SEC News Digest

Commission Announcements

SEC Suspends Trading in Securities of HydroGenetics, Inc.

The Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of HydroGenetics, Inc. (HydroGenetics), of Fort Lauderdale, Florida at 9:30 a.m. EDT on May 2, 2012, and terminating at 11:59 p.m. EDT on May 15, 2012.

The Commission temporarily suspended trading in the securities of HydroGenetics because of questions that have been raised about the accuracy and adequacy of publicly available information about HydroGenetics because it has not filed a periodic report since its Form 10 registration statement became effective in January 2005.

The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to HydroGenetics’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker, dealer or other person has any information which may relate to this matter, please call Elisha L. Frank, Assistant Regional Director, Miami Regional Office, (305) 982-6392. (Rel. 34-66898)

Securities and Exchange Commission Suspends Trading in the Securities of Recycle Tech, Inc. For Failure to Make Required Periodic Filings

The U.S. Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of Recycle Tech, Inc. (Recycle Tech), a Colorado corporation headquartered in Miami, Florida, at 9:30 a.m. EDT on May 2, 2012, and terminating at 11:59 p.m. EDT on May 15, 2012.

The Commission temporarily suspended trading in the securities of Recycle Tech because of questions that have been raised about the lack of current and accurate information concerning the securities of Recycle Tech because it has not filed a periodic report since its Form 10-Q for the quarterly period ending November 30, 2009, filed on January 13, 2010.

The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5760. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Recycle Tech’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.

If any broker dealer or other person has any information which may relate to this matter, they should immediately contact James Carlson, Senior Trial Counsel, Miami Regional Office of the Securities and Exchange Commission at (305) 982-6328. (Rel. 34-66901)

Enforcement proceedings

In the Matter of HydroGenetics, Inc.

The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order (Order) against HydroGenetics, Inc. The Order finds that HydroGenetics violated Sections 5(a) and 5(c) of the Securities Act of 1933 by issuing shares of its stock without a registration statement being in effect, or without an applicable exemption from registration.

Based on the above, the Order requires that HydroGenetics cease and desist from committing or causing any violations and any future violations of Sections 5(a) and 5(c) of the Securities Act. HydroGenetics consented to the issuance of the Order without admitting or denying any of the findings. (Rel. 33-9321; File No. 3-14865)

Commission Revokes Registration of Securities of Cardiovascular Biotherapeutics, Inc. For Failure to Make Required Periodic Filings

On May 2, 2012, the Commission revoked the registration of each class of registered securities of CardioVascular BioTherapeutics, Inc. (CVBT) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, CVBT consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to CardioVascular BioTherapeutics, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of CVBT’s securities pursuant to Section 12(j) of the Exchange Act. This order settled the charges brought against CVBT in In the Matter of AP Henderson Group, et al., Administrative Proceeding File No. 3-14843.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of AP Henderson Group, et al., Administrative Proceeding File No. 3-14843, Exchange Act Release No. 66787 (April 12, 2012). (Rel. 34-66897; File No. 3-14843)

Delinquent Filer’s Stock Registration Revoked

The registration of the registered securities of Toolex International N.V. (Toolex) has been revoked. Toolex had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, it violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-66899; File No. 3-14786)

In the Matter of HydroGenetics, Inc.

The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Order) against HydroGenetics, Inc. The purpose of the proceeding is to determine whether the registration of HydroGenetics’ common stock should be suspended or revoked. The Division of Enforcement (Division) alleges that HydroGenetics failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13, in that it has never made any of its required periodic reports.

A hearing will be scheduled to take evidence on the Division’s allegations, to afford HydroGenetics the opportunity to establish defenses to the allegations, and to determine whether the registration of HydroGenetics’ common stock should be suspended or revoked. The Administrative Law Judge shall issue an initial decision no later than 120 days from the date of service of this Order. (Rel. 34-66900; File No. 3-14864)

In the Matter of Recycle Tech, Inc.

The U.S. Securities and Exchange Commission (Commission) today announced the institution of an administrative proceeding against Recycle Tech, Inc. (Recycle Tech) pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act). Recycle Tech is a Colorado corporation headquartered in Miami, Florida. The purpose of the proceeding is to determine whether the registration of each class of Recycle Tech’s securities should be suspended for a period not exceeding twelve months or revoked. The Division of Enforcement (Division) alleges that Recycle Tech failed to comply with Section 13(a) of the Exchange Act and Exchange Act Rules 13a-1 and 13a-13, by not filing any periodic reports since January 13, 2010 when it filed a Form 10-Q for the quarterly period ending November 30, 2009.

A hearing will be scheduled before an Administrative Law Judge to take evidence on the Division’s allegations, to afford Recycle Tech the opportunity to establish defenses to the allegations, and to determine whether the registration of each class of Recycle Tech’s securities should be suspended for a period not exceeding twelve months or revoked. The Administrative Law Judge shall issue an initial decision no later than 120 days from the date of service of this Order. (Rel. 34-66902; File No. 3-14866)

Securities and Exchange Commission Orders Hearing on Registration Revocation Against Chinese Oil Services Company For Failure to Make Required Periodic Filings

Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend, for a period not exceeding twelve months, the registration of each class of the securities of SinoTech Energy Limited for failure to make required periodic filings with the Commission.

In this Order, the Division of Enforcement (the “Division”) alleges that SinoTech is delinquent in its required periodic filings with the Commission.

In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and SinoTech to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rule 13a-1thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of SinoTech should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66906; File No. 3-14867)

In the Matter of Matthew J. Gagnon

On May 2, 2012, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Matthew J. Gagnon (Gagnon) based upon the entry on March 22, 2012 of a permanent injunction against Gagnon in Securities and Exchange Commission v. Matthew J. Gagnon (Civil Action Number 10-CV-11891 (E.D. Mich.)), permanently enjoining 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) of the Exchange Act and Rule 10b-5 thereunder.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide Gagnon an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest.

The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-66907; File No. 3-14868)

Eleventh Circuit Court of Appeals Affirms the District Court’s Order Granting Summary Judgment Against Michael Lauer and Ordering Him to Pay More Than $62 Million

The United States Court of Appeals for the Eleventh Circuit has affirmed the District Court’s grant of summary judgment against Michael Lauer, who controlled several hedge funds. The Eleventh Circuit held that the District Court “had before it overwhelming evidence of Lauer’s knowing false statements.” The Eleventh Circuit also found that the District Court did not abuse its discretion in ordering Lauer to disgorge more than $62 million. In addition, the Eleventh Circuit affirmed the District Court’s decisions denying Lauer’s repeated efforts to modify the asset freeze and change venue.

On September 23, 2008, the Honorable Kenneth A. Marra, United States District Judge for the Southern District of Florida, granted in part the Commission's motion for summary judgment against Michael Lauer, the architect of a more than $500 million hedge fund fraud. The Court also permanently enjoined Lauer from further violating Sections 17(a) of the Securities Act of 1933; Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934 (Exchange Act), both individually and as a control person pursuant to Section 20(a) of the Exchange Act; and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. In addition, on May 7, 2009, the judge ordered Lauer to pay disgorgement of $43,688,249, representing illegally obtained monies and prejudgment interest of $18,908,558.74. In addition, on August 17, 2009, the Court imposed a $500,000 civil penalty against Lauer. [SEC, Plaintiff-Appellee v. Michael Lauer Defendant-Appellant, United States Court of Appeals for the Eleventh Circuit, Appeal No. 09-15138; SEC v. Michael Lauer, 003-80612-CV-KAM (S.D. FL)] (LR-22355)

Self-Regulatory Organizations

Proposed Rule Changes

The Commission issued notice of a proposed rule change submitted by NYSE Amex LLC (SR-NYSEAmex-2012-24) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list shares of the Nuveen Long/Short Commodity Total Return Fund under NYSE Amex Rule 1600 et seq. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-66887)

The Depository Trust Company (“DTC”) filed a proposed rule change (SR-DTC-2012-03) under Section 19(b)(1) of the Exchange Act to implement a change in the practices of DTC as they relate to post-payable adjustments. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-66894)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2012-038) to amend the 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 April 30. (Rel. 34-66888)

A proposed rule change (SR-BYX-2012-008) filed by the BATS Y-Exchange, Inc. (“BYX”) to modify BYX Rule 11.9 to allow optional attribution of orders 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 April 30. (Rel. 34-66890)

A proposed rule change (SR-BATS-2012-016) filed by the BATS Exchange, Inc. (“BATS”) to modify BATS Rule 11.9 and Rule 21.1 to allow optional attribution of orders 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 April 30. (Rel. 34-66891)

ICE Clear Credit LLC filed a proposed rule change (SR-ICC-2012-07) under Section 19(b)(1) of the Securities Exchange Act of 1934 to update the Contract Reference Obligation International Securities Identification Numbers in Schedule 502 of the ICC Rules in order to be consistent with the industry standard reference obligations for four single name contracts that ICC currently clears. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-66895)

Designation of Longer Period For Commission Action on Proposed Rule Change

The Commission has designated a longer period for Commission action, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, on a proposed rule change (SR-ISE-2012-22) filed by the International Securities Exchange, LLC to add an index option product for trading on the exchange. Publication is expected in the Federal Register during the week of April 30. (Rel. 34-66889)

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-3ASR  JETBLUE AIRWAYS CORP, 27-01 QUEENS PLAZA NORTH, LONG ISLAND CITY, NY, 
        11101, 7182867900 - 0 ($218,757,769.00) Equity, (File 333-181058 - 
        May. 1) (BR. 05B)

S-8     HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300, 
        SOUTH JORDAN, UT, 84095, 8019849400 - 0 ($11,664,000.00) Equity, 
        (File 333-181060 - May. 1) (BR. 06A)

S-8     HEADWATERS INC, 10653 SOUTH RIVERFRONT PARKWAY, SUITE 300, 
        SOUTH JORDAN, UT, 84095, 8019849400 - 0 ($6,000,002.00) Other, 
        (File 333-181061 - May. 1) (BR. 06A)

S-3     HOST HOTELS & RESORTS L.P., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, 
        MD, 20817-1109, 240-744-1000 - 0 ($2,000,000,000.00) Other, 
        (File 333-181063 - May. 1) (BR. 08B)

S-4     HOST HOTELS & RESORTS L.P., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, 
        MD, 20817-1109, 240-744-1000 - 0 ($300,000,000.00) Other, 
        (File 333-181065 - May. 1) (BR. 08B)

S-8     Domark International Inc., 254 S RONALD REAGAN BLVD, STE 134, LONGWOOD, 
        FL, 32750, 321-250-4996 - 500,000 ($715,000.00) Equity, 
        (File 333-181068 - May. 1) (BR. 11C)

S-8     BLUEPHOENIX SOLUTIONS LTD, 8 MASKIT STREET, HERZLIA, L3, 46120, 
        972-9-952-6110 - 700,000 ($1,155,000.00) Equity, (File 333-181069 - 
        May. 1) (BR. 03C)

S-1     Madison County Financial, Inc., 111 WEST THIRD STREET, MADISON, NE, 
        68748, (402) 454-6511 - 0 ($42,981,250.00) Equity, (File 333-181070 - 
        May. 1) (BR. 07)

S-8     ENVESTNET, INC., 35 E WACKER DR STE 2400, CHICAGO, IL, 60601, 
        312-827-2800 - 0 ($9,920,026.00) Equity, (File 333-181071 - May. 1) 
        (BR. 02)

S-8     RAMBUS INC, 1050 ENTERPRISE WAY, SUITE 700, SUNNYVALE, CA, 94089, 
        408-462-8000 - 0 ($36,855,000.00) Equity, (File 333-181072 - May. 1) 
        (BR. 10C)

S-8     AMAZON COM INC, 410 TERRY AVENUE NORTH, SEATTLE, WA, 98109, 
        2062661000 - 0 ($8,481,454.00) Equity, (File 333-181073 - May. 1) 
        (BR. 02B)

S-3     SOLTA MEDICAL INC, 25881 INDUSTRIAL BOULEVARD, HAYWARD, CA, 94545, 
        5107822286 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-181074 - May. 1) (BR. 10C)

S-8     CORNING INC /NY, ONE RIVERFRONT PLAZA, CORNING, NY, 14831, 6079749000 - 
        0 ($1,215,500,000.00) Equity, (File 333-181075 - May. 1) (BR. 06C)

F-3     Box Ships Inc., 15, Karamanli Avenue, Voula, Athens, J3, 16673, 
        011 30 210 8914 600 - 
        0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-181076 - 
        May. 1) (BR. 05C)

S-8     Ares Commercial Real Estate Corp, TWO NORTH LASALLE STREET, STE 925, 
        CHICAGO, IL, 60602, 312.324.5900 - 0 ($13,917,120.00) Equity, 
        (File 333-181077 - May. 1) (BR. 08)

S-8     BAKERS FOOTWEAR GROUP INC, 2815 SCOTT AVE, ST LOUIS, MO, 63103, 
        3146210699 - 1,010,000 ($772,650.00) Equity, (File 333-181078 - May. 1) 
        (BR. 09A)

S-3ASR  Phillips 66, 600 N. DAIRY ASHFORD RD., MCLEAN 1146, HOUSTON, TX, 77079, 
        281-293-3632 - 0 ($447,850,000.00) Equity, (File 333-181079 - May. 1) 
        (BR. 04A)

S-8     Phillips 66, 600 N. DAIRY ASHFORD RD., MCLEAN 1146, HOUSTON, TX, 77079, 
        281-293-3632 - 0 ($2,824,900,000.00) Equity, (File 333-181080 - May. 1) 
        (BR. 04A)

S-8     First Connecticut Bancorp, Inc., ONE FARM GLEN BOULEVARD, FARMINGTON, 
        CT, 06032, 860-676-4600 - 75,000 ($999,000.00) Equity, 
        (File 333-181081 - May. 1) (BR. 07C)

S-8     CISCO SYSTEMS, INC., 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 
        4085264000 - 114,551 ($2,132,457.68) Equity, (File 333-181082 - May. 1) 
        (BR. 03C)

S-8     ORBITAL SCIENCES CORP /DE/, 45101 WARP DRIVE, DULLES, VA, 20166, 
        703 406 5524 - 2,500,000 ($30,025,000.00) Equity, (File 333-181083 - 
        May. 1) (BR. 11A)

S-8     UNITED RENTALS INC /DE, FOUR GREENWICH OFFICE PARK, GREENWICH, CT, 
        06830, 2036223131 - 0 ($83,280,279.91) Equity, (File 333-181084 - 
        May. 1) (BR. 06B)

S-3     VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155, 
        SAN DIEGO, CA, 92130, 760-230-8986 - 
        104,913,271 ($3,227,392.97) Equity, (File 333-181085 - May. 1) (BR. 11A)

S-3ASR  GANNETT CO INC /DE/, 7950 JONES BRANCH DRIVE, MCLEAN, VA, 22107-0910, 
        7038546000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-181086 - May. 1) (BR. 05A)

S-8     AMERICAN GREETINGS CORP, ONE AMERICAN ROAD, CLEVELAND, OH, 44144, 
        2162527300 - 0 ($74,650,000.00) Equity, (File 333-181087 - May. 1) 
        (BR. 05A)

S-4     Aircastle LTD, C/O AIRCASTLE ADVISOR LLC, 
        300 FIRST STAMFORD PLACE, 5TH FLOOR, STAMFORD, CT, 06902, 
        (203) 504-1020 - 0 ($800,000,000.00) Debt, (File 333-181088 - May. 1) 
        (BR. 06C)

S-3ASR  AFLAC INC, 1932 WYNNTON RD, COLUMBUS, GA, 31999, 7063233431 - 
        0 ($0.00) Debt, (File 333-181089 - May. 1) (BR. 01A)

S-1     Delphi Automotive PLC, COURTNEY ROAD, HOATH WAY, GILLINGHAM, KENT, X0, 
        ME8 0RU, 011-44-163-423-4422 - 0 ($6,487,011,209.49) Equity, 
        (File 333-181090 - May. 1) (BR. 05B)

S-8     VelaTel Global Communications, Inc., 12526 HIGH BLUFF DRIVE, STE 155, 
        SAN DIEGO, CA, 92130, 760-230-8986 - 31,149,720 ($697,753.68) Equity, 
        (File 333-181091 - May. 1) (BR. 11A)

S-8     JOHNSON & JOHNSON, ONE JOHNSON & JOHNSON PLZ, NEW BRUNSWICK, NJ, 08933, 
        732-524-2455 - 200,000,000 ($12,982,000,000.00) Equity, 
        (File 333-181092 - May. 1) (BR. 01B)

S-1     Angie's List, Inc., 1030 EAST WASHINGTON STREET, SUITE 100, 
        INDIANAPOLIS, IN, 46202, 317-803-3973 - 0 ($75,000,000.00) Equity, 
        (File 333-181093 - May. 1) (BR. 11C)

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

-----------------------------------------------------------------------------------------

1ST SOURCE CORP                         IN       5.02,5.07            04/26/12

3D SYSTEMS CORP                         DE       5.02                 04/27/12

8X8 INC /DE/                            DE       1.01                 04/27/12

ABAXIS INC                              CA       5.02                 04/25/12

ABBOTT LABORATORIES                     IL       5.07                 04/27/12

AbitibiBowater Inc.                     DE       2.02,8.01,9.01       05/01/12

ACACIA RESEARCH CORP                    DE       8.01                 04/26/12

Acadia Healthcare Company, Inc.         DE       7.01,9.01            05/01/12

Accenture plc                           L2       5.02,9.01            04/27/12

ACCENTURE SCA                                    5.02,9.01            04/27/12

ACME PACKET INC                         DE       1.01,8.01,9.01       04/25/12

ACURA PHARMACEUTICALS, INC              NY       2.02,9.01            05/01/12

AECOM TECHNOLOGY CORP                   DE       5.02                 04/25/12

Aegerion Pharmaceuticals, Inc.          DE       2.02,9.01            05/01/12

AEROSONIC CORP /DE/                     DE       2.02,9.01            04/30/12

AFFILIATED MANAGERS GROUP INC           DE       2.02,8.01,9.01       05/01/12

AGCO CORP /DE                           DE       2.02,9.01            05/01/12

AGCO CORP /DE                           DE       5.07                 05/01/12

AGL RESOURCES INC                       GA       2.02,9.01            05/01/12

AGL RESOURCES INC                       GA       8.01,9.01            05/01/12

ALASKA COMMUNICATIONS SYSTEMS GROUP I   DE       2.02,9.01            05/01/12

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            05/01/12

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       8.01,9.01            04/30/12

Alternative Energy Partners, Inc.       FL       1.01,9.01            05/01/12

AMAG PHARMACEUTICALS INC.               DE       2.02,9.01            05/01/12

AMAZON COM INC                          DE       7.01                 05/01/12

AMERIANA BANCORP                        IN       2.02,9.01            04/30/12

American Assets Trust, Inc.             MD       2.02,7.01,9.01       05/01/12

AMERICAN AXLE & MANUFACTURING HOLDING   DE       5.02,5.07,9.01       04/25/12

AMERICAN BAR ASSOCIATION MEMBERS / NO   IL       1.01,1.02            04/25/12

AMERICAN CAPITAL, LTD                            2.02,9.01            05/01/12

American Electric Technologies Inc      FL       5.02                 04/25/12

AMSURG CORP                             TN       7.01,9.01            05/01/12

Amtrust Financial Services, Inc.        DE       2.02,9.01            05/01/12

AMYRIS, INC.                            DE       5.02                 04/25/12

ANADIGICS INC                           DE       2.02,9.01            05/01/12

APRIA HEALTHCARE GROUP INC              DE       2.02,9.01            05/01/12

APRIA HEALTHCARE GROUP INC              DE       7.01                 05/01/12

ARCH COAL INC                           DE       2.02,9.01            05/01/12

ARCH COAL INC                           DE       7.01,9.01            05/01/12

ARCHER DANIELS MIDLAND CO               DE       2.02,9.01            05/01/12

ARENA PHARMACEUTICALS INC               DE       2.02,9.01            05/01/12

ARRAY BIOPHARMA INC                     DE       5.02,9.01            04/26/12

ARROW ELECTRONICS INC                   NY       2.02,9.01            05/01/12

ASB Bancorp Inc                                  2.02,9.01            05/01/12

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            05/01/12

ASPEN TECHNOLOGY INC /DE/               DE       2.02,9.01            05/01/12

ASTRONICS CORP                          NY       2.02,9.01            05/01/12

Atkore International Holdings Inc.      DE       2.02                 04/26/12

Atlantic Coast Financial CORP           MD       2.02,9.01            05/01/12

Atlas Energy, L.P.                      DE       2.01,9.01            04/30/12

Atlas Energy, L.P.                      DE       5.07                 04/26/12

Atlas Resource Partners, L.P.                    1.01,2.01,2.03,3.02, 04/30/12
                                                 7.01,8.01,9.01

Atlas Therapeutics Corp                 NV       5.02                 04/30/12

ATWOOD OCEANICS INC                     TX       7.01,9.01            04/30/12

ATWOOD OCEANICS INC                     TX       2.02,9.01            05/01/12

Aurum, Inc.                             DE       5.02                 04/30/12

AUTOLIV INC                             DE       8.01,9.01            04/30/12

AUTOMATIC DATA PROCESSING INC           DE       2.02,9.01            05/01/12

AVON PRODUCTS INC                       NY       2.02,9.01            05/01/12

BANCTRUST FINANCIAL GROUP INC           AL       2.02,9.01            04/30/12

Bankrate, Inc.                          DE       2.02,9.01            05/01/12

BankUnited, Inc.                        DE       7.01,9.01            05/01/12

BAR HARBOR BANKSHARES                   ME       1.01                 05/01/12

BAZI INTERNATIONAL, INC.                NV       2.03,9.01            04/25/12

BB&T CORP                               NC       5.03,8.01,9.01       04/27/12

BECTON DICKINSON & CO                   NJ       2.02,9.01            05/01/12

BIDGIVE INTERNATIONAL INC               DE       5.02                 04/26/12

BIG 5 SPORTING GOODS CORP               DE       2.02,9.01            05/01/12

BIO RAD LABORATORIES INC                DE       2.02,9.01            05/01/12

BIO REFERENCE LABORATORIES INC          NJ       1.01,9.01            04/27/12

BIOGEN IDEC INC.                        DE       2.02,9.01            05/01/12

BIOSPECIFICS TECHNOLOGIES CORP          DE       7.01,9.01            05/01/12

Bizzingo, Inc.                          NV       7.01,9.01            05/01/12

BKF CAPITAL GROUP INC                   DE       8.01,9.01            05/01/12

BLACKSANDS PETROLEUM, INC.              NV       1.01,2.03,9.01       04/09/12

BLUE RIDGE REAL ESTATE CO               PA       5.07                 04/10/12    AMEND

BMC SOFTWARE INC                        DE       5.02,9.01            04/26/12

BNC BANCORP                             NC       2.02,9.01            04/30/12

BNC BANCORP                             NC       1.01,9.01            04/27/12

BOOKS A MILLION INC                     DE       5.02                 04/25/12    AMEND

BRE PROPERTIES INC /MD/                 MD       2.02,8.01,9.01       05/01/12

Bridgepoint Education Inc               DE       2.02,9.01            05/01/12

BROADCOM CORP                           CA       2.02,9.01            05/01/12

BROADCOM CORP                           CA       9.01                 02/17/12    AMEND

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       8.01,9.01            05/01/12

BRUKER CORP                             DE       2.02,9.01            05/01/12

BTU INTERNATIONAL INC                   DE       2.02,9.01            05/01/12

Buckeye Oil & Gas, Inc.                 FL       8.01,9.01            04/30/12

Business Development Corp of America    MD       8.01,9.01            05/01/12

CAESARS ENTERTAINMENT Corp              DE       2.02,9.01            05/01/12

CALAVO GROWERS INC                      CA       5.07                 04/25/12

CALGON CARBON CORPORATION               DE       2.02,5.07,9.01       04/27/12

CALIX, INC                                       2.02,9.01            05/01/12

Campus Crest Communities, Inc.          MD       2.02,9.01            04/30/12

CANAL CAPITAL CORP                      DE       4.01,9.01            04/18/12

Cape Bancorp, Inc.                      MD       5.07,7.01,9.01       04/30/12

CAPITAL CITY BANK GROUP INC             FL       2.02,9.01            03/31/12

Capital Group Holdings, Inc.            MN       4.01                 04/26/12

CAPITAL ONE FINANCIAL CORP              DE       1.01,2.01,9.01       05/01/12

CAPITAL SOUTHWEST CORP                  TX       2.02,9.01            05/01/12

CAPITOL BANCORP LTD                     MI       5.02                 05/01/12

Capitol Federal Financial Inc           MD       1.01,2.01,9.01       04/27/12

Capitol Federal Financial Inc           MD       2.02,9.01            04/30/12

Carbonite Inc                           DE       2.02,9.01            05/01/12

CARDICA INC                             DE       2.02,9.01            05/01/12

CASTLE A M & CO                         MD       2.02,9.01            05/01/12

Catalent Pharma Solutions, Inc.         DE       2.01,9.01            02/17/12    AMEND

CAVIUM, INC.                            DE       2.02,9.01            05/01/12

CBL & ASSOCIATES PROPERTIES INC         DE       2.02,9.01            04/30/12

CBOE Holdings, Inc.                     DE       2.02,9.01            05/01/12

CBS CORP                                DE       2.02,9.01            05/01/12

CD INTERNATIONAL ENTERPRISES, INC.      FL       8.01                 04/30/12

CENTERLINE HOLDING CO                   DE       1.01,9.01            04/25/12

CENTRAL EUROPEAN MEDIA ENTERPRISES LT            2.02,9.01            04/30/12

Cereplast Inc                           NV       1.01,9.01            04/30/12

CERUS CORP                              DE       2.02,9.01            05/01/12

CF Industries Holdings, Inc.            DE       1.01,1.02,2.03,9.01  05/01/12

CHART INDUSTRIES INC                    DE       7.01,9.01            05/01/12

CHARTER COMMUNICATIONS, INC. /MO/       DE       5.02,8.01,9.01       04/30/12

CHARTER FINANCIAL CORP/GA                        2.02,9.01            04/30/12

CHEESECAKE FACTORY INC                  DE       8.01,9.01            05/01/12

Chefs' Warehouse, Inc.                  DE       1.01,2.01,2.03,9.01  04/25/12    AMEND

ChemoCentryx, Inc.                      DE       5.02,7.01,9.01       04/25/12

Chemtura CORP                           DE       2.02,9.01            05/01/12

Chesapeake Lodging Trust                MD       2.02,9.01            05/01/12

Chrysler Group LLC                      DE       8.01,9.01            05/01/12

CIGNA CORP                              DE       5.07                 04/25/12

Ciralight Global, Inc.                  NV       5.02                 04/24/12

CIRCOR INTERNATIONAL INC                DE       1.01,1.02,3.03,5.03, 05/01/12
                                                 9.01
          
CITIZENS REPUBLIC BANCORP, INC.         MI       5.02,5.07            04/25/12

CITY HOLDING CO                         WV       7.01,9.01            05/01/12

CNL Healthcare Trust, Inc.              MD       9.01                 02/16/12    AMEND

CNO Financial Group, Inc.               DE       2.02,9.01            05/01/12

Cobalt International Energy, Inc.                2.02,9.01            05/01/12

COBIZ FINANCIAL INC                     CO       7.01                 05/01/12

CODORUS VALLEY BANCORP INC              PA       7.01,9.01            05/01/12

COLLECTIVE BRANDS, INC.                 DE       8.01,9.01            05/01/12

COLLECTIVE BRANDS, INC.                 DE       8.01,9.01            05/01/12

COLONIAL PROPERTIES TRUST               AL       5.07                 04/25/12

COMSTOCK RESOURCES INC                  NV       2.01,9.01            04/30/12

Con-way Inc.                            DE       2.02,9.01            05/01/12

CONCURRENT COMPUTER CORP/DE             DE       2.02,9.01            05/01/12

Congaree Bancshares Inc                 SC       2.02,9.01            05/01/12

CONNS INC                               DE       1.01,7.01,9.01       05/01/12

CONOCOPHILLIPS                          DE       1.01,2.01,5.02,8.01, 04/26/12
                                                 9.01
          
Converted Organics Inc.                 DE       8.01                 04/27/12

Convio, Inc.                            DE       5.02                 04/25/12

CORN PRODUCTS INTERNATIONAL INC         DE       2.02,9.01            05/01/12

CORNING INC /NY                         NY       5.02,5.03,5.07,8.01, 04/26/12
                                                 9.01
          
CREDEX CORP                             FL       4.01,9.01            04/16/12    AMEND

CROSSROADS SYSTEMS INC                  DE       5.07                 04/25/12

CSG SYSTEMS INTERNATIONAL INC           DE       2.02,9.01            05/01/12

CUMMINS INC                             IN       2.02,9.01            05/01/12

CVR ENERGY INC                          DE       2.02,9.01            05/01/12

CVR PARTNERS, LP                        DE       2.02,9.01            05/01/12

CYNOSURE INC                                     2.02,9.01            05/01/12

CYTORI THERAPEUTICS, INC.               DE       1.02                 04/30/12

DATA I/O CORP                           WA       2.02,9.01            03/31/12

DCP Midstream Partners, LP              DE       5.02,9.01            04/25/12

DELTA NATURAL GAS CO INC                KY       8.01,9.01            05/01/12

DENTSPLY INTERNATIONAL INC /DE/         DE       2.02,9.01            05/01/12

Destination Maternity Corp              DE       8.01,9.01            05/01/12

DIAMOND HILL INVESTMENT GROUP INC       OH       8.01                 05/01/12

DIEBOLD INC                             OH       5.07                 04/26/12

DIGITALGLOBE INC                                 2.02,9.01            05/01/12

DineEquity, Inc                         DE       2.02,9.01            05/01/12

DOMINOS PIZZA INC                                2.02,9.01            05/01/12

Dorman Products, Inc.                   PA       2.02,9.01            05/01/12

DST SYSTEMS INC                         DE       2.02,9.01            05/01/12

DUPONT E I DE NEMOURS & CO              DE       5.07                 04/25/12

DXP ENTERPRISES INC                     TX       1.01,7.01,9.01       04/30/12

DYNAMIC MATERIALS CORP                  DE       2.02,9.01            05/01/12

EAGLE BANCORP INC                       MD       1.01,8.01,9.01       04/30/12

EAGLE ROCK ENERGY PARTNERS L P          DE       7.01                 04/30/12

Earn-A-Car Inc.                         NV       1.01,2.01,5.01,5.02, 12/07/11    AMEND
                                                 5.06,9.01
     
EARTH DRAGON RESOURCES INC.                      2.04,3.02            04/27/12

EBAY INC                                DE       5.02                 05/01/12

EBIX INC                                DE       1.01,1.02,2.03,9.01  04/26/12

ECOLAB INC                              DE       2.02,9.01            05/01/12

ECOLOGY COATINGS, INC.                  NV       3.02                 05/01/12

ELECTRONIC SYSTEMS TECHNOLOGY INC       WA       8.01,9.01            04/30/12

EMERSON ELECTRIC CO                     MO       2.02,9.01            05/01/12

EMULEX CORP /DE/                        DE       5.02                 04/26/12

ENBRIDGE ENERGY PARTNERS LP             DE       2.02,9.01            04/30/12

Encore Bancshares Inc                   TX       8.01                 05/01/12

ENDO PHARMACEUTICALS HOLDINGS INC       DE       2.02,9.01            05/01/12

ENDOCYTE INC                            DE       7.01                 04/27/12

ENERGIZER HOLDINGS INC                  MO       5.07                 01/30/12    AMEND

Energy Future Holdings Corp /TX/        TX       2.02,9.01            05/01/12

Energy Transfer Equity, L.P.            DE       1.01,9.01            04/29/12

Energy Transfer Partners, L.P.          DE       1.01,3.02,9.01       04/29/12

ENTERPRISE FINANCIAL SERVICES CORP      DE       2.02,9.01            04/30/12

ENTERTAINMENT PROPERTIES TRUST          MD       2.02,9.01            04/30/12

ENVESTNET, INC.                         DE       2.01,3.02,8.01,9.01  05/01/12

ENVIRONMENTAL TECTONICS CORP            PA       5.03,9.01            04/26/12

EPOCRATES INC                           DE       2.02,9.01            05/01/12

ESCALADE INC                            IN       5.07                 04/27/12

EVEREST RE GROUP LTD                    D0       5.02,9.01            05/01/12

EXACT SCIENCES CORP                     DE       2.02,9.01            05/01/12

EXACTECH INC                            FL       2.02,7.01,9.01       05/01/12

Exterra Energy Inc.                     NV       1.03,8.01            12/15/11

FARMERS NATIONAL BANC CORP /OH/         OH       5.07                 04/26/12

Federal Home Loan Bank of Atlanta       X1       2.03                 05/01/12

Federal Home Loan Bank of Boston        X1       2.03                 04/25/12

Federal Home Loan Bank of Chicago       X1       2.03                 04/25/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            04/26/12

Federal Home Loan Bank of Dallas                 2.03,9.01            04/25/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            04/27/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            05/01/12

Federal Home Loan Bank of New York      X1       8.01                 05/01/12

Federal Home Loan Bank of New York      X1       2.03,9.01            04/26/12

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01,9.01       05/01/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            04/25/12

Federal Home Loan Bank of San Francis   X1       2.03                 04/25/12

Federal Home Loan Bank of Seattle                2.03                 04/25/12

Federal Home Loan Bank of Topeka                 2.03,9.01            04/25/12

FedFirst Financial Corp                          2.02,9.01            04/30/12

FEI CO                                  OR       2.02,9.01            05/01/12

FelCor Lodging Trust Inc                MD       2.02,9.01            05/01/12

FEMALE HEALTH CO                        WI       2.02,9.01            05/01/12

FIDELITY SOUTHERN CORP                  GA       5.07                 04/26/12

FIRST BANCORP /NC/                      NC       2.02,8.01,9.01       05/01/12

FIRST BUSINESS FINANCIAL SERVICES, IN   WI       7.01,9.01            05/01/12

First Federal of Northern Michigan Ba            2.02,9.01            05/01/12

FIRST NATIONAL CORP /VA/                         2.02,9.01            04/30/12

FIRST NORTHERN COMMUNITY BANCORP        CA       2.02,7.01,9.01       04/30/12

FIRST UNITED CORP/MD/                   MD       2.02,9.01            04/27/12

FIRSTENERGY CORP                        OH       2.02,9.01            05/01/12

FISERV INC                              WI       2.02,9.01            05/01/12

FLEETCOR TECHNOLOGIES INC               DE       1.01,7.01,9.01       04/27/12

FLEXTRONICS INTERNATIONAL LTD.          U0       2.02,9.01            05/01/12

Florida Bank Group, Inc.                FL       2.02,5.07,9.01       04/25/12

FORD MOTOR CO                           DE       8.01,9.01            05/01/12

FORMFACTOR INC                          DE       2.02,9.01            05/01/12

FOSTER L B CO                           PA       2.02,9.01            05/01/12

FOSTER WHEELER AG                       V8       2.02,9.01            05/01/12

FRANKLIN STREET PROPERTIES CORP /MA/             2.02,9.01            05/01/12

FRESH DEL MONTE PRODUCE INC             E9       2.02,9.01            05/01/12

FROZEN FOOD EXPRESS INDUSTRIES INC      TX       2.02,9.01            05/01/12

G&K SERVICES INC                        MN       2.02,9.01            05/01/12

GALECTIN THERAPEUTICS INC               NV       1.01,9.01            05/01/12

GALLAGHER ARTHUR J & CO                 DE       2.02,9.01            05/01/12

GALLERY MANAGEMENT HOLDING CORP                  9.01                 04/30/12

GAP INC                                 DE       7.01,9.01            04/30/12

GAYLORD ENTERTAINMENT CO /DE            DE       2.02,9.01            05/01/12

GEN PROBE INC                           DE       1.01,9.01            04/29/12

General Growth Properties, Inc.         DE       5.07                 04/27/12

General Growth Properties, Inc.         DE       2.02,7.01,9.01       05/01/12

GENESEE & WYOMING INC                   DE       2.02,9.01            05/01/12

Genpact LTD                             D0       2.02,9.01            05/01/12

GENWORTH FINANCIAL INC                  DE       2.02,9.01            05/01/12

GENWORTH FINANCIAL INC                  DE       5.02,5.03,9.01       04/30/12

GERON CORP                              DE       5.02                 04/27/12

Gevo, Inc.                              DE       2.02,9.01            05/01/12

GLADSTONE CAPITAL CORP                  MD       2.02,9.01            05/01/12

GLATFELTER P H CO                       PA       2.02,9.01            05/01/12

GOOD SAM ENTERPRISES, LLC               DE       8.01,9.01            04/23/12

Government Properties Income Trust      MD       2.02,9.01            05/01/12

Great Lakes Dredge & Dock CORP          DE       2.02,9.01            05/01/12

GREAT SOUTHERN BANCORP INC              MD       1.01,2.01,9.01       04/27/12

GRIFFIN LAND & NURSERIES INC            DE       8.01,9.01            04/25/12

Griffin-American Healthcare REIT II,    MD       7.01,9.01            05/01/12

GRYPHON GOLD CORP                       NV       7.01,9.01            05/01/12

GTX INC /DE/                            DE       5.02                 04/29/12

Halo Companies, Inc.                    DE       3.02,4.01            04/30/12

HAMPTON ROADS BANKSHARES INC            VA       2.02,7.01,9.01       05/01/12

HANDY & HARMAN LTD.                     DE       2.02,9.01            05/01/12

HANOVER INSURANCE GROUP, INC.           DE       2.02,9.01            04/30/12

HARLAND CLARKE HOLDINGS CORP            DE       2.02,7.01,9.01       05/01/12

HARLEYSVILLE GROUP INC                  DE       2.01,3.01,3.03,5.01, 05/01/12
                                                 5.02,5.03,9.01

HARRIS CORP /DE/                        DE       2.02,2.05,2.06,7.01, 04/27/12
                                                 9.01
          
HARRIS CORP /DE/                        DE       2.02,7.01,9.01       05/01/12

HASCO Medical, Inc.                     FL       9.01                 03/01/12    AMEND

HCC INSURANCE HOLDINGS INC/DE/          DE       2.02,9.01            05/01/12

HCP, INC.                               MD       2.02,9.01            05/01/12

HCP, INC.                               MD       5.07                 04/26/12

HEALTHCARE REALTY TRUST INC             MD       2.02,7.01,9.01       05/01/12

HEARTLAND PAYMENT SYSTEMS INC           DE       2.02,8.01,9.01       05/01/12

Heritage Financial Group Inc            MD       2.02,9.01            04/30/12

HFF, Inc.                               DE       2.02,9.01            04/30/12

HICKORY TECH CORP                       MN       2.02,9.01            05/01/12

Higher One Holdings, Inc.               DE       9.01                 05/01/12

HOLOGIC INC                             DE       1.01,7.01,9.01       04/29/12

Home Federal Bancorp, Inc. of Louisia   LA       2.02,9.01            05/01/12

HORTON D R INC /DE/                     DE       8.01,9.01            04/25/12

HOSPIRA INC                             DE       2.02,8.01,9.01       04/30/12

HOST HOTELS & RESORTS, INC.             MD       8.01,9.01            01/01/11

HOST HOTELS & RESORTS, INC.             MD       8.01,9.01            05/01/12

HSBC Finance Corp                                8.01,9.01            05/01/12

HSBC USA INC /MD/                       MD       8.01,9.01            05/01/12

HUDSON HIGHLAND GROUP INC               DE       2.05,5.02,5.03,5.07, 04/26/12
                                                 9.01
          
HUDSON HIGHLAND GROUP INC               DE       2.02,9.01            05/01/12

HUNT J B TRANSPORT SERVICES INC         AR       5.02,5.07            04/26/12

Huntsman CORP                           DE       2.02,9.01            05/01/12

HYDROMER INC                            NJ       8.01                 05/01/12

IMPAX LABORATORIES INC                  DE       2.02,9.01            05/01/12

IMPERIAL SUGAR CO /NEW/                 TX       1.01,3.02,3.03,5.02, 05/01/12
                                                 8.01,9.01
     
INDEPENDENT BANK CORP                   MA       7.01,8.01,9.01       05/01/12

Innophos Holdings, Inc.                          8.01,9.01            05/01/12

INSIGNIA SYSTEMS INC/MN                 MN       8.01,9.01            04/26/12

INSITE VISION INC                       DE       2.02,9.01            05/01/12

Interactive Brokers Group, Inc.         DE       5.07                 04/26/12

INTERFACE INC                           GA       5.03,9.01            05/01/12

Intermec, Inc.                          DE       1.01,2.02,2.04,5.02, 04/30/12
    7.01,9.01
     
INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,9.01            04/26/12

InZon CORP                              NV       5.02                 04/30/12

IPG PHOTONICS CORP                      DE       2.02,9.01            05/01/12

IRIS INTERNATIONAL INC                  DE       5.02,5.07,9.01       04/27/12

IRONWOOD PHARMACEUTICALS INC                     2.02,9.01            05/01/12

ITRON INC /WA/                          WA       8.01,9.01            05/01/12

JACOBS ENGINEERING GROUP INC /DE/       DE       2.02                 04/30/12

Jones Lang LaSalle Income Property Tr   MD       7.01                 04/26/12

KAMAN CORP                              CT       7.01                 05/01/12

KBS Real Estate Investment Trust III,   MD       1.01,2.01,2.03,9.01  04/30/12

KEY TRONIC CORP                         WA       2.02,9.01            05/01/12

KEYNOTE SYSTEMS INC                     DE       2.02,9.01            05/01/12

KFORCE INC                              FL       2.02,9.01            05/01/12

KILROY REALTY CORP                      MD       2.02,9.01            04/30/12

KINDER MORGAN ENERGY PARTNERS L P       DE       8.01,9.01            04/30/12

Kraton Performance Polymers, Inc.       DE       2.02,9.01            04/30/12

Kraton Performance Polymers, Inc.       DE       2.02,9.01            05/01/12

KULICKE & SOFFA INDUSTRIES INC          PA       2.02,9.01            05/01/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 05/01/12

LACLEDE GROUP INC                       MO       1.01                 04/30/12

LACROSSE FOOTWEAR INC                   WI       5.07                 04/27/12

Lake Shore Bancorp, Inc.                X1       2.02,9.01            05/01/12

Latitude Solutions, Inc.                NV       5.02                 04/22/12

LEGG MASON, INC.                        MD       2.02,9.01            05/01/12

LEHMAN BROTHERS HOLDINGS INC. PLAN TR            7.01,9.01            04/27/12

LIBBEY INC                              DE       7.01,9.01            04/30/12

LIME ENERGY CO.                         DE       5.02                 04/27/12

LINCOLN ELECTRIC HOLDINGS INC           OH       5.07                 04/26/12

LIQUIDITY SERVICES INC                  DE       7.01,9.01            05/01/12

LOJACK CORP                             MA       2.02,9.01            05/01/12

Lumos Networks Corp.                    VA       5.02,9.01            04/26/12

MAD CATZ INTERACTIVE INC                Z4       1.01,9.01            04/25/12

MAINSOURCE FINANCIAL GROUP              IN       5.02,5.07,7.01,9.01  04/25/12

MAKEMUSIC, INC.                         MN       2.02,9.01            05/01/12

MAM SOFTWARE GROUP, INC.                DE       5.02                 04/27/12

Marathon Petroleum Corp                 DE       2.02,9.01            05/01/12

Market Leader, Inc.                     WA       2.02,9.01            05/01/12

MARLIN BUSINESS SERVICES CORP                    2.02,9.01            04/30/12

MARSH & MCLENNAN COMPANIES, INC.        DE       2.02,9.01            05/01/12

MARTIN MARIETTA MATERIALS INC           NC       2.02,7.01,9.01       05/01/12

MASCO CORP /DE/                         DE       7.01                 05/01/12

MAXIMUS INC                             VA       2.01                 04/30/12

MBIA INC                                CT       5.07                 05/01/12

MDU RESOURCES GROUP INC                 DE       2.02,7.01,9.01       04/30/12

MEDICINES CO /DE                        DE       1.01                 04/25/12

Medidata Solutions, Inc.                DE       2.02,9.01            05/01/12

MEMC ELECTRONIC MATERIALS INC           DE       5.02,8.01            04/25/12

MERIDIAN BIOSCIENCE INC                 OH       2.02,9.01            04/26/12

Mesa Energy Holdings, Inc.              DE       4.02                 09/30/11

MHI Hospitality CORP                    MD       2.02,9.01            05/01/12

MOHEGAN TRIBAL GAMING AUTHORITY                  2.02,9.01            05/01/12

MOHEGAN TRIBAL GAMING AUTHORITY                  2.02,9.01            05/01/12

Monotype Imaging Holdings Inc.          DE       2.02,9.01            05/01/12

Morgans Hotel Group Co.                 DE       2.02,9.01            05/01/12

Motorola Mobility Holdings, Inc                  2.02,9.01            05/01/12

Motorola Solutions, Inc.                DE       5.07                 04/30/12

MULTI COLOR Corp                        OH       5.02                 04/25/12

MYRIAD GENETICS INC                     DE       2.02,9.01            05/01/12

NANOSPHERE INC                          DE       2.02,9.01            05/01/12

National Interstate CORP                OH       5.07,8.01            04/26/12

NATIONAL PRESTO INDUSTRIES INC          WI       2.02,9.01            04/27/12

NATIONAL TECHNICAL SYSTEMS INC /CA/     CA       2.02,9.01            04/30/12

Native American Energy Group, Inc.      DE       8.01,9.01            05/01/12

Neenah Paper Inc                        DE       8.01,9.01            05/01/12

NEOMEDIA TECHNOLOGIES INC               DE       1.01,3.02,9.01       04/26/12

NEOPHOTONICS CORP                       DE       1.01,3.02,5.02,9.01  04/27/12

NetApp, Inc.                            CA       1.02,2.04            04/26/12

NETSOL TECHNOLOGIES INC                 NV       2.02                 05/01/12

NetSpend Holdings, Inc.                 DE       8.01                 04/27/12

NEWS CORP                                        8.01,9.01            05/01/12

NEWTEK BUSINESS SERVICES, INC.          NY       1.01,2.03,9.01       04/25/12

NISOURCE INC/DE                         DE       2.02,9.01            05/01/12

NORTH VALLEY BANCORP                    CA       1.02,9.01            04/30/12

NORTHLAND CABLE PROPERTIES SEVEN LIMI   WA       2.01,9.01            04/27/12

NTS MORTGAGE INCOME FUND                DE       1.01,5.02,7.01,8.01, 04/30/12
                                                 9.01
          
NUTRI SYSTEM INC /DE/                   DE       2.02,7.01,9.01       05/01/12

Nuveen Mortgage Opportunity Term Fund   MA       2.02,9.01            04/25/12

O CHARLEYS INC                          TN       3.01                 04/03/12    AMEND

Oaktree Capital Group, LLC              DE       7.01                 05/01/12

OCZ TECHNOLOGY GROUP INC                DE       2.02,9.01            05/01/12

OFFICE DEPOT INC                        DE       2.02,9.01            05/01/12

OFFICE DEPOT INC                        DE       5.02                 04/26/12

OMNICARE INC                            DE       7.01,9.01            05/01/12

ON4 COMMUNICATIONS INC.                 DE       5.03,5.07,9.01       03/13/12

ONEOK INC /NEW/                         OK       2.02,7.01,9.01       05/01/12

ONEOK Partners LP                       DE       2.02,7.01,9.01       05/01/12

OnTarget360 Group, Inc.                 DE       5.02                 05/01/12

OPEN TEXT CORP                          A6       9.01                 04/25/12

OPENTABLE INC                           DE       2.02,9.01            05/01/12

OptimumBank Holdings, Inc.              FL       2.02,9.01            05/01/12

ORBITAL SCIENCES CORP /DE/              DE       5.02,5.07,9.01       04/25/12

ORIENTAL FINANCIAL GROUP INC            PR       5.07                 04/25/12

ORRSTOWN FINANCIAL SERVICES INC         PA       7.01,9.01            05/01/12

OSAGE EXPLORATION & DEVELOPMENT INC     DE       1.01,2.03,3.02,9.01  04/27/12

OSI SYSTEMS INC                         DE       5.02,9.01            04/27/12

OSL HOLDINGS INC.                                1.01,9.01            04/26/12

P F CHANGS CHINA BISTRO INC                      8.01,9.01            05/01/12

P F CHANGS CHINA BISTRO INC                      2.02,7.01,9.01       05/01/12

PACIFIC BIOSCIENCES OF CALIFORNIA INC            2.02,9.01            05/01/12

PAPA JOHNS INTERNATIONAL INC            DE       2.02,9.01            05/01/12

PAREXEL INTERNATIONAL CORP              MA       2.02                 04/30/12

PARK ELECTROCHEMICAL CORP               NY       2.02,9.01            05/01/12

Park Sterling Corp                      NC       2.02,7.01,9.01       05/01/12

PARKERVISION INC                        FL       8.01,9.01            05/01/12

PARTNERRE LTD                                    2.02,8.01,9.01       04/30/12

Patient Safety Technologies, Inc        DE       7.01,9.01            05/01/12

PC MALL INC                             DE       5.02                 04/25/12

Pebblebrook Hotel Trust                 MD       2.02,9.01            04/26/12

PEETS COFFEE & TEA INC                  WA       2.02,7.01,9.01       05/01/12

PENN VIRGINIA RESOURCE PARTNERS L P     DE       2.02,7.01,9.01       04/27/12

PENNS WOODS BANCORP INC                 PA       5.02,5.07            04/25/12

Peoples Federal Bancshares, Inc.        MD       2.02,9.01            04/30/12

PEP BOYS MANNY MOE & JACK               PA       2.02,9.01            05/01/12

PEP BOYS MANNY MOE & JACK               PA       8.01                 05/01/12

PERICOM SEMICONDUCTOR CORP              CA       2.02,9.01            05/01/12

PFIZER INC                              DE       2.02,9.01            05/01/12

PHH CORP                                MD       1.01,2.02,2.03,5.02, 04/27/12
                                                 8.01,9.01
     
Phillips 66                             DE       1.01,2.01,2.03,5.03, 04/26/12
                                                 5.05,9.01
     
PIEDMONT NATURAL GAS CO INC             NC       5.02                 04/30/12

PINNACLE ENTERTAINMENT INC.             DE       2.02,9.01            05/01/12

PIONEER NATURAL RESOURCES CO            DE       8.01                 05/01/12

Plan A Promotions, Inc.                 UT       8.01                 04/27/12

PLANTRONICS INC /CA/                    DE       2.02,7.01,9.01       05/01/12

PLATINUM ENERGY SOLUTIONS, INC.         NV       5.07                 04/30/12

POKERTEK, INC.                          NC       2.02,9.01            05/01/12

POLARIS INDUSTRIES INC/MN               MN       5.02,5.07            04/26/12

POZEN INC /NC                                    2.02,9.01            05/01/12

PREFORMED LINE PRODUCTS CO              OH       5.07                 04/30/12

PREMIER ALLIANCE GROUP, INC.            NV       5.03                 04/30/12

PREMIER FINANCIAL BANCORP INC           KY       2.02,9.01            05/01/12

PRGX GLOBAL, INC.                       GA       2.02,9.01            04/30/12

Primerica, Inc.                         DE       2.02,7.01,9.01       05/01/12

ProIndia International, Inc.            DE       5.02                 04/30/12

Prologis, Inc.                          MD       2.02,7.01,9.01       05/01/12

PS BUSINESS PARKS INC/CA                CA       2.02,5.07,9.01       04/30/12

PUBLIX SUPER MARKETS INC                FL       2.02,9.01            05/01/12

QUICKLOGIC CORPORATION                  CA       2.02,9.01            05/01/12

RADIAN GROUP INC                        DE       2.02,9.01            05/01/12

RAMBUS INC                              DE       5.02,5.07,9.01       04/26/12

Raptor Pharmaceutical Corp              DE       1.01,8.01,9.01       04/30/12

RCM TECHNOLOGIES INC                    NV       2.02,9.01            05/01/12

ReachLocal Inc                                   2.02,9.01            05/01/12

REGAL ENTERTAINMENT GROUP               DE       2.02,8.01,9.01       04/30/12

REGIS CORP                              MN       5.02,9.01            04/30/12

RESEARCH FRONTIERS INC                  DE       7.01,9.01            04/30/12

Revett Minerals Inc.                    A6       5.02                 05/01/12

REVLON CONSUMER PRODUCTS CORP           DE       1.01,9.01            04/30/12

REVLON INC /DE/                         DE       1.01,9.01            04/30/12

REX ENERGY CORP                         DE       2.02,7.01,9.01       05/01/12

RIVIERA HOLDINGS CORP                   NV       1.01,2.01,8.01,9.01  04/25/12

ROCKY MOUNTAIN CHOCOLATE FACTORY INC    CO       1.01,7.01,9.01       04/27/12

ROGERS CORP                             MA       2.02,7.01,9.01       05/01/12

ROSETTA STONE INC                                5.02,9.01            05/01/12

Rovi Corp                               DE       5.07                 05/01/12

ROYALE ENERGY INC                       CA       8.01,9.01            04/30/12

RPX Corp                                DE       5.02                 04/26/12

RPX Corp                                DE       2.02,9.01            05/01/12

Rubicon Technology, Inc.                DE       2.02,9.01            05/01/12

RUBY TUESDAY INC                        GA       7.01,8.01,9.01       05/01/12

RURBAN FINANCIAL CORP                   OH       5.07                 04/26/12

SAIA INC                                DE       5.07                 04/24/12

Samson Oil & Gas LTD                    C3       2.02,9.01            04/29/12

SANFILIPPO JOHN B & SON INC             DE       2.02,9.01            05/01/12

SAUL CENTERS INC                        MD       2.02,9.01            05/01/12

SAVIENT PHARMACEUTICALS INC             DE       7.01                 05/01/12

SBA COMMUNICATIONS CORP                 FL       2.02,9.01            04/30/12

SCG Financial Acquisition Corp.         DE       3.01,8.01            05/01/12

SEACHANGE INTERNATIONAL INC             DE       5.02,9.01            04/30/12

SEARS HOLDINGS CORP                     DE       8.01,9.01            04/30/12

SEARS HOLDINGS CORP                     DE       2.02,9.01            05/01/12

SEARS HOLDINGS CORP                     DE       5.02                 04/25/12

SELECT MEDICAL HOLDINGS CORP                     7.01,9.01            05/01/12

SENESCO TECHNOLOGIES INC                DE       8.01,9.01            05/01/12

SERVICESOURCE INTERNATIONAL, INC.                2.02,9.01            04/30/12    AMEND

ServisFirst Bancshares, Inc.            DE       5.07                 04/26/12

SEVCON, INC.                            DE       2.02,9.01            05/01/12

Shire plc                                        8.01,9.01            05/01/12

SILICON IMAGE INC                       DE       2.02,9.01            05/01/12

Silver Falcon Mining, Inc.              DE       8.01                 04/27/12

SimplePons, Inc.                        DE       7.01,8.01,9.01       04/30/12

SIRIUS XM RADIO INC.                    DE       2.02,9.01            05/01/12

Solar Capital Ltd.                      MD       2.02,9.01            05/01/12

Solar Senior Capital Ltd.               MD       2.02,9.01            05/01/12

SOLTA MEDICAL INC                       DE       2.02,9.01            05/01/12

SOUTHERN MICHIGAN BANCORP INC           MI       7.01                 05/01/12

SOUTHERN USA RESOURCES INC.             DE       5.02,9.01            04/25/12

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       8.01,9.01            05/01/12

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       1.01,9.01            04/25/12

SPARE BACKUP, INC.                      DE       1.01                 05/01/12

SPARTAN MOTORS INC                      MI       2.02,9.01            05/01/12

Spirit Airlines, Inc.                   DE       2.02,9.01            04/30/12

Spirit Airlines, Inc.                   DE       7.01,9.01            05/01/12

Spirit Airlines, Inc.                   DE       7.01,9.01            05/01/12

Sport Tech Enterprises, Inc.            NV       5.02                 04/27/12

STANDARD MOTOR PRODUCTS INC             NY       8.01,9.01            04/30/12

STANDARD REGISTER CO                    OH       5.02,9.01            04/30/12

STANDEX INTERNATIONAL CORP/DE/          DE       2.02,9.01            03/31/12

Station Casinos LLC                     NV       5.02                 04/30/12

Steel Excel Inc.                        DE       2.02,7.01,9.01       05/01/12

STEWART INFORMATION SERVICES CORP       DE       5.07                 04/27/12

STILLWATER MINING CO /DE/               DE       5.07                 04/26/12

STRATEGIC HOTELS & RESORTS, INC                  2.02,9.01            05/01/12

STURM RUGER & CO INC                    DE       8.01,9.01            05/01/12

STURM RUGER & CO INC                    DE       2.02,8.01,9.01       05/01/12

SunCoke Energy, Inc.                             2.02,7.01,9.01       05/01/12

SUNGARD DATA SYSTEMS INC                DE       2.02,9.01            05/01/12

SUNRISE SENIOR LIVING INC               DE       2.02,9.01            05/01/12

SURREY BANCORP                          NC       5.07                 04/26/12

SYNTHESIS ENERGY SYSTEMS INC            DE       8.01                 05/01/12

SYSTEMAX INC                            DE       2.02,9.01            05/01/12

TEAM HEALTH HOLDINGS INC.               DE       2.02,9.01            05/01/12

TECHNE CORP /MN/                        MN       2.02,9.01            05/01/12

TECHNE CORP /MN/                        MN       8.01,9.01            05/01/12

TECO ENERGY INC                         FL       2.02,9.01            05/01/12

TELEFLEX INC                            DE       2.02,2.06,9.01       04/26/12

TELEFLEX INC                            DE       7.01,9.01            05/01/12

TeleNav, Inc.                           DE       5.02,9.01            04/26/12

TESCO CORP                                       1.01,7.01,9.01       04/25/12

Texas Rare Earth Resources Corp.        NV       5.07                 04/25/12

TFS Financial CORP                      DE       2.02,9.01            05/01/12

TFS Financial CORP                      DE       7.01,9.01            05/01/12

THORATEC CORP                           CA       2.02,9.01            05/01/12

TNS INC                                          2.02,7.01,9.01       05/01/12

TORCHMARK CORP                          DE       5.07,9.01            04/26/12

Tree.com, Inc.                          DE       2.02,9.01            05/01/12

TreeHouse Foods, Inc.                   DE       5.02,5.07,9.01       04/26/12

TripAdvisor, Inc.                       DE       2.02,9.01            05/01/12

TrovaGene Inc.                          DE       5.03,5.07,9.01       04/27/12

TRUE RELIGION APPAREL INC               DE       5.07                 04/25/12

TRUE RELIGION APPAREL INC               DE       2.02,9.01            05/01/12

TRW AUTOMOTIVE HOLDINGS CORP            DE       2.02,9.01            05/01/12

TTM TECHNOLOGIES INC                    WA       2.02,9.01            05/01/12

TWIN DISC INC                           WI       1.01,3.03,9.01       05/01/12

U.S. SILICA HOLDINGS, INC.              DE       5.02,9.01            04/28/12

Ubiquiti Networks, Inc.                 DE       2.02,9.01            05/01/12

UMPQUA HOLDINGS CORP                    OR       1.02,9.01            05/01/12

UNION CARBIDE CORP /NEW/                NY       4.02                 04/27/12

UNIT CORP                               DE       2.02,9.01            05/01/12

UNITED BANCSHARES INC/OH                OH       5.02,9.01            04/30/12

UNITED RENTALS INC /DE                  DE       8.01                 05/01/12

UNITED STATES LIME & MINERALS INC       TX       5.07                 04/27/12

UNITY BANCORP INC /NJ/                  NJ       5.07                 04/26/12

UNIVERSAL AMERICAN CORP.                DE       2.02,9.01            04/30/12

UNIVERSAL TECHNICAL INSTITUTE INC       DE       2.02,9.01            05/01/12

Unum Group                              DE       2.02,9.01            05/01/12

Unum Group                              DE       8.01,9.01            05/01/12

UROLOGIX INC                            MN       3.01                 04/30/12

US ECOLOGY, INC.                        DE       2.02,9.01            05/01/12

USA TECHNOLOGIES INC                    PA       5.02,8.01,9.01       04/26/12

USEC INC                                DE       2.02,9.01            05/01/12

VALERO ENERGY CORP/TX                   DE       2.02,9.01            05/01/12

VALLEY NATIONAL BANCORP                 NJ       7.01,9.01            05/01/12

VANGUARD HEALTH SYSTEMS INC             DE       2.02,7.01,9.01       04/30/12

Venoco, Inc.                            DE       2.02,9.01            05/01/12

Verisk Analytics, Inc.                  DE       2.02,9.01            05/01/12

ViewPoint Financial Group Inc.                   8.01,9.01            04/30/12

VIRGINIA COMMERCE BANCORP INC                    5.07                 04/25/12

VIROPHARMA INC                          DE       2.02,9.01            05/01/12

VITRAN CORP INC                         A6       5.07                 04/30/12

Vocus, Inc.                             DE       2.02,9.01            05/01/12

WARNACO GROUP INC /DE/                  DE       5.02,9.01            04/25/12

Warner Chilcott plc                              2.06,7.01,9.01       04/30/12

WARREN RESOURCES INC                    MD       2.02,7.01,9.01       05/01/12

WARWICK VALLEY TELEPHONE CO             NY       5.07                 04/25/12

WATTS WATER TECHNOLOGIES INC            DE       2.02,9.01            05/01/12

WebMD Health Corp.                      DE       2.02,9.01            05/01/12

WELLS FARGO & COMPANY/MN                DE       8.01                 05/01/12

WELLS REAL ESTATE FUND IX LP            GA       7.01,9.01            05/01/12

WELLS REAL ESTATE FUND VIII LP          GA       7.01,9.01            05/01/12

WELLS REAL ESTATE FUND XI L P           GA       7.01,9.01            05/01/12

WELLS REAL ESTATE FUND XII LP           GA       7.01,9.01            05/01/12

WELLS REAL ESTATE FUND XIII L P                  7.01,9.01            05/01/12

WELLS REAL ESTATE FUND XIV LP           GA       7.01,9.01            05/01/12

Wendy's Co                              DE       8.01,9.01            04/30/12

WESTLAKE CHEMICAL CORP                           2.02,9.01            05/01/12

WESTMORELAND COAL Co                    DE       2.02,9.01            04/26/12

WILLIAMS COMPANIES INC                  DE       4.02                 04/26/12

Williams Partners L.P.                           5.03,9.01            04/27/12

WISCONSIN ENERGY CORP                   WI       2.02                 05/01/12

WMI HOLDINGS CORP.                      WA       8.01,9.01            04/30/12

WOLVERINE WORLD WIDE INC /DE/           MI       7.01,9.01            05/01/12

WORLD ACCEPTANCE CORP                   SC       1.01,2.03,8.01,9.01  05/01/12

WORLD FUEL SERVICES CORP                FL       2.02,7.01,9.01       05/01/12

WRIGHT MEDICAL GROUP INC                DE       2.02,9.01            05/01/12

XTREME HEALTHCARE Corp                  DE       3.02,5.01,5.02,5.03  04/30/12

Xun Energy, Inc.                        NV       1.01,9.01            04/30/12

ZIONS BANCORPORATION /UT/               UT       8.01,9.01            04/26/12

http://www.sec.gov/news/digest/2012/dig050212.htm