SEC News Digest, March 1, 2012

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Commission announcements

Securities and Exchange Commission Suspends Trading in the Securities of Four Issuers For Failure to Make Required Periodic Filings

The Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. March 1, 2012 and terminating at 11:59 p.m. EDT on March 14, 2012.

Aduddell Industries, Inc. (ADDL)
Capital Markets Technologies, Inc. (CMKT)
Challenger Powerboats, Inc. (CPBXQ)
CLX Medical, Inc. (CLXM)

The Commission temporarily suspended trading in the securities of these four issuers due to a lack of current and accurate information about the companies because they have 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 these companies.

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 the subject companies 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 these companies 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 the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66493)

Securities and Exchange Commission Suspends Trading in the Securities of China North East Petroleum Holdings Ltd.

The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of China North East Petroleum Holdings Limited (“NEP”), beginning at 9:30 a.m. EST on March 1, 2012, and terminating at 11:59 p.m. EDT on March 14, 2012. NEP is a Nevada corporation with principal executive offices in New York and all of its oil drilling operations in the People’s Republic of China (“China”), and is traded on NYSE Amex under the symbol “NEP.”

Questions have arisen regarding the accuracy and completeness of information contained in NEP’s public filings with the Commission concerning, among other things, certain transfers of cash from the company’s bank accounts to the personal bank accounts of related parties.

The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not it has complied with the rule, such broker or dealer should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5760. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, it should refrain from entering quotations relating to NEP’s securities until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer, or other person has any information which may relate to this matter, they should immediately contact Ansu N. Banerjee, Senior Counsel, at (202) 551-5673, or by e-mail at banerjeea@sec.gov. (Rel. 34-66494)

Enforcement proceedings

In the Matter of Far Vista Interactive Corp., Herzog International Holdings, Inc., Tatonka Oil & Gas Company, Inc., Green Capital Group, Inc., Lone Star International Energy Inc., Wintech Digital System Technology Corp., House of Brussels Chocolates, Inc.

On February 29, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934 and Notice of Hearing, (Order) against Far Vista Interactive Corp., Herzog International Holdings, Inc., Tatonka Oil & Gas Company, Inc., Green Capital Group, Inc., Lone Star International Energy Inc., Wintech Digital System Technology Corp., House of Brussels Chocolates, Inc. (Filers).

The Division of Enforcement alleges in the Order that the Filers have failed to comply with Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 therunder by failing to file quarterly or annual reports.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Filers an opportunity to respond to these allegations, and to determine what sanctions, if any, are necessary or appropriate for the protection of investors. The Order directs the administrative law judge to issue an initial decision within 120 days from the date of service of the Order Instituting Proceedings. (Rel. 34-66490; File No. 3-14781)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Tempest Microsystems, Inc., Transform Logic Corp., Troy Acquisition Corp., The Troy Investment Fund, Two Way TV (US), Inc., University Real Estate Fund 12 Ltd., UST Liquidating Corp., USTelematics, Inc., and Vendalux Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66491; File No. 3-14758)

Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings

In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:

In the Matter of Aduddell Industries, Inc., et al., Administrative Proceeding File No. 3-14782

Aduddell Industries, Inc. (ADDL)
Calypso Wireless, Inc. (CLYW)
Capital Markets Technologies, Inc. (CMKT)
Challenger Powerboats, Inc. (CPBXQ)
CLX Medical, Inc. (CLXM)

In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 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 these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66492; File No. 3-14782)

Court Enters Summary Judgment Against Insider Trading Defendants John Jantzen and Wife, Marleen Jantzen

On Wednesday, February 29, 2012, United States District Judge James R. Nowlin of the Western District of Texas, Austin Division, entered summary judgment against Austin residents Marleen Jantzen, a former assistant to an executive at Dell, Inc., and husband John Jantzen, a Commission-registered securities broker. The Commission previously charged the Jantzens with insider trading in connection with a September 21, 2009 public announcement that Dell would acquire Perot Systems, Corp. in a tender offer transaction.

The Court found that both Jantzens insider traded in violation of Sections 10(b) and 14(e) of the Exchange Act, and Rules 10b-5 and 14e-3(a) thereunder, and that Marleen Jantzen also violated Exchange Act Rule 14e-3(d). The Court enjoined the Jantzens from future violations of those provisions and ordered them to pay disgorgement of $26,920.50, representing profits gained as a result of the illegal insider trading, plus prejudgment interest. The Court deferred a final ruling on the Commission’s request for monetary penalties, pending submission of further briefing by the parties.

In granting this relief, the Court specifically found that “Marleen tipped John and took unprecedented and persistent action to ensure that they were able to maximize their informational advantage.” The Court also found that the evidence showed “a high degree of scienter, particularly with regard to John, who as a licensed securities broker certainly knew what he was doing.”

The Commission’s complaint, filed on October 5, 2010, alleged that Marleen Jantzen learned through an internal Dell email material, nonpublic information regarding Dell’s impending tender offer for the shares of Perot Systems, Inc., and thereafter tipped her husband to the inside information. The Court found that on September 18, 2009, the last trading day before the tender offer announcement, Marleen Jantzen made a highly unusual cash transfer to the couples’ joint brokerage account. Within minutes of this transfer, John Jantzen bought Perot Systems call options and stock and Dell securities in the joint account—in total, purchasing 500 shares of Perot Systems common stock and 24 Perot Systems call option contracts.

On September 21, 2009, Dell and Perot Systems jointly announced the tender offer for Perot Systems’ shares. The stock price immediately rose from $17.91 to $29.56, or approximately 65% from the prior day’s closing price. When John Jantzen cashed out that day, the couple reaped one-day trading profits of $26,920.50. [SEC v. Marleen Jantzen and John Jantzen, 1:10-cv-00740-JRN (W.D. Tex., Austin Div.] (LR-22273)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-NYSEAMEX-2012-013) filed by NYSE Amex, Inc. filing the content outline and selection specifications for the Proprietary Traders Qualification Examination (“Series 56”) program 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 March 5. (Rel. 34-66482)

A proposed rule change (SR-NYSEARCA-2012-16) filed by NYSE Arca, Inc. filing the content outline and selection specifications for the Proprietary Traders Qualification Examination (“Series 56”) program 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 March 5. (Rel. 34-66483)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-016) to amend the Fees Schedule of Market Data Express, LLC 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 March 5. (Rel. 34-66486)

A proposed rule change (SR-C2-2012-007), filed by C2 Options Exchange, Incorporated, to amend the Fees Schedule of Market Data Express, LLC 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 March 5. (Rel. 34-66487)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-22) relating to fees and rebates for adding and removing liquidity in Select Symbols 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 March 5. (Rel. 34-66488)

Approval of Proposed Rule Change

The Commission granted approval of a proposed rule change (SR-NASDAQ-2012-004) submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66489)

Securities Act Registrations

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     SOUTHERN CO, 30 IVAN ALLEN JR. BLVD., N.W., ATLANTA, GA, 30308, 
        4045065000 - 30,000,000 ($1,231,500,000.00) Equity, (File 333-179779 - 
        Feb. 29) (BR. 02A)

S-8     DENDREON CORP, 1301 2ND AVE., SUITE 3200, SEATTLE, WA, 98101, 
        206-219-7815 - 3,000,000 ($38,460,000.00) Equity, (File 333-179780 - 
        Feb. 29) (BR. 01A)

S-8     YAHOO INC, 4083493300 - 0 ($11,677,232.00) Equity, (File 333-179782 - 
        Feb. 29) (BR. 03B)

S-1     Chineseinvestors.com, Inc., 411 E. HUNTINGTON DRIVE, #107-228, ARCADIA, 
        CA, 91006, 626-589-2468 - 2,000,000 ($1,500,000.00) Equity, 
        (File 333-179783 - Feb. 29) (BR. 11A)

S-3ASR  RAYONIER INC, 1301 RIVERPLACE BOULEVARD, SUITE 2300, JACKSONVILLE, FL, 
        32207, 9043579100 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179784 - Feb. 29) (BR. 08C)

S-8     AKAMAI TECHNOLOGIES INC, 8 CAMBRIDGE CENTER, CAMBRIDGE, MA, 02142, 
        6174443000 - 40,000 ($1,456,600.00) Equity, (File 333-179789 - Feb. 29) 
        (BR. 03B)

S-8     INUVO, INC., 15550 LIGHTWAVE DRIVE, THIRD FLOOR, CLEARWATER, FL, 33761, 
        727-324-0046 - 2,685,945 ($2,524,788.00) Equity, (File 333-179790 - 
        Feb. 29) (BR. 11C)

S-3ASR  FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA, 
        16148, 724-981-6000 - 4,000,000 ($47,820,000.00) Equity, 
        (File 333-179791 - Feb. 29) (BR. 07C)

F-1     BioLineRx Ltd., P.O. BOX 45158, 19 HARTUM STREET, JERUSALEM, L3, 91450, 
        972-2-548-9100 - 81,286,737 ($26,221,530.00) ADRs/ADSs, 
        (File 333-179792 - Feb. 29) (BR. 01B)

S-8     VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155, 
        SAN DIEGO, CA, 92130, 760-230-8986 - 43,166,078 ($1,575,561.83) Equity, 
        (File 333-179793 - Feb. 29) (BR. 11A)

S-8     F5 NETWORKS INC, 401 ELLIOT AVE WEST, STE 500, SEATTLE, WA, 98119, 
        2062725555 - 181,829 ($23,386,846.00) Equity, (File 333-179794 - 
        Feb. 29) (BR. 03B)

S-3ASR  OMEGA HEALTHCARE INVESTORS INC, 200 INTERNATIONAL CIRCLE, SUITE 3500, 
        HUNT VALLEY, MD, 21030, 410-427-1700 - 0 ($0.00) Equity, 
        (File 333-179795 - Feb. 29) (BR. 08C)

S-8     PC CONNECTION INC, ROUTE 101A, 730 MILFORD RD, MERRIMACK, NH, 03054, 
        6036832000 - 100,000 ($900,000.00) Equity, (File 333-179796 - Feb. 29) 
        (BR. 02A)

S-8     PC CONNECTION INC, ROUTE 101A, 730 MILFORD RD, MERRIMACK, NH, 03054, 
        6036832000 - 200,000 ($1,800,000.00) Equity, (File 333-179797 - 
        Feb. 29) (BR. 02A)

S-3ASR  MOHAWK INDUSTRIES INC, 160 S INDUSTRIAL BLVD, PO BOX 12069, CALHOUN, 
        GA, 30701, 678-355-5814 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179798 - Feb. 29) (BR. 02C)

S-8     Guidewire Software, Inc., 2211 BRIDGEPOINTE PARKWAY, SAN MATEO, CA, 
        94404, 650-357-9100 - 20,043,393 ($190,946,958.58) Equity, 
        (File 333-179799 - Feb. 29) (BR. 03B)

S-8     BankUnited, Inc., 14817 OAK LANE, MIAMI LAKES, FL, 33016, 
        (305) 569-2000 - 0 ($8,019,198.85) Equity, (File 333-179800 - Feb. 29) 
        (BR. 07C)

S-8     GARMIN LTD, MUHLENTALSTRASSE 2, SCHAFFHAUSEN, V8, CH-8200, 
        41 52 630 1600 - 208,586 ($9,952,680.99) Equity, (File 333-179801 - 
        Feb. 29) (BR. 05A)

S-8     ARRIS GROUP INC, 3871 LAKEFIELD DRIVE, SUWANEE, GA, 30024, 
        678-473-2000 - 4,162,343 ($48,116,685.00) Other, (File 333-179802 - 
        Feb. 29) (BR. 11A)

S-8     AMERISTAR CASINOS INC, 3773 HOWARD HUGHES PKWY, SUITE 490 SOUTH, 
        LAS VEGAS, NV, 89169, 7025677000 - 0 ($63,488,000.00) Equity, 
        (File 333-179803 - Feb. 29) (BR. 08C)

S-8     SunCoke Energy, Inc., 1011 WARRENVILLE ROAD, SUITE 600, LISLE, IL, 
        60532, 630-824-1000 - 1,600,000 ($22,944,000.00) Equity, 
        (File 333-179804 - Feb. 29) (BR. 06A)

S-3ASR  Hatteras Financial Corp, 110 OAKWOOD DRIVE, SUITE 340, Winston Salem, 
        NC, 27103, 336-760-9347 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179805 - Feb. 29) (BR. 08C)

N-2     UBS MULTI-STRAT FUND LLC, UBS FUND ADVISORS LLC, 
        1285 AVENUE OF THE AMERICAS, NEW YORK, NY, 10019, 2128065400 - 
        0 ($1.00) Equity, (File 333-179806 - Feb. 29) (BR. 17)

S-3     CENTRAL PACIFIC FINANCIAL CORP, 220 S KING ST, HONOLULU, HI, 96813, 
        8085440500 - 0 ($301,720,658.09) Other, (File 333-179807 - Feb. 29) 
        (BR. 07C)

S-3ASR  BOEING CO, P O BOX 3707 MS 1F 31, SEATTLE, WA, 98124, 2066552121 - 
        0 ($0.00) Equity, (File 333-179808 - Feb. 29) (BR. 05A)

S-4     MERCER INTERNATIONAL INC., 700 WEST PENDER STREET, SUITE 1120, 
        VANCOUVER, A1, V6C 1G8, 206-674-4639 - 
        15,000,000 ($89,320,326.00) Equity, (File 333-179809 - Feb. 29) 
        (BR. 04B)

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

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

ABERCROMBIE & FITCH CO /DE/             DE       1.01,2.03,9.01       02/24/12

ACACIA RESEARCH CORP                    DE       2.02,4.02            02/28/12

ACCO BRANDS CORP                        DE       7.01                 02/29/12

Accretive Health, Inc.                  DE       2.02,9.01            02/29/12

AEI Income & Growth Fund 26 LLC         DE       2.01,9.01            02/29/12

AETHLON MEDICAL INC                     NV       1.01,2.03,3.02,9.01  02/16/12

AFFIRMATIVE INSURANCE HOLDINGS INC      DE       8.01                 02/28/12

AIR METHODS CORP                        DE       2.02,9.01            02/29/12

Aircastle LTD                           D0       2.02,9.01            02/29/12

Aleris International, Inc.              DE       2.02                 02/29/12

ALEXANDRIA REAL ESTATE EQUITIES INC     MD       1.01,2.03,9.01       02/29/12

ALIGN TECHNOLOGY INC                    DE       5.03,9.01            02/28/12

ALLEGHANY CORP /DE                      DE       5.02                 02/23/12

ALMOST FAMILY INC                       DE       8.01                 02/29/12

Alto Group Holdings Inc.                NV       5.02,8.01            02/23/12

ALTRIA GROUP, INC.                      VA       5.02,5.03,9.01       02/29/12

AMARIN CORP PLC\UK                      X0       2.02,9.01            02/29/12

Ameresco, Inc.                          DE       2.02,9.01            02/29/12

AMERICAN AIRLINES INC                   DE       7.01,9.01            02/29/12

AMERICAN INTERNATIONAL VENTURES INC /   DE       9.01                 02/27/12

AMERICAN SOFTWARE INC                   GA       2.02,9.01            02/29/12

AMR CORP                                DE       7.01                 02/29/12

ANADARKO PETROLEUM CORP                 DE       5.02,9.01            02/28/12

ANSYS INC                               DE       5.02,9.01            02/27/12

ANWORTH MORTGAGE ASSET CORP             MD       5.07                 05/26/11    AMEND

Apollo Commercial Real Estate Finance   MD       2.02,5.02,9.01       02/28/12

ARC WIRELESS SOLUTIONS INC              UT       5.02                 02/27/12

ASSURED GUARANTY LTD                    D0       2.02,9.01            02/28/12

ASTROTECH Corp \WA\                     WA       3.01,9.01            02/28/12

ASURE SOFTWARE INC                      DE       9.01                 12/14/11    AMEND

AT&T INC.                               DE       8.01                 02/29/12

ATLANTIC POWER CORP                     A1       2.02,9.01            02/29/12

AUXILIUM PHARMACEUTICALS INC                     7.01,9.01            02/29/12

AVANIR PHARMACEUTICALS, INC.            DE       1.01                 02/29/12

AVEO PHARMACEUTICALS INC                DE       5.02                 02/23/12

Babcock & Wilcox Co                     DE       2.02,9.01            02/29/12

BALL CORP                               IN       1.01,9.01            02/24/12

Bank of the Carolinas CORP              NC       3.01,9.01            02/23/12

BankGuam Holding Co                              8.01,9.01            02/29/12

BankUnited, Inc.                        DE       7.01,9.01            02/29/12

BENIHANA INC                            DE       7.01,9.01            02/29/12

BGC Partners, Inc.                      DE       8.01                 02/28/12

BIOSHAFT WATER TECHNOLOGY, INC.         NV       1.01,5.02,9.01       02/24/12

BJs RESTAURANTS INC                     CA       8.01,9.01            02/29/12

BKF CAPITAL GROUP INC                   DE       8.01,9.01            02/28/12

Black Tusk Minerals Inc.                NV       7.01,8.01,9.01       02/29/12

Blink Couture Inc.                      DE       1.01,9.01            02/28/12

BOEING CO                               DE       5.02,9.01            02/27/12

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       8.01,9.01            02/28/12

BROADSOFT, INC.                         DE       2.02,9.01            02/29/12

Business Development Corp of America    MD       8.01                 02/29/12

C&J Energy Services, Inc.               DE       5.03,5.08,8.01,9.01  02/27/12

CABLEVISION SYSTEMS CORP /NY            DE       2.02,9.01            02/28/12

CAESARS ENTERTAINMENT Corp              DE       2.02,9.01            02/29/12

CAGLES INC                              GA       2.03                 02/23/12

Cal Dive International, Inc.            DE       2.02,7.01,9.01       02/29/12

CALGON CARBON CORPORATION               DE       7.01,9.01            02/29/12

CALIFORNIA WATER SERVICE GROUP          DE       2.02,9.01            02/29/12

CAPSTONE TURBINE Corp                   DE       1.01,8.01,9.01       02/29/12

CARTERS INC                             DE       2.02,9.01            02/28/12

CASELLA WASTE SYSTEMS INC               DE       2.02,9.01            02/29/12

CASUAL MALE RETAIL GROUP INC            DE       8.01,9.01            02/29/12

CC Media Holdings Inc                            8.01,9.01            02/29/12

CCA INDUSTRIES INC                      DE       8.01,9.01            02/29/12

CENTERPOINT ENERGY INC                           2.02,9.01            02/29/12

CENTRAL EUROPEAN DISTRIBUTION CORP      DE       2.02,9.01            02/29/12

Chatham Lodging Trust                   MD       8.01,9.01            02/29/12

CHESAPEAKE MIDSTREAM PARTNERS LP        DE       2.02,9.01            02/28/12

CHINA FUND INC                          MD       7.01,9.01            01/31/12

CHINA-BIOTICS, INC                      DE       4.01                 02/22/12

CHINA-BIOTICS, INC                      DE       5.02                 02/25/12

CIGNA CORP                              DE       7.01                 02/29/12

CITIGROUP INC                           DE       9.01                 02/29/12

CITIZENS REPUBLIC BANCORP, INC.         MI       7.01,9.01            02/29/12

CLAIBORNE LIZ INC                       DE       2.02,9.01            02/29/12

CLEAR CHANNEL COMMUNICATIONS INC        TX       8.01,9.01            02/29/12

Clear Channel Outdoor Holdings, Inc.    DE       1.01,8.01,9.01       02/29/12

CLECO CORP                              LA       8.01,9.01            02/29/12

CMS ENERGY CORP                         MI       7.01,9.01            02/29/12

CNL LIFESTYLE PROPERTIES INC            MD       8.01,9.01            02/29/12

CNO Financial Group, Inc.               DE       7.01,9.01            02/29/12

Cogdell Spencer Inc.                    MD       8.01                 02/29/12

COLONY RESORTS LVH ACQUISITIONS LLC     NV       1.02                 02/28/12

CombiMatrix Corp                        DE       2.02,9.01            02/29/12

COMFORT SYSTEMS USA INC                          2.02,8.01,9.01       02/29/12

COMMONWEALTH INCOME & GROWTH FUND IV             5.02                 02/29/12

COMMONWEALTH INCOME & GROWTH FUND V              5.02                 02/29/12

Commonwealth Income & Growth Fund VI    PA       5.02                 02/29/12

Commonwealth Income & Growth Fund VII   PA       5.02                 02/29/12

Constellation Energy Partners LLC       DE       2.02,9.01            02/29/12

Copano Energy, L.L.C.                            2.02,9.01            02/28/12

COPART INC                              CA       2.02,9.01            02/28/12

CORPORATE PROPERTY ASSOCIATES 16 GLOB   MD       7.01,9.01            02/29/12

COSTCO WHOLESALE CORP /NEW              WA       2.02,9.01            02/29/12

CPI CORP                                DE       2.05                 02/23/12

CRYO CELL INTERNATIONAL INC             DE       2.02,9.01            02/29/12

CULP INC                                NC       2.02,9.01            02/29/12

DARLING INTERNATIONAL INC               DE       2.02,9.01            02/29/12

DATA I/O CORP                           WA       2.02,9.01            02/28/12

DealerTrack Holdings, Inc.              DE       1.01,8.01,9.01       02/27/12

DEERE & CO                              DE       8.01                 02/29/12

DESTINY MEDIA TECHNOLOGIES INC          CO       3.02                 02/27/12

DFC GLOBAL CORP.                        DE       1.01,2.03,9.01       02/23/12

DiamondRock Hospitality Co                       2.02,9.01            02/29/12

DIGITALGLOBE INC                                 2.02,9.01            02/29/12

DILLARDS INC                            DE       8.01,9.01            02/29/12

Domark International Inc.               NV       1.01,9.01            02/29/12

DTE ENERGY CO                           MI       7.01,9.01            02/29/12

DUPONT FABROS TECHNOLOGY, INC.          MD       5.02,9.01            02/23/12

DXP ENTERPRISES INC                     TX       2.02,9.01            02/29/12

DYCOM INDUSTRIES INC                    FL       2.02,7.01,9.01       02/28/12

DYNASIL CORP OF AMERICA                 NJ       4.01,9.01            02/29/12

DYNASIL CORP OF AMERICA                 NJ       5.07,8.01            02/29/12

E TRADE FINANCIAL Corp                  DE       5.02                 02/24/12

Edgen Murray II, L.P.                   DE       2.02                 02/29/12

EDGEWATER TECHNOLOGY INC/DE/            DE       2.02,9.01            02/29/12

EDISON INTERNATIONAL                    CA       2.02,7.01,9.01       02/29/12

ELITE PHARMACEUTICALS INC /NV/          NV       1.01,9.01            12/30/11    AMEND

EME HOMER CITY GENERATION LP            PA       2.06,7.01,9.01       02/29/12

Employers Holdings, Inc.                NV       2.02,8.01,9.01       02/27/12    AMEND

ENDEAVOUR INTERNATIONAL CORP            NV       2.02,7.01,9.01       02/29/12

ENDEAVOUR INTERNATIONAL CORP            NV       1.01,2.03,8.01,9.01  02/23/12

ENDO PHARMACEUTICALS HOLDINGS INC       DE       7.01,9.01            02/29/12

Energy Future Holdings Corp /TX/        TX       1.01,2.03,9.01       02/28/12

Energy Recovery, Inc.                   DE       5.02                 02/24/12

ENERNOC INC                             DE       5.02                 02/27/12

Ensco plc                                        2.02,9.01            02/23/12

ENTEST BIOMEDICAL, INC.                 NV       1.01,1.02,5.03,9.01  02/22/12

EPICEPT CORP                                     2.02,9.01            02/29/12

EPIQ SYSTEMS INC                        MO       2.02,9.01            02/29/12

EWaste Systems, Inc.                    NV       1.01,2.01,3.03,5.03, 10/14/11    AMEND
                                                 5.06,7.01,9.01

EXPRESS SCRIPTS INC                     DE       5.02,8.01,9.01       02/23/12

EXTERRAN PARTNERS, L.P.                 DE       1.01,8.01,9.01       02/29/12

EXXON MOBIL CORP                        NJ       5.02                 02/24/12

FEDERAL NATIONAL MORTGAGE ASSOCIATION            2.02,7.01,9.01       02/29/12

FedFirst Financial Corp                          8.01,9.01            02/28/12

FelCor Lodging Trust Inc                MD       2.02,9.01            02/29/12

FERRO CORP                              OH       2.02,9.01            02/28/12

FIELDPOINT PETROLEUM CORP               CO       7.01,9.01            02/29/12

FINISAR CORP                            DE       2.02,9.01            02/29/12

FIRST ACCEPTANCE CORP /DE/              DE       2.02,9.01            02/29/12

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       5.02                 02/24/12

FIRST MIDWEST BANCORP INC               DE       7.01,9.01            02/29/12

FIRST NIAGARA FINANCIAL GROUP INC       DE       7.01,9.01            02/29/12

First Savings Financial Group Inc                5.07                 02/28/12

Flagstone Reinsurance Holdings, S.A.    N4       2.02,9.01            02/21/12

FLANIGANS ENTERPRISES INC               FL       5.07                 02/24/12

FLOWERS FOODS INC                       GA       5.02,9.01            02/23/12

FLUSHING FINANCIAL CORP                 DE       8.01,9.01            02/28/12

Freescale Semiconductor Holdings I, L   D0       1.01,2.03,8.01,9.01  02/28/12

FRESH DEL MONTE PRODUCE INC             E9       8.01,9.01            02/29/12

FTI CONSULTING INC                      MD       7.01,9.01            02/24/12

FUEL DOCTOR HOLDINGS, INC.              DE       1.01,2.01,3.02,3.03, 08/24/11    AMEND
                                                 5.01,5.02,5.06,9.01
        
FXCM Inc.                                        7.01,9.01            02/29/12

GARDNER DENVER INC                      DE       4.01,9.01            02/27/12    AMEND

GenOn Energy, Inc.                      DE       2.02,9.01            02/29/12

GLADSTONE INVESTMENT CORPORATION\DE     DE       1.01,3.03,5.03,9.01  02/28/12

GLOBAL CASINOS INC                      UT       5.02                 02/28/12

GLOBAL FOOD TECHNOLOGIES, INC.          DE       5.02                 02/01/12

GOLDEN PHOENIX MINERALS INC             NV       2.04                 01/24/12

GP STRATEGIES CORP                      DE       2.02,9.01            02/29/12

Green Plains Renewable Energy, Inc.     IA       1.01,5.02,9.01       02/28/12

GROUP 1 AUTOMOTIVE INC                  DE       5.02,7.01,9.01       02/27/12

GSE SYSTEMS INC                         DE       5.02                 02/29/12

HEALTH CARE REIT INC /DE/               DE       8.01,9.01            02/29/12

HEALTH CARE REIT INC /DE/               DE       8.01,9.01            02/29/12

HELMERICH & PAYNE INC                   DE       7.01,9.01            02/29/12

HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       2.02,9.01            02/29/12

HERITAGE COMMERCE CORP                  CA       8.01,9.01            02/29/12

HERTZ CORP                              DE       8.01,9.01            02/28/12

HERTZ GLOBAL HOLDINGS INC                        8.01,9.01            02/28/12

hhgregg, Inc.                           DE       8.01                 02/29/12

HICKORY TECH CORP                       MN       8.01,9.01            02/28/12

Hines Global REIT, Inc.                 MD       9.01                 12/15/11    AMEND

HINES REAL ESTATE INVESTMENT TRUST IN            8.01                 02/29/12

HMS HOLDINGS CORP                                9.01                 12/16/11    AMEND

Hoku Corp                               DE       1.01,2.03,3.01,9.01  02/23/12

HOLOGIC INC                             DE       1.01,2.03,3.02,9.01  02/28/12

HomeStreet, Inc.                        WA       5.03,8.01,9.01       02/29/12

HomeStreet, Inc.                        WA       2.02,9.01            02/29/12

HOSPITALITY PROPERTIES TRUST            MD       2.02,9.01            02/29/12

Howard Hughes Corp                      DE       3.03,5.03,9.01       02/24/12

ICAD INC                                DE       2.02,9.01            02/27/12

ICF International, Inc.                 DE       2.02,9.01            02/29/12

IHS Inc.                                DE       7.01                 02/29/12

IMAGE SENSING SYSTEMS INC               MN       2.02,9.01            02/29/12

ImmunoCellular Therapeutics, Ltd.       DE       1.01,9.01            02/23/12

inContact, Inc.                         DE       2.02,9.01            02/29/12

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       1.01,5.02,9.01       02/23/12

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       8.01,9.01            02/29/12

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,9.01            02/24/12

Interval Leisure Group, Inc.            DE       8.01,9.01            02/29/12

INTL FCSTONE INC.                       DE       5.02,5.07,8.01       02/23/12

Intrepid Potash, Inc.                   DE       7.01,9.01            02/29/12

IPARTY CORP                             DE       2.02,9.01            02/29/12

IROBOT CORP                             DE       5.02,7.01,9.01       02/27/12

IRONCLAD PERFORMANCE WEAR CORP                   2.02,7.01,9.01       02/29/12

ISIS PHARMACEUTICALS INC                DE       2.02,9.01            02/29/12

Islet Sciences, Inc                     NV       1.01,9.01            02/23/12

JACOBS ENTERTAINMENT INC                DE       1.01,9.01            02/23/12

JOY GLOBAL INC                          DE       2.02,7.01,9.01       02/29/12

KERYX BIOPHARMACEUTICALS INC            DE       2.02,9.01            02/29/12

KIMCO REALTY CORP                       MD       5.02,9.01            02/23/12

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 02/29/12

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 02/29/12

KINDER MORGAN, INC.                     DE       7.01                 02/29/12

Kraton Performance Polymers, Inc.       DE       2.02,9.01            02/29/12

LAKELAND BANCORP INC                    NJ       8.01,9.01            02/29/12

LANDAUER INC                            DE       8.01,9.01            02/28/12

LANDMARK ENERGY ENTERPRISE, INC.        NV       5.02                 02/16/12

LATTICE SEMICONDUCTOR CORP              DE       8.01,9.01            02/29/12

LD HOLDINGS, INC.                       NV       8.01                 02/29/12

LHC Group, Inc                                   2.02,9.01            02/29/12

LIBERTY STAR URANIUM & METALS CORP.     NV       1.01,3.02,9.01       02/23/12

Life Technologies Corp                  DE       2.02,7.01,9.01       02/07/12    AMEND

LIGHTING SCIENCE GROUP CORP             DE       1.01,3.02,5.03,9.01  02/24/12

LINCOLN ELECTRIC HOLDINGS INC           OH       1.01,5.02,9.01       02/23/12

LIQTECH INTERNATIONAL INC               NV       8.01                 02/29/12

LIQUIDITY SERVICES INC                  DE       5.02,9.01            02/23/12

LODGENET INTERACTIVE CORP               DE       1.01,5.02,9.01       02/28/12

LORAL SPACE & COMMUNICATIONS INC.       DE       2.02,9.01            02/28/12

MAGNUM HUNTER RESOURCES CORP            DE       2.02,7.01,9.01       02/29/12

Market Leader, Inc.                     WA       2.02,9.01            02/29/12

MARKWEST ENERGY PARTNERS L P                     2.02,9.01            02/28/12

MB FINANCIAL INC /MD                             7.01                 02/28/12

MBIA INC                                CT       2.02,7.01,9.01       02/29/12

MCDERMOTT INTERNATIONAL INC             R1       2.02,9.01            02/29/12

MCGRATH RENTCORP                        CA       2.02,9.01            02/29/12

MEDICAL PROPERTIES TRUST INC                     1.01,2.01,9.01       02/29/12

MEDIVATION, INC.                        DE       2.02,9.01            02/29/12

MedPro Safety Products, Inc.            NV       2.02,9.01            02/27/12

MEMSIC Inc                                       2.02,9.01            02/29/12

MET PRO CORP                            PA       2.01,9.01            02/29/12

MET PRO CORP                            PA       5.02                 02/29/12

METALICO INC                                     8.01,9.01            02/29/12

MID AMERICA APARTMENT COMMUNITIES INC   TN       1.01,9.01            02/27/12

MIDDLEBY CORP                           DE       5.02,9.01            02/28/12

MIDDLEBY CORP                           DE       2.02,9.01            02/29/12

MIMEDX GROUP, INC.                      FL       2.02,5.02,9.01       02/23/12

MOHEGAN TRIBAL GAMING AUTHORITY                  8.01,9.01            02/29/12

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       5.07                 06/14/11    AMEND

Monotype Imaging Holdings Inc.          DE       1.01,5.02,9.01       02/27/12

Morgans Hotel Group Co.                 DE       7.01                 02/28/12

MRV COMMUNICATIONS INC                  DE       5.02,9.01            02/23/12

Mueller Water Products, Inc.            DE       7.01,9.01            02/29/12

NACCO INDUSTRIES INC                    DE       2.02,9.01            02/29/12

NACCO INDUSTRIES INC                    DE       2.02,7.01,9.01       02/29/12

NATIONAL PENN BANCSHARES INC            PA       8.01                 02/29/12

NEKTAR THERAPEUTICS                     DE       1.01,2.01,7.01       02/24/12

NEKTAR THERAPEUTICS                     DE       2.02,9.01            02/29/12

Net Element, Inc.                       DE       1.01,9.01            02/23/12

New Enterprise Stone & Lime Co., Inc.   DE       7.01,9.01            02/29/12

New Mountain Finance AIV Holdings Cor            5.03,9.01            02/24/12

NEWS CORP                                        8.01,9.01            02/29/12

Niska Gas Storage Partners LLC          DE       7.01,9.01            02/29/12

NORTHERN OIL & GAS, INC.                         2.02,9.01            01/28/12

NORTHWESTERN CORP                       DE       7.01,9.01            02/29/12

NPS PHARMACEUTICALS INC                 DE       5.02,9.01            02/28/12

NTELOS HOLDINGS CORP                             2.02,9.01            02/29/12

NUVILEX, INC.                           NV       4.01,9.01            02/09/12    AMEND

NxStage Medical, Inc.                   DE       2.02,9.01            02/29/12

Ocean Electric Inc.                              9.01                 02/24/12

Ocean Electric Inc.                              5.03,9.01            02/24/12

Oilsands Quest Inc                               1.01                 02/22/12    AMEND

Opexa Therapeutics, Inc.                TX       8.01,9.01            02/29/12

ORGANOVO HOLDINGS, INC.                 DE       8.01,9.01            02/28/12

ORIGINOIL INC                           NV       8.01,9.01            02/24/12

OXFORD INDUSTRIES INC                   GA       7.01,9.01            02/29/12

Oxford Resource Partners LP             DE       2.02,9.01            02/29/12

Pathfinder Cell Therapy, Inc.           DE       2.03,3.02,4.01       10/28/11

PAULSON CAPITAL CORP                    OR       8.01,9.01            02/29/12

PAULSON CAPITAL CORP                    OR       8.01,9.01            02/29/12

PAWS Pet Company, Inc.                  IL       1.01,2.01,3.02,9.01  02/29/12

PEGASYSTEMS INC                         MA       2.02,9.01            02/29/12

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       2.02,9.01            02/23/12

PEOPLES BANCORP INC                     OH       5.02,9.01            02/29/12    AMEND

PETSMART INC                            DE       2.02,9.01            02/29/12

PG&E CORP                               CA       7.01,9.01            02/28/12

PINNACLE AIRLINES CORP                  DE       7.01                 02/29/12

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            02/29/12

PLURISTEM THERAPEUTICS INC              NV       7.01,9.01            02/29/12

PNM RESOURCES INC                       NM       2.02                 02/29/12

POLARIS INDUSTRIES INC/MN               MN       7.01,9.01            02/29/12

PPL Corp                                         5.02,9.01            02/29/12

PREMIER HOLDING CORP.                   NV       3.02,5.02,8.01,9.01  02/22/12

PURE CYCLE CORP                         CO       8.01                 02/27/12

Quad/Graphics, Inc.                     WI       2.02,9.01            02/28/12

QUALITY DISTRIBUTION INC                FL       2.02,9.01            02/28/12

QUEST DIAGNOSTICS INC                   DE       5.02                 12/06/11    AMEND

QUIDEL CORP /DE/                        DE       2.02,9.01            02/29/12

Radius Health, Inc.                     DE       1.01,5.02,9.01       02/23/12

RAINMAKER SYSTEMS INC                   DE       2.02,7.01,9.01       02/29/12

RAMCO GERSHENSON PROPERTIES TRUST       MD       5.02,5.03,9.01       02/23/12

RAYMOND JAMES FINANCIAL INC             FL       8.01                 02/29/12

Regency Energy Partners LP              DE       7.01,9.01            02/29/12

RELIV INTERNATIONAL INC                 DE       2.02,9.01            02/29/12

RESPECT YOUR UNIVERSE, INC.             NV       1.01,3.02,7.01,9.01  02/24/12

Rock-Tenn CO                            GA       8.01,9.01            02/29/12

Rose Rock Midstream, L.P.                        2.02,9.01            02/29/12

ROSETTA STONE INC                                2.02,7.01,9.01       02/29/12

SARATOGA INVESTMENT CORP.               MD       1.01,2.03,9.01       02/24/12

SAUER DANFOSS INC                       DE       2.02                 02/29/12

SaveDaily Inc                           NV       5.02,9.01            02/22/12

SeaCube Container Leasing Ltd.                   2.02,9.01            02/29/12

SecureAlert, Inc.                       UT       8.01,9.01            02/28/12

SemGroup Corp                           DE       2.02,9.01            02/29/12

SensiVida Medical Technologies, Inc.    NJ       5.02                 02/27/12

SERENA SOFTWARE INC                     DE       5.02,5.07,9.01       02/23/12

SERVICEMASTER CO                        DE       2.02,9.01            02/29/12

Shire plc                                        8.01,9.01            02/28/12

Shire plc                                        8.01,9.01            02/27/12

Shopoff Properties Trust, Inc.          MD       7.01,8.01,9.01       02/20/12

SIGNET JEWELERS LTD                              8.01                 02/29/12

Sino Agro Food, Inc.                    NV       1.01,7.01,9.01       02/29/12

SolarWinds, Inc.                        DE       5.02                 02/29/12

Sorrento Therapeutics, Inc.             DE       5.02                 02/23/12

SOUTHERN CALIFORNIA EDISON CO           CA       2.02,9.01            02/29/12

SOUTHWESTERN ENERGY CO                  DE       8.01,9.01            02/29/12

SS&C Technologies Holdings Inc          DE       1.01,9.01            02/28/12

STAKOOL, INC.                           NV       8.01                 01/20/12

STANDARD PARKING CORP                   DE       1.01,3.02,8.01,9.01  02/28/12

STAPLES INC                             DE       2.02,9.01            02/29/12

STAR SCIENTIFIC INC                     DE       1.01,3.02            02/28/12

STARTEK INC                             DE       1.01,1.02,2.03,9.01  02/28/12

STARWOOD PROPERTY TRUST, INC.                    2.02,9.01            02/29/12

STEINER LEISURE Ltd                     C5       2.02,9.01            12/31/11

STIFEL FINANCIAL CORP                   DE       7.01,9.01            02/29/12

STONE ENERGY CORP                       DE       7.01,9.01            02/28/12

STRATEGIC HOTELS & RESORTS, INC                  2.02,9.01            02/23/12

Stream Global Services, Inc.            DE       2.02,9.01            02/29/12

STRUCTURED PRODUCTS CORP CORTS TRUST    DE       8.01                 02/24/12

Summit Hotel Properties, Inc.           MD       2.02,9.01            02/28/12

SUREWEST COMMUNICATIONS                 CA       2.02,9.01            02/29/12

TALEO CORP                              DE       2.02,8.01            02/23/12

TANGER FACTORY OUTLET CENTERS INC       NC       1.01,2.03,5.02,7.01, 02/24/12
                                                 9.01
          
TELETECH HOLDINGS INC                   DE       2.02,8.01,9.01       02/23/12

TETRA TECH INC                          DE       5.07                 02/28/12

TIME WARNER CABLE INC.                  DE       7.01,8.01,9.01       02/29/12

TITANIUM METALS CORP                    DE       2.02,7.01,9.01       02/29/12

Transocean Ltd.                         V8       8.01                 02/29/12

TRI CITY BANKSHARES CORP                WI       8.01                 01/30/12

TrueBlue, Inc.                          WA       5.02                 02/27/12

UMH PROPERTIES, INC.                    MD       5.07                 06/13/11    AMEND

United American Petroleum Corp.         NV       5.02,9.01            02/28/12

Vanguard Natural Resources, LLC         DE       1.01,7.01,9.01       02/29/12

Vanity Events Holding, Inc.             DE       5.02                 02/23/12

VelaTel Global Communications, Inc.     NV       1.01,1.02,5.02,8.01, 02/23/12
                                                 9.01
          
VIAD CORP                               DE       1.01,3.03,9.01       02/28/12

VIAD CORP                               DE       1.01,3.03,9.01       02/28/12    AMEND

VIKING SYSTEMS INC                      DE       2.02,9.01            02/29/12

VIRGIN MEDIA INC.                       DE       1.01,8.01,9.01       02/28/12

VISTA GOLD CORP                         B0       7.01,9.01            02/27/12

VISTEON CORP                            DE       8.01,9.01            02/23/12

Vitacost.com, Inc.                      DE       5.02,9.01            02/24/12

Vital Products, Inc.                    DE       1.01                 02/24/12

Vuzix Corp                              DE       1.01,2.03,9.01       02/23/12

W P CAREY & CO LLC                      DE       7.01,9.01            02/29/12

W R GRACE & CO                          DE       5.02                 02/23/12

WABASH NATIONAL CORP /DE                DE       2.02,9.01            02/29/12

WebMD Health Corp.                      DE       5.02,9.01            02/23/12

WEBSTER FINANCIAL CORP                  DE       7.01                 02/29/12

WELLS CORE OFFICE INCOME REIT INC                8.01                 02/29/12

WELLS REAL ESTATE FUND XIV LP           GA       1.01,2.01,9.01       02/24/12

WERNER ENTERPRISES INC                  NE       7.01,9.01            02/28/12

WESTAR ENERGY INC /KS                   KS       8.01,9.01            02/27/12

WESTERN DIGITAL CORP                    DE       7.01,9.01            02/28/12

Western Union CO                        DE       5.02                 02/24/12

Wilhelmina International, Inc.          DE       8.01                 02/24/12

WINTRUST FINANCIAL CORP                 IL       7.01,9.01            02/27/12

WISCONSIN ENERGY CORP                   WI       7.01,9.01            02/29/12

WORDLOGIC CORP                          NV       7.01                 02/29/12

WORLD ACCEPTANCE CORP                   SC       8.01                 02/29/12

XL GROUP PLC                            L2       5.02,9.01            02/24/12

Yankee Holding Corp.                    DE       5.02,9.01            02/23/12

YCC Holdings LLC                        DE       5.02,9.01            02/23/12

Zalicus Inc.                            DE       5.02                 02/29/12

ZION OIL & GAS INC                      DE       7.01,9.01            02/29/12

ZIOPHARM ONCOLOGY INC                   DE       8.01,9.01            02/29/12

Zumiez Inc                              WA       7.01,9.01            02/29/12

http://www.sec.gov/news/digest/2012/dig030112.htm

SEC News Digest