 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
COMMISSION ANNOUNCEMENTSCommission MeetingsClosed Meeting on Thursday, February 14, 2013 at 2:00 p.m.The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. RULES AND RELATED MATTERSOrder Extending Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of “Security” to Encompass Security-Based Swaps, and Request for CommentOn February 7, 2013, the Commission issued an order extending certain temporary relief from compliance with certain provisions of the Securities Exchange Act of 1934 (Exchange Act) that otherwise would have applied to security-based swap activities due to the expansion of the Exchange Act definition of “security” by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Commission’s order extends these temporary exemptions until February 11, 2014. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68864) ENFORCEMENT PROCEEDINGSCommission Revokes Registration of Securities of Cornerstone Ministries Investments, Inc. for Failure to Make Required Periodic FilingsOn February 8, 2013, the Commission revoked the registration of each class of registered securities of Cornerstone Ministries Investments, Inc. (Cornerstone Ministries) 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, Cornerstone Ministries 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 Cornerstone Ministries Investments, 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 Cornerstone Ministries’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Cornerstone Ministries in In the Matter of Changed E-Mail, Inc., et al., Administrative Proceeding File No. 3-15096. 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 Changed E-Mail, Inc., et al., Administrative Proceeding File No. 3-15096, Exchange Act Release No. 68248, November 15, 2012. (Rel. 34-68868; File No. 3-15096) SEC Halts $150 Million Investment Scheme to Dupe Foreign Investors and Exploit Immigration ProgramThe Securities and Exchange Commission today announced charges and an asset freeze against an individual living in Illinois and two companies behind an investment scheme defrauding foreign investors seeking profitable returns and a legal path to U.S. residency through a federal visa program. The SEC alleges that Anshoo R. Sethi created A Chicago Convention Center (ACCC) and Intercontinental Regional Center Trust of Chicago (IRCTC) and fraudulently sold more than $145 million in securities and collected $11 million in administrative fees from more than 250 investors primarily from China. Sethi and his companies duped investors into believing that by purchasing interests in ACCC, they would be financing construction of the “World’s First Zero Carbon Emission Platinum LEED certified” hotel and conference center near Chicago’s O’Hare Airport. Investors were misled to believe their investments were simultaneously enhancing their prospects for U.S. citizenship through the EB-5 Immigrant Investor Pilot Program, which provides foreign investors an avenue to U.S. residency by investing in domestic projects that will create or preserve a minimum number of jobs for U.S. workers. The SEC alleges that Sethi and his companies falsely boasted to investors that they had acquired all the necessary building permits and that several major hotel chains had signed onto the project. They also provided falsified documents to U.S. Citizenship and Immigration Services (USCIS) – the federal agency that administers the EB-5 program – in an attempt to secure the agency’s preliminary approval of the project and investors’ provisional visas. Meanwhile, Sethi and his companies have spent more than 90 percent of the administrative fees collected from investors despite their promise to return this money to investors if their visa applications are denied. More than $2.5 million of these funds were directed to Sethi’s personal bank account in Hong Kong. Swift coordination between the SEC and USCIS has brought the scheme to a halt in its application stage at USCIS. The SEC filed its complaint under seal earlier this week and obtained an emergency court order to protect the remaining $145 million in investor assets that were at risk of being similarly misappropriated by Sethi and his companies. The case was unsealed this morning. “Sethi orchestrated an elaborate scheme and exploited these investors’ dream of earning legal U.S. residence along with a positive return on their investment in a project that was not nearly the done deal that he portrayed,” said Stephen L. Cohen, Associate Director in the SEC’s Division of Enforcement. “The good news is that working closely with USCIS, we intervened early and stopped him from getting very far, and the asset freeze preserves nearly all of the money invested.” According to the SEC’s complaint filed in U.S. District Court for the Northern District of Illinois, the EB-5 program enables foreign investors to possibly qualify for a green card if they invest $1 million (or $500,000 in a “Targeted Employment Area” with a high unemployment rate) in a project that creates or preserves at least 10 jobs for U.S. workers, excluding the investor and his or her immediate family. Sethi and his companies used the lure of a pathway to U.S. citizenship to convince investors to wire a minimum of $500,000 apiece plus a $41,500 “administrative fee” to U.S. bank accounts. These administrative fees are separate from the investment capital that the EB-5 program requires to be deployed into a job-creating enterprise. More than $11 million in administrative fees were collected with the claim that they were fully refundable to investors if their visa applications are rejected. Sethi and his companies have instead been spending those funds. The SEC alleges that Sethi submitted false claims about the project to USCIS. Among the phony documentation that he provided to the agency in seeking preliminary approval for the project under the EB-5 program were a comfort letter from Hyatt Hotels and a backup financing letter from the Qatar Investment Authority. The SEC’s complaint alleges that Sethi and his companies made a number of misrepresentations about the project to dupe investors. Offering materials stated that investors’ funds would help build “a convention center and hotel complex, including convention and meeting space, five upscale hotels, and amenities including restaurants, lounges, bars, and entertainment facilities.” Sethi and his companies prominently featured in their marketing materials the purported participation of three major hotel chains in the project: Hyatt, Intercontinental Hotel Group, and Starwood Hotels. However, none of these hotel chains have executed franchise agreements to include a brand hotel in this project as represented to investors in the offering materials. Two of the chains actually terminated prior deals with other Sethi-related entities more than two years before these offering materials were circulated to investors. The SEC further alleges that the offering materials falsely stated that construction would begin in summer 2012 and occupancy of the first tower would occur in early spring 2014. A search of the Chicago Building Permits database for the project address shows that the only recent permits are for a tent for a purported groundbreaking ceremony held in November 2012, a demolition permit, construction of a fence, and a minor electrical wiring permit. According to the SEC’s complaint, the 29-year-old Sethi misrepresented to investors in offering materials that he has “over fifteen years of experience in real estate development and management, specifically in the lodging area.” Offering materials also misleadingly state that the project’s developer Upgrowth LLC has “more than 35 years of experience.” Illinois corporate records show that Upgrowth was just recently organized in 2010. The SEC’s complaint alleges that Sethi, ACCC, and IRCTC violated Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. In addition to the temporary restraining order and asset freeze granted by the court, the SEC’s complaint seeks permanent injunctions and other monetary relief. The SEC’s investigation, which is continuing, has been conducted by Mika M. Donlon and Adam J. Eisner under the supervision of C. Joshua Felker. Patrick M. Bryan will lead the litigation. The SEC acknowledges the substantial assistance of the USCIS. (Press Rel. 2013-20) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC (SR-NASDAQ-2013-016) for the purpose of amending Rule 7014(g) 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. 34-68847) A proposed rule change filed by BATS Exchange, Inc., to extend the pilot program related to trading pauses due to extraordinary market volatility (SR-BATS-2013-009) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68851) A proposed rule change filed by National Stock Exchange, Inc., to amend Rule 11.20B to extend the pilot program regarding trading pauses in individual securities due to extraordinary market volatility (SR-NSX-2013-05) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68852) A proposed rule change filed by the Chicago Stock Exchange, Inc., amending CHX Article 20, Rule 2, which provides for, among other things, trading pauses in individual securities due to extraordinary market volatility, extending the effective date of the pilot until the earlier of the initial date of operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014 (SR-CHX-2013-03) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68853) A proposed rule change filed by Chicago Board Options Exchange, Incorporated, to extend the individual stock trading pause pilot program (SR-CBOE-2013-010) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68854) A proposed rule change filed by Financial Industry Regulatory Authority, Inc., to extend the individual stock trading pause pilot program (SR-FINRA-2013-010) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68855) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-015) 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. 34-68860) A proposed rule change filed by the New York Stock Exchange LLC to cease operating New York Block Exchange and contemporaneously delete the text of rule 1600, which governs NYBX functionality (SR-NYSE-2013-12) 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. 34-68861) Proposed Rule ChangeNYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-08) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the SPDR Blackstone/GSO Senior Loan ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68862) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change, as modified by Amendment No. 1 thereto (SR-NYSEArca-2012-142), submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade the Guggenheim Enhanced Total Return ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68863) Accelerated Approval of Proposed Rule ChangeICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2013-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise rules related to Legal Segregation with Operational Commingling (“LSOC”). Publication is expected in the Federal Register during the week of February 11. (Rel. 34-68867) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 PENNYMAC FINANCIAL SERVICES, INC., 6101 CONDOR DRIVE, MOORPARK, CA, 93021, (818) 224-7442 - 0 ($287,500,000.00) Equity, (File 333-186495 - Feb. 7) (BR. 07) S-1 ARMADA WATER ASSETS INC, 1716 E. LINCOLN AVENUE, FORT COLLINS, CO, 80524, 9705671414 - 6,375,750 ($6,375,750.00) Equity, (File 333-186496 - Feb. 7) (BR. 02) S-3ASR NOBLE ENERGY INC, 100 GLENBOROUGH, SUITE 100, HOUSTON, TX, 77067, 2818723100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-186497 - Feb. 7) (BR. 04A) S-8 SYNTROLEUM CORP, 5416 S. YALE, SUITE 400, TULSA, OK, 74135, 9185927900 - 0 ($375,000.00) Equity, (File 333-186498 - Feb. 7) (BR. 04A) S-8 CHAMBERS STREET PROPERTIES, 47 HULFISH ST., SUITE 210, PRINCETON, NJ, 08542, 609-683-4900 - 0 ($5,000,000.00) Equity, (File 333-186499 - Feb. 7) (BR. 08B) S-8 CONSOLIDATED GRAPHICS INC /TX/, 5858 WESTHEIMER STE 200, HOUSTON, TX, 77057, 7137870977 - 0 ($12,540,500.00) Equity, (File 333-186500 - Feb. 7) (BR. 05B) S-8 Fabrinet, 5/6 MOO 6, SOI KHUNPRA, PHAHOLYOTHIN RD, KLONGNUENG, KLONGLUANG, PATUMTHANEE, W1, 12120, 662-524-9600 - 3,700,000 ($52,318,000.00) Equity, (File 333-186501 - Feb. 7) (BR. 11C) S-8 SAKS INC, 12 EAST 49TH STREET, NEW YORK, NY, 10017, (212) 940-5305 - 0 ($6,393,000.00) Equity, (File 333-186502 - Feb. 7) (BR. 02B) S-8 Health Insurance Innovations, Inc., 15438 N. FLORIDA AVENUE, SUITE 201, TAMPA, FL, 33613, (877) 376-5831 - 1,250,000 ($20,000,000.00) Equity, (File 333-186503 - Feb. 7) (BR. 01A) S-8 Magnolia Solar Corp, 54 CUMMINGS PARK, SUITE 316, WOBURN, MA, 01801, (781) 497-2900 - 5,500,000 ($220,000.00) Equity, (File 333-186505 - Feb. 7) (BR. 03B) S-4 RUBY TUESDAY INC, 150 W CHURCH ST, MARYVILLE, TN, 37801, 2053443000 - 0 ($238,500,000.00) Debt, (File 333-186506 - Feb. 7) (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
-----------------------------------------------------------------------------------------
3D SYSTEMS CORP DE 8.01,9.01 02/05/13
99 CENTS ONLY STORES CA 2.02,9.01 02/06/13
AAR CORP DE 7.01,9.01 02/07/13
AARON'S INC GA 2.02,9.01 02/07/13
ACCREDITED BUSINESS CONSOLIDATORS COR PA 1.01 02/06/13
ACORDA THERAPEUTICS INC 8.01,9.01 02/07/13
ACTIVE NETWORK INC DE 5.02,9.01 02/01/13
Activision Blizzard, Inc. DE 2.02,8.01,9.01 02/07/13
Addus HomeCare Corp DE 1.01,7.01,9.01 02/07/13
ADVANCE AUTO PARTS INC DE 2.02,9.01 02/07/13
AirTouch Communications, Inc. DE 4.02 02/07/13
ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 02/07/13
ALIGN TECHNOLOGY INC DE 5.02 02/01/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/07/13
ALLIANCE ONE INTERNATIONAL, INC. VA 1.01,5.02,9.01 02/05/13
Allied Nevada Gold Corp. DE 8.01,9.01 02/07/13
Alliqua, Inc. FL 5.02,7.01,9.01 02/05/13
ALNYLAM PHARMACEUTICALS, INC. 1.02,2.02,9.01 02/06/13
ALR TECHNOLOGIES INC. NV 1.01,2.03,9.01 02/06/13
ALSERES PHARMACEUTICALS INC /DE DE 1.01 02/01/13
Altegris QIM Futures Fund, L.P. DE 3.02 02/01/13
Altegris Winton Futures Fund, L.P. CO 3.02 02/01/13
AMARANTUS BIOSCIENCE, INC. DE 8.01 01/30/13
AMARANTUS BIOSCIENCE, INC. DE 1.01 01/30/13 AMEND
AMERICA WEST RESOURCES, INC. NV 1.03,1.04,2.04,3.01, 01/24/13
4.01,5.02
AMERICAN APPAREL, INC DE 7.01,9.01 02/07/13
AMERICAN BIO MEDICA CORP NY 1.01 02/06/13 AMEND
American Capital Agency Corp 2.02,9.01 02/07/13
AMERICAN PACIFIC CORP DE 2.02,9.01 02/07/13
American Railcar Industries, Inc. ND 7.01,8.01,9.01 02/06/13
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.01,9.01 09/30/12 AMEND
American Realty Capital Properties, I MD 8.01,9.01 02/07/13
AMERISTAR CASINOS INC NV 2.02,9.01 02/07/13
AMKOR TECHNOLOGY INC DE 5.02,9.01 02/05/13
AMPCO PITTSBURGH CORP PA 2.02,9.01 02/07/13
ANN INC. DE 2.02,9.01 02/07/13
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 02/07/13
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 02/07/13
Apollo Commercial Real Estate Finance MD 2.03 02/01/13
APOLLO INVESTMENT CORP MD 8.01,9.01 02/06/13
APTARGROUP INC DE 2.02,9.01 02/07/13
Arlington Asset Investment Corp. VA 2.02,9.01 02/06/13
ARROW ELECTRONICS INC NY 2.02,9.01 02/07/13
Artemis Acquisition Corp. DE 1.01,9.01 02/05/13
ARTFEST INTERNATIONAL INC DE 2.02,9.01 02/03/13
ASPEN INSURANCE HOLDINGS LTD D0 5.02,7.01,9.01 02/07/13
ASPEN INSURANCE HOLDINGS LTD D0 2.02,7.01,9.01 02/07/13
ATHENAHEALTH INC DE 2.02,9.01 02/07/13
AUTOZONE INC NV 5.02,9.01 02/07/13
AVANIR PHARMACEUTICALS, INC. DE 2.02,8.01,9.01 02/07/13
Avantair, Inc DE 2.03,3.02 02/01/13
Bancorp, Inc. 7.01,9.01 02/07/13
Bank of the Carolinas CORP NC 2.02,9.01 02/01/13
BANNER CORP WA 7.01,9.01 02/07/13
BBX CAPITAL CORP FL 1.01,3.03,5.03,9.01 02/07/13
BELDEN INC. DE 2.02,9.01 02/07/13
BIOCRYST PHARMACEUTICALS INC DE 5.02 02/06/13
BofI Holding, Inc. DE 9.01 02/06/13
BofI Holding, Inc. DE 2.02,9.01 02/06/13
BON TON STORES INC PA 2.02,9.01 02/07/13
BRANDYWINE REALTY TRUST MD 2.02,9.01 02/06/13
Bridge Capital Holdings CA 2.02,9.01 02/07/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 02/07/13
Buckingham Exploration Inc. NV 5.02 02/07/13
Bunge LTD 5.02,9.01 02/07/13
Bunge LTD 2.02,9.01 02/07/13
Bunge LTD 2.02,9.01 02/07/13 AMEND
C H ROBINSON WORLDWIDE INC DE 8.01,9.01 02/07/13
CAESARS ENTERTAINMENT Corp DE 1.01 02/07/13
CALLIDUS SOFTWARE INC DE 2.02,9.01 02/07/13
CAPELLA EDUCATION CO 7.01 02/07/13
CARDINAL HEALTH INC OH 5.02 08/31/12 AMEND
CARDTRONICS INC DE 2.02,9.01 02/07/13
CAREFUSION Corp 2.02,7.01,9.01 02/07/13
CARNIVAL CORP DE 8.01,9.01 02/07/13
CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 02/05/13
CBS CORP DE 2.02,9.01 02/07/13
CCOM Group, Inc. NY 1.01,2.03,9.01 02/01/13
Celator Pharmaceuticals Inc DE 5.02 02/04/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 02/06/13
CENTRAL GARDEN & PET CO DE 2.02,9.01 02/07/13
Chatham Lodging Trust MD 7.01,9.01 02/05/13
China VantagePoint Acquisition Co 8.01,9.01 02/06/13
CIGNA CORP DE 2.02 02/07/13
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 02/06/13
CLEAN WIND ENERGY TOWER, INC. NV 1.01,2.03,3.02,9.01 01/25/13
COCA-COLA ENTERPRISES, INC. DE 2.02 02/07/13
COEUR D ALENE MINES CORP ID 5.02,9.01 02/01/13
COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 02/07/13
COINSTAR INC DE 2.02,9.01 02/07/13
COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 01/24/13 AMEND
Columbia Seligman Premium Technology MD 7.01,9.01 02/07/13
COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 02/07/13
Comstock Mining Inc. NV 7.01,9.01 02/07/13
Congaree Bancshares Inc SC 2.02,9.01 02/05/13
CONNS INC DE 2.02,9.01 02/07/13
CONVERGYS CORP OH 2.02,9.01 02/07/13
CorMedix Inc. DE 3.01,9.01 02/01/13
COSI INC DE 5.02,9.01 01/31/13
CRA INTERNATIONAL, INC. MA 5.02,9.01 02/07/13
CRAY INC WA 9.01 11/21/12 AMEND
CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 02/06/13
CU Bancorp CA 7.01,9.01 02/07/13
CVB FINANCIAL CORP CA 7.01,8.01,9.01 02/06/13
CYBEX INTERNATIONAL INC NY 3.01,5.07,8.01 02/07/13
DCT Industrial Trust Inc. MD 2.02,9.01 02/07/13
Desert Hawk Gold Corp. NV 1.01,2.03,9.01 01/29/13
DGT Holdings Corp. NY 8.01 02/06/13
DIGAGOGO VENTURES CORP DE 5.02 01/31/13
DIGIRAD CORP DE 5.02,8.01,9.01 02/06/13
Discover Card Execution Note Trust DE 1.01,9.01 02/06/13
DREW INDUSTRIES INC DE 8.01,9.01 02/07/13
DTE ENERGY CO MI 5.02 02/06/13
DUPONT E I DE NEMOURS & CO DE 2.01,9.01 02/01/13
DURECT CORP DE 5.02 02/05/13
DYNAVAX TECHNOLOGIES CORP DE 5.02 02/05/13
Eagle Bancorp Montana, Inc. 7.01,9.01 02/07/13
EASTERN AMERICAN NATURAL GAS TRUST DE 8.01,9.01 02/06/13
Eastern Insurance Holdings, Inc. PA 2.02,9.01 02/07/13
ECA Marcellus Trust I DE 8.01,9.01 02/06/13
Echo Global Logistics, Inc. DE 4.02 02/06/13
Echo Global Logistics, Inc. DE 2.02,9.01 02/07/13
ECOSPHERE TECHNOLOGIES INC DE 5.08,8.01 02/07/13
Edgen Group Inc. DE 8.01,9.01 02/07/13
EGAIN Corp DE 2.02,8.01,9.01 02/07/13
EMTEC INC/NJ UT 5.02,9.01 02/04/13
ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 02/07/13
EnergySolutions, Inc. DE 8.01,9.01 02/07/13
ENPRO INDUSTRIES, INC NC 2.02,9.01 02/07/13
ENPRO INDUSTRIES, INC NC 5.02 02/06/13
Enstar Group LTD D0 2.03,8.01,9.01 02/05/13
EnteroMedics Inc 8.01,9.01 02/07/13
ENTROPIC COMMUNICATIONS INC DE 5.02 02/04/13
EP Energy LLC DE 2.02,9.01 02/07/13
ESCO TECHNOLOGIES INC MO 2.02,5.02,5.07,7.01, 02/06/13
9.01
ESSEX PROPERTY TRUST INC MD 8.01,9.01 02/07/13
Eureka Financial Corp. 2.02,9.01 02/05/13
EXELON CORP PA 2.02,7.01,9.01 02/07/13
EZCORP INC DE 7.01 02/07/13
FBC Holding, Inc. 7.01,9.01 02/06/13
FBL FINANCIAL GROUP INC IA 2.02,7.01 02/07/13
FEDERAL AGRICULTURAL MORTGAGE CORP 8.01,9.01 02/06/13
Federal Home Loan Bank of Atlanta X1 2.03 02/04/13
Federal Home Loan Bank of Boston X1 2.03 02/05/13
Federal Home Loan Bank of Chicago X1 2.03 02/04/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/05/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/07/13
Federal Home Loan Bank of New York X1 2.03,9.01 02/04/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/04/13
Federal Home Loan Bank of San Francis X1 2.03 02/04/13
Federal Home Loan Bank of Topeka 2.03,9.01 02/05/13
FEEL GOLF CO INC CA 5.02 01/31/13 AMEND
FIRST ACCEPTANCE CORP /DE/ DE 5.02 02/01/13
FIRST CAPITAL BANCORP, INC. VA 8.01 02/06/13
FIRST CITIZENS BANC CORP /OH OH 2.02,9.01 02/01/13
First Guaranty Bancshares, Inc. LA 8.01 02/07/13
FIRST M&F CORP/MS MS 8.01,9.01 02/06/13
FIRST MARBLEHEAD CORP 2.02,9.01 02/07/13
First Titan Corp. FL 4.02 02/01/13
FIRST TRUST SENIOR FLOATING RATE INCO 7.01,9.01 02/07/13
FLAGSTAR BANCORP INC MI 8.01,9.01 02/06/13
FLEETCOR TECHNOLOGIES INC DE 2.02,9.01 02/07/13
FLIR SYSTEMS INC OR 2.02,9.01 02/07/13
FLOWERS FOODS INC GA 2.02,9.01 02/07/13
Franklin Financial Corp VA 2.02,9.01 02/05/13
FS Investment Corp II MD 1.01,2.03,9.01 02/06/13
FULTON FINANCIAL CORP PA 5.02 02/07/13
GALECTIN THERAPEUTICS INC NV 1.01 02/01/13
GAP INC DE 2.02,9.01 02/07/13
GARTNER INC DE 2.02,9.01 02/07/13
GBS Enterprises Inc NV 1.01,2.01,7.01,9.01 02/07/13
Geeknet, Inc DE 5.02,9.01 02/07/13
General Motors Co 9.01 02/07/13 AMEND
General Motors Financial Company, Inc TX 9.01 02/07/13 AMEND
GENESEE & WYOMING INC DE 2.05,5.02 02/03/13
GENOMIC HEALTH INC 5.02 01/31/13
Genpact LTD D0 2.02,9.01 02/07/13
GENTIVA HEALTH SERVICES INC DE 2.02,9.01 02/07/13
GEOKINETICS INC DE 7.01,9.01 02/07/13
GEOKINETICS INC DE 1.01,9.01 02/04/13
Golub Capital BDC, Inc. DE 2.02,9.01 02/07/13
Golub Capital BDC, Inc. DE 2.02,9.01 02/07/13
GRAPHIC PACKAGING HOLDING CO DE 2.02,9.01 02/07/13
Great Wolf Resorts, Inc. DE 5.02 02/05/13
Greenpower International Group Ltd 2.01,3.02,5.02,5.06, 02/10/12 AMEND
9.01
GS Mortgage Securities Trust 2013-GC1 DE 8.01,9.01 02/07/13
GSI GROUP INC A3 1.01,2.03,9.01 02/01/13
GT Advanced Technologies Inc. DE 5.02,8.01,9.01 02/04/13
Guidance Software, Inc. DE 2.02,7.01,9.01 02/07/13
GULFMARK OFFSHORE INC DE 7.01,9.01 02/07/13
Hampden Bancorp, Inc. DE 2.02,8.01,9.01 02/05/13
HANCOCK FABRICS INC DE 5.03 02/01/13
HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 02/06/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 02/07/13
HASBRO INC RI 2.02,5.02,8.01,9.01 02/06/13
HEALTHWAYS, INC DE 2.02,9.01 02/07/13
HEALTHWAYS, INC DE 1.01,9.01 02/05/13
HEARTLAND PAYMENT SYSTEMS INC DE 2.02,8.01,9.01 02/07/13
HeartWare International, Inc. DE 8.01 02/07/13
HERITAGE FINANCIAL CORP /WA/ WA 7.01,9.01 02/07/13
HERITAGE OAKS BANCORP CA 7.01,9.01 02/07/13
Heron Lake BioEnergy, LLC MN 2.01 02/01/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.02,9.01 02/07/13
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 02/06/13
Howard Bancorp Inc MD 2.02,7.01,9.01 02/07/13
Hyperion Acquisition Corp. DE 1.01,5.01,5.02,9.01 01/29/13
HYPERTENSION DIAGNOSTICS INC /MN MN 1.01,3.02,9.01 02/04/13
IASIS Healthcare LLC DE 2.02,9.01 02/07/13
Idle Media, Inc. NV 4.02 01/03/13 AMEND
IGI LABORATORIES, INC DE 1.01,9.01 02/01/13
Ignite Restaurant Group, Inc. 1.01,9.01 02/06/13
Ignite Restaurant Group, Inc. 8.01 02/07/13
IMMUNOMEDICS INC DE 2.02,9.01 02/07/13
IMPERVA INC DE 2.02,5.02,9.01 02/05/13
India Globalization Capital, Inc. MD 3.01,3.03,7.01,9.01 02/05/13
Ingredion Inc DE 2.02,9.01 02/07/13
INNODATA INC DE 2.02,9.01 02/07/13
Interactive Brokers Group, Inc. DE 8.01 02/01/13
INTERACTIVE DATA CORP/MA/ DE 1.01,2.03,9.01 02/06/13
INTERACTIVE DATA CORP/MA/ DE 9.01 02/06/13 AMEND
INTERMOLECULAR INC DE 2.02 02/07/13
INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 02/05/13
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 02/07/13
INTERNATIONAL RECTIFIER CORP /DE/ DE 5.02 02/01/13
INTERNATIONAL SHIPHOLDING CORP DE 2.02,9.01 02/06/13
INTUIT INC DE 2.02,9.01 02/07/13
Ironwood Gold Corp. 1.01,3.02,7.01,9.01 02/01/13
ITERIS, INC. DE 5.02 02/01/13
J2 GLOBAL, INC. DE 1.01,2.01,9.01 02/01/13
K12 INC DE 7.01 02/07/13
Kedem Pharmaceuticals Inc. NV 4.01,9.01 01/14/13
KEMET CORP DE 2.01,9.01 02/01/13
KEMPER Corp DE 2.02,9.01 02/07/13
KITE REALTY GROUP TRUST MD 2.02,9.01 02/07/13
KKR & Co. L.P. DE 2.02,9.01 02/07/13
KKR Financial Holdings LLC DE 8.01 02/07/13
KLA TENCOR CORP DE 8.01,9.01 02/07/13
KOHLS Corp WI 2.02,9.01 02/07/13
LAKELAND BANCORP INC NJ 7.01,9.01 02/07/13
Lazard Ltd D0 2.02,9.01 02/07/13
LEARNING TREE INTERNATIONAL INC DE 2.02,7.01,9.01 02/07/13
Lender Processing Services, Inc. DE 5.02 02/07/13
Lender Processing Services, Inc. DE 2.02,9.01 02/07/13
LEVI STRAUSS & CO DE 2.02,9.01 02/07/13
LHC Group, Inc 8.01,9.01 02/07/13
LIBERATED ENERGY, INC. 5.03,5.07 02/07/13
Liberty Global, Inc. DE 1.01,9.01 02/05/13
LIFEPOINT HOSPITALS, INC. 1.01,2.03,9.01 02/06/13
Lifevantage Corp CO 2.02,9.01 02/07/13
LINKEDIN CORP DE 2.02,9.01 02/07/13
Linkwell CORP FL 1.01,7.01,9.01 01/15/13
LMI AEROSPACE INC MO 1.01,2.03,8.01,9.01 12/28/12 AMEND
LSB INDUSTRIES INC DE 1.01,2.03,9.01 02/01/13
LYRIS, INC. 2.02,9.01 02/07/13
MACK CALI REALTY CORP MD 2.02,7.01,9.01 02/07/13
Macy's, Inc. DE 2.02,9.01 02/07/13
MAGELLAN HEALTH SERVICES INC DE 5.02,9.01 02/01/13
Magnolia Solar Corp NV 8.01,9.01 02/06/13
MANTECH INTERNATIONAL CORP DE 5.02 02/04/13
MARKWEST ENERGY PARTNERS L P 7.01,9.01 02/07/13
MARTIN MIDSTREAM PARTNERS LP DE 1.01,2.03,8.01,9.01 02/06/13
MATRIX SERVICE CO DE 2.02,9.01 02/06/13
Matson, Inc. HI 2.02,9.01 02/07/13
MCCLATCHY CO DE 9.01 02/07/13
MCCLATCHY CO DE 9.01 02/07/13 AMEND
McEwen Mining Inc. CO 1.01,9.01 02/04/13
MEDICAL PROPERTIES TRUST INC 2.02,9.01 02/07/13
MERCURY SYSTEMS INC MA 7.01,9.01 02/07/13
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/01/13
METALICO INC 8.01,9.01 02/07/13
METALS USA HOLDINGS CORP. DE 1.01,9.01 02/06/13
METLIFE INC DE 8.01 02/01/13
METROPCS COMMUNICATIONS INC DE 8.01,9.01 02/07/13
METROPCS COMMUNICATIONS INC DE 5.02 02/05/13
MICROCHIP TECHNOLOGY INC DE 2.02,9.01 02/07/13
MICRON TECHNOLOGY INC DE 8.01,9.01 02/05/13
MICROVISION INC DE 2.02,9.01 02/07/13
MILLER ENERGY RESOURCES, INC. TN 1.01,9.01 02/07/13
MIPS TECHNOLOGIES INC DE 5.07 02/06/13
MIPS TECHNOLOGIES INC DE 2.01,3.01,3.03,5.01, 02/07/13
5.02,5.03,9.01
MODINE MANUFACTURING CO WI 7.01,9.01 02/01/13
Mojo Organics, Inc. DE 9.01 08/15/12 AMEND
MOLINA HEALTHCARE INC DE 2.02,9.01 02/07/13
MOMENTA PHARMACEUTICALS INC DE 1.01 02/05/13
MONMOUTH REAL ESTATE INVESTMENT CORP MD 2.02,7.01,9.01 02/07/13
MONSTER WORLDWIDE, INC. DE 2.02,9.01 02/07/13
MONTPELIER RE HOLDINGS LTD 2.02,9.01 02/07/13
MSCI Inc. DE 2.02,9.01 02/07/13
MULTI FINELINE ELECTRONIX INC 2.02,9.01 02/07/13
NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 02/07/13
Nationstar Mortgage Holdings Inc. DE 1.01,2.03,9.01 02/04/13
NATURES SUNSHINE PRODUCTS INC UT 8.01,9.01 02/01/13
NCR CORP MD 1.01,2.01,2.03,7.01, 02/05/13
9.01
NCR CORP MD 2.02,7.01,9.01 02/07/13
NET 1 UEPS TECHNOLOGIES INC 2.02,7.01,9.01 02/07/13
NEW CENTURY BANCORP INC NC 1.01,5.02 02/05/13
NEW ENERGY TECHNOLOGIES, INC. 1.01,3.02,9.01 02/01/13
NEW JERSEY RESOURCES CORP NJ 2.02,7.01,9.01 02/07/13
NEW YORK TIMES CO NY 2.02,9.01 02/07/13
NEWS CORP 8.01,9.01 02/07/13
NIC INC CO 2.02,7.01,9.01 02/07/13
NOBLE ENERGY INC DE 2.02,9.01 02/07/13
NORDSTROM INC WA 7.01,9.01 02/07/13
Northern Tier Energy LP DE 5.02 02/05/13
Northern Tier Energy LP DE 7.01 02/06/13
NORTHROP GRUMMAN CORP /DE/ 5.02,9.01 02/06/13
NovaCopper Inc. A1 7.01,8.01,9.01 02/05/13
Nuance Communications, Inc. DE 2.02,9.01 02/07/13
NV ENERGY, INC. NV 8.01 02/07/13
NYTEX Energy Holdings, Inc. DE 5.02,9.01 02/04/13
O REILLY AUTOMOTIVE INC 2.02,9.01 02/06/13
OAK RIDGE MICRO-ENERGY INC CO 1.01,9.01 02/01/13
Och-Ziff Capital Management Group LLC DE 2.02,8.01,9.01 02/07/13
OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 02/07/13
OLD LINE BANCSHARES INC MD 7.01,9.01 02/07/13
OLD NATIONAL BANCORP /IN/ IN 7.01,9.01 02/07/13
OMNICELL, Inc CA 5.02,9.01 02/05/13
ON SEMICONDUCTOR CORP DE 2.02,9.01 02/07/13
One Horizon Group, Inc. PA 2.01,9.01 11/30/12 AMEND
OPENTABLE INC DE 2.02,9.01 02/07/13
Opexa Therapeutics, Inc. TX 1.01,8.01,9.01 02/07/13
ORAMED PHARMACEUTICALS INC. DE 8.01,9.01 02/07/13
ORIENTAL FINANCIAL GROUP INC PR 1.02 02/01/13
ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 02/07/13
PACER INTERNATIONAL INC TN 2.02,9.01 02/07/13
PACIFIC PREMIER BANCORP INC DE 8.01,9.01 12/31/12
PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,9.01 02/07/13
PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 02/06/13
PARTNERRE LTD 2.02,8.01,9.01 02/04/13
PATTERSON UTI ENERGY INC DE 2.02,9.01 02/07/13
PENN VIRGINIA CORP VA 5.02,9.01 01/29/13 AMEND
PennantPark Floating Rate Capital Ltd 2.02,9.01 02/07/13
PennyMac Mortgage Investment Trust MD 1.01,2.02,9.01 02/01/13
PetroLogistics LP DE 7.01,9.01 02/07/13
PHARMACYCLICS INC DE 8.01,9.01 02/07/13
PharMerica CORP DE 2.02,9.01 02/07/13
PHH CORP MD 2.02,9.01 02/06/13
Philip Morris International Inc. VA 2.02,9.01 02/07/13
Philip Morris International Inc. VA 8.01,9.01 02/07/13
PHOTOMEDEX INC DE 8.01,9.01 02/07/13
Piedmont Office Realty Trust, Inc. MD 2.02,9.01 02/07/13
PIONEER NATURAL RESOURCES CO DE 5.02 02/01/13
PLUM CREEK TIMBER CO INC DE 5.02,9.01 02/04/13
PMFG, Inc. DE 2.02,9.01 02/07/13
PNC FINANCIAL SERVICES GROUP, INC. PA 8.01,9.01 02/07/13
Point.360 CA 2.02,9.01 02/07/13
Post Holdings, Inc. MO 2.02,9.01 02/07/13
PPLUS Trust Series LMG-3 8.01,9.01 02/01/13
PPlus Trust Series LMG-4 DE 8.01,9.01 02/01/13
Prestige Brands Holdings, Inc. 2.02,7.01,9.01 02/07/13
Primerica, Inc. DE 2.02,7.01,9.01 02/07/13
PRIVATEBANCORP, INC DE 7.01,9.01 02/07/13
Prosper Funding LLC DE 2.01,9.01 02/01/13
PROTECTIVE LIFE CORP DE 2.02,9.01 02/06/13
PSM HOLDINGS INC DE 1.01,3.02,5.02,5.03, 02/04/13
9.01
PUGET TECHNOLOGIES, INC. NV 4.01,9.01 01/31/13
Punchline Resources Ltd. NV 1.01,9.01 02/01/13
Pzena Investment Management, Inc. DE 8.01,9.01 01/31/13
QUALITY SYSTEMS, INC CA 2.02,9.01 01/23/13 AMEND
QUALSTAR CORP CA 2.02,9.01 02/06/13
Rand Logistics, Inc. DE 8.01,9.01 02/07/13
Rand Logistics, Inc. DE 7.01,9.01 02/07/13
RBC Bearings INC 2.02,8.01,9.01 02/07/13
REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 02/07/13
RELIANCE STEEL & ALUMINUM CO CA 1.01,8.01,9.01 02/06/13
RENASANT CORP MS 8.01,9.01 02/06/13
RENASANT CORP MS 8.01 02/06/13
RENTRAK CORP OR 2.02,9.01 02/07/13
REPUBLIC SERVICES, INC. DE 2.02,9.01 02/07/13
RESOLUTE ONCOLOGY INC NV 3.02 02/04/13
RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.01,3.02 02/01/13
REVA Medical, Inc. DE 7.01,9.01 02/07/13
RGC RESOURCES INC VA 2.02,5.02,5.07,8.01, 02/04/13
9.01
Riverbed Technology, Inc. DE 2.02,9.01 02/07/13
Riverbed Technology, Inc. DE 5.02 02/06/13
ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 12/31/12
ROSS STORES INC DE 2.02,9.01 02/07/13
RTI Biologics, Inc. DE 2.02,9.01 02/07/13
RUBY TUESDAY INC GA 8.01,9.01 01/29/13
Sally Beauty Holdings, Inc. 2.02,7.01,9.01 02/07/13
San Lotus Holding Inc NV 1.01,9.01 02/03/13
SARATOGA INVESTMENT CORP. MD 5.02,9.01 02/05/13
SCIQUEST INC DE 2.02,9.01 02/07/13
Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 02/07/13
SeaBright Holdings, Inc. DE 2.01,2.03,3.01,3.03, 02/07/13
5.01,5.02,5.03,9.01
SecureAlert, Inc. UT 1.01,5.02,9.01 02/01/13
SELECT MEDICAL HOLDINGS CORP 2.02,8.01,9.01 01/08/13
SemiLEDs Corp 3.01,5.02,5.07 02/06/13
SENSIENT TECHNOLOGIES CORP WI 2.02,2.05,9.01 02/07/13
Seven Seas Cruises S. DE R.L. R1 1.01,2.03 02/07/13
Shengkai Innovations, Inc. FL 2.02,9.01 02/07/13
SHILOH INDUSTRIES INC DE 5.02 02/01/13
Shire plc 8.01,9.01 02/07/13
SIGMA ALDRICH CORP DE 2.02,9.01 02/07/13
SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,9.01 02/07/13
Six Flags Entertainment Corp 8.01,9.01 02/07/13
SMITH & WESSON HOLDING CORP NV 7.01,9.01 02/07/13
SNAP-ON Inc DE 2.02,9.01 02/07/13
SOLERA HOLDINGS, INC DE 2.02,7.01,9.01 02/07/13
SONO TEK CORP NY 7.01,9.01 02/07/13
Soul & Vibe Interactive Inc. NV 1.01,2.01,3.02,5.02, 02/07/13
5.03,9.01
SOUTHWEST AIRLINES CO TX 7.01,9.01 01/31/13
SPEEDWAY MOTORSPORTS INC DE 1.01,2.03,9.01 02/01/13
SPHERIX INC DE 5.02,9.01 01/22/13
SPORT CHALET INC DE 2.02,9.01 02/06/13
SPRINT NEXTEL CORP KS 2.02,9.01 02/07/13
Staffing 360 Solutions, Inc. 1.01,3.02,9.01 01/17/13
STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 2.02,9.01 02/07/13
Starz DE 7.01,9.01 02/05/13
Starz, LLC DE 7.01,9.01 02/05/13
Stereotaxis, Inc. DE 5.02,9.01 02/04/13
SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 02/07/13
SUNGARD CAPITAL CORP DE 2.02,9.01 02/07/13
SUNPOWER CORP DE 2.02,9.01 02/07/13
SUPERNUS PHARMACEUTICALS INC DE 1.01,8.01,9.01 02/01/13
Sutor Technology Group LTD 2.02,7.01,9.01 02/07/13
SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 02/07/13
TANGOE INC DE 5.02,9.01 02/01/13
TECHE HOLDING CO LA 7.01,9.01 02/07/13
TERADATA CORP /DE/ 2.02,7.01,9.01 02/07/13
TESORO CORP /NEW/ DE 7.01,9.01 02/07/13
TESSERA TECHNOLOGIES INC DE 7.01,9.01 02/07/13
TESSERA TECHNOLOGIES INC DE 2.02,8.01,9.01 02/07/13
Thermon Group Holdings, Inc. DE 2.02,9.01 02/07/13
TITAN PHARMACEUTICALS INC DE 1.01,9.01 02/06/13
Tower Group, Inc. DE 7.01 01/30/13
Towers Watson & Co. DE 2.02,9.01 02/07/13
Towers Watson & Co. DE 5.02 02/06/13
TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 02/07/13
TransDigm Group INC DE 7.01,9.01 02/07/13
TYLER TECHNOLOGIES INC DE 2.02 02/06/13
U S GLOBAL INVESTORS INC TX 2.02,9.01 02/06/13
Ubiquiti Networks, Inc. DE 2.02,9.01 02/07/13
UNION BANKSHARES INC VT 2.02,9.01 02/07/13
UNISYS CORP DE 2.02,9.01 01/29/13 AMEND
UNIT CORP DE 8.01,9.01 02/07/13
UNIVERSAL HOSPITAL SERVICES INC MN 7.01,8.01,9.01 02/07/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 5.02,7.01,9.01 02/06/13
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 02/06/13
URBAN OUTFITTERS INC PA 2.02,9.01 02/07/13
US CONCRETE INC DE 8.01,9.01 02/06/13
Valeant Pharmaceuticals International A6 7.01,9.01 02/07/13
VALIDUS HOLDINGS LTD 8.01,9.01 02/06/13
Venaxis, Inc. CO 7.01,9.01 02/07/13
VENTRUS BIOSCIENCES INC DE 8.01,9.01 02/07/13
VERIZON COMMUNICATIONS INC DE 5.02 02/07/13
VICON INDUSTRIES INC /NY/ NY 2.02,9.01 02/07/13
ViewPoint Financial Group Inc. 2.02,8.01 02/07/13
VIRGIN MEDIA INC. DE 8.01,9.01 02/06/13
VIRGIN MEDIA INC. DE 1.01,3.03,9.01 02/05/13
VOICESERVE INC DE 5.02,9.01 11/23/12
VOLT INFORMATION SCIENCES, INC. NY 7.01,9.01 02/05/13
Vuzix Corp DE 5.03,8.01,9.01 02/01/13
Walker & Dunlop, Inc. MD 1.01,2.03,9.01 02/01/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.03,9.01 02/01/13
WARREN RESOURCES INC MD 7.01,9.01 02/06/13
WEB.COM GROUP, INC. DE 2.02,9.01 02/07/13
Wellesley Bancorp, Inc. 2.02,9.01 02/07/13
WELLS FARGO & COMPANY/MN DE 9.01 02/07/13
WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 02/07/13
WHITING USA TRUST I DE 2.02,9.01 02/07/13
Whiting USA Trust II DE 2.02,9.01 02/07/13
WINDSTREAM CORP DE 8.01,9.01 02/06/13
WINLAND ELECTRONICS INC MN 7.01,9.01 02/07/13
WMS INDUSTRIES INC /DE/ DE 2.02,9.01 02/06/13
WORLD FUEL SERVICES CORP FL 7.01,9.01 02/07/13
WORTHINGTON ENERGY, INC. NV 1.01,2.01,5.02,9.01 01/25/13
XL GROUP PLC L2 2.02,9.01 02/07/13
XRS Corp MN 2.02 02/07/13
Xylem Inc. IN 2.02,7.01,8.01,9.01 02/07/13
ZIONS BANCORPORATION /UT/ UT 3.03,5.03,8.01,9.01 02/05/13
ZOGENIX, INC. DE 5.02 02/01/13
ZYGO CORP DE 2.02,9.01 02/07/13
http://www.sec.gov/news/digest/2013/dig020813.htm
|