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Commission announcementsSEC Names John Cross Director of Municipal Securities OfficeThe Securities and Exchange Commission today announced that municipal securities expert John J. Cross III has been named the director of the agency’s new Office of Municipal Securities. The office was previously part of the Division of Trading and Markets until the Dodd-Frank Wall Street Reform and Consumer Protection Act called for the creation of a stand-alone office that reports directly to the Chairman and administers Commission rules regarding advisors, issuers, broker-dealer practices, and investors in the municipal securities market. The office also will coordinate with the Municipal Securities Rulemaking Board. Mr. Cross has a broad range of experience with municipal finance transactions in nearly every state, including experience with some of largest and most complex municipal financings ever undertaken. Mr. Cross has been a leader in the public policy area affecting municipal finance. For the past several years, Mr. Cross has been serving as the Associate Tax Legislative Counsel in the Office of Tax Policy at the U.S. Treasury Department, where he has had significant responsibility for legislative, regulatory and budgetary tax matters affecting municipal bonds. Mr. Cross led the agency’s implementation of the municipal bond provisions of the 2009 Recovery Act, which included public guidance on Build America Bonds and other targeted municipal bond programs. He also played a significant role in the Treasury Department’s efforts to address municipal bond market challenges in the 2008 financial crisis. “John’s experience makes him perfectly suited to head this office,” said SEC Chairman Mary Schapiro. “He has a full appreciation for the importance of municipal securities and the expectations of investors in those markets.” Mr. Cross said, “I am excited to be able to join an agency that has produced so much innovative change in recent years and has taken such initiative in the municipal securities area, as demonstrated in the Commission’s recent report on the municipal securities market. From my government experience, I know that the experts at the SEC are among the best in the municipal securities arena. I look forward to the privilege of working with Chairman Schapiro, the Commission, and the staff to advance the initiatives in the municipal report and generally to promote sound disclosure, sensible practices, and enhanced price transparency to foster a vibrant, sustainable future for the over $3.7 trillion municipal securities market that is so critical to financing our nation’s public infrastructure.” Prior to working at the Treasury Department, Mr. Cross was a partner at national municipal bond specialty law firm Hawkins Delafield & Wood LLP from 1994 to 2006. He previously served as a counsel at the Internal Revenue Service in the Financial Institutions and Products division, where his work involved derivative financial products that were used with municipal bonds. Mr. Cross has been active in several professional organizations, including the National Association of Bond Lawyers (NABL), where he’s a former board member. He’s also a member of the editorial board for Municipal Finance Journal. Mr. Cross received his B.A. from Brown University in 1978, a J.D. from Vanderbilt University School of Law in 1981, where he was a member of the Vanderbilt Law Review, and a Masters of Laws in Taxation from Georgetown University Law Center in 1988. He is married to Meredith Cross, who is Director of the SEC’s Division of Corporation Finance. Mr. Cross is expected to begin in his new role in September. (Press Rel. 2012-149) Deputy Director of Division of Investment Management, Robert E. Plaze, Retiring After Almost 30 Years at SECThe Securities and Exchange Commission today announced that Robert E. Plaze, the Deputy Director of the Division of Investment Management, is retiring from public service at the end of August after almost 30 years at the SEC. Mr. Plaze has been a key architect of the rules governing investment advisers, investment companies, and private fund advisers. He joined the SEC in 1983 as an attorney in the Division of Investment Management, which oversees the multi-trillion dollar investment management industry, and went on to become a Special Counsel, Assistant Director, Associate Director for Regulatory Policy, and Deputy Director. “Few people have had as great an impact shaping the regulatory landscape for the benefit of individual investors,” said SEC Chairman Mary L. Schapiro. “Bob’s keen intellect and passion for investor protection have been central to virtually every significant rule affecting mutual funds and investment advisers for more than a generation." “Bob has been instrumental in the creation of the regulatory regime for investment advisers and investment companies,” said Norm Champ, Director of the Division of Investment Management. “He has worked in numerous capacities in the division and has had a long and distinguished career working on behalf of investors.” Mr. Plaze was most recently responsible for rulemaking for money market mutual funds and to implement a Dodd-Frank Act requirement for hedge fund and other private fund advisers to register with the SEC. He also played a critical role in rulemaking to improve mutual fund governance practices, to include fee tables in mutual fund prospectuses, to standardize the method of calculating mutual fund performance used in advertisements, to require mutual funds and investment advisers to adopt compliance programs, to require investment advisers to deliver a plain-English brochure to clients, and to protect pension funds and other investors from “pay to play” practices. Mr. Plaze said, “It’s been an honor and privilege to work at the Commission. When I began, I expected to stay a few years, but I found that the issues were so engaging and the work so important that I remained here for nearly three decades.” Among his many accomplishments, Mr. Plaze is a past recipient of the SEC's Distinguished Service Award, and twice received the agency's Law and Policy Award. He is a graduate of Georgetown University and Georgetown University Law Center. (Press Rel. 2012-150) Commission MeetingsClosed Meeting on Wednesday, August 1, 2012 at 2:30 p.m.The subject matter of the Closed Meeting on August 1, 2012 was a matter related to a financial institution. Closed Meeting on Thursday, August 9, 2012 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, August 9, 2012 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; 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 PROCEEDINGSSEC Charges Bristol-Myers Squibb Executive With Insider Trading in Stock Options of Potential Acquisition TargetsThe Securities and Exchange Commission today charged an executive at Bristol-Myers Squibb with insider trading on confidential information about companies being targeted for potential acquisitions. His illegal trading took place as recently as just weeks ago. The SEC alleges that Robert D. Ramnarine, who lives in East Brunswick, N.J., made more than $300,000 in illegal profits by misusing nonpublic information he obtained while helping Bristol-Myers Squibb evaluate whether to acquire three other pharmaceutical companies. He used multiple personal brokerage accounts to illegally trade in stock options of these potential target companies. Prior to some trading, Ramnarine conducted Internet research from his Bristol computer to determine whether he could be detected by regulators. He searched for such phrases as “can stock option be traced to purchaser” and “illegal insider trading options trace” and viewed such articles as “Ways to Avoid Insider Trading.” Ramnarine even viewed a press release on the SEC’s website announcing an enforcement action arising from illegal trading in call options in advance of an acquisition announcement. “Ramnarine tried to educate himself about how the SEC investigates insider trading so he could avoid detection, but apparently he ignored countless successful SEC enforcement actions against similarly ill-motivated individuals who paid a heavy price for their illegal trading,” said Daniel M. Hawke, Chief of the SEC Enforcement Division’s Market Abuse Unit. “Executives at pharmaceutical companies or in any industry should know better than to abuse confidential, market-moving information, and our charges against Ramnarine should serve notice that when you violate insider trading laws, no matter how you scheme, you will be caught.” The SEC is seeking a court order to freeze Ramnarine’s brokerage account assets. In a parallel criminal action, the U.S. Attorney’s Office for the District of New Jersey announced the arrest of Ramnarine today. According to the SEC’s complaint filed in federal court in New Jersey, Ramnarine is an executive in the treasury department at Bristol-Myers Squibb. He conducted his insider trading schemes from August 2010 to July 2012, illegally trading in stock options of Pharmasset Inc., Amylin Pharmaceuticals Inc., and ZymoGenetics Inc. in advance of announcements that those companies would be acquired. The SEC alleges that just as Bristol was finalizing its agreement with ZymoGenetics in late August 2010, Ramnarine started to buy out-of-the-money call options. A call option is a security that derives its value from the underlying common stock of the issuer and gives the purchaser the right to buy the underlying stock at a specific price within a specified period of time. Typically, investors will purchase call options when they believe the stock of the underlying securities is going up. Ramnarine made $30,551 in illegal profits by trading ZymoGenetics call options in advance of a Sept. 7, 2010 public announcement that Bristol-Myers Squibb was acquiring ZymoGenetics. The SEC further alleges that in advance of a Nov. 21, 2011 announcement that Pharmasset would be acquired by Gilead Sciences Inc., Ramnarine bought Pharmasset call options based on material, nonpublic information that he obtained from participating in Bristol-Myers Squibb’s evaluation of a possible acquisition of Pharmasset. This was part of an auction process conducted by Pharmasset and its investment bankers during the weeks before the Gilead-Pharmasset announcement. Ramnarine made $225,026 in illegal profits when he sold the calls immediately after the public announcement of Pharmasset’s sale. According to the SEC’s complaint, Ramnarine very recently sold or “wrote” put options and purchased call options in advance of a June 29, 2012 announcement by Bristol-Myers Squibb that it would acquire Amylin. A put option is a security that derives its value from the underlying common stock. When investors sell or “write” puts, they obligate themselves to sell the underlying security at a certain price before the expiration date. Investors usually write puts when they believe the price of the underlying stock price is moving up. Ramnarine’s trades were based on material nonpublic information that he obtained by working on financing and capital structure matters as part of Bristol’s due diligence process leading up to the acquisition announcement. Ramnarine made $55,784 in illegal profits by trading Amylin put and call options in advance of the public announcement. The SEC alleges that Ramnarine violated Section 17(a) of the Securities Act of 1933 and Sections 10(b) and (14)(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The SEC is seeking disgorgement of ill-gotten gains with prejudgment interest, a financial penalty, an officer-and-director bar, a permanent injunction, and an order freezing the assets in Ramnarine’s brokerage accounts. The SEC’s investigation, which is continuing, has been conducted by Market Abuse Unit staff Mary P. Hansen, Paul T. Chryssikos, and John S. Rymas in the Philadelphia Regional Office. Supervising the investigation are Daniel M. Hawke, Deputy Unit Chief Sanjay Wadhwa, and Elaine C. Greenberg, Associate Regional Director in the Philadelphia office. G. Jeffrey Boujoukos and John V. Donnelly are handling the litigation. The SEC has coordinated its action with the U.S. Attorney’s Office for the District of New Jersey, and also appreciates the assistance of the Options Regulatory Surveillance Authority and Federal Bureau of Investigation. (Press Rel. 2012-148) In the Matter of Robert T. McAllister, Esq.On August 2, 2012, the Commission issued an Order of Forthwith Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice (Order) against Robert T. McAllister. The Order finds that McAllister converted more than $100,000 in client funds for personal use and to cover his firm’s operating expenses. In June 2011, McAllister signed a stipulation stating that his misconduct was knowing, dishonest, and violated the Colorado Rules of Professional Conduct. The Supreme Court of Colorado subsequently entered an order disbarring McAllister, based on the stipulation that he had signed. Based on the above, the Order forthwith suspended Robert T. McAllister from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. (Rel. 34-67586; File No. 3-14970) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight 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 Administrative Law 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 Administrative Law 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. 34-67587; File No. 3-14971) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangesThe Commission approved a proposed rule change filed pursuant to Rule 19b-4 by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-048) relating to the distribution of auction messages. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67547) The Commission approved a proposed rule change (SR-NYSEArca-2012-55) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the STAR™ Global Buy-Write ETF under NYSE Arca Equities Rule 8.600. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67552) The Commission approved proposed rule changes (SR-NYSE-2012-17; SR-NYSEArca-2012-59; SR-NYSEMKT-2012-07) submitted by New York Stock Exchange LLC; NYSE Arca, Inc.; and NYSE MKT LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder amending Independence Policy of the Board of Directors of NYSE Euronext and creating a new Independence Policy for Boards of Directors of the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Regulation, Inc. and NYSE Market, Inc. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67564) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-CBOE-2012-049) filed by the Chicago Board Options Exchange, Incorporated to adopt four new order types on the CBOE Stock Exchange has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67548) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-34) relating to optional attribution of orders on the EDGA Book Feed has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67553) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-32) relating to optional attribution of orders on the EDGX Book Feed has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67554) A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2012-32) amending NYSE Rule 128, which governs clearly erroneous executions, to extend the effective date of the pilot by which portions of such rule operate until February 4, 2013 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67555) A proposed rule change filed by the New York Stock Exchange LLC (SR-NYSE-2012-31) amending NYSE Rule 80C, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the effective date of the pilot until February 4, 2013 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67556) A proposed rule change filed by NASDAQ OMX BX, Inc. to delay the implementation date of non-display of Primary Pegged Orders with an offset amount (SR-BX-2012-053) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67562) A proposed rule change filed by NASDAQ OMX PHLX LLC to delay the implementation of non-display of Primary Pegged Orders with an offset amount (SR-Phlx-2012-97) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of July 30. (Rel. 34-67563) 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-1 Webfolio Inc., 1129 8 ST. S.E., CALGARY, A0, T2G 2Z6, 403-863-6225 - 5,000,000 ($50,000.00) Equity, (File 333-182970 - Aug. 1) (BR. 03) S-3 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 0 ($500,000,000.00) Equity, (File 333-182971 - Aug. 1) (BR. 08B) S-3 American Realty Capital Properties, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 1,882,248 ($20,027,119.00) Equity, (File 333-182972 - Aug. 1) (BR. 08B) S-8 Hudson Global, Inc., 560 LEXINGTON AVENUE, 5TH FLOOR, NEW YORK, NY, 10022, 2123517300 - 4,051,011 ($16,872,461.00) Equity, (File 333-182973 - Aug. 1) (BR. 11A) F-3 HYDROGENICS CORP, 5985 MCLAUGHLIN ROAD, -, MISSISSAUGA L5R 1B8, A6, 00000, 9053613638 - 25,000,000 ($25,000,000.00) Equity, (File 333-182974 - Aug. 1) (BR. 06B) S-3 HORIZON PHARMA, INC., 520 LAKE COOK ROAD, SUITE 520, DEERFIELD, IL, 60062, 224-383-3000 - 0 ($175,000,000.00) Unallocated (Universal) Shelf, (File 333-182975 - Aug. 1) (BR. 01B) S-1 ROCKFORD OIL CORP, 1172 MANITO DR NW, PO BOX 363, FOX ISLAND, WA, 98333, 253-973-7135 - 4,410,000 ($441,000.00) Equity, (File 333-182977 - Aug. 1) (BR. 04) S-8 Viggle Inc., 150 FIFTH AVENUE, SUITE 900, NEW YORK, NY, 10001, 212-231-0092 - 15,000,000 ($66,000,000.00) Equity, (File 333-182978 - Aug. 1) (BR. 03C) S-8 DYNAMIC MATERIALS CORP, 3036655700 - 0 ($2,409,000.00) Equity, (File 333-182979 - Aug. 1) (BR. 06B) S-3 NISSAN WHOLESALE RECEIVABLES CORP II, ONE NISSAN WAY, ROOM 5-124, FRANKLIN, TN, 37067, 6157251122 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-182980 - Aug. 1) (BR. OSF) S-8 INSIGNIA SYSTEMS INC/MN, 8799 BROOKLYN BLVD., MINNEAPOLIS, MN, 55445, 7633926200 - 700,000 ($1,190,000.00) Equity, (File 333-182981 - Aug. 1) (BR. 11C) S-8 LOEWS CORP, 667 MADISON AVE, NEW YORK, NY, 10065-8087, 212-521-2000 - 6,000,000 ($237,720,000.00) Equity, (File 333-182982 - Aug. 1) (BR. 01A) S-3ASR AGL RESOURCES INC, TEN PEACHTREE PLACE, ATLANTA, GA, 30309, 4045844000 - 234,501 ($9,513,705.57) Equity, (File 333-182983 - Aug. 1) (BR. 02A) S-1 Frozen Food Gift Group, Inc, 8067 QUARTERFIELD RD., SEVERN, MD, 21144, 866-492-7826 - 50,000,000 ($500,000.00) Equity, (File 333-182986 - Aug. 1) (BR. 02) S-3ASR SONOCO PRODUCTS CO, ONE NORTH SECOND ST, P O BOX 160, HARTSVILLE, SC, 29551-0160, 8433837000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-182988 - Aug. 1) (BR. 04B) S-8 ONEOK INC /NEW/, 100 WEST 5TH ST, TULSA, OK, 74103, 9185887000 - 2,000,000 ($86,780,000.00) Equity, (File 333-182991 - Aug. 1) (BR. 02C) S-8 MEDGENICS, INC., TERADION BUSINESS PK., P.O. BOX 14, MISGAV, L3, 20179, 1-646-239-1690 - 3,055,802 ($25,556,532.66) Equity, (File 333-182992 - Aug. 1) (BR. 01B) S-8 CHICOS FAS INC, 11215 METRO PKWY, FT MYERS, FL, 33966-1206, 2392776200 - 0 ($155,610,000.00) Equity, (File 333-182993 - Aug. 1) (BR. 09B) S-3 BNC BANCORP, 1226 EASTCHESTER DRIVE, HIGH POINT, NC, 27265, 3364769200 - 574,597 ($35,948,998.00) Equity, (File 333-182994 - Aug. 1) (BR. 07C) S-3D MONMOUTH REAL ESTATE INVESTMENT CORP, 3499 ROUTE 9 N, SUITE 3-C, JUNIPER BUSINESS PLAZA, FREEHOLD, NJ, 07728, 7325779996 - 3,000,000 ($33,420,000.00) Equity, (File 333-182995 - Aug. 1) (BR. 08B) S-3ASR HALCON RESOURCES CORP, 1000 LOUISIANA STREET, SUITE 6700, HOUSTON, TX, 77002, 832-538-0300 - 1,184,966 ($8,128,866.76) Equity, (File 333-182996 - Aug. 1) (BR. 04A) F-3 BioLineRx Ltd., P.O. BOX 45158, 19 HARTUM STREET, JERUSALEM, L3, 91450, 972-2-548-9100 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-182997 - Aug. 1) (BR. 01B) S-8 Forbes Energy Services Ltd., 3000 SOUTH BUSINESS HIGHWAY 281, ALICE, TX, 78332, 361-664-0549 - 4,000,000 ($17,920,000.00) Equity, (File 333-182998 - Aug. 1) (BR. 04B) S-8 STANCORP FINANCIAL GROUP INC, 1100 S W SIXTH AVENUE, PORTLAND, OR, 97204, 5033217000 - 0 ($44,580,000.00) Equity, (File 333-182999 - Aug. 1) (BR. 01B) S-4 Station Casinos LLC, 10801 WEST CHARLESTON BLVD., SUITE 600, LAS VEGAS, NV, 89135, 702-495-3000 - 0 ($625,000,000.00) Debt, (File 333-183000 - Aug. 1) (BR. 08C) S-1 Station Casinos LLC, 10801 WEST CHARLESTON BLVD., SUITE 600, LAS VEGAS, NV, 89135, 702-495-3000 - 0 ($1.00) Debt, (File 333-183001 - Aug. 1) (BR. 08C) S-8 Symmetry Medical Inc., 3724 N STATE ROAD 15, WARSAW, IN, 46582, 574-268-2252 - 1,710,000 ($13,389,300.00) Equity, (File 333-183003 - Aug. 1) (BR. 10B) N-2 Cushing MLP Infrastructure Fund, 8117 PRESTON ROAD, SUITE 440, DALLAS, TX, 75225, 214-635-1660 - 0 ($0.00) Equity, (File 811-22727 - Aug. 1) (BR. ) 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 A. H. Belo CORP DE 2.02,9.01 08/01/12 ACACIA RESEARCH CORP DE 8.01 07/30/12 Adama Technologies Corp DE 1.01,9.01 08/01/12 AFFINITY MEDIAWORKS CORP 3.02,5.01,5.02 08/01/12 AGL RESOURCES INC GA 8.01,9.01 08/01/12 AGL RESOURCES INC GA 2.02,7.01,9.01 08/01/12 ALANCO TECHNOLOGIES INC AZ 1.01 08/01/12 ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 7.01,8.01 07/02/12 ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 08/01/12 Alexander & Baldwin, Inc. HI 2.02,9.01 08/01/12 Alexander & Baldwin, Inc. HI 2.02,9.01 08/01/12 Alexza Pharmaceuticals Inc. DE 8.01,9.01 07/26/12 ALICO INC FL 8.01,9.01 07/27/12 ALL GRADE MINING, INC. CO 1.01 07/31/12 ALL GRADE MINING, INC. CO 8.01 07/31/12 Allegiant Travel CO NV 2.02,9.01 08/01/12 ALLERGAN INC DE 2.02,9.01 08/01/12 ALLETE INC MN 8.01 08/01/12 ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 08/01/12 Ally Financial Inc. DE 2.02,9.01 08/01/12 AMERICAN AIRLINES INC DE 7.01,9.01 07/31/12 AMEND American Assets Trust, Inc. MD 2.02,7.01,9.01 08/01/12 AMERICAN NATIONAL BANKSHARES INC VA 7.01,9.01 08/01/12 AMERICAN PACIFIC CORP DE 2.01,9.01 08/01/12 American Realty Capital Daily Net Ass MD 8.01,9.01 08/01/12 American Realty Capital Properties, I MD 2.02,9.01 07/31/12 American Realty Capital Properties, I MD 5.05,8.01,9.01 07/30/12 American Realty Capital Trust, Inc. DE 2.02,7.01,9.01 07/30/12 American Realty Capital Trust, Inc. DE 5.03,5.05,5.07,9.01 07/30/12 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 08/01/12 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 08/01/12 AMERIGROUP CORP 2.02,9.01 08/01/12 AMERISOURCEBERGEN CORP DE 8.01,9.01 07/31/12 AMERISTAR CASINOS INC NV 2.02,9.01 08/01/12 AMR CORP DE 7.01,9.01 07/31/12 AMEND ANDREA ELECTRONICS CORP NY 5.02,9.01 07/26/12 ANNALY CAPITAL MANAGEMENT INC MD 2.02,9.01 08/01/12 Annie's, Inc. DE 8.01,9.01 08/01/12 Antero Resources LLC DE 2.02,9.01 08/01/12 API Technologies Corp. DE 5.02 07/26/12 Apollo Commercial Real Estate Finance MD 5.03,9.01 07/30/12 APOLLO GROUP INC AZ 8.01,9.01 08/01/12 APPLIED INDUSTRIAL TECHNOLOGIES INC OH 8.01,9.01 08/01/12 Armour Residential REIT, Inc. MD 2.02,8.01,9.01 08/01/12 ARRAY BIOPHARMA INC DE 8.01,9.01 07/31/12 ARTHROCARE CORP DE 2.02,9.01 08/01/12 ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 08/01/12 Aspect Software Group Holdings Ltd. DE 5.02,9.01 07/31/12 Athens Bancshares Corp 2.02,9.01 07/31/12 ATMOS ENERGY CORP TX 7.01,9.01 08/01/12 ATWOOD OCEANICS INC TX 7.01,9.01 07/30/12 ATWOOD OCEANICS INC TX 2.02,9.01 08/01/12 AuraSound, Inc. NV 5.02,7.01 06/12/12 AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 08/01/12 AVIS BUDGET GROUP, INC. DE 2.02,9.01 08/01/12 AVON PRODUCTS INC NY 2.02,9.01 08/01/12 AXIS CAPITAL HOLDINGS LTD 2.02,9.01 07/31/12 AXT INC DE 2.02,9.01 08/01/12 BALCHEM CORP MD 2.02,9.01 08/01/12 Baltic Trading Ltd 1T 2.02,9.01 08/01/12 BankFinancial CORP 7.01,8.01,9.01 08/01/12 BB&T CORP NC 8.01,9.01 07/31/12 BELDEN INC. DE 2.01,2.03,9.01 07/26/12 Bering Exploration, Inc. NV 5.02,9.01 07/30/12 BIMINI CAPITAL MANAGEMENT, INC. MD 1.01,9.01 07/26/12 BIOCUREX INC A1 5.07 07/31/12 BIOHEART, INC. FL 8.01 08/01/12 BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 08/01/12 BIOSANTE PHARMACEUTICALS INC DE 2.02,9.01 08/01/12 BIOTIME INC CA 8.01,9.01 08/01/12 Blue Earth, Inc. NV 1.01,2.01,9.01 07/26/12 BNC BANCORP NC 7.01,9.01 08/01/12 BOK FINANCIAL CORP ET AL OK 2.02,9.01 08/01/12 Booz Allen Hamilton Holding Corp DE 1.01,1.02,2.02,2.03, 07/31/12 9.01 BOSTON BEER CO INC MA 2.02,9.01 08/01/12 BPZ RESOURCES, INC. TX 1.01,2.03 07/30/12 BRE PROPERTIES INC /MD/ MD 2.02,8.01,9.01 07/31/12 Bridgeway Acquisition Corp. DE 4.01 07/26/12 Bridgeway Acquisition Corp. DE 1.01,2.01,3.02,5.01, 06/15/12 AMEND 5.02,5.03,5.06,9.01 Burger King Worldwide, Inc. DE 2.02,9.01 08/01/12 CALIFORNIA FIRST NATIONAL BANCORP CA 2.02,7.01,9.01 08/01/12 CALLON PETROLEUM CO DE 7.01,9.01 08/01/12 Calumet Specialty Products Partners, DE 2.02,9.01 08/01/12 CAMBREX CORP DE 2.02,9.01 08/01/12 Campus Crest Communities, Inc. MD 2.02,9.01 07/31/12 Carbonite Inc DE 2.02,9.01 08/01/12 CARDINAL FINANCIAL CORP VA 7.01,9.01 08/01/12 CARMIKE CINEMAS INC DE 2.02,9.01 08/01/12 CAROLINA BANK HOLDINGS INC NC 2.02,9.01 08/01/12 CARPENTER TECHNOLOGY CORP DE 2.02,9.01 07/31/12 CARPENTER TECHNOLOGY CORP DE 8.01 06/29/12 Catamaran Corp B0 2.02 07/31/12 CAVIUM, INC. DE 2.02,9.01 08/01/12 CBEYOND, INC. 2.02,9.01 08/01/12 CC Media Holdings Inc 2.02,9.01 08/01/12 CDI CORP PA 5.02 03/01/12 AMEND CDW Corp DE 2.02,9.01 08/01/12 CECIL BANCORP INC MD 5.07 08/01/12 CELL THERAPEUTICS INC WA 2.02,9.01 08/01/12 CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01, 07/31/12 9.01 CENTERPOINT ENERGY INC 5.02 07/26/12 CenterState Banks, Inc. FL 5.02 07/30/12 CENTRAL EUROPEAN MEDIA ENTERPRISES LT 2.02,9.01 08/01/12 CENTRAL GARDEN & PET CO DE 2.02,9.01 08/01/12 Chemtura CORP DE 2.02,8.01,9.01 08/01/12 CHICAGO BRIDGE & IRON CO N V 7.01,9.01 08/01/12 CHICAGO BRIDGE & IRON CO N V 1.01,9.01 07/30/12 Chrysler Group LLC DE 8.01,9.01 08/01/12 CIFC Corp. DE 1.01,3.02,9.01 07/30/12 CIRRUS LOGIC INC DE 8.01,9.01 07/26/12 CITIGROUP INC DE 8.01 08/01/12 CITY HOLDING CO WV 7.01,9.01 07/31/12 CITY HOLDING CO WV 2.02,9.01 07/27/12 CLEAR CHANNEL COMMUNICATIONS INC TX 2.02,9.01 08/01/12 Clear Channel Outdoor Holdings, Inc. DE 2.02,9.01 08/01/12 CMG HOLDINGS GROUP, INC. NV 8.01 07/31/12 CMS ENERGY CORP MI 5.02,9.01 08/01/12 CNO Financial Group, Inc. DE 5.02,5.03,7.01,9.01 08/01/12 COHU INC DE 1.01,9.01 04/30/12 AMEND COINSTAR INC DE 8.01 07/31/12 Colorado Ceramic Tile, Inc. CO 2.01 07/31/12 COLUMBUS MCKINNON CORP NY 8.01,9.01 08/01/12 COMCAST CORP PA 2.02,9.01 08/01/12 COMFORT SYSTEMS USA INC 2.02,8.01,9.01 08/01/12 CONCUR TECHNOLOGIES INC DE 2.02,9.01 08/01/12 CONTINENTAL RESOURCES INC OK 1.01,9.01 06/26/12 COUSINS PROPERTIES INC GA 2.02,9.01 07/31/12 CPM Holdings, Inc. 8.01 07/31/12 CROSSTEX ENERGY INC DE 9.01 07/02/12 AMEND CROSSTEX ENERGY LP DE 9.01 07/02/12 AMEND CRYOLIFE INC FL 9.01 05/16/12 AMEND CUBIC CORP /DE/ DE 4.02 07/31/12 Customers Bancorp, Inc. PA 8.01,9.01 08/01/12 CVR PARTNERS, LP DE 2.02,9.01 08/01/12 CYBEROPTICS CORP MN 2.02,9.01 08/01/12 DAEGIS INC. DE 3.01 07/27/12 DAVITA INC DE 2.02,9.01 08/01/12 DAWSON GEOPHYSICAL CO TX 2.02,9.01 08/01/12 DDR CORP OH 2.02,9.01 07/31/12 DDR CORP OH 3.03,5.03,8.01,9.01 07/18/12 DDR CORP OH 8.01 08/01/12 DEVON ENERGY CORP/DE DE 2.02,9.01 08/01/12 DEVON ENERGY CORP/DE DE 8.01 08/01/12 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 07/31/12 DigitalTown, Inc. MN 5.02 07/25/12 Discover Card Execution Note Trust DE 1.01,9.01 07/31/12 DJO Finance LLC DE 2.02,9.01 08/01/12 Dolan Co. DE 2.02,9.01 08/01/12 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,9.01 08/01/12 DOMINION RESOURCES INC /VA/ VA 2.02,9.01 08/01/12 DST SYSTEMS INC DE 2.02,9.01 08/01/12 DTE ENERGY CO MI 8.01,9.01 08/01/12 DUNE ENERGY INC DE 2.02,9.01 08/01/12 DYAX CORP DE 1.01 07/26/12 DYNASIL CORP OF AMERICA NJ 5.02,9.01 07/30/12 DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 08/01/12 DYNEGY INC. DE 1.01,9.01 07/31/12 EAGLE BANCORP INC MD 7.01,9.01 06/30/12 AMEND EAGLE ROCK ENERGY PARTNERS L P DE 2.02,7.01,9.01 08/01/12 ECB BANCORP INC NC 2.02,9.01 07/30/12 ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 07/31/12 EDAC TECHNOLOGIES CORP WI 2.02,9.01 08/01/12 EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 08/01/12 EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 08/01/12 ELLIE MAE INC DE 2.02,9.01 08/01/12 ENERGIZER HOLDINGS INC MO 2.02,9.01 08/01/12 ENERGY QUEST, INC. NV 1.02,8.01 08/01/12 ENGLOBAL CORP NV 5.02,7.01,9.01 08/01/12 ENSURGE INC NV 4.01 08/01/12 ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 07/31/12 ENTERTAINMENT PROPERTIES TRUST MD 8.01,9.01 08/01/12 ENTROPIC COMMUNICATIONS INC DE 2.02,9.01 08/01/12 ENZON PHARMACEUTICALS INC DE 2.02,9.01 08/01/12 EQUITY ONE, INC. 2.02,7.01,9.01 08/01/12 ESSA Bancorp, Inc. PA 2.01,5.02,9.01 07/31/12 ESTERLINE TECHNOLOGIES CORP DE 8.01,9.01 08/01/12 EVERTEC, LLC PR 5.02 08/01/12 EXCO RESOURCES INC TX 2.02,9.01 07/31/12 EXELON CORP PA 2.02,7.01,9.01 08/01/12 EXPRESS, INC. 5.02,9.01 08/01/12 EXTREME NETWORKS INC DE 2.02,9.01 08/01/12 FEDERAL REALTY INVESTMENT TRUST MD 2.02,9.01 08/01/12 Financial Engines, Inc. DE 2.02,9.01 08/01/12 FINANCIAL INSTITUTIONS INC NY 7.01,9.01 08/01/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 08/01/12 FIRST CITIZENS BANC CORP /OH OH 2.02,9.01 08/01/12 FIRST DATA CORP DE 2.02,9.01 08/01/12 First Guaranty Bancshares, Inc. LA 2.02 08/01/12 FIRST SOLAR, INC. DE 2.02,5.02,9.01 08/01/12 FIVE STAR QUALITY CARE INC 2.02,9.01 08/01/12 FLUOROPHARMA MEDICAL, INC. NV 5.02,7.01,9.01 07/26/12 FOCUS GOLD Corp 1.01,2.03,9.01 07/12/11 AMEND FORD MOTOR CO DE 8.01,9.01 08/01/12 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 08/01/12 FORMFACTOR INC DE 2.02,9.01 08/01/12 FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 08/01/12 FREDS INC TN 5.07 07/26/12 FRESH DEL MONTE PRODUCE INC E9 8.01,9.01 08/01/12 FS Bancorp, Inc. 2.02,9.01 07/31/12 FS Energy & Power Fund DE 2.02,9.01 07/31/12 Full Circle Capital Corp MD 1.01,2.03,9.01 07/31/12 GARDNER DENVER INC DE 5.02,9.01 07/27/12 GARMIN LTD V8 2.02,9.01 08/01/12 GASCO ENERGY INC NV 2.02,7.01,9.01 07/31/12 GASTAR EXPLORATION LTD 7.01 08/01/12 GCI INC AK 2.03,5.02,8.01 06/05/12 GEN PROBE INC DE 1.01,1.02,2.01,2.03, 07/27/12 3.01,3.03,5.01,5.02, 5.03 GENCO SHIPPING & TRADING LTD 9.01 08/01/12 GENERAL COMMUNICATION INC AK 2.03,8.01 07/11/12 General Finance CORP DE 8.01,9.01 08/01/12 General Growth Properties, Inc. DE 2.02,7.01,9.01 08/01/12 General Moly, Inc DE 7.01,9.01 08/01/12 GenMark Diagnostics, Inc. DE 1.01,7.01,9.01 07/26/12 Genpact LTD D0 2.02,8.01,9.01 08/01/12 Georgetown Bancorp, Inc. MD 2.02,9.01 07/27/12 GLADSTONE CAPITAL CORP MD 2.02,9.01 08/01/12 GLATFELTER P H CO PA 2.02,9.01 07/31/12 GNC HOLDINGS, INC. DE 1.01,9.01 08/01/12 GOODRICH CORP NY 1.02,2.01,3.01,3.03, 07/26/12 5.01,5.02,5.03,9.01 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 07/27/12 GRAPHITE CORP NV 1.01,2.03,9.01 07/11/12 Graystone Co DE 3.02 08/01/12 GREEN MOUNTAIN COFFEE ROASTERS INC DE 2.02,9.01 08/01/12 GREEN MOUNTAIN COFFEE ROASTERS INC DE 5.02,9.01 08/01/12 GroveWare Technologies Ltd. NV 4.01,9.01 07/27/12 GT Advanced Technologies Inc. DE 2.02,7.01,9.01 08/01/12 GULF WESTERN PETROLEUM CORP NV 8.01 07/30/12 HALLADOR ENERGY CO CO 2.02 07/31/12 HALLIBURTON CO DE 8.01,9.01 08/01/12 HANGER, INC. DE 2.02,9.01 08/01/12 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 08/01/12 HARLEY DAVIDSON INC WI 2.02,9.01 08/01/12 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 08/01/12 HAWKINS INC MN 2.02,9.01 08/01/12 HAYNES INTERNATIONAL INC DE 5.02,9.01 08/01/12 HEMISPHERX BIOPHARMA INC DE 7.01,9.01 07/31/12 HERITAGE FINANCIAL CORP /WA/ WA 7.01,9.01 08/01/12 HERSHA HOSPITALITY TRUST MD 2.02,9.01 07/31/12 HERTZ CORP DE 2.02,9.01 07/31/12 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 07/31/12 HICKORY TECH CORP MN 2.02,7.01,9.01 08/01/12 HIGHLANDS BANKSHARES INC /VA/ VA 5.02 08/01/12 Hillenbrand, Inc. IN 2.02,9.01 08/01/12 HOLOGIC INC DE 1.01,2.01,2.03,5.02, 08/01/12 7.01,9.01 Homeowners Choice, Inc. FL 2.02,9.01 08/01/12 HomeTown Bankshares Corp 2.02,9.01 07/26/12 HOSPIRA INC DE 2.02,9.01 08/01/12 HOT TOPIC INC /CA/ CA 2.02,9.01 08/01/12 Howard Bancorp Inc MD 2.02,9.01 07/31/12 HSN, Inc. DE 2.02,7.01,9.01 08/01/12 HUDSON VALLEY HOLDING CORP NY 2.02,9.01 08/01/12 HUMAN GENOME SCIENCES INC DE 1.01,2.04,5.01,5.02 07/30/12 Huntsman CORP DE 2.02,9.01 08/01/12 Hyatt Hotels Corp DE 2.02,5.02,8.01,9.01 07/31/12 IBERIABANK CORP LA 8.01,9.01 07/31/12 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 08/01/12 INSIGHT ENTERPRISES INC DE 2.02,9.01 08/01/12 INSMED INC VA 8.01 08/01/12 INTELSAT S.A. N4 2.02,9.01 08/01/12 INTERCONTINENTALEXCHANGE INC DE 2.02,9.01 08/01/12 INTERNATIONAL BUSINESS MACHINES CORP NY 8.01 08/01/12 Intrepid Potash, Inc. DE 2.02,9.01 08/01/12 INUVO, INC. NV 2.02,7.01,9.01 08/01/12 Invesco Mortgage Capital Inc. MD 2.02,9.01 08/01/12 Iridium Communications Inc. DE 1.01 08/01/12 ITC Holdings Corp. MI 2.02,9.01 07/31/12 ITRON INC /WA/ WA 2.02,9.01 08/01/12 IVANHOE ENERGY INC 5.02,9.01 07/30/12 IZEA, Inc. NV 5.03,9.01 07/30/12 JABIL CIRCUIT INC DE 1.01,8.01,9.01 07/31/12 JACK IN THE BOX INC /NEW/ DE 7.01,9.01 08/01/12 JAMBA, INC. DE 2.02,9.01 08/01/12 Jazz Pharmaceuticals plc L2 5.02,5.07,8.01 07/27/12 JOHNSON OUTDOORS INC WI 2.02,9.01 08/01/12 Jones Lang LaSalle Income Property Tr MD 2.02,9.01 07/31/12 KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 08/01/12 Kraton Performance Polymers, Inc. DE 2.02,9.01 07/31/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 08/01/12 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 08/01/12 LANDMARK BANCORP INC DE 2.02,8.01,9.01 08/01/12 LAS VEGAS SANDS CORP NV 7.01,9.01 08/01/12 LEAPFROG ENTERPRISES INC 2.02,9.01 08/01/12 LEGACY RESERVES LP DE 2.02,9.01 08/01/12 LENNAR CORP /NEW/ DE 8.01,9.01 07/31/12 LIGHTCOLLAR, INC. 8.01 03/09/12 AMEND LINCOLN NATIONAL CORP IN 2.02,9.01 05/02/12 LIQUIDITY SERVICES INC DE 7.01,9.01 07/31/12 LITTELFUSE INC /DE DE 2.02,9.01 08/01/12 LIVEPERSON INC DE 2.02,9.01 08/01/12 LPATH, INC NV 5.02,9.01 07/30/12 LYDALL INC /DE/ DE 2.02,9.01 08/01/12 MACERICH CO MD 2.02,7.01,9.01 08/01/12 MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 08/01/12 Main Street Capital CORP MD 8.01,9.01 07/31/12 MAKO Surgical Corp. DE 2.02,5.02,9.01 07/26/12 MANNATECH INC TX 5.02 07/31/12 Manning & Napier, Inc. 2.02,9.01 08/01/12 MANPOWER INC /WI/ WI 5.02,9.01 07/31/12 MANTECH INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 08/01/12 MAP Pharmaceuticals, Inc. DE 1.01,8.01,9.01 08/01/12 MARATHON OIL CORP DE 2.02,9.01 08/01/12 MASIMO CORP DE 7.01,9.01 08/01/12 MASIMO CORP DE 2.02,9.01 08/01/12 MASTERCARD INC DE 2.02,7.01,9.01 08/01/12 Measurement Specialties Inc NJ 2.02,9.01 08/01/12 MEDASSETS INC DE 2.02,9.01 08/01/12 MEDICAL ACTION INDUSTRIES INC DE 2.02,9.01 08/01/12 MEDTOX SCIENTIFIC INC DE 1.02,2.01,3.01,3.03, 07/30/12 5.01,5.03,8.01,9.01 MERGE HEALTHCARE INC DE 2.02,9.01 07/31/12 MERITOR INC IN 2.02,9.01 08/01/12 METLIFE INC DE 2.02,9.01 08/01/12 MGT CAPITAL INVESTMENTS INC DE 5.07 08/01/12 Microsmart Devices, Inc. NV 3.02 07/31/12 MIDDLEBURG FINANCIAL CORP VA 2.02,8.01,9.01 07/31/12 MILLER ENERGY RESOURCES, INC. TN 5.02 07/26/12 AMEND MOD PAC CORP NY 2.02,9.01 08/01/12 MTS SYSTEMS CORP MN 8.01,9.01 07/31/12 Mueller Water Products, Inc. DE 7.01,9.01 08/01/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 7.01,9.01 08/01/12 MURPHY OIL CORP /DE DE 5.02,8.01,9.01 08/01/12 MURPHY OIL CORP /DE DE 2.02,9.01 08/01/12 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 08/01/12 NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 07/27/12 Natural Grocers by Vitamin Cottage, I DE 1.01,5.03,9.01 07/27/12 NAVARRE CORP /MN/ MN 2.02,9.01 07/31/12 NCI, Inc. DE 2.02,7.01,9.01 08/01/12 NEWBRIDGE BANCORP NC 2.02,9.01 08/01/12 NEWPORT CORP NV 2.02,9.01 08/01/12 NEWS CORP 8.01,9.01 08/01/12 Nielsen Holdings N.V. P7 5.02 07/26/12 NightCulture, Inc. NV 9.01 05/21/12 AMEND NORDSON CORP OH 1.01,2.01,8.01,9.01 07/26/12 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 07/31/12 NORTHEAST BANCORP /ME/ ME 2.02,9.01 06/30/12 NPS PHARMACEUTICALS INC DE 2.02,9.01 08/01/12 NTELOS HOLDINGS CORP 2.02,9.01 08/01/12 OCLARO, INC. DE 2.02,5.02,9.01 07/26/12 OMNICELL, Inc CA 2.02,9.01 08/01/12 ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,2.01,3.02,5.01, 08/01/12 5.02,5.06,9.01 ONYX PHARMACEUTICALS INC DE 2.02,9.01 08/01/12 ORBIT INTERNATIONAL CORP DE 1.01,9.01 07/27/12 ORCHARD SUPPLY HARDWARE STORES CORP DE 2.02,8.01,9.01 07/27/12 Owens Corning DE 2.02,9.01 08/01/12 PACIFICHEALTH LABORATORIES INC DE 2.02,9.01 08/01/12 PAR TECHNOLOGY CORP DE 2.02 06/30/12 PARK CITY GROUP INC 8.01 07/31/12 PATRIOT TRANSPORTATION HOLDING INC FL 2.02,9.01 08/01/12 PennantPark Floating Rate Capital Ltd 7.01,9.01 08/01/12 PETROSONIC ENERGY, INC. 7.01,9.01 08/01/12 PGT, Inc. DE 2.02 08/01/12 Phillips 66 DE 2.02,9.01 08/01/12 PHOENIX COMPANIES INC/DE DE 2.02,9.01 08/01/12 Piedmont Office Realty Trust, Inc. MD 2.02,9.01 08/01/12 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 07/31/12 POPE RESOURCES LTD PARTNERSHIP DE 7.01,9.01 07/31/12 PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 08/01/12 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 08/01/12 POZEN INC /NC 2.02,9.01 08/01/12 Press Ventures, Inc. 5.01,5.02,8.01 07/18/12 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 08/01/12 PS BUSINESS PARKS INC/CA CA 2.02,9.01 08/01/12 pSivida Corp. DE 8.01,9.01 08/01/12 PUBLIC MEDIA WORKS INC DE 1.01,3.02,9.01 07/26/12 PUBLIX SUPER MARKETS INC FL 2.02,9.01 08/01/12 Pulse Beverage Corp NV 3.02 12/31/11 PURE BIOSCIENCE, INC. DE 2.02,5.07,9.01 07/31/12 QEP RESOURCES, INC. DE 2.02,9.01 07/31/12 QEP RESOURCES, INC. DE 7.01,9.01 07/31/12 RADIAN GROUP INC DE 2.02,9.01 08/01/12 Radius Health, Inc. DE 1.01,9.01 07/26/12 REGAL BELOIT CORP WI 2.02,7.01,9.01 07/31/12 REGENCY CENTERS CORP FL 2.02,9.01 07/31/12 Regional Management Corp. DE 2.02,2.03,9.01 07/31/12 RELIV INTERNATIONAL INC DE 2.02,9.01 08/01/12 REPUBLIC AIRWAYS HOLDINGS INC DE 2.02,9.01 08/01/12 REPUBLIC AIRWAYS HOLDINGS INC DE 7.01,9.01 08/01/12 Resource Capital Corp. MD 2.02,9.01 07/31/12 RESOURCES CONNECTION INC DE 5.03,8.01,9.01 07/26/12 RESPONSE GENETICS INC 1.01,9.01 07/26/12 REVA Medical, Inc. DE 2.02,7.01,9.01 07/31/12 Rexnord Corp DE 2.02,9.01 08/01/12 Rio Bravo Oil, Inc. NV 5.03,9.01 07/31/12 Roadrunner Transportation Systems, In DE 2.02,9.01 08/01/12 Rockwood Holdings, Inc. DE 2.02,9.01 08/01/12 RPX Corp DE 5.02 07/26/12 RR Donnelley & Sons Co DE 2.02,9.01 08/01/12 RTI INTERNATIONAL METALS INC OH 2.02,9.01 08/01/12 Sabra Health Care REIT, Inc. MD 2.02,9.01 08/01/12 SAFETY INSURANCE GROUP INC DE 2.02,9.01 08/01/12 SAFEWAY INC DE 5.02 08/01/12 SALON MEDIA GROUP INC DE 5.02 07/25/12 Samson Oil & Gas LTD C3 2.02,9.01 07/31/12 SAN JUAN BASIN ROYALTY TRUST TX 2.04,8.01,9.01 08/01/12 Santa Fe Gold CORP DE 8.01,9.01 08/01/12 Santa Fe Petroleum, Inc. DE 1.01,2.01,3.02,5.01, 05/10/12 AMEND 5.02,5.06,7.01,9.01 SAUER DANFOSS INC DE 2.02,9.01 08/01/12 SAVANNAH BANCORP INC GA 2.02 06/30/12 SaviCorp NV 5.02 02/08/12 SCHAWK INC 2.02,5.02,9.01 07/26/12 SCHWAB CHARLES CORP DE 8.01,9.01 08/01/12 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 08/01/12 SCIQUEST INC DE 5.02 07/31/12 SEARCH BY HEADLINES.COM CORP. NV 2.01,3.02,4.01,5.01, 07/30/12 5.02,5.03,5.06,9.01 SELECT MEDICAL HOLDINGS CORP 2.02,9.01 07/31/12 SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 08/01/12 ServiceNow, Inc. CA 2.02,9.01 08/01/12 Shire plc 2.02,9.01 07/26/12 Shire plc 8.01,9.01 08/01/12 SILICON LABORATORIES INC DE 1.01,2.03,9.01 07/31/12 Silver Falcon Mining, Inc. DE 8.01 08/01/12 SIMPSON MANUFACTURING CO INC /CA/ DE 1.01,1.02,2.03,9.01 07/27/12 SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 08/01/12 SMARTHEAT INC. NV 1.01,2.03,9.01 07/27/12 SMITH MICRO SOFTWARE INC DE 2.02,9.01 08/01/12 SMITHFIELD FOODS INC VA 2.03,8.01,9.01 08/01/12 SONIC AUTOMOTIVE INC DE 8.01 08/01/12 SOUNDBITE COMMUNICATIONS INC 2.02,9.01 08/01/12 SOUNDBITE COMMUNICATIONS INC 5.02 07/27/12 SOUTHERN COPPER CORP/ DE 5.02 07/31/12 SOVRAN SELF STORAGE INC MD 2.02,9.01 08/01/12 SPARTAN STORES INC MI 2.02,9.01 08/01/12 SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 08/01/12 SPX CORP DE 2.02,9.01 08/01/12 STANDARD MICROSYSTEMS CORP DE 8.01 07/31/12 STATE INVESTORS BANCORP, INC. 2.02,9.01 07/31/12 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 08/01/12 STONE ENERGY CORP DE 2.02,7.01,9.01 08/01/12 STRATASYS INC DE 2.02,9.01 08/01/12 STRATASYS INC DE 1.02,7.01,9.01 07/31/12 STURM RUGER & CO INC DE 2.02,9.01 08/01/12 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 07/30/12 SunCoke Energy, Inc. 7.01,9.01 08/01/12 SunOpta Inc. 1.01,2.03,9.01 08/01/12 SUNTRUST BANKS INC GA 8.01,9.01 08/01/12 SURFACE COATINGS, INC. NV 2.01,8.01 07/31/12 SURMODICS INC MN 2.02,9.01 08/01/12 SURMODICS INC MN 8.01,9.01 08/01/12 SYNCHRONOSS TECHNOLOGIES INC 2.02,9.01 08/01/12 Teavana Holdings Inc 1.01,2.03,9.01 07/31/12 TeleNav, Inc. DE 1.01,5.02,9.01 07/27/12 TESCO CORP 7.01,9.01 07/24/12 TETRA TECHNOLOGIES INC DE 5.02,9.01 07/31/12 THORATEC CORP CA 2.02,9.01 08/01/12 Timberline Resources Corp DE 7.01,9.01 07/31/12 TIME WARNER INC. DE 2.02,9.01 08/01/12 TNS INC 2.02,7.01,8.01,9.01 08/01/12 TNS INC 5.02 07/25/12 TORCHMARK CORP DE 8.01,9.01 07/31/12 TOYS R US INC DE 1.01,2.03,8.01,9.01 07/26/12 TRANSGENOMIC INC DE 2.02,9.01 08/01/12 Transocean Ltd. V8 2.02,9.01 08/01/12 Triangle Petroleum Corp NV 1.01,2.03,3.02,5.02, 07/31/12 7.01,9.01 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,9.01 08/01/12 TWIN DISC INC WI 5.02,9.01 08/01/12 Two Harbors Investment Corp. 2.02,9.01 08/01/12 ULTIMATE SOFTWARE GROUP INC DE 2.02,9.01 07/31/12 UNION DRILLING INC DE 2.02,9.01 08/01/12 United Financial Bancorp, Inc. 7.01,9.01 08/01/12 UNITED ONLINE INC DE 7.01,9.01 08/01/12 UNITED ONLINE INC DE 2.02,9.01 08/01/12 UNITED STATES STEEL CORP DE 5.02 07/29/12 Unum Group DE 2.02,9.01 08/01/12 Unum Group DE 8.01,9.01 08/01/12 URANERZ ENERGY CORP. NV 5.02,7.01,9.01 08/01/12 VALENCE TECHNOLOGY INC DE 5.02 07/31/12 VICAL INC DE 2.02,9.01 08/01/12 VIRGIN MEDIA INC. DE 5.02 08/01/12 VIROPHARMA INC DE 8.01,9.01 08/01/12 VISTA GOLD CORP B0 7.01,9.01 07/30/12 VONAGE HOLDINGS CORP DE 2.02 08/01/12 Vu1 CORP CA 5.02 07/31/12 W&T OFFSHORE INC TX 2.02,9.01 07/30/12 WARREN RESOURCES INC MD 5.02,9.01 08/01/12 WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 08/01/12 WELLS REAL ESTATE FUND IX LP GA 7.01,9.01 08/01/12 WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 08/01/12 WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 08/01/12 WELLS REAL ESTATE FUND XII LP GA 7.01,9.01 08/01/12 WELLS REAL ESTATE FUND XIII L P 7.01,9.01 08/01/12 WELLS REAL ESTATE FUND XIV LP GA 7.01,9.01 08/01/12 WEST CORP DE 8.01,9.01 08/01/12 Western Gas Partners LP DE 2.02,9.01 08/01/12 WILLIAMS COMPANIES INC DE 2.02,9.01 08/01/12 Williams Partners L.P. 2.02,9.01 08/01/12 WISCONSIN ENERGY CORP WI 2.02 08/01/12 WMI HOLDINGS CORP. WA 7.01,9.01 08/01/12 WOLVERINE WORLD WIDE INC /DE/ MI 1.01,2.03,9.01 07/31/12 Wonhe High-Tech International, Inc. NV 4.01 07/26/12 WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 08/01/12 WPCS INTERNATIONAL INC DE 5.02,7.01,9.01 08/01/12 Wright Express CORP 2.02,9.01 08/01/12 WRIGHT MEDICAL GROUP INC DE 2.02,9.01 07/30/12 WYNN RESORTS LTD 1.01,2.03 07/31/12 YELP INC DE 2.02,9.01 08/01/12 ZION OIL & GAS INC DE 8.01,9.01 08/01/12 ZOGENIX, INC. DE 1.02 07/30/12 Zumiez Inc WA 7.01,9.01 08/01/12
http://www.sec.gov/news/digest/2012/dig080212.htm
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