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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Four Issuers for Failure to Make Required Periodic FilingsThe Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 8, 2013 and terminating at 11:59 p.m. EDT on May 21, 2013:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to trading suspensions until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-69532) Commission MeetingsClosed Meeting on Thursday, May 16, 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 Orders Hearings on Registration Suspension or Revocation against Four Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of four companies for failure to make required periodic filings with the Commission: In the Matter of CoreCare Systems, Inc., et al., Administrative Proceeding File No. 3-15319
In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-69533; File No. 3-15319) Commission Revokes Registration of Securities of Penn Treaty American Corporation for Failure to Make Required Periodic FilingsOn May 8, 2013, the Commission revoked the registration of each class of registered securities of Penn Treaty American Corporation (PTYA) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, PTYA consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Penn Treaty American Corporation finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of PTYA’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against PTYA in In the Matter of Enercorp, Inc., et al., Administrative Proceeding File No. 3-15301. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34- 69531; File No. 3-15301) Commission Charges China-based Company and Former Chief Financial Officer in Fraudulent Scheme involving Non-Existent Computing BusinessThe Commission announced today that it filed an enforcement action on May 8, 2013, in federal court in New York City charging Subaye, Inc., a company based in China whose stock trades in the U.S., and James T. Crane, its former Chief Financial Officer and a U.S. citizen believed to be recently living in southern California, with engaging in a fraudulent scheme during 2010-2011. The Commission alleges that Subaye and Crane misrepresented the company’s business and operations, deceived the company’s auditors, and misled investors about the company’s true status and revenues. According to the complaint, Subaye claimed to be operating a cloud computing business but investigations found no evidence of such a business. Subaye has offered to settle the case, while the action against Crane is unsettled. The Commission’s complaint, filed in the U.S. District Court for the Southern District of New York, alleges that Subaye began promoting itself during 2010 as a provider of cloud computing services to Chinese businesses. According to the complaint, Subaye claimed to have over 1,400 sales and marketing employees in 2010, with reported revenues of $39 million that fiscal year and projected revenues of more than $71 million for 2011. However, by May 2011, according to the complaint, and Subaye was revealed to be a company with no verifiable revenues, few, if any, real customers, and no infrastructure to support its claimed cloud computing business. The complaint alleges that the business that Subaye had presented to investors and described in filings with the Commission was imaginary and non-existent. The complaint further alleges that Crane signed Subaye’s materially misleading filings with the Commission that contained false statements about Subaye’s revenues, business, number of employees, and number of paying customers. According to the complaint, Crane also falsified the books, records, and accounts of Subaye and provided false information to Subaye’s outside auditors. The Commission’s complaint also charges Crane with violating a bar from the Public Company Accounting Oversight Board (PCAOB). According to the complaint, in January 2011, Crane and his Cambridge, Massachusetts-based accounting firm were sanctioned by the PCAOB, which permanently revoked his firm’s registration and barred him from being associated with a registered accounting firm or being associated with any public company in an accounting or financial management capacity. The complaint alleges that, in violation of the January 2011 PCAOB order, Crane remained as the CFO of Subaye until March 2011, even after the PCAOB denied his request to remain as Subaye’s CFO for those two months. The complaint alleges that Crane violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13a-14, 13b2-1 and 13b2-2 thereunder, and Section 105(c)(7)(B) of the Sarbanes-Oxley Act of 2002; and that Crane aided and abetted Subaye’s violations of Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11, thereunder. The Commission is seeking a permanent injunction, disgorgement plus prejudgment interest, and civil penalties. It also seeks an order prohibiting Crane from serving as an officer or director of a public company. The complaint alleges that Subaye violated Sections 10(b), 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act of 1934 and Rules 10b-5, 12b-20, 13a-1 and 13a-11 thereunder. Subaye has agreed to settle this matter, subject to Court approval, without admitting or denying the allegations in the Commission’s complaint, by consenting to the entry of a final judgment that would permanently enjoin it from future violations of the above law sections. [SEC v. Subaye, Inc. and James T. Crane, Civil Action No. 13 CIV 3114 (S.D.N.Y.)] (LR-22698) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-45) amending NYSE Arca Equities Rule 7.11(a)(6)(C) to add Inside Limit Orders as eligible for repricing instructions has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69527) 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-3 Teekay Offshore 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 333-188393 - May. 7) (BR. 05C)
F-3ASR BANCOLOMBIA SA, AVENIDA LOS INDUSTRIALES, CARRERA 48 # 26 -85,
MEDELLIN, F8, 00000, 574--510-18-38 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188394 - May. 7)
(BR. 12A)
S-3ASR PERRIGO CO, 515 EASTERN AVENUE, ALLEGAN, MI, 49010, 2696738451 -
0 ($0.00) Debt, (File 333-188395 - May. 7) (BR. 01B)
S-8 Nuance Communications, Inc., 1 WAYSIDE ROAD, BURLINGTON, MA, 01803,
781-565-5000 - 7,500,000 ($143,212,500.00) Equity, (File 333-188397 -
May. 7) (BR. 03C)
S-8 ALMOST FAMILY INC, 9510 ORMSBY STATION ROAD, STE 300, LOUISVILLE, KY,
40223, 5028911000 - 700,000 ($13,874,000.00) Equity, (File 333-188398 -
May. 7) (BR. 09B)
S-8 CSR PLC, CHURCHILL HOUSE, CAMBRIDGE BUSINESS PARK, COWLEY ROAD,
CAMBRIDGE, X0, CB4 0WZ, 44 (0) 1223 692000 -
2,850,000 ($22,087,500.00) Other, (File 333-188399 - May. 7) (BR. 10A)
S-3ASR CALGON CARBON CORPORATION, P O BOX 717, 400 CALGON CARBON DR,
PITTSBURGH, PA, 15230-0717, 4127876700 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-188400 - May. 7)
(BR. 06A)
S-1 Altimo Group Corp, JOZEFA BEMA 6A, BYDGOSZCZ, R9, 85-001, 48601212388 -
10,000,000 ($100,000.00) Equity, (File 333-188401 - May. 7) (BR. 04)
S-1 Momentive Performance Materials Inc., 260 HUDSON RIVER ROAD, WATERFORD,
NY, 12188, 518-237-3330 - 0 ($124,323,000.00) Non-Convertible Debt,
(File 333-188402 - May. 7) (BR. 06C)
S-8 Ironwood Gold Corp., 123 WEST NYE LANE, SUITE 129, CARSON CITY, NV,
89706, 4402085411656 - 4,000,000 ($80,000.00) Equity,
(File 333-188403 - May. 7) (BR. 09B)
S-3 PENN VIRGINIA CORP, 100 MATSONFORD ROAD SUITE 200,
FOUR RADNOR CORPORATE CENTER, RADNOR, PA, 19087, 6106878900 -
0 ($41,100,000.00) Equity, (File 333-188404 - May. 7) (BR. 04A)
S-8 TESORO CORP /NEW/, 19100 RIDGEWOOD PKWY, SAN ANTONIO, TX, 78259-1828,
210 626-6000 - 0 ($103,440,000.00) Equity, (File 333-188405 - May. 7)
(BR. 04B)
S-8 FUSION-IO, INC., 2855 E. COTTONWOOD PARKWAY, SUITE 100, SALT LAKE CITY,
UT, 84121, 801-424-5500 - 0 ($2,491,632.01) Equity, (File 333-188406 -
May. 7) (BR. 03A)
S-3ASR ISIS PHARMACEUTICALS INC, 2855 GAZELLE COURT, CARLSBAD, CA, 92010,
7609319200 - 0 ($0.00) Equity, (File 333-188407 - May. 7) (BR. 01A)
S-3ASR 3D SYSTEMS CORP, 333 THREE D SYSTEMS CIRCLE, ROCK HILL, SC, 29730,
8033263900 - 0 ($0.00) Equity, (File 333-188408 - May. 7) (BR. 03A)
S-8 COLUMBIA PROPERTY TRUST, INC., ONE GLENLAKE PARKWAY, SUITE 1200,
ATLANTA, GA, 30328, 4044652200 - 8,000,000 ($58,640,000.00) Equity,
(File 333-188409 - May. 7) (BR. 08C)
F-3ASR Brookfield Infrastructure Partners L.P., 73 FRONT STREET, HAMILTON, D0,
HM12, 441 296-4480 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188410 - May. 7) (BR. 02C)
S-8 NEWELL RUBBERMAID INC, THREE GLENLAKE PARKWAY, ATLANTA, GA, 30328,
770-418-7000 - 0 ($431,805,000.00) Equity, (File 333-188411 - May. 7)
(BR. 06B)
S-B ISRAEL STATE OF, 800 SECOND AVENUE 17TH FLOOR, NEW YORK, NY, 10017,
2125600600 - 0 ($1,917,000,000.00) Debt, (File 333-188412 - May. 7)
(BR. DN)
S-1 SCG Financial Acquisition Corp., 615 N. WABASH, CHICAGO, IL, 60611,
312-784-3960 - 10,000,000 ($10,000,000.00) Equity, (File 333-188413 -
May. 7) (BR. 03C)
S-1 SCG Financial Acquisition Corp., 615 N. WABASH, CHICAGO, IL, 60611,
312-784-3960 - 13,666,666 ($212,379,989.64) Equity, (File 333-188414 -
May. 7) (BR. 03C)
S-3ASR Apollo Global Management LLC, 9 West 57th Str, new York, ny, 10019,
212-515-3200 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188415 - May. 7) (BR. 12B)
S-3ASR Apollo Global Management LLC, 9 West 57th Str, new York, ny, 10019,
212-515-3200 - 0 ($479,700,000.00) Equity, (File 333-188416 - May. 7)
(BR. 12B)
S-3ASR Apollo Global Management LLC, 9 West 57th Str, new York, ny, 10019,
212-515-3200 - 0 ($421,223,957.05) Equity, (File 333-188417 - May. 7)
(BR. 12B)
S-4 ASHLAND INC., 50 EAST RIVERCENTER BLVD., 16TH FLOOR, COVINGTON, KY,
41012, 859-815-3483 - 0 ($2,800,000,000.00) Other, (File 333-188418 -
May. 7) (BR. 06C)
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
-------------------------------------------------------------------------------------------
1st Financial Services CORP NC 5.02 05/06/13
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 05/07/13
ACCURAY INC DE 2.02,9.01 05/07/13
ACE MARKETING & PROMOTIONS INC NY 4.01,9.01 05/06/13
AECOM TECHNOLOGY CORP DE 2.02,9.01 05/07/13
AETNA INC /PA/ PA 1.01,2.01, 05/07/13
2.03,8.01,9.01
Affinity Gaming NV 5.02,8.01 05/01/13
AG Mortgage Investment Trust, Inc. MD 5.07 05/01/13
AKORN INC LA 2.02,5.07,9.01 05/03/13
ALIMERA SCIENCES INC DE 8.01 05/07/13
ALLEGHENY TECHNOLOGIES INC DE 5.07 05/02/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/07/13
Allied Nevada Gold Corp. DE 5.07,7.01,9.01 05/02/13
ALMOST FAMILY INC DE 2.02,9.01 04/30/13
Alpha Natural Resources, Inc. DE 8.01,9.01 05/07/13
Altegris QIM Futures Fund, L.P. DE 3.02 05/01/13
Altegris Winton Futures Fund, L.P. CO 3.02 05/01/13
American Assets Trust, Inc. MD 8.01,9.01 05/06/13
AMERICAN EXPRESS CO NY 5.02,9.01 05/07/13
American Realty Capital Global Trust, 2.01,2.03,8.01,9.01 05/03/13
AMERICAN SCIENCE & ENGINEERING, INC. MA 2.02,8.01,9.01 05/07/13
American Water Works Company, Inc. DE 2.02,9.01 05/07/13
Ameris Bancorp GA 7.01,9.01 05/07/13
AmREIT, Inc. MD 2.02,9.01 05/07/13
ANDERSONS INC OH 2.02 05/07/13
Antaga International Corp NV 3.02,5.01,5.02,8.01 05/06/13
AOL Inc. DE 5.07 05/03/13
APCO OIL & GAS INTERNATIONAL INC 2.02,9.01 05/07/13
APEX 2 INC. DE 4.01,9.01 12/17/12 AMEND
Apollo Global Management LLC DE 1.01,8.01,9.01 05/07/13
Apollo Residential Mortgage, Inc. MD 2.02,9.01 05/06/13
APT Systems Inc 4.01,9.01 05/06/13 AMEND
ARBITRON INC DE 2.02,9.01 05/07/13
ARC DOCUMENT SOLUTIONS, INC. DE 2.02,5.07,9.01 05/07/13
ARES CAPITAL CORP MD 2.02,7.01,9.01 05/07/13
ARGAN INC DE 8.01,9.01 05/06/13
ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 05/07/13
ARTHROCARE CORP DE 2.02,9.01 05/07/13
ARUBA NETWORKS, INC. DE 2.02,9.01 05/07/13
As Seen On TV, Inc. FL 1.01,5.02,9.01 05/02/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/07/13
ASSET ACCEPTANCE CAPITAL CORP 8.01 05/03/13
AUTOLIV INC DE 5.07,8.01,9.01 05/07/13
AVIV REIT, INC. MD 2.02,9.01 05/07/13
AVON PRODUCTS INC NY 5.02,5.07,9.01 05/01/13
AVT, Inc. NV 8.01 05/06/13
AXIS CAPITAL HOLDINGS LTD 5.07 05/03/13
B&G Foods, Inc. DE 8.01,9.01 05/06/13
BAB, INC. DE 1.01,3.03, 05/06/13
5.03,8.01,9.01
Babcock & Wilcox Co DE 2.02,5.07,9.01 05/03/13
BALDWIN & LYONS INC IN 5.07 05/07/13
BANK MUTUAL CORP WI 5.07 05/06/13
BARRY R G CORP /OH/ OH 2.02,9.01 05/07/13
BASIC ENERGY SERVICES INC 5.02,9.01 05/01/13
BAY BANKS OF VIRGINIA INC VA 2.02,9.01 05/07/13
BERKSHIRE HATHAWAY INC DE 5.07 05/04/13
BERRY PLASTICS GROUP INC DE 5.02 05/01/13
BIO RAD LABORATORIES INC DE 2.02,9.01 05/07/13
BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 05/07/13
BIOLASE, INC DE 2.02,7.01,9.01 05/07/13
BJs RESTAURANTS INC CA 8.01,9.01 05/07/13
BLACKSTONE MORTGAGE TRUST, INC. MD 1.01,2.02, 05/06/13
5.03,8.01,9.01
BLOUNT INTERNATIONAL INC DE 1.01,2.02,9.01 05/07/13
Blueknight Energy Partners, L.P. DE 2.02,9.01 05/07/13
BMC SOFTWARE INC DE 2.02,9.01 05/06/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,9.01 05/07/13
BROADSOFT, INC. DE 5.07 05/02/13
BWAY INTERMEDIATE COMPANY, INC. DE 2.02,9.01 05/07/13
C H ROBINSON WORLDWIDE INC DE 2.02,9.01 05/07/13
C2E ENERGY, INC. FL 7.01 05/07/13
CA, INC. DE 2.02,2.05,9.01 05/01/13
CACHE INC FL 3.02,8.01 05/01/13
Calamos Asset Management, Inc. /DE/ 2.02,9.01 05/07/13
CALGON CARBON CORPORATION DE 1.01,5.07 05/01/13
CAMBIUM LEARNING GROUP, INC. 3.01 05/01/13
CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 05/06/13
CARRIAGE SERVICES INC DE 2.02,9.01 05/07/13
CARRIZO OIL & GAS INC TX 9.01 05/07/13
CARROLS RESTAURANT GROUP, INC. 2.02,9.01 05/07/13
CASEY CONTAINER CORP NV 5.02,9.01 05/07/13
CATASYS, INC. DE 3.03,5.03,8.01,9.01 05/06/13
CBIZ, Inc. DE 2.02,7.01,9.01 05/02/13
CCFNB BANCORP INC PA 2.02,9.01 05/07/13
Cellteck Inc. NV 5.07,8.01,9.01 05/06/13
Centaur Guernsey L.P. Inc. 5.02 05/07/13
CENTERPOINT ENERGY INC 2.01,8.01,9.01 05/01/13
CENTERPOINT ENERGY RESOURCES CORP DE 2.01,2.03,8.01,9.01 05/01/13
CEPHEID CA 1.01,5.02,9.01 05/06/13
CFS BANCORP INC IN 7.01,9.01 05/07/13
CH ENERGY GROUP INC NY 8.01,9.01 05/06/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 05/07/13
CHECKPOINT SYSTEMS INC PA 2.02,9.01 05/07/13
Chesapeake Lodging Trust MD 2.02,9.01 05/07/13
CHICAGO BRIDGE & IRON CO N V P7 7.01,9.01 05/02/13
CHICOS FAS INC FL 1.01,5.02,9.01 05/03/13
China Botanic Pharmaceutical 3.01,9.01 05/02/13
China Ceetop.com, Inc. OR 5.02 05/02/13
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 05/07/13
ChromaDex Corp. DE 1.01,9.01 05/07/13
CHURCH & DWIGHT CO INC /DE/ DE 5.02,5.07,9.01 05/02/13
CIMAREX ENERGY CO DE 2.02,7.01,9.01 05/07/13
Cinemark Holdings, Inc. DE 2.02,7.01,9.01 05/07/13
Clean Energy Fuels Corp. DE 1.01,2.01,3.02,9.01 05/06/13
Clovis Oncology, Inc. DE 2.02,9.01 05/07/13
CMS ENERGY CORP MI 7.01,8.01,9.01 05/07/13
COBIZ FINANCIAL INC CO 7.01 05/07/13
CODEXIS INC 2.02,9.01 05/07/13
COGENT COMMUNICATIONS GROUP INC 2.02,9.01 05/07/13
Coleman Cable, Inc. DE 8.01 05/07/13
Colony Financial, Inc. MD 2.02,9.01 05/06/13
Colony Financial, Inc. MD 5.07 05/06/13
Command Center, Inc. WA 1.01,2.03 05/06/13
Community Partners Bancorp NJ 8.01,9.01 05/07/13
COMMVAULT SYSTEMS INC DE 2.02,9.01 05/07/13
Compass Diversified Holdings DE 2.02,9.01 05/07/13
Compressco Partners, L.P. DE 2.02,9.01 05/07/13
COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 05/07/13
Con-way Inc. DE 5.07 05/07/13
ConnectOne Bancorp, Inc. NJ 7.01,9.01 05/07/13
CONSTELLATION BRANDS, INC. DE 1.01,2.03,9.01 05/02/13
CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 05/07/13
Core-Mark Holding Company, Inc. DE 2.02,9.01 05/07/13
Corporate Capital Trust, Inc. MD 8.01,9.01 05/07/13
CORPORATE OFFICE PROPERTIES TRUST MD 1.01,2.03,9.01 05/06/13
COVENTRY HEALTH CARE INC DE 1.01,1.02,2.01, 05/07/13
3.01,3.03,5.01,5.02,5.03,9.01
CPI AEROSTRUCTURES INC NY 2.02 05/01/13
CPI International Holding Corp. 2.02,9.01 05/07/13
Crestwood Midstream Partners LP DE 2.02,8.01,9.01 05/07/13
CTPARTNERS EXECUTIVE SEARCH INC. DE 1.01,2.01,7.01,9.01 05/02/13
CubeSmart MD 1.01,1.02,3.02,9.01 05/07/13
CUMULUS MEDIA INC DE 2.02,9.01 05/07/13
CVB FINANCIAL CORP CA 7.01,8.01,9.01 05/06/13
DAVITA HEALTHCARE PARTNERS INC. DE 2.02,9.01 05/07/13
DAVITA HEALTHCARE PARTNERS INC. DE 8.01,9.01 05/07/13
DAWSON GEOPHYSICAL CO TX 2.02,9.01 05/07/13
DCP Midstream Partners, LP DE 2.02,8.01,9.01 05/06/13
DEAN FOODS CO DE 5.02,9.01 05/07/13
DECKERS OUTDOOR CORP DE 8.01 05/07/13
dELiAs, Inc. DE 5.02,8.01,9.01 05/01/13
DEMAND MEDIA INC. DE 2.02,9.01 05/07/13
Demandware Inc DE 2.02,9.01 05/07/13
Dewmar International BMC, Inc. NV 1.01,5.02,9.01 02/19/13
DEX MEDIA, INC. DE 7.01,9.01 05/07/13
Diamond Resorts Corp MD 2.02,9.01 05/07/13
DIGITAL ANGEL CORP DE 1.01,1.02, 05/03/13
2.01,5.02,9.01
Digital Generation, Inc. DE 2.02,9.01 05/07/13
Digital Realty Trust, Inc. 5.07 05/01/13
Digital Realty Trust, Inc. 5.02 05/01/13 AMEND
DIGITALGLOBE, INC. DE 2.02,9.01 05/07/13
DIRECTV DE 2.02 05/07/13
DIRECTV DE 5.07 05/02/13
Discover Card Execution Note Trust DE 8.01 05/07/13
Discovery Communications, Inc. DE 2.02,9.01 05/07/13
DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 05/07/13
DISH Network CORP NV 5.07 05/02/13
DORAL FINANCIAL CORP PR 5.02 05/01/13
Douglas Emmett Inc MD 2.02,9.01 05/07/13
DOVER Corp DE 5.07 05/07/13
DOW CHEMICAL CO /DE/ DE 1.01,9.01 05/07/13
DreamWorks Animation SKG, Inc. 1.01,8.01,9.01 05/01/13
Dresser-Rand Group Inc. DE 5.07 05/07/13
DTE ENERGY CO MI 5.02,5.07 05/07/13
DTE ENERGY CO MI 2.02,9.01 05/07/13
Duke Energy CORP DE 5.02,5.07,9.01 05/02/13
DUNKIN' BRANDS GROUP, INC. DE 7.01,9.01 05/07/13
DUPONT FABROS TECHNOLOGY, INC. MD 2.02,7.01,9.01 05/07/13
EARTHLINK INC DE 7.01,9.01 05/07/13
EASTMAN CHEMICAL CO DE 5.07 05/02/13
EchoStar CORP NV 5.07 05/01/13
EGAIN Corp DE 2.02,9.01 05/07/13
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 05/07/13
ELECTRONIC ARTS INC. DE 2.02 05/07/13
Ellington Financial LLC DE 2.02,7.01,9.01 05/06/13
Ellington Residential Mortgage REIT MD 1.01,3.02,5.02,8.01 05/01/13
EMC METALS CORP. A1 5.02 05/06/13
EMERSON ELECTRIC CO MO 2.02,9.01 05/07/13
ENDO HEALTH SOLUTIONS INC. DE 2.02,9.01 05/07/13
ENERGIZER HOLDINGS INC MO 2.05 11/08/12 AMEND
Enphase Energy, Inc. DE 2.02,9.01 05/07/13
Enphase Energy, Inc. DE 5.02,5.07 05/02/13
ENVIRONMENTAL SCIENCE & TECHNOLOGIES, DE 3.02,5.02 04/30/13 AMEND
ESCO TECHNOLOGIES INC MO 2.02,7.01,9.01 05/07/13
Ever-Glory International Group, Inc. FL 4.02 04/13/13 AMEND
EVOLVING SYSTEMS INC DE 2.02 05/07/13
EXA CORP MA 7.01,9.01 05/07/13
EXACTECH INC FL 5.07 05/02/13
EXELIXIS, INC. DE 2.02,9.01 05/07/13
FARMER BROTHERS CO CA 2.02,9.01 05/06/13
Federal Home Loan Bank of Atlanta X1 2.03 05/01/13
Federal Home Loan Bank of Boston X1 2.03 05/01/13
Federal Home Loan Bank of Chicago X1 2.03 05/01/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/03/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/07/13
Federal Home Loan Bank of New York X1 2.03,9.01 05/01/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/01/13
Federal Home Loan Bank of San Francis X1 2.03 05/01/13
Federal Home Loan Bank of Seattle 2.03 05/01/13
Federal Home Loan Bank of Topeka 2.03,9.01 05/01/13
Fibrocell Science, Inc. DE 7.01,9.01 05/07/13
Fiesta Restaurant Group, Inc. DE 2.02,9.01 05/07/13
Financial Engines, Inc. DE 2.02,9.01 05/07/13
FIRST CITIZENS BANC CORP /OH OH 2.02,9.01 05/01/13
FIRSTBANK CORP MI 8.01,9.01 05/07/13
FIRSTENERGY CORP OH 2.02,9.01 05/07/13
FLIR SYSTEMS INC OR 5.02,9.01 05/06/13
FLUOROPHARMA MEDICAL, INC. NV 7.01,9.01 05/07/13
FMC CORP DE 7.01,9.01 05/07/13
FMC TECHNOLOGIES INC DE 5.07 05/03/13
FNB BANCORP/CA/ 8.01,9.01 05/06/13
FOREST OIL CORP NY 5.02,5.03,5.07,9.01 05/07/13
Fortress Investment Group LLC DE 7.01 05/07/13
FOSSIL INC DE 2.02,9.01 05/07/13
FRANKLIN ELECTRIC CO INC IN 5.02,9.01 05/03/13
FS Energy & Power Fund DE 2.02,9.01 05/07/13
FS Investment CORP MD 2.02,9.01 05/07/13
FS Investment Corp II MD 2.02,9.01 05/07/13
FUEL TECH, INC. DE 2.02,9.01 05/07/13
Furiex Pharmaceuticals, Inc. DE 2.02,9.01 05/07/13
FutureFuel Corp. DE 8.01,9.01 05/07/13
FXCM Inc. 2.02,7.01,9.01 05/07/13
GAIAM, INC CO 2.02,9.01 05/07/13
GAIN Capital Holdings, Inc. DE 2.02,7.01,9.01 05/07/13
GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 05/07/13
GAMCO INVESTORS, INC. ET AL NY 8.01 05/07/13
GASTAR EXPLORATION LTD 8.01,9.01 05/07/13
GASTAR EXPLORATION LTD 7.01,9.01 05/07/13
GelTech Solutions, Inc. DE 3.02 05/02/13
General Finance CORP DE 1.01,8.01,9.01 05/03/13
Genie Energy Ltd. DE 2.02,8.01,9.01 05/07/13
GENTHERM Inc MI 2.02,9.01 05/07/13
GeoMet, Inc. DE 1.01,7.01,9.01 05/01/13
Global Cash Access Holdings, Inc. DE 2.02,9.01 05/07/13
GLOBALSCAPE INC DE 7.01,9.01 05/07/13
Globalstar, Inc. DE 1.01,7.01,9.01 05/06/13
GLOBALWISE INVESTMENTS INC NV 2.02,9.01 05/07/13
GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 03/31/13
Gold Dynamics Corp. NV 5.02 03/26/13
GOODRICH PETROLEUM CORP DE 2.02,9.01 05/06/13
Gramercy Property Trust Inc. MD 2.02,7.01,9.01 05/07/13
Grand Canyon Education, Inc. DE 2.02,8.01,9.01 05/07/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 05/03/13
Great Lakes Dredge & Dock CORP DE 2.02,9.01 05/07/13
GREENLIGHT CAPITAL RE, LTD. 2.02,5.07,9.01 04/30/13
Griffin Capital Essential Asset REIT, 2.01,7.01,8.01,9.01 05/01/13
GRIFFON CORP DE 2.02,9.01 05/07/13
GTJ REIT, Inc. MD 1.01 05/02/13 AMEND
HACKETT GROUP, INC. FL 2.02,5.07,9.01 05/03/13
Hamilton Bancorp, Inc. MD 2.02,9.01 05/07/13
Hampden Bancorp, Inc. DE 2.02,8.01,9.01 05/01/13
Harrogate Acquisition Corp DE 5.03 05/07/13
HARVARD BIOSCIENCE INC DE 2.02,9.01 05/02/13
HEALTH CARE REIT INC /DE/ DE 2.02,9.01 05/07/13
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 05/07/13
HENRY SCHEIN INC DE 2.02,9.01 03/30/13
HERITAGE COMMERCE CORP CA 7.01,9.01 03/31/13
Higher One Holdings, Inc. DE 1.01,2.01,2.02, 05/02/13
5.02,7.01,9.01
Hill International, Inc. DE 2.02,9.01 05/02/13
HollyFrontier Corp DE 2.02,9.01 05/07/13
HOME LOAN SERVICING SOLUTIONS, LTD. E9 5.07 05/06/13
HomeStreet, Inc. WA 7.01,9.01 05/07/13
Horizon Technology Finance Corp DE 2.02,9.01 05/07/13
Horizon Technology Finance Corp DE 8.01,9.01 05/07/13
HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 05/07/13
HSBC USA INC /MD/ MD 8.01 05/03/13
Hudson Global, Inc. DE 2.02,9.01 05/07/13
IDERA PHARMACEUTICALS, INC. DE 8.01 05/07/13
IDT CORP DE 2.02,8.01,9.01 05/06/13
Ignite Restaurant Group, Inc. 2.02,9.01 05/07/13
INERGY L P DE 2.02,7.01,9.01 05/07/13
INERGY MIDSTREAM, L.P. DE 2.02,7.01,9.01 05/07/13
INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 05/07/13
INFORMATICA CORP DE 5.02 05/06/13
Information Services Group Inc. DE 1.01,1.02, 05/03/13
2.03,8.01,9.01
ING U.S., Inc. DE 1.01,5.02,5.03, 05/01/13
7.01,8.01,9.01
INNOSPEC INC. DE 2.02,9.01 05/07/13
INNSUITES HOSPITALITY TRUST OH 3.01,9.01 05/02/13
INSITE VISION INC DE 2.02,9.01 05/07/13
INSMED INC VA 2.02,9.01 05/07/13
InspireMD, Inc. DE 5.02 05/03/13
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 2.02,9.01 05/07/13
INTERSIL CORP/DE DE 1.01,9.01 05/07/13
ISIS PHARMACEUTICALS INC DE 2.02,9.01 05/07/13
ITT EDUCATIONAL SERVICES INC DE 5.02,5.07,9.01 05/07/13
J C PENNEY CO INC DE 2.02,9.01 05/07/13
JAVELIN MORTGAGE INVESTMENT CORP. MD 2.02,9.01 05/06/13
Jazz Pharmaceuticals plc L2 2.02,5.02,8.01,9.01 05/02/13
KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 05/07/13
KCAP Financial, Inc. DE 2.02,9.01 05/06/13
Kennedy-Wilson Holdings, Inc. DE 2.02,9.01 05/07/13
KERYX BIOPHARMACEUTICALS INC DE 2.02 05/07/13
KMRB Acquisition Corp. FL 4.01,9.01 05/07/13
KONA GRILL INC DE 5.07 04/30/13 AMEND
LAKELAND BANCORP INC NJ 8.01,9.01 05/06/13
LANDAUER INC DE 2.02,9.01 05/06/13
LaPorte Bancorp, Inc. MD 5.02,9.01 05/06/13
LEE ENTERPRISES, INC DE 1.01,2.03, 05/01/13
5.02,5.03,9.01
Liberty Global, Inc. DE 2.02,7.01 05/07/13
Liberty Global, Inc. DE 2.02,7.01 05/07/13
Live Nation Entertainment, Inc. DE 2.02,9.01 05/07/13
LOEWS CORP DE 8.01,9.01 05/07/13
LOUISIANA-PACIFIC CORP DE 2.02 05/07/13
Macquarie Leasing Pty Ltd C3 8.01,9.01 05/06/13
MAKO Surgical Corp. DE 2.02,9.01 05/07/13
MANITOWOC CO INC WI 5.02,5.03,5.07,9.01 05/07/13
Manning & Napier, Inc. 8.01,9.01 05/06/13
MARCHEX INC DE 1.01,5.02,5.07,9.01 05/03/13
MATERIAL SCIENCES CORP DE 2.02,9.01 05/06/13
Matson, Inc. HI 7.01,9.01 05/07/13
MCDERMOTT INTERNATIONAL INC R1 5.07,9.01 05/07/13
McEwen Mining Inc. CO 7.01,9.01 05/07/13
MCKESSON CORP DE 2.02,9.01 05/07/13
MCMORAN EXPLORATION CO /DE/ DE 8.01 05/06/13
MEDALLION FINANCIAL CORP DE 2.02,9.01 05/06/13
Medley Capital Corp DE 1.01,2.03,9.01 05/01/13
MERCADOLIBRE INC 8.01 05/07/13
MEXICO FUND INC MD 7.01,9.01 04/30/13
MGT CAPITAL INVESTMENTS INC DE 8.01 05/07/13
Mid-Con Energy Partners, LP DE 2.02,9.01 05/07/13
Midstates Petroleum Company, Inc. DE 2.02,9.01 05/06/13
Midway Gold Corp A1 2.02,7.01,9.01 05/07/13
Midwest Energy Emissions Corp. DE 1.01 05/01/13
MITEK SYSTEMS INC DE 2.02,9.01 05/07/13
MKS INSTRUMENTS INC MA 5.07 05/06/13
MODEL N, INC. DE 1.02 05/01/13
MODEL N, INC. DE 2.02,9.01 05/07/13
MOLSON COORS BREWING CO DE 2.02,9.01 05/07/13
Mondelez International, Inc. VA 2.02,9.01 05/07/13
MTR GAMING GROUP INC DE 2.02,9.01 05/07/13
MVP REIT, Inc. MD 1.01,9.01 05/06/13
MYRIAD GENETICS INC DE 2.02,9.01 05/07/13
MySkin, Inc. CA 4.02 05/06/13
NANOSPHERE INC DE 1.01,2.03,3.02,9.01 05/06/13
National Bank Holdings Corp DE 5.07 05/03/13
National Bank Holdings Corp DE 7.01,9.01 05/07/13
National CineMedia, Inc. DE 1.01,2.03,9.01 05/02/13
Nationstar Mortgage Holdings Inc. DE 2.02,9.01 05/07/13
NATURAL GAS SERVICES GROUP INC 5.02 05/06/13
NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 05/06/13
NATUS MEDICAL INC DE 2.02,9.01 05/06/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 5.02 05/01/13
NBT BANCORP INC DE 5.03,5.07,9.01 05/07/13
NEOMEDIA TECHNOLOGIES INC DE 4.01,9.01 04/25/13 AMEND
NEUTRA CORP. FL 4.01,5.02,9.01 05/02/13
NEW CENTURY BANCORP INC NC 2.02,9.01 05/01/13
NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 05/07/13
NEW YORK TUTOR Co NV 5.03,8.01,9.01 05/07/13
NEWS CORP 8.01,9.01 05/07/13
NEXSTAR BROADCASTING GROUP INC DE 1.01,8.01,9.01 05/01/13
NGP Capital Resources Co MD 2.02,9.01 05/07/13
Noble Corp / Switzerland V8 5.07 04/26/13
NOBLE ENERGY INC DE 5.02 05/01/13
NORSTRA ENERGY INC NV 1.01,9.01 04/25/13
NORWOOD FINANCIAL CORP PA 7.01,9.01 05/07/13
NOVATEL WIRELESS INC DE 2.02,9.01 05/07/13
NOVATION COMPANIES, INC. MD 7.01,9.01 05/07/13
NOVAVAX INC DE 2.02,9.01 05/07/13
NRG ENERGY, INC. DE 2.02,9.01 05/07/13
NTELOS HOLDINGS CORP 2.02,9.01 05/07/13
Oaktree Capital Group, LLC DE 2.02,9.01 05/07/13
Oasis Petroleum Inc. DE 2.02,5.07,9.01 05/03/13
OCLARO, INC. DE 2.02,9.01 05/07/13
OFFICEMAX INC DE 2.02,8.01,9.01 05/07/13
OFFICEMAX INC DE 8.01,9.01 05/07/13
OFFICEMAX INC DE 2.02,8.01,9.01 05/07/13
OGE ENERGY CORP. OK 1.01,1.02, 05/01/13
2.01,2.03,9.01
OLD POINT FINANCIAL CORP VA 2.02,9.01 05/07/13
OMEGA PROTEIN CORP NV 2.02,9.01 05/07/13
ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 05/07/13
ONLINE INTERNET NETWORK, INC. NV 5.02 05/06/13
ONYX PHARMACEUTICALS INC DE 2.02,9.01 05/07/13
Orchid Island Capital, Inc. MD 7.01,9.01 05/07/13
ORIGINOIL INC NV 1.01,2.03,3.02,9.01 04/18/13
OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 05/07/13
OTELCO INC. DE 2.02,9.01 05/07/13
Otter Tail Corp MN 2.02,9.01 05/06/13
OXFORD INDUSTRIES INC GA 7.01,9.01 05/07/13
Pacific Metals Corp. NV 5.02 04/29/13
PACIFIC PREMIER BANCORP INC DE 8.01,9.01 05/07/13
PACWEST BANCORP DE 8.01,9.01 05/07/13
PANTRY INC DE 2.02,9.01 05/07/13
PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 05/07/13
PERRIGO CO MI 2.02,9.01 05/07/13
Petron Energy II, Inc. NV 1.01,2.03,3.02,9.01 05/06/13
PETROQUEST ENERGY INC DE 2.02 05/07/13
PILGRIMS PRIDE CORP DE 5.07 05/03/13
PIONEER NATURAL RESOURCES CO DE 8.01,9.01 05/07/13
Pioneer Southwest Energy Partners L.P DE 8.01,9.01 05/07/13
PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 05/06/13 AMEND
PLANTRONICS INC /CA/ DE 1.01,2.02,7.01,9.01 05/07/13
PNC FINANCIAL SERVICES GROUP, INC. PA 3.03,5.03,8.01,9.01 05/02/13
POLARIS INDUSTRIES INC/MN MN 7.01,9.01 05/07/13
PRAXAIR INC DE 8.01,9.01 05/07/13
PREFORMED LINE PRODUCTS CO OH 5.07 05/07/13
Primerica, Inc. DE 2.02,7.01,9.01 05/07/13
ProPhase Labs, Inc. NV 2.02,9.01 05/06/13
PROTECTIVE LIFE CORP DE 2.02,9.01 05/06/13
PS BUSINESS PARKS INC/CA CA 2.02,5.07,9.01 05/06/13
PUBLIC SERVICE ELECTRIC & GAS CO NJ 8.01,9.01 05/07/13
PULASKI FINANCIAL CORP MO 1.01,8.01,9.01 05/07/13
PULSE ELECTRONICS CORP PA 2.02,9.01 05/07/13
PVR PARTNERS, L. P. DE 1.01,9.01 05/06/13
Pzena Investment Management, Inc. DE 8.01,9.01 04/30/13
QEP RESOURCES, INC. DE 7.01 05/07/13
QUALCOMM INC/DE DE 5.02 05/05/13
QUICKSILVER RESOURCES INC DE 2.02,9.01 05/07/13
QUIDEL CORP /DE/ DE 7.01,9.01 05/06/13
Radiation Therapy Services Holdings, DE 2.02,9.01 05/07/13
ReachLocal Inc 2.02,9.01 05/07/13
Red Lion Hotels CORP WA 2.02,9.01 05/07/13
REGIS CORP MN 2.02,9.01 05/07/13
RENTECH INC /CO/ CO 1.01,2.01,9.01 05/01/13
Resolute Energy Corp DE 8.01,9.01 05/07/13
RESOURCE AMERICA, INC. DE 2.02,9.01 05/06/13
RETAIL OPPORTUNITY INVESTMENTS CORP MD 5.07 05/01/13
RICHFIELD OIL & GAS Co NV 5.02,9.01 05/06/13
RIGEL PHARMACEUTICALS INC DE 2.02,9.01 05/07/13
RigNet, Inc. DE 5.07 05/02/13
Rosetta Resources Inc. DE 7.01,9.01 05/07/13
Rubicon Technology, Inc. DE 2.02,9.01 05/07/13
Ryman Hospitality Properties, Inc. DE 2.02,9.01 05/07/13
SABA SOFTWARE INC DE 5.02,7.01,9.01 05/03/13
SAGA COMMUNICATIONS INC DE 2.02,9.01 05/07/13
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 03/31/13
SANDRIDGE ENERGY INC DE 2.02,9.01 05/07/13
SCG Financial Acquisition Corp. DE 3.01 05/03/13
SCIENTIFIC GAMES CORP DE 2.02,9.01 05/07/13
SCRIPPS E W CO /DE OH 5.07 05/01/13
Seagate Technology plc L2 5.02 05/07/13
SEATTLE GENETICS INC /WA DE 2.02,9.01 05/07/13
SERENA SOFTWARE INC DE 3.02,5.02,5.07,9.01 05/01/13
SEVCON, INC. DE 2.02,9.01 05/07/13
Shire plc 8.01,9.01 05/07/13
Silver Falcon Mining, Inc. DE 8.01 05/06/13
SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 05/07/13
SINCLAIR BROADCAST GROUP INC MD 8.01,9.01 05/01/13
SLM CORP DE 8.01,9.01 05/07/13
SMART ONLINE INC DE 2.03,3.02,8.01 05/01/13
SMART ONLINE INC DE 5.02 05/07/13 AMEND
SNYDER'S-LANCE, INC. NC 2.02,9.01 05/07/13
Solar Capital Ltd. MD 2.02,9.01 05/07/13
Solar Senior Capital Ltd. MD 2.02,9.01 05/07/13
SOLERA HOLDINGS, INC DE 2.02,7.01,9.01 05/07/13
SOMERSET HILLS BANCORP NJ 8.01,9.01 05/06/13
Sotherly Hotels Inc. MD 2.02,9.01 05/07/13
Southern Trust Securities Holding Cor FL 1.02 05/02/13
SOUTHWEST AIRLINES CO TX 7.01,9.01 05/07/13
SOUTHWESTERN ENERGY CO DE 7.01 05/06/13
Soy Energy, LLC IA 1.01,8.01,9.01 05/02/13
SPAR GROUP INC DE 5.07 05/07/13
SPARTON CORP OH 2.02,7.01,9.01 05/07/13
SpendSmart Payments Co CO 5.03,9.01 05/02/13
Spirit Airlines, Inc. DE 7.01 05/07/13
STAAR SURGICAL CO DE 7.01,9.01 05/06/13
Steel Excel Inc. DE 2.02,9.01 05/07/13
STEELE RESOURCES CORP NV 5.02 05/07/13
STERIS CORP OH 2.02,9.01 05/07/13
STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 05/07/13
STERLING GROUP VENTURES INC NV 7.01,9.01 05/07/13
STEWART INFORMATION SERVICES CORP DE 5.07 05/03/13
STONE ENERGY CORP DE 2.02,7.01,9.01 05/06/13
STONEMOR PARTNERS LP DE 2.02,9.01 05/07/13
STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01 05/02/13
Sucampo Pharmaceuticals, Inc. 2.02,7.01,9.01 05/07/13
SUN HYDRAULICS CORP FL 2.02,9.01 05/06/13
SunOpta Inc. 2.02,9.01 05/07/13
SUPERIOR UNIFORM GROUP INC FL 5.02,5.07,9.01 05/02/13
SUPERTEL HOSPITALITY INC VA 1.01,9.01 05/02/13
SURMODICS INC MN 2.02,9.01 05/07/13
SUSQUEHANNA BANCSHARES INC PA 5.02,5.07,9.01 05/03/13
SWS GROUP INC DE 2.02,9.01 05/07/13
SYMANTEC CORP DE 2.02,9.01 05/07/13
Symetra Financial CORP DE 5.07 05/02/13
Synacor, Inc. 2.02,9.01 05/07/13
SYNAGEVA BIOPHARMA CORP DE 2.02,9.01 05/07/13
SYNTHESIS ENERGY SYSTEMS INC DE 2.02,9.01 05/07/13
TAKE TWO INTERACTIVE SOFTWARE INC DE 5.02 05/01/13
TARGACEPT INC 2.02,9.01 05/07/13
TEJON RANCH CO DE 5.02,9.01 05/07/13
TENNECO INC DE 8.01 05/07/13
Terra Tech Corp. NV 5.02 05/06/13
TETRIDYN SOLUTIONS INC NV 5.02 05/03/13
THOMAS PROPERTIES GROUP INC DE 2.02,9.01 05/06/13
TICC Capital Corp. MD 2.02,9.01 05/07/13
Tierra Grande Resources Inc. NV 5.02 05/06/13
TMX Finance LLC DE 8.01,9.01 05/07/13
Tornier N.V. P7 2.02,9.01 05/07/13
Tower Group International, Ltd. D0 5.07 05/07/13
Towers Watson & Co. DE 2.02,9.01 05/07/13
TransDigm Group INC DE 2.02,9.01 05/07/13
TransMontaigne Partners L.P. DE 2.02,9.01 05/07/13
TransUnion Holding Company, Inc. DE 2.02,9.01 05/07/13
TRAVELCENTERS OF AMERICA LLC 2.02,9.01 05/07/13
TRI COUNTY FINANCIAL CORP /MD/ MD 5.07 05/06/13
TRINITY INDUSTRIES INC DE 7.01,9.01 05/07/13
TripAdvisor, Inc. DE 2.02,9.01 05/07/13
Trius Therapeutics Inc DE 2.02,9.01 05/07/13
TRUSTMARK CORP MS 7.01,9.01 05/07/13
Two Harbors Investment Corp. 2.02,9.01 05/07/13
U.S. Auto Parts Network, Inc. DE 2.02,9.01 05/07/13
UMPQUA HOLDINGS CORP OR 7.01,9.01 05/03/13
UNION FIRST MARKET BANKSHARES CORP VA 7.01,9.01 05/07/13
UNIT CORP DE 2.02,9.01 05/07/13
United Community Bancorp 2.02,9.01 05/06/13
UNITED COMMUNITY FINANCIAL CORP OH 8.01 05/06/13
UNITED FIRE GROUP INC 2.02,9.01 05/07/13
UNITED PARCEL SERVICE INC DE 5.07 05/02/13
Universal Capital Management, Inc. DE 5.03,5.07,9.01 04/30/13
UNIVERSAL ELECTRONICS INC DE 8.01 05/07/13
UNIVERSAL INSURANCE HOLDINGS, INC. DE 2.02,9.01 05/07/13
URS CORP /NEW/ DE 2.02,9.01 05/07/13
UTAH MEDICAL PRODUCTS INC UT 5.07 05/03/13
VALERO ENERGY CORP/TX DE 7.01,9.01 05/07/13
VALUECLICK INC/CA DE 2.02,8.01,9.01 05/07/13
VALUEVISION MEDIA INC MN 1.01,2.03,8.01,9.01 05/01/13
VASCULAR SOLUTIONS INC MN 5.07 05/03/13
VERISIGN INC/CA DE 7.01,9.01 05/07/13
VERIZON COMMUNICATIONS INC DE 5.07 05/02/13
Vertex Energy Inc. NV 2.02,9.01 05/06/13
Vishay Precision Group, Inc. DE 2.02,9.01 05/07/13
Vitamin Shoppe, Inc. DE 2.02,9.01 05/07/13
VITESSE SEMICONDUCTOR CORP DE 2.02,9.01 05/07/13
VIVUS INC CA 8.01,9.01 05/07/13
VOIS Inc. FL 1.01,3.02,9.01 04/30/13
VORNADO REALTY TRUST MD 5.02,9.01 05/07/13
W. P. Carey Inc. MD 2.02,9.01 05/07/13
W. P. Carey Inc. MD 7.01,9.01 05/07/13
WALGREEN CO IL 7.01,9.01 05/06/13
Wallgate Acquisition Corp DE 5.03 05/07/13
WALT DISNEY CO/ DE 2.02,9.01 05/07/13
WARREN RESOURCES INC MD 2.02,7.01,9.01 05/07/13
WASTE CONNECTIONS, INC. DE 7.01 05/07/13
WebMD Health Corp. DE 2.02,9.01 05/07/13
WebMD Health Corp. DE 1.01,5.02,9.01 05/07/13
WEYCO GROUP INC WI 5.07 05/07/13
WHITING USA TRUST I DE 2.02,9.01 05/07/13
Whiting USA Trust II DE 2.02,9.01 05/07/13
WHOLE FOODS MARKET INC TX 2.02,7.01,9.01 05/07/13
WideOpenWest Finance, LLC DE 1.01,5.02,9.01 05/01/13
WILLIAMS COMPANIES INC DE 2.02,9.01 05/07/13
Williams Partners L.P. 2.02,9.01 05/07/13
WireCo WorldGroup Inc. 5.02 05/01/13
WISCONSIN ENERGY CORP WI 7.01,9.01 05/07/13
WMS INDUSTRIES INC /DE/ DE 2.02,9.01 05/06/13
Woodgate Acquisition Corp DE 5.03 05/07/13
XL GROUP PLC L2 1.01,2.03,9.01 05/07/13
XPO Logistics, Inc. 2.02,9.01 05/07/13
YORK WATER CO PA 5.07 05/06/13
Zayo Group LLC DE 7.01 05/07/13
ZILLOW INC WA 2.02,8.01,9.01 05/07/13
Zinco do Brasil, Inc. DE 1.01,3.02 04/22/13
ZIOPHARM ONCOLOGY INC DE 8.01,9.01 05/07/13
ZIPREALTY INC 2.02,9.01 05/07/13
Zoetis Inc. 5.02,9.01 05/02/13
http://www.sec.gov/news/digest/2013/dig050813.htm
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