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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2012-42
March 2, 2012

Commission announcements

Marshall Gandy Named Head of Examinations Program in SEC’s Fort Worth Regional Office

The Securities and Exchange Commission today announced the appointment of Marshall Gandy as Associate Regional Director for Examinations in the agency’s Fort Worth Regional Office.

Mr. Gandy has served as a Senior Regional Counsel at FINRA since 2008.  Before that he was a trial counsel and enforcement attorney at the SEC, the Presiding Judge in a Dallas County Criminal Court, and an Assistant District Attorney in Dallas County.  In his new position as Associate Regional Director for Examinations, Mr. Gandy will lead a staff of approximately 40 accountants, examiners, attorneys, and support personnel responsible for examining broker-dealers, investment companies, investment advisers, and transfer agents in Texas, Oklahoma, and Arkansas.

“Marshall has a deep commitment to public service and the SEC’s core mission, and brings a wealth of experience as a securities lawyer, county court judge, and assistant district attorney,” said David Woodcock, Director of the SEC’s Fort Worth Regional Office.  “His experience and leadership make him well-suited for our mission to prevent fraud, promote compliance, monitor risk, and inform policy.”

Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “I am pleased to welcome Marshall to the exam program and back to the SEC.  His hard work, experience, and tenacity will make him a real asset in implementing the national examination program’s strategies for investor protection and market integrity at a time of significant regulatory change.”

Mr. Gandy said, “I am thrilled and privileged to have the opportunity to return to the Commission and work with the enormously dedicated team in the Fort Worth Regional Office to help protect investors through administering the SEC's nationwide examination and inspection program.”

Mr. Gandy received his law degree from Southern Methodist University and his bachelor’s degree from Sam Houston State University. (Press Rel. 2012-36)

Judge Orders Brookstreet CEO to Pay $10 Million Penalty in SEC Case

The Securities and Exchange Commission today announced that a federal judge has ordered the former CEO of Brookstreet Securities Corp. to pay a maximum $10 million penalty in a securities fraud case related to the financial crisis.

The SEC litigated the case beginning in December 2009, when the agency charged Stanley C. Brooks and Brookstreet with fraud for systematically selling risky mortgage-backed securities to customers with conservative investment goals.  Brookstreet and Brooks developed a program through which the firm’s registered representatives sold particularly risky and illiquid types of Collateralized Mortgage Obligations (CMOs) to more than 1,000 seniors, retirees, and others for whom the securities were unsuitable.  Brookstreet and Brooks continued to promote and sell the risky CMOs even after Brooks received numerous warnings that these were dangerous investments that could become worthless overnight.  The fraud caused severe investor losses and eventually caused the firm to collapse.

The Honorable David O. Carter in federal court in Los Angeles granted summary judgment in favor of the SEC on February 23, finding Brookstreet and Brooks liable for violating Section 10(b) of the Securities Exchange Act of 1934 as well as Rule 10b-5.  The judge entered a final judgment in the case yesterday and ordered the financial penalty sought by the SEC. 

“Brooks’ aggressive promotion and sale of risky mortgage products to seniors and other risk-averse investors deserves the maximum penalty possible, and that is what he got,” said Robert Khuzami, Director of the SEC’s Division of Enforcement.  “Those who direct such exploitative practices from the boardroom will be held personally accountable and face severe consequences for their egregious actions.”

Rosalind Tyson, Director of the SEC’s Los Angeles Regional Office, added, “The CMOs that Brookstreet sold its customers were among the most risky of all mortgage-backed securities.  This judgment highlights the responsibility of brokerage firm principals to ensure the suitability of the securities they sell to customers.”

In addition to the $10,010,000 penalty, Brooks was ordered to pay $110,713.31 in disgorgement and prejudgment interest.  The court’s judgment also enjoins both Brookstreet and Brooks from violating Section 10(b) of the Exchange Act as well as Rule 10b-5. 

The SEC is awaiting a court decision in a separate Brookstreet-related enforcement action filed in federal court in Florida.  In that case, the SEC charged 10 former Brookstreet registered representatives with making misrepresentations to investors in the purchases and sales of risky CMOs.  Two representatives settled the charges, and the SEC tried the case against the remaining eight representatives in October 2011.

The SEC has brought enforcement actions stemming from the financial crisis against 95 entities and individuals, including 49 CEOs, CFOs, and other senior officers. (Press Rel. 2012-37)

Commission Meetings

Closed Meeting on Thursday, March 8, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, March 8, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; an adjudicatory matter; 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.

ENFORCEMENT PROCEEDINGS

Commission Declares Decision as to James Frankfurth Final

The Commission has declared final the initial decision of an administrative law judge barring James Frankfurth from associating with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and from participating in any penny stock offering. The initial decision found that on May 9, 2005, the United States District Court for the Eastern District of New York accepted a guilty plea by Frankfurth to one count of conspiracy to commit securities fraud in violation of 18 U.S.C. § 371. United States v. Kozak, 02-CR-879 (Kozak case). On June 21, 2010, a criminal judgment was entered against Frankfurth in the Kozak case, and he was sentenced to five years probation, which included six months home detention and ordered to pay restitution in the amount of $338,338.

Frankfurth was the executive director of a Delaware limited liability company operating out of San Diego, California. From approximately April 1999 through May 2001, Frankfurth, along with co-conspirators, sold unregistered securities to 95 investors. Frankfurth's sales agents employed cold-calling and high-pressure techniques in their solicitation of investors. The sales of the unregistered offering raised approximately $3.1 million. Frankfurth also repeatedly misrepresented his commissions to investors. Frankfurth and his co-conspirators circulated Private Placement Memorandums (PPMs) to investors. The PPMs materially misrepresented that between ten and fifteen percent of the proceeds would be paid as commissions to Frankfurth and an independent sales office (ISO) that Frankfurth operated. In reality, the commissions were between thirty and forty-five percent of the investor's proceeds, which were concealed by Frankfurth and his co-conspirators.

The initial decision also found that Frankfurth's actions were egregious and recurrent. Additionally, Frankfurth has made no assurances against future violations. And, because his securities licenses have lapsed, without the imposition of a bar, Frankfurth would be able to retake the licensing examinations and return to the securities industry, which would present opportunities for future violations. (Rel. 34-66504; File No. 3-14509)

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of Heli Electronics Corp. has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66505; File No. 3-14736)

SELF-REGULATORY ORGANIZATIONS

Proposed Rule Changes

NASDAQ OMX PHLX LLC filed a proposed rule change (SR-Phlx-2012-23) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend registration and qualification requirements. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66497)

ICE Clear Credit LLC filed a proposed rule change (SR-ICC-2012-01) under Section 19(b)(1) of the Securities Exchange Act of 1934 to provide that one hundred percent (100%) of the Initial Margin requirement for client-related positions cleared in a clearing participant’s customer account origin may be satisfied by a clearing participant utilizing US Treasuries. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66500)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-020) to amend the CBOE Stock Exchange Fees Schedule 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. 34-66498)

A proposed rule change filed by NASDAQ OMX BX, Inc. to amend the BOX LLC Agreement (SR-BX-2012-014) 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. 34-66501)

Approval of Proposed Rule Changes

The Commission approved a proposed rule change submitted by the Chicago Stock Exchange, Inc. (SR-CHX-2012-02) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to add to and amend its rules regarding the obligations of Institutional Brokers registered with the Exchange. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66503)

A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) amending rules relating to credit default swap guaranty fund (SR-CME-2012-01) has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66506)

Designation of Longer Period For Commission Action on Proposed Rule Change

The Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASDAQ-2012-002) filed by The NASDAQ Stock Market LLC to adopt an alternative to the $4 initial listing bid price requirement for the Nasdaq Capital Market of either $2 or $3, if certain other listing requirements are met. Publication is expected in the Federal Register during the week of March 5. (Rel. 34-66499)

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     PACIFIC BIOSCIENCES OF CALIFORNIA INC, 1380 WILLOW ROAD, MENLO PARK, 
        CA, 94025, 650-521-8000 - 4,397,100 ($18,072,081.00) Equity, 
        (File 333-179810 - Mar. 1) (BR. 10C)

S-8     Bazaarvoice Inc, 3900 N. CAPITAL OF TEXAS HIGHWAY, SUITE 300, AUSTIN, 
        TX, 78746, 512-732-9990 - 0 ($133,791,167.18) Equity, 
        (File 333-179811 - Mar. 1) (BR. 03)

S-3ASR  KINDER MORGAN, INC., 500 DALLAS STREET, SUITE 1000, HOUSTON, TX, 77002, 
        713-369-9000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179812 - Mar. 1) (BR. 02C)

S-3ASR  KINDER MORGAN MANAGEMENT LLC, 500 DALLAS, SUITE 1000, HOUSTON, TX, 
        77002, 713-369-9000 - 0 ($0.00) Equity, (File 333-179813 - Mar. 1) 
        (BR. 02C)

S-3     KINDER MORGAN MANAGEMENT LLC, 500 DALLAS, SUITE 1000, HOUSTON, TX, 
        77002, 713-369-9000 - 0 ($750,000,000.00) Equity, (File 333-179814 - 
        Mar. 1) (BR. 02C)

S-1     QUINKO-TEK INTERNATIONAL, INC., 1855 HYMUS BLVD., DORVAL, A8, H9P 1J8, 
        514-685-2707 - 4,005,640 ($132,186.12) Equity, (File 333-179820 - 
        Mar. 1) (BR. 02)

S-3ASR  NISOURCE INC/DE, 801 EAST 86TH AVE, MERRILLVILLE, IN, 46410-6272, 
        2196475200 - 0 ($28,236,000.00) Equity, (File 333-179821 - Mar. 1) 
        (BR. 02A)

S-3ASR  HARTFORD LIFE INSURANCE CO, 200 HOPMEADOW STREET, SIMSBURY, CT, 06089, 
        860-547-5000 - 0 ($2,985,200,000.00) Other, (File 333-179822 - Mar. 1) 
        (BR. 01A)

S-8     Fairmount Bancorp, Inc., 8216 PHILADELPHIA ROAD, BALTIMORE, MD, 21237, 
        410-866-4500 - 0 ($876,512.40) Equity, (File 333-179823 - Mar. 1) 
        (BR. 07C)

S-8     EASTERN VIRGINIA BANKSHARES INC, P O BOX 1455, 330 HOSPITAL ROAD, 
        TAPPAHANNOCK, VA, 22560, 8044438400 - 0 ($2,723.00) Equity, 
        (File 333-179824 - Mar. 1) (BR. 07B)

S-3ASR  TOYOTA MOTOR CREDIT CORP, 19001 S. WESTERN AVENUE, TORRANCE, CA, 90509, 
        (310) 468-1310 - 0 ($0.00) Debt, (File 333-179826 - Mar. 1) (BR. 07B)

S-8     Energizer Resources, Inc., 520 ? 141 ADELAIDE ST. W., TORONTO, A6, 
        M5H 3L5, 416-364-4986 - 5,000,000 ($1,550,000.00) Equity, 
        (File 333-179827 - Mar. 1) (BR. 09A)

S-3     Summit Hotel Properties, Inc., 2701 S. MINNESOTA AVENUE, SUITE 6, 
        SIOUX FALLS, SD, 57105, 605 361-9566 - 
        0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-179828 - 
        Mar. 1) (BR. 08C)

S-4     Delphi Automotive PLC, COURTNEY ROAD, HOATH WAY, GILLINGHAM, KENT, X0, 
        ME8 0RU, 011-44-163-423-4422 - 0 ($1,000,000,000.00) Debt, 
        (File 333-179829 - Mar. 1) (BR. 05B)

S-8     UNITEDHEALTH GROUP INC, UNITEDHEALTH GROUP CENTER, 9900 BREN ROAD EAST, 
        MINNEAPOLIS, MN, 55343, 9529361300 - 0 ($19,253,500.00) Equity, 
        (File 333-179830 - Mar. 1) (BR. 01B)

S-3ASR  FIRST INDUSTRIAL REALTY TRUST INC, 311 S WACKER DRIVE, SUITE 3900, 
        CHICAGO, IL, 60606, 3123444300 - 0 ($0.00) Other, (File 333-179831 - 
        Mar. 1) (BR. 08B)

S-8     SUNPOWER CORP, 77 RIO ROBLES, SAN JOSE, CA, 95134, 408-240-5500 - 
        3,014,265 ($23,631,837.60) Equity, (File 333-179833 - Mar. 1) (BR. 10C)

S-1     ELITE PHARMACEUTICALS INC /NV/, 165 LUDLOW AVENUE, NORTHVALE, NJ, 
        07647, 2017502646 - 71,071,429 ($6,751,786.00) Equity, 
        (File 333-179834 - Mar. 1) (BR. 01A)

S-3ASR  PROGRESS ENERGY INC, 410 S WILMINGTON ST, RALEIGH, NC, 27601, 
        9195466463 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179835 - Mar. 1) (BR. 02A)

S-8     BIG LOTS INC, 300 PHILLIPI ROAD, P.O.BOX 28512, COLUMBUS, OH, 
        43228-0512, 614-278-6800 - 881,215 ($38,297,604.00) Equity, 
        (File 333-179836 - Mar. 1) (BR. 02C)

S-3     ROYAL CARIBBEAN CRUISES LTD, 1050 CARIBBEAN WAY, MIAMI, FL, 33132, 
        3055396000 - 63,220,873 ($1,827,083,230.00) Other, (File 333-179837 - 
        Mar. 1) (BR. 05C)

S-1     GNC HOLDINGS, INC., 300 SIXTH AVENUE, PITTSBURGH, PA, 15222, 
        (412) 288-4600 - 0 ($637,916,500.00) Equity, (File 333-179838 - Mar. 1) 
        (BR. 02B)

F-1     DE International Holdings B.V., VLEUTENSEVAART 100, UTRECHT, P7, 
        3532 AD, 31-30-292-7311 - 0 ($4,550,772,800.00) Equity, 
        (File 333-179839 - Mar. 1) (BR. )

S-3     BADGER METER INC, 4545 WEST BROWN DEER ROAD, MILWAUKEE, WI, 53223, 
        4143715702 - 0 ($6,930,000.00) Equity, (File 333-179840 - Mar. 1) 
        (BR. 10A)

S-3ASR  ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 
        63141, 3149942700 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179841 - Mar. 1) (BR. 09A)

S-4     ARCH COAL INC, CITY PLACE ONE STE 300, ARCH MINERAL CORP, ST LOUIS, MO, 
        63141, 3149942700 - 0 ($2,000,000,000.00) Debt, (File 333-179842 - 
        Mar. 1) (BR. 09A)

S-3ASR  Spectra Energy Corp., 5400 WESTHEIMER COURT, HOUSTON, TX, 77056, 
        704-382-8160 - 5,000,000 ($156,925,000.00) Equity, (File 333-179843 - 
        Mar. 1) (BR. 02A)

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

-----------------------------------------------------------------------------------------
A123 SYSTEMS, INC.                      DE       2.02,9.01            03/01/12

Accenture plc                           L2       5.02,9.01            03/01/12

ACCENTURE SCA                                    5.02,9.01            03/01/12

ACCO BRANDS CORP                        DE       5.02                 02/23/12

ACCURIDE CORP                           DE       2.02,7.01,9.01       02/29/12

ACETO CORP                              NY       5.02,9.01            10/05/11    AMEND

ACME UNITED CORP                        CT       2.02,9.01            03/01/12

Addus HomeCare Corp                     DE       2.02,9.01            03/01/12

Affinion Group Holdings, Inc.           DE       2.02,9.01            03/01/12

Affinity Gaming, LLC                    NV       8.01,9.01            02/27/12

AG Mortgage Investment Trust, Inc.      MD       7.01                 03/01/12

AG Mortgage Investment Trust, Inc.      MD       2.02,9.01            03/01/12

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       2.02,9.01            03/01/12

ALLETE INC                              MN       8.01                 03/01/12

Alternative Energy & Environmental So   NV       1.02,9.01            03/01/12

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

AMERICAN ORIENTAL BIOENGINEERING INC    CO       3.02,5.03,9.01       02/24/12

American Railcar Industries, Inc.       ND       5.02                 02/24/12

American Realty Capital Daily Net Ass   MD       5.02                 03/01/12

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       5.02                 03/01/12

American Realty Capital Properties, I   MD       5.02                 03/01/12

American Realty Capital Trust III, In   MD       5.02                 03/01/12

American Realty Capital Trust, Inc.     DE       1.01,2.03,9.01       02/28/12

American Realty Capital Trust, Inc.     DE       7.01,8.01,9.01       03/01/12

American Standard Energy Corp.          DE       1.01                 02/24/12

Ameris Bancorp                          GA       1.01,2.01,8.01,9.01  02/24/12

AMERISAFE INC                           TX       2.02,9.01            03/01/12

AMERITRANS CAPITAL CORP                 DE       5.03,9.01            02/24/12

AMGEN INC                               DE       5.02,9.01            02/29/12

ANIKA THERAPEUTICS INC                  MA       2.02,9.01            02/29/12

AQUA AMERICA INC                        PA       5.02                 02/24/12

ARAMARK CORP                            DE       1.01,9.01            02/29/12

ARBITRON INC                            DE       5.02                 02/28/12

ARBOR REALTY TRUST INC                  MD       5.02,9.01            02/29/12

ARCH COAL INC                           DE       5.02                 02/27/12

Arlington Asset Investment Corp.        VA       7.01,9.01            03/01/12

ARQULE INC                              DE       2.02,9.01            03/01/12

Ascena Retail Group, Inc.               DE       2.02,9.01            03/01/12

ASSOCIATED MATERIALS, LLC               DE       5.02,9.01            02/24/12

ATWOOD OCEANICS INC                     TX       7.01,9.01            02/29/12

AUTHENTEC INC                           DE       2.02,9.01            03/01/12

AVI BIOPHARMA INC                       OR       2.02,8.01,9.01       02/24/12

Bank of Marin Bancorp                   CA       7.01                 03/01/12

BANKATLANTIC BANCORP INC                FL       8.01,9.01            02/27/12

BERKLEY W R CORP                        DE       5.03,9.01            02/28/12

BIO REFERENCE LABORATORIES INC          NJ       2.02,9.01            03/01/12

BIONOVO INC                             DE       8.01,9.01            02/29/12

BIONOVO INC                             DE       1.02                 02/29/12

BIOZONE PHARMACEUTICALS, INC.           NV       3.02,5.02,9.01       02/24/12

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

BlackRock Kelso Capital CORP            DE       2.02,7.01,9.01       03/01/12

Blackwater Midstream Corp.                       1.01,2.03,7.01,9.01  02/29/12

BLUE DOLPHIN ENERGY CO                  DE       5.02,9.01            02/29/12

BOISE CASCADE HOLDINGS, L.L.C.          DE       2.02,9.01            03/01/12

Builders FirstSource, Inc.              DE       5.02                 02/24/12

BURZYNSKI RESEARCH INSTITUTE INC        DE       5.02                 02/29/12

C&J Energy Services, Inc.               DE       7.01,9.01            03/01/12

CACHE INC                               FL       5.02,8.01,9.01       02/24/12

CADIZ INC                               DE       1.01,8.01,9.01       02/28/12

CALIX, INC                                       5.02                 02/23/12    AMEND

CALLAWAY GOLF CO                        DE       5.02,8.01,9.01       02/24/12

Calpian, Inc.                           TX       1.01                 02/29/12

Capitol Federal Financial Inc           MD       8.01                 03/01/12

Car Charging Group, Inc.                NV       5.02,9.01            02/27/12

CARDINAL HEALTH INC                     OH       7.01                 02/29/12

CARPENTER TECHNOLOGY CORP               DE       1.01,2.01,3.02,5.02, 02/29/12
                                                 8.01,9.01
     
Carter Validus Mission Critical REIT,   MD       8.01                 02/24/12

CASTLE A M & CO                         MD       2.02,7.01,9.01       03/01/12

CASTLE A M & CO                         MD       7.01                 03/01/12

CBS CORP                                DE       8.01,9.01            02/24/12

CELL THERAPEUTICS INC                   WA       2.02,7.01,9.01       02/29/12

CenterState Banks, Inc.                 FL       7.01                 03/01/12

CENTRAL VERMONT PUBLIC SERVICE CORP     VT       5.03,8.01,9.01       02/27/12

CENTRAL VIRGINIA BANKSHARES INC         VA       2.02,9.01            03/01/12

CENVEO, INC                             CO       2.02,9.01            02/29/12

CENVEO, INC                             CO       8.01,9.01            02/29/12

CENVEO, INC                             CO       8.01,9.01            02/29/12

CFS BANCORP INC                         IN       5.02                 02/27/12    AMEND

CHART INDUSTRIES INC                    DE       7.01,9.01            02/28/12

CHEESECAKE FACTORY INC                  DE       8.01                 03/01/12

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            03/01/12

Chesapeake Lodging Trust                MD       5.02,8.01            02/24/12

CHESAPEAKE UTILITIES CORP               DE       5.02                 02/24/12

CHIMERA INVESTMENT CORP                 DE       7.01,9.01            03/01/12

China Premium Lifestyle Enterprise, I   NV       5.02,9.01            03/01/12

CHINA VALVES TECHNOLOGY, INC            NV       5.07                 03/01/12

CHRISTOPHER & BANKS CORP                DE       5.02,9.01            02/16/12    AMEND

Chrysler Group LLC                      DE       5.02,5.03            02/23/12

Chrysler Group LLC                      DE       8.01,9.01            03/01/12

CIRCOR INTERNATIONAL INC                DE       8.01                 03/01/12

CITIZENS HOLDING CO /MS/                MS       7.01,9.01            02/29/12

CITY HOLDING CO                         WV       5.02                 02/29/12

COHERENT INC                            DE       5.07                 02/28/12

COINSTAR INC                            DE       8.01                 02/29/12

CombiMatrix Corp                        DE       5.02,9.01            02/28/12

COMMUNITY HEALTH SYSTEMS INC            DE       5.02                 03/01/12

CONMED CORP                             NY       8.01                 02/29/12

Consolidated Communications Holdings,   DE       2.02,9.01            03/01/12

CONSOLIDATED TOMOKA LAND CO             FL       1.01,1.02,2.03,9.01  02/27/12

CORINTHIAN COLLEGES INC                          7.01                 02/29/12

COUSINS PROPERTIES INC                  GA       1.01,2.03,9.01       02/28/12

COVANTA HOLDING CORP                    DE       7.01                 03/01/12

CPM Holdings, Inc.                               8.01                 03/01/12

Crescent Financial Bancshares, Inc.              5.02                 02/24/12

CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01       03/01/12

CUBIC ENERGY INC                        TX       3.01                 02/24/12

CUMBERLAND PHARMACEUTICALS INC                   2.02,9.01            02/29/12

CURIS INC                               DE       1.01,5.02,9.01       02/24/12

DAVEY TREE EXPERT CO                    OH       8.01                 02/27/12

DCP Midstream Partners, LP              DE       1.01,9.01            02/27/12

Dehaier Medical Systems Ltd                      5.02                 03/01/12

DENDREON CORP                           DE       5.02,9.01            02/28/12

DEVRY INC                               DE       5.02,7.01,9.01       02/22/12

DEX ONE Corp                            DE       2.02,7.01,9.01       03/01/12

DEX ONE Corp                            DE       7.01,9.01            03/01/12

DIAMOND HILL INVESTMENT GROUP INC       OH       5.02                 03/01/12

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                 03/01/12

DIGIRAD CORP                            DE       8.01,9.01            02/29/12

DineEquity, Inc                         DE       2.02,7.01,9.01       03/01/12

Domtar CORP                             DE       8.01,9.01            03/01/12

Dresser-Rand Group Inc.                 DE       2.02,9.01            02/29/12

DSW Inc.                                OH       8.01,9.01            03/01/12

Duff & Phelps Corp                      DE       5.02,9.01            03/01/12

DURECT CORP                             DE       2.02,9.01            03/01/12

DURECT CORP                             DE       1.02                 02/28/12

EAGLE BANCORP INC                       MD       5.02                 02/07/12    AMEND

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01                 03/01/12

ecoTECH Energy Group Inc.               NV       7.01,9.01            02/16/12

EDISON INTERNATIONAL                    CA       7.01,9.01            03/01/12

EGAIN COMMUNICATIONS CORP               DE       5.02                 02/28/12

EINSTEIN NOAH RESTAURANT GROUP INC      DE       2.02,9.01            03/01/12

EL PASO CORP/DE                         DE       8.01,9.01            02/29/12

EL PASO CORP/DE                         DE       8.01,9.01            02/29/12

EMISPHERE TECHNOLOGIES INC              DE       5.02,9.01            03/01/12

Employers Holdings, Inc.                NV       7.01,9.01            02/29/12

Energy Transfer Equity, L.P.            DE       8.01,9.01            02/29/12

ENERNOC INC                             DE       5.02                 02/27/12    AMEND

EPIQ SYSTEMS INC                        MO       8.01,9.01            03/01/12

ERESEARCHTECHNOLOGY INC /DE/            DE       5.02                 02/24/12

ESSA Bancorp, Inc.                      PA       7.01,9.01            03/01/12

ESTERLINE TECHNOLOGIES CORP             DE       2.02,9.01            03/01/12

Excel Trust, Inc.                       MD       2.02,9.01            02/29/12

Extra Space Storage Inc.                MD       8.01,9.01            03/01/12

Federal Home Loan Bank of Atlanta       X1       2.03                 03/01/12

Federal Home Loan Bank of Boston        X1       2.03                 02/27/12

Federal Home Loan Bank of Chicago       X1       2.03                 02/27/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            02/28/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            02/28/12

Federal Home Loan Bank of New York      X1       2.03,9.01            02/28/12

Federal Home Loan Bank of New York      X1       8.01,9.01            03/01/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            02/27/12

Federal Home Loan Bank of San Francis   X1       2.03                 02/27/12

Federal Home Loan Bank of Topeka                 2.03,9.01            02/27/12

Fidelity National Information Service            7.01,9.01            03/01/12

FIRST COMMUNITY BANCSHARES INC /NV/     NV       1.01,7.01,8.01,9.01  03/01/12

FIRST POTOMAC REALTY TRUST              MD       7.01,9.01            02/29/12

FISHER COMMUNICATIONS INC               WA       2.02,9.01            03/01/12

FLOW INTERNATIONAL CORP                 WA       2.02,9.01            03/01/12

Ford Credit Auto Lease Trust 2012-A     DE       1.01,8.01,9.01       02/28/12

FORD MOTOR CO                           DE       8.01,9.01            02/29/12

FORWARD INDUSTRIES INC                  NY       5.02                 02/28/12

FRANKLIN ELECTRIC CO INC                IN       5.02                 02/24/12

FRANKLIN STREET PROPERTIES CORP /MA/             7.01,9.01            03/01/12

FS Energy & Power Fund                  DE       2.02,9.01            02/29/12

FSP 50 South Tenth Street Corp                   1.01,7.01,9.01       02/29/12

GAP INC                                 DE       7.01,9.01            03/01/12

GARDNER DENVER INC                      DE       7.01,9.01            02/24/12

GASCO ENERGY INC                        NV       7.01,9.01            03/01/12

General Maritime Corp / MI                       2.02,7.01,9.01       02/29/12

General Maritime Corp / MI                       1.01,8.01,9.01       02/26/12

General Moly, Inc                       DE       2.02,9.01            03/01/12

GENESEE & WYOMING INC                   DE       8.01                 03/01/12

Global Geophysical Services Inc         DE       8.01,9.01            02/28/12

GLOBALWISE INVESTMENTS INC              NV       5.02,5.03,9.01       02/27/12

GMX RESOURCES INC                       OK       2.02,5.02,9.01       02/28/12

GOLD HORSE INTERNATIONAL, INC.          FL       2.02,7.01,9.01       03/01/12

GOLDMAN SACHS GROUP INC                 DE       9.01                 03/01/12

Golub Capital BDC, Inc.                 DE       8.01                 03/01/12

Greenwood Gold Resources, Inc.          NV       1.01,9.01            02/14/12    AMEND

GULF ISLAND FABRICATION INC             LA       5.02                 02/24/12

GULFMARK OFFSHORE INC                   DE       8.01,9.01            02/27/12

H&E Equipment Services, Inc.            DE       2.02,8.01,9.01       03/01/12

H&E Equipment Services, Inc.            DE       1.01,2.03,9.01       03/01/12

HALCON RESOURCES CORP                   DE       3.02,7.01,8.01,9.01  02/29/12

HANCOCK HOLDING CO                      MS       8.01,9.01            02/29/12

HARBINGER GROUP INC.                    DE       7.01                 03/01/12

HARRIS INTERACTIVE INC                  DE       1.02,5.02,7.01,9.01  02/29/12

HARVARD BIOSCIENCE INC                  DE       2.02,9.01            03/01/12

Harvard Illinois Bancorp, Inc.          MD       5.02                 02/29/12

HD SUPPLY, INC.                         DE       2.02,9.01            03/01/12

HDS INTERNATIONAL CORP.                 NV       5.06                 03/01/12

HollyFrontier Corp                      DE       7.01,9.01            03/01/12

HOOPER HOLMES INC                       NY       1.01,9.01            02/29/12

HORIZON PHARMA, INC.                    DE       1.01,3.02,9.01       02/28/12

HOUSTON AMERICAN ENERGY CORP            DE       8.01                 03/01/12

ICF International, Inc.                 DE       9.01                 12/31/11    AMEND

ID SYSTEMS INC                          DE       2.02,9.01            03/01/12

IDENTIVE GROUP, INC.                    DE       2.02,9.01            03/01/12

IMMERSION CORP                          DE       2.02,9.01            03/01/12

INDEPENDENT BANK CORP                   MA       8.01                 03/01/12

Ingersoll-Rand plc                      L2       5.02                 02/24/12

INLAND REAL ESTATE CORP                 MD       8.01,9.01            02/29/12

INNOSPEC INC.                           DE       1.02,3.03,9.01       03/01/12

INTEGRATED ELECTRICAL SERVICES INC      DE       5.07,7.01            02/28/11

INTELSAT S.A.                           N4       2.02,9.01            03/01/12

Inventtech Inc.                         NV       4.01,9.01            02/29/12

Inventtech Inc.                         NV       4.01,9.01            02/29/12    AMEND

INVENTURE FOODS, INC.                   DE       2.02,9.01            03/01/12

InZon CORP                              NV       5.01,5.02            02/29/12

IRIDEX CORP                             DE       2.02,9.01            03/01/12

IRIS INTERNATIONAL INC                  DE       2.02,9.01            03/01/12

ISC8 INC. /DE                           DE       8.01,9.01            02/27/12

IsoRay, Inc.                            MN       5.07                 02/24/12

ISSUER DIRECT CORP                               2.02,9.01            03/01/12

ITEX CORP                               NV       8.01                 02/24/12

JACOBS ENTERTAINMENT INC                DE       1.01,9.01            02/24/12

James River Coal CO                     VA       2.02,7.01,9.01       03/01/12

JANUS CAPITAL GROUP INC                 DE       8.01,9.01            03/01/12

JDA SOFTWARE GROUP INC                  DE       3.01,9.01            03/01/12

John Deere Owner Trust 2012             DE       9.01                 03/01/12

John Deere Owner Trust 2012             DE       8.01,9.01            03/01/12

JOHNSON CONTROLS INC                    WI       8.01,9.01            03/01/12

JOHNSON OUTDOORS INC                    WI       7.01,9.01            03/01/12

JONES SODA CO                           WA       5.02,9.01            02/27/12

JPMORGAN CHASE & CO                     DE       7.01,9.01            02/28/12

KEATING CAPITAL INC                              7.01,9.01            03/01/12

KENEXA CORP                                      5.02                 02/27/12

KEWAUNEE SCIENTIFIC CORP /DE/           DE       2.02,9.01            02/28/12

KEYNOTE SYSTEMS INC                     DE       5.02                 02/28/12

KIT digital, Inc.                       DE       2.02,9.01            02/27/12

Kohlberg Capital CORP                   DE       1.01,2.01,2.03,3.02, 02/24/12
                                                 5.02,5.03,7.01,9.01
        
KOHLS Corp                              WI       2.02,9.01            03/01/12

Kosmos Energy Ltd.                      D0       2.02,7.01,9.01       03/01/12

Kraton Performance Polymers, Inc.       DE       2.02,9.01            03/01/12

KROGER CO                               OH       2.02,7.01,9.01       03/01/12

KROGER CO                               OH       2.02,7.01,9.01       03/01/12    AMEND

LAWSON PRODUCTS INC/NEW/DE/             DE       2.02,9.01            03/01/12

LBO CAPITAL CORP                        CO       8.01                 03/01/12

LEGACY RESERVES LP                      DE       5.02                 02/24/12

LEGEND INTERNATIONAL HOLDINGS INC       DE       5.02                 02/27/12

LEHMAN BROTHERS HOLDINGS INC            DE       7.01,9.01            02/29/12

LENCO MOBILE INC.                       DE       4.01,5.02,9.01       02/27/12

Location Based Technologies, Inc.       NV       8.01,9.01            03/01/12

LyondellBasell Industries N.V.          P7       5.02,9.01            02/28/12

MABCURE INC.                            NV       5.02                 03/01/12

MAGELLAN GOLD Corp                      NV       2.03                 02/28/12

MANHATTAN PHARMACEUTICALS INC           DE       1.01,8.01            02/24/12

MARKETING WORLDWIDE CORP                DE       3.02,8.01            02/23/12

MARTHA STEWART LIVING OMNIMEDIA INC     DE       2.02,9.01            03/01/12

MASTEC INC                              FL       2.02,7.01,9.01       02/29/12

MCG CAPITAL CORP                        DE       2.02,9.01            03/01/12

Mead Johnson Nutrition Co               DE       5.02                 03/01/12

MERCURY GENERAL CORP                    CA       5.02                 02/27/12

MEREDITH CORP                           IA       8.01,9.01            02/29/12

MEREDITH CORP                           IA       1.01,9.01            02/29/12

METHODE ELECTRONICS INC                 DE       2.02,9.01            03/01/12

MIDAS INC                               DE       2.02                 03/01/12

MISCOR GROUP, LTD.                      IN       2.02,9.01            03/01/12

MITEL NETWORKS CORP                              2.02,9.01            03/01/12

MOMENTIVE SPECIALTY CHEMICALS INC.      NJ       7.01                 03/01/12

MONSTER WORLDWIDE, INC.                 DE       5.02                 02/28/12

MORGAN CREEK ENERGY CORP                NV       5.02                 02/24/12

MOTRICITY INC                           DE       1.01,2.02,2.03,9.01  02/28/12

MRC GLOBAL INC.                         DE       2.02,5.03,9.01       02/29/12

Myrexis, Inc.                           DE       2.05,8.01,9.01       02/12/12    AMEND

NASH FINCH CO                           DE       2.02,9.01            03/01/12

NAVIDEA BIOPHARMACEUTICALS, INC.        DE       2.02,9.01            02/29/12

NAVISTAR INTERNATIONAL CORP             DE       7.01                 03/01/12

NBC ACQUISITION CORP                    DE       7.01,9.01            02/29/12

Net Element, Inc.                       DE       1.01,2.03,9.01       11/16/11

NEW CENTURY BANCORP INC                 NC       5.02                 02/28/12

New Enterprise Stone & Lime Co., Inc.   DE       1.01,7.01,9.01       03/01/12

NEWCASTLE INVESTMENT CORP               MD       2.02,9.01            02/29/12

NEWS CORP                                        8.01,9.01            03/01/12

NII HOLDINGS INC                        DE       5.02                 02/27/12

NON INVASIVE MONITORING SYSTEMS INC /   FL       5.02                 02/28/12

Noranda Aluminum Holding CORP           DE       1.01,1.02,2.03,8.01, 02/29/12
                                                 9.01
          
Noranda Aluminum Holding CORP           DE       5.02                 02/24/12

NORDSTROM INC                           WA       7.01,9.01            03/01/12

NOVA NATURAL RESOURCES CORP             CO       5.02                 03/01/12

NYXIO TECHNOLOGIES Corp                 NV       8.01,9.01            02/28/12

OGLETHORPE POWER CORP                   GA       5.02,9.01            03/01/12

Oilsands Quest Inc                               8.01,9.01            03/01/12

OLD LINE BANCSHARES INC                 MD       2.02,9.01            02/29/12

OMNICARE INC                            DE       8.01,9.01            03/01/12

ORGANOVO HOLDINGS, INC.                 DE       3.02,5.02,9.01       02/29/12

Oxford Resource Partners LP             DE       8.01                 02/28/12

OXYGEN BIOTHERAPEUTICS, INC.            DE       1.02                 02/27/12

PACER INTERNATIONAL INC                 TN       1.01,8.01            02/28/12

PARK CITY GROUP INC                              7.01,8.01            03/01/12

Parks One, Inc.                         NV       3.02,5.01,9.01       02/28/12

PARLUX FRAGRANCES INC                   DE       5.07                 02/27/12

PATTERSON UTI ENERGY INC                DE       7.01,9.01            03/01/12

PC MALL INC                             DE       2.02,5.02,9.01       03/01/12

PennantPark Floating Rate Capital Ltd            7.01,9.01            03/01/12

PENNANTPARK INVESTMENT CORP                      7.01,9.01            03/01/12

PENSECO FINANCIAL SERVICES CORP         PA       2.02,9.01            03/01/12

PERFICIENT INC                          DE       2.02,7.01,9.01       03/01/12

PERFORMANCE TECHNOLOGIES INC \DE\       DE       2.02                 12/31/11

PETROLEUM DEVELOPMENT CORP              NV       2.02,9.01            03/01/12

PHH CORP                                MD       8.01                 02/29/12

PIEDMONT NATURAL GAS CO INC             NC       1.01,2.03            03/01/12

PIER 1 IMPORTS INC/DE                   DE       5.02,7.01,9.01       02/26/12

Pike Electric CORP                               5.02,9.01            02/28/12

PIPER JAFFRAY COMPANIES                 DE       8.01                 03/01/12

PLANTRONICS INC /CA/                    DE       5.02,9.01            03/01/12

Plures Technologies, Inc./DE            DE       5.02,8.01,9.01       02/28/12

POOL CORP                               DE       7.01,9.01            03/01/12

POWERSECURE INTERNATIONAL, INC.         DE       8.01,9.01            03/01/12

PRO DEX INC                             CO       1.01,2.05,9.01       02/27/12

PROGAMING PLATFORMS CORP                DE       3.03,5.03,9.01       03/01/12

PROSPERITY BANCSHARES INC               TX       7.01,9.01            03/01/12

QEP RESOURCES, INC.                     DE       1.01,9.01            02/27/12

QLT INC/BC                              A1       8.01,9.01            03/01/12

QUANTRX BIOMEDICAL CORP                 NV       5.02                 03/01/12

QUEPASA CORP                            NV       2.02,9.01            03/01/12

RADIENT PHARMACEUTICALS Corp            DE       7.01                 02/29/12

RAYONIER INC                            NC       1.01,7.01,9.01       02/29/12

RDA Holding Co.                                  8.01,9.01            02/29/12

Reliance Bancshares, Inc.               MO       5.02,9.01            02/25/12

REPUBLIC AIRWAYS HOLDINGS INC           DE       2.02,9.01            02/29/12

REVA Medical, Inc.                      DE       7.01,9.01            03/01/12

RF MONOLITHICS INC /DE/                 DE       7.01,9.01            02/29/12

Rhino Resource Partners LP              DE       2.02,9.01            03/01/12

RING ENERGY, INC.                       NV       3.02                 12/07/11    AMEND

ROCKWELL MEDICAL TECHNOLOGIES INC       MI       2.02,9.01            03/01/12

RYDER SYSTEM INC                        FL       7.01,8.01,9.01       03/01/12

Sabra Health Care REIT, Inc.            MD       2.02,9.01            02/29/12

SAKS INC                                TN       7.01,9.01            03/01/12

Santos Resource Corp.                   NV       3.02                 02/24/12

SAVIENT PHARMACEUTICALS INC             DE       2.02,9.01            02/27/12

SEARCH BY HEADLINES.COM CORP.           NV       1.01,9.01            02/28/12

SEARS HOLDINGS CORP                     DE       5.04,9.01            02/24/12

SENESCO TECHNOLOGIES INC                DE       8.01,9.01            02/28/12

SENOMYX INC                             DE       2.02,9.01            03/01/12

SHARPS COMPLIANCE CORP                  DE       5.02,9.01            03/01/12

SHENANDOAH TELECOMMUNICATIONS CO/VA/    VA       2.02,9.01            03/01/12

Shire plc                                        8.01,9.01            02/29/12

Shire plc                                        8.01,9.01            03/01/12

SI Financial Group, Inc.                         2.02,9.01            02/29/12

SILICON IMAGE INC                       DE       8.01                 02/29/12

SILICON LABORATORIES INC                DE       1.01,5.02,9.01       03/01/12

SIMULATIONS PLUS INC                             5.02,7.01,9.01       03/01/12

Sono Resources, Inc.                    NV       5.02                 02/24/12

SOUTHCOAST FINANCIAL CORP               SC       2.02,9.01            02/27/12

SOUTHERN CALIFORNIA EDISON CO           CA       7.01,9.01            03/01/12

SOUTHERN CONNECTICUT BANCORP INC        CT       5.02,9.01            02/28/12

SOUTHERN UNION CO                       DE       8.01,9.01            02/29/12

SPARK NETWORKS INC                      DE       2.02,9.01            03/01/12

Spartan Gold Ltd.                                4.01                 02/01/12    AMEND

Spectrum Brands Holdings, Inc.          DE       7.01                 03/01/12

Spectrum Brands, Inc.                   DE       7.01,9.01            03/01/12

SPECTRUM PHARMACEUTICALS INC            DE       2.02,9.01            03/01/12

SPRINT NEXTEL CORP                      KS       1.01,2.03,8.01,9.01  03/01/12

STAGE STORES INC                        NV       8.01,9.01            02/28/12

STANDARD PARKING CORP                   DE       8.01,9.01            03/01/12

STERLING FINANCIAL CORP /WA/            WA       5.02,8.01,9.01       02/29/12

Sun Life Assurance Co of Canada (U.S.   DE       8.01                 02/24/12

SUNRISE SENIOR LIVING INC               DE       2.02,9.01            02/29/12

SUNTRUST BANKS INC                      GA       7.01,9.01            03/01/12

SUPERIOR ENERGY SERVICES INC            DE       1.01,9.01            02/29/12

SUPERMEDIA INC.                         DE       7.01                 02/29/12

SUREWEST COMMUNICATIONS                 CA       8.01,9.01            02/27/12

THERAGENICS CORP                        DE       5.02,9.01            03/01/12

THERMADYNE HOLDINGS CORP /DE            DE       1.01,3.03,7.01,8.01, 02/27/12
                                                                      9.01
          
TIBCO SOFTWARE INC                      DE       5.02,9.01            02/27/12

TIBET PHARMACEUTICALS, INC.             D8       8.01,9.01            03/01/12

TITAN INTERNATIONAL INC                 IL       4.01,9.01            02/29/12    AMEND

TNP Strategic Retail Trust, Inc.        MD       7.01,9.01            02/29/12

TOYOTA MOTOR CREDIT CORP                CA       1.01,1.02,2.03,9.01  02/28/12

TRESORO MINING CORP.                    NV       4.01,9.01            02/27/12

TTM TECHNOLOGIES INC                    WA       2.02                 02/07/12    AMEND

TUTOR PERINI Corp                       MA       2.02,5.02,9.01       03/01/12

U.S. Auto Parts Network, Inc.           DE       2.02,9.01            03/01/12

UMPQUA HOLDINGS CORP                    OR       7.01,9.01            02/29/12    AMEND

United Development Funding IV           MD       8.01                 03/01/12

UNITED STATES STEEL CORP                DE       5.03,9.01            02/28/12

UNIVERSAL HEALTH REALTY INCOME TRUST    MD       2.02,9.01            03/01/12

US CONCRETE INC                         DE       8.01                 02/29/12

Vanguard Natural Resources, LLC         DE       2.02,7.01,9.01       03/01/12

VIRTUAL PIGGY, INC.                     DE       1.01,3.02,5.02,9.01  02/24/12

VISTEON CORP                            DE       5.03,9.01            02/28/12

VIVUS INC                               CA       1.01,8.01,9.01       02/29/12

VMWARE, INC.                            DE       5.02,8.01,9.01       02/29/12

Volcano Corp                            DE       5.02                 02/27/12

W P CAREY & CO LLC                      DE       7.01,9.01            02/28/12

Walter Energy, Inc.                     DE       5.02,9.01            02/28/12

WASHINGTON MUTUAL, INC                  WA       7.01,9.01            02/29/12

WASHINGTON MUTUAL, INC                  WA       1.03,3.03,9.01       02/24/12

Wendy's Co                              DE       2.02,9.01            03/01/12

Wendy's Co                              DE       7.01,9.01            03/01/12

WINMARK CORP                            MN       1.01,2.02,7.01,9.01  02/29/12

WOUND MANAGEMENT TECHNOLOGIES, INC.     TX       5.02,9.01            02/09/12

XATA CORP /MN/                          MN       1.01,2.03,9.01       02/24/12

XINYINHAI TECHNOLOGY, LTD.              UT       8.01                 03/01/12

XNE, Inc.                               NV       5.02                 03/01/12

Yankee Holding Corp.                    DE       2.02,9.01            03/01/12

YCC Holdings LLC                        DE       2.02,9.01            03/01/12

YTB International, Inc.                 DE       1.01,5.02            02/24/12

ZAGG Inc                                NV       2.02,9.01            02/27/12

 

http://www.sec.gov/news/digest/2012/dig030212.htm


Modified: 03/02/2012