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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-232
December 5, 2012

Commission Announcements

Trading and Markets Director Robert Cook to Leave SEC

The Securities and Exchange Commission today announced that Robert W. Cook, Director of the SEC’s Division of Trading and Markets, plans to leave the agency.

Since joining the SEC in January 2010, Mr. Cook has led the Division’s broad regulatory policy program that includes oversight of securities exchanges and markets, broker-dealers, clearing agencies, and the Financial Industry Regulatory Authority (FINRA). Mr. Cook has overseen the implementation of significant rulemaking and other responsibilities assigned to the Division under the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Jumpstart Our Business Startups Act.

“Robert provided extraordinary counsel and worked tirelessly as we put in place measures that have helped to bolster our markets,” said SEC Chairman Mary L. Schapiro. “With his deep experience across a range of issues, he has helped us lay the groundwork for an entirely new and comprehensive regulatory regime for derivatives.”

Mr. Cook said, “I am honored to have worked with my colleagues in the Division of Trading and Markets and others throughout the agency on so many different initiatives to improve our markets and protect investors. It has been a period of unprecedented productivity for the Division, and I am proud of the staff’s hard work and many accomplishments. I would like to thank Chairman Schapiro and the other Commissioners for the opportunity to serve them and the agency. It is an experience for which I will always be grateful.”

Mr. Cook, 47, oversaw several significant market structure initiatives including the adoption of enhanced risk controls for traders with access to the securities markets, large trader registration and reporting rules, and consolidated audit trail rules. He also directed the staff’s ongoing review of equity market structure and its analysis of the “Flash Crash” of May 6, 2010, as well as its work on various regulatory responses such as single-stock circuit breakers, more transparent clearly erroneous trade break rules, updated market-wide circuit breakers, and the limit-up/limit-down volatility moderation mechanism.

Mr. Cook also supervised more than 30 other major rulemaking initiatives and studies authorized or mandated by Dodd-Frank or the JOBS Act, including the development of a new regulatory regime for security-based swaps under Title VII of the Dodd-Frank Act. In addition, Mr. Cook oversaw various projects related to the Chairman’s work on the Financial Stability Oversight Council.

In order to support the increasing amount and complexity of the Division’s responsibilities, Mr. Cook helped to improve the Division’s organization and operations. As part of this effort, he oversaw a significant increase in the Division’s staff to approximately 250 attorneys, financial economists and analysts, accountants, and others. The Division also implemented enhanced procedures for the review of the more than 2,000 proposed rule changes and other filings received annually from self-regulatory organizations.

Mr. Cook will remain with the Commission for a transitional period in order to help ensure continuity in the Division’s functions.

Prior to arriving at the SEC, Mr. Cook was a partner at the law firm of Cleary Gottlieb Steen & Hamilton LLP. He earned a J.D. from Harvard Law School, an M.Sc. from the London School of Economics, and an A.B. from Harvard College. (Press Rel. 2012-253)

General Counsel Mark Cahn to Leave SEC

The Securities and Exchange Commission today announced that General Counsel Mark D. Cahn will leave the agency at the end of the year to return to the private sector.

Mr. Cahn has served as the SEC’s General Counsel since February 2011 and counseled the Commission on issues ranging from enforcement actions, rulemakings, other administrative proceedings, and appeals throughout the country and in the Supreme Court. Prior to becoming General Counsel, Mr. Cahn served as the SEC’s Deputy General Counsel for two years.

“Mark has always provided the Commission clear and thoughtful legal advice as we set out to better protect investors,” said SEC Chairman Mary L. Schapiro. “The Commission has benefited greatly from his careful guidance and his good judgment.”

“It has been a unique privilege to have worked at the Commission during such an extraordinary period of change in the financial and regulatory arena,” said Mr. Cahn. “I am particularly honored to have worked alongside Chairman Schapiro and the other Commissioners on so many important issues that affect investors every day, and I thank them for that opportunity.”

Mr. Cahn served as the SEC’s chief legal officer during a period of unprecedented enforcement and regulatory activity. He was deeply involved in developing the Commission’s rules to establish a Whistleblower Program. The General Counsel’s office also provided advice on every rulemaking release that came before the Commission, including rules proposed and adopted pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Mr. Cahn’s tenure as General Counsel and Deputy General Counsel coincided with a period of significant appellate activity. This included the successful defense of SEC enforcement actions in the Courts of Appeals and involvement as amicus in Supreme Court cases addressing a variety of issues, including mutual fund advisory fees (Jones v. Harris Associates), the statute of limitations in securities litigation (Merck & Co., Inc. v. Reynolds), and pleading and proof requirements in securities fraud actions (Matrixx Initiatives v. Siracusano and Erica P. John Fund v. Halliburton).

“The rewards of public service are many, but none as great as the opportunity to work with so many dedicated professionals,” Mr. Cahn added. “I want particularly to express my profound appreciation to the exceptional lawyers who served with me in the Office of the General Counsel. Every day I was the beneficiary of their extraordinary talents.”

Prior to joining the SEC in 2009, Mr. Cahn was a partner at the law firm of Wilmer Cutler Pickering Hale and Dorr LLP. Mr. Cahn began his legal career as law clerk to Judge Herbert J. Stern of the U.S. District Court for the District of New Jersey and to Judge John J. Gibbons, Chief Judge of the U.S. Court of Appeals for the Third Circuit. He graduated from Tufts University in 1983 and from Yale Law School in 1986. . (Press Rel. 2012-254)

Enforcement Proceedings

SEC Charges 10 in Insider Trading Ring Around Investment Banker’s Illegal Tips on Impending Mergers

The Securities and Exchange Commission today charged an investment banker who was primarily based in Charlotte, N.C., and nine others involved in an insider trading ring that garnered more than $11 million in illicit profits trading on confidential information about impending mergers.

The SEC alleges that John W. Femenia misused his position at Wells Fargo Securities to obtain material, nonpublic information about four separate merger transactions involving firm clients. Upon learning inside information about an impending deal, Femenia’s first call to set the insider trading ring in motion was typically to his longtime friend Shawn C. Hegedus, who worked as a registered broker. Femenia and Hegedus illegally tipped other friends who in turn tipped more friends or family members in a ring that spread across five states.

The SEC has obtained a court order freezing the assets of the illegal traders.

“Here you have an investment banker who clearly knew better that inside information can’t form the basis of trading decisions,” said William P. Hicks, Associate Director for Enforcement in the SEC’s Atlanta Regional Office. “Instead he basically started a phone tree of nonpublic information to enrich friends and others.”

According to the SEC’s complaint filed in U.S. District Court for the Western District of North Carolina, Femenia was based in Wells Fargo’s Charlotte office when most of the misconduct occurred, but later moved and worked in New York where he currently resides. Femenia’s tippees included his friends Aaron M. Wens, who lives in Encinatas, Calif., and Matthew Musante, who lives in Miami. Musante tipped his father Anthony Musante, who lives in Melbourne, Fla. Hegedus tipped his girlfriend Danielle Laurenti and his business colleague Roger A. Williams, who lives in Georgetown, S.C. Williams tipped three of his friends: Frank M. Burgess, Jr. of Charlotte, James A. Hayes IV of Charlotte, and Kenneth M. Raby of Greer, S.C.

The SEC charged two companies with ties to Hegedus or Laurenti that were involved in the illegal trading: Coram Real Estate Holdings Inc. and GoldStar P.S. The SEC also charged two others as relief defendants for the purposes of recovering illicit profits that are now in their possession: Femenia’s girlfriend Kristine Lack and Anthony Musante’s wife Christine Musante.

According to the SEC’s complaint, the illegal trading occurred from July 2010 to July 2012 and involved the following transactions:

  • The acquisition of ATC Technology Corporation by GENCO Distribution Systems (publicly announced July 19, 2010)
  • The acquisition of Smurfit-Stone Container Corp. by Rock-Tenn Company (publicly announced Jan. 23, 2011)
  • The acquisition of K-Sea Transportation Partners by Kirby Corporation (publicly announced March 13, 2011)
  • The acquisition of The Shaw Group by Chicago Bridge & Iron Co. (publicly announced July 30, 2012)

According to the SEC’s complaint, Femenia’s tips enabled profitable trades in the stock and options of the companies being acquired in the deals, and at least one trader provided a portion of his profits to Femenia in exchange for the information. Some downstream tippees also kicked back a portion of their profits.

The SEC’s complaint alleges that the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. At the SEC’s request, The Honorable Graham C. Mullen entered a temporary restraining order freezing the assets of the defendants and relief defendants. The court order also provides for expedited discovery and prohibits the defendants and relief defendants from destroying evidence.

The investigation was conducted in the SEC’s Atlanta Regional Office by Staff Attorney Monifa F. Wright under the supervision of Assistant Regional Director Matthew F. McNamara. Paul T. Kim and Pat Huddleston will lead the litigation.

The SEC appreciates the assistance of the U.S. Attorney’s Office for the Western District of North Carolina, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2012-255)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Changed E-Mail, Inc., Channel America Broadcasting, Inc., Charys Holding Co., Inc., Children’s Wonderland, Inc., County Seat Stores, Inc., CRCB Corp., Crowley Financial Services, Inc., Crystal Finance Holding Corp., and Cumberland Mountain Bancshares, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-68355; File No. 3-15096)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Castle Hill Associates, Inc., Centurion Health Corp. (f/k/a Templemore Acquisition Corp.), CFO Advisory Group, Inc., Chromatics Color Sciences International, Inc., Creative Resources, Inc., Crown Financial Holdings, Inc. (f/k/a Crown Financial Group, Inc.), and Crown Jewel Resources Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each 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 revocations were ordered in an administrative proceeding before an administrative law judge. (Exchange Act Release No. 34-68356; File No. 3-15088)

Chicago Area Man Involved in “Prime Bank” Scheme Sanctioned

Anthony Fields, of the Chicago, Illinois, area, who also did business as Anthony Fields & Associates (AFA), an investment adviser, and as Platinum Securities Brokers (Platinum), an unregistered broker-dealer, has been sanctioned following a hearing before an administrative law judge. The law judge concluded that Fields violated the antifraud, registration, and other provisions of the securities laws. He was ordered to cease and desist from violations of the antifraud, registration, and other provisions of the securities laws and to pay a civil money penalty of $150,000. Additionally, Fields was barred from the securities industry and AFA’s registration as an investment adviser was revoked.

The law judge found that Fields attempted to broker transactions in fraudulent so-called “prime bank” instruments known as “bank guarantees” and “mid-term notes” through postings on the social media websites LinkedIn, TradeKey, and E-2/Commerce. Fraudulent so-called “prime bank” schemes involve a purported – in fact, nonexistent – secondary market for such esoteric “prime bank” instruments as standby letters of credit, bank guarantees, bank notes, and other formulations, purportedly associated with a major international bank. The schemes are typically shrouded in secrecy and unduly complex, with layers of unknown individuals, for no understandable reason. The materials often refer to “top 10” or “AAA” rated banks, and may reference products, such as Treasury bills, or institutions, such as the Federal Reserve, to gain credibility. They may refer to transactions that do not make economic sense, for example, offering a note purportedly issued by a major bank at 40% of its face value and bearing 7% interest.

Additionally, Fields made unambiguously false representations on AFA’s and Platinum’s websites and elsewhere concerning the entities’ non-existent assets under management, inventory of securities, and other matters. He also acted as an unregistered broker. (Initial Decision No. 474; File No. 3-14684)


Proposed Rule Change

The Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-131) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to listing and trading of shares of the Horizons S&P 500 Covered Call ETF, Horizons S&P Financial Select Sector Covered Call ETF, and Horizons S&P Energy Select Sector Covered Call ETF under NYSE Arca Equities Rule 5.2(j)(3). Publication is expected in the Federal Register during the week of December 3. (Rel. 34-68351)

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend its rule related to Multi-Class Broad-Based Index Option Spread Orders (SR-CBOE-2012-117) 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 December 3. (Rel. 34-68350)


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-4     AAR CORP, 1100 N WOOD DALE RD, WOOD DALE, IL, 60191, 6302272000 - 
        0 ($175,000,000.00) Debt, (File 333-185250 - Dec. 4) (BR. 05A)

S-4     PVH CORP. /DE/, 200 MADISON AVENUE, NEW YORK, NY, 10016, 2123813500 - 
        0 ($980,441,830.00) Equity, (File 333-185251 - Dec. 4) (BR. 09B)

        84108, 8015845700 - 0 ($400,000,000.00) Debt, (File 333-185252 - 
        Dec. 4) (BR. 06A)

        95054, 4087658080 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-185253 - Dec. 4) (BR. 10A)

        FORT WORTH, TX, 76102, 817-334-4100 - 
        0 ($300,000,000.00) Non-Convertible Debt, (File 333-185256 - Dec. 4) 
        (BR. 04B)

S-8     M I HOMES INC, 3 EASTON OVAL STE 500, COLUMBUS, OH, 43219, 6144188000 - 
        900,000 ($17,515,836.20) Equity, (File 333-185257 - Dec. 4) (BR. 06B)

S-8     M I HOMES INC, 3 EASTON OVAL STE 500, COLUMBUS, OH, 43219, 6144188000 - 
        50,000 ($1,103,000.00) Equity, (File 333-185258 - Dec. 4) (BR. 06B)

S-3     Chase Auto Receivables LLC, C/O JPMORGAN CHASE BANK, NATIONAL ASSN, 
        900 STEWART AVENUE, GARDEN CITY, NY, 11530, 516-745-4520 - 
        0 ($1,000,000.00) Asset-Backed Securities, (File 333-185259 - Dec. 4) 
        (BR. )

        CANFIELD, OH, 44406, 3305333341 - 500,000 ($2,985,000.00) Equity, 
        (File 333-185260 - Dec. 4) (BR. 07B)

S-8     SONY CORP, 7-1, KONAN, 1-CHOME, MINATO-KU, TOKYO, M0, 108-0075, 
        0367482180 - 0 ($21,557,159.00) Equity, (File 333-185261 - Dec. 4) 
        (BR. 11A)

S-4     Calumet Specialty Products Partners, L.P., 2780 WATERFRONT, 
        PARKWAY E. DRIVE, SUITE 200, INDIANAPOLIS, IN, 46214, 317-328-5660 - 
        0 ($275,000,000.00) Debt, (File 333-185262 - Dec. 4) (BR. 04B)

        89119, 702-734-3457 - 14,500,000 ($1.00) Equity, (File 333-185263 - 
        Dec. 4) (BR. 11C)

S-8     Delek Logistics Partners, LP, 7102 COMMERCE WAY, BRENTWOOD, TN, 37027, 
        (615) 771-6701 - 612,207 ($13,535,896.77) Equity, (File 333-185264 - 
        Dec. 4) (BR. 04A)


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


4 KIDS ENTERTAINMENT INC                NY       8.01,9.01            10/29/12

Acadia Healthcare Company, Inc.         DE       8.01,9.01            12/04/12

ACE Ltd                                 V8       7.01                 12/04/12

AeroVironment Inc                       DE       2.02,9.01            12/04/12

AK STEEL HOLDING CORP                   DE       7.01,9.01            12/03/12

Alexander & Baldwin, Inc.               HI       1.01,2.03            11/30/12

ALEXANDERS INC                          DE       2.01,7.01,9.01       11/28/12

ALIMERA SCIENCES INC                    DE       1.01,8.01,9.01       11/28/12

ALLIANCE BANKSHARES CORP                         8.01,9.01            12/04/12

American Realty Capital Daily Net Ass   MD       5.02,9.01            11/30/12

Ampio Pharmaceuticals, Inc.             DE       5.02,9.01            11/28/12

ANIKA THERAPEUTICS INC                  MA       8.01,9.01            12/04/12

APACHE CORP                             DE       1.01,9.01            11/28/12

Apps Genius Corp                        NV       1.01,1.02,8.01,9.01  11/13/12

ARI NETWORK SERVICES INC /WI            WI       1.01,2.01,2.03,3.02, 11/28/12

ARRAY BIOPHARMA INC                     DE       1.01                 11/29/12

As Seen On TV, Inc.                     FL       1.01,3.02,9.01       11/28/12

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            12/04/12

ASHLAND INC.                            KY       7.01                 12/04/12

ASIA PACIFIC BOILER Corp                NV       5.02                 11/30/12

AT&T INC.                               DE       8.01,9.01            12/04/12

Atlanticus Holdings Corp                GA       8.01                 11/30/12

ATLAS PIPELINE PARTNERS LP              DE       1.01,3.02,7.01,9.01  11/30/12

Auto Home Lock, Inc.                    NV       5.07                 11/28/12

AUTONATION, INC.                        DE       7.01,9.01            12/04/12

AUTOZONE INC                            NV       2.02,9.01            12/04/12

AVANIR PHARMACEUTICALS, INC.            DE       8.01,9.01            12/03/12

AVISTA CORP                             WA       1.01,2.03,9.01       11/30/12

AXCELIS TECHNOLOGIES INC                DE       1.01,7.01,9.01       12/03/12

AXT INC                                 DE       5.02,9.01            12/04/12

BAXTER INTERNATIONAL INC                DE       1.01,8.01,9.01       12/03/12

BBX CAPITAL CORP                        FL       8.01                 12/04/12

BECTON DICKINSON & CO                   NJ       8.01                 12/01/12

BEL FUSE INC /NJ                        NJ       1.01,8.01,9.01       12/04/12

BFC FINANCIAL CORP                      FL       8.01,9.01            11/28/12

BIOLASE, INC                            DE       7.01,9.01            12/04/12

BIOTIME INC                             CA       7.01,9.01            12/04/12

BNC BANCORP                             NC       2.01,5.02,8.01,9.01  11/30/12

BOISE INC.                              DE       5.02,9.01            12/04/12

BON TON STORES INC                      PA       8.01,9.01            12/04/12

Boomerang Systems, Inc.                 DE       7.01                 12/04/12

Bridgeline Digital, Inc.                DE       2.02,9.01            12/04/12

BRUNSWICK CORP                          DE       5.02,9.01            12/03/12

C H ROBINSON WORLDWIDE INC              DE       5.02                 11/30/12

Calumet Specialty Products Partners,    DE       9.01                 12/04/12

Calumet Specialty Products Partners,    DE       9.01                 10/01/12    AMEND

CAMBRIDGE HEART INC                     DE       1.01,2.03,3.02,7.01, 11/30/12
CapLease, Inc.                                   8.01,9.01            11/30/12

CASELLA WASTE SYSTEMS INC               DE       2.02,5.02,8.01,9.01  12/03/12

CASUAL MALE RETAIL GROUP INC            DE       8.01,9.01            12/04/12

CASUAL MALE RETAIL GROUP INC            DE       5.03,9.01            11/28/12

CATERPILLAR FINANCIAL SERVICES CORP     DE       8.01,9.01            12/04/12

CD INTERNATIONAL ENTERPRISES, INC.      FL       7.01,9.01            12/04/12

CDI CORP                                PA       1.01,2.03            11/30/12

CECO ENVIRONMENTAL CORP                 DE       8.01                 11/30/12

CENTERLINE HOLDING CO                   DE       1.01,9.01            11/29/12

Cereplast Inc                           NV       1.01,2.03            11/27/12

Chanticleer Holdings, Inc.              DE       7.01,9.01            12/04/12

CHINA FUND INC                          MD       7.01,9.01            10/31/12

ChinaNet Online Holdings, Inc.          NV       8.01,9.01            11/30/12

CHIQUITA BRANDS INTERNATIONAL INC       NJ       5.02,9.01            12/04/12

CITIGROUP INC                           DE       9.01                 12/04/12

Cleantech Solutions International, In   DE       1.01,3.02,7.01,9.01  11/28/12

CLECO CORP                              LA       7.01,9.01            12/04/12

CNH Capital LLC                         DE       7.01,9.01            12/04/12

CNS RESPONSE, INC.                      DE       1.01,2.03,3.02,5.02, 11/28/12
COGNIZANT TECHNOLOGY SOLUTIONS CORP              5.02                 12/03/12

CombiMatrix Corp                        DE       5.03,5.07,7.01,9.01  11/29/12

COMPUTER SCIENCES CORP                  NV       7.01,9.01            12/03/12

Cooper Industries plc                            2.01,3.01,3.03,5.01, 11/30/12
COPYTELE INC                            DE       3.02,5.02,5.07       11/30/12

CoreSite Realty Corp                    MD       8.01                 11/05/12

CREE INC                                NC       5.02                 11/28/12

Crescent Financial Bancshares, Inc.              5.07                 12/04/12

Crestwood Midstream Partners LP         DE       7.01                 12/04/12

CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01       11/29/12

CROSSTEX ENERGY INC                     DE       7.01                 12/04/12

CROSSTEX ENERGY LP                      DE       7.01                 12/04/12

CROWN CASTLE INTERNATIONAL CORP         DE       2.01,9.01            11/30/12

Cytosorbents Corp                                5.02,8.01,9.01       11/28/12

DARDEN RESTAURANTS INC                  FL       7.01,9.01            12/04/12

DEAN FOODS CO                           DE       1.01,8.01,9.01       12/02/12

DEERE & CO                              DE       7.01                 12/04/12

Delek Logistics Partners, LP            DE       7.01,9.01            12/04/12

Delek US Holdings, Inc.                          7.01,9.01            12/04/12

DELTA AIR LINES INC /DE/                DE       7.01,9.01            12/04/12

Digimarc CORP                           OR       2.01,7.01,8.01,9.01  12/03/12

Discover Financial Services             DE       5.03                 12/03/12

DITECH NETWORKS INC                     DE       3.01,3.03,5.01,5.02, 12/03/12

DSW Inc.                                OH       8.01,9.01            12/04/12

DUMA ENERGY CORP                        NV       7.01,9.01            12/04/12

DYCOM INDUSTRIES INC                    FL       2.01,9.01            12/03/12

EATON CORP                              OH       1.01,2.01,2.03,3.01, 11/30/12
EchoStar CORP                           NV       5.02,9.01            12/03/12

Eco-Trade Corp.                         DE       1.01                 12/03/12

ECOTALITY, INC.                         NV       5.07                 11/28/12

ELECTRONIC CONTROL SECURITY INC         NJ       1.01,2.03,9.01       11/29/12

Emergency Medical Services CORP         DE       2.02,7.01,9.01       12/04/12

ENDEAVOUR INTERNATIONAL CORP            NV       1.01,9.01            11/29/12    AMEND

ENDOLOGIX INC /DE/                      DE       5.02                 12/04/12

Energy Telecom, Inc.                    FL       7.01,9.01            12/04/12

Entergy Louisiana, LLC                  TX       8.01,9.01            12/04/12

Entergy Louisiana, LLC                  TX       9.01                 12/04/12    AMEND

ENVIVIO INC                             DE       2.02,5.02,9.01       11/28/12

ERF Wireless, Inc.                      NV       5.02,9.01            10/04/12

ESPEY MFG & ELECTRONICS CORP            NY       5.07,8.01,9.01       11/30/12

EverBank Financial Corp                 DE       7.01,9.01            12/04/12

EVEREST RE GROUP LTD                    D0       5.02,9.01            09/13/12

ExamWorks Group, Inc.                   DE       7.01,9.01            12/04/12

EXXON MOBIL CORP                        NJ       5.02,9.01            11/28/12

EZCORP INC                              DE       4.01,9.01            11/29/12

Federal Home Loan Bank of Atlanta       X1       2.03                 11/28/12

Federal Home Loan Bank of Boston        X1       2.03                 11/28/12

Federal Home Loan Bank of Chicago       X1       2.03                 11/28/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            11/28/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            11/29/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            11/28/12

Federal Home Loan Bank of New York      X1       2.03,9.01            11/29/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            11/28/12

Federal Home Loan Bank of Topeka                 2.03,9.01            11/28/12

FEMALE HEALTH CO                        WI       2.02,9.01            12/04/12

Fifth Street Finance Corp               DE       1.01,2.03,9.01       11/30/12

FIRST FINANCIAL BANCORP /OH/            OH       7.01,9.01            12/04/12

First Liberty Power Corp                NV       5.02                 12/01/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            12/04/12

FOCUS GOLD Corp                                  3.03,5.02,9.01       11/29/12

FSP PHOENIX TOWER CORP                           7.01,9.01            12/04/12

Fuelstream INC                          DE       5.02                 11/30/12

FuLuCai Productions Ltd.                NV       1.01,1.02,5.02       06/29/12

Galena Biopharma, Inc.                           1.01,8.01,9.01       12/04/12

Genesis Biopharma, Inc                  NV       5.02                 11/28/12

GENWORTH FINANCIAL INC                  DE       8.01,9.01            12/03/12

Gold & Gemstone Mining Inc.             NV       1.01                 12/03/12

Gold & Gemstone Mining Inc.             NV       2.01,5.01,5.02,5.06, 05/04/12    AMEND
GOODYEAR TIRE & RUBBER CO /OH/          OH       5.02,9.01            12/04/12

GREIF INC                               DE       5.04                 12/04/12

HALCON RESOURCES CORP                   DE       5.03,9.01            11/30/12

HALLADOR ENERGY CO                      CO       8.01                 11/29/12

HELMERICH & PAYNE INC                   DE       8.01,9.01            12/04/12

HERITAGE OAKS BANCORP                   CA       5.02,9.01            12/04/12

HINES REAL ESTATE INVESTMENT TRUST IN            7.01,9.01            12/04/12

HOLLY ENERGY PARTNERS LP                         7.01,9.01            12/04/12

Home Federal Bancorp, Inc. of Louisia   LA       7.01,9.01            12/04/12

HOOKER FURNITURE CORP                   VA       2.02,9.01            12/03/12

HOOKER FURNITURE CORP                   VA       7.01,9.01            12/04/12

HYPERION THERAPEUTICS INC               DE       1.01,9.01            11/30/12

IAC/INTERACTIVECORP                     DE       9.01                 09/24/12    AMEND

IndiePub Entertainment, Inc.            DE       1.01,2.03            11/28/12

InspireMD, Inc.                         DE       8.01,9.01            12/04/12

INTEL CORP                              DE       8.01                 12/04/12

INTEL CORP                              DE       7.01,9.01            12/04/12

INTERLINE BRANDS, INC./DE               DE       5.02,9.01            12/04/12

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       8.01                 12/04/12

Intrepid Potash, Inc.                   DE       8.01,9.01            12/04/12

INUVO, INC.                             NV       3.01,7.01,9.01       11/30/12

INVESTMENT TECHNOLOGY GROUP INC         DE       2.05,5.02,9.01       11/30/12

IROBOT CORP                             DE       2.01,9.01            10/01/12    AMEND

ISLE OF CAPRI CASINOS INC               DE       2.01,9.01            11/29/12

Jones Lang LaSalle Income Property Tr   MD       8.01,9.01            12/04/12

JPMORGAN CHASE & CO                     DE       7.01,9.01            12/04/12

JPMORGAN CHASE & CO                     DE       7.01,9.01            12/04/12

JTH Holding, Inc.                       DE       2.02,9.01            12/04/12

KAR Auction Services, Inc.              DE       8.01,9.01            12/04/12

KEMET CORP                              DE       7.01,9.01            12/04/12

KENEXA CORP                                      2.01,3.01,3.03,5.01, 12/03/12
KILROY REALTY CORP                      MD       1.01,9.01            11/28/12

Liberty Global, Inc.                    DE       7.01                 12/03/12

Liberty Global, Inc.                    DE       2.03                 11/21/12    AMEND

LIFE PARTNERS HOLDINGS INC              TX       8.01,9.01            12/03/12

LIGAND PHARMACEUTICALS INC              DE       7.01,9.01            12/04/12

LINDSAY CORP                            DE       5.02,9.01            11/29/12

LIVEWIRE ERGOGENICS INC.                         3.03,9.01            12/04/12

Lone Star Gold, Inc.                    NV       1.01                 11/26/12

LOOKSMART LTD                           DE       3.01                 11/29/12

LRAD Corp                               DE       5.02                 11/29/12

LRR Energy, L.P.                        DE       7.01,9.01            11/28/12

LUCAS ENERGY, INC.                      NV       7.01,9.01            12/04/12

Lumos Networks Corp.                    VA       5.02                 12/04/12

MACERICH CO                             MD       2.01,9.01            11/28/12

MARKETAXESS HOLDINGS INC                         8.01,9.01            12/04/12

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            12/04/12

MATTRESS FIRM HOLDING CORP.             DE       2.02,9.01            12/04/12

MCDONALDS CORP                          DE       5.02                 11/28/12

MCKESSON CORP                           DE       1.01,2.03,9.01       12/04/12

MCMORAN EXPLORATION CO /DE/             DE       8.01,9.01            12/03/12

Memorial Production Partners LP         DE       1.01,2.03,9.01       12/03/12

MEREDITH CORP                           IA       7.01,9.01            12/04/12

MERITOR INC                             IN       1.01,2.03,3.02,8.01, 12/04/12
MESA LABORATORIES INC /CO               CO       5.02                 11/30/12

MICHAEL FOODS GROUP, INC.               DE       8.01,9.01            12/03/12

Millburn Multi-Markets Fund L.P.        DE       3.02                 10/01/12

MITCHAM INDUSTRIES INC                  TX       2.02,9.01            12/04/12

MONRO MUFFLER BRAKE INC                 NY       5.02,8.01,9.01       11/29/12

MONTPELIER RE HOLDINGS LTD                       8.01,9.01            12/04/12

MRC GLOBAL INC.                         DE       5.02,9.01            12/03/12

MRV COMMUNICATIONS INC                  DE       8.01,9.01            12/03/12

Mueller Water Products, Inc.            DE       7.01,9.01            12/04/12

NASB FINANCIAL INC                      MO       1.01,9.01            11/29/12

NATIONAL RURAL UTILITIES COOPERATIVE    DC       8.01,9.01            12/04/12

Naugatuck Valley Financial Corp                  8.01,9.01            12/04/12

NCI BUILDING SYSTEMS INC                DE       2.02,9.01            12/04/12

NCR CORP                                MD       8.01,9.01            12/04/12

NCR CORP                                MD       8.01,9.01            12/04/12

NET 1 UEPS TECHNOLOGIES INC                      8.01                 12/04/12

NEWELL RUBBERMAID INC                   DE       1.01,9.01            11/29/12

NEWS CORP                                        8.01,9.01            12/03/12

NEWS CORP                                        8.01,9.01            12/04/12

NEXSTAR BROADCASTING GROUP INC          DE       2.01,8.01,9.01       12/03/12

NEXTERA ENERGY INC                      FL       7.01                 12/04/12

NGP Capital Resources Co                MD       8.01,9.01            12/03/12

NorthStar Real Estate Income Trust, I   MD       1.01,8.01,9.01       11/30/12

NORTHWESTERN CORP                       DE       7.01,9.01            12/04/12

NuStar Energy L.P.                      DE       7.01,9.01            12/04/12

NuStar GP Holdings, LLC                 DE       7.01,9.01            12/04/12

NYTEX Energy Holdings, Inc.             DE       1.01,9.01            11/29/12

Oaktree Capital Group, LLC              DE       7.01,9.01            12/04/12

Och-Ziff Capital Management Group LLC   DE       7.01                 12/04/12

OICCO ACQUISITION I, INC.               DE       1.01                 11/15/12

OIL DRI CORP OF AMERICA                 DE       8.01,9.01            12/04/12

OLD REPUBLIC INTERNATIONAL CORP         DE       8.01,9.01            12/03/12

ORAMED PHARMACEUTICALS INC.             DE       1.01,3.02            12/04/12

OXFORD INDUSTRIES INC                   GA       2.02,9.01            12/04/12

Pacira Pharmaceuticals, Inc.            DE       5.02,9.01            11/29/12

Pandora Media, Inc.                     DE       2.02,9.01            12/04/12

PANERA BREAD CO                         DE       1.01,1.02,2.03,9.01  12/04/12

PAULSON CAPITAL CORP                    OR       8.01,9.01            12/04/12

PENNANTPARK INVESTMENT CORP                      7.01,9.01            12/04/12

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       8.01                 11/30/12

PENTAIR LTD                             V8       8.01,9.01            11/28/12

PENTAIR LTD                             V8       8.01,9.01            12/04/12

PEPCO HOLDINGS INC                      DE       7.01,9.01            12/04/12

Pershing Gold Corp.                     NV       1.01,3.02,9.01       11/30/12

Petron Energy II, Inc.                  NV       1.01,2.01,3.02,4.01, 12/03/12
Pike Electric CORP                               8.01,9.01            12/04/12

PITNEY BOWES INC /DE/                   DE       5.02,9.01            12/03/12

PLAINS ALL AMERICAN PIPELINE LP         DE       7.01                 12/04/12

PNC FINANCIAL SERVICES GROUP, INC.      PA       2.02,9.01            12/04/12

POST PROPERTIES INC                     GA       1.02                 12/03/12

PROGENICS PHARMACEUTICALS INC           DE       8.01                 12/04/12

PROSPECT GLOBAL RESOURCES INC.          NV       1.01,2.03,5.02,9.01  11/29/12

PROTALEX INC                            DE       4.01,9.01            12/03/12

PRUDENTIAL FINANCIAL INC                NJ       8.01,9.01            12/04/12

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            12/04/12

PULTEGROUP INC/MI/                      MI       5.02,9.01            11/30/12

QAD INC                                 DE       8.01,9.01            12/02/12

QUANTA SERVICES INC                     DE       7.01,9.01            12/03/12

RAINMAKER SYSTEMS INC                   DE       5.02                 11/29/12

RAIT Financial Trust                    MD       1.01,2.03,5.03,9.01  11/28/12

RAYTHEON CO/                            DE       9.01                 12/04/12

RCM TECHNOLOGIES INC                    NV       7.01,8.01,9.01       12/04/12

Real Goods Solar, Inc.                  CO       3.01                 11/30/12

REALNETWORKS INC                        WA       5.02,7.01,9.01       11/30/12

RECOVERY ENERGY, INC.                   NV       5.02,9.01            12/03/12

REDWOOD TRUST INC                       MD       2.03,9.01            11/28/12

REGAL BELOIT CORP                       WI       7.01,9.01            12/04/12

Regency Energy Partners LP              DE       7.01,9.01            12/04/12

Regency Energy Partners LP              DE       7.01,9.01            12/04/12

REMEC LIQUIDATING TRUST                 CA       2.02,8.01,9.01       11/30/12

Revolutionary Concepts Inc              NV       8.01                 12/04/12

REXAHN PHARMACEUTICALS, INC.            DE       8.01,9.01            12/04/12

REYNOLDS AMERICAN INC                            5.02,9.01            11/29/12

ROCKWELL MEDICAL, INC.                  MI       1.01,2.03,9.01       11/30/12

SABA SOFTWARE INC                       DE       1.01,5.02,7.01,9.01  11/30/12

SARATOGA RESOURCES INC /TX              TX       8.01,9.01            12/04/12

SAVANNAH BANCORP INC                    GA       5.07                 11/30/12

SCBT FINANCIAL CORP                     SC       5.07                 11/30/12

SCIENTIFIC INDUSTRIES INC               DE       1.01,5.07            11/29/12

SEACHANGE INTERNATIONAL INC             DE       1.01,2.02,2.03,9.01  11/28/12

SEACOR HOLDINGS INC /NEW/               DE       8.01,9.01            12/04/12

SELECT MEDICAL HOLDINGS CORP                     7.01,9.01            12/04/12

Sequoia Mortgage Trust 2012-6                    8.01,9.01            11/01/12

Shire plc                                        8.01,9.01            12/04/12

Sino Gas International Holdings, Inc.   UT       2.02,9.01            11/28/12

SM Energy Co                            DE       7.01,9.01            12/03/12

SMF ENERGY CORP                         DE       1.03,9.01            10/16/12

SMTC CORP                               DE       2.05                 11/28/12

SOFTECH INC                             MA       1.01,3.02,9.01       12/04/12

Southcross Energy Partners, L.P.        DE       7.01,9.01            12/03/12

SOUTHERN USA RESOURCES INC.             DE       1.01,2.03,3.02,3.03, 11/29/12
STAGE STORES INC                        NV       8.01,9.01            12/04/12

STATE STREET CORP                       MA       7.01,9.01            12/04/12

Station Casinos LLC                     NV       8.01                 12/03/12

Steadfast Income REIT, Inc.             MD       7.01,9.01            11/29/12

STEEL DYNAMICS INC                      IN       5.02,9.01            12/03/12

Stevia Agritech Corp.                            4.01,9.01            11/29/12

SUNGARD CAPITAL CORP                    DE       7.01                 12/04/12

SUNTRUST BANKS INC                      GA       7.01,9.01            12/03/12

Superior Venture Corp                   NV       7.01,9.01            12/04/12

Superior Venture Corp                   NV       4.01,9.01            11/09/12    AMEND

SYNTEL INC                              MI       8.01,9.01            12/04/12

TECHNE CORP /MN/                        MN       5.02,9.01            10/31/12    AMEND

TEXAS INDUSTRIES INC                    DE       8.01,9.01            12/04/12

TIBCO SOFTWARE INC                      DE       2.02,9.01            12/04/12

TIDEWATER INC                           DE       8.01,9.01            11/28/12

TMX Finance LLC                         DE       5.02                 11/29/12

TOLL BROTHERS INC                       DE       2.02,9.01            12/04/12

TPC Group Inc.                          DE       7.01,8.01,9.01       12/04/12

TPC Group LLC                           TX       7.01,8.01,9.01       12/04/12

TPG Specialty Lending, Inc.             DE       1.01,9.01            11/29/12

TRANZYME INC                            DE       1.02                 12/04/12

TRIDENT MICROSYSTEMS INC                DE       8.01,9.01            11/30/12

TRUE RELIGION APPAREL INC               DE       8.01,9.01            11/28/12

UMH PROPERTIES, INC.                    MD       7.01,9.01            12/04/12

UMPQUA HOLDINGS CORP                    OR       8.01                 12/04/12

Universal Bioenergy, Inc.                        8.01                 12/04/12

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       1.01,9.01            11/29/12

US BANCORP \DE\                         DE       7.01,9.01            12/04/12

VAIL RESORTS INC                        DE       2.02,9.01            12/04/12

VAIL RESORTS INC                        DE       5.07                 11/29/12

VASCULAR SOLUTIONS INC                  MN       1.01                 11/30/12

Vera Bradley, Inc.                               5.02                 10/01/12    AMEND

VIASAT INC                              DE       5.03,9.01            12/02/12

VICON INDUSTRIES INC /NY/               NY       2.02,9.01            12/04/12

VITESSE SEMICONDUCTOR CORP              DE       2.02,5.02,9.01       11/28/12

Volcano Corp                            DE       8.01,9.01            12/03/12

Vuzix Corp                              DE       5.07                 11/30/12

WALTER INVESTMENT MANAGEMENT CORP       MD       1.01,1.02,2.03,8.01, 11/28/12
WEBSTER FINANCIAL CORP                  DE       3.03,5.03,8.01,9.01  11/30/12

WESCO INTERNATIONAL INC                          8.01                 12/04/12

WESCO INTERNATIONAL INC                          8.01                 12/04/12

WESTERN DIGITAL CORP                    DE       7.01,9.01            12/03/12

Western Refining, Inc.                  DE       7.01                 12/04/12

Whitestone REIT Operating Partnership   DE       9.01                 09/30/12    AMEND

Xun Energy, Inc.                        NV       1.01,9.01            12/04/12

YOUNG INNOVATIONS INC                   MO       1.01,9.01            12/03/12

ZIONS BANCORPORATION /UT/               UT       8.01                 12/04/12

ZIONS BANCORPORATION /UT/               UT       7.01,9.01            12/04/12

ZOOM TECHNOLOGIES INC                   DE       5.07                 11/30/12



Modified: 12/05/2012