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Commission AnnouncementsChairman Schapiro Statement on Reopening of Securities MarketsSecurities and Exchange Commission Chairman Mary L. Schapiro today made the following statement:
Rules and related mattersSystems of RecordsThe Commission issued notice requesting comments on a proposal to establish one new Privacy Act system of records, " Backup Care Employee and Family Records (SEC-66)", which contain records of current SEC employees who voluntarily sign up for backup care benefits and their family members for whom care is needed; and revise two existing Privacy Act systems of records, "Freedom of Information and Privacy Act Requests records (SEC-24)", which are used by Commission staff to process FOIA and Privacy Act requests and appeals, and to prepare reports to the Department of Justice, the Office of Management and Budget, and other oversight entities on the Commission's FOIA and PA activities; and "Child Care Subsidy Program Records (SEC-41)", which are used to determine eligibility for, and the amount of, the child care tuition subsidy for eligible SEC employees. Publication is expected in the Federal Register during the week of October 29. (Rel. PA-49) Enforcement ProceedingsStop Order Proceedings Instituted Against Caribbean Pacific Marketing, Inc.On October 29, 2012, the Commission instituted proceedings to determine whether to issue an order that would prevent sales of shares in Caribbean Pacific Marketing, Inc., based on allegations that the company's disclosure is misleading. "The Division of Enforcement is seeking a stop order to protect investors by preventing any potential sales of stock under a materially misleading and deficient offering document," said Eric I. Bustillo, Director of the SEC's Miami Regional Office. A stop order prevents a company or its shareholders from selling privately-held shares to the public under a materially misleading or deficient registration statement. If a stop order is issued, no new shares can enter the market pursuant to that registration statement until the company has corrected the deficiencies or misleading information contained in the registration statement. In proceedings instituted against Caribbean Pacific on October 29, 2012, the SEC's Division of Enforcement alleges that Caribbean Pacific's registration statement is materially misleading because it omits any information about William J. Reilly and his position within the company as a de facto executive officer and control person. The Division of Enforcement alleges that Reilly is a disbarred attorney subject to a court order barring him from any penny stock offering, from serving as a corporate office and director, and from violating certain federal securities laws. In addition, Reilly was suspended from appearing or practicing before the Commission as an attorney, with a right to reapply after three years. The Commission instituted the proceedings against Caribbean Pacific to determine whether the allegations by the Division of Enforcement are true, to give the company an opportunity to respond to the allegations, and to determine whether a stop order should be issued. On October 23, the U.S. Attorney's Office for the Southern District of Florida filed a criminal complaint against Reilly, alleging securities fraud. SEC Senior Counsels Trisha D. Sindler and Michelle I. Bougdanos are conducting the SEC's investigation under the supervision of Assistant Regional Director Chedly C. Dumornay, and Adam Schwartz and Christine Nestor will handle the litigation. All are with SEC's Miami Regional Office. The SEC acknowledges the assistance and cooperation of the U.S. Attorney's Office for the Southern District of Florida and the FBI's Miami Division in this matter. (Press Rel. 2012-218; Rel. 33-9366) In the Matter of BTS Asset Management, Inc.On October 29, 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 against BTS Asset Management, Inc. (BTS), a registered investment adviser headquartered in Lexington, Massachusetts. The Order finds that, from at least the 1990s to 2010, BTS' advertisements for its High Yield Bond Fund Program ("HYP") claimed that the program had experienced no down years since 1981. The advertisements based this claim on the performance of a model that applied BTS' buy/sell signals to, at various times, a single high yield bond fund, a composite of six high yield bond funds, or a composite of five high yield bond funds. In 2005, BTS became aware that, in contrast to the model performance reflected in the advertisements, approximately half of HYP's clients would have experienced a down year in 2004 (with losses of up to 3.3%) based on the application of HYP's buy/sell signals to the funds known by BTS to be held by the clients in the program. The fact that, on this basis, a significant percentage of HYP clients likely experienced investment results in 2004 that were materially different (i.e., they had a down year) from the claims made in the advertisements BTS disseminated from 2005 to 2010 rendered those advertisements misleading. BTS consented to the issuance of the Commission order without admitting or denying any of the findings. The Order: censures BTS; requires BTS to cease and desist from committing or causing any violation and any future violation of Section 206(4) of the Advisers Act and Rule 206(4)-1(a)(5) thereunder; and requires BTS to pay a penalty of $200,000. (Rel. IA-3495; File No. 3-15802) Commission Declares Decision as to Urigen Pharmaceuticals, Inc. FinalThe decision of an administrative law judge with respect to Urigen Pharmaceuticals, Inc. has become final. The law judge found that Urigen Pharmaceuticals, Inc. violated Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by its failure to timely file any periodic reports since it filed a Form 10-Q for the period ended March 31, 2010, and a Form 10-K for the fiscal year ended June 30, 2011. The law judge found that Urigen's violations were recurrent in that it had failed to file approximately seven periodic reports over the past two years. The law judge also noted that, even though Urigen had provided a detailed plan of its efforts to become current, paid a retainer fee to its auditor, and made certain financing agreements, there was a strong likelihood that Urigen would remain delinquent in its periodic filings for the next six months, which would have been well beyond the due date for this Initial Decision. The law judge further found that revocation of the registration of Urigen's registered securities would serve the public interest and the protection of investors, pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-68120; File No. 3-14890) Commission Revokes Registration of Securities of EPIX Pharmaceuticals, Inc. for Failure to Make Required Periodic FilingsOn October 29, 2012, the Commission revoked the registration of each class of registered securities of EPIX Pharmaceuticals, Inc. (EPIX) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, EPIX consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to EPIX Pharmaceuticals, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of EPIX's securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against EPIX in In the Matter of Diomed Holdings, Inc., et al., Administrative Proceeding File No. 3-15047. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Diomed Holdings, Inc., et al., Administrative Proceeding File No. 3-15047, Exchange Act Release No. 67932 (September 27, 2012). (Rel. 34-68122; File No. 3-15047) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Ten Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of ten companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the ten issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68125; File No. 3-15085) Former Deloitte Partner Sentenced to 21 Months for Insider TradingThe Securities and Exchange Commission announced that on October 26, 2012, the Honorable Robert M. Dow, Jr. of the United States District Court for the Northern District of Illinois sentenced Thomas P. Flanagan to 21 months of incarceration followed by supervised release of 12 months and ordered Flanagan to pay a $100,000 penalty. Flanagan, a former Deloitte and Touche LLP partner, pleaded guilty to one count of criminal securities fraud for engaging in insider trading after he obtained material, nonpublic information about several Deloitte clients. Flanagan, 65, of Chicago, used that information himself and shared it with a relative to make illegal trading profits. The U.S. Attorney's Office for the Northern District of Illinois filed criminal charges against Flanagan on July 11, 2012 in Chicago. The criminal charges arose out of the same facts that were the subject of a civil action that the SEC filed against Flanagan and his son, Patrick T. Flanagan, on August 4, 2010. The SEC's complaint alleged that Thomas Flanagan, a certified public accountant, worked at Deloitte for 38 years and rose to the level of Vice Chairman of Clients and Markets. The complaint alleged that Flanagan traded on nine occasions between 2005 and 2008 in the securities of multiple Deloitte clients and a company acquired by a Deloitte client while in possession of nonpublic information that he learned through his duties as a Deloitte partner. The information had not yet been disclosed to the public and concerned material, market-moving events such as earnings results, earnings guidance, and acquisitions. Thomas Flanagan's illegal trading resulted in profits of over $430,000. On four occasions, Thomas Flanagan relayed the nonpublic information to his son Patrick Flanagan who then traded based on that information. Patrick Flanagan realized profits of more than $57,000. The SEC also instituted related administrative and cease-and-desist proceedings on August 4, 2010, finding that Flanagan violated the SEC's auditor independence rules on 71 occasions between 2003 and 2008 by trading in the securities of nine Deloitte audit clients. The SEC's settled administrative order found that during the time Flanagan owned or controlled these securities, Deloitte issued audit reports to the nine audit clients in which it stated that the financial statements contained in the reports had been audited by an independent auditor. However, due to Flanagan's ownership of the audit clients' securities, Deloitte was not independent. The companies then filed with the SEC annual reports and proxy statements which included the audit reports containing these false statements. As a result, the SEC's administrative order found that Flanagan caused and willfully aided and abetted Deloitte's violations of the SEC's auditor independence rules under Regulation S-X and also caused and willfully aided and abetted the companies' violations of the reporting and proxy provisions of the Securities Exchange Act of 1934. As alleged in the SEC's complaint, Thomas Flanagan concealed his trades in the securities of Deloitte's clients and circumvented Deloitte's independence controls. According to the SEC's complaint, he failed to report the prohibited trades to Deloitte, lied to Deloitte about his compliance with its independence policies, and provided false information to Deloitte's personal income tax preparers about the identity of the companies whose securities he traded. As a result of their conduct, the SEC's complaint charged Thomas and Patrick Flanagan with violations of Sections 10(b) and 14(e) of the Securities and Exchange Act of 1934 and Rules 10b-5 and 14e-3. The SEC's administrative action found that Thomas Flanagan caused and willfully aided and abetted Deloitte's violations of Rule 2-02(b)(1) of Regulation S-X, and caused and willfully aided and abetted the clients' violations of Sections 13(a) and 14(a) of the Exchange Act, and Rules 13a-1, 13a-13, and 14a-3 thereunder. Without admitting or denying the SEC's allegations in the complaint and the findings in the administrative order, Thomas Flanagan consented to the entry of an order of permanent injunction, to pay disgorgement with prejudgment interest and civil penalties totaling $1,051,042, and to a denial of the privilege of appearing or practicing before the SEC as an accountant. Without admitting or denying the SEC's allegations in the complaint, Patrick Flanagan consented to the entry of an order of permanent injunction and to pay disgorgement with prejudgment interest and a civil penalty totaling $123,270. [SEC v. Thomas P. Flanagan, et al.: 10-cv-04885 (N.D. Ill.)] (LR-22524) INVESTMENT COMPANY ACT RELEASESNotice of Applications for Deregistration under the Investment Company Act of 1940For the month of October 2012, a notice has been issued giving interested persons until November 19, 2012, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act of 1940 declaring that the applicant has ceased to be an investment company:
(Rel. IC-30253 - October 26) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesNYSE Arca, Inc., filed a proposed rule change (SR-NYSEArca-2012-117) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to listing and trading shares of the Pring Turner Business Cycle ETF under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68108) ICE Clear Europe Limited filed a proposed rule change (SR-ICEEU-2012-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 to clear Western European Sovereign CDS Contracts. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68119) Approval of Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-OCC-2012-15) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to financial reporting by Canadian clearing members. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68113) Immediate Effectiveness of Proposed Rule ChangesThe Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2012-40) under Section 19(b)(1) of the Securities Exchange Act of 1934 to add one series of credit default index swaps available for clearing. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68109) A proposed rule change filed by the Chicago Board Options Exchange, Incorporated to make technical change to SPY position limit pilot program and representation regarding timing of submission of pilot report (SR-CBOE-2012-099) 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. 34-68110) A proposed rule change filed by NASDAQ OMX BX, Inc. relating to elimination of market maker pre-opening obligations on BX Options (SR-BX-2012-069) 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. 34-68116) A proposed rule change (SR-NYSEMKT-2012-51) filed by NYSE MKT LLC amending Sections 140 and 141 of the NYSE MKT LLC Company Guide to amend annual fees and certain other listing fees included therein and to make technical and conforming changes 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. 34-68117) Notice of Extension of Review Period of Advance NoticeThe Commission has designated a longer period for Commission action under Section 806(e)(1)(H) of the Payment, Clearing, and Settlement Supervision Act of 2010 for review of the Advance Notice (SR-OCC-2012-14) filed by The Options Clearing Corporation (OCC) relating to the clearance and settlement of over-the-counter options. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68111) Designation of Longer Period for Commission ActionThe Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule (OCC-2012-14) filed by The Options Clearing Corporation (OCC) relating to the clearance and settlement of over-the-counter options. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68112) Institution of Proceedings to Determine Whether to Approve or Disapprove Proposed Rule ChangeThe Commission instituted proceedings to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2012-090), submitted by The NASDAQ Stock Market LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to Amend Rule 4626—Limitation of Liability. Publication is expected in the Federal Register during the week of October 29. (Rel. 34-68115) 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 KIRBY CORP, 55 WAUGH DRIVE SUITE 1000, HOUSTON, TX, 77385, 7134351000 - 500,000 ($29,307,500.00) Equity, (File 333-184598 - Oct. 26) (BR. 05A) S-8 KIRBY CORP, 55 WAUGH DRIVE SUITE 1000, HOUSTON, TX, 77385, 7134351000 - 2,000,000 ($117,230,000.00) Equity, (File 333-184599 - Oct. 26) (BR. 05A) S-8 GREATBATCH, INC., 2591 DALLAS PARKWAY, SUITE 101, FRISCO, TX, 75034, 716-759-5600 - 1,500,000 ($33,480,000.00) Equity, (File 333-184604 - Oct. 26) (BR. 10A) S-3ASR MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, TOWER 1, SUITE 1600, DENVER, CO, 80202, 303-925-9200 - 0 ($0.00) Other, (File 333-184605 - Oct. 26) (BR. 04A) S-1 ARROW CARS INTERNATIONAL INC, CARRETERA DE COIN 42, CHURRIANA, MALAGA, U3, 29140, 3212000142 - 12,500,000 ($5,000,000.00) Equity, (File 333-184611 - Oct. 26) (BR. 05) S-8 HEALTHCARE SERVICES GROUP INC, 2159381661 - 3,338,000 ($10,881.75) Equity, (File 333-184612 - Oct. 26) (BR. 08B) S-8 Healthient, Inc., 15132 PARK OF COMMERCE BLVD., 2ND FLOOR, JUPITER, FL, 33478, 888-720-2112 - 2,000,000 ($1,700,000.00) Other, (File 333-184613 - Oct. 26) (BR. 11C) S-3 RESPONSE GENETICS INC, 1640 MARENGO ST.,, 6TH FLOOR, LOS ANGELES,, CA, 90033, (323) 224-3900 - 8,000,000 ($9,639,600.00) Equity, (File 333-184614 - Oct. 26) (BR. 01B) S-8 MARKWEST ENERGY PARTNERS L P, 1515 ARAPAHOE STREET, TOWER 1, SUITE 1600, DENVER, CO, 80202, 303-925-9200 - 0 ($65,088,000.00) Equity, (File 333-184615 - Oct. 26) (BR. 04A) S-8 CORONADO BIOSCIENCES INC, 24 NEW ENGLAND EXECUTIVE PARK, BURLINGTON, MA, 01803, 781-652-4500 - 6,200,000 ($33,666,000.00) Equity, (File 333-184616 - Oct. 26) (BR. 01B) S-3ASR KENNAMETAL INC, 1600 TECHNOLOGY WAY, P O BOX 231, LATROBE, PA, 15650, 7245395000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184617 - Oct. 26) (BR. 10B) S-1 PRECISION OPTICS Corp INC, 22 EAST BROADWAY, GARDNER, MA, 01440, 978-630-1800 - 5,730,547 ($6,532,824.00) Equity, (File 333-184618 - Oct. 26) (BR. 10B) S-8 CLIFFS NATURAL RESOURCES INC., 200 PUBLIC SQUARE, STE. 3300, CLEVELAND, OH, 44114-2315, 216-694-5700 - 6,000,000 ($237,420,000.00) Equity, (File 333-184620 - Oct. 26) (BR. 09B) S-8 Alkermes plc., TREASURY BUILDING, LOWER GRAND CANAL STREET, DUBLIN 2, L2, 00000, 00-353-1-649-2000 - 0 ($76,734,000.00) Equity, (File 333-184621 - Oct. 26) (BR. 01A) S-3 ENOVA SYSTEMS INC, 1560 WEST 190TH STREET, TORRANCE, CA, 90501, 3105272800 - 0 ($4,110.00) Equity, (File 333-184622 - Oct. 26) (BR. 10A) S-8 Matson, Inc., 822 BISHOP STREET, PO BOX 3440, HONOLULU, HI, 96801, 8085256611 - 0 ($87,195,099.00) Equity, (File 333-184623 - Oct. 26) (BR. 05A) S-8 Comverse, Inc., 810 SEVENTH AVENUE, NEW YORK, NY, 10019, (212) 739-1000 - 0 ($210,825,000.00) Equity, (File 333-184624 - Oct. 26) (BR. 03A) S-1 MusclePharm Corp, 4721 IRONTON STREET, DENVER, CO, 80239, (800) 210-7369 - 0 ($20,612,500.00) Equity, (File 333-184625 - Oct. 26) (BR. 01B) S-3 NANOVIRICIDES, INC., 135 WOOD STREET, SUITE 205, WEST HAVEN, CT, 06516, (203) 937-6137 - 40,000,000 ($40,000,000.00) Equity, (File 333-184626 - Oct. 26) (BR. 01B) S-4 LCNB CORP, 2 NORTH BROADWAY, LEBANON, OH, 45036, 5139321414 - 888,888 ($6,021,341.54) Equity, (File 333-184627 - Oct. 29) (BR. 07C) S-4 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6319629600 - 0 ($778,931,844.30) Equity, (File 333-184628 - Oct. 29) (BR. 03A) S-3 Opteum Mortgage Acceptance CORP, W. 115 CENTURY ROAD, PARAMUS, NJ, 07652, 201 225 2000 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-184629 - Oct. 29) (BR. OSF) N-2 NUVEEN INVESTMENT QUALITY MUNICIPAL FUND INC, 333 WEST WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,000 ($16,470.00) Equity, (File 333-184632 - Oct. 29) (BR. 18) S-8 CELGENE CORP /DE/, 86 MORRIS AVENUE, SUMMIT, NJ, 07901, (908)673-9000 - 0 ($1,041,040,000.00) Equity, (File 333-184634 - Oct. 29) (BR. 01A) S-8 Immunovative, Inc., 417 RUE ST-PIERRE, SUITE 804, MONTREAL, A8, H2Y 2M3, 514 840-3697 - 8,500,000 ($2,125,000.00) Equity, (File 333-184635 - Oct. 29) (BR. 02) S-1 ML Capital Group, Inc., 16810 AVENUE OF THE FOUNTAINS, FOUNTAIN HILLS, AZ, 85268, 480-516-3394 - 12,819,404 ($3,845,821.20) Equity, (File 333-184636 - Oct. 29) (BR. 07) S-1 CEMPRA, INC., 6340 QUADRANGLE DRIVE, SUITE 100, CHAPEL HILL, NC, 27517-8149, 919-313-6617 - 3,864,461 ($25,602,054.00) Equity, (File 333-184637 - Oct. 29) (BR. 01B) S-8 TeleNav, Inc., 1130 KIFER ROAD, SUNNYVALE, CA, 94086, (408) 245-3800 - 620,762 ($3,443,493.69) Equity, (File 333-184638 - Oct. 29) (BR. 05C) S-8 WHITEWAVE FOODS Co, 2711 NORTH HASKELL AVENUE, SUITE 3400, DALLAS, TX, 75204, 214.303.3400 - 0 ($340,000,000.00) Equity, (File 333-184642 - Oct. 29) (BR. 04A) N-2 NUVEEN QUALITY PREFERRED INCOME FUND 3, 1,000 ($8,830.00) Equity, (File 333-184643 - Oct. 29) (BR. 18) N-2 NUVEEN QUALITY PREFERRED INCOME FUND, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178146 - 1,000 ($8,610.00) Equity, (File 333-184644 - Oct. 29) (BR. 18) N-2 NUVEEN QUALITY PREFERRED INCOME FUND 2, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129178146 - 1,000 ($9,300.00) Equity, (File 333-184645 - Oct. 29) (BR. 18) S-3 USAA ACCEPTANCE LLC, 10750 MCDERMOTT FREEWAY, SAN ANTONIO, TX, 78288, 2104987479 - 1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-184646 - Oct. 29) (BR. OSF) S-3ASR LINN ENERGY, LLC, 600 TRAVIS, SUITE 5100, HOUSTON, TX, 77002, 281-840-4000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184647 - Oct. 30) (BR. 04A) S-8 CoroWare, Inc,, 1410 MARKET STREET, KIRKLAND, WA, 98033, 239-466-0488 - 50,000,000 ($1,000,000.00) Equity, (File 333-184649 - Oct. 30) (BR. 03A) S-8 ECOLAB INC, ECOLAB CORPORATE CENTER, 370 WABASHA STREET NORTH, ST PAUL, MN, 55102, 6512932233 - 0 ($277,140,000.00) Equity, (File 333-184650 - Oct. 30) (BR. 06A) S-8 Lehigh Gas Partners LP, 702 WEST HAMILTON ST., SUITE 203, ALLENTOWN, PA, 18101, 610-625-8000 - 0 ($31,334,100.00) Other, (File 333-184651 - Oct. 30) (BR. 04B) F-10 Coastal Contacts Inc, 2985 VIRTUAL WAY, SUITE 320, VANCOUVER BC V5M 4X7, A1, 00000, 604-669-1555 - 0 ($100,000,000.00) Equity, (File 333-184653 - Oct. 30) (BR. 10A) S-4 SCHWAB CHARLES CORP, 211 MAIN STREET, SAN FRANCISCO, CA, 94105, 415-667-7000 - 0 ($256,405,000.00) Debt, (File 333-184654 - Oct. 30) (BR. 12A) 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
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AASTROM BIOSCIENCES INC MI 5.02,9.01 10/23/12
ABAXIS INC CA 5.07 10/24/12
ACADIA REALTY TRUST MD 2.02,9.01 10/23/12
ACCESS PHARMACEUTICALS INC DE 1.01,3.02,3.03,5.03 10/25/12
ACNB CORP PA 2.02,9.01 10/26/12
ADVANCED PHOTONIX INC DE 1.01,9.01 10/25/12
ADVENTRX PHARMACEUTICALS INC DE 8.01,9.01 10/25/12
AEHR TEST SYSTEMS CA 5.07 10/24/12
AGILYSYS INC OH 2.02,7.01,9.01 10/25/12
Alliance Holdings GP, L.P. DE 2.02,9.01 10/26/12
ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 10/26/12
Ally Financial Inc. DE 1.01 10/23/12
Alon USA Energy, Inc. DE 7.01,9.01 10/26/12
Alpha Natural Resources, Inc. DE 8.01,9.01 10/26/12
Amarantus BioSciences, Inc. DE 8.01 01/05/12
AMCOL INTERNATIONAL CORP DE 2.02,8.01 10/26/12
AMERICAN AXLE & MANUFACTURING HOLDING DE 2.01,7.01,9.01 10/26/12
AMERICAN CAMPUS COMMUNITIES INC MD 1.01,9.01 10/25/12
AMERICAN FINANCIAL GROUP INC OH 5.02,9.01 10/23/12
AMERICAN GREETINGS CORP OH 5.02 10/24/12
American Realty Capital Properties, I MD 7.01,9.01 10/26/12
American Realty Capital Trust, Inc. DE 7.01,9.01 10/26/12
AMERITRANS CAPITAL CORP DE 8.01,9.01 10/26/12
Ancestry.com Inc. DE 2.02,9.01 10/24/12
Andatee China Marine Fuel Services Co DE 5.07,9.01 10/23/12
Angie's List, Inc. DE 5.02 10/23/12
Antero Resources LLC DE 1.01,2.03,9.01 10/25/12
Aon plc X0 2.02,9.01 10/26/12
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 5.02,5.07,9.01 10/22/12
ARCH COAL INC DE 2.02,9.01 10/26/12
ARKANSAS BEST CORP /DE/ DE 5.02,9.01 10/22/12
ARRIS GROUP INC DE 2.02,9.01 10/24/12 AMEND
Ascent Capital Group, Inc. DE 7.01,9.01 10/26/12
ASTEC INDUSTRIES INC TN 2.02,9.01 10/26/12
Avantair, Inc DE 8.01,9.01 10/25/12
AVRA Surgical Robotics, Inc. DE 1.01 10/22/12
Bank of New York Mellon CORP DE 8.01,9.01 10/26/12
Banyan Rail Services Inc. DE 3.02 10/25/12
BARNES GROUP INC DE 2.02 10/26/12
BASIC ENERGY SERVICES INC 2.02,9.01 10/25/12
BASIC ENERGY SERVICES INC 1.01,2.03,3.03,8.01, 10/16/12 AMEND
9.01
BBCN BANCORP INC DE 1.01,9.01 10/22/12
BEASLEY BROADCAST GROUP INC DE 2.02,9.01 10/26/12
bebe stores, inc. CA 5.07 10/22/12
BEL FUSE INC /NJ NJ 2.02,9.01 10/26/12
BENCHMARK ELECTRONICS INC TX 2.02,9.01 10/25/12
BERKSHIRE HILLS BANCORP INC DE 2.01,9.01 10/26/12
Biostar Pharmaceuticals, Inc. MD 5.07 10/26/12
Bizzingo, Inc. NV 1.01,9.01 10/24/12
Blueknight Energy Partners, L.P. DE 5.02 10/23/12
Book Merge Technology, Inc. NV 5.03 10/22/12
BOVIE MEDICAL CORP DE 1.01,9.01 10/26/12
Bristow Group Inc DE 7.01 10/26/12
BROWN & BROWN INC FL 5.02,7.01,9.01 10/22/12
BRYN MAWR BANK CORP PA 7.01,9.01 10/26/12
BSB Bancorp, Inc. MD 2.02,9.01 10/25/12
C & F FINANCIAL CORP VA 2.02,9.01 10/25/12
CARDINAL HEALTH INC OH 5.04,9.01 10/26/12
Carter Validus Mission Critical REIT, MD 2.01,9.01 10/22/12
CHASE CORP MA 2.02,5.02,9.01 10/22/12
CHESAPEAKE ENERGY CORP OK 7.01,8.01,9.01 10/22/12
Chesapeake Lodging Trust MD 1.01,2.03,9.01 10/25/12
CHINA BAK BATTERY INC NV 3.03,5.03,8.01,9.01 10/26/12
China Energy Recovery, Inc. DE 1.01 10/18/12
CHOICEONE FINANCIAL SERVICES INC MI 2.02 10/26/12
CITIZENS REPUBLIC BANCORP, INC. MI 7.01,9.01 10/26/12
COMCAST CORP PA 2.02,9.01 10/26/12
Community Bankers Trust Corp DE 2.02,9.01 10/26/12
COMPUWARE CORP MI 2.02,9.01 10/23/12
Comverse, Inc. DE 5.03,9.01 10/25/12
CONMED CORP NY 2.02,9.01 10/25/12
CONSOLIDATED EDISON INC NY 5.02 10/22/12
CONSUMERS BANCORP INC /OH/ OH 5.07 10/24/12
ContinuityX Solutions, Inc. DE 1.01,5.02 10/16/12
Cooper Industries plc 5.07,8.01,9.01 10/26/12
CORNING INC /NY NY 7.01,8.01,9.01 10/26/12
COVENTRY HEALTH CARE INC DE 2.02,9.01 10/26/12
Customers Bancorp, Inc. PA 2.02,9.01 10/26/12
CVR PARTNERS, LP DE 7.01,9.01 10/26/12
CYMER INC NV 2.02,9.01 10/26/12
DANA HOLDING CORP DE 2.02,7.01,9.01 10/26/12
DecisionPoint Systems, Inc. 5.02 10/22/11
Delphi Automotive PLC Y9 8.01,9.01 10/26/12
DENMARK BANCSHARES INC WI 2.02,9.01 10/26/12
DGSE COMPANIES INC NV 5.02,9.01 10/25/12
DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 10/26/12
Digerati Technologies, Inc. NV 4.01,9.01 10/26/12
Digital Realty Trust, Inc. 2.02,7.01,9.01 10/26/12
DONEGAL GROUP INC DE 2.02,9.01 10/26/12
EASTMAN KODAK CO NJ 7.01,9.01 10/12/12 AMEND
EATON CORP OH 5.07,8.01,9.01 10/26/12
EATON VANCE CORP MD 9.01 10/24/12
Empeiria Acquisition Corp DE 7.01,9.01 10/25/12
EMPIRE DISTRICT ELECTRIC CO KS 2.02,9.01 10/25/12
ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 10/26/12
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,7.01,9.01 10/25/12
FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 10/24/12
FBR & Co. VA 2.01 10/26/12
Federal Home Loan Bank of Atlanta X1 5.03,9.01 10/25/12
Federal Home Loan Bank of Boston X1 5.02,5.07 10/23/12
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 10/26/12
FIRST BANKS, INC MO 2.02,9.01 10/26/12
FIRST BUSINESS FINANCIAL SERVICES, IN WI 2.02,9.01 10/26/12
FIRST MARINER BANCORP MD 8.01,9.01 10/26/12
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 10/25/12
FIRST SOLAR, INC. DE 1.01,9.01 10/26/12
FOREVERGREEN WORLDWIDE CORP NV 5.02 10/12/12
FORWARD AIR CORP TN 8.01,9.01 10/25/12
FrogAds, Inc. NV 5.03,9.01 10/25/12
FUSION TELECOMMUNICATIONS INTERNATION DE 3.02,5.03 10/26/12
GARDNER DENVER INC DE 7.01,9.01 10/25/12
GE Equipment Transportation LLC, Seri DE 1.01,9.01 10/24/12
GENESIS FINANCIAL INC WA 5.03,8.01,9.01 10/18/12
GLIMCHER REALTY TRUST MD 2.02,9.01 10/25/12
Global Geophysical Services Inc DE 5.02,8.01,9.01 10/25/12
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 10/26/12
GRAHAM CORP DE 2.02,8.01,9.01 10/26/12
GROWLIFE, INC. DE 1.01,2.01,2.03,9.01 10/22/12
GSI TECHNOLOGY INC 2.02,9.01 10/25/12
GULF ISLAND FABRICATION INC LA 2.02,9.01 10/25/12
GULF ISLAND FABRICATION INC LA 8.01,9.01 10/25/12
GYSAN HOLDINGS, INC. NV 1.01,9.01 10/26/12
HALCON RESOURCES CORP DE 1.01,9.01 10/23/12
HARMAN INTERNATIONAL INDUSTRIES INC / DE 7.01,9.01 10/25/12
HASBRO INC RI 1.01,9.01 10/25/12
HCA Holdings, Inc. 8.01 10/23/12
HEALTHCARE TRUST OF AMERICA, INC. MD 8.01,9.01 10/24/12
HKN, Inc. DE 3.01,9.01 10/24/12
HMS HOLDINGS CORP 2.02,9.01 10/26/12
HOLLY ENERGY PARTNERS LP 7.01,9.01 10/26/12
Home Federal Bancorp, Inc. MD 2.02,8.01,9.01 10/26/12
HQ Global Education Inc. DE 8.01 10/26/12
ICONIX BRAND GROUP, INC. DE 1.01,5.02 10/24/12
IMMUNOGEN INC MA 2.02,8.01,9.01 10/26/12
INTEGRATED DEVICE TECHNOLOGY INC DE 5.02 10/22/12
INTELLIGENT COMMUNICATION ENTERPRISE PA 8.01 11/28/11 AMEND
INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 10/25/12
INTERNATIONAL GAME TECHNOLOGY NV 8.01,9.01 10/25/12
INTERNATIONAL SHIPHOLDING CORP DE 2.02 10/26/12
Investors Bancorp Inc DE 2.02,9.01 10/25/12
Investview, Inc. NV 1.01,2.01,3.02,8.01 10/24/12
IRON MOUNTAIN INC DE 8.01,9.01 10/26/12
ISTAR FINANCIAL INC MD 2.02,9.01 10/26/12
JONES SODA CO WA 5.07 10/25/12
JOY GLOBAL INC DE 5.02 10/22/12
K12 INC DE 5.02 10/22/12
KAYDON CORP DE 2.02,9.01 10/26/12
KAYDON CORP DE 2.02,9.01 10/26/12 AMEND
KEATING CAPITAL INC 7.01,9.01 10/26/12
KENILWORTH SYSTEMS CORP NY 2.02 10/26/12
KEY TRONIC CORP WA 5.07 10/25/12
KKR & Co. L.P. DE 2.02,9.01 10/26/12
KNIGHT TRANSPORTATION INC AZ 5.04 10/26/12
Lake Shore Bancorp, Inc. X1 8.01,9.01 10/24/12
LAMAR ADVERTISING CO/NEW DE 8.01,9.01 10/25/12
LEAR CORP DE 2.02,9.01 10/26/12
LEGG MASON, INC. MD 2.02,9.01 10/26/12
LIFEPOINT HOSPITALS, INC. 2.02,9.01 10/26/12
LITHIA MOTORS INC OR 7.01,9.01 10/26/12
LNB BANCORP INC OH 2.02,7.01,9.01 10/25/12
LPATH, INC NV 1.01,5.03,9.01 10/22/12
LyondellBasell Industries N.V. P7 2.02,7.01,9.01 10/26/12
Madison County Financial, Inc. MD 2.02 10/26/12
MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 10/26/12
MAGNUM HUNTER RESOURCES CORP DE 5.02,7.01,9.01 10/23/12
Marine Drive Mobile Corp. NV 1.01,3.02 10/26/12
Masterbeat Corp DE 4.01,9.01 08/06/12
Maxwell Resources, Inc. NV 4.01,9.01 10/22/12
Merck & Co. Inc. NJ 2.02,9.01 10/26/12
MGT CAPITAL INVESTMENTS INC DE 1.01,3.02,7.01,9.01 10/22/12
MICROWAVE FILTER CO INC /NY/ NY 5.02 10/24/12
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 10/26/12
Momentive Performance Materials Inc. DE 1.01,2.03,9.01 10/26/12
MONOLITHIC POWER SYSTEMS INC CA 5.02,9.01 10/23/12
MONRO MUFFLER BRAKE INC NY 2.02,8.01,9.01 10/25/12
MOODYS CORP /DE/ DE 2.02,7.01,9.01 10/26/12
Motorola Solutions, Inc. DE 5.02,9.01 10/26/12
MRC GLOBAL INC. DE 2.02,9.01 10/26/12
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 10/25/12
MSC INDUSTRIAL DIRECT CO INC NY 5.02,5.03,9.01 10/24/12
MULTI FINELINE ELECTRONIX INC 2.02,9.01 10/26/12
NABI BIOPHARMACEUTICALS DE 8.01,9.01 10/25/12
NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 10/26/12
NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 10/26/12
NAVIGANT CONSULTING INC DE 5.02,7.01,9.01 10/23/12
Net Profits Ten Inc. NV 8.01 10/26/12
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 10/25/12
NEWELL RUBBERMAID INC DE 2.02,9.01 10/26/12
NEWELL RUBBERMAID INC DE 2.05,5.02,9.01 10/24/12
NEWMARKET CORP VA 2.02,8.01,9.01 10/25/12
NEWPARK RESOURCES INC DE 2.02,9.01 10/25/12
NEWS CORP 8.01,9.01 10/26/12
Northfield Bancorp, Inc. X1 2.02,9.01 10/24/12
NOVELOS THERAPEUTICS, INC. DE 5.07,9.01 10/25/12
NUVASIVE INC DE 8.01,9.01 10/26/12
Oconee Federal Financial Corp. 8.01,9.01 10/25/12
Ohr Pharmaceutical Inc 4.01 10/24/12
OLD LINE BANCSHARES INC MD 8.01 10/24/12
OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 10/25/12
OLIN CORP VA 2.02,7.01,9.01 10/25/12
OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 10/26/12
OmniAmerican Bancorp, Inc. MD 2.02,9.01 10/26/12
ORION ENERGY SYSTEMS, INC. WI 5.07 10/24/12
ORMAT TECHNOLOGIES, INC. DE 8.01,9.01 10/26/12
OSHKOSH CORP WI 2.02,9.01 10/26/12
OSHKOSH CORP WI 1.01,3.03,5.03,8.01, 10/25/12
9.01
PACIFIC GOLD CORP NV 8.01 10/26/12
PALMETTO BANCSHARES INC SC 2.02,9.01 10/26/12
PARK ELECTROCHEMICAL CORP NY 5.02,8.01,9.01 10/24/12
PARKE BANCORP, INC. NJ 2.02,9.01 10/26/12
PAYCHEX INC DE 5.07 10/23/12
PDI INC 8.01,9.01 10/25/12
PEABODY ENERGY CORP DE 5.02 10/23/12
PILGRIMS PRIDE CORP DE 2.02,9.01 10/26/12
PILGRIMS PRIDE CORP DE 7.01 10/26/12
PLAINS EXPLORATION & PRODUCTION CO DE 1.01,2.03,8.01,9.01 10/22/12
PRESIDENTIAL LIFE CORP DE 5.02,9.01 10/23/12
PRINCIPAL FINANCIAL GROUP INC DE 2.02,9.01 10/25/12
PROSPECT GLOBAL RESOURCES INC. NV 1.01,8.01,9.01 10/26/12
PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 10/26/12
PROVIDENT NEW YORK BANCORP DE 9.01 08/10/12 AMEND
PSB HOLDINGS INC /WI/ WI 2.02,9.01 10/26/12
PVF CAPITAL CORP OH 7.01,9.01 10/26/12
QUALITY SYSTEMS, INC CA 2.02,5.02,7.01,8.01, 10/25/12
9.01
RAYMOND JAMES FINANCIAL INC FL 7.01 10/25/12
REAL ESTATE ASSOCIATES LTD IV CA 1.01,9.01 10/22/12
REGIS CORP MN 5.07 10/25/12
REPLIGEN CORP DE 5.02 10/22/12
RiceBran Technologies CA 5.02,8.01 10/22/12
ROCKWELL COLLINS INC DE 2.02,7.01,9.01 10/26/12
ROMA FINANCIAL CORP X1 8.01,9.01 10/26/12
S&T BANCORP INC PA 5.02 10/23/12
Saker Aviation Services, Inc. NV 5.07 10/25/12
SALIX PHARMACEUTICALS LTD 8.01,9.01 10/24/12
SANFILIPPO JOHN B & SON INC DE 2.02,9.01 10/26/12
SCBT FINANCIAL CORP SC 2.02,9.01 10/26/12
SELECTICA INC DE 2.02,9.01 10/25/12
SERVICEMASTER CO DE 5.02,9.01 10/23/12
SIGNET JEWELERS LTD 5.02 10/26/12
SILGAN HOLDINGS INC DE 2.02,9.01 10/24/12
SKY DIGITAL STORES CORP. NV 5.02,8.01 10/22/12
SkyPeople Fruit Juice, Inc FL 8.01,9.01 10/26/12
SKYSTAR BIO-PHARMACEUTICAL CO NV 5.07,9.01 10/25/12
SOUTHERN MICHIGAN BANCORP INC MI 2.02,9.01 10/26/12
Southern National Bancorp of Virginia VA 2.02,8.01,9.01 10/25/12
SOUTHERN USA RESOURCES INC. DE 1.01,2.03,3.02,3.03, 10/22/12
5.02,9.01
SOUTHSIDE BANCSHARES INC TX 2.02 10/24/12
SPARTON CORP OH 5.03,5.07,9.01 10/24/12
Spring Creek Healthcare Systems, Inc. NV 4.01,9.01 08/06/12
Stalar 2, Inc. DE 1.01 10/26/12
STAMPS.COM INC DE 2.02,9.01 10/25/12
STANDARD REGISTER CO OH 2.02,9.01 09/30/12
STAR GAS PARTNERS LP DE 2.02,7.01,9.01 10/26/12
StellarOne CORP VA 2.02,9.01 10/25/12
STERICYCLE INC DE 1.01,2.03,9.01 10/22/12
STONE ENERGY CORP DE 1.01,7.01,9.01 10/23/12
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 10/15/12
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 10/15/12
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 10/15/12
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 10/15/12
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 10/15/12
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 10/15/12
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 10/15/12
Stream Global Services, Inc. DE 5.02,9.01 10/23/12
STREAMLINE HEALTH SOLUTIONS INC. DE 7.01,9.01 10/25/12
SUN COMMUNITIES INC MD 9.01 10/03/12 AMEND
SUPREME INDUSTRIES INC DE 2.02,9.01 10/25/12
Swisher Hygiene Inc. DE 5.02 10/23/12
Targa Resources Partners LP DE 1.01,2.03,8.01,9.01 10/22/12
TASER INTERNATIONAL INC 2.02,9.01 10/26/12
TC PIPELINES LP DE 2.02,7.01,9.01 10/26/12
TCF FINANCIAL CORP DE 2.02,7.01,9.01 10/26/12
TD AMERITRADE HOLDING CORP DE 5.02,9.01 10/22/12
TECHNE CORP /MN/ MN 5.03,5.07,8.01,9.01 10/25/12
TEREX CORP DE 2.02,9.01 10/25/12
Timios National Corp DE 5.02 10/23/12
TITAN INTERNATIONAL INC IL 3.02 10/26/12
Tonix Pharmaceuticals Holding Corp. NV 5.02,7.01,9.01 10/26/12
Transcept Pharmaceuticals Inc DE 8.01 10/25/12
TRAVELZOO INC DE 2.02,9.01 10/25/12
TRICO BANCSHARES / CA 8.01,9.01 10/25/12
UNIFIRST CORP MA 5.02 10/22/12
UNITED BANCORP INC /MI/ MI 2.02,7.01,9.01 10/26/12
UNITED ONLINE INC DE 8.01 10/26/12
UNITED SECURITY BANCSHARES CA 3.02,9.01 10/19/12
UNITED STATES LIME & MINERALS INC TX 2.02,9.01 10/25/12
Universal Business Payment Solutions DE 3.01 10/24/12
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 10/25/12
Universal Truckload Services, Inc. MI 2.02,9.01 10/25/12
US HOME SYSTEMS INC DE 1.02,2.01,3.01,3.03, 10/26/12
5.01,5.02,5.03,5.07,
9.01
USG CORP DE 2.05 10/23/12
VALENCE TECHNOLOGY INC DE 7.01,9.01 10/20/12
Valley Commerce Bancorp CA 2.02,9.01 10/26/12
VALLEY FINANCIAL CORP /VA/ VA 2.02,9.01 10/25/12
Vampt America, Inc. NV 9.01 05/07/12 AMEND
VENTAS INC DE 2.02,9.01 10/26/12
VERSANT CORP CA 5.02 10/22/12
VIAD CORP DE 2.02,9.01 10/26/12
VIRGIN MEDIA INC. DE 1.01,8.01,9.01 10/25/12
Walter Energy, Inc. DE 8.01,9.01 10/26/12
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,9.01 10/25/12
WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 10/26/12
WEBSTER FINANCIAL CORP DE 5.03,9.01 10/22/12
WEIS MARKETS INC PA 2.02,9.01 10/26/12
WELLS FARGO & COMPANY/MN DE 9.01 10/26/12
WEST BANCORPORATION INC IA 2.02,9.01 10/26/12
WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 10/25/12
WESTMORELAND COAL Co DE 2.02,5.02,9.01 10/24/12
WEYERHAEUSER CO WA 2.02,9.01 10/25/12
WHITE MOUNTAIN TITANIUM CORP NV 8.01,9.01 10/26/12
WisdomTree Investments, Inc. DE 2.02,9.01 10/26/12
WSB Holdings Inc DE 8.01 10/24/12
XPLORE TECHNOLOGIES CORP DE 8.01,9.01 10/25/12
Xtreme Oil & Gas, Inc. NV 5.02 10/24/12
A. H. Belo CORP DE 2.02,9.01 10/29/12
ACCELRYS, INC. DE 1.01,8.01,9.01 10/23/12
ACCREDITED BUSINESS CONSOLIDATORS COR PA 1.01,7.01,8.01 10/22/12
ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 10/29/12
AETRIUM INC MN 2.02,9.01 10/25/12
Affinity Gaming, LLC NV 8.01,9.01 10/24/12
ALEXANDRIA REAL ESTATE EQUITIES INC MD 2.02,9.01 10/29/12
ALLIANCE FINANCIAL CORP /NY/ NY 2.02,9.01 10/29/12
AMEDISYS INC DE 7.01,9.01 10/29/12
AMERICAN AIRLINES INC DE 7.01,9.01 10/29/12
American Assets Trust, Inc. MD 9.01 08/21/12 AMEND
American Capital Agency Corp 2.02,9.01 10/29/12
AMERICAN CAPITAL, LTD 2.02,9.01 10/29/12
American Lorain CORP NV 8.01,9.01 10/29/12
AMERICAN PACIFIC CORP DE 8.01 10/29/12
American Realty Capital Properties, I MD 2.02,9.01 10/29/12
American Realty Capital Trust, Inc. DE 2.02,9.01 10/09/12
AMR CORP DE 7.01,9.01 10/29/12
ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 10/29/12
ANADIGICS INC DE 2.02,9.01 10/29/12
ANADIGICS INC DE 2.02,9.01 10/29/12 AMEND
ANDERSONS INC OH 1.01 10/26/12
Approach Resources Inc DE 2.02,9.01 10/29/12
ARDENT MINES LTD 1.01,8.01 09/05/12
ARI NETWORK SERVICES INC /WI WI 2.02,9.01 10/29/12
ARKANSAS BEST CORP /DE/ DE 1.02 10/23/12
ARRAY BIOPHARMA INC DE 1.01,5.03,5.07,9.01 10/24/12
Artio Global Investors Inc. DE 7.01,9.01 10/29/12
ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 10/29/12
ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 10/29/12
AVID TECHNOLOGY, INC. DE 2.02,9.01 10/29/12
BALLY TECHNOLOGIES, INC. NV 2.02,8.01,9.01 10/24/12
BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 10/26/12
Bioflamex Corp NV 5.02 10/22/12
Birmingham Bloomfield Bancshares MI 2.02,9.01 10/25/12
BJs RESTAURANTS INC CA 5.02,8.01,9.01 10/28/12
BLUEFLY INC DE 1.01,1.02,9.01 10/25/12
Bluforest Inc. NV 1.01,7.01,9.01 10/08/12
Boardwalk Pipeline Partners, LP DE 2.02,9.01 10/29/12
BOLT TECHNOLOGY CORP CT 2.02,9.01 10/25/12
BONTAN CORP INC A6 4.01,9.01 10/22/12
Burger King Worldwide, Inc. DE 2.02,9.01 10/29/12
CAVIUM, INC. DE 2.02,9.01 10/29/12
CFS BANCORP INC IN 2.02,9.01 10/29/12
CHEMED CORP DE 2.02,9.01 10/29/12
Chemtura CORP DE 5.02 10/23/12
China Environmental Protection Inc. NV 5.03 12/16/11
CHIQUITA BRANDS INTERNATIONAL INC NJ 5.02,9.01 10/27/12
Chrysler Group LLC DE 2.02,9.01 10/29/12
CINCINNATI BELL INC OH 2.02,7.01,9.01 10/29/12
CINCINNATI BELL INC OH 8.01,9.01 10/29/12
CITIGROUP INC DE 5.03,9.01 10/26/12
CITY HOLDING CO WV 2.02,9.01 10/24/12
CNA FINANCIAL CORP DE 2.02,9.01 10/29/12
CNL LIFESTYLE PROPERTIES INC MD 5.02 10/26/12
CNO Financial Group, Inc. DE 2.02,9.01 10/29/12
COGNEX CORP MA 2.02,9.01 10/29/12
COLOMBIA ENERGY RESOURCES, INC. DE 5.02,5.03 10/23/12
COLUMBIA BANKING SYSTEM INC WA 5.02,9.01 10/23/12
COMMVAULT SYSTEMS INC DE 2.02,9.01 10/29/12
COMPASS MINERALS INTERNATIONAL INC DE 2.02,9.01 10/29/12
COMPUWARE CORP MI 5.02,9.01 10/25/12
COMSTOCK RESOURCES INC NV 2.02,9.01 09/30/12
CONCHO RESOURCES INC DE 1.01,2.03,9.01 10/26/12
CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 10/25/12
Coronus Solar Inc. A1 1.01,7.01,9.01 10/29/12
COURIER Corp MA 8.01,9.01 10/29/12
CRYOLIFE INC FL 5.02 10/23/12
CVB FINANCIAL CORP CA 5.02,9.01 10/26/12
CVR ENERGY INC DE 1.01,2.03,2.04,3.03, 10/23/12
9.01
CYTOKINETICS INC 8.01 10/29/12
DATA I/O CORP WA 5.02,9.01 10/25/12
Delanco Bancorp, Inc 5.02 10/25/12
Desert Gateway, Inc. OK 4.01 10/26/12
DEVON ENERGY CORP/DE DE 1.01,1.02,2.03,9.01 10/24/12
DOLLAR GENERAL CORP TN 7.01,9.01 10/24/12
Duff & Phelps Corp DE 5.02,9.01 10/24/12
EAGLE MATERIALS INC DE 2.02,9.01 10/29/12
EFT Holdings, Inc. NV 5.02 10/23/12
EMULEX CORP /DE/ DE 5.02 10/25/12
Energy Future Holdings Corp /TX/ TX 2.02,9.01 10/29/12
Energy Transfer Equity, L.P. DE 8.01,9.01 10/05/12 AMEND
ENTERTAINMENT GAMES, INC. PA 5.02 10/19/12
EQUIFAX INC GA 5.02,8.01,9.01 10/29/12
EURO SOLAR PARKS, INC. 5.02 10/29/12
EXELON CORP PA 8.01 10/29/12
Extra Space Storage Inc. MD 2.02,9.01 10/29/12
EZCORP INC DE 5.02 10/24/12
Facebook Inc 2.03 10/25/12
Federal Home Loan Bank of Boston X1 2.03 10/24/12
Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 10/26/12
FERRO CORP OH 2.02,9.01 10/29/12
First Bancorp, Inc /ME/ ME 2.01 10/26/12
First Federal of Northern Michigan Ba 2.02,9.01 10/29/12
FIRST FINANCIAL BANCORP /OH/ OH 5.05,9.01 10/23/12
FIRST PLACE FINANCIAL CORP /DE/ DE 1.01,1.03,2.04,5.02, 10/24/12
7.01,8.01,9.01
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 10/25/12 AMEND
FIVE STAR QUALITY CARE INC 2.02,9.01 10/29/12
FMC CORP DE 2.02,9.01 10/29/12
FOREST OIL CORP NY 2.02,9.01 10/29/12
FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 2.02,9.01 10/26/12
FRESH DEL MONTE PRODUCE INC E9 1.01,1.02,2.03,9.01 10/23/12
FS Bancorp, Inc. 2.02,9.01 10/26/12
GENERAL CABLE CORP /DE/ DE 2.02,4.02,8.01,9.01 10/26/12
GEOKINETICS INC DE 3.01,9.01 10/23/12
GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 10/29/12
Global Stevia Corp. NV 5.02 10/26/12
GMX RESOURCES INC OK 2.01,9.01 10/24/12
GOLD AMERICAN MINING CORP. NV 5.01,9.01 10/26/12
Grand Canyon Education, Inc. DE 8.01 10/25/12
Green Plains Renewable Energy, Inc. IA 1.01,7.01,9.01 10/26/12
GREENE COUNTY BANCORP INC DE 2.02,9.01 10/24/12
GSI TECHNOLOGY INC 8.01,9.01 10/25/12
GUITAR CENTER HOLDINGS, INC. DE 5.02 10/29/12
HAEMONETICS CORP MA 2.02,9.01 10/28/12
HAIN CELESTIAL GROUP INC DE 2.01,8.01,9.01 10/29/12
HANGER, INC. DE 2.01,9.01 10/29/12
HARRIS CORP /DE/ DE 2.02,7.01,9.01 10/29/12
HASTINGS ENTERTAINMENT INC TX 8.01,9.01 10/26/12
Hawaiian Telcom Holdco, Inc. DE 8.01,9.01 10/29/12
HEARTLAND FINANCIAL USA INC DE 2.01,9.01 10/29/12
Heckmann Corp DE 8.01,9.01 10/26/12
HERBALIFE LTD. E9 2.02,8.01,9.01 10/29/12
HERITAGE COMMERCE CORP CA 2.02,9.01 09/30/12
HomeStreet, Inc. WA 2.02,9.01 10/29/12
HomeTrust Bancshares, Inc. MD 8.01,9.01 10/29/12
Horsehead Holding Corp 1.01,9.01 10/24/12
HYPERDYNAMICS CORP DE 8.01,9.01 10/26/12
ICAHN ENTERPRISES HOLDINGS L.P. DE 1.01,5.02,9.01 10/25/12
ICAHN ENTERPRISES L.P. DE 1.01,5.02,9.01 10/25/12
IEC ELECTRONICS CORP DE 2.02,7.01,9.01 10/29/12
iMetrik M2M Solutions Inc. NV 7.01,9.01 10/26/12
INDEPENDENCE REALTY TRUST, INC MD 2.01,9.01 10/11/12 AMEND
INTEGRATED DEVICE TECHNOLOGY INC DE 2.02,9.01 10/29/12
INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 10/25/12
INTERVEST BANCSHARES CORP DE 5.02,5.07,9.01 10/26/12
IRONWOOD PHARMACEUTICALS INC 1.01,9.01 10/23/12
ITC Holdings Corp. MI 1.01,2.03,9.01 10/26/12
JANEL WORLD TRADE LTD NV 1.01,2.03,9.01 10/29/12
JEFFERSON BANCSHARES INC TN 2.02,5.07,9.01 10/25/12
JONES SODA CO WA 5.07 10/25/12 AMEND
KADANT INC DE 2.02,9.01 10/29/12
KADANT INC DE 7.01,9.01 10/29/12
KAYDON CORP DE 5.02 10/24/12
KEYCORP /NEW/ OH 5.02,9.01 10/23/12
KFORCE INC FL 5.02,7.01,9.01 10/26/12
Kodiak Oil & Gas Corp B0 2.02,7.01,9.01 10/24/12
LaPorte Bancorp, Inc. MD 2.02,9.01 10/29/12
LEGGETT & PLATT INC MO 2.02,7.01,9.01 10/29/12
LENCO MOBILE INC. DE 5.02,5.03,9.01 10/23/12
Lender Processing Services, Inc. DE 2.02,9.01 10/29/12
Liberty Global, Inc. DE 7.01 10/29/12
LIBERTY SILVER CORP NV 8.01,9.01 10/29/12
Lithium Exploration Group, Inc. NV 1.01,3.02,9.01 10/24/12
LiverpoolGroup, Inc. OK 4.01 10/26/12
LL&E ROYALTY TRUST TX 8.01,9.01 10/29/12
Locan, Inc. OK 4.01 10/26/12
LOEWS CORP DE 2.02,9.01 10/29/12
LONGWEI PETROLEUM INVESTMENT HOLDING CO 3.03 10/29/12
LUFKIN INDUSTRIES INC TX 2.02,9.01 09/30/12
LUMINEX CORP DE 2.02,9.01 10/29/12
Luxeyard, Inc. DE 5.02 10/23/12
LVB Acquisition, Inc. 5.02,5.07 10/26/12
Macy's, Inc. DE 8.01,9.01 10/29/12
MARATHON OIL CORP DE 1.01,8.01,9.01 10/29/12
MARLIN BUSINESS SERVICES CORP 2.02,9.01 10/29/12
MASCO CORP /DE/ DE 2.02,9.01 10/29/12
MAXLINEAR INC 2.02,9.01 10/29/12
MBT FINANCIAL CORP MI 2.02,9.01 10/29/12
MCG CAPITAL CORP DE 5.02 10/26/12
MCG CAPITAL CORP DE 2.02,9.01 10/29/12
MCG CAPITAL CORP DE 2.02,7.01,9.01 10/29/12
MEDCATH CORP DE 8.01,9.01 10/29/12
MEMC ELECTRONIC MATERIALS INC DE 5.02 10/11/12 AMEND
MERCURY GENERAL CORP CA 2.02,9.01 10/29/12
METALICO INC 5.02 10/29/12
MINDEN BANCORP, INC. LA 2.02,9.01 10/29/12
MOD PAC CORP NY 8.01,9.01 10/29/12
Mondelez International, Inc. VA 2.05 10/23/12
MONITRONICS INTERNATIONAL INC TX 7.01,9.01 10/26/12
MOODYS CORP /DE/ DE 5.03,9.01 10/23/12
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02 10/26/12 AMEND
NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 10/26/12
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 5.05,5.07,9.01 10/24/12
NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 10/29/12
Neutral Tandem Inc 5.02,9.01 10/28/12
NEWS CORP 8.01,9.01 10/29/12
NITRO PETROLEUM INC. 5.03,9.01 10/24/12
NORTHWEST PIPE CO OR 1.01,9.01 10/24/12
NuStar GP Holdings, LLC DE 1.01,3.03,9.01 10/23/12
Nuveen Energy MLP Total Return Fund MA 8.01,9.01 10/29/12
Obagi Medical Products, Inc. DE 1.01,9.01 10/23/12
OLD LINE BANCSHARES INC MD 2.02,9.01 10/29/12
OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 10/29/12
Oneida Financial Corp. MD 2.02,9.01 10/29/12
OPNET TECHNOLOGIES INC DE 1.01,2.02,8.01,9.01 10/28/12
Options Media Group Holdings, Inc. NV 5.02,8.01 10/09/12
ORBCOMM Inc. DE 5.02,9.01 10/24/12
Oxford Resource Partners LP 7.01,9.01 10/29/12
PACIFIC FINANCIAL CORP WA 7.01 10/29/12
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 10/26/12
PARK NATIONAL CORP /OH/ OH 2.02,7.01,9.01 10/29/12
PARKER HANNIFIN CORP OH 5.02,5.07,9.01 10/24/12
PATHEON INC 1.01,2.02,7.01,9.01 10/28/12
PATHFINDER BANCORP INC DE 2.02,9.01 10/26/12
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 10/23/12
Patriot Coal CORP DE 5.02,7.01,9.01 10/23/12
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 10/25/12
PEETS COFFEE & TEA INC WA 2.01,3.01,3.03,5.01, 10/26/12
5.02,5.03,5.07,9.01
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 10/24/12
People's United Financial, Inc. DE 7.01,9.01 10/29/12
PG&E Corp CA 2.02,7.01,9.01 10/29/12
PLUM CREEK TIMBER CO INC DE 2.02,9.01 10/29/12
PLX TECHNOLOGY INC DE 2.02,9.01 10/29/12
PMC SIERRA INC DE 2.02,9.01 10/29/12
Polypore International, Inc. 8.01,9.01 10/29/12
Preventia, Inc. 5.03,9.01 05/29/12
QLT INC/BC A1 5.02,9.01 10/24/12
RealD Inc. DE 2.02,8.01,9.01 10/29/12
RED MOUNTAIN RESOURCES, INC. FL 1.02,9.01 10/18/12
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 10/29/12
Riverbed Technology, Inc. DE 1.01,7.01,8.01,9.01 10/28/12
RLJ ENTERTAINMENT, INC. NV 5.02 10/23/12
Royal Energy Resources, Inc. DE 5.03,9.01 09/12/01
ROYALE ENERGY INC CA 1.01,2.03,8.01,9.01 10/28/12
SAFEGUARD SCIENTIFICS INC PA 5.02 10/23/12
SALISBURY BANCORP INC CT 2.02,8.01,9.01 10/26/12
SANDERSON FARMS INC MS 5.02 10/24/12
SAPIENT CORP DE 5.03,9.01 10/24/12
SEACOAST BANKING CORP OF FLORIDA FL 5.02,9.01 10/24/12
SENIOR HOUSING PROPERTIES TRUST MD 2.02,9.01 10/29/12
Sequoia Mortgage Trust 2012-5 8.01,9.01 10/29/12
Shire plc 8.01,9.01 10/29/12
Shire plc 5.02,9.01 10/29/12
SHORE BANCSHARES INC MD 2.02,9.01 10/23/12
SIMULATIONS PLUS INC 7.01,9.01 10/26/12
SkyPeople Fruit Juice, Inc FL 1.01,8.01,9.01 10/29/12
SLM Student Loan Trust 2006-7 DE 8.01,9.01 10/29/12
SPARTECH CORP DE 1.01,5.02,8.01,9.01 10/23/12
Sputnik Enterprises, Inc NV 1.02,9.01 10/29/12
STATE BANK FINANCIAL CORP GA 2.02,7.01,9.01 10/29/12
SUN COMMUNITIES INC MD 9.01 10/22/12
SYNAPTICS INC DE 5.07 10/23/12
T3 Motion, Inc. DE 1.01,2.03,9.01 10/23/12
TD AMERITRADE HOLDING CORP DE 2.02,9.01 10/29/12
TESCO CORP 7.01,9.01 10/23/12
Tower Group, Inc. DE 7.01 10/29/12
Tumi Holdings, Inc. DE 2.02,9.01 10/29/12
UDR, Inc. MD 2.02,9.01 10/29/12
UIL HOLDINGS CORP CT 8.01,9.01 10/29/12
Ulta Salon, Cosmetics & Fragrance, In DE 5.02,9.01 10/24/12
UNIFI INC NY 5.07 10/24/12
UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 10/26/12
US ECOLOGY, INC. DE 2.02,9.01 10/29/12
VALIDUS HOLDINGS LTD 8.01 10/26/12
Vantage Drilling CO E9 1.01,2.03,8.01,9.01 10/25/12
VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 10/25/12
VASCULAR SOLUTIONS INC MN 1.01 10/24/12
WAUSAU PAPER CORP. WI 2.02,9.01 10/29/12
Wayside Technology Group, Inc. DE 8.01 10/29/12
WebXU, Inc. DE 1.01,5.02,9.01 10/09/12
WEST BANCORPORATION INC IA 5.02,9.01 10/24/12
WEYCO GROUP INC WI 2.02,9.01 10/29/12
WFRBS Commercial Mortgage Trust 2012- 9.01 10/26/12
XPO Logistics, Inc. 1.01,2.01,7.01,9.01 10/24/12
ZIONS BANCORPORATION /UT/ UT 9.01 10/29/12
1ST SOURCE CORP IN 8.01,9.01 10/25/12
ACCESS MIDSTREAM PARTNERS LP DE 8.01,9.01 10/25/12
ACTIVE POWER INC DE 2.02,9.01 10/30/12
ACTUATE CORP DE 2.02,9.01 10/29/12
Adamis Pharmaceuticals Corp DE 8.01 10/25/12
ADOBE SYSTEMS INC DE 5.03,9.01 10/29/12
ADVENT SOFTWARE INC /DE/ DE 2.02,2.05,9.01 10/24/12
AGREE REALTY CORP DE 2.02,9.01 10/29/12
ALLERGAN INC DE 2.02,9.01 10/30/12
Alliance HealthCare Services, Inc CA 5.02,9.01 10/29/12
Alliance Holdings GP, L.P. DE 7.01,9.01 10/30/12
ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 10/30/12
Allison Transmission Holdings Inc DE 2.02,9.01 10/29/12
ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,9.01 10/30/12
AMEDISYS INC DE 1.01,1.02,2.03,9.01 10/26/12
AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 10/29/12
American Realty Capital Global Trust, 2.01,2.03,8.01,9.01 10/30/12
ANIKA THERAPEUTICS INC MA 2.02,9.01 10/30/12
Annie's, Inc. DE 2.02,9.01 10/30/12
ARCHER DANIELS MIDLAND CO DE 2.02,9.01 10/30/12
Arlington Asset Investment Corp. VA 2.02,9.01 10/29/12
ARMSTRONG WORLD INDUSTRIES INC PA 2.02,7.01,9.01 10/29/12
ARQULE INC DE 8.01 10/30/12
ARRAY BIOPHARMA INC DE 2.02,9.01 10/29/12
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 5.02,9.01 10/26/12
Artio Global Investors Inc. DE 7.01,9.01 10/30/12
Artio Global Investors Inc. DE 2.05,5.02,5.03,9.01 10/25/12
ASB Bancorp Inc 2.02,9.01 10/30/12
ASHLAND INC. KY 2.02,9.01 10/30/12
ASHLAND INC. KY 7.01,9.01 10/30/12
ASPEN TECHNOLOGY INC /DE/ DE 5.02,9.01 07/25/12 AMEND
Astex Pharmaceuticals, Inc DE 2.02,9.01 10/30/12
ATMEL CORP DE 5.02 10/26/12
AUBURN NATIONAL BANCORPORATION, INC DE 2.02,9.01 10/30/12
AURORA DIAGNOSTICS HOLDINGS LLC 1.01,2.03 10/26/12
AVAYA INC DE 5.02 10/30/12
AVEO PHARMACEUTICALS INC DE 2.02,9.01 10/30/12
BANCTRUST FINANCIAL GROUP INC AL 2.02,9.01 10/29/12
BARD C R INC /NJ/ NJ 1.01,9.01 10/25/12
BELO CORP DE 2.02,9.01 10/30/12
BJs RESTAURANTS INC CA 8.01,9.01 10/30/12
BLACK BOX CORP DE 2.02,9.01 10/30/12
BLYTH INC DE 8.01 10/29/12
BNC BANCORP NC 2.02,9.01 10/30/12
Boardwalk Pipeline Partners, LP DE 5.03,9.01 10/25/12
Bonanza Creek Energy, Inc. DE 5.02,7.01,9.01 10/26/12
BTU INTERNATIONAL INC DE 2.02,9.01 10/30/12
BUTLER NATIONAL CORP DE 8.01,9.01 10/30/12
CAPITALSOURCE INC DE 2.02,5.02,7.01,8.01, 10/26/12
9.01
CARDINAL HEALTH INC OH 2.02,7.01,9.01 10/30/12
Cardiovascular Systems Inc DE 2.02,9.01 10/30/12
CASCADE MICROTECH INC 2.02,9.01 10/30/12
CBIZ, Inc. DE 2.02,9.01 10/25/12
CBRE GROUP, INC. DE 2.02,9.01 10/30/12
CCOM Group, Inc. NY 1.01,1.02,2.03,9.01 10/24/12
CDI CORP PA 2.02,8.01,9.01 10/25/12
CENTERPOINT ENERGY INC 5.02 07/26/12 AMEND
CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 10/30/12
Cheniere Energy Partners, L.P. DE 3.02,7.01,9.01 10/26/12
CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 5.02 10/29/12
China Growth Equity Investment Ltd E9 1.01,8.01,9.01 10/24/12
China TransInfo Technology Corp. NV 5.07,8.01,9.01 10/30/12
CHUY'S HOLDINGS, INC. DE 2.02,9.01 10/30/12
CINCINNATI BELL INC OH 7.01,9.01 10/30/12
CLECO CORP LA 2.02,9.01 10/30/12
CLOROX CO /DE/ DE 5.02,9.01 10/25/12
CNO Financial Group, Inc. DE 2.02,9.01 10/30/12
Cobalt International Energy, Inc. 2.02,9.01 10/30/12
COMMONWEALTH REALTY PARTNERS, INC. MA 4.01,9.01 10/25/12
COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 10/30/12
COMMUNITY WEST BANCSHARES / CA 2.02,9.01 10/30/12
COMMVAULT SYSTEMS INC DE 5.02 10/30/12
CONCURRENT COMPUTER CORP/DE DE 2.02,9.01 10/30/12
CONVERGYS CORP OH 2.02,9.01 10/30/12
CORVEL CORP DE 2.02,9.01 10/30/12
COUSINS PROPERTIES INC GA 2.02,9.01 10/30/12
Crescent Financial Bancshares, Inc. 2.02,9.01 10/30/12
CRYOLIFE INC FL 2.02,9.01 10/30/12
CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 10/30/12
CYBEROPTICS CORP MN 2.02,8.01,9.01 10/30/12
CYTOKINETICS INC 2.02,9.01 10/30/12
DATA I/O CORP WA 2.02,9.01 10/29/10
DAVITA INC DE 2.02,9.01 10/30/12
DENNYS CORP DE 2.02,9.01 10/30/12
DIAMOND HILL INVESTMENT GROUP INC OH 4.01,9.01 10/30/12
DIGITAL ALLY INC 2.02,9.01 10/30/12
DIGITALGLOBE, INC. DE 2.02,9.01 10/30/12
DineEquity, Inc DE 2.02,7.01,9.01 10/30/12
Discovery Energy Corp. NV 1.01,2.01,2.03,3.02 10/26/12
DMH INTERNATIONAL, INC. NV 3.02,5.01,5.02 10/30/12
DMH INTERNATIONAL, INC. NV 3.02,5.01,5.02 10/30/12 AMEND
DOW CHEMICAL CO /DE/ DE 8.01,9.01 10/30/12
DreamWorks Animation SKG, Inc. 5.02,9.01 10/24/12
DYNACQ HEALTHCARE INC NV 5.02,9.01 10/24/12
DYNAMIC MATERIALS CORP DE 2.02,9.01 10/30/12
DYNATRONICS CORP UT 4.01,9.01 10/26/12
EAGLE BANCORP INC MD 1.01,8.01,9.01 10/26/12
EAGLE BANCORP INC MD 8.01,9.01 10/30/12
EARTHLINK INC DE 2.02,7.01,8.01,9.01 10/30/12
EASTERN AMERICAN NATURAL GAS TRUST DE 1.01,9.01 10/24/12
EASTMAN KODAK CO NJ 7.01,9.01 10/30/12
EASTMAN KODAK CO NJ 2.02,9.01 10/30/12
ECOLAB INC DE 2.02,9.01 10/30/12
Ecologic Transportation, Inc. 4.01,9.01 10/24/12
ELECSYS CORP KS 1.01,2.03,9.01 10/26/12
ELECTRONIC ARTS INC. DE 2.02,9.01 10/30/12
ELSINORE SERVICES INC DE 5.02,9.01 10/30/12
ENCISION INC CO 2.02,9.01 10/30/12
ENDEAVOUR INTERNATIONAL CORP NV 5.02 10/29/12
ENDOCYTE INC DE 8.01 10/29/12
Energy Future Holdings Corp /TX/ TX 2.02,9.01 10/30/12
ENTERTAINMENT PROPERTIES TRUST MD 2.02,8.01,9.01 10/30/12
EPL OIL & GAS, INC. DE 1.01,9.01 10/25/12
EPOCRATES INC DE 2.02,9.01 10/30/12
EXACT SCIENCES CORP DE 2.02,9.01 10/30/12
Excel Trust, Inc. MD 8.01,9.01 10/25/12
EXCO RESOURCES INC TX 2.02,9.01 10/29/12
FEDERAL AGRICULTURAL MORTGAGE CORP 5.02,9.01 10/26/12
Federal Home Loan Bank of Atlanta X1 2.02,7.01,8.01,9.01 10/25/12
Federal Home Loan Bank of Atlanta X1 2.03 10/24/12
Federal Home Loan Bank of Chicago X1 2.03 10/24/12
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 10/30/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 10/25/12
Federal Home Loan Bank of Dallas 2.02,9.01 10/30/12
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 10/30/12
Federal Home Loan Bank of Des Moines X1 2.03,9.01 10/25/12
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 10/30/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 10/30/12
Federal Home Loan Bank of New York X1 2.03,9.01 10/24/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 10/24/12
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 10/30/12
Federal Home Loan Bank of San Francis X1 2.03 10/25/12
Federal Home Loan Bank of Seattle 2.02,9.01 10/29/12
Federal Home Loan Bank of Seattle 2.03 10/25/12
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 10/30/12
Federal Home Loan Bank of Topeka 2.03,9.01 10/24/12
FEI CO OR 2.02,9.01 10/30/12
FIRST BUSEY CORP /NV/ NV 2.02,5.02,9.01 10/30/12
FIRST FINANCIAL CORP /IN/ IN 2.02,9.01 10/30/12
FIRST SECURITY GROUP INC/TN TN 1.01,3.03,5.03,8.01, 10/30/12
9.01
FISERV INC WI 2.02,9.01 10/30/12
Flagstone Reinsurance Holdings, S.A. N4 2.02,9.01 09/30/12
FORD MOTOR CO DE 2.02,9.01 10/30/12
FORD MOTOR CREDIT CO LLC DE 2.02,9.01 10/30/12
FORUM ENERGY TECHNOLOGIES, INC. DE 2.02,9.01 10/29/12
FOSTER L B CO PA 5.03,9.01 10/30/12
FRANKLIN COVEY CO UT 8.01 10/29/12
FRANKLIN STREET PROPERTIES CORP /MA/ 2.02,9.01 10/30/12
FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 10/30/12
FS Investment Corp II MD 1.01,2.03,9.01 10/26/12
FutureFuel Corp. DE 8.01,9.01 10/30/12
G&K SERVICES INC MN 2.02,9.01 10/30/12
GALLAGHER ARTHUR J & CO DE 2.02,9.01 10/30/12
Gas Natural Inc. OH 1.01,2.03,9.01 10/24/12
General Finance CORP DE 8.01,9.01 10/30/12
GENWORTH FINANCIAL INC DE 2.02,9.01 10/30/12
GEO POINT TECHNOLOGIES INC UT 1.01,2.01,9.01 10/23/12
GEOSPACE TECHNOLOGIES CORP DE 5.02 10/25/12
GERON CORP DE 2.02,9.01 10/30/12
Gevo, Inc. DE 2.02,9.01 10/30/12
GigOptix, Inc. DE 2.02,5.07,9.01 10/26/12
GLACIER BANCORP INC DE 2.02,9.01 10/25/12
Global Cash Access Holdings, Inc. DE 5.02 10/26/12
Global Geophysical Services Inc DE 2.02,9.01 10/30/12
GLOBALWISE INVESTMENTS INC NV 1.01,2.03,9.01 10/24/12
GORMAN RUPP CO OH 2.02,9.01 10/26/12
Government Properties Income Trust MD 2.02,9.01 10/30/12
Green Plains Renewable Energy, Inc. IA 2.02,9.01 10/30/12
HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 10/30/12
HAWAIIAN ELECTRIC INDUSTRIES INC HI 7.01,9.01 10/30/12
HAWKINS INC MN 2.02,9.01 10/30/12
HCC INSURANCE HOLDINGS INC/DE/ DE 2.02,9.01 10/30/12
HCP, INC. MD 2.02,9.01 10/30/12
HEALTHCARE REALTY TRUST INC MD 2.02 10/29/12
HENNESSY ADVISORS INC 2.01,9.01 10/26/12
HENNESSY ADVISORS INC 7.01,9.01 10/30/12
HF FINANCIAL CORP DE 2.02,8.01,9.01 10/29/12
Hillshire Brands Co MD 5.03,5.07 10/25/12
HOLLY ENERGY PARTNERS LP 5.02,7.01,9.01 10/26/12
HollyFrontier Corp DE 5.02 10/26/12
HUNT J B TRANSPORT SERVICES INC AR 5.02,8.01,9.01 10/24/12
Huron Consulting Group Inc. DE 2.02,9.01 10/30/12
Ignite Restaurant Group, Inc. 2.02,8.01,9.01 10/30/12
IMPAX LABORATORIES INC DE 2.02,9.01 10/30/12
INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 10/30/12
Infinity Resources Holdings Corp. NV 5.02 10/29/12
INNERWORKINGS INC 5.02,9.01 10/25/12
JDS UNIPHASE CORP /CA/ DE 2.02,9.01 10/30/12
JOHNSON CONTROLS INC WI 2.02,7.01,9.01 10/30/12
JONES LANG LASALLE INC MD 2.02,9.01 10/29/12
Kaiser Federal Financial Group, Inc. MD 8.01,9.01 10/29/12
Kaiser Federal Financial Group, Inc. MD 2.02,9.01 10/30/12
KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 10/30/12
KEATING CAPITAL INC 7.01,9.01 10/30/12
KEY TRONIC CORP WA 2.02,9.01 10/30/12
KEYNOTE SYSTEMS INC DE 2.02,9.01 10/30/12
KFORCE INC FL 2.02,9.01 10/30/12
KILROY REALTY CORP MD 2.02,9.01 10/29/12
KINDRED HEALTHCARE, INC DE 2.02,7.01,9.01 10/29/12
LCA VISION INC DE 2.02,9.01 10/30/12
Lehigh Gas Partners LP DE 1.01,2.01,2.03,3.02, 10/24/12
5.03,7.01,9.01
LEMAITRE VASCULAR INC 2.02,8.01,9.01 10/30/12
Lender Processing Services, Inc. DE 8.01,9.01 10/29/12
LINN ENERGY, LLC DE 8.01,9.01 10/29/12
MAGNUM HUNTER RESOURCES CORP DE 1.01,3.02,7.01,9.01 10/24/12
Market Leader, Inc. WA 2.02,9.01 10/30/12
McEwen Mining Inc. CO 8.01,9.01 10/29/12
MEADWESTVACO Corp DE 8.01,9.01 10/30/12
MEDASSETS INC DE 2.02,9.01 10/30/12
MEDICAL PROPERTIES TRUST INC 2.02,9.01 10/30/12
METROPCS COMMUNICATIONS INC DE 2.02,9.01 10/30/12
MIDSOUTH BANCORP INC LA 2.02,9.01 10/30/12
MIMEDX GROUP, INC. FL 2.02,9.01 10/29/12
MIPS TECHNOLOGIES INC DE 2.02,9.01 10/30/12
Monotype Imaging Holdings Inc. DE 2.02,9.01 10/30/12
NANOMETRICS INC DE 2.02 10/30/12
NATIONAL FINANCIAL PARTNERS CORP 2.02,9.01 10/30/12
NAVARRE CORP /MN/ MN 1.01,2.02,7.01,9.01 10/29/12
NAVIGANT CONSULTING INC DE 2.02,5.02,9.01 10/24/12
NAVISTAR INTERNATIONAL CORP DE 1.01,5.02,8.01,9.01 10/24/12
Net Element International, Inc. E9 1.01,5.02,9.01 10/24/12
NORTH VALLEY BANCORP CA 2.02,9.01 10/30/12
NUMEREX CORP /PA/ PA 2.02,9.01 10/30/12
OCEANEERING INTERNATIONAL INC DE 2.02,8.01,9.01 10/29/12
ODYSSEY PICTURES CORP NV 4.01 08/21/12 AMEND
OFFICE DEPOT INC DE 1.01,2.03,9.01 10/24/12
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 10/30/12
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 10/30/12
ORTHOFIX INTERNATIONAL N V 7.01,8.01,9.01 10/29/12
OURPETS CO CO 2.02,9.01 10/26/12
OvaScience, Inc. DE 5.02 10/24/12
OWENS & MINOR INC/VA/ VA 2.02,9.01 10/29/12
PATRICK INDUSTRIES INC IN 1.01,2.01,2.02,2.03, 10/24/12
9.01
Patriot Coal CORP DE 7.01,9.01 10/30/12
PATRIOT NATIONAL BANCORP INC CT 5.02 10/23/12
PEPSICO INC NC 8.01,9.01 10/23/12
PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 10/30/12
PETROQUEST ENERGY INC DE 7.01,9.01 10/30/12
PHAR MOR INC PA 7.01 10/30/12
PHARMACYCLICS INC DE 5.02 10/25/12
PINNACLE BANKSHARES CORP VA 2.02,9.01 10/29/12
PLANTRONICS INC /CA/ DE 2.02,7.01,9.01 10/30/12
Polypore International, Inc. 2.02,9.01 10/30/12
Polypore International, Inc. 2.02,9.01 10/30/12
Polypore International, Inc. 5.02,9.01 10/30/12
POPE RESOURCES LTD PARTNERSHIP DE 2.02,9.01 10/25/12
POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 10/25/12
Porter Bancorp, Inc. KY 2.02,9.01 10/30/12
PORTFOLIO RECOVERY ASSOCIATES INC DE 2.02,9.01 10/30/12
POST DATA, INC. 5.03,9.01 10/24/12
POST PROPERTIES INC GA 2.02,9.01 10/29/12
PREMIERWEST BANCORP OR 1.01,8.01,9.01 10/30/12
PRESSTEK INC /DE/ DE 3.01 10/30/12
PRGX GLOBAL, INC. GA 2.02,9.01 10/29/12
PRICESMART INC DE 2.02,8.01,9.01 10/30/12
PS BUSINESS PARKS INC/CA CA 2.02,9.01 10/29/12
PURE BIOSCIENCE, INC. DE 2.02,9.01 10/30/12
PVF CAPITAL CORP OH 5.07 10/26/12
QLIK TECHNOLOGIES INC DE 3.01 10/24/12
QUAKER CHEMICAL CORP PA 2.02,9.01 10/30/12
QUESTAR CORP UT 2.02,9.01 10/30/12
QUICKLOGIC CORPORATION CA 2.02,9.01 10/30/12
QUINSTREET, INC DE 2.02,5.07,9.01 10/26/12
RADISYS CORP OR 1.01,2.02,9.01 10/30/12
RAINMAKER SYSTEMS INC DE 5.02,8.01 10/28/12
RAINMAKER SYSTEMS INC DE 2.02,7.01,9.01 10/30/12
REALNETWORKS INC WA 2.02,9.01 10/30/12
REGAL BELOIT CORP WI 2.02,7.01,9.01 10/29/12
Regional Management Corp. DE 5.02,5.08 10/24/12
Remark Media, Inc. DE 5.02 10/24/12
REYNOLDS AMERICAN INC 1.01,2.03,9.01 10/24/12
RIMAGE CORP MN 2.02,9.01 10/29/12
RING ENERGY, INC. NV 8.01 10/24/12
RPX Corp DE 2.02,9.01 10/30/12
Ruths Hospitality Group, Inc. DE 2.02,9.01 10/30/12
Ruths Hospitality Group, Inc. DE 5.02,5.05,9.01 10/26/12
Sabra Health Care REIT, Inc. MD 2.01,9.01 10/29/12
Samson Oil & Gas LTD C3 2.02,9.01 10/29/12
SANFILIPPO JOHN B & SON INC DE 7.01,9.01 10/30/12
SANMINA-SCI CORP DE 2.02,2.05,9.01 10/25/12
Santander Holdings USA, Inc. VA 7.01,9.01 10/30/12
SCANA CORP SC 1.01,2.03,9.01 10/25/12
SCHIFF NUTRITION INTERNATIONAL, INC. DE 1.01,5.02,5.07,9.01 10/25/12
SCHWAB CHARLES CORP DE 5.02 10/25/12
SCIQUEST INC DE 2.01,9.01 01/01/11 AMEND
SecureAlert, Inc. UT 5.02,9.01 10/23/12
Sequoia Mortgage Trust 2012-5 8.01,9.01 10/01/12
Shire plc 8.01,9.01 10/29/12
ShoreTel Inc CA 2.02,9.01 10/30/12
SILICON IMAGE INC DE 2.02,9.01 10/30/12
SM Energy Co DE 7.01,9.01 10/30/12
Solera National Bancorp, Inc. DE 2.02,9.01 10/29/12
Southeastern Bank Financial CORP GA 2.02,9.01 10/26/12
SPARTAN MOTORS INC MI 2.02,9.01 10/30/12
SPECTRANETICS CORP DE 2.02,9.01 10/30/12
Spirit AeroSystems Holdings, Inc. DE 1.01,9.01 10/26/12
STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 10/30/12
STATE BANK FINANCIAL CORP GA 5.02,9.01 10/29/12
STEELCASE INC MI 5.02,7.01,9.01 10/29/12
STERLING BANCORP NY 7.01,9.01 10/29/12
STEWART ENTERPRISES INC LA 8.01,9.01 10/29/12
STILLWATER MINING CO /DE/ DE 2.02,9.01 10/30/12
SUN HEALTHCARE GROUP INC DE 2.02,9.01 10/29/12
SUPERMEDIA INC. DE 2.02,7.01,8.01,9.01 10/30/12
SYMMETRICOM INC DE 5.02,5.07 10/26/12
TANGER FACTORY OUTLET CENTERS INC NC 2.02,7.01,9.01 10/30/12
TFS Financial CORP DE 2.02,5.02,9.01 10/30/12
TFS Financial CORP DE 7.01,9.01 10/29/12
THERAVANCE INC DE 2.02,9.01 10/30/12
THOR INDUSTRIES INC DE 5.02,9.01 10/25/12
TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 10/25/12
TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 10/30/12
UNITED RENTALS INC /DE DE 1.01,1.02,2.03,8.01, 10/30/12
9.01
United States 12 Month Natural Gas Fu 7.01,9.01 10/30/12
United States 12 Month Oil Fund, LP 7.01,9.01 10/30/12
United States Brent Oil Fund, LP DE 7.01,9.01 10/30/12
United States Commodity Index Funds T DE 7.01,9.01 10/30/12
United States Diesel-Heating Oil Fund DE 7.01,9.01 10/30/12
United States Gasoline Fund, LP DE 7.01,9.01 10/30/12
United States Natural Gas Fund, LP 7.01,9.01 10/30/12
United States Oil Fund, LP DE 7.01,9.01 10/30/12
United States Short Oil Fund, LP DE 7.01,9.01 10/30/12
UNITED STATES STEEL CORP DE 2.02,9.01 10/30/12
URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 10/26/12
US ECOLOGY, INC. DE 5.02,9.01 10/25/12
USA TRUCK INC DE 2.02,9.01 10/26/12
VALERO ENERGY CORP/TX DE 2.02,9.01 10/30/12
Verisk Analytics, Inc. DE 2.02,9.01 10/30/12
Verisk Analytics, Inc. DE 8.01,9.01 10/30/12
Versant International, Inc. NV 1.01,5.02,9.01 10/24/12
VIRGIN MEDIA INC. DE 1.01,8.01,9.01 10/30/12
VISHAY INTERTECHNOLOGY INC DE 2.02,7.01,9.01 10/30/12
VISTAPRINT N.V. P7 2.02,9.01 10/25/12 AMEND
WALT DISNEY CO/ DE 8.01,9.01 10/30/12
Walter Energy, Inc. DE 1.01,9.01 10/29/12
WATTS WATER TECHNOLOGIES INC DE 1.01,5.02 10/29/12
WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 10/30/12
WEBTRADEX INTERNATIONAL CORP NV 4.01,9.01 10/22/12
WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 10/29/12
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 10/30/12
Western Union CO DE 2.02,5.02,7.01,9.01 10/25/12
WESTFIELD FINANCIAL INC MA 2.02,9.01 10/29/12
WEX Inc. 5.03,8.01,9.01 10/25/12
WFRBS Commercial Mortgage Trust 2012- 9.01 10/30/12
WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 10/30/12
Wilhelmina International, Inc. DE 1.01,2.03,9.01 10/24/12
WVS FINANCIAL CORP PA 8.01,9.01 10/30/12
Xun Energy, Inc. NV 5.02,9.01 10/23/12
http://www.sec.gov/news/digest/2012/dig103112.htm
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