alleges that Daniel Vance of Bend and Blake Wellington of Hillsboro, Oregon, learned that their employer Clear One Health Plans was involved in advanced merger negotiations with competitor PacificSource Health Plans. Rather than keep the information confidential, Wellington and Vance improperly used the information to personally profit by purchasing Clear One shares. Clear One’s share price jumped by more than 150 percent after the companies announced the merger on Dec. 30, 2009.

According to the SEC’s complaint filed in federal court in Oregon, Daniel Vance gained access to the confidential deal information on Dec. 16, 2009, when he was asked by Clear One’s CEO to help resolve an e-mail issue. Vance saw confidential merger documents being sent to the CEO of PacificSource. Vance then informed Blake Wellington, who was his supervisor. The very next day, Wellington purchased 3,700 Clear One shares and Vance purchased 1,200 Clear One shares. Clear One’s share price jumped by more than 150 percent after the companies announced the merger on Dec. 30, 2009. Wellington and Vance immediately began selling their stock, reaping more than $70,000 in profits.

The complaint alleges that, by their conduct, Wellington and Vance violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The defendants’ signed consents – which are subject to approval by the court – provide that each defendant is permanently enjoined against future violations of the statute and rule each is alleged to have violated. The consents further provide that Blake Wellington will pay full disgorgement of his trading profits totaling $55,891.50 plus prejudgment interest of $5,644.04 and a penalty of $55,891.50, and Daniel Vance will pay full disgorgement of his trading profits totaling 17,509.75 plus prejudgment interest of $1,768.18 and a penalty of $17,509.75. Wellington and Vance neither admitted nor denied the allegations.

The SEC thanks the Financial Industry Regulatory Authority (FINRA) for its assistance in this matter. [SEC v. Blake R. Wellington and Daniel J. Vance, Civil Action No. 6:13-cv-00172 (U.S. District Court for the District of Oregon)] (LR-22606)


Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by CBOE Futures Exchange, LLC regarding market-wide trading halts (SR-CFE-2013-002) has become effective pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68765)

The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BOX-2013-07) filed by BOX Options Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68771)

Approval of Proposed Rule Changes

The Commission approved a proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-116), under Section 19(b)(2) of the Securities Exchange Act of 1934, related to Bylaw and other changes. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68766)

The Commission approved a proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2012-039), under Section 19(b)(2) of the Securities Exchange Act of 1934, related to Bylaw and other changes. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68767)

Designation of Longer Period for Commission Action on 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 a proposed rule change (SR-FINRA-2012-052) filed by the Financial Industry Regulatory Authority, Inc. to require members to report to TRACE the “factor” in limited instances involving asset-backed security transactions. Publication is expected in the Federal Register during the week of January 28. (Rel. 34-68768)


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-1     SurePure, Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 
        877-685-1955 - 16,200,000 ($19,440,000.00) Equity, (File 333-186281 - 
        Jan. 30) (BR. 10B)

        H3, 106090030, 50379511698 - 880,000 ($52,800.00) Equity, 
        (File 333-186282 - Jan. 30) (BR. 08)

S-1     Perkins Oil & Gas, Inc., 1445 MARPOLE AVENUE #409, VANCOUVER, A1, 
        V6H 1S5, 604 733-5055 - 5,000,000 ($50,000.00) Equity, 
        (File 333-186286 - Jan. 30) (BR. 04)

S-8     Lithium Exploration Group, Inc., 3200 N. HAYDEN ROAD, SUITE 235, 
        SCOTTSDALE, AZ, 85251, 480-641-4790 - 3,973,612 ($973,534.94) Equity, 
        (File 333-186305 - Jan. 30) (BR. 09A)

S-8     Western Gas Equity Partners, LP, 1201 LAKE ROBBINS DRIVE, 
        THE WOODLANDS, TX, 77380-7046, 832-636-1000 - 
        3,000,000 ($92,820,000.00) Limited Partnership Interests, 
        (File 333-186306 - Jan. 30) (BR. 02)

S-8     KNIGHT CAPITAL GROUP, INC., 2012229400 - 0 ($218,396,555.20) Equity, 
        (File 333-186311 - Jan. 30) (BR. 12A)

        6176795500 - 9,076,825 ($6,480,854.00) Equity, (File 333-186312 - 
        Jan. 30) (BR. 01A)

        6103377000 - 0 ($1,207,826,738.00) Equity, (File 333-186316 - Jan. 30) 
        (BR. 02B)

        786-250-1410 - 3,345,000 ($133,800.00) Equity, (File 333-186321 - 
        Jan. 30) (BR. )

        212 750-3343 - 0 ($25,000,000.00) Debt, (File 333-186323 - Jan. 30) 
        (BR. 16)

S-8     Pebblebrook Hotel Trust, 2 BETHESDA METRO CENTER, SUITE 1530, BETHESDA, 
        MD, 20814, 240-507-1300 - 1,100,000 ($27,142,500.00) Equity, 
        (File 333-186324 - Jan. 30) (BR. 08B)

S-1     VelaTel Global Communications, Inc., 5950 LA PLACE COURT, SUITE 160, 
        CARLSBAD, CA, 92008, 760-230-8985 - 32,000,000 ($6,400,000.00) Equity, 
        (File 333-186325 - Jan. 30) (BR. 11A)

        (713) 329 6800 - 702,297 ($4,887,987.12) Equity, (File 333-186326 - 
        Jan. 30) (BR. 05B)


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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT


1st United Bancorp, Inc.                FL       8.01                 01/30/13

ACE MARKETING & PROMOTIONS INC          NY       4.01,7.01,8.01,9.01  01/25/13

ACXIOM CORP                             DE       2.02,9.01            01/30/13

Adamis Pharmaceuticals Corp             DE       8.01,9.01            01/25/13

ADT Corp                                DE       2.02,9.01            01/30/13

AIR PRODUCTS & CHEMICALS INC /DE/       DE       5.02                 01/24/13

AK STEEL HOLDING CORP                   DE       5.02                 01/24/13

Alexander & Baldwin, Inc.               HI       5.02,9.01            01/28/13

ALICO INC                               FL       8.01,9.01            01/29/13

ALIGN TECHNOLOGY INC                    DE       2.02,5.02,9.01       01/30/13

Allegiant Travel CO                     NV       2.02,5.02,5.03,9.01  01/28/13

ALLIANCE FIBER OPTIC PRODUCTS INC       CA       2.02,8.01,9.01       01/30/13

ALPHA & OMEGA SEMICONDUCTOR Ltd                  2.02,9.01            01/30/13

American Railcar Industries, Inc.       ND       2.04,7.01,9.01       01/30/13

AmeriCredit Automobile Receivables Tr            1.01,9.01            01/24/13

AMERIGAS PARTNERS LP                    DE       9.01                 01/30/13

AMERIPRISE FINANCIAL INC                DE       2.02,9.01            01/30/13

Antero Resources LLC                    DE       7.01,8.01,9.01       01/30/13

Antero Resources LLC                    DE       8.01,9.01            01/30/13

ARBOR REALTY TRUST INC                  MD       7.01,9.01            01/29/13

ARCA biopharma, Inc.                    DE       8.01,9.01            01/29/13

ARKANSAS BEST CORP /DE/                 DE       2.02,9.01            01/30/13

ARKANSAS BEST CORP /DE/                 DE       8.01,9.01            01/24/13

ARROWHEAD RESEARCH CORP                 DE       8.01,9.01            01/25/13

ARTHROCARE CORP                         DE       8.01                 01/30/13

Artio Global Investors Inc.             DE       5.02                 01/29/13

ARTS WAY MANUFACTURING CO INC           DE       5.02                 01/25/13

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            01/30/13

Atlantic Coast Financial CORP           MD       8.01                 01/24/13

Atlas Financial Holdings, Inc.          E9       3.03,5.03,8.01,9.01  01/30/13

ATLAS PIPELINE PARTNERS LP              DE       1.01,8.01,9.01       01/28/13

Attitude Drinks Inc.                    DE       5.03,5.07,8.01       01/29/13

ATWOOD OCEANICS INC                     TX       2.02,9.01            01/30/13

Augme Technologies, Inc.                DE       1.01,8.01,9.01       01/30/13

AVEO PHARMACEUTICALS INC                DE       5.02                 01/24/13

Avery Dennison Corp                     DE       2.02,9.01            01/30/13

Avery Dennison Corp                     DE       1.01,8.01,9.01       01/29/13

AVIAT NETWORKS, INC.                    DE       2.02,7.01,9.01       01/30/13

AXIALL CORP/DE/                         DE       1.01,2.01,2.03,5.02, 01/28/13
AXIALL CORP/DE/                         DE       8.01,9.01            01/30/13

AXION INTERNATIONAL HOLDINGS, INC.      CO       2.03,3.02            01/28/13

BANK OF HAWAII CORP                     DE       2.02,5.02,9.01       01/30/13

BECTON DICKINSON & CO                   NJ       5.02,5.07,9.01       01/28/13

BG Medicine, Inc.                       DE       8.01,9.01            01/30/13

BIOCLINICA INC                          DE       1.01,3.03,9.01       01/29/13

BIOJECT MEDICAL TECHNOLOGIES INC        OR       1.01,1.02,3.02,3.03, 01/24/13
BIOLOGIX HAIR INC.                      NV       7.01                 01/28/13

BIOTIME INC                             CA       7.01,9.01            01/30/13

BNC BANCORP                             NC       2.02,9.01            01/30/13

BOEING CAPITAL CORP                     DE       2.02,9.01            01/30/13

BOEING CO                               DE       2.02,9.01            01/30/13

BOK FINANCIAL CORP ET AL                OK       2.02,9.01            01/30/13

Booz Allen Hamilton Holding Corp        DE       2.02,9.01            01/30/13

BOSTON PROPERTIES INC                   DE       2.02,9.01            01/29/13

BOSTON PROPERTIES LTD PARTNERSHIP       DE       2.02,9.01            01/29/13

Brick Top Productions, Inc.             FL       5.02                 01/25/13

BROADVISION INC                         DE       2.02,9.01            01/30/13

BUCKEYE TECHNOLOGIES INC                DE       2.02,7.01,9.01       01/29/13

BUCKEYE TECHNOLOGIES INC                DE       7.01,8.01,9.01       01/29/13

CABELAS INC                             DE       2.02                 01/30/13

CABOT CORP                              DE       2.02,9.01            01/30/13

CACI INTERNATIONAL INC /DE/             DE       2.02,7.01,9.01       01/30/13

CADENCE DESIGN SYSTEMS INC              DE       2.02,9.01            01/30/13

CALIFORNIA WATER SERVICE GROUP          DE       8.01,9.01            01/30/13

CALLAWAY GOLF CO                        DE       2.02,9.01            01/30/13

Capital Bank Financial Corp.            DE       2.02,8.01,9.01       01/30/13

CAPITAL SOUTHWEST CORP                  TX       8.01,9.01            01/24/13

CARDINAL HEALTH INC                     OH       2.05                 01/25/13

Cardiovascular Systems Inc              DE       2.02,9.01            01/30/13

Carroll Bancorp, Inc.                   MD       2.02,9.01            01/25/13

CBRE GROUP, INC.                        DE       5.02                 01/24/13

CenterState Banks, Inc.                 FL       2.02,9.01            01/30/13

CENTRAL EUROPEAN DISTRIBUTION CORP      DE       8.01,9.01            01/29/13

CEVA INC                                DE       2.02,9.01            01/30/13

CHAMPIONS ONCOLOGY, INC.                DE       1.01,3.02,9.01       01/28/13

Chatham Lodging Trust                   MD       5.02                 01/29/13

Cheniere Energy Partners, L.P.          DE       7.01,9.01            01/29/13

CHIQUITA BRANDS INTERNATIONAL INC       NJ       8.01,9.01            01/29/13

Chrysler Group LLC                      DE       2.02,9.01            01/30/13

Chrysler Group LLC                      DE       5.02,9.01            01/28/13

CITRIX SYSTEMS INC                      DE       2.02,9.01            01/30/13

Clearwire Corp /DE                      DE       8.01,9.01            01/29/13

COLLECTORS UNIVERSE INC                 DE       7.01,9.01            01/29/13

COMM 2013-LC6 Mortgage Trust            DE       8.01,9.01            01/30/13

COMMERCIAL METALS CO                    DE       5.07                 01/25/13

Community Bankers Trust Corp            DE       2.02,9.01            01/30/13

COMMVAULT SYSTEMS INC                   DE       2.02,9.01            01/30/13

COMPUWARE CORP                          MI       1.01,8.01,9.01       01/24/13

CONCUR TECHNOLOGIES INC                 DE       2.02,9.01            01/30/13

CONSOL Energy Inc                       DE       5.02,9.01            01/28/13

Copano Energy, L.L.C.                            8.01,9.01            01/29/13

CORE LABORATORIES N V                   P7       2.02,9.01            01/30/13

Crescent Financial Bancshares, Inc.              2.02,9.01            01/30/13

CROWN HOLDINGS INC                      PA       2.02,9.01            01/30/13

Cryoport, Inc.                          NV       1.01,2.03,3.02       01/24/13

CSS INDUSTRIES INC                      DE       2.02,9.01            01/29/13

CULLEN/FROST BANKERS, INC.              TX       2.02,9.01            01/30/13

Data Storage Corp                       NV       9.01                 10/31/12    AMEND

DELCATH SYSTEMS INC                     DE       1.01,9.01            01/26/13

DICE HOLDINGS, INC.                     DE       2.02,9.01            01/30/13

Digerati Technologies, Inc.             NV       5.02,8.01            12/23/12

DSP GROUP INC /DE/                      DE       2.02,9.01            01/30/13

EAST WEST BANCORP INC                            5.03,9.01            01/29/13

Edgen Group Inc.                        DE       5.02,8.01,9.01       01/28/13

EDUCATION MANAGEMENT CORPORATION                 2.02,9.01            01/30/13

ELECTRONIC ARTS INC.                    DE       2.02,9.01            01/30/13

ENBRIDGE ENERGY PARTNERS LP             DE       8.01,9.01            01/30/13

ENCISION INC                            CO       9.01                 01/30/13

Energy Future Holdings Corp /TX/        TX       1.01,2.03,8.01,9.01  01/25/13

EnerJex Resources, Inc.                 NV       1.01,1.02,2.01,2.03, 01/24/13
ENVIVIO INC                             DE       5.02,9.01            01/30/13

EQUAL ENERGY LTD.                       A0       5.03,9.01            01/24/13

ERHC Energy Inc                         CO       8.01,9.01            01/30/13

EverBank Financial Corp                 DE       2.02,7.01,9.01       01/30/13

Evercore Partners Inc.                  DE       2.02,9.01            01/30/13

EXPONENT INC                            DE       2.02,9.01            01/30/13

EXTREME NETWORKS INC                    DE       2.02,9.01            01/30/13

Facebook Inc                                     2.02,9.01            01/30/13

FAIR ISAAC CORP                         DE       2.02,9.01            01/30/13

FAIRPOINT COMMUNICATIONS INC            DE       2.02,7.01,8.01,9.01  01/30/13

Federal Home Loan Bank of Boston        X1       8.01                 01/29/13

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

FEMALE HEALTH CO                        WI       2.02,9.01            01/30/13

FIDELITY D & D BANCORP INC              PA       2.02,9.01            01/30/13

FINANCIAL INSTITUTIONS INC              NY       2.02,9.01            01/30/13

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       2.02,7.01,9.01       01/30/13

FIRST DATA CORP                         DE       8.01,9.01            01/30/13

FIRST NATIONAL CORP /VA/                VA       2.02,9.01            01/29/13

FIRST NORTHERN COMMUNITY BANCORP        CA       2.02,7.01,8.01,9.01  01/30/13

FIRST SOUTH BANCORP INC /VA/            VA       8.01                 01/30/13

FIVE BELOW, INC                         PA       8.01,9.01            01/30/13

FLUSHING FINANCIAL CORP                 DE       2.02,9.01            01/29/13

FORTINET INC                                     2.02,9.01            01/30/13

Fortress International Group, Inc.      DE       7.01,9.01            01/30/13

FRANKLIN FINANCIAL SERVICES CORP /PA/   PA       2.02,9.01            01/30/13

Freescale Semiconductor, Ltd.           D0       8.01                 01/29/13

FUSION-IO, INC.                         DE       2.02,9.01            01/30/13

General Finance CORP                    DE       8.01,9.01            01/30/13

General Growth Properties, Inc.         DE       1.01,9.01            01/28/13

GENEREX BIOTECHNOLOGY CORP              DE       7.01,9.01            01/29/13

Georgia-Carolina Bancshares, Inc        GA       2.02,9.01            01/30/13

GERMAN AMERICAN BANCORP, INC.           IN       1.01,2.02,2.03,8.01, 01/24/13
Global Eagle Acquisition Corp.          DE       5.02                 01/24/13

GREER BANCSHARES INC                    SC       2.02,9.01            01/29/13

GREER BANCSHARES INC                    SC       5.02                 01/28/13

GRIFFON CORP                            DE       2.02,9.01            01/30/13

GROUP 1 AUTOMOTIVE INC                  DE       1.01,3.02,9.01       01/24/13

H&E Equipment Services, Inc.            DE       1.01,7.01,8.01,9.01  01/29/13

H&E Equipment Services, Inc.            DE       7.01                 01/30/13

HAEMONETICS CORP                        MA       2.02,9.01            01/25/13

HALCON RESOURCES CORP                   DE       1.01,9.01            01/25/13

HAMPTON ROADS BANKSHARES INC            VA       2.02,7.01,9.01       01/30/13

HAVERTY FURNITURE COMPANIES INC         MD       5.02,9.01            01/30/13

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       7.01,9.01            01/30/13

HAWKINS INC                             MN       2.02,9.01            01/30/13

HEALTH NET INC                          DE       2.02,9.01            01/30/13

HEMAGEN DIAGNOSTICS INC                 DE       8.01,9.01            01/30/13

HERITAGE BANKSHARES INC /VA             VA       2.02,9.01            01/30/13

HESS CORP                               DE       2.02,9.01            01/30/13

Hines Global REIT, Inc.                 MD       1.01,8.01            01/29/13

HINES REAL ESTATE INVESTMENT TRUST IN            8.01                 01/30/13

HOME BANCORP, INC.                      LA       2.02,9.01            01/29/13

HomeTrust Bancshares, Inc.              MD       2.02,9.01            01/29/13

HUB GROUP INC                           DE       2.02,9.01            12/31/12

HUDSON CITY BANCORP INC                 DE       2.02,9.01            01/30/13

IDS Solar Technologies, Inc.            NV       1.01,9.01            01/28/13

IEC ELECTRONICS CORP                    DE       2.02,7.01,9.01       01/30/13

ImmunoCellular Therapeutics, Ltd.       DE       8.01,9.01            01/29/13

INDEPENDENT BANK CORP /MI/              MI       2.02,9.01            01/30/13

INFORMATICA CORP                        DE       5.02                 01/26/13

INNOVUS PHARMACEUTICALS, INC.           NV       1.01,2.03,5.02,8.01  01/25/13

INOLIFE TECHNOLOGIES, INC.                       3.03                 01/24/13

INTEGRATED SILICON SOLUTION INC         DE       2.02,9.01            01/30/13

INTERSIL CORP/DE                        DE       2.02,7.01            01/30/13

ISIS PHARMACEUTICALS INC                DE       8.01,9.01            01/29/13

JABIL CIRCUIT INC                       DE       5.02,5.07,7.01,9.01  01/24/13

JDS UNIPHASE CORP /CA/                  DE       2.02,9.01            01/30/13

JEFFERIES GROUP INC /DE/                DE       5.04,9.01            01/29/13

JONES LANG LASALLE INC                  MD       2.02,9.01            01/29/13

Joway Health Industries Group Inc       NV       4.01,9.01            01/25/13

KANSAS CITY LIFE INSURANCE CO           MO       5.02,9.01            01/30/13

Kat Gold Holdings Corp.                 NV       5.03,9.01            01/30/13

KATY INDUSTRIES INC                     DE       2.06                 01/30/13

KB HOME                                 DE       5.02                 01/24/13

KINDER MORGAN ENERGY PARTNERS L P       DE       8.01,9.01            01/29/13

KNIGHT TRANSPORTATION INC               AZ       2.02,9.01            01/30/13

KOSS CORP                               DE       2.02,9.01            01/29/13

L 3 COMMUNICATIONS HOLDINGS INC         DE       2.02,9.01            01/30/13

LANDMARK BANCORP INC                    DE       2.02,8.01,9.01       01/30/13

LAS VEGAS SANDS CORP                    NV       2.02,9.01            01/30/13

Lightlake Therapeutics Inc.             NV       5.02                 12/31/12

LIGHTPATH TECHNOLOGIES INC              DE       2.02,9.01            01/30/13

LINDSAY CORP                            DE       5.02,5.07            01/28/13

LIPOSCIENCE INC                                  5.03,9.01            01/30/13

LOOKSMART LTD                           DE       5.02                 01/24/13

LUBYS INC                               DE       8.01                 01/30/13

LUCAS ENERGY, INC.                      NV       7.01,8.01,9.01       01/28/13

MAGNACHIP SEMICONDUCTOR Corp            DE       2.02,9.01            01/30/13

Magnolia Solar Corp                     NV       8.01,9.01            01/30/13

MANPOWER INC /WI/                       WI       2.02,9.01            01/30/13

MAP Pharmaceuticals, Inc.               DE       1.02                 01/24/13

Marathon Petroleum Corp                 DE       2.02,9.01            01/30/13

MARKETAXESS HOLDINGS INC                         2.02,8.01,9.01       01/30/13

MASCOT PROPERTIES, INC.                 NV       1.01,2.01,3.02,4.01, 01/24/13

MB FINANCIAL INC /MD                             2.02,9.01            01/29/13

MEADWESTVACO Corp                       DE       2.02,9.01            01/30/13

MEDALLION FINANCIAL CORP                DE       1.01,9.01            01/28/13

MEDGENICS, INC.                         DE       8.01                 01/30/13

MEI Pharma, Inc.                        DE       5.02,9.01            01/27/13

MENDOCINO BREWING CO INC                CA       5.07                 01/24/13

MERITOR INC                             IN       2.02,5.02,9.01       01/25/13

MGIC INVESTMENT CORP                    WI       5.03,9.01            01/29/13

MIPS TECHNOLOGIES INC                   DE       2.02,9.01            01/30/13

Mistras Group, Inc.                     DE       4.01,9.01            01/24/13

MKS INSTRUMENTS INC                     MA       2.02,9.01            01/30/13

MOHAWK INDUSTRIES INC                   DE       1.01,9.01            01/28/13

Molycorp, Inc.                          DE       8.01,9.01            01/24/13

MORTGAGEBROKERS.COM HOLDINGS, INC.      DE       8.01,9.01            01/18/13

MPLX LP                                 DE       2.02,9.01            01/30/13

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       2.02,9.01            01/30/13

MURPHY OIL CORP /DE                     DE       2.02,9.01            01/30/13

National American University Holdings   DE       8.01,9.01            01/30/13

NATIONAL RURAL UTILITIES COOPERATIVE    DC       8.01,9.01            01/30/13

NEOPHOTONICS CORP                       DE       5.02                 01/25/13

NETWORK 1 SECURITY SOLUTIONS INC        DE       8.01,9.01            01/24/13

NEW YORK COMMUNITY BANCORP INC          DE       2.02,7.01,9.01       01/30/13

NEWS CORP                                        8.01,9.01            01/30/13

NEXCORE HEALTHCARE CAPITAL CORP         DE       8.01,9.01            01/29/13

NEXSTAR BROADCASTING GROUP INC          DE       5.03,9.01            01/24/13

NHS Health Solutions, Inc               FL       1.01,3.02,5.01,5.02  01/30/13

NICHOLAS FINANCIAL INC                  FL       2.02,9.01            01/30/13

NORTH BAY RESOURCES INC                 DE       3.02,8.01,9.01       01/17/13

NORTH VALLEY BANCORP                    CA       4.02                 01/28/13

Northfield Bancorp, Inc.                DE       5.02,9.01            01/28/13

Northfield Bancorp, Inc.                DE       5.02,8.01,9.01       01/28/13

Northfield Bancorp, Inc.                DE       5.02,9.01            01/28/13

NORTHROP GRUMMAN CORP /DE/                       2.02,9.01            01/30/13

Norwegian Cruise Line Holdings Ltd.              1.01,3.02,3.03,5.03, 01/24/13
NOVAVAX INC                             DE       5.03,9.01            01/25/13

Ocean Shore Holding Co.                          2.02,9.01            01/30/13

Opexa Therapeutics, Inc.                TX       1.01,3.02,9.01       01/29/13

ORGANIC PLANT HEALTH INC.               NV       1.01,2.01,3.02,5.01, 01/24/13

ORMAT TECHNOLOGIES, INC.                DE       1.01,8.01,9.01       01/30/13

OWENS ILLINOIS INC /DE/                 DE       2.02,9.01            01/30/13

PAREXEL INTERNATIONAL CORP              MA       2.02,9.01            01/29/13

PATHFINDER BANCORP INC                  DE       2.02,9.01            01/30/13

Pazoo, Inc.                                      4.01,9.01            01/30/13

PDL BIOPHARMA, INC.                     DE       5.02,9.01            01/30/13    AMEND

Peoples Federal Bancshares, Inc.                 2.02,9.01            01/30/13

PharMerica CORP                         DE       1.01                 01/25/13

Phillips 66                             DE       2.02,9.01            01/30/13

PINNACLE ENTERTAINMENT INC.             DE       8.01,9.01            01/30/13

PIONEER ENERGY SERVICES CORP            TX       5.02,9.01            01/29/13

PIPER JAFFRAY COMPANIES                 DE       2.02,9.01            01/30/13

Point Capital, Inc.                     NY       5.02,5.07            01/24/13

POLYMEDIX, INC                          DE       5.02                 01/26/13

PopBig, Inc.                            DE       5.01,5.02            01/24/13

Porter Bancorp, Inc.                    KY       2.02,9.01            01/30/13

POSITRON CORP                           TX       7.01,9.01            01/30/13

PRIVATEBANCORP, INC                     DE       7.01,9.01            01/30/13

PROFIRE ENERGY INC                      UT       5.07                 01/29/13

PUB CRAWL HOLDINGS, INC.                NV       1.01,2.01,3.02,9.01  11/28/12

PUB CRAWL HOLDINGS, INC.                NV       3.02,5.01,5.02       11/27/12

PVR PARTNERS, L. P.                     DE       5.02,7.01,9.01       01/29/13

QLIK TECHNOLOGIES INC                   DE       3.01,5.02,9.01       01/28/13

QR Energy, LP                           DE       8.01                 01/25/13

QUALCOMM INC/DE                         DE       2.02,9.01            01/30/13

Quanex Building Products CORP           DE       1.01,1.02,2.03,9.01  01/28/13

QUANTUM CORP /DE/                       DE       2.02,9.01            01/30/13

REDWOOD TRUST INC                       MD       8.01,9.01            01/30/13

REVLON CONSUMER PRODUCTS CORP           DE       8.01,9.01            01/29/13

REVLON INC /DE/                         DE       8.01,9.01            01/29/13

Revolution Lighting Technologies, Inc   DE       5.02,5.03,9.01       01/24/13

Rhino Resource Partners LP              DE       7.01,9.01            01/30/13

Rhino Resource Partners LP              DE       2.02,7.01,9.01       01/30/13    AMEND

RIMROCK GOLD CORP.                      NV       1.01,5.03,8.01,9.01  01/24/13

RJD Green, Inc.                         NV       5.03,5.06            01/29/13

Rockville Financial, Inc. /CT/          CT       2.02,9.01            01/30/13

ROCKWELL AUTOMATION INC                 DE       2.02,9.01            01/30/13

SAIA INC                                DE       2.02,9.01            01/30/13

SCHOOL SPECIALTY INC                    WI       3.01,9.01            01/28/13

SCHWAB CHARLES CORP                     DE       5.02,9.01            01/24/13

SEACOAST BANKING CORP OF FLORIDA        FL       2.02,7.01,9.01       01/24/13

SECURITY FEDERAL CORP                   SC       2.02,9.01            01/28/13

SEI INVESTMENTS CO                      PA       2.02,9.01            01/30/13

Sensata Technologies Holding N.V.       P7       2.02,9.01            01/30/13

ServiceNow, Inc.                        CA       2.02,9.01            01/30/13

SEVCON, INC.                            DE       2.02,5.07,9.01       01/29/13

SHARPS COMPLIANCE CORP                  DE       2.02,9.01            01/30/13

ShoreTel Inc                            CA       2.02,9.01            01/30/13

Silicon Graphics International Corp     DE       2.02,5.02,9.01       01/30/13

SILICON LABORATORIES INC                DE       2.02,9.01            01/30/13

Sino Agro Food, Inc.                    NV       5.03,9.01            01/28/13

SKYWORKS SOLUTIONS, INC.                DE       2.02,9.01            01/30/13

Source Gold Corp.                       NV       5.02                 01/30/13

Southcross Energy Partners, L.P.        DE       7.01                 01/26/13

SOUTHERN CO                             DE       2.02                 01/30/13

SOUTHWEST AIRLINES CO                   TX       5.02,9.01            01/30/13

SPHERIX INC                             DE       1.01,3.03,9.01       01/01/13

STATE BANK FINANCIAL CORP               GA       2.02,7.01,9.01       01/30/13

STERLING CONSTRUCTION CO INC            DE       5.02,8.01,9.01       01/28/13

SUFFOLK BANCORP                         NY       2.02,9.01            01/30/13

SUMMIT FINANCIAL GROUP INC              WV       2.02,9.01            01/30/13

SURMODICS INC                           MN       2.02,8.01,9.01       01/28/13

SYNERGY PHARMACEUTICALS, INC.           DE       8.01,9.01            01/29/13

SYNERGY PHARMACEUTICALS, INC.           DE       8.01,9.01            01/28/13    AMEND

TCF FINANCIAL CORP                      DE       2.02,7.01,9.01       01/30/13

TECHE HOLDING CO                        LA       5.07,9.01            01/29/13

TESORO CORP /NEW/                       DE       1.01,2.03,9.01       01/28/13

TFS Financial CORP                      DE       2.02,9.01            01/30/13

TFS Financial CORP                      DE       7.01,9.01            01/30/13

TIDELANDS BANCSHARES INC                         2.02,9.01            01/30/13

TOMPKINS FINANCIAL CORP                 NY       5.02,9.01            01/24/13

TRACTOR SUPPLY CO /DE/                  DE       2.02,9.01            01/30/13

TRANS ENERGY INC                        NV       2.01,9.01            01/24/13

Tropicana Las Vegas Hotel & Casino, I   DE       5.03,9.01            01/28/13

TURBOSONIC TECHNOLOGIES INC             DE       2.03,5.07            01/30/12

UNITED BANKSHARES INC/WV                WV       8.01,9.01            01/30/13

United Financial Bancorp, Inc.                   9.01                 11/16/12    AMEND

UROLOGIX INC                            MN       5.02,9.01            01/25/13

VALLEY NATIONAL BANCORP                 NJ       2.02,9.01            01/30/13

VAPOR CORP.                             NV       1.01,2.03,9.01       01/29/13

VENTRUS BIOSCIENCES INC                 DE       1.01,8.01,9.01       01/30/13

VIRGINIA COMMERCE BANCORP INC                    8.01,9.01            01/30/13

VIRTUS INVESTMENT PARTNERS, INC.        DE       2.02,9.01            01/29/13

VIRTUSA CORP                                     2.02,9.01            01/30/13

VISA INC.                               DE       5.07,8.01,9.01       01/29/13

VISUALANT INC                           NV       1.01,9.01            01/30/13

VIVUS INC                               CA       5.02,9.01            01/25/13

VOIS Inc.                               FL       5.03                 10/19/12

WASHINGTON TRUST BANCORP INC            RI       2.02,9.01            01/30/13

WELLS FARGO & COMPANY/MN                DE       9.01                 01/30/13

WEST COAST BANCORP /NEW/OR/             OR       2.02,9.01            01/24/13

WEST CORP                               DE       2.02,9.01            01/30/13

WESTFIELD FINANCIAL INC                 MA       2.02,9.01            01/30/13

Westinghouse Solar, Inc.                DE       8.01                 01/24/13

WISCONSIN ENERGY CORP                   WI       2.02                 01/30/13

WORLD ACCEPTANCE CORP                   SC       2.02,7.01,9.01       01/30/13



Modified: 01/31/2013