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Commission AnnouncementsCommission MeetingsClosed Meeting on Thursday, November 8, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, November 8, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsIn the Matter of Eugenio VerziliOn November 2, 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 Eugenio Verzili (Verzili). The Order finds that on July 3, 2012, a judgment was entered by consent against Verzili in SEC v. Juno Mother Earth Asset Management, LLC, et al. (Civil Action Number 11 Civ. 1778 (TPG) (S.D.N.Y.)), permanently enjoining Verzili from violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder, and Sections 203A, 206(1), 206(2), 206(4) and 207 of the Advisers Act of 1940, and Rules 206(4)-2 and 206(4)-8 thereunder. The Order finds that the Commission's complaint in SEC v. Juno Mother Earth Asset Management, LLC, et al. alleged that Verzili, Arturo Allan Rodriguez Lopez and Juno Mother Earth Asset Management LLC (Juno) orchestrated a multi-faceted scheme to defraud a hedge fund under their control, as well as the investors in the fund, and failed to comply with their fiduciary obligations to the hedge fund, through: (a) misappropriating approximately $1.8 million of assets from a Juno-advised hedge fund; (b) fraudulently concealing their misappropriation from the fund's independent directors; (c) inflating and misrepresenting Juno's assets under management by approximately $40 million; (d) filing false Forms ADV with the Commission that, among other things, failed to disclose transactions between Juno and the hedge fund; (e) concealing Juno's precarious financial condition; and (f) misrepresenting the amount of capital certain Juno partners had invested in a Juno-advised fund. Based on the above, the Order bars Verzili barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. Verzili consented to the issuance of the Order without admitting or denying any of the findings in the Commission's Order, except that he admitted the entry of injunction. (Rel. IA-3497; File No. 3-15087) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-NASDAQ-2012-120) filed by The NASDAQ Stock Market LLC to modify the annual fees for companies listed on the Nasdaq Capital Market 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 November 5. (Rel. 34-68129) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-Phlx-2012-126) filed by NASDAQ OMX PHLX LLC under Rule 19b-4 of the Securities Exchange Act of 1934 to list and trade option contracts overlying 10 shares of certain securities. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68132) Proposed Rule ChangeThe Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2012-19) under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise the method for determining the minimum clearing fund size to include consideration of the amount necessary to draw on secured credit facilities. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68130) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 Avangard Capital Group, Inc, 2708 COMMERCE WAY SUITE 300, PHILADELPHIA, PA, 19154, (215)464-7300 - 0 ($40,000,000.00) Equity, (File 333-184682 - Nov. 1) (BR. 07) S-8 BMC SOFTWARE INC, 2101 CITYWEST BLVD, HOUSTON, TX, 77042-2827, 7139188800 - 0 ($246,900,000.00) Equity, (File 333-184683 - Nov. 1) (BR. 03C) S-1 Artisan Partners Asset Management Inc., 875 E. WISCONSIN AVENUE, SUITE 800, MILWAUKEE, WI, 53202, 414-390-6100 - 0 ($250,000,000.00) Equity, (File 333-184686 - Nov. 1) (BR. 12B) S-1 FIRST BUSINESS FINANCIAL SERVICES, INC., 401 CHARMANY DRIVE, MADISON, WI, 53719, 608-238-8008 - 0 ($28,750,000.00) Equity, (File 333-184690 - Nov. 1) (BR. 07B) F-1 UBIC, INC., Meisan Takahama Building, 2-12-23, Kounan, Minato-ku, Tokyo, M0, 108-0075, +81 (0) 3-5463-6344 - 0 ($46,000,000.00) Equity, (File 333-184691 - Nov. 1) (BR. 03C) S-8 SONOCO PRODUCTS CO, ONE NORTH SECOND ST, P O BOX 160, HARTSVILLE, SC, 29551-0160, 8433837000 - 10,500,000 ($324,817,500.00) Equity, (File 333-184692 - Nov. 1) (BR. 04B) S-8 AMPHENOL CORP /DE/, 358 HALL AVE, WALLINGFORD, CT, 06492, 2032658900 - 0 ($7,535,000.00) Equity, (File 333-184698 - Nov. 1) (BR. 10A) S-8 Emergent BioSolutions Inc., 2273 RESEARCH BLVD, SUITE 400, ROCKVILLE, MD, 20850, (301) 795-1800 - 3,500,000 ($46,515,000.00) Equity, (File 333-184699 - Nov. 1) (BR. 01B) S-3 G III APPAREL GROUP LTD /DE/, 512 SEVENTH AVE, NEW YORK, NY, 10018, 2126298830 - 0 ($138,122,500.00) Non-Convertible Debt, (File 333-184700 - Nov. 1) (BR. 09A) S-8 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 425-936-6847 - 0 ($1,631,000.00) Equity, (File 333-184701 - Nov. 1) (BR. 10B) S-3 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 425-936-6847 - 0 ($5,565,000.00) Equity, (File 333-184702 - Nov. 1) (BR. 10B) S-3 MICROVISION INC, 6222 185TH AVE NE, REDMOND, WA, 98052, 425-936-6847 - 0 ($25,000,000.00) Unallocated (Universal) Shelf, (File 333-184703 - Nov. 1) (BR. 10B) S-8 Seagate Technology plc, 38/39 FITZWILLIAM SQUARE, DUBLIN 2, L2, 00000, (353) (1) 234-3136 - 0 ($300,583,074.00) Equity, (File 333-184704 - Nov. 1) (BR. 03A) S-8 BE AEROSPACE INC, 1400 CORPORATE CENTER WAY, 1400 CORPORATE CENTER WAY, WELLINGTON, FL, 33414, 5617915000 - 0 ($224,700,000.00) Equity, (File 333-184705 - Nov. 1) (BR. 06B) S-8 APPLE INC, ONE INFINITE LOOP, CUPERTINO, CA, 95014, (408) 996-1010 - 28,947 ($6,081,276.73) Equity, (File 333-184706 - Nov. 1) (BR. 03C) S-8 MPLX LP, 200 E. HARDIN STREET, FINDLAY, OH, 45840, (419) 421-2582 - 0 ($72,916,250.00) Equity, (File 333-184707 - Nov. 1) (BR. 04B) S-8 HYSTER-YALE MATERIALS HANDLING, INC., 5875 LANDERBROOK DRIVE, CLEVELAND, OH, 44124, 4404499600 - 0 ($29,737,500.00) Equity, (File 333-184708 - Nov. 1) (BR. 10A) S-8 HYSTER-YALE MATERIALS HANDLING, INC., 5875 LANDERBROOK DRIVE, CLEVELAND, OH, 44124, 4404499600 - 0 ($3,965,000.00) Equity, (File 333-184709 - Nov. 1) (BR. 10A) S-8 HYSTER-YALE MATERIALS HANDLING, INC., 5875 LANDERBROOK DRIVE, CLEVELAND, OH, 44124, 4404499600 - 0 ($3,965,000.00) Equity, (File 333-184710 - Nov. 1) (BR. 10A) S-1 Eloqua, Inc., 1921 GALLOWS ROAD, SUITE 250, VIENNA, VA, 22182, 703-584-2750 - 0 ($154,525,500.00) Equity, (File 333-184711 - Nov. 1) (BR. 03A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
A123 SYSTEMS, INC. DE 1.01 10/30/12
ABAXIS INC CA 1.01,9.01 10/26/12
ABBY INC. CO 1.01,9.01 10/31/12
ABIOMED INC DE 2.02,8.01,9.01 10/26/12
Acadia Healthcare Company, Inc. DE 5.02,9.01 10/29/12
ACADIA REALTY TRUST MD 8.01,9.01 10/25/12
ACCURAY INC DE 5.02 10/27/12
ACETO CORP NY 8.01 10/29/12
ACL I Corp DE 2.02,9.01 11/01/12
ACTIVE NETWORK INC DE 2.02,9.01 11/01/12
Addus HomeCare Corp DE 2.02,5.02,7.01,9.01 10/29/12
ADVISORY BOARD CO DE 2.02,9.01 11/01/12
AeroGrow International, Inc. NV 7.01,9.01 11/01/12
AES CORP DE 2.06,5.02,7.01,9.01 10/31/12
Affinion Group Holdings, Inc. DE 2.02,9.01 11/01/12
AGL RESOURCES INC GA 2.02,7.01,9.01 11/01/12
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 11/01/12
ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 10/31/12
Alkermes plc. 2.02,9.01 11/01/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/01/12
Alliance HealthCare Services, Inc CA 2.02,9.01 10/31/12
ALLIANT TECHSYSTEMS INC DE 2.02,9.01 11/01/12
ALLSTATE CORP DE 8.01,9.01 10/31/12
ALTERRA CAPITAL HOLDINGS Ltd 2.02,9.01 11/01/12
AMAG PHARMACEUTICALS INC. DE 2.02,9.01 11/01/12
AMERIANA BANCORP IN 2.02,9.01 10/30/12
AMERICAN CAPITAL, LTD 8.01,9.01 11/01/12
AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 11/01/12
AMERICAN LASER HEALTHCARE Corp DE 3.02,4.01,5.02 10/31/12
American Realty Capital Trust IV, Inc MD 2.01,9.01 10/30/12
AMERICAN VANGUARD CORP DE 2.02,9.01 11/01/12
AMERISAFE INC TX 2.02,9.01 11/01/12
AMERISOURCEBERGEN CORP DE 2.02,7.01,8.01,9.01 11/01/12
AMERITRANS CAPITAL CORP DE 1.01,9.01 10/31/12
AMERITRANS CAPITAL CORP DE 5.03,9.01 10/26/12
AMN HEALTHCARE SERVICES INC DE 2.02,9.01 11/01/12
AMPCO PITTSBURGH CORP PA 2.02,9.01 11/01/12
Amtrust Financial Services, Inc. DE 1.01,9.01 10/31/12
ANALYSTS INTERNATIONAL CORP 2.02,9.01 11/01/12
ANNAPOLIS BANCORP INC MD 2.02,8.01,9.01 11/01/12
ANSYS INC DE 2.02,9.01 11/01/12
APACHE CORP DE 2.02,9.01 11/01/12
APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 11/01/12
APTARGROUP INC DE 2.02,9.01 11/01/12
ARKANSAS BEST CORP /DE/ DE 2.02,9.01 11/01/12
ARQULE INC DE 2.02,9.01 11/01/12
As Seen On TV, Inc. FL 1.01,9.01 10/31/12
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/01/12
ASPEN TECHNOLOGY INC /DE/ DE 2.02,9.01 11/01/12
ASTEC INDUSTRIES INC TN 1.01,8.01,9.01 11/01/12
ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 11/01/12
Atlas Energy, L.P. DE 2.02,9.01 10/31/12
Atlas Resource Partners, L.P. DE 2.02,9.01 10/31/12
ATMEL CORP DE 2.02,9.01 11/01/12
AtriCure, Inc. DE 1.01,2.02,5.02,9.01 11/01/12
ATWOOD OCEANICS INC TX 7.01,9.01 10/31/12
AUDIENCE INC 8.01,9.01 11/01/12
AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 11/01/12
AUTOMATIC DATA PROCESSING INC DE 5.02,9.01 11/01/12
Avery Dennison Corp DE 5.02 10/29/12
AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 11/01/12
AVIS BUDGET GROUP, INC. DE 2.02,9.01 11/01/12
AVON PRODUCTS INC NY 2.02,9.01 11/01/12
AXCELIS TECHNOLOGIES INC DE 2.02,9.01 11/01/12
AXT INC DE 2.02,9.01 11/01/12
BALDWIN & LYONS INC IN 7.01,9.01 09/30/12
Bancorp, Inc. 7.01,9.01 11/01/12
Bankrate, Inc. DE 2.02,9.01 11/01/12
BB&T CORP NC 7.01,9.01 11/01/12
bebe stores, inc. CA 2.02,9.01 11/01/12
Beneficial Mutual Bancorp Inc X1 7.01,9.01 11/01/12
BERRY PETROLEUM CO DE 2.02,9.01 11/01/12
BIG 5 SPORTING GOODS CORP DE 2.02,9.01 11/01/12
BILL BARRETT CORP DE 2.02,7.01,9.01 10/31/12
BillMyParents, Inc. CO 5.02,9.01 10/29/12
BIOCRYST PHARMACEUTICALS INC DE 8.01,9.01 10/31/12
BIONOVO INC DE 1.03 10/26/12
BIOTIME INC CA 7.01,9.01 11/01/12
BLACKBAUD INC 2.02,9.01 11/01/12
BLOUNT INTERNATIONAL INC DE 2.02,9.01 11/01/12
BLUCORA, INC. DE 2.02,9.01 11/01/12
BLUE NILE INC DE 2.02,9.01 11/01/12
BlueLinx Holdings Inc. DE 2.02,7.01,9.01 11/01/12
BOISE INC. DE 2.02,9.01 11/01/12
BOSTON BEER CO INC MA 2.02,9.01 11/01/12
BOSTON SCIENTIFIC CORP DE 5.02,8.01,9.01 10/30/12
BOYD GAMING CORP NV 2.02 11/01/12
BPZ RESOURCES, INC. TX 7.01 10/29/12
BREEZE-EASTERN CORP DE 2.02,9.01 11/01/12
BRIGHTCOVE INC DE 2.02,9.01 11/01/12
C H ROBINSON WORLDWIDE INC DE 1.01,2.01,2.03,9.01 10/29/12
CADIZ INC DE 1.01,2.03,3.02 10/30/12
CALLIDUS SOFTWARE INC DE 2.02,9.01 11/01/12
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 10/30/12
Carbonite Inc DE 8.01,9.01 10/31/12
Cardiovascular Systems Inc DE 5.07 10/31/12
CARDTRONICS INC DE 2.02,9.01 11/01/12
CARMIKE CINEMAS INC DE 2.02,9.01 11/01/12
CASTLE A M & CO MD 2.02,7.01,9.01 11/01/12
CATALYST PHARMACEUTICAL PARTNERS, INC DE 7.01,9.01 11/01/12
Catamaran Corp B0 2.02 11/01/12
CAVCO INDUSTRIES INC DE 2.02,9.01 11/01/12
CBOE Holdings, Inc. DE 2.02,9.01 11/01/12
CDW Corp DE 2.02,9.01 11/01/12
CEC ENTERTAINMENT INC KS 2.02,8.01,9.01 10/30/12
CELL THERAPEUTICS INC WA 2.02,9.01 11/01/12
Celldex Therapeutics, Inc. DE 2.02,9.01 11/01/12
CENTURY ALUMINUM CO DE 2.02,9.01 11/01/12
CEVA INC DE 2.02,9.01 11/01/12
CF Industries Holdings, Inc. DE 7.01,9.01 11/01/12
CHART INDUSTRIES INC DE 2.02,9.01 11/01/12
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 11/01/12
CHECKPOINT SYSTEMS INC PA 2.02,9.01 11/01/12
Chefs' Warehouse, Inc. DE 2.02,9.01 11/01/12
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 11/01/12
CHEMUNG FINANCIAL CORP NY 2.02,9.01 10/31/12
CHESAPEAKE ENERGY CORP OK 7.01,9.01 11/01/12
Chesapeake Lodging Trust MD 2.02,9.01 11/01/12
CHINA EDUCATION INTERNATIONAL, INC. NV 5.02 10/29/12
China Energy Recovery, Inc. DE 5.07 10/29/12
China TransInfo Technology Corp. NV 2.01,3.01,3.03,5.01, 11/01/12
5.02,5.03,8.01,9.01
CHRISTOPHER & BANKS CORP DE 5.02,7.01,9.01 10/29/12
Chrysler Group LLC DE 8.01,9.01 11/01/12
CIGNA CORP DE 2.02 11/01/12
CIRCOR INTERNATIONAL INC DE 2.02 11/01/12
CLECO CORP LA 4.01 10/26/12
COINSTAR INC DE 8.01 11/01/12
Colfax CORP DE 2.01,9.01 10/31/12
Columbia Seligman Premium Technology MD 7.01,9.01 11/01/12
COMFORT SYSTEMS USA INC 2.02,8.01,9.01 11/01/12
COMMERCIAL BARGE LINE CO DE 2.02,9.01 11/01/12
COMSCORE, INC. DE 2.02,9.01 11/01/12
Consolidated Communications Holdings, DE 2.02,9.01 11/01/12
CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 11/01/12
CoreSite Realty Corp MD 2.02,9.01 11/01/12
CORPORATE EXECUTIVE BOARD CO DE 2.02,9.01 11/01/12
CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 10/31/12
CORTEX PHARMACEUTICALS INC/DE/ DE 5.02 10/26/12
COSTCO WHOLESALE CORP /NEW WA 5.02,8.01,9.01 10/30/12
COTT CORP /CN/ 2.01,8.01,9.01 11/01/12
CREDIT ACCEPTANCE CORP MI 2.02,9.01 11/01/12
CROWN MEDIA HOLDINGS INC DE 1.01,9.01 10/29/12
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 11/01/12
CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 11/01/12
CURTISS WRIGHT CORP DE 8.01,9.01 11/01/12
CVB FINANCIAL CORP CA 5.02,9.01 10/30/12
CYCLONE POWER TECHNOLOGIES INC FL 5.02 10/23/12
DAVEY TREE EXPERT CO OH 5.02 10/31/12
DAVITA INC DE 2.01,2.03,5.02,5.03, 11/01/12
7.01,9.01
DAVITA INC DE 8.01 11/01/12
DCT Industrial Trust Inc. MD 2.02,9.01 11/01/12
DEL TORO SILVER CORP. NV 3.02 10/31/12
DELCATH SYSTEMS INC DE 8.01,9.01 11/01/12
Delphi Automotive PLC Y9 2.02,9.01 11/01/12
DELTA AIR LINES INC /DE/ DE 5.02 11/01/12
DEXCOM INC DE 1.01,2.02,2.03,9.01 11/01/12
DGSE COMPANIES INC NV 7.01,9.01 10/31/12
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 11/01/12
DIGI INTERNATIONAL INC DE 2.02,9.01 11/01/12
DIGIRAD CORP DE 2.02,9.01 11/01/12
DIGITAL RIVER INC /DE DE 5.02,9.01 11/01/12
DIGITAL RIVER INC /DE DE 2.02,9.01 11/01/12
Discover Financial Services DE 8.01,9.01 11/01/12
Dividend Capital Diversified Property MD 8.01 10/01/12
Divine Skin Inc. FL 1.01,9.01 10/29/12
DJO Finance LLC DE 2.02,9.01 11/01/12
Dolby Laboratories, Inc. DE 5.02 10/29/12
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 11/01/12
Dorman Products, Inc. PA 2.02,9.01 11/01/12
DPL INC OH 2.06 10/31/12
DreamWorks Animation SKG, Inc. 2.02,9.01 11/01/12
DREW INDUSTRIES INC DE 2.02,7.01,9.01 11/01/12
DST SYSTEMS INC DE 5.02 10/30/12
DXP ENTERPRISES INC TX 2.02,9.01 11/01/12
DYNAMICS RESEARCH CORP MA 2.02,2.06,9.01 10/31/12
DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 10/31/12
DYNEX CAPITAL INC VA 2.02,9.01 11/01/12
Eastern Insurance Holdings, Inc. PA 2.02,9.01 11/01/12
ECHELON CORP DE 2.02,9.01 11/01/12
EDAC TECHNOLOGIES CORP WI 2.02,9.01 11/01/12
EDIETS COM INC DE 1.01,7.01,9.01 10/31/12 AMEND
EDISON INTERNATIONAL CA 2.02,7.01,9.01 11/01/12
EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 11/01/12
Elevate, Inc. NV 3.01 10/22/12
Emergent BioSolutions Inc. DE 2.02,7.01,9.01 11/01/12
ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 10/31/12
ENCORE CAPITAL GROUP INC DE 2.02,9.01 11/01/12
ENDEAVOUR INTERNATIONAL CORP NV 2.02,7.01,9.01 11/01/12
ENDOCYTE INC DE 2.02,9.01 11/01/12
Ensco plc 2.02,9.01 10/31/12
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 10/31/12
ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 11/01/12
ENTREMED INC DE 4.01,9.01 10/30/12
EPIQ SYSTEMS INC MO 2.02,9.01 11/01/12
EPL OIL & GAS, INC. DE 2.02,9.01 11/01/12
EQUINIX INC DE 2.02,9.01 11/01/12
EQUITY ONE, INC. 2.02,7.01,9.01 11/01/12
ERIE INDEMNITY CO PA 2.02,9.01 11/01/12
ESSEX PROPERTY TRUST INC MD 2.02,9.01 09/30/12
ESTEE LAUDER COMPANIES INC DE 5.02,9.01 11/01/12
EXELON CORP PA 2.02,7.01,9.01 11/01/12
EXTERRAN HOLDINGS INC. DE 2.02,9.01 11/01/12
EXTERRAN PARTNERS, L.P. DE 2.02,9.01 11/01/12
EXXON MOBIL CORP NJ 2.02,7.01 11/01/12
FAIR ISAAC CORP DE 2.02,9.01 11/01/12
FAIRPOINT COMMUNICATIONS INC DE 2.02,9.01 11/01/12
FARO TECHNOLOGIES INC FL 2.02,9.01 10/31/12
FBL FINANCIAL GROUP INC IA 2.02 11/01/12
FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 11/01/12
FelCor Lodging Trust Inc MD 2.02,9.01 11/01/12
FIDUS INVESTMENT Corp MD 2.02,7.01 11/01/12
FIELDPOINT PETROLEUM CORP CO 5.07 10/19/12
FIRST BANCORP /PR/ PR 2.02,9.01 10/31/12
FIRST FINANCIAL SERVICE CORP KY 5.01 10/31/12
First Guaranty Bancshares, Inc. LA 2.02 11/01/11
FIRST MARBLEHEAD CORP 2.02,9.01 11/01/12
FIRST MARINER BANCORP MD 2.02,9.01 10/31/12
FIRST MIDWEST BANCORP INC DE 7.01,9.01 11/01/12
FIRST SOLAR, INC. DE 2.02,9.01 11/01/12
FISHER COMMUNICATIONS INC WA 2.02,9.01 11/01/12
FLUOR CORP DE 2.02,9.01 11/01/12
FMC CORP DE 2.02,9.01 10/29/12 AMEND
FORD MOTOR CO DE 5.02,8.01,9.01 11/01/12
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 11/01/12
FORMFACTOR INC DE 2.02,9.01 11/01/12
FOSSIL INC DE 5.02,9.01 10/26/12
FOSTER L B CO PA 2.02,9.01 11/01/12
FOSTER WHEELER AG V8 5.02,9.01 10/29/12
Fox Chase Bancorp Inc 2.02,9.01 10/31/12
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 8.01,9.01 10/31/12
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 2.02,9.01 10/31/12
FRANKLIN STREET PROPERTIES CORP /MA/ 5.02 10/26/12
FRANKLIN STREET PROPERTIES CORP /MA/ 2.01,9.01 11/01/12
FreightCar America, Inc. DE 2.02,9.01 11/01/12
FRESH DEL MONTE PRODUCE INC E9 8.01,9.01 10/31/12
FULTON FINANCIAL CORP PA 7.01,9.01 11/01/12
Furiex Pharmaceuticals, Inc. DE 2.02,9.01 11/01/12
FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 11/01/12
FX ENERGY INC NV 7.01,9.01 11/01/12
G III APPAREL GROUP LTD /DE/ DE 8.01,9.01 11/01/12
G III APPAREL GROUP LTD /DE/ DE 8.01,9.01 11/01/12
GAIN Capital Holdings, Inc. DE 2.02,7.01,9.01 11/01/12
GAP INC DE 2.02,9.01 11/01/12
GENTIVA HEALTH SERVICES INC DE 2.02,9.01 11/01/12
GENWORTH FINANCIAL INC DE 5.02,9.01 10/31/12
GeoEye, Inc. DE 8.01 10/31/12
GFI Group Inc. DE 8.01,9.01 10/31/12
GIBRALTAR INDUSTRIES, INC. DE 2.02,7.01,9.01 11/01/12
GLADSTONE COMMERCIAL CORP MD 2.02,9.01 11/01/12
GLADSTONE COMMERCIAL CORP MD 8.01,9.01 11/01/12
GLATFELTER P H CO PA 2.02,9.01 10/31/12
GLOBUS MEDICAL INC DE 2.02,9.01 10/29/12
GLU MOBILE INC DE 2.02,9.01 11/01/12
GlyEco, Inc. NV 1.01,2.01,9.01 10/26/12 AMEND
GNC HOLDINGS, INC. DE 2.02,8.01,9.01 11/01/12
GP STRATEGIES CORP DE 2.02,9.01 11/01/12
Grand Canyon Education, Inc. DE 2.02,9.01 11/01/12
GRAPHITE CORP NV 5.02 10/31/12
Graymark Healthcare, Inc. OK 1.01,2.03,8.01,9.01 10/26/12
GREEN DOT CORP DE 2.02,9.01 11/01/12
GREENBRIER COMPANIES INC OR 2.02,9.01 11/01/12
GREENWAY MEDICAL TECHNOLOGIES INC 2.02,9.01 11/01/12
GSE Holding, Inc. DE 2.02,9.01 11/01/12
GUESS INC DE 5.02,9.01 11/01/12
Guidance Software, Inc. DE 2.02,7.01,9.01 11/01/12
H&E Equipment Services, Inc. DE 2.02,8.01,9.01 11/01/12
HAIN CELESTIAL GROUP INC DE 2.02,9.01 11/01/12
HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 10/31/12
HARRIS INTERACTIVE INC DE 2.02,9.01 11/01/12
HARSCO CORP DE 2.02,9.01 11/01/12
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 11/01/12
HARVARD BIOSCIENCE INC DE 2.02,9.01 11/01/12
HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 09/30/12
HCA Holdings, Inc. 2.02,7.01,9.01 11/01/12
HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 11/01/12
HENNESSY ADVISORS INC 1.01,2.03,9.01 10/26/12
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 11/01/12
HERSHA HOSPITALITY TRUST MD 2.02,9.01 10/31/12
High Plains Gas, Inc. NV 1.01,9.01 11/01/12
High Plains Gas, Inc. NV 1.01,9.01 11/01/12 AMEND
Hillshire Brands Co MD 2.02,9.01 11/01/12
Hillshire Brands Co MD 2.02,9.01 11/01/12
HOLLY ENERGY PARTNERS LP 2.02,9.01 11/01/12
HOMEAWAY INC DE 2.02,9.01 11/01/12
HOPFED BANCORP INC DE 2.02,9.01 10/31/12
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 10/31/12
HOST HOTELS & RESORTS, INC. MD 5.02 10/31/12
HPIL HOLDING NV 1.01 09/30/12
Hudson Global, Inc. DE 2.02,9.01 11/01/12
HUNTINGTON INGALLS INDUSTRIES, INC. DE 5.07 05/02/12 AMEND
HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,9.01 11/01/12
IDACORP INC ID 2.02,7.01,9.01 11/01/12
IDENIX PHARMACEUTICALS INC DE 2.02,9.01 11/01/12
IDENTIVE GROUP, INC. DE 1.01,2.03,9.01 10/30/12
IDENTIVE GROUP, INC. DE 2.02,9.01 11/01/12
II-VI INC PA 1.01,2.01,2.03,7.01, 10/31/12
9.01
ILLINOIS TOOL WORKS INC DE 7.01,9.01 11/01/12
IMMERSION CORP DE 2.02,9.01 11/01/12
IMPAC MORTGAGE HOLDINGS INC MD 2.02,7.01,9.01 10/31/12
IMPERIAL OIL LTD 2.02,9.01 11/01/12
IMPERVA INC DE 2.02,9.01 11/01/12
inContact, Inc. DE 2.02,9.01 11/01/12
INCYTE CORP DE 2.02,9.01 11/01/12
India Globalization Capital, Inc. MD 3.01,7.01,9.01 10/26/12
INGRAM MICRO INC DE 1.01,2.03,9.01 11/01/12
Inland Diversified Real Estate Trust, MD 7.01,9.01 11/01/12
INLAND REAL ESTATE CORP MD 2.02,7.01,8.01,9.01 11/01/12
INNOSPEC INC. DE 2.02,9.01 10/31/12
INPHI Corp DE 5.02 10/26/12
INPHI Corp DE 2.02,9.01 11/01/12
INSPERITY, INC. DE 2.02,9.01 11/01/12
INTEGRATED SILICON SOLUTION INC DE 2.02,9.01 11/01/12
Interactive Intelligence Group, Inc. IN 2.02,9.01 09/30/12
Intermec, Inc. DE 1.01,2.02,2.06,7.01, 10/31/12
9.01
INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 11/01/12
INTERSECTIONS INC DE 5.02 10/25/12
INVENTURE FOODS, INC. DE 2.02,9.01 11/01/12
Invesco Ltd. D0 2.02,9.01 11/01/12
IRIDEX CORP DE 2.02,9.01 11/01/12
Iridium Communications Inc. DE 4.02 10/29/12
Iridium Communications Inc. DE 2.02,9.01 11/01/12
ISSUER DIRECT CORP 2.02,9.01 11/01/12
ITRON INC /WA/ WA 2.02,9.01 11/01/12
IZEA, Inc. NV 5.02,9.01 10/31/12
JAMBA, INC. DE 1.01,2.02,2.03,9.01 11/01/12
JDA SOFTWARE GROUP INC DE 2.02,9.01 11/01/12
JDA SOFTWARE GROUP INC DE 8.01,9.01 11/01/12
K SWISS INC DE 2.02,9.01 11/01/12
KELLOGG CO DE 2.02,9.01 11/01/12
KEMET CORP DE 2.02,2.05,7.01,9.01 11/01/12
KEY ENERGY SERVICES INC MD 2.02,9.01 10/31/12
KEYCORP /NEW/ OH 7.01,9.01 11/01/12
KEYNOTE SYSTEMS INC DE 5.02 10/26/12
KIMBALL INTERNATIONAL INC IN 2.02,9.01 11/01/12
KITE REALTY GROUP TRUST MD 2.02,9.01 11/01/12
Kodiak Oil & Gas Corp B0 2.02,9.01 11/01/12
KOHLS Corp WI 2.02,9.01 11/01/12
Kraton Performance Polymers, Inc. DE 2.02,9.01 11/01/12
L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 11/01/12
Lake Shore Bancorp, Inc. X1 2.02,9.01 11/01/12
LAKES ENTERTAINMENT INC MN 1.01,9.01 10/28/12
LANTRONIX INC DE 2.02,9.01 11/01/12
LAS VEGAS SANDS CORP NV 2.02,9.01 11/01/12
Liberty Global, Inc. DE 7.01 10/31/12
Life Technologies Corp DE 2.02,7.01,9.01 11/01/12
Limelight Networks, Inc. DE 2.02,5.02,8.01,9.01 10/29/12
LINCOLN NATIONAL CORP IN 2.02,9.01 11/01/12
LINCOLN NATIONAL CORP IN 5.02 10/31/12
LINKEDIN CORP DE 2.02,9.01 11/01/12
LITTELFUSE INC /DE DE 2.02,9.01 11/01/12
LITTLEFIELD CORP DE 5.07 10/26/12
LOJACK CORP MA 2.02,9.01 11/01/12
Lone Pine Resources Inc. DE 7.01,9.01 10/31/12
LORILLARD, INC. DE 8.01,9.01 10/30/12
LUCAS ENERGY, INC. NV 5.02,9.01 10/31/12
Lumos Networks Corp. VA 2.02,7.01,9.01 11/01/12
MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 11/01/12
Macquarie Global Infrastructure Total 8.01 11/01/12
Macy's, Inc. DE 2.02,9.01 11/01/12
MAGELLAN PETROLEUM CORP /DE/ DE 1.01,9.01 10/31/12
MAGNACHIP SEMICONDUCTOR Corp DE 2.02,9.01 11/01/12
Manhattan Bancorp CA 5.02 10/26/12
Manning & Napier, Inc. 2.02,9.01 10/31/12
MANNKIND CORP DE 2.02,9.01 11/01/12
MANTECH INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 11/01/12
MAP Pharmaceuticals, Inc. DE 2.02,9.01 11/01/12
Marathon Petroleum Corp DE 2.02,9.01 11/01/12
MARCHEX INC DE 2.02,7.01,8.01,9.01 11/01/12
MARINEMAX INC DE 2.02,9.01 11/01/12
MARKETAXESS HOLDINGS INC 1.01 10/26/12
MASIMO CORP DE 2.02,7.01,9.01 11/01/12
McEwen Mining Inc. CO 7.01,9.01 10/31/12
MCGRATH RENTCORP CA 2.02,9.01 11/01/12
MDC HOLDINGS INC DE 2.02,9.01 11/01/12
MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 10/31/12
MEDIVATION, INC. DE 8.01 10/31/12
MEDNAX, INC. FL 2.02,9.01 11/01/12
MERCER INTERNATIONAL INC. WA 2.02,9.01 11/01/12
METABOLIX, INC. 2.02,9.01 11/01/12
METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 11/01/12
MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 11/01/12
MIDSOUTH BANCORP INC LA 8.01,9.01 10/31/12
ModusLink Global Solutions Inc DE 1.01,2.03,9.01 10/31/12
MOHAWK INDUSTRIES INC DE 2.02,9.01 11/01/12
MONARCH CEMENT CO KS 5.02 10/31/12
MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 11/01/12
MONTPELIER RE HOLDINGS LTD 1.01,9.01 10/31/12
MOTRICITY INC DE 2.02,9.01 11/01/12
MTR GAMING GROUP INC DE 2.02,9.01 11/01/12
MULTIBAND CORP MN 2.02,9.01 11/01/12
NACCO INDUSTRIES INC DE 2.02,9.01 11/01/12
National Bank Holdings Corp DE 8.01,9.01 10/31/12
National CineMedia, Inc. DE 2.02,9.01 11/01/12
NATIONAL HOLDINGS CORP DE 5.02 10/26/12
National Interstate CORP OH 2.02,9.01 10/31/12
NATIONAL RETAIL PROPERTIES, INC. MD 1.01,2.03,9.01 10/31/12
NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 10/30/12
Neiman Marcus, Inc. DE 2.02,7.01 11/01/12
NEOPHOTONICS CORP DE 2.02,9.01 11/01/12
NETSCOUT SYSTEMS INC DE 1.01,9.01 10/31/12
NetSpend Holdings, Inc. DE 2.02,9.01 11/01/12
NEWBRIDGE BANCORP NC 1.01,2.02,3.02,9.01 11/01/12
NEWMONT MINING CORP /DE/ DE 2.02,9.01 11/01/12
NEWS CORP 8.01,9.01 11/01/12
Nexeo Solutions Holdings, LLC DE 7.01,9.01 11/01/12
NN INC DE 1.01,2.03,8.01,9.01 10/26/12
NORDSTROM INC WA 7.01,9.01 11/01/12
NORTHEAST UTILITIES MA 2.02,9.01 11/01/12
NORTHERN TRUST CORP DE 7.01,9.01 11/01/12
NTS REALTY HOLDINGS LP DE 8.01,9.01 11/01/12
Obagi Medical Products, Inc. DE 2.02,9.01 11/01/12
Ocean Shore Holding Co. 2.02,9.01 10/31/12
Oculus Innovative Sciences, Inc. CA 1.01,2.02,9.01 10/29/12
OCWEN FINANCIAL CORP FL 2.02,9.01 11/01/12
Ohr Pharmaceutical Inc 1.01 08/31/12
OIL DRI CORP OF AMERICA DE 8.01 11/01/12
OMEGA PROTEIN CORP NV 8.01 11/01/12
OMEROS CORP WA 1.01,9.01 10/26/12
ON SEMICONDUCTOR CORP DE 2.02,9.01 11/01/12
OneBeacon Insurance Group, Ltd. D0 8.01 10/29/12
ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,3.02,9.01 10/30/12
ONYX PHARMACEUTICALS INC DE 2.02,9.01 11/01/12
OPENTABLE INC DE 2.02,9.01 11/01/12
OPLINK COMMUNICATIONS INC DE 2.02,9.01 11/01/12
OPTIMER PHARMACEUTICALS INC 2.02,9.01 11/01/12
OptimumBank Holdings, Inc. FL 2.02,9.01 11/01/12
Orion Marine Group Inc 1.02,9.01 11/01/12
Pacira Pharmaceuticals, Inc. DE 2.02,9.01 11/01/12
PAR PETROLEUM CORP/CO DE 4.01,9.01 10/29/12
PARKER DRILLING CO /DE/ DE 2.02,9.01 11/01/12
PARKWAY PROPERTIES INC MD 1.01,9.01 11/01/12
PARKWAY PROPERTIES INC MD 2.02,7.01,9.01 10/29/12
PARTNERRE LTD 2.02,8.01,9.01 10/31/12
PC CONNECTION INC DE 2.02,9.01 11/01/12
PDC ENERGY, INC. NV 2.02,9.01 11/01/12
Peninsula Gaming, LLC DE 2.02,9.01 11/01/12
PENN VIRGINIA CORP VA 2.02,7.01,9.01 10/31/12
PENTAIR LTD V8 2.02,9.01 11/01/12
Peoples Federal Bancshares, Inc. 8.01,9.01 11/01/12
PERFICIENT INC DE 2.02,8.01,9.01 11/01/12
PFIZER INC DE 2.02,9.01 11/01/12
PharMerica CORP DE 2.02,9.01 11/01/12
PHOTRONICS INC CT 2.02,9.01 10/31/12
PIONEER ENERGY SERVICES CORP TX 2.02,9.01 11/01/12
PITNEY BOWES INC /DE/ DE 2.02,9.01 10/30/12
PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 11/01/12
PMC COMMERCIAL TRUST /TX TX 1.01,5.02,7.01,9.01 10/26/12
PMI GROUP INC DE 7.01 10/31/12
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 11/01/12
POSITRON CORP TX 1.01,3.02,9.01 10/31/12
POZEN INC /NC 5.02 11/01/12
PREMIER FINANCIAL BANCORP INC KY 2.02,9.01 11/01/12
Prestige Brands Holdings, Inc. 2.02,7.01,9.01 11/01/12
ProPhase Labs, Inc. NV 8.01,9.01 10/29/12
PROS Holdings, Inc. DE 2.02,9.01 11/01/12
PROSPECT CAPITAL CORP MD 7.01 11/01/12
PROSPECT GLOBAL RESOURCES INC. NV 8.01,9.01 11/01/12
Protalix BioTherapeutics, Inc. FL 8.01,9.01 11/01/12
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 11/01/12
PUBLIX SUPER MARKETS INC FL 2.02,9.01 11/01/12
QR Energy, LP DE 1.01,7.01,9.01 10/26/12
QUALITY SYSTEMS, INC CA 2.02,9.01 10/25/12 AMEND
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.01,8.01,9.01 10/31/12
RADIAN GROUP INC DE 2.02,9.01 11/01/12
ReachLocal Inc 2.02,5.02,9.01 11/01/12
REAL ESTATE ASSOCIATES LTD VII CA 1.01,2.01,9.01 10/29/12
REALOGY GROUP LLC DE 8.01,9.01 11/01/12
REALTY INCOME CORP MD 8.01,9.01 11/01/12
REDFIN NETWORK, INC. NV 1.01,2.03,3.02,9.01 10/26/12
REDWOOD TRUST INC MD 2.02,7.01,9.01 11/01/12
REGENERX BIOPHARMACEUTICALS INC DE 4.01,9.01 10/26/12
REGIONS FINANCIAL CORP DE 3.03,5.03,8.01,9.01 10/31/12
REGIONS FINANCIAL CORP DE 8.01,9.01 11/01/12
REGIONS FINANCIAL CORP DE 7.01,9.01 11/01/12
RELIV INTERNATIONAL INC DE 2.02,9.01 10/31/12
RENAISSANCERE HOLDINGS LTD D0 2.02,9.01 11/01/12
Renewable Energy Group, Inc. 3.02 10/29/12
REPROS THERAPEUTICS INC. DE 5.02 10/31/12
REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 10/31/12
REPUBLIC SERVICES, INC. DE 2.02,9.01 11/01/12
RES CARE INC /KY/ KY 2.02,9.01 10/31/12
RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.02,9.01 09/30/12
RGC RESOURCES INC VA 8.01,9.01 11/01/12
Rhino Resource Partners LP DE 2.02,9.01 11/01/12
ROSS STORES INC DE 2.02,9.01 11/01/12
Rovi Corp DE 2.02,9.01 11/01/12
ROYAL GOLD INC DE 2.02,9.01 11/01/12
RR Donnelley & Sons Co DE 2.02,9.01 11/01/12
Saddletree Acquisition Corp DE 5.03 10/31/12
SAIA INC DE 2.02,9.01 11/01/12
SAIA INC DE 5.02,9.01 10/26/12
SandRidge Mississippian Trust I DE 2.02,9.01 11/01/12
SandRidge Mississippian Trust II DE 2.02,9.01 11/01/12
SandRidge Permian Trust 2.02,9.01 11/01/12
SANFILIPPO JOHN B & SON INC DE 5.05,5.07,9.01 10/30/12
Santander Holdings USA, Inc. VA 8.01,9.01 11/01/12
SAUL CENTERS INC MD 2.02,9.01 11/01/12
Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 11/01/12
Select Income REIT MD 2.02,9.01 11/01/12
Shea Homes Limited Partnership CA 2.02,9.01 10/31/12
Shire plc 8.01,9.01 11/01/12
Shire plc 8.01,9.01 11/01/12
SIERRA MONITOR CORP /CA/ CA 2.02,9.01 10/30/12
SIERRA MONITOR CORP /CA/ CA 7.01,9.01 10/30/12
SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 11/01/12
SIRIUS XM RADIO INC. DE 2.02,9.01 11/01/12
SKULLCANDY, INC. 2.02,9.01 11/01/12
SKYWORKS SOLUTIONS, INC. DE 2.02,9.01 11/01/12
SM Energy Co DE 2.02,9.01 10/31/12
SMITH MICRO SOFTWARE INC DE 2.02,9.01 11/01/12
SMTP, Inc. DE 1.01,3.02,7.01,8.01, 10/29/12
9.01
SOLTA MEDICAL INC DE 2.02,9.01 11/01/12
SOURCEFIRE INC DE 2.02,9.01 11/01/12
SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 11/01/12
SOUTHERN MICHIGAN BANCORP INC MI 7.01,8.01,9.01 11/01/12
Spectra Energy Corp. DE 2.02,9.01 11/01/12
Spectra Energy Partners, LP DE 2.01,2.02,9.01 10/31/12
SPINDLE, INC. NV 5.07 10/29/12
Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 11/01/12
ST JOE CO FL 2.02,9.01 11/01/12
ST JUDE MEDICAL INC MN 2.05 11/01/12
STAAR SURGICAL CO DE 2.02,7.01,9.01 10/31/12
STANDEX INTERNATIONAL CORP/DE/ DE 2.02,9.01 09/30/12
STARBUCKS CORP WA 2.02,9.01 11/01/12
STATE STREET CORP MA 7.01,9.01 11/01/12
STEELCASE INC MI 8.01 11/01/12
Strategic Storage Trust, Inc. MD 9.01 08/16/12 AMEND
STREAMLINE HEALTH SOLUTIONS INC. DE 3.02,3.03,5.07,9.01 10/31/12
SUNLINK HEALTH SYSTEMS INC OH 1.01,9.01 10/26/12
SUNPOWER CORP DE 2.02,9.01 11/01/12
Sunstone Hotel Investors, Inc. MD 2.02,9.01 11/01/12
SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02 10/31/12
SWIFT ENERGY CO 2.02,9.01 11/01/12
Swisher Hygiene Inc. DE 1.01,2.03,9.01 10/31/12
Symmetry Medical Inc. DE 8.01,9.01 11/01/12
SYSTEMAX INC DE 2.02,2.05,2.06,9.01 10/31/12
T3 Motion, Inc. DE 3.01,5.02,9.01 10/26/12
Targa Resources Corp. DE 2.02,9.01 11/01/12
Targa Resources Partners LP DE 2.02,9.01 11/01/12
TARGET CORP MN 2.02,9.01 11/01/12
TECO ENERGY INC FL 2.02,9.01 11/01/12
TERADATA CORP /DE/ 2.02,9.01 11/01/12
TEREX CORP DE 8.01,9.01 10/29/12
Territorial Bancorp Inc. MD 8.01,9.01 11/01/12
Territorial Bancorp Inc. MD 8.01,9.01 11/01/12
TESORO CORP /NEW/ DE 7.01,9.01 11/01/12
TESSCO TECHNOLOGIES INC DE 2.02,9.01 10/31/12
TESSERA TECHNOLOGIES INC DE 2.02,9.01 11/01/12
TEXAS PACIFIC LAND TRUST 2.02,9.01 11/01/12
Texas Roadhouse, Inc. DE 2.02,9.01 11/01/12
TGC INDUSTRIES INC TX 2.02,9.01 11/01/12
THOMAS PROPERTIES GROUP INC DE 2.02,9.01 10/31/12
THORATEC CORP CA 2.02,9.01 11/01/12
TILE SHOP HOLDINGS, INC. DE 2.02,9.01 11/01/12
TMS International Corp. DE 5.02,9.01 10/30/12
TMS International Corp. DE 2.02,9.01 11/01/12
Tower International, Inc. DE 2.02,7.01,9.01 11/01/12
TPC Group Inc. DE 2.02,7.01,9.01 11/01/12
TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 11/01/12
TRANSCAT INC OH 2.02,9.01 10/29/12
TREX CO INC DE 2.02,9.01 11/01/12
TRIDENT MICROSYSTEMS INC DE 8.01,9.01 10/31/12
TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 11/01/12
TripAdvisor, Inc. DE 2.02,9.01 11/01/12
TTM TECHNOLOGIES INC WA 2.02,9.01 11/01/12
TUTOR PERINI Corp MA 2.02,9.01 11/01/12
Twin Cities Power Holdings, LLC MN 5.02 10/31/12
ULTRA PETROLEUM CORP 2.02,9.01 09/30/12
UNIT CORP DE 2.02,9.01 11/01/12
UNITED ONLINE INC DE 2.02,9.01 11/01/12
UNITED SECURITY BANCSHARES INC DE 2.02,9.01 11/01/12
UNITED THERAPEUTICS Corp DE 2.02,9.01 11/01/12
UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 10/31/12
Universal Truckload Services, Inc. MI 5.03,9.01 11/01/12
UNIVEST CORP OF PENNSYLVANIA PA 5.02 10/31/12
UQM TECHNOLOGIES INC CO 5.02,9.01 11/01/12
US FUEL CORP NV 8.01 08/31/12
USA Mobility, Inc DE 2.02,8.01,9.01 11/01/12
USA Synthetic Fuel Corp DE 1.01,2.01,9.01 10/26/12
VALHI INC /DE/ DE 7.01,9.01 10/31/12
VALIDUS HOLDINGS LTD 5.02 10/31/12
VALUECLICK INC/CA DE 2.02,9.01 11/01/12
Vanguard Natural Resources, LLC DE 2.02,7.01,9.01 11/01/12
Vantiv, Inc. 2.02,7.01,9.01 11/01/12
Vantiv, Inc. 5.02 11/01/12 AMEND
VERISIGN INC/CA DE 8.01,9.01 11/01/12
Versant International, Inc. NV 1.01,9.01 10/26/12
VERTEX PHARMACEUTICALS INC / MA MA 2.02,9.01 11/01/12
VIASPACE Inc. 1.01,3.02 10/29/12
ViewPoint Financial Group Inc. 5.02,9.01 10/29/12
VIRTUSA CORP 2.02,9.01 11/01/12
VISTEON CORP DE 2.02,7.01,9.01 11/01/12
VUMEE INC. NV 7.01,9.01 10/23/12
WABASH NATIONAL CORP /DE DE 2.02,9.01 10/31/12
WARWICK VALLEY TELEPHONE CO NY 3.01,8.01,9.01 10/26/12
WASHINGTON FEDERAL INC WA 8.01 10/31/12
WATSON PHARMACEUTICALS INC NV 2.02,9.01 11/01/12
WebMD Health Corp. DE 2.02,9.01 11/01/12
WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 11/01/12
Western Refining, Inc. DE 2.02,9.01 11/01/12
Western Standard Energy Corp. NV 1.01,3.02,5.02,9.01 10/12/12 AMEND
Whiffletree Acquisition Corp DE 5.03 11/01/12
WINTRUST FINANCIAL CORP IL 1.01,2.03,9.01 10/26/12
WMI HOLDINGS CORP. WA 7.01,9.01 11/01/12
WNC CALIFORNIA HOUSING TAX CREDITS II CA 2.02,9.01 11/01/12
WNC HOUSING TAX CREDIT FUND III L P CA 2.02,9.01 11/01/12
WNC HOUSING TAX CREDIT FUND IV L P SE CA 2.02,9.01 11/01/12
WNC HOUSING TAX CREDIT FUND V LP SERI CA 2.02,9.01 11/01/12
WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 11/01/12
WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 11/01/12
WORTHINGTON ENERGY, INC. NV 9.01 10/29/12
WPX ENERGY, INC. DE 2.02 11/01/12
WSFS FINANCIAL CORP DE 2.02,9.01 10/30/12
XPLORE TECHNOLOGIES CORP DE 8.01,9.01 10/31/12
Xylem Inc. IN 2.02,7.01,9.01 11/01/12
YELP INC DE 2.02,9.01 11/01/12
Yinfu Gold Corp. WY 1.01,9.01 10/29/12
ZAGG Inc NV 2.02,9.01 11/01/12
Zevotek, Inc DE 4.01,9.01 08/27/12 AMEND
Zevotek, Inc DE 4.01,9.01 08/27/12 AMEND
ZION OIL & GAS INC DE 8.01,9.01 11/01/12
http://www.sec.gov/news/digest/2012/dig110212.htm
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