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Enforcement ProceedingsSEC Charges Baton Rouge-Based Investment Adviser With Hiding Losses from Mortgage-Backed Securities InvestmentsThe Securities and Exchange Commission today charged a hedge fund manager in Baton Rouge, La., with defrauding investors by hiding millions of dollars in losses suffered during the financial crisis from investments tied to residential mortgage-backed securities (RMBS). The SEC alleges that Walter A. Morales and his firm Commonwealth Advisors Inc. caused the hedge funds they managed to buy the lowest and riskiest tranches of a collateralized debt obligation (CDO) called Collybus. They sold mortgage-backed securities into the CDO at prices they had obtained four months earlier while knowing that the RMBS market had declined precipitously in the meantime. As the CDO investments continued to perform poorly, Morales instructed Commonwealth employees to conduct a series of manipulative trades between the hedge funds they advised (called cross-trades) in order to conceal a $32 million loss experienced by one of the funds in its Collybus investment. Morales and Commonwealth lied to investors about the amount and value of mortgage-backed assets held in the hedge funds, and they created phony internal documents to justify their false valuations. “Morales and Commonwealth Advisors concealed significant hedge fund losses from investors, including pension fund investors, instead of owning up to them and facing the consequences,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “Investors put their fundamental trust in the hands of their investment adviser, and they deserve better than being manipulated and lied to through deceptive trades and phony documents.” According to the SEC’s complaint filed in U.S. District Court for the Middle District of Louisiana, Commonwealth’s hedge fund clients included pension funds and individual investors. Morales and Commonwealth invested a significant portion of hedge fund assets in RMBS. When the mortgage markets began to decline dramatically in 2007, bond rating agencies began to aggressively downgrade subprime RMBS. Therefore, Commonwealth clients were sustaining heavy investment losses and Morales knew those losses would probably continue. The SEC alleges that rather than come clean with investors, Morales directed Commonwealth to execute more than 150 deceptive cross-trades from two hedge funds they advised to another one of their hedge funds in June 2008 at prices below Commonwealth’s own valuation for those securities. After the trades, Morales directed a Commonwealth employee to mark the securities at fair market value, which created a fraudulent $19 million gain for the acquiring hedge fund at the expense of the funds that sold. Morales ordered the cross-trades even though Commonwealth had represented in forms filed with the SEC that it would not execute such trades between these hedge fund clients. Moreover, when the trades raised concern from the prime broker, Morales falsely represented that the transactions were for a legitimate business purpose and at prevailing market prices. The SEC further alleges that Morales deceived Commonwealth’s largest investor about its exposure to the CDO. Morales agreed to limit the investor’s exposure to Collybus through its investment in a particular Commonwealth hedge fund to 10 percent of that hedge fund’s equity. Morales, however, abided by this agreement only temporarily, and the investor’s exposure to Collybus more than doubled by mid-2008. After the large investor learned that Commonwealth was not following its stated valuation procedures, the investor requested valuation committee meeting minutes to review. Morales prepared false minutes that were delivered to the investor purporting to describe meetings that never occurred. The SEC’s complaint charges Morales and Commonwealth with violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8. The SEC also alleges that Commonwealth violated Sections 204, 206(4), and 207 of the Advisers Act and Rules 204-2, 206(4)-2, and 206(4)-7, and that Morales aided and abetted Commonwealth’s violations of Section 10(b) of the Exchange Act, Rule 10b-5, and Sections 204, 206(1), 206(2), 206(4), and 207 of the Advisers Act and Rules 204-2, 206(4)-2, 206(4)-7, and 206(4)-8. Morales was a controlling person of Commonwealth pursuant to Section 20(a) of the Exchange Act, and is therefore liable as a control person for Commonwealth’s violations of the Exchange Act. The SEC’s investigation, which is continuing, has been conducted by Gary M. Zinkgraf, Carol E. Schultze, Jacob D. Krawitz, and Paul Gunson in coordination with members of the SEC Enforcement Division’s Structured and New Products Unit and Asset Management Unit. Matthew Rossi and Jan Folena will handle the SEC’s litigation. (Press Rel. 2012-222) In the Matter of James E. PutmanOn November 7, 2012, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) as to James E. Putman (Putman), of Menasha, Wisconsin. The Order finds that, among other things, on April 24, 2012, a Judgment (Judgment) was entered against Putman in the civil action entitled Securities and Exchange Commission v. Wealth Management, LLC, et al., Civil Action 1:09-cv-506, in the United States District Court for the Eastern District of Wisconsin, in which the Commission alleged that Putman accepted $1.24 million in payments which were not properly disclosed to clients of Wealth Management LLC while Putman was President of that firm. The Order Instituting Proceedings was filed on May 23, 2012. Putman consented to the issuance of the Order without admitting or denying the Commission’s findings, except that he admitted the Commission’s findings as to the entry of the Judgment against him. The Order bars Putman from associating with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. (Rel. IA-3499; File No. 3-14889) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Eight Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-68184; File No. 3-15088) SEC Charges Purported Credit Union and Its Principal with Offering FraudOn November 8, 2012, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the District of Colorado against Stanley B. McDuffie, a resident of Denver, Colorado, and his entity, Jilapuhn, Inc., d/b/a Her Majesty’s Credit Union (HMCU), in connection with a fraudulent and unregistered offering through which McDuffie and HMCU sold more than $532,000 in alleged certificates of deposits (CDs) to investors. In its complaint, the Commission alleges that from 2008 to 2012, McDuffie and HMCU lured investors to purchase the CDs through the HMCU website and a branch office in the U.S. Virgin Islands. McDuffie and HMCU held out HMCU as a secure, legitimate, regulated credit union, promised to pay above-market interest rates, and assured investors that their deposits were insured by Lloyd’s of London or the U.S. Virgin Islands’ government. In reality, HMCU was an unregulated, illegitimate credit union that never held share insurance covering investor deposits, and McDuffie and HMCU misappropriated investors’ funds. The Commission alleges that McDuffie and HMCU violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and, alternatively, that pursuant to Section 20(a) of the Exchange Act, McDuffie is liable as a control person for HMCU’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The Commission appreciates the assistance of the Colorado Department of Regulatory Agencies, Division of Securities, in this matter. [SEC v. Stanley B. McDuffie (f/k/a Stanley Roberson and Stanley Battle) and Jilapuhn, Inc., d/b/a Her Majesty’s Credit Union, LLC, Civil Action No. [1:12-cv-02939] (D. Colo.)] (LR-22526) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-NYSE-2012-61) filed by the New York Stock Exchange LLC to extend the temporary suspension of those aspects of Rules 36.20, 36.21, and 36.30 that would not permit Designated Market Makers and Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy from November 5, 2012 until the earlier of when phone service is fully restored or Friday, November 9, 2012 has become effective. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68161) A proposed rule change (SR-NYSEMKT-2012-62) filed by NYSE MKT LLC to extend the temporary suspension of those aspects of Rules 36.20 – Equities, 36.21 - Equities, and 36.30 - Equities that would not permit Designated Market Makers and Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy from November 5, 2012 until the earlier of when phone service is fully restored or Friday, November 9, 2012 has become effective. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68162) A proposed rule change filed by NYSE Arca, Inc. to increase the Options Regulatory Fee and to revise the circumstances under which NYSE Arca, Inc. will collect the Options Regulatory Fee (SR-NYSEArca-2012-118) 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 12. (Rel. 34-68174) A proposed rule change (SR-NSX-2012-17) filed by the National Stock Exchange, Inc. to amend its fee and rebate 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 12. (Rel. 34-68175) A proposed rule change (SR-C2-2012-037) filed by the C2 Options Exchange, Incorporated to amend the fees schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68176) Approval of Proposed Rule ChangesThe Commission granted approval of a proposed rule change (SR-NYSEArca-2012-102) submitted by NYSE Arca, Inc. pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of twelve funds of the Direxion Shares ETF Trust II under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68165) The Commission approved a proposed rule change (SR-CBOE-2012-087) submitted by the Chicago Board Options Exchange, Incorporated to amend Rule 17.2 regarding requests for data related to Exchange reviews. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68171) The Commission approved a proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2012-003) to amend the Price Improvement Period. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68177) Proposed Rule ChangeThe Commission issued notice of a proposed rule change submitted by NYSE Arca, Inc. (SR-NYSEArca-2012-120) 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 United States Asian Commodities Basket Fund under NYSE Arca Equities Rule 8.200. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68173) 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 GENERAL ELECTRIC CO, 3135 EASTON TURNPIKE, W3F, FAIRFIELD, CT, 06828, 203-373-2211 - 26,000,000 ($549,900,000.00) Equity, (File 333-184792 - Nov. 7) (BR. 10A) S-1 GOLD RIDGE RESOURCES INC, 7582 LAS VEGAS BLVD. SOUTH, SUITE 552, LAS VEGAS, NV, 89123-1060, (702)418-0055 - 10,000,000 ($100,000.00) Equity, (File 333-184793 - Nov. 7) (BR. 09) S-3ASR GENERAL ELECTRIC CAPITAL CORP, 3135 EASTON TURNPIKE, FAIRFIELD, CT, 06828-0001, 203-373-2211 - 0 ($3,000,000,000.00) Non-Convertible Debt, (File 333-184794 - Nov. 7) (BR. 07B) S-1 VISTA HOLDING GROUP, CORP., 2360 CORPORATE CIRCLE - SUITE 400, HENDERSON, NV, 89074, 73952681732 - 2,500,000 ($50,000.00) Equity, (File 333-184795 - Nov. 7) (BR. 03) S-1 DIVIO HOLDINGS, CORP., 2360 CORPORATE CIRCLE - SUITE 400, HENDERSON, NV, 89074-7722, 7024258993 - 3,000,000 ($90,000.00) Equity, (File 333-184796 - Nov. 7) (BR. 05) S-8 INTERTAPE POLYMER GROUP INC, 9999 CAVENDISH BOULEVARD, STE. 200, VILLE ST LAURENT, A8, H4M 2X5, 941-739-7500 - 1,806,567 ($7,898,943.64) Equity, (File 333-184797 - Nov. 7) (BR. 04B) S-3ASR SMART BALANCE, INC., 115 WEST CENTURY ROAD, SUITE 260, PARAMUS, NJ, 07652-1432, 3036821982 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-184800 - Nov. 7) (BR. 04A) S-8 SMART BALANCE, INC., 115 WEST CENTURY ROAD, SUITE 260, PARAMUS, NJ, 07652-1432, 3036821982 - 1,300,000 ($15,262,000.00) Equity, (File 333-184801 - Nov. 7) (BR. 04A) N-2 MVC CAPITAL, INC., RIVERVIEW AT PURCHASE, 287 BOWMAN AVENUE, 3RD FLOOR, PURCHASE, NY, 10577, 914-701-0310 - 0 ($250,000,000.00) Equity, (File 333-184803 - Nov. 7) (BR. 18) S-4 ATLAS PIPELINE PARTNERS LP, 110 W. 7TH, SUITE 2300, TULSA, OK, 74119, 918-574-3549 - 0 ($325,000,000.00) Non-Convertible Debt, (File 333-184804 - Nov. 7) (BR. 02A) S-8 II-VI INC, 375 SAXONBURG BLVD, SAXONBURG, PA, 16056, 724-352-4455 - 0 ($31,454,405.00) Equity, (File 333-184805 - Nov. 7) (BR. 10A) S-3ASR Sarepta Therapeutics, Inc., 3450 MONTE VILLA PARKWAY, SUITE 101, BOTHELL, WA, 98021, 425-354-5038 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184807 - Nov. 7) (BR. 01B) S-3ASR PACCAR FINANCIAL CORP, 777 106TH AVE N E, PO BOX 1518, BELLEVUE, WA, 98004, 4254687100 - 0 ($0.00) Debt, (File 333-184808 - Nov. 7) (BR. 07B) S-8 TAYLOR DEVICES INC, 90 TAYLOR DR, P O BOX 748, NORTH TONAWANDA, NY, 14120, 7166940800 - 160,000 ($1,383,824.00) Equity, (File 333-184809 - Nov. 7) (BR. 06A) S-8 INTERCEPT PHARMACEUTICALS INC, 18 Desbrosses Street, NEW YORK, NY, 10013, 646-747-1000 - 2,051,028 ($25,350,260.64) Equity, (File 333-184810 - Nov. 7) (BR. 01A) S-4 BANK OF THE OZARKS INC, 17901 CHENAL PARKWAY, LITTLE ROCK, AR, 72223, (501) 978-2265 - 0 ($15,969,398.00) Equity, (File 333-184811 - Nov. 7) (BR. 07C) 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
-----------------------------------------------------------------------------------------
99 CENTS ONLY STORES CA 2.02,9.01 11/07/12
A123 SYSTEMS, INC. DE 1.01,1.02,3.01 11/05/12
ACCESS MIDSTREAM PARTNERS LP DE 2.02,9.01 11/06/12
Accretive Health, Inc. DE 2.02,9.01 11/07/12
ACCURAY INC DE 2.02,9.01 11/07/12
ACORN ENERGY, INC. DE 2.02,9.01 11/07/12
Activision Blizzard, Inc. DE 2.02,9.01 11/07/12
ADA-ES INC CO 2.02,9.01 11/07/12
ADCARE HEALTH SYSTEMS INC OH 1.01,3.03,5.03,8.01, 11/06/12
9.01
ADVOCAT INC DE 2.02 11/07/12
Aegerion Pharmaceuticals, Inc. DE 2.02,9.01 11/07/12
AES CORP DE 2.02,7.01,9.01 11/07/12
AETNA INC /PA/ PA 1.01,1.02,8.01,9.01 11/02/12
AG Mortgage Investment Trust, Inc. MD 2.02,9.01 11/07/12
Aircastle LTD D0 2.02,9.01 11/06/12
ALAMO GROUP INC DE 2.02,9.01 11/06/12
ALIMERA SCIENCES INC DE 2.02,9.01 11/07/12
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/07/12
Alliance HealthCare Services, Inc CA 1.01,2.03,9.01 11/06/12
Altegris QIM Futures Fund, L.P. DE 3.02 11/01/12
Altegris Winton Futures Fund, L.P. CO 3.02 11/01/12
American Realty Capital Daily Net Ass MD 2.02,9.01 11/07/12
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 11/07/12
AMERICAN TOWER CORP /MA/ DE 8.01 11/06/12
American Water Works Company, Inc. DE 2.02,9.01 11/07/12
AMKOR TECHNOLOGY INC DE 5.02,9.01 11/06/12
AMSURG CORP TN 1.01,2.03,8.01,9.01 11/07/12
Anacor Pharmaceuticals Inc DE 2.02,9.01 11/07/12
Antero Resources LLC DE 2.02,9.01 11/07/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 11/07/12
Apollo Medical Holdings, Inc. DE 1.01 10/30/12
Apollo Residential Mortgage, Inc. MD 2.02,9.01 11/06/12
Applied Nanotech Holdings, Inc TX 8.01 11/06/12
ARES CAPITAL CORP MD 8.01,9.01 11/07/12
Ares Commercial Real Estate Corp MD 2.02,7.01,9.01 11/07/12
ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 11/07/12
ARRAY BIOPHARMA INC DE 5.02,9.01 11/06/12
ASTROTECH Corp \WA\ WA 8.01 10/17/12
ATHENA SILVER CORP DE 7.01,9.01 11/07/12
ATMOS ENERGY CORP TX 2.02,9.01 11/07/12
ATRION CORP DE 2.02,9.01 11/07/12
AUXILIUM PHARMACEUTICALS INC 1.01,2.02,7.01,9.01 11/07/12
Babcock & Wilcox Co DE 2.02,9.01 11/07/12
Bacterin International Holdings, Inc. DE 2.02,9.01 11/07/12
BARRETT BUSINESS SERVICES INC MD 2.03,7.01 11/01/12
BB&T CORP NC 7.01,9.01 11/07/12
BECTON DICKINSON & CO NJ 2.02,9.01 11/07/12
Bidz.com, Inc. CA 8.01,9.01 11/06/12
Biodel Inc DE 5.07 11/01/12
BioScrip, Inc. DE 2.02,8.01,9.01 11/07/12
BIOTIME INC CA 1.01,9.01 11/01/12
Bloomin' Brands, Inc. DE 2.02,9.01 11/07/12
Bluerock Enhanced Multifamily Trust, MD 7.01,9.01 11/07/12
BLYTH INC DE 2.02 11/05/12
BODY CENTRAL CORP 2.02,9.01 11/01/12
BORGWARNER INC DE 8.01,9.01 11/06/12
BORGWARNER INC DE 1.01,9.01 11/01/12
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 11/07/12
Bridge Capital Holdings CA 2.02,9.01 11/07/12
Bristow Group Inc DE 2.02,5.03,5.05,8.01, 11/02/12
9.01
BROADWIND ENERGY, INC. DE 2.02,7.01,9.01 11/07/12
Cadista Holdings Inc. DE 5.02 11/02/12
CAFEPRESS INC. DE 2.02,9.01 11/07/12
CALLAWAY GOLF CO DE 5.02 11/05/12
CardioNet, Inc. CA 9.01 08/29/12 AMEND
CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 11/06/12
CBS CORP DE 2.02,9.01 11/07/12
CDI CORP PA 5.02,9.01 11/01/12
CECO ENVIRONMENTAL CORP DE 2.02,9.01 11/07/12
CENTENE CORP 1.01,2.03,8.01,9.01 11/02/12
CENTERPOINT ENERGY INC 2.02,9.01 11/07/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 8.01 11/07/12
CENTURY CASINOS INC /CO/ DE 2.02 09/30/12
CENTURYLINK, INC LA 2.02,9.01 11/07/12
CENVEO, INC CO 2.02,9.01 11/07/12
CERUS CORP DE 2.02,9.01 11/07/12
Chatham Lodging Trust MD 1.01,2.02,2.03,7.01, 11/05/12
9.01
Chefs' Warehouse, Inc. DE 5.02,7.01,9.01 11/07/12
CHESAPEAKE UTILITIES CORP DE 2.02,8.01,9.01 11/07/12
CHICAGO RIVET & MACHINE CO IL 2.02,9.01 11/06/12
China Electronics Holdings, Inc. NV 1.01 07/18/12 AMEND
CHINA SHEN ZHOU MINING & RESOURCES, I NV 3.01,8.01,9.01 10/24/12
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 11/07/12
CHYRON CORP NY 2.02,9.01 11/07/12
Circle Entertainment, Inc. DE 1.01,2.03,9.01 11/07/12
CIRRUS LOGIC INC DE 2.05,7.01,8.01,9.01 11/06/12
CLEAN HARBORS INC MA 2.02,9.01 11/07/12
CLIFTON SAVINGS BANCORP INC 2.02,9.01 11/05/12
CODEXIS INC 2.02,9.01 11/07/12
COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 11/07/12
CombiMatrix Corp DE 2.02,9.01 11/07/12
Commonwealth Income & Growth Fund 8, PA 4.01,5.02 11/07/12
COMMONWEALTH INCOME & GROWTH FUND IV 4.01,5.02 11/07/12
COMMONWEALTH INCOME & GROWTH FUND V 4.01,5.02 11/07/12
Commonwealth Income & Growth Fund VI PA 4.01,5.02 11/07/12
Commonwealth Income & Growth Fund VII PA 4.01,5.02 11/07/12
CommonWealth REIT MD 2.02,9.01 11/07/12
Compass Diversified Holdings DE 2.02,9.01 11/07/12
COMPUTER SCIENCES CORP NV 7.01,9.01 11/06/12
CONCUR TECHNOLOGIES INC DE 2.02,9.01 11/07/12
CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 11/07/12
Copano Energy, L.L.C. 2.02,9.01 11/07/12
Cornerstone OnDemand Inc DE 1.01 11/05/12
COTTON BAY HOLDINGS, INC. 1.01,8.01,9.01 11/07/12
COVANTA HOLDING CORP DE 1.01,7.01,9.01 11/02/12
CRIMSON EXPLORATION INC. 2.02,9.01 11/07/12
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/06/12
CROSSTEX ENERGY INC DE 7.01,9.01 11/06/12
CROSSTEX ENERGY LP DE 7.01,9.01 11/06/12
CrowdGather, Inc. NV 5.02,5.07,9.01 11/07/12
CTC Media, Inc. 2.02,8.01,9.01 11/07/12
CURTISS WRIGHT CORP DE 2.02,9.01 11/06/12
Data Storage Corp NV 1.01,2.01,3.02,9.01 10/31/12
DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/07/12
DCP Midstream Partners, LP DE 1.01,2.01,2.02,2.03, 11/01/12
3.02,7.01,9.01
DCP Midstream Partners, LP DE 9.01 11/01/12 AMEND
Delaine Corp NV 4.01,8.01,9.01 11/02/12
Delek Logistics Partners, LP DE 1.01,2.01,2.03,3.02, 11/01/12
5.02,5.03,9.01
DEVON ENERGY CORP/DE DE 2.02,9.01 11/07/12
DEVON ENERGY CORP/DE DE 8.01 11/07/12
diaDexus, Inc. DE 2.02,9.01 11/07/12
DOUBLE CROWN RESOURCES INC. NV 5.02,9.01 11/01/12
DOVER Corp DE 7.01,9.01 11/07/12
DreamWorks Animation SKG, Inc. 3.01 11/02/12
Dryrock Issuance Trust DE 8.01,9.01 11/07/12
Dryrock Issuance Trust DE 8.01,9.01 11/07/12
DTE ENERGY CO MI 2.02,9.01 11/07/12
DUCOMMUN INC /DE/ DE 2.02,9.01 11/07/12
DynaVox Inc. 3.01 11/05/12
DYNEGY INC. DE 2.02,7.01,9.01 11/07/12
Edgen Group Inc. DE 8.01 11/07/12
El Paso Pipeline Partners, L.P. DE 8.01,9.01 11/01/12
EMAGIN CORP DE 2.02,9.01 11/05/12
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 11/06/12
Employers Holdings, Inc. NV 2.02,8.01,9.01 11/07/12
ENCORE CAPITAL GROUP INC DE 1.01,2.03,9.01 11/05/12
Energy Recovery, Inc. DE 2.02,9.01 11/07/12
Energy Transfer Equity, L.P. DE 2.02,9.01 11/07/12
Energy Transfer Partners, L.P. DE 2.02,9.01 11/07/12
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 11/07/12
Enphase Energy, Inc. DE 2.02,9.01 11/07/12
ENTERPRISE FINANCIAL SERVICES CORP DE 1.01,2.03,8.01 11/06/12
EQUITY LIFESTYLE PROPERTIES INC MD 8.01 11/01/12
Erickson Air-Crane Inc DE 2.02,8.01,9.01 11/06/12
EXELIXIS, INC. DE 2.02,9.01 11/07/12
EZCORP INC DE 2.02,7.01 11/06/12
FAB Universal Corp. CO 7.01,9.01 11/07/12
FAIRPOINT COMMUNICATIONS INC DE 7.01,9.01 11/07/12
FALCONSTOR SOFTWARE INC DE 2.02,9.01 11/07/12
FARO TECHNOLOGIES INC FL 8.01 11/05/12
Federal Home Loan Bank of Chicago X1 5.02,5.07,7.01,9.01 11/07/12
Federal Home Loan Bank of Dallas 2.03,9.01 11/01/12
Federal Home Loan Bank of Indianapoli X1 5.02,5.07,9.01 11/06/12
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 11/07/12
Feihe International Inc UT 8.01,9.01 11/07/12
FIFTH THIRD BANCORP OH 1.01,2.03 11/06/12
First California Financial Group, Inc DE 8.01,9.01 11/06/12
FIRST PLACE FINANCIAL CORP /DE/ DE 8.01,9.01 11/01/12
FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 11/06/12
FLUIDIGM CORP DE 2.02,9.01 11/07/12
FNB CORP/FL/ FL 8.01,9.01 11/06/12
Forestar Group Inc. DE 2.02,7.01,9.01 11/07/12
Franklin Credit Management Corp DE 7.01,9.01 11/07/12
FRANKLIN ELECTRIC CO INC IN 7.01,9.01 11/07/12
Freeze Tag, Inc. DE 1.01,1.02,3.02,9.01 11/01/12
FREQUENCY ELECTRONICS INC DE 5.07 10/17/12
FURMANITE CORP DE 2.02,7.01,9.01 11/07/12
FUSION-IO, INC. DE 5.07 11/06/12
GASTAR EXPLORATION LTD 2.02,9.01 11/07/12
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 11/07/12
Geeknet, Inc DE 2.02,9.01 11/07/12
GENCO SHIPPING & TRADING LTD 5.02,5.03,9.01 11/07/12
General Motors Co 1.01 11/01/12
GENOMIC HEALTH INC 2.02,9.01 11/07/12
GEOKINETICS INC DE 7.01,9.01 11/06/12
GEORGIA GULF CORP /DE/ DE 2.02,8.01,9.01 11/06/12
GEOSPACE TECHNOLOGIES CORP DE 8.01,9.01 11/07/12
GIGA TRONICS INC CA 2.02,9.01 11/07/12
Global Cash Access Holdings, Inc. DE 2.02,5.02,9.01 11/06/12
Global Indemnity plc L2 2.02,9.01 11/07/12
GLOBALSCAPE INC DE 7.01,9.01 11/07/12
GLOBE SPECIALTY METALS INC 2.02,7.01,9.01 09/30/12
GOODRICH PETROLEUM CORP DE 2.02,9.01 11/06/12
GRAN TIERRA ENERGY INC. NV 2.02,9.01 11/07/12
GRANITE CITY FOOD & BREWERY LTD. MN 2.02,9.01 11/06/12
GRANITE CONSTRUCTION INC DE 2.02,9.01 11/07/12
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 11/02/12
GRAYBAR ELECTRIC CO INC NY 5.02 11/01/12
Griffin-American Healthcare REIT II, MD 1.01,9.01 11/07/12
GSI GROUP INC A3 2.02,9.01 11/07/12
GSV Capital Corp. MD 2.02,9.01 11/07/12
GULFMARK OFFSHORE INC DE 2.02,9.01 11/06/12
GULFPORT ENERGY CORP DE 2.02,9.01 11/06/12
HALCON RESOURCES CORP DE 1.01,2.03,9.01 11/06/12
Hampden Bancorp, Inc. DE 1.01,2.02,5.02,5.07, 11/06/12
8.01,9.01
HANSEN MEDICAL INC DE 2.02,9.01 11/07/12
HARBINGER GROUP INC. DE 7.01 11/07/12
HEALTH CARE REIT INC /DE/ DE 7.01,8.01,9.01 11/06/12
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 11/07/12
HEALTH NET INC DE 5.02,9.01 11/02/12
HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 11/07/12
Heckmann Corp DE 1.01,2.03,8.01,9.01 11/05/12
HENRY SCHEIN INC DE 2.02,9.01 09/29/12
Hill International, Inc. DE 2.02,9.01 11/06/12
HollyFrontier Corp DE 2.02,9.01 11/07/12
HOME BANCSHARES INC 1.01,7.01,9.01 11/02/12 AMEND
HORIZON BANCORP /IN/ IN 8.01 11/07/12
HOSPIRA INC DE 2.02,9.01 11/07/12
ICAHN ENTERPRISES L.P. DE 2.02,9.01 11/07/12
Iconic Brands, Inc. NV 4.01,9.01 11/07/12
ID SYSTEMS INC DE 2.02,9.01 11/07/12
IMMUCELL CORP /DE/ DE 2.02,9.01 11/07/12
Immunovative, Inc. FL 5.02,9.01 08/22/12
Inland Diversified Real Estate Trust, MD 1.01,2.03,9.01 11/01/12
INSMED INC VA 5.02,9.01 11/07/12
INSMED INC VA 2.02,7.01,9.01 11/07/12
INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.02,9.01 11/07/12
INTEGRATED SILICON SOLUTION INC DE 5.02 11/06/12
INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 11/07/12
INTERMUNE INC DE 2.02,9.01 11/07/12
INTERPUBLIC GROUP OF COMPANIES, INC. DE 1.01,9.01 11/06/12
IntraLinks Holdings, Inc. DE 2.02,9.01 11/07/12
INTRICON CORP PA 2.02,7.01,9.01 11/07/12
IPARTY CORP DE 2.02,8.01,9.01 11/07/12
IPASS INC DE 2.02,9.01 11/07/12
IRONCLAD PERFORMANCE WEAR CORP 2.02,7.01,9.01 11/07/12
JA Energy NV 8.01 11/02/12
James River Coal CO VA 2.02,7.01,9.01 11/07/12
KAVILCO INC/WA/ AK 5.02 11/07/12
KAYAK Software Corp DE 1.01 11/01/12
Kearny Financial Corp. X1 7.01,9.01 11/07/12
KELLY SERVICES INC DE 2.02,9.01 11/07/12
KENNAMETAL INC PA 1.01,2.03,8.01,9.01 11/02/12
KERYX BIOPHARMACEUTICALS INC DE 2.02,8.01,9.01 11/01/12
Kraft Foods Group, Inc. 2.02,9.01 11/07/12
LAMAR ADVERTISING CO/NEW DE 2.02,9.01 11/07/12
LASERLOCK TECHNOLOGIES INC NV 4.01,9.01 11/01/12
LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 11/07/12
LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 11/06/12
LHC Group, Inc 2.02,9.01 11/07/12
LIFELOCK, INC. DE 2.02,9.01 11/07/12
LILM, INC. NV 4.01,9.01 11/07/12
LIONBRIDGE TECHNOLOGIES INC /DE/ DE 1.01,2.02,8.01,9.01 11/02/12
LIQUIDITY SERVICES INC DE 1.01,9.01 11/05/12
LOCAL Corp DE 1.01,9.01 11/01/12
LSB FINANCIAL CORP IN 2.02,9.01 11/07/12
LyondellBasell Industries N.V. P7 8.01,9.01 11/01/12
LYRIS, INC. 5.02 11/01/12
LYRIS, INC. 2.02,9.01 11/07/12
MAC-GRAY CORP DE 2.02,9.01 11/07/12
Macy's, Inc. DE 2.02,9.01 11/07/12
MAGNETEK, INC. DE 2.02 11/07/12
Maiden Holdings, Ltd. D0 2.02,8.01,9.01 11/07/12
Maidenform Brands, Inc. DE 2.02,9.01 11/07/12
Main Street Capital CORP MD 8.01,9.01 11/06/12
Main Street Capital CORP MD 2.02,9.01 11/07/12
MAKEMUSIC, INC. MN 2.02,9.01 11/06/12
MAKO Surgical Corp. DE 2.02,3.02,9.01 11/07/12
MANNATECH INC TX 2.02,9.01 11/07/12
Manning & Napier, Inc. 8.01,9.01 11/06/12
Manning & Napier, Inc. 5.07 06/20/12 AMEND
MARKWEST ENERGY PARTNERS L P 2.02,9.01 11/07/12
MARKWEST ENERGY PARTNERS L P 1.01,9.01 11/07/12
Matson, Inc. HI 2.02,9.01 11/07/12
Mattersight Corp DE 2.02,7.01,9.01 11/07/12
MATTRESS FIRM HOLDING CORP. DE 1.01,9.01 11/05/12
MBIA INC CT 2.02,7.01,9.01 11/07/12
McEwen Mining Inc. CO 7.01,9.01 11/06/12
McEwen Mining Inc. CO 2.02,9.01 11/07/12
MDC HOLDINGS INC DE 5.08,8.01 11/01/12
MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,9.01 11/01/12
Measurement Specialties Inc NJ 2.02,9.01 11/07/12
MeetMe, Inc. DE 2.02,9.01 11/07/12
MEI Pharma, Inc. DE 8.01 11/06/12
MELA SCIENCES, INC. /NY 2.02,9.01 11/07/12
MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 11/07/12
METHODE ELECTRONICS INC DE 7.01,9.01 11/07/12
MetroCorp Bancshares, Inc. TX 7.01,9.01 11/07/12
MEXICO FUND INC MD 7.01,9.01 10/31/12
MICROSOFT CORP WA 8.01,9.01 11/02/12
Mid-Con Energy Partners, LP DE 2.02,7.01,9.01 11/06/12
MIDDLEBY CORP DE 2.02,9.01 11/06/12
Midstates Petroleum Company, Inc. DE 2.02,9.01 11/07/12
MILLER ENERGY RESOURCES, INC. TN 7.01,8.01,9.01 11/07/12
MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 11/07/12
MISONIX INC NY 2.02,9.01 11/07/12
MITEK SYSTEMS INC DE 2.02,9.01 11/07/12
MOBILE MINI INC DE 2.02,9.01 11/07/12
MOCON INC MN 2.02,9.01 11/07/12
MOLSON COORS BREWING CO DE 2.02,9.01 11/07/12
MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 11/07/12
Mondelez International, Inc. VA 2.02,9.01 11/07/12
MONROE CAPITAL Corp MD 7.01,9.01 11/07/12
Monster Beverage Corp DE 2.02,9.01 11/07/12
Mueller Water Products, Inc. DE 7.01,9.01 11/07/12
MYR GROUP INC. DE 2.02,9.01 11/07/12
NANOSPHERE INC DE 2.02,9.01 11/07/12
NATIONAL PROPERTY ANALYSTS MASTER LIM DE 4.01,9.01 11/01/12
NATIONAL RESEARCH CORP WI 2.02,9.01 11/06/12
NATUS MEDICAL INC DE 2.02,9.01 11/07/12
NAVARRE CORP /MN/ MN 7.01 10/29/12 AMEND
NAVISTAR INTERNATIONAL CORP DE 7.01 11/07/12
NCI, Inc. DE 2.02,7.01,9.01 11/07/12
Neenah Paper Inc DE 2.02,9.01 11/06/12
Neutral Tandem Inc 2.02,9.01 11/07/12
NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 11/07/12
NEWLINK GENETICS CORP 5.02,5.07,9.01 11/07/12
NEWS CORP 8.01,9.01 11/07/12
NewStar Financial, Inc. 2.02,9.01 11/07/12
NGL Energy Partners LP DE 1.01,2.01,3.02,7.01, 11/01/12
9.01
NII HOLDINGS INC DE 2.02,9.01 11/07/12
NOVATEL WIRELESS INC DE 2.02,9.01 11/07/12
NUTRI SYSTEM INC /DE/ DE 5.02,9.01 11/01/12
NVR INC VA 5.02,9.01 11/06/12
Oasis Petroleum Inc. DE 2.02,9.01 11/07/12
OBA Financial Services, Inc. MD 2.02,9.01 11/02/12
OCWEN FINANCIAL CORP FL 7.01,9.01 11/07/12
OGE ENERGY CORP. OK 2.02,9.01 11/07/12
Oiltanking Partners, L.P. DE 2.02,9.01 11/07/12
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 11/07/12
OmniAmerican Bancorp, Inc. MD 7.01,9.01 11/07/12
Oncothyreon Inc. DE 2.02,9.01 11/07/12
ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 5.02 11/07/12
OPTIMER PHARMACEUTICALS INC 5.02,9.01 11/02/12
ORACLE CORP 5.07 11/07/12
ORASURE TECHNOLOGIES INC DE 2.02,7.01,9.01 11/07/12
Orbitz Worldwide, Inc. DE 2.02,9.01 11/07/12
Orexigen Therapeutics, Inc. DE 2.02,9.01 11/07/12
ORIGINOIL INC NV 3.02 11/01/12
ORMAT TECHNOLOGIES, INC. DE 2.02,9.01 11/06/12
PACWEST BANCORP DE 8.01,9.01 11/06/12
PANHANDLE EASTERN PIPE LINE CO LP DE 7.01,9.01 11/07/12
PARAMOUNT GOLD & SILVER CORP. DE 2.01,5.02 11/05/12
PCS EDVENTURES COM INC ID 5.02 11/01/12
PENN NATIONAL GAMING INC PA 1.01,2.01,2.03,9.01 11/01/12
PERRIGO CO MI 2.02,5.02,5.07,9.01 11/06/12
PETROQUEST ENERGY INC DE 2.02 11/07/12
Phillips Edison - ARC Shopping Center MD 9.01 08/30/12 AMEND
PHOTOMEDEX INC DE 2.02,9.01 11/07/12
PIZZA INN HOLDINGS, INC /MO/ MO 2.02,9.01 11/07/12
POST PROPERTIES INC GA 8.01,9.01 11/02/12
PostRock Energy Corp DE 2.02,9.01 11/07/12
POWERSECURE INTERNATIONAL, INC. DE 2.02,9.01 11/07/12
PRAXAIR INC DE 1.01,9.01 11/06/12
PREFORMED LINE PRODUCTS CO OH 2.02,9.01 11/07/12
PRESSURE BIOSCIENCES INC MA 1.01,9.01 11/07/12
PRGX GLOBAL, INC. GA 5.02 11/01/12
Primerica, Inc. DE 2.02,7.01,9.01 11/07/12
Primo Water Corp DE 2.02,9.01 11/07/12
PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 11/07/12
PROGRESS SOFTWARE CORP /MA MA 5.02,9.01 11/01/12
PROLOR Biotech, Inc. NV 5.02 11/01/12
Protea Biosciences Group, Inc. DE 1.01,9.01 10/31/12
PROTECTIVE LIFE CORP DE 2.02,9.01 11/06/12
PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 11/07/12
PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 11/07/12
PSM HOLDINGS INC NV 8.01,9.01 11/02/12
PULSE ELECTRONICS CORP PA 2.02,8.01,9.01 11/07/12
QLT INC/BC A1 2.02,9.01 11/07/12
QUALCOMM INC/DE DE 2.02,9.01 11/07/12
QUALITY DISTRIBUTION INC FL 2.02,9.01 11/06/12
QUALYS, INC. DE 8.01 11/01/12
QUESTAR GAS CO UT 8.01 11/02/12
Rand Logistics, Inc. DE 2.02,9.01 11/07/12
RARE ELEMENT RESOURCES LTD A1 2.02,9.01 11/06/12
RCM TECHNOLOGIES INC NV 2.02,9.01 11/07/12
RDA Holding Co. 5.02 11/01/12
REALPAGE INC DE 2.02,9.01 11/07/12
RED MOUNTAIN RESOURCES, INC. FL 3.02 10/19/12 AMEND
Regulus Therapeutics Inc. DE 5.02 11/05/12
RENTRAK CORP OR 2.02,9.01 11/07/12
Resolute Forest Products Inc. DE 7.01 11/06/12
Rexnord Corp DE 2.02,9.01 11/07/12
RLJ Lodging Trust MD 2.02,9.01 11/07/12
Rosetta Resources Inc. DE 2.02,9.01 11/07/12
ROSETTA STONE INC 2.02,7.01,9.01 11/07/12
Rouse Properties, Inc. DE 5.02 11/01/12
ROYAL CARIBBEAN CRUISES LTD 1.01,2.03,8.01,9.01 11/07/12
SAIA INC DE 7.01,9.01 11/01/12
SALIX PHARMACEUTICALS LTD 2.02,9.01 11/07/12
SANTARUS INC DE 2.02,9.01 11/07/12
SANTARUS INC DE 8.01,9.01 11/07/12
SAPIENT CORP DE 2.02,9.01 11/07/12
Sarepta Therapeutics, Inc. OR 2.02,9.01 11/07/12
SEATTLE GENETICS INC /WA DE 2.02,9.01 11/07/12
SENESCO TECHNOLOGIES INC DE 8.01,9.01 11/07/12
Shoshone Silver/Gold Mining Co ID 7.01,9.01 11/06/12
SKYWEST INC UT 2.02,9.01 11/07/12
SL INDUSTRIES INC NJ 2.02,9.01 11/06/12
SNYDER'S-LANCE, INC. NC 2.02,9.01 11/07/12
SONUS NETWORKS INC DE 2.02,9.01 11/07/12
SONUS NETWORKS INC DE 2.02,9.01 11/07/12
SOUNDBITE COMMUNICATIONS INC 2.02,9.01 11/07/12
SOUTHERN STATES SIGN Co NV 1.01,2.01,3.02,5.01, 11/01/12
5.02,5.03,5.06,9.01
SOUTHERN UNION CO DE 7.01,9.01 11/07/12
SOUTHWEST AIRLINES CO TX 7.01,9.01 10/31/12
SOUTHWESTERN ENERGY CO DE 7.01 11/02/12
SOUTHWESTERN ENERGY CO DE 5.02,9.01 11/01/12
SPARTON CORP OH 1.01,9.01 11/02/12
SPARTON CORP OH 7.01,9.01 11/07/12
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 11/07/12
SPECTRUM PHARMACEUTICALS INC DE 9.01 11/07/12 AMEND
SPIRIT REALTY CAPITAL, INC. MD 2.02,9.01 11/07/12
STARTEK INC DE 2.02,9.01 11/07/12
STARWOOD PROPERTY TRUST, INC. 2.02,9.01 11/07/12
STATE INVESTORS BANCORP, INC. 8.01,9.01 11/07/12
Stevia First Corp. 1.01,3.02 11/01/12
STR HOLDINGS, INC. DE 2.02,9.01 11/07/12
SUNGARD CAPITAL CORP DE 1.01,2.03,8.01,9.01 11/01/12
SUNOCO LOGISTICS PARTNERS L.P. DE 2.02,9.01 11/07/12
SUNRISE SENIOR LIVING INC DE 2.02,9.01 11/07/12
Sunstone Hotel Investors, Inc. MD 2.02,9.01 11/02/12
SUPERTEL HOSPITALITY INC VA 1.01,1.02,2.03,9.01 11/02/12
Susser Holdings CORP DE 2.02 11/07/12
Susser Petroleum Partners LP DE 2.02 11/07/12
SYNTHESIS ENERGY SYSTEMS INC DE 2.02,9.01 11/07/12
Targeted Medical Pharma, Inc. 2.02,7.01,9.01 11/07/12
TAYLOR DEVICES INC NY 5.07,8.01 11/02/12
TECHPRECISION CORP 5.02 11/01/12
TechTarget Inc 2.02,5.02,7.01,9.01 11/02/12
TECUMSEH PRODUCTS CO MI 2.02,9.01 11/07/12
TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 11/07/12
TELEPHONE & DATA SYSTEMS INC /DE/ DE 1.01,2.05,2.06,7.01, 11/06/12
9.01
Tempco, Inc. NV 1.01,9.01 11/01/12
TENET HEALTHCARE CORP NV 2.02,9.01 11/07/12
Tennessee Valley Authority 5.02 11/01/12
TEREX CORP DE 8.01,9.01 11/07/12
TEREX CORP DE 8.01,9.01 11/07/12
TEREX CORP DE 8.01,9.01 11/07/12
TICC Capital Corp. MD 2.02,9.01 11/07/12
TIME WARNER INC. DE 2.02,9.01 11/07/12
TNS INC 2.02,7.01,9.01 11/07/12
TORON INC. NV 5.02 11/01/12
TRANSGENOMIC INC DE 2.02,9.01 11/07/12
TransUnion Holding Company, Inc. DE 2.02,9.01 11/07/12
Triangle Capital CORP MD 2.02,7.01,9.01 11/07/12
TRIMAS CORP DE 7.01,9.01 11/07/12
TRULIA, INC. DE 2.02,9.01 11/07/12
TURBOSONIC TECHNOLOGIES INC DE 8.01,9.01 11/06/12
Two Harbors Investment Corp. 5.02,9.01 11/07/12
TWO RIVERS WATER Co CO 5.02 11/05/12
U S GLOBAL INVESTORS INC TX 2.02,9.01 11/06/12
U S PRECIOUS METALS INC DE 8.01 11/06/12
U.S. SILICA HOLDINGS, INC. DE 5.02,7.01,9.01 11/06/12
Uni-Pixel DE 8.01,9.01 11/07/12
United Development Funding III, LP DE 7.01,9.01 11/07/12
UNITED STATES CELLULAR CORP DE 2.02,9.01 11/07/12
UNITED STATES CELLULAR CORP DE 1.01,2.05,2.06,7.01, 11/06/12
9.01
UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 11/07/12
UNIVERSAL DISPLAY CORP \PA\ PA 2.02 11/07/12
UNIVERSAL HOSPITAL SERVICES INC MN 4.02 11/07/12
UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 11/07/12
UNWIRED PLANET, INC. DE 2.02,2.05,5.02,5.07, 11/05/12
8.01,9.01
Valley High Mining CO NV 5.01 10/31/12
VALOR GOLD CORP. DE 3.02,9.01 11/01/12
VALOR GOLD CORP. DE 3.02,9.01 11/07/12
VALSPAR CORP DE 5.02,9.01 11/02/12
Vanda Pharmaceuticals Inc. DE 2.02,9.01 11/07/12
Venoco, Inc. DE 2.02,9.01 11/07/12
VERAMARK TECHNOLOGIES INC DE 2.02,9.01 11/07/12
Verisk Analytics, Inc. DE 8.01,9.01 11/07/12
VIASYSTEMS GROUP INC DE 2.02,9.01 11/07/12
VICAL INC DE 2.02,9.01 11/07/12
VISTA GOLD CORP B0 2.02,7.01,9.01 11/05/12
VISUALANT INC NV 8.01,9.01 11/01/12
Vitacost.com, Inc. DE 2.02,9.01 11/07/12
VITAS GROUP, INC. NV 1.01,5.01,5.02,9.01 11/06/12
VLOV INC. NV 2.02,9.01 11/07/12
VWR Funding, Inc. DE 7.01,9.01 11/07/12
WALTER INVESTMENT MANAGEMENT CORP MD 2.01,3.02,9.01 11/01/12
Warner Music Group Corp. DE 1.01,1.02,2.03,9.01 11/06/12
WARREN RESOURCES INC MD 2.02,7.01,9.01 11/07/12
WARWICK VALLEY TELEPHONE CO NY 1.01,9.01 10/31/12
WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02 11/02/12
WELLPOINT, INC IN 2.02,9.01 11/07/12
WELLS FARGO & COMPANY/MN DE 9.01 11/07/12
WET SEAL INC DE 8.01,9.01 11/05/12
White River Capital Inc IN 2.02,9.01 11/07/12
Whitestone REIT TX 2.02,9.01 11/07/12
WHOLE FOODS MARKET INC TX 2.02,8.01,9.01 11/07/12
WILLIAMS SONOMA INC CA 5.02 11/01/12
WISCONSIN ENERGY CORP WI 7.01,9.01 11/07/12
WYNN RESORTS LTD 5.07 11/02/12
Xylem Inc. IN 7.01,9.01 11/07/12
YORK WATER CO PA 2.02,9.01 11/07/12
ZBB ENERGY CORP WI 5.02,5.07 11/07/12
Zeltiq Aesthetics Inc DE 2.02,9.01 11/07/12
ZYNEX INC NV 2.02,9.01 11/07/12
http://www.sec.gov/news/digest/2012/dig110812.htm
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