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Enforcement ProceedingsSEC Charges Executives and Auditor of Electronic Game Card Company with FraudOn November 8, 2012, the Securities and Exchange Commission charged three executives with repeatedly lying to investors about the operations and financial condition of an Irvine, Calif.-based company that purported to sell credit card-size electronic games. The SEC also charged the company’s independent auditor with facilitating the scheme. The SEC alleges that chief executive officer Lee Cole and chief financial officer Linden Boyne orchestrated a scheme in which Electronic Game Card Inc. (EGMI) enticed investors by claiming to have millions of dollars in annual revenue, hold millions of dollars in investments, and own an off-shore bank account worth more than $10 million. In reality, many of the company’s purported contracts were phony, the purported investments were merely in entities affiliated with Cole or Boyne, and the bank account did not exist. As a result of EGMI’s false claims, the company’s outstanding common stock was once valued as high as $150 million. EGMI is now bankrupt and its stock is worthless. The SEC charged the company’s outside auditor – certified public accountant Timothy Quintanilla – with repeatedly issuing clean audit opinions about EGMI based on reckless and deficient audit work. Also charged is Kevin Donovan, who later replaced Cole as CEO and ignored many red flags about the accuracy of the company’s public statements and the integrity of Cole and Boyne. He provided false information during conference calls with analysts and investors. “Cole and Boyne played a game of make-believe with a publicly-traded microcap company,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “We will continue to fight microcap fraud and bring charges against not only the company executives but also the auditors or other gatekeepers who legitimize a fraud and allow investors to be victimized.” According to the SEC’s complaint filed in federal court in Manhattan, EGMI’s material misrepresentations and omissions in SEC filings and public statements occurred from 2007 to 2009. The company repeatedly reported non-existent revenues and assets, misrepresented its business operations, and failed to disclose related-party transactions. Those misrepresentations and others like them were just part of a scheme that Cole and Boyne orchestrated through EGMI to reap approximately $12 million in unlawful gains. While they were making material misrepresentations to inflate EGMI’s stock price, Cole and Boyne also secretly funneled millions of shares of EGMI stock to entities based in Gibraltar that they secretly controlled. They directed the Gibraltar entities to sell the shares, and proceeds of those sales were transferred to people or entities associated with Cole and Boyne or to EGMI itself. Cole and Boyne bolstered their lies by providing falsified documents to the company’s outside auditors. The SEC alleges that as EGMI’s engagement partner, Quintanilla and the public accounting firm Mendoza Berger & Co. LLP issued clean audit opinions for EGMI’s year-end financial statements for 2006, 2007, and 2008, even though those statements were riddled with material misstatements and omissions. Mendoza Berger and Quintanilla knowingly or recklessly misrepresented that the firm had conducted audits of EGMI’s financial statements “in accordance with the standards of the Public Company Accounting Oversight Board (United States).” Mendoza Berger’s opinion stated that EGMI’s financial statements “present[ed] fairly, in all material respects, the financial position” of EGMI. In fact, Mendoza Berger had not audited critical aspects of EGMI’s financial statements, and its work did not conform to the standards of the Public Company Accounting Oversight Board (PCAOB). Quintanilla had no meaningful basis to have Mendoza Berger issue an opinion on EGMI’s financial statements. The SEC further alleges that shortly after Donovan became CEO, he was notified of many red flags related to the company’s public statements about its operations, finances, and share count. Donovan violated the antifraud provisions of the securities laws when he led several public conference calls with securities analysts and investors in 2009, and knowingly or recklessly relayed false financial information about the company that had been provided to him by Cole and Boyne. The SEC’s complaint alleges that Cole and Boyne violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933; Sections 10(b), 13(b)(5), 13(d), and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5, 13a-14, 13b2-1, 13b2-2, 13d-1, 13d-2, 16a-2, and 16a-3; and Section 304 of the Sarbanes-Oxley Act of 2002. The SEC also alleges that Cole and Boyne are liable as control persons and for aiding and abetting violations of Sections 10(b), 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1 and 13a-13. The SEC charges that Donovan violated Sections 17(a)(1) and 17(a)(3) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5. The SEC alleges that Quintanilla violated Section 17(a) of the Securities Act and Sections 10(b), 10A(a)(1), and 10A(b)(1) of the Exchange Act and Rule 10b-5. Quintanilla also is charged with aiding and abetting violations of Sections 10(b), 10A(a)(1), and 10A(b)(1) of the Exchange Act and Rule 10b-5 thereunder. The SEC’s complaint seeks, among other things, a final judgment ordering Cole, Boyne, Donovan, and Quintanilla to pay financial penalties and permanently enjoining them from future violations of the securities laws; enjoining Cole, Boyne, and Donovan from serving as officers and directors of public companies and from participating in penny stock offerings; and ordering Cole, Boyne, and Quintanilla to disgorge their ill-gotten gains with prejudgment interest. The SEC’s investigation, which is continuing, has been conducted by Michael Paley, Stephen Larson, James Addison, Gwen Licardo, and Aaron Arnzen of the New York Regional Office. Mr. Arnzen will lead the SEC’s litigation. The SEC thanks the PCAOB for its assistance in this matter. (Press Rel. 2012-223; [SEC v. Lee Cole, Linden Boyne, Kevin B. Donovan and Timothy Quintanilla, Civil Action No. 12 Civ. 8167 (RJS) (S.D.N.Y.)] LR-22529; AAE Rel. 3423) Delinquent Filer’s Stock Registration RevokedThe registration of the registered securities of China Medical Technologies, Inc., has been revoked. It failed to comply with reporting requirements of the Securities Exchange Act of 1934. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68198; File No. 3-15062) In the Matter of Irwin LipkinOn November 9, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act), and Section 203(f) of the Investment Advisers Act of 1940 (Advisers Act) and Notice of Hearing (Order) against Irwin Lipkin. In the Order, the Division of Enforcement alleges that on November 8, 2012, Lipkin pleaded guilty to one count of conspiracy to (a) commit securities fraud, (b) falsify the books and records of a broker-dealer, (c) falsify the books and records of an investment adviser, (d) make false filings to the Commission, and (e) falsify statements in relation to documents required by the Employee Retirement Income Security Act (ERISA); and one count of falsifying statements in relation to documents required by ERISA before the United States District Court for the Southern District of New York, in United States v. Irwin Lipkin, 10 Cr. 228 (LTS). The criminal counts of the information to which Lipkin pleaded guilty alleged, among other things, that: at the instruction of Bernard Madoff, Lipkin made deceptive entries in Bernard L. Madoff Investment Securities, LLC’s (BMIS) books and records to manipulate the firm’s reported financial results; these false entries were reflected in FOCUS reports and annual financial statements that BMIS filed with the Commission and provided to various BMIS investors; Lipkin requested other BMIS employees to reflect fake trades in BMIS accounts belonging to Lipkin and his family members, including for the purpose of artificially reducing taxable gains; and Lipkin arranged for “no show” jobs at BMIS, which allowed Lipkin and his wife to receive a salary and benefits that they were not entitled to receive, even after Lipkin retired from BMIS. A hearing will be scheduled before an Administrative Law Judge to determine whether such allegations are true, to afford the Respondent an opportunity to establish defenses to the allegations, and to determine whether remedial action is necessary and appropriate. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-68203; IA-3500; File No. 3-15089) Portfolio Manager of N.Y.-Based Investment Advisory Firm Settles Fine Amount For Fraudulent Management of CDOsThe Commission today announced Aamer Abdullah, formerly a portfolio manager at New York-based investment advisory firm ICP Asset Management, LLC (ICP), has agreed to settle the disgorgement and penalty amounts relating to the June 2010 settlement of the agency’s charges that he defrauded several collateralized debt obligations (CDOs) that he managed. In June 2010, Abdullah consented, without admitting or denying the allegations of the Commission’s complaint, to the entry of a partial judgment enjoining him from future violations of the securities laws and agreed to be barred from association with any broker, dealer, or investment adviser. The Court has now entered a final judgment ordering Abdullah to pay $175,000 in disgorgement, prejudgment interest of $32,320, and a civil penalty of $100,000. The penalty amount considers the assistance Abdullah provided to the Commission’s staff under the Commission’s Enforcement Cooperation Initiative. [SEC v. Aamer Abdullah, Civil Action No. 10-CV-4957 (S.D.N.Y.)] (LR-22527) SEC Charges South Florida Man With Recruiting Victims of Ponzi SchemeThe Securities and Exchange Commission today charged a South Florida man with defrauding at least 14 investors by soliciting them to invest in a Ponzi scheme. A significant number of the victims were members of the gay community in Wilton Manors, Florida and included inexperienced, unaccredited investors. In the complaint filed in the U.S. District Court for the Southern District of Florida, the SEC alleges that James F. Ellis, 69, a resident of Wilton Manors, Florida, fraudulently solicited investors for George Elia from 2004 to 2011. Elia operated pooled investment vehicles under the names Investor Funding Club and Vision Equities Funds. Elia purported to trade in stocks and earn annual returns as high as 26 percent, but was actually running a Ponzi scheme and paying returns to existing investors from new investor funds. In April 2012, the Commission charged Elia with securities fraud. See Litigation Release No. 22319 (April 6, 2012). According to the Commission’s complaint against Ellis, Ellis persuaded prospective investors by falsely telling them that he had personally invested with Elia at least $5 million that he had inherited from his parents. Ellis variously told investors that he earned 16% to 20% annual returns on his investment with Elia or that he earned $20,000 to $24,000 per month. Elia and his entities did in fact pay Ellis over $2.1 million over seven years. However, those payments were not investment returns because, as Ellis knew, he had not made an investment with Elia that would have returned such large sums of money. According to the complaint, Ellis also reassured prospective investors of the safety of the investment by falsely telling them that he had tested Elia by depositing a large amount of money with Elia, then asking for and receiving it back. According to the complaint, Ellis bolstered his deceptive claims about the success of his investment with Elia with ostentatious displays of wealth, including expensive real estate, luxury cars, jewelry, opulent entertaining of his friends, and expensive cruises. Though Ellis claimed that his investments with Elia made his luxurious lifestyle possible, he failed to disclose to investors that his wealth derived not from legitimate investment returns but from the money that Elia paid him for fraudulently touting Elia’s investment vehicles. The Commission’s complaint charges Ellis with securities fraud in violation of Section 17(a)(1), (2) and (3) of the Securities Act of 1933 (“Securities Act”) and Section 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 10b-5 thereunder. The complaint also alleges that Ellis violated the registration provisions of Sections 5(a) and (c) of the Securities Act. The Commission is seeking permanent injunctions against Ellis for violating the above provisions of the securities laws, disgorgement of ill-gotten gains plus pre-judgment interest, and civil penalties. Separately, the United States Attorney’s Office for the Southern District of Florida today announced criminal charges against Ellis for his conduct in the scheme. The Commission thanks the U.S. Attorney’s Office and the Federal Bureau of Investigation for their assistance in this matter. [SEC v. Ellis (United States District Court for the Southern District of Florida, Civil Action No. 0:12-cv-62211] (LR-22528) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-104) to amend the fees schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68178) A proposed rule change filed by NYSE Arca, Inc. to amend the NYSE Arca Options Fee Schedule relating to pricing applicable to electronic transactions in Non-Penny Pilot issues (SR-NYSEARCA-2012-121) 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 12. (Rel. 34-68179) A proposed rule change filed by the Chicago Stock Exchange, Inc. to alter its fee schedule to amend its Institutional Broker credits (SR-CHX-2012-18) 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 12. (Rel. 34-68180) A proposed rule change filed by the Chicago Stock Exchange, Inc. to alter its fee schedule to increase its DEA fees (SR-CHX-2012-17) 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 12. (Rel. 34-68181) A proposed rule change filed by the Chicago Stock Exchange, Inc. to amend single-sided orders fees and rebates (SR-CHX-2012-16) 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 12. (Rel. 34-68182) A proposed rule change filed by NYSE MKT LLC to increase the Options Regulatory Fee and to revise the circumstances under which NYSE Amex Options LLC will collect the Options Regulatory Fee (SR-NYSEMKT-2012-54) 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 12. (Rel. 34-68183) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-048) to repeal the changes described in SR-FINRA-2011-019 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 12. (Rel. 34-68192) Proposed Rule ChangesNew York Stock Exchange LLC filed a proposed rule change (SR-NYSE-2012-57) under Section 19(b)(1) of the Securities Exchange Act of 1934 deleting NYSE Rules 95(c) and (d) and related supplementary material. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68185) NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2012-58) under Section 19(b)(1) of the Securities Exchange Act of 1934 deleting NYSE MKT Rules 95(c) and (d) – Equities and related supplementary material. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68186) Withdrawal of Proposed Rule ChangeThe Commission issued notice of withdrawal of a proposed rule change (SR-EDGX-2012-33), filed by EDGX Exchange, Inc., to amend EDGX Rule 11.5(c) to add the Edge Market CloseSM Order. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68189) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change, as modified by Amendment No. 1, submitted by NYSE MKT LLC (SR-NYSEMKT-2012-42) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending Rule 903(h) and related Commentary .10 to expand the number of expirations available under the Short Term Option Series Program (“STOS Program”), to allow for the exchange to delist series in the STOS Program that do not have open interest, and to expand the number of series in the STOS Program under limited circumstances. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68191) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 FreightCar America, Inc., TWO NORTH RIVERSIDE PLAZA, SUITE 1300, CHICAGO, IL, 60606, (800) 458-2235 - 0 ($19,610,000.00) Equity, (File 333-184820 - Nov. 8) (BR. 05B) S-8 BioNeutral Group, Inc, 211 WARREN STREET, NEWARK, NJ, 07103, (973) 286-2899 - 10,000,000 ($690,000.00) Equity, (File 333-184821 - Nov. 8) (BR. 02A) S-8 Willdan Group, Inc., 2401 EAST KATELLA AVENUE, SUITE 300, ANAHEIM, CA, 92806, 800-424-9144 - 0 ($813,260.00) Equity, (File 333-184823 - Nov. 8) (BR. 06C) S-8 REPLIGEN CORP, 41 SEYON STREET, BUILDING 1, SUITE 100, WALTHAM, MA, 02453, 7814499560 - 0 ($75,750.00) Equity, (File 333-184824 - Nov. 8) (BR. 01B) S-3 ACHILLION PHARMACEUTICALS INC, 300 GEORGE STREET, NEW HAVEN, CT, 06511, 203-624-7000 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-184826 - Nov. 8) (BR. 01A) S-8 BODY CENTRAL CORP, 6225 POWERS AVENUE, JACKSONVILLE, FL, 32217, 904-737-0811 - 0 ($4,060,000.00) Equity, (File 333-184827 - Nov. 8) (BR. 09) S-3ASR Warner Chilcott plc, 1 GRAND CANAL SQUARE, DOCKLANDS, DUBLIN 2, IRELAND, L2, 00000, 353 1 897 2000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184828 - Nov. 8) (BR. 01B) S-3 ONCOGENEX PHARMACEUTICALS, INC., 1522 217TH PLACE S.E., BOTHELL, WA, 98021, 4254879500 - 0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-184829 - Nov. 8) (BR. 01A) S-1 OCONN INDUSTRIES CORP, 33-35 DAWS LANE, LONDON, X0, NW7 4SD, 808-189-1222 - 5,200,000 ($52,000.00) Equity, (File 333-184830 - Nov. 8) (BR. ) S-1 Nexus Enterprise Solutions, Inc., 5340 N. FEDERAL HIGHWAY, STE. 206, LIGHTHOUSE POINT, FL, 33064, 813-393-0877 - 7,492,000 ($1,873,000.00) Equity, (File 333-184832 - Nov. 8) (BR. ) S-8 RACKSPACE HOSTING, INC., 5000 WALZEM RD., SAN ANTONIO, TX, 78218, 2103124000 - 18,296,835 ($1,164,044,642.70) Equity, (File 333-184833 - Nov. 8) (BR. 03B) S-4 Scientific Games International, Inc., 1500 BLUEGRASS LAKES PARKWAY, ALPHARETTA, GA, 30004, 2127542233 - 0 ($300,000,000.00) Other, (File 333-184835 - Nov. 8) (BR. 03) 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
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99 CENTS ONLY STORES CA 5.02 11/07/12
99 CENTS ONLY STORES CA 4.01,9.01 11/07/12
AAON INC NV 2.02,8.01,9.01 11/08/12
AASTROM BIOSCIENCES INC MI 2.02,9.01 11/08/12
ACCELLENT INC 2.02,9.01 11/08/12
ACCURIDE CORP DE 1.01,3.03,7.01,9.01 11/06/12
ACHILLION PHARMACEUTICALS INC DE 2.02,9.01 11/08/12
ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 11/08/12
ADCARE HEALTH SYSTEMS INC OH 1.01 11/05/12
ADEPT TECHNOLOGY INC DE 2.02,5.02,9.01 11/08/12
ADVANCE AUTO PARTS INC DE 2.02,9.01 11/08/12
Advanced BioEnergy, LLC DE 3.02 11/02/12
ADVANCED MICRO DEVICES INC DE 5.02,9.01 11/07/12
ADVANT E CORP DE 2.02,9.01 11/08/12
AEROFLEX HOLDING CORP. DE 2.02,9.01 11/08/12
AFC ENTERPRISES INC MN 2.02,9.01 11/07/12
Affinia Group Intermediate Holdings I DE 2.02,9.01 11/08/12
AFFYMAX INC DE 2.02,9.01 11/08/12
Agricon Global Corp DE 8.01,9.01 04/05/12
AIR LEASE CORP DE 2.02,9.01 11/08/12
AIR METHODS CORP DE 2.02,9.01 11/08/12
Air Transport Services Group, Inc. DE 2.02,9.01 11/08/12
ALERE INC. DE 2.02,9.01 11/08/12
Alexander & Baldwin, Inc. HI 2.02,9.01 11/08/12
Alexander & Baldwin, Inc. HI 2.02,9.01 11/08/12
ALEXION PHARMACEUTICALS INC DE 8.01 11/08/12
ALIMERA SCIENCES INC DE 1.01 11/03/12
All American Gold Corp. WY 1.01,9.01 11/01/12
ALLIED HEALTHCARE PRODUCTS INC DE 7.01,9.01 11/08/12
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,9.01 11/08/12
Alphatec Holdings, Inc. DE 3.02,8.01 11/06/12
ALTAIR NANOTECHNOLOGIES INC Z4 1.01,2.02,9.01 11/01/12
ALTERA CORP DE 5.02,9.01 11/07/12
Amarantus BioSciences, Inc. DE 8.01 11/07/12
AMARIN CORP PLC\UK X0 2.02,9.01 11/08/12
AMBIENT CORP /NY DE 2.02,9.01 11/07/12
AMC Networks Inc. DE 2.02,9.01 11/08/12
AMCON DISTRIBUTING CO DE 2.02,9.01 11/08/12
Ameresco, Inc. DE 2.02,9.01 11/08/12
AMERICAN AIRLINES INC DE 8.01,9.01 11/08/12
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 11/08/12
AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 11/08/12
AMERICAN REALTY CAPITAL NEW YORK RECO MD 1.01,9.01 11/08/12
American Renal Associates Holdings, I DE 2.02,7.01,9.01 11/08/12
American Renal Holdings Inc. DE 2.02,7.01,9.01 11/08/12
AMERICAN RESTAURANT CONCEPTS INC 5.01,5.02 11/02/12
AMERIGAS PARTNERS LP DE 2.02,7.01,9.01 11/08/12
Ameris Bancorp GA 8.01 11/06/12
AMR CORP DE 8.01,9.01 11/08/12
AMTECH SYSTEMS INC AZ 5.02 11/02/12
ANNAPOLIS BANCORP INC MD 1.02 11/08/12
Anthera Pharmaceuticals Inc DE 1.01,9.01 11/08/12
ANTS SOFTWARE INC DE 5.02 11/07/12
APCO OIL & GAS INTERNATIONAL INC 2.02,9.01 11/08/12
ARI NETWORK SERVICES INC /WI WI 5.02,8.01,9.01 11/06/12
Armada Oil, Inc. NV 1.01,9.01 11/02/12
Armour Residential REIT, Inc. MD 7.01,9.01 11/08/12
ARMSTRONG WORLD INDUSTRIES INC PA 7.01,8.01,9.01 11/07/12
ARQULE INC DE 5.02,9.01 11/02/12
ARRAY BIOPHARMA INC DE 8.01,9.01 11/08/12
ART DIMENSIONS, INC. CO 5.02 11/07/12
Ascent Capital Group, Inc. DE 7.01,9.01 10/31/12
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/08/12
AtheroNova Inc. DE 5.02,9.01 11/06/12
ATHERSYS, INC / NEW DE 2.02,9.01 11/08/12
ATLANTIC AMERICAN CORP GA 2.02,7.01,9.01 11/08/12
Augme Technologies, Inc. DE 3.02 11/02/12
AV Homes, Inc. DE 2.02,9.01 11/08/12
AVT, Inc. NV 1.01 11/02/12
AVT, Inc. NV 1.01 11/02/12 AMEND
BALCHEM CORP MD 5.02,9.01 11/08/12
BALL CORP IN 5.02,9.01 11/08/12
Bank of Marin Bancorp CA 1.01,9.01 11/07/12 AMEND
BankFinancial CORP 7.01,8.01,9.01 11/08/12
BeesFree, Inc. NV 1.01,7.01,9.01 11/06/12
BELDEN INC. DE 2.02,9.01 11/08/12
BIOCLINICA INC DE 2.02,9.01 11/08/12
BIOCRYST PHARMACEUTICALS INC DE 7.01,9.01 11/07/12
BIOCRYST PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/08/12
BIOSANTE PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/08/12
BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,8.01,9.01 11/08/12
BIOSTEM U.S. CORP NV 5.03,8.01,9.01 11/05/12
BLACK HILLS CORP /SD/ SD 2.02,9.01 11/07/12
BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 11/08/12
Boardwalk Pipeline Partners, LP DE 1.01,2.03,9.01 11/05/12
BofI Holding, Inc. DE 2.02,9.01 11/08/12
BOINGO WIRELESS INC DE 2.02,9.01 11/08/12
BOSTON FINANCIAL QUALIFIED HOUSING TA DE 9.01 11/08/12
BOSTON FINANCIAL TAX CREDIT FUND PLUS MA 9.01 11/08/12
BOSTON FINANCIAL TAX CREDIT FUND VIII 9.01 11/08/12
BRINKER INTERNATIONAL INC DE 5.02 11/08/12
Bristow Group Inc DE 7.01,9.01 11/08/12
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 11/06/12
Brooklyn Cheesecake & Desert Com NY 4.01,9.01 11/07/12
BROOKS AUTOMATION INC DE 2.02,5.02,9.01 11/06/12
Business Development Corp of America MD 2.02,9.01 11/08/12
BWAY PARENT COMPANY, INC. DE 1.01,2.03,3.03,5.01, 11/02/12
5.02,9.01
CA, INC. DE 1.01,3.03,9.01 11/08/12
Cal Dive International, Inc. DE 2.02,7.01,9.01 11/07/12
CALLON PETROLEUM CO DE 2.02,7.01,9.01 11/07/12
CAPITAL REALTY INVESTORS III LTD PART MD 4.01,9.01 11/08/12
CAPITAL REALTY INVESTORS IV LIMITED P MD 4.01,9.01 11/08/12
CAPITAL REALTY INVESTORS LTD DC 4.01,9.01 11/08/12
CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 11/07/12
Capstone Therapeutics Corp. DE 2.02,7.01,9.01 09/30/12
CAPSTONE TURBINE Corp DE 2.02,9.01 11/08/12
Care Investment Trust Inc. MD 2.02,7.01,9.01 11/08/12
CAREER EDUCATION CORP DE 2.02,9.01 11/08/12
CAREFUSION Corp 2.02,7.01,9.01 11/08/12
Caribou Coffee Company, Inc. MN 2.02,9.01 11/08/12
Carlyle Group L.P. DE 2.02,9.01 11/08/12
CARROLS RESTAURANT GROUP, INC. 9.01 11/08/12
Carter Validus Mission Critical REIT, MD 8.01 11/02/12
CAS MEDICAL SYSTEMS INC DE 2.02,9.01 11/08/12
Catalent Pharma Solutions, Inc. DE 2.02,9.01 11/08/12
CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 11/08/12
CEDAR REALTY TRUST, INC. MD 2.02,7.01,9.01 11/08/12
CEMPRA, INC. DE 2.02,9.01 11/08/12
CENTER BANCORP INC NJ 2.02,9.01 10/25/12
CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 11/07/12
China Biologic Products, Inc. 2.02,7.01,9.01 11/08/12
CHINDEX INTERNATIONAL INC DE 2.02,7.01,9.01 11/08/12
Clearfield, Inc. MN 2.02,5.02,9.01 11/08/12
CLEARONE COMMUNICATIONS INC UT 5.02,5.07 11/05/12
CLEARONE COMMUNICATIONS INC UT 5.02 11/05/12
CLEARSIGN COMBUSTION CORP WA 7.01,9.01 11/08/12
CLEVELAND BIOLABS INC DE 2.02,9.01 11/08/12
CLOUD PEAK ENERGY INC. DE 7.01,9.01 11/08/12
COBRA ELECTRONICS CORP DE 2.02,9.01 11/08/12
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 11/06/12
COLUMBIA LABORATORIES INC DE 2.02,9.01 11/08/12
COMMAND SECURITY CORP NY 1.01,9.01 11/06/12
Computer Software Innovations, Inc. DE 2.01,3.02,3.03,5.01, 11/07/12
5.02,5.03,9.01
CONCHO RESOURCES INC DE 2.02,9.01 11/07/12
CONCHO RESOURCES INC DE 3.03,5.03,9.01 11/07/12
CONNS INC DE 2.02,9.01 11/08/12
CONTINENTAL RESOURCES, INC OK 2.02,7.01,9.01 11/07/12
Cooper-Standard Holdings Inc. DE 2.02,9.01 11/07/12
COPYTELE INC DE 5.03,9.01 11/08/12
CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 11/08/12
Core-Mark Holding Company, Inc. DE 2.02,9.01 11/08/12
CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 11/08/12
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 11/08/12
CORRECTIONS CORP OF AMERICA MD 2.02,8.01,9.01 11/06/12
COVENANT BANCSHARES, INC. IL 3.02 11/02/12
COWEN GROUP, INC. DE 2.02,9.01 11/08/12
CREDITRISKMONITOR COM INC NV 2.02,9.01 11/08/12
Crestwood Midstream Partners LP DE 8.01,9.01 11/08/12
Crestwood Midstream Partners LP DE 7.01 11/08/12
CRI HOTEL INCOME PARTNERS L P DE 4.01,9.01 11/08/12
CROSS BORDER RESOURCES, INC. NV 3.02,5.02 11/07/12
CYTORI THERAPEUTICS, INC. DE 2.02,9.01 11/08/12
DARLING INTERNATIONAL INC DE 2.02,9.01 11/08/12
Dealertrack Technologies, Inc DE 2.02,9.01 11/08/12
DEAN FOODS CO DE 2.02,9.01 11/08/12
DELCATH SYSTEMS INC DE 2.02,9.01 11/07/12
Delek US Holdings, Inc. 2.02,9.01 11/07/12
DELTA MUTUAL INC DE 5.02 11/07/12
DEVRY INC DE 5.03,5.07,9.01 11/07/12
DEVRY INC DE 7.01,9.01 11/07/12
Digital Generation, Inc. DE 2.02,9.01 11/08/12
Digital Generation, Inc. DE 5.02,9.01 11/05/12
DILLARDS INC DE 2.02,9.01 11/08/12
DILMAX CORP. NV 1.01,5.03,9.01 11/08/12
DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 11/08/12
Dolby Laboratories, Inc. DE 2.02,9.01 11/08/12
DOLLAR TREE INC VA 7.01,9.01 11/08/12
DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 11/08/12
DOT HILL SYSTEMS CORP DE 2.02 11/08/12
DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 11/07/12
DTS, INC. DE 2.02,9.01 11/08/12
Duke Energy CORP DE 2.02,9.01 11/08/12
DUSA PHARMACEUTICALS INC NJ 1.01,3.01,3.03,8.01, 11/08/12
9.01
Dynamic Energy Alliance Corp FL 1.01 11/08/12
EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 11/08/12
ECA Marcellus Trust I DE 2.02,9.01 11/08/12
ECOSPHERE TECHNOLOGIES INC DE 2.02,7.01,9.01 11/08/12
Edgen Group Inc. DE 2.02,9.01 11/08/12
Electromed, Inc. 7.01,9.01 11/07/12
Ellington Financial LLC DE 2.02,7.01,9.01 11/07/12
Ellington Financial LLC DE 7.01,9.01 11/08/12
Emdeon Inc. DE 2.02,9.01 11/08/12
ENERGIZER HOLDINGS INC MO 2.02,2.05,7.01,9.01 11/08/12
EnergySolutions, Inc. DE 2.02,9.01 11/08/12
EnerJex Resources, Inc. NV 8.01,9.01 11/02/12
EnerJex Resources, Inc. NV 1.01,2.03,9.01 11/02/12
Enservco Corp DE 1.01,2.03,3.02,5.02, 11/02/12
9.01
Entergy Louisiana, LLC TX 5.02 11/07/12
ENVESTNET, INC. DE 2.02,9.01 11/08/12
EPAM Systems, Inc. DE 2.02,9.01 11/08/12
EPICEPT CORP 8.01,9.01 11/08/12
EPIQ SYSTEMS INC MO 7.01,9.01 11/08/12
ExactTarget, Inc. DE 2.02,9.01 11/08/12
Excel Trust, Inc. MD 2.02,9.01 11/07/12
FAB Universal Corp. CO 7.01,9.01 11/08/12
FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 11/08/12
Federal Home Loan Bank of Atlanta X1 2.03 11/05/12
Federal Home Loan Bank of Boston X1 2.03 11/06/12
Federal Home Loan Bank of Chicago X1 2.03 11/06/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/06/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/05/12
Federal Home Loan Bank of New York X1 2.03,9.01 11/05/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/05/12
Federal Home Loan Bank of San Francis X1 2.03 11/06/12
Federal Home Loan Bank of Seattle 2.03 11/06/12
Federal Home Loan Bank of Topeka 2.03,9.01 11/05/12
FEDERATED NATIONAL HOLDING CO FL 2.02,9.01 11/08/12
FEDERATED NATIONAL HOLDING CO FL 2.02,9.01 11/08/12 AMEND
FIRST HARTFORD CORP ME 4.01 11/06/12
FIRSTENERGY CORP OH 2.02,9.01 11/08/12
FLEETCOR TECHNOLOGIES INC DE 1.01,2.03,9.01 11/06/12
FLEETCOR TECHNOLOGIES INC DE 2.02,9.01 11/08/12
FLORIDA GAMING CORP DE 1.03 11/02/12
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 11/07/12
FLOWERS FOODS INC GA 2.02,9.01 11/08/12
FLOWERS FOODS INC GA 9.01 07/21/12 AMEND
FRANKLIN COVEY CO UT 2.02,8.01,9.01 11/07/12
Freescale Semiconductor, Ltd. D0 5.02,8.01 11/06/12
FriendFinder Networks Inc. NV 1.01,2.02,8.01,9.01 11/05/12
Fuel Systems Solutions, Inc. 2.02,9.01 11/08/12
Full Circle Capital Corp MD 2.02,9.01 11/08/12
FutureFuel Corp. DE 2.02,5.02,9.01 11/08/12
FXCM Inc. 2.02,7.01,9.01 11/08/12
Gaming Partners International CORP NV 2.02,9.01 11/08/12
GCI INC AK 2.02,9.01 11/07/12
GENERAL COMMUNICATION INC AK 2.02,9.01 11/07/12
GenMark Diagnostics, Inc. DE 2.02,9.01 11/07/12
GEOKINETICS INC DE 2.02,9.01 11/08/12
GFI Group Inc. DE 8.01,9.01 11/08/12
GLEACHER & COMPANY, INC. DE 2.02,9.01 11/08/12
Global Eagle Acquisition Corp. DE 7.01,8.01,9.01 11/08/12
GLOBAL PARTNERS LP 2.02,7.01,9.01 11/08/12
GLOBALSCAPE INC DE 2.06,9.01 11/05/12
GMX RESOURCES INC OK 2.02,9.01 11/07/12
GOLD RESOURCE CORP CO 4.02,7.01,9.01 11/02/12
GOLDEN STAR RESOURCES LTD 2.02,9.01 11/07/12
Government Properties Income Trust MD 9.01 11/08/12
GRAMERCY CAPITAL CORP MD 2.02,7.01,9.01 11/08/12
GRAY TELEVISION INC GA 7.01,9.01 11/08/12
GREAT PLAINS ENERGY INC MO 2.02,9.01 11/08/12
Green Ballast, Inc. DE 1.01,2.03,9.01 11/08/12
GREEN DOT CORP DE 1.02 11/02/12
GREENE COUNTY BANCORP INC DE 5.07,9.01 11/03/12
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 11/01/12
Groupon, Inc. DE 2.02,9.01 11/08/12
GTX INC /DE/ DE 2.02,9.01 11/08/12
GULFMARK OFFSHORE INC DE 7.01,9.01 11/07/12
HALCON RESOURCES CORP DE 2.02,9.01 11/08/12
HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 11/07/12
HALOZYME THERAPEUTICS INC DE 2.02,9.01 11/08/12
HARDINGE INC NY 2.02,9.01 11/08/12
HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.02,9.01 11/07/12
HEADWATERS INC DE 5.02 11/03/12
HEALTHCARE TRUST OF AMERICA, INC. MD 2.02,9.01 11/07/12
HERSHA HOSPITALITY TRUST MD 1.01,2.03,9.01 11/05/12
HI TECH PHARMACAL CO INC NY 5.07 11/07/12
Horizon Lines, Inc. 5.02 11/08/12
HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.02,8.01,9.01 11/08/12
HUTCHINSON TECHNOLOGY INC MN 2.02,9.01 11/08/12
HYPERION THERAPEUTICS INC DE 2.02,9.01 11/07/12
ICAHN ENTERPRISES HOLDINGS L.P. DE 5.05,9.01 11/02/12
ICG GROUP, INC. DE 7.01 11/08/12
IMMUNOMEDICS INC DE 2.02,9.01 11/08/12
INDEPENDENCE HOLDING CO DE 2.02,9.01 09/30/12
Independence Resources PLC X0 5.07 11/03/12
INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 11/07/12
Information Services Group Inc. DE 2.02,9.01 11/08/12
INNERWORKINGS INC 2.02,9.01 11/08/12
INSITE VISION INC DE 2.02,9.01 11/08/12
INSULET CORP DE 2.02,9.01 11/08/12
Integrity Applications, Inc. DE 7.01,9.01 11/08/12
IntelGenx Technologies Corp. DE 7.01 11/08/12
Intellicell Biosciences, Inc. NV 1.01,3.02,5.02,8.01, 10/23/12
9.01
INTERNATIONAL GAME TECHNOLOGY NV 2.02,9.01 11/08/12
INTERPUBLIC GROUP OF COMPANIES, INC. DE 1.01,2.03,9.01 11/08/12
INUVO, INC. NV 2.02,7.01,9.01 11/08/12
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 11/08/12
iPayment Holdings, Inc DE 2.02,9.01 11/08/12
J&J SNACK FOODS CORP NJ 2.02,9.01 11/08/12
J.D. HUTT Corp NV 8.01 10/31/12
JACK IN THE BOX INC /NEW/ DE 1.01,2.03,7.01,9.01 11/05/12
JAKKS PACIFIC INC DE 5.07 11/02/12
JAVELIN MORTGAGE INVESTMENT CORP. MD 8.01,9.01 11/07/12
Jazz Pharmaceuticals plc L2 2.02,9.01 11/08/12
JONES SODA CO WA 2.02,9.01 11/08/12
KAMAN CORP CT 7.01,9.01 11/08/12
KBS Legacy Partners Apartment REIT, I MD 1.01,2.01,2.03,9.01 11/06/12
Kearny Financial Corp. X1 5.07,8.01,9.01 11/07/12
KELLOGG CO DE 7.01,9.01 11/08/12
KEMPER Corp DE 2.02,9.01 11/08/12
KEY TECHNOLOGY INC OR 2.02,9.01 11/08/12
Kior Inc DE 2.02,7.01,9.01 11/08/12
Kips Bay Medical, Inc. DE 8.01,9.01 11/08/12
KLA TENCOR CORP DE 8.01,9.01 11/08/12
KOHLS Corp WI 2.02,7.01,8.01,9.01 11/08/12
Koppers Holdings Inc. PA 2.02,9.01 11/08/12
KRANEM CORP CO 4.01 11/08/12
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 11/08/12
KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 11/08/12
L3 CORP DE 5.01,5.02 11/05/12
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 11/08/12
Latitude Solutions, Inc. NV 2.02,2.06,9.01 11/08/12
LEGACY RESERVES LP DE 1.01,8.01,9.01 11/05/12
Legend Oil & Gas, Ltd. CO 2.01 11/05/12
Li3 Energy, Inc. NV 4.02 11/05/12
Liberty Coal Energy Corp. 1.01,2.03,9.01 10/25/12
Liberty Interactive Corp 2.02,9.01 11/06/12
Liberty Media Corp DE 2.02,9.01 11/06/12
LIFETIME BRANDS, INC DE 2.02,9.01 11/08/12
Lifevantage Corp CO 2.02,9.01 11/08/12
Lightlake Therapeutics Inc. NV 5.02 11/05/12
LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 11/08/12
LIN TV CORP. DE 2.02,9.01 11/08/12
LINEAR TECHNOLOGY CORP /CA/ DE 5.07 11/07/12
LIONS GATE ENTERTAINMENT CORP /CN/ A1 2.02,9.01 11/08/12
LMI AEROSPACE INC MO 2.02,9.01 11/08/12
LOCAL Corp DE 2.02,9.01 11/08/12
LORAL SPACE & COMMUNICATIONS INC. DE 2.01,8.01,9.01 11/02/12
LTC PROPERTIES INC MD 2.02,9.01 11/08/12
LUBYS INC DE 2.02,9.01 11/07/12
LUNA INNOVATIONS INC DE 2.02,9.01 11/08/12
LYDALL INC /DE/ DE 2.02,9.01 11/08/12
MAGNUM HUNTER RESOURCES CORP DE 1.01,3.02,3.03,5.03, 11/02/12
7.01,8.01,9.01
MANAGEMENT NETWORK GROUP INC 2.02,9.01 11/08/12
Manitex International, Inc. MI 1.01,2.03,9.01 11/07/12
Manitex International, Inc. MI 2.02,9.01 11/08/12
Marina Biotech, Inc. DE 1.02 11/02/12
MATRIX SERVICE CO DE 2.02,9.01 11/08/12
MEDIACOM BROADBAND LLC DE 2.02,9.01 11/08/12
MEDIACOM LLC NY 2.02,9.01 11/08/12
MGM Resorts International DE 5.02,9.01 11/05/12
MGP INGREDIENTS INC KS 1.01,2.03,3.03,9.01 11/02/12
MGT CAPITAL INVESTMENTS INC DE 3.02,7.01,9.01 11/08/12 AMEND
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 11/08/12
MICROSEMI CORP DE 2.02,9.01 11/08/12
Millennium India Acquisition CO Inc. DE 2.02,8.01,9.01 11/07/12
MIPS TECHNOLOGIES INC DE 1.01,5.02,9.01 11/05/12
Molycorp, Inc. DE 2.02,9.01 11/08/12
Monarch Financial Holdings, Inc. VA 7.01,9.01 11/08/12
MONSTER WORLDWIDE, INC. DE 2.02,9.01 11/08/12
MORGAN STANLEY DE 5.02,9.01 11/05/12
Motorola Solutions, Inc. DE 8.01 11/06/12
MSB FINANCIAL CORP. X1 2.02,9.01 11/08/12
MULTI FINELINE ELECTRONIX INC 2.02,9.01 11/08/12
MVB FINANCIAL CORP WV 7.01 11/07/12
MWI Veterinary Supply, Inc. DE 2.02,9.01 11/08/12
NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 11/08/12
NEPHROS INC DE 2.02,9.01 11/08/12
NET 1 UEPS TECHNOLOGIES INC 2.02,5.02,7.01,9.01 11/07/12
Net Profits Ten Inc. NV 5.03,8.01,9.01 11/08/12
NEWS CORP 8.01,9.01 11/08/12
Nexxus Lighting, Inc. DE 3.01 11/07/12
NIC INC CO 2.02,7.01,9.01 11/08/12
NN INC DE 2.02,9.01 11/08/12
NORDSTROM INC WA 2.02,7.01,9.01 11/08/12
NORTEK INC DE 2.02,9.01 11/08/12
NORTHERN OIL & GAS, INC. 2.02,9.01 11/08/12
NORTHWEST PIPE CO OR 2.02,9.01 11/08/12
NPC Restaurant Holdings, LLC DE 7.01,9.01 11/08/12
NTELOS HOLDINGS CORP 2.02,9.01 11/08/12
NTN BUZZTIME INC DE 2.02,9.01 11/08/12
NVIDIA CORP DE 2.02,8.01,9.01 11/08/12
NxStage Medical, Inc. DE 2.02,9.01 11/08/12
OCWEN FINANCIAL CORP FL 1.01,9.01 11/08/12
OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 11/08/12
OLYMPIC STEEL INC OH 2.02,9.01 11/08/12
ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 11/08/12
ONE LIBERTY PROPERTIES INC MD 2.02,9.01 11/08/12
OneBeacon Insurance Group, Ltd. D0 1.01,9.01 11/06/12
ONLINE RESOURCES CORP DE 2.02,9.01 11/08/12
ONVIA INC DE 2.02,9.01 11/08/12
ORBCOMM Inc. DE 2.02,9.01 11/08/12
ORIENTAL FINANCIAL GROUP INC PR 5.03,9.01 11/02/12
ORION ENERGY SYSTEMS, INC. WI 2.02,9.01 11/07/12
OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 11/07/12
OXIGENE INC DE 2.02,8.01,9.01 11/08/12
PACIFIC GOLD CORP NV 1.01,3.02,9.01 11/02/12
PAIN THERAPEUTICS INC DE 2.02,9.01 11/08/12
PASSPORT POTASH INC A8 1.01,8.01,9.01 10/30/12
PC MALL INC DE 2.02,9.01 11/08/12
PEAPACK GLADSTONE FINANCIAL CORP NJ 8.01,9.01 11/07/12
PEGASYSTEMS INC MA 2.02,5.02,9.01 11/05/12
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 8.01 11/06/12
PENSKE AUTOMOTIVE GROUP, INC. DE 7.01,9.01 11/07/12
PERCEPTRON INC/MI MI 2.02,9.01 11/07/12
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 11/08/12
PHH CORP MD 2.02,9.01 11/07/12
Phillips Edison - ARC Shopping Center MD 2.02,9.01 11/08/12
PHL VARIABLE INSURANCE CO /CT/ 4.02 11/08/12 AMEND
PHOENIX COMPANIES INC/DE DE 4.02 11/08/12
PHOENIX COMPANIES INC/DE DE 2.02,9.01 11/08/12
PHYSICIANS FORMULA HOLDINGS, INC. DE 5.07,9.01 11/08/12
Pinnacle Foods Finance LLC DE 2.02,9.01 11/08/12
PLAINS ALL AMERICAN PIPELINE LP DE 8.01,9.01 11/08/12
PMFG, Inc. DE 2.02,9.01 11/08/12
Point.360 CA 2.02,9.01 11/08/12
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,7.01,9.01 11/08/12
POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 11/08/12
POZEN INC /NC 2.02,9.01 11/08/12
PPL Corp 2.02,7.01,9.01 11/08/12
PROGENICS PHARMACEUTICALS INC DE 2.02,9.01 11/08/12
PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,9.01 11/08/12
PRUDENTIAL FINANCIAL INC NJ 7.01,9.01 11/08/12
pSivida Corp. DE 2.02,9.01 11/08/12
PURE BIOSCIENCE, INC. DE 5.02,9.01 11/05/12
PVR PARTNERS, L P DE 7.01,9.01 11/08/12
QR Energy, LP DE 2.02,9.01 11/08/12
Quad/Graphics, Inc. WI 2.02,9.01 11/07/12
QUALSTAR CORP CA 2.02,9.01 11/07/12
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 2.02,9.01 11/08/12
RAMTRON INTERNATIONAL CORP DE 1.01,2.03,9.01 10/31/12
Rand Logistics, Inc. DE 7.01,9.01 11/08/12
RBC LIFE SCIENCES, INC. DE 2.02 11/08/12
READING INTERNATIONAL INC NV 2.02,9.01 11/08/12
Red Lion Hotels CORP WA 2.02,9.01 11/08/12
REGENCY CENTERS CORP FL 2.02,9.01 11/07/12
Regency Energy Partners LP DE 2.02,7.01,9.01 11/08/12
REMY INTERNATIONAL, INC. DE 2.02,9.01 11/08/12
RENTECH INC /CO/ CO 2.02,9.01 11/08/12
Rentech Nitrogen Partners, L.P. DE 2.02,9.01 11/08/12
REPLIGEN CORP DE 2.02,9.01 11/08/12
Revett Minerals Inc. A6 1.04 11/07/12
REVLON INC /DE/ DE 8.01,9.01 11/08/12
RF MICRO DEVICES INC NC 1.01 11/04/12
RigNet, Inc. DE 2.02,9.01 11/07/12
Rockdale Resources Corp CO 2.01 11/07/12
ROCKWELL MEDICAL, INC. MI 2.02,9.01 11/08/12
ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 09/30/12
Rose Rock Midstream, L.P. 2.02,9.01 11/08/12
Rosetta Resources Inc. DE 7.01,9.01 11/08/12
Roundy's, Inc. DE 2.02,8.01,9.01 11/08/12
Sagent Pharmaceuticals, Inc. DE 2.02,9.01 11/08/12
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 09/30/12
Sanchez Energy Corp DE 2.02,7.01,9.01 11/07/12
SANDRIDGE ENERGY INC DE 2.02,9.01 11/08/12
Santa Fe Gold CORP DE 1.01,9.01 11/08/12
SCIQUEST INC DE 2.02,9.01 11/08/12
SCIQUEST INC DE 1.01,2.03,9.01 11/02/12
SCOTTS MIRACLE-GRO CO OH 2.02,9.01 11/08/12
SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 11/08/12
SemGroup Corp DE 2.02,9.01 11/08/12
SENOMYX INC DE 2.02,9.01 11/08/12
SEQUENOM INC DE 2.02,9.01 11/08/12
Seven Seas Cruises S. DE R.L. R1 2.02 11/08/12
Shire plc 8.01,9.01 11/07/12
SILGAN HOLDINGS INC DE 8.01,9.01 11/08/12
SLM Student Loan Trust 2012-7 DE 9.01 11/08/12
SLM Student Loan Trust 2012-7 DE 1.01,2.01,9.01 11/08/12
SMART BALANCE, INC. DE 2.02,9.01 11/08/12
SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 11/08/12
SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 11/08/12
SPAN AMERICA MEDICAL SYSTEMS INC SC 7.01,9.01 11/08/12
SPAR GROUP INC DE 2.02,9.01 11/08/12
SPHERIX INC DE 1.01,3.02,9.01 11/08/12
SPORT CHALET INC DE 2.02,9.01 11/07/12
Spring Creek Healthcare Systems, Inc. NV 4.01,9.01 08/06/12 AMEND
STAG Industrial, Inc. 2.02,9.01 11/07/12
STAGE STORES INC NV 8.01,9.01 11/08/12
Steadfast Income REIT, Inc. MD 2.02,9.01 11/08/12
Steel Excel Inc. DE 2.02,9.01 11/08/12
STEMCELLS INC DE 2.02,9.01 11/08/12
STERLING BANCORP NY 8.01 11/07/12
STONE ENERGY CORP DE 9.01 11/08/12
STONE ENERGY CORP DE 1.01,2.03,3.03,9.01 11/06/12
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 11/07/12
Sucampo Pharmaceuticals, Inc. 2.02,7.01,8.01,9.01 11/02/12
SUMMER ENERGY HOLDINGS INC NV 3.02 11/07/12
Summit Hotel Properties, Inc. MD 2.02,9.01 11/07/12
SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 11/08/12
SUPERNUS PHARMACEUTICALS INC DE 2.02,8.01,9.01 11/05/12
SUSSEX BANCORP NJ 2.02,9.01 11/07/12
TANDY LEATHER FACTORY INC DE 2.02,9.01 11/08/12
TCP Capital Corp. DE 2.02,5.02,7.01,9.01 11/08/12
TELETECH HOLDINGS INC DE 2.02,9.01 11/07/12
TETRA TECH INC DE 2.02,5.02,9.01 11/07/12
TG THERAPEUTICS, INC. DE 2.02,9.01 11/08/12
THERAGENICS CORP DE 2.02 11/08/12
Thermon Group Holdings, Inc. DE 2.02,9.01 11/08/12
THESTREET, INC. DE 2.02,9.01 11/08/12
THESTREET, INC. DE 5.02 11/06/12
Tim Hortons Inc. A6 2.02,8.01,9.01 11/08/12
Tower Group, Inc. DE 7.01,9.01 11/08/12
Tower Group, Inc. DE 7.01,9.01 11/08/12 AMEND
TOWERSTREAM CORP DE 2.02,5.03,5.07,7.01, 11/02/12
9.01
TPC Group Inc. DE 1.01,8.01,9.01 11/07/12
TRANSWITCH CORP /DE DE 2.02,9.01 11/08/12
TRANZYME INC DE 2.02,9.01 11/08/12
Tropicana Las Vegas Hotel & Casino, I DE 5.03,9.01 11/01/12
U S PHYSICAL THERAPY INC /NV NV 2.02,8.01,9.01 11/08/12
U S PHYSICAL THERAPY INC /NV NV 8.01 11/08/12
Ubiquiti Networks, Inc. DE 2.02,9.01 11/08/12
UGI CORP /PA/ PA 2.02,7.01,9.01 11/08/12
UGI UTILITIES INC PA 2.02,9.01 11/08/12
United Continental Holdings, Inc. DE 8.01,9.01 11/07/12
UNITED INSURANCE HOLDINGS CORP. DE 5.02 11/07/12
UniTek Global Services, Inc. DE 2.02,9.01 11/08/12
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 11/08/12
UNWIRED PLANET, INC. DE 5.02,9.01 11/04/12
URS CORP /NEW/ DE 5.02,9.01 11/07/12
US CONCRETE INC DE 2.02,9.01 11/08/11
US CONCRETE INC DE 2.02,9.01 11/08/11 AMEND
US ECOLOGY, INC. DE 7.01,9.01 11/08/12
USA TECHNOLOGIES INC PA 2.02,9.01 11/08/12
UTAH MEDICAL PRODUCTS INC UT 8.01 11/08/12
VERENIUM CORP DE 2.02,9.01 11/08/12
VERIZON COMMUNICATIONS INC DE 7.01 11/08/12
Viggle Inc. DE 8.01,9.01 11/08/12
VIRGIN MEDIA INC. DE 8.01,9.01 11/08/12
VRDT Corp DE 1.01,2.01,3.02,5.06, 08/31/12 AMEND
7.01,9.01
Vringo Inc DE 8.01,9.01 11/06/12
Vulcan Materials CO NJ 2.02,9.01 11/08/12
W. P. Carey Inc. MD 7.01,9.01 11/08/12
W. P. Carey Inc. MD 2.02,9.01 11/08/12
Walker & Dunlop, Inc. MD 2.02,9.01 11/08/12
WALT DISNEY CO/ DE 2.02,9.01 11/08/12
WALTER INVESTMENT MANAGEMENT CORP MD 2.02,9.01 11/08/12
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,9.01 11/02/12
Wendy's Co DE 2.02,9.01 11/08/12
Wendy's Co DE 7.01,9.01 11/08/12
WESTAR ENERGY INC /KS KS 2.02,7.01,9.01 11/08/12
Westinghouse Solar, Inc. DE 8.01 11/02/12
WESTLAKE CHEMICAL CORP DE 2.02,9.01 11/08/12
WILEY JOHN & SONS, INC. NY 8.01 11/08/12
Willbros Group, Inc.\NEW\ 1.01,2.03,9.01 11/07/12
Willdan Group, Inc. DE 2.02,9.01 11/08/12
WILLIAM LYON HOMES DE 1.01,2.03,5.02,8.01, 11/07/12
9.01
Williams Partners L.P. 5.03,9.01 11/05/12
WINDSTREAM CORP DE 2.02,9.01 11/08/12
WINNER MEDICAL GROUP INC NV 8.01,9.01 11/08/12
WIRELESS RONIN TECHNOLOGIES INC MN 2.02,9.01 11/08/12
WisdomTree Investments, Inc. DE 8.01,9.01 11/08/12
Xenith Bankshares, Inc. VA 2.02,9.01 11/07/12
XO GROUP INC. DE 2.02,9.01 11/08/12
XRS Corp MN 2.02 11/08/12
XTRA-GOLD RESOURCES CORP 7.01,9.01 11/08/12
YAHOO INC DE 2.05 10/18/12 AMEND
Yankee Holding Corp. DE 2.02,9.01 11/08/12
YCC Holdings LLC DE 2.02,9.01 11/08/12
Zalicus Inc. DE 2.02,9.01 11/08/12
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 11/08/12
ZIOPHARM ONCOLOGY INC DE 3.02,8.01,9.01 10/25/12
ZIPCAR INC 2.02,9.01 11/08/12
ZOGENIX, INC. DE 2.02,9.01 11/08/12
http://www.sec.gov/news/digest/2012/dig110912.htm
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