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Commission AnnouncementsCommission Meetings Open Meeting on Wednesday, May 1, 2013 at 10:00 a.m., in the Auditorium, Room L-002. Item 1: The Commission will consider whether to propose new rules and interpretive guidance for cross-border security-based swap activities and to re-propose Regulation SBSR and certain rules and forms relating to the registration of security-based swap dealers and major security-based swap participants. Item 2: The Commission will consider whether to reopen the comment periods and receive new information for certain rulemaking releases and the policy statement applicable to security-based swaps proposed pursuant to the Securities Exchange Act of 1934 and the Dodd-Frank Wall Street Reform and Consumer Protection Act. Closed Meeting on Thursday, May 2, 2013 at 2:00 p.m. The subject matter of the Closed Meeting will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400. ENFORCEMENT PROCEEDINGSDistrict Court Enters Judgment of Permanent Injunction and Other Relief against Defendant Innovida Holdings LLC.The Commission announced that on April 18, 2013, the United States District Court for the Southern District of Florida entered a Judgment of Permanent Injunction by consent, against Defendant InnoVida Holdings, LLC enjoining it from violations of Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 (“Exchange Act”) and Sections 17(a) of the Securities Act of 1933 (“Securities Act”). United States District Judge Joan A. Lenard additionally ordered the Defendant be required to disgorge any ill-gotten gains with pre-judgment interest and to pay a civil penalty, with the amounts to be determined at a later date upon a motion of the Commission. The Commission commenced this action by filing its Complaint on December 7, 2012, against InnoVida, Claudio E. Osorio and Craig Toll. The Complaint alleges violations of the antifraud provisions of the federal securities laws. [SEC v. InnoVida Holdings, LLC, et. al., Case No. 12-cv-24326-Lenard (S.D. Fla.).] (LR-22689) Remaining Claims Dismissed in Litigation with AOL Time Warner ExecutivesThe Commission announced that, on April 23, 2013, the United States District Court for the Southern District of New York ordered the entry of a stipulation of dismissal by plaintiff Securities and Exchange Commission of all remaining claims against Mark Wovsaniker, in the Commission’s civil action against certain former executives of AOL Time Warner, Inc. Wovsaniker is a former AOL Time Warner Senior Vice President for Accounting Policy. The Commission’s complaint alleged that, from at least mid-2000 to mid-2002, the defendants participated in an effort by which AOL Time Warner overstated its online advertising revenue. Through counsel, Wovsaniker joined in the stipulation. He was the last remaining defendant in the Commission’s action. [SEC v. John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker, 08 CV 4612 (CM) (GWG) (S.D.N.Y. filed May 19, 2008)] (LR-22688) District Court Enters Permanent Injunction against Defendants Joseph Hilton, f/k/a Joseph Yurkin and New Horizon Publishing Inc.The Commission announced that on February 28, 2013, the United States District Court for the Southern District of Florida entered a Judgment of Permanent Injunction by consent, against Defendant Joseph Hilton, f/k/a Joseph Yurkin enjoining him from violations of Sections 10(b) and Rules 10b-5, of the Securities Exchange Act of 1934 (“Exchange Act”) and Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (“Securities Act”). United States District Judge Donald M. Middlebrooks additionally ordered Defendant Hilton to comply with the broker-dealer bar the Commission previously issued against him pursuant to Section 21(e) of the Exchange Act. Defendant Hilton shall also be required to disgorge any ill-gotten gains with pre-judgment interest and shall be ordered to pay a civil penalty determined at a later date. Also, on March 21, 2013, the United States District Court for the Southern District of Florida entered a Judgment of Permanent Injunction by consent, against Defendant New Horizon Publishing Inc enjoining New Horizon from violations of Section 15(a)(1), of the Exchange Act. Defendant New Horizon shall be required to disgorge any ill-gotten gains with pre-judgment interest and shall be ordered to pay a civil penalty determined at a later date. The Commission commenced this action by filing its Complaint, Emergency Ex-Parte Motion for Temporary Restraining Order and Motion for Appointment of a Receiver on September 24, 2012, against Joseph Hilton, f/k/a Joseph Yurkin, Pacifica Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castel Drilling Fund II LP and New Horizon Publishing, Inc. On October 16, 2013, the Receiver, David Mandel, filed a motion to include Rock Castle Drilling Fund III, LP to the lawsuit. The Complaint alleges violations of the antifraud provisions of the federal securities laws. [SEC v. Joseph Hilton, f/k/a Joseph Yurkin, et. al., Case No. 12-cv-81033-DMM-DLB (S.D. Fla.).] (LR-22687) Court Finds Brokerage Firm and Two Former Executives Liable for Over $2.74 Million in a Fraudulent Misappropriation CaseThe Commission announced today that, on April 25, 2013, a federal court in New York found defendants Joshua Constantin and Windham Securities, Inc. jointly and severally liable for over $2.49 million and defendant Brian Solomon liable for over $249,000 in disgorgement, pre-judgment interest, and civil penalties. In addition, the court found relief defendants Constantin Resource Group, Inc. (CRG) and Domestic Applications Corp. (DAC) jointly and severally liable with Constantin and Windham for over $760,000 and $532,000, respectively, of disgorgement and pre-judgment interest. On July 6, 2011, the SEC filed its complaint. The complaint alleged that Windham, Windham’s owner and principal Constantin, and former Windham managing director Solomon fraudulently induced investors to provide more than $1.25 million to Windham for securities investments. The complaint alleged that defendants made false claims to the investors about the intended use of the investors’ funds and about Windham’s investment expertise and past returns. Instead of purchasing securities for the investors, the defendants misappropriated the investors’ funds and then provided false assurances to the investors to cover up their fraud. The SEC’s complaint charged Windham, Constantin, and Solomon with violating Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder. The complaint also named CRG and DAC, entities Constantin owned and/or controlled, as relief defendants. On July 3, 2012, the SEC moved for summary judgment against each of the defendants and relief defendants on all of the SEC’s claims. On April 2, 2013, the court issued an opinion granting the SEC’s motion in its entirety and finding defendants liable for fraud. Based on the undisputed evidence, the court found that “[t]he litany of misrepresentations that Solomon and Constantin made to their clients is striking;” that Constantin “diverted [investors’] funds to his own purposes;” and that “both Solomon and Constantin provided clients with misleading documents to cover up the fraudulent nature of their investment scheme.” The court concluded that permanent injunctions, disgorgement, and civil penalties were warranted against each of the defendants and that the relief defendants would be required to disgorge any assets they received through the defendants’ misconduct. On April 25, 2013, the court issued a supplemental order finding Windham, Constantin, Solomon, CRG, and DAC collectively liable for more than $2.74 million in disgorgement, pre-judgment interest, and civil penalties. [SEC v. Joshua Constantin et al., Civil Action No. 11-CV-4642 (MHD) (S.D.N.Y.)] (LR-22686) In the Matter of Richard Bruce MooreThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Richard Bruce Moore. The Order finds that Moore was a managing director and investment banker at a Canada-based subsidiary of Canadian Imperial Bank of Commerce (CIBC) and, through CIBC, was under common control with CIBC’s registered U.S. broker-dealer subsidiary. The Order also finds that, on April 23, 2013, the U.S. District Court for the Southern District of New York permanently enjoined Moore from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in SEC v. Richard Bruce Moore, No. 13 CIV 2514 (HB), and that the Commission’s complaint in that action alleged that Moore misappropriated from his employer information that a CIBC client was working on a potential acquisition of Tomkins plc, a United Kingdom engineering and manufacturing firm, by purchasing for his personal benefit 51,350 Tomkins American Depositary Receipts. The Order bars Moore from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any offering of a penny stock. Moore consented to the issuance of the Order, without admitting or denying the findings set forth therein, except for jurisdiction, the entry of the injunction in the civil action, and those facts related to his trading in securities of Tomkins plc that are set forth in a settlement agreement between Moore and the staff of the Ontario Securities Commission, all of which are admitted. (Rel. 34-69466; File No. 3-15307) INVESTMENT COMPANY ACT RELEASESOrders of Deregistration Under the Investment Company Act of 1940Orders have been issued under Section 8(f) of the Investment Company Act of 1940 declaring that each of the following has ceased to be an investment company. Highland Floating Rate Fund [File No. 811-8953] Highland Floating Rate Advantage Fund [File No. 811-9709] Highland Event Driven Fund [File No. 811-22101] Highland/U.S. Global Infrastructure Fund [File No. 811-22226] Legg Mason Investment Trust Inc. [File No. 811-9613] BlackRock Credit Allocation Income Trust II, Inc. [File No. 811-21286] Excelsior Multi-Strategy Hedge Fund of Funds (TE), LLC [File No. 811-22035] Excelsior Multi-Strategy Hedge Fund of Funds (TI), LLC [File No. 811-22036] Excelsior Multi-Strategy Hedge Fund of Funds (TE2), LLC [File No. 811-22318] Eclipse Funds [File No. 811-4847] NCM Capital Investment Trust [File No. 811-22015] DWS Value Equity Trust [File No. 811-1444] Midas Perpetual Portfolio, Inc. [File No. 811-2474] Midas Magic, Inc. [File No. 811-4625] FBR Funds [File No. 811-21503] YieldQuest Funds Trust [File No. 811-21771] SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The NASDAQ Stock Market LLC to Modify NASDAQ’s Rule governing modification of orders in the event of an issuer corporate action related to a dividend, payment or distribution, and to make related clarifications to rule text (SR-NASDAQ-2013-068) 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 April 29th. (Rel. 34-69454) A proposed rule change filed by NASDAQ OMX BX, Inc. to Adopt a Rule Governing Cancellation of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text (SR-BX-2013-031) 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 April 29th. (Rel. 34-69456) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-MIAX-2013-17) filed by Miami International Securities Exchange LLC pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to increase the position and exercise limits for options on iShares MSCI Emerging Markets Index Fund. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69457) A proposed rule change (SR-CBOE-2013-046) filed by the Chicago Board Options Exchange, Incorporated to delete Rule 6.74(b) that sets forth expired SizeQuote Mechanism Pilot Program has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of April 29th. (Rel. 34-69468). A proposed rule change filed by NASDAQ OMX PHLX LLC to amend strategy fee caps (SR-Phlx-2013-40) 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 April 29th. (Rel. 34-69465) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2013-15) to amend the Obvious and Catastrophic Errors Rule. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69467) The Commission approved a proposed rule change (SR-NASDAQ-2013-036), as modified by Amendment No. 2 thereto, submitted by The NASDAQ Stock Market LLC pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder relating to the listing and trading of the shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69464) Joint Industry Plans: Order Approving Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation InformationThe Commission granted approval to an amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information submitted pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608 thereunder by the Options Price Reporting Authority (SR-OPRA-2012-07) to amend Section 3.5 of the OPRA Plan. Publication is expected in the Federal Register during the week of April 29th. (Rel. 34-69453) 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 BALL CORP, 10 LONGS PEAK DRIVE, BROOMFIELD, CO, 80021-2510,
3034695511 - 12,500,000 ($580,000,000.00) Equity, (File 333-188116 -
Apr. 25) (BR. 06A)
S-8 ABRAXAS PETROLEUM CORP, 500 N LOOP 1604 E STE 100, SAN ANTONIO, TX,
78232, 2104904788 - 300,000 ($645,000.00) Equity, (File 333-188117 -
Apr. 25) (BR. 04A)
S-8 LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817,
3018976000 - 0 ($5,770,200,000.00) Equity, 0 ($187,500,000.00) Other,
(File 333-188118 - Apr. 25) (BR. 05C)
S-1 Blue Fashion Corp., 2780 SO. JONES BLVD., #3752, LAS VEGAS, NV, 89146,
3102131390 - 9,000,000 ($90,000.00) Equity, (File 333-188119 - Apr. 25)
(BR. 11C)
S-8 CGG VERITAS, TOUR MAINE MONTPARNASSE, 33 AVENUE DU MAINE - BP 191,
PARIS, I0, 75015, 33164474500 - 2,018,442 ($46,022,648.46) Equity,
(File 333-188120 - Apr. 25) (BR. 04B)
S-3 Global Eagle Entertainment Inc., 4353 PARK TERRACE DRIVE, SUITE 100,
WESTLAKE VILLAGE, CA, 91361, 310-209-7281 - 0 ($146,250,000.00) Equity,
(File 333-188121 - Apr. 25) (BR. 11C)
S-8 EMCLAIRE FINANCIAL CORP, 612 MAIN ST, EMLENTON, PA, 16373, 7248672311 -
177,496 ($4,375,276.00) Equity, (File 333-188122 - Apr. 25) (BR. 07C)
S-4 LEVI STRAUSS & CO, 1155 BATTERY ST, SAN FRANCISCO, CA, 94111,
4155016000 - 0 ($140,000,000.00) Debt, (File 333-188126 - Apr. 25)
(BR. 09B)
S-8 Evolucia Inc., 106 CATTLEMEN RD, SARASOTA, FL, 34232, 941-751-6800 -
50,000,000 ($1,000,000.00) Equity, (File 333-188127 - Apr. 25) (BR. 11A)
S-8 NEWMONT MINING CORP /DE/, 6363 SOUTH FIDDLERS GREEN CIRCLE,
GREENWOOD VILLAGE, CO, 80111, 303-863-7414 -
10,000,000 ($324,700,000.00) Equity, (File 333-188128 - Apr. 25)
(BR. 09B)
S-1 PREMIER ALLIANCE GROUP, INC., 4521 SHARON ROAD, SUITE 300, CHARLOTTE,
NC, 28211, 704-521-8078 - 43,686,606 ($30,580,624.00) Equity,
(File 333-188131 - Apr. 25) (BR. 03A)
S-3ASR Accenture plc, 1 GRAND CANAL SQUARE, GRAND CANAL HARBOUR, DUBLIN, L2,
D2, 353-1-646-2000 - 41,188,518 ($0.00) Equity, (File 333-188132 -
Apr. 25) (BR. 03A)
S-1 NeuroMetrix, Inc., 62 FOURTH AVENUE, WALTHAM, MA, 02451,
(781) 890-9989 - 0 ($15,000,000.00) Equity, (File 333-188133 - Apr. 25)
(BR. 10B)
S-8 Accenture plc, 1 GRAND CANAL SQUARE, GRAND CANAL HARBOUR, DUBLIN, L2,
D2, 353-1-646-2000 - 28,000,000 ($2,090,480,000.00) Equity,
(File 333-188134 - Apr. 25) (BR. 03A)
S-1 MONY LIFE INSURANCE CO OF AMERICA, 1290 AVENUE OF THE AMERICAS,
MAIL STOP 11-18, NEW YORK, NY, 10104, 2125541234 -
115,082,020 ($100,000,000.00) Equity, (File 333-188135 - Apr. 25)
(BR. 01A)
S-3ASR ST JOE CO, 133 SOUTH WATERSOUND PARKWAY, WATERSOUND, FL, 32413,
850-231-6482 - 0 ($480,274,892.00) Unallocated (Universal) Shelf,
(File 333-188136 - Apr. 25) (BR. 08B)
S-1 FIRST SECURITY GROUP INC/TN, 531 BROAD STREET, CHATTANOOGA, TN, 37402,
423-266-2000 - 60,735,000 ($169,450,650.00) Equity, (File 333-188137 -
Apr. 25) (BR. 07C)
S-8 OMEGA COMMERCIAL FINANCE CORP, 200 S. BISCAYNE BLVD SUITE 4450, MIAMI,
FL, 33131, 305-677-0306 - 10,000,000 ($800,000.00) Equity,
(File 333-188138 - Apr. 25) (BR. 07C)
S-1 ELITE PHARMACEUTICALS INC /NV/, 165 LUDLOW AVENUE, NORTHVALE, NJ,
07647, 2017502646 - 0 ($1.00) Equity, (File 333-188139 - Apr. 25)
(BR. 01A)
S-3 OLYMPIC STEEL INC, 5080 RICHMOND RD, BEDFORD HEIGHTS, OH, 44146,
2162923800 - 0 ($200,000,000.00) Unallocated (Universal) Shelf,
(File 333-188140 - Apr. 25) (BR. 05B)
S-8 SUPERVALU INC, 7075 FLYING CLOUD DRIVE, EDEN PRAIRIE, MN, 55344,
952-828-4303 - 0 ($5,820,000.00) Equity, (File 333-188141 - Apr. 25)
(BR. 02A)
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
1ST SOURCE CORP IN 2.02,5.02,9.01 04/25/13
3M CO DE 2.02,9.01 04/25/13
ABAXIS INC CA 2.02,9.01 04/25/13
ACADIA REALTY TRUST MD 8.01 04/23/13 AMEND
ACETO CORP NY 5.02,9.01 04/23/13
ACME UNITED CORP CT 5.07 04/25/13
Aegion Corp DE 7.01,9.01 04/25/13
AES CORP DE 2.02,8.01,9.01 04/25/13
Affinion Group Holdings, Inc. DE 2.02,9.01 04/25/13
AIRGAS INC DE 5.02 04/21/13
ALASKA AIR GROUP, INC. DE 2.02,7.01,9.01 04/24/13
ALEXION PHARMACEUTICALS INC DE 2.02,9.01 04/25/13
Ally Financial Inc. DE 5.02,5.07 04/25/13
Ally Master Owner Trust 1.01,8.01,9.01 04/24/13
ALMAH,INC NV 1.01,3.02,5.02,9.01 04/19/13
ALTERA CORP DE 2.02,8.01,9.01 04/25/13
Altisource Portfolio Solutions S.A. N4 2.02,9.01 04/25/13
Altisource Portfolio Solutions S.A. N4 7.01,9.01 04/25/13
ALTRIA GROUP, INC. VA 2.02,8.01,9.01 04/24/13
AMAZON COM INC DE 2.02,9.01 04/25/13
AMEDISYS INC DE 2.02,7.01,9.01 04/25/13
AMERICAN EXPRESS CREDIT CORP DE 2.02 04/25/13
American Express Issuance Trust II DE 8.01,9.01 04/24/13
American Nano Silicon Technologies, I CA 4.01,9.01 04/19/13
American Railcar Industries, Inc. ND 2.02,9.01 04/24/13
American Realty Capital Global Trust, 1.01,9.01 04/24/13
American Realty Capital Properties, I MD 8.01,9.01 04/25/13
American Realty Capital Trust V, Inc. MD 8.01 04/24/13
AMERICAN VANGUARD CORP DE 8.01,9.01 04/19/13
AMERIPRISE FINANCIAL INC DE 5.07 04/24/13
AMERISERV FINANCIAL INC /PA/ PA 5.07 04/25/13
AMERISOURCEBERGEN CORP DE 2.02,7.01,9.01 04/25/13
AMKOR TECHNOLOGY INC DE 2.02,9.01 04/25/13
AMPCO PITTSBURGH CORP PA 2.02,9.01 04/25/13
AMPHENOL CORP /DE/ DE 2.02,9.01 04/25/13
ANALYSTS INTERNATIONAL CORP 8.01 04/25/13
APTARGROUP INC DE 2.02,9.01 04/25/13
Armada Oil, Inc. NV 1.01,8.01,9.01 04/19/13
ASPEN INSURANCE HOLDINGS LTD D0 7.01,8.01,9.01 04/25/13
ASSOCIATED BANC-CORP WI 5.07,8.01,9.01 04/23/13
AUBURN NATIONAL BANCORPORATION, INC DE 2.02,9.01 04/24/13
AURORA DIAGNOSTICS HOLDINGS LLC 1.01,2.03 04/24/13
Avantair, Inc DE 5.02 04/19/13
AVNET INC NY 2.02,9.01 04/25/13
AXIS CAPITAL HOLDINGS LTD 2.02,9.01 04/25/13
BALL CORP IN 1.01,2.02,5.02, 04/24/13
5.03,5.07,9.01
BALLY TECHNOLOGIES, INC. NV 1.01,2.03,8.01,9.01 04/19/13
BANNER CORP WA 5.07,9.01 04/23/13
BASIC ENERGY SERVICES INC 2.02,9.01 04/24/13
BCB BANCORP INC DC 2.02,5.02,9.01 04/23/13
BELDEN INC. DE 5.02 04/24/13
BELO CORP DE 2.02,9.01 04/25/13
BEMIS CO INC MO 2.02,9.01 04/25/13
BENCHMARK ELECTRONICS INC TX 2.02,9.01 04/25/13
Beneficial Mutual Bancorp Inc X1 2.02,9.01 04/25/13
BERKLEY W R CORP DE 8.01,9.01 04/25/13
BIOGEN IDEC INC. DE 2.02,9.01 04/25/13
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 04/25/13
BJs RESTAURANTS INC CA 2.02,9.01 04/25/13
Black Elk Energy Offshore Operations, TX 2.02,9.01 04/25/13
BLACKHAWK NETWORK HOLDINGS, INC DE 7.01,9.01 04/25/13
BLACKHAWK NETWORK HOLDINGS, INC DE 5.03,9.01 04/24/13
Bluerock Multifamily Growth REIT, Inc MD 8.01 04/25/13
BOLT TECHNOLOGY CORP CT 2.02,8.01,9.01 04/24/13
BORGWARNER INC DE 2.02,7.01,9.01 04/25/13
BOSTON SCIENTIFIC CORP DE 2.02,2.06 04/22/13
BRANDYWINE REALTY TRUST MD 2.02,9.01 04/24/13
BRIDGE BANCORP INC NY 2.02,9.01 04/25/13
Bridge Capital Holdings CA 2.02,9.01 04/25/13
BRINKS CO VA 2.02,7.01,9.01 04/25/13
BRISTOL MYERS SQUIBB CO DE 2.02,9.01 04/25/13
BRUNSWICK CORP DE 2.02,9.01 04/25/13
BRYN MAWR BANK CORP PA 2.02,8.01,9.01 04/25/13
Builders FirstSource, Inc. DE 2.02,9.01 04/25/13
Bunge LTD 2.02,9.01 04/25/13
Burlington Coat Factory Investments H 2.02,9.01 04/25/13
CABELAS INC DE 2.02,7.01,9.01 04/25/13
CABOT MICROELECTRONICS CORP DE 2.02,9.01 04/25/13
CABOT OIL & GAS CORP DE 2.02,9.01 04/24/13
CalAmp Corp. DE 2.02,9.01 04/25/13
CALIFORNIA FIRST NATIONAL BANCORP CA 2.02 04/24/13
CALIX, INC 2.02,9.01 04/25/13
CALLAWAY GOLF CO DE 2.02,9.01 04/25/13
CAMERON INTERNATIONAL CORP DE 2.02,9.01 04/23/13
CARBO CERAMICS INC DE 2.02,9.01 04/25/13
CAREFUSION Corp 8.01,9.01 04/25/13
CARRIAGE SERVICES INC DE 1.01,2.03,7.01,9.01 04/25/13
Carroll Bancorp, Inc. MD 5.07 04/22/13
CARROLLTON BANCORP MD 1.01,2.01,3.02,3.03, 04/19/13
5.01,5.02,5.03,9.01
CARTERS INC DE 2.02,9.01 04/25/13
CASH AMERICA INTERNATIONAL INC TX 2.02,7.01,9.01 04/25/13
CBRE GROUP, INC. DE 2.02,9.01 04/25/13
CDEX INC NV 5.07 04/19/13
CELGENE CORP /DE/ DE 2.02,9.01 04/25/13
CEMPRA, INC. DE 2.02,9.01 04/25/13
CENTURY ALUMINUM CO DE 2.02,9.01 04/25/13
CERNER CORP /MO/ DE 2.02,9.01 04/25/13
CHARLES & COLVARD LTD NC 2.02,9.01 04/25/13
CHART INDUSTRIES INC DE 2.02,7.01,9.01 04/25/13
CHARTER COMMUNICATIONS, INC. /MO/ DE 1.01,2.03 04/22/13
CHEMBIO DIAGNOSTICS, INC. NV 5.02 04/24/13
CHEMUNG FINANCIAL CORP NY 2.02,9.01 04/25/13
CHICOPEE BANCORP, INC. 2.02,8.01,9.01 04/25/13
China Carbon Graphite Group, Inc. NV 4.01,9.01 03/31/13 AMEND
CHUBB CORP NJ 2.02,9.01 04/25/13
CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 04/24/13
CINCINNATI FINANCIAL CORP OH 2.02,9.01 04/25/13
CIRRUS LOGIC INC DE 2.02,7.01,9.01 04/25/13
CITIZENS HOLDING CO /MS/ MS 5.02,5.07,9.01 04/23/13
Clean Coal Technologies Inc. NV 1.01,8.01,9.01 04/20/13
Clearfield, Inc. MN 2.02,9.01 04/25/13
Clearwire Corp /DE DE 2.02,9.01 04/25/13
CLEVELAND BIOLABS INC DE 5.02 04/22/13
CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 04/24/13
CMS ENERGY CORP MI 2.02,9.01 04/25/13
CNA FINANCIAL CORP DE 5.07 04/24/13
CNO Financial Group, Inc. DE 2.02,9.01 04/25/13
COCA-COLA ENTERPRISES, INC. DE 2.02 04/25/13
COGNEX CORP MA 5.07 04/25/13
COINSTAR INC DE 2.02,9.01 04/25/13
COINSTAR INC DE 8.01,9.01 04/25/13
Colfax CORP DE 2.02,9.01 04/25/13
COLGATE PALMOLIVE CO DE 2.02,8.01,9.01 04/25/13
COLONIAL PROPERTIES TRUST AL 2.02,7.01,9.01 04/25/13
COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 04/24/13
COLUMBIA SPORTSWEAR CO OR 2.02,7.01,9.01 04/25/13
COMMUNITY BANK SHARES OF INDIANA INC IN 1.01,2.01,9.01 09/19/12
COMMUNITY WEST BANCSHARES / CA 2.02,9.01 04/25/13
COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 04/25/13
CONOCOPHILLIPS DE 2.02,9.01 04/25/13
CONSOL Energy Inc DE 2.02,7.01,9.01 04/25/13
CONSOLIDATED TOMOKA LAND CO FL 5.07 04/24/13
Constant Contact, Inc. DE 2.02,8.01,9.01 04/23/13
CORELOGIC, INC. DE 2.02,9.01 04/24/13
COVENANT TRANSPORTATION GROUP INC NV 2.02,9.01 04/24/13
CRA INTERNATIONAL, INC. MA 2.02,9.01 04/25/13
CreXus Investment Corp. MD 5.02 04/24/13
CSB BANCORP INC /OH OH 5.07 04/25/13
CST Brands, Inc. DE 8.01,9.01 04/25/13
CUBIC CORP /DE/ DE 2.03 04/23/13
DANA HOLDING CORP DE 2.02,7.01,9.01 04/25/13
DANA HOLDING CORP DE 5.07 04/23/13
DATAWATCH CORP DE 1.01,2.02, 03/31/13
5.02,5.07,9.01
DECKERS OUTDOOR CORP DE 2.02,9.01 04/25/13
DELTA APPAREL, INC GA 2.02,7.01,9.01 04/25/13
DELTIC TIMBER CORP DE 5.07 04/25/13
DELUXE CORP MN 2.02,9.01 04/25/13
DENNYS CORP DE 1.01,1.02,2.03, 04/24/13
8.01,9.01
Destination Maternity Corp DE 2.02,8.01,9.01 04/22/13
DEVRY INC DE 5.02,8.01,9.01 04/21/13
DIAMOND OFFSHORE DRILLING INC DE 2.02,9.01 04/25/13
DIGI INTERNATIONAL INC DE 2.02,9.01 04/25/13
DIME COMMUNITY BANCSHARES INC DE 2.02,9.01 04/25/13
DIODES INC /DEL/ DE 8.01,9.01 04/19/13
DJO Finance LLC DE 1.01,2.03,9.01 04/25/13
DNB FINANCIAL CORP /PA/ PA 5.07,9.01 04/24/13
Dolby Laboratories, Inc. DE 2.02,9.01 04/25/13
DOMINION RESOURCES INC /VA/ VA 2.02,9.01 04/25/13
Domtar CORP DE 2.02,9.01 04/25/13
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 2.02,7.01,9.01 04/25/13
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 5.07 04/24/13
DOVER MOTORSPORTS INC DE 2.02,7.01,9.01 04/25/13
DOVER MOTORSPORTS INC DE 5.07 04/24/13
DOW CHEMICAL CO /DE/ DE 2.02,9.01 04/25/13
Dresser-Rand Group Inc. DE 2.02,9.01 04/25/13
DST SYSTEMS INC DE 2.02,9.01 04/25/13
DUNKIN' BRANDS GROUP, INC. DE 2.02,8.01,9.01 04/25/13
DYAX CORP DE 2.02,9.01 04/25/13
EAGLE ROCK ENERGY PARTNERS L P DE 5.02 04/23/13
EARTHLINK INC DE 5.03,5.07,8.01,9.01 04/23/13
EASTERN CO CT 5.07 04/24/13
EASTMAN CHEMICAL CO DE 2.02,9.01 04/25/13
EASTON-BELL SPORTS, INC. DE 1.01,5.02,7.01,9.01 04/19/13 AMEND
Echo Global Logistics, Inc. DE 2.02,9.01 04/25/13
eHealth, Inc. DE 2.02,9.01 04/25/13
EMCLAIRE FINANCIAL CORP PA 5.07 04/24/13
EMCOR GROUP INC DE 2.02,9.01 04/25/13
Emdeon Inc. DE 1.01,2.03,9.01 04/25/13
Emergent BioSolutions Inc. DE 2.02,7.01,8.01,9.01 04/24/13
EMPIRE DISTRICT ELECTRIC CO KS 2.02,9.01 04/25/13
ENB Financial Corp PA 8.01,9.01 04/24/13
ENERNOC INC DE 5.02 04/19/13
ENTERGY CORP /DE/ DE 2.02,7.01,9.01 04/25/13
ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 04/25/13
Entertainment Gaming Asia Inc. NV 7.01,9.01 04/25/13
EQT Corp PA 2.02,9.01 04/25/13
EQT Midstream Partners, LP DE 2.02,9.01 04/25/13
Erickson Air-Crane Inc. DE 8.01,9.01 04/25/13
ESCALADE INC IN 2.02,9.01 04/25/13
ESSA Bancorp, Inc. PA 2.02,9.01 04/24/13
EXIDE TECHNOLOGIES DE 8.01 04/24/13
Expedia, Inc. DE 2.02,7.01,8.01,9.01 04/25/13
EXTREME BIODIESEL, INC. NV 5.02,9.01 04/15/13
EXXON MOBIL CORP NJ 2.02,7.01 04/25/13
FALCONSTOR SOFTWARE INC DE 2.02,9.01 04/25/13
FARMERS NATIONAL BANC CORP /OH/ OH 2.02,7.01,9.01 04/24/13
FBR & Co. VA 8.01,9.01 04/24/13
Federal Home Loan Bank of Atlanta X1 5.02,7.01,9.01 04/25/13
Federal Home Loan Bank of Atlanta X1 2.03 04/22/13
Federal Home Loan Bank of Chicago X1 2.03 04/22/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/22/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/23/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/25/13
Federal Home Loan Bank of New York X1 2.03,9.01 04/22/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/22/13
Federal Home Loan Bank of San Francis X1 2.03 04/22/13
Federal Home Loan Bank of Seattle 2.03 04/22/13
Federal Home Loan Bank of Topeka 7.01,9.01 04/25/13
Federal Home Loan Bank of Topeka 2.03,9.01 04/22/13
FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 04/25/13
FERRO CORP OH 2.02,9.01 04/24/13
FERRO CORP OH 7.01 04/19/13
First American Financial Corp DE 2.02,9.01 04/25/13
FIRST BANCORP /NC/ NC 2.02,9.01 04/25/13
FIRST BUSINESS FINANCIAL SERVICES, IN WI 2.02,9.01 04/25/13
FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.07 04/23/13
FIRST FINANCIAL BANKSHARES INC TX 5.07,7.01,9.01 04/24/13
FIRST FINANCIAL HOLDINGS INC /DE/ DE 2.02,8.01,9.01 04/25/13
FIRST INTERSTATE BANCSYSTEM INC MT 8.01,9.01 04/25/13
FIRST MERCHANTS CORP IN 2.02,9.01 03/31/13
FIRST MERCHANTS CORP IN 2.02,9.01 03/31/13
FIRST NATIONAL CORP /VA/ VA 2.02,9.01 04/24/13
FIRST NIAGARA FINANCIAL GROUP INC DE 5.02,9.01 04/24/13
FIRST NIAGARA FINANCIAL GROUP INC DE 5.07 04/24/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 04/25/13
FIRST PACTRUST BANCORP INC MD 8.01,9.01 04/25/13
Fox Chase Bancorp Inc 2.02,9.01 04/24/13
Freescale Semiconductor, Ltd. D0 2.02,9.01 04/25/13
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 04/25/13
GAIN Capital Holdings, Inc. DE 1.01,2.02,2.03, 04/24/13
3.02,7.01,9.01
GATX CORP NY 2.02,7.01,9.01 04/25/13
GFI Group Inc. DE 2.02,9.01 04/25/13
GLIMCHER REALTY TRUST MD 2.02,9.01 04/25/13
Global Geophysical Services Inc DE 1.01,2.03,9.01 04/24/13
Global Geophysical Services Inc DE 2.02,9.01 04/24/13
GOLDFIELD CORP DE 1.01,2.03,9.01 04/22/13
GOLDMAN SACHS GROUP INC DE 3.03,5.03,8.01,9.01 04/23/13
GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 04/24/13
GRANITE CITY FOOD & BREWERY LTD. MN 3.01,9.01 04/24/13
GRAPHIC PACKAGING HOLDING CO DE 2.02,9.01 04/25/13
GREATBATCH, INC. DE 2.02,9.01 04/25/13
GREENE COUNTY BANCORP INC DE 2.02,9.01 04/24/13
GRIFFIN LAND & NURSERIES INC DE 1.01,2.03,7.01,9.01 04/24/13
GYMBOREE CORP DE 2.02,9.01 04/25/13
HAMPSHIRE GROUP LTD DE 1.01,5.02,8.01,9.01 04/19/13
HANCOCK HOLDING CO MS 2.02,9.01 04/25/13
HANMI FINANCIAL CORP DE 2.02,9.01 04/25/13
HARLEY DAVIDSON INC WI 2.02,9.01 04/25/13
HARTE HANKS INC DE 2.02,9.01 04/25/13
HARTFORD FINANCIAL SERVICES GROUP INC DE 5.02 04/23/13
Havana Furnishings Inc. NV 1.01,2.01,3.02,4.01, 04/19/13
5.01,5.02,5.03,5.06,9.01
HCA Holdings, Inc. 5.07 04/24/13
HEALTHSOUTH CORP DE 2.02,7.01,9.01 04/25/13
Helios & Matheson Information Technol DE 2.02,9.01 04/25/13
HELMERICH & PAYNE INC DE 2.02,9.01 04/25/13
HERCULES OFFSHORE, INC. DE 2.02,9.01 04/25/13
HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 04/24/13
Heritage Financial Group Inc MD 2.02,8.01,9.01 04/25/13
HERITAGE OAKS BANCORP CA 2.02,9.01 04/25/13
HERSHEY CO DE 2.02,9.01 04/25/13
HighLight Networks, Inc. NV 4.01 04/23/13
Hill-Rom Holdings, Inc. IN 2.02,9.01 04/25/13
HITTITE MICROWAVE CORP 2.02,9.01 04/25/13
HORACE MANN EDUCATORS CORP /DE/ DE 2.02,9.01 04/24/13
HOST HOTELS & RESORTS, INC. MD 1.01,9.01 04/25/13
Huron Consulting Group Inc. DE 2.02,9.01 04/25/13
Hyatt Hotels Corp DE 8.01,9.01 04/25/13
ICONIX BRAND GROUP, INC. DE 2.02,9.01 04/24/13
IDEX CORP /DE/ DE 7.01,9.01 04/23/13
IGI LABORATORIES, INC DE 2.02,9.01 04/25/13
IKANOS COMMUNICATIONS CA 2.02,9.01 04/25/13
IKONICS CORP 2.02,9.01 04/24/13
IMAX CORP A6 2.02,9.01 04/25/13
IMPERIAL OIL LTD 2.02,9.01 04/25/13
INDEPENDENT BANK CORP MA 2.02,7.01,9.01 04/25/13
Infinity Augmented Reality, Inc. NV 1.01,9.01 04/23/13
INFORMATICA CORP DE 2.02,9.01 04/25/13
INGRAM MICRO INC DE 2.02,9.01 04/25/13
INNODATA INC DE 2.02,9.01 04/25/13
INNOVATIVE SOLUTIONS & SUPPORT INC PA 2.02,9.01 04/24/13
INSTEEL INDUSTRIES INC NC 8.01,9.01 04/25/13
InterDigital, Inc. PA 2.02,9.01 04/25/13
INTERFACE INC GA 2.02,9.01 04/24/13
INTERMOLECULAR INC DE 2.02,9.01 04/25/13
INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 04/25/13
INTERNATIONAL GAME TECHNOLOGY NV 1.01,2.03,9.01 04/23/13
INTERNATIONAL GAME TECHNOLOGY NV 2.02,9.01 04/25/13
International Safety Group, Inc. NV 5.02 04/19/13
INVACARE CORP OH 2.02,9.01 04/25/13
INVENTURE FOODS, INC. DE 8.01,9.01 04/25/13
ISTAR FINANCIAL INC 2.01,9.01 04/25/13
ITT EDUCATIONAL SERVICES INC DE 2.02,9.01 04/25/13
J2 GLOBAL, INC. DE 8.01 04/23/13
JAKKS PACIFIC INC DE 8.01,9.01 04/25/13
JANEL WORLD TRADE LTD NV 5.02 04/23/13
JANUS CAPITAL GROUP INC DE 5.07 04/25/13
JETBLUE AIRWAYS CORP DE 2.02,9.01 04/25/13
JETBLUE AIRWAYS CORP DE 7.01,9.01 04/25/13
JETBLUE AIRWAYS CORP DE 1.01,2.03 04/25/13
KBR, INC. DE 2.02,9.01 04/25/13
KENNAMETAL INC PA 2.02,9.01 04/25/13
KINDRED HEALTHCARE, INC DE 1.01,7.01,9.01 04/24/13
KIRBY CORP NV 2.02,5.02, 04/19/13
5.03,5.07,9.01
KKR & Co. L.P. DE 2.02,9.01 04/25/13
KLA TENCOR CORP DE 2.02,9.01 04/25/13
KOSS CORP DE 2.02,9.01 04/25/13
KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 04/22/13
KYTHERA BIOPHARMACEUTICALS INC DE 8.01 04/25/13
L 3 COMMUNICATIONS HOLDINGS INC DE 2.02,9.01 04/25/13
LAKELAND FINANCIAL CORP IN 2.02,9.01 04/25/13
LANCASTER COLONY CORP OH 2.02,9.01 04/25/13
LANDSTAR SYSTEM INC DE 2.02,9.01 04/25/13
LAS VEGAS RAILWAY EXPRESS, INC. DE 1.01,2.03,3.02,9.01 04/24/13
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02 04/25/13
LEAR CORP DE 2.02,9.01 04/25/13
LEGGETT & PLATT INC MO 2.02,7.01,9.01 04/25/13
LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 04/25/13
LIBBEY INC DE 2.02,9.01 04/25/13
LIFE TIME FITNESS, INC. MN 2.02,9.01 04/25/13
LINN ENERGY, LLC DE 2.02,9.01 04/25/13
LKQ CORP DE 1.01,2.02,9.01 04/23/13
LOGITECH INTERNATIONAL SA 2.02,9.01 04/24/13
LogMeIn, Inc. DE 2.02,5.02,9.01 04/22/13
LPL Financial Holdings Inc. DE 2.02,9.01 04/25/13
M I HOMES INC OH 2.02,9.01 04/25/13
MACATAWA BANK CORP MI 2.02,9.01 04/25/13
MACK CALI REALTY CORP MD 2.02,7.01,9.01 04/24/13
MAINSOURCE FINANCIAL GROUP IN 5.07 04/23/13
MAJESCO ENTERTAINMENT CO DE 5.02,5.07,9.01 04/19/13
MARINEMAX INC DE 2.02,9.01 04/25/13
Marriott Vacations Worldwide Corp DE 2.02,9.01 04/25/13
MARVELL TECHNOLOGY GROUP LTD D0 5.02 04/19/13
MATERION Corp 2.02,9.01 04/25/13
MAXIM INTEGRATED PRODUCTS INC DE 2.02,9.01 04/25/13
MBT FINANCIAL CORP MI 2.02,9.01 04/25/13
MCCLATCHY CO DE 9.01 04/25/13
MDU RESOURCES GROUP INC DE 5.07 04/23/13
Mead Johnson Nutrition Co DE 2.02,9.01 04/25/13
MEADWESTVACO Corp DE 5.02,5.07,9.01 04/22/13
MediaShift, Inc. NV 8.01,9.01 02/06/13 AMEND
MEMSIC Inc 1.01,9.01 04/22/13
MEREDITH CORP IA 2.02,9.01 04/25/13
MEREDITH CORP IA 2.02,9.01 04/25/13
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 04/25/13
METALICO INC 8.01,9.01 04/25/13
MGIC INVESTMENT CORP WI 1.01,9.01 04/19/13
MICREL INC CA 1.01,2.02,9.01 04/19/13
MICROS SYSTEMS INC MD 2.02,9.01 04/25/13
MICROSEMI CORP DE 2.02,9.01 04/25/13
MidWestOne Financial Group, Inc. IA 2.02,9.01 04/25/13
MINERALS TECHNOLOGIES INC DE 2.02,9.01 04/25/13
MOHEGAN TRIBAL GAMING AUTHORITY 2.02,9.01 04/25/13
MOLINA HEALTHCARE INC DE 2.02,9.01 04/25/13
MONARCH CASINO & RESORT INC NV 2.02,9.01 04/25/13
MONMOUTH REAL ESTATE INVESTMENT CORP MD 1.01,9.01 04/25/13
Montalvo Spirits, Inc. NV 1.01,2.01,2.02,3.02, 12/21/12 AMEND
5.01,5.02,5.06,9.01
Morningstar, Inc. IL 2.02,9.01 04/24/13
MOUNTAINVIEW ENERGY LTD. A1 5.02 04/23/13
MPG Office Trust, Inc. MD 1.01,7.01,9.01 04/24/13
MYOS Corp NV 5.02 04/21/13
NANOSPHERE INC DE 5.02,8.01,9.01 04/22/13
NASH FINCH CO DE 2.02,9.01 04/25/13
NASH FINCH CO DE 5.07 04/24/13
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 04/25/13
NAVIGANT CONSULTING INC DE 2.02,9.01 04/25/13
NEOGENOMICS INC NV 2.02,9.01 04/25/13
NETGEAR, INC DE 2.02,9.01 04/25/13
NETSCOUT SYSTEMS INC DE 2.02,9.01 04/25/13
NETSUITE INC DE 2.02,9.01 04/25/13
NeuroMetrix, Inc. DE 2.02,9.01 04/25/13
NEW YORK TIMES CO NY 2.02,9.01 04/25/13
NEWMARKET CORP VA 2.02,5.02, 04/24/13
5.07,8.01,9.01
Nielsen Holdings N.V. P7 2.02,9.01 04/25/13
NOBLE ENERGY INC DE 2.02,9.01 04/25/13
NORTHWESTERN CORP DE 2.02,7.01,9.01 04/25/13
NOVAGEN SOLAR INC. NV 1.01,2.01,9.01 04/22/13
NuStar Energy L.P. DE 5.02 04/24/13
NuStar GP Holdings, LLC DE 5.02,5.07 04/24/13
NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,9.01 04/25/13
NUTRI SYSTEM INC /DE/ DE 5.02,9.01 04/19/13
NxStage Medical, Inc. DE 5.02 04/23/13
O REILLY AUTOMOTIVE INC 2.02,9.01 04/24/13
Oaktree Capital Group, LLC DE 7.01 04/25/13
OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01,9.01 04/25/13
OFFICE DEPOT INC DE 8.01,9.01 04/25/13
OHIO VALLEY BANC CORP OH 2.02,9.01 04/25/13
OLD DOMINION FREIGHT LINE INC/VA VA 2.02,9.01 04/25/13
Omega Flex, Inc. PA 2.02,7.01,9.01 04/25/13
ONYX PHARMACEUTICALS INC DE 2.02 04/25/13
Oritani Financial Corp DE 2.02,9.01 04/24/13
ORRSTOWN FINANCIAL SERVICES INC PA 2.02,9.01 04/24/13
OvaScience, Inc. DE 8.01,9.01 04/25/13
PACIFIC CONTINENTAL CORP OR 5.02,5.07 04/22/13
PACIFIC CONTINENTAL CORP OR 2.02,9.01 04/24/13 AMEND
PAM TRANSPORTATION SERVICES INC DE 2.02,9.01 04/24/13
Park Sterling Corp NC 2.02,7.01,9.01 04/25/13
PARKER HANNIFIN CORP OH 2.02,7.01,9.01 04/25/13
PATHFINDER BANCORP INC DE 5.07 04/24/13
PATHFINDER BANCORP INC DE 2.02,9.01 04/24/13
PATHFINDER BANCORP INC DE 7.01,9.01 04/24/13
PATRICK INDUSTRIES INC IN 2.02,9.01 04/25/13
PATTERSON UTI ENERGY INC DE 8.01,9.01 04/23/13
PATTERSON UTI ENERGY INC DE 2.02,9.01 04/25/13
PENN VIRGINIA CORP VA 7.01,9.01 04/24/13
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 04/22/13
PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 04/25/13
PERKINELMER INC MA 5.07 04/23/13
PERKINELMER INC MA 2.02,9.01 04/25/13
PERNIX THERAPEUTICS HOLDINGS, INC. MD 5.02,8.01,9.01 04/19/13
Phillips Edison - ARC Shopping Center MD 5.02,8.01,9.01 04/25/13
PIXELWORKS, INC OR 2.02,9.01 04/25/13
PLATINUM UNDERWRITERS HOLDINGS LTD D0 5.07 04/24/13
PLX TECHNOLOGY INC DE 2.03 04/22/13
Plymouth Opportunity REIT Inc. MD 4.01,9.01 04/22/13
PMC SIERRA INC DE 2.02,9.01 04/25/13
POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 04/25/13
POTASH CORP OF SASKATCHEWAN INC Z4 2.02,9.01 04/25/13
PRIME ESTATES & DEVELOPMENTS INC NV 1.01,9.01 04/22/13
PROOFPOINT INC DE 2.02,9.01 04/25/13
Propell Technologies Group, Inc. DE 2.01,9.01 02/15/13 AMEND
Proto Labs Inc 2.02,9.01 04/25/13
PROVIDENCE & WORCESTER RAILROAD CO/RI RI 5.07 04/25/13
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,7.01,9.01 04/25/13
PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 04/25/13
PULASKI FINANCIAL CORP MO 2.02,9.01 04/23/13
PULTEGROUP INC/MI/ MI 2.02,9.01 04/25/13
PURE BIOSCIENCE, INC. DE 8.01,9.01 04/25/13
PVR PARTNERS, L. P. DE 2.02,7.01,9.01 04/25/13
QLIK TECHNOLOGIES INC DE 2.02,9.01 04/25/13
RADISYS CORP OR 2.02 04/25/13
Radius Health, Inc. DE 1.01,1.02,3.02,5.02, 04/23/13
5.03,5.07,9.01
RAYONIER INC NC 2.02,9.01 04/25/13
RAYTHEON CO/ DE 2.02,9.01 04/25/13
REALTY INCOME CORP MD 2.02,9.01 04/25/13
REGAL ENTERTAINMENT GROUP DE 1.01,2.03,9.01 04/19/13
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 04/25/13
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 04/25/13
REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 04/25/13
REPUBLIC SERVICES, INC. DE 2.02,9.01 04/25/13
RESMED INC DE 2.02,8.01,9.01 04/25/13
RESOURCE EXCHANGE OF AMERICA CORP. FL 1.01,2.01,3.02, 03/21/13 AMEND
5.01,5.02,9.01
REVLON INC /DE/ DE 2.02,9.01 04/25/13
RIMAGE CORP MN 2.02,9.01 04/24/13
ROCHESTER MEDICAL CORPORATION MN 2.02,9.01 04/25/13
Rockville Financial, Inc. /CT/ CT 2.02,9.01 04/25/13
ROLLINS INC DE 5.02,9.01 04/23/13
ROYAL CARIBBEAN CRUISES LTD 2.02,7.01,9.01 04/25/13
RR Donnelley & Sons Co DE 2.02,9.01 04/25/13
RTI Biologics, Inc. DE 2.02,9.01 04/25/13
RTI INTERNATIONAL METALS INC OH 2.03,8.01,9.01 04/24/13
S Y BANCORP INC KY 3.03,5.03,9.01 04/24/13
S&W Seed Co NV 1.01 04/21/13
SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 04/25/13
SAFEWAY INC DE 2.02,9.01 04/25/13
SandRidge Mississippian Trust I DE 2.02,9.01 04/25/13
SandRidge Mississippian Trust II DE 2.02,9.01 04/25/13
SandRidge Permian Trust 2.02,9.01 04/25/13
Santander Holdings USA, Inc. VA 9.01 04/25/13
SAVVY BUSINESS SUPPORT INC NV 2.03,3.02,5.03,9.01 04/19/13
SBT Bancorp, Inc. CT 2.02,9.01 04/24/13
SCANA CORP SC 2.02,9.01 04/25/13
SCANSOURCE INC SC 9.01 04/25/13
SCBT FINANCIAL CORP SC 5.07 04/23/13
SCG Financial Acquisition Corp. DE 1.01,2.01,2.03, 04/19/13
3.02,8.01,9.01
SCOOP MEDIA, INC. NV 1.01,9.01 04/23/13
SENOMYX INC DE 2.02,9.01 04/25/13
Shire plc 8.01,9.01 04/25/13
Shire plc 8.01,9.01 04/25/13
SHORE BANCSHARES INC MD 2.02,5.07 04/23/13
SI Financial Group, Inc. 2.02,9.01 04/24/13
SIGMA ALDRICH CORP DE 2.02,9.01 04/25/13
SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,5.07,9.01 04/23/13
Sino-Global Shipping America, Ltd. VA 5.07 04/19/13
SJW CORP CA 2.02,5.02,5.07,9.01 04/23/13
SKECHERS USA INC DE 4.01,9.01 04/24/13
SKYWORKS SOLUTIONS, INC. DE 2.02,9.01 04/25/13
SLM Student Loan Trust 2005-9 DE 8.01,9.01 04/25/13
SLM Student Loan Trust 2005-9 DE 1.01,9.01 04/25/13
SM Energy Co DE 7.01,9.01 04/24/13
SOCKET MOBILE, INC. DE 2.02,9.01 04/25/13
SOLITARIO EXPLORATION & ROYALTY CORP. CO 1.01,5.02,7.01,9.01 04/22/13
SONIC FOUNDRY INC MD 2.02,9.01 04/25/13
SOUTHERN COPPER CORP/ DE 5.07 04/25/13
SOUTHWEST AIRLINES CO TX 2.02,9.01 04/25/13
SPS COMMERCE INC DE 2.02,9.01 04/25/13
Sputnik Enterprises, Inc NV 1.01,9.01 04/23/13
ST JOE CO FL 5.02 04/24/13
STAMPS.COM INC DE 2.02,9.01 04/24/13
STANLEY BLACK & DECKER, INC. CT 2.02,9.01 04/25/13
STARBUCKS CORP WA 2.02,9.01 04/25/13
STARWOOD PROPERTY TRUST, INC. 8.01 04/25/13
STARWOOD PROPERTY TRUST, INC. 2.01,9.01 04/19/13
State Auto Financial CORP OH 5.02 04/22/13
STATE BANK FINANCIAL CORP GA 2.02,7.01,9.01 04/25/13
StellarOne CORP VA 2.02,8.01,9.01 04/25/13
STERLING BANCORP NY 7.01,9.01 04/24/13
STEWART INFORMATION SERVICES CORP DE 5.02,9.01 04/22/13
STEWART INFORMATION SERVICES CORP DE 2.02,9.01 04/25/13
STRATTEC SECURITY CORP WI 2.02,9.01 04/25/13
STREAMLINE HEALTH SOLUTIONS INC. DE 2.02 04/24/13
SUBURBAN PROPANE PARTNERS LP DE 7.01,8.01,9.01 04/25/13
SUN BANCORP INC /NJ/ NJ 2.02,9.01 04/24/13
SUN COMMUNITIES INC MD 2.02,9.01 04/25/13
SunCoke Energy Partners, L.P. DE 2.02,7.01,8.01,9.01 04/25/13
SunCoke Energy, Inc. 2.02,7.01,9.01 04/25/13
SUPERVALU INC DE 2.02,9.01 04/24/13
SUSSEX BANCORP NJ 5.07,7.01,9.01 04/24/13
SVB FINANCIAL GROUP 5.02,9.01 04/25/13
SVB FINANCIAL GROUP 2.02,9.01 04/25/13
SYNAPTICS INC DE 2.02,9.01 04/25/13
TASER INTERNATIONAL INC 2.02,9.01 04/25/13
TAUBMAN CENTERS INC MI 2.02,9.01 04/25/13
TECUMSEH PRODUCTS CO MI 5.07 04/24/13
TELEDYNE TECHNOLOGIES INC DE 5.07 04/24/13
Telenav, Inc. DE 2.02,9.01 04/25/13
Teliphone Corp NV 1.01,8.01,9.01 04/22/13
TENNANT CO MN 1.01,5.02,5.07 04/24/12
TERADYNE, INC MA 2.02,9.01 04/24/13
Territorial Bancorp Inc. MD 8.01,9.01 04/25/13
TESARO, Inc. DE 2.02,9.01 04/25/13
TESSERA TECHNOLOGIES INC DE 2.02,9.01 04/25/13
TESSERA TECHNOLOGIES INC DE 7.01,9.01 04/25/13
TEXAS CAPITAL BANCSHARES INC/TX 2.02,8.01,9.01 04/24/13
Texas Rare Earth Resources Corp. DE 3.03,5.03,8.01,9.01 04/24/13 AMEND
TF FINANCIAL CORP DE 2.02,9.01 04/25/13
TF FINANCIAL CORP DE 5.07 04/24/13
TFS Financial CORP DE 2.02,9.01 04/25/13
TFS Financial CORP DE 7.01,9.01 04/25/13
THERAVANCE INC DE 7.01,8.01,9.01 04/25/13
THERAVANCE INC DE 2.02,9.01 04/25/13
TIMBERLAND BANCORP INC WA 2.02,9.01 04/23/13
TIME WARNER CABLE INC. DE 2.02,9.01 04/25/13
Tirex CORP 1.01,9.01 04/19/13
TMS International Corp. DE 2.02,7.01,9.01 04/25/13
TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 03/30/13
TOWER FINANCIAL CORP IN 2.02,9.01 04/25/13
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 04/25/13
TRIMAS CORP DE 2.02,9.01 04/25/13
Trucept, Inc. NV 7.01 04/24/13
TUESDAY MORNING CORP/DE DE 2.02,9.01 04/25/13
TYLER TECHNOLOGIES INC DE 2.02 04/24/13
Ubiquity Broadcasting Corp NV 5.02 04/24/13
UBS-Barclays Commercial Mortgage Trus 8.01,9.01 04/25/13
UNIFI INC NY 2.02,7.01,8.01,9.01 04/24/13
UNITED BANKSHARES INC/WV WV 2.02,9.01 04/25/13
UNITED COMMUNITY BANKS INC GA 2.02,9.01 04/25/13
United Continental Holdings, Inc. DE 2.02,7.01,9.01 04/25/13
United Continental Holdings, Inc. DE 8.01,9.01 04/25/13
UNITED STATES LIME & MINERALS INC TX 2.02,9.01 04/24/13
UNITED THERAPEUTICS Corp DE 2.02,9.01 04/25/13
UNITY BANCORP INC /NJ/ NJ 2.02,9.01 04/25/13
UNITY BANCORP INC /NJ/ NJ 7.01,9.01 04/25/13
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 04/24/13
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 2.02,9.01 04/25/13
Universal Truckload Services, Inc. MI 2.02,9.01 04/25/13
URSTADT BIDDLE PROPERTIES INC MD 8.01,9.01 04/25/13
US AIRWAYS GROUP INC DE 1.01,2.03,9.01 04/24/13
US ECOLOGY, INC. DE 2.02,9.01 04/25/13
US GEOTHERMAL INC DE 5.02,9.01 04/19/13
UTAH MEDICAL PRODUCTS INC UT 2.02 04/25/13
V F CORP PA 5.02,5.07,9.01 04/23/13
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 04/25/13
VALIDUS HOLDINGS LTD 2.02,9.01 04/25/13
VALIDUS HOLDINGS LTD 2.02,9.01 04/25/13
VALLEY FINANCIAL CORP /VA/ VA 2.02,8.01,9.01 04/25/13
VALSPAR CORP DE 5.02,7.01,9.01 04/24/13
VCA ANTECH INC DE 1.01,2.02,8.01,9.01 04/25/13
VERISIGN INC/CA DE 2.02,9.01 04/25/13
VICOR CORP DE 2.02,9.01 04/25/13
VISTAPRINT N.V. P7 2.02,9.01 04/25/13
VITRAN CORP INC A6 2.02,9.01 04/25/13
Vringo Inc DE 5.02,8.01,9.01 04/24/13
WABCO Holdings Inc. DE 2.02,7.01,9.01 04/25/13
Warner Music Group Corp. DE 1.01,2.02,7.01,9.01 04/23/13
WASHINGTON BANKING CO WA 2.02,8.01,9.01 04/25/13
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,9.01 04/25/13
WASTE CONNECTIONS, INC. DE 7.01 04/25/13
WAYNE SAVINGS BANCSHARES INC /DE/ DE 2.02,9.01 04/25/13
Wayside Technology Group, Inc. DE 2.02,9.01 04/25/13
WEBSENSE INC DE 2.02 04/25/13
WELLS FARGO & COMPANY/MN DE 9.01 04/25/13
WEST BANCORPORATION INC IA 2.02,9.01 04/25/13
WEST MARINE INC DE 2.02,9.01 04/25/13
WESTAMERICA BANCORPORATION CA 8.01,9.01 04/25/13
Wheeler Real Estate Investment Trust, MD 8.01 04/19/13
Whoopass Poker Corp DE 4.01 04/16/13
WINMARK CORP MN 5.07,7.01,8.01,9.01 04/24/13
Woodward, Inc. DE 8.01,9.01 04/24/13
WORLD ACCEPTANCE CORP SC 2.02,7.01,9.01 04/25/13
WYNN RESORTS LTD 2.02,7.01,8.01,9.01 04/25/13
YADKIN VALLEY FINANCIAL CORP NC 2.02,9.01 04/25/13
ZHONG SEN INTERNATIONAL TEA CO FL 4.01,9.01 04/17/13 AMEND
ZIMMER HOLDINGS INC DE 2.02,9.01 04/25/13
ZYNEX INC NV 5.02 04/22/13
http://www.sec.gov/news/digest/2013/dig042613.htm
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