 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Six Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 4, 2012, and terminating at 11:59 p.m. EDT on May 17, 2012.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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 communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66920) SEC Reopens Comment Period For Proposed Amendments to Its Net Capital, Customer Protection, Books and Records, and Notification Rules For Broker-DealersOn May 3, 2012, the Securities and Exchange Commission announced that it is re-opening the public comment period for proposed amendments to its net capital, customer protection, books and records, and notification rules for broker-dealers. The proposed rule amendments are designed to update the financial responsibility rules for broker-dealers and make certain technical amendments. The Commission issued the proposed amendments on March 9, 2007, and the public comment period on the proposal closed on June 18, 2007. The Commission did not act on the rule amendments it proposed in 2007. Given economic events, regulatory developments, and passage of time since then, as well as the continuing public interest in this area, the Commission believes that it would be appropriate to seek additional public comment on the proposed rule amendments. Accordingly, the Commission is reopening the public comment period for 30 days. (Press Rel. 2012-83) Enforcement ProceedingsCommission Declares Decision as to Alberto Ferreiras FinalThe Commission has declared the initial decision of an administrative law judge barring Alberto Ferreiras from association with a broker, dealer, investment adviser, municipal securities dealer, and transfer agent, and from participating in an offering of penny stock. The initial decision found that on June 18, 2003, Ferreiras pled guilty to two counts of sales in an unregistered offering of securities, one count in United States v Kozak, 02-cr-879 (E.D. N.Y.), and one count in United States v. Leonard, 02-cr-881 (E.D. N.Y.). On June 27, 2007, he pled guilty to one count of conspiracy to commit mail fraud and eight counts of mail fraud in United States v. Ferreiras, 07-cr-325 (E.D. N.Y.). On July 21, 2009, U.S. District Court Judge Leonard D. Wexler sentenced Ferreiras to six months in Kozak, six months in Leonard, and 125 months in Ferreiras, all sentences to run concurrently. Ferreiras was also ordered by Judge Wexler to pay restitution of $142,423 in Kozak and Leonard, and $16,975,366 in Ferreiras. He was also ordered to pay restitution of twenty-five percent of his gross income during three years of supervised release on each count, which will run concurrently, and a special assessment on each count of $100, for a total of $1,000,1 and if he is deported, he cannot return illegally. Alberto Ferreiras, a non-United States citizen, while acting as a broker-dealer, operated two telemarketing companies in Florida. He was neither licensed nor registered to sell securities. Between September 1998 and July 2000, he knowingly and willfully directed the sale of unregistered securities of a limited liability corporation (LLC). The corporation's securities should have been registered. Between April 1999 and May 2001, he repeated the same actions with another LLC. Ferreiras conducted his illegal activities through the utilization of the telephone and mail, whereby he was able to raise approximately $530,000 and $95,000, respectively. Around July 2003, Ferreiras, along with two associates, owned and operated an entity incorporated in Florida that sold business opportunities in cashless ATM machines. From around September 2003 through approximately April 2004, Ferreiras and his associates were able to convince potential buyers to invest in the entity by providing them with false references, make materially false statements and hiding material information. The buyers were also told that the business opportunity was highly profitable and that they could earn back the cost of their investments in twelve months or less. None of the investors ever saw a return and there was no distributor on track to do so. The buyers were also never informed that Ferreiras, one of the owners and directors of the entity had pled guilty to criminal charges or that the other two owners had violated a court order by participating in the entity's offering. (Rel. 34-66917, File No. 3-14509) Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also 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 six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their 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 judge will hear evidence from the Division and the Respondents 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 Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents 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. 34-66921; File No. 3-14870) Self-Regulatory OrganizationsApproval of Proposed Rule ChangesThe Commission has approved a proposed rule change (SR-ICEEU-2012-05) filed by ICE Clear Europe Limited under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend the ICE Clear Europe Limited CDS Procedures, Finance Procedures, and Rules with respect to the calculation and payment of interest on Mark-To-Market Margin on CDS transactions. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66911) The Commission has approved a proposed rule change (SR-FINRA-2012-012), filed by the Financial Industry Regulatory Authority, Inc., to amend FINRA Rules 12401 (Number of Arbitrators) and 12800 (Simplified Arbitration) of the Code of Arbitration Procedure for Customer Disputes, and FINRA Rules 13401 (Number of Arbitrators) and 13800 (Simplified Arbitration) of the Code of Arbitration Procedure for Industry Disputes, to raise the limit for simplified arbitration from $25,000 to $50,000, and the Commission has approved the proposed rule change. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66913) A proposed rule change filed by ICE Clear Credit LLC to reduce the current level of risk mutualization among clearing participants and to modify the initial margin risk model so that it is easier for clearing participants to measure their recovery rate risk exposure (SR-ICC-2012-03) has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66916) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change (SR-NASDAQ-2012-053) filed by The NASDAQ Stock Market LLC to modify the Investor Support Program under Rule 7014 and to amend NASDAQ’s schedule of execution and routing fees and rebates under Rule 7018 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66915) Accelerated Approval of Proposed Rule ChangeA proposed rule change filed by ICE Clear Credit LLC to add margin collection requirements for futures commission merchant clearing participants (SR-ICC-2012-08) has been approved pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66918) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 GOLDCORP INC, SUITE 3400, 666 BURRARD STREET, VANCOUVER, A1, V6C 2X8, 604-696-3000 - 5,000,000 ($192,150,000.00) Equity, (File 333-181116 - May. 3) (BR. 09B) S-8 SYNTA PHARMACEUTICALS CORP, 45 HARTWELL AVE, LEXINGTON, MA, 02421, 781-274-8200 - 0 ($5,746,000.00) Equity, (File 333-181117 - May. 3) (BR. 01A) S-8 MCKESSON CORP, ONE POST ST, MCKESSON PLAZA, SAN FRANCISCO, CA, 94104, 4159838300 - 5,000,000 ($449,650,000.00) Equity, (File 333-181118 - May. 3) (BR. 09B) S-8 MCKESSON CORP, ONE POST ST, MCKESSON PLAZA, SAN FRANCISCO, CA, 94104, 4159838300 - 0 ($100,000,000.00) Equity, (File 333-181119 - May. 3) (BR. 09B) S-8 GENERAL DYNAMICS CORP, 2941 FAIRVIEW PARK DRIVE, SUITE 100, FALLS CHURCH, VA, 22042-4513, 7038763000 - 18,250,000 ($1,222,385,000.00) Equity, (File 333-181124 - May. 3) (BR. 05B) N-2 Nuveen Preferred & Income Term Fund, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 312-917-8146 - 1,000 ($25,000.00) Equity, (File 333-181125 - May. 3) (BR. 18) S-8 HOLOGIC INC, 35 CROSBY DRIVE, BEDFORD, MA, 01730, 7819997300 - 0 ($48,800,000.00) Equity, (File 333-181126 - May. 3) (BR. 10B) S-8 SPEEDWAY MOTORSPORTS INC, US HIGHWAY 29 NORTH, PO BOX 600, CONCORD, NC, 28026, 7044553239 - 150,000 ($2,559,750.00) Equity, (File 333-181127 - May. 3) (BR. 05C) S-3 WESTERN ALLIANCE BANCORPORATION, ONE E. WASHINGTON STREET, PHOENIX, AZ, 85004, 6029525408 - 0 ($400,000,000.00) Equity, (File 333-181128 - May. 3) (BR. 07C) F-3ASR Home Inns & Hotels Management Inc., LANE NO. 421 CHANG PING ROAD, JING AN DISTRICT, SHANGHAI, F4, 200041, (8621) 3218-9988 - 0 ($94,780,035.00) ADRs/ADSs, (File 333-181129 - May. 3) (BR. 08B) S-8 SOURCEFIRE INC, 9770 PATUXENT WOODS DRIVE, COLUMBIA, MD, 21046, 4102901616 - 0 ($59,372,493.71) Equity, (File 333-181130 - May. 3) (BR. 03B) S-3 Duff & Phelps Corp, 55 EAST 52ND STREET, NEW YORK, NY, 10055, (212) 871-2000 - 0 ($209,023,145.46) Other, (File 333-181132 - May. 3) (BR. 12A) S-3 Emergent BioSolutions Inc., 2273 RESEARCH BLVD, SUITE 400, ROCKVILLE, MD, 20850, (301) 795-1800 - 0 ($41,880,000.00) Equity, 0 ($180,000,000.00) Unallocated (Universal) Shelf, (File 333-181133 - May. 3) (BR. 01B) S-3ASR NBT BANCORP INC, 52 S BROAD ST, NORWICH, NY, 13815, 6073372265 - 0 ($0.00) Equity, (File 333-181134 - May. 3) (BR. 07B) S-3ASR Intrepid Potash, Inc., 707 17TH STREET, SUITE 4200, DENVER, CO, 80202, 303-296-3006 - 0 ($0.00) Other, (File 333-181135 - May. 3) (BR. 09B) Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ----------------------------------------------------------------------------------------- 1 800 FLOWERS COM INC DE 2.02,9.01 05/03/12 ABOVENET INC DE 8.01,9.01 05/03/12 ACCELRYS, INC. DE 2.02,9.01 05/03/12 ACI WORLDWIDE, INC. DE 2.02,7.01,9.01 05/03/12 ACNB CORP PA 5.07,7.01,9.01 05/01/12 ACORDA THERAPEUTICS INC 2.02,9.01 05/03/12 ACTIVE NETWORK INC DE 2.02,9.01 05/03/12 ACTUATE CORP DE 2.02,9.01 05/03/12 ADCARE HEALTH SYSTEMS INC OH 1.01,2.01,2.03,9.01 04/27/12 Addus HomeCare Corp DE 2.02,9.01 05/03/12 ADMA BIOLOGICS, INC. DE 5.02,8.01,9.01 04/30/12 ADVANCED MICRO DEVICES INC DE 5.02,9.01 04/30/12 AMEND AECOM TECHNOLOGY CORP DE 2.02,9.01 05/03/12 AEROPOSTALE INC 7.01,9.01 05/03/12 AETHLON MEDICAL INC NV 7.01,9.01 05/03/12 AFFYMETRIX INC DE 2.02 03/31/12 AIR METHODS CORP DE 2.02,9.01 05/03/12 Aircastle LTD D0 2.02,9.01 05/03/12 AIRGAS INC DE 2.02,5.02,9.01 05/01/12 ALAMO GROUP INC DE 2.02,9.01 03/31/12 AMEND ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 05/02/12 ALLBRITTON COMMUNICATIONS CO DE 1.01,9.01 04/30/12 Alliance HealthCare Services, Inc CA 5.02 04/28/12 ALLIANCEBERNSTEIN HOLDING L.P. DE 2.02,7.01,9.01 05/02/12 ALLIANCEBERNSTEIN L.P. DE 2.02,7.01,9.01 05/02/12 ALLIANT TECHSYSTEMS INC DE 2.02,9.01 05/03/12 ALLSTATE LIFE INSURANCE CO 1.01,1.02,9.01 04/27/12 ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 05/03/12 Alpha Natural Resources, Inc. DE 2.02,9.01 05/03/12 ALTERA CORP DE 1.01,9.01 05/01/12 AMERICAN APPAREL, INC DE 7.01,9.01 05/03/12 American Capital Agency Corp 5.07,8.01,9.01 05/01/12 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 2.02 05/02/12 AMERICAN EXPRESS CO NY 5.02,5.07,9.01 04/30/12 AMERICAN FINANCIAL GROUP INC OH 2.02,9.01 04/30/12 AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 05/03/12 AMERICAN INTERNATIONAL INDUSTRIES INC NV 5.02,9.01 04/03/12 American Liberty Petroleum Corp. NV 3.02 04/27/12 AMERICAN TOWER CORP /MA/ DE 2.02,9.01 05/03/12 AMERITRANS CAPITAL CORP DE 3.01 05/01/12 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 05/03/12 ANALYSTS INTERNATIONAL CORP 2.02,9.01 05/03/12 ANIKA THERAPEUTICS INC MA 2.02,9.01 05/03/12 ANSYS INC DE 2.02,9.01 05/03/12 Anthera Pharmaceuticals Inc DE 2.02,9.01 05/03/12 ANTS SOFTWARE INC DE 9.01 05/03/12 APACHE CORP DE 2.02,9.01 05/03/12 APCO OIL & GAS INTERNATIONAL INC 7.01,9.01 05/03/12 Apollo Commercial Real Estate Finance MD 2.02,9.01 05/03/12 Approach Resources Inc DE 2.02,7.01,9.01 05/03/12 AQUA AMERICA INC PA 2.02,9.01 05/02/12 AQUALIV TECHNOLOGIES, INC. NV 1.01,3.02 04/27/12 AQUALIV TECHNOLOGIES, INC. NV 1.01,2.03,3.02 04/27/12 ARCADIA RESOURCES, INC NV 2.01 05/01/12 ARI NETWORK SERVICES INC /WI WI 5.02,8.01,9.01 04/27/12 Armour Residential REIT, Inc. MD 8.01,9.01 05/03/12 ARQULE INC DE 2.02,9.01 05/03/12 ASPEN GROUP, INC. DE 3.02 04/27/12 ATC Ventures Group, Inc. NV 2.02,3.01,9.01 05/03/12 Atkore International Holdings Inc. DE 9.01 02/15/12 AMEND ATLANTIC AMERICAN CORP GA 5.07 05/03/12 Atlantic Coast Financial CORP MD 5.02,7.01,9.01 04/27/12 ATLANTIC TELE NETWORK INC /DE DE 2.02,9.01 05/02/12 ATLAS AIR WORLDWIDE HOLDINGS INC DE 2.02,9.01 05/03/12 AUTHENTEC INC DE 2.02,9.01 05/03/12 AVEO PHARMACEUTICALS INC DE 2.02,8.01,9.01 05/02/12 AVON PRODUCTS INC NY 5.02 05/03/12 AXCELIS TECHNOLOGIES INC DE 2.02,5.02,5.07,9.01 04/27/12 AZZ INC TX 1.01,7.01,9.01 04/30/12 Bacterin International Holdings, Inc. DE 1.02,2.02,9.01 05/03/12 BALDWIN & LYONS INC IN 7.01,9.01 03/31/12 BEAM INC DE 2.02,7.01,9.01 05/03/12 bebe stores, inc. CA 2.02,9.01 05/03/12 BERRY PLASTICS CORP DE 1.01,2.03,9.01 06/28/11 BGC Partners, Inc. DE 2.02,9.01 05/03/12 BILL BARRETT CORP DE 2.02,7.01,9.01 05/03/12 BIOCRYST PHARMACEUTICALS INC DE 5.02 04/27/12 BioScrip, Inc. DE 5.07 05/01/12 BLACKBAUD INC 2.02,9.01 05/03/12 BLACKBAUD INC 8.01,9.01 05/03/12 BlackRock Kelso Capital CORP DE 2.02,7.01,9.01 05/03/12 BlueLinx Holdings Inc. DE 2.02,9.01 05/03/12 BOEING CO DE 5.03,5.07,9.01 04/30/12 BofI Holding, Inc. DE 2.02,9.01 05/03/12 BOINGO WIRELESS INC DE 2.02,9.01 05/03/12 BOISE CASCADE HOLDINGS, L.L.C. DE 2.02,9.01 05/03/12 BOISE INC. DE 2.02,9.01 05/03/12 BPZ RESOURCES, INC. TX 1.01,2.03,7.01,9.01 04/27/12 BRANDYWINE REALTY TRUST MD 8.01 05/03/12 BRIGHTCOVE INC DE 2.02,9.01 05/03/12 Bristow Group Inc DE 5.02,9.01 05/01/12 Brookdale Senior Living Inc. DE 2.02,7.01,9.01 05/02/12 BUILD A BEAR WORKSHOP INC DE 2.02,9.01 05/03/12 Buildablock Corp. FL 1.01,2.01,9.01 04/30/12 CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 05/03/12 CABOT OIL & GAS CORP DE 5.07 05/01/12 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 05/02/12 CADENCE PHARMACEUTICALS INC 2.02,9.01 05/03/12 CAI International, Inc. 2.02,9.01 04/26/12 CAMBREX CORP DE 2.02,9.01 05/03/12 CAMDEN NATIONAL CORP ME 5.07 05/01/12 CAPITAL SENIOR LIVING CORP DE 2.02,7.01,9.01 05/02/12 CAPITOL BANCORP LTD MI 2.02,9.01 05/03/12 CARDINAL HEALTH INC OH 2.02,7.01,9.01 05/03/12 CAREFUSION Corp 2.02,7.01,9.01 05/03/12 Caribou Coffee Company, Inc. MN 2.02,9.01 05/03/12 Carrier Alliance Holdings, Inc. DE 5.03,9.01 04/27/12 Catalent Pharma Solutions, Inc. DE 1.01,2.03,9.01 04/27/12 CBRE GROUP, INC. DE 1.01,2.03,9.01 04/27/12 CDW Corp DE 2.02,9.01 05/03/12 CEC ENTERTAINMENT INC KS 2.02,5.07,8.01,9.01 05/01/12 CEDAR FAIR L P DE 2.02,9.01 05/03/12 Celldex Therapeutics, Inc. DE 2.02,9.01 05/03/12 CENTER BANCORP INC NJ 2.02,8.01,9.01 04/26/12 CENTERPOINT ENERGY INC 2.02,9.01 05/03/12 CENTRAL BANCORP INC /MA/ MA 1.01,9.01 04/30/12 CF Industries Holdings, Inc. DE 2.02,9.01 05/03/12 CFS BANCORP INC IN 2.02,9.01 04/30/12 CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 05/02/12 CHARMING SHOPPES INC PA 1.01,5.02,8.01,9.01 04/30/12 CHECKPOINT SYSTEMS INC PA 5.02,9.01 05/03/12 CHECKPOINT SYSTEMS INC PA 2.02 05/03/12 Chefs' Warehouse, Inc. DE 2.02,9.01 05/03/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 8.01,9.01 04/27/02 China Bio-Energy Corp. DE 5.02,9.01 05/03/12 CHRISTOPHER & BANKS CORP DE 5.02,7.01,9.01 05/02/12 CHYRON CORP NY 2.02,9.01 05/03/12 CIFC Corp. DE 5.02 05/02/12 CIGNA CORP DE 2.02 05/03/12 CIMAREX ENERGY CO DE 2.02,7.01,9.01 05/03/12 CINCINNATI BELL INC OH 2.02,7.01,9.01 05/03/12 CINCINNATI BELL INC OH 8.01,9.01 05/03/12 CINCINNATI FINANCIAL CORP OH 5.07,7.01,9.01 04/28/12 CIRCLE STAR ENERGY CORP. NV 3.02,7.01,9.01 04/30/12 CIRCOR INTERNATIONAL INC DE 2.02,9.01 05/03/12 CITIZENS BANCSHARES CORP /GA/ GA 8.01,9.01 05/03/12 CLEVELAND BIOLABS INC DE 2.02,9.01 05/03/12 CMG HOLDINGS GROUP, INC. NV 8.01 05/01/12 COGENT COMMUNICATIONS GROUP INC 2.02,9.01 05/03/12 Coleman Cable, Inc. DE 5.07,8.01,9.01 05/01/12 COLONY BANKCORP INC GA 5.02,9.01 04/17/12 Colony Financial, Inc. MD 2.02,9.01 05/02/12 Commercial Vehicle Group, Inc. DE 2.02,7.01,9.01 05/02/12 CommonWealth REIT MD 2.02,9.01 05/03/12 Computer Software Innovations, Inc. DE 2.05,2.06 04/27/12 Consolidated Communications Holdings, DE 2.02,9.01 05/03/12 CONTINENTAL RESOURCES INC OK 2.02,7.01,9.01 05/02/12 CORINTHIAN COLLEGES INC 2.02,9.01 05/03/12 CorMedix Inc. DE 5.02,9.01 04/27/12 CRAY INC WA 1.01,2.01,8.01,9.01 05/02/12 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 05/02/12 CROWN MEDIA HOLDINGS INC DE 2.02,9.01 05/03/12 CRYO CELL INTERNATIONAL INC DE 5.02,9.01 05/03/12 CTC Media, Inc. 2.02,5.03 04/27/12 CUMBERLAND PHARMACEUTICALS INC 2.02,8.01,9.01 05/03/12 CUTERA INC DE 1.01,5.02 04/27/12 DATARAM CORP NJ 9.01 04/02/12 DAWSON GEOPHYSICAL CO TX 7.01,9.01 05/02/12 Delek US Holdings, Inc. 2.02,9.01 05/02/12 DELTA NATURAL GAS CO INC KY 9.01 05/03/12 DENBURY RESOURCES INC DE 2.02,9.01 05/03/12 Deyu Agriculture Corp. NV 5.02 04/30/12 DGSE COMPANIES INC NV 8.01,9.01 05/01/12 DIGITAL RIVER INC /DE DE 2.02,9.01 05/03/12 Discover Financial Services DE 1.01,2.03,9.01 04/27/12 DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 05/03/12 DIXIE GROUP INC TN 5.07 05/01/12 Dolby Laboratories, Inc. DE 2.02,8.01,9.01 05/03/12 DOLE FOOD CO INC DE 2.02,7.01,9.01 05/03/12 DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 05/02/12 DOW CHEMICAL CO /DE/ DE 8.01,9.01 05/02/12 Dresser-Rand Group Inc. DE 2.02,9.01 05/03/12 DREW INDUSTRIES INC DE 2.02,7.01,9.01 05/03/12 DUCKWALL ALCO STORES INC KS 5.02,7.01,9.01 04/30/12 DUNE ENERGY INC DE 2.02,9.01 05/03/12 DURECT CORP DE 8.01,9.01 05/03/12 DURECT CORP DE 2.02,9.01 05/03/12 DXP ENTERPRISES INC TX 7.01,9.01 05/03/12 DYNEX CAPITAL INC VA 2.02,9.01 05/02/12 EAGLE ROCK ENERGY PARTNERS L P DE 2.02,7.01,9.01 05/02/12 EARTHLINK INC DE 5.07 05/01/12 EASTMAN KODAK CO NJ 5.02,9.01 05/03/12 EASYLINK SERVICES INTERNATIONAL CORP DE 1.01,3.03,8.01,9.01 05/01/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 5.07 05/01/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,8.01,9.01 05/03/12 EINSTEIN NOAH RESTAURANT GROUP INC DE 5.02,8.01,9.01 04/27/12 EL PASO CORP/DE DE 2.02,9.01 05/03/12 El Paso Pipeline Partners, L.P. DE 2.02,9.01 05/03/12 ELIZABETH ARDEN INC FL 2.02 05/03/12 EMCORE CORP NJ 2.02,7.01,9.01 05/03/12 EME HOMER CITY GENERATION LP PA 7.01,9.01 03/29/12 EMERITUS CORP\WA\ WA 2.02,9.01 05/03/12 EMPERIAL AMERICAS, INC FL 1.02 05/01/12 ENDURANCE SPECIALTY HOLDINGS LTD 1.01,1.02,5.02,9.01 05/03/12 ENERGY KING, INC. 1.01,9.01 05/02/12 ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 05/02/12 ENERNOC INC DE 2.02,9.01 05/03/12 ENPRO INDUSTRIES, INC NC 2.02,9.01 05/03/12 Ensco plc 2.02,9.01 05/02/12 ENSIGN GROUP, INC 2.02,9.01 05/02/12 ENTEGRIS INC DE 5.07 05/02/12 ENTERPRISE BANCORP INC /MA/ MA 5.07 05/03/12 ENTERPRISE FINANCIAL SERVICES CORP DE 2.02,9.01 05/03/12 ERIE INDEMNITY CO PA 2.02,9.01 05/03/12 ESSEX PROPERTY TRUST INC MD 2.02,9.01 03/31/12 EVERTEC, LLC PR 8.01,9.01 05/02/12 EXAR CORP DE 2.02,9.01 05/03/12 Excel Trust, Inc. MD 2.02,9.01 05/02/12 Excel Trust, Inc. MD 5.07 04/30/12 EXELIXIS INC DE 2.02,9.01 05/03/12 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 05/03/12 EXTERRAN HOLDINGS INC. DE 2.02,9.01 05/03/12 EXTERRAN PARTNERS, L.P. DE 2.02,9.01 05/03/12 FAIRCHILD SEMICONDUCTOR INTERNATIONAL DE 5.02,5.03,5.07,8.01, 04/27/12 9.01 FALCONSTOR SOFTWARE INC DE 2.02,9.01 05/03/12 FAUQUIER BANKSHARES, INC. VA 2.02,9.01 05/01/12 FBL FINANCIAL GROUP INC IA 2.02 05/03/12 Federal Home Loan Bank of Atlanta X1 2.03 05/03/12 Federal Home Loan Bank of Chicago X1 2.03 05/01/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/30/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/01/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/03/12 Federal Home Loan Bank of New York X1 2.03,9.01 04/30/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/30/12 Federal Home Loan Bank of San Francis X1 2.03 04/30/12 Federal Home Loan Bank of Seattle 2.03 05/01/12 Federal Home Loan Bank of Topeka 2.03,9.01 04/30/12 FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 05/03/12 FEEL GOLF CO INC CA 8.01,9.01 04/25/12 FIDELITY D & D BANCORP INC PA 5.07,7.01,9.01 05/01/12 FIDUS INVESTMENT Corp MD 2.02,7.01,9.01 05/03/12 FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 05/01/12 First Guaranty Bancshares, Inc. LA 2.02 03/31/12 FIRST MERCHANTS CORP IN 5.02,5.07 05/03/12 FIRST SOLAR, INC. DE 2.02,9.01 05/03/12 FIRST UNITED CORP/MD/ MD 2.02,9.01 05/02/12 FISHER COMMUNICATIONS INC WA 2.02,3.01,9.01 04/30/12 FLUOR CORP DE 2.02,9.01 05/03/12 Fortress Investment Group LLC DE 2.02,9.01 05/03/12 FRESH DEL MONTE PRODUCE INC E9 5.07 05/02/12 Fuel Systems Solutions, Inc. 2.02,9.01 05/03/12 Full Circle Capital Corp MD 8.01,9.01 05/03/12 FULTON FINANCIAL CORP PA 5.07 05/03/12 Furiex Pharmaceuticals, Inc. DE 2.02,9.01 05/03/12 FURNITURE BRANDS INTERNATIONAL INC DE 2.02,9.01 05/03/12 FUTURES PORTFOLIO FUND L.P. MD 3.02 05/01/12 FX Alliance Inc. 2.02,9.01 05/03/12 GALECTIN THERAPEUTICS INC NV 8.01,9.01 05/03/12 GAMCO INVESTORS, INC. ET AL NY 5.07 05/01/12 GAP INC DE 2.02,9.01 05/03/12 GARTNER INC DE 2.02,9.01 05/03/12 GCI INC AK 2.02,9.01 05/02/12 Geeknet, Inc DE 2.02,9.01 05/03/12 GENERAL COMMUNICATION INC AK 2.02,9.01 05/02/12 GENERAL DYNAMICS CORP DE 5.02,5.07 05/02/12 General Finance CORP DE 8.01,9.01 05/03/12 General Motors Co 8.01 05/03/12 General Motors Co 2.02,9.01 05/03/12 General Motors Financial Company, Inc TX 2.02,9.01 05/03/12 GENTIVA HEALTH SERVICES INC DE 2.02,9.01 05/03/12 GEO GROUP INC FL 8.01 05/03/12 GeoEye, Inc. DE 2.02,9.01 05/03/12 GeoMet, Inc. DE 5.02,9.01 04/27/12 Giggles N' Hugs, Inc. NV 2.01,3.02,5.01,5.02, 01/06/12 AMEND 5.06,9.01 GLEACHER & COMPANY, INC. DE 2.02,9.01 05/03/12 Global Indemnity plc L2 2.02,9.01 05/02/12 GOLDEN PHOENIX MINERALS INC NV 5.02,7.01,9.01 04/28/12 GOLDEN STAR RESOURCES LTD 7.01,8.01,9.01 05/03/12 GOLDMAN SACHS GROUP INC DE 9.01 05/03/12 GP STRATEGIES CORP DE 1.01,2.02,9.01 04/30/12 GREAT PLAINS ENERGY INC MO 2.02,5.07,9.01 05/01/12 Green Plains Renewable Energy, Inc. IA 5.07 05/02/12 Green Planet Bio Engineering Co. Ltd. 4.01,9.01 05/02/12 AMEND GSI TECHNOLOGY INC 2.02,9.01 05/03/12 Guidance Software, Inc. DE 2.02,7.01,9.01 05/03/12 H&E Equipment Services, Inc. DE 2.02,8.01,9.01 05/03/12 HAEMONETICS CORP MA 1.01,7.01,9.01 05/03/12 HAIN CELESTIAL GROUP INC DE 2.02,9.01 05/03/12 HANGER ORTHOPEDIC GROUP INC DE 2.02,9.01 05/02/12 HARLEY DAVIDSON INC WI 5.07 04/28/12 Hatteras Financial Corp 5.07 05/02/12 HAVERTY FURNITURE COMPANIES INC MD 2.02,9.01 03/31/12 HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 05/03/12 HCA Holdings, Inc. 2.02,7.01,9.01 05/03/12 HEALTH NET INC DE 2.02,9.01 05/03/12 HealthMarkets, Inc. DE 5.02 05/02/12 Heckmann Corp DE 2.02,7.01,9.01 05/03/12 HELEN OF TROY LTD 2.02,9.01 04/27/12 HENNESSY ADVISORS INC 2.02,7.01,9.01 05/03/12 HERITAGE FINANCIAL CORP /WA/ WA 5.07 05/02/12 Heritage-Crystal Clean, Inc. DE 2.02,9.01 05/03/12 HERSHEY CO DE 5.07 05/01/12 HINTO ENERGY, INC WY 1.01,9.01 05/03/12 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.01,9.01 05/01/12 HOME LOAN SERVICING SOLUTIONS, LTD. E9 2.02,9.01 05/03/12 HORIZON BANCORP /IN/ IN 8.01,9.01 05/03/12 HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 05/03/12 HOUSTON AMERICAN ENERGY CORP DE 1.01,7.01,9.01 05/02/12 Hyatt Hotels Corp DE 2.02,5.02,9.01 04/30/12 ICG GROUP, INC. DE 2.02,9.01 05/03/12 IDACORP INC ID 2.02,7.01,9.01 05/03/12 IDENTIVE GROUP, INC. DE 5.02,8.01,9.01 05/03/12 IGATE CORP PA 8.01,9.01 05/01/12 IMATION CORP DE 8.01 05/02/12 IMMERSION CORP DE 2.02,5.02,9.01 05/03/12 IMPERVA INC DE 2.02,9.01 05/03/12 inContact, Inc. DE 2.02,9.01 05/03/12 INDEPENDENT BANK CORP MA 1.01,7.01,9.01 04/30/12 Industrial Income Trust Inc. MD 8.01 05/03/12 INERGY L P DE 2.02,7.01,9.01 05/03/12 INERGY L P DE 7.01,9.01 05/03/12 INERGY MIDSTREAM, L.P. 2.02,7.01,9.01 05/03/12 INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 05/03/12 INFOSONICS CORP 2.02,9.01 05/03/12 INLAND REAL ESTATE CORP MD 2.02,7.01,9.01 05/03/12 INNERWORKINGS INC 5.02,9.01 04/30/12 INNERWORKINGS INC 2.02,9.01 05/03/12 INOLIFE TECHNOLOGIES, INC. 3.02 04/18/12 INSIGNIA SYSTEMS INC/MN MN 2.02,9.01 05/02/12 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.02,9.01 05/03/12 Intcomex, Inc. DE 5.02 04/27/12 INTEGRAMED AMERICA INC DE 2.02,9.01 05/03/12 INTEGRATED SECURITY SYSTEMS INC DE 5.01,5.02,5.03 04/26/12 INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 05/03/12 INTERPHASE CORP TX 5.07 05/02/12 INTERSIL CORP/DE DE 5.07 05/02/12 Intervia Inc. 4.01,9.01 04/17/12 AMEND INTRICON CORP PA 5.02,5.07,9.01 05/01/12 InvenSense Inc DE 2.02,9.01 05/03/12 INVENTURE FOODS, INC. DE 2.02,9.01 05/03/12 INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 05/03/12 ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 05/02/12 IRIDEX CORP DE 2.02,9.01 05/03/12 Iridium Communications Inc. DE 2.02,9.01 05/03/12 ISTAR FINANCIAL INC MD 8.01 05/03/12 IZEA Holdings, Inc. NV 8.01 05/02/12 J C PENNEY CO INC DE 5.02 05/02/12 James River Coal CO VA 2.02,7.01,9.01 05/03/12 John Bean Technologies CORP DE 2.02,9.01 05/02/12 Juhl Wind, Inc 1.01,2.01,8.01,9.01 04/30/12 K SWISS INC DE 2.02,9.01 05/03/12 KAPSTONE PAPER & PACKAGING CORP DE 2.02,9.01 05/02/12 AMEND KBR, INC. DE 8.01 05/03/12 Kearny Financial Corp. X1 2.02,9.01 03/31/12 KENEXA CORP 2.02,9.01 05/01/12 KENSEY NASH CORP DE 1.01,2.02,3.03,8.01, 05/02/12 9.01 KIMBALL INTERNATIONAL INC IN 2.02,9.01 05/03/12 KIMCO REALTY CORP MD 2.02 05/02/12 KIRKLAND'S, INC 2.02,9.01 05/03/12 KITE REALTY GROUP TRUST MD 2.02,9.01 05/03/12 KLA TENCOR CORP DE 8.01,9.01 05/03/12 Kodiak Oil & Gas Corp B0 2.02,9.01 05/03/12 KOHLS Corp WI 2.02,9.01 05/03/12 KRAFT FOODS INC VA 2.02,9.01 05/03/12 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 2.02,9.01 05/03/12 LAKES ENTERTAINMENT INC MN 7.01,9.01 04/27/12 LAMAR ADVERTISING CO/NEW DE 2.02,9.01 05/03/12 LANTRONIX INC DE 2.02,9.01 05/03/12 LASERLOCK TECHNOLOGIES INC NV 4.01,9.01 04/27/12 LEAPFROG ENTERPRISES INC 2.02,9.01 05/03/12 LEAR CORP DE 2.02,9.01 05/03/12 LEGACY RESERVES LP DE 2.02,9.01 05/02/12 Lender Processing Services, Inc. DE 2.02,9.01 05/02/12 LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 05/03/12 LEXICON PHARMACEUTICALS, INC./DE DE 2.02,9.01 05/03/12 LIFETIME BRANDS, INC DE 2.02,9.01 05/03/12 Lightwave Logic, Inc. NV 5.02,7.01,9.01 05/03/12 Limelight Networks, Inc. DE 2.02,8.01,9.01 05/03/12 LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,5.07,9.01 05/01/12 LINKEDIN CORP DE 2.02,9.01 05/03/12 LINKEDIN CORP DE 3.02,7.01,9.01 05/03/12 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.07,8.01 05/02/12 LIQUIDITY SERVICES INC DE 2.02,9.01 05/03/12 LITHIUM TECHNOLOGY CORP DE 1.01,9.01 04/27/12 LITTELFUSE INC /DE DE 2.02,9.01 05/03/12 LITTELFUSE INC /DE DE 5.07 04/27/12 LNB BANCORP INC OH 5.02,5.07,9.01 05/01/12 LOCAL.COM DE 5.02 04/30/12 M I HOMES INC OH 8.01,9.01 05/03/12 M I HOMES INC OH 8.01,9.01 05/03/12 MACATAWA BANK CORP MI 7.01 05/03/12 Macy's, Inc. DE 2.02,9.01 05/03/12 MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01 05/03/12 MAGNUM HUNTER RESOURCES CORP DE 7.01,9.01 05/03/12 Maiden Holdings, Ltd. D0 2.02,8.01,9.01 05/03/12 Main Street Capital CORP MD 1.01,2.03,8.01,9.01 05/02/12 Main Street Capital CORP MD 2.02,9.01 05/03/12 MANITOWOC CO INC WI 2.02,9.01 05/03/12 MANTECH INTERNATIONAL CORP DE 2.02,7.01,8.01,9.01 05/03/12 MARCHEX INC DE 2.02,9.01 05/03/12 Marriott Vacations Worldwide Corp DE 2.02,9.01 05/03/12 MASTEC INC FL 2.02,7.01,9.01 05/03/12 MATERION Corp 5.07 05/02/12 MATTRESS FIRM HOLDING CORP. DE 2.01,7.01,9.01 05/02/12 MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 05/02/12 MCG CAPITAL CORP DE 2.02,9.01 05/02/12 MCGRATH RENTCORP CA 2.02,9.01 05/03/12 MDC HOLDINGS INC DE 2.02,7.01,9.01 05/03/12 MDC PARTNERS INC A6 2.02,9.01 05/02/12 MEADWESTVACO Corp DE 2.01,9.01 05/01/12 Medley Capital Corp DE 1.01,9.01 05/03/12 Medley Capital Corp DE 2.02,7.01,9.01 05/03/12 MEDNAX, INC. FL 2.02,9.01 05/03/12 MEMC ELECTRONIC MATERIALS INC DE 5.02 05/03/12 MERCER INTERNATIONAL INC. WA 2.02,9.01 05/03/12 METALICO INC 2.02,9.01 05/03/12 METTLER TOLEDO INTERNATIONAL INC/ DE 2.02,9.01 05/03/12 MGM Resorts International DE 2.02,9.01 05/03/12 MICROSOFT CORP WA 5.02,9.01 05/03/12 MID AMERICA APARTMENT COMMUNITIES INC TN 2.02,9.01 05/03/12 MID PENN BANCORP INC PA 5.02,5.07,7.01 05/01/12 MIDAS INC DE 1.02,2.01,3.01,3.02, 04/30/12 3.03,5.01,5.02,5.03, 9.01 MIDDLEBURG FINANCIAL CORP VA 5.07 05/02/12 Millburn Multi-Markets Fund L.P. DE 3.02 05/01/12 MIMEDX GROUP, INC. FL 2.02,9.01 05/02/12 MINDEN BANCORP, INC. LA 2.02,9.01 05/03/12 MISCOR GROUP, LTD. IN 2.02,9.01 05/03/12 MOHAWK INDUSTRIES INC DE 2.02,9.01 05/03/12 MOLINA HEALTHCARE INC DE 5.07 05/02/12 MOLSON COORS BREWING CO DE 1.01,1.02,2.03,9.01 05/03/12 MOMENTA PHARMACEUTICALS INC DE 2.02,9.01 05/03/12 MOVE INC DE 2.02,9.01 05/03/12 MRV COMMUNICATIONS INC DE 5.02,9.01 05/01/12 MSCI Inc. DE 5.07 05/03/12 MTS SYSTEMS CORP MN 2.02,9.01 05/03/12 MULTI FINELINE ELECTRONIX INC 2.02,9.01 05/03/12 MULTIMEDIA GAMES HOLDING COMPANY, INC TX 2.02,9.01 05/03/12 MWI Veterinary Supply, Inc. DE 2.02,9.01 05/03/12 National CineMedia, Inc. DE 2.02,9.01 05/03/12 NATIONAL HEALTHCARE CORP DE 2.02,8.01,9.01 05/03/12 National Interstate CORP OH 2.02,9.01 05/02/12 NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 05/03/12 NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 05/02/12 NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 05/02/12 Neiman Marcus, Inc. DE 2.02,7.01 05/03/12 Neiman Marcus, Inc. DE 5.02 04/27/12 NEOPHOTONICS CORP DE 2.02,9.01 05/03/12 NetSpend Holdings, Inc. DE 2.02,9.01 05/03/12 NeurogesX Inc CA 2.02,8.01,9.01 05/03/12 NEW JERSEY RESOURCES CORP NJ 2.02,9.01 05/03/12 NEWS CORP 8.01,9.01 05/03/12 NORDSTROM INC WA 7.01,9.01 05/03/12 NORTHEAST BANCORP /ME/ ME 8.01 05/03/12 NORTHEAST BANCORP /ME/ ME 8.01,9.01 05/03/12 NORTHEAST UTILITIES MA 2.02,9.01 05/02/12 NORTHSTAR REALTY FINANCE CORP. MD 2.02,9.01 05/03/12 NORTHSTAR REALTY FINANCE CORP. MD 2.02,9.01 05/03/12 NPS PHARMACEUTICALS INC DE 2.02,9.01 05/03/12 NRG ENERGY, INC. DE 2.02,9.01 05/03/12 NTELOS HOLDINGS CORP 5.07 05/03/12 Obagi Medical Products, Inc. DE 2.02,9.01 05/03/12 Oconee Federal Financial Corp. 5.02,9.01 04/27/12 OCWEN FINANCIAL CORP FL 2.02,9.01 05/03/12 ODYSSEY PICTURES CORP NV 1.01,2.03 04/03/12 OGE ENERGY CORP. OK 2.02,9.01 05/03/12 OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 05/03/12 OLIN CORP VA 1.01,1.02,2.03,9.01 04/27/12 OLYMPIC STEEL INC OH 2.02,9.01 05/03/12 OM GROUP INC DE 2.02,9.01 05/03/12 ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 05/03/12 ONEOK INC /NEW/ OK 7.01,9.01 05/03/12 ONVIA INC DE 2.02,9.01 05/03/12 OPLINK COMMUNICATIONS INC DE 2.02,9.01 05/03/12 Orbitz Worldwide, Inc. DE 2.02,9.01 05/03/12 Orient Paper Inc. NV 2.02,9.01 05/03/12 ORIGINOIL INC NV 8.01,9.01 05/03/12 Orion Marine Group Inc 2.02,9.01 05/03/12 ORRSTOWN FINANCIAL SERVICES INC PA 7.01,9.01 05/03/12 OTELCO INC. DE 2.02,9.01 05/03/12 Oxford Resource Partners LP DE 2.02,9.01 05/03/12 Oxford Resource Partners LP DE 2.05 03/15/12 AMEND PACIFIC CONTINENTAL CORP OR 5.02,5.07,8.01,9.01 04/29/12 PACIFIC PREMIER BANCORP INC DE 1.01,2.01,9.01 05/03/12 AMEND Pacira Pharmaceuticals, Inc. DE 1.01,1.02,2.03,3.02, 05/02/12 8.01,9.01 PALL CORP NY 1.01,7.01,9.01 04/28/12 PARKWAY PROPERTIES INC MD 2.02,7.01,8.01,9.01 05/03/12 PC CONNECTION INC DE 2.02,9.01 05/03/12 PDF SOLUTIONS INC DE 2.02,9.01 05/03/12 PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 05/03/12 PEGASYSTEMS INC MA 2.02,9.01 05/03/12 Peninsula Gaming, LLC DE 2.02,9.01 05/03/12 PENN VIRGINIA CORP VA 2.02,7.01,9.01 05/02/12 PennantPark Floating Rate Capital Ltd 2.02,9.01 05/03/12 PennantPark Floating Rate Capital Ltd 7.01,9.01 05/03/12 PERFICIENT INC DE 2.02,8.01,9.01 05/03/12 PETROQUEST ENERGY INC DE 2.02 05/03/12 PHYSICIANS FORMULA HOLDINGS, INC. DE 2.02,7.01,9.01 05/03/12 Piedmont Office Realty Trust, Inc. MD 2.02,9.01 05/03/12 PILGRIMS PRIDE CORP DE 5.07 04/27/12 PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,8.01,9.01 05/03/12 PIONEER BANKSHARES INC/VA 8.01 05/03/12 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 05/02/12 Pioneer Southwest Energy Partners L.P DE 2.02,9.01 05/02/12 PLAINS EXPLORATION & PRODUCTION CO DE 2.02,7.01,9.01 05/03/12 PMC SIERRA INC DE 1.01,9.01 05/02/12 PMX Communities, Inc. NV 5.02 04/18/12 POLYONE CORP 2.02,9.01 05/03/12 Polypore International, Inc. 7.01,9.01 05/03/12 PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,9.01 05/03/12 POWER INTEGRATIONS INC CA 2.02,9.01 05/03/12 POWER ONE INC DE 2.02,9.01 05/03/12 POWERSECURE INTERNATIONAL, INC. DE 2.02,9.01 05/03/12 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 05/03/12 PRIVATE MEDIA GROUP INC NV 8.01 05/03/12 PROGRESS ENERGY INC NC 2.02,9.01 05/03/12 ProText Mobility, Inc. DE 5.02 05/01/12 Proto Labs Inc 2.02,9.01 05/03/12 ProUroCare Medical Inc. NV 3.02,8.01,9.01 04/30/12 Public Storage MD 2.02,5.07,8.01,9.01 03/31/12 Pyrotec, Inc. DE 1.01,5.01,5.02,9.01 04/23/12 QC Holdings, Inc. KS 2.02,9.01 05/03/12 QCR HOLDINGS INC DE 5.07 05/02/12 QCR HOLDINGS INC DE 8.01,9.01 05/03/12 QLOGIC CORP DE 2.02,9.01 05/03/12 QLT INC/BC A1 2.02,9.01 05/03/12 QUANTA SERVICES INC DE 2.02,9.01 05/03/12 QUEPASA CORP NV 2.02,9.01 05/03/12 RAIT Financial Trust MD 2.02,9.01 05/03/12 REALNETWORKS INC WA 5.02 04/27/12 REALPAGE INC DE 2.02,9.01 05/03/12 REDWOOD TRUST INC MD 2.02,7.01,9.01 05/03/12 REGENCY CENTERS CORP FL 2.02,9.01 05/02/12 REPLIGEN CORP DE 2.02,9.01 05/03/12 RESPONSE BIOMEDICAL CORP A1 4.01,5.02,9.01 05/02/12 RETAIL OPPORTUNITY INVESTMENTS CORP DE 2.02,9.01 05/02/12 Rhino Resource Partners LP DE 2.02,9.01 05/03/12 RIGEL PHARMACEUTICALS INC DE 2.02,9.01 05/01/12 RITE AID CORP DE 8.01,9.01 05/03/12 RITE AID CORP DE 8.01,9.01 05/03/12 ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,9.01 05/03/12 ROCKY MOUNTAIN CHOCOLATE FACTORY INC CO 2.02,7.01,9.01 05/03/12 ROFIN SINAR TECHNOLOGIES INC DE 2.02,9.01 03/31/12 ROLLINS INC DE 8.01,9.01 05/02/12 ROSS STORES INC DE 2.02,9.01 05/03/12 Rovi Corp DE 2.02,9.01 05/03/12 ROYAL GOLD INC DE 7.01,8.01,9.01 05/02/12 ROYAL GOLD INC DE 2.02,9.01 05/03/12 RTI INTERNATIONAL METALS INC OH 2.02,9.01 05/03/12 RXi Pharmaceuticals Corp DE 3.02,5.02,5.03,8.01, 04/27/12 9.01 SAFETY INSURANCE GROUP INC DE 2.02,9.01 05/03/12 SAGE FUND LP MD 3.02 05/01/12 SAKS INC TN 7.01,9.01 05/03/12 SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 03/31/12 Sally Beauty Holdings, Inc. 2.02,7.01,9.01 05/03/12 SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 05/03/12 SANDRIDGE ENERGY INC DE 2.02,9.01 05/03/12 SANDY SPRING BANCORP INC MD 5.07 05/02/12 SAPIENT CORP DE 2.02,9.01 05/03/12 Sara Lee Corp MD 2.02,9.01 05/03/12 SCANA CORP SC 2.02,9.01 05/03/12 SCHAWK INC 2.02,9.01 05/02/12 SCIENTIFIC LEARNING CORP DE 2.02 05/03/12 SCIQUEST INC DE 2.02,9.01 05/03/12 Scripps Networks Interactive, Inc. OH 2.02,7.01,9.01 05/03/12 Scripps Networks Interactive, Inc. OH 5.02 04/13/12 SEALED AIR CORP/DE DE 2.02,9.01 05/03/12 SEARS HOLDINGS CORP DE 5.07 05/02/12 SELECT MEDICAL HOLDINGS CORP 2.02,9.01 05/03/12 SEMPRA ENERGY CA 2.02,9.01 05/03/12 SENOMYX INC DE 2.02,9.01 05/03/12 SEQUENOM INC DE 2.02,9.01 05/03/12 SIGMA ALDRICH CORP DE 5.03,5.07,9.01 05/01/12 SIGNATURE GROUP HOLDINGS, INC. NV 7.01,9.01 05/03/12 Sino-Bon Entertainment, Inc. NV 1.01,9.01 04/27/12 Sitoa Global Inc. DE 4.01,9.01 04/30/12 AMEND Six Flags Entertainment Corp 8.01,9.01 05/02/12 Skilled Healthcare Group, Inc. DE 8.01 05/03/12 SLM Student Loan Trust 2012-3 DE 1.01,9.01 05/02/12 SLM Student Loan Trust 2012-3 DE 1.01,2.01,9.01 05/02/12 SM Energy Co DE 2.02,9.01 05/02/12 SMART BALANCE, INC. DE 2.02,9.01 05/03/12 Solar Power, Inc. CA 1.01,9.01 04/27/12 Sound Financial, Inc. 2.02,9.01 05/02/12 SOUNDBITE COMMUNICATIONS INC 2.02 05/02/12 AMEND SOUTH AMERICAN GOLD CORP. NV 5.02 05/01/12 SOUTHERN CALIFORNIA GAS CO CA 2.02 05/03/12 Southern National Bancorp of Virginia VA 1.01,2.01,8.01,9.01 04/27/12 SOUTHERN USA RESOURCES INC. DE 1.01,2.01,2.03,3.02, 04/27/12 3.03,5.01,8.01,9.01 Spirit AeroSystems Holdings, Inc. DE 2.02,9.01 05/03/12 SPOT MOBILE INTERNATIONAL LTD. DE 2.04 05/01/12 SquareTwo Financial Corp DE 8.01,9.01 05/03/12 ST JOE CO FL 2.02,9.01 05/03/12 STAGE STORES INC NV 8.01,9.01 05/03/12 STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 05/03/12 Star Gold Corp. NV 5.02 04/30/12 STARWOOD PROPERTY TRUST, INC. 5.07 05/02/12 STATE INVESTORS BANCORP, INC. 2.02,9.01 05/03/12 STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 05/03/12 STEVEN MADDEN, LTD. DE 2.02,9.01 05/03/12 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 05/03/12 SUBURBAN PROPANE PARTNERS LP DE 8.01,9.01 05/03/12 SUNOCO INC PA 2.02,9.01 05/02/12 SUNOCO INC PA 5.02,9.01 04/29/12 SUNOCO LOGISTICS PARTNERS L.P. DE 5.02,9.01 04/29/12 SUNPOWER CORP DE 2.02,9.01 05/03/12 SUNRISE SENIOR LIVING INC DE 5.02,5.07 05/02/12 SWIFT ENERGY CO 2.02 03/31/12 SXC Health Solutions Corp. A6 2.02 05/03/12 Symmetry Medical Inc. DE 8.01,9.01 05/03/12 Synthetic Biologics, Inc. NV 4.02,9.01 05/01/12 TAL International Group, Inc. DE 8.01,9.01 05/03/12 Targa Resources Corp. DE 2.02,9.01 05/03/12 Targa Resources Partners LP DE 2.02,9.01 05/03/12 TARGACEPT INC 2.02,9.01 05/03/12 TEAMSTAFF INC NJ 1.01,9.01 05/02/12 Telanetix,Inc DE 2.02,9.01 05/03/12 TELULAR CORP DE 5.02 05/01/12 TERADATA CORP /DE/ 2.02,7.01,9.01 05/03/12 TERRA NITROGEN CO L P /DE DE 2.02,9.01 05/03/12 TESORO CORP /NEW/ DE 2.01,9.01 05/02/12 TESORO CORP /NEW/ DE 7.01,9.01 05/03/12 TESSCO TECHNOLOGIES INC DE 2.02 05/02/12 TETRA TECH INC DE 2.02,9.01 05/02/12 THESTREET, INC. DE 2.02,9.01 05/03/12 THL Credit, Inc. DE 2.02,9.01 05/03/12 THOMAS PROPERTIES GROUP INC DE 2.02,9.01 05/02/12 TigerLogic CORP DE 5.02 05/01/12 TMS International Corp. DE 2.02,9.01 05/03/12 Tower International, Inc. DE 2.02,7.01,9.01 05/03/12 TRACTOR SUPPLY CO /DE/ DE 8.01,9.01 05/03/12 TREX CO INC DE 5.07 05/02/12 TRI CITY BANKSHARES CORP WI 2.02,9.01 05/03/12 TRIDENT MICROSYSTEMS INC DE 5.02 04/27/12 TRIMBLE NAVIGATION LTD /CA/ CA 2.02,5.07,9.01 05/01/12 TrovaGene Inc. DE 7.01,9.01 04/30/12 Two Harbors Investment Corp. 2.02,9.01 05/02/12 AMEND U S GLOBAL INVESTORS INC TX 2.02,9.01 05/02/12 U S PHYSICAL THERAPY INC /NV NV 2.02,8.01,9.01 05/03/12 U S PHYSICAL THERAPY INC /NV NV 2.02 05/03/12 UDR, Inc. MD 8.01,9.01 05/02/12 UIL HOLDINGS CORP CT 2.02,7.01,9.01 05/03/12 ULTRA PETROLEUM CORP 2.02,9.01 03/31/12 UNITED RENTALS INC /DE DE 1.01,1.02,2.01,2.03, 04/30/12 3.01,3.03,5.02,9.01 UNIVERSAL ELECTRONICS INC DE 2.02,9.01 05/03/12 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 1.01,3.02,3.03,9.01 04/30/12 US AIRWAYS GROUP INC DE 2.02,9.01 05/03/12 USA Mobility, Inc DE 2.02,8.01,9.01 05/03/12 Valeant Pharmaceuticals International A6 2.02,9.01 05/03/12 VALENCE TECHNOLOGY INC DE 1.01,9.01 04/30/12 VALIDUS HOLDINGS LTD 8.01,9.01 05/02/12 VALLEY FINANCIAL CORP /VA/ VA 5.07 05/02/12 Valley High Mining CO NV 5.01,5.02 04/09/12 VECTOR GROUP LTD DE 2.02,9.01 05/03/12 VECTREN CORP IN 2.02 05/02/12 VHGI HOLDINGS, INC. DE 9.01 02/16/12 AMEND Viacom Inc. DE 2.02,9.01 05/03/12 VIKING SYSTEMS INC DE 2.02,9.01 05/03/12 VISTA GOLD CORP B0 5.07 04/30/12 VISTEON CORP DE 8.01,9.01 05/02/12 VISUALANT INC NV 8.01 05/03/12 VOLT INFORMATION SCIENCES, INC. NY 5.02,9.01 04/27/12 Walter Energy, Inc. DE 2.02,9.01 05/02/12 WARNACO GROUP INC /DE/ DE 2.02,9.01 05/03/12 WATSCO INC FL 1.01,1.02,2.01,2.03, 04/27/12 3.02,9.01 WEBTRADEX INTERNATIONAL CORP NV 1.01 05/03/12 WEIS MARKETS INC PA 2.02,9.01 05/03/12 WEST PHARMACEUTICAL SERVICES INC PA 1.01,1.02,2.03,5.02, 04/27/12 5.07,9.01 Western Refining, Inc. DE 2.02,9.01 05/02/12 WEYCO GROUP INC WI 5.07 05/03/12 WHITING PETROLEUM CORP DE 5.07 05/01/12 WIKI GROUP, INC. 2.01,9.01 02/09/12 AMEND WILEY JOHN & SONS, INC. NY 5.07 05/03/12 AMEND Wizard World, Inc. DE 1.01,3.02,9.01 04/27/12 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 04/30/12 WORLD WRESTLING ENTERTAINMENTINC DE 2.02,9.01 05/03/12 WPX ENERGY, INC. DE 2.02 05/03/12 XATA CORP /MN/ MN 2.02,9.01 05/03/12 Xenith Bankshares, Inc. VA 2.02,9.01 05/02/12 Xstelos Holdings, Inc. DE 2.01,9.01 04/27/12 Xylem Inc. IN 2.02,7.01,9.01 05/03/12 Yankee Holding Corp. DE 5.02,9.01 04/27/12 YCC Holdings LLC DE 5.02,9.01 04/27/12 YRC Worldwide Inc. DE 2.02,9.01 05/03/12 Zalicus Inc. DE 2.02,9.01 05/03/12 Zayo Group LLC DE 4.01 04/27/12 Zeltiq Aesthetics Inc DE 5.02 04/27/12 AMEND ZIOPHARM ONCOLOGY INC DE 8.01,9.01 05/03/12 Zoom Telephonics, Inc. DE 2.02,9.01 05/03/12 ZYGO CORP DE 2.02,9.01 05/03/12
http://www.sec.gov/news/digest/2012/dig050412.htm
|