SEC to Hold Fixed Income Roundtable
The Securities and Exchange Commission today announced that it will hold a roundtable on April 16 to discuss potential ways to improve the transparency and efficiency of fixed income markets. The roundtable will focus on the corporate bond market and the municipal securities market, which was the subject of a July 2012 Commission report.
The roundtable will be held at the SEC’s Washington, D.C., headquarters, and will be open to the public and webcast live on the SEC’s website. Information on the agenda and participants will be issued shortly.
“As regulators, we must continually work to enhance the quality of the fixed income markets, which are critical to the U.S. economy,” said SEC Chairman Elisse Walter. “We’ve already taken a step in that direction by issuing a report last summer on the municipal securities market and this roundtable will be another step forward.”
The U.S. fixed income markets help finance the nation’s public infrastructure and private businesses. Fixed income securities also are important components of the investment portfolios of the American public, with retail investors directly or indirectly holding more than 75 percent of the outstanding principal amount of municipal securities and 28 percent of the outstanding principal amount of corporate bonds.
The Commission’s 2012 Report on the Municipal Securities Market made a variety of recommendations to improve pre-trade and post-trade price transparency and to strengthen brokers’ existing obligations to provide investors with best execution and fair pricing. The roundtable will provide a forum for in-depth discussion of these and other ideas to enhance the municipal securities market as well as the extent to which those recommendations could be applied to the corporate bond market.
“I look forward to hearing the views of a wide range of knowledgeable market participants, investors, and others on how best to improve the transparency, efficiency and fairness of the fixed income markets and practical ways in which these ideas might be implemented,” said Chairman Walter. (Press Rel. 2013-29)
Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting on Wednesday, March 6, 2013 at 10:00 a.m.
The subject matter of the Open Meeting will be:
The Commission will consider whether to propose Regulation Systems Compliance and Integrity (Regulation SCI) under the Securities Exchange Act of 1934 (“Exchange Act”) and conforming amendments to Regulation ATS under the Exchange Act.
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 Matters
Commission Adopts Final Rule Adjusting the Maximum Amounts of Civil Monetary Penalties
On February 27, 2013, the Commission adopted a final rule adjusting the maximum amounts of the civil monetary penalties for the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, and certain penalties under the Sarbanes-Oxley Act of 2002. This rule implements the Federal Civil Penalties Inflation Adjustment Act of 1990, as amended by the Debt Collection Improvement Act of 1996, which requires the Commission, at least once every four years, to adopt a regulation adjusting for inflation the maximum amount of civil monetary penalties provided for in statutes administered by the Commission. The purpose of the inflationary adjustment is to maintain the level of deterrence effectuated by the civil monetary penalties and not to allow such deterrent effect to be diminished by inflation. (Rels. 33-9387; 34-68994; IA-3557; IC-30408)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic Filings
On February 26, 2013, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68989; File No. 3-15218)
In the Matter of David Mura
On February 26, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Edward Tackaberry (Tackaberry).
The Order finds that a final judgment was entered by consent against Tackaberry, permanently enjoining him from future violations of Sections 15(a) and 15(b)(6)(B)(i) of the Exchange Act, in the civil action entitled SEC v. Edward Tackaberry, Civil Action Number 12 Civ. 6512 T, in the United States District Court for the Western District of New York. The complaint in that case, in turn, alleged that on August 30, 2007, in a previously filed civil action entitled SEC v. Pittsford Capital Income Partners, L.L.C., et al., 06 Civ. 6353 T(P), in the United States District Court for the Western District of New York, a final judgment was entered against Tackaberry permanently enjoining him from future violations of Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder. On September 27, 2007, based on such injunction, the Commission barred Tackaberry from association with any broker or dealer.
The complaint in SEC v. Tackaberry further alleged that, from in or around 2007 through 2009, in violation of the Commission’s September 27, 2007 order, Tackaberry acted as an unregistered broker-dealer, and associated with an unregistered broker-dealer in connection with the solicitation of investors in securities issued by, inter alia, Charge-On-Demand, LLC, Innovations Group Enterprises LLC, and Stucco LLC (the “LLCs”). Tackaberry allegedly did so by serving as several prospective investors’ first contact with the LLCs, describing the investments and how they would be documented, negotiating the terms of investment with some of the investors, and documenting investment transactions in several instances. Through the foregoing actions, Tackaberry allegedly violated Section 15(a) of the Exchange Act.
Based on the above, the Order barred Tackaberry from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; and barred him from participating in any offering of a penny stock. Tackaberry consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted to the entry of the injunction. (Rel. 34-68990; File No. 3-15219)
In the Matter of Medis Technologies Ltd.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents (Default Order) in Medis Technologies Ltd., Administrative Proceeding File No. 3-15185. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file timely periodic reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Medis Technologies Ltd., Modern Medical Modalities Corp., National Datacomputer, Inc., New Media Lottery Services, Inc., Sino-Bon Entertainment, Inc., and TechMedia Advertising, Inc., and revokes the registration of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934.
Tamir Biotechnology, Inc. submitted a responsive filing and thus remains in the proceeding. (Rel. 34-68991; File No. 3-15185)
In the Matter of Douglas F. Vaughan
On February 27, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Douglas F. Vaughan (Vaughan). The Commission found that Vaughan, who was the chairman and chief executive officer of The Vaughan Company Realtors, Inc., and the founder and sole natural person in control of Vaughan Capital, LLC, offered and sold securities to investors in the United States. The Commission also found that Vaughan and his associated companies were not, and never had been, registered with the Commission as brokers or dealers.
On February 14, 2013, the U.S. District Court for the District of New Mexico entered a final judgment by consent against Vaughan in the civil action entitled Securities and Exchange Commission v. Douglas F. Vaughan. The Commission’s complaint alleged that from about 1993 and until at least January 31, 2010, Vaughan sold securities that were not registered with the Commission, lied to investors, and operated a multi-million dollar Ponzi scheme. The judgment enjoined Vaughan 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 of 1934 and Rule 10b-5 thereunder and found Vaughan liable for approximately $43.7 million in disgorgement of ill-gotten gains.
The disgorgement order in the Commission’s case was deemed satisfied by a victim restitution order and consent order of forfeiture in United States v. Douglas F. Vaughan, a related criminal action in U.S. District Court for the District of New Mexico. Vaughan pled guilty in that case to one count of mail fraud and one count of wire fraud. Vaughan was sentenced to 12 years in prison on September 5, 2012, and ordered to pay victim restitution of approximately $43.7 million. Vaughan also agreed to forfeit approximately $74.7 million to the United States.
Based on the above, the Order barred Vaughan from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. Vaughan consented to the issuance of the Order. (Rel. 34-69001; File No. 3-15220)
Defendant Adam S. Rosengard Settles SEC Charges in Penny Stock Manipulation Case
The Securities and Exchange Commission announced today that Chief Judge Gregory M. Sleet of the United States District Court for the District of Delaware entered a final judgment against Defendant Adam S. Rosengard on February 25, 2013 in SEC v. Dynkowski, et al., Civil Action No. 1:09-361, a stock manipulation case the SEC filed on May 20, 2009. The SEC’s complaint alleges that Defendant Pawel P. Dynkowski and others engaged in market manipulation schemes involving at least four separate stocks. The complaint alleges that Rosengard violated Section 5 of the Securities Act of 1933 by acting as a nominee account holder in one of the schemes.
As alleged in the complaint, the schemes generally followed the same pattern: Dynkowski and his accomplices agreed to sell large blocks of shares for penny stock companies in exchange for a portion of the proceeds. The shares were put in nominee accounts that Dynkowski and his accomplices controlled. The defendants artificially inflated the market price of the stocks through wash sales, matched orders and other manipulative trading, often timed to coincide with false or misleading press releases, and then sold shares obtained from the issuers and divided the illicit proceeds.
As alleged in the complaint, Dynkowski orchestrated the manipulation scheme involving Xtreme Motorsports of California, Inc. stock in 2007. The complaint alleges that in this scheme Dynkowski and an accomplice engaged in wash sales, matched orders and other manipulative trading. As alleged in the complaint, Rosengard acted as a nominee account holder in the scheme. Specifically, he gave Dynkowski access to a brokerage account for the purpose of selling shares of Xtreme Motorsports stock. The complaint alleges that this scheme generated approximately $257,646 in illicit profits.
To settle the SEC’s charges, Rosengard consented to a final judgment that permanently enjoins him from violating Section 5 of the Securities Act; orders disgorgement of $165,646 with prejudgment interest of $21,297; and bars Rosengard from participating in any offering of a penny stock. No civil penalty was imposed, and part of the disgorgement obligation was waived, in light of Rosengard’s financial condition. [SEC v. Dynkowski, et al., Civil Action No. 1:09-361 (D. Del.)] (LR-22626)
AXA Equitable Life Insurance Company, et al.
An order has been issued on an application filed by AXA Equitable Life Insurance Company, et al., pursuant to Section 26(c) of the Investment Company Act of 1940 (the "Act"), to permit substitution of shares of certain registered management investment companies with shares of certain other registered management investment companies. The order also exempts the applicants from Section 17(a) of the 1940 Act to the extent necessary to permit them to carry out the proposed substitution that involve in-kind transfers. (Rel. IC-30405 - February 26)
Allianz Variable Insurance Products Fund of Funds Trust, et al.
An order has been issued on an application filed by Allianz Variable Insurance Products Fund of Funds Trust, et al., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30406 - February 26)
WINCO Investment Partnership 2008 L.P., et al.
An order has been issued on an application filed by WINCO Investment Partnership 2008 L.P., et al. to exempt certain investment funds formed for the benefit of eligible current and former equity shareholders of Winstead PC from certain provisions of the Investment Company Act of 1940 (Act). Each investment fund will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30407 - February 26)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX BX, Inc. relating to routing fees to C2 (SR-BX-2013-017) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68977 )
A proposed rule change filed by NASDAQ OMX PHLX LLC relating to routing fees to C2 (SR-PHLX-2013-017) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68984 )
A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-016) to amend FINRA Rules in accordance with the Regulation NMS Plan to Address Extraordinary Market Volatility 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 25. (Rel. 34-68985 )
Proposed Rule Change
The Municipal Securities Rulemaking Board (“MSRB”) filed a proposed rule change (SR-MSRB-2013-02) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend MSRB Rule G-39, on telemarketing. The proposed rule change would adopt provisions that prohibit deceptive and other abusive telemarketing acts or practices. Publication is expected in the Federal Register during the week of February 25. (Rel. 34-68987 )
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 MIMVI, INC., 440 NORTH WOLFE ROAD, SUNNYVALE,, CA, 94085, 818-483-3585 - 22,000,000 ($7,586,500.00) Equity, (File 333-186858 - Feb. 26) (BR. 11C) S-3ASR HECLA MINING CO/DE/, 6500 N MINERAL DRIVE SUITE 200, NONE, COEUR D'ALENE, ID, 83815-9408, 2087694100 - 0 ($0.00) Equity, (File 333-186861 - Feb. 26) (BR. 09B) S-3ASR CYTEC INDUSTRIES INC/DE/, FIVE GARRET MOUNTAIN PLAZA, WEST PATERSON, NJ, 07424, 9733573100 - 0 ($0.00) Debt, (File 333-186862 - Feb. 26) (BR. 06A) S-8 RAND WORLDWIDE INC, 161 WORCESTER ROAD, SUITE 401, FRAMINGHAM, MA, 01701, 508-663-1400 - 2,000,000 ($1,700,000.00) Equity, (File 333-186863 - Feb. 26) (BR. 03A) S-8 COMMERCE BANCSHARES INC /MO/, 1000 WALNUT, KANSAS CITY, MO, 64106, 8162342000 - 4,753,332 ($182,860,682.04) Equity, (File 333-186867 - Feb. 26) (BR. 12A) S-1 SBOR, Inc., 13100 BOONES FERRY ROAD, LAKE OSWEGO, OR, 97035, 503-882-8980 - 2,760,000 ($69,000.00) Equity, (File 333-186869 - Feb. 26) (BR. 08) S-8 RADIOSHACK CORP, 300 RADIOSHACK CIRCLE, FORT WORTH, TX, 76102, 817-415-3700 - 3,000,000 ($3.10) Equity, (File 333-186870 - Feb. 26) (BR. 02A) S-8 BOISE CASCADE Co, 1111 WEST JEFFERSON STREET, SUITE 300, P. O. BOX 50, BOISE, ID, 83702, (208) 384-6161 - 0 ($81,747,000.00) Equity, (File 333-186871 - Feb. 26) (BR. 06A) S-1 Globalstar, Inc., 300 HOLIDAY SQUARE BLVD.,, COVINGTON,, LA, 70433, 408-933-4000 - 39,500,000 ($18,565,000.00) Equity, (File 333-186872 - Feb. 26) (BR. 11C) S-8 EQUINIX INC, ONE LAGOON DRIVE, 4TH FLOOR, REDWOOD CITY, CA, 94065, (650) 598-6000 - 500,000 ($106,800,000.00) Equity, (File 333-186873 - Feb. 26) (BR. 11A) F-3 TELUS CORP, 3777 KINGSWAY, BURNABY, D1, 00000, 0 ($135,080,000.00) Equity, (File 333-186874 - Feb. 26) (BR. 11C) S-8 Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE, CA, 94085, 408-970-3400 - 0 ($50,311,301.39) Equity, (File 333-186875 - Feb. 26) (BR. 10B) S-8 Spansion Inc., 915 DEGUIGNE DRIVE, P.O. BOX 3453, SUNNYVALE, CA, 94088, (408) 962-2500 - 2,577,033 ($30,202,827.00) Equity, (File 333-186876 - Feb. 26) (BR. 10B) N-2 Pathway Energy Infrastructure Fund, Inc., 10 EAST 40TH STREET, 44TH FLOOR, NEW YORK, NY, 10016, (212) 448-0702 - 0 ($1,500,000,000.00) Equity, (File 333-186877 - Feb. 26) (BR. ) S-3 MARINEMAX INC, 18167 US 19 N, SUITE 499, CLEARWATER, FL, 33764, 8135311700 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, (File 333-186878 - Feb. 26) (BR. 02B) S-8 EPLUS INC, 13595 DULLES TECHNOLOGY DRIVE, HERNDON, VA, 20171-3413, 7039848400 - 750,000 ($34,342,500.00) Equity, (File 333-186879 - Feb. 26) (BR. 03A) S-1 HYPERION THERAPEUTICS INC, 601 GATEWAY BLVD., SUITE 200, SOUTH SAN FRANCISCO, CA, 94080, 650-745-7802 - 0 ($57,500,000.00) Equity, (File 333-186880 - Feb. 26) (BR. 01A) S-8 RR Donnelley & Sons Co, 111 SOUTH WACKER DRIVE, CHICAGO, IL, 60606, 3123268000 - 0 ($97,800,000.00) Equity, (File 333-186881 - Feb. 26) (BR. 05A) S-3ASR GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3F, FAIRFIELD, CT, 06828, 203-373-2211 - 0 ($0.00) Other, (File 333-186882 - Feb. 26) (BR. 10A) S-1 CONSUMERS BANCORP INC /OH/, 614 E LINCOLN WAY, PO BOX 256, MINERVA, OH, 44657-2096, 3308687701 - 0 ($10,000,000.00) Equity, (File 333-186883 - Feb. 26) (BR. 07B)
Form 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 ----------------------------------------------------------------------------------------- ABERCROMBIE & FITCH CO /DE/ DE 2.03,8.01 02/21/13 ACACIA RESEARCH CORP DE 5.02 02/19/13 ACCELRYS, INC. DE 2.02,9.01 02/26/13 ACCO BRANDS CORP DE 5.02,5.03,9.01 02/20/13 Accretive Health, Inc. DE 2.02,8.01,9.01 02/26/13 ADVANCED MICRO DEVICES INC DE 5.02,9.01 02/22/13 ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 02/26/13 AKORN INC LA 2.02,9.01 02/26/13 ALL GRADE MINING, INC. CO 4.01 02/25/13 ALLEGHANY CORP /DE DE 5.02,9.01 02/21/13 ALLIED HEALTHCARE PRODUCTS INC DE 7.01 02/25/13 Alon USA Partners, LP DE 5.02 02/25/13 ALTERRA CAPITAL HOLDINGS Ltd 1.01,5.07,8.01,9.01 02/26/13 ALTRIA GROUP, INC. VA 5.02,5.03,9.01 02/26/13 AMC Networks Inc. DE 2.02,9.01 02/26/13 American Railcar Industries, Inc. ND 7.01,9.01 02/26/13 American Realty Capital Properties, I MD 7.01,9.01 02/26/13 American Realty Capital Properties, I MD 8.01,9.01 02/26/13 American Realty Capital Trust III, In MD 8.01,9.01 02/26/13 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 02/26/13 American Water Works Company, Inc. DE 5.02 02/20/13 American Water Works Company, Inc. DE 2.02,9.01 02/26/13 Apollo Commercial Real Estate Finance MD 2.03 02/20/13 Applied Visual Sciences, Inc. DE 5.02 02/25/13 ARCH COAL INC DE 7.01,9.01 02/26/13 ARCH COAL INC DE 1.04 02/21/13 ASSISTED LIVING CONCEPTS INC NV 1.01,8.01,9.01 02/25/13 ASTEC INDUSTRIES INC TN 2.02,9.01 02/25/13 ASTROTECH Corp \WA\ WA 8.01 02/20/13 Atlantic Coast Financial CORP MD 1.01,7.01,8.01,9.01 02/25/13 ATP OIL & GAS CORP TX 7.01,9.01 02/20/13 AUTOZONE INC NV 2.02,9.01 02/26/13 AUXILIUM PHARMACEUTICALS INC DE 2.02,7.01,9.01 02/26/13 Avago Technologies LTD U0 2.02,5.02,7.01,9.01 02/26/13 AVALONBAY COMMUNITIES INC MD 8.01,9.01 02/26/13 Bacterin International Holdings, Inc. DE 7.01,9.01 02/26/13 BANCORPSOUTH INC MS 7.01,9.01 02/26/13 BB&T CORP NC 8.01,9.01 02/26/13 BEST BUY CO INC MN 7.01,9.01 02/26/13 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 02/26/13 BIO RAD LABORATORIES INC DE 2.02,9.01 02/26/13 BIOANALYTICAL SYSTEMS INC IN 4.01 02/22/13 BioDrain Medical, Inc. MN 1.01,3.02,9.01 02/20/13 BIOMIMETIC THERAPEUTICS, INC. DE 5.07 02/26/13 BOISE INC. DE 2.02,8.01,9.01 02/26/13 BOLDFACE GROUP, INC. NV 8.01,9.01 02/26/13 BRE PROPERTIES INC /MD/ MD 7.01,9.01 02/26/13 Brownie's Marine Group, Inc NV 3.02,5.02 02/23/13 BTU INTERNATIONAL INC DE 2.02,9.01 02/26/13 CACI INTERNATIONAL INC /DE/ DE 5.02 02/20/13 AMEND Campus Crest Communities, Inc. MD 2.02,9.01 02/26/13 Campus Crest Communities, Inc. MD 5.02 02/22/13 CAPSTONE TURBINE Corp DE 1.01 02/21/13 CARPENTER TECHNOLOGY CORP DE 1.01,2.03,9.01 02/26/13 CARRIZO OIL & GAS INC TX 9.01 02/26/13 CASTLE A M & CO MD 2.02,7.01,9.01 02/26/13 CATALYST PHARMACEUTICAL PARTNERS, INC DE 5.02 02/22/13 CDI CORP PA 2.02 02/26/13 Celsion CORP DE 1.01,3.03,5.03,8.01, 02/21/13 9.01 Chaparral Energy, Inc. DE 2.02,9.01 02/26/13 CHARLES & COLVARD LTD NC 2.02,9.01 02/26/13 CHARTER FINANCIAL CORP/GA 5.07 02/20/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 02/26/13 CHILDRENS PLACE RETAIL STORES INC 8.01,9.01 02/26/13 Citadel EFT, Inc. NV 5.02 02/26/13 CMG HOLDINGS GROUP, INC. NV 8.01 02/25/13 Cobalt International Energy, Inc. 2.02,9.01 02/26/13 CombiMatrix Corp DE 1.01,3.03,9.01 02/26/13 COMPETITIVE TECHNOLOGIES INC DE 1.01,9.01 02/25/13 Compressco Partners, L.P. DE 2.02,9.01 02/26/13 Comstock Mining Inc. NV 7.01,9.01 02/26/13 CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 02/25/13 Cooper-Standard Holdings Inc. DE 7.01,9.01 02/26/13 Cooper-Standard Holdings Inc. DE 7.01,9.01 02/26/13 AMEND CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 02/26/13 CRACKER BARREL OLD COUNTRY STORE, INC 2.02,9.01 02/26/13 CRAILAR TECHNOLOGIES INC A1 2.03,3.02,7.01,9.01 02/25/13 Creative App Solutions, Inc. NV 8.01 02/25/13 Crestwood Midstream Partners LP DE 2.02,9.01 02/26/13 Crimson Wine Group, Ltd DE 2.02 02/25/13 CTPARTNERS EXECUTIVE SEARCH INC. DE 2.02,7.01 02/26/13 CUMBERLAND PHARMACEUTICALS INC 8.01 02/25/13 CyrusOne Inc. MD 2.02,7.01,9.01 02/26/13 DAWSON GEOPHYSICAL CO TX 7.01,9.01 02/26/13 DelMar Pharmaceuticals, Inc. NV 1.01,3.02,3.03,9.01 02/21/13 DELUXE CORP MN 7.01,9.01 02/26/13 Diamond Foods Inc DE 7.01,9.01 02/26/13 Diamondback Energy, Inc. DE 2.02,9.01 02/25/13 Digital Generation, Inc. DE 7.01 02/22/13 Digital Generation, Inc. DE 5.07 02/21/13 DIGITALGLOBE, INC. DE 2.02,5.02,9.01 02/20/13 DILLARDS INC DE 2.02,9.01 02/25/13 DIODES INC /DEL/ DE 5.02 02/21/13 Discover Card Execution Note Trust DE 8.01 02/26/13 DreamWorks Animation SKG, Inc. 2.02,9.01 02/26/13 DREW INDUSTRIES INC DE 5.02,9.01 02/26/13 Duke Energy CORP DE 7.01 02/25/13 Duke Energy CORP DE 5.02 02/26/13 DUKE REALTY CORP IN 1.01,5.03,9.01 02/25/13 DYNAVAX TECHNOLOGIES CORP DE 5.02 02/20/13 ECOLAB INC DE 2.02,8.01,9.01 02/26/13 EDISON INTERNATIONAL CA 2.02,7.01,9.01 02/26/13 El Paso Pipeline Partners, L.P. DE 7.01 02/26/13 EMCOR GROUP INC DE 2.02,9.01 02/26/13 EMULEX CORP /DE/ DE 2.01,8.01,9.01 02/26/13 ENBRIDGE ENERGY MANAGEMENT L L C DE 7.01,9.01 02/25/13 Enphase Energy, Inc. DE 2.02,9.01 02/26/13 ENTERPRISE BANCORP INC /MA/ MA 5.02,9.01 02/21/13 ENVIVIO INC DE 5.02,8.01 02/20/13 EP Energy LLC DE 7.01,9.01 02/26/13 EPR PROPERTIES MD 2.02,9.01 02/26/13 EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 02/26/13 ERHC Energy Inc CO 8.01,9.01 02/21/13 ERIE INDEMNITY CO PA 2.02,8.01,9.01 02/26/13 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 02/26/13 EXTERRAN HOLDINGS INC. DE 2.02,9.01 02/26/13 EXTERRAN HOLDINGS INC. DE 5.02 02/26/13 EXTERRAN PARTNERS, L.P. DE 2.02,9.01 02/26/13 EXTERRAN PARTNERS, L.P. DE 5.02 02/26/13 Federal Home Loan Bank of Atlanta X1 2.03 02/20/13 Federal Home Loan Bank of Boston X1 2.03 02/22/13 Federal Home Loan Bank of Chicago X1 2.03 02/21/13 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/20/13 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/22/13 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/26/13 Federal Home Loan Bank of New York X1 2.03,9.01 02/21/13 Federal Home Loan Bank of Pittsburgh PA 2.02,9.01 02/26/13 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/20/13 Federal Home Loan Bank of San Francis X1 2.03 02/20/13 Federal Home Loan Bank of Seattle 2.03 02/21/13 FEDERATED INVESTORS INC /PA/ PA 5.02 02/21/13 FIRST ACCEPTANCE CORP /DE/ DE 2.02,9.01 02/26/13 First Advantage Bancorp 5.02 02/26/13 First Connecticut Bancorp, Inc. MD 8.01,9.01 02/26/13 First Connecticut Bancorp, Inc. MD 8.01,9.01 02/26/13 FIRST FINANCIAL BANCORP /OH/ OH 7.01,9.01 02/26/13 FIRST FINANCIAL BANKSHARES INC TX 1.01,7.01,9.01 02/20/13 First Financial Northwest, Inc. WA 1.01,9.01 02/25/13 FIRST MIDWEST BANCORP INC DE 7.01,9.01 02/26/13 FIRST POTOMAC REALTY TRUST MD 7.01 02/26/13 FIRST PRIORITY FINANCIAL CORP. PA 7.01,9.01 02/26/13 First Savings Financial Group Inc 8.01,9.01 02/25/13 FIRST SECURITY GROUP INC/TN TN 1.01,3.02,7.01,9.01 02/25/13 FIRST SOLAR, INC. DE 2.02,9.01 02/26/13 FIRSTBANK CORP MI 8.01,9.01 02/26/13 FIRSTMERIT CORP /OH/ OH 5.02,9.01 02/21/13 FNB CORP/FL/ FL 5.02,9.01 02/21/13 FOCUS GOLD Corp 2.01 02/20/13 Ford Credit Auto Owner Trust 2013-A 1.01,9.01 02/26/13 Ford Credit Auto Owner Trust 2013-A 8.01,9.01 02/26/13 FOREST CITY ENTERPRISES INC OH 9.01 02/25/13 FOREST CITY ENTERPRISES INC OH 1.01,2.03,9.01 02/21/13 Forestar Group Inc. DE 1.01,2.03,9.01 02/20/13 FREDERICK COUNTY BANCORP INC MD 5.02,9.01 02/25/13 FS Investment CORP MD 2.02 02/25/13 FX ENERGY INC NV 8.01,9.01 02/26/13 GameStop Corp. DE 5.02 02/26/13 GANNETT CO INC /DE/ DE 5.02 02/25/13 GARDNER DENVER INC DE 2.02,9.01 02/22/13 General Motors Financial Company, Inc TX 9.01 02/26/13 AMEND GENTHERM Inc MI 8.01,9.01 02/25/13 GeoMet, Inc. DE 7.01,9.01 02/26/13 GigOptix, Inc. DE 2.02,9.01 02/26/13 GLACIER BANCORP INC DE 7.01,8.01,9.01 02/25/13 Global Eagle Entertainment Inc. DE 4.02 02/22/13 GLOBAL POWER EQUIPMENT GROUP INC. DE 5.02,9.01 02/20/13 Global Stevia Corp. NV 5.02 02/18/13 GLOBALSCAPE INC DE 7.01,9.01 02/26/13 GOLDEN GRAIN ENERGY IA 5.07 02/25/13 GOODYEAR TIRE & RUBBER CO /OH/ OH 7.01 02/26/13 GP STRATEGIES CORP DE 2.02,9.01 02/26/13 GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 02/26/13 GRAN TIERRA ENERGY INC. NV 2.02,9.01 02/26/13 Graystone Co DE 4.01 02/15/13 Guidewire Software, Inc. DE 2.02 02/26/13 GULFMARK OFFSHORE INC DE 1.01,9.01 02/25/13 HARLAND CLARKE HOLDINGS CORP DE 7.01,9.01 02/26/13 HEALTHSTREAM INC TN 2.02,7.01,9.01 02/26/13 HESKA CORP DE 1.01,3.02,5.02,9.01 02/24/13 HMS HOLDINGS CORP 5.02 02/20/13 HollyFrontier Corp DE 2.02,9.01 02/26/13 HOME DEPOT INC DE 2.02,9.01 02/26/13 HOST HOTELS & RESORTS, INC. MD 8.01 02/26/13 HPEV, INC. NV 5.02,5.03 02/20/13 Hudson Global, Inc. DE 5.02 02/24/13 HYDROMER INC NJ 8.01 02/25/13 IDENIX PHARMACEUTICALS INC DE 2.02,9.01 02/25/13 IDENIX PHARMACEUTICALS INC DE 5.02 02/20/13 IHS Inc. DE 9.01 02/26/13 IMPERIAL OIL LTD 8.01,9.01 02/26/13 INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 02/26/13 INNERWORKINGS INC 5.02,9.01 02/22/13 Intellicell Biosciences, Inc. NV 2.03,9.01 02/26/13 INTERNATIONAL ISOTOPES INC TX 1.01,2.03,3.02,9.01 02/20/13 IRIS BIOTECHNOLOGIES INC CA 4.01,9.01 02/26/13 IROBOT CORP DE 8.01,9.01 02/26/13 ISTAR FINANCIAL INC MD 2.02,9.01 02/26/13 Jazz Pharmaceuticals plc L2 2.02,9.01 02/26/13 JMJP Partners, Inc. DE 3.02,5.01,5.02 02/25/13 KADANT INC DE 2.02,9.01 02/26/13 KBS Legacy Partners Apartment REIT, I MD 8.01 02/26/13 KBS Legacy Partners Apartment REIT, I MD 2.01,9.01 01/15/13 AMEND KELLOGG CO DE 2.02,7.01,9.01 02/26/13 Kentucky First Federal Bancorp 2.02,9.01 02/22/13 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 02/26/13 KINDER MORGAN MANAGEMENT LLC DE 7.01 02/26/13 KINDER MORGAN, INC. DE 7.01 02/26/13 KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 02/25/13 KITE REALTY GROUP TRUST MD 7.01,9.01 02/26/13 KLEVER MARKETING INC DE 4.01,9.01 02/25/13 KOLASCO CORP NV 4.01 02/25/13 LAM RESEARCH CORP DE 5.02,8.01,9.01 02/25/13 LEGACY RESERVES LP DE 2.02,9.01 02/25/13 LEMAITRE VASCULAR INC 2.02,9.01 02/26/13 LEXMARK INTERNATIONAL INC /KY/ DE 5.02,9.01 02/20/13 LIONS GATE ENTERTAINMENT CORP /CN/ A1 5.02,9.01 02/22/13 Live Nation Entertainment, Inc. DE 2.02,9.01 02/26/13 LNB BANCORP INC OH 7.01,9.01 02/26/13 LOCKHEED MARTIN CORP MD 8.01,9.01 02/26/13 LONGWEI PETROLEUM INVESTMENT HOLDING CO 3.01,9.01 02/20/13 LTX-CREDENCE CORP MA 5.02 02/25/13 LYDALL INC /DE/ DE 2.02,9.01 02/26/13 M I HOMES INC OH 8.01 02/26/13 Macy's, Inc. DE 2.02,9.01 02/26/13 MAKO Surgical Corp. DE 2.02,5.02,9.01 02/21/13 MANAGEMENT NETWORK GROUP INC 2.02,9.01 02/26/13 MARINEMAX INC DE 5.02,5.07,8.01 02/20/13 MARKEL CORP VA 5.07,8.01,9.01 02/26/13 MARTHA STEWART LIVING OMNIMEDIA INC DE 2.02,9.01 02/26/13 MASTERCARD INC DE 8.01 02/21/13 MATTHEWS INTERNATIONAL CORP PA 5.07 02/21/13 MAXIMUS INC VA 8.01 02/25/13 MedClean Technologies, Inc. DE 5.02,9.01 02/25/13 MEDICAL ALARM CONCEPTS HOLDINGS INC NV 7.01 02/14/13 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 02/15/13 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 02/15/13 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 02/15/13 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/15/13 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/15/13 METRO BANCORP, INC. 5.02 02/22/13 METROPCS COMMUNICATIONS INC DE 2.02,9.01 02/26/13 METROPCS COMMUNICATIONS INC DE 8.01,9.01 02/26/13 MEXCO ENERGY CORP CO 2.02,9.01 02/26/13 MGE ENERGY INC WI 2.02,9.01 02/26/13 MOLSON COORS BREWING CO DE 5.07 05/25/11 AMEND Monster Offers NV 5.05,9.01 02/25/13 AMEND MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 02/25/13 MS Structured Step Up Callable Trust DE 8.01 02/25/13 MSC INDUSTRIAL DIRECT CO INC NY 1.01,7.01,9.01 02/22/13 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 7.01,9.01 02/26/13 NAKED BRAND GROUP INC. NV 3.02 02/21/13 NATIONAL FUEL GAS CO NJ 5.02 02/21/13 Neiman Marcus, Inc. DE 2.02,9.01 02/26/13 NEKTAR THERAPEUTICS DE 8.01,9.01 02/26/13 NEWMONT MINING CORP /DE/ DE 2.02,9.01 02/21/13 AMEND Novus Robotics Inc. NV 4.01,9.01 02/22/13 NUVASIVE INC DE 2.02,9.01 02/26/13 OAK RIDGE MICRO-ENERGY INC CO 4.01,9.01 02/20/13 OCEANEERING INTERNATIONAL INC DE 5.02,9.01 02/21/13 OFFICE DEPOT INC DE 5.02,8.01,9.01 02/26/13 OIL DRI CORP OF AMERICA DE 5.02,9.01 02/26/13 OLIN CORP VA 7.01,9.01 02/25/13 ONLINE RESOURCES CORP DE 1.01,2.03,9.01 02/26/13 ONVIA INC DE 2.02,9.01 02/26/13 PACIFIC WEBWORKS INC NV 5.02 02/17/13 PAPA JOHNS INTERNATIONAL INC DE 4.02 02/24/13 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 02/26/13 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 02/26/13 AMEND PHI GROUP INC NV 3.02 02/14/13 PHOTRONICS INC CT 8.01,9.01 02/26/13 Pinacle Enterprise, Inc. 2M 3.03,5.03,9.01 02/19/13 PINNACLE AIRLINES CORP DE 7.01,9.01 02/25/13 PIONEER NATURAL RESOURCES CO DE 5.02,9.01 02/20/13 Pioneer Southwest Energy Partners L.P DE 5.02 02/20/13 PIPER JAFFRAY COMPANIES DE 5.02 02/26/13 PLASTER CASTER INC. MS 4.01,9.01 01/10/13 AMEND PMI GROUP INC DE 7.01,9.01 02/26/13 Post Holdings, Inc. MO 1.01,3.02,3.03,5.03, 02/20/13 9.01 PPG INDUSTRIES INC PA 4.01,9.01 02/22/13 PPLUS Trust Series GSC-2 DE 8.01,9.01 02/15/13 PPLUS TRUST SERIES GSC-3 DE 8.01,9.01 02/15/13 PRGX GLOBAL, INC. GA 2.02,9.01 02/25/13 PRICELINE COM INC DE 2.02,9.01 02/26/13 PSM HOLDINGS INC DE 8.01 02/21/13 PSYCHEMEDICS CORP DE 2.02,9.01 02/25/13 PURE BIOSCIENCE, INC. DE 2.02,9.01 02/26/13 PVF CAPITAL CORP OH 5.02 02/22/13 Quad/Graphics, Inc. WI 2.02,9.01 02/26/13 RADIOSHACK CORP DE 2.02,9.01 12/31/12 Radius Health, Inc. DE 1.01,9.01 02/21/13 Rand Logistics, Inc. DE 5.02 02/22/13 RAYMOND JAMES FINANCIAL INC FL 5.02,5.07,7.01,9.01 02/21/13 Regional Management Corp. DE 5.02 02/20/13 RELIANCE STEEL & ALUMINUM CO CA 3.03,9.01 02/25/13 RENAISSANCERE HOLDINGS LTD D0 5.02,8.01,9.01 02/20/13 RENT A CENTER INC DE 4.01 02/25/13 RESMED INC DE 5.02,8.01,9.01 02/20/13 Resolute Energy Corp DE 7.01,9.01 02/25/13 RETAIL PROPERTIES OF AMERICA, INC. MD 7.01,9.01 02/26/13 REX ENERGY CORP DE 2.02,7.01,9.01 02/26/13 Roadrunner Transportation Systems, In DE 5.02,8.01 02/20/13 ROCKWELL COLLINS INC DE 5.02,9.01 02/26/13 Rosetta Resources Inc. DE 2.02,5.02,9.01 02/26/13 Rosetta Resources Inc. DE 7.01,9.01 02/26/13 ROYAL BANCSHARES OF PENNSYLVANIA INC PA 8.01 02/20/13 ROYAL GOLD INC DE 5.02,9.01 02/20/13 RR Donnelley & Sons Co DE 2.02,9.01 02/26/13 SAKS INC TN 2.02,9.01 02/26/13 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 02/26/13 SCBT FINANCIAL CORP SC 9.01 12/13/12 AMEND SCIENTIFIC LEARNING CORP DE 5.02,9.01 02/20/13 SCRIPPS E W CO /DE OH 2.02,9.01 02/26/13 SEMPRA ENERGY CA 2.02,9.01 02/26/13 SERVICEMASTER CO DE 2.02,9.01 02/26/13 Shire plc 8.01,9.01 02/26/13 Silicon Graphics International Corp DE 1.01,5.02 02/20/13 SMARTDATA CORP NV 8.01,9.01 02/26/13 SMITHFIELD FOODS INC VA 2.02,9.01 02/26/13 SOLTA MEDICAL INC DE 2.01,5.02,9.01 02/26/13 Sorrento Therapeutics, Inc. DE 1.01,2.03,9.01 02/22/13 SOUTHERN CALIFORNIA GAS CO CA 2.02,9.01 02/26/13 SOUTHWEST GAS CORP CA 2.02 02/26/13 STEEL PARTNERS HOLDINGS L.P. DE 8.01 02/26/13 STEVEN MADDEN, LTD. DE 2.02,9.01 02/26/13 STILLWATER MINING CO /DE/ DE 8.01,9.01 02/25/13 STRATEGIC INTERNET INVESTMENTS INC DE 1.01 02/25/13 STRATEGIC INTERNET INVESTMENTS INC DE 1.01 02/26/13 AMEND Summit Hotel OP, LP DE 9.01 10/05/12 AMEND SUN COMMUNITIES INC MD 7.01,9.01 02/13/13 AMEND SUN HYDRAULICS CORP FL 8.01,9.01 02/22/13 SUNESIS PHARMACEUTICALS INC DE 5.02 02/20/13 SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 02/26/13 T3 Motion, Inc. DE 5.02,9.01 02/21/13 TAIWAN FUND INC DE 7.01,9.01 01/31/13 TASER INTERNATIONAL INC 8.01,9.01 02/26/13 TELEFLEX INC DE 5.02 02/20/13 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,7.01,8.01,9.01 02/26/13 TENET HEALTHCARE CORP NV 2.02,9.01 02/26/13 TESORO LOGISTICS LP DE 1.01,9.01 02/21/13 TICC Capital Corp. MD 1.01,2.03,9.01 02/26/13 TIVO INC DE 2.02,9.01 02/26/13 Tower Group, Inc. DE 2.02,9.01 02/25/13 Tower Group, Inc. DE 7.01,9.01 02/26/13 Tower Group, Inc. DE 8.01,9.01 02/26/13 TOYS R US INC DE 8.01 02/21/13 Transcept Pharmaceuticals Inc DE 7.01,9.01 02/26/13 TREX CO INC DE 1.01,9.01 02/26/13 TRIMAS CORP DE 2.02,9.01 02/26/13 TRISTAR WELLNESS SOLUTIONS, INC. NV 4.01,9.01 02/26/13 TrueBlue, Inc. WA 7.01,9.01 02/26/13 TRW AUTOMOTIVE HOLDINGS CORP DE 8.01,9.01 02/25/13 TRW AUTOMOTIVE HOLDINGS CORP DE 8.01,9.01 02/20/13 U.S. SILICA HOLDINGS, INC. DE 2.02,9.01 02/26/13 UMPQUA HOLDINGS CORP OR 7.01,9.01 02/25/13 Uni-Pixel DE 8.01,9.01 02/26/13 United Financial Bancorp, Inc. 5.04,9.01 02/25/13 UNITED NATURAL FOODS INC DE 2.02,5.02,9.01 02/26/13 UNITED RENTALS INC /DE DE 7.01,9.01 02/26/13 UNITED STATES CELLULAR CORP DE 2.02,9.01 02/26/13 UNITED THERAPEUTICS Corp DE 2.02,9.01 02/26/13 UNS Energy Corp AZ 2.02,9.01 02/26/13 V F CORP PA 5.02 02/22/13 VALIDUS HOLDINGS LTD 7.01,9.01 02/26/13 VALIDUS HOLDINGS LTD 7.01,9.01 12/31/12 AMEND VALSPAR CORP DE 5.07 02/21/13 VAPOR CORP. NV 5.02,9.01 02/19/13 VECTREN CORP IN 7.01 02/26/13 VERENIUM CORP DE 5.02,9.01 02/21/13 Verisk Analytics, Inc. DE 2.02,9.01 02/26/13 VERMILLION, INC. DE 5.02 02/22/13 VICOR CORP DE 2.02,9.01 02/26/13 Vitamin Shoppe, Inc. DE 2.02,9.01 02/26/13 VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 02/21/13 W. P. Carey Inc. MD 2.02,9.01 02/26/13 W. P. Carey Inc. MD 7.01,9.01 02/26/13 Weatherford International Ltd./Switze V8 2.02,7.01,9.01 02/26/13 WELLS CORE OFFICE INCOME REIT INC 5.02 02/21/13 Wells Timberland REIT, Inc. MD 5.02 02/21/13 WERNER ENTERPRISES INC NE 7.01,9.01 02/26/13 WESTMOUNTAIN INDEX ADVISOR INC CO 8.01,9.01 02/19/13 WIRELESS RONIN TECHNOLOGIES INC MN 8.01 02/22/13 WIRELESS RONIN TECHNOLOGIES INC MN 2.02,9.01 02/26/13 WUHAN GENERAL GROUP (CHINA), INC NV 5.02 01/31/13 WYNN RESORTS LTD 5.02,9.01 02/21/13 X-CHANGE CORP NV 4.01 02/22/13 XRS Corp MN 8.01 02/25/13 ZAGG Inc NV 2.02,9.01 02/26/13 ZIPCAR INC 8.01 02/26/13