SEC News Digest

enforcement proceedings

SEC Obtains Summary Judgment Against Serial Fraudster Matthew J. Gagnon

The Securities and Exchange Commission announced today that on March 22, 2012, the Honorable George Caram Steeh of the United States District Court for the Eastern District of Michigan granted the SEC’s motion for summary judgment and entered a final judgment against defendant Matthew J. Gagnon of Portland, Oregon and Weslaco, Texas. The Court found that Gagnon violated the registration, anti-fraud, and anti-touting provisions of the federal securities laws by promoting and operating a series of securities offerings through his website, www.Mazu.com, and ordered Gagnon to pay $4.1 million in disgorgement with prejudgment interest and a $100,000 civil penalty.

The SEC filed this action against Gagnon on May 11, 2010, alleging that since 1997, Gagnon had billed himself as an Internet business opportunity expert and his website as “the world’s first and largest opportunity review website.” According to the SEC’s complaint, from January 2006 through approximately August 2007, Gagnon helped orchestrate a massive Ponzi scheme conducted by Gregory N. McKnight and his company, Legisi Holdings, LLC, which raised a total of approximately $72.6 million from over 3,000 investors by promising returns of upwards of 15% a month. The complaint also alleged that Gagnon promoted Legisi but in doing so misled investors by claiming, among other things, that he had thoroughly researched McKnight and Legisi and had determined Legisi to be a legitimate and safe investment. The complaint alleged that Gagnon had no basis for the claims he made about McKnight and Legisi. Gagnon also failed to disclose to investors that he was to receive 50% of Legisi's purported "profits" under his agreement with McKnight. According to the complaint, Gagnon received a net of approximately $3.8 million in Legisi investor funds from McKnight for his participation in the scheme.

The SEC's complaint further alleged that beginning in August 2007, Gagnon fraudulently offered and sold securities representing interests in a new company that purportedly was to develop resort properties. The complaint alleged that Gagnon, among other things, falsely claimed that the investment was risk-free and "SEC compliant," and guaranteed a 200% return in 14 months. In reality, however, Gagnon sent the money to a twice-convicted felon, did not register the investment with the SEC, and knew such an outlandish return was impossible. Gagnon took in at least $361,865 from 21 investors.

The SEC's complaint also alleged that in April 2009, Gagnon began promoting a fraudulent offering of interests in a purported Forex trading venture. Gagnon guaranteed that the venture would generate returns of 2% a month or 30% a year for his investors. Gagnon's claims were false, and he had had no basis for making them because Gagnon never reviewed his friend’s trading records before promoting the offering, which would have shown over $150,000 in losses over the previous nine months.

The SEC's complaint charged Gagnon with violating Sections 5(a), 5(c), 17(a) and 17(b) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to the emergency relief already obtained, the complaint sought preliminary and permanent injunctions, disgorgement, and civil penalties from Gagnon. On May 24, 2010, the SEC obtained an emergency order freezing Gagnon’s assets and other preliminary relief. Subsequently, on August 6, 2010, the Court granted an order of preliminary injunction against Gagnon pursuant to his consent.

The Court’s final judgment against Gagnon permanently enjoins him from future violations of Sections 5(a), 5(c), 17(a) and 17(b) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and orders Gagnon to pay $3,613,259 in disgorgement, $488,570.47 in prejudgment interest, and a $100,000 civil penalty. [SEC v. Matthew J. Gagnon, Civil Action No. 10-cv-11891 (E.D. Michigan] (LR-22310)

Investment company act releases

American Capital, Ltd., et al.

An order has been issued on an application filed by American Capital, Ltd. (the Company), et al. for an order under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Section 12(d)(3) of the Act. The order permits the applicants to continue to hold up to 100% of the outstanding membership interests of certain direct and indirect subsidiaries of the Company to the extent necessary at such time as such subsidiaries are required to become registered investment advisers under the Investment Advisers Act of 1940. (Rel. IC-30010 – March 27)

Kohlberg Capital Corporation

An order has been issued on an application filed by Kohlberg Capital Corporation (Company), for an order under Section 6(c) of the Investment Company Act of 1940 (Act) granting an exemption from Section 12(d)(3) of the Act. The order permits the Company and certain wholly-owned holding companies to continue to hold a greater than 50% equity interest in certain of their subsidiaries that will be registering as investment advisers under the Investment Advisers Act of 1940. (Rel. IC-30011 – March 27)

Fidus Investment Corporation (Fidus), et al.

An order has been issued on an application filed by Fidus Investment Corporation (Fidus), et al. 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), 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 Fidus, a business development company (BDC) and its wholly-owned small business investment company (SBIC) subsidiary to engage in certain transactions that otherwise would be permitted if Fidus and such subsidiary were one company and to file certain reports on a consolidated basis, and it also permits Fidus to adhere to a modified asset coverage requirement. (Rel. IC-30012 – March 27)

self-regulatory organizations

Accelerated Approval of Proposed Rule Change

The Commission granted accelerated approval to a proposed rule change (SR-CME-2012-08) filed by the Chicago Mercantile Exchange Inc. under Section 19(b)(1) of the Securities Exchange Act of 1934 to comply with revisions to the Commodity Futures Trading Commission’s Part 190 Regulations. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66659)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-Phlx-2012-36) filed by NASDAQ OMX PHLX LLC relating to the Options Regulatory Fee has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 26. (Rel. 34-66664)

A proposed rule change filed by the Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-029) to amend the CBOE Stock Exchange 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 March 26. (Rel. 34-66665)

Securities Act Registrations

The 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     Net Savings Link, Inc., 101 NORTH GARDEN, SUITE 240, CLEARWATER, FL, 
        33755, 727-442-2600 - 50,000,000 ($2,200,000.00) Equity, 
        (File 333-180365 - Mar. 27) (BR. 09A)

S-4     SERVICEMASTER CO, 860 RIDGE LAKE BOULEVARD, MEMPHIS, TN, 38120, 
        901-597-1400 - 0 ($600,000,000.00) Debt, (File 333-180366 - Mar. 27) 
        (BR. 08C)

F-3     Elster Group SE, FRANKENSTRASSE 362, ESSEN, 2M, D-45133, 
        0114920154580 - 17,544,825 ($1,095,147,977.00) Equity, 
        (File 333-180367 - Mar. 27) (BR. 10A)

S-8     VimpelCom Ltd., SOM 2 BLD., FLOOR 2, CLAUDE DEBUSSYLAAN 15, AMSTERDAM, 
        P7, 1082 MC, 31 20 79 77 200 - 1,000,000 ($11,150,000.00) Other, 
        (File 333-180368 - Mar. 27) (BR. 11C)

S-8     MER TELEMANAGEMENT SOLUTIONS LTD, 22 ZARHIN STREET, RA'ANANA, L3, 
        43662, 972 9 7621 733 - 400,000 ($693,350.00) Equity, 
        (File 333-180369 - Mar. 27) (BR. 11C)

S-1     ALLSTATE LIFE INSURANCE CO OF NEW YORK, 100 MOTOR PARKWAY, SUITE 132, 
        HAPPAUGE, NY, 11788, 631 357-8920 - 0 ($20,000,000.00) Other, 
        (File 333-180370 - Mar. 27) (BR. 01A)

S-1     LINCOLN BENEFIT LIFE CO, P O BOX 80469, 2940 SOUTH 84TH ST, LINCOLN, 
        NE, 68501, 4024794061 - 0 ($16,000,000.00) Other, (File 333-180371 - 
        Mar. 27) (BR. 01A)

S-1     LINCOLN BENEFIT LIFE CO, P O BOX 80469, 2940 SOUTH 84TH ST, LINCOLN, 
        NE, 68501, 4024794061 - 0 ($2,000,000.00) Other, (File 333-180372 - 
        Mar. 27) (BR. 01A)

S-1     LINCOLN BENEFIT LIFE CO, P O BOX 80469, 2940 SOUTH 84TH ST, LINCOLN, 
        NE, 68501, 4024794061 - 0 ($150,000,000.00) Other, (File 333-180373 - 
        Mar. 27) (BR. 01A)

S-1     LINCOLN BENEFIT LIFE CO, P O BOX 80469, 2940 SOUTH 84TH ST, LINCOLN, 
        NE, 68501, 4024794061 - 0 ($13,000,000.00) Other, (File 333-180374 - 
        Mar. 27) (BR. 01A)

S-1     LINCOLN BENEFIT LIFE CO, P O BOX 80469, 2940 SOUTH 84TH ST, LINCOLN, 
        NE, 68501, 4024794061 - 0 ($43,000,000.00) Other, (File 333-180375 - 
        Mar. 27) (BR. 01A)

S-1     Omega Commerical Finance Corp., 1000 5TH STREET, SUITE 200, 
        MIAMI BEACH, FL, 31139, 305-704-3294 - 2,000,000 ($40,000.00) Equity, 
        (File 333-180376 - Mar. 27) (BR. 07)

S-8     CARDICA INC, 900 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 650-364-9975 - 
        1,250,000 ($2,487,500.00) Equity, (File 333-180378 - Mar. 27) (BR. 10A)

S-3     KKR & Co. L.P., 9 WEST 57TH STREET, SUITE 4200, NEW YORK, NY, 10019, 
        212-750-8300 - 0 ($21,217,500.00) Equity, (File 333-180379 - Mar. 27) 
        (BR. 06A)

N-2     AIP Macro Registered Fund A, 100 FRONT STREET, SUITE 400, 
        WEST CONSHOHOCKEN, PA, 19428-2881, (610) 260-7600 - 
        1,000,000 ($1,000,000,000.00) Equity, (File 333-180380 - Mar. 27) (BR. )

N-2     AIP Macro Registered Fund P, 100 FRONT STREET, SUITE 400, 
        WEST CONSHOHOCKEN, PA, 19428-2881, (610) 260-7600 - 
        1,000,000 ($1,000,000,000.00) Equity, (File 333-180381 - Mar. 27) (BR. )

S-8     Regional Management Corp., 509 WEST BUTLER ROAD, GREENVILLE, SC, 29607, 
        864-422-8011 - 0 ($37,760,828.00) Equity, (File 333-180382 - Mar. 27) 
        (BR. 07)

S-3     Pacira Pharmaceuticals, Inc., 5 SYLVAN WAY, SUITE 100, PARSIPPANY, NJ, 
        07054, 973-254-3560 - 
        0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-180384 - 
        Mar. 27) (BR. 01A)

S-1     Sound Financial Bancorp, Inc., 2005 FIFTH AVENUE, 2ND FLOOR, SEATTLE, 
        WA, 98121, 206-448-0884 - 0 ($31,269,940.00) Equity, (File 333-180385 - 
        Mar. 27) (BR. )

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01	Entry into a Material Definitive Agreement
1.02	Termination of a Material Definitive Agreement
1.03	Bankruptcy or Receivership
2.01	Completion of Acquisition or Disposition of Assets
2.02	Results of Operations and Financial Condition
2.03	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
2.04	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
2.05	Cost Associated with Exit or Disposal Activities
2.06	Material Impairments
3.01	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
3.02	Unregistered Sales of Equity Securities
3.03	Material Modifications to Rights of Security Holders
4.01	Changes in Registrant's Certifying Accountant
4.02	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
5.01	Changes in Control of Registrant
5.02	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
5.03	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
5.04	Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
5.05	Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
5.06	Change in Shell Company Status
6.01	ABS Informational and Computational Material.
6.02	Change of Servicer or Trustee.
6.03	Change in Credit Enhancement or Other External Support.
6.04	Failure to Make a Required Distribution.
6.05	Securities Act Updating Disclosure.
7.01	Regulation FD Disclosure
8.01	Other Events
9.01	Financial Statements and Exhibits

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

AARON'S INC                             GA       7.01,9.01            03/26/12

ACCO BRANDS CORP                        DE       8.01                 03/27/12

ACE MARKETING & PROMOTIONS INC          NY       7.01,9.01            03/27/12

ADCARE HEALTH SYSTEMS INC               OH       1.01,9.01            03/27/12

AFFYMAX INC                             DE       1.01,2.03,3.02       03/26/12

AGILENT TECHNOLOGIES INC                DE       5.02,5.07            03/21/12

Aircastle LTD                           D0       7.01,9.01            03/26/12

ALIMERA SCIENCES INC                    DE       7.01                 03/27/12

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            03/27/12

Alta Mesa Holdings, LP                  TX       2.02,9.01            03/27/12

AMERICAN APPAREL, INC                   DE       5.02,9.01            03/22/12

AMERICAN LITHIUM MINERALS, INC.                  1.01,5.02,9.01       03/26/12

AMERICAN LITHIUM MINERALS, INC.                  1.01,9.01            03/19/12    AMEND

American Realty Capital Daily Net Ass   MD       2.01,2.03,5.02,9.01  03/21/12

American Realty Capital Properties, I   MD       8.01,9.01            03/27/12

American Standard Energy Corp.          DE       7.01,9.01            03/26/12

ANIXTER INTERNATIONAL INC               DE       5.02                 03/26/12

ANNALY CAPITAL MANAGEMENT INC           MD       8.01,9.01            03/27/12

Antero Resources LLC                    DE       8.01,9.01            03/26/12

APOGEE ENTERPRISES, INC.                MN       5.04,9.01            03/21/12

ARBOR REALTY TRUST INC                  MD       5.02                 03/22/12

ARCH CAPITAL GROUP LTD.                          8.01,9.01            03/26/12

ARI NETWORK SERVICES INC /WI            WI       5.02,8.01,9.01       03/21/12

AROTECH CORP                            DE       2.02,9.01            03/27/12

Artio Global Investors Inc.             DE       1.02                 03/26/12

ASSURANCEAMERICA CORP                   NV       5.02                 03/20/12

ASTA FUNDING INC                        DE       5.02,5.07            03/21/12

ASTEA INTERNATIONAL INC                 DE       2.02,9.01            03/27/12

ATHERSYS, INC / NEW                     DE       2.02,9.01            03/27/12

AVIS BUDGET GROUP, INC.                 DE       1.01,2.03,9.01       03/22/12

AXA EQUITABLE LIFE INSURANCE CO         NY       5.02                 03/26/12

BECTON DICKINSON & CO                   NJ       1.01,9.01            03/27/12

Bering Exploration, Inc.                NV       5.02                 03/26/12

BIOLIFE SOLUTIONS INC                   DE       8.01,9.01            03/26/12

Birmingham Bloomfield Bancshares        MI       8.01                 03/22/12

BLUESKY SYSTEMS CORP                             5.02                 03/21/12

BreitBurn Energy Partners L.P.          DE       9.01                 10/07/11    AMEND

Burger King Holdings Inc                DE       5.02                 03/24/12

CAMDEN NATIONAL CORP                    ME       5.02,9.01            03/27/12

CAMDEN NATIONAL CORP                    ME       8.01,9.01            03/27/12

CAMPBELL SOUP CO                        NJ       5.02                 03/21/12

CANTERBURY PARK HOLDING CORP            MN       2.02,9.01            03/27/12

Capital Financial Holdings, Inc         ND       5.02                 03/23/12

CapLease, Inc.                                   5.02                 03/22/12

CARDTRONICS INC                         DE       8.01                 03/27/12

CenterState Banks, Inc.                 FL       7.01                 03/27/12

CENTURYLINK, INC                        LA       5.02                 03/27/12

CENVEO, INC                             CO       8.01,9.01            03/21/12

CHARMING SHOPPES INC                    PA       2.02,9.01            03/27/12

China Green Lighting Ltd                         4.01,5.02,9.01       03/21/12

China XD Plastics Co Ltd                NV       2.02,9.01            03/26/12

CHINACAST EDUCATION CORP                DE       5.02,7.01,9.01       03/26/12

CHINACAST EDUCATION CORP                DE       5.02                 03/19/12    AMEND

CHRISTOPHER & BANKS CORP                DE       2.02,9.01            03/27/12

CIRTRAN CORP                            NV       1.01,9.01            03/22/12

CISCO SYSTEMS, INC.                     CA       8.01                 03/23/12

CleanTech Innovations, Inc.             NV       8.01,9.01            03/21/12

COBIZ FINANCIAL INC                     CO       5.02,9.01            03/22/12

ColorStars Group                        NV       1.01,5.02,9.01       03/01/12

Command Center, Inc.                    WA       5.02,8.01,9.01       03/26/12

Contango ORE, Inc.                      DE       1.01,3.02,9.01       03/22/12

CONVERGYS CORP                          OH       1.01,9.01            03/22/12

CORNERSTONE THERAPEUTICS INC            DE       4.01,9.01            03/21/12

COURIER Corp                            MA       1.01,9.01            03/22/12

Crestwood Midstream Partners LP         DE       1.01,2.01,7.01,9.01  03/26/12

CROSSTEX ENERGY INC                     DE       7.01                 03/27/12

CROSSTEX ENERGY LP                      DE       7.01                 03/27/12

CROWN CRAFTS INC                        DE       1.01,2.03,9.01       03/26/12

CSS INDUSTRIES INC                      DE       7.01,9.01            03/27/12

CUTERA INC                              DE       4.01,9.01            03/26/12

DiamondRock Hospitality Co                       7.01                 03/23/12

DineEquity, Inc                         DE       7.01,9.01            03/27/12

DOVER SADDLERY INC                               2.02,7.01,9.01       03/27/12

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01                 03/27/12

Echo Global Logistics, Inc.             DE       5.02,8.01,9.01       03/21/12

EDIETS COM INC                          DE       2.02,9.01            03/27/12

eHealth, Inc.                           DE       1.01,2.03,5.02,9.01  03/21/12

ELECTRONIC SYSTEMS TECHNOLOGY INC       WA       4.01,9.01            03/26/12

ENTECH SOLAR, INC.                      DE       8.01                 03/27/12

EPAM Systems, Inc.                      DE       2.02,9.01            03/27/12

EVCARCO, INC.                           NV       5.02,9.01            03/23/12

EVERTEC, Inc.                           PR       2.02,9.01            03/27/12

EXCLUSIVE BUILDING SERVICES, INC        NV       1.01,5.01,5.02,9.01  03/26/12

Federal Home Loan Bank of Atlanta       X1       2.03                 03/27/12

Federal Home Loan Bank of Boston        X1       2.03                 03/21/12

Federal Home Loan Bank of Chicago       X1       2.03                 03/21/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            03/21/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            03/23/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            03/27/12

Federal Home Loan Bank of New York      X1       2.03,9.01            03/22/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            03/21/12

Federal Home Loan Bank of San Francis   X1       2.03                 03/21/12

Federal Home Loan Bank of Seattle                2.03                 03/22/12

Federal Home Loan Bank of Topeka                 2.03,9.01            03/22/12

FEDERAL HOME LOAN MORTGAGE CORP                  7.01,9.01            03/27/12

FEMALE HEALTH CO                        WI       7.01,9.01            03/27/12

FEMALE HEALTH CO                        WI       5.07                 03/22/12

Finishing Touches Home Goods Inc.                1.01,2.03,9.01       03/23/12

FIRST BANCORP /PR/                      PR       5.02                 03/21/12

FMC TECHNOLOGIES INC                    DE       1.01,1.02,2.03,9.01  03/26/12

FNB BANCORP/CA/                                  1.01,8.01,9.01       03/26/12

FNB CORP/FL/                            FL       5.02,9.01            03/21/12

FOOT LOCKER INC                         NY       5.02                 03/21/12

FREDERICK COUNTY BANCORP INC            MD       8.01,9.01            03/27/12

Fresh Market, Inc.                      DE       5.02,5.08,8.01,9.01  03/21/12

FS Investment CORP                      MD       1.01,2.03,9.01       03/23/12

FSP PHOENIX TOWER CORP                           8.01,9.01            03/27/12

GENCO SHIPPING & TRADING LTD                     5.03,9.01            03/27/12

GENESCO INC                             TN       7.01                 03/27/12

GENTIVA HEALTH SERVICES INC             DE       5.02,9.01            03/22/12

Georgia-Carolina Bancshares, Inc        GA       4.01                 03/26/12

GLIMCHER REALTY TRUST                   MD       1.01,8.01,9.01       03/22/12

Global Telecom & Technology, Inc.       DE       2.02,9.01            03/21/12

GlyEco, Inc.                            NV       8.01                 03/22/12

GOLDFIELD CORP                          DE       2.02,9.01            03/27/12

GRACO INC                               MN       1.01,9.01            03/27/12

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            03/23/12

Greektown Superholdings, Inc.           DE       8.01,9.01            03/23/12

GREEN EQUITY HOLDINGS, INC.             NV       1.01,9.01            03/26/12

GULFMARK OFFSHORE INC                   DE       7.01,9.01            03/27/12

GYRODYNE CO OF AMERICA INC              NY       8.01,9.01            03/23/12

HARRIS INTERACTIVE INC                  DE       5.02,7.01,9.01       03/27/12

HAYNES INTERNATIONAL INC                DE       5.02,9.01            03/27/12

HCP, INC.                               MD       7.01,8.01,9.01       03/21/12

HD SUPPLY, INC.                         DE       2.02,7.01            03/27/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       2.02,9.01            03/27/12

HOLLY ENERGY PARTNERS LP                DE       8.01                 03/27/12

HOUSTON AMERICAN ENERGY CORP            DE       7.01                 03/26/12

HUTCHINSON TECHNOLOGY INC               MN       1.01,3.03,9.01       03/27/12

iGo, Inc.                               DE       2.02,9.01            03/27/12

INFORMATICA CORP                        DE       5.02                 03/26/12

Information Services Group Inc.         DE       1.01,5.02,9.01       03/26/12

INOVIO PHARMACEUTICALS, INC.                     5.02                 03/26/12

INTERMUNE INC                           DE       5.02                 03/26/12

INTERNATIONAL LEASE FINANCE CORP        CA       7.01,8.01,9.01       03/23/12

INTERNATIONAL PACKAGING & LOGISTICS G   NV       5.02                 03/27/12

INTERNATIONAL PAPER CO /NEW/            NY       2.01,9.01            02/13/12    AMEND

ISTA PHARMACEUTICALS INC                DE       8.01,9.01            03/26/12

ITT EDUCATIONAL SERVICES INC            DE       1.01,1.02,2.03,9.01  03/21/12

JPMORGAN CHASE & CO                     DE       5.02,9.01            03/27/12

KINGOLD JEWELRY, INC.                   DE       2.02,9.01            03/26/12

LEE ENTERPRISES, INC                    DE       5.02,5.07            03/21/12

LENNAR CORP /NEW/                       DE       2.02,9.01            03/27/12

Lifevantage Corp                        CO       5.02,9.01            03/23/12

LOCAL.COM                               DE       4.01,9.01            03/19/12    AMEND

LyondellBasell Industries N.V.          P7       1.01,9.01            03/26/12

MAGNUM HUNTER RESOURCES CORP            DE       1.01,3.02,7.01,8.01, 03/21/12
                                                 9.01
          
Maiden Holdings, Ltd.                   D0       2.03,8.01,9.01       03/27/12

MAP Pharmaceuticals, Inc.               DE       7.01,8.01,9.01       03/26/12

MCCORMICK & CO INC                      MD       2.02,9.01            03/27/12

MCG CAPITAL CORP                        DE       1.02                 03/23/12

MCMORAN EXPLORATION CO /DE/             DE       7.01,8.01,9.01       03/27/12

Meritage Homes CORP                     MD       8.01,9.01            03/27/12

MGT CAPITAL INVESTMENTS INC             DE       8.01                 03/26/12

MICRON TECHNOLOGY INC                   DE       5.02,8.01            03/22/12

MICROSTRATEGY INC                       DE       5.02,9.01            03/21/12

MIDDLEFIELD BANC CORP                   OH       1.01,9.01            03/21/12

Midwest Energy Emissions Corp.          DE       4.02                 03/21/12

MONY LIFE INSURANCE CO OF AMERICA       AZ       5.02                 03/26/12

Morris Business Development Co          CA       3.02,5.02,8.01       03/27/12

MS STRUCTURED ASSET CORP CBT SERIES 2   DE       8.01,9.01            03/25/12

MSC INDUSTRIAL DIRECT CO INC            NY       8.01,9.01            03/26/12

MSCI Inc.                               DE       8.01                 03/27/12

MTS SYSTEMS CORP                        MN       8.01                 03/27/12

MUELLER INDUSTRIES INC                  DE       7.01,9.01            03/27/12

MULTI FINELINE ELECTRONIX INC                    1.01,9.01            03/23/12

MULTIBAND CORP                          MN       2.02,9.01            03/26/12

N-VIRO INTERNATIONAL CORP               DE       1.01,3.02            03/22/12

NATURAL HEALTH TRENDS CORP              DE       2.02,9.01            03/27/12

NDB Energy, Inc.                        NV       1.01,7.01,9.01       03/21/12

NEOMEDIA TECHNOLOGIES INC               DE       1.01,3.02,9.01       03/26/12

Net Savings Link, Inc.                  NV       1.01,2.03            03/27/12

NeurogesX Inc                           CA       1.01,3.02,3.03,9.01  03/26/12

NEWS CORP                                        8.01,9.01            03/27/12

NEXT FUEL, INC.                         NV       4.01,9.01            03/26/12

NEXTERA ENERGY INC                      FL       8.01,9.01            03/27/12

NIKE INC                                OR       2.02,9.01            03/22/12

NN INC                                  DE       5.02,8.01,9.01       03/22/12

NORTHEAST UTILITIES                     MA       8.01                 03/26/12

NSTAR/MA                                         8.01                 03/27/12

NV ENERGY, INC.                         NV       1.01,1.02,2.03       03/23/12

NYSE Euronext                           DE       5.02,9.01            03/26/12

Options Media Group Holdings, Inc.      NV       1.02,3.02,5.02       03/16/12

OURPETS CO                              CO       2.02,9.01            03/23/12

OXFORD INDUSTRIES INC                   GA       2.02,9.01            03/27/12

Pacira Pharmaceuticals, Inc.            DE       2.02,9.01            03/27/12

PALADIN REALTY INCOME PROPERTIES INC    MD       8.01                 03/26/12

PARK OHIO HOLDINGS CORP                 OH       1.01,2.01,2.03,9.01  03/23/12

PATHEON INC                                      5.07                 03/22/12

PATTERSON UTI ENERGY INC                DE       7.01,9.01            03/27/12

PFSWEB INC                              DE       2.02                 03/22/12

Pinnacle Foods Finance LLC              DE       7.01,9.01            03/27/12

PIONEER DRILLING CO                     TX       7.01                 03/27/12

PLATINUM ENERGY SOLUTIONS, INC.         NV       1.01,3.02            03/21/12

PPL Corp                                         9.01                 04/01/11

ProPhase Labs, Inc.                     NV       2.02,9.01            03/06/12

pSivida Corp.                           DE       8.01                 03/27/12

Public Storage                          MD       1.01,1.02,2.03,9.01  03/21/12

PVH CORP. /DE/                          DE       2.02,9.01            03/27/12

QCR HOLDINGS INC                        DE       8.01,9.01            03/27/12

Quadrant 4 Systems Corp                 FL       4.01,9.01            03/19/12

QUALSTAR CORP                           CA       5.02,5.07,9.01       03/21/12

Raptor Pharmaceutical Corp              DE       8.01,9.01            03/26/12

Raystream Inc.                          NV       1.01,2.03            03/21/12

RAYTHEON CO/                            DE       5.02                 01/25/12    AMEND

REPROS THERAPEUTICS INC.                DE       2.02,9.01            03/27/12

RIMAGE CORP                             MN       5.02,9.01            03/22/12

ROWAN COMPANIES INC                     DE       7.01,9.01            03/27/12

ROWAN COMPANIES INC                     DE       7.01,8.01,9.01       03/27/12    AMEND

ROYAL MINES & MINERALS CORP             NV       7.01,9.01            03/27/12

Saker Aviation Services, Inc.           NV       2.02,9.01            03/27/12

SCHLUMBERGER LTD /NV/                   P8       5.02                 03/27/12

SeaCube Container Leasing Ltd.                   1.01,2.03,7.01,9.01  03/27/12

SEALY CORP                              DE       2.02,9.01            03/27/12

ShoreTel Inc                            CA       2.01,3.02,9.01       03/23/12

Siberian Energy Group Inc.              NV       5.02                 03/20/12

SMITHFIELD FOODS INC                    VA       2.02,9.01            03/27/12

SOUTHERN COMMUNITY FINANCIAL CORP                8.01,9.01            03/26/12

SOUTHERN UNION CO                       DE       1.01,1.02,2.01,3.01, 03/23/12
                                                 3.03,5.01,5.02,5.03,
                                                 9.01
   
STEEL PARTNERS HOLDINGS L.P.            DE       2.02,9.01            03/26/12

StellarOne CORP                         VA       5.02,9.01            03/27/12

STEWART ENTERPRISES INC                 LA       8.01,9.01            03/27/12

Strike Axe, Inc                         DE       1.01,2.01,3.02,4.01, 11/29/11    AMEND
                                                 5.01,5.02,5.06,8.01,
                                                 9.01
   
SUNRISE REAL ESTATE GROUP INC           TX       5.02,8.01,9.01       03/23/12

Symmetry Medical Inc.                   DE       8.01,9.01            03/23/12

SYNNEX CORP                             DE       2.02,9.01            03/27/12

SYNTHESIS ENERGY SYSTEMS INC            DE       7.01,9.01            03/26/12

TAIWAN FUND INC                         DE       7.01,9.01            02/29/12

TAL International Group, Inc.           DE       1.01,9.01            03/23/12

TARGACEPT INC                                    8.01                 03/27/12

TARGACEPT INC                                    8.01,9.01            03/27/12

Targeted Medical Pharma, Inc.                    4.02                 03/21/12

TEREX CORP                              DE       1.01,8.01,9.01       03/22/12

THERMO FISHER SCIENTIFIC INC.           DE       5.02                 03/23/12

TII NETWORK TECHNOLOGIES, INC.          DE       5.02,9.01            03/23/12

TOMPKINS FINANCIAL CORP                 NY       8.01,9.01            03/27/12

TRINITY CAPITAL CORP                    NM       4.01,9.01            03/26/12

Ubiquiti Networks, Inc.                 DE       5.02,9.01            03/21/12

UIL HOLDINGS CORP                       CT       5.02                 03/23/12

United States 12 Month Natural Gas Fu            7.01,9.01            03/27/12

United States 12 Month Oil Fund, LP              7.01,9.01            03/27/12

United States Brent Oil Fund, LP        DE       7.01,9.01            03/27/12

United States Commodity Index Funds T   DE       7.01,9.01            03/27/12

United States Gasoline Fund, LP         DE       7.01,9.01            03/27/12

United States Heating Oil Fund, LP      DE       7.01,9.01            03/27/12

UNITED STATES LIME & MINERALS INC       TX       8.01,9.01            03/23/12

United States Natural Gas Fund, LP               7.01,9.01            03/27/12

United States Oil Fund, LP              DE       7.01,9.01            03/27/12

United States Short Oil Fund, LP        DE       7.01,9.01            03/27/12

UNITEDHEALTH GROUP INC                  MN       5.02                 03/26/12

UNIVERSAL INSURANCE HOLDINGS, INC.      DE       2.02,9.01            03/26/12

UNIVERSAL POWER GROUP INC.              TX       2.02,8.01,9.01       03/19/12

VANGUARD HEALTH SYSTEMS INC             DE       2.02,8.01,9.01       03/27/12

VANGUARD HEALTH SYSTEMS INC             DE       7.01,8.01,9.01       03/27/12

Vantiv, Inc.                                     1.01,2.03,5.02,8.01, 03/21/12
                                                 9.01
          
VERMILLION, INC.                        DE       2.02,7.01,9.01       03/27/12

VIRGIN MEDIA INC.                       DE       8.01,9.01            03/27/12

VOLUNTEER BANCORP INC                   TN       1.01,9.01            03/21/12

VRDT Corp                               DE       1.01,7.01,9.01       03/20/12

VRDT Corp                               DE       7.01,9.01            03/26/12

Vuzix Corp                              DE       1.01,2.03,9.01       03/23/12

WABASH NATIONAL CORP /DE                DE       1.01,7.01,9.01       03/26/12

WALGREEN CO                             IL       2.02,7.01,9.01       03/27/12

WebXU, Inc.                             DE       5.02,9.01            02/10/12

WELLS REAL ESTATE FUND XIII L P                  1.01                 03/21/12

WELLS REAL ESTATE FUND XIV LP           GA       1.01                 03/21/12

WEST MARINE INC                         DE       5.02                 03/27/12

WESTELL TECHNOLOGIES INC                DE       1.01,5.02,9.01       03/26/12

Western Gas Partners LP                 DE       9.01                 01/13/12    AMEND

WET SEAL INC                            DE       2.02,9.01            03/22/12

Willdan Group, Inc.                     DE       2.02,9.01            03/27/12

WINNEBAGO INDUSTRIES INC                IA       5.02,9.01            03/22/12    AMEND

WPCS INTERNATIONAL INC                  DE       5.02,9.01            03/25/12

XCel Brands, Inc.                       DE       7.01,9.01            03/27/12

YUM BRANDS INC                          NC       1.01,2.03            03/22/12

ZHONGPIN INC.                           DE       8.01,9.01            03/27/12

ZIONS BANCORPORATION /UT/               UT       8.01,9.01            03/22/12

http://www.sec.gov/news/digest/2012/dig032812.htm