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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2013-32
February 15, 2013

Commission Announcements

Director of International Affairs Ethiopis Tafara to Leave SEC

The Securities and Exchange Commission today announced that Ethiopis Tafara, Director of the SEC’s Office of International Affairs, will leave the agency at the end of next month after 13 years of public service.

The SEC’s Office of International Affairs (OIA) advises the Commission on cross-border enforcement and regulatory matters, and engages in regulatory dialogues with authorities outside the U.S. Mr. Tafara joined the SEC staff in 2000 and has served as Director of OIA for the past 10 years. He successfully restructured the office to cover matters beyond the traditional areas of enforcement cooperation and development of international principles. For example, OIA now engages in comparative regulation and supervisory cooperation, and has expanded the size and scope of its technical assistance program to provide greater training to foreign authorities around the world than ever before.

“Ethiopis has gained a well-deserved reputation around the globe as a dedicated ambassador of investor protection,” said SEC Chairman Elisse B. Walter. “His effective leadership was characterized by his dedicated efforts to achieve a better understanding globally of common regulatory concerns and approaches as a means of reaching solutions with compatibility across borders. Ethiopis’s vision together with his diplomacy and drive has been a significant component in raising standards of international cooperation and regulation to levels that would have been unthought of before his SEC tenure.”

Mr. Tafara said, “Cross-border cooperation has become essential to the SEC’s work in protecting investors and facilitating capital-raising in the U.S. and across the globe. I have been privileged to spend the last 13 years promoting international cooperation along with OIA’s deeply talented and committed staff. Their creativity, diplomacy, and enthusiasm are matched only by the depth of my gratitude to them. I wish to express my appreciation for the leadership and support of the Chairmen and Commissioners under whom I served. I also thank all of my SEC colleagues for their collaboration and camaraderie, as well as my colleagues around the world for their teamwork and friendship.”

Mr. Tafara’s leadership enabled the SEC to reach converged rather than diverging solutions as it addressed global regulatory concerns. He represented the SEC in major multilateral regulatory bodies including the International Organization of Securities Commissions (IOSCO) and the Financial Stability Board (FSB). Mr. Tafara enabled the SEC to establish regular bilateral dialogues with the UK Financial Services Authority, the Japanese Financial Services Authority, the Committee of European Securities Regulators (now the European Securities and Markets Authority, the Securities and Exchange Board of India, the China Securities Regulatory Commission, and the Turkish Capital Markets Board. Mr. Tafara also was one of the founders of the U.S. Treasury-led Financial Markets Regulatory Dialogue with the European Commission.

Mr. Tafara is one of the architects of the IFRS Monitoring Board that oversees the IFRS Foundation, which in turn is charged with safeguarding the due process of the International Accounting Standards Board. He served as staff chair of the IOSCO Task Force that crafted IOSCO Credit Rating Agency Principles and Code of Conduct in 2003 and 2004 (later established as the international standard for CRA oversight by the G-20) and chaired the reconstituted Task Force when it revised the standards in 2008. He chaired the IOSCO Task Force that developed Principles for Supervisory Cooperation and the related model MOU. He was staff chair of the IOSCO Task Force that developed IOSCO’s Report on Strengthening Capital Markets Against Financial Fraud following the Enron and Parmalat financial frauds, and the Task Force that developed IOSCO’s Report on Audit Services focusing on auditor transparency, governance, and communications. Mr. Tafara also was the principal author of the IOSCO Joint and Parallel Investigations Guide.

Under Mr. Tafara’s leadership, OIA saw a significant expansion of international enforcement assistance fueled by its effort to extend the SEC’s network of enforcement partners through participation in the International Organization of Securities Commissions’ Screening Group for accession to the IOSCO Multilateral Memorandum of Understanding of the International Organization of Securities Commissions. OIA now handles more than 1,000 requests to or from foreign authorities each year. Mr. Tafara’s pursuit of partnerships with non-securities regulatory counterparts including criminal authorities and financial intelligence units also contributed to this growth. OIA has extended the frontier of cooperation to facilitate cross-border asset freezes and the repatriation of ill-gotten gains, such as the return to the U.S. of $230 million held in an offshore account by a hedge fund involved in an enforcement matter, and the repatriation of $15 million from overseas in another enforcement case.

As an outgrowth of the increasingly global nature of the U.S. capital markets, Mr. Tafara also formed a special section within OIA that specifically monitors legal and regulatory developments abroad. OIA advises the Commission on the effects these developments may have in the U.S., and also analyzes the potential impact U.S. regulatory changes might have on foreign markets. This focus on comparative regulation during Mr. Tafara’s tenure led to a pilot mutual recognition arrangement with the Australian Securities and Investments Commission based on the concept of substituted compliance developed in a law review article he co-wrote. Mr. Tafara also has taken a leadership role for the SEC in the OTC Derivatives Regulators Group that is working to resolve the cross-border issues in the regulation of the OTC derivatives market by drawing on the concept of substituted compliance.

Mr. Tafara expanded and refined the SEC’s technical assistance program to transform it into a premier training and support program for capacity building with foreign regulatory and law enforcement counterparts. The number of foreign officials attending these training programs has increased dramatically along with the number, scope, and specialization of the programs. The technical assistance program expanded geographically with increased efforts in Africa and the Americas. The bridges formed with regulatory counterparts abroad has facilitated and complemented the SEC’s cross-border enforcement and supervisory efforts while contributing to the efficiency of capital formation in emerging markets.

Mr. Tafara received the SEC’s esteemed Chairman’s Award for Excellence in 2008. He currently serves as Vice Chair of the IOSCO Board and Chairman of the PIOB Monitoring Group. He received his J.D. from Georgetown University Law Center, a Certificate of Attendance from The Hague Academy of International Law, and his A.B. from Princeton University.


The SEC also announced today that Dr. Robert Fisher, a Deputy Director in OIA, will become Acting Director upon Mr. Tafara’s departure.

Dr. Fisher joined the SEC staff in 2002 as a financial economist in the Office of Economic Analysis. He later became an Assistant Director in the Office of International Affairs and was primarily responsible for the SEC’s international technical assistance program for emerging and recently-emerged markets. Dr. Fisher was elevated to a Deputy Director position in January 2012.

Dr. Fisher holds a Ph. D and A.B. in Economics from Duke University and a J.D. from Harvard Law School. (Press Rel. 2013-22)


Extension of Exemptive Order

An order was issued pursuant to Section 36 of the Securities Exchange Act of 1934 extending exemptions from certain rules of Regulation SHO related to Hurricane Sandy. Publication is expected in the Federal Register during the week of February 18. (Rel. 34-68934; File No. TP 13-06)


SEC Charges N.Y.-Based Brokerage Firm with Defrauding Investors in a Clean Energy Company to Earn Lucrative Commissions

The Securities and Exchange Commission today announced fraud charges against a New York-based brokerage firm and two brokers who allegedly used misleading sales tactics to steer investors toward risky investments in a purported clean energy company so the firm could earn lucrative commissions.

The SEC’s Division of Enforcement alleges that Gregg Lorenzo, the founder of Charles Vista LLC, teamed with an investment banker named Frank Lorenzo and made a litany of false, misleading, and unfounded statements to create the impression that speculative debt securities issued by Waste2Energy Holdings Inc., which were convertible into stock, were risk-free and likely to result in enormous investment returns. The Lorenzos are not related. While Gregg Lorenzo was touting the profitability of investing in Waste2Energy, which purported to possess technology for converting waste into clean energy, the company was struggling in reality. Waste2Energy eventually filed for bankruptcy.

“Charles Vista customers were told a false tale of a safe and conservative investment with an explosive upside, but the risky downside was downplayed in the story,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “Brokerage customers deserve unbiased and fair recommendations about the risks of potential investments, not misleading boiler room sales tactics.”

According to the SEC’s order instituting administrative proceedings against Charles Vista and the Lorenzos, investors were solicited to purchase the Waste2Energy convertible debentures in 2009 and 2010. An e-mail that Charles Vista sent customers made various false claims, such as Waste2Energy possessing “over $10 million in confirmed assets” to provide investors with protection against losses. In reality, the company had written its assets down to less than $1 million.

The SEC’s Division of Enforcement alleges that Gregg Lorenzo, who lives in Staten Island, made verbal sales pitches to investors that misrepresented Waste2Energy’s financial condition and business prospects. He made the debentures’ stock conversion feature appear valuable by making baseless predictions about the future of the company’s stock. Lorenzo told at least one investor that he believed Waste2Energy “will be a NASDAQ trading stock within 12 months. I believe they will meet the listing requirements.” Frank Lorenzo was the head of investment banking at Charles Vista until he left the firm in 2010. He sent e-mails to Charles Vista customers that contained false or misleading claims about Waste2Energy’s assets and alleged contracts.

According to the SEC’s order, Charles Vista was the exclusive placement agent for the issuance of these Waste2Energy securities, and the firm’s financial interest in the offering was considerable. Documents attached to some of Waste2Energy’s SEC filings indicate that Charles Vista had arranged to receive a 10 percent “commission” on the gross proceeds of all debentures sales, a consulting fee of $10,000 per month for 12 months, and various other commissions and fees.

The SEC’s Division of Enforcement alleges that Charles Vista and the Lorenzos willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5. Charles Vista also allegedly violated Exchange Act Section 15(c) and Rule 10b-3. The administrative proceedings will determine what, if any, remedial action or financial penalties are appropriate in the public interest against Charles Vista and the Lorenzos.

The SEC’s investigation was conducted by Peter Pizzani, Melissa Coppola, Michael Osnato, and Jack Kaufman in the New York Regional Office. The SEC’s litigation will be led by Mr. Kaufman and Joseph Boryshansky. (Press Rel. 2013-23; 33-9385; 34-68943; File No. 3-15211)

SEC Freezes Assets in Swiss-Based Account Used in Suspected Insider Trading Ahead of Heinz Acquisition

The Securities and Exchange Commission today obtained an emergency court order to freeze assets in a Zurich, Switzerland-based trading account that was used to reap more than $1.7 million from trading in advance of yesterday’s public announcement about the acquisition of H.J. Heinz Company.

The SEC’s immediate action ensures that potentially illegal profits cannot be siphoned out of this account while the agency’s investigation of the suspicious trading continues. 

In a complaint filed in federal court in Manhattan, the SEC alleges that prior to any public awareness that Berkshire Hathaway and 3G Capital had agreed to acquire H.J. Heinz Company in a deal valued at $28 billion, unknown traders took risky bets that Heinz’s stock price would increase.  The traders purchased call options the very day before the public announcement.  After the announcement, Heinz’s stock rose nearly 20 percent and trading volume increased more than 1,700 percent from the prior day, placing these traders in a position to profit substantially.

“Irregular and highly suspicious options trading immediately in front of a merger or acquisition announcement is a serious red flag that traders may be improperly acting on confidential nonpublic information,” said Daniel M. Hawke, Chief of the Division of Enforcement’s Market Abuse Unit. 

Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “Despite the obvious logistical challenges of investigating trades involving offshore accounts, we moved swiftly to locate and freeze the assets of these suspicious traders, who now have to make an appearance in court to explain their trading if they want their assets unfrozen.”

The SEC alleges that the unknown traders were in possession of material nonpublic information about the impending acquisition when they purchased out-of-the-money Heinz call options the day before the announcement.  The timing and size of the trades were highly suspicious because the account through which the traders purchased the options had no history of trading Heinz securities in the last six months.  Overall trading activity in Heinz call options several days before the announcement had been minimal.

The emergency court order obtained by the SEC freezes the traders’ assets and prohibits them from destroying any evidence.  The SEC’s complaint charges the unknown traders with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.  In addition to the emergency relief, the SEC is seeking a final judgment ordering the traders to disgorge their ill-gotten gains with interest, pay financial penalties, and be permanently barred from future violations.

The SEC’s expedited investigation is being conducted by Market Abuse Unit members Megan Bergstrom, David S. Brown, and Diana Tani in the Los Angeles Regional Office with substantial assistance from Charles Riely, Market Abuse Unit member in the New York Regional Office who will handle the SEC’s litigation.  The SEC appreciates the assistance of the Options Regulatory Surveillance Authority (ORSA). (Press Rel. 2013-24)

In the Matter of Guy W. Gane, Jr.

The United States Securities and Exchange Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against Guy W. Gane, Jr.

In the Order, the Division of Enforcement (Division) alleges that from early 2005 through May 2008, Gane was the president and principal of Watermark Financial Services Group, Inc., Watermark M-One Holdings, Inc., M-One Financial Services, LLC, and Watermark Capital Group, LLC ( the “Watermark Entities”). On February 16, 2012, a final judgment was entered against Gane, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Watermark Financial Services Group, Inc., et al., Civil Action Number 1:08-CV-361, in the United States District Court for the Western District of New York. In addition, on December 9, 2010, Gane pleaded guilty to one count of mail fraud in violation of 18 U.S.C. 1341, and one count of money laundering in violation of 18 U.S.C. 1957, before the United States District Court for the Western District of New York, in United States v. Guy W. Gane, Jr., Case No. 1:10-CR-90. On September 23, 2011, a judgment in the criminal case was entered against Gane. He was sentenced to a prison term of 156 months followed by three years of supervised release and ordered to make restitution in the amount of $6,394,359.37. The Commission’s complaint before the District Court alleged the following: From at least May 2005, Gane and other Watermark brokers raised approximately $5.1 million by selling debentures issued by Watermark Entities to approximately 90 unsophisticated investors, a number of whom were senior citizens or near retirement age. Gane and another broker raised an additional $580,000 by selling promissory notes issued by the Watermark Entities. Neither securities offering was registered with the Commission.

A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide Gane an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice.

For more information about this matter, please see Litigation Release Nos. 20576 (May 15, 2008); and 20583 (May 19, 2008). (Rel. 34-68940; File No. 3-15210)

SEC Sues Dallas Investment Adviser Principal for Conducting a Fraudulent High-Yield Investment Scheme

On February 14, 2013, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court in Dallas against Delsa Thomas, The D. Christopher Capital Group, LLC (DCCMG), and The Solomon Fund LP, for defrauding investors in a high-yield investment scheme. The Commission’s complaint alleges that Thomas, a registered representative associated with several firms over the years, raised $2.3 million through DCCMG, her improperly registered investment adviser, and Solomon Fund, its purported hedge fund. Thomas raised these funds by means of material misrepresentations and omissions regarding the safety of the investments and the potential returns. The complaint further alleges DCCMG was improperly registered with the Commission and that Thomas aided and abetted this violation.

The complaint alleges that Thomas, DCCMG, Solomon Fund 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 thereunder. The complaint also charges DCCMG and Thomas with violating Sections 206(1), (2), and 4 of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Also, the complaint charges DCCMG with violating Section 203A of the Advisers Act and that Thomas aided and abetted its violation. The complaint seeks permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest and civil penalties against each of the defendants. [SEC v. Delsa U. Thomas, et al., Civ. Action No.3:13-cv-00739-L, USDC, NDTX (Dallas Division] (LR-22618)

District Court Grants Securities and Exchange Commission’s Motions for Default Judgment against a Nationally Known Psychic and his Corporate Entities in Multi-Million Dollar Offering Fraud

On February 11, 2013, the U.S. District Court for the Southern District of New York entered default judgments against Sean David Morton (Morton), a nationally-recognized psychic who bills himself as “America’s Prophet,” his wife, relief defendant Melissa Morton, and four corporate shell entities co-owned by the Mortons. In addition to ordering permanent injunctions from violating antifraud and registration statutes and rule, each defendant was ordered to disgorge, jointly and severally, $5,181,135.82, along with prejudgment interest of $1,171,110.54, and pay a penalty of $5,181,135.82 for a total of $11,533,382.18. Relief defendants Melissa Morton and the Prophecy Research Institute, the Mortons’ nonprofit religious organization, were ordered to disgorge $468,281 plus prejudgment interest of $105,847.23, for a total of $574,128.23. On March 4, 2010, the Securities and Exchange Commission (Commission) filed a civil injunctive action in the United States District Court for the Southern District of New York charging Morton and his corporate shell entities for engaging in a multi-million offering fraud.

According to the Commission’s complaint, Morton fraudulently raised more than $5 million from more than 100 investors for his investment group, which he called the Delphi Associates Investment Group (Delphi Investment Group). Beginning in or around the summer of 2006, the complaint alleged, Morton solicited individuals to invest in one of several companies he and Melissa Morton controlled under the umbrella of the Delphi Investment Group. According to the Commission’s complaint, Morton used his monthly newsletter, his website, his appearances on a nationally syndicated radio show called Coast to Coast AM, and appearances at public events, to promote his alleged psychic expertise in predicting the securities markets, and to solicit investors for the Delphi Investment Group. During these solicitations, Morton made numerous materially false representations. For example, Morton falsely told potential investors that he has called all the highs and lows of the stock market, on their exact dates, over a fourteen year period. Morton further falsely asserted that the alleged profits in the accounts were audited and certified by PricewaterhouseCoopers LLP (PWC) who he claimed certified that the accounts had profited by 117%. Morton also falsely asserted that the investor funds would be used exclusively for foreign currency investments, and that any other use of the funds would be considered a criminal act. Morton further falsely claimed that he would use the pooled funds to trade in foreign currencies and distribute pro rata the trading profits among the investors. In private one-on-one correspondence with potential investors, Morton was even more aggressive in his solicitation. For example, Morton wrote to a potential investor urging he invest more money in the Delphi Investment Group “RIGHT NOW…[Because] [o]nce the DOLLAR starts to DROP, which will happen soon, we are set to make a FORTUNE!”

However, the complaint alleged, Morton lied to investors about his past successes, and about key aspects of the Delphi Investment Group, including the use of investor funds and the liquidity of the funds. According to the complaint, Morton did not have the successful track record picking stocks in which he claimed, and that he in fact was simply wrong in many of his securities predictions. Further, PWC never audited the Delphi Investment Group, let alone certify any profits. Also, unbeknownst to the investors, instead of investing all of the funds into foreign currency trading firms, the Mortons diverted some of the investor funds, including nearly half a million dollars to themselves through their own shell entities.

The defendants never properly answered the allegations in the complaint. Instead, the Mortons filed dozens of papers with the Court claiming, for instance, that the Commission is a private entity that has no jurisdiction over them, and that the staff attorneys working on the case do not exist.

On February 11, 2013, United States District Judge Forrest issued default judgments against all of the defendants and relief defendants. With the entry of the default judgments, the Commission received full relief requested in its complaint. The complaint charged each of the defendants with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint further charged that the relief defendants were unjustly enriched by receiving investor funds. The complaint sought a final judgment permanently restraining and enjoining the defendants from future violations of the above provisions of the federal securities laws. [SEC v. Sean David Morton, Vajra Productions, LLC, 27 Investments, LLC, and Magic Eight Ball Distributing, Inc., defendants, and Melissa Morton and Prophecy Research Institute, relief defendants, Civil Action No. 10-CV-1720 (SDNY) (KBF)] (LR-22619)


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.

        77056, 832-369-6986 - 0 ($29,175,000.00) Equity, (File 333-186674 - 
        Feb. 14) (BR. 04A)

        650-610-5200 - 0 ($73,008,835.00) Equity, (File 333-186675 - Feb. 14) 
        (BR. 11C)

S-8     ABAXIS INC, 3240 WHIPPLE, ROAD, UNION CITY, CA, 94587, (510) 675-6500 - 
        900,000 ($38,808,000.00) Equity, (File 333-186678 - Feb. 14) (BR. 10A)

S-1     Bleach Group, Inc., 347 Fifth Avenue, Suite 1402, New York, NY, 10016, 
        888-528-2677 - 0 ($22,996,800.00) Equity, (File 333-186680 - Feb. 14) 
        (BR. 09)

        77084, 2817497845 - 2,200,000 ($118,558,000.00) Equity, 
        (File 333-186681 - Feb. 14) (BR. 04A)

        49518, 6168782000 - 0 ($11,116,000.00) Equity, (File 333-186683 - 
        Feb. 14) (BR. 02B)

S-4     Goodman Networks Inc, 6400 INTERNATIONAL PARKWAY, SUITE 1000, PLANO, 
        TX, 75093, (972) 406-9692 - 0 ($225,000,000.00) Debt, 
        (File 333-186684 - Feb. 14) (BR. )

S-11    KBS Real Estate Investment Trust III, Inc., 620 NEWPORT CENTER DRIVE, 
        SUITE 1300, NEWPORT BEACH, CA, 92660, 949-417-6500 - 
        0 ($2,760,000,000.00) Equity, (File 333-186685 - Feb. 14) (BR. 08B)

S-4     Samson Resources Corp, TWO WEST SECOND STREET, TULSA, OK, 74103, 
        918-583-1791 - 0 ($2,250,000,000.00) Non-Convertible Debt, 
        (File 333-186686 - Feb. 14) (BR. )

        336-722-5855 - 16,857,976 ($20,903,816.00) Equity, (File 333-186687 - 
        Feb. 14) (BR. 01A)

S-8     AIR METHODS CORP, 3037927400 - 0 ($104,328,000.00) Equity, 
        (File 333-186688 - Feb. 14) (BR. 05A)

        F4, 908, 886087621913 - 1,625,000 ($13,000.00) Equity, 
        (File 333-186689 - Feb. 14) (BR. )

S-4     Kennedy-Wilson Holdings, Inc., 9701 WILSHIRE BLVD., SUITE 700, 
        BEVERLY HILLS, CA, 90210, 310-887-6400 - 
        0 ($100,000,000.00) Debt Convertible into Equity, (File 333-186690 - 
        Feb. 14) (BR. 08B)

        800-372-3555 - 5,500,000 ($95,425,000.00) Equity, (File 333-186691 - 
        Feb. 14) (BR. 05C)


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


30DC, INC.                              MD       7.01,9.01            02/13/13

ACE MARKETING & PROMOTIONS INC          NY       7.01,8.01,9.01       02/07/12

ACTIVE NETWORK INC                      DE       2.02,9.01            02/14/13

ADVANCED PHOTONIX INC                   DE       1.01,2.03,3.02,9.01  02/08/13

AFFYMAX INC                             DE       8.01,9.01            02/13/13

AGILENT TECHNOLOGIES INC                DE       2.02,9.01            02/14/13

AIR METHODS CORP                        DE       1.01,5.02,9.01       12/03/12    AMEND

AIRGAS INC                              DE       1.01,2.03,8.01,9.01  02/11/13

ALEXION PHARMACEUTICALS INC             DE       2.02,9.01            02/14/13

ALLEGHANY CORP /DE                      DE       2.02,7.01,9.01       02/14/13

ALLIANT ENERGY CORP                     WI       2.02,9.01            02/14/13

Allison Transmission Holdings Inc       DE       5.02,9.01            02/14/13

ALNYLAM PHARMACEUTICALS, INC.                    5.02                 02/08/13

Alon USA Energy, Inc.                   DE       2.02,9.01            02/13/13

Alon USA Partners, LP                   DE       2.02,9.01            02/13/13

Alpha Natural Resources, Inc.           DE       2.02,9.01            02/14/13

Altra Holdings, Inc.                    DE       2.02,9.01            02/14/13

AMERICAN ELECTRIC POWER CO INC          NY       2.03                 02/13/13

AMERICAN MEDIA INC                      DE       2.02,7.01,9.01       02/14/13

American Realty Capital Properties, I   MD       8.01,9.01            02/14/13

American Realty Capital Trust III, In   MD       8.01,9.01            02/14/13

American Standard Energy Corp.          DE       5.02,9.01            02/11/13

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       1.01,9.01            02/08/13

AMR CORP                                DE       7.01,9.01            02/14/13

AMR CORP                                DE       1.01,8.01,9.01       02/13/13

AMR CORP                                DE       1.01,5.02,9.01       02/13/13    AMEND

Amtrust Financial Services, Inc.        DE       2.02,9.01            02/14/13

AntriaBio, Inc.                         DE       1.01,2.01,5.01,5.02, 01/31/13    AMEND

APACHE CORP                             DE       2.02,9.01            02/14/13

Apple REIT Nine, Inc.                   VA       5.02                 02/11/13

Apple REIT Seven, Inc.                  VA       5.02                 02/11/13

APPLE REIT SIX INC                               5.02                 02/11/13

Approach Resources Inc                  DE       2.02,7.01,9.01       02/13/13

ARK RESTAURANTS CORP                    NY       2.02,9.01            02/11/13

ARROW ELECTRONICS INC                   NY       8.01,9.01            02/12/13

ARTHROCARE CORP                         DE       2.02,9.01            02/13/13

Artio Global Investors Inc.             DE       7.01,9.01            02/14/13

Ascena Retail Group, Inc.               DE       7.01,9.01            02/14/13

ASTROTECH Corp \WA\                     WA       2.02,9.01            02/14/13

ATWOOD OCEANICS INC                     TX       5.07,8.01,9.01       02/14/13

AUBURN NATIONAL BANCORPORATION, INC     DE       8.01,9.01            02/12/13

AUTHENTIDATE HOLDING CORP               DE       2.02,9.01            02/14/13

AVRA Surgical Robotics, Inc.            DE       5.02                 02/08/13

AVRA Surgical Robotics, Inc.            DE       5.06,9.01            08/03/12

AXIALL CORP/DE/                         DE       2.02,7.01,9.01       02/12/13

AXIS CAPITAL HOLDINGS LTD                        7.01,9.01            02/14/13

AXIS CAPITAL HOLDINGS LTD                        8.01,9.01            02/11/13

B&G Foods, Inc.                         DE       2.02,7.01,9.01       02/14/13

BARNES & NOBLE INC                      DE       2.02,9.01            02/13/13

BARRETT BUSINESS SERVICES INC           MD       7.01                 02/14/13

BASIC ENERGY SERVICES INC                        5.02                 02/08/13

BEL FUSE INC /NJ                        NJ       2.02,9.01            02/14/13

BERKSHIRE HATHAWAY INC                  DE       1.01,9.01            02/13/13

BGC Partners, Inc.                      DE       2.02,9.01            02/14/13

BIOANALYTICAL SYSTEMS INC               IN       2.02,9.01            02/14/13

Black Diamond, Inc.                     DE       5.02,9.01            02/14/13

Black Diamond, Inc.                     DE       2.02,9.01            02/14/13

Bloomin' Brands, Inc.                   DE       5.02                 02/12/13

BLUE CALYPSO, INC.                      DE       7.01,9.01            02/14/13

Blue Star Entertainment Technologies,   D8       1.01,2.01,3.02,5.01, 11/27/12

BORGWARNER INC                          DE       2.02,9.01            02/14/13

Bridgeline Digital, Inc.                DE       2.02,9.01            02/14/13

BROCADE COMMUNICATIONS SYSTEMS INC      DE       2.02,9.01            02/14/13

BUILD A BEAR WORKSHOP INC               DE       1.01,2.02,9.01       02/13/13

Burlington Coat Factory Investments H            8.01,9.01            02/14/13

CABELAS INC                             DE       2.02,7.01,8.01,9.01  02/14/13

CalAmp Corp.                            DE       8.01,9.01            02/14/13

CALIFORNIA FIRST NATIONAL BANCORP       CA       5.02                 02/12/13

Cardinal Energy Group, Inc.             NV       1.01,1.02,2.01,3.02, 09/30/12    AMEND

CARDINAL HEALTH INC                     OH       1.01,7.01,8.01       02/13/13

CarMax Auto Owner Trust 2013-1          DE       1.01,8.01,9.01       02/14/13

CASEYS GENERAL STORES INC               IA       7.01                 02/14/13

Castle Brands Inc                       FL       2.02,9.01            02/14/13

CATALYST PHARMACEUTICAL PARTNERS, INC   DE       7.01,8.01,9.01       02/11/13

CBS CORP                                DE       2.02,9.01            02/14/13

CENTERLINE HOLDING CO                   DE       1.01,9.01            02/08/13

CENTRAL GARDEN & PET CO                 DE       5.02,5.07            02/09/13

CEPHEID                                 CA       8.01,9.01            02/12/13

CHARLES & COLVARD LTD                   NC       1.01,9.01            02/14/13

CHARLES RIVER LABORATORIES INTERNATIO            2.02,9.01            02/13/13

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            02/13/13

CHIMERA INVESTMENT CORP                 DE       3.01,9.01            02/14/13

China Natural Gas, Inc.                 DE       1.03,9.01            02/08/13

CITY HOLDING CO                         WV       2.01,9.01            01/10/13    AMEND

Clean Coal Technologies Inc.            NV       5.08,8.01            02/11/13

Clearwater Paper Corp                   DE       5.02                 02/12/13

CMS ENERGY CORP                         MI       1.01,9.01            02/08/13

COMDISCO HOLDING CO INC                 DE       2.02,9.01            02/14/13

COMMERCE BANCSHARES INC /MO/            MO       5.02,5.03,9.01       02/08/13

Commercial Vehicle Group, Inc.          DE       2.02,7.01,9.01       02/14/13

COMPUWARE CORP                          MI       5.02                 02/08/13

COMSCORE, INC.                          DE       2.02,9.01            02/14/13

CONMED CORP                             NY       2.02,9.01            02/14/13

CONSTELLATION BRANDS, INC.              DE       7.01,9.01            02/14/13

CorEnergy Infrastructure Trust, Inc.             7.01,9.01            02/13/13

Corporate Capital Trust, Inc.           MD       1.01,2.03,9.01       02/11/13

CORRECTIONS CORP OF AMERICA             MD       2.02,9.01            02/13/13

COVENTRY HEALTH CARE INC                DE       5.02                 02/12/13

CRA INTERNATIONAL, INC.                 MA       2.02,9.01            02/14/13

CRAILAR TECHNOLOGIES INC                A1       1.01,8.01,9.01       02/12/13

CRAILAR TECHNOLOGIES INC                A1       7.01,9.01            02/14/13

CRAY INC                                WA       2.02,9.01            02/14/13

CRYOLIFE INC                            FL       2.02,9.01            02/14/13

CSP INC /MA/                            MA       7.01,9.01            02/13/13

CVD EQUIPMENT CORP                      NY       5.02                 02/09/13

DATALINK CORP                           MN       2.02,9.01            02/14/13

DAVITA HEALTHCARE PARTNERS INC.         DE       2.02,9.01            02/14/13

DEAN FOODS CO                           DE       5.02,9.01            02/08/13

DelMar Pharmaceuticals, Inc.            NV       1.01,3.02,3.03,5.02, 02/08/13
Delphi Automotive PLC                   Y9       1.01,9.01            02/11/13

DELTA NATURAL GAS CO INC                KY       8.01,9.01            02/14/13

DELTIC TIMBER CORP                      DE       1.01,7.01,9.01       02/13/13

Demandware Inc                          DE       2.02,9.01            02/14/13

Digimarc CORP                           OR       9.01                 12/03/12    AMEND

DIRECTV                                 DE       2.02                 02/14/13

Discovery Communications, Inc.          DE       2.02,9.01            02/14/13

DOVER Corp                              DE       5.02,7.01,9.01       02/14/13

DOW CHEMICAL CO /DE/                    DE       8.01,9.01            02/14/13

DOW CHEMICAL CO /DE/                    DE       8.01,9.01            02/14/13

DUNKIN' BRANDS GROUP, INC.              DE       1.01,7.01,9.01       02/14/13

EASTMAN KODAK CO                        NJ       7.01                 02/14/13

EDIETS COM INC                          DE       1.01,9.01            02/12/13

EGAIN Corp                              DE       8.01,9.01            02/13/13

eHealth, Inc.                           DE       2.02,9.01            02/14/13

ELLIE MAE INC                           DE       2.02,5.02            02/14/13

EMERSON RADIO CORP                      DE       2.02,9.01            02/14/13

Empeiria Acquisition Corp               DE       4.01,9.01            02/08/13

ENBRIDGE ENERGY PARTNERS LP             DE       1.01,2.02,2.03,9.01  02/08/13

Energy Transfer Equity, L.P.            DE       5.02                 02/13/13

ENVESTNET, INC.                         DE       2.02,4.01,9.01       02/13/13

ESCO TECHNOLOGIES INC                   MO       5.02                 02/11/13

FAIR ISAAC CORP                         DE       5.07                 02/12/13

FAIRPOINT COMMUNICATIONS INC            DE       1.01,1.02,2.03,8.01, 02/14/13
Fansport, Inc.                          FL       5.03,9.01            02/14/13

Federal Home Loan Bank of Atlanta       X1       2.03                 02/11/13

Federal Home Loan Bank of Boston        X1       2.03                 02/11/13

Federal Home Loan Bank of Chicago       X1       2.02,9.01            02/14/13

Federal Home Loan Bank of Chicago       X1       2.03                 02/11/13

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            02/11/13

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            02/12/13

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            02/14/13

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            02/11/13

Federal Home Loan Bank of San Francis   X1       2.03                 02/11/13

Federal Home Loan Bank of Seattle                2.03                 02/12/13

Federal Home Loan Bank of Topeka                 2.03,9.01            02/11/13

FEDERAL REALTY INVESTMENT TRUST         MD       8.01,9.01            02/14/13

FEI CO                                  OR       8.01,9.01            02/14/13

FEI CO                                  OR       5.02                 02/13/13

FIRST KEYSTONE CORP                     PA       5.03,9.01            02/12/13

FIRST POTOMAC REALTY TRUST              MD       8.01,9.01            02/14/13

FOCUS GOLD Corp                                  1.01,8.01,9.01       02/08/13

Franklin Credit Management Corp         DE       1.01,9.01            02/14/13

FULLCIRCLE REGISTRY INC                 NV       1.01,9.01            02/14/13

GARTNER INC                             DE       7.01,9.01            02/14/13

GENERAC HOLDINGS INC.                   DE       2.02,9.01            02/14/13

GENERAL CABLE CORP /DE/                 DE       7.01,9.01            02/14/13

General Finance CORP                    DE       7.01,9.01            02/14/13

General Motors Co                                2.02,9.01            02/14/13

General Motors Financial Company, Inc   TX       2.02,9.01            02/14/13

GENESIS ENERGY LP                       DE       2.02,9.01            02/14/13

GERON CORP                              DE       5.02                 02/12/13

GFI Group Inc.                          DE       2.02,5.02,5.03,9.01  02/14/13

GIBRALTAR INDUSTRIES, INC.              DE       8.01,9.01            02/13/13

GLOBAL CASINOS INC                      UT       4.02                 02/05/13    AMEND

GLOBALSCAPE INC                         DE       7.01,9.01            02/14/13

GMX RESOURCES INC                       OK       2.02,9.01            02/08/13

GNC HOLDINGS, INC.                      DE       2.02,8.01,9.01       02/14/13

GREAT PLAINS ENERGY INC                 MO       5.02                 02/14/13

GRIFFIN LAND & NURSERIES INC            DE       2.02,9.01            02/14/13

GROUP 1 AUTOMOTIVE INC                  DE       7.01,9.01            02/11/13

GRYPHON GOLD CORP                       NV       7.01,9.01            02/13/13

GTX INC /DE/                            DE       8.01,9.01            02/14/13

GUIDED THERAPEUTICS INC                 DE       7.01,9.01            02/14/13

GYRODYNE CO OF AMERICA INC              NY       1.01,5.02,9.01       02/08/13

HANCOCK HOLDING CO                      MS       5.02,8.01,9.01       02/08/13

HANGER, INC.                            DE       2.02,9.01            02/13/13

HARRIS TEETER SUPERMARKETS, INC.        NC       8.01,9.01            02/13/13

HARSCO CORP                             DE       2.02,9.01            02/14/13

HDS INTERNATIONAL CORP.                 NV       1.01,1.02,3.02,9.01  11/27/12    AMEND

Health Advance, Inc.                    WY       5.02,8.01            02/12/13

HEINZ H J CO                            PA       8.01,9.01            02/14/13

HICKOK INC                              OH       2.02,9.01            12/31/12

HOME PROPERTIES INC                     MD       5.02                 02/11/13

HomeTrust Bancshares, Inc.              MD       8.01,9.01            02/14/13

HOPFED BANCORP INC                      DE       1.01,7.01,9.01       02/11/13

Horsehead Holding Corp                           7.01,9.01            02/14/13

HOSPIRA INC                             DE       8.01                 02/13/13

IDACORP INC                             ID       7.01                 02/14/13

IEC ELECTRONICS CORP                    DE       5.02,7.01,9.01       02/12/13

IMMUCELL CORP /DE/                      DE       2.02,9.01            02/14/13

inContact, Inc.                         DE       2.02,9.01            02/14/13

inContact, Inc.                         DE       1.01                 02/14/13

INCYTE CORP                             DE       2.02,9.01            02/14/13

INNOVUS PHARMACEUTICALS, INC.           NV       7.01,9.01            02/13/13

INSIGHT ENTERPRISES INC                 DE       2.02,8.01,9.01       02/13/13

INSTEEL INDUSTRIES INC                  NC       5.07                 02/12/13

INTERACTIVE DATA CORP/MA/               DE       2.02,9.01            02/14/13

INTERFACE INC                           GA       2.02,9.01            02/14/13

INTERMUNE INC                           DE       5.02,9.01            02/14/13

INTERNATIONAL SHIPHOLDING CORP          DE       8.01,9.01            02/14/13

International Stem Cell CORP            DE       1.01                 02/07/13

International Stem Cell CORP            DE       1.01,9.01            02/07/13    AMEND

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       8.01,9.01            02/14/13

Invesco Ltd.                            D0       5.02                 02/11/13

Investview, Inc.                        NV       9.01                 02/13/13    AMEND

ION GEOPHYSICAL CORP                    DE       2.02,5.02,7.01,9.01  02/11/13

ISC8 INC. /DE                           DE       1.01,1.02,2.03,3.02, 02/12/13
IsoRay, Inc.                            MN       2.02,9.01            02/14/13

J2 GLOBAL, INC.                         DE       2.02,7.01,9.01       02/13/13

JARDEN CORP                             DE       2.02,7.01,9.01       02/14/13

JETBLUE AIRWAYS CORP                    DE       7.01,9.01            02/14/13

KELLOGG CO                              DE       1.01,2.03,9.01       02/11/13

Kennedy-Wilson Holdings, Inc.           DE       9.01                 02/14/13

KEY TECHNOLOGY INC                      OR       5.07                 02/13/13

KINGSWAY FINANCIAL SERVICES INC         A6       8.01                 02/12/13

Koppers Holdings Inc.                   PA       2.02,9.01            02/14/13

LIBERATOR MEDICAL HOLDINGS, INC.        NV       2.02,9.01            02/14/13

Liberty Global, Inc.                    DE       2.02,7.01            02/14/13

Liberty Global, Inc.                    DE       2.02,7.01            02/14/13

LIGHTSTONE VALUE PLUS REAL ESTATE INV   MD       2.01,9.01            12/31/12    AMEND

LOCAL Corp                              DE       1.01,2.02,2.03,9.01  02/13/13

LogMeIn, Inc.                           DE       2.02,7.01,9.01       02/14/13

LUCAS ENERGY, INC.                      NV       7.01,9.01            02/14/13

LUFKIN INDUSTRIES INC                   TX       2.02,9.01            12/31/12

MAGELLAN PETROLEUM CORP /DE/            DE       7.01,9.01            02/14/13

Magyar Bancorp, Inc.                    DE       7.01,9.01            02/14/13

Magyar Bancorp, Inc.                    DE       5.02                 02/14/13

MASIMO CORP                             DE       2.02,7.01,9.01       02/14/13

Max Sound Corp                          DE       9.01                 12/03/12    AMEND

MEDALLION FINANCIAL CORP                DE       1.01,9.01            02/13/13

MeetMe, Inc.                            DE       5.02,9.01            02/12/13

Meritage Homes CORP                     MD       5.02                 02/13/13

METLIFE INC                             DE       7.01,9.01            02/14/13

MFRI INC                                DE       5.02                 02/13/13

MICROSEMI CORP                          DE       5.07                 02/12/13

MITEK SYSTEMS INC                       DE       5.03,5.07,9.01       02/13/13

MKS INSTRUMENTS INC                     MA       5.02,9.01            02/11/13

mLight Tech, Inc.                       FL       5.03,9.01            02/14/13

MOBIVITY HOLDINGS CORP.                 NV       2.02,9.01            02/14/12

MOLSON COORS BREWING CO                 DE       2.02,9.01            02/14/13

Monotype Imaging Holdings Inc.          DE       2.02,9.01            02/14/13

Morningstar, Inc.                       IL       2.02,9.01            02/13/13

MUELLER INDUSTRIES INC                  DE       5.02,9.01            02/11/13

NASDAQ OMX GROUP, INC.                  DE       5.03,9.01            02/08/13

NATIONAL BANKSHARES INC                 VA       2.02,9.01            02/14/13

NATIONAL FINANCIAL PARTNERS CORP                 2.02,9.01            02/14/13

NATIONAL MENTOR HOLDINGS, INC.          DE       2.02,9.01            02/14/13

NATURAL GAS SERVICES GROUP INC                   5.02                 02/14/13

NATURAL RESOURCE PARTNERS LP            DE       2.02,7.01,9.01       02/13/13

NAVIGANT CONSULTING INC                 DE       2.02,9.01            02/14/13

NAVIGATORS GROUP INC                    DE       2.02,7.01,9.01       02/13/13

NBTY INC                                DE       7.01                 02/14/13

NETWORK 1 SECURITY SOLUTIONS INC        DE       8.01,9.01            02/12/13

NITRO PETROLEUM INC.                             1.01,3.02            12/27/12

NORTEK INC                              DE       1.01,9.01            02/14/13

NORTH EUROPEAN OIL ROYALTY TRUST        DE       5.07                 02/12/13

NORTHSTAR REALTY FINANCE CORP.          MD       2.02,9.01            02/14/13

NORTHWESTERN CORP                       DE       2.02,9.01            02/14/13

NOVELOS THERAPEUTICS, INC.              DE       1.01,7.01,9.01       02/12/13

Nuveen Diversified Commodity Fund       DE       8.01                 02/11/13

Oaktree Capital Group, LLC              DE       9.01                 02/14/13

OCEANEERING INTERNATIONAL INC           DE       2.02,8.01,9.01       02/13/13

OFFICEMAX INC                           DE       1.01,9.01            02/10/13

OLIE INC                                DE       4.01                 02/14/13

ON ASSIGNMENT INC                       DE       2.02,9.01            02/14/13

ORBITAL SCIENCES CORP /DE/              DE       2.02,9.01            02/13/13

Orbitz Worldwide, Inc.                  DE       2.02                 02/14/13

OvaScience, Inc.                        DE       5.02                 02/08/13

OVERLAND STORAGE INC                    CA       1.01,2.03,3.02,7.01, 02/14/13
OVERSEAS SHIPHOLDING GROUP INC          DE       5.02,9.01            02/11/13

PACIFIC GOLD CORP                       NV       1.01,3.02,9.01       02/05/13

PALATIN TECHNOLOGIES INC                DE       2.02,9.01            02/14/13

PAR TECHNOLOGY CORP                     DE       2.02                 02/14/13

PARTNERRE LTD                                    1.01,3.03,5.03,8.01, 02/11/13
Pazoo, Inc.                                      3.02,7.01,9.01       02/14/13

PDF SOLUTIONS INC                       DE       2.02,9.01            02/14/13

PEPSICO INC                             NC       2.02,8.01,9.01       02/14/13

PEPSICO INC                             NC       7.01                 02/14/13

PERCEPTRON INC/MI                       MI       2.02,9.01            02/12/13

Pernix Group, Inc.                               5.02,9.01            02/08/13

PHARMACYCLICS INC                       DE       2.02,9.01            02/14/13

PHOTRONICS INC                          CT       1.01,2.02,5.02,9.01  02/14/13

PITNEY BOWES INC /DE/                   DE       5.02                 02/11/13

PLEXUS CORP                             WI       5.02,5.07            02/13/13

PLUG POWER INC                          DE       1.01,9.01            02/13/13

POOL CORP                               DE       2.02,7.01,9.01       02/14/13

PPL Corp                                         2.02,7.01,9.01       02/14/13

PREMIERWEST BANCORP                     OR       8.01,9.01            02/13/13

PROCTER & GAMBLE Co                     OH       7.01                 02/14/13

PROGENICS PHARMACEUTICALS INC           DE       8.01,9.01            02/14/13

PROSPECT GLOBAL RESOURCES INC.          NV       7.01,9.01            02/13/13

PVH CORP. /DE/                          DE       1.01,1.02,2.01,2.03, 02/13/13
QC Holdings, Inc.                       KS       2.02,8.01,9.01       02/14/13

QCR HOLDINGS INC                        DE       1.01,7.01,9.01       02/13/13

QLIK TECHNOLOGIES INC                   DE       2.02,5.02,7.01,9.01  02/14/13

QUANTUM SOLAR POWER CORP.                        1.01,2.01,5.02,7.01, 01/30/13
RANGE RESOURCES CORP                    DE       5.02                 02/13/13

RAYMOND JAMES FINANCIAL INC             FL       7.01                 02/14/13

RealD Inc.                              DE       8.01,9.01            02/14/13

Realogy Holdings Corp.                  DE       2.02,9.01            02/14/13

REALTY INCOME CORP                      MD       2.02,9.01            02/14/13

RED METAL RESOURCES, LTD.               NV       1.01,9.01            02/14/13

REGENERON PHARMACEUTICALS INC           NY       2.02,9.01            02/14/13

RIGEL PHARMACEUTICALS INC               DE       5.02,9.01            02/08/13

Rock Energy Resources, Inc.             DE       2.01,2.03,3.02       12/14/11    AMEND

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       7.01,9.01            02/14/13

RURBAN FINANCIAL CORP                   OH       1.02,9.01            02/11/13

RYDER SYSTEM INC                        FL       5.02,9.01            02/08/13

RYLAND GROUP INC                        MD       5.03,7.01,9.01       02/12/13

SaasMAX, Inc.                           NV       4.01                 01/23/13    AMEND

Sagent Pharmaceuticals, Inc.            DE       2.02,9.01            02/14/13

SALON MEDIA GROUP INC                   DE       2.02,9.01            02/14/13

Santa Fe Petroleum, Inc.                DE       1.01,1.02,2.03,3.02, 02/14/13
Santa Fe Petroleum, Inc.                DE       1.01,2.03,3.02,9.01  02/14/13

Santa Fe Petroleum, Inc.                DE       5.02                 02/14/13    AMEND

SAUL CENTERS INC                        MD       8.01,9.01            02/12/13

Selga Inc                               NV       5.07,9.01            02/07/13

Sensata Technologies Holding N.V.       P7       8.01,9.01            02/12/13

SEVERN BANCORP INC                      MD       2.02,4.02,9.01       02/13/13

Shire plc                                        2.02,9.01            02/14/13

Shire plc                                        5.02                 02/14/13

SIGMA ALDRICH CORP                      DE       7.01,9.01            02/14/13

SimplePons, Inc.                        DE       1.01,2.01,3.02,3.03, 02/08/13
SKYWEST INC                             UT       2.02,9.01            02/14/13

SLM Student Loan Trust 2013-1           DE       9.01                 02/08/13

SLM Student Loan Trust 2013-1           DE       1.01,2.01,9.01       02/06/13

SOLARCITY CORP                          DE       1.01,2.03            02/08/13

SOLAZYME INC                            DE       5.02                 02/13/13

Soul & Vibe Interactive Inc.            NV       4.01,9.01            02/14/13

Soul & Vibe Interactive Inc.            NV       7.01,9.01            02/14/13

SOUNDBITE COMMUNICATIONS INC                     8.01                 02/12/13

SOUTH JERSEY INDUSTRIES INC             NJ       1.01,2.03,9.01       02/11/13

SOUTHERN STATES SIGN Co                 NV       1.01,9.01            02/08/13

SOVRAN SELF STORAGE INC                 MD       2.02,9.01            02/13/13

SPX CORP                                DE       2.02,9.01            02/14/13

SS&C Technologies Holdings Inc          DE       2.02,9.01            02/14/13

STANCORP FINANCIAL GROUP INC            OR       5.02,9.01            02/11/13

Standard Drilling, Inc.                          1.01,2.01,3.02,4.01, 02/13/13
STERLING CONSTRUCTION CO INC            DE       5.02                 02/08/13

STEWART INFORMATION SERVICES CORP       DE       2.02,9.01            02/14/13

STR HOLDINGS, INC.                      DE       5.02                 02/12/13

STRAYER EDUCATION INC                   MD       2.02,5.02,9.01       02/14/13

SUMMER ENERGY HOLDINGS INC              NV       5.02,9.01            02/11/13

SWIFT ENERGY CO                                  5.03,9.01            02/12/13

SYNERGY RESOURCES CORP                  CO       9.01                 12/05/12    AMEND

SYNTEL INC                              MI       2.02,9.01            02/14/13

SYSCO CORP                              DE       8.01                 02/12/13

Targa Resources Corp.                   DE       2.02,9.01            02/14/13

Targa Resources Partners LP             DE       2.02,9.01            02/14/13

TECHPRECISION CORP                               8.01,9.01            02/14/13

TENGION INC                             DE       1.01,9.01            02/14/13

TENNECO INC                             DE       2.02,8.01,9.01       02/14/13

TESARO, Inc.                            DE       2.02,7.01,9.01       02/14/13

Texas Gulf Energy Inc                   NV       2.02,7.01,9.01       02/14/13

THERAGENICS CORP                        DE       2.02                 02/14/13

THOMAS PROPERTIES GROUP INC             DE       2.02,9.01            02/13/13

TIDEWATER INC                           DE       8.01                 02/08/13

Timberline Resources Corp               DE       2.02,7.01,9.01       02/14/13

Timios National Corp                    DE       1.01,9.01            02/12/13

TITAN INTERNATIONAL INC                 IL       9.01                 10/19/12    AMEND

Titan Iron Ore Corp.                    NV       8.01,9.01            01/29/13

TMS International Corp.                 DE       2.02,7.01,9.01       02/14/13

TOWER FINANCIAL CORP                    IN       9.01                 02/14/13

Transocean Ltd.                         V8       7.01,9.01            02/14/13

Treaty Energy Corp                      NV       5.03,9.01            01/14/13

TREX CO INC                             DE       5.02,9.01            02/12/13

Triangle Petroleum Corp                 DE       2.02,5.02,9.01       02/13/13

TRILLIANT EXPLORATION CORP              NV       5.02,9.01            02/14/13

TRIPLE-S MANAGEMENT CORP                         2.02,9.01            02/06/13

TUCOWS INC /PA/                         PA       2.02,9.01            02/13/13

U S PRECIOUS METALS INC                 DE       8.01                 02/13/13

Ulta Salon, Cosmetics & Fragrance, In   DE       2.02,5.02,9.01       02/13/13

ULTRALIFE CORP                          DE       2.02,9.01            02/14/13

UNILENS VISION INC                               8.01,9.01            02/14/13

UNITED BANCSHARES INC/OH                OH       2.02,7.01,9.01       12/31/12

UNITED STATIONERS INC                   DE       2.02,2.05,9.01       02/14/13

UNITED THERAPEUTICS Corp                DE       7.01,9.01            02/14/13

UNIVERSAL TRAVEL GROUP                  NV       5.02                 02/09/13

UNWIRED PLANET, INC.                    DE       2.01,9.01            02/13/13

UNWIRED PLANET, INC.                    DE       1.02                 02/12/13

URS CORP /NEW/                          DE       2.02,9.01            02/14/13

US AIRWAYS GROUP INC                    DE       1.01,8.01,9.01       02/13/13

US AIRWAYS GROUP INC                    DE       7.01,9.01            02/14/13

US AIRWAYS GROUP INC                    DE       1.01,3.03,9.01       02/13/13

US AIRWAYS GROUP INC                    DE       1.01,8.01,9.01       02/13/13    AMEND

US DATAWORKS INC                        NV       2.02,9.01            02/14/13

US ECOLOGY, INC.                        DE       2.02,9.01            02/14/13

VALLEY FORGE COMPOSITE TECHNOLOGIES,    FL       5.02,8.01            02/14/13

VANGUARD HEALTH SYSTEMS INC             DE       5.02                 02/14/13

VCA ANTECH INC                          DE       2.02,9.01            02/14/13

VCA ANTECH INC                          DE       5.03,9.01            02/12/13

VERINT SYSTEMS INC                      DE       2.02,7.01,9.01       02/14/13

Viggle Inc.                             DE       8.01,9.01            02/14/13

Vitacost.com, Inc.                      DE       8.01,9.01            02/14/13

Vulcan Materials CO                     NJ       2.02,9.01            02/14/13

WALT DISNEY CO/                         DE       8.01,9.01            02/12/13

WARNACO GROUP INC /DE/                  DE       1.02,2.01,3.01,3.03, 02/13/13
Warner Music Group Corp.                DE       2.02,9.01            02/14/13

WASHINGTON REAL ESTATE INVESTMENT TRU   MD       2.02,7.01,9.01       02/07/13

WASTE MANAGEMENT INC                    DE       2.02,9.01            02/14/13

WATSCO INC                              FL       2.02,7.01,9.01       02/14/13

WEBSTER FINANCIAL CORP                  DE       8.01,9.01            02/14/13

WEIGHT WATCHERS INTERNATIONAL INC       VA       5.02                 02/08/13

WELLS FARGO & COMPANY/MN                DE       9.01                 02/14/13

WESTERN DIGITAL CORP                    DE       7.01,9.01            02/13/13

WFN CREDIT CO LLC                                1.01,8.01,9.01       02/12/13

White River Capital Inc                 IN       2.01,3.01,3.03,5.01, 02/14/13
WHITEWAVE FOODS Co                      DE       5.02                 02/08/13

XENONICS HOLDINGS, INC.                 NV       2.02,9.01            02/14/13

XPO Logistics, Inc.                              5.02                 02/11/13

ZaZa Energy Corp                        DE       7.01,9.01            02/14/13



Modified: 02/15/2013