U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-148
August 2, 2013

ENFORCEMENT PROCEEDINGS

Commission Charges Former Green Mountain Coffee Employee and Friend in $7 Million Insider Trading Scheme

The Securities and Exchange Commission (Commission) today announced insider trading charges against a former systems administrator at Vermont-based Green Mountain Coffee Roasters who repeatedly obtained quarterly earnings data and traded in advance of its public release. The SEC also charged his friend who illegally traded along with him.

In a complaint unsealed July 31 in U.S. District Court for the District of Connecticut, the SEC alleges that Chad McGinnis purchased Green Mountain Coffee securities typically out-of-the-money options shortly before earnings announcements were made. McGinnis also tipped his longtime friend and business associate Sergey Pugach, who illegally traded in his own account and his mother's trading account. Together, McGinnis and Pugach garnered $7 million in illegal profits by using inside information to correctly predict the reaction of Green Mountain Coffee's stock price to 12 of the past 13 quarterly earnings announcements since 2010.

"McGinnis and Pugach exploited confidential company financial data to conduct their insider trading scheme to the detriment of Green Mountain Coffee and its shareholders," said Donald Hoerl, Director of the SEC's Denver Regional Office. "The timing of their trades was consistently and exceptionally successful, but their scheme ultimately was not."

The SEC's complaint was filed under seal on July 24, when the court granted the Commission's motion seeking a temporary restraining order, asset freeze, and other emergency relief. A hearing has been set for August 7.

The SEC alleges that as an information technology employee, McGinnis had access to shared folders on Green Mountain Coffee's computer server where drafts of pending press releases and earnings announcements were stored. He also had access to other employees' e-mail accounts.  Both sources provided McGinnis with details about upcoming Green Mountain Coffee earnings announcements before they became public.

According to the SEC's complaint, McGinnis lives in Morrisville, Vt., and Pugach lives in Hamden, Conn. Despite living in different states, much of the insider trading in their online brokerage accounts occurred through McGinnis' home Internet service. They communicated frequently around earnings announcements, but infrequently otherwise. Around trading times, they exchanged numerous phone calls and text messages not only on their own phones, but also using cell phones belonging to their spouses.

The SEC's complaint alleges that McGinnis and Pugach violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. Pugach's mother Bella Pugach is named as a relief defendant in the SEC's complaint for the purpose of recovering ill-gotten gains in her trading account.

The SEC's investigation, which is continuing, has been conducted by Dan Konosky, Scott Mascianica, and Jay Scoggins in the Denver Regional Office. The case will be litigated by Dugan Bliss and Greg Kasper. The SEC appreciates the assistance of the U.S. Attorney's Office for the District of Connecticut, the Federal Bureau of Investigation, and the Options Regulatory Surveillance Agency. (Press Rel. 2013-144; LR-22769)

Commission Orders Hearings on Registration Suspension or Revocation against Convergence Ethanol, Inc., For Filing a Materially Deficient Registration Form

On August 2, 2013, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Convergence Ethanol, Inc., (CETH) for filing a materially deficient registration form:  In the Matter of Convergence Ethanol, Inc., Administrative Proceeding File No. 3-15404. In this Order, the Division of Enforcement (Division) alleges that CETH's registration form on Form 10, as amended, is materially deficient.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 12(g), and Rule 12b-20 and Regulations S-K and S-X thereunder, are true. The judge in the proceeding will then determine whether the registration pursuant to Exchange Act Section 12 of each class of the securities of this Respondent should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-70094)

Commission Suspends Trading of Bergamo Acquisition Corp.

The Commission ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the "Exchange Act"), of trading in the securities of Bergamo Acquisition Corp. ("Bergamo"), quoted on OTC Link, operated by OTC Markets Group, Inc., because questions have arisen concerning the adequacy and accuracy of press releases and other public statements concerning Bergamo's business operations and financial condition. Bergamo's ticker symbol is BGMO.

The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EDT on August 2, 2013, and terminates at 11:59 p.m. EDT on August 15, 2013.

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 Bergamo.

Further, 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 suspension, 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 the above-named 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. (Rel. 34-70093)

Former Executives of Stanford's Brokerage Sanctioned

Daniel Bogar (Bogar), Bernard E. Young (Young), and Jason T. Green (Green) have been sanctioned following a hearing before an administrative law judge. They were ordered to cease and desist from violations of the antifraud provisions of the securities laws and barred from the securities industry. Additionally, each was ordered to pay a civil money penalty of $260,000 and to disgorge ill-gotten gains in the amounts of $1,555,485.75 (Bogar), $591,992.46 (Young), and $2,613,506.47 (Green).

The law judge found that Bogar, Young, and Green violated the antifraud provisions by making material misrepresentations and omissions while employed at a broker-dealer owned by convicted Ponzi-schemer R. Allen Stanford. (Rel. ID-502)

In the Matter of Ronald Musich

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Ronald Musich (Musich).

On July 11, 2013, a judgment by consent was entered against Musich, permanently enjoining him from future violations of Section 15(a) of the Securities Exchange Act of 1934, in Securities and Exchange Commission v. Collyard, et al., Civil Action No. 11‑cv‑3656 (D. Minn.). The Commission's complaint alleged that from approximately 2004 to 2008, Musich, acting as an unregistered broker, solicited investors for Bixby Energy Systems, Inc. ("Bixby"). Specifically, the complaint alleged that Musich, in partnership with co-defendants Gary A. Collyard ("Collyard") and the Collyard Group, LLC ("Collyard Group"), sold over $3.1 million in Bixby securities to more than 120 investors. The complaint further alleged that, as compensation for the sale of securities, Bixby paid Collyard and the Collyard Group $420,000 in cash and warrants to purchase at least 340,000 shares of Bixby common stock; Collyard and the Collyard Group then transferred approximately half of these commissions to Musich. Finally, the complaint alleged that in 2007 and 2008, Musich received additional commissions of $100,000 in cash from Bixby for the sale of Bixby securities.

Based on the above, the Order bars Musich from: (1) association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and (2) participating in any offering of a penny stock, including acting as a promoter, finder, consultant, agent, or other person who engages in activities with a broker, dealer, or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase of sale of any penny stock, with a right to apply for reentry after three years. Musich consented to the issuance of the Order, without admitting or denying the findings, except he admitted the entry of an injunction. (Rel. 34-70105)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by C2 Options Exchange, Incorporated relating to exchange order handling (SR-C2-2013-028) 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 August 5th, 2013. (Rel. 34-70102)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to exchange order handling (SR-CBOE-2013-077) 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 August 5th, 2013. (Rel. 34-70103)

A proposed rule change filed by NASDAQ OMX BX, Inc. to amend options fees and rebates (SR-BX-2013-046) 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 August 5th, 2013. (Rel. 34-70095)

A proposed rule change filed by New York Stock Exchange LLC amending one of the Supplemental Liquidity Provider credits in its Price List (SR-NYSE-2013-55) 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 August 5th, 2013. (Rel. 34-70104)

A proposed rule change filed by the New York Stock Exchange extending the pilot period for the Exchange's Retail Liquidity Program for an additional 12 Months, to expire on July 31, 2014 (SR-NYSE-2013-48) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70096)

A proposed rule change filed by NYSE MKT LLC extending the pilot period for the Exchange's Retail Liquidity Program for an additional 12 Months, to expire on July 31, 2014 (SR-NYSEMKT-2013-60) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70100)

A proposed rule change filed by NASDAQ OMX PHLX LLC relating to trading halts or suspension when an Exchange Trading System experiences technical failure or failures (SR-Phlx-2013-78) 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 August 5th, 2013. (Rel. 34-70101)

Notice of Proposed Rule Change

New York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2013-54) pursuant to Section 19(b)(1) of the Securities Exchange Act to amend NYSE Rule 49, which addresses the Exchange's emergency powers. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70099)

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2013-77) pursuant to Section 19(b)(1) of the Securities Exchange Act to amend NYSE Arca Equities Rule 2.100, which provides for certain emergency powers. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70097)

NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2013-66) pursuant to Section 19(b)(1) of the Securities Exchange Act to adopt the text of New York Stock Exchange Rule 49 as Rule 49 Equities in order to authorize Exchange officials to exercise the same emergency powers as NYSE officials may exercise. Publication is expected in the Federal Register during the week of August 5th, 2013. (Rel. 34-70098)

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-8     FERRO CORP, 6060 PARKLAND BLVD, MAYFIELD HEIGHTS, OH, 44124, 
        216-875-5458 - 4,400,000 ($30,448,000.00) Equity, (File 333-190289 - Aug. 1) 
        (BR. 06B)

S-8     WESTERN DIGITAL CORP, 3355 MICHELSON DRIVE, SUITE 100, IRVINE, CA, 92612, 
        9499325000 - 2,000,000 ($124,940,000.00) Equity, (File 333-190290 - Aug. 1) 
        (BR. 03C)

S-8     EWaste Systems, Inc., 101 FIRST STREET, NUMBER 493, LOS ALTOS, CA, 94022, 
        650-283-2907 - 40,000,000 ($447,000.00) Equity, (File 333-190291 - Aug. 1) (BR. 02)

S-8     CHARLES RIVER LABORATORIES INTERNATIONAL INC, 261 BALLARDVALE STREET, WILMINGTON, MA, 
        01867, 9786586000 - 0 ($288,730,000.00) Equity, (File 333-190292 - Aug. 1) (BR. 01A)

S-8     SENOMYX INC, 4767 NEXUS CENTRE DRIVE, SAN DIEGO, CA, 92121, 8586468300 - 0 
        ($7,950,000.00) Equity, (File 333-190293 - Aug. 1) (BR. 01B)

S-8     CIRCOR INTERNATIONAL INC, C/O CIRCOR INC, 25 CORPORATE DR., SUITE 130, BURLINGTON, MA, 
        01803-4238, 7812701200 - 200,000 ($10,732,000.00) Equity, (File 333-190295 - Aug. 1) 
        (BR. 06C)

S-8     Marlin Midstream Partners, LP, 2105 CITYWEST BOULEVARD, SUITE 100, HOUSTON, TX, 77042, 
        832-217-1848 - 1,750,000 ($34,868,750.00) Equity, (File 333-190300 - Aug. 1) (BR. 02)

S-8     Luxoft Holding, Inc, AKARA BLDG., 24 DE CASTRO STREET, WICKHAMS CAY I, PO BOX 3136, 
        ROAD TOWN, TORTOLA, D8, 00000, 410445568446 - 0 ($66,206,506.00) Equity, 
        (File 333-190301 - Aug. 1) (BR. 03A)

S-1     PIONEER POWER SOLUTIONS, INC., 400 KELBY STREET, 9TH FLOOR, ONE PARKER PLAZA, FORT LEE, 
        NJ, 07024, 212-867-0700 - 1,150,000 ($9,200,000.00) Equity, (File 333-190302 - Aug. 1) 
        (BR. 10B)

S-8     QUESTAR CORP, 333 SOUTH STATE STREET, P.O. BOX 45433, SALT LAKE CITY, UT, 84145-0433, 
        8013245900 - 2,300,000 ($54,050,000.00) Equity, (File 333-190303 - Aug. 1) (BR. 02C)

S-8     SOLITARIO EXPLORATION & ROYALTY CORP., 4251 KIPLING STREET, SUITE 390, WHEAT RIDGE, CO, 
        80033, 3035341030 - 1,750,000 ($1,627,500.00) Equity, (File 333-190304 - Aug. 1) (BR. 09B)

S-8     CAMBREX CORP, ONE MEADOWLANDS PLZ, E RUTHERFORD, NJ, 07073, 2018043000 - 1,500,000 
        ($22,005,000.00) Equity, (File 333-190305 - Aug. 1) (BR. 01B)

S-8     FLOW INTERNATIONAL CORP, 23500 64TH AVE S, P O BOX 97040, KENT, WA, 98032, 
        2538503500 - 1,908,508 ($7,347,755.80) Equity, (File 333-190306 - Aug. 1) (BR. 06C)

F-3ASR  VODAFONE GROUP PUBLIC LTD CO, VODAFONE HOUSE, THE CONNECTION, NEWBURY, BERKSHIRE, 
        X0, RG14 2FN, 011-44-1635-33251 - 0 ($0.00) Debt, (File 333-190307 - Aug. 1) (BR. 11A)

S-8     PITNEY BOWES INC /DE/, PITNEY BOWES INC, 1 ELMCROFT ROAD, STAMFORD, CT, 06926-0700, 
        2033565000 - 19,000,000 ($274,170,000.00) Equity, (File 333-190308 - Aug. 1) (BR. 03B)

S-8     ITERIS, INC., 1700 CARNEGIE AVENUE, SUITE 100, SANTA ANA, CA, 92705, 949-270-9400 - 0 
        ($1,448,000.00) Equity, (File 333-190309 - Aug. 1) (BR. 11A)

S-8     MEDIABISTRO INC., 50 WASHINGTON STREET, 9TH FLOOR, STE. 912, NORWALK, CT, 06854, 
        203-662-2800 - 250,000 ($442,500.00) Equity, (File 333-190310 - Aug. 1) (BR. 02A)

S-8     BROADWIND ENERGY, INC., 3240 S. CENTRAL AVENUE, CICERO, IL, 60804, 708-780-4800 - 0 
        ($918,000.00) Equity, (File 333-190311 - Aug. 1) (BR. 06C)

S-8     DYNAVAX TECHNOLOGIES CORP, 2929 SEVENTH STREET, SUITE 100, BERKELEY, CA, 94710, 
        5108485100 - 10,000,000 ($13,300,000.00) Equity, (File 333-190313 - Aug. 1) (BR. 01A)

S-8     Riverbed Technology, Inc., 199 FREMONT STREET, SAN FRANCISCO, CA, 94105, 
        (415) 247-8800 - 10,000,000 ($128,700,000.00) Equity, (File 333-190314 - Aug. 1) (BR. 03A)

S-8     Aegion Corp, 17988 EDISON AVENUE, CHESTERFIELD, MO, 63005, 6365308000 - 2,895,000 
        ($66,700,800.00) Equity, (File 333-190315 - Aug. 1) (BR. 06A)

S-8     ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL, MN, 55102, 
        6512932233 - 0 ($1,569,100,000.00) Equity, (File 333-190317 - Aug. 1) (BR. 06A)

S-8     SONUS NETWORKS INC, 4 TECHNOLOGY PARK DRIVE, WESTFORD, MA, 01886, 9786148100 - 0 
        ($70,980,000.00) Equity, (File 333-190318 - Aug. 1) (BR. 03C)

S-8     ELECTRONICS FOR IMAGING INC, 303 VELOCITY WAY, FOSTER CITY, CA, 94404, 
        6503573500 - 6,600,000 ($197,637,000.00) Equity, (File 333-190319 - Aug. 1) (BR. 03C)

S-8     CONSOLIDATED EDISON INC, 4 IRVING PLACE, ROOM 1618 S, NEW YORK, NY, 10003, 
        2124604600 - 0 ($297,500,000.00) Equity, (File 333-190320 - Aug. 1) (BR. 02A)

S-3     ENZO BIOCHEM INC, 60 EXECUTIVE BLVD, FARMINGDALE, NY, 11735, 5167555500 - 0 
        ($50,000,000.00) Other, (File 333-190321 - Aug. 1) (BR. 09A)

S-8     PROSPER MARKETPLACE INC, 101 SECOND STREET, 15TH FLOOR, SAN FRANCISCO, CA, 94105, 
        415-593-5400 - 93,009,885 ($808,199.57) Equity, (File 333-190323 - Aug. 1) (BR. 07C)

        

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT



1ST CONSTITUTION BANCORP                NJ       2.02,9.01            07/31/13

ABIOMED INC                             DE       2.02,9.01            08/01/13

ACACIA RESEARCH CORP                    DE       5.02                 07/29/13

ACCURIDE CORP                           DE       2.02,7.01,9.01       06/30/13

ACORDA THERAPEUTICS INC                          2.02,9.01            08/01/13

ACQUIRED SALES CORP                     NV       1.01,9.01            01/12/13    AMEND

Actavis, Inc.                           NV       8.01,9.01            07/31/13

ACTIVE NETWORK INC                      DE       2.02,9.01            08/01/13

Activision Blizzard, Inc.               DE       2.02,9.01            08/01/13

ACTUATE CORP                            DE       2.02,9.01            08/01/13

ACURA PHARMACEUTICALS, INC              NY       2.02,9.01            08/01/13

Addus HomeCare Corp                     DE       2.02,9.01            08/01/13

AETRIUM INC                             MN       2.01,9.01            07/31/13

Affinion Group Holdings, Inc.           DE       2.02,9.01            08/01/13

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       2.02,9.01            08/01/13

ALERE INC.                              DE       8.01                 08/01/13

Aleris Corp                             DE       2.02,7.01,9.01       08/01/13

ALEXION PHARMACEUTICALS INC             DE       8.01                 07/30/13

Alkermes plc.                                    5.02,5.07,9.01       08/01/13

ALLETE INC                              MN       8.01                 08/01/13

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            08/01/13

Alliance HealthCare Services, Inc       CA       2.02,9.01            07/31/13

ALLIANCE ONE INTERNATIONAL, INC.        VA       2.03,8.01,9.01       08/01/13

ALLIANCEBERNSTEIN HOLDING L.P.          DE       2.02,5.02,7.01,9.01  07/30/13

ALLIANCEBERNSTEIN L.P.                  DE       2.02,5.02,7.01,9.01  07/30/13

ALLIANT TECHSYSTEMS INC                 DE       2.02,9.01            08/01/13

AMAG PHARMACEUTICALS INC.               DE       2.02,8.01,9.01       08/01/13

AMEREN CORP                             MO       2.02,8.01,9.01       08/01/13

AMERICAN EQUITY INVESTMENT LIFE HOLDI   IA       2.02,9.01            07/31/13

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            08/01/13

AMERICAN INTERNATIONAL GROUP INC        DE       2.02,9.01            08/01/13

AMFIL TECHNOLOGIES, INC.                NY       1.01,5.02            08/01/13

AMN HEALTHCARE SERVICES INC             DE       2.02,9.01            08/01/13

AMR CORP                                DE       8.01,9.01            08/01/13

ANDREA ELECTRONICS CORP                 NY       5.02,9.01            07/29/13

ANSYS INC                               DE       2.02,9.01            08/01/13

APACHE CORP                             DE       2.02,9.01            08/01/13

APARTMENT INVESTMENT & MANAGEMENT CO    MD       2.02,9.01            08/01/13

APCO OIL & GAS INTERNATIONAL INC                 7.01,9.01            08/01/13

APCO OIL & GAS INTERNATIONAL INC                 7.01,9.01            08/01/13    AMEND

Apollo Commercial Real Estate Finance   MD       2.02,9.01            07/31/13

APPLIED DNA SCIENCES INC                DE       3.02                 07/31/13

ARBITRON INC                            DE       2.02,9.01            08/01/13

ARENA PHARMACEUTICALS INC               DE       2.02,9.01            08/01/13

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            08/01/13

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            08/01/13

Astex Pharmaceuticals, Inc              DE       2.02,9.01            08/01/13

Athens Bancshares Corp                           2.02,9.01            07/31/13

ATLAS AIR WORLDWIDE HOLDINGS INC        DE       2.02,9.01            08/01/13

AtriCure, Inc.                          DE       2.02,9.01            08/01/13

ATWOOD OCEANICS INC                     TX       7.01,9.01            07/31/13

AUDIENCE INC                                     2.02,9.01            08/01/13

AUTOMATIC DATA PROCESSING INC           DE       2.02,9.01            08/01/13

AUXILIUM PHARMACEUTICALS INC            DE       2.02,7.01,9.01       08/01/13

AVON PRODUCTS INC                       NY       2.02,9.01            08/01/13

AXCELIS TECHNOLOGIES INC                DE       2.02,9.01            08/01/13

AXESSTEL INC                            NV       5.07                 07/29/13

AXIALL CORP/DE/                         DE       2.02,7.01,9.01       07/31/13

BALCHEM CORP                            MD       2.02,9.01            07/31/13

BALDWIN & LYONS INC                     IN       7.01,9.01            06/30/13

Bancorp, Inc.                                    7.01,9.01            08/01/13

BANK JOS A CLOTHIERS INC /DE/           DE       8.01,9.01            07/30/13

Bank of New York Mellon CORP            DE       8.01,9.01            08/01/13

BEAZER HOMES USA INC                    DE       2.02,9.01            07/31/13

BECTON DICKINSON & CO                   NJ       2.02,8.01,9.01       07/30/13

BGC Partners, Inc.                      DE       2.02,5.02,9.01       07/30/13

BIOCRYST PHARMACEUTICALS INC            DE       8.01                 07/31/13

BIODELIVERY SCIENCES INTERNATIONAL IN   DE       8.01,9.01            08/01/13

BioScrip, Inc.                          DE       1.01,2.03,8.01,9.01  07/31/13

BioTelemetry, Inc.                      DE       5.02,8.01,9.01       07/31/13

Black Ridge Oil & Gas, Inc.             DE       5.02,9.01            08/01/13

BlackRock Kelso Capital CORP            DE       2.02,7.01,9.01       08/01/13

BLUCORA, INC.                           DE       2.02,9.01            08/01/13

BLUCORA, INC.                           DE       1.01,7.01,9.01       08/01/13

BLUE NILE INC                           DE       2.02,5.02,9.01       08/01/13

BLUE RIDGE REAL ESTATE CO               PA       8.01                 07/31/13

Blue Sun Media, Inc.                    NV       4.01,9.01            07/24/13

Bluerock Multifamily Growth REIT, Inc   MD       1.01                 07/26/13

BOISE INC.                              DE       2.02,9.01            08/01/13

Bonanza Creek Energy, Inc.              DE       5.03,9.01            07/30/13

BOULDER BRANDS, INC.                    DE       2.02,9.01            08/01/13

BRAINSTORM CELL THERAPEUTICS INC.       DE       5.02                 07/28/13

BRE PROPERTIES INC /MD/                 MD       7.01,9.01            07/31/13

BROADWIND ENERGY, INC.                  DE       2.02,7.01,9.01       08/01/13

CA, INC.                                DE       5.07                 07/31/13

CALIFORNIA FIRST NATIONAL BANCORP       CA       2.02                 07/31/13

CALIFORNIA WATER SERVICE GROUP          DE       8.01,9.01            07/31/13

CALIFORNIA WATER SERVICE GROUP          DE       2.02,9.01            07/31/13

CALLIDUS SOFTWARE INC                   DE       2.02,9.01            08/01/13

CAM Group, Inc.                         NV       1.01,5.02,9.01       07/31/13

CAMBREX CORP                            DE       2.02,9.01            08/01/13

CARDINAL HEALTH INC                     OH       2.02,7.01,9.01       08/01/13

CardioNet, Inc.                         CA       3.01,3.03,		 07/31/13
						5.02,8.01,9.01          

CARROLLTON BANCORP                      MD       5.02                 07/29/13

Carter Validus Mission Critical REIT,   MD       1.01,2.03,9.01       07/26/13
 
CASCADE MICROTECH INC                            2.02,9.01            08/01/13

Catamaran Corp                                   2.02,7.01            07/31/13

CAVCO INDUSTRIES INC                    DE       2.02,9.01            08/01/13

CBIZ, Inc.                              DE       1.01,2.02,7.01,9.01  07/26/13

CBL & ASSOCIATES PROPERTIES INC         DE       2.02,9.01            07/31/13

CC Media Holdings Inc                            2.02,9.01            08/01/13

CDI CORP                                PA       2.02,8.01            07/30/13

CDW Corp                                DE       1.01,2.03,9.01       07/31/13

CEC ENTERTAINMENT INC                   KS       2.02,8.01,9.01       08/01/13

CEDAR REALTY TRUST, INC.                MD       1.01,1.02,2.03       08/01/13

CELGENE CORP /DE/                       DE       8.01,9.01            08/01/13

CENTER BANCORP INC                      NJ       5.02,7.01,9.01       07/31/13

CENTERPOINT ENERGY INC                           2.02,9.01            08/01/13

CENTURY PROPERTIES GROWTH FUND XXII     CA       1.01,9.01            07/26/13

CHART INDUSTRIES INC                    DE       7.01,9.01            07/30/13

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            08/01/13

Chefs' Warehouse, Inc.                  DE       2.02,9.01            08/01/13

CHESAPEAKE ENERGY CORP                  OK       2.02,9.01            08/01/13

Chrysler Group LLC                      DE       8.01,9.01            08/01/13

CIGNA CORP                              DE       2.02                 08/01/13

CIRCOR INTERNATIONAL INC                DE       2.02,9.01            08/01/13

CIT GROUP INC                           DE       1.01,9.01            08/01/13

CITIGROUP INC                           DE       9.01                 08/01/13

CLAYTON WILLIAMS ENERGY INC /DE         DE       7.01,9.01            08/01/13

Clear Channel Capital I, LLC            DE       2.02,9.01            08/01/13

CLEAR CHANNEL COMMUNICATIONS INC        TX       2.02,9.01            08/01/13

Clear Channel Outdoor Holdings, Inc.    DE       2.02,9.01            08/01/13

CLOROX CO /DE/                          DE       2.02,7.01,9.01       08/01/13

Clovis Oncology, Inc.                   DE       2.02,9.01            08/01/13

CME GROUP INC.                          DE       2.02,9.01            08/01/13

CMS Bancorp, Inc.                       DE       8.01,9.01            08/01/13

CNH Capital LLC                         DE       7.01,9.01            08/01/13

CNL Growth Properties, Inc.             MD       3.03,7.01,8.01,9.01  07/30/13

CNL LIFESTYLE PROPERTIES INC            MD       8.01,9.01            08/01/13

COGENT COMMUNICATIONS GROUP INC                  5.02,9.01            08/01/13

COHU INC                                DE       2.02,9.01            07/31/13

COLLECTORS UNIVERSE INC                 DE       7.01,9.01            07/31/13

COLONIAL PROPERTIES TRUST               AL       2.02,7.01,9.01       08/01/13

Conatus Pharmaceuticals Inc             DE       3.02,5.03,9.01       07/30/13

Cono Italiano, Inc.                     NV       4.01,9.01            06/28/13

CONOCOPHILLIPS                          DE       2.02,9.01            08/01/13

Cornerstone Core Properties REIT, Inc   MD       8.01,9.01            08/01/13

CORPORATE OFFICE PROPERTIES TRUST       MD       8.01                 08/01/13

CORTLAND BANCORP INC                    OH       8.01,9.01            07/31/13

COTT CORP /CN/                                   2.02,8.01,9.01       08/01/13

COURIER Corp                            MA       2.02,8.01,9.01       07/31/13

Covidien plc                                     2.02,9.01            08/01/13

CRAWFORD & CO                           GA       5.02,9.01            07/29/13

CUBIC CORP /DE/                         DE       2.02,9.01            08/01/13

CUBIST PHARMACEUTICALS INC              DE       1.01,8.01,9.01       07/30/13

CUBIST PHARMACEUTICALS INC              DE       1.01,8.01,9.01       07/30/13

CURTISS WRIGHT CORP                     DE       2.02,9.01            07/31/13

CURTISS WRIGHT CORP                     DE       5.02                 07/29/13

CVR ENERGY INC                          DE       2.02,7.01,9.01       08/01/13

CVR ENERGY INC                          DE       2.02,7.01,9.01       08/01/13

CVR PARTNERS, LP                        DE       2.02,9.01            08/01/13

CVR Refining, LP                        DE       2.02,7.01,9.01       08/01/13

CVR Refining, LP                        DE       2.02,7.01,9.01       08/01/13

CYBERONICS INC                          DE       8.01                 08/01/13

CYBEROPTICS CORP                        MN       2.02,9.01            08/01/13

DCT Industrial Trust Inc.               MD       2.02,9.01            08/01/13

DDR CORP                                OH       2.02,9.01            07/31/13

Delek Logistics Partners, LP            DE       1.01,1.02,2.01,	 07/26/13
						8.01,9.01          

Delek US Holdings, Inc.                          1.01,8.01,9.01       07/26/13

DELL INC                                DE       5.02                 07/29/13

DENTSPLY INTERNATIONAL INC /DE/         DE       2.02,9.01            08/01/13

DEPOMED INC                             CA       1.01,2.01,8.01,9.01  07/26/13

DIGIRAD CORP                            DE       1.01,9.01            07/31/13

DIGIRAD CORP                            DE       2.02,9.01            08/01/13

Diligent Board Member Services, Inc.    DE       1.01,5.02,9.01       07/31/13

DIRECTV                                 DE       2.02                 08/01/13

Diversicare Healthcare Services, Inc.   DE       7.01,9.01            08/01/13

Dividend Capital Diversified Property   MD       8.01                 07/01/13

Dolan Co.                               DE       2.02,9.01            08/01/13

DRINKS AMERICAS HOLDINGS, LTD           DE       1.01,3.02,9.01       07/03/13

Duke Energy CORP                        DE       2.06,9.01            08/01/13

DURECT CORP                             DE       8.01,9.01            08/01/13

DXP ENTERPRISES INC                     TX       2.02,9.01            08/01/13

DYNAMICS RESEARCH CORP                  MA       2.02,9.01            07/31/13

DYNEGY INC.                             DE       1.02,2.02,7.01,9.01  07/31/13

EAGLE ROCK ENERGY PARTNERS L P          DE       2.02,7.01,9.01       07/31/13

EARTHLINK INC                           DE       2.02,7.01,9.01       08/01/13

Eastern Insurance Holdings, Inc.        PA       2.02,9.01            08/01/13

EDISON INTERNATIONAL                    CA       2.02,7.01,9.01       08/01/13

EINSTEIN NOAH RESTAURANT GROUP INC      DE       2.02,9.01            08/01/13

ELECTRONIC ARTS INC.                    DE       5.03,5.07,9.01       07/31/13

ELLIE MAE INC                           DE       2.02                 08/01/13

EMERITUS CORP\WA\                       WA       2.02                 08/01/13

EMPIRE RESORTS INC                      DE       1.01,9.01            07/30/13

ENDOCYTE INC                            DE       2.02,9.01            08/01/13

EnerSys                                 DE       8.01,9.01            08/01/13

ENPRO INDUSTRIES, INC                   NC       2.02,9.01            08/01/13

ENTERPRISE PRODUCTS PARTNERS L P        DE       2.02,8.01,9.01       07/31/13

ENTRAVISION COMMUNICATIONS CORP         DE       2.02,9.01            08/01/13

EON COMMUNICATIONS CORP                 DE       9.01                 08/01/13
 
EPICEPT CORP                                     1.01,2.02,9.01       07/31/13

EPL OIL & GAS, INC.                     DE       2.02,9.01            08/01/13

ERIE INDEMNITY CO                       PA       2.02,8.01,9.01       07/31/13

ESSEX PROPERTY TRUST INC                MD       2.02,9.01            06/30/13

EveryWare Global, Inc.                  DE       2.02,9.01            08/01/13

Excel Trust, Inc.                       MD       2.02,9.01            07/31/13

Excel Trust, Inc.                       MD       8.01                 08/01/13

EXPERIENCE ART & DESIGN, INC.           NV       8.01,9.01            07/25/13

Extra Space Storage Inc.                MD       2.02,9.01            08/01/13

EXXON MOBIL CORP                        NJ       2.02,7.01            08/01/13

EZCORP INC                              DE       5.02                 07/30/13

FBL FINANCIAL GROUP INC                 IA       2.02                 08/01/13

FEDERAL AGRICULTURAL MORTGAGE CORP               8.01,9.01            07/31/13

Federal Home Loan Bank of Atlanta       X1       2.03                 07/29/13

Federal Home Loan Bank of Boston        X1       2.03                 07/30/13

Federal Home Loan Bank of Chicago       X1       2.03                 07/29/13

Federal Home Loan Bank of Dallas                 2.03,9.01            07/26/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            07/30/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            08/01/13

Federal Home Loan Bank of New York      X1       2.03,9.01            07/29/13

Federal Home Loan Bank of New York      X1       8.01,9.01            08/01/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            07/29/13

Federal Home Loan Bank of San Francis   X1       2.03                 07/29/13

FEDERAL REALTY INVESTMENT TRUST         MD       2.02,9.01            08/01/13

FEI CO                                  OR       2.02,9.01            08/01/13

FelCor Lodging Trust Inc                MD       2.02,9.01            08/01/13

FEMALE HEALTH CO                        WI       2.02,9.01            08/01/13

FERRO CORP                              OH       2.02,9.01            07/31/13

FIDUS INVESTMENT Corp                   MD       2.02,7.01,9.01       08/01/13

Financial Engines, Inc.                 DE       2.02,9.01            08/01/13

FIRST CITIZENS BANC CORP /OH            OH       2.02,9.01            08/01/13

FLEETCOR TECHNOLOGIES INC               DE       2.02,9.01            08/01/13

FLEXTRONICS INTERNATIONAL LTD.          U0       5.07                 07/29/13

FLOW INTERNATIONAL CORP                 WA       2.02,9.01            07/30/13

Flow Tech Solutions Inc.                NV       5.02                 07/29/13

FLUIDIGM CORP                           DE       2.02,9.01            08/01/13

FLUOR CORP                              DE       2.02,9.01            08/01/13

Forbes Energy Services Ltd.             D0       1.01,2.03,9.01       07/26/13

FORD MOTOR CO                           DE       8.01,9.01            08/01/13

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            08/01/13

Forex International Trading Corp.       NV       1.01,2.03,3.02,9.01  07/24/13

Fortress Investment Group LLC           DE       2.02,9.01            08/01/13

Fortress Investment Group LLC           DE       5.02                 08/01/13

Fox Chase Bancorp Inc                            2.02,9.01            07/31/13

FREEBUTTON, INC.                        NV       1.01,2.01,2.03,	 07/11/13
						7.01,9.01          

FreightCar America, Inc.                DE       1.01,1.02,2.03,9.01  07/26/13

FX ENERGY INC                           NV       7.01,9.01            08/01/13

GCI INC                                 AK       2.02,9.01            07/31/13

GCI INC                                 AK       7.01,9.01            08/01/13

Geeknet, Inc                            VA       2.02,9.01            08/01/13

GelTech Solutions, Inc.                 DE       5.02                 07/28/13

GENERAL COMMUNICATION INC               AK       2.02,9.01            07/31/13

GENERAL COMMUNICATION INC               AK       7.01,9.01            08/01/13

GENESEE & WYOMING INC                   DE       2.02,9.01            08/01/13

GENESIS ENERGY LP                       DE       9.01                 08/01/13

GENTHERM Inc                            MI       2.02,9.01            08/01/13

GENTIVA HEALTH SERVICES INC             DE       2.02,9.01            07/31/13

GIBRALTAR INDUSTRIES, INC.              DE       2.02,7.01,8.01,9.01  07/31/13

GLACIER BANCORP INC                     DE       8.01,9.01            07/31/13

GlobalOptions Group, Inc.                        8.01,9.01            08/01/13

GLOBALWISE INVESTMENTS INC              NV       5.02,9.01            07/31/13

GLOBUS MEDICAL INC                      DE       2.02,9.01            08/01/13

GlyEco, Inc.                            NV       5.07                 07/29/13

GP STRATEGIES CORP                      DE       2.02,9.01            08/01/13

GRANITE CONSTRUCTION INC                DE       2.02,9.01            08/01/13

Granite Falls Energy, LLC               MN       7.01,9.01            08/01/13

Grid Petroleum Corp.                    NV       8.01                 07/31/13

GRYPHON GOLD CORP                       NV       1.03,9.01            07/31/13

Guidance Software, Inc.                 DE       2.02,7.01,9.01       08/01/13

H&E Equipment Services, Inc.            DE       2.02,8.01,9.01       08/01/13

HALCON RESOURCES CORP                   DE       2.02,9.01            08/01/13

HALLIBURTON CO                          DE       1.01,9.01            07/29/13

HARTE HANKS INC                         DE       2.02,9.01            08/01/13

HASBRO INC                              RI       8.01,9.01            08/01/13

HAVERTY FURNITURE COMPANIES INC         MD       2.02,9.01            06/30/13

HAWKINS INC                             MN       2.02                 07/29/13

HCA Holdings, Inc.                               2.02,7.01,9.01       08/01/13

HCI Group, Inc.                         FL       2.02,8.01,9.01       08/01/13

HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       2.02,9.01            08/01/13

Heron Lake BioEnergy, LLC               MN       7.01,9.01            08/01/13

HERTZ CORP                              DE       2.02,9.01            07/31/13

HERTZ CORP                              DE       2.02,9.01            07/29/13

HERTZ GLOBAL HOLDINGS INC                        2.02,9.01            07/31/13

HERTZ GLOBAL HOLDINGS INC                        2.02,9.01            07/29/13

hhgregg, Inc.                           DE       2.02,5.02,9.01       08/01/13

Higher One Holdings, Inc.               DE       5.02,8.01,9.01       07/26/13

HINES REAL ESTATE INVESTMENT TRUST IN            8.01                 08/01/13

HomeTrust Bancshares, Inc.              MD       7.01,9.01            07/31/13

HORNBECK OFFSHORE SERVICES INC /LA      DE       2.02,9.01            07/31/13

HSN, Inc.                               DE       2.02,7.01,9.01       08/01/13

Hubei Minkang Pharmaceutical Ltd.       NV       1.01,2.03,9.01       05/02/13

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            08/01/13

ICAHN ENTERPRISES L.P.                  DE       1.01,2.03,8.01,9.01  08/01/13

ICF International, Inc.                 DE       2.02,9.01            08/01/13

ID SYSTEMS INC                          DE       8.01                 08/01/13

IDACORP INC                             ID       2.02,7.01,9.01       08/01/13

II-VI INC                               PA       2.02,9.01            08/01/13

IKONICS CORP                                     2.02,9.01            08/01/13

IMMERSION CORP                          DE       2.02,9.01            08/01/13

IMPERIAL OIL LTD                                 2.02,9.01            08/01/13

INCYTE CORP                             DE       2.02,9.01            08/01/13

INDEPENDENCE REALTY TRUST, INC          MD       1.01,5.02,5.07,9.01  07/26/13

INDEPENDENT BANK CORP /MI/              MI       1.01,9.01            07/26/13

INERGY L P                              DE       5.02,9.01            08/01/13

INERGY MIDSTREAM, L.P.                  DE       5.02,9.01            08/01/13

Inland Diversified Real Estate Trust,   MD       7.01,9.01            08/01/13

INNOVATIVE SOLUTIONS & SUPPORT INC      PA       2.02,9.01            07/31/13

INPHI Corp                              DE       2.02,9.01            08/01/13

INSPERITY, INC.                         DE       2.02,9.01            08/01/13

INTEGRA LIFESCIENCES HOLDINGS CORP      DE       2.02,7.01,9.01       08/01/13

INTERNATIONAL SHIPHOLDING CORP          DE       8.01,9.01            08/01/13

INTERNATIONAL SHIPHOLDING CORP          DE       2.02,9.01            07/31/13

Intrepid Potash, Inc.                   DE       2.02,9.01            07/31/13

INVENTURE FOODS, INC.                   DE       2.02,9.01            08/01/13

INVESTMENT TECHNOLOGY GROUP INC         DE       2.02,9.01            08/01/13

IPC The Hospitalist Company, Inc.       DE       5.02,9.01            08/01/13

IRIDEX CORP                             DE       2.02,9.01            08/01/13

Iridium Communications Inc.             DE       2.02,9.01            08/01/13

IRON MOUNTAIN INC                       DE       2.02,9.01            08/01/13

ITT Corp                                IN       2.02,7.01,9.01       08/01/13

J C PENNEY CO INC                       DE       8.01,9.01            08/01/13

JPMORGAN CHASE & CO                     DE       8.01,9.01            08/01/13

Kandi Technologies Group, Inc.          DE       8.01,9.01            08/01/13

KCAP Financial, Inc.                    DE       8.01,9.01            08/01/13

Kearny Financial Corp.                  X1       2.02,9.01            08/01/13

KELLOGG CO                              DE       2.02,9.01            08/01/13

KEMPER Corp                             DE       2.02,9.01            08/01/13

KIMBALL INTERNATIONAL INC               IN       2.02,9.01            08/01/13

KINDRED HEALTHCARE, INC                 DE       8.01,9.01            07/31/13

KITE REALTY GROUP TRUST                 MD       2.02,9.01            08/01/13

Kodiak Oil & Gas Corp                   B0       2.02,9.01            08/01/13

KONA GRILL INC                          DE       2.02,9.01            08/01/13

Kraft Foods Group, Inc.                          2.02,9.01            08/01/13

Kraton Performance Polymers, Inc.       DE       2.02,9.01            08/01/13

Laredo Petroleum Holdings, Inc.         DE       2.01,9.01            08/01/13

LEAP WIRELESS INTERNATIONAL INC         DE       2.02,9.01            08/01/13

LEAPFROG ENTERPRISES INC                         2.02,9.01            08/01/13

LIFELOCK, INC.                          DE       2.02,9.01            07/31/13

LIGAND PHARMACEUTICALS INC              DE       2.02,9.01            08/01/13

LINKEDIN CORP                           DE       2.02,9.01            08/01/13

LKQ CORP                                DE       2.02,9.01            08/01/13

Lumos Networks Corp.                    VA       2.02,7.01,9.01       08/01/13

LYDALL INC /DE/                         DE       2.02,9.01            08/01/13

MAC-GRAY CORP                           DE       2.02,9.01            08/01/13

MAGELLAN MIDSTREAM PARTNERS LP          DE       2.02,9.01            08/01/13

Marathon Petroleum Corp                 DE       2.02,9.01            08/01/13

MASTEC INC                              FL       2.02,7.01,9.01       08/01/13

Mastech Holdings, Inc.                  PA       1.01,9.01            07/26/13

Mattersight Corp                        DE       5.02                 07/29/13

MAXLINEAR INC                                    2.02,9.01            08/01/13

MAXWELL TECHNOLOGIES INC                DE       2.02,9.01            08/01/13

MDU RESOURCES GROUP INC                 DE       2.02,7.01,9.01       07/31/13

MEDIACOM BROADBAND LLC                  DE       2.02,9.01            08/01/13

MEDIACOM LLC                            NY       2.02,9.01            08/01/13

MEDICAL ACTION INDUSTRIES INC           DE       2.02,9.01            08/01/13

MEDIFAST INC                            DE       5.02                 07/31/13

MEDIVATION, INC.                        DE       7.01                 07/31/13

Medley Capital Corp                     DE       2.02,9.01            08/01/13

MENS WEARHOUSE INC                      TX       5.02,9.01            07/30/13

MERCER INTERNATIONAL INC.               WA       2.02,9.01            08/01/13

MFA FINANCIAL, INC.                     MD       2.02,7.01            08/01/13

MICROSTRATEGY INC                       DE       2.02,9.01            07/29/13

MIMVI, INC.                             NY       8.01                 08/01/13

Minerco Resources, Inc.                 NV       8.01,9.01            08/01/13

MOBIVITY HOLDINGS CORP.                 NV       1.01,5.02,9.01       07/22/13

MODINE MANUFACTURING CO                 WI       2.02,9.01            08/01/13

MOHAWK INDUSTRIES INC                   DE       2.02,9.01            08/01/13

MOHEGAN TRIBAL GAMING AUTHORITY                  8.01,9.01            07/30/13

MOLINA HEALTHCARE INC                   DE       7.01                 08/01/13

MOMENTA PHARMACEUTICALS INC             DE       2.02,9.01            08/01/13

MONARCH COMMUNITY BANCORP INC           MD       2.02,9.01            07/30/13

MONSTER WORLDWIDE, INC.                 DE       2.02,9.01            08/01/13

MORGAN STANLEY                          DE       5.02,9.01            07/30/13

MOVE INC                                DE       2.02,9.01            08/01/13

MPLX LP                                 DE       2.02,9.01            08/01/13

MRC GLOBAL INC.                         DE       2.02,9.01            08/01/13

MSCI Inc.                               DE       2.02,9.01            08/01/13

MusclePharm Corp                        NV       1.01,3.02,9.01       07/26/13

MYLAN INC.                              PA       2.02,9.01            08/01/13

Myriad Interactive Media, Inc.          DE       1.01,9.01            07/24/13

National American University Holdings   DE       2.02,9.01            07/31/13

National CineMedia, Inc.                DE       2.02,9.01            08/01/13

National Interstate CORP                OH       2.02,9.01            07/29/13

NATIONAL RETAIL PROPERTIES, INC.        MD       2.02,9.01            08/01/13

NATUS MEDICAL INC                       DE       2.02,2.05,9.01       07/30/13

NEAH POWER SYSTEMS, INC.                NV       8.01,9.01            08/01/13

NEW YORK TIMES CO                       NY       2.02,9.01            08/01/13

NEXT GENERATION ENERGY CORP.            NV       1.01,3.02,3.03,9.01  05/24/13

NIC INC                                 CO       2.02,7.01,9.01       08/01/13

NII HOLDINGS INC                        DE       2.02,9.01            08/01/13

Niska Gas Storage Partners LLC          DE       2.02,9.01            08/01/13

NORTEK INC                              DE       2.02,9.01            08/01/13

NORTH EUROPEAN OIL ROYALTY TRUST        DE       2.02,9.01            07/31/13

NORTHEAST BANCORP /ME/                  ME       2.02,9.01            07/29/13

Nova Lifestyle, Inc.                    NV       2.01,9.01            04/24/13

NU SKIN ENTERPRISES INC                 DE       2.02,9.01            06/30/13

NU SKIN ENTERPRISES INC                 DE       2.02,9.01            06/30/13    AMEND

OCWEN FINANCIAL CORP                    FL       2.02,9.01            08/01/13

OHIO POWER CO                           OH       8.01,9.01            07/31/13

OM GROUP INC                            DE       2.02,9.01            08/01/13

OMEGA HEALTHCARE INVESTORS INC          MD       2.02,9.01            08/01/13

OMEROS CORP                             WA       8.01,9.01            08/01/13

OMNICELL, Inc                           CA       2.02,9.01            08/01/13

OPENTABLE INC                           DE       2.02,9.01            08/01/13

OPTIMER PHARMACEUTICALS INC                      1.01,5.02,9.01       07/30/13

ORAMED PHARMACEUTICALS INC.             DE       8.01,9.01            08/01/13

ORCHARD SUPPLY HARDWARE STORES CORP     DE       8.01,9.01            07/31/13

ORION ENERGY SYSTEMS, INC.              WI       2.02,9.01            08/01/13

PACIFIC BIOSCIENCES OF CALIFORNIA, IN   DE       2.02,9.01            08/01/13

PACIFIC FINANCIAL CORP                  WA       2.02,9.01            07/31/13

PAIN THERAPEUTICS INC                   DE       2.02,9.01            08/01/13

PARK NATIONAL CORP /OH/                 OH       5.02,9.01            08/01/13

PARKER DRILLING CO /DE/                 DE       2.02,9.01            08/01/13

PASSPORT POTASH INC                     A1       8.01,9.01            07/31/13

PAULSON CAPITAL CORP                    OR       3.01                 07/29/13

PBF Energy Inc.                         DE       2.02                 08/01/13

PC CONNECTION INC                       DE       2.02,9.01            08/01/13

PC TEL INC                              DE       2.02,9.01            07/31/13

PDC ENERGY, INC.                        NV       2.02,9.01            08/01/13

PEPCO HOLDINGS INC                      DE       2.01,9.01            07/26/13

PERFICIENT INC                          DE       2.02,8.01,9.01       08/01/13

PERKINELMER INC                         MA       2.02,9.01            08/01/13

PHARMATHENE, INC                        DE       1.01,5.02,8.01,9.01  07/31/13

PHAZAR CORP                             DE       3.01,5.01,5.02,	 07/31/13
						5.03,9.01          

PHH CORP                                MD       2.02,9.01            07/31/13

PIEDMONT NATURAL GAS CO INC             NC       1.01,9.01            07/29/13

Piedmont Office Realty Trust, Inc.      MD       2.02,9.01            08/01/13

Pinacle Enterprise, Inc.                2M       4.01,9.01            08/01/13

PNC FINANCIAL SERVICES GROUP, INC.      PA       8.01                 08/01/13

PPL Corp                                         2.02,7.01,9.01       08/01/13

PREMIER FINANCIAL BANCORP INC           KY       2.02,9.01            08/01/13

Prestige Brands Holdings, Inc.                   2.02,7.01,9.01       08/01/13

PROCTER & GAMBLE Co                     OH       2.02                 08/01/13

PROCTER & GAMBLE Co                     OH       7.01                 08/01/13

PROFIRE ENERGY INC                      UT       5.02,7.01,9.01       08/01/13

PROS Holdings, Inc.                     DE       2.02,9.01            08/01/13

PROTECTIVE LIFE CORP                    DE       2.02,9.01            07/31/13

ProText Mobility, Inc.                  DE       8.01                 07/31/13

Proto Labs Inc                                   2.02,9.01            08/01/13

PUBLIX SUPER MARKETS INC                FL       2.02,9.01            08/01/13

PULASKI FINANCIAL CORP                  MO       2.02,9.01            07/30/13

QEP RESOURCES, INC.                     DE       2.02,9.01            07/31/13

QLT INC/BC                              A1       8.01,9.01            08/01/13

QUANTA SERVICES INC                     DE       2.02,9.01            08/01/13

QUANTUM CORP /DE/                       DE       2.02,9.01            08/01/13

QUEST DIAGNOSTICS INC                   DE       5.02,9.01            07/29/13

Quintiles Transnational Holdings Inc.   NC       2.02,9.01            08/01/13

Rackwise, Inc.                          NV       5.03,8.01,9.01       07/29/13

RAIT Financial Trust                    MD       2.02,9.01            08/01/13

REALPAGE INC                            DE       2.02,9.01            08/01/13

REGENCY CENTERS CORP                    FL       2.02,9.01            07/31/13

RELIV INTERNATIONAL INC                 DE       2.02,9.01            08/01/13

RENTECH INC /CO/                        CO       3.01,9.01            07/31/13

REPLIGEN CORP                           DE       2.02,9.01            08/01/13

Research Solutions, Inc.                NV       5.02                 07/26/13

RESMED INC                              DE       2.02,8.01,9.01       08/01/13

Resolute Forest Products Inc.           DE       2.02,9.01            08/01/13

RESOURCES CONNECTION INC                DE       5.02,7.01,9.01       08/01/13

RETAIL OPPORTUNITY INVESTMENTS CORP     MD       2.02,9.01            08/01/13

RETAIL OPPORTUNITY INVESTMENTS CORP     MD       8.01,9.01            08/01/13

Rhino Resource Partners LP              DE       2.02,9.01            08/01/13

ROCHESTER MEDICAL CORPORATION           MN       7.01,9.01            08/01/13

ROCKWELL COLLINS INC                    DE       5.02                 08/01/13

ROCKWELL MEDICAL, INC.                  MI       2.02,9.01            08/01/13

ROFIN SINAR TECHNOLOGIES INC            DE       2.02,9.01            08/01/13

ROSETTA STONE INC                                8.01                 08/01/13

ROYALE ENERGY INC                       CA       8.01,9.01            08/01/13

RUDOLPH TECHNOLOGIES INC                DE       2.02,9.01            08/01/13

Saker Aviation Services, Inc.           NV       8.01,9.01            08/01/13

Sally Beauty Holdings, Inc.                      1.01,2.02,5.02,	 08/01/13
						7.01,9.01          

Samson Oil & Gas LTD                    C3       2.02,9.01            07/31/13

SCANA CORP                              SC       2.02,9.01            08/01/13

ScanSys, Inc.                           DE       1.01,2.01,3.03,5.01, 06/12/13    AMEND
						5.02,5.03,5.06,9.01        

SCIQUEST INC                            DE       2.02,9.01            08/01/13

Select Income REIT                      MD       2.02,9.01            08/01/13

Seneca Foods Corp                       NY       2.02,9.01            06/29/13

SENOMYX INC                             DE       2.02,9.01            08/01/13

SEQUENTIAL BRANDS GROUP, INC.           DE       2.02,7.01,9.01       07/31/13

SERVICESOURCE INTERNATIONAL, INC.       DE       2.02,9.01            08/01/13

Shea Homes Limited Partnership          CA       2.02,9.01            07/31/13

SIGMA DESIGNS INC                       CA       5.07,8.01            07/26/13

SIGNATURE GROUP HOLDINGS, INC.          NV       2.02,7.01,9.01       08/01/13

Silver Bay Realty Trust Corp.           MD       5.02                 07/18/13    AMEND

SILVER SPRING NETWORKS INC              DE       2.02,9.01            08/01/13

SINGLE TOUCH SYSTEMS INC                DE       4.01,9.01            07/26/13

SINOCOKING COAL & COKE CHEMICAL INDUS   FL       8.01,9.01            08/01/13

SIRIUS XM RADIO INC.                    DE       1.01,2.03,9.01       08/01/13

SJW CORP                                CA       2.02,8.01,9.01       07/25/13

SKULLCANDY, INC.                                 2.02,9.01            08/01/13

SMSA CRANE ACQUISITION CORP.            NV       4.01,9.01            07/24/13    AMEND

Sorrento Therapeutics, Inc.             DE       5.03,8.01,9.01       07/30/13

Sound Financial Bancorp, Inc.           MD       2.02                 07/30/13

SOUTHERN FIRST BANCSHARES INC           SC       2.02,9.01            07/31/13

SOUTHWESTERN ENERGY CO                  DE       2.02,9.01            08/01/13

Soy Energy, LLC                         IA       5.07                 07/29/13

Spansion Inc.                           DE       2.02,9.01            08/01/13

SPARTAN MOTORS INC                      MI       2.02,9.01            08/01/13

SS&C Technologies Holdings Inc          DE       2.02,9.01            08/01/13

STAAR SURGICAL CO                       DE       2.02,7.01,9.01       07/31/13

Starz                                   DE       2.02,9.01            08/01/13

Starz, LLC                              DE       2.02,9.01            08/01/13

STEC, INC.                              CA       8.01                 07/31/13

STONERIDGE INC                          OH       2.02,7.01,9.01       08/01/13

SWIFT ENERGY CO                                  2.02,9.01            08/01/13

Symmetry Medical Inc.                   DE       2.02,9.01            08/01/13

SYNAPTICS INC                           DE       2.02,9.01            08/01/13

T3 Motion, Inc.                         DE       3.02,8.01,9.01       08/01/13

Targa Resources Corp.                   DE       2.02,9.01            08/01/13

Targa Resources Partners LP             DE       2.02,9.01            08/01/13

Targeted Medical Pharma, Inc.                    5.07                 07/22/13

TD AMERITRADE HOLDING CORP              DE       5.02,9.01            07/26/13

TECO ENERGY INC                         FL       2.02,9.01            08/01/13

TELECOMMUNICATION SYSTEMS INC /FA/      MD       2.02,9.01            07/25/13

TELLABS INC                             DE       2.02,9.01            08/01/13

TERADATA CORP /DE/                               2.02,7.01,9.01       08/01/13

Territorial Bancorp Inc.                MD       8.01,9.01            08/01/13

Territorial Bancorp Inc.                MD       8.01,9.01            08/01/13

TESCO CORP                                       7.01,9.01            07/25/13

TESORO CORP /NEW/                       DE       2.02,9.01            08/01/13

TESSERA TECHNOLOGIES INC                DE       5.02                 07/31/13

TG THERAPEUTICS, INC.                   DE       2.02,9.01            08/01/13

THERMOGENESIS CORP                      DE       1.01,9.01            07/26/13

THOR INDUSTRIES INC                     DE       5.02                 08/01/13
 
THOR INDUSTRIES INC                     DE       1.01,9.01            07/31/13

THRESHOLD PHARMACEUTICALS INC           DE       2.02,9.01            08/01/13

TIME WARNER CABLE INC.                  DE       2.02,9.01            08/01/13

TIME WARNER INC.                        DE       5.02                 07/30/13

TITAN INTERNATIONAL INC                 IL       5.02,9.01            07/30/13

TIVO INC                                DE       5.07                 07/31/13

TMS International Corp.                 DE       2.02,7.01,9.01       08/01/13

TRACTOR SUPPLY CO /DE/                  DE       8.01,9.01            08/01/13

TRAVELERS COMPANIES, INC.               MN       8.01,9.01            07/25/13

TRINITY INDUSTRIES INC                  DE       2.02,7.01,9.01       07/31/13

TRISTAR WELLNESS SOLUTIONS, INC.        NV       1.01,3.02,9.01       07/16/13

Trius Therapeutics Inc                  DE       1.01,9.01            07/30/13

Truven Holding Corp.                    DE       8.01,9.01            08/01/13

TRW AUTOMOTIVE HOLDINGS CORP            DE       8.01,9.01            08/01/13

TTM TECHNOLOGIES INC                    WA       2.02,9.01            08/01/13

TWENTY-FIRST CENTURY FOX, INC.                   8.01,9.01            08/01/13

UFP TECHNOLOGIES INC                    DE       2.02,9.01            08/01/13

ULTRALIFE CORP                          DE       2.02,9.01            08/01/13

UNION PACIFIC CORP                      UT       8.01,9.01            08/01/13

UNISYS CORP                             DE       5.02,9.01            07/31/13

UNITED BANCORP INC /OH/                 OH       2.02,9.01            07/29/13

UNIVERSAL INSURANCE HOLDINGS, INC.      DE       1.01,7.01,9.01       08/01/13

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       4.01,9.01            05/31/13    AMEND

US BANCORP \DE\                         DE       7.01,9.01            08/01/13

USA Mobility, Inc                       DE       2.02,8.01,9.01       08/01/13

VALUECLICK INC/CA                       DE       2.02,8.01,9.01       08/01/13

Vanguard Energy Corp                    CO       5.02                 07/31/13

VECTOR GROUP LTD                        DE       2.02,9.01            07/31/13    AMEND

VECTREN CORP                            IN       2.02,9.01            07/31/13

VelaTel Global Communications, Inc.     NV       8.01                 07/20/13

VENZA GOLD CORP.                        A1       5.02                 07/26/13

Vestin Realty Mortgage II, Inc          MD       1.01,9.01            07/31/13

VICAL INC                               DE       2.02,9.01            08/01/13

VIROPHARMA INC                          DE       2.02,8.01,9.01       08/01/13

VIRTUSA CORP                                     2.02,9.01            08/01/13

VISTAPRINT N.V.                         P7       2.02,9.01            08/01/13

VSE CORP                                DE       2.02,9.01            07/31/13

Vu1 CORP                                CA       5.02                 07/28/13

Vulcan Materials CO                     NJ       2.02,9.01            08/01/13

Vuzix Corp                              DE       8.01,9.01            07/31/13

W R GRACE & CO                          DE       7.01,9.01            08/01/13

Walter Energy, Inc.                     DE       2.02,9.01            08/01/13

Warner Chilcott plc                              8.01,9.01            07/31/13

WCI Communities, Inc.                   DE       8.01                 07/31/13

WEB.COM GROUP, INC.                     DE       2.01,9.01            08/01/13

WEIGHT WATCHERS INTERNATIONAL INC       VA       5.02,9.01            07/30/13

WEIGHT WATCHERS INTERNATIONAL INC       VA       2.02,9.01            08/01/13

WEINGARTEN REALTY INVESTORS /TX/        TX       2.02,9.01            07/31/13

WEST BANCORPORATION INC                 IA       7.01,9.01            08/01/13

WEST PHARMACEUTICAL SERVICES INC        PA       2.02,7.01,8.01,9.01  08/01/13

Western Graphite Inc.                            7.01,9.01            07/30/13

Western Refining, Inc.                  DE       2.02,9.01            08/01/13

Williams Partners L.P.                           2.02,9.01            07/31/13

WORLD WRESTLING ENTERTAINMENTINC        DE       2.02,9.01            08/01/13

WPCS INTERNATIONAL INC                  DE       3.02                 07/30/13

WPX ENERGY, INC.                        DE       2.02                 08/01/13

XCEL ENERGY INC                         MN       2.02,9.01            08/01/13

Xenith Bankshares, Inc.                 VA       2.02,8.01,9.01       07/31/13

Xhibit Corp.                            NV       2.01,9.01            07/29/13    AMEND

ZAGG Inc                                NV       2.02,9.01            08/01/13

Zalicus Inc.                            DE       2.02,9.01            08/01/13



http://www.sec.gov/news/digest/2013/dig080213.htm


Modified: 08/07/2013