SEC News Digest, March 8, 2012

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Commission announcements

SEC Charges Former Executive at Coca-Cola Bottling Company with Insider Trading

The Securities and Exchange Commission today charged a former executive at a Coca-Cola bottling company with insider trading based on confidential information he learned on the job about potential upcoming business with The Coca-Cola Company.

The SEC alleges that Steven Harrold, who was a Vice President at Coca-Cola Enterprises Inc., purchased company stock in his wife’s brokerage account after learning that his company had agreed to acquire The Coca-Cola Company’s bottling operations in Norway and Sweden. The stock price jumped 30 percent when the deal was announced publicly the following day, enabling Harrold to make an illicit $86,850 profit.

“Harrold deliberately flouted the federal securities laws and specific company restrictions in his purchases and trades of Coca-Cola Enterprises stock,” said Rosalind R. Tyson, Director of the SEC’s Los Angeles Regional Office. “His employer entrusted him with critical nonpublic information, and Harrold shattered that trust to bottle up extra cash.”

Coca-Cola Enterprises is one of the world’s largest marketers, producers and distributors of Coca-Cola products, and its stock trades on the New York Stock Exchange under the stock symbol CCE. The Coca-Cola Company (ticker symbol: KO) develops and sells its products and syrup concentrate to Coca-Cola Enterprises and other bottlers.

According to the SEC’s complaint filed in the U.S. District Court for the Central District of California, Harrold was regularly in possession of sensitive, confidential information as an executive at CCE. On numerous occasions, Harrold signed non-disclosure agreements requiring him to keep confidential any information he learned about acquisitions being considered. Harrold also periodically received blackout notices prohibiting him from trading in company stock for a defined period in which he was likely to be in possession of confidential information.

The SEC alleges that Harrold, who lives in Los Angeles and London, was informed in early January 2010 that CCE was considering the acquisition of The Coca-Cola Company’s Norwegian and Swedish bottling operations. He signed a non-disclosure agreement requiring him to maintain the confidentiality of any nonpublic information he learned about the potential transaction. Harrold also received an e-mail from CCE’s legal counsel informing him that he was subject to a blackout period and was prohibited from trading in CCE stock “until further notice.”

Nevertheless, the SEC alleges that Harrold purchased 15,000 CCE shares in his wife’s brokerage account on Feb. 24, 2010, the day before the announcement of the transaction with The Coca-Cola Company. The insider trading was based on certain confidential information that Harrold learned in the days leading up to the announcement, including that the transaction was internally valued at more than $800 million and was viewed as creating significant positive growth opportunities for CCE.

The SEC’s complaint charges Harrold with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) and (c) thereunder. The complaint seeks a final judgment ordering Harrold to pay a financial penalty and disgorge his ill-gotten gains plus prejudgment interest, preventing him from serving as an officer or director of a public company, and permanently enjoining him from future violations of those provisions of the federal securities laws.

The SEC acknowledges the assistance of FINRA in this matter. (Press Rel. 2012-40)

Rules and related matters

Order Granting Temporary Exemption of Morningstar Credit Ratings, LLC from the Conflict of Interest Prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934

The Commission issued an order granting temporary exemption of Morningstar Credit Ratings, LLC from the conflict of interest prohibition in Rule 17g-5(c)(1) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66514)

Enforcement proceedings

Joseph Valko Sanctioned

Joseph Valko (Valko) has been barred from association with any broker or dealer. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him. In November 2011, Valko was enjoined from violating the antifraud and registration provisions of the federal securities laws based on his involvement in the fraudulent use of investor proceeds in two limited liability companies, Petroleum Unlimited, LLC, and Petroleum Unlimited II, LLC. (Rel. 34-66510; File No. 3-14647)

In the Matters of Luis Garg, Jason Zakocs, and Realfund Investment Trust

On March 7, 2012, the Commission issued three separate Orders Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, and Notice of Hearing (Orders) against Luis Garg (Garg), Jason Zakocs, (Zakocs), and RealFund Investment Trust (RealFund) (collectively Respondents).

The Orders find that Garg, Zakocs, and RealFund were each enjoined from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in a civil action entitled Securities and Exchange Commission v. Luis Garg, et al., Civil Action Number CV11-02976 JAK (VBKx) (C.D. CA). In the Orders, the Division of Enforcement alleges that from at least April 2008 through January 2010, in connection with the sale of unregistered high-yield promissory notes marketed as Real Estate Secured Promissory Notes, Respondents solicited investors through materially false and misleading statements, raising approximately $1 million from 25-30 investors. The complaint alleged that Respondents falsely touted the risk-free nature of the promissory notes they were selling, despite knowing, among other things, that one of the RealFund real estate developers was in bankruptcy and had defaulted on its promissory notes.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in each of the Orders are true, to provide each Respondent with an opportunity to dispute these allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Order requires that the administrative law judge issue an initial decision no later than 210 days from the date of service of the Orders. (Garg -Rel. 34-66533, File No. 3-14791; RealFund - 34-66534, File No. 3-14792; Zakocs - 34-66535; File No. 3-14793)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Airbee Wireless, Inc., Axial Vector Engine Corp. (n/k/a Avec Corporation), and Exploration Drilling International, Inc., 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. 34-66536; File No. 3-14722)

Investment company act releases

American Capital, Ltd., et al.

A notice has been issued giving interested persons until March 26, 2012, to request a hearing on an application filed by American Capital, Ltd. (Company), American Capital, LLC (AC LLC), American Capital Mortgage Management, LLC (ACMM), and European Capital Financial Services (Guernsey) Limited (ECFSG), for an order under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Section 12(d)(3) of the Act. The order would permit the Company, AC LLC, ACMM, and ECFSG to continue to hold up to 100% of the outstanding membership interests of certain of their subsidiaries that will be registering as investment advisers under the Investment Advisers Act of 1940. (Rel. IC-29973 – March 1)

Fidus Investment Corporation, et al.

A notice has been issued giving interested persons until March 26, 2012, to request a hearing on an application filed by Fidus Investment Corporation (Fidus), et al. for an order under sections 6(c), 12(d)(1)(J), and 57(c) of the Investment Company Act of 1940 (Act) granting exemptions from sections 12(d)(1)(A), 18(a), 21(b), 57(a)(1) - (a)(3), and 61(a) of the Act; under section 57(i) of the Act and rule 17d 1 under the Act to permit certain joint transactions otherwise prohibited by section 57(a)(4) of the Act; and under section 12(h) of the Securities Exchange Act of 1934 (Exchange Act) granting an exemption from section 13(a) of the Exchange Act. The order would permit Fidus, a business development company (BDC) and its wholly-owned small business investment company (SBIC) subsidiary to engage in certain transactions that otherwise would be permitted if Fidus and such subsidiaries were one company and to file certain reports on a consolidated basis, and permit Fidus to adhere to a modified asset coverage requirement. (Rel. IC-29974 – March 1)

Harris & Harris Group, Inc.

A notice has been issued giving interested persons until April 2, 2012, to request a hearing on an application filed by Harris & Harris Group, Inc. (Applicant) for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 23(a), 23(b) and 63 of the Act, and under Sections 57(a)(4) and 57(i) of the Act and Rule 17d-1 under the Act authorizing certain joint transactions otherwise prohibited by Section 57(a)(4) of the Act; and under section 23(c)(3) of the Act for an exemption from section 23(c) of the Act. The order would permit Applicant to (a) issue restricted shares of its common stock (Restricted Stock) as part of the compensation package for directors, including non-employee directors, officers and employees (Participants), (b) withhold shares of the its common stock or purchase shares of its common stock from Participants to satisfy tax withholding obligations relating to the vesting of Restricted Stock or the exercise of options to purchase shares of its common stock, and (c) permit certain Participants to pay the exercise price of options with shares of Applicant’s common stock. (Rel. IC-29976 – March 7)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-09) relating to network fees 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 12. (Rel. 34-66525)

Accelerated Approval of Proposed Rule Changes

The Commission granted accelerated approval to a proposed rule change (SR-FINRA-2012-015) filed by the Financial Industry Regulatory Authority, Inc pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps). Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66527)

The Commission granted accelerated approval to a proposed rule change (SR-FINRA-2012-014) filed by the Financial Industry Regulatory Authority, Inc pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps). Publication is expected in the Federal Register during the week of March 12. (Rel. 34-66528)

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     SYNOPSYS INC, 700 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043-4033, 
        6509625000 - 829,106 ($20,220,222.00) Equity, (File 333-179940 - 
        Mar. 7) (BR. 03A)

S-1     Prosper Funding LLC, 112 SUTTER ST, FL 22, SAN FRANCISCO, CA, 94104, 
        415-593-5400 - 0 ($500,000,000.00) Other, (File 333-179941 - Mar. 7) 
        (BR. 03)

S-8     MITEK SYSTEMS INC, 8911 BALBOA AVE., SUITE B, SAN DIEGO, CA, 92123, 
        858-503-7810 - 0 ($57,897,167.58) Equity, (File 333-179942 - Mar. 7) 
        (BR. 03A)

S-3ASR  Domtar CORP, 395 DE MAISONNEUVE BLVD. W., MONTREAL, A8, H3A 1L6, 
        (514) 848-5555 - 0 ($0.00) Debt, (File 333-179943 - Mar. 7) (BR. 04A)

S-3ASR  AUTOLIV INC, 3350 AIRPORT RD, OGDEN, UT, 84405, 8016299800 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-179948 - Mar. 7) 
        (BR. 05A)

S-1     COMMITTED CAPITAL ACQUISITION Corp II, 712 FIFTH AVENUE 22ND FLOOR, 
        ATTN: GEORGE CANNON, NEW YORK, NY, 10019, (212) 277-5301 - 
        0 ($57,500,000.00) Equity, (File 333-179950 - Mar. 7) (BR. 04)

S-1     COMMITTED CAPITAL ACQUISITION Corp III, 712 FIFTH AVENUE 22ND FLOOR, 
        ATTN: GEORGE CANNON, NEW YORK, NY, 10019, (212) 277-5301 - 
        0 ($57,500,000.00) Equity, (File 333-179951 - Mar. 7) (BR. 04)

S-4     AGCO CORP /DE, 4205 RIVER GREEN PKWAY, DULUTH, GA, 30096, 7708139200 - 
        0 ($300,000,000.00) Debt, (File 333-179952 - Mar. 7) (BR. 10A)

F-3ASR  BP PLC, 1 ST JAMES'S SQUARE, LONDON, X0, SW1Y 4PD, 442074962107 - 
        0 ($0.00) Non-Convertible Debt, (File 333-179953 - Mar. 7) (BR. 04B)

S-3ASR  STAPLES INC, 500 STAPLES DRIVE, P O BOX 9328, FRAMINGHAM, MA, 01702, 
        5082535000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-179954 - Mar. 7) (BR. 02B)

S-8     CABOT MICROELECTRONICS CORP, 870 NORTH COMMONS DRIVE, AURORA, IL, 
        60504, 6303755461 - 4,934,444 ($167,178,963.00) Equity, 
        (File 333-179955 - Mar. 7) (BR. 10A)

S-3     CEDAR REALTY TRUST, INC., 44 SOUTH BAYLES AVENUE, PORT WASHINGTON, NY, 
        11050, 5167676492 - 0 ($1,000,000,000.00) Equity, (File 333-179956 - 
        Mar. 7) (BR. 08C)

S-3ASR  AMYLIN PHARMACEUTICALS INC, 9360 TOWNE CENTRE DR, SUITE 110, SAN DIEGO, 
        CA, 92121, 6195522200 - 0 ($1.00) Equity, (File 333-179964 - Mar. 7) 
        (BR. 01A)

S-8     VOLTERRA SEMICONDUCTOR CORP, 47467 FREMONT BLVD., FREMONT, CA, 94538, 
        510-743-1200 - 1,836,126 ($53,835,214.32) Equity, (File 333-179965 - 
        Mar. 7) (BR. 10C)

S-8     BRIGHTCOVE INC, ONE CAMBRIDGE CENTER, 12TH FLOOR, CAMBRIDGE, MA, 02142, 
        6175004947 - 5,888,339 ($44,962,052.00) Equity, (File 333-179966 - 
        Mar. 7) (BR. 03C)

S-8     ROYAL BANK OF SCOTLAND GROUP PLC, GOGARBURN, PO BOX 1000, 
        EDINBURGH, SCOTLAND, X0, EH12 1HQ, 441315568555 - 
        0 ($639,094,151.25) Equity, (File 333-179967 - Mar. 7) (BR. 12A)

S-8     CoroWare, Inc,, 1410 MARKET STREET, KIRKLAND, WA, 98033, 239-466-0488 - 
        300,000,000 ($60,000.00) Equity, (File 333-179968 - Mar. 7) (BR. 03A)

S-8     BROADSOFT, INC., 9737 WASHINGTONIAN BOULEVARD, SUITE 350, GAITHERSBURG, 
        MD, 20878, 301-977-9440 - 1,219,787 ($44,375,851.06) Equity, 
        (File 333-179969 - Mar. 7) (BR. 03B)

S-3     Cinedigm Digital Cinema Corp., 55 MADISON AVENUE, SUITE 300, 
        MORRISTOWN, NJ, 07960, 973-290-0080 - 0 ($30,000,000.00) Equity, 
        (File 333-179970 - Mar. 7) (BR. 03A)

S-3     ENCORE WIRE CORP, 1329 MILLWOOD RD, MCKINNEY, TX, 75069, 972-562-9473 - 
        0 ($117,616,665.00) Equity, (File 333-179971 - Mar. 7) (BR. 06A)

S-8     IPASS INC, 3800 BRIDGE PARKWAY, REDWOOD SHORES, CA, 94065, 6502324115 - 
        7,520,353 ($16,018,351.89) Equity, (File 333-179972 - Mar. 7) (BR. 03C)

S-8     RENASANT CORP, 209 TROY STREET, TUPELO, MS, 38804-4827, 
        (662) 680-1001 - 0 ($11,017,500.00) Equity, (File 333-179973 - Mar. 7) 
        (BR. 07B)

S-8     EastBridge Investment Group Corp, 8040 E. MORGAN TRAIL, UNIT 18, 
        SCOTTSDALE, AZ, 85258, 480 966 2020 - 
        30,000,000 ($1,800,000.00) Equity, (File 333-179974 - Mar. 7) (BR. 07C)

S-4     EASTMAN CHEMICAL CO, PO BOX 511, 200 SOUTH WILCOX DRIVE, KINGSPORT, TN, 
        37660, 4232292000 - 0 ($752,402,852.28) Equity, (File 333-179975 - 
        Mar. 7) (BR. 06A)

N-2     John Hancock Strategic Diversified Income Fund, 601 CONGRESS STREET, 
        BOSTON, MA, 02210, 1-800-225-6020 - 0 ($1,000,000.00) Equity, 
        (File 333-179976 - Mar. 7) (BR. )

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

4th Grade Films Inc                              5.02                 03/06/12

ABM INDUSTRIES INC /DE/                 DE       5.07                 03/06/12

Acadia Healthcare Company, Inc.         DE       1.01,2.01,9.01       03/01/12

Acadia Healthcare Company, Inc.         DE       2.02,9.01            03/07/12

ADAMS GOLF INC                          DE       2.02,9.01            03/06/12

ADOBE SYSTEMS INC                       DE       1.01,1.02,2.03,9.01  03/02/12

ADVANCED VENTURES CORP                  DE       5.03,5.07,7.01,9.01  12/23/11

ADVENTRX PHARMACEUTICALS INC            DE       2.02,9.01            03/07/12

ADVOCAT INC                             DE       2.02,9.01            03/07/12

Alexza Pharmaceuticals Inc.             DE       1.01,3.02,9.01       03/05/12

Alkermes plc.                                    1.01,7.01,9.01       03/07/12

Allied World Assurance Co Holdings, A            5.02,7.01,9.01       03/01/12

ALLSTATE CORP                           DE       5.02,9.01            02/26/12    AMEND

ALNYLAM PHARMACEUTICALS, INC.                    7.01,9.01            03/07/12

Altegris QIM Futures Fund, L.P.         DE       3.02                 03/01/12

Altegris Winton Futures Fund, L.P.      CO       3.02                 03/01/12

AMAG PHARMACEUTICALS INC.               DE       8.01,9.01            03/07/12

AMC ENTERTAINMENT INC                   DE       7.01,9.01            03/06/12

AMEDISYS INC                            DE       7.01,9.01            03/07/12

AMERICAN AIRLINES INC                   DE       7.01                 03/07/12

American Energy Development Corp.       NV       8.01,9.01            03/06/12

AMERICAN VANGUARD CORP                  DE       2.02,5.02,8.01,9.01  03/05/12

AMERIGAS PARTNERS LP                    DE       5.02                 03/02/12

AMERIGAS PARTNERS LP                    DE       5.02,9.01            03/03/12

AMR CORP                                DE       7.01                 03/07/12

ANALOGIC CORP                           MA       5.02,9.01            03/02/12

Apollo Residential Mortgage, Inc.       MD       2.02,9.01            03/06/12

ARGAN INC                               DE       5.02                 03/05/12

Armour Residential REIT, Inc.           MD       8.01,9.01            03/07/12

Atlas Energy, L.P.                      DE       1.01,1.02,9.01       03/05/12

Atlas Resource Partners, L.P.                    1.01,2.03,9.01       03/05/12

AUTOVATIVE PRODUCTS INC                 NV       4.01                 03/05/12

AUTOZONE INC                            NV       8.01,9.01            03/07/12

BB&T CORP                               NC       7.01,9.01            03/07/12

BEAUTY BRANDS GROUP, INC.               FL       4.01,5.02,5.03,9.01  03/02/12

BIG LOTS INC                            OH       2.02,9.01            03/02/12

BIOSHAFT WATER TECHNOLOGY, INC.         NV       1.01,3.02,9.01       02/23/12

BIOSPECIFICS TECHNOLOGIES CORP          DE       7.01,9.01            03/07/12

BLACKBAUD INC                                    8.01,9.01            03/07/12

BON TON STORES INC                      PA       2.02,9.01            03/07/12

BORGWARNER INC                          DE       7.01,9.01            03/07/12

BRANDYWINE REALTY TRUST                 MD       5.02,9.01            03/01/12

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       5.07                 11/16/11    AMEND

BROADSOFT, INC.                         DE       7.01,9.01            03/07/12

BROWN FORMAN CORP                       DE       2.02,9.01            03/07/12

BROWN SHOE CO INC                       NY       2.02,9.01            03/07/12

Brownshire Holdings, Inc.               NV       1.01,2.03,9.01       03/05/12

CAGLES INC                              GA       2.03                 03/01/12

CAMAC Energy Inc.                       DE       5.02,9.01            03/01/12

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 02/29/12

CAPITAL ONE FINANCIAL CORP              DE       7.01                 03/07/12

Carbon Natural Gas Co                   DE       5.02                 03/02/12

CCA INDUSTRIES INC                      DE       4.01,9.01            03/07/12

CDI CORP                                PA       5.02,9.01            03/01/12

CELL THERAPEUTICS INC                   WA       2.02,9.01            03/07/12

Celldex Therapeutics, Inc.              DE       1.01,2.02,9.01       03/02/12

Celsion CORP                            DE       7.01,9.01            03/07/12

CenterState Banks, Inc.                 FL       7.01,9.01            03/07/12

CHENIERE ENERGY INC                     DE       8.01,9.01            03/07/12

Cheniere Energy Partners, L.P.          DE       8.01,9.01            03/07/12

Chesapeake Lodging Trust                MD       7.01,9.01            03/07/12

CHESAPEAKE UTILITIES CORP               DE       2.02,9.01            03/07/12

CHILDRENS PLACE RETAIL STORES INC                2.02,8.01,9.01       03/05/12

CHINA EDUCATION INTERNATIONAL, INC.     NV       5.02                 03/07/12

China Information Technology, Inc.               2.02,9.01            03/07/12

CHOICE HOTELS INTERNATIONAL INC /DE     DE       7.01,9.01            03/07/12

CIENA CORP                              DE       2.02,9.01            03/07/12

CINCINNATI BELL INC                     OH       8.01                 03/01/12

CINCINNATI FINANCIAL CORP               OH       5.02,9.01            03/02/12

CLEAN WIND ENERGY TOWER, INC.           NV       1.01,2.03,3.02,9.01  02/29/12

Clovis Oncology, Inc.                   DE       2.02,9.01            03/07/12

COLDWATER CREEK INC                     DE       2.02,9.01            03/07/12

COLE CREDIT PROPERTY TRUST IV, INC.     MD       5.02,5.07            03/01/12

Colony Financial, Inc.                  MD       2.02,9.01            03/06/12

CommonWealth REIT                       MD       8.01,9.01            03/06/12

Compass Diversified Holdings            DE       2.02,9.01            03/07/12

Consolidated Communications Holdings,   DE       3.01                 03/01/12

CONVERSION SERVICES INTERNATIONAL INC   DE       4.01,9.01            02/27/12

Copano Energy, L.L.C.                            7.01,9.01            03/06/12

Core-Mark Holding Company, Inc.         DE       9.01                 01/18/12    AMEND

CPI AEROSTRUCTURES INC                  NY       2.02                 03/06/12

Crown Oil & Gas Inc.                    NV       5.02                 02/21/12

CUBIC ENERGY INC                        TX       3.01,9.01            03/02/12

CVR ENERGY INC                          DE       8.01,9.01            03/06/12

CytoCore Inc                            DE       5.02                 03/01/12

CYTOKINETICS INC                                 5.02,9.01            03/05/12

DARLING INTERNATIONAL INC               DE       7.01,9.01            03/06/12

DATARAM CORP                            NJ       1.01,9.01            03/02/12

DELPHI FINANCIAL GROUP INC/DE           DE       8.01,9.01            03/07/12

Deyu Agriculture Corp.                  NV       1.02,5.02            03/05/12

DISCOVERY LABORATORIES INC /DE/         DE       8.01,9.01            03/06/12

DOMINION RESOURCES INC /VA/             VA       7.01                 03/07/12

DRI CORP                                NC       5.02                 03/06/12

DYNEGY INC.                             DE       8.01,9.01            03/06/12

DYNEX CAPITAL INC                       VA       5.02                 03/01/12

EASTMAN CHEMICAL CO                     DE       8.01,9.01            03/06/12

EASTON-BELL SPORTS, INC.                DE       2.02,9.01            03/06/12

EDAC TECHNOLOGIES CORP                  WI       2.02,9.01            03/07/12

EGPI FIRECREEK, INC.                    NV       1.01,2.01,9.01       02/29/12

EL PASO ELECTRIC CO /TX/                TX       7.01,9.01            03/07/12

ELECTRO RENT CORP                       CA       8.01,9.01            03/07/12

EMPIRE ENERGY CORP                      UT       1.01,9.01            03/06/12

ENDO PHARMACEUTICALS HOLDINGS INC       DE       7.01,9.01            03/07/12

ENERGEN CORP                            AL       5.02                 12/07/11    AMEND

ENTERPRISE FINANCIAL SERVICES CORP      DE       2.02,9.01            03/02/12

ENTRAVISION COMMUNICATIONS CORP         DE       2.02,9.01            03/07/12

ENTREMED INC                            DE       1.02                 03/01/12

EOS Preferred Corp                      MA       1.01                 03/06/12

EQUITY LIFESTYLE PROPERTIES INC         MD       8.01                 03/05/12

ESSEX PROPERTY TRUST INC                MD       1.01,9.01            03/05/12

Explortex Energy Inc.                   NV       1.01,1.02,9.01       03/07/12

EXPRESS, INC.                                    2.02,8.01,9.01       03/07/12

FAIRPOINT COMMUNICATIONS INC            DE       2.02,9.01            03/07/12

FARMERS CAPITAL BANK CORP               KY       4.01,9.01            03/07/12

FIFTH THIRD BANCORP                     OH       7.01,9.01            03/07/12

FIFTH THIRD BANCORP                     OH       8.01,9.01            03/02/12

FIFTH THIRD BANCORP                     OH       8.01,9.01            03/02/12    AMEND

FINISAR CORP                            DE       5.07                 11/28/11    AMEND

FIRST BUSINESS FINANCIAL SERVICES, IN   WI       2.03                 03/01/12

FIRST CITIZENS BANCSHARES INC /DE/      DE       2.02,7.01,9.01       03/07/12

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       5.02,9.01            03/07/12

FIRST OF LONG ISLAND CORP               NY       1.01,5.02            03/01/12

FLOTEK INDUSTRIES INC/CN/               DE       2.02,9.01            03/07/12

FLUOROPHARMA MEDICAL, INC.              NV       1.01,9.01            03/01/12

FMC CORP                                DE       7.01,9.01            03/06/12

Ford Credit Auto Lease Trust 2012-A     DE       1.01,9.01            03/05/12

FRANKLIN ELECTRIC CO INC                IN       7.01,9.01            03/07/12

FREQUENCY ELECTRONICS INC               DE       2.02,9.01            03/07/12

Fresh Market, Inc.                      DE       2.02,9.01            03/07/12

FUEL DOCTOR HOLDINGS, INC.              DE       1.01,9.01            02/19/12

Galena Biopharma, Inc.                           1.01,8.01            03/05/12

GALLERY MANAGEMENT HOLDING CORP                  5.02,9.01            03/01/12

GARB OIL & POWER CORP                   UT       2.01,9.01            10/27/09    AMEND

GERON CORP                              DE       2.02,9.01            03/07/12

GLOBAL PARTNERS LP                               1.01,2.01,3.02,8.01, 03/01/12
                                                 9.01
          
GOLDEN PHOENIX MINERALS INC             NV       3.02,7.01,8.01,9.01  02/29/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            03/02/12

GREENE COUNTY BANCORP INC               DE       8.01                 03/05/12

H&R BLOCK INC                           MO       2.02,9.01            03/07/12

HALLADOR ENERGY CO                      CO       8.01                 03/06/12

HANDENI GOLD INC.                       NV       7.01,9.01            03/07/12

HARMONY METALS, INC.                    FL       4.01,9.01            02/21/12    AMEND

HARRIS & HARRIS GROUP INC /NY/          NY       8.01,9.01            03/07/12

HARSCO CORP                             DE       1.01,2.03,9.01       03/02/12

HCP, INC.                               MD       8.01                 03/01/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       7.01,9.01            03/07/12

HELIX ENERGY SOLUTIONS GROUP INC        MN       1.01,2.03,7.01,8.01, 03/07/12
                                                 9.01
          
HELMERICH & PAYNE INC                   DE       8.01                 03/07/12

HERITAGE COMMERCE CORP                  CA       8.01,9.01            03/07/12

HERTZ CORP                              DE       5.02                 03/06/12

HERTZ GLOBAL HOLDINGS INC                        5.02,5.03,9.01       03/06/12

HICKORY TECH CORP                       MN       2.02,9.01            12/31/11

HIGHWATER ETHANOL LLC                            5.07                 03/02/12

HOT TOPIC INC /CA/                      CA       2.02,9.01            03/07/12

HOVNANIAN ENTERPRISES INC               DE       2.02,9.01            03/07/12

HSBC USA INC /MD/                       MD       9.01                 03/07/12

HSBC USA INC /MD/                       MD       9.01                 03/07/12

HUTCHINSON TECHNOLOGY INC               MN       8.01,9.01            03/06/12

IMMUNOMEDICS INC                        DE       5.02,9.01            03/05/12

Independence Energy Corp.               NV       1.01,9.01            03/01/12

Intrepid Potash, Inc.                   DE       5.02,9.01            03/05/12

IPC The Hospitalist Company, Inc.       DE       5.02                 03/01/12

ISABELLA BANK CORP                      MI       8.01,9.01            02/02/12

ITRACKR SYSTEMS INC                     FL       1.01,8.01,9.01       03/07/12

J2 GLOBAL, INC.                         DE       7.01,9.01            03/06/12

JAMBA, INC.                             DE       2.02,9.01            03/07/12

JANUS CAPITAL GROUP INC                 DE       8.01,9.01            03/07/12

Jazz Pharmaceuticals plc                L2       8.01,9.01            03/05/12

John Bean Technologies CORP             DE       2.02,9.01            03/06/12

KIMBERLY CLARK CORP                     DE       8.01,9.01            03/07/12

Kohlberg Capital CORP                   DE       8.01,9.01            03/07/12

KOPIN CORP                              DE       2.02,9.01            03/07/12

KORN FERRY INTERNATIONAL                DE       2.02,9.01            03/07/12

KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       2.02,9.01            03/07/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 03/07/12

LAS VEGAS SANDS CORP                    NV       5.02,7.01            03/07/12

LEGACY RESERVES LP                      DE       5.02                 03/01/12

LINCOLN EDUCATIONAL SERVICES CORP       NJ       2.02,9.01            03/07/12

LINCOLN ELECTRIC HOLDINGS INC           OH       8.01,9.01            03/06/12

LML PAYMENT SYSTEMS INC                 A1       1.01,9.01            03/06/12

MAGELLAN HEALTH SERVICES INC            DE       5.02,9.01            03/05/12

MAGNETEK, INC.                          DE       2.02                 03/07/12

Magyar Bancorp, Inc.                    DE       1.02,9.01            03/02/12

Maidenform Brands, Inc.                 DE       2.02,9.01            03/07/12

Main Street Capital CORP                MD       8.01,9.01            03/07/12

MAJIC WHEELS CORP                                8.01,9.01            03/07/12

Mandalay Digital Group, Inc.            DE       1.01,3.02            03/01/12

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            03/07/12

MARKWEST ENERGY PARTNERS L P                     7.01,8.01,9.01       03/06/12

MARSHALL EDWARDS INC                    DE       8.01,9.01            03/06/12

MCMORAN EXPLORATION CO /DE/             DE       7.01,9.01            03/07/12

MEDTRONIC INC                           MN       8.01                 03/07/12

MELA SCIENCES, INC. /NY                          8.01,9.01            03/07/12

MENS WEARHOUSE INC                      TX       2.02,9.01            03/07/12

MEXICO FUND INC                         MD       7.01,9.01            02/29/12

MHI Hospitality CORP                    MD       1.01,2.03,7.01,9.01  03/05/12

MICROMET, INC.                          DE       2.01,3.01,3.02,3.03, 03/02/12
                                                 5.01,5.02,5.03,9.01
        
MILLER INDUSTRIES INC /TN/              TN       2.02,9.01            03/07/12

Modern Mobility Aids, Inc.              NV       8.01,9.01            03/07/12

ModusLink Global Solutions Inc          DE       2.02,9.01            03/07/12

MOHEGAN TRIBAL GAMING AUTHORITY                  8.01,9.01            03/07/12

MOMENTIVE SPECIALTY CHEMICALS INC.      NJ       7.01                 03/07/12

MultiPlayer Online Dragon, Inc.         NV       5.02                 03/07/12

MYR GROUP INC.                          DE       2.02,9.01            03/07/12

NANOPHASE TECHNOLOGIES CORPORATION      IL       2.02,3.01,9.01       03/07/12

NATIONAL HEALTH INVESTORS INC           MD       8.01,9.01            03/05/12

NATIONAL HEALTH INVESTORS INC           MD       8.01,9.01            03/05/12

NATURAL RESOURCE PARTNERS LP            DE       8.01,9.01            03/06/12

NETSOL TECHNOLOGIES INC                 NV       7.01,9.01            03/07/12

New Mountain Finance Corp               DE       2.02,9.01            03/07/12

NEWS CORP                                        8.01,9.01            03/07/12

NEXTERA ENERGY INC                      FL       7.01                 03/07/12

NORTH SPRINGS RESOURCES CORP.           NV       1.01,1.02,9.01       02/15/12

NSTAR/MA                                         5.04,9.01            03/07/12

Nuance Communications, Inc.             DE       1.01,9.01            03/06/12

O CHARLEYS INC                          TN       8.01,9.01            03/07/12

Oculus Innovative Sciences, Inc.        CA       7.01                 03/06/12

OMEGA HEALTHCARE INVESTORS INC          MD       8.01,9.01            03/05/12

OPTIMER PHARMACEUTICALS INC                      2.02,9.01            03/07/12

PACIFICHEALTH LABORATORIES INC          DE       2.02,9.01            03/07/12

PAPA JOHNS INTERNATIONAL INC            DE       5.02,9.01            03/05/12

Parametric Sound Corp                   NV       5.02                 03/05/12

PARAMETRIC TECHNOLOGY CORP              MA       5.07                 03/07/12

PARK NATIONAL CORP /OH/                 OH       5.02,9.01            03/02/12

PAWS Pet Company, Inc.                  IL       1.01,2.03,3.02,9.01  03/07/12

PDI INC                                          2.02,9.01            03/07/12

PENSECO FINANCIAL SERVICES CORP         PA       5.02                 03/01/12

PEPCO HOLDINGS INC                      DE       7.01,9.01            03/07/12

PERNIX THERAPEUTICS HOLDINGS, INC.      MD       2.02,8.01,9.01       03/07/12

PLX TECHNOLOGY INC                      DE       5.02                 03/04/12

PNC FINANCIAL SERVICES GROUP, INC.      PA       2.02,9.01            03/07/12

POWIN CORP                                       3.03,5.02,9.01       02/28/12

PRICELINE COM INC                       DE       8.01                 03/07/12

PRICESMART INC                          DE       2.02,9.01            03/07/12

PROASSURANCE CORP                       DE       7.01,8.01,9.01       03/07/12

PROSPER MARKETPLACE INC                 DE       5.02                 03/05/12

PROSPERITY BANCSHARES INC               TX       5.02,8.01,9.01       03/06/12

Public Storage                          MD       1.01,3.03,5.03,9.01  03/06/12

PUBLIX SUPER MARKETS INC                FL       2.02,9.01            03/07/12

Pzena Investment Management, Inc.       DE       8.01,9.01            02/29/12

QUAKER CHEMICAL CORP                    PA       2.02,9.01            03/07/12

QUANTA SERVICES INC                     DE       5.02,9.01            03/02/12

RADIENT PHARMACEUTICALS Corp            DE       7.01,8.01            03/06/12

RAILAMERICA INC /DE                     DE       1.01,2.03,8.01,9.01  03/01/12

RAYMOND JAMES FINANCIAL INC             FL       8.01,9.01            03/07/12

REAL ESTATE ASSOCIATES LTD VI           CA       8.01                 03/02/12

RECOVERY ENERGY, INC.                   NV       7.01,9.01            03/06/12

Regency Energy Partners LP              DE       7.01,9.01            03/07/12

REGIONS FINANCIAL CORP                  DE       7.01,9.01            03/07/12

RENASANT CORP                           MS       8.01,9.01            03/07/12

RESEARCH FRONTIERS INC                  DE       7.01,9.01            03/07/12

RIGEL PHARMACEUTICALS INC               DE       2.02,9.01            03/06/12

Riverview Financial Corp                PA       5.02,9.01            03/06/12

ROCKWELL MEDICAL TECHNOLOGIES INC       MI       5.02,9.01            03/05/12

S&T BANCORP INC                         PA       8.01,9.01            03/06/12

Sabra Health Care REIT, Inc.            MD       7.01,9.01            03/07/12

Select Notes Trust LT 2004-1            DE       8.01,9.01            03/01/12

SEMTECH CORP                            DE       2.02,7.01,8.01,9.01  03/07/12

SENESCO TECHNOLOGIES INC                DE       8.01,9.01            03/05/12

SEQUENOM INC                            DE       2.02,9.01            03/07/12

SEYCHELLE ENVIRONMENTAL TECHNOLOGIES    NV       4.01                 03/07/12

SGB International Holdings Inc.         A1       5.02,9.01            03/01/12

SHARPS COMPLIANCE CORP                  DE       5.02                 03/07/12

Shire plc                                        8.01,9.01            03/06/12

SIGMA DESIGNS INC                       CA       2.02,9.01            03/07/12

SIGMA DESIGNS INC                       CA       5.07                 07/08/11    AMEND

SIMULATIONS PLUS INC                             5.02,7.01,9.01       03/05/12

SJW CORP                                CA       1.01,2.03,9.01       03/06/12

SL INDUSTRIES INC                       NJ       5.02                 02/17/12

SORL Auto Parts Inc                     DE       5.02,9.01            03/03/12

SOUTHWEST AIRLINES CO                   TX       7.01,9.01            02/29/12

SPECTRUM GROUP INTERNATIONAL, INC.      DE       1.01,7.01,9.01       03/06/12

SPEEDWAY MOTORSPORTS INC                DE       2.02,9.01            03/07/12

STAGE STORES INC                        NV       2.02,8.01,9.01       03/06/12

STANDARD PARKING CORP                   DE       2.02,7.01            03/07/12

STANLEY FURNITURE CO INC.               DE       8.01                 03/05/12

STRATEGIC HOTELS & RESORTS, INC                  7.01,9.01            03/07/12

STRATS (SM) TRUST FOR JPMORGAN CHASE             8.01,9.01            03/01/12

STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            02/29/12

Strats(SM) Trust for JPMorgan Chase C            8.01,9.01            03/01/12

STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            03/01/12

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            03/01/12

STRUCTURED PRODUCTS CORTS TRUST FOR J   DE       8.01,9.01            03/01/12

SUNGARD CAPITAL CORP                    DE       1.01,2.03,9.01       03/02/12

SUNPOWER CORP                           DE       5.02,5.03,9.01       03/06/12

SUPERCONDUCTOR TECHNOLOGIES INC         DE       2.02,9.01            03/07/12

Swank, Inc.                             DE       1.01,9.01            03/06/12

SWS GROUP INC                           DE       5.03,9.01            03/07/12

SYKES ENTERPRISES INC                   FL       2.02                 03/07/12

T.O ENTERTAINMENT, INC.                 CO       5.03,9.01            03/05/12

TAKE TWO INTERACTIVE SOFTWARE INC       DE       7.01,9.01            03/07/12

TE Connectivity Ltd.                    V8       5.02,5.07,9.01       03/07/12

TRANSCEND SERVICES INC                  DE       1.01,5.02,8.01,9.01  03/06/12

TRANSGENOMIC INC                        DE       2.02,9.01            03/07/12

Triangle Capital CORP                   MD       2.02,7.01,9.01       03/07/12

UNION DRILLING INC                      DE       2.02,9.01            03/07/12

UNITED NATURAL FOODS INC                DE       5.07                 12/13/11    AMEND

UNITED STATES CELLULAR CORP             DE       5.02,9.01            03/06/12

UniTek Global Services, Inc.            DE       2.02,9.01            03/07/12

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       9.01                 03/07/12

URANIUM RESOURCES INC /DE/              DE       1.01,3.02,9.01       03/01/12

USANA HEALTH SCIENCES INC               UT       5.07                 03/06/12    AMEND

VALHI INC /DE/                          DE       2.02,7.01,9.01       03/07/12

Verso Paper Corp.                       DE       2.02,9.01            03/05/12

Verso Paper Corp.                       DE       7.01,9.01            03/07/12

VIRGINIA COMMERCE BANCORP INC                    5.02,9.01            03/01/12

VIRTUAL PIGGY, INC.                     DE       5.02,5.03,9.01       03/05/12

VISUALANT INC                           NV       2.01,9.01            06/08/10    AMEND

VR Holdings, Inc.                       DE       2.01,2.02,3.02,5.01, 03/07/12    AMEND
                                                 5.02,5.06,9.01

VWR Funding, Inc.                       DE       5.07                 03/06/12

WALGREEN CO                             IL       2.02,9.01            03/05/12

WALTER INVESTMENT MANAGEMENT CORP       MD       2.02,9.01            03/07/12

WASHINGTON FEDERAL INC                  WA       8.01,9.01            03/05/12

WEB.COM GROUP, INC.                     DE       7.01,9.01            03/07/12

WebXU, Inc.                             DE       1.01,2.03,3.02,9.01  03/01/12

WELLCARE HEALTH PLANS, INC.             DE       5.02,9.01            03/01/12

WELLS FARGO & CO/MN                     DE       9.01                 03/07/12

WESTERN DIGITAL CORP                    DE       7.01,9.01            03/06/12

WGL HOLDINGS INC                        VA       5.07                 03/01/12

Whitestone REIT                         TX       9.01                 12/22/11    AMEND

Whitestone REIT Operating Partnership   DE       9.01                 12/22/11    AMEND

WINNEBAGO INDUSTRIES INC                IA       5.02                 03/06/12

WYNDHAM WORLDWIDE CORP                  DE       1.01,2.03,8.01,9.01  03/07/12

XOMA Corp                               DE       1.01,3.02,8.01,9.01  03/06/12

YA ZHU SILK, INC.                       NV       2.01,9.01            02/20/12    AMEND

Yankee Holding Corp.                    DE       7.01,9.01            03/02/12

YATERRA VENTURES CORP.                           5.01,5.02,9.01       03/02/12

YCC Holdings LLC                        DE       7.01,9.01            03/02/12

Zalicus Inc.                            DE       2.02,9.01            03/07/12

Zeltiq Aesthetics Inc                   DE       2.02,9.01            03/06/12

Ziyang Ceramics Corp                    FL       8.01                 03/07/12

http://www.sec.gov/news/digest/2012/dig030812.htm

SEC News Digest