 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
COMMISSION ANNOUNCEMENTSSEC to Host Market Technology Roundtable The Securities and Exchange Commission today announced that it will host a technology roundtable next month to discuss ways to promote stability in markets that rely on highly automated systems. The roundtable entitled “Technology and Trading: Promoting Stability in Today’s Markets” will take place on September 14 and convene experts on designing, operating, and controlling the systems that form the core of our market’s infrastructure. Nearly all trading in the equity and options markets depends on the reliable performance of highly automated systems used by investors, broker-dealers, and exchanges and other trading systems. “Reliance on technology has enabled the markets to achieve extraordinary levels of speed and efficiency,” said SEC Chairman Mary L. Schapiro. “But with technology comes a responsibility for getting it right, minimizing errors and protecting the interests of investors.” Recent events have highlighted some of the risks of increasingly complex and interconnected trading systems, setting aside the larger public debate regarding high frequency trading. The roundtable discussions will be focused on the design and control of all types of automated market systems. When these systems do not work as intended, the failures can directly harm not only the operator of the system but in some cases a range of other innocent parties. “The roundtable is part of the Commission’s ongoing effort to keep pace with the rapid changes in market structure and technology over the last several years,” said Chairman Schapiro. “I look forward to hearing the views of experienced technologists on how we can strengthen the stability of our market structure while still preserving the many benefits of electronic trading.” (Press Rel. 2012-153) ENFORCEMENT PROCEEDINGSIn the Matter of Advanced BioPhotonics, Inc., et al.An Administrative Law Judge issued an Initial Decision as to 4C Controls, Inc. (Initial Decision), in Advanced BioPhotonics, Inc., Admin. Proc. 3-14815. The Initial Decision finds that the allegations in the Order Instituting Proceedings are true; 4C Controls, Inc., has securities registered with the Securities and Exchange Commission (Commission) and has failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 by not filing required periodic reports with the Commission for several years. As a result, the Administrative Law Judge (ALJ) ordered the revocation of the registration of the company’s registered securities. This proceeding began with six Respondents. On April 24, 2012, the ALJ issued an Order Making Findings and Revoking Registrations by Default as to Advanced BioPhotonics, Inc., Advanced Viral Research Corp., and Brantley Capital Corp. See Advanced BioPhotonics, Inc., Exchange Act Release No. 66849. On July 20, 2012, the Commission issued an Order Making Findings and Revoking Registration of Securities as to Brilliant Technologies Corporation. See Advanced BioPhotonics, Inc., Exchange Act Release No. 67473. On July 24, 2012, the ALJ issued an Initial Decision as to 2-Track Global, Inc., revoking the registration of its securities. (Initial Decision No. 466; File No. 3-14815) SEC Obtains Bar Against Former Executive From Serving as an Officer or Director of a Public Company Due to Illegal Insider TradingOn July 30, 2012 the Honorable Judge James C. Mahan of the United States District Court for the District of Nevada barred R. Brooke Dunn, a former executive at Shuffle Master, Inc., from serving as an officer or a director of a public company for five years. The SEC filed a Complaint against Dunn and Nicholas P. Howey on November 19, 2009 for illegal insider trading in Shuffle Master stock and options prior to an announcement of disappointing financial results by Shuffle Master. Judge Mahan ordered that the bar be imposed from the date the Complaint was filed. The SEC’s Complaint alleged that, on February 26, 2007, after he first learned that Shuffle Master would announce disappointing preliminary financial results, Dunn called Howey and provided him with material nonpublic information relating to Shuffle Master’s anticipated announcement. Howey then immediately sold all of his previously-purchased Shuffle Master stock and calls and purchased Shuffle Master puts. The next day, after Shuffle Master announced its disappointing financial news, Howey sold all of the Shuffle Master puts he purchased the previous day, thereby profiting and avoiding losses. In the order imposing a bar, Judge Mahan found that “Mr. Dunn abused his fiduciary position, and violated his employment agreement and the company’s code of conduct by sharing confidential information with Mr. Howey.” The Court further found that “Mr. Dunn was aware that sharing information with Mr. Howey was improper but chose to ignore company policy when he divulged confidential information.” Dunn and Howey previously settled the SEC’s lawsuit (other than the officer and director bar issue, which was submitted to the Court) by agreeing to pay a civil penalty in the amount of $181,594 each, without admitting or denying liability. Howey also agreed to pay an additional $181,594 in disgorgement plus $30,403 in prejudgment interest. Dunn and Howey both agreed to orders permanently enjoining them from violating the antifraud provisions of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [SEC v. R. Brooke Dunn and Nicholas P. Howey, Civil Action No. 09-cv-2213, United States District Court, District of Nevada] (LR-22439) INVESTMENT COMPANY ACT RELEASESThe Dreyfus Corporation, et al.An order has been issued on an application filed by The Dreyfus Corporation, et al., under Section 12(d)(1)(J) of the Investment Company Act of 1940 (Act) for an exemption from Sections 12(d)(1)(A) and (B) of the Act, under Sections 6(c) and 17(b) of the Act for an exemption from Section 17(a) of the Act, and under Section 6(c) of the Act for an exemption from Rule 12d1-2(a) under the Act. The order (a) permits certain registered management investment companies and unit investment trusts to acquire shares of certain registered open-end management investment companies that are outside the same group of investment companies as the acquiring investment companies, and (b) permits funds of funds relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-30163 - August 7) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC to modify Phlx’s Fee Schedule governing order execution on its NASDAQ OMX PSX facility (SR-Phlx-2012-102) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67601) A proposed rule change filed by International Securities Exchange, LLC to expose non-customer orders subject to automatic rejection to its members for potential execution at the NBBO or better (SR-ISE-2012-69) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67606) A proposed rule change filed by the EDGA Exchange, Inc. (SR-EDGA-2012-35) relating to amendments to the EDGA Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67607) A proposed rule change filed by the EDGX Exchange, Inc. (SR-EDGX-2012-34) relating to amendments to the EDGX Exchange, Inc. Fee Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67608) A proposed rule change filed by NYSE MKT LLC implementing amendments to the NYSE MKT LLC Price List to establish pricing for the Retail Liquidity Program (SR-NYSEMKT-2012-35) has become effective under Section 19(b)(3)(A) of the Exchange Act. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67609) Proposed Rule ChangeThe Chicago Mercantile Exchange, Inc. (CME) filed a proposed rule change (SR-CME-2012-28) under Section 19(b)(1) of the Securities Exchange Act of 1934 relating to the liquidity factor of its credit default swap margin methodology. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67610) Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule ChangesThe Commission has issued an order instituting proceedings under Section 19(b)(2) of the Securities Exchange Act of 1934 to determine whether to approve or disapprove a proposed rule change (SR-NYSEArca-2012-66) filed by NYSE Arca, Inc. to list and trade shares of iShares Copper Trust pursuant to NYSE Arca Equities Rule 8.201. Publication in the Federal Register is expected during the week of August 6. (Rel. 34-67616) 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-1 Quality WallBeds, Inc., 2820 16TH STREET, NORTH, ST. PETERSBURG, FL, 33704, 727-535-1917 - 3,374,980 ($337,498.00) Equity, (File 333-183104 - Aug. 7) (BR. 06) S-3ASR GAYLORD ENTERTAINMENT CO /DE, ONE GAYLORD DR, NASHVILLE, TN, 37214, 6153166000 - 0 ($0.00) Equity, (File 333-183105 - Aug. 7) (BR. 08B) S-8 Edwards Lifesciences Corp, ONE EDWARDS WAY, IRVINE, CA, 92614, 9492502500 - 0 ($296,520,000.00) Equity, (File 333-183106 - Aug. 7) (BR. 10A) S-3ASR INGRAM MICRO INC, 1600 E ST ANDREW PLACE, SANTA ANA, CA, 92799, 7145661000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-183108 - Aug. 7) (BR. 03A) S-8 GENERAC HOLDINGS INC., S45 W29290 HIGHWAY 59, WAUKESHA, WI, 53187, 888 436-3722 - 2,500,000 ($56,675,000.00) Equity, (File 333-183109 - Aug. 7) (BR. 10A) S-8 BARCLAYS PLC, 1 CHURCHILL PLACE, LONDON, X0, E14 5HP, 01100442076993139 - 153,200,000 ($396,788,000.00) Equity, (File 333-183110 - Aug. 7) (BR. 12A) S-3 ZILLOW INC, 1301 SECOND AVENUE, FLOOR 31, SEATTLE, WA, 98101, 206-470-7000 - 0 ($131,432,522.00) Equity, 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-183111 - Aug. 7) (BR. 03C) S-1 WHITEWAVE FOODS Co, 2711 NORTH HASKELL AVENUE, SUITE 3400, DALLAS, TX, 75204, 214.303.3400 - 0 ($300,000,000.00) Equity, (File 333-183112 - Aug. 7) (BR. ) S-8 NOVAVAX INC, 9920 BELWARD CAMPUS DRIVE, ROCKVILLE, MD, 20850, 240-268-2000 - 7,000,000 ($14,770,000.00) Equity, (File 333-183113 - Aug. 7) (BR. 01B) S-8 REDWOOD TRUST INC, ONE BELVEDERE PLACE, SUITE 300, MILL VALLEY, CA, 94941, (415) 380-2317 - 100,000 ($1,262,500.00) Equity, (File 333-183114 - Aug. 7) (BR. 08C) S-8 Colfax CORP, 8170 MAPLE LAWN BLVD, SUITE 180, FULTON, MD, 20759, (301) 323-9000 - 0 ($223,627,867.02) Equity, (File 333-183115 - Aug. 7) (BR. 10A) S-8 REDWOOD TRUST INC, ONE BELVEDERE PLACE, SUITE 300, MILL VALLEY, CA, 94941, (415) 380-2317 - 800,000 ($10,100,000.00) Equity, (File 333-183116 - Aug. 7) (BR. 08C) S-3 Tower International, Inc., 17672 LAUREL PARK DRIVE NORTH, SUITE 400E, LIVONIA, MI, 48152, 248-675-6000 - 12,467,866 ($198,745,498.72) Equity, (File 333-183117 - Aug. 7) (BR. 05A) S-4 FIRST PRIORITY FINANCIAL CORP., 2 WEST LIBERTY BOULEVARD, SUITE 104, MALVERN, PA, 19355, 610-280-7100 - 0 ($14,126,175.00) Equity, (File 333-183118 - Aug. 7) (BR. 07A) S-8 CITRIX SYSTEMS INC, 851 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL, 33309, 954-267-3000 - 5,733,112 ($398,499,372.25) Equity, (File 333-183120 - Aug. 7) (BR. 03A) S-8 VENTAS INC, 353 N. CLARK STREET, SUITE 3300, CHICAGO, IL, 60654, (877) 483-6827 - 0 ($747,272,842.00) Equity, (File 333-183121 - Aug. 7) (BR. 08C) S-8 MINDSPEED TECHNOLOGIES, INC, 4000 MACARTHUR BOULEVARD, EAST TOWER, NEWPORT BEACH, CA, 92660, 9495793000 - 600,000 ($1,584,000.00) Equity, (File 333-183122 - Aug. 7) (BR. 10B) S-8 UNITED TECHNOLOGIES CORP /DE/, UNITED TECHNOLOGIES BLDG, ONE FINANCIAL PLZ, HARTFORD, CT, 06101, 8607287000 - 0 ($318,502,650.00) Equity, (File 333-183123 - Aug. 7) (BR. 05C) S-3ASR SUBURBAN PROPANE PARTNERS LP, P O BOX 206, 240 ROUTE 10 WEST, WIPPANY, NJ, 07981, 9738875300 - 0 ($0.00) Equity, (File 333-183124 - Aug. 7) (BR. 02B) S-8 WALT DISNEY CO/, 500 SOUTH BUENA VISTA ST, BURBANK, CA, 91521, 8185601000 - 0 ($728,400,000.00) Equity, (File 333-183125 - Aug. 7) (BR. 11A) S-8 POWER INTEGRATIONS INC, 5245 HELLYER AVE, SAN JOSE, CA, 95138, 4084149200 - 2,800,000 ($98,840,000.00) Debt, (File 333-183126 - Aug. 7) (BR. 10B) S-8 Westinghouse Solar, Inc., 1475 S. BASCOM AVE., SUITE 101, CAMPBELL, CA, 95008-0528, 408-402-9400 - 1,840,075 ($66.43) Equity, (File 333-183127 - Aug. 7) (BR. 06C) S-8 STEC, INC., 3001 DAIMLER ST, SANTA ANA, CA, 92705-5812, 8003677330 - 0 ($19,400,000.00) Equity, (File 333-183128 - Aug. 7) (BR. 03A) S-3ASR Ingersoll-Rand plc, 170/175 LAKEVIEW DRIVE, AIRSIDE BUSINESS PARK, SWORDS,, CO. DUBLIN, L2, 00000, 732-652-7000 - 0 ($0.00) Other, (File 333-183129 - Aug. 7) (BR. 10A) S-8 RIGEL PHARMACEUTICALS INC, 1180 VETERANS BOULEVARD, SOUTH SAN FRANCISCO, CA, 94080, 0 ($6,318,000.00) Equity, (File 333-183130 - Aug. 7) (BR. 01B) S-8 Zeltiq Aesthetics Inc, 4698 Willow Road, Suite 100, Pleasanton, CA, 94588-2710, (925) 474-2500 - 1,500,000 ($6,982,500.00) Equity, (File 333-183131 - Aug. 7) (BR. 10B) 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
1st Century Bancshares, Inc. DE 2.02,9.01 08/07/12
3DICON CORP 1.01,2.03,3.02,9.01 08/01/12
AAON INC NV 8.01,9.01 07/29/12
ABRAXAS PETROLEUM CORP NV 5.02,7.01,9.01 06/30/12
ACCESS MIDSTREAM PARTNERS LP DE 2.02,9.01 08/07/12
Accretive Health, Inc. DE 1.01 08/06/12
ACE MARKETING & PROMOTIONS INC NY 7.01,8.01,9.01 08/07/12
AcuNetx, Inc. NV 1.03,8.01 08/06/12
ADA-ES INC CO 2.02,9.01 08/07/12
ADCARE HEALTH SYSTEMS INC OH 2.02,9.01 08/07/12
ADDVANTAGE TECHNOLOGIES GROUP INC OK 2.02,7.01,9.01 08/07/12
ADVANCED MICRO DEVICES INC DE 8.01,9.01 08/06/12
AECOM TECHNOLOGY CORP DE 2.02,9.01 08/07/12
AEMETIS, INC NV 5.02 08/02/12
AG Mortgage Investment Trust, Inc. MD 2.02,9.01 08/07/12
AKORN INC LA 2.02,4.02,9.01 08/07/12
AKORN INC LA 2.02,9.01 08/07/12
Allegiant Travel CO NV 7.01,9.01 08/07/12
Alliance HealthCare Services, Inc CA 2.02,9.01 08/06/12
ALLIANT TECHSYSTEMS INC DE 5.02,5.07,9.01 08/07/12
Allied Nevada Gold Corp. DE 2.02,9.01 08/07/12
ALPHA PRO TECH LTD DE 2.02,9.01 08/07/12
Alphatec Holdings, Inc. DE 2.02,5.02,9.01 08/03/12
ALTERRA CAPITAL HOLDINGS Ltd 2.02,8.01,9.01 08/07/12
AMAG PHARMACEUTICALS INC. DE 2.05 06/25/12 AMEND
AMEDISYS INC DE 2.02,7.01,9.01 08/07/12
Ameresco, Inc. DE 2.02,9.01 08/07/12
AMERICAN POWER GROUP Corp DE 8.01,9.01 08/01/12
AMERICAN REALTY CAPITAL NEW YORK RECO MD 2.02,9.01 08/07/12
American Reprographics CO DE 2.02,9.01 08/07/12
AMERICAN STATES WATER CO CA 7.01,9.01 08/07/12
American Strategic Minerals Corp NV 5.02,5.07 08/01/12
AMERIGAS PARTNERS LP DE 2.02,9.01 08/07/12
AMICUS THERAPEUTICS INC DE 2.02,9.01 08/07/12
AMPAL-AMERICAN ISRAEL CORP NY 2.02,7.01,9.01 08/06/12
AmREIT, Inc. MD 1.01,1.02,2.03,9.01 08/03/12
Anthera Pharmaceuticals Inc DE 2.02,9.01 08/07/12
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 08/06/12
Apollo Commercial Real Estate Finance MD 2.02,9.01 08/06/12
ARCH COAL INC DE 7.01,9.01 08/07/12
ARES CAPITAL CORP MD 2.02,7.01,9.01 08/07/12
Armour Residential REIT, Inc. MD 5.02,9.01 08/06/12
ASHLAND INC. KY 8.01,9.01 08/07/12
AspenBio Pharma, Inc. CO 8.01,9.01 08/07/12
ASSISTED LIVING CONCEPTS INC NV 8.01 08/02/12
ASTA FUNDING INC DE 2.02,9.01 08/07/12
ASTRONICS CORP NY 2.02,9.01 08/07/12
ATMOS ENERGY CORP TX 1.01,9.01 08/01/12
ATRION CORP DE 2.02,9.01 08/07/12
AUTOBYTEL INC DE 2.02,9.01 08/02/12
AVISTA CORP WA 2.02,9.01 08/07/12
Babcock & Wilcox Co DE 2.02,9.01 08/07/12
BAZI INTERNATIONAL, INC. NV 8.01,9.01 08/07/12
BIO RAD LABORATORIES INC DE 2.02,9.01 08/07/12
BIO REFERENCE LABORATORIES INC NJ 5.07 07/12/12
BLACK HILLS CORP /SD/ SD 2.02,9.01 08/06/12
BLACKBAUD INC 2.02,9.01 08/07/12
BLOUNT INTERNATIONAL INC DE 1.01,2.02,9.01 08/03/12
Blueknight Energy Partners, L.P. DE 2.02,9.01 08/07/12
Boardwalk Pipeline Partners, LP DE 1.01,9.01 08/02/12
Booz Allen Hamilton Holding Corp DE 5.07 08/02/12
BRAINSTORM CELL THERAPEUTICS INC. DE 5.02 08/01/12
BRE PROPERTIES INC /MD/ MD 2.03,8.01,9.01 08/06/12
BreitBurn Energy Partners L.P. DE 2.02,9.01 08/07/12
BreitBurn Energy Partners L.P. DE 8.01 07/31/12
Bridgepoint Education Inc DE 2.02,9.01 08/07/12
Bristow Group Inc DE 7.01,9.01 08/07/12
Bristow Group Inc DE 5.07 08/01/12
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 5.02 08/03/12
Brookdale Senior Living Inc. DE 2.02,7.01,9.01 08/06/12
Business Development Corp of America MD 2.02,9.01 08/07/12
Business Development Corp of America MD 8.01,9.01 08/07/12
CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 08/07/12
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 07/31/12
Cardium Therapeutics, Inc. DE 8.01,9.01 08/01/12
CARRIAGE SERVICES INC DE 5.02,7.01,9.01 08/02/12
CARRIZO OIL & GAS INC TX 2.02,9.01 08/03/12
CARROLS RESTAURANT GROUP, INC. 2.02,9.01 08/07/12
CATERPILLAR FINANCIAL SERVICES CORP DE 8.01,9.01 08/07/12
CCFNB BANCORP INC PA 2.02,9.01 08/07/12
CELGENE CORP /DE/ DE 1.01,8.01,9.01 08/06/12
CF Industries Holdings, Inc. DE 2.02,9.01 08/07/12
CHARLES RIVER LABORATORIES INTERNATIO 2.02,9.01 08/07/12
CHARTER COMMUNICATIONS, INC. /MO/ DE 2.02,9.01 08/07/12
Chatham Lodging Trust MD 2.02,9.01 08/06/12
CHEESECAKE FACTORY INC DE 5.02,9.01 08/01/12
CHENIERE ENERGY INC DE 2.02,8.01,9.01 07/30/12 AMEND
Cheniere Energy Partners, L.P. DE 2.02,8.01,9.01 07/30/12 AMEND
CHESAPEAKE ENERGY CORP OK 2.02,9.01 08/06/12
CHIMERA INVESTMENT CORP DE 4.02,9.01 08/01/12
China Auto Logistics Inc NV 3.01,9.01 08/01/12
China Information Technology, Inc. 2.02,9.01 08/07/12
CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,9.01 08/07/12
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.02,9.01 08/07/12
CHIQUITA BRANDS INTERNATIONAL INC NJ 2.05,5.02 08/07/12
CHURCH & DWIGHT CO INC /DE/ DE 2.02,9.01 08/07/12
CIBER INC DE 2.02,9.01 08/07/12
CITIGROUP INC DE 9.01 08/07/12
CITIGROUP INC DE 9.01 08/07/12
CITY HOLDING CO WV 1.01 08/02/12
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 08/07/12
CMG HOLDINGS GROUP, INC. NV 9.01 08/06/12
COEUR D ALENE MINES CORP ID 1.01,2.02,9.01 08/01/12
COEUR D ALENE MINES CORP ID 2.06 06/25/12 AMEND
COMDISCO HOLDING CO INC DE 2.02,9.01 08/06/12
COMMERCETEL CORP NV 5.02,9.01 08/01/12
Compass Diversified Holdings DE 2.02,9.01 08/07/12
CONCHO RESOURCES INC DE 2.02,9.01 08/06/12
Confederate Motors, Inc. DE 4.01,9.01 08/06/12
CONNS INC DE 2.02,9.01 08/07/12
CORCEPT THERAPEUTICS INC DE 2.02 08/07/12
CORCEPT THERAPEUTICS INC DE 1.01,1.02,2.03,8.01, 08/07/12
9.01
CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 08/07/12
CREE INC NC 2.02,9.01 08/07/12
CREE INC NC 8.01 06/14/12
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 08/06/12
CROSSTEX ENERGY INC DE 2.02,9.01 08/07/12
CROSSTEX ENERGY LP DE 2.02,9.01 08/07/12
Crumbs Bake Shop, Inc. DE 8.01,9.01 08/06/12
CSG SYSTEMS INTERNATIONAL INC DE 2.02,9.01 08/07/12
CTC Media, Inc. 2.02,8.01,9.01 08/06/12
CVS CAREMARK CORP DE 2.02,9.01 08/07/12
DealerTrack Holdings, Inc. DE 2.02,9.01 08/07/12
DEAN FOODS CO DE 2.02,5.02,9.01 08/07/12
DELCATH SYSTEMS INC DE 2.02,9.01 08/07/12
DEMAND MEDIA INC. DE 2.02 08/07/12
DEMAND MEDIA INC. DE 5.02,7.01,9.01 08/07/12
Demandware Inc DE 2.02,9.01 08/07/12
diaDexus, Inc. DE 2.02,9.01 08/07/12
Diamond Foods Inc DE 3.01 08/01/12
Diamond Resorts Corp MD 9.01 08/06/12 AMEND
DIGIRAD CORP DE 8.01,9.01 08/06/12
DiMi Telematics International, Inc. NV 7.01,9.01 08/07/12
Discover Card Execution Note Trust DE 8.01 08/07/12
DNA BRANDS INC CO 3.02 07/31/11
DOUGLAS DYNAMICS, INC DE 2.02,9.01 08/06/12
ECHELON CORP DE 2.02,9.01 08/07/12
ECHELON CORP DE 2.05 05/10/12 AMEND
ECO VENTURES GROUP, INC. NV 1.01,9.01 07/27/12
Ecologic Transportation, Inc. 1.01 08/07/12
Edgen Group Inc. DE 7.01,9.01 08/07/12
EFT Holdings, Inc. NV 4.01,9.01 08/01/12
ELECTRO RENT CORP CA 2.02,9.01 08/07/12
Ellington Financial LLC DE 2.02,7.01,9.01 08/06/12
EMC CORP MA 5.02,9.01 08/07/12
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 08/07/12
EMCORE CORP NJ 2.02,7.01,9.01 08/07/12
EMERSON ELECTRIC CO MO 2.02,9.01 08/07/12
EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 08/07/12
Employers Holdings, Inc. NV 2.02,8.01,9.01 08/07/12
Encom Group, Inc. 4.01,9.01 07/10/12
ENCORE CAPITAL GROUP INC DE 8.01,9.01 08/07/12
ENDO HEALTH SOLUTIONS INC. DE 2.02,8.01,9.01 08/07/12
Energy Future Holdings Corp /TX/ TX 5.02,8.01 08/03/12
Energy Transfer Equity, L.P. DE 2.02,9.01 08/07/12
Energy Transfer Partners, L.P. DE 2.02,9.01 08/07/12
ENERNOC INC DE 2.02,9.01 08/07/12
ENGLOBAL CORP NV 5.02,9.01 08/03/12
Enphase Energy, Inc. DE 2.02,5.02,9.01 08/06/12
EnteroMedics Inc 2.02,9.01 08/07/12
Entertainment Gaming Asia Inc. NV 2.02,9.01 08/07/12
EPOCRATES INC DE 2.02,5.02,9.01 08/07/12
EPOCRATES INC DE 2.05 08/07/12 AMEND
EVOLVING SYSTEMS INC DE 2.02 08/07/12
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 08/07/12
Express Scripts Holding Co. DE 2.02,9.01 08/07/12
Farm Lands of Africa, Inc. NV 4.01,9.01 08/01/12
FEDERAL AGRICULTURAL MORTGAGE CORP 8.01,9.01 08/03/12
Federal Home Loan Bank of Atlanta X1 2.03 08/07/12
Federal Home Loan Bank of Boston X1 2.03 08/01/12
Federal Home Loan Bank of Chicago X1 2.03 08/01/12
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 08/02/12
Federal Home Loan Bank of Des Moines X1 5.02,9.01 08/03/12
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/07/12
Federal Home Loan Bank of New York X1 2.03,9.01 08/02/12
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/01/12
Federal Home Loan Bank of San Francis X1 2.03 08/01/12
Federal Home Loan Bank of Seattle 2.03 08/01/12
Federal Home Loan Bank of Topeka 2.03,9.01 08/01/12
FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 08/07/12
FIDELITY D & D BANCORP INC PA 5.02,9.01 08/06/12
FIRST ACCEPTANCE CORP /DE/ DE 2.02,9.01 08/07/12
FIRST MIDWEST BANCORP INC DE 7.01,9.01 08/07/12
FIRSTENERGY CORP OH 2.02,9.01 08/07/12
FISHER COMMUNICATIONS INC WA 2.02,9.01 08/07/12
Flagstone Reinsurance Holdings, S.A. N4 2.02,9.01 06/30/12
FLUIDIGM CORP DE 2.02,9.01 08/07/12
FORD MOTOR CREDIT CO LLC DE 8.01,9.01 08/06/12
Fortegra Financial Corp DE 1.01,1.02,2.03,9.01 08/02/12
FOSSIL INC DE 2.02,9.01 08/07/12
FURMANITE CORP DE 2.02,7.01,9.01 08/07/12
Fuse Science, Inc. NV 7.01 08/06/12
FUSION TELECOMMUNICATIONS INTERNATION DE 5.02,9.01 08/07/12
GALLAGHER ARTHUR J & CO DE 8.01,9.01 08/07/12
GAMCO INVESTORS, INC. ET AL NY 2.02,9.01 08/07/12
GAMCO INVESTORS, INC. ET AL NY 8.01 08/07/12
GAYLORD ENTERTAINMENT CO /DE DE 1.01,8.01,9.01 08/06/12
GAYLORD ENTERTAINMENT CO /DE DE 2.02,8.01,9.01 08/07/12
GAYLORD ENTERTAINMENT CO /DE DE 8.01,9.01 08/07/12
GAYLORD ENTERTAINMENT CO /DE DE 8.01,9.01 08/07/12
GAYLORD ENTERTAINMENT CO /DE DE 8.01,9.01 08/07/12
General Moly, Inc DE 2.02,9.01 08/07/12
GenMark Diagnostics, Inc. DE 2.02,9.01 08/07/12
GEORESOURCES INC CO 1.01,2.01,2.03,3.01, 08/01/12
3.03,5.01,5.02,5.03,
9.01
Gevo, Inc. DE 2.02,9.01 08/07/12
GLEACHER & COMPANY, INC. DE 2.02,9.01 08/07/12
GLIMCHER REALTY TRUST MD 1.01,9.01 08/01/12
Global Cash Access Holdings, Inc. DE 2.02,8.01,9.01 08/07/12
Global Indemnity plc L2 2.02,9.01 08/07/12
GOODRICH PETROLEUM CORP DE 2.02,9.01 08/06/12
GOODRICH PETROLEUM CORP DE 7.01,9.01 08/06/12
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 08/07/12
GRAN TIERRA ENERGY, INC. NV 2.02 08/06/12
GRAN TIERRA ENERGY, INC. NV 2.02 08/07/12 AMEND
GRANITE CITY FOOD & BREWERY LTD. MN 2.02,9.01 08/06/12
Great Lakes Dredge & Dock CORP DE 2.02,9.01 08/07/12
Groupon, Inc. DE 5.02,9.01 08/06/12
GroveWare Technologies Ltd. NV 4.01,9.01 07/27/12 AMEND
GSI GROUP INC A3 2.02,9.01 08/07/12
HACKETT GROUP, INC. FL 2.02,9.01 08/07/12
HAEMONETICS CORP MA 1.01,2.01,2.03 08/01/12
HALCON RESOURCES CORP DE 1.01,2.01,3.02,9.01 08/01/12
HALLMARK FINANCIAL SERVICES INC NV 2.02,9.01 08/06/12
HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 08/07/12
HEALTHSOUTH CORP DE 7.01,9.01 08/07/12
HeartWare International, Inc. DE 2.02,9.01 08/07/12
HECLA MINING CO/DE/ DE 2.02,8.01,9.01 08/07/12
Higher One Holdings, Inc. DE 1.01,2.01,2.02,7.01, 08/01/12
8.01,9.01
Hill International, Inc. DE 2.02,9.01 08/06/12
HOME DEPOT INC DE 8.01,9.01 08/07/12
Horizon Lines, Inc. 2.02,7.01,9.01 08/02/12
Horizon Technology Finance Corp DE 2.02,9.01 08/07/12
HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 08/07/12
HUDSON TECHNOLOGIES INC /NY NY 5.07 08/07/12
HUNTINGTON BANCSHARES INC/MD MD 8.01,9.01 08/06/12
Hyde Park Acquisition Corp. II DE 1.01,3.02,8.01,9.01 08/01/12
IASIS Healthcare LLC DE 2.02,9.01 08/07/12
ICAHN ENTERPRISES L.P. DE 8.01,9.01 08/07/12
ICONIX BRAND GROUP, INC. DE 5.03,9.01 08/06/12
ID SYSTEMS INC DE 2.02,9.01 08/07/12
IDENTIVE GROUP, INC. DE 2.02,9.01 08/07/12
IKONICS CORP 2.02,9.01 08/01/12
INFINITY PHARMACEUTICALS, INC. DE 2.02,9.01 08/07/12
INFINITY PROPERTY & CASUALTY CORP OH 2.02,9.01 08/07/12
Information Services Group Inc. DE 5.05,9.01 08/06/12
INFORMATION SYSTEMS ASSOCIATES, INC. FL 5.02 08/03/12
InfuSystem Holdings, Inc DE 2.02,9.01 08/07/12
INLAND REAL ESTATE CORP MD 8.01,9.01 08/07/12
INSMED INC VA 2.02,9.01 08/07/12
Internet Patents Corp 2.02,9.01 07/30/12
Interval Leisure Group, Inc. DE 2.02,8.01,9.01 08/07/12
INVESTORS TITLE CO NC 2.02,9.01 08/07/12
IPASS INC DE 2.02,9.01 08/07/12
IRON MOUNTAIN INC DE 8.01,9.01 08/07/12
Jazz Pharmaceuticals plc L2 2.02,9.01 08/07/12
Jive Software, Inc. DE 2.02,9.01 08/07/12
John Bean Technologies CORP DE 2.02,9.01 08/06/12
KERYX BIOPHARMACEUTICALS INC DE 2.02,9.01 08/07/12
KEY TRONIC CORP WA 5.02 07/26/12
KILROY REALTY CORP MD 7.01,8.01,9.01 08/06/12
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 08/07/12
KINDER MORGAN, INC. DE 7.01 08/07/12
KIT digital, Inc. DE 1.01,5.02,8.01,9.01 08/07/12
KNIGHT CAPITAL GROUP, INC. DE 1.01,8.01,9.01 08/06/12 AMEND
KOPIN CORP DE 2.02,9.01 08/07/12
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 08/07/12
LANDAUER INC DE 2.02,7.01,9.01 08/06/12
LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,8.01,9.01 08/01/12
LIFETIME BRANDS, INC DE 2.02,9.01 08/07/12
LIGHTBRIDGE Corp NV 4.01,9.01 08/01/12
LITTLEFIELD CORP DE 5.02 08/03/12
Live Nation Entertainment, Inc. DE 2.02,9.01 08/07/12
LOCAL.COM DE 5.07,9.01 08/07/12
LOCAL.COM DE 1.01,9.01 08/01/12
LTC PROPERTIES INC MD 2.02,9.01 08/07/12
MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 08/02/12
MAKEMUSIC, INC. MN 2.02,9.01 08/07/12
MANHATTAN BRIDGE CAPITAL, INC NY 3.01 08/06/12
Manitex International, Inc. MI 2.02,9.01 08/07/12
MANNKIND CORP DE 8.01,9.01 08/03/12
MANNKIND CORP DE 2.02,9.01 08/07/12
MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 08/07/12
MAXYGEN INC DE 2.02,8.01,9.01 08/07/12
MEDICAL ALARM CONCEPTS HOLDINGS INC NV 1.01,7.01 08/07/12
MERCURY COMPUTER SYSTEMS INC MA 7.01,9.01 08/07/12
METALICO INC 2.02,9.01 08/07/12
MEXICO FUND INC MD 7.01,9.01 07/31/12
MGE ENERGY INC WI 2.02,9.01 08/07/12
MGM Resorts International DE 2.02,9.01 08/07/12
MHI Hospitality CORP MD 2.02,9.01 08/07/12
MIDDLEFIELD BANC CORP OH 1.01 07/31/12
MISCOR GROUP, LTD. IN 2.02,9.01 08/07/12
MobileBits Holdings Corp NV 5.02,9.01 08/01/12
MODINE MANUFACTURING CO WI 2.02,9.01 08/07/12
MODINE MANUFACTURING CO WI 1.01,9.01 08/06/12
MOLSON COORS BREWING CO DE 2.02,9.01 08/07/12
Molycorp, Inc. DE 5.02 08/01/12
Momentive Performance Materials Inc. DE 2.02,9.01 08/07/12
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 08/07/12
Morgans Hotel Group Co. DE 8.01,9.01 08/06/12
MRC GLOBAL INC. DE 2.02,9.01 08/07/12
MRV COMMUNICATIONS INC DE 1.01,9.01 08/01/12
MULTI COLOR Corp OH 2.02,9.01 08/07/12
MYR GROUP INC. DE 2.02,9.01 08/07/12
NANOSPHERE INC DE 2.02,9.01 08/07/12
NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 06/30/12
NATIONAL RETAIL PROPERTIES, INC. MD 8.01,9.01 08/07/12
NATIONAL SECURITY GROUP INC DE 8.01,9.01 08/06/12
NATIONAL SECURITY GROUP INC DE 7.01,8.01 08/07/12
NATIONAL SECURITY GROUP INC DE 1.01,2.03 08/03/12
NATIONAL TAX CREDIT PARTNERS L P CA 1.01,2.01,9.01 08/07/12
NATURAL GAS SERVICES GROUP INC 2.02,9.01 08/07/12
NATURAL RESOURCE PARTNERS LP DE 2.02,7.01,9.01 08/06/12
NAVIDEA BIOPHARMACEUTICALS, INC. DE 2.02,9.01 08/06/12
NEOGENOMICS INC NV 5.02 08/03/12
NeurogesX Inc CA 8.01,9.01 08/07/12
Neutral Tandem Inc 2.02,8.01,9.01 08/07/12
NEW HAMPSHIRE THRIFT BANCSHARES INC DE 1.01,9.01 08/01/12
NEWFIELD EXPLORATION CO /DE/ DE 5.02 08/01/12
NEWPARK RESOURCES INC DE 7.01,9.01 08/07/12
NEWS CORP 8.01,9.01 08/07/12
NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 08/07/12
NGP Capital Resources Co MD 2.02,9.01 08/07/12
NII HOLDINGS INC DE 2.02,9.01 08/07/12
Nile Therapeutics, Inc. DE 1.01,5.02,9.01 08/01/12
NN INC DE 2.02,9.01 08/07/12
NOVATEL WIRELESS INC DE 2.02,9.01 08/07/12
NPC Acquisition Holdings, LLC DE 2.02,9.01 08/07/12
NU SKIN ENTERPRISES INC DE 7.01 08/07/12
Nuance Communications, Inc. DE 2.02,9.01 08/07/12
Oaktree Capital Group, LLC DE 2.02,9.01 08/07/12
OBA Financial Services, Inc. MD 2.02,9.01 08/01/12
OCEANEERING INTERNATIONAL INC DE 7.01 08/07/12
OFFICE DEPOT INC DE 2.02,9.01 08/07/12
OFFICIAL PAYMENTS HOLDINGS, INC. DE 2.02,5.02,9.01 07/27/12
OGE ENERGY CORP. OK 1.01,2.03,9.01 08/02/12
OMEGA PROTEIN CORP NV 2.02,9.01 08/07/12
OMEROS CORP WA 2.02,9.01 08/07/12
OMNICOM GROUP INC NY 8.01,9.01 08/07/12
Omnitek Engineering Corp CA 5.02 08/03/12
OPNET TECHNOLOGIES INC DE 2.02,8.01,9.01 08/07/12
ORASURE TECHNOLOGIES INC DE 2.02,7.01,9.01 08/07/12
Orexigen Therapeutics, Inc. DE 2.02,9.01 08/07/12
OTELCO INC. DE 2.02,9.01 08/07/12
Otter Tail Corp MN 2.02,9.01 08/06/12
OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 08/07/12
Oxford Resource Partners LP DE 2.02,9.01 08/07/12
PALMETTO BANCSHARES INC SC 2.02,9.01 08/06/12
PANTRY INC DE 2.02,9.01 08/07/12
PARKWAY PROPERTIES INC MD 5.03,8.01,9.01 08/06/12
Patriot Coal CORP DE 8.01 08/02/12
PC MALL INC DE 2.02,9.01 08/07/12
PDF SOLUTIONS INC DE 5.07 08/03/12
PennyMac Mortgage Investment Trust MD 8.01,9.01 08/07/12
PEPCO HOLDINGS INC DE 2.02,7.01,9.01 08/06/12
PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 08/07/12
PG&E CORP CA 2.02,7.01,9.01 08/07/12
PHARMACYCLICS INC DE 5.02,8.01 08/01/12
PHARMATHENE, INC DE 2.02,9.01 08/07/12
PIONEER ENERGY SERVICES CORP TX 2.02,9.01 08/07/12
PIONEER NATURAL RESOURCES CO DE 2.02,9.01 08/06/12 AMEND
PLUMAS BANCORP CA 2.02,9.01 08/07/12
PLURISTEM THERAPEUTICS INC NV 8.01 08/07/12
PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02,7.01,9.01 08/07/12
PostRock Energy Corp DE 1.01,3.02,5.03,5.07, 08/01/12
9.01
Prestige Brands Holdings, Inc. 2.02,7.01,9.01 08/07/12
Primerica, Inc. DE 2.02,7.01,9.01 08/07/12
Primo Water Corp DE 2.02,9.01 08/07/12
PRIVATEBANCORP, INC DE 7.01,9.01 08/07/12
PROGRESSIVE CORP/OH/ OH 7.01,9.01 08/07/12
PROOFPOINT INC DE 2.02,9.01 08/07/12
PROVIDENT NEW YORK BANCORP DE 1.01,9.01 08/07/12
PSB Holdings, Inc. 5.02,9.01 08/01/12
PSYCHEMEDICS CORP DE 2.02,9.01 08/07/12
PULSE ELECTRONICS CORP PA 2.02,8.01,9.01 08/07/12
Pzena Investment Management, Inc. DE 8.01,9.01 07/31/12
QUALITY DISTRIBUTION INC FL 2.02,7.01,9.01 08/06/12
QUICKSILVER RESOURCES INC DE 2.02,9.01 08/07/12
RACKSPACE HOSTING, INC. 2.02,9.01 08/07/12
Rand Logistics, Inc. DE 7.01,9.01 08/07/12
RBC LIFE SCIENCES, INC. DE 5.02,9.01 08/06/12
REALOGY CORP DE 2.02,9.01 08/07/12
Red Lion Hotels CORP WA 2.02,9.01 08/07/12
Resolute Forest Products Inc. DE 2.02,9.01 08/01/12
REX ENERGY CORP DE 2.02,7.01,9.01 08/07/12
RIGEL PHARMACEUTICALS INC DE 2.02,9.01 08/07/12
Rock-Tenn CO GA 7.01,9.01 08/07/12
ROCKWELL MEDICAL, INC. MI 2.02,9.01 08/07/12
Rosetta Resources Inc. DE 2.02,9.01 08/07/12
SAGA COMMUNICATIONS INC DE 2.02,9.01 08/07/12
Sancon Resources Recovery, Inc. 5.02 08/06/12
SANTARUS INC DE 2.02,9.01 08/07/12
SAPIENT CORP DE 2.02,9.01 08/07/12
Sarepta Therapeutics, Inc. OR 2.02,9.01 08/07/12
SAVIENT PHARMACEUTICALS INC DE 1.01,3.03,5.03,8.01, 08/05/12
9.01
SCRIPPS E W CO /DE OH 2.02,9.01 08/07/12
SEABOARD CORP /DE/ DE 2.02,9.01 08/07/12
SeaBright Holdings, Inc. DE 2.02,9.01 08/07/12
SEALED AIR CORP/DE DE 7.01,9.01 08/07/12
SENOMYX INC DE 1.01,2.02,9.01 08/02/12
SERVICE CORPORATION INTERNATIONAL TX 7.01,9.01 08/07/12
SERVICEMASTER CO DE 2.02,9.01 08/07/12
SIERRA RESOURCE GROUP INC NV 4.01,9.01 07/20/12 AMEND
SIGNATURE GROUP HOLDINGS, INC. NV 5.07,7.01,9.01 07/30/12 AMEND
SIONIX CORP NV 5.02 07/31/12
SIRIUS XM RADIO INC. DE 2.02,9.01 08/07/12
SITEL Worldwide Corp DE 8.01,9.01 08/07/12
Six Flags Entertainment Corp 8.01,9.01 08/07/12
SL GREEN REALTY CORP MD 8.01 07/25/12
SNYDER'S-LANCE, INC. NC 2.02,9.01 08/07/12
SOLAZYME INC DE 2.02,9.01 08/07/12
Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 08/07/12
SONUS NETWORKS INC DE 2.02,9.01 08/07/12
SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 08/07/12
SOUTHSIDE BANCSHARES INC TX 4.01,9.01 08/02/12
SOUTHWEST AIRLINES CO TX 7.01,9.01 07/31/12
SOUTHWEST GAS CORP CA 2.02 08/07/12
SOUTHWESTERN ENERGY CO DE 7.01 08/03/12
Spectrum Brands Holdings, Inc. DE 2.02,8.01 08/07/12
SPS COMMERCE INC 1.01,2.01,3.02,9.01 08/06/12
SPS COMMERCE INC 5.02 08/07/12
STAGE STORES INC NV 8.01,9.01 08/02/12
STARTEK INC DE 2.02 08/07/12
STARWOOD PROPERTY TRUST, INC. 2.02,9.01 08/07/12
State Auto Financial CORP OH 2.02,7.01,9.01 08/02/12
STEC, INC. CA 2.02,8.01,9.01 08/07/12
Stevia Corp NV 1.01,3.02,8.01,9.01 08/01/12
STONEMOR PARTNERS LP DE 2.02,9.01 08/07/12
STRATTEC SECURITY CORP WI 2.02,9.01 08/07/12
Sucampo Pharmaceuticals, Inc. 2.02,9.01 08/07/12
SunCoke Energy, Inc. 7.01,9.01 08/07/12
SunGame Corp DE 8.01 08/02/12
Super Micro Computer, Inc. CA 2.02,9.01 08/07/12
SW China Imports, Inc. NV 8.01 08/06/12
SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 08/07/12
TARGACEPT INC 2.02,9.01 08/07/12
Targeted Medical Pharma, Inc. 5.03,5.07,9.01 08/06/12
TECHNICAL COMMUNICATIONS CORP MA 2.02,8.01,9.01 08/02/12
TechTarget Inc 2.02,8.01,9.01 08/03/12
TECUMSEH PRODUCTS CO MI 2.02,9.01 08/07/12
Tempco, Inc. NV 4.01,9.01 08/02/12
TENET HEALTHCARE CORP NV 2.02,9.01 08/07/12
TESORO LOGISTICS LP DE 2.02,9.01 08/06/12
Texas Rare Earth Resources Corp. NV 7.01,9.01 08/07/12
TherapeuticsMD, Inc. UT 7.01,9.01 08/02/12
Thermon Holding Corp. DE 2.02,9.01 06/30/12
THQ INC DE 2.03 08/01/12
TIMKEN CO OH 5.02 08/07/12
TOMPKINS FINANCIAL CORP NY 2.01,5.02,7.01,9.01 08/01/12
Tornier N.V. P7 2.02,9.01 08/07/12
Tower Group, Inc. DE 7.01,9.01 08/07/12
Tower International, Inc. DE 2.02,7.01,9.01 08/07/12
TRANSAKT LTD. A0 1.01,2.01,3.02,9.01 08/07/12
TransDigm Group INC DE 2.02,9.01 08/07/12
TransMontaigne Partners L.P. DE 2.02,9.01 08/07/12
TRANSUNION CORP. 2.02,9.01 08/07/12
TRAVELCENTERS OF AMERICA LLC 2.02,9.01 08/07/12
Tree.com, Inc. DE 2.02,9.01 08/07/12
tw telecom inc. DE 2.02,9.01 08/06/12
U.S. Auto Parts Network, Inc. DE 2.02,9.01 08/07/12
UGI CORP /PA/ PA 2.02,9.01 08/07/12
UGI UTILITIES INC PA 2.02,9.01 08/07/12
UNIVERSAL CORP /VA/ VA 2.02,5.02,5.07,8.01, 08/02/12
9.01
Upscale Media, Inc. NV 4.01,9.01 08/01/12
URS CORP /NEW/ DE 2.02,9.01 08/07/12
US HOME SYSTEMS INC DE 1.01,9.01 08/06/12
USG CORP DE 1.01,9.01 08/07/12
VALLEY NATIONAL BANCORP NJ 7.01,9.01 08/07/12
VERDE RESOURCES, INC. NV 4.01,9.01 08/06/12
VIASYSTEMS GROUP INC DE 5.02,8.01,9.01 08/07/12
VISTAPRINT N.V. P7 5.02 08/01/12
Vitamin Shoppe, Inc. DE 2.02,9.01 08/07/12
VITESSE SEMICONDUCTOR CORP DE 2.02 08/07/12
VIVUS INC CA 2.02,9.01 08/07/12
VWR Funding, Inc. DE 7.01,9.01 08/07/12
W P CAREY & CO LLC DE 2.02,9.01 08/07/12
W P CAREY & CO LLC DE 7.01,9.01 08/07/12
WALT DISNEY CO/ DE 2.02,9.01 08/07/12
Warner Chilcott plc 7.01,9.01 08/07/12
WARREN RESOURCES INC MD 2.02,7.01,9.01 08/07/12
WELLS FARGO & COMPANY/MN DE 9.01 08/07/12
WESCO INTERNATIONAL INC 7.01,9.01 08/07/12
WESTAR ENERGY INC /KS KS 2.02,7.01,9.01 08/07/12
WFRBS COMMERCIAL MORTGAGE TRUST 2012- NC 8.01,9.01 08/07/12
WGL HOLDINGS INC VA 2.02,9.01 08/06/12
WIKI GROUP, INC. 5.02 08/01/12
WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 08/06/12
Winthrop Realty Trust OH 8.01 08/02/12
WMI HOLDINGS CORP. WA 8.01,9.01 08/01/12
XENOPORT INC DE 2.02,9.01 08/07/12
XFormity Technologies, Inc. CO 1.01,9.01 08/01/12
XL GROUP PLC L2 2.02,9.01 08/07/12
YATERRA VENTURES CORP. 4.01,9.01 07/31/12 AMEND
Zalicus Inc. DE 2.02,9.01 08/07/12
ZILLOW INC WA 2.02,9.01 08/07/12
ZIONS BANCORPORATION /UT/ UT 9.01 08/07/12
ZYNEX INC NV 2.02,9.01 08/07/12
http://www.sec.gov/news/digest/2012/dig080812.htm
|