Deputy Chief Economist Kathleen Weiss Hanley to Leave SEC
The Securities and Exchange Commission (Commission) today announced that Kathleen Weiss Hanley, Deputy Chief Economist and Deputy Director of the Division of Economic and Risk Analysis, is leaving the agency later this month.
Dr. Hanley has served in her current position since August 2011 and has been a member of the SEC staff on two previous occasions, working as a research economist from 1987 to 1988 and as a senior financial economist from 2005 to 2010. In her most recent role, she helped to incorporate rigorous economic modeling and analytics into a wide variety of Commission activities. She also was instrumental in expanding the division and its research activities and highlighting the value of high-quality research to SEC policymakers.
Dr. Hanley will depart to join the faculty at the University of Maryland's Robert H. Smith School of Business.
"Kathleen joined the division at a pivotal moment in its early growth, providing critical thought leadership and working with staff to integrate economic analysis more fully into the Commission's various activities, particularly rulemaking and risk assessment," said Craig Lewis, SEC Chief Economist and Director of the Division of Economic and Risk Analysis. "Her work strengthening the division's research program leaves an important and lasting legacy."
Dr. Hanley said, "It has been a great pleasure to work with the many talented and dedicated individuals here at the SEC. I have been extremely fortunate to have been part of the agency through the years, and have been pleased to have played a role in the expansion and development of the Division of Economic and Risk Analysis."
Dr. Hanley received the SEC's 2013 Law and Policy Award for her work on a team that drafted guidance on economic analysis in SEC rulemakings and was part of a team that received the SEC's 2013 Analytical Methods Award for its study of money market mutual funds.
Before joining the SEC staff, Dr. Hanley was a senior economist at the Federal Reserve Board and was on the faculty of both the University of Maryland and the University of Michigan. Her research has been published in the Journal of Finance, Journal of Financial Economics, Review of Financial Studies, Journal of Financial Intermediation, and Financial Management. She earned her Ph.D. from the University of Florida and her B.S. from Indiana University. (Press Rel. 2013-142)
Closed Meeting on Thursday, August 8, 2013 at 2:00 p.m.
The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; 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 Charges Purported Biofuel Company and a Dozen Individuals in Chicago-Based Pump-and-Dump Scheme
The Commission today charged a purported biofuel company in Chicago and a dozen individuals in a pump-and-dump scheme that generated $4.4 million in illicit profits.
The SEC alleges that Bosko R. Gasich, a founder and principal shareholder of Zenergy International caused the company to enter into a reverse merger with a publicly traded shell entity called Paradigm Tactical Products. Using backdated convertible debt, Gasich caused Paradigm to issue 300 million shares of purportedly unrestricted stock to his family and friends, a lawyer who served as transaction counsel, stock promoters, and associates of Paradigm.
The SEC alleges that Gasich and Scott H. Wilding, who is the subject of a prior SEC cease-and-desist order, and several stock touters then conducted two promotional campaigns to generate investor interest in Zenergy. These touters failed to disclose the compensation they received for promoting Zenergy. The touting was accompanied by misleading press releases and financial disclosures that were reviewed and approved by Gasich and Robert J. Luiten, who was Zenergy's CEO. Diane D. Dalmy, who acted as counsel for the reverse merger, issued opinion letters that improperly concluded that her and others' shares were unrestricted and freely tradable. As Zenergy's stock price increased in conjunction with the promotional activity and other misconduct, Gasich and others sold their shares into the public market for illicit profits.
The SEC also today announced a trading suspension in Zenergy stock.
"This case covers a broad range of parties who were involved in various aspects of a pump-and-dump scheme to make illicit profits at the expense of the investing public," said Timothy L. Warren, Acting Director of the Chicago Regional Office. "These individuals included a complicit CEO, Gasich's family and friends, a lawyer who issued improper opinion letters, and promoters who touted the stock without disclosing they had something to gain."
In complaints filed in U.S. District Court for the Northern District of Illinois, the SEC charged Zenergy, Gasich, Luiten, Wilding and his company Skyline Capital, and Dalmy, who live in Chicago, Mobile, Ala., Pembroke Pines, Fla., and Denver respectively. The complaints also charged the following other individuals and their entities:
Gasich Family and Friends
Promoters and Touters
The SEC's complaints allege that Zenergy, Gasich, Baeten, Bennett, Bozovic, Dalmy, Gasic, Jovanovich, Nelson, Wilding, and entities associated with them violated Sections 5(a) and 5(c) of the Securities Act of 1933. The complaints allege that Baeten, Bennett, Bowker, and Martino violated Section 17(b) of the Securities Act, and Wilding violated an SEC cease-and-desist order previously issued against him. The SEC further alleges that Zenergy violated Section 17(a) of the Securities Act and Section 10(b) of the Securities Exchange Act of 1934, and that Gasich and Luiten also violated, aided and abetted, or are liable as control persons for Zenergy's violations of these provisions. The SEC's complaint names Market Ideas and Vertical Group Holdings as relief defendants.
Agreeing to settle the SEC's charges are Baeten, Bennett, Bowker, Bozovic, Gasic, Jovanovich, Nelson, and their associated entities. Without admitting or denying the allegations, they agreed to penny stock bars, permanent injunctions from further violations of the charged provisions of the securities laws, and monetary relief.
Gasich agreed to a partial settlement that imposes disgorgement and penalties, a penny stock bar, an officer-and-director bar, and a permanent injunction from further violations of the charged provisions of the securities laws. He neither admits nor denies the allegations. Amounts of disgorgement and prejudgment interest to be paid jointly and severally by Gasich and his company Market Ideas as well as financial penalties are to be determined by the court.
The SEC's case continues against Zenergy, Dalmy, Luiten, Martino, and Wilding. The SEC is seeking penny stock bars, disgorgement and prejudgment interest, financial penalties, and permanent injunctions, as well as an officer-and-director bar against Luiten.
The SEC's investigation was conducted by Kathryn A. Pyszka, Paul M. G. Helms, and Timothy T. Tatman in the Chicago Regional Office. The SEC's litigation will be led by Daniel J. Hayes and John E. Birkenheier. (Press Rel. 2013-143)
Commission Suspends Trading in the Securities of Zenergy International, Inc. for Lack of Current and Accurate Information
As indicated, the Commission announced the temporary suspension of trading in the securities of Zenergy International, Inc. ("ZENG") commencing at 9:30 a.m. EDT, on August 1, 2013, and terminating at 11:59 p.m. EDT, on August 14, 2013.
The Commission temporarily suspended trading in the securities of ZENG due to a lack of current and accurate information about the company because it has 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 the company.
Brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspensions, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to ZENG's securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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 contact Kathryn A. Pyszka, Assistant Regional Director, Chicago Regional Office, at (312) 353-7390 or firstname.lastname@example.org. (Rel. 34-70090)
Commission Charges Two Traders in Spain with Insider Trading Ahead of BHP Acquisition Bid
On July 30, 2013, the Commission charged a former high-ranking official at Madrid-based Banco Santander S.A. and a former judge in Spain with insider trading based on non-public information about a proposed acquisition for which the Spanish investment bank was acting as an advisor.
The SEC alleges that Cedric Cañas Maillard, who served as an executive advisor to Banco Santander's CEO, learned confidentially that the investment bank had been asked by one of the world's largest mining companies, BHP Billiton, to advise and help underwrite its proposed acquisition of Potash Corporation, one of the world's largest producers of fertilizer minerals. In the days leading up to a public announcement of BHP's bid, Cañas purchased Potash contracts-for-difference (CFDs), which were highly leveraged securities not traded in the U.S. but based on the price of U.S. exchange-listed Potash stock. The CFDs mirrored the movement and pricing of that stock. Cañas also tipped his close personal friend Julio Marín Ugedo about the potential acquisition and advised him to purchase Potash stock. Cañas and Marín sold their Potash securities after the public announcement for illicit profits of nearly $1 million combined.
The SEC's enforcement action against Cañas and Marín arises from its continuing investigation into suspicious Potash trading ahead of the Aug. 17, 2010, public announcement of BHP's acquisition bid. A former Banco Santander analyst agreed to pay more than $625,000 to settle insider trading charges by the SEC.
According to the SEC's complaint against Cañas and Marín filed in U.S. District Court for the Southern District of New York, Australia-based BHP made an unsolicited $38.6 billion offer to purchase all of the stock of Canada-based Potash for $130 per share in cash. On a number of occasions between August 5 and August 17, Banco Santander's CEO and at least three other bank executives discussed the status of BHP's proposal with Cañas. On August 9, one executive informed Cañas that the $10.5 billion financing commitment requested by BHP had been approved by Banco Santander's executive committee. On August 11, Cañas attended a lunch meeting during which bank executives discussed the Potash acquisition, including the timing of the deal.
The SEC alleges that Cañas purchased 30,000 Potash CFDs from August 9 to August 13 based on material, non-public information he learned about BHP's offer to acquire Potash. Cañas liquidated his entire CFD position in Potash following the August 17 public announcement for an illicit profit of $917,239.44. Cañas also communicated frequently with Marín that month, and Marín has admitted that he and Cañas discussed investing in Potash prior to his purchase of 1,393 shares of Potash common stock through two Spain-based brokerage accounts. By trading Potash stock based on material, non-public information, Marín generated net trading profits of $43,566 (a 28.47 percent return) in just one week.
The SEC's complaint alleges that Cañas and Marín violated Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3. The SEC's complaint seeks disgorgement of ill-gotten gains with prejudgment interest, financial penalties, and orders of permanent injunction against Cañas and Marín. (Rel. LR-22768)
Commission Obtains Preliminary Injunction in Binary Options CaseThe Commission announced that on July 30, 2013, the U.S. District Court for the District of Nevada issued an order granting a preliminary injunction and other relief against Banc de Binary Ltd., a Cyprus-based company that operates an online binary options trading platform.
The Commission's complaint, filed on June 5, 2013, alleges that Banc de Binary has been offering and selling binary options to investors across the U.S. without first registering the securities as required under the federal securities laws. The company has broadly solicited U.S customers by advertising through YouTube videos, spam e-mails, and other Internet-based advertising; and Banc de Binary representatives have communicated with investors directly by phone, e-mail, and instant messenger chats. Banc de Binary also has allegedly been acting as a broker when offering and selling these securities, but failed to register with the SEC as a broker as required under U.S. law.
At the SEC's request, the Court issued an Order preliminarily enjoining Banc de Binary from offering or selling unregistered securities in violation of Section 5 of the Securities Act of 1933 and acting as an unregistered broker-dealer in violation of Section 15(b) of the Securities Exchange Act of 1934. In its Order, the Court concluded that binary options are "securities" subject to regulation by the Commission.
[SEC v. Banc de Binary Ltd., Civil Action No. 2:13-CV-00993-RCJ-VCF, USDC, D. Nev.] (LR- 22767)
Investment company orders
Ranger Alternative Management, L.P. and Ranger Funds Investment Trust
A notice has been issued giving interested persons until August 26, 2013, to request a hearing on an application filed by Ranger Alternative Management, L.P. and Ranger Funds Investment Trust 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-30639)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by Chicago Board Options Exchange, Incorporated to change the expiration date for most option contracts to the third Friday of the expiration month instead of the Saturday following the third Friday (SR-CBOE-2013-073) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70091)
The Options Clearing Corporation ("OCC") filed a proposed rule change (SR-OCC-2013-11) under Section 19(b)(1) of the Securities Exchange Act of 1934 to: (i) provide clarification regarding the applicability of certain provisions of OCC's by-laws and rules to certain U.S. dollar-settled gold futures designed to replicate positions in the spot market; and (ii) remove provisions applicable only to the now-discontinued U.S. dollar-settled gold futures that were based on the value of gold in the spot market with an additional daily cost of carry feature. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70092)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-3ASR MOODYS CORP /DE/, 7 WORLD TRADE CENTER, AT 250 GREENWICH STREET, NEW YORK, NY, 10007, 2125530300 - 0 ($0.00) Debt, (File 333-190259 - Jul. 31) (BR. 11C) S-8 COMMUNITY HEALTH SYSTEMS INC, 4000 MERIDIAN BOULEVARD, FRANKLIN, TN, 37067, 615-465-7000 - 0 ($137,490,000.00) Equity, (File 333-190260 - Jul. 31) (BR. 01A) S-8 ECOLOGY & ENVIRONMENT INC, 368 PLEASANTVIEW DR, LANCASTER, NY, 14086, 7166848060 - 0 ($2,108,000.00) Equity, (File 333-190261 - Jul. 31) (BR. 06C) S-1 Esir1,Inc., 433 NORTH CAMDEN DRIVE 6 FLOOR, BEVERLY HILLS, CA, 90210, 323-866-1803 - 15,000,000 ($785,000.00) Equity, (File 333-190264 - Jul. 31) (BR. 04) S-1 MASCOTA RESOURCES CORP., PO BOX 64, CALLE COLOMBIA #1014, COLONIA 5 DE DICIEMBRE C.P., PUERTO VALLARTA, JALISCO, O5, 48351, 000-000-0000 - 1,900,000 ($14,250.00) Equity, (File 333-190265 - Jul. 31) (BR. 09) S-1 Cardinal Energy Group, Inc., 6037 FRANTZ ROAD, SUITE 103, DUBLIN, OH, 43017, 614-459-4959 - 18,301,751 ($23,792,276.00) Equity, (File 333-190266 - Jul. 31) (BR. 04B) S-8 STANLEY BLACK & DECKER, INC., 1000 STANLEY DR, P O BOX 7000, NEW BRITAIN, CT, 06053, 8602255111 - 0 ($1,312,000,000.00) Equity, (File 333-190267 - Jul. 31) (BR. 06C) S-8 SOUTHWEST AIRLINES CO, 2702 LOVE FIELD DR, P O BOX 36611, DALLAS, TX, 75235, 2147924000 - 0 ($135,250,000.00) Equity, (File 333-190268 - Jul. 31) (BR. 05C) S-8 FREESEAS INC., 10 ELEFTHERIOU VENIZELOU STREET, (PANEPISTIMIOU AVENUE), ATHENS, J3, 10671, 011-30-210-452-8770 - 500,000 ($115,000.00) Equity, (File 333-190270 - Jul. 31) (BR. 05B) S-1 FLEX FUEL TECHNOLOGIES, INC., 7841 N.W. 46TH STREET, LAUDERHILL, FL, 33351, (904)894-4659 - 10,354,217 ($2,588,554.00) Equity, (File 333-190271 - Jul. 31) (BR. 06) S-8 AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156, 8602730123 - 0 ($396,312,500.00) Equity, (File 333-190272 - Jul. 31) (BR. 01A) F-3 JinkoSolar Holding Co., Ltd., 1 JINGKE ROAD, SHANGRAO ECONOMIC DEVELOPMENT ZONE, JIANGXI PROVINCE, F4, 334100, (86-793)846-9699 - 0 ($200,000,000.00) Equity, File 333-190273 - Jul. 31) (BR. 10A) S-8 Rovi Corp, C/O ROVI ROVI CORPORATION, 2830 DE LA CRUZ BOULEVARD, SANTA CLARA, CA, 95050, 408-562-8400 - 0 ($210,081,026.00) Equity, (File 333-190274 - Jul. 31) (BR. 05A) S-1 SUNGARD DATA SYSTEMS INC, SUNGARD DATA SYSTEMS INC, 680 EAST SWEDESFORD RD, WAYNE, PA, 19087, 4845825512 - 0 ($1.00) Non-Convertible Debt, (File 333-190275 - Jul. 31) (BR. 03A) S-3 QUICKLOGIC CORPORATION, 1277 ORLEANS DR, SUNNYVALE, CA, 94089-1138, 4089904000 - 0 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-190277 - Jul. 31) (BR. 10B) S-3D Niska Gas Storage Partners LLC, 1001 FANNIN STREET, SUITE 2500, HOUSTON, TX, 77002, (281) 404-1890 - 0 ($110,175,000.00) Equity, (File 333-190278 - Jul. 31) (BR. 02A) S-3ASR AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309, 4045844000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-190280 - Jul. 31) (BR. 02A) S-8 EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 1,243,005 ($3,168,130.16) Equity, (File 333-190282 - Jul. 31) (BR. 03C) S-4 NEXSTAR BROADCASTING INC, 909 LAKE CAROLYN PARKWAY, SUITE 1450, IRVING, TX, 75039, 972-373-8800 - 0 ($250,000,000.00) Non-Convertible Debt, (File 333-190283 - Jul. 31) (BR. 11A) S-8 RADIOSHACK CORP, 300 RADIOSHACK CIRCLE, FORT WORTH, TX, 76102, 817-415-3700 - 16,700,000 ($45,173,500.00) Equity, (File 333-190284 - Jul. 31) (BR. 02A) S-8 BANC OF CALIFORNIA, INC., 18500 VON KARMAN, IRVINE, CA, 92612, 949-236-5211 - 4,000,000 ($60,480,000.00) Equity, (File 333-190286 - Jul. 31) (BR. 07C) S-1 AMERICAN PETRO-HUNTER INC, 17470 NORTH PACESETTER WAY, SCOTTSDALE, AZ, 85255, 480-305-2052 - 16,182,230 ($313,638.90) Equity, (File 333-190287 - Jul. 31) (BR. 04A) S-3 CADIZ INC, 550 SOUTH HOPE STREET, SUITE 2850, LOS ANGELES, CA, 90071, 213-271-1600 - 40,000,000 ($40,000,000.00) Unallocated (Universal) Shelf, (File 333-190288 - Jul. 31) (BR. 02C)
Recent 8K Filings
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 3DICON CORP OK 1.01,3.02,9.01 07/26/13 AAON INC NV 8.01,9.01 07/28/13 ACCELRYS, INC. DE 2.02,2.05 07/26/13 ACCESS MIDSTREAM PARTNERS LP DE 2.02,9.01 07/30/13 ACCO BRANDS Corp DE 2.02,9.01 07/31/13 Aclor International, Inc. DE 5.02 06/26/13 ACORN ENERGY, INC. DE 5.02 07/25/13 ACTIVE POWER INC DE 2.02 07/31/13 AMEND ACXIOM CORP DE 2.02,9.01 07/31/13 ADT Corp DE 2.02,9.01 07/31/13 ADVISORY BOARD CO DE 2.02,9.01 07/31/13 AEGEA, INC. NV 5.02 07/29/13 Aegion Corp DE 7.01,9.01 07/31/13 AEMETIS, INC NV 1.01,9.01 07/26/13 AFFYMETRIX INC DE 2.02 07/31/13 AGCO CORP /DE DE 2.02,9.01 07/31/13 AGL RESOURCES INC GA 2.02,7.01,9.01 07/31/13 AIR INDUSTRIES GROUP, INC. DE 1.01,5.07,7.01,9.01 07/29/13 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 07/31/13 ALERE INC. DE 2.02,9.01 07/31/13 ALLERGAN INC DE 2.02,9.01 07/31/13 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 07/31/13 ALLIANT TECHSYSTEMS INC DE 5.02,5.07,9.01 07/30/13 ALLSTATE CORP DE 2.02,9.01 07/31/13 Ally Financial Inc. DE 2.02,9.01 07/31/13 ALSERES PHARMACEUTICALS INC /DE DE 1.01 07/30/13 Aly Energy Services, Inc. DE 1.01,2.01,3.02, 05/14/13 AMEND 5.01,5.02,5.03,5.06,9.01 Amarantus Bioscience Holdings, Inc. NV 8.01 07/30/13 AMBASSADORS GROUP INC DE 5.02 07/26/13 AMBASSADORS GROUP INC DE 2.02,9.01 06/30/13 AMEDISYS INC DE 2.02,7.01,9.01 07/31/13 America's Suppliers, Inc. 5.02 07/25/13 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,8.01,9.01 07/31/13 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 07/31/13 AMERIGAS PARTNERS LP DE 2.02,7.01,9.01 07/30/13 AMERISAFE INC TX 2.02,9.01 07/31/13 AMKOR TECHNOLOGY INC DE 1.01,8.01,9.01 07/31/13 AMR CORP DE 2.03,8.01,9.01 07/31/13 AMR CORP DE 8.01,9.01 07/31/13 AMR CORP DE 7.01,9.01 07/31/13 AMREP CORP. OK 8.01 07/30/13 AMEND ANIKA THERAPEUTICS INC MA 2.02,9.01 07/31/13 Apple REIT Ten, Inc. VA 1.01,2.01,2.03,9.01 07/26/13 ARI NETWORK SERVICES INC /WI WI 1.01,9.01 06/26/13 Artemis Acquisition Corp. DE 8.01 07/29/13 ASB Bancorp Inc 2.02,9.01 07/31/13 ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 07/31/13 Asia Travel Corp NV 1.01,3.02,9.01 07/22/13 ASSOCIATED BANC-CORP WI 7.01,9.01 07/31/13 ASTRONICS CORP NY 2.02,9.01 07/31/13 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 07/30/13 ATMEL CORP DE 2.02,9.01 07/31/13 ATRION CORP DE 2.02,9.01 07/31/13 ATWOOD OCEANICS INC TX 2.02,9.01 07/31/13 Avery Dennison Corp DE 8.01 07/25/13 AVX Corp DE 2.02,9.01 07/31/13 AXT INC DE 2.02,9.01 07/31/13 Baltic Trading Ltd 1T 2.02,9.01 07/31/13 Bank of Commerce Holdings CA 2.02,9.01 07/31/13 BANK OF THE OZARKS INC AR 2.01,7.01,9.01 07/31/13 BAR HARBOR BANKSHARES ME 1.01 07/29/13 BEL FUSE INC /NJ NJ 2.02,9.01 07/31/13 BELO CORP DE 2.02,9.01 07/30/13 BJs RESTAURANTS INC CA 2.02,9.01 07/31/13 BLACKBAUD INC 2.02,9.01 07/31/13 Bloomin' Brands, Inc. DE 5.02,9.01 07/31/13 Bloomin' Brands, Inc. DE 2.02,9.01 07/31/13 BlueLinx Holdings Inc. DE 2.02,9.01 07/31/13 BNC BANCORP NC 7.01,9.01 07/31/13 BOK FINANCIAL CORP ET AL OK 2.02,9.01 07/31/13 Booz Allen Hamilton Holding Corp DE 2.02,9.01 07/31/13 BOSTON BEER CO INC MA 2.02,9.01 07/31/13 BOSTON PROPERTIES INC DE 2.02,9.01 07/30/13 BOSTON PROPERTIES LTD PARTNERSHIP DE 2.02,9.01 07/30/13 BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 07/30/13 BREEZE-EASTERN CORP DE 2.02,9.01 07/31/13 BROADVISION INC DE 2.02,9.01 07/31/13 BRUKER CORP DE 2.02,9.01 07/31/13 Bunge LTD 5.02,9.01 07/31/13 Burger King Worldwide, Inc. DE 2.02,9.01 07/31/13 C&J Energy Services, Inc. DE 2.02,7.01,9.01 07/31/13 CABOT CORP DE 2.02,9.01 07/31/13 CADENCE PHARMACEUTICALS INC 2.02,9.01 07/31/13 CAMBIUM LEARNING GROUP, INC. 5.02 07/30/13 Campus Crest Communities, Inc. MD 2.02,9.01 07/30/13 CannaVEST Corp. TX 1.01,2.03,3.03,5.02,5.07,9.01 07/25/13 Capital Financial Holdings, Inc ND 8.01,9.01 06/19/13 AMEND CapLease, Inc. 8.01,9.01 07/31/13 CARDINAL FINANCIAL CORP VA 7.01,9.01 07/31/13 CARDTRONICS INC DE 2.02,9.01 07/31/13 CARMIKE CINEMAS INC DE 1.01,8.01,9.01 07/25/13 CARPENTER TECHNOLOGY CORP DE 2.02,9.01 07/30/13 CARRIAGE SERVICES INC DE 5.02,9.01 07/31/13 CASPIAN SERVICES INC NV 5.02,9.01 07/30/13 Cavitation Technologies, Inc. 4.01,5.02,9.01 07/22/13 CAVIUM, INC. DE 2.02,9.01 07/31/13 CBEYOND, INC. 2.02,9.01 07/31/13 CBS CORP DE 2.02,9.01 07/31/13 CCJ Acquisition Corp. FL 5.01,5.02,5.03 07/31/13 CELL THERAPEUTICS INC WA 2.02,9.01 07/31/13 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 07/31/13 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,8.01,9.01 07/31/13 CEVA INC DE 2.02,9.01 07/31/13 CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 07/31/13 Cheviot Financial Corp. MD 2.02,9.01 07/31/13 CHURCHILL DOWNS INC KY 2.02,9.01 07/31/13 CINCINNATI BELL INC OH 5.02,8.01,9.01 07/26/13 CLAYTON WILLIAMS ENERGY INC /DE DE 5.07 05/08/13 CLECO CORP LA 5.02 07/26/13 CLECO CORP LA 2.02,9.01 07/31/13 CMS ENERGY CORP MI 7.01,9.01 07/31/13 CNH Capital LLC DE 2.02,9.01 07/31/13 CNL LIFESTYLE PROPERTIES INC MD 5.03,5.07,9.01 07/26/13 CNO Financial Group, Inc. DE 8.01,9.01 07/31/13 Coastal Carolina Bancshares, Inc. SC 2.02,7.01,9.01 07/31/13 COLDWATER CREEK INC DE 1.01,9.01 07/26/13 COMCAST CORP PA 2.02,9.01 07/31/13 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 07/31/13 Con-way Inc. DE 2.02,9.01 07/31/13 CONCUR TECHNOLOGIES INC DE 2.02,9.01 07/31/13 CorEnergy Infrastructure Trust, Inc. 5.02,5.03,7.01,9.01 07/29/13 CORTLAND BANCORP INC OH 2.02,9.01 07/31/13 Counsel RB Capital Inc. FL 1.01,1.02,5.02, 07/31/13 5.07,8.01,9.01 CRACKER BARREL OLD COUNTRY STORE, INC 5.02,9.01 07/25/13 CRAILAR TECHNOLOGIES INC A1 2.03,3.02,8.01,9.01 07/26/13 CRAY INC WA 2.02 07/31/13 CRI HOTEL INCOME PARTNERS L P DE 1.01 07/31/13 CROWN MEDIA HOLDINGS INC DE 2.02,9.01 07/31/13 Curry Gold Corp 5.03,5.07,9.01 07/25/13 Customers Bancorp, Inc. PA 1.01,2.03,9.01 07/30/13 CYNOSURE INC 2.02,9.01 07/31/13 CYTOKINETICS INC 2.02,9.01 07/31/13 Daimler Retail Receivables LLC DE 8.01,9.01 07/31/13 DANA HOLDING CORP DE 8.01,9.01 07/30/13 DATA I/O CORP WA 5.02,9.01 07/25/13 DEAN FOODS CO DE 1.02,2.01 07/25/13 Delek Logistics Partners, LP DE 1.01,9.01 07/31/13 AMEND Delphi Automotive PLC Y9 2.02,9.01 07/31/13 DEX MEDIA, INC. DE 7.01,9.01 07/30/13 Discovery Energy Corp. NY 1.01,2.03,9.01 07/26/13 DISH Network CORP NV 3.01,5.02 07/25/13 DIXIE GROUP INC TN 2.02,9.01 07/31/13 DIXIE GROUP INC TN 7.01,9.01 07/31/13 DreamWorks Animation SKG, Inc. 2.02,9.01 07/31/13 DUMA ENERGY CORP NV 7.01,9.01 07/31/13 DYNEX CAPITAL INC VA 2.02,9.01 07/31/13 E2open Inc DE 1.01,2.01,3.02, 07/30/13 8.01,9.01 EASTMAN KODAK CO NJ 7.01 07/30/13 EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 07/31/13 EGAIN Corp DE 1.02 07/31/13 eHealth, Inc. DE 7.01,9.01 07/29/13 ELEPHANT TALK COMMUNICATIONS CORP DE 3.02,9.01 07/15/13 EMPIRE PETROLEUM CORP DE 5.03,9.01 07/31/13 ENCISION INC CO 2.02,9.01 07/31/13 ENERGEN CORP AL 2.02,7.01,9.01 07/31/13 ENERGIZER HOLDINGS INC MO 2.02,7.01,9.01 07/31/13 ENERGIZER HOLDINGS INC MO 8.01,9.01 07/31/13 Energy Recovery, Inc. DE 2.02,9.01 07/31/13 ENERNOC INC DE 5.02 04/10/13 AMEND Enertopia Corp. NV 7.01,9.01 07/31/13 EnteroMedics Inc 1.01,1.02,2.02,9.01 07/25/13 ENTROPIC COMMUNICATIONS INC DE 2.02,9.01 07/31/13 Epizyme, Inc. DE 2.02,9.01 07/31/13 EPSILON CORP DE 1.01,2.01,3.02, 07/25/13 5.01,5.02,5.06,9.01 EQUITY ONE, INC. 2.02,7.01,9.01 07/31/13 EQUITY RESIDENTIAL MD 2.02,8.01,9.01 07/30/13 EQUITY RESIDENTIAL MD 1.01,9.01 07/31/13 EXACT SCIENCES CORP DE 5.02,5.07 07/25/13 EXELON CORP PA 2.02,7.01,9.01 07/31/13 FAUQUIER BANKSHARES, INC. VA 2.02,9.01 07/29/13 FedFirst Financial Corp 2.02,9.01 07/31/13 FIDELITY D & D BANCORP INC PA 2.02,9.01 07/31/13 FIDELITY SOUTHERN CORP GA 8.01,9.01 07/31/13 First Community Financial Partners, I IL 2.02,9.01 07/31/13 First NBC Bank Holding Co LA 2.02,9.01 07/30/13 First NBC Bank Holding Co LA 7.01,9.01 07/31/13 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 06/30/13 FIRST OF LONG ISLAND CORP NY 2.02,9.01 07/29/13 FLUOROPHARMA MEDICAL, INC. NV 7.01,9.01 07/29/13 FORMFACTOR INC DE 2.02,9.01 07/31/13 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 1.01,2.03,9.01 07/25/13 FRESH DEL MONTE PRODUCE INC E9 8.01,9.01 07/31/13 FRONTIER COMMUNICATIONS CORP DE 5.02,9.01 07/31/13 GARMIN LTD V8 2.02,9.01 07/31/13 GASCO ENERGY INC NV 2.02,7.01,9.01 07/30/13 Geeknet, Inc VA 5.02,8.01,9.01 07/31/13 GENCO SHIPPING & TRADING LTD 2.02,9.01 07/31/13 GENERAL CABLE CORP /DE/ DE 2.02,7.01,9.01 07/31/13 Genie Energy Ltd. DE 4.01 07/29/13 GENOMIC HEALTH INC 2.02,9.01 07/31/13 GLADSTONE CAPITAL CORP MD 2.02,9.01 07/31/13 GLATFELTER P H CO PA 2.02,9.01 07/30/13 GLOBALSCAPE INC DE 7.01,9.01 07/31/13 GOLDEN STAR RESOURCES LTD 7.01,9.01 07/30/13 Government Properties Income Trust MD 2.02,9.01 07/31/13 GRAN TIERRA ENERGY INC. NV 1.01 07/26/13 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/26/13 GREENESTONE HEALTHCARE CORP CO 1.01,2.03, 07/25/13 3.02,8.01,9.01 GS Mortgage Securities Trust 2013-GC1 DE 8.01,9.01 07/31/13 HANGER, INC. DE 2.02,8.01,9.01 07/31/13 HANMI FINANCIAL CORP DE 7.01,9.01 07/31/13 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 07/31/13 HANSEN MEDICAL INC DE 1.01,3.02,5.02, 07/29/13 8.01,9.01 HCA Holdings, Inc. 5.02,9.01 07/25/13 HEALTH DISCOVERY CORP 2Q 5.07 07/25/13 HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 07/31/13 HEMISPHERE MEDIA GROUP, INC. DE 1.01,1.02,2.03,8.01 07/30/13 HERCULES OFFSHORE, INC. DE 2.02,9.01 07/31/13 HERITAGE FINANCIAL CORP /WA/ WA 7.01,9.01 07/31/13 HERSHA HOSPITALITY TRUST MD 2.02,9.01 07/30/13 HESS CORP DE 2.02,9.01 07/31/13 HOOKER FURNITURE CORP VA 1.01,9.01 07/26/13 Horizon Energy Corp. WY 5.03,9.01 07/31/13 HOSPIRA INC DE 2.02,9.01 07/31/13 HUDSON CITY BANCORP INC DE 2.02,9.01 07/31/13 Hudson Global, Inc. DE 2.02,9.01 07/31/13 HUMANA INC DE 2.02,7.01,9.01 07/31/13 Huntsman CORP DE 2.02,9.01 07/31/13 Hyatt Hotels Corp DE 2.02,9.01 07/31/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,9.01 07/31/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,7.01,9.01 07/31/13 ICAD INC DE 2.02,9.01 07/29/13 IMATION CORP DE 2.02,9.01 07/31/13 IMH Financial DE 8.01,9.01 07/31/13 Independent Bank Group, Inc. TX 7.01,9.01 07/31/13 INDUSTRIAL SERVICES OF AMERICA INC /F FL 3.01,5.02 07/26/13 InfuSystem Holdings, Inc DE 8.01,9.01 07/31/13 ING U.S., Inc. DE 5.02,5.05,9.01 06/25/13 Ingredion Inc DE 2.02,9.01 07/31/13 INNERWORKINGS INC 1.01,2.01,8.01,9.01 07/25/13 INOLIFE TECHNOLOGIES, INC. 8.01 07/30/13 INPHI Corp DE 5.02 07/30/13 INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 07/31/13 INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 07/31/13 Intellicell Biosciences, Inc. NV 3.02 07/25/13 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 07/29/13 INTERNATIONAL MONETARY SYSTEMS LTD /W WI 8.01 07/31/13 INTEST CORP DE 5.07 06/26/13 AMEND Invesco Ltd. D0 2.02,9.01 07/31/13 Invesco Mortgage Capital Inc. MD 2.02,9.01 07/31/13 ITRON INC /WA/ WA 2.02,9.01 07/31/13 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 07/31/13 JACKSONVILLE BANCORP INC /FL/ FL 5.02 06/24/13 AMEND JEFFERSON BANCSHARES INC TN 2.02,9.01 07/30/13 JONES GROUP INC PA 2.02,7.01,9.01 07/31/13 JONES LANG LASALLE INC MD 2.02,9.01 07/30/13 JOURNAL COMMUNICATIONS INC 2.02,9.01 07/31/13 KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 07/31/13 KCG Holdings, Inc. DE 1.01,9.01 07/31/13 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 07/31/13 KERYX BIOPHARMACEUTICALS INC DE 2.02 07/31/13 KNOLL INC DE 7.01 07/31/13 Kraton Performance Polymers, Inc. DE 2.02,9.01 07/31/13 KVH INDUSTRIES INC \DE\ DE 2.02,9.01 07/31/13 LAM RESEARCH CORP DE 2.02,9.01 07/31/13 LANDEC CORP \CA\ CA 2.02,9.01 07/31/13 LANDEC CORP \CA\ CA 5.02 07/25/13 Landmark Apartment Trust of America, 1.01,2.01,2.03, 07/25/13 AMEND 3.02,8.01,9.01 LEGACY TECHNOLOGY HOLDINGS, INC. CO 4.01,9.01 07/26/13 LEUCADIA NATIONAL CORP NY 5.02,5.07,9.01 07/25/13 LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 07/31/13 LEXMARK INTERNATIONAL INC /KY/ DE 5.02,8.01,9.01 07/30/13 LIBERTY PROPERTY TRUST MD 1.01,7.01,8.01,9.01 07/31/13 Life Technologies Corp DE 2.02,7.01,9.01 07/31/13 Lightwave Logic, Inc. NV 5.03,5.07,8.01,9.01 07/25/13 LIME ENERGY CO. DE 2.02,9.01 07/31/13 LIN TV CORP. DE 2.01,3.01,5.02, 07/30/13 5.07,8.01,9.01 LINCOLN NATIONAL CORP IN 2.02,9.01 07/31/13 Lipocine Inc. UT 1.01,3.02,4.01,9.01 07/26/13 LITTELFUSE INC /DE DE 2.02,9.01 07/31/13 LIVEPERSON INC DE 2.02,9.01 07/31/13 LivingVentures, Inc. FL 5.02 07/31/13 LPL Financial Holdings Inc. DE 2.02,9.01 07/31/13 LTX-CREDENCE CORP MA 5.02 07/29/13 MAGNETEK, INC. DE 7.01,9.01 07/31/13 MANNATECH INC TX 2.02,9.01 07/31/13 Manning & Napier, Inc. 2.02,9.01 07/31/13 MANTECH INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 07/31/13 Marlin Midstream Partners, LP DE 1.01,5.02,5.03,9.01 07/25/13 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 07/31/13 MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 07/31/13 MASIMO CORP DE 2.02,9.01 07/31/13 MASTERCARD INC DE 2.02,7.01,9.01 07/31/13 MCGRATH RENTCORP CA 2.02,9.01 07/31/13 MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,9.01 07/30/13 MEDASSETS INC DE 2.02,9.01 07/31/13 MEDIABISTRO INC. DE 2.02,9.01 07/31/13 Mercedes-Benz Auto Receivables Trust DE 8.01,9.01 07/31/13 Merica Corp. DE 5.03,5.07,9.01 07/31/13 MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 07/31/13 MERITOR INC IN 2.02,9.01 07/31/13 METABOLIX, INC. 2.02,9.01 07/31/13 METLIFE INC DE 2.02,5.02,9.01 07/25/13 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 07/31/13 MICRON TECHNOLOGY INC DE 2.01,7.01,9.01 07/31/13 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 07/31/13 MIDDLESEX WATER CO NJ 8.01,9.01 07/31/13 MILLER ENERGY RESOURCES, INC. TN 7.01,8.01,9.01 07/18/13 MIMEDX GROUP, INC. FL 2.02,9.01 07/31/13 MONROE CAPITAL Corp MD 8.01,9.01 07/31/13 MOPALS.COM, INC. DE 5.02,8.01,9.01 07/17/13 Motors Liquidation Co DE 5.02 07/31/13 Mueller Water Products, Inc. DE 2.02,9.01 07/31/13 MURPHY OIL CORP /DE DE 2.02,9.01 07/31/13 MVP REIT, Inc. MD 1.01,9.01 07/31/13 NABORS INDUSTRIES LTD D0 8.01 07/25/13 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 07/31/13 NCI, Inc. DE 2.02,7.01,9.01 07/31/13 NEOGENOMICS INC NV 2.02,9.01 07/31/13 Neohydro Technologies Corp. NV 5.03 07/30/13 NEWMONT MINING CORP /DE/ DE 8.01 07/31/13 NewPage Holdings Inc. DE 8.01,9.01 07/31/13 NEWPORT CORP NV 2.02,9.01 07/31/13 NISOURCE INC/DE DE 2.02,9.01 07/31/13 Northfield Bancorp, Inc. DE 8.01 07/31/13 NORTHWEST BIOTHERAPEUTICS INC DE 3.02,9.01 07/31/13 NORTHWEST BIOTHERAPEUTICS INC DE 4.01,9.01 07/25/13 NOVELOS THERAPEUTICS, INC. DE 5.02,7.01,9.01 07/26/13 Nuverra Environmental Solutions, Inc. DE 2.02,9.01 07/30/13 OAK RIDGE MICRO-ENERGY INC CO 1.01,2.01,3.02, 10/02/12 AMEND 4.02,5.01,5.02,9.01 OFFICEMAX INC DE 5.02,8.01,9.01 07/25/13 OIL STATES INTERNATIONAL, INC DE 2.02,9.01 07/30/13 OIL STATES INTERNATIONAL, INC DE 7.01,9.01 07/30/13 OLD LINE BANCSHARES INC MD 2.02,9.01 07/30/13 OMNICARE INC DE 5.02 07/30/13 ONEOK INC /NEW/ OK 2.02,7.01,9.01 07/30/13 ONEOK Partners LP DE 2.02,7.01,9.01 07/30/13 ONYX PHARMACEUTICALS INC DE 2.02 07/31/13 OPEN TEXT CORP A6 2.02,8.01,9.01 07/31/13 OPENTABLE INC DE 7.01,9.01 07/31/13 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 07/31/13 ORRSTOWN FINANCIAL SERVICES INC PA 7.01,9.01 07/31/13 Oxford Resource Partners LP 7.01,9.01 07/31/13 OXYGEN BIOTHERAPEUTICS, INC. DE 8.01 07/21/13 AMEND Pacific Ethanol, Inc. DE 1.01,8.01,9.01 07/26/13 Palmerston Stock Agency, Inc. DE 4.01,9.01 06/01/13 PAR TECHNOLOGY CORP DE 2.02 07/31/13 PAREXEL INTERNATIONAL CORP MA 2.03 07/25/13 PARKER DRILLING CO /DE/ DE 1.01,2.03,8.01,9.01 07/25/13 PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 07/31/13 PENN NATIONAL GAMING INC PA 8.01 07/31/13 PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 07/25/13 PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,8.01,9.01 07/31/13 PEPCO HOLDINGS INC DE 5.02,9.01 07/25/13 PG&E Corp CA 2.02,7.01,9.01 07/31/13 PGT, Inc. DE 2.02,9.01 07/31/13 PHARMACYCLICS INC DE 2.02,9.01 07/31/13 PHARMACYCLICS INC DE 5.02 07/31/13 PHH CORP MD 1.01,2.03,9.01 07/29/13 Phillips 66 DE 2.02,9.01 07/31/13 Phillips Edison - ARC Shopping Center MD 8.01,9.01 07/18/13 PILGRIMS PRIDE CORP DE 2.02,9.01 07/31/13 PILGRIMS PRIDE CORP DE 7.01 07/31/13 PINNACLE ENTERTAINMENT INC. DE 8.01,9.01 07/30/13 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 07/31/13 Pioneer Southwest Energy Partners L.P DE 2.02,9.01 07/31/13 PITNEY BOWES INC /DE/ DE 1.01,8.01,9.01 07/29/13 Power REIT MD 4.01 07/30/13 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 07/31/13 PRAIRIE WEST OIL & GAS, LTD. NV 5.03 07/26/13 PRIMUS TELECOMMUNICATIONS GROUP INC DE 1.02,2.01,5.02, 07/31/13 7.01,8.01,9.01 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 07/30/13 PROVIDENT NEW YORK BANCORP DE 8.01 07/31/13 PRUDENTIAL BANCORP INC OF PENNSYLVANI 2.02,9.01 07/31/13 PVF CAPITAL CORP OH 2.02,8.01,9.01 07/30/13 QUAKER CHEMICAL CORP PA 5.03,9.01 07/31/13 QUALITY DISTRIBUTION INC FL 2.02,9.01 07/31/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.03,5.03,9.01 07/30/13 QUESTAR CORP UT 2.02,9.01 07/29/13 QUICKLOGIC CORPORATION CA 2.02,9.01 07/31/13 QUICKLOGIC CORPORATION CA 7.01 07/31/13 RADISYS CORP OR 7.01 07/30/13 RAMCO GERSHENSON PROPERTIES TRUST MD 5.03,9.01 07/29/13 RAND CAPITAL CORP NY 9.01 07/30/13 AMEND REAL ESTATE ASSOCIATES LTD/CA CA 8.01 07/25/13 RED MOUNTAIN RESOURCES, INC. FL 1.01,3.02,8.01 07/26/13 REGAL BELOIT CORP WI 2.02,7.01,9.01 07/30/13 Regional Management Corp. DE 2.02,9.01 07/31/13 REGIONS FINANCIAL CORP DE 7.01 07/31/13 REVA Medical, Inc. DE 2.02,9.01 07/31/13 REVLON CONSUMER PRODUCTS CORP DE 5.02 07/30/13 REVLON INC /DE/ DE 2.02,9.01 07/31/13 REVLON INC /DE/ DE 5.02 07/30/13 Rexnord Corp DE 2.02,9.01 07/31/13 Roadrunner Transportation Systems, In DE 2.02,9.01 07/31/13 Rockwood Holdings, Inc. DE 1.01,7.01,9.01 07/26/13 Rovi Corp DE 2.02,9.01 07/31/13 RUCKUS WIRELESS INC DE 2.02,9.01 07/31/13 Sabra Health Care REIT, Inc. MD 1.01,2.02,2.03,9.01 07/30/13 SAIA INC DE 7.01,9.01 07/26/13 SCHAWK INC 2.02,9.01 07/31/13 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 07/31/13 SEACOAST BANKING CORP OF FLORIDA FL 2.02,7.01,9.01 07/29/13 SEATTLE GENETICS INC /WA DE 2.02,9.01 07/31/13 SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 07/31/13 ServiceNow, Inc. CA 2.02,9.01 07/31/13 SHUTTERFLY INC DE 2.02,9.01 07/31/13 SI Financial Group, Inc. 2.02,9.01 07/31/13 SIERRA MONITOR CORP /CA/ CA 2.02,9.01 07/31/13 SIMULATIONS PLUS INC 7.01,9.01 07/30/13 SINCLAIR BROADCAST GROUP INC MD 1.01,7.01,9.01 07/28/13 SKYWORKS SOLUTIONS, INC. DE 5.02 07/30/13 SM Energy Co DE 2.02,9.01 07/30/13 SMITH MICRO SOFTWARE INC DE 2.02,9.01 07/31/13 SMITH MICRO SOFTWARE INC DE 2.05 07/25/13 SMITHFIELD FOODS INC VA 8.01,9.01 07/31/13 Solar Capital Ltd. MD 8.01,9.01 07/31/13 Solar Capital Ltd. MD 2.02,9.01 07/31/13 Solar Senior Capital Ltd. MD 2.02,9.01 07/31/13 Solera National Bancorp, Inc. DE 5.02,5.03,9.01 07/25/13 Soul & Vibe Interactive Inc. NV 1.01,3.02,5.03,9.01 07/31/13 SOUTHERN CO DE 2.02 07/31/13 SOUTHERN MISSOURI BANCORP INC MO 2.02,9.01 07/29/13 SOVRAN SELF STORAGE INC MD 2.02,9.01 07/31/13 SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 07/31/13 SPARTAN STORES INC MI 2.02,8.01,9.01 07/31/13 SPECIALTY CONTRACTORS, INC. NV 2.01,5.01,5.02,9.01 07/31/13 AMEND SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 07/31/13 SPX CORP DE 2.02,9.01 07/31/13 STEINER LEISURE Ltd C5 2.02,9.01 06/30/13 STERLING BANCORP NY 8.01,9.01 07/31/13 STR HOLDINGS, INC. DE 2.02,9.01 07/31/13 Strategic Storage Trust, Inc. MD 7.01,9.01 07/31/13 STURM RUGER & CO INC DE 2.02,9.01 07/31/13 SUJA MINERALS, CORP NV 5.02,7.01,9.01 07/25/13 SUNPOWER CORP DE 2.02,9.01 07/31/13 Support.com, Inc. DE 2.02,5.02,9.01 05/31/13 SURMODICS INC MN 2.02,8.01,9.01 07/31/13 SVB FINANCIAL GROUP 7.01,9.01 07/30/13 AMEND TASER INTERNATIONAL INC 2.02,9.01 07/31/13 TCF FINANCIAL CORP DE 7.01,9.01 07/31/13 TELEFLEX INC DE 2.02,9.01 07/31/13 TELEFLEX INC DE 7.01,9.01 07/31/13 TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 07/25/13 TELETECH HOLDINGS INC DE 2.02,9.01 07/30/13 TELETECH HOLDINGS INC DE 5.02,9.01 07/30/13 TESSERA TECHNOLOGIES INC DE 2.02,9.01 07/31/13 TETRA TECH INC DE 5.02,9.01 07/29/13 THORATEC CORP CA 2.02,9.01 07/31/13 Timberline Resources Corp DE 7.01,9.01 07/31/13 TRANS LUX CORP DE 1.01,3.03 07/31/13 TRIPLE-S MANAGEMENT CORP 2.02,9.01 07/31/13 Trovagene, Inc. DE 1.01,9.01 07/30/13 TRUE RELIGION APPAREL INC DE 2.01,2.03,3.01,3.03, 07/30/13 5.01,5.02,5.03,5.07,9.01 TRULIA, INC. DE 2.02,9.01 07/31/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/30/13 TWENTY-FIRST CENTURY FOX, INC. 8.01,9.01 07/31/13 TWIN DISC INC WI 5.02,9.01 07/31/13 U.S. SILICA HOLDINGS, INC. DE 2.02,9.01 07/31/13 UGI CORP /PA/ PA 2.02,7.01,9.01 07/30/13 UGI UTILITIES INC PA 2.02,9.01 07/30/13 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 07/30/13 Unilife Corp DE 2.02,9.01 07/30/13 UNITED ONLINE INC DE 2.02,9.01 07/31/13 UNITED STATES CELLULAR CORP DE 5.02,9.01 07/25/13 UniTek Global Services, Inc. DE 1.01,2.03,3.02, 07/25/13 8.01,9.01 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 07/31/13 Vanda Pharmaceuticals Inc. DE 2.02,9.01 07/31/13 Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 07/31/13 VANTAGESOUTH BANCSHARES, INC. 7.01,9.01 07/30/13 VASOMEDICAL, INC DE 8.01 07/30/13 VECTOR GROUP LTD DE 2.02,9.01 07/31/13 VIASPACE Inc. 1.01,3.02,9.01 07/29/13 VITRAN CORP INC A6 2.02,9.01 07/31/13 VIVUS INC CA 5.02 07/18/13 AMEND VONAGE HOLDINGS CORP DE 2.02 07/31/13 VOXX International Corp DE 8.01,9.01 07/29/13 Vuzix Corp DE 8.01,9.01 07/30/13 WebMD Health Corp. DE 1.01,2.02, 07/29/13 3.03,5.03,9.01 WELLPOINT, INC IN 8.01,9.01 07/30/13 Wesco Aircraft Holdings, Inc 2.02,9.01 07/31/13 WEST CORP DE 2.02,9.01 07/31/13 WESTELL TECHNOLOGIES INC DE 2.02,9.01 07/31/13 Western Gas Equity Partners, LP DE 2.02,9.01 07/31/13 Western Gas Partners LP DE 2.02,9.01 07/31/13 WESTMORELAND COAL Co DE 2.02,9.01 07/26/13 WEX Inc. 2.02,9.01 07/31/13 WHOLE FOODS MARKET INC TX 2.02,9.01 07/31/13 Wikifamilies, Inc. NV 4.02 07/30/13 WILLIAMS COMPANIES INC DE 2.02,9.01 07/31/13 Win Global Markets, Inc. NV 8.01 07/31/13 WISCONSIN ENERGY CORP WI 2.02 07/31/13 WMI Liquidating Trust DE 8.01,9.01 07/30/13 WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 07/31/13 World Surveillance Group Inc. DE 7.01,9.01 07/30/13 World Surveillance Group Inc. DE 1.01,5.02, 07/30/13 5.03,5.07,9.01 World Surveillance Group Inc. DE 1.01,9.01 07/29/13 WORTHINGTON INDUSTRIES INC OH 8.01,9.01 07/31/13 XPO Logistics, Inc. 7.01,9.01 07/30/13 YADKIN FINANCIAL Corp NC 8.01,9.01 07/31/13 YELP INC DE 2.02,9.01 07/31/13 ZaZa Energy Corp DE 2.01,7.01,9.01 07/26/13 Zeltiq Aesthetics Inc DE 2.02,9.01 07/31/13