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U.S. Securities and Exchange Commission


Issue 2013-87
May 7, 2013

Commission Announcements

Commission Charges Traders in Massive Kickback Scheme Involving Venezuelan Official

The Securities and Exchange Commission (Commission) today charged four individuals with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit bribes paid to a high-ranking Venezuelan finance official to secure the bond trading business of a state-owned Venezuelan bank.

According to the SEC’s complaint filed in federal court in Manhattan, the global markets group at broker-dealer Direct Access Partners (DAP) executed fixed income trades for customers in foreign sovereign debt.  DAP Global generated more than $66 million in revenue for DAP from transaction fees – in the form of markups and markdowns – on riskless principal trade executions in Venezuelan sovereign or state-sponsored bonds for Banco de Desarrollo Económico y Social de Venezuela (BANDES).  A portion of this revenue was illicitly paid to BANDES Vice President of Finance, María de los Ángeles González de Hernandez, who authorized the fraudulent trades.

“These traders triggered a fraud that was staggering in audacity and scope,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office.  “They thought they covered their tracks by using offshore accounts and a shadow accounting system to monitor their illicit profits and bribes, but they underestimated the SEC’s tenacity in piecing the scheme together.”

The SEC’s complaint charges the following individuals for the roles in the kickback scheme:

  • Tomas Alberto Clarke Bethancourt, who lives in Miami and is an executive vice president at DAP.  Known as “Tomas Clarke,” he was responsible for executing the fraudulent trades and maintaining spreadsheets tracking the illicit markups and markdowns on those trades.
  • Iuri Rodolfo Bethancourt, who lives in Panama and received more than $20 million in fraudulent proceeds from DAP via his Panamanian shell company, which then paid Gonzalez a portion of this amount.
  • Jose Alejandro Hurtado, who lives in Miami and served as the intermediary between DAP and Gonzalez.  Hurtado was paid more than $6 million in kickbacks disguised as salary payments from DAP, and he remitted some of that money to Gonzalez. 
  • Haydee Leticia Pabon, who is Hurtado’s wife and received approximately $8 million in markups or markdowns on BANDES trades that were funneled to her from DAP in the form of sham finders’ fees.

In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Gonzalez as well as Clarke and Hurtado.

According to the SEC’s complaint, the scheme began in October 2008 and continued until at least June 2010.  BANDES was a new customer to DAP brought in by DAP Global executives through their connections to Hurtado.  As a result of the kickbacks to Gonzalez, DAP obtained BANDES’ lucrative trading business and provided Gonzalez with the incentive to enter into trades with DAP at considerable markups or markdowns without regard to the prices paid by BANDES.  Gonzalez used her senior role at the Caracas-based bank to ensure that its bond trades would continue to be steered to DAP.  As the scheme evolved over time, the traders deceived DAP’s clearing brokers, executed internal wash trades, inter-positioned another broker-dealer in the trades to conceal their role in the transactions, and engaged in massive roundtrip trades to pad their revenue. 

For example, the SEC alleges that in January 2010, the traders and Gonzalez arranged for two fraudulent roundtrip trades with BANDES as both buyer and seller.  These trades – which lacked any legitimate business purpose – caused BANDES to pay DAP more than $10 million in fees, a portion of which was diverted to Gonzalez for authorizing the blatantly fraudulent trades. 

The SEC further alleges that, giving rise to the adage of no honor among thieves, Clarke and Hurtado frequently falsified the size of DAP’s fees in their reports to Gonzalez, which enabled the traders to retain a greater share of the fraudulent profits.

The SEC’s complaint charges Clarke, Bethancourt, Hurtado, and Pabon with fraud and seeks final judgments that would require them to return ill-gotten gains with interest and pay financial penalties.

The SEC’s investigation, which is continuing, was conducted by Wendy Tepperman, Amanda Straub, and Michael Osnato of the New York Regional Office.  The SEC’s litigation will be led by Howard Fischer.  An SEC examination of DAP that that led to the investigation was conducted by members of the New York office’s broker-dealer examination staff.  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. (Press Rel. 2013-84)

Commission Announces Panelists for Credit Ratings Roundtable

The Commission today announced the panelists for its Credit Ratings Roundtable, which will be held on May 14.

As previously announced, the roundtable will consist of three panels. The first panel will discuss the potential creation of a credit rating assignment system for asset-backed securities.  The second panel will discuss the effectiveness of the SEC’s current system to encourage unsolicited ratings of asset-backed securities.  The third panel will discuss other alternatives to the current issuer-pay business model in which the issuer selects and pays the firm it wants to provide credit ratings for its securities.

The event will be held in the auditorium at the SEC’s Washington, D.C., headquarters at 100 F Street, N.E., beginning at 9 a.m. and ending at approximately 4:30 p.m.  The public is invited to attend, with seating available on a first-come, first-served basis.  The event will be webcast live on the SEC’s website and archived for later viewing.  (Press Rel. 2013-83)


In the Matter of Ziad K. Abdelnour

The Commission today issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Ziad K. Abdelnour based on Abdelnour’s scheme to offer and sell fictitious “prime bank” securities.

The Order finds that from at least September 2009 to April 2011, Abdelnour, acting through Blackhawk Partners, Inc., a purported private equity “family office,” solicited investors to invest in trading programs that purportedly yielded returns of up to 600% in as little as seven days, with no risk.  None of this was true, however.  Abdelnour, a long-time registered representative with an MBA from one of the top business schools, attempted to sell the programs by means of representations on Blackhawk’s website and in emails to prospective investors that he knew, or was reckless in not knowing, were false, and he continued to do so even after receipt of a Commission subpoena.  The Order finds that although Abdelnour did not succeed in selling any of the fictitious securities, as a result of his fraud, Abdelnour willfully violated Sections 17(a)(1) and (3) of the Securities Act, and by engaging in unregistered broker-dealer activity, he willfully violated Section 15(a) of the Exchange Act.

Based on the above, the Order requires Abdelnour to pay a civil money penalty in the amount of $25,000 and orders him to cease and desist from committing or causing any violations and any future violations of the above-referenced provisions of the Securities Act and Exchange Act.  The Order further bars Abdelnour from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; bars him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor or principal underwriter; and bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance of or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock; with the right to apply for reentry after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. 

Abdelnour consented to the issuance of the Order without admitting or denying any of the findings.  (Rels. 33- 9402; 34- 69530; IC- 30508; File No. 3-15318)

In the Matter of Frank Bluestein

The Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Frank Bluestein (Bluestein) based upon the entry of a Permanent Injunction entered against him in the United States District Court for the Eastern District of Michigan (Securities and Exchange Commission v. Frank Bluestein, Civil Action No. 09-CV-13809).

In the Order, the Division of Enforcement alleges that on April 24, 2013, the United States District Court for the Eastern District of Michigan entered a judgment against Bluestein, which permanently enjoined Bluestein from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. 

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.

The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice.  (Rels. 34-69529; IC- 3603; File No. 3-15317)

Final Judgments Entered against Richard Verdiramo and Vincent L. Verdiramo, Esq.

The Commission announced today that on April 29, 2013, the United States District Court for the Southern District of New York entered final judgments against Richard Verdiramo and Vincent L. Verdiramo, Esq., that require the defendants to pay full disgorgement and civil money penalties, and bar them from penny stock offerings and from serving as officers or directors of public companies.  This relief supplements the injunctions and disgorgement that the SEC had previously obtained and concludes the SEC’s case against the defendants.

In March 2010, the SEC charged Richard Verdiramo, RECOV Energy Corp.’s former Chairman, CEO, President, and CFO, with, among other things, committing fraud and violating the securities registration requirements based on his issuances of RECOV stock for his and his father’s personal benefit. The SEC charged his father, Vincent Verdiramo, an attorney who facilitated the misconduct and who was a recipient of some of the RECOV stock, with aiding and abetting his son’s fraud and with violating the securities registration requirements. 

The Court previously ordered all of the injunctive relief sought by the Commission in its Complaint against both Richard and Vincent Verdiramo for all of their misconduct.  The Court had also previously ordered the defendants to pay full disgorgement for their violations of the securities registration requirements, including holding Richard Verdiramo jointly and severally liable with other defendants.  In November 2011, the SEC issued an order suspending Vincent Verdiramo from appearing or practicing before the SEC as an attorney.

The recent judgment requires Richard Verdiramo to disgorge an additional $145,000 in ill-gotten gains plus $61,968 in prejudgment interest, and requires him to pay a civil penalty of $100,000.  In addition, the Court barred Richard Verdiramo from participating in any penny stock offering and from serving as an officer or director of any reporting company for five years.  The Judgment against Vincent Verdiramo orders him to disgorge an additional $462,000 in ill-gotten gains, plus $197,444 in prejudgment interest, and requires him to pay a civil penalty of $100,000.  The Court also permanently barred Vincent Verdiramo from participating in any penny stock offering and from serving as an officer or director of any reporting company.  Both Richard and Vincent Verdiramo consented to the entry of the final judgments against them without admitting or denying any of the allegations of the SEC’s Complaint.  [SEC v. Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen, Civil Action No. 10-CIV-1888 (S.D.N.Y.)] (LR-22697)

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of UC Hub Group, Inc., has been revoked.  It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission.  Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions.  The revocation was ordered in an administrative proceeding before an administrative law judge.  (Rel. 34-69526; File No. 3-15290)


Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-033) to amend BX Rule 4756 and Rule 4763 to stipulate how participants in the NASDAQ OMX BX Equities Market may modify previously entered orders and to describe how modified orders are processed 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 6th.  (Rel. 34-69525)

A proposed rule changed filed by NASDAQ OMX BX, Inc. to its schedule of fees and rebates for execution of orders for securities priced at $1 or more under Rule 7018 (SR-BX-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 May 6th.  (Rel. 34-69522)

A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-41) establishing a schedule of the NYSE Arca Options Proprietary Market Data Fees 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 6th.  (Rel. 34-69523)

A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-35) establishing a schedule of the NYSE Amex Options Proprietary Market Data Fees 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 6th.  (Rel. 34-69524)

Approval of Proposed Rule Change

A proposed rule change (SR-NSX-2013-02), submitted by National Stock Exchange, Inc., to adopt a new order type called the “Auto-Ex Only” Order and add new definitions regarding Automatic Execution Mode and Automatic Execution Orders has become effective pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934.  Publication is expected in the Federal Register during the week of May 6th.  (Rel. 34-69519)


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.

        9252433522 - 0 ($1,105,785.00) Equity, (File 333-188363 - May. 6) 
        (BR. 10A)

        303-591-7413 - 11,446,860 ($76,121,619.00) Equity, (File 333-188364 - 
        May. 6) (BR. 04A)

        27517, 919-240-7133 - 0 ($20,006,250.00) Equity, (File 333-188365 - 
        May. 6) (BR. 01B)

        IRVING, TX, 75039, 2146894300 - 0 ($0.00) Debt, (File 333-188366 - 
        May. 6) (BR. 06B)

        06902, 203-363-7300 - 0 ($0.00) Debt, (File 333-188367 - May. 6) 
        (BR. 06C)

        8162342000 - 1,120,000 ($44,486,400.00) Equity, (File 333-188374 - 
        May. 6) (BR. 12A)

        901-523-9700 - 0 ($70,847,993.45) Equity, (File 333-188377 - May. 6) 
        (BR. 01A)

        212-831-1111 - 0 ($50,000,000.00) Equity, (File 333-188378 - May. 6) 
        (BR. 01B)

S-8     FLUOR CORP, 6700 LAS COLINAS BLVD, IRVING, TX, 75039, 4693987000 - 
        0 ($674,400,000.00) Equity, (File 333-188379 - May. 6) (BR. 06C)

        650-623-7000 - 0 ($84,408,172.53) Equity, (File 333-188380 - May. 6) 
        (BR. 10A)

        98168, (206) 673-4848 - 147,618 ($1,300,514.58) Equity, 
        (File 333-188381 - May. 6) (BR. 10A)

S-4     AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202, 
        2108214105 - 0 ($4,999,999,000.00) Debt, (File 333-188382 - May. 6) 
        (BR. 11A)

        (949) 784-0800 - 0 ($7,545,806.40) Equity, (File 333-188383 - May. 6) 
        (BR. 03A)

S-8     AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202, 
        2108214105 - 42,000,000 ($1,561,560,000.00) Equity, 
        450,000,000 ($450,000,000.00) Other, (File 333-188384 - May. 6) 
        (BR. 11A)

        513-900-5250 - 0 ($0.00) Equity, (File 333-188385 - May. 6) (BR. 02A)

F-3     Velti plc, FIRST FLOOR, 28-32 PEMBROKE STREET UPPER, DUBLIN, L2, 2, 
        33 (0) 1234 2676 - 16,529,412 ($33,802,647.54) Equity, 
        (File 333-188386 - May. 6) (BR. 03B)

F-3     Teekay LNG Partners L.P., 4TH FLOOR, BELVEDERE BUILDING, 
        69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 - 
        0 ($100,000,000.00) Equity, (File 333-188387 - May. 6) (BR. 05C)

N-2     Third Avenue Flexible Income Fund, 100 WALL STREET, 11TH FLOOR, 
        NEW YORK, NY, 10005, (212) 701-4500 - 50,000 ($1,000,000.00) Equity, 
        (File 333-188388 - May. 6) (BR. )

S-3     Parametric Sound Corp, 13771 DANIELSON STREET, SUITE L, POWAY, CA, 
        92064, 888-477-2150 - 0 ($75,000,000.00) Equity, (File 333-188389 - 
        May. 6) (BR. 11A)

S-8     Parametric Sound Corp, 13771 DANIELSON STREET, SUITE L, POWAY, CA, 
        92064, 888-477-2150 - 532,000 ($7,815,320.00) Equity, 
        (File 333-188390 - May. 6) (BR. 11A)

S-8     QCR HOLDINGS INC, 3551 7TH STREET, MOLINE, IL, 61265, 3097363580 - 
        829,280 ($12,188,444.36) Equity, (File 333-188391 - May. 6) (BR. 07C)

S-8     CST Brands, Inc., ONE VALERO WAY, SAN ANTONIO, TX, 78249, 
        210-345-2000 - 0 ($245,040,000.00) Equity, (File 333-188392 - May. 6) 
        (BR. 02) 


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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT


AEROPOSTALE INC                                  5.02,9.01            05/03/13

AG Mortgage Investment Trust, Inc.      MD       2.02,9.01            05/06/13

AIR INDUSTRIES GROUP, INC.              DE       2.02,9.01            05/06/13

AIR PRODUCTS & CHEMICALS INC /DE/       DE       2.03                 04/30/13    AMEND

ALCO STORES INC                         KS       1.01,3.03,8.01,9.01  05/03/13

ALICO INC                               FL       2.02,9.01            05/06/13

ALLEGHANY CORP /DE                      DE       2.02,9.01            05/06/13

Allied World Assurance Co Holdings, A            5.07                 05/02/13

ALNYLAM PHARMACEUTICALS, INC.                    2.02,9.01            05/06/13

ALPHA PRO TECH LTD                      DE       2.02,9.01            05/06/13

America's Suppliers, Inc.                        5.07                 05/02/13

American Assets Trust, Inc.             MD       8.01                 05/06/13

American Realty Capital Properties, I   MD       2.02,7.01,9.01       05/06/13

American Realty Capital Properties, I   MD       7.01,9.01            05/06/13

American Realty Capital Trust V, Inc.   MD       2.01,9.01            05/03/13

American Standard Energy Corp.          DE       5.02                 04/30/13

American Tire Distributors Holdings,             2.01,2.03,9.01       04/30/13

AMYRIS, INC.                            DE       1.01,2.03            05/01/13

ANADARKO PETROLEUM CORP                 DE       2.02,7.01,9.01       05/06/13

ANALOG DEVICES INC                      MA       5.02,9.01            05/06/13

AP PHARMA INC /DE/                      DE       3.02,5.02            05/01/13

APOGEE ENTERPRISES, INC.                MN       5.02,9.01            04/30/13

Apollo Global Management LLC            DE       2.02,9.01            05/06/13

APPLETON PAPERS INC/WI                           2.02,9.01            05/06/13

APPLIANCE RECYCLING CENTERS OF AMERIC   MN       2.02,9.01            05/06/13

ARBOR REALTY TRUST INC                  MD       7.01,9.01            05/06/13

ARCA biopharma, Inc.                    DE       5.02,9.01            05/02/13

ARCHER DANIELS MIDLAND CO               DE       5.07                 05/02/13

ARES CAPITAL CORP                       MD       1.01,2.03,9.01       05/02/13

ARRAY BIOPHARMA INC                     DE       8.01,9.01            05/06/13

ARRAY BIOPHARMA INC                     DE       2.02,9.01            05/06/13

Artio Global Investors Inc.             DE       7.01,9.01            05/06/13

Asian Trends Media Holdings, Inc        NV       1.01,2.01,9.01       04/29/13

ASSURED GUARANTY LTD                    D0       7.01,9.01            05/06/13

ASTRONICS CORP                          NY       2.02,9.01            05/06/13

AUTOBYTEL INC                           DE       2.02,9.01            05/02/13

AUXILIUM PHARMACEUTICALS INC            DE       5.07                 05/01/13

AXCELIS TECHNOLOGIES INC                DE       8.01                 05/06/13

Babcock & Wilcox Co                     DE       5.02,9.01            05/01/13

Bancorp, Inc.                                    5.07                 05/06/13

BANK OF AMERICA CORP /DE/               DE       2.02,8.01,9.01       05/06/13

BARNES GROUP INC                        DE       5.02,5.03,5.07,9.01  05/03/13

BERRY PETROLEUM CO                      DE       2.02,9.01            05/06/13

BIOLOGIX HAIR INC.                      NV       1.01,3.02,           04/30/13

Biostar Pharmaceuticals, Inc.           MD       3.01                 05/01/13

Biota Pharmaceuticals, Inc.             DE       1.01,5.02,8.01,9.01  04/30/13

Black Diamond, Inc.                     DE       2.02,9.01            05/06/13

BLUE CALYPSO, INC.                      DE       8.01,9.01            05/06/13

BLUE CALYPSO, INC.                      DE       1.01,3.02,9.01       05/06/13

BMC SOFTWARE INC                        DE       1.01,3.03,8.01,9.01  05/04/13

BNC BANCORP                             NC       5.02                 04/30/13

BODY CENTRAL CORP                                2.02,9.01            05/02/13

BOINGO WIRELESS INC                     DE       5.02                 05/01/13

BOYD GAMING CORP                        NV       1.01,2.03,2.04,9.01  05/06/13

Brazil Minerals, Inc.                   NV       2.01,3.02,8.01,9.01  05/06/13

BRIDGE BANCORP INC                      NY       5.07,9.01            05/03/13

Bridgepoint Education Inc               DE       2.02,9.01            05/06/13

BROADSOFT, INC.                         DE       2.02,9.01            05/06/13

BUCKEYE PARTNERS, L.P.                  DE       2.02,9.01            05/03/13

CABOT OIL & GAS CORP                    DE       5.07                 05/02/13

CALGON CARBON CORPORATION               DE       2.02,9.01            05/06/13

CAM Group, Inc.                         NV       1.01,2.01,3.02,      04/17/12    AMEND

CAMBIUM LEARNING GROUP, INC.                     5.02                 03/19/13    AMEND

Cardium Therapeutics, Inc.              DE       8.01,9.01            04/30/13

CAREER EDUCATION CORP                   DE       2.02,9.01            05/06/13

CARMIKE CINEMAS INC                     DE       2.02,9.01            05/06/13

CCOM Group, Inc.                        NY       1.01,2.03,9.01       04/30/13

CEDAR REALTY TRUST, INC.                MD       5.07                 05/03/13

CELGENE CORP /DE/                       DE       7.01                 05/06/13

CENTURY CASINOS INC /CO/                DE       5.07                 05/06/13

CENVEO, INC                             CO       5.07                 05/01/13

CH ENERGY GROUP INC                     NY       8.01,9.01            05/03/13

CHESAPEAKE UTILITIES CORP               DE       5.07,7.01,9.01       05/02/13

China Energy CORP                                8.01                 05/03/13

CHINA MARINE FOOD GROUP LTD             NV       4.01,9.01            04/30/13

CHUY'S HOLDINGS, INC.                   DE       2.02,9.01            05/06/13

CHYRON CORP                             NY       2.05                 05/02/13

CIG WIRELESS CORP.                      NV       1.01,3.02,8.01,9.01  04/30/13

CITIBANK CREDIT CARD ISSUANCE TRUST     DE       8.01,9.01            05/06/13

CLEARSIGN COMBUSTION CORP               WA       7.01,9.01            05/06/13

CLEARSIGN COMBUSTION CORP               WA       7.01,9.01            05/06/13

Clearwire Corp /DE                      DE       8.01,9.01            05/06/13

Colony Financial, Inc.                  MD       2.01,9.01            05/06/13

CombiMatrix Corp                        DE       1.01,3.02,3.03,      05/03/13

COMMODITY ADVISORS FUND L.P.            NY       3.02                 05/01/13

CONNECTICUT WATER SERVICE INC / CT      CT       8.01                 05/06/13

CONSTELLATION BRANDS, INC.              DE       1.01,9.01            04/30/13

Cornerworld Corp                        NV       8.01                 04/30/13

Coronus Solar Inc.                      A1       1.01,1.02,2.03,      05/06/13

CORPORATE PROPERTY ASSOCIATES 16 GLOB   MD       7.01,9.01            05/06/13

Corporate Resource Services, Inc.       DE       8.01,9.01            05/06/13

CRANE CO /DE/                           DE       8.01,9.01            05/06/13

CRAWFORD & CO                           GA       2.02,7.01,9.01       05/06/13

Crestwood Midstream Partners LP         DE       8.01,9.01            05/06/13

CROSS COUNTRY HEALTHCARE INC            DE       5.07                 05/01/13

CRYO CELL INTERNATIONAL INC             DE       5.02                 05/01/13

CUTERA INC                              DE       2.02,9.01            05/06/13

DCT Industrial Trust Inc.               MD       5.07                 05/01/13

DETHRONE ROYALTY HOLDINGS, INC.         NV       1.01,2.03,3.02,9.01  04/30/13

diaDexus, Inc.                          DE       2.02,9.01            05/06/13

DIGIRAD CORP                            DE       2.02,9.01            05/06/13

DIGITAL CREATIVE DEVELOPMENT CORP       UT       5.02                 04/30/13

Discover Card Execution Note Trust      DE       1.01,8.01,9.01       05/06/13

Diversified Restaurant Holdings, Inc.   NV       8.01,9.01            05/03/13

Dot VN, Inc.                            DE       2.02,2.03,2.04,      05/01/13

DOUGLAS DYNAMICS, INC                   DE       2.02,9.01            05/06/13

DOUGLAS DYNAMICS, INC                   DE       1.01,2.01,7.01,9.01  05/06/13

DOVER MOTORSPORTS INC                   DE       3.01,9.01            05/06/13

DOVER SADDLERY INC                               5.07                 05/02/13

DOW CHEMICAL CO /DE/                    DE       8.01,9.01            05/06/13

DREW INDUSTRIES INC                     DE       7.01,9.01            05/03/13

DUCOMMUN INC /DE/                       DE       2.02,9.01            05/06/13

DYNAVAX TECHNOLOGIES CORP               DE       2.02,9.01            05/06/13

EACO CORP                               FL       1.01                 05/02/13

ECA Marcellus Trust I                   DE       2.02,9.01            05/06/13

EMAGIN CORP                             DE       1.01,5.02,9.01       04/30/13

EMTEC INC/NJ                            UT       5.03,5.07,9.01       04/30/13

Energy Services of America CORP         DE       1.01,9.01            05/03/13

Energy Transfer Equity, L.P.            DE       5.02                 05/01/13    AMEND

ENERGY XXI (BERMUDA) LTD                D0       1.01,9.01            05/01/13

ENERGY XXI (BERMUDA) LTD                D0       2.02,9.01            05/06/13

ENERGY XXI (BERMUDA) LTD                D0       8.01,9.01            05/06/13

ENERNOC INC                             DE       2.02,9.01            05/06/13

ENSIGN GROUP, INC                                2.02,9.01            05/01/13

ENZON PHARMACEUTICALS INC               DE       8.01                 04/30/13

EOG RESOURCES INC                       DE       2.02,7.01,9.01       05/01/13

EPL OIL & GAS, INC.                     DE       5.02                 05/06/13

EVERTEC, Inc.                           PR       2.02,9.01            05/06/13

EXELON CORP                             PA       7.01,9.01            05/06/13

FAIRPOINT COMMUNICATIONS INC            DE       2.02,9.01            05/06/13

Fairway Group Holdings Corp             DE       1.01,9.01            05/03/13

FelCor Lodging Trust Inc                MD       5.02,9.01            04/30/13

FIRST BUSINESS FINANCIAL SERVICES, IN   WI       7.01,9.01            05/06/13

FIRST COLOMBIA GOLD CORP.               NV       1.01,7.01,9.01       05/01/13

FIRST PACTRUST BANCORP INC              MD       1.01,9.01            05/05/13

FIRST SOLAR, INC.                       DE       2.02,9.01            05/06/13

Five Oaks Investment Corp.              MD       7.01                 05/06/13

FOREST OIL CORP                         NY       2.02,9.01            05/06/13

FORWARD AIR CORP                        TN       5.07                 05/06/13

FOSTER WHEELER AG                       V8       5.02,5.07,9.01       05/02/13

FRANKLIN ELECTRIC CO INC                IN       5.07                 05/03/13

FRONTIER COMMUNICATIONS CORP            DE       1.01,1.02,8.01,9.01  05/06/13

FRONTIER COMMUNICATIONS CORP            DE       2.02,7.01,9.01       05/06/13

FS Energy & Power Fund                  DE       2.02                 05/01/13

FURNITURE BRANDS INTERNATIONAL INC      DE       5.02,5.07,9.01       05/02/13

FUTURES PORTFOLIO FUND L.P.             MD       3.02                 05/01/13

FX ENERGY INC                           NV       8.01,9.01            05/06/13

GCI INC                                 AK       2.03,9.01            04/30/13

GENERAL COMMUNICATION INC               AK       2.03,9.01            04/30/13

General Motors Financial Company, Inc   TX       7.01,8.01,9.01       05/06/13

GENERAL STEEL HOLDINGS INC              NV       3.01,8.01,9.01       05/02/13

GEOSPACE TECHNOLOGIES CORP              DE       5.02                 05/03/13    AMEND

GEOVIC MINING CORP.                     DE       5.02                 05/03/13

GLADSTONE LAND Corp                     MD       2.02,9.01            05/06/13

GLATFELTER P H CO                       PA       8.01                 05/01/13

GLATFELTER P H CO                       PA       5.02                 05/06/13

GLEACHER & COMPANY, INC.                DE       5.03,9.01            04/30/13

GLOBAL CASINOS INC                      UT       1.01,9.01            05/02/13

Global Eagle Entertainment Inc.         DE       2.02,9.01            05/02/13

Global Telecom & Technology, Inc.       DE       1.01,1.02,2.01,      04/30/13

Gramercy Property Trust Inc.            MD       5.02,9.01            04/30/13

GRAN TIERRA ENERGY INC.                 NV       2.02,9.01            05/06/13

GREEN HYGIENICS HOLDINGS INC.           NV       1.01,3.02,9.01       03/20/13

GREENWAY MEDICAL TECHNOLOGIES INC                2.02,9.01            05/06/13

GROWLIFE, INC.                          DE       5.02                 05/03/13

GROWLIFE, INC.                          DE       7.01,9.01            05/03/13

GTJ REIT, Inc.                          MD       5.02                 05/01/13

GTX INC /DE/                            DE       5.02,5.07,9.01       05/02/13

HARVEST NATURAL RESOURCES, INC.         DE       2.02,9.01            05/03/13

HEALTH CARE REIT INC /DE/               DE       5.07                 05/02/13

HealthWarehouse.com, Inc.               DE       5.02,9.01            04/29/13

Hedge Fund Managers (Diversified) LLC   DE       7.01                 05/06/13

HEINZ H J CO                            PA       7.01                 05/06/13

HESKA CORP                              DE       5.07                 04/30/13

HF FINANCIAL CORP                       DE       7.01                 05/06/13

Hilltop Holdings Inc.                   MD       2.02,9.01            05/06/13

HMS HOLDINGS CORP                                1.01,1.02,9.01       05/03/13

HOLOGIC INC                             DE       2.02,9.01            05/06/13

HomeTrust Bancshares, Inc.              MD       7.01,9.01            05/03/13

HORIZON BANCORP /IN/                    IN       5.07                 05/02/13

Horsehead Holding Corp                           2.02,9.01            05/06/13

HOTEL OUTSOURCE MANAGEMENT INTERNATIO   DE       5.02                 05/05/13

Hudson Pacific Properties, Inc.         MD       2.02,7.01,9.01       05/06/13

HUNTINGTON INGALLS INDUSTRIES, INC.     DE       5.03,5.07,9.01       05/01/13

Huntsman CORP                           DE       5.07                 05/02/13

Hyatt Hotels Corp                       DE       8.01,9.01            05/03/13

ICAD INC                                DE       2.02,9.01            04/29/13

IGATE CORP                              PA       5.02,9.01            05/01/13

INERGY L P                              DE       7.01,9.01            05/06/13

INERGY L P                              DE       7.01,8.01,9.01       05/06/13

INERGY MIDSTREAM, L.P.                  DE       7.01,8.01,9.01       05/06/13

INGLES MARKETS INC                      NC       2.02,9.01            05/06/13

INSULET CORP                            DE       2.02,9.01            05/06/13

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       3.02                 04/30/13

Interactive Intelligence Group, Inc.    IN       2.02,9.01            05/06/13

INTERLINE BRANDS, INC./DE               DE       2.02,9.01            05/06/13

Intermec, Inc.                          DE       2.02,7.01,9.01       05/03/13

INTERNATIONAL BUSINESS MACHINES CORP    NY       9.01                 05/02/13

Internet Patents Corp                            2.02,9.01            05/03/13

Interval Leisure Group, Inc.            DE       2.02,8.01,9.01       05/06/13

Inventtech Inc.                         NV       8.01                 05/06/13

INVESTORS TITLE CO                      NC       2.02,9.01            05/06/13

ISA INTERNATIONALE INC                  DE       1.01                 04/30/13

ISSUER DIRECT CORP                               2.02,9.01            05/06/13

iTalk Inc.                              NV       8.01,9.01            05/06/13

ITRON INC /WA/                          WA       5.07                 05/03/13

JMP Group Inc.                          DE       2.02,9.01            05/06/13

JMP Group Inc.                          DE       1.01,2.03,9.01       04/30/13

JONES GROUP INC                         PA       1.01,9.01            05/03/13

K12 INC                                 DE       5.02                 05/03/13

KANSAS CITY SOUTHERN                    DE       5.07,7.01,9.01       05/02/13

KEATING CAPITAL INC                              7.01,9.01            05/06/13

KILROY REALTY CORP                      MD       8.01,9.01            05/06/13

KONA GRILL INC                          DE       5.07                 04/30/13

KRISPY KREME DOUGHNUTS INC              NC       7.01                 05/06/13

Labor Smart, Inc.                       NV       1.01,2.01,9.01       05/06/13

Landmark Apartment Trust of America,             2.03,8.01            04/30/13

Lantheus Medical Imaging, Inc.          DE       5.02,9.01            04/30/13

Lattice INC                             DE       2.01,9.01            04/24/13

LATTICE SEMICONDUCTOR CORP              DE       5.02,5.07            05/01/13

LEE ENTERPRISES, INC                    DE       8.01,9.01            04/30/13

LEGACY RESERVES LP                      DE       2.02,9.01            05/06/13

Liberto, Inc                            NV       5.03,8.01,9.01       05/06/13

Liberty Global, Inc.                    DE       2.02,7.01            05/06/13

Lightning Gaming, Inc.                  NV       1.01,2.03,3.02,9.01  05/06/13

LILLY ELI & CO                          IN       5.02                 05/06/13

LILLY ELI & CO                          IN       5.07                 05/06/13

LIN TV CORP.                            DE       8.01,9.01            05/06/13

LINCOLN EDUCATIONAL SERVICES CORP       NJ       5.02,5.07,9.01       04/30/13

LKQ CORP                                DE       1.01,2.03,9.01       04/30/13

Lone Pine Resources Inc.                DE       7.01,9.01            05/06/13

LRI HOLDINGS, INC.                               1.01,9.01            04/30/13

LSB INDUSTRIES INC                      DE       2.02,9.01            05/06/13

Lumos Networks Corp.                    VA       7.01                 05/06/13

M LINE HOLDINGS INC                     NV       1.01,5.03,9.01       04/30/13

MACK CALI REALTY CORP                   MD       5.02,9.01            05/06/13

MAGNETEK, INC.                          DE       5.03,5.07,9.01       05/03/13

MANAGED FUTURES PREMIER WARRINGTON L.   NY       3.02                 05/01/13

MARTEN TRANSPORT LTD                    DE       5.02,5.07,9.01       05/03/13

MARTIN MIDSTREAM PARTNERS LP            DE       2.02,9.01            05/06/13

Matson, Inc.                            HI       2.02,9.01            05/06/13

MBT FINANCIAL CORP                      MI       5.07                 05/02/13

MCDONALDS CORP                          DE       8.01,9.01            05/06/13

MCGRAW HILL FINANCIAL INC               NY       5.03,5.07,9.01       05/01/13

MDU RESOURCES GROUP INC                 DE       1.04                 05/01/13

MEDIACOM BROADBAND LLC                  DE       2.02,9.01            05/06/13

MEDIACOM LLC                            NY       2.02,9.01            05/06/13

MERGE HEALTHCARE INC                    DE       2.02,9.01            04/30/13

MERITOR INC                             IN       5.02,9.01            05/03/13

MERITOR INC                             IN       7.01                 05/06/13

METTLER TOLEDO INTERNATIONAL INC/       DE       5.07                 05/02/13

MGP INGREDIENTS INC                     KS       2.02,7.01,9.01       05/06/13

MIDDLESEX WATER CO                      NJ       2.02,9.01            05/06/13

MMAX MEDIA, INC.                        NV       8.01,9.01            04/30/13

MOBILE MINI INC                         DE       2.02,9.01            05/06/13

MOLEX INC                               DE       5.02,9.01            04/30/13

MOLINA HEALTHCARE INC                   DE       5.07                 05/01/13

MONMOUTH REAL ESTATE INVESTMENT CORP    MD       5.07                 05/06/13

MTS SYSTEMS CORP                        MN       2.02,9.01            05/06/13

MURPHY OIL CORP /DE                     DE       8.01,9.01            05/06/13

MURPHY OIL CORP /DE                     DE       5.02                 05/02/13

MYR GROUP INC.                          DE       5.07                 05/02/13

NATIONAL HEALTH INVESTORS INC           MD       5.07                 04/29/13

NATIONAL HEALTH INVESTORS INC           MD       7.01,9.01            05/03/13

NATIONAL HEALTH INVESTORS INC           MD       2.02,9.01            05/03/13

NATIONAL WESTERN LIFE INSURANCE CO      CO       2.02,9.01            05/06/13


Naugatuck Valley Financial Corp                  5.02                 04/30/13

NAUTILUS, INC.                          WA       2.02,9.01            05/06/13

NCL CORP Ltd.                           D0       2.02,9.01            05/06/13

NeuroMetrix, Inc.                       DE       5.02,5.07,9.01       05/06/13

Neutral Tandem Inc                               1.01,2.01,8.01,9.01  04/30/13

New Mountain Finance Corp               DE       2.02,9.01            05/06/13

NEWCASTLE INVESTMENT CORP               MD       2.02,9.01            05/03/13

NEWLINK GENETICS CORP                            2.02,9.01            05/06/13

NGP Capital Resources Co                MD       7.01,9.01            05/06/13

NIC INC                                 CO       2.02,7.01,9.01       05/06/13

Nielsen Holdings N.V.                   P7       1.01                 05/04/13

NORTHERN OIL & GAS, INC.                         2.02,9.01            05/06/13

NORTHSTAR REALTY FINANCE CORP.          MD       9.01                 04/05/13    AMEND

NORTHWEST PIPE CO                       OR       2.02,9.01            05/06/13

Norwegian Cruise Line Holdings Ltd.              2.02,9.01            05/06/13

Ocean Electric Inc.                              5.02,9.01            05/01/13

OLIN CORP                               VA       7.01,9.01            05/06/13

OLYMPIC STEEL INC                       OH       5.07                 05/03/13

OMEGA PROTEIN CORP                      NV       2.02                 05/06/13

ORION FUTURES FUND LP                   NY       3.02                 05/01/13

Orion Marine Group Inc                           2.02,9.01            05/02/13

OTELCO INC.                             DE       1.03,9.01            05/06/13

OXIGENE INC                             DE       2.02,9.01            05/06/13

PAA NATURAL GAS STORAGE LP              DE       2.02,7.01,9.01       05/06/13

PACIFIC PREMIER BANCORP INC             DE       7.01,9.01            05/06/13

PAPA JOHNS INTERNATIONAL INC            DE       1.01,1.02,2.03,      04/30/13

Park Sterling Corp                      NC       7.01,9.01            05/06/13

PARKWAY PROPERTIES INC                  MD       2.02,7.01,9.01       05/06/13

PC TEL INC                              DE       1.01,9.01            04/30/13

PEGASYSTEMS INC                         MA       2.02,9.01            05/06/13

PEOPLES BANCORP OF NORTH CAROLINA INC   NC       5.07                 05/02/13

PEPSICO INC                             NC       5.07,8.01            04/30/13

PETMED EXPRESS INC                      FL       8.01,9.01            05/03/13

PETMED EXPRESS INC                      FL       8.01,9.01            05/06/13

PG&E Corp                               CA       8.01                 05/03/13

PGT, Inc.                               DE       5.07                 05/06/13

Piedmont Office Realty Trust, Inc.      MD       8.01,9.01            05/06/13

Piedmont Office Realty Trust, Inc.      MD       8.01,9.01            05/06/13

Pike Electric CORP                               2.02,9.01            05/06/13

PITOOEY!, INC.                          NV       2.03,3.02,9.01       04/29/13

PLAINS ALL AMERICAN PIPELINE LP         DE       2.02,7.01,9.01       05/06/13

PLANAR SYSTEMS INC                      OR       2.02,9.01            05/06/13

PLY GEM HOLDINGS INC                    DE       2.02,9.01            05/06/13

PMX Communities, Inc.                   NV       4.01,9.01            05/01/13

PNM RESOURCES INC                       NM       2.02,9.01            05/06/13

POTOMAC FUTURES FUND LP                 NY       3.02                 05/01/13

PREFERRED APARTMENT COMMUNITIES INC     MD       1.01,2.02,9.01       04/30/13

PRIMEENERGY CORP                        DE       5.07                 05/02/13

PROASSURANCE CORP                       DE       2.02,7.01,9.01       05/06/13

PROFIRE ENERGY INC                      UT       2.02,9.01            05/06/13

PROSPECT GLOBAL RESOURCES INC.          NV       1.01,8.01,9.01       04/30/13

PROTECTIVE LIFE CORP                    DE       8.01,9.01            05/06/13

Psychic Friends Network Inc.            NV       5.07                 05/02/13

PULTEGROUP INC/MI/                      MI       8.01                 05/02/13

PVR PARTNERS, L. P.                     DE       7.01,9.01            05/06/13

PVR PARTNERS, L. P.                     DE       7.01,9.01            05/06/13

QLIK TECHNOLOGIES INC                   DE       8.01,9.01            05/06/13

QUALYS, INC.                            DE       2.02,9.01            05/06/13

QUESTCOR PHARMACEUTICALS INC            CA       2.02,9.01            04/30/13

QUICKSILVER RESOURCES INC               DE       2.01,9.01            04/30/13

REALNETWORKS INC                        WA       1.01,1.02            05/02/13

RED METAL RESOURCES, LTD.               NV       1.01,9.01            04/30/13

RED MOUNTAIN RESOURCES, INC.            FL       1.01,3.02,5          05/03/13

Reef Oil & Gas Income & Development F   TX       1.01                 04/30/13

REGENERON PHARMACEUTICALS INC           NY       1.01,9.01            05/02/13

RES CARE INC /KY/                       KY       2.02,9.01            05/06/13

Resolute Energy Corp                    DE       2.02,9.01            05/06/13

RESPONSYS INC                           DE       2.02,9.01            05/06/13

RETAIL PROPERTIES OF AMERICA, INC.      MD       2.02,9.01            05/06/13

RigNet, Inc.                            DE       2.02,9.01            05/06/13

RLJ Lodging Trust                       MD       5.07                 05/02/13

ROI Acquisition Corp.                   DE       7.01,9.01            05/06/13

Rosetta Resources Inc.                  DE       9.01                 05/03/13

RREEF Property Trust, Inc.              MD       1.01,2.03,9.01       05/06/13

RUCKUS WIRELESS INC                     DE       2.02,9.01            05/06/13

SABINE ROYALTY TRUST                    TX       2.02,9.01            05/03/13

SAFETY INSURANCE GROUP INC              DE       2.02,9.01            05/06/13

Sagent Pharmaceuticals, Inc.            DE       1.01,2.02,8.01,9.01  04/30/13

SAIC, Inc.                                       1.01,9.01            05/03/13

SANTARUS INC                            DE       2.02,9.01            05/06/13

SANTEON GROUP, INC.                     DE       5.02,9.01            04/26/13

SCOTTS MIRACLE-GRO CO                   OH       2.02,9.01            05/03/13

SCRIPPS E W CO /DE                      OH       2.02,9.01            05/06/13

Select Notes Trust LT 2004-1            DE       8.01,9.01            05/01/13

SemGroup Corp                           DE       1.01,2.03,7.01,9.01  04/30/13

SENESCO TECHNOLOGIES INC                DE       8.01,9.01            05/06/13

Sequoia Mortgage Trust 2013-6                    8.01,9.01            05/02/13

SHARPS COMPLIANCE CORP                  DE       1.01,2.03,9.01       05/01/13

SIGA TECHNOLOGIES INC                   DE       3.02,9.01            04/30/13

Skilled Healthcare Group, Inc.          DE       2.02,9.01            05/06/13

SLM CORP                                DE       8.01,9.01            05/06/13

SmartMetric, Inc.                                7.01                 05/06/13

SNYDER'S-LANCE, INC.                    NC       5.03,5.07,8.01,9.01  05/03/13

SOUTHERN UNION CO                       DE       1.01,2.01,2.03,      04/30/13

Special Value Continuation Partners,    DE       5.07                 05/01/13

Spectra Energy Corp.                    DE       5.07                 04/30/13

Spirit AeroSystems Holdings, Inc.       DE       5.02,5.07,9.01       04/30/13

SPX CORP                                DE       5.07                 05/02/13

STAG Industrial, Inc.                            2.02,9.01            05/06/13

STAG Industrial, Inc.                            5.02,5.07,9.01       05/06/13

STARWOOD PROPERTY TRUST, INC.                    5.02,5.07,9.01       05/02/13

State Auto Financial CORP               OH       2.02,7.01,9.01       04/30/13

STEEL DYNAMICS INC                      IN       5.02                 05/02/13

Stevia Corp                             NV       1.01,3.02,9.01       05/03/13

STRATS (SM) Trust for Ambac Financial            8.01                 05/03/13

STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            05/01/13

Summit Hotel Properties, Inc.           MD       1.01                 05/06/13

Summit Hotel Properties, Inc.           MD       2.02,9.01            05/06/13

Sunstone Hotel Investors, Inc.          MD       2.01,2.02,           05/01/13

SUPERMEDIA INC.                         DE       5.03,8.01,9.01       04/30/13    AMEND

SUPERNUS PHARMACEUTICALS INC            DE       2.02,9.01            05/06/13

SYKES ENTERPRISES INC                   FL       2.02,9.01            05/06/13

SYNTA PHARMACEUTICALS CORP                       8.01                 05/05/13

SYSCO CORP                              DE       2.02,9.01            05/06/13

TCP Capital Corp.                       DE       5.07                 05/01/13

TECHNICAL COMMUNICATIONS CORP           MA       1.01,2.02,9.01       05/04/13

Technologies Scan Corp                  A8       1.01,9.01            04/27/13

TECUMSEH PRODUCTS CO                    MI       2.02,7.01,9.01       05/06/13

TELKONET INC                            UT       1.01                 04/30/13

TENET HEALTHCARE CORP                   NV       5.07                 05/03/13

TERADATA CORP /DE/                               5.07                 04/30/13

Terra Tech Corp.                        NV       1.01,3.02,           04/29/13

TESCO CORP                                       2.02,9.01            05/06/13

TESORO CORP /NEW/                       DE       5.02,5.07,9.01       05/01/13

TESORO LOGISTICS LP                     DE       2.02,9.01            05/06/13

TF FINANCIAL CORP                       PA       5.02                 05/01/13

THL Credit, Inc.                        DE       2.02,9.01            05/06/13

THOR INDUSTRIES INC                     DE       1.01,2.06,9.01       04/30/13

Tianli Agritech, Inc.                   D8       7.01,9.01            05/06/13

TRACTOR SUPPLY CO /DE/                  DE       5.07                 05/06/13

TRANSACT TECHNOLOGIES INC               DE       2.02,9.01            05/02/13

Tri-Tech Holding, Inc.                  E9       2.02,5.07,           05/06/13

tw telecom inc.                         DE       2.02,9.01            05/06/13

TYSON FOODS INC                         DE       2.02,9.01            05/06/13

UFP TECHNOLOGIES INC                    DE       2.02,9.01            05/03/13

ULTRA PETROLEUM CORP                             2.02,9.01            03/31/13

Under Armour, Inc.                      MD       5.02,5.07,9.01       04/30/13

UNIT CORP                               DE       5.07                 05/01/13

United Realty Trust Inc                 MD       2.01,9.01            03/29/13    AMEND

UNITED SECURITY BANCSHARES INC          DE       2.02,9.01            05/06/13

UNS Energy Corp                         AZ       5.07                 05/06/13

USA TRUCK INC                           DE       2.02,9.01            05/06/13

USEC INC                                DE       2.02,3.01,5.03,9.01  04/30/13

Vantiv, Inc.                                     2.02,9.01            05/06/13

Vantiv, Inc.                                     8.01,9.01            05/06/13

WALTER INVESTMENT MANAGEMENT CORP       MD       2.01,9.01            04/30/13

WASHINGTON BANKING CO                   WA       5.07                 05/03/13

WEIS MARKETS INC                        PA       2.02,9.01            05/06/13

WESTLAKE CHEMICAL CORP                  DE       2.02,9.01            05/06/13

WESTPORT FUTURES FUND L.P.              NY       3.02                 05/01/13

WFRBS Commercial Mortgage Trust 2013-            9.01                 05/03/13

Where Food Comes From, Inc.                      2.02,9.01            05/01/13

Whitestone REIT                         TX       2.02,9.01            05/06/13

Whitestone REIT Operating Partnership   DE       2.02,9.01            05/06/13

World Monitor Trust III - Series J      DE       8.01,9.01            04/30/13

Xenith Bankshares, Inc.                 VA       5.07                 05/02/13

XENOPORT INC                            DE       2.01,9.01            05/01/13

ZAGG Inc                                NV       2.02,9.01            05/02/13

ZIONS BANCORPORATION /UT/               UT       8.01                 05/01/13



Modified: 05/08/2013