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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-64
April 3, 2012


Commission announcements

U.S. and Canadian Securities Regulators Discuss Closer Cooperation on Cross-Border Oversight

The Securities and Exchange Commission announced today that its senior staff met last week with counterparts at the Ontario Securities Commission (OSC) to discuss ways to further strengthen cooperation regarding their supervision of financial firms. 

 At the March 28 meeting, the agencies’ staffs discussed a variety of issues, including their respective approaches to examinations, investor education initiatives, and the status of regulatory reforms in each jurisdiction.  The SEC and OSC staffs also discussed additional coordination in the oversight of dually regulated entities, and they agreed to meet regularly to discuss issues of mutual significance regarding supervisory coordination and emerging risks in the cross-border market.

 The meeting is part of an effort detailed in a June 2010 memorandum of understanding concerning consultation, cooperation, and the exchange of information regarding the supervision of entities regulated both in the U.S. and Canada.

 “A significant lesson from the 2008 financial crisis is the importance of sharing information about firms that operate cross-border so that regulators can identify and mitigate emerging risks,” said Ethiopis Tafara, Director of the SEC’s Office of International Affairs.  “Since the 2010 agreement, SEC and OSC staff cooperation on oversight of dually regulated entities has increased substantially, including onsite examinations of broker-dealers, transfer agents, and investment advisers.”

Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “The shared border between the U.S. and Canada and the similarity of our regulatory systems have resulted in a significant cross-border market for financial services.  The SEC and OSC staffs are working to ensure that the regulatory oversight of the entities that operate in this market is as seamless as the transactions in which these entities engage.  We look forward to continued cooperation with our OSC counterparts.” (Press Rel. 2012-52)


enforcement proceedings

In the Matter of Alex Martinez

On April 2, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Alex Martinez. The Order finds that on January 30, 2012, a judgment was entered against Alex Martinez, permanently enjoining him, by consent, from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. MAM Wealth Management, LLC, et al., Civil Action Number, CV 11-2934 SJO (JCx) in the United States District Court for the Central District of California, Western Division.

The Order further finds that the Commission’s complaint alleged that from July 2007 through March 2009, Martinez and his codefendant invested approximately $10.3 million of their advisory clients’ funds in MAM Wealth Management Real Estate Fund, LLC (Fund), a speculative and risky investment suitable only for sophisticated investors. Despite his knowledge of these risks, Martinez knowingly and recklessly misrepresented to clients that the Fund was a safe and relatively liquid investment. In addition, Martinez and his codefendant used their discretionary authority over the funds of MAM clients to invest substantial client assets into the Fund, in breach of their fiduciary duty because the Fund was an unsuitable investment for their clients who were unaccredited investors, retirees with limited means, or the Fund was contrary to the clients’ stated conservative investment goals.

Based on the above, the Order bars Martinez from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Martinez consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the Commission’s jurisdiction over him, the subject matter of these proceedings, and the entry of the judgment in the civil injunctive action, which he admitted. (Rel. 34-66712; File No. 3-14830)

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of ASP Ventures 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. 34-66716; File No. 3-14803)

In the Matter of Jerry L. Aubrey

On April 3, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Jerry L. Aubrey (Aubrey). The Order finds that on December 20, 2011, a final judgment was entered against Aubrey in Securities and Exchange Commission v. Jerry L. Aubrey, et al. (Civil Action Number SACV 11-1564 JVS (RNBx) (C.D. Cal.)), permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and permanently enjoining him and any entity he owns or controls from offering unregistered securities.

Based on the above, the Order bars Aubrey from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Aubrey from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Aubrey consented to the issuance of the Order without admitting or denying the findings in the Order, except he admitted the entry of the permanent injunctions. (Rel. 34-66726; File No. 3-14831)

In the Matter of Andrey C. Hicks

On April 3, 2012, the United States Securities and Exchange Commission (Commission) issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing against Andrey C. Hicks (Hicks).

The Order finds that Hicks was enjoined from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant, Civil Action No. 1:11-CV-11888-RGS (in the United States District Court for the District of Massachusetts). In the Order, the Division of Enforcement alleges that from at least June 2011 until October 2011, Hicks and his investment advisory firm, Locust Offshore Management, LLC, engaged in a fraudulent scheme to defraud investors by making numerous misrepresentations when soliciting individuals to invest in a non-existent pooled investment fund called Locust Offshore Fund. The complaint alleged that Hicks and Locust made a number of materially false and misleading statements about the educational and professional background of Hicks; the existence of Locust Offshore Fund as a legitimate company incorporated under the laws of the British Virgin Islands; and the existence of a purported auditor, prime broker, and custodian for Locust Offshore Fund. By making these representations and creating other indicia of legitimacy, the complaint alleged that Hicks and Locust obtained at least $1.7 million from 10 investors, transferred substantially all of these funds to Hicks’ personal bank accounts, and misappropriated at least a portion of these funds for Hicks’ personal expenses.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Hicks 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. (Hicks – Rel. IA-3388; File No. 3-14832)

In the Matter of Locust Offshore Management, LLC

On April 3, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing against Locust Offshore Management, LLC (Locust).

The Order finds that Locust was enjoined from violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder, in the civil action entitled Securities and Exchange Commission v. Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant, Civil Action No. 1:11-CV-11888-RGS (in the United States District Court for the District of Massachusetts). In the Order, the Division of Enforcement alleges that from at least June 2011 until October 2011, Locust and its CEO, Andrey C. Hicks, engaged in a fraudulent scheme to defraud investors by making numerous misrepresentations when soliciting individuals to invest in a non-existent pooled investment fund called Locust Offshore Fund. The complaint alleged that Locust and Hicks made a number of materially false and misleading statements about the educational and professional background of Hicks; the existence of Locust Offshore Fund as a legitimate company incorporated under the laws of the British Virgin Islands; and the existence of a purported auditor, prime broker, and custodian for Locust Offshore Fund. By making these representations and creating other indicia of legitimacy, the complaint alleged that Locust and Hicks obtained at least $1.7 million from 10 investors, transferred substantially all of these funds to Hicks’ personal bank accounts, and misappropriated at least a portion of these funds for Hicks’ personal expenses.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Locust 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. (Rel. IA-3389; File No. 3-14833)

SEC Sues ArthroCare’s Former CEO and CFO to Recover Bonuses and Stock Profits Received During Accounting Fraud

On April 2, 2012, the Securities and Exchange Commission sued two former executives at an Austin, Texas-based ArthroCare Corporation to recover bonus compensation and stock sale profits they received during a period when the company’s financial statements were misstated due to accounting fraud.

According to the SEC’s complaint filed in federal court in Austin, former ArthroCare CEO Michael A. Baker and former CFO Michael T. Gluk are not charged with personal misconduct, but they are still required under Section 304 of the Sarbanes-Oxley Act (SOX) to reimburse ArthroCare for bonuses and stock profits that they received after the company filed fraudulent financial statements during 2006, 2007, and the first quarter of 2008.

The Commission previously settled charges against ArthroCare, Rel. No. 34-63883 (February 9, 2011), and against John Raffle and David Applegate, two former ArthroCare executives alleged to have conducted the scheme to inflate the company’s revenues and earnings. See Rel. No. 22027 (July 5, 2011). [SEC v. Michael A. Baker and Michael T. Gluk, Civil Action No. 1:12-cv-00285, USDC, WDTX] (LR-22315; AAE Rel. 3375)

Court Enters Final Judgment Against Defendant Anthony M. Cimini, Sr.

The Commission announced that on March 30, 2012, the United States District Court for the Middle District of Florida entered a Final Judgment, by consent, against Defendant Anthony M. Cimini, Sr.. The Final Judgment orders Cimini to pay disgorgement of $18,100, representing profits gained as a result of the conduct alleged in the Complaint, prejudgment interest thereon in the amount of $4,428.91, and a civil penalty in the amount of $18,100, pursuant to Section 20(d) of the Securities Act of 1933 (“Securities Act”),15 U.S.C.  77t(d), and Section 21(d)(3) of the Securities Exchange Act of 1934 (“Exchange Act”), 15 U.S.C.  78u(d)(3), for a total amount of $40,628.91.

Cimini also previously consented to: a permanent injunction prohibiting violations of Section 10(b) of the Exchange Act, 15 U.S.C. 78j(b), and Exchange Act Rule 10b-5, 17 C.F.R.  240.10b-5, and Section 5 of the Securities Act, 15 U.S.C. 77e; a penny stock bar; an officer-and-director bar; the Commission’s entitlement to disgorgement and prejudgment interest, and to a civil money penalty pursuant to Section 20(d) of the Securities Act, 15 U.S.C. 77t(d), and Section 21(d)(3) of the Exchange Act, 15 U.S.C. 78u(d)(3).

The Commission commenced this action by filing its complaint on May 22, 2008. The complaint alleged Cimini and other defendants participated in a fraudulent "pump and dump" scheme to evade the registration provisions of the federal securities laws and then sell purportedly unrestricted Global shares during a fraudulent promotional campaign.

The other defendants, Global Development, Carmine J. Bua, Philip Pritchard, Pietro Cimino, and Dante M. Panella, all previously settled the Commission’s anti-fraud and securities registration charges against them by consenting, without admitting or denying the Commission’s allegations, to permanent injunctions. All the individuals consented to penny stock bars, and Pritchard and Cimino consented to officer-and-director bars. The Court previously ordered disgorgement and civil penalties against Bua and Panella, with monetary orders still to be decided against the others. The Commission’s claim for a civil penalty against Global Development has been voluntarily dismissed. [SEC v. Global Development & Environmental Resources, Inc., et al., Civil Action No. 8:08-CV-993-T27MAP (M.D. Fla.)] (LR-22316)

Investment company act releases

Ares Capital Corporation

An order has been issued on an application filed by Ares Capital Corporation (Company), Ares Capital Management LLC and Ivy Hill Asset Management, L.P. (Ivy Hill) 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 permits the Company to (a) continue to own (directly or indirectly) up to 100% of the outstanding equity interests of Ivy Hill and (b) make additional investments in Ivy Hill, in each case, following such time as Ivy Hill is required to become a registered investment adviser under the Investment Advisers Act of 1940. (Rel. IC-30024 – March 30)

Notice of Applications for Deregistration under the Investment Company Act of 1940

For the month of March 2012, a notice has been issued giving interested persons until April 24, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:

  • Value Line Convertible Fund, Inc. [File No. 811-4258]
  • UBS Equity Opportunity Fund, L.L.C. [File No. 811-10269]
  • Tax Exempt Proceeds Fund Inc. [File No. 811-5698]
  • BlackRock Short-Term Bond Series, Inc. [File No. 811-10053]
  • Cash Assets Trust [File No. 811-4066]
  • SunAmerica Focused Alpha Growth Fund, Inc. [File No. 811-21770]
  • SunAmerica Focused Alpha Large-Cap Fund, Inc. [File No. 811-21805]
  • Munder Series Trust II [File No. 811-7897]

(Rel. IC-30025 - March 30)

self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-045) to extend the fee pilot program for NASDAQ Last Sale 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 April 2. (Rel. 34-66706)

A proposed rule change filed by NASDAQ OMX PHLX LLC to extend the FLEX no minimum value pilot program (SR-PHLX-2012-44) 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 April 2. (Rel. 34-66711)

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-NYSE-2012-06) submitted by New York Stock Exchange LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to exclude foreign affiliates, eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66709)

The Commission approved a proposed rule change (SR-NYSEAmex-2012-12) submitted by NYSE Amex LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to exclude foreign affiliates, eliminate the application process for approved persons, and make related technical and conforming changes. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66710)

Proposed Rule Changes

EDGX Exchange, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-EDGX-2012-08) relating to amendments to Rule 2.11 that establish the authority to cancel orders and describe the operation of an error account. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66713)

EDGA Exchange, Inc. filed a proposed rule change under Rule 19b-4 of the Securities Exchange Act of 1934 (SR-EDGA-2012-09) relating to amendments to Rule 2.11 that establish the authority to cancel orders and describe the operation of an error account. Publication is expected in the Federal Register during the week of April 2. (34-66714)

A proposed rule change filed by the Options Clearing Corporation (OCC) relating to stock loan buy-in and sell-out rules (SR-OCC-2012-04) was filed pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 2. (Rel. 34-66715)

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     ELDORADO GOLD CORP /FI, SUITE 1188 - BENTALL 5, 550 BURRARD STREET, 
        VANCOUVER, A1, V6C 2B5, (604) 687-4018 - 
        4,713,248 ($64,807,160.00) Equity, (File 333-180504 - Apr. 2) (BR. 09A)

S-8     SIGMA DESIGNS INC, 1778 MCCARTHY BLVD., MILPITAS, CA, 95035, 
        4082629003 - 150,763 ($812,613.00) Equity, (File 333-180505 - Apr. 2) 
        (BR. 10C)

S-8     NOMURA HOLDINGS INC, 9-1 NIHONBASHI 1-CHOME, CHUO-KU 103-8645, 
        TOKYO JAPAN, M0, 00000, 81 3-5255-1000 - 0 ($17,704,488.00) Equity, 
        (File 333-180506 - Apr. 2) (BR. 12A)

S-8     Express Scripts Holding Co., ONE EXPRESS WAY, ST. LOUIS, MO, 63121, 
        (314) 692-1983 - 0 ($58,000,000.00) Debt, 0 ($5,270,540,634.18) Equity, 
        (File 333-180507 - Apr. 2) (BR. 01B)

S-8     VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155, 
        SAN DIEGO, CA, 92130, 760-230-8986 - 28,564,626 ($848,369.46) Equity, 
        (File 333-180508 - Apr. 2) (BR. 11A)

S-1     Upscale Media, Inc., 5348 VEGAS DRIVE, LAS VEGAS, VA, 89108, 
        202-973-0186 - 2,500,000 ($25,000.00) Debt, (File 333-180509 - Apr. 2) 
        (BR. 03)

S-4     SPRINT NEXTEL CORP, 6200 SPRINT PARKWAY, OVERLAND PARK, KS, 66251, 
        800-829-0965 - 0 ($2,000,000,000.00) Non-Convertible Debt, 
        (File 333-180513 - Apr. 2) (BR. 11C)

S-1     FIRST UNITED CORP/MD/, 19 S SECOND ST, OAKLAND, MD, 21550, 3013349471 - 
        770,141 ($4,343,595.00) Equity, (File 333-180514 - Apr. 2) (BR. 07B)

S-1     STEMLINE THERAPEUTICS INC, 750 LEXINGTON AVENUE, NEW YORK, NY, 10022, 
        212-831-1111 - 0 ($50,000,000.00) Equity, (File 333-180515 - Apr. 2) 
        (BR. )

S-1     Guidewire Software, Inc., 2211 BRIDGEPOINTE PARKWAY, SAN MATEO, CA, 
        94404, 650-357-9100 - 8,625,000 ($260,000,625.00) Equity, 
        (File 333-180516 - Apr. 2) (BR. 03B)

S-8     Transcept Pharmaceuticals Inc, 1003 W. CUTTING BLVD, SUITE 110, 
        POINT RICHMOND, CA, 94804, (510) 215-3500 - 
        695,225 ($6,841,014.00) Equity, (File 333-180517 - Apr. 2) (BR. 01B)

S-3     CUI Global, Inc., 546 19 AVENUE NE, ST. PETERSBUEG, FL, 33704, 
        727-290-6852 - 570,000 ($2,565,000.00) Equity, (File 333-180518 - 
        Apr. 2) (BR. 11A)

S-8     CUI Global, Inc., 546 19 AVENUE NE, ST. PETERSBUEG, FL, 33704, 
        727-290-6852 - 50,750 ($243,600.00) Equity, (File 333-180519 - Apr. 2) 
        (BR. 11A)

S-4     ESSA Bancorp, Inc., 200 PALMER STREET, STROUDSBURG, PA, 18360, 
        (570) 421-0531 - 1,312,099 ($10,985,163.00) Equity, (File 333-180520 - 
        Apr. 2) (BR. 07B)

S-3ASR  VENTAS INC, 353 N. CLARK STREET, SUITE 3300, CHICAGO, IL, 60654, 
        (877) 483-6827 - 0 ($0.00) Other, (File 333-180521 - Apr. 2) (BR. 08C)

S-1     AMERICAN POWER CORP., 16 MARKET SQUARE CENTRE, 
        1400 16TH STREET, SUITE 400, DENVER, CO, 80202, 720.932.8389 - 
        0 ($4,117,589.44) Equity, (File 333-180522 - Apr. 2) (BR. 06C)

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

1st United Bancorp, Inc.                FL       2.01,5.02,7.01,9.01  04/01/12

AbitibiBowater Inc.                     DE       8.01,9.01            04/01/12

ACTUANT CORP                            WI       8.01,9.01            04/02/12

ACURA PHARMACEUTICALS, INC              NY       7.01,9.01            04/02/12

AFFIRMATIVE INSURANCE HOLDINGS INC      DE       2.02,9.01            03/30/12

Aircastle LTD                           D0       7.01,9.01            03/30/12

ALERE INC.                              DE       1.01,2.03,9.01       03/28/12

ALEXANDER & BALDWIN INC                 HI       8.01,9.01            04/02/12

ALL GRADE MINING, INC.                  CO       4.01,5.02            03/30/12

ALLIANCE DATA SYSTEMS CORP              DE       1.01,2.03,3.03,7.01, 03/29/12
                                                 9.01
          
AMERICAN CAMPUS COMMUNITIES INC         MD       7.01,9.01            04/02/12 

AMGEN INC                               DE       1.01,9.01            04/02/12

AMICO GAMES CORP.                       NV       1.02                 03/27/12

AMPAL-AMERICAN ISRAEL CORP              NY       2.02,7.01,9.01       04/02/12

ANNALY CAPITAL MANAGEMENT INC           MD       8.01,9.01            04/02/12

APOLLO INVESTMENT CORP                  MD       8.01,9.01            04/02/12

APOLLO INVESTMENT CORP                  MD       8.01,9.01            04/02/12

ARCH CAPITAL GROUP LTD.                          5.03,8.01,9.01       04/02/12

ARCHER DANIELS MIDLAND CO               DE       2.03                 03/27/12

Arcis Resources Corp                    NV       5.02                 03/27/12

Ardea Biosciences, Inc./DE              DE       5.02,9.01            03/27/12

Ascent Solar Technologies, Inc.         DE       5.02,8.01,9.01       03/30/12

ASSOCIATED MATERIALS, LLC               DE       8.01                 04/02/12

ASSURANCEAMERICA CORP                   NV       4.02                 04/02/12

ATWOOD OCEANICS INC                     TX       7.01,9.01            04/02/12

AVI BIOPHARMA INC                       OR       8.01,9.01            04/02/12

AVON PRODUCTS INC                       NY       5.02                 04/02/12

BankFinancial CORP                               5.02,9.01            03/28/12

BB&T CORP                               NC       8.01                 04/02/12

Beacon Federal Bancorp, Inc.            MD       2.02,9.01            03/30/12

Beneficial Mutual Bancorp Inc           X1       8.01,9.01            04/02/12

BOINGO WIRELESS INC                     DE       5.08                 03/30/12

Bonds.com Group, Inc.                   DE       4.02                 03/29/12

BROADVIEW NETWORKS HOLDINGS INC         DE       8.01,9.01            04/02/12

C & F FINANCIAL CORP                    VA       8.01                 03/30/12

CAESARS ENTERTAINMENT Corp              DE       3.02,8.01            03/30/12

CAMPBELL FUND TRUST                     DE       5.02                 03/27/12

Campbell Global Trend Fund, L.P.        DE       5.03                 04/01/12

Campbell Global Trend Fund, L.P.        DE       5.02                 03/27/12

CAMPBELL STRATEGIC ALLOCATION FUND LP   DE       5.02                 03/27/12

CAPITAL SENIOR LIVING CORP              DE       7.01,9.01            04/02/12

CASCADE CORP                            OR       5.02,9.01            03/27/12

CASCADE CORP                            OR       2.02,9.01            03/29/12

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       8.01,9.01            04/02/12

CAVIUM, INC.                            DE       2.02,9.01            04/02/12

CECIL BANCORP INC                       MD       3.02,3.03,5.03,9.01  03/30/12

CelLynx Group, Inc.                     NV       1.01,2.01,3.01,5.03, 03/26/12    AMEND
                                                 9.01
         
CENTURYLINK, INC                        LA       8.01,9.01            04/02/12

CENTURYLINK, INC                        LA       8.01,9.01            04/02/12

ChemoCentryx, Inc.                      DE       2.02,9.01            03/30/12

China Biologic Products, Inc.                    8.01,9.01            04/02/12

CHINA EDUCATION INTERNATIONAL, INC.     NV       1.01,3.02,7.01,9.01  12/30/11    AMEND

China Energy Recovery, Inc.             DE       1.01                 04/02/12

CHINA GREEN MATERIAL TECHNOLOGIES, IN   NV       4.01,9.01            03/27/12

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       2.02,7.01,9.01       03/27/12

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       9.01                 01/16/12    AMEND

China Shenghuo Pharmaceutical Holding            2.02,7.01,9.01       03/30/12

CHINACAST EDUCATION CORP                DE       3.01,5.02,7.01,8.01, 03/27/12
                                                 9.01
          
CHINACAST EDUCATION CORP                DE       7.01,9.01            04/02/12

Cinemark Holdings, Inc.                 DE       1.01,5.02,9.01       03/30/12

CNS RESPONSE, INC.                      DE       5.03,9.01            03/30/12

COINSTAR INC                            DE       5.02                 04/02/12

COLONIAL COMMERCIAL CORP                NY       2.02,9.01            03/28/12

Colonial Financial Services, Inc.       MD       8.01,9.01            03/30/12

Colorado Ceramic Tile, Inc.             CO       5.02                 03/28/12

CONTINENTAL RESOURCES INC               OK       1.01,3.02,7.01,9.01  03/27/12

Converted Organics Inc.                 DE       3.02                 03/28/12

CORELOGIC, INC.                         DE       8.01                 03/28/12

COVENANT TRANSPORTATION GROUP INC       NV       1.01,2.03,9.01       03/29/12

DALECO RESOURCES CORP                   NV       2.01,9.01            03/28/12

DARA BioSciences, Inc.                  DE       1.01,9.01            01/17/12    AMEND

DDI CORP                                CA       1.01,2.03            03/28/12

DecisionPoint Systems, Inc.             DE       2.02,9.01            03/29/12

DEEP WELL OIL & GAS INC                 NV       7.01,9.01            03/30/12

DEERE & CO                              DE       7.01                 04/02/12

Delek US Holdings, Inc.                          7.01,9.01            04/02/12

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                 04/02/12

Diamond Resorts Corp                    MD       2.02,9.01            03/30/12

Digital Domain Media Group, Inc.        FL       2.02,9.01            04/02/12

DJO Finance LLC                         DE       1.01,2.03,9.01       03/30/12

DOLLAR GENERAL CORP                     TN       1.01,2.03,8.01,9.01  03/27/12

DONALDSON CO INC                        DE       1.01,9.01            03/30/12

DOW CHEMICAL CO /DE/                    DE       2.05,2.06,8.01       03/27/12

DRAVCO MINING INC                       NV       1.02,7.01,9.01       04/02/12    AMEND

DTE ENERGY CO                           MI       7.01,9.01            04/02/12

Eastern World Solutions Inc.            NV       1.01,2.01,5.01,5.02, 03/27/12
                                                 8.01,9.01
     
EBAY INC                                DE       5.02                 03/28/12

ECOLOCAP SOLUTIONS INC.                 NV       1.02,7.01,9.01       04/02/12

ECOLOCAP SOLUTIONS INC.                 NV       1.02,7.01,9.01       04/02/12    AMEND

EDUCATION MANAGEMENT CORPORATION                 1.01,2.03,9.01       03/30/12

Education Realty Trust, Inc.            MD       7.01,9.01            04/02/12

EMMIS COMMUNICATIONS CORP               IN       5.07                 04/02/12

EMPIRE DISTRICT ELECTRIC CO             KS       1.01,2.03,8.01,9.01  03/30/12

EMPIRE RESORTS INC                      DE       1.01,9.01            03/30/12

ENCISION INC                            CO       2.03,9.01            03/27/12

ENCORIUM GROUP INC                      NV       1.02                 03/28/12

ENTERPRISE FINANCIAL SERVICES CORP      DE       3.01,9.01            03/30/12

ENTROPIC COMMUNICATIONS INC             DE       5.02                 03/30/12

EXPRESS SCRIPTS INC                     DE       3.01,3.03,5.01,5.03, 04/02/12
                                                 8.01,9.01
     
Federal Home Loan Bank of Dallas                 2.03,9.01            03/27/12

FelCor Lodging Trust Inc                MD       5.02,9.01            04/01/12

First Financial Northwest, Inc.         WA       1.01,9.01            03/27/12

FIRST M&F CORP/MS                       MS       7.01,9.01            03/30/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            04/02/12

FNB BANCORP/CA/                                  8.01,9.01            03/30/12

FOUR OAKS FINCORP INC                   NC       2.02,9.01            04/02/12

FRONTIER COMMUNICATIONS CORP            DE       8.01,9.01            04/02/12

FS Investment CORP                      MD       2.02,9.01            03/30/12

FX Alliance Inc.                                 8.01,9.01            04/02/12

FX ENERGY INC                           NV       8.01,9.01            04/02/12

GARDNER DENVER INC                      DE       5.02,7.01,9.01       03/28/12

General Maritime Corp / MI                       1.01,9.01            03/29/12

GenMark Diagnostics, Inc.               DE       5.02,9.01            04/02/12

GEOGLOBAL RESOURCES INC.                DE       2.02,7.01,8.01,9.01  03/29/12

GISSER AUTOMOTIVE CONCEPTS INC          NY       1.01                 04/01/12

GLOBAL PAYMENTS INC                     GA       2.02,9.01            04/02/12

GLOBAL PAYMENTS INC                     GA       8.01                 04/02/12

GlyEco, Inc.                            NV       7.01,9.01            03/28/12    AMEND

Golden Growers Cooperative              MN       5.07                 03/29/12

GRACO INC                               MN       1.01,2.01,2.03,9.01  03/27/12

Great Wolf Resorts, Inc.                DE       8.01,9.01            04/02/12

GREENLITE VENTURES INC                  NV       7.01,9.01            03/27/12

Guidewire Software, Inc.                DE       8.01                 03/27/12

Hampden Bancorp, Inc.                   DE       5.02                 03/29/12

HARMAN INTERNATIONAL INDUSTRIES INC /   DE       5.02,9.01            03/27/12

HARTFORD FINANCIAL SERVICES GROUP INC   DE       1.01,7.01,8.01,9.01  03/30/12

HARTFORD FINANCIAL SERVICES GROUP INC   DE       7.01,9.01            04/02/12

HAWKER BEECHCRAFT ACQUISITION CO LLC    DE       1.01,2.03,5.02,7.01, 03/27/12
                                                 9.01
          
HEALTH NET INC                          DE       8.01                 04/01/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       1.01,1.02,2.03,7.01, 03/29/12
                                                 9.01
          
HEALTHCARE TRUST OF AMERICA, INC.       MD       5.07                 11/09/11    AMEND

HERITAGE BANKSHARES INC /VA             VA       5.03,9.01            03/28/12

Home Federal Bancorp, Inc.              MD       5.03,9.01            03/27/12

HOMEAWAY INC                            DE       8.01                 04/02/12

Homeowners Choice, Inc.                 FL       1.01                 03/09/12

HOVNANIAN ENTERPRISES INC               DE       5.02,5.07,9.01       03/27/12

HSN, Inc.                               DE       7.01,9.01            04/02/12

HUNTINGTON BANCSHARES INC/MD            MD       8.01,9.01            03/30/12

HUTCHINSON TECHNOLOGY INC               MN       1.01,2.03,3.02,9.01  03/28/12

ICG GROUP, INC.                         DE       1.01,2.01,8.01,9.01  03/27/12

ILLUMINA INC                            DE       2.02,9.01            04/02/12

IMAGE ENTERTAINMENT INC                 DE       8.01,9.01            04/02/12

IMPAX LABORATORIES INC                  DE       9.01                 02/06/12    AMEND

Independence Energy Corp.               NV       2.01                 03/29/12

INFINITE GROUP INC                      DE       8.01,9.01            03/30/12

INFORMATION ANALYSIS INC                VA       2.02,9.01            03/29/12

INNOVATIVE SOLUTIONS & SUPPORT INC      PA       5.02,9.01            04/02/12

InspireMD, Inc.                         DE       8.01,9.01            03/27/12

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       8.01,9.01            03/28/12

Intellicheck Mobilisa, Inc.             DE       5.02                 03/31/12

Investors Bancorp Inc                   DE       5.01,9.01            03/27/12

ISTA PHARMACEUTICALS INC                DE       8.01,9.01            04/02/12

ITRON INC /WA/                          WA       5.02,9.01            03/28/12

JACKSONVILLE BANCORP INC /FL/           FL       2.02,9.01            04/01/12

JACOBS ENGINEERING GROUP INC /DE/       DE       1.01,1.02,2.03       03/29/12

JACOBS ENTERTAINMENT INC                DE       2.02,9.01            03/30/12

KANSAS CITY SOUTHERN                    DE       7.01,9.01            03/30/12

KEATING CAPITAL INC                              7.01                 03/28/12

KEMET CORP                              DE       5.02,9.01            03/28/12

KERYX BIOPHARMACEUTICALS INC            DE       8.01,9.01            04/02/12

KILROY REALTY CORP                      MD       1.01,2.03,3.03,5.03, 03/27/12
                                                 7.01,8.01,9.01

KINGSTONE COMPANIES, INC.               DE       2.02,9.01            03/30/12

KV PHARMACEUTICAL CO /DE/               DE       1.01,5.02            03/27/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 04/02/12

LANDEC CORP \CA\                        CA       5.02                 03/30/12

LEGGETT & PLATT INC                     MO       5.02,9.01            03/28/12

LENCO MOBILE INC.                       DE       8.01                 03/30/12

Life Nutrition Products, Inc            DC       4.01,9.01            03/26/12

LIGAND PHARMACEUTICALS INC              DE       8.01                 03/02/12

LINCARE HOLDINGS INC                    DE       8.01,9.01            04/02/12

Linkwell CORP                           FL       7.01,9.01            04/02/12

Linkwell CORP                           FL       7.01,9.01            04/02/12    AMEND

LNB BANCORP INC                         OH       7.01,9.01            04/02/12

LODGENET INTERACTIVE CORP               DE       5.02                 03/27/12

LPL Investment Holdings Inc.            DE       1.01,1.02,2.03,8.01, 03/29/12
                                                 9.01
          
MAGELLAN HEALTH SERVICES INC            DE       8.01,9.01            03/30/12

MAINSOURCE FINANCIAL GROUP              IN       1.01,9.01            03/28/12

MASCO CORP /DE/                         DE       5.02                 03/20/12    AMEND

MAXWELL TECHNOLOGIES INC                DE       5.02                 03/27/12

MB FINANCIAL INC /MD                             5.03,9.01            03/28/12

MCCORMICK & CO INC                      MD       5.07                 03/28/12

MCKESSON CORP                           DE       5.02,9.01            03/27/12

Measurement Specialties Inc             NJ       5.02                 03/29/12

MEDASSETS INC                           DE       3.01                 03/30/12

MEDCO HEALTH SOLUTIONS INC              DE       3.01,3.03,5.01,5.02, 04/02/12
                                                 5.03,8.01,9.01

MEDIANET GROUP TECHNOLOGIES INC         NV       8.01,9.01            03/28/12

MEDISWIPE INC.                          DE       4.01                 03/27/12

METRO BANCORP, INC.                              5.02,8.01            03/27/12

MICHAEL BAKER CORP                      PA       3.03,8.01,9.01       03/30/12

MILLER ENERGY RESOURCES, INC.           TN       3.03,5.03,9.01       03/27/12

Momentive Performance Materials Inc.    DE       1.01,2.03,7.01,9.01  04/02/12

MSB FINANCIAL CORP.                     X1       8.01                 03/28/12

MULTIBAND CORP                          MN       4.01,9.01            04/02/12    AMEND

NATIONAL PRESTO INDUSTRIES INC          WI       8.01,9.01            03/28/12

NBC ACQUISITION CORP                    DE       7.01,9.01            03/30/12

NCO Group, Inc.                         DE       1.01,8.01,9.01       03/28/12

NETWORK CN INC                          DE       5.02                 04/02/12

NETWORK ENGINES INC                     DE       2.03,9.01            03/28/12

NETWORK EQUIPMENT TECHNOLOGIES INC      DE       2.05,5.02,9.01       03/29/12

NeuroMetrix, Inc.                       DE       8.01                 03/28/12

NEW AMERICA ENERGY CORP.                NV       1.01,9.01            04/02/12

NEWCASTLE INVESTMENT CORP               MD       1.01,9.01            03/28/12

NEWFIELD EXPLORATION CO /DE/            DE       7.01,9.01            04/02/12

NEWFIELD EXPLORATION CO /DE/            DE       7.01                 04/02/12

NEWS CORP                                        8.01,9.01            04/02/12

Nile Therapeutics, Inc.                 DE       1.01,9.01            03/30/12

NORTHSTAR REALTY FINANCE CORP.          MD       8.01                 03/29/12

NORTHWEST INDIANA BANCORP               IN       8.01                 03/30/12

Nova Lifestyle, Inc.                    NV       2.02,9.01            04/02/12

NTS, INC.                               NV       2.02,9.01            03/30/12    AMEND

NU SKIN ENTERPRISES INC                 DE       5.02                 03/27/12

O REILLY AUTOMOTIVE INC                          7.01,9.01            04/02/12

ODYSSEY PICTURES CORP                   NV       5.02                 03/30/12

OFFICIAL PAYMENTS HOLDINGS, INC.        DE       5.07                 04/02/12

OHIO LEGACY CORP                        OH       8.01                 04/02/12

OMEGA PROTEIN CORP                      NV       5.02,9.01            03/30/12

Oneida Financial Corp.                  MD       8.01,9.01            03/29/12

OPNEXT INC                                       1.01,9.01            03/27/12

ORBCOMM Inc.                            DE       3.02                 03/28/12

OSI RESTAURANT PARTNERS, LLC            DE       1.01                 03/27/12

OVERSTOCK.COM, INC                      DE       8.01,9.01            03/30/12

OxySure Systems Inc                              2.02,9.01            03/30/12

PACER INTERNATIONAL INC                 TN       1.01,8.01            03/27/12

PAID INC                                DE       7.01                 04/02/12

PAID INC                                DE       4.01,9.01            04/02/12

PENN VIRGINIA RESOURCE PARTNERS L P     DE       8.01                 03/30/12

PennantPark Floating Rate Capital Ltd            7.01,9.01            04/02/12

PennantPark Floating Rate Capital Ltd            7.01,9.01            04/02/12

PENNANTPARK INVESTMENT CORP                      7.01,9.01            04/02/12

PEOPLES FINANCIAL SERVICES CORP.        PA       9.01                 03/31/12

PEP BOYS MANNY MOE & JACK               PA       2.02,9.01            04/02/12

PEPSICO INC                             NC       7.01,9.01            03/31/12

PGT, Inc.                               DE       5.02                 03/28/12

PharMerica CORP                         DE       1.01,1.02,3.03,5.03, 03/28/12
                                                 9.01
          
PINNACLE AIRLINES CORP                  DE       1.03,9.01            04/01/12

PONIARD PHARMACEUTICALS, INC.           WA       5.02,8.01,9.01       03/30/12

PREFERRED APARTMENT COMMUNITIES INC     MD       8.01,9.01            04/02/12

Prestige Brands Holdings, Inc.                   2.01,7.01,9.01       03/30/12

Primerica, Inc.                         DE       2.03,9.01            03/27/12

PROCERA NETWORKS INC                    NV       4.01                 03/30/12

PROSPECT CAPITAL CORP                   MD       1.01,9.01            03/27/12

PROSPERITY BANCSHARES INC               TX       8.01,9.01            04/01/12

PYRAMID OIL CO                          CA       2.02,9.01            03/29/12

QR Energy, LP                           DE       7.01,9.01            04/02/12

QUANTA SERVICES INC                     DE       5.02,7.01,9.01       03/29/12

QUANTUM CORP /DE/                       DE       1.01,2.03,9.01       03/29/12

RAYMOND JAMES FINANCIAL INC             FL       2.01,7.01,9.01       04/02/12

REALNETWORKS INC                        WA       5.02,7.01,9.01       04/02/12

Red Lion Hotels CORP                    WA       5.02,9.01            03/27/12

REDDY ICE HOLDINGS INC                  DE       1.01,9.01            03/27/12

Regional Management Corp.               DE       1.01,3.03,5.02,5.03, 03/27/12
                                                 8.01,9.01
     
REGIONS FINANCIAL CORP                  DE       2.01,5.02,9.01       03/30/12

Renewable Energy Group, Inc.                     8.01                 03/29/12

Resource Real Estate Opportunity REIT   MD       2.01,9.01            03/27/12

REX ENERGY CORP                         DE       7.01,9.01            04/02/12

REYNOLDS AMERICAN INC                            1.01,2.03,9.01       03/27/12

RLJ Acquisition, Inc.                   NV       8.01,9.01            04/02/12

ROGERS CORP                             MA       2.02,2.05,7.01,9.01  03/29/12

RPC INC                                 DE       8.01,9.01            04/02/12

SANDRIDGE ENERGY INC                    DE       1.01,9.01            03/29/12

SANDRIDGE ENERGY INC                    DE       7.01                 04/02/12

SANDRIDGE ENERGY INC                    DE       8.01,9.01            04/02/12

SBA COMMUNICATIONS CORP                 FL       1.01,2.01,2.03,9.01  04/02/12

SCHIFF NUTRITION INTERNATIONAL, INC.    DE       1.01,2.01,9.01       03/30/12

SEALED AIR CORP/DE                      DE       5.02                 03/27/12

Sequoia Mortgage Trust 2012-2                    8.01,9.01            03/01/12

SERVICEMASTER CO                        DE       1.01                 03/27/12

SIGNATURE GROUP HOLDINGS, INC.          NV       8.01                 04/02/12

SIGNATURE GROUP HOLDINGS, INC.          NV       7.01,9.01            04/02/12

SIGNET JEWELERS LTD                              8.01                 04/02/12

Silver Falcon Mining, Inc.              DE       8.01                 04/02/12

SMARTHEAT INC.                          NV       2.02,9.01            04/02/12

SOCKET MOBILE, INC.                     DE       5.02,9.01            04/02/12

Somaxon Pharmaceuticals, Inc.           DE       8.01                 03/29/12

SORL Auto Parts Inc                     DE       7.01,9.01            03/29/12

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       1.01,9.01            03/30/12

SPECTRASCIENCE INC                      MN       1.01,2.03,3.02,7.01  03/30/12

Star Gold Corp.                         NV       5.02,9.01            03/28/12

STEMCELLS INC                           DE       8.01,9.01            04/02/12

Stereotaxis, Inc.                       DE       1.01,2.03,9.01       03/30/12

STEWART INFORMATION SERVICES CORP       DE       5.02,9.01            03/29/12

STONEMOR PARTNERS LP                    DE       5.02,7.01,9.01       04/01/12

SUN COMMUNITIES INC                     MD       2.03,9.01            03/29/12

SUREWEST COMMUNICATIONS                 CA       8.01,9.01            03/30/12

Swank, Inc.                             DE       8.01,9.01            04/02/12

T3 Motion, Inc.                         DE       5.02,9.01            03/27/12

TAL International Group, Inc.           DE       1.01,2.03            03/30/12

TELETECH HOLDINGS INC                   DE       1.01,2.03,7.01,9.01  03/27/12

THERAVANCE INC                          DE       1.01,3.02,8.01,9.01  04/02/12

Thermon Group Holdings, Inc.            DE       2.04,9.01            03/30/12

THOMAS & BETTS CORP                     TN       8.01,9.01            03/30/12

TRANS LUX CORP                          DE       3.03,5.03,5.07       04/02/12    AMEND

ULURU INC.                              NV       2.02,9.01            04/02/12

UNIGENE LABORATORIES INC                DE       5.02,9.01            04/01/12

UNITIL CORP                             NH       5.02                 04/01/12

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       9.01                 03/29/12

URS CORP /NEW/                          DE       5.02,9.01            03/28/12

VALOR GOLD CORP.                                 5.03,5.07,8.01,9.01  03/27/12

VANGUARD HEALTH SYSTEMS INC             DE       1.01,2.03,8.01,9.01  04/02/12

VENTAS INC                              DE       5.02                 03/27/12

VENTAS INC                              DE       8.01,9.01            04/02/12

VERENIUM CORP                           DE       1.02,8.01            03/30/12

VGTel, Inc.                                      1.01,9.01            03/31/12

VIASPACE Inc.                                    2.02,9.01            04/02/12

Vitamin Shoppe, Inc.                    DE       1.01,5.02,9.01       03/29/12

Vulcan Materials CO                     NJ       8.01,9.01            04/02/12

W R GRACE & CO                          DE       2.02,8.01            04/02/12

W R GRACE & CO                          DE       2.02                 04/02/12

WELLS REAL ESTATE INVESTMENT TRUST II   MD       1.01                 04/01/12

Westway Group, Inc.                     DE       2.02,9.01            03/30/12

WILLIAMS COMPANIES INC                  DE       7.01,8.01,9.01       03/29/12

WINNER MEDICAL GROUP INC                NV       8.01,9.01            04/01/12

WMI HOLDINGS CORP.                      WA       1.01,1.02,1.03,2.03, 03/19/11    AMEND
                                                 3.02,3.03,5.01,5.02,
                                                 5.03
   
Z TRIM HOLDINGS, INC                    IL       1.01,2.03,3.02       03/29/12

ZION OIL & GAS INC                      DE       7.01,9.01            04/02/12

ZIOPHARM ONCOLOGY INC                   DE       8.01,9.01            04/02/12

ZIOPHARM ONCOLOGY INC                   DE       8.01,9.01            04/02/12

Ziyang Ceramics Corp                    FL       2.02,7.01,9.01       03/29/12

 

http://www.sec.gov/news/digest/2012/dig040312.htm


Modified: 04/03/2012