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U.S. Securities and Exchange Commission


Issue 2013-54
March 21, 2013

Commission Announcements

Commission Meetings

Closed Meeting on Thursday, March 28, 2013 at 2:00 p.m.

The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.

Enforcement Proceedings

SEC Charges Rengan Rajaratnam with Insider Trading

The Securities and Exchange Commission today charged Rajarengan “Rengan” Rajaratnam for his role in the massive insider trading scheme spearheaded by his older brother Raj Rajaratnam and hedge fund advisory firm Galleon Management.

The SEC alleges that from 2006 to 2008, Rengan Rajaratnam repeatedly received inside information from his brother and reaped more than $3 million in illicit gains for himself and hedge funds that he managed at Galleon and Sedna Capital Management, a hedge fund advisory firm that he co-founded. In addition to illegally trading on inside tips, Rengan Rajaratnam was an active participant in his brother’s scheme to cultivate highly placed sources and extract confidential information for an unfair advantage over other traders.

“Our complaint against Rengan Rajaratnam tells a sad tale of a man who followed his brother down an illegal path of greed to its inevitable conclusion,” said George S. Canellos, Acting Director of the SEC’s Division of Enforcement.

Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “Rengan Rajaratnam profited handsomely from his brother’s insider trading activities, and he may have believed he wouldn’t have to pay a price for his involvement. But now he is learning the true cost of his participation in the most expansive insider trading scheme ever perpetrated.”

In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Rengan Rajaratnam.

According to the SEC’s complaint filed in federal court in Manhattan, Rengan Rajaratnam repeatedly received valuable insider tips from his brother that he used for illegal trading in the securities of Polycom, Hilton Hotels, Clearwire Corporation, Akamai Technologies, and AMD. For example, in July 2007, he made substantial profits trading Hilton stock in his personal account based on a timely insider trading tip from Raj Rajaratnam that Hilton was about to be taken private. Rengan Rajaratnam quickly loaded up on Hilton stock, and the price of Hilton shares jumped more than 25 percent after the news became public. Rengan Rajaratnam cashed in his recently acquired position for an illicit profit of more than $675,000.

According to the SEC’s complaint, after Raj Rajaratnam tipped him about an upcoming transaction involving Clearwire Corporation in March 2008, Rengan Rajaratnam complained to his brother that certain nonpublic information they had used to begin accumulating a position in Clearwire stock was about to be reported by the media before they could establish a larger position. Rengan Rajaratnam nevertheless profited by more than $100,000 in his personal brokerage account and more than $230,000 for Galleon hedge funds based on trades in Clearwire securities.

The SEC’s complaint charges Rengan Rajaratnam with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. The complaint seeks a final judgment permanently enjoining Rajaratnam from future violations of these provisions of the federal securities laws, ordering him to disgorge his ill-gotten gains plus prejudgment interest, and ordering him to pay financial penalties.

The SEC’s investigation, which is continuing, has been conducted by John Henderson and Joseph Sansone — members of the SEC’s Market Abuse Unit in New York — and Matthew Watkins, Diego Brucculeri, and James D’Avino of the New York Regional Office. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation.

The SEC has now charged 33 defendants in its Galleon-related enforcement actions, which have exposed widespread and repeated insider trading at numerous hedge funds and by other traders, investment professionals, and corporate insiders located throughout the country. The insider trading occurred in the securities of more than 15 companies for illicit gains totaling more than $96 million. (Press Rel. 2013-45)

In the Matter of William G. Reeves, Esq.

The United States Securities and Exchange Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against William G. Reeves, Esq. (Reeves). The Order finds that Reeves is and has been an attorney licensed to practice law in the State of Florida. On February 5, 2013, the Commission filed a complaint against Reeves in federal court, which alleged, among other things, that Reeves participated in an offering fraud conducted by We the People, Inc. of the United States, while serving as its vice president and regulatory counsel. On February 27, 2013, the court entered an order permanently enjoining Reeves, by consent, from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 (Securities Act) and providing permanent injunctive relief under Sections 17(a)(2) and 17(a)(3) of the Securities Act.

Based on the above, the Order suspends Reeves from appearing or practicing before the Commission as an attorney. Reeves has the right to apply for reinstatement after a period of five years from the date of the Order. Reeves consented to the issuance of the Order without admitting or denying any of the findings in the Order, except that he admitted to the entry of the injunction. (Rel. 33-9395; File No. 3-15254)

Fake Hedge Fund Manager Sentenced to 40 Months in Prison

The Securities and Exchange Commission today announced that Andrey C. Hicks of Boston, Mass., has been sentenced to 40 months in prison in connection with criminal charges brought by the U.S. Attorney for the District of Massachusetts. In a criminal complaint unsealed on October 28, 2011, Hicks was charged with committing wire fraud, attempting to commit wire fraud, and aiding and abetting wire fraud, in violation of 18 U.S.C. Sections 1343, 1349, and 2. In addition to his prison term, Hicks was ordered to pay $2.3 million in restitution and faces three years of supervised release upon completion of his prison term. Hicks pled guilty to the charges on December 12, 2012.

On October 26, 2011, the SEC filed an emergency enforcement action charging Hicks and Locust Offshore Management, LLC, his investment advisory firm, with fraud in connection with misleading prospective investors about their supposed quantitative hedge fund and diverting investor money to the money manager’s personal bank account. The SEC alleges in its complaint that Hicks and his advisory firm made misrepresentations about his education, work experience, and the hedge fund’s auditor, prime broker/custodian, and corporate status when soliciting individuals to invest in the purported hedge fund, called Locust Offshore Fund, Ltd. By making these representations and creating other indicia of legitimacy, the SEC alleged that Hicks may have obtained at least $1.7 million from 10 investors and may have misappropriated at least a portion of these funds for personal expenses. In the Commission’s action, the U.S. District Court in Massachusetts issued a temporary restraining order on October 26 that, among other things, freezes the assets of the money manager, his advisory firm, and the hedge fund. On October 28, 2011, the Court converted the temporary restraining order into a preliminary injunction that will continue the asset freeze and other relief until further order of the Court. On March 20, 2012, Judge Richard Stearns of the U.S. District Court for the District of Massachusetts entered final judgments by default against Locust Offshore Management, LLC, and its CEO, Andrey C. Hicks. The Judgments jointly and severally ordered Hicks and Locust Offshore Management to pay disgorgement of $2,481,004 and prejudgment interest of $31,054.39. In addition, Hicks was ordered to pay a civil penalty in the amount of $2,512,058.39, and Locust Offshore Management was ordered to pay a civil penalty in the amount of $2,512,058.39.

On June 15, 2012, SEC Administrative Law Judge Cameron Elliott entered an order making findings and imposing sanctions by default against Hicks barring him from association with an investment adviser, broker, dealer, municipal securities dealer, municipal advisor, transfer agent, or national recognized statistical rating organization. And on June 19, 2012, ALJ Elliott entered a similar order against Locust Offshore Management barring it from acting as an investment adviser. [SEC v. Andrey C. Hicks, Civil Action No. 11-mi-1147-RBC (United States District Court for the District of Massachusetts)] (LR-22655)


Orders of Deregistration Under the Investment Company Act of 1940

Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:

  • Legg Mason Global Trust Inc. [File No. 811-7418]
    [Rel. No. IC-30429]
  • Legg Mason Charles Street Trust Inc. [File No. 811-8611]
    [Rel. No. IC-30430]


Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Miami International Securities Exchange LLC to adopt MIAX Rule 530, Limit Up-Limit Down (SR-MIAX-2013-07) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69181)

A proposed rule change filed by NASDAQ OMX PHLX LLC relating to establishing a program for PSX Managed Data Solutions (MDS) (SR-Phlx-2013-28) 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 25, 2013. (Rel. 34-69182)

The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BX-2013-028) filed by NASDAQ OMX BX, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the minimum price variation for Mini Options to be the same as permitted for standard options on the same underlying security. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69184)

Notice of Designation of Longer Period for Commission Action

The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-NSX-2013-02) filed by National Stock Exchange, Inc. to adopt a new order type called the “Auto-Ex Only” Order. Publication is expected in the Federal Register during the week of March 25, 2013. (Rel. 34-69183)


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-3     GenMark Diagnostics, Inc., 5964 LA PLACE COURT, CARLSBAD, CA, 92008, 
        (760) 448-4300 - 0 ($123,300,000.00) Unallocated (Universal) Shelf, 
        (File 333-187371 - Mar. 20) (BR. 10A)

        66103, 913.951.2130 - 0 ($57,500,000.00) Equity, (File 333-187372 - 
        Mar. 20) (BR. 01)

        5088551000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-187373 - Mar. 20) (BR. 01A)

        3037231277 - 0 ($1,500,000,000.00) Debt, (File 333-187374 - Mar. 20) 
        (BR. 11C)

        5706622121 - 300,000 ($14,850,000.00) Equity, (File 333-187380 - 
        Mar. 20) (BR. 07C)

N-2     Ares Multi-Strategy Credit Fund, Inc., 
        2000 AVENUE OF THE STARS, 12TH FLOOR, LOS ANGELES, CA, 90067, 
        (310) 201-4100 - 0 ($1,000,000.00) Equity, (File 333-187381 - Mar. 20) 
        (BR. 17)

F-3     Pointer Telocation Ltd, 14 HAMELACHA STREET, ROSH HA'AYIN, L3, 48091, 
        97235723111 - 0 ($25,000,001.00) Unallocated (Universal) Shelf, 
        (File 333-187384 - Mar. 20) (BR. 11C)

        SANTA MONICA, CA, 90401, 310-255-4493 - 0 ($1.00) Other, 
        (File 333-187385 - Mar. 20) (BR. 08C)

S-8     CUBIC CORP /DE/, 9333 BALBOA AVE, SAN DIEGO, CA, 92123, 858 623-0489 - 
        0 ($214,612,219.00) Equity, (File 333-187386 - Mar. 20) (BR. 10A)

S-3     ChemoCentryx, Inc., 850 MAUDE AVENUE, MOUNTAIN VIEW, CA, 94043, 
        650-210-2900 - 0 ($150,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-187387 - Mar. 20) (BR. 01B)

        (650) 610-4600 - 8,500,000 ($86,116,097.80) Equity, (File 333-187388 - 
        Mar. 20) (BR. 03B)

S-3     United States Commodity Index Funds Trust, 1320 HARBOR BAY PARKWAY, 
        SUITE 145, ALAMEDA, CA, 94502, 510-522-9600 - 0 ($1.00) Other, 
        (File 333-187389 - Mar. 20) (BR. 08C)

S-3     Resource Capital Corp., 712 FIFTH AVENUE, 12TH FLOOR, NEW YORK, NY, 
        10019, 212-506-3870 - 
        0 ($300,000,000.00) Unallocated (Universal) Shelf, (File 333-187390 - 
        Mar. 20) (BR. 08C)

        CHICAGO, IL, 60606, 3129178200 - 1,000 ($15,050.00) Equity, 
        (File 333-187391 - Mar. 20) (BR. 18)

S-3     SPHERIX INC, 6430 ROCKLEDGE DRIVE, #503, BETHESDA, MD, 20817, 
        301-897-2540 - 0 ($50,000,000.00) Equity, (File 333-187392 - Mar. 20) 
        (BR. 09B)

S-8     GenMark Diagnostics, Inc., 5964 LA PLACE COURT, CARLSBAD, CA, 92008, 
        (760) 448-4300 - 0 ($11,564,967.00) Equity, (File 333-187393 - Mar. 20) 
        (BR. 10A)

S-8     MERU NETWORKS INC, 894 ROSS DRIVE, SUNNYVALE, CA, 94089, 4083162379 - 
        0 ($8,983,509.66) Equity, (File 333-187394 - Mar. 20) (BR. 03B)

        92011, 760-710-3060 - 0 ($9,546,575.08) Equity, (File 333-187395 - 
        Mar. 20) (BR. 10B)

        (702) 939-0230 - 10,000,000 ($10,000,000.00) Equity, (File 333-187397 - 
        Mar. 20) (BR. 03A)

        785-575-6300 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-187398 - Mar. 20) (BR. 02B)


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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


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


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


Cost Associated with Exit or Disposal Activities


Material Impairments


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


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


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


Changes in Control of Registrant


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


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


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


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


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT


ACCURAY INC                             DE       5.02                 03/15/13

Aclor International, Inc.               DE       5.02                 07/01/12

ACORDA THERAPEUTICS INC                          8.01,9.01            03/20/13

ACTUANT CORP                            WI       2.02,9.01            03/20/13

ADCARE HEALTH SYSTEMS INC               OH       1.01                 03/14/13

AEHR TEST SYSTEMS                       CA       1.01,3.02            03/15/13

Altisource Residential Corp                      8.01,9.01            03/13/13

AMARANTUS BIOSCIENCE, INC.              DE       8.01,9.01            03/19/13

AMARU INC                               NV       4.01                 02/27/13

AMERICAN CORDILLERA MINING Corp         NV       1.01,7.01,9.01       02/05/13    AMEND

AMERICAN GRAPHITE TECHNOLOGIES INC.     NV       4.01,9.01            03/19/13

American Realty Capital Properties, I   MD       2.03,7.01,8.01,9.01  03/18/13

AMERISOURCEBERGEN CORP                  DE       1.01,3.02,3.03,7.01, 03/18/13

AMERISTAR CASINOS INC                   NV       7.01,9.01            03/20/13

Annie's, Inc.                           DE       7.01,9.01            03/19/13

ANSYS INC                               DE       5.02,9.01            03/14/13

Applied Nanotech Holdings, Inc          TX       8.01                 03/20/13

APRICUS BIOSCIENCES, INC.               NV       5.02,9.01            03/18/13

ARTS WAY MANUFACTURING CO INC           DE       5.02,9.01            03/18/13

Ascent Capital Group, Inc.              DE       7.01,9.01            03/14/13

ASTRO MED INC /NEW/                     RI       2.02,9.01            03/19/13

Avantair, Inc                           DE       5.02                 03/14/13

Bank of Commerce Holdings               CA       7.01                 03/20/13

BioDrain Medical, Inc.                  MN       3.02                 03/14/13

BIOVEST INTERNATIONAL INC               DE       2.03,9.01            03/14/13

BIRCH BRANCH INC                        CO       1.01,5.01,9.01       03/18/13

BMC SOFTWARE INC                        DE       5.03                 03/14/13

BON TON STORES INC                      PA       8.01,9.01            03/19/13

BOVIE MEDICAL CORP                      DE       5.02,9.01            03/14/13

BRAINSTORM CELL THERAPEUTICS INC.       DE       8.01                 03/20/13

CALGON CARBON CORPORATION               DE       7.01,9.01            03/20/13

Cardiovascular Systems Inc              DE       1.01,8.01,9.01       03/19/13

CARROLLTON BANCORP                      MD       8.01                 03/20/13

CATERPILLAR INC                         DE       7.01                 03/20/13

CATHAY GENERAL BANCORP                  DE       8.01,9.01            03/20/13

CC Media Holdings Inc                            5.02                 03/20/13

Cellular Biomedicine Group, Inc.        DE       5.02,8.01,9.01       03/14/13

CENTRAL EUROPEAN DISTRIBUTION CORP      DE       8.01                 03/20/13

CHAMPION INDUSTRIES INC                 WV       5.07                 03/20/13

CHIMERA INVESTMENT CORP                 DE       3.01,9.01            03/19/13

CHIMERA INVESTMENT CORP                 DE       7.01,9.01            03/20/13

CIMAREX ENERGY CO                       DE       5.02,9.01            03/19/13

CITY HOLDING CO                         WV       7.01,9.01            03/19/13

CLEAR CHANNEL COMMUNICATIONS INC        TX       5.02                 03/20/13

CMG HOLDINGS GROUP, INC.                NV       7.01                 03/20/13

CMS ENERGY CORP                         MI       5.02                 03/15/13

COLOMBIA ENERGY RESOURCES, INC.         DE       5.07,8.01,9.01       03/14/13

CombiMatrix Corp                        DE       1.01,3.01,3.03,5.03, 03/19/13
Computer Vision Systems Laboratories    FL       1.01,2.01,2.03,8.01, 03/14/13
Comstock Holding Companies, Inc.        DE       1.01,2.03,3.02       03/20/13

Con-way Inc.                            DE       8.01,9.01            03/19/13

CORNERSTONE THERAPEUTICS INC            DE       8.01,9.01            03/20/13

COVER ALL TECHNOLOGIES INC              DE       2.02,9.01            03/20/13

CPS TECHNOLOGIES CORP/DE/               DE       9.01                 12/29/12

CPS TECHNOLOGIES CORP/DE/               DE       2.02                 12/29/12

CVR Refining, LP                        DE       7.01,9.01            03/20/13

DAYSTAR TECHNOLOGIES INC                DE       5.02,9.01            03/20/13

Delek US Holdings, Inc.                          5.03,8.01,9.01       03/20/13

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01                 03/20/13

EDAC TECHNOLOGIES CORP                  WI       1.01,9.01            03/19/13

ENBRIDGE ENERGY PARTNERS LP             DE       8.01                 03/20/13

ENDEAVOUR INTERNATIONAL CORP            NV       7.01,9.01            03/20/13

EQUAL ENERGY LTD.                       A0       1.01,8.01,9.01       03/19/13

EQUITY ONE, INC.                                 3.03,5.03,9.01       03/15/13

Erickson Air-Crane Inc                  DE       1.01,2.03,3.02,9.01  03/18/13

Erickson Air-Crane Inc                  DE       7.01,9.01            03/20/13

EXTERRAN HOLDINGS INC.                  DE       5.03,9.01            03/15/13

FARMER BROTHERS CO                      CA       1.01,9.01            03/18/13

FARMERS & MERCHANTS BANCORP             DE       4.01,9.01            03/14/13

FEDEX CORP                              DE       2.02,9.01            03/20/13

FERRO CORP                              OH       7.01,9.01            03/20/13

FIRST BANCSHARES INC /MS/               MS       1.01,9.01            03/15/13

FIRST FINANCIAL CORP /IN/               IN       1.01,7.01,9.01       03/18/13

First Internet Bancorp                  IN       5.03,7.01,9.01       03/18/13

FIRST NIAGARA FINANCIAL GROUP INC       DE       5.02,9.01            03/19/13

FIRST REGIONAL BANCORP                  CA       8.01,9.01            03/14/13

FNB United Corp.                        NC       8.01,9.01            03/20/13

Ford Credit Auto Lease Trust 2013-A     DE       8.01,9.01            03/20/13

Fresh Market, Inc.                      DE       5.02,9.01            03/19/13

GENERAL DYNAMICS CORP                   DE       5.02,9.01            03/19/13

GENERAL ELECTRIC CO                     NY       5.02                 03/20/13

GENERAL MILLS INC                       DE       2.02,9.01            03/20/13

General Moly, Inc                       DE       8.01,9.01            03/20/13

Gevo, Inc.                              DE       5.02,9.01            03/14/13

Giggles N' Hugs, Inc.                   NV       4.02                 03/19/13

GOLD HILLS MINING, LTD.                          1.01,3.02,5.01,8.01, 03/07/13
GREAT CHINA MANIA HOLDINGS, INC.        FL       4.01,9.01            03/20/13

GREEN HYGIENICS HOLDINGS INC.           NV       1.01,3.02,9.01       03/15/13

GUESS INC                               DE       2.02,9.01            03/20/13

GUITAR CENTER HOLDINGS, INC.            DE       5.02,9.01            03/19/13

HAMPSHIRE GROUP LTD                     DE       2.02,9.01            03/15/13

HARTE HANKS INC                         DE       5.02,7.01,9.01       03/17/13

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       8.01                 03/19/13

HECLA MINING CO/DE/                     DE       8.01,9.01            03/20/13

Helmer Directional Drilling Corp.       NV       1.01,2.01,3.02,5.01, 03/14/13

Hillenbrand, Inc.                       IN       5.02,7.01,9.01       03/20/13

HOLLY ENERGY PARTNERS LP                         1.01,7.01,9.01       03/19/13

HOLOGIC INC                             DE       1.01,2.03,9.01       03/20/13

IGATE CORP                              PA       5.02,9.01            03/15/13

IGI LABORATORIES, INC                   DE       7.01,9.01            03/20/13

Ignite Restaurant Group, Inc.                    2.02,9.01            03/20/13

Immunovative, Inc.                      FL       5.02,9.01            03/19/13

Infusion Brands International, Inc.     NV       5.02,9.01            02/18/13

INTERSECTIONS INC                       DE       2.02,7.01,9.01       03/18/13

INTERSTATE POWER & LIGHT CO             IA       5.03,8.01,9.01       03/14/13

IPASS INC                               DE       5.02                 03/18/13

IRON MOUNTAIN INC                       DE       5.02                 03/14/13

ISC8 INC. /DE                           DE       5.02,8.01,9.01       03/08/13

IVANHOE ENERGY INC                               2.02,9.01            03/18/13

IVANHOE ENERGY INC                               7.01,9.01            03/20/13

IVANHOE ENERGY INC                               7.01,9.01            03/20/13

J C PENNEY CO INC                       DE       8.01                 03/18/13

J CREW GROUP INC                        DE       2.02,9.01            03/20/13

JABIL CIRCUIT INC                       DE       2.02,9.01            03/20/13

Kennedy-Wilson Holdings, Inc.           DE       8.01,9.01            03/20/13

KMG CHEMICALS INC                       TX       8.01                 03/15/13

KOPIN CORP                              DE       7.01,9.01            03/20/13

Kraft Foods Group, Inc.                          7.01,9.01            03/20/13

Landmark Apartment Trust of America,             4.02                 03/18/13

LENNAR CORP /NEW/                       DE       2.02,9.01            03/20/13

LEXINGTON REALTY TRUST                  MD       7.01,8.01,9.01       03/19/13

LIBERATED ENERGY, INC.                           7.01,9.01            03/20/13

LODGENET INTERACTIVE CORP               DE       7.01,9.01            03/15/13

LORILLARD, INC.                         DE       7.01,9.01            03/20/13

MAGNETEK, INC.                          DE       5.02                 03/18/13

MASS MEGAWATTS WIND POWER INC           MA       2.02,9.01            03/20/13

MDC PARTNERS INC                        A6       1.01,1.02,2.03,3. 03/20/13
MEDIFAST INC                            DE       7.01,9.01            03/19/13

MedPro Safety Products, Inc.            NV       5.02                 03/18/13

MELA SCIENCES, INC. /NY                          1.01                 03/19/13

MFRI INC                                DE       1.01                 03/15/13

MICRONET ENERTEC TECHNOLOGIES, INC.     DE       5.03,9.01            03/14/13

MILLER ENERGY RESOURCES, INC.           TN       5.02,5.07,7.01,8.01, 03/18/13
MILLER HERMAN INC                       MI       2.02,9.01            03/20/13

MOBILE MINI INC                         DE       5.02,9.01            03/18/13

MOLSON COORS BREWING CO                 DE       1.01,2.03,9.01       03/19/13

MOSAIC CO                                        8.01,9.01            03/19/13

MOTRICITY INC                           DE       8.01                 03/15/13

Mount Knowledge Holdings, Inc.          NV       1.01                 03/19/13

MRC GLOBAL INC.                         DE       8.01,9.01            03/19/13

Mueller Water Products, Inc.            DE       7.01,9.01            03/20/13

MWI Veterinary Supply, Inc.             DE       1.01,9.01            03/15/13

NATIONAL BANCSHARES CORP /OH/           OH       8.01,9.01            03/19/13

NATIONAL BANKSHARES INC                 VA       4.02                 03/20/13

NAUTILUS, INC.                          WA       5.02                 03/14/13

NAVISTAR INTERNATIONAL CORP             DE       1.01,9.01            03/18/13

NEOPHOTONICS CORP                       DE       5.02,8.01            03/15/13

NeoStem, Inc.                           DE       8.01,9.01            03/19/13

New Source Energy Partners L.P.         DE       1.01,5.01,7.01,9.01  03/15/13

NEWS CORP                                        8.01,9.01            03/20/13

NGP Capital Resources Co                MD       7.01,9.01            03/20/13

NICHOLAS FINANCIAL INC                  FL       7.01,9.01            03/20/13

Noranda Aluminum Holding CORP           DE       8.01                 03/12/13

Nova Lifestyle, Inc.                    NV       8.01,9.01            03/20/13

Novus Robotics Inc.                     NV       1.01,2.01,3.02,5.01, 02/01/12    AMEND
Obagi Medical Products, Inc.            DE       1.01,8.01,9.01       03/19/13

Omega Flex, Inc.                        PA       2.02,7.01,9.01       03/19/13

Opko Health, Inc.                       DE       5.02                 03/18/13

ORACLE CORP                                      2.02,9.01            03/20/13

ORMAT TECHNOLOGIES, INC.                DE       8.01,9.01            03/20/13

OvaScience, Inc.                        DE       8.01                 03/19/13

OVERSTOCK.COM, INC                      DE       5.02,7.01            01/14/13    AMEND

PACIFIC SUNWEAR OF CALIFORNIA INC       CA       2.02,9.01            03/20/13

PASSPORT POTASH INC                     A1       2.03,3.02,7.01,8.01, 03/14/13 
Petro River Oil Corp.                   DE       8.01,9.01            03/20/13

PHH CORP                                MD       5.02                 03/02/13    AMEND

PLUMAS BANCORP                          CA       2.02,9.01            03/20/13

PNM RESOURCES INC                       NM       8.01,9.01            03/19/13

Prothena Corp plc                       L2       5.02,9.01            03/16/13

QCR HOLDINGS INC                        DE       8.01,9.01            03/20/13

QUANTUM MATERIALS CORP.                 NV       5.07                 03/18/13

QUIKSILVER INC                          DE       5.02,5.07,9.01       03/19/13

RadNet, Inc.                            DE       8.01,9.01            03/20/13

Rangeford Resources, Inc.               NV       7.01,9.01            03/19/13

RAYMOND JAMES FINANCIAL INC             FL       5.02,9.01            03/15/13

RAYMOND JAMES FINANCIAL INC             FL       7.01,9.01            03/20/13

RiceBran Technologies                   CA       1.01,9.01            03/14/13

ROCKWELL MEDICAL, INC.                  MI       1.01,9.01            03/20/13

Rosetta Resources Inc.                  DE       1.01                 03/20/13

RVUE HOLDINGS, INC.                     NV       5.02,8.01,9.01       02/16/13

S Y BANCORP INC                         KY       5.02,9.01            03/19/13

S&W Seed Co                             NV       1.01,5.02,8.01,9.01  03/14/13

Sagent Pharmaceuticals, Inc.            DE       5.02,8.01,9.01       03/19/13

SANTEON GROUP, INC.                     DE       2.02,9.01            03/20/13

SCRIPPS E W CO /DE                      OH       5.01                 03/14/13

Scripps Networks Interactive, Inc.      OH       5.01                 03/14/13

SEALY CORP                              DE       1.02,2.01,3.01,3.03, 03/18/13
SEALY CORP                              DE       1.01,2.03,7.01,9.01  03/18/13

Sensata Technologies Holding N.V.       P7       1.01,1.02            03/14/13

Sequoia Mortgage Trust 2013-4                    8.01,9.01            03/01/13

SHERWIN WILLIAMS CO                     OH       1.01,2.03,9.01       03/18/13

Shire plc                                        8.01,9.01            03/20/13

Sonora Resources Corp.                  NV       2.01,2.03,9.01       03/15/13

Soul & Vibe Interactive Inc.            NV       4.01,9.01            03/20/13    AMEND

SPAR GROUP INC                          DE       2.01,8.01,9.01       03/16/13

Spectra Energy Corp.                    DE       8.01,9.01            03/14/13

Spy Inc.                                DE       9.01                 03/20/13

STAKOOL, INC.                           NV       1.01,5.01,5.02,9.01  03/15/13

StarTek, Inc.                           DE       7.01,9.01            03/19/13

STEEL DYNAMICS INC                      IN       8.01,9.01            03/18/13

STRATS SM TRUST FOR Goldman Sachs Cap            8.01,9.01            03/15/13

STRATS SM TRUST FOR GOLDMAN SACHS GRO            8.01,9.01            03/15/13

STRATS SM TRUST FOR JPMORGAN CHASE &             8.01,9.01            03/15/13

STRATS SM TRUST FOR WAL-MART STORES,             8.01,9.01            03/15/13

STRATS(SM) TRUST FOR DOMINION RESOURC            8.01,9.01            03/15/13

STRATS(SM) TRUST FOR GEN ELEC CAP COR            8.01,9.01            03/15/13

STRATS(SM) Trust For Goldman Sachs Ca            8.01,9.01            03/15/13

SUN COMMUNITIES INC                     MD       8.01,9.01            03/20/13

SunCoke Energy, Inc.                             8.01,9.01            03/18/13

SUPERTEL HOSPITALITY INC                VA       2.02,9.01            03/20/13

SurePure, Inc.                          NV       1.01,2.01,3.02,4.01, 12/12/12    AMEND
Swingplane Ventures, Inc.               NV       4.01,9.01            03/19/13

SYNCHRONOSS TECHNOLOGIES INC                     5.02                 03/15/13

T3 Motion, Inc.                         DE       3.01,9.01            03/15/13

TAIWAN FUND INC                         DE       7.01,9.01            02/28/13

THERAVANCE INC                          DE       8.01                 03/20/13

THL Credit, Inc.                        DE       1.01,2.03,9.01       03/15/13

TILLY'S, INC.                           DE       2.02,9.01            03/20/13

TOR MINERALS INTERNATIONAL INC          DE       5.02                 03/15/13

TRIMBLE NAVIGATION LTD /CA/             CA       3.03,5.02,5.03,9.01  03/14/13

TRUE RELIGION APPAREL INC               DE       5.02,9.01            03/19/13

Tumi Holdings, Inc.                     DE       2.02,9.01            03/20/13

U S PRECIOUS METALS INC                 DE       1.01,1.02            03/14/13

Universal Business Payment Solutions    DE       8.01                 03/15/13

UNS Energy Corp                         AZ       7.01,9.01            03/20/13

VALERO ENERGY CORP/TX                   DE       7.01,9.01            03/19/13

Vantage Drilling CO                     E9       8.01,9.01            03/20/13

VERAMARK TECHNOLOGIES INC               DE       5.02                 03/14/13

VERMILLION, INC.                        DE       5.02,9.01            03/18/13

VRDT Corp                               DE       5.02,5.06,9.01       08/31/12

WALGREEN CO                             IL       1.01,8.01,9.01       03/18/13

WALT DISNEY CO/                         DE       8.01,9.01            03/15/13

Weatherford International Ltd./Switze   V8       8.01                 03/19/13

WELLS FARGO & COMPANY/MN                DE       9.01                 03/20/13

WESTMOUNTAIN GOLD, INC.                 CO       2.03                 03/20/13

WEX Inc.                                         1.01,8.01,9.01       03/18/13

WFRBS COMMERCIAL MORTGAGE TRUST 2013-   NC       8.01,9.01            03/20/13

WHEELCHAIR ADL SOLUTIONS                NV       4.01,9.01            03/15/13

Whitestone REIT                         TX       5.02,9.01            03/19/13

WINLAND ELECTRONICS INC                 MN       3.01,9.01            03/20/13

WSFS FINANCIAL CORP                     DE       8.01                 03/19/13

ZAIS Financial Corp.                    MD       7.01,9.01            03/20/13

Zeltiq Aesthetics Inc                   DE       5.02                 03/14/13



Modified: 03/21/2013