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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-107
June 4, 2012

Commission Announcements

SEC Charges Company Officers and Penny Stock Promoters in Kickback and Market Manipulation Schemes

The Securities and Exchange Commission today charged several penny stock companies and their officers as well as three penny stock promoters involved in various stock schemes in which bribes and kickbacks were paid to hype microcap stocks and illegally generate stock sales.

These charges are the latest in a series of cases in which the SEC has worked closely with the U.S. Attorney’s Office for the Southern District of Florida and the Federal Bureau of Investigation to uncover penny stock schemes. Prior charges were filed by the SEC against other penny stock violators in October 2010, December 2010, and June 2011.

According to the SEC’s complaints filed in U.S. District Court for the Southern District of Florida, some of these latest schemes involved the payment of undisclosed kickbacks to a pension fund manager in exchange for the fund’s purchase of restricted shares of stock in the various microcap companies. Other schemes involved an undisclosed bribe that was to be paid to a stockbroker who agreed to purchase a microcap company’s stock in the open market for his customers’ discretionary accounts.

“The company officers and promoters in many of these schemes disguised their kickbacks as payments to phony consulting companies that performed no actual work,” said Eric I. Bustillo, Director of the SEC’s Miami Regional Office. “These illegal activities were fully intended to artificially inflate the stock volume and prices of these penny stock companies to the detriment of investors.”

The SEC’s complaints allege the following penny stock companies and individuals perpetrated the various stock schemes:

  • Angel Acquisition Corp. (AGEL) based in Carson City, Nev., and Carlsbad, Calif. (now known as Biogeron Inc.) President and CFO Harold Steven Bonenberger of Carlsbad.
  • Clean Coal Technologies Inc. (CCTC) based in New York City President and CEO Douglas D. Hague of Boca Raton, Fla.
  • Cotton & Western Mining Inc. (CWRN) based in Humble, Texas. President and CEO Robert L. Cotton of Houston.
  • Delivery Technology Solutions Inc. (DTSL) based in Boca Raton. CEO and Chairman Ryan F. Coblin of Boca Raton.
  • Optimized Transportation Management Inc. (OPTZ) based in San Antonio CEO Kevin P. Brennan of Pittsburgh.
  • OPTZ stock promoter Marc S. Page of Tiburon, Calif. OPTZ stock promoter Donald G. Huggins of St. Petersburg, Fla.
  • Sure Trace Security Corp. (SSTY) based in Philadelphia. Chairman and former president Michael M. Cimino of Philadelphia. President Joseph J. Repko of Hobe Sound, Fla.
  • US Farms Inc. (USFM) based in San Diego and Fallbrook, Calif. President and CEO Yan K. Skwara of San Diego.
  • Wound Management Technologies Inc. (WNDM) based in Fort Worth, Texas, and Fort Lauderdale, Fla. President, CEO, and Chairman Scott Haire of Fort Worth and Coral Springs, Fla.

The SEC additionally charged a stock promoter involved in pumping the stock of KCM Holdings Corp., a penny stock company charged in the SEC’s series of penny stock enforcement actions in June 2011. The SEC alleges that Matthew A. Connor, who lives in Amherst, Va., participated in a fraudulent scheme to hype KCM Holding’s stock.

The U.S. Attorney’s Office today announced criminal charges against the same individuals facing SEC civil charges.

The SEC’s complaints allege that these companies, officers, and stock promoters violated Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC is seeking financial penalties, disgorgement of ill-gotten gains plus prejudgment interest, and permanent injunctions against all the defendants. The SEC also seeks penny stock bars against each of the officers and promoters as well as officer-and-director bars against Bonenberger, Brennan, Cimino, Hague, Haire, and Skwara.

The SEC’s investigation was conducted in the Miami Regional Office by senior counsels Trisha D. Sindler and Michelle I. Bougdanos under the supervision of Assistant Regional Director Chedly C. Dumornay. The SEC’s litigation will be led by C. Ian Anderson, Edward D. McCutcheon, and James M. Carlson. The SEC acknowledges the assistance and cooperation of the U.S. Attorney’s Office for the Southern District of Florida and the FBI’s Miami Division in these investigations. (Press Rel. 2012-108; LR-22389)

Enforcement Proceedings

In the Matter of Ran H. Furman

On May 31, 2012, an Administrative Law Judge issued an Initial Decision as to Respondent Ran H. Furman (Furman) in Ran H. Furman, Admin. Proc. No. 3-14532. The Securities and Exchange Commission (Commission) issued its Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (OIP) on September 6, 2011. The OIP alleges that on July 8, 2011, the United States District Court for the Southern District of California found that Furman violated federal securities laws and permanently enjoined Furman from future violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13a-14, 13b2-1, and 13b2-2 thereunder, and from aiding and abetting violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 thereunder. SEC v. Retail Pro, Inc. (fka Island Pacific, Inc.), et al., Civil Action Number 08 CV 1620 WQH (RBB).

This Initial Decision finds that, in an action brought by the Commission before a court of competent jurisdiction, Furman was found to have violated the securities laws and was enjoined from future violations. The Initial Decision also finds that Furman has shown cause why he should not be permanently disqualified from practicing before the Commission. Therefore, the Initial Decision denies Furman the privilege of practicing or appearing before the Commission for a period of seven years. (Initial Decision No. 459; File No. 3-14532)

In the Matter of Central Capital Venture Corporation

An Administrative Law Judge issued an Order Making Findings, Issuing Cease and Desist, and Imposing Remedial Sanctions by Default (Order) in Central Capital Venture Corporation, Admin. Proc. 3-14823. The Order finds that Central Capital Venture Corporation (Central Capital), a company with securities registered pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act) that had elected to be regulated as a business development company, violated provisions of the Investment Company Act of 1940 (Investment Company Act), the Exchange Act, and regulations issued pursuant to both statutes.

The Order requires that Central Capital cease and desist from committing or causing violations, and any future violations, of Sections 17(g) and 18(i) of the Investment Company Act and Investment Company Act Rules 17g-1 and 38a-1, and Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13; it also revokes the registration of each class of Central Capital’s registered securities and its election as a business development company. (Rel. 34-67098; IC-30094; File No. 3-14823)

Commission Revokes Registration of Securities of TierOne Corporation For Failure to Make Required Filings

On June 4, 2012, the Commission revoked the registration of each class of registered securities of TierOne Corporation (TierOne) of Lincoln, Nebraska, for failure to make required filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, TierOne consented to the entry of an Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities as to TierOne finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of TierOne’s securities pursuant to Section 12(j) of the 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 the company.

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

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

(Rel. 34-67099; File No. 3-14901)

SEC Charges Three Former CONSOL Energy, Inc. Employees with Illegal Trading in Advance of an Acquisition Announcement

The Securities and Exchange Commission announced today that on June 1, 2012, it filed a civil action against three former employees of CONSOL Energy, Inc. (CONSOL) for illegal insider trading in CONSOL securities in advance of the company’s public announcement, on March 15, 2010, that it entered into an agreement to acquire the Appalachian Exploration and Production business of Dominion Resources, Inc. (Dominion). The Commission alleges that on March 9, 2010, both Charles E. Mazur Jr., CONSOL’s former Director of Corporate Strategy, and Joseph A. Cerenzia, CONSOL’s former Director of Public Relations, received a confidential email stating that the acquisition of Dominion was going to be announced prior to the opening of the market on March 15, 2010. Both individuals traded CONSOL securities after learning of the pending acquisition announcement. James S. Poland, CONSOL’s former General Manager of Engineering, conducted an environmental survey of the Dominion acquisition. Poland also traded CONSOL stock after receiving nonpublic information about the acquisition and when it would be announced.

The Commission’s complaint alleges that Mazur violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5(a) and (c) thereunder, and alleges that Poland and Cerenzia violated of Sections 17(a)(1) and (3) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Exchange Act and Rules 10b-5(a) and (c) thereunder, and seeks permanent injunctions, disgorgement, prejudgment interest and civil penalties.

The defendants agreed to settle the Commission’s charges, without admitting or denying the allegations in the Commission’s complaint. Under the settlements, the defendants consented to Final Judgments that will permanently enjoin Mazur from violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder; and permanently enjoin Poland and Cerenzia from violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Mazur agreed to pay approximately $97,171 in disgorgement, prejudgment interest, and civil penalties. Poland agreed to pay approximately $19,600 in disgorgement, prejudgment interest, and civil penalties. Cerenzia agreed to pay approximately $15,453 in disgorgement, prejudgment interest, and civil penalties. The settlements are subject to court approval.

The Commission acknowledges and appreciates the assistance of the Options Regulatory Surveillance Authority (ORSA). [SEC v. Charles E. Mazur, Jr. et al., Civil Action No. 12-cv-00731-NBF (W.D.Pa.)] ( LR-22387)

Court Enters Final Judgments, Including Indemnity Bars, Against Rajnish K. Das and Stormy L. Dean, Former CFOs of InfoUSA, Inc.

The Securities and Exchange Commission announced today that on May 29, 2012, the Honorable Laurie Smith Camp, Chief United States District Judge for the District of Nebraska, entered final judgments against Rajnish K. Das and Stormy L. Dean, two former chief financial officers of infoUSA, Inc., an Omaha-based database marketing company. The court entered final judgments against Das and Dean permanently enjoining them each from violating Sections 10(b), 13(b)(5), and 14(a) of the Securities Exchange Act of 1934; Rules 10b-5, 13a-14, 13b2-1, 13b2-2, 14a-3, 14a-9 thereunder; and aiding and abetting violations of Exchange Act Sections 13(a) and 13(b)(2), and Rules 12b-20 and 13a-1 thereunder. Das was also enjoined from violating Exchange Act Rule 13a-13. The court also ordered that Das and Dean each were barred from serving as an officer and director of a public company for a period of three years from the date of the final judgments. In addition, the court ordered Das and Dean to pay civil penalties of $50,000 each, and specifically prohibited them from seeking payment, reimbursement, or indemnification from any third party for payment of the civil penalties or the cost of the bond required to stay enforcement of the civil penalties in the event of an appeal. The court also declared that Das and Dean each acted in bad faith towards the shareholders of infoUSA, Inc. and that the defendants each knew their actions were contrary to the interests of the company and its shareholders.

On March 2, 2012, after approximately two hours of deliberations, an Omaha jury found Das and Dean each liable on all claims. At trial, the Commission argued former chief executive officer Vinod Gupta used company funds to pay for his personal expenses including private jet flights, yacht expenses, private club memberships, credit card expenses, and expenses associated with his homes and cars. The Commission argued that Das and Dean each authorized the company to pay for Gupta’s personal expenses and that they signed and certified Info’s false public filings which underreported Gupta’s executive compensation and related party transactions. In its Memorandum and Order on remedies, the court stated that “[t]he testimony and other evidence at trial clearly supported the jury’s verdicts” and “[t]he wrongdoing giving rise to this action was not an isolated incident, but a continuing and systematic misuse of corporate funds and failure to abide by SEC reporting requirements for executive compensation and related party transactions. Das and Dean continue to deny wrongdoing, despite clear and compelling evidence of their misconduct.” The case was prosecuted by Thomas Krysa, Gregory Kasper, and Nicholas Heinke of the Commission’s Denver Regional Office.

For further information, see Litigation Release No. 21451 (March 15, 2010), Litigation Release No. 22276 (March 6, 2012). [SEC v. Rajnish K. Das and Stormy L. Dean, Civ. No. 8:10CV102-LSC-FG3 (D. Neb.)] ( LR-22388)

Investment Company Act Releases

Hennion & Walsh, Inc. and Smart Trust

A notice has been issued giving interested persons until June 25, 2012, to request a hearing on an application filed by Hennion & Walsh, Inc. and Smart Trust for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A), (B) and (C) of the Act and under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act. The order would permit certain registered unit investment trusts to acquire shares of registered management investment companies and unit investment trusts both within and outside the same group of investment companies. (Rel. IC-30092 – May 31)

Self-Regulatory Organizations

Proposed Rule Change

The Financial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2012-024) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to FINRA Rule 4210 Margin Requirements. Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67088)

Approval of Proposed Rule Changes

The Commission issued notice of filing of Amendments No. 1 and granted accelerated approval of proposed rule changes as modified by Amendments No. 1 (SR-BATS-2011-038; SR-BYX-2011-025; SR-BX-2011-068; SR-CBOE-2011-087; SR-C2-2011-024; SR-CHX-2011-30; SR-EDGA-2011-31; SR-EDGX-2011-30; SR-FINRA-2011-054; SR-ISE-2011-61; SR-NASDAQ-2011-131; SR-NSX-2011-11; SR-NYSE-2011-48; SR-NYSEAmex-2011-73; SR-NYSEArca-2011-68; SR-Phlx-2011-129), relating to trading halts due to extraordinary market volatility. Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67090)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by BATS-Y Exchange, Inc. to amend BYX rules related to the operation of BATS Post Only Orders and match trade prevention functionality (SR-BYX-2012-009) 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 June 4. (Rel. 34-67092)

A proposed rule change filed by BATS Exchange, Inc. to amend BATS rules related to the operation of BATS Post Only Orders and match trade prevention functionality (SR-BATS-2012-018) 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 June 4. (Rel. 34-67093)

A proposed rule change filed by NASDAQ OMX PHLX LLC to extend its FLEX no minimum value pilot program (SR-PHLX-2012-76) 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 June 4. (Rel. 34-67094)

Designation of Longer Period for Commission Action on a Proposed Rule Change

The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-ISE-2012-26) filed by the International Securities Exchange, LLC to list and trade option contracts overlying 10 shares of a security. Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67097)

Joint Industry Plan Releases

Order Approving, on a Pilot Basis, the National Market System Plan to Address Extraordinary Market Volatility

Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 of Regulation NMS thereunder, the Commission approved, on a pilot basis, the National Market System Plan to Address Extraordinary Market Volatility (File No. 4-631). Publication is expected in the Federal Register during the week of June 4. (Rel. 34-67091)

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-8     Medidata Solutions, Inc., 79 FIFTH AVENUE, 8TH FLOOR, NEW YORK, NY, 
        10003, 212.918.1800 - 1,500,000 ($42,150,000.00) Equity, 
        (File 333-181818 - Jun. 1) (BR. 03B)

S-3     QR Energy, LP, 1401 MCKINNEY STREET, SUITE 2400, HOUSTON, TX, 77010, 
        713-452-2230 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-181820 - Jun. 1) (BR. 04A)

S-3     Thermon Group Holdings, Inc., 100 THERMON DRIVE, SAN MARCOS, TX, 78666, 
        512-396-5801 - 0 ($619,915,572.40) Unallocated (Universal) Shelf, 
        (File 333-181821 - Jun. 1) (BR. 10B)

S-3     Macquarie Leasing Pty Ltd, LEVEL 3, 9 HUNTER ST, SYDNEY, C3, NSW 2000, 
        61 2 8232 3333 - 0 ($1,000,000.00) Asset-Backed Securities, 
        (File 333-181822 - Jun. 1) (BR. )

        8124641434 - 0 ($76,382,409.00) Equity, (File 333-181824 - Jun. 1) 
        (BR. 07C)

S-8     NEW ULM TELECOM INC, 400 2ND ST N, NEW ULM, MN, 56073, 5073544111 - 
        200,000 ($1,192,000.00) Equity, (File 333-181825 - Jun. 1) (BR. 11A)

        5416868685 - 0 ($4,525,000.00) Equity, (File 333-181826 - Jun. 1) 
        (BR. 07B)

S-B     POLAND REPUBLIC OF, 0 ($5,000,000,000.00) Debt, (File 333-181827 - 
        Jun. 1) (BR. DN)

S-8     EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 
        0 ($70,688.99) Equity, (File 333-181832 - Jun. 1) (BR. 03C)

S-1     Thwapr, Inc., 220 12TH AVENUE, 3RD FLOOR, NEW YORK, NY, 10001, 
        212-268-0220 - 211,767,635 ($10,164,846.00) Equity, (File 333-181834 - 
        Jun. 1) (BR. 02B)

S-8     VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155, 
        SAN DIEGO, CA, 92130, 760-230-8986 - 39,368,196 ($704,690.72) Equity, 
        (File 333-181835 - Jun. 1) (BR. 11A)

        A6, L4W 4LS, 905-629-3822 - 0 ($24,414,349.50) Equity, 
        (File 333-181836 - Jun. 1) (BR. 10B)

        ARLINGTON, TX, 76011, 8174603947 - 1,260,000 ($46,405,800.00) Equity, 
        (File 333-181837 - Jun. 1) (BR. 02A)

        10573, 9149348999 - 0 ($500,000,000.00) Other, (File 333-181838 - 
        Jun. 1) (BR. 01B)

S-8     Chesapeake Lodging Trust, 1997 ANNAPOLIS EXCHANGE PARKWAY, SUITE 410, 
        ANNAPOLIS, MD, 21401, (410) 972-4140 - 0 ($48,688,750.00) Equity, 
        (File 333-181840 - Jun. 1) (BR. 08C)

S-1     Legend Oil & Gas, Ltd., 1420 5TH AVE STE 2200, SEATTLE, WA, 98101, 
        206-274-5165 - 11,700,000 ($2,691,000.00) Equity, (File 333-181841 - 
        Jun. 1) (BR. 04A)

        (405) 775-5000 - 0 ($508,939,153.67) Equity, (File 333-181842 - Jun. 1) 
        (BR. )

S-8     MOTRICITY INC, 601 108TH AVE NE, SUITE 900, BELLEVUE, WA, 98004, 
        425-957-6200 - 3,600,000 ($2,304,000.00) Equity, (File 333-181843 - 
        Jun. 1) (BR. 03A)

        8019635112 - 458,000,000 ($337,100.00) Equity, (File 333-181845 - 
        Jun. 1) (BR. 09A)

S-8     Vocus, Inc., 4296 FORBES BOULEVARD, LANHAM, MD, 20706, (301) 459-2590 - 
        0 ($88,510,089.00) Equity, (File 333-181846 - Jun. 1) (BR. 11A)

S-8     HAEMONETICS CORP, 400 WOOD RD, BRAINTREE, MA, 02184, 7818487100 - 
        2,936,894 ($208,607,580.82) Equity, (File 333-181847 - Jun. 1) (BR. 10A)

N-2     Bluerock Total Alternatives Real Estate Fund, 450 WIRELESS BLVD., 
        HAUPPAUGE, NY, 11788, 631-470-2600 - 
        50,000,000 ($500,000,000.00) Equity, (File 333-181848 - Jun. 1) (BR. )

S-8     XOMA Corp, 2910 SEVENTH ST, BERKELEY, CA, 94710, 5106441170 - 
        7,000,000 ($16,415,000.00) Equity, (File 333-181849 - Jun. 1) (BR. 01A)

S-8     NetSpend Holdings, Inc., 701 BRAZOS STREET, SUITE 1300, AUSTIN, TX, 
        78701-2582, (512) 532-8200 - 0 ($14,680,000.00) Equity, 
        (File 333-181850 - Jun. 1) (BR. 07C)

        95134-1376, (408) 333-8000 - 65,000,000 ($302,250,000.00) Equity, 
        (File 333-181851 - Jun. 1) (BR. 03A)

S-8     NetSpend Holdings, Inc., 701 BRAZOS STREET, SUITE 1300, AUSTIN, TX, 
        78701-2582, (512) 532-8200 - 0 ($10,000,000.00) Equity, 
        (File 333-181852 - Jun. 1) (BR. 07C)

N-2     MacKenzie Realty Capital, Inc., 1640 SCHOOL STREET, MORAGA, CA, 94556, 
        925-631-9100 - 0 ($5,000,000.00) Equity, (File 333-181853 - Jun. 1) 
        (BR. )

Recent 8K Filings

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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


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


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


Cost Associated with Exit or Disposal Activities


Material Impairments


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


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


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


Changes in Control of Registrant


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


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


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


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


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT


ABBOTT LABORATORIES                     IL       5.02                 04/27/12    AMEND

Access Plans Inc                                 2.01,3.03,5.01,5.02, 05/31/12

ADAMS GOLF INC                          DE       2.01,3.01,3.03,5.01, 05/30/12
Allied World Assurance Co Holdings, A            5.02                 05/25/12

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       1.01,5.02,9.01       05/30/12

AMERICAN AIRLINES INC                   DE       8.01                 06/01/12

AMERICAN EAGLE OUTFITTERS INC           DE       1.01,5.02,7.01,9.01  05/24/12

American Energy Development Corp.       NV       2.01,3.02,7.01,9.01  03/12/12    AMEND

AMERICAN EQUITY INVESTMENT LIFE HOLDI   IA       8.01                 05/31/12

AMERICAN INTERNATIONAL VENTURES INC /   DE       1.01,2.01,9.01       05/31/12

American Midstream Partners, LP         DE       1.01,7.01,9.01       05/25/12

American Realty Capital Properties, I   MD       2.01,2.03,3.02,9.01  05/31/12

AMR CORP                                DE       8.01                 06/01/12

ANIXTER INTERNATIONAL INC               DE       1.01,9.01            05/31/12

Approach Resources Inc                  DE       5.02,5.07,9.01       05/31/12

ARROW FINANCIAL CORP                    NY       5.02,9.01            05/30/12

Ascena Retail Group, Inc.               DE       7.01,9.01            05/31/12

ASSURED GUARANTY LTD                    D0       7.01                 06/01/12

ATWOOD OCEANICS INC                     TX       7.01,9.01            05/30/12

AVI BIOPHARMA INC                       OR       3.01,9.01            05/31/12

BANCORPSOUTH INC                        MS       8.01,9.01            06/01/12

BANCTRUST FINANCIAL GROUP INC           AL       1.01,9.01            05/28/12

Beacon Federal Bancorp, Inc.            MD       1.01,9.01            05/31/12

BED BATH & BEYOND INC                   NY       8.01,9.01            06/01/12

BERKSHIRE HILLS BANCORP INC                      1.01,9.01            05/31/12

BIOCUREX INC                            A1       5.02                 05/24/12

BIOLIFE SOLUTIONS INC                   DE       1.01,8.01,9.01       05/30/12

BIOMARIN PHARMACEUTICAL INC             DE       1.01,9.01            05/31/12

BioMed Realty Trust Inc                 MD       5.07                 05/30/12

BIOSANTE PHARMACEUTICALS INC            DE       5.02,5.03,5.07,9.01  05/30/12

Black Sea Metals, Inc.                  NV       5.02                 05/25/12

BRINKER INTERNATIONAL INC               DE       7.01,9.01            05/31/12

BRINKER INTERNATIONAL INC               DE       7.01,9.01            06/01/12

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       7.01                 05/31/12

BROADVIEW NETWORKS HOLDINGS INC         DE       1.01,9.01            05/31/12

Burger King Holdings Inc                DE       5.02                 05/25/12

C&J Energy Services, Inc.               DE       5.02,5.07,9.01       05/29/12

CAESARS ENTERTAINMENT Corp              DE       5.02,9.01            05/30/12

CARMIKE CINEMAS INC                     DE       5.07                 05/30/12

CARROLS RESTAURANT GROUP, INC.                   1.01,1.02,2.01,2.03, 05/29/12
Carter Validus Mission Critical REIT,   MD       1.01,2.01,2.03,5.07, 05/25/12
CATALYST HEALTH SOLUTIONS, INC.         DE       8.01                 06/01/12

CBL & ASSOCIATES PROPERTIES INC         DE       3.02                 06/01/12

CENTRAL EUROPEAN MEDIA ENTERPRISES LT            1.01,9.01            05/29/12

Changda International Holdings, Inc.    NV       5.02                 05/28/12

CHARMING SHOPPES INC                    PA       2.02,9.01            06/01/12

CHESAPEAKE ENERGY CORP                  OK       7.01,9.01            05/25/12

CHICOPEE BANCORP, INC.                           8.01,9.01            05/31/12

CHIPOTLE MEXICAN GRILL INC                       5.07                 05/31/12

CHOICE HOTELS INTERNATIONAL INC /DE     DE       2.02,9.01            03/31/12    AMEND

Chrysler Group LLC                      DE       8.01,9.01            06/01/12

CIENA CORP                              DE       5.02,9.01            06/01/12

CINCINNATI FINANCIAL CORP               OH       1.01,1.02,2.03,7.01, 05/31/12
CIRRUS LOGIC INC                        DE       8.01,9.01            06/01/12

CMG HOLDINGS GROUP, INC.                NV       8.01                 05/31/12

COLE CORPORATE INCOME TRUST, INC.       MD       5.07                 05/30/12

Cole Credit Property Trust II Inc       MD       5.07                 05/31/12

Cole Credit Property Trust Inc          MD       5.07                 05/30/12

COLE REAL ESTATE INCOME STRATEGY (DAI   MD       5.03,5.07,9.01       05/30/12

COMCAST CORP                            PA       5.07                 05/31/12

Compressco Partners, L.P.               DE       5.02,9.01            05/27/12

COMPUTER SCIENCES CORP                  NV       8.01                 06/01/12

CONAGRA FOODS INC /DE/                  DE       7.01                 05/31/12

Consolidated Communications Holdings,   DE       8.01                 06/01/12

CONVERGYS CORP                          OH       1.02                 05/31/12

COOPER COMPANIES INC                    DE       1.01,2.03,7.01,9.01  05/31/12

COSI INC                                DE       3.01,5.07,9.01       05/25/12

COWEN GROUP, INC.                       DE       5.02,9.01            05/31/12

CRA INTERNATIONAL, INC.                 MA       8.01                 06/01/12

CREDIT ACCEPTANCE CORP                  MI       8.01,9.01            06/01/12

Crestwood Midstream Partners LP         DE       5.02                 06/01/12

CRIMSON EXPLORATION INC.                         5.07                 05/30/12

CROSS BORDER RESOURCES, INC.            NV       5.02,5.03,9.01       06/01/12

CubeSmart                               MD       5.02,5.07,9.01       05/30/12

CURIS INC                               DE       5.07                 05/30/12

DAKOTA PLAINS HOLDINGS, INC.            NV       2.03,9.01            05/25/12

DDI CORP                                CA       1.02,2.01,3.01,3.03, 05/31/12
DEERE & CO                              DE       5.02,8.01,9.01       05/30/12

DEERE & CO                              DE       7.01                 06/01/12

DIGITAL RIVER INC /DE                   DE       5.07                 05/31/12

Discovery Communications, Inc.          DE       5.02                 05/30/12

Dorman Products, Inc.                   PA       8.01                 05/31/12

DOUGLAS DYNAMICS, INC                   DE       5.02,9.01            06/01/12

DreamWorks Animation SKG, Inc.                   5.07                 05/29/12

DSW Inc.                                OH       3.02                 05/31/12

DUPONT FABROS TECHNOLOGY, INC.          MD       5.07                 05/30/12

DYAX CORP                               DE       8.01                 05/29/12

DYNAVAX TECHNOLOGIES CORP               DE       5.07                 05/30/12

DYNEGY INC.                             DE       7.01,9.01            06/01/12

DYNEX CAPITAL INC                       VA       8.01,9.01            05/31/12

EASTGROUP PROPERTIES INC                MD       5.02,5.07,9.01       06/01/12

EDAC TECHNOLOGIES CORP                  WI       8.01,9.01            06/01/12

EDUCATIONAL DEVELOPMENT CORP            DE       2.02,8.01,9.01       05/31/12    AMEND

ELIZABETH ARDEN INC                     FL       7.01,9.01            05/31/12

EMCOR GROUP INC                         DE       5.07                 06/01/12

EMPIRE DISTRICT ELECTRIC CO             KS       2.03,8.01,9.01       06/01/12

EMPIRE PETROLEUM CORP                   DE       5.07,9.01            06/01/12

ENDOCYTE INC                            DE       5.07                 05/31/12

Energy Telecom, Inc.                    FL       3.02,5.02            06/01/12

EON COMMUNICATIONS CORP                 DE       5.02,9.01            06/01/12

EXCO RESOURCES INC                      TX       5.07                 05/31/12

EXELON CORP                             PA       2.06,8.01            05/30/12

EXPLORE ANYWHERE HOLDING CORP           NV       8.01                 05/31/12

Express Scripts Holding Co.             DE       7.01                 05/29/12

EXXON MOBIL CORP                        NJ       5.07                 05/30/12

EZJR, Inc.                              NV       1.01,2.01,3.02,5.03, 03/01/12    AMEND
EZJR, Inc.                              NV       1.01,2.01,3.02,5.03, 03/01/12    AMEND
Fibrocell Science, Inc.                 DE       1.01,2.03,3.02,9.01  06/01/12

FIRST PACTRUST BANCORP INC              MD       8.01,9.01            06/01/12

FIVE STAR QUALITY CARE INC                       8.01,9.01            05/29/12

FLOWERS FOODS INC                       GA       1.01,3.02,9.01       06/01/12

FNB United Corp.                        NC       2.02,9.01            06/01/12

FORD MOTOR CO                           DE       8.01,9.01            06/01/12

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            06/01/12

FRONTIER COMMUNICATIONS CORP            DE       8.01,9.01            06/01/12

Gala Global Inc.                        NV       5.01,5.02,8.01       05/25/12

GARMIN LTD                              V8       5.07,8.01,9.01       06/01/12

GASTAR EXPLORATION LTD                           7.01,9.01            06/01/12

GAYLORD ENTERTAINMENT CO /DE            DE       8.01,9.01            06/01/12

General Maritime Corp / MI                       2.02,7.01,9.01       05/31/12

General Motors Co                                1.01,9.01            05/30/12

GENSPERA INC                            DE       5.02,9.01            05/24/12

GeoEye, Inc.                            DE       5.07                 05/31/12

GEOKINETICS INC                         DE       8.01                 05/31/12

GLEACHER & COMPANY, INC.                DE       7.01,9.01            06/01/12

Global Karaoke Network, Inc.            DE       5.03,9.01            06/01/12

GLU MOBILE INC                          DE       5.02                 05/29/12

GRAHAM CORP                             DE       2.02,8.01,9.01       05/30/12

GRAHAM CORP                             DE       5.02                 05/30/12

GRANITE CITY FOOD & BREWERY LTD.        MN       8.01,9.01            05/31/12

GREEN EQUITY HOLDINGS, INC.             NV       1.02                 05/20/12

GROUP 1 AUTOMOTIVE INC                  DE       8.01,9.01            05/30/12

GSV Capital Corp.                       MD       8.01,9.01            06/01/12

HANSEN MEDICAL INC                      DE       5.07                 05/25/12

HASTINGS ENTERTAINMENT INC              TX       5.07                 05/30/12

HEALTH ENHANCEMENT PRODUCTS INC         NV       8.01,9.01            05/29/12

HEALTHCARE REALTY TRUST INC             MD       8.01                 06/01/12

HEICO CORP                              FL       1.01,1.02,5.02,9.01  05/29/12

HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       5.07                 05/30/12

HINTO ENERGY, INC                       WY       1.01,3.02,7.01,9.01  05/30/12

HONG KONG WINALITE GROUP, INC.                   5.02                 05/31/12

HUGHES Telematics, Inc.                 DE       1.01,5.07,8.01,9.01  06/01/12

IC Places, Inc.                                  1.01,9.01            06/01/12

IDENTIVE GROUP, INC.                    DE       5.02,8.01,9.01       05/29/12

iMetrik M2M Solutions Inc.              NV       7.01,9.01            06/01/12

Independence Energy Corp.               NV       1.01,2.01,9.01       05/30/12

India Globalization Capital, Inc.       MD       5.02,9.01            05/29/12

INERGETICS INC                          DE       5.02                 05/29/12

INOVIO PHARMACEUTICALS, INC.                     1.01,9.01            06/01/12

INSITE VISION INC                       DE       5.07                 05/31/12

Intermec, Inc.                          DE       5.02,9.01            05/26/12

INTERNATIONAL TEXTILE GROUP INC         DE       1.01,2.04,8.01       05/25/12

Interval Leisure Group, Inc.            DE       5.07                 05/29/12

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       5.07                 05/30/12

IRONWOOD PHARMACEUTICALS INC                     5.07                 05/31/12

ITC Holdings Corp.                      MI       1.01,1.02,2.03,9.01  05/31/12

Kallo Inc.                              NV       7.01,9.01            06/01/12

KBR, INC.                               DE       5.02,9.01            05/29/12

KEATING CAPITAL INC                              5.07                 06/01/12

KEY ENERGY SERVICES INC                 MD       8.01                 06/01/12

KINDER MORGAN, INC.                     DE       9.01                 06/01/12    AMEND

KIT digital, Inc.                       DE       8.01                 05/25/12

KULICKE & SOFFA INDUSTRIES INC          PA       8.01,9.01            06/01/12

LAS VEGAS SANDS CORP                    NV       7.01,9.01            06/01/12

Legend Oil & Gas, Ltd.                  CO       1.01,9.01            05/31/12

LEXARIA CORP.                           NV       7.01,9.01            06/01/12

LIBERTY SILVER CORP                     NV       8.01,9.01            06/01/12

LIBERTY STAR URANIUM & METALS CORP.     NV       3.02,9.01            05/25/12

LIGHTING SCIENCE GROUP CORP             DE       1.01,3.02,5.02,5.03, 05/25/12
Lincolnway Energy, LLC                  IA       7.01,9.01            06/01/12

LODGENET INTERACTIVE CORP               DE       5.02,5.07,9.01       05/31/12

MAGELLAN GOLD Corp                      NV       3.02                 05/31/12

MAGNUM HUNTER RESOURCES CORP            DE       4.01,9.01            05/25/12

Manhattan Bancorp                       CA       1.01,2.01,5.01,5.02, 05/25/12
MANNATECH INC                           TX       5.02,5.07,9.01       05/30/12

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            06/01/12

MEDICAL ALARM CONCEPTS HOLDINGS INC     NV       1.01,5.02,7.01       06/01/12

MEDIWARE INFORMATION SYSTEMS INC        NY       5.02,7.01,9.01       05/30/12

Memorial Production Partners LP         DE       5.02                 06/01/12

MERCER INTERNATIONAL INC.               WA       5.07                 05/31/12

MGT CAPITAL INVESTMENTS INC             DE       8.01,9.01            06/01/12

MICHAEL BAKER CORP                      PA       5.07                 05/30/12

MMEX Mining Corp                                 5.02                 05/29/12

MODINE MANUFACTURING CO                 WI       2.02,9.01            06/01/12

Momentive Performance Materials Inc.    DE       1.01,2.03,9.01       05/25/12

MORGAN CREEK ENERGY CORP                NV       5.02,9.01            05/30/12

Morningstar, Inc.                       IL       7.01                 06/01/12

MRI INTERVENTIONS, INC.                 DE       7.01,9.01            06/01/12

MS STRUCTURED ASSET CORP CBT SERIES 2   DE       8.01,9.01            05/25/12

MTR GAMING GROUP INC                    DE       1.01,9.01            05/30/12

NANOSPHERE INC                          DE       5.07                 05/30/12

NATURALLY ADVANCED TECHNOLOGIES INC     A1       5.02                 05/25/12

NetApp, Inc.                            CA       5.02                 05/25/12

NETSCOUT SYSTEMS INC                    DE       5.02,9.01            05/28/12

NETWORK ENGINES INC                     DE       3.01                 05/29/12

NEVADA GOLD & CASINOS INC               NV       1.01,8.01,9.01       05/25/12

NEW FRONTIER MEDIA INC                  CO       8.01,9.01            05/31/12

NEW ULM TELECOM INC                     MN       1.01,5.07,8.01       05/31/12

NEWLINK GENETICS CORP                            8.01,9.01            06/01/12

NEWS CORP                                        8.01,9.01            06/01/12

NORTH CENTRAL BANCSHARES INC            IA       7.01,9.01            06/01/12

NORTH STATE BANCORP                     NC       5.07                 05/31/12

NORTHERN OIL & GAS, INC.                         5.07                 05/30/12

NU SKIN ENTERPRISES INC                 DE       1.01,1.02,2.03       05/25/12

NUPATHE INC.                            DE       8.01                 06/01/12

NV ENERGY, INC.                         NV       5.02,9.01            05/29/12

NYTEX Energy Holdings, Inc.             DE       8.01,9.01            06/01/12

O REILLY AUTOMOTIVE INC                          8.01,9.01            05/31/12

Oilsands Quest Inc                               3.01,9.01            06/01/12

ONCOGENEX PHARMACEUTICALS, INC.         DE       5.02,5.07            05/25/12

OphthaliX, Inc.                         NV       5.07                 05/30/12

OPTI INC                                CA       5.07                 06/01/12

Orient Paper Inc.                       NV       8.01,9.01            06/01/12

ORIGINOIL INC                           NV       5.07,9.01            05/25/12

OUTDOOR CHANNEL HOLDINGS INC                     5.07                 05/30/12

Park Sterling Corp                      NC       5.07                 05/30/12

PARKWAY PROPERTIES INC                  MD       8.01,9.01            06/01/12

PARTNERRE LTD                                    5.02,9.01            06/01/12

Pathfinder Cell Therapy, Inc.           DE       2.03,3.02            05/25/12

Patriot Coal CORP                       DE       5.02,7.01,9.01       05/28/12

Patriot Minefinders Inc.                NV       8.01                 06/01/12

PennantPark Floating Rate Capital Ltd            7.01,9.01            06/01/12

PENSON WORLDWIDE INC                    DE       1.01,1.02,2.05,8.01, 05/31/12
PERFICIENT INC                          DE       7.01,9.01            06/01/12

PINNACLE AIRLINES CORP                  DE       7.01,9.01            05/31/12

PIPER JAFFRAY COMPANIES                 DE       1.01,9.01            05/30/12

POPE RESOURCES LTD PARTNERSHIP          DE       8.01,9.01            06/01/12

PostRock Energy Corp                    DE       1.01,8.01            05/31/12

PPL Corp                                         7.01,9.01            06/01/12

Precision Aerospace Components, Inc.             1.01,1.02,2.01,2.03, 06/01/12
PRIMUS TELECOMMUNICATIONS GROUP INC     DE       2.01,7.01,9.01       05/31/12

QR Energy, LP                           DE       8.01,9.01            06/01/12

Quanex Building Products CORP           DE       7.01,9.01            05/31/12

RADIAN GROUP INC                        DE       5.02                 05/30/12

RealD Inc.                              DE       1.01                 05/29/12

RECOVERY ENERGY, INC.                   NV       5.02,9.01            05/30/12

RESPONSYS INC                           CA       1.01,5.02,5.07,9.01  05/30/12

RITE AID CORP                           DE       8.01                 05/31/12

Riverbed Technology, Inc.               DE       5.07                 05/30/12

Rosetta Resources Inc.                  DE       7.01,9.01            06/01/12

ROYAL CARIBBEAN CRUISES LTD                      5.07                 05/31/12

ROYAL GOLD INC                          DE       1.01,2.03,8.01,9.01  05/30/12

SABA SOFTWARE INC                       DE       1.01,3.01,9.01       05/31/12

SANDERSON FARMS INC                     MS       2.02,9.01            05/29/12

SANUWAVE Health, Inc.                   NV       5.02                 05/25/12

Sara Lee Corp                           MD       1.01,2.03,5.02,8.01, 05/29/12
SAVE THE WORLD AIR INC                  NV       8.01,9.01            05/24/12

Scio Diamond Technology Corp            NV       3.02,5.02            05/07/12

SEACOAST BANKING CORP OF FLORIDA        FL       8.01                 05/30/12

SEARS HOLDINGS CORP                     DE       8.01,9.01            05/31/12

SEMTECH CORP                            DE       2.01,9.01            03/20/12    AMEND

SENIOR HOUSING PROPERTIES TRUST         MD       8.01,9.01            05/29/12

SERVICESOURCE INTERNATIONAL, INC.                5.07                 05/30/12

Shire plc                                        8.01,9.01            06/01/12

ShopEye, Inc.                           CA       5.02                 06/01/12

SHUFFLE MASTER INC                      MN       5.02                 05/28/12

SIGA TECHNOLOGIES INC                   DE       8.01,9.01            06/01/12

SIMMONS FIRST NATIONAL CORP             AR       8.01,9.01            05/31/12

SKYLINE CORP                            IN       5.02                 06/01/12

SL GREEN REALTY CORP                    MD       3.02,8.01,9.01       06/01/12

SMART BALANCE, INC.                     DE       1.01,7.01,9.01       05/31/12

SMTP, Inc.                              DE       5.07                 06/01/12

SOUTHERN CALIFORNIA GAS CO              CA       5.02                 05/29/12

SPECTRANETICS CORP                      DE       5.02,9.01            05/31/12

SPECTRANETICS CORP                      DE       5.07                 05/31/12

SPS COMMERCE INC                                 5.02                 05/30/12

SRS LABS INC                            DE       8.01,9.01            05/30/12

SS&C Technologies Holdings Inc          DE       5.07                 05/30/12

STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            05/29/12

SUBURBAN PROPANE PARTNERS LP            DE       7.01                 06/01/12

Sucampo Pharmaceuticals, Inc.                    5.07                 05/25/12

SUNRISE SENIOR LIVING INC               DE       2.06,8.01,9.01       05/29/12

TALBOTS INC                             DE       1.01,3.03,9.01       05/30/12

TAMPA ELECTRIC CO                       FL       8.01,9.01            05/31/12

TD AMERITRADE HOLDING CORP              DE       8.01,9.01            06/01/12

TE Connectivity Ltd.                    V8       5.03,9.01            06/01/12

Teavana Holdings Inc                             5.07                 06/01/12

Thermon Group Holdings, Inc.            DE       2.02,9.01            05/31/12

THESTREET, INC.                         DE       5.02,5.07            06/01/12

THQ INC                                 DE       5.02,9.01            05/25/12

Timberline Resources Corp               DE       7.01,9.01            06/01/12

Tornier N.V.                            P7       7.01                 06/01/12

TOWER FINANCIAL CORP                    IN       8.01                 06/01/12

Towers Watson & Co.                     DE       2.03,7.01,9.01       05/29/12

TRANS WORLD CORP                        NV       5.07                 05/30/12

TRANSACT TECHNOLOGIES INC               DE       5.07                 05/30/12

TRUSTMARK CORP                          MS       1.01,9.01            05/28/12

TUTOR PERINI Corp                       MA       5.02,5.07,7.01,9.01  05/31/12

Twin Cities Power Holdings, LLC         MN       1.01                 05/29/12

TWO RIVERS WATER Co                     CO       7.01                 06/01/12

Ulta Salon, Cosmetics & Fragrance, In   DE       5.07                 05/31/12

Unilife Corp                            DE       1.02                 05/29/12

UNITED ONLINE INC                       DE       5.07                 05/31/12

UNITED TECHNOLOGIES CORP /DE/           DE       8.01,9.01            06/01/12

UNIVERSAL AMERICAN CORP.                DE       5.02,5.07            05/30/12

UNIVEST CORP OF PENNSYLVANIA            PA       8.01,9.01            05/31/12

US Highland, Inc.                       OK       1.01,2.03,9.01       06/01/12

USEC INC                                DE       1.01,9.01            06/01/12

VALHI INC /DE/                          DE       5.07,7.01,9.01       05/31/12

VALHI INC /DE/                          DE       5.07                 05/31/12    AMEND

Vanguard Minerals CORP                           5.01,5.02            05/30/12

VERINT SYSTEMS INC                      DE       7.01,9.01            06/01/12

VIASYSTEMS GROUP INC                    DE       2.01,8.01,9.01       05/31/12

VISTA GOLD CORP                         B0       5.02,7.01,9.01       05/29/12

Vocus, Inc.                             DE       8.01                 05/30/12

VOXX International Corp                 DE       8.01                 05/25/12

Walter Energy, Inc.                     DE       5.02,7.01,9.01       06/01/12

WARREN RESOURCES INC                    MD       5.02,9.01            05/30/12    AMEND

WATERSIDE CAPITAL CORP                  VA       2.04,9.01            05/24/12

WebMD Health Corp.                      DE       5.02,9.01            05/29/12

WebMD Health Corp.                      DE       8.01                 06/01/12

WebXU, Inc.                             DE       1.01,3.02,9.01       06/01/12

Western Refining, Inc.                  DE       8.01,9.01            05/31/12

WHIRLPOOL CORP /DE/                     DE       1.01,2.03,9.01       05/29/12

WILSHIRE BANCORP INC                             5.03,5.07,9.01       05/30/12

WNC CALIFORNIA HOUSING TAX CREDITS II   CA       2.02,9.01            06/01/12

WNC HOUSING TAX CREDIT FUND III L P     CA       2.02,9.01            06/01/12

WNC HOUSING TAX CREDIT FUND IV L P SE   CA       2.02,9.01            06/01/12

WNC HOUSING TAX CREDIT FUND IV L P SE   CA       2.02,9.01            06/01/12

WNC HOUSING TAX CREDIT FUND VI LP SER   CA       2.02,9.01            06/01/12

XCel Brands, Inc.                       DE       3.02,5.02            06/01/12

YANEX GROUP, INC.                       NV       5.01,5.02,8.01       05/28/12

ZILLOW INC                              WA       2.01,7.01,9.01       05/31/12



Modified: 06/04/2012