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rules and related mattersNotice of Renewal of the Joint CFTC-SEC Advisory Committee on Emerging RegulatoryThe Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues has been renewed by the SEC and CFTC in accordance with the requirements of the Federal Advisory Committee Act, 5 U.S.C. App. The Committee was originally established on May 10, 2010, to operate for a term of two years. The Committee’s objectives and scope of activities are to conduct public meetings, submit reports and recommendations to the CFTC and the SEC and otherwise to serve as a vehicle for discussion and communication on regulatory issues of mutual concern and their effect on the CFTC’s and SEC’s statutory responsibilities. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66932) ENFORCEMENT PROCEEDINGSSEC Charges Apartments America and Its Owners in Scheme to Defraud InvestorsOn May 10, 2012, the Securities and Exchange Commission charged a California-based real estate company and its owners with defrauding potential investors by boasting a false company track record to tout their purported real estate expertise while concealing the bankruptcy of their previous company. The SEC alleges that Michael J. Stewart, John J. Packard, and Randall A. Smith created Apartments America, LLC to pool investor proceeds from an unregistered offering of securities and invest primarily in apartment buildings in Southern California and Arizona. They solicited potential investors through a website, Internet advertisements and postings, cold calls, solicitation letters, and advertising in a national newspaper. They boasted a track record of producing more than a 60 percent annual return on investment and creating more than $100 million in net equity. According to the SEC’s complaint filed in federal court in Orange County, California, what potential investors did not know is that Apartments America was a new company with no assets and no track record. Stewart, Packard, and Smith were merely using the same investment strategy and selective statistics from their prior bankrupt company that had defaulted on $91.6 million in promissory notes held by 647 investors. According to the SEC’s complaint, Stewart lives in San Clemente, California, and Packard and Smith each live in Long Beach, California. Together they formed Apartments America in September 2009, just three months after Pacific Property Assets (PPA) filed for bankruptcy. Stewart and Packard owned PPA and Smith worked for them. In the months prior to defaulting on its promissory notes, PPA was actively soliciting investor funds and promising an annual interest rate of 24 to 30 percent. The SEC alleges that under Apartments America, whose securities have never been registered with the SEC, Stewart, Packard, and Smith similarly solicited investor funds with the same plan to purchase apartment buildings. But they engaged in a concerted scheme to distance themselves from PPA and its bankruptcy. In communications to potential investors, they selectively and misleadingly used some of PPA’s historic investments and touted them as Apartments America data. For instance, they arrived at their fabricated statistic of a 60 percent annual return on investment by cherry-picking PPA’s successful property investments while omitting the losses incurred on more than 50 properties in PPA’s portfolio at the time of its bankruptcy. Stewart, Packard, and Smith also misrepresented that they had created more than $100 million in net equity by calculating some of PPA’s property investments while omitting information about its bankruptcy and the losses on its bankrupt properties. They also falsely represented to potential investors that they were managing a property portfolio valued at more than $200 million when that in fact referred to PPA’s bankrupt property portfolio, which was actually being managed by the bankruptcy trustee. The Commission’s complaint, filed in U.S. District Court in Orange County, California, charges all defendants with violations of Sections 5(c), 17(a)(1), and 17(a)(3) of the Securities Act of 1933. The Commission also seeks permanent injunctions against all defendants, and conduct-based injunctions against Stewart, Packard, and Smith, prohibiting them or any entity they own or control from offering unregistered securities. In addition, the Commission seeks disgorgement of ill-gotten gains with prejudgment interest and civil penalties against all defendants. [SEC v. Apartments America, LLC, Michael J. Stewart, John J. Packard, Randall A. Smith, Civil Action No. SACV 12-754 DOC (ANx) (C.D. Cal.)] (LR-22365) Court Enters Final Judgment Against Defendants Philip Pritchard, Pietro Cimino and Global Development & Environmental Resources, Inc.The Securities and Exchange Commission announced that on April 23, 2012, the United States District Court for the Middle District of Florida entered a Final Judgment against Defendants Philip Pritchard, Pietro Cimino, and Global Development & Environmental Resources, Inc. The Final Judgment orders Pritchard, Cimino, and Global to pay, jointly and severally, disgorgement in the amount of $2,122,625, plus $523,173.27 in prejudgment interest. The Final Judgment also orders Pritchard and Cimino to each pay a civil penalty of $130,000. The Commission commenced this action by filing its complaint on May 22, 2008. The complaint alleged defendants participated in a fraudulent "pump and dump" scheme to evade the registration provisions of the federal securities laws and then sell purportedly unrestricted Global shares during a fraudulent promotional campaign. The Commission previously announced on March 8, 2010 that following a five day trial, a seven member jury in the U.S. District Court in Tampa, Florida found Darko S. Mrakuzic liable for violating the anti-fraud and registration provisions of the federal securities laws in connection with the above scheme that netted Mrakuzic more than $6 million in profits in violation of Sections 5(a) and (c) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934. On February 7, 2011, the Court ordered Mrakuzic to pay a total of $9,135,089 which included disgorgement of $6,568,568, pre-judgment interest of $2,306,521 and a civil penalty of $260,000. Global, Pritchard, Cimino, and Defendants Carmine J. Bua, Anthony M. Cimini, Sr., and Dante M. Panella, all previously settled the Commission’s anti-fraud and securities registration charges against them by consenting, without admitting or denying the Commission’s allegations, to permanent injunctions. All the individuals consented to penny stock bars, and Cimini, Pritchard, and Cimino consented to officer-and-director bars. The Court also previously ordered disgorgement and civil penalties against Cimini, Bua, and Panella. The Commission’s claim for a civil penalty against Global Development has been voluntarily dismissed. [SEC v. Global Development & Environmental Resources, Inc., et al., Civil Action No. 8:08-CV-993-T27MAP (M.D. Fla.)] (LR-22366) SEC Charges Former Oil Company Executive With Insider TradingThe Securities and Exchange Commission today announced charges against a former executive at a Bakersfield, Calif.-based oil and gas production company for insider trading in his company’s stock using confidential information received while he was the CEO and chairman of the board. The Commission alleges that Frank Lynn Blystone received e-mail updates prior to his March 5, 2010, retirement from Tri-Valley Corporation that contained confidential information about the company’s ongoing efforts to raise capital and problems it had encountered in a securities offering. Based on the non-public information he received, Blystone liquidated stock he held in a brokerage account shortly before a Tri-Valley announcement on April 6, 2010, that it had entered into an agreement with six institutional investors to sell its securities at a deep discount from the prevailing market price. Blystone avoided losses of approximately $36,000 when the company’s stock price fell 38 percent after the announcement. Blystone has agreed to pay $75,000 to settle the Commission’s charges without admitting or denying the allegations. According to the Commission’s complaint filed in the U.S. District Court for the Eastern District of California, based on the confidential information he received, Blystone concluded that the terms of a contemplated securities offering by Tri-Valley would be onerous. He foresaw that either the company’s securities would be sold at a discount to the market price or additional securities would be issued if the price of the stock fell, which would dilute the value of Tri-Valley’s stock. After leaving the company, Blystone’s concerns about Tri-Valley’s securities offering were reinforced when he learned of plans to sell two oil drilling leases in what he characterized in an e-mail to a friend as a “fire sale.” Therefore, Blystone liquidated 50,100 shares of Tri-Valley stock that he held in a brokerage account. He sold 90 percent of those shares on April 5, the day before Tri-Valley’s public announcement. The complaint charges Blystone with violating Section 17(a)(1) and (3) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5(a) and (c) thereunder. Blystone agreed to pay disgorgement of $36,267, prejudgment interest of $2,493, and a penalty of $36,267. He also agreed to the entry of a final judgment permanently enjoining him from violating Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 and barring him from serving as an officer or director of a public company. The settlement is subject to court approval. [SEC v. Frank Lynn Blystone, United States District Court for the Eastern District of California, Civil Action No. 1:12-CV-00774 LJO (GSAx) (E.D. Cal.)] (LR-22367) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC to institute an excess order fee (SR-NASDAQ-2012-055) 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 May 14. (Rel. 34-66951) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-041) to amend the Fees Schedule 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 May 14. (Rel. 34-66953) A proposed rule change (SR-NSX-2012-07) filed by National Stock Exchange to clarify the purpose of, and statutory basis for, the May 1, 2012 changes to the NSX fee and rebate schedule 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. 34-66958) A proposed rule change filed by NYSE Amex LLC to amend the NYSE Amex Equities Price List for certain fees relating to transactions in Exchange-Listed Securities and trading pursuant to Unlisted Trading Privileges of securities listed on the Nasdaq Stock Market LLC (SR-NYSEAmex-2012-28) 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 May 14. (Rel. 34-66959) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-38) to amend transaction fees and rebates for certain complex orders traded on the Exchange 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. 34-66961) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2012-35) to amend transaction fees and rebates for complex orders executed on the Exchange 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. 34-66962) Notice of Filing and Immediate Effectiveness of Amendment to the Plan For the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standardized OptionsA proposed amendment to the Plan for the Purpose of Developing and Implementing Procedures to Facilitate the Listing and Trading of Standardized Options (4-443) filed by BOX Options Exchange LLC pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 to add BOX Options Exchange LLC as a Sponsor has become effective. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66952) Immediate Effectiveness of an Amendment to a National Market System PlanA proposed amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols filed by the BOX Options Exchange, LLC, in order to become a party to the plan, has become effective pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 and Rule 608 thereunder. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66957) Designation of Longer Period For Commission ActionThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proposed rule change (SR-MSRB-2012-04), filed by the Municipal Securities Rulemaking Board relating to proposed rule G-43, on broker’s brokers; proposed amendments to Rule G-8, on books and records; Rule G-9, on record retention; and Rule G-18, on execution of transactions; and a proposed interpretive notice on the duties of dealers that use the services of broker’s brokers. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66954) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-NYSEArca-2012-22) filed by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend NYSE Arca Equities Rule 7.45 to address the authority of the Exchange or Archipelago Securities LLC to cancel orders when a technical or systems issue occurs and describe the operation of an error account for Arca Securities. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66963) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 DST SYSTEMS INC, 333 WEST 11TH STREET, 5TH FL, KANSAS CITY, MO, 64105-1594, 8164356568 - 0 ($53,255,000.00) Equity, (File 333-181289 - May. 10) (BR. 03C) S-3 STAG Industrial, Inc., 99 HIGH STREET, 28TH FLOOR, BOSTON, MA, 02110, (617)574-4777 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-181290 - May. 10) (BR. 08B) S-3 STAG Industrial, Inc., 99 HIGH STREET, 28TH FLOOR, BOSTON, MA, 02110, (617)574-4777 - 0 ($101,895,750.00) Equity, (File 333-181291 - May. 10) (BR. 08B) S-3ASR MEDICIS PHARMACEUTICAL CORP, 7720 DOBSON ROAD, SCOTTSDALE, AZ, 85256, 2125992000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181292 - May. 10) (BR. 01B) S-8 Philip Morris International Inc., 120 PARK AVENUE, NEW YORK, NY, 10017, (917) 663-2000 - 0 ($2,589,300,000.00) Equity, (File 333-181298 - May. 10) (BR. 05A) S-3ASR FRONTIER COMMUNICATIONS CORP, HIGH RIDGE PK BLDG 3, STAMFORD, CT, 06905, 2036145600 - 0 ($0.00) Non-Convertible Debt, (File 333-181299 - May. 10) (BR. 11A) S-8 WAGEWORKS, INC., 1100 PARK PLACE, 4TH FLOOR, SAN MATEO, CA, 94403, 650-557-5200 - 6,029,556 ($46,438,162.86) Equity, (File 333-181300 - May. 10) (BR. 02) S-8 MARATHON OIL CORP, P O BOX 3128, HOUSTON, TX, 77253-3128, 7136296600 - 0 ($1,295,000,000.00) Equity, (File 333-181301 - May. 10) (BR. 04B) S-8 AUDIENCE INC, 440 CLYDE AVENUE, MOUNTAIN VIEW, CA, 94043, 650-254-2800 - 10,936,814 ($129,858,323.58) Equity, (File 333-181302 - May. 10) (BR. 10A) S-8 IRIS INTERNATIONAL INC, 9158 ETON AVENUE, CHATSWORTH, CA, 91311, 8187091244 - 0 ($20,755,000.00) Equity, (File 333-181303 - May. 10) (BR. 10A) S-8 PHI INC, 2001 SE EVANGELINE THRUWAY, -, LAFAYETTE, LA, 70508, - - 750,000 ($17,670,000.00) Equity, (File 333-181304 - May. 10) (BR. 05C) S-3ASR UNS Energy Corp, 88 EAST BROADWAY, TUCSON, AZ, 85701, 520-571-4000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181305 - May. 10) (BR. 02B) S-3 LIONS GATE ENTERTAINMENT CORP /CN/, 2700 COLORADO AVENUE, SUITE 200, SANTA MONICA, CA, 90404, 877-848-3866 - 0 ($113,739,871.00) Other, (File 333-181307 - May. 10) (BR. 05B) S-8 ARCH CAPITAL GROUP LTD., WESSEX HOUSE, 45 REID STREET, HAMILTON, D0, HM 12, 441-278-9250 - 0 ($165,914,200.00) Equity, (File 333-181308 - May. 10) (BR. 01B) S-3ASR NATIONAL PENN BANCSHARES INC, PHILADELPHIA AND READING AVES, PO BOX 547, BOYERTOWN, PA, 19512, 1-800-822-3321 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181309 - May. 10) (BR. 07B) S-3 ODYSSEY MARINE EXPLORATION INC, 5215 WEST LAUREL STREET, TAMPA, FL, 33607, (813) 876-1776 - 8,658,295 ($24,243,227.00) Equity, (File 333-181310 - May. 10) (BR. 05B) S-8 MIPS TECHNOLOGIES INC, 955 EAST ARQUES AVENUE, SUNNYVALE, CA, 94085-4521, 4085305000 - 3,000,000 ($17,869,500.00) Equity, (File 333-181313 - May. 10) (BR. 10B) S-1 SUBURBAN PROPANE PARTNERS LP, P O BOX 206, 240 ROUTE 10 WEST, WIPPANY, NJ, 07981, 9738875300 - 13,892,587 ($570,776,937.00) Limited Partnership Interests, (File 333-181314 - May. 10) (BR. 02B) S-3ASR SUN COMMUNITIES INC, 27777 FRANKLIN ROAD, SUITE 200, SOUTHFIELD, MI, 48034, 2482082500 - 0 ($0.00) Other, (File 333-181315 - May. 10) (BR. 08C) F-1 NQ Mobile Inc., No. 4 Building, 11 Heping Li East Street, Dongcheng District, Beijing, F4, 100013, (86-10) 8565-5555 - 0 ($90,000,000.00) ADRs/ADSs, (File 333-181316 - May. 10) (BR. 03B) S-8 RESMED INC, 9001 SPECTRUM CENTER BLVD., SAN DIEGO, CA, 92123, 8587462400 - 0 ($417,022,287.00) Equity, (File 333-181317 - May. 10) (BR. 10B) S-8 REGAL ENTERTAINMENT GROUP, 7132 REGAL LANE, KNOXVILLE, TN, 37918, 865-922-1123 - 0 ($71,150,000.00) Equity, (File 333-181318 - May. 10) (BR. 05C) S-8 GLIMCHER REALTY TRUST, 180 EAST BROAD STREET, COLUMBUS, OH, 43215, 6146219000 - 4,500,000 ($44,505,000.00) Equity, (File 333-181319 - May. 10) (BR. 08B) S-3 ELEPHANT TALK COMMUNICATIONS CORP, SCHIPHOL BOULEVARD 249, 1118 BH SCHIPHOL, P7, XXXXX, 31 20 6535916 - 23,421,704 ($44,969,671.68) Equity, (File 333-181320 - May. 10) (BR. 11C) S-3ASR PFIZER INC, 235 E 42ND ST, NEW YORK, NY, 10017, 2125732323 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181321 - May. 10) (BR. 01B) S-3 ADEPT TECHNOLOGY INC, 5960 INGLEWOOD DRIVE, PLEASANTON, CA, 94588, 9252453400 - 0 ($15,000,000.00) Equity, (File 333-181322 - May. 10) (BR. 10A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 21ST CENTURY HOLDING CO FL 2.02,9.01 05/10/12 3M CO DE 8.01 05/08/12 AbitibiBowater Inc. DE 8.01,9.01 05/09/12 ABRAXAS PETROLEUM CORP NV 7.01,9.01 05/10/12 ACCO BRANDS CORP DE 2.02,9.01 05/10/12 ACI WORLDWIDE, INC. DE 7.01,9.01 05/10/12 ACME PACKET INC DE 5.07 05/04/12 ACORN ENERGY, INC. DE 2.02,9.01 05/10/12 ACTUATE CORP DE 5.02,9.01 05/08/12 ADCARE HEALTH SYSTEMS INC OH 2.02,9.01 05/10/12 ADTRAN INC DE 8.01,9.01 05/06/12 ADTRAN INC DE 5.07 05/09/12 Advanced BioEnergy, LLC DE 1.01 05/04/12 ADVOCAT INC DE 2.02,9.01 05/09/12 AEROFLEX HOLDING CORP. DE 2.02,9.01 05/10/12 Affinia Group Intermediate Holdings I DE 2.02,9.01 05/10/12 Affinity Gaming, LLC NV 1.01,1.02,2.03,8.01, 05/04/12 9.01 AFLAC INC GA 5.07 05/07/12 Agricon Global Corp DE 8.01,9.01 05/09/12 AIR METHODS CORP DE 5.02 05/04/12 Air Transport Services Group, Inc. DE 2.02,9.01 05/10/12 ALCOA INC PA 5.03,5.07,9.01 05/04/12 ALERE INC. DE 8.01 05/10/12 ALEXANDER & BALDWIN INC HI 2.02,8.01,9.01 05/09/12 Alexza Pharmaceuticals Inc. DE 2.02,9.01 05/10/12 ALICO INC FL 2.02,9.01 05/10/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/10/12 Alliance Holdings GP, L.P. DE 7.01,9.01 05/09/12 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 05/09/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 05/09/12 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 05/09/12 ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 05/10/12 ALTAIR NANOTECHNOLOGIES INC Z4 2.02,9.01 05/10/12 AMAG PHARMACEUTICALS INC. DE 7.01,9.01 05/09/12 AMAG PHARMACEUTICALS INC. DE 3.03,5.02,9.01 05/06/12 AMC Networks Inc. DE 2.02,9.01 05/10/12 AMERICAN APPAREL, INC DE 2.02,9.01 05/10/12 AMERICAN INDEPENDENCE CORP DE 2.02,9.01 03/31/12 AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 05/10/12 AMERICAN INTERNATIONAL GROUP INC DE 5.02,9.01 05/10/12 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 05/10/12 American Realty Capital Daily Net Ass MD 1.01,2.01,9.01 05/09/12 AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.02,9.01 05/09/12 American Renal Associates Holdings, I DE 2.02,7.01,9.01 05/10/12 American Renal Holdings Inc. DE 2.02,7.01,9.01 05/10/12 AMES NATIONAL CORP IA 8.01,9.01 05/09/12 AMICUS THERAPEUTICS INC DE 2.02,9.01 05/10/12 Anacor Pharmaceuticals Inc DE 2.02,9.01 05/10/12 AP PHARMA INC /DE/ DE 2.02,9.01 05/10/12 Apollo Commercial Real Estate Finance MD 5.07 05/04/12 APPLIED MATERIALS INC /DE DC 2.05,2.06 05/09/12 Applied Nanotech Holdings, Inc TX 8.01 05/09/12 ARENA PHARMACEUTICALS INC DE 1.01 05/09/12 Armour Residential REIT, Inc. MD 7.01,9.01 05/10/12 Artio Global Investors Inc. DE 7.01,9.01 05/10/12 Ascent Capital Group, Inc. DE 2.02,7.01,9.01 05/08/12 ASSURED GUARANTY LTD D0 5.02,5.07 05/09/12 ATP OIL & GAS CORP TX 2.02,9.01 05/09/12 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 05/10/12 AUXILIUM PHARMACEUTICALS INC 2.02,7.01,9.01 05/10/12 AV Homes, Inc. DE 2.02,9.01 05/10/12 Avantair, Inc DE 2.02,9.01 05/10/12 AVI BIOPHARMA INC OR 2.02,9.01 05/10/12 Babcock & Wilcox Co DE 8.01 05/10/12 BankUnited, Inc. DE 5.07 05/09/12 BEAZER HOMES USA INC DE 5.02,9.01 05/09/12 BED BATH & BEYOND INC NY 1.01,8.01,9.01 05/08/12 BELDEN INC. DE 2.02,9.01 05/10/12 BELO CORP DE 5.03,5.07,9.01 05/08/12 Biodel Inc 2.02,9.01 05/10/12 Biodel Inc 3.01,9.01 05/10/12 BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 05/09/12 BioScrip, Inc. DE 2.02,9.01 05/09/12 BioScrip, Inc. DE 1.01,2.01,9.01 05/04/12 BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 05/10/12 BIOTIME INC CA 2.02,9.01 05/10/12 BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 05/10/12 BLACK BOX CORP DE 2.02,9.01 05/10/12 BLUEGREEN CORP MA 2.01,2.04,9.01 05/04/12 Bonanza Creek Energy, Inc. DE 2.02,9.01 05/10/12 BONANZA GOLD CORP. 4.01,9.01 05/03/12 BPZ RESOURCES, INC. TX 2.02,7.01,9.01 05/09/12 BRIGHTPOINT INC IN 5.02,5.07,9.01 05/04/12 BROOKS AUTOMATION INC DE 2.02,5.02,9.01 05/09/12 BRT REALTY TRUST MA 2.02,9.01 05/10/12 BRT REALTY TRUST MA 9.01 03/22/12 AMEND BSQUARE CORP /WA WA 2.02,9.01 05/10/12 BUILD A BEAR WORKSHOP INC DE 5.02,5.07,7.01,9.01 05/10/12 C H ROBINSON WORLDWIDE INC DE 8.01,9.01 05/10/12 CA, INC. DE 2.02,9.01 05/10/12 Cadista Holdings Inc. DE 5.02 05/04/12 Camelot Entertainment Group, Inc. DE 8.01,9.01 05/08/12 CAPSTEAD MORTGAGE CORP MD 7.01,9.01 05/09/12 CardioNet, Inc. CA 5.02,5.07,9.01 05/04/12 CAREER EDUCATION CORP DE 2.02,9.01 05/10/12 CARROLLTON BANCORP MD 5.07 05/08/12 CASCADE BANCORP OR 5.07 05/08/12 CBL & ASSOCIATES PROPERTIES INC DE 5.02,5.07,9.01 05/07/12 CD INTERNATIONAL ENTERPRISES, INC. FL 2.02,9.01 05/10/12 CECO ENVIRONMENTAL CORP DE 2.02,9.01 05/10/12 Cellceutix CORP NV 3.02,5.02,8.01,9.01 05/09/12 Celsion CORP DE 1.01 05/06/12 CEMPRA, INC. DE 2.02,9.01 05/10/12 CENTRAL ENERGY PARTNERS LP DE 5.02 05/09/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 2.02,9.01 05/10/12 CENTURY BANCORP INC MA 5.02 05/08/12 CENVEO, INC CO 2.02,5.02,9.01 05/09/12 CHENIERE ENERGY INC DE 1.01,9.01 05/09/12 CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 05/10/12 China Armco Metals, Inc. NV 5.02 05/04/12 China Nutrifruit Group LTD NV 5.02 05/10/12 China Shengda Packaging Group Inc. NV 3.01,9.01 05/10/12 CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 05/10/12 CHRISTOPHER & BANKS CORP DE 2.02,7.01,9.01 05/10/12 CIBER INC DE 5.07,8.01,9.01 05/09/12 Ciralight Global, Inc. NV 5.02 05/08/12 CLAYTON WILLIAMS ENERGY INC /DE DE 5.07 05/09/12 CLEAN HARBORS INC MA 5.02,5.07,9.01 05/07/12 Clearwater Paper Corp DE 5.07 05/07/12 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 05/08/12 CODEXIS INC 2.02,9.01 05/10/12 COFFEE HOLDING CO INC NV 8.01 05/10/12 COMPUTER TASK GROUP INC NY 5.07 05/09/12 COMVERGE, INC. DE 2.02,9.01 05/10/12 Con-way Inc. DE 5.02 05/08/12 CONSOL Energy Inc DE 1.04 05/08/12 Constellation Energy Partners LLC DE 2.02,9.01 05/10/12 Cooper-Standard Holdings Inc. DE 7.01,9.01 05/10/12 Cooper-Standard Holdings Inc. DE 5.07 05/09/12 Copano Energy, L.L.C. 7.01,9.01 05/10/12 COSI INC DE 8.01,9.01 05/04/12 COST PLUS INC/CA/ CA 1.01,8.01,9.01 05/08/12 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 05/09/12 COVANTA HOLDING CORP DE 5.07 05/09/12 CREDITRISKMONITOR COM INC NV 2.02,9.01 05/10/12 Crescent Financial Bancshares, Inc. 5.07 05/08/12 CRIMSON EXPLORATION INC. 2.02,9.01 05/09/12 CROSS COUNTRY HEALTHCARE INC DE 2.02,5.07,7.01,9.01 05/09/12 Crumbs Bake Shop, Inc. DE 2.02,9.01 05/10/12 CSP INC /MA/ MA 2.02 05/09/12 CUTERA INC DE 2.02,9.01 05/10/12 CYTRX CORP DE 1.01,2.02,9.01 05/10/12 DARLING INTERNATIONAL INC DE 2.02,9.01 05/10/12 DATA I/O CORP WA 7.01 05/10/12 Deer Consumer Products, Inc. NV 2.02,9.01 05/10/12 DEX ONE Corp DE 5.07 05/08/12 DGSE COMPANIES INC NV 5.02,9.01 05/08/12 Dialogic Inc. DE 2.02,9.01 05/09/12 DIGAGOGO VENTURES CORP DE 4.01,9.01 04/30/12 DineEquity, Inc DE 7.01,9.01 05/10/12 Discover Financial Services DE 2.03,8.01,9.01 05/07/12 DISCOVERY LABORATORIES INC /DE/ DE 5.02,9.01 05/04/12 DYNAVAX TECHNOLOGIES CORP DE 1.01,9.01 05/09/12 DYNEGY INC. DE 2.02,7.01,9.01 05/10/12 Eagle Bulk Shipping Inc. 2.02,8.01,9.01 05/09/12 EASTON-BELL SPORTS, INC. DE 2.02,9.01 05/07/12 EL PASO CORP/DE DE 8.01,9.01 05/10/12 ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 05/10/12 EMERITUS CORP\WA\ WA 5.07 05/09/12 ENDOCYTE INC DE 2.02,5.02,9.01 05/10/12 ENGLOBAL CORP NV 7.01,9.01 05/09/12 Enphase Energy, Inc. DE 2.02,9.01 05/10/12 ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 05/10/12 ENTERGY CORP /DE/ DE 5.07 05/04/12 Erickson Air-Crane Inc DE 2.02,9.01 05/10/12 EVERTEC, LLC PR 1.01,2.03,5.02,8.01, 05/04/12 9.01 ExactTarget, Inc. DE 2.02,9.01 05/10/12 Express Scripts Holding Co. DE 2.02,9.01 05/10/12 Express Scripts Holding Co. DE 7.01,9.01 05/10/12 FARMER BROTHERS CO CA 2.02,9.01 05/08/12 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 05/10/12 Federal Home Loan Bank of Atlanta X1 2.03 05/10/12 Federal Home Loan Bank of Chicago X1 2.03 05/07/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/07/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/08/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/10/12 Federal Home Loan Bank of New York X1 2.03,9.01 05/07/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/07/12 Federal Home Loan Bank of San Francis X1 2.03 05/07/12 Federal Home Loan Bank of Seattle 2.03 05/08/12 Federal Home Loan Bank of Topeka 2.03,9.01 05/07/12 FEDERAL HOME LOAN MORTGAGE CORP 5.02,9.01 05/09/12 Feihe International Inc UT 2.02,9.01 05/10/12 FIELDPOINT PETROLEUM CORP CO 2.02,7.01,9.01 05/10/12 FIRST BANCSHARES INC /MS/ MS 8.01,9.01 05/10/12 First California Financial Group, Inc DE 5.07 05/07/12 FIRST COMMUNITY BANCSHARES INC /NV/ NV 5.02 05/04/12 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 05/10/12 FIRST TRUST SENIOR FLOATING RATE INCO 7.01,9.01 05/10/12 FIRST UNITED CORP/MD/ MD 7.01,9.01 05/10/12 FIRST UNITED CORP/MD/ MD 5.07 05/10/12 FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 05/09/12 FIRST WEST VIRGINIA BANCORP INC WV 5.07 05/08/12 FIRSTCITY FINANCIAL CORP DE 2.02,7.01,9.01 05/10/12 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 05/09/12 FLUIDIGM CORP DE 2.02,9.01 05/10/12 Forestar Group Inc. DE 2.02,7.01,9.01 05/10/12 FORRESTER RESEARCH INC DE 5.02,5.07,9.01 05/08/12 Fortegra Financial Corp DE 2.02 05/10/12 Fortress International Group, Inc. DE 2.02,9.01 05/10/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 05/10/12 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 05/10/12 FTI CONSULTING INC MD 2.02,7.01,9.01 05/09/12 Full Circle Capital Corp MD 2.02,9.01 05/10/12 FX ENERGY INC NV 8.01,9.01 05/10/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/10/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/10/12 Gaming Partners International CORP NV 2.02,9.01 05/10/12 Gaming Partners International CORP NV 5.07 05/09/12 GENELINK INC PA 4.02,9.01 05/04/12 Genie Energy Ltd. DE 2.02,8.01,9.01 05/10/12 GenOn Energy, Inc. DE 2.02,9.01 05/10/12 GENVEC INC DE 2.02,9.01 05/10/12 GENWORTH FINANCIAL INC DE 2.02,9.01 05/10/12 GEO GROUP INC FL 2.02,5.07,9.01 05/04/12 GLEN BURNIE BANCORP MD 2.02,9.01 05/10/12 Global Telecom & Technology, Inc. DE 2.02,9.01 05/09/12 Globalstar, Inc. DE 2.02,7.01,9.01 05/10/12 GLOWPOINT, INC. DE 5.02 05/09/12 GOLDEN STAR RESOURCES LTD 2.02,9.01 05/09/12 GOLDRICH MINING CO AK 1.01,3.02,7.01,9.01 05/02/12 Greektown Superholdings, Inc. DE 5.07,8.01,9.01 05/08/12 GREENWAY MEDICAL TECHNOLOGIES INC 2.02,9.01 05/10/12 GTSI CORP DE 2.02,9.01 05/10/12 HALF ROBERT INTERNATIONAL INC /DE/ DE 5.02 05/09/12 Hallwood Group Inc DE 5.07 05/08/12 Halo Companies, Inc. DE 4.01,9.01 05/10/12 AMEND HANGER ORTHOPEDIC GROUP INC DE 7.01,9.01 05/10/12 Hawaiian Telcom Holdco, Inc. DE 8.01,9.01 04/27/12 HAWTHORN BANCSHARES, INC. MO 8.01,9.01 05/10/12 HAWTHORN BANCSHARES, INC. MO 8.01,9.01 05/09/12 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 05/10/12 HealthMarkets, Inc. DE 5.07 05/10/12 HeartWare International, Inc. DE 2.02,9.01 05/10/12 Heavy Earth Resources, Inc. 1.01,9.01 05/04/12 HESKA CORP DE 2.02,9.01 05/10/12 HIGHLANDS BANKSHARES INC /WV/ WV 5.07 05/10/12 HollyFrontier Corp DE 5.02,9.01 05/10/12 Homeowners Choice, Inc. FL 1.01,5.02 05/08/12 HORIZON PHARMA, INC. DE 2.02,9.01 05/10/12 HORNE INTERNATIONAL, INC. DE 1.01 05/10/12 HUSA Liquidating Corp DE 1.03,9.01 05/07/12 HYDROMER INC NJ 8.01 05/09/12 IDENTIVE GROUP, INC. DE 2.02,9.01 05/10/12 IDEXX LABORATORIES INC /DE DE 5.07 05/09/12 ILLINOIS TOOL WORKS INC DE 5.07 05/10/12 inContact, Inc. DE 5.02 05/08/12 INDEPENDENCE HOLDING CO DE 2.02,9.01 03/31/12 INDUSTRIAL SERVICES OF AMERICA INC /F FL 2.02,9.01 05/08/12 Information Services Group Inc. DE 2.02,9.01 05/09/12 INTELSAT S.A. N4 8.01 05/10/12 INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 05/08/12 INTERNATIONAL SHIPHOLDING CORP DE 5.02,9.01 05/07/12 INTEVAC INC CA 5.02,5.07,9.01 05/08/12 Investors Heritage Capital Corp KY 5.07,8.01 05/10/12 INVIVO THERAPEUTICS HOLDINGS CORP. NV 8.01 05/09/12 ITT Corp IN 5.07 05/08/12 IVANHOE ENERGY INC 2.02,7.01,9.01 05/09/12 JAKKS PACIFIC INC DE 5.02,9.01 05/08/12 JEFFERIES GROUP INC /DE/ DE 5.07 05/07/12 JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 05/09/12 JONES SODA CO WA 2.02,7.01,9.01 05/10/12 JOURNAL COMMUNICATIONS INC 5.07 05/08/12 Kat Gold Holdings Corp. NV 5.02 05/04/12 KBS Legacy Partners Apartment REIT, I MD 2.01,9.01 04/06/12 AMEND KBS Real Estate Investment Trust III, MD 2.01,9.01 03/27/12 AMEND KELLY SERVICES INC DE 5.07 05/09/12 KEMET CORP DE 2.02,7.01,9.01 05/10/12 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 05/10/12 KIT digital, Inc. DE 5.02,5.03,9.01 05/04/12 Kohlberg Capital CORP DE 2.02,9.01 05/10/12 KOHLS Corp WI 2.02,7.01,8.01,9.01 05/10/12 KONA GRILL INC DE 7.01,9.01 05/09/12 KOPIN CORP DE 2.02,9.01 05/10/12 KSW INC NY 8.01,9.01 05/09/12 KULICKE & SOFFA INDUSTRIES INC PA 1.01,2.03 05/07/12 LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 05/10/12 LAKELAND BANCORP INC NJ 5.07 05/09/12 LaPorte Bancorp, Inc. X1 8.01,9.01 05/10/12 Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 05/09/12 Liberty Global, Inc. DE 2.02,7.01 05/10/12 LIFE TIME FITNESS, INC. MN 5.02,9.01 05/08/12 Lifetech Industries Inc. NV 1.01 04/30/12 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 05/10/12 LIHUA INTERNATIONAL INC. DE 2.02,9.01 05/10/12 LIME ENERGY CO. DE 2.02,9.01 05/10/12 LKQ CORP DE 5.02,5.07,9.01 05/07/12 LOCAL.COM DE 2.02,9.01 05/10/12 LOUISIANA BANCORP INC LA 5.07 05/08/12 LSB FINANCIAL CORP IN 2.02,9.01 05/08/12 Lumber Liquidators Holdings, Inc. 5.07 05/10/12 LYRIS, INC. 2.02,9.01 05/10/12 MAC-GRAY CORP DE 2.02,9.01 05/10/12 MAGELLAN PETROLEUM CORP /DE/ DE 8.01,9.01 05/09/12 MAINSOURCE FINANCIAL GROUP IN 5.02,9.01 05/04/12 MANAGEMENT NETWORK GROUP INC 2.02,9.01 05/10/12 Mandalay Digital Group, Inc. DE 1.01,5.02,8.01,9.01 05/06/12 Manitex International, Inc. MI 2.02,9.01 05/10/12 MANNATECH INC TX 2.02,9.01 05/09/12 MARCHEX INC DE 1.01,5.02,5.07 05/04/12 MARTIN MIDSTREAM PARTNERS LP DE 1.01,2.03,9.01 05/10/12 MASCO CORP /DE/ DE 5.03,5.07,9.01 05/08/12 Mattersight Corp DE 2.02,4.02,7.01,9.01 05/10/12 MBIA INC CT 2.02,7.01,9.01 05/10/12 MCDERMOTT INTERNATIONAL INC R1 2.02,5.07,9.01 05/10/12 MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 05/10/12 MEDIACOM BROADBAND LLC DE 2.02,9.01 05/10/12 MEDIACOM LLC NY 2.02,9.01 05/10/12 MEDICAL PROPERTIES TRUST INC 2.02,9.01 05/10/12 MEDICIS PHARMACEUTICAL CORP DE 8.01,9.01 05/10/12 MEDICIS PHARMACEUTICAL CORP DE 7.01,8.01,9.01 05/10/12 MEDNAX, INC. FL 5.02,5.07,9.01 05/10/12 Medora Corp. 5.02,9.01 05/10/12 Memorial Production Partners LP DE 2.02,7.01,9.01 05/10/12 MERCADOLIBRE INC 8.01 05/10/12 MERCURY GENERAL CORP CA 5.07 05/09/12 META FINANCIAL GROUP INC DE 2.02,9.01 05/10/12 MetroCorp Bancshares, Inc. TX 5.02,5.07,9.01 05/07/12 MGP INGREDIENTS INC KS 2.02,7.01,9.01 05/09/12 MICROVISION INC DE 7.01,9.01 05/10/12 MIDDLEBY CORP DE 2.02,9.01 05/10/12 MISONIX INC NY 2.02,9.01 05/09/12 ML MACADAMIA ORCHARDS L P DE 2.02,9.01 05/10/12 Molycorp, Inc. DE 2.02,9.01 05/10/12 MONEYGRAM INTERNATIONAL INC 5.02 05/09/12 MPG Office Trust, Inc. MD 8.01,9.01 05/09/12 MURPHY OIL CORP /DE DE 8.01,9.01 05/09/12 MYLAN INC. PA 8.01,9.01 05/08/12 MZT Holdings, Inc. DE 8.01 05/10/12 NABI BIOPHARMACEUTICALS DE 2.02,9.01 05/10/12 NASB FINANCIAL INC MO 2.02,9.01 05/10/12 NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 05/10/12 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 05/10/12 NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 05/10/12 NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 05/10/12 NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 05/10/12 NATURAL GAS SERVICES GROUP INC 2.02,9.01 05/10/12 NATURAL HEALTH TRENDS CORP DE 2.02,9.01 05/10/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01,9.01 05/08/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 05/10/12 NELNET INC NE 2.02,9.01 05/09/12 NET 1 UEPS TECHNOLOGIES INC 2.02,7.01,9.01 05/10/12 New Mountain Finance Corp DE 5.07 05/08/12 NEWCASTLE INVESTMENT CORP MD 5.07 05/07/12 NEWELL RUBBERMAID INC DE 5.07 05/08/12 NEWLINK GENETICS CORP 2.02,9.01 05/10/12 NEWS CORP 8.01,9.01 05/10/12 NEWTEK BUSINESS SERVICES, INC. NY 7.01,9.01 05/08/12 NII HOLDINGS INC DE 5.07 05/09/12 NORDSTROM INC WA 2.02,5.07,7.01,8.01, 05/09/12 9.01 NORTEK INC DE 2.02,9.01 05/10/12 NORTEL NETWORKS CORP 2.02,9.01 05/10/12 NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 05/10/12 NORTHSIGHT CAPITAL, INC. NV 5.02 11/07/11 NTN BUZZTIME INC DE 2.02,9.01 05/10/12 Nuance Communications, Inc. DE 2.02,9.01 05/10/12 NUPATHE INC. DE 2.02,9.01 05/10/12 NVR INC VA 5.02 05/08/12 NYTEX Energy Holdings, Inc. DE 1.01,2.01,5.02,9.01 05/04/12 O REILLY AUTOMOTIVE INC 5.07 05/08/12 Oaktree Capital Group, LLC DE 2.02,9.01 05/10/12 OCEANFIRST FINANCIAL CORP DE 7.01,9.01 05/10/12 OCWEN FINANCIAL CORP FL 5.07 05/09/12 ODYSSEY MARINE EXPLORATION INC NV 1.01,2.03,3.02,9.01 05/10/12 OMEROS CORP WA 2.02,9.01 05/10/12 OMNI BIO PHARMACEUTICAL, INC. CO 1.01,9.01 05/09/12 OPTIMER PHARMACEUTICALS INC 2.02,5.02,5.03,5.07, 05/09/12 9.01 ORBCOMM Inc. DE 2.02,9.01 05/10/12 Orient Paper Inc. NV 2.02,9.01 05/10/12 Orion Marine Group Inc 8.01,9.01 05/10/12 ORMAT TECHNOLOGIES, INC. DE 5.07 05/10/12 OTELCO INC. DE 5.07 05/09/12 OVERLAND STORAGE INC CA 2.02,9.01 05/10/12 OWENS ILLINOIS INC /DE/ DE 5.07 05/10/12 P&F INDUSTRIES INC DE 2.02,9.01 05/10/12 Pacific Ethanol, Inc. DE 2.02,9.01 05/10/12 PAN AMERICAN GOLDFIELDS LTD DE 1.01,2.01 05/03/12 Patriot Coal CORP DE 7.01,9.01 05/10/12 PENNS WOODS BANCORP INC PA 5.02 05/07/12 PEPSICO INC NC 7.01 05/10/12 PERCEPTRON INC/MI MI 2.02,9.01 05/09/12 Perfumania Holdings, Inc. FL 9.01 04/17/12 AMEND PETROLEUM DEVELOPMENT CORP NV 2.02,9.01 05/10/12 PETROQUEST ENERGY INC DE 5.02,7.01,9.01 05/08/12 Philip Morris International Inc. VA 5.02,5.07,9.01 05/07/12 Phillips 66 DE 5.02 05/09/12 PICO HOLDINGS INC /NEW CA 2.02,9.01 05/10/12 Pinnacle Foods Finance LLC DE 2.02,9.01 05/10/12 PIPER JAFFRAY COMPANIES DE 5.07 05/09/12 PLUM CREEK TIMBER CO INC DE 5.02,5.07,9.01 05/08/12 PMC COMMERCIAL TRUST /TX TX 2.02,9.01 05/09/12 Point.360 CA 2.02,9.01 05/10/12 Portlogic Systems Inc. NV 1.01,9.01 05/07/12 PostRock Energy Corp DE 2.02,9.01 05/10/12 PRICELINE COM INC DE 2.02 05/09/12 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 05/10/12 PROCERA NETWORKS INC NV 2.02,9.01 05/10/12 PROGUARD ACQUISITION CORP 2.01,3.02,5.01,5.02, 05/07/12 5.03,5.05,5.06,9.01 PROLOR Biotech, Inc. NV 1.01,9.01 05/09/12 Protalix BioTherapeutics, Inc. FL 7.01,9.01 05/10/12 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01 05/09/12 PSS WORLD MEDICAL INC FL 2.02,2.05,7.01,8.01, 05/08/12 9.01 PUGET ENERGY INC /WA WA 5.02 05/08/12 PULTEGROUP INC/MI/ MI 5.07 05/09/12 PURE BIOSCIENCE, INC. DE 1.02,5.02 05/04/12 QR Energy, LP DE 2.02,9.01 05/10/12 Quad/Graphics, Inc. WI 2.02,9.01 05/09/12 QUAINT OAK BANCORP INC 5.07 05/09/12 QUALITY SYSTEMS, INC CA 2.02,9.01 05/10/12 QUALSTAR CORP CA 2.02,9.01 05/10/12 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 05/10/12 QUEST SOFTWARE INC CA 2.02,8.01,9.01 05/10/12 RADIAN GROUP INC DE 2.02,9.01 05/07/12 RARUS TECHNOLOGIES INC NV 8.01,9.01 05/09/12 REGAL ENTERTAINMENT GROUP DE 1.01,5.07,9.01 05/09/12 REPLIGEN CORP DE 2.01,9.01 12/20/11 AMEND RESPONSE GENETICS INC 2.02,9.01 05/10/12 Rexnord Corp DE 2.02,9.01 05/09/12 RLJ Lodging Trust MD 5.07 05/04/12 Roundy's, Inc. DE 2.02,9.01 05/10/12 RYDER SYSTEM INC FL 5.02,5.07,9.01 05/04/12 Sagent Pharmaceuticals, Inc. DE 2.02,9.01 05/10/12 SAJAN INC DE 2.02,9.01 05/10/12 Sally Beauty Holdings, Inc. 1.01,2.03,8.01,9.01 05/06/12 Sanchez Energy Corp DE 2.02,7.01,9.01 05/09/12 Sandalwood Ventures NV 1.01,3.02,5.01,5.02, 05/03/12 5.03,9.01 SAPIENT CORP DE 8.01,9.01 05/10/12 Scio Diamond Technology Corp NV 1.01,3.02,9.01 05/04/12 SCOLR Pharma, Inc. DE 1.01,2.03,3.02 05/04/12 SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 05/10/12 SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 05/09/12 SERVICEMASTER CO DE 2.02,9.01 05/10/12 SIGMA LABS, INC. NV 5.02 05/04/12 SILGAN HOLDINGS INC DE 8.01,9.01 05/10/12 SMSA Katy Acquisition Corp NV 1.01,5.01,5.02,9.01 05/09/12 Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 05/10/12 SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 05/07/12 SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 05/10/12 SPARK NETWORKS INC DE 2.02,9.01 05/10/12 Spirit Airlines, Inc. DE 7.01,9.01 05/10/12 Spy Inc. DE 2.02,9.01 05/10/12 SquareTwo Financial Corp DE 2.02,9.01 05/10/12 STANDARD PACIFIC CORP /DE/ DE 5.07 05/09/12 STANDARD PARKING CORP DE 2.02,7.01 05/09/12 STARTEK INC DE 2.02,5.07,9.01 05/07/12 State Auto Financial CORP OH 7.01,9.01 05/08/12 Steadfast Income REIT, Inc. MD 2.02,9.01 05/10/12 STEMCELLS INC DE 2.02,9.01 05/10/12 Stevia Agritech Corp. 5.03,8.01,9.01 05/07/12 AMEND STONERIDGE INC OH 5.07 05/07/12 STRATASYS INC DE 2.02,8.01,9.01 05/09/12 STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,9.01 05/10/12 SUN COMMUNITIES INC MD 1.01,9.01 05/10/12 SUNPOWER CORP DE 3.03,5.07,9.01 05/09/12 Sunshine Heart, Inc. DE 2.02,9.01 05/10/12 SUPERCONDUCTOR TECHNOLOGIES INC DE 5.02,9.01 05/04/12 SUTRON CORP VA 2.02,5.07,9.01 05/08/12 SYNCHRONOSS TECHNOLOGIES INC 5.07 05/08/12 SYNERGY PHARMACEUTICALS, INC. DE 8.01,9.01 05/09/12 SYNTHESIS ENERGY SYSTEMS INC DE 2.02,9.01 05/10/12 SYPRIS SOLUTIONS INC DE 5.07 05/08/12 TE Connectivity Ltd. V8 8.01 05/10/12 TEJON RANCH CO DE 5.07 05/09/12 TEJON RANCH CO DE 5.02,9.01 05/10/12 TELEFLEX INC DE 5.07 05/04/12 TENGION INC DE 7.01,9.01 05/10/12 TESCO CORP 2.02,9.01 05/03/12 THERAGENICS CORP DE 2.02 05/10/12 THERMOGENESIS CORP DE 2.02,9.01 05/10/12 Thermon Group Holdings, Inc. DE 1.01,5.02,9.01 05/04/12 Tim Hortons Inc. A6 1.01,3.03,5.02,5.07, 05/10/12 9.01 Tonix Pharmaceuticals Holding Corp. NV 5.02,7.01,9.01 05/09/12 TOWERSTREAM CORP DE 2.02,9.01 05/10/12 TRANSGENOMIC INC DE 5.02 05/04/12 TRANZYME INC DE 2.02,9.01 05/10/12 Travelport LTD D0 2.02,9.01 05/10/12 TRESORO MINING CORP. NV 8.01,9.01 05/04/12 TRI COUNTY FINANCIAL CORP /MD/ MD 2.02,5.02,5.07,9.01 05/07/12 TRUSTMARK CORP MS 5.07 05/08/12 TYLER TECHNOLOGIES INC DE 5.07 05/10/12 Ulta Salon, Cosmetics & Fragrance, In DE 1.01,9.01 05/09/12 UNITED BANCORP INC /MI/ MI 5.07 05/08/12 UNITED RENTALS INC /DE DE 9.01 04/30/12 AMEND UNS Energy Corp AZ 5.07,8.01,9.01 05/04/12 US ENERGY CORP WY 2.02,9.01 05/10/12 USANA HEALTH SCIENCES INC UT 8.01,9.01 05/09/12 UWHARRIE CAPITAL CORP NC 5.07 05/08/12 VALHI INC /DE/ DE 8.01,9.01 05/10/12 VALIDUS HOLDINGS LTD 5.02,9.01 05/07/12 VERAMARK TECHNOLOGIES INC DE 2.02,9.01 05/09/12 VERENIUM CORP DE 2.02,9.01 05/10/12 VISANT CORP 2.02,9.01 05/10/12 VISTA GOLD CORP B0 2.02,7.01,9.01 05/08/12 Vitacost.com, Inc. DE 2.02,9.01 05/10/12 VIVUS INC CA 2.02,9.01 05/07/12 VOLTERRA SEMICONDUCTOR CORP 1.01,9.01 05/08/12 VUMEE INC. NV 1.01,5.03,7.01,9.01 05/02/12 W&T OFFSHORE INC TX 1.01,2.03,5.07,9.01 05/07/12 WASHINGTON FEDERAL INC WA 8.01,9.01 05/10/12 WEIGHT WATCHERS INTERNATIONAL INC VA 5.07 05/08/12 WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 05/08/12 WEST PHARMACEUTICAL SERVICES INC PA 1.01,1.02,2.03,5.02, 04/27/12 AMEND 5.07,9.01 WEST SUBURBAN BANCORP INC IL 5.07 05/09/12 Westinghouse Solar, Inc. DE 2.02,9.01 05/09/12 Westway Group, Inc. DE 8.01,9.01 05/10/12 WHITE MOUNTAIN TITANIUM CORP NV 8.01 04/30/12 Willdan Group, Inc. DE 2.02,9.01 05/10/12 WILLIAMS CONTROLS INC DE 5.02 05/04/12 WINDSTREAM CORP DE 2.02,9.01 05/10/12 WSFS FINANCIAL CORP DE 2.02,9.01 05/10/12 WYNDHAM WORLDWIDE CORP DE 5.02,5.03,5.07,9.01 05/10/12 XATA CORP /MN/ MN 5.02 05/04/12 Yankee Holding Corp. DE 2.02,9.01 05/10/12 YCC Holdings LLC DE 2.02,9.01 05/10/12 YELP INC DE 1.01,9.01 05/09/12 YOUNG INNOVATIONS INC MO 5.02,5.07,9.01 05/08/12 Z TRIM HOLDINGS, INC IL 1.01,3.02,9.01 05/08/12 ZHONGPIN INC. DE 2.02,9.01 05/09/12 ZHONGPIN INC. DE 8.01,9.01 05/10/12 ZIOPHARM ONCOLOGY INC DE 5.02,9.01 05/08/12 ZIPCAR INC 1.01,2.03,9.01 05/09/12
http://www.sec.gov/news/digest/2012/dig051112.htm
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