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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2012-214
November 7, 2012

Commission Announcements

SEC Announces Agenda and Panelists for Small Business Forum

The Securities and Exchange Commission today announced the agenda and panelists for next week’s Government-Business Forum on Small Business Capital Formation.

The event will begin at 9 a.m. on November 15 and will include two morning panel discussions.  The first panel will focus on JOBS Act implementation and the second panel will focus on small business capital formation issues not addressed by the JOBS Act.  In the afternoon, breakout groups will develop recommendations on a variety of issues related to small business capital formation.

The small business forum will take place at the SEC’s Washington D.C. headquarters and is open to public.  The morning sessions will be webcast live at www.sec.gov.  The afternoon breakout group sessions will not be webcast, but will be open to the public and accessible by phone.  Anyone wishing to participate in a breakout group session either in person or by phone must pre-register online by November 14.  Background materials are available on the small business forum webpage. (Press Rel. 2012-221; Sunshine Act Notice)

Enforcement Proceedings

In the Matter of John Jantzen

An Administrative Law Judge has issued an Initial Decision in John Jantzen, Admin. Proc. File No. 3-14880. On March 29, 2012, the United States District Court for the Western District of Texas (District Court) entered a final judgment permanently enjoining John Jantzen (Jantzen) from future violations of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 14e-3 thereunder in SEC v. Jantzen, No. 1:10-cv-740-JRN. The District Court also ordered disgorgement of $29,374.20, representing profits gained from illegal trading and prejudgment interest, and imposed a civil monetary penalty of $26,920.50 on Jantzen.

Based on the final judgment, the Initial Decision bars Jantzen, pursuant to Section 15(b) of the Exchange Act, from association with a broker, dealer, investment adviser, municipal securities dealer, transfer agent, or nationally recognized statistical rating organization for a period of five years. (Initial Decision No. 472; File No. 3-14880)

INVESTMENT COMPANY ACT RELEASES

Permal Hedge Strategies Fund, et al.

An order has been issued on an application filed by Permal Hedge Strategies Fund, et al. under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Sections 18(c) and 18(i) of the Act. The order permits certain registered closed-end management investment companies to issue multiple classes of shares with varying sales loads and asset-based distribution and service fees. (Rel. IC-30257 – November 5)

Fidelity Aberdeen Street Trust, et al.

A notice has been issued giving interested persons until November 30, 2012, to request a hearing on an application filed by Fidelity Aberdeen Street Trust, et al., for an order to amend a prior order under (a) section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from sections 18(f) and 21(b) of the Act; (b) section 12(d)(1)(J) of the Act granting an exemption from section 12(d)(1) of the Act; (c) sections 6(c) and 17(b) of the Act granting an exemption from sections 17(a)(1) and 17(a)(3) of the Act; and (d) section 17(d) of the Act and rule 17d-1 under the Act to permit certain joint arrangements (Prior Order). The Prior Order permitted certain registered open-end management investment companies to participate in a joint lending and borrowing facility. The amended order would modify certain rate conditions in the Prior Order and grant an exemption from section 17(a)(2) of the Act. (Rel. IC-30258 – November 6)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-BOX-2012-017) filed by BOX Options Exchange, LLC to Amend the Fee Schedule for Trading on BOX 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 November 5. (Rel. 34-68149)

A proposed rule change filed by New York Stock Exchange LLC proposing to make changes to certain fees and credits within the New York Stock Exchange LLC Price List (SR-NYSE-2012-56) 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 November 5. (Rel. 34-68150)

The Options Clearing Corporation (“OCC”) filed a proposed rule change (File No. SR-OCC-2012-20) under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 to clarify the applicability of OCC’s rules governing delivery of Treasury securities underlying Treasury futures contracts to futures on Treasury securities with maturities of greater than 25 years. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68151)

A proposed rule change, as modified by Amendment No. 1, filed by The NASDAQ Stock Market LLC to amend several NASDAQ Rules to reflect changes to Rules of the Financial Industry Regulatory Authority (“FINRA”) (SR-NASDAQ-2012-124) 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 November 5. (Rel. 34-68153)

A proposed rule change filed by C2 Options Exchange, Incorporated relating to system access, connectivity, and testing (SR-C2-2012-036) 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 November 5. (Rel. 34-68154)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated relating to system access, connectivity, and testing (SR-CBOE-2012-100) 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 November 5. (Rel. 34-68155)

A proposed rule change submitted by NYSE MKT LLC (SR-NYSEMKT-2012-57) to amend the NYSE Amex Options fee schedule to remove dividend spreads from the list of strategy executions for which fee caps apply 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 November 5. (Rel. 34-68156)

A proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEARCA-2012-119) to amend the NYSE Arca Options Fee Schedule to remove dividend spreads from the list of strategy executions for which fee caps apply 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 November 5. (Rel. 34-68157)

The National Securities Clearing Corporation (NSCC) filed a proposed rule change (File No. SR-NSCC-2012-08) under Section 19(b)(1) of the Securities Exchange Act of 1934 to modify Rule 52 (Mutual Fund Services) and Addendum A (NSCC’s Fee Structure). Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68159)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-098) 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 November 5. (Rel. 34-68163)

A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-46) relating to amendments to the EDGX Exchange, Inc. Fee 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 November 5. (Rel. 34-68166)

A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-46) relating to amendments to the EDGA Exchange, Inc. Fee 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 November 5. (Rel. 34-68168)

A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2012-105) 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 November 5. (Rel. 34-68169)

Proposed Rule Change

ICE Clear Europe filed a proposed rule change (File No. SR-ICEEU-2012-09) under Section 19(b)(2) of the Securities Exchange Act of 1934 to provide for a customer clearing model for CDS products and to amend, clarify and consolidate certain rules and procedures. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68152)

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-NYSEArca-2012-101) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade shares of the PowerShares S&P 500 Downside Hedged Portfolio under NYSE Arca Equities Rule 8.600. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68158)

The Commission approved a proposed rule change submitted by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-071), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to increase the maximum term for LEAPS to fifteen years. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68164)

Proposed Minor Rule Violation Plan

BOX Options Exchange, LLC filed a proposed Minor Rule Violation Plan (File No. 4-655) pursuant to Section 19(d)(1) of the Securities Exchange Act of 1934 and Rule 19d-1(c)(2) thereunder. Publication is expected in the Federal Register during the week of November 5. (Rel. 34-68170)

SECURITIES ACT REGISTRATIONS

The 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.

F-3     CHINA METRO-RURAL HOLDINGS Ltd, OMAR HODGE BUILDING, WICKHAMS CAY 1, 
        PO BOX 362, ROAD TOWN, TORTOLA, D8, 00000, (852)23179888 - 
        0 ($57,809,086.32) Equity, (File 333-184774 - Nov. 6) (BR. 08B)

S-3ASR  INFINITY PHARMACEUTICALS, INC., 780 MEMORIAL DRIVE, CAMBRIDGE, MA, 
        02139, 6174531000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-184775 - Nov. 6) (BR. 01A)

S-8     KIMCO REALTY CORP, 3333 NEW HYDE PARK RD, PO BOX 5020, NEW HYDE PARK, 
        NY, 11042, 5168699000 - 5,000,000 ($97,500,000.00) Equity, 
        (File 333-184776 - Nov. 6) (BR. 08B)

S-3ASR  CHEVRON CORP, 6001 BOLLINGER CANYON ROAD, SAN RAMON, CA, 94583, 
        925-842-1000 - 0 ($0.00) Debt, (File 333-184777 - Nov. 6) (BR. 04A)

S-1     TransBiotec, Inc., 3030 OLD RANCH PARKWAY, SUITE 350, SUITE 350, 
        SEAL BEACH, CA, 90740, (562) 280-0483 - 
        8,500,000 ($1,912,500.00) Equity, (File 333-184778 - Nov. 6) (BR. 05B)

S-1     ENANTA PHARMACEUTICALS INC, 500 ARSENAL STREET, WATERTOWN, MA, 02472, 
        617 607 0800 - 0 ($69,000,000.00) Equity, (File 333-184779 - Nov. 6) 
        (BR. 01)

S-3     AMERICAN SUPERCONDUCTOR CORP /DE/, SIXTY FOUR JACKSON ROAD, DEVENS, MA, 
        01434, 9788423000 - 765,301 ($2,762,736.61) Equity, (File 333-184780 - 
        Nov. 6) (BR. 10A)

S-8     DOUGLAS DYNAMICS, INC, 7777 NORTH 73RD ST, MILWAUKEE, WI, 53233, 
        414-362-3940 - 0 ($7,525,000.00) Equity, (File 333-184781 - Nov. 6) 
        (BR. 10A)

S-8     L 3 COMMUNICATIONS CORP, 600 THIRD AVENUE, 34TH FLOOR, NEW YORK, NY, 
        10016, 1216971111 - 0 ($30,000,000.00) Other, (File 333-184783 - 
        Nov. 6) (BR. 11A)

S-8     VERTEX PHARMACEUTICALS INC / MA, 130 WAVERLY STREET, CAMBRIDGE, MA, 
        02139-4242, 6173416100 - 0 ($110,175,000.00) Equity, (File 333-184784 - 
        Nov. 6) (BR. 01B)

S-3     RESEARCH FRONTIERS INC, 240 CROSSWAYS PARK DR, WOODBURY, NY, 
        11797-2033, 5163641902 - 4,750,000 ($18,945,000.00) Equity, 
        (File 333-184785 - Nov. 6) (BR. 03B)

S-8     CUMMINS INC, 500 JACKSON ST, BOX 3005 MAIL CODE 60207, COLUMBUS, IN, 
        47202-3005, 8123773842 - 540,000 ($50,727,600.00) Equity, 
        (File 333-184786 - Nov. 6) (BR. 10A)

S-8     VERTEX PHARMACEUTICALS INC / MA, 130 WAVERLY STREET, CAMBRIDGE, MA, 
        02139-4242, 6173416100 - 0 ($132,210,000.00) Equity, (File 333-184787 - 
        Nov. 6) (BR. 01B)

S-8     ISIS PHARMACEUTICALS INC, 2855 GAZELLE COURT, CARLSBAD, CA, 92010, 
        7609319200 - 0 ($1,752,000.00) Equity, (File 333-184788 - Nov. 6) 
        (BR. 01A)

S-8     Echo Global Logistics, Inc., 600 WEST CHICAGO AVENUE, SUITE 725, 
        CHICAGO, IL, 60610, 1-800-354-7993 - 0 ($26,845,500.00) Equity, 
        (File 333-184789 - Nov. 6) (BR. 05B)

S-3ASR  RETAIL PROPERTIES OF AMERICA, INC., 
        C/O RETAIL PROPERTIES OF AMERICA, INC., 2901 BUTTERFIELD ROAD, 
        OAK BROOK, IL, 60523, 630 368 2863 - 
        0 ($0.00) Unallocated (Universal) Shelf, (File 333-184790 - Nov. 6) 
        (BR. 08B)

S-3ASR  ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 
        5742676131 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184791 - Nov. 6) (BR. 10B) 

RECENT 8K FILINGS

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

-----------------------------------------------------------------------------------------

1st Century Bancshares, Inc.            DE       2.02,9.01            11/06/12

ABBY INC.                               CO       1.01,9.01            11/05/12

ABBY INC.                               CO       1.01,9.01            10/31/12    AMEND

ACACIA RESEARCH CORP                    DE       8.01                 11/01/12

Acadia Healthcare Company, Inc.         DE       2.02,9.01            11/06/12

ACELRX PHARMACEUTICALS INC              DE       2.02,9.01            11/06/12

ACURA PHARMACEUTICALS, INC              NY       2.02,9.01            11/06/12

AETNA INC /PA/                          PA       8.01,9.01            11/06/12

AGR TOOLS, INC.                         NV       5.02,9.01            10/23/12

AIR INDUSTRIES GROUP, INC.              DE       2.02,7.01,9.01       11/05/12

AKORN INC                               LA       2.02,9.01            11/06/12

ALBANY MOLECULAR RESEARCH INC           DE       2.02,9.01            11/06/12

Alexza Pharmaceuticals Inc.             DE       2.02,9.01            11/06/12

ALLEGHANY CORP /DE                      DE       2.02,9.01            11/06/12

Allezoe Medical Holdings Inc            DE       5.03,5.07,8.01,9.01  10/25/12

ALLIANCE ONE INTERNATIONAL, INC.        VA       2.02,9.01            11/06/12

ALMOST FAMILY INC                       DE       2.02,9.01            11/06/12

Alon Refining Krotz Springs, Inc.       DE       2.02,9.01            11/05/12

Alon USA Energy, Inc.                   DE       2.02,9.01            11/05/12

ALPHA PRO TECH LTD                      DE       2.02,9.01            11/06/12

ALTERRA CAPITAL HOLDINGS Ltd                     2.02,8.01,9.01       11/06/12

AMEDISYS INC                            DE       2.02,7.01,9.01       11/06/12

American Assets Trust, Inc.             MD       2.02,7.01,9.01       11/06/12

AMERICAN EAGLE OUTFITTERS INC           DE       1.01                 11/05/12

AMERICAN EQUITY INVESTMENT LIFE HOLDI   IA       2.02                 11/05/12

AMERICAN SUPERCONDUCTOR CORP /DE/       DE       2.02,9.01            11/06/12

Amtrust Financial Services, Inc.        DE       2.02,9.01            11/06/12

AMYRIS, INC.                            DE       2.02,9.01            11/06/12

ANDERSONS INC                           OH       2.02                 11/05/12

Antero Resources LLC                    DE       1.01,7.01,9.01       11/01/12

AOL Inc.                                DE       2.02,9.01            11/06/12

APOLLO GROUP INC                        AZ       5.02                 11/02/12

APPLETON PAPERS INC/WI                           2.02,9.01            11/05/12

Approach Resources Inc                  DE       2.02,7.01,9.01       11/05/12

ARABIAN AMERICAN DEVELOPMENT CO         DE       5.02                 11/05/12

ARCHER DANIELS MIDLAND CO               DE       5.07                 11/01/12

ARDEN GROUP INC                         DE       2.02,9.01            11/06/12

ARENA PHARMACEUTICALS INC               DE       2.02,9.01            11/06/12

ARENA PHARMACEUTICALS INC               DE       1.01                 11/06/12

ARMSTRONG WORLD INDUSTRIES INC          PA       7.01,8.01,9.01       11/05/12

ARRAY BIOPHARMA INC                     DE       8.01,9.01            11/06/12

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            11/06/12

ASTRONICS CORP                          NY       2.02,9.01            11/06/12

Atlantic Coast Financial CORP           MD       2.02,9.01            11/06/12

ATLAS PIPELINE PARTNERS LP              DE       1.01,9.01            11/05/12

ATWOOD OCEANICS INC                     TX       3.03                 11/05/12

AVIS BUDGET GROUP, INC.                 DE       1.01,2.03,9.01       11/05/12

AVISTA CORP                             WA       2.02,9.01            11/06/12

AXESSTEL INC                            NV       2.02,9.01            11/06/12

BankFinancial CORP                               7.01,9.01            11/06/12

BARRY R G CORP /OH/                     OH       2.02,9.01            11/06/12

BECTON DICKINSON & CO                   NJ       5.02                 11/06/12

Behringer Harvard Opportunity REIT II   MD       2.01,9.01            10/31/12

BELK INC                                         5.02,9.01            11/01/12

BIO RAD LABORATORIES INC                DE       2.02,9.01            11/02/12

BIOMIMETIC THERAPEUTICS, INC.           DE       2.02,9.01            11/05/12

BioRestorative Therapies, Inc.          NV       8.01,9.01            11/05/12


BJs RESTAURANTS INC                     CA       8.01,9.01            11/06/12

BLACKBAUD INC                                    5.02                 11/01/12

Blueknight Energy Partners, L.P.        DE       2.02,9.01            11/06/12

Bluforest Inc.                          NV       5.02                 11/01/12

BreitBurn Energy Partners L.P.          DE       2.02,5.02,7.01,9.01  11/06/12

BRIGHTCOVE INC                          DE       8.01                 11/02/12

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       2.02,9.01            11/06/12

BUCKLE INC                              NE       8.01,9.01            11/06/12

Bullfrog Gold Corp.                     DE       5.02,9.01            11/02/12

CABLEVISION SYSTEMS CORP /NY            DE       2.02,9.01            11/06/12

CACHE INC                               FL       2.02,9.01            11/06/12

Calamos Asset Management, Inc. /DE/              2.02,5.02,9.01       11/01/12

CALAVO GROWERS INC                      CA       1.01,2.01,9.01       10/31/12

CALIFORNIA WATER SERVICE GROUP          DE       2.02,9.01            11/06/12

CALIX, INC                                       8.01,9.01            11/05/12

CALPINE CORP                            DE       2.02,9.01            11/06/12

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 10/31/12

CAPITAL ONE FINANCIAL CORP              DE       8.01,9.01            11/06/12

CARRIZO OIL & GAS INC                   TX       2.02                 11/06/12

CARROLS RESTAURANT GROUP, INC.                   2.02,9.01            11/05/12

Castmor Resources Ltd                   NV       1.01,2.01,2.02,3.02, 06/11/12    AMEND
                                                 4.01,5.01,5.02,5.06,
                                                 9.01
   
CATERPILLAR FINANCIAL SERVICES CORP     DE       8.01,9.01            11/06/12

CATERPILLAR INC                         DE       5.02,9.01            11/06/12

CC Media Holdings Inc                            8.01,9.01            11/06/12

CDEX INC                                NV       8.01                 11/05/12

CEDAR FAIR L P                          DE       2.02,9.01            11/06/12

CENTRAL BANCORP INC /MA/                MA       9.01                 10/31/12

CF Industries Holdings, Inc.            DE       2.02,9.01            11/06/12

CHARTER COMMUNICATIONS, INC. /MO/       DE       2.02,9.01            11/06/12

CHICAGO BRIDGE & IRON CO N V                     7.01,9.01            11/06/12

CHINA VALVES TECHNOLOGY, INC            NV       5.02,9.01            11/05/12

CHURCHILL DOWNS INC                     KY       9.01                 11/06/12    AMEND

CIBER INC                               DE       2.02,2.05,9.01       11/06/12

CIBER INC                               DE       7.01,8.01,9.01       11/06/12

CINCINNATI BELL INC                     OH       8.01,9.01            11/06/12

Cinemark Holdings, Inc.                 DE       2.02,7.01,9.01       11/06/12

CITY NATIONAL CORP                      DE       7.01,9.01            11/05/12

Claridge Ventures, Inc.                 NV       5.02,9.01            11/06/12

Clarion Partners Property Trust Inc.    MD       1.01,2.01,2.03,8.01, 10/31/12
                                                 9.01
          
CLEAR CHANNEL COMMUNICATIONS INC        TX       8.01,9.01            11/06/12

Clear Channel Outdoor Holdings, Inc.    DE       1.01,8.01,9.01       11/06/12

CNL Healthcare Trust, Inc.              MD       1.01,9.01            10/31/12

COEUR D ALENE MINES CORP                ID       9.01                 11/06/12

COGENT COMMUNICATIONS GROUP INC                  2.02,9.01            11/06/12

COGENT COMMUNICATIONS INC                        2.02,9.01            11/06/12

COLOMBIA ENERGY RESOURCES, INC.         DE       5.02,8.01            10/31/12

Colony Financial, Inc.                  MD       2.02,9.01            11/05/12

COLORADO GOLDFIELDS INC.                NV       1.01,5.03,9.01       10/31/12

COMPUTER SCIENCES CORP                  NV       2.02,9.01            11/06/12

COMPX INTERNATIONAL INC                 DE       2.02,7.01,9.01       11/06/12

COMVERSE TECHNOLOGY INC/NY/             NY       2.01,9.01            10/31/12

CONSOLIDATED EDISON INC                 NY       2.02,9.01            11/05/12

CONTINENTAL RESOURCES, INC              OK       5.03,9.01            10/31/12

CorMedix Inc.                           DE       5.02                 10/31/12

Corridor Ventures I Acquisition Corp.   NV       4.01,9.01            10/29/12

Crestwood Midstream Partners LP         DE       2.02,9.01            11/06/12

Crumbs Bake Shop, Inc.                  DE       5.02                 11/02/12

Cryoport, Inc.                          NV       5.02,9.01            11/05/12

CURIS INC                               DE       2.02,9.01            11/06/12

CVR ENERGY INC                          DE       2.02,7.01,9.01       11/06/12

CVS CAREMARK CORP                       DE       2.02,9.01            11/06/12

CYTORI THERAPEUTICS, INC.               DE       5.02                 10/31/12

DAKOTA PLAINS HOLDINGS, INC.            NV       1.01,1.02,2.03,3.02, 11/02/12
                                                 7.01,9.01
     
Demandware Inc                          DE       2.02,9.01            11/06/12

DENBURY RESOURCES INC                   DE       2.02,9.01            11/06/12

DIRECTV                                 DE       2.02                 11/06/12

Discovery Communications, Inc.          DE       2.02,9.01            11/06/12

DLD Group, Inc.                         NV       5.03,9.01            11/06/12

Douglas Emmett Inc                      MD       2.02,9.01            11/06/12

DRIVETIME AUTOMOTIVE GROUP INC          DE       8.01                 11/05/12

DubLi, Inc.                             NV       5.05,9.01            10/31/12

DUKE REALTY CORP                        IN       2.02,9.01            10/31/12

EASTERN AMERICAN NATURAL GAS TRUST      DE       7.01,9.01            11/05/12

EGAIN COMMUNICATIONS CORP               DE       2.02,9.01            11/06/12

EMERSON ELECTRIC CO                     MO       2.02,9.01            11/06/12

EMMIS COMMUNICATIONS CORP               IN       1.01,5.07            11/02/12

EMPIRE RESORTS INC                      DE       1.01,5.07,9.01       10/31/12

ENDEAVOUR INTERNATIONAL CORP            NV       1.01,9.01            10/31/12

Energy Future Holdings Corp /TX/        TX       8.01                 11/06/12

EPL OIL & GAS, INC.                     DE       1.01,2.01,2.03,9.01  10/31/12

EPLUS INC                               DE       2.02,9.01            11/05/12

ESTERLINE TECHNOLOGIES CORP             DE       8.01                 11/05/12

EverBank Financial Corp                 DE       8.01,9.01            11/05/12

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA       2.02,9.01            11/06/12

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA       2.02,9.01            11/06/12

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA       7.01                 11/06/12

FARMER BROTHERS CO                      CA       2.02,9.01            11/05/12

Federal Home Loan Bank of Atlanta       X1       2.03                 11/01/12

Federal Home Loan Bank of Boston        X1       2.03                 10/31/12

Federal Home Loan Bank of Chicago       X1       2.03                 11/01/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            10/31/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            11/02/12

Federal Home Loan Bank of New York      X1       2.03,9.01            11/01/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            10/31/12

Federal Home Loan Bank of San Francis   X1       2.03                 11/01/12

Federal Home Loan Bank of Topeka                 2.03,9.01            10/31/12

FEDERAL HOME LOAN MORTGAGE CORP                  2.02,9.01            11/06/12

Financial Engines, Inc.                          2.02,9.01            11/06/12

Financial Engines, Inc.                          5.02,9.01            11/06/12

FIRST ACCEPTANCE CORP /DE/              DE       2.02,9.01            11/06/12

FIRST PACTRUST BANCORP INC              MD       8.01,9.01            11/05/12

Firsthand Technology Value Fund, Inc.            8.01,9.01            11/06/12

FLIR SYSTEMS INC                        OR       7.01,9.01            11/06/12

Fortress Investment Group LLC           DE       7.01                 11/06/12

FOSSIL INC                              DE       2.02,9.01            11/06/12

FRANKLIN FINANCIAL SERVICES CORP /PA/   PA       5.02,9.01            11/05/12

FRONTIER COMMUNICATIONS CORP            DE       2.02,7.01,9.01       11/06/12

FUEL TECH, INC.                         DE       2.02,9.01            11/05/12

FUELCELL ENERGY INC                     DE       1.01,8.01,9.01       10/31/12

FUTURES PORTFOLIO FUND L.P.             MD       3.02                 11/01/12

FX ENERGY INC                           NV       8.01,9.01            11/05/12

GATEWAY TAX CREDIT FUND III LTD         FL       4.01                 11/05/12

GENERAL DYNAMICS CORP                   DE       8.01,9.01            11/06/12

GENESIS ENERGY LP                       DE       2.02,9.01            11/06/12

GeoEye, Inc.                            DE       2.02,9.01            11/06/12

Global Eagle Acquisition Corp.          DE       1.01,2.03,3.02,9.01  11/06/12

GLOBAL GREEN INC.                       FL       7.01,9.01            11/06/12

GLOBALSCAPE INC                         DE       7.01,9.01            11/06/12

GLOBECOMM SYSTEMS INC                            2.02,9.01            11/06/12

GOLDEN GLOBAL CORP.                     NV       5.02                 11/01/12

GOLDMAN SACHS GROUP INC                 DE       5.02,9.01            11/05/12

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 11/06/12

Great Lakes Dredge & Dock CORP          DE       2.02,9.01            11/06/12

GREENBRIER COMPANIES INC                OR       5.02                 10/31/12

Griffin-American Healthcare REIT II,    MD       8.01                 10/31/12

GSE Holding, Inc.                       DE       7.01,9.01            11/06/12

GT Advanced Technologies Inc.           DE       2.02,7.01,9.01       11/06/12

H&E Equipment Services, Inc.            DE       5.02                 11/02/12

HALCON RESOURCES CORP                   DE       5.03,9.01            10/31/12

Hampden Bancorp, Inc.                   DE       7.01,9.01            11/06/12

HD SUPPLY, INC.                         DE       7.01,9.01            11/06/12

HEADWATERS INC                          DE       2.02,9.01            11/06/12

HEALTH CARE REIT INC /DE/               DE       2.02,9.01            11/06/12

Health in Harmony, Inc.                          5.01,5.02            10/31/12

HealthMarkets, Inc.                     DE       5.02,9.01            11/01/12

HECLA MINING CO/DE/                     DE       2.02,8.01,9.01       11/06/12

HERITAGE OAKS BANCORP                   CA       5.02,9.01            11/05/12

HERTZ CORP                              DE       2.02,9.01            11/01/12

HERTZ GLOBAL HOLDINGS INC                        2.02,9.01            11/01/12

HICKORY TECH CORP                       MN       1.01,9.01            11/05/12

Higher One Holdings, Inc.               DE       2.02,7.01,9.01       11/06/12

Homeowners Choice, Inc.                 FL       2.02,9.01            11/06/12

HomeTown Bankshares Corp                         2.02,9.01            11/01/12

Horizon Technology Finance Corp         DE       2.02,9.01            11/06/12

HOSPITALITY PROPERTIES TRUST            MD       2.02,9.01            11/06/12

HYPERDYNAMICS CORP                      DE       8.01,9.01            10/31/12

HYSTER-YALE MATERIALS HANDLING, INC.    DE       2.02,7.01,9.01       11/06/12

HYSTER-YALE MATERIALS HANDLING, INC.    DE       2.02,7.01,9.01       11/06/12

ICAHN ENTERPRISES L.P.                  DE       8.01,9.01            11/05/12

ICEWEB INC                              DE       4.01,9.01            11/02/12

IEC ELECTRONICS CORP                    DE       2.02,7.01            11/02/12

IMPERVA INC                             DE       5.02                 11/02/12

INFINITY PHARMACEUTICALS, INC.          DE       2.02,5.02,7.01,8.01, 11/02/12
                                                 9.01
          
InfuSystem Holdings, Inc                DE       2.02,9.01            11/01/12

Intellicheck Mobilisa, Inc.             DE       5.07                 11/01/12    AMEND

INTERNATIONAL FLAVORS & FRAGRANCES IN   NY       2.02,9.01            11/06/12

INTERNATIONAL RECTIFIER CORP /DE/       DE       5.07,7.01,9.01       11/06/12

Interval Leisure Group, Inc.            DE       2.02,8.01,9.01       11/06/12

INVESTORS TITLE CO                      NC       2.02,9.01            11/06/12

ION GEOPHYSICAL CORP                    DE       7.01                 11/06/12

ISIS PHARMACEUTICALS INC                DE       2.02,9.01            11/06/12

ITC Holdings Corp.                      MI       5.02                 10/31/12

J.D. HUTT Corp                          NV       8.01                 10/31/12

JAMBA, INC.                             DE       5.02                 10/29/12

John Bean Technologies CORP             DE       2.02,9.01            11/05/12

JOSHUA GOLD RESOURCES INC               NV       8.01,9.01            10/11/12

JOSHUA GOLD RESOURCES INC               NV       8.01,9.01            11/02/12

KAR Auction Services, Inc.              DE       2.02,9.01            11/06/12

KBR, INC.                               DE       8.01,9.01            11/05/12

KCAP Financial, Inc.                    DE       8.01,9.01            11/05/12

KENEXA CORP                                      8.01                 10/31/12

Kennedy-Wilson Holdings, Inc.           DE       2.02,9.01            11/02/12

Kennedy-Wilson Holdings, Inc.           DE       9.01                 11/05/12

Kentucky First Federal Bancorp                   8.01,9.01            11/05/12

KMP Futures Fund I LLC                  DE       8.01,9.01            11/01/12

KOPIN CORP                              DE       2.02,9.01            11/06/12

LAKES ENTERTAINMENT INC                 MN       2.02,9.01            11/06/12

Landmark Apartment Trust of America,             2.01,2.03,9.01       08/28/12    AMEND

LEUCADIA NATIONAL CORP                  NY       8.01,9.01            11/06/12

LEXICON PHARMACEUTICALS, INC./DE        DE       2.02,9.01            11/06/12

LIBBEY INC                              DE       7.01,9.01            11/06/12

LIFEAPPS DIGITAL MEDIA INC.             DE       4.01,9.01            10/31/12

LifeCare Holdings, Inc.                 DE       1.01,9.01            11/01/12

LIVEPERSON INC                          DE       2.02,7.01,9.01       11/06/12

Lone Star Gold, Inc.                    NV       3.02                 09/14/12    AMEND

LOUISIANA-PACIFIC CORP                  DE       2.02,9.01            11/05/12

LSB INDUSTRIES INC                      DE       2.02,9.01            11/06/12

MAD CATZ INTERACTIVE INC                Z4       2.02,9.01            11/06/12

MAM SOFTWARE GROUP, INC.                DE       2.02,9.01            11/06/12

MARATHON OIL CORP                       DE       2.02,9.01            11/06/12

Marathon Petroleum Corp                 DE       1.01,2.01,9.01       10/31/12

MARSH & MCLENNAN COMPANIES, INC.        DE       2.02,9.01            11/06/12

MARTIN MARIETTA MATERIALS INC           NC       2.02,7.01,9.01       11/06/12

MAXYGEN INC                             DE       2.02,9.01            11/06/12

MCDERMOTT INTERNATIONAL INC             R1       2.02,9.01            11/05/12

McEwen Mining Inc.                      CO       7.01,9.01            11/05/12

MEDALLION FINANCIAL CORP                DE       2.02,9.01            11/05/12

MERGE HEALTHCARE INC                    DE       2.02,9.01            10/31/12

MERISEL INC /DE/                        DE       1.01,5.02            10/26/12

METROPOLITAN HEALTH NETWORKS INC        FL       1.01,5.02,7.01,9.01  11/02/12

METROPOLITAN HEALTH NETWORKS INC        FL       8.01,9.01            11/05/12

MFA FINANCIAL, INC.                     MD       2.02,7.01            11/06/12

MGE ENERGY INC                          WI       2.02,9.01            11/06/12

MHI Hospitality CORP                    MD       2.02,9.01            11/06/12

Millennium India Acquisition CO Inc.    DE       2.02,8.01,9.01       11/05/12

MIPS TECHNOLOGIES INC                   DE       8.01,9.01            11/05/12

MIPS TECHNOLOGIES INC                   DE       8.01,9.01            11/06/12

MISSION WEST PROPERTIES INC             CA       8.01,9.01            11/02/12    AMEND

Mister Goody, Inc.                      FL       9.01                 08/24/12    AMEND

MODINE MANUFACTURING CO                 WI       2.02,9.01            11/06/12

MONARCH COMMUNITY BANCORP INC           MD       2.02,9.01            11/01/12

MOTRICITY INC                           DE       1.01                 09/21/12    AMEND

MPLX LP                                 DE       1.01,2.01,3.02,5.02, 10/31/12
                                                 5.03,9.01
     
MSCI Inc.                               DE       2.02,9.01            11/06/12

N-VIRO INTERNATIONAL CORP               DE       1.01,9.01            11/06/12

NACCO INDUSTRIES INC                    DE       2.02,7.01,9.01       11/06/12

Nationstar Mortgage Holdings Inc.       DE       2.02,9.01            11/06/12

NATURAL RESOURCE PARTNERS LP            DE       2.02,9.01            11/05/12

NAVISTAR INTERNATIONAL CORP             DE       7.01,9.01            11/06/12

New Mountain Finance Corp               DE       2.02,9.01            11/06/12

NEW YORK TIMES CO                       NY       5.02,9.01            11/02/12

NEWS CORP                                        2.02,9.01            11/06/12

NEWS CORP                                        8.01,9.01            11/06/12

NewStar Financial, Inc.                          1.01,2.03,9.01       11/05/12

NEXSTAR BROADCASTING GROUP INC          DE       2.02,8.01,9.01       11/05/12

NGP Capital Resources Co                MD       2.02,9.01            11/06/12

NL INDUSTRIES INC                       NJ       2.02,7.01,9.01       11/06/12

Northern Tier Energy LP                 DE       1.01,8.01,9.01       11/02/12

NORTHWEST NATURAL GAS CO                OR       2.02,9.01            11/06/12

Novelis Inc.                            A6       2.02,9.01            11/06/12

NTS, INC.                               NV       1.02,5.02            11/06/12

NUCOR CORP                              DE       1.01,9.01            10/31/12

NYSE Euronext                           DE       2.02,9.01            11/06/12

OAK RIDGE MICRO-ENERGY INC              CO       1.01,2.01,9.01       10/31/12

Oaktree Capital Group, LLC              DE       2.02,9.01            11/06/12

OCLARO, INC.                            DE       2.02,9.01            11/05/12

OFFICE DEPOT INC                        DE       2.02,9.01            11/06/12

OFFICEMAX INC                           DE       2.02,9.01            11/06/12

OMEGA PROTEIN CORP                      NV       2.02,9.01            11/05/12

OMNI BIO PHARMACEUTICAL, INC.           CO       1.01,2.03,3.02       10/31/12

OneBeacon U.S. Holdings, Inc.           DE       7.01,9.01            11/06/12

OSAGE EXPLORATION & DEVELOPMENT INC     DE       4.01,9.01            10/10/12    AMEND

OSL HOLDINGS INC.                                2.04                 11/01/12

OTELCO INC.                             DE       2.02,9.01            11/06/12

Otter Tail Corp                         MN       2.02,9.01            11/05/12

OXFORD INDUSTRIES INC                   GA       5.02                 11/06/12

Oxford Resource Partners LP                      2.02,9.01            11/06/12

OXIS INTERNATIONAL INC                  DE       7.01,9.01            11/06/12

PEPCO HOLDINGS INC                      DE       2.02,7.01,9.01       11/06/12

PERICOM SEMICONDUCTOR CORP              CA       1.01,9.01            11/01/12

PHARMACYCLICS INC                       DE       7.01,9.01            11/05/12

PHARMACYCLICS INC                       DE       2.02,9.01            11/05/12

PHARMATHENE, INC                        DE       2.02,9.01            11/06/12

PHOTOMEDEX INC                          DE       9.01                 11/04/12

PIONEER POWER SOLUTIONS, INC.           DE       1.01,2.03            10/31/12

PIXELWORKS, INC                         OR       5.02,9.01            11/02/12

PLEXUS CORP                             WI       7.01,9.01            11/06/12

PLUMAS BANCORP                          CA       2.02,9.01            11/06/12

POKERTEK, INC.                          NC       2.02,9.01            11/06/12

Poly Shield Technologies Inc.           DE       1.01,9.01            11/02/12

POWIN CORP                                       5.02,9.01            11/01/12

PRESSTEK INC /DE/                       DE       2.01,3.01,5.01,5.02, 10/31/12
                                                 5.03,9.01
     
PROASSURANCE CORP                       DE       2.02,7.01,9.01       11/06/12

PROCERA NETWORKS INC                    NV       2.02,9.01            11/06/12

PSB Holdings, Inc.                               5.07                 11/02/12

PSYCHEMEDICS CORP                       DE       2.02,9.01            11/05/12

QUANTUM CORP /DE/                       DE       2.03,3.02            11/06/12

QUICKSILVER RESOURCES INC               DE       2.02,9.01            11/06/12

RAAM Global Energy Co                   DE       5.02                 10/30/12

RACKSPACE HOSTING, INC.                          2.02,9.01            11/06/12

Raptor Pharmaceutical Corp              DE       8.01,9.01            11/05/12

READING INTERNATIONAL INC               NV       1.01                 10/31/12

Renewable Energy Group, Inc.                     2.02,9.01            11/06/12

RETAIL PROPERTIES OF AMERICA, INC.      MD       8.01,9.01            11/06/12

REX ENERGY CORP                         DE       2.02,7.01,9.01       11/06/12

REYNOLDS AMERICAN INC                            1.02,2.04            10/31/12

RIGEL PHARMACEUTICALS INC               DE       2.02,9.01            11/06/12

ROBERTS REALTY INVESTORS INC            GA       4.01,9.01            11/05/12

ROCHESTER MEDICAL CORPORATION           MN       7.01,9.01            11/06/12

ROYAL QUANTUM GROUP INC                 NV       3.02,5.01            10/30/12

Rubicon Technology, Inc.                DE       2.02,9.01            11/06/12

Ryman Hospitality Properties, Inc.      DE       2.02,9.01            11/06/12

SABINE ROYALTY TRUST                    TX       2.02,9.01            11/05/12

SAGA COMMUNICATIONS INC                 DE       2.02,9.01            11/06/12

SAGE FUND LP                                     3.02                 11/01/12

SAN DIEGO GAS & ELECTRIC CO             CA       2.02,9.01            11/06/12

Sarepta Therapeutics, Inc.              OR       5.02,8.01,9.01       11/05/12

SBA COMMUNICATIONS CORP                 FL       2.02,9.01            11/05/12

SCANA CORP                              SC       2.02,9.01            10/31/12

SCIENTIFIC GAMES CORP                   DE       2.02,9.01            11/06/12

SEMPRA ENERGY                           CA       2.02,9.01            11/06/12

Shire plc                                        8.01,9.01            11/05/12

Shire plc                                        8.01,9.01            11/06/12

SHORE BANCSHARES INC                    MD       5.02,9.01            11/06/12

Shoshone Silver/Gold Mining Co          ID       1.01,2.01,9.01       11/05/12

Silicon Graphics International Corp     DE       2.02,9.01            11/06/12

SMG Indium Resources Ltd.               DE       5.07                 11/06/12

SOCKET MOBILE, INC.                     DE       1.01,2.02,3.02,8.01, 11/05/12
                                                 9.01
          
SOHU COM INC                            DE       2.02,9.01            11/05/12

SOUTHERN CALIFORNIA GAS CO              CA       2.02,9.01            11/06/12

SOUTHERN FIRST BANCSHARES INC           SC       2.02,9.01            11/06/12

SOUTHWEST GAS CORP                      CA       2.02                 11/06/12

SOUTHWESTERN ENERGY CO                  DE       7.01                 11/06/12

SPARTON CORP                            OH       2.02,7.01,9.01       11/06/12

Spring Creek Healthcare Systems, Inc.   NV       4.01,9.01            08/06/12    AMEND

Sputnik Enterprises, Inc                NV       8.01,9.01            11/05/12

SquareTwo Financial Corp                DE       8.01,9.01            11/06/12

STAG Industrial, Inc.                            2.01,9.01            10/09/12    AMEND

STANLEY BLACK & DECKER, INC.            CT       1.01,2.03,9.01       11/01/12

STEC, INC.                              CA       2.02,8.01,9.01       11/06/12

STEIN MART INC                          FL       8.01                 11/06/12

STERLING FINANCIAL CORP /WA/            WA       7.01,9.01            11/06/12

STERLING GROUP VENTURES INC             NV       7.01,9.01            11/05/12

STONE ENERGY CORP                       DE       2.02,7.01,9.01       11/06/12

STONEMOR PARTNERS LP                    DE       2.02,9.01            11/06/12

STRATASYS INC                           DE       2.02,9.01            11/02/12

STRATEGIC HOTELS & RESORTS, INC                  1.01,2.03,7.01,9.01  11/01/12

Strategic Storage Trust, Inc.           MD       7.01,8.01,9.01       11/06/12

STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            10/29/12

STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            11/01/12

SunOpta Inc.                                     2.02,9.01            11/06/12

SURMODICS INC                           MN       2.02,9.01            11/06/12

SVB FINANCIAL GROUP                              7.01,9.01            11/06/12

Swingplane Ventures, Inc.               NV       5.02                 11/05/12

SWS GROUP INC                           DE       2.02,9.01            11/06/12

SYNAGEVA BIOPHARMA CORP                 DE       2.02,9.01            11/06/12

SYPRIS SOLUTIONS INC                    DE       2.02,7.01,9.01       11/06/12

TANGOE INC                              DE       2.02,9.01            11/06/12

TARGACEPT INC                                    2.02,9.01            11/06/12

Teavana Holdings Inc                             7.01,9.01            11/06/12

TECO ENERGY INC                         FL       5.02                 10/31/12

TETRA TECHNOLOGIES INC                  DE       2.02,9.01            11/06/12

THL Credit, Inc.                        DE       2.02,9.01            11/06/12

THOR INDUSTRIES INC                     DE       2.02,9.01            11/05/12

TIDELANDS BANCSHARES INC                         2.02,9.01            11/06/12

TIDEWATER INC                           DE       2.02,9.01            11/06/12

Titanium Asset Management Corp          DE       2.02,9.01            11/06/12

TMX Finance LLC                         DE       8.01,9.01            10/31/12

TOR MINERALS INTERNATIONAL INC          DE       8.01,9.01            11/06/12

TORCHMARK CORP                          DE       8.01,9.01            11/01/12

TORTOISE CAPITAL RESOURCES CORP                  8.01,9.01            11/01/12

Towers Watson & Co.                     DE       2.02,9.01            11/06/12

TOWN SPORTS INTERNATIONAL HOLDINGS IN   DE       7.01,9.01            11/06/12

TRACTOR SUPPLY CO /DE/                  DE       5.03,9.01            11/06/12

TransMontaigne Partners L.P.            DE       2.02,9.01            11/06/12

TransUnion Holding Company, Inc.        DE       1.01,2.03,9.01       11/01/12

TRAVELCENTERS OF AMERICA LLC                     2.02,9.01            11/06/12

TreeHouse Foods, Inc.                   DE       2.02,7.01,9.01       11/06/12

TRINITY INDUSTRIES INC                  DE       7.01,9.01            11/06/12

TrovaGene Inc.                          DE       7.01,9.01            11/06/12

tw telecom inc.                         DE       2.02,9.01            11/05/12

TWIN DISC INC                           WI       7.01,9.01            11/06/12

Two Harbors Investment Corp.                     2.02,9.01            11/02/12

TWO RIVERS WATER Co                     CO       2.01                 11/02/12

U.S. Auto Parts Network, Inc.           DE       2.02,9.01            11/06/12

UMH PROPERTIES, INC.                    MD       8.01                 10/31/12

UNION DRILLING INC                      DE       1.01,2.01,2.03,3.01, 11/05/12
                                                 3.03,5.01,5.02,5.03,
                                                 9.01
   
UNITED INSURANCE HOLDINGS CORP.         DE       5.02,9.01            10/22/12    AMEND

UNITED STATES ANTIMONY CORP             MT       8.01                 11/06/12

UNIVERSAL CORP /VA/                     VA       2.02,8.01,9.01       11/06/12

UNIVERSAL FOREST PRODUCTS INC           MI       7.01,9.01            11/06/12

UNIVERSAL POWER GROUP INC.              TX       5.07                 10/23/12

Urban Barns Foods Inc.                           4.02                 11/02/12

URS CORP /NEW/                          DE       2.02,9.01            11/06/12

UTi WORLDWIDE INC                       D8       5.02                 11/05/12

UWHARRIE CAPITAL CORP                   NC       2.02,9.01            11/06/12

VALHI INC /DE/                          DE       2.02,9.01            11/06/12

VECTREN CORP                            IN       2.02                 11/05/12

VelaTel Global Communications, Inc.     NV       3.02                 10/09/12

Verisk Analytics, Inc.                  DE       8.01,9.01            11/06/12

VIASAT INC                              DE       2.02,9.01            11/06/12

Vishay Precision Group, Inc.            DE       2.02,9.01            11/06/12

VISTEON CORP                            DE       5.02                 11/05/12

Vitamin Shoppe, Inc.                    DE       2.02,9.01            11/06/12

VIVUS INC                               CA       2.02,9.01            11/06/12

Volcano Corp                            DE       2.02,9.01            11/06/12

WAGEWORKS, INC.                         DE       2.02,9.01            11/06/12

Walter Energy, Inc.                     DE       2.02,9.01            11/05/12

Warner Chilcott plc                              8.01,9.01            11/06/12

WERNER ENTERPRISES INC                  NE       7.01,9.01            11/05/12

Western Gas Partners LP                 DE       7.01,9.01            11/05/12

Western Refining, Inc.                  DE       8.01,9.01            11/06/12

WESTMORELAND COAL Co                    DE       1.04                 10/29/12

WET SEAL INC                            DE       2.02,9.01            11/01/12

WILEY JOHN & SONS, INC.                 NY       8.01                 11/06/12

WILLIS GROUP HOLDINGS PLC               L2       5.02                 11/01/12

WMS INDUSTRIES INC /DE/                 DE       2.02,9.01            11/01/12

WRIGHT MEDICAL GROUP INC                DE       5.02,9.01            11/06/12

WVS FINANCIAL CORP                      PA       5.02                 11/05/12

XL RENT, INC.                           NV       5.01,9.01            11/05/12

XPO Logistics, Inc.                              2.02,9.01            11/05/12

ZBB ENERGY CORP                         WI       2.02,9.01            11/05/12

ZEBRA TECHNOLOGIES CORP                          2.02,9.01            11/06/12

ZIPREALTY INC                                    2.02,9.01            11/06/12

Zoom Telephonics, Inc.                  DE       2.02,9.01            11/01/12

 

http://www.sec.gov/news/digest/2012/dig110712.htm


Modified: 11/07/2012