Securities and Exchange Commission Suspends Trading in the Securities of Advanced Optics Electronics for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of Advanced Optics Electronics, Inc. commencing at 9:30 a.m. EST on March 2, 2011 and terminating at 11:59 p.m. EDT on March 15, 2011.
The Commission temporarily suspended trading in the securities of this issuer due to a lack of current and accurate information about this company because it has not filed periodic reports with the Commission in over two years. 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 Advanced Optics Electronics, Inc.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of this company unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of this company that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to Douglas McAllister, Esq. of the Division of Enforcement at, (202) 551-4939 or by e-mail at McAllisterD@sec.gov. (Rel. 34-64000)
Fee Rate Advisory #6 for Fiscal Year 2011
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2011 is not required.
As a result, the Section 31 fee rate for fiscal 2011 will remain at the current rate of $19.20 per million. The Section 31 assessment on round turn transactions in security futures also will remain at $0.0042 per transaction.
(Press Rel. 2011-55)
SEC Charges Former Officer of Colonial Bank for Role in Securities Fraud Scheme
The Securities and Exchange Commission today charged a former vice president at Colonial Bank who was the head of its mortgage warehouse lending division with conducting a $1.5 billion securities fraud scheme.
The SEC alleges that Catherine L. Kissick enabled the sale of fictitious and impaired mortgage loans and securities from the mortgage warehouse lending division’s largest customer – Taylor, Bean & Whitaker Mortgage Corp. (TBW) – to Colonial Bank, and she caused these securities to be falsely reported to the investing public as high-quality, liquid assets.
The SEC previously charged former TBW chairman and majority owner Lee B. Farkas in June 2010, and charged TBW’s former treasurer Desiree E. Brown last week.
In a related action today, Kissick pleaded guilty to criminal charges filed by the Department of Justice in the Eastern District of Virginia.
“For more than seven years, Kissick betrayed her duties to Colonial Bank and its investors by working with Farkas to defraud the bank of $1.5 billion,” said Lorin L. Reisner, Deputy Director of the SEC’s Division of Enforcement.
According to the SEC’s complaint filed in U.S. District Court for the Eastern District of Virginia, Kissick along with Farkas and Brown perpetrated the fraudulent scheme from March 2002 to August 2009, when Colonial Bank was seized by regulators and Colonial BancGroup and TBW each filed for bankruptcy. Because TBW generally did not have sufficient capital to internally fund the mortgage loans it originated, it relied on financing arrangements primarily through Colonial Bank’s mortgage warehouse lending division to fund such mortgage loans.
The SEC alleges that when TBW began to experience liquidity problems and overdrew its then-limited warehouse line of credit with Colonial Bank by approximately $15 million each day, Kissick, Farkas and Brown concealed the overdraws through a pattern of “kiting” in which certain debits were not entered until after credits due for the following day were entered. In order to conceal this initial fraudulent conduct, Kissick, Farkas, and Brown created and submitted fictitious loan information to Colonial Bank and created fictitious mortgage-backed securities assembled from the fraudulent loans. By the end of 2007, the scheme consisted of approximately $500 million in fake residential mortgage loans and approximately $1 billion in severely impaired residential mortgage loans and securities. These fictitious and impaired loans were misrepresented as high-quality assets on Colonial BancGroup’s financial statements.
The SEC’s complaint charges Kissick with violations of the antifraud, reporting, books and records and internal controls provisions of the federal securities laws. Without admitting or denying the SEC’s allegations, Kissick consented to the entry of a judgment permanently enjoining her from violation of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13b2-1 and 13b2-2 thereunder, and from aiding and abetting violations of Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11 and 13a-13 thereunder. Kissick also consented to an order barring her from acting as an officer or director of any public company that has securities registered with the SEC pursuant to Section 12 of the Exchange Act. Kissick also consented to an order prohibiting her from serving in a senior management or control position at any mortgage-related company or other financial institution or from holding any position involving financial reporting or disclosure at a public company. The proposed preliminary settlement, under which the SEC’s requests for financial penalties against Kissick would remain pending, is subject to court approval.
The SEC’s case was investigated by Aaron W. Lipson, Yolanda L. Ross and Barry R. Lakas of the Atlanta Regional Office. The SEC acknowledges the assistance of the Fraud Section of the U.S. Department of Justice’s Criminal Division, the Federal Bureau of Investigation, the Office of the Special Inspector General for the TARP, the Federal Deposit Insurance Corporation’s Office of the Inspector General, the U.S. Department of Housing and Urban Development’s Office of the Inspector General, and the Civil Division of the U.S. Attorney’s Office for the Eastern District of Virginia. The SEC brought its enforcement action in coordination with these other members of the Financial Fraud Enforcement Task Force.
The SEC’s investigation is continuing.
For more information concerning this enforcement action, contact:
Lorin L. Reisner
Rhea Kemble Dignam, Regional Director
(Press Rel. 2011-56)
SEC Proposes Rules on Disclosure of Incentive-Based Compensation Arrangements at Financial Institutions
The Securities and Exchange Commission today proposed a rule that would require certain financial institutions to disclose the structure of their incentive-based compensation practices, and prohibit such institutions from maintaining compensation arrangements that encourage inappropriate risks.
The proposed rule stems from Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires the SEC and several other agencies to jointly write rules and guidelines in this regard. The SEC-regulated financial institutions affected by the rulemaking include broker-dealers and investment advisers with $1 billion or more in assets.
“Our staff has worked closely with other federal regulators and the proposal reflects a series of carefully considered compromises,” said SEC Chairman Mary L. Schapiro. “As with any such undertaking, there’s a challenge in finding common means to appropriately address Congress’s mandate, so we look forward to hearing public comment on the proposed rules.”
The SEC’s proposed rules for certain financial institutions would:
Public comments on the rule proposal should be received within 45 days after it is published in the Federal Register.
(Press Rel. 2011-57)
SEC Proposes Clearing Agency Standards for Operations and Governance
The Securities and Exchange Commission today voted to propose rules in accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Securities Exchange Act of 1934 regarding the operation and governance of clearing agencies.
The Commission also voted to reopen the public comment period for rules proposed in October to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post or make available for trading security-based swaps.
Clearing agencies generally act as a middleman to the parties in a securities transaction. They play a critical role in the securities markets by ensuring that transactions settle on time and on the agreed-upon terms.
“The proposed rules are designed to further strengthen our oversight of clearing agencies and mitigate systemic risk concerns brought to light following the financial crisis,” said SEC Chairman Mary L. Schapiro.
Among the things that the proposed rules would require of clearing agencies:
Public comments on the rule proposals should be received by April 29, 2011.
(Press Rel. 2011-58)
SEC Proposes Rule Amendments to Remove Credit Rating References in Investment Company Act Rules and Forms
The Securities and Exchange Commission today proposed rule amendments to remove references to credit ratings in certain rules and forms under the Investment Company Act of 1940, including rule 2a-7 governing the operations of money market funds.
Credit ratings are often considered by investors when they evaluate whether to purchase securities. The Dodd-Frank Wall Street Reform and Consumer Protection Act requires every federal agency to review rules that use credit ratings as an assessment of creditworthiness, and replace those credit-rating references with other appropriate standards.
“The focus of these efforts is to eliminate over-reliance on credit ratings by both regulators and investors, and encourage an independent assessment of creditworthiness,” said SEC Chairman Mary L. Schapiro.
Under the SEC’s proposal, a rating would no longer be a required element in determining which securities are permissible investments for a money market fund. A security would instead be an eligible investment for a money market fund if the fund’s board or its delegate determines that the security presents minimal credit risks. As under the current rule, funds would have to invest at least 97 percent of their assets in securities that the board has determined are issued by an issuer that has the highest capacity to meet its short-term financial obligations. This latter standard is intended to be consistent with the highest credit rating category.
The SEC’s proposed rule amendments also would remove credit ratings in three other areas: repurchase agreements, certain business and industrial development company (BIDCO) investments, and shareholder reports.
Public comments on the proposed rule amendments should be received by April 25, 2011. (Press Rel. 2011-59)
Commission Orders Hearings on Registration Suspension or Revocation Against Advanced Optics Electronics, Inc. for Failure to Make Required Periodic Filings
In conjunction with today’s trading suspension, the Commission also instituted a separate public administrative proceeding to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of Advanced Optics Electronics, Inc. for failure to make required periodic filings with the Commission:
In the Matter of Advanced Optics Electronics, Inc., et al., Administrative Proceeding File No. 3-14280
In the Order, the Division of Enforcement (Division) alleges that Advanced Optics Electronics, Inc. is delinquent in its required periodic filings with the Commission.
In these proceedings, 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 Respondent to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations 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 the proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64001; File No. 3-14280)
Eaton Vance Management, et al.
A notice has been issued giving interested persons until March 28, 2011, to request a hearing on an application filed by Eaton Vance Management, et al., 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 from 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-29591 – March 1)
Immediate Effectiveness of Proposed Rule Changes
NASDAQ OMX PHLX has filed a proposed rule change under Rule 19b-4 (SR-PHLX-2011-27) relating to amendments to Rules 200(g) and 201 of Regulation SHO applicable to complex orders. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63967)
A proposed rule change filed by BATS Exchange to Adopt BATS Rule 11.21, entitled “Input of Accurate Information” (SR-BATS-2011-007) 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 February 28. (Rel. 34-63969)
A proposed rule change filed by BATS Y-Exchange to Adopt BYX Rule 11.21, entitled “Input of Accurate Information” (SR-BYX-2011-004) 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 February 28. (Rel. 34-63970)
NYSE Arca has filed a proposed rule change under Rule 19b-4 (SR- NYSEARCA-2011-05) amending NYSE Arca Equities Rule 7.16 (Short Sales) in order to implement the provisions of Rule 201 of Regulation SHO under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63971)
NYSE Amex has filed a proposed rule change under Rule 19b-4 (SR-NYSEAMEX-2011-09) adopting Supplementary Material .20 to NYSE Amex Equities Rule 123C to provide for the treatment of short sale orders at the close. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63972)
New York Stock Exchange has filed a proposed rule change under Rule 19b-4 (SR-NYSE-2011-07) amending Rule 1600 (New York Block ExchangeSM) to add provisions on short sales in order to implement the provisions of Rule 201 of Regulation SHO under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63973)
NYSE Amex has filed a proposed rule change under Rule 19b-4 (SR-NYSEAMEX-2011-08) amending NYSE Amex Equities Rule 440B (Short Sales) in order to implement the provisions of Rule 201 of Regulation SHO under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63974)
NASDAQ OMX BX has filed a proposed rule change under Rule 19b-4 (SR-BX-2011-010) to adopt new Rule 4763 regarding short sales. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63975)
New York Stock Exchange has filed a proposed rule change under Rule 19b-4 (SR-NYSE-2011-06) adopting Supplementary Material .20 to Rule 123C to provide for the treatment of short sale orders at the close. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63976)
New York Stock Exchange has filed a proposed rule change under Rule 19b-4 (SR-NYSE-2011-05) amending its Rule 440B (Short Sales) in order to implement the provisions of Rule 201 of Regulation SHO under the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63977)
NASDAQ OMX PHLX has filed a proposed rule change under Rule 19b-4 (SR-PHLX-2011-25) to adopt new Rule 3303 to implement the amendments to Regulation SHO. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63978)
A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-21) relating to quality opening markets has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63979)
A proposed rule change filed by The NASDAQ Stock Market to offer market data to the public at no charge (SR-NASDAQ-2011-032) 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 February 28. (Rel. 34-63983)
A proposed rule change (SR-NASDAQ-2011-027) filed by The NASDAQ Stock Market to make clarifying changes to Rule 7002 concerning the application and collection of the Sales Fee 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 February 28. (Rel. 34-63984)
A proposed rule change (SR-Phlx-2011-23) filed by NASDAQ OMX PHLX relating to clarifying changes to Rules 607 and 3202 concerning the application and collection of the Covered Sale Fee 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 February 28. (Rel. 34-63985)
EDGA Exchange has filed a proposed rule change under Rule 19b-4 (SR-EDGA-2011-05) to amend EDGA Rules 11.5, 11.9, and 11.15 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63988)
EDGX Exchange has filed a proposed rule change under Rule 19b-4 (SR-EDGX-2011-04) to amend EDGX Rules 11.5, 11.9, and 11.15 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63989)
A proposed rule change filed by C2 Options Exchange to codify a fee schedule for the sale by Market Data Express, LLC, of a BBO data feed for C2 listed options (SR-C2-2011-007) 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 February 28. (Rel. 34-63996)
A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-014) to codify a fee schedule for the sale by Market Data Express, LLC, of a BBO data feed for CBOE listed options has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63997)
A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-018) to codify a fee schedule for the sale by Market Data Express, LLC, of a BBO data feed for securities traded on CBSX 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 February 28. (Rel. 34-63998)
Proposed Rule Change
NASDAQ OMX PHLX filed a proposed rule change (SR-PHLX-2011-13) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to amendments to NASDAQ OMX PHLX LLC’s Limited Liability Company Agreement, By-Laws, Rules, Advices and Regulations. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63981)
Accelerated Approval of Proposed Rule Change
The Commission issued a notice of filing of Amendment No. 1 and granted accelerated approval to a proposed rule change, as modified by Amendment No. 1, submitted by the Financial Industry Regulatory Authority (SR-FINRA-2010-061), pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, to adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63999)
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 Bering Exploration, Inc., 710 POST OAK, SUITE 410, HOUSTON, TX, 77024, 713-780-0806 - 2,250,000 ($1,867,500.00) Equity, (File 333-172530 - Mar. 1) (BR. 01C) S-8 WESCO INTERNATIONAL INC, COMMERCE COURT 4 STATION SQUARE, STE 700, PITTSBURGH, PA, 15219, 4124542200 - 0 ($162,080,186.00) Equity, (File 333-172531 - Mar. 1) (BR. 10C) S-3ASR KEY ENERGY SERVICES INC, 1301 MCKINNEY STREET, SUITE 1800, HOUSTON, TX, 77010, 713-651-4300 - 0 ($0.00) Equity, (File 333-172532 - Mar. 1) (BR. 04A) S-8 ENERNOC INC, 101 FEDERAL STREET, 11TH FLOOR, BOSTON, MA, 02110, (617) 224-9900 - 520,000 ($9,781,200.00) Equity, (File 333-172533 - Mar. 1) (BR. 03A) S-8 PRIMUS TELECOMMUNICATIONS GROUP INC, 7901 JONES BRANCH DRIVE, SUITE 900, MCLEAN, VA, 22102, 7039022800 - 0 ($812,860.19) Equity, (File 333-172534 - Mar. 1) (BR. 11C) S-8 SAVIENT PHARMACEUTICALS INC, ONE TOWER CENTER, EAST BRUNSWICK, NJ, 08816, 7324189300 - 250,000 ($2,307,500.00) Equity, (File 333-172536 - Mar. 1) (BR. 01C) S-3 NF Energy Saving Corp, 21-JIA BEI SI DONG ROAD, TIE XI QU SHEN YANG, F4, 00000, (8624) 2560-9750 - 0 ($6,000,000.00) Equity, (File 333-172537 - Mar. 1) (BR. 06B) S-8 ACACIA RESEARCH CORP, 500 NEWPORT CENTER DRIVE, 7TH FLOOR, NEWPORT BEACH, CA, 92660, 9494808300 - 500,000 ($14,345,000.00) Equity, (File 333-172538 - Mar. 1) (BR. 03B) S-8 WebMD Health Corp., 111 EIGHTH AVE., NEW YORK, NY, 10011, 212-624-3700 - 0 ($136,604,000.00) Equity, (File 333-172539 - Mar. 1) (BR. 03A) S-8 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 0 ($574,200,000.00) Equity, (File 333-172541 - Mar. 1) (BR. 09A) S-1 General Cannabis, Inc., 2183 FAIRVIEW ROAD, SUITE 101, COSTA MESA, CA, 92627, 1-888-693-5219 - 23,547,500 ($68,030,200.00) Equity, (File 333-172543 - Mar. 1) (BR. 02C) S-8 SUNOCO INC, 1735 MARKET STREET, SUITE LL, PHILADELPHIA, PA, 19103-7583, 2159773000 - 0 ($146,370,000.00) Equity, (File 333-172545 - Mar. 1) (BR. 04C) S-4 TRANSUNION CORP., 555 WEST ADAMS STREET, CHICAGO, IL, 60661, (312) 985-2000 - 0 ($645,000,000.00) Non-Convertible Debt, (File 333-172549 - Mar. 1) (BR. ) N-2 FIDUS INVESTMENT Corp, 1603 ORRINGTON AVENUE, SUITE 820, EVANSTON, IL, 60201, 847-859-3940 - 0 ($70,000,000.00) Equity, (File 333-172550 - Mar. 1) (BR. 22) S-3 INVESTORS CAPITAL HOLDINGS LTD, 230 BROADWAY EAST, LYNNFIELD, MA, 01940, 7815938565 - 3,608,820 ($19,036,526.00) Equity, (File 333-172551 - Mar. 1) (BR. 08A)
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 AASTROM BIOSCIENCES INC MI 2.02,9.01 02/28/11 Abtech Holdings, Inc. NV 2.01 02/10/11 AMEND ACCURIDE CORP DE 5.02 02/24/11 ACTUANT CORP WI 1.01,2.03 03/01/11 ACURA PHARMACEUTICALS, INC NY 2.02,8.01,9.01 03/01/11 ADVANCED MICRO DEVICES INC DE 5.02,9.01 02/24/11 AETHLON MEDICAL INC NV 7.01,9.01 03/01/11 AKORN INC LA 2.02,9.01 03/01/11 Alamo Energy Corp. NV 1.01,2.03,3.02,9.01 03/01/11 ALANCO TECHNOLOGIES INC AZ 1.01,9.01 03/01/11 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02,9.01 02/25/11 ALICO INC FL 9.01 02/28/11 AMEND Allied Nevada Gold Corp. DE 2.02,9.01 02/28/11 Allis Chalmers Energy Inc. DE 1.01,2.01,2.03,3.03, 02/22/11 5.01,5.03,8.01,9.01 Alpha Lujo, Inc. NY 5.02,9.01 02/23/11 ALTERNATE ENERGY HOLDINGS, INC. NV 5.02 02/23/11 AMERCO /NV/ NV 8.01,9.01 03/01/11 AMERICAN AIRLINES INC DE 7.01,9.01 03/01/11 American Renal Holdings Inc. DE 2.02,7.01 03/01/11 AMERICAN SIERRA GOLD CORP. NV 4.01 02/10/11 AMERIPRISE FINANCIAL INC DE 4.01,9.01 06/09/10 AMEND AMERISTAR NETWORK INC DE 1.01,9.01 02/28/11 AMR CORP DE 7.01,9.01 03/01/11 AMSURG CORP TN 5.02 02/23/11 AON CORP DE 8.01,9.01 03/01/11 Apartment Trust of America, Inc. 1.01,1.02,7.01,8.01, 02/24/11 9.01 Apple REIT Ten, Inc. VA 1.01,1.02 02/25/11 APPLIED ENERGETICS, INC. DE 5.02 02/23/11 Approach Resources Inc DE 1.01,2.01,2.03,9.01 02/23/11 ARCH COAL INC DE 5.02,7.01,9.01 02/23/11 ARES CAPITAL CORP MD 2.02,7.01,9.01 03/01/11 ARQULE INC DE 2.02,9.01 03/01/11 ARROW ELECTRONICS INC NY 8.01,9.01 03/01/11 ASPEN INSURANCE HOLDINGS LTD D0 1.01,2.03,8.01,9.01 02/28/11 ATWOOD OCEANICS INC TX 7.01,9.01 03/01/11 AUTOZONE INC NV 2.02,9.01 03/01/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 03/01/11 AXCESS INTERNATIONAL INC/TX DE 8.01 02/15/11 B&G Foods, Inc. DE 2.02,7.01,9.01 03/01/11 BA Credit Card Funding, LLC DE 8.01 03/01/11 Babcock & Wilcox Co DE 2.02,9.01 03/01/11 BANCFIRST CORP /OK/ OK 5.02 02/24/11 BANCFIRST CORP /OK/ OK 5.02 02/24/11 BANCORPSOUTH INC MS 7.01,9.01 03/01/11 BASSETT FURNITURE INDUSTRIES INC VA 1.01,9.01 02/25/11 BB&T CORP NC 7.01,9.01 03/01/11 BECKMAN COULTER INC DE 5.04,9.01 02/23/11 BERKSHIRE HILLS BANCORP INC 4.01,9.01 02/24/11 BERRY PETROLEUM CO DE 2.02,4.02,9.01 02/25/11 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 03/01/11 BIOGEN IDEC INC. DE 5.02 02/28/11 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 03/01/11 BJs RESTAURANTS INC CA 8.01,9.01 03/01/11 BLACKBOARD INC DE 8.01,9.01 03/01/11 BlackRock Kelso Capital CORP DE 7.01,9.01 03/01/11 Blugrass Energy, Inc. NV 2.01,3.02,4.01,5.01, 02/23/11 5.02,5.03,5.07,9.01 Boardwalk Pipeline Partners, LP DE 5.02 02/25/11 BOISE INC. DE 5.02,8.01,9.01 02/23/11 BOYD GAMING CORP NV 2.02,9.01 03/01/11 BRAINSTORM CELL THERAPEUTICS INC 1.01,3.02,9.01 02/22/11 BRANDYWINE REALTY TRUST MD 1.01,2.03,9.01 02/28/11 Bridgepoint Education Inc DE 1.01,2.02,2.03,9.01 02/28/11 BROOKLINE BANCORP INC DE 8.01,9.01 02/28/11 BROWN FORMAN CORP DE 7.01,9.01 03/01/11 BTU INTERNATIONAL INC DE 2.02,9.01 03/01/11 Burger King Holdings Inc DE 2.02,9.01 03/01/11 CAI International, Inc. 2.02,9.01 03/01/11 CAMDEN PROPERTY TRUST TX 5.02 02/23/11 CASELLA WASTE SYSTEMS INC DE 2.02,8.01,9.01 03/01/11 CCA INDUSTRIES INC DE 8.01,9.01 02/28/11 CENTERPOINT ENERGY INC 2.02,9.01 03/01/11 CenterState Banks, Inc. FL 5.02,9.01 02/28/11 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,7.01,9.01 03/01/11 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01,9.01 02/28/11 CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 03/01/11 Chelsea Therapeutics International, L DE 8.01,9.01 02/25/11 CHEMED CORP DE 1.01,2.03,9.01 03/01/11 CHICAGO BRIDGE & IRON CO N V 7.01,9.01 02/28/11 China Growth CORP E9 5.02 03/01/11 China Wi-Max Communications, Inc. NV 5.01 03/01/11 CIT GROUP INC DE 8.01,9.01 02/28/11 Citizens Community Bancorp Inc. MD 5.07 02/24/11 CleanTech Innovations, Inc. NV 3.01 02/28/11 Clearfield, Inc. MN 5.02,5.07 02/24/11 CLOROX CO /DE/ DE 5.02 02/24/11 CNS RESPONSE, INC. DE 1.01,2.03,3.02,9.01 02/23/11 Cobalt International Energy, Inc. 2.02,9.01 03/01/11 COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 02/28/11 COLE KENNETH PRODUCTIONS INC NY 5.02,8.01,9.01 03/01/11 COMARCO INC CA 5.02,5.03,9.01 02/23/11 COMMUNITY BANK SYSTEM INC DE 8.01 03/01/11 COMPETITIVE TECHNOLOGIES INC DE 5.03,9.01 03/01/11 COMSTOCK RESOURCES INC NV 1.01,7.01,9.01 02/28/11 CONSOL Energy Inc DE 5.02,5.03,9.01 02/23/11 CONTINENTAL RESOURCES INC OK 7.01,9.01 03/01/11 CONTINUCARE CORP 5.07 02/24/11 Converted Organics Inc. DE 5.07 02/28/11 CORELOGIC, INC. DE 2.06 12/22/10 AMEND CoreSite Realty Corp MD 5.05,9.01 02/23/11 AMEND COST PLUS INC/CA/ CA 5.02 02/23/11 COTT CORP /CN/ 5.02 02/23/11 COURIER CORP MA 8.01,9.01 03/01/11 CRC Health CORP DE 1.01,2.02,8.01 01/20/11 CRC Health CORP DE 5.02 03/01/11 CrowdGather, Inc. NV 1.01,7.01,9.01 02/28/11 CROWN HOLDINGS INC PA 5.02 02/24/11 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 02/28/11 CTC Media, Inc. 2.02 03/01/11 CULP INC NC 2.02,7.01,9.01 03/01/11 CVR ENERGY INC DE 5.02 02/23/11 CYBERDEFENDER CORP CA 2.02,9.01 02/28/11 CYBERDEFENDER CORP CA 1.01,2.03,9.01 02/25/11 CYTOKINETICS INC 5.02 02/27/11 DEAN FOODS CO DE 5.02,9.01 02/25/11 DELTA MUTUAL INC DE 4.01,9.01 02/16/11 AMEND DENDREON CORP DE 2.02,9.01 03/01/11 Destination Maternity Corp DE 5.02,5.07,8.01,9.01 02/25/11 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 03/01/11 DiamondRock Hospitality Co 2.02,7.01,9.01 03/01/11 Discover Card Execution Note Trust DE 1.01,8.01,9.01 02/25/11 Discovery Communications, Inc. DE 5.02,9.01 02/24/11 DISTRIBUTION MANAGEMENT SERVICES INC FL 2.02,9.01 02/28/11 DOMINOS PIZZA INC 2.02,9.01 03/01/11 DreamWorks Animation SKG, Inc. 4.01,9.01 10/21/10 AMEND DUPONT FABROS TECHNOLOGY, INC. MD 8.01 02/24/11 DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 02/24/11 DYNEGY INC. DE 5.02,8.01 03/01/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01 02/28/11 EASTERN VIRGINIA BANKSHARES INC VA 8.01 03/01/11 EDEN ENERGY CORP NV 7.01,9.01 02/28/11 Empire Sports & Entertainment Holding NV 1.01,2.03,3.02,9.01 02/23/11 ENCORE CAPITAL GROUP INC DE 8.01,9.01 03/01/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 03/01/11 ENDURANCE SPECIALTY HOLDINGS LTD 8.01,9.01 03/01/11 ENPRO INDUSTRIES, INC NC 8.01 03/01/11 Enstar Group LTD D0 5.02 02/23/11 EQUINIX INC DE 5.02 02/23/11 ERESEARCHTECHNOLOGY INC /DE/ DE 2.02,5.02,9.01 02/24/11 Essex Rental Corp. DE 7.01,9.01 03/01/11 ExamWorks Group, Inc. DE 2.01,3.02,7.01,9.01 02/28/11 EXTREME NETWORKS INC DE 5.02,9.01 03/01/11 Fairmount Bancorp, Inc. MD 5.02,5.07,9.01 02/23/11 Federal Home Loan Bank of Atlanta X1 1.01,3.03,9.01 02/28/11 Federal Home Loan Bank of Atlanta X1 2.03 03/01/11 Federal Home Loan Bank of Boston X1 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Boston X1 2.03 02/24/11 Federal Home Loan Bank of Chicago X1 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Chicago X1 2.03 02/23/11 Federal Home Loan Bank of Cincinnati X1 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/23/11 Federal Home Loan Bank of Dallas 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Des Moines X1 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/25/11 Federal Home Loan Bank of Indianapoli X1 1.01,3.03,7.01,9.01 02/26/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/01/11 Federal Home Loan Bank of New York X1 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of New York X1 2.03,9.01 02/23/11 Federal Home Loan Bank of Pittsburgh PA 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/23/11 Federal Home Loan Bank of San Francis X1 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of San Francis X1 2.03 02/23/11 Federal Home Loan Bank of Seattle 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Seattle 2.03 02/24/11 Federal Home Loan Bank of Topeka 1.01,3.03,7.01,9.01 02/28/11 Federal Home Loan Bank of Topeka 2.03,9.01 02/23/11 FERRO CORP OH 2.02,9.01 02/28/11 Fifth Season International, Inc. DE 4.01,9.01 03/01/11 Fifth Street Finance Corp DE 1.01,2.03,9.01 03/01/11 Fifth Street Finance Corp DE 1.01,2.03,9.01 03/01/11 FIFTH THIRD BANCORP OH 7.01,9.01 03/01/11 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.02,9.01 02/24/11 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.01,3.02,5.02,5.06, 09/15/10 AMEND 9.01 FIRST COMMUNITY BANK CORP OF AMERICA FL 1.01,9.01 02/24/11 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 03/01/11 FIRST FINANCIAL HOLDINGS INC /DE/ DE 5.02,9.01 03/01/11 FIRST INDUSTRIAL REALTY TRUST INC MD 1.01,8.01,9.01 02/28/11 FIRST MIDWEST BANCORP INC DE 7.01,9.01 03/01/11 FIRST SECURITY GROUP INC/TN TN 5.02 02/23/11 FLAGSTAR BANCORP INC MI 7.01,9.01 02/28/11 FLEETCOR TECHNOLOGIES INC DE 1.01,2.03,9.01 02/24/11 Ford Credit Floorplan Master Owner Tr DE 1.01,9.01 02/24/11 FORD MOTOR CO DE 8.01,9.01 03/01/11 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 03/01/11 FOREST CITY ENTERPRISES INC OH 5.02,9.01 03/01/11 Fortress Investment Group LLC DE 2.02,9.01 03/01/11 FOX PETROLEUM INC. NV 5.01,9.01 03/01/11 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 03/01/11 FRONTIER COMMUNICATIONS CORP DE 7.01,9.01 03/01/11 FTI CONSULTING INC MD 5.02 02/23/11 Fushi Copperweld, Inc. NV 8.01,9.01 03/01/11 General Growth Properties, Inc. DE 2.02,7.01,9.01 02/28/11 General Growth Properties, Inc. DE 1.01,5.02,5.03,5.05, 02/25/11 9.01 General Moly, Inc DE 5.02,8.01,9.01 02/25/11 Genesis Solar Corp CO 8.01 02/27/11 GenMark Diagnostics, Inc. DE 7.01,9.01 03/01/11 GenOn Energy, Inc. DE 2.02,9.01 03/01/11 GLOBAL CLEAN ENERGY, INC. MD 4.01 02/09/11 GLOBAL NUTECH, INC. 4.01,9.01 02/23/11 GLOBAL PARI-MUTUEL SERVICES, INC. NV 8.01,9.01 03/01/11 Golden Growers Cooperative MN 4.02 03/01/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 03/01/11 GRAY TELEVISION INC GA 2.02,9.01 03/01/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 02/25/11 Great Lakes Dredge & Dock CORP DE 8.01,9.01 03/01/11 Green St. Energy, Inc. DE 4.01,9.01 01/24/11 AMEND Guidance Software, Inc. DE 5.02,9.01 03/01/11 GULFMARK OFFSHORE INC DE 5.02 02/23/11 Gunpowder Gold Corp NV 3.02,9.01 02/24/11 HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 02/28/11 HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 03/01/11 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02,9.01 02/23/11 HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 12/31/10 HELICOS BIOSCIENCES CORP DE 5.02 02/25/11 Heritage-Crystal Clean, Inc. DE 1.01,2.03,9.01 02/23/11 HF FINANCIAL CORP DE 7.01,9.01 03/01/11 HICKORY TECH CORP MN 2.02,9.01 03/01/11 High Plains Gas, Inc. NV 3.02,9.01 03/01/11 HOLLY CORP DE 1.02,5.02,9.01 02/23/11 Horizon Lines, Inc. 8.01,9.01 03/01/11 HOVNANIAN ENTERPRISES INC DE 9.01 01/31/11 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 1.01,2.03,3.02,9.01 02/23/11 IMMERSION CORP DE 5.02 02/23/11 Industrial Income Trust Inc. MD 8.01,9.01 03/01/11 INFRASTRUCTURE MATERIALS CORP. DE 1.01,9.01 02/25/11 INSMED INC VA 5.07,8.01,9.01 03/01/11 Intelimax Media Inc. 1.01,9.01 02/23/11 International Surf Resorts, Inc. NV 5.02,9.01 02/22/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 2.02,9.01 02/25/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 02/25/11 Intrepid Potash, Inc. DE 5.02,9.01 02/23/11 Invesco Mortgage Capital Inc. MD 2.02,9.01 03/01/11 ION GEOPHYSICAL CORP DE 7.01 02/25/10 ISLE OF CAPRI CASINOS INC DE 7.01,9.01 03/01/11 IsoRay, Inc. MN 5.07 02/24/11 ISSUER DIRECT CORP 2.02,9.01 03/01/11 J CREW GROUP INC DE 5.07,8.01,9.01 03/01/11 KANSAS CITY SOUTHERN DE 3.03,5.02,9.01 02/23/11 KEY ENERGY SERVICES INC MD 7.01,9.01 03/01/11 KEY ENERGY SERVICES INC MD 7.01,9.01 03/01/11 KEY ENERGY SERVICES INC MD 1.01,3.03,8.01,9.01 03/01/11 KINDRED HEALTHCARE, INC DE 1.01,9.01 02/25/11 KINGSTONE COMPANIES, INC. DE 5.02,9.01 03/01/11 Kohlberg Capital CORP DE 8.01,9.01 03/01/11 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 03/01/11 LAKELAND FINANCIAL CORP IN 5.02,9.01 02/28/11 LAKELAND INDUSTRIES INC DE 5.02,9.01 03/01/11 LEGEND INTERNATIONAL HOLDINGS INC DE 7.01 02/24/11 LEXMARK INTERNATIONAL INC /KY/ DE 5.02,9.01 02/23/11 LHC Group, Inc 8.01,9.01 03/01/11 LIBERTY SILVER CORP NV 8.01,9.01 02/28/11 Lightyear Network Solutions, Inc. NV 8.01 02/26/11 LOGIC DEVICES Inc CA 1.01 02/25/11 LYDALL INC /DE/ DE 2.02,9.01 03/01/11 MAJESCO ENTERTAINMENT CO DE 5.02 02/23/11 Majestic Capital, Ltd. 8.01,9.01 02/28/11 MAKO Surgical Corp. DE 2.02,9.01 03/01/11 MAP Pharmaceuticals, Inc. DE 2.02,9.01 03/01/11 MARKWEST ENERGY PARTNERS L P 2.02,9.01 02/28/11 MARTIN MARIETTA MATERIALS INC NC 8.01 02/23/11 MB FINANCIAL INC /MD MD 5.03,9.01 02/23/11 MBIA INC CT 2.02,7.01,9.01 03/01/11 McCormick & Schmicks Seafood Restaura 2.02,9.01 03/01/11 MCDERMOTT INTERNATIONAL INC R1 2.02,9.01 03/01/11 MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 03/01/11 METLIFE INC DE 8.01,9.01 03/01/11 MICROMET, INC. DE 5.02 02/23/11 MITEK SYSTEMS INC DE 1.01,5.07,9.01 02/23/11 MITEL NETWORKS CORP 1.01,2.02,9.01 03/01/11 MOD PAC CORP NY 2.02,9.01 03/01/11 MOODYS CORP /DE/ DE 5.02 02/23/11 Morgans Hotel Group Co. DE 2.02,9.01 03/01/11 MUSTANG ALLIANCES, INC. 1.01,9.01 02/22/11 MYLAN INC. PA 5.02 03/01/11 NATIONAL PENN BANCSHARES INC PA 8.01 03/01/11 NATUS MEDICAL INC DE 2.02,9.01 03/01/11 NEKTAR THERAPEUTICS DE 2.02,9.01 03/01/11 NeoStem, Inc. DE 7.01,9.01 02/28/11 NEPHROS INC DE 8.01,9.01 02/28/11 Neuralstem, Inc. DE 7.01,9.01 03/01/11 NEW ENERGY TECHNOLOGIES, INC. 5.03,7.01 02/24/11 NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 03/01/11 NEWCASTLE INVESTMENT CORP MD 2.02,9.01 03/01/11 Nielsen Holdings N.V. P7 2.02,9.01 03/01/11 NOBILITY HOMES INC FL 3.01,9.01 02/23/11 NPS PHARMACEUTICALS INC DE 8.01,9.01 03/01/11 NTELOS HOLDINGS CORP 5.02 02/28/11 NV ENERGY, INC. NV 2.02,9.01 02/28/11 OCEANEERING INTERNATIONAL INC DE 7.01 03/01/11 OGE ENERGY CORP. OK 7.01 03/01/11 OLIN CORP VA 7.01,9.01 02/28/11 OLIN CORP VA 7.01,9.01 03/01/11 ON ASSIGNMENT INC DE 1.01,8.01,9.01 03/01/11 ONEOK INC /NEW/ OK 7.01,9.01 03/01/11 ONEOK Partners LP DE 7.01,9.01 03/01/11 ORBIT INTERNATIONAL CORP DE 1.01 02/25/11 ORRSTOWN FINANCIAL SERVICES INC PA 7.01,9.01 03/01/11 Ottawa Savings Bancorp, Inc. X1 8.01 02/28/11 OWENS MORTGAGE INVESTMENT FUND A CALI CA 8.01,9.01 02/28/11 OYO GEOSPACE CORP DE 5.07 02/24/11 Pacific Biomarkers, Inc. DE 5.02 02/26/11 PACIFIC HEALTH CARE ORGANIZATION INC 4.01,9.01 02/23/11 PATRICK INDUSTRIES INC IN 2.02,9.01 03/01/11 PDI INC 5.02 02/25/11 Peninsula Gaming, LLC DE 2.02,9.01 03/01/11 PENN VIRGINIA CORP VA 5.02,9.01 02/23/11 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 02/23/11 PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 03/01/11 People's United Financial, Inc. DE 8.01,9.01 03/01/11 PETSMART INC DE 2.02,9.01 03/01/11 PHH CORP MD 2.02,9.01 03/01/11 AMEND PLURISTEM THERAPEUTICS INC NV 8.01 03/01/11 PNC FINANCIAL SERVICES GROUP INC PA 5.02 02/23/11 PNM RESOURCES INC NM 8.01,9.01 02/28/11 PNM RESOURCES INC NM 2.02,9.01 03/01/11 POLARIS INDUSTRIES INC/MN MN 1.01,9.01 02/28/11 PORTSMOUTH SQUARE INC CA 5.07 02/24/11 POSITIVEID Corp DE 1.01 02/24/11 PREMIER EXHIBITIONS, INC. FL 5.02,5.03,9.01 03/01/11 PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 03/01/11 PRGX GLOBAL, INC. GA 2.02,9.01 02/28/11 PRIVATEBANCORP, INC DE 5.02 02/23/11 PROCTER & GAMBLE CO OH 5.02 03/01/11 PROVECTUS PHARMACEUTICALS INC NV 7.01,9.01 03/01/11 PROVIDENT FINANCIAL HOLDINGS INC DE 5.02,9.01 02/24/11 PSM HOLDINGS INC NV 3.02,5.02,9.01 02/23/11 PUBLIC MEDIA WORKS INC DE 3.02 02/28/11 PUBLIX SUPER MARKETS INC FL 2.02,9.01 03/01/11 PURE BIOSCIENCE CA 5.02 02/25/11 QLIK TECHNOLOGIES INC DE 2.02,9.01 03/01/11 QLT INC/BC A1 2.02,9.01 03/01/11 RadNet, Inc. DE 1.01,2.03,9.01 02/23/11 RANGE RESOURCES CORP DE 2.02,9.01 02/28/11 RASER TECHNOLOGIES INC UT 8.01,9.01 03/01/11 REDWOOD TRUST INC MD 7.01,9.01 03/01/11 REGIONS FINANCIAL CORP DE 7.01,9.01 03/01/11 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 03/01/11 RIGEL PHARMACEUTICALS INC DE 2.02,9.01 03/01/11 RITE AID CORP DE 8.01,9.01 03/01/11 RIVERSOURCE LIFE INSURANCE CO MN 4.01,9.01 06/09/10 AMEND Roadrunner Transportation Systems, In DE 5.02 02/23/11 ROWAN COMPANIES INC DE 5.02,9.01 02/25/11 Rx Technologies Corp. 1.01,2.01,3.02,9.01 02/25/11 RXI PHARMACEUTICALS CORP 1.01,8.01,9.01 02/28/11 RYDER SYSTEM INC FL 7.01,9.01 03/01/11 SALIX PHARMACEUTICALS LTD 2.02,8.01,9.01 02/23/11 SCIENTIFIC GAMES CORP DE 2.02,9.01 03/01/11 SCOTTS MIRACLE-GRO CO OH 1.01,2.01,7.01,9.01 02/23/11 SeaBright Holdings, Inc. DE 2.02,9.01 03/01/11 SED INTERNATIONAL HOLDINGS INC DE 8.01,9.01 03/01/11 SGB International Holdings Inc. A1 8.01 02/19/11 Solar Capital Ltd. MD 2.02,9.01 03/01/11 Solera National Bancorp, Inc. DE 5.02 02/23/11 SOUTHWEST GAS CORP CA 5.02 03/01/11 SOUTHWESTERN ENERGY CO DE 7.01 03/01/11 SPECTRASCIENCE INC MN 1.01,5.02,9.01 02/24/11 ST JOE CO FL 5.01,5.02,9.01 02/23/11 STAGE STORES INC NV 8.01,9.01 02/25/11 STANDARD MICROSYSTEMS CORP DE 2.05 02/24/11 STANDARD PACIFIC CORP /DE/ DE 1.01,2.03,9.01 02/28/11 STARWOOD PROPERTY TRUST, INC. 2.02,5.02,9.01 02/23/11 Steadfast Income REIT, Inc. MD 9.01 12/22/10 AMEND Subprime Advantage, Inc. NV 1.01 03/01/11 SUN HEALTHCARE GROUP INC DE 2.02,9.01 03/01/11 SUPERMEDIA INC. DE 5.02,9.01 02/25/11 Suspect Detection Systems, Inc. DE 4.02 02/28/11 AMEND SYNTA PHARMACEUTICALS CORP 8.01,9.01 02/26/11 T3 Motion, Inc. DE 1.01,2.03,3.02,9.01 02/24/11 TECH DATA CORP FL 2.02,9.01 03/01/11 TECHNOLOGY RESEARCH CORP FL 5.02,9.01 02/24/11 TECUMSEH PRODUCTS CO MI 5.03,9.01 06/29/10 TENGION INC 1.01,3.02,9.01 03/01/11 Tennessee Commerce Bancorp, Inc. TN 5.02,9.01 02/22/11 TERREMARK WORLDWIDE INC. DE 1.01,8.01,9.01 02/28/11 TFS Financial CORP DE 5.07 02/24/11 THERAGENICS CORP DE 5.02 02/25/11 TigerLogic CORP DE 5.07 02/24/11 TIVO INC DE 2.02,9.01 03/01/11 TNP Strategic Retail Trust, Inc. MD 5.02,7.01,8.01,9.01 02/25/11 Tornier N.V. P7 2.02,9.01 03/01/11 Tower Group, Inc. DE 2.02,9.01 02/28/11 Tower Group, Inc. DE 7.01,9.01 03/01/11 TRILLIANT EXPLORATION CORP NV 5.02,9.01 03/01/11 TRUSTMARK CORP MS 7.01,9.01 03/01/11 TRX INC/GA GA 2.02,9.01 12/31/10 UNISYS CORP DE 5.03,8.01,9.01 02/28/11 United Continental Holdings, Inc. DE 7.01,9.01 03/01/11 United Health Products, Inc. NV 5.02 02/23/11 UNITED ONLINE INC DE 1.01,1.02,3.03,9.01 02/28/11 UNITED STATIONERS INC DE 8.01,9.01 03/01/11 UNITED SURGICAL PARTNERS INTERNATIONA DE 7.01,9.01 03/01/11 UNITEDHEALTH GROUP INC MN 7.01 03/01/11 UNIVERSAL AMERICAN CORP. NY 8.01,9.01 03/01/11 US GEOTHERMAL INC DE 8.01,9.01 03/01/11 Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 03/01/11 Vanguard Natural Resources, LLC DE 2.02,9.01 03/01/11 AMEND VASCULAR SOLUTIONS INC MN 8.01 02/28/11 VERENIUM CORP DE 2.02,9.01 03/01/11 VERIFONE SYSTEMS, INC. DE 2.02,9.01 03/01/11 VERIFONE SYSTEMS, INC. DE 2.02,9.01 03/01/11 VERTEX PHARMACEUTICALS INC / MA MA 8.01,9.01 02/23/11 VIAD CORP DE 5.02,5.03,9.01 02/23/11 VISANT CORP 1.01,2.03,8.01,9.01 03/01/11 VITAL IMAGES INC MN 5.02 02/23/11 Vocus, Inc. DE 1.01,2.01,9.01 02/24/11 Vulcan Materials CO NJ 8.01 02/28/11 Weatherford International Ltd./Switze V8 2.02,4.02,7.01 02/28/11 WEBSTER FINANCIAL CORP DE 7.01 02/28/11 WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 02/28/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 8.01,9.01 03/01/11 WESBANCO INC WV 7.01,9.01 03/01/11 WHITE MOUNTAINS INSURANCE GROUP LTD D0 5.02 02/24/11 Wilber CORP 5.02 10/31/10 WINNEBAGO INDUSTRIES INC IA 5.02 02/28/11 Wonder Auto Technology, Inc NV 4.02,9.01 02/23/11 X RITE INC MI 2.02,7.01,9.01 03/01/11 XCEL ENERGY INC MN 7.01 03/01/11 XL GROUP PLC L2 5.02,9.01 02/24/11 XOMA LTD /DE/ DE 5.02 02/28/11 YRC Worldwide Inc. DE 1.01 02/28/11 AMEND ZIOPHARM ONCOLOGY INC DE 2.02,9.01 03/01/11