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Enforcement proceedingsSEC Charges Miami-Based Adviser With Hiding Trading Losses and Diverting Client FundsOn November 9, 2012, the Securities and Exchange Commission charged a Miami-based investment adviser for defrauding his clients by concealing trading losses and diverting investor funds for personal use. The SEC alleges that Anand Sekaran and his firm Wasson Capital Advisors Ltd. fabricated documents showing illusory profits after his trading strategy became unprofitable in 2008 and produced substantial losses for clients. Sekaran also misused client funds to pay various personal and business expenses, and he collected fees in excess of what he was due under the arrangements he had with clients. Sekaran and Wasson agreed to resolve the SEC's charges as well as a parallel criminal action announced by the U.S. Attorney's Office for the Southern District of New York. "An investment adviser's fiduciary duty applies equally in good times and bad," said Bruce Karpati, Chief of the SEC Enforcement Division's Asset Management Unit. "Sekaran breached that duty when he concealed trading losses and misled clients rather than simply admitting that his investment strategy was unsuccessful." According to the SEC's complaint filed in U.S. District Court for the Southern District of New York, Sekaran provided investors with a spreadsheet inaccurately showing that Wasson was profitable. He inflated account balances on some clients' account statements, using the letterhead of a defunct British Virgin Islands trust company for one client and the letterhead of a New Zealand firm for another client. He misappropriated investor money for personal mortgage and maintenance payments, restaurant and travel expenses, entertainment and event tickets, employee salaries and health insurance, and rent and office expenses. In settling the SEC's charges, Sekaran and Wasson consented to a final judgment imposing permanent injunctions from future violations of the antifraud provisions of the federal securities laws. Sekaran separately consented to an SEC order barring him from the securities industry and penny stock industry. Sekaran is required to pay $2.3 million to satisfy restitution and forfeiture orders in the criminal matter. The SEC's investigation was conducted by Salvatore Massa and Anthony Kelly of the Asset Management Unit and Tonya Tullis of the Miami Regional Office. Omar Santos conducted a related SEC examination. The SEC thanks the U.S. Attorney's Office for the Southern District of New York and the U.S. Postal Inspection Service for their assistance in this matter. (Press Rel. 2012-224; [SEC v. Anand Sekaran and Wasson Capital Advisors Ltd., Case. No. 12 CV 8199 JMP (S.D.N.Y.); LR-22530) Initial Decision as to Leaddog Capital Marketing, LLC, f/k/a Leaddog Capital Partners, Inc., Chris Messalas, and Joseph Larocco, Esq. is FinalThe Commission has declared final the initial decision of an administrative law judge with respect to Leaddog Capital Markets, LLC, f/k/a Leaddog Capital Partners, Inc., Chris Messalas, and Joseph LaRocco, Esq. The law judge ordered that Leaddog, Messalas, and LaRocco cease and desist from committing or causing any violations or future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. The law judge further ordered that Leaddog, Messalas, and LaRocco, jointly and severally, disgorge $220,572 plus prejudgment interest; and jointly and severally, pay a civil money penalty of $130,000. The law judge barred Messalas and LaRocco from association with any broker, dealer, or investment adviser and prohibited them, permanently, from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter. The law judge also denied LaRocco, permanently, the privilege of appearing or practicing before the Commission as an attorney. Leaddog, Messalas, and LaRocco (Respondents) established a hedge fund in late 2007. The Respondents provided investors and potential investors with materials that were incomplete or erroneous as to Messalas's disciplinary history, the liquidity of the fund's investments, and related-party transactions. The law judge found that in so doing, Leaddog, Messalas, and LaRocco willfully violated, and LaRocco willfully aided and abetted and caused Leaddog's violations of, the antifraud provisions of the securities laws. The law judge found that the omission of this information was material and was done to prevent an investor from learning information that might dissuade him from investing. The law judge further noted that Respondents' conduct was egregious and recurrent, continuing for many months and the conduct involved at least a reckless degree of scienter. (Rel. 34-68205; File No. 3-14623) Commission Sustains Disciplinary Action Against Robert D. TuckerThe Commission sustained FINRA's decision against Robert D. Tucker, a registered representative of a member firm, suspending him from the industry in all capacities for two years. Following his suspension, Tucker must re-qualify as a corporate securities limited representative. Tucker was also statutorily disqualified from future association with FINRA member firms. The Commission affirmed FINRA's conclusion that during the course of seven years Tucker violated FINRA rules when he failed to disclose, on the Forms U4 he completed for eleven different employers, three adverse judgments, two bankruptcies, a federal tax lien, and a state tax lien. Form U4 is used by all self-regulatory organizations (including FINRA), state regulators, and broker-dealers to determine and monitor the fitness of securities professionals who seek initial or continued registration with a member firm. The public can also access the information reported in the form, via BrokerCheck®, which can be used when deciding to whom to entrust investor monies. The form is critical to the effectiveness of the screening process used to determine who may enter (and remain in) the industry. It ultimately serves as a means of protecting the investing public. In sustaining these findings, the Commission underscored the importance of accurate, timely, and complete registration forms as a regulatory tool. The Commission found that Tucker's repeated "false and misleading filings egregiously violated the standard of 'candor and forthrightness' required of associated persons" and that his evasive and contradictory explanations and testimony "ultimately reveal a disconcerting failure to acknowledge his own responsibility." (Rel. 34-68210; File No. 3-14613) Investment company act releasesHighland Associates, Inc. and Financial Investors TrustA notice has been issued giving interested persons until December 4, 2012, to request a hearing on an application filed by Highland Associates, Inc. and Financial Investors Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940, as amended (the "Act"), and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval. (Rel. IC-30259 – November 9) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE MKT LLC amending Commentary to Rule 903 regarding strike price intervals for classes in the Short Term Option Series Program (SR-NYSEMKT-2012-53) 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. 34-68193) A proposed rule change filed by NYSE Arca, Inc. amending Commentary .05 and .07 to NYSE Arca Rule 6.4 regarding strike price intervals for classes in the Short Term Option Series Program (SR-NYSEArca-2012-114) 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. 34-68194) A proposed rule change filed by NASDAQ OMX BX, Inc. to Modify Fees Assessed Under Rule 7003(a) (SR-BX-2012-070) 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. 34-68195) A proposed rule change filed by NASDAQ OMX PHLX LLC, Inc. to modify fees assessed under Section VII. C. of the Pricing Schedule (SR-Phlx-2012-128) 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. 34-68196) A proposed rule change filed by NASDAQ OMX PHLX LLC to extend the Cabinet Trading Pilot Program in Rule 1059 (SR-Phlx-2012-131) 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. 34-68201) A proposed rule change filed by the BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. (SR-BATS-2012-043) 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. 34-68204) A proposed rule change submitted by National Stock Exchange, Inc. (SR-NSX-2012-18) to amend its fee and rebate schedule 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. 34-68206) Designation of Longer Period for Commission Action on Proposed Rule ChangeThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on proceedings to determine whether to approve or disapprove a proposed rule change (SR-NASDAQ-2012-059) filed by The NASDAQ Stock Market LLC to establish "Benchmark Orders" under NASDAQ Rule 4751(f). Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68199) Approval of Proposed Rule ChangeThe Commission granted approval of proposed rule changes submitted by NASDAQ OMX PHLX LLC (SR-Phlx-2012-27; SR-Phlx-2012-54), as modified by Amendments No. 1, relating to complex order fees and rebates for adding and removing liquidity in Select Symbols. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68202) Accelerated Approval of Proposed Rule ChangeThe Chicago Mercantile Exchange Inc. (CME) filed a proposed rule change (File No. SR-CME-2012-43) under Section 19(b)(1) of the Securities Exchange Act of 1934 to comply with the Commodity Futures Trading Commission's Part 22 regulations. Publication is expected in the Federal Register during the week of November 12. (Rel. 34-68207) 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 Tri-Tech Holding, Inc., 16TH FLOOR, TOWER B, RENJI PLAZA NO. 101, JINGSHUN ROAD, CHAOYANG DISTRICT, BEIJING, F4, 100102, (86-10) 57323666 - 750,000 ($4,457,515.00) Equity, (File 333-184836 - Nov. 9) (BR. 06C) S-3 Crumbs Bake Shop, Inc., 110 WEST 40TH STREET, SUITE 2100, NEW YORK, NY, 10018, 212-221-7105 - 4,456,968 ($13,593,752.40) Equity, (File 333-184837 - Nov. 9) (BR. 02) S-8 OSIRIS THERAPEUTICS, INC., 7015 ALBERT EINSTEIN DRIVE, COLUMBIA, MD, 21046, 443-545-1819 - 0 ($3,111,000.00) Equity, (File 333-184838 - Nov. 9) (BR. 01A) S-8 SUN HYDRAULICS CORP, 1500 WEST UNIVERSITY PKWY, SARASOTA, FL, 34243, 9413621200 - 270,000 ($6,906,600.00) Equity, (File 333-184840 - Nov. 9) (BR. 06A) S-1 ING U.S., Inc., 230 PARK AVENUE, NEW YORK, NY, 10169, 860-580-2818 - 0 ($100,000,000.00) Equity, (File 333-184847 - Nov. 9) (BR. 01) S-3ASR COMSTOCK RESOURCES INC, 5300 TOWN AND COUNTRY BLVD, STE 500, FRISCO, TX, 75034, 9726688800 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184848 - Nov. 9) (BR. 04A) S-8 UNITIL CORP, 6 LIBERTY LANE WEST, HAMPTON, NH, 03842, 6037736504 - 0 ($12,932,500.00) Equity, (File 333-184849 - Nov. 9) (BR. 02A) S-3 SOUTHERN POWER CO, 30 IVAN ALLEN JR. BLVD, ATLANTA, GA, 30308, 4045065000 - 1,500,000,000 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-184850 - Nov. 9) (BR. 02A) S-8 ALTERRA CAPITAL HOLDINGS Ltd, ALTERRA HOUSE, 2 FRONT STREET, HAMILTON HM11, D0, HM 11, 4412958800 - 0 ($11,540,000.00) Equity, (File 333-184851 - Nov. 9) (BR. 01B) S-8 APPIPHANY TECHNOLOGIES HOLDINGS CORP, P.O. BOX 21101 ORCHARD PARK, KELOWNA, A1, V1Y 9N8, (205) 864-5377 - 2,000,000 ($100,000.00) Equity, (File 333-184852 - Nov. 9) (BR. 03C) S-8 FRISCHS RESTAURANTS INC, 2800 GILBERT AVE, CINCINNATI, OH, 45206, 5139612660 - 500,000 ($9,390,000.00) Equity, (File 333-184853 - Nov. 9) (BR. 05B) S-8 QUANTUM CORP /DE/, 1650 TECHNOLOGY DRIVE, SUITE 700, SAN JOSE, CA, 95110, 408 944 4000 - 19,200,000 ($26,496,000.00) Equity, (File 333-184854 - Nov. 9) (BR. 03B) S-4 AMKOR TECHNOLOGY INC, 1900 SOUTH PRICE ROAD, CHANDLER, AZ, 85286, 480-821-5000 - 0 ($300,000,000.00) Debt, (File 333-184856 - Nov. 9) (BR. 10A) S-1 E-WORLD USA HOLDING,INC, 9550 FLAIR DRIVE, #308, EL MONTE, CA, 91731, 626 448 3737 - 2,125,708 ($1,062,854.00) Equity, (File 333-184863 - Nov. 9) (BR. 09) S-8 AEHR TEST SYSTEMS, 400 KATO TERRACE, FREMONT, CA, 94539, 5106239400 - 1,573,083 ($1,323,082.21) Equity, (File 333-184865 - Nov. 9) (BR. 10A) S-3 Fiesta Restaurant Group, Inc., 968 JAMES STREET, SYRACUSE, NY, 13203, 315-424-0513 - 0 ($87,834,906.00) Equity, (File 333-184866 - Nov. 9) (BR. 05A) S-4 Post Holdings, Inc., 2503 S. HANLEY ROAD, ST. LOUIS, MO, 63144, 314-644-7600 - 0 ($1,025,000,000.00) Debt, (File 333-184867 - Nov. 9) (BR. 04A) S-3 IsoRay, Inc., 350 HILLS STREET,, SUITE 106, RICHLAND, WA, 99354, (509) 375-1202 - 1,703,633 ($2,369,865.77) Equity, (File 333-184868 - Nov. 9) (BR. 10A) S-8 Crumbs Bake Shop, Inc., 110 WEST 40TH STREET, SUITE 2100, NEW YORK, NY, 10018, 212-221-7105 - 700,000 ($2,135,000.00) Equity, (File 333-184869 - Nov. 9) (BR. 02) S-8 BUCKEYE TECHNOLOGIES INC, PO BOX 80407, MEMPHIS, TN, 38108-0407, 9013208174 - 2,000,000 ($50,260,000.00) Equity, (File 333-184870 - Nov. 9) (BR. 04B) S-3ASR AVNET INC, 2211 SOUTH 47TH STREET, PHOENIX, AZ, 85034, 4806432000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-184871 - Nov. 9) (BR. 10A) S-8 Kraft Foods Group, Inc., THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 847-646-2000 - 0 ($223,050,000.00) Equity, (File 333-184872 - Nov. 9) (BR. 04A) S-8 Kraft Foods Group, Inc., THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 847-646-2000 - 0 ($513,015,000.00) Equity, (File 333-184873 - Nov. 9) (BR. 04A) S-8 GLACIER BANCORP INC, 49 COMMONS LOOP, ., KALISPELL, MT, 59901, 4067564200 - 0 ($2,000,000.00) Other, (File 333-184874 - Nov. 9) (BR. 07B) S-1 TENGION INC, 3929 WESTPOINT BLVD., SUITE G, WINSTON-SALEM, NC, 27103, 336-722-5855 - 5,000,000 ($4,750,000.00) Equity, (File 333-184875 - Nov. 9) (BR. 01A) S-4 PACIFIC PREMIER BANCORP INC, 1600 SUNFLOWER AVE 2ND FLOOR, COSTA MESA, CA, 92626, 714-431-4000 - 0 ($8,792,216.76) Equity, (File 333-184876 - Nov. 9) (BR. 07C) S-8 HollyFrontier Corp, 2828 N. HARWOOD, SUITE 1300, DALLAS, TX, 75201, 2148713555 - 3,000,000 ($115,515,000.00) Equity, (File 333-184877 - Nov. 9) (BR. 04B) S-3ASR VECTOR GROUP LTD, 100 S E SECOND ST, MIAMI, FL, 33131, 3055798000 - 0 ($0.00) Equity, (File 333-184878 - Nov. 9) (BR. 05C) S-4 NEWS AMERICA INC, 1211 AVENUE OF THE AMERICAS, NEW YORK, NY, 10036, 0 ($1,000,000,000.00) Non-Convertible Debt, (File 333-184879 - Nov. 9) (BR. 05B) 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
-----------------------------------------------------------------------------------------
AAA Energy Opportunities Fund LLC DE 5.02 11/08/12
AARON'S INC GA 8.01,9.01 11/06/12
ACETO CORP NY 2.02,9.01 11/08/12
ADAMS RESOURCES & ENERGY, INC. DE 2.02 11/08/12
Aegion Corp DE 7.01,9.01 11/09/12
AETNA INC /PA/ PA 8.01 11/08/12
AGENUS INC DE 8.01,9.01 11/09/12
AGILYSYS INC OH 9.01 10/27/12
ALASKA AIR GROUP, INC. DE 5.02,7.01 11/07/12
ALASKA AIR GROUP, INC. DE 5.05,9.01 11/07/12
ALION SCIENCE & TECHNOLOGY CORP DE 3.02,8.01 09/30/12 AMEND
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/09/12
Alliance Holdings GP, L.P. DE 7.01,9.01 11/09/12
ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 11/09/12
ALLIANT ENERGY CORP WI 2.02,9.01 11/09/12
ALLIED HEALTHCARE PRODUCTS INC DE 5.07 11/08/12
AMEREN CORP MO 2.02,8.01,9.01 11/09/12
American Caresource Holdings, Inc. DE 2.02,9.01 11/08/12
American Casino & Entertainment Prope DE 2.02,9.01 11/09/12
AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01,9.01 11/08/12
AMERICAN INDEPENDENCE CORP DE 2.02,9.01 09/30/12
AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,2.01,3.02,5.01, 03/23/12 AMEND
5.06,9.01
American Realty Capital Trust IV, Inc MD 8.01 11/05/12
American Reprographics CO DE 5.02 11/09/12
AMERICAN TAX CREDIT PROPERTIES II L P DE 4.01,9.01 11/07/12
AMERICAN TAX CREDIT PROPERTIES III LP DE 4.01,9.01 11/07/12
AMERICAN TAX CREDIT PROPERTIES LP DE 4.01,9.01 11/07/12
AMERICAN TAX CREDIT TRUST SERIES I DE 4.01,9.01 11/07/12
ANADARKO PETROLEUM CORP DE 5.02,9.01 11/05/12
ANAREN INC NY 5.07 11/07/12
Andatee China Marine Fuel Services Co DE 4.01,9.01 11/08/12
Angie's List, Inc. DE 1.01,1.02,9.01 11/09/12
Antero Resources LLC DE 2.02,9.01 11/08/12
Apollo Global Management LLC DE 2.02,9.01 11/09/12
ARADIGM CORP CA 2.02,9.01 11/08/12
ARRAY BIOPHARMA INC DE 1.01,8.01,9.01 11/09/12
ARTS WAY MANUFACTURING CO INC DE 8.01,9.01 11/09/12
Ascent Capital Group, Inc. DE 2.02,7.01,9.01 11/08/12
ASIA PACIFIC BOILER Corp NV 5.03,9.01 11/05/12
ASSURED GUARANTY LTD D0 2.02,9.01 11/08/12
ASURE SOFTWARE INC DE 5.02 11/05/12
AURORA DIAGNOSTICS HOLDINGS LLC 8.01,9.01 11/09/12
AxoGen, Inc. MN 2.02,9.01 11/07/12
Babcock & Wilcox Co DE 5.02,9.01 11/05/12
BAKERS FOOTWEAR GROUP INC MO 1.01,2.04,2.05,2.06 11/05/12
BALLANTYNE STRONG, INC. DE 2.02,9.01 11/09/12
BARNES GROUP INC DE 2.01,9.01 08/24/12 AMEND
BB&T CORP NC 8.01 11/09/12
Bidz.com, Inc. CA 3.01 11/09/12
BIOANALYTICAL SYSTEMS INC IN 1.01,9.01 11/09/12
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/08/12
BioFuel Energy Corp. 1.01,9.01 11/05/12
BIOTIME INC CA 2.02,9.01 11/09/12
Blue Water Restaurant Group, Inc. NV 5.06 08/20/12
Bohai Pharmaceuticals Group, Inc. NV 8.01 11/09/12
Bonanza Creek Energy, Inc. DE 2.02,9.01 11/08/12
BPZ RESOURCES, INC. TX 2.02,7.01,9.01 11/08/12
BRINKER INTERNATIONAL INC DE 5.07,7.01,9.01 11/08/12
BRYN MAWR BANK CORP PA 7.01,9.01 11/09/12
CALIFORNIA FIRST NATIONAL BANCORP CA 2.03,7.01,9.01 11/09/12
CAM Group, Inc. NV 1.01,5.02,9.01 11/09/12
CapLease, Inc. 2.02,9.01 11/09/12
Car Charging Group, Inc. NV 1.01,3.02,9.01 10/24/12
Carbonite Inc DE 5.02 11/08/12
CARPENTER TECHNOLOGY CORP DE 8.01 11/07/12
CBL & ASSOCIATES PROPERTIES INC DE 5.02,9.01 11/05/12
CBRE GROUP, INC. DE 7.01,9.01 11/09/12
CCA INDUSTRIES INC DE 8.01,9.01 11/09/12
CELGENE CORP /DE/ DE 7.01,9.01 11/09/12
CELL THERAPEUTICS INC WA 5.02 11/05/12
CENTRAL EUROPEAN DISTRIBUTION CORP DE 5.02,9.01 11/09/12
CH2M HILL COMPANIES LTD DE 8.01 11/09/12
CHINA AUTOMOTIVE SYSTEMS INC DE 2.02,9.01 11/08/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 8.01,9.01 11/09/12
China United Insurance Service, Inc. DE 9.01 08/24/12 AMEND
CITIGROUP INC DE 5.02,9.01 11/09/12
CKX LANDS, INC. LA 5.02 11/08/12
Clarion Partners Property Trust Inc. MD 1.01,9.01 11/05/12
CMS ENERGY CORP MI 7.01,9.01 11/09/12
CNS RESPONSE, INC. DE 1.01,2.03,3.02,9.01 11/05/12
COBIZ FINANCIAL INC CO 7.01 11/09/12
COMMERCIAL BANCSHARES INC \OH\ OH 8.01 11/08/12
COMPLETE GENOMICS INC DE 2.02,9.01 11/09/12
CONSTELLATION BRANDS, INC. DE 9.01 06/28/12 AMEND
Constellation Energy Partners LLC DE 2.02,9.01 11/09/12
Cooper-Standard Holdings Inc. DE 7.01,9.01 11/09/12
Cooper-Standard Holdings Inc. DE 8.01,9.01 11/09/12
CORNERSTONE THERAPEUTICS INC DE 5.02,9.01 11/05/12
CORNING INC /NY NY 8.01,9.01 11/08/12
Corporate Property Associates 17 - Gl MD 8.01,9.01 11/09/12
COVENTRY HEALTH CARE INC DE 8.01 11/08/12
Covidien plc 2.02,9.01 11/09/12
CPI AEROSTRUCTURES INC NY 2.02 11/08/12
CPS TECHNOLOGIES CORP/DE/ DE 9.01 09/29/12
CRAY INC WA 1.01,8.01,9.01 11/08/12
CRAY INC WA 2.02,9.01 11/09/12
CREDITRISKMONITOR COM INC NV 8.01,9.01 11/09/12
Crestwood Midstream Partners LP DE 8.01,9.01 11/08/12
CROSSTEX ENERGY INC DE 2.02,9.01 11/08/12
CROSSTEX ENERGY LP DE 2.02,9.01 11/08/12
CubeSmart MD 2.02,7.01,9.01 11/08/12
CUMBERLAND PHARMACEUTICALS INC 8.01 11/05/12
CYBEX INTERNATIONAL INC NY 8.01 11/07/12
CYTRX CORP DE 2.02,9.01 11/09/12
DCB FINANCIAL CORP OH 7.01,9.01 11/09/12
DELCATH SYSTEMS INC DE 7.01,9.01 11/09/12
DELTA APPAREL, INC GA 5.07 11/08/12
DELUXE CORP MN 8.01,9.01 11/09/12
DIXIE GROUP INC TN 2.02,9.01 11/09/12
DIXIE GROUP INC TN 7.01,9.01 11/09/12
DORAL FINANCIAL CORP PR 2.02,7.01,9.01 11/09/12
DORAL FINANCIAL CORP PR 3.01,9.01 11/08/12
DOUGLAS DYNAMICS, INC DE 1.01,2.03,9.01 11/09/12
DRIL-QUIP INC DE 2.02,9.01 11/09/12
DSP GROUP INC /DE/ DE 5.02,9.01 11/05/12
DTE ENERGY CO MI 7.01,9.01 11/09/12
Durata Therapeutics, Inc. DE 2.02,9.01 11/09/12
EASTMAN KODAK CO NJ 1.01,9.01 11/09/12
EBIX INC DE 2.02,9.01 11/08/12
Echo Therapeutics, Inc. DE 2.02,9.01 11/08/12
Ecologic Transportation, Inc. 1.01,2.01,3.02,5.01, 03/15/12 AMEND
5.02
ECOTALITY, INC. NV 3.01 11/08/12
ELECTRO SCIENTIFIC INDUSTRIES INC OR 3.01,5.03,8.01,9.01 11/08/12
ELIZABETH ARDEN INC FL 5.07 11/07/12
EMERSON ELECTRIC CO MO 5.02,5.03,9.01 11/05/12
Empeiria Acquisition Corp DE 7.01,9.01 11/09/12
Energy Future Holdings Corp /TX/ TX 7.01,8.01,9.01 11/09/12
Energy Services of America CORP DE 3.01,9.01 11/06/12
Energy Telecom, Inc. FL 1.01,3.02,9.01 11/05/12
ENGLOBAL CORP NV 5.02 09/10/12
ENSIGN GROUP, INC 2.02,9.01 11/07/12
ENTERGY CORP /DE/ DE 7.01,9.01 11/09/12
ESCALADE INC IN 8.01,9.01 11/09/12
Essex Rental Corp. DE 2.02,9.01 11/08/12
Euramax Holdings, Inc. DE 2.02,9.01 11/09/12
EverBank Financial Corp DE 1.01,3.03,5.03,9.01 11/05/12
Excel Trust, Inc. MD 8.01 11/08/12
EXCO RESOURCES INC TX 1.01,7.01,9.01 11/05/12
EXELON CORP PA 7.01,9.01 11/09/12
EXIDE TECHNOLOGIES DE 2.02,9.01 11/09/12
Expedia, Inc. DE 1.01,2.03,9.01 11/08/12
Extra Space Storage Inc. MD 8.01,9.01 11/05/12
FAMILY DOLLAR STORES INC DE 8.01 11/09/12
Federal Home Loan Bank of Dallas 5.02 11/05/12
Federal Home Loan Bank of Des Moines X1 2.02,5.02,5.07,7.01, 11/06/12
9.01
FEDERAL SIGNAL CORP /DE/ DE 9.01 09/04/12 AMEND
Feihe International Inc UT 2.02,3.01,5.07,9.01 11/08/12
FEMALE HEALTH CO WI 5.02,5.03,9.01 11/07/12
First California Financial Group, Inc DE 1.01,9.01 11/06/12
FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 11/09/12
FIRST MARBLEHEAD CORP 3.01,9.01 11/07/12
FIRST NATIONAL COMMUNITY BANCORP INC PA 5.02 11/05/12
FIRST PACTRUST BANCORP INC MD 2.02,5.01,7.01,9.01 11/08/12
FIRST PACTRUST BANCORP INC MD 5.02 11/05/12
Firsthand Technology Value Fund, Inc. 8.01,9.01 11/09/12
FMC CORP DE 5.02,9.01 11/06/12
FOSTER WHEELER AG V8 2.02,9.01 11/09/12
Franklin Credit Management Corp DE 5.02 11/09/12
FTI CONSULTING INC MD 2.02,7.01,9.01 11/08/12
FULTON FINANCIAL CORP PA 7.01,9.01 11/09/12
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.01,2.03,3.02, 11/09/12 AMEND
5.02,9.01
FX ENERGY INC NV 8.01,9.01 11/09/12
GALECTIN THERAPEUTICS INC NV 2.02,9.01 11/09/12
GAMCO INVESTORS, INC. ET AL NY 8.01 11/09/12
GenOn Energy, Inc. DE 2.02,9.01 11/09/12
GENVEC INC DE 2.02,9.01 11/09/12
GENWORTH FINANCIAL INC DE 2.02,9.01 11/09/12
GEO GROUP INC FL 2.02,8.01,9.01 11/05/12
GeoMet, Inc. DE 5.07 11/08/12
GETTY REALTY CORP /MD/ MD 2.02,9.01 11/08/12
Global Eagle Acquisition Corp. DE 8.01,9.01 11/08/12
GLOBAL POWER EQUIPMENT GROUP INC. DE 2.02,9.01 11/08/12
GMX RESOURCES INC OK 1.01,3.02,9.01 11/07/12
GNC HOLDINGS, INC. DE 1.01,9.01 11/07/12
Golden Minerals Co 2.02,9.01 11/08/12
GOLDRICH MINING CO AK 7.01,9.01 11/05/12
GREAT PLAINS ENERGY INC MO 7.01,9.01 11/09/12
GREAT SOUTHERN BANCORP INC MD 8.01,9.01 11/09/12
Green Star Alternative Energy Inc. 5.03,5.07,9.01 11/07/12
GREENWAY MEDICAL TECHNOLOGIES INC 5.07 11/07/12
Griffin-American Healthcare REIT II, MD 5.07 11/07/12
Hallwood Group Inc DE 8.01,9.01 11/06/12
HAMPSHIRE GROUP LTD DE 2.02,9.01 11/08/12
HANDY & HARMAN LTD. DE 2.02,9.01 11/09/12
HARBINGER GROUP INC. DE 1.01,9.01 11/05/12
HCP, INC. MD 8.01,9.01 11/09/12
HeartWare International, Inc. DE 2.02,9.01 11/09/12
Heckmann Corp DE 2.02,9.01 11/09/12
Heckmann Corp DE 5.07 11/09/12
Heckmann Corp DE 2.02,9.01 11/09/12
HICKORY TECH CORP MN 2.02,7.01,9.01 11/08/12
HICKORY TECH CORP MN 2.02,9.01 11/09/12
HILLMAN COMPANIES INC DE 1.01,2.03,9.01 11/07/12
Homeowners Choice, Inc. FL 7.01,9.01 11/06/12
Houston Wire & Cable CO 2.02,9.01 11/09/12
HQ Global Education Inc. DE 5.02,9.01 11/07/12
HUDSON VALLEY HOLDING CORP NY 7.01,9.01 11/09/12
HUMANA INC DE 7.01,9.01 11/09/12
ICEWEB INC DE 4.01,9.01 11/02/12 AMEND
IDACORP INC ID 7.01,9.01 11/09/12
iGo, Inc. DE 2.02,9.01 11/08/12
IKONICS CORP 2.02,9.01 11/08/12
Innophos Holdings, Inc. 1.01 11/07/12
INNOVATIVE FOOD HOLDINGS INC FL 4.01,9.01 11/07/12
INTEGRATED DEVICE TECHNOLOGY INC DE 8.01,9.01 11/09/12
Integrated Management Information, In 2.02,9.01 11/05/12
Integrated Management Information, In 5.02 09/17/12
International Stem Cell CORP DE 2.02,9.01 11/09/12
Invesco Ltd. D0 1.01,8.01,9.01 11/05/12
ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 11/07/12
IVANHOE ENERGY INC 2.02,9.01 11/08/12
IXIA CA 9.01 08/24/12 AMEND
J C PENNEY CO INC DE 2.02,9.01 11/09/12
JAGGED PEAK, INC. NV 2.02,9.01 11/09/12
JOHNSON & JOHNSON NJ 5.01,9.01 11/06/12
JONES LANG LASALLE INC MD 1.01,9.01 11/06/12
K12 INC DE 2.02,9.01 11/09/12
KAMAN CORP CT 5.02,5.05,9.01 11/09/12
KAYAK Software Corp DE 1.01,2.02,7.01,9.01 11/08/12
KBW, INC. 1.01,5.02,9.01 11/05/12
KCAP Financial, Inc. DE 2.02,9.01 11/08/12
KNIGHT TRANSPORTATION INC AZ 8.01,9.01 11/08/12
Landmark Apartment Trust of America, 2.01,2.03,9.01 08/28/12 AMEND
LANNETT CO INC DE 2.02,9.01 11/08/12
Lantheus Medical Imaging, Inc. DE 2.02 11/09/12
Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 11/09/12
LEAP WIRELESS INTERNATIONAL INC DE 1.02 11/09/12
LEGACY RESERVES LP DE 8.01,9.01 11/09/12
Li3 Energy, Inc. NV 4.02,8.01 11/05/12 AMEND
Liberty Global, Inc. DE 7.01 11/09/12
LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 8.01 11/09/12
LIHUA INTERNATIONAL INC. DE 2.02,9.01 11/09/12
LOCKHEED MARTIN CORP MD 5.02,9.01 11/09/12
MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,2.03,9.01 11/09/12
MAGELLAN PETROLEUM CORP /DE/ DE 5.02,5.03,9.01 11/09/12
MAGICJACK VOCALTEC LTD L3 2.02 11/09/12
Maiden Holdings, Ltd. D0 8.01 11/09/12
MANAS PETROLEUM Corp NV 5.07 11/08/12
MAXLINEAR INC 8.01 11/07/12
MAXLINEAR INC 8.01 11/06/12
MCDONALDS CORP DE 7.01,9.01 11/08/12
MEDICINOVA INC DE 7.01 11/09/12
MEDIVATION, INC. DE 2.02,9.01 11/09/12
MEDIWARE INFORMATION SYSTEMS INC NY 2.01,3.01,3.03,5.01, 11/09/12
5.02,5.03,5.07,8.01,
9.01
Memorial Production Partners LP DE 2.02,7.01,9.01 11/09/12
MESA LABORATORIES INC /CO CO 2.02,9.01 11/08/12
METALICO INC 2.02,9.01 11/09/12
MGIC INVESTMENT CORP WI 2.02,9.01 11/09/12
MGP INGREDIENTS INC KS 2.02,7.01,9.01 11/08/12
MGT CAPITAL INVESTMENTS INC DE 7.01,9.01 11/02/12
MICHAEL BAKER CORP PA 1.01,2.02,2.03,7.01, 11/08/12
9.01
MICHAEL FOODS GROUP, INC. DE 2.02,9.01 11/09/12
MIDAMERICAN ENERGY CO IA 7.01,9.01 11/09/12
MIDAMERICAN ENERGY HOLDINGS CO /NEW/ IA 7.01,9.01 11/09/12
MONEYGRAM INTERNATIONAL INC 2.02,9.01 11/09/12
MONEYGRAM INTERNATIONAL INC 8.01,9.01 11/08/12
MONITRONICS INTERNATIONAL INC TX 2.02,7.01,9.01 11/08/12
MONMOUTH REAL ESTATE INVESTMENT CORP MD 7.01,9.01 11/09/12
MOVADO GROUP INC NY 1.01 11/06/12
MRC GLOBAL INC. DE 8.01,9.01 11/09/12
MRC GLOBAL INC. DE 1.01,1.02,2.03,8.01, 11/09/12
9.01
MRV COMMUNICATIONS INC DE 2.01,9.01 11/09/12
MUELLER INDUSTRIES INC DE 5.02,9.01 11/07/12
MusclePharm Corp NV 5.02,9.01 11/05/12
Myrexis, Inc. DE 5.02,8.01,9.01 11/09/12
NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 09/30/12
National CineMedia, Inc. DE 8.01,9.01 11/08/12
National Graphite Corp WY 5.02 11/05/12
NATURAL GAS SERVICES GROUP INC 2.02,9.01 11/08/12
NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 11/08/12
NELNET INC NE 2.02,9.01 11/08/12
NELNET STUDENT LOAN FUNDING LLC 8.01 11/08/12
NET TALK.COM, INC. FL 2.03,9.01 11/06/12
NetSpend Holdings, Inc. DE 1.01,9.01 11/05/12
Neuralstem, Inc. DE 2.02,9.01 11/09/12
NEVADA GOLD & CASINOS INC NV 1.01,9.01 11/08/12
NEW CENTURY BANCORP INC NC 2.02,9.01 11/07/12
New Enterprise Stone & Lime Co., Inc. DE 7.01 11/09/12
NEW YORK TIMES CO NY 1.02 11/09/12
NEWELL RUBBERMAID INC DE 5.02,9.01 11/06/12
NEWS CORP 8.01,9.01 11/09/12
NEWS CORP 8.01,9.01 11/09/12
NEXSTAR BROADCASTING GROUP INC DE 1.01,2.03,8.01,9.01 11/06/12
NICHOLAS FINANCIAL INC FL 8.01,9.01 11/09/12
NORCRAFT COMPANIES LP 2.02,9.01 11/09/12
NORTEK INC DE 5.05,9.01 11/06/12
NORTHEAST UTILITIES MA 7.01,9.01 11/09/12
NORTHWESTERN CORP DE 7.01,9.01 11/09/12
NORTHWESTERN CORP DE 7.01,9.01 11/09/12
NPS PHARMACEUTICALS INC DE 2.02,9.01 11/09/12
NRG ENERGY, INC. DE 5.07,8.01,9.01 11/09/12
NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 11/09/12
NxStage Medical, Inc. DE 5.02,7.01,9.01 11/09/12
OCEANFIRST FINANCIAL CORP DE 7.01,9.01 11/09/12
OCM HoldCo, LLC 8.01,9.01 10/02/12
OFFICE DEPOT INC DE 7.01,9.01 11/09/12
OFFICEMAX INC DE 5.02 11/05/12
OGE ENERGY CORP. OK 7.01,9.01 11/09/12
OLIN CORP VA 7.01,9.01 11/09/12
OM GROUP INC DE 2.02,9.01 11/09/12
OMEROS CORP WA 2.02,9.01 11/09/12
OneBeacon Insurance Group, Ltd. D0 1.01,8.01,9.01 11/09/12
OPLINK COMMUNICATIONS INC DE 5.07 11/07/12
ORAMED PHARMACEUTICALS INC. DE 1.01,3.02 11/08/12
ORANCO INC NV 4.01,9.01 10/18/12
Orgenesis Inc. NV 1.01,9.01 10/30/12
OvaScience, Inc. DE 8.01 11/09/12
PACIFICORP /OR/ OR 7.01,9.01 11/09/12
PACWEST BANCORP DE 1.01,9.01 11/06/12
PANTRY INC DE 5.02 11/06/12
PENFORD CORP WA 2.02,9.01 09/08/12
PEPCO HOLDINGS INC DE 7.01,8.01,9.01 11/09/12
PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 09/30/12
PHYSICIANS FORMULA HOLDINGS, INC. DE 8.01,9.01 11/09/12
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 11/09/12
PLURISTEM THERAPEUTICS INC NV 8.01,9.01 11/09/12
PLX TECHNOLOGY INC DE 8.01,9.01 11/09/12
PLY GEM HOLDINGS INC DE 2.02,9.01 11/09/12
PMC COMMERCIAL TRUST /TX TX 2.02,9.01 11/08/12
PMFG, Inc. DE 5.07 11/08/12
PNC FINANCIAL SERVICES GROUP, INC. PA 8.01,9.01 11/09/12
POLYMEDIX, INC DE 2.02,9.01 11/08/12
Post Holdings, Inc. MO 8.01,9.01 11/09/12
Post Holdings, Inc. MO 8.01,9.01 11/09/12
PRECISION CASTPARTS CORP OR 8.01,9.01 11/09/12
PRESIDENTIAL LIFE CORP DE 2.02,9.01 09/30/12
PRICELINE COM INC DE 1.01,9.01 11/08/12
Primoris Services Corp DE 1.01,2.03,9.01 11/01/12
PROSPECT GLOBAL RESOURCES INC. NV 1.01,9.01 11/08/12
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,9.01 11/08/12
Public Storage MD 2.02,8.01,9.01 09/30/12
PUGET ENERGY INC /WA WA 5.02 11/09/12
PVR PARTNERS, L P DE 7.01,9.01 11/09/12
QC Holdings, Inc. KS 2.02,8.01,9.01 11/09/12
QCR HOLDINGS INC DE 8.01,9.01 11/09/12
RARE ELEMENT RESOURCES LTD A1 3.03,9.01 11/06/12
RESPONSE BIOMEDICAL CORP A1 8.01,9.01 11/07/12
RPC INC DE 8.01,9.01 11/09/12
SARATOGA INVESTMENT CORP. MD 8.01,9.01 11/09/12
SAVVY BUSINESS SUPPORT INC NV 3.02,9.01 11/08/12
SCANA CORP SC 7.01,9.01 11/09/12
SCICLONE PHARMACEUTICALS INC DE 2.02,9.01 11/09/12
SCRIPPS E W CO /DE OH 2.02,9.01 11/09/12
SECURED INCOME L P DE 4.01,9.01 11/07/12
SERVICE CORPORATION INTERNATIONAL TX 1.01,2.03,7.01,8.01, 11/08/12
9.01
ServiceNow, Inc. CA 1.01,2.03 11/08/12
SHARPS COMPLIANCE CORP DE 5.02 11/09/12
Shire plc 8.01,9.01 11/08/12
Shire plc 8.01,9.01 11/09/12
Siga Resources Inc. 5.02 11/07/12
SIGNATURE GROUP HOLDINGS, INC. NV 2.02,7.01,9.01 11/09/12
SILICON IMAGE INC DE 8.01 11/09/12
SKYWORKS SOLUTIONS, INC. DE 8.01 11/08/12
SL GREEN REALTY CORP MD 8.01,9.01 11/09/12
Solar Senior Capital Ltd. MD 1.01,2.03,9.01 11/07/12
SONUS NETWORKS INC DE 5.02 11/08/12
SONUS NETWORKS INC DE 9.01 08/24/12 AMEND
SOUTHERN COPPER CORP/ DE 1.01,2.03,8.01,9.01 11/05/12
SPECTRUM PHARMACEUTICALS INC DE 2.02 11/07/12
STEIN MART INC FL 4.02,9.01 11/09/12
STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 11/09/12
STERLING BANCORP NY 2.02,7.01,9.01 11/08/12
STIFEL FINANCIAL CORP DE 1.01,9.01 11/05/12
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 11/09/12
STRAYER EDUCATION INC MD 1.01,2.02,2.03,9.01 11/08/12
SUN BANCORP INC /NJ/ NJ 5.02,9.01 11/09/12
SUN COMMUNITIES INC MD 1.01,8.01,9.01 11/06/12
SUNOCO LOGISTICS PARTNERS L.P. DE 3.01 11/09/12
SUNRISE SENIOR LIVING INC DE 5.02,9.01 11/08/12
Superior Venture Corp NV 1.01,2.01,3.02,9.01 11/09/12
SYNERGY PHARMACEUTICALS, INC. DE 7.01,8.01,9.01 11/09/12
SYNERGY RESOURCES CORP CO 8.01,9.01 11/08/12
Synutra International, Inc. DE 2.02,9.01 11/09/12
TELIK INC DE 2.02,9.01 11/09/12
Thompson Creek Metals CO Inc. A6 2.02,7.01,9.01 11/09/12
Thompson Creek Metals CO Inc. A6 5.02,9.01 11/06/12
TIMBERLAND BANCORP INC WA 2.02,9.01 11/08/12
TITANIUM METALS CORP DE 7.01,9.01 11/09/12
TITANIUM METALS CORP DE 7.01,9.01 11/09/12
TNP Strategic Retail Trust, Inc. MD 8.01 11/07/12
Towers Watson & Co. DE 5.02 11/02/12
Towers Watson & Co. DE 5.02 11/05/12 AMEND
TRANS ENERGY INC NV 7.01,9.01 11/08/12
TUESDAY MORNING CORP/DE DE 5.02,5.07,9.01 11/07/12
UIL HOLDINGS CORP CT 7.01,9.01 11/09/12
UNIGENE LABORATORIES INC DE 8.01 11/09/12
Unilife Corp DE 2.02,7.01,9.01 11/08/12
UNION BANKSHARES INC VT 2.02,8.01,9.01 11/06/12
United Development Funding IV MD 8.01 11/07/12
UNITED GUARDIAN INC DE 2.02,9.01 11/09/12
UNIVERSAL INSURANCE HOLDINGS, INC. DE 2.02,9.01 11/09/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 11/09/12
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 4.02 11/09/12
UNS Energy Corp AZ 7.01,9.01 11/09/12
UNWIRED PLANET, INC. DE 5.02,9.01 11/07/12
URANIUM RESOURCES INC /DE/ DE 8.01,9.01 11/09/12
US ENERGY CORP WY 2.02,9.01 11/09/12
VALIDUS HOLDINGS LTD 7.01,9.01 11/09/12
VALLEY NATIONAL BANCORP NJ 7.01,9.01 11/09/12
Vantage Drilling CO E9 2.02,9.01 11/09/12
VECTREN CORP IN 7.01 11/09/12
Victor Technologies Group, Inc. DE 9.01 11/09/12
VirtualScopics, Inc. DE 2.02,9.01 11/09/12
VISA INC. DE 5.02,9.01 11/07/12
VISANT CORP 2.02,9.01 11/09/12
VIVUS INC CA 2.02,9.01 11/06/12
WABASH NATIONAL CORP /DE DE 7.01,9.01 11/09/12
WaferGen Bio-systems, Inc. NV 9.01 11/09/12
Warner Chilcott plc 2.02,9.01 11/09/12
WASTE MANAGEMENT INC DE 5.02,9.01 11/06/12 AMEND
WELLS REAL ESTATE INVESTMENT TRUST II MD 7.01,9.01 11/09/12
Westway Group, Inc. DE 2.02,9.01 11/09/12
WESTWOOD HOLDINGS GROUP INC DE 5.02 11/06/12
Whitestone REIT Operating Partnership DE 2.02,9.01 11/07/12
WHITING USA TRUST I DE 2.02,9.01 11/09/12
Whiting USA Trust II DE 2.02,9.01 11/09/12
XCEL ENERGY INC MN 7.01 11/09/12
YADKIN VALLEY FINANCIAL CORP NC 1.01 10/21/12 AMEND
Yasheng Group CA 4.02 11/06/12
Yongye International, Inc. NV 2.02,9.01 11/09/12
ZBB ENERGY CORP WI 5.02,9.01 11/07/12
ZHONGPIN INC. DE 2.02,9.01 11/08/12
ZYGO CORP DE 2.02,9.01 11/09/12
http://www.sec.gov/news/digest/2012/dig111312.htm
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