SEC Charges California Hedge Fund Manager Connected to Galleon Insider Trading Case
The Securities and Exchange Commission today charged a hedge fund manager and his Menlo Park, Calif.-based firm for their involvement in the insider trading ring connected to Raj Rajaratnam and hedge fund advisory firm Galleon Management.
The SEC alleges that Douglas F. Whitman and Whitman Capital illegally traded based on material nonpublic information obtained from Rajaratnam associate Roomy Khan, who was Whitman’s friend and neighbor. Khan tipped Whitman with confidential details about Polycom Inc.’s fourth quarter 2005 earnings and Google Inc.’s second quarter 2007 earnings prior to the public announcements of those financial results by the companies. Whitman Capital reaped nearly $1 million in ill-gotten gains by trading on Khan’s illegal tips.
“Whitman engaged in what even he termed ‘slimeball’ activity and together with Khan brought new illicit meaning to the maxim ‘help thy neighbor,’” said George S. Canellos, Director of the SEC’s New York Regional Office.
Sanjay Wadhwa, Associate Director of the SEC’s New York Regional Office and Deputy Chief of the Market Abuse Unit, added, “This action should send a strong signal that the SEC will continue to pursue every angle of the Galleon investigation to hold accountable those who have undermined the integrity of our markets by engaging in illegal insider trading.”
According to the SEC’s complaint, filed in federal court in Manhattan, the inside information about Polycom and Google used by Whitman is the same information that the SEC has previously alleged Khan provided to many of her hedge fund contacts, including Rajaratnam as well as Robert Feinblatt and Jeffrey Yokuty at Trivium Capital.
The SEC alleges that Khan illegally tipped Whitman in January 2006 with information about Polycom’s quarterly financial results, and she noted that these details were nonpublic and acquired from a source at Polycom. Whitman Capital accumulated 132,263 shares of Polycom stock in the next two weeks. When the company announced its results on January 25, Whitman Capital liquidated its entire Polycom position for a profit of more than $360,000. On at least one later occasion, in September 2008, Whitman asked Khan to contact her Polycom source to obtain inside information about the company’s upcoming earnings so the two could “short it.” When Khan rebuffed Whitman citing a fear of getting caught, Whitman suggested that she use “Skype” to avoid detection. Whitman later stated that he would stop speaking to Khan if she wasn’t going to be a “slimeball” anymore.
The SEC further alleges that Khan illegally tipped Whitman with inside information about Google’s quarterly financial results shortly before the company’s post market-close earnings announcement on July 19, 2007. At Whitman’s insistence, Khan identified her Google source as an employee of an investor relations firm used by Google. Whitman Capital funds then purchased 2,761 Google put option contracts based on the tip from Khan. On July 20, Whitman Capital closed the put option positions and generated ill-gotten profits of more than $620,000. Afterwards, Whitman sent Khan a large floral arrangement to thank her for the tip.
The SEC’s complaint charges Whitman and Whitman Capital with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The complaint seeks a final judgment permanently enjoining the defendants from future violations of the above provisions of the federal securities laws, ordering them to disgorge their ill-gotten gains plus prejudgment interest, and ordering them to pay financial penalties.
The SEC has charged 30 defendants in its Galleon-related enforcement actions, which have exposed widespread and repeated insider trading at numerous hedge funds and by other traders, investment professionals, and corporate insiders located throughout the country. The insider trading occurred in the securities of more than 15 companies for illicit profits totaling more than $91 million.
The SEC’s investigation, which is continuing, has been conducted by John Henderson and Joseph Sansone – members of the SEC’s Market Abuse Unit in New York – and Diego Brucculeri and James D’Avino of the New York Regional Office. Kevin McGrath and Valerie Szczepanik will lead the SEC’s litigation effort. The SEC thanks the U.S. Attorney's Office for the Southern District of New York and the Federal Bureau of Investigation for their ongoing assistance in the matter. (Press Rel. 2012-27; LR-22257)
Closed Meeting on Thursday, February 16, 2012 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, February 16, 2012 will be: formal order of investigation; institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
In the Matter of Robert C. Koeller
On February 9, 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 Robert C. Koeller. The Order is based on the entry of a permanent injunction against Koeller in United States Securities and Exchange Commission v. Steven R. Long, et al., Civil Action No. 1:10cv00782 (N.D. Ohio), enjoining him from violating the securities registration, anti-fraud, and broker registration provisions of the federal securities laws. The Commission’s complaint in that litigation alleged that Koeller offered and sold unregistered securities in the form of promissory notes purportedly secured by real estate and that he made multiple fraudulent misrepresentations and omissions in connection with those offerings and sales. The complaint also alleged that Koeller acted as an unregistered broker.
Koeller consented to issuance of the Order, without admitting or denying the Commission’s findings, except as to the entry of the final judgment, which he admitted. The Order bars Koeller 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, with the right to apply for reentry after five years. (Rel. 34-66368; File No. 3-14756)
Commission Sustains in Part FINRA Disciplinary Action Against John E. Mullins and Kathleen M. Mullins
The Commission sustained in substantial part FINRA disciplinary action against John E. Mullins and Kathleen M. Mullins, formerly registered representatives associated with Morgan Stanley DW Inc. The Commission sustained FINRA's findings that John Mullins violated NASD Rule 2110 when he converted customer property and breached his fiduciary obligation to the same customer by making personal use of gift certificates and wine that were purchased with the customer's funds. The Commission also sustained FINRA's findings that the Mullinses violated NASD Rules 2370 and 2110 by accepting a loan from a customer without prior approval from their firm, and that they violated NASD Rule 2110 by failing to disclose this loan, as well as their positions as officers of a corporate customer, to their firm on internal compliance questionnaires. The Commission sustained the bar that FINRA imposed against John Mullins. It reduced the sanctions against Kathleen Mullins based on its determination to set aside certain of the disclosure violations that FINRA had found, with the result that Kathleen Mullins was ordered to serve two suspensions totaling five-and-one-half months and to pay a total fine of $15,000. (Rel. 34-66373; File No. 3-14302)
SEC v. Brent C. Bankosky
On February 9, 2012, the Securities and Exchange Commission charged that a former employee of Takeda Pharmaceuticals International, Inc. traded on inside information about the Japanese firm’s business alliances and corporate acquisitions.
Brent Bankosky, a former Senior Director in Takeda’s U.S.-based business development group, has agreed to pay more than $136,000 to settle the SEC’s charges. The proposed settlement is subject to the approval of Judge Harold Baer, Jr. of the U.S. District Court for the Southern District of New York. Under the proposed settlement, the Court, upon motion by the Commission, will determine whether to impose an officer-and-director bar against Bankosky.
The SEC’s complaint, filed in federal court in Manhattan, alleges that Bankosky reaped more than $63,000 of profits, achieving a 169% rate of return, by trading on non-public information about two business transactions in 2008. Takeda’s business development group worked on the transactions, a strategic alliance with Cell Genesys, Inc., and the acquisition of Millennium Pharmaceuticals, Inc., which were referred to internally by their code names, Project Ceres and Project Mercury. Bankosky’s trading violated U.S. securities laws and Takeda’s policies, which forbade employees from disclosing or trading based on inside information.
“Brent Bankosky was entrusted with highly confidential information of Takeda and betrayed that trust to line his own pocket,” said George S. Canellos, Director of the SEC’s New York Regional Office. “His is another cautionary tale of an employee who succumbed to greed and the delusion that he wouldn’t get caught.”
Sanjay Wadhwa, Associate Director of the SEC’s New York Regional Office and Deputy Chief of the Market Abuse Unit, added, “We are determined to rid the U.S. marketplace of illegal insider trading, and we will pursue it wherever we find it, irrespective of whether it’s a hedge fund reaping millions of dollars in illicit gains or an individual investor hoping to fly under the radar by making relatively small insider trading profits.”
According to the SEC’s complaint, almost immediately after Bankosky joined Takeda in January 2008 as a Director in its business development group, he began to misuse confidential corporate information for his personal benefit. In February 2008, Bankosky began placing trades in his personal brokerage account based on non-public information about Takeda’s proposed strategic alliance with Cell Genesys, which was announced in March. Starting in March 2008, Bankosky made additional trades for his own account based on non-public information about Takeda’s plan to acquire Millennium, which was announced in April. Bankosky also traded on other confidential information in 2009 and 2010, purchasing call options in the securities of Arena Pharmaceutical, Inc., and AMAG Pharmaceutical, Inc., respectively, when the firms were engaged in confidential discussions on business transactions with Takeda. Bankosky, who was promoted to Senior Director of Takeda’s business development group in September 2010, resigned from Takeda in May 2011.
The SEC’s complaint charges Bankosky with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, as well as Section 14(e) of the Exchange Act and Rule 14e-3. The complaint seeks a final judgment ordering Bankosky to pay a financial penalty and disgorge his ill-gotten gains plus prejudgment interest, preventing him from serving as an officer or director of a public company, and permanently enjoining him from future violations of those provisions of the federal securities laws. [SEC v. Brent C. Bankosky, Civil Action No. 12-Civ-1012 (HB)] (LR-22255)
SEC v. Dynkowski, et al.
The Securities and Exchange Commission announced today that Chief Judge Gregory M. Sleet of the United States District Court for the District of Delaware entered final judgments against Defendants Nathan M. Michaud and Gerard J. D’Amaro on January 24, 2012, and Defendant Marc J. Riviello on February 3, 2012, in SEC v. Dynkowski, et al., Civil Action No. 1:09-361, a stock manipulation case the SEC filed on May 20, 2009, and amended on March 25, 2010 to charge additional individuals. The SEC’s complaint alleges that Michaud, D’Amaro, and Riviello each participated in market manipulation schemes with Defendant Pawel P. Dynkowski.
As alleged in the complaint, the schemes generally followed the same pattern: Dynkowski and his accomplices agreed to sell large blocks of shares for penny stock companies in exchange for a portion of the proceeds. The shares were put in nominee accounts that Dynkowski and his accomplices controlled. The defendants artificially inflated the market price of the stocks through manipulative trading, often timed to coincide with false or misleading press releases, and then sold shares obtained from the issuers and divided the illicit proceeds.
The complaint alleges that in 2006, Dynkowski, Riviello, Michaud and others participated in a manipulation scheme involving the stock of Asia Global Holdings, Inc., which generated over $4 million in illicit profits. As alleged in the complaint, Dynkowski and Michaud manipulated the price of Asia Global Holdings, Inc. stock using wash sales, matched orders, and other manipulative trading, while Riviello used his position as a registered representative at a broker-dealer to open a series of nominee accounts and execute sell orders for shares obtained from the issuer. The complaint further alleges that Riviello helped launder proceeds from a separate manipulation scheme involving the stock of GH3 International, Inc.
That same year, the complaint alleges, Dynkowski, D’Amaro and others participated in a manipulation scheme involving the stock of Playstar Corp., which generated over $1 million in illicit profits. As alleged in the complaint, D’Amaro arranged for the company to issue misleading press releases that coincided with Dynkowski’s manipulative trading. The complaint further alleges that D’Amaro provided the nominee accounts that were used to sell the shares received from the issuer.
To settle the SEC’s charges, D’Amaro consented to a final judgment that permanently enjoins him from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (“Securities Act”), and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder, orders disgorgement of $177,044 and prejudgment interest of $40,859, and bars D’Amaro from participating in any offering of a penny stock. In a related criminal case, D’Amaro previously pled guilty to conspiracy to commit securities fraud and engage in money laundering and was sentenced to three years in prison and ordered to pay criminal forfeiture of $1.49 million. U.S. v. D’Amaro, Criminal Action No. 09-54-SLR (D. Del.).
Riviello consented to a final judgment that permanently enjoins him from violating Sections 5(a), 5(c), and 17(a) of the Securities Act, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and orders disgorgement of $248,190 and prejudgment interest of $35,078, which was waived based upon his inability to pay. In a related criminal case, Riviello previously pled guilty to conspiracy to engage in money laundering and was sentenced to 8 months in prison and ordered to pay criminal forfeiture of $107,000. U.S. v. Riviello, Criminal Action No. 09-23-SLR (D. Del.). In related administrative proceedings, Riviello consented to a Commission Order barring him from association with any broker or dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and barring him from participating in any offering of a penny stock. He did so without admitting or denying the findings in the Order, except that he admitted that a civil injunction was entered against him and that he pled guilty to conspiracy to engage in monetary transactions in property derived from specified unlawful activity. (Rel. 34-66374; File No. 3-14757)
Michaud consented to a final judgment that permanently enjoins him from violating Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and orders him to pay disgorgement of $40,600, prejudgment interest of $3,314, and a civil penalty of $50,000.
Additionally, on December 22, 2011, the SEC filed a second amended complaint charging James Meagher as an additional defendant in this case. The complaint alleges that, in 2007, Dynkowski and Meagher carried out a manipulation scheme involving the stock of Xtreme Motorsports of California, Inc. As alleged in the complaint, Dynkowski and Meagher manipulated the price of Xtreme Motorsports stock using wash sales, matched orders and other manipulative trading, in a scheme that generated over $250,000 in illicit profits. The complaint alleges that Meagher violated Sections 5(a), 5(c) and 17(a) of the Securities Act, and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The complaint seeks against Meagher permanent injunctive relief, disgorgement of ill-gotten gains with prejudgment interest, civil monetary penalties, and an order barring him from participating in any penny stock offerings. [SEC v. Dynkowski, et al., Civil Action No. 1:09-361 (D. Del.)] (LR-22256)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-13) to amend Rule 705 to create new requirements regarding fidelity bonds and to rename the Rule 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 13. (Rel. 34-66362)
A proposed rule change filed by the EDGA Exchange, Inc. amending its rules regarding registration, qualification and continuing education requirements for Authorized Traders of Members and recognizing the Series 56 exam (SR-EDGA-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 13. (Rel. 34-66363)
Accelerated Approval of Proposed Rule Change
The Commission issued a notice of filing of Amendment No. 2 and granted accelerated approval to a proposed rule change, as modified by Amendment No. 2, submitted by the Financial Industry Regulatory Authority (SR-FINRA-2011-064), pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, to adopt FINRA Rule 4524 (Supplemental FOCUS Information) and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Reports. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66364)
Approval of Proposed Rule Change
The Commission approved a proposed rule change submitted by the Chicago Stock Exchange, Inc. (SR-CHX-2011-34) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 regarding suspension of a Participant’s trading privileges on the Exchange. Publication is expected in the Federal Register during the week of February 13. (Rel. 34-66366)
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 FX Alliance Inc., 909 THIRD AVENUE, 10TH FLOOR, NEW YORK, NY, 10022, (646) 268-9900 - 0 ($113,780,290.00) Equity, (File 333-179434 - Feb. 9) (BR. 08C) S-8 MERIDIAN BIOSCIENCE INC, 3471 RIVER HILLS DR, CINCINNATI, OH, 45244, 5132713700 - 3,000,000 ($55,860,000.00) Equity, (File 333-179440 - Feb. 9) (BR. 01B) S-8 Mueller Water Products, Inc., 1200 ABERNATHY RD, SUITE 1200, ATLANTA, GA, 30328, 770-206-4200 - 0 ($12,600,000.00) Equity, (File 333-179441 - Feb. 9) (BR. 06B) S-8 OCULUS VISIONTECH INC., 837 WEST HASTINGS STREET, SUITE 507, VANCOUVER, A1, V6C 3N6, 6046851017 - 1,250,000 ($187,500.00) Equity, (File 333-179442 - Feb. 9) (BR. 02B) S-8 BIOMERICA INC, 17571 VON KARMAN AVENUE, IRVINE, CA, 92614, 9496452111 - 850,000 ($561,000.00) Equity, (File 333-179443 - Feb. 9) (BR. 10A) S-3ASR HALOZYME THERAPEUTICS INC, 11388 SORRENTO VALLEY ROAD, SAN DIEGO, CA, 92121-1345, (858) 794-8889 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179444 - Feb. 9) (BR. 01A) S-8 Delphi Automotive PLC, COURTNEY ROAD, HOATH WAY, GILLINGHAM, KENT, X0, ME8 0RU, 011-44-163-423-4422 - 0 ($681,731,031.72) Equity, (File 333-179446 - Feb. 9) (BR. 05B) S-8 ALLIANCE BANKSHARES CORP, 14200 PARK MEADOW DRIVE, SUITE 200 SOUTH, CHANTILLY, VA, 20151, 703-814-7200 - 0 ($959,706.00) Equity, (File 333-179447 - Feb. 9) (BR. 07C) S-8 Delphi Automotive PLC, COURTNEY ROAD, HOATH WAY, GILLINGHAM, KENT, X0, ME8 0RU, 011-44-163-423-4422 - 0 ($207,690,000.00) Equity, (File 333-179448 - Feb. 9) (BR. 05B) S-8 ShoreTel Inc, 960 STEWART DRIVE, SUNNYVALE, CA, 94085, 408 331 3300 - 0 ($15,458,808.14) Equity, (File 333-179449 - Feb. 9) (BR. 11A) N-2 Oxford Lane Capital Corp., 8 SOUND SHORE DRIVE, SUITE 255, GREENWICH, CT, 06830, (203) 983-5275 - 0 ($156,000,000.00) Equity, (File 333-179450 - Feb. 9) (BR. 22) S-8 XERIUM TECHNOLOGIES INC, 8537 SIX FORKS ROAD, SUITE 300, RALEIGH, NC, 27615, 919-526-1400 - 450,000 ($4,054,500.00) Equity, (File 333-179451 - Feb. 9) (BR. 02C) S-8 CYNOSURE INC, 5 CARLISLE ROAD, WESTFORD, MA, 01886, (978) 256-4200 - 0 ($4,048,500.00) Equity, (File 333-179452 - Feb. 9) (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 ----------------------------------------------------------------------------------------- 1st Financial Services CORP NC 5.02 02/09/12 ACADIA REALTY TRUST MD 2.02,8.01,9.01 02/07/12 Accenture plc L2 5.07 02/09/12 Accenture plc L2 5.03,9.01 02/09/12 Access Plans Inc 5.02 02/09/12 ACETO CORP NY 2.02,9.01 02/09/12 ACI WORLDWIDE, INC. DE 8.01,9.01 02/08/12 Activision Blizzard, Inc. DE 2.02,8.01,9.01 02/09/12 AEROFLEX HOLDING CORP. DE 2.02,9.01 02/09/12 AGILYSYS INC OH 2.02,7.01,9.01 02/09/12 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 02/09/12 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 02/08/12 ALBANY INTERNATIONAL CORP /DE/ DE 1.01,2.03,9.01 02/06/12 ALBANY INTERNATIONAL CORP /DE/ DE 9.01 01/12/12 AMEND ALEXION PHARMACEUTICALS INC DE 2.02,9.01 02/09/12 ALICO INC FL 2.02,9.01 02/09/12 ALLIANCE BANKSHARES CORP 7.01 02/09/12 ALLIANCE RESOURCE PARTNERS LP DE 1.04 02/04/12 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 02/09/12 ALST Casino Holdco, LLC DE 5.02 02/06/12 AMBASSADORS GROUP INC DE 2.02,9.01 02/06/12 AMERICAN DENTAL PARTNERS INC DE 8.01,9.01 02/09/12 AMERICAN EXPRESS CO NY 2.02 02/08/12 AMERICAN RIVER BANKSHARES CA 5.02,9.01 02/07/12 AMERICAN SCIENCE & ENGINEERING, INC. MA 2.02,9.01 02/09/12 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 02/09/12 AMERIGAS PARTNERS LP DE 9.01 01/12/12 AMEND AMES NATIONAL CORP IA 8.01,9.01 02/08/12 AMKOR TECHNOLOGY INC DE 2.02,5.02,8.01,9.01 02/09/12 AMSURG CORP TN 7.01,9.01 02/08/12 AMYLIN PHARMACEUTICALS INC DE 1.01,5.02 02/06/12 Anacor Pharmaceuticals Inc DE 8.01,9.01 02/08/12 ANDERSONS INC OH 2.02 02/08/11 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 02/09/12 API Technologies Corp. DE 2.02,9.01 02/09/12 ARAMARK CORP DE 7.01 02/09/12 ARRAY BIOPHARMA INC DE 1.01,8.01,9.01 02/09/12 ARRIS GROUP INC DE 2.02,9.01 02/08/12 ARRIS GROUP INC DE 2.02,9.01 02/08/12 AMEND ARROWHEAD RESEARCH CORP DE 2.02,9.01 02/09/12 ASPI, INC. DE 5.07 01/15/12 ASTA FUNDING INC DE 2.02,9.01 02/09/12 ATHENA SILVER CORP CA 2.03,3.02,9.01 02/02/12 Atkore International Holdings Inc. DE 2.02,9.01 02/09/12 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 02/09/12 AVIS BUDGET GROUP, INC. DE 2.02,7.01,9.01 02/09/12 Axion Power International, Inc. DE 8.01 02/03/12 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 02/08/12 BEACON POWER CORP DE 1.01,1.03,7.01,9.01 02/03/12 Behringer Harvard Opportunity REIT II MD 7.01,9.01 02/09/12 BEL FUSE INC /NJ NJ 2.02,9.01 02/09/12 BELDEN INC. DE 2.02,9.01 02/09/12 Bidfish.com, Inc. 1.01,5.06,5.07,7.01, 01/26/12 9.01 BIOCLINICA INC DE 2.02,9.01 02/09/12 BioMed Realty Trust Inc MD 2.02,9.01 02/08/12 BLUE CALYPSO, INC. NV 1.01,2.03,9.01 01/16/12 AMEND BofI Holding, Inc. DE 7.01,9.01 02/09/12 BRANDYWINE REALTY TRUST MD 2.02,9.01 02/08/12 BRISTOL MYERS SQUIBB DEBENTURE BACKED DE 8.01,9.01 02/01/12 BROOKS AUTOMATION INC DE 2.02,5.07,9.01 02/08/12 BRT REALTY TRUST MA 2.02,7.01,9.01 02/09/12 Bunge LTD 2.02,9.01 02/09/12 C H ROBINSON WORLDWIDE INC DE 8.01,9.01 02/09/12 C&J Energy Services, Inc. DE 7.01,9.01 02/09/12 Campus Crest Communities, Inc. MD 1.01,3.03,5.03,9.01 02/08/12 CAPSTONE TURBINE Corp DE 2.02,9.01 02/09/12 Carbonite Inc DE 2.02,9.01 02/09/12 CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 02/07/12 Carter Validus Mission Critical REIT, MD 1.01,2.01,2.03,7.01, 02/09/12 9.01 CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 02/09/12 CBOE Holdings, Inc. DE 2.02,9.01 02/09/12 CCA INDUSTRIES INC DE 5.03,9.01 02/03/12 CCA INDUSTRIES INC DE 1.01,3.03,8.01,9.01 02/03/12 CDEX INC NV 2.04 02/03/12 CENTRAL FEDERAL CORP DE 8.01,9.01 02/09/12 CHINA SHEN ZHOU MINING & RESOURCES, I NV 3.02 02/09/12 AMEND CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 02/09/12 CHS INC MN 8.01,9.01 02/09/12 CINCINNATI BELL INC OH 2.02,7.01,9.01 02/09/12 CINCINNATI BELL INC OH 8.01,9.01 02/09/12 CIT GROUP INC DE 8.01,9.01 02/08/12 CLAIMSNET COM INC DE 1.01,2.03,9.01 02/08/12 Claridge Ventures, Inc. NV 8.01,9.01 02/06/12 Clarion Partners Property Trust Inc. MD 1.01 02/03/12 Cleartronic, Inc. FL 5.02 02/09/12 CLIFFS NATURAL RESOURCES INC. OH 1.04 02/07/12 CNL Healthcare Trust, Inc. MD 5.03,9.01 02/09/12 COCA-COLA ENTERPRISES, INC. DE 8.01 02/09/12 COCA-COLA ENTERPRISES, INC. DE 5.02 02/09/12 COEUR D ALENE MINES CORP ID 5.07 05/10/11 AMEND COGNEX CORP MA 2.02,9.01 02/09/12 COMMERCIAL METALS CO DE 5.07,8.01,9.01 02/03/12 COMMERCIAL NATIONAL FINANCIAL CORP /P PA 2.02 02/09/12 COMPUTER SCIENCES CORP NV 7.01,9.01 02/07/12 CONTANGO OIL & GAS CO DE 2.02,9.01 02/09/12 Convio, Inc. DE 2.02,9.01 02/09/12 CORN PRODUCTS INTERNATIONAL INC DE 2.02,9.01 02/09/12 CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 02/09/12 CORRECTIONS CORP OF AMERICA MD 2.02,9.01 02/08/12 COVENTRY HEALTH CARE INC DE 5.02,9.01 02/07/12 CPI CORP DE 3.01,5.02,7.01,9.01 02/03/12 CPI International Holding Corp. 2.02,9.01 02/09/12 CYS Investments, Inc. MD 7.01,9.01 02/09/12 CYTOMEDIX INC DE 1.01,2.01,3.02,5.02, 02/08/12 5.03,7.01,8.01,9.01 DAVEY TREE EXPERT CO OH 5.02 02/03/12 DCT Industrial Trust Inc. MD 2.02,9.01 02/09/12 DELTEK, INC DE 2.02,9.01 02/09/12 Deyu Agriculture Corp. NV 5.02 02/03/12 Disability Access Corp 5.02 02/03/12 Dolby Laboratories, Inc. DE 5.02,5.07 02/07/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 7.01,9.01 02/09/12 DREW INDUSTRIES INC DE 5.02,9.01 02/08/12 DUNKIN' BRANDS GROUP, INC. DE 2.02,9.01 02/09/12 EAGLE MATERIALS INC DE 4.02 02/07/12 Eastern Insurance Holdings, Inc. PA 2.02,9.01 02/09/12 ECB BANCORP INC NC 1.02 02/07/12 ECHELON CORP DE 2.02,9.01 02/09/12 Ecoland International NV 1.01,1.02,3.02,5.01, 02/01/12 AMEND 5.02,9.01 ECOSPHERE TECHNOLOGIES INC DE 5.02 02/05/12 ELECTRO RENT CORP CA 1.01,2.03,9.01 02/03/12 EMERGING MEDIA HOLDINGS INC NV 5.02 02/04/12 EMERSON ELECTRIC CO MO 5.02,5.07,9.01 02/07/12 ENCORE CAPITAL GROUP INC DE 2.02,5.02,9.01 02/06/12 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 02/09/12 ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 02/09/12 Energy Services of America CORP DE 2.02,9.01 02/09/12 Energy Transfer Equity, L.P. DE 7.01,9.01 02/08/12 Enertopia Corp. NV 1.01,2.03,9.01 02/09/12 ENPRO INDUSTRIES, INC NC 2.02,9.01 02/09/12 ENTERPRISE FINANCIAL SERVICES CORP DE 5.02,9.01 02/07/12 ENTEST BIOMEDICAL, INC. NV 8.01,9.01 02/06/12 EPICEPT CORP 1.01,5.03,9.01 02/08/12 EQUITY LIFESTYLE PROPERTIES INC MD 5.02 02/06/12 ES Bancshares, Inc. MD 1.01,3.02,9.01 02/09/12 EV Energy Partners, LP DE 7.01,8.01,9.01 02/09/12 EV Energy Partners, LP DE 9.01 12/21/11 AMEND EVOLUTION PETROLEUM CORP NV 2.02,9.01 02/09/12 EXERGETIC ENERGY, INC. MI 1.01,9.01 02/08/12 EXIDE TECHNOLOGIES DE 2.02,5.02,9.01 12/31/11 Expedia, Inc. 2.02,8.01,9.01 02/09/12 FBL FINANCIAL GROUP INC IA 2.02,7.01 02/09/12 Federal Home Loan Bank of Atlanta X1 2.03 02/09/12 Federal Home Loan Bank of Boston X1 2.03 02/07/12 Federal Home Loan Bank of Chicago X1 2.03 02/06/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/07/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/09/12 Federal Home Loan Bank of New York X1 2.03,9.01 02/06/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/06/12 Federal Home Loan Bank of San Francis X1 2.03 02/06/12 Federal Home Loan Bank of Seattle 2.03 02/06/12 Federal Home Loan Bank of Topeka 2.03,9.01 02/06/12 FIRST REAL ESTATE INVESTMENT TRUST OF NJ 4.02,8.01 02/09/12 FIRST SECURITY GROUP INC/TN TN 5.02,5.07,9.01 02/07/12 FIRST SECURITY GROUP INC/TN TN 8.01,9.01 02/09/12 FIRST SOLAR, INC. DE 8.01 02/09/12 First Surgical Partners Inc. DE 8.01,9.01 02/07/12 Ford Credit Floorplan Master Owner Tr DE 1.01,8.01,9.01 02/07/12 Ford Credit Floorplan Master Owner Tr DE 1.01,8.01,9.01 02/07/12 FORRESTER RESEARCH INC DE 2.02,8.01,9.01 02/07/12 FOUR RIVERS BIOENERGY INC. NV 1.01,1.02 05/24/11 AMEND FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 02/08/12 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 FUELCELL ENERGY INC DE 5.03,5.07,9.01 02/03/12 Full Circle Capital Corp MD 2.02,9.01 02/09/12 FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 02/09/12 Fuse Science, Inc. NV 1.01,3.02,9.01 02/07/12 GEOGLOBAL RESOURCES INC. DE 5.02,5.03 02/04/12 GLEACHER & COMPANY, INC. DE 2.02,9.01 02/09/12 GLEN BURNIE BANCORP MD 2.02,9.01 02/09/12 Global Arena Holding, Inc. DE 4.01,9.01 01/24/12 GLOBAL GOLD CORP DE 8.01,9.01 02/06/12 GLOBAL NUTECH, INC. NV 1.01,3.02,7.01,9.01 02/03/12 GlyEco, Inc. NV 1.01,2.01,3.02,4.01, 11/21/11 AMEND 5.01,5.02,5.03,5.06, 9.01 GOLDMAN SACHS GROUP INC DE 9.01 02/09/12 GRAN TIERRA ENERGY, INC. NV 5.02 02/03/12 GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 02/09/12 Gryphon Resources, Inc. NV 8.01 02/09/12 GS Mortgage Securities Trust 2012-GC6 DE 8.01,9.01 02/09/12 HALCON RESOURCES CORP DE 1.01,1.02,2.03,3.02, 02/08/12 3.03,5.01,5.02,5.03, 9.01 HANGER ORTHOPEDIC GROUP INC DE 2.02,9.01 02/08/12 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 02/08/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,8.01,9.01 02/08/12 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 02/08/12 Hawaiian Telcom Holdco, Inc. DE 2.02,9.01 02/06/12 HDS INTERNATIONAL CORP. NV 2.01,5.08,9.01 02/09/12 AMEND HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 02/09/12 HERCULES OFFSHORE, INC. DE 2.02,9.01 02/09/12 Heron Lake BioEnergy, LLC MN 8.01,9.01 02/09/12 Hoku Corp DE 2.02,9.01 02/09/12 HOLLY ENERGY PARTNERS LP DE 1.01,2.03,9.01 02/03/12 HOME PROPERTIES INC MD 5.02,9.01 02/04/12 HORIZON PHARMA, INC. DE 5.05 02/07/12 IMPERVA INC DE 2.02,5.02,9.01 02/08/12 India Globalization Capital, Inc. MD 8.01,9.01 02/07/12 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 02/09/12 INSULET CORP DE 2.02,9.01 02/09/12 INTEL CORP DE 7.01,9.01 02/08/12 INTERMUNE INC DE 2.02,5.02,9.01 02/09/12 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 02/03/12 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 02/09/12 INTERNATIONAL GAME TECHNOLOGY NV 5.02,7.01,9.01 02/09/12 INTERNATIONAL SILVER INC AZ 3.02,9.01 02/09/12 Iron Eagle Group, Inc. DE 9.01 12/13/11 AMEND IRONWOOD PHARMACEUTICALS INC 8.01,9.01 02/08/12 JOSHUA GOLD RESOURCES INC NV 5.02 12/31/11 JPMORGAN CHASE & CO DE 8.01 02/09/12 KBS Legacy Partners Apartment REIT, I MD 1.01,2.01,2.03,9.01 02/09/12 KIMBERLY CLARK CORP DE 8.01,9.01 02/06/12 Kior Inc DE 5.02 02/08/12 KKR & Co. L.P. DE 2.02,9.01 02/09/12 KKR & Co. L.P. DE 8.01 02/09/12 KLA TENCOR CORP DE 8.01,9.01 02/09/12 KNIGHT TRANSPORTATION INC AZ 8.01,9.01 02/09/12 LACROSSE FOOTWEAR INC WI 5.03,9.01 02/05/12 LAKELAND BANCORP INC NJ 7.01,9.01 02/09/12 LAM RESEARCH CORP DE 5.02,9.01 02/06/12 LAM RESEARCH CORP DE 5.07 02/06/12 AMEND LANTRONIX INC DE 2.02,9.01 02/09/12 LaPorte Bancorp, Inc. X1 8.01 02/09/12 Laredo Petroleum Holdings, Inc. DE 5.02,7.01,9.01 02/03/12 LEAGUE NOW HOLDINGS CORP FL 1.01,2.01,3.02,5.01, 01/20/12 5.02,9.01 LEAPFROG ENTERPRISES INC 2.02,9.01 02/09/12 LEAR CORP DE 8.01,9.01 02/09/12 LEHMAN ABS CORP CORP BACK TR AIG DEBE DE 8.01,9.01 01/31/12 LEHMAN ABS CORP PRUDENTIAL FINANCIAL DE 8.01,9.01 02/03/12 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 02/09/12 LINKEDIN CORP DE 2.02,9.01 02/09/12 LIONS GATE ENTERTAINMENT CORP /CN/ A1 2.02,9.01 02/09/12 LOCAL.COM DE 1.01,9.01 02/08/12 LORILLARD, INC. DE 2.02,9.01 02/09/12 LUFKIN INDUSTRIES INC TX 2.02,9.01 02/09/12 Lumber Liquidators Holdings, Inc. 5.02 02/09/12 LYRIS, INC. 2.02,9.01 02/09/12 MACK CALI REALTY CORP MD 2.02,7.01,9.01 02/08/12 MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 02/09/12 MATRIX SERVICE CO DE 2.02,9.01 02/08/12 MEDICAL PROPERTIES TRUST INC 8.01,9.01 02/03/12 MEDL Mobile Holdings, Inc. NV 7.01,9.01 02/09/12 MEDTOX SCIENTIFIC INC DE 2.02,9.01 02/09/12 Merck & Co. Inc. NJ 5.02,9.01 02/08/12 MERISEL INC /DE/ DE 8.01,9.01 02/08/12 MERIT MEDICAL SYSTEMS INC UT 7.01,9.01 02/07/12 MESA LABORATORIES INC /CO CO 2.02,9.01 02/08/12 MICHELEX CORP UT 5.02,8.01 02/03/12 MICRON TECHNOLOGY INC DE 8.01 02/03/12 MIDDLEFIELD BANC CORP OH 2.02,9.01 02/07/12 MISONIX INC NY 2.02,9.01 02/08/12 Mistras Group, Inc. DE 5.02 02/07/12 MMEX Mining Corp 1.01 02/03/12 MOBILE STAR CORP DE 3.02 02/01/12 MODINE MANUFACTURING CO WI 7.01,9.01 02/03/12 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/09/12 MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 02/09/12 MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 02/08/12 MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 02/09/12 MONTPELIER RE HOLDINGS LTD 2.02,7.01,9.01 02/09/12 MOVE INC DE 2.02,9.01 02/09/12 MULTI COLOR Corp OH 5.02 10/03/11 AMEND MWI Veterinary Supply, Inc. DE 5.07 02/08/12 NANOVIRICIDES, INC. NV 8.01,9.01 02/08/12 NATIONAL BANCSHARES CORP /OH/ OH 5.02 02/09/12 AMEND NATIONAL BANK OF INDIANAPOLIS CORP IN 2.02,9.01 02/09/12 NATIONAL BANKSHARES INC VA 2.02,9.01 02/09/12 NATIONAL RETAIL PROPERTIES, INC. MD 5.02,7.01,9.01 02/06/12 NET 1 UEPS TECHNOLOGIES INC 2.02,5.02,7.01,9.01 02/08/12 NETLOGIC MICROSYSTEMS INC DE 2.02,4.02 02/06/12 NETSUITE INC DE 5.07 05/26/11 AMEND NeurogesX Inc CA 8.01,9.01 02/09/12 NeurogesX Inc CA 8.01,9.01 02/09/12 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 02/06/12 NEWELL RUBBERMAID INC DE 5.02 02/08/12 NEWS CORP 8.01,9.01 02/09/12 NEXTERA ENERGY INC FL 2.03 02/09/12 NF Energy Saving Corp DE 3.02 02/24/10 AMEND Noble Corp / Switzerland V8 1.01,9.01 02/07/12 NOBLE ENERGY INC DE 2.02,9.01 02/09/12 Nuance Communications, Inc. DE 2.02,9.01 02/09/12 NVIDIA CORP DE 1.02 02/07/12 O REILLY AUTOMOTIVE INC 2.02,9.01 02/08/12 Och-Ziff Capital Management Group LLC DE 2.02,8.01,9.01 02/09/12 OmniaLuo, Inc. 4.01,9.01 02/06/12 OphthaliX, Inc. NV 5.02,5.03,5.07,9.01 02/06/12 OVERLAND STORAGE INC CA 2.02,9.01 02/09/12 OWENS MORTGAGE INVESTMENT FUND A CALI CA 4.02 02/06/12 PACER INTERNATIONAL INC TN 2.02,9.01 02/09/12 PACIFIC CAPITAL BANCORP /CA/ DE 5.02,9.01 02/03/12 PAIN THERAPEUTICS INC DE 2.02,9.01 02/09/12 PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,9.01 02/09/12 PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 02/09/12 PennantPark Floating Rate Capital Ltd 2.02,9.01 02/09/12 PennyMac Mortgage Investment Trust MD 2.02,9.01 02/08/12 PEPSICO INC NC 2.02,2.05,5.02,7.01, 02/07/12 8.01,9.01 PERCEPTRON INC/MI MI 2.02,9.01 02/08/12 PERFORMANCE TECHNOLOGIES INC \DE\ DE 1.01,2.03 02/09/12 PHARMACYCLICS INC DE 2.02,9.01 02/09/12 PharMerica CORP DE 2.02,9.01 02/09/12 Philip Morris International Inc. VA 2.02,9.01 02/09/12 Philip Morris International Inc. VA 8.01,9.01 02/09/12 PITNEY BOWES INC /DE/ DE 2.02,9.01 02/09/12 PLUM CREEK TIMBER CO INC DE 5.02,9.01 02/06/12 PMX Communities, Inc. NV 5.02 12/16/11 Point.360 CA 2.02,9.01 02/09/12 POST PROPERTIES INC GA 8.01,9.01 02/09/12 POWERVERDE, INC. NV 1.01,9.01 09/29/11 PRESSURE BIOSCIENCES INC MA 1.01,3.02,9.01 02/09/12 Prestige Brands Holdings, Inc. 2.01,7.01,9.01 02/09/12 PRIVATE MEDIA GROUP INC NV 5.02 02/05/12 PROS Holdings, Inc. DE 2.02,9.01 02/09/12 Protalix BioTherapeutics, Inc. FL 8.01,9.01 02/09/12 QC Holdings, Inc. KS 2.02,8.01,9.01 02/07/12 RAILAMERICA INC /DE DE 2.02,9.01 02/08/12 RAIT Financial Trust MD 2.02,9.01 02/09/12 RALCORP HOLDINGS INC /MO MO 1.01,1.02,2.01,2.03, 02/03/12 2.04,5.02,9.01 RANCHER ENERGY CORP. NV 4.01,9.01 02/03/12 Rand Logistics, Inc. DE 2.02,9.01 02/09/12 REALNETWORKS INC WA 5.02 02/03/12 REALTY INCOME CORP MD 2.02,9.01 02/09/12 RECOVERY ENERGY, INC. NV 3.01 02/02/12 REGIONS FINANCIAL CORP DE 7.01,9.01 02/09/12 REPUBLIC SERVICES, INC. DE 2.02,9.01 02/09/12 RGC RESOURCES INC VA 2.02,9.01 02/07/12 RLI CORP IL 8.01,9.01 02/09/12 Rubicon Technology, Inc. DE 1.01 02/03/12 Ruths Hospitality Group, Inc. DE 5.02,7.01,9.01 02/06/12 Sagebrush Gold Ltd. NV 8.01 02/07/12 Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 02/09/12 SEACOR HOLDINGS INC /NEW/ DE 1.01,8.01,9.01 02/07/12 SEALED AIR CORP/DE DE 2.02,2.05,9.01 02/09/12 SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 02/09/12 SemiLEDs Corp 3.01,5.02,5.07,9.01 02/06/12 SHARPROCK RESOURCES INC. NV 1.01,9.01 02/03/12 Shengkai Innovations, Inc. FL 2.02,8.01,9.01 02/09/12 Shire plc 2.02,9.01 02/09/12 SIGMA ALDRICH CORP DE 2.02,7.01,9.01 02/09/12 SIGNATURE GROUP HOLDINGS, INC. NV 1.01,5.02,7.01,9.01 02/09/12 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 02/09/12 SIRIUS XM RADIO INC. DE 2.02,9.01 02/09/12 SOHU COM INC DE 5.07,9.01 06/17/11 SONOCO PRODUCTS CO SC 2.02,9.01 02/09/12 SOUTHERN COPPER CORP/ DE 2.02,9.01 02/09/12 SPECTRAL CAPITAL Corp 1.01,5.02,9.01 10/19/10 SPECTRANETICS CORP DE 1.01,2.02,9.01 02/06/12 Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 02/09/12 Spirit Airlines, Inc. DE 7.01,9.01 02/09/12 SRKP 16 INC DE 3.02 02/08/12 STATE STREET CORP MA 7.01,8.01,9.01 02/03/12 STATER BROS HOLDINGS INC DE 2.02,9.01 02/07/12 STELLAR PHARMACEUTICALS INC 9.01 12/01/11 AMEND SUNGARD CAPITAL CORP DE 2.02,9.01 02/09/12 SUNTRUST BANKS INC GA 7.01,9.01 02/09/12 SUPREME INDUSTRIES INC DE 2.02,9.01 02/08/12 SYNAGEVA BIOPHARMA CORP DE 7.01,9.01 02/09/12 Synutra International, Inc. DE 2.02,9.01 02/09/12 TALEO CORP DE 1.01,8.01,9.01 02/08/12 TALEO CORP DE 2.02,9.01 02/09/12 TERADATA CORP /DE/ 2.02,7.01,9.01 02/09/12 THERAVANCE INC DE 2.02,5.02,9.01 02/07/12 THERMOGENESIS CORP DE 2.01 02/09/12 Thermon Holding Corp. DE 2.02,9.01 12/31/11 TNP Strategic Retail Trust, Inc. MD 9.01 07/19/11 TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 02/09/12 TRUE RELIGION APPAREL INC DE 2.02,9.01 02/09/12 tw telecom inc. DE 2.02,9.01 02/08/12 TWO RIVERS WATER Co CO 2.03 02/02/12 UNION BANKSHARES INC VT 2.02,5.02,9.01 02/03/12 URBAN OUTFITTERS INC PA 2.02,9.01 02/09/12 Verdant Automotive Corp DE 1.01 02/06/12 VICON INDUSTRIES INC /NY/ NY 2.02,9.01 02/09/12 Village Bank & Trust Financial Corp. 1.01,9.01 02/03/12 VIST FINANCIAL CORP PA 2.02,9.01 02/09/12 Vista International Technologies Inc DE 5.02 02/04/12 VOXX International Corp DE 1.01,8.01 02/07/12 Warner Music Group Corp. DE 2.02,9.01 02/09/12 WELLS CORE OFFICE INCOME REIT INC 1.01 02/08/12 WILLIAMS CONTROLS INC DE 2.02,9.01 02/07/12 WISCONSIN ENERGY CORP WI 7.01,9.01 02/09/12 WIZZARD SOFTWARE CORP /CO CO 5.03,5.07 02/08/12 Wolverine Bancorp, Inc. MD 9.01 02/08/12 WORLD FUEL SERVICES CORP FL 7.01,9.01 02/09/12 XL GROUP PLC L2 2.02,9.01 02/09/12 XO GROUP INC. DE 5.02,9.01 02/03/12 Xylem Inc. IN 7.01,9.01 02/09/12 Your Internet Defender, Inc NV 4.01,9.01 02/09/12 Zalicus Inc. DE 1.02,2.05,5.02,8.01, 02/07/12 9.01 ZBB ENERGY CORP WI 9.01 02/09/12