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INVESTMENT COMPANY ORDERSFS Investment Corporation, et al.A notice has been issued giving interested persons until June 3, 2013, to request a hearing on an application filed by FS Investment Corporation, et al., for an order to permit certain business development companies to co-invest with certain affiliated investment funds in portfolio companies. (Rel. IA-30511 - May 9, 2013) CPG Carlyle Private Equity Fund, LLC, et al.A notice has been issued giving interested persons until June 3, 2013, to request a hearing on an application filed by CPG Carlyle Private Equity Fund, LLC, et al. for an order under section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from sections 18(c) and 18(i), and an order pursuant to section 17(d) of the Act and rule 17d-1 under the Act. The order would permit registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based service and/or distribution fees and contingent deferred sales loads. (Rel. IC-30512 - May 9, 2013) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed RuleA proposed rule change (SR-BATS-2013-025) filed by BATS Exchange, Inc. related to fees for use of BATS Exchange, Inc. 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 May 13th. (Rel. 34-69546). A proposed rule change filed by Financial Industry Regulatory Authority, Inc. relating to an extension of the implementation date for FINRA Rule 5270 (Front Running of Block Transactions) (SR-FINRA-2013-021) 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 13th. (Rel. 34-69543) A proposed rule change filed by NASDAQ OMX PHLX to amend fees and rebates applicable to Qualified Contingent Cross Orders (SR-Phlx-2013-48) 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 13th. (Rel. 34-69547) A proposed rule change filed by NASDAQ OMX PHLX to amend various sections of the Exchange’s pricing schedule (SR-Phlx-2013-49) 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 13th. (Rel. 34-69548) A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2013-035) to correct BX Rule 2140(c) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69549) NASDAQ OMX PHLX LLC has filed a proposed rule change, as modified by Amendment No. 1, (SR-Phlx-2013-46) under Rule 19b-4 of the Securities Exchange Act of 1934 regarding Complex Order PIXL. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69550) Notice of Filing of Proposed Rule ChangeThe BATS Exchange, Inc. has filed a proposed rule change (SR-BATS-2013-024) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend and restate the amended and restated By-Laws of BATS Exchange, Inc. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69540) The BATS-Y Exchange, Inc. has filed a proposed rule change (SR-BYX-2013-013) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to amend and restate the amended and restated By-Laws of BATS-Y Exchange, Inc. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69541) Notice of Withdrawal of a Proposed Rule ChangeICE Clear Credit LLC withdrew its proposed rule change (File No. SR-ICC-2013-03) to implement clearinghouse resolution and recovery arrangements. Publication is expected in the Federal Register during the week of May 13th. (Rel. 34-69545) Notice of Comment Review for SR-NSCC-2013-802 and SR-NSCC-2013-02National Securities Clearing Corporation (NSCC) filed an advance notice (File No. SR-NSCC-2013-802), as modified by Amendment No. 1, under Section 806(e)(1) of the Payment, Clearing, and Settlement Supervision Act of 2010 in connection with a proposed change to institute supplemental liquidity deposits to its Clearing Fund designed to increase liquidity resources to meet its liquidity needs (Proposal). NSCC also filed the Proposal as a proposed rule change (File No. SR-NSCC-2013-02) under Section 19(b)(1) of the Exchange Act and Rule 19b-4 thereunder. NSCC is not permitted to implement the Proposal unless and until the Commission approves the proposed rule change and issues a non-objection to the advance notice. The Commission will consider all public comments received on the Proposal regardless of whether the comments are submitted to File No. SR-NSCC-2013-802 or File No. SR-NSCC-2013-02. (Rels. 34-69451 and 34-69313) 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 OCWEN FINANCIAL CORP, 2002 SUMMIT BOULEVARD, 6TH FLOOR, ATLANTA, 2Q,
30319, 561-682-8000 - 162,000 ($162,000,000.00) Equity,
(File 333-188464 - May. 9) (BR. 07C)
S-3ASR STAG Industrial, Inc., 99 HIGH STREET, 28TH FLOOR, BOSTON, MA, 02110,
(617)574-4777 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-188465 - May. 9) (BR. 08B)
S-8 CYAN INC, 1383 N MCDOWELL BLVD SUITE 300, PETALUMA, CA, 94954,
707-735-2300 - 0 ($211,316,452.00) Equity, (File 333-188467 - May. 9)
(BR. 03C)
S-8 HOLOGIC INC, 35 CROSBY DRIVE, BEDFORD, MA, 01730, 7819997300 -
0 ($229,195,000.00) Equity, (File 333-188468 - May. 9) (BR. 10A)
S-4 ROI Acquisition Corp., 601 LEXINGTON AVENUE, NEW YORK, NY, 10022,
(212) 825-0400 - 0 ($77,533,074.88) Other, (File 333-188469 - May. 9)
(BR. 11C)
S-1 Terra Tech Corp., 18101 VON KARMAN, THIRD FLOOR, IRVINE, CA, 92612,
855-447-6967 - 44,109,414 ($7,278,053.31) Equity, (File 333-188477 -
May. 9) (BR. 10B)
F-10 CENOVUS ENERGY INC., 2600, 500 CENTRE STREET S.E., P.O. BOX 766,
CALGARY, A0, T2P 0M5, 403-766-2000 -
1,250,000,000 ($1,250,000,000.00) Other, (File 333-188478 - May. 9)
(BR. 04B)
S-8 ARROW FINANCIAL CORP, 250 GLEN ST, GLENS FALLS, NY, 12801,
5187451000X299 - 50,000 ($1,184,500.00) Equity, (File 333-188479 -
May. 9) (BR. 07C)
S-8 ARROW FINANCIAL CORP, 250 GLEN ST, GLENS FALLS, NY, 12801,
5187451000X299 - 450,000 ($10,660,500.00) Equity, (File 333-188480 -
May. 9) (BR. 07C)
S-8 LIGHTPATH TECHNOLOGIES INC, 2603 CHALLENGER TECH CT, SUITE 100,
ORLANDO, FL, 32826, 4073824003 - 1,000,000 ($800,000.00) Equity,
(File 333-188482 - May. 9) (BR. 10B)
S-8 STAG Industrial, Inc., 99 HIGH STREET, 28TH FLOOR, BOSTON, MA, 02110,
(617)574-4777 - 0 ($41,029,337.00) Equity, (File 333-188483 - May. 9)
(BR. 08B)
S-8 Infinity Augmented Reality, Inc., 45 BROADWAY, 6TH FLOOR, NEW YORK, NY,
10006, (212) 201-4070 - 40,000,000 ($11,600,000.00) Equity,
(File 333-188484 - May. 9) (BR. 01B)
S-8 Skilled Healthcare Group, Inc., 27442 PORTOLA SUITE 200,
FOOTHILL RANCH, CA, 92610, 949-282-5822 -
1,000,000 ($6,490,000.00) Equity, (File 333-188485 - May. 9) (BR. 11A)
S-3 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 0 ($1.00) Equity, (File 333-188486 - May. 9) (BR. 09B)
S-1 QEP Midstream Partners, LP, 1050 17TH STREET, SUITE 500, DENVER, CO,
80265, 303-394-4828 - 0 ($400,000,000.00) Equity, (File 333-188487 -
May. 9) (BR. 02)
S-8 National CineMedia, Inc., 9110 E. NICHOLS AVE., SUITE 200, CENTENNIAL,
CO, 80112, (303) 792-3600 - 0 ($44,296,000.00) Equity,
(File 333-188488 - May. 9) (BR. 11C)
S-8 FURMANITE CORP, 10370 RICHMOND AVENUE, SUITE 600, HOUSTON, TX, 77042,
713-634-7777 - 0 ($13,780,000.00) Equity, (File 333-188489 - May. 9)
(BR. 06C)
S-8 LANTRONIX INC, 167 TECHNOLOGY DRIVE, IRVINE, CA, 92618, 9494533990 -
4,043,094 ($6,695,683.56) Equity, (File 333-188490 - May. 9) (BR. 03B)
S-8 NPS PHARMACEUTICALS INC, 550 HILLS DRIVE, BEDMINSTER, NJ, 07921,
(908) 450-5300 - 0 ($46,322,500.00) Equity, (File 333-188491 - May. 9)
(BR. 01B)
S-3 U.S. Auto Parts Network, Inc., 16941 KEEGAN AVE, CARSON, CA, 90746,
(310) 735-0085 - 0 ($6,312,496.00) Equity, (File 333-188492 - May. 9)
(BR. 02B)
S-1 Sprouts Farmers Markets, LLC, 11811 N. TATUM BOULEVARD SUITE 2400,
PHOENIX, AZ, 85028, 480-814-8016 - 0 ($300,000,000.00) Equity,
(File 333-188493 - May. 9) (BR. )
S-8 TETRA TECHNOLOGIES INC, 24955 INTERSTATE 45 NORTH, THE WOODLANDS, TX,
77380, 2813671983 - 3,400,000 ($29,682,000.00) Equity,
(File 333-188494 - May. 9) (BR. 04A)
S-8 GREEN DOT CORP, 3465 E. FOOTHILL BLVD, PASADENA, CA, 91107,
6267652000 - 1,439,776 ($24,598,573.00) Equity, (File 333-188495 -
May. 9) (BR. 07C)
S-3 Ares Commercial Real Estate Corp, TWO NORTH LASALLE STREET, STE 925,
CHICAGO, IL, 60602, 312.324.5900 -
0 ($1,500,000,000.00) Unallocated (Universal) Shelf, (File 333-188496 -
May. 9) (BR. 08)
S-1 SEQUENTIAL BRANDS GROUP, INC., 1065 AVENUE OF AMERICAS, SUITE 1705,
NEW YORK, NY, 10018, (646) 564-2577 -
4,966,667 ($30,694,002.00) Equity, (File 333-188497 - May. 9) (BR. 09A)
S-1 Venaxis, Inc., 1585 S. PERRY STREET, CASTLE ROCK, CO, 80104,
(303) 794-2000 - 0 ($23,000,000.00) Equity, (File 333-188498 - May. 9)
(BR. 01B)
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
30DC, INC. MD 7.01,9.01 05/07/13
AAON INC NV 2.02,7.01,9.01 05/09/13
AASTROM BIOSCIENCES INC MI 2.02,9.01 05/08/13
ACCESS PHARMACEUTICALS INC DE 5.07 05/07/13
ACELRX PHARMACEUTICALS INC DE 2.02,9.01 05/08/13
ACNB CORP PA 5.07,7.01,9.01 05/07/13
ACORDA THERAPEUTICS INC 8.01,9.01 05/09/13
ACORN ENERGY, INC. DE 2.02,5.02,9.01 05/07/13
ADA-ES INC CO 2.02,9.01 05/08/13
ADVISORY BOARD CO DE 2.02,8.01,9.01 05/09/13
AEROFLEX HOLDING CORP. DE 2.02,9.01 05/09/13
AES CORP DE 2.02,7.01,9.01 05/09/13
Affinia Group Intermediate Holdings I DE 2.02,9.01 05/09/13
AFLAC INC GA 5.07 05/06/13
AGREE REALTY CORP DE 5.03,5.07,9.01 05/06/13
AIR LEASE CORP DE 2.02,9.01 05/09/13
AIR METHODS CORP DE 2.02,9.01 05/09/13
ALBEMARLE CORP VA 1.01,2.03 05/09/13
ALCOA INC PA 7.01,9.01 05/09/13
ALERE INC. DE 2.02,9.01 05/09/13
Aleris Corp DE 2.02,7.01,9.01 05/09/13
Alexander & Baldwin, Inc. HI 2.02,9.01 05/09/13
Alexander & Baldwin, Inc. HI 7.01,9.01 05/09/13
ALIMERA SCIENCES INC DE 2.02,9.01 05/09/13
ALL GRADE MINING, INC. CO 7.01 05/09/13
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,9.01 05/09/13
Alon Refining Krotz Springs, Inc. DE 2.02,9.01 05/08/13
Alon USA Energy, Inc. DE 2.02,9.01 05/08/13
Altisource Asset Management Corp VI 2.02,9.01 05/09/13
Altisource Residential Corp 2.02,9.01 05/09/13
AMARIN CORP PLC\UK X0 2.02,9.01 05/09/13
AMBIENT CORP /NY DE 5.02 05/08/13
AMC Networks Inc. DE 2.02,9.01 05/09/13
Ameresco, Inc. DE 2.02,9.01 05/09/13
AMERICAN APPAREL, INC DE 2.02,9.01 05/08/13
AMERICAN APPAREL, INC DE 7.01,9.01 05/09/13
American Electric Technologies Inc FL 2.02,9.01 05/07/13
AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 05/08/13
AMERICAN PACIFIC CORP DE 2.02,9.01 05/09/13
AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 05/09/13
AMES NATIONAL CORP IA 8.01,9.01 05/08/13
AMETEK INC/ DE 5.07,9.01 05/08/13
AMICUS THERAPEUTICS INC DE 2.02,9.01 05/09/13
Anacor Pharmaceuticals, Inc. DE 2.02,9.01 05/09/13
ANADIGICS INC DE 5.07,9.01 05/09/13
ANALYSTS INTERNATIONAL CORP 2.02,9.01 05/09/13
ANN INC. DE 2.02,9.01 05/09/13
APACHE CORP DE 2.02,9.01 05/09/13
Apollo Commercial Real Estate Finance MD 8.01,9.01 05/07/13
Apollo Residential Mortgage, Inc. MD 5.07 05/07/13
APPLE REIT SIX INC 5.07,8.01,9.01 05/09/13
AQUA AMERICA INC PA 8.01 05/08/13
ARBOR REALTY TRUST INC MD 3.03,5.03,8.01,9.01 05/06/13
ARCA biopharma, Inc. DE 3.01 05/02/13 AMEND
ARKANSAS BEST CORP /DE/ DE 7.01 05/08/13
Armored AutoGroup Inc. DE 7.01,9.01 05/08/13
Armored AutoGroup Inc. DE 2.02,9.01 05/09/13
Armour Residential REIT, Inc. MD 7.01,9.01 05/09/13
ARROWHEAD RESEARCH CORP DE 2.02,9.01 05/09/13
Ascent Solar Technologies, Inc. DE 2.02,9.01 05/09/13
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 05/09/13
ASSOCIATED ESTATES REALTY CORP OH 5.07 05/08/13
ASSOCIATED MATERIALS, LLC DE 8.01,9.01 05/09/13
ASTA FUNDING INC DE 2.02,9.01 05/09/13
ATLANTIC POWER CORP A1 7.01,9.01 05/09/13
ATLANTIC POWER CORP A1 2.02,9.01 05/08/13 AMEND
Atlas Energy, L.P. DE 2.02,9.01 05/08/13
Atlas Resource Partners, L.P. DE 2.02,9.01 05/08/13
ATOSSA GENETICS INC DE 5.07 05/06/13
ATRION CORP DE 2.02,9.01 05/09/13
AV Homes, Inc. DE 2.02,9.01 05/08/13
AVAYA INC DE 2.02,9.01 05/09/13
AVX Corp DE 5.02 05/09/13
Bacterin International Holdings, Inc. DE 2.02,9.01 05/09/13
BANCORPSOUTH INC MS 7.01,9.01 05/08/13
Be Active Holdings, Inc. DE 4.01,9.01 05/08/13
bebe stores, inc. CA 2.02,9.01 05/09/13
BELO CORP DE 5.07 05/07/13
Bering Growth CORP E9 1.01,9.01 05/03/13
BERKSHIRE HILLS BANCORP INC DE 5.07,7.01,8.01,9.01 05/09/13
BG Medicine, Inc. DE 1.01,2.02,8.01,9.01 05/08/13
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 05/09/13
BIRNER DENTAL MANAGEMENT SERVICES INC CO 2.02,9.01 05/09/13
BLACK BOX CORP DE 2.02,9.01 05/09/13
Black Elk Energy Offshore Operations, TX 5.03,9.01 05/03/13
BlackRock Inc. DE 5.02 05/09/13
BLUE WATER VENTURES INTERNATIONAL INC NV 7.01,9.01 05/08/13
BlueLinx Holdings Inc. DE 7.01,9.01 05/09/13
BOINGO WIRELESS INC DE 2.02,9.01 05/09/13
BOISE CASCADE Co DE 8.01,9.01 05/09/13
BOOKS A MILLION INC DE 5.02,8.01,9.01 05/08/13
BOSTON SCIENTIFIC CORP DE 5.07 05/07/13
BRIGHT HORIZONS FAMILY SOLUTIONS INC. DE 2.02,9.01 05/09/13
BRINKER INTERNATIONAL INC DE 8.01,9.01 05/08/13
BRINKS CO VA 5.02,5.07,7.01,9.01 05/03/13
BROADCOM CORP CA 8.01 05/08/13
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 05/07/13
BROADWIND ENERGY, INC. DE 2.02,7.01,9.01 05/09/13
BROOKLINE BANCORP INC DE 5.07 05/08/13
BROOKS AUTOMATION INC DE 2.02,5.02,9.01 05/07/13
BRUNSWICK CORP DE 8.01,9.01 05/08/13
BSQUARE CORP /WA WA 2.02,9.01 05/09/13
C H ROBINSON WORLDWIDE INC DE 8.01,9.01 05/09/13
CA, INC. DE 7.01,9.01 05/09/13
CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 05/09/13
Caldera Pharmaceuticals Inc DE 1.01,3.02,9.01 05/03/13
CALLIDUS SOFTWARE INC DE 5.02 05/03/13
CAMERON INTERNATIONAL CORP DE 5.07 05/09/13
Capall Stables, Inc. DE 8.01 03/08/13
CAPELLA EDUCATION CO 5.02,5.07 05/07/13
Car Charging Group, Inc. NV 1.01,2.01, 04/22/13
3.02,8.01,9.01
Carbon Sciences, Inc. NV 5.02 05/04/13
CAREFUSION Corp 2.02,7.01,9.01 05/09/13
Carlyle GMS Finance, Inc. MD 3.02,5.03,9.01 05/08/13
Carlyle Group L.P. DE 2.02,9.01 05/09/13
CASH AMERICA INTERNATIONAL INC TX 8.01,9.01 05/08/13
CCFNB BANCORP INC PA 5.07 05/07/13
CDW Corp DE 2.02,9.01 05/09/13
CEDAR REALTY TRUST, INC. MD 2.02,7.01,9.01 05/09/13
Celsion CORP DE 2.02,9.01 05/09/13
CENTRAL EUROPEAN DISTRIBUTION CORP DE 4.02,8.01 05/09/13
CF Industries Holdings, Inc. DE 2.02,9.01 05/09/13
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 05/09/13
CHESAPEAKE ENERGY CORP OK 8.01,9.01 05/08/13
CHESAPEAKE GRANITE WASH TRUST DE 2.02,9.01 05/09/13
CHRISTOPHER & BANKS CORP DE 1.01,1.02,3.03, 05/09/13
5.03,8.01,9.01
CHYRON CORP NY 2.02,9.01 05/09/13
CINCINNATI BELL INC OH 2.02,7.01,9.01 05/09/13
CINCINNATI BELL INC OH 5.07 05/03/13
CITIZENS BANCSHARES CORP /GA/ GA 8.01,9.01 05/09/13
CLAIRES STORES INC DE 2.02,7.01 05/09/13
CLAIRES STORES INC DE 8.01,9.01 05/09/13
Clean Coal Technologies Inc. NV 5.07 05/08/13
Clean Energy Fuels Corp. DE 5.07 05/07/13
CLEAN HARBORS INC MA 5.02,5.07,9.01 05/06/13
CleanTech Biofuels, Inc. 5.02 05/03/13
Clearwater Paper Corp DE 5.02,5.07 05/09/13
CLEVELAND BIOLABS INC DE 2.02,5.02,9.01 05/07/13
CLIFTON SAVINGS BANCORP INC 2.02,9.01 05/08/13
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 05/07/13
COEUR D ALENE MINES CORP ID 2.02,9.01 05/09/13
Cole Credit Property Trust II Inc MD 1.01,9.01 05/08/13
Coleman Cable, Inc. DE 2.02,9.01 05/09/13
COLLECTORS UNIVERSE INC DE 2.02,9.01 05/08/13
COLUMBIA LABORATORIES INC DE 2.02,9.01 05/09/13
COMMERCIAL METALS CO DE 1.01,8.01,9.01 05/06/13
CommonWealth REIT MD 8.01,9.01 05/08/13
Community Partners Bancorp NJ 8.01,9.01 05/09/13
Community Partners Bancorp NJ 5.07 05/08/13
COMPREHENSIVE CARE CORP DE 1.01,2.03,3.02,9.01 05/03/13
COMPUTER PROGRAMS & SYSTEMS INC DE 5.07 05/09/13
COMPUTER TASK GROUP INC NY 8.01,9.01 05/09/13
Consolidated Communications Holdings, DE 2.02,9.01 05/09/13
CONTINENTAL RESOURCES, INC OK 2.02,7.01,9.01 05/08/13
COOPER TIRE & RUBBER CO DE 2.02,9.01 05/09/13
CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 05/09/13
CORNERSTONE THERAPEUTICS INC DE 1.01 05/09/13
CORRECTIONS CORP OF AMERICA MD 2.02,9.01 05/08/13
CREDITRISKMONITOR COM INC NV 2.02,9.01 05/09/13
Crestwood Midstream Partners LP DE 1.01,9.01 05/05/13
CRIMSON EXPLORATION INC. 5.07 05/08/13
CROSSTEX ENERGY INC DE 1.01,2.02, 05/08/13
2.03,7.01,9.01
CROSSTEX ENERGY LP DE 2.02,7.01,9.01 05/08/13
CTPARTNERS EXECUTIVE SEARCH INC. DE 2.02,9.01 05/09/13
Customers Bancorp, Inc. PA 8.01,9.01 05/09/13
CYTORI THERAPEUTICS, INC. DE 2.02,9.01 05/09/13
CYTRX CORP DE 2.02,9.01 05/09/13
DAKOTA PLAINS HOLDINGS, INC. NV 2.02,9.01 05/09/13
DARLING INTERNATIONAL INC DE 2.02,9.01 05/09/13
DARLING INTERNATIONAL INC DE 5.07 05/07/13
DAVI LUXURY BRAND GROUP, INC. NV 3.02 03/26/13
DAWSON GEOPHYSICAL CO TX 7.01,9.01 05/07/13
DEAN FOODS CO DE 2.02,9.01 05/09/13
DELCATH SYSTEMS, INC. DE 2.02,9.01 05/08/13
Delek US Holdings, Inc. 2.02,9.01 05/08/13
DENDREON CORP DE 2.02,9.01 05/09/13
DENTSPLY INTERNATIONAL INC /DE/ DE 2.02,9.01 05/08/13
DFC GLOBAL CORP. DE 5.02,8.01,9.01 05/08/13
DiamondRock Hospitality Co 5.07 05/08/13
DISH Network CORP NV 2.02,9.01 05/09/13
Diversicare Healthcare Services, Inc. DE 2.02,9.01 05/09/13
DOLE FOOD CO INC DE 8.01,9.01 05/09/13
DORAL FINANCIAL CORP PR 2.02,7.01,9.01 05/08/13
DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 05/09/13
DOT HILL SYSTEMS CORP DE 2.02,5.07,9.01 05/06/13
DOT HILL SYSTEMS CORP DE 2.02,8.01,9.01 05/09/13
DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 05/08/13
DUNE ENERGY INC DE 3.02 05/08/13
Durata Therapeutics, Inc. DE 2.02,9.01 05/09/13
E TRADE FINANCIAL Corp DE 5.07,8.01,9.01 05/08/13
E-Debit Global Corp. CO 8.01,9.01 05/09/13
E-Debit Global Corp. CO 8.01,9.01 05/09/13 AMEND
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 05/08/13
EDAC TECHNOLOGIES CORP WI 2.01,3.01,3.02, 05/06/13
3.03,5.01,5.02,5.03,9.01
EL PASO ELECTRIC CO /TX/ TX 5.07,8.01,9.01 05/09/13
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 05/09/13
EMCORE CORP NJ 2.02,7.01,9.01 05/09/13
Emdeon Inc. DE 2.02,9.01 05/09/13
EMERSON RADIO CORP DE 8.01 04/15/13
EMISPHERE TECHNOLOGIES INC DE 3.02,8.01,9.01 05/07/13
ENB Financial Corp PA 5.07,7.01,9.01 05/07/13
ENCORE CAPITAL GROUP INC DE 2.02,9.01 05/09/13
ENCORE WIRE CORP DE 5.07 05/07/13
ENDEAVOUR INTERNATIONAL CORP NV 2.02,7.01,9.01 05/09/13
ENDURANCE SPECIALTY HOLDINGS LTD 5.05,5.07,9.01 05/09/13
Energy Transfer Partners, L.P. DE 1.01,9.01 05/09/13
EnergySolutions, Inc. DE 7.01,8.01,9.01 05/09/13
ENSURGE INC NV 5.02 05/08/13
ENTEGRIS INC DE 5.07 05/08/13
ENTERGY CORP /DE/ DE 5.07 05/03/13
ENTERPRISE FINANCIAL SERVICES CORP DE 7.01,9.01 05/08/13
ENTERPRISE FINANCIAL SERVICES CORP DE 5.02,5.07,9.01 05/08/13
EP Energy LLC DE 2.02,7.01,9.01 05/09/13
EPAM Systems, Inc. DE 2.02,9.01 05/08/13 AMEND
EQUAL ENERGY LTD. A0 2.02,9.01 05/09/13
EQUITY LIFESTYLE PROPERTIES INC MD 5.07,8.01 05/08/13
ERHC Energy Inc CO 8.01,9.01 05/06/13
Erickson Air-Crane Inc. DE 2.02,9.01 05/09/13
ESCO TECHNOLOGIES INC MO 7.01 05/09/13
ExactTarget, Inc. DE 2.02,9.01 05/09/13
Exelis Inc. IN 5.07 05/08/13
Federal Home Loan Bank of Atlanta X1 2.03 05/06/13
Federal Home Loan Bank of Boston X1 2.03 05/07/13
Federal Home Loan Bank of Chicago X1 2.03 05/06/13
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/07/13
Federal Home Loan Bank of Dallas 2.03,9.01 05/03/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/07/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/09/13
Federal Home Loan Bank of New York X1 8.01,9.01 05/09/13
Federal Home Loan Bank of New York X1 2.03,9.01 05/06/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/06/13
Federal Home Loan Bank of San Francis X1 2.03 05/06/13
Federal Home Loan Bank of Seattle 2.03 05/06/13
Federal Home Loan Bank of Topeka 2.03,9.01 05/06/13
FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 05/09/13
FEDERAL REALTY INVESTMENT TRUST MD 8.01,9.01 05/06/13
FEDERATED NATIONAL HOLDING CO FL 2.02,9.01 05/09/13
FEEL GOLF CO INC CA 8.01 05/08/13
FEI CO OR 1.01,5.07,9.01 05/09/13
FERRO CORP OH 1.01,5.02,9.01 05/08/13
FIDELITY D & D BANCORP INC PA 5.07,7.01,9.01 05/07/13
FIRST BANCSHARES INC /MS/ MS 8.01,9.01 05/09/13
FIRST CITIZENS BANCSHARES INC /DE/ DE 2.02,7.01,9.01 05/09/13
FIRST INDEPENDENCE CORP. FL 1.01,2.01,3.02, 05/03/13
5.01,5.02,5.03,5.06,9.01
FIRST UNITED CORP/MD/ MD 2.02,7.01,9.01 05/07/13
FOOT LOCKER INC NY 8.01,9.01 05/08/13
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 05/09/13
Franklin Financial Corp VA 2.02,9.01 05/06/13
Fraternity Community Bancorp Inc 2.02,9.01 05/08/13
FRONTIER COMMUNICATIONS CORP DE 5.07 05/09/13
Full Circle Capital Corp MD 2.02,9.01 05/09/13
FULLNET COMMUNICATIONS INC OK 5.02 05/09/13
FX ENERGY INC NV 8.01,9.01 05/09/13
Galena Biopharma, Inc. 2.02,9.01 05/09/13
GAP INC DE 2.02,9.01 05/09/13
Geeknet, Inc DE 5.07 05/07/13
GENTIVA HEALTH SERVICES INC DE 2.02,9.01 05/09/13
GigOptix, Inc. DE 2.02,9.01 05/09/13
GLEACHER & COMPANY, INC. DE 2.02,9.01 05/09/13
Global Eagle Entertainment Inc. DE 2.02,7.01,9.01 05/09/13
GLOBAL PARTNERS LP 2.02,7.01,9.01 05/09/13
GOLD RESOURCE CORP CO 2.02,9.01 05/08/13
GOLDEN STAR RESOURCES LTD 2.02,9.01 05/08/13
GOLDFIELD CORP DE 2.02,9.01 05/09/13
Gramercy Property Trust Inc. MD 5.03,9.01 10/16/12
GRANITE CONSTRUCTION INC DE 2.02,9.01 05/09/13
GREAT AMERICAN ENERGY, INC. 1.01 05/03/13
GREAT CHINA MANIA HOLDINGS, INC. FL 1.01,9.01 05/06/13
GREAT PLAINS ENERGY INC MO 2.02,9.01 05/09/13
GREER BANCSHARES INC SC 1.02 05/03/13
GSE Holding, Inc. DE 2.02,5.07,7.01,9.01 05/07/13
GSI GROUP INC A3 7.01,9.01 05/09/13
GSI GROUP INC A3 2.01,9.01 05/03/13
Guaranty Bancorp DE 5.07,7.01,9.01 05/07/13
HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 05/08/13
HAMPSHIRE GROUP LTD DE 2.02,5.02,8.01,9.01 05/03/13
HARBINGER GROUP INC. DE 2.02,9.01 05/09/13
HARSCO CORP DE 2.02,9.01 05/09/13
HCA Holdings, Inc. 1.01,2.03,9.01 05/03/13
HCA Holdings, Inc. 5.02,9.01 05/09/13
HECLA MINING CO/DE/ DE 1.04 05/05/13
HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 05/09/13
HEMISPHERE MEDIA GROUP, INC. DE 7.01,9.01 05/09/13
HNI CORP IA 5.02,5.07,9.01 05/07/13
HOME BANCORP, INC. LA 5.02,5.07 05/08/13
Homeowners Choice, Inc. FL 1.01 04/23/13
HOOKER FURNITURE CORP VA 5.02 05/05/13
HOT TOPIC INC /CA/ CA 2.02,9.01 05/08/13
Houston Wire & Cable CO 9.01 05/09/13
Howard Hughes Corp DE 2.02,9.01 05/09/13
Huron Consulting Group Inc. DE 5.07 05/03/13
HYPERION THERAPEUTICS INC DE 2.02,9.01 05/09/13
IBERIABANK CORP LA 5.02,5.07,9.01 05/06/13
ID SYSTEMS INC DE 2.02,9.01 05/09/13
IDERA PHARMACEUTICALS, INC. DE 8.01 05/08/13
IMPAC MORTGAGE HOLDINGS INC MD 2.02,7.01,9.01 05/08/13
IMPAC MORTGAGE HOLDINGS INC MD 5.02,9.01 05/03/13
INERGY L P DE 1.01,3.02, 05/05/13
5.02,8.01,9.01
INERGY MIDSTREAM, L.P. DE 1.01,5.02,8.01,9.01 05/05/13
INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 05/09/13
INFINITY PROPERTY & CASUALTY CORP OH 5.02,9.01 05/08/13
INLAND REAL ESTATE CORP MD 2.02,7.01,8.01,9.01 05/09/13
INNERWORKINGS INC 2.02,9.01 05/09/13
IntelGenx Technologies Corp. DE 5.07 05/09/13
INTERNATIONAL BANCSHARES CORP TX 2.02,9.01 05/09/13
INTERNATIONAL MONETARY SYSTEMS LTD /W WI 5.07 05/07/13
INUVO, INC. NV 2.02,7.01,9.01 05/09/13
Invesco Ltd. D0 7.01,9.01 05/09/13
IPARTY CORP DE 2.01,3.01,3.03, 05/09/13
5.01,5.02,5.03,5.07,
8.01,9.01
ISC8 INC. /DE DE 1.01,2.03,3.02,9.01 04/29/13
ISIS PHARMACEUTICALS INC DE 8.01,9.01 05/08/13
iTalk Inc. NV 8.01,9.01 05/09/13
IXIA CA 4.01,9.01 05/03/13
J.P. Morgan Chase Commercial Mortgage DE 8.01,9.01 05/09/13
J2 GLOBAL, INC. DE 2.02,5.07,7.01,9.01 05/07/13
JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 05/09/13
Jones Lang LaSalle Income Property Tr MD 5.07,7.01,8.01 05/07/13
JONES SODA CO WA 2.02,9.01 05/09/13
JOURNAL COMMUNICATIONS INC 5.03,5.07,9.01 05/07/13
JTH Holding, Inc. DE 7.01,9.01 05/09/13
JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01,9.01 05/09/13
KANSAS CITY SOUTHERN DE 7.01,9.01 05/09/13
KAYAK Software Corp DE 8.01,9.01 05/09/13
KAYDON CORP DE 2.02,9.01 05/09/13
KAYDON CORP DE 5.07 05/08/13
KCAP Financial, Inc. DE 5.07 05/06/13
KEATING CAPITAL INC 7.01,9.01 05/09/13
KELLY SERVICES INC DE 5.07,8.01 05/08/13
KEMET CORP DE 2.02,7.01,9.01 05/09/13
KEMET CORP DE 2.05,9.01 05/06/13
KEMET CORP DE 5.02,9.01 05/03/13
KEWAUNEE SCIENTIFIC CORP /DE/ DE 1.01,2.03,9.01 05/06/13
KINDER MORGAN, INC. DE 5.07 05/09/13
Kior Inc DE 2.02,7.01,9.01 05/09/13
Kips Bay Medical, Inc. DE 2.02,9.01 05/09/13
Kosmos Energy Ltd. D0 2.02,7.01,9.01 05/09/13
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 05/06/13
KRONOS WORLDWIDE INC 5.07,7.01,9.01 05/08/13
KRONOS WORLDWIDE INC 2.02,7.01,9.01 05/08/13
KRONOS WORLDWIDE INC 7.01,9.01 05/09/13
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 05/08/13
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 05/09/13
LAKELAND BANCORP INC NJ 5.07 05/08/13
LAKES ENTERTAINMENT INC MN 2.02,9.01 05/09/13
LANDEC CORP \CA\ CA 5.02 05/06/13
LANNETT CO INC DE 2.02,9.01 05/08/13
Laredo Petroleum Holdings, Inc. DE 2.02,7.01,9.01 05/09/13
LEHMAN ABS CORP KRAFT FOODS NOTE BACK DE 8.01,9.01 05/01/13
LEUCADIA NATIONAL CORP NY 8.01,9.01 05/09/13
LEXICON PHARMACEUTICALS, INC./DE DE 5.07 05/09/13
Lifevantage Corp CO 2.02,9.01 05/09/13
Limelight Networks, Inc. DE 2.02,9.01 05/09/13
LIN TV CORP. DE 2.02,8.01,9.01 05/09/13
LIPOSCIENCE INC DE 2.02,9.01 05/09/13
LOCAL Corp DE 2.02,9.01 05/09/13
Lone Pine Resources Inc. DE 2.02,9.01 05/09/13
LUNA INNOVATIONS INC DE 2.02,9.01 05/09/13
LYRIS, INC. 2.02,9.01 05/09/13
MAGNUM HUNTER RESOURCES CORP DE 7.01 05/08/13
Maiden Holdings, Ltd. D0 2.02,8.01,9.01 05/08/13
Main Street Capital CORP MD 8.01,9.01 05/09/13
Main Street Capital CORP MD 2.02,9.01 05/09/13
MAM SOFTWARE GROUP, INC. DE 7.01,9.01 05/09/13
MamaMancini's Holdings, Inc. NV 7.01,9.01 05/03/13
MANAGEMENT NETWORK GROUP INC 2.02,9.01 05/09/13
MANNATECH INC TX 2.02,9.01 05/09/13
MANNKIND CORP DE 2.02,9.01 05/09/13
Market Leader, Inc. WA 2.02,8.01,9.01 05/09/13
MARKWEST ENERGY PARTNERS L P 2.02,9.01 05/08/13
MARKWEST ENERGY PARTNERS L P 7.01,8.01 05/08/13
MATRIX SERVICE CO DE 2.02,9.01 05/08/13
MBIA INC CT 2.02,7.01,9.01 05/09/13
McEwen Mining Inc. CO 2.02,9.01 05/09/13
MDC HOLDINGS INC DE 1.01,8.01,9.01 05/08/13
MEDICINOVA INC DE 7.01 05/09/13
MEDIFAST INC DE 2.02,9.01 05/08/13
MEDIVATION, INC. DE 2.02,9.01 05/09/13
MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 05/09/13
MEREDITH CORP IA 7.01,9.01 05/09/13
METALICO INC 2.02,9.01 05/09/13
Mexus Gold US NV 8.01 05/08/13
MICRON TECHNOLOGY INC DE 8.01 05/06/13
Midas Medici Group Holdings, Inc. 1.01 04/24/13
MIDDLEBY CORP DE 2.02,9.01 05/08/13
Midway Gold Corp A1 7.01,9.01 05/09/13
MISSISSIPPI POWER CO MS 4.02 05/08/13
Modern Mobility Aids, Inc. NV 5.02 05/08/13
Molycorp, Inc. DE 2.02,9.01 05/09/13
MONARCH COMMUNITY BANCORP INC MD 3.03,5.03,7.01,9.01 05/07/13
Moxian Group Holdings, Inc. FL 4.01,9.01 05/07/13
MPG Office Trust, Inc. 2.02,7.01,9.01 05/08/13
MRC GLOBAL INC. DE 7.01,9.01 05/09/13
MRI INTERVENTIONS, INC. DE 2.02,7.01,9.01 05/09/13
MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01 05/08/13
MSB FINANCIAL CORP. X1 2.02,9.01 05/09/13
NASB FINANCIAL INC MO 2.02,9.01 05/09/13
NATIONAL FINANCIAL PARTNERS CORP 8.01 05/07/13
NATIONAL HEALTHCARE CORP DE 2.02,8.01,9.01 05/08/13
NATIONAL HEALTHCARE CORP DE 5.07 05/08/13
Nationstar Mortgage Holdings Inc. DE 1.01,9.01 05/06/13
Natural Grocers by Vitamin Cottage, I DE 2.02,9.01 05/09/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 05/08/13
NBT BANCORP INC DE 7.01 05/07/13
NEAH POWER SYSTEMS, INC. NV 8.01,9.01 05/09/13
Neenah Paper Inc DE 2.02,9.01 05/08/13
NEKTAR THERAPEUTICS DE 2.02,9.01 05/09/13
NELNET INC NE 2.02,9.01 05/09/13
NEOGENOMICS INC NV 7.01,9.01 05/09/13
NEOPHOTONICS CORP DE 2.02,9.01 05/09/13
NeoStem, Inc. DE 2.02,7.01,9.01 05/09/13
NET 1 UEPS TECHNOLOGIES INC 2.02,7.01,9.01 05/09/13
NETSOL TECHNOLOGIES INC NV 2.02,9.01 05/09/13
Neuralstem, Inc. DE 7.01,8.01,9.01 05/08/13
New Mountain Finance Corp DE 5.07 05/06/13
NEW YORK MORTGAGE TRUST INC MD 7.01,9.01 05/08/13
NEWS CORP 8.01,9.01 05/08/13
NewStar Financial, Inc. 5.07 05/07/13
NGL Energy Partners LP DE 1.01,5.02,9.01 05/06/13
NICHOLAS FINANCIAL INC FL 2.02,9.01 05/09/13
NICOLET BANKSHARES INC WI 2.02,9.01 05/08/13
Nielsen Holdings N.V. P7 5.02,5.07,9.01 05/07/13
Niska Gas Storage Partners LLC DE 2.02,9.01 05/09/13
NL INDUSTRIES INC NJ 2.02,7.01,9.01 05/08/13
NORCRAFT COMPANIES LP 2.02,9.01 05/09/13
NORTEK INC DE 5.07 05/09/13
NORTEK INC DE 2.02,9.01 05/09/13
NORTHERN OIL & GAS, INC. 1.01,8.01,9.01 05/08/13
Nova Lifestyle, Inc. NV 5.02,9.01 05/03/13
NPS PHARMACEUTICALS INC DE 2.02,9.01 05/09/13
NPS PHARMACEUTICALS INC DE 5.02,5.07,9.01 05/07/13
NTN BUZZTIME INC DE 2.02,9.01 05/09/13
NUMEREX CORP /PA/ PA 2.02,9.01 05/09/13
NVIDIA CORP DE 2.02,9.01 05/09/13
O REILLY AUTOMOTIVE INC 5.02,5.03,5.07,9.01 05/07/13
OFFICIAL PAYMENTS HOLDINGS, INC. DE 2.02,9.01 05/09/13
Oncothyreon Inc. DE 2.02,9.01 05/09/13
One Horizon Group, Inc. PA 2.02,9.01 05/09/13
ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 1.01,3.02,8.01,9.01 05/06/13
OPTIMER PHARMACEUTICALS INC 2.02,5.07,9.01 05/08/13
ORBCOMM Inc. DE 2.02,9.01 05/09/13
Orbitz Worldwide, Inc. DE 2.02 05/09/13
Orgenesis Inc. NV 1.01,3.02,9.01 05/06/13
ORRSTOWN FINANCIAL SERVICES INC PA 7.01,9.01 05/09/13
OUTDOOR CHANNEL HOLDINGS INC 1.01,8.01,9.01 05/08/13
Oxford Resource Partners LP 7.01,9.01 05/09/13
P&F INDUSTRIES INC DE 2.02,9.01 05/09/13
PARK ELECTROCHEMICAL CORP NY 2.02,9.01 05/09/13
PARKER DRILLING CO /DE/ DE 5.07 05/08/13
Patriot Coal CORP DE 7.01,9.01 05/09/13
PATRIOT SCIENTIFIC CORP DE 5.07,7.01 04/30/13 AMEND
PC TEL INC DE 2.02,9.01 05/08/13
PCM, INC. DE 2.02,9.01 05/09/13
PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 05/09/13
PENN VIRGINIA CORP VA 2.02,7.01,9.01 05/08/13
PennantPark Floating Rate Capital Ltd 2.02,9.01 05/09/13
PENSKE AUTOMOTIVE GROUP, INC. DE 5.02,5.07,8.01,9.01 05/09/13
PERCEPTRON INC/MI MI 2.02,9.01 05/08/13
PERFICIENT INC DE 2.02,8.01,9.01 05/09/13
Performant Financial Corp DE 2.02,9.01 05/09/13
Phillips 66 DE 5.07 05/08/13
Phillips Edison - ARC Shopping Center MD 2.02,9.01 05/09/13
PIPER JAFFRAY COMPANIES DE 5.07 05/08/13
PLAINS EXPLORATION & PRODUCTION CO DE 8.01,9.01 05/09/13
PLUM CREEK TIMBER CO INC DE 5.07 05/07/13
PMFG, Inc. DE 2.02,9.01 05/09/13
Point.360 CA 2.02,9.01 05/09/13
POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 05/09/13
Post Holdings, Inc. MO 1.01,9.01 05/09/13
PostRock Energy Corp DE 2.02,9.01 05/08/13
POWER SOLUTIONS INTERNATIONAL, INC. DE 2.02,9.01 05/09/13
PRECISION CASTPARTS CORP OR 2.02,9.01 05/09/13
PREFERRED APARTMENT COMMUNITIES INC MD 1.01,5.02,5.07,9.01 05/08/13
PRICELINE COM INC DE 2.02,9.01 05/09/13
Primoris Services Corp DE 2.02,5.02,5.07, 05/03/13
8.01,9.01
ProPhase Labs, Inc. NV 5.02,5.07,9.01 05/06/13
PUGET ENERGY INC /WA WA 5.02 05/08/13
PUMA BIOTECHNOLOGY, INC. DE 2.02,9.01 05/09/13
QC Holdings, Inc. KS 2.02,8.01,9.01 05/09/13
QCR HOLDINGS INC DE 8.01,9.01 05/09/13
RAIT Financial Trust MD 7.01,9.01 05/02/13
RAMBUS INC DE 8.01,9.01 05/08/13
Raptor Pharmaceutical Corp DE 2.02,9.01 05/08/13
RCM TECHNOLOGIES INC NV 2.02,9.01 05/09/13
READING INTERNATIONAL INC NV 2.02,9.01 05/09/13
RealD Inc. DE 8.01,9.01 05/09/13
REDWOOD TRUST INC MD 7.01 05/09/13
REGENCY CENTERS CORP FL 5.07 05/07/13
Regency Energy Partners LP DE 2.02,9.01 05/09/13
Regency Energy Partners LP DE 8.01,9.01 05/09/13
RENTECH INC /CO/ CO 2.02,9.01 05/09/13
Rentech Nitrogen Partners, L.P. DE 2.02,9.01 05/09/13
RESEARCH FRONTIERS INC DE 7.01,9.01 05/08/13
Resolute Energy Corp DE 1.01,9.01 05/08/13
Revolutions Medical CORP NV 1.01,3.02 04/26/13
RIMROCK GOLD CORP. NV 1.01,2.01, 05/03/13
3.02,8.01,9.01
ROCKWELL MEDICAL, INC. MI 1.01 05/08/13
ROI Acquisition Corp. DE 1.01,8.01,9.01 05/08/13
ROLLINS INC DE 8.01,9.01 05/07/13
ROSS STORES INC DE 2.02,9.01 05/09/13
Roundy's, Inc. DE 2.02,8.01,9.01 05/09/13
RYDER SYSTEM INC FL 5.02,5.07,9.01 05/03/13
SALIX PHARMACEUTICALS LTD 2.02,8.01,9.01 05/07/13
SAPIENT CORP DE 2.02,8.01,9.01 05/09/13
Sarepta Therapeutics, Inc. OR 2.02,9.01 05/09/13
SCHOOL SPECIALTY INC WI 1.01 05/03/13
SEABOARD CORP /DE/ DE 2.02,9.01 05/09/13
Selway Capital Acquisition Corp. DE 4.02 05/09/13
SENESCO TECHNOLOGIES INC DE 1.01,3.02,9.01 05/09/13
SEQUENOM INC DE 2.02,9.01 05/09/13
SEQUENTIAL BRANDS GROUP, INC. DE 2.01,9.01 03/28/13 AMEND
SERVICESOURCE INTERNATIONAL, INC. DE 2.02,9.01 05/09/13
Seven Seas Cruises S. DE R.L. R1 2.02 05/09/13
Shire plc 8.01,9.01 05/09/13
SL INDUSTRIES INC NJ 5.07 05/09/13
Solera National Bancorp, Inc. DE 7.01,9.01 05/09/13
SOMERSET HILLS BANCORP NJ 5.07 05/08/13
SOUNDBITE COMMUNICATIONS INC 2.02,9.01 05/09/13
Source Gold Corp. NV 5.02 05/09/13
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 05/09/13
SPIRIT REALTY CAPITAL, INC. MD 2.02,9.01 05/08/13
SPIRIT REALTY CAPITAL, INC. MD 1.01,9.01 05/08/13
SPX CORP DE 1.01,9.01 05/08/13
SquareTwo Financial Corp DE 2.02,9.01 05/09/13
STANDARD REGISTER CO OH 8.01,9.01 05/09/13
StarTek, Inc. DE 2.02,9.01 05/08/13
Starz DE 2.02,9.01 05/09/13
Starz, LLC DE 2.02,9.01 05/09/13
STEEL PARTNERS HOLDINGS L.P. DE 3.01 05/07/13
STEIN MART INC FL 2.02,5.02,9.01 05/03/13
STEMCELLS INC DE 2.02,9.01 05/09/13
STIFEL FINANCIAL CORP DE 2.01,9.01 05/09/13
STONERIDGE INC OH 2.02,7.01,9.01 05/09/13
STREAMTRACK, INC. 1.01,1.02,3.02,9.01 05/03/13
SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 05/09/13
SunCoke Energy, Inc. 5.07 05/09/13
SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 05/09/13
SUPERNUS PHARMACEUTICALS INC DE 1.01,2.03, 05/03/13
3.02,8.01,9.01
SUPERTEX INC CA 2.02,9.01 05/08/13
SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 05/09/13
SWIFT TRANSPORTATION Co 5.07 05/09/13
TANGOE INC DE 2.02,9.01 05/09/13
TELEFLEX INC DE 5.07 05/03/13
TESSCO TECHNOLOGIES INC DE 2.02,9.01 05/08/13
TETRA TECH INC DE 1.01,3.03,9.01 05/07/13
THERAGENICS CORP DE 2.02,2.05,9.01 05/08/13
THESTREET, INC. DE 2.02,9.01 05/09/13
Thompson Creek Metals CO Inc. A6 2.02,7.01,9.01 05/08/13
TIANYIN PHARMACEUTICAL CO., INC. DE 5.07,7.01 05/08/13
TOWER FINANCIAL CORP IN 5.07 05/07/13
Tower Group International, Ltd. D0 2.02,9.01 05/08/13
Tower Group International, Ltd. D0 7.01,9.01 05/09/13
TOWERSTREAM CORP DE 2.02,7.01,9.01 05/09/13
TRANSACT TECHNOLOGIES INC DE 2.02,9.01 05/09/13
Transcept Pharmaceuticals Inc DE 2.05 05/09/13 AMEND
TRANZYME INC DE 2.02,8.01,9.01 05/09/13
Travelport LTD D0 2.02,9.01 05/09/13
TreeHouse Foods, Inc. DE 2.02,5.02,7.01,9.01 05/09/13
TRIMBLE NAVIGATION LTD /CA/ CA 5.07 05/07/13
tw telecom inc. DE 8.01,9.01 05/09/13
TWO RIVERS WATER & FARMING Co CO 7.01 05/09/13
U S GLOBAL INVESTORS INC TX 2.02,9.01 05/08/13
U S PHYSICAL THERAPY INC /NV NV 2.02,8.01,9.01 05/09/13
Ubiquiti Networks, Inc. DE 2.02 05/09/13
UNION BANKSHARES INC VT 2.02,9.01 05/09/13
UNITED GUARDIAN INC DE 2.02,9.01 05/09/13
UNITY BANCORP INC /NJ/ NJ 8.01,9.01 05/09/13
UNIVERSAL DISPLAY CORP \PA\ PA 2.02 05/09/13
Univest Tech Inc. CO 4.01,9.01 05/08/13
US CONCRETE INC DE 2.02,9.01 05/09/13
US ECOLOGY, INC. DE 7.01,9.01 05/09/13
USA Compression Partners, LP 2.02,9.01 05/09/13
USA Mobility, Inc DE 2.02,8.01,9.01 05/09/13
UWHARRIE CAPITAL CORP NC 2.02,9.01 05/09/13
VALUEVISION MEDIA INC MN 5.02,9.01 05/07/13
Vanda Pharmaceuticals Inc. DE 2.02,9.01 05/09/13
Vantiv, Inc. 1.01,8.01,9.01 05/06/13
Venaxis, Inc. CO 1.01,2.03,9.01 05/09/13
VERENIUM CORP DE 2.02,9.01 05/09/13
Verso Paper Corp. DE 2.02,9.01 05/09/13
VIASYSTEMS GROUP INC DE 2.02,5.07,9.01 05/07/13
VICAL INC DE 2.02,9.01 05/09/13
VISTEON CORP DE 2.02,7.01,9.01 05/09/13
VIVUS INC CA 2.02,8.01,9.01 05/08/13
Vringo Inc DE 2.02,9.01 05/09/13
W&T OFFSHORE INC TX 5.07,9.01 05/07/13
WaferGen Bio-systems, Inc. NV 7.01,9.01 05/09/13
WAGEWORKS, INC. DE 2.02,9.01 05/09/13
WALTER INVESTMENT MANAGEMENT CORP MD 2.02,9.01 05/09/13
WASTE CONNECTIONS, INC. DE 1.01,2.03 05/06/13
WEB.COM GROUP, INC. DE 5.07 05/08/13
Wesco Aircraft Holdings, Inc 5.02,9.01 05/09/13
WFRBS Commercial Mortgage Trust 2013- 8.01,9.01 05/09/13
WHITEWAVE FOODS Co DE 2.02,9.01 05/09/13
Wikifamilies, Inc. NV 1.01 05/08/13
Willdan Group, Inc. DE 2.02,9.01 05/09/13
WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 05/06/13
Win Global Markets, Inc. NV 5.02 05/08/13
WINDSTREAM CORP DE 2.02,9.01 05/09/13
WINLAND ELECTRONICS INC MN 2.02,9.01 03/07/13
WIRELESS RONIN TECHNOLOGIES INC MN 2.02,9.01 05/09/13
WMI HOLDINGS CORP. WA 7.01,9.01 05/09/13
Wonhe High-Tech International, Inc. NV 3.02 05/02/13
XCEL ENERGY INC MN 8.01,9.01 05/09/13
XL GROUP PLC L2 7.01,9.01 05/09/13
XO GROUP INC. DE 2.02,9.01 05/09/13
XRS Corp MN 2.02 05/09/13
Xun Energy, Inc. NV 1.01,9.01 05/07/13
Yankee Holding Corp. DE 2.02,9.01 05/09/13
YCC Holdings LLC DE 2.02,9.01 05/09/13
ZOGENIX, INC. DE 2.02,9.01 05/09/13
http://www.sec.gov/news/digest/2013/dig051013.htm
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