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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-78
April 24, 2013

ENFORCEMENT PROCEEDINGS

SEC Charges Capital One with Understating Auto Loan Losses

The Securities and Exchange Commission (Commission) today charged Capital One Financial Corporation and two senior executives for understating millions of dollars in auto loan losses incurred during the months leading into the financial crisis.

An SEC investigation found that in financial reporting for the second and third quarters of 2007, Capital One failed to properly account for losses in its auto finance business when they became higher than originally forecasted. The profitability of its auto loan business was primarily derived from extending credit to subprime consumers. As credit markets began to deteriorate, Capital One’s internal loss forecasting tool found that the declining credit environment had a significant impact on its loan loss expense. However, Capital One failed to properly incorporate these internal assessments into its financial reporting, and thus understated its loan loss expense by approximately 18 percent in the second quarter and 9 percent in the third quarter.

Capital One agreed to pay $3.5 million to settle the SEC’s charges. The two executives — former Chief Risk Officer Peter A. Schnall and former Divisional Credit Officer David A. LaGassa — also agreed to settle the charges against them.

“Accurate financial reporting is a fundamental obligation for any public company, particularly a bank’s accounting for its provision for loan losses during a time of severe financial distress,” said George Canellos, Co-Director of the Division of Enforcement. “Capital One failed in this responsibility by underreporting expenses relating to its loan losses even as its own internal forecasting tool had signaled an increase in incurred losses due to the impending financial crisis.”

According to the SEC’s order instituting settled administrative proceedings, beginning in October 2006 and continuing through the third quarter of 2007, Capital One Auto Finance (COAF) experienced significantly higher charge-offs and delinquencies for its auto loans than it had originally forecasted. The elevated losses occurred within every type of loan in each of COAF’s lines of business. Its internal loss forecasting tool assessed that its escalating loss variances were attributable to an increase in a forecasting factor it called the “exogenous” — which measured the impact on credit losses from conditions external to the business such as macroeconomic conditions. A change in this exogenous factor generally had a significant impact on COAF’s loan loss expense, and it was closely monitored by the company through its loss forecasting tool. Capital One determined that incorporating the full exogenous levels into its loss forecast would have resulted in a second quarter allowance build of $72 million by year-end. Since no such expense was incorporated for the second quarter, it would have resulted in a third quarter allowance build of $85 million by year-end.

However, according to the SEC’s order, instead of incorporating the results of its loss forecasting tool, Capital One failed to include any of COAF’s exogenous-driven losses in its second quarter provision for loan losses and included only one-third of such losses in the third quarter. The exogenous losses were an integral component of Capital One’s methodology for calculating its provision for loan losses. As a result, Capital One’s second and third quarter loan loss expense for COAF did not appropriately estimate probable incurred losses in accordance with accounting requirements.

The SEC’s order also finds that Schnall and LaGassa caused Capital One’s understatements of its loan loss expense by deviating from established policies and procedures and failing to implement proper internal controls for determining its loan loss expense. Schnall, who oversaw Capital One’s credit management function, took inadequate steps to communicate COAF’s exogenous treatment to the senior management committee in charge of ensuring that the company’s allowance was compliant with accounting requirements. Despite warnings, he also failed to ensure that the exogenous treatment was properly documented. LaGassa, who managed the COAF loss forecasting process, failed to ensure that the proper exogenous levels were incorporated into the COAF loss forecast. He also failed to ensure that the exogenous treatment was documented consistent with policies and procedures.

“Financial institutions, especially those engaged in subprime lending practices, must have rigorous controls surrounding their process for estimating loan losses to prevent material misstatements of those expenses,” said Gerald W. Hodgkins, Associate Director of the Division of Enforcement. “The SEC will not tolerate deficient controls surrounding an issuer’s financial reporting obligations, including quarterly reporting obligations.”

Capital One’s material understatements of its loan loss expense and internal controls failures violated the reporting, books and records, and internal controls provisions of the federal securities laws, namely Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 and Rules 12b-20 and 13a-13. Schnall and LaGassa caused Capital One’s violations of Section 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rule 13a-13 thereunder and violated Exchange Act Rule 13b2-1 by indirectly causing Capital One’s books and records violations.

Schnall agreed to pay an $85,000 penalty and LaGassa agreed to pay a $50,000 penalty to settle the SEC’s charges. Capital One and the two executives neither admitted nor denied the findings in consenting to the SEC’s order requiring them to cease and desist from committing or causing any violations of these federal securities laws. (Press Rel. 2013-72)(Rel. 34-69442; AAER-3456; File No. 3-15299).

Commission Summarily Affirms Initial Decision of Administrative Law Judge, In Part, and Revokes the Registration of A-Power Energy Generation Systems, Ltd.

The Commission has summarily affirmed an administrative law judge's initial decision, in part, and revoked the registration of the securities of A-Power Energy Generation Systems, Ltd. The law judge found that A-Power had violated Exchange Act periodic reporting requirements by failing to file its required annual report for fiscal year 2010. The law judge also found, in determining sanctions, that A-Power failed to file an annual report for fiscal year 2011 or report the resignation of its auditor on Form 6-K. The Commission determined that the factual findings of the law judge were correct, with the exception of her finding with respect to Form 6-K. The Commission also determined that the law judge was correct in finding that A-Power violated Exchange Act 13(a) and Exchange Act Rule 13a-1. Accordingly, on its own initiative, the Commission determined that it was appropriate to summarily affirm these factual and legal findings. The Commission further determined that A-Power's failure to file was serious, recurrent, and evidenced a high degree of culpability, and that A-Power failed to demonstrate any effort to remedy its past violations or to offer any credible assurances against future violations. The Commission concluded therefore that revoking the registration of A-Power's registered securities was necessary and appropriate for the protection of investors. (Rel. 34-69439; File No. 3-14935)

In the Matter of Tara Bryson

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Tara Bryson. The Order finds that Tara Bryson was a former employee of New Stream Capital, LLC (New Stream), an unregistered investment adviser and Delaware limited liability company organized in October 2002 with its principal place of business in Ridgefield, Connecticut. Tara Bryson worked for New Stream and its predecessor entities from approximately 2004 to 2010. On February 26, 2013, the Commission filed a civil action against Tara Bryson and others in the United States District Court for the District of Connecticut, SEC v. New Stream Capital, LLC, et al., Civil Action No. 3:13-cv-00264-RNC. The Commission’s Complaint alleges, inter alia, that while employed at New Stream, Tara Bryson engaged in conduct that violated Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and that she aided and abetted violations of Section 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. On April 16, 2013, the United States District Court for the District of Connecticut entered, by consent, a final judgment against Tara Bryson permanently enjoining her from violating Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Section 206(4) of the Advisers Act and Rule 206-4(8) thereunder.

Based on the above, the Order bars Tara Bryson from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Tara Bryson consented to the issuance of the Order without admitting or denying any of the findings in the Order, except she admitted to the entry of the injunction. (Rel. IA- 3592; File No. 3-15300)

INVESTMENT COMPANY ACT RELEASES

STETSON CAPITAL FUND LP AND DAVIS POLK & WARDWELL LLP

An order has been issued on an application filed by Stetson Capital Fund LP and Davis Polk & Wardwell LLP to exempt certain limited partnerships formed for the benefit of eligible employees of Davis Polk & Wardwell LLP and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each company will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30475-April 23, 2013)

SAGE QUANT MANAGEMENT LLC, ET AL.

An order has been issued on an application filed by Sage Quant Management LLC, et al. The order permits: (a) certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Unit Aggregations); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Unit Aggregations; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30476- April 23, 2013)

NEUBERGER BERMAN ETF TRUST AND NEUBERGER BERMAN MANAGEMENT LLC

An order has been issued on an application filed by Neuberger Berman ETF Trust and Neuberger Berman Management LLC. The order permits: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30473- April 22, 2013)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-042) 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 April 22nd. (Rel. 34-69422)

A proposed rule change filed by BOX Options Exchange LLC to amend Rule 7170 to clarify that the Exchange may grant Obvious Error relief in the event of unusual circumstances (SR-BOX-2013-21) 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 April 29th. (Rel. 34-69429)

The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2013-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the Liquidity Factor of its CDS margin methodology. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69435)

Notice of Filing of a Proposed Rule Change

Fixed Income Clearing Corporation filed a proposed rule change (File No. SR-FICC-2013-03) pursuant to Section 19(b)(1) of the Act to amend FICC’s Mortgage-Backed Securities Division Clearing Rules in order to accurately reflect the manner in which FICC should allocate an indemnity claim made in connection with the use of the Board of Governors of the Federal Reserve System’s National Settlement Service. Publication of the proposal is expected to be made in the Federal Register during the week of April 29th. (Rel. 34-69434)

New York Stock Exchange LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NYSE-2013-21) amending NYSE Rule 104 to codify certain traditional trading floor functions that may be performed by Designated Market Makers (“DMMs”), to make exchange systems available to DMMs that would provide DMMs with certain market information, to amend the Exchange’s rules governing the ability of DMMs to provide market information to floor brokers, and to make conforming amendments to other rules. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69427)

NYSE MKT LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NYSEMKT-2013-25) to amend NYSE MKT Rule 104 - Equities to codify certain traditional trading floor functions that may be performed by Designated Market Makers (“DMMs”) to make exchange systems available to DMMs that would provide DMMs with certain market information, to amend the Exchange’s rules governing the ability of DMMs to provide market information to floor brokers, and to make conforming amendments to other rules. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69428)

Notice of Withdrawal of a Proposed Rule Change

ICE Clear Europe Limited withdrew its proposed rule change (File No. SR-ICEEU-2013-05) to implement central counterparty resolution and recovery procedures. Publication is expected in the Federal Register during the week of April 22nd. (Rel. 34-69423)

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-8     EWaste Systems, Inc., 101 FIRST STREET, NUMBER 493, LOS ALTOS, CA, 
        94022, 650-283-2907 - 30,000,000 ($31.92) Equity, (File 333-188069 - 
        Apr. 23) (BR. 02)

S-8     Hannon Armstrong Sustainable Infrastructure Capital, Inc., 
        1906 TOWNE CENTRE BLVD, SUITE 370, ANNAPOLIS, MD, 21401, 
        (410) 571-9860 - 0 ($13,709,288.94) Equity, (File 333-188070 - Apr. 23) 
        (BR. 08B)

S-3ASR  KINDER MORGAN ENERGY PARTNERS L P, 1001 LOUISIANA STREET, SUITE 1000, 
        HOUSTON, TX, 77002, 713-369-9457 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-188071 - Apr. 23) 
        (BR. 02C)

S-3ASR  NIKE INC, ONE BOWERMAN DR, BEAVERTON, OR, 97005-6453, 5036713173 - 
        0 ($0.00) Debt, (File 333-188072 - Apr. 23) (BR. 06C)

S-3     Symmetry Medical Inc., 3724 N STATE ROAD 15, WARSAW, IN, 46582, 
        574-268-2252 - 0 ($150,000,000.00) Equity, (File 333-188073 - Apr. 23) 
        (BR. 10B)

F-3ASR  Grifols SA, 1585 BROADWAY, SUITE 2376, NEW YORK, NY, 10036, 
        212-969-3335 - 0 ($129,711,997.02) Other, (File 333-188074 - Apr. 23) 
        (BR. 01B)

S-8     eLayaway, Inc., 1625 SUMMIT LAKE DRIVE, SUITE 205, TALLAHASSEE, FL, 
        32317, 850-219-8210 - 950,000,000 ($285,000.00) Equity, 
        (File 333-188075 - Apr. 23) (BR. 03B)

S-8     WASHINGTON TRUST BANCORP INC, 23 BROAD ST, WESTERLY, RI, 02891, 
        4013481200 - 1,748,250 ($46,258,695.00) Equity, (File 333-188076 - 
        Apr. 23) (BR. 07C)

S-3ASR  UMB FINANCIAL CORP, 1010 GRAND AVE, KANSAS CITY, MO, 64106, 
        8168607000 - 0 ($23,362,500.00) Equity, (File 333-188080 - Apr. 23) 
        (BR. 07B)

S-3ASR  UMB FINANCIAL CORP, 1010 GRAND AVE, KANSAS CITY, MO, 64106, 
        8168607000 - 0 ($0.00) Other, (File 333-188082 - Apr. 23) (BR. 07B)

S-8     SANMINA CORP, 2700 N FIRST ST, SAN JOSE, CA, 95134, 4089643500 - 
        0 ($17,748,000.00) Equity, (File 333-188085 - Apr. 23) (BR. 03A)

S-3     PULASKI FINANCIAL CORP, 12300 OLIVE BLVD, ST LOUIS, MO, 63141, 
        3148782210 - 0 ($40,000,000.00) Other, (File 333-188086 - Apr. 23) 
        (BR. 07C)

S-8     PULASKI FINANCIAL CORP, 12300 OLIVE BLVD, ST LOUIS, MO, 63141, 
        3148782210 - 0 ($5,140,000.00) Equity, (File 333-188087 - Apr. 23) 
        (BR. 07C)

S-8     HYPERION THERAPEUTICS INC, 601 GATEWAY BLVD., SUITE 200, 
        SOUTH SAN FRANCISCO, CA, 94080, 650-745-7802 - 
        0 ($16,090,265.00) Equity, (File 333-188088 - Apr. 23) (BR. 01A)

S-4     SCBT FINANCIAL CORP, 520 GERVAIS STREET, COLUMBIA, SC, 29201, 
        803-231-3581 - 0 ($340,551,986.00) Equity, (File 333-188089 - Apr. 23) 
        (BR. 07B)

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

3DICON CORP                             OK       8.01,9.01            04/23/13

AASTROM BIOSCIENCES INC                 MI       7.01,9.01            04/17/13

ACACIA RESEARCH CORP                    DE       7.01,9.01            04/23/13

ACCELERATED ACQUISITIONS XXII           DE       1.01,5.01,5.02,9.01  04/23/12

ACORDA THERAPEUTICS INC                          8.01,9.01            04/23/13

ADCARE HEALTH SYSTEMS INC               OH       3.01,9.01            04/17/13

ADDVANTAGE TECHNOLOGIES GROUP INC       OK       7.01,9.01            04/23/13

AeroGrow International, Inc.            NV       1.01,1.02,2.03,       04/22/13

3.02,5.02,5.03,9.01

AFFYMAX INC                             DE       5.02,8.01            04/19/13

AIR INDUSTRIES GROUP, INC.              DE       5.02                 04/19/13

AIR PRODUCTS & CHEMICALS INC /DE/       DE       2.02,9.01            04/23/13

AK STEEL HOLDING CORP                   DE       2.02,9.01            04/23/13

ALCO STORES INC                         KS       2.02,7.01,9.01       04/18/13

ALL AMERICAN SPORTPARK INC              NV       5.02                 04/17/13

Alliance Bancorp, Inc. of Pennsylvani   PA       7.01,9.01            04/23/13

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            04/23/13

ALLIANCE FIBER OPTIC PRODUCTS INC       CA       2.02,9.01            04/23/13

ALR TECHNOLOGIES INC.                   NV       4.01,9.01            04/09/13    AMEND

AMAG PHARMACEUTICALS INC.               DE       2.02,9.01            04/23/13

AMARIN CORP PLC\UK                      X0       8.01                 04/23/13

AMARU INC                               NV       4.02                 04/18/13

AMEREN CORP                             MO       5.02,5.07            04/22/13

AMERICAN NATIONAL INSURANCE CO /TX/     TX       2.02,9.01            04/23/13

Ameris Bancorp                          GA       2.02,9.01            04/23/13

AMERISERV FINANCIAL INC /PA/            PA       8.01                 04/23/13

AMGEN INC                               DE       2.02,9.01            04/23/13

AMSURG CORP                             TN       2.02,7.01,9.01       03/31/13

ANAREN  INC                             NY       2.02,9.01            04/23/13

ANIXTER INTERNATIONAL INC               DE       2.02,9.01            04/23/13

Anoteros, Inc.                          NV       5.02                 04/23/12

API Technologies Corp.                  DE       1.01,2.01,8.01,9.01  04/17/13

APOLLO GROUP INC                        AZ       5.02                 04/17/13

APPLE INC                               CA       2.02,9.01            04/23/13

APPLE INC                               CA       7.01,9.01            04/23/13

ARCA biopharma, Inc.                    DE       7.01,9.01            04/23/13

ARCH COAL INC                           DE       2.02,9.01            04/23/13

ARKANSAS BEST CORP /DE/                 DE       8.01,9.01            04/23/13

Arlington Asset Investment Corp.        VA       2.02,8.01            04/23/13

ARRHYTHMIA RESEARCH TECHNOLOGY INC /D   DE       3.01,9.01            04/23/13

ASSOCIATED MATERIALS, LLC               DE       1.01,2.03,8.01       04/18/13

ASSOCIATED MATERIALS, LLC               DE       8.01,9.01            04/23/13

ASSURED GUARANTY LTD                    D0       2.02,9.01            04/23/13

ASTEC INDUSTRIES INC                    TN       2.02,9.01            04/23/13

AT&T INC.                               DE       2.02,9.01            04/23/13

AT&T INC.                               DE       8.01,9.01            04/23/13

Atlantic Coast Financial CORP           MD       1.01,8.01,9.01       04/22/13

ATLAS PIPELINE PARTNERS LP              DE       1.01,8.01,9.01       04/17/13

AWARE INC /MA/                          MA       2.02,9.01            04/23/13

BANCORPSOUTH INC                        MS       2.02,7.01,9.01       04/22/13

Bank of Marin Bancorp                   CA       5.02                 04/23/13

BankUnited, Inc.                        DE       5.02,8.01,9.01       04/19/13

BANNER CORP                             WA       2.02,9.01            04/22/13

BAR HARBOR BANKSHARES                   ME       8.01                 04/23/13

BARD C R INC /NJ/                       NJ       2.02,9.01            04/23/13

BCSB Bancorp Inc.                                8.01,9.01            04/19/13

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            04/23/13

Bering Exploration, Inc.                NV       5.02                 04/22/13

BERKLEY W R CORP                        DE       2.02,9.01            04/23/13

BIOTIME INC                             CA       7.01,9.01            04/23/13

Black Elk Energy Offshore Operations,   TX       5.02,9.01            04/16/13

Boardwalk Pipeline Partners, LP         DE       3.03,9.01            04/18/13

BOVIE MEDICAL CORP                      DE       1.01,9.01            04/18/13

BRAINSTORM CELL THERAPEUTICS INC.       DE       5.07                 04/18/13

BRINKER INTERNATIONAL INC               DE       2.02,9.01            04/23/13

BROADCOM CORP                           CA       2.02,9.01            04/23/13

CABLEVISION SYSTEMS CORP /NY            DE       1.01,1.02,2.03,9.01  04/17/13

CAESARS ENTERTAINMENT Corp              DE       8.01,9.01            04/23/13

CAPELLA EDUCATION CO                             2.02,9.01            04/23/13

CARNIVAL CORP                           DE       5.07                 04/17/13

CECIL BANCORP INC                       MD       5.07                 04/17/13

CENTENE CORP                                     2.02,9.01            04/23/13

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            04/23/13

CHIQUITA BRANDS INTERNATIONAL INC       NJ       5.02,9.01            04/23/13

CHROMCRAFT REVINGTON INC                DE       5.04,9.01            04/18/13

CIT GROUP INC                           DE       2.02,7.01,9.01       04/23/13

CITIZENS FINANCIAL SERVICES INC         PA       2.02,9.01            04/17/13

CME GROUP INC.                          DE       5.03,9.01            04/17/13

COACH INC                               MD       2.02,5.02,9.01       04/23/13

COMERICA INC /NEW/                      DE       7.01,9.01            04/23/13

COMM 2013-CCRE7 Mortgage Trust          DE       8.01,9.01            04/23/13

COMMERCE BANCSHARES INC /MO/            MO       5.02,5.07,9.01       04/17/13

COMMUNITY TRUST BANCORP INC /KY/        KY       7.01,9.01            03/31/13

COMPUTER TASK GROUP INC                 NY       2.02,9.01            04/23/13

CONSOLIDATED TOMOKA LAND CO             FL       2.02,9.01            04/23/13

Cornerworld Corp                        NV       5.07                 04/17/13

CRANE CO /DE/                           DE       2.02,5.02,           04/22/13

5.07,8.01,9.01          

CREE INC                                NC       2.02,9.01            04/23/13

DARLING INTERNATIONAL INC               DE       5.02,9.01            04/23/13

DELL INC                                DE       5.02,9.01            04/17/13

DELTA AIR LINES INC /DE/                DE       2.02,9.01            04/23/13

DEVRY INC                               DE       2.02,9.01            04/23/13

DICE HOLDINGS, INC.                     DE       2.02,9.01            04/23/13

DIRECTVIEW HOLDINGS INC                          4.01,9.01            04/18/13

Discover Financial Services             DE       2.02,9.01            04/23/13

Diversified Restaurant Holdings, Inc.   NV       8.01,9.01            04/23/13

DNB FINANCIAL CORP /PA/                 PA       2.02,9.01            04/23/13

DubLi, Inc.                             NV       2.03                 04/23/13

Duff & Phelps Corp                      DE       2.01,2.03,3.01,      04/23/13

3.03,5.01,5.02,5.03,8.01,9.01   

DUPONT E I DE NEMOURS & CO              DE       2.02,9.01            04/23/13

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01                 04/23/13

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01,8.01,9.01       04/23/13

Edwards Lifesciences Corp               DE       2.02,9.01            04/23/13

ELITE PHARMACEUTICALS INC /NV/          NV       8.01,9.01            04/23/13

EMERSON ELECTRIC CO                     MO       2.02,7.01            04/23/13

ENBRIDGE ENERGY MANAGEMENT L L C        DE       5.02                 04/22/13

ENBRIDGE ENERGY PARTNERS LP             DE       5.02                 04/22/13

ENERNOC INC                             DE       5.02,9.01            04/23/13

ENNIS, INC.                             TX       2.02,8.01,9.01       04/22/13

ENTEGRIS INC                            DE       2.02,9.01            04/23/13

EQUITY LIFESTYLE PROPERTIES INC         MD       2.02                 04/22/13

EVEREST RE GROUP LTD                    D0       2.02,9.01            04/23/13

EVERTEC, Inc.                           PR       1.01,1.02,2.03,      04/17/13

5.03,9.01          

EXACTECH INC                            FL       2.02,7.01,9.01       04/23/13

Expedia, Inc.                           DE       5.02,9.01            04/17/13

FARMERS & MERCHANTS BANCORP INC         OH       5.07                 04/18/13

Federal Home Loan Bank of Atlanta       X1       2.03                 04/17/13

Federal Home Loan Bank of Boston        X1       2.03                 04/18/13

Federal Home Loan Bank of Chicago       X1       2.03                 04/17/13

Federal Home Loan Bank of Chicago       X1       2.02,9.01            04/23/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            04/19/13

Federal Home Loan Bank of Dallas                 2.03,9.01            04/17/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            04/19/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            04/23/13

Federal Home Loan Bank of New York      X1       2.03,9.01            04/17/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            04/17/13

Federal Home Loan Bank of San Francis   X1       2.03                 04/18/13

Federal Home Loan Bank of Seattle                2.03                 04/17/13

Federal Home Loan Bank of Topeka                 2.03,9.01            04/17/13

FINISH LINE INC /IN/                    IN       8.01,9.01            04/23/13

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       2.02,7.01,9.01       04/23/13

FIRST DEFIANCE FINANCIAL CORP           OH       2.02,9.01            04/22/13

FIRST FINANCIAL BANKSHARES INC          TX       7.01,9.01            04/23/13

FIRST FINANCIAL CORP /IN/               IN       5.07                 04/17/13

FIRST INTERSTATE BANCSYSTEM INC         MT       2.02,9.01            04/22/13

FIRSTBANK CORP                          MI       2.02,9.01            04/22/13

FIRSTBANK CORP                          MI       8.01                 04/22/13

FIRSTMERIT CORP /OH/                    OH       2.02,9.01            04/23/13

FNB CORP/FL/                            FL       2.02,8.01,9.01       04/23/13

FOREST CITY ENTERPRISES INC             OH       3.02                 04/22/13

FOREST LABORATORIES INC                 DE       2.02,9.01            04/23/13

Fortegra Financial Corp                 DE       4.01                 04/19/13

Fortegra Financial Corp                 DE       4.01                 04/23/13    AMEND

FOSTER WHEELER AG                       V8       2.02,7.01,9.01       04/23/13

FX ENERGY INC                           NV       8.01,9.01            04/23/13

GANNETT CO INC /DE/                     DE       2.02                 04/23/13

GASCO ENERGY INC                        NV       7.01,9.01            04/23/13

GASTAR EXPLORATION LTD                           1.01,7.01            04/19/13

GE Dealer Floorplan Master Note Trust   DE       1.01,9.01            04/17/13    AMEND

GENSPERA INC                            DE       7.01,9.01            04/23/13

GENTEX CORP                             MI       2.02,9.01            04/23/13

GEOGLOBAL RESOURCES INC.                DE       3.01                 04/22/13

Georgia-Carolina Bancshares, Inc        GA       2.02,7.01,9.01       04/23/13

GLADSTONE COMMERCIAL CORP               MD       2.02,7.01            04/23/13

GLADSTONE COMMERCIAL CORP               MD       7.01,9.01            04/23/13

Globalstar, Inc.                        DE       1.01,7.01,9.01       04/22/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            04/19/13

GREAT CHINA MANIA HOLDINGS, INC.        FL       1.01,9.01            04/23/13

GSE SYSTEMS INC                         DE       5.02                 04/17/13

GULF ISLAND FABRICATION INC             LA       5.02                 04/18/13

GULF RESOURCES, INC.                    DE       8.01,9.01            04/23/13

HALF ROBERT INTERNATIONAL INC /DE/      DE       2.02,8.01,9.01       04/23/13

HALLIBURTON CO                          DE       1.04                 04/17/13

Hanesbrands Inc.                        MD       2.02,7.01,9.01       04/23/13

HARMONIC INC                            DE       2.02,9.01            04/23/13

HARRIS & HARRIS GROUP INC /NY/          NY       8.01,9.01            04/23/13

Hatteras Financial Corp                          2.02,9.01            04/23/13

HAWAIIAN HOLDINGS INC                   DE       2.02,9.01            04/23/13

HEALTH REVENUE ASSURANCE HOLDINGS, IN   NV       5.01,5.02,9.01       04/22/13

HECLA MINING CO/DE/                     DE       8.01,9.01            04/22/13

HOME BANCORP, INC.                      LA       2.02,9.01            04/23/13

HOMEAWAY INC                            DE       2.02,9.01            04/23/13

HORNE INTERNATIONAL, INC.               DE       5.02                 03/21/12

HOST HOTELS & RESORTS, INC.             MD       1.01                 04/17/13

HUDSON VALLEY HOLDING CORP              NY       2.02,9.01            04/23/13

HUNTINGTON BANCSHARES INC/MD            MD       5.07                 04/19/13

HUTTIG BUILDING PRODUCTS INC            DE       5.07                 04/22/13

iBio, Inc.                              DE       1.01,9.01            04/23/13

IDENTIVE GROUP, INC.                    DE       1.01,9.01            04/22/13

IDERA PHARMACEUTICALS, INC.             DE       1.01,9.01            04/23/13

IDEX CORP /DE/                          DE       2.02,9.01            04/22/13

IDEXX LABORATORIES INC /DE              DE       2.02,9.01            04/23/13

II-VI INC                               PA       2.02,9.01            04/23/13

ILLINOIS TOOL WORKS INC                 DE       2.02,9.01            04/23/13

INDEPENDENT BANK CORP /MI/              MI       7.01,9.01            04/23/13

Ingersoll-Rand plc                      L2       2.02,9.01            04/23/13

InspireMD, Inc.                         DE       8.01,9.01            04/19/13

INTERMOUNTAIN COMMUNITY BANCORP         ID       2.02,9.01            04/23/13

IROBOT CORP                             DE       2.02,7.01,9.01       04/23/13

IRONWOOD PHARMACEUTICALS INC            DE       2.02,9.01            04/23/13

JANUS CAPITAL GROUP INC                 DE       2.02,9.01            04/23/13

JBI, INC.                               NV       9.01                 04/19/13    AMEND

JOHNSON CONTROLS INC                    WI       2.02,7.01,9.01       04/23/13

JPMORGAN CHASE & CO                     DE       3.03,5.03,8.01,9.01  04/23/13

JUNIPER NETWORKS INC                    DE       2.02,9.01            04/23/13

KAISER ALUMINUM CORP                    DE       2.02,9.01            04/23/13

KANSAS CITY LIFE INSURANCE CO           MO       5.07                 04/22/13

KBS Legacy Partners Apartment REIT, I   MD       1.01,2.03            04/18/13

KORN FERRY INTERNATIONAL                DE       5.02,8.01            04/17/13

LAKELAND INDUSTRIES INC                 DE       1.01,9.01            04/19/13

LAZARE KAPLAN INTERNATIONAL INC         DE       8.01,9.01            04/23/13

LEHMAN ABS CORP BACKED TRUST CERTS SE   DE       8.01,9.01            04/15/13

LEHMAN ABS CORP HSBC DEBENTURE BACKED   DE       8.01,9.01            04/12/13

LENCO MOBILE INC.                       DE       5.02                 04/18/13

LEXMARK INTERNATIONAL INC /KY/          DE       2.02,9.01            04/23/13

Liberty Global, Inc.                    DE       2.03,9.01            04/19/13

LIBERTY PROPERTY TRUST                  MD       2.02,9.01            04/23/13

LIME ENERGY CO.                         DE       3.01,9.01            04/17/13

LINCOLN ELECTRIC HOLDINGS INC           OH       2.02,9.01            04/23/13

LNB BANCORP INC                         OH       7.01,9.01            04/23/13

LOCKHEED MARTIN CORP                    MD       2.02,9.01            04/23/13

MANHATTAN ASSOCIATES INC                GA       2.02,5.02,9.01       04/22/13

MB FINANCIAL INC /MD                             2.02,9.01            04/22/13

McEwen Mining Inc.                      CO       7.01,9.01            04/23/13

MEDIVATION, INC.                        DE       5.02,9.01            04/22/13

MEMSIC Inc                                       8.01,9.01            04/22/13

MERIDIAN INTERSTATE BANCORP INC                  2.02,9.01            04/23/13

MICROVISION INC                         DE       5.02                 04/23/13

MIDDLEFIELD BANC CORP                   OH       2.02,9.01            04/23/13

Midway Gold Corp                        A1       7.01,9.01            04/23/13

MidWestOne Financial Group, Inc.        IA       5.07,8.01,9.01       04/18/13

MOLEX INC                               DE       2.02,9.01            04/23/13

MONEYGRAM INTERNATIONAL INC                      3.01,9.01            04/22/13

Monster Offers                          NV       1.01,9.01            04/11/13

Motors Liquidation Co                   DE       8.01,9.01            04/23/13

MSC INDUSTRIAL DIRECT CO INC            NY       1.01,1.02,           04/22/13

2.01,2.03,9.01          

MUELLER INDUSTRIES INC                  DE       2.02,9.01            04/23/13

NAKED BRAND GROUP INC.                  NV       3.02                 04/19/13

Naugatuck Valley Financial Corp                  5.02,8.01,9.01       04/18/13

NB&T FINANCIAL GROUP INC                OH       2.02,7.01,9.01       04/23/13

NBT BANCORP INC                         DE       2.02,9.01            04/22/13

NEOGENOMICS INC                         NV       5.02,9.01            04/19/13

NETFLIX INC                             DE       3.02                 04/23/13

NEW ENERGY SYSTEMS GROUP                NV       3.01,8.01,9.01       04/17/13

NEWS CORP                                        8.01,9.01            04/23/13

NORFOLK SOUTHERN CORP                   VA       2.02,7.01,9.01       04/23/13

NorthStar Real Estate Income Trust, I   MD       1.01,9.01            04/18/13

OCEANEERING INTERNATIONAL INC           DE       2.02,8.01,9.01       04/23/13

ONEOK INC /NEW/                         OK       7.01,9.01            04/23/13

ONEOK Partners LP                       DE       7.01,9.01            04/23/13

ORAGENICS INC                           FL       1.01,9.01            04/19/13

ORBITAL SCIENCES CORP /DE/              DE       2.02,9.01            04/22/13

OWENS ILLINOIS INC /DE/                 DE       2.02,9.01            04/23/13

PACCAR INC                              DE       2.02,9.01            04/23/13

PACIFIC BIOSCIENCES OF CALIFORNIA, IN   DE       2.02,9.01            04/23/13

PACIFIC BIOSCIENCES OF CALIFORNIA, IN   DE       2.02,9.01            04/23/13

PACIFIC GOLD CORP                       NV       1.01,9.01            04/12/13

PACIFIC MERCANTILE BANCORP              CA       1.01,5.02,7.01,9.01  04/17/13

PACIFIC PREMIER BANCORP INC             DE       8.01,9.01            04/23/13

PACKAGING CORP OF AMERICA                        2.02,9.01            04/22/13

PANERA BREAD CO                         DE       2.02,7.01,9.01       04/23/13

PANERA BREAD CO                         DE       5.02,9.01            04/23/13

PAPA JOHNS INTERNATIONAL INC            DE       5.02,9.01            03/19/13    AMEND

PARK NATIONAL CORP /OH/                 OH       5.02,5.07,8.01,9.01  04/22/13

PARKE BANCORP, INC.                     NJ       8.01,9.01            04/23/13

PARKER DRILLING CO /DE/                 DE       1.01,2.01,2.03,      04/22/13

3.03,7.01,9.01     

PARKER HANNIFIN CORP                    OH       5.05,9.01            04/18/13

PEAPACK GLADSTONE FINANCIAL CORP        NJ       8.01,9.01            04/22/13

PEAPACK GLADSTONE FINANCIAL CORP        NJ       2.02,9.01            04/23/13

PEDEVCO CORP                            TX       5.03,8.01,9.01       04/23/13

PEDEVCO CORP                            TX       4.02                 04/22/13    AMEND

PENN NATIONAL GAMING INC                PA       2.02,2.06,9.01       04/18/13

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       2.02,9.01            04/22/13

PennyMac Mortgage Investment Trust      MD       2.02,9.01            04/23/13

PennyMac Mortgage Investment Trust      MD       8.01,9.01            04/23/13

PENTAIR LTD                             V8       2.02,9.01            04/23/13

PEOPLES BANCORP INC                     OH       2.02,9.01            04/23/13

PETSMART INC                            DE       5.02                 04/22/13

PIONEER NATURAL RESOURCES CO            DE       2.02,7.01            04/22/13

Pioneer Southwest Energy Partners L.P   DE       2.02,7.01            04/22/13

PMI GROUP INC                           DE       7.01,9.01            04/23/13

PNC FINANCIAL SERVICES GROUP, INC.      PA       2.02,9.01            04/23/13

PNM RESOURCES INC                       NM       1.01,2.03,9.01       04/22/13

POLARIS INDUSTRIES INC/MN               MN       2.02,7.01,9.01       04/23/13

POLYCOM INC                             DE       2.02,9.01            04/23/13

POTLATCH CORP                           DE       2.02,9.01            04/23/13

POWERSECURE INTERNATIONAL, INC.         DE       8.01,9.01            04/22/13

PRECISION PETROLEUM Corp                NV       1.01,9.01            04/19/13

PRECISION PETROLEUM Corp                NV       5.02                 04/19/13

Prothena Corp plc                       L2       7.01,8.01,9.01       04/23/13

PROVIDENT NEW YORK BANCORP              DE       2.02,9.01            04/22/13

PURE BIOSCIENCE, INC.                   DE       1.01,3.02,9.01       04/17/13

Pzena Investment Management, Inc.       DE       2.02,9.01            03/31/13

QNB CORP                                PA       2.02,9.01            04/23/13

QUEST DIAGNOSTICS INC                   DE       8.01                 04/19/13

QUESTAR CORP                            UT       1.01                 04/19/13

QUIDEL CORP /DE/                        DE       2.02,7.01,9.01       04/23/13

QUINSTREET, INC                         DE       1.01,5.02,9.01       04/22/13

RADIOSHACK CORP                         DE       2.02,9.01            03/31/13

RAMCO GERSHENSON PROPERTIES TRUST       MD       2.02,7.01,9.01       04/23/13

Rand Logistics, Inc.                    DE       5.02,8.01,9.01       04/18/13

Realogy Holdings Corp.                  DE       8.01,9.01            04/23/13

REGIONS FINANCIAL CORP                  DE       2.02,7.01,9.01       04/23/13

RENASANT CORP                           MS       2.02,9.01            04/23/13

RENTECH INC /CO/                        CO       7.01,8.01,9.01       04/18/13

Rentech Nitrogen Partners, L.P.         DE       7.01,9.01            04/18/13

RESOURCES CONNECTION INC                DE       8.01,9.01            04/18/13

REX ENERGY CORP                         DE       7.01,8.01,9.01       04/23/13

REYNOLDS AMERICAN INC                            2.02,9.01            04/23/13

RF MICRO DEVICES INC                    NC       2.02,9.01            04/23/13

ROCKY BRANDS, INC.                      OH       2.02,9.01            04/23/13

Rosetta Resources Inc.                  DE       1.01,9.01            04/18/13

ROTATE BLACK INC                        NV       8.01,9.01            04/23/13

RURBAN FINANCIAL CORP                   OH       2.02,9.01            04/22/13

RYDER SYSTEM INC                        FL       2.02,9.01            04/23/13

Ryman Hospitality Properties, Inc.      DE       1.01,8.01,9.01       04/18/13

S Y BANCORP INC                         KY       8.01                 04/22/13

S&T BANCORP INC                         PA       2.02,8.01,9.01       04/22/13

SAIC, Inc.                                       1.01,9.01            04/19/13

Sanborn Resources, Ltd.                 DE       1.01,9.01            04/17/13

SBA COMMUNICATIONS CORP                 FL       1.01,2.03,9.01       04/04/13

SEACOR HOLDINGS INC /NEW/               DE       7.01                 04/22/13

SECURITY FEDERAL CORP                   SC       2.02,9.01            04/22/13

Sensata Technologies Holding N.V.       P7       2.02,9.01            04/23/13

Shire plc                                        8.01,9.01            04/23/13

SMITH A O CORP                          DE       2.02,9.01            04/23/13

SOLITRON DEVICES INC                    DE       5.03,9.01            04/22/13

SONIC AUTOMOTIVE INC                    DE       2.02,5.07,7.01,9.01  04/17/13

SOUTHERN CO                             DE       2.02,7.01            04/23/13

SOUTHERN FIRST BANCSHARES INC           SC       2.02,9.01            04/23/13

SOUTHSIDE BANCSHARES INC                TX       5.07                 04/23/13    AMEND

SOUTHWEST GEORGIA FINANCIAL CORP        GA       2.02,9.01            03/31/13

SPARK NETWORKS INC                      DE       2.02,9.01            04/23/13

SPECTRANETICS CORP                      DE       2.02,9.01            04/23/13

STANCORP FINANCIAL GROUP INC            OR       2.02,9.01            04/23/13

STATE BANK FINANCIAL CORP               GA       7.01,9.01            04/23/13

STREAMTRACK, INC.                                4.02                 04/22/13

STRUCTURED PRODUCTS CORP CORTS FOR PR   DE       8.01,9.01            04/17/13

STRUCTURED PRODUCTS CORP CORTS TR III   DE       8.01,9.01            04/17/13

STUDIO ONE MEDIA, INC.                  DE       5.02                 04/16/13

SUNOCO LOGISTICS PARTNERS L.P.          DE       8.01,9.01            04/23/13

Super Micro Computer, Inc.              CA       2.02,9.01            04/23/13

SYNOVUS FINANCIAL CORP                  GA       8.01                 04/22/13

SYNOVUS FINANCIAL CORP                  GA       2.02,7.01,9.01       04/23/13

TAIWAN FUND INC                         DE       7.01,9.01            03/31/13

Targeted Medical Pharma, Inc.                    2.02,7.01,9.01       04/23/13

Tennessee Valley Authority                       1.01,9.01            04/18/13

Texas Rare Earth Resources Corp.        DE       7.01,9.01            04/21/13

TherapeuticsMD, Inc.                    NV       8.01,9.01            04/19/13

Thermon Group Holdings, Inc.            DE       1.01,2.03,2.04,9.01  04/22/13

Tonix Pharmaceuticals Holding Corp.     NV       5.07                 04/19/13

TORCHMARK CORP                          DE       2.02,9.01            04/23/13

TOTAL SYSTEM SERVICES INC               GA       2.02,7.01,9.01       04/23/13

Tower International, Inc.               DE       5.07                 04/19/13

TRAVELERS COMPANIES, INC.               MN       2.02,9.01            04/23/13

TRUE RELIGION APPAREL INC               DE       1.01,5.02,9.01       04/17/13

Truli Media Group, Inc.                          1.01,9.01            04/23/13

Trunkbow International Holdings Ltd     NV       3.01,5.02,8.01,9.01  04/18/13

TRUSTMARK CORP                          MS       2.02,9.01            04/23/13

Tungsten Corp.                          NV       1.01,3.02,9.01       04/19/13

TWIN DISC INC                           WI       2.02,7.01,9.01       04/23/13

U.S. Auto Parts Network, Inc.           DE       1.01,2.01,9.01       04/17/13

UMB FINANCIAL CORP                      MO       2.02,9.01            04/23/13

Uni-Pixel                               DE       8.01,9.01            04/23/13

UNIGENE LABORATORIES INC                DE       8.01,9.01            04/16/13

UNISYS CORP                             DE       2.02,9.01            04/23/13

UNITED BANCORP INC /OH/                 OH       2.02,5.02,5.07,9.01  04/17/13

UNITED BANCSHARES INC/OH                OH       2.02,7.01,9.01       03/31/13

UNITED TECHNOLOGIES CORP /DE/           DE       2.02,9.01            04/23/13

UNITIL CORP                             NH       5.02,5.07            04/18/13

US AIRWAYS GROUP INC                    DE       2.02,9.01            04/23/13

US AIRWAYS GROUP INC                    DE       7.01,9.01            04/23/13

US ENERGY CORP                          WY       7.01,9.01            04/23/13

USANA HEALTH SCIENCES INC               UT       2.02,9.01            04/23/13

VASCULAR SOLUTIONS INC                  MN       2.02,9.01            04/23/13

VICON INDUSTRIES INC /NY/               NY       1.01,9.01            04/17/13

VITAMIN BLUE, INC.                      DE       8.01,9.01            04/17/13

VLOV INC.                               NV       8.01                 04/19/13

VMWARE, INC.                            DE       2.02,9.01            04/23/13

Vocus, Inc.                             DE       2.02,9.01            04/23/13

Voice Assist, Inc.                      NV       3.02,5.02            04/23/13

Voltari Corp                            DE       3.03,5.03,7.01,9.01  04/23/13

WADDELL & REED FINANCIAL INC            DE       2.02,9.01            04/23/13

WATERS CORP /DE/                        DE       2.02,9.01            04/23/13

WAUSAU PAPER CORP.                      WI       5.07,8.01            04/18/13

WELLPOINT, INC                          IN       5.02,9.01            04/23/13

WELLS FARGO & COMPANY/MN                DE       9.01                 04/23/13

WILSHIRE BANCORP INC                             2.02,9.01            04/22/13

World Energy Solutions, Inc.            DE       5.02                 04/17/13

WYNN RESORTS LTD                                 7.01,9.01            04/23/13

XEROX CORP                              NY       2.02,9.01            04/23/13

YUM BRANDS INC                          NC       2.02,9.01            04/23/13

ZHONG SEN INTERNATIONAL TEA CO          FL       4.01                 04/17/13

ZIX CORP                                TX       2.02,9.01            04/23/13

ZULU ENERGY CORP.                       CO       5.02,5.07            04/03/13

 

http://www.sec.gov/news/digest/2013/dig042413.htm


Modified: 04/24/2013