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Commission AnnouncementsCommission Charges Traders in Massive Kickback Scheme Involving Venezuelan OfficialThe Securities and Exchange Commission (Commission) today charged four individuals with ties to a New York City brokerage firm in a scheme involving millions of dollars in illicit bribes paid to a high-ranking Venezuelan finance official to secure the bond trading business of a state-owned Venezuelan bank. According to the SEC’s complaint filed in federal court in Manhattan, the global markets group at broker-dealer Direct Access Partners (DAP) executed fixed income trades for customers in foreign sovereign debt. DAP Global generated more than $66 million in revenue for DAP from transaction fees – in the form of markups and markdowns – on riskless principal trade executions in Venezuelan sovereign or state-sponsored bonds for Banco de Desarrollo Económico y Social de Venezuela (BANDES). A portion of this revenue was illicitly paid to BANDES Vice President of Finance, María de los Ángeles González de Hernandez, who authorized the fraudulent trades. “These traders triggered a fraud that was staggering in audacity and scope,” said Andrew M. Calamari, Director of the SEC’s New York Regional Office. “They thought they covered their tracks by using offshore accounts and a shadow accounting system to monitor their illicit profits and bribes, but they underestimated the SEC’s tenacity in piecing the scheme together.” The SEC’s complaint charges the following individuals for the roles in the kickback scheme:
In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Gonzalez as well as Clarke and Hurtado. According to the SEC’s complaint, the scheme began in October 2008 and continued until at least June 2010. BANDES was a new customer to DAP brought in by DAP Global executives through their connections to Hurtado. As a result of the kickbacks to Gonzalez, DAP obtained BANDES’ lucrative trading business and provided Gonzalez with the incentive to enter into trades with DAP at considerable markups or markdowns without regard to the prices paid by BANDES. Gonzalez used her senior role at the Caracas-based bank to ensure that its bond trades would continue to be steered to DAP. As the scheme evolved over time, the traders deceived DAP’s clearing brokers, executed internal wash trades, inter-positioned another broker-dealer in the trades to conceal their role in the transactions, and engaged in massive roundtrip trades to pad their revenue. For example, the SEC alleges that in January 2010, the traders and Gonzalez arranged for two fraudulent roundtrip trades with BANDES as both buyer and seller. These trades – which lacked any legitimate business purpose – caused BANDES to pay DAP more than $10 million in fees, a portion of which was diverted to Gonzalez for authorizing the blatantly fraudulent trades. The SEC further alleges that, giving rise to the adage of no honor among thieves, Clarke and Hurtado frequently falsified the size of DAP’s fees in their reports to Gonzalez, which enabled the traders to retain a greater share of the fraudulent profits. The SEC’s complaint charges Clarke, Bethancourt, Hurtado, and Pabon with fraud and seeks final judgments that would require them to return ill-gotten gains with interest and pay financial penalties. The SEC’s investigation, which is continuing, was conducted by Wendy Tepperman, Amanda Straub, and Michael Osnato of the New York Regional Office. The SEC’s litigation will be led by Howard Fischer. An SEC examination of DAP that that led to the investigation was conducted by members of the New York office’s broker-dealer examination staff. The SEC appreciates the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation. (Press Rel. 2013-84) Commission Announces Panelists for Credit Ratings RoundtableThe Commission today announced the panelists for its Credit Ratings Roundtable, which will be held on May 14. As previously announced, the roundtable will consist of three panels. The first panel will discuss the potential creation of a credit rating assignment system for asset-backed securities. The second panel will discuss the effectiveness of the SEC’s current system to encourage unsolicited ratings of asset-backed securities. The third panel will discuss other alternatives to the current issuer-pay business model in which the issuer selects and pays the firm it wants to provide credit ratings for its securities. The event will be held in the auditorium at the SEC’s Washington, D.C., headquarters at 100 F Street, N.E., beginning at 9 a.m. and ending at approximately 4:30 p.m. The public is invited to attend, with seating available on a first-come, first-served basis. The event will be webcast live on the SEC’s website and archived for later viewing. (Press Rel. 2013-83) ENFORCEMENT PROCEEDINGSIn the Matter of Ziad K. AbdelnourThe Commission today issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Ziad K. Abdelnour based on Abdelnour’s scheme to offer and sell fictitious “prime bank” securities. The Order finds that from at least September 2009 to April 2011, Abdelnour, acting through Blackhawk Partners, Inc., a purported private equity “family office,” solicited investors to invest in trading programs that purportedly yielded returns of up to 600% in as little as seven days, with no risk. None of this was true, however. Abdelnour, a long-time registered representative with an MBA from one of the top business schools, attempted to sell the programs by means of representations on Blackhawk’s website and in emails to prospective investors that he knew, or was reckless in not knowing, were false, and he continued to do so even after receipt of a Commission subpoena. The Order finds that although Abdelnour did not succeed in selling any of the fictitious securities, as a result of his fraud, Abdelnour willfully violated Sections 17(a)(1) and (3) of the Securities Act, and by engaging in unregistered broker-dealer activity, he willfully violated Section 15(a) of the Exchange Act. Based on the above, the Order requires Abdelnour to pay a civil money penalty in the amount of $25,000 and orders him to cease and desist from committing or causing any violations and any future violations of the above-referenced provisions of the Securities Act and Exchange Act. The Order further bars Abdelnour from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; bars him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor or principal underwriter; and bars him from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance of or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock; with the right to apply for reentry after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. Abdelnour consented to the issuance of the Order without admitting or denying any of the findings. (Rels. 33- 9402; 34- 69530; IC- 30508; File No. 3-15318) In the Matter of Frank BluesteinThe Commission announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Frank Bluestein (Bluestein) based upon the entry of a Permanent Injunction entered against him in the United States District Court for the Eastern District of Michigan (Securities and Exchange Commission v. Frank Bluestein, Civil Action No. 09-CV-13809). In the Order, the Division of Enforcement alleges that on April 24, 2013, the United States District Court for the Eastern District of Michigan entered a judgment against Bluestein, which permanently enjoined Bluestein from violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rels. 34-69529; IC- 3603; File No. 3-15317) Final Judgments Entered against Richard Verdiramo and Vincent L. Verdiramo, Esq.The Commission announced today that on April 29, 2013, the United States District Court for the Southern District of New York entered final judgments against Richard Verdiramo and Vincent L. Verdiramo, Esq., that require the defendants to pay full disgorgement and civil money penalties, and bar them from penny stock offerings and from serving as officers or directors of public companies. This relief supplements the injunctions and disgorgement that the SEC had previously obtained and concludes the SEC’s case against the defendants. In March 2010, the SEC charged Richard Verdiramo, RECOV Energy Corp.’s former Chairman, CEO, President, and CFO, with, among other things, committing fraud and violating the securities registration requirements based on his issuances of RECOV stock for his and his father’s personal benefit. The SEC charged his father, Vincent Verdiramo, an attorney who facilitated the misconduct and who was a recipient of some of the RECOV stock, with aiding and abetting his son’s fraud and with violating the securities registration requirements. The Court previously ordered all of the injunctive relief sought by the Commission in its Complaint against both Richard and Vincent Verdiramo for all of their misconduct. The Court had also previously ordered the defendants to pay full disgorgement for their violations of the securities registration requirements, including holding Richard Verdiramo jointly and severally liable with other defendants. In November 2011, the SEC issued an order suspending Vincent Verdiramo from appearing or practicing before the SEC as an attorney. The recent judgment requires Richard Verdiramo to disgorge an additional $145,000 in ill-gotten gains plus $61,968 in prejudgment interest, and requires him to pay a civil penalty of $100,000. In addition, the Court barred Richard Verdiramo from participating in any penny stock offering and from serving as an officer or director of any reporting company for five years. The Judgment against Vincent Verdiramo orders him to disgorge an additional $462,000 in ill-gotten gains, plus $197,444 in prejudgment interest, and requires him to pay a civil penalty of $100,000. The Court also permanently barred Vincent Verdiramo from participating in any penny stock offering and from serving as an officer or director of any reporting company. Both Richard and Vincent Verdiramo consented to the entry of the final judgments against them without admitting or denying any of the allegations of the SEC’s Complaint. [SEC v. Richard Verdiramo, Vincent L. Verdiramo, Edward Meyer, Jr., and Victoria Chen, Civil Action No. 10-CIV-1888 (S.D.N.Y.)] (LR-22697) Delinquent Filer’s Stock Registration RevokedThe registration of the registered securities of UC Hub Group, Inc., has been revoked. It had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-69526; File No. 3-15290) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-033) to amend BX Rule 4756 and Rule 4763 to stipulate how participants in the NASDAQ OMX BX Equities Market may modify previously entered orders and to describe how modified orders are processed 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 May 6th. (Rel. 34-69525) A proposed rule changed filed by NASDAQ OMX BX, Inc. to its schedule of fees and rebates for execution of orders for securities priced at $1 or more under Rule 7018 (SR-BX-2013-034) 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 May 6th. (Rel. 34-69522) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2013-41) establishing a schedule of the NYSE Arca Options Proprietary Market Data Fees 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 May 6th. (Rel. 34-69523) A proposed rule change filed by NYSE MKT LLC (SR-NYSEMKT-2013-35) establishing a schedule of the NYSE Amex Options Proprietary Market Data Fees 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 May 6th. (Rel. 34-69524) Approval of Proposed Rule ChangeA proposed rule change (SR-NSX-2013-02), submitted by National Stock Exchange, Inc., to adopt a new order type called the “Auto-Ex Only” Order and add new definitions regarding Automatic Execution Mode and Automatic Execution Orders has become effective pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 6th. (Rel. 34-69519) 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 FORMFACTOR INC, 7005 SOUTHFRONT ROAD, LIVERMORE, CA, 94551,
9252433522 - 0 ($1,105,785.00) Equity, (File 333-188363 - May. 6)
(BR. 10A)
S-3 SYNERGY RESOURCES CORP, 20203 HIGHWAY 60, PLATTEVILLE, CO, 80651,
303-591-7413 - 11,446,860 ($76,121,619.00) Equity, (File 333-188364 -
May. 6) (BR. 04A)
S-1 HEAT BIOLOGICS, INC., 100 EUROPA DRIVE, SUTE 420, CHAPEL HILL, NC,
27517, 919-240-7133 - 0 ($20,006,250.00) Equity, (File 333-188365 -
May. 6) (BR. 01B)
S-3ASR COMMERCIAL METALS CO, 6565 N. MACARTHUR BLVD., SUITE 800, P O BOX 1046,
IRVING, TX, 75039, 2146894300 - 0 ($0.00) Debt, (File 333-188366 -
May. 6) (BR. 06B)
S-3ASR CRANE CO /DE/, CRANE CO., 100 FIRST STAMFORD PLACE, STAMFORD, CT,
06902, 203-363-7300 - 0 ($0.00) Debt, (File 333-188367 - May. 6)
(BR. 06C)
S-8 COMMERCE BANCSHARES INC /MO/, 1000 WALNUT, KANSAS CITY, MO, 64106,
8162342000 - 1,120,000 ($44,486,400.00) Equity, (File 333-188374 -
May. 6) (BR. 12A)
S-8 GTX INC /DE/, 175 TOYOTA PLAZA, 7TH FLOOR, MEMPHIS, TN, 38103,
901-523-9700 - 0 ($70,847,993.45) Equity, (File 333-188377 - May. 6)
(BR. 01A)
S-1 STEMLINE THERAPEUTICS INC, 750 LEXINGTON AVENUE, NEW YORK, NY, 10022,
212-831-1111 - 0 ($50,000,000.00) Equity, (File 333-188378 - May. 6)
(BR. 01B)
S-8 FLUOR CORP, 6700 LAS COLINAS BLVD, IRVING, TX, 75039, 4693987000 -
0 ($674,400,000.00) Equity, (File 333-188379 - May. 6) (BR. 06C)
S-8 CAVIUM, INC., 2315 NORTH FIRST STREET, SAN JOSE, CA, 95131,
650-623-7000 - 0 ($84,408,172.53) Equity, (File 333-188380 - May. 6)
(BR. 10A)
S-3 CLEARSIGN COMBUSTION CORP, 12870 INTERURBAN AVENUE SOUTH, SEATTLE, WA,
98168, (206) 673-4848 - 147,618 ($1,300,514.58) Equity,
(File 333-188381 - May. 6) (BR. 10A)
S-4 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202,
2108214105 - 0 ($4,999,999,000.00) Debt, (File 333-188382 - May. 6)
(BR. 11A)
S-3 LOCAL Corp, ONE TECHNOLOGY DRIVE, BUILDING G, IRVINE, CA, 92618,
(949) 784-0800 - 0 ($7,545,806.40) Equity, (File 333-188383 - May. 6)
(BR. 03A)
S-8 AT&T INC., 208 S. AKARD ST, ATTN : JAMES LACY, DALLAS, TX, 75202,
2108214105 - 42,000,000 ($1,561,560,000.00) Equity,
450,000,000 ($450,000,000.00) Other, (File 333-188384 - May. 6)
(BR. 11A)
S-3ASR Vantiv, Inc., 8500 GOVERNOR'S HILL DRIVE, SYMMES TOWNSHIP, OH, 45249,
513-900-5250 - 0 ($0.00) Equity, (File 333-188385 - May. 6) (BR. 02A)
F-3 Velti plc, FIRST FLOOR, 28-32 PEMBROKE STREET UPPER, DUBLIN, L2, 2,
33 (0) 1234 2676 - 16,529,412 ($33,802,647.54) Equity,
(File 333-188386 - May. 6) (BR. 03B)
F-3 Teekay LNG Partners L.P., 4TH FLOOR, BELVEDERE BUILDING,
69 PITTS BAY ROAD, HAMILTON, D0, HM 08, (441) 298-2530 -
0 ($100,000,000.00) Equity, (File 333-188387 - May. 6) (BR. 05C)
N-2 Third Avenue Flexible Income Fund, 100 WALL STREET, 11TH FLOOR,
NEW YORK, NY, 10005, (212) 701-4500 - 50,000 ($1,000,000.00) Equity,
(File 333-188388 - May. 6) (BR. )
S-3 Parametric Sound Corp, 13771 DANIELSON STREET, SUITE L, POWAY, CA,
92064, 888-477-2150 - 0 ($75,000,000.00) Equity, (File 333-188389 -
May. 6) (BR. 11A)
S-8 Parametric Sound Corp, 13771 DANIELSON STREET, SUITE L, POWAY, CA,
92064, 888-477-2150 - 532,000 ($7,815,320.00) Equity,
(File 333-188390 - May. 6) (BR. 11A)
S-8 QCR HOLDINGS INC, 3551 7TH STREET, MOLINE, IL, 61265, 3097363580 -
829,280 ($12,188,444.36) Equity, (File 333-188391 - May. 6) (BR. 07C)
S-8 CST Brands, Inc., ONE VALERO WAY, SAN ANTONIO, TX, 78249,
210-345-2000 - 0 ($245,040,000.00) Equity, (File 333-188392 - May. 6)
(BR. 02)
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
-------------------------------------------------------------------------------------------
AEROPOSTALE INC 5.02,9.01 05/03/13
AG Mortgage Investment Trust, Inc. MD 2.02,9.01 05/06/13
AIR INDUSTRIES GROUP, INC. DE 2.02,9.01 05/06/13
AIR PRODUCTS & CHEMICALS INC /DE/ DE 2.03 04/30/13 AMEND
ALCO STORES INC KS 1.01,3.03,8.01,9.01 05/03/13
ALICO INC FL 2.02,9.01 05/06/13
ALLEGHANY CORP /DE DE 2.02,9.01 05/06/13
Allied World Assurance Co Holdings, A 5.07 05/02/13
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 05/06/13
ALPHA PRO TECH LTD DE 2.02,9.01 05/06/13
America's Suppliers, Inc. 5.07 05/02/13
American Assets Trust, Inc. MD 8.01 05/06/13
American Realty Capital Properties, I MD 2.02,7.01,9.01 05/06/13
American Realty Capital Properties, I MD 7.01,9.01 05/06/13
American Realty Capital Trust V, Inc. MD 2.01,9.01 05/03/13
American Standard Energy Corp. DE 5.02 04/30/13
American Tire Distributors Holdings, 2.01,2.03,9.01 04/30/13
AMYRIS, INC. DE 1.01,2.03 05/01/13
ANADARKO PETROLEUM CORP DE 2.02,7.01,9.01 05/06/13
ANALOG DEVICES INC MA 5.02,9.01 05/06/13
AP PHARMA INC /DE/ DE 3.02,5.02 05/01/13
APOGEE ENTERPRISES, INC. MN 5.02,9.01 04/30/13
Apollo Global Management LLC DE 2.02,9.01 05/06/13
APPLETON PAPERS INC/WI 2.02,9.01 05/06/13
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 05/06/13
ARBOR REALTY TRUST INC MD 7.01,9.01 05/06/13
ARCA biopharma, Inc. DE 5.02,9.01 05/02/13
ARCHER DANIELS MIDLAND CO DE 5.07 05/02/13
ARES CAPITAL CORP MD 1.01,2.03,9.01 05/02/13
ARRAY BIOPHARMA INC DE 8.01,9.01 05/06/13
ARRAY BIOPHARMA INC DE 2.02,9.01 05/06/13
Artio Global Investors Inc. DE 7.01,9.01 05/06/13
Asian Trends Media Holdings, Inc NV 1.01,2.01,9.01 04/29/13
ASSURED GUARANTY LTD D0 7.01,9.01 05/06/13
ASTRONICS CORP NY 2.02,9.01 05/06/13
AUTOBYTEL INC DE 2.02,9.01 05/02/13
AUXILIUM PHARMACEUTICALS INC DE 5.07 05/01/13
AXCELIS TECHNOLOGIES INC DE 8.01 05/06/13
Babcock & Wilcox Co DE 5.02,9.01 05/01/13
Bancorp, Inc. 5.07 05/06/13
BANK OF AMERICA CORP /DE/ DE 2.02,8.01,9.01 05/06/13
BARNES GROUP INC DE 5.02,5.03,5.07,9.01 05/03/13
BERRY PETROLEUM CO DE 2.02,9.01 05/06/13
BIOLOGIX HAIR INC. NV 1.01,3.02, 04/30/13
5.02,7.01,9.01
Biostar Pharmaceuticals, Inc. MD 3.01 05/01/13
Biota Pharmaceuticals, Inc. DE 1.01,5.02,8.01,9.01 04/30/13
Black Diamond, Inc. DE 2.02,9.01 05/06/13
BLUE CALYPSO, INC. DE 8.01,9.01 05/06/13
BLUE CALYPSO, INC. DE 1.01,3.02,9.01 05/06/13
BMC SOFTWARE INC DE 1.01,3.03,8.01,9.01 05/04/13
BNC BANCORP NC 5.02 04/30/13
BODY CENTRAL CORP 2.02,9.01 05/02/13
BOINGO WIRELESS INC DE 5.02 05/01/13
BOYD GAMING CORP NV 1.01,2.03,2.04,9.01 05/06/13
Brazil Minerals, Inc. NV 2.01,3.02,8.01,9.01 05/06/13
BRIDGE BANCORP INC NY 5.07,9.01 05/03/13
Bridgepoint Education Inc DE 2.02,9.01 05/06/13
BROADSOFT, INC. DE 2.02,9.01 05/06/13
BUCKEYE PARTNERS, L.P. DE 2.02,9.01 05/03/13
CABOT OIL & GAS CORP DE 5.07 05/02/13
CALGON CARBON CORPORATION DE 2.02,9.01 05/06/13
CAM Group, Inc. NV 1.01,2.01,3.02, 04/17/12 AMEND
4.01,5.01,5.02,5.03,5.06,9.01
CAMBIUM LEARNING GROUP, INC. 5.02 03/19/13 AMEND
Cardium Therapeutics, Inc. DE 8.01,9.01 04/30/13
CAREER EDUCATION CORP DE 2.02,9.01 05/06/13
CARMIKE CINEMAS INC DE 2.02,9.01 05/06/13
CCOM Group, Inc. NY 1.01,2.03,9.01 04/30/13
CEDAR REALTY TRUST, INC. MD 5.07 05/03/13
CELGENE CORP /DE/ DE 7.01 05/06/13
CENTURY CASINOS INC /CO/ DE 5.07 05/06/13
CENVEO, INC CO 5.07 05/01/13
CH ENERGY GROUP INC NY 8.01,9.01 05/03/13
CHESAPEAKE UTILITIES CORP DE 5.07,7.01,9.01 05/02/13
China Energy CORP 8.01 05/03/13
CHINA MARINE FOOD GROUP LTD NV 4.01,9.01 04/30/13
CHUY'S HOLDINGS, INC. DE 2.02,9.01 05/06/13
CHYRON CORP NY 2.05 05/02/13
CIG WIRELESS CORP. NV 1.01,3.02,8.01,9.01 04/30/13
CITIBANK CREDIT CARD ISSUANCE TRUST DE 8.01,9.01 05/06/13
CLEARSIGN COMBUSTION CORP WA 7.01,9.01 05/06/13
CLEARSIGN COMBUSTION CORP WA 7.01,9.01 05/06/13
Clearwire Corp /DE DE 8.01,9.01 05/06/13
Colony Financial, Inc. MD 2.01,9.01 05/06/13
CombiMatrix Corp DE 1.01,3.02,3.03, 05/03/13
5.03,7.01,9.01
COMMODITY ADVISORS FUND L.P. NY 3.02 05/01/13
CONNECTICUT WATER SERVICE INC / CT CT 8.01 05/06/13
CONSTELLATION BRANDS, INC. DE 1.01,9.01 04/30/13
Cornerworld Corp NV 8.01 04/30/13
Coronus Solar Inc. A1 1.01,1.02,2.03, 05/06/13
7.01,8.01,9.01
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 05/06/13
Corporate Resource Services, Inc. DE 8.01,9.01 05/06/13
CRANE CO /DE/ DE 8.01,9.01 05/06/13
CRAWFORD & CO GA 2.02,7.01,9.01 05/06/13
Crestwood Midstream Partners LP DE 8.01,9.01 05/06/13
CROSS COUNTRY HEALTHCARE INC DE 5.07 05/01/13
CRYO CELL INTERNATIONAL INC DE 5.02 05/01/13
CUTERA INC DE 2.02,9.01 05/06/13
DCT Industrial Trust Inc. MD 5.07 05/01/13
DETHRONE ROYALTY HOLDINGS, INC. NV 1.01,2.03,3.02,9.01 04/30/13
diaDexus, Inc. DE 2.02,9.01 05/06/13
DIGIRAD CORP DE 2.02,9.01 05/06/13
DIGITAL CREATIVE DEVELOPMENT CORP UT 5.02 04/30/13
Discover Card Execution Note Trust DE 1.01,8.01,9.01 05/06/13
Diversified Restaurant Holdings, Inc. NV 8.01,9.01 05/03/13
Dot VN, Inc. DE 2.02,2.03,2.04, 05/01/13
3.02,5.03,8.01,9.01
DOUGLAS DYNAMICS, INC DE 2.02,9.01 05/06/13
DOUGLAS DYNAMICS, INC DE 1.01,2.01,7.01,9.01 05/06/13
DOVER MOTORSPORTS INC DE 3.01,9.01 05/06/13
DOVER SADDLERY INC 5.07 05/02/13
DOW CHEMICAL CO /DE/ DE 8.01,9.01 05/06/13
DREW INDUSTRIES INC DE 7.01,9.01 05/03/13
DUCOMMUN INC /DE/ DE 2.02,9.01 05/06/13
DYNAVAX TECHNOLOGIES CORP DE 2.02,9.01 05/06/13
EACO CORP FL 1.01 05/02/13
ECA Marcellus Trust I DE 2.02,9.01 05/06/13
EMAGIN CORP DE 1.01,5.02,9.01 04/30/13
EMTEC INC/NJ UT 5.03,5.07,9.01 04/30/13
Energy Services of America CORP DE 1.01,9.01 05/03/13
Energy Transfer Equity, L.P. DE 5.02 05/01/13 AMEND
ENERGY XXI (BERMUDA) LTD D0 1.01,9.01 05/01/13
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 05/06/13
ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 05/06/13
ENERNOC INC DE 2.02,9.01 05/06/13
ENSIGN GROUP, INC 2.02,9.01 05/01/13
ENZON PHARMACEUTICALS INC DE 8.01 04/30/13
EOG RESOURCES INC DE 2.02,7.01,9.01 05/01/13
EPL OIL & GAS, INC. DE 5.02 05/06/13
EVERTEC, Inc. PR 2.02,9.01 05/06/13
EXELON CORP PA 7.01,9.01 05/06/13
FAIRPOINT COMMUNICATIONS INC DE 2.02,9.01 05/06/13
Fairway Group Holdings Corp DE 1.01,9.01 05/03/13
FelCor Lodging Trust Inc MD 5.02,9.01 04/30/13
FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 05/06/13
FIRST COLOMBIA GOLD CORP. NV 1.01,7.01,9.01 05/01/13
FIRST PACTRUST BANCORP INC MD 1.01,9.01 05/05/13
FIRST SOLAR, INC. DE 2.02,9.01 05/06/13
Five Oaks Investment Corp. MD 7.01 05/06/13
FOREST OIL CORP NY 2.02,9.01 05/06/13
FORWARD AIR CORP TN 5.07 05/06/13
FOSTER WHEELER AG V8 5.02,5.07,9.01 05/02/13
FRANKLIN ELECTRIC CO INC IN 5.07 05/03/13
FRONTIER COMMUNICATIONS CORP DE 1.01,1.02,8.01,9.01 05/06/13
FRONTIER COMMUNICATIONS CORP DE 2.02,7.01,9.01 05/06/13
FS Energy & Power Fund DE 2.02 05/01/13
FURNITURE BRANDS INTERNATIONAL INC DE 5.02,5.07,9.01 05/02/13
FUTURES PORTFOLIO FUND L.P. MD 3.02 05/01/13
FX ENERGY INC NV 8.01,9.01 05/06/13
GCI INC AK 2.03,9.01 04/30/13
GENERAL COMMUNICATION INC AK 2.03,9.01 04/30/13
General Motors Financial Company, Inc TX 7.01,8.01,9.01 05/06/13
GENERAL STEEL HOLDINGS INC NV 3.01,8.01,9.01 05/02/13
GEOSPACE TECHNOLOGIES CORP DE 5.02 05/03/13 AMEND
GEOVIC MINING CORP. DE 5.02 05/03/13
GLADSTONE LAND Corp MD 2.02,9.01 05/06/13
GLATFELTER P H CO PA 8.01 05/01/13
GLATFELTER P H CO PA 5.02 05/06/13
GLEACHER & COMPANY, INC. DE 5.03,9.01 04/30/13
GLOBAL CASINOS INC UT 1.01,9.01 05/02/13
Global Eagle Entertainment Inc. DE 2.02,9.01 05/02/13
Global Telecom & Technology, Inc. DE 1.01,1.02,2.01, 04/30/13
2.03,3.02,8.01,9.01
Gramercy Property Trust Inc. MD 5.02,9.01 04/30/13
GRAN TIERRA ENERGY INC. NV 2.02,9.01 05/06/13
GREEN HYGIENICS HOLDINGS INC. NV 1.01,3.02,9.01 03/20/13
GREENWAY MEDICAL TECHNOLOGIES INC 2.02,9.01 05/06/13
GROWLIFE, INC. DE 5.02 05/03/13
GROWLIFE, INC. DE 7.01,9.01 05/03/13
GTJ REIT, Inc. MD 5.02 05/01/13
GTX INC /DE/ DE 5.02,5.07,9.01 05/02/13
HARVEST NATURAL RESOURCES, INC. DE 2.02,9.01 05/03/13
HEALTH CARE REIT INC /DE/ DE 5.07 05/02/13
HealthWarehouse.com, Inc. DE 5.02,9.01 04/29/13
Hedge Fund Managers (Diversified) LLC DE 7.01 05/06/13
HEINZ H J CO PA 7.01 05/06/13
HESKA CORP DE 5.07 04/30/13
HF FINANCIAL CORP DE 7.01 05/06/13
Hilltop Holdings Inc. MD 2.02,9.01 05/06/13
HMS HOLDINGS CORP 1.01,1.02,9.01 05/03/13
HOLOGIC INC DE 2.02,9.01 05/06/13
HomeTrust Bancshares, Inc. MD 7.01,9.01 05/03/13
HORIZON BANCORP /IN/ IN 5.07 05/02/13
Horsehead Holding Corp 2.02,9.01 05/06/13
HOTEL OUTSOURCE MANAGEMENT INTERNATIO DE 5.02 05/05/13
Hudson Pacific Properties, Inc. MD 2.02,7.01,9.01 05/06/13
HUNTINGTON INGALLS INDUSTRIES, INC. DE 5.03,5.07,9.01 05/01/13
Huntsman CORP DE 5.07 05/02/13
Hyatt Hotels Corp DE 8.01,9.01 05/03/13
ICAD INC DE 2.02,9.01 04/29/13
IGATE CORP PA 5.02,9.01 05/01/13
INERGY L P DE 7.01,9.01 05/06/13
INERGY L P DE 7.01,8.01,9.01 05/06/13
INERGY MIDSTREAM, L.P. DE 7.01,8.01,9.01 05/06/13
INGLES MARKETS INC NC 2.02,9.01 05/06/13
INSULET CORP DE 2.02,9.01 05/06/13
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02 04/30/13
Interactive Intelligence Group, Inc. IN 2.02,9.01 05/06/13
INTERLINE BRANDS, INC./DE DE 2.02,9.01 05/06/13
Intermec, Inc. DE 2.02,7.01,9.01 05/03/13
INTERNATIONAL BUSINESS MACHINES CORP NY 9.01 05/02/13
Internet Patents Corp 2.02,9.01 05/03/13
Interval Leisure Group, Inc. DE 2.02,8.01,9.01 05/06/13
Inventtech Inc. NV 8.01 05/06/13
INVESTORS TITLE CO NC 2.02,9.01 05/06/13
ISA INTERNATIONALE INC DE 1.01 04/30/13
ISSUER DIRECT CORP 2.02,9.01 05/06/13
iTalk Inc. NV 8.01,9.01 05/06/13
ITRON INC /WA/ WA 5.07 05/03/13
JMP Group Inc. DE 2.02,9.01 05/06/13
JMP Group Inc. DE 1.01,2.03,9.01 04/30/13
JONES GROUP INC PA 1.01,9.01 05/03/13
K12 INC DE 5.02 05/03/13
KANSAS CITY SOUTHERN DE 5.07,7.01,9.01 05/02/13
KEATING CAPITAL INC 7.01,9.01 05/06/13
KILROY REALTY CORP MD 8.01,9.01 05/06/13
KONA GRILL INC DE 5.07 04/30/13
KRISPY KREME DOUGHNUTS INC NC 7.01 05/06/13
Labor Smart, Inc. NV 1.01,2.01,9.01 05/06/13
Landmark Apartment Trust of America, 2.03,8.01 04/30/13
Lantheus Medical Imaging, Inc. DE 5.02,9.01 04/30/13
Lattice INC DE 2.01,9.01 04/24/13
LATTICE SEMICONDUCTOR CORP DE 5.02,5.07 05/01/13
LEE ENTERPRISES, INC DE 8.01,9.01 04/30/13
LEGACY RESERVES LP DE 2.02,9.01 05/06/13
Liberto, Inc NV 5.03,8.01,9.01 05/06/13
Liberty Global, Inc. DE 2.02,7.01 05/06/13
Lightning Gaming, Inc. NV 1.01,2.03,3.02,9.01 05/06/13
LILLY ELI & CO IN 5.02 05/06/13
LILLY ELI & CO IN 5.07 05/06/13
LIN TV CORP. DE 8.01,9.01 05/06/13
LINCOLN EDUCATIONAL SERVICES CORP NJ 5.02,5.07,9.01 04/30/13
LKQ CORP DE 1.01,2.03,9.01 04/30/13
Lone Pine Resources Inc. DE 7.01,9.01 05/06/13
LRI HOLDINGS, INC. 1.01,9.01 04/30/13
LSB INDUSTRIES INC DE 2.02,9.01 05/06/13
Lumos Networks Corp. VA 7.01 05/06/13
M LINE HOLDINGS INC NV 1.01,5.03,9.01 04/30/13
MACK CALI REALTY CORP MD 5.02,9.01 05/06/13
MAGNETEK, INC. DE 5.03,5.07,9.01 05/03/13
MANAGED FUTURES PREMIER WARRINGTON L. NY 3.02 05/01/13
MARTEN TRANSPORT LTD DE 5.02,5.07,9.01 05/03/13
MARTIN MIDSTREAM PARTNERS LP DE 2.02,9.01 05/06/13
Matson, Inc. HI 2.02,9.01 05/06/13
MBT FINANCIAL CORP MI 5.07 05/02/13
MCDONALDS CORP DE 8.01,9.01 05/06/13
MCGRAW HILL FINANCIAL INC NY 5.03,5.07,9.01 05/01/13
MDU RESOURCES GROUP INC DE 1.04 05/01/13
MEDIACOM BROADBAND LLC DE 2.02,9.01 05/06/13
MEDIACOM LLC NY 2.02,9.01 05/06/13
MERGE HEALTHCARE INC DE 2.02,9.01 04/30/13
MERITOR INC IN 5.02,9.01 05/03/13
MERITOR INC IN 7.01 05/06/13
METTLER TOLEDO INTERNATIONAL INC/ DE 5.07 05/02/13
MGP INGREDIENTS INC KS 2.02,7.01,9.01 05/06/13
MIDDLESEX WATER CO NJ 2.02,9.01 05/06/13
MMAX MEDIA, INC. NV 8.01,9.01 04/30/13
MOBILE MINI INC DE 2.02,9.01 05/06/13
MOLEX INC DE 5.02,9.01 04/30/13
MOLINA HEALTHCARE INC DE 5.07 05/01/13
MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.07 05/06/13
MTS SYSTEMS CORP MN 2.02,9.01 05/06/13
MURPHY OIL CORP /DE DE 8.01,9.01 05/06/13
MURPHY OIL CORP /DE DE 5.02 05/02/13
MYR GROUP INC. DE 5.07 05/02/13
NATIONAL HEALTH INVESTORS INC MD 5.07 04/29/13
NATIONAL HEALTH INVESTORS INC MD 7.01,9.01 05/03/13
NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 05/03/13
NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 05/06/13
COMMENT
Naugatuck Valley Financial Corp 5.02 04/30/13
NAUTILUS, INC. WA 2.02,9.01 05/06/13
NCL CORP Ltd. D0 2.02,9.01 05/06/13
NeuroMetrix, Inc. DE 5.02,5.07,9.01 05/06/13
Neutral Tandem Inc 1.01,2.01,8.01,9.01 04/30/13
New Mountain Finance Corp DE 2.02,9.01 05/06/13
NEWCASTLE INVESTMENT CORP MD 2.02,9.01 05/03/13
NEWLINK GENETICS CORP 2.02,9.01 05/06/13
NGP Capital Resources Co MD 7.01,9.01 05/06/13
NIC INC CO 2.02,7.01,9.01 05/06/13
Nielsen Holdings N.V. P7 1.01 05/04/13
NORTHERN OIL & GAS, INC. 2.02,9.01 05/06/13
NORTHSTAR REALTY FINANCE CORP. MD 9.01 04/05/13 AMEND
NORTHWEST PIPE CO OR 2.02,9.01 05/06/13
Norwegian Cruise Line Holdings Ltd. 2.02,9.01 05/06/13
Ocean Electric Inc. 5.02,9.01 05/01/13
OLIN CORP VA 7.01,9.01 05/06/13
OLYMPIC STEEL INC OH 5.07 05/03/13
OMEGA PROTEIN CORP NV 2.02 05/06/13
ORION FUTURES FUND LP NY 3.02 05/01/13
Orion Marine Group Inc 2.02,9.01 05/02/13
OTELCO INC. DE 1.03,9.01 05/06/13
OXIGENE INC DE 2.02,9.01 05/06/13
PAA NATURAL GAS STORAGE LP DE 2.02,7.01,9.01 05/06/13
PACIFIC PREMIER BANCORP INC DE 7.01,9.01 05/06/13
PAPA JOHNS INTERNATIONAL INC DE 1.01,1.02,2.03, 04/30/13
5.02,5.07,9.01
Park Sterling Corp NC 7.01,9.01 05/06/13
PARKWAY PROPERTIES INC MD 2.02,7.01,9.01 05/06/13
PC TEL INC DE 1.01,9.01 04/30/13
PEGASYSTEMS INC MA 2.02,9.01 05/06/13
PEOPLES BANCORP OF NORTH CAROLINA INC NC 5.07 05/02/13
PEPSICO INC NC 5.07,8.01 04/30/13
PETMED EXPRESS INC FL 8.01,9.01 05/03/13
PETMED EXPRESS INC FL 8.01,9.01 05/06/13
PG&E Corp CA 8.01 05/03/13
PGT, Inc. DE 5.07 05/06/13
Piedmont Office Realty Trust, Inc. MD 8.01,9.01 05/06/13
Piedmont Office Realty Trust, Inc. MD 8.01,9.01 05/06/13
Pike Electric CORP 2.02,9.01 05/06/13
PITOOEY!, INC. NV 2.03,3.02,9.01 04/29/13
PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 05/06/13
PLANAR SYSTEMS INC OR 2.02,9.01 05/06/13
PLY GEM HOLDINGS INC DE 2.02,9.01 05/06/13
PMX Communities, Inc. NV 4.01,9.01 05/01/13
PNM RESOURCES INC NM 2.02,9.01 05/06/13
POTOMAC FUTURES FUND LP NY 3.02 05/01/13
PREFERRED APARTMENT COMMUNITIES INC MD 1.01,2.02,9.01 04/30/13
PRIMEENERGY CORP DE 5.07 05/02/13
PROASSURANCE CORP DE 2.02,7.01,9.01 05/06/13
PROFIRE ENERGY INC UT 2.02,9.01 05/06/13
PROSPECT GLOBAL RESOURCES INC. NV 1.01,8.01,9.01 04/30/13
PROTECTIVE LIFE CORP DE 8.01,9.01 05/06/13
Psychic Friends Network Inc. NV 5.07 05/02/13
PULTEGROUP INC/MI/ MI 8.01 05/02/13
PVR PARTNERS, L. P. DE 7.01,9.01 05/06/13
PVR PARTNERS, L. P. DE 7.01,9.01 05/06/13
QLIK TECHNOLOGIES INC DE 8.01,9.01 05/06/13
QUALYS, INC. DE 2.02,9.01 05/06/13
QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 04/30/13
QUICKSILVER RESOURCES INC DE 2.01,9.01 04/30/13
REALNETWORKS INC WA 1.01,1.02 05/02/13
RED METAL RESOURCES, LTD. NV 1.01,9.01 04/30/13
RED MOUNTAIN RESOURCES, INC. FL 1.01,3.02,5 05/03/13
.02,8.01,9.01
Reef Oil & Gas Income & Development F TX 1.01 04/30/13
REGENERON PHARMACEUTICALS INC NY 1.01,9.01 05/02/13
RES CARE INC /KY/ KY 2.02,9.01 05/06/13
Resolute Energy Corp DE 2.02,9.01 05/06/13
RESPONSYS INC DE 2.02,9.01 05/06/13
RETAIL PROPERTIES OF AMERICA, INC. MD 2.02,9.01 05/06/13
RigNet, Inc. DE 2.02,9.01 05/06/13
RLJ Lodging Trust MD 5.07 05/02/13
ROI Acquisition Corp. DE 7.01,9.01 05/06/13
Rosetta Resources Inc. DE 9.01 05/03/13
RREEF Property Trust, Inc. MD 1.01,2.03,9.01 05/06/13
RUCKUS WIRELESS INC DE 2.02,9.01 05/06/13
SABINE ROYALTY TRUST TX 2.02,9.01 05/03/13
SAFETY INSURANCE GROUP INC DE 2.02,9.01 05/06/13
Sagent Pharmaceuticals, Inc. DE 1.01,2.02,8.01,9.01 04/30/13
SAIC, Inc. 1.01,9.01 05/03/13
SANTARUS INC DE 2.02,9.01 05/06/13
SANTEON GROUP, INC. DE 5.02,9.01 04/26/13
SCOTTS MIRACLE-GRO CO OH 2.02,9.01 05/03/13
SCRIPPS E W CO /DE OH 2.02,9.01 05/06/13
Select Notes Trust LT 2004-1 DE 8.01,9.01 05/01/13
SemGroup Corp DE 1.01,2.03,7.01,9.01 04/30/13
SENESCO TECHNOLOGIES INC DE 8.01,9.01 05/06/13
Sequoia Mortgage Trust 2013-6 8.01,9.01 05/02/13
SHARPS COMPLIANCE CORP DE 1.01,2.03,9.01 05/01/13
SIGA TECHNOLOGIES INC DE 3.02,9.01 04/30/13
Skilled Healthcare Group, Inc. DE 2.02,9.01 05/06/13
SLM CORP DE 8.01,9.01 05/06/13
SmartMetric, Inc. 7.01 05/06/13
SNYDER'S-LANCE, INC. NC 5.03,5.07,8.01,9.01 05/03/13
SOUTHERN UNION CO DE 1.01,2.01,2.03, 04/30/13
5.01,7.01,9.01
Special Value Continuation Partners, DE 5.07 05/01/13
Spectra Energy Corp. DE 5.07 04/30/13
Spirit AeroSystems Holdings, Inc. DE 5.02,5.07,9.01 04/30/13
SPX CORP DE 5.07 05/02/13
STAG Industrial, Inc. 2.02,9.01 05/06/13
STAG Industrial, Inc. 5.02,5.07,9.01 05/06/13
STARWOOD PROPERTY TRUST, INC. 5.02,5.07,9.01 05/02/13
State Auto Financial CORP OH 2.02,7.01,9.01 04/30/13
STEEL DYNAMICS INC IN 5.02 05/02/13
Stevia Corp NV 1.01,3.02,9.01 05/03/13
STRATS (SM) Trust for Ambac Financial 8.01 05/03/13
STRATS(SM) Trust For Morgan Stanley S 8.01,9.01 05/01/13
Summit Hotel Properties, Inc. MD 1.01 05/06/13
Summit Hotel Properties, Inc. MD 2.02,9.01 05/06/13
Sunstone Hotel Investors, Inc. MD 2.01,2.02, 05/01/13
5.02,5.07,9.01
SUPERMEDIA INC. DE 5.03,8.01,9.01 04/30/13 AMEND
SUPERNUS PHARMACEUTICALS INC DE 2.02,9.01 05/06/13
SYKES ENTERPRISES INC FL 2.02,9.01 05/06/13
SYNTA PHARMACEUTICALS CORP 8.01 05/05/13
SYSCO CORP DE 2.02,9.01 05/06/13
TCP Capital Corp. DE 5.07 05/01/13
TECHNICAL COMMUNICATIONS CORP MA 1.01,2.02,9.01 05/04/13
Technologies Scan Corp A8 1.01,9.01 04/27/13
TECUMSEH PRODUCTS CO MI 2.02,7.01,9.01 05/06/13
TELKONET INC UT 1.01 04/30/13
TENET HEALTHCARE CORP NV 5.07 05/03/13
TERADATA CORP /DE/ 5.07 04/30/13
Terra Tech Corp. NV 1.01,3.02, 04/29/13
5.01,5.02,9.01
TESCO CORP 2.02,9.01 05/06/13
TESORO CORP /NEW/ DE 5.02,5.07,9.01 05/01/13
TESORO LOGISTICS LP DE 2.02,9.01 05/06/13
TF FINANCIAL CORP PA 5.02 05/01/13
THL Credit, Inc. DE 2.02,9.01 05/06/13
THOR INDUSTRIES INC DE 1.01,2.06,9.01 04/30/13
Tianli Agritech, Inc. D8 7.01,9.01 05/06/13
TRACTOR SUPPLY CO /DE/ DE 5.07 05/06/13
TRANSACT TECHNOLOGIES INC DE 2.02,9.01 05/02/13
Tri-Tech Holding, Inc. E9 2.02,5.07, 05/06/13
7.01,8.01,9.01
tw telecom inc. DE 2.02,9.01 05/06/13
TYSON FOODS INC DE 2.02,9.01 05/06/13
UFP TECHNOLOGIES INC DE 2.02,9.01 05/03/13
ULTRA PETROLEUM CORP 2.02,9.01 03/31/13
Under Armour, Inc. MD 5.02,5.07,9.01 04/30/13
UNIT CORP DE 5.07 05/01/13
United Realty Trust Inc MD 2.01,9.01 03/29/13 AMEND
UNITED SECURITY BANCSHARES INC DE 2.02,9.01 05/06/13
UNS Energy Corp AZ 5.07 05/06/13
USA TRUCK INC DE 2.02,9.01 05/06/13
USEC INC DE 2.02,3.01,5.03,9.01 04/30/13
Vantiv, Inc. 2.02,9.01 05/06/13
Vantiv, Inc. 8.01,9.01 05/06/13
WALTER INVESTMENT MANAGEMENT CORP MD 2.01,9.01 04/30/13
WASHINGTON BANKING CO WA 5.07 05/03/13
WEIS MARKETS INC PA 2.02,9.01 05/06/13
WESTLAKE CHEMICAL CORP DE 2.02,9.01 05/06/13
WESTPORT FUTURES FUND L.P. NY 3.02 05/01/13
WFRBS Commercial Mortgage Trust 2013- 9.01 05/03/13
Where Food Comes From, Inc. 2.02,9.01 05/01/13
Whitestone REIT TX 2.02,9.01 05/06/13
Whitestone REIT Operating Partnership DE 2.02,9.01 05/06/13
World Monitor Trust III - Series J DE 8.01,9.01 04/30/13
Xenith Bankshares, Inc. VA 5.07 05/02/13
XENOPORT INC DE 2.01,9.01 05/01/13
ZAGG Inc NV 2.02,9.01 05/02/13
ZIONS BANCORPORATION /UT/ UT 8.01 05/01/13
http://www.sec.gov/news/digest/2013/dig050713.htm
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