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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-205
October 23, 2012

Commission Announcements

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

The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on October 23, 2012, and terminating at 11:59 p.m. EST on November 5, 2012.

  • Fearless International, Inc. (FRLE)
  • Glassmaster Company (GLMA)
  • Global Entertainment Holdings/Equities, Inc. (GAMT)
  • Global Realty Development Corp. (GRLY)
  • Global Roaming Distribution, Inc. (GRDB)
  • Gottaplay Interactive, Inc. (GTAP)

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

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

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

If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-68082)

SEC Adopts Standards for Risk Management and Operations of Clearing Agencies

On October 22, 2012, the Securities and Exchange Commission adopted a rule that establishes standards for how registered clearing agencies should manage their risks and run their operations.

Clearing agencies generally act as middlemen to the parties in a securities transaction. They play a critical role in the securities markets by ensuring that transactions settle on time and on the agreed-upon terms.

The rule was adopted in accordance with the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Dodd Frank Act provides the SEC with additional authority to establish standards for clearing agencies, including for those clearing agencies that clear security-based swaps.

“These new rules are designed to ensure that clearing agencies will be able to fulfill their responsibilities in the multi-trillion dollar derivatives market as well as more traditional securities markets,” said SEC Chairman Mary L. Schapiro. “They’re part of a broader effort to put in place an entirely new regulatory regime intended to mitigate systemic risks that emerged during the financial crisis.”

The new rule would require registered clearing agencies that provide central counterparty services to maintain certain standards with respect to risk management and operations. Among other things, the rules would set standards with respect to measurement and management of credit exposures, margin requirements, financial resources and margin model validation. The rule also establishes certain recordkeeping and financial disclosure requirements for all registered clearing agencies as well as several new operational standards for these entities.

The new rule 17Ad-22 will become effective 60 days after the date of publication in the Federal Register.

An SEC webpage — http://www.sec.gov/swaps-chart/swaps-chart.shtml — depicts the regulatory regime for security-based swaps and details what happens as a transaction occurs. (Press Rel. 2012-215)

Change in the Meeting: Date and Time Change

The Closed Meeting scheduled for Tuesday, October 23, 2012 at 3:00 p.m., has been changed to Thursday, October 25, 2012 at 10:00 a.m.

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

Enforcement Proceedings

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

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

  • Fearless International, Inc. (FRLE)
  • Glassmaster Company (GLMA)
  • Global Entertainment Holdings/Equities, Inc. (GAMT)
  • Global Realty Development Corp. (GRLY)
  • Global Roaming Distribution, Inc. (GRDB)
  • Gottaplay Interactive, Inc. (GTAP)

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

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68083; File No. 3-15073

SEC Charges Two in Michigan-based Fraudulent Securities Offering

The Securities and Exchange Commission today announced that it filed a civil injunctive action against brothers James Mulholland and Thomas Mulholland accusing them of conducting a fraudulent, unregistered offer and sale of approximately $2 million in securities.

The SEC’s complaint, filed in U.S. District Court in Detroit, alleges that the Mulhollands operated a real estate business which involved buying, maintaining, and renting residential real estate in Michigan. The SEC’s complaint alleges that to finance the real estate business, the Mulhollands raised money from individual investors residing in Michigan and Florida through the offer and sale of securities in the form of demand notes. Beginning in at least January 2009, however, the Mulhollands’ real estate business began to experience financial difficulties. The Mulhollands continued to raise money from investors and from January 2009 through January 2010, they raised approximately $2 million from approximately 75 investors. The Mulhollands told these investors that their real estate business was profitable, they would earn 7% per year on their investment, the returns would be generated by profits of the real estate business, and that the investors could get their money back upon 30 days’ written notice.

The SEC’s complaint alleges that the Mulhollands statements to investors were false and/or misleading. The real estate business was losing money during this period, needed new investor funds to pay its bills and to pay interest to previous investors, and did not have the means to refund investors’ principal within 30 days even if a small number of them asked for their money back. The Mulhollands concealed their perilous financial condition from investors. The Mulhollands never told investors that they were experiencing financial hardship, that they were having difficulty meeting financial obligations critical to the real estate operation, or that they were contemplating filing for bankruptcy.

The SEC’s complaint charges the Mulhollands with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC is seeking against the Mulhollands a permanent injunction, disgorgement of ill-gotten gains with prejudgment interest to be paid jointly and severally, and civil monetary penalties. [SEC v. James C. Mulholland, Jr. and Thomas S. Mulholland, Civil Action No. 12-cv-14663 (E.D. Mich.)] (LR-22518)


Neuberger Berman Alternative Funds, et al.

A notice has been issued giving interested persons until November 16, 2012, to request a hearing on an application filed by Neuberger Berman Alternative Funds, et al., for an order under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Sections 17(a)(1) and 17(a)(2) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The requested order would (a) permit certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of other registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permit funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30236 - October 22)

Leg Mason ETF Trust, et al.

A notice has been issued giving interested persons until November 15, 2012, to request a hearing on an application filed by Leg Mason ETF Trust, et al., for an order to permit: (a) actively managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30237 - October 22)


Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to amend the definition of “Money Market Instrument” in the FINRA TRACE rules (SR-FINRA-2012-046) 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 October 22. (Rel. 34-68075)

A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. to extend a TRACE pilot program (SR-FINRA-2012-047) 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 October 22. (Rel. 34-68076)

Approval of Proposed Rule Change

The Commission granted approval of a proposed rule change filed by the Municipal Securities Rulemaking Board (SR-MSRB-2012-07) to amend the Real-Time Transaction Reporting System information system and subscription service. Publication is expected in the Federal Register during the week of October 22. (Rel. 34-68081)


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.

F-7     Mountain Province Diamonds Inc., 161 BAY STREET, 
        SUITE 2315, PO BOX 216, TORONTO, A6, M5J 2S1, 416-361-3562 - 
        13,452,593 ($48,064,594.00) Equity, (File 333-184521 - Oct. 22) 
        (BR. 09A)

        IN, 47710, 8124242904 - 0 ($246,106,825.69) Equity, (File 333-184522 - 
        Oct. 22) (BR. 06A)

        01127114413111 - 0 ($0.00) Debt, (File 333-184526 - Oct. 22) (BR. 04A)

S-1     Wishbone Pet Products Inc., 38TH STREET, NEW SEHAILE, BEIRUT, M8, 
        00000, 011-3-861-590 - 1,500,000 ($15,000.00) Equity, 
        (File 333-184528 - Oct. 22) (BR. 05C)

S-1     Wowio, Inc., 6310 SAN VICENTE BLVD., SUITE 240, LOS ANGELES, CA, 90048, 
        (310) 807-8181 - 61,499,236 ($18,446,770.80) Equity, (File 333-184529 - 
        Oct. 22) (BR. )

S-1     SUFFOLK BANCORP, 4 WEST SECOND ST, RIVERHEAD, NY, 11901, 631-208-2400 - 
        0 ($26,147,695.00) Equity, (File 333-184530 - Oct. 22) (BR. 07B)

        (609) 662-2000 - 0 ($18,552,865.00) Equity, (File 333-184531 - Oct. 22) 
        (BR. 01B)

        3182370410 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-184532 - Oct. 22) (BR. 04A)

        508-389-7202 - 0 ($108,800,000.00) Unallocated (Universal) Shelf, 
        (File 333-184533 - Oct. 22) (BR. 03A)

        937-964-8974 - 0 ($50,000,000.00) Other, (File 333-184534 - Oct. 22) 
        (BR. 11A)

S-8     EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 
        2,000,000 ($49,520,000.00) Equity, (File 333-184535 - Oct. 22) (BR. 03C)

S-3     Customers Bancorp, Inc., 1015 PENN AVENUE, SUITE 103, WYOMISSING, PA, 
        19610, 484-359-7113 - 0 ($113,353,282.00) Equity, (File 333-184536 - 
        Oct. 22) (BR. 07B)

S-11    Orchid Island Capital, Inc., 3305 FLAMINGO DRIVE, VERO BEACH, FL, 
        32963, 772-23-1400 - 0 ($45,000,000.00) Equity, (File 333-184538 - 
        Oct. 22) (BR. 08C)

S-8     VIROPHARMA INC, 730 STOCKTON DRIVE, EXTON, PA, 19341, 6104587300 - 
        0 ($72,987,500.00) Equity, (File 333-184539 - Oct. 22) (BR. 01B)

S-3     NAVARRE CORP /MN/, 7400 49TH AVE N, NEW HOPE, MN, 55428, 7635358333 - 
        0 ($1.00) Equity, (File 333-184540 - Oct. 22) (BR. 03A)

S-8     Cryoport, Inc., 20382 BARENTS SEA CIRCLE, LAKE FOREST, CA, 92630, 
        (619) 481-6800 - 0 ($570,000.00) Equity, (File 333-184543 - Oct. 22) 
        (BR. 06C)


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


Accenture plc                           L2       5.02,9.01            10/18/12

ACCENTURE SCA                                    5.02,9.01            10/18/12

ACL SEMICONDUCTORS INC                           1.01,9.01            10/15/12

ACNB CORP                               PA       8.01,9.01            10/16/12

ADVANCE AUTO PARTS INC                  DE       2.02,9.01            10/22/12

AETNA INC /PA/                          PA       1.01,8.01,9.01       10/17/12

AFFIRMATIVE INSURANCE HOLDINGS INC      DE       1.01,9.01            10/16/12

AK STEEL HOLDING CORP                   DE       4.01                 10/17/12    AMEND

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       8.01,9.01            06/04/12    AMEND

ALEXANDERS INC                          DE       1.01,9.01            10/21/12

ALIGN TECHNOLOGY INC                    DE       2.02,9.01            10/22/12

Alliance Bancorp, Inc. of Pennsylvani   PA       2.02,9.01            10/22/12

ALNYLAM PHARMACEUTICALS, INC.                    1.01                 10/18/12

Alphatec Holdings, Inc.                 DE       2.02,9.01            10/22/12

Alternative Energy Partners, Inc.       FL       1.01,9.01            10/22/12

AMBASE CORP                             DE       8.01                 10/22/12

AMBASE CORP                             DE       8.01                 10/22/12

AMC Networks Inc.                       DE       1.01,9.01            10/21/12

AMERICAN APPAREL, INC                   DE       1.01,9.01            10/16/12

AMERICAN APPAREL, INC                   DE       7.01                 10/22/12

AMERICAN INTERNATIONAL VENTURES INC /   DE       5.02                 10/18/12

AMERICAN NATIONAL INSURANCE CO /TX/     TX       2.02,9.01            10/22/12

AMERISERV FINANCIAL INC /PA/            PA       7.01                 10/22/12

AMICUS THERAPEUTICS INC                 DE       8.01                 10/22/12

ANALYSTS INTERNATIONAL CORP                      2.02,9.01            10/22/12

Ancestry.com Inc.                       DE       1.01,8.01,9.01       10/21/12

ANNALY CAPITAL MANAGEMENT INC           MD       8.01,9.01            10/21/12

APPLIANCE RECYCLING CENTERS OF AMERIC   MN       2.02                 10/22/12

Aspect Software Group Holdings Ltd.     DE       2.02,9.01            10/22/12

ASSURANT INC                                     8.01                 10/22/12

ATHENAHEALTH INC                        DE       5.02                 10/17/12

Augme Technologies, Inc.                DE       5.02,7.01,9.01       10/12/12

Avalon Holding Group, Inc.              NV       5.02                 09/15/12

AVID TECHNOLOGY, INC.                   DE       2.02,9.01            10/22/12

AVISTA CORP                             WA       2.02,9.01            10/22/12

BALLY TECHNOLOGIES, INC.                NV       5.03,8.01,9.01       10/16/12

Bancorp, Inc.                                    5.02                 10/22/12

BANK OF HAWAII CORP                     DE       2.02,9.01            10/22/12

Bank of Marin Bancorp                   CA       2.02,8.01,9.01       10/18/12

BASIC ENERGY SERVICES INC                        1.01,2.03,3.03,8.01, 10/16/12
BeesFree, Inc.                          NV       1.01,5.02,7.01,9.01  10/19/12

BERKLEY W R CORP                        DE       2.02,9.01            10/22/12

BERKSHIRE HILLS BANCORP INC             DE       2.01,9.01            10/19/12

BIOCRYST PHARMACEUTICALS INC            DE       1.01,8.01,9.01       10/22/12

BION ENVIRONMENTAL TECHNOLOGIES INC     CO       7.01,9.01            10/19/12

Black Ridge Oil & Gas, Inc.             DE       5.02                 10/17/12

BLACKBOX SEMICONDUCTOR, INC.            NV       1.01,3.02,8.01,9.01  10/13/12    AMEND

BLUEGREEN CORP                          MA       7.01,9.01            10/22/12

BONAMOUR PACIFIC INC                    NV       1.01,3.02,5.01,5.02, 10/16/12
BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       8.01                 10/22/12

BRANDYWINE REALTY TRUST                 MD       5.02                 10/16/12

CAI International, Inc.                          9.01                 10/22/12

CAMBRIDGE HEART INC                     DE       1.01,2.03,3.02,8.01, 10/17/12
CATERPILLAR FINANCIAL SERVICES CORP     DE       2.02,9.01            10/22/12

CATERPILLAR INC                         DE       2.02,9.01            10/22/12

CEDAR REALTY TRUST, INC.                MD       1.01                 10/19/12

Celanese Corp                           DE       2.02,7.01,9.01       10/22/12

CHEMICAL FINANCIAL CORP                 MI       2.02,9.01            10/22/12

Cheniere Energy Partners, L.P.          DE       8.01,9.01            10/22/12

China VantagePoint Acquisition Co                8.01                 10/16/12

Chino Commercial Bancorp                CA       2.02,9.01            10/22/12

CLEVELAND BIOLABS INC                   DE       1.01,8.01,9.01       10/18/12

COMARCO INC                             CA       5.07                 10/18/12

COMPUTER TASK GROUP INC                 NY       2.02,9.01            10/22/12

CSX CORP                                VA       1.01,2.03,9.01       10/17/12

Customers Bancorp, Inc.                 PA       5.02                 10/19/12

DAYSTAR TECHNOLOGIES INC                DE       2.01,9.01            10/22/12

DCB FINANCIAL CORP                      OH       2.02,9.01            10/22/12

Discovery Energy Corp.                  NV       8.01                 10/21/12

DISH Network CORP                       NV       1.01,8.01,9.01       10/21/12

DNB FINANCIAL CORP /PA/                 PA       2.02,9.01            10/22/12

DOCUMENT SECURITY SYSTEMS INC           NY       2.02,9.01            10/22/12

DOMINION RESOURCES INC /VA/             VA       2.05,2.06,7.01,9.01  10/22/12

DONEGAL GROUP INC                       DE       7.01,9.01            10/22/12

Duff & Phelps Corp                      DE       3.02,9.01            10/22/12

Eagle Bancorp Montana, Inc.                      5.07                 10/18/12

EFL OVERSEAS, INC.                      NV       2.01,3.02,9.01       10/17/12

ENVIRONMENTAL TECTONICS CORP            PA       5.02,9.01            10/18/12

ENVIRONMENTAL TECTONICS CORP            PA       5.07                 10/18/12

EQUITY LIFESTYLE PROPERTIES INC         MD       5.02                 10/18/12

EXPLORE ANYWHERE HOLDING CORP           NV       5.02                 10/14/12

Federal Home Loan Bank of San Francis   X1       5.02                 10/16/12

FIDELITY SOUTHERN CORP                  GA       2.02,9.01            10/18/12

First Financial Northwest, Inc.         WA       2.02,9.01            10/19/12

FIRST MARBLEHEAD CORP                            7.01,9.01            10/22/12

FIRST MARBLEHEAD CORP                            8.01,9.01            10/19/12

FIRSTFED FINANCIAL CORP                 DE       8.01,9.01            10/16/12

FNB CORP/FL/                            FL       7.01,8.01,9.01       10/22/12

FORD MOTOR CO                           DE       8.01,9.01            10/22/12

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            10/22/12

FOREST CITY ENTERPRISES INC             OH       7.01,9.01            10/22/12

FOREST CITY ENTERPRISES INC             OH       3.02                 10/19/12

FREEPORT MCMORAN COPPER & GOLD INC      DE       2.02,9.01            10/22/12

FULTON FINANCIAL CORP                   PA       1.01,5.02,9.01       10/22/12

FX ENERGY INC                           NV       8.01,9.01            10/22/12

G III APPAREL GROUP LTD /DE/            DE       2.01,9.01            08/06/12    AMEND

GENCORP INC                             OH       1.01,9.01            10/16/12

GLOBALSCAPE INC                         DE       7.01,9.01            10/22/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            09/30/12

Graystone Co                            DE       8.01                 10/22/12

Green Ballast, Inc.                     DE       1.01,2.03,9.01       10/22/12

GREENE COUNTY BANCORP INC               DE       8.01,9.01            10/19/12

GUARANTY FEDERAL BANCSHARES INC         DE       2.02,9.01            10/19/12

GULFMARK OFFSHORE INC                   DE       5.02                 10/16/12

HALCON RESOURCES CORP                   DE       1.01,3.02,7.01,8.01, 10/19/12
HALCON RESOURCES CORP                   DE       8.01,9.01            10/22/12

HARBINGER GROUP INC.                    DE       7.01                 10/22/12

HASBRO INC                              RI       2.02,9.01            10/22/12

HCA Holdings, Inc.                               1.01,2.03,9.01       10/16/12

HEALTHSTREAM INC                        TN       2.02,7.01,9.01       10/22/12

HEXCEL CORP /DE/                        DE       2.02,7.01,8.01,9.01  10/22/12

INDEPENDENT BANK CORP                   MA       8.01,9.01            10/19/12

INDEPENDENT BANK CORP                   MA       8.01,9.01            10/19/12

INVENTURE FOODS, INC.                   DE       1.01,9.01            10/17/12

Investview, Inc.                        NV       8.01,9.01            10/19/12

IRONSTONE GROUP INC                     DE       4.01,9.01            10/18/12

JDS UNIPHASE CORP /CA/                  DE       5.02                 10/17/12

JOHNSON CONTROLS INC                    WI       2.05,8.01,9.01       10/22/12

KBS Legacy Partners Apartment REIT, I   MD       1.01                 10/22/12

KIMBALL INTERNATIONAL INC               IN       5.07                 10/22/12

KIT digital, Inc.                       DE       8.01                 10/22/12

Lantheus Medical Imaging, Inc.          DE       1.01,9.01            10/19/12

LANTRONIX INC                           DE       1.01,2.03,9.01       10/16/12

Lender Processing Services, Inc.        DE       1.01,9.01            10/19/12

LENNOX INTERNATIONAL INC                DE       2.02,7.01,9.01       10/22/12

LIBERTY SILVER CORP                     NV       8.01,9.01            10/19/12

LIGAND PHARMACEUTICALS INC              DE       8.01,9.01            10/22/12

LMI AEROSPACE INC                       MO       1.01,5.02,9.01       10/16/12

Location Based Technologies, Inc.       NV       8.01,9.01            10/17/12

Location Based Technologies, Inc.       NV       8.01,9.01            10/22/12

MAGELLAN PETROLEUM CORP /DE/            DE       7.01,9.01            10/19/12

MAGNUM HUNTER RESOURCES CORP            DE       4.02,9.01            10/19/12

MANITOWOC CO INC                        WI       1.01,2.03,9.01       10/19/12

MANNKIND CORP                           DE       8.01,9.01            09/12/12    AMEND

MEDIVATION, INC.                        DE       8.01                 10/22/12

MET PRO CORP                            PA       5.02,9.01            10/22/12

METALS USA HOLDINGS CORP.               DE       2.02,9.01            10/22/12

METRO BANCORP, INC.                              2.02,9.01            10/22/12

MFA FINANCIAL, INC.                     MD       5.02,9.01            10/19/12

MICROSTRATEGY INC                       DE       5.02                 10/19/12

MORGAN GROUP HOLDING CO                          5.02                 10/22/12

MY CATALOGS ONLINE, INC.                NV       8.01,9.01            10/18/12

Natural Grocers by Vitamin Cottage, I   DE       5.02,9.01            10/17/12

NAVISTAR INTERNATIONAL CORP             DE       1.01,3.03,8.01,9.01  10/19/12

NEW FRONTIER MEDIA INC                  CO       5.07,9.01            10/18/12

NEWS CORP                                        8.01,9.01            10/22/12

Nielsen Holdings N.V.                   P7       2.02,9.01            10/22/12

NORFOLK SOUTHERN CORP                   VA       1.01,9.01            10/22/12

NORTHEAST BANCORP /ME/                  ME       8.01                 10/22/12

Northwest Bancshares, Inc.              MD       2.02,9.01            10/22/12

Orexigen Therapeutics, Inc.             DE       8.01                 10/22/12

OVERSEAS SHIPHOLDING GROUP INC          DE       4.02                 10/19/12

Owens Corning                           DE       8.01,9.01            10/22/12

PAPA JOHNS INTERNATIONAL INC            DE       5.02                 10/18/12

PEABODY ENERGY CORP                     DE       2.02,9.01            10/22/12

PENN VIRGINIA CORP                      VA       1.01,9.01            10/18/12

PEOPLES BANCORP OF NORTH CAROLINA INC   NC       2.02,9.01            10/22/12

PERMIAN BASIN ROYALTY TRUST             TX       2.02,9.01            10/19/12

Piedmont Office Realty Trust, Inc.      MD       8.01,9.01            10/22/12

Plata Resources, Inc.                   NV       4.01,9.01            10/18/12

Post Holdings, Inc.                     MO       2.02,7.01,9.01       10/22/12

Post Holdings, Inc.                     MO       1.01,2.03,8.01,9.01  10/19/12

Post Holdings, Inc.                     MO       7.01,9.01            10/22/12

Post Holdings, Inc.                     MO       8.01,9.01            10/22/12

POTLATCH CORP                           DE       2.02,9.01            10/22/12

POWERVERDE, INC.                        NV       1.01,5.02,9.01       10/16/12

POZEN INC /NC                                    5.02                 10/19/12

PROSPECT GLOBAL RESOURCES INC.          NV       1.02,9.01            10/18/12

PRUDENTIAL BANCORP INC OF PENNSYLVANI            5.02,9.01            10/17/12

REDFIN NETWORK, INC.                    NV       4.01,9.01            10/19/12

RESEARCH FRONTIERS INC                  DE       7.01,9.01            10/22/12

Rhino Resource Partners LP              DE       7.01,9.01            10/22/12

RUSH ENTERPRISES INC \TX\               TX       2.02,9.01            10/22/12

SALIX PHARMACEUTICALS LTD                        8.01,9.01            10/19/12

Santa Fe Gold CORP                      DE       1.01,9.01            10/19/12

SAUER ENERGY, INC.                      NV       9.01                 10/19/12

SaveDaily Inc                           NV       4.01,9.01            10/17/12

SCRIPPS E W CO /DE                      OH       8.01,9.01            10/18/12

Scripps Networks Interactive, Inc.      OH       8.01,9.01            10/18/12

SIERRA BANCORP                          CA       2.02,9.01            10/22/12

Silver Falcon Mining, Inc.              DE       8.01                 10/22/12

Silver Falcon Mining, Inc.              DE       8.01                 10/22/12

SIMMONS FIRST NATIONAL CORP             AR       7.01,9.01            10/19/12

Skinny Nutritional Corp.                NV       1.01,1.02,8.01,9.01  10/19/12

SLM Student Loan Trust 2005-5                    8.01                 10/22/12

SLM Student Loan Trust 2005-8                    8.01                 10/22/12

SLM Student Loan Trust 2005-9           DE       8.01                 10/22/12

SOURCEFIRE INC                          DE       8.01,9.01            10/19/12

Soy Energy, LLC                         IA       8.01,9.01            10/22/12

SPECTRASCIENCE INC                      MN       1.01,2.03,3.02,7.01  10/19/12

Spectrum Brands Holdings, Inc.          DE       2.02,7.01,9.01       10/22/12

Spectrum Brands, Inc.                   DE       2.02,7.01,9.01       10/22/12

Spy Inc.                                DE       5.02                 10/22/12

STANCORP FINANCIAL GROUP INC            OR       2.02,9.01            10/22/12

STARRETT L S CO                         MA       5.07                 10/22/12

Stereotaxis, Inc.                       DE       5.02,7.01,9.01       10/22/12

STERLING FINANCIAL CORP /WA/            WA       8.01,9.01            10/22/12

STONE ENERGY CORP                       DE       1.01,2.02,2.03,7.01, 10/22/12
STRATEGIC DIAGNOSTICS INC/DE/           DE       2.01,9.01            10/16/12

Stream Global Services, Inc.            DE       2.02,9.01            10/22/12

Strike Axe, Inc                         DE       1.01,9.01            10/16/12

SUNTRUST BANKS INC                      GA       2.02,7.01,9.01       10/22/12

SUPERNUS PHARMACEUTICALS INC            DE       5.02,8.01,9.01       10/19/12

Surge Global Energy, Inc.               DE       1.01,3.02,5.01,5.02, 10/16/12
SWIFT TRANSPORTATION Co                          2.02,9.01            10/22/12

SYNERGY PHARMACEUTICALS, INC.           DE       8.01,9.01            10/22/12

T3 Motion, Inc.                         DE       1.01,9.01            10/17/12

TEREX CORP                              DE       5.02,9.01            10/19/12

TEXAS INSTRUMENTS INC                   DE       2.02,9.01            10/22/12

Tianli Agritech, Inc.                   D8       5.07                 10/19/12

TMX Finance LLC                         DE       2.02,7.01            10/22/12

TOWER FINANCIAL CORP                    IN       9.01                 10/22/12

Tower International, Inc.               DE       5.02                 10/19/12

TRESORO MINING CORP.                    NV       8.01,9.01            10/22/12

TRUSTCO BANK CORP N Y                   NY       2.02,9.01            10/22/12

TUESDAY MORNING CORP/DE                 DE       2.02,5.02,9.01       10/19/12

ULTRA CLEAN HOLDINGS INC                DE       2.02,9.01            10/22/12

UNION FIRST MARKET BANKSHARES CORP      VA       2.02,9.01            10/22/12

UNITED COMMUNITY BANKS INC              GA       4.01,9.01            10/18/12

UNITED STATIONERS INC                   DE       5.02                 10/16/12

UNITED STATIONERS INC                   DE       2.02,9.01            10/22/12

UNITEDHEALTH GROUP INC                  MN       8.01,9.01            10/17/12

UNWIRED PLANET, INC.                    DE       5.02                 10/19/12

Urban Barns Foods Inc.                           3.02,7.01,9.01       10/22/12

URSTADT BIDDLE PROPERTIES INC           MD       1.01,3.03,5.03,8.01, 10/17/12
V F CORP                                PA       5.03,9.01            10/18/12

V F CORP                                PA       2.02,7.01,9.01       10/22/12

VEECO INSTRUMENTS INC                   DE       2.02,9.01            10/22/12

Viggle Inc.                             DE       8.01                 10/16/12

VistaGen Therapeutics, Inc.             NV       2.03,3.02            10/19/12

VLOV INC.                               NV       8.01,9.01            10/22/12

VOLTERRA SEMICONDUCTOR CORP                      2.02,9.01            10/22/12

W&T OFFSHORE INC                        TX       1.01,8.01,9.01       10/17/12

W. P. Carey Inc.                        MD       1.01,8.01,9.01       10/19/12

WASHINGTON TRUST BANCORP INC            RI       2.02,9.01            10/22/12

WASTE CONNECTIONS, INC.                 DE       2.02,7.01,9.01       10/22/12

WAVE SYSTEMS CORP                       DE       1.01,8.01,9.01       10/18/12

WESTERN DIGITAL CORP                    DE       2.02,9.01            10/22/12

WHITING PETROLEUM CORP                  DE       2.03,9.01            10/19/12

WSB Holdings Inc                        DE       2.02,9.01            10/19/12

WSI INDUSTRIES, INC.                    MN       2.02,5.02,8.01,9.01  10/17/12

YAHOO INC                               DE       2.02,9.01            10/22/12

YAHOO INC                               DE       2.03,9.01            10/19/12

Zalicus Inc.                            DE       3.01                 10/22/12

ZaZa Energy Corp                        DE       1.01,2.03,3.02,8.01, 10/16/12
ZION OIL & GAS INC                      DE       1.01,9.01            10/22/12

ZIONS BANCORPORATION /UT/               UT       2.02,8.01,9.01       10/22/12



Modified: 10/23/2012