Fee Rate Advisory #3 for Fiscal Year 2013
The Securities and Exchange Commission (Commission) today announced that starting on May 25, 2013, the fee rates applicable to most securities transactions will decrease from $22.40 per million dollars to $17.40 per million dollars. The assessment on security futures transactions will remain unchanged at $0.0042 for each round turn transaction.
The Commission determined these new rates in accordance with Section 31 of the Securities Exchange Act of 1934 and consulted with both the Congressional Budget Office and the Office of Management and Budget regarding the annual adjustments. These adjustments do not directly affect the amount of funding available to the SEC.
The Office of Interpretation and Guidance in the Commission’s Division of Trading and Markets is available for questions on Section 31 at (202) 551-5777, or by e-mail at email@example.com.
The Commission will issue further notices as appropriate to keep the public informed of developments relating to fees under Section 31. These notices will be posted at the Commission's Internet Web site at http://www.sec.gov. (Press Rel. 2013-74)
Commission Suspends Trading in Securities of Five Companies
The Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on April 25, 2013 and terminating at 11:59 p.m. EDT on May 8, 2013:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69446)
Commission MeetingsClosed Meeting on Thursday, April 25, 2013 at 4:00 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.
Commission Seeks to Halt Scheme Raising Investor Funds under Guise of Jobs Act
The Commission today announced fraud charges against a Spokane Valley, Wash., company and its owner for misleading investors with claims to raise billions of investment capital under the Jumpstart Our Business Startups (JOBS) Act and invest it exclusively in American businesses.
The SEC alleges that Daniel F. Peterson and his company USA Real Estate Fund 1 promised investors that they could reap spectacular returns from an upcoming offering in a “secured” product backed by prominent financial firms. Peterson repeatedly told investors that the 2012 JOBS Act would enable him to raise billions of dollars by advertising the offering to the general public, and produce big profits for early investors. He preyed upon investors’ sense of patriotism by promising to invest the proceeds of the offering in exclusively American businesses, and help assist in Washington State’s economic recovery. The SEC alleges that Peterson used investors’ money for personal expenses, and is continuing to solicit investors and may be preparing to tout the offering through investor seminars and public advertising.
“We’ve brought this court action to stop Peterson’s fraud in its tracks before it picks up more steam,” said Michael S. Dicke, Associate Director in the SEC’s San Francisco Regional Office. “The JOBS Act is intended to help small businesses raise capital, not to legalize fraud or give unscrupulous entrepreneurs a right to make false claims to fleece investors.”
According to the SEC’s complaint filed in federal court in Spokane, Peterson sold common stock in USA Real Estate Fund from November 2010 to June 2012 to more than 20 investors in Washington and at least five other states. In e-mails and in periodic e-newsletters that he used to solicit USA Real Estate Fund investors, Peterson said that he was preparing to raise billions of dollars in a second offering of additional “preferred” securities, which he claimed would be “secured” and have 10-year returns of up to 1,300 percent. Peterson claimed that two prominent Wall Street financial firms had partnered with him to bring his offering to market, and that the firms had conducted due diligence on USA Real Estate Fund and were structuring sales agreements and pricing. Peterson promised the early investors they would profit massively once the purported future offering was underway.
Peterson’s claims were false. He has no guaranteed investment product to offer, the projected returns were either fictitious or based on implausible and unsupported analyses, and he has no affiliation with any financial firm to underwrite his purported future offering, the SEC alleges.
The SEC alleges that Peterson used investor money to pay for his rent, food, entertainment, vacations, and a rented Mercedes Benz SUV. He also used investor funds on clothing for friends, luggage for his wife, and expenses at a Las Vegas casino.
The SEC’s complaint charges USA Real Estate Fund and Peterson with violating the anti-fraud provisions of the federal securities laws. The SEC is seeking a court order requiring USA Real Estate Fund and Peterson to return their allegedly ill-gotten gains, with interest, and pay financial penalties. It also is seeking a preliminary injunction restraining USA Real Estate Fund and Peterson from engaging in conduct that would allow them to continue their scheme and restraining them from further violations of the securities laws.
David Berman and Tracy Davis of the SEC’s San Francisco Regional Office investigated the case. The SEC appreciates the assistance of the Washington State Department of Financial Institutions. (Press Rel. 2013-73; LR-22685)
Commission Orders Hearing on Registration Suspension or Revocation against Sinohub, Inc. for Failure to Make Required Periodic Filings
The Commission announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Exchange Act (Order) against SinoHub, Inc. (Respondent). The Division of Enforcement alleges that the Respondent is delinquent in its periodic filings with the Commission by failing to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, having not filed any periodic reports since it filed a Form 10-Q for the period ended March 31, 2012.
A hearing will be held by an Administrative Law Judge to determine whether the allegations contained in the Order are true, to afford the Respondent an opportunity to establish any defenses to such allegations, and to determine whether it is necessary or appropriate for the protection of investors to suspend for a period not exceeding twelve months, or revoke the registration of each class of securities of the Respondent registered pursuant to Section 12 of the Securities Exchange Act of 1934. The Order requires the Administrative Law Judge to issue an initial decision no later than 120 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-69463; File No. 3-15305)
In the Matter of Michael W. Bozora and Timothy R. Redpath
The Commission announced the issuance of two Orders Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Orders) against Michael W. Bozora (Bozora) and Timothy R. Redpath (Redpath). The Orders find that on April 16, 2013, final judgments were entered by consent against Bozora and Redpath permanently enjoining Bozora and Redpath from future violations of Sections 17(a)(2) and (3) of the Securities Act of 1933, in the civil action entitled Securities and Exchange Commission v. True North Finance Corp., et al., Civil Action Number 10-cv-3995-DWF-JJK, in the United States District Court for the District of Minnesota. The Orders find that Bozora and Redpath were part owners of Capital Solutions Management, LP (CSM), an investment adviser that was registered with the State of California from approximately 2002 through 2010 and part owners of Capital Solutions Distributors, LLC (CSD), a broker-dealer that was registered with the Commission from approximately 2004 through 2010, and were the registered representatives associated with CSD and other broker-dealers registered with the Commission. The Commission’s complaint alleged, among other things, that Bozora and Redpath failed to make adequate disclosure of the default of the sole borrower of the Capital Solutions Monthly Income Fund (Fund), the Fund’s foreclosure on that borrower, and the Fund’s loss of investment income resulting from the borrower’s default.
Based on the above, the Orders bar Bozora and Redpath from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. The Orders also bar Redpath and Bozora from participating in any penny stock offerings. Bozora and Redpath consented to the issuance of the Orders without admitting or denying the findings, except that they admitted to the entry of the final judgments. (Rel. 34-69462; File No.3-15304; Rel. 34-69461; File No. 3-15306)
Commission Orders Hearing on Registration Suspension or Revocation against Six Public Companies for Failure to Make Required Periodic Filings
Today, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69459; File No. 3-15302)
Commission Declares Decision as to Alero Odell Mack, Jr., Final
The initial decision of an administrative law judge with respect to Alero Odell Mack, Jr., has become final. The law judge barred Mack from association with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, and nationally recognized statistical rating organization. The initial decision found that on August 7, 2012, Mack was permanently enjoined by a federal district court from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. The court ordered Mack to disgorge $1,079,879. SEC v. Mack, No. CV 10-8383 DSF (PJWx)(Underlying Action) (C.D. CA 2012).
Mack, a Los Angeles, California, resident, was an unlicensed investment adviser, who owned, controlled, and managed at least 5 entities for which he acted as an investment adviser. The law judge found that Mack, by fraudulent means and over a period of approximately three years, raised at least $4 million dollars from approximately twenty-five unsophisticated investors living in California and Arizona. Mack attempted to lure investors using written materials containing false and misleading statements regarding an investment in a program that would result in a "100% return in only one day." He further misled investors regarding his background and the operations of his entities and the use of the investors' funds. A large amount of the investors' funds were used for Mack's personal uses and office expenses. The law judge found that Mack's repeated violations of the federal securities laws for his benefit, and at the expense of others, strongly suggest that further deterring his ability to reenter or participate, in any capacity, in the securities industry is in the public interest. (Rel. 34-69455; File No. 3-15036)
Corporate Capital Trust, Inc., et al.
A notice has been issued giving interested persons until May 20, 2013, to request a hearing on an application filed by Corporate Capital Trust, Inc., et al., for an order to permit a business development company to co-invest with certain affiliated investment funds and accounts in portfolio companies. (Rel. IC-30494 - April 25, 2013)
Munder Series Trust and Munder Capital Management
An order has been issued on an application filed by Munder Series Trust and Munder Capital Management under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30493 - April 24, 2013)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEARCA-2013-40) clarifying the Exchange’s treatment of Discretionary Orders that have discretionary prices outside of the Limit Up-Limit Down price bands has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69436)
A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-037) relating to fees for the BBO Data Feed for CBOE listed options 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. 34-69438)
A proposed rule change filed by The NASDAQ Stock Market LLC to establish the Limit Up/Limit Down Band Lookup add-on service to TradeInfo and assess a related subscription fee (SR-NASDAQ-2013-066) 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. 34-69444)
A proposed rule change filed by The NASDAQ Stock Market LLC to eliminate the free period for the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo under Rule 7015(f) (SR-NASDAQ-2013-069) 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 25th. (Rel. 34-69445)
Notice of Filing of a Proposed Rule Change
Pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, New York Stock Exchange LLC has filed a proposed rule change (SR-NYSE-2013-29), deleting NYSE Rule 476(a)(8), which addresses wash sales, in order to harmonize the Exchange’s rules with the rules of the Financial Industry Regulatory Authority. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69441).
NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-39) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to add a Moving Average Check for incoming Market Orders and marketable Limit Orders. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69443)
Approval of Proposed Rule Change
The Commission granted approval of proposed rule change (SR-Phlx-2013-24) and Amendment No. 1 thereto submitted by NASDAQ OMX PHLX LLC to adopt a price/display/time priority algorithm, permit the registration of market makers, and amend the order types available on PSX. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69452)
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-NASDAQ-2013-031) filed by The Nasdaq Stock Market LLC to amend the attestation requirement of Rule 4780 to allow a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Price Improvement Program will qualify as “Retail Orders.” Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69450)
Notice of Withdrawal of a Proposed Rule Change
The Commission issued notice of withdrawal of a proposed rule change submitted by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-002) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend FINRA Rule 2267 (Investor Education and Protection). Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69440)
Notice of Filing of an Advance Notice
The National Securities Clearing Corporation (NSCC) filed an advance notice (File No. SR-NSCC-2013-802), as modified by Amendment No. 1, under Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 in connection with a proposed change to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69451)
Joint Industry Plans: Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information
The Options Price Reporting Authority filed with the Securities and Exchange Commission a notice of filing and immediate effectiveness of a proposed amendment pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder (SR-OPRA-2013-01) to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to revise Usage-based Vendor Fees. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69448)
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.
N-2 Permal Hedge Strategies Fund II, 620 EIGHTH AVENUE, 49TH FLOOR, NEW YORK, NY, 10018, (888) 777-0102 - 0 ($1,000,000.00) Equity, (File 333-188090 - Apr. 24) (BR. 16) S-8 Owens Corning, ONE OWENS CORNING PARKWAY, TOLEDO, OH, 43659, 419-248-8000 - 0 ($207,979,506.77) Equity, (File 333-188091 - Apr. 24) (BR. 06C) S-1 ARI NETWORK SERVICES INC /WI, 10850 WEST PARK PLACE, SUITE 1200, MILWAUKEE, WI, 53224, 414 973-4300 - 4,330,667 ($10,869,974.17) Unallocated (Universal) Shelf, (File 333-188093 - Apr. 24) (BR. 03C) S-1 COPYTELE INC, 900 WALT WHITMAN RD, MELVILLE, NY, 11747, 5165495900 - 57,400,130 ($11,623,526.32) Equity, (File 333-188096 - Apr. 24) (BR. 03B) S-4 CONTINENTAL RESOURCES, INC, 20 NORTH BROADWAY, OKLAHOMA CITY, OK, 73102, 4052349000 - 0 ($1,500,000,000.00) Non-Convertible Debt, (File 333-188097 - Apr. 24) (BR. 04B) S-8 PEAPACK GLADSTONE FINANCIAL CORP, 158 ROUTE 206 NORTH, GLADSTONE, NJ, 07934, 9082340700 - 200,000 ($2,812,000.00) Other, (File 333-188098 - Apr. 24) (BR. 07B) S-8 UMB FINANCIAL CORP, 1010 GRAND AVE, KANSAS CITY, MO, 64106, 8168607000 - 0 ($254,184,000.00) Equity, (File 333-188100 - Apr. 24) (BR. 07B) S-8 Vista International Technologies Inc, 88 INVERNESS CIRCLE EAST, SUITE N-103, ENGLEWOOD, CO, 80112, (303) 690-8300 - 12,000,000 ($1,080,000.00) Equity, (File 333-188101 - Apr. 24) (BR. 06A) S-8 GREEN DRAGON WOOD PRODUCTS, INC., UNIT 1914 19F MIRAMAR TOWER, 132 NATHAN RAOD, TSIM SHA TSUI, K3, 852, 852-2482-5168 - 4,000,000 ($4,000.00) Equity, (File 333-188102 - Apr. 24) (BR. 06A) S-8 Life Technologies Corp, 5791 VAN ALLEN WAY, CARLSBAD, CA, 92008, 7606037200 - 13,000,000 ($957,255,000.00) Equity, (File 333-188103 - Apr. 24) (BR. 01B) S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 - 90,000,000 ($5,722,200,000.00) Equity, (File 333-188104 - Apr. 24) (BR. 11A) S-1 EASTERN VIRGINIA BANKSHARES INC, P O BOX 1455, 330 HOSPITAL ROAD, TAPPAHANNOCK, VA, 22560, 8044438400 - 0 ($5,000,000.00) Equity, (File 333-188105 - Apr. 24) (BR. 07B) S-3ASR J C PENNEY CORP INC, 6501 LEGACY DR, PLANO, TX, 75024-3698, 9724311000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-188106 - Apr. 24) (BR. 02) F-3ASR Gazit-Globe Ltd, 1696 NE MIAMI GARDENS DRIVE, NORTH MIAMI BEACH, FL, 33179, (212) 305-944-7988 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-188107 - Apr. 24) (BR. 08C) S-8 HEWLETT PACKARD CO, 3000 HANOVER ST, MS 1050, PALO ALTO, CA, 94304, 6508571501 - 172,500,000 ($3,363,750,000.00) Equity, (File 333-188108 - Apr. 24) (BR. 03C) S-8 Abraxas Petroleum Corp. 401(K) Profit Sharing Plan, 500 N. LOOP 1604 EAST, SUITE 100, SAN ANTONIO, TX, 78232, 490-4788 - 300,000 ($645,000.00) Equity, (File 333-188109 - Apr. 24) (BR. 04) S-3 ABRAXAS PETROLEUM CORP, 500 N LOOP 1604 E STE 100, SAN ANTONIO, TX, 78232, 2104904788 - 200,000,000 ($200,000,000.00) Other, (File 333-188110 - Apr. 24) (BR. 04A) S-8 Biota Pharmaceuticals, Inc., 12270 WILKINS AVENUE, ROCKVILLE, MD, 20852, 301-770-3099 - 1,231,573 ($5,000,556.00) Equity, (File 333-188111 - Apr. 24) (BR. 01B) S-8 EDAP TMS SA, PARC D'ACTIVITES LA POUDRETTE LAMARTINE, 4 RUE DU DAUPHINE, 69120 VAULX EN VELIN, I0, 1,310,850 ($4,629,065.00) Equity, (File 333-188112 - Apr. 24) (BR. 10A) S-3 EPAM Systems, Inc., 41 UNIVERSITY DRIVE, SUITE 202, NEWTOWN, PA, 18940, (267) 759-9000 - 0 ($374,400,976.00) Equity, 0 ($50,000,000.00) Other, (File 333-188113 - Apr. 24) (BR. 03A) S-3 OXIGENE INC, 701 GATEWAY BLVD., SOUTH SAN FRANCISCO, CA, 94080, 650-635-7000 - 0 ($15,213,242.00) Equity, (File 333-188114 - Apr. 24) (BR. 01B) S-8 STEMLINE THERAPEUTICS INC, 750 LEXINGTON AVENUE, NEW YORK, NY, 10022, 212-831-1111 - 0 ($25,240,898.81) Equity, (File 333-188115 - Apr. 24) (BR. 01B)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- ACACIA RESEARCH CORP DE 8.01 04/19/13 ACADIA REALTY TRUST MD 8.01 04/23/13 ACCESS NATIONAL CORP VA 2.02,7.01,9.01 04/22/13 ACCURIDE CORP DE 2.02,7.01,9.01 03/31/13 ACTIVE POWER INC DE 5.02 04/24/13 ADVANCED MEDICAL ISOTOPE Corp DE 1.01,3.02,9.01 04/18/13 AEMETIS, INC NV 1.01,9.01 04/18/13 AFLAC INC GA 2.02,9.01 04/24/13 AGENT155 MEDIA CORP. NV 3.02,9.01 04/23/13 AGENUS INC DE 2.02,9.01 04/24/13 AgFeed Industries, Inc. NV 1.01,1.02,2.03, 04/18/13 2.05,8.01,9.01 AKAMAI TECHNOLOGIES INC DE 2.02,9.01 04/24/13 ALLEGHENY TECHNOLOGIES INC DE 2.02,9.01 04/24/13 Allegiant Travel CO NV 2.02,5.02,9.01 04/24/13 Alliance Bancorp, Inc. of Pennsylvani PA 2.02,5.07 04/24/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 04/24/13 Allied World Assurance Co Holdings, A 2.02,9.01 04/24/13 Ally Financial Inc. DE 7.01,9.01 04/24/13 Altisource Portfolio Solutions S.A. N4 8.01,9.01 04/24/13 AMC Networks Inc. DE 5.02,9.01 04/19/13 AMERICAN CAMPUS COMMUNITIES INC MD 2.02,7.01,9.01 04/23/13 AMERICAN ELECTRIC POWER CO INC NY 5.07 04/23/13 AMERICAN GRAPHITE TECHNOLOGIES INC. NV 1.01,9.01 04/22/13 AMERICAN INTERNATIONAL VENTURES INC / DE 5.07,9.01 03/23/12 American Realty Capital Daily Net Ass MD 1.01 04/04/13 AMEND American Realty Capital Properties, I MD 1.01 04/04/13 AMEND American Realty Capital Trust IV, Inc MD 1.01 04/04/13 AMEND American Realty Capital Trust V, Inc. MD 1.01 04/04/13 AMEND AMICUS THERAPEUTICS INC DE 5.02,9.01 04/18/13 Angie's List, Inc. DE 2.02,9.01 04/24/13 APPLE INC CA 8.01,9.01 04/24/13 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 04/24/13 ARRIS GROUP INC DE 2.02,9.01 04/24/13 ASBURY AUTOMOTIVE GROUP INC DE 2.02,9.01 04/24/13 ASHLAND INC. KY 2.02,9.01 04/24/13 ASHLAND INC. KY 7.01,9.01 04/24/13 ASPEN INSURANCE HOLDINGS LTD D0 2.02,5.02, 04/24/13 5.07,7.01,9.01 ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 04/23/13 ASSURANT INC 2.02,9.01 04/24/13 ATMI INC DE 2.02,9.01 03/31/13 Avante Systems, Inc. NV 1.01,3.02,5.01, 04/19/13 5.02,8.01,9.01 Avery Dennison Corp DE 2.02,9.01 04/24/13 AVX Corp DE 2.02 03/31/13 Bancorp, Inc. 2.02,9.01 04/24/13 BANCORPSOUTH INC MS 5.07 04/24/13 BANK OF KENTUCKY FINANCIAL CORP KY 5.07 04/19/13 BankUnited, Inc. DE 2.02,9.01 04/24/13 BARNES GROUP INC DE 2.02,9.01 04/24/13 AMEND BARRETT BUSINESS SERVICES INC MD 2.02,9.01 04/23/13 BBCN BANCORP INC DE 2.02,7.01,8.01 04/22/13 Big Three Restaurants, Inc. FL 5.03 04/09/12 BJs RESTAURANTS INC CA 8.01,9.01 04/23/13 BOB EVANS FARMS INC DE 7.01,9.01 04/23/13 BOEING CO DE 2.02,9.01 04/23/13 BOISE INC. DE 5.07 04/24/13 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 3.03,5.03,8.01,9.01 04/23/13 BOYD GAMING CORP NV 2.02,9.01 04/24/13 BRIGHT MOUNTAIN HOLDINGS, INC. NV 5.03 11/14/12 BROADVISION INC DE 2.02,9.01 04/24/13 Brookfield Resources Inc. NV 1.01,2.01,5.01,5.02 04/23/13 BROOKLINE BANCORP INC DE 2.02,9.01 04/24/13 BUCKEYE TECHNOLOGIES INC DE 1.01,8.01,9.01 04/23/13 CADENCE DESIGN SYSTEMS INC DE 2.01,2.02,9.01 04/22/13 CAI International, Inc. 2.02,9.01 04/24/13 CALIFORNIA WATER SERVICE GROUP DE 8.01,9.01 04/24/13 Cape Bancorp, Inc. MD 5.07,7.01,9.01 04/22/13 CAPITAL PROPERTIES INC /RI/ RI 5.07,9.01 04/23/13 CARLISLE COMPANIES INC DE 2.02,9.01 04/24/13 Catalent Pharma Solutions, Inc. DE 2.02,9.01 04/24/13 Cellular Biomedicine Group, Inc. DE 2.01,5.01,9.01 02/06/13 AMEND CENTENE CORP 5.07 04/23/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 04/23/13 CHEESECAKE FACTORY INC DE 2.02,8.01,9.01 04/22/13 Cheviot Financial Corp. MD 5.07 04/23/13 CHILDRENS PLACE RETAIL STORES INC 5.02,9.01 04/24/13 CHURCHILL DOWNS INC KY 2.02,9.01 04/24/13 CITRIX SYSTEMS INC DE 2.02,9.01 04/24/13 CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,9.01 04/24/13 Clearwater Paper Corp DE 2.02,9.01 04/24/13 CMS Bancorp, Inc. DE 1.01,9.01 04/22/13 CNO Financial Group, Inc. DE 2.02,9.01 04/24/13 COCA-COLA ENTERPRISES, INC. DE 5.07 04/24/13 COEUR D ALENE MINES CORP ID 5.02 04/19/13 COHERENT INC DE 2.02,9.01 04/24/13 COLUMBIA LABORATORIES INC DE 3.01 04/23/13 Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 04/24/13 COMMUNITY BANK SYSTEM INC DE 2.02,9.01 04/23/13 COMMUNITY TRUST BANCORP INC /KY/ KY 5.07 04/23/13 CONSOLIDATED TOMOKA LAND CO FL 7.01,9.01 04/24/13 CONSTELLATION BRANDS, INC. DE 7.01,9.01 04/22/13 CONSUMER PORTFOLIO SERVICES INC CA 5.02,5.07 04/18/13 CONTANGO OIL & GAS CO DE 5.02,8.01,9.01 04/19/13 Contango ORE, Inc. DE 5.02,8.01,9.01 04/19/13 CoreSite Realty Corp MD 2.02,9.01 04/24/13 CORNING INC /NY NY 2.02,9.01 04/24/13 CORONADO BIOSCIENCES INC DE 5.02,9.01 04/22/13 Corporate Resource Services, Inc. DE 8.01,9.01 04/24/13 COSTAR GROUP INC DE 2.02,9.01 04/24/13 COVANTA HOLDING CORP DE 2.06 04/19/13 Crimson Wine Group, Ltd DE 5.02 04/24/13 Crocs, Inc. 2.02,9.01 04/24/13 CROWN CASTLE INTERNATIONAL CORP DE 1.01,2.03,9.01 04/19/13 CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 04/24/13 CTS CORP IN 2.02,9.01 04/23/13 CUBIC ENERGY INC TX 1.01,7.01,9.01 04/19/13 CUI Global, Inc. CO 2.01,9.01 04/18/13 CULLEN/FROST BANKERS, INC. TX 2.02,9.01 04/24/13 Customers Bancorp, Inc. PA 1.01,8.01,9.01 04/22/13 CYBEROPTICS CORP MN 2.02,9.01 04/24/13 CYNOSURE INC 8.01,9.01 04/24/13 DAKOTA PLAINS HOLDINGS, INC. NV 5.02,9.01 04/18/13 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 04/24/13 DLH Holdings Corp. NJ 8.01,9.01 04/23/13 Domark International Inc. NV 4.01,9.01 04/18/13 Dr Pepper Snapple Group, Inc. DE 2.02,9.01 04/24/13 DS HEALTHCARE GROUP, INC. FL 2.02,3.01,7.01,9.01 04/24/13 Dynamic Energy Alliance Corp FL 8.01 04/22/13 DYNEGY INC. DE 1.01,1.02, 04/23/13 2.03,7.01,9.01 EASTERN CO CT 2.02,7.01,9.01 04/24/13 Eco-Trade Corp. DE 5.02 04/22/13 EDAC TECHNOLOGIES CORP WI 8.01,9.01 04/24/13 EMC CORP MA 2.02,9.01 04/24/13 EMCLAIRE FINANCIAL CORP PA 7.01,9.01 04/24/13 EMCLAIRE FINANCIAL CORP PA 2.02,9.01 04/24/13 ENCORE WIRE CORP DE 2.02,7.01,9.01 04/24/13 EnDev Holdings Inc. NV 7.01,9.01 04/24/13 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 2.01,8.01,9.01 04/24/13 ENZON PHARMACEUTICALS INC DE 8.01,9.01 04/23/13 EQUIFAX INC GA 2.02,9.01 04/24/13 EQUINIX INC DE 2.02,9.01 04/24/13 ETHAN ALLEN INTERIORS INC DE 2.02,9.01 04/23/13 EURONET WORLDWIDE INC DE 2.02,9.01 04/23/13 EverBank Financial Corp DE 2.02,7.01,9.01 04/24/13 Evercore Partners Inc. DE 2.02,9.01 04/24/13 EXOPACK HOLDING CORP 5.02 04/10/13 F&M BANK CORP VA 2.02,9.01 04/23/13 F5 NETWORKS INC WA 2.02,8.01,9.01 04/24/13 FAIR ISAAC CORP DE 2.02,9.01 04/24/13 FAMOUS DAVES OF AMERICA INC MN 2.02,9.01 04/24/13 FBR & Co. VA 2.02,5.02,5.03,9.01 04/23/13 Federal Home Loan Bank of New York X1 5.02 04/24/13 FEDERAL MOGUL CORP DE 2.02,7.01,9.01 04/24/13 Fidelity National Information Service 1.01,2.03,8.01,9.01 04/23/13 FINANCIAL INSTITUTIONS INC NY 2.02,9.01 04/24/13 First Advantage Bancorp 8.01,9.01 04/24/13 FIRST BANCSHARES INC /MS/ MS 8.01 04/23/13 FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 04/23/13 First Clover Leaf Financial Corp. MD 8.01,9.01 04/24/13 FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 04/24/13 First Financial Northwest, Inc. WA 2.02,9.01 04/22/13 FIRST INDEPENDENCE CORP. FL 4.01,9.01 04/23/13 FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 04/24/13 FIRST MIDWEST BANCORP INC DE 2.02,7.01,9.01 04/24/13 FIRSTBANK CORP MI 5.07,8.01,9.01 04/22/13 Firsthand Technology Value Fund, Inc. 5.02 04/24/13 Five Oaks Investment Corp. MD 8.01,9.01 04/24/13 FLAGSTAR BANCORP INC MI 2.02,7.01,9.01 04/23/13 FLUSHING FINANCIAL CORP DE 2.02,9.01 04/23/13 FMC CORP DE 5.07 04/23/13 FMC TECHNOLOGIES INC DE 2.02,9.01 04/23/13 FORD MOTOR CO DE 2.02,9.01 04/24/13 FORD MOTOR CREDIT CO LLC DE 2.02,9.01 04/24/13 FORRESTER RESEARCH, INC. DE 2.02,8.01,9.01 04/24/13 FREDERICK COUNTY BANCORP INC MD 5.07 04/24/13 FUSION-IO, INC. DE 1.01,2.01,2.02,9.01 04/24/13 GASCO ENERGY INC NV 3.01 04/23/13 GENERAL DYNAMICS CORP DE 2.02,9.01 04/24/13 GENERAL EMPLOYMENT ENTERPRISES INC IL 1.01,2.02, 04/23/13 3.01,3.02,9.01 GLOBAL PARTNERS LP 7.01,9.01 04/24/13 GRAINGER W W INC IL 5.07 04/24/13 Graystone Co DE 3.02 04/24/13 GREAT SOUTHERN BANCORP INC MD 7.01 04/23/13 GREAT SOUTHERN BANCORP INC MD 2.02,9.01 04/23/13 HANOVER INSURANCE GROUP, INC. DE 5.02,9.01 04/24/13 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV 8.01,9.01 04/24/13 HARMONIC INC DE 7.01,9.01 04/23/13 HERCULES OFFSHORE, INC. DE 7.01,9.01 04/24/13 HESS CORP DE 2.02,9.01 04/24/13 HMN FINANCIAL INC DE 2.02,5.07,8.01,9.01 04/19/13 Honda Auto Receivables 2013-2 Owner T DE 8.01,9.01 04/24/13 Honda Auto Receivables 2013-2 Owner T DE 1.01,9.01 04/24/13 ICAHN ENTERPRISES L.P. DE 8.01,9.01 04/24/13 Idaho North Resources Corp. ID 5.06,9.01 04/16/13 INDEPENDENT BANK CORP /MI/ MI 5.07 04/23/13 INFINERA CORP DE 2.02,9.01 04/24/13 INNOVUS PHARMACEUTICALS, INC. NV 1.01,2.01, 04/19/13 3.02,7.01,9.01 IntelGenx Technologies Corp. DE 5.02 04/23/13 Intellicell Biosciences, Inc. NV 5.02,8.01,9.01 04/12/13 INTERMUNE INC DE 2.02,9.01 04/24/13 INTERNET INFINITY, INC. DE 4.01 04/23/13 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 04/19/13 INTERSIL CORP/DE DE 2.02,7.01,9.01 04/24/13 INTUIT INC DE 7.01,9.01 04/24/13 Inventtech Inc. NV 5.03,9.01 04/18/13 IPC The Hospitalist Company, Inc. DE 2.02,9.01 04/24/13 ISC8 INC. /DE DE 3.02 01/15/13 ISLE OF CAPRI CASINOS INC DE 1.01,2.03,9.01 04/19/13 iTalk Inc. NV 5.02,9.01 04/24/13 ITC Holdings Corp. MI 2.02,9.01 04/23/13 IVANHOE ENERGY INC 5.03,5.07,8.01,9.01 04/22/13 JACKSONVILLE BANCORP INC /FL/ FL 5.03,5.07,8.01,9.01 04/23/13 Jacksonville Bancorp, Inc. MD 5.07,9.01 04/23/13 JARDEN CORP DE 2.02,9.01 04/24/13 Jayhawk Energy, Inc. CO 1.01 04/23/13 JONES GROUP INC PA 2.02,8.01,9.01 04/24/13 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 04/24/13 KONA GRILL INC DE 1.01,1.02,9.01 04/19/13 LAKE SHORE BANCORP, INC. 2.02,8.01,9.01 04/24/13 LAM RESEARCH CORP DE 2.02,9.01 04/24/13 LEE ENTERPRISES, INC DE 2.02,9.01 04/23/13 Lender Processing Services, Inc. DE 2.02,9.01 04/24/13 Life Technologies Corp DE 5.02,5.07 04/24/13 LIGHTBRIDGE Corp NV 5.07 04/24/13 Lightlake Therapeutics Inc. NV 8.01,9.01 04/24/13 LILLY ELI & CO IN 2.02,9.01 04/24/13 LITHIA MOTORS INC OR 8.01,9.01 04/24/13 LITHIA MOTORS INC OR 2.02,9.01 04/24/13 LORILLARD, INC. DE 2.02,9.01 04/24/13 LSI CORP DE 2.02,9.01 04/24/13 Lumber Liquidators Holdings, Inc. 2.02,9.01 04/24/13 MARINE PRODUCTS CORP DE 2.02,9.01 04/24/13 MARINE PRODUCTS CORP DE 8.01,9.01 04/24/13 MARINE PRODUCTS CORP DE 8.01,9.01 04/24/13 MARKETAXESS HOLDINGS INC 2.02,8.01,9.01 04/24/13 MARTIN MARIETTA MATERIALS INC NC 1.01,9.01 04/19/13 Mastech Holdings, Inc. PA 2.02,9.01 04/24/13 MATTSON TECHNOLOGY INC DE 2.02,9.01 04/24/13 MAUI LAND & PINEAPPLE CO INC HI 5.07 04/22/13 MEDIA GENERAL INC VA 2.02,9.01 04/24/13 MEDICINES CO /DE DE 2.02,9.01 04/24/13 MEDTRONIC INC MN 5.02,9.01 04/18/13 Mellanox Technologies, Ltd. L3 2.02,9.01 04/24/13 Mercedes-Benz Auto Lease Trust 2013-A 8.01,9.01 04/24/13 MERCHANTS BANCSHARES INC DE 2.02,9.01 04/23/13 Meritage Homes CORP MD 2.02,9.01 04/24/13 METROPCS COMMUNICATIONS INC DE 2.02,9.01 04/24/13 METROPCS COMMUNICATIONS INC DE 5.07,8.01,9.01 04/24/13 Mid-Con Energy Partners, LP DE 5.02,7.01,8.01,9.01 04/22/13 MIDDLESEX WATER CO NJ 8.01,9.01 04/24/13 MILLER HERMAN INC MI 1.01 04/23/13 MINE SAFETY APPLIANCES CO PA 2.02,9.01 04/24/13 MKS INSTRUMENTS INC MA 2.02,9.01 04/24/13 MONTPELIER RE HOLDINGS LTD 2.02,9.01 04/24/13 Morris Business Development Co CA 4.01 04/23/13 Motorola Solutions, Inc. DE 2.02,9.01 04/24/13 MultiPlayer Online Dragon, Inc. NV 4.01,9.01 04/24/13 MUTUALFIRST FINANCIAL INC MD 2.02,9.01 04/24/13 MYERS INDUSTRIES INC OH 2.02,7.01,9.01 04/24/13 NABORS INDUSTRIES LTD D0 2.02,8.01,9.01 04/23/13 NASDAQ OMX GROUP, INC. DE 2.02,7.01,8.01,9.01 04/24/13 NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 04/18/13 NATIONAL SECURITY GROUP INC DE 5.02 04/24/13 NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,8.01,9.01 04/23/13 NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 04/24/13 NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 04/23/13 NEWS CORP 8.01,9.01 04/24/13 NOBLE ENERGY INC DE 5.07 04/23/13 Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 04/24/13 NORTHRIM BANCORP INC AK 2.02,9.01 04/23/13 NORTHROP GRUMMAN CORP /DE/ 2.02,9.01 04/24/13 NORTHSTAR REALTY FINANCE CORP. MD 7.01 04/23/13 NovaBay Pharmaceuticals, Inc. CA 5.02 04/18/13 NuStar Energy L.P. DE 2.02,9.01 04/24/13 NuStar GP Holdings, LLC DE 2.02,9.01 04/24/13 NYTEX Energy Holdings, Inc. DE 7.01,9.01 04/24/13 Odenza Corp. 4.01 04/12/13 OIL STATES INTERNATIONAL, INC DE 2.02,9.01 04/24/13 OLD DOMINION ELECTRIC COOPERATIVE VA 8.01,9.01 04/23/13 OLD LINE BANCSHARES INC MD 5.02 04/24/13 OLD SECOND BANCORP INC DE 2.02,9.01 04/24/13 OMNICARE INC DE 2.02,9.01 04/24/13 ON ASSIGNMENT INC DE 2.02,9.01 04/24/13 OPEN TEXT CORP A6 2.02,8.01,9.01 04/24/13 Opko Health, Inc. DE 1.01,7.01,9.01 04/23/13 Orchids Paper Products CO /DE DE 2.02,8.01,9.01 04/24/13 ORIENTAL FINANCIAL GROUP INC PR 7.01,9.01 04/24/13 OSI SYSTEMS INC DE 2.02,9.01 04/24/13 OSI SYSTEMS INC DE 8.01,9.01 04/24/13 OSI SYSTEMS INC DE 2.02,9.01 04/24/13 AMEND OWENS & MINOR INC/VA/ VA 2.02,9.01 04/23/13 Owens Corning DE 2.02,9.01 04/24/13 OXIGENE INC DE 8.01,9.01 04/24/13 PACER INTERNATIONAL INC TN 2.02,9.01 04/24/13 PACIFIC CONTINENTAL CORP OR 2.02,9.01 04/24/13 PACIFIC FINANCIAL CORP WA 2.02,9.01 04/24/13 PACIFIC PREMIER BANCORP INC DE 2.02,9.01 03/31/13 PAIN THERAPEUTICS INC DE 2.02,9.01 04/24/13 PALMETTO BANCSHARES INC SC 2.02,9.01 04/24/13 PALOMAR MEDICAL TECHNOLOGIES INC DE 8.01,9.01 04/24/13 PANTRY INC DE 8.01,9.01 04/24/13 PARKE BANCORP, INC. NJ 5.07 04/24/13 PCS EDVENTURES COM INC ID 7.01,9.01 04/23/13 PDF SOLUTIONS INC DE 2.02,9.01 04/24/13 PennyMac Mortgage Investment Trust MD 8.01,9.01 04/23/13 PennyMac Mortgage Investment Trust MD 2.02,9.01 04/23/13 AMEND PetroLogistics LP DE 1.02 04/19/13 PetroLogistics LP DE 2.02,9.01 04/24/13 PHL VARIABLE INSURANCE CO /CT/ 4.02 04/24/13 AMEND PHOENIX COMPANIES INC/DE DE 7.01,9.01 04/24/13 PHOENIX COMPANIES INC/DE DE 4.02 04/24/13 AMEND PLUMAS BANCORP CA 1.02 04/19/13 Plures Technologies, Inc./DE DE 5.02 04/18/13 Post Holdings, Inc. MO 7.01,9.01 04/24/13 PRAXAIR INC DE 2.02,9.01 04/24/13 PRAXAIR INC DE 5.07 04/23/13 PRICE T ROWE GROUP INC MD 5.07 04/23/13 PRO DEX INC CO 5.02,9.01 04/23/13 PROCTER & GAMBLE Co OH 2.02 04/24/13 PROCTER & GAMBLE Co OH 7.01 04/24/13 Prologis, Inc. MD 2.02,7.01,9.01 04/24/13 PROLOR Biotech, Inc. NV 8.01,9.01 04/24/13 PROSPERITY BANCSHARES INC TX 2.02,9.01 04/24/13 PTC INC. MA 2.02,9.01 04/24/13 PVF CAPITAL CORP OH 2.02,8.01,9.01 04/23/13 QUALCOMM INC/DE DE 2.02,9.01 03/31/13 QUICKLOGIC CORPORATION CA 5.07 04/22/13 RARE ELEMENT RESOURCES LTD A1 5.02 04/18/12 RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 04/24/13 Realogy Holdings Corp. DE 1.01,1.02,8.01,9.01 04/23/13 Regency Energy Partners LP DE 7.01,8.01,9.01 04/24/13 REGIONS FINANCIAL CORP DE 8.01,9.01 04/24/13 Resolute Forest Products Inc. DE 2.02,7.01,8.01,9.01 04/24/13 RESOURCES CONNECTION INC DE 5.02,7.01,9.01 04/18/13 RIMROCK GOLD CORP. NV 9.01 02/11/13 AMEND Rock-Tenn CO GA 2.02,9.01 04/23/13 Rock-Tenn CO GA 8.01,9.01 04/23/13 ROCKWELL AUTOMATION INC DE 2.02,9.01 04/24/13 ROLLINS INC DE 2.02,9.01 04/24/13 ROLLINS INC DE 8.01,9.01 04/23/13 RPC INC DE 2.02,9.01 04/24/13 RPC INC DE 8.01,9.01 04/24/13 RPC INC DE 8.01,9.01 04/24/13 RTI Biologics, Inc. DE 5.03,5.07,9.01 04/23/13 RUSH ENTERPRISES INC \TX\ TX 2.02,9.01 04/23/13 RVPlus Inc. DE 1.01,1.02,9.01 04/23/13 RXi Pharmaceuticals Corp DE 5.02 04/18/13 RYLAND GROUP INC MD 2.02,9.01 04/24/13 S Y BANCORP INC KY 2.02,9.01 04/24/13 Santa Fe Petroleum, Inc. DE 1.01,9.01 04/23/13 AMEND SB FINANCIAL GROUP, INC. OH 7.01,9.01 04/24/13 SEABOARD CORP /DE/ DE 5.07,8.01,9.01 04/22/13 SeaCube Container Leasing Ltd. D0 5.07 04/23/13 SeaCube Container Leasing Ltd. D0 2.01,3.01,3.03, 04/24/13 5.01,5.02,5.03,9.01 SeaWorld Entertainment, Inc. DE 1.01,1.02,3.03,5.03, 04/24/13 8.01,9.01 SECURITY FEDERAL CORP SC 5.07 04/18/13 SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 04/24/13 SemGroup Corp DE 1.01,2.03,9.01 04/22/13 SERVICE CORPORATION INTERNATIONAL TX 2.02,9.01 04/24/13 ServiceNow, Inc. CA 2.02,9.01 04/24/13 ServisFirst Bancshares, Inc. DE 2.02,9.01 04/16/13 AMEND SERVOTRONICS INC /DE/ DE 5.02,9.01 04/18/13 Shire plc 8.01,9.01 04/24/13 SILICON LABORATORIES INC DE 2.02,9.01 04/24/13 SL GREEN REALTY CORP MD 2.02,7.01,9.01 04/23/13 SL GREEN REALTY CORP MD 8.01 04/23/13 SOUTH JERSEY INDUSTRIES INC NJ 5.07 04/19/13 SOUTHERN CO DE 2.02 04/24/13 SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 04/22/13 SOUTHWEST BANCORP INC OK 2.02,8.01,9.01 04/24/13 SPHERIX INC DE 4.01,9.01 04/18/13 SPRINT NEXTEL CORP KS 2.02,9.01 04/24/13 SSI Investments II Ltd L2 2.02,9.01 04/24/13 Staffing 360 Solutions, Inc. NY 1.01,3.02,8.01,9.01 04/19/13 STAGE STORES INC NV 8.01,9.01 04/23/13 STAKOOL, INC. NV 1.01,5.02,9.01 04/22/13 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 5.02,9.01 04/18/13 STEELCASE INC MI 5.02,7.01,9.01 04/22/13 STEINER LEISURE Ltd C5 2.02,9.01 03/31/13 STERICYCLE INC DE 2.02,9.01 04/24/13 STERLING FINANCIAL CORP /WA/ WA 2.02,7.01,8.01,9.01 04/24/13 STILLWATER MINING CO /DE/ DE 7.01,9.01 04/23/13 Strategic Storage Trust, Inc. MD 7.01,9.01 04/24/13 Stratus Media Group, Inc 4.02 04/16/13 STRYKER CORP MI 2.02,9.01 04/24/13 SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 04/24/13 SUFFOLK BANCORP NY 2.02,9.01 04/24/13 SURREY BANCORP NC 7.01,9.01 04/24/13 SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 04/24/13 Symetra Financial CORP DE 2.02,9.01 04/24/13 SYMMETRICOM INC DE 2.02,9.01 04/24/13 SYNOVUS FINANCIAL CORP GA 1.01,3.01,9.01 04/24/13 TAL International Group, Inc. DE 2.02,9.01 04/24/13 TAURIGA SCIENCES, INC. FL 5.02,9.01 04/15/13 TC PIPELINES LP DE 2.02,7.01,9.01 04/24/13 TCF FINANCIAL CORP DE 7.01,9.01 04/24/13 TE Connectivity Ltd. V8 2.02,7.01,9.01 04/24/13 TELEDYNE TECHNOLOGIES INC DE 2.02,9.01 04/24/13 TEREX CORP DE 2.02,7.01,9.01 04/24/13 TEXAS INDUSTRIES INC DE 1.01,5.02,9.01 04/22/13 THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 04/24/13 THERMOENERGY CORP DE 5.02 04/23/13 THQ INC DE 1.01,9.01 04/18/13 TIMKEN CO OH 2.02,9.01 04/24/13 TITAN INTERNATIONAL INC IL 2.02,9.01 04/24/13 Tower International, Inc. DE 1.01,2.03,8.01,9.01 04/22/13 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 04/24/13 TRANZYME INC DE 8.01,9.01 04/23/13 TRANZYME INC DE 8.01,9.01 04/24/13 TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 04/24/13 TrueBlue, Inc. WA 2.02,9.01 04/24/13 TUPPERWARE BRANDS CORP DE 2.02,9.01 04/24/13 UGI CORP /PA/ PA 1.01,9.01 04/18/13 UMB FINANCIAL CORP MO 8.01,9.01 04/23/13 UNIONBANCAL CORP DE 2.02,9.01 04/24/13 UNIVEST CORP OF PENNSYLVANIA PA 2.02,9.01 04/24/13 USG CORP DE 2.02,9.01 04/24/13 Vacation Home Swap, Inc. NV 1.01,9.01 04/19/13 VALLEY NATIONAL BANCORP NJ 2.02,9.01 04/24/13 VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 04/24/13 ViewPoint Financial Group Inc. 2.02,8.01,9.01 04/24/13 VIRGIN MEDIA INC. DE 2.02,9.01 04/24/13 VISA INC. DE 8.01,9.01 04/23/13 VORNADO REALTY TRUST MD 2.02,8.01,9.01 04/24/13 W R GRACE & CO DE 2.02,9.01 04/24/13 WARP 9, INC. NV 8.01,9.01 03/25/13 WASTE CONNECTIONS, INC. 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