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Commission AnnouncementsSEC Suspends Trading in Securities of Xytos, Inc.The Securities and Exchange Commission (“Commission”) ordered the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the “Exchange Act”), of trading in the securities of Xytos, Inc. (“Xytos”) quoted on OTC Link, operated by OTC Markets Group, Inc., because of questions regarding the adequacy and accuracy of information Xytos publicly disseminates concerning the company’s financial conditions and business operations, and because of potentially manipulative conduct in the trading of Xytos shares. The trading suspension will last for ten business days. The trading suspension commenced at 9:30 a.m. EST on March 6, 2013, and terminates at 11:59 p.m. EDT on March 19, 2013. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by Xytos. Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating Xytos until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker-dealer or other person has any information which may relate to this matter, they should immediately contact the following individuals: Robert J. Burson, (312) 353-7428, bursonr@sec.gov, Senior Associate Regional Director, Chicago Regional Office or Paul A. Montoya, (312) 353-7429, montoyap@sec.gov Assistant Regional Director, Chicago Regional Office (Rel. 34-69052) SEC Proposes Rules to Improve Systems Compliance and IntegrityThe Securities and Exchange Commission today unanimously proposed new rules to require certain key market participants to have comprehensive policies and procedures in place surrounding their technological systems. The SEC’s proposal called Regulation SCI would replace the current voluntary compliance program with enforceable rules designed to better insulate the markets from vulnerabilities posed by systems technology issues. Self-regulatory organizations, certain alternative trading systems, plan processors, and certain exempt clearing agencies would be required to carefully design, develop, test, maintain, and surveil systems that are integral to their operations. The proposed rules would require them to ensure their core technology meets certain standards, conduct business continuity testing, and provide certain notifications in the event of systems disruptions and other events. “While it’s not possible to prevent every technological error that market participants may commit, we must ensure that our regulations are designed to minimize their impact on our markets and ultimately investors,” said SEC Chairman Elisse B. Walter. “Reg SCI would provide more explicit technology and control standards to help ensure that our markets remain resilient against technological vulnerabilities.” The SEC will seek public comment on Reg SCI for 60 days following its publication in the Federal Register. (Press Rel. 2013-35) Enforcement ProceedingsSEC Charges California-Based Lawyer with Issuing Fraudulent Legal Opinion LettersThe Securities and Exchange Commission today charged a California-based lawyer who has been fraudulently churning out baseless legal opinion letters for penny stocks through his website without researching and evaluating the individual stock offerings. Legal opinion letters are issued to transfer agents on behalf of holders of restricted stock seeking to sell the stock freely in the public markets. Transfer agents typically require a lawyer’s opinion explaining the legal basis for lifting the restriction on the stock and allowing it to be freely traded. The SEC alleges that Brian Reiss of Huntington Beach, Calif., set up 144letters.com to promote his legal opinion letter business and advertise “volume discount” rates while noting “penny stocks not a problem.” Reiss steered potential customers to his website by making bids on search terms through Google’s AdWords, and then relied on a computer-generated template to draft his opinion letters within minutes absent any true analysis of the facts behind each stock offering. The letters from Reiss ultimately made false and misleading statements and facilitated the sale of securities in violation of the registration provisions of the federal securities laws. “Reiss flouted his responsibilities as a gatekeeper in the issuance of stock, and churned out opinion letters to make a quick buck,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “Attorneys who act as gatekeepers in our markets have a solemn responsibility to ensure that they provide accurate information to the marketplace.” Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “Reiss falsely claimed he had conducted investigations into various stocks and determined them to be exempt from registration under the securities laws. He misrepresented critical facts, and our enforcement action seeks to bring Reiss’s opinion mill to an end.” According to the SEC’s complaint filed in federal court in Manhattan, Reiss began issuing the fraudulent legal opinion letters in 2008. He advertised a $285 rate for each letter and a “volume discount” rate of $195 per letter. Reiss routinely made inaccurate statements bearing on whether the restriction should be lifted, and failed to conduct even a token inquiry into the underlying facts. He knew or recklessly disregarded the fact that shareholders seeking his opinion letters intended to sell their stock in the public markets, and that transfer agents would rely on his opinion letters to issue stock certificates without restrictive legends. According to the SEC’s complaint, the false and misleading statements that Reiss made in opinion letters induced transfer agents for several public companies to remove the restrictive legends from the stock certificates and permit the sale of free-trading shares to the public. Reiss provided the opinion letters to transfer agents who required assurances in the form of a legal opinion that the transactions qualified for an exemption from the registration requirements under the federal securities laws. With Reiss’s baseless assurances, the transfer agents issued stock certificates without restrictive legends and enabled the stock to be traded freely. The SEC’s complaint charges Reiss with violating 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 and Rule 10b-5. The SEC seeks disgorgement of ill-gotten gains with prejudgment interest and financial penalties. The SEC seeks to bar Reiss from participating in the offering of any penny stock pursuant to Section 20(g) of the Securities Act. The SEC also seeks permanent injunctions – including an injunction prohibiting Reiss from providing legal services in connection with an unregistered offer or sale of securities. The SEC’s investigation was conducted by Charles D. Riely and Amelia A. Cottrell – members of the SEC Enforcement Division’s Market Abuse Unit – along with Shannon A. Keyes and Kathy Murdocco of the SEC’s New York Regional Office. The SEC’s litigation will be led by Mr. Riely and Ms. Keyes. The New York office’s broker-dealer examination team of Richard Heaphy, Michael McAuliffe, and Simone Celio, Jr. provided assistance with the investigation. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority (FINRA). (Press Rel. 2013-34) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Five Public Companies for Failure to Make Required Periodic FilingsOn March 5, 2013, 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 five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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. 34-69046; File No. 3-15229) Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic FilingsOn March 5, 2013, 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 seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven 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. 34-69047; File No. 3-15230) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Mortgage Assistance Center Corp., MVP Network, Inc., Tekoil & Gas Corp., and Trend Mining Co. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69048; File No. 3-15186) In the Matter of Artfest International, Inc.An Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to Four Respondents and Granting Leave for Motions for Summary Disposition as to Two Respondents in Artfest International, Inc., Admin. Proc. File No. 3-15207. The Default Order finds that the defaulted Respondents had securities registered with the Securities and Exchange Commission (Commission) pursuant to Section 12(g) of the Securities Exchange Act of 1934 (Exchange Act), and that Respondents failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13 by failing to file required periodic reports with the Commission. Based on these facts, the Administrative Law Judge found it necessary and appropriate for the protection of investors to revoke the registration of each class of registered securities of China Advanced Meditech, Inc., Cynet, Inc., Emissary Capital Group, Inc. (n/k/a Cavalier Holdings, Inc.), and ESP Enterprises, Inc. (n/k/a ESP Enterprises of LA, Inc.). The Division of Enforcement was granted leave to file a Motion for Summary Disposition as to Artfest International, Inc., and Durham Marketing Corp. (Rel. 34-69049; File No. 3-15207) Commission Revokes Registration of Securities of Matrixx Resource Holdings, Inc. for Failure to Make Required Periodic FilingsOn March 6, 2013, the Commission revoked the registration of each class of registered securities of Matrixx Resource Holdings, Inc. (Matrixx Resource Holdings) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Matrixx Resource Holdings consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Matrixx Resource Holdings, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Matrixx Resource Holdings’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Matrixx Resource Holdings in In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . For more information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Law Enforcement Associates Corp., et al., Administrative Proceeding File No. 3-15186, Exchange Act Release No. 68729, January 25, 2013. (Rel. 34-69050; File No. 3-15186) Commission Revokes Registration of Securities of Cyde Liquidating Co. for Failure to Make Required Periodic FilingsOn March 6, 2013, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of CYDE Liquidating Co. (CYDE Liquidating) for failure to make required periodic filings with the Commission. Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, CYDE Liquidating consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CYDE Liquidating’s securities pursuant to Section 12(j) of the Exchange Act. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows: No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. 34-69051; File No. 3-15231) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesThe Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-BATS-2013-013) filed by BATS Exchange, Inc. pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 related to Mini Options. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69018) A proposed rule change filed by Chicago Board Options Exchange, Incorporated to amend the Fees Schedule (SR-CBOE-2013-025) 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 March 11, 2013. (Rel. 34-69025) A proposed rule change filed by The NASDAQ Stock Market LLC to assess a fee for the Limit Locator service (SR-NASDAQ-2013-035) 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 March 11, 2013. (Rel. 34-69028) A proposed rule change filed by National Stock Exchange, Inc. to amend its Fee and Rebate Schedule (SR-NSX-2013-08) 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 March 11, 2013. (Rel. 34-69029) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2013-18) relating to long-term index options 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 March 11, 2013. (Rel. 34-69031) A proposed rule change filed by NASDAQ OMX BX, Inc. relating to establishing a program for Managed Data Solutions (MDS) (SR-BX-2013-018) 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 March 11, 2013. (Rel. 34-69041) Proposed Rule ChangesThe Options Clearing Corporation (OCC) filed a proposed rule change (SR-OCC-2013-02) under Section 19(b)(1) of the Securities Exchange Act of 1934 to implement a revised method of calculating clearing members’ respective contributions to OCC’s clearing fund. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69026) Pursuant to Rule 19b-4 of the Securities Exchange Act of 1934, BOX Options Exchange LLC filed with the Securities and Exchange Commission a proposed rule change (SR-BOX-2013-01), as modified by Amendment No. 1, regarding complex orders. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69027) The NASDAQ Stock Market LLC filed a proposed rule change under Rule 19b-4 (SR-NASDAQ-2013-032) to require that listed companies have an internal audit function. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69030) NYSE Arca, Inc. filed a proposed rule change, as modified by Amendment No. 1, (SR-NYSEARCA-2013-10) to adopt new Rule 6.65A to provide for how the Exchange proposes to treat orders, market-making quoting obligations and errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility, and amend Rule 6.65 to codify that the Exchange shall halt trading in all options overlying NMS Stocks when the equities markets initiate a market-wide trading halt due to extraordinary market volatility. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69032) NYSE MKT LLC filed a proposed rule change, as modified by Amendment No. 1, (SR-NYSEMKT-2013-10) to adopt new Rule 953.1NY to provide for how the Exchange proposes to treat orders, market-making quoting obligations and errors in response to the Regulation NMS Plan to Address Extraordinary Market Volatility, and amend Rule 953NY to codify that the Exchange shall halt trading in all options overlying NMS Stocks when the equities markets initiate a market-wide trading halt due to extraordinary market volatility. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69033) BATS Exchange, Inc. filed a proposed rule change (SR-BATS-2013-016) to modify the BATS Options Market Maker Obligation rule. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69038) The NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2013-031) pursuant to Section 19(b)(1) of the Securities Exchange Act to amend the attestation requirement of Rule 4780 to allow a Retail Member Organization to attest that “substantially all” orders submitted to the Retail Price Improvement Program will qualify as “Retail Orders.” Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69039) A proposed rule change has been filed by NASDAQ OMX BX, Inc. to adopt a directed order process (SR-BX-2013-016) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69040) Approval of Proposed Rule ChangesThe Commission approved a proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2012-052), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to require members to report to TRACE the “factor” in limited instances involving asset-backed security transactions. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69037) The Commission granted approval of a proposed rule change (SR-NYSE-2013-02) submitted by New York Stock Exchange LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to adopting investigation, disciplinary, sanction, and other procedural rules that are modeled on the rules of the Financial Industry Regulatory Authority and to make certain conforming and technical changes. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69045) Accelerated Approval of Proposed Rule ChangeThe Commission granted accelerated approval of a proposed rule change (SR-ICEEU-2013-03) filed by ICE Clear Europe Limited under Section 19(b)(1) of the Securities Exchange Act of 1934 related to the clearing of foreign exchange transactions. Publication is expected in the Federal Register during the week of March 11, 2013. (Rel. 34-69044) 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-3ASR Fidelity National Information Services, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE, FL, 32204, 904-854-8547 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187047 - Mar. 5) (BR. 02A) S-8 GORMAN RUPP CO, 600 SOUTH AIRPORT ROAD, P.O. BOX 1217, MANSFIELD, OH, 44901, 419-755-1011 - 0 ($7,262,500.00) Equity, (File 333-187048 - Mar. 5) (BR. 10A) S-1 TICKET TO SEE, INC., 2620 REGATTA DR., STE 102, LAS VEGAS, NV, 89128, 18889709463 - 2,000,000 ($20,000.00) Equity, (File 333-187049 - Mar. 5) (BR. ) S-8 COMPETITIVE TECHNOLOGIES INC, 1375 KINGS HIGHWAY EAST, FAIRFIELD, CT, 06824, (203) 368-6044 - 100,000 ($43,000.00) Equity, (File 333-187050 - Mar. 5) (BR. 03A) S-8 BRIGHTCOVE INC, 290 CONGRESS STREET, BOSTON, MA, 02210, (888) 882-1880 - 0 ($7,011,095.19) Equity, (File 333-187051 - Mar. 5) (BR. 03C) S-8 Limelight Networks, Inc., 222 SOUTH MILL AVENUE, 8TH FLOOR, TEMPE, AZ, 85281, 602-850-5000 - 0 ($8,235,154.20) Equity, (File 333-187052 - Mar. 5) (BR. 03C) S-8 ExOne Co, 127 INDUSTRY BOULEVARD, NORTH HUNTINGDON, PA, 15642, 724-863-9663 - 1,919,741 ($50,988,320.96) Equity, (File 333-187053 - Mar. 5) (BR. 10A) S-8 RUCKUS WIRELESS INC, 350 WEST JAVA DRIVE, SUNNYVALE, CA, 94089, 650-265-4200 - 5,191,667 ($104,923,590.07) Equity, (File 333-187054 - Mar. 5) (BR. 03B) S-3 Memorial Production Partners LP, 1301 MCKINNEY, SUITE 2100, HOUSTON, TX, 77010, 713-588-8300 - 0 ($750,000,000.00) Unallocated (Universal) Shelf, (File 333-187055 - Mar. 5) (BR. 04A) S-4 MGM Resorts International, 3600 LAS VEGAS BLVD S, LAS VEGAS, NV, 89109, 702-693-7120 - 0 ($1,000,000,000.00) Debt, (File 333-187056 - Mar. 5) (BR. 08C) S-8 Enphase Energy, Inc., 1420 NORTH MCDOWELL BLVD., PETALUMA, CA, 94954, (707) 763-4784 - 0 ($10,290,438.80) Equity, (File 333-187057 - Mar. 6) (BR. 10A) S-8 CAI International, Inc., 415-788-0100 - 200,000 ($5,362,000.00) Equity, (File 333-187058 - Mar. 6) (BR. 06A) S-1 CUI Global, Inc., 20050 SW 112 AVENUE, TUALATIN, OR, 97062, (503) 612-2300 - 8,050,000 ($43,872,500.00) Equity, (File 333-187059 - Mar. 6) (BR. 11A) S-3ASR BankUnited, Inc., 14817 OAK LANE, MIAMI LAKES, FL, 33016, (305) 569-2000 - 0 ($0.00) Equity, (File 333-187060 - Mar. 6) (BR. 07C) S-8 PC CONNECTION INC, ROUTE 101A, 730 MILFORD RD, MERRIMACK, NH, 03054, 6036832000 - 200,000 ($2,858,000.00) Equity, (File 333-187061 - Mar. 6) (BR. 02A) S-8 SWS GROUP INC, SUITE 3500, 1201 ELM STREET, DALLAS, TX, 75270, 2146511800 - 1,500,000 ($9,390,000.00) Equity, (File 333-187066 - Mar. 6) (BR. 12A) S-3 ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 30,000,000 ($30,000,000.00) Non-Convertible Debt, (File 333-187073 - Mar. 6) (BR. 01A) S-8 YY Inc., No. 50 Jianzhung Road, Tianhe Software Park, Tianhe District, Guangzhou, F4, 510660, 862029162000 - 0 ($127,832,444.00) ADRs/ADSs, (File 333-187074 - Mar. 6) (BR. 03A) S-3 ACURA PHARMACEUTICALS, INC, 616 N. NORTH COURT, SUITE 120, PALATINE, IL, 60067, 847-705-7709 - 0 ($75,000,000.00) Equity, (File 333-187075 - Mar. 6) (BR. 01A) S-3ASR THERMO FISHER SCIENTIFIC INC., 81 WYMAN ST, PO BOX 9046, WALTHAM, MA, 02451, 7816221000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-187080 - Mar. 6) (BR. 10B) S-3 TRIPLE-S MANAGEMENT CORP, 1441 F.D. ROOSEVELT AVE., SAN JUAN, PR, 00920, 7877494949 - 0 ($128,800,000.00) Other, (File 333-187082 - Mar. 6) (BR. 01B) S-8 PTC INC., 140 KENDRICK STREET, NEEDHAM, MA, 02494, 7813705000 - 7,604,822 ($175,731,259.00) Equity, (File 333-187083 - Mar. 6) (BR. 03B) S-8 HighLight Networks, Inc., 7325 OSWEGO ROAD, LIVERPOOL, NY, 13090, 315-451-4722 - 1,000,000 ($1,950,000.00) Equity, (File 333-187084 - Mar. 6) (BR. 11A) S-3 Clean Energy Fuels Corp., 3020 OLD RANCH PARKWAY, SUITE 400, SEAL BEACH, CA, 90740, (562) 493-2804 - 0 ($78,101,242.08) Equity, (File 333-187085 - Mar. 6) (BR. 02C) S-8 PROTECTIVE LIFE CORP, 2801 HGWY 280 S, BIRMINGHAM, AL, 35223, 2052683596 - 0 ($95,550,000.00) Equity, (File 333-187086 - Mar. 6) (BR. 01A) S-8 TESCO CORP, 3993 W. SAM HOUSTON PARKWAY N., SUITE 100, HOUSTON, TX, 77043, 713-359-7000 - 726,981 ($9,036,373.83) Equity, (File 333-187087 - Mar. 6) (BR. 04A) S-8 ESTERLINE TECHNOLOGIES CORP, 500 - 108TH AVENUE NE, SUITE 1500, BELLEVUE, WA, 98004, 4254539400 - 0 ($101,340,000.00) Equity, (File 333-187088 - Mar. 6) (BR. 10A) S-8 Carbonite Inc, 177 HUNTINGTON AVENUE, BOSTON, MA, 02115, 6175871140 - 1,032,244 ($10,157,280.96) Equity, (File 333-187089 - Mar. 6) (BR. 03C) S-8 CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 4085264000 - 3,355,350 ($12,116,863.24) Equity, (File 333-187090 - Mar. 6) (BR. 03C) S-8 ACORDA THERAPEUTICS INC, 420 SAW MILL RIVER ROAD, ARDSLEY, NY, 10502, 914-347-4300 - 1,609,899 ($47,620,813.00) Equity, (File 333-187091 - Mar. 6) (BR. 01A) S-11 American Realty Capital Trust V, Inc., 405 PARK AVENUE, NEW YORK, NY, 10022, 212-415-6500 - 82,736,842 ($2,049,999,997.50) Equity, (File 333-187092 - Mar. 6) (BR. 08) 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 CAPITAL ENERGY FUND L.P. II NY 3.02 03/01/13
ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 03/04/13
ABM INDUSTRIES INC /DE/ DE 5.07 03/05/13
ACI WORLDWIDE, INC. DE 7.01,9.01 03/05/13
ACURA PHARMACEUTICALS, INC NY 8.01,9.01 03/05/13
ACURA PHARMACEUTICALS, INC NY 5.02 02/28/13
ADVOCAT INC DE 5.02 03/05/13
AEOLUS PHARMACEUTICALS, INC. DE 5.02,9.01 03/04/13
AeroVironment Inc DE 2.02,9.01 03/05/13
Aleris Corp DE 2.02,7.01,9.01 03/05/13
ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 02/28/13
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 1.01,2.03,3.02,9.01 03/04/13
Alon USA Energy, Inc. DE 2.02,9.01 03/04/13
Alon USA Partners, LP DE 2.02,9.01 03/04/13
Alpha Natural Resources, Inc. DE 5.02 03/05/13 AMEND
ALPHA PRO TECH LTD DE 2.02,9.01 03/05/13
Altisource Asset Management Corp VI 5.02 03/04/13
Altisource Residential Corp 5.02 03/04/13
AMERIANA BANCORP IN 5.02,9.01 03/04/13
AMERICAN AIRLINES INC DE 8.01,9.01 03/05/13
American Capital Agency Corp 1.01,9.01 02/28/13
AMERICAN LEARNING Corp NY 3.01,9.01 03/05/13
AMERICAN ORIENTAL BIOENGINEERING INC CO 2.04 02/19/13
AMERICAN SCIENCE & ENGINEERING, INC. MA 5.03,9.01 03/01/13
AMERICAN TOWER CORP /MA/ DE 5.02 02/28/13
AMERISOURCEBERGEN CORP DE 5.02,5.07,8.01 02/28/13
AMR CORP DE 8.01,9.01 03/04/13
AMR CORP DE 8.01,9.01 03/05/13
AP PHARMA INC /DE/ DE 2.02,8.01,9.01 02/28/13
Apollo Commercial Real Estate Finance MD 5.02 02/27/13
APPIPHANY TECHNOLOGIES HOLDINGS CORP 1.01,9.01 03/05/13
APPLETON PAPERS INC/WI 9.01 03/04/13
ARCA biopharma, Inc. DE 5.03,9.01 03/04/13
Artemis Acquisition Corp. DE 1.01,2.01,3.02,5.02, 12/31/12 AMEND
5.06,9.01
Ascena Retail Group, Inc. DE 7.01,9.01 03/04/13
ASTEC INDUSTRIES INC TN 5.02,8.01,9.01 03/04/13
AT&T INC. DE 8.01,9.01 03/05/13
Atlantic Coast Financial CORP MD 2.02,9.01 03/04/13
AUTOBYTEL INC DE 2.02,9.01 02/28/13
AUTOINFO INC DE 1.01,7.01,8.01,9.01 02/28/13
AVALONBAY COMMUNITIES INC MD 1.01,2.01,2.03,3.02, 02/27/13
7.01,9.01
AVAYA INC DE 8.01,9.01 03/05/13
AVIS BUDGET GROUP, INC. DE 1.01,2.03,9.01 02/28/13
AVIV REIT, INC. MD 2.02,9.01 03/05/13
AXIALL CORP/DE/ DE 5.02,8.01,9.01 03/04/13
Axiom Gold & Silver Corp 4.01,9.01 02/28/13
AZZ INC TX 8.01,9.01 03/04/13
BANK OF AMERICA CORP /DE/ DE 8.01,9.01 03/05/13
BB&T CORP NC 7.01,9.01 03/05/13
BioNeutral Group, Inc NV 1.01,2.03,3.02,7.01, 03/05/13
9.01
Blueknight Energy Partners, L.P. DE 1.01,2.03,9.01 03/04/13
Bridgepoint Education Inc DE 8.01 03/05/13
BRINKER INTERNATIONAL INC DE 5.02,9.01 02/28/13
Bullfrog Gold Corp. DE 4.02,9.01 03/05/13 AMEND
Calpian, Inc. TX 1.01 02/27/13
CAMAC Energy Inc. DE 5.02 02/27/13
CARDINAL FINANCIAL CORP VA 7.01,9.01 03/05/13
CFCRE Commercial Mortgage Trust 2011- DE 1.01,6.02,9.01 02/28/13
CHAMPIONS ONCOLOGY, INC. DE 5.02,9.01 03/01/13
CHECKPOINT SYSTEMS INC PA 7.01,9.01 03/04/13
CHECKPOINT SYSTEMS INC PA 2.02,9.01 03/05/13
CHENIERE ENERGY INC DE 7.01,9.01 03/05/13
Cheniere Energy Partners, L.P. DE 7.01,9.01 03/05/13
CHINA BAK BATTERY INC NV 3.01,5.02 03/04/13
China Ginseng Holdings Inc 4.01,9.01 02/28/13 AMEND
CHS INC MN 1.01,9.01 03/04/13
CHS INC MN 8.01 03/04/13
Citadel EFT, Inc. NV 5.02 03/05/13 AMEND
Citadel Exploration, Inc. NV 3.02 03/05/13
CITIZENS INC CO 5.03,8.01,9.01 03/01/13
CITY HOLDING CO WV 5.02,8.01 02/27/13
Clearwater Paper Corp DE 7.01,9.01 03/04/13
COCA COLA CO DE 8.01,9.01 02/28/13
Coleman Cable, Inc. DE 8.01 03/05/13
COLLECTORS UNIVERSE INC DE 5.07 11/19/12 AMEND
COLUMBIA LABORATORIES INC DE 7.01,9.01 03/05/13
COMMODITY ADVISORS FUND L.P. NY 3.02 03/01/13
CommonWealth REIT MD 8.01,9.01 03/04/13
CommonWealth REIT MD 8.01,9.01 03/05/13
CONAGRA FOODS INC /DE/ DE 1.01,7.01,9.01 03/04/13
Constant Contact, Inc. DE 5.02 03/04/13
Constellation Energy Partners LLC DE 2.02,9.01 03/05/13
CPI CORP DE 1.01,2.04,9.01 02/26/13
Crestwood Midstream Partners LP DE 7.01 03/05/13
Crumbs Bake Shop, Inc. DE 5.02,9.01 03/01/13
CU Bancorp CA 7.01,9.01 03/04/13
CVB FINANCIAL CORP CA 7.01,8.01,9.01 03/04/13
DARA BioSciences, Inc. DE 5.02,9.01 02/28/13
DecisionPoint Systems, Inc. DE 1.01,2.03,9.01 02/27/13
Dephasium Corp. NV 1.01,3.02,5.01,5.02, 03/05/13
8.01,9.01
DIGIRAD CORP DE 2.05,2.06,5.02,8.01, 02/27/13
9.01
Discover Financial Services DE 2.02,9.01 03/05/13
Dresser-Rand Group Inc. DE 5.02,9.01 03/05/13
DREW INDUSTRIES INC DE 5.02,9.01 03/04/13
DubLi, Inc. NV 1.01,5.02 02/27/13
DYCOM INDUSTRIES INC FL 7.01,9.01 03/05/13
DYNAMICS RESEARCH CORP MA 8.01 03/05/13 AMEND
E TRADE FINANCIAL Corp DE 7.01,9.01 03/05/13
E TRADE FINANCIAL Corp DE 5.02 03/05/13
EAGLE BANCORP INC MD 8.01,9.01 03/05/13
ECHELON CORP DE 5.02 02/27/13
EMC INSURANCE GROUP INC IA 7.01,9.01 03/04/13
EMERGING CTA PORTFOLIO LP NY 3.02 03/01/13
ENDEAVOUR INTERNATIONAL CORP NV 8.01 02/27/13
ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 03/05/13
ENVESTNET, INC. DE 4.02,9.01 02/27/13 AMEND
EQM Technologies & Energy, Inc. DE 1.01,2.03,9.01 02/27/13
EQUINIX INC DE 1.01,9.01 02/27/13
ERA GROUP INC. DE 5.02,9.01 02/27/13
Essex Rental Corp. DE 7.01 03/05/13
Federal Home Loan Bank of Atlanta X1 2.03 02/27/13
Federal Home Loan Bank of Boston X1 2.03 02/27/13
Federal Home Loan Bank of Chicago X1 2.03 02/28/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/05/13
Federal Home Loan Bank of New York X1 2.03,9.01 02/27/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/27/13
Federal Home Loan Bank of San Francis X1 2.03 02/27/13
Federal Home Loan Bank of Seattle 2.03 02/27/13
Federal Home Loan Bank of Topeka 2.03,9.01 02/27/13
FERRO CORP OH 2.02,9.01 03/05/13
Fibrocell Science, Inc. DE 5.02 03/04/13
FIFTH THIRD BANCORP OH 7.01,9.01 03/05/13
FIRST MARBLEHEAD CORP 8.01 03/04/13
FIRST MERCHANTS CORP IN 8.01,9.01 03/04/13 AMEND
FIRST NIAGARA FINANCIAL GROUP INC DE 5.02 02/27/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 03/05/13
FIRSTENERGY CORP OH 8.01,9.01 02/28/13
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 03/05/13
FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,9.01 02/28/13
FTI CONSULTING INC MD 7.01,9.01 03/04/13
Fuse Science, Inc. NV 1.01,3.02,9.01 03/04/13
FUTURES PORTFOLIO FUND L.P. MD 3.02 03/01/13
GALECTIN THERAPEUTICS INC NV 7.01,9.01 03/05/13
GameStop Corp. DE 5.02,9.01 03/04/13
GASTAR EXPLORATION LTD 7.01,9.01 03/05/13
Gevo, Inc. DE 2.02,9.01 03/05/13
Global Cash Access Holdings, Inc. DE 5.02 02/28/13
GLOBALSCAPE INC DE 7.01,9.01 03/05/13
GOFF, CORP NV 1.01,5.01,5.02,9.01 02/26/13
GOLDEN STAR RESOURCES LTD 2.02,9.01 03/04/13
GP STRATEGIES CORP DE 1.01,9.01 02/28/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 03/01/13
Griffin Capital Essential Asset REIT, 1.01,2.03,7.01,9.01 02/27/13
GROUP 1 AUTOMOTIVE INC DE 1.01,2.01,3.02,3.03, 02/27/13
5.02,8.01,9.01
GTJ REIT, Inc. MD 1.01 02/22/13
GULF ISLAND FABRICATION INC LA 8.01,9.01 03/04/13
H&E Equipment Services, Inc. DE 2.02,8.01,9.01 03/05/13
HANMI FINANCIAL CORP DE 7.01,9.01 03/05/13
Hartman Short Term Income Properties MD 9.01 03/05/13 AMEND
HEALTHSOUTH CORP DE 8.01 03/05/13
HECLA MINING CO/DE/ DE 8.01,9.01 03/05/13
HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 03/04/13
hhgregg, Inc. DE 1.01,5.02,9.01 03/01/13
HINES REAL ESTATE INVESTMENT TRUST IN 2.01,7.01,9.01 03/01/13
HOLOGIC INC DE 7.01,9.01 03/05/13
Homeowners Choice, Inc. FL 2.02,9.01 03/05/13
HOSPIRA INC DE 8.01 03/01/13
HSBC Finance Corp 8.01,9.01 03/05/13
ICG GROUP, INC. DE 5.02,9.01 03/01/13
ICON ECI FUND FIFTEEN, L.P. DE 8.01 03/05/13
ICON Equipment & Corporate Infrastruc DE 8.01 03/05/13
IGI LABORATORIES, INC DE 2.02,9.01 03/05/13
IMH Financial Corp DE 8.01 02/28/13
ImmunoCellular Therapeutics, Ltd. DE 2.02,9.01 03/05/13
Independence Bancshares, Inc. SC 5.02,9.01 02/27/13
INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 03/05/13
INFORMATICA CORP DE 5.02 03/03/13
INSITE VISION INC DE 2.02,9.01 03/05/13
InterAmerican Gaming, Inc. NV 8.01,9.01 03/04/13
INTERNATIONAL GAME TECHNOLOGY NV 7.01,9.01 03/05/13
InvenSense Inc DE 5.02 02/27/13
IPG PHOTONICS CORP DE 5.02,9.01 03/05/13
IRONWOOD PHARMACEUTICALS INC DE 5.02,9.01 03/01/13
Islet Sciences, Inc NV 5.02 03/03/13
JAGGED PEAK, INC. NV 2.02,9.01 03/05/13
JAMBA, INC. DE 2.02,9.01 03/05/13
JOY GLOBAL INC DE 5.07 03/05/13
K12 INC DE 5.02,9.01 02/28/13
L3 CORP DE 2.03,9.01 02/26/13
LEXMARK INTERNATIONAL INC /KY/ DE 8.01,9.01 03/05/13
Limoneira CO DE 1.01 02/27/13
LIQUIDMETAL TECHNOLOGIES INC DE 5.02,5.03,9.01 02/28/13
LUCID INC NY 5.02 02/27/13
Lumos Networks Corp. VA 5.02 03/05/13
M I HOMES INC OH 7.01 03/05/13
MACROSOLVE INC OK 2.02,9.01 03/05/13
MANAGED FUTURES PREMIER ABINGDON L.P. NY 3.02 03/01/13
MANAGED FUTURES PREMIER AVENTIS II L. NY 3.02 03/01/13
Managed Futures Premier BHM L.P. DE 3.02 03/01/13
MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 03/01/13
MARKEL CORP VA 8.01,9.01 03/05/13
MARKETAXESS HOLDINGS INC 2.01,8.01,9.01 02/28/13
MARKWEST ENERGY PARTNERS L P 7.01,9.01 03/05/13
MATTSON TECHNOLOGY INC DE 8.01,9.01 03/05/13
MCCORMICK & CO INC MD 5.02,9.01 03/05/13
MCG CAPITAL CORP DE 2.02,9.01 03/05/13
MCGRAW-HILL COMPANIES INC NY 1.01,8.01,9.01 03/04/13
MDU COMMUNICATIONS INTERNATIONAL INC DE 1.01 03/01/13
MELA SCIENCES, INC. /NY 2.02,9.01 03/05/13
Memorial Production Partners LP DE 2.02,7.01,9.01 03/05/13
Memorial Production Partners LP DE 8.01,9.01 03/05/13
METLIFE INC DE 8.01,9.01 03/05/13
MGC DIAGNOSTICS Corp MN 2.02,9.01 03/05/13
MGIC INVESTMENT CORP WI 1.01,5.03,8.01,9.01 03/03/13
MGP INGREDIENTS INC KS 7.01,8.01,9.01 02/28/13
MICHAEL BAKER CORP PA 5.02,9.01 02/27/13
MICHAEL BAKER CORP PA 2.02,9.01 03/05/13
Mid-Con Energy Partners, LP DE 2.02,9.01 03/05/13
Midstates Petroleum Company, Inc. DE 2.02,9.01 03/05/13
MINERALS TECHNOLOGIES INC DE 5.02,9.01 03/04/13
MPLX LP DE 5.02 02/27/13
MRC GLOBAL INC. DE 8.01,9.01 03/04/13
MS Structured SATURNS Series 2006-2 DE 8.01 03/05/13
Myrexis, Inc. DE 1.01,3.02,5.02 02/27/13
NBT BANCORP INC DE 5.07,8.01 03/05/13
NCI BUILDING SYSTEMS INC DE 2.02,9.01 03/05/13
NETREIT, INC. MD 2.03,9.01 02/27/13
NETWORK 1 SECURITY SOLUTIONS INC DE 1.01,9.01 02/28/13
NeurogesX Inc CA 2.05,8.01 02/28/13
NEW ENERGY SYSTEMS GROUP NV 8.01,9.01 03/04/13
Newport Bancorp Inc 1.01,5.02,8.01,9.01 03/04/13
Nexeo Solutions Holdings, LLC DE 7.01,9.01 03/05/13
NORDSTROM INC WA 5.02,9.01 02/27/13
NORSTRA ENERGY INC NV 1.01,5.03,5.07,9.01 02/26/13
NORSTRA ENERGY INC NV 5.02 03/01/13
NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 03/05/13
NVIDIA CORP DE 5.02 02/27/13
O REILLY AUTOMOTIVE INC 8.01 02/28/13
OCWEN FINANCIAL CORP FL 5.02 03/05/13
ODYSSEY MARINE EXPLORATION INC NV 1.01 02/28/13
OMEGA COMMERCIAL FINANCE CORP WY 4.01,9.01 03/05/13
OMEGA PROTEIN CORP NV 2.02,9.01 03/05/13
OMNICARE INC DE 7.01,9.01 03/05/13
ONEOK INC /NEW/ OK 7.01,9.01 03/05/13
ONEOK Partners LP DE 7.01,9.01 03/05/13
Oraco Resources, Inc. NV 1.02 03/04/13
Orient Paper Inc. NV 8.01,9.01 03/05/13
ORION FUTURES FUND LP NY 3.02 03/01/13
PACIFIC MERCANTILE BANCORP CA 1.01,3.02,7.01,9.01 02/27/13
PALL CORP NY 5.02,9.01 03/05/13
PANTRY INC DE 1.01 03/05/13
PARK OHIO HOLDINGS CORP OH 2.02,9.01 03/04/13
PARKWAY PROPERTIES INC MD 8.01,9.01 03/05/13
PATTERSON UTI ENERGY INC DE 7.01,9.01 03/05/13
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 5.02 02/27/13
PETROQUEST ENERGY INC DE 5.02,9.01 03/05/13
PHH CORP MD 5.02 03/02/13
PHI INC LA 5.02,5.03,9.01 02/27/13
PICO HOLDINGS INC /NEW CA 1.01 02/28/13
PICO HOLDINGS INC /NEW CA 2.02,9.01 03/04/13
PINNACLE WEST CAPITAL CORP AZ 7.01,9.01 03/05/13
Pivotal Group Inc. DE 4.01,9.01 02/27/13
PNC FINANCIAL SERVICES GROUP, INC. PA 2.02,9.01 03/05/13
PNM RESOURCES INC NM 4.01,9.01 03/01/13
POLARIS INDUSTRIES INC/MN MN 7.01,9.01 03/05/13
POLYONE CORP 1.01,1.02,2.03,9.01 02/28/13
POLYONE CORP 8.01 03/05/13
POTOMAC FUTURES FUND LP NY 3.02 03/01/13
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 03/05/13
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/05/13
Public Storage MD 1.01,3.03,5.03,9.01 03/04/13
QLT INC/BC A1 5.02,9.01 02/27/13
Quad/Graphics, Inc. WI 2.02,9.01 03/04/13
Quad/Graphics, Inc. WI 9.01 01/16/13 AMEND
RADISYS CORP OR 2.02 03/05/13
REALTY INCOME CORP MD 5.02,7.01,9.01 03/01/13
Regency Energy Partners LP DE 8.01,9.01 03/04/13
RELM WIRELESS CORP NV 2.02,9.01 03/05/13
Renegade Ventures, Inc. DE 8.01 03/05/13
RESEARCH FRONTIERS INC DE 1.01,9.01 03/04/13
Resource Capital Corp. MD 2.02,9.01 03/04/13
Reven Housing REIT, Inc. CO 1.01,9.01 03/04/13
RIGEL PHARMACEUTICALS INC DE 2.02,9.01 03/05/13
Rockwood Holdings, Inc. DE 7.01,9.01 03/05/13
ROI Acquisition Corp. DE 4.02 03/01/13
Sagent Pharmaceuticals, Inc. DE 8.01,9.01 03/05/13
Sally Beauty Holdings, Inc. 5.02,8.01,9.01 03/05/13
SANUWAVE Health, Inc. NV 1.01,9.01 03/01/13
SAUER DANFOSS INC DE 1.01,3.01,3.02,8.01, 03/01/13
9.01
SaviCorp NV 5.02 03/04/13
SCHAWK INC 1.01,8.01 02/27/13
SCHOOL SPECIALTY INC WI 1.01,1.02,2.03 02/27/13
SEALED AIR CORP/DE DE 5.02 02/28/13
Seneca Foods Corp NY 2.03 03/05/13
Sequoia Mortgage Trust 2013-3 8.01,9.01 02/01/13
Shire plc 8.01,9.01 03/05/13
SI Financial Group, Inc. 1.01,9.01 03/05/13
SIERRA MONITOR CORP /CA/ CA 2.02,9.01 03/05/13
SLM Student Loan Trust 2003-1 DE 8.01,9.01 03/05/13
SLM Student Loan Trust 2003-4 DE 8.01,9.01 03/05/13
SLM Student Loan Trust 2003-7 DE 8.01,9.01 03/05/13
SMITH & WESSON HOLDING CORP NV 2.02,9.01 03/05/13
SMITH & WESSON HOLDING CORP NV 7.01,9.01 03/05/13
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 1.01,2.03,9.01 03/01/13
SOUTH JERSEY INDUSTRIES INC NJ 8.01,9.01 03/04/13
SOUTHERN MISSOURI BANCORP INC MO 7.01 03/05/13
SPAN AMERICA MEDICAL SYSTEMS INC SC 1.01,1.02,9.01 03/01/13
SPARTAN STORES INC MI 1.02,2.04,3.03 03/01/13
SPARTECH CORP DE 8.01 03/05/13
SpendSmart Payments Co CO 4.01,9.01 02/27/13
SPRINT NEXTEL CORP KS 1.01,2.03,9.01 02/28/13
SPRINT NEXTEL CORP KS 5.02 02/27/13
STAGE STORES INC NV 8.01,9.01 03/05/13
Standard Gold Holdings, Inc. CO 5.02,5.07 02/28/13
Station Casinos LLC NV 9.01 03/01/13 AMEND
STEEL DYNAMICS INC IN 8.01,9.01 03/04/13
STEELCASE INC MI 7.01 03/05/13
Stereotaxis, Inc. DE 2.02,5.02,9.01 02/28/13
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 03/01/13
SUN COMMUNITIES INC MD 7.01,9.01 03/05/13
SUN HYDRAULICS CORP FL 2.02,8.01,9.01 03/04/13
SunOpta Inc. 2.02,9.01 03/04/13
SUNTRUST BANKS INC GA 7.01,9.01 03/05/13
TARGACEPT INC 1.01,8.01 03/05/13
TECHS LOANSTAR, INC. NV 5.02,9.01 03/05/13
TELIK INC DE 1.01,9.01 02/27/13
TEXAS INDUSTRIES INC DE 7.01,9.01 03/05/13
TORCHMARK CORP DE 5.02,9.01 02/27/13
TOWERSTREAM CORP DE 8.01,9.01 02/28/13
TRANS1 INC 1.01,2.02,3.02,5.02, 03/01/13
7.01,9.01
Tribute Pharmaceuticals Canada Inc. 1.01,3.02,9.01 02/27/13
TRIMAS CORP DE 1.01,8.01,9.01 02/27/13
TRINITY INDUSTRIES INC DE 7.01,9.01 03/05/13
US AIRWAYS GROUP INC DE 8.01,9.01 03/04/13
US BANCORP \DE\ DE 7.01,9.01 03/05/13
US ECOLOGY, INC. DE 5.02 02/28/13
USChina Taiwan Inc NV 5.02 12/31/12
VALLEY FORGE COMPOSITE TECHNOLOGIES, FL 8.01 03/05/13
VERIFONE SYSTEMS, INC. DE 2.02,7.01,9.01 03/05/13
VERISIGN INC/CA DE 5.02 02/28/13
VIAD CORP DE 5.02,8.01,9.01 02/27/13
VIROPHARMA INC DE 8.01 03/01/13
VWR Funding, Inc. DE 2.02,7.01 03/05/13
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,2.03,9.01 02/27/13
Warner Music Group Corp. DE 1.01,9.01 03/04/13
WAYNE SAVINGS BANCSHARES INC /DE/ DE 8.01 03/05/13
WEIS MARKETS INC PA 2.02,9.01 03/05/13
WELLCARE HEALTH PLANS, INC. DE 5.02 02/28/13
Western Gas Equity Partners, LP DE 1.01,2.01,2.03,5.03, 02/27/13
7.01,9.01
Western Gas Partners LP DE 1.01,2.01,2.03,3.02, 2/27/13
5.03,7.01,9.010
Western Refining, Inc. DE 8.01,9.01 03/05/13
WESTPORT FUTURES FUND L.P. NY 3.02 03/01/13
WFRBS Commercial Mortgage Trust 2013- 8.01,9.01 02/15/13 AMEND
Wheeler Real Estate Investment Trust, MD 9.01 12/18/12 AMEND
WhiteHorse Finance, Inc. DE 2.02,9.01 03/05/13
WILLIAM LYON HOMES DE 3.02,5.02 02/27/13
WIRELESS RONIN TECHNOLOGIES INC MN 1.01,9.01 03/04/13
WYNN RESORTS LTD 5.02,9.01 02/27/13
XCEL ENERGY INC MN 7.01 03/05/13
XCEL ENERGY INC MN 8.01,9.01 03/05/13
XILINX INC DE 7.01,9.01 03/05/13
YTB International, Inc. DE 1.03,8.01,9.01 03/01/13
ZIPREALTY INC 2.02,9.01 03/05/13
Zoetis Inc. 5.02 02/27/13
ACE Ltd V8 5.02 03/05/13
ACELRX PHARMACEUTICALS INC DE 8.01,9.01 03/04/13
ADCARE HEALTH SYSTEMS INC OH 2.01,9.01 02/28/13
Addus HomeCare Corp DE 2.01,9.01 02/28/13
ADMA BIOLOGICS, INC. DE 2.02,9.01 03/06/13
Advaxis, Inc. DE 5.02,8.01,9.01 03/01/13
ADVOCAT INC DE 1.01,9.01 03/06/13
Aegerion Pharmaceuticals, Inc. DE 2.02,9.01 03/06/13
Affinity Gaming NV 8.01,9.01 03/06/13
AG Mortgage Investment Trust, Inc. MD 2.02,9.01 03/05/13
AgFeed Industries, Inc. NV 1.01,9.01 03/01/13
AMERICAN APPAREL, INC DE 8.01,9.01 03/05/13
AMERICAN INTERNATIONAL VENTURES INC / DE 1.01,2.01,3.02,5.01, 03/23/12 AMEND
5.06,9.01
American Realty Capital Properties, I MD 1.01,1.02,2.01,2.03, 02/28/13
5.02,9.01
American Realty Capital Trust III, In MD 1.01,3.03,5.01,5.02, 02/28/13
5.03,7.01,9.01
American Realty Capital Trust III, In MD 5.07 02/26/13 AMEND
AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 03/06/13
AMERICAN TOWER CORP /MA/ DE 8.01,9.01 03/06/13
AMERIGAS PARTNERS LP DE 5.02,9.01 03/05/13
AMGEN INC DE 5.03,9.01 03/06/13
AMP Holding Inc. NV 1.01,9.01 03/04/13
AMSURG CORP TN 7.01,9.01 03/06/13
ANNAPOLIS BANCORP INC MD 8.01,9.01 03/06/13
Approach Resources Inc DE 7.01,9.01 03/06/13
As Seen On TV, Inc. FL 2.01,5.02,7.01,9.01 02/28/13
ASSET ACCEPTANCE CAPITAL CORP 8.01 03/06/13
ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 03/06/13
Avantair, Inc DE 2.03,3.02 02/28/13
Bank of New York Mellon CORP DE 8.01,9.01 03/06/13
BEACON ROOFING SUPPLY INC DE 5.02,9.01 03/06/13
Big Tree Group, Inc. CO 3.02 02/27/13
BIOMIMETIC THERAPEUTICS, INC. DE 2.01,3.01,3.03,5.01, 03/01/13
5.02,9.01
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 03/05/13
BIOSTEM U.S. CORP NV 1.02 02/28/13
BLUE DOLPHIN ENERGY CO DE 2.01 03/06/13
BofI Holding, Inc. DE 7.01,9.01 03/04/13
Bonds.com Group, Inc. DE 1.01,3.02,5.02,9.01 02/28/13
BORGWARNER INC DE 7.01,9.01 03/06/13
BOSTON SCIENTIFIC CORP DE 5.02,9.01 02/28/13
BROWN FORMAN CORP DE 2.02,9.01 03/06/13
BUCKEYE PARTNERS, L.P. DE 7.01,9.01 03/06/13
CalAmp Corp. DE 1.01,2.01,2.03,9.01 03/01/13
CALAVO GROWERS INC CA 2.02,9.01 03/05/13
Campus Crest Communities, Inc. MD 8.01,9.01 02/28/13
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 02/28/13
CAPITAL ONE FINANCIAL CORP DE 7.01 03/06/13
CAPSTEAD MORTGAGE CORP MD 7.01,9.01 03/06/13
CAPSTONE TURBINE Corp DE 5.02 03/04/13
Cardiovascular Systems Inc DE 8.01 02/20/13
CAREFUSION Corp 8.01,9.01 03/06/13
Catalent Pharma Solutions, Inc. DE 1.01,2.03,9.01 02/28/13
CDI CORP PA 5.02 03/01/13
Celator Pharmaceuticals Inc DE 1.01,2.03 03/01/13
CHINA EDUCATION ALLIANCE INC. NC 5.07 02/28/13
CHYRON CORP NY 1.01,2.03 03/01/13
CMS ENERGY CORP MI 7.01,9.01 03/06/13
CNO Financial Group, Inc. DE 7.01,9.01 03/06/13
COHEN & STEERS INC DE 5.02 03/06/13
COIL TUBING TECHNOLOGY, INC. FL 5.02 02/28/13
COLE CORPORATE INCOME TRUST, INC. MD 9.01 12/19/12 AMEND
Cole Credit Property Trust III, Inc. MD 7.01,8.01,9.01 03/05/13
COLUMBIA LABORATORIES INC DE 1.01,3.03,7.01,9.01 03/01/13
COMMONWEALTH EDISON CO IL 5.02 03/01/13
Community Bankers Trust Corp DE 3.01,9.01 02/28/13
Compass Diversified Holdings DE 2.02,9.01 03/06/13
COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 03/06/13
CONNECTICUT WATER SERVICE INC / CT CT 1.01,1.02,2.03,9.01 03/05/13
Constellation Energy Partners LLC DE 9.01 02/28/13 AMEND
CorMedix Inc. DE 5.02,8.01 03/05/13
Corporate Resource Services, Inc. DE 8.01,9.01 03/06/13
CROSS BORDER RESOURCES, INC. NV 1.01,3.02,9.01 02/28/13
CROSS COUNTRY HEALTHCARE INC DE 8.01,9.01 03/04/13
CROSSTEX ENERGY INC DE 1.01,2.03,7.01,9.01 03/05/13
CROSSTEX ENERGY LP DE 7.01,8.01,9.01 03/05/13
CTC Media, Inc. 2.02,9.01 03/06/13
CUI Global, Inc. CO 1.01,9.01 03/03/13
Delek Logistics Partners, LP DE 2.02,9.01 03/05/13
DelMar Pharmaceuticals, Inc. NV 1.01,3.02,3.03,9.01 02/28/13
DELTA OIL & GAS INC 5.02,8.01,9.01 03/01/13
DENDREON CORP DE 5.02 03/06/13
DEVRY INC DE 8.01,9.01 03/06/13
DGT Holdings Corp. NY 8.01,9.01 03/06/13
Digital Realty Trust, Inc. 5.02 03/01/13
DIGITAL RIVER INC /DE DE 5.02,8.01,9.01 02/28/13
DIODES INC /DEL/ DE 2.01,7.01,9.01 03/05/13
DLH Holdings Corp. NJ 7.01,9.01 03/06/13
DOCUMENT SECURITY SYSTEMS INC NY 2.02,9.01 03/06/13
Dussault Apparel Inc. 4.01 02/28/13
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 03/06/13
EDIETS COM INC DE 2.01,3.03,5.01,5.02, 02/28/13
9.01
eHealth, Inc. DE 8.01,9.01 03/05/13
ELECTRO RENT CORP CA 8.01,9.01 03/05/13
EMC INSURANCE GROUP INC IA 1.01,5.03,9.01 03/04/13
EMMAUS LIFE SCIENCES, INC. DE 5.02,5.03,9.01 02/28/13
ENCORE CAPITAL GROUP INC DE 1.01,8.01,9.01 03/06/13
ENDEAVOUR INTERNATIONAL CORP NV 2.02,7.01,9.01 03/06/13
ENDO HEALTH SOLUTIONS INC. DE 7.01,9.01 03/06/13
Energy Recovery, Inc. DE 2.02,9.01 03/06/13
EnerJex Resources, Inc. NV 8.01,9.01 03/06/13
ENTREMED INC DE 1.01,9.01 03/01/13
EQUITY RESIDENTIAL MD 2.01,9.01 02/27/13 AMEND
ESPEY MFG & ELECTRONICS CORP NY 5.02,8.01,9.01 03/04/13
EV Energy Partners, LP DE 7.01,9.01 03/01/13
EXCO RESOURCES INC TX 5.02,9.01 02/28/13
Facebook Inc 5.02 03/05/13
FAIRPOINT COMMUNICATIONS INC DE 2.02,9.01 03/06/13
FAR EAST ENERGY CORP NV 8.01 03/04/13
FERMO GROUP, INC. NV 1.01,5.03,8.01,9.01 03/05/13
FIRST INDUSTRIAL REALTY TRUST INC MD 8.01,9.01 03/04/13
FIRST SOUTH BANCORP INC /VA/ VA 8.01 03/04/13
Firsthand Technology Value Fund, Inc. 8.01,9.01 03/06/13
FLUOROPHARMA MEDICAL, INC. NV 7.01,8.01,9.01 03/01/13
Fresh Market, Inc. DE 2.02,9.01 03/06/13
FS Energy & Power Fund DE 2.02,9.01 03/06/13
FS Investment CORP MD 2.02,9.01 03/06/13
FS Investment Corp II MD 2.02,9.01 03/06/13
Furiex Pharmaceuticals, Inc. DE 2.02,9.01 03/06/13
FutureFuel Corp. DE 7.01,9.01 03/06/13
FX ENERGY INC NV 7.01,9.01 03/06/13
GAIN Capital Holdings, Inc. DE 5.02,7.01 02/28/13
Gas Natural Inc. OH 5.07 03/01/13
GLOBALWISE INVESTMENTS INC NV 1.01,3.02,8.01,9.01 02/28/13
GOFF, CORP NV 1.01,3.02,5.03,9.01 02/26/13
GOLDMAN SACHS GROUP INC DE 9.01 03/06/13
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 02/28/13
GRANDPARENTS.COM, INC. DE 7.01,9.01 03/06/13
GREEN DOT CORP DE 5.02 02/28/13
GREENESTONE HEALTHCARE CORP CO 5.03,5.07,8.01,9.01 03/04/13
Griffin Capital Essential Asset REIT, 7.01,9.01 03/06/13
Guidance Software, Inc. DE 4.01,9.01 03/06/13
HALLADOR ENERGY CO CO 8.01 03/05/13
Hangover Joe's Holding Corp CO 5.01 03/01/13
HAWAIIAN ELECTRIC INDUSTRIES INC HI 2.03,9.01 03/06/13
HEINZ H J CO PA 3.03,9.01 03/06/13
HEINZ H J CO PA 1.01,9.01 03/04/13
HELMERICH & PAYNE INC DE 8.01 03/06/13
HERCULES OFFSHORE, INC. DE 5.02,8.01 02/28/13
HERITAGE OAKS BANCORP CA 7.01,9.01 03/05/13
HFF, Inc. DE 2.02,9.01 03/06/13
HICKORY TECH CORP MN 2.02,7.01,9.01 03/05/13
Hines Global REIT, Inc. MD 7.01,8.01,9.01 02/28/13
Hines Global REIT, Inc. MD 7.01,8.01,9.01 02/28/13
HOME DEPOT INC DE 5.02,9.01 02/28/13
HOOPER HOLMES INC NY 1.01,1.02 02/28/13
HOVNANIAN ENTERPRISES INC DE 2.02,9.01 03/06/13
Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 03/06/13
HURCO COMPANIES INC IN 2.02,9.01 03/06/13
ICAHN ENTERPRISES L.P. DE 8.01,9.01 03/06/13
ID SYSTEMS INC DE 2.02,9.01 03/06/13
ILLINOIS TOOL WORKS INC DE 8.01,9.01 03/01/13
INDEPENDENCE REALTY TRUST, INC MD 1.01 02/28/13
INFINITE GROUP INC DE 5.02 02/28/13
Integrity Applications, Inc. DE 5.02 03/06/13
INTELSAT S.A. N4 8.01 03/06/13
IPARTY CORP DE 2.02,9.01 03/06/13
IPC The Hospitalist Company, Inc. DE 5.02,8.01,9.01 02/27/13
ISLE OF CAPRI CASINOS INC DE 1.01,2.03,9.01 03/05/13
J2 GLOBAL, INC. DE 7.01,9.01 03/06/13
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 03/06/13
Jazz Pharmaceuticals plc L2 8.01,9.01 03/04/13
JMG Exploration, Inc. NV 5.03,5.07,7.01,9.01 03/04/13
John Bean Technologies CORP DE 2.02,9.01 03/06/13
JOHNSON CONTROLS INC WI 7.01,9.01 03/06/13
K SWISS INC DE 8.01,9.01 03/05/13
KEY TECHNOLOGY INC OR 2.01,3.02,9.01 02/28/13
KIRBY CORP NV 2.03 02/27/13
KOLASCO CORP NV 4.01 03/06/13 AMEND
KORN FERRY INTERNATIONAL DE 2.02,9.01 03/06/13
Landmark Apartment Trust of America, 2.01,2.03,9.01 02/28/13
LaSalle Hotel Properties MD 7.01,8.01,9.01 03/06/13
LEAGUE NOW HOLDINGS CORP FL 2.01,5.01,5.02,5.03, 03/04/13
9.01
LEGEND INTERNATIONAL HOLDINGS INC DE 8.01 03/01/13
LEGGETT & PLATT INC MO 5.02,9.01 02/28/13
Lehigh Gas Partners LP DE 9.01 12/21/12 AMEND
LHC Group, Inc 2.02,9.01 03/06/13
LIFETIME BRANDS, INC DE 5.05,9.01 02/28/13
Lightning Gaming, Inc. NV 1.01,2.03,3.02,9.01 03/05/13
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 03/06/13
Lincolnway Energy, LLC IA 5.07,9.01 03/04/13
LITHIUM TECHNOLOGY CORP DE 5.02 03/06/13
Lone Pine Resources Inc. DE 5.02,9.01 02/28/13
M&T BANK CORP NY 7.01,9.01 03/06/13
M/A-COM Technology Solutions Holdings DE 5.02 03/06/13
Maidenform Brands, Inc. DE 2.02,9.01 03/06/13
Main Street Capital CORP MD 5.03,8.01,9.01 03/05/13
MANNATECH INC TX 5.02,9.01 03/05/13
Marathon Patent Group, Inc. NV 1.01,5.02,8.01,9.01 03/01/13
Matson, Inc. HI 7.01,9.01 03/06/13
MEDALLION FINANCIAL CORP DE 2.02,9.01 03/05/13
MENS WEARHOUSE INC TX 5.02,9.01 03/06/13
MEXICO FUND INC MD 7.01,9.01 02/28/13
MFA FINANCIAL, INC. MD 2.02,7.01 03/06/13
MGIC INVESTMENT CORP WI 7.01,9.01 03/05/13
MILLER INDUSTRIES INC /TN/ TN 2.02,9.01 03/06/13
MINERALRITE Corp NV 1.01,3.02 03/05/13
MMAX MEDIA, INC. NV 3.02,9.01 02/28/13
Momentive Performance Materials Inc. DE 5.02,9.01 03/04/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 5.02,9.01 03/04/13
Monster Offers NV 1.01,2.01,9.01 03/06/13
MOOG INC NY 1.01,2.03,9.01 03/04/13
MULTI-CORP INTERNATIONAL INC. NV 3.02,5.01 03/04/13
MULTI-CORP INTERNATIONAL INC. NV 8.01,9.01 03/06/13
MYR GROUP INC. DE 2.02,9.01 03/06/13
NACCO INDUSTRIES INC DE 2.02,9.01 03/06/13
NACCO INDUSTRIES INC DE 2.02,7.01,9.01 03/06/13
NETSUITE INC DE 1.01,9.01 02/28/13
New Source Energy Partners L.P. DE 1.01,2.03,9.01 02/28/13
NEW YORK MORTGAGE TRUST INC MD 2.02,7.01,9.01 03/05/13
NEWS CORP 8.01,9.01 03/04/13
NightCulture, Inc. NV 4.01,9.01 03/05/13
NORTHWEST BANCORPORATION INC WA 8.01 02/28/13
OAK RIDGE MICRO-ENERGY INC CO 5.02 03/04/13
OCWEN FINANCIAL CORP FL 2.02,9.01 03/06/13
OFFICE DEPOT INC DE 1.01,2.03,9.01 03/04/13
Oiltanking Partners, L.P. DE 2.02,9.01 03/06/13
OLD LINE BANCSHARES INC MD 8.01 03/04/13
Orion Marine Group Inc 2.02,9.01 02/28/13
OSHKOSH CORP WI 5.02 03/04/13
OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 03/06/13
OXIGENE INC DE 5.02 03/05/13
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 1.01 02/28/13
PACIFIC PREMIER BANCORP INC DE 1.01,8.01,9.01 03/05/13
PDI INC 2.02,9.01 03/06/13
PDL BIOPHARMA, INC. DE 7.01,9.01 03/06/13
PDL BIOPHARMA, INC. DE 8.01,9.01 03/06/13
PEABODY ENERGY CORP DE 7.01,9.01 03/06/13
PERVASIP CORP NY 1.01,2.03,3.02,8.01, 02/15/13
9.01
Petrus Resources Corp DE 4.01,9.01 02/18/13
PETSMART INC DE 2.02,9.01 03/06/13
PIMI AGRO CLEANTECH, INC. DE 7.01,9.01 03/05/13
Pinnacle Foods Finance LLC DE 2.02,9.01 03/06/13
PMC COMMERCIAL TRUST /TX TX 1.01,2.03 03/05/13
PNM RESOURCES INC NM 5.02 02/28/13
Pollex, Inc. NV 4.01,9.01 02/28/13
POLYMEDIX, INC DE 1.01,2.02,9.01 03/01/13
POZEN INC /NC 2.02,9.01 03/06/13
POZEN INC /NC 7.01 03/06/13
PREMIER HOLDING CORP. NV 1.01,2.01,9.01 02/27/13
PROASSURANCE CORP DE 7.01,8.01,9.01 03/06/13
PTC INC. MA 5.02,5.07,9.01 03/06/13
PUBLIX SUPER MARKETS INC FL 2.02,9.01 03/06/13
QR Energy, LP DE 2.02,3.02,9.01 03/04/13
QUAKER CHEMICAL CORP PA 2.02,9.01 03/06/13
RADIAN GROUP INC DE 1.01,2.03,9.01 02/28/13
RANGE RESOURCES CORP DE 1.01,9.01 03/04/13
RED MOUNTAIN RESOURCES, INC. FL 3.02,8.01 02/28/13
REDWOOD TRUST INC MD 1.01,2.03,8.01,9.01 02/28/13
REDWOOD TRUST INC MD 1.01,2.03,8.01,9.01 02/28/13 AMEND
REGIONS FINANCIAL CORP DE 7.01,9.01 03/06/13
RELIV INTERNATIONAL INC DE 2.02,9.01 03/06/13
Remark Media, Inc. DE 1.01,9.01 03/01/13
RENTECH INC /CO/ CO 2.05,2.06,9.01 02/28/13
Research Solutions, Inc. NV 5.03,9.01 03/04/13
Revel AC, Inc. DE 1.01,9.01 02/28/13
SAFEWAY INC DE 2.02,8.01,9.01 03/06/13
SAGA COMMUNICATIONS INC DE 7.01,9.01 03/06/13
SCG Financial Acquisition Corp. DE 7.01,9.01 03/06/13
SCHULMAN A INC DE 7.01,9.01 03/06/13
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 5.02,9.01 03/06/13
SEACOR HOLDINGS INC /NEW/ DE 5.02,9.01 03/04/13
SEMTECH CORP DE 2.02,7.01,9.01 03/06/13
Shire plc 8.01,9.01 03/06/13
SHOE CARNIVAL INC IN 2.02,9.01 03/06/13
SIGMA DESIGNS INC CA 5.02 03/04/13
Silver Bay Realty Trust Corp. MD 7.01,9.01 03/06/13
Silver Dragon Resources Inc. DE 1.01 03/06/13
SIMULATIONS PLUS INC 8.01,9.01 03/06/13
SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 03/05/13
SOLARCITY CORP DE 2.02,9.01 03/06/13
SOUTHERN CALIFORNIA EDISON CO CA 8.01,9.01 03/04/13
SOUTHERN CO DE 8.01 03/05/13
SOUTHERN USA RESOURCES INC. DE 7.01,8.01 03/05/13
SP Bancorp, Inc. MD 2.02,9.01 03/06/13
SPARTAN MOTORS INC MI 5.02,9.01 03/04/13
SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 03/06/13
STAGE STORES INC NV 8.01,9.01 03/06/13
STAPLES INC DE 2.02,9.01 03/06/13
STATE STREET CORP MA 7.01,9.01 03/06/13
STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 03/06/13
STEWART INFORMATION SERVICES CORP DE 3.02 02/28/13
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 02/28/13
Stream Global Services, Inc. DE 7.01 03/06/13
SYSTEMAX INC DE 2.02,9.01 03/05/13
TE Connectivity Ltd. V8 5.07 03/06/13
THERAVANCE INC DE 8.01 03/05/13
Thompson Creek Metals CO Inc. A6 5.02,9.01 03/01/13
TILE SHOP HOLDINGS, INC. DE 3.02 03/01/13
TITAN INTERNATIONAL INC IL 7.01,9.01 03/06/13
TORVEC INC NY 5.02 02/28/13
TRANS ENERGY INC NV 1.01,2.03,9.01 02/28/13
TRANSACT TECHNOLOGIES INC DE 2.02,9.01 03/06/13
TransDigm Group INC DE 1.01,2.03,9.01 02/28/13
Triangle Capital CORP MD 2.02,7.01,9.01 03/06/13
TRIMAS CORP DE 4.01,9.01 02/28/13
TTM TECHNOLOGIES INC WA 5.02,9.01 02/28/13
UGI CORP /PA/ PA 5.02,9.01 03/05/13
UGI UTILITIES INC PA 8.01,9.01 03/05/13
UNIGENE LABORATORIES INC DE 8.01,9.01 03/06/13
UNION FIRST MARKET BANKSHARES CORP VA 5.03,9.01 02/28/13
UNIVERSAL TECHNICAL INSTITUTE INC DE 7.01,9.01 03/06/13
UROLOGIX INC MN 4.01,9.01 02/28/13
US CONCRETE INC DE 5.02 03/01/13
US TUNGSTEN CORP. 5.02,9.01 03/05/13
USA Synthetic Fuel Corp DE 5.02,9.01 03/01/13
USMD Holdings, Inc. DE 1.01,9.01 02/28/13
VAIL RESORTS INC DE 2.02,7.01 03/06/13
VALERO ENERGY CORP/TX DE 7.01,9.01 03/06/13
VALMONT INDUSTRIES INC DE 7.01,9.01 03/06/13
VALUEVISION MEDIA INC MN 2.02,9.01 03/06/13
VAPOR CORP. NV 8.01 03/01/13
VENTAS INC DE 9.01 02/28/13
Verastem, Inc. DE 5.02,9.01 03/05/13
ViewPoint Financial Group Inc. 5.02,9.01 02/28/13
VistaGen Therapeutics, Inc. NV 1.01,8.01,9.01 03/03/13
VWR Funding, Inc. DE 7.01,9.01 03/06/13
WALGREEN CO IL 2.02,9.01 03/05/13
Walker & Dunlop, Inc. MD 2.02,9.01 03/06/13
WARREN RESOURCES INC MD 2.02,7.01,9.01 03/06/13
WebMD Health Corp. DE 5.02 02/28/13
WEBSTER FINANCIAL CORP DE 4.01,9.01 02/21/13 AMEND
WELLS FARGO & COMPANY/MN DE 9.01 03/06/13
WESTMORELAND COAL Co DE 2.02,9.01 03/01/13
Wheeler Real Estate Investment Trust, MD 9.01 12/21/12 AMEND
WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 03/05/13
Writers Group Film Corp DE 5.01,5.02 03/01/13
WSB Holdings Inc DE 8.01 03/04/13
YAHOO INC DE 5.02,9.01 02/28/13
Zalicus Inc. DE 2.02,9.01 03/06/13
Zep Inc. DE 1.01,2.03,9.01 02/28/13
ZIPREALTY INC 5.02,9.01 02/28/13
Zumiez Inc WA 7.01,9.01 03/06/13
http://www.sec.gov/news/digest/2013/dig030713.htm
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