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Commission announcementsChairman Schapiro Statement on Knight Capital Group Trading IssueSecurities and Exchange Commission Chairman Mary Schapiro today made the following statement:
ENFORCEMENT PROCEEDINGSIn the Matter of Kenneth E. Lonchar, CPA, the Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial SanctionsOn August 2, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Kenneth E. Lonchar, CPA. The Order finds that, on July 20, 2012, a final judgment was entered against Lonchar in the civil action entitled Securities and Exchange Commission v. Leslie, et al., Civil Action No. C 07-3444-CW, in the United States District Court for the Northern District of California, enjoining Lonchar from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Based on the above, the Order suspends Lonchar from appearing or practicing before the Commission as an accountant with the right to request reinstatement after five (5) years from the date of the Order. Lonchar consented to the issuance of the Order without admitting or denying any of the findings contained in the Order, except as to jurisdiction and the entry of the final judgment against him in Securities and Exchange Commission v. Mark Leslie, et al., which he admitted. (In the Matter of Kenneth E. Lonchar, CPA - Rel. 34-67590; AAE Rel. 3398; File No. 3-14972) [SEC v. Mark Leslie, Kenneth E. Lonchar, Paul A. Sallaberry, Michael M. Cully, and Douglas S. Newton, Civil Action No. 07 CV 3444 (CW) (N.D. Cal.)] (LR-22432; AAE Rel. 3397) In the Matter of Consultiva Internacional, Inc.On August 3, 2012, the Commission issued an Order Instituting Administrative and Cease-and Desist Proceedings Pursuant to Sections 203(e) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Consultiva Internacional, Inc., a registered investment adviser in Guaynabo, Puerto Rico. The Commission charged Consultiva with failing to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940, and for failing to enforce its written code of ethics. The Commission’s case arises out of an initiative by the SEC Enforcement Division’s Asset Management Unit focused on investment advisers with extensive or repeated compliance violations. According to the Order, the Commission’s examination staff conducted an examination of Consultiva in 2005 and alerted the firm of numerous deficiencies regarding its compliance program including the design of the firm’s compliance manual, the competency of its chief compliance officer, and inaccuracies and inconsistencies with its Form ADV. In December 2010, the Commission exam staff returned to Consultiva to conduct another examination and found that Consultiva had not taken all of the necessary remedial steps to satisfy its compliance obligations. Similarly, from at least June 2005 through December 2010, Consultiva failed to properly enforce its written code of ethics, as required under Section 204A of the Advisers Act and Rule 204A-1 thereunder because it did not collect and retain the required periodic securities reports from Consultiva’s access persons. The Order finds that Consultiva willfully violated Sections 206(4) and 204A of the Advisers Act and Rules 206(4)-7 and 206A-1 thereunder. Without admitting or denying the SEC’s findings, Consultiva agreed to a censure and to cease and desist from committing or causing any violations and any future violations of these provisions. Consultiva has also agreed to pay a $35,000 penalty. Additionally, Consultiva has agreed to retain an independent consultant to review its compliance operations annually for two years, provide a copy of the SEC’s order to existing clients, and prominently post a summary of the order on its website. (Rel. IA-3441; File No. 3-14973) SEC Charges Massachusetts Man with Insider Trading in Art Technology, Group, Inc.’s SharesThe Securities and Exchange Commission announced today that it has filed a complaint against Joseph McVicker, of Wayland, Massachusetts. The complaint alleges that McVicker engaged in insider trading in shares of Cambridge-based Art Technology Group, Inc. in advance of an announcement on November 2, 2010, that Art Technology would be acquired by California-based Oracle Corporation. McVicker has agreed to settle these charges by, among other things, paying over $88,000 in disgorgement of trading profits and a civil penalty. The Commission’s complaint alleges that on October 30, 2010, McVicker learned of the pending acquisition of Art Technology from a close friend at a social event. The complaint further alleges that McVicker understood that the information was material, nonpublic information and that he should not use it to trade. According to the Commission’s complaint, however, on November 1, 2010, McVicker used the information to purchase 24,400 shares of Art Technology. On November 2, 2010, before the market opened, Art Technology announced that Oracle had agreed to acquire Art Technology for $6 per share. Art Technology’s stock closed that day at $5.95 per share, a 45% increase from the previous trading day’s closing price, earning McVicker an ill-gotten gain of $44,268. The complaint alleges that McVicker violated Section 10(b) of the Securities Exchange Act and Rule 10b5 thereunder. Without admitting or denying the allegations in the complaint, McVicker consented to the entry of a final judgment which enjoins him from future violations Section 10(b) of the Securities Exchange Act and Rule 10b5 thereunder. McVicker also agreed to pay disgorgement of $44,268, prejudgment interest of $365, and a civil penalty of $44,268. [SEC v. Joseph McVicker, 12-CV-11434 (District of Massachusetts)] (LR-22434) INVESTMENT COMPANY ACT RELEASESBlackRock Preferred Partners LLC, et al.A notice has been issued giving interested persons until August 27, 2012, to request a hearing on an application filed by BlackRock Preferred Partners LLC, et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Sections 18(c) and 18(i), and an order pursuant to Section 17(d) of the Act and Rule 17d-1 under the Act. The order would permit registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution and service fees and contingent deferred sales loads. (Rel. IC-30160 – August 2) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-075) to amend the Fees Schedule 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 August 6. (Rel. 34-67557) A proposed rule change (SR-CBOE-2012-072) filed by the Chicago Board Options Exchange, Incorporated to update references in rules 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 August 6. (Rel. 34-67560) A proposed rule change (SR-CBOE-2012-067) filed by the Chicago Board Options Exchange, Incorporated to delete Temporary Rule 6.83 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 August 6. (Rel. 34-67561) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-78) amending NYSE Arca Equities Rule 7.11, 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 August 6. (Rel. 34-67565) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-79) amending NYSE Arca Rule 7.10, 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 August 6. (Rel. 34-67566) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-28) amending Rule 128 - Equities, 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 August 6. (Rel. 34-67567) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2012-27) amending Rule 80C - Equities, 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 August 6. (Rel. 34-67568) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-056) to extend the pilot period of amendments to the Clearly Erroneous Rule 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 August 6. (Rel. 34-67570) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-055) to extend the pilot period of the trading pause for NMS stocks other than rights and warrants 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 August 6. (Rel. 34-67571) A proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2012-11) to extend the pilot program relating to clearly erroneous transactions 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 August 6. (Rel. 34-67572) A proposed rule change filed by the Chicago Stock Exchange, Inc. (SR-CHX-2012-12) to extend the pilot program relating to individual securities circuit breakers 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 August 6. (Rel. 34-67573) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-069) related to the extension of the CBSX individual stock trading pause pilot program 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 August 6. (Rel. 34-67574) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-070) related to the extension of the CBSX clearly erroneous policy pilot program 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 August 6. (Rel. 34-67575) A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2012-11) to amend its rules to extend the pilot program regarding clearly erroneous executions 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 August 6. (Rel. 34-67576) A proposed rule change filed by the National Stock Exchange, Inc. (SR-NSX-2012-10) to amend its rules to extend pilot program regarding trading pauses in individual securities due to extraordinary market volatility 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 August 6. (Rel. 34-67577) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-037) to extend the effective date of the trading pause pilot 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 August 6. (34-67578) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-038) to extend the pilot period of amendments to FINRA Rule 11892 governing clearly erroneous transactions 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 August 6. (Rel. 34-67579) A proposed rule change (SR-CBOE-2012-073) filed by Chicago Board Options Exchange, Incorporated to amend the CBOE Stock Exchange Fees Schedule 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 August 6. (Rel. 34-67580) A proposed rule change (SR-CBOE-2012-074) filed by the Chicago Board Options Exchange, Incorporated to establish a rule regarding records of written complaints for 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 August 6. (Rel. 34-67581) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-NASDAQ-2012-092) filed by The NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to options on the MSCI EM and MSCI EAFE Indexes. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67582) A proposed rule change filed by New York Stock Exchange LLC implementing certain changes to the credits within the New York Stock Exchange Price List that are applicable to supplemental liquidity providers (SR-NYSE-2012-33) 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 August 6. (Rel. 34-67585) Proposed Rule ChangesBATS Exchange, Inc. has filed a proposed rule change (SR-BATS-2012-030) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend Rule 14.11, entitled “Other Securities.” Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67558) NYSE MKT LLC filed a proposed rule change (SR-NYSEMKT-2012-23) pursuant to Section 19(b)(1) of the Securities Exchange Act to amend the Members’ Schedule of NYSE Amex Options LLC in order to reflect changes to the capital structure of the company. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67569) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-NYSEArca-2012-57) 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 QAM Equity Hedge ETF under NYSE Arca Equities Rule 8.600. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67559) The Commission approved a proposed rule change, as modified by Amendment No. 1, submitted by The NASDAQ Stock Market LLC (SR-NASDAQ-2012-066) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to adopt a new Market Maker Peg Order available to exchange market makers. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67584) 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 TSAKOS ENERGY NAVIGATION LTD, 367 SYNGROU AVENUE, ATHENS, J3, 00000, 0 ($5,629,352.00) Equity, (File 333-183007 - Aug. 2) (BR. 05C) S-8 COMCAST CORP, 0 ($350,900,000.00) Equity, (File 333-183008 - Aug. 2) (BR. 11A) S-8 DOLLAR THRIFTY AUTOMOTIVE GROUP INC, 5330 EAST 31ST STREET, TULSA, OK, 74135, 9186607700 - 950,000 ($71,649,000.00) Equity, (File 333-183009 - Aug. 2) (BR. 05B) S-1 E C CONSULTING INTERNATIONAL, INC., IM AESCHFELD 12, AESCH, V8, CH-4147, 41 0 61 703 8676 - 2,000,000 ($20,000.00) Equity, (File 333-183011 - Aug. 2) (BR. 08) S-8 EXXON MOBIL CORP, 5959 LAS COLINAS BLVD, IRVING, TX, 75039-2298, 9724441000 - 120,000,000 ($10,401,000,000.00) Equity, (File 333-183012 - Aug. 2) (BR. 04A) S-3ASR MAGELLAN MIDSTREAM PARTNERS LP, ONE WILLIAMS CENTER, MD 28-1, TULSA, OK, 74172, 918 574 7000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183013 - Aug. 2) (BR. 04B) S-3 WORLD OMNI AUTO RECEIVABLES LLC, 190 NW 12TH AVENUE, DEERFIELD BEACH, FL, 33442, 9544292200 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-183014 - Aug. 2) (BR. OSF) S-8 SunCoke Energy, Inc., 1011 WARRENVILLE ROAD, SUITE 600, LISLE, IL, 60532, 630-824-1000 - 0 ($46,290,000.00) Equity, (File 333-183015 - Aug. 2) (BR. 06A) S-8 ALCATEL LUCENT, 3 AVENUE OCTAVE GREARD, PARIS, I0, 75007, 33140761010 - 0 ($20,111,042.38) Equity, (File 333-183016 - Aug. 2) (BR. 11A) S-3 ANADIGICS INC, 141 MT. BETHEL ROAD, WARREN, NJ, 07059, 9086685000 - 0 ($60,000,000.00) Other, (File 333-183017 - Aug. 2) (BR. 10A) S-8 HOLOGIC INC, 35 CROSBY DRIVE, BEDFORD, MA, 01730, 7819997300 - 0 ($66,627,678.06) Equity, (File 333-183019 - Aug. 2) (BR. 10A) S-8 LEXICON PHARMACEUTICALS, INC./DE, 8800 TECHNOLOGY FOREST PLACE, THE WOODLANDS, TX, 77381, 2818633000 - 15,300,000 ($35,496,000.00) Equity, (File 333-183020 - Aug. 2) (BR. 01A) S-3ASR MASTERCARD INC, 2000 PURCHASE STREET, PURCHASE, NY, 10577, 9142492000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183021 - Aug. 2) (BR. 03B) S-3ASR RR Donnelley & Sons Co, 111 SOUTH WACKER DRIVE, CHICAGO, IL, 60606, 3123268000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183023 - Aug. 2) (BR. 05A) S-8 Discovery Energy Corp., ONE RIVERWAY DRIVE, SUITE 1700, HOUSTON, TX, 77056, (281) 360-4670 - 6,000,000 ($1,200,000.00) Equity, (File 333-183025 - Aug. 2) (BR. 09B) N-2 HELIOS TOTAL RETURN FUND INC, THREE WORLD FINANCIAL CENTER, 200 VESEY STREET, 10TH FLOOR, NEW YORK, NY, 10281-1010, 212-549-8328 - 159,744 ($999,997.44) Equity, (File 333-183026 - Aug. 2) (BR. 17) S-8 BlueLinx Holdings Inc., 4300 WILDWOOD PARKWAY, ATLANTA, GA, 30339, 770-953-7000 - 0 ($16,730,000.00) Equity, (File 333-183027 - Aug. 2) (BR. 06C) S-8 Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE, CA, 94085, 408-970-3400 - 0 ($148,905,000.00) Equity, (File 333-183028 - Aug. 2) (BR. 10B) S-8 GRAN TIERRA ENERGY, INC., 300, 611-10TH AVENUE S.W., CALGARY, A0, T2R 0B2, (403) 265-3221 - 16,500,000 ($74,992,500.00) Equity, (File 333-183029 - Aug. 2) (BR. 04A) S-8 TETRA TECHNOLOGIES INC, 24955 INTERSTATE 45 NORTH, THE WOODLANDS, TX, 77380, 2813671983 - 125,949 ($886,681.00) Equity, (File 333-183030 - Aug. 2) (BR. 04A) S-8 CHART INDUSTRIES INC, ONE INFINITY CORPORATE CENTRE DRIVE, SUITE 300, GARFIELD HEIGHTS, OH, 44125-5370, 4407531490 - 0 ($138,474,000.00) Equity, (File 333-183031 - Aug. 2) (BR. 06C) N-2 KCAP Financial, Inc., 295 MADISON AVENUE, 6TH FLOOR, NEW YORK, NY, 10017, 212-455-8300 - 0 ($30,000,000.00) Equity, (File 333-183032 - Aug. 2) (BR. 22) S-8 TESLA MOTORS INC, 3500 DEER CREEK RD, PALO ALTO, CA, 94070, 650-681-5000 - 5,809,463 ($153,069,809.48) Equity, (File 333-183033 - Aug. 2) (BR. 05C) S-4 AMERICAN INTERNATIONAL GROUP INC, 180 MAIDEN LANE, NEW YORK, NY, 10038, 2127707000 - 0 ($1,812,182,190.85) Debt, (File 333-183034 - Aug. 2) (BR. 01B) S-3ASR CONSOLIDATED EDISON CO OF NEW YORK INC, 4 IRVING PL, NEW YORK, NY, 10003, 2124604600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183035 - Aug. 2) (BR. 02A) S-3ASR CONSOLIDATED EDISON INC, 4 IRVING PLACE, ROOM 1618 S, NEW YORK, NY, 10003, 2124604600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183036 - Aug. 2) (BR. 02A) S-3 CELL THERAPEUTICS INC, 3101 WESTERN AVENUE, SUITE 600, SEATTLE, WA, 98121, 2062827100 - 0 ($150,000,000.00) Equity, (File 333-183037 - Aug. 2) (BR. 01A) 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 'mktg, inc.' DE 5.02 07/27/12 ABERCROMBIE & FITCH CO /DE/ DE 2.02,7.01,9.01 08/01/12 ABIOMED INC DE 2.02,9.01 08/02/12 ABSOLUTE LIFE SOLUTIONS, INC. NV 1.01,2.03,3.03,5.02, 07/04/12 9.01 ACCELRYS, INC. DE 2.02,9.01 08/02/12 ACTIVE NETWORK INC DE 2.02,9.01 08/02/12 Activision Blizzard, Inc. DE 2.02,9.01 08/02/12 ADA-ES INC CO 1.01 07/27/12 Adama Technologies Corp DE 1.01,9.01 08/01/12 AMEND Addus HomeCare Corp DE 2.02,9.01 08/02/12 ADVANCED MEDICAL ISOTOPE Corp DE 1.01,2.03,3.02,8.01 08/02/12 AEROPOSTALE INC 7.01,9.01 08/02/12 AG Mortgage Investment Trust, Inc. MD 3.03,5.03,8.01,9.01 07/27/12 AGENUS INC DE 2.02,9.01 08/02/12 AgFeed Industries, Inc. NV 5.02 07/27/12 AIR METHODS CORP DE 2.02,9.01 08/02/12 Air Transport Services Group, Inc. DE 2.02,9.01 08/02/12 Aircastle LTD D0 2.02,9.01 08/02/12 Alamo Energy Corp. NV 1.01,3.02,9.01 08/01/12 ALCO STORES INC KS 7.01,8.01 07/27/12 Aleris International, Inc. DE 2.02,9.01 08/02/12 ALEXANDERS J CORP TN 1.01,3.03,5.02,9.01 07/30/12 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 08/02/12 AMEREN CORP MO 2.02,8.01,9.01 08/02/12 AMERICAN APPAREL, INC DE 7.01,9.01 08/02/12 American Capital Agency Corp 2.02,9.01 08/02/12 AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 08/02/12 AMERICAN SCIENCE & ENGINEERING, INC. MA 2.02,8.01,9.01 08/02/12 AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,9.01 08/02/12 American Water Works Company, Inc. DE 2.02,9.01 08/02/12 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 08/02/12 ANALYSTS INTERNATIONAL CORP 2.02,9.01 08/02/12 ANCHOR BANCORP WISCONSIN INC WI 5.07 07/31/12 ANIKA THERAPEUTICS INC MA 2.02,9.01 08/02/12 ANSYS INC DE 2.02,9.01 08/02/12 AP PHARMA INC /DE/ DE 2.02,9.01 08/02/12 APACHE CORP DE 2.02,9.01 08/02/12 Apollo Global Management LLC DE 2.02,9.01 08/02/12 ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 08/02/12 ARKANSAS BEST CORP /DE/ DE 8.01,9.01 08/01/12 ARQULE INC DE 2.02,9.01 08/02/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 08/02/12 ASHLAND INC. KY 8.01,9.01 08/02/12 ASSURED GUARANTY LTD D0 5.02,9.01 07/31/12 Atkore International Holdings Inc. DE 2.02 07/31/12 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 08/01/12 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 08/02/12 ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 08/01/12 AtriCure, Inc. DE 2.02,5.02,9.01 08/02/12 Augme Technologies, Inc. DE 5.07,8.01,9.01 07/30/12 AUTONATION, INC. DE 7.01,9.01 08/02/12 AVEO PHARMACEUTICALS INC DE 2.02,9.01 08/02/12 AXCELIS TECHNOLOGIES INC DE 2.02,9.01 08/02/12 BALDWIN & LYONS INC IN 7.01 06/30/12 BARRY R G CORP /OH/ OH 5.02 07/27/12 BEAM INC DE 2.02,7.01,9.01 08/02/12 BECTON DICKINSON & CO NJ 2.02,9.01 08/02/12 BERRY PETROLEUM CO DE 2.02,9.01 08/02/12 BERRY PETROLEUM CO DE 1.01 08/02/12 BILL BARRETT CORP DE 2.02,7.01,9.01 08/02/12 BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 08/02/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 08/02/12 BioMed Realty Trust Inc MD 2.02,8.01,9.01 08/01/12 BioMed Realty Trust Inc MD 1.01,2.03,7.01,9.01 08/02/12 BioScrip, Inc. DE 1.01,9.01 07/30/12 BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 08/02/12 BLAST ENERGY SERVICES, INC. CA 2.01,2.03,3.02,3.03, 07/27/12 5.01,5.02,5.03,5.07, 9.01 BLUE NILE INC DE 2.02,9.01 08/02/12 BlueLinx Holdings Inc. DE 2.02,7.01,9.01 08/02/12 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,5.02,9.01 07/31/12 BOISE INC. DE 2.02,9.01 08/02/12 CADENCE PHARMACEUTICALS INC 2.02,9.01 08/02/12 Cal Dive International, Inc. DE 2.02,7.01,9.01 08/01/12 Calamos Asset Management, Inc. /DE/ 2.02,9.01 08/02/12 Calamos Asset Management, Inc. /DE/ 8.01,9.01 08/02/12 CalAmp Corp. DE 8.01 07/20/12 CalAmp Corp. DE 5.07 07/31/12 CALLIDUS SOFTWARE INC DE 2.02,9.01 08/02/12 CAMPBELL SOUP CO NJ 8.01,9.01 07/30/12 CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 08/01/12 CARDICA INC DE 2.02,9.01 08/02/12 CARDIFF INTERNATIONAL INC CO 4.01,5.03,9.01 07/27/12 CARDINAL HEALTH INC OH 2.02,7.01,9.01 08/02/12 CARMIKE CINEMAS INC DE 2.02,9.01 08/01/12 CAS MEDICAL SYSTEMS INC DE 1.01,2.03,3.02,9.01 07/31/12 Cascade Springs Ltd. NV 2.01,5.06 07/27/12 AMEND CAVCO INDUSTRIES INC DE 2.02,9.01 08/02/12 CBOE Holdings, Inc. DE 2.02,9.01 08/02/12 CBS CORP DE 2.02,9.01 08/02/12 CEC ENTERTAINMENT INC KS 2.02,8.01,9.01 07/31/12 Celanese Corp DE 5.02 07/27/12 CELGENE CORP /DE/ DE 7.01,8.01,9.01 06/21/12 AMEND CENTER BANCORP INC NJ 8.01,9.01 08/01/12 CENTERPOINT ENERGY INC 2.02,9.01 08/02/12 CenterPoint Energy Transition Bond CO DE 8.01,9.01 08/01/12 CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01,9.01 08/02/12 CERUS CORP DE 2.02,9.01 08/02/12 Chanticleer Holdings, Inc. DE 8.01,9.01 08/02/12 CHART INDUSTRIES INC DE 2.02,9.01 08/02/12 CHECKPOINT SYSTEMS INC PA 2.02 08/02/12 China Marketing Media Holdings, Inc. TX 4.01,9.01 08/01/12 CIGNA CORP DE 2.02 08/02/12 CIMAREX ENERGY CO DE 2.02,7.01,9.01 08/02/12 CIRCOR INTERNATIONAL INC DE 2.02,5.02,9.01 07/31/12 CISCO SYSTEMS, INC. CA 5.02 08/01/12 CLAIRES STORES INC DE 5.02,9.01 08/02/12 CLEAN DIESEL TECHNOLOGIES INC DE 1.01,2.03,3.02,7.01, 08/02/12 9.01 CLEARSIGN COMBUSTION CORP WA 7.01,9.01 08/02/12 CLIFTON SAVINGS BANCORP INC 2.02,9.01 08/01/12 CLOROX CO /DE/ DE 2.02,7.01,9.01 08/02/12 COACH INC MD 5.02,9.01 08/02/12 COAST DISTRIBUTION SYSTEM INC DE 1.01,9.01 07/30/12 COLE KENNETH PRODUCTIONS INC NY 2.02,9.01 08/01/12 COLOMBIA ENERGY RESOURCES, INC. DE 5.02 07/27/12 Columbia Seligman Premium Technology MD 7.01,9.01 08/02/12 COMARCO INC CA 1.01,2.03,3.02,5.01, 07/27/12 7.01,9.01 COMARCO INC CA 5.02,5.03,7.01,9.01 07/28/12 COMPLETE GENOMICS INC DE 5.02 07/27/12 COMSCORE, INC. DE 2.02,9.01 08/02/12 COMVERSE TECHNOLOGY INC/NY/ NY 1.01 08/01/12 CONSOL Energy Inc DE 1.04 07/29/12 Consolidated Communications Holdings, DE 2.02,9.01 08/02/12 CORPORATE EXECUTIVE BOARD CO DE 1.01,1.02,2.01,2.03, 08/01/12 8.01,9.01 CPM Holdings, Inc. 8.01 08/02/12 CREDIT ACCEPTANCE CORP MI 2.02,9.01 08/02/12 Crestwood Midstream Partners LP DE 5.02,8.01 08/01/12 CreXus Investment Corp. MD 2.02,9.01 08/01/12 CROSS BORDER RESOURCES, INC. NV 5.02,5.07 07/27/12 CROSSROADS SYSTEMS INC DE 1.01,9.01 07/31/12 CROWN DYNAMICS CORP DE 5.02 07/30/12 CU Bancorp CA 2.01,5.02,8.01,9.01 07/31/12 CUMBERLAND PHARMACEUTICALS INC 2.02,9.01 08/02/12 CURIS INC DE 2.02,9.01 08/02/12 CUTERA INC DE 5.02 07/27/12 CVB FINANCIAL CORP CA 8.01 08/02/12 CVR ENERGY INC DE 2.02,9.01 08/01/12 CYS Investments, Inc. MD 3.03,5.03,8.01,9.01 07/27/12 CYTEC INDUSTRIES INC/DE/ DE 8.01,9.01 08/01/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 08/01/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 08/02/12 DCT Industrial Trust Inc. MD 2.02,9.01 08/02/12 DCT Industrial Trust Inc. MD 8.01,9.01 08/02/12 DealerTrack Holdings, Inc. DE 2.01,8.01,9.01 08/01/12 DELL INC DE 5.02 07/31/12 DELTA AIR LINES INC /DE/ DE 8.01,9.01 08/02/12 DENBURY RESOURCES INC DE 2.02,9.01 08/02/12 DEPOMED INC CA 2.02,9.01 08/02/12 DIONICS INC DE 4.01,9.01 08/01/12 DIRECTV DE 2.02 08/02/12 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 08/02/12 DIXIE GROUP INC TN 2.02,9.01 08/02/12 DIXIE GROUP INC TN 7.01,9.01 08/02/12 Dolby Laboratories, Inc. DE 2.02,9.01 08/02/12 DREW INDUSTRIES INC DE 2.02,7.01,9.01 08/02/12 Duke Energy CORP DE 2.02,9.01 08/02/12 EAGLE MATERIALS INC DE 2.02,9.01 08/02/12 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 08/02/12 EARTHLINK INC DE 2.02,7.01,9.01 08/02/12 EARTHLINK INC DE 5.02 08/02/12 EASTERN AMERICAN NATURAL GAS TRUST DE 2.02,9.01 08/02/12 Eastern Insurance Holdings, Inc. PA 2.02,9.01 08/02/12 ECOLAB INC DE 5.02,9.01 08/02/12 ECOSPHERE TECHNOLOGIES INC DE 2.02,7.01,9.01 08/02/12 Edgen Group Inc. DE 8.01 08/02/12 Edgen Group Inc. DE 2.02,9.01 08/02/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,8.01,9.01 08/02/12 EL PASO ELECTRIC CO /TX/ TX 8.01 08/01/12 Ellington Financial LLC DE 8.01,9.01 08/01/12 EMC METALS CORP. A1 3.02 07/30/12 Emergent BioSolutions Inc. DE 2.02,9.01 08/02/12 EMERITUS CORP\WA\ WA 2.02,9.01 08/02/12 EMMIS COMMUNICATIONS CORP IN 7.01 08/01/12 ENCORE CAPITAL GROUP INC DE 2.02,9.01 08/02/12 ENDEAVOUR INTERNATIONAL CORP NV 2.02,7.01,9.01 08/02/12 ENDOCYTE INC DE 2.02,9.01 08/02/12 Energy Recovery, Inc. DE 2.02,9.01 08/01/12 ENOVA SYSTEMS INC CA 5.02 07/27/12 ENPRO INDUSTRIES, INC NC 2.02,9.01 08/02/12 ENPRO INDUSTRIES, INC NC 5.02,9.01 08/01/12 ENSIGN GROUP, INC 2.02,9.01 08/01/12 ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 08/01/12 ENTRAVISION COMMUNICATIONS CORP DE 2.02,9.01 08/02/12 EOG RESOURCES INC DE 2.02,7.01,9.01 08/02/12 ERIE INDEMNITY CO PA 2.02,9.01 08/02/12 ESSEX PROPERTY TRUST INC MD 2.02,9.01 06/30/12 ESTEE LAUDER COMPANIES INC DE 1.01,2.03,8.01,9.01 07/30/12 ExamWorks Group, Inc. DE 2.02,9.01 08/02/12 Excel Trust, Inc. MD 2.02,9.01 08/01/12 Excel Trust, Inc. MD 8.01 08/02/12 EXELIXIS INC DE 2.02,9.01 08/02/12 EXIDE TECHNOLOGIES DE 2.02,9.01 08/02/12 EXTERRAN HOLDINGS INC. DE 2.02,9.01 08/02/12 EXTERRAN PARTNERS, L.P. DE 2.02,9.01 08/02/12 FAIRPOINT COMMUNICATIONS INC DE 2.02,9.01 08/02/12 FBL FINANCIAL GROUP INC IA 2.02 08/02/12 Federal Home Loan Bank of Atlanta X1 2.03 08/02/12 Federal Home Loan Bank of Boston X1 2.03 07/31/12 Federal Home Loan Bank of Chicago X1 2.03 07/30/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/02/12 Federal Home Loan Bank of New York X1 2.03,9.01 07/31/12 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 08/02/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 07/30/12 Federal Home Loan Bank of San Francis X1 2.03 07/31/12 Federal Home Loan Bank of Seattle 2.03 07/31/12 FEI CO OR 2.02,9.01 08/02/12 FIDUS INVESTMENT Corp MD 2.02,7.01,9.01 08/02/12 FIRST BANCORP /PR/ PR 2.02,9.01 08/02/12 First California Financial Group, Inc DE 8.01 08/01/12 FIRST MARBLEHEAD CORP 1.01,8.01,9.01 08/02/12 FIRST PACTRUST BANCORP INC MD 1.01,9.01 07/31/12 FIRST UNITED CORP/MD/ MD 2.02,9.01 08/01/12 FISERV INC WI 1.01,2.03,9.01 08/01/12 FLUOR CORP DE 2.02,9.01 08/02/12 Flux Power Holdings, Inc. NV 8.01,9.01 08/01/12 Fortress Investment Group LLC DE 2.02,9.01 08/02/12 FOUR RIVERS BIOENERGY INC. NV 8.01 02/14/12 AMEND FuLuCai Productions Ltd. NV 5.02 07/31/12 Furiex Pharmaceuticals, Inc. DE 2.02,9.01 08/02/12 FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 08/02/12 FX Alliance Inc. 2.02,9.01 08/02/12 FX ENERGY INC NV 7.01,9.01 08/02/12 Galaxy Gaming, Inc. 9.01 10/04/11 GAP INC DE 2.02,9.01 08/02/12 GCI INC AK 2.02,9.01 08/01/12 Geeknet, Inc DE 2.02,9.01 08/02/12 GENCO SHIPPING & TRADING LTD 1.01,2.03,9.01 08/01/12 GENERAC HOLDINGS INC. DE 2.02,9.01 08/02/12 GENERAL COMMUNICATION INC AK 2.02,9.01 08/01/12 General Motors Co 2.02,9.01 08/02/12 General Motors Financial Company, Inc TX 2.02,9.01 08/02/12 GENESEE & WYOMING INC DE 2.02,9.01 08/02/12 GENESEE & WYOMING INC DE 5.02 06/05/12 AMEND GENESIS ENERGY LP DE 2.02,9.01 08/02/12 GENTA INC DE/ DE 5.02,8.01 08/02/12 GENTIVA HEALTH SERVICES INC DE 2.02,9.01 08/02/12 GEORGIA GULF CORP /DE/ DE 5.02 07/29/12 GEORGIA GULF CORP /DE/ DE 2.02,8.01,9.01 08/01/12 GEOVIC MINING CORP. DE 1.02,9.01 07/31/12 GETTY REALTY CORP /MD/ MD 2.02,9.01 08/01/12 GLOBAL CASINOS INC UT 3.02 07/25/12 Global Geophysical Services Inc DE 2.02,9.01 08/02/12 Global Stevia Corp. NV 4.01,9.01 08/01/12 GLU MOBILE INC DE 1.01,2.02,3.02,9.01 08/02/12 GlyEco, Inc. NV 5.07 07/27/12 GOOD SAM ENTERPRISES, LLC DE 8.01,9.01 08/01/12 Government Properties Income Trust MD 2.02,9.01 08/02/12 GP STRATEGIES CORP DE 2.02,9.01 08/02/12 GREEN ENERGY RENEWABLE SOLUTIONS, INC FL 5.03,8.01,9.01 07/27/12 GREER BANCSHARES INC SC 2.02,9.01 08/01/12 GRIFFON CORP DE 2.02,9.01 08/02/12 GroveWare Technologies Ltd. NV 1.01,3.02,3.03,5.02, 08/01/12 9.01 GUARANTY FEDERAL BANCSHARES INC DE 5.02,9.01 07/30/12 H&E Equipment Services, Inc. DE 2.02,8.01,9.01 08/02/12 HAEMONETICS CORP MA 2.02 08/01/12 HAEMONETICS CORP MA 5.02,5.03,5.07 07/27/12 HALCON RESOURCES CORP DE 1.01,2.01,2.03,5.02, 07/31/12 5.03,5.07,7.01,8.01, 9.01 HALCON RESOURCES CORP DE 2.02,8.01,9.01 08/02/12 HANDENI GOLD INC. NV 8.01,9.01 08/01/12 HARTE HANKS INC DE 1.01,2.02,5.02,9.01 07/30/12 HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 06/30/12 HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 08/02/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 08/01/12 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01 08/01/12 HEARTLAND FINANCIAL USA INC DE 8.01,9.01 08/02/12 HENRY SCHEIN INC DE 2.02,9.01 06/30/12 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 1.01,2.03,9.01 08/01/12 HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 08/02/12 hhgregg, Inc. DE 2.02,9.01 08/02/12 HICKORY TECH CORP MN 2.02,9.01 08/02/12 Higher One Holdings, Inc. DE 8.01 08/02/12 Hillshire Brands Co MD 4.02,9.01 08/01/12 HOME BANCSHARES INC 5.02 08/02/12 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.01,9.01 08/01/12 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 08/02/12 ICAD INC DE 2.02,9.01 08/01/12 ICAHN ENTERPRISES L.P. DE 8.01,9.01 08/01/12 ICF International, Inc. DE 2.02,9.01 08/02/12 IDACORP INC ID 2.02,7.01,9.01 08/02/12 II-VI INC PA 2.02,9.01 08/02/12 IMMERSION CORP DE 2.02,9.01 08/02/12 INCYTE CORP DE 2.02,9.01 08/02/12 INERGY L P DE 2.02,7.01,9.01 08/02/12 INERGY MIDSTREAM, L.P. 2.02,7.01,9.01 08/02/12 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 08/02/12 Inrad Optics, Inc. NJ 8.01 07/27/12 INTEGRAMED AMERICA INC DE 2.02,9.01 08/02/12 Intermec, Inc. DE 2.02,2.06,7.01,9.01 08/02/12 INTERNATIONAL FLAVORS & FRAGRANCES IN NY 8.01,9.01 08/01/12 INTERNATIONAL ISOTOPES INC TX 1.01,2.03,3.02,8.01, 07/27/12 9.01 INTRICON CORP PA 2.02,7.01,9.01 08/02/12 INVENTURE FOODS, INC. DE 2.02,9.01 08/02/12 IRIDEX CORP DE 2.02,9.01 08/02/12 Iridium Communications Inc. DE 2.02,9.01 08/02/12 IZEA, Inc. NV 3.02 05/16/12 IZEA, Inc. NV 5.02,9.01 07/31/12 J2 GLOBAL, INC. DE 2.02,7.01,9.01 08/01/12 JACKSONVILLE BANCORP INC /FL/ FL 5.02,9.01 06/14/12 AMEND JAMMIN JAVA CORP. 1.01,2.03,3.02,9.01 07/19/12 JONES LANG LASALLE INC MD 2.02,9.01 07/31/12 Jones Lang LaSalle Income Property Tr MD 7.01 08/01/12 K SWISS INC DE 2.02,9.01 08/02/12 KBW, INC. 2.02,7.01,9.01 08/02/12 KELLOGG CO DE 2.02,9.01 08/02/12 KEMPER Corp DE 5.02,9.01 08/01/12 KILROY REALTY CORP MD 2.02,9.01 08/01/12 KIMBALL INTERNATIONAL INC IN 2.02,9.01 08/02/12 Kips Bay Medical, Inc. DE 1.01,1.02,9.01 07/31/12 KITE REALTY GROUP TRUST MD 2.02,9.01 08/02/12 KLA TENCOR CORP DE 5.02,8.01,9.01 08/01/12 KNIGHT CAPITAL GROUP, INC. DE 7.01,9.01 08/02/12 Kodiak Oil & Gas Corp B0 2.02,9.01 08/02/12 KOHLS Corp WI 2.02,9.01 08/02/12 KRAFT FOODS INC VA 2.02,9.01 08/02/12 KRAFT FOODS INC VA 5.02,9.01 08/02/12 Kraton Performance Polymers, Inc. DE 2.02,7.01,9.01 08/01/12 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 08/02/12 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 07/31/12 LEAR CORP DE 2.02,9.01 08/02/12 Lender Processing Services, Inc. DE 2.02,9.01 08/02/12 Lender Processing Services, Inc. DE 8.01,9.01 08/02/12 LEUCADIA NATIONAL CORP NY 8.01,9.01 08/01/12 Liberty Global, Inc. DE 2.02,7.01 08/02/12 LIFETIME BRANDS, INC DE 1.01,1.02,2.03,9.01 08/02/12 LIGHTTOUCH VEIN & LASER INC NV 4.01,9.01 08/01/12 Limelight Networks, Inc. DE 2.02,9.01 08/02/12 LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 08/02/12 LINKEDIN CORP DE 2.02,9.01 08/02/12 LINN ENERGY, LLC DE 2.01 08/02/12 Lithium Exploration Group, Inc. NV 4.01,9.01 08/01/12 LKQ CORP DE 7.01,9.01 08/01/12 LOOKSMART LTD DE 2.02,9.01 08/02/12 LSI CORP DE 8.01,9.01 08/02/12 Lumos Networks Corp. VA 2.02,9.01 08/02/12 M/A-COM Technology Solutions Holdings DE 2.02,9.01 08/02/12 MACKINAC FINANCIAL CORP /MI/ MI 8.01 08/02/12 Macy's, Inc. DE 2.02,9.01 08/02/12 MAD CATZ INTERACTIVE INC Z4 1.01,2.03,9.01 08/01/12 MAGELLAN GOLD Corp NV 7.01,9.01 08/02/12 MAGNACHIP SEMICONDUCTOR Corp DE 2.02,9.01 08/02/12 Main Street Capital CORP MD 2.02,9.01 08/02/12 Manhattan Bancorp CA 5.02,9.01 07/27/12 MARCHEX INC DE 2.02,9.01 08/02/12 MARINEMAX INC DE 1.01,2.03,8.01,9.01 06/27/12 MARLIN BUSINESS SERVICES CORP 2.02,9.01 08/02/12 MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 08/01/12 MASTEC INC FL 2.02,7.01,9.01 08/02/12 Matson, Inc. HI 2.02,9.01 08/02/12 MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 08/01/12 MAXLINEAR INC 2.02,9.01 08/02/12 MAXWELL TECHNOLOGIES INC DE 2.02,9.01 08/02/12 MBT FINANCIAL CORP MI 2.02,9.01 08/02/12 MDU RESOURCES GROUP INC DE 2.02,7.01,9.01 08/01/12 MEADOWBROOK INSURANCE GROUP INC MI 2.02,5.02,9.01 07/27/12 MEDALLION FINANCIAL CORP DE 2.02,9.01 08/01/12 Medley Capital Corp DE 2.02,7.01,9.01 08/02/12 MEMSIC Inc 2.02,9.01 08/02/12 MERCER INTERNATIONAL INC. WA 2.02,9.01 08/02/12 MERCER INTERNATIONAL INC. WA 8.01,9.01 08/02/12 Mericol, Inc. NV 1.01,2.01,3.02,5.01, 07/27/12 5.02,5.07,9.01 MGIC INVESTMENT CORP WI 2.02,9.01 08/02/12 MICROCHIP TECHNOLOGY INC DE 2.01,8.01,9.01 08/02/12 MICROCHIP TECHNOLOGY INC DE 2.02,9.01 08/02/12 MICROSTRATEGY INC DE 2.02,9.01 07/30/12 MICROVISION INC DE 2.02,9.01 08/02/12 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 08/02/12 MIDDLESEX WATER CO NJ 2.02,9.01 08/02/12 MModal Inc. DE 1.01,9.01 08/02/12 Mobile Integrated Systems, Inc. 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DE 2.02,9.01 08/02/12 NETWORK EQUIPMENT TECHNOLOGIES INC DE 2.02,9.01 06/29/12 NeurogesX Inc CA 8.01,9.01 08/02/12 New Mountain Finance Corp DE 5.02 07/31/12 NEWS CORP 8.01,9.01 08/02/12 NewStar Financial, Inc. 2.02,9.01 08/02/12 NEWTEK BUSINESS SERVICES, INC. NY 7.01,9.01 07/31/12 NextWave Wireless Inc. DE 8.01,9.01 08/02/12 NIC INC CO 2.02,7.01,9.01 08/02/12 NICHOLAS FINANCIAL INC FL 2.02,9.01 08/02/12 NiMin Energy Corp. A0 5.02,9.01 08/01/12 Niska Gas Storage Partners LLC DE 2.02,9.01 08/02/12 NORDSTROM INC WA 7.01,9.01 08/02/12 NORFOLK SOUTHERN CORP VA 5.02 08/02/12 NORTHERN STATES POWER CO MN 1.01,1.02,2.03,9.01 07/27/12 NORTHERN STATES POWER CO /WI/ WI 1.01,1.02,2.03,9.01 07/27/12 Northern Tier Energy LLC DE 5.02,5.03,9.01 07/31/12 Northern Tier Energy LP DE 1.01,2.01,5.03,9.01 07/31/12 NORTHERN TRUST CORP DE 1.01,2.03,9.01 07/30/12 NorthStar Real Estate Income Trust, I MD 1.01,9.01 07/31/12 NORTHSTAR REALTY FINANCE CORP. MD 2.02,9.01 08/02/12 NUVASIVE INC DE 8.01 08/02/12 Obagi Medical Products, Inc. DE 5.02,9.01 08/02/12 Obagi Medical Products, Inc. DE 2.02,9.01 08/02/12 Och-Ziff Capital Management Group LLC DE 7.01 08/02/12 Och-Ziff Capital Management Group LLC DE 5.02,9.01 08/01/12 Och-Ziff Capital Management Group LLC DE 2.02,8.01,9.01 08/02/12 Oculus Innovative Sciences, Inc. CA 2.02,9.01 08/02/12 OCWEN FINANCIAL CORP FL 2.02,9.01 08/02/12 OFFICEMAX INC DE 2.02,9.01 08/02/12 OGE ENERGY CORP. OK 2.02,9.01 08/02/12 OHIO POWER CO OH 7.01 08/02/12 Ohr Pharmaceutical Inc 4.01 08/01/12 OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 08/02/12 OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 08/02/12 OMNICOMM SYSTEMS INC DE 5.07 08/02/12 Omnitek Engineering Corp CA 1.01,5.03,5.07,9.01 07/12/12 ON SEMICONDUCTOR CORP DE 2.02,5.02,8.01,9.01 08/02/12 ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 08/02/12 ONE LIBERTY PROPERTIES INC MD 1.01,2.03,9.01 07/31/12 ONLINE RESOURCES CORP DE 2.02,9.01 08/02/12 OPENTABLE INC DE 2.02,9.01 08/02/12 OPENTABLE INC DE 1.01,9.01 07/27/12 ORAGENICS INC FL 1.01,1.02,3.02,8.01, 07/30/12 9.01 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 08/01/12 Orion Marine Group Inc 2.02,9.01 08/02/12 ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 08/01/12 OVERSEAS SHIPHOLDING GROUP INC DE 2.02,8.01,9.01 08/01/12 OXFORD TECHNOLOGIES INC DE 4.01,9.01 08/01/12 PAIN THERAPEUTICS INC DE 2.02,9.01 08/02/12 PALL CORP NY 2.01,7.01,9.01 08/01/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 08/02/12 Parametric Sound Corp NV 7.01,9.01 08/02/12 PARAMETRIC TECHNOLOGY CORP MA 5.02 07/31/12 PARK ELECTROCHEMICAL CORP NY 2.05,9.01 07/27/12 PARKER DRILLING CO /DE/ DE 2.02,9.01 08/02/12 PARKER HANNIFIN CORP OH 2.02,7.01 08/01/12 PDC ENERGY, INC. NV 2.02,9.01 08/02/12 PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 08/02/12 PEER REVIEW MEDIATION & ARBITRATION I FL 4.01,9.01 01/03/12 AMEND PEETS COFFEE & TEA INC WA 2.02,7.01,9.01 08/02/12 PENN VIRGINIA CORP VA 2.02,7.01,9.01 08/01/12 PENN VIRGINIA CORP VA 1.01,9.01 07/31/12 PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 07/31/12 PERFICIENT INC DE 2.02,8.01,9.01 08/02/12 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 06/30/12 Perfumania Holdings, Inc. FL 2.02,9.01 08/02/12 PERKINELMER INC MA 2.02,9.01 08/02/12 PETROQUEST ENERGY INC DE 7.01,9.01 08/01/12 PETROQUEST ENERGY INC DE 2.02 08/02/12 PHARMACYCLICS INC DE 7.01,9.01 08/01/12 PharMerica CORP DE 2.02,9.01 08/02/12 PharMerica CORP DE 5.02 08/01/12 PHI GROUP INC NV 3.02 08/02/12 PINNACLE BANKSHARES CORP VA 2.02,9.01 07/27/12 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 08/02/12 PIONEER BANKSHARES INC/VA 8.01 08/01/12 PITNEY BOWES INC /DE/ DE 2.02,9.01 08/02/12 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 08/02/12 POOL CORP DE 7.01,9.01 08/02/12 PRAXAIR INC DE 1.01,9.01 08/01/12 PROCERA NETWORKS INC NV 2.02,9.01 08/02/12 PROGRESS ENERGY INC NC 2.02,9.01 08/02/12 PROS Holdings, Inc. DE 2.02,9.01 08/02/12 pSivida Corp. DE 8.01,9.01 08/01/12 PUBLIC SERVICE CO OF COLORADO CO 1.01,1.02,2.03,9.01 07/27/12 PUGET ENERGY INC /WA WA 5.02 08/02/12 QC Holdings, Inc. KS 1.01,2.02,5.02,8.01, 08/02/12 9.01 QLT INC/BC A1 2.02,9.01 08/02/12 QLT INC/BC A1 5.02,9.01 07/27/12 QUALITY DISTRIBUTION INC FL 9.01 06/07/12 AMEND QUALITY DISTRIBUTION INC FL 9.01 06/11/12 AMEND QUANTA SERVICES INC DE 2.02,9.01 08/02/12 QUICK-MED TECHNOLOGIES INC 5.02 07/27/12 RALCORP HOLDINGS INC /MO MO 2.02,2.05,9.01 08/01/12 REALGOLD INTERNATIONAL INC NV 4.01 08/01/12 REALPAGE INC DE 2.02,5.02,9.01 08/02/12 RECOVERY ENERGY, INC. NV 1.01,5.02,9.01 07/27/12 REDWOOD TRUST INC MD 7.01,9.01 08/02/12 REDWOOD TRUST INC MD 2.02,7.01,9.01 08/02/12 REPLIGEN CORP DE 2.02,9.01 08/02/12 RESEARCH FRONTIERS INC DE 1.01,9.01 08/02/12 RESMED INC DE 2.02,8.01,9.01 08/02/12 RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.02,9.01 06/30/12 REX AMERICAN RESOURCES Corp DE 8.01,9.01 08/02/12 Rhino Resource Partners LP DE 2.02,9.01 08/02/12 RIVERVIEW BANCORP INC WA 5.07 07/25/12 RLJ Lodging Trust MD 5.07 05/04/12 AMEND ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 08/02/12 ROPER INDUSTRIES INC DE 1.01,2.03,9.01 07/27/12 ROSS STORES INC DE 2.02,9.01 08/02/12 Rovi Corp DE 2.02,9.01 08/02/12 ROWAN COMPANIES PLC X0 2.02,9.01 08/02/12 Rubicon Technology, Inc. DE 2.02,9.01 08/02/12 S&W Seed Co NV 1.01,2.03,8.01,9.01 07/27/12 SAIA INC DE 7.01,9.01 07/27/12 SAKS INC TN 7.01,9.01 08/02/12 Sally Beauty Holdings, Inc. 2.02,7.01,9.01 08/02/12 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 08/02/12 SANDRIDGE ENERGY INC DE 2.02,9.01 08/02/12 SAUL CENTERS INC MD 2.02,9.01 08/02/12 SCANA CORP SC 2.02,9.01 08/02/12 SCIENTIFIC ENERGY INC UT 4.01,9.01 08/01/12 SCIQUEST INC DE 2.02,9.01 08/02/12 SCRIPPS E W CO /DE OH 5.02,9.01 08/01/12 Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 08/02/12 Seagate Technology plc L2 5.02 08/01/12 SEALED AIR CORP/DE DE 2.02,9.01 08/02/12 SEMPRA ENERGY CA 2.02,9.01 08/02/12 Shire plc 8.01,9.01 08/02/12 SHUFFLE MASTER INC MN 5.02 07/27/12 SKULLCANDY, INC. 2.02,5.02,9.01 08/02/12 SM Energy Co DE 2.02,9.01 08/01/12 SMART BALANCE, INC. DE 2.02,9.01 08/02/12 SOLTA MEDICAL INC DE 1.01,8.01,9.01 08/02/12 SOUTHERN CALIFORNIA GAS CO CA 2.02,9.01 08/02/12 SOUTHWEST GAS CORP CA 5.02,5.03,9.01 07/31/12 SOUTHWESTERN PUBLIC SERVICE CO NM 1.01,1.02,2.03,9.01 07/27/12 SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 08/02/12 SPARTAN MOTORS INC MI 2.02,9.01 08/02/12 Spectra Energy Corp. DE 2.02,9.01 08/02/12 Spectra Energy Partners, LP DE 2.02,9.01 08/02/12 Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 08/02/12 SquareTwo Financial Corp DE 8.01,9.01 08/02/12 ST JOE CO FL 2.02,9.01 08/02/12 STAAR SURGICAL CO DE 2.02,7.01,9.01 08/01/12 STANDARD MICROSYSTEMS CORP DE 2.01,3.01,3.03,5.01, 08/02/12 5.02,5.03,8.01,9.01 STANDEX INTERNATIONAL CORP/DE/ DE 5.02 07/30/12 STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 8.01 08/01/12 STEEL DYNAMICS INC IN 8.01,9.01 08/02/12 STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 08/02/12 STEMCELLS INC DE 2.02,9.01 08/02/12 STERIS CORP OH 2.02,9.01 08/02/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 08/01/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01,9.01 07/31/12 STRUCTURED PRODUCTS CORP CORTS TR FOR DE 8.01 08/01/12 STRUCTURED PRODUCTS CORPTIERS PRINC P DE 8.01,9.01 08/01/12 SUBURBAN PROPANE PARTNERS LP DE 1.01,2.01,2.02,2.03, 08/01/12 3.03,9.01 SUN COMMUNITIES INC MD 1.01,9.01 07/27/12 SUNOCO INC PA 2.02,9.01 08/02/12 SUNOCO LOGISTICS PARTNERS L.P. DE 2.02,9.01 08/02/12 SUNRISE SENIOR LIVING INC DE 2.02,9.01 08/02/12 Sunstone Hotel Investors, Inc. MD 2.02,9.01 08/02/12 SUPERVALU INC DE 5.02,5.03,9.01 07/29/12 SWIFT ENERGY CO 2.02,9.01 08/02/12 SYMBION INC/TN DE 5.02 08/02/12 Symmetry Medical Inc. DE 8.01,9.01 08/02/12 Symmetry Medical Inc. DE 5.01,9.01 07/27/12 SYMS CORP NJ 5.02 08/02/12 SYNAGEVA BIOPHARMA CORP DE 2.02,9.01 08/02/12 SYNALLOY CORP DE 8.01 07/27/12 SYNAPTICS INC DE 2.02,8.01,9.01 08/02/12 SYNIVERSE HOLDINGS INC DE 5.02 08/01/12 TEAM INC TX 5.02 08/02/12 TECHPRECISION CORP 7.01,9.01 08/02/12 TECO ENERGY INC FL 2.02,9.01 08/02/12 TEJON RANCH CO DE 2.02,9.01 08/02/12 TELETECH HOLDINGS INC DE 2.02,9.01 08/01/12 Tempco, Inc. NV 8.01,9.01 08/02/12 TERADATA CORP /DE/ 2.02,7.01,9.01 08/02/12 Territorial Bancorp Inc. MD 2.02,9.01 08/02/12 Territorial Bancorp Inc. MD 8.01,9.01 08/02/12 TESORO CORP /NEW/ DE 2.02,9.01 08/01/12 TESORO CORP /NEW/ DE 7.01,9.01 08/02/12 TETRA TECH INC DE 2.02,9.01 08/01/12 THESTREET, INC. DE 2.02,9.01 08/02/12 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 08/01/12 THRESHOLD PHARMACEUTICALS INC DE 2.02,9.01 08/02/12 TIME WARNER CABLE INC. DE 2.02,9.01 08/02/12 Tirex CORP 8.01,9.01 07/31/12 TMS International Corp. DE 2.02,9.01 08/02/12 TNP Strategic Retail Trust, Inc. MD 1.01,5.02,9.01 07/27/12 TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 08/02/12 TRESORO MINING CORP. NV 8.01,9.01 07/30/12 Triangle Capital CORP MD 2.02,7.01,9.01 08/01/12 TRIUMPH GROUP INC DE 9.01 07/19/12 AMEND Tropicana Las Vegas Hotel & Casino, I DE 5.02 07/30/12 TUFCO TECHNOLOGIES INC DE 1.01,9.01 07/31/12 U.S. RARE EARTH MINERALS, INC NV 5.02 07/30/12 ULTRA PETROLEUM CORP 2.02,9.01 06/30/12 ULTRALIFE CORP DE 2.02,9.01 07/01/12 UMH PROPERTIES, INC. MD 7.01,9.01 08/02/12 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 08/02/12 UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 08/02/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 08/01/12 Valeant Pharmaceuticals International A6 2.02,9.01 08/02/12 VALUECLICK INC/CA DE 2.02,9.01 08/02/12 Vanda Pharmaceuticals Inc. DE 2.02,9.01 08/02/12 VASCULAR SOLUTIONS INC MN 1.01,5.02 07/27/12 VENTAS INC DE 9.01 07/31/12 Verso Paper Corp. DE 2.05,2.06,9.01 08/02/12 VIASAT INC DE 2.02,9.01 08/02/12 VIASPACE Inc. 8.01,9.01 07/30/12 VISION INDUSTRIES CORP FL 5.02,8.01 08/01/12 VISTEON CORP DE 2.02,7.01,9.01 08/02/12 VOCERA COMMUNICATIONS, INC. 2.02,9.01 08/02/12 Volcano Corp DE 2.02 08/02/12 Walter Energy, Inc. DE 2.02,9.01 08/01/12 WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 08/02/12 Western Refining, Inc. DE 2.02,9.01 08/01/12 WESTLAKE CHEMICAL CORP 2.02,9.01 08/02/12 WESTMORELAND COAL Co DE 2.02,9.01 07/30/12 WILLIS GROUP HOLDINGS PLC L2 2.02,9.01 08/01/12 WORLD ACCEPTANCE CORP SC 5.07,8.01 07/31/12 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 08/02/12 WPX ENERGY, INC. DE 2.02 08/02/12 WSI INDUSTRIES, INC. MN 8.01,9.01 08/01/12 XATA CORP /MN/ MN 2.02,9.01 08/02/12 XCEL ENERGY INC MN 2.02,9.01 08/02/12 XCEL ENERGY INC MN 1.01,1.02,2.03,9.01 07/27/12 Xun Energy, Inc. NV 2.01,9.01 08/02/12 AMEND Xylem Inc. IN 2.02,7.01,9.01 08/02/12 ZAGG Inc NV 2.02,9.01 08/02/12 Zalicus Inc. DE 1.02 08/01/12 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 08/02/12 ZIPCAR INC 2.02,9.01 08/02/12 Zoo Entertainment, Inc DE 1.01 07/30/12 Zoom Telephonics, Inc. DE 2.02,9.01 08/01/12
http://www.sec.gov/news/digest/2012/dig080312.htm
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