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)
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:
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)
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)
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) F-3ASR Seaspan CORP, UNIT 2, 7TH FLOOR, BUPA CENTRE, 141 CONNAUGHT ROAD WEST, HONG KONG, F4, 00000, (852) 2540 1686 - 0 ($66,349,844.16) Equity, (File 333-180895 - Apr. 24) (BR. 05C) S-8 SPLUNK INC, 250 BRANNAN STREET, SAN FRANCISCO, CA, 94107, 415-848-4800 - 0 ($454,834,383.44) Equity, (File 333-180896 - Apr. 24) (BR. 03B) S-3ASR PINNACLE WEST CAPITAL CORP, 400 NORTH FIFTH STREET, MS8695, PHOENIX, 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) S-3 AXA EQUITABLE LIFE INSURANCE CO, 1290 AVENUE OF THE AMERICAS, NEW YORK, 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) S-3 FIRST DEFIANCE FINANCIAL CORP, 601 CLINTON ST, DEFIANCE, OH, 43512, 4107825015 - 0 ($42,549,998.00) Equity, (File 333-180902 - Apr. 24) (BR. 07B) S-3D PENSECO FINANCIAL SERVICES CORP, 150 N WASHINGTON AVENUE, SCRANTON, PA, 18503, 5703467741X316 - 0 ($4,000,000.00) Other, (File 333-180903 - Apr. 24) (BR. 07B) S-8 PRICE T ROWE GROUP INC, 100 EAST PRATT STREET, P.O. BOX 89000, BALTIMORE, MD, 21289-0320, 4103452000 - 0 ($520,524,267.00) Equity, (File 333-180904 - Apr. 24) (BR. 12) S-3ASR ANIXTER INTERNATIONAL INC, 2301 PATRIOT BLVD, GLENVIEW, IL, 60026, 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) S-3ASR NATURAL RESOURCE PARTNERS LP, 601 JEFFERSON STREET, SUITE 3600, HOUSTON, TX, 77002, 713-751-7516 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-180907 - Apr. 24) (BR. 09A) S-3 BOYD GAMING CORP, 3883 HOWARD HUGHES PARKWAY, NINTH FLOOR, LAS VEGAS, 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) S-1 FARMERS CAPITAL BANK CORP, PO BOX 309, 202 W MAIN ST, FRANKFORT, KY, 40602, 5022271668 - 253,992 ($34,499,999.00) Other, (File 333-180911 - Apr. 24) (BR. 07C)
Form 8-K is used by companies to file current reports on the following events:
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 ----------------------------------------------------------------------------------------- 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 5.01,5.02,5.03,5.06, 9.01 Advance America, Cash Advance Centers DE 1.02,2.01,3.01,3.03, 04/23/12 5.01,5.02,5.03,8.01, 9.01 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 5.02,9.01 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 9.01 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 4.01,5.02,5.03,5.06, 9.01 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 9.01 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 5.03,8.01,9.01 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 9.01 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 5.02,5.03,5.07,9.01 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 9.01 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 9.01 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