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Commission AnnouncementsNational Exam Program Director Carlo V. Di Florio to Leave CommissionThe Securities and Exchange Commission (Commission) today announced that Carlo V. di Florio will leave the agency after leading its National Exam Program for more than three years. Mr. di Florio will depart next month to lead a new division of risk and strategy at the Financial Industry Regulatory Authority (FINRA). “Carlo has been an outstanding leader of the National Exam Program and has made a lasting impact on the SEC by working with his team to comprehensively strengthen the agency’s examination program,” said Mary Jo White, Chair of the SEC. “Under his leadership, the program recruited experts, implemented risk and quantitative analytics units, deployed new technology and strengthened industry risk governance practices. Carlo also has shown tremendous leadership in strengthening partnership and coordination among regulators nationally and internationally.” Mr. di Florio said, “It has been a great honor and privilege to serve alongside such a talented and dedicated team of exam professionals, who work tirelessly to protect the investing public and our markets by monitoring risk, promoting compliance, preventing fraud, and informing policy as the eyes and ears of the SEC in the field. I would like to express my appreciation to my colleagues across the agency for their outstanding teamwork and collaboration, and I appreciate the leadership and support of the various chairmen and commissioners under whom I have served.” Mr. di Florio was appointed Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE) in January 2010 and took the helm of the National Exam Program, which is comprised of a multidisciplinary team of more than 900 staff in 12 offices across the country. The National Exam Program’s mission is to protect investors, ensure market integrity and promote capital formation by promoting compliance, preventing fraud, monitoring risk and informing policy. SEC examiners conduct risk-targeted exams of regulated entities including broker-dealers, investment advisers, clearing agencies, transfer agents and self-regulatory organizations. In addition to promoting compliance, monitoring risk, and informing policy, SEC exams also help prevent fraud and facilitate enforcement actions against insider trading, market manipulation, Ponzi schemes, abusive sales practices, conflicts of interest, and other violations of the federal securities laws. Mr. di Florio led a comprehensive restructuring of the National Exam Program to strengthen the program’s strategy, structure, expertise, processes, and technology. He has played a leadership role in strengthening coordination and collaboration among securities and banking regulators nationally and internationally. Under Mr. di Florio’s stewardship, the collaborative restructuring of OCIE into a National Exam Program implemented a broad spectrum of improvements and best practices:
In 2012, Mr. di Florio was recognized as one of the “100 Most Influential Corporate Governance Leaders” by The National Association of Corporate Directors. Prior to joining the SEC in 2010, Mr. di Florio was a partner in the Financial Services Risk & Regulatory Practice at PricewaterhouseCoopers (PwC) in New York, where he was a national leader in corporate governance, enterprise risk management, compliance, and ethics. Mr. di Florio, 46, received his LL.M with distinction from Georgetown University Law Center, his J.D. from Penn State University’s Dickinson School of Law, and his B.A. in Political Economy from Tulane University. (Press Rel. 2013-80) Commission Names Andrew Bowden as Director of National Exam ProgramThe Commission today announced that Andrew J. Bowden has been named Director of the agency’s Office of Compliance Inspections and Examinations (OCIE) and will lead its National Exam Program. Mr. Bowden joined the SEC in November 2011 as the National Associate Director for OCIE’s Investment Adviser/Investment Company Examination Program, and he was appointed Deputy Director of OCIE in September 2012. He will succeed Carlo di Florio, whose departure was announced today. “Drew has shown true leadership overseeing our investment adviser/investment company examination program and serving as deputy in the office,” said Mary Jo White, Chair of the SEC. “Drew also has been very engaged in strengthening employee engagement, training and development. During his time here, he has earned the trust and confidence of his colleagues, our regulatory partners, and the industry. His dedication, judgment, and leadership will serve him well as he takes on his new post leading an aggressive, effective examination program.” Mr. Bowden said, “I am grateful for this opportunity to continue to work with the talented and dedicated team in OCIE, Chairman White and the Commissioners, our colleagues across the agency, and our fellow regulators. I also want to commend Carlo for all he has done for investors and the SEC over the last three years.” The SEC’s National Exam Program conducts inspections and examinations of SEC-registered investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, and transfer agents. OCIE has adopted a risk-focused examination program, hired industry experts, leveraged technology to increase efficiency, and launched a training program focused on quality and consistency. These initiatives have enabled OCIE to more effectively fulfill its mission to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy. Before joining the SEC, Mr. Bowden worked in private law practice, chiefly on legal, regulatory, and compliance issues involving broker-dealer activities. He spent 17 years at Legg Mason in a variety of legal, compliance, and senior business roles related to Legg Mason’s broker-dealer and investment management businesses and served on the Board of Governors and Executive Committee of the Investment Advisers Association. Mr. Bowden, 51, received his law degree, cum laude, from the University of Pennsylvania Law School and his bachelor’s degree, summa cum laude, from Loyola University in Baltimore. (Press Rel. 2013-81) Commission Announces Departure of Senior Enforcement Official David P. Bergers after 13 Years of Federal ServiceThe Commission today announced that David P. Bergers, Acting Deputy Director of the SEC’s Enforcement Division and Director of the Boston Regional Office, will be leaving the agency this spring after 13 years of federal service. “David has been a tremendous asset to the agency, both as the head of the Boston Regional Office and as Acting Deputy Director,” said Mary Jo White, Chair of the SEC. “Not only does he have a deep understanding of the laws we enforce, but he also has a deep appreciation for the mission of the SEC. Additionally, David is highly regarded for his ability to cultivate strong collaborative relationships within the agency as well as with criminal law enforcement colleagues, state regulators, and self-regulatory organizations across the country.” George S. Canellos, Co-Director of the SEC’s Division of Enforcement, said, “David is a uniquely talented attorney who combines intelligence and experience with a genuine passion for innovation and a true concern for supporting the efforts of SEC staff around the country. His willingness to roll up his sleeves and tackle any issue made him an ideal Acting Deputy Director and I’m honored to have served with him.” Mr. Bergers said, “I have been incredibly fortunate to serve alongside the agency’s talented and dedicated staff working hard every day to protect investors.” Appointed as Acting Deputy Director of Enforcement in January, Mr. Bergers has helped set enforcement priorities and supervise the civil law enforcement efforts of more than 1,200 SEC staff in 12 offices across the country. He helped oversee all investigative and litigation activities within the Enforcement Division, including the Office of Market Intelligence, Office of the Whistleblower, and five specialized units – Asset Management, Foreign Corrupt Practices Act, Market Abuse, Municipal Securities and Public Pension Funds, and Structured and New Products. As Director of the Boston Regional Office, Mr. Bergers has been overseeing the SEC’s enforcement and examination programs in Massachusetts, Connecticut, New Hampshire, Maine, Vermont, and Rhode Island. The Boston office oversees more than 1,100 investment advisers, 60 mutual fund complexes, and 375 broker-dealers, including more than 200 investment advisers who recently registered with the SEC following the passage of the Dodd-Frank Act. Mr. Bergers served at the SEC from 1998 to 2000 and returned in 2001, ascending through various enforcement positions until becoming head of SEC enforcement in Boston. He was appointed Regional Director of the Boston office in 2006. Mr. Bergers has led hundreds of SEC investigations into investment and financial fraud, insider trading, and other securities law violations. During the past four years, he played leadership roles in the reorganization of the Division of Enforcement and the Office of Compliance Inspections and Examinations (OCIE), and also helped write the rules for the SEC’s new national whistleblower program. Since 2010, Mr. Bergers has served on OCIE’s Executive Committee, which is responsible for setting policy and direction for the national examination program. Mr. Bergers, 45, received the SEC’s Stanley Sporkin Award in 2010, the Law and Policy Award in 2011, and the SEC-NTEU Labor-Management Relations Award in 2011 and 2012. He received a Lawyer of the Year Award from Massachusetts Lawyers Weekly in 2006. Mr. Bergers previously practiced at law firms in Philadelphia and Boston, and served as a vice president and assistant general counsel of a regional broker-dealer and primary counsel to an affiliated investment adviser. Mr. Bergers obtained his bachelor’s degree in 1989 from Eastern Nazarene College, and earned his law degree in 1992 at Yale Law School. * * * Following the departure of Mr. Bergers, John T. Dugan will become the Acting Director of the Boston Regional Office. Mr. Dugan has served at the SEC since 1999, and was appointed Associate Regional Director for Enforcement in Boston in 2006. (Press Rel. 2013-79) Commission MeetingsClosed Meeting on Thursday, May 9, 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 PROCEEDINGSCommission Charges Gatekeepers of Two Mutual Fund Trusts for Inaccurate Disclosures about Decisions on Behalf of ShareholdersThe Exchange Commission today charged the gatekeepers of a pair of mutual fund trusts with causing untrue or misleading disclosures about the factors they considered when approving or renewing investment advisory contracts on behalf of shareholders. Some trusts are created as turnkey mutual fund operations that launch numerous funds to be managed by different unaffiliated advisers and overseen by a single board of trustees. The federal securities laws require all mutual fund directors to evaluate and approve a fund’s contract with its investment adviser, and the funds must report back to shareholders about the material factors considered by the directors in making these decisions. The SEC Enforcement Division’s Asset Management Unit has been taking a widespread look into the investment advisory contract renewal process and fee arrangements in the fund industry. An SEC investigation that arose from an examination of the Northern Lights Fund Trust and the Northern Lights Variable Trust found that some of the trusts’ shareholder reports either misrepresented material information considered by the trustees or omitted material information about how they evaluated certain factors in reaching their decisions on behalf of the funds and their shareholders. The trustees and the trusts’ chief compliance officer Northern Lights Compliance Services (NLCS) were responsible for causing violations of the SEC’s compliance rule, and the trusts’ fund administrator Gemini Fund Services (GFS) caused violations of the Investment Company Act recordkeeping and reporting provisions. The firms and the trustees have agreed to settle the SEC’s charges. “Determining the terms of the investment advisory contract, especially compensation of the adviser, is one of the most critical duties of a mutual fund board,” said George S. Canellos, Co-Director of the SEC’s Division of Enforcement. “We will aggressively enforce investors’ rights to accurate and complete information about the board’s process and decision-making.” The five trustees named in the SEC enforcement action are: Michael Miola of Arizona, Lester M. Bryan of Utah, Anthony J. Hertl of Florida, Gary W. Lanzen of Nevada, and Mark H. Taylor of Ohio. According to the SEC’s order instituting settled administrative proceedings, the Northern Lights trusts included up to 71 mutual fund series from January 2009 to December 2010, most of which were managed by different advisers and sub-advisers. The trustees conducted 15 board meetings during that time period, and made decisions about 113 advisory and 32 sub-advisory contracts during what’s known as the 15(c) process. Section 15(c) of the Investment Company Act requires fund directors to request and evaluate information that is reasonably necessary to evaluate the terms of any contract for an investment adviser of a registered investment company. The SEC’s order found that some boilerplate disclosures related to the 15(c) process that were included by GFS in some fund series shareholder reports contained untrue or misleading information. For example, one disclosure claimed that the trustees had considered peer group information about the advisory fee, however no such data had been provided to the trustees. Other disclosures misleadingly indicated that the fund’s advisory fee was not materially higher than its peer group range, when in fact the fee was nearly double the peer group’s mean fee or even higher. GFS failed to ensure that certain shareholder reports contained the required disclosures about the trustees’ evaluation process and failed to ensure that certain series within the trusts maintained and preserved their 15(c) files. The SEC’s order also found that certain mutual fund series did not follow their policies and procedures for the trustees’ approval of the investment advisers’ compliance programs. Fund boards are required to approve the policies and procedures of service providers to a fund, including its adviser. The policies and procedures of each series within the Northern Lights trusts stated that the trustees could approve the compliance program of each series’ investment adviser based on their review of an adviser’s compliance manual or based on a summary provided by NLCS that familiarized them with the salient features of the compliance program and provided a good understanding of how the program addressed particularly significant compliance risks. Rather than following this process, the trustees’ approval of the advisers’ compliance programs was based primarily on their review of a brief written statement prepared by NLCS saying that the advisers’ compliance manuals were “sufficient and in use” and a verbal representation by NLCS that such manuals were adequate. “These violations make clear that turnkey mutual fund arrangements can pose significant governance concerns, and trustees must be vigilant in ensuring that the funds they oversee meet their disclosure, compliance, reporting, and recordkeeping obligations,” said Marshall S. Sprung, Deputy Chief of the SEC Enforcement Division’s Asset Management Unit. The SEC’s order finds that GFS caused violations of Sections 30(e) and 31(a) of the Investment Company Act and Rules 30e-1 and 31a-2(a)(6); NLCS and the trustees caused violations of Rule 38a-1(a)(1) under the Investment Company Act; and the trustees caused violations of Section 34(b) of the Investment Company Act. Without admitting or denying the SEC’s findings, GFS and NLCS each agreed to pay $50,000 penalties, and the firms and trustees agreed to engage an independent compliance consultant to address the violations found in the SEC’s order. They agreed to cease and desist from committing or causing any violations and any future violations of those provisions. (Press Rel. 2013-78; IC-30502; File No. 3-15313) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NYSE Arca, Inc. (SR-NYSEARCA-2013-46) to amend the NYSE Arca Options Fee Schedule to Raise the Take Liquidity Fee for Firm and Broker Dealer Electronic Executions in Penny Pilot Issues 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 May 7th. (Rel. 34-69487) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-38) amending NYSE Amex Options Fee Schedule for Firms to increase the transaction fee for certain proprietary electronic executions and to introduce volume-based tiers for certain proprietary electronic executions 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 May 7th. (Rel. 34-69488) A proposed rule change (SR-NYSEMKT-2013-39) filed by NYSE MKT LLC to amend the NYSE Amex Options Fee Schedule to modify the existing floor broker rebate for executed qualified contingent cross orders 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 May 7th. (Rel. 34-69489) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2013-11) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of May 7th. (Rel. 34-69481) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2013-14) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the notice is expected to be made in the Federal Register during the week of May 7th. (Rel. 34-69482) A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to fingerprint-based background checks of Exchange directors, officers, employees and others (SR-CBOE-2013-044) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of May 7th. (Rel. 34-69496). SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. F-10 SHAW COMMUNICATIONS INC, STE 900, 630 3RD AVE SW, CALGARY ALBERTA CANA,
A0, 4037504500 - 0 ($3,894,839,338.00) Unallocated (Universal) Shelf,
(File 333-188260 - May. 1) (BR. 11C)
F-3ASR CNOOC LTD, BANK OF CHINA TOWER, 65TH FLOOR 1 GARDEN RD, HONG KONG, K3,
00000, 0 ($0.00) Debt, (File 333-188261 - May. 1) (BR. 04B)
S-1 BIOMET INC, 56 EAST BELL DR, WARSAW, IN, 46582, 5742676639 -
0 ($1.00) Other, (File 333-188262 - May. 1) (BR. 10A)
S-4 OFFSHORE GROUP INVESTMENT Ltd, P.O. BOX 309, UGLAND HOUSE,
GRAND CAYMAN, E9, KY1-1104, (281) 404-4700 -
0 ($775,000,000.00) Non-Convertible Debt, (File 333-188263 - May. 1)
(BR. 04A)
S-8 PACKAGING CORP OF AMERICA, 1955 W FIELD CT, LAKE FOREST, IL, 60045,
8474823000 - 0 ($93,100,000.00) Equity, (File 333-188265 - May. 1)
(BR. 04B)
S-8 1ST SOURCE CORP, 100 NORTH MICHIGAN STREET, SOUTH BEND, IN, 46601,
5742352702 - 100,000 ($2,374,000.00) Equity, (File 333-188266 - May. 1)
(BR. 07B)
S-8 Charter Financial Corp, 1233 O.G. SKINNER DRIVE, WEST POINT, GA, 31833,
(706) 645-1391 - 764,850 ($6,587,184.00) Equity, 693,417 ($0.01) Other,
(File 333-188268 - May. 1) (BR. 07)
S-8 ROWAN COMPANIES PLC, MITRE HOUSE 160, ALDERSGATE STREET, LONDON, X0,
EC1A 4DD, 7139607640 - 7,500,000 ($238,500,000.00) Equity,
(File 333-188272 - May. 1) (BR. 04B)
S-1 CareView Communications Inc, 405 STATE HIGHWAY 121, SUITE B-240,
LEWISVILLE, TX, 75067, 972-943-6050 - 8,720,000 ($4,708,800.00) Equity,
(File 333-188273 - May. 1) (BR. 11A)
S-8 COMERICA INC /NEW/, 1717 MAIN STREET MC6404, ATTN: DARLENE PERSONS,
DALLAS, TX, 75201, 214-462-6831 - 3,850,000 ($138,561,500.00) Equity,
(File 333-188274 - May. 1) (BR. 12A)
S-3 Digital Cinema Destinations Corp., 250 E. BROAD STREET, WESTFIELD, NJ,
07090, 908-396-1362 - 10,504,507 ($10,504,507.00) Equity,
(File 333-188275 - May. 1) (BR. 05A)
S-8 LINKEDIN CORP, 2029 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043,
650-687-3600 - 9,182 ($133,139.00) Equity, (File 333-188276 - May. 1)
(BR. 03C)
S-1 ASPEN GROUP, INC., 720 SOUTH COLORADO BOULEVARD, SUITE 1150N, DENVER,
CO, 95765, 646-450-1843 - 2,572,823 ($1,286,412.00) Equity,
(File 333-188277 - May. 1) (BR. 11C)
RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ------------------------------------------------------------------------------------------ 3D SYSTEMS CORP DE 8.01,9.01 05/01/13 Acadia Healthcare Company, Inc. DE 2.02,9.01 05/01/13 ACCESS MIDSTREAM PARTNERS LP DE 2.02,9.01 04/30/13 ACTIVE NETWORK INC DE 2.02,5.02,8.01,9.01 04/30/13 ADCARE HEALTH SYSTEMS INC OH 5.02 04/25/13 ADT Corp DE 2.02,9.01 05/01/13 ADVANCED CELL TECHNOLOGY, INC. DE 1.01,3.02,9.01 04/25/13 ADVANT E CORP DE 8.01,9.01 05/01/13 Affinia Group Intermediate Holdings I DE 1.01,2.03,9.01 04/25/13 AGENUS INC DE 8.01,9.01 05/01/13 AGL RESOURCES INC GA 5.07 04/30/13 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 05/01/13 ALIMERA SCIENCES INC DE 8.01 05/01/13 ALL GRADE MINING, INC. CO 4.01 03/28/13 AMEND ALLBRITTON COMMUNICATIONS CO DE 8.01,9.01 05/01/13 ALLERAYDE SAB, INC. FL 5.03,9.01 04/30/13 ALLERGAN INC DE 2.02,9.01 05/01/13 ALLERGAN INC DE 5.07 04/30/13 ALLSTATE CORP DE 2.02,9.01 05/01/13 Ally Financial Inc. DE 2.02,9.01 05/01/13 Alon USA Energy, Inc. DE 2.02,9.01 04/30/13 Alon USA Partners, LP DE 2.02,9.01 04/30/13 AMARU INC NV 4.02,9.01 04/18/13 AMEND AMBASSADORS GROUP INC DE 2.02,9.01 03/31/13 AMERICAN DG ENERGY INC DE 2.02 04/30/13 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02,9.01 05/01/13 AMERICAN POWER GROUP Corp DE 5.07 04/25/13 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 05/01/13 AMERIGAS PARTNERS LP DE 2.02,7.01,9.01 04/30/13 AMERISAFE INC TX 2.02,9.01 05/01/13 AMERITRANS CAPITAL CORP DE 1.03,2.01,2.03,9.01 04/25/13 Amtrust Financial Services, Inc. DE 2.02,9.01 05/01/13 ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 05/01/13 AnythingIT, Inc. DE 2.01,7.01,9.01 05/01/13 APRIA HEALTHCARE GROUP INC DE 2.02,9.01 05/01/13 APT Systems Inc 4.01,9.01 05/01/13 Arlington Asset Investment Corp. VA 1.01,2.03,9.01 05/01/13 ARRIS GROUP INC DE 5.02 04/25/13 ARROW ELECTRONICS INC NY 2.02,9.01 05/01/13 ARROWHEAD RESEARCH CORP DE 1.01,3.02, 04/29/13 5.03,8.01,9.01 ASPEN GROUP, INC. DE 5.03 04/25/13 ASSOCIATED MATERIALS, LLC DE 1.01,2.03 05/01/13 ASTROTECH Corp \WA\ WA 5.07,9.01 04/26/13 ATHENAHEALTH INC DE 5.02 04/25/13 Athens Bancshares Corp 2.02,9.01 04/30/13 ATMEL CORP DE 2.02,9.01 05/01/13 ATMOS ENERGY CORP TX 2.02,9.01 05/01/13 ATWOOD OCEANICS INC TX 7.01,9.01 05/01/13 ATWOOD OCEANICS INC TX 2.02,9.01 05/01/13 AUTOINFO, INC DE 2.01,3.03,5.01,5.02, 04/25/13 5.03,5.07,9.01 AVALONBAY COMMUNITIES INC MD 2.02,9.01 04/30/13 AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 05/01/13 AVIS BUDGET GROUP, INC. DE 2.02,9.01 05/01/13 AVISTA CORP WA 2.02,9.01 05/01/13 AxoGen, Inc. MN 2.02,9.01 04/30/13 AXT INC DE 2.02,9.01 05/01/13 Baltic Trading Ltd 1T 2.02,9.01 05/01/13 BB&T CORP NC 5.03,8.01,9.01 04/29/13 Be Active Holdings, Inc. DE 3.02,9.01 04/25/13 BEL FUSE INC /NJ NJ 2.02,9.01 05/01/13 BioDrain Medical, Inc. MN 1.01,9.01 04/25/13 BIOZONE PHARMACEUTICALS, INC. NV 3.02,9.01 04/25/13 BLACKBAUD INC 2.02,9.01 05/01/13 BlueLinx Holdings Inc. DE 2.02,9.01 05/01/13 BOB EVANS FARMS INC DE 2.02,4.02,9.01 05/01/13 BOK FINANCIAL CORP ET AL OK 2.02,9.01 04/30/13 BOSTON BEER CO INC MA 2.02,9.01 05/01/13 BOSTON PROPERTIES INC DE 2.02,9.01 04/30/13 BOSTON PROPERTIES LTD PARTNERSHIP DE 2.02,9.01 04/30/13 BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 04/30/13 Bridgeline Digital, Inc. DE 5.07 04/26/13 BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 05/01/13 Brookdale Senior Living Inc. DE 2.02,7.01,9.01 05/01/13 BUCKEYE TECHNOLOGIES INC DE 2.02,7.01,9.01 04/30/13 C&J Energy Services, Inc. DE 2.02,7.01,9.01 05/01/13 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 05/01/13 CAESARS ENTERTAINMENT Corp DE 2.02,9.01 05/01/13 CALIFORNIA WATER SERVICE GROUP DE 2.02,9.01 05/01/13 CAMDEN NATIONAL CORP ME 5.07 05/01/13 Cardiovascular Systems Inc DE 2.02,9.01 05/01/13 CASTLE A M & CO MD 8.01 04/30/13 CBEYOND, INC. 2.02,9.01 05/01/13 CBS CORP DE 2.02,9.01 05/01/13 CDW Corp DE 1.01,1.02,2.03,9.01 04/29/13 CENTERPOINT ENERGY INC 5.02,9.01 04/25/13 CENTRAL EUROPEAN DISTRIBUTION CORP DE 1.01 04/26/13 CENTRAL PACIFIC FINANCIAL CORP HI 5.02,5.07,9.01 04/26/13 Ceres Ventures, Inc. NV 1.01,2.01,5.02,9.01 04/26/13 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/01/13 Chefs' Warehouse, Inc. DE 1.01,2.01,7.01,9.01 05/01/13 Chemtura CORP DE 2.01,9.01 04/30/13 CHESAPEAKE ENERGY CORP OK 2.02,9.01 05/01/13 CHOICE HOTELS INTERNATIONAL INC /DE DE 5.02,5.03,5.07,9.01 04/26/13 Chrysler Group LLC DE 8.01,9.01 05/01/13 CITIGROUP INC DE 9.01 05/01/13 CLEAN HARBORS INC MA 2.02,9.01 05/01/13 Clearwire Corp /DE DE 2.03,8.01,9.01 05/01/13 CLOROX CO /DE/ DE 2.02,7.01,9.01 05/01/13 CNL LIFESTYLE PROPERTIES INC MD 8.01,9.01 04/30/13 COMCAST CORP PA 2.02,9.01 05/01/13 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 05/01/13 Comverse, Inc. DE 2.02,5.08,8.01,9.01 04/29/13 Con-way Inc. DE 2.02,9.01 05/01/13 CONCUR TECHNOLOGIES INC DE 2.02,9.01 05/01/13 CONSTELLATION BRANDS, INC. DE 5.02,9.01 04/26/13 CONTANGO OIL & GAS CO DE 8.01,9.01 04/29/13 CONTANGO OIL & GAS CO DE 1.01,5.01,5.02,9.01 04/29/13 Copano Energy, L.L.C. 2.01,3.01,3.03,4.01, 04/30/13 5.01,5.02,5.03,5.07,9.01 Copano Energy, L.L.C. 1.02,8.01,9.01 05/01/13 CORNERSTONE BANCSHARES INC TN 5.07 04/25/13 Cornerstone OnDemand Inc DE 2.02,9.01 05/01/13 CORPORATE EXECUTIVE BOARD CO DE 2.02,9.01 05/01/13 CORPORATE OFFICE PROPERTIES TRUST MD 8.01,9.01 05/01/13 CORTLAND BANCORP INC OH 8.01,9.01 04/30/13 COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 04/30/13 COTT CORP /CN/ 2.02,5.02, 04/30/13 5.07,8.01,9.01 COURIER Corp MA 2.02,8.01,9.01 04/30/13 COVANCE INC DE 2.02,9.01 05/01/13 COVENTRY HEALTH CARE INC DE 2.02,9.01 05/01/13 COVENTRY HEALTH CARE INC DE 5.02,9.01 04/30/13 CPI CORP DE 1.03,5.02,8.01 05/01/13 Crescent Financial Bancshares, Inc. 2.02,9.01 05/01/13 CST Brands, Inc. DE 1.01,2.03,5.02,5.03, 04/29/13 5.05,8.01,9.01 CVS CAREMARK CORP DE 2.02,9.01 04/26/13 CVS CAREMARK CORP DE 5.02 05/01/13 Cyalume Technologies Holdings, Inc. DE 5.02,8.01,9.01 04/30/13 DATA I/O CORP WA 2.02,9.01 04/29/13 DCT Industrial Trust Inc. MD 5.03,8.01,9.01 05/01/13 DDR CORP OH 2.02,9.01 04/30/13 DEAN FOODS CO DE 5.02,8.01,9.01 05/01/13 DECISION DIAGNOSTICS CORP NV 4.01,9.01 04/16/13 AMEND Delphi Automotive PLC Y9 2.02,9.01 05/01/13 DELTA MUTUAL INC DE 5.02 04/25/13 Development Capital Group, Inc. FL 5.02 04/29/13 DEVON ENERGY CORP/DE DE 2.02,9.01 05/01/13 DEXCOM INC DE 2.02,9.01 05/01/13 DFC GLOBAL CORP. DE 2.02,9.01 05/01/13 Diversicare Healthcare Services, Inc. DE 1.01,2.01 05/01/13 Dividend Capital Diversified Property MD 8.01 04/01/13 DIXIE GROUP INC TN 2.02,9.01 05/01/13 DIXIE GROUP INC TN 7.01,9.01 05/01/13 DOCUMENT SECURITY SYSTEMS INC NY 1.01,9.01 04/30/13 DOMINOS PIZZA INC 7.01,9.01 05/01/13 DTE ENERGY CO MI 7.01,9.01 05/01/13 DXP ENTERPRISES INC TX 2.02,9.01 05/01/13 DYNEGY INC. DE 7.01,9.01 04/30/13 E-WASTE CORP. FL 5.02 04/26/13 EAGLE ROCK ENERGY PARTNERS L P DE 2.02,9.01 05/01/13 EASTMAN KODAK CO NJ 7.01,9.01 05/01/13 EASTMAN KODAK CO NJ 1.01,9.01 04/26/13 EBIX INC DE 8.01,9.01 05/01/13 EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 05/01/13 EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 05/01/13 ENDEAVOUR INTERNATIONAL CORP NV 1.01,3.02,9.01 04/30/13 ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 05/01/13 ENERGIZER HOLDINGS INC MO 2.02,5.02,9.01 05/01/13 Energy Transfer Equity, L.P. DE 5.02 05/01/13 Energy Transfer Equity, L.P. DE 1.01,2.01,5.03, 04/25/13 7.01,9.01 Energy Transfer Partners, L.P. DE 1.01,2.01,3.02, 04/30/13 5.03,7.01,9.01 EnteroMedics Inc 2.02,9.01 05/01/13 EnteroMedics Inc 5.02 04/25/13 ENVIRONMENTAL SCIENCE & TECHNOLOGIES, DE 5.01,5.02,9.01 12/10/12 AMEND EQUITY ONE, INC. 2.02,7.01,9.01 05/01/13 EQUITY RESIDENTIAL MD 2.02,9.01 04/30/13 Erickson Air-Crane Inc. DE 1.01,8.01,9.01 04/25/13 ESSA Bancorp, Inc. PA 5.02,9.01 05/01/13 Eureka Financial Corp. 2.02,9.01 04/30/13 EXACT SCIENCES CORP DE 2.02,9.01 05/01/13 EXCO RESOURCES INC TX 2.02,9.01 04/30/13 EXELON CORP PA 2.02,7.01,9.01 05/01/13 ExlService Holdings, Inc. DE 2.02,9.01 05/01/13 EXOPACK HOLDING CORP 2.02,8.01 05/01/13 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 05/01/13 EXTREME NETWORKS INC DE 5.02,9.01 04/25/13 Facebook Inc 2.02,5.02,9.01 04/25/13 FARMERS NATIONAL BANC CORP /OH/ OH 5.03,5.07,9.01 04/25/13 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 05/01/13 FIDELITY D & D BANCORP INC PA 2.02,9.01 05/01/13 Fidelity National Financial, Inc. 2.02,9.01 05/01/13 FIDELITY SOUTHERN CORP GA 5.07 04/25/13 FIRST KEYSTONE CORP PA 2.02,9.01 04/29/13 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 04/30/13 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 03/31/13 FIRST OF LONG ISLAND CORP NY 2.02,9.01 04/30/13 FIRSTIN WIRELESS TECHNOLOGY, INC. NV 5.02 04/01/13 FLIR SYSTEMS INC OR 5.07 04/26/13 FLIR SYSTEMS INC OR 5.02,9.01 04/25/13 FLUIDIGM CORP DE 2.02,9.01 05/01/13 FORD MOTOR CO DE 8.01,9.01 04/30/13 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 05/01/13 FORMFACTOR INC DE 2.02,9.01 05/01/13 FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 5.07 05/01/13 FRESH DEL MONTE PRODUCE INC E9 5.07 05/01/13 FRESH DEL MONTE PRODUCE INC E9 7.01,9.01 05/01/13 FRESH START PRIVATE MANAGEMENT, INC. NV 1.01,3.02,9.01 04/30/13 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 05/01/13 FS Investment CORP MD 8.01 05/01/13 FS Investment Corp II MD 2.02 04/30/13 FuLuCai Productions Ltd. NV 5.02 04/26/13 FutureFuel Corp. DE 8.01,9.01 05/01/13 GAP INC DE 1.01,2.03,9.01 05/01/13 GARMIN LTD V8 2.02,9.01 05/01/13 GASCO ENERGY INC NV 3.01 04/29/13 GATX CORP NY 5.07 05/01/13 GENCO SHIPPING & TRADING LTD 2.02,9.01 05/01/13 GENERAL CABLE CORP /DE/ DE 2.02,9.01 04/30/13 GENESEE & WYOMING INC DE 2.02,9.01 05/01/13 Genpact LTD D0 2.02,9.01 05/01/13 GLATFELTER P H CO PA 2.01,2.02,9.01 04/30/13 GLOBAL GROUP ENTERPRISES CORP. FL 5.02 04/26/13 GLU MOBILE INC DE 2.02,2.05,9.01 04/30/13 GlyEco, Inc. NV 7.01,9.01 04/25/13 GREAT WEST LIFE & ANNUITY INSURANCE C CO 5.05 04/26/13 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 04/30/13 GRYPHON GOLD CORP NV 5.02,7.01,9.01 05/01/13 GT Advanced Technologies Inc. DE 2.02,7.01,9.01 05/01/13 GUIDED THERAPEUTICS INC DE 7.01,9.01 05/01/13 GULFMARK OFFSHORE INC DE 2.02,9.01 04/29/13 GULFMARK OFFSHORE INC DE 7.01,9.01 04/30/13 HAEMONETICS CORP MA 2.02,2.05,9.01 04/30/13 HALLIBURTON CO DE 8.01 04/29/13 HCA Holdings, Inc. 1.01,2.03,9.01 04/25/13 HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 05/01/13 HERSHA HOSPITALITY TRUST MD 2.02,9.01 04/30/13 HFF, Inc. DE 2.02,9.01 05/01/13 HICKORY TECH CORP MN 2.02,9.01 05/01/13 HIGHWOODS PROPERTIES INC MD 8.01,9.01 05/01/13 HIGHWOODS PROPERTIES INC MD 8.01,9.01 05/01/13 HILLMAN COMPANIES INC DE 9.01 02/19/13 AMEND HINTO ENERGY, INC WY 7.01,9.01 04/30/13 HKN, Inc. DE 5.03,9.01 04/26/13 HomeTown Bankshares Corp 2.02,9.01 04/26/13 HOSPIRA INC DE 2.02,9.01 05/01/13 HOSPIRA INC DE 2.02,9.01 05/01/13 HUDSON TECHNOLOGIES INC /NY NY 2.02,9.01 05/01/13 HUMANA INC DE 2.02,7.01,9.01 05/01/13 HUMANA INC DE 5.07 04/25/13 Hyatt Hotels Corp DE 2.02,8.01,9.01 05/01/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,9.01 05/01/13 HYSTER-YALE MATERIALS HANDLING, INC. DE 2.02,7.01,9.01 05/01/13 iBio, Inc. DE 1.02,9.01 04/26/13 IEC ELECTRONICS CORP DE 4.02,7.01,9.01 04/25/13 iGambit, Inc. DE 1.01 04/25/13 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 05/01/13 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 5.02 04/30/13 IMATION CORP DE 2.02,9.01 05/01/13 IMPAX LABORATORIES INC DE 2.02,9.01 05/01/13 Imperial Holdings, Inc. 1.01,1.02,2.01, 04/29/13 7.01,8.01,9.01 INFINITY ENERGY RESOURCES, INC DE 2.03,3.02,9.01 04/29/13 Inland Diversified Real Estate Trust, MD 7.01,9.01 05/01/13 INPHI Corp DE 2.02,9.01 05/01/13 INSIGHT ENTERPRISES INC DE 2.02,9.01 05/01/13 INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 05/01/13 INSMED INC VA 3.02 04/30/13 INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 05/01/13 INTERCONTINENTALEXCHANGE INC DE 2.02,8.01,9.01 05/01/13 Intrepid Potash, Inc. DE 2.02,9.01 05/01/13 Invesco Mortgage Capital Inc. MD 2.02,9.01 05/01/13 Investors Bancorp Inc DE 8.01 04/25/13 ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 04/30/13 ION GEOPHYSICAL CORP DE 7.01,9.01 05/01/13 IPARTY CORP DE 8.01 05/01/13 IPG PHOTONICS CORP DE 2.02,9.01 05/01/13 IRON MOUNTAIN INC DE 2.02,9.01 05/01/13 iTalk Inc. NV 8.01,9.01 05/01/13 ITRONICS INC TX 2.02 04/23/13 JACOBS ENGINEERING GROUP INC /DE/ DE 2.02,9.01 04/29/13 James River Coal CO VA 2.02,7.01,9.01 05/01/13 JDS UNIPHASE CORP /CA/ DE 2.02,9.01 05/01/13 JF CHINA REGION FUND INC MD 3.01 04/24/13 JONES GROUP INC PA 2.02,7.01,9.01 05/01/13 JONES LANG LASALLE INC MD 2.02,9.01 04/30/13 JPMORGAN CHASE & CO DE 8.01,9.01 05/01/13 K SWISS INC DE 5.07,8.01,9.01 04/26/13 KAR Auction Services, Inc. DE 2.02,9.01 05/01/13 KEWAUNEE SCIENTIFIC CORP /DE/ DE 5.02,9.01 04/29/13 KILROY REALTY CORP MD 2.02,7.01,9.01 04/30/13 KIMCO REALTY CORP MD 2.02 05/01/13 KIMCO REALTY CORP MD 5.07 04/30/13 KINDER MORGAN ENERGY PARTNERS L P DE 2.01,8.01,9.01 05/01/13 KINDER MORGAN ENERGY PARTNERS L P DE 1.01,9.01 05/01/13 KKR Financial Holdings LLC DE 2.02,8.01,9.01 05/01/13 KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 05/01/13 KOPIN CORP DE 8.01 04/30/13 LAKELAND INDUSTRIES INC DE 2.02,9.01 05/01/13 LANDMARK BANCORP INC DE 2.02,8.01,9.01 05/01/13 LANNETT CO INC DE 2.02,9.01 04/30/13 LAS VEGAS SANDS CORP NV 2.02,9.01 05/01/13 LaSalle Hotel Properties MD 5.07 04/30/13 LEARNING TREE INTERNATIONAL INC DE 5.07 04/29/13 Legend Oil & Gas, Ltd. CO 8.01 05/01/13 LEXMARK INTERNATIONAL INC /KY/ DE 8.01 05/01/13 Li3 Energy, Inc. NV 1.01,2.01,8.01,9.01 04/16/13 LIFELOCK, INC. DE 2.02,9.01 05/01/13 LIFESTYLE MEDICAL NETWORK, INC. NV 4.02 04/26/13 LINCOLN NATIONAL CORP IN 2.02,9.01 05/01/13 LINCOLN NATIONAL CORP IN 5.04,9.01 05/01/13 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 8.01 05/01/13 LKQ CORP DE 8.01,9.01 05/01/13 LOOKSMART LTD DE 5.02 04/25/13 LRR Energy, L.P. DE 2.02,9.01 05/01/13 LSB INDUSTRIES INC DE 1.01,9.01 04/29/13 Lumos Networks Corp. VA 5.07 05/01/13 LYDALL INC /DE/ DE 2.02,9.01 05/01/13 MACERICH CO MD 2.02,7.01,9.01 05/01/13 MAGNUM HUNTER RESOURCES CORP DE 7.01 05/01/13 Manning & Napier, Inc. 2.02,9.01 05/01/13 Manning & Napier, Inc. 5.02 04/30/13 ManpowerGroup Inc. WI 5.07,8.01 04/30/13 MANTECH INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 05/01/13 MARKEL CORP VA 2.01,5.02,9.01 05/01/13 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 05/01/13 MASTERCARD INC DE 2.02,7.01,9.01 05/01/13 MATERION Corp 7.01,9.01 05/01/13 MATERION Corp 8.01,9.01 05/01/13 MATERION Corp 7.01,9.01 05/01/13 Mayflower Bancorp Inc MA 2.02,8.01,9.01 04/30/13 MCGRATH RENTCORP CA 2.02,9.01 05/01/13 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 04/30/13 MEDASSETS INC DE 2.02,9.01 05/01/13 MEDGENICS, INC. DE 5.02,5.07,9.01 04/30/13 MEDISAFE 1 TECHNOLOGIES CORP DE 8.01,9.01 04/30/13 MEDIZONE INTERNATIONAL INC NV 8.01,9.01 05/01/13 MeetMe, Inc. DE 1.01,2.03, 04/29/13 3.02,8.01,9.01 Merck & Co. Inc. NJ 2.02,9.01 05/01/13 Merriman Holdings, Inc DE 3.02,9.01 04/26/13 METLIFE INC DE 2.02,9.01 05/01/13 MFA FINANCIAL, INC. MD 2.02,7.01 05/01/13 MFRI INC DE 1.01,2.01,7.01,9.01 04/25/13 MICRON TECHNOLOGY INC DE 8.01 04/30/13 MICROSOFT CORP WA 8.01,9.01 04/25/13 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 05/01/13 MIDDLEBURG FINANCIAL CORP VA 2.02,7.01,8.01,9.01 05/01/13 MIDSOUTH BANCORP INC LA 2.02,9.01 03/31/13 Midway Gold Corp A1 7.01,9.01 05/01/13 MIMEDX GROUP, INC. FL 2.02,9.01 05/01/13 mLight Tech, Inc. FL 4.01,9.01 04/26/13 MOD PAC CORP NY 2.02,9.01 05/01/13 Monotype Imaging Holdings Inc. DE 2.02,9.01 05/01/13 MOVADO GROUP INC NY 5.02 04/30/13 Moxian Group Holdings, Inc. FL 1.01,2.01,3.02, 04/25/13 5.01,9.01 MSB FINANCIAL CORP. X1 5.02 04/26/13 MSCI Inc. DE 2.02,9.01 05/01/13 Mueller Water Products, Inc. DE 7.01,9.01 05/01/13 MURPHY OIL CORP /DE DE 2.02,9.01 05/01/13 NACCO INDUSTRIES INC DE 2.02,9.01 05/01/13 NACCO INDUSTRIES INC DE 2.02,7.01,9.01 05/01/13 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 05/01/13 National Automation Services Inc NV 5.02,9.01 05/01/13 National Bank Holdings Corp DE 7.01,8.01,9.01 05/01/13 NATUS MEDICAL INC DE 9.01 06/29/12 AMEND NAVIDEA BIOPHARMACEUTICALS, INC. DE 8.01,9.01 05/01/13 NCI, Inc. DE 2.02,7.01,9.01 05/01/13 NEOMEDIA TECHNOLOGIES INC DE 4.01 04/25/13 NeoStem, Inc. DE 8.01,9.01 04/30/13 Neutral Tandem Inc 2.02,9.01 05/01/13 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 05/01/13 NEW YORK TIMES CO NY 5.07 05/01/13 NEWPARK RESOURCES INC DE 7.01,9.01 05/01/13 NEWPORT CORP NV 2.02,9.01 05/01/13 NEWS CORP 8.01,9.01 05/01/13 NewStar Financial, Inc. 2.02,9.01 05/01/13 NEXSTAR BROADCASTING GROUP INC DE 2.01,9.01 02/15/13 NEXSTAR BROADCASTING GROUP INC DE 2.02,8.01,9.01 05/01/13 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 04/30/13 NORTH VALLEY BANCORP CA 2.02,9.01 04/30/13 NORTHEAST UTILITIES MA 2.02,9.01 05/01/13 Northern Tier Energy LP DE 1.01,7.01,9.01 04/29/13 NorthStar Real Estate Income Trust, I MD 8.01 04/30/13 NOVAGEN SOLAR INC. NV 5.03,9.01 04/30/13 NU SKIN ENTERPRISES INC DE 7.01,9.01 04/30/13 NuSTATE ENERGY HOLDINGS, INC. NV 4.01,9.01 04/25/13 NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 05/01/13 NVE CORP /NEW/ MN 2.02 05/01/13 Ocean Shore Holding Co. 2.02,9.01 04/30/13 Oconee Federal Financial Corp. 2.02,9.01 05/01/13 OLIN CORP VA 5.07 04/25/13 OmniAmerican Bancorp, Inc. MD 2.02,9.01 05/01/13 ORRSTOWN FINANCIAL SERVICES INC PA 5.07 05/01/13 ORRSTOWN FINANCIAL SERVICES INC PA 7.01,9.01 04/30/13 OWENS & MINOR INC/VA/ VA 5.03,5.07,8.01,9.01 04/26/13 OXYGEN BIOTHERAPEUTICS, INC. DE 5.07 04/26/13 PAN GLOBAL, CORP. NV 1.01,2.03,3.02, 04/25/13 5.03,8.01,9.01 PAR TECHNOLOGY CORP DE 2.02 05/01/13 PAREXEL INTERNATIONAL CORP MA 2.02,9.01 04/30/13 PARK OHIO HOLDINGS CORP OH 2.02,9.01 05/01/13 PARKER DRILLING CO /DE/ DE 2.02,9.01 05/01/13 Patriot Coal CORP DE 8.01 04/25/13 PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 05/01/13 PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 05/01/13 AMEND PDC ENERGY, INC. NV 2.02,9.01 05/01/13 PGT, Inc. DE 2.02,9.01 05/01/13 PHARMA INVESTING NEWS, INC. NV 5.02,8.01 04/25/13 PHARMACYCLICS INC DE 2.02,9.01 05/01/13 PharMerica CORP DE 2.02,9.01 05/01/13 Phillips 66 DE 2.02,9.01 05/01/13 PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 05/01/13 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 05/01/13 Pioneer Southwest Energy Partners L.P DE 2.02,9.01 05/01/13 PLANAR SYSTEMS INC OR 5.07 04/25/13 PMI GROUP INC DE 7.01,8.01,9.01 04/30/13 PNC FINANCIAL SERVICES GROUP, INC. PA 8.01 05/01/13 POLYONE CORP 2.02,9.01 05/01/13 POLYONE CORP 2.02,9.01 05/01/13 POLYONE CORP 9.01 03/13/13 AMEND PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,7.01,9.01 05/01/13 Power REIT MD 8.01,9.01 05/01/13 ProUroCare Medical Inc. NV 8.01,9.01 05/01/13 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 04/30/13 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 05/01/13 QLOGIC CORP DE 5.02,8.01,9.01 04/29/13 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.01 04/30/13 QUICKLOGIC CORPORATION CA 2.02,9.01 05/01/13 RADIAN GROUP INC DE 2.02,9.01 05/01/13 RAND CAPITAL CORP NY 5.07 05/01/13 Raptor Pharmaceutical Corp DE 1.01,8.01,9.01 04/25/13 REALNETWORKS INC WA 2.02,9.01 05/01/13 REALOGY HOLDINGS CORP. DE 2.02,9.01 05/01/13 REGAL BELOIT CORP WI 2.02,7.01,9.01 04/30/13 REGIONS FINANCIAL CORP DE 8.01,9.01 04/25/13 REGIONS FINANCIAL CORP DE 8.01,9.01 04/30/13 REGIS CORP MN 5.02 04/29/13 RELIV INTERNATIONAL INC DE 2.02,9.01 05/01/13 REMY INTERNATIONAL, INC. DE 2.02,9.01 05/01/13 RENAISSANCERE HOLDINGS LTD D0 2.02,9.01 05/01/13 Renewable Energy Group, Inc. DE 2.02,9.01 05/01/13 Resource Capital Corp. MD 8.01,9.01 04/29/13 RESPECT YOUR UNIVERSE, INC. NV 5.02 04/29/13 RF MICRO DEVICES INC NC 5.02 04/26/13 Roadrunner Transportation Systems, In DE 2.02,9.01 05/01/13 Rockwood Holdings, Inc. DE 7.01,9.01 05/01/13 ROMA FINANCIAL CORP X1 8.01 04/25/13 Rovi Corp DE 2.02,9.01 05/01/13 ROWAN COMPANIES PLC X0 2.02,9.01 05/01/13 RTI INTERNATIONAL METALS INC OH 5.07 04/26/13 S Y BANCORP INC KY 8.01,9.01 04/30/13 Sabra Health Care REIT, Inc. MD 2.02,9.01 05/01/13 SAIA INC DE 5.02,5.07 04/25/13 Samson Oil & Gas LTD C3 2.02,9.01 04/30/13 SANFILIPPO JOHN B & SON INC DE 2.02,9.01 04/30/13 Sanwire Corp 5.02 04/30/13 SBT Bancorp, Inc. CT 5.02,9.01 04/25/13 SCG Financial Acquisition Corp. DE 4.01,5.02,9.01 04/25/13 SCHAWK INC 2.02,9.01 05/01/13 Seagate Technology plc L2 2.02,9.01 05/01/13 SEALED AIR CORP/DE DE 2.02,2.05,9.01 05/01/13 SEARS HOLDINGS CORP DE 5.07 05/01/13 Sebring Software, Inc. NV 1.01,2.01, 04/25/13 2.03,3.02,9.01 SENESCO TECHNOLOGIES INC DE 1.01,3.02,9.01 04/26/13 SEQUENTIAL BRANDS GROUP, INC. DE 2.02,5.02,7.01,9.01 05/01/13 Sequoia Mortgage Trust 2013-6 8.01,9.01 04/01/13 SHARPS COMPLIANCE CORP DE 2.02,9.01 05/01/13 Shea Homes Limited Partnership CA 2.02,9.01 05/01/13 Shire plc 8.01,9.01 05/01/13 SHUTTERFLY INC DE 2.02,9.01 05/01/13 SIGNATURE GROUP HOLDINGS, INC. NV 8.01 04/30/13 SILVER SPRING NETWORKS INC DE 2.02,9.01 05/01/13 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 05/01/13 SM Energy Co DE 2.02,9.01 04/30/13 SMITH MICRO SOFTWARE INC DE 2.02,9.01 05/01/13 Snap Interactive, Inc DE 2.02,9.01 05/01/13 Solar Capital Ltd. MD 5.07 04/30/13 Solar Power, Inc. CA 1.01,9.01 04/25/13 Solar Senior Capital Ltd. MD 5.07 04/30/13 SOLIGENIX, INC. DE 1.01,3.02,9.01 04/27/13 SOLTA MEDICAL INC DE 2.02,9.01 05/01/13 SOUTH AMERICAN GOLD CORP. NV 1.01,7.01,9.01 05/01/13 SOUTHWESTERN ENERGY CO DE 1.01,8.01,9.01 04/25/13 SOVRAN SELF STORAGE INC MD 2.02,9.01 05/01/13 SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 05/01/13 SPARK NETWORKS INC DE 8.01 05/01/13 SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 05/01/13 SPX CORP DE 2.02,9.01 05/01/13 SquareTwo Financial Corp DE 1.01,9.01 04/30/13 SS&C Technologies Holdings Inc DE 2.02,9.01 05/01/13 STAAR SURGICAL CO DE 2.02,7.01,9.01 05/01/13 STR HOLDINGS, INC. DE 2.02,9.01 05/01/13 STRYKER CORP MI 5.07 05/01/13 SUNPOWER CORP DE 5.02 04/29/13 SUPERVALU INC DE 5.02,5.03,9.01 04/25/13 Support.com, Inc. DE 2.02,9.01 05/01/13 SUSSEX BANCORP NJ 2.02,9.01 05/01/13 SW China Imports, Inc. NV 5.03,8.01,9.01 04/30/13 Swisher Hygiene Inc. DE 2.02,9.01 05/01/13 Swisher Hygiene Inc. DE 5.02,9.01 04/29/13 Swisher Hygiene Inc. DE 9.01 11/15/12 AMEND SYMMETRICOM INC DE 5.02,5.03,7.01,9.01 04/26/13 SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 05/01/13 SYNOVUS FINANCIAL CORP GA 5.07 04/25/13 T3 Motion, Inc. DE 5.02 04/26/13 TECH DATA CORP FL 1.01 04/29/13 TELULAR CORP DE 1.01,9.01 04/29/13 TELULAR CORP DE 1.01,9.01 04/29/13 AMEND Territorial Bancorp Inc. MD 8.01,9.01 05/01/13 Territorial Bancorp Inc. MD 8.01,9.01 05/01/13 TESCO CORP 7.01,9.01 04/25/13 TESORO CORP /NEW/ DE 2.02,9.01 05/01/13 TILE SHOP HOLDINGS, INC. DE 2.02,9.01 05/01/13 TIME WARNER INC. DE 2.02,9.01 05/01/13 TITAN PHARMACEUTICALS INC DE 8.01,9.01 04/30/13 Titanium Asset Management Corp DE 2.02,9.01 05/01/13 Tonix Pharmaceuticals Holding Corp. NV 5.03,8.01,9.01 05/01/13 Travelport LTD D0 5.02 04/25/13 Triangle Petroleum Corp DE 2.02,7.01,9.01 05/01/13 TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 04/30/13 TRIPLE-S MANAGEMENT CORP 5.07 04/30/13 TRIPLE-S MANAGEMENT CORP 2.02,9.01 05/01/13 Tropicana Entertainment Inc. DE 1.01,7.01,9.01 04/25/13 Tropicana Las Vegas Hotel & Casino, I DE 5.07 04/30/13 Truli Media Group, Inc. 5.02 05/01/13 TUTOR PERINI Corp MA 2.02,9.01 05/01/13 U S PRECIOUS METALS INC DE 8.01 05/01/13 UAN Power Corp DE 5.02 01/25/13 UGI CORP /PA/ PA 2.02,7.01,9.01 04/30/13 UGI UTILITIES INC PA 2.02,9.01 04/30/13 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 04/30/13 UNIGENE LABORATORIES INC DE 1.01,2.01,2.03, 04/25/13 2.04,5.02,9.01 United Continental Holdings, Inc. DE 9.01 04/25/13 AMEND UNITED INSURANCE HOLDINGS CORP. DE 2.02,9.01 05/01/13 UNITED SECURITY BANCSHARES CA 5.02 04/30/13 UNITED STATES LIME & MINERALS INC TX 5.03,5.07,9.01 04/26/13 UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 05/01/13 Unum Group DE 2.02,9.01 05/01/13 UQM TECHNOLOGIES INC CO 1.01,5.02 05/01/13 VALERO ENERGY CORP/TX DE 8.01,9.01 05/01/13 VALLEY FINANCIAL CORP /VA/ VA 5.07 05/01/13 VANGUARD HEALTH SYSTEMS INC DE 2.02,7.01,9.01 04/30/13 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 04/25/13 Viacom Inc. DE 2.02,9.01 05/01/13 VIROPHARMA INC DE 2.02,9.01 05/01/13 VIRTUS INVESTMENT PARTNERS, INC. DE 2.02,9.01 04/30/13 VIRTUSA CORP 2.03 04/30/13 VISA INC. DE 2.02,9.01 05/01/13 VistaGen Therapeutics, Inc. NV 1.01,9.01 05/01/13 VISUALANT INC NV 1.01,9.01 04/26/13 Voltari Corp DE 1.02 05/01/13 VONAGE HOLDINGS CORP DE 2.02 05/01/13 W R GRACE & CO DE 5.02,9.01 05/01/13 WEIS MARKETS INC PA 5.07 04/25/13 WESTERN ALLIANCE BANCORPORATION NV 8.01 04/30/13 Western Gas Equity Partners, LP DE 2.02,9.01 05/01/13 Western Gas Partners LP DE 2.02,9.01 05/01/13 WESTFIELD FINANCIAL INC MA 2.02,8.01,9.01 05/01/13 WEX Inc. 2.02,5.02,9.01 04/26/13 WILLIS GROUP HOLDINGS PLC L2 2.02,7.01,9.01 04/30/13 WMI Liquidating Trust DE 8.01,9.01 04/30/13 WMX Group Holdings, Inc. FL 1.01,2.01,3.02, 04/29/13 5.02,8.01,9.01 XCel Brands, Inc. DE 7.01,9.01 05/01/13 YELP INC 2.02,9.01 05/01/13 Zalicus Inc. DE 1.01,9.01 04/30/13
http://www.sec.gov/news/digest/2013/dig050113.htm
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