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U.S. Securities and Exchange Commission

SEC NEWS DIGEST

Issue 2013-94
May 16, 2013

Enforcement proceedings

Commission Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm

The Securities and Exchange Commission (Commission) today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations.

The SEC alleges that Charles J. Dushek and his son Charles S. Dushek placed millions of dollars in securities trades without designating in advance whether they were trading personal funds or client funds. They delayed allocating the trades so they could cherry pick winning trades for their personal accounts and dump losing trades on the accounts of unwitting clients at Capital Management Associates (CMA). Lisle, Ill.-based CMA misrepresented the firm’s proprietary trading activities to clients, many of whom were senior citizens.

“The Dusheks and their firm had an obligation to treat clients fairly and honestly,” said Merri Jo Gillette, Director of the SEC’s Chicago Regional Office. “Instead, they exploited the trade allocation process to enrich themselves at the expense of their clients.”

According to the SEC’s complaint filed in federal court in Chicago, the scheme lasted from 2008 to 2012. During that period, the Dusheks made more than 13,500 purchases of securities totaling more than $350 million. The Dusheks typically waited to allocate the trades for at least one trading day – and often several days – by which time they knew whether the trades were profitable. The Dusheks ultimately kept most of the winning trades and assigned most of the losses to clients. At the time of the trading, they did not keep any written record of whether they were trading client funds or personal funds.

The Dusheks’ extraordinary trading success reflects the breadth of their scheme. For 17 consecutive quarters, the Dusheks reaped positive returns at the time of allocation while their clients suffered negative returns. One of Dushek Sr.’s personal accounts increased in value by almost 25,000 percent from 2008 to 2011 while many of his clients’ accounts decreased in value.

The illicit trading profits from his personal accounts were Dushek Sr.’s only source of regular income outside of Social Security, according to the SEC. It alleges that he drew no salary or other compensation as president of CMA and relied on profits from the scheme to make mortgage payments on his 6,500 square foot luxury home featuring separate equestrian facilities. He also spent the money on luxury vehicles including a Mercedes Benz SL550, membership in a luxury vacation resort, and vacations abroad. Dushek Jr. is alleged to have used trading profits to pay for a boat slip and vacations to ski resorts and Hawaii.

According to the SEC’s complaint, CMA misrepresented its proprietary trading activities to clients in a brochure that is part of the firm’s Form ADV. The brochure falsely claimed that Dushek Sr. maintained “reports” of his proprietary trading activities that he submitted to an associate for review, when he did not maintain such reports nor have any associate review his trading. The brochure further stated, “We do not merge or aggregate any client order with any employee order.” That claim also was false. When the Dusheks placed orders, there were no client orders or employee orders but instead merely block purchases in CMA’s brokerage accounts that were later allocated to client accounts or personal accounts.

The SEC’s complaint charges the Dusheks and CMA 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 was conducted by Nicholas Eichenseer, Vanessa Horton, and Paul Montoya of the Chicago Regional Office. Steven Seeger will lead the SEC’s litigation. (Press Rel. 2013-90)

Final Judgments Entered against Connecticut-Based Investment Adviser and His Firm Charged with Stealing Investor Funds

The Commission announced today that on May 16, 2013, the United States District Court for the District of Connecticut entered final judgments by consent in a previously filed enforcement action against Stephen B. Blankenship and his investment advisory firm, Deer Hill Financial Group, LLC. The judgments enjoin Blankenship and Deer Hill from future violations of the federal securities laws.
On September 13, 2012, the Commission filed an enforcement action charging Blankenship, then a resident of New Fairfield, Connecticut, and Deer Hill Financial Group, LLC, a Connecticut limited liability company under Blankenship’s control, with a scheme to defraud investors. The Commission’s Complaint alleged that, from at least 2002 through November 2011, Blankenship misappropriated at least $600,000 from at least 12 brokerage customers. The Court’s judgment enjoins Blankenship and Deer Hill from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. The judgment also enjoins the defendants from future violations of Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 and Section 15(a) of the Exchange Act.

Based on the same misconduct, the U.S. Attorney’s Office for the District of Connecticut charged Blankenship with criminal violations. On December 5, 2012, the United States District Court for the District of Connecticut sentenced Blankenship to forty-one months imprisonment and ordered him to pay a fine of $7,500 and restitution in the amount of $607,516.81.

The Commission previously barred Blankenship from working in the securities industry. The bar was based on his guilty plea to the federal criminal charges.  [SEC v. Deer Hill Financial Group, LLC, et al., Civil Action No. 12-01317, District of Connecticut] (LR- 22701)

Joseph Hilton a/k/a Joseph Yurkin Barred from the Securities Industry

Joseph Hilton a/k/a Joseph Yurkin (Hilton), of Boca Raton, Florida, has been barred from the securities industry. The sanction was ordered in an administrative proceeding before an administrative law judge, following a February 2013 injunction against violations of the antifraud and registration provisions of the federal securities laws. Although subject to a broker-dealer bar, Hilton, using various misrepresentations and omissions and other fraudulent conduct, including managing a boiler room, sold unregistered securities in the form of limited partnership units. (Rel. 34-69592; File No. 3-15273)   

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of Sonnen Corp. 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. (ID Rel. No. 487; File No. 3-15186)   

INVESTMENT COMPANY ORDERS

JP Morgan Chase & Co., et al.

An order has been issued on an application filed by JPMorgan Chase & Co., et al. to amend prior orders exempting certain limited partnerships and other entities formed for the benefit of eligible employees of JPMorgan Chase & Co. and its affiliates from certain provisions of the Investment Company Act of 1940 (Act). Each partnership will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30520 - May 14, 2013)

ALPS ETF Trust, et al.

A notice has been issued giving interested persons until June 10, 2013, to request a hearing on an application filed by ALPS ETF Trust, et al., for an order to permit: (a) actively-managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30519 - May 14, 2013)

John Hancock Exchange-Traded Fund Trust, et al.

An order has been issued on an application filed by John Hancock Exchange-Traded Fund Trust, et al., to permit (a) actively managed series of certain open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Creation Units for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares; and (f) certain series to perform creations and redemptions of Creation Units in-kind in a master-feeder structure. (Rel. IC-30518 - May 14, 2013)

Symetra Mutual Funds Trust
Symetra Investment Management, Inc.

An order has been issued on an application filed by Symetra Mutual Funds Trust and Symetra Investment Management, Inc., under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Section 15(a) of the Act and Rule 18f-2 under the Act, as well as from certain disclosure requirements. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-30516 - May 14, 2013)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-50) relating to FLEX options 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 13th. (Rel. 34-69586)
A proposed rule change (SR-BATS-2013-026) filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of May 13th. (Rel. 34-69585)

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-51) to its Schedule of Fees and Rebates for execution of quotes and orders on NASDAQ OMX PSX has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69588)


A proposed rule change filed by NYSE Arca, Inc. amending the listing standards for Equity Index-Linked Securities in NYSE Arca Equities Rule 5.2(j)(6) (SR-NYSEArca-2013-50) 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 13th. (Rel. 34-69584)

Notice of Proposed Rule Change

The NASDAQ OMX BX, Inc. filed with the Securities and Exchange Commission a proposed rule change under Rule 19b-4 (SR-BX-2013-036) for permanent approval of a pilot to permit BX Options to accept inbound options orders from NASDAQ OMX PHLX LLC and The NASDAQ Stock Market LLC’s NASDAQ Options Market. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69576)

Joint Industry Plans

Notice of Filing and Immediate Effectiveness of Amendment No. 29 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, Nasdaq OMX BX, Inc., Nasdaq OMX Phlx LLC Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, Nyse Mkt LLC., and Nyse Arca, Inc.

Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder, the operating committee of the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (“Nasdaq/UTP Plan”) filed a proposal to reverse the changes that the Participants made in Amendment Nos. 27 and 28 to the Nasdaq/UTP Plan. Publication of the notice is expected to be made in the Federal Register during the week of May 13th. (Rel. 34-69587)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

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

S-8     Regulus Therapeutics Inc., 3545 JOHN HOPKINS COURT, SUITE 210, 
        SAN DIEGO, CA, 92121, 858-202-6300 - 0 ($12,308,223.30) Equity, 
        (File 333-188606 - May. 15) (BR. 01B)

S-11    Gaming & Leisure Properties, Inc., 825 BERKSHIRE BLVD, WYOMISSING, PA, 
        19610, 610-373-2400 - 0 ($2,684,330,000.00) Equity, (File 333-188608 - 
        May. 15) (BR. 08)

S-8     RLJ ENTERTAINMENT, INC., 3 BETHESDA METRO CENTER, SUITE 1000, BETHESDA, 
        MD, 20814, 301-280-7703 - 1,206,575 ($4,802,168.50) Equity, 
        (File 333-188609 - May. 15) (BR. 05B)

S-1     Zlato Inc., MLYNSKA 28, KOSICE, 2B, 040 01, (646) 875-5747 - 
        1,000,000 ($50,000.00) Equity, (File 333-188610 - May. 15) (BR. 03B)

S-1     Playbutton Acquisition Corp., 37 W. 28TH STREET, NEW YORK, NY, 10001, 
        212-574-4401 - 3,792,825 ($3,792,825.00) Equity, (File 333-188611 - 
        May. 15) (BR. 11)

S-8     FIELDPOINT PETROLEUM CORP, 1703 EDELWEISS DRIVE, STE 301, CEDAR PARK, 
        TX, 78613, 5122508692 - 6,458,500 ($25,317,320.00) Equity, 
        (File 333-188616 - May. 15) (BR. 04A)

S-8     TRIQUINT SEMICONDUCTOR INC, 2300 NE BROOKWOOD PARKWAY, HILLSBORO, OR, 
        97124, 5036159000 - 10,088,305 ($59,277,419.90) Equity, 
        (File 333-188619 - May. 15) (BR. 10B)

S-8     BIOMARIN PHARMACEUTICAL INC, 105 DIGITAL DRIVE, NOVATO, CA, 94949, 
        4155066700 - 8,000,000 ($527,200,000.00) Equity, (File 333-188620 - 
        May. 15) (BR. 01B)

S-8     US CONCRETE INC, 331 N. MAIN STREET, EULESS, TX, 76039, 817-835-4116 - 
        460,000 ($6,927,600.00) Equity, (File 333-188621 - May. 15) (BR. 06A)

S-8     CALLAWAY GOLF CO, 2180 RUTHERFORD RD, CARLSBAD, CA, 92008-8815, 
        7609311771 - 0 ($49,500,000.00) Equity, (File 333-188622 - May. 15) 
        (BR. 05A)

S-3     GULF POWER CO, ONE ENERGY PLACE, PENSACOLA, FL, 32520, 8504446111 - 
        815,000,000 ($815,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-188623 - May. 15) (BR. 02A)

F-3     Central North Airport Group, AEROPUERTO INTERNACIONAL DE MONTERREY, 
        CARRETERA MIGUEL ALEM?N, KM. 24 S/N, APODACA, NUEVO LE?N, O5, 66600, 
        (52) (81) 8625 4300 - 0 ($395,000,000.00) ADRs/ADSs, (File 333-188624 - 
        May. 15) (BR. 05B)

S-3ASR  TESLA MOTORS INC, 3500 DEER CREEK RD, PALO ALTO, CA, 94070, 
        650-681-5000 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-188625 - 
        May. 15) (BR. 05C)

S-8     CHOICEONE FINANCIAL SERVICES INC, 109 E DIVISION, P O BOX 186, SPARTA, 
        MI, 49345-0186, 6168877366 - 100,000 ($1,603,000.00) Equity, 
        (File 333-188626 - May. 15) (BR. 07B)

S-3     WAVE SYSTEMS CORP, 480 PLEASANT ST, LEE, MA, 01238, 4132431600 - 
        0 ($831,326.00) Equity, (File 333-188627 - May. 15) (BR. 03A)

S-3ASR  TC PIPELINES LP, 717 TEXAS STREET, SUITE #2400, HOUSTON, TX, 77002, 
        (877) 290-2772 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-188628 - May. 15) (BR. 02B)

S-8     Verisk Analytics, Inc., 545 WASHINGTON BOULEVARD, JERSEY CITY, NJ, 
        07310-1686, 201-469-2000 - 15,700,000 ($948,280,000.00) Equity, 
        (File 333-188629 - May. 15) (BR. 03B)

S-3     DUCOMMUN INC /DE/, 23301 WILMINGTON AVE., CARSON, CA, 90745, 
        3105137280 - 0 ($250,000,000.00) Debt, (File 333-188630 - May. 15) 
        (BR. 05A)

S-8     KFORCE INC, 1001 EAST PALM AVENUE, SUITE, TAMPA, FL, 33605, 
        8135525000 - 4,000,000 ($53,640,000.00) Equity, (File 333-188631 - 
        May. 15) (BR. 11A)

S-8     LEAP WIRELESS INTERNATIONAL INC, 5887 COPLEY DRIVE, SAN DIEGO, CA, 
        92111, 8588826000 - 0 ($1,791,000.00) Equity, (File 333-188633 - 
        May. 15) (BR. 11C)

S-8     AMERICAN INTERNATIONAL GROUP INC, 180 MAIDEN LANE, NEW YORK, NY, 10038, 
        2127707000 - 45,000,000 ($1,980,450,000.00) Equity, (File 333-188634 - 
        May. 15) (BR. 01B)

S-3     Rose Rock Midstream, L.P., TWO WARREN PLACE, 
        6120 S. YALE AVENUE, SUITE 700, TULSA, OK, 74136-4216, (918) 524-8100 - 
        0 ($979,124,944.00) Unallocated (Universal) Shelf, (File 333-188635 - 
        May. 15) (BR. 04B)

S-8     Trade Street Residential, Inc., 19950 W. COUNTRY CLUB DRIVE, SUITE 800, 
        AVENTURA, FL, 33180, 786-248-5200 - 0 ($4,161,563.00) Equity, 
        (File 333-188636 - May. 15) (BR. 08C)

S-1     Advaxis, Inc., 305 COLLEGE ROAD EAST, PRINCETON,, NJ, 08540, 
        732 545 1590 - 0 ($38,136,500.00) Equity, (File 333-188637 - May. 15) 
        (BR. 01A)

Recent 8K Filings

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


1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

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


3D SYSTEMS CORP                         DE       8.01,9.01            05/15/13

3M CO                                   DE       5.07                 05/14/13

ABRAXAS PETROLEUM CORP                  NV       5.07                 05/14/13

ACADIA PHARMACEUTICALS INC              DE       8.01,9.01            05/14/13

ACXIOM CORP                             DE       2.02,9.01            05/15/13

ADVENT SOFTWARE INC /DE/                DE       5.07                 05/09/13

Aegion Corp                             DE       7.01,9.01            05/14/13

AETNA INC /PA/                          PA       7.01                 05/15/13

Affinity Gaming                         NV       8.01                 05/14/13

AFFYMAX INC                             DE       1.01,5.02            05/14/13    AMEND

AGY Holding Corp.                       DE       1.01,9.01            05/15/13

AGY Holding Corp.                       DE       2.02,9.01            05/15/13

AL International, Inc.                           2.02,9.01            03/31/13

ALASKA AIR GROUP, INC.                  DE       7.01,9.01            05/15/13

ALBANY INTERNATIONAL CORP /DE/          DE       7.01                 03/28/13

ALION SCIENCE & TECHNOLOGY CORP         DE       3.02,7.01,8.01       03/31/12    AMEND

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            05/15/13

ALPHA & OMEGA SEMICONDUCTOR Ltd                  5.02                 05/09/13

ALTAIR NANOTECHNOLOGIES INC             Z4       2.02,9.01            05/15/13

AMARU INC                               NV       4.02,9.01            05/11/13

AMERICAN EXPRESS CO                     NY       7.01                 05/15/13

AMERICAN INTERNATIONAL GROUP INC        DE       5.02,5.07            05/15/13

AMERICAN POWER CORP.                    NV       1.02                 05/09/13

AMERICAN REALTY CAPITAL HEALTHCARE TR   MD       2.02,9.01            05/15/13

American Realty Capital Properties, I   MD       8.01,9.01            05/15/13

American Realty Capital Trust IV, Inc   MD       1.01,2.01            05/09/13

AMERICAN SPECTRUM REALTY INC            MD       2.02,9.01            05/15/13

AMERIGAS PARTNERS LP                    DE       2.02,9.01            05/15/13

AMKOR TECHNOLOGY INC                    DE       7.01,8.01,9.01       05/15/13

APEX 7, Inc.                            DE       5.03,5.07            05/10/13

APRICUS BIOSCIENCES, INC.               NV       8.01                 05/14/13

Ares Commercial Real Estate Corp        MD       1.01,3.02,5.02,7.01,9.01          05/14/13

Ares Commercial Real Estate Corp        MD       2.02,9.01            05/15/13

Argo Group International Holdings, Lt            7.01,9.01            05/15/13

ARRIS GROUP INC                         DE       7.01,9.01            05/15/13

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            05/14/13

ASHLAND INC.                            KY       8.01,9.01            05/15/13

ASTORIA FINANCIAL CORP                  DE       2.02,9.01            05/14/13    AMEND

ASTRONICS CORP                          NY       5.07                 05/14/13

ASTROTECH Corp \WA\                     WA       2.02,9.01            05/15/13

AT&T INC.                               DE       8.01,9.01            05/15/13

Atlantic Coast Financial CORP           MD       2.02,9.01            05/15/13

Atlanticus Holdings Corp                GA       5.07                 05/10/13

ATMEL CORP                              DE       5.02,5.07,9.01       05/09/13

AUBURN NATIONAL BANCORPORATION, INC     DE       8.01,9.01            05/14/13

AUTHENTIDATE HOLDING CORP               DE       2.02,9.01            05/15/13

AUXILIUM PHARMACEUTICALS INC            DE       7.01,9.01            05/15/13

AVID TECHNOLOGY, INC.                   DE       5.02                 05/15/13

AVT, Inc.                               NV       4.01                 04/29/13

AXION INTERNATIONAL HOLDINGS, INC.      CO       2.02,8.01,9.01       05/14/13

AXT INC                                 DE       5.07                 05/14/13

BAB, INC.                               DE       5.07                 05/15/13

BALL CORP                               IN       8.01,9.01            05/09/13

Bank of Marin Bancorp                   CA       5.02,9.01            05/15/13

Baron Energy Inc.                       NV       3.02,5.02            05/10/13

BEAMZ INTERACTIVE INC                   DE       1.01,3.02,9.01       05/01/13

BEHRINGER HARVARD REIT I INC            MD       7.01,9.01            05/15/13

BERKSHIRE HATHAWAY INC                  DE       8.01,9.01            05/15/13

BERKSHIRE HILLS BANCORP INC             DE       7.01,9.01            05/15/13

Big Tree Group, Inc.                    CO       2.02,7.01            05/15/13

BIO KEY INTERNATIONAL INC               DE       2.02,9.01            05/15/13

BIOANALYTICAL SYSTEMS INC               IN       2.02,9.01            05/15/13

BIOTIME INC                             CA       5.02,8.01,9.01       05/13/13

Bitzio, Inc.                            NV       5.02,9.01            05/15/13

BLONDER TONGUE LABORATORIES INC         DE       2.02,9.01            05/15/13

BLUE NILE INC                           DE       5.02                 05/10/13

Bridge Capital Holdings                 CA       2.02,9.01            05/15/13

Bridgeline Digital, Inc.                DE       2.02,9.01            05/15/13

BRINKER INTERNATIONAL INC               DE       1.01,9.01            05/15/13

BROADCOM CORP                           CA       5.07                 05/14/13

BROADWAY FINANCIAL CORP \DE\            DE       2.02,9.01            05/15/13

CABELAS INC                             DE       7.01,9.01            05/15/13

CAMAC Energy Inc.                       DE       2.02,9.01            05/14/13

CAPITAL ONE FINANCIAL CORP              DE       7.01,9.01            05/15/13

Capitol Acquisition Corp. II            DE       1.01,9.01            05/10/13

CAPSTEAD MORTGAGE CORP                  MD       7.01,9.01            05/14/13

Capstone Therapeutics Corp.             DE       2.02,7.01,9.01       05/14/13

CARROLLTON BANCORP                      MD       5.02,9.01            05/13/13

CASEYS GENERAL STORES INC               IA       7.01                 05/15/13

CASH AMERICA INTERNATIONAL INC          TX       1.01,2.03,8.01,9.01  05/15/13

CBRE GROUP, INC.                        DE       5.07                 05/09/13

CCOM Group, Inc.                        NY       2.02,9.01            05/14/13

CENTRAL FEDERAL CORP                    DE       2.02,9.01            05/15/13

CENTURY CASINOS INC /CO/                DE       2.02                 05/15/13

CENTURYLINK, INC                        LA       8.01,9.01            05/14/13

CHASE CREDIT CARD MASTER TRUST          NY       8.01,9.01            05/15/13

China Advanced Construction Materials   DE       2.02,7.01,9.01       05/15/13

China Precision Steel, Inc.             CO       5.02,9.01            05/09/13

ChinaNet Online Holdings, Inc.          NV       2.02,9.01            05/15/13

Cinedigm Digital Cinema Corp.           DE       2.02,9.01            05/13/13

CISCO SYSTEMS, INC.                     CA       2.02                 05/15/13

Citadel Exploration, Inc.               NV       7.01,9.01            05/15/13

CITIGROUP INC                           DE       9.01                 05/14/13

CITIZENS BANCSHARES CORP /GA/           GA       2.02,9.01            05/15/13

CLAIMSNET COM INC                       DE       2.01,3.02,5.01,      05/09/13
						5.02,5.03,7.01,8.01,9.01

Clarion Partners Property Trust Inc.    MD       1.01,8.01,9.01       05/09/13

CLOUD PEAK ENERGY INC.                  DE       5.02,5.07,9.01       05/14/13

CNB FINANCIAL CORP/PA                   PA       8.01,9.01            05/14/13

CNB FINANCIAL CORP/PA                   PA       5.02                 05/14/13

COHU INC                                DE       5.07,8.01            05/15/13

COIL TUBING TECHNOLOGY, INC.            FL       2.02,7.01,9.01       05/14/13

COLGATE PALMOLIVE CO                    DE       5.02,5.07            05/10/13

Colony Financial, Inc.                  MD       8.01,9.01            05/10/13

COMDISCO HOLDING CO INC                 DE       2.02,9.01            05/15/13

COMPUTER SCIENCES CORP                  NV       2.02                 05/15/13

CONOLOG CORP                            DE       4.01,9.01            05/03/13

CONSOLIDATED GRAPHICS INC /TX/          TX       2.02,9.01            05/15/13

Constellation Energy Partners LLC       DE       2.02,9.01            05/15/13

CONTINENTAL MATERIALS CORP              DE       2.02,9.01            05/15/13

Cooper-Standard Holdings Inc.           DE       1.01,7.01,9.01       05/13/13

CORPORATE OFFICE PROPERTIES TRUST       MD       5.07                 05/09/13

Crescent Financial Bancshares, Inc.              8.01,9.01            05/14/13

Crexendo, Inc.                          DE       2.02,9.01            05/13/13

CTI INDUSTRIES CORP                     DE       2.02,9.01            05/13/13

CU Bancorp                              CA       7.01,9.01            05/15/13

CUMULUS MEDIA INC                       DE       5.07                 05/10/13

DDR CORP                                OH       5.07                 05/14/13

Deep Down, Inc.                         NV       2.02,9.01            05/15/13

DEERE & CO                              DE       2.02,7.01,8.01,9.01  05/15/13

DEERE JOHN CAPITAL CORP                 DE       2.02,7.01,8.01,9.01  05/15/13

DELTA AIR LINES INC /DE/                DE       7.01,9.01            05/15/13

DGSE COMPANIES INC                      NV       2.02,7.01,9.01       05/14/13

Diligent Board Member Services, Inc.    DE       5.02,9.01            05/14/13

Discover Card Execution Note Trust      DE       8.01                 05/15/13

Discover Financial Services             DE       7.01,9.01            05/10/13

DLH Holdings Corp.                      NJ       2.02,9.01            05/15/13

DNA BRANDS INC                          CO       3.02,9.01            05/03/13

DOCUMENT SECURITY SYSTEMS INC           NY       2.02,9.01            05/15/13

DOLE FOOD CO INC                        DE       5.02                 05/14/13

Dorman Products, Inc.                   PA       5.07                 05/14/13

DOVER SADDLERY INC                               4.02,8.01,9.01       05/15/13

DSP GROUP INC /DE/                      DE       8.01,9.01            05/15/13

DST SYSTEMS INC                         DE       5.07                 05/14/13

DYAX CORP                               DE       5.07                 05/09/13

DYNEGY INC.                             DE       7.01,9.01            05/15/13

DYNEX CAPITAL INC                       VA       3.01                 05/09/13

Eastern Insurance Holdings, Inc.        PA       5.07                 05/09/13

ECOTALITY, INC.                         NV       2.02,9.01            05/15/13

eHealth, Inc.                           DE       1.01,2.03,9.01       05/14/13

ELECTRO SCIENTIFIC INDUSTRIES INC       OR       5.02                 05/09/13

Electromed, Inc.                                 2.02,5.02,8.01,9.01  05/10/13

Emerald Oil, Inc.                       MT       1.01,3.02,7.01,9.01  05/13/13

EMISPHERE TECHNOLOGIES INC              DE       2.02,9.01            05/15/13

EMPIRE RESOURCES INC /NEW/              DE       2.02,9.01            05/14/13

ENERGY FOCUS, INC/DE                    DE       2.02,9.01            05/15/13

EnerJex Resources, Inc.                 NV       8.01,9.01            05/15/13

ENTREMED INC                            DE       2.02,9.01            05/15/13

EPR PROPERTIES                          MD       5.02,5.07,9.01       05/15/13

ERA GROUP INC.                          DE       2.02,7.01,9.01       05/14/13

ERA GROUP INC.                          DE       5.02                 03/18/13    AMEND

ERBA Diagnostics, Inc.                  DE       2.02,7.01,9.01       05/10/13

ESCALON MEDICAL CORP                    PA       5.02                 05/09/13
EVEREST RE GROUP LTD                    D0       8.01,9.01            05/15/13

EWaste Systems, Inc.                    NV       8.01,9.01            05/13/13

EXOPACK HOLDING CORP                             1.01,2.03            05/15/13

FAIR ISAAC CORP                         DE       5.02                 05/14/13

FARMERS CAPITAL BANK CORP               KY       5.07                 05/14/13

Federal Home Loan Bank of Dallas                 2.03,9.01            05/09/13

Feihe International Inc                 UT       2.02,9.01            05/15/13

FIELDPOINT PETROLEUM CORP               CO       2.02,7.01,9.01       05/15/13

First Connecticut Bancorp, Inc.         MD       5.07                 05/15/13

FIRST FINANCIAL SERVICE CORP            KY       7.01,9.01            05/15/13

FIRST NATIONAL CORP /VA/                VA       5.03,5.07,9.01       05/15/13

First NBC Bank Holding Co               LA       7.01,9.01            05/15/13

FIRST PACTRUST BANCORP INC              MD       1.02,5.02            05/12/12

Forbes Energy Services Ltd.             D0       2.02,9.01            05/14/13

Forestar Group Inc.                     DE       5.02,5.07            05/14/13

Fortress International Group, Inc.      DE       2.02,5.02,9.01       05/13/13

FORTUNE INDUSTRIES, INC.                DE       8.01,9.01            05/15/13

FTI CONSULTING INC                      MD       7.01,9.01            05/15/13

FuLuCai Productions Ltd.                NV       5.02                 05/09/13

GALECTIN THERAPEUTICS INC               NV       7.01,9.01            05/15/13

GALLAGHER ARTHUR J & CO                 DE       5.07,7.01,9.01       05/15/13

GASTAR EXPLORATION LTD                           1.01,2.03,9.01       05/13/13

GDT TEK, Inc.                                    8.01,9.01            04/17/13

GeoVax Labs, Inc.                       DE       1.01,3.03,9.01       05/14/13

GLACIER BANCORP INC                     DE       8.01,9.01            05/15/13

GLEACHER & COMPANY, INC.                DE       5.02,9.01            05/09/13

GLOBAL MOBILETECH, INC.                 NV       2.02,9.01            05/14/13

Global Telecom & Technology, Inc.       DE       2.02,9.01            05/15/13

GlyEco, Inc.                            NV       3.03,5.03,9.01       05/13/13

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            05/10/13

GREENBRIER COMPANIES INC                OR       8.01,9.01            05/13/13

GREENLITE VENTURES INC                  NV       5.03,9.01            05/10/13

GSE Holding, Inc.                       DE       1.01,5.02,9.01       05/13/13

GUARANTY FEDERAL BANCSHARES INC         DE       1.01,9.01            05/15/13

HARDINGE INC                            NY       1.01,2.03            05/09/13

HARDINGE INC                            NY       2.01,9.01            05/09/13

HARDINGE INC                            NY       2.02,9.01            05/09/13

HARLAND CLARKE HOLDINGS CORP            DE       8.01,9.01            05/15/13

HAWAIIAN HOLDINGS INC                   DE       1.01,8.01,9.01       05/15/13

HAWTHORN BANCSHARES, INC.               MO       2.02,9.01            05/15/13

HEMISPHERE MEDIA GROUP, INC.            DE       2.02,9.01            05/15/13

HEMISPHERE MEDIA GROUP, INC.            DE       8.01,9.01            05/15/13

HERSHEY CO                              DE       1.01,8.01,9.01       05/14/13

Hi-Crush Partners LP                    de       1.01,2.03,9.01       05/09/13

Hines Global REIT, Inc.                 MD       2.01,7.01,9.01       05/14/13

HollyFrontier Corp                      DE       7.01,9.01            05/15/13

HollyFrontier Corp                      DE       7.01,9.01            05/15/13

HollyFrontier Corp                      DE       7.01,9.01            05/15/13

HSN, Inc.                               DE       5.02,9.01            03/15/13

Hyatt Hotels Corp                       DE       8.01,9.01            05/15/13

ImmunoCellular Therapeutics, Ltd.       DE       2.02,9.01            05/09/13

IMPAX LABORATORIES INC                  DE       5.07                 05/14/13

inContact, Inc.                         DE       8.01                 05/13/13

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       2.02,9.01            05/15/13

Information Services Group Inc.         DE       5.03,9.01            05/13/13

InfuSystem Holdings, Inc                DE       5.02,9.01            05/13/13

INSTITUTIONAL FINANCIAL MARKETS, INC.   MD       8.01,9.01            05/15/13

INTEGRATED ELECTRICAL SERVICES INC      DE       2.02,9.01            05/14/13

INTELLIGENT SYSTEMS CORP                GA       2.02,9.01            05/15/13

ION GEOPHYSICAL CORP                    DE       7.01                 05/15/13

IsoRay, Inc.                            MN       2.02,9.01            05/15/13

iTalk Inc.                              NV       8.01,9.01            05/15/13

JACK IN THE BOX INC /NEW/               DE       2.02,9.01            05/15/13

JONES LANG LASALLE INC                  MD       3.01,7.01,9.01       05/14/13

JPMORGAN CHASE & CO                     DE       8.01,9.01            05/15/13

KENTUCKY BANCSHARES INC /KY/            KY       5.07                 05/15/13

KIMCO REALTY CORP                       MD       1.01,9.01            05/14/13

KINGOLD JEWELRY, INC.                   DE       2.02,7.01,9.01       05/15/13

KINGSTONE COMPANIES, INC.               DE       2.02,9.01            05/15/13

LA JOLLA PHARMACEUTICAL CO              CA       2.02,9.01            05/13/13

LADENBURG THALMANN FINANCIAL SERVICES   FL       5.07,9.01            05/09/13

LEAP WIRELESS INTERNATIONAL INC         DE       5.02,9.01            05/10/13

LEGACY RESERVES LP                      DE       5.07                 05/14/13

LEXINGTON REALTY TRUST                  MD       8.01                 05/15/13

Liberty Global, Inc.                    DE       8.01                 05/15/13

LKQ CORP                                DE       7.01,9.01            05/13/13

LOCAL Corp                              DE       7.01,9.01            05/09/13

LOOKSMART LTD                           DE       4.01,9.01            04/26/13

LOOKSMART LTD                           DE       2.02,9.01            05/15/13

M&F BANCORP INC /NC/                    NC       2.02,9.01            05/15/13

Macy's, Inc.                            DE       2.02,9.01            05/15/13

MANTECH INTERNATIONAL CORP              DE       5.07                 05/09/13

Mast Therapeutics, Inc.                 DE       2.02,9.01            05/15/13

McEwen Mining Inc.                      CO       7.01,9.01            05/15/13

Mellanox Technologies, Ltd.             L3       1.01,8.01,9.01       05/14/13

MERCADOLIBRE INC                                 1.01                 05/10/13

MERCURY SYSTEMS INC                     MA       7.01,9.01            05/15/13

MERIDIAN INTERSTATE BANCORP INC                  5.07                 05/15/13

METLIFE INC                             DE       8.01,9.01            05/15/13

MIDDLEFIELD BANC CORP                   OH       7.01,9.01            05/15/13

MIMEDX GROUP, INC.                      FL       5.02,5.07,9.01       05/09/13

Monarchy Resources, Inc.                NV       1.01,9.01            05/14/13

Morningstar, Inc.                       IL       5.07,8.01,9.01       05/14/13

MoSys, Inc.                             DE       1.01,8.01,9.01       05/14/13

MRV COMMUNICATIONS INC                  DE       5.02                 05/15/13

MusclePharm Corp                        NV       2.02,7.01,9.01       05/15/13

NATIONAL MENTOR HOLDINGS, INC.          DE       2.02,9.01            05/15/13

NATIONAL SECURITY GROUP INC             DE       7.01,9.01            05/15/13

NETLIST INC                             DE       2.02,9.01            05/14/13

New Source Energy Partners L.P.         DE       2.02,9.01            05/15/13

NEWBRIDGE BANCORP                       NC       5.07,7.01,8.01,9.01  05/15/13

NEWTOWN LANE MARKETING INC                       2.03,9.01            05/14/13

NEXTERA ENERGY INC                      FL       2.03                 05/15/13

NORTH EUROPEAN OIL ROYALTY TRUST        DE       2.02,9.01            04/30/13

NORTHROP GRUMMAN CORP /DE/                       5.02,9.01            05/15/13

Novation Holdings Inc                   FL       2.01                 05/07/13

ONVIA INC                               DE       5.07                 05/09/13

ORIENT EXPRESS HOTELS LTD               D0       2.02,9.01            05/15/13

ORION ENERGY SYSTEMS, INC.              WI       5.02                 05/15/13

OvaScience, Inc.                        DE       2.02,9.01            05/15/13

OVERHILL FARMS INC                      NV       1.01,3.03,8.01,9.01  05/14/13

OVERLAND STORAGE INC                    CA       2.02,9.01            05/15/13

OVERSEAS SHIPHOLDING GROUP INC          DE       7.01,9.01            05/15/13

OVERSTOCK.COM, INC                      DE       5.07                 05/09/13

Oxford Resource Partners LP                      2.02,9.01            05/15/13

OXYGEN BIOTHERAPEUTICS, INC.            DE       5.03,8.01,9.01       05/10/13

PACWEST BANCORP                         DE       5.07,8.01,9.01       05/13/13

Panache Beverage, Inc.                           1.01,2.03            05/09/13

PARKERVISION INC                        FL       8.01                 05/15/13

PBF Energy Inc.                         DE       5.02,9.01            05/10/13

PEPCO HOLDINGS INC                      DE       7.01,9.01            05/15/13

PFSWEB INC                              DE       1.01,3.02,3.03,      05/15/13
						8.01,9.01          

PHARMACYCLICS INC                       DE       1.01,5.07            05/09/13

PHOENIX COMPANIES INC/DE                DE       2.02,9.01            05/15/13

PHOTRONICS INC                          CT       2.02,9.01            05/14/13

PILGRIMS PRIDE CORP                     DE       7.01,9.01            05/14/13

Pinnacle Foods Inc.                     DE       2.02,9.01            05/15/13

PITNEY BOWES INC /DE/                   DE       5.03,5.07,9.01       05/13/13

Point.360                               CA       3.01,9.01            05/10/13

PREFERRED VOICE INC                     DE       1.01,2.01,3.02,5.01, 05/14/13
						5.02,5.03,5.06,9.01        

Primco Management Inc.                           3.02,8.01,9.01       05/09/13

Professional Diversity Network, Inc.    IL       2.02,9.01            05/15/13

PROGRESSIVE CORP/OH/                    OH       7.01,9.01            05/15/13

PROS Holdings, Inc.                     DE       5.02,9.01            05/13/13

PRUDENTIAL BANCORP INC OF PENNSYLVANI            5.07                 02/11/13    AMEND

PRUDENTIAL FINANCIAL INC                NJ       5.07                 05/14/13

PURADYN FILTER TECHNOLOGIES INC         DE       2.02,7.01,9.01       05/14/13

PYRAMID OIL CO                          CA       2.02,9.01            05/14/13

QAD INC                                 DE       2.02,9.01            05/14/13

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       2.02,9.01            05/15/13

Quintiles Transnational Holdings Inc.   NC       1.01,8.01,9.01       05/14/13

RAYMOND JAMES FINANCIAL INC             FL       7.01                 05/15/13

RBC LIFE SCIENCES, INC.                 DE       2.02,9.01            05/15/13

Regency Energy Partners LP              DE       5.02                 05/15/13

REGENERX BIOPHARMACEUTICALS INC         DE       7.01,9.01            05/13/13

REPUBLIC AIRWAYS HOLDINGS INC           DE       7.01,9.01            05/15/13

REPUBLIC BANCORP INC /KY/               KY       7.01,9.01            05/15/13

RETAIL PROPERTIES OF AMERICA, INC.      MD       5.02                 05/15/13

RLJ ENTERTAINMENT, INC.                 NV       2.02,9.01            05/15/13

ROCKWELL MEDICAL, INC.                  MI       1.01,9.01            05/15/13

ROTECH HEALTHCARE INC                   DE       1.01,1.02,9.01       12/21/12    AMEND

RXi Pharmaceuticals Corp                DE       2.02,9.01            05/15/13

SALISBURY BANCORP INC                   CT       7.01                 05/15/13

Santander Drive Auto Receivables Trus   DE       1.01,9.01            05/15/13

SAPIENT CORP                            DE       2.02,9.01            05/15/13

SAVIENT PHARMACEUTICALS INC             DE       2.02,9.01            05/15/13

Seagate Technology plc                  L2       8.01,9.01            05/15/13

Seagate Technology plc                  L2       8.01,9.01            05/15/13

Sector 5, Inc.                          NV       4.01,9.01            05/14/13

SELECT COMFORT CORP                     MN       5.02,5.07,9.01       05/14/13

Selway Capital Acquisition Corp.        DE       2.01,9.01            04/10/13    AMEND

SENIOR HOUSING PROPERTIES TRUST         MD       5.07,8.01,9.01       05/09/13

SGB International Holdings Inc.         A1       5.02,9.01            05/07/13

Shengkai Innovations, Inc.              FL       2.02,9.01            05/15/13

SHUTTERFLY INC                          DE       8.01                 05/14/13

SIGNATURE GROUP HOLDINGS, INC.          NV       2.02,8.01,9.01       05/15/13

SilverSun Technologies, Inc.            DE       7.01,9.01            05/15/13

SKECHERS USA INC                        DE       2.02,9.01            05/15/13

SM Energy Co                            DE       7.01,8.01,9.01       05/15/13

Smokin Concepts Development Corp        CO       8.01                 05/15/13

Southcross Energy Partners, L.P.        DE       7.01,9.01            05/15/13

SOUTHERN CONNECTICUT BANCORP INC        CT       5.07,8.01,9.01       05/15/13

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       2.02,7.01,9.01       05/13/13

SPANISH BROADCASTING SYSTEM INC         DE       2.02,8.01,9.01       05/15/13

SPANISH BROADCASTING SYSTEM INC         DE       4.01                 05/09/13

SPRINGLEAF FINANCE CORP                 IN       8.01                 05/15/13

STAAR SURGICAL CO                       DE       5.03,5.07            05/13/13

STANCORP FINANCIAL GROUP INC            OR       5.02,5.07,9.01       05/13/13

STATE STREET CORP                       MA       7.01,9.01            05/15/13

STRATUS PROPERTIES INC                  DE       2.02,9.01            05/15/13

SUMMIT FINANCIAL SERVICES GROUP INC     FL       2.02,9.01            05/15/13

SunCoke Energy, Inc.                             5.02,9.01            05/15/13

SUNPOWER CORP                           DE       7.01,9.01            05/15/13

Sunshine Heart, Inc.                    DE       2.01,9.01            05/14/13

SUPERIOR ENERGY SERVICES INC            DE       8.01,9.01            05/14/13

SUSQUEHANNA BANCSHARES INC              PA       2.05                 05/13/13

SYNCHRONOSS TECHNOLOGIES INC                     5.07                 05/13/13

Synthetic Biologics, Inc.               NV       2.02,9.01            05/15/13

Tarheel Billboard Inc                   NV       4.01,9.01            05/15/13

TC PIPELINES LP                         DE       1.01,7.01,9.01       05/15/13

TC PIPELINES LP                         DE       7.01,9.01            05/15/13

TearLab Corp                            DE       2.02,9.01            05/13/13

TELKONET INC                            UT       2.02,9.01            05/15/13

TELKONET INC                            UT       5.02,9.01            05/14/13

TELOS CORP                              MD       5.02,5.07,9.01       05/13/13

TENET HEALTHCARE CORP                   NV       7.01,8.01,9.01       05/15/13

TENGION INC                             DE       2.02,9.01            05/15/13

TESCO CORP                                       5.07                 05/09/13

TESLA MOTORS INC                        DE       1.01,8.01,9.01       05/14/13

TransDigm Group INC                     DE       7.01,9.01            05/15/13

Transocean Ltd.                         V8       7.01,9.01            05/15/13

TRIO TECH INTERNATIONAL                 CA       2.02,9.01            05/14/13

TRIQUINT SEMICONDUCTOR INC              DE       5.07,8.01,9.01       05/14/13

Trovagene, Inc.                         DE       2.02,9.01            05/14/13

TRUE RELIGION APPAREL INC               DE       1.01,9.01            05/10/13

TUFCO TECHNOLOGIES INC                  DE       2.02,9.01            05/14/13

Twin Cities Power Holdings, LLC         MN       2.02,9.01            05/15/13

TWO RIVERS WATER & FARMING Co           CO       7.01                 05/15/13

U S PHYSICAL THERAPY INC /NV            NV       5.07                 05/14/13

U.S. SILICA HOLDINGS, INC.              DE       7.01                 05/15/13

U.S. Well Services, LLC                 DE       1.01,2.03,9.01       05/09/13

UBS-Barclays Commercial Mortgage Trus            8.01                 05/15/13

UBS-Barclays Commercial Mortgage Trus            9.01                 04/25/13    AMEND

UGI CORP /PA/                           PA       2.02,9.01            05/15/13

UNIFI INC                               NY       5.02                 05/13/13

UNILENS VISION INC                               8.01,9.01            05/15/13

UNITED FIRE GROUP INC                            8.01,9.01            05/15/13

UNITED SURGICAL PARTNERS INTERNATIONA   DE       2.02,9.01            05/14/13

UNIVERSAL HOSPITAL SERVICES INC         MN       2.02,7.01,9.01       05/15/13

US CONCRETE INC                         DE       8.01                 05/15/13

US FOODS, INC.                          DE       2.02,9.01            05/15/13

USA TRUCK INC                           DE       5.02,5.07            05/14/13

VALLEY FINANCIAL CORP /VA/              VA       8.01,9.01            05/15/13

VALUECLICK INC/CA                       DE       5.07                 05/07/13

VAPOR CORP.                             NV       2.02,9.01            05/15/13

Verisk Analytics, Inc.                  DE       5.07                 05/15/13

VERMILLION, INC.                        DE       2.02,7.01,9.01       05/15/13

VIEWCAST COM INC                        DE       2.02,9.01            05/15/13

VirtualScopics, Inc.                    DE       2.02,9.01            05/15/13

VISION SCIENCES INC /DE/                DE       1.01,5.02,8.01       05/09/13

VIVUS INC                               CA       7.01,9.01            05/15/13

Voltari Corp                            DE       2.02,9.01            05/15/13

VONAGE HOLDINGS CORP                    DE       1.01                 05/10/13

VWR Funding, Inc.                       DE       2.02,7.01            05/15/13

W. S. Industries, Inc.                  NV       1.01,2.01,3.02,      05/14/13
						5.01,5.02,5.03,5.06,9.01        

WALGREEN CO                             IL       8.01,9.01            05/15/13

WELLPOINT, INC                          IN       5.07                 05/15/13

WERNER ENTERPRISES INC                  NE       5.07                 05/14/13

WEST PHARMACEUTICAL SERVICES INC        PA       7.01,9.01            05/15/13

Western Gas Partners LP                 DE       1.01,9.01            05/14/13

WESTINGHOUSE AIR BRAKE TECHNOLOGIES C   DE       5.02,5.07,8.01,9.01  05/14/13

Wheeler Real Estate Investment Trust,   MD       1.01,9.01            05/13/13

Wheeler Real Estate Investment Trust,   MD       1.01,9.01            05/10/13

Wheeler Real Estate Investment Trust,   MD       1.01,9.01            05/10/13

Wheeler Real Estate Investment Trust,   MD       1.01,9.01            05/10/13

Wheeler Real Estate Investment Trust,   MD       1.01,9.01            05/10/13

Wheeler Real Estate Investment Trust,   MD       1.01,9.01            05/10/13

WireCo WorldGroup Inc.                           1.01,5.02,9.01       05/15/13

WIRELESS TELECOM GROUP INC              NJ       2.02,7.01,9.01       05/15/13

World Surveillance Group Inc.           DE       3.02,8.01,9.01       05/09/13

WYNN RESORTS LTD                                 8.01,9.01            05/15/13

XENONICS HOLDINGS, INC.                 NV       2.02,9.01            05/15/13

XENOPORT INC                            DE       5.07                 05/14/13

XL GROUP PLC                            L2       1.01,2.03,9.01       05/15/13

ZAIS Financial Corp.                    MD       5.05,9.01            05/09/13

Zayo Group LLC                          DE       2.02,7.01,9.01       05/15/13

 

http://www.sec.gov/news/digest/2013/dig051613.htm

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Modified: 05/17/2013