SEC Names Jeanette M. Franzel to The Public Company Accounting Oversight Board
The Securities and Exchange Commission today announced that it has named Jeanette M. Franzel to be a member of the Public Company Accounting Oversight Board (PCAOB). Ms. Franzel, currently a Managing Director of the U.S. Government Accountability Office (GAO) with over 20 years of public service, will replace Daniel L. Goelzer, one of the founding members and a former interim Chairman of the five-member Board.
The Sarbanes-Oxley Act of 2002 created the PCAOB to provide independent oversight of audits of public companies and broker-dealers. The Board is responsible for setting audit standards and for registering, inspecting, and disciplining public accounting firms. The SEC oversees the PCAOB and appoints its members.
“Jeanette’s commitment to the public trust and America’s investors is demonstrated by her life-long public service and her constant dedication to increasing accountability, audit quality and audit standards,” said SEC Chairman Mary L. Schapiro. “She has extensive hands-on experience leading financial audits and deep expertise in audit quality control which will serve the PCAOB well as it continues to execute a rigorous standard-setting, inspections, and enforcement agenda.”
“I would like to thank Dan Goelzer for nearly a decade of service at the PCAOB and for continuing to serve while the search for a new member of the Board was underway,” Chairman Schapiro added. “I wish him the very best in his future endeavors.”
SEC Chief Accountant James L. Kroeker said, “We look forward to working with Jeanette on the PCAOB’s important statutory mission of overseeing the auditors of public companies and SEC-registered broker-dealers. Her qualifications as a nationally and internationally recognized expert in auditing standards will benefit the PCAOB as it works to protect the interests of investors and strengthen audit quality.”
Ms. Franzel currently leads all aspects of GAO’s financial audit oversight of the U.S. federal government. She heads a team of approximately 250 staff that focuses on financial and performance audits, proper use of federal funds, internal control, financial systems, and federal audit and financial management policy. Ms. Franzel is a Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Management Accountant (CMA), and Certified Government Financial Manager (CGFM). She received her bachelor’s degree from the College of St. Teresa and holds an M.B.A. from George Mason University.
“I am honored to continue serving the public interest in my new role as a member of the PCAOB. I look forward to advancing the agenda to strengthen investor protection through high quality audits of public companies and broker-dealers,” said Ms. Franzel. (Press Rel. 2012-24)
In the Matter of Khurram Tanwir
On February 3, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Khurram Tanwir. The Order finds that Tanwir was, during the period June 1, 2001 through February 11, 2004 (the relevant period), the president of MB Holdings USA, Inc. (MB Holdings), an unregistered broker-dealer, and a registered representative associated with broker-dealers registered with the Commission. The Order further finds that on December 3, 2008, a final judgment was entered against Tanwir permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder, and from participating in offerings of penny stock, in the civil action entitled Securities and Exchange Commission v. OCC Holdings, Ltd., et al., 04 Civ.1122, in the United States District Court for the Southern District of New York, and the Commission’s complaint in that action alleged, among other things, that during the relevant period, Tanwir fraudulently raised more than $2 million from investors of OnCallContractor.com, MB Holdings, and Savvydata, Inc. Finally, the Order finds that on March 22, 2010, Tanwir pleaded guilty to conspiracy to commit securities, mail and wire fraud, and mail fraud, in violation of Title 15 United States Code, Sections 78j(b) and 78ff, and Title 18 United States Code, Sections 1341 and 1343 before the United States District Court for the Eastern District of New York in United States of America v. Labiner, et al., 1:09cr807. Tanwir also pleaded guilty to criminal contempt for violating the antifraud injunction imposed on him in SEC v. OCC Holdings, in violation of Title 18 United States Code, Section 402.
Based on the above, the Order bars Tanwir from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Tanwir consented to the issuance of the Order without admitting or denying any of the findings, except that he admitted the Commission’s jurisdiction and the entry of the injunction and his guilty plea (Rel. 34-66316; File No. 3-14740)
In the Matter of Margaret Grey
On February 3, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Margaret Grey (Grey). The Order is being issued following acceptance by the Commission of an Offer of Settlement by Grey in this administrative proceeding, which was instituted on August 29, 2011. The Order bars Grey from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock.
The Order finds that on August 2, 2011, the United States District Court for the Southern District of California, in the civil action entitled SEC v. Nova Gen Corp., et al., Civil Action No. CV-09-2711, entered a judgment of permanent injunction and other relief against Grey, which permanently enjoined her from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder.
Grey consented to the Order without admitting or denying the findings set forth in the Order, except as to jurisdiction and the entry of the injunction against her. (Rel. 34-66317; File No. 3-14517)
In the Matter of Alan Labineri
On February 3, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Alan Labineri. The Order finds that Labineri was, during the period June 1, 2001 through February 11, 2004 (the relevant period), the president of Equity Service Associates and controlled Off World Strategic Holdings, Millenium Entertainment Group and IncredibleArt.com, Inc., companies to which proceeds from various fraudulent offerings, including OnCallContractor.com/OCC Holdings offerings, were transferred. From April 1994 to January 1997, Labineri worked as a registered representative for six registered broker-dealers. Labineri has not been registered with a broker-dealer since January 1997. During the period of the conduct underlying Labineri’s criminal conviction in October 2011, Labineri was associated with a broker-dealer. The Order further finds that on December 3, 2008, a final judgment was entered against Labineri permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder, and from participating in offerings of penny stock in the civil action entitled Securities and Exchange Commission v. OCC Holdings, Ltd., et al., 04 Civ.1122, in the United States District Court for the Southern District of New York. Finally, the Order finds that on October 20, 2011, Labineri pleaded guilty to conspiracy to commit securities, mail and wire fraud, and mail fraud in violation of Title 15, United States Code, Section 78j(b) and 78ff, and Title 18 United States Code Section 1341 in the criminal action entitled United States of America v. Labineri, et al., 1:09cr807, in the United States District Court for the Eastern District of New York.
Based on the above, the Order bars Labineri from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Labineri consented to the issuance of the Order without admitting or denying any of the findings, except that he admitted the Commission’s jurisdiction and the entry of the injunction and his guilty plea (Rel. 34-66318; File No. 3-14741).
Final Judgment Entered Settling Commission’s Insider Trading Case Against Attorney
The United States Securities and Exchange Commission announced today that, on January 27, 2012, the Honorable Richard J. Holwell of the United States District Court for the Southern District of New York entered a final judgment against Todd Leslie Treadway. The judgment enjoins Treadway from violating Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Treadway has also been ordered to pay full disgorgement of the ill-gotten gains plus prejudgment interest and a civil penalty limited to $10,000 based on his current financial condition.
The Commission’s complaint in this case alleged that in 2007, and again in 2008, Treadway, while employed as an attorney in the New York office of Dewey & LeBoeuf, used material, non-public information he obtained through his position at the firm to purchase stock in two separate companies prior to the announcement of the acquisition. In June 2007, Treadway purchased securities in Accredited Home Lenders Holding Company, and in May 2008, Treadway purchased securities in CNET Networks, Inc. According to the complaint, Treadway’s illegal trading resulted in profits of approximately $27,000. See Litigation Release No. 21877 (March 7, 2011).
The Commission also announced today the issuance of an administrative order pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice suspending Treadway from appearing or practicing before the Commission as an attorney.
Treadway consented to the entry of the judgment and the issuance of the Order.
Lloyd V. Barriger, Monticello, New York Investment Adviser, is Permanently Enjoined and Barred From the Securities Industry
On December 14, 2011, the Honorable Cathy Seibel, United States District Judge for the Southern District of New York, entered a judgment permanently enjoining Lloyd V. Barriger from violating the registration and antifraud provisions of the federal securities laws. The judgment further orders Barriger to disgorge ill-gotten gains, together with prejudgment interest, and pay a civil penalty, but defers the Court’s determination of the amount of disgorgement and penalty to be paid until a later date, pending a motion by the Commission. Barriger consented to entry of the judgment without admitting or denying the allegations in the Commission’s complaint.
In a related administrative proceeding, on January 11, 2012, the Commission issued 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 Barriger. The Order bars Barriger from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock. (Rel. 34-66142; File No. 3-14688). Barriger consented to the issuance of the Order without admitting or denying any of the findings except he admitted to the entry of the final judgment.
The Commission’s complaint, filed on May 13, 2011 in federal court in White Plains, New York, charged Barriger with fraud in connection with two upstate New York real estate funds he managed – the Gaffken & Barriger Fund, LLC (the G&B Fund or the Fund), and Campus Capital Corp. (Campus). The complaint alleged that from at least July 2006 until March 5, 2008, when he froze the Fund and disclosed to investors its true financial condition, Barriger defrauded investors and prospective investors in the G&B Fund by misrepresenting that the Fund was a relatively safe and liquid investment that paid a minimum “Preferred Return” of 8% per year. The complaint further alleges that Barriger made these misrepresentations knowing, or recklessly disregarding, that the Fund’s actual performance did not justify these performance claims, and without disclosing information about the Fund’s true performance and financial condition – which rapidly deteriorated in 2007 and early 2008 as Barriger continued to raise money from new and existing investors.
The Commission’s complaint also alleged that Barriger defrauded the G&B Fund itself by (a) allocating the Preferred Return to investors when the Fund did not have sufficient income to justify the allocation; and (b) by, when the Fund lacked the income to support those allocations and payments, causing the Fund to pay cash distributions of the Preferred Returns to those Fund investors who requested them, and to redeem investors at values reflecting the purportedly accrued 8% per year Preferred Return.
Finally, the complaint alleged that Barriger defrauded Campus and its prospective investors by (1) causing Campus to inject a total of nearly $2.5 million into the G&B Fund between August 2007 and April 2008 at a time when the G&B Fund was in distress; (2) by raising money for Campus without disclosing to investors his use of Campus’s assets to prop up the ailing G&B Fund; and (3) by causing Campus to engage in other transactions that personally benefitted Barriger, without disclosing that to prospective Campus investors.
The complaint alleged that, as a result of the foregoing, Barriger violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940). The judgment entered on December 14th permanently enjoins Barriger from violating those provisions.
Barriger has also been criminally charged in connection with the conduct alleged in the Commission’s complaint. United States v. Lloyd Barriger, 11 Cr. 416 (CS) (S.D.N.Y.). [SEC v. Lloyd V. Barriger, 11 Civ. 3250 (CS) (S.D.N.Y.)] (LR-22249)
In the Matter of Craig Drimal; In the Matter of David Plate
The Securities and Exchange Commission announced today that on January 31, 2012, The Honorable Richard J. Sullivan of the United States District Court for the Southern District of New York, entered judgments against David Plate and Craig Drimal in SEC v. Cutillo et al., 09-CV-9208, an insider trading case the SEC filed on November 5, 2009. The SEC charged Drimal, a former trader who worked out of the offices of Galleon Management, LP, and Plate, a former proprietary trader at the broker-dealer Schottenfeld Group, LLC, with trading on inside information related to corporate acquisitions.
The SEC’s complaint alleged that Arthur Cutillo, a former attorney with the law firm Ropes & Gray LLP, misappropriated from his law firm material, nonpublic information concerning the potential acquisitions, and tipped the inside information, through another attorney, to Zvi Goffer, a proprietary trader at Schottenfeld, in exchange for kickbacks. The complaint further alleged that Goffer tipped the information to a number of individuals, including Drimal and Plate. As alleged in the complaint, Drimal traded on, and tipped, inside information in advance of the announced acquisitions of Avaya Inc. in June 2007, 3Com Corp. in September 2007 and Axcan Pharma Inc. in November 2007, and Plate traded on inside information in advance of the Axcan announcement.
To settle the SEC’s charges, Drimal and Plate each consented to the entry of a final judgment that: (i) permanently enjoins each from violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; and (ii) orders each to pay disgorgement plus prejudgment interest. The final judgment against Drimal orders disgorgement of $6,711,805, plus prejudgment interest of $970,481. The final judgment against Plate orders disgorgement of $134,983, plus prejudgment interest of $17,460. In related administrative proceedings, Drimal and Plate each consented to the entry of an SEC order barring each from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent, and barring each from participating in any offering of a penny stock. The SEC previously announced the entry of a judgment against Plate in a separate case alleging insider trading in connection with other securities. See SEC v. Galleon, LP, et al., No. 09-CIV-8811 (S.D.N.Y.) (JSR).
In related criminal cases, Drimal and Plate previously pled guilty to charges of securities fraud and conspiracy to commit securities fraud. United States v. Craig Drimal, 10-CR-0056 (S.D.N.Y.) and United States v. David Plate, 10-CR-0056 (S.D.N.Y.). Drimal was sentenced to a five and one-half year prison term and ordered to pay criminal forfeiture of $11,000,000. Plate was sentenced to six months of home confinement and three years probation, and ordered to pay criminal forfeiture of $289,000. (Plate - Rel. 34-66313; File No. 3-14738 and Drimal – Rel. 34-66314; File No. 3-14739); [SEC v. Cutillo, et al., Civil Action No. 09-CV-9208 (S.D.N.Y.) (RJS)] (LR-22250)
Central Securities Corporation
An order has been issued on an application filed by Central Securities Corporation under Sections 6(c), 17(d) and 23(c) of the Investment Company Act of 1940 (Act) and Rule 17d-1 under the Act. The order permits the applicant to adopt an incentive compensation plan. (Rel. IC-29940 - February 1)
Rand Capital Corporation, et al.
A notice has been issued giving interested persons until February 27, 2012 to request a hearing on an application filed by Rand Capital Corporation (Rand), et al. for an order under Sections 6(c), 12(d)(1)(J), and 57(c) of the Investment Company Act of 1940 (Act) granting exemptions from Sections 12(d)(1)(A) and (C), 18(a), 21(b), 57(a)(1) - (a)(3), and 61(a) of the Act; under Section 57(i) of the Act and Rule 17d-1 under the Act to permit certain joint transactions otherwise prohibited by Section 57(a)(4) of the Act; and under Section 12(h) of the Securities Exchange Act of 1934 (Exchange Act) granting an exemption from Section 13(a) of the Exchange Act. The order would permit Rand, a business development company (BDC) and its wholly-owned small business investment company (SBIC) subsidiary and any future wholly-owned BDC subsidiaries to engage in certain transactions that otherwise would be permitted if Rand and such subsidiaries were one company and to file certain reports on a consolidated basis, and permit Rand to adhere to a modified asset coverage requirement. (Rel. IC-29941 – February 1)
Henderson Global Funds, et al.
A notice has been issued giving interested persons until February 27, 2012, to request a hearing on an application filed by Henderson Global Funds, Henderson Global Investors (North America) Inc., and Henderson Investment Management Limited for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29942 - February 1)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC to offer a new product, TradeInfo PHLX, and amend the Fee Schedule to add a related subscription fee (SR-Phlx-2012-04) 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 6. (Rel. 34-66284)
A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-005) relating to Minor Rule Violation Plan 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 6. (Rel. 34-66286)
A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to delay the implementation date for amendments to the Trading Activity Fee rate for transactions in covered equity securities (SR-FINRA-2012-008) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66287)
A proposed rule change filed by The NASDAQ Stock Market LLC to modify fees assessed for subscription to WebLink ACT under Rule 7015(e) (SR-NASDAQ-2012-017) 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 6. (Rel. 34-66288)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change submitted by NASDAQ OMX PHLX LLC (SR-Phlx-2011-175) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 regarding strike price intervals for SLV and USO options. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66285)
The Commission has granted approval of a proposed rule change submitted by NASDAQ OMX BX, Inc. (SR-BX-2011-084) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to reduce the duration of the Price Improvement Period (“PIP”) from one second to one hundred milliseconds. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66306)
The Commission granted approval of a proposed rule change submitted by the BATS Exchange, Inc. (SR-BATS-2011-051), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, to implement a Competitive Liquidity Provider Program. Publication is expected in the Federal Register during the week of February 6. (Rel. 34-66307)
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-1 PACIFIC DIGITAL U.S.A CORP, 6623 LAS VEGAS BLVD SOUTH, SUITE 255, LAS VEGAS, NV, 89119, (702)360-0652 - 2,000,000 ($100,000.00) Equity, (File 333-179295 - Feb. 2) (BR. 03) S-1 Vantone Realty Corp, 12520 A1 WESTHEIMER #138, HOUSTON, TX, 77077, 281-575-0636 - 0 ($100,000.00) Equity, (File 333-179302 - Feb. 2) (BR. ) S-4 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027, 7136939300 - 0 ($4,429,221.00) Equity, (File 333-179303 - Feb. 2) (BR. 07B) S-1 Foresight Energy Partners LP, 211 NORTH BROADWAY, SUITE 2600, ST. LOUIS, MO, 63102, 314-932-6160 - 0 ($100,000,000.00) Limited Partnership Interests, (File 333-179304 - Feb. 2) (BR. 09) S-8 ON TRACK INNOVATIONS LTD, P O BOX 32, ZHR INDUSTRIAL ZONE, ROSH PINAISRAEL, L3, 2126616500 - 1,000,000 ($1,240,780.00) Equity, (File 333-179306 - Feb. 2) (BR. 10B) S-8 CIGNA CORP, 900 COTTAGE GROVE ROAD, BLOOMFIELD, CT, 06002, 8602266000 - 2,712,497 ($65,039,389.71) Equity, (File 333-179307 - Feb. 2) (BR. 01A) S-3 AMERICAN EXPRESS CREDIT ACCOUNT MASTER TRUST, 6985 UNION PARK CENTER, MIDVALE, UT, 84047, 8015655000 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-179309 - Feb. 2) (BR. OSF) S-8 CENTERPOINT ENERGY INC, 1111 LOUISIANA ST., HOUSTON, TX, 77002, 7132073000 - 0 ($1,094,400,000.00) Equity, (File 333-179310 - Feb. 2) (BR. 02C) S-1 GLOBAL GROUP ENTERPRISES CORP., 221 BEACH RD., SIESTA KEY, FL, 34242, 941-284-5053 - 3,000,000 ($34,500.00) Equity, (File 333-179311 - Feb. 2) (BR. ) S-8 Neonode, Inc, 2700 AUGUSTINE DRIVE, SUITE 100, SANTA CLARA, CA, 95054, 925-355-2000 - 2,000,000 ($8,960,000.00) Equity, (File 333-179313 - Feb. 2) (BR. 10B) S-3 NEW YORK MORTGAGE TRUST INC, 52 VANDERBILT AVENUE, SUITE 403, NEW YORK, NY, 10017, (212) 792-0107 - 0 ($250,000,000.00) Equity, (File 333-179314 - Feb. 2) (BR. 08B) S-8 Post Holdings, Inc., 2503 S. HANLEY ROAD, ST. LOUIS, MO, 63144, 314-644-7600 - 0 ($22,060,500.00) Other, (File 333-179315 - Feb. 2) (BR. 04) S-8 Post Holdings, Inc., 2503 S. HANLEY ROAD, ST. LOUIS, MO, 63144, 314-644-7600 - 0 ($75,390,000.00) Equity, (File 333-179316 - Feb. 2) (BR. 04) S-8 SALESFORCE COM INC, THE LANDMARK, ONE MARKET STREET STE.300, SAN FRANCISCO, CA, 94105, 0 ($1,767,467.00) Equity, (File 333-179317 - Feb. 2) (BR. 03B) S-8 ELLIE MAE INC, 4155 HOPYARD ROAD, SUITE 200, PLEASANTON, CA, 94588, 925-227-2082 - 1,261,174 ($7,113,021.36) Equity, (File 333-179318 - Feb. 2) (BR. 03A) S-3 ENOVA SYSTEMS INC, 1560 WEST 190TH STREET, TORRANCE, CA, 90501, 3105272800 - 0 ($8,550,000.00) Equity, (File 333-179319 - Feb. 2) (BR. 10A)
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 ----------------------------------------------------------------------------------------- ACCENTIA BIOPHARMACEUTICALS INC 1.01,3.02,9.01 01/27/12 ACME PACKET INC DE 2.02,9.01 02/02/12 AcuNetx, Inc. NV 4.01,8.01 12/11/11 ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 02/02/12 AECOM TECHNOLOGY CORP DE 2.02,9.01 02/02/12 AFFYMAX INC DE 5.02 01/31/12 AFS SenSub Corp. 1.01,8.01,9.01 01/31/12 Alexza Pharmaceuticals Inc. DE 3.01 01/31/12 Alkermes plc. 2.02,9.01 02/02/12 ALLERGAN INC DE 2.02,9.01 02/02/12 ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 02/02/12 ALLIANT TECHSYSTEMS INC DE 2.02,9.01 02/02/12 ALLIANT TECHSYSTEMS INC DE 5.02,8.01,9.01 01/30/12 Ally Financial Inc. DE 2.02,9.01 02/02/12 AMERCO /NV/ NV 8.01,9.01 02/01/12 AMERICAN DG ENERGY INC DE 8.01 02/02/12 American Energy Development Corp. NV 7.01,9.01 02/02/12 American Express Issuance Trust DE 1.01,9.01 02/02/12 AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 02/01/12 AMERICAN GOLDFIELDS INC NV 3.02 01/13/12 American Realty Capital Daily Net Ass MD 2.01,2.03,9.01 01/31/11 American Reprographics CO DE 1.01,1.02,2.03,9.01 01/27/12 AMERICAN RIVER BANKSHARES CA 7.01,9.01 02/02/12 ANN INC. DE 2.02,5.02,9.01 02/02/12 Antero Resources LLC DE 2.02,9.01 02/02/12 APOLLO GROUP INC AZ 7.01,9.01 02/02/12 Apple REIT Nine, Inc. VA 1.01 01/31/12 Apple REIT Ten, Inc. VA 2.01,9.01 01/27/12 Aquasil International Inc. NV 1.01,2.01,3.02,5.02, 02/02/12 9.01 ARCH COAL INC DE 7.01,9.01 02/02/12 ARES CAPITAL CORP MD 1.01,2.03,9.01 02/02/12 Armour Residential REIT, Inc. MD 8.01,9.01 02/02/12 ASSURANT INC 5.02 02/01/12 AtriCure, Inc. DE 1.01,2.03,9.01 02/02/12 Atrinsic, Inc. DE 5.02 01/30/12 ATWOOD OCEANICS INC TX 7.01,9.01 02/01/12 AUTONATION, INC. DE 7.01,9.01 02/02/12 AUTONATION, INC. DE 5.02,9.01 02/02/12 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 02/02/12 BALDWIN & LYONS INC IN 7.01,9.01 12/31/11 BARRY R G CORP /OH/ OH 5.02 01/30/12 BEAZER HOMES USA INC DE 2.02,9.01 02/02/12 bebe stores, inc. CA 2.02,9.01 02/02/12 BECTON DICKINSON & CO NJ 5.07 01/31/12 Behringer Harvard Opportunity REIT I, MD 8.01 01/28/12 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 7.01,9.01 02/02/12 BioRestorative Therapies, Inc. NV 1.01,8.01,9.01 01/27/12 Blackstone Group L.P. DE 2.02,9.01 02/02/12 BLUE DOLPHIN ENERGY CO DE 5.07,7.01,9.01 02/02/12 BMB MUNAI INC NV 5.02,9.01 01/27/12 BofI Holding, Inc. DE 2.02 02/02/12 BOK FINANCIAL CORP ET AL OK 2.02,9.01 02/01/12 BOSTON SCIENTIFIC CORP DE 2.02,9.01 02/02/12 BREEZE-EASTERN CORP DE 2.02,9.01 02/02/12 BREEZE-EASTERN CORP DE 5.02,5.03,8.01,9.01 01/30/12 BreitBurn Energy Partners L.P. DE 7.01,8.01,9.01 02/02/12 Brekford Corp. DE 4.02,5.02 01/03/12 BRINKS CO VA 2.02,7.01,9.01 02/02/12 Bristow Group Inc DE 2.02,9.01 02/02/12 Bristow Group Inc DE 5.02 01/31/12 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 02/02/12 CAESARS ENTERTAINMENT Corp DE 7.01,9.01 02/02/12 CAESARS ENTERTAINMENT Corp DE 7.01 02/02/12 Calamos Asset Management, Inc. /DE/ 2.02,9.01 02/02/12 CAMERON INTERNATIONAL CORP DE 2.02,9.01 02/02/12 CAPITAL ONE FINANCIAL CORP DE 5.02,9.01 01/31/12 CAPITALSOURCE INC DE 2.02 01/30/12 CAPSTEAD MORTGAGE CORP MD 2.02,9.01 02/01/12 CARDINAL HEALTH INC OH 2.02,7.01,9.01 02/02/12 Cardium Therapeutics, Inc. DE 8.01,9.01 01/30/12 CARDTRONICS INC DE 2.02,9.01 02/02/12 CAREFUSION Corp 2.02,7.01,9.01 02/02/12 CareView Communications Inc NV 1.01,2.03,3.02,9.01 01/31/12 CARLISLE COMPANIES INC DE 2.02,9.01 02/02/12 CAROLINA BANK HOLDINGS INC NC 2.02,9.01 02/02/12 CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 02/02/12 CAVCO INDUSTRIES INC DE 2.02,9.01 02/02/12 CAVIUM, INC. DE 2.02 02/02/12 CDW Corp DE 2.02,7.01,8.01,9.01 02/02/12 CELL THERAPEUTICS INC WA 1.01,2.03 01/27/12 CENTER BANCORP INC NJ 1.01,9.01 02/01/12 CenterState Banks, Inc. FL 1.01,2.01,9.01 01/27/12 AMEND Cheviot Financial Corp. MD 2.02,9.01 02/02/12 CIGNA CORP DE 2.02 02/02/12 Citi Trends Inc 2.02,9.01 02/02/12 CITIZENS BANCORP OF VIRGINIA INC VA 2.02,9.01 02/02/12 Clean Coal Technologies Inc. NV 8.01,9.01 02/02/12 Clearwire Corp /DE DE 1.01,2.03,9.01 01/27/12 CLIFTON SAVINGS BANCORP INC 2.02,9.01 02/01/12 CME GROUP INC. DE 2.02,9.01 02/02/12 COHU INC DE 2.02,9.01 02/01/12 COLDWATER CREEK INC DE 1.01,5.02,9.01 01/27/12 COLONY RESORTS LVH ACQUISITIONS LLC NV 1.03 02/02/12 Columbia Seligman Premium Technology MD 7.01,9.01 02/02/12 COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 02/02/12 COMSTOCK RESOURCES INC NV 7.01,9.01 02/02/12 AMEND Con-way Inc. DE 2.02,9.01 02/02/12 CONSOL Energy Inc DE 1.04 01/28/12 Constant Contact, Inc. DE 1.01,1.02,2.02,9.01 01/31/12 Converted Organics Inc. DE 8.01 01/31/12 CORINTHIAN COLLEGES INC 1.01,5.05,9.01 01/27/12 CORINTHIAN COLLEGES INC 5.07 01/27/12 AMEND CORNING INC /NY NY 5.03 02/01/12 COVENANT TRANSPORTATION GROUP INC NV 2.02,9.01 02/01/12 CREDIT ACCEPTANCE CORP MI 2.02,9.01 02/02/12 CREDO PETROLEUM CORP DE 8.01,9.01 02/01/12 CREE INC NC 5.07 10/25/11 AMEND CTPARTNERS EXECUTIVE SEARCH INC. DE 8.01,9.01 02/01/12 CUMMINS INC IN 2.02,7.01,9.01 02/02/12 CYMER INC NV 2.02,9.01 02/02/12 CYTOKINETICS INC 2.02,9.01 02/02/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 02/01/12 DEL TORO SILVER CORP. NV 1.01,3.02,9.01 01/22/12 DELCATH SYSTEMS INC DE 8.01,9.01 02/02/12 DELTA PETROLEUM CORP/CO CO 8.01,9.01 01/11/12 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 02/02/12 DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 02/02/12 DICE HOLDINGS, INC. DE 2.02,9.01 02/02/12 DIGITAL RIVER INC /DE DE 2.02,9.01 02/02/12 Discover Card Execution Note Trust DE 1.01,9.01 02/01/12 DISCOVERY LABORATORIES INC /DE/ DE 8.01,9.01 02/02/12 Douglas Lake Minerals Inc. NV 5.02 02/01/12 DOW CHEMICAL CO /DE/ DE 2.02,9.01 02/02/12 DTE ENERGY CO MI 5.02,9.01 02/01/12 Duff & Phelps Corp DE 8.01 02/02/12 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 02/02/12 EAGLE MATERIALS INC DE 2.02,9.01 02/02/12 EAST COAST DIVERSIFIED CORP NV 1.01,2.01,9.01 10/23/11 AMEND Ecoland International NV 1.02,9.01 02/02/12 Edwards Lifesciences Corp DE 2.02,9.01 02/02/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02,9.01 02/02/12 ELIZABETH ARDEN INC FL 2.02,9.01 02/02/12 EMPIRE RESORTS INC DE 5.02,9.01 01/27/12 Energy Future Holdings Corp /TX/ TX 8.01,9.01 02/01/12 ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 02/02/12 EQUITY RESIDENTIAL MD 2.02,8.01,9.01 02/01/12 EQUITY RESIDENTIAL MD 2.02,8.01,9.01 02/01/12 AMEND ESSEX PROPERTY TRUST INC MD 2.02,9.01 12/31/11 Evercore Partners Inc. DE 2.02,9.01 02/02/12 Excel Trust, Inc. MD 1.01,3.03,5.03,9.01 01/30/12 EXTREME NETWORKS INC DE 2.02,9.01 02/02/12 Federal Home Loan Bank of Atlanta X1 2.03 02/02/12 Federal Home Loan Bank of Boston X1 2.03 01/30/12 Federal Home Loan Bank of Chicago X1 2.03 01/30/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 01/30/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/31/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/02/12 Federal Home Loan Bank of New York X1 2.03,9.01 01/30/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/30/12 Federal Home Loan Bank of San Francis X1 2.03 01/30/12 Federal Home Loan Bank of San Francis X1 5.03,9.01 01/27/12 Federal Home Loan Bank of San Francis X1 5.02 11/10/11 AMEND Federal Home Loan Bank of Seattle 2.03 01/30/12 Federal Home Loan Bank of Topeka 2.03,9.01 01/30/12 First Advantage Bancorp 8.01,9.01 02/02/12 First Advantage Bancorp 2.02,9.01 02/02/12 FIRST CENTURY BANKSHARES INC WV 2.02,9.01 02/02/12 First Guaranty Bancshares, Inc. LA 8.01 02/01/12 AMEND FIRST POTOMAC REALTY TRUST MD 1.01,2.03,9.01 01/27/12 FISERV INC WI 2.02,9.01 02/02/12 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 02/02/12 FLUOR CORP DE 5.02 02/01/12 FNB BANCORP/CA/ 2.02,9.01 02/02/12 FOOT LOCKER INC NY 1.01,2.03,9.01 01/27/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 02/01/12 FOREST CITY ENTERPRISES INC OH 2.02,2.06,8.01,9.01 01/31/12 FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,1.02,2.01,3.02, 10/31/11 AMEND 5.01,5.03,5.06,9.01 FSP GALLERIA NORTH CORP 1.01,2.03,9.01 02/01/12 Game Trading Technologies, Inc. DE 1.03 02/02/12 GAP INC DE 2.02,9.01 02/02/12 GDT TEK, Inc. 1.01,5.02,8.01 01/06/12 GDT TEK, Inc. 1.01 01/30/12 AMEND General Motors Financial Company, Inc TX 1.01,9.01 01/30/12 GENESIS ENERGY LP DE 1.01,2.03,8.01,9.01 01/27/12 GENWORTH FINANCIAL INC DE 2.02,9.01 02/02/12 GEORESOURCES INC CO 7.01,9.01 02/01/12 GIGA TRONICS INC CA 5.02,9.01 01/31/12 GILEAD SCIENCES INC DE 2.02,9.01 02/02/12 Global Aviation Holdings Inc. DE 5.02 02/02/12 Goldenway, Inc. NV 5.02,5.03,8.01,9.01 02/02/12 GOLDMAN SACHS GROUP INC DE 9.01 02/02/12 GOODRICH CORP NY 2.02,9.01 02/02/12 GRAND RIVER COMMERCE INC MI 5.02,9.01 01/27/12 GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 02/01/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/27/12 GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 02/02/12 GREAT CHINA MANIA HOLDINGS, INC. FL 1.01,2.01,9.01 01/19/12 Griffin Capital Net Lease REIT, Inc. 1.01,2.01,2.03,7.01, 01/31/12 9.01 GRUBB & ELLIS CO DE 1.02 01/27/12 GUARANTY FEDERAL BANCSHARES INC DE 5.02,9.01 02/01/12 Guitammer Co NV 1.01,3.02,9.01 01/31/12 GULF ISLAND FABRICATION INC LA 5.02 02/02/12 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 02/02/12 HARRIS INTERACTIVE INC DE 2.02,5.02,9.01 01/31/12 HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 02/02/12 Heron Lake BioEnergy, LLC MN 5.02 01/28/12 Higher One Holdings, Inc. DE 5.02,7.01,9.01 01/27/12 HKN, Inc. DE 1.01 01/31/12 Home Federal Bancorp, Inc. of Louisia LA 2.02,8.01,9.01 02/01/12 HORMEL FOODS CORP /DE/ DE 5.07 01/31/12 HOSPITALITY PROPERTIES TRUST MD 1.01,8.01,9.01 01/31/12 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 02/02/12 ICU MEDICAL INC/DE DE 5.02 02/02/12 IKANOS COMMUNICATIONS CA 2.02,2.05,9.01 01/30/12 IMMUNOGEN INC MA 5.02,9.01 01/30/12 INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 02/02/12 INFINERA CORP DE 5.02 01/30/12 INFINERA CORP DE 2.02,9.01 02/02/12 Inland American Real Estate Trust, In MD 5.02 01/27/12 INNOVUS PHARMACEUTICALS, INC. NV 4.01,7.01 01/30/12 INNSUITES HOSPITALITY TRUST OH 5.02 02/01/12 InspireMD, Inc. DE 5.02,7.01,9.01 01/30/12 Intermec, Inc. DE 1.01,2.02,2.04,2.06, 02/02/12 7.01,9.01 INTERNATIONAL BALER CORP DE 5.02,9.01 01/30/12 INTERNATIONAL PAPER CO /NEW/ NY 2.02,9.01 02/02/12 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 02/02/12 INVACARE CORP OH 2.02,9.01 02/02/12 ITERIS, INC. DE 2.02,9.01 02/02/12 IXIA CA 2.02,9.01 02/02/12 J C PENNEY CO INC DE 1.01,2.03,9.01 01/27/12 JEFFERSON BANCSHARES INC TN 2.02,9.01 02/01/12 JOHNSON OUTDOORS INC WI 2.02,9.01 02/02/12 JONES SODA CO WA 1.01,9.01 02/01/12 Kaiser Federal Financial Group, Inc. MD 8.01,9.01 01/31/12 Kaiser Federal Financial Group, Inc. MD 2.02,9.01 02/01/12 Kallo Inc. NV 3.02 02/01/12 KB HOME DE 8.01,9.01 01/30/12 Kearny Financial Corp. X1 2.02,9.01 02/02/12 KELLOGG CO DE 2.02,9.01 02/02/12 KELLY SERVICES INC DE 2.02,9.01 02/02/12 KEMPER Corp DE 9.01 02/02/12 KENSEY NASH CORP DE 2.02,9.01 02/01/12 KEY TRONIC CORP WA 1.01,9.01 01/30/12 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 02/01/12 KNIGHT TRANSPORTATION INC AZ 8.01 02/01/12 AMEND KOHLS Corp WI 2.02,9.01 02/02/12 LACROSSE FOOTWEAR INC WI 2.02,5.02,9.01 01/30/12 LANDSTAR SYSTEM INC DE 2.02,9.01 02/02/12 LEAR CORP DE 2.02,9.01 02/02/12 LendingClub Corp DE 1.01,3.02,8.01,9.01 01/31/12 LENNOX INTERNATIONAL INC DE 2.02,9.01 02/02/12 LIGHTPATH TECHNOLOGIES INC DE 7.01,9.01 02/02/12 LIGHTPATH TECHNOLOGIES INC DE 7.01,9.01 02/02/12 LIGHTPATH TECHNOLOGIES INC DE 5.07 02/02/12 LOUISIANA BANCORP INC LA 2.02,9.01 02/02/12 M I HOMES INC OH 1.01,2.02,2.03,9.01 01/31/12 MACATAWA BANK CORP MI 2.02,9.01 02/02/12 Macy's, Inc. DE 2.02,9.01 02/02/12 MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 01/31/12 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,9.01 01/30/12 MALVERN FEDERAL BANCORP INC X1 2.02,9.01 02/02/12 Marina Biotech, Inc. DE 3.01,9.01 02/01/12 MASTERCARD INC DE 2.02,7.01,9.01 02/02/12 MDC HOLDINGS INC DE 2.02,7.01,9.01 02/02/12 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 12/31/11 Measurement Specialties Inc NJ 2.02,9.01 02/01/12 MEDIACOM LLC NY 8.01,9.01 02/01/12 MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 02/01/12 MEDICAL PROPERTIES TRUST INC 1.01,9.01 02/01/12 MEDIFAST INC DE 5.02,9.01 02/01/12 MEDNAX, INC. FL 2.02,9.01 02/02/12 Merck & Co. Inc. NJ 2.02,9.01 02/02/12 MERITOR INC IN 2.02,9.01 02/02/12 MFA FINANCIAL, INC. MD 7.01 02/02/12 MGM Resorts International DE 5.02,9.01 01/30/12 MGM Resorts International DE 7.01,9.01 02/02/12 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 02/02/12 MICROFINANCIAL INC MA 2.02,9.01 02/01/12 MICROSTRATEGY INC DE 2.02,9.01 01/30/12 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 02/02/12 MINERALS TECHNOLOGIES INC DE 2.02,9.01 02/02/12 MISSION WEST PROPERTIES INC CA 2.02,9.01 02/01/12 Mojo Ventures, Inc. DE 5.02,7.01,9.01 01/27/12 Molycorp, Inc. DE 1.01,3.02 01/31/12 Moving Box Inc DE 1.01,3.02,9.01 01/30/12 MSCI Inc. DE 2.02,9.01 02/02/12 MTS SYSTEMS CORP MN 2.02,9.01 02/02/12 MULTI FINELINE ELECTRONIX INC 2.02,9.01 02/02/12 MVC CAPITAL, INC. DE 8.01 01/31/12 MWI Veterinary Supply, Inc. DE 2.02,9.01 02/02/12 National American University Holdings DE 8.01,9.01 02/02/12 NATIONAL OILWELL VARCO INC DE 2.02,9.01 02/02/12 NAVIGANT CONSULTING INC DE 2.02,9.01 02/02/12 Neiman Marcus, Inc. DE 2.02,7.01 02/02/12 Neonode, Inc DE 5.02,9.01 01/30/12 NETSUITE INC DE 2.02,9.01 02/02/12 NETWORK 1 SECURITY SOLUTIONS INC DE 5.02 01/27/12 NEULION, INC. 5.02 01/31/12 NEUSTAR INC 2.02,7.01,9.01 02/02/12 NEVADA GOLD & CASINOS INC NV 1.01,2.01,8.01,9.01 01/27/12 NEW AMERICA ENERGY CORP. NV 5.02 01/30/12 NEW YORK TIMES CO NY 2.02,9.01 02/02/12 NEWS CORP 8.01,9.01 02/02/12 NIC INC CO 2.02,5.02,7.01,9.01 01/30/12 NICHOLAS FINANCIAL INC FL 2.02,9.01 02/02/12 Niska Gas Storage Partners LLC DE 2.02,9.01 02/02/12 NORDSTROM INC WA 7.01,9.01 02/02/12 NOVELLUS SYSTEMS INC CA 2.02,9.01 02/02/12 NU SKIN ENTERPRISES INC DE 2.02,9.01 12/31/11 Nuance Communications, Inc. DE 5.07 02/02/12 NXT Nutritionals Holdings, Inc. DE 1.01,5.02 01/27/12 NYSE Euronext DE 1.02,8.01,9.01 02/02/12 Och-Ziff Capital Management Group LLC DE 7.01 02/02/12 Oculus Innovative Sciences, Inc. CA 2.02,9.01 02/02/12 ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 02/01/12 OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 02/02/12 Omagine, Inc. DE 5.02 01/31/12 ONCOGENEX PHARMACEUTICALS, INC. DE 7.01,9.01 02/02/12 OPLINK COMMUNICATIONS INC DE 2.02,9.01 02/02/12 ORAGENICS INC FL 5.02,9.01 01/27/12 ORION ENERGY SYSTEMS, INC. WI 2.02,4.02,9.01 02/01/12 OSI RESTAURANT PARTNERS, LLC DE 5.02,7.01,9.01 01/30/12 OUTDOOR CHANNEL HOLDINGS INC 1.01,5.02 02/01/12 OxySure Systems Inc 2.03 02/02/12 OYO GEOSPACE CORP DE 2.02,9.01 02/02/12 PACIFIC CONTINENTAL CORP OR 5.02,8.01,9.01 01/31/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 2.01,9.01 02/02/12 AMEND Park Sterling Corp NC 2.02,7.01,9.01 02/02/12 PARKE BANCORP, INC. NJ 2.02,9.01 02/02/12 Patriot Coal CORP DE 1.01,9.01 01/31/12 Patriot Coal CORP DE 2.02,9.01 02/02/12 PATTERSON UTI ENERGY INC DE 2.02,9.01 02/02/12 PC CONNECTION INC DE 2.02,9.01 02/02/12 PDL BIOPHARMA, INC. DE 1.01,2.03,3.02,8.01, 01/31/12 9.01 PEAPACK GLADSTONE FINANCIAL CORP NJ 2.02,9.01 02/01/12 Pegasi Energy Resources Corporation. NV 5.02,7.01,9.01 01/28/12 PERKINELMER INC MA 5.02,9.01 01/27/12 PERKINELMER INC MA 2.02,9.01 02/02/12 PG&E CORP CA 8.01 02/01/12 Pharma-Bio Serv, Inc. 5.02,9.01 01/30/12 Porter Bancorp, Inc. KY 2.02,9.01 02/02/12 Post Holdings, Inc. MO 1.01,3.03,5.02,5.03, 02/01/12 5.05,9.01 POWER EFFICIENCY CORP DE 1.01,3.02,5.02,9.01 02/02/12 POWER INTEGRATIONS INC CA 2.02,9.01 02/02/12 POWER ONE INC DE 2.02,9.01 02/02/12 PREFERRED APARTMENT COMMUNITIES INC MD 7.01,9.01 02/02/12 Prestige Brands Holdings, Inc. 1.01,1.02,2.01,2.03, 01/31/12 3.03,7.01,9.01 PREVENTION INSURANCE COM INC 4.01,9.01 01/27/12 PRIME GLOBAL CAPITAL GROUP Inc NV 8.01,9.01 02/02/12 PRINCIPAL FINANCIAL GROUP INC DE 5.02,9.01 01/30/12 PROGENICS PHARMACEUTICALS INC DE 8.01 02/02/12 PROGRESSIVE CORP/OH/ OH 5.02,8.01,9.01 01/27/12 PROTALEX INC DE 1.01,2.03,9.01 02/01/12 PROTEONOMIX, INC. DE 5.02 02/02/12 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 02/01/12 PULTEGROUP INC/MI/ MI 2.02,9.01 02/02/12 RAMTRON INTERNATIONAL CORP DE 1.01,2.03,9.01 01/31/12 REALOGY CORP DE 1.01,2.03,8.01,9.01 02/02/12 REMEDENT, INC. NV 1.01 01/28/12 RGC RESOURCES INC VA 5.02,5.07,8.01,9.01 01/30/12 Roadrunner Transportation Systems, In DE 5.02 01/27/12 Rock Energy Resources, Inc. DE 7.01,9.01 02/02/12 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 8.01,9.01 02/02/12 ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 12/30/11 ROPER INDUSTRIES INC DE 2.02,9.01 02/02/12 Rosetta Resources Inc. DE 7.01,9.01 02/01/12 ROSS STORES INC DE 2.02,9.01 02/02/12 ROWAN COMPANIES INC DE 7.01,9.01 02/02/12 ROYAL CARIBBEAN CRUISES LTD 2.02,7.01,9.01 02/02/12 ROYAL GOLD INC DE 2.02,9.01 02/02/12 RPM INTERNATIONAL INC/DE/ DE 5.07 10/06/11 AMEND RTI INTERNATIONAL METALS INC OH 5.02 01/27/12 RURBAN FINANCIAL CORP OH 2.02,9.01 02/01/12 RUSH ENTERPRISES INC \TX\ TX 1.01,2.03,9.01 01/31/12 RYDER SYSTEM INC FL 2.02,9.01 02/02/12 SAKS INC TN 7.01,9.01 02/02/12 Sally Beauty Holdings, Inc. 2.02,7.01,9.01 02/02/12 SandRidge Mississippian Trust I DE 2.02,9.01 02/02/12 SandRidge Permian Trust 2.02,9.01 02/02/12 Santos Resource Corp. NV 1.01,2.01,9.01 01/31/12 Sara Lee Corp MD 2.02,9.01 02/02/12 SAVANNAH BANCORP INC GA 2.02 02/01/12 SCHWAB CHARLES CORP DE 5.02 01/27/12 Scio Diamond Technology Corp NV 3.02,9.01 01/31/12 SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 12/31/11 SHILOH INDUSTRIES INC DE 1.01 02/02/12 ShoreTel Inc CA 1.01 01/31/12 SHUTTERFLY INC DE 2.02,9.01 02/01/12 SIFCO INDUSTRIES INC OH 5.07 01/31/12 Silicon Graphics International Corp DE 5.07 01/30/12 AMEND SILICON IMAGE INC DE 2.02,9.01 02/02/12 SIMPSON MANUFACTURING CO INC /CA/ DE 5.02,9.01 01/30/12 SL GREEN REALTY CORP MD 1.01,3.02,9.01 01/31/12 SMARTHEAT INC. NV 5.03,5.07,9.01 01/17/12 AMEND SNAP-ON Inc DE 2.02,9.01 02/02/12 SOAPSTONE NETWORKS INC. DE 8.01 02/02/12 Solera National Bancorp, Inc. DE 7.01,9.01 02/02/12 SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 02/02/12 Spansion Inc. DE 5.02 01/30/12 Spectra Energy Corp. DE 2.02,9.01 02/02/12 SPICY PICKLE FRANCHISING INC CO 2.04,5.02 01/27/12 SPRINGLEAF FINANCE CORP IN 7.01 02/01/12 SPRINGLEAF FINANCE INC IN 7.01 02/01/12 Star Gold Corp. NV 5.05,9.01 01/30/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 2.02,9.01 02/02/12 STERICYCLE INC DE 2.02,9.01 02/02/12 STERLING BANCORP NY 2.02,7.01,9.01 01/31/12 STERLING CONSTRUCTION CO INC DE 2.02,9.01 02/02/12 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 02/02/12 SuccessFactors, Inc. DE 2.02,9.01 02/02/12 SUN RIVER ENERGY, INC CO 5.07,9.01 01/31/12 SunCoke Energy, Inc. 2.02,7.01,9.01 02/02/12 SUNOCO INC PA 2.02,5.02,8.01,9.01 02/02/12 SUNOCO LOGISTICS PARTNERS L.P. DE 5.02,9.01 02/02/12 SWK Holdings Corp DE 1.01,3.03,9.01 01/31/12 TAKE TWO INTERACTIVE SOFTWARE INC DE 2.02,9.01 02/02/12 TAMM Oil & Gas Corp. NV 5.02,9.01 02/02/12 TANGOE INC 5.02 01/27/12 TECO ENERGY INC FL 2.02,5.02,8.01,9.01 02/01/12 TELULAR CORP DE 5.02,5.07 01/31/12 TENNECO INC DE 2.02,8.01,9.01 02/02/12 TESORO CORP /NEW/ DE 7.01,9.01 02/02/12 TETRA TECH INC DE 2.02,9.01 02/01/12 TherapeuticsMD, Inc. UT 9.01 10/04/11 AMEND THQ INC DE 2.02,9.01 02/02/12 Thwapr, Inc. NV 7.01,8.01 02/02/12 TIDEWATER INC DE 8.01,9.01 01/31/12 TIDEWATER INC DE 2.02,9.01 02/02/12 Tiger Oil & Energy, Inc. 1.01,2.01,9.01 08/30/10 AMEND Tiger Oil & Energy, Inc. 1.01,2.01,9.01 08/30/10 AMEND Timberline Resources Corp DE 5.02,7.01,9.01 02/01/12 TPG Specialty Lending, Inc. DE 3.02 02/01/12 TRAILER BRIDGE INC 7.01 02/01/12 TRANSCEND SERVICES INC DE 2.02,9.01 02/02/12 Transcept Pharmaceuticals Inc DE 5.02 02/01/12 TREDEGAR CORP VA 2.05,9.01 02/01/12 TRIUMPH GROUP INC DE 2.02,9.01 01/30/12 Tundra Gold Corp. NV 5.01 01/30/12 U S GLOBAL INVESTORS INC TX 2.02,9.01 02/01/12 UNIFI INC NY 2.02,7.01,8.01,9.01 02/01/12 UNITED AMERICAN HEALTHCARE CORP MI 4.01 02/02/12 United American Petroleum Corp. NV 7.01,9.01 02/02/12 UNITED FIRE & CASUALTY CO IA 2.01 02/01/12 AMEND United Fire Group, Inc. IA 2.01 02/01/12 UNITED PARCEL SERVICE INC DE 2.02,9.01 01/27/12 AMEND UNITED STATES LIME & MINERALS INC TX 2.02,9.01 02/01/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 02/02/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 2.01,9.01 02/02/12 US DATAWORKS INC NV 1.02 01/27/12 US ECOLOGY, INC. DE 7.01,9.01 02/01/12 VALIDUS HOLDINGS LTD 2.02,9.01 02/02/12 VALIDUS HOLDINGS LTD 2.02,9.01 02/02/12 Varca Ventures, Inc. NV 1.01,2.03,3.02,9.01 01/28/12 VECTREN CORP IN 2.03 02/01/12 Vera Bradley, Inc. 8.01 09/01/11 VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 02/02/12 Viacom Inc. DE 2.02,9.01 02/02/12 VIRGIN MEDIA INC. DE 5.02 01/27/12 Virtual Medical Centre, Inc. NV 5.02,9.01 01/18/12 VIRTUS INVESTMENT PARTNERS, INC. DE 2.02,9.01 02/01/12 Voyager Oil & Gas, Inc. DE 2.02,9.01 01/30/12 WABCO Holdings Inc. DE 2.02,7.01,9.01 02/02/12 WISCONSIN ENERGY CORP WI 2.02 02/02/12 WISCONSIN ENERGY CORP WI 5.02 01/27/12 WUHAN GENERAL GROUP (CHINA), INC NV 5.02,8.01,9.01 01/18/12 WYNN RESORTS LTD 2.02,7.01,8.01,9.01 02/02/12 XCEL ENERGY INC MN 2.02,9.01 02/02/12 ZBB ENERGY CORP WI 1.01,3.02,9.01 01/31/12