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ENFORCEMENT PROCEEDINGSCourt Orders Former Hedge Fund Manager Gad Grieve and Firm to Pay Over $26 Million in Disgorgement and PenaltiesThe Securities and Exchange Commission (Commission) announced today that, on April 26, 2013, the Honorable Alvin K. Hellerstein, U.S. District Court Judge for the Southern District of New York, entered final judgments against former New York-based hedge fund manager Grant Ivan (Gad) Grieve and his Finvest advisory firms, ordering them to jointly and severally pay disgorgement of $14,164,780 and civil penalties in the amount of $12,192,302. The final judgments stem from a civil injunctive action that the Commission filed on February 10, 2009. The SEC’s complaint alleged that defendants Grieve and Finvest fabricated and disseminated false financial information for their Finvest Primer hedge fund that was “certified” by a sham back-office administrator and phony auditing firm that Grieve himself created. The complaint also alleged that Grieve and Finvest provided current and prospective investors in the Finvest Primer and Finvest Yankee hedge funds with false monthly account statements, newsletters, and fact sheets that materially overstated the funds’ performance and assets. According to the Commission, beginning in late 2008, Grieve engaged in similar misconduct overseas, including luring new investors and placating existing investors with counterfeit documents. The Commission charged Grieve and the Finvest firms with violations of 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 Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. On January 26, 2010, Judge Hellerstein entered a default judgment against Grieve, enjoining him from future violations of these provisions and ordering disgorgement and civil penalties with amounts to be determined in later proceedings. The Court entered similar judgments for monetary relief against the Finvest firms on April 23, 2010. On July 29, 2010, following SEC administrative proceedings, Grieve was barred by default from association with any investment adviser. [Securities and Exchange Commission v. Grant Ivan Grieve, Finvest Asset Management, LLC, and Finvest Fund Management, LLC, Civil Action No. Civil Action No. 09-Civ-1198 (S.D.N.Y.) (AKH)] (LR-22696) Commission Announces Settlements with Eric R. Nelson and Kevin J. Wilcox and a Default Judgment against Jennifer E. Thoennes in SEC v. WilcoxThe Commission today announced that it settled fraud charges against Eric R. Nelson and Kevin J. Wilcox, and obtained a default judgment against Jennifer E. Thoennes, arising from their alleged participation in a Ponzi scheme operated by Joseph Nelson. The relief obtained concludes the litigation in SEC v. Wilcox. On December 29, 2011, the Commission charged Eric Nelson, Wilcox, and Thoennes with aiding and abetting Joseph Nelson’s Ponzi scheme, which raised at least $16 million from more than 100 people to invest in promissory notes issued by Joseph Nelson’s companies during 2007 through July 2010. Among other conduct, the Complaint alleged that Eric Nelson, Joseph Nelson’s brother, created fictitious documents that were used to mislead investors about the solvency of Joseph Nelson and his companies, including altering his brother’s bank statements to reflect balances that were far in excess of the amounts actually in his brother’s accounts. The Complaint also alleged that Wilcox and Thoennes made false and misleading statements to investors, including that Joseph Nelson and his companies owned merchant credit card portfolios, that investor funds would be used to purchase additional portfolios, and that as part owners of the merchant credit card portfolios, investors would earn a portion of the monthly residual fees generated by the portfolios. On April 12, 2013, the Court entered a final judgment against Eric Nelson permanently enjoining him from violating Section 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and finding him liable for disgorgement of $168,000 and prejudgment interest of $55,103, but waiving such amounts based on his financial condition. On February 19, 2013, the Court entered a final judgment against Wilcox permanently enjoining him from violating Sections 5 and 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5, and finding him liable for disgorgement of $120,000 and prejudgment interest of $11,433, but waiving all but $23,230 of those amounts based on his financial condition. The Court did not order Nelson or Wilcox to pay a civil penalty based on their respective financial conditions. Eric Nelson and Wilcox agreed to settle the Commission’s charges without admitting or denying the allegations in the Complaint. On December 20, 2012, the Court entered a final judgment by default against Thoennes. The judgment permanently enjoins Thoennes from violating Sections 5 and 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5, orders her to pay disgorgement of $45,000 and prejudgment interest of $4,791, and orders her pay a civil penalty of $45,000. [SEC v. Wilcox, et al., Case No. 2:11-cv-01219-DN (December 29, 2011)]. The Commission’s related civil injunctive action against Joseph Nelson and others in SEC v. Zufelt, et al., 2:10-cv-00574 (DB) (D. Utah, June 23, 2010), is still pending. In addition, the Commission instituted administrative proceedings against Thoennes pursuant to Section 15(b) of the Exchange Act, based on the entry of the injunction against her in SEC v. Wilcox. See Administrative Proceeding File No. 3-15294 (April 19, 2013). [SEC v. Kevin J. Wilcox, Jennifer E. Thoennes, and Eric R. Nelson, Case No. 2:11-cv-01219-DN (December 29, 2011)] (LR-22695) Commission Revokes Registration of Securities of EcoReady Corp. for Failure to Make Required Periodic FilingsOn May 2, 2013, the Commission revoked the registration of each class of registered securities of EcoReady Corp. (EcoReady) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, EcoReady consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to EcoReady Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of EcoReady’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against EcoReady in In the Matter of Advance Nanotech, Inc., et al., Administrative Proceeding File No. 3-15201. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34- 69493); File No. 3-15201) In the Matter of Putnam Investment Management, LLCThe Commission announced the issuance of an Order Modifying Order Making Findings and Imposing Partial Relief, Including a Final Censure, Remedial Undertakings and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 (Modifying Order) as to Putnam Investment Management, LLC (Putnam). On October 27, 2003, the Commission instituted administrative and cease-and-desist proceedings against Putnam. On November 13, 2003, in these proceedings, the Commission issued an Order Making Findings and Imposing Partial Relief, Including a Final Censure, Remedial Undertakings and a Cease-and-Desist Order Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 and Sections 9(b) and 9(f) of the Investment Company Act of 1940 (2003 Order). The Modifying Order modifies the 2003 Order by relieving Putnam of the following obligations, effective as of the following dates: (1) requiring each Putnam fund to hold a meeting of shareholders not less than every fifth calendar year to elect a Board of Trustees in accordance with paragraph III.36.d of the 2003 Order, effective as of March 31, 2013; (2) requiring all Putnam employees to hold any investments they may make in Putnam funds for a minimum of 90 calendar days in accordance with paragraph IV.C.2 of the 2003 Order, effective as of March 31, 2013; (3) requiring all Putnam investment employees to hold any investments they may make in Putnam funds for a minimum of one year in accordance with paragraph IV.C.3 of the 2003 Order, effective as of March 31, 2013; (4) maintaining an Internal Compliance Controls Committee in accordance with paragraph IV.D.6.b of the 2003 Order, effective as of December 31, 2013; and (5) undergoing a compliance review by a third party at least once every other year in accordance with paragraph IV.G of the 2003 Order, effective as of December 31, 2013. All other provisions of the 2003 Order remain in effect. Putnam consented to the Modifying Order. (Rel. (IA-3600; File No. 3-11317) In the Matter of Walter V. Gerasimowicz, Meditron Asset Management, LLC and Meditron Management Group, LLCThe Commission announced the issuance of an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940, and Ordering Continuation of Proceedings (Order) against Walter V. Gerasimowicz (Gerasimowicz), Meditron Asset Management, LLC (MAM) and Meditron Management Group, LLC (MMG) (collectively, Respondents). The Order finds that, from 2009 through 2011, Gerasimowicz, MAM and MMG misappropriated approximately $2.65 million from their client, the Meditron Fundamental Value/Growth Fund, LLC (Meditron Fund), to provide financial support to SMC Electrical Contracting Inc. (SMC), a private contracting company controlled by Gerasimowicz. Gerasimowicz, MAM and MMG repeatedly lied or failed to disclose to Meditron Fund investors the deviations from the Meditron Fund’s stated investment strategy and valuation policy. Gerasimowicz and MAM also failed to disclose the conflict of interest posed by their own investment of approximately $2 million in SMC. Gerasimowicz also misrepresented MAM’s regulatory assets under management at $1.1 billion in various published articles authored by Gerasimowicz, and MAM, aided and abetted by Gerasimowicz, violated the custody rule by failing to distribute annual audited financial statements to Meditron Fund investors within the rule’s prescribed time periods. Based on the above, the Order (1) bars Gerasimowicz from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and prohibits him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; (2) censures MAM; (3) orders Respondents to cease and desist from committing or causing any violations and any future violations of 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 Investment Advisers Act of 1940 and Rules 206(4)-1, 206(4)-2, and 206(4)-8 thereunder; and (4) orders Respondents to pay disgorgement and third tier civil penalties, in amounts to be determined by additional proceedings. (Rel. 33- 9401; File No. 3-15024) OBN Holdings, Inc. (OBN), and Ready Welder Corp.An Administrative Law Judge issued an Initial Decision as to OBN Holdings, Inc. (OBN), and Ready Welder Corp. (Ready Welder), in Largo Vista Group, Ltd., Admin. Proc. File No. 3-15187. The Initial Decision finds that OBN and Ready Welder had securities registered with the Securities and Exchange Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934, that each failed to file required periodic reports and that the evidence supported revocation of their registered securities as necessary or appropriate for the protection of investors. The allegations in the Order Instituting Proceedings have been resolved as to all Respondents, except PrepaYd, Inc. The Division of Enforcement agreed to wait ninety days until its Form 15, filed on February 8, 2013, becomes effective, and then to request that it be dismissed from the proceeding. (ID-486; File No. 3-15187) INVESTMENT COMPANY ORDERSTSC Distributors LLC and TSC UITsAn order has been issued on an application filed by TSC Distributors LLC (TSC) and TSC UITS under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 14(a), 19(b), 22(d) and 26(a)(2)(C) of the Act and Rules 19b-1 and 22c-1 under the Act, and under Sections 11(a) and 11(c) of the Act. The order would permit certain unit investment trusts to: (a) impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) offer unitholders certain exchange and rollover privileges; (c) publicly offer units without requiring TSC to take for its own account or place with others $100,000 worth of units; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-30501 - April 30, 2013) Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc.A notice has been issued giving interested persons until May 28, 2013, to request a hearing on an application filed by Millington Exchange Traded MAVINS Fund, LLC and Millington Securities, Inc., for an order to permit: (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-30503 - May 2, 2013) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX PHLX to waive the application and initiation fees in certain circumstances (SR-Phlx-2013-43) 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 May 6th. (Rel. 34-69500) A proposed rule change filed by NYSE MKT LLC amending Rule 13 - Equities to expand the availability of self-trade prevention modifiers (SR-NYSEMKT-2013-36) 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 May 6th. (Rel. 34-69501) A proposed rule change filed by New York Stock Exchange LLC amending Rule 13 to expand the availability of self-trade prevention modifiers (SR-NYSE-2013-30) 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 May 6th. (Rel. 34-69502) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-44) amending its schedule of fees and charges for exchange services to amend Step Up Tier 2 to reduce the volume threshold requirements needed to be eligible for the tier 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 May 6th. (Rel. 34-69503) Proposed Rule ChangeThe Depository Trust Company filed a proposed rule change (SR-DTC-2013-03) under Section 19(b)(1) of the Securities Exchange Act of 1934 in connection with the implementation of the Foreign Account Tax Compliance Act (FATCA). Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69494) The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2013-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 in connection with the implementation of the Foreign Account Tax Compliance Act (FATCA). Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69495) The National Securities Clearing Corporation filed a proposed rule change (SR-NSCC-2013-04) under Section 19(b)(1) of the Securities Exchange Act of 1934 in connection with the implementation of the Foreign Account Tax Compliance Act (FATCA). Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69497) NASDAQ OMX PHLX LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-Phlx-2013-42) for the Permanent Approval of the Exchange’s Pilot Program to Permit the Exchange to Accept Inbound Options Orders Routed by Nasdaq Options Services LLC from NASDAQ OMX BX, Inc. Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69498) The NASDAQ Stock Market LLC filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-NASDAQ-2013-070) for the permanent approval of a pilot program to permit NOM to accept inbound options orders from NASDAQ OMX BX, Inc. Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69499) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-CBOE-2013-027), as modified by Amendment No. 1, submitted by Chicago Board Options Exchange, Incorporated pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b04 thereunder relating to trading ahead of customer orders and best executions and interpositioning requirements. Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69504) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
N-2 Full Circle Capital Corp, 800 WESTCHESTER AVE., SUITE S-620, RYE BROOK,
NY, 10573, 914-220-6300 - 0 ($25,000,000.00) Debt, (File 333-188280 -
May. 2) (BR. 16)
F-1 Star Bulk Carriers Corp., C/O STAR BULK MANAGEMENT INC.,
40 AGIOU KONSTANTINOU STR, MAROUSSI, ATHENS, J3, 15124,
011-30-210-617-8400 - 0 ($75,000,000.00) Equity, (File 333-188281 -
May. 2) (BR. 05C)
S-8 ZYNGA INC, 699 EIGHTH STREET, SAN FRANCISCO, CA, 94103, 800-762-2530 -
0 ($141,667,577.28) Equity, (File 333-188282 - May. 2) (BR. 03A)
F-3ASR AU OPTRONICS CORP, 1 LI HSIN RD 2, SCIENC BASED INUSTRIAL PARK,
HSIN CHU 300 TAIWAN, F5, 00000, 852-2514-7600 - 0 ($0.00) Equity,
(File 333-188283 - May. 2) (BR. 10A)
S-8 SENSIENT TECHNOLOGIES CORP, 777 EAST WISCONSIN AVENUE, MILWAUKEE, WI,
53202, 4142716755 - 0 ($5,415,200.00) Equity, (File 333-188284 -
May. 2) (BR. 06B)
S-8 SENSIENT TECHNOLOGIES CORP, 777 EAST WISCONSIN AVENUE, MILWAUKEE, WI,
53202, 4142716755 - 900,000 ($34,812,000.00) Equity, (File 333-188285 -
May. 2) (BR. 06B)
S-8 RedHill Biopharma Ltd., 21 HA'ARBA'A STREET, TEL AVIV, L3, 64739,
972-3-541-3131 - 22,015,000 ($15,767,200.00) Equity, (File 333-188286 -
May. 2) (BR. 01B)
S-8 SEACOAST BANKING CORP OF FLORIDA, 815 COLORADO AVE, P O BOX 9012,
STUART, FL, 34994, 7722886085 - 770,000 ($1,582,350.00) Equity,
(File 333-188290 - May. 2) (BR. 07C)
S-8 UMPQUA HOLDINGS CORP, ONE SW COLUMBIA STREET, SUITE 1200, PORTLAND, OR,
97258, 503-727-4100 - 4,000,000 ($47,120,000.00) Equity,
(File 333-188291 - May. 2) (BR. 07B)
S-8 HEXCEL CORP /DE/, TWO STAMFORD PLAZA, 281 TRESSER BLVD., 16TH FLOOR,
STAMFORD, CT, 06901, 203-969-0666 - 0 ($116,204,700.00) Equity,
(File 333-188292 - May. 2) (BR. 06A)
S-8 MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA, 23060-3382,
8047470136 - 0 ($119,801,367.50) Equity, (File 333-188294 - May. 2)
(BR. 01B)
S-3ASR Allied Nevada Gold Corp., 9790 GATEWAY DRIVE, SUITE 200, RENO, NV,
89521, 775-358-4455 - 0 ($0.00) Equity, (File 333-188295 - May. 2)
(BR. 09A)
S-8 Rockville Financial, Inc. /CT/, 1645 ELLINGTON ROAD, SOUTH WINDSOR, CT,
06074, 860-291-3600 - 0 ($30,948,361.00) Equity, (File 333-188296 -
May. 2) (BR. 07C)
S-4 LIN Media LLC, ONE WEST EXCHANGE STREET, SUITE 5A, PROVIDENCE, RI,
02903, 4014579511 - 0 ($777,156,869.30) Equity, (File 333-188297 -
May. 2) (BR. )
S-8 ING U.S., Inc., 230 PARK AVENUE, NEW YORK, NY, 10169, 860-580-2818 -
7,650,000 ($149,175,000.00) Equity, (File 333-188298 - May. 2) (BR. 01A)
S-8 ING U.S., Inc., 230 PARK AVENUE, NEW YORK, NY, 10169, 860-580-2818 -
88,000 ($1,716,000.00) Equity, (File 333-188299 - May. 2) (BR. 01A)
F-10 THOMSON REUTERS CORP /CAN/, 3 TIMES SQUARE, NEW YORK, NY, 10036,
6462234000 - 3,000,000,000 ($3,000,000,000.00) Equity,
(File 333-188300 - May. 2) (BR. 05C)
S-8 Cordia Bancorp Inc, 11730 HULL STREET ROAD, MIDLOTHIAN, VA, 23112,
804-763-1301 - 742,790 ($3,728,806.00) Equity, (File 333-188301 -
May. 2) (BR. 07)
S-8 COMFORT SYSTEMS USA INC, 675 BERING DRIVE, SUITE 400, HOUSTON, TX,
77057, 7138309600 - 0 ($62,220,000.00) Equity, (File 333-188302 -
May. 2) (BR. 06C)
S-11 Colony American Homes, Inc., 2450 BROADWAY, 6TH FLOOR, SANTA MONICA,
CA, 90404, 310-282-8820 - 0 ($100,000,000.00) Equity,
(File 333-188303 - May. 2) (BR. 08B)
S-8 DEXCOM INC, 6340 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 8582000200 -
0 ($41,367,636.24) Equity, (File 333-188305 - May. 2) (BR. 10A)
RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ABIOMED INC DE 2.02,9.01 05/02/13
ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 05/02/13
ACORDA THERAPEUTICS INC 2.02,9.01 05/02/13
Actavis, Inc. NV 2.02,9.01 05/02/13
ACTIVE NETWORK INC DE 2.02,9.01 05/02/13
ACURA PHARMACEUTICALS, INC NY 5.07 05/01/13
ACURA PHARMACEUTICALS, INC NY 2.02,9.01 05/02/13
Addus HomeCare Corp DE 2.02,9.01 05/02/13
ADVANCED ENERGY INDUSTRIES INC DE 5.07 05/01/13
AEROSONIC CORP /DE/ DE 2.02,9.01 05/01/13
AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.03 04/30/13
AIRGAS INC DE 2.02,9.01 05/02/13
ALAMO GROUP INC DE 2.02,9.01 05/01/13
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 05/02/13
ALICO INC FL 8.01,9.01 05/02/13
Alliance HealthCare Services, Inc CA 2.02,9.01 05/01/13
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 05/01/13
ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 05/01/13
ALLIANT TECHSYSTEMS INC DE 2.02,9.01 05/02/13
Allied Nevada Gold Corp. DE 9.01 05/02/13
Ally Financial Inc. DE 2.01 05/02/13
Alpha Natural Resources, Inc. DE 2.02,9.01 05/02/13
ALTRIA GROUP, INC. VA 8.01,9.01 04/29/13
AMEREN CORP MO 2.02,8.01,9.01 05/02/13
American Capital Agency Corp 2.02,9.01 05/02/13
American Capital Mortgage Investment MD 5.07 04/30/13
AMERICAN EXPRESS CO NY 5.07 04/29/13
AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 05/02/13
AMERICAN NATIONAL INSURANCE CO /TX/ TX 5.07 04/26/13
American Realty Capital Properties, I MD 8.01,9.01 05/02/13
Ameris Bancorp GA 1.01,7.01,9.01 05/01/13
AMN HEALTHCARE SERVICES INC DE 2.02,9.01 05/02/13
Anacor Pharmaceuticals, Inc. DE 8.01,9.01 05/01/13
ANIKA THERAPEUTICS INC MA 2.02,9.01 05/01/13
ANSYS INC DE 2.02,9.01 05/01/13
AOXING PHARMACEUTICAL COMPANY, INC. FL 4.01,9.01 04/29/13
APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 05/02/13
Apollo Commercial Real Estate Finance MD 2.02,9.01 05/01/13
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 05/02/13
AQUA AMERICA INC PA 2.02,9.01 05/01/13
ARCHER DANIELS MIDLAND CO DE 2.02,8.01,9.01 05/01/13
ARENA PHARMACEUTICALS INC DE 2.02,8.01,9.01 05/02/13
ARETE INDUSTRIES INC CO 5.02,8.01,9.01 04/26/13
Argo Group International Holdings, Lt 2.02,9.01 05/02/13
Arista Power, Inc. NY 1.01 05/02/13
Armour Residential REIT, Inc. MD 2.02,9.01 05/02/13
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,3.01,9.01 04/17/13 AMEND
ASB Bancorp Inc 2.02,9.01 05/02/13
ASPEN INSURANCE HOLDINGS LTD D0 3.03,9.01 05/02/13
ATHENAHEALTH INC DE 2.02,9.01 05/02/13
ATLANTIC POWER CORP A1 8.01,9.01 04/30/13
ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 05/02/13
AtriCure, Inc. DE 2.02,9.01 05/02/13
AUDIENCE INC 2.02,9.01 05/02/13
Augme Technologies, Inc. DE 4.02 04/29/13
AUTHENTIDATE HOLDING CORP DE 3.01,8.01 04/26/13
AUTONATION, INC. DE 7.01,9.01 05/02/13
AVALON HOLDINGS CORP OH 5.07 04/30/13
AVEO PHARMACEUTICALS INC DE 8.01,9.01 05/02/13
AXCELIS TECHNOLOGIES INC DE 2.02,9.01 05/02/13
BADGER METER INC WI 5.07 04/26/13
BALDWIN & LYONS INC IN 7.01,9.01 03/31/13
Bazaarvoice Inc DE 5.02,7.01,9.01 04/30/13
BEAM INC DE 2.02,7.01,9.01 05/02/13
BEAZER HOMES USA INC DE 2.02,9.01 05/02/13
BECTON DICKINSON & CO NJ 2.02,9.01 05/02/13
Behringer Harvard Mid-Term Value Enha TX 1.01 04/26/13
BELDEN INC. DE 2.02,9.01 05/02/13
BERKLEY W R CORP DE 1.01,9.01 05/02/13
BGC Partners, Inc. DE 2.02,9.01 05/02/13
Bio-Matrix Scientific Group, Inc. DE 3.03,8.01,9.01 04/30/13
BIOLARGO, INC. DE 1.01,9.01 04/26/13
BioMed Realty Trust Inc MD 2.02,9.01 05/01/13
BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 05/02/13
BLUCORA, INC. DE 2.02,9.01 05/02/13
BLUE NILE INC DE 2.02,9.01 05/02/13
BLUEFLY INC DE 8.01 05/01/13
BOISE INC. DE 2.02,2.05,8.01,9.01 05/02/13
BONANZA GOLD CORP. 4.01,9.01 04/29/13
Boomerang Systems, Inc. DE 1.02 04/21/13
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 05/02/13
BOULDER BRANDS, INC. DE 2.02,9.01 05/02/13
BRIDGE BANCORP INC NY 7.01 05/02/13
Bristow Group Inc DE 1.01,9.01 04/29/13
BRUKER CORP DE 2.02,9.01 05/02/13
BUILD A BEAR WORKSHOP INC DE 1.01,2.02,9.01 04/30/13
Business Development Corp of America MD 1.01 04/26/13
BUTLER NATIONAL CORP DE 8.01,9.01 05/02/13
CADENCE PHARMACEUTICALS INC 2.02,9.01 05/02/13
CAFEPRESS INC. DE 2.02,9.01 05/02/13
Cal Dive International, Inc. DE 2.02,7.01,9.01 05/01/13
CALLIDUS SOFTWARE INC DE 2.02,9.01 05/02/13
CALPINE CORP DE 2.02,9.01 05/02/13
Carbonite Inc DE 2.02,9.01 05/02/13
CARDINAL HEALTH INC OH 2.02,7.01,9.01 05/02/13
CARDTRONICS INC DE 2.02,9.01 05/02/13
CARPENTER TECHNOLOGY CORP DE 5.02,9.01 04/30/13
CASPIAN SERVICES INC NV 5.07 04/30/13
Catalent Pharma Solutions, Inc. DE 1.01,2.03,9.01 04/29/13
Catamaran Corp B0 2.02 05/01/13
CC Media Holdings Inc 2.02,9.01 05/02/13
CDI CORP PA 2.02,8.01,9.01 04/30/13
CEC ENTERTAINMENT INC KS 2.02,5.07,8.01,9.01 04/30/13
CELL THERAPEUTICS INC WA 2.02,9.01 05/02/13
Celldex Therapeutics, Inc. DE 2.02,9.01 05/02/13
Cellular Biomedicine Group, Inc. DE 1.01 04/26/13
CENTERPOINT ENERGY INC 2.02,9.01 05/02/13
CEPHEID CA 5.07 04/30/13
CEVA INC DE 2.02,9.01 05/02/13
CHAMBERS STREET PROPERTIES MD 7.01,8.01,9.01 05/02/13
CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 05/01/13
CHART INDUSTRIES INC DE 7.01,9.01 05/02/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02 05/01/13
CHECKPOINT SYSTEMS INC PA 1.01,7.01,9.01 04/28/13
Chefs' Warehouse, Inc. DE 2.02,9.01 05/02/13
Chemtura CORP DE 2.02,9.01 05/02/13
CHESAPEAKE UTILITIES CORP DE 2.02,9.01 05/02/13
CHICAGO BRIDGE & IRON CO N V P7 2.02,9.01 05/02/13
CHINA EDUCATION ALLIANCE INC. NC 8.01 05/01/13
China Integrated Energy, Inc. DE 4.01,9.01 01/01/13
ChinaNet Online Holdings, Inc. NV 3.01 04/30/13
CHOICEONE FINANCIAL SERVICES INC MI 5.07 05/01/13
CHUBB CORP NJ 5.07 04/30/13
CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 05/02/13
CIGNA CORP DE 2.02 05/02/13
CINCINNATI FINANCIAL CORP OH 5.07,7.01,9.01 04/27/13
Circle Entertainment, Inc. DE 4.02 05/01/13
CIRCOR INTERNATIONAL INC DE 2.02,9.01 05/02/13
Clear Channel Capital I, LLC DE 2.02,9.01 05/02/13
CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 05/02/13
Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 05/02/13
CLEARONE INC UT 2.02,9.01 05/01/13
Clearwire Corp /DE DE 8.01,9.01 05/02/13
CME GROUP INC. DE 2.02,9.01 05/02/13
CNL Growth Properties, Inc. MD 7.01 05/01/13
CNL LIFESTYLE PROPERTIES INC MD 8.01,9.01 05/01/13
COHU INC DE 2.02,9.01 05/01/13
Coleman Cable, Inc. DE 5.07 04/30/13
COLUMBIA LABORATORIES INC DE 5.02,5.07 05/01/13
COMSCORE, INC. DE 2.02,9.01 05/02/13
CONAGRA FOODS INC /DE/ DE 5.02,7.01 05/02/13
CONCHO RESOURCES INC DE 2.02,9.01 05/01/13
Constant Contact, Inc. DE 1.01 05/01/13
CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 05/02/13
CORCEPT THERAPEUTICS INC DE 2.02,7.01,9.01 05/02/13
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 05/02/13
CTC Media, Inc. 5.07,9.01 04/30/13
CTC Media, Inc. 2.02,8.01,9.01 05/02/13
CUBIC CORP /DE/ DE 2.02,9.01 05/02/13
CURTISS WRIGHT CORP DE 2.02,9.01 05/01/13
CVR ENERGY INC DE 2.02,7.01,9.01 05/02/13
CVR ENERGY INC DE 2.02,7.01,9.01 05/02/13
CVR PARTNERS, LP DE 2.02,9.01 05/01/13
CVR Refining, LP DE 2.02,7.01,9.01 05/02/13
CVR Refining, LP DE 2.02,7.01,9.01 05/02/13
DCT Industrial Trust Inc. MD 2.02,9.01 05/02/13
DELTA AIR LINES INC /DE/ DE 7.01,9.01 05/02/13
DENBURY RESOURCES INC DE 2.02,9.01 05/02/13
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 05/02/13
DICKS SPORTING GOODS INC DE 5.02,7.01,9.01 05/02/13
Digimarc CORP OR 2.02,5.07,7.01,9.01 04/30/13
DIGITAL RIVER INC /DE DE 2.02,9.01 05/02/13
Diligent Board Member Services, Inc. DE 5.02 04/26/13
DineEquity, Inc DE 2.02,9.01 05/02/13
Dolan Co. DE 2.02,9.01 05/02/13
DOLE FOOD CO INC DE 2.02,7.01,9.01 05/02/13
Domtar CORP DE 5.02 04/30/13
DSP GROUP INC /DE/ DE 5.02,9.01 05/02/13
DUN & BRADSTREET CORP/NW DE 2.02,7.01,9.01 05/02/13
DURECT CORP DE 2.02,9.01 05/02/13
DXP ENTERPRISES INC TX 3.01 05/02/13
DYNAMICS RESEARCH CORP MA 2.02,9.01 05/01/13
DYNAMICS RESEARCH CORP MA 8.01,9.01 04/26/13
DYNASIL CORP OF AMERICA NJ 5.02,9.01 05/01/13
DYNEGY INC. DE 2.02,9.01 05/02/13
DYNEX CAPITAL INC VA 2.02,9.01 05/01/13
E TRADE FINANCIAL Corp DE 7.01 05/02/13
EARTHLINK INC DE 2.02,2.06,7.01,9.01 05/01/13
Eastern Insurance Holdings, Inc. PA 2.02,9.01 05/02/13
EASTMAN KODAK CO NJ 1.02 05/02/13
ECHELON CORP DE 2.02,9.01 05/02/13
EDUCATION MANAGEMENT CORPORATION 2.02,9.01 05/01/13
EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 05/02/13
EL PASO ELECTRIC CO /TX/ TX 5.02,9.01 05/02/13
ELIZABETH ARDEN INC FL 2.02,9.01 05/02/13
Embassy Bancorp, Inc. PA 8.01,9.01 05/02/13
Emergent BioSolutions Inc. DE 2.02,9.01 05/02/13
EMERITUS CORP\WA\ WA 2.02,9.01 05/02/13
EMULEX CORP /DE/ DE 2.02,9.01 05/02/13
ENDOCYTE INC DE 2.02,9.01 05/02/13
Energy Future Holdings Corp /TX/ 2.02,9.01 05/02/13
ENPRO INDUSTRIES, INC NC 2.02,9.01 05/02/13
Enservco Corp DE 2.02,5.02,8.01,9.01 04/29/13
ENTRAVISION COMMUNICATIONS CORP DE 2.02,8.01,9.01 05/02/13
EPL OIL & GAS, INC. DE 2.02,9.01 05/02/13
ERHC Energy Inc CO 8.01,9.01 05/01/13
ESSEX PROPERTY TRUST INC MD 8.01,9.01 05/01/13
ESSEX PROPERTY TRUST INC MD 2.02,9.01 03/31/13
ESTEE LAUDER COMPANIES INC DE 2.02,8.01,9.01 05/02/13
Excel Trust, Inc. MD 2.02,9.01 05/01/13
Excel Trust, Inc. MD 8.01,9.01 05/02/13
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 05/02/13
EXTERRAN HOLDINGS INC. DE 2.02,9.01 05/02/13
EXTERRAN PARTNERS, L.P. DE 2.02,9.01 05/02/13
FAMOUS DAVES OF AMERICA INC MN 5.02,5.07 04/30/13
FAUQUIER BANKSHARES, INC. VA 2.02,9.01 05/01/13
FBL FINANCIAL GROUP INC IA 2.02 05/02/13
Federal Home Loan Bank of Atlanta X1 2.03 04/29/13
Federal Home Loan Bank of Boston X1 2.03 04/29/13
Federal Home Loan Bank of Chicago X1 2.03 04/29/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/30/13
Federal Home Loan Bank of New York X1 2.03,9.01 04/29/13
Federal Home Loan Bank of New York X1 8.01,9.01 05/02/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/29/13
Federal Home Loan Bank of San Francis X1 2.03 04/30/13
Federal Home Loan Bank of Seattle 2.03 04/29/13
Federal Home Loan Bank of Topeka 2.03,9.01 04/29/13
FEDERAL SIGNAL CORP /DE/ DE 5.07 04/30/13
FEMALE HEALTH CO WI 2.02,9.01 05/02/13
FIDUS INVESTMENT Corp MD 2.02,7.01,9.01 05/02/13
Fifth & Pacific Companies, Inc. DE 2.02,9.01 05/02/13
FIRST BANCSHARES INC /MS/ MS 2.01,7.01,9.01 04/30/13
First Community Financial Partners, I IL 2.02,9.01 05/02/13
FIRST DATA CORP DE 5.02,9.01 04/28/13
FIRST MARBLEHEAD CORP 3.01,9.01 11/07/12 AMEND
FIRST WEST VIRGINIA BANCORP INC WV 4.01,9.01 04/26/13
FLAGSTAR BANCORP INC MI 8.01,9.01 05/02/13
FLEETCOR TECHNOLOGIES INC DE 2.02,9.01 05/02/13
FLUOR CORP DE 2.02,9.01 05/02/13
Fortress Investment Group LLC DE 2.02,9.01 05/02/13
Fortune Brands Home & Security, Inc. DE 1.01,2.02,8.01,9.01 04/30/13
FOSTER WHEELER AG V8 2.02,9.01 05/02/13
Freescale Semiconductor, Ltd. D0 5.07 04/30/13
FreightCar America, Inc. DE 5.02,9.01 04/30/13
FreightCar America, Inc. DE 2.02,9.01 05/01/13
FX ENERGY INC NV 7.01,9.01 05/02/13
Galena Biopharma, Inc. 5.02,9.01 04/26/13
GAMCO INVESTORS, INC. ET AL NY 8.01 04/26/13
GARTNER INC DE 2.02,9.01 05/02/13
GASTAR EXPLORATION LTD 2.02,9.01 05/02/13
GBS Enterprises Inc NV 1.01,2.03,3.02,9.01 05/01/13
GCI INC AK 2.02,9.01 05/01/13
GENERAC HOLDINGS INC. DE 2.02,9.01 05/02/13
GENERAL COMMUNICATION INC AK 2.02,9.01 05/01/13
General Growth Properties, Inc. DE 2.03,9.01 04/26/13
General Motors Co 2.02,9.01 05/02/13
General Motors Financial Company, Inc TX 2.02,9.01 05/02/13
GENESIS ENERGY LP DE 2.02,9.01 05/01/13
GENOMIC HEALTH INC 2.02,9.01 05/02/13
GeoVax Labs, Inc. DE 2.02,9.01 05/02/13
GETTY REALTY CORP /MD/ MD 2.02,9.01 05/02/13
GIBRALTAR INDUSTRIES, INC. DE 2.02,7.01,9.01 05/02/13
GILEAD SCIENCES INC DE 2.02,9.01 05/02/13
GLADSTONE INVESTMENT CORPORATION\DE DE 1.01,9.01 04/30/13
Global Eagle Entertainment Inc. DE 2.01,9.01 04/26/13
GLOBAL PARTNERS LP 9.01 02/22/13 AMEND
GLOBUS MEDICAL INC DE 2.02,9.01 05/01/13
GMX RESOURCES INC OK 5.02 05/02/13
Gold & Gemstone Mining Inc. NV 5.02 04/02/13
GP STRATEGIES CORP DE 2.02,9.01 05/02/13
GRAY TELEVISION INC GA 2.02,9.01 05/02/13
GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 05/02/13
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 05/01/13
GSI TECHNOLOGY INC 2.02,9.01 05/02/13
Guidance Software, Inc. DE 2.02,7.01,9.01 05/02/13
H&E Equipment Services, Inc. DE 2.02,8.01,9.01 05/02/13
HAIN CELESTIAL GROUP INC DE 2.02 05/02/13
HALCON RESOURCES CORP DE 2.02,9.01 05/02/13
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 05/02/13
HANDY & HARMAN LTD. DE 2.02,9.01 05/02/13
HANGER, INC. DE 2.02,9.01 05/01/13
HARLEY DAVIDSON INC WI 5.07 04/29/13
HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 05/02/13
HARRIS INTERACTIVE INC DE 2.02,9.01 05/02/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02,9.01 05/02/13
HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 03/31/13
HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 05/02/13
HCA Holdings, Inc. 2.02,7.01,9.01 05/02/13
HEALTHSOUTH CORP DE 5.02,5.07,8.01,9.01 05/02/13
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 8.01,9.01 05/02/13
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 05/02/13
HERITAGE FINANCIAL CORP /WA/ WA 5.02,5.07 05/01/13
Heritage-Crystal Clean, Inc. DE 2.02,9.01 05/02/13
HERSHEY CO DE 5.07 04/30/13
hhgregg, Inc. DE 8.01,9.01 05/01/13
Hillenbrand, Inc. IN 2.02,9.01 05/02/13
Hillshire Brands Co MD 2.02,9.01 05/02/13
Hines Global REIT, Inc. MD 7.01,8.01,9.01 04/30/13
HOME PROPERTIES INC MD 5.07 04/30/13
Homeowners Choice, Inc. FL 2.02,9.01 05/02/13
HomeTrust Bancshares, Inc. MD 8.01,9.01 05/01/13
Hondo Minerals Corp 1.01,7.01,9.01 05/02/13
Hondo Minerals Corp 1.01,7.01,9.01 05/02/13 AMEND
HORIZON BANCORP /IN/ IN 7.01,9.01 05/02/13
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 05/01/13
HPEV, INC. NV 4.01,9.01 04/26/13
HSN, Inc. DE 2.02,7.01,9.01 05/02/13
Huntsman CORP DE 1.01,2.03,9.01 04/29/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 05/02/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 05/02/13
ICG GROUP, INC. DE 2.02,9.01 05/02/13
IDACORP INC ID 2.02,7.01,9.01 05/02/13
IDENTIVE GROUP, INC. DE 2.02,9.01 05/02/13
IDERA PHARMACEUTICALS, INC. DE 1.01,9.01 04/30/13
IDT CORP DE 2.04 05/01/13
IMMERSION CORP DE 2.02,9.01 05/02/13
IMPERVA INC DE 2.02,9.01 05/02/13
inContact, Inc. DE 2.02,9.01 05/02/13
INCYTE CORP DE 2.02,9.01 05/02/13
INDEPENDENCE REALTY TRUST, INC MD 3.03,9.01 04/26/13
INFORMATICA CORP DE 5.02 05/01/13
InfuSystem Holdings, Inc DE 5.02,9.01 04/29/13
Ingredion Inc DE 2.02,9.01 05/02/13
INSTEEL INDUSTRIES INC NC 8.01,9.01 05/02/13
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 05/02/13
Integrated Drilling Equipment Holding DE 5.02 04/30/13
INTEGRATED ELECTRICAL SERVICES INC DE 2.01,9.01 02/15/13 AMEND
INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 05/01/13
INTEL CORP DE 5.02,7.01,9.01 05/02/13
INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 05/02/13
INTERPHASE CORP TX 5.07,7.01,9.01 05/01/13
INTL FCSTONE INC. DE 1.01,9.01 04/30/13
InvenSense Inc DE 2.02,9.01 05/02/13
INVENTURE FOODS, INC. DE 2.02,9.01 05/02/13
Invesco Mortgage Capital Inc. MD 5.07 05/02/13
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 05/02/13
InZon CORP NV 2.01,3.02,5.06,9.01 04/30/13
IRIDEX CORP DE 2.02,9.01 05/02/13
Iridium Communications Inc. DE 2.02,9.01 05/02/13
ITT Corp IN 2.02,7.01,9.01 05/02/13
JOURNAL COMMUNICATIONS INC 2.02,9.01 05/02/13
JPMORGAN CHASE & CO DE 8.01,9.01 05/02/13
K SWISS INC DE 1.01,2.01,3.01,3.03, 04/30/13
5.01,5.02,5.03,8.01,9.01
KCAP Financial, Inc. DE 8.01,9.01 05/01/13
Kearny Financial Corp. X1 2.02,9.01 05/02/13
KEATING CAPITAL INC 7.01,8.01,9.01 05/02/13
KELLOGG CO DE 2.02,9.01 05/02/13
KEMPER Corp DE 5.07 05/01/13
KEMPER Corp DE 2.02,9.01 05/02/13
KEY TECHNOLOGY INC OR 2.02,9.01 05/02/13
KIMBALL INTERNATIONAL INC IN 2.02,9.01 05/02/13
KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 05/01/13
KITE REALTY GROUP TRUST MD 2.02,9.01 05/02/13
KLA TENCOR CORP DE 8.01,9.01 05/02/13
Kodiak Oil & Gas Corp B0 2.02,9.01 05/02/13
Kraft Foods Group, Inc. 2.02,9.01 05/02/13
Kraton Performance Polymers, Inc. DE 2.02,9.01 05/01/12
Kraton Performance Polymers, Inc. DE 2.02,9.01 05/02/13
Kraton Performance Polymers, Inc. DE 2.02,9.01 05/01/13 AMEND
L 3 COMMUNICATIONS HOLDINGS INC DE 5.02,5.03,5.07,9.01 04/30/13
LA-Z-BOY INC MI 5.02 04/27/13
LANTRONIX INC DE 2.02,9.01 05/02/13
LEAPFROG ENTERPRISES INC 2.02,9.01 05/02/13
Lender Processing Services, Inc. DE 5.02,9.01 05/01/13
LEXARIA CORP. NV 5.07,7.01,9.01 05/02/13
Liberty Global, Inc. DE 2.03,9.01 04/29/13
Life Technologies Corp DE 2.02,7.01,9.01 05/02/13
LIFETIME BRANDS, INC DE 2.02,9.01 05/02/13
LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 05/02/13
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 05/02/13
LINKEDIN CORP DE 2.02,9.01 05/02/13
LIQUIDITY SERVICES INC DE 2.02,9.01 05/02/13
LIQUIDITY SERVICES INC DE 7.01,9.01 05/02/13
LITHIA MOTORS INC OR 5.02,5.07,9.01 04/26/13
LIVEWIRE ERGOGENICS INC. 5.02 05/02/13
LNB BANCORP INC OH 2.02,5.02,5.07,9.01 04/30/13
LOJACK CORP MA 2.02,9.01 05/02/13
LTC PROPERTIES INC MD 7.01,9.01 05/02/13
MAC-GRAY CORP DE 2.02,9.01 05/02/13
MACATAWA BANK CORP MI 7.01 05/02/13
MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 05/02/13
Magnolia Solar Corp NV 8.01,9.01 05/02/13
MANHATTAN BRIDGE CAPITAL, INC NY 8.01,9.01 05/02/13
MARCHEX INC DE 2.02,9.01 05/02/13
MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 05/02/13
MASIMO CORP DE 2.02,9.01 05/02/13
MASTEC INC FL 2.02,7.01,9.01 05/02/13
MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 05/01/13
MBIA INC CT 5.07 05/02/13
MDC HOLDINGS INC DE 2.02,9.01 05/02/13
Medidata Solutions, Inc. DE 5.02,5.07,9.01 04/30/13
Medifirst Solutions, Inc. NV 1.01,8.01,9.01 05/01/13
Medley Capital Corp DE 2.02,9.01 05/02/13
MEDNAX, INC. FL 2.02,9.01 05/02/13
MERCER INTERNATIONAL INC. WA 2.02,9.01 05/02/13
META FINANCIAL GROUP INC DE 2.02,9.01 05/02/13
METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 05/02/13
MGM Resorts International DE 2.02,9.01 05/02/13
MICHAEL BAKER CORP PA 2.02,7.01,9.01 05/02/13
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 05/02/13
MICROVISION INC DE 2.02,9.01 05/02/13
MILLER HERMAN INC MI 2.01,9.01 04/29/13
MOCON INC MN 2.02,9.01 05/02/13
MOHAWK INDUSTRIES INC DE 2.02,9.01 05/02/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 05/02/13
MONEYGRAM INTERNATIONAL INC 2.02,9.01 05/02/13
MONSTER WORLDWIDE, INC. DE 2.02,9.01 05/02/13
Morgan Stanley Bank of America Merril DE 8.01,9.01 05/02/13
Morningstar, Inc. IL 8.01,9.01 05/02/13
MOSAIC CO 7.01,9.01 05/02/13
MOVE INC DE 2.02,8.01,9.01 05/02/13
MRC GLOBAL INC. DE 2.02,9.01 05/02/13
MULTI COLOR Corp OH 8.01,9.01 05/01/13
MULTI FINELINE ELECTRONIX INC 2.02,9.01 05/02/13
MusclePharm Corp NV 5.02 04/29/13
MWI Veterinary Supply, Inc. DE 2.02,9.01 05/02/13
MYLAN INC. PA 2.02,9.01 05/02/13
NASB FINANCIAL INC MO 5.02 04/30/13
National CineMedia, Inc. DE 2.02,5.02,5.07,9.01 05/01/13
NATIONAL HEALTHCARE CORP DE 8.01,9.01 04/26/13
National Interstate CORP OH 2.02,9.01 04/30/13
NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 05/02/13
NAVISTAR INTERNATIONAL CORP DE 7.01 05/02/13
Neenah Paper Inc DE 8.01,9.01 05/01/13
NETSOL TECHNOLOGIES INC NV 2.02 05/02/13
NEUROCRINE BIOSCIENCES INC CA 2.02,9.01 05/02/13
NEUSTAR INC 5.02,9.01 04/29/13
NEUSTAR INC 2.02,7.01,8.01,9.01 05/02/13
NEW JERSEY RESOURCES CORP NJ 2.02,7.01,9.01 05/02/13
NEW YORK MORTGAGE TRUST INC MD 1.01,9.01 04/29/13
NEWBRIDGE BANCORP NC 8.01,9.01 05/02/13
NEWS CORP 8.01,9.01 05/02/13
NII HOLDINGS INC DE 2.02,5.02,9.01 04/30/13
NORTHWEST NATURAL GAS CO OR 2.02,9.01 05/02/13
NU SKIN ENTERPRISES INC DE 2.02,9.01 05/02/13
NxStage Medical, Inc. DE 2.02,9.01 05/02/13
Och-Ziff Capital Management Group LLC DE 7.01 05/02/13
Och-Ziff Capital Management Group LLC DE 2.02,8.01 05/02/12
OCWEN FINANCIAL CORP FL 2.02,9.01 05/02/13
OFFICEMAX INC DE 5.07 04/29/13
OGE ENERGY CORP. OK 2.02,9.01 05/02/13
Ohr Pharmaceutical Inc 5.02,8.01 04/30/13
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 05/02/13
OLD DOMINION ELECTRIC COOPERATIVE VA 7.01,9.01 05/02/13
OM GROUP INC DE 2.02,9.01 05/02/13
OMNICELL, Inc CA 2.02,9.01 05/02/13
OMNOVA SOLUTIONS INC OH 7.01,9.01 05/02/13
ON SEMICONDUCTOR CORP DE 2.02,9.01 05/02/13
ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 05/02/13
ONVIA INC DE 2.02,9.01 05/02/13
OPENTABLE INC DE 2.02,9.01 05/02/13
OPLINK COMMUNICATIONS INC DE 2.02,9.01 05/02/13
Orbitz Worldwide, Inc. DE 5.02 04/26/13
Orchid Island Capital, Inc. MD 2.02,9.01 05/01/13
ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 05/01/13
PACCAR INC DE 5.02,5.07 04/28/13
PACKAGING CORP OF AMERICA 5.02,5.07,7.01,9.01 05/01/13
PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,8.01,9.01 05/02/13
PAN GLOBAL, CORP. NV 2.01,3.02,4.01, 04/26/13
5.06,5.07,9.01
PATRIOT SCIENTIFIC CORP DE 5.07,7.01 04/30/13
PBF Energy Inc. DE 2.02,9.01 05/02/13
PC CONNECTION INC DE 2.02,9.01 05/02/13
PennantPark Floating Rate Capital Ltd 7.01,9.01 05/01/13
PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 03/31/13
PG&E Corp CA 2.02,7.01,9.01 05/02/13
PharMerica CORP DE 7.01 05/02/13
PHH CORP MD 2.02,9.01 05/01/13
Piedmont Office Realty Trust, Inc. MD 2.02,9.01 05/02/13
PILGRIMS PRIDE CORP DE 2.02,9.01 05/02/13
PILGRIMS PRIDE CORP DE 7.01,9.01 05/02/13
PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 05/02/13
PMC SIERRA INC DE 5.07 05/01/13
Polar Petroleum Corp. 1.01,2.03,3.02,9.01 04/25/13
Polar Petroleum Corp. 1.01,3.02,9.01 03/18/13 AMEND
POOL CORP DE 5.02,5.07,7.01,9.01 05/02/13
POPULAR INC 5.07,9.01 04/30/13
POWER INTEGRATIONS INC CA 2.02,9.01 05/02/13
POWIN CORP 1.01,2.01,9.01 04/26/13
PPL Corp 2.02,7.01,9.01 05/02/13
PREMIER EXHIBITIONS, INC. FL 4.02 05/01/13
PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 05/01/13
PROCERA NETWORKS INC NV 2.02,9.01 05/02/13
PROS Holdings, Inc. DE 2.02,9.01 05/02/13
PUBLIX SUPER MARKETS INC FL 2.02,9.01 05/01/13
Pulse Beverage Corp NV 5.02 05/02/13
QEP RESOURCES, INC. DE 2.02,9.01 04/30/13
QLOGIC CORP DE 2.02,9.01 05/02/13
QLT INC/BC A1 2.02,9.01 05/02/13
QUALITY DISTRIBUTION INC FL 2.02,9.01 05/01/13
QUANTA SERVICES INC DE 2.02,9.01 05/02/13
RAIT Financial Trust MD 2.02,9.01 05/02/13
RAND CAPITAL CORP NY 9.01 05/02/13
RANGE RESOURCES CORP DE 8.01 05/02/13
REALPAGE INC DE 2.02,9.01 05/02/13
REDWOOD TRUST INC MD 2.02,7.01,9.01 05/02/13
REGAL BELOIT CORP WI 5.02,5.07,9.01 04/29/13
Regional Management Corp. DE 2.02,9.01 05/02/13
REPLIGEN CORP DE 2.02,9.01 05/02/13
REPROS THERAPEUTICS INC. DE 8.01,9.01 05/02/13
RETAIL OPPORTUNITY INVESTMENTS CORP MD 2.02,9.01 03/31/13
REVLON CONSUMER PRODUCTS CORP DE 7.01 05/02/13
REVLON INC /DE/ DE 7.01 05/02/13
Revolutions Medical CORP NV 4.02 04/29/13
Rhino Resource Partners LP DE 2.02,9.01 05/02/13
RLI CORP IL 5.07,8.01,9.01 05/02/13
ROCKWELL MEDICAL, INC. MI 5.02,5.07 04/30/13
ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 05/02/13
Rosetta Resources Inc. DE 1.01,2.03,9.01 05/02/13
Roundy's, Inc. DE 7.01,9.01 05/02/13
Rouse Properties, Inc. DE 2.02,7.01 05/02/13
ROYAL GOLD INC DE 7.01,8.01,9.01 05/02/13
ROYAL GOLD INC DE 2.02,9.01 05/02/13
RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 05/02/13
SAIA INC DE 7.01,9.01 04/26/13
Sally Beauty Holdings, Inc. 2.02,7.01,9.01 05/02/13
SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 05/02/13
SANDRIDGE ENERGY INC DE 5.02 04/26/13
SANDY SPRING BANCORP INC MD 5.07 05/01/13
Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 05/02/13
Select Income REIT MD 2.02,9.01 05/02/13
SELECTICA INC DE 2.02,9.01 05/02/13
SEMPRA ENERGY CA 2.02,9.01 05/02/13
Shire plc 2.02,9.01 05/02/13
Shire plc 8.01,9.01 05/02/13
Simplicity Bancorp, Inc. 2.02,9.01 04/30/13
SINGLE TOUCH SYSTEMS INC DE 5.02 05/01/13
SIONIX CORP NV 1.01,2.03,3.02 01/25/13 AMEND
SKULLCANDY, INC. 5.02,9.01 05/02/13
SOHU COM INC DE 1.01,8.01,9.01 05/01/13
Sound Financial Bancorp, Inc. MD 2.02,8.01,9.01 04/30/13
SOUTHERN CALIFORNIA GAS CO CA 2.02,9.01 05/02/13
SPARK NETWORKS INC DE 1.01,9.01 05/01/13
SPECTRUM GROUP INTERNATIONAL, INC. DE 8.01 04/30/13
Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 05/02/13
SQN Alternative Investment Fund III, DE 8.01 03/29/13
SquareTwo Financial Corp DE 8.01,9.01 05/02/13
Staffing 360 Solutions, Inc. NY 2.01,3.02,5.02,9.01 04/26/13
STANDARD PACIFIC CORP /DE/ DE 2.02,9.01 04/29/13
STARBUCKS CORP WA 5.02 05/02/13
Starz DE 5.03,9.01 04/30/13
Steadfast Income REIT, Inc. MD 2.02,9.01 05/01/13
STERLING FINANCIAL CORP /WA/ WA 5.07 04/29/13
STERLING FINANCIAL CORP /WA/ WA 8.01,9.01 05/02/13
STRAYER EDUCATION INC MD 2.02,9.01 05/02/13
STURM RUGER & CO INC DE 5.07,8.01 05/02/13
SUNGARD CAPITAL CORP DE 2.02,9.01 05/02/13
SUNPOWER CORP DE 2.02,9.01 05/02/13
Surge Global Energy, Inc. DE 4.01,9.01 05/02/13
SVB FINANCIAL GROUP 7.01,9.01 05/02/13
SWIFT ENERGY CO 2.02,9.01 05/02/13
Symmetry Medical Inc. DE 2.02,9.01 05/02/13
T-Mobile US, Inc. DE 1.01,2.03,3.02,4.01, 05/01/13
5.01,5.02,5.03,7.01,9.01
TECOGEN INC. 1.01,2.03,9.01 05/02/13
TEJON RANCH CO DE 2.02,9.01 05/01/13
TELECOMMUNICATION SYSTEMS INC /FA/ MD 1.01,2.02,2.03, 05/02/13
3.02,9.01
TELETECH HOLDINGS INC DE 2.02,9.01 05/01/13
TELLABS INC DE 5.07,8.01,9.01 05/01/13
TEMPUR PEDIC INTERNATIONAL INC DE 2.02,7.01,9.01 05/02/13
TEMPUR PEDIC INTERNATIONAL INC DE 7.01,9.01 05/02/13
TERADATA CORP /DE/ 2.02,7.01,9.01 05/02/13
TESORO CORP /NEW/ DE 7.01,9.01 05/02/13
TETRA TECH INC DE 2.02,9.01 05/01/13
THOR INDUSTRIES INC DE 2.02,9.01 05/02/13
THORATEC CORP CA 2.02,9.01 05/02/13
THQ INC DE 8.01,9.01 04/09/13
THRESHOLD PHARMACEUTICALS INC DE 2.02,9.01 05/02/13
TJX COMPANIES INC /DE/ DE 8.01,9.01 05/02/13
TOTAL SYSTEM SERVICES INC GA 5.07 04/30/13
Tower International, Inc. DE 2.02,7.01,9.01 05/02/13
TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 05/02/13
TRANS LUX CORP DE 1.01,2.03,9.01 04/29/13
TREX CO INC DE 5.07 05/01/13
TTM TECHNOLOGIES INC WA 2.02,9.01 05/02/13
UIL HOLDINGS CORP CT 2.02,7.01,9.01 05/02/13
ULTRALIFE CORP DE 2.02,9.01 05/02/13
UNITED BANCORP INC /MI/ MI 7.01 05/02/13
UNITED STATES STEEL CORP DE 5.07 04/30/13
UNITIL CORP NH 7.01,9.01 04/25/13
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 05/02/13
UNIVEST CORP OF PENNSYLVANIA PA 8.01,9.01 05/01/13
UROLOGIX INC MN 2.02,9.01 05/01/13
US BANCORP \DE\ DE 5.03,8.01,9.01 05/01/13
Valeant Pharmaceuticals International A6 2.02,9.01 05/02/13
VALIDUS HOLDINGS LTD 5.02,5.07,7.01,9.01 05/01/13
VALMONT INDUSTRIES INC DE 5.02,9.01 04/30/13
VECTREN CORP IN 2.02,9.01 05/01/13
Venoco, Inc. DE 5.02,9.01 04/29/13
VERAMARK TECHNOLOGIES INC DE 1.01 04/30/13
VERAMARK TECHNOLOGIES INC DE 1.01,9.01 04/30/13
Verity Corp. NV 5.02 05/01/13
VIASAT INC DE 5.02 04/26/13
VIRGIN MEDIA INC. DE 8.01 05/02/13
VOCERA COMMUNICATIONS, INC. 2.02,5.02,9.01 05/02/13
Volcano Corp DE 2.02,9.01 05/02/13
Vulcan Materials CO NJ 2.02,9.01 05/02/13
W R GRACE & CO DE 5.02 05/02/13
Walter Energy, Inc. DE 2.02,9.01 05/01/13
Warner Chilcott plc 5.02,9.01 05/02/13
WASHINGTON GAS LIGHT CO DC 2.02,9.01 05/01/13
Weatherford International Ltd./Switze V8 1.01,2.02,7.01,9.01 05/01/13
WEB.COM GROUP, INC. DE 2.02,9.01 05/02/13
WEBMEDIABRANDS INC. DE 2.02,9.01 05/02/13
WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 05/02/13
WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 04/30/13
WEINGARTEN REALTY INVESTORS /TX/ TX 5.07 04/30/13
WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 05/02/13
Western Refining, Inc. DE 2.02,9.01 05/02/13
WEYCO GROUP INC WI 2.02,9.01 05/02/13
Wheeler Real Estate Investment Trust, MD 1.01,9.01 04/25/13
Wheeler Real Estate Investment Trust, MD 1.01,9.01 04/25/13
WHITEWAVE FOODS Co DE 3.03,8.01 05/01/13
WILLAMETTE VALLEY VINEYARDS INC OR 5.02 04/24/13
WINTRUST FINANCIAL CORP IL 3.02,8.01,9.01 05/01/13
WORLD FUEL SERVICES CORP FL 7.01,9.01 05/02/13
WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 05/02/13
WPX ENERGY, INC. DE 2.02 05/02/13
XCEL ENERGY INC MN 2.02,9.01 05/02/13
Xenith Bankshares, Inc. VA 2.02,9.01 05/01/13
XL GROUP PLC L2 2.02,9.01 05/02/13
Xumanii, Inc. NV 1.01,2.03,9.01 05/01/13
Xumanii, Inc. NV 1.01,2.01,3.02,5.01, 05/01/13 AMEND
5.02,5.06,9.01
Zalicus Inc. DE 2.02,9.01 05/02/13
ZEBRA TECHNOLOGIES CORP 2.02,9.01 05/02/13
ZOGENIX, INC. DE 8.01 05/02/13
http://www.sec.gov/news/digest/2013/dig050313.htm
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