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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-84
May 1, 2012

Commission Announcements

Report on Administrative Proceedings

The Report on Administrative Proceedings for the Period October 1, 2011 through March 31, 2012 has been issued, giving summary statistical information on the Commission's administrative proceedings caseload. The report is published in the SEC Docket and appears on the Commission's website. (Rel. 34-66885)

Enforcement Proceedings

Commission Revokes Registration of Securities of TMST, Inc. For Failure to Make Required Filings

On May 1, 2012, the Commission revoked the registration of each class of registered securities of TMST, Inc. (TMST) of Santa Fe, New Mexico for failure to make required filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, TMST consented to the entry of an Order Instituting Administrative Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities as to TMST 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 TMST’s securities pursuant to Section 12(j) of the Exchange Act.

The Commission cautions broker dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.

Further, 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 . . . .

(Rel. 34-66886; File No. 3-14861)

In the Matter of Miguel A. Ferrer and Carlos J. Ortiz

The United States Securities and Exchange Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 (Order). In the Order, the Division of Enforcement (Division) alleges that during 2008 and 2009, Ferrer and Ortiz made fraudulent statements and omissions in connection with the offer, purchase and sale of 23 non-exchange-traded closed-end funds (CEFs) in Puerto Rico. The Division alleges that in 2008 and 2009, although they were well aware of significantly declining investor demand, Ferrer and Ortiz misrepresented that a competitive and liquid CEF secondary market existed, while concealing from investors that UBS Financial Services Inc. of Puerto Rico (UBS PR) was propping up CEF market prices. During this time, the Division further alleges that Ferrer and Ortiz also made these misrepresentations and omissions involving the sale of new primary market CEFs to customers.

Starting in March 2009, the Division also alleges that after UBS PR’s parent firm directed UBS PR to substantially reduce its growing inventory citing a significant financial risk, UBS PR and Ortiz executed a scheme to dump UBS PR’s proprietary CEF shares by soliciting investors and undercutting sell orders from UBS PR’s own customers trying to exit the market, which also resulted in significant market value losses for existing CEF customers. During this period, Ferrer also repeatedly made misleading statements about CEF liquidity and market prices and assured that CEFs would always trade at high premiums to net asset value, even while UBS PR was substantially reducing its inventory, and according to Ferrer, causing “huge losses” to investors.

A hearing will be scheduled before an administrative law judge to determine whether the allegations in the Order are true, to provide Ferrer and Ortiz with an opportunity to respond to these allegations, and to determine what, if any, sanctions or remedial action is appropriate and in the public interest. The Order directed the Administrative Law Judge to issue an initial decision no later than 300 days from the date of service of the Order. (Rels. 33-9317; 34-66892; IC-30058; File No. 3-14862)

In the Matter of UBS Financial Services Inc. of Puerto Rico

The United States Securities and Exchange Commission announced the issuance of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against UBS Financial Services Inc. of Puerto Rico (UBS PR). The Order finds that UBS PR made misrepresentations and omissions to investors involving secondary market prices and liquidity concerning 23 affiliated, non-exchange-traded closed-end funds (CEFs) in Puerto Rico.

Based on the above, the Order censures UBS PR and requires it to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Sections 10(b) and Section 15(c) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and pay $11.5 million in disgorgement, $1.1 million in prejudgment interest and a $14 million penalty. UBS PR also consents to certain undertakings, including a review by an independent consultant of UBS PR’s disclosures and trading and pricing policies relating to the CEFs, implementation of the independent consultant’s recommendations and annual follow-up reviews of the implementation for a period of three years. UBS PR consented to the issuance of the Order without admitting or denying any of the findings. (Rels. 33-9318; 34-66893; File No. 3-14863)

Defendants Kenneth A. Wolkoff and George Sobol Settle Securities and Exchange Commission Action

On April 27, 2012, a final judgment was entered against Kenneth A. Wolkoff (Wolkoff) and George Sobol (Sobol) for their involvement in an action filed by the Securities and Exchange Commission (Commission) in the United States District Court for the District of Columbia against e-Smart Technologies, Inc. (e-Smart) and related individuals and entities. In that action, the Commission alleges that defendants Wolkoff and Sobol participated in an unregistered stock offering of e-Smart securities in violation of the securities registration requirements of the Securities Act of 1933 (Securities Act) and acted as unregistered broker-dealers in violation of the Securities Exchange Act of 1934 (Exchange Act).

Specifically, the Commission alleges that Wolkoff participated in the unregistered stock offering from April 2005 through at least June 2006, completing at least 115 transactions which brought in over $2,600,000 and sold over 26 million e-Smart shares. The Commission also alleges that Sobol participated in the unregistered stock offering from March 2005 through at least June 2006, completing at least 19 transactions which brought in over $890,000 and sold over $8.8 million e-Smart shares. During this period, neither was registered with the Commission as a broker-dealer or associated with a registered broker-dealer.

Wolkoff consented to a final judgment permanently enjoining him from violations of Sections 5(a) and (c) of the Securities Act and Section 15(a) of the Exchange Act. Wolkoff also consented to be barred for five years from participating in the offering or sale of a penny stock, to disgorge all e-Smart stock he received as compensation for his sales efforts and to pay a $40,000 penalty.

Sobol consented to a final judgment permanently enjoining him from violations of Sections 5(a) and (c) of the Securities Act and Section 15(a) of the Exchange Act. And Sobol consented to be barred for five years from participating in the offering or sale of a penny stock, to disgorge all e-Smart stock in which he has a legal or beneficial interest and to pay a $30,000 penalty.

The litigation against the other defendants, alleging violations of the anti-fraud, securities registration, financial reporting, books and records, and internal control provisions of the federal securities laws, is ongoing. [SEC v. e-Smart Technologies, Inc., et al., United States District Court for the District of Columbia, Civil Action No. 1:11-cv-00896-JEB] (LR-22351)

SEC Charges Attorney and Clients in Scheme to Unlawfully Sell Billions of Penny-Stock Shares

On April 30, 2012, the Securities and Exchange Commission charged a mother-and-daughter pair and their attorney with a scheme to unlawfully acquire and sell billions of shares of penny stock that were never registered for sale to the public.

The SEC’s complaint, filed in federal court in Orlando, FL, charged Florida attorney Cameron H. Linton, Esq., his clients, Christel S. Scucci and her mother Karen S. Beach, and their companies, Protégé Enterprises, LLC, and Capital Edge Enterprises, LLC with a scheme to unlawfully sell large quantities of stock in violation of Section 5 of the Securities Act of 1933, which generally requires that securities transactions be registered with the SEC, unless exempt. According to the SEC, over an approximately 20-month period ending in October 2011, Scucci and her mother sold about 3.3 billion shares of purportedly unrestricted stock that they acquired through so-called debt conversion “wrap around” transactions, reaping proceeds of more than $1.5 million from the sales. The SEC alleges that Scucci and Beach were able to sell most of this stock only because Linton issued baseless legal opinions for them stating that the stock could be issued without a warning on the stock certificate limiting the transfer or sale of the security, which is commonly referred to as a “restrictive legend.” The opinion concluded that their resale was exempt from the federal registration requirements.

According to the SEC’s complaint, the transactions involved notes issued by microcap companies representing debts supposedly owed to affiliates or others often closely associated with the companies. Under the wrap around agreements, the affiliates assigned the right to collect the debts from the issuers to Protégé or Capital Edge. The wrap around agreements also purported to amend the initial debt agreements thereby allowing Protégé and Capital Edge to convert the money owed to them into shares of the issuers’ common stock at a deep discount to the prevailing market price. Protégé and Capital Edge almost always elected to receive stock from the issuers shortly after execution of the wrap around agreements, and regularly sold the stock into the public market, often for large profits, within days or weeks of acquiring it. None of the sales were registered with the SEC.

The complaint alleges that Protégé and Capital Edge paid Linton to write attorney opinion letters for them stating that the stock acquired under these wrap around agreements lawfully could be issued to them by the transfer agent without a restrictive legend and immediately sold to the public. According to the SEC, Linton lacked any basis for the opinions he issued, which were premised on the notion that through the wrap around agreements and debt conversion, Protégé and Capital Edge could rely on a safe harbor for resale of securities held for at least one year by “tacking” the 12-month period that the affiliates claimed to have held the original debt before transferring it to Protégé and Capital Edge. However, the complaint alleges that when Linton wrote the opinion letters, he lacked an understanding of the applicable legal principles and failed to substantiate the factual predicate for his opinions. Furthermore, the complaint alleges that in mid-2010, Linton became aware of an injunction issued in another case involving a similar scheme in which his letters were used to effectuate unregistered sales. But for Linton’s opinion letters, transfer agents would not have issued the stock to Protégé and Capital Edge so that they could quickly turn around and sell it into the public market.

The SEC’s complaint alleges that Protégé, Capital Edge, Scucci and Beach violated Section 5 of the Securities Act. The complaint further alleges that Linton violated, or aided and abetted the violation of, Section 5 of the Securities Act. The SEC is seeking to have the defendants return their ill-gotten gains, pay penalties, be subject to injunctions, and be barred from participating in future penny-stock offerings. [SEC v. Christel S. Scucci, et al., Case No. 6:12-646-ORL-37-KRS (M.D. Fla.)] (LR-22352)

SEC Files Injunctive Action Against Investment Advisers RKC Capital Management, LLC, RKC Capital LLC, and Russell K. Cannon

The Securities and Exchange Commission announced the filing of a Complaint in federal district court against RKC Capital Management LLC, RKC Capital, LLC (“RKC”) and Russell K. Cannon (“Cannon”), (collectively “Defendants”). The Complaint alleges that the Defendants artificially inflated the assets of a hedge fund they managed, RKC Matador Fund LLC (“Matador”), to defraud Matador investors.

The Complaint alleges that from at least November 2007 through July 2011, Defendants engaged in fraudulent conduct to overstate the assets under management of Matador. Defendants did this through causing the price of Matador’s largest holding, stock in Global Pari Mutuel Services, Inc. (“Global”), to artificially increase by “marking the close” of Global’s stock. Marking the close is a manipulative trading practice designed to cause the price of a stock to rise at the close of the market. The Defendants also falsely inflated the fund’s assets by instructing Matador’s fund administrator to record the price of Matador’s holdings in Global above the actual market price for approximately 15 months. Cannon also misused RKC’s client accounts to aid his practice of marking the close and to enhance Matador’s profits.

According to the Commission’s Complaint filed in U.S. District Court for the District of Utah, the Defendants falsely represented to investors that Matador’s assets under management and performance returns were greater than they actually were. In fact, at its peak, Matador’s assets under management were overstated by over 100% and its performance returns were significantly overstated for several months. In addition, investor statements the Defendants provided to Matador investors, which reflected the holdings and performance of persons who invested in Matador, were also significantly overstated. The Defendants made these misrepresentations to investors to convince investors to invest in Matador and to obtain excessive advisory fees.

The Commission’s Complaint seeks to enjoin the Defendants from future violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1), (2) and (4) of the Advisers Act of 1940 and Rule 206(4)-8 thereunder, and seeks the payment of disgorgement and civil penalties. [SEC v. RKC Capital Management, LLC, RKC Capital, LLC, and Russell K. Cannon, Case No. 2:12-cv-00408-BCW (USDC Utah) ] (LR-22353)

SEC Charges Two Former Investor Seminar Salespeople with Securities Law Violations

On April 30, 2012, the Securities and Exchange Commission filed a settled civil injunctive action against two former salespeople in the investor seminar industry. Defendants Darlene Nelson Powell and Robert Eldridge consented to the entry of final judgments without admitting or denying the allegations of the Commission’s complaint.

The Commission’s complaint alleges that Powell and Eldridge were independent contractors for Long Term-Short Term Inc., d/b/a BetterTrades, and sold products and services to investors who wanted to learn how to trade options and other securities. The complaint alleges that Eldridge put on a live online securities trading mentoring program under the name “Daily Cash Flow Trading Lab.” According to the complaint, Eldridge made misleading statements that he was an experienced, successful securities trader and made additional misleading statements about the success of securities trading in the Daily Cash Flow Trading Lab. Based on Eldridge’s misrepresentations, the complaint alleges that customers purchased subscriptions to the trading lab and traded securities he recommended. The complaint further alleges that Powell misleadingly portrayed herself as an expert securities investor who made her living trading securities. Contrary to her representation that she became wealthy trading securities, the complaint alleges that she was not a successful securities trader. According to the complaint, Powell’s self-portrayal as a successful securities trader misled investors into believing that they too would profit trading securities if they purchased the instructional courses and other products and sold and followed the securities trading strategies she espoused. The complaint alleges that, by their conduct, the defendants violated Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Exchange Act Rule 10b-5.

Defendants Powell and Eldridge consented to final judgments enjoining them from violating the antifraud provisions of the federal securities laws, and enjoining them for five years from receiving compensation from participating in securities trading seminars. Powell consented to the entry of a final judgment imposing a civil money penalty of $130,000 and ordering her to pay disgorgement of $81,036 and prejudgment interest of $21,840. Eldridge consented to a judgment that does not impose civil penalties based on his sworn representations in a Statement of Financial Condition and other documents.

The case against Powell and Eldridge is the fourth action the Commission has brought against investor seminar companies and its representatives. For further information see: Lit Release No. 20486 (March 11, 2008), SEC v. Linda Woolf, David Gengler, Hands On Capital, Inc. and Lashaico, Inc.; Lit Release No. 21331 (December 10, 2009), SEC v. Investools Inc., Michael J. Drew, and Eben D. Miller; and Lit Release No. 22133 (October 19, 2011), SEC v. Long Term-Short Term, Inc. and Freddie Rick. [SEC v. Darlene Nelson Powell and Robert Eldridge, Civil Action No. 1:12-cv-483 (E.D.Va)] (LR-22354)

Investment Company Act Releases

Steel Partners Holdings L.P.

A notice has been issued giving interested persons until May 22, 2012 to request a hearing on an application filed by Steel Partners Holdings L.P. (SPH) for an order under Section 6(c) of the Investment Company Act of 1940 (Act) exempting SPH from all provisions of the Act until the earlier of one year from the date that the requested order is issued or the date that it no longer may be deemed to be an investment company. SPH also seeks an order under Section 45(a) of the Act granting confidential treatment with respect to certain supplemental material submitted to the Commission. (Rel. IC-30056 – April 27)

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

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

  • PNC Absolute Return Fund LLC [File No. 811-21088]
  • PNC Absolute Return Master Fund LLC [File No. 811-21814]
  • PNC Alternative Strategies Fund LLC [File No. 811-21257]
  • PNC Alternative Strategies Master Fund LLC [File No. 811-21816]
  • PNC Long-Short Master Fund LLC [File No. 811-21818]
  • PNC Long-Short Fund LLC [File No. 811-21258]
  • PNC Alternative Strategies TEDI Fund LLC [File No. 811-21817]
  • PNC Absolute Return TEDI Fund LLC [File No. 811-21815]
  • PNC Long-Short TEDI Fund LLC [File No. 811-21819]
  • American Beacon Mileage Funds [File No. 811-9018]
  • American Beacon Master Trust [File No. 811-9098]
  • Old Mutual Funds III [File No. 811-22149]
  • RAM Funds [File No. 811-22162]

(Rel. IC-30057 – April 30)

Self-Regulatory Organizations

Approval of Proposed Rule Change

The Commission approved a proposed rule change (SR-ISE-2012-16) filed by International Securities Exchange, LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend ISE Rule 722 (Complex Orders) to modify its procedures for executing the stock leg(s) of stock-option orders. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-66880)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX BX, Inc. modify pricing for BX members using the NASDAQ OMX BX Equities System (SR-BX-2012-028) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-66881)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-54) relating to Complex Order fees for removing liquidity in Select Symbols has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-66883)

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-3     Perfumania Holdings, Inc., 35 SAWGRASS DRIVE, SUITE 2, BELLPORT, NY, 
        11713, 6318664100 - 5,718,972 ($51,327,773.70) Equity, 
        (File 333-181024 - Apr. 30) (BR. 02C)

S-1     Acadia Healthcare Company, Inc., 725 COOL SPRINGS BOULEVARD, SUITE 600, 
        FRANKLIN, TN, 37067, 615-732-6259 - 0 ($145,619,808.00) Equity, 
        (File 333-181025 - Apr. 30) (BR. 01A)

S-8     Annie's, Inc., 1610 FIFTH STREET, BERKELEY, CA, 94710, 800-288-1089 - 
        2,362,850 ($38,624,612.78) Equity, (File 333-181029 - Apr. 30) (BR. 04B)

        46240, 3178086000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-181030 - Apr. 30) (BR. 08C)

        LOCKPORT, NY, 14095, 7166257500 - 7,000,000 ($62,125,000.00) Equity, 
        (File 333-181037 - Apr. 30) (BR. 07B)

S-3D    COMMUNITY BANCORP /VT, PO BOX 259, DERBY, VT, 05829, 8023347915 - 
        300,000 ($3,582,000.00) Equity, (File 333-181038 - Apr. 30) (BR. 07B)

S-1     Cyalume Technologies Holdings, Inc., 96 WINDSOR STREET,, 
        WEST SPRINGFIELD, MA, 01089, (413) 858-2500 - 
        1,983,647 ($5,802,167.00) Equity, (File 333-181039 - Apr. 30) (BR. 11C)

S-1     Organic Treehouse Ltd., 120 SOMERSET DRIVE, SUFFERN, NY, 10901, 
        845-641-8534 - 1,080,000 ($54,000.00) Equity, (File 333-181040 - 
        Apr. 30) (BR. )

        07934, 9082340700 - 200,000 ($3,040,000.00) Other, (File 333-181041 - 
        Apr. 30) (BR. 07B)

        18884748077 - 60,000,000 ($60,000.00) Equity, (File 333-181042 - 
        Apr. 30) (BR. )

S-8     GlyEco, Inc., 4802 EAST RAY ROAD, SUITE 23-196, PHOENIX, AZ, 85044, 
        866-960-1539 - 6,543,436 ($11,909,053.52) Equity, (File 333-181043 - 
        Apr. 30) (BR. 06B)

S-1     Laidlaw Energy Group, Inc., 90 JOHN STREET, 4TH FL., NEW YORK, NY, 
        10038, 212-480-8400 - 434,782,610 ($130,435.00) Equity, 
        (File 333-181044 - Apr. 30) (BR. 02)

        90033, (323) 224-3900 - 5,257,267 ($10,015,093.64) Equity, 
        (File 333-181045 - Apr. 30) (BR. 01B)

        VA, 22102, 7037201000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-181047 - Apr. 30) (BR. 12A)

S-8     Stevia First Corp., 862 MURRAY CT., YUBA CITY, CA, 95991, 
        858-361-4499 - 5,000,000 ($3,550,000.00) Equity, (File 333-181048 - 
        Apr. 30) (BR. 09B)

        4845831475 - 5,450,000 ($127,857,000.00) Equity, (File 333-181049 - 
        Apr. 30) (BR. 01A)

S-4     Fiesta Restaurant Group, Inc., 968 JAMES STREET, SYRACUSE, NY, 13203, 
        315-424-0513 - 0 ($200,000,000.00) Debt, (File 333-181050 - Apr. 30) 
        (BR. 05A)

S-1     Sears Hometown & Outlet Stores, Inc., 3333 BEVERLY ROAD, 
        HOFFMAN ESTATES, IL, 60179, 847-286-1911 - 0 ($400,000,000.00) Equity, 
        (File 333-181051 - Apr. 30) (BR. )

        4845831475 - 2,910,492 ($68,280,142.00) Equity, (File 333-181052 - 
        Apr. 30) (BR. 01A)

        2018043000 - 400,000 ($2,684,000.00) Equity, (File 333-181053 - 
        Apr. 30) (BR. 01B)

        5128366464 - 17,632,985 ($14,459,047.70) Equity, (File 333-181054 - 
        Apr. 30) (BR. 02A)

        5165865200 - 817,167 ($33,115,530.00) Equity, (File 333-181056 - 
        Apr. 30) (BR. 05A)

        52 CHARLES STREET, LONDON, X0, W1J 5EU, 011442071275800 - 
        0 ($500,000,000.00) Equity, (File 333-181057 - Apr. 30) (BR. 11A)

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

A. H. Belo CORP                         DE       2.02,9.01            04/30/12

ACCELERA INNOVATIONS, INC.              DE       1.01,5.02,9.01       04/30/12

ACQUIRED SALES CORP                     NV       1.01,2.01,3.02,9.01  02/10/12    AMEND

ACURA PHARMACEUTICALS, INC              NY       5.07                 04/27/12

ADVANCED CELL TECHNOLOGY, INC.          DE       5.07                 04/26/12

ADVANCED ENERGY INDUSTRIES INC          DE       2.02,5.02            04/27/12

ADVENT SOFTWARE INC /DE/                DE       2.02,9.01            04/30/12

Aegion Corp                             DE       2.02,9.01            04/24/12

AES CORP                                DE       5.02,9.01            04/27/12

AES CORP                                DE       7.01                 04/30/12

Affinity Gaming, LLC                    NV       8.01,9.01            04/27/12

ALABAMA POWER CO                        AL       5.07                 04/27/12

ALANCO TECHNOLOGIES INC                 AZ       1.01                 04/30/12

ALERE INC.                              DE       2.02,9.01            04/30/12

ALIGN TECHNOLOGY INC                    DE       5.02,9.01            04/25/12

Alliance Holdings GP, L.P.              DE       2.02,9.01            04/30/12

ALLIANCE RESOURCE PARTNERS LP           DE       2.02,9.01            04/30/12

Altra Holdings, Inc.                    DE       5.07                 04/26/12

AMERICAN AIRLINES INC                   DE       7.01,9.01            04/30/12

AMERICAN CAPITAL, LTD                            5.07                 04/30/12

American Realty Capital Trust, Inc.     DE       8.01,9.01            04/27/12

AMERICAN SAFETY INSURANCE HOLDINGS LT            8.01,9.01            04/30/12

AMERISTAR CASINOS INC                   NV       1.01,2.03,5.03,9.01  04/26/12

AMGEN INC                               DE       1.01,8.01,9.01       04/24/12

AMR CORP                                DE       7.01,9.01            04/30/12

ANADARKO PETROLEUM CORP                 DE       2.02,9.01            04/30/12

Ancestry.com Inc.                       DE       1.01,9.01            04/25/12

ANDERSONS INC                           OH       5.02                 04/30/12

ANIXTER INTERNATIONAL INC               DE       1.01,2.03,9.01       04/25/12

ANNAPOLIS BANCORP INC                   MD       2.02,9.01            04/30/12

Apple REIT Nine, Inc.                   VA       1.01,2.01            04/26/12

ARAMARK CORP                            DE       5.02                 04/24/12

ARKANSAS BEST CORP /DE/                 DE       5.07                 04/24/12

ARMSTRONG WORLD INDUSTRIES INC          PA       2.02,7.01,9.01       04/30/12

ARRAY BIOPHARMA INC                     DE       2.02,9.01            04/30/12

ARRHYTHMIA RESEARCH TECHNOLOGY INC /D   DE       3.01,9.01            04/27/12

As Seen On TV, Inc.                     FL       8.01                 04/30/12

Astex Pharmaceuticals, Inc              DE       2.02,9.01            04/30/12

Attitude Drinks Inc.                    DE       5.07                 04/27/12

Avery Dennison Corp                     DE       5.02,5.07            04/26/12

BAKER HUGHES INC                        DE       5.07                 04/26/12

BALCHEM CORP                            MD       7.01,9.01            04/30/12

BALLY TECHNOLOGIES, INC.                NV       2.02,9.01            04/26/12

Baltic Trading Ltd                      1T       2.02,9.01            04/30/12

Bancorp, Inc.                                    8.01,9.01            04/30/12

BANK OF HAWAII CORP                     DE       5.07                 04/27/12

BankFinancial CORP                               5.02,9.01            04/25/12

Banyan Rail Services Inc.               DE       3.02                 04/26/12

BARD C R INC /NJ/                       NJ       5.02,9.01            04/30/12

BARNES & NOBLE INC                      DE       1.01,8.01,9.01       04/27/12

BCM Energy Partners Inc.                DE       1.01                 04/26/12

BCSB Bancorp Inc.                                2.02,9.01            04/27/12

BERKSHIRE HILLS BANCORP INC                      8.01,9.01            04/26/12

BIOLASE TECHNOLOGY INC                  DE       8.01                 04/24/12

BKF CAPITAL GROUP INC                   DE       5.02,9.01            04/25/12

Boardwalk Pipeline Partners, LP         DE       2.02,9.01            04/30/12

BOISE INC.                              DE       5.07                 04/25/12

BOLT TECHNOLOGY CORP                    CT       2.02,8.01,9.01       04/26/12

BON TON STORES INC                      PA       5.02,9.01            04/30/12

BOOKS A MILLION INC                     DE       8.01,9.01            04/28/12

Cal Dive International, Inc.            DE       2.02,7.01            04/30/12

CALIFORNIA WATER SERVICE GROUP          DE       5.02                 04/30/12

CALYPTE BIOMEDICAL CORP                 DE       5.02                 04/24/12

CAMBREX CORP                            DE       5.02,5.03,5.07,9.01  04/26/12

CAPITAL PROPERTIES INC /RI/             RI       8.01,9.01            04/27/12

CAPITALSOURCE INC                       DE       2.02,5.02,5.07,7.01, 04/30/12
CAPITOL CITY BANCSHARES INC             GA       3.02,5.03,9.01       04/25/12

CAPSTEAD MORTGAGE CORP                  MD       1.01,2.02,5.07,9.01  04/25/12

CARDTRONICS INC                         DE       2.02,9.01            04/30/12

Care Investment Trust Inc.              MD       1.01,2.03            04/24/12

CARMIKE CINEMAS INC                     DE       1.01,1.02,2.03,8.01, 04/30/12
CAROLINA BANK HOLDINGS INC              NC       2.02,9.01            04/30/12

CASCADE MICROTECH INC                            2.02,9.01            04/30/12

CASTLE A M & CO                         MD       5.02,5.03,5.07       04/24/12

CB RICHARD ELLIS REALTY TRUST           MD       1.01,5.03,9.01       04/25/12

CBIZ, Inc.                              DE       2.02,9.01            04/25/12

CELADON GROUP INC                       DE       1.01,2.03,5.02,9.01  04/24/12

CENTRAL EUROPEAN MEDIA ENTERPRISES LT            1.01,2.03,3.02,7.01, 04/30/12
CENTRAL PACIFIC FINANCIAL CORP          HI       5.02,5.07,9.01       04/25/12

CHART INDUSTRIES INC                    DE       7.01,9.01            04/26/12

CHARTER COMMUNICATIONS, INC. /MO/       DE       1.01,9.01            04/25/12

Chefs' Warehouse, Inc.                  DE       1.01,1.02,2.01,2.03, 04/25/12
CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            04/30/12

CHICAGO BRIDGE & IRON CO N V                     7.01,9.01            04/30/12

CHINA PHARMA HOLDINGS, INC.             DE       5.02,9.01            09/30/11

CIRCLE STAR ENERGY CORP.                NV       1.01,9.01            04/27/12

CITY HOLDING CO                         WV       5.07                 04/25/12

CLEARSIGN COMBUSTION CORP               WA       8.01,9.01            04/30/12

CLEVELAND BIOLABS INC                   DE       5.02,9.01            04/12/12    AMEND

CLOUD PEAK ENERGY INC.                  DE       2.02,9.01            04/30/12

CNA FINANCIAL CORP                      DE       2.02,9.01            04/30/12

CNL LIFESTYLE PROPERTIES INC            MD       1.01                 04/24/12

CNO Financial Group, Inc.               DE       2.02,9.01            04/30/12

COGNEX CORP                             MA       2.02,9.01            04/30/12

COLE CREDIT PROPERTY TRUST IV, INC.     MD       1.01,2.01,2.03,9.01  04/24/12

COMERICA INC /NEW/                      DE       5.07                 04/24/12

COMMUNITY WEST BANCSHARES /             CA       2.02,9.01            04/30/12

COMSTOCK RESOURCES INC                  NV       2.02,9.01            03/31/12

COMVERSE TECHNOLOGY INC/NY/             NY       5.02,8.01,9.01       04/26/12

COMVERSE TECHNOLOGY INC/NY/             NY       8.01,9.01            04/30/12

CONVERGYS CORP                          OH       5.07                 04/26/12

COSTAR GROUP INC                        DE       1.01,2.01,2.03,8.01, 04/30/12
Crescent Financial Bancshares, Inc.              2.02,9.01            04/30/12

CROWN HOLDINGS INC                      PA       5.07                 04/26/12

CTC Media, Inc.                                  5.07,9.01            04/27/12

Customers Bancorp, Inc.                 PA       2.02,7.01,8.01,9.01  04/25/12

DCP Holding CO                          OH       5.07                 04/25/12

DCT Industrial Trust Inc.               MD       5.07                 04/26/12

DELTA AIR LINES INC /DE/                DE       8.01,9.01            04/30/12

DENNYS CORP                             DE       2.02,9.01            04/30/12

DFC GLOBAL CORP.                        DE       2.02,2.03,5.05,9.01  04/27/12

DiamondRock Hospitality Co                       2.02,9.01            04/30/12

DIGI INTERNATIONAL INC                  DE       2.05                 04/26/12

DIMECO INC                              PA       5.07,9.01            04/26/12

Discover Card Execution Note Trust      DE       1.01,8.01,9.01       04/30/12

Discovery Communications, Inc.          DE       5.05                 04/25/12

DJO Finance LLC                         DE       2.02,9.01            04/30/12

DOMINOS PIZZA INC                                5.07                 04/25/12

DSP GROUP INC /DE/                      DE       2.02,9.01            04/30/12

Duke Energy CORP                        DE       2.06,9.01            04/30/12

DUKE REALTY CORP                        IN       2.02,5.07,9.01       04/25/12

DUKE REALTY LIMITED PARTNERSHIP/        IN       2.02,5.07,9.01       04/25/12

DUMA ENERGY CORP                        NV       7.01,9.01            04/30/12

DYNAVAX TECHNOLOGIES CORP               DE       2.02,9.01            04/27/12

Eagle Bulk Shipping Inc.                         1.01                 04/27/12

EATON CORP                              OH       5.02,5.07            04/25/12

EDISON INTERNATIONAL                    CA       5.07                 04/26/12

EMMAUS LIFE SCIENCES, INC.              DE       5.02                 04/24/12

Energy Transfer Equity, L.P.            DE       7.01,8.01,9.01       04/29/12

Energy Transfer Partners, L.P.          DE       7.01,8.01,9.01       04/29/12

ENTERPRISE PRODUCTS PARTNERS L P        DE       8.01                 04/27/12

ENTRAVISION COMMUNICATIONS CORP         DE       8.01,9.01            04/27/12

EPOCRATES INC                           DE       8.01                 04/24/12

EVERTEC, LLC                            PR       7.01,8.01,9.01       04/30/12

EXACT SCIENCES CORP                     DE       4.01,9.01            04/26/12

EXTERRAN PARTNERS, L.P.                 DE       5.02                 04/30/12

Extra Space Storage Inc.                MD       2.02,9.01            04/30/12

EXTREME NETWORKS INC                    DE       3.03,5.07,9.01       04/26/12

FactorShares 2X: Gold Bull/S&P500 Bea            8.01                 04/30/12

FactorShares 2X: Oil Bull/S&P500 Bear            8.01                 04/30/12

FactorShares 2X: S&P500 Bull/TBond Be            8.01                 04/30/12

FactorShares 2X: S&P500 Bull/USD Bear            8.01                 04/30/12

FactorShares 2X: TBond Bull/S&P500 Be            8.01                 04/30/12

Federal Home Loan Bank of San Francis   X1       2.02,7.01,9.01       04/27/12

FEDERAL HOME LOAN MORTGAGE CORP                  5.02                 04/24/12

Feihe International Inc                 UT       7.01,9.01            04/30/12

FENTURA FINANCIAL INC                   MI       5.02,9.01            04/26/12

FIRST DEFIANCE FINANCIAL CORP           OH       5.07                 04/24/12

FIRST FINANCIAL BANCORP /OH/            OH       7.01,9.01            04/30/12

FIRST FINANCIAL CORP /IN/               IN       2.02                 04/26/12

FIRST FINANCIAL HOLDINGS INC /DE/       DE       2.02,9.01            04/30/12

FIRST FINANCIAL HOLDINGS INC /DE/       DE       1.01,2.01,7.01,9.01  04/27/12

FIRST MARINER BANCORP                   MD       2.02,9.01            04/25/12

FIRST PACTRUST BANCORP INC              MD       2.02,7.01,9.01       04/30/12

FIRST PACTRUST BANCORP INC              MD       2.02,7.01,9.01       04/30/12    AMEND

FIRST PULASKI NATIONAL CORP             TN       5.07                 04/26/12

First Savings Financial Group Inc                2.02,9.01            04/27/12

FIVE STAR QUALITY CARE INC                       2.02,9.01            04/30/12

FMC CORP                                DE       2.02,9.01            04/30/12

FOREST OIL CORP                         NY       2.02,9.01            04/30/12

FOUR RIVERS BIOENERGY INC.              NV       8.01                 04/26/12

Francesca's Holdings CORP                        5.02,8.01            04/27/12

FULTON FINANCIAL CORP                   PA       7.01,9.01            04/27/12

GAMETECH INTERNATIONAL INC              DE       5.02                 04/27/12

GEN PROBE INC                           DE       8.01,9.01            04/30/12

GEN PROBE INC                           DE       2.02,9.01            04/30/12

GEN PROBE INC                           DE       8.01,9.01            04/30/12

GENCO SHIPPING & TRADING LTD                     2.02,9.01            04/30/12

GENERAL CABLE CORP /DE/                 DE       2.02,9.01            04/30/12

GENERAL ELECTRIC CO                     NY       5.02,5.07            04/25/12

GEOVIC MINING CORP.                     DE       5.02                 04/26/12

GLADSTONE COMMERCIAL CORP               MD       2.02,9.01            04/30/12

Global Cash Access Holdings, Inc.       DE       5.07                 04/26/12

Gold & Gemstone Mining Inc.             NV       5.03,9.01            04/24/12

Google Inc.                             DE       5.02,9.01            04/26/12

GORMAN RUPP CO                          OH       2.02,5.07,9.01       04/26/12

Great Wolf Resorts, Inc.                DE       1.01,8.01,9.01       04/30/12

GREEN PLANET GROUP, INC.                NV       8.01,9.01            01/03/12

GreenHaven Continuous Commodity Index   DE       8.01,9.01            04/30/12

GreenHunter Energy, Inc.                DE       5.03,9.01            04/25/12

GREENLIGHT CAPITAL RE, LTD.                      2.02,9.01            04/30/12

Groupon, Inc.                           DE       5.02,8.01,9.01       04/24/12

Guardian 8 Holdings                              1.01,5.02,5.03,8.01, 04/03/12
GULF ISLAND FABRICATION INC             LA       5.02,5.03,5.07,8.01, 04/26/12
HAEMONETICS CORP                        MA       2.02,9.01            04/25/12

HAMPTON ROADS BANKSHARES INC            VA       7.01,9.01            04/30/12

HAMPTON ROADS BANKSHARES INC            VA       1.01,8.01,9.01       04/27/12

HARMAN INTERNATIONAL INDUSTRIES INC /   DE       2.02,7.01,9.01       04/30/12

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       7.01,9.01            04/30/12

HCA Holdings, Inc.                               5.07                 04/26/12

HENRY JACK & ASSOCIATES INC             DE       5.02                 04/30/12

HENRY SCHEIN INC                        DE       1.01,8.01,9.01       04/27/12

HERBALIFE LTD.                          E9       2.02,5.07,8.01,9.01  04/30/12

HERITAGE COMMERCE CORP                  CA       2.02,9.01            03/31/12

HF FINANCIAL CORP                       DE       2.02,8.01,9.01       04/30/12

HICKORY TECH CORP                       MN       2.02,7.01,9.01       04/30/12

HIGHLANDS BANKSHARES INC /WV/           WV       8.01,9.01            04/30/12

HKN, Inc.                               DE       3.03,9.01            04/25/12

HOLLY ENERGY PARTNERS LP                DE       2.02,9.01            04/30/12

HOLLY ENERGY PARTNERS LP                DE       5.02,5.07,9.01       04/25/12

HOLOGIC INC                             DE       7.01,9.01            04/30/12

HOLOGIC INC                             DE       2.02,9.01            04/30/12

HomeStreet, Inc.                        WA       2.02,9.01            04/30/12

HomeTown Bankshares Corp                         2.02,9.01            04/25/11

HOOKER FURNITURE CORP                   VA       8.01                 04/27/12

HOUSTON AMERICAN ENERGY CORP            DE       8.01                 04/27/12

Hubei Minkang Pharmaceutical Ltd.       NV       3.02                 04/27/12

HUMANA INC                              DE       2.02,7.01,9.01       04/30/12

ICAHN ENTERPRISES L.P.                  DE       2.02,9.01            04/30/12

IGI LABORATORIES, INC                   DE       5.02                 04/25/12

Imperial Holdings, Inc.                          1.01,5.02,7.01,8.01, 04/26/12
INDIANA COMMUNITY BANCORP               IN       2.02,8.01,9.01       04/30/12

INGLES MARKETS INC                      NC       2.02,9.01            04/30/12

INSPERITY, INC.                         DE       2.02,9.01            04/30/12

INTEGRATED DEVICE TECHNOLOGY INC        DE       2.02,9.01            04/30/12

INTEGRATED DEVICE TECHNOLOGY INC        DE       1.01,9.01            04/30/12

INTEVAC INC                             CA       2.02,9.01            04/30/12

Investors Bancorp Inc                   DE       2.02,9.01            04/26/12

JACKSONVILLE BANCORP INC /FL/           FL       8.01                 04/30/12

JUNIATA VALLEY FINANCIAL CORP           PA       2.02,8.01,9.01       04/27/12

K SWISS INC                             DE       1.01,1.02,2.03,8.01, 04/25/12
Kaiser Federal Financial Group, Inc.    MD       8.01,9.01            04/26/12

KAMAN CORP                              CT       2.02,9.01            04/30/12

Kandi Technologies Corp                 DE       8.01,9.01            04/23/12

KATY INDUSTRIES INC                     DE       2.02,9.01            04/30/12

KEATING CAPITAL INC                              7.01,9.01            04/30/12

KEYCORP /NEW/                           OH       8.01                 04/27/12

KIRBY CORP                              NV       5.02,9.01            04/24/12

Kodiak Oil & Gas Corp                   B0       2.02,9.01            04/26/12

KONA GRILL INC                          DE       2.02,9.01            04/30/12

LANNETT CO INC                          DE       5.02                 04/24/12

Laredo Petroleum Holdings, Inc.         DE       1.01,2.03,9.01       04/27/12

LAWSON PRODUCTS INC/NEW/DE/             DE       5.02,9.01            04/30/12

LEXINGTON REALTY TRUST                  MD       1.01,1.02,7.01,9.01  04/27/12

Liberty Global, Inc.                    DE       7.01                 04/30/12

LIFETIME BRANDS, INC                    DE       5.02,9.01            04/26/12

LIGAND PHARMACEUTICALS INC              DE       1.01                 04/27/12

LINN ENERGY, LLC                        DE       9.01                 04/30/12    AMEND

LKQ CORP                                DE       8.01,9.01            04/30/12

LOEWS CORP                              DE       2.02,9.01            04/30/12

LoopNet, Inc.                           DE       3.01,3.03,5.01,5.02, 04/30/12
LPL Investment Holdings Inc.            DE       2.02,9.01            04/30/12

LPL Investment Holdings Inc.            DE       8.01,9.01            04/30/12

LTV CORP                                DE       8.01,9.01            04/19/12

LUMINEX CORP                            DE       2.02,9.01            04/30/12

LyondellBasell Industries N.V.          P7       2.02,7.01,9.01       04/30/12

MAGICJACK VOCALTEC LTD                  L3       8.01                 04/30/12

Marathon Petroleum Corp                 DE       5.07,9.01            04/25/12

MARKWEST ENERGY PARTNERS L P                     8.01,9.01            04/26/12

MASCO CORP /DE/                         DE       2.02,9.01            04/30/12

MCKESSON CORP                           DE       2.02,9.01            04/30/12

MEDIA GENERAL INC                       VA       5.07                 04/26/12

MERCANTILE BANK CORP                    MI       5.07                 04/26/12

MERCURY GENERAL CORP                    CA       2.02,9.01            04/30/12

MERU NETWORKS INC                       DE       2.02,9.01            04/30/12

MID WISCONSIN FINANCIAL SERVICES INC    WI       5.07                 04/30/12

Midstates Petroleum Company, Inc.       DE       5.02,9.01            04/25/12

MOLINA HEALTHCARE INC                   DE       2.02,9.01            04/30/12

MONOLITHIC POWER SYSTEMS INC            CA       2.02,9.01            04/30/12

Monster Offers                          NV       3.02,5.01,9.01       04/26/12

MPG Office Trust, Inc.                  MD       2.02,7.01,9.01       04/30/12

NASH FINCH CO                           DE       2.02,9.01            04/27/12    AMEND

National CineMedia, Inc.                DE       1.01,2.03,9.01       04/27/12

NATIONAL PENN BANCSHARES INC            PA       5.07,9.01            04/24/12

NCR CORP                                MD       5.02,5.07            04/25/12

NEPHROS INC                             DE       8.01,9.01            04/30/12

Net Element, Inc.                       DE       1.01,9.01            04/24/12

NETSCOUT SYSTEMS INC                    DE       5.02                 04/24/12

NEW CENTURY BANCORP INC                 NC       2.02,9.01            04/24/12

NEWMARKET CORP                          VA       5.03,5.07,9.01       04/26/12

NEWS CORP                                        8.01,9.01            04/30/12

NIC INC                                 CO       2.02,7.01,9.01       04/30/12

NiMin Energy Corp.                      A0       1.01,9.01            04/24/12

Niska Gas Storage Partners LLC          DE       5.02,9.01            04/24/12

Noble Corp / Switzerland                V8       5.02,5.07,9.01       04/27/12

NORMAN CAY DEVELOPMENT, INC.            NV       8.01,9.01            04/26/12

NORTHEAST BANCORP /ME/                  ME       2.02,9.01            04/30/12

Northfield Bancorp, Inc.                X1       2.02,9.01            04/25/12

NORTHWEST INDIANA BANCORP               IN       5.07                 04/27/12

NTELOS HOLDINGS CORP                             2.02,9.01            04/30/12

NuStar GP Holdings, LLC                 DE       5.07                 04/25/12

NUVASIVE INC                            DE       2.02,9.01            04/30/12

Nuveen Credit Strategies Income Fund    MA       8.01,9.01            04/30/12

Nuveen Preferred Income Opportunities   MA       8.01,9.01            04/30/12

NYSE Euronext                           DE       2.02,9.01            04/30/12

O REILLY AUTOMOTIVE INC                          2.02,9.01            04/25/12

OFFICE DEPOT INC                        DE       5.07                 04/26/12

OLD NATIONAL BANCORP /IN/               IN       2.02,8.01,9.01       04/30/12

OLD POINT FINANCIAL CORP                VA       2.02,9.01            04/30/12

OLD REPUBLIC INTERNATIONAL CORP         DE       2.02,9.01            01/26/12

ORION ENERGY SYSTEMS, INC.              WI       8.01,9.01            04/27/12

Orpheum Property Inc                    DE       2.01                 04/20/12

OXIGENE INC                             DE       8.01,9.01            04/30/12

PACER INTERNATIONAL INC                 TN       5.03,5.07            04/25/12

PACIFIC FINANCIAL CORP                  WA       5.07                 04/25/12

PACIFIC PREMIER BANCORP INC             DE       7.01,9.01            04/27/12

PARKER DRILLING CO /DE/                 DE       5.07                 04/26/12    AMEND

PCS EDVENTURES COM INC                  ID       1.01,2.01,9.01       04/23/12

People's United Financial, Inc.         DE       8.01,9.01            04/30/12

PETMED EXPRESS INC                      FL       8.01,9.01            04/30/12

Pharma-Bio Serv, Inc.                            5.02                 04/24/12

PITNEY BOWES INC /DE/                   DE       2.03                 04/30/12

PLUM CREEK TIMBER CO INC                DE       2.02,9.01            04/30/12

PLX TECHNOLOGY INC                      DE       1.01,3.02,5.02,8.01, 04/29/12
PLX TECHNOLOGY INC                      DE       2.02,9.01            04/30/12

PMC SIERRA INC                          DE       2.02,9.01            04/30/12

Poage Bankshares, Inc.                  MD       5.02,9.01            04/26/12

POPE RESOURCES LTD PARTNERSHIP          DE       2.02,9.01            04/30/12

Porter Bancorp, Inc.                    KY       2.02,9.01            04/30/12

PRAXAIR INC                             DE       5.03,5.07,9.01       04/24/12

PRIVATEBANCORP, INC                     DE       7.01,9.01            04/30/12

Psychic Friends Network Inc.            NV       5.02,9.01            04/18/12

PUMA BIOTECHNOLOGY, INC.                DE       5.02                 04/27/12

PVF CAPITAL CORP                        OH       2.02,9.01            04/30/12

QC Holdings, Inc.                       KS       5.02,8.01,9.01       04/26/12

QUAKER CHEMICAL CORP                    PA       2.02,9.01            04/30/12

QUEPASA CORP                            NV       2.02,9.01            04/30/12

QUICKLOGIC CORPORATION                  CA       5.07                 04/26/12

QUINSTREET, INC                         DE       2.02,9.01            04/30/12

RADIENT PHARMACEUTICALS Corp            DE       8.01                 04/30/12

RAND CAPITAL CORP                       NY       2.02,9.01            04/30/12

REINSURANCE GROUP OF AMERICA INC        MO       2.02,9.01            04/30/12

Reliance Bancshares, Inc.               MO       2.02,9.01            04/27/12

RENASANT CORP                           MS       5.02,8.01            04/24/12

REPROS THERAPEUTICS INC.                DE       8.01,9.01            04/30/12

RESOURCES CONNECTION INC                DE       8.01,9.01            04/30/12

REVA Medical, Inc.                      DE       2.02,7.01,9.01       04/30/12

Rosetta Resources Inc.                  DE       1.01,2.03,9.01       04/30/12

ROWAN COMPANIES INC                     DE       8.01                 04/30/12

RSC Holdings Inc.                       DE       2.01,3.01,3.03,5.01, 04/30/12
RUDOLPH TECHNOLOGIES INC                DE       2.02,9.01            04/30/12

RVUE HOLDINGS, INC.                     NV       5.02                 04/30/12

SandRidge Mississippian Trust I         DE       2.02,9.01            04/30/12

SandRidge Mississippian Trust II        DE       2.02,9.01            04/30/12

SandRidge Permian Trust                          2.02,9.01            04/30/12

SCHOLASTIC CORP                         DE       8.01,9.01            04/30/12

SENIOR HOUSING PROPERTIES TRUST         MD       2.02,9.01            04/30/12

SENSIENT TECHNOLOGIES CORP              WI       5.07                 04/26/12

SERVICESOURCE INTERNATIONAL, INC.                2.02,9.01            04/30/12

ShoreTel Inc                            CA       2.02,9.01            04/30/12

SHUTTERFLY INC                          DE       2.02,9.01            04/30/12

SIGNET JEWELERS LTD                              8.01                 04/30/12

SILGAN HOLDINGS INC                     DE       2.02,9.01            04/26/12

Silicon Graphics International Corp     DE       5.02,9.01            04/30/12

SITEL Worldwide Corp                    DE       1.01,2.03,9.01       04/26/12

Sitoa Global Inc.                       DE       4.01,9.01            04/30/12

SkyPeople Fruit Juice, Inc              FL       8.01,9.01            04/30/12

SOHU COM INC                            DE       2.02,9.01            04/30/12

Solera National Bancorp, Inc.           DE       2.02,9.01            04/30/12

Sono Resources, Inc.                    NV       1.01,8.01,9.01       04/26/12

SOURCEFIRE INC                          DE       2.02,9.01            04/30/12

SOUTHERN CALIFORNIA EDISON CO           CA       5.07                 04/26/12

STANDARD PACIFIC CORP /DE/              DE       2.02,9.01            03/31/12

STANDARD PARKING CORP                   DE       5.07                 04/25/12

Star Gold Corp.                         NV       5.02                 04/23/12

STATE BANK FINANCIAL CORP               GA       2.02,9.01            04/30/12

STERLING FINANCIAL CORP /WA/            WA       5.07                 04/25/12

SUNOCO INC                              PA       1.01,7.01,9.01       04/29/12

SVB FINANCIAL GROUP                              5.07                 04/26/12

SWIFT ENERGY CO                                  5.02,9.01            04/30/12

Symmetry Medical Inc.                   DE       8.01,9.01            04/30/12

TARGACEPT INC                                    1.02                 04/24/12

TCF FINANCIAL CORP                      DE       5.02,5.07,9.01       04/25/12

TELECOMMUNICATION SYSTEMS INC /FA/      MD       2.02,9.01            04/26/12

TELKONET INC                            UT       7.01,9.01            04/30/12

TENNECO INC                             DE       2.02,9.01            04/30/12

TEXAS PACIFIC LAND TRUST                         2.02,9.01            04/30/12

Texas Roadhouse, Inc.                   DE       2.02,9.01            04/30/12

TGC INDUSTRIES INC                      TX       2.02,9.01            04/30/12

TMST, Inc.                              MD       7.01,9.01            04/26/12

TNP Strategic Retail Trust, Inc.        MD       7.01,9.01            04/30/12

Tower International, Inc.               DE       5.02,9.01            04/26/12

TRANSCONTINENTAL REALTY INVESTORS INC   NV       4.02                 03/27/12

TRANSUNION CORP.                                 1.01,2.01,3.02,5.01, 04/30/12
Travelport LTD                          D0       7.01                 04/30/12

TRIDENT MICROSYSTEMS INC                DE       2.02,8.01,9.01       04/30/12

U.S. Auto Parts Network, Inc.           DE       1.01,2.03,9.01       04/26/12

UDR, Inc.                               MD       2.02,9.01            04/30/12

UNION FIRST MARKET BANKSHARES CORP      VA       5.02,9.01            04/30/12

UNISOURCE ENERGY CORP                   AZ       2.02,9.01            04/30/12

UNITED RENTALS INC /DE                  DE       8.01,9.01            04/30/12

United States 12 Month Oil Fund, LP              8.01                 04/30/12

UNITED STATES ANTIMONY CORP             MT       8.01                 04/27/12

United States Gasoline Fund, LP         DE       8.01                 04/30/12

US CONCRETE INC                         DE       5.02,9.01            04/26/12

USANA HEALTH SCIENCES INC               UT       5.07                 04/25/12

UTi WORLDWIDE INC                       D8       5.02                 04/27/12

Valley Commerce Bancorp                 CA       2.02,9.01            04/26/12

VANGUARD HEALTH SYSTEMS INC             DE       1.01,2.03,9.01       04/30/12

VEECO INSTRUMENTS INC                   DE       2.02,5.02,9.01       04/25/12

VENDUM BATTERIES INC.                   NV       5.02,9.01            04/25/12

VENTRUS BIOSCIENCES INC                 DE       8.01,9.01            04/30/12

VERMILLION, INC.                        DE       8.01,9.01            04/30/12

VIPER POWERSPORTS INC                   NV       2.01,3.02,9.01       04/24/12

VISTA GOLD CORP                         B0       7.01,9.01            04/25/12

VISTAPRINT N.V.                         P7       2.02,9.01            04/24/12    AMEND

WABASH NATIONAL CORP /DE                DE       2.02,9.01            04/30/12

WADDELL & REED FINANCIAL INC            DE       2.02,9.01            04/30/12

WatchIt Technologies Inc.               TX       2.01                 04/25/12

WATSCO INC                              FL       2.02,7.01,9.01       04/30/12

WATSON PHARMACEUTICALS INC              NV       1.01,3.02,9.01       04/25/12

WATSON PHARMACEUTICALS INC              NV       2.02,9.01            04/30/12

WATSON PHARMACEUTICALS INC              NV       5.02,7.01,9.01       04/27/12

WAUSAU PAPER CORP.                      WI       2.02,5.02,9.01       04/30/12

Wellesley Bancorp, Inc.                          2.02,8.01,9.01       04/30/12

WELLS FARGO & COMPANY/MN                DE       9.01                 04/30/12

WEST COAST BANCORP /NEW/OR/             OR       5.07                 04/24/12

WESTERN ALLIANCE BANCORPORATION         NV       5.07                 04/24/12

WEYCO GROUP INC                         WI       2.02,9.01            04/30/12

WILLIAM LYON HOMES                      DE       4.01,9.01            04/24/12

WILLIS GROUP HOLDINGS PLC               L2       5.02,5.07,9.01       04/24/12

Wireless Attachments, Inc.              CO       5.07,8.01            04/30/12

WORDLOGIC CORP                          NV       5.02,7.01,9.01       04/24/12

World Surveillance Group Inc.           DE       1.01,5.02,9.01       04/27/12

WORLD WRESTLING ENTERTAINMENTINC        DE       5.07                 04/27/12    AMEND

WSFS FINANCIAL CORP                     DE       5.07                 04/26/12

XATA CORP /MN/                          MN       5.07                 02/08/12

XL GROUP PLC                            L2       5.02,5.07,9.01       04/26/12

YRC Worldwide Inc.                      DE       1.01,7.01,9.01       04/27/12

Zalicus Inc.                            DE       8.01,9.01            04/30/12



Modified: 05/01/2012