SEC News Digest

Commission Announcements

SEC Charges New York Man With Manipulating Biopharmaceutical Stocks and Conducting Unregistered Sales of Securities

The Securities and Exchange Commission today charged a Manhattan resident with carrying out a complex market manipulation scheme in biopharmaceutical stocks after he was kicked out of the brokerage industry for fraud.

The SEC alleges that David Blech established more than 50 brokerage accounts in the names of family members, friends, and even a private religious institution. He used those accounts to buy and sell significant amounts of stock in two biopharmaceutical companies in order to create the artificial appearance of activity in their securities so he could maintain their market price and use it to his own financial advantage. Blech, who was previously convicted of securities fraud, also solicited investments for biopharmaceutical companies – including the two companies whose stock he manipulated – despite being barred by the SEC from acting as a broker-dealer.

The SEC further alleges that Blech and his wife Margaret Chassman, who also is charged in the case, flouted federal securities laws when they repeatedly made unregistered sales of securities and failed to disclose their transactions in the various brokerage accounts.

“Blech tried to rig the market in favor of his own investments and create a mirage of activity in the stocks of biopharmaceutical companies for which he was soliciting investors,” said George S. Canellos, Director of the SEC’s New York Regional Office. “But he seriously misjudged the SEC’s determination to ensure that the securities markets function fairly.”

Sanjay Wadhwa, Associate Director of the SEC’s New York Regional Office and Deputy Chief of the Market Abuse Unit, added, “Blech hoped to avoid scrutiny by devising a complex scheme using accounts ostensibly belonging to family members and friends to place highly manipulative trades through different broker-dealers. This enforcement action demonstrates the SEC’s ability to dissect such trades and lay bare their true economic substance.”

In a parallel action, the U.S. Attorney’s Office for the Southern District of New York today announced criminal charges against Blech.

According to the SEC’s complaint filed in federal court in Manhattan, Blech engaged in his scheme at various points in 2007 and 2008, specifically manipulating the stocks of Pluristem Therapeutics Inc. and Intellect Neurosciences Inc. Blech first opened dozens of nominee accounts at several broker-dealers in the names of his wife, uncle, and sister-in law as well as a longtime friend and a company he controlled, and religious institution Central Yeshiva Beth Joseph that is managed by Blech’s cousin. Blech then used the accounts to engage in deceptive activities and carry out matched trades in Pluristem’s and Intellect’s stocks. Blech’s activity in these thinly-traded securities artificially inflated the stock price of both companies and created the false impression of a liquid market for each company. Blech then used the artificially inflated stock price to sell off his holdings of Pluristem and Intellect through the nominee accounts, and as collateral for a line of credit he established in his wife’s name.

According to the SEC’s complaint, Blech has committed prior violations of the securities laws. He pled guilty in 1998 to two counts of securities fraud and was sentenced to five years of probation. In 2000, he settled a related SEC enforcement action by accepting a permanent bar from associating with any broker-dealer.

The SEC’s complaint charges Blech with violating Section 17(a)(1) and (3) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a) and (c), and for acting as an unregistered broker-dealer in violation of Section 15(b)(6)(B) of the Exchange Act The complaint also charges Blech and Chassman with violating Sections 5(a) and 5(c) of the Securities Act and for failing to make filings required by Sections 13(d) and 16(a) of the Exchange Act.

The SEC’s complaint seeks a final judgment ordering Blech and Chassman to disgorge their ill-gotten gains plus prejudgment interest, pay financial penalties, and be permanently enjoined from future violations of the provisions of the federal securities laws they violated. The complaint seeks orders requiring Blech to comply with a prior SEC order barring him from association with a broker or dealer, and prohibiting him from various other stock activities.

The SEC’s investigation was conducted by Charles D. Riely and Amelia A. Cottrell – members of the SEC’s Market Abuse Unit in New York – and Shannon A. Keyes and Kathy Murdocco of the SEC’s New York Regional Office. The office’s broker-dealer examination team of Richard Heaphy, Michael McAuliffe, Simone Celio Jr., and Doreen Piccirillo provided assistance with the investigation.

The SEC acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority.

The SEC’s investigation is continuing. (Press Rel. 2012-89)

Commission Meetings

Closed Meeting on Wednesday, May 9 , 2012 at 10:30 a.m.

The subject matter of the May 9, 2012 Closed Meeting was: an examination of a financial institution; and a personnel matter.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551-5400.

Enforcement Proceedings

In the Matter of Deloitte Touche Tohmatsu Certified Public Accountants Ltd.

On May 9, 2012, the Securities and Exchange Commission instituted contested administrative proceedings against Deloitte Touche Tohmatsu Certified Public Accountants Ltd. (D&T Shanghai) pursuant to Rule 102(e)(1)(iii) of the Commission’s Rules of Practice for D&T Shanghai’s refusal to provide audit work papers to the Commission.

The Division of Enforcement alleged in the Order Instituting Proceedings that since April 2010, SEC staff have made extensive efforts to obtain the audit work papers prepared in connection with D&T Shanghai’s work for a foreign private issuer whose securities are registered with the Commission. These efforts have included a request under Section 106 of the Sarbanes-Oxley Act of 2002, which requires foreign public accounting firms to provide audit work papers to the Commission upon request. D&T Shanghai has refused to provide the Commission with the audit work papers, citing Chinese law as the reason for its failure to produce the requested documents. The Division of Enforcement alleged that by failing to provide the Commission with the audit work papers, D&T Shanghai willfully violated the Sarbanes-Oxley Act and the Securities Exchange Act of 1934.

A hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence to determine whether the allegations contained in the SEC’s Order are true and to determine the appropriate remedial sanctions. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 300 days from the date of service of the order instituting proceedings. (Rel. 34-66948; File No. 3-14872)

SEC Charges Former Detroit Officials and Investment Adviser to City Pension Funds in Influence Peddling Scheme

The Securities and Exchange Commission today charged former Detroit mayor Kwame M. Kilpatrick, former city treasurer Jeffrey W. Beasley, and the investment adviser to the city’s public pension funds involved in a secret exchange of lavish gifts to peddle influence over the funds’ investment process.

The Commission’s complaint alleges that Kilpatrick and Beasley, who were trustees to the pension funds, solicited and received $125,000 worth of private jet travel and other perks paid for by MayfieldGentry Realty Advisors LLC, an investment adviser whose CEO Chauncey Mayfield was recommending to the trustees that the pension funds invest approximately $117 million in a real estate investment trust (REIT) controlled by the firm. Despite their fiduciary duties, neither Kilpatrick and Beasley nor Mayfield and his firm informed the boards of trustees about these trips and the conflicts of interest they presented. The funds ultimately voted to approve the REIT investment, and MayfieldGentry received millions of dollars in management fees.

According to the Commission’s complaint filed in U.S. District Court for the Eastern District of Michigan, members of Kilpatrick’s administration began to exert pressure on Mayfield in early 2006 after he supported Kilpatrick’s opponent in his 2005 re-election and hired that candidate’s daughter at MayfieldGentry. The complaint alleges that Beasley met with Mayfield in February 2006 and told him he was “in the dog house” with Kilpatrick and offered to help him “clear the air.” Throughout 2007, Mayfield appeared before the boards of trustees for Detroit’s public pension funds recommending the REIT investment.

Meanwhile, the complaint alleges, MayfieldGentry began footing the bills for trips taken by Kilpatrick, Beasley and others that extended beyond business. In January 2007, Beasley demanded and Mayfield agreed to pay more than $3,000 for hotel rooms in Charlotte, N.C. for Beasley, Kilpatrick, and others. According to the complaint, Beasley told Mayfield that the reason for the trip was to inspect a building recently acquired by one of the pension funds, but in fact Beasley and Kilpatrick never inspected the building. Mayfield knew that Beasley and Kilpatrick never inspected the building, but did not ask any further questions about the matter.

According to the Commission’s complaint, the non-business travel continued:

• In April 2007, MayfieldGentry paid for Kilpatrick, Beasley, and their associates to travel by private jet to Las Vegas, where they enjoyed luxury hotel accommodations, two concerts, three rounds of golf, meals, and massages. The Las Vegas trip cost more than $60,000.
   
• In July 2007, MayfieldGentry paid more than $24,000 for a private jet to take Kilpatrick, Beasley’s son and others to Tallahassee, Fla., where Kilpatrick had a second home.
   
• In October 2007, MayfieldGentry paid more than $34,000 for a private jet to fly Kilpatrick and his wife to and from Bermuda, and Kilpatrick’s father and his girlfriend back from Bermuda.

The Commission alleges that neither Kilpatrick nor Beasley nor Mayfield nor MayfieldGentry told anyone associated with the pension funds about any of the travel. The boards of trustees for the funds thus voted to invest approximately $117 million with Mayfield and his firm without the knowledge that they had supplied Kilpatrick, Beasley, and their associates with the extravagant travel and perks during the preceding 10 months.

The Commission’s complaint alleges that the defendants violated Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a), 10b-5(b) and 10b-5(c) thereunder.  The Commission also alleges that MayfieldGentry and Chauncey Mayfield violated Sections 17(a)(1), 17(a)(2) and 17(a)(3) of the Securities Act of 1933. In addition, the Commission charges that MayfieldGentry and Chauncey Mayfield violated Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 and Kilpatrick and Beasley aided and abetted those violations. The Commission seeks disgorgement of ill-gotten gains, penalties, and permanent injunctions, including an injunction against Kilpatrick and Beasley to prohibit them from participating in any decisions involving investments in securities by public pensions.

The Commission’s investigation, which is continuing, has been conducted jointly by the Chicago Regional Office led by Merri Jo Gillette and Timothy L. Warren, the Enforcement Division’s Asset Management Unit led by Bruce Karpati and Robert Kaplan, and the Municipal Securities and Public Pensions Unit led by Elaine C. Greenberg and Mark R. Zehner. The investigative attorneys are Brian D. Fagel, Rebecca R. Goldman and Eric A. Celauro, led by Assistant Directors Peter K.M. Chan and John J. Sikora, Jr. The Commission’s litigation will be led by Timothy S. Leiman and John E. Birkenheier. [SEC v. Kwame M. Kilpatrick, et al., Case No. 12-cv-12109 (E.D. Mich.)] (LR-22362)

Investment Company Act Releases

Huntington Asset Advisors, Inc., et al.

An order has been issued on an application filed by Huntington Asset Advisors, Inc., et al. The order permits: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-30061 – May 8)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-58) to modify the pricing schedule regarding the Co-Location Super High Density Cabinet monthly fee has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66935)

Chicago Mercantile Exchange, Inc. (“CME”) filed a proposed rule change (SR-CME-2012-14) under Section 19(b)(1) of the Securities Exchange Act of 1934, which proposed rule became effective upon filing, to amend the fee schedule applicable to its OTC S&P GSCI-ER Swaps Contracts. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66940)

A proposed rule change filed by the NASDAQ Stock Market LLC (SR-NASDAQ-2012-054) to modify the NASDAQ co-location super high density cabinet monthly fee has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66943)

A proposed rule change filed by NASDAQ OMX BX, Inc. (SR-BX-2012-029) to modify the Exchange’s co-location super high density cabinet monthly fee has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66944)

A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2012-36) amending the NYSE Arca Equities Fee Schedule to make correction to the Tape A, Tape B, and Tape C Step Up Tiers has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66946)

Proposed Rule Change

NYSE Arca, Inc. has filed a proposed rule change (SR-NYSEArca-2012-05) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder adding new paragraph (cc) to NYSE Arca Options Rule 6.62 to provide for a Post No Preference Light Only quotation. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66937)

Approval of Proposed Rule Change

A proposed rule change filed by Chicago Mercantile Exchange, Inc. (CME) amending rules related to credit default swap guaranty fund allocations, end-of-day pricing procedures, daily submission deadlines, holiday accrual processing and the price alignment interest payment timeline (SR-CME-2012-06) 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. 34-66941)

Designation of Longer Period For Commission Action on a 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-NYSEArca-2012-19) filed by NYSE Arca, Inc. to amend Commentary .01 to NYSE Arca Rule 6.35. Publication is expected in the Federal Register during the week of May 7. (Rel. 34-66945)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-8     Avery Dennison Corp, 150 N ORANGE GROVE BLVD, PASADENA, CA, 91103, 
        626.304.2000 - 6,000,000 ($190,260,000.00) Equity, (File 333-181221 - 
        May. 8) (BR. 04B)

S-1     FIRST NATIONAL CORP /VA/, 112 WEST KING STREET, STRASBURG, VA, 22657, 
        5404659121 - 2,955,649 ($11,822,596.00) Equity, (File 333-181222 - 
        May. 8) (BR. 07B)

S-3ASR  Motorola Solutions, Inc., 1303 E ALGONQUIN RD, SCHAUMBURG, IL, 60196, 
        8475765000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-181223 - May. 8) (BR. 11A)

S-1     ATLANTIC POWER CORP, 200 CLARENDON STREET, FLOOR 25, BOSTON, MA, 02116, 
        617-977-2701 - 0 ($125,000,000.00) Equity, (File 333-181224 - May. 8) 
        (BR. 02B)

S-1     ATLANTIC POWER CORP, 200 CLARENDON STREET, FLOOR 25, BOSTON, MA, 02116, 
        617-977-2701 - 0 ($125,000,000.00) Debt, (File 333-181225 - May. 8) 
        (BR. 02B)

S-1     Taylor Consulting Inc., 16124 ROSECRANS AVE. #3H, LA MIRADA, CA, 90638, 
        619-301-8645 - 3,020,000 ($151,000.00) Equity, (File 333-181226 - 
        May. 8) (BR. 08)

S-8     REALTY INCOME CORP, 600 LA TERRAZA BLVD, ESCONDIDO, CA, 92025, 
        7607412111 - 0 ($156,198,347.58) Equity, (File 333-181227 - May. 8) 
        (BR. 08C)

S-8     Con-way Inc., 2211 OLD EARHART ROAD, SUITE 300, ANN ARBOR, MI, 48105, 
        7349946600 - 7,637,432 ($269,219,478.00) Equity, (File 333-181228 - 
        May. 8) (BR. 05A)

S-1     PN Med Group Inc, SAN ISIDRO 250, DEPTO 618, SANTIAGO, F3, 8240400, 
        569-659-22350 - 5,000,000 ($100,000.00) Equity, (File 333-181229 - 
        May. 8) (BR. 09)

S-8     PLUM CREEK TIMBER CO INC, 999 THIRD AVENUE, SUITE 4300, SEATTLE, WA, 
        98104-4096, (206)467-3600 - 6,148,900 ($241,098,369.00) Equity, 
        (File 333-181230 - May. 8) (BR. 08C)

S-8     CBRE GROUP, INC., 11150 SANTA MONICA BOULEVARD, SUITE 1600, 
        LOS ANGELES, CA, 90025, 310-405-8900 - 0 ($400,162,500.00) Equity, 
        (File 333-181235 - May. 8) (BR. 08B)

S-3ASR  FEDERAL REALTY INVESTMENT TRUST, 1626 EAST JEFFERSON STREET, ROCKVILLE, 
        MD, 20852-4041, 3019988100 - 0 ($0.00) Equity, (File 333-181236 - 
        May. 8) (BR. 08B)

S-8     PetroLogistics LP, 600 TRAVIS STREET, SUITE 3250, HOUSTON, TX, 77002, 
        713-255-5990 - 0 ($92,647,044.00) Equity, (File 333-181237 - May. 8) 
        (BR. 06B)

S-3ASR  FEDERAL REALTY INVESTMENT TRUST, 1626 EAST JEFFERSON STREET, ROCKVILLE, 
        MD, 20852-4041, 3019988100 - 0 ($1.00) Equity, (File 333-181238 - 
        May. 8) (BR. 08B)

S-3ASR  EQUITY LIFESTYLE PROPERTIES INC, TWO N RIVERSIDE PLZ, STE 800, CHICAGO, 
        IL, 60606, 3122791400 - 0 ($0.00) Other, (File 333-181242 - May. 8) 
        (BR. 08B)

S-1     SMTP, Inc., ONE BROADWAY, 14TH FLOOR, CAMBRIDGE, MA, 02142, 
        877-705-9362 - 800,000 ($1,064,000.00) Equity, (File 333-181244 - 
        May. 8) (BR. 11C)

S-4     Tyco Flow Control International Ltd., 9 ROSZEL ROAD, PRINCETON, NJ, 
        08540, 41-52-633-02-04 - 0 ($4,347,240,000.00) Equity, 
        (File 333-181250 - May. 8) (BR. )

S-1     MMRGlobal, Inc., 4401 WILSHIRE BLVD., SUITE 200, LOS ANGELES, CA, 
        90010, 310 476 7002 - 100,000,000 ($2,000,000.00) Equity, 
        (File 333-181251 - May. 8) (BR. 03A)

S-8     eHealth, Inc., 440 EAST MIDDLEFIELD ROAD, MOUNTAIN VIEW, CA, 94043, 
        650-584-2700 - 0 ($43,958,809.00) Equity, (File 333-181252 - May. 8) 
        (BR. 01A)

S-1     Tyco Flow Control International Ltd., 9 ROSZEL ROAD, PRINCETON, NJ, 
        08540, 41-52-633-02-04 - 0 ($3,817,582,000.00) Equity, 
        (File 333-181253 - May. 8) (BR. )

S-4     OCLARO, INC., 2584 JUNCTION AVENUE, SAN JOSE, CA, 95134, 
        (408) 383-1400 - 44,399,479 ($108,355,872.15) Equity, 
        (File 333-181254 - May. 8) (BR. 10B)

S-3     SANTARUS INC, 3721 VALLEY CENTRE DRIVE, STE 400, SAN DIEGO, CA, 92130, 
        8583145700 - 0 ($5,365,960.00) Equity, (File 333-181255 - May. 8) 
        (BR. 01A)

S-4     LINN ENERGY, LLC, 600 TRAVIS, SUITE 5100, HOUSTON, TX, 77002, 
        281-840-4000 - 0 ($750,000,000.00) Non-Convertible Debt, 
        (File 333-181256 - May. 8) (BR. 04A)

S-8     GOLDEN GLOBAL CORP., 17412 - 105 NW, SUITE 201, EDMONTON, A0, T5S 1G4, 
        (780) 443-4652 - 10,000,000 ($1,000,000.00) Equity, (File 333-181257 - 
        May. 8) (BR. 09B)

S-8     NORTHEAST UTILITIES, ONE FEDERAL STREET, BUILDING 111-4, SPRINGFIELD, 
        MA, 01105, 8606655000 - 8,260,209 ($297,697,932.36) Equity, 
        (File 333-181258 - May. 8) (BR. 02A)

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 Century Bancshares, Inc.            DE       2.02,9.01            03/31/12

3D SYSTEMS CORP                         DE       7.01,9.01            05/08/12

A123 SYSTEMS, INC.                      DE       5.02                 05/02/12

AAON INC                                NV       2.02,9.01            05/08/12

AASTROM BIOSCIENCES INC                 MI       5.07                 05/02/12

ACACIA RESEARCH CORP                    DE       9.01                 01/12/12    AMEND

ACADIA PHARMACEUTICALS INC              DE       2.02,9.01            05/08/12

ACCURAY INC                             DE       2.02,9.01            05/08/12

ACORN ENERGY, INC.                      DE       7.01,9.01            05/08/12

ADA-ES INC                              CO       2.02,9.01            05/08/12

ADDVANTAGE TECHNOLOGIES GROUP INC       OK       2.02,7.01,9.01       05/08/12

Aegion Corp                             DE       7.01,9.01            05/08/12

AEROCENTURY CORP                        DE       5.02                 05/03/12

AEROCENTURY CORP                        DE       5.02                 05/03/12    AMEND

AeroGrow International, Inc.            NV       8.01,9.01            05/08/12

AG Mortgage Investment Trust, Inc.      MD       2.02,9.01            05/08/12

AGREE REALTY CORP                       DE       5.07                 05/07/12

Aircastle LTD                           D0       7.01,9.01            05/07/12

AKORN INC                               LA       2.02,5.07,9.01       05/04/12

ALBANY MOLECULAR RESEARCH INC           DE       5.02,9.01            05/04/12

ALCOA INC                               PA       7.01,9.01            05/08/12

ALLIANCE BANKSHARES CORP                         1.01,9.01            05/03/12

Alliance HealthCare Services, Inc       CA       5.07                 05/04/12

Allied Nevada Gold Corp.                DE       2.02,9.01            05/07/12

Allied Nevada Gold Corp.                DE       5.07                 05/03/12

ALLSCRIPTS HEALTHCARE SOLUTIONS, INC.   DE       7.01,9.01            05/08/12

Alphatec Holdings, Inc.                 DE       2.02,9.01            05/08/12

Alphatec Holdings, Inc.                 DE       1.01,9.01            05/08/12

ALSERES PHARMACEUTICALS INC /DE         DE       8.01                 05/02/12

ALSERES PHARMACEUTICALS INC /DE         DE       1.01                 05/03/12

ALTERA CORP                             DE       1.01,1.02,2.03,9.01  05/08/12

AMARIN CORP PLC\UK                      X0       2.02,9.01            05/08/12

AMBASSADORS GROUP INC                   DE       1.01,5.02,9.01       05/07/12

AMEDISYS INC                            DE       2.02,7.01,9.01       05/08/12

Ameresco, Inc.                          DE       2.02,9.01            05/08/12

AMERICAN AIRLINES INC                   DE       8.01                 05/08/12

American Realty Capital Properties, I   MD       8.01                 05/08/12

American Reprographics CO               DE       2.02,9.01            05/08/12

AMR CORP                                DE       8.01                 05/08/12

AMYRIS, INC.                            DE       2.02,9.01            05/08/12

AMYRIS, INC.                            DE       5.02                 05/02/12

Apollo Global Management LLC            DE       2.02,9.01            05/08/12

Archipelago Learning, Inc.              DE       2.02,9.01            05/08/12

ARES CAPITAL CORP                       MD       2.02,7.01,9.01       05/08/12

Armour Residential REIT, Inc.           MD       7.01,9.01            05/08/12

ARROWHEAD RESEARCH CORP                 DE       2.02,9.01            05/08/12

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            05/08/12

ATLANTIC POWER CORP                     A1       2.02,9.01            05/07/12

Atlas Energy, L.P.                      DE       2.02,9.01            05/07/12

Atlas Resource Partners, L.P.                    2.02,9.01            05/07/12

ATRION CORP                             DE       2.02,9.01            05/08/12

Augme Technologies, Inc.                DE       2.02,9.01            05/08/12

AUTOLIV INC                             DE       5.02,5.07,8.01,9.01  05/08/12

AVANIR PHARMACEUTICALS, INC.            DE       2.02,5.02,9.01       05/02/12

Avantair, Inc                           DE       5.02                 05/02/12

Baby Fox International, Inc.            NV       5.03,5.07,9.01       04/17/12

Bacterin International Holdings, Inc.   DE       7.01,9.01            05/08/12

BAHAMAS CONCIERGE, INC.                 NV       8.01                 05/03/12

Bancorp of New Jersey, Inc.             NJ       2.02,9.01            05/08/12

Bank of the Carolinas CORP              NC       2.02,9.01            05/04/12

BARRY R G CORP /OH/                     OH       2.02,9.01            05/08/12

BB&T CORP                               NC       7.01,9.01            05/08/12

BERKSHIRE HATHAWAY INC                  DE       5.07                 05/05/12

BIO KEY INTERNATIONAL INC               DE       2.02,9.01            05/08/12

Bio-Matrix Scientific Group, Inc.       DE       1.01,9.01            04/26/12

BIOCANCELL THERAPEUTICS INC.                     8.01                 05/02/12

BIONOVO INC                             DE       5.02,5.07            05/03/11

BIOSANTE PHARMACEUTICALS INC            DE       2.02,9.01            05/08/12

Bizzingo, Inc.                          NV       1.01,3.02,7.01,9.01  05/04/12

BJs RESTAURANTS INC                     CA       8.01,9.01            05/08/12

BLOUNT INTERNATIONAL INC                DE       2.02,9.01            05/07/12

BLUE NILE INC                           DE       2.02,9.01            05/08/12

BRIDGE BANCORP INC                      NY       5.07,9.01            05/04/12

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       2.02,9.01            05/08/12

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       2.06                 03/13/12    AMEND

BROADSOFT, INC.                         DE       5.07                 05/04/12

BUFFALO WILD WINGS INC                  MN       5.02,5.07,9.01       05/02/12

CADENCE DESIGN SYSTEMS INC              DE       5.07                 05/04/12

CAESARS ENTERTAINMENT Corp              DE       1.01,9.01            05/07/12

CAFEPRESS INC.                          DE       5.02,9.01            05/03/12

CALIFORNIA GOLD CORP.                   NV       5.02                 05/04/12

CALLON PETROLEUM CO                     DE       2.02,7.01,9.01       05/07/12

CAMDEN NATIONAL CORP                    ME       5.02,9.01            05/01/12

CAPITAL BANK CORP                       NC       2.02,9.01            05/07/12

CAPITAL ONE FINANCIAL CORP              DE       5.02,5.07            05/08/12

CardioNet, Inc.                         CA       2.02,9.01            05/08/12

Carlyle Group L.P.                      DE       1.01,3.03,5.02,5.03, 05/02/12
                                                 8.01,9.01
     
CARRIZO OIL & GAS INC                   TX       2.02,9.01            05/08/12

CARROLLTON BANCORP                      MD       8.01,9.01            05/08/12

CARROLS RESTAURANT GROUP, INC.                   2.02,9.01            05/08/12

CAS MEDICAL SYSTEMS INC                 DE       2.02,9.01            05/08/12

CDI CORP                                PA       2.02,8.01,9.01       05/02/12

CDI CORP                                PA       5.07                 05/03/12

CENTRAL VIRGINIA BANKSHARES INC         VA       2.02,9.01            05/08/12

CHARTER COMMUNICATIONS, INC. /MO/       DE       2.02,9.01            05/08/12

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            05/07/12

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            05/07/12

CHASE BANK USA, NATIONAL ASSOCIATION    DE       8.01,9.01            05/07/12

Chatham Lodging Trust                   MD       2.02,9.01            05/07/12

CHECKPOINT SYSTEMS INC                  PA       5.02,9.01            05/08/12

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            05/08/12

CHESAPEAKE MIDSTREAM PARTNERS LP        DE       2.02,9.01            05/08/12

CHESAPEAKE UTILITIES CORP               DE       7.01,9.01            05/06/12

CHICAGO RIVET & MACHINE CO              IL       2.02,9.01            05/04/12

China Natural Gas, Inc.                 DE       5.02,9.01            05/02/12

CHINACAST EDUCATION CORP                DE       3.01,9.01            05/02/12

CHIQUITA BRANDS INTERNATIONAL INC       NJ       2.02,9.01            05/08/12

CHURCH & DWIGHT CO INC /DE/             DE       5.07                 05/03/12

CIBER INC                               DE       2.02,9.01            05/08/12

CIBER INC                               DE       1.01,2.03,9.01       05/07/12

CICERO INC                              DE       4.01,9.01            05/02/12

CIT GROUP INC                           DE       8.01,9.01            05/04/12

Cleantech Solutions International, In   DE       1.01,3.02,9.01       05/04/12

Clovis Oncology, Inc.                   DE       2.02,9.01            05/08/12

CMS ENERGY CORP                         MI       8.01,9.01            05/08/12

COACH INC                               MD       5.02,9.01            05/07/12

Colfax CORP                             DE       2.02,9.01            05/08/12

COMFORT SYSTEMS USA INC                          7.01,9.01            05/08/12

COMMVAULT SYSTEMS INC                   DE       2.02,9.01            05/08/12

CONNS INC                               DE       2.02,9.01            05/08/12

CONVERGYS CORP                          OH       2.02,8.01,9.01       05/08/12

Core-Mark Holding Company, Inc.         DE       2.02,9.01            05/08/12

Corporate Capital Trust, Inc.           MD       5.07,9.01            05/03/12

CORPORATE PROPERTY ASSOCIATES 16 GLOB   MD       7.01,9.01            05/08/12

COVANCE INC                             DE       5.02                 05/08/12

CPI AEROSTRUCTURES INC                  NY       2.02                 05/07/12

Crestwood Midstream Partners LP         DE       2.02,9.01            05/08/12

Crexendo, Inc.                          DE       2.02,9.01            05/08/12

CROSSTEX ENERGY INC                     DE       1.01,7.01,9.01       05/07/12

CROSSTEX ENERGY INC                     DE       2.02,9.01            05/08/12

CROSSTEX ENERGY LP                      DE       1.01,7.01,9.01       05/07/12

CROSSTEX ENERGY LP                      DE       2.02,9.01            05/08/12

CROWN DYNAMICS CORP                     DE       1.01,3.02,5.06,9.01  01/18/12    AMEND

CTI INDUSTRIES CORP                     DE       2.02,9.01            05/07/12

CURIS INC                               DE       2.02,9.01            05/08/12

CURTISS WRIGHT CORP                     DE       5.02,5.07            05/04/12

CYS Investments, Inc.                   MD       7.01,9.01            05/08/12

DCP Midstream Partners, LP              DE       2.02,9.01            05/07/12

DealerTrack Holdings, Inc.              DE       2.02,9.01            05/08/12

DealerTrack Holdings, Inc.              DE       7.01,9.01            05/08/12

DEMAND MEDIA INC.                       DE       2.02,9.01            05/08/12

Demandware Inc                          DE       2.02,9.01            05/08/12

DEPOMED INC                             CA       2.02,9.01            05/08/12

diaDexus, Inc.                          DE       2.02,9.01            05/08/12

Digital Domain Media Group, Inc.        FL       1.01,2.03,3.02,9.01  05/06/12

DIRECTV                                 DE       2.02                 05/08/12

Discovery Communications, Inc.          DE       2.02,9.01            05/08/12

DISH Network CORP                       NV       8.01,9.01            05/07/12

DISH Network CORP                       NV       5.07                 05/02/12

Dolan Co.                               DE       2.02,9.01            05/08/12

DOUGLAS DYNAMICS, INC                   DE       2.02,9.01            05/07/12

DOUGLAS DYNAMICS, INC                   DE       5.07                 05/02/12

DOVER SADDLERY INC                               2.02,5.07,9.01       05/02/11

Dresser-Rand Group Inc.                 DE       5.07                 05/08/12

DRIL-QUIP INC                           DE       2.02,9.01            05/07/12

Duke Energy CORP                        DE       8.01,9.01            05/08/12

DUNKIN' BRANDS GROUP, INC.              DE       7.01,9.01            05/08/12

DYNAVAX TECHNOLOGIES CORP               DE       8.01,9.01            05/08/12

EARTHLINK INC                           DE       7.01,9.01            05/08/12

EAST COAST DIVERSIFIED CORP             NV       1.01,3.02,9.01       04/20/12

EASTMAN CHEMICAL CO                     DE       5.02,5.03,5.07,9.01  05/03/12

EchoStar CORP                           NV       5.07                 05/03/12

EDELMAN FINANCIAL GROUP INC.            TX       2.02,7.01,9.01       05/08/12

EGAIN COMMUNICATIONS CORP               DE       2.02,9.01            05/08/12

Ellington Financial LLC                 DE       2.02,7.01,8.01,9.01  05/07/12

EMC INSURANCE GROUP INC                 IA       2.02,7.01,9.01       05/08/12

EMCORE CORP                             NJ       7.01,8.01,9.01       05/07/12

Employers Holdings, Inc.                NV       2.02,8.01,9.01       05/08/12

ENTRAVISION COMMUNICATIONS CORP         DE       2.02,9.01            05/08/12

EOG RESOURCES INC                       DE       2.02,7.01,9.01       05/02/12

EPAM Systems, Inc.                      DE       2.02,9.01            05/08/12

EQT Corp                                PA       1.01,9.01            05/08/12

ESSEX PROPERTY TRUST INC                MD       7.01,9.01            05/08/12

Essex Rental Corp.                      DE       2.02,9.01            05/07/12

EverBank Financial Corp                 DE       1.01,8.01,9.01       05/02/12

EVOLVING SYSTEMS INC                    DE       2.02,8.01,9.01       05/08/12

FAC PROPERTYS LLC                       NY       2.01                 05/08/12

FactorShares 2X: Gold Bull/S&P500 Bea            8.01                 05/07/12

FactorShares 2X: Oil Bull/S&P500 Bear            8.01                 05/07/12

FactorShares 2X: S&P500 Bull/TBond Be            8.01                 05/07/12

FactorShares 2X: S&P500 Bull/USD Bear            8.01                 05/07/12

FactorShares 2X: TBond Bull/S&P500 Be            8.01                 05/07/12

FBR & Co.                               VA       8.01,9.01            05/08/12

Federal Home Loan Bank of Atlanta       X1       2.03                 05/08/12

Federal Home Loan Bank of Chicago       X1       2.03                 05/02/12

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            05/02/12

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            05/04/12

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            05/08/12

Federal Home Loan Bank of New York      X1       2.03,9.01            05/02/12

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            05/02/12

Federal Home Loan Bank of San Francis   X1       2.03                 05/02/12

Federal Home Loan Bank of Seattle                2.03                 05/02/12

Federal Home Loan Bank of Topeka                 2.03,9.01            05/02/12

FEDERAL REALTY INVESTMENT TRUST         MD       8.01,9.01            05/08/12

Fiesta Restaurant Group, Inc.           DE       1.01,2.02,5.01,5.02, 05/07/12
                                                 9.01
          
FIFTH THIRD BANCORP                     OH       7.01,9.01            05/08/12

Financial Engines, Inc.                 DE       2.02,9.01            05/08/12

FIRST PACTRUST BANCORP INC              MD       7.01,8.01,9.01       05/08/12

FIRSTMERIT CORP /OH/                    OH       7.01,9.01            05/08/12

FLUOR CORP                              DE       5.03,5.07,9.01       05/03/12

Fortress Investment Group LLC           DE       7.01                 05/08/12

FOSSIL INC                              DE       2.02,9.01            05/08/12

FreightCar America, Inc.                DE       2.02,9.01            05/08/12

FRONTIER COMMUNICATIONS CORP            DE       8.01,9.01            05/08/12

FUEL TECH, INC.                         DE       2.02,9.01            05/08/12

FULLER H B CO                           MN       8.01,9.01            05/07/12

FURMANITE CORP                          DE       2.02,7.01,9.01       05/08/12

GALLAGHER ARTHUR J & CO                 DE       8.01,9.01            05/08/12

GALLAGHER ARTHUR J & CO                 DE       8.01,9.01            05/08/12

GALLAGHER ARTHUR J & CO                 DE       5.07,7.01,9.01       05/08/12

GAMETECH INTERNATIONAL INC              DE       1.01,5.02,9.01       05/07/12

Gas Natural Inc.                        OH       8.01,9.01            05/07/12

GAYLORD ENTERTAINMENT CO /DE            DE       2.02,9.01            05/08/12

GAYLORD ENTERTAINMENT CO /DE            DE       2.02,9.01            05/08/12    AMEND

GENERAC HOLDINGS INC.                   DE       2.02,9.01            05/08/12

General Finance CORP                    DE       8.01,9.01            05/08/12

General Maritime Corp / MI                       1.03,2.02,7.01,9.01  05/03/12

GenMark Diagnostics, Inc.               DE       2.02,9.01            05/08/12

GENTA INC DE/                           DE       8.01,9.01            05/08/12

GEORESOURCES INC                        CO       8.01,9.01            05/07/12

GEORGETOWN CORP                         NV       1.01,3.02,5.01,5.02, 05/08/12
                                                 9.01
          
Global Cash Access Holdings, Inc.       DE       2.02,9.01            05/08/12

GLOBAL PARTNERS LP                               2.02,7.01,9.01       05/08/12

Global Technologies Group, Inc.         FL       8.01,9.01            05/07/12

GLOBALSCAPE INC                         DE       2.02,9.01            05/08/12

GOODRICH PETROLEUM CORP                 DE       2.02,9.01            05/07/12

GRAHAM CORP                             DE       2.02,9.01            05/08/12

GRANITE CONSTRUCTION INC                DE       2.02,9.01            05/07/12

GREEN BANKSHARES, INC.                  TN       2.02,9.01            05/07/12

Green Planet Bio Engineering Co. Ltd.            4.01,9.01            05/08/12    AMEND

GREYSTONE LOGISTICS, INC.                        2.02,7.01,9.01       05/08/12

GRIFFON CORP                            DE       2.02,9.01            05/08/12

GSI GROUP INC                           A3       2.02,9.01            05/08/12

GSI TECHNOLOGY INC                               5.02,9.01            05/02/12

GSV Capital Corp.                       MD       2.02,9.01            05/08/12

GTX INC /DE/                            DE       8.01,9.01            05/08/12

GTX INC /DE/                            DE       2.02,9.01            05/08/12

GULFPORT ENERGY CORP                    DE       1.01,9.01            05/07/12

HACKETT GROUP, INC.                     FL       2.02,5.07,9.01       05/04/12

HALCON RESOURCES CORP                   DE       2.02,8.01,9.01       05/08/12

HALF ROBERT INTERNATIONAL INC /DE/      DE       5.02                 05/06/12

HALLMARK FINANCIAL SERVICES INC         NV       2.02,9.01            05/08/12

HANMI FINANCIAL CORP                    DE       7.01,9.01            05/08/12

Hartman Short Term Income Properties    MD       2.01                 05/07/12

HCSB FINANCIAL CORP                     SC       5.07                 05/08/12

HEALTH CARE REIT INC /DE/               DE       2.02,9.01            05/07/12

HEALTHCARE TRUST OF AMERICA, INC.       MD       8.01                 05/04/12

HEALTHSOUTH CORP                        DE       5.02,5.07            05/08/12

HECLA MINING CO/DE/                     DE       2.02,8.01,9.01       05/08/12

HENRY SCHEIN INC                        DE       2.02,9.01            03/31/12

HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       2.02,9.01            05/08/12

HERITAGE COMMERCE CORP                  CA       7.01,9.01            05/08/12

Heritage-Crystal Clean, Inc.            DE       5.02,5.07            05/03/12

HERSHA HOSPITALITY TRUST                MD       1.01,9.01            05/03/12

HEXCEL CORP /DE/                        DE       5.03,9.01            05/03/12

Hill International, Inc.                DE       2.02,9.01            05/07/12

HUNTINGTON INGALLS INDUSTRIES, INC.     DE       5.02,5.07,9.01       05/02/12

ICAD INC                                DE       2.02,9.01            05/07/12

IEC ELECTRONICS CORP                    DE       2.02,9.01            05/08/12

IMATION CORP                            DE       5.02                 05/08/12

IMMUNOMEDICS INC                        DE       2.02,9.01            05/08/12

IMPAX LABORATORIES INC                  DE       8.01                 05/02/12

INFINITY PHARMACEUTICALS, INC.          DE       2.02,9.01            05/08/12

INNOSPEC INC.                           DE       2.02,9.01            05/07/12

INSMED INC                              VA       2.02,9.01            05/08/12

InspireMD, Inc.                         DE       2.02,9.01            05/08/12

INSTITUTIONAL FINANCIAL MARKETS, INC.   MD       1.01,9.01            05/02/12

INTELSAT S.A.                           N4       2.02,9.01            05/08/12

INTERLINE BRANDS, INC./DE               DE       2.02,9.01            05/08/12

INTERNATIONAL FLAVORS & FRAGRANCES IN   NY       2.02,9.01            05/08/12

Internet Patents Corp                            2.02,9.01            05/07/12

INTERSIL CORP/DE                        DE       8.01,9.01            05/08/12

Interval Leisure Group, Inc.            DE       2.02,9.01            05/08/12

INVESTMENT TECHNOLOGY GROUP INC         DE       8.01,9.01            05/08/12

Investview, Inc.                        NV       8.01                 05/07/12

ISIS PHARMACEUTICALS INC                DE       2.02,9.01            05/08/12

ITT EDUCATIONAL SERVICES INC            DE       5.07                 05/08/12

JACKSONVILLE BANCORP INC /FL/           FL       2.02,9.01            05/08/12

Jazz Pharmaceuticals plc                L2       2.02,9.01            05/08/12

Jive Software, Inc.                     DE       2.02,9.01            05/08/12

JOHNSON & JOHNSON                       NJ       8.01                 05/08/12

K12 INC                                 DE       2.02,9.01            05/08/12

Kennedy-Wilson Holdings, Inc.           DE       2.02,9.01            05/07/12

Kentucky First Federal Bancorp                   2.02,9.01            05/07/12

KERYX BIOPHARMACEUTICALS INC            DE       1.01,2.02,9.01       05/04/12

Kosmos Energy Ltd.                      D0       2.02,7.01,9.01       05/07/12

KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       1.01,3.02,8.01,9.01  05/08/12

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 05/08/12

LANDAUER INC                            DE       2.02,7.01,9.01       05/07/12

LEARNING TREE INTERNATIONAL INC         DE       2.02,9.01            05/08/12

LEARNING TREE INTERNATIONAL INC         DE       8.01,9.01            05/08/12

Liberty Global, Inc.                    DE       2.03                 05/04/12

Lightwave Logic, Inc.                   NV       1.01,9.01            05/02/12

LINN ENERGY, LLC                        DE       8.01,9.01            05/08/12

LINN ENERGY, LLC                        DE       8.01,9.01            05/08/12

LIONBRIDGE TECHNOLOGIES INC /DE/        DE       2.02,9.01            05/08/12

LIVEPERSON INC                          DE       2.02,9.01            05/08/12

LMI AEROSPACE INC                       MO       2.02,9.01            05/08/12

LMI AEROSPACE INC                       MO       7.01,9.01            05/08/12

LORILLARD, INC.                         DE       8.01                 04/10/12    AMEND

LUNA INNOVATIONS INC                    DE       1.01,7.01,9.01       05/07/12

M/A-COM Technology Solutions Holdings   DE       2.02,9.01            05/08/12

MACROSOLVE INC                          OK       2.02,9.01            05/08/12

MAGICJACK VOCALTEC LTD                  L3       7.01                 05/08/12

MAGNUM HUNTER RESOURCES CORP            DE       1.01,2.03,9.01       05/02/12

MARRIOTT INTERNATIONAL INC /MD/         DE       5.03,5.07,8.01,9.01  05/04/12

MARTIN MIDSTREAM PARTNERS LP            DE       2.02,9.01            05/02/12

MARVELL TECHNOLOGY GROUP LTD            D0       5.02                 05/03/12

MATERION Corp                                    7.01,9.01            05/08/12

Max Cash Media Inc                      NV       4.01,9.01            05/04/12

MCDONALDS CORP                          DE       7.01,9.01            05/08/12

MEDICIS PHARMACEUTICAL CORP             DE       2.02,8.01,9.01       05/02/12

MEDIVATION, INC.                        DE       2.02,9.01            05/08/12

MEDIWARE INFORMATION SYSTEMS INC        NY       2.02,9.01            05/08/12

MEMSIC Inc                                       2.02,9.01            05/08/12

MERCURY COMPUTER SYSTEMS INC            MA       7.01,9.01            05/08/12

MERGE HEALTHCARE INC                    DE       2.02,5.02,9.01       05/07/12

METTLER TOLEDO INTERNATIONAL INC/       DE       5.07                 05/03/12

MFA FINANCIAL, INC.                     MD       7.01                 05/07/12

MICHAEL BAKER CORP                      PA       2.02,9.01            05/08/12

MICROSTRATEGY INC                       DE       2.02,9.01            05/02/12

MILLER INDUSTRIES INC /TN/              TN       2.02,9.01            05/08/12

MOLSON COORS BREWING CO                 DE       2.02,9.01            05/08/12

MOLSON COORS BREWING CO                 DE       5.02,9.01            05/07/12

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       5.02,5.05,8.01,9.01  05/02/12

NANOMETRICS INC                         DE       1.01,2.03,9.01       04/23/12

NANOSPHERE INC                          DE       7.01,9.01            05/08/12

NCI BUILDING SYSTEMS INC                DE       1.01,2.03,8.01,9.01  05/02/12

New England Bancshares, Inc.                     2.02,9.01            05/08/12

NEW YORK TUTOR Co                       NV       8.01                 05/03/12

NEWS CORP                                        8.01,9.01            05/08/12

NEWTEK BUSINESS SERVICES, INC.          NY       2.02,9.01            05/08/12

NEXSTAR BROADCASTING GROUP INC          DE       2.02,9.01            05/08/12

NGP Capital Resources Co                MD       2.02,9.01            05/08/12

NORCRAFT COMPANIES LP                            2.02,9.01            05/08/12

NORTEK INC                              DE       5.07                 05/08/12

NuStar Energy L.P.                      DE       1.01,2.03,9.01       05/02/12

NV ENERGY, INC.                         NV       2.02,7.01,9.01       05/07/12

NxStage Medical, Inc.                   DE       2.02,9.01            05/08/12

OBA Financial Services, Inc.            MD       2.02,9.01            04/24/12

Ocean Electric Inc.                              3.02                 04/27/12

Och-Ziff Capital Management Group LLC   DE       5.07                 05/08/12

OFFICEMAX INC                           DE       2.02,9.01            05/08/12

OLD LINE BANCSHARES INC                 MD       2.02,9.01            05/07/12

OMEGA HEALTHCARE INVESTORS INC          MD       2.02,9.01            05/08/12

OmniAmerican Bancorp, Inc.              MD       7.01,9.01            05/08/12

Otter Tail Corp                         MN       2.02,9.01            05/07/12

OUTDOOR CHANNEL HOLDINGS INC                     2.02,9.01            05/08/12

Pacific Coast Oil Trust                 DE       1.01,3.02,5.03,9.01  05/02/12

Pacific Ethanol, Inc.                   DE       1.01,1.02,2.03,8.01, 05/04/12
                                                 9.01
          
PAIN THERAPEUTICS INC                   DE       2.02,9.01            05/08/12

PANTRY INC                              DE       2.02,9.01            05/08/12

PAR PHARMACEUTICAL COMPANIES, INC.      DE       2.02,9.01            05/08/12

Patriot Coal CORP                       DE       1.01,2.02,4.02,9.01  05/07/12

PEREGRINE PHARMACEUTICALS INC           DE       5.02                 05/04/12

PERMA FIX ENVIRONMENTAL SERVICES INC    DE       2.02,9.01            05/08/12

PERRIGO CO                              MI       2.02,9.01            05/08/12

PETMED EXPRESS INC                      FL       8.01,9.01            05/07/12

PETMED EXPRESS INC                      FL       8.01,9.01            05/07/12

PHARMATHENE, INC                        DE       2.02,9.01            05/08/12

Pike Electric CORP                               2.02,9.01            05/08/12

PIONEER DRILLING CO                     TX       2.02,9.01            05/07/12

POST PROPERTIES INC                     GA       2.02,9.01            05/07/12

POTLATCH CORP                           DE       5.07                 05/07/12

PREMIER ALLIANCE GROUP, INC.            NV       4.02                 05/04/12

PREMIER HOLDING CORP.                   NV       5.02                 05/02/12

Primerica, Inc.                         DE       8.01,9.01            05/08/12

Primo Water Corp                        DE       2.02,9.01            05/08/12

PROGENICS PHARMACEUTICALS INC           DE       2.02,5.02,9.01       03/31/12

PROGRESS ENERGY INC                     NC       8.01,9.01            05/08/12

Prologis, Inc.                          MD       5.02,5.03,5.07,9.01  05/03/12

PSYCHEMEDICS CORP                       DE       2.02,9.01            05/08/12

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       7.01,9.01            05/08/12

PULSE ELECTRONICS CORP                  PA       2.02,9.01            05/08/12

QUALITY DISTRIBUTION INC                FL       7.01,9.01            05/07/12

QUALITY DISTRIBUTION INC                FL       2.02,9.01            05/07/12

QUESTCOR PHARMACEUTICALS INC            CA       7.01                 05/08/12

QUICKSILVER RESOURCES INC               DE       2.02,9.01            05/08/12

RACKSPACE HOSTING, INC.                          5.07                 05/02/12

RDA Holding Co.                                  2.02,9.01            05/08/12

Real Goods Solar, Inc.                  CO       2.02,9.01            05/08/12

REGENERON PHARMACEUTICALS INC           NY       1.01,9.01            05/07/12

REPUBLIC SERVICES, INC.                 DE       1.01,2.03,3.03,9.01  05/08/12

RESPONSE BIOMEDICAL CORP                A1       2.02,9.01            05/07/12

RETAIL OPPORTUNITY INVESTMENTS CORP     DE       5.07                 05/02/12

RF MICRO DEVICES INC                    NC       5.02                 05/08/12

RING ENERGY, INC.                       NV       1.01,8.01            05/03/12

RIVERVIEW BANCORP INC                   WA       2.02,9.01            05/07/12

Roadrunner Transportation Systems, In   DE       7.01,9.01            05/08/12

Rockville Financial, Inc. /CT/          CT       7.01,9.01            05/08/12

RODMAN & RENSHAW CAPITAL GROUP, INC.    DE       5.07                 05/04/12

Rosetta Resources Inc.                  DE       2.02,9.01            05/08/12

ROSETTA STONE INC                                2.02,7.01,9.01       05/08/12

ROYALE ENERGY INC                       CA       7.01,8.01,9.01       05/07/12

Rubicon Technology, Inc.                DE       2.02,9.01            05/08/12

RUBY TUESDAY INC                        GA       8.01,9.01            05/07/12

RVPlus Inc.                             DE       9.01                 05/04/12    AMEND

SAGA COMMUNICATIONS INC                 DE       2.02,9.01            05/08/12

SANTARUS INC                            DE       2.02,9.01            05/08/12

SAVIENT PHARMACEUTICALS INC             DE       3.01                 05/04/12

SCOTTS MIRACLE-GRO CO                   OH       2.02,9.01            05/08/12

SCRIPPS E W CO /DE                      OH       2.02,9.01            05/08/12

SEARCH BY HEADLINES.COM CORP.           NV       1.01,2.03,9.01       05/07/12

Searchlight Minerals Corp.              NV       7.01,9.01            05/08/12

SEATTLE GENETICS INC /WA                DE       2.02,9.01            05/08/12

SECURITY FEDERAL CORP                   SC       2.02,9.01            05/07/12

SELECT COMFORT CORP                     MN       7.01,9.01            05/08/12

SELECT MEDICAL HOLDINGS CORP                     7.01,8.01,9.01       05/07/12

Shea Homes Limited Partnership          CA       2.02,9.01            05/07/12

SITEL Worldwide Corp                    DE       8.01,9.01            05/07/12

SNYDER'S-LANCE, INC.                    NC       2.02,9.01            05/08/12

SOLERA HOLDINGS, INC                    DE       2.02,7.01,9.01       05/08/12

Sonora Resources Corp.                  NV       1.01                 04/30/12

SPAR GROUP INC                          DE       2.02,8.01,9.01       05/08/12

SPARTON CORP                            OH       2.02,7.01,9.01       05/08/12

STAG Industrial, Inc.                            2.02,9.01            05/07/12

STAG Industrial, Inc.                            5.07                 05/07/12

STARWOOD HOTEL & RESORTS WORLDWIDE, I   MD       5.07                 05/03/12

STARWOOD PROPERTY TRUST, INC.                    2.02,9.01            05/08/12

STARWOOD PROPERTY TRUST, INC.                    1.01,9.01            05/07/12

STEC, INC.                              CA       2.02,9.01            05/08/12

Stereotaxis, Inc.                       DE       1.01,2.03,3.02,9.01  05/07/12

Stereotaxis, Inc.                       DE       2.02,9.01            05/08/12

STERIS CORP                             OH       2.02,9.01            05/08/12

STERLING FINANCIAL CORP /WA/            WA       7.01,9.01            05/08/12

STONE ENERGY CORP                       DE       2.02,7.01,9.01       05/07/12

STRATEGIC HOTELS & RESORTS, INC                  2.02,9.01            05/02/12

Summer Infant, Inc.                     DE       5.02,9.01            05/03/12

SUNOCO INC                              PA       5.07                 05/03/12

SunOpta Inc.                                     2.02,9.01            05/08/12

SUPERCONDUCTOR TECHNOLOGIES INC         DE       2.02,9.01            05/08/12

SUPERIOR ENERGY SERVICES INC            DE       1.01,9.01            05/07/12

SUPERMEDIA INC.                         DE       2.02,7.01,9.01       05/08/12

SURMODICS INC                           MN       2.02,8.01,9.01       05/08/12

SWIFT TRANSPORTATION Co                          5.07,7.01,9.01       05/08/12

SWS GROUP INC                           DE       2.02,9.01            05/08/12

SYSCO CORP                              DE       2.02,9.01            05/07/12

TAL International Group, Inc.           DE       8.01,9.01            05/03/12

TANGOE INC                              DE       2.02,9.01            05/08/12

TECHNEST HOLDINGS INC                   NV       1.01,3.03,9.01       05/02/12

TECHNICAL COMMUNICATIONS CORP           MA       2.02,8.01,9.01       05/03/12

TechTarget Inc                                   2.02,5.02,9.01       05/04/12

TENET HEALTHCARE CORP                   NV       2.02,9.01            05/08/12

Terreno Realty Corp                     MD       1.01                 05/03/12

TESORO CORP /NEW/                       DE       5.07                 05/03/12

TIB FINANCIAL CORP.                     FL       2.02,9.01            05/07/12

Timberline Resources Corp               DE       2.02,7.01,9.01       05/08/12

Titanium Asset Management Corp          DE       2.02,9.01            05/08/12

TITANIUM METALS CORP                    DE       2.02,7.01,9.01       05/08/12

Tornier N.V.                            P7       2.02,9.01            05/08/12

Tower Group, Inc.                       DE       7.01,9.01            05/08/12

TRANSAKT LTD.                           A0       1.01,9.01            05/08/12

TransDigm Group INC                     DE       2.02,9.01            05/08/12

TRANSGENOMIC INC                        DE       2.02,9.01            05/08/12

TransMontaigne Partners L.P.            DE       2.02,9.01            05/08/12

TRANSUNION CORP.                                 2.02,9.01            05/08/12

TRANSWITCH CORP /DE                     DE       1.01,2.02,9.01       05/08/12

TRANZYME INC                            DE       1.01,9.01            05/07/12

TreeHouse Foods, Inc.                   DE       2.02,7.01,9.01       05/08/12

TRESORO MINING CORP.                    NV       8.01,9.01            05/03/12

TRIDENT MICROSYSTEMS INC                DE       2.01,9.01            05/04/12

TRIMAS CORP                             DE       8.01,9.01            05/08/12

TRINITY INDUSTRIES INC                  DE       7.01,9.01            05/07/12

Trius Therapeutics Inc                  DE       1.02,2.02,9.01       05/03/12

TRUSTCO BANK CORP N Y                   NY       8.01,9.01            05/08/12

TRUSTMARK CORP                          MS       7.01,9.01            05/08/12

TURBINE TRUCK ENGINES INC               NV       1.01,9.01            05/07/12

TYCO INTERNATIONAL LTD                  V8       5.02,9.01            05/03/12

U.S. Auto Parts Network, Inc.           DE       2.02,9.01            05/08/12

U.S. SILICA HOLDINGS, INC.              DE       2.02,9.01            05/08/12

UBS Commercial Mortgage Trust 2012-C1   DE       8.01,9.01            05/08/12

UMPQUA HOLDINGS CORP                    OR       7.01,9.01            05/08/12

UNITED BANCORPORATION OF ALABAMA INC    DE       5.02,5.07            05/02/12

UNITED COMMUNITY FINANCIAL CORP         OH       2.02,9.01            05/08/12

United Continental Holdings, Inc.       DE       8.01,9.01            05/07/12

UNWIRED PLANET, INC.                    DE       2.02,9.01            05/08/12

UQM TECHNOLOGIES INC                    CO       1.01,1.02,5.02,9.01  05/02/12

URANIUM ENERGY CORP                     NV       7.01,9.01            05/08/12

URS CORP /NEW/                          DE       2.02,9.01            05/08/12

US BANCORP \DE\                         DE       8.01,9.01            05/08/12

UTAH MEDICAL PRODUCTS INC               UT       5.07                 05/04/12

VALASSIS COMMUNICATIONS INC             DE       5.02,5.07,7.01,9.01  05/03/12

Vanda Pharmaceuticals Inc.              DE       2.02,9.01            05/08/12

VERISIGN INC/CA                         DE       7.01,9.01            05/08/12

VIRGINIA COMMERCE BANCORP INC                    8.01                 05/08/12

VIRTUAL PIGGY, INC.                     DE       1.01,3.02,9.01       05/02/12

Vishay Precision Group, Inc.            DE       2.02,9.01            05/08/12

Vitamin Shoppe, Inc.                    DE       2.02,9.01            05/08/12

VITESSE SEMICONDUCTOR CORP              DE       2.02                 05/08/12

Vocus, Inc.                             DE       8.01                 05/04/12

VOLITIONRX LTD                          DE       1.01,2.01,3.02,5.01, 10/06/11    AMEND
                                                 5.02,5.03,5.06,8.01,
                                                 9.01
   
Voyager Oil & Gas, Inc.                 DE       2.02,9.01            05/08/12

W P CAREY & CO LLC                      DE       7.01,9.01            05/08/12

WALT DISNEY CO/                         DE       2.02,9.01            05/08/12

WALTER INVESTMENT MANAGEMENT CORP       MD       1.01,5.07            05/02/12

WELLS FARGO & COMPANY/MN                DE       9.01                 05/08/12

Wells Timberland REIT, Inc.             MD       1.01                 05/07/12

Wendy's Co                              DE       2.02,9.01            05/08/12

Wendy's Co                              DE       7.01,9.01            05/08/12

Wendy's Co                              DE       8.01,9.01            05/08/12

WERNER ENTERPRISES INC                  NE       5.07                 05/08/12

WEST PHARMACEUTICAL SERVICES INC        PA       8.01,9.01            05/08/12

Western Asset Mortgage Defined Opport   MD       2.02,9.01            05/03/12

WILLIS LEASE FINANCE CORP               DE       2.02,7.01,9.01       05/07/12

WISCONSIN ENERGY CORP                   WI       7.01,9.01            05/08/12

WORTHINGTON INDUSTRIES INC              OH       1.01,1.02,2.03,8.01, 05/04/12 
                                                 9.01
          
WPCS INTERNATIONAL INC                  DE       1.01,9.01            05/03/12

Xenith Bankshares, Inc.                 VA       5.02,5.07,9.01       05/03/12

XERIUM TECHNOLOGIES INC                 DE       2.02,9.01            05/08/12

XL GROUP PLC                            L2       2.02,9.01            05/08/12

XO GROUP INC.                           DE       2.02,9.01            05/08/12

YORK WATER CO                           PA       2.02,9.01            05/02/12

YORK WATER CO                           PA       5.07                 05/07/12

Zeltiq Aesthetics Inc                   DE       3.01,5.02            05/02/12

ZIPREALTY INC                                    2.02,9.01            05/08/12

ZIPREALTY INC                                    5.02,9.01            05/07/12

ZYNEX INC                               NV       2.02,9.01            05/08/12

http://www.sec.gov/news/digest/2012/dig050912.htm