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COMMISSION ANNOUNCEMENTSSEC Charges China-Based Executives With Securities FraudThe Securities and Exchange Commission today charged two China-based executives with defrauding investors into believing they were investing in a Chinese coal business when in fact they were investing in an empty shell company. The SEC alleges that Puda Coal Inc.’s chairman Ming Zhao schemed with former CEO Liping Zhu to steal and sell Puda Coal’s sole revenue-producing asset, a coal mining company named Shanxi Puda Coal Group. Zhao secretly transferred Puda Coal’s controlling interest in Shanxi Coal to himself and then sold a substantial portion to a fund controlled by what is reported to be China’s largest state-owned financial firm. The scheme enabled Zhao rather than Puda Coal’s public shareholders to profit from a lucrative business opportunity. The SEC alleges that Zhao and Zhu failed to disclose these transactions in Puda Coal’s periodic reports to the SEC, and continued to raise funds from U.S. investors by conducting two public offerings to purportedly raise capital to enable Shanxi Coal to acquire coal mines. Unbeknownst to investors, Puda Coal no longer had an ownership stake in that company after Zhao’s secret maneuvers. After the SEC began investigating, Zhao and Zhu further schemed to forge a letter from the Chinese financial firm purporting that Puda Coal investors weren’t harmed by the asset transfers. In reality, the scheme left Puda Coal as a shell company with no ongoing business operations. “Zhao and Zhu duped investors with promises that their money would be invested in a Chinese coal company when in fact the company was an empty shell that had been looted by the defendants,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “This enforcement action reflects our continuing commitment to hold accountable officers and directors of issuers who misuse their access to the U.S. capital markets to commit fraud for personal gain.” George S. Canellos, Director of the SEC’s New York Regional Office, added, “The massive fraud perpetrated by Zhao and Zhu wiped out hundreds of millions of dollars in shareholder value and was compounded by their brazen obstruction of the SEC’s investigation.” According to the SEC’s complaint filed in U.S. District Court for the Southern District of New York, Puda Coal entered the U.S. capital markets through a reverse merger in July 2005. Puda Coal’s common stock was listed and traded on the NYSE from September 2009 to August 2011. The SEC alleges that Zhao embarked on the scheme with Zhu in September 2009 to enrich himself at the expense of Puda Coal’s public shareholders. Just weeks before Puda Coal announced that Shanxi Coal had received a highly lucrative mandate from the provincial government authorities to become a consolidator of smaller coal mining companies, Zhao quietly transferred Puda Coal’s 90 percent stake in Shanxi Coal to himself. In July 2010, Zhao transferred a 49 percent equity interest in Shanxi Coal to CITIC Trust Co Ltd., a Chinese private equity fund controlled by state-owned investment firm CITIC Group. CITIC Trust placed its 49 percent stake in Shanxi Coal in a trust and then sold interests in the trust to Chinese investors. Zhao caused Shanxi Coal to pledge 51 percent of its assets to CITIC Trust as collateral for a loan of RMB 3.5 billion ($516 million in U.S. dollars) from the trust to Shanxi Coal. In exchange, CITIC Trust gave Zhao 1.212 billion preferred shares in the trust. According to the SEC’s complaint, the transactions were not approved by Puda Coal’s board or shareholders and not disclosed in Puda Coal’s SEC filings, which Zhao and Zhu signed knowing that they were materially false and misleading. During the two Puda Coal public offerings in 2010, CITIC Trust was separately selling interests in Shanxi Coal to Chinese investors while Zhao and Zhu were still telling U.S. investors that Puda Coal owned a 90 percent stake in that company. The SEC further alleges that Zhao and Zhu continued their fraudulent scheme to deceive public investors even after the SEC began its investigation. Zhu forged a letter purportedly from CITIC Trust falsely stating that no funds had actually been loaned to Shanxi Coal and disclaiming any interest in Puda Coal’s or Shanxi Coal’s assets. Zhao’s counsel provided the forged letter to the SEC’s investigative staff and Puda’s audit committee. After Puda Coal disclosed the letter in an SEC filing and further misled shareholders about the ownership of Puda Coal’s assets, Zhu admitted forging the letter and resigned as CEO. Zhao remains the chairman. Zhao and Zhu are charged with violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, as well as violating the proxy solicitation rules and various corporate reporting, recordkeeping and internal controls provisions of the Exchange Act. The SEC’s complaint seeks a final judgment ordering Zhao and Zhu to disgorge their ill-gotten gains plus prejudgment interest, imposing financial penalties, barring them from acting as officers or directors of a public company, and permanently enjoining them from committing future violations of these provisions. The SEC’s investigation, which is continuing, has been conducted by Sheldon Pollock, Scott York and George Stepaniuk of the SEC’s New York Regional Office with investigative support from Neil Hendelman and Desiree Marmita. The SEC’s Cross Border Working Group, which has representatives from each of the SEC’s major divisions and offices and focuses on U.S. companies with substantial foreign operations, has assisted the New York Regional Office enforcement staff in the investigation. Over the past year, the SEC has moved to protect U.S. investors in U.S. companies with substantial foreign operations through:
In addition, the SEC has revoked the securities registration of at least a dozen U.S. issuers based in the People’s Republic of China and instituted administrative proceedings to determine whether to suspend or revoke the registrations of 27 more issuers. (Press Rel. 2012-31) ENFORCEMENT PROCEEDINGSIn the Matter of Daniel J. BurnsOn February 21, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Daniel J. Burns. The Order alleges that on January 31, 2012, a final judgment was entered against Burns, a former consultant of CytoCore, Inc. (CytoCore) and former Chairman CytoCore’s Board of Directors, in the Commission’s civil action against Burns in United States District Court, enjoining Burns from violating certain provisions of the federal securities laws. According to the Order, the Commission’s complaint alleged that, among other things, Burns engaged in market manipulation and insider trading in connection with his purchases and sales of CytoCore stock during a CytoCore private offering, improperly solicited investors for CytoCore without being associated with a registered broker-dealer, submitted to CytoCore false claims for commissions earned and expenses incurred in connection with his solicitation of investors, failed to file required Forms 4 reporting his CytoCore stock transactions, and misreported his CytoCore stock holdings in proxy statements and Forms 4. (Rel. 34-66435; File No. 3-14765) In the Matter of in Amstem Corporation, et al.On February 22, 2012, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to Amstem Corporation, Anesiva, Inc. and Catcher Holdings, Inc. (Default Order) in Amstem Corporation, Admin. Proc. 3-14706. The Default Order finds that Amstem Corporation, Anesiva, Inc., and Catcher Holdings, Inc., issuers of securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 (Exchange Act), have failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Securities and Exchange Commission. As a result, the Administrative Law Judge revoked the registration of each class of registered securities of each named Respondent. (Rel. 34-66436; File No. 3-14706) Commission Declares Decision as to Bio-Warm Corp. (n/k/a PHI Gold Corp.) FinalThe decision of an administrative law judge with respect to Bio-Warm Corp. (n/k/a PHI Gold Corp.) has become final. The law judge found that PHI Gold violated Section 13(a) of the Securities Exchange Act of 1934 and Securities Exchange Act Rules 13a-1 and 13a-13 by its failure to file timely periodic reports. PHI Gold is a defaulted Nevada corporation located in Huntington Beach, California. PHI Gold has not filed any periodic reports since it filed a Form 10-QSB for the period ended May 31, 2005. The Form 10-QSB showed a net loss of more than $238,000 for the prior three months. As of August 29, 2011, PHI Gold's stock symbol "PHIG" was quoted on OTC Link, had five market makers, and was eligible for the "piggyback" exception or Exchange Act rule 15c2-11(f)(3). The law judge also found that it was necessary and appropriate for the protection of investors to revoke the registration of each class of PHI Gold's registered securities. (Rel. 34-66437; File No. 3-14534) SEC Charges Individual and Three of His Companies With Running Illegal Ponzi SchemesSEC v. Verde Retirement LLC, Verde FX Nevada, LLC, Covenant Capital Partners, and Steven L. HamiltonThe Securities and Exchange Commission today announced it has charged Steven L. Hamilton and Verde Retirement LLC, Verde FX Nevada, LLC, Covenant Capital Partners with securities fraud for defrauding at least 23 investors out of $1.6 million in a series of Ponzi schemes. The SEC alleges from 2007 through February 2011, Hamilton solicited investors through the internet and via direct solicitation. The SEC’s complaint alleges that Hamilton told Covenant Capital investors they were investing in real estate loans secured by deeds of trust, told Verde Retirement investors they were investing in either real estate loans secured by deeds of trust, certificates of deposit, and told Verde FX investors they were pooling their money to invest in the construction of a new FedEx distribution facility in Las Vegas, Nevada. According to the SEC’s complaint, Hamilton never placed any investor money in real estate loans secured by deeds of trust, certificates of deposit or a FedEx facility. Instead, Hamilton used the $1.6 million he raised to pay his personal living expenses and return capital to investors. The SEC’s complaint alleges that Verde Retirement LLC, Verde FX Nevada, LLC, Covenant Capital Partners, and Steven Hamilton violated Sections 5(a), 5(c), and 17(a)(1), 17(a)(2), and 17(a)(3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC is seeking permanent injunctions against Verde Retirement, Verde FX, Covenant Capital, and Steven Hamilton, and disgorgement, prejudgment interest, and a civil penalty against Steven Hamilton. [SEC v. Verde Retirement LLC, Verde FX Nevada, LLC, Covenant Capital Partners, and Steven L. Hamilton, Civil Case No. 3:12-cv-00445-DMS-BLM (S.D. Cal.)] (LR-22263) INVESTMENT COMPANY ACT RELEASESIncapital LLC (Depositor) and Incapital Unit TrustAn order has been issued on an application filed by Incapital LLC (Depositor) and Incapital Unit Trust under Section 6(c) of the Investment Company Act of 1940 (Act) for exemptions from Sections 2(a)(32), 2(a)(35), 14(a), 19(b), 22(d) and 26(a)(2)(C) of the Act and Rules 19b-1 and 22c-1 under the Act, and under Sections 11(a) and 11(c) of the Act to approve certain offers of exchange and rollover privileges. The order would permit certain unit investment trusts to: (a) impose sales charges on a deferred basis and waive the deferred sales charge in certain cases; (b) offer unitholders certain exchange and rollover privileges; (c) publicly offer units without requiring the Depositor to take for its own account or place with others $100,000 worth of units; and (d) distribute capital gains resulting from the sale of portfolio securities within a reasonable time after receipt. (Rel. IC-29949 – February 21) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-17) amending the Fee Schedule to define a market maker 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 February 27. (Rel. 34-66426) A proposed rule change filed by BATS Exchange, Inc. adopting rebates for the Competitive Liquidity Provider Program (SR-BATS-2012-011) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66427) A proposed rule change filed by NASDAQ OMX PHLX LLC to modify connectivity options and fees (SR-Phlx-2012-20) 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 February 27. (Rel. 34-66429) A proposed rule change filed by the International Securities Exchange, LLC to expand the Short Term Option Series Program (SR-ISE-2012-08) 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 February 27. (Rel. 34-66432) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-178) relating to stock execution clerks. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66430) Accelerated Approval of Proposed Rule ChangeICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to revise procedures related to certain technical and operational changes relating to operational processing of restructuring credit events under CDS contracts. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66434) 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. S-8 FORMFACTOR INC, 7005 SOUTHFRONT ROAD, LIVERMORE, CA, 94551, 9252433522 - 0 ($15,358,676.00) Equity, (File 333-179589 - Feb. 21) (BR. 10A) S-1 MARSHALL EDWARDS INC, 11975 EL CAMINO REAL, SUITE 101, SAN DIEGO, CA, 92130, 858-792-6300 - 0 ($8,000,000.00) Equity, (File 333-179590 - Feb. 21) (BR. 01B) S-8 MARSHALL EDWARDS INC, 11975 EL CAMINO REAL, SUITE 101, SAN DIEGO, CA, 92130, 858-792-6300 - 0 ($1,647,000.00) Equity, (File 333-179591 - Feb. 21) (BR. 01B) S-8 IROBOT CORP, 8 CROSBY DRIVE, BEDFORD, MA, 01730, 781-430-3000 - 1,224,745 ($30,618,625.00) Equity, (File 333-179593 - Feb. 21) (BR. 11A) S-8 VIRGIN MEDIA INC., 909 THIRD AVENUE, SUITE 2863, NEW YORK, NY, 10022, (212) 906-8440 - 0 ($2,667,000.00) Equity, (File 333-179595 - Feb. 21) (BR. 11A) S-8 HUTTIG BUILDING PRODUCTS INC, 555 MARYVILLE UNIVERSITY DRIVE, SUITE 240, ST LOUIS, MO, 63141, 314-216-2600 - 0 ($2,430,000.00) Equity, (File 333-179596 - Feb. 21) (BR. 06A) S-8 SIRIUS XM RADIO INC., 1221 AVENUE OF THE AMERICAS, 36TH FLOOR, NEW YORK, NY, 10020, 212-584-5100 - 2,000,000 ($4,300,000.00) Equity, (File 333-179600 - Feb. 21) (BR. 11A) S-3ASR MARKETAXESS HOLDINGS INC, 140 BROADWAY 42ND FLOOR, NEW YORK, NY, 10005, 212-831-6000 - 0 ($116,031,975.00) Equity, (File 333-179601 - Feb. 21) (BR. 12A) S-8 BIG 5 SPORTING GOODS CORP, 2525 EAST EL SEGUNDO BOULEVARD, EL SEGUNDO, CA, 90245-4632, 3102977706 - 0 ($10,850,000.00) Equity, (File 333-179602 - Feb. 21) (BR. 02C) S-1 ACCESS PHARMACEUTICALS INC, 2600 N STEMMONS FRWY, STE 176, DALLAS, TX, 75207, 2149055100 - 0 ($10,000,000.00) Equity, (File 333-179603 - Feb. 21) (BR. 01B) S-8 CYANOTECH CORP, 73-4460 QUEEN KAAHUMANU HWY, SUITE 102, KAILUA KONA, HI, 96740, 8083261353 - 0 ($12,285,000.00) Equity, (File 333-179605 - Feb. 21) (BR. 01A) N-2 Firsthand Technology Value Fund, Inc., 150 ALMADEN BLVD., SUITE 1250, SAN JOSE, CA, 95113, 408-886-7096 - 0 ($25,000,000.00) Equity, (File 333-179606 - Feb. 21) (BR. 16) S-3ASR CAPSTEAD MORTGAGE CORP, 8401 NORTH CENTRAL EXPRESSWAY, STE 800, DALLAS, TX, 75225, 2148742323 - 0 ($1.00) Unallocated (Universal) Shelf, (File 333-179607 - Feb. 21) (BR. 08C) 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 ----------------------------------------------------------------------------------------- 3M CO DE 8.01 02/17/12 3M CO DE 8.01 02/17/12 A. H. Belo CORP DE 2.02,9.01 02/21/12 ABERCROMBIE & FITCH CO /DE/ DE 2.02,2.06,8.01,9.01 02/14/12 AbitibiBowater Inc. DE 5.05 02/14/12 ACCO BRANDS CORP DE 2.05 02/15/12 ACORN ENERGY, INC. DE 7.01,9.01 02/21/12 AgFeed Industries, Inc. NV 1.01,5.02,7.01,9.01 02/14/12 AgFeed Industries, Inc. NV 5.07 08/02/11 AMEND ALICO INC FL 5.07,8.01,9.01 02/21/12 ALL Fuels & Energy Co DE 1.01,2.01,3.02,7.01, 02/21/11 9.01 ALLETE INC MN 8.01,9.01 02/21/12 AMEND ALLETE INC MN 1.01,2.03,9.01 02/21/12 AMEND ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/21/12 Allied Nevada Gold Corp. DE 5.07 10/19/11 AMEND Alliqua, Inc. FL 3.02,9.01 12/31/11 Alternative Fuels Americas, Inc. DE 5.02 02/20/12 AMBASSADORS INTERNATIONAL INC DE 7.01,9.01 02/21/12 AMERICAN AIRLINES INC DE 7.01 02/21/12 AMERICAN EAGLE ENERGY Corp 5.02,9.01 02/21/12 AMERICAN ELECTRIC POWER CO INC NY 7.01 02/20/12 AMERICAN NATIONAL INSURANCE CO /TX/ TX 2.02,9.01 02/20/12 AMERICAN ORIENTAL BIOENGINEERING INC CO 8.01,9.01 02/21/12 American Reprographics CO DE 2.02,5.02,9.01 02/21/12 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 02/21/12 AMERICAN SCIENTIFIC RESOURCES INC NV 5.02,8.01 10/01/11 American Standard Energy Corp. DE 5.02 02/13/12 AMERICAN STATES WATER CO CA 5.02 02/15/12 AMERICAN WOODMARK CORP VA 2.02,9.01 02/21/12 AMPAL-AMERICAN ISRAEL CORP NY 7.01,9.01 02/21/12 AMR CORP DE 7.01 02/21/12 AMSURG CORP TN 7.01,9.01 02/21/12 Amtrust Financial Services, Inc. DE 5.02 02/15/12 ANADARKO PETROLEUM CORP DE 5.02,9.01 02/16/12 ANAVEX LIFE SCIENCES CORP. NV 1.01,3.02,9.01 02/09/12 AMEND APD ANTIQUITIES, INC. NV 1.01,9.01 02/17/12 Apollo Medical Holdings, Inc. DE 5.02,7.01,9.01 02/16/12 Approach Resources Inc DE 2.02,7.01,9.01 02/21/12 Approach Resources Inc DE 5.02,9.01 02/20/12 ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 02/21/12 AspenBio Pharma, Inc. CO 7.01,9.01 02/21/12 ASTEC INDUSTRIES INC TN 2.02,9.01 02/21/12 ASTORIA FINANCIAL CORP DE 5.02 02/15/12 ATRION CORP DE 2.02,9.01 02/21/12 ATS CORP DE 1.01,2.02,5.02,8.01, 02/21/12 9.01 AuraSource, Inc. NV 1.01,3.02,5.02,9.01 02/15/12 AUTOLIV INC DE 8.01,9.01 02/21/12 BADGER METER INC WI 5.02,9.01 02/17/12 Baltic Trading Ltd 1T 2.02,9.01 02/21/12 Bank of New York Mellon CORP DE 8.01,9.01 02/21/12 BARNES & NOBLE INC DE 2.02,9.01 02/21/12 Behringer Harvard Opportunity REIT I, MD 8.01 02/13/12 BGC Partners, Inc. DE 8.01,9.01 02/20/12 BILL BARRETT CORP DE 7.01,9.01 02/21/12 BIOLIFE SOLUTIONS INC DE 5.02 02/15/12 Bitzio, Inc. NV 1.01 02/21/12 BLUE CALYPSO, INC. NV 5.02 02/17/12 BLUE DOLPHIN ENERGY CO DE 2.01,3.02,5.01,5.02 02/15/12 Blue Water Restaurant Group, Inc. NV 8.01,9.01 02/17/11 BOISE INC. DE 5.02,9.01 02/15/12 BONANZA GOLD CORP. DE 3.02 02/14/12 BORGWARNER INC DE 5.02 02/21/12 BOSTON BEER CO INC MA 5.02,8.01 02/14/12 BOYD GAMING CORP NV 2.02,9.01 02/21/12 BRITTON & KOONTZ CAPITAL CORP MS 1.01,7.01,9.01 02/21/12 BROADCOM CORP CA 5.02 02/16/12 BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 02/21/12 BUCKEYE TECHNOLOGIES INC DE 7.01,8.01,9.01 02/21/12 CABOT OIL & GAS CORP DE 2.02,9.01 02/20/12 CACI INTERNATIONAL INC /DE/ DE 2.02,9.01 02/21/12 CAI International, Inc. 2.02,9.01 02/21/12 CALIBRUS, INC. NV 3.02,8.01 02/21/12 CAPITAL TRUST INC MD 2.02,9.01 02/14/12 CARDINAL FINANCIAL CORP VA 5.02 02/14/12 Cardium Therapeutics, Inc. DE 8.01,9.01 02/16/12 CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 02/16/12 CAROLINA BANK HOLDINGS INC NC 5.02 02/14/12 AMEND CATERPILLAR INC DE 7.01 02/21/12 CBIZ, Inc. DE 2.02,9.01 02/16/12 CBRE GROUP, INC. DE 5.02 02/14/12 CC Media Holdings Inc 2.02,9.01 02/21/12 CEDAR FAIR L P DE 2.02,9.01 02/21/12 CENTURY PROPERTIES FUND XV CA 5.07 02/21/12 CENTURY PROPERTIES FUND XVII CA 5.07 02/21/12 CH ENERGY GROUP INC NY 1.01,8.01,9.01 02/20/12 CHARTER COMMUNICATIONS, INC. /MO/ DE 8.01,9.01 02/15/12 CHEESECAKE FACTORY INC DE 2.02,9.01 02/21/12 China Digital Animation Development, NY 4.01,9.01 01/16/12 CHINA HGS REAL ESTATE INC. F4 7.01,9.01 02/16/12 China Precision Steel, Inc. CO 2.02,9.01 02/21/12 China TransInfo Technology Corp. NV 8.01,9.01 02/21/12 Chino Commercial Bancorp CA 8.01,9.01 02/15/12 CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,5.02,9.01 02/21/12 CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02,9.01 02/16/12 CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 02/20/12 CHRISTOPHER & BANKS CORP DE 5.02,7.01,9.01 02/16/12 CHROMCRAFT REVINGTON INC DE 8.01 02/21/12 CICERO INC DE 5.02 02/16/12 CIENA CORP DE 2.02,9.01 02/21/12 CIFC Corp. DE 5.02 02/16/12 CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 02/21/12 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 02/21/12 CLX MEDICAL, INC. CO 1.01,1.02,5.01,9.01 02/21/12 CNL Healthcare Trust, Inc. MD 2.01,2.03,9.01 02/16/12 Cobalt International Energy, Inc. 2.02,8.01,9.01 02/21/12 COCA COLA CO DE 5.02,9.01 02/16/12 CODEXIS INC 5.02,7.01,9.01 02/17/12 CODORUS VALLEY BANCORP INC PA 5.02,9.01 02/14/12 COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 02/21/12 COMPUTER TASK GROUP INC NY 7.01,9.01 02/21/12 COMPUWARE CORP MI 8.01 02/17/12 CONAGRA FOODS INC /DE/ DE 7.01,9.01 02/21/12 Conmed Healthcare Management, Inc. DE 8.01,9.01 02/21/12 CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 02/17/12 AMEND Copano Energy, L.L.C. 5.02,9.01 02/14/12 CORNING INC /NY NY 7.01,8.01,9.01 02/15/12 CORNING NATURAL GAS CORP NY 8.01 02/17/12 CORPORATE PROPERTY ASSOCIATES 15 INC MD 1.01,8.01,9.01 02/17/12 COUSINS PROPERTIES INC GA 2.02,9.01 02/21/12 CRACKER BARREL OLD COUNTRY STORE, INC 2.02,7.01,9.01 02/21/12 CTS CORP IN 5.02 02/21/12 CYBEROPTICS CORP MN 5.02 02/17/12 CYBEROPTICS CORP MN 2.02,9.01 02/21/12 CYCLONE POWER TECHNOLOGIES INC FL 1.01,9.01 02/14/12 CytoCore Inc DE 5.02 02/14/12 CYTOKINETICS INC 8.01 02/21/12 CYTOMEDIX INC DE 8.01 02/17/12 CYTRX CORP DE 1.01,3.02 02/14/12 DAKTRONICS INC /SD/ SD 2.02,9.01 02/21/12 DANA HOLDING CORP DE 2.02,7.01,9.01 02/21/12 DANA HOLDING CORP DE 9.01 02/21/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 02/20/12 DealerTrack Holdings, Inc. DE 2.02,9.01 02/21/12 DELL INC DE 2.02,9.01 02/21/12 DELTA NATURAL GAS CO INC KY 8.01 02/17/12 DigiPath,Inc. NV 1.01,9.01 02/15/12 Digital Domain Media Group, Inc. FL 1.02,5.02,9.01 01/03/12 Digital Realty Trust, Inc. 5.03,9.01 02/14/12 DOCUMENT SECURITY SYSTEMS INC NY 1.01,5.02,8.01,9.01 02/20/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,3.03,8.01,9.01 02/17/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 02/21/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 1.01,1.02,2.03,9.01 02/16/12 Dorman Products, Inc. PA 2.02,9.01 02/21/12 DST SYSTEMS INC DE 2.02 02/21/12 ECB BANCORP INC NC 5.03,9.01 02/15/12 EDAC TECHNOLOGIES CORP WI 8.01,9.01 02/17/12 Electromed, Inc. 1.01,5.02,9.01 02/15/12 EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 02/21/12 Energy Future Holdings Corp /TX/ TX 2.02,9.01 02/21/12 ENERNOC INC DE 2.02,9.01 02/21/12 EnteroMedics Inc 5.02 02/15/12 ENVIRO VORAXIAL TECHNOLOGY INC ID 4.01,9.01 02/15/12 EQUITY ONE, INC. 5.02 02/20/12 EQUITY RESIDENTIAL MD 1.01,7.01,9.01 02/17/12 EURONET WORLDWIDE INC DE 2.02,9.01 02/20/12 EXELON CORP PA 8.01,9.01 02/17/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02 02/21/12 Extra Space Storage Inc. MD 2.02,5.02,9.01 02/21/12 EZCORP INC DE 5.07,7.01 02/17/12 Federal Home Loan Bank of Atlanta X1 2.03 02/21/12 Federal Home Loan Bank of Chicago X1 2.03 02/15/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/21/12 Federal Home Loan Bank of New York X1 2.03,9.01 02/15/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/15/12 Federal Home Loan Bank of San Francis X1 2.03 02/15/12 Federal Home Loan Bank of Seattle 2.03 02/16/12 FIELDPOINT PETROLEUM CORP CO 7.01,9.01 02/21/12 Financial Engines, Inc. DE 2.02,9.01 02/21/12 FIRST DATA CORP DE 7.01 02/21/12 FIRST MERCHANTS CORP IN 8.01,9.01 02/21/12 FIRSTENERGY CORP OH 5.02 02/21/12 Florida Bank Group, Inc. FL 2.02,9.01 02/21/12 FLUSHING FINANCIAL CORP DE 7.01,9.01 02/21/12 FOREST OIL CORP NY 2.02,9.01 02/21/12 FORWARD AIR CORP TN 1.01,2.03,9.01 02/14/12 FRANKLIN ELECTRIC CO INC IN 2.02,9.01 02/21/12 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 02/21/12 FreightCar America, Inc. DE 2.02,9.01 02/17/12 Frozen Food Gift Group, Inc DE 1.01,3.02 02/15/12 FS Investment CORP MD 1.01,2.03,9.01 02/21/12 Furiex Pharmaceuticals, Inc. DE 2.02,9.01 02/21/12 Geeknet, Inc DE 2.02,9.01 12/31/11 AMEND GENCO SHIPPING & TRADING LTD 2.02,9.01 02/21/12 GENERAL EMPLOYMENT ENTERPRISES INC IL 2.02,9.01 02/14/12 GENTEX CORP MI 5.03,9.01 02/16/12 GENTEX CORP MI 5.02 02/16/12 GENTIVA HEALTH SERVICES INC DE 1.01,9.01 02/15/12 GENUINE PARTS CO GA 2.02,8.01,9.01 02/20/12 GLOBAL NUTECH, INC. NV 5.02 02/07/12 Grand Canyon Education, Inc. DE 2.02,9.01 02/21/12 Great Lakes Dredge & Dock CORP DE 2.02,9.01 02/21/12 GREAT PLAINS ENERGY INC MO 5.02 02/21/12 Greektown Superholdings, Inc. DE 8.01 02/21/12 GreenHunter Energy, Inc. DE 2.01,3.02,5.03,8.01, 02/17/12 9.01 GREENLIGHT CAPITAL RE, LTD. 2.02,9.01 02/21/12 GRUBB & ELLIS CO DE 1.01,1.03,2.03,2.04, 02/17/12 9.01 GRYPHON GOLD CORP NV 7.01,9.01 02/21/12 GTX INC /DE/ DE 8.01,9.01 02/21/12 GTX INC /DE/ DE 2.02,9.01 02/21/12 GYRODYNE CO OF AMERICA INC NY 8.01,9.01 02/17/12 HACKETT GROUP, INC. FL 2.02,9.01 02/21/12 HARDINGE INC NY 2.02,9.01 02/16/12 HEALTHSTREAM INC TN 2.02,7.01,9.01 02/21/12 HECLA MINING CO/DE/ DE 2.02,8.01,9.01 02/21/12 HNI CORP IA 5.03,9.01 02/15/12 Hoku Corp DE 1.01 02/17/12 HOME DEPOT INC DE 2.02,9.01 02/21/12 HORNBECK OFFSHORE SERVICES INC /LA DE 5.02,9.01 02/14/12 IDENTIVE GROUP, INC. DE 5.02,8.01,9.01 02/16/12 IKONICS CORP 2.02,9.01 02/21/12 ImmunoCellular Therapeutics, Ltd. DE 1.01,9.01 02/14/12 Imperial Holdings, Inc. 8.01 02/17/12 IMPLANT SCIENCES CORP MA 2.02,7.01,9.01 02/21/12 Innophos Holdings, Inc. 8.01,9.01 02/21/12 INTEGRATED ELECTRICAL SERVICES INC DE 4.02,8.01,9.01 02/14/12 INTEGRATED SECURITY SYSTEMS INC DE 1.01,9.01 02/17/12 International Gold Corp. NV 1.01,9.01 02/21/12 INTUIT INC DE 2.02,8.01,9.01 02/21/12 IPC The Hospitalist Company, Inc. DE 2.02,9.01 02/21/12 IPG PHOTONICS CORP DE 5.02,8.01,9.01 02/13/12 IRIDEX CORP DE 5.02,9.01 02/14/12 IVOICE, INC /NJ NJ 5.01,5.02,9.01 01/05/12 JACK IN THE BOX INC /NEW/ DE 5.07 02/17/12 JAKKS PACIFIC INC DE 8.01,9.01 02/21/12 JAMBA, INC. DE 1.01,2.03 02/14/12 Jazz Pharmaceuticals plc DE 5.02 02/14/12 JOHNSON & JOHNSON NJ 5.02 02/14/12 JUNIPER NETWORKS INC DE 5.02,5.03 02/14/12 KID BRANDS, INC NJ 2.02,4.02,8.01 02/14/12 KNOLOGY INC DE 1.01,5.02,9.01 02/17/12 KORN FERRY INTERNATIONAL DE 5.02,9.01 02/21/12 KRAFT FOODS INC VA 2.02,9.01 02/21/12 KRAFT FOODS INC VA 7.01,9.01 02/21/12 LA-Z-BOY INC MI 2.02,9.01 02/21/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 02/21/12 LEE ENTERPRISES, INC DE 8.01,9.01 02/17/12 LEGACY RESERVES LP DE 2.02,9.01 02/21/12 LIGAND PHARMACEUTICALS INC DE 1.01,8.01,9.01 02/16/12 LPL Investment Holdings Inc. DE 8.01,9.01 02/21/12 MACROSOLVE INC OK 1.01,2.03,9.01 02/17/11 Macy's, Inc. DE 2.02,9.01 02/21/12 MAGNUM HUNTER RESOURCES CORP DE 1.01,2.03,7.01,9.01 02/14/12 MATTHEWS INTERNATIONAL CORP PA 5.07 02/16/12 MEDCO HEALTH SOLUTIONS INC DE 2.02,9.01 02/21/12 MEDIANET GROUP TECHNOLOGIES INC NV 5.02,9.01 02/15/12 MEDTRONIC INC MN 2.02,9.01 02/21/12 MESA LABORATORIES INC /CO CO 7.01,9.01 02/15/12 MetroCorp Bancshares, Inc. TX 5.02,9.01 02/15/12 MF Global Holdings Ltd. DE 7.01,9.01 02/16/12 MHI Hospitality CORP MD 2.02,9.01 02/21/12 MICROELECTRONICS TECHNOLOGY Co NV 9.01 02/07/12 AMEND MICROSEMI CORP DE 1.01,2.03,9.01 02/17/12 MICROSOFT CORP WA 5.02,9.01 02/17/12 Mobiform Software Inc DE 1.01 02/15/12 MOHEGAN TRIBAL GAMING AUTHORITY 1.01,9.01 02/14/12 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/21/12 MOLINA HEALTHCARE INC DE 7.01 02/17/12 MOMENTA PHARMACEUTICALS INC DE 5.02,9.01 02/14/12 MONRO MUFFLER BRAKE INC NY 8.01,9.01 02/21/12 Morningstar, Inc. IL 8.01,9.01 02/17/12 MORRIS PUBLISHING GROUP LLC GA 8.01 02/16/12 MYLAN INC. PA 2.02,9.01 02/21/12 MYLAN INC. PA 1.01,2.03,7.01 02/21/12 NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 02/21/12 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 02/17/12 NATIONAL PROPERTY INVESTORS 4 CA 5.07 02/21/12 NATIONAL WESTERN LIFE INSURANCE CO CO 5.05 02/16/12 NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 02/21/12 NAVISTAR INTERNATIONAL CORP DE 5.03,5.07,9.01 02/21/12 NBC ACQUISITION CORP DE 7.01,9.01 02/17/12 Neenah Paper Inc DE 2.02,9.01 02/20/12 Net Savings Link, Inc. NV 1.01,2.03 02/14/12 New Concept Energy, Inc. NV 5.07 11/08/11 NEWS CORP 8.01,9.01 02/20/12 NewStar Financial, Inc. 1.01,2.03,9.01 02/16/12 NGP Capital Resources Co MD 7.01,9.01 02/21/12 Noranda Aluminum Holding CORP DE 8.01,9.01 02/21/12 NORDSTROM INC WA 8.01,9.01 02/21/12 NORMAN CAY DEVELOPMENT, INC. NV 1.01,2.03,3.02,7.01, 02/14/12 9.01 NORTHEAST UTILITIES MA 5.02,8.01,9.01 02/14/12 NORTHSTAR ELECTRONICS INC DE 2.01,9.01 02/21/12 NORTHWESTERN CORP DE 5.02,9.01 02/21/12 NTS MORTGAGE INCOME FUND DE 1.01,9.01 02/20/12 NUMEREX CORP /PA/ PA 2.02,9.01 02/21/12 NV ENERGY, INC. NV 2.02,7.01,9.01 02/21/12 Oilsands Quest Inc 5.08 02/19/12 OLD SECOND BANCORP INC DE 7.01,9.01 02/17/12 OM GROUP INC DE 5.02 01/16/12 AMEND Omega Flex, Inc. PA 2.02 12/31/11 ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 02/21/12 ONEOK INC /NEW/ OK 2.02,7.01,9.01 02/21/12 ONEOK Partners LP DE 2.02,7.01,9.01 02/21/12 Onstream Media CORP FL 2.02,9.01 02/21/12 OphthaliX, Inc. NV 7.01,9.01 02/21/12 ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 02/21/12 OTELCO INC. DE 2.02,9.01 02/21/12 OWENS ILLINOIS INC /DE/ DE 2.02,9.01 02/21/12 PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 02/21/12 PARKWAY PROPERTIES INC MD 8.01,9.01 02/21/12 PATRIOT TRANSPORTATION HOLDING INC FL 1.01 02/15/12 PEABODY ENERGY CORP DE 1.04 02/21/12 PENN VIRGINIA RESOURCE PARTNERS L P DE 2.02,7.01,9.01 02/20/12 PEREGRINE PHARMACEUTICALS INC DE 5.02 02/17/12 Pernix Group, Inc. 8.01,9.01 01/13/12 PG&E CORP CA 5.02,5.03,9.01 02/14/12 PHAZAR CORP DE 8.01,9.01 02/20/12 PIONEER DRILLING CO TX 2.02,9.01 02/21/12 PMI GROUP INC DE 7.01,9.01 02/21/12 POTLATCH CORP DE 5.02 02/17/12 Powder River Coal Corp. FL 3.02 02/21/12 POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 02/17/12 PRESSURE BIOSCIENCES INC MA 3.01 02/17/12 PROCERA NETWORKS INC NV 2.02,9.01 02/21/12 PROGRESS ENERGY INC NC 1.01,9.01 02/15/12 PROVIDENCE SERVICE CORP DE 5.02 02/14/12 PROVIDENT NEW YORK BANCORP DE 5.02,5.07,9.01 02/17/11 RADIOSHACK CORP DE 2.02,9.01 12/31/11 RAYMOND JAMES FINANCIAL INC FL 1.01,8.01,9.01 02/16/12 Remark Media, Inc. DE 5.02 02/14/12 RENTECH INC /CO/ CO 5.02 02/14/12 REPLIGEN CORP DE 2.02,9.01 02/21/12 REPLIGEN CORP DE 8.01,9.01 02/21/12 RES CARE INC /KY/ KY 2.02,9.01 02/21/12 RESPONSE GENETICS INC 8.01,9.01 02/16/12 REX ENERGY CORP DE 2.02,7.01,9.01 02/21/12 Rockwood Holdings, Inc. DE 2.02,9.01 02/21/12 RPM INTERNATIONAL INC/DE/ DE 5.02,9.01 02/21/12 RR Donnelley & Sons Co DE 5.03,9.01 02/16/12 Ruths Hospitality Group, Inc. DE 1.01,2.03,9.01 02/14/12 S Y BANCORP INC KY 8.01,9.01 02/20/12 SafeStitch Medical, Inc. DE 1.01,3.02,7.01,9.01 02/17/12 SAIC, Inc. 5.02,9.01 02/21/12 SAJAN INC DE 2.02,9.01 02/21/12 SAKS INC TN 2.02,9.01 02/21/12 SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 02/17/12 Sanchez Energy Corp DE 7.01,9.01 02/21/12 SEACOAST BANKING CORP OF FLORIDA FL 5.02,9.01 02/21/12 SEALED AIR CORP/DE DE 7.01,9.01 02/21/12 SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 02/21/12 SHC Advance Services Inc. DE 9.01 01/26/12 AMEND SHUTTERFLY INC DE 5.02,9.01 02/14/12 SILGAN HOLDINGS INC DE 8.01,9.01 02/16/12 Silver Dragon Resources Inc. DE 7.01,9.01 02/21/12 SimplePons, Inc. DE 1.01,5.02 02/15/12 SITEL Worldwide Corp DE 8.01,9.01 02/21/12 Skinny Nutritional Corp. NV 1.01,8.01,9.01 02/14/12 SKINVISIBLE INC NV 1.01,2.03,3.02,5.02, 12/31/11 9.01 SMUCKER J M CO OH 8.01 02/21/12 SOLAZYME INC DE 2.02,9.01 02/21/12 SONUS NETWORKS INC DE 2.02,9.01 02/21/12 SOURCEFIRE INC DE 2.02,9.01 02/21/12 SOUTHERN MICHIGAN BANCORP INC MI 2.02,9.01 02/20/12 SOVRAN SELF STORAGE INC MD 5.02,9.01 02/20/12 Spine Pain Management, Inc DE 5.02,8.01,9.01 02/20/12 SPX CORP DE 1.01,9.01 02/16/12 SS&C Technologies Holdings Inc DE 2.02,9.01 02/21/12 Standard Financial Corp. MD 7.01,9.01 02/21/12 Star Gold Corp. NV 3.02 02/15/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 5.02 02/16/12 State Auto Financial CORP OH 2.02,7.01,9.01 02/16/12 STEVEN MADDEN, LTD. DE 2.02,9.01 02/21/12 STILLWATER MINING CO /DE/ DE 2.02,9.01 02/21/12 STREAMLINE HEALTH SOLUTIONS INC. DE 9.01 12/07/11 AMEND Strike Axe, Inc DE 1.01,3.02,9.01 02/14/12 SUN COMMUNITIES INC MD 2.01,9.01 02/16/12 SUNGARD CAPITAL CORP DE 7.01 02/21/12 SUNOCO INC PA 2.02,9.01 02/15/12 Sunstone Hotel Investors, Inc. MD 2.02,9.01 02/21/12 SUPERCONDUCTOR TECHNOLOGIES INC DE 1.01,8.01,9.01 02/16/12 SUPERIOR UNIFORM GROUP INC FL 1.01 02/15/12 SUSQUEHANNA BANCSHARES INC PA 2.01,5.02,7.01,9.01 02/17/12 SUSSEX BANCORP NJ 8.01,9.01 02/16/12 SWIFT TRANSPORTATION Co 8.01,9.01 02/21/12 SYNERGY PHARMACEUTICALS, INC. FL 8.01 02/16/12 SYNOPSYS INC DE 8.01 02/17/12 TANGOE INC DE 7.01 02/21/12 TARA GOLD RESOURCES CORP. NV 5.02 02/17/12 TARGACEPT INC 2.02,9.01 02/21/12 TEAMSTAFF INC NJ 5.07 02/16/12 TENGION INC DE 5.02 02/16/12 TENNANT CO MN 2.02,9.01 02/21/12 TEREX CORP DE 2.02,9.01 02/16/12 Terra Tech Corp. NV 1.01,2.01,3.02,3.03, 02/09/12 AMEND 5.01,5.03,5.06,9.01 Texas Roadhouse, Inc. DE 2.02,8.01,9.01 02/21/12 THERMOGENESIS CORP DE 5.02 02/15/12 THOMAS GROUP INC DE 5.02,8.01 02/15/12 THRESHOLD PHARMACEUTICALS INC DE 5.02,9.01 02/16/12 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 02/21/12 TILDEN ASSOCIATES INC DE 1.01,2.01,2.03,3.02, 02/15/12 5.01,5.02,9.01 TITAN INTERNATIONAL INC IL 4.01 02/16/12 AMEND TMS International Corp. DE 7.01,9.01 02/21/12 TORCHLIGHT ENERGY RESOURCES INC NV 8.01 02/16/12 TOWER BANCORP INC PA 2.01,3.01,3.03,5.01, 02/17/12 5.02,9.01 TRACTOR SUPPLY CO /DE/ DE 5.02,9.01 02/21/12 TransDigm Group INC DE 1.01,2.03,9.01 02/15/12 Tropicana Entertainment Inc. DE 7.01,9.01 02/21/12 TRUSTCO BANK CORP N Y NY 8.01,9.01 02/21/12 Two Harbors Investment Corp. 2.02 02/21/12 UNIT CORP DE 2.02,9.01 02/21/12 UNITED FIRE GROUP INC IA 2.02,9.01 02/21/12 UNITED RENTALS INC /DE DE 7.01,8.01,9.01 02/21/12 URS CORP /NEW/ DE 1.01,2.02,7.01,9.01 02/20/12 VALMONT INDUSTRIES INC DE 5.02,9.01 02/21/12 VALSPAR CORP DE 5.02,5.07 02/16/12 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 02/16/12 VECTREN CORP IN 7.01 02/21/12 Verso Paper Corp. DE 8.01 02/17/12 VirtualScopics, Inc. DE 2.02,9.01 02/21/12 Vitacost.com, Inc. DE 1.01,3.02,9.01 02/16/12 W P CAREY & CO LLC DE 1.01,1.02,2.03,8.01, 02/17/12 9.01 WABCO Holdings Inc. DE 5.02 02/14/12 WACCAMAW BANKSHARES INC NC 8.01 02/07/12 WAL MART STORES INC DE 2.02,9.01 02/21/12 Walter Energy, Inc. DE 2.02,9.01 02/21/12 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 02/20/12 WAUSAU PAPER CORP. WI 5.02,9.01 02/15/12 Weatherford International Ltd./Switze V8 2.02,4.02,7.01,9.01 02/21/11 WESTERN CAPITAL RESOURCES, INC. MN 1.01,5.02 02/15/12 WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,7.01,9.01 02/21/12 WESTLAKE CHEMICAL CORP 2.02,9.01 02/21/12 WILEY JOHN & SONS, INC. NY 8.01 02/21/12 WIRED ASSOCIATES SOLUTIONS INC NV 1.01,9.01 02/17/12 WYNN RESORTS LTD 1.01,2.03,8.01,9.01 02/18/12 XPO Logistics, Inc. DE 2.02,9.01 02/21/12 Xun Energy, Inc. NV 1.01,9.01 02/20/12 ZAP COM CORP NV 5.02,9.01 02/15/12 ZIX CORP TX 2.02,9.01 02/21/12
http://www.sec.gov/news/digest/2012/dig022212.htm
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