 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement ProceedingsSEC Charges Silicon Valley Executive for Role in Galleon Insider Trading SchemeThe Securities and Exchange Commission today charged a former senior executive at a Silicon Valley technology company for illegally tipping convicted hedge fund manager Raj Rajaratnam with nonpublic information that allowed the Galleon hedge funds to make nearly $1 million in illicit profits. The SEC alleges that Kris Chellam tipped Rajaratnam in December 2006 with confidential details from internal company reports indicating that Xilinx Inc. would fall short of revenue projections it had previously made publicly. The tip enabled Rajaratnam to engage in short selling of Xilinx stock to illicitly benefit the Galleon funds. Chellam tipped Rajaratnam, who was a close friend, at a time when Chellam had his own substantial investment in Galleon funds and was in discussions with Rajaratnam about prospective employment at Galleon. Chellam was hired at Galleon in May 2007. Chellam, who lives in Saratoga, Calif., has agreed to pay more than $1.75 million to settle the SEC’s charges. The settlement is subject to court approval. “Chellam was entrusted with sensitive company information that he divulged to Rajaratnam knowing full well that Rajaratnam would trade on it,” said Sanjay Wadhwa, Associate Director of the SEC’s New York Regional Office and Deputy Chief of the Enforcement Division’s Market Abuse Unit. “Corporate executives who exploit company confidences for personal gain will ultimately be held accountable for their illegal acts.” According to the SEC’s complaint, filed in federal court in Manhattan, Xilinx announced in October 2006 the financial results for the second quarter of its 2007 fiscal year. Xilinx also provided guidance for the third quarter by projecting revenues of approximately $476 million to $490 million. Xilinx said it would update this revenue guidance on Dec. 7, 2006. The SEC alleges that in the weeks leading up to Xilinx’s December 7 update, Chellam received multiple reports indicating that the company’s third quarter business results were not going to be as positive as projected in October. Chellam learned on November 21 that the top end of the projected revenue range was being lowered from $490 million to $470 million. He attended a December 4 confidential executive staff meeting where the bottom end of the revenue projection was lowered from $476 million to $455 million. On December 5, Chellam telephoned Rajaratnam and tipped him about Xilinx’s worse-than-expected performance. Just minutes after the call, Galleon hedge funds controlled by Rajaratnam sold short Xilinx stock, eventually selling short more than 650,000 shares over the course of that day and the following day. According to the SEC’s complaint, the Galleon hedge funds reaped approximately $978,684 in illegal profits after the December 7 announcement by covering the substantial short position that Rajaratnam had accumulated based on Chellam’s tip. Chellam had more than $1 million invested in one of the Galleon hedge funds in which Rajaratnam placed these trades. In May 2007, Chellam became the co-managing partner of the Galleon Special Opportunities Fund, a venture capital fund that focused on investments in late-stage technology companies. Chellam continued to work at Galleon until April 2009 and continued to obtain confidential information about Xilinx’s financial performance and pass it along to Galleon colleagues. Chellam earned approximately $675,000 in total compensation during his employment at Galleon. The SEC’s complaint charges Chellam with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Section 17(a) of the Securities Act of 1933. The proposed final judgment orders Chellam to pay $675,000 in disgorgement, $106,383.05 in prejudgment interest, and a $978,684 penalty. Chellam also would be barred for a period of five years from serving as an officer or director of a public company, and permanently enjoined from future violations of these provisions of the federal securities laws. Chellam neither admits nor denies the charges. The SEC’s investigation, which is continuing, has been conducted by John Henderson and Joseph Sansone — members of the SEC’s Market Abuse Unit in New York — and Matthew Watkins, Daniel Walfish, Diego Brucculeri, and James D’Avino of the New York Regional Office. Since October 2009, the SEC has filed a substantial number of insider trading actions, charging more than 400 individuals and entities. The defendants in these actions are alleged to have made more than $600 million in illicit gains comprised of profits and the avoidance of losses. The SEC has now charged 32 defendants in its Galleon-related enforcement actions, which have exposed widespread and repeated insider trading at numerous hedge funds and by other traders, investment professionals, and corporate insiders throughout the country. The alleged insider trading has occurred in the securities of more than 15 companies for illicit profits totaling approximately $93 million. (Press Rel. 2012-216) SEC Charges Denver-Based Insurance Executive with Insider TradingThe Securities and Exchange Commission today charged an insurance company CEO with insider trading based on confidential information he obtained in advance of a private investment firm acquiring a significant stake in a Denver-based oil and gas company. The SEC alleges that Michael Van Gilder learned from a Delta Petroleum Corporation insider that Beverly Hills-based Tracinda — which has previously owned large portions of companies such as MGM Resorts International, General Motors, and Ford Motor Company — was planning to acquire a 35 percent stake in Delta Petroleum for $684 million. Van Gilder subsequently purchased Delta Petroleum stock and highly speculative options contracts. He tipped several others, encouraging them to do the same, including a pair of relatives via an e-mail with the subject line “Xmas present.” After Tracinda’s investment was publicly announced, Delta Petroleum’s stock price shot up by almost 20 percent. Van Gilder and his tippees made more than $161,000 in illegal trading profits. The U.S. Attorney’s Office for the District of Colorado today announced a parallel criminal action against Van Gilder. “Michael Van Gilder crossed the line when he took advantage of highly confidential corporate information to make trades and reap illicit profits,” said Sanjay Wadhwa, Deputy Chief of the SEC Enforcement Division’s Market Abuse Unit and Associate Director of the New York Regional Office. “He may have thought that he could get away with it, but he is faced today with the consequences of his actions.” According to the SEC’s complaint filed in federal court in Denver, Van Gilder is the CEO of Van Gilder Insurance Company. He obtained the confidential information about Tracinda’s proposed investment and loaded up on Delta Petroleum stock and options in November and December 2007. He then tipped his broker, a co-worker, and relatives. The SEC alleges that a mere two minutes after speaking to his source at Delta Petroleum on December 22, Van Gilder e-mailed two relatives with the “Xmas present” subject line and stated, “my present (just kidding) is that I can’t stress enough the opportunity right now to buy Delta Petroleum.” That same day, Van Gilder contacted his broker and arranged to purchase more Delta stock and options for himself. Following the public announcement, Van Gilder reaped approximately $109,000 in illegal profits and his broker, co-worker, and a relative made approximately $52,000. The SEC’s complaint charges Van Gilder with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and seeks a final judgment ordering him to disgorge his and his tippees’ ill-gotten gains and pay prejudgment interest and a financial penalty, and permanently enjoining him from future violations of these provisions of the federal securities laws. The SEC’s investigation, which is continuing, has been conducted by members of the SEC’s Market Abuse Unit — Michael Holland and Joseph Sansone in New York and Jeffrey Oraker and Jay Scoggins in Denver — with substantial assistance from Neil Hendelman of the New York Regional Office. Thomas Krysa, Regional Trial Counsel of the Denver Regional Office, Jeffrey Oraker and Michael Holland will handle the SEC’s litigation. The SEC thanks the U.S. Attorney’s Offices for the District of Colorado and the Southern District of New York as well as the Federal Bureau of Investigation for their assistance in this matter. (Press Rel. 2012-217) SEC v. Michael JohnsonOn October 24, 2012, the Securities and Exchange Commission charged Michael Johnson, a divisional merchandise manager at Kohl’s, which is a national department store. The complaint alleged that Johnson assisted the financial fraud at Carter’s, Inc, an Atlanta-based manufacturer of children’s clothing. Specifically, the SEC alleges that Johnson assisted Joseph Elles, a former Executive Vice President of Sales at Carter’s, in concealing his financial fraud from senior Carter’s management. That scheme caused Carter’s to materially misstate its net income and expenses in several financial reporting periods between 2004 and 2009. The SEC’s complaint, filed in the United States District Court for the Northern District of Georgia, alleges that between 2004 and 2009, Elles fraudulently manipulated the amount of discounts that Carter’s granted to Kohl’s, Carter’s largest wholesale customer in order to induce Kohl’s to purchase greater quantities of Carter’s clothing for resale. In an effort to conceal the scheme, Elles persuaded Kohl’s to defer subtracting the discounts from payments until later periods. Elles also persuaded Johnson, who handled the Carter’s account at Kohl’s to sign a false confirmation that misrepresented to Carter’s accounting personnel the timing and amount of those discounts. By concealing the amount of discounts that had been promised to Kohl’s, Elles and Johnson caused Carter’s to materially understate it expenses in certain quarters and materially overstate its earnings in those quarters. After conducting its own internal investigation, Carter’s was required to issue restated financial results for the affected periods. The SEC’s complaint alleges that Johnson violated Rule 13b-2 of the Securities Exchange Act of 1934 ("Exchange Act"), which prohibits any person from directly or indirectly falsifying or causing to be falsified an issuer’s accounting records. The complaint also alleges that Johnson aided and abetted Elles’ violations of Section 13b(5) of the Exchange Act, which among other things, prohibits any person from knowingly falsifying the books, records and/or accounts of an issuer, and Rule 13b2-1 thereunder. The SEC is seeking permanent injunctive relief and financial penalties against Johnson. This is the third case that the SEC has filed in this continuing investigation. The Commission previously charged Joseph Elles (see SEC v. Joseph Elles, Litigation Release No. 21784 / December 20, 2010) and Joseph Pacifico (see Litigation Release No. 22517 / October 19, 2012). When the Commission announced the first case, the Commission also announced that it had entered into a non-prosecution agreement with Carter’s, based in part on Carter's prompt and complete self-reporting of the misconduct to the SEC, its exemplary and extensive cooperation in the investigation, including undertaking a thorough and comprehensive internal investigation, and Carter's extensive and substantial remedial actions. See Release No. 2010-252/ December 20, 2010. Pursuant to that agreement, Carter’s has continued to cooperate during the Commission’s continuing investigation. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Northern District of Georgia and the Federal Bureau of Investigation in this matter. [SEC v. Michael Johnson, Civil Action No. 1:12-CV-03709 (U.S. District Court for the Northern District of Georgia)] ( LR-22520; AAE Rel. 3421) SEC Charges MedLink International and Two Executives With Fraudulent FilingThe Securities and Exchange Commission today announced that it filed a civil injunctive action against MedLink International, Inc., its CEO, Aurelio Vuono, and its CFO, James Rose, accusing them of filing an annual report falsely stating that its audit had been completed and defrauding a MedLink investor. MedLink’s principal office is in Hauppauge, New York, and it purports to be a healthcare information technology company. Vuono, age 46 and a recidivist securities law violator, resides in Huntington Station, New York. Rose, age 33, resides in Hauppauge, New York. The Commission’s complaint, filed October 24, 2012 in U.S. District Court in Brooklyn, New York, alleges that on April 25, 2011, MedLink filed with the Commission an annual report on Form 10-K for the year ended December 31, 2010. Included in the filing was an audit report with the electronic signature of MedLink’s auditor, which stated that the auditor had conducted an audit of MedLink’s financial statements for the years ended December 31, 2009 and 2010. The complaint alleges that the Form 10-K was false and misleading because the audit had not been completed, and the auditor had not authorized MedLink to include the audit report or to use its electronic signature. The complaint also alleges that the Form 10-K was false and misleading because it contained the electronic signature of MedLink’s founder and director, even though the director had not reviewed it nor authorized use of his electronic signature. The complaint further alleges that in approximately April 2011, a MedLink investor agreed to purchase 210,526 shares of MedLink stock for $149,473.50. Vuono promised the investor that MedLink would delay this purchase and not cash the investor’s check until the investor had sufficient funds in his checking account. Shortly thereafter, the investor informed Vuono and Rose that MedLink was not authorized to cash the check and instructed MedLink to return it. Instead of returning the check, Rose deposited it in MedLink’s bank account. Despite repeated requests, MedLink did not return the investor’s money or issue any MedLink stock to the investor. The Commission’s complaint charges: MedLink, Vuono and Rose with violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5; MedLink with violations of Section 15(d) of the Exchange Act and Rules 12b-20 and 15d-1; Vuono and Rose with violations of Exchange Act Rule 15d-14; and Vuono and Rose with aiding and abetting MedLink’s violations of Section 17(a) of the Securities Act, Sections 10(b) and 15(d) of the Exchange Act and Rules10b-5, 12b-20 and 15d-1. The Commission is seeking against MedLink, Vuono and Rose permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest to be paid jointly and severally, and civil monetary penalties. The Commission is also seeking against Vuono and Rose officer and director and penny stock bars. [SEC v. MedLink International, Inc., Aurelio Vuono and James Rose, Civil Action No. 12 Civ. 5325 (E.D.N.Y.)] (LR-22521; AAE Rel. 3422) INVESTMENT COMPANY ACT RELEASESOrders of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company:
Washington National Variable Annuity Fund BAn order has been issued pursuant to Section 8(f) of the Investment Company Act of 1940 declaring that Washington National Variable Annuity Fund B has ceased to be an investment company. (Rel. ( IC-30251 - October 24) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangeBATS Exchange, Inc. filed a proposed rule change (SR-BATS-2012-042) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to list and trade shares of the iShares Sovereign Screened Global Bond Fund. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68094) Approval of Proposed Rule ChangesThe Commission has approved a proposed rule change (SR-CBOE-2012-085) filed by the Chicago Board Options Exchange, Incorporated to modify its complex order auction (COA) procedures to provide that a request for response (RFR) message will identify the side of the market of an order that is subject to COA and to clarify that RFR responses must be on the opposite side of the market from the COA order. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68095) The Commission has approved a proposed rule change (SR-C2-2012-030) filed by the C2 Options Exchange, Incorporated to modify its complex order auction (COA) procedures to provide that a request for response (RFR) message will identify the side of the market of an order that is subject to COA and to clarify that RFR responses must be on the opposite side of the market from the COA order. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68096) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEARCA-2012-115) amending the NYSE Arca Options Fee Schedule to change the monthly cost for Options Trading Permits has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68099) A proposed rule change filed by CBOE Futures Exchange, LLC to adopt and amend certain rules that are applicable to security futures (SR-CFE-2012-001) has become effective pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68100) A proposed rule change (SR-CBOE-2012-097) filed by the Chicago Board Options Exchange, Incorporated to amend the Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68105) Accelerated Approval of Proposed Rule ChangeThe Options Clearing Corporation (“OCC”) filed a proposed rule change (SR-OCC-2012-16) under Section 19(b)(1) of the Securities Exchange Act of 1934 to accommodate equity options that have a unit of trading of 10 shares. The proposed rule change has been approved on an accelerated basis pursuant to Section 19(b)(2) of the Exchange Act. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68104) 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 LOGITECH INTERNATIONAL SA, 6505 KAISER DR, C/O LOGITECH INC, FREMONT, CA, 94555, 5107958500 - 7,300,000 ($63,364,000.00) Equity, (File 333-184583 - Oct. 25) (BR. 03B) S-3ASR HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6317302200 - 0 ($0.00) Equity, (File 333-184584 - Oct. 25) (BR. 04A) S-8 NOVA MEASURING INSTRUMENTS LTD, PO BOX 266, 011-972-8-938-7505, REHOVOT ISRAEL, L3, 76100, 1,000,000 ($7,170,000.00) Equity, (File 333-184585 - Oct. 25) (BR. 10B) S-3ASR TEXAS CAPITAL BANCSHARES INC/TX, 2000 MCKINNEY AVE, SUITE 700, DALLAS, TX, 75201, 2149326600 - 0 ($203,000,000.00) Unallocated (Universal) Shelf, (File 333-184586 - Oct. 25) (BR. 07C) N-2 Flaherty & Crumrine Preferred & Income Allocation Fund Inc, 626-795-7300 - 50,000 ($1,000,000.00) Equity, (File 333-184587 - Oct. 25) (BR. ) S-8 ORAGENICS INC, 12085 RESEARCH DRIVE, ALACHUA, FL, 32615, 3864184018 - 2,875,000 ($5,893,750.00) Equity, (File 333-184588 - Oct. 25) (BR. 01B) N-2 CREDIT SUISSE ASSET MANAGEMENT INCOME FUND INC, ONE MADISON AVENUE, NEW YORK, NY, 10010, 212-325-2000 - 0 ($40,000,000.00) Equity, (File 333-184589 - Oct. 25) (BR. 17) S-8 DYNEGY INC., 601 TRAVIS, SUITE 1400, HOUSTON, TX, 77002, (713) 507-6400 - 0 ($113,659,879.68) Equity, (File 333-184590 - Oct. 25) (BR. 02C) S-3 TRANSWITCH CORP /DE, THREE ENTERPRISE DRIVE, SHELTON, CT, 06484, 2039298810 - 20,000,000 ($20,000,000.00) Equity, (File 333-184591 - Oct. 25) (BR. 10B) S-3 Heritage Financial Group Inc, 721 NORTH WESTOVER BOULEVARD, ALBANY, GA, 31707, 229-420-0000 - 0 ($60,000,000.00) Equity, (File 333-184592 - Oct. 25) (BR. 07B) S-4 SYNERGY PHARMACEUTICALS, INC., 420 LEXINGTON AVENUE, SUITE 1609, NEW YORK, NY, 10170, 212-297-0010 - 0 ($121,388,567.75) Equity, (File 333-184593 - Oct. 25) (BR. 01A) S-1 Westbury Bancorp, Inc., 200 SOUTH MAIN STREET, WEST BEND, WI, 53095, (262) 334-5563 - 0 ($46,750,380.00) Equity, (File 333-184594 - Oct. 25) (BR. ) S-8 CADENCE DESIGN SYSTEMS INC, 2655 SEELY ROAD BLDG 5, SAN JOSE, CA, 95134, 4089431234 - 500,000 ($6,140,000.00) Equity, (File 333-184595 - Oct. 25) (BR. 03C) 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
-----------------------------------------------------------------------------------------
1 800 FLOWERS COM INC DE 2.02,9.01 10/25/12
1ST SOURCE CORP IN 2.02,9.01 10/25/12
3D SYSTEMS CORP DE 2.02,7.01,9.01 10/25/12
AARON'S INC GA 2.02,9.01 10/25/12
ABSOLUTE LIFE SOLUTIONS, INC. NV 5.02,8.01 10/24/12
ACCESS PHARMACEUTICALS INC DE 7.01,9.01 10/25/12
ACME PACKET INC DE 2.02,9.01 10/25/12
ACXIOM CORP DE 2.02,9.01 10/25/12
ADT Corp DE 8.01,9.01 10/25/12
AETNA INC /PA/ PA 2.02,9.01 10/25/12
AGCO CORP /DE DE 5.02 10/25/12
AGENUS INC DE 2.02,9.01 10/25/12
AKORN INC LA 8.01,9.01 10/24/12
ALASKA AIR GROUP, INC. DE 2.01,7.01,9.01 10/24/12
Aleris International, Inc. DE 1.01,2.03,9.01 10/23/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 10/25/12
ALLIANCE FIBER OPTIC PRODUCTS INC CA 8.01,9.01 10/25/12
ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,5.02,7.01,9.01 10/19/12
ALLIANCEBERNSTEIN L.P. DE 2.02,5.02,7.01,9.01 10/19/12
Alphatec Holdings, Inc. DE 1.01,3.02 10/19/12
Altisource Portfolio Solutions S.A. N4 2.02,9.01 10/25/12
Altra Holdings, Inc. DE 2.02,9.01 10/25/12
ALTRIA GROUP, INC. VA 2.02,8.01,9.01 10/23/12
AMAZON COM INC DE 2.02,9.01 10/25/12
AMERICAN BIO MEDICA CORP NY 4.01,9.01 10/24/12
AMERICAN CAMPUS COMMUNITIES INC MD 1.01,7.01,9.01 10/25/12
AMERICAN CAMPUS COMMUNITIES INC MD 2.01,9.01 09/14/12 AMEND
AMERICAN EXPRESS CREDIT CORP DE 2.02 10/25/12
American Railcar Industries, Inc. ND 2.02,9.01 10/24/12
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 2.03,9.01 10/25/12
AMKOR TECHNOLOGY INC DE 2.02,9.01 10/25/12
AMPHENOL CORP /DE/ DE 2.02,9.01 10/25/12
ANGIODYNAMICS INC DE 5.02,5.07,9.01 10/22/12
Anthera Pharmaceuticals Inc DE 2.02,9.01 10/24/12
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 10/25/12
AOL Inc. DE 5.02 10/24/12
APOGEE ENTERPRISES, INC. MN 1.01,2.03,9.01 10/19/12
APOLLO GROUP INC AZ 5.02 10/19/12
APPLE INC CA 2.02,9.01 10/25/12
Apple REIT Ten, Inc. VA 8.01 10/22/12
ARCTIC CAT INC MN 2.02,9.01 10/25/12
Arista Power, Inc. NY 1.01,8.01,9.01 10/24/12
AUDIENCE INC 2.02,9.01 10/25/12
AUTONATION, INC. DE 2.02,9.01 10/25/12
AUTOVATIVE PRODUCTS INC NV 4.01,9.01 10/22/12
AVNET INC NY 2.02,9.01 10/25/12
AVX Corp DE 2.02,9.01 10/25/12
AXCESS INTERNATIONAL INC/TX DE 4.01,5.02,5.03,5.07, 09/28/12 AMEND
8.01,9.01
BALL CORP IN 2.02,9.01 10/25/12
Bank of New York Mellon CORP DE 8.01,9.01 10/25/12
BankUnited, Inc. DE 2.02,9.01 10/25/12
BAR HARBOR BANKSHARES ME 2.02 10/25/12
BARD C R INC /NJ/ NJ 8.01 10/25/12
BARNES GROUP INC DE 5.03,7.01,9.01 10/19/12
BEMIS CO INC MO 2.02,9.01 10/25/12
Beneficial Mutual Bancorp Inc X1 2.02,9.01 10/25/12
BERKSHIRE HILLS BANCORP INC DE 2.02,3.01,8.01,9.01 10/23/12
BIOGEN IDEC INC. DE 2.02,9.01 10/25/12
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 10/25/12
BJs RESTAURANTS INC CA 2.02,9.01 10/25/12
Blue Earth, Inc. NV 7.01,9.01 10/25/12
BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 10/25/12
BRANDYWINE REALTY TRUST MD 2.02,9.01 10/24/12
BRINKS CO VA 2.02,7.01,9.01 10/25/12
BROOKLINE BANCORP INC DE 2.02,9.01 10/24/12
BRUNSWICK CORP DE 2.02,9.01 10/25/12
BRYN MAWR BANK CORP PA 2.02,9.01 10/25/12
BUCKEYE TECHNOLOGIES INC DE 5.07,9.01 10/23/12
BUILD A BEAR WORKSHOP INC DE 2.02,9.01 10/25/12
Bunge LTD 2.02,9.01 10/25/12
CA, INC. DE 2.02,9.01 10/25/12
CABELAS INC DE 2.02,7.01,9.01 10/25/12
CABOT MICROELECTRONICS CORP DE 2.02,9.01 10/25/12
CALIX, INC 2.02,9.01 10/25/12
CALLAWAY GOLF CO DE 2.02,9.01 10/25/12
CAMCO FINANCIAL CORP DE 2.02,9.01 10/25/12
CAN CAL RESOURCES LTD NV 8.01 10/25/12
Cape Bancorp, Inc. MD 2.02,9.01 10/24/12
CAPSTEAD MORTGAGE CORP MD 2.02,9.01 10/24/12
CARBO CERAMICS INC DE 2.02,9.01 10/25/12
Carbonite Inc DE 2.02,9.01 10/25/12
CARTERS INC DE 2.02,9.01 10/25/12
CASH AMERICA INTERNATIONAL INC TX 2.02,7.01,9.01 10/25/12
Cavitation Technologies, Inc. 5.02 10/22/12
CBEYOND, INC. 5.02,9.01 10/22/12
CC Media Holdings Inc 1.01,2.03,8.01,9.01 10/22/12
CELGENE CORP /DE/ DE 2.02,9.01 10/25/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02,5.03,8.01,9.01 10/23/12
CENTRAL PACIFIC FINANCIAL CORP HI 2.02,9.01 09/30/12
CERNER CORP /MO/ DE 2.02,9.01 10/25/12
CERUS CORP DE 5.02,8.01 10/19/12
CHAMPION INDUSTRIES INC WV 1.01,2.03,9.01 10/24/12
CHARLES & COLVARD LTD NC 1.01,2.01,9.01 10/19/12
CHARLES & COLVARD LTD NC 2.02,9.01 10/25/12
Chefs' Warehouse, Inc. DE 1.01,7.01,9.01 08/10/12 AMEND
CHICOPEE BANCORP, INC. 2.02,9.01 10/25/12
CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 10/24/12
CHUBB CORP NJ 2.02,9.01 10/25/12
CINCINNATI FINANCIAL CORP OH 2.02,9.01 10/25/12
CIRCLE STAR ENERGY CORP. NV 7.01,9.01 10/25/12
CITIZENS REPUBLIC BANCORP, INC. MI 2.02,8.01,9.01 10/25/12
CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,9.01 10/25/12
CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,2.03,8.01,9.01 10/22/12
Clearwire Corp /DE DE 2.02,8.01,9.01 10/25/12
CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 10/24/12
CLOUD PEAK ENERGY INC. DE 2.02,9.01 10/25/12
CME GROUP INC. DE 2.02,9.01 09/30/12
CMS ENERGY CORP MI 2.02,9.01 10/25/12
CNS RESPONSE, INC. DE 1.01,2.03,3.02 10/19/12
COCA-COLA ENTERPRISES, INC. DE 2.02 10/25/12
COHU INC DE 2.02,8.01,9.01 10/24/12
COINSTAR INC DE 2.02,9.01 10/25/12
COINSTAR INC DE 8.01 10/19/12
Colfax CORP DE 2.02,9.01 10/25/12
COLGATE PALMOLIVE CO DE 2.02,2.05,9.01 10/24/12
COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 10/25/12
COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 10/25/12
COLUMBIA LABORATORIES INC DE 3.01,9.01 10/24/12
COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 10/25/12
COLUMBUS MCKINNON CORP NY 2.02,9.01 10/25/12
CombiMatrix Corp DE 1.01,9.01 10/21/12
COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 10/25/12
CONOCOPHILLIPS DE 2.02,9.01 10/25/12
CONSOL Energy Inc DE 2.02,7.01,9.01 10/25/12
CONSOLIDATED WATER CO LTD E6 8.01 10/22/12
Constant Contact, Inc. DE 2.02,9.01 10/25/12
CONVERGYS CORP OH 5.02,9.01 10/23/12
CORNERSTONE BANCSHARES INC TN 2.02,9.01 10/24/12
Corporate Capital Trust, Inc. MD 2.02 10/25/12
CORPORATE OFFICE PROPERTIES TRUST MD 2.02,9.01 10/25/12
CORTLAND BANCORP INC OH 8.01,9.01 10/23/12
CRA INTERNATIONAL, INC. MA 2.02,9.01 10/25/12
CREE INC NC 5.02,5.07,9.01 10/23/12
CROSS A T CO RI 2.02 10/24/12
CROWN CASTLE INTERNATIONAL CORP DE 2.02,9.01 10/24/12
CSS INDUSTRIES INC DE 2.02,9.01 10/23/12
DATALINK CORP MN 2.02,9.01 10/25/12
DAYSTAR TECHNOLOGIES INC DE 5.02 10/25/12
DECKERS OUTDOOR CORP DE 2.02,9.01 10/25/12
DEL TORO SILVER CORP. NV 1.01,9.01 10/10/12
DELTA APPAREL, INC GA 2.02,7.01,9.01 10/25/12
DELUXE CORP MN 2.02,9.01 10/25/12
DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 10/24/12
DEVRY INC DE 2.02,9.01 10/25/12
DEVRY INC DE 2.05 10/23/12
DEX ONE Corp DE 2.02,7.01,8.01,9.01 10/25/12
DFC GLOBAL CORP. DE 2.02,9.01 10/25/12
Diamond Foods Inc DE 8.01 10/25/12
Diamond Foods Inc DE 4.02,8.01,9.01 10/24/12
DIEBOLD INC OH 2.02,9.01 10/25/12
Digimarc CORP OR 2.02,7.01,9.01 10/25/12
DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 10/25/12
DOMINION RESOURCES INC /VA/ VA 2.02,9.01 10/25/12
Domtar CORP DE 2.02,9.01 10/25/12
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 10/25/12
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 7.01 10/24/12
DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 10/25/12
DOVER MOTORSPORTS INC DE 7.01 10/24/12
DPL INC OH 1.01,9.01 10/19/12
DreamWorks Animation SKG, Inc. 3.01,5.02,9.01 10/24/12
Duff & Phelps Corp DE 2.02,9.01 10/25/12
DUN & BRADSTREET CORP/NW DE 2.02,7.01,8.01,9.01 10/25/12
DUNKIN' BRANDS GROUP, INC. DE 2.02,8.01,9.01 10/25/12
EASTMAN CHEMICAL CO DE 2.02,9.01 10/25/12
Echo Global Logistics, Inc. DE 2.02,9.01 10/25/12
ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 10/25/12
Education Realty Trust, Inc. MD 2.02,7.01,9.01 10/25/12
eHealth, Inc. DE 2.02,9.01 09/30/12
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,9.01 10/25/12
EMCOR GROUP INC DE 2.02,9.01 10/25/12
EMULEX CORP /DE/ DE 2.02,9.01 10/25/12
ENB Financial Corp PA 8.01,9.01 10/25/12
ENCORE WIRE CORP DE 2.02,7.01,9.01 10/24/12
Endeavor Power Corp NV 4.01,9.01 10/23/12
ENDOLOGIX INC /DE/ DE 2.02,9.01 10/25/12
ENERGEN CORP AL 2.02,7.01,9.01 10/24/12
Energy Recovery, Inc. DE 8.01 10/19/12
ENOVA SYSTEMS INC CA 3.01 10/24/12
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 10/25/12
Entertainment Art, Inc. NV 5.01,5.02,8.01 10/19/12
EQT Corp PA 2.02,9.01 10/25/12
EQT Midstream Partners, LP DE 2.02,9.01 10/25/12
EQUITY ONE, INC. 1.01,2.04,9.01 10/22/12
EQUITY RESIDENTIAL MD 2.02,9.01 10/24/12
ESSA Bancorp, Inc. PA 2.02,9.01 10/24/12
EVANS BANCORP INC NY 2.02,9.01 10/25/12
Evercore Partners Inc. DE 2.02,9.01 10/25/12
EVOLVING SYSTEMS INC DE 2.03,9.01 10/22/12
Expedia, Inc. DE 2.02,8.01,9.01 10/25/12
FBR & Co. VA 8.01 10/24/12
Federal Home Loan Bank of Atlanta X1 2.03 10/22/12
Federal Home Loan Bank of Boston X1 2.03 10/22/12
Federal Home Loan Bank of Chicago X1 2.03 10/23/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/22/12
Federal Home Loan Bank of Dallas 2.03,9.01 10/19/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/23/12
Federal Home Loan Bank of Indianapoli X1 1.01,9.01 10/25/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/25/12
Federal Home Loan Bank of New York X1 2.03,9.01 10/23/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/22/12
Federal Home Loan Bank of San Francis X1 2.03 10/22/12
Federal Home Loan Bank of Topeka 2.03,9.01 10/22/12
FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 10/25/12
FEDERATED INVESTORS INC /PA/ PA 2.02,9.01 10/25/12
FIDELITY D & D BANCORP INC PA 2.02,9.01 10/24/12
Fifth & Pacific Companies, Inc. DE 2.02,9.01 10/25/12
First American Financial Corp DE 2.02,9.01 10/25/12
First California Financial Group, Inc DE 2.02,9.01 10/25/12
FIRST CORP /CN/ CO 8.01 10/25/12
FIRST FINANCIAL BANCORP /OH/ OH 2.02,9.01 10/25/12
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,9.01 10/25/12
FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,9.01 10/24/12
FIRST MERCHANTS CORP IN 2.02,9.01 10/25/12
FIRST MERCHANTS CORP IN 2.02,9.01 10/25/12
FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 10/25/12
FLIR SYSTEMS INC OR 2.02,9.01 10/25/12
FORD MOTOR CO DE 2.05,9.01 10/25/12
FORRESTER RESEARCH INC DE 2.02,5.02,8.01,9.01 10/24/12
FRANKLIN RESOURCES INC DE 2.02,9.01 10/25/12
Freescale Semiconductor, Ltd. D0 2.02,9.01 10/25/12
FRISCHS RESTAURANTS INC OH 2.02,9.01 10/25/12
FX ENERGY INC NV 8.01,9.01 10/25/12
Gala Global Inc. NV 5.02,8.01 10/19/12
GALTECH SEMICONDUCTOR MATERIALS CO UT 5.02 10/19/12
Generation Zero Group, Inc. 4.01,9.01 10/25/12
GenOn Energy, Inc. DE 8.01,9.01 10/24/12
Genpact LTD D0 1.01,5.02,8.01,9.01 10/25/12
Georgia-Carolina Bancshares, Inc GA 7.01,9.01 10/25/12
GFI Group Inc. DE 2.02,9.01 10/25/12
GLIMCHER REALTY TRUST MD 1.01,2.03 10/25/12
GLOBAL PARTNERS LP 7.01,9.01 10/25/12
Goliath Film & Media Holdings 8.01 10/17/12
Golub Capital BDC, Inc. DE 2.02,9.01 10/24/12
GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 10/25/12
GRAPHIC PACKAGING HOLDING CO DE 2.02,9.01 10/25/12
GREATBATCH, INC. DE 2.02,9.01 10/25/12
Green Energy Management Services Hold DE 5.03,8.01,9.01 10/15/12
GROUP 1 AUTOMOTIVE INC DE 2.02,9.01 10/25/12
H&R BLOCK INC MO 1.01,8.01,9.01 10/22/12
HANCOCK HOLDING CO MS 2.02,9.01 10/25/12
HARTE HANKS INC DE 2.02,9.01 10/25/12
HEALTH DISCOVERY CORP 2Q 1.01,5.02 10/21/12
HEALTHSOUTH CORP DE 2.02,7.01,9.01 10/25/12
HERCULES OFFSHORE, INC. DE 2.02,9.01 10/25/12
HERITAGE BANKSHARES INC /VA VA 2.02,8.01,9.01 10/24/12
Heritage Financial Group Inc MD 2.02,8.01,9.01 10/25/12
HERITAGE OAKS BANCORP CA 2.02,9.01 10/25/12
HERSHEY CO DE 2.02,8.01,9.01 10/25/12
Hill-Rom Holdings, Inc. IN 2.02,9.01 10/25/12
HITTITE MICROWAVE CORP 2.02,9.01 10/25/12
HMN FINANCIAL INC DE 2.02,9.01 10/22/12
Home Federal Bancorp, Inc. of Louisia LA 2.02,9.01 10/25/12
HomeStreet, Inc. WA 5.03,8.01,9.01 10/25/12
IDEX CORP /DE/ DE 7.01,9.01 10/23/12
IGEN NETWORKS CORP NV 2.01 10/19/12
IKANOS COMMUNICATIONS CA 2.02,9.01 10/25/12
IMAX CORP A6 2.02,9.01 10/25/12
INDEPENDENT BANK CORP MA 1.01,2.03,9.01 10/19/12
INFORMATICA CORP DE 2.02,9.01 10/25/12
INGRAM MICRO INC DE 2.02,9.01 10/25/12
Ingredion Inc DE 1.01,1.02,2.03,9.01 10/22/12
Ingredion Inc DE 2.02,9.01 10/25/12
INSULET CORP DE 5.02,9.01 10/24/12
INTER PARFUMS INC DE 7.01 10/25/12
INTERMOLECULAR INC DE 2.02,9.01 10/25/12
INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 10/25/12
INTERNATIONAL PAPER CO /NEW/ NY 2.02,7.01,9.01 10/24/12
INTERPHASE CORP TX 2.02,2.05,9.01 10/19/12
INVACARE CORP OH 2.02,9.01 10/25/12
InvenSense Inc DE 5.02,9.01 10/23/12
IPC The Hospitalist Company, Inc. DE 2.02,9.01 10/25/12
ITT EDUCATIONAL SERVICES INC DE 2.02,9.01 10/25/12
IXYS CORP /DE/ DE 2.02,9.01 10/25/12
JANUS CAPITAL GROUP INC DE 2.02,9.01 10/25/12
Janus Resources, Inc. NV 5.02,7.01 10/22/12
JETBLUE AIRWAYS CORP DE 2.02 10/25/12
JETBLUE AIRWAYS CORP DE 7.01,9.01 10/25/12
JOURNAL COMMUNICATIONS INC 2.02,9.01 10/25/12
Kaiser Federal Financial Group, Inc. MD 8.01,9.01 10/24/12
Kaiser Federal Financial Group, Inc. MD 5.07 10/24/12
KBS Real Estate Investment Trust, Inc MD 8.01 10/24/12
KENNAMETAL INC PA 5.02,9.01 10/23/12
KIRBY CORP NV 2.02,9.01 10/24/12
Kiwibox.Com, Inc. DE 7.01,9.01 10/25/12
KKR Financial Holdings LLC DE 2.02,8.01,9.01 10/25/12
KLA TENCOR CORP DE 2.02,9.01 10/25/12
KOSS CORP DE 2.02,9.01 10/24/12
LAKELAND FINANCIAL CORP IN 2.02,9.01 10/25/12
LAMAR MEDIA CORP/DE DE 7.01,8.01,9.01 10/25/12
LANCASTER COLONY CORP OH 2.02,9.01 10/25/12
Landmark Apartment Trust of America, 2.01,2.03,9.01 08/28/12 AMEND
LANDSTAR SYSTEM INC DE 2.02,9.01 10/25/12
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 10/25/12
Lazard Group LLC DE 2.05,5.02,9.01 10/24/12
Lazard Ltd D0 2.02,2.05,5.02,9.01 10/24/12
LIBBEY INC DE 2.02,9.01 10/25/12
Liberty Global, Inc. DE 7.01 10/25/12
LIFE PARTNERS HOLDINGS INC TX 5.02,9.01 10/25/12
Lifevantage Corp CO 8.01,9.01 10/25/12
LINN ENERGY, LLC DE 2.02,9.01 10/25/12
LINN ENERGY, LLC DE 9.01 10/25/12
LKQ CORP DE 2.02,9.01 10/22/12
LODGENET INTERACTIVE CORP DE 5.02 10/25/12
LOGITECH INTERNATIONAL SA 2.02,9.01 10/24/12
LSI INDUSTRIES INC OH 2.02,9.01 10/25/12
Lustros Inc. UT 1.01 10/18/12
Lustros Inc. UT 7.01,9.01 10/25/12
Lyynks Inc. NV 3.02 10/16/12
M I HOMES INC OH 2.02,9.01 10/25/12
MABCURE INC. NV 5.02 10/24/12
MACATAWA BANK CORP MI 2.02,9.01 09/30/12
MACERICH CO MD 1.01 10/21/12
MACK CALI REALTY CORP MD 2.02,7.01,9.01 10/24/12
MADISON GAS & ELECTRIC CO WI 5.03,9.01 10/25/12
MATERION Corp 2.02,9.01 10/25/12
MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 10/24/12
MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 10/25/12
MAXWELL TECHNOLOGIES INC DE 2.02,9.01 10/25/12
MB FINANCIAL INC /MD 2.02,9.01 10/24/12
MCCLATCHY CO DE 9.01 10/25/12
MCKESSON CORP DE 2.02,9.01 10/25/12
MCKESSON CORP DE 8.01,9.01 10/25/12
Mead Johnson Nutrition Co DE 2.02,9.01 10/25/12
MEDIVATION, INC. DE 8.01 10/25/12
MERCHANTS BANCSHARES INC DE 2.02,9.01 10/24/12
MEREDITH CORP IA 2.02,9.01 10/25/12
MEREDITH CORP IA 2.02,9.01 10/25/12
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 10/25/12
Meritage Homes CORP MD 2.02,9.01 10/25/12
MICREL INC CA 2.02,9.01 10/25/12
MICROFINANCIAL INC MA 2.02,9.01 10/24/12
MICROS SYSTEMS INC MD 2.02,9.01 10/25/12
MIDDLEFIELD BANC CORP OH 2.02,9.01 10/25/12
MIDDLESEX WATER CO NJ 2.02,9.01 10/25/12
MidWestOne Financial Group, Inc. IA 2.02,9.01 10/25/12
MISSION BROADCASTING INC DE 1.01,9.01 10/23/12
Morningstar, Inc. IL 2.02,9.01 10/24/12
MRC GLOBAL INC. DE 2.04,7.01,9.01 10/24/12
MultiCell Technologies, Inc. DE 1.01,9.01 10/23/12
MUTUALFIRST FINANCIAL INC MD 2.02,9.01 10/25/12
MYLAN INC. PA 2.02,9.01 10/25/12
NATIONAL HEALTHCARE CORP DE 1.01,9.01 10/24/12
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 10/25/12
NATIONAL OILWELL VARCO INC DE 2.02,9.01 10/25/12
Nationstar Mortgage Holdings Inc. DE 1.01 10/19/12
NEOGEN CORP MI 5.07 10/04/12
NEOMAGIC CORP DE 1.01,3.02,7.01,9.01 10/24/12
NeoStem, Inc. DE 5.03,8.01,9.01 10/25/12
NETGEAR, INC DE 2.02,9.01 10/25/12
NetSpend Holdings, Inc. DE 8.01 10/25/12
NETSUITE INC DE 2.02,9.01 10/25/12
NeuroMetrix, Inc. DE 2.02,9.01 10/25/12
NEW YORK TIMES CO NY 2.02,9.01 10/25/12
NEWS CORP 8.01,9.01 10/25/12
NEXSTAR BROADCASTING GROUP INC DE 1.01,9.01 10/23/12
NEXSTAR BROADCASTING GROUP INC DE 1.01,8.01,9.01 10/24/12
NGL Energy Partners LP DE 1.01,9.01 10/23/12
NL INDUSTRIES INC NJ 7.01,9.01 10/24/12
NOBLE ENERGY INC DE 2.02,9.01 10/25/12
NORFOLK SOUTHERN CORP VA 5.07 10/25/12 AMEND
NORTH BAY RESOURCES INC DE 1.01,9.01 10/24/12
NRG ENERGY, INC. DE 8.01,9.01 10/24/12
NuStar Energy L.P. DE 2.02,9.01 10/25/12
NuStar GP Holdings, LLC DE 2.02,9.01 10/25/12
O REILLY AUTOMOTIVE INC 2.02,9.01 10/24/12
Oaktree Capital Group, LLC DE 7.01 10/25/12
OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01,9.01 10/25/12
OCWEN FINANCIAL CORP FL 8.01 10/25/12
OHIO VALLEY BANC CORP OH 2.02,9.01 09/30/12
OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 10/25/12
OMNICELL, Inc CA 2.02,9.01 10/25/12
ON ASSIGNMENT INC DE 2.02,9.01 10/25/12
ONEOK INC /NEW/ OK 7.01,8.01,9.01 10/25/12
ONEOK Partners LP DE 7.01,8.01,9.01 10/25/12
ORACLE CORP 8.01,9.01 10/18/12
ORAGENICS INC FL 5.02,5.07,9.01 10/23/12
Orexigen Therapeutics, Inc. DE 8.01,9.01 10/25/12
Oritani Financial Corp DE 2.02,9.01 10/25/12
OSAGE EXPLORATION & DEVELOPMENT INC DE 7.01,9.01 10/24/12
Ottawa Savings Bancorp, Inc. X1 5.02,8.01,9.01 10/24/12
OVERSTOCK.COM, INC DE 2.02,9.01 10/25/12
PACCAR INC DE 2.02,9.01 10/25/12
PACER INTERNATIONAL INC TN 2.02,7.01,8.01,9.01 10/25/12
PACIFIC BIOSCIENCES OF CALIFORNIA INC 2.02,9.01 10/25/12
PALOMAR MEDICAL TECHNOLOGIES INC DE 2.02,9.01 10/25/12
PARKERVISION INC FL 5.02 10/19/12
PATTERSON UTI ENERGY INC DE 2.02,9.01 10/25/12
PENSKE AUTOMOTIVE GROUP, INC. DE 7.01 10/25/12
PEOPLES BANCORP INC OH 8.01,9.01 10/25/12
PERKINELMER INC MA 2.02,9.01 10/25/12
Phillips Edison - ARC Shopping Center MD 8.01,9.01 10/23/12
PINNACLE AIRLINES CORP DE 7.01,9.01 10/25/12
POLYONE CORP 1.01,9.01 10/23/12
Post Holdings, Inc. MO 2.03,9.01 10/25/12
POTASH CORP OF SASKATCHEWAN INC Z4 2.02,9.01 10/25/12
POWER INTEGRATIONS INC CA 2.02,9.01 10/25/12
POWER ONE INC DE 2.02,9.01 10/25/12
POZEN INC /NC 5.02 10/25/12
PRECISION CASTPARTS CORP OR 2.02,9.01 10/25/12
PREMIERWEST BANCORP OR 2.02,9.01 10/23/12
PRO DEX INC CO 2.02,9.01 10/25/12
PROCTER & GAMBLE Co OH 2.02 09/30/12
PROCTER & GAMBLE Co OH 7.01 09/30/12
PROOFPOINT INC DE 2.02,9.01 10/25/12
Proto Labs Inc 2.02,9.01 10/25/12
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,7.01,9.01 10/25/12
PSS WORLD MEDICAL INC FL 1.01,8.01,9.01 10/24/12
PULTEGROUP INC/MI/ MI 2.02,9.01 10/25/12
PVF CAPITAL CORP OH 2.02,9.01 10/24/12
QLIK TECHNOLOGIES INC DE 2.02,9.01 10/25/12
QLOGIC CORP DE 2.02,9.01 10/25/12
QUAINT OAK BANCORP INC 2.02,9.01 10/25/12
QUANTUM CORP /DE/ DE 8.01,9.01 10/24/12
QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 10/23/12
RAIT Financial Trust MD 2.02,9.01 10/25/12
RANGE RESOURCES CORP DE 2.02,9.01 10/24/12
RAYONIER INC NC 2.02,9.01 10/25/12
RAYTHEON CO/ DE 2.02,9.01 10/25/12
REALTY INCOME CORP MD 2.02,9.01 10/25/12
REGAL ENTERTAINMENT GROUP DE 2.02,8.01,9.01 10/25/12
Regency Energy Partners LP DE 7.01,8.01,9.01 10/25/12
REGIS CORP MN 2.02,9.01 10/25/12
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 10/25/12
RESMED INC DE 2.02,8.01,9.01 10/25/12
REVLON INC /DE/ DE 2.02,9.01 10/25/12
RICHFIELD OIL & GAS Co NV 1.01,3.03,5.03,5.07, 10/19/12
9.01
ROBERTS REALTY INVESTORS INC GA 1.01,9.01 10/22/12
Rockville Financial, Inc. /CT/ CT 2.02,9.01 10/25/12
Rockwood Holdings, Inc. DE 2.02,9.01 10/25/12
ROPER INDUSTRIES INC DE 2.02,9.01 10/25/12
ROYAL CARIBBEAN CRUISES LTD 2.02,7.01,9.01 10/25/12
RTI Biologics, Inc. DE 2.02,9.01 10/25/12
SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 10/25/12
Sanomedics International Holdings, In DE 7.01 10/17/12
SCANSOURCE INC SC 2.02,9.01 10/25/12
SCHNITZER STEEL INDUSTRIES INC OR 2.02,9.01 10/25/12
Seagate Technology plc L2 5.07 10/24/12
Seneca Foods Corp NY 2.02,9.01 09/29/12
SERVOTRONICS INC /DE/ DE 1.02,9.01 10/20/12
SHERWIN WILLIAMS CO OH 2.02,9.01 10/25/12
Shire plc 2.02,9.01 10/25/12
Silver Falcon Mining, Inc. DE 5.02 10/17/12
SIMMONS FIRST NATIONAL CORP AR 2.02,9.01 10/25/12
SIMMONS FIRST NATIONAL CORP AR 1.01,2.01,7.01,9.01 10/19/12 AMEND
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 10/25/12
SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,9.01 10/25/12
SJW CORP CA 2.02,9.01 10/24/12
SKINVISIBLE INC NV 1.02 10/23/12
SL GREEN REALTY CORP MD 2.02,7.01,9.01 10/24/12
SLM FUNDING LLC DE 6.01,9.01 10/25/12
SLM Student Loan Trust 2004-10 DE 8.01,9.01 10/25/12
SLM Student Loan Trust 2004-5 8.01,9.01 10/25/12
SolarWinds, Inc. DE 2.02,9.01 10/25/12
SOUTHERN COPPER CORP/ DE 2.02,9.01 10/24/12
Spansion Inc. DE 2.02,9.01 10/25/12
Spicy Gourmet Manufacturing, Inc. DE 5.02 10/23/12
Spine Pain Management, Inc DE 5.02 10/19/12
Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 10/25/12
SPRINT NEXTEL CORP KS 2.02,9.01 10/25/12
SPS COMMERCE INC DE 2.02,9.01 10/25/12
STANDARD PACIFIC CORP /DE/ DE 2.02,9.01 10/25/12
STARWOOD HOTEL & RESORTS WORLDWIDE, I MD 2.02,9.01 10/25/12
STERLING FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 10/25/12
STEWART INFORMATION SERVICES CORP DE 2.02,9.01 10/25/12
STONERIDGE INC OH 2.02,7.01,9.01 10/24/12
STRATTEC SECURITY CORP WI 2.02,9.01 10/25/12
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 10/25/12
SUN BANCORP INC /NJ/ NJ 2.02,8.01 09/30/12
SUN COMMUNITIES INC MD 2.02,9.01 10/25/12
SUNOCO LOGISTICS PARTNERS L.P. DE 5.02,8.01 10/24/12
SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 10/24/12
SURREY BANCORP NC 7.01,9.01 10/25/12
SVB FINANCIAL GROUP 2.02,9.01 10/25/12
SYNALLOY CORP DE 2.02,9.01 10/24/12
SYNAPTICS INC DE 2.02,9.01 10/25/12
SYNAPTICS INC DE 1.01 10/24/12
SYNERGY RESOURCES CORP CO 1.01 10/18/12 AMEND
TAIWAN FUND INC DE 7.01,9.01 09/30/12
TAL International Group, Inc. DE 5.02,9.01 10/23/12
TECHE HOLDING CO LA 2.02,9.01 10/25/12
Telanetix,Inc DE 2.02,9.01 10/25/12
TELECOMMUNICATION SYSTEMS INC /FA/ MD 2.02,9.01 10/25/12
TELEDYNE TECHNOLOGIES INC DE 2.02,5.03,9.01 10/23/12
TeleNav, Inc. DE 2.02,9.01 10/25/12
TELLABS INC DE 2.02,2.05,8.01,9.01 10/24/12
TENNECO INC DE 2.02,9.01 10/25/12
TERADYNE, INC MA 2.02,9.01 10/24/12
TESARO, Inc. DE 2.02,9.01 10/25/12
TEXAS CAPITAL BANCSHARES INC/TX 2.02,9.01 10/24/12
TF FINANCIAL CORP DE 2.02,9.01 10/25/12
TIMKEN CO OH 2.02,9.01 10/25/12
TITANIUM METALS CORP DE 7.01,9.01 10/25/12
TN-K ENERGY GROUP INC. DE 4.01,9.01 10/23/12
TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 10/24/12
TOWER FINANCIAL CORP IN 2.02,9.01 10/25/12
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 10/25/12
TransDigm Group INC DE 7.01,9.01 10/25/12
TransDigm Group INC DE 5.02,9.01 10/24/12
TRANSWITCH CORP /DE DE 8.01,9.01 10/25/12
TRI COUNTY FINANCIAL CORP /MD/ MD 2.02,9.01 10/24/12
TRIMAS CORP DE 2.02,9.01 10/25/12
TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 10/24/12
TYLER TECHNOLOGIES INC DE 2.02 10/24/12
U S PHYSICAL THERAPY INC /NV NV 1.01,2.03,9.01 10/24/12
Under Armour, Inc. MD 2.02,9.01 10/25/12
UNIFI INC NY 2.02,7.01,8.01,9.01 10/24/12
UNIONBANCAL CORP DE 2.02,9.01 10/25/12
UNITED BANCORP INC /OH/ OH 2.02,9.01 10/24/12
UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 10/25/12
UNITED BANKSHARES INC/WV WV 2.02,8.01,9.01 10/24/12
UNITED COMMUNITY BANKS INC GA 2.02,9.01 10/25/12
United Continental Holdings, Inc. DE 2.02,7.01,9.01 10/25/12
UNITED PARCEL SERVICE INC DE 9.01 10/23/12
UNITED RENTALS INC /DE DE 7.01,8.01,9.01 10/25/12
UNITED STATIONERS INC DE 1.01,7.01,9.01 10/22/12
UNITY BANCORP INC /NJ/ NJ 2.02,9.01 10/25/12
UNWIRED PLANET, INC. DE 8.01,9.01 10/25/12
USEC INC DE 5.02 10/24/12
USMD Holdings, Inc. DE 5.02,9.01 10/19/12
UTAH MEDICAL PRODUCTS INC UT 3.02 10/25/12
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 10/25/12
VALIDUS HOLDINGS LTD 2.02,9.01 10/25/12
VALIDUS HOLDINGS LTD 2.02,9.01 10/25/12
VALIDUS HOLDINGS LTD 5.02,9.01 10/25/12
VALLEY NATIONAL BANCORP NJ 2.02,9.01 10/25/12
VARIAN MEDICAL SYSTEMS INC DE 2.02,9.01 10/25/12
VCA ANTECH INC DE 2.02,9.01 10/25/12
VERISIGN INC/CA DE 2.02,9.01 10/25/12
VGTel, Inc. 1.01,3.02,8.01,9.01 10/24/12
VHGI HOLDINGS, INC. DE 4.01,9.01 10/19/12
ViewPoint Financial Group Inc. 2.02,8.01,9.01 10/25/12
ViewPoint Financial Group Inc. 8.01,9.01 10/25/12
VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 10/25/12
VIROPHARMA INC DE 2.02,9.01 10/25/12
VISA INC. DE 1.01,5.03,9.01 10/23/12
VISTAPRINT N.V. P7 2.02,9.01 10/25/12
VITRAN CORP INC A6 2.02,9.01 10/25/12
Volcano Corp DE 8.01,9.01 10/25/12
VOLITIONRX LTD DE 8.01 10/25/12
W&T OFFSHORE INC TX 1.01,2.03,9.01 10/24/12
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,8.01 10/19/12
WASHINGTON BANKING CO WA 2.02,8.01,9.01 10/25/12
WASHINGTON FEDERAL INC WA 8.01 10/25/12
WATSCO INC FL 2.02,7.01,9.01 10/25/12
Wayside Technology Group, Inc. DE 2.02,9.01 10/25/12
WEB.COM GROUP, INC. DE 2.02,9.01 10/25/12
WEST MARINE INC DE 2.02,9.01 10/25/12
WESTAMERICA BANCORPORATION CA 8.01,9.01 10/25/12
WILEY JOHN & SONS, INC. NY 8.01 10/25/12
WILLIAM LYON HOMES DE 8.01,9.01 10/25/12
WILLIAM LYON HOMES DE 7.01 10/25/12
WILSHIRE BANCORP INC 2.02,9.01 10/22/12
WINMARK CORP MN 7.01,8.01,9.01 10/24/12
WMI HOLDINGS CORP. WA 5.02,9.01 10/23/12
WNC HOUSING TAX CREDIT FUND VI LP SER CA 4.01 10/25/12
WORLD ACCEPTANCE CORP SC 2.02,7.01,9.01 10/25/12
X-Factor Communications Holdings, Inc DE 1.01,3.02,7.01,9.01 10/19/12
XCEL ENERGY INC MN 2.02,9.01 10/25/12
XL RENT, INC. NV 1.01,1.02,5.01,5.02, 10/24/12
5.03,9.01
XZERES Corp. NV 1.01,3.02,5.03,9.01 10/25/12
YADKIN VALLEY FINANCIAL CORP NC 1.01,3.02,3.03,5.03, 10/22/12
8.01,9.01
Yongye International, Inc. NV 8.01,9.01 10/25/12
Zalicus Inc. DE 8.01,9.01 10/25/12
ZIMMER HOLDINGS INC DE 2.02,9.01 10/25/12
http://www.sec.gov/news/digest/2012/dig102612.htm
|