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ENFORCEMENT PROCEEDINGSIn the Matters of Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, and Michael W. AverettOn February 27, 2012, the Commission issued six separate Orders Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Orders) against Thomas R. Fry, Bevan J. Wilde, Gary W. Hansen, Michael G. Butcher, James B. Mooring, and Michael W. Averett. The Orders find that Fry, Wilde, Hansen, Butcher, Mooring and Averett were each enjoined from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled SEC v. Mowen, Case No. 2:09-cv-00786-DB (D. UT). The Orders further find that the Commission’s complaint in SEC v. Mowen alleged, among other things, that Fry, Wilde, Hansen, Butcher, Mooring and Averett offered and sold purported high-yield promissory notes to investors using private placement memoranda that falsely stated that all the investors’ funds were being used to make collateralized domestic real estate and small business loans. Their respective private placement memoranda also falsely represented that Fry, Wilde, Hansen, Butcher, Mooring and Averett would perform due diligence on the purported investment opportunity, when in fact they performed virtually none. Contrary to the representations made to investors, the majority of funds raised were funneled by Fry to Jeffrey L. Mowen, a convicted felon and securities law recidivist who was operating a Ponzi scheme. While engaging in these securities sales, Fry, Wilde, Hansen, Butcher, Mooring and Averett were not registered as broker-dealers nor associated with a registered broker dealer. Based on the above, the Orders bar Fry, Wilde, Hansen, Butcher, Mooring and Averett from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and from participating in any offering of a penny stock. Fry, Wilde, Hansen, Butcher, Mooring and Averett consented to the issuance of the Orders without admitting or denying the findings in the Orders except they each admitted the entry of the judgment against them. (Rel. 34-66473, File No. 3-14774; 34-66474, File No. 3-14775; 34-66475, File No. 3-14776; 34-66476, File No. 3-14777; 34-66477, File No. 3-14778; 34-66478, File No. 3-14779) Court Enters Final Judgment Against Former CFO of Qwest Communications Int’l Robert S. WoodruffThe U.S. Securities and Exchange Commission announced today that the United States District Court for the District of Colorado entered a Final Judgment dated February 3, 2012, in a civil action against Robert S. Woodruff, the former chief financial officer of Qwest Communications International Inc., a Denver-based telecommunications company. Woodruff, without admitting or denying the Commission’s allegations, consented to the entry of a Final Judgment that enjoins him from violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 13b2-1 thereunder, and from aiding and abetting violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, and 13a-13 thereunder; finds that he is liable for disgorgement of $1,731,048, plus prejudgment interest of $640,427, imposes a civil penalty of $300,000; and prohibits him from acting as an officer or director of a public company for a period of five years. It is anticipated that the Commission will ask the Court to add the disgorgement, interest and penalty to a Fair Fund which was established in SEC v. Qwest Communications, Inc., Civ No. 04-cv-1267 (D. Colorado). The Commission thus far has distributed approximately $275 million from the Fair Fund to harmed investors According to the SEC’s complaint, from at least April 1, 1999 through March, 2001, Woodruff and others at Qwest engaged in a large-scale financial fraud that hid from the investing public the true source and nature of the company’s revenue and earnings growth. The complaint alleged that, although Qwest publicly touted its purported growth in services contracts which would provide a continuing revenue stream, in fact, the company fraudulently and repeatedly relied on revenue recognition from one-time sales of assets known as “IRUs” and certain equipment without making required disclosures. The complaint also alleged that Woodruff and others fraudulently and materially misrepresented Qwest’s performance and growth to the investing public. The complaint further alleged that Woodruff sold Qwest stock in violation of the insider trading prohibition of the securities laws. [SEC v. Robert S. Woodruff, et al, Civ. No. 05-cv-480-MSK-CBS (D. Colorado)] (LR-22271) Court Dismisses Remaining Claims Against Frank T. NoyesThe U.S. Securities and Exchange Commission announced today that, upon motion by the Commission, the United States District Court for the District of Colorado dismissed the remaining claims against Frank T. Noyes. Noyes was a senior manager and then director of financial reporting at Qwest Communications International Inc., a Denver-based telecommunications company, between April 1999 and September 2000 and a senior director of finance in April 2001. The Commission’s complaint alleged that in 2001 Noyes manipulated revenue by backdating a contract. The Commission’s complaint charged Noyes with violations of Section 17(a) of the Securities Act of 1933, Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 13b2-1 thereunder, and from aiding and abetting violations of Sections 13(a) and 13(b)(2) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, and 13a-13 thereunder. [SEC v. Frank T. Noyes, et al, Civ. No. 05-cv-480-MSK-CBS (D. Colorado)] (LR-22272) INVESTMENT COMPANY ACT RELEASESHenderson Global Funds, et al.An order has been issued on an application filed by Henderson Global Funds, Henderson Global Investors (North America) Inc., and Henderson Investment Management Limited under Section 12(d)(1)(J) of the Investment Company Act for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order (a) permits certain registered open-end management investment companies that operate as “funds of funds” to acquire shares of certain registered open-end management investment companies and unit investment trusts that are within and outside the same group of investment companies as the acquiring investment companies, and (b) permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29970 - February 28) DoubleLine Capital LP and DoubleLine Funds TrustAn order has been issued on an application filed by DoubleLine Capital LP and DoubleLine Funds Trust under Section 6(c) of the Investment Company Act of 1940 (Act) for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29971 - February 28) Rand Capital Corporation, et al.An order has been issued under Sections 6(c), 12(d)(1)(J), and 57(c) of the Investment Company Act of 1940 (Act) granting exemptions from sections 12(d)(1)(A) and (C), 18(a), 21(b), 57(a)(1) - (a)(3), and 61(a) of the Act; under Section 57(i) of the Act and Rule 17d-1 under the Act to permit certain joint transactions otherwise prohibited by section 57(a)(4) of the Act; and under Section 12(h) of the Securities Exchange Act of 1934 (Exchange Act) granting an exemption from section 13(a) of the Exchange Act. The order permits Rand Capital Corporation (“Rand”), a business development company (BDC), and its wholly-owned small business investment company subsidiary and any future wholly-owned BCD subsidiaries to engage in certain transactions that otherwise would be permitted if Rand and such subsidiaries were one company and to file certain reports on a consolidated basis, and permits Rand to adhere to a modified asset coverage requirement. (Rel. IC-29972 - February 28) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the International Securities Exchange, LLC to amend the Obvious Error Rule (SR-ISE-2012-10) 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 February 27. (Rel. 34-66471) A proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2012-008) to amend its Fees Schedule 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 February 27. (Rel. 34-66472) A proposed rule change (SR-Phlx-2012-24) filed by NASDAQ OMX PHLX LLC to adopt an administrative fee for the payment for order flow program 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 February 27. (Rel. 34-66484) Proposed Rule ChangesNYSE Amex LLC filed with the Securities and Exchange Commission a proposed rule change (SR-NYSEAmex-2012-10) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 amending NYSE Amex Rule 476A to update its “List of Equities Rule Violations and Fines Applicable Thereto.” Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66481) A proposed rule change filed by the Fixed Income Clearing Corporation (FICC) to make a technical correction to the rule relating to the calculation of funds-only settlement amounts for repo brokers (SR-FICC-2012-01) was filed pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 27. (Rel. 34-66485) 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 UNITED THERAPEUTICS Corp, 1040 SPRING ST, SILVER SPRING, MD, 20910, 3016089292 - 0 ($95,270,000.00) Equity, (File 333-179746 - Feb. 28) (BR. 01B) N-2 ACAP Strategic Fund, 350 MADISON AVENUE, NEW YORK, NY, 10017, 212-389-8712 - 66,716,660 ($731,881,760.00) Equity, (File 333-179747 - Feb. 28) (BR. 16) S-4 SCBT FINANCIAL CORP, 520 GERVAIS STREET, COLUMBIA, SC, 29201, 803-231-3581 - 0 ($31,250,397.00) Equity, (File 333-179748 - Feb. 28) (BR. 07B) S-4 ROWAN COMPANIES Ltd, ROWAN HOUSE PETERSEAT DRIVE, ABERDEEN, X0, AB12 3HT, 44 1224 216550 - 0 ($5,673,000,000.00) Equity, (File 333-179749 - Feb. 28) (BR. 04) S-8 FORTINET INC, 1090 KIFER ROAD, SUNNYVALE, CA, 94086, 408-235-7700 - 7,749,564 ($203,271,063.72) Equity, (File 333-179751 - Feb. 28) (BR. 03C) S-3ASR BRINKS CO, 1801 BAYBERRY COURT, P O BOX 18100, RICHMOND, VA, 23226-1800, 8042899623 - 0 ($150,000,000.00) Equity, (File 333-179752 - Feb. 28) (BR. 05A) S-8 MOMENTA PHARMACEUTICALS INC, 675 WEST KENDALL STREET, CAMBRIDGE, MA, 02142, 617 491-9700 - 0 ($29,556,663.21) Equity, (File 333-179760 - Feb. 28) (BR. 01A) S-8 TRIMAS CORP, 2486315400 - 850,000 ($19,924,000.00) Other, (File 333-179761 - Feb. 28) (BR. 06C) S-8 AMERICAN EAGLE ENERGY Corp, 2120 WEST LITTLETON BLVD.,, SUITE 300, LITTLETON,, CO, 80120, (303) 385-1230 - 6,840,000 ($5,718,775.74) Equity, (File 333-179762 - Feb. 28) (BR. 04A) F-3ASR ArcelorMittal, 19 AVE DE LA LIBERTE, L-2930 LUXEMBOURG, R.C.S. LUXEMBOURG, N4, 00000, 35247922151 - 0 ($0.00) Debt, (File 333-179763 - Feb. 28) (BR. 06C) S-8 SMITH MICRO SOFTWARE INC, 51 COLUMBIA, STE 200, ALISO VIEJO, CA, 92656, 9493625800 - 3,000,000 ($7,080,000.00) Equity, (File 333-179764 - Feb. 28) (BR. 03A) S-1 US Parts Online Inc, 2360 CORPORATE CIRCLE SUITE 400, HENDERSON, NV, 89074, 678-804-8036 - 8,000,000 ($80,000.00) Equity, (File 333-179765 - Feb. 28) (BR. ) S-3ASR SOUTHERN CO, 30 IVAN ALLEN JR. BLVD., N.W., ATLANTA, GA, 30308, 4045065000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179766 - Feb. 28) (BR. 02A) S-8 COLORADO GOLDFIELDS INC., 10920 W. ALAMEDA AVENUE, SUITE 207, LAKEWOOD, CO, 80226, 303-984-5324 - 10,500,000,000 ($2,100,000.00) Equity, (File 333-179768 - Feb. 28) (BR. 09A) S-8 JOE'S JEANS INC., 2340 SOUTH EASTERN AVENUE, -, COMMERCE, CA, 90040, 323-8373700 - 0 ($3,736,214.40) Equity, (File 333-179769 - Feb. 28) (BR. 09B) S-3ASR ALLIANCE RESOURCE PARTNERS LP, 1717 SOUTH BOULDER AVENUE, TULSA, OK, 74119, 9182957600 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-179770 - Feb. 28) (BR. 09A) S-3ASR TAL International Group, Inc., 100 MANHATTANVILLE ROAD, PURCHASE, NY, 10577, 914-251-9000 - 0 ($0.00) Equity, (File 333-179771 - Feb. 28) (BR. 06C) S-8 Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE, CA, 94085, 408-970-3400 - 0 ($42,783,476.19) Equity, (File 333-179772 - Feb. 28) (BR. 10B) S-8 REALPAGE INC, 4000 INTERNATIONAL PARKWAY, CARROLLTON, TX, 75007-1913, 972-820-3923 - 0 ($80,193,042.65) Equity, (File 333-179773 - Feb. 28) (BR. 03B) S-8 Intermec, Inc., 6001 36TH AVENUE WEST, EVERETT, WA, 98203-1264, 425-265-2400 - 2,940,753 ($22,202,685.00) Equity, (File 333-179774 - Feb. 28) (BR. 03B) S-8 Blackstone Group L.P., 345 PARK AVENUE, NEW YORK, NY, 10154, (212) 583-5000 - 0 ($209,580,390.00) Equity, (File 333-179775 - Feb. 28) (BR. 06C) S-8 NETLIST INC, 51 DISCOVERY, STE 150, IRVINE, CA, 92618, 949-435-0025 - 0 ($4,443,000.00) Equity, (File 333-179776 - Feb. 28) (BR. 10B) N-2 AllianceBernstein Multi-Manager Alternative Fund, ALLIANCEBERNSTEIN LP, 1345 AVENUE OF THE AMERICAS, NEW YORK, NY, 10105, 2129691000 - 100,000 ($1,000,000.00) Other, (File 333-179777 - Feb. 28) (BR. ) S-3 BofI Holding, Inc., 12777 HIGH BLUFF DRIVE, SUITE #100, SAN DIEGO, CA, 92130, (858) 350-6200 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, (File 333-179778 - Feb. 28) (BR. 07B) 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 ----------------------------------------------------------------------------------------- AbitibiBowater Inc. DE 5.02 02/22/12 ABOVENET INC DE 2.02,7.01,9.01 02/28/12 ACCURIDE CORP DE 8.01 02/28/12 ADAMS GOLF INC DE 1.01,5.02,7.01,9.01 02/27/12 ADAMS RESOURCES & ENERGY, INC. DE 8.01 02/23/12 AETHLON MEDICAL INC NV 7.01 02/28/12 AETNA INC /PA/ PA 5.03,9.01 02/24/12 AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02,9.01 02/24/12 ALBEMARLE CORP VA 5.02,9.01 02/24/12 ALERE INC. DE 2.02,9.01 02/27/12 ALIMERA SCIENCES INC DE 8.01,9.01 02/28/12 ALLEGHANY CORP /DE DE 4.01,9.01 02/13/12 AMEND ALLEGHENY TECHNOLOGIES INC DE 5.02 02/22/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/28/12 ALLIANCE FINANCIAL CORP /NY/ NY 8.01,9.01 02/28/12 Allied World Assurance Co Holdings, A 5.03,9.01 02/22/12 Alpha Natural Resources, Inc. DE 1.04 02/23/12 Alphatec Holdings, Inc. DE 2.02,3.01,5.02,9.01 02/22/12 Altisource Portfolio Solutions S.A. N4 8.01,9.01 02/28/12 AMBAC FINANCIAL GROUP INC DE 5.02 02/24/12 AMCOL INTERNATIONAL CORP DE 1.01,9.01 02/23/12 AMEDISYS INC DE 2.02,5.02,7.01,9.01 02/28/12 AMERICAN ORIENTAL BIOENGINEERING INC CO 5.02 02/22/12 AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 02/28/12 American Realty Capital Trust III, In MD 2.03 02/22/12 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 02/23/12 AMEND AMP Holding Inc. NV 1.01,3.02,9.01 02/23/12 AMYRIS, INC. DE 1.01,2.03,3.02 02/22/12 ANGEION CORP/MN MN 2.02,9.01 02/28/12 Antero Resources LLC DE 2.02,9.01 02/28/12 APCO OIL & GAS INTERNATIONAL INC 2.02,9.01 02/28/12 APOLLO GROUP INC AZ 7.01,9.01 02/28/12 APPLIANCE RECYCLING CENTERS OF AMERIC MN 5.02 02/23/12 AQUA AMERICA INC PA 2.02,9.01 02/27/12 ARES CAPITAL CORP MD 2.02,7.01,9.01 02/28/12 ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 02/28/12 ASHFORD HOSPITALITY TRUST INC MD 5.02 02/21/12 ASHFORD HOSPITALITY TRUST INC MD 1.01,2.03 02/21/12 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/28/12 ASIAINFO-LINKAGE, INC DE 8.01,9.01 02/28/12 Atlas Energy, L.P. DE 2.02,9.01 02/27/12 Atlas Resource Partners, L.P. 2.02,9.01 02/27/12 AUTOZONE INC NV 2.02,9.01 02/28/12 AVALONBAY COMMUNITIES INC MD 8.01,9.01 02/28/12 AVID TECHNOLOGY, INC. DE 5.02,9.01 02/23/12 Banks.com, Inc. FL 1.01,9.01 02/26/12 BEAZER HOMES USA INC DE 8.01,9.01 02/28/12 BERRY PETROLEUM CO DE 8.01 02/24/12 BIG 5 SPORTING GOODS CORP DE 2.02,9.01 02/28/12 BINGO.COM LTD. Y6 1.01 02/27/12 BIOCANCELL THERAPEUTICS INC. 8.01 02/23/12 BIOCANCELL THERAPEUTICS INC. 8.01 01/19/12 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 02/28/12 BIOLASE TECHNOLOGY INC DE 1.01,1.02,2.02,9.01 02/22/12 BLUE DOLPHIN ENERGY CO DE 3.01,9.01 02/24/12 Bluerock Enhanced Multifamily Trust, MD 1.01,2.03 02/28/12 BOISE INC. DE 2.02,8.01,9.01 02/28/12 BOISE INC. DE 2.02,9.01 02/28/12 AMEND Bonds.com Group, Inc. DE 1.01,5.02,9.01 02/22/12 BOVIE MEDICAL CORP DE 8.01,9.01 02/22/12 BreitBurn Energy Partners L.P. DE 2.02,9.01 02/28/12 BROADCAST INTERNATIONAL INC UT 1.01,2.03,3.02,9.01 02/28/12 BTU INTERNATIONAL INC DE 2.02,9.01 02/28/12 CALIX, INC 5.02,9.01 02/23/12 Campus Crest Communities, Inc. MD 2.02,9.01 02/28/12 CARRIZO OIL & GAS INC TX 2.02,9.01 02/28/12 CARROLS RESTAURANT GROUP, INC. 8.01 02/27/12 CARROLS RESTAURANT GROUP, INC. 2.02,9.01 02/28/12 CASTLE A M & CO MD 9.01 12/15/11 AMEND CATASYS, INC. DE 1.01,2.01,2.03,3.02, 02/22/12 9.01 CDI CORP PA 2.02,8.01,9.01 02/28/12 CENTERPOINT ENERGY INC 5.02,9.01 02/22/12 CENTRAL VALLEY COMMUNITY BANCORP CA 7.01 02/28/12 CENTURY PROPERTIES GROWTH FUND XXII CA 1.02 02/24/12 CERUS CORP DE 2.02,9.01 02/28/12 CHART INDUSTRIES INC DE 2.02,7.01,9.01 02/28/12 CHARTER FINANCIAL CORP/GA 5.07 02/22/12 Chemtura CORP DE 5.02,8.01 02/22/12 China Marketing Media Holdings, Inc. TX 1.01,2.01,9.01 12/23/11 AMEND CHINA VALVES TECHNOLOGY, INC NV 4.02,9.01 02/28/12 AMEND Chineseinvestors.com, Inc. IN 8.01 02/13/12 AMEND CHUBB CORP NJ 5.02,9.01 02/22/12 CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 02/24/12 CITIZENS BANCSHARES CORP /GA/ GA 5.02,9.01 02/28/12 Clean Coal Technologies Inc. NV 8.01 02/28/12 CLEAN DIESEL TECHNOLOGIES INC DE 5.02 02/22/12 Clearfield, Inc. MN 5.07 02/23/12 CLOUD PEAK ENERGY INC. DE 7.01,9.01 02/27/12 COBRA ELECTRONICS CORP DE 5.02 02/23/12 COLLECTIVE BRANDS, INC. DE 2.02,7.01,9.01 02/28/12 Colony Financial, Inc. MD 8.01 02/24/12 CONCEPTUS INC DE 8.01 02/26/12 Cono Italiano, Inc. NV 5.03,9.01 02/17/12 CONTINENTAL MATERIALS CORP DE 2.02,9.01 02/27/12 Convergence Ethanol, Inc. 5.02 02/28/12 COOPER TIRE & RUBBER CO DE 8.01,9.01 02/27/12 CORELOGIC, INC. DE 2.02,9.01 02/27/12 CORELOGIC, INC. DE 8.01 02/27/12 CORELOGIC, INC. DE 5.03,8.01,9.01 02/27/12 CORINTHIAN COLLEGES INC 7.01 02/25/12 CORNERSTONE BANCSHARES INC TN 2.02,7.01,9.01 02/23/12 CORNERSTONE REALTY FUND LLC CA 1.01,2.01,8.01,9.01 02/27/12 CORNING NATURAL GAS CORP NY 1.01,9.01 02/27/12 Corporate Capital Trust, Inc. MD 1.01,2.03,5.02,8.01, 02/22/12 9.01 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 02/28/12 CREDO PETROLEUM CORP DE 5.02 02/23/12 Crescent Financial Bancshares, Inc. 5.02 02/22/12 Crestwood Midstream Partners LP DE 2.02,9.01 02/28/12 Crestwood Midstream Partners LP DE 1.01,7.01,9.01 02/24/12 Crexendo, Inc. DE 2.02,9.01 02/28/12 CROSS BORDER RESOURCES, INC. NV 3.03,5.03,8.01 02/27/12 CROSSTEX ENERGY INC DE 2.02,9.01 02/28/12 CROSSTEX ENERGY LP DE 2.02,9.01 02/28/12 Crumbs Bake Shop, Inc. DE 2.02,9.01 02/28/12 CSP INC /MA/ MA 5.07 02/23/12 CSP INC /MA/ MA 8.01 02/23/12 CSX CORP VA 1.01,2.03,9.01 02/23/12 CTC Media, Inc. 2.02,9.01 02/28/12 CUMMINS INC IN 8.01 02/28/12 CVR ENERGY INC DE 2.02,7.01,9.01 02/28/12 CYBEX INTERNATIONAL INC NY 8.01,9.01 02/24/12 DCP Midstream Partners, LP DE 2.02,9.01 02/27/12 Digital Realty Trust, Inc. 8.01 02/28/12 Discover Card Execution Note Trust DE 1.01,8.01,9.01 02/28/12 DOMINOS PIZZA INC 2.02,7.01,9.01 02/28/12 DreamWorks Animation SKG, Inc. 2.02,9.01 02/28/12 Driftwood Acquisition Corp DE 3.02,5.01,5.02,5.03 02/01/12 DRIL-QUIP INC DE 2.02,9.01 02/27/12 DUN & BRADSTREET CORP/NW DE 5.02 02/22/12 ECOLAB INC DE 2.02,9.01 02/28/12 ECOLOGY COATINGS, INC. NV 3.02 02/28/12 EDUCATIONAL DEVELOPMENT CORP DE 8.01,9.01 02/28/12 EMCLAIRE FINANCIAL CORP PA 5.02,9.01 11/16/11 ENTERCOM COMMUNICATIONS CORP PA 2.02,9.01 02/28/12 ENZON PHARMACEUTICALS INC DE 5.02 02/27/12 EPOCRATES INC DE 2.02,2.05,9.01 02/24/12 EURO GROUP OF COMPANIES, INC. DE 8.01 02/28/12 Eworld Interactive, Inc. FL 2.01,5.03,8.01,9.01 01/26/12 EXACTECH INC FL 1.01,1.02,2.02,2.03, 02/24/12 7.01,9.01 ExamWorks Group, Inc. DE 2.02,9.01 02/28/12 ExlService Holdings, Inc. DE 2.02,9.01 02/28/12 Fairmount Bancorp, Inc. MD 5.02,5.07,9.01 02/22/12 FAMOUS DAVES OF AMERICA INC MN 5.02 02/22/12 FARO TECHNOLOGIES INC FL 2.02,9.01 02/28/12 FARO TECHNOLOGIES INC FL 5.02 02/28/12 Federal Home Loan Bank of Atlanta X1 2.03 02/28/12 Federal Home Loan Bank of Boston X1 2.03 02/22/12 Federal Home Loan Bank of Boston X1 5.02 02/27/12 AMEND Federal Home Loan Bank of Chicago X1 2.03 02/22/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/22/12 Federal Home Loan Bank of Dallas 2.03,9.01 02/22/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/24/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/28/12 Federal Home Loan Bank of New York X1 2.03,9.01 02/22/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/22/12 Federal Home Loan Bank of San Francis X1 2.03 02/22/12 Federal Home Loan Bank of Seattle 2.03 02/22/12 Federal Home Loan Bank of Topeka 2.03,9.01 02/22/12 Federal Home Loan Bank of Topeka 5.02,9.01 02/23/12 FEDERAL MOGUL CORP DE 2.02,7.01,9.01 02/28/12 FEDERAL SIGNAL CORP /DE/ DE 1.01,2.03,5.02,5.03, 02/22/12 9.01 FIFTH THIRD BANCORP OH 5.07 04/15/11 AMEND FIRST BANCORP /PR/ PR 2.02,7.01,9.01 02/27/12 First California Financial Group, Inc DE 7.01,9.01 02/28/12 FIRST CENTURY BANCORP. GA 5.02 02/28/12 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 02/28/12 FIRST PACTRUST BANCORP INC MD 1.01,9.01 02/24/12 FIRST SOLAR, INC. DE 2.02,9.01 02/28/12 FIRSTENERGY CORP OH 2.02,9.01 02/28/12 FLAGSTAR BANCORP INC MI 1.01,2.02,7.01,9.01 02/24/12 Flagstone Reinsurance Holdings, S.A. N4 5.02 02/22/12 FMC TECHNOLOGIES INC DE 5.02,9.01 02/23/12 Fortress Investment Group LLC DE 2.02,9.01 02/28/12 FRESH DEL MONTE PRODUCE INC E9 2.02,9.01 02/28/12 Fuse Science, Inc. NV 1.01,7.01,9.01 02/27/12 FUSION TELECOMMUNICATIONS INTERNATION DE 5.07 02/27/12 GAIN Capital Holdings, Inc. DE 2.02,7.01,9.01 02/28/12 GBS Enterprises Inc NV 5.02,7.01,9.01 02/24/12 GE Dealer Floorplan Master Note Trust DE 1.01,9.01 02/22/12 GENCO SHIPPING & TRADING LTD 1.01,9.01 02/23/12 General Growth Properties, Inc. DE 7.01,9.01 02/28/12 GENUINE PARTS CO GA 8.01,9.01 02/28/12 GEOGLOBAL RESOURCES INC. DE 3.02,9.01 02/22/12 Gevo, Inc. DE 5.02 02/23/12 Gevo, Inc. DE 2.02,9.01 02/28/12 GigOptix, Inc. DE 2.02,4.02,9.01 02/25/12 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 02/28/12 GLOBAL GOLD CORP DE 5.02,8.01,9.01 02/23/12 Global Growth Trust, Inc. MD 1.01,2.03,7.01,8.01, 02/24/12 9.01 GOODYEAR TIRE & RUBBER CO /OH/ OH 8.01,9.01 02/23/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 02/24/12 Great Lakes Dredge & Dock CORP DE 8.01,9.01 02/28/12 HALLMARK FINANCIAL SERVICES INC NV 7.01,9.01 02/28/12 HANGER ORTHOPEDIC GROUP INC DE 7.01,9.01 02/28/12 HANSEN MEDICAL INC DE 5.02 02/25/12 HARSCO CORP DE 5.02 02/23/12 HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 12/31/11 HEALTHSOUTH CORP DE 5.02,7.01,9.01 02/28/12 HeartWare International, Inc. DE 5.02,9.01 02/22/12 HECLA MINING CO/DE/ DE 8.01,9.01 01/20/12 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 2.02,9.01 02/28/12 HELIX ENERGY SOLUTIONS GROUP INC MN 7.01,9.01 02/28/12 HERSHA HOSPITALITY TRUST MD 8.01 02/23/12 HINTO ENERGY, INC WY 7.01,9.01 02/28/12 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 02/28/12 HOLLY ENERGY PARTNERS LP DE 7.01,9.01 02/28/12 HollyFrontier Corp DE 2.02,9.01 02/28/12 Horiyoshi Worldwide Inc. NV 5.02 02/28/12 HOVNANIAN ENTERPRISES INC DE 2.02,9.01 02/28/12 Hyundai Auto Receivables Trust 2012-A DE 8.01,9.01 02/28/12 I/OMAGIC CORP NV 5.02 02/22/12 IBERIABANK CORP LA 5.02 02/22/12 ICAHN ENTERPRISES L.P. DE 8.01,9.01 02/28/12 ICONIX BRAND GROUP, INC. DE 2.02,5.03,9.01 02/22/12 IMATION CORP DE 7.01,9.01 02/28/12 iMetrik M2M Solutions Inc. NV 7.01,9.01 02/27/12 IMPAX LABORATORIES INC DE 2.02,9.01 02/28/12 IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 01/20/12 INDEPENDENT BANK CORP MA 8.01 02/23/12 Industrial Income Trust Inc. MD 9.01 12/13/11 AMEND INFINITY PROPERTY & CASUALTY CORP OH 5.02,9.01 02/28/12 INLAND WESTERN RETAIL REAL ESTATE TRU MD 1.01,2.03,7.01,9.01 02/24/12 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 02/28/12 INNOSPEC INC. DE 5.02,9.01 02/27/12 INOLIFE TECHNOLOGIES, INC. 8.01,9.01 02/28/12 INOLIFE TECHNOLOGIES, INC. 4.01,9.01 02/28/12 INSITE VISION INC DE 2.02,9.01 02/28/12 INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 02/28/12 INTEL CORP DE 7.01,9.01 02/27/12 IPASS INC DE 5.02 02/22/12 IRELAND INC. NV 3.02 02/23/12 IRONWOOD PHARMACEUTICALS INC 2.02,9.01 02/28/12 ISTAR FINANCIAL INC MD 2.02,9.01 02/28/12 J2 GLOBAL, INC. DE 7.01 02/28/12 Jazz Pharmaceuticals plc DE 2.01,9.01 02/28/12 Jazz Pharmaceuticals plc DE 4.01,9.01 02/28/12 JMP Group Inc. DE 7.01 02/28/12 JOE'S JEANS INC. DE 2.02,9.01 02/28/12 JUNIATA VALLEY FINANCIAL CORP PA 5.02,5.03,9.01 02/21/12 KAR Auction Services, Inc. DE 2.02,9.01 02/27/12 KAR Auction Services, Inc. DE 7.01,9.01 02/28/12 KAYDON CORP DE 5.02,9.01 02/22/12 KIMBERLY CLARK CORP DE 5.02 02/27/12 KINDER MORGAN, INC. DE 8.01,9.01 02/28/12 Kodiak Oil & Gas Corp B0 2.02,9.01 02/28/12 L 3 COMMUNICATIONS HOLDINGS INC DE 5.02,9.01 02/22/12 LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 02/15/12 LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 02/15/12 LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/12 LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 02/15/12 LEXMARK INTERNATIONAL INC /KY/ DE 5.02,9.01 02/22/12 LIFE PARTNERS HOLDINGS INC TX 8.01,9.01 02/27/12 LIME ENERGY CO. DE 1.01,2.03,9.01 02/24/12 LINN ENERGY, LLC DE 1.01,7.01,8.01,9.01 02/27/12 LIVEDEAL INC NV 5.07 02/23/12 LNB BANCORP INC OH 7.01,9.01 02/28/12 LSB INDUSTRIES INC DE 2.02,9.01 02/28/12 MAGELLAN HEALTH SERVICES INC DE 2.02,8.01,9.01 02/28/12 MAGICJACK VOCALTEC LTD L3 2.02,5.02 02/28/12 MANAGEMENT NETWORK GROUP INC 2.02,5.02,9.01 02/12/12 Mantra Venture Group Ltd. 1.01,3.02,5.02,9.01 02/20/12 MASS Petroleum Inc. 3.02 02/22/12 MDC HOLDINGS INC DE 5.02,9.01 02/27/12 MEADWESTVACO Corp DE 5.02,9.01 02/27/12 MEDL Mobile Holdings, Inc. NV 8.01,9.01 02/28/12 Medytox Solutions, Inc. NV 5.02 02/27/12 MENTOR GRAPHICS CORP OR 2.02 02/28/12 META FINANCIAL GROUP INC DE 8.01,9.01 02/28/12 MICRON TECHNOLOGY INC DE 1.01,7.01,9.01 02/28/12 MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 02/28/12 Midwest Energy Emissions Corp. DE 1.01 02/23/12 MOBILE MINI INC DE 1.01,1.02,2.03,9.01 02/22/12 MOHEGAN TRIBAL GAMING AUTHORITY 8.01,9.01 02/28/12 Morgans Hotel Group Co. DE 2.02,9.01 02/28/12 MORRIS PUBLISHING GROUP LLC GA 1.01 02/27/12 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 02/25/12 MUSTANG GEOTHERMAL CORP 5.02,9.01 02/27/12 AMEND Narnia Corp. NV 8.01,9.01 02/24/12 NASDAQ OMX GROUP, INC. DE 5.02,9.01 02/22/12 NATIONAL BEVERAGE CORP DE 5.07 09/30/11 AMEND National Interstate CORP OH 2.02,8.01,9.01 02/22/12 NATUS MEDICAL INC DE 2.02,9.01 02/28/12 Naugatuck Valley Financial Corp 8.01,9.01 02/27/12 NAVIGANT CONSULTING INC DE 5.02,7.01,9.01 02/22/12 NEAH POWER SYSTEMS, INC. NV 3.02 02/28/12 NELNET INC NE 2.02,9.01 02/28/12 NETLIST INC DE 2.02,9.01 02/28/12 NETWORK EQUIPMENT TECHNOLOGIES INC DE 5.02 02/22/12 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 02/21/12 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 02/28/12 NEWS CORP 8.01,9.01 02/28/12 NORFOLK SOUTHERN CORP VA 5.02,5.03 02/28/12 NORTHWEST NATURAL GAS CO OR 2.02,9.01 02/28/12 NRG ENERGY, INC. DE 2.02,9.01 02/28/12 NTN BUZZTIME INC DE 8.01,9.01 02/28/12 OCEANEERING INTERNATIONAL INC DE 5.02,9.01 02/24/12 OFFICE DEPOT INC DE 2.02,9.01 02/28/12 Oilsands Quest Inc 1.01,8.01,9.01 02/22/12 OM GROUP INC DE 2.02,9.01 02/28/12 ONEOK INC /NEW/ OK 7.01,9.01 02/28/12 ONEOK Partners LP DE 7.01,9.01 02/28/12 ORIENTAL FINANCIAL GROUP INC PR 5.02 02/24/12 Oryon Holdings, Inc. NV 8.01,9.01 02/24/12 PACIFIC MERCANTILE BANCORP CA 2.02,9.01 02/27/12 PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 02/28/12 PDL BIOPHARMA, INC. DE 7.01,9.01 02/28/12 People's United Financial, Inc. DE 8.01,9.01 02/27/12 PEOPLES LIBERATION INC DE 1.01,2.03,3.02,5.01, 02/22/12 5.02,9.01 PERCEPTRON INC/MI MI 5.02,9.01 02/21/12 PETROQUEST ENERGY INC DE 2.02 02/28/12 PIONEER NATURAL RESOURCES CO DE 5.02 02/28/12 Pioneer Southwest Energy Partners L.P DE 5.02 02/28/12 POTLATCH CORP DE 5.02,9.01 02/27/12 POZEN INC /NC 2.02,9.01 02/28/12 PRESSURE BIOSCIENCES INC MA 2.02,9.01 02/28/12 Prestige Brands Holdings, Inc. 1.01,3.03,5.03,8.01, 02/27/12 9.01 PRICELINE COM INC DE 2.02,7.01,9.01 02/27/12 PROASSURANCE CORP DE 7.01,9.01 02/28/12 PROSPECT CAPITAL CORP MD 8.01,9.01 02/28/12 pSivida Corp. DE 8.01,9.01 02/27/12 PSS WORLD MEDICAL INC FL 1.01,2.03,8.01,9.01 02/24/12 PVH CORP. /DE/ DE 2.02,7.01 02/28/12 QEP RESOURCES, INC. DE 4.01,9.01 11/11/11 AMEND RAMBUS INC DE 8.01,9.01 02/27/12 RAMBUS INC DE 5.03,9.01 02/23/12 RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 02/28/12 Red Lion Hotels CORP WA 2.02,9.01 02/28/12 RegenoCELL Therapeutics, Inc. 4.02 02/28/12 Remark Media, Inc. DE 1.01,3.02,9.01 02/27/12 Remark Media, Inc. DE 1.01,9.01 02/26/12 Remark Media, Inc. DE 9.01 02/28/12 AMEND Remark Media, Inc. DE 9.01 02/28/12 AMEND RENTECH INC /CO/ CO 8.01 02/27/12 RESPONSYS INC CA 2.02,9.01 02/28/12 RigNet, Inc. DE 7.01,9.01 02/27/12 Roadrunner Transportation Systems, In DE 5.02,8.01 02/22/12 ROBERTS REALTY INVESTORS INC GA 8.01 02/28/12 Rosetta Resources Inc. DE 7.01,9.01 02/24/12 ROWAN COMPANIES INC DE 1.01,8.01,9.01 02/27/12 ROWAN COMPANIES INC DE 2.02,9.01 02/28/12 SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 02/28/12 Sagebrush Gold Ltd. NV 5.03,5.07,9.01 02/23/12 SALIX PHARMACEUTICALS LTD 9.01 12/20/11 AMEND SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 02/28/12 SCIENTIFIC GAMES CORP DE 2.02,9.01 02/28/12 SCIENTIFIC LEARNING CORP DE 5.02,9.01 02/22/12 SEABOARD CORP /DE/ DE 2.02,9.01 02/28/12 SEMPRA ENERGY CA 2.02,9.01 02/28/12 SERACARE LIFE SCIENCES INC 1.01,9.01 02/27/12 SIERRA RESOURCE GROUP INC NV 1.01,5.02,9.01 02/20/12 SILVER BULL RESOURCES, INC. NV 5.02,8.01,9.01 02/22/12 SLM CORP DE 8.01,9.01 02/28/12 SONIC AUTOMOTIVE INC DE 8.01 02/25/12 SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 02/28/12 SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 02/28/12 SOUTHERN CALIFORNIA GAS CO CA 2.02,9.01 02/28/12 SOUTHWEST GAS CORP CA 2.02 02/28/12 SOUTHWESTERN ENERGY CO DE 2.02,9.01 02/27/12 SOUTHWESTERN ENERGY CO DE 7.01 02/28/12 SOUTHWESTERN ENERGY CO DE 7.01 02/28/12 Spine Pain Management, Inc DE 5.02 02/26/12 SPRINT NEXTEL CORP KS 5.02 02/22/12 SPRINT NEXTEL CORP KS 5.02 02/22/12 AMEND SPRINT NEXTEL CORP KS 5.02 02/22/12 AMEND STANDARD PARKING CORP DE 8.01 02/28/12 STEC, INC. CA 2.02,9.01 02/28/12 Stevia First Corp. 1.01,2.03,3.02,5.06, 02/07/12 9.01 STEWARDSHIP FINANCIAL CORP NJ 5.02 02/23/12 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 02/15/12 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 02/15/12 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 02/15/12 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 02/15/12 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 02/15/12 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 02/15/12 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 02/15/12 Summer Infant, Inc. DE 2.02,9.01 02/28/12 SUN HEALTHCARE GROUP INC DE 2.02,9.01 02/28/12 SunCoke Energy, Inc. 7.01,9.01 02/28/12 SunOpta Inc. 2.02,9.01 02/28/12 Suspect Detection Systems, Inc. DE 8.01,9.01 02/27/12 SYSTEMAX INC DE 2.02,9.01 02/28/12 TAL International Group, Inc. DE 8.01,9.01 02/28/12 TECH DATA CORP FL 2.02,9.01 02/28/12 TECHNEST HOLDINGS INC NV 8.01,9.01 02/28/12 Telanetix,Inc DE 2.02,9.01 02/28/12 TENET HEALTHCARE CORP NV 2.02,9.01 02/28/12 Terra Tech Corp. NV 1.01,2.01,3.02,3.03, 02/09/12 AMEND 5.01,5.03,5.06,9.01 TETRA TECHNOLOGIES INC DE 2.02,9.01 02/28/12 TETRIDYN SOLUTIONS INC NV 1.01,2.03,9.01 02/22/12 TFS Financial CORP DE 5.07 02/28/12 Tirex CORP 5.03,9.01 10/26/11 Tower Group, Inc. DE 7.01,9.01 02/28/12 TOWERSTREAM CORP DE 7.01,9.01 02/28/12 TRACTOR SUPPLY CO /DE/ DE 7.01,9.01 02/28/12 TRANSATLANTIC PETROLEUM LTD. D0 1.01,9.01 02/25/12 Transfer Technology International Cor DE 8.01 02/28/12 TRANSGLOBAL ASSETS, INC. NV 8.01 02/22/12 TRANSUNION CORP. 1.01,7.01,9.01 02/27/12 TRANZYME INC DE 2.02,9.01 02/28/12 TRIMAS CORP DE 1.01,8.01,9.01 02/24/12 TrueBlue, Inc. WA 7.01,9.01 02/28/12 U. S. Premium Beef, LLC 4.01,9.01 02/22/12 UMPQUA HOLDINGS CORP OR 7.01,9.01 02/28/12 UNI CORE HOLDINGS CORP UT 8.01 02/27/12 Uni-Pixel DE 8.01,9.01 02/28/12 UNITED FIRE GROUP INC IA 5.02,9.01 02/24/12 United States 12 Month Natural Gas Fu 7.01,9.01 02/28/12 United States 12 Month Oil Fund, LP 7.01,9.01 02/28/12 UNITED STATES ANTIMONY CORP MT 5.02 02/22/12 United States Brent Oil Fund, LP DE 7.01,9.01 02/28/12 United States Commodity Index Funds T DE 7.01,9.01 02/28/12 United States Gasoline Fund, LP DE 7.01,9.01 02/28/12 United States Heating Oil Fund, LP DE 7.01,9.01 02/28/12 United States Natural Gas Fund, LP 7.01,9.01 02/28/12 United States Oil Fund, LP DE 7.01,9.01 02/28/12 United States Short Oil Fund, LP DE 7.01,9.01 02/28/12 UNITED STATIONERS INC DE 8.01,9.01 02/24/12 Universal Bioenergy, Inc. 1.01,2.01,3.02,9.01 02/20/12 VALLEY FINANCIAL CORP /VA/ VA 5.03,9.01 02/23/12 VAPOR CORP. NV 5.02,9.01 02/27/12 VECTOR GROUP LTD DE 1.01,2.03,5.02 02/21/12 AMEND VERIFONE SYSTEMS, INC. DE 7.01 02/28/12 Verisk Analytics, Inc. DE 2.02,9.01 02/28/12 Viacom Inc. DE 8.01,9.01 02/23/12 VIAD CORP DE 8.01,9.01 02/28/12 ViewPoint Financial Group Inc. 2.02,8.01,9.01 02/28/12 VIROPHARMA INC DE 2.02,9.01 02/28/12 Vitamin Shoppe, Inc. DE 2.02,8.01,9.01 02/23/12 VIVUS INC CA 2.02,8.01,9.01 02/28/12 Vocus, Inc. DE 1.01,2.01,2.02,2.03, 02/24/12 3.02,5.02,9.01 VSE CORP DE 2.02,9.01 12/31/11 VWR Funding, Inc. DE 7.01,9.01 02/28/12 W P CAREY & CO LLC DE 2.02,9.01 02/28/12 WARNACO GROUP INC /DE/ DE 2.02,9.01 02/28/12 WEBMEDIABRANDS INC. DE 2.02,9.01 02/28/12 WEST COAST BANCORP /NEW/OR/ OR 5.03,9.01 02/23/12 WESTAR ENERGY INC /KS KS 7.01,9.01 02/28/12 WESTELL TECHNOLOGIES INC DE 2.05 02/27/12 Western Refining, Inc. DE 2.02,9.01 02/28/12 WEYCO GROUP INC WI 2.02,9.01 02/28/12 Whitestone REIT TX 1.01,1.02,2.03,9.01 02/28/12 Whitestone REIT TX 2.02,9.01 02/28/12 Whitestone REIT Operating Partnership DE 1.01,1.02,2.03,9.01 02/28/12 Whitestone REIT Operating Partnership DE 2.02,9.01 02/28/12 Williams Partners L.P. 8.01,9.01 02/27/12 WINDSTREAM CORP DE 1.01,2.03,9.01 02/23/12 WIRELESS AGE COMMUNICATIONS INC NV 2.02,9.01 02/28/12 WIRELESS AGE COMMUNICATIONS INC NV 2.02,9.01 09/09/11 Xylem Inc. IN 2.02,7.01,9.01 02/28/12 YRC Worldwide Inc. DE 2.02,9.01 02/28/12
http://www.sec.gov/news/digest/2012/dig022912.htm
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