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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2013-42
March 4, 2013

Commission Announcements

SEC Issues Risk Alert and Investor Bulletin on Investment Adviser Custody Rule

The Securities and Exchange Commission today issued a Risk Alert on compliance with its custody rule for investment advisers and it also issued an Investor Bulletin about the rule, which is designed to protect advisory clients from theft or misuse of their funds and securities.

The alert by the SEC’s Office of Compliance Inspections and Examinations (OCIE) comes after a review of recent examinations where significant deficiencies were identified showed custody-related issues in about one-third of the firms examined.  The advisers’ deficiencies included:

  • Failure to recognize that they have custody, such as situations where the adviser serves as trustee, is authorized to write or sign checks for clients, or is authorized to make withdrawals from a client’s account as part of bill-paying services.
     
  • Failure to meet the custody rule’s surprise examination requirements.
     
  • Failure to satisfy the custody rule’s qualified custodian requirements, for instance, by commingling client, proprietary, and employee assets in a single account, or by lacking a reasonable basis to believe that a qualified custodian is sending quarterly account statements to the client.

In addition, for advisers to audited pooled investment vehicles, the examinations found some failed to meet requirements to engage an independent accountant and demonstrate that financial statements were distributed to all fund investors.

“Because the safeguarding of assets is central to investor protection, it is critical that investment advisers follow our rules when they maintain custody of their clients’ funds,” said SEC Chairman Elisse B. Walter.

“We take deficiencies in this area very seriously and want to put advisers on alert about the importance of complying with the custody rule,” said OCIE Director Carlo V. di Florio.  “It is a key component of our investment adviser examination program.” 

The alert notes that the recent findings of custody deficiencies have resulted in a range of actions.  These included remedial measures by advisers, such as drafting, amending or enhancing their written compliance procedures, policies or processes, changing their business practices, or devoting more resources or attention to custody issues.  OCIE’s National Exam Program also has made referrals to the SEC’s Division of Enforcement where appropriate.

The bulletin by the SEC’s Office of Investor Education and Advocacy (OIEA) describes the requirements of the custody rule, including the requirement for custodians to send account statements to investment advisory clients at least every quarter.  The bulletin notes that even though the custody rule provides enhanced protections to investors, it is not a substitute for investors’ own oversight and monitoring of their investments.

“Investors should always ask questions – including questions about the custody issues discussed in this Investor Bulletin – when considering an investment,” said OIEA Director Lori Schock.  “Asking questions and monitoring investments are key ways to protect yourself from investment fraud.”  (Press Rel. 2013-33)

Enforcement Proceedings

Commission Revokes Registration of Securities of Clean Power Technologies, Inc. for Failure to Make Required Periodic Filings

On March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Clean Power Technologies, Inc. (CPWE) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, CPWE consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CPWE’s securities pursuant to Section 12(j) of the Exchange Act.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .  (Rel. 34-69021; File No. 3-15225)

Commission Revokes Registration of Securities of Maverick Oil And Gas, Inc. for Failure to Make Required Periodic Filings

On March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Maverick Oil and Gas, Inc. (MAVO) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, MAVO consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of MAVO’s securities pursuant to Section 12(j) of the Exchange Act.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .  (Rel. 34-69022; File No. 3-15226)

Commission Revokes Registration of Securities of Ati Liquidating, Inc. (n/k/a Aviza Technology, Inc.) for Failure to Make Required Periodic Filings

On March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of ATI Liquidating, Inc. (n/k/a Aviza Technology, Inc.) (AVZAQ) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, AVZAQ consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of AVZAQ’s securities pursuant to Section 12(j) of the Exchange Act.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .  (Rel. 34-69023; File No. 3-15227)

Commission Revokes Registration of Securities of Atlantic Southern Financial Group, Inc. for Failure to Make Required Periodic Filings

On March 4, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Atlantic Southern Financial Group, Inc. (ASFN) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, ASFN consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of ASFN’s securities pursuant to Section 12(j) of the Exchange Act.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .  (Rel. 34-69024; File No. 3-15228)

Other Commission Orders, Notices, and Information

Conditional Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934

The Commission granted an exemption, subject to certain conditions, to Topaz Exchange, LLC pursuant to Section 36(a) of the Securities Exchange Act of 1934 (Exchange Act) from certain requirements of Rules 6a-1 and 6a-2 under the Exchange Act.  Publication is expected in the Federal Register during the week of March 4.  (Rel. 34-69011)

Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934

The Commission has published for public comment Topaz Exchange, LLC’s application (File No. 10-209) for registration as a national securities exchange under Section 6 of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of March 4.  (Rel. 34-69012)

Request for Data and Other Information

The Securities and Exchange Commission is requesting data and other information, in particular quantitative data and economic analysis, relating to the benefits and costs that could result from various alternative approaches regarding the standards of conduct and other obligations of broker-dealers and investment advisers.  We intend to use the comments and data we receive to inform our consideration of alternative standards of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers.  We also will use this information to inform our consideration of potential harmonization of certain other aspects of the regulation of broker-dealers and investment advisers. Publication is expected in the Federal Register during the week of March 4.  (Rel. 34-69013; IA-3558)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by The NASDAQ Stock Market LLC relating to Relating to Pricing Clarification (SR-NASDAQ-2013-034) 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 March 4.  (Rel. 34-69006)

A proposed rule change filed by the Miami International Securities Exchange LLC to establish the MIAX Top of Market (“ToM”) data product (SR-MIAX-2013-05) 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 March 4.  (Rel. 34-69007)

Proposed Rule Changes

NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2013-18) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade fourteen series of the iShares Trust under NYSE Arca Equities Rule 8.600.  Publication is expected in the Federal Register during the week of March 4.  (Rel. 34-69008)

A proposed rule change filed by National Stock Exchange, Inc. to adopt a new order type called the Midpoint-Seeker Order and amend Rule 11.3(c) regarding rounding of sub-penny midpoint executions (SR-NSX-2013-07) 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 March 4.  (Rel. 34-69009)

Accelerated Approval of Proposed Rule Changes

The Commission granted accelerated approval of a proposed rule change (SR-CME-2013-14) filed by Chicago Mercantile Exchange Inc. (CME) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the acceptance of additional interest rate swaps for clearing. Publication is expected in the Federal Register during the week of March 4.  (Rel. 34-69016)

The Commission granted accelerated approval of a proposed rule change (SR-CME-2013-01) filed by Chicago Mercantile Exchange Inc. (CME) under Section 19(b)(1) of the Securities Exchange Act of 1934 related to an increase in CME’s corporate contribution to its interest rate swaps financial safeguards package. Publication is expected in the Federal Register during the week of March 4.  (Rel. 34-69017)

SECURITIES ACT REGISTRATIONS

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-3D    COLUMBIA PROPERTY TRUST, INC., ONE GLENLAKE PARKWAY, SUITE 1200, 
        ATLANTA, GA, 30328, 4044652200 - 50,000,000 ($350,000,000.00) Equity, 
        (File 333-186975 - Mar. 1) (BR. 08C)

S-8     YAHOO INC, 4083493300 - 350,598 ($7,390,605.84) Equity, 
        (File 333-186976 - Mar. 1) (BR. 03B)

F-3     SAFE BULKERS, INC., 32 AVENUE KARAMANLI, P.O. BOX 70837, 16605 VOULA, 
        ATHENS, J3, 16605, 011-30-210-895-7070 - 0 ($300,000,000.00) Other, 
        (File 333-186977 - Mar. 1) (BR. 05B)

S-8     iSoftStone Holdings Ltd, International Software Plaza Bldg 9, 
        Zhongguancun Software Park No. 8 West Do, Beijing, F4, 100193, 
        (86-10) 5874-9000 - 0 ($7,445,917.93) ADRs/ADSs, (File 333-186978 - 
        Mar. 1) (BR. 03C)

S-3ASR  LILLY ELI & CO, LILLY CORPORATE CTR, DROP CODE 1112, INDIANAPOLIS, IN, 
        46285, 3172762000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-186979 - Mar. 1) (BR. 01B)

S-1     WAGEWORKS, INC., 1100 PARK PLACE, 4TH FLOOR, SAN MATEO, CA, 94403, 
        650-557-5200 - 5,575,782 ($129,525,415.86) Equity, (File 333-186980 - 
        Mar. 1) (BR. 02)

F-10    INTEROIL CORP, 25025 I-45 NORTH, SUITE 420, WOODLANDS, TX, 77380, 
        2812921800 - 0 ($1,000,000,000.00) Equity, (File 333-186982 - Mar. 1) 
        (BR. 04A)

S-3     WISCONSIN PUBLIC SERVICE CORP, 700 NORTH ADAMS STREET, PO BOX 19001, 
        GREEN BAY, WI, 54307-9001, 9204331459 - 
        500,000,000 ($500,000,000.00) Non-Convertible Debt, (File 333-186984 - 
        Mar. 1) (BR. 02B)

N-2     PREDEX Fund, 17605 WRIGHT STREET, SUITE 2, OMAHA, NE, 68430, 
        402-493-4603 - 10,000,000 ($100,000,000.00) Equity, (File 333-186987 - 
        Mar. 1) (BR. 18)

S-3ASR  INTEGRYS ENERGY GROUP, INC., 130 EAST RANDOLPH DRIVE, CHICAGO, IL, 
        60601, 800-699-1269 - 0 ($0.00) Equity, (File 333-186988 - Mar. 1) 
        (BR. 02B)

S-8     ACME PACKET INC, 100 CROSBY DRIVE, BEDFORD, MA, 01730, 781-328-4400 - 
        0 ($89,759,250.00) Equity, (File 333-186989 - Mar. 1) (BR. 03A)

S-3ASR  Alpha Natural Resources, Inc., ONE ALPHA PLACE, P.O. BOX 16429, 
        BRISTOL, VA, 24209, 276-619-4410 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-186990 - Mar. 1) 
        (BR. 09B)

S-3ASR  Duke Energy CORP, 550 SOUTH TRYON STREET, DEC45, CHARLOTTE, NC, 28202, 
        704-382-3853 - 0 ($500,000,000.00) Debt, (File 333-186991 - Mar. 1) 
        (BR. 02A)

S-8     GOLDFIELDS INTERNATIONAL INC, 3077 E. WARM SPRINGS ROAD, SUITE 300, 
        LAS VEGAS, NV, 89120, 800-315-6551 - 8,900,000 ($2,225,000.00) Equity, 
        (File 333-186992 - Mar. 1) (BR. 09A)

S-3ASR  VERTEX PHARMACEUTICALS INC / MA, 130 WAVERLY STREET, CAMBRIDGE, MA, 
        02139-4242, 6173416100 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-186993 - Mar. 1) (BR. 01B)

S-1     Annie's, Inc., 1610 FIFTH STREET, BERKELEY, CA, 94710, 800-288-1089 - 
        0 ($163,837,625.00) Equity, (File 333-186994 - Mar. 1) (BR. 04B)

S-8     AMARANTUS BIOSCIENCE, INC., 675 ALMANOR AVE., SUNNYVALE, CA, 94085, 
        (408) 737-2734 - 10,000,000 ($640,000.00) Equity, (File 333-186995 - 
        Mar. 1) (BR. 01A)

S-8     CHICAGO BRIDGE & IRON CO N V, OOSTDUINLAAN 75, THE HAGUE, P7, 2596 JJ, 
        31-70-3732010 - 1,259,024 ($66,514,237.92) Equity, (File 333-186996 - 
        Mar. 1) (BR. 06A)

S-8     IKANOS COMMUNICATIONS, 47669 FREMONT BLVD., FREMONT, CA, 94538, 
        (510) 979-0400 - 4,500,000 ($7,875,000.00) Equity, (File 333-186997 - 
        Mar. 1) (BR. 11C)

F-10    GOLDCORP INC, SUITE 3400, 666 BURRARD STREET, VANCOUVER, A1, V6C 2X8, 
        604-696-3000 - 1,500,000,000 ($1,500,000,000.00) Debt, 
        (File 333-186998 - Mar. 1) (BR. 09B)

S-8     Blackstone Group L.P., 345 PARK AVENUE, NEW YORK, NY, 10154, 
        (212) 583-5000 - 0 ($382,657,963.00) Equity, (File 333-186999 - Mar. 1) 
        (BR. 12B)

S-3     EXACT SCIENCES CORP, 441 CHARMANY DRIVE, MADISON, WI, 53719, 
        608-284-5700 - 0 ($200,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-187000 - Mar. 1) (BR. 01A)

S-3     US ECOLOGY, INC., 300 E. MALLARD, STE 300, BOISE, ID, 83706, 
        2083318400 - 500,000,000 ($500,000,000.00) Equity, (File 333-187001 - 
        Mar. 1) (BR. 06A)

S-8     ENTROPIC COMMUNICATIONS INC, 6290 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 
        858-768-3600 - 0 ($25,685,296.00) Equity, (File 333-187002 - Mar. 1) 
        (BR. 10A)

S-4     US ECOLOGY, INC., 300 E. MALLARD, STE 300, BOISE, ID, 83706, 
        2083318400 - 0 ($100,000,000.00) Equity, (File 333-187003 - Mar. 1) 
        (BR. 06A)

S-8     Guidewire Software, Inc., 1001 E. HILLSDALE BOULEVARD, FOSTER CITY, CA, 
        94404, 650-357-9100 - 2,804,448 ($86,797,665.60) Equity, 
        (File 333-187004 - Mar. 1) (BR. 03B)

S-8     NORTHWEST NATURAL GAS CO, ONE PACIFIC SQUARE, 220 NW SECOND AVE, 
        PORTLAND, OR, 97209, 5032264211 - 0 ($31,944,470.00) Equity, 
        (File 333-187005 - Mar. 1) (BR. 02B)

S-3     NEWBRIDGE BANCORP, P O BOX 867, ONE LSB PLZ, LEXINGTON, NC, 27293-0867, 
        3362486500 - 12,788,010 ($72,763,777.00) Equity, (File 333-187006 - 
        Mar. 1) (BR. 07B)

S-1     PACK FUERTE, INC., 2360 CORPORATE CIRCLE, SUITE 400, HENDERSON, NV, 
        89074, (702)331-8633 - 6,800,000 ($136,000.00) Equity, 
        (File 333-187007 - Mar. 1) (BR. )

N-2     NUVEEN CALIFORNIA MUNICIPAL VALUE FUND INC, 333 W WACKER DR, CHICAGO, 
        IL, 60606, 3129178200 - 1,000 ($10,400.00) Equity, (File 333-187008 - 
        Mar. 1) (BR. 18)

N-2     NUVEEN NEW JERSEY PREMIUM INCOME MUNICIPAL FUND INC, 
        333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178200 - 
        1,000 ($16,140.00) Equity, (File 333-187009 - Mar. 1) (BR. 18)

N-2     NUVEEN CALIFORNIA INVESTMENT QUALITY MUNICIPAL FUND INC, 
        333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178200 - 
        1,000 ($16,130.00) Equity, (File 333-187010 - Mar. 1) (BR. 18)

S-3ASR  Catamaran Corp, 2441 WARRENVILLE ROAD, SUITE 610, LISLE, IL, 60532, 
        630-577-3100 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-187011 - Mar. 1) (BR. 01A)

S-3     Mid-Con Energy Partners, LP, 2431 E. 61ST STREET, SUITE 850, TULSA, OK, 
        74136, 918-743-7575 - 
        0 ($411,706,808.00) Unallocated (Universal) Shelf, (File 333-187012 - 
        Mar. 1) (BR. 04A)

S-11    Silver Bay Realty Trust Corp., 601 CARLSON PARKWAY, SUITE 250, 
        MINNETONKA, MN, 55305, 952-358-4400 - 0 ($367,722,467.61) Equity, 
        (File 333-187014 - Mar. 1) (BR. 08B)

S-11    Silver Bay Realty Trust Corp., 601 CARLSON PARKWAY, SUITE 250, 
        MINNETONKA, MN, 55305, 952-358-4400 - 0 ($126,264,966.02) Equity, 
        (File 333-187015 - Mar. 1) (BR. 08B)

S-3ASR  TUPPERWARE BRANDS CORP, 14901 S ORANGE BLOSSOM TRAIL, ORLANDO, FL, 
        32837-6600, (407) 826-5050 - 0 ($0.00) Other, (File 333-187016 - 
        Mar. 1) (BR. 06C)

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

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.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

-----------------------------------------------------------------------------------------

3M CO                                   DE       2.02,9.01            03/01/13

Adamis Pharmaceuticals Corp             DE       8.01                 10/25/12

Adamis Pharmaceuticals Corp             DE       8.01,9.01            02/28/13

ADVENTRX PHARMACEUTICALS INC            DE       5.03,8.01,9.01       02/28/13

Aegion Corp                             DE       7.01,9.01            02/28/13

Aegion Corp                             DE       2.02,9.01            02/25/13

AETRIUM INC                             MN       2.02,8.01,9.01       02/27/13

AFFYMAX INC                             DE       8.01                 02/27/13

AGL RESOURCES INC                       GA       1.01,2.03,9.01       02/26/13

ALL AMERICAN PET COMPANY, INC.          NV       1.01                 02/25/13

Allegiant Travel CO                     NV       1.01                 02/26/13

ALLERGAN INC                            DE       2.01,9.01            03/01/13

ALLETE INC                              MN       8.01                 03/01/13

Allied World Assurance Co Holdings, A            5.02                 02/25/13

ALLSTATE CORP                           DE       8.01                 02/28/13

AMAG PHARMACEUTICALS INC.               DE       2.02,9.01            03/01/13

AMERICAN AXLE & MANUFACTURING HOLDING   DE       1.01,9.01            02/28/13

AMERICAN ELECTRIC POWER CO INC          NY       7.01                 03/01/13

AMERICAN INTERNATIONAL GROUP INC        DE       8.01,9.01            03/01/13

American Realty Capital Properties, I   MD       8.01                 02/28/13

American Realty Capital Properties, I   MD       5.07,8.01            02/26/13

American Realty Capital Trust III, In   MD       5.07                 02/26/13

AMERICAN VANGUARD CORP                  DE       2.02,9.01            02/28/13

Americas Diamond Corp.                  NV       1.01,9.01            02/25/13

AMES NATIONAL CORP                      IA       8.01,9.01            02/27/13

Ampio Pharmaceuticals, Inc.             DE       8.01,9.01            02/25/13

Anacor Pharmaceuticals Inc              DE       8.01,9.01            02/28/13

Annie's, Inc.                           DE       1.01,5.02,8.01,9.01  02/28/13

APPLE INC                               CA       5.07                 02/27/13

AQUA AMERICA INC                        PA       5.02                 02/27/13

ARK RESTAURANTS CORP                    NY       1.01,2.03,9.01       02/25/13

Artemis Acquisition Corp.               DE       1.01,4.01,5.02,9.01  02/20/13

Artemis Acquisition Corp.               DE       1.01,4.01,5.02,9.01  02/20/13    AMEND

ARTHROCARE CORP                         DE       7.01                 02/26/13

Ascena Retail Group, Inc.               DE       7.01,9.01            02/28/13

ATLANTIC POWER CORP                     A1       2.02,9.01            02/28/13

ATLANTIC POWER CORP                     A1       1.01,3.03,8.01,9.01  02/28/13

AUTHENTIDATE HOLDING CORP               DE       8.01,9.01            02/27/13

AVIS BUDGET GROUP, INC.                 DE       5.02                 03/01/13

Azteca Acquisition Corp                 D8       8.01,9.01            02/28/13

B-Scada, Inc.                           DE       4.01,9.01            02/28/13

BEST BUY CO INC                         MN       2.02,7.01,9.01       03/01/13

BIOSANTE PHARMACEUTICALS INC            DE       2.02,8.01,9.01       03/01/13

BIOSPECIFICS TECHNOLOGIES CORP          DE       8.01                 02/28/13

Bitzio, Inc.                            NV       1.01,1.02,2.01,3.02, 02/28/13
                                                 9.01
          
BOSTON BEER CO INC                      MA       8.01                 02/27/13

BPZ RESOURCES, INC.                     TX       7.01,9.01            02/28/13

BRANDYWINE REALTY TRUST                 MD       2.01,9.01            02/25/13

BRANDYWINE REALTY TRUST                 MD       5.02,9.01            02/25/13

BRUKER CORP                             DE       5.02                 02/25/13

Bulova Technologies Group, Inc.         FL       3.02,9.01            02/25/13

Cactus Ventures, Inc.                   NV       5.02                 03/01/13

CapLease, Inc.                                   1.01,5.03,9.01       02/26/13

Carter Validus Mission Critical REIT,   MD       8.01                 02/28/13

Catamaran Corp                          B0       8.01,9.01            03/01/13

CBL & ASSOCIATES PROPERTIES INC         DE       1.01,9.01            03/01/13

CC Media Holdings Inc                            1.01,2.03,8.01,9.01  02/28/13

CELL THERAPEUTICS INC                   WA       2.02,7.01,9.01       02/28/13

CHARTER COMMUNICATIONS, INC. /MO/       DE       8.01,9.01            02/28/13

Cheniere Energy Partners, L.P.          DE       7.01,9.01            03/01/13

CHEROKEE INC                            DE       5.02,9.01            02/25/13

CHEVRON CORP                            DE       5.02                 02/26/13

CHICOPEE BANCORP, INC.                           5.02,9.01            02/28/13

CHICOS FAS INC                          FL       2.02,9.01            02/28/13

China VantagePoint Acquisition Co                3.03,5.01,5.07,8.01, 02/25/13
                                                 9.01
          
Chrysler Group LLC                      DE       8.01,9.01            03/01/13

CHUBB CORP                              NJ       5.02,9.01            02/27/13

CINCINNATI FINANCIAL CORP               OH       7.01,9.01            03/01/13

Circle Entertainment, Inc.              DE       5.02                 03/01/13

CITIZENS REPUBLIC BANCORP, INC.         MI       8.01,9.01            02/26/13

CLEAR CHANNEL COMMUNICATIONS INC        TX       1.01,2.03,8.01,9.01  02/28/13

Clearwire Corp /DE                      DE       1.01,2.03,9.01       03/01/13

CNS RESPONSE, INC.                      DE       5.02                 02/25/13

CNS RESPONSE, INC.                      DE       1.01,3.02            02/25/13

COHERENT INC                            DE       5.07                 02/27/13

COLUMBIA PROPERTY TRUST, INC.           MD       7.01,9.01            03/01/13

Commercial Vehicle Group, Inc.          DE       5.02,8.01,9.01       03/01/13

CommonWealth REIT                       MD       8.01,9.01            02/27/13

CommonWealth REIT                       MD       5.03,8.01,9.01       02/28/13

COMMUNITY HEALTH SYSTEMS INC            DE       5.02                 02/27/13

COMPUWARE CORP                          MI       2.05                 02/25/13

CONSTELLATION BRANDS, INC.              DE       5.02,7.01,9.01       02/27/13

Constellation Energy Partners LLC       DE       2.01,8.01,9.01       02/28/13

CROSSTEX ENERGY INC                     DE       2.02,9.01            02/28/13

CROSSTEX ENERGY INC                     DE       1.01,9.01            03/01/13

CROSSTEX ENERGY LP                      DE       2.02,9.01            02/28/13

CROSSTEX ENERGY LP                      DE       8.01,9.01            03/01/13

CROSSTEX ENERGY LP                      DE       1.01,8.01,9.01       03/01/13

CUBIC CORP /DE/                         DE       5.08                 03/01/13

CVR ENERGY INC                          DE       2.02,7.01,9.01       02/28/13

CVR Refining, LP                        DE       2.02,7.01,9.01       02/28/13

DC BRANDS INTERNATIONAL INC             CO       8.01                 02/28/13

DCB FINANCIAL CORP                      OH       5.02                 03/01/13

DCP Midstream Partners, LP              DE       1.01,7.01,9.01       02/28/13

DEL TORO SILVER CORP.                   NV       1.01,3.02,9.01       02/12/13

Delphi Automotive PLC                   Y9       1.01,2.03,9.01       03/01/13

DEPOMED INC                             CA       8.01                 02/28/13

DIAMOND HILL INVESTMENT GROUP INC       OH       2.02,9.01            03/01/13

DiamondRock Hospitality Co                       2.02,5.02,9.01       02/28/13

DiamondRock Hospitality Co                       7.01,8.01,9.01       02/28/13

Diligent Board Member Services, Inc.    DE       2.02,7.01,9.01       02/28/13

DineEquity, Inc                         DE       5.02,9.01            02/26/13

Dividend Capital Diversified Property   MD       8.01                 02/01/13

Dorman Products, Inc.                   PA       5.02,9.01            03/01/13

Dorman Products, Inc.                   PA       8.01                 03/01/13

DYNAMICS RESEARCH CORP                  MA       8.01                 02/27/13

DYNAVAX TECHNOLOGIES CORP               DE       5.02                 02/25/13

DYNAVAX TECHNOLOGIES CORP               DE       2.02,9.01            03/01/13

Eastern Insurance Holdings, Inc.        PA       8.01,9.01            03/01/13

EASTMAN KODAK CO                        NJ       7.01,8.01,9.01       03/01/13

Eaton Corp plc                                   5.02                 02/26/13

EDISON MISSION ENERGY                   DE       7.01,9.01            03/01/13

EDUCATIONAL DEVELOPMENT CORP            DE       8.01,9.01            02/28/13

Edwards Lifesciences Corp               DE       8.01                 02/27/13

El Paso Pipeline Partners, L.P.         DE       7.01                 02/28/13

Emergency Medical Services CORP         DE       1.01,2.03,9.01       02/27/13

EMMIS COMMUNICATIONS CORP               IN       5.08                 02/27/13

Enertopia Corp.                         NV       1.01,3.02,7.01,9.01  03/01/13

ENVESTNET, INC.                         DE       4.02                 02/27/13

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

ERHC Energy Inc                         CO       8.01,9.01            02/28/13

EVCARCO, INC.                           NV       2.01,3.02,9.01       02/26/13

Excel Trust, Inc.                       MD       8.01                 03/01/13

Exelis Inc.                             IN       2.02,7.01,9.01       03/01/13

ExlService Holdings, Inc.               DE       2.02,9.01            03/01/13

EXTREME NETWORKS INC                    DE       8.01                 03/01/13

Federal Home Loan Bank of Seattle                2.03                 02/25/13

FIRST CITIZENS BANCSHARES INC /DE/      DE       2.02,7.01,9.01       03/01/13

First Connecticut Bancorp, Inc.         MD       2.02,9.01            03/01/13

FIRST PACTRUST BANCORP INC              MD       2.02,9.01            03/01/13

FLORIDA GAMING CORP                     DE       5.07,8.01            02/25/13

FLOWERS FOODS INC                       GA       8.01,9.01            02/28/13

FNB United Corp.                        NC       1.02,9.01            02/27/13

FORD MOTOR CO                           DE       8.01,9.01            03/01/13

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            03/01/13

FOREST OIL CORP                         NY       5.02                 02/26/13

FOSTER WHEELER AG                       V8       2.02,9.01            03/01/13

FOSTER WHEELER AG                       V8       9.01                 03/01/13    AMEND

Francesca's Holdings CORP                        5.02,7.01,9.01       02/25/13

FREEPORT MCMORAN COPPER & GOLD INC      DE       8.01,9.01            03/01/13

FREEPORT MCMORAN COPPER & GOLD INC      DE       8.01,9.01            03/01/13

FreightCar America, Inc.                DE       5.02,9.01            02/25/13

FTI CONSULTING INC                      MD       2.02,7.01,9.01       02/28/13

Geo Point Resources, Inc.               NV       4.01,9.01            02/28/13

Georgetown Bancorp, Inc.                MD       5.02,9.01            02/25/13

GOLD AMERICAN MINING CORP.              NV       1.01,2.01,3.02,3.03, 02/25/13
                                                 5.01,5.02,5.06,9.01
        
Goliath Film & Media Holdings                    5.03,9.01            02/28/13


Graystone Co                            DE       3.02                 03/01/13

Graystone Co                            DE       4.01,9.01            02/15/13    AMEND

GREAT PLAINS ENERGY INC                 MO       7.01,9.01            03/01/13

GREIF INC                               DE       2.02,5.07,7.01,8.01, 02/25/13
                                                 9.01
          
Groupon, Inc.                           DE       5.02,9.01            02/28/13

GUITAR CENTER HOLDINGS, INC.            DE       5.02                 03/01/13

HALLADOR ENERGY CO                      CO       2.02                 03/01/13

HANDY & HARMAN LTD.                     DE       2.02,9.01            02/28/13

HANOVER INSURANCE GROUP, INC.           DE       5.02                 02/26/13

HARLAND CLARKE HOLDINGS CORP            DE       5.02,9.01            03/01/13

HARLAND CLARKE HOLDINGS CORP            DE       7.01,9.01            02/26/13    AMEND

HARTFORD FINANCIAL SERVICES GROUP INC   DE       2.02,2.06,4.02,9.01  02/26/13

HAYNES INTERNATIONAL INC                DE       5.07                 02/25/13

HEALTH DISCOVERY CORP                   2Q       5.02,8.01            02/25/13

HeartWare International, Inc.           DE       5.02                 02/26/13

HELIX ENERGY SOLUTIONS GROUP INC        MN       5.02,7.01,9.01       02/28/13

HERBALIFE LTD.                          E9       1.01,9.01            02/28/13

HERSHA HOSPITALITY TRUST                MD       1.01,2.03,3.03,5.03, 02/25/13
                                                 8.01,9.01 
    
Hillenbrand, Inc.                       IN       5.02,9.01            02/27/13

HITOR GROUP, INC.                       NV       4.02                 11/19/12

HITTITE MICROWAVE CORP                           5.02                 02/26/13

HMG COURTLAND PROPERTIES INC            DE       2.01,9.01            02/25/13

HMS INCOME FUND, INC.                   MD       5.02                 02/25/13

HOME PROPERTIES INC                     MD       8.01,9.01            03/01/13

HONEYWELL INTERNATIONAL INC             DE       8.01,9.01            03/01/13

HOSPIRA INC                             DE       5.02                 02/25/13

HOSPITALITY PROPERTIES TRUST            MD       2.02,9.01            03/01/13

Huntsman CORP                           DE       8.01,9.01            02/28/13

IBERIABANK CORP                         LA       4.02                 02/27/13

ICAHN ENTERPRISES L.P.                  DE       1.01,7.01,9.01       02/28/13

Imperial Resources, Inc.                         4.01                 02/27/13

IMPLANT SCIENCES CORP                   MA       1.01,2.03,3.02,5.03, 03/01/13
                                                 7.01,9.01
     
INFINITY ENERGY RESOURCES, INC          DE       2.03,9.01            02/26/13

Inland Diversified Real Estate Trust,   MD       7.01,9.01            03/01/13

INTERLEUKIN GENETICS INC                DE       1.01                 02/25/13

INTERLINE BRANDS, INC./DE               DE       5.02,9.01            03/01/13

INTERMUNE INC                           DE       4.02                 02/25/13

Invesco Ltd.                            D0       4.01,9.01            02/25/13

IPARTY CORP                             DE       1.01,2.03,3.01,8.01, 02/28/13
                                                 9.01
          
JEFFERIES GROUP INC /DE/                DE       8.01,9.01            03/01/13

Jefferies Group LLC                     DE       5.02,9.01            02/28/13

Jefferies Group LLC                     DE       1.01,2.01,3.01,3.02, 02/26/13
                                                 3.03,5.01,5.02,5.03,
                                                 5.07 
  
KAMAN CORP                              CT       4.01,9.01            02/28/13    AMEND

KEMPER Corp                             DE       5.02,8.01,9.01       02/25/13

Keyuan Petrochemicals, Inc.             NV       8.01,9.01            02/28/13

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 02/28/13

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 02/28/13

KINDER MORGAN, INC.                     DE       7.01                 02/28/13

KKR Financial Holdings LLC              DE       8.01,9.01            03/01/13

KNOLL INC                               DE       7.01                 02/28/13

LEHMAN ABS CORP BOEING NOTE BACKED SE   DE       8.01,9.01            02/15/13

LEHMAN ABS CORP BOEING SECURITIES BAC   DE       8.01,9.01            02/15/13

LEHMAN ABS CORP DUKE CAPITAL NOTE BAC   DE       8.01,9.01            02/15/13

LEHMAN ABS CORP GOLD SACHS CAP I SEC    DE       8.01,9.01            02/15/13

LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S   DE       8.01,9.01            02/15/13

LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S   DE       8.01,9.01            02/15/13

LEUCADIA NATIONAL CORP                  NY       1.01,2.01,2.03,3.02, 02/26/13
                                                 5.02,5.03,5.07,8.01,
                                                 9.01
   
LHC Group, Inc                                   8.01,9.01            02/28/13

LIME ENERGY CO.                         DE       1.01,2.01,7.01,9.01  02/28/13

LIMITED BRANDS INC                      DE       2.02,7.01            02/28/13

LIQUIDITY SERVICES INC                  DE       5.07                 02/28/13

LNB BANCORP INC                         OH       5.02,9.01            02/26/13

LOCAL Corp                              DE       1.01,3.02,9.01       02/28/13

Location Based Technologies, Inc.       NV       7.01,9.01            02/27/13

LOGITECH INTERNATIONAL SA                        2.05                 02/27/13

LPL Financial Holdings Inc.             DE       5.02,7.01,9.01       03/01/13

MACKINAC FINANCIAL CORP /MI/            MI       8.01,9.01            03/01/13

MAGNUM HUNTER RESOURCES CORP            DE       1.01,2.03,9.01       02/25/13

Maiden Holdings, Ltd.                   D0       7.01,9.01            03/01/13

Maiden Holdings, Ltd.                   D0       7.01,9.01            03/01/13

MAP Pharmaceuticals, Inc.               DE       2.01,3.01,3.02,3.03, 03/01/13
                                                 5.01,5.02,5.03,9.01
        
MARKETAXESS HOLDINGS INC                         5.02                 02/27/13

MASTEC INC                              FL       2.02,7.01,9.01       02/28/13

MATTEL INC /DE/                         DE       8.01                 02/25/13

MAUI LAND & PINEAPPLE CO INC            HI       2.02,9.01            02/27/13

MBT FINANCIAL CORP                      MI       8.01                 03/01/13

MEDICINOVA INC                          DE       1.01,9.01            02/27/13

Meetinghouse Bancorp, Inc.              MD       8.01,9.01            03/01/13

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01                 02/28/13

MERRILL LYNCH DEPOSITOR INC PREFERRED   DE       8.01                 02/28/13

MetaStat, Inc.                          NV       1.01,2.03,3.02,9.01  02/28/13

MICROSTRATEGY INC                       DE       1.01,9.01            02/25/13

MICROVISION INC                         DE       3.01,9.01            02/26/13

Millennial Media Inc.                   DE       5.02                 02/26/13

ML Winton FuturesAccess LLC             DE       5.03,9.01            11/30/12    AMEND

MMRGlobal, Inc.                         DE       3.02                 02/25/13

MONEYGRAM INTERNATIONAL INC                      5.02                 02/26/13

MOOG INC                                NY       5.02                 02/26/13

Morgans Hotel Group Co.                 DE       2.02,9.01            02/28/13

Morningstar, Inc.                       IL       7.01                 03/01/13

MULTIBAND CORP                          MN       1.01                 02/28/13

NAVISTAR INTERNATIONAL CORP             DE       7.01                 02/28/13

NEVADA GOLD & CASINOS INC               NV       5.02,9.01            02/28/13

NISSAN WHOLESALE RECEIVABLES CORP II    DE       1.01,8.01,9.01       02/28/13

Noranda Aluminum Holding CORP           DE       8.01,9.01            03/01/13

NORTHERN OIL & GAS, INC.                         2.02,9.01            02/28/13

NORTHWEST BANCORPORATION INC            WA       2.02,9.01            03/01/13

NORTHWEST NATURAL GAS CO                OR       2.02,5.02,7.01,9.01  03/01/13

NRG ENERGY, INC.                        DE       9.01                 12/14/12    AMEND

NuStar Energy L.P.                      DE       7.01,9.01            03/01/13

NuStar GP Holdings, LLC                 DE       7.01,9.01            03/01/13

Oasis Petroleum Inc.                    DE       4.02                 03/01/13

OMEGA PROTEIN CORP                      NV       5.02                 02/28/13

OphthaliX, Inc.                         DE       1.01,5.02,9.01       02/25/13

Orchid Island Capital, Inc.             MD       8.01,9.01            02/28/13

Orient Paper Inc.                       NV       7.01,9.01            03/01/13

ORRSTOWN FINANCIAL SERVICES INC         PA       5.03,9.01            02/28/13

Ottawa Savings Bancorp, Inc.            X1       8.01                 03/01/13

OURPETS CO                              CO       2.02,9.01            02/28/13

PALATIN TECHNOLOGIES INC                DE       7.01,9.01            03/01/13

PALL CORP                               NY       2.01,9.01            02/27/13

Parametric Sound Corp                   NV       5.07                 03/01/13    AMEND

PASSPORT POTASH INC                     A8       8.01,9.01            02/26/13

PATHEON INC                                      9.01                 12/14/12    AMEND

PDL BIOPHARMA, INC.                     DE       2.02,7.01,9.01       03/01/13

PEABODY ENERGY CORP                     DE       1.04                 02/26/13

Pendrell Corp                           DE       5.02,9.01            02/25/13

PennantPark Floating Rate Capital Ltd            5.07                 02/26/13

PENNANTPARK INVESTMENT CORP                      7.01,9.01            03/01/13

PENNANTPARK INVESTMENT CORP                      5.07                 02/26/13

PEPCO HOLDINGS INC                      DE       2.02,7.01,9.01       03/01/13

Pingtan Marine Enterprise Ltd.          E9       2.01,3.01,5.01,5.02, 02/25/13
                                                 5.03,5.06,5.07,9.01
        
PNC FINANCIAL SERVICES GROUP, INC.      PA       2.02,5.02,9.01       02/25/13

PNM RESOURCES INC                       NM       2.02,9.01            03/01/13

POPULAR INC                                      8.01,9.01            03/01/13

POPULAR INC                                      7.01,9.01            03/01/13

POWERSECURE INTERNATIONAL, INC.         DE       1.01,2.01,7.01,9.01  02/28/13

PPLUS Trust Series EQ-1                 DE       8.01                 02/28/13

PPLUS Trust Series LMG-3                         8.01                 02/28/13

PPlus Trust Series LMG-4                DE       8.01                 02/28/13

PRAXAIR INC                             DE       8.01,9.01            03/01/13

PRAXAIR INC                             DE       8.01,9.01            03/01/13

PREMIER ALLIANCE GROUP, INC.            NV       1.01,3.02,9.01       12/26/12    AMEND

PREMIER FINANCIAL BANCORP INC           KY       7.01,9.01            03/01/13

PRIME GLOBAL CAPITAL GROUP Inc          NV       4.01,9.01            03/01/13

Proto Labs Inc                                   5.02,9.01            02/27/13

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            03/01/13

PUBLIX SUPER MARKETS INC                FL       2.02,9.01            03/01/13

Quadrant 4 Systems Corp                 FL       1.01,3.02,9.01       02/26/13

Quanex Building Products CORP           DE       5.07,8.01,9.01       02/28/13

QUIDEL CORP /DE/                        DE       5.02,9.01            02/25/13

RAND CAPITAL CORP                       NY       9.01                 03/01/13

REALTY INCOME CORP                      MD       5.07,7.01,9.01       01/16/13    AMEND

RESPONSE BIOMEDICAL CORP                A1       8.01,9.01            02/26/13

RITE AID CORP                           DE       8.01                 02/28/13

S&W Seed Co                             NV       5.02,9.01            02/26/13

SABA SOFTWARE INC                       DE       1.01,4.01,5.02,9.01  02/25/13

SANDRIDGE ENERGY INC                    DE       2.01,9.01            02/26/13

SANTARUS INC                            DE       8.01                 02/28/13

SCG Financial Acquisition Corp.         DE       1.01,7.01,8.01,9.01  03/01/13

SEALY CORP                              DE       8.01,9.01            03/01/13

SecureAlert, Inc.                       UT       3.02                 02/28/13

SecureAlert, Inc.                       UT       5.02,5.07,9.01       02/25/13

SERVICEMASTER CO                        DE       5.02                 02/25/13

SHENANDOAH TELECOMMUNICATIONS CO/VA/    VA       7.01,9.01            03/01/13

SHILOH INDUSTRIES INC                   DE       2.02                 03/01/13

Shire plc                                        8.01,9.01            03/01/13

Shire plc                                        8.01,9.01            03/01/13

SILVER BULL RESOURCES, INC.             NV       5.02,9.01            02/26/13

SILVERSTAR MINING CORP.                 NV       5.02,9.01            03/01/13

SINCLAIR BROADCAST GROUP INC            MD       7.01,8.01,9.01       02/25/13

SJW CORP                                CA       5.02                 02/28/13

SquareTwo Financial Corp                DE       2.02,9.01            03/01/13

ST JOSEPH INC                           CO       4.01,9.01            02/25/13

STAAR SURGICAL CO                       DE       7.01,9.01            02/27/13

STAG Industrial, Inc.                            5.02                 03/01/13

STARWOOD PROPERTY TRUST, INC.                    8.01                 02/27/13

Station Casinos LLC                     NV       1.01,2.03,8.01,9.01  03/01/13

STEINER LEISURE Ltd                     C5       5.02                 02/27/13

STERLING FINANCIAL CORP /WA/            WA       8.01                 02/28/13

STONEMOR PARTNERS LP                    DE       5.02,9.01            02/28/13

STRYKER CORP                            MI       8.01                 03/01/13

STURM RUGER & CO INC                    DE       7.01,9.01            02/28/13

Sucampo Pharmaceuticals, Inc.                    5.02,9.01            02/25/13

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       2.02                 02/28/13

SWIFT ENERGY CO                                  7.01,9.01            03/01/13

SWIFT TRANSPORTATION Co                          8.01                 02/28/13

Swisher Hygiene Inc.                    DE       3.01,8.01,9.01       02/27/13

Targa Resources Corp.                   DE       5.02,9.01            02/26/13

TAUBMAN CENTERS INC                     MI       1.01,2.03,9.01       02/28/13

TE Connectivity Ltd.                    V8       5.03,9.01            03/01/13

Telanetix,Inc                           DE       5.02                 02/26/13

TigerLogic CORP                         DE       5.07                 02/28/13

Timberline Resources Corp               DE       7.01,9.01            02/28/13

TITAN INTERNATIONAL INC                 IL       7.01,9.01            03/01/13

TOYOTA MOTOR CREDIT CORP                CA       7.01,9.01            03/01/13

Transocean Ltd.                         V8       7.01,9.01            03/01/13

Transocean Ltd.                         V8       2.02,9.01            03/01/13

TRANSWITCH CORP /DE                     DE       3.01                 02/26/13

Triangle Petroleum Corp                 DE       1.01,2.03,9.01       02/25/13

TRIUMPH GROUP INC                       DE       1.01,2.03,9.01       02/28/13

TRUE RELIGION APPAREL INC               DE       8.01                 02/26/13

TTM TECHNOLOGIES INC                    WA       2.02                 02/05/13    AMEND

TUCOWS INC /PA/                         PA       8.01,9.01            03/01/13

Two Harbors Investment Corp.                     5.02                 03/01/13

UFP TECHNOLOGIES INC                    DE       2.02,9.01            02/28/13

UNITED BANCORP INC /MI/                 MI       5.02,9.01            03/01/13

UNITED COMMUNITY BANKS INC              GA       4.01,9.01            03/01/13    AMEND

UNIVERSITY GENERAL HEALTH SYSTEM, INC   NV       9.01                 12/14/12    AMEND

usell.com, Inc.                         DE       3.02,5.02,5.03,9.01  02/25/13

UV FLU TECHNOLOGIES INC                 NV       5.02                 02/27/13

Vanguard Natural Resources, LLC         DE       2.02,7.01,9.01       03/01/13

VEECO INSTRUMENTS INC                   DE       7.01                 03/01/13

Viggle Inc.                             DE       8.01                 03/01/13

VII Peaks-KBR Co-Optivist Income BDC    MD       2.02,8.01,9.01       02/27/13

VITRAN CORP INC                         A6       1.01                 02/26/13

VIVUS INC                               CA       2.02,9.01            02/25/13

WAGEWORKS, INC.                         DE       5.02                 02/26/13

WATERSTONE FINANCIAL INC                WI       2.02                 12/31/12

WAYNE SAVINGS BANCSHARES INC /DE/       DE       2.02,9.01            02/28/13

WELLS FARGO & COMPANY/MN                DE       9.01                 03/01/13

WESBANCO INC                            WV       8.01,9.01            03/01/13

WESTAR ENERGY INC /KS                   KS       7.01,9.01            03/01/13

Western Refining, Inc.                  DE       7.01,9.01            03/01/13

Westport Energy Holdings Inc.           DE       1.01,9.01            03/01/13

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       5.02                 02/27/13

WRIGHT MEDICAL GROUP INC                DE       1.01,2.01,2.03,8.01, 03/01/13
                                                 9.01
          
XCEL ENERGY INC                         MN       8.01                 02/28/13

XFormity Technologies, Inc.             TX       5.02                 02/25/13

YUM BRANDS INC                          NC       8.01                 03/01/13

ZIPCAR INC                                       1.01,9.01            02/27/13

ZOGENIX, INC.                           DE       1.01                 02/28/13

Zoom Telephonics, Inc.                  DE       2.02,9.01            02/25/13
02/22/13

 

http://www.sec.gov/news/digest/2013/dig030413.htm


Modified: 03/04/2013