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RULES AND RELATED MATTERSSEC Issues Order Cancelling Investment Adviser RegistrationsAn order has been issued cancelling the registrations of certain investment advisers that are no longer in existence, are not engaged in business as investment advisers, or are prohibited from registering as investment advisers with the Commission under Section 203A of the Investment Advisers Act of 1940. For further information contact: Jennifer Porter, Senior Counsel or Melissa Roverts, Branch Chief, Division of Investment Management, Office of Investment Adviser Regulation, at (202) 551-6787. (Rel. IA-3547) ENFORCEMENT PROCEEDINGSIn the Matter of HI DEF Enterprises, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Seven Respondents (Default Order) in HI DEF Enterprises, Inc., Administrative Proceeding File No. 3-15166. The Order Instituting Proceedings alleged that Respondents repeatedly failed to timely file periodic reports while their securities were registered with the Securities and Exchange Commission (Commission). The Default Order finds these allegations to be true as to HI DEF Enterprises, Inc., Hi-Rise Recycling Systems, Inc., Highline Industries, Inc., Hirel Holdings, Inc., Hooker Enterprises, Inc., Hospital Staffing Services, Inc., and Hotelworks.com, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). The Commission accepted an Offer of Settlement from Holiday RV Superstores, Inc. (n/k/a FreedomRoads RV, Inc.). See HI DEF Enterprises, Inc., Exchange Act Release No. 68716 (Jan. 24, 2013). (Rel. 34-68856; File No. 3-15166) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Imreg, Inc., Innovative Holdings & Technologies, Inc., InnoVet, Inc., Institutional Properties 4, Interaction Media Corp., and International CRO Holdings 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 have been revoked.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. (34-68857; File No. 3-15173) Commission Revokes Registration of Securities of Superior Oil & Gas Co. for Failure to Make Required Periodic FilingsOn February 7, 2013, the Commission revoked the registration of each class of registered securities of Superior Oil & Gas Co. (Superior Oil & Gas) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Superior Oil & Gas consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Superior Oil & Gas Co. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Superior Oil & Gas’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Superior Oil & Gas in In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186, Exchange Act Release No. 68729, January 25, 2013. (Rel. 34-68858; File No. 3-15186) Commission Revokes Registration of Securities of Unico, Inc. for Failure to Make Required Periodic FilingsOn February 7, 2013, the Commission revoked the registration of each class of registered securities of Unico, Inc. (Unico) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Unico consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Unico, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Unico’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Unico in In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186, Exchange Act Release No. 68729, January 25, 2013. (Rel. 34-68859; File No. 3-15186) Gary J. Martel SanctionedGary J. Martel (Martel) has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following a January 2013 injunction against violations of the antifraud provisions of the federal securities laws. Additionally, Martel has pleaded guilty to mail and wire fraud and awaits sentencing. His wrongdoing included obtaining more than $1.6 million from advisory clients by misrepresenting to them that he would invest their funds in securities, such as Facebook stock. Instead, he used the investors’ funds to make payments to earlier investors or for his own personal use. (Rel. 34-68866 and IA-3552; File No. 3-15162) James S. Ward SanctionedJames S. Ward (Ward) has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following an August 2012 conviction for conspiracy to commit mail and wire fraud. The wrongdoing underlying Ward’s conviction took place during 2005 through 2008 when he and others raised money from investors using materially false representations and omissions. He and others represented that the money would be used to make loans secured by deeds of trust on real estate, but most of the money was used to make purported interest payments to earlier investors and for other business expenses. (Rel. IA-3551; File No. 3-15153) Steven Harrold Settles SEC Insider Trading ChargesOn January 22, 2013, the U.S. District Court for the Central District of California entered a final judgment by consent against Steven Harrold in the SEC’s enforcement action which charged Harrold, a former executive at a Coca-Cola bottling company, with insider trading based on confidential information he learned on the job about a transaction with The Coca-Cola Company. The final judgment enjoins Harrold from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) and (c) thereunder. The Court also ordered Harrold to pay disgorgement of $86,850, prejudgment interest of $8,954.22, and a civil penalty of $86,850, for a total of $182,654.22 in monetary sanctions. In addition, the final judgment bars Harrold from serving as an officer or director of a public company. Harrold consented to the entry of the final judgment without admitting or denying any of the allegations of the Commission’s complaint. According to the Commission’s complaint filed March 8, 2012, Harrold, who was a Vice President at Coca-Cola Enterprises Inc. (ticker symbol: CCE), purchased company stock in his wife’s brokerage account after learning that his company had agreed to acquire The Coca-Cola Company’s (ticker symbol: KO) bottling operations in Norway and Sweden. The SEC alleges that Harrold, who lives in Los Angeles and London, was informed in early January 2010 that CCE was considering the acquisition of KO’s Norwegian and Swedish bottling operations in a transaction internally valued at more than $800 million and viewed as creating significant positive growth opportunities for CCE. Harrold signed a non-disclosure agreement requiring him to maintain the confidentiality of any nonpublic information he learned about the potential transaction. Harrold also received an e-mail from CCE’s legal counsel informing him that he was subject to a blackout period and was prohibited from trading in CCE stock “until further notice.” The SEC alleged that Harrold purchased 15,000 CCE shares in his wife’s brokerage account on Feb. 24, 2010, the day before the announcement of the transaction with KO. CCE’s stock price jumped over 30 percent when the deal was announced publicly the following day, enabling Harrold to make an illicit $86,850 profit. For more information about this matter, see Litigation Release No. 22280 (March 8, 2012). [SEC v. Harrold, United States District Court, Central District of California, Civil Action No. CV 12-1959 GW(JCx)] (LR-22613) Former IndyMac CFO Dismissed from SEC LitigationThe U.S. Securities and Exchange Commission announced that on May 31, 2012, the United States District Court for the Central District of California granted a motion for summary judgment filed by defendant A. Scott Keys, the former chief financial officer of IndyMac Bancorp, Inc., and issued an order of final judgment in his favor. IndyMac, through its main subsidiary, IndyMac Bank, primarily made, purchased, and sold residential mortgage loans. In July 2008, IndyMac Bank was placed under Federal Deposit Insurance Corporation receivership and IndyMac filed for bankruptcy. The Commission’s complaint alleged that Keys failed to disclose in IndyMac’s 2007 Form 10-K, filed on February 29, 2008, that IndyMac had resumed capital-raising activities on February 26, 2008. The complaint further alleged that Keys failed to disclose IndyMac Bank’s deteriorating capital and liquidity positions in IndyMac’s offering materials for the sale of new stock to investors prior to Keys’s departure from IndyMac in April 2008. The Commission has not appealed the District Court’s summary judgment ruling as to Keys, and the time for appeal has expired. [SEC v. Michael W. Perry et al., Civil Action No. CV 11-1309 R (JCx) (C.D. Cal.)] (LR- 22614) INVESTMENT COMPANY ACT RELEASESExchange Traded Spreads Trust, et al.An order has been issued on an application filed by Exchange Traded Spreads Trust, et al. The order permits: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30378 – February 5) J.P. Morgan Securities LLC, et al.The Commission has issued an order to J.P. Morgan Securities LLC, et al. under Section 9(c) of the Investment Company Act of 1940 (Act) with respect to an injunction issued by the U.S. District Court for the District of Columbia on January 8, 2013. The order exempts J.P. Morgan Securities LLC (JPMS), EMC Mortgage, LLC (“EMC”), Bear Stearns Asset Backed Securities I, LLC (“BSABS”), Structured Asset Mortgage Investments II, Inc. (“SAMI”), SACO I Inc. (“SACO”) and J.P. Morgan Acceptance Corporation I (together with JPMS, EMC, BSABS, SAMI and SACO, the “Defendants”), Bear Stearns Asset Management Inc., Bear Stearns Health Innoventures Management, L.L.C., BSCGP Inc., Constellation Growth Capital LLC, Constellation Ventures Management II, LLC, Highbridge Capital Management, LLC, JF International Management Inc., JPMorgan Distribution Services, Inc., J.P. Morgan Institutional Investments, Inc., J.P. Morgan Investment Management Inc., J.P. Morgan Partners, LLC, J.P. Morgan Private Investments Inc., OEP Co-Investors Management II, Ltd., OEP Co-Investors Management III, Ltd., Security Capital Research & Management Incorporated, Sixty Wall Street GP Corporation, and Sixty Wall Street Management Company, LLC, as well as companies of which a Defendant is or becomes an affiliated person, from the provisions of Section 9(a) of the Act. The order also corrects an error in the notice of the filing of the application and temporary conditional order, revising the date an amendment was filed to the application. (Rel. IC-30380 – February 6) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC relating to the routing functionality of the NASDAQ OMX PSX Market (SR-Phlx-2013-08) 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 February 11. (Rel. 34-68838) A proposed rule change filed by The NASDAQ Stock Market LLC to add routing functionality to the NASDAQ System (SR-NASDAQ-2013-014) 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 February 11. (Rel. 34-68839) A proposed rule change filed by NASDAQ OMX BX, Inc. to add routing functionality to the NASDAQ OMX BX Equities Market (SR-BX-2013-008) 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 February 11. (Rel. 34-68840) A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2013-020) to establish the Limit Locator service offered at no cost to subscribing members 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 February 11. (Rel. 34-68841) A proposed rule change (SR-C2-2013-003) filed by the C2 Options Exchange, Incorporated to clarify its rules related to the opening of the complex order book 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 February 11. (Rel. 34-68843) A proposed rule change (SR-CBOE-2013-007) filed by the Chicago Board Options Exchange, Incorporated to clarify its rules related to the opening of the complex order book 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 February 11. (Rel. 34-68844) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. to modify the “Late Report—T+N” Fee applicable to members using the FINRA/Nasdaq Trade Reporting Facility (SR-FINRA-2013-009) 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 February 11. (Rel. 34-68846) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-09) to amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 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 February 11. (Rel. 34-68848) A proposed rule change filed by The Nasdaq Stock Market LLC to restore certain requirements that were inadvertently deleted from rule 5815 relating to a staff delisting determination, public reprimand letter, or written denial of a listing application (SR-NASDAQ-2013-017) 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 February 11. (Rel. 34-68850) Proposed Rule ChangeFinancial Industry Regulatory Authority, Inc. filed a proposed rule change (SR-FINRA-2013-013) to require members to report OTC Equity transactions as soon as practicable, but no later than 10 seconds, following execution. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68842) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change filed by International Securities Exchange, LLC (SR-ISE-2012-100) to reduce the response times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism from one second to 500 milliseconds. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68849) 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 TRC COMPANIES INC /DE/, 21 GRIFFIN ROAD NORTH, WINDSOR, CT, 06095, 8602986212 - 1,500,000 ($8,955,000.00) Equity, (File 333-186475 - Feb. 6) (BR. 06B) S-1 Independence Bancshares, Inc., 500 E. WASHINGTON STREET, P.O. BOX 1776, GREENVILLE, SC, 29602, 864-672-1776 - 2,351,250 ($1,881,000.00) Equity, (File 333-186476 - Feb. 6) (BR. 07B) S-1 MEMBERS Life Insurance Co, 2000 HERITAGE WAY, WAVERLY, IA, 50677, 608.238.5851 - 0 ($100,000,000.00) Other, (File 333-186477 - Feb. 6) (BR. 01) S-1 NEF Enterprises, Inc., 13809 SW 21ST TERRACE, MIAMI, FL, 33175, 305-487-3717 - 4,037,500 ($80,750.00) Equity, (File 333-186478 - Feb. 6) (BR. 02) S-8 ALPHA & OMEGA SEMICONDUCTOR Ltd, 475 OAKMEAD PARKWAY, SUNNYVALE, CA, 94085, 408-830-9742 - 940,474 ($7,711,886.80) Equity, (File 333-186480 - Feb. 6) (BR. 10A) N-2 MainStay DefinedTerm Intermediate Duration Municipal Bond Fund, 51 MADISON AVENUE, NEW YORK, NY, 10010, 212-576-7000 - 1,000 ($20,000.00) Equity, (File 333-186481 - Feb. 6) (BR. ) S-1 LODGING MEDIA, INC., RUA LEOPOLDO MIQUEZ, 159, RIO DE JANEIRO, D5, 22060-020, 552169373056 - 10,000,000 ($200,000.00) Equity, (File 333-186482 - Feb. 6) (BR. ) S-1 SINGLE TOUCH SYSTEMS INC, 2235 ENCINITAS BLVD. SUITE 210, ENCINITAS, CA, 92024, (760) 438-0100 - 20,440,000 ($18,600,400.00) Equity, (File 333-186483 - Feb. 6) (BR. 03C) S-3ASR WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 37,076,679 ($1,993,798,413.22) Equity, (File 333-186484 - Feb. 6) (BR. 11A) F-3 StealthGas Inc., 331 KIFISSIAS AVENUE, ERITHREA 14561, ATHENS, J3, 00000, 30 210 625 2849 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-186485 - Feb. 6) (BR. 05C) S-3ASR RYDER SYSTEM INC, 11690 N.W. 105TH STREET, MIAMI, FL, 33178, 3055003726 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186486 - Feb. 6) (BR. 05C) S-1 EVERTEC, Inc., CUPEY CENTER BUILDING, ROAD 176, KM 1.3, RIO PIEDRAS, PR, 00926, (787) 759-9999 - 0 ($100,000,000.00) Equity, (File 333-186487 - Feb. 6) (BR. 03A) S-3ASR ENERGY XXI (BERMUDA) LTD, CANONS COURT, 22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 - 0 ($0.00) Equity, (File 333-186488 - Feb. 6) (BR. 04B) N-2 Ivy Credit Opportunities Fund, 6300 LAMAR AVENUE, SHAWNEE MISSION, KS, 66202-4200, 913-236-2000 - 1,000 ($20,000.00) Equity, (File 333-186489 - Feb. 6) (BR. ) S-1 SINGLE TOUCH SYSTEMS INC, 2235 ENCINITAS BLVD. SUITE 210, ENCINITAS, CA, 92024, (760) 438-0100 - 5,750,000 ($5,232,500.00) Equity, (File 333-186490 - Feb. 6) (BR. 03C) S-8 WALGREEN CO, 108 WILMOT RD, DEERFIELD, IL, 60015, 8479402500 - 46,000,000 ($1,832,640,000.00) Equity, (File 333-186491 - Feb. 6) (BR. 01B) S-4 LENNAR CORP /NEW/, 700 NW 107TH AVENUE, SUITE 400, MIAMI, FL, 33172, 3055594000 - 0 ($525,000,000.00) Debt, (File 333-186492 - Feb. 6) (BR. 06A) S-4 US CONCRETE INC, 331 N. MAIN STREET, EULESS, TX, 76039, 817-835-4116 - 0 ($11,080,093.00) Debt Convertible into Equity, 0 ($63,314,816.00) Non-Convertible Debt, (File 333-186493 - Feb. 6) (BR. 06A) S-4 TransDigm Group INC, 1301 EAST 9TH STREET, SUITE 3710, CLEVELAND, OH, 44114, 216 706 2939 - 0 ($550,000,000.00) Non-Convertible Debt, (File 333-186494 - Feb. 6) (BR. 05C) 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
-----------------------------------------------------------------------------------------
22nd Century Group, Inc. NV 7.01,9.01 02/06/13
3M CO DE 5.02,9.01 02/05/13
99 CENTS ONLY STORES CA 4.02 02/05/13
ABIOMED INC DE 2.02,9.01 02/06/13
ACADIA REALTY TRUST MD 8.01 02/05/13
Accenture plc L2 5.02,5.07,9.01 02/06/13
ACCENTURE SCA 5.02,9.01 02/06/13
ACCURAY INC DE 2.02,5.03,8.01,9.01 02/06/13
ACXIOM CORP DE 8.01 02/05/13
ADEPT TECHNOLOGY INC DE 2.02,2.06,9.01 02/06/13
ADVISORY BOARD CO DE 2.02,9.01 02/06/13
AEROFLEX HOLDING CORP. DE 2.02,9.01 02/06/13
AEROSONIC CORP /DE/ DE 1.01,2.03,9.01 02/04/13
AETRIUM INC MN 1.01,5.02,5.03,9.01 01/31/13
AGL RESOURCES INC GA 2.02,7.01,9.01 02/06/13
AKAMAI TECHNOLOGIES INC DE 2.02,9.01 02/06/13
ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 02/06/13
ALICO INC FL 2.02,9.01 02/06/13
Allison Transmission Holdings Inc DE 1.01,9.01 02/06/13
ALLSTATE CORP DE 2.02,9.01 02/06/13
AMBASSADORS GROUP INC DE 2.02,9.01 12/31/12
American Energy Development Corp. NV 1.02,2.01,9.01 02/05/13
AMERICAN EXPRESS CO NY 2.02 02/06/13
AMSURG CORP TN 5.02 02/06/13
ANDERSONS INC OH 2.02 02/06/13
ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 02/06/13
AntriaBio, Inc. NV 1.01,2.01,3.02,5.01, 01/31/13
5.06,7.01,9.01
Apollo Global Management LLC DE 7.01,9.01 02/05/13
ARCA biopharma, Inc. DE 8.01,9.01 02/06/13
Argo Group International Holdings, Lt 2.02,9.01 02/06/13
ARRIS GROUP INC DE 2.02,9.01 02/06/13
ASSOCIATED ESTATES REALTY CORP OH 2.02,9.01 02/05/13
ASSURANT INC 2.02,9.01 02/06/13
ATMEL CORP DE 2.02,9.01 02/06/13
ATMI INC DE 2.02,9.01 02/06/13
ATMOS ENERGY CORP TX 2.02,9.01 02/06/13
AUDIOEYE INC 5.02 01/31/13
AVX Corp DE 8.01 02/06/13
Azteca Acquisition Corp D8 1.01,2.03,9.01 02/01/13
BADGER METER INC WI 2.02,9.01 02/06/13
BCM Energy Partners Inc. DE 1.01 01/16/13
Big Tree Group, Inc. CO 4.01,9.01 02/05/13
BIOCLINICA INC DE 2.02,9.01 02/06/13
BIOGEN IDEC INC. DE 1.01,8.01,9.01 02/05/13
BioMed Realty Trust Inc MD 2.02,9.01 02/05/13
BJs RESTAURANTS INC CA 8.01,9.01 02/06/13
Bluerock Enhanced Multifamily Trust, MD 7.01,9.01 02/06/13
Bluforest Inc. NV 3.02,5.01,8.01 01/30/13
BOISE CASCADE Co DE 7.01,9.01 02/05/13
BOYD GAMING CORP NV 9.01 11/16/12 AMEND
BreitBurn Energy Partners L.P. DE 7.01,8.01,9.01 02/06/13
BROADWAY FINANCIAL CORP \DE\ DE 5.02 01/31/13
BRT REALTY TRUST MA 2.02,9.01 02/06/13
BRYN MAWR BANK CORP PA 7.01,9.01 02/06/13
Burlington Coat Factory Investments H 7.01,9.01 02/06/13
Business Development Corp of America MD 8.01,9.01 02/05/13
CAMBREX CORP DE 2.02,9.01 02/06/13
CAMERON INTERNATIONAL CORP DE 5.02 02/06/13
Capital Bank Financial Corp. DE 7.01,8.01,9.01 02/05/13
Capitol Federal Financial Inc MD 7.01 02/06/13
CarePayment Technologies, Inc. OR 8.01 01/31/13
CASUAL MALE RETAIL GROUP INC DE 5.02,9.01 01/31/13
CBL & ASSOCIATES PROPERTIES INC DE 1.01,2.03 01/31/13
CBRE GROUP, INC. DE 2.02,9.01 02/06/13
CDW Corp DE 2.04,9.01 02/06/13
Celldex Therapeutics, Inc. DE 1.01,9.01 02/05/13
Celsion CORP DE 1.02,8.01,9.01 02/01/13
CHEROKEE INC DE 1.01,2.01,2.03,8.01, 01/31/13
9.01
CHINA HGS REAL ESTATE INC. F4 2.02,9.01 02/06/13
CHIPOTLE MEXICAN GRILL INC 2.02,8.01,9.01 02/05/13
Chrysler Group LLC DE 1.01,9.01 02/06/13
CINCINNATI BELL INC OH 5.02,9.01 01/31/13
CINCINNATI FINANCIAL CORP OH 2.02,7.01,9.01 02/01/13
Clean Coal Technologies Inc. NV 1.01,9.01 02/01/13
CNH Capital LLC DE 7.01,9.01 02/06/13
Colfax CORP DE 2.02,9.01 02/06/13
Colony Financial, Inc. MD 2.01,9.01 02/06/13
Community Bankers Trust Corp DE 5.02 01/31/13
COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 02/06/13
COMPUTER SCIENCES CORP NV 7.01,9.01 02/05/13
Con-way Inc. DE 2.02,9.01 02/06/13
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 02/06/13
CorEnergy Infrastructure Trust, Inc. 7.01,9.01 02/05/13
CORNING INC /NY NY 5.02 02/05/13
CORPORATE EXECUTIVE BOARD CO DE 2.02,9.01 02/05/13
Corporate Resource Services, Inc. DE 8.01,9.01 02/06/13
COVANTA HOLDING CORP DE 2.02,7.01,9.01 02/06/13
COVENTRY HEALTH CARE INC DE 2.02,9.01 02/06/13
CPI AEROSTRUCTURES INC NY 2.02 02/05/13
CUMMINS INC IN 2.02,9.01 02/06/13
CVB FINANCIAL CORP CA 8.01,9.01 02/05/13
CVR Refining, LP DE 7.01,9.01 02/06/13
CVS CAREMARK CORP DE 2.02,9.01 02/06/13
CYBEX INTERNATIONAL INC NY 8.01 02/05/13
CYBEX INTERNATIONAL INC NY 8.01,9.01 02/06/13
CYS Investments, Inc. MD 2.02,9.01 02/06/13
DDR CORP OH 8.01,9.01 02/06/13
DEERE & CO DE 7.01 02/06/13
DELL INC DE 1.01,5.02,9.01 02/05/13
DEVRY INC DE 2.02,9.01 02/06/13
Diamondback Energy, Inc. DE 7.01,9.01 02/05/13
DiamondRock Hospitality Co 5.02,7.01,9.01 02/04/13
DIGITAL RIVER INC /DE DE 2.02,9.01 02/06/13
DJSP Enterprises, Inc. D8 8.01,9.01 02/01/13
DUPONT FABROS TECHNOLOGY, INC. MD 2.02,7.01,9.01 02/06/13
EAGLE MATERIALS INC DE 2.02,9.01 02/06/13
EASTERN CO CT 2.02,7.01,9.01 02/06/13
EASTMAN KODAK CO NJ 8.01 02/01/13
EASTMAN KODAK CO NJ 8.01 02/06/13
EAU TECHNOLOGIES, INC. DE 1.01,2.03 01/31/13
ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 02/05/13
ELITE PHARMACEUTICALS INC /NV/ NV 8.01,9.01 01/31/13
Emerald Oil, Inc. MT 1.01,3.02,7.01,9.01 02/01/13
Emrise CORP DE 5.02,9.01 02/05/13
ENERGY EDGE TECHNOLOGIES CORP. NJ 5.02 02/05/13
EnerSys DE 2.02,9.01 02/06/13
ENSIGN GROUP, INC 1.01,2.03,8.01,9.01 02/01/13
Entertainment Art, Inc. NV 5.02 01/21/13
EQUIFAX INC GA 2.02,9.01 02/06/13
EQUITY RESIDENTIAL MD 2.02,9.01 02/05/13
EVEREST RE GROUP LTD D0 2.02,9.01 02/06/13
EXIDE TECHNOLOGIES DE 2.02,9.01 02/06/13
FBR & Co. VA 2.02,5.03,9.01 02/05/13
Federal Home Loan Bank of Atlanta X1 7.01 01/31/13
FEI CO OR 2.02,9.01 02/06/13
Fifth & Pacific Companies, Inc. DE 8.01 01/31/13
FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 02/06/13
FLAGSTAR BANCORP INC MI 8.01,9.01 02/05/13
FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 02/05/13
FLUSHING FINANCIAL CORP DE 7.01,9.01 02/06/13
FMC CORP DE 2.02,9.01 02/06/13
FOCUS GOLD Corp 3.03,8.01 01/31/13
FORMFACTOR INC DE 2.02,9.01 02/06/13
Fortress Investment Group LLC DE 7.01 02/06/13
Fox Chase Bancorp Inc 2.02,9.01 02/05/13
FROZEN FOOD EXPRESS INDUSTRIES INC TX 8.01,9.01 02/06/13
FutureFuel Corp. DE 8.01,9.01 02/06/13
GAMCO INVESTORS, INC. ET AL NY 8.01 02/05/13
GASTAR EXPLORATION LTD 7.01,9.01 02/06/13
General Motors Co 8.01 02/01/13
GENOMIC HEALTH INC 2.02,8.01,9.01 02/06/13
Georgetown Bancorp, Inc. MD 2.02,9.01 01/31/13
Global Cash Access Holdings, Inc. DE 7.01,9.01 02/06/13
Global Eagle Entertainment Inc. DE 1.01,2.01,2.02,3.01, 01/31/13
3.02,3.03,5.01,5.02,
9.01
Global Geophysical Services Inc DE 8.01,9.01 02/06/13
Global Income Trust, Inc. MD 9.01 11/30/12 AMEND
GLOBAL MOBILETECH, INC. NV 2.02,9.01 02/06/13
GLOBECOMM SYSTEMS INC 2.02,9.01 02/06/13
GlyEco, Inc. NV 1.01,9.01 01/31/13 AMEND
GOODRICH PETROLEUM CORP DE 7.01,9.01 02/06/13
GRAN TIERRA ENERGY INC. NV 5.02 02/01/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/01/13
Greektown Superholdings, Inc. DE 5.02 01/31/13
Green Energy Management Services Hold DE 1.01,2.03,3.02,5.02, 01/31/13
8.01
GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 02/06/13
Green Plains Renewable Energy, Inc. IA 2.02,9.01 02/06/13
GREENTECH MINING INTERNATIONAL, INC. DE 1.01,9.01 09/14/12 AMEND
GREENTECH MINING INTERNATIONAL, INC. DE 1.01,5.06,9.01 09/19/12 AMEND
GRYPHON GOLD CORP NV 1.01,9.01 01/18/13
GS Mortgage Securities Trust 2013-GC1 DE 9.01 02/06/13
HARRIS INTERACTIVE INC DE 2.02,9.01 02/06/13
HEALTH DISCOVERY CORP 2Q 1.02 01/31/13
HealthWarehouse.com, Inc. DE 3.02,8.01 02/01/13
HNI CORP IA 2.02,9.01 02/05/13
HomeTown Bankshares Corp 2.02,9.01 02/01/13
HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 02/05/13
Horizon Lines, Inc. 1.01,2.03 01/31/13
HOT TOPIC INC /CA/ CA 2.02,9.01 02/06/13
Hyatt Hotels Corp DE 2.02,7.01,9.01 02/06/13
IAC/INTERACTIVECORP DE 2.02,7.01 02/06/13
ICAHN ENTERPRISES L.P. DE 1.01,5.02,9.01 02/01/13
ICG GROUP, INC. DE 8.01,9.01 02/06/13
IDEX CORP /DE/ DE 7.01,9.01 02/05/13
Ignite Restaurant Group, Inc. 7.01,8.01,9.01 02/06/13
INDEPENDENCE REALTY TRUST, INC MD 5.02 02/01/13
INTEGRATED ELECTRICAL SERVICES INC DE 5.02,5.07,7.01,9.01 02/05/13
INTERCONTINENTALEXCHANGE INC DE 2.02,9.01 02/06/13
INTL FCSTONE INC. DE 2.02,7.01,9.01 02/06/13
IROBOT CORP DE 2.02,9.01 02/06/13
ISRAMCO INC DE 8.01,9.01 01/07/13
IXIA CA 2.02,9.01 02/06/13
JOE'S JEANS INC. DE 8.01,9.01 02/06/13
KEMET CORP DE 7.01,9.01 02/06/13
KEMPER Corp DE 5.02 01/31/13
KEYW HOLDING CORP MD 2.02,9.01 02/06/13
KFORCE INC FL 2.02,9.01 02/05/13
Landmark Apartment Trust of America, 2.01,2.03 08/28/12 AMEND
LASERLOCK TECHNOLOGIES INC NV 1.01,3.02,5.03,9.01 01/31/13
LEAPFROG ENTERPRISES INC 2.02,9.01 02/06/13
Legal Life Plans, Inc. DE 2.01,4.01,5.02,8.01, 02/06/13 AMEND
9.01
Liberty Coal Energy Corp. 1.01,2.03,9.01 02/05/13
Liberty Global, Inc. DE 2.02,8.01 02/05/13
LINCOLN NATIONAL CORP IN 2.02,9.01 02/06/13
LPL Financial Holdings Inc. DE 2.02,2.05,9.01 02/05/13
LRAD Corp DE 2.02,8.01,9.01 02/04/13
MACERICH CO MD 2.02,7.01,9.01 02/06/13
Madison Square Garden Co DE 2.02,9.01 02/06/13
MAGNACHIP SEMICONDUCTOR Corp DE 7.01,8.01,9.01 02/05/13
MALVERN BANCORP, INC. PA 2.02,7.01,9.01 02/06/13
MARATHON OIL CORP DE 2.02,9.01 02/06/13
MARCUS CORP WI 1.01,2.03,9.01 01/22/13
MATERION Corp 5.02 02/06/13
McEwen Mining Inc. CO 7.01,9.01 02/05/13
MCKESSON CORP DE 7.01,9.01 01/30/13
Medefile International, Inc. NV 1.01,3.02,9.01 01/20/13
Medley Capital Corp DE 2.02,9.01 02/06/13
Mesa Energy Holdings, Inc. DE 7.01,9.01 01/31/13
MESA LABORATORIES INC /CO CO 2.02,9.01 02/05/13
META FINANCIAL GROUP INC DE 2.02,9.01 02/06/13
META FINANCIAL GROUP INC DE 7.01,9.01 02/06/13
METALS USA HOLDINGS CORP. DE 2.02,8.01,9.01 02/06/13
METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 02/06/13
MEXICO FUND INC MD 7.01,9.01 01/31/13
MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 02/06/13
MINERALRITE Corp NV 1.01,3.02 10/30/12 AMEND
MOD PAC CORP NY 2.02,9.01 02/06/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.01,2.03,9.01 01/31/13
MONEYGRAM INTERNATIONAL INC 2.02,9.01 02/06/13
MONOLITHIC POWER SYSTEMS INC CA 2.02,9.01 02/06/13
MONOLITHIC POWER SYSTEMS INC CA 5.02 02/05/13
MRI INTERVENTIONS, INC. DE 5.08 01/31/13
MTS SYSTEMS CORP MN 5.07 02/05/13
Mueller Water Products, Inc. DE 7.01,9.01 02/06/13
MusclePharm Corp NV 7.01,8.01,9.01 02/04/13
MWI Veterinary Supply, Inc. DE 5.07 02/06/13
NASB FINANCIAL INC MO 1.01,9.01 02/01/13
Nationstar Mortgage Holdings Inc. DE 1.01,1.02,2.01,8.01, 01/31/13
9.01
NETREIT, INC. MD 1.01 01/31/13
NEW ENERGY SYSTEMS GROUP NV 8.01,9.01 02/05/13
NEW ENERGY TECHNOLOGIES, INC. 5.02 01/23/13 AMEND
NEWPORT CORP NV 2.02,2.06,9.01 02/04/13
NEWS CORP 2.02,9.01 02/06/13
NEWS CORP 8.01,9.01 02/06/13
NEXSTAR BROADCASTING GROUP INC DE 2.02,8.01,9.01 02/06/13
NORTH VALLEY BANCORP CA 2.02,9.01 02/06/13
Northern Tier Energy LP DE 7.01 02/06/13
NU SKIN ENTERPRISES INC DE 2.02,9.01 12/31/12
Odenza Corp. 3.02,5.01,5.02 02/04/13
OLD LINE BANCSHARES INC MD 8.01 02/05/13
OM GROUP INC DE 5.02 02/01/13
OMEGA COMMERCIAL FINANCE CORP WY 1.02 02/06/13
OMNI BIO PHARMACEUTICAL, INC. CO 3.02,5.02,7.01,9.01 01/31/13
ORASURE TECHNOLOGIES INC DE 2.02,7.01,9.01 02/06/13
Orchids Paper Products CO /DE DE 2.02,8.01,9.01 02/06/13
ORION ENERGY SYSTEMS, INC. WI 2.02,9.01 02/05/13
OXIGENE INC DE 8.01,9.01 02/06/13
PAA NATURAL GAS STORAGE LP DE 2.02,7.01,9.01 02/06/13
PACWEST BANCORP DE 8.01,9.01 02/06/13
PAIN THERAPEUTICS INC DE 2.02,9.01 02/06/13
PARK CITY GROUP INC 5.02,9.01 02/01/13
PARKWAY PROPERTIES INC MD 9.01 02/06/13
PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 02/06/13
PEABODY ENERGY CORP DE 7.01,9.01 02/06/13
PENNANTPARK INVESTMENT CORP 2.02,9.01 02/06/13
PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,9.01 02/06/13
PEREGRINE SEMICONDUCTOR CORP DE 2.02,9.01 02/06/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 2.01,9.01 12/28/12 AMEND
PetroLogistics LP DE 2.02,9.01 02/06/13
Petron Energy II, Inc. NV 1.01,2.01,3.02,4.01, 02/06/13 AMEND
5.03,9.01
PETROQUEST ENERGY INC DE 7.01,9.01 02/05/13
Pharma-Bio Serv, Inc. 3.02 01/31/13
PHOTRONICS INC CT 2.02,9.01 02/06/13
PIPER JAFFRAY COMPANIES DE 5.02 02/05/13
PIZZA INN HOLDINGS, INC /MO/ 2.02,9.01 02/06/13
PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 02/06/13
PLANAR SYSTEMS INC OR 2.02,9.01 02/06/13
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 02/06/13
Poly Shield Technologies Inc. DE 1.01,2.01,3.02,9.01 01/31/13
POLYCOM INC DE 5.02,9.01 01/31/13
POWELL INDUSTRIES INC NV 2.02,9.01 02/05/13
PREMIERWEST BANCORP OR 8.01,9.01 02/06/13
PRIME GLOBAL CAPITAL GROUP Inc NV 1.01,9.01 02/04/13
Prologis, Inc. MD 2.02,7.01,9.01 02/06/13
PROLOR Biotech, Inc. NV 7.01,9.01 02/06/13
ProPhase Labs, Inc. NV 8.01 02/05/13
PROTECTIVE LIFE CORP DE 3.01 02/06/13
PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 02/06/13
pSivida Corp. DE 2.02,9.01 02/06/13
QUALSTAR CORP CA 1.01,3.03,5.03,8.01, 02/05/13
9.01
QUANTUM CORP /DE/ DE 1.01,9.01 01/31/13
QUICKLOGIC CORPORATION CA 2.02,9.01 02/06/13
RADISYS CORP OR 5.02 02/01/13
RALPH LAUREN CORP DE 2.02,9.01 02/06/13
Rangeford Resources, Inc. NV 4.01 02/04/13
ReachLocal Inc 5.02 01/31/13
REAL DATA INC UT 5.02 02/06/13
REAL DATA INC UT 8.01 02/06/13
RealD Inc. DE 2.02,9.01 02/06/13
RealD Inc. DE 8.01,9.01 02/06/13
REALNETWORKS INC WA 2.02,9.01 02/06/13
RENAISSANCERE HOLDINGS LTD D0 2.02,9.01 02/06/13
Renewable Energy Group, Inc. DE 1.01 01/31/13
RESOURCE AMERICA, INC. DE 2.02,9.01 02/05/13
REVLON CONSUMER PRODUCTS CORP DE 8.01,9.01 02/05/13
REVLON INC /DE/ DE 8.01,9.01 02/05/13
RLI CORP IL 8.01,9.01 02/06/13
Roadrunner Transportation Systems, In DE 2.02,9.01 02/06/13
Rock Energy Resources, Inc. DE 1.01,5.02 01/30/13
Rockdale Resources Corp CO 5.02 01/31/13
Rockville Financial, Inc. /CT/ CT 7.01,9.01 02/06/13
Rosetta Resources Inc. DE 7.01,9.01 02/05/13
RTI INTERNATIONAL METALS INC OH 2.02,8.01,9.01 02/06/13
SABINE ROYALTY TRUST TX 2.02,9.01 02/05/13
Sanchez Energy Corp DE 7.01,9.01 02/06/13
Sancon Resources Recovery, Inc. K3 8.01,9.01 02/06/13
SANGAMO BIOSCIENCES INC DE 2.02,9.01 02/06/13
Santander Holdings USA, Inc. VA 2.02,9.01 02/04/13
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 02/06/13
SCOTTS MIRACLE-GRO CO OH 2.02,9.01 02/06/13
SERVICESOURCE INTERNATIONAL, INC. DE 2.02,9.01 02/06/13
SERVICESOURCE INTERNATIONAL, INC. DE 5.02 02/06/13
SIGMATRON INTERNATIONAL INC DE 5.02,9.01 02/05/13
SILGAN HOLDINGS INC DE 8.01,9.01 02/06/13
Simplicity Bancorp, Inc. 8.01,9.01 01/31/13
Simplicity Bancorp, Inc. 2.02,9.01 02/04/13
SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 02/06/13
SMF Energy Liquidating Trust DE 1.01,1.03,9.01 12/28/12
SPARTON CORP OH 7.01,9.01 02/06/13
Spectrum Brands Holdings, Inc. DE 2.02,9.01 02/06/13
SPS COMMERCE INC DE 2.02,9.01 02/06/13
SPS COMMERCE INC DE 5.02 02/06/13
STAR GAS PARTNERS LP DE 2.02,7.01,9.01 02/06/13
STEMLINE THERAPEUTICS INC DE 5.03,9.01 01/31/13
STERICYCLE INC DE 2.02,9.01 02/06/13
STERIS CORP OH 2.02,9.01 02/06/13
STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 02/06/13
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 02/01/13
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 02/05/13
Sunshine Heart, Inc. DE 5.02,8.01,9.01 02/06/13
SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 02/06/13
SWS GROUP INC DE 2.02,9.01 02/06/13
SYCAMORE NETWORKS INC DE 2.01,9.01 01/31/13
SYNTHESIS ENERGY SYSTEMS INC DE 2.02,7.01,9.01 02/05/13
TECKMINE INDUSTRIES INC. 1.01,2.03,3.02,9.01 01/31/13
TESORO CORP /NEW/ DE 2.02,9.01 02/06/13
Texas Gulf Energy Inc NV 8.01 01/30/13
TherapeuticsMD, Inc. NV 1.01,2.03,3.02,9.01 01/31/13
THESTREET, INC. DE 5.02 02/06/13
TIBCO SOFTWARE INC DE 5.02,9.01 02/01/13
TIME WARNER INC. DE 2.02,9.01 02/06/13
TPG Specialty Lending, Inc. DE 3.02 02/06/13
TRANS LUX CORP DE 1.01,3.03 02/05/13
TRANS WORLD CORP NV 5.02,9.01 02/06/13
TRC COMPANIES INC /DE/ DE 2.02,9.01 02/06/13
TRIQUINT SEMICONDUCTOR INC DE 2.02,9.01 02/06/13
TRUE RELIGION APPAREL INC DE 2.02,9.01 02/06/13
TrueBlue, Inc. WA 2.02,9.01 02/06/13
TrueBlue, Inc. WA 1.01,2.01,2.03,9.01 02/04/13
Truli Media Group, Inc. 5.02 02/06/13
Two Harbors Investment Corp. 2.02,9.01 02/06/13
ULTIMATE SOFTWARE GROUP INC DE 2.02,5.03,8.01,9.01 02/04/13
UROLOGIX INC MN 2.02,9.01 02/05/13
US CONCRETE INC DE 8.01,9.01 02/06/13
USChina Taiwan Inc NV 5.01 12/31/12
USG CORP DE 2.02,9.01 02/06/13
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 8.01 02/06/13
VALUEVISION MEDIA INC MN 5.02 02/06/13
Venoco, Inc. DE 5.02 01/31/13
VIASAT INC DE 2.02,9.01 02/06/13
VICAL INC DE 2.02,9.01 02/06/13
VIRGIN MEDIA INC. DE 8.01,9.01 02/05/13
VIRGIN MEDIA INC. DE 2.02,8.01,9.01 02/05/13
VISA INC. DE 2.02,9.01 02/06/13
W R GRACE & CO DE 2.02,9.01 02/06/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.01,2.03,9.01 01/31/13
WARWICK VALLEY TELEPHONE CO NY 4.01,9.01 01/31/13
WashingtonFirst Bankshares, Inc. VA 5.03,9.01 02/06/13
WEST PHARMACEUTICAL SERVICES INC PA 1.01,2.03,9.01 02/06/13
WEX Inc. 2.02,9.01 02/06/13
WGL HOLDINGS INC VA 2.02,9.01 02/06/13
WMS INDUSTRIES INC /DE/ DE 8.01,9.01 02/06/13
WSB Holdings Inc DE 8.01 02/05/13
WYNDHAM WORLDWIDE CORP DE 2.02,9.01 02/06/13
WYNDHAM WORLDWIDE CORP DE 7.01,9.01 02/06/13
YELP INC DE 2.02,9.01 02/06/13
ZAP CA 8.01 02/04/13
Zumiez Inc WA 7.01,9.01 02/06/13
http://www.sec.gov/news/digest/2013/dig020713.htm
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