U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-91
May 10, 2012


Commission Announcements

Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers For Failure to Make Required Periodic Filings

The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 10, 2012 and terminating at 11:59 p.m. EDT on May 23, 2012.

  • Adrenalina (AENA)
     
  • Affinity Technology Group, Inc. (AFFI)
     
  • Braintech, Inc. (BRHI)
     
  • Builders Transport, Incorporated (TRUKQ)
     
  • Catuity, Inc. (CTTY)

The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).

The Commission cautions brokers, 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 these companies.

Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66956)

Commission Meetings

Change in the Meeting: Time Change and Additional Item

The Closed Meeting scheduled for Thursday, May 10, 2012 at 2:00 p.m. was changed to start at 3:30 p.m. on May 10, 2012.

The following matter was also considered during the 3:30 p.m. Closed Meeting on Thursday, May 10, 2012: an examination of a financial institution.

Closed Meeting on Friday, May 11, 2012 at 4:00 p.m.

The subject matter of the May 11, 2012 Closed Meeting will be: an examination of a financial institution.

Closed Meeting on Thursday, May 17, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, May 17, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Enforcement proceedings

SEC Charges Scotland-Based Firm For Improperly Boosting Hedge Fund Client at Expense of U.S. Fund Investors

The Securities and Exchange Commission today charged a Scotland-based fund management group for fraudulently using one of its U.S. fund clients to rescue another client, a China-focused hedge fund struggling in the midst of the global financial crisis.

Martin Currie agreed to pay a total of nearly $14 million to the SEC and the United Kingdom’s Financial Services Authority (FSA) to settle the charges that it steered a U.S. publicly-traded fund called The China Fund Inc. into an investment to bolster the hedge fund. The hedge fund had acquired a significant and largely illiquid exposure to a single Chinese company. Martin Currie directly alleviated the hedge fund’s liquidity problems by deciding to use the China Fund – to the detriment of the fund and its shareholders – in a bond transaction that reduced the hedge fund’s exposure.

According to the SEC’s order instituting settled administrative proceedings against Martin Currie, the firm managed the China Fund side-by-side with the hedge fund through its SEC-registered investment adviser subsidiaries. These funds and other Martin Currie accounts made similar investments in Chinese companies under the direction of two senior portfolio managers based in Shanghai. One company was Jackin International, a printer-cartridge recycling company listed on the Hong Kong Stock Exchange.

According to the SEC’s order, in June 2007, Martin Currie’s lead portfolio manager in Shanghai caused the hedge fund to purchase $10 million of unlisted illiquid Jackin bonds that deviated from the fund’s normal equities-trading strategy. Martin Currie improperly classified those bonds as cash in its risk-management system, and as a result the liquidity and credit risks associated with the hedge fund’s exposure to Jackin weren’t revealed until November 2008 after the hedge fund had purchased additional Jackin bonds. By that time, the hedge fund’s total investment in Jackin had come close to breaching the fund’s limit on portfolio exposure to a single issuer.

The SEC’s order says that as the global financial crisis deepened, the hedge fund faced a significant increase in redemption requests by its investors, exacerbating the fund’s liquidity problems. At the same time, Jackin was starved for capital to continue funding its operations and make debt payments to bondholders such as the hedge fund. In response to the hedge fund’s overlapping problems, Martin Currie decided to use the China Fund to purchase $22.8 million in convertible bonds from a Jackin subsidiary. The subsidiary instantly lent $10 million of the proceeds to Jackin, which in turn redeemed $10 million in otherwise-illiquid bonds held by the troubled hedge fund. The bond transaction closed in April 2009.

According to the SEC’s order, Martin Currie officials were aware that the China Fund’s involvement presented a direct conflict of interest and may have been unlawful. In an attempt to cure that conflict, they sought and obtained approval from the China Fund’s board of directors. However, they failed to disclose that proceeds of the fund’s investment would be used to redeem bonds held by another client – the hedge fund. Martin Currie also failed to sufficiently consider whether the investment’s rationale and pricing were in the China Fund’s best interests.

The SEC’s order noted that the China Fund’s bond investment in the Jackin subsidiary turned out poorly. In April 2011, the China Fund sold the bonds for about 50 percent of their face value for a loss of $11.5 million.

The SEC’s order found that Martin Currie engaged in separate improper conduct by failing to follow the China Fund’s policies and procedures for fair valuing the convertible bonds at issue. Between April 2009 and October 2010, Martin Currie advised the China Fund’s board to value the convertible bonds at cost ($22.8 million) while failing to disclose information that was relevant for the board to fair value the bonds.

The SEC charged Martin Currie with certain violations of the antifraud, affiliated transaction, reporting, and compliance provisions of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Without admitting or denying the SEC’s findings, Martin Currie agreed to settle the SEC’s charges by paying a penalty of $8.3 million and accepting censures and cease-and-desist orders against future violations. Martin Currie also agreed to pay a penalty of 3.5 million ($5.6 million in U.S. dollars) to settle the FSA’s action. In reaching the settlement, the SEC took into account that Martin Currie had compensated the China Fund for losses and expenses arising from the misconduct. Martin Currie cooperated with the SEC’s investigation and implemented several remedial measures, including severing association with its lead Shanghai-based portfolio manager and making enhancements to its compliance program.

The SEC’s investigation, which is continuing, has been conducted by Paul Kim and Natasha Guinan under the supervision of Scott Weisman, who are all members of the Enforcement Division’s Asset Management Unit. The case originated from an SEC examination conducted by Jason Rosenberg and Lucas Tepper under the supervision of Mavis Kelly.

The SEC thanks the FSA for its assistance in this matter. (Rel. IA-3404; IC-30062; File No. 3-14873)

Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings

In conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:

  • Adrenalina (AENA)
     
  • Affinity Technology Group, Inc. (AFFI)
     
  • Braintech, Inc. (BRHI)
     
  • Builders Transport, Incorporated (TRUKQ)
     
  • Catuity, Inc. (CTTY)

In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66955; File No. 3-14874

In the Matter of Robert C. Pribilski

On May 10, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Robert C. Pribilski (Pribilski or Respondent) based upon the entry of a permanent injunction entered against him in the United States District Court for the Central District of California (SEC v. Francois E. Durmaz, et al., Civil Action No. CV-10-1689).

In the Order, the Division of Enforcement alleges that on April 12, 2012, the United States District Court for the Central District of California entered a judgment of permanent injunction and other relief against Pribilski, which permanently enjoined him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine, what, if any, remedial sanctions are appropriate and in the public interest.

The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-66960; File No. 3-14875)

Georgia Doctor Consents to Order in Settlement of SEC Insider Trading Charges

On May 10, 2012, the U.S. District Court for the Northern District of Georgia entered a consent order requiring, among other things, that Defendant Dr. Bobby V. Khan, a Georgia-based doctor, pay more than double the amount of his trading profits obtained through alleged insider trading.

The Commission filed charges against Dr. Bobby V. Khan in September 2010, alleging that he traded illegally in the stock of Georgia-based pharmaceutical company Sciele Pharma, Inc. on the basis of nonpublic information he received just days before the public announcement of a tender offer by a Japanese company to purchase all of that company’s shares. Khan obtained confidential details about the acquisition from a longtime business associate and friend who was a senior officer at Sciele. Khan subsequently opened an online brokerage account for the first time in several years, transferred approximately one-third of his liquid net worth into it, and purchased 4,000 shares of Sciele stock just days before the tender offer’s public announcement. Khan sold all of his shares after the announcement for an illicit profit of $47,171.

Without admitting or denying the Commission’s allegations, Dr. Khan agreed, as set forth in the Court’s order, to pay a total of $100,857.79, consisting of disgorgement, prejudgment interest thereon, and a civil penalty. Dr. Khan also consented to permanent injunctions against violations of Sections 10(b) and 14(e) of the Exchange Act and Rules 10b-5 and 14e-3 thereunder. [SEC v. Dr. Bobby V. Khan, Civil Case No. 1:10-cv-2865-JOF (N.D. Ga.)] (LR-22364)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-16) relating to amending certain sections of its current bylaws 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 May 14. (Rel. 34-66949)

A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-17) relating to amending certain sections of its current bylaws 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 May 14. (Rel. 34-66950)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-1     AUTO TOOL TECHNOLOGIES INC., 101 ? MARY STREET WEST, WHITBY, A6, 
        L1N 2R4, (905) 430-6433 - 15,000,000 ($300,000.00) Equity, 
        (File 333-181259 - May. 9) (BR. )

S-8     Journal of Radiology, Inc., 2230 MICHIGAN AVE., SANTA MONICA, CA, 
        90404, 1-310-927-3131 - 30,000,000 ($60,000,000.00) Equity, 
        (File 333-181260 - May. 9) (BR. 06A)

S-1     Justice Delaware Holdco Inc., 1114 AVENUE OF THE AMERICAS, 41ST FLOOR, 
        NEW YORK, NY, 10036, 212-380-2230 - 
        90,057,000 ($1,440,912,000.00) Equity, (File 333-181261 - May. 9) 
        (BR. 05A)

S-8     METABOLIX, INC., 21 ERIE ST., CAMBRIDGE, MA, 02139, 617-583-1700 - 
        0 ($3,584,717.60) Equity, (File 333-181268 - May. 9) (BR. 06C)

S-8     3M CO, 3M CENTER, BLDG. 220-11W-02, ST PAUL, MN, 55144-1000, 
        6517332204 - 0 ($3,135,240,000.00) Equity, (File 333-181269 - May. 9) 
        (BR. 10B)

S-8     3M CO, 3M CENTER, BLDG. 220-11W-02, ST PAUL, MN, 55144-1000, 
        6517332204 - 0 ($2,612,700,000.00) Equity, (File 333-181270 - May. 9) 
        (BR. 10B)

S-1     EMC METALS CORP., #1100 - 888 DUNSMUIR STREET, VANCOUVER, A1, V6C 3K4, 
        604-648-4653 - 13,750,000 ($2,750,000.00) Equity, (File 333-181271 - 
        May. 9) (BR. 09A)

S-8     DREW INDUSTRIES INC, 200 MAMARONECK AVE, WHITE PLAINS, NY, 10601, 
        9144289098 - 924,855 ($25,932,934.00) Equity, (File 333-181272 - 
        May. 9) (BR. 05A)

S-8     TRIQUINT SEMICONDUCTOR INC, 2300 NE BROOKWOOD PARKWAY, HILLSBORO, OR, 
        97124, 5036159000 - 8,000,000 ($38,240,000.00) Equity, 
        (File 333-181273 - May. 9) (BR. 10C)

S-1     FTL VENTURES CORP, UNIT 2801, BANK OF AMERICA TOWER, 12 HARCOURT ROAD, 
        CENTRAL, HONG KONG, F4, 00000, 852-2615-1107 - 
        6,250,000 ($250,000.00) Equity, (File 333-181274 - May. 9) (BR. )

S-1     Interim HealthCare of Wyoming, Inc., 5001 BAUM BLVD., SUITE 770, 
        PITTSBURGH, PA, 15213, 412-621-0902 - 1 ($2,129,390.00) Equity, 
        (File 333-181275 - May. 9) (BR. )

S-1     Court Document Services, Inc., 1913 SOUTH FLORIDA AVENUE, LAKELAND, FL, 
        33803, 1-888-376-7891 - 586,066 ($58,606.60) Equity, (File 333-181276 - 
        May. 9) (BR. )

S-3ASR  MAKO Surgical Corp., 2555 DAVIE ROAD, FT. LAUDERDALE, FL, 33317, 
        954-927-2044 - 0 ($0.00) Other, (File 333-181277 - May. 9) (BR. 10B)

S-3     GRIFFON CORP, 712 FIFTH AVENUE, NEW YORK, NY, 10019, 2129575000 - 
        0 ($500,000,000.00) Other, (File 333-181278 - May. 9) (BR. 06A)

S-4     GRIFFON CORP, 712 FIFTH AVENUE, NEW YORK, NY, 10019, 2129575000 - 
        0 ($500,000,000.00) Other, (File 333-181279 - May. 9) (BR. 06A)

S-8     Limelight Networks, Inc., 222 SOUTH MILL AVENUE, 8TH FLOOR, TEMPE, AZ, 
        85281, 602-850-5000 - 0 ($10,601,855.86) Equity, (File 333-181280 - 
        May. 9) (BR. 03C)

S-8     HYPERDYNAMICS CORP, 12012 WICKCHESTER LANE,, SUITE 475, HOUSTON,, TX, 
        77079, 7133539400 - 0 ($3,900,001.00) Equity, (File 333-181281 - 
        May. 9) (BR. 04A)

S-8     ENPRO INDUSTRIES, INC, 5605 CARNEGIE BOULEVARD, SUITE 500, CHARLOTTE, 
        NC, 28209, 704-731-1522 - 325,000 ($13,500,825.00) Equity, 
        (File 333-181282 - May. 9) (BR. 06A)

S-4     WASHINGTON FEDERAL INC, 425 PIKE STREET, SEATTLE, WA, 98101, 
        2066247930 - 0 ($70,273,000.00) Equity, (File 333-181283 - May. 9) 
        (BR. 07C)

S-8     MAP Pharmaceuticals, Inc., 2400 BAYSHORE PARKWAY, SUITE 200, 
        MOUNTAIN VIEW, CA, 94043, 650-386-3100 - 
        1,215,000 ($14,446,350.00) Equity, (File 333-181284 - May. 9) (BR. 01A)

N-2     John Hancock Tax-Advantaged Global Shareholder Yield Fund, 
        JOHN HANCOCK FUNDS, 601 CONGRESS STREET, BOSTON, MA, 02210, 
        617-663-4319 - 0 ($12,800.00) Equity, (File 333-181288 - May. 9) 
        (BR. 17)

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------

3M CO                                   DE       5.02,5.07,9.01       05/08/12

ABERCROMBIE & FITCH CO /DE/             DE       5.02,9.01            05/07/12

ABOVENET INC                            DE       2.02,9.01            05/09/12

ABRAXAS PETROLEUM CORP                  NV       5.07                 05/04/12

ABRAXAS PETROLEUM CORP                  NV       2.02,7.01            05/09/12

Accretive Health, Inc.                  DE       2.02,9.01            05/09/12

ACELRX PHARMACEUTICALS INC              DE       2.02,9.01            05/08/12

ACHILLION PHARMACEUTICALS INC           DE       2.02,9.01            05/09/12

Activision Blizzard, Inc.               DE       2.02,9.01            05/09/12

ADAMS RESOURCES & ENERGY, INC.          DE       2.02                 05/09/12

ADVANCED CELL TECHNOLOGY, INC.          DE       2.02,9.01            05/08/12

AEROCENTURY CORP                        DE       2.02                 05/08/12

ALBANY MOLECULAR RESEARCH INC           DE       2.02,9.01            05/09/12

ALBEMARLE CORP                          VA       5.07                 05/09/12

ALEXANDER & BALDWIN INC                 HI       2.02,9.01            05/09/12

ALION SCIENCE & TECHNOLOGY CORP         DE       3.02,8.01            03/31/12    AMEND

Alliance HealthCare Services, Inc       CA       2.02,9.01            05/09/12

Allied World Assurance Co Holdings, A            5.03,5.07,9.01       05/03/12

ALTERRA CAPITAL HOLDINGS Ltd                     2.02,5.07,8.01,9.01  05/08/12

AMERICAN GREETINGS CORP                 OH       8.01,9.01            05/09/12

AMERICAN INTERNATIONAL INDUSTRIES INC   NV       8.01                 05/01/12

AMERICAN PACIFIC CORP                   DE       2.02,9.01            05/09/12

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       8.01                 05/09/12

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       2.01,9.01            05/04/12

American Realty Capital Properties, I   MD       2.02,9.01            05/08/12

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       5.02                 05/09/12

AMERISAFE INC                           TX       2.02,9.01            05/09/12

AMYRIS, INC.                            DE       1.01,2.03            05/04/12

AMYRIS, INC.                            DE       5.02                 05/03/12    AMEND

Anoteros, Inc.                          NV       8.01,9.01            05/08/12

Anthera Pharmaceuticals Inc             DE       5.02,5.07            05/08/12

AOL Inc.                                DE       2.02,9.01            05/09/12

Apollo Residential Mortgage, Inc.       MD       2.02,9.01            05/08/12

Apple REIT Ten, Inc.                    VA       2.01,9.01            05/04/12

ARCHER DANIELS MIDLAND CO               DE       5.02,9.01            05/03/12

ARDEN GROUP INC                         DE       2.02,9.01            05/09/12

ARIAD PHARMACEUTICALS INC               DE       2.02,7.01,8.01,9.01  05/09/12

Armour Residential REIT, Inc.           MD       7.01,9.01            05/08/12    AMEND

ARROW ELECTRONICS INC                   NY       5.07                 05/04/12

ASSOCIATED BANC-CORP                    WI       8.01                 04/24/12

ASTA FUNDING INC                        DE       2.02,9.01            05/09/12

ATHENA SILVER CORP                      DE       7.01,9.01            05/03/12

AUBURN NATIONAL BANCORPORATION, INC     DE       8.01,9.01            05/08/12

AuraSound, Inc.                         NV       5.02                 05/03/12

AURORA DIAGNOSTICS HOLDINGS LLC                  8.01,9.01            05/09/12

AUXILIO INC                             NV       1.01,2.03,3.02,9.01  05/09/12

AUXILIUM PHARMACEUTICALS INC                     7.01,9.01            05/09/12

AVANIR PHARMACEUTICALS, INC.            DE       1.01                 05/07/12

AVENTINE RENEWABLE ENERGY HOLDINGS IN   DE       2.02,9.01            05/09/12

AVON PRODUCTS INC                       NY       5.07                 05/03/12

AWARE INC /MA/                          MA       5.02                 05/04/12

AXIS CAPITAL HOLDINGS LTD                        5.02,5.07,9.01       05/03/12

AXIS CAPITAL HOLDINGS LTD                        5.02,9.01            12/08/11    AMEND

Babcock & Wilcox Co                     DE       2.02,5.07,9.01       05/08/12

BALDWIN & LYONS INC                     IN       5.07                 05/08/12

BALLY TECHNOLOGIES, INC.                NV       5.03,9.01            05/03/12

BANCORPSOUTH INC                        MS       5.02,9.01            05/08/12

BANK MUTUAL CORP                        WI       5.07                 05/07/12

BANK OF AMERICA CORP /DE/               DE       5.07                 05/09/12

BARNWELL INDUSTRIES INC                 DE       2.02,9.01            05/09/12

Bella Petrellas Holdings, Inc.          FL       1.01,2.01,2.05,5.03, 05/07/12
                                                 5.07,8.01,9.01

BEMIS CO INC                            MO       1.01,5.07,9.01       05/03/12

BERKSHIRE HILLS BANCORP INC                      7.01,9.01            05/08/12

BEST BUY CO INC                         MN       7.01,9.01            05/09/12

BIOCANCELL THERAPEUTICS INC.                     5.02,8.01            05/06/12

BIOCLINICA INC                          DE       2.02,9.01            05/09/12

BIOLASE TECHNOLOGY INC                  DE       2.02,9.01            05/09/12

BIOMARIN PHARMACEUTICAL INC             DE       5.02,5.07,9.01       05/08/12

BlackRock Kelso Capital CORP            DE       5.07,7.01,9.01       05/09/12

Blueknight Energy Partners, L.P.        DE       2.02,9.01            05/09/12

BMC SOFTWARE INC                        DE       2.02,9.01            05/09/12

BRAZIL FAST FOOD CORP                   DE       2.02,9.01            05/04/12

BreitBurn Energy Partners L.P.          DE       1.01,1.02            05/08/12

Bridge Capital Holdings                 CA       2.02,9.01            05/09/12

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       7.01,9.01            05/08/12

BROADWIND ENERGY, INC.                  DE       2.02,7.01,9.01       05/09/12

BROOKLINE BANCORP INC                   DE       7.01,9.01            05/09/12

Burger King Holdings Inc                DE       2.02,9.01            05/09/12

C&J Energy Services, Inc.               DE       2.02,7.01,9.01       05/09/12

Calumet Specialty Products Partners,    DE       1.01,7.01,9.01       05/08/12

CAMAC Energy Inc.                       DE       2.02,9.01            05/09/12

CapLease, Inc.                                   2.02,9.01            05/08/12

Carbonite Inc                           DE       7.01,9.01            05/09/12

CAROLINA POWER & LIGHT CO               NC       5.07                 05/07/12

CBRE GROUP, INC.                        DE       5.02,7.01,9.01       05/08/12

CENTRAL VERMONT PUBLIC SERVICE CORP     VT       2.02,7.01,9.01       05/09/12

CENTURYLINK, INC                        LA       2.02,9.01            05/09/12

CHICAGO RIVET & MACHINE CO              IL       5.07                 05/08/12

China Biologic Products, Inc.                    2.02,7.01,9.01       05/09/12

CHINA VALVES TECHNOLOGY, INC            NV       2.02,7.01,9.01       05/09/12

CINCINNATI FINANCIAL CORP               OH       7.01,9.01            05/09/12

CISCO SYSTEMS, INC.                     CA       2.02                 05/09/12

CLECO CORP                              LA       1.01,2.03,9.01       05/08/12

CLOROX CO /DE/                          DE       1.01,1.02,2.03,9.01  05/04/12

CNB FINANCIAL CORP/PA                   PA       8.01,9.01            05/08/12

CNO Financial Group, Inc.               DE       7.01,9.01            05/09/12

CNO Financial Group, Inc.               DE       5.03,5.07,7.01,9.01  05/09/12

COEUR D ALENE MINES CORP                ID       5.07                 05/08/12

COHEN & STEERS INC                      DE       5.02,5.07            05/08/12

COHU INC                                DE       5.02,5.07            05/09/12

Compass Diversified Holdings            DE       2.02,9.01            05/09/12

COMPX INTERNATIONAL INC                 DE       2.02,7.01,9.01       05/08/12

COMSTOCK RESOURCES INC                  NV       5.07                 05/08/12

Con-way Inc.                            DE       5.07                 05/08/12

CONSOLIDATED GRAPHICS INC /TX/          TX       2.02,9.01            05/09/12

CONSTELLATION BRANDS, INC.              DE       1.01,1.02,2.03,9.01  05/03/12

ContinuityX Solutions, Inc.             DE       1.01,2.01,3.02,5.01, 11/08/11    AMEND
                                                 5.02,9.01
     
Cooper-Standard Holdings Inc.           DE       2.02,9.01            05/09/12

Copano Energy, L.L.C.                            2.02,9.01            05/09/12

CORCEPT THERAPEUTICS INC                DE       2.02,7.01,9.01       05/03/12

CORE MOLDING TECHNOLOGIES INC           DE       5.07                 05/09/12

CORE MOLDING TECHNOLOGIES INC           DE       2.02,9.01            05/09/12

COUSINS PROPERTIES INC                  GA       2.02,9.01            05/09/12

CPI International Holding Corp.                  2.02,9.01            05/09/12

CROSS BORDER RESOURCES, INC.            NV       1.01,5.02            05/08/12

CUMMINS INC                             IN       5.02,5.07,9.01       05/08/12

CYNOSURE INC                                     5.07                 05/09/12

CYTORI THERAPEUTICS, INC.               DE       2.02,9.01            05/09/12

DANAHER CORP /DE/                       DE       5.02,5.07,9.01       05/08/12

DEAN FOODS CO                           DE       2.02,9.01            05/09/12

DEERE & CO                              DE       7.01                 05/09/12

DELCATH SYSTEMS INC                     DE       2.02,9.01            05/08/12

DEVON ENERGY CORP/DE                    DE       1.01,9.01            05/07/12

DIAMOND OFFSHORE DRILLING INC           DE       8.01,9.01            05/09/12

Digital Generation, Inc.                DE       2.02,9.01            05/09/12

DIGITAL RIVER INC /DE                   DE       1.01                 05/08/12

DIRECTV                                 DE       5.07                 05/03/12

DOLE FOOD CO INC                        DE       8.01,9.01            05/09/12

DOLLAR THRIFTY AUTOMOTIVE GROUP INC     DE       2.02,9.01            05/09/12

DOMINION RESOURCES INC /VA/             VA       5.07                 05/08/12

DORCHESTER MINERALS, L.P.               DE       2.02,7.01,9.01       05/09/12

DOT HILL SYSTEMS CORP                   DE       1.01                 05/04/12

DOT HILL SYSTEMS CORP                   DE       2.02,9.01            05/09/12

DOT HILL SYSTEMS CORP                   DE       1.01                 05/04/12    AMEND

DTE ENERGY CO                           MI       5.02,5.07,9.01       05/03/12

Duke Energy CORP                        DE       5.07                 05/03/12

EBIX INC                                DE       2.02,8.01,9.01       05/08/12

ECHELON CORP                            DE       2.02,9.01            05/09/12

Edgen Group Inc.                        DE       2.02,9.01            05/09/12

ELRAY RESOURCES, INC.                   NV       1.01,5.01,5.02       05/04/12

EMISPHERE TECHNOLOGIES INC              DE       2.02,9.01            05/09/12

ENCORE CAPITAL GROUP INC                DE       2.02,9.01            05/09/12

Energy Transfer Equity, L.P.            DE       2.02,9.01            05/08/12

Energy Transfer Partners, L.P.          DE       2.02,9.01            05/08/12

EnergySolutions, Inc.                   DE       2.02,9.01            05/09/12

EnerSys                                 DE       2.02,9.01            05/09/12

ENVESTNET, INC.                         DE       2.02,9.01            05/09/12

EPICEPT CORP                                     2.02,9.01            05/09/12

EQUITY LIFESTYLE PROPERTIES INC         MD       5.07                 05/08/12

ESCO TECHNOLOGIES INC                   MO       2.02,7.01,9.01       05/09/12

ExamWorks Group, Inc.                   DE       2.02,5.07,9.01       05/09/12

EXTREME NETWORKS INC                    DE       5.02,9.01            05/07/12

FARMERS CAPITAL BANK CORP               KY       5.02,9.01            05/08/12

Federal Home Loan Bank of Boston        X1       2.03                 05/03/12

FEDERAL NATIONAL MORTGAGE ASSOCIATION            2.02,7.01,9.01       05/09/12

FINANCIAL INSTITUTIONS INC              NY       7.01,9.01            05/09/12

FINANCIAL INSTITUTIONS INC              NY       5.02,5.07            05/09/12

First California Financial Group, Inc   DE       7.01,9.01            05/09/12

FIRST CITIZENS BANCSHARES INC /DE/      DE       2.02,7.01,9.01       05/09/12

FIRST NATIONAL CORP /VA/                         3.02,8.01,9.01       05/07/12

FLEETCOR TECHNOLOGIES INC               DE       2.02,9.01            05/09/12

Forestar Group Inc.                     DE       5.07                 05/08/12

FRANKLIN ELECTRIC CO INC                IN       5.07                 05/04/12

FUNCTION (X) INC.                       DE       8.01,9.01            05/09/12

Fushi Copperweld, Inc.                  NV       2.02,9.01            05/03/12

FutureFuel Corp.                        DE       2.02,9.01            05/09/12

FXCM Inc.                                        2.02,7.01,9.01       05/09/12

GAIAM, INC                              CO       2.02,9.01            05/09/12

GAIN Capital Holdings, Inc.             DE       2.02,7.01,9.01       05/09/12

GASTAR EXPLORATION LTD                           2.02,9.01            05/09/12

GEORESOURCES INC                        CO       2.02,9.01            05/08/12

GEORGIA GULF CORP /DE/                  DE       3.03,8.01,9.01       05/09/12

GLATFELTER P H CO                       PA       5.07                 05/08/12

GLIMCHER REALTY TRUST                   MD       8.01                 05/09/12

Global Eagle Acquisition Corp.          DE       5.02,9.01            05/08/12

Global Indemnity plc                    L2       8.01,9.01            05/09/12

GLOBECOMM SYSTEMS INC                            2.02,9.01            05/09/12

GOOD TIMES RESTAURANTS INC              NV       3.01                 05/09/12

GRACO INC                               MN       5.02                 05/08/12

GRAINGER W W INC                        IL       1.01,9.01            05/08/12

GRAMERCY CAPITAL CORP                   MD       2.02,7.01,9.01       05/08/12

GRANITE CITY FOOD & BREWERY LTD.        MN       2.02,9.01            05/08/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            05/04/12

Green Endeavors, Inc.                   UT       3.02                 05/09/12

Green Global Investments, Inc.          FL       1.01,9.01            05/08/12    AMEND

GreenHaven Continuous Commodity Index   DE       8.01                 05/09/12

GSE Holding, Inc.                       DE       2.02,9.01            05/09/12

GULFPORT ENERGY CORP                    DE       2.02,9.01            05/08/12

HARDINGE INC                            NY       7.01,9.01            05/09/12

HARDINGE INC                            NY       7.01,9.01            05/09/12

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       2.02,9.01            05/08/12

HEADWATERS INC                          DE       1.01,2.03,3.02,9.01  05/07/12

HEARTLAND PAYMENT SYSTEMS INC           DE       5.07                 05/04/12

HeartWare International, Inc.           DE       8.01,9.01            05/08/12

Heelys, Inc.                            DE       2.02,9.01            05/09/12

HICKORY TECH CORP                       MN       5.07                 05/08/12

HICKORY TECH CORP                       MN       7.01                 05/08/12

Hill-Rom Holdings, Inc.                 IN       5.02                 05/08/12

Hilltop Holdings Inc.                   MD       8.01,9.01            05/09/12

HOME BANCORP, INC.                      LA       5.07                 05/09/12

Home Federal Bancorp, Inc.              MD       7.01,9.01            05/09/12

HOME LOAN SERVICING SOLUTIONS, LTD.     E9       8.01                 05/08/12

HomeStreet, Inc.                        WA       7.01,9.01            05/09/12

HUBBELL INC                             CT       5.07                 05/08/12

HUNTINGTON INGALLS INDUSTRIES, INC.     DE       2.02,9.01            05/09/12

Huntsman CORP                           DE       5.07                 05/03/12

ICEWEB INC                              DE       5.02,9.01            05/02/12

iGo, Inc.                               DE       2.02,9.01            05/09/12

IMH Financial Corp                      DE       7.01,9.01            05/09/12

INFOSPACE INC                           DE       2.02,9.01            05/09/12

INSMED INC                              VA       7.01,9.01            05/08/12

INSULET CORP                            DE       2.02,9.01            05/09/12

INTER PARFUMS INC                       DE       2.02,7.01,8.01,9.01  05/09/12

INTERNAP NETWORK SERVICES CORP          DE       5.02                 05/09/12

INTERNATIONAL BUSINESS MACHINES CORP    NY       7.01                 05/09/12

INTERNATIONAL PAPER CO /NEW/            NY       5.07                 05/07/12

INTL FCSTONE INC.                       DE       2.02,7.01,9.01       05/09/12

IntraLinks Holdings, Inc.               DE       2.02,5.02,9.01       05/03/12

Invesco Ltd.                            D0       7.01,9.01            05/09/12

IRONCLAD PERFORMANCE WEAR CORP                   2.02,7.01,9.01       05/09/12

IZEA Holdings, Inc.                     NV       3.02,9.01            05/08/12

IZEA Holdings, Inc.                     NV       8.01,9.01            05/09/12

JACK IN THE BOX INC /NEW/               DE       7.01,9.01            05/09/12

JAMESON STANFORD RESOURCES Corp                  5.03,9.01            04/27/12

Jinmimi Network Inc                     NV       4.01,9.01            05/07/12

KAR Auction Services, Inc.              DE       9.01                 05/07/12    AMEND

KAYDON CORP                             DE       2.02,9.01            05/09/12

KAYDON CORP                             DE       5.07                 05/08/12

KEATING CAPITAL INC                              8.01,9.01            05/09/12

KELLY SERVICES INC                      DE       2.02,9.01            05/09/12

KENEXA CORP                                      5.07                 05/03/12

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 05/08/12

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 05/08/12

KINDER MORGAN, INC.                     DE       7.01                 05/08/12

KINGOLD JEWELRY, INC.                   DE       2.02,9.01            05/09/12

Kips Bay Medical, Inc.                  DE       2.02,9.01            05/09/12

KIT digital, Inc.                       DE       2.02,9.01            05/03/12

KITE REALTY GROUP TRUST                 MD       5.07                 05/09/12

KNIGHT CAPITAL GROUP, INC.              DE       5.07                 05/09/12

KNIGHT TRANSPORTATION INC               AZ       7.01,9.01            05/08/12

KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       1.01,8.01,9.01       05/09/12

KRONOS INTERNATIONAL INC                DE       7.01,9.01            05/09/12

KRONOS WORLDWIDE INC                             7.01,9.01            05/09/12

LAKES ENTERTAINMENT INC                 MN       2.02,9.01            05/09/12

LANNETT CO INC                          DE       2.02,9.01            05/08/12

Lantheus Medical Imaging, Inc.          DE       1.01,9.01            05/03/12

LEXINGTON REALTY TRUST                  MD       7.01                 05/02/12    AMEND

LIBBEY INC                              DE       7.01,9.01            05/09/12

LIN TV CORP.                            DE       2.02,9.01            05/09/12

LIQUIDITY SERVICES INC                  DE       7.01,9.01            05/09/12

Live Nation Entertainment, Inc.         DE       2.02,9.01            05/09/12

LORAL SPACE & COMMUNICATIONS INC.       DE       2.02,9.01            05/09/12

LOUISIANA-PACIFIC CORP                  DE       8.01,9.01            05/09/12

LOWES COMPANIES INC                     NC       5.02,9.01            05/03/12

LSB INDUSTRIES INC                      DE       2.02,9.01            05/09/12

LUNA INNOVATIONS INC                    DE       2.02,9.01            05/09/12

M I HOMES INC                           OH       1.01,2.03,5.02,5.07, 05/08/12
                                                 9.01
          
MACATAWA BANK CORP                      MI       5.07                 05/08/12

Macy's, Inc.                            DE       2.02,9.01            05/09/12

MAGICJACK VOCALTEC LTD                  L3       7.01                 05/09/12    AMEND

MAGNETEK, INC.                          DE       2.02                 05/09/12

Maidenform Brands, Inc.                 DE       2.02,9.01            05/09/12

MALVERN FEDERAL BANCORP INC             X1       2.02,9.01            05/03/12

MANAS PETROLEUM Corp                    NV       1.01,8.01,9.01       05/07/12

MANAS PETROLEUM Corp                    NV       1.01,8.01,9.01       05/07/12    AMEND

MANNKIND CORP                           DE       2.02,9.01            05/09/12

MARATHON OIL CORP                       DE       8.01,9.01            05/09/12

Marina Biotech, Inc.                    DE       1.01,9.01            05/03/12

McEwen Mining Inc.                      CO       2.02,9.01            05/08/12

MCMORAN EXPLORATION CO /DE/             DE       7.01,9.01            05/09/12

MEMC ELECTRONIC MATERIALS INC           DE       2.02,9.01            05/09/12

MEMC ELECTRONIC MATERIALS INC           DE       8.01,9.01            05/09/12

MERCADOLIBRE INC                                 2.02,7.01,9.01       05/08/12

MICRO IMAGING TECHNOLOGY, INC.          CA       5.02                 05/07/12

Mid-Con Energy Partners, LP             DE       2.02,7.01,9.01       05/08/12

Midway Gold Corp                        A1       7.01,9.01            05/09/12

MINE SAFETY APPLIANCES CO               PA       5.07                 05/08/12

MKS INSTRUMENTS INC                     MA       5.02,5.07            05/07/12

MModal Inc.                             DE       2.02,9.01            05/08/12

Mojo Organics, Inc.                     DE       5.02                 05/09/12

Momentive Performance Materials Inc.    DE       8.01,9.01            05/09/12

MONARCH COMMUNITY BANCORP INC           MD       2.02,9.01            05/04/12

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       2.02,7.01,9.01       05/09/12

Monster Beverage Corp                   DE       2.02,9.01            05/09/12

MTR GAMING GROUP INC                    DE       2.02,9.01            05/09/12

MURPHY OIL CORP /DE                     DE       5.07                 05/09/12

MYR GROUP INC.                          DE       2.02,9.01            05/09/12

NATIONAL BANKSHARES INC                 VA       8.01,9.01            05/09/12

NATIONAL WESTERN LIFE INSURANCE CO      CO       2.02,9.01            05/09/12

Neenah Paper Inc                        DE       2.02,9.01            05/09/12

NETWORK EQUIPMENT TECHNOLOGIES INC      DE       2.02,9.01            05/09/12

Neuralstem, Inc.                        DE       2.02,8.01,9.01       05/08/12

New Mountain Finance Corp               DE       2.02,9.01            05/08/12

NEWFIELD EXPLORATION CO /DE/            DE       5.07                 05/04/12

NEWS CORP                                        2.02,9.01            05/09/12

NEWS CORP                                        8.01,9.01            05/09/12

NL INDUSTRIES INC                       NJ       7.01,9.01            05/09/12

NORTHLAND CABLE PROPERTIES SEVEN LIMI   WA       2.01,9.01            05/09/12

NORTHSTAR REALTY FINANCE CORP.          MD       1.01,9.01            05/03/12

NVR INC                                 VA       5.07                 05/08/12

O CHARLEYS INC                          TN       3.01,9.01            04/20/12

OCCIDENTAL PETROLEUM CORP /DE/          DE       5.07                 05/04/12

OCEANEERING INTERNATIONAL INC           DE       5.02,5.07,8.01,9.01  05/04/12

OHIO VALLEY BANC CORP                   OH       5.02,8.01,9.01       05/09/12

Ohr Pharmaceutical Inc                           7.01,8.01            05/06/12

Oiltanking Partners, L.P.               DE       2.02,9.01            05/09/12

OLD POINT FINANCIAL CORP                VA       7.01,9.01            05/09/12

ONE LIBERTY PROPERTIES INC              MD       2.02,9.01            05/09/12

OPNET TECHNOLOGIES INC                  DE       5.02,9.01            05/03/12

ORAMED PHARMACEUTICALS INC.             NV       7.01,9.01            05/09/12

Orexigen Therapeutics, Inc.             DE       2.02,9.01            05/09/12

ORIGINOIL INC                           NV       8.01,9.01            05/09/12

ORMAT TECHNOLOGIES, INC.                DE       2.02,9.01            05/09/12

OSAGE EXPLORATION & DEVELOPMENT INC     DE       5.02,9.01            05/06/12

OXIGENE INC                             DE       2.02,9.01            05/09/12

PACIFIC MERCANTILE BANCORP              CA       5.02,7.01,9.01       05/06/12

PACIFIC MERCANTILE BANCORP              CA       2.02,9.01            05/07/12

Pacira Pharmaceuticals, Inc.            DE       2.02,9.01            05/09/12

PAN AMERICAN GOLDFIELDS LTD             DE       5.02                 05/08/12

PANHANDLE EASTERN PIPE LINE CO LP       DE       7.01,9.01            05/08/12

PARKER DRILLING CO /DE/                 DE       8.01,9.01            05/09/12

PATHEON INC                                      2.05,2.06            05/08/12

PC MALL INC                             DE       2.02,9.01            05/09/12

PCS EDVENTURES COM INC                  ID       2.03,9.01            05/03/12

PENN NATIONAL GAMING INC                PA       1.01,9.01            05/07/12

PENSKE AUTOMOTIVE GROUP, INC.           DE       5.07                 05/09/12

PEOPLES BANCORP INC                     OH       7.01,9.01            05/09/12

PEOPLES EDUCATIONAL HOLDINGS            MN       5.02                 05/07/12

PERFORMANCE TECHNOLOGIES INC \DE\       DE       2.02                 03/31/12

PETMED EXPRESS INC                      FL       8.01,9.01            05/07/12

PetroLogistics LP                       DE       1.01,5.02,5.03,9.01  05/03/12

PHH CORP                                MD       5.02,9.01            05/03/12

PINNACLE WEST CAPITAL CORP              AZ       7.01,9.01            05/09/12

PIZZA INN HOLDINGS, INC /MO/            MO       2.02,9.01            05/09/12

PLAINS ALL AMERICAN PIPELINE LP         DE       1.01,9.01            05/09/12

PLAINSCAPITAL CORP                      TX       8.01,9.01            05/08/12

PLAINSCAPITAL CORP                      TX       1.01,5.02,9.01       05/08/12

PLURISTEM THERAPEUTICS INC              NV       8.01                 05/09/12

PMFG, Inc.                              DE       2.02,9.01            05/09/12

POKERTEK, INC.                          NC       8.01,9.01            05/09/12

POTASH AMERICA, INC.                    NV       7.01,9.01            05/08/12

POWELL INDUSTRIES INC                   NV       2.02,9.01            05/08/12

POZEN INC /NC                                    1.01                 05/07/12

PRESIDENTIAL LIFE CORP                  DE       2.02                 03/31/12

Primoris Services Corp                  DE       2.02,5.07,8.01,9.01  05/04/12

PROTECTIVE LIFE CORP                    DE       2.02,9.01            05/08/12

ProUroCare Medical Inc.                 NV       3.02                 05/07/12

PROVIDENCE SERVICE CORP                 DE       2.02,7.01,9.01       05/09/12

PRUDENTIAL FINANCIAL INC                NJ       5.03,5.07,9.01       05/08/12

pSivida Corp.                           DE       2.02,9.01            05/09/12

Q LOTUS HOLDINGS INC                    NV       1.01,2.03,9.01       05/01/12

QUANTUM CORP /DE/                       DE       2.02,9.01            05/09/12

QUEST SOFTWARE INC                      CA       8.01,9.01            05/09/12

RADIO ONE, INC.                         DE       2.02,9.01            05/03/12

RAMTRON INTERNATIONAL CORP              DE       5.02,9.01            05/07/12

RARUS TECHNOLOGIES INC                  NV       1.01,9.01            05/08/12

RBC LIFE SCIENCES, INC.                 DE       2.02                 05/07/12

READING INTERNATIONAL INC               NV       2.02,9.01            05/09/12

RealD Inc.                              DE       8.01,9.01            05/08/12

REALTY INCOME CORP                      MD       5.07                 05/08/12

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

Regency Energy Partners LP              DE       2.02,7.01,9.01       05/09/12

RELM WIRELESS CORP                      NV       2.02,9.01            05/09/12

Renewable Energy Group, Inc.                     2.02,9.01            05/09/12

REPROS THERAPEUTICS INC.                DE       8.01,9.01            05/09/12

RESPONSYS INC                           CA       2.02,9.01            05/09/12

RigNet, Inc.                            DE       2.02,9.01            05/09/12

Riverview Financial Corp                PA       8.01,9.01            05/08/12

Rock-Tenn CO                            GA       7.01,9.01            05/09/12

ROGERS CORP                             MA       5.02,5.07            05/04/12

ROLLINS INC                             DE       8.01,9.01            05/08/12

Rose Rock Midstream, L.P.                        2.02,9.01            05/09/12

Rosetta Resources Inc.                  DE       7.01,9.01            05/09/12

RUBY TUESDAY INC                        GA       1.01,9.01            05/07/12

RYLAND GROUP INC                        MD       7.01,9.01            05/09/12

S&T BANCORP INC                         PA       7.01,9.01            05/09/12

Samson Oil & Gas LTD                    C3       8.01,9.01            05/07/12

Santander Drive Auto Receivables Trus   DE       1.01,8.01,9.01       05/07/12

Santander Drive Auto Receivables Trus   DE       8.01,9.01            05/09/12

SATCON TECHNOLOGY CORP                  DE       2.02,9.01            05/09/12

SAVIENT PHARMACEUTICALS INC             DE       1.01,2.03,3.02,7.01, 05/07/12
                                                 9.01
          
SCICLONE PHARMACEUTICALS INC            DE       2.02,9.01            05/09/12

SCIENTIFIC GAMES CORP                   DE       2.02,9.01            05/09/12

SemGroup Corp                           DE       2.02,9.01            05/09/12

SI Financial Group, Inc.                         8.01,9.01            05/08/12

SI Financial Group, Inc.                         7.01,9.01            05/09/12

SIGMA DESIGNS INC                       CA       2.01,9.01            05/04/12

Silicon Graphics International Corp     DE       2.02,9.01            05/09/12

SINGING MACHINE CO INC                  DE       5.02,9.01            05/07/12

SMF ENERGY CORP                         DE       1.01,1.03,7.01,9.01  04/27/12

SOAPSTONE NETWORKS INC.                 DE       8.01                 05/09/12

SOUTHERN UNION CO                       DE       7.01,9.01            05/08/12

SOUTHWESTERN ENERGY CO                  DE       7.01                 05/04/12

SPARTON CORP                            OH       7.01,9.01            05/09/12

Spectrum Brands Holdings, Inc.          DE       2.02,9.01            05/09/12

SPX CORP                                DE       5.02,5.07,9.01       05/03/12

SRS LABS INC                            DE       2.02,9.01            05/09/12

SS&C Technologies Holdings Inc          DE       8.01,9.01            05/09/12

SS&C Technologies Holdings Inc          DE       1.01,2.01,2.03,9.01  05/09/12

STAG Industrial, Inc.                            8.01,9.01            05/09/12

STANCORP FINANCIAL GROUP INC            OR       5.07                 05/07/12

Start Scientific, Inc.                  UT       5.02                 05/03/12

State Auto Financial CORP               OH       2.02,5.02,5.07,8.01, 05/03/12
                                                 9.01
          
STATER BROS HOLDINGS INC                DE       2.02,9.01            05/08/12

STIFEL FINANCIAL CORP                   DE       2.02,9.01            05/09/12

STONEMOR PARTNERS LP                    DE       2.02,9.01            05/09/12

STRATS (SM) TRUST FOR JPMORGAN CHASE             8.01,9.01            05/01/12

STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            04/30/12

Strats(SM) Trust for JPMorgan Chase C            8.01,9.01            05/01/12

STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            05/01/12

StrikeForce Technologies Inc.           NJ       1.01,3.02,9.01       05/03/12

Sucampo Pharmaceuticals, Inc.                    2.02,9.01            05/09/12

SUNLINK HEALTH SYSTEMS INC              OH       4.02,8.01,9.01       05/08/12

SUNPOWER CORP                           DE       4.01,9.01            05/03/12

SUPERIOR UNIFORM GROUP INC              FL       8.01                 05/09/12

SUPERMEDIA INC.                         DE       7.01                 05/09/12

SUPERTEX INC                            CA       2.02,9.01            05/08/12

SUPREME INDUSTRIES INC                  DE       5.02,9.01            05/03/12

Susser Holdings CORP                    DE       2.02                 05/09/12

SVB FINANCIAL GROUP                              7.01,9.01            05/09/12

Swank, Inc.                             DE       2.02,9.01            05/09/12

SXC Health Solutions Corp.              A6       8.01,9.01            05/09/12

Symetra Financial CORP                  DE       5.07                 05/04/12

SYNCHRONOSS TECHNOLOGIES INC                     8.01                 05/09/12

TALBOTS INC                             DE       8.01,9.01            05/05/12

TEGAL CORP /DE/                         DE       5.02                 05/03/12

TELIK INC                               DE       2.02,9.01            05/09/12

TELULAR CORP                            DE       2.02,8.01,9.01       05/03/12

Terreno Realty Corp                     MD       5.07                 05/04/12

TESLA MOTORS INC                        DE       2.02,9.01            05/09/12

TETRA TECHNOLOGIES INC                  DE       2.02,9.01            05/09/12

Thompson Creek Metals CO Inc.           A6       7.01,9.01            05/07/12

TILLY'S, INC.                           DE       1.01,2.03            05/03/12

Tim Hortons Inc.                        A6       2.02,5.02,7.01,8.01, 05/09/12
                                                 9.01
          
TIMKEN CO                               OH       5.07                 05/08/12

TOOTSIE ROLL INDUSTRIES INC             VA       5.07                 03/31/12

TRANS1 INC                                       5.02                 05/03/12

TRANSACT TECHNOLOGIES INC               DE       2.02                 05/09/12

TRC COMPANIES INC /DE/                  DE       2.02,9.01            05/07/12

Trunity Holdings, Inc.                  DE       1.01,2.01,3.02,4.01, 01/24/12    AMEND
                                                 5.01,5.02,5.06,8.01,
                                                 9.01
   
TRX INC/GA                              GA       2.02,9.01            03/31/12

TUCOWS INC /PA/                         PA       2.02,9.01            05/08/12

TYCO INTERNATIONAL LTD                  V8       8.01,9.01            05/08/12

UMH PROPERTIES, INC.                    MD       7.01,9.01            05/09/12

UNION BANKSHARES INC                    VT       2.02,9.01            05/09/12

UNITED GUARDIAN INC                     DE       2.02,9.01            05/09/12

UNITED INSURANCE HOLDINGS CORP.         DE       2.02,5.07,9.01       05/09/12

UniTek Global Services, Inc.            DE       2.02,2.03,9.01       05/03/12

UNIVERSAL DISPLAY CORP \PA\             PA       2.02                 05/09/12

UNIVERSAL INSURANCE HOLDINGS, INC.      DE       2.02,9.01            05/09/12

VADDA ENERGY CORP                       FL       1.01                 05/04/12

VALHI INC /DE/                          DE       2.02,7.01,9.01       05/08/12

VASCULAR SOLUTIONS INC                  MN       5.07                 05/04/12

VERIZON COMMUNICATIONS INC              DE       5.07                 05/03/12

VERSAR INC                              DE       5.02,9.01            05/08/12

Verso Paper Corp.                       DE       1.01,2.03,9.01       05/04/12

Verso Paper Corp.                       DE       1.01,8.01,9.01       05/09/12

VIASYSTEMS GROUP INC                    DE       2.02,3.01,5.02,5.07, 05/08/12
                                                 9.01
          
VIRTUSA CORP                                     2.02,8.01,9.01       05/08/12

Vitamin Shoppe, Inc.                    DE       5.02                 05/08/12

VOCERA COMMUNICATIONS, INC.                      2.02,5.02,9.01       05/07/12

Vocus, Inc.                             DE       9.01                 02/24/12    AMEND

VWR Funding, Inc.                       DE       2.02,7.01            05/09/12

W&T OFFSHORE INC                        TX       2.02,9.01            05/08/12

Walker & Dunlop, Inc.                   MD       2.02,9.01            05/09/12

WALTER INVESTMENT MANAGEMENT CORP       MD       2.02,9.01            05/09/12

Warner Chilcott plc                              5.07                 05/08/12

WEBSTER FINANCIAL CORP                  DE       8.01                 05/08/12

WebXU, Inc.                             DE       1.01,9.01            05/03/12

WEINGARTEN REALTY INVESTORS /TX/        TX       5.07                 05/08/12

WERNER ENTERPRISES INC                  NE       7.01,9.01            05/08/12

WESTAR ENERGY INC /KS                   KS       2.02,9.01            05/09/12

Western Union CO                        DE       7.01,9.01            05/09/12

Westinghouse Solar, Inc.                DE       1.01,5.02,8.01,9.01  05/07/12

Whitestone REIT                         TX       2.02,9.01            05/09/12

Whitestone REIT Operating Partnership   DE       2.02,9.01            05/09/12

WILLIAMS CONTROLS INC                   DE       2.02,9.01            05/01/12

Winthrop Realty Trust                   OH       5.07                 05/08/12

WIRELESS RONIN TECHNOLOGIES INC         MN       2.02,7.01,9.01       05/09/12

WISCONSIN ENERGY CORP                   WI       5.07                 05/03/12

WNC HOUSING TAX CREDIT FUND IV L P SE   CA       5.07                 05/08/12

WNC HOUSING TAX CREDIT FUND V LP SERI   CA       5.07                 05/08/12

WORTHINGTON ENERGY, INC.                NV       1.01,2.03,3.02,5.02, 04/18/12
                                                 9.01
          
XPO Logistics, Inc.                     DE       2.02,9.01            05/09/12

YAHOO INC                               DE       5.02,8.01,9.01       05/03/12

ZAGG Inc                                NV       8.01,9.01            05/09/12

Zayo Group LLC                          DE       4.02                 05/07/12

Zayo Group LLC                          DE       2.02,7.01,9.01       05/09/12

 

http://www.sec.gov/news/digest/2012/dig051012.htm


Modified: 05/10/2012