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

SEC News Digest

Issue 2012-207
October 25, 2012

Commission Announcements

SEC Suspends Trading in the Securities of Chimera Energy Corporation

The United States Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Chimera Energy Corporation (“Chimera”) of Houston, Texas, commencing at 9:30 a.m. EDT, October 25, 2012, and terminating at 11:59 p.m. EST, on November 7, 2012. The Commission temporarily suspended trading in the securities of Chimera because of questions that have been raised about the accuracy and adequacy of publicly disseminated information concerning, among other things, the statements by Chimera in press releases to investors about the company’s business prospects and agreements.

The order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934. 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 this company.

Brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Liberty Silver’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. 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. (Rel. 34-68103)

Report on Administrative Proceedings

The Report on Administrative Proceedings for the Period April 1, 2012 through September 30, 2012 has been issued, giving summary statistical information on the Commission's administrative proceedings caseload. The report is published in the SEC Docket and appears on the Commission's website. (Rel. 34-68107)

Commission Meetings

Closed Meeting on Thursday, November 1, 2012 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, November 1, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings.

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

Enforcement Proceedings

In the Matter of Drucker, Inc.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Two Respondents (Default Order) in Drucker, Inc., Admin. Proc. No. 3-15027. The Order Instituting Proceedings alleged that Respondents Drucker, Inc., and DynaMotive Energy Systems Corp. (collectively, Respondents) repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission (Commission). The Default Order finds these allegations to be true as to Respondents and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.

The Commission has accepted the Offer of Settlement submitted by Respondent Gate to Wire Solutions, Inc. Drucker, Inc., Exchange Act Release No. 68088 (Oct. 24, 2012). (Rel. 34-68102; File No. 3-15027)

In the Matter of Rajnish K. Das

On October 24, 2012, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (Order) against Rajnish K. Das. The Order finds that on May 29, 2012, the U.S. District Court for the District of Nebraska entered a final judgment against Das, permanently enjoining him from future violations, direct or indirect, of Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), 13(b)(5), and 14(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1, 13a-13, 13a-14, 13b2-1, 13b2-2, 14a-3, and 14a-9 thereunder. Securities and Exchange Commission v. Rajnish K. Das, et al., Civil Action Number 8:10-cv-00102-LSC-FG3. In the final judgment, the court declared that Das “acted in bad faith toward shareholders of [Info], when committing the acts and omissions that led to this proceeding, and knew his actions were contrary to the interests of [Info] and its shareholders.”

The Commission’s complaint in the civil action alleged that Das signed and certified Info’s false Forms 10-K and proxy statements that materially understated and failed to properly disclose the perquisite compensation of Vinod Gupta, Info’s former chief executive officer and Chairman of the Board of Directors, and failed to properly disclose related party transactions involving Gupta. The complaint alleged that for the years 2003 through 2007, Gupta used Info to pay for his personal expenses associated with private jet flights, a yacht, homes, automobiles, credit card expenses, country club memberships, and life insurance policies. As CFO, Das approved Info’s payment of Gupta’s personal expenses and signed and certified Info’s false Forms 10-K for 2003 and 2004 which incorporated information from Info’s proxy statements. The complaint also alleged that Das aided and abetted the filing of Info’s false Form 10-K for 2005 which incorporated information from Info’s proxy statements.

The Order states that a court of competent jurisdiction has found Das to have violated the Federal securities laws and permanently enjoined him from violations of the Federal securities laws within the meaning of Rule 102(e)(3)(i)(A) and (B) of the Commission’s Rules of Practice. In view of these findings, the Order temporarily suspends Das from appearing or practicing before the Commission. Das has thirty days after service of the Order to file a petition with the Commission to lift the temporary suspension. If no petition is timely filed, the suspension shall become permanent. If a petition is timely filed, the Commission shall either lift the temporary suspension, or set the matter down for hearing at a time and place to be designated by the Commission, or both. (Rel. 34-68098; AAE Rel. 3420; File No. 3-15078)

In the Matter of Ryan M. Jindra

On October 25, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Ryan M. Jindra (Jindra). The Order finds that during at least 2008 through June 2009, Jindra, through his wholly-owned entity Envision Investment Advisors, LLC (Envision), acted as an investment adviser, offering portfolio management services primarily to individual customers, having approximately $41.7 million in customer assets under management as of August 2008. The Order finds that on September 25, 2012, the U.S. District Court for the District of Nebraska entered a final judgment against Jindra in a civil action enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 204 and 206 of the Investment Advisers Act of 1940 and Rules 204-2(a)(7)(B) and 206(4)-7 thereunder. The Order finds that the Commission’s complaint in the civil action alleged that Jindra caused at least $773,000 to be misappropriated out of accounts held by Envision customers purportedly as advisory fees. In addition, the Order finds that on April 27, 2012, a judgment of criminal conviction was entered against Jindra in U.S. District Court for the District of Nebraska for one count of wire fraud in violation of Title 18, U.S.C. Section 1343, and that Jindra was sentenced to 48 months imprisonment followed by three years of supervised release and ordered to make restitution of $484,235.52.

Based on the above, the Order bars Jindra from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent. Jindra consented to the issuance of the Order. (Rel. IA-3493; File No. 3-15079)

In the Matter of Charles Michael Vaughn

On October 25, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions (Order) against Charles Michael Vaughn (Vaughn). The Order finds that on October 24, 2011, Vaughn entered a guilty plea to one count of wire fraud in violation of Title 18 United States Code, Sections 1343 and 2 before the United States District Court for the Northern District of Georgia, in United States v. Charles Michael Vaughn, Indictment No. 1:11-CR-310-RWS. As detailed in the negotiated plea agreement, between July 2004 and October 2007, Vaughn induced more than 50 individuals to invest in a purported pooled investment fund that he claimed earned annual returns from 15 to 50 percent. However, as alleged in the plea agreement, rather than actually investing investor funds in the pooled investment fund, Vaughn misappropriated such funds to finance various private companies that he owned and/or operated and also to pay his personal expenses and to repay earlier investors.

The Order further finds that during the period from August 2001 through March 2008, Vaughn was the sole owner and principal of CM Vaughn, LLC, an unregistered broker based in multiple locations in and around Atlanta, Georgia.

Based on the above, the Order bars Vaughn from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and bars Vaughn from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Vaughn consented to the issuance of the Order. (Rel. 34-68106; File No. 3-14949)

SEC Charges Former J.Crew Executive With Insider Trading

The Securities and Exchange Commission today announced that it filed an insider trading civil action in the United States District Court for the Southern District of New York against Frank A. LoBue, a former Director of Store Operations at J.Crew Group, Inc. (J.Crew). The Commission’s complaint alleges that in the course of his employment LoBue regularly received nonpublic information about J.Crew’s “Stores” component, which comprised approximately 70% of the company’s sales. In April and May 2009, LoBue received several reports that contained such information for the company’s fiscal first quarter ended May 2, 2009 and that showed results were better than expected. The complaint further alleges that LoBue breached duties he owed to the company and its shareholders by using the information to purchase 2,300 shares of J.Crew common stock in advance of the company’s May 28, 2009 quarterly earnings release. The market reacted positively to the release, with J.Crew’s stock closing up 26.4% from its prior close.

The complaint also alleges that in July and August 2009 LoBue continued to receive the reports on J.Crew stores and that the information showed that the company was experiencing an improving sales trend. LoBue again breached his duties by using this information to purchase another 11,680 shares of J.Crew stock ahead of the company’s August 27, 2009 second quarter earnings release. The day following the release, J.Crew stock closed up 6.01% from its prior close. LoBue’s aggregate illicit profits from trading alleged in the complaint were at least $60,735.60

Without admitting or denying the allegations in the complaint, LoBue has consented to the entry of a proposed final judgment permanently enjoining him from violating anti-fraud provisions of the federal securities laws, ordering him to pay disgorgement of $60,735.60, plus prejudgment interest thereon of $6,749.33, and imposing a civil penalty of $60,735.60. The proposed settlement is subject to the approval of the District Court. [SEC v. Frank A. LoBue, 12-CV-7944 (AJN) (S.D.N.Y.)] (LR-22519)


PNC Capital Advisors, LLC, et al.

A notice has been issued giving interested persons until November 19, 2012, to request a hearing on an application filed by PNC Capital Advisors, LLC, PNC Funds and PNC Advantage Funds 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, and 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. The requested order would 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. (Rel. IC-30239 – October 23)

Northern Trust Investments, Inc., et al.

An order has been issued on an application filed by Northern Trust Investments, Inc., et al., for an order to amend an existing order to permit an open-end investment company (Trust) to offer exchange-traded funds based on equity and/or fixed income securities indexes for which Northern Trust Investments, Inc. (Adviser) or an affiliated person, as defined in section 2(a)(3) of the Investment Company Act of 1940, of the Trust, the Adviser, any sub-adviser, distributor or promoter of a fund, is an index provider. In addition, the order modifies various other terms of the Prior Order. (Rel. IC-30240 – October 23)

PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc.

An order has been issued on an application filed by PACE Select Advisors Trust and UBS Global Asset Management (Americas) Inc., exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order supersedes two prior orders and permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30241 – October 23)


Proposed Rule Changes

The Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2012-42) under Section 19(b)(1) of the Securities Exchange Act of 1934 regarding the valuation of securities on deposit. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68093)

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEArca-2012-111) and Amendment No. 1 thereto, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to list and trade shares of the Sprott Physical Platinum and Palladium Trust pursuant to NYSE Arca Equities Rule 8.201. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68101)


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

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

S-3     SandRidge Mississippian Trust I, 919 CONGRESS AVENUE, 
        512 236 6599 - 0 ($11,247,742.00) Equity, (File 333-184561 - Oct. 24) 
        (BR. 04A)

S-3ASR  SandRidge Permian Trust, 919 CONGRESS AVENUE, 
        512 236 6599 - 0 ($57,442,500.00) Equity, (File 333-184562 - Oct. 24) 
        (BR. 04A)

        2017944800 - 1,442,000 ($1,629,460.00) Equity, (File 333-184563 - 
        Oct. 24) (BR. 03B)

        7184461800 - 6,500,000 ($277,095,000.00) Equity, (File 333-184564 - 
        Oct. 24) (BR. 09B)

S-3ASR  Navistar, Inc., 4201 WINFIELD ROAD, WARRENVILLE, IL, 60555, 
        6307535000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-184565 - Oct. 24) (BR. 05)

S-1     Kallo Inc., 15 ALLSTATE PARKWAY, SUITE 600, MARKHAM, A6, L3R 5B4, 
        (416) 246-9997 - 50,000,000 ($229.20) Equity, (File 333-184572 - 
        Oct. 24) (BR. 02B)

S-8     Wayside Technology Group, Inc., 1157 SHREWSBURY AVE, SHREWSBURY, NJ, 
        07702, 7323898950 - 0 ($7,650,000.00) Equity, (File 333-184573 - 
        Oct. 24) (BR. 03A)

S-1     Rockdale Resources Corp, 11044 RESEARCH BLVD., SUITE A-200, AUSTIN, TX, 
        78759, (512) 795-2300 - 10,002,000 ($30,000,000.00) Equity, 
        (File 333-184575 - Oct. 24) (BR. 02A)

        MO, 63141, 3148139200 - 0 ($10,850,000.00) Equity, (File 333-184576 - 
        Oct. 24) (BR. 08B)

S-1     Geo Point Resources, Inc., 1306 E. EDINGER AVE. #C, SANTA ANA, CA, 
        92705, 714-665-8777 - 3,065,000 ($3,065.00) Equity, (File 333-184578 - 
        Oct. 24) (BR. )

        WATERTOWN, MA, 02472, 617-673-8000 - 0 ($220,000,000.00) Equity, 
        (File 333-184579 - Oct. 24) (BR. )

        9735202700 - 7,000,000 ($410,340,000.00) Equity, (File 333-184580 - 
        Oct. 24) (BR. 09B)

        REDWOOD SHORES, CA, 94065, 6508027888 - 
        50,000,000 ($2,275,000.00) Equity, (File 333-184581 - Oct. 24) (BR. 03C)

        6072733210 - 100,000 ($3,993,000.00) Equity, (File 333-184582 - 
        Oct. 24) (BR. 07C)


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


8X8 INC /DE/                            DE       2.02,9.01            10/24/12

ABAXIS INC                              CA       8.01                 10/23/12

ACADIA REALTY TRUST                     MD       8.01                 10/23/12

Activision Blizzard, Inc.               DE       5.02                 10/18/12

AirTouch Communications, Inc.           DE       1.01,2.03,3.02       10/19/12

AKAMAI TECHNOLOGIES INC                 DE       2.02,9.01            10/24/12

ALBANY MOLECULAR RESEARCH INC           DE       5.02                 10/19/12

ALEXION PHARMACEUTICALS INC             DE       2.02,9.01            10/24/12

ALLEGHENY TECHNOLOGIES INC              DE       2.02,9.01            10/24/12

Allegiant Travel CO                     NV       2.02,9.01            10/24/12

Alliance Petroleum Corp                 NV       1.01,3.02,5.01,5.02, 10/23/12
Ally Auto Assets LLC                    DE       1.01,8.01,9.01       10/24/12

ALTAIR NANOTECHNOLOGIES INC             Z4       1.01,2.03            10/19/12

Amarantus BioSciences, Inc.             DE       1.01                 10/17/12

AMBASSADORS GROUP INC                   DE       2.02,8.01,9.01       09/30/12

Ameresco, Inc.                          DE       2.03                 10/19/12

AMERICAN ELECTRIC POWER CO INC          NY       2.02,9.01            10/24/12

AMERICAN HOME ALLIANCE CORP             DE       4.02                 10/24/12

AMERICAN PETRO-HUNTER INC               NV       5.02,8.01,9.01       10/21/12

American Realty Capital Global Trust,            8.01                 10/24/12

American Realty Capital Trust III, In   MD       8.01                 10/22/12

AMERIPRISE FINANCIAL INC                DE       2.02,9.01            10/24/12

Ameris Bancorp                          GA       2.02,9.01            10/23/12

Anchor Bancorp                          WA       2.02,9.01            10/24/12

Angie's List, Inc.                      DE       2.02,9.01            10/24/12

ARBITRON INC                            DE       2.02,9.01            10/24/12

Ares Commercial Real Estate Corp        MD       7.01,9.01            10/24/12

ARIAD PHARMACEUTICALS INC               DE       8.01,9.01            10/24/12

ARRIS GROUP INC                         DE       2.02,9.01            10/24/12

ASPEN INSURANCE HOLDINGS LTD            D0       2.02,7.01,9.01       10/24/12

ASSOCIATED ESTATES REALTY CORP          OH       2.02,9.01            10/23/12

ASSOCIATED ESTATES REALTY CORP          OH       1.01,2.03,9.01       10/24/12

ASSURANT INC                                     2.02,9.01            10/24/12

AT&T INC.                               DE       2.02,9.01            10/24/12

AT&T INC.                               DE       8.01,9.01            10/24/12

ATMI INC                                DE       2.02,9.01            10/24/12

AVALONBAY COMMUNITIES INC               MD       2.02,9.01            10/24/12

Avery Dennison Corp                     DE       2.02,9.01            10/24/12

AVIS BUDGET GROUP, INC.                 DE       1.01,2.03,9.01       10/18/12

AWARE INC /MA/                          MA       2.02,9.01            10/24/12

BAKERS FOOTWEAR GROUP INC               MO       1.02                 10/18/12

BANNER CORP                             WA       2.02,9.01            10/24/12

BARNES & NOBLE INC                      DE       8.01,9.01            10/24/12

BARRETT BUSINESS SERVICES INC           MD       2.02,9.01            10/23/12

Bergio International, Inc.              DE       1.01,9.01            10/18/12

BEST BUY CO INC                         MN       5.02,7.01,9.01       10/24/12

Bioflamex Corp                          NV       1.01,1.02,2.01,3.02, 07/16/12    AMEND

Bluerock Enhanced Multifamily Trust,    MD       1.01,2.01,2.03       10/18/12

BOEING CAPITAL CORP                     DE       2.02,9.01            10/24/12

BOEING CO                               DE       2.02,9.01            10/24/12

BOSTON PROPERTIES INC                   DE       2.02,9.01            10/23/12

BOSTON PROPERTIES LTD PARTNERSHIP       DE       2.02,9.01            10/23/12

BRINKER INTERNATIONAL INC               DE       2.02,9.01            10/24/12

BRISTOL MYERS SQUIBB CO                 DE       2.02,9.01            10/24/12

BROADVISION INC                         DE       2.02,9.01            10/24/12

BUCKEYE TECHNOLOGIES INC                DE       2.02,7.01,9.01       10/23/12

BUCKEYE TECHNOLOGIES INC                DE       7.01,8.01,9.01       10/23/12

CACHE INC                               FL       2.02,9.01            10/04/12

CADENCE DESIGN SYSTEMS INC              DE       2.02,9.01            10/24/12

CALIFORNIA FIRST NATIONAL BANCORP       CA       2.02,5.07,7.01,9.01  10/23/12

CAMERON INTERNATIONAL CORP              DE       5.03,5.05,9.01       10/18/12

CAPITAL SENIOR LIVING CORP              DE       2.01,7.01,9.01       10/23/12

CAPITAL SOUTHWEST CORP                  TX       8.01,9.01            10/24/12

CARPENTER TECHNOLOGY CORP               DE       2.02,9.01            10/23/12

CELADON GROUP INC                       DE       2.02,9.01            10/23/12

CEMPRA, INC.                            DE       1.01,9.01            10/18/12    AMEND

CENTERLINE HOLDING CO                   DE       1.01,9.01            10/19/12

CenterState Banks, Inc.                 FL       2.02,9.01            10/24/12

CENTRAL BANCORP INC /MA/                MA       8.01,9.01            10/19/12

CH ENERGY GROUP INC                     NY       1.01,2.03,9.01       10/19/12

Chanticleer Holdings, Inc.              DE       7.01,9.01            10/24/12

Chanticleer Holdings, Inc.              DE       4.01,4.02,9.01       09/10/12    AMEND

CHEESECAKE FACTORY INC                  DE       2.02,7.01,9.01       10/22/12

China Energy CORP                                4.02,9.01            10/09/12    AMEND

China Energy Recovery, Inc.             DE       1.01                 10/22/12

China TransInfo Technology Corp.        NV       8.01                 10/24/12

CITIZENS HOLDING CO /MS/                MS       2.02,7.01,9.01       10/23/12

CITRIX SYSTEMS INC                      DE       2.02,9.01            10/24/12

Clearwater Paper Corp                   DE       2.02,9.01            10/24/12

CNA FINANCIAL CORP                      DE       5.03,9.01            10/24/12

CNB CORP /MI/                           MI       5.02,8.01,9.01       10/23/12

COEUR D ALENE MINES CORP                ID       8.01                 10/22/12

COHEN & STEERS INC                      DE       2.02,9.01            10/24/12

COLUMBUS MCKINNON CORP                  NY       1.01,2.03,9.01       10/19/12

COMMERCIAL METALS CO                    DE       2.02,9.01            10/24/12

COMMUNICATIONS SYSTEMS INC              MN       8.01,9.01            10/23/12

COMMUNITY BANK SHARES OF INDIANA INC    IN       2.02,9.01            10/24/12

COMMUNITY BANK SYSTEM INC               DE       2.02,9.01            10/23/12

Community Partners Bancorp              NJ       2.02,9.01            10/24/12

CONCURRENT COMPUTER CORP/DE             DE       5.07                 10/23/12

Copano Energy, L.L.C.                            1.01,7.01,9.01       10/19/12

CORELOGIC, INC.                         DE       2.02,9.01            10/24/12

CORNING INC /NY                         NY       2.02,9.01            10/24/12

COSTAR GROUP INC                        DE       2.02,9.01            10/24/12

CRANE CO /DE/                           DE       2.02,9.01            10/23/12    AMEND

Crexendo, Inc.                          DE       8.01,9.01            10/24/12

Crocs, Inc.                                      2.02,9.01            10/24/12

CROSSTEX ENERGY INC                     DE       7.01,9.01            10/22/12

CROSSTEX ENERGY LP                      DE       7.01,9.01            10/22/12

CTS CORP                                IN       2.02,9.01            10/23/12

CULLEN/FROST BANKERS, INC.              TX       2.02,9.01            10/24/12

CVB FINANCIAL CORP                      CA       5.02,9.01            10/23/12

DELTA AIR LINES INC /DE/                DE       2.02,9.01            10/24/12

DELTIC TIMBER CORP                      DE       2.02,9.01            10/24/12

DICE HOLDINGS, INC.                     DE       2.02,9.01            10/24/12

DISCOVERY LABORATORIES INC /DE/         DE       8.01,9.01            10/24/12

DOMINOS PIZZA INC                                7.01,9.01            10/24/12

DONALDSON CO INC                        DE       7.01,9.01            10/23/12

DOVER DOWNS GAMING & ENTERTAINMENT IN   DE       7.01,9.01            10/24/12

DOVER MOTORSPORTS INC                   DE       7.01,9.01            10/24/12

DOVER MOTORSPORTS INC                   DE       7.01,9.01            10/24/12    AMEND

DOW CHEMICAL CO /DE/                    DE       2.05,2.06,8.01       10/23/12

DOW CHEMICAL CO /DE/                    DE       2.02,9.01            10/23/12

Dr Pepper Snapple Group, Inc.           DE       2.02,9.01            10/24/12

DTE ENERGY CO                           MI       2.02,7.01,9.01       10/23/12

DUMA ENERGY CORP                        NV       7.01,9.01            10/24/12

DUPONT FABROS TECHNOLOGY, INC.          MD       2.02,7.01,9.01       10/24/12

DYAX CORP                               DE       2.02,9.01            10/24/12

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01,8.01,9.01       10/24/12

EASTERN CO                              CT       2.02,7.01,9.01       10/24/12

ecoTECH Energy Group Inc.               NV       3.01                 09/20/12

Eloqua, Inc.                                     2.02,9.01            10/24/12

EMC CORP                                MA       2.02,9.01            10/24/12

Emerald Oil, Inc.                       MT       3.03,5.02,5.03,5.07, 10/22/12
Energy Future Holdings Corp /TX/        TX       1.01,2.03,9.01       10/23/12

Enertopia Corp.                         NV       1.01,3.02,7.01,9.01  10/24/12

ENOVA SYSTEMS INC                       CA       3.01                 10/18/12

ENTEGRIS INC                            DE       1.02,2.02,5.02,9.01  10/22/12

EnteroMedics Inc                                 2.02,9.01            10/24/12

ENTROPIC COMMUNICATIONS INC             DE       2.02,9.01            10/24/12

EPL OIL & GAS, INC.                     DE       1.01,7.01,9.01       10/18/12

EPOCRATES INC                           DE       5.02                 10/23/12

EQUIFAX INC                             GA       2.02,9.01            10/24/12

EURONET WORLDWIDE INC                   DE       2.02,9.01            10/23/12

EverBank Financial Corp                 DE       2.02,7.01,9.01       10/24/12

EVEREST RE GROUP LTD                    D0       2.02,9.01            10/24/12

EXAR CORP                               DE       2.02,9.01            10/24/12

Excel Trust, Inc.                       MD       8.01                 10/24/12

EXELON CORP                             PA       7.01                 10/24/12

F&M BANK CORP                           VA       2.02,9.01            10/16/12

F5 NETWORKS INC                         WA       2.02,9.01            10/24/12

FAMOUS DAVES OF AMERICA INC             MN       2.02,9.01            10/24/12

FBR & Co.                               VA       2.02,9.01            10/23/12

FIFTH THIRD BANCORP                     OH       1.01,2.03            10/19/12

FINANCIAL INSTITUTIONS INC              NY       2.02,9.01            10/24/12

FIRST BANCORP /NC/                      NC       2.02,8.01,9.01       10/24/12

FIRST BANCSHARES INC /MS/               MS       2.02,7.01,9.01       10/23/12

First Clover Leaf Financial Corp.       MD       8.01,9.01            10/24/12

FIRST COMMONWEALTH FINANCIAL CORP /PA   PA       2.02,7.01,9.01       10/24/12

FLAG INTERMEDIATE HOLDINGS Corp         DE       8.01,9.01            10/24/12

FLAGSTAR BANCORP INC                    MI       1.01,7.01,9.01       10/23/12

FLAGSTAR BANCORP INC                    MI       2.02,7.01,9.01       10/23/12

FLATBUSH FEDERAL BANCORP INC                     5.07                 10/24/12

FLORIDA GAMING CORP                     DE       5.02,8.01            10/18/12

FLUSHING FINANCIAL CORP                 DE       2.02,9.01            10/23/12

Flux Power Holdings, Inc.               NV       9.01                 06/14/12    AMEND

FNB CORP/FL/                            FL       1.01,9.01            10/22/12

FONU2 Inc.                              NV       1.01,4.02,5.03,9.01  10/22/12

FOREST OIL CORP                         NY       5.02,8.01,9.01       10/19/12

FS Energy & Power Fund                  DE       2.02,9.01            10/24/12

FS Investment CORP                      MD       2.02,9.01            10/24/12

FS Investment Corp II                   MD       2.02,9.01            10/24/12

FUELCELL ENERGY INC                     DE       3.01                 10/19/12

FUSION-IO, INC.                         DE       2.02,9.01            10/24/12

GASCO ENERGY INC                        NV       7.01,9.01            10/23/12

GENERAL DYNAMICS CORP                   DE       2.02,9.01            10/24/12

Georgia-Carolina Bancshares, Inc        GA       2.02,9.01            10/24/12

GILMAN CIOCIA, INC.                     DE       4.01,9.01            10/24/12

GlyEco, Inc.                            NV       3.02,7.01,8.01       10/19/12

GOLDMAN SACHS GROUP INC                 DE       3.03,5.03,8.01,9.01  10/24/12

GRANITE CITY FOOD & BREWERY LTD.        MN       5.07                 10/23/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            10/19/12

GREAT SOUTHERN BANCORP INC              MD       2.02,9.01            10/23/12

Guar Global Ltd.                        NV       5.02                 10/22/12

GUIDED THERAPEUTICS INC                 DE       7.01,9.01            10/24/12

GULF ISLAND FABRICATION INC             LA       5.02                 10/21/12

Hatteras Financial Corp                          2.02,9.01            10/23/12

HEALTH REVENUE ASSURANCE HOLDINGS, IN   NV       4.01,9.01            10/18/12

HEALTHSTREAM INC                        TN       7.01,9.01            10/22/12

Heavy Earth Resources, Inc.             FL       5.02,9.01            10/23/12

Heckmann Corp                           DE       8.01,9.01            10/24/12

Heckmann Corp                           DE       2.02                 10/24/12

HICKORY TECH CORP                       MN       2.02,4.02,9.01       10/18/12

High Plains Gas, Inc.                   NV       5.02                 10/24/12

Hill International, Inc.                DE       1.01,2.03,7.01,8.01, 10/18/12
HOME BANCORP, INC.                      LA       2.02,9.01            10/23/12

HORACE MANN EDUCATORS CORP /DE/         DE       2.02,9.01            10/24/12

HUDSON CITY BANCORP INC                 DE       2.02,9.01            07/25/12

HUDSON VALLEY HOLDING CORP              NY       2.02,9.01            10/24/12

IAC/INTERACTIVECORP                     DE       2.02,7.01            10/24/12

IBERIABANK CORP                         LA       2.02,7.01,9.01       10/23/12

IBERIABANK CORP                         LA       7.01                 10/24/12

IBERIABANK CORP                         LA       2.02,7.01,9.01       10/23/12    AMEND

IDT CORP                                DE       8.01,9.01            10/23/12

IMATION CORP                            DE       2.02,2.05,9.01       10/22/12

INDEPENDENT BANK CORP /MI/              MI       5.02                 10/24/12

INFINERA CORP                           DE       2.02,9.01            10/24/12

Inland Real Estate Income Trust, Inc.   MD       1.01,9.01            10/18/12

Inland Real Estate Income Trust, Inc.   MD       7.01,9.01            10/24/12

InspireMD, Inc.                         DE       7.01,9.01            10/24/12

Insulcrete, Inc.                        DE       4.02                 10/24/12

INTEGRA LIFESCIENCES HOLDINGS CORP      DE       2.02,7.01,9.01       10/24/12

Intellicell Biosciences, Inc.           NV       1.01,1.02,3.02,3.03, 07/20/12

InterDigital, Inc.                      PA       2.02,9.01            10/24/12

INTERFACE INC                           GA       2.02,9.01            10/24/12

INTERSIL CORP/DE                        DE       2.02,7.01,9.01       10/24/12

IPARTY CORP                             DE       2.02,9.01            10/24/12

ITC Holdings Corp.                      MI       2.02,9.01            10/23/12

IXIA                                    CA       2.02,9.01            10/24/12

JARDEN CORP                             DE       2.02,9.01            10/24/12

JMP Group Inc.                          DE       2.02,9.01            10/24/12

JONES GROUP INC                         PA       2.02,7.01,9.01       10/24/12

JUNIATA VALLEY FINANCIAL CORP           PA       2.02,8.01,9.01       10/24/12

KAISER ALUMINUM CORP                    DE       8.01,9.01            10/24/12

KBR, INC.                               DE       2.02,9.01            10/24/12

KENNAMETAL INC                          PA       2.02,5.07,9.01       10/23/12

KIMBERLY CLARK CORP                     DE       2.02,2.05,2.06,9.01  10/23/12

KIMCO REALTY CORP                       MD       8.01,9.01            10/22/12

KNIGHT TRANSPORTATION INC               AZ       2.02,9.01            10/24/12

LENNAR CORP /NEW/                       DE       8.01                 10/23/12

LEVEL 3 COMMUNICATIONS INC              DE       2.02,9.01            10/24/12

LEXINGTON REALTY TRUST                  MD       2.03,3.02,8.01       10/22/12

LILLY ELI & CO                          IN       2.02,9.01            10/24/12

LITHIA MOTORS INC                       OR       2.02,8.01,9.01       10/24/12

LOCKHEED MARTIN CORP                    MD       2.02,9.01            10/24/12

LogMeIn, Inc.                           DE       2.02,9.01            10/24/12

LORILLARD, INC.                         DE       2.02,9.01            10/24/12

LSI CORP                                DE       2.02,9.01            10/24/12

Lumber Liquidators Holdings, Inc.                2.02,9.01            10/24/12

Lustros Inc.                            UT       1.01,9.01            10/21/12

MACK CALI REALTY CORP                   MD       8.01,9.01            10/23/12

MACROSOLVE INC                          OK       5.02,9.01            10/23/12

MAGNUM HUNTER RESOURCES CORP            DE       2.02,7.01,9.01       10/24/12

MAINSOURCE FINANCIAL GROUP              IN       2.02,9.01            10/24/12

MARINE PRODUCTS CORP                    DE       2.02,9.01            10/24/12

MARINE PRODUCTS CORP                    DE       8.01,9.01            10/24/12

Mastech Holdings, Inc.                  PA       2.02,8.01,9.01       10/24/12

MATTSON TECHNOLOGY INC                  DE       2.02,9.01            10/24/12

MEDICINES CO /DE                        DE       2.02,9.01            10/24/12

MERU NETWORKS INC                       DE       2.02,5.02,9.01       10/24/12

METALS USA HOLDINGS CORP.               DE       8.01,9.01            10/24/12

METLIFE INC                             DE       2.02,7.01,9.01       10/24/12

MGM Resorts International               DE       1.01,2.03,9.01       10/22/12

MID PENN BANCORP INC                    PA       2.02,8.01,9.01       10/24/12

MINE SAFETY APPLIANCES CO               PA       2.02,9.01            10/24/12

MIRENCO INC                             IA       5.02                 10/24/12

MISSION BROADCASTING INC                DE       1.01,2.02,7.01,9.01  10/23/12

MKS INSTRUMENTS INC                     MA       2.02,9.01            10/24/12

MOLINA HEALTHCARE INC                   DE       5.02                 10/18/12

MONARCH CASINO & RESORT INC             NV       2.02,9.01            10/24/12

Motorola Solutions, Inc.                DE       2.02,9.01            10/24/12

MRC GLOBAL INC.                         DE       8.01,9.01            10/24/12

MSC INDUSTRIAL DIRECT CO INC            NY       8.01,9.01            10/24/12

MUELLER INDUSTRIES INC                  DE       5.02,8.01,9.01       10/24/12

MultiCell Technologies, Inc.            DE       1.01,3.02,5.02,9.01  10/19/12

MusclePharm Corp                        NV       5.02,9.01            10/18/12

NABI BIOPHARMACEUTICALS                 DE       3.03,5.03,9.01       10/23/12

NABORS INDUSTRIES LTD                   D0       2.02,9.01            10/23/12

NASDAQ OMX GROUP, INC.                  DE       2.02,7.01,8.01,9.01  10/24/12

Naugatuck Valley Financial Corp                  5.02,8.01,9.01       10/23/12

NBT BANCORP INC                         DE       2.02,9.01            10/22/12

Neutral Tandem Inc                               5.02,8.01            10/23/12

NEW JERSEY RESOURCES CORP               NJ       7.01,9.01            10/23/12

NEW YORK COMMUNITY BANCORP INC          DE       2.02,7.01,9.01       10/24/12

NEWFIELD EXPLORATION CO /DE/            DE       2.02,7.01,9.01       10/24/12

NEWS CORP                                        8.01,9.01            10/24/12

NEXSTAR BROADCASTING GROUP INC          DE       1.01,2.02,7.01,9.01  10/23/12

NEXTERA ENERGY INC                      FL       2.02,9.01            10/24/12

NISSAN AUTO LEASING LLC II              DE       1.01,9.01            10/17/12

Noranda Aluminum Holding CORP           DE       2.02,8.01,9.01       10/24/12

NORTHRIM BANCORP INC                    AK       2.02,9.01            10/23/12

NORTHROP GRUMMAN CORP /DE/                       2.02,9.01            10/23/12

NORTHWESTERN CORP                       DE       2.02,9.01            10/24/12

NUVASIVE INC                            DE       2.02,9.01            10/24/12

OLD SECOND BANCORP INC                  DE       2.02,9.01            10/24/12

Omega Flex, Inc.                        PA       2.02,7.01,9.01       10/24/12

Orchids Paper Products CO /DE           DE       2.02,8.01,9.01       10/24/12

Orexigen Therapeutics, Inc.             DE       2.02                 10/24/12

ORIENTAL FINANCIAL GROUP INC            PR       2.02,9.01            10/24/12

ORTHOFIX INTERNATIONAL N V                       2.02,9.01            10/24/12

OSIRIS THERAPEUTICS, INC.               DE       5.02                 10/22/12

Owens Corning                           DE       2.02,9.01            10/24/12

OWENS ILLINOIS INC /DE/                 DE       2.02,9.01            10/24/12

OXIS INTERNATIONAL INC                  DE       7.01,9.01            10/24/12

PACIFIC CAPITAL BANCORP /CA/            DE       2.02,9.01            10/24/12

PACIFIC CONTINENTAL CORP                OR       8.01,9.01            10/23/12

PACIFIC WEBWORKS INC                    NV       5.02                 10/22/12

PAM TRANSPORTATION SERVICES INC         DE       2.02,9.01            10/24/12

Panex Resources Inc.                    NV       5.02                 10/22/12

PDF SOLUTIONS INC                       DE       2.02,9.01            10/24/12

PEAPACK GLADSTONE FINANCIAL CORP        NJ       5.02,9.01            10/18/12

PENNS WOODS BANCORP INC                 PA       1.01,9.01            10/18/12

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       2.02,9.01            10/24/12

PEOPLES FINANCIAL CORP /MS/             MS       2.02,9.01            10/24/12

PETMED EXPRESS INC                      FL       8.01,9.01            10/22/12

PetroLogistics LP                       DE       2.02,9.01            10/24/12

PINNACLE ENTERTAINMENT INC.             DE       2.02,9.01            10/24/12

PLEXUS CORP                             WI       2.02                 10/24/12

POLYONE CORP                                     8.01,9.01            10/24/12

POLYONE CORP                                     2.02,9.01            10/24/12

POWERSECURE INTERNATIONAL, INC.         DE       8.01,9.01            10/24/12

PRAXAIR INC                             DE       2.02,9.01            10/24/12

PRIVATEBANCORP, INC                     DE       8.01,9.01            10/24/12

PROSPERITY BANCSHARES INC               TX       2.02,9.01            10/24/12

PUMA BIOTECHNOLOGY, INC.                DE       1.01,3.01,8.01,9.01  10/18/12

PVR PARTNERS, L P                       DE       2.02,7.01,9.01       10/24/12

Pzena Investment Management, Inc.       DE       2.02,9.01            09/30/12

QLIK TECHNOLOGIES INC                   DE       8.01                 10/19/12

QLT INC/BC                              A1       5.02,8.01,9.01       10/24/12

QNB CORP                                PA       2.02,9.01            10/24/12

QUANTUM CORP /DE/                       DE       2.02,9.01            10/24/12

RAYMOND JAMES FINANCIAL INC             FL       2.02,7.01,9.01       10/24/12

REDFIN NETWORK, INC.                    NV       3.02,5.02,5.03,9.01  10/18/12

REGENERON PHARMACEUTICALS INC           NY       2.02,9.01            10/24/12

REGENERX BIOPHARMACEUTICALS INC         DE       1.01,2.03,3.02,7.01, 10/19/12
REPUBLIC FIRST BANCORP INC              PA       2.02,9.01            10/23/12

RESPECT YOUR UNIVERSE, INC.             NV       5.02,9.01            10/18/12

Reven Housing REIT, Inc.                CO       1.01,2.03,3.02,9.01  10/18/12

Rock Energy Resources, Inc.             DE       7.01,9.01            10/24/12

Rockville Financial, Inc. /CT/          CT       7.01,9.01            10/24/12

ROCKY BRANDS, INC.                      OH       2.02,9.01            10/24/12

ROLLINS INC                             DE       8.01,9.01            10/23/12

ROLLINS INC                             DE       2.02,9.01            10/24/12

RPC INC                                 DE       2.02,9.01            10/24/12

RPC INC                                 DE       8.01,9.01            10/24/12

RURBAN FINANCIAL CORP                   OH       2.02,8.01,9.01       10/18/12

RYLAND GROUP INC                        MD       2.02,9.01            10/24/12

S Y BANCORP INC                         KY       2.02,9.01            10/23/12

SANDISK CORP                            DE       5.02,9.01            10/23/12

SANGAMO BIOSCIENCES INC                 DE       2.02,9.01            10/24/12

SAUER DANFOSS INC                       DE       2.02,9.01            10/24/12

SBT Bancorp, Inc.                       CT       2.02,9.01            10/24/12

SCHULMAN A INC                          DE       2.02,9.01            10/24/12

SCOLR Pharma, Inc.                      DE       1.01                 10/19/12

SELECTIVE INSURANCE GROUP INC           NJ       2.02,7.01,9.01       10/24/12

SERVICE CORPORATION INTERNATIONAL       TX       2.02,9.01            10/24/12

ServiceNow, Inc.                        CA       2.02,9.01            10/24/12

SERVOTRONICS INC /DE/                   DE       2.01,9.01            10/23/12

SI Financial Group, Inc.                         2.02,9.01            10/24/12

SIGNET JEWELERS LTD                              7.01                 10/24/12

SILICON LABORATORIES INC                DE       2.02,9.01            10/24/12

Silverton Adventures, Inc.              NV       4.02                 10/23/12

SIONIX CORP                             NV       5.01                 10/10/12

SIONIX CORP                             NV       5.02                 10/10/12    AMEND

Six Flags Entertainment Corp                     2.02,9.01            10/24/12

SKECHERS USA INC                        DE       2.02,9.01            10/24/12

SM Energy Co                            DE       5.02,9.01            09/28/12

Solar Power, Inc.                       CA       1.01,9.01            10/18/12

SOUTHERN MISSOURI BANCORP INC           MO       2.02,9.01            10/22/12

SPARTAN STORES INC                      MI       2.02,9.01            10/24/12

Spectra Energy Partners, LP             DE       1.01,3.02,7.01,9.01  10/23/12

Spicy Gourmet Manufacturing, Inc.       DE       2.01,5.03,9.01       10/20/12

ST JUDE MEDICAL INC                     MN       8.01                 10/24/12

Steadfast Income REIT, Inc.             MD       7.01,9.01            10/19/12

STEINER LEISURE Ltd                     C5       2.02,9.01            10/24/12

STEPAN CO                               DE       2.02,8.01,9.01       10/24/12

STERICYCLE INC                          DE       2.02,9.01            10/24/12

SunCoke Energy, Inc.                             2.02,7.01,9.01       10/24/12

Support.com, Inc.                       DE       2.02,9.01            10/24/12

SUSQUEHANNA BANCSHARES INC              PA       2.02,9.01            10/24/12

SWIFT ENERGY CO                                  1.01,2.03,9.01       10/18/12

SYMANTEC CORP                           DE       5.02,5.07            10/23/12

SYMANTEC CORP                           DE       2.02,9.01            10/24/12

Symetra Financial CORP                  DE       2.02,9.01            10/24/12

SYMMETRICOM INC                         DE       2.02,2.05,9.01       10/22/12

Synacor, Inc.                           DE       2.02,9.01            10/24/12

SYNERGY RESOURCES CORP                  CO       1.01                 10/18/12

SYNNEX CORP                             DE       1.01,9.01            10/18/12

SYNTHESIS ENERGY SYSTEMS INC            DE       5.02,8.01,9.01       10/23/12

TAL International Group, Inc.           DE       2.02,9.01            10/24/12

TANGOE INC                              DE       9.01                 08/08/12    AMEND

TAPIMMUNE INC                           NV       1.01,2.03,3.02,9.01  10/24/12

TAUBMAN CENTERS INC                     MI       2.02,9.01            10/24/12

TELETOUCH COMMUNICATIONS INC            DE       8.01                 10/19/12

TENNANT CO                              MN       2.02,9.01            10/24/12

TEREX CORP                              DE       2.02,7.01,9.01       10/24/12

THERAVANCE INC                          DE       8.01,9.01            10/24/12

THERMO FISHER SCIENTIFIC INC.           DE       2.02,9.01            10/24/12

THERMOGENESIS CORP                      DE       1.01,9.01            08/20/12    AMEND

THOR INDUSTRIES INC                     DE       5.02                 10/22/12

TITAN INTERNATIONAL INC                 IL       2.02,9.01            10/24/12

Tonix Pharmaceuticals Holding Corp.     NV       8.01,9.01            10/24/12

TOOTSIE ROLL INDUSTRIES INC             VA       2.02,9.01            09/29/12

TORCHMARK CORP                          DE       2.02,9.01            10/24/12

TRACTOR SUPPLY CO /DE/                  DE       2.02,9.01            10/24/12

Transocean Ltd.                         V8       5.02,8.01,9.01       10/23/12

TRIG ACQUISITION 1, INC                 NV       1.01,2.01,3.02,5.01, 10/18/12

TRIQUINT SEMICONDUCTOR INC              DE       2.02,9.01            10/24/12

TrueBlue, Inc.                          WA       2.02,9.01            10/24/12

TUPPERWARE BRANDS CORP                  DE       2.02,9.01            10/24/12

Uni-Pixel                               DE       8.01,9.01            10/24/12

UNION CARBIDE CORP /NEW/                NY       2.05,2.06            10/22/12

United Community Bancorp                X1       2.02,9.01            10/23/12

UNIVERSAL STAINLESS & ALLOY PRODUCTS    DE       2.02,9.01            10/24/12

UNIVERSAL TECH CORP                     DE       2.03,9.01            10/10/12

UNIVEST CORP OF PENNSYLVANIA            PA       2.02,9.01            10/24/12

US AIRWAYS GROUP INC                    DE       2.02,9.01            10/24/12

US AIRWAYS GROUP INC                    DE       7.01,9.01            10/24/12

US TUNGSTEN CORP.                                1.01,9.01            10/01/12

USANA HEALTH SCIENCES INC               UT       8.01,9.01            10/24/12

VIRGIN MEDIA INC.                       DE       8.01,9.01            10/24/12

VISA INC.                               DE       5.02,9.01            10/23/12

VISA INC.                               DE       8.01,9.01            10/24/12

W R GRACE & CO                          DE       2.02,9.01            10/24/12

WEBMEDIABRANDS INC.                     DE       2.02,9.01            10/24/12

WESBANCO INC                            WV       2.02,9.01            10/23/12

WESTERN ALLIANCE BANCORPORATION         NV       8.01                 10/24/12

WHITING PETROLEUM CORP                  DE       2.02,9.01            10/24/12

WILLIS GROUP HOLDINGS PLC               L2       2.02,2.06,9.01       10/23/12

World Omni Auto Receivables Trust 201   DE       8.01,9.01            10/24/12

WYNDHAM WORLDWIDE CORP                  DE       2.02,9.01            10/24/12

WYNN RESORTS LTD                                 2.02,7.01,8.01,9.01  10/24/12

XENOPORT INC                            DE       2.02,9.01            10/24/12

XOMA Corp                               DE       8.01,9.01            10/24/12

YAHOO INC                               DE       2.05                 10/18/12

YELP INC                                DE       1.01,2.01,2.02,3.02, 10/23/12
YOUNG INNOVATIONS INC                   MO       2.02,9.01            10/23/12

ZYNGA INC                               DE       2.02,8.01,9.01       10/24/12



Modified: 10/25/2012