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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-80
April 25, 2012

Commission Announcements

SEC Charges Former Morgan Stanley Executive With FCPA Violations and Investment Adviser Fraud

The Securities and Exchange Commission today charged a former executive at Morgan Stanley with violating the Foreign Corrupt Practices Act (FCPA) as well as securities laws for investment advisers by secretly acquiring millions of dollars worth of real estate investments for himself and an influential Chinese official who in turn steered business to Morgan Stanley’s funds.

The SEC alleges that Garth R. Peterson, who was a managing director in Morgan Stanley’s real estate investment and fund advisory business, had a personal friendship and secret business relationship with the former Chairman of Yongye Enterprise (Group) Co. – a Chinese state-owned entity with influence over the success of Morgan Stanley’s real estate business in Shanghai. Peterson secretly arranged to have at least $1.8 million paid to himself and the Chinese official that he disguised as finder’s fees that Morgan Stanley’s funds owed to third parties. Peterson also secretly arranged for him, the Chinese official, and an attorney to acquire a valuable Shanghai real estate interest from a Morgan Stanley fund. Peterson was acquiring an interest from the fund but negotiated both sides of the transaction. In exchange for offers and payments from Peterson, the Chinese official helped Peterson and Morgan Stanley obtain business while personally benefitting from some of these same investments. Peterson’s deception, self-dealing, and misappropriation breached the fiduciary duties he owed to Morgan Stanley’s funds as their representative.

Peterson agreed to a settlement of the SEC’s charges in which he will be permanently barred from the securities industry, pay more than $250,000 in disgorgement, and relinquish his interest in the valuable Shanghai real estate (currently valued at approximately $3.4 million) that he secretly acquired through his misconduct. The U.S. Department of Justice has filed a related criminal case against Peterson.

“Peterson crossed the line not once, but twice. He secretly bribed a government official to illegally win business for his employer and enriched himself in violation of his fiduciary duty to Morgan Stanley’s clients,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “This case illustrates the SEC’s commitment to holding individuals accountable for FCPA violations, particularly employees who intentionally circumvent their company's internal controls.”

Kara Novaco Brockmeyer, Chief of the SEC Enforcement Division’s FCPA Unit, added, “As a rogue employee who took advantage of his firm and its investment advisory clients, Peterson orchestrated a scheme to illegally win business while lining his own pockets and those of an influential Chinese official.”

According to the SEC’s complaint filed in U.S. District Court for the Eastern District of New York, Peterson’s violations occurred from at least 2004 to 2007. His principal responsibility at Morgan Stanley was to evaluate, negotiate, acquire, manage and sell real estate investments on behalf of Morgan Stanley’s advisers and funds. He was terminated in 2008 due to his FCPA misconduct.

The SEC alleges that Peterson led Morgan Stanley’s effort to build a Chinese real estate investment portfolio for its real estate funds by cultivating a relationship with the Chinese official and taking advantage of his ability to steer opportunities to Morgan Stanley and his influence in helping with needed governmental approvals. Morgan Stanley thus partnered with Yongye on a number of significant Chinese real estate investments. At the same time, Peterson and the Chinese official expanded their personal business dealings both in a real estate interest secretly acquired from Morgan Stanley as well as by investing together in Chinese franchises of well-known U.S. fast food restaurants. Peterson failed to disclose these investments in annual disclosures that Morgan Stanley required him to make as part of his employment.

According to the SEC’s complaint, Peterson openly credited the Chinese official with helping obtain approvals required from other Chinese government entities for a deal to close. He wrote to several Morgan Stanley employees in response to an e-mail discussing the terms of one of Yongye’s purported investments, “Everyone pls keep in mind the big picture here. YY gave us this deal. ... So we owe them a favor relating to this deal. ... This should be very easy and friendly.” In another e-mail a week later, Peterson described “YYI” as “our friends who are coming in because WE OWE THEM A FAVOR.”

The SEC alleges that a Morgan Stanley compliance officer specifically informed Peterson in 2004 that employees of Yongye, a Chinese state-owned entity, were government officials for purposes of the FCPA. Peterson also received at least 35 FCPA compliance reminders from Morgan Stanley, but nonetheless committed the FCPA violations.

The SEC’s complaint charges Peterson with violations of the anti-bribery, books and records and internal control provisions of the FCPA, and with aiding and abetting violations of the anti-fraud provisions of the Investment Advisers Act of 1940. Peterson consented to a court order requiring him to disgorge $254,589 and relinquish to a court-appointed receiver the interest he secretly acquired from Morgan Stanley’s fund in the Jin Lin Tiandi Serviced Apartments. Peterson’s interest has a current estimated value of approximately $3.4 million. The proposed settlement is subject to court approval. Peterson also has consented to permanent industry bars based on the anticipated entry of the injunctions against him and his criminal conviction.

The SEC acknowledges the assistance of the Fraud Section of DOJ’s Criminal Division, the U.S. Attorney’s Office for the Eastern District of New York, and the Federal Bureau of Investigation. Morgan Stanley, which is not charged in the matter, cooperated with the SEC’s inquiry and conducted a thorough internal investigation to determine the scope of the improper payments and other misconduct involved.

The SEC’s investigation was conducted by David Neuman of the Asset Management Unit and Assistant Director Greg Faragasso, and the litigation was led by Richard Hong. (Press Rel. 2012-78)

Enforcement Proceedings

Commission Revokes Registration of Securities of Jove Corp. For Failure to Make Required Periodic Filings

On April 25, 2012, the Commission revoked the registration of each class of registered securities of Jove Corp. (stock symbol JVCP) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Jove Corp. consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Jove Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Jove Corp.’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Jove Corp. in In the Matter of Jove Corp., et al., Administrative Proceeding File No. 3-14813.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Jove Corp., et al., Administrative Proceeding File No. 3-14813, Exchange Act Release No. 66655, March 26, 2012. (Rel. 34-66855; File No. 3-14813)

In the Matter of Aaron M. Glasser

An Administrative Law Judge issued an Order Making Findings and Imposing Remedial Sanctions by Default (Default Order) in Aaron M. Glasser, Admin. Proc. No. 3-14790. The Order Instituting Proceedings (OIP) alleged that Respondent Aaron M. Glasser (Glasser) was permanently enjoined 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 (Exchange Act) and Exchange Act Rule 10b-5 on February 3, 2012, in SEC v. Aubrey, No. 8:11-cv-01564-JVS-RNB (C.D. Cal.). The Default Order finds the allegations of the OIP to be true and that it is in the public interest, pursuant to Section 15(b) of the Exchange Act, to bar Glasser from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, and from participating in an offering of penny stock. (Rel. 34-66858; File No. 3-14790)

Commission Declares Decision as to Terry Harris Final

The Commission has declared the initial decision of an administrative law judge barring Terry Harris from associating with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent. The initial decision found that following a jury trial, Terry Harris (Harris) was found guilty of six counts of fraud and two counts of registration violations. Harris was ordered to make restitution of $1,646,944, and is serving a twenty-five year prison sentence in the Limestone Correctional Facility in Harvest, Alabama. State of Alabama v. Terry Harris, CC 07-1624 (Ala. Cir. Ct. Feb. 4, 2011).

Terry Harris, formerly of Birmingham, Alabama, founded Wealth Builders International (WBI), he was also the CEO of a marketing company, Networkers 2000 (N2K), both of which were headquartered in Birmingham, Alabama. Harris was an unlicensed investment advisor selling unregistered securities in the State of Alabama. Neither he nor WBI or N2K was registered to conduct securities business in the State of Alabama.

Harris provided his investors with false financial profit statements that made it appear that he was making them money. He also misled investors as to his educational background and trading expertise. In reality, Harris was using the funds derived from new investors to pay dividends to earlier investors. By March 2003, Harris had approximately 1,767 investors and had amassed funds amounting to nearly $4.7 million.

The law judge found that by Harris raising at least $4.7 million from approximately 1,767 investors by fraudulent means over at least a ten-month period was egregious and recurrent. She also found that Harris has shown no remorse, nor has he made any of the restitution ordered by the court. (Rel. IA-3401; File No. 3-14610)

Attorney, Wall Street Trader, and Middleman Settle SEC Charges in $32 Million Insider Trading Case

The Securities and Exchange Commission today announced a settlement in a $32 million insider trading case filed by the agency last year against a corporate attorney and a Wall Street trader.

The SEC alleged that the insider trading occurred in advance of at least 11 merger and acquisition announcements involving clients of the law firm where the attorney – Matthew H. Kluger – worked. He and the trader – Garrett D. Bauer – were linked through a mutual friend now identified as Kenneth T. Robinson, who acted as a middleman to facilitate the illegal tips and trades. Kluger and Bauer used public telephones and prepaid disposable mobile phones to communicate with Robinson in an effort to avoid detection. Robinson, now also charged, cooperated in the SEC’s investigation.

Bauer, Kluger, and Robinson each agreed to give up their ill-gotten gains plus interest in order to settle the SEC’s charges. Those amounts under the terms of their consent agreements are approximately $31.6 million for Bauer, $516,000 for Kluger, and $845,000 for Robinson.

In parallel criminal actions brought by the U.S. Attorney’s Office for the District of New Jersey, Bauer, Kluger, and Robinson have all pled guilty and are scheduled to be sentenced on June 4, 2012.

Acknowledging the facts to which they have admitted as part of their guilty pleas, Bauer, Robinson, and Kluger consented to final judgments in the SEC’s civil actions that are subject to court approval. In the proposed final judgments, Bauer would be ordered to disgorge $30,812,796 plus prejudgment interest of $859,135; Kluger would be ordered to disgorge $502,500 plus prejudgment interest of $14,010; and Robinson would be ordered to disgorge $829,129 plus prejudgment interest of $16,106. They also would be permanently enjoined from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. Each of the orders of disgorgement will be deemed partially satisfied and offset on a dollar-for-dollar basis by assets seized at the direction of the U.S. Attorney’s Office for the District of New Jersey based upon orders of forfeiture.

Bauer also has agreed to settle a related SEC administrative proceeding by consenting to the entry of an order that would bar him 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. Kluger agreed to settle a related administrative proceeding by consenting to the entry of an order which would permanently suspend him from appearing or practicing before the SEC as an attorney pursuant to Commission Rule of Practice 102(e).

The terms of the proposed settlement with Robinson reflect credit given to him by the SEC for his substantial assistance and cooperation in the investigation.

The SEC’s investigation was conducted by Colleen K. Lynch, David W. Snyder and John S. Rymas, members of the Market Abuse Unit in the Philadelphia Regional Office, under the supervision of Daniel M. Hawke, Chief of the Market Abuse Unit and Regional Director, and Elaine C. Greenberg, Associate Regional Director for Enforcement in the Philadelphia Regional Office. G. Jeffrey Boujoukos and Scott A. Thompson have been handling the litigation. [SEC v. Matthew H. Kluger and Garrett D. Bauer, Case No. 11-cv-1936 (D.N.J.) (KSH-PS); SEC v. Kenneth T. Robinson, Case No. 12-cv-2438 (D.N.J.) (KSH-PS)] (LR-22345)

Investment company act releases

Praxis Mutual Funds

Everence Community Investments, Inc.

A notice has been issued giving interested persons until May 18, 2012, to request a hearing on an application filed by Praxis Mutual Funds (Trust) and Everence Community Investments, Inc. (ECI) for an order to amend a prior order under: (i) Sections 6(c) and 17(b) of the Investment Company Act of 1940 (Act) granting an exemption from Section 17(a) of the Act and (ii) Section 17(d) of the Act and Rule 17d-1 under the Act. The amended order would permit the Trust to continue to invest in securities issued by ECI following the implementation of certain changes in ECI’s community development investment program. (Rel. IC-30042 - April 23)

GPS Funds I, et al.

A notice has been issued giving interested persons until May 21, 2012, to request a hearing on an application filed by GPS Funds I, GPS Funds II and Genworth Financial Wealth Management, Inc. for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30044- April 23)

Northern Trust Investments, Inc., et al.

A notice has been issued giving interested persons until May 21, 2012, to request a hearing on an application filed by Northern Trust Investments, Inc., et al., for an order to permit: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Shares in-kind in a master-feeder structure. (Rel. IC-30045 - April 23)

Sunwest Rollover Member LLC

An order has been issued on an application filed by Sunwest Rollover Member LLC (Sunwest). The order under Sections 6(c) and 6(e) of the Investment Company Act of 1940 (Act) exempts Sunwest from certain provisions of the Act and the rules thereunder until the earlier of August 5, 2015 or such time as it no longer meets the definition of an investment company under the Act. (Rel. IC-30046 - April 23)

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-1     GENSPERA INC, 2511 N LOOP 1604 W, SUITE 204, SAN ANTONIO, TX, 78258, 
        (210) 479-8112 - 0 ($24,250,000.00) Equity, (File 333-180893 - Apr. 24) 
        (BR. 01A)

        HONG KONG, F4, 00000, (852) 2540 1686 - 0 ($66,349,844.16) Equity, 
        (File 333-180895 - Apr. 24) (BR. 05C)

        415-848-4800 - 0 ($454,834,383.44) Equity, (File 333-180896 - Apr. 24) 
        (BR. 03B)

        AZ, 85004, 602 250 1000 - 0 ($0.00) Other, (File 333-180897 - Apr. 24) 
        (BR. 02B)

S-8     GlyEco, Inc., 4802 EAST RAY ROAD, SUITE 23-196, PHOENIX, AZ, 85044, 
        866-960-1539 - 3,500,000 ($5,425,000.00) Equity, (File 333-180898 - 
        Apr. 24) (BR. 06B)

        NY, 10104, 2125541234 - 3,724,328,694 ($2,000,000,000.00) Equity, 
        (File 333-180899 - Apr. 24) (BR. 01A)

S-8     First American Silver Corp., 10597 DOUBLE R BLVD., SUITE 2, RENO, NV, 
        89521, 775-323-3278 - 2,500,000 ($300,000.00) Equity, 
        (File 333-180900 - Apr. 24) (BR. 08B)

        4107825015 - 0 ($42,549,998.00) Equity, (File 333-180902 - Apr. 24) 
        (BR. 07B)

        18503, 5703467741X316 - 0 ($4,000,000.00) Other, (File 333-180903 - 
        Apr. 24) (BR. 07B)

        BALTIMORE, MD, 21289-0320, 4103452000 - 0 ($520,524,267.00) Equity, 
        (File 333-180904 - Apr. 24) (BR. 12)

        2245218204 - 0 ($0.00) Debt, (File 333-180905 - Apr. 24) (BR. 10A)

S-1     LNB BANCORP INC, 457 BROADWAY, LORAIN, OH, 44052-1769, 440-244-6000 - 
        0 ($25,223,000.00) Equity, (File 333-180906 - Apr. 24) (BR. 07B)

        HOUSTON, TX, 77002, 713-751-7516 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-180907 - Apr. 24) 
        (BR. 09A)

        NV, 89169, 7027927200 - 
        0 ($750,000,000.00) Unallocated (Universal) Shelf, (File 333-180908 - 
        Apr. 24) (BR. 08B)

S-4     WPX ENERGY, INC., ONE WILLIAMS CENTER, TULSA, OK, 74172, 918-573-2000 - 
        0 ($1,500,000,000.00) Debt, (File 333-180909 - Apr. 24) (BR. 04B)

S-4     AMC Networks Inc., 11 PENN PLAZA, NEW YORK, NY, 10001, (212) 324-8500 - 
        0 ($700,000,000.00) Debt, (File 333-180910 - Apr. 24) (BR. 11C)

        40602, 5022271668 - 253,992 ($34,499,999.00) Other, (File 333-180911 - 
        Apr. 24) (BR. 07C)

Recent 8K Filings

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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


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


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


Cost Associated with Exit or Disposal Activities


Material Impairments


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


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


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


Changes in Control of Registrant


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


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


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


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


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT


3M CO                                   DE       2.02,9.01            04/24/12

AARON'S INC                             GA       5.02,9.01            04/18/12

AbitibiBowater Inc.                     DE       8.01,9.01            04/24/12

ACCELR8 TECHNOLOGY CORP                 CO       1.01,3.02,5.02,9.01  04/20/12

ACCESS NATIONAL CORP                    VA       2.02,7.01,9.01       04/24/12

ACCO BRANDS CORP                        DE       5.02,5.07,7.01,9.01  04/23/12

ACCURIDE CORP                           DE       2.02,7.01,9.01       04/24/12

ACE Ltd                                 V8       2.02,9.01            04/24/12

ACTIVE POWER INC                        DE       2.02,9.01            04/24/12

ADDVANTAGE TECHNOLOGIES GROUP INC       OK       2.02,7.01,9.01       04/24/12

ADMA BIOLOGICS, INC.                    DE       1.01,2.01,3.02,4.01, 02/13/12    AMEND
Advance America, Cash Advance Centers   DE       1.02,2.01,3.01,3.03, 04/23/12
AF OCEAN INVESTMENT MANAGEMENT Co       FL       8.01,9.01            04/24/12

AFLAC INC                               GA       2.02,9.01            04/24/12

AIR PRODUCTS & CHEMICALS INC /DE/       DE       2.02,9.01            04/24/12

AK STEEL HOLDING CORP                   DE       2.02,9.01            04/24/12

AK STEEL HOLDING CORP                   DE       7.01,9.01            04/24/12

AK STEEL HOLDING CORP                   DE       7.01,9.01            04/24/12

ALEXANDRIA REAL ESTATE EQUITIES INC     MD       5.02,9.01            04/20/12

ALEXION PHARMACEUTICALS INC             DE       2.02,9.01            04/24/12

Alliance Bancorp, Inc. of Pennsylvani   PA       7.01,9.01            04/24/12

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            04/24/12

ALTAIR NANOTECHNOLOGIES INC             Z4       1.01,5.02            04/18/12

AMARILLO BIOSCIENCES INC                TX       8.01                 04/24/12

AMERIGAS PARTNERS LP                    DE       1.01,9.01            04/18/12

AMERITRANS CAPITAL CORP                 DE       8.01                 04/20/12

AMGEN INC                               DE       2.02,9.01            04/24/12

Amincor, Inc.                           NV       5.02                 04/24/12

AMSURG CORP                             TN       2.02,7.01,8.01,9.01  03/31/12

ANAREN  INC                             NY       2.02,9.01            04/24/12

ANIXTER INTERNATIONAL INC               DE       2.02,9.01            04/24/12

APEX 3, INC.                            DE       5.01,5.02            04/18/12

APOLLO GROUP INC                        AZ       8.01                 04/20/12

APPLE INC                               CA       2.02,9.01            04/24/12

ARCH COAL INC                           DE       1.04                 04/18/12

Ardea Biosciences, Inc./DE              DE       1.01,8.01,9.01       04/21/12

Arista Power, Inc.                      NY       1.01,8.01,9.01       04/20/12

ARKANSAS BEST CORP /DE/                 DE       8.01,9.01            04/24/12

ASHLAND INC.                            KY       2.02,9.01            04/24/12

ASHLAND INC.                            KY       7.01,9.01            04/24/12

ASIAINFO-LINKAGE, INC                   DE       5.07,9.01            04/20/12

Aspect FuturesAccess LLC                DE       5.02                 04/18/12

ASTEC INDUSTRIES INC                    TN       2.02,9.01            04/24/12

AT&T INC.                               DE       2.02,9.01            04/24/12

AT&T INC.                               DE       8.01,9.01            04/24/12

Atkore International Holdings Inc.      DE       5.02                 04/24/12

AUTOZONE INC                            NV       2.03,9.01            04/24/12

Bacterin International Holdings, Inc.   DE       1.01,2.03,7.01,9.01  04/23/12

Bacterin International Holdings, Inc.   DE       7.01,9.01            04/24/12

BAKER HUGHES INC                        DE       2.02,7.01,9.01       04/24/12

Bancorp, Inc.                                    2.02,9.01            04/24/12

BANCORPSOUTH INC                        MS       2.02,7.01,9.01       04/23/12

BANK OF THE JAMES FINANCIAL GROUP INC   VA       2.02,9.01            04/23/12

BANNER CORP                             WA       2.02,9.01            04/23/12

BAR HARBOR BANKSHARES                   ME       8.01                 04/24/12

BARD C R INC /NJ/                       NJ       2.02,9.01            04/24/12

BBCN BANCORP INC                        DE       2.02,9.01            04/23/12

Bella Petrellas Holdings, Inc.          FL       5.02                 04/19/12

BIGLARI HOLDINGS INC.                   IN       5.02,5.07            04/18/12

Bio-Carbon Solutions International In   NV       1.01,2.01,9.01       04/23/12

Biodel Inc                                       7.01,9.01            04/23/12

BIOGERON, INC.                          NV       5.02                 04/23/12

Biostar Pharmaceuticals, Inc.           MD       1.01,5.02,9.01       04/20/12

BIOZONE PHARMACEUTICALS, INC.           NV       3.02,9.01            04/18/12

BLUE CALYPSO, INC.                      NV       1.01,2.03,3.02,9.01  04/19/12

Blueknight Energy Partners, L.P.        DE       7.01,9.01            04/24/12

BOK FINANCIAL CORP ET AL                OK       2.02,9.01            04/24/12

BOYD GAMING CORP                        NV       2.02,9.01            04/24/12

BRANTLEY CAPITAL CORP                   MD       8.01,9.01            04/24/12

Brekford Corp.                          DE       5.02                 04/23/12

BRITTON & KOONTZ CAPITAL CORP           MS       2.02,9.01            04/23/12

BRITTON & KOONTZ CAPITAL CORP           MS       8.01                 04/24/12

BRUKER CORP                             DE       2.02,9.01            04/24/12

BUFFALO WILD WINGS INC                  MN       2.02,9.01            04/24/12

C H ROBINSON WORLDWIDE INC              DE       2.02,9.01            04/24/12

CAMDEN NATIONAL CORP                    ME       1.01,7.01,9.01       04/23/12

CAMDEN NATIONAL CORP                    ME       2.02,9.01            04/24/12

Campus Crest Communities, Inc.          MD       5.07                 04/23/12

CAPELLA EDUCATION CO                             2.02,9.01            04/24/12

CarePayment Technologies, Inc.          OR       5.02                 04/18/12

CARLISLE COMPANIES INC                  DE       2.02,9.01            04/24/12

CATALYST HEALTH SOLUTIONS, INC.         DE       8.01,9.01            04/23/12

CBRE GROUP, INC.                        DE       2.02,9.01            04/24/12

CCFNB BANCORP INC                       PA       2.02,9.01            04/24/12

Celanese CORP                           DE       2.02,7.01,9.01       04/24/12

CELL THERAPEUTICS INC                   WA       1.01,3.02,7.01,9.01  04/18/12

CENTENE CORP                                     2.02,9.01            04/24/12

CENTER BANCORP INC                      NJ       8.01,9.01            04/19/12

CENTRAL EUROPEAN DISTRIBUTION CORP      DE       1.01,2.03,3.02,3.03, 04/23/12
CENTURY ALUMINUM CO                     DE       2.02,9.01            04/24/12

Centurytouch Ltd                        DE       5.03,9.01            04/21/12

CERADYNE INC                            DE       2.02,9.01            03/31/12

CH ENERGY GROUP INC                     NY       5.07                 04/24/12

CH ENERGY GROUP INC                     NY       8.01,9.01            04/24/12

CH2M HILL COMPANIES LTD                 DE       1.01,2.03            04/19/12

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            04/24/12

CHICAGO BRIDGE & IRON CO N V                     2.02,9.01            04/24/12

China Armco Metals, Inc.                NV       8.01                 04/19/12

CHRISTOPHER & BANKS CORP                DE       5.02,9.01            04/13/12    AMEND

CHROMCRAFT REVINGTON INC                DE       2.02,8.01,9.01       04/20/12

Cinedigm Digital Cinema Corp.           DE       1.01,3.02,5.02,9.01  04/19/12

CIRRUS LOGIC INC                        DE       5.02                 04/23/12

CIT GROUP INC                           DE       2.02,9.01            04/24/12

CITIZENS FINANCIAL SERVICES INC         PA       2.02,9.01            04/24/12

CITIZENS SOUTH BANKING CORP             DE       2.02,9.01            04/23/12

Claridge Ventures, Inc.                 NV       8.01,9.01            04/05/12

CME GROUP INC.                          DE       5.02,9.01            04/18/12

CMS ENERGY CORP                         MI       1.01,9.01            04/18/12

CNO Financial Group, Inc.               DE       7.01,9.01            04/24/12

COACH INC                               MD       2.02,9.01            04/24/12

Colfax CORP                             DE       8.01,9.01            04/24/12

COMERICA INC /NEW/                      DE       7.01,9.01            04/24/12

COMERICA INC /NEW/                      DE       7.01,8.01,9.01       04/24/12

COMMUNITY TRUST BANCORP INC /KY/        KY       7.01,9.01            03/31/12

COMMUNITY WEST BANCSHARES /             CA       1.01,9.01            04/23/12

CONSUMERS BANCORP INC /OH/              OH       2.02,9.01            04/24/12

CorMedix Inc.                           DE       3.01,9.01            04/20/12

Cornerstone OnDemand Inc                DE       5.02,9.01            04/18/12

CORNING NATURAL GAS CORP                NY       8.01,9.01            04/20/12

Counsel RB Capital Inc.                 FL       9.01                 04/23/12    AMEND

CRANE CO /DE/                           DE       2.02,5.07,8.01,9.01  04/23/12

CROSS BORDER RESOURCES, INC.            NV       1.01,5.02,5.07,8.01, 04/20/12
CSB BANCORP INC /OH                     OH       2.02,9.01            04/24/12

CYBEX INTERNATIONAL INC                 NY       2.02,9.01            04/24/12

CYMER INC                               NV       2.02,9.01            04/24/12

CYTEC INDUSTRIES INC/DE/                DE       5.07                 04/20/12

DATARAM CORP                            NJ       9.01                 04/02/12    AMEND

DAYSTAR TECHNOLOGIES INC                DE       8.01                 04/23/12

DDI CORP                                CA       2.02,8.01,9.01       04/24/12

DELCATH SYSTEMS INC                     DE       1.01,2.03            04/20/12

Delphi Automotive PLC                   Y9       2.02,9.01            04/24/12

Disability Access Corp                           8.01,9.01            04/23/12

Discover Financial Services             DE       8.01,9.01            04/23/12

Diversified Resources Inc.              NV       1.01,9.01            04/16/12

Duff & Phelps Corp                      DE       2.02,9.01            04/24/12

DYAX CORP                               DE       2.02,9.01            04/24/12

EAGLE BANCORP INC                       MD       2.02,9.01            04/24/12

Eagle Bancorp Montana, Inc.                      2.02,9.01            04/24/12

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01,8.01,9.01       04/24/12

Edwards Lifesciences Corp               DE       2.02,9.01            04/24/12

EMC INSURANCE GROUP INC                 IA       7.01,9.01            04/23/12

ENCISION INC                            CO       5.02                 04/18/12

ENNIS, INC.                             TX       2.02,9.01            04/23/12

EnteroMedics Inc                                 2.02,9.01            04/24/12

ENTROPIC COMMUNICATIONS INC             DE       2.02,9.01            04/24/12

ETHAN ALLEN INTERIORS INC               DE       2.02,9.01            04/23/12

Eureka Financial Corp.                           2.02,9.01            04/20/12

F&M BANK CORP                           VA       2.02,9.01            04/24/12

Federal Home Loan Bank of Atlanta       X1       2.03                 04/24/12

Federal Home Loan Bank of Boston        X1       2.03                 04/18/12

Federal Home Loan Bank of Chicago       X1       2.02,9.01            04/24/12

Federal Home Loan Bank of Chicago       X1       2.03                 04/18/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            04/18/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            04/20/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            04/24/12

Federal Home Loan Bank of New York      X1       2.03,9.01            04/18/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            04/18/12

Federal Home Loan Bank of San Francis   X1       2.03                 04/18/12

Federal Home Loan Bank of Seattle                2.03                 04/18/12

Federal Home Loan Bank of Topeka                 2.03,9.01            04/18/12

FEDERAL MOGUL CORP                      DE       2.02,7.01,9.01       04/24/12

Fifth Street Finance Corp               DE       8.01,9.01            04/24/12

FIFTH THIRD BANCORP                     OH       7.01,9.01            04/19/12    AMEND

FIRST BUSEY CORP /NV/                   NV       2.02,9.01            04/24/12

FIRST CAPITAL INC                       IN       2.02,9.01            04/19/12

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       2.02,7.01,9.01       04/24/12

First Connecticut Bancorp, Inc.         MD       8.01,9.01            04/24/12

FIRST FINANCIAL BANKSHARES INC          TX       2.02,9.01            04/23/12

FIRST FINANCIAL CORP /IN/               IN       5.07                 04/18/12

FIRST INTERSTATE BANCSYSTEM INC         MT       2.02,9.01            04/23/12

FIRSTBANK CORP                          MI       2.02,9.01            04/23/12

FIRSTBANK CORP                          MI       8.01,9.01            04/23/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            04/23/12

FIRSTMERIT CORP /OH/                    OH       2.02,9.01            04/24/12

Forex International Trading Corp.       NV       5.02                 04/23/12

FORMFACTOR INC                          DE       5.07                 04/18/12

FORTINET INC                                     2.02,9.01            04/24/12

FRANKLIN FINANCIAL SERVICES CORP /PA/   PA       2.02,9.01            04/24/12

FRANKLIN FINANCIAL SERVICES CORP /PA/   PA       7.01,9.01            04/24/12

FREDERICK'S OF HOLLYWOOD GROUP INC /N   NY       1.01,2.03,9.01       04/20/12

Game Plan Holdings, Inc.                NV       1.01,3.02,9.01       02/24/12

Gas Natural Inc.                        OH       8.01,9.01            04/18/12

GBS Enterprises Inc                     NV       2.02,9.01            04/19/12

GENTA INC DE/                           DE       5.02,9.01            04/24/12

Global Growth Trust, Inc.               MD       1.01                 04/20/12

GLOBALSCAPE INC                         DE       7.01                 04/24/12

GOLDFIELD CORP                          DE       1.01,2.03,9.01       04/17/12

GOODYEAR TIRE & RUBBER CO /OH/          OH       2.03,9.01            04/19/12

GRANDPARENTS.COM, INC.                  DE       1.01,2.01,2.03,3.03, 02/22/12    AMEND
GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            04/20/12

Greektown Superholdings, Inc.           DE       2.02,9.01            04/24/12

GREENE COUNTY BANCORP INC               DE       8.01,9.01            04/20/12

GRYPHON GOLD CORP                       NV       1.01,2.03,3.02,9.01  04/18/12

Guanwei Recycling Corp.                 NV       3.01                 01/31/12    AMEND

HALF ROBERT INTERNATIONAL INC /DE/      DE       2.02,8.01,9.01       04/24/12

HANDENI GOLD INC.                       NV       8.01,9.01            04/23/12

HANDENI GOLD INC.                       NV       5.02                 04/24/12

HARMONIC INC                            DE       2.02,8.01,9.01       04/24/12

Hatteras Financial Corp                          2.02,9.01            04/24/12

HAWAIIAN HOLDINGS INC                   DE       2.02,9.01            04/24/12

HEALTH MANAGEMENT ASSOCIATES INC        DE       2.02,9.01            04/23/12

HEALTHWAYS, INC                         DE       2.02,9.01            04/24/12

HEIDRICK & STRUGGLES INTERNATIONAL IN   DE       2.02,9.01            04/24/12

HERSHEY CO                              DE       2.02,9.01            04/24/12

Highbridge Commodities FuturesAccess    DE       5.02                 04/18/12

HOMEAWAY INC                            DE       2.02,9.01            04/24/12

HUIHENG MEDICAL, INC.                   NV       4.02                 04/05/12

HUMAN GENOME SCIENCES INC               DE       2.02,9.01            04/24/12

HUNTINGTON BANCSHARES INC/MD            MD       5.02,5.07            04/19/12

HUTCHINSON TECHNOLOGY INC               MN       2.02,9.01            04/24/12

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            04/24/12

IDENIX PHARMACEUTICALS INC              DE       8.01,9.01            04/19/12

IDEX CORP /DE/                          DE       2.02,9.01            04/23/12

II-VI INC                               PA       2.02,9.01            04/24/12

ILLINOIS TOOL WORKS INC                 DE       2.02,9.01            04/24/12

IMATION CORP                            DE       2.02,9.01            04/24/12

Independence Resources PLC              X0       1.01,2.01,3.02,5.02, 04/18/12
INDEPENDENT BANK CORP /MI/              MI       7.01,9.01            04/24/12

INLAND REAL ESTATE CORP                 MD       5.02,9.01            04/18/12

INPHI Corp                              DE       2.02,9.01            04/24/12

INTERNATIONAL GAME TECHNOLOGY           NV       2.02,9.01            04/24/12

INTUITIVE SURGICAL INC                  DE       5.02,5.03,5.07,9.01  04/19/12

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       5.03,9.01            04/19/12

IPC The Hospitalist Company, Inc.       DE       2.02,9.01            04/24/12

IROBOT CORP                             DE       2.02,9.01            04/24/12

IRONWOOD PHARMACEUTICALS INC                     8.01,9.01            04/19/12

ISTA PHARMACEUTICALS INC                DE       8.01,9.01            04/23/12

JANUS CAPITAL GROUP INC                 DE       2.02,9.01            04/24/12

JEFFERIES GROUP INC /DE/                DE       1.01,9.01            04/19/12

JMG Exploration, Inc.                   NV       8.01,9.01            04/20/12    AMEND

JUNIPER NETWORKS INC                    DE       2.02,9.01            04/24/12

KANSAS CITY SOUTHERN                    DE       2.02,9.01            04/24/12

Kat Gold Holdings Corp.                 NV       1.01,2.01,3.02,5.02, 04/18/12

KELLOGG CO                              DE       2.02,7.01,9.01       04/24/12

LANDMARK BANCORP INC                    DE       2.02,8.01,9.01       04/24/12

Lantheus Medical Imaging, Inc.          DE       1.01                 04/19/12

LCA VISION INC                          DE       2.02,9.01            04/24/12

LEAP WIRELESS INTERNATIONAL INC         DE       5.02                 04/23/12

LENNOX INTERNATIONAL INC                DE       2.02,9.01            04/24/12

LEVI STRAUSS & CO                       DE       8.01,9.01            04/24/12

LEXMARK INTERNATIONAL INC /KY/          DE       2.02,9.01            04/24/12

LIBERTY PROPERTY TRUST                  MD       2.02,9.01            04/24/12

Life Technologies Corp                  DE       2.02,7.01,9.01       04/24/12

LIGHTCOLLAR, INC.                                8.01                 03/09/12

LIGHTPATH TECHNOLOGIES INC              DE       2.02,9.01            04/24/12

LINCOLN ELECTRIC HOLDINGS INC           OH       2.02,9.01            04/24/12

LNB BANCORP INC                         OH       7.01,9.01            04/24/12

Longhai Steel Inc.                      NV       5.02,9.01            04/24/12

LYRIS, INC.                                      1.01,2.03,9.01       04/18/12

MAGNUM HUNTER RESOURCES CORP            DE       1.01,7.01,9.01       04/18/12

MAINSOURCE FINANCIAL GROUP              IN       2.02,9.01            04/24/12

MAJESCO ENTERTAINMENT CO                DE       5.07,9.01            04/18/12

Man AHL FuturesAccess LLC               DE       5.02                 04/18/12

MANHATTAN ASSOCIATES INC                GA       2.02,9.01            04/24/12

MARKETAXESS HOLDINGS INC                         5.02,9.01            04/18/12

MARTIN MARIETTA MATERIALS INC           NC       8.01                 04/18/12

McEwen Mining Inc.                      CO       5.02                 04/18/12    AMEND

MCGRAW-HILL COMPANIES INC               NY       2.02,7.01,9.01       04/24/12

MEDASSETS INC                           DE       5.02,8.01            04/19/12

MEDICAL ACTION INDUSTRIES INC           DE       5.02,7.01,9.01       03/15/12

MEDICAL CONNECTIONS HOLDINGS, INC.      FL       5.02,9.01            04/20/12

MERCADOLIBRE INC                                 5.02                 04/23/12

MERCURY COMPUTER SYSTEMS INC            MA       2.02,9.01            04/24/12

MERIDIAN INTERSTATE BANCORP INC                  2.02,9.01            04/24/12

MERIT MEDICAL SYSTEMS INC               UT       2.02,9.01            04/24/12

Meritage Homes CORP                     MD       8.01,9.01            04/24/12

MERITOR INC                             IN       1.01,2.03,9.01       04/23/12

METALICO INC                                     8.01,9.01            04/24/12

METLIFE INC                             DE       5.02,9.01            04/24/12

Midas Medici Group Holdings, Inc.                2.02,9.01            04/18/12

MIDSOUTH BANCORP INC                    LA       2.02,8.01,9.01       04/24/12

MIDWEST HOLDING INC.                    NE       8.01,9.01            04/24/12

MidWestOne Financial Group, Inc.        IA       2.02,9.01            04/24/12

MILLER ENERGY RESOURCES, INC.           TN       9.01                 03/09/12    AMEND

MINT LEASING INC                        NV       2.02,7.01,9.01       04/24/12

ML BlueTrend FuturesAccess LLC          DE       5.02                 04/18/12

ML SELECT FUTURES I LP                  DE       5.02                 04/18/12

ML Transtrend DTP Enhanced FuturesAcc   DE       5.02                 04/18/12

ML TREND-FOLLOWING FUTURES FUND L.P.    DE       5.02                 04/18/12

ML Winton FuturesAccess LLC             DE       5.02                 04/18/12

MODINE MANUFACTURING CO                 WI       1.01,9.01            04/20/12

MOODYS CORP /DE/                        DE       1.01,2.03,9.01       04/18/12

MUELLER INDUSTRIES INC                  DE       2.02,9.01            04/24/12

MusclePharm Corp                        NV       5.05,8.01,9.01       04/17/12

NATIONAL BEVERAGE CORP                  DE       8.01,9.01            04/20/12

NATUS MEDICAL INC                       DE       1.01,9.01            04/20/12

NB&T FINANCIAL GROUP INC                OH       2.02,7.01,9.01       04/24/12

NBT BANCORP INC                         DE       2.02,9.01            04/23/12

NEDAK ETHANOL, LLC                      NE       5.02,9.01            04/24/12

NeuroMetrix, Inc.                       DE       2.02,9.01            04/24/12

NEWS CORP                                        8.01,9.01            04/24/12

NORFOLK SOUTHERN CORP                   VA       2.02,7.01,9.01       04/24/12

NORMAN CAY DEVELOPMENT, INC.            NV       5.02,9.01            04/19/12

NORTH CENTRAL BANCSHARES INC            IA       7.01,9.01            04/24/12

OAK RIDGE MICRO-ENERGY INC              CO       3.02                 04/18/12

ORIENTAL FINANCIAL GROUP INC            PR       2.02,9.01            04/23/12

Oritani Financial Corp                  DE       2.02,9.01            04/24/12

ORTHOFIX INTERNATIONAL N V                       1.01,9.01            04/23/12

OSAGE EXPLORATION & DEVELOPMENT INC     DE       1.01,2.03,3.02,9.01  04/17/12    AMEND

OSI SYSTEMS INC                         DE       2.02,9.01            04/24/12

OVERSTOCK.COM, INC                      DE       2.02,9.01            04/19/12

OWENS & MINOR INC/VA/                   VA       2.02,9.01            04/23/12

P F CHANGS CHINA BISTRO INC                      5.02,5.07,9.01       04/18/12

PACCAR INC                              DE       2.02,9.01            04/24/12

PACIFIC PREMIER BANCORP INC             DE       2.02,9.01            03/31/12

PANERA BREAD CO                         DE       2.02,7.01,9.01       04/24/12

PARK NATIONAL CORP /OH/                 OH       5.07                 04/23/12

PARKE BANCORP, INC.                     NJ       8.01,9.01            04/24/12

PARKER HANNIFIN CORP                    OH       2.02,7.01,9.01       04/24/12

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       2.02,9.01            04/24/12

PENSECO FINANCIAL SERVICES CORP         PA       8.01                 04/24/12

PENTAIR INC                             MN       2.02,8.01,9.01       04/24/12

PEOPLES BANCORP INC                     OH       2.02,9.01            04/24/12

PERVASIVE SOFTWARE INC                  DE       2.02,9.01            04/24/12

PHAZAR CORP                             DE       2.02,9.01            04/24/12

PHOTOMEDEX INC                          DE       1.01,8.01,9.01       04/23/12

PHOTOTRON HOLDINGS, INC.                DE       1.01                 02/27/12

PLAINS EXPLORATION & PRODUCTION CO      DE       9.01                 12/15/11    AMEND

PLAINSCAPITAL CORP                      TX       2.02,5.02            04/20/12

PMI GROUP INC                           DE       7.01,9.01            04/20/12

PNC FINANCIAL SERVICES GROUP, INC.      PA       2.02,3.03,5.03,8.01, 04/19/12
PORTFOLIO RECOVERY ASSOCIATES INC       DE       1.01,2.03            04/20/12

POTASH AMERICA, INC.                    NV       7.01,9.01            04/24/12

POWERSECURE INTERNATIONAL, INC.         DE       8.01,9.01            04/24/12

PRINCETON NATIONAL BANCORP INC          DE       5.02                 04/24/12

PRIVATEBANCORP, INC                     DE       2.02,9.01            04/24/12

PROVIDENT NEW YORK BANCORP              DE       2.02,9.01            04/23/12

PURE BIOSCIENCE, INC.                   DE       8.01                 04/18/12

QNB CORP                                PA       2.02,9.01            04/24/12

QUESTAR CORP                            UT       2.02,9.01            04/24/12

RADIOSHACK CORP                         DE       2.02,9.01            03/31/12

RADISYS CORP                            OR       2.02,5.02,9.01       04/23/12

RAYMOND JAMES FINANCIAL INC             FL       7.01,9.01            04/24/12

RAYONIER INC                            NC       2.02,9.01            04/24/12

RED MOUNTAIN RESOURCES, INC.            FL       8.01,9.01            04/23/12

REGIONS FINANCIAL CORP                  DE       2.02,7.01,9.01       04/24/12

RENT A CENTER INC DE                             2.02,9.01            04/23/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       7.01,9.01            04/24/12

REYNOLDS AMERICAN INC                            2.02,9.01            04/24/12

RF MICRO DEVICES INC                    NC       2.02,9.01            04/24/12

ROCHESTER MEDICAL CORPORATION           MN       2.02,9.01            04/24/12

ROPER INDUSTRIES INC                    DE       5.03                 04/24/12

Roundy's, Inc.                          DE       7.01,8.01,9.01       04/24/12

RT Technologies, Inc.                   NV       9.01                 03/31/12

RUSH ENTERPRISES INC \TX\               TX       2.02,9.01            04/24/12

RYDER SYSTEM INC                        FL       2.02,9.01            04/24/12

S&T BANCORP INC                         PA       8.01,9.01            04/23/12

SALIX PHARMACEUTICALS LTD                        8.01,9.01            04/23/12

SANDRIDGE ENERGY INC                    DE       1.01,2.01,9.01       04/23/12

SandRidge Mississippian Trust II        DE       1.01,3.02,5.03,9.01  04/23/12

Santa Fe Gold CORP                      DE       5.02,9.01            04/23/12

SANUWAVE Health, Inc.                   NV       5.02                 04/23/12

SAVANNAH BANCORP INC                    GA       2.02                 04/24/12

SeaBright Holdings, Inc.                DE       2.02,9.01            04/24/12

SEALED AIR CORP/DE                      DE       5.02                 04/24/12

SEALY CORP                              DE       5.07                 04/18/12

SEARCH BY HEADLINES.COM CORP.           NV       2.03                 04/20/12

SELECT COMFORT CORP                     MN       1.01,2.03,7.01,9.01  04/23/12

SERACARE LIFE SCIENCES INC                       2.01,3.01,3.03,5.01, 04/18/12
Shengtai Pharmaceutical, Inc.                    8.01,9.01            04/24/12

SHERWIN WILLIAMS CO                     OH       5.02,5.07,9.01       04/18/12

Shire plc                                        8.01,9.01            04/24/12

Sibling Entertainment Group Holdings,   TX       4.01                 03/24/12

SIGMA ALDRICH CORP                      DE       2.02,7.01,9.01       04/24/12

SITEL Worldwide Corp                    DE       4.01                 04/20/12

SOCKET MOBILE, INC.                     DE       2.02,9.01            04/24/12

SOUTHERN FIRST BANCSHARES INC           SC       2.02,9.01            04/24/12

SOUTHWEST GEORGIA FINANCIAL CORP        GA       2.02,9.01            03/31/12

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       9.01                 04/18/12

Spartan Gold Ltd.                                5.02                 04/16/12

Spirit AeroSystems Holdings, Inc.       DE       1.01,1.02,2.03,9.01  04/18/12

SPLUNK INC                              DE       5.02,9.01            04/21/12

SS&C Technologies Holdings Inc          DE       8.01,9.01            04/24/12

STANLEY FURNITURE CO INC.               DE       5.07                 04/18/12

Stream Global Services, Inc.            DE       2.02,9.01            04/24/12

SUNPEAKS VENTURES, INC.                          1.01,9.01            04/19/12

Super Micro Computer, Inc.              CA       2.02,5.02,9.01       04/23/12

Sweetwater Resources, Inc.              NV       7.01,8.01,9.01       04/24/12

SYMANTEC CORP                           DE       2.02,9.01            04/24/12

SYNOVUS FINANCIAL CORP                  GA       2.02,7.01,9.01       04/24/12

Synthetic Biologics, Inc.               NV       7.01,9.01            04/24/12

Systematic Momentum FuturesAccess LLC   DE       5.02                 04/18/12

Talon Therapeutics, Inc.                DE       5.02                 04/20/12

TANGER FACTORY OUTLET CENTERS INC       NC       2.02,7.01,9.01       04/24/12

TELESTONE TECHNOLOGIES CORP             CO       2.02,7.01,9.01       03/30/12    AMEND

TIMKEN CO                               OH       2.02,9.01            04/24/12

Titan Machinery Inc.                    DE       1.01,2.03,3.02,8.01, 04/18/12
TOPSPIN MEDICAL INC                     DE       5.02                 04/24/12    AMEND

TOPSPIN MEDICAL INC                     DE       1.01,2.01,5.01,5.06, 04/24/12    AMEND
TORCHMARK CORP                          DE       2.02,5.02,5.03,9.01  04/20/12

TOTAL SYSTEM SERVICES INC               GA       2.02,7.01,9.01       04/24/12

TOWN SPORTS INTERNATIONAL HOLDINGS IN   DE       2.02,9.01            04/24/12

TransDigm Group INC                     DE       5.02,9.01            04/19/12

TRUSTMARK CORP                          MS       2.02,9.01            04/24/12

TWIN DISC INC                           WI       2.02,7.01,9.01       04/24/12

UGI CORP /PA/                           PA       1.01                 04/18/12

UMB FINANCIAL CORP                      MO       2.02,9.01            04/24/12

UMB FINANCIAL CORP                      MO       8.01,9.01            04/24/12

Uni-Pixel                               DE       8.01,9.01            04/24/12

UNIFI INC                               NY       1.01,8.01,9.01       04/24/12

UNISYS CORP                             DE       2.02,9.01            04/24/12

UNITED BANCORP INC /OH/                 OH       2.02,9.01            04/23/12

UNITED STATES STEEL CORP                DE       2.02,9.01            04/24/12

UNITED TECHNOLOGIES CORP /DE/           DE       2.02,9.01            04/24/12

UNITIL CORP                             NH       5.02,5.07,9.01       04/19/12

UNIVERSAL HEALTH REALTY INCOME TRUST    MD       2.02,9.01            04/24/12

USA TECHNOLOGIES INC                    PA       8.01,9.01            04/24/12

USA TECHNOLOGIES INC                    PA       8.01,9.01            04/24/12

USANA HEALTH SCIENCES INC               UT       2.02,9.01            04/24/12

VALCOM, INC                             DE       7.01,9.01            04/23/12

VANGUARD HEALTH SYSTEMS INC             DE       7.01                 04/24/12

VASCULAR SOLUTIONS INC                  MN       2.02,9.01            04/24/12

VelaTel Global Communications, Inc.     NV       1.01,8.01,9.01       04/22/12

VICOR CORP                              DE       2.02,9.01            04/24/12

VIROPHARMA INC                          DE       8.01                 04/23/12

VOLTERRA SEMICONDUCTOR CORP                      5.07                 04/20/12

WATERS CORP /DE/                        DE       2.02,9.01            04/24/12

WATTS WATER TECHNOLOGIES INC            DE       2.02,9.01            04/23/12

WAUSAU PAPER CORP.                      WI       5.07                 04/19/12

Weatherford International Ltd./Switze   V8       2.02,7.01,9.01       04/23/12

WEBSENSE INC                            DE       2.02,5.02,8.01,9.01  04/18/12

WEBSTER FINANCIAL CORP                  DE       8.01,9.01            04/23/12

WELLS FARGO & COMPANY/MN                DE       9.01                 04/24/12

WESBANCO INC                            WV       5.07                 04/24/12

Western Union CO                        DE       2.02,7.01,9.01       04/24/12

WESTINGHOUSE AIR BRAKE TECHNOLOGIES C   DE       2.02,7.01,9.01       04/24/12

WILEY JOHN & SONS, INC.                 NY       8.01                 04/24/12

WMI HOLDINGS CORP.                      WA       8.01,9.01            04/17/12

WMI HOLDINGS CORP.                      WA       4.01,9.01            04/20/12    AMEND

WORLD HEART CORP                        DE       5.02                 04/18/12

WSB Holdings Inc                        DE       2.02,9.01            04/23/12

WVS FINANCIAL CORP                      PA       8.01,9.01            04/24/12

XcelMobility Inc.                       NV       1.01,5.02,7.01,9.01  04/18/12

XENOPORT INC                            DE       1.02                 04/23/12

ZIX CORP                                TX       2.02,9.01            04/24/12



Modified: 04/25/2012