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Commission AnnouncementsGeorge S. Canellos Named Acting Director of EnforcementOn January 31, 2013, the Securities and Exchange Commission announced that George S. Canellos, currently Deputy Director of the Division of Enforcement, has been named Acting Director. The appointment is effective February 8. “George’s proven intellectual abilities and creative approach to problem-solving have made him an extremely effective advocate for investors and make him ideally suited to serve as Acting Director,” said SEC Chairman Elisse B. Walter. “As Deputy Director, he helped to oversee a division that brought record numbers of enforcement actions and some of the most complex cases in the agency’s history.” “George is highly respected for his intellect, prosecutorial instincts, and commitment to tough and fair enforcement of the federal securities laws,” said Robert S. Khuzami, Director of the Division of Enforcement, who is leaving the SEC on February 8. “His service will benefit both the SEC’s talented and hard-working staff and the investing public.” “It is an honor and inspiration to serve with such talented and dedicated colleagues throughout the SEC,” said Mr. Canellos. “I look forward to continuing to work with them as we emerge from a historic restructuring and confront new challenges.” Mr. Canellos, 48, has been the division’s Deputy Director since June 2012 and has been instrumental in developing the division’s Cooperation Program, in generating numerous programmatic, policy, and legislative initiatives, and in critical decisions on national priority enforcement actions. He served as Director of the SEC’s New York Regional Office from July 2009 to June 2012, overseeing 400 enforcement attorneys, accountants, investigators, and compliance examiners involved in the investigation and prosecution of enforcement actions and the performance of compliance inspections in the New York region. The New York office has responsibility for the largest concentration of SEC-registered financial institutions, including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds and hedge funds. A former federal prosecutor, Mr. Canellos became an Assistant U.S. Attorney in the Southern District of New York in 1994. During his nine years there, Mr. Canellos served in a number of positions including Chief of the Major Crimes Unit, Senior Trial Counsel of the Securities and Commodities Fraud Task Force, and Deputy Chief Appellate Attorney. After leaving the U.S. Attorney’s Office and before joining the SEC, Mr. Canellos spent more than six years as a litigation partner at the law firm of Milbank, Tweed, Hadley & McCloy LLP. He began his legal career as a litigation associate at Wachtell, Lipton, Rosen & Katz. Mr. Canellos is a graduate of Harvard College and Columbia University School of Law. (Press Rel. 2013-17) David P. Bergers Named Acting Deputy Director of EnforcementThe Securities and Exchange Commission today announced that David P. Bergers, Director of the SEC’s Boston Regional Office, has been named Acting Deputy Director of the Enforcement Division, effective February 8, when Deputy Director George Canellos becomes the division’s Acting Director. “David is an extremely talented attorney who has a successful track record leading the Boston Regional Office,” said SEC Chairman Elisse B. Walter. “Having worked at the SEC for 13 years, he has a deep understanding of the division, agency, and laws we enforce. And, he has a true appreciation for the significant impact that the work of the SEC has on investors.” “David is a tremendous asset to the division,” said Robert S. Khuzami, Director of the Division of Enforcement, who is leaving the SEC on February 8. “His deep enforcement experience and willingness to roll up his sleeves and tackle any issue make him the ideal choice to serve as Acting Deputy Director.” Mr. Bergers said, “I am honored to serve in this role and will work to support the incredible efforts of the enforcement staff across the country as they seek to accomplish our mission of investor protection.” Mr. Bergers, 45, has headed the SEC’s Boston Regional Office since 2006. The office oversees more than 1100 investment advisers, 60 mutual fund complexes, and 375 broker-dealers in Massachusetts, Connecticut, New Hampshire, Maine, Vermont, and Rhode Island. He served at the SEC from 1998 to 2000 and returned in 2001, and has served in various enforcement positions, including head of SEC enforcement in Boston. He has headed hundreds of SEC investigations into investment and financial fraud, insider trading, and other securities law violations. Mr. Bergers received the SEC’s Stanley Sporkin Award in 2010 for his leadership in reorganizing the SEC’s Enforcement Division to streamline management structure and create five specialized units. He received the SEC and NTEU Labor-Management Relations Award in 2011 and 2012 for his work on a union-management team that helped restructure the SEC’s national examination program. He also was one of several SEC enforcement staffers who received the SEC’s Law and Policy Award for developing the SEC’s whistleblower rules that became effective in 2011. In addition to his work at the SEC, Mr. Bergers has practiced with law firms in the Philadelphia and Boston areas and served as a vice president and assistant general counsel of a regional broker-dealer and affiliated investment adviser in Boston. He received his bachelor’s degree from Eastern Nazarene College and his law degree from Yale Law School. (Press Rel. 2013-18) ENFORCEMENT PROCEEDINGSIn the Matter of Jeffrey A. QuayOn January 31, 2013, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 (Order) against Jeffrey A. Quay. The Order is based on the entry of a final judgment in Securities and Exchange Commission v. James S. Quay, et al., Civil Action No. 1:12-cv-03429 (N.D. Ga.) permanently enjoining Jeffrey A. Quay from future violations 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. The Order states that the complaint in the civil action against Jeffrey A. Quay alleged that from in or around June 2010 to at least January 2012, Jeffrey A. Quay aided and abetted a fraudulent investment scheme devised by his brother, James Quay, involving a sham limited partnership known as Trinity Charitable Solutions. The complaint further alleged that James Quay convinced two elderly victims to invest at least $560,000.00 in the scheme, and that Jeffrey Quay and his brother then dissipated at least $180,000.00 of the victims’ funds on their personal living expenses, including expensive restaurant meals, mortgage payments, and a membership a massage spa. A hearing will be held in order to determine the truth of the allegations in the Order and what, if any, remedial action is appropriate in the public interest against Jeffrey A. Quay pursuant to Section 203(f) of the Advisers Act. (Rel. IA-3543; File No. 3-15196) INVESTMENT COMPANY ACT RELEASESAXA Equitable Life Insurance Company, et al.A notice has been issued giving interested persons until February 25, 2013 to request a hearing on an application filed by AXA Equitable Life Insurance Company, et al. requesting an order pursuant to Section 26(c) of the Investment Company Act of 1940 (the "Act") to permit substitution of shares of certain registered management investment companies with shares of certain other registered management investment companies. The applicants also seek an order of exemption pursuant to Section 17(b) of the Act from Section 17(a) of the Act to the extent necessary to permit certain in-kind transactions in connection with the substitutions. (Rel. IC-30373 – January 31) WINCO Investment Partnership 2008 L.P., et al.A notice has been issued giving interested persons until February 25, 2013 to request a hearing on an application filed by WINCO Investment Partnership 2008 L.P., et al. for an order to exempt certain investment funds formed for the benefit of eligible current and former equity shareholders of Winstead PC from certain provisions of the Investment Company Act of 1940 (Act). Each investment fund will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-30374 – January 31) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market LLC relating to modify Chapter XV, Section 2 of the rules governing the NASDAQ Options Market, NASDAQ’s facility for executing and routing standardized equity and index options (SR-NASDAQ-2013-013), 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 February 4. (Rel. 34-68761) A proposed rule change filed by C2 Options Exchange, Incorporated (SR-C2-2013-006) to delay the operative date of a rule change to Exchange Rule 6.32.03 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 February 4. (Rel. 34-68769) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2013-011) relating to delay the operative date of a rule change to Exchange Rule 6.3B 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 February 4. (Rel. 34-68770) A proposed rule change (SR-FINRA-2013-008) filed by Financial Industry Regulatory Authority, Inc. extending the pilot period regarding the use of multiple MPIDs on FINRA facilities 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 February 4. (Rel. 34-68775) A proposed rule change filed by NYSE Arca, Inc. to amend the NYSE Arca Options Fee Schedule to change the monthly cost for Option Trading Permits (SR-NYSEArca-2013-05) 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 February 4. (Rel. 34-68776) A proposed rule change filed by Chicago Stock Exchange, Inc. (SR-CHX-2013-02) delaying the operative date of a rule change to CHX Article 20, Rule 2, which provides, among other things, methodology for determining when to halt trading in all stocks due to extraordinary market volatility from the date of February 4, 2013 until April 8, 2013 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 February 4. (Rel. 34-68777) A proposed rule change filed by Financial Industry Regulatory Authority, Inc. (SR-FINRA-2013-011) to delay the operative date of FINRA Rule 6121.02 (market-wide circuit breakers in NMS Stocks) 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 February 4. (Rel. 34-68778) A proposed rule change filed by National Stock Exchange, Inc. (SR-NSX-2013-04) to delay the operative date of Rule 11.20A regarding market-wide circuit breakers due to extraordinary market volatility 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 February 4. (Rel. 34-68779) A proposed rule change filed by BATS Exchange, Inc. (SR-BATS-2013-010) to delay the operative date of changes to the rule for halting trading in all stocks due to extraordinary market volatility 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 February 4. (Rel. 34-68780) A proposed rule change filed by BOX Options Exchange LLC (SR-BOX-2013-03) to amend Rule 5050(c) to permit the Exchange to list additional strike prices until the close of trading on the second business day prior to monthly expiration in unusual market conditions 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 February 4. (Rel. 34-68781) A proposed rule change filed by BATS Y-Exchange, Inc. to amend BYX rules related to price sliding functionality (SR-BYX-2013-003) 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 February 4. (Rel. 34-68790) A proposed rule change filed by BATS Exchange, Inc. to amend BATS rules related to price sliding functionality (SR-BATS-2013-007) 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 February 4. (Rel. 34-68791) A proposed rule change filed by NASDAQ OMX PHLX LLC relating to a clarification to the exchange’s pricing schedule to clarify when an order is adding or removing liquidity (SR-Phlx-2013-06) 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 February 4. (Rel. 34-68793) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change (SR-BATS-2012-046) filed by the BATS Exchange, Inc. to modify BATS Rule 11.23 relating to auctions of exchange-listed securities. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68788 ) Proposed Rule ChangeBATS Exchange, Inc. filed a proposed rule change (SR-BATS-2013-005) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to modify the competitive liquidity provider program to, among other things, modify the calculation of size event tests. Publication is expected in the Federal Register during the week of February 4. (Rel. 34-68789 ) 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-4 HERTZ CORP, 225 BRAE BLVD, PARK RIDGE, NJ, 07656, 2013072000 -
0 ($1,450,000,000.00) Debt, (File 333-186328 - Jan. 31) (BR. 05C)
S-1 BALIUS CORP., 38 SEA VIEW PARK, CLIFFONEY, CO. SLIGO, L2, 00000,
353851997078 - 10,000,000 ($100,000.00) Equity, (File 333-186330 -
Jan. 31) (BR. 11)
S-1 Nxt-ID, Inc., 4 RESEARCH DRIVE, #402, SHELTON, CT, 06484, 2032423076 -
4,076,000 ($4,076,000.00) Equity, (File 333-186331 - Jan. 31) (BR. 11)
S-8 BROADCOM CORP, 5300 CALIFORNIA AVENUE, IRVINE, CA, 92617-3038,
949 926 5000 - 132,720,882 ($4,491,274,646.88) Equity,
(File 333-186334 - Jan. 31) (BR. 10A)
S-3ASR CULLEN/FROST BANKERS, INC., 100 W HOUSTON ST, SAN ANTONIO, TX, 78205,
210-220-4011 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-186335 - Jan. 31) (BR. 12A)
S-8 China Digital TV Holding Co., Ltd.,
JINGMENG HIGH-TECH BUILDING B, 4TH FLOOR, NO.5 SHANGDI EAST ROAD,
BEIJING, F4, 100085, (86) 10-6297-1199 -
1,200,000 ($1,416,000.00) Equity, (File 333-186336 - Jan. 31) (BR. 03A)
S-3ASR CARNIVAL PLC, 5 GAINSFORD ST, CARNIVAL HOUSE, LONDON WC1A 1PP ENGL, X0,
00000, 011 44 20 7940 5381 - 0 ($0.00) Equity, (File 333-186338 -
Jan. 31) (BR. 05A)
S-1 Bonanza Resources Corp., 14727-129 STREET, EDMONTON, A0, T6V 1C4,
604-331-4422 - 9,000,000 ($18,000.00) Equity, (File 333-186340 -
Jan. 31) (BR. 09)
S-1 CBL Resources Inc., EDIFICIO TERRAMAR, TORRE 2000, 17D, PANAMA CITY,
R1, PANAMA, 604-331-4422 - 5,000,000 ($10,000.00) Equity,
(File 333-186341 - Jan. 31) (BR. 09)
S-1 Kingman River Resources Inc., 250 KING STREET WEST, DUNDAS, A6,
L9H 1V9, 604-331-4422 - 7,000,000 ($14,000.00) Equity,
(File 333-186342 - Jan. 31) (BR. 09)
S-1 Lost Hills Mining Inc., EDIFICIO TERRAMAR, TORRE 2000, 17D,
PANAMA CITY, R1, PANAMA, 604-331-4422 - 10,000,000 ($20,000.00) Equity,
(File 333-186343 - Jan. 31) (BR. 09)
S-1 Seaview Resources Inc., 270 WOODBURY DRIVE, STERRETT, AL, 35147,
604-331-4422 - 5,000,000 ($10,000.00) Equity, (File 333-186344 -
Jan. 31) (BR. 09)
S-1 Yuma Resources Inc., 64 GAINSBOROUGH AVENUE, ALBERTA, A0, T8N 0W5,
604-331-4422 - 8,000,000 ($16,000.00) Equity, (File 333-186345 -
Jan. 31) (BR. 09)
S-8 Medical Information Technology, Inc., MEDITECH CIRCLE, WESTWOOD, MA,
02090, 781-821-3000 - 250,000 ($11,250,000.00) Equity,
(File 333-186353 - Jan. 31) (BR. 03C)
S-4 PROSPERITY BANCSHARES INC, 4295 SAN FELIPE, N/A, HOUSTON, TX, 77027,
7136939300 - 0 ($64,666,499.00) Equity, (File 333-186354 - Jan. 31)
(BR. 07B)
S-1 Sport Stix Inc., 18101 VON KARMAN AVENUE #140-121, IRVINE, CA, 92612,
949-825-7786 - 2,000,000 ($1,000,000.00) Equity, (File 333-186355 -
Jan. 31) (BR. )
S-8 NORTHEAST BANCORP /ME/, 500 CANAL ST, LEWISTON, ME, 04240-6594,
2077863245 - 600,000 ($5,595,000.00) Equity, (File 333-186356 -
Jan. 31) (BR. 07C)
S-8 Aegerion Pharmaceuticals, Inc., 101 MAIN STREET, SUITE 1850, CAMBRIDGE,
MA, 02142, (617) 500-7867 - 2,019,590 ($54,747,552.00) Equity,
(File 333-186357 - Jan. 31) (BR. 01A)
S-8 Brookdale Senior Living Inc., 111 WESTWOOD PLACE, SUITE 400, BRENTWOOD,
TN, 37027, (615) 221-2250 - 1,200,000 ($33,138,000.00) Equity,
(File 333-186358 - Jan. 31) (BR. 11C)
S-8 SPREADTRUM COMMUNICATIONS INC, 810 E ARQUES AVE, SUNNYVALE, CA, 94085,
4087358126 - 5,036,014 ($27,110,542.03) Equity, (File 333-186360 -
Jan. 31) (BR. 10B)
S-8 CARPENTER TECHNOLOGY CORP, 2 MERIDIAN BOULEVARD, WYOMISSING, PA, 19612,
6102082000 - 0 ($13,112,500.00) Equity, (File 333-186361 - Jan. 31)
(BR. 06B)
S-8 NUTRACEUTICAL INTERNATIONAL CORP, 1400 KEARNS BOULEVARD, 2ND FLOOR,
PARK CITY, UT, 84060, 4356556000 - 0 ($14,128,000.00) Equity,
(File 333-186362 - Jan. 31) (BR. 01B)
S-3 UNITED INSURANCE HOLDINGS CORP., 360 CENTRAL AVENUE, SUITE 900,
SAINT PETERSBURG, FL, 33701, 727-895-7737 -
717,012 ($4,287,731.76) Equity, (File 333-186363 - Jan. 31) (BR. 01B)
S-3ASR Seagate Technology plc, 38/39 FITZWILLIAM SQUARE, DUBLIN 2, L2, 00000,
(353) (1) 234-3136 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-186364 - Jan. 31) (BR. 03A)
S-8 BROADSOFT, INC., 9737 WASHINGTONIAN BOULEVARD, SUITE 350, GAITHERSBURG,
MD, 20878, 301-977-9440 - 0 ($43,725,000.00) Equity, (File 333-186365 -
Jan. 31) (BR. 03B)
RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
-----------------------------------------------------------------------------------------
1 800 FLOWERS COM INC DE 2.02,9.01 01/31/13
3DICON CORP OK 1.01,9.01 01/26/13
3DICON CORP OK 5.02 01/28/13
ABAXIS INC CA 2.02,9.01 01/31/13
ACI WORLDWIDE, INC. DE 1.01,8.01,9.01 01/30/13
ADCARE HEALTH SYSTEMS INC OH 1.02,2.03 11/29/12
AETNA INC /PA/ PA 5.02 01/31/13
AETNA INC /PA/ PA 2.02,9.01 01/31/13
AFFYMETRIX INC DE 2.02 12/31/12
Alkermes plc. 2.02,9.01 01/31/13
ALLIANCE DATA SYSTEMS CORP DE 2.02,7.01,9.01 01/31/13
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 01/31/13
Alliance HealthCare Services, Inc CA 3.01,7.01,9.01 01/31/13
ALTRIA GROUP, INC. VA 2.02,9.01 01/31/13
ALTRIA GROUP, INC. VA 8.01,9.01 01/31/13
ALTRIA GROUP, INC. VA 5.02,9.01 01/29/13
Amarok Resources, Inc. NV 5.02 01/31/13
AMARU INC NV 4.01,9.01 01/25/13
AMERICAN AIRLINES INC DE 7.01,9.01 01/31/13
AMERICAN MEDIA INC DE 5.02 01/31/13
AMERICAN RIVER BANKSHARES CA 5.02,9.01 01/30/13
AMERIGAS PARTNERS LP DE 2.02,9.01 01/31/13
AMR CORP DE 7.01,9.01 01/31/13
Andina Acquisition Corp E9 5.02,9.01 01/30/13
ANNALY CAPITAL MANAGEMENT INC MD 7.01,8.01,9.01 01/30/13
ANNAPOLIS BANCORP INC MD 2.02,8.01,9.01 01/31/13
APPLIED INDUSTRIAL TECHNOLOGIES INC OH 2.02,9.01 01/31/13
APPLIED MATERIALS INC /DE DC 5.02 01/29/13
ARQULE INC DE 8.01,9.01 01/31/13
Artio Global Investors Inc. DE 7.01,9.01 01/31/13
ASB Bancorp Inc 2.02,9.01 01/31/13
Ascent Capital Group, Inc. DE 5.02 01/25/13
ASPEN GROUP, INC. DE 7.01,9.01 01/31/13
Atkore International Holdings Inc. DE 2.02,5.02 01/28/13
ATP OIL & GAS CORP TX 7.01,9.01 01/22/13
AtriCure, Inc. DE 1.01,2.03,9.01 01/30/13
AUDIENCE INC 2.02,9.01 01/31/13
AuraSound, Inc. NV 1.03,5.02 12/21/12
AUTONATION, INC. DE 2.02,7.01,9.01 01/31/13
AUXILIUM PHARMACEUTICALS INC DE 1.01,9.01 01/30/13
AVALONBAY COMMUNITIES INC MD 2.02,9.01 01/30/13
BALDWIN & LYONS INC IN 7.01,9.01 12/31/12
BALL CORP IN 2.02,5.02,8.01,9.01 01/31/13
BANK OF AMERICA CORP /DE/ DE 5.02 01/25/13
Bank of Commerce Holdings CA 2.02,9.01 01/31/13
BAR HARBOR BANKSHARES ME 2.02 01/31/13
BARD C R INC /NJ/ NJ 2.02,9.01 01/31/13
BE AEROSPACE INC DE 2.02,9.01 01/31/13
bebe stores, inc. CA 2.02,9.01 01/31/13
BEMIS CO INC MO 2.02,9.01 01/31/13
Beneficial Mutual Bancorp Inc X1 2.02,9.01 01/31/13
BILL BARRETT CORP DE 5.02,9.01 01/14/13 AMEND
BIOTIME INC CA 7.01,9.01 01/31/13
Black Elk Energy Offshore Operations, TX 3.02,5.03,9.01 01/25/13
Blackstone Group L.P. DE 2.02,9.01 01/31/13
BREEZE-EASTERN CORP DE 2.02,9.01 01/31/13
BRIGHTCOVE INC DE 2.02,5.02,7.01,9.01 01/30/13
BROOKLINE BANCORP INC DE 2.02,9.01 01/30/13
BROOKS AUTOMATION INC DE 2.02,5.02,5.07,9.01 01/30/13
BUILD A BEAR WORKSHOP INC DE 1.01,2.02,9.01 01/28/13
CAFEPRESS INC. DE 8.01 01/31/13
CAM Group, Inc. NV 1.01,5.02,9.01 01/31/13
CAMCO FINANCIAL CORP DE 2.02,9.01 01/31/13
CAMERON INTERNATIONAL CORP DE 2.02,9.01 01/29/13
CAPITAL SOUTHWEST CORP TX 2.02,9.01 01/31/13
CAPSTEAD MORTGAGE CORP MD 2.02,9.01 01/30/13
CARBO CERAMICS INC DE 2.02,9.01 01/31/13
CARDICA INC DE 2.02,8.01,9.01 01/31/13
CAREFUSION Corp 2.02,9.01 01/31/13
CARNIVAL PLC 8.01,9.01 01/31/13
CAROLINA BANK HOLDINGS INC NC 2.02,9.01 01/31/13
CASH AMERICA INTERNATIONAL INC TX 5.02,9.01 01/29/13
CAVCO INDUSTRIES INC DE 2.02,5.03,9.01 01/31/13
CAVIUM, INC. DE 2.02,9.01 01/31/13
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 01/31/13
Celsion CORP DE 2.02,8.01,9.01 01/31/13
CENTRAL FEDERAL CORP DE 5.02 01/27/13
CENTRAL PACIFIC FINANCIAL CORP HI 2.02,9.01 12/31/12
CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 01/31/13
CHAMBERS STREET PROPERTIES MD 1.01,9.01 01/29/13
Chelsea Therapeutics International, L DE 3.01 01/28/13
CHEMUNG FINANCIAL CORP NY 2.02,9.01 01/30/13
CHESAPEAKE ENERGY CORP OK 5.02,7.01,9.01 01/29/13
Chesapeake Lodging Trust MD 2.02,9.01 01/31/13
Chesapeake Lodging Trust MD 5.02 01/28/13
Cheviot Financial Corp. MD 2.02,9.01 01/31/13
CHINA EDUCATION INTERNATIONAL, INC. NV 5.02,8.01 01/26/13
CHINA GREEN CREATIVE, INC. 4.01,9.01 01/31/13
CHUBB CORP NJ 2.02,9.01 01/31/13
CITIZENS INC CO 8.01,9.01 01/31/13
Clarion Partners Property Trust Inc. MD 3.02,3.03,8.01,9.01 01/25/13
CNH Capital LLC DE 2.02,9.01 01/31/13
COHU INC DE 2.02,9.01 01/30/13
COLGATE PALMOLIVE CO DE 2.02,9.01 01/31/13
COMMUNITY TRUST BANCORP INC /KY/ KY 1.01,5.02,9.01 01/29/13
COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 01/31/13
Comstock Mining Inc. NV 2.02,9.01 01/31/13
CONCIERGE TECHNOLOGIES INC CA 1.01,2.01,3.02,9.01 01/31/13
CONOCOPHILLIPS DE 2.02,9.01 01/30/13
CONSOL Energy Inc DE 2.02,7.01,9.01 01/30/13
Constant Contact, Inc. DE 2.02,5.02,9.01 01/31/13
CONSUMERS BANCORP INC /OH/ OH 2.02,9.01 01/31/13
ContinuityX Solutions, Inc. DE 5.02,8.01,9.01 01/18/13
CORELOGIC, INC. DE 2.02,9.01 01/31/13
CORINTHIAN COLLEGES INC 2.02,9.01 01/31/13
CORTLAND BANCORP INC OH 2.02,9.01 01/31/13
COSTCO WHOLESALE CORP /NEW WA 5.07 01/24/13
COVENANT TRANSPORTATION GROUP INC NV 1.01,2.02,2.03,9.01 01/29/13
CRAFT BREW ALLIANCE, INC. WA 2.02,9.01 01/31/13
CREDIT ACCEPTANCE CORP MI 2.02,9.01 01/31/13
CREDIT ONE FINANCIAL INC FL 1.01,3.02 01/30/13
CREE INC NC 1.01,3.03,9.01 01/29/13
CreXus Investment Corp. MD 1.01,7.01,8.01,9.01 01/30/13
CSG SYSTEMS INTERNATIONAL INC DE 1.01 01/29/13
CUBIC ENERGY INC TX 3.01,9.01 01/25/13
CULLEN/FROST BANKERS, INC. TX 8.01 01/31/13
Customers Bancorp, Inc. PA 1.01,2.02,9.01 01/30/13
CYBEX INTERNATIONAL INC NY 8.01 01/31/13
CYMER INC NV 2.05,2.06 01/28/13
CYTEC INDUSTRIES INC/DE/ DE 2.02,9.01 01/31/13
DelMar Pharmaceuticals, Inc. 1.01,2.01,3.02,4.01, 01/25/13
5.01,5.02,5.03,5.06,
9.01
Destination Maternity Corp DE 2.02,5.07,8.01,9.01 01/25/13
DIGI INTERNATIONAL INC DE 5.07,8.01 01/28/13
Digital Realty Trust, Inc. 2.02,7.01,9.01 01/31/13
DIGITALGLOBE, INC. DE 1.01,2.01,2.03,3.03, 01/31/13
5.02,5.03,8.01,9.01
Discover Card Execution Note Trust DE 8.01 01/31/13
DISCOVER CARD MASTER TRUST I DE 8.01 01/31/13
DOMINION RESOURCES INC /VA/ VA 2.02,9.01 01/31/13
DONALDSON CO INC DE 5.02,9.01 01/25/13
DORAL FINANCIAL CORP PR 7.01 01/30/13
DOW CHEMICAL CO /DE/ DE 2.02,9.01 01/31/13
DST SYSTEMS INC DE 2.02,8.01,9.01 01/30/13
DUNKIN' BRANDS GROUP, INC. DE 2.02,8.01,9.01 01/31/13
DYNEGY INC. DE 7.01,9.01 01/31/13
EASTMAN CHEMICAL CO DE 2.02,9.01 01/31/13
EASTMAN KODAK CO NJ 7.01,9.01 12/31/12
Ecologic Transportation, Inc. 1.01,2.01,3.02,5.01, 03/15/12 AMEND
5.02,9.01
EDGEWATER TECHNOLOGY INC/DE/ DE 5.02 01/28/13
El Paso Pipeline Partners, L.P. DE 1.01 01/31/13
ELECTRO SCIENTIFIC INDUSTRIES INC OR 2.02,5.02,9.01 01/30/13
ELIZABETH ARDEN INC FL 2.02,9.01 01/31/13
EMULEX CORP /DE/ DE 2.02,9.01 01/31/13
ENERGIZER HOLDINGS INC MO 2.02,9.01 01/31/13
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 01/30/13
ENTEGRIS INC DE 2.02,9.01 01/31/13
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 01/30/13
EPICEPT CORP 7.01,9.01 01/31/13
EXELON CORP PA 8.01 01/28/13
FAIRPOINT COMMUNICATIONS INC DE 8.01,9.01 01/31/13
FAR EAST ENERGY CORP NV 5.02 01/25/13
Federal Home Loan Bank of Atlanta X1 2.03 01/28/13
Federal Home Loan Bank of Boston X1 2.03 01/28/13
Federal Home Loan Bank of Chicago X1 2.03 01/28/13
Federal Home Loan Bank of Des Moines X1 2.03,9.01 01/29/13
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 01/31/13
Federal Home Loan Bank of New York X1 2.03,9.01 01/28/13
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 01/28/13
Federal Home Loan Bank of San Francis X1 2.03 01/28/13
Federal Home Loan Bank of Seattle 2.03 01/28/13
Federal Home Loan Bank of Topeka 2.03,9.01 01/28/13
FedFirst Financial Corp 2.02,9.01 01/31/13
FIRST BUSINESS FINANCIAL SERVICES, IN WI 2.02,9.01 01/31/13
FIRST HORIZON NATIONAL CORP TN 3.03,5.03,8.01,9.01 01/31/13
FIRST KEYSTONE CORP PA 2.02,9.01 01/30/13
FIRST OF LONG ISLAND CORP NY 2.02,9.01 01/30/13
First Savings Financial Group Inc 2.02,9.01 01/30/13
FIRST TRUST ENERGY INCOME & GROWTH FU 7.01,9.01 01/25/13
FIRST TRUST ENERGY INFRASTRUCTURE FUN MA 7.01,9.01 01/25/13
FIRST TRUST ENHANCED EQUITY INCOME FU 7.01,9.01 01/22/13
FIRST TRUST STRATEGIC HIGH INCOME FUN MA 7.01,9.01 01/31/13
Fortune Brands Home & Security, Inc. DE 2.02,9.01 01/31/13
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01 01/29/13
FS Bancorp, Inc. 2.02,9.01 01/30/13
FS Investment CORP MD 2.02,8.01 01/25/13
FUQI INTERNATIONAL, INC. DE 8.01 01/31/13
GALECTIN THERAPEUTICS INC NV 7.01,9.01 01/31/13
GENERAL MILLS INC DE 8.01,9.01 01/31/13
General Motors Financial Company, Inc TX 1.01,9.01 01/25/13
GENEREX BIOTECHNOLOGY CORP DE 7.01,8.01,9.01 01/31/13
GENUINE PARTS CO GA 7.01,9.01 01/31/13
GeoEye, Inc. DE 2.01,3.01,3.03,5.01, 01/31/13
5.02,5.03,8.01,9.01
GILEAD SCIENCES INC DE 5.02 01/30/13
Global Arena Holding, Inc. DE 1.01,9.01 01/29/13
Global Cornerstone Holdings Ltd D8 5.03,9.01 01/31/13
Global Eagle Acquisition Corp. DE 7.01,9.01 01/31/13
Global Geophysical Services Inc DE 8.01,9.01 01/31/13
GOLDEN QUEEN MINING CO LTD A1 5.02 01/28/13
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.05 01/31/13
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 01/25/13
Great American Group, Inc. DE 5.02 01/28/13
GREEN DOT CORP DE 2.02,9.01 01/31/13
Green Energy Management Services Hold DE 5.02 01/25/13
GREEN HYGIENICS HOLDINGS INC. NV 5.02 01/31/13
GRYPHON GOLD CORP NV 7.01,9.01 01/31/13
GSI TECHNOLOGY INC 2.02,9.01 01/31/13
Guardian 8 Holdings NV 1.01,2.03,3.02,9.01 01/23/13
H&E Equipment Services, Inc. DE 1.01,8.01,9.01 01/30/13
HARMAN INTERNATIONAL INDUSTRIES INC / DE 2.02,7.01,9.01 01/31/13
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 01/31/13
HARTE HANKS INC DE 2.02,9.01 01/31/13
HAYNES INTERNATIONAL INC DE 2.02,7.01,9.01 01/31/13
HELMERICH & PAYNE INC DE 2.02,9.01 01/31/13
HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 01/30/13
HERSHEY CO DE 2.02,9.01 01/31/13
HERTZ CORP DE 2.01,9.01 11/19/12 AMEND
HERTZ GLOBAL HOLDINGS INC 2.01,9.01 11/19/12 AMEND
hhgregg, Inc. DE 2.02,9.01 01/29/13
Hillshire Brands Co MD 2.02,9.01 01/31/13
Hillshire Brands Co MD 2.02,9.01 01/31/13
HMN FINANCIAL INC DE 8.01 01/30/13
HOPFED BANCORP INC DE 2.02,9.01 01/31/13
HORMEL FOODS CORP /DE/ DE 5.07,8.01 01/29/13
HORMEL FOODS CORP /DE/ DE 2.01,7.01,9.01 01/31/13
Hubei Minkang Pharmaceutical Ltd. NV 3.02 01/29/13
HUDSON VALLEY HOLDING CORP NY 2.02,9.01 01/31/13
HUTTIG BUILDING PRODUCTS INC DE 5.02 01/29/13
HYPERDYNAMICS CORP DE 5.02,7.01,9.01 01/25/13
Hyundai Auto Receivables Trust 2013-A DE 1.01,9.01 01/30/13
iGo, Inc. DE 5.07 01/25/13
IKANOS COMMUNICATIONS CA 2.02,9.01 01/31/13
IMAGENETIX INC /NV/ NV 8.01,9.01 01/30/13
IMMUCOR INC GA 1.01,2.03,9.01 01/25/13
INDEPENDENT BANK CORP /MI/ MI 5.02 01/25/13
INKSURE TECHNOLOGIES INC. DE 8.01 01/31/13
INTERNATIONAL TOWER HILL MINES LTD A1 5.02,7.01,9.01 01/29/13
INUVO, INC. NV 1.01,7.01,8.01,9.01 01/25/13
Invesco Ltd. D0 2.02,9.01 01/31/13
INVESTMENT TECHNOLOGY GROUP INC DE 2.02,9.01 01/31/13
iShares S&P GSCI Commodity-Indexed Tr DE 8.01 01/31/13
ITC Holdings Corp. MI 1.01,9.01 01/28/13
iVoiceIdeas, Inc. NV 5.02,9.01 01/30/13
Kearny Financial Corp. X1 2.02,9.01 01/31/13
KELLY SERVICES INC DE 2.02,9.01 01/31/13
KEMET CORP DE 2.02,7.01,9.01 01/31/13
KILROY REALTY CORP MD 2.02,9.01 01/30/13
KIRBY CORP NV 2.02,9.01 01/30/13
Kosmos Energy Ltd. D0 4.02 01/26/13
LA JOLLA PHARMACEUTICAL CO CA 8.01,9.01 01/31/13
LACLEDE GROUP INC MO 5.07,7.01,9.01 01/31/13
Lake Shore Bancorp, Inc. X1 2.02,9.01 01/31/13
LAMPERD LESS LETHAL INC NV 8.01 01/31/13
LANCASTER COLONY CORP OH 2.02,9.01 01/31/13
LANDSTAR SYSTEM INC DE 2.02,9.01 01/31/13
LANTRONIX INC DE 2.02,9.01 01/13/13
LIFE TIME FITNESS, INC. MN 2.02,9.01 01/31/13
LIGHTPATH TECHNOLOGIES INC DE 7.01,9.01 01/31/13
Lightstone Value Plus Real Estate Inv MD 8.01,9.01 01/31/13
LIME ENERGY CO. DE 7.01,9.01 01/30/13
LIQUIDITY SERVICES INC DE 2.02,9.01 01/31/13
LIQUIDITY SERVICES INC DE 7.01,9.01 01/31/13
LNB BANCORP INC OH 2.02,9.01 01/31/13
Lustros Inc. 5.02 01/29/13
M I HOMES INC OH 2.02,9.01 01/31/13
MACATAWA BANK CORP MI 2.02,9.01 12/31/12
MARLIN BUSINESS SERVICES CORP 2.02,9.01 01/30/13
MASTERCARD INC DE 2.02,7.01,9.01 01/31/13
MCDONALDS CORP DE 7.01,9.01 01/30/13
MCKESSON CORP DE 2.02,9.01 01/31/13
MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 01/30/13
MDC HOLDINGS INC DE 2.02,9.01 01/31/13
MDC HOLDINGS INC DE 2.02,9.01 01/31/13 AMEND
Mead Johnson Nutrition Co DE 2.02,9.01 01/31/13
Mead Johnson Nutrition Co DE 5.02 01/30/13
MEDIA GENERAL INC VA 2.02,9.01 01/31/13
MEDIA GENERAL INC VA 7.01,9.01 01/31/13
MEDIENT STUDIOS, INC. NV 1.01,9.01 11/26/12 AMEND
MEDNAX, INC. FL 2.02,9.01 01/31/13
Meritage Homes CORP MD 2.02 01/31/13
MFRI INC DE 5.02,7.01,9.01 01/24/13
MICREL INC CA 2.02,9.01 01/31/13
MIDSOUTH BANCORP INC LA 2.02,5.02,8.01,9.01 01/29/13
MINERALS TECHNOLOGIES INC DE 2.02,9.01 01/31/13
MITEK SYSTEMS INC DE 2.02,9.01 01/31/13
ModusLink Global Solutions Inc DE 5.02,9.01 01/25/13
MOHAWK INDUSTRIES INC DE 1.01,8.01,9.01 01/31/13
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 8.01,9.01 01/31/13
MONSANTO CO /NEW/ DE 5.07 01/31/13
MORGAN STANLEY DE 5.02 01/31/13
Morgan Stanley Bank of America Merril DE 8.01,9.01 01/30/13
MTS SYSTEMS CORP MN 2.02,9.01 01/31/13
Mueller Water Products, Inc. DE 5.07 01/30/13
MULTIMEDIA GAMES HOLDING COMPANY, INC TX 5.07 01/30/13
NASDAQ OMX GROUP, INC. DE 2.02,7.01,8.01,9.01 01/31/13
NATIONAL BEVERAGE CORP DE 1.01,3.02,3.03,5.03, 01/25/13
7.01,9.01
NATIONAL HOLDINGS CORP DE 5.02,8.01,9.01 01/25/13
NATIONAL HOLDINGS CORP DE 1.01,3.02,3.03,5.03, 01/24/13 AMEND
8.01,9.01
NATIONAL INSTRUMENTS CORP /DE/ DE 2.02,9.01 01/31/13
Nationstar Mortgage Holdings Inc. DE 7.01,9.01 01/31/13
Natural Grocers by Vitamin Cottage, I DE 2.02,9.01 01/31/13
NAVIDEA BIOPHARMACEUTICALS, INC. DE 1.01,8.01,9.01 01/29/13
NBTY INC DE 7.01 01/31/13
NEDAK ETHANOL, LLC NE 2.01,5.01,7.01,9.01 01/31/13
Neiman Marcus, Inc. DE 2.02,7.01 01/31/13
NETSUITE INC DE 2.02,9.01 01/31/13
NEW ENERGY SYSTEMS GROUP NV 8.01,9.01 12/29/12
NEWLINK GENETICS CORP 1.01,9.01 01/31/13
NEWS CORP 8.01,9.01 01/31/13
Niska Gas Storage Partners LLC DE 2.02,9.01 01/31/13
NorthStar Healthcare Income, Inc. MD 5.02 01/30/13
NorthStar Real Estate Income Trust, I MD 5.02 01/30/13
NORTHSTAR REALTY FINANCE CORP. MD 5.02 01/30/13
Nuance Communications, Inc. DE 5.07 01/25/13
NUTRACEUTICAL INTERNATIONAL CORP DE 2.02,5.02,5.07,9.01 01/28/13
NxStage Medical, Inc. DE 1.01 01/30/13
NYSE Euronext DE 1.01 01/28/13
OCCIDENTAL PETROLEUM CORP /DE/ DE 2.02,8.01,9.01 01/31/13
OCLARO, INC. DE 2.02,9.01 01/31/13
OCLARO, INC. DE 2.02,9.01 01/31/13
Oconee Federal Financial Corp. 2.02,9.01 01/31/13
OLD LINE BANCSHARES INC MD 2.02,9.01 01/30/13
OMNI BIO PHARMACEUTICAL, INC. CO 7.01,9.01 01/31/13
OMNICELL, Inc CA 2.02,9.01 01/31/13
ONEOK INC /NEW/ OK 5.02 01/31/13
OPLINK COMMUNICATIONS INC DE 2.02,9.01 01/31/13
OptimumBank Holdings, Inc. FL 2.02,9.01 01/31/13
PACCAR INC DE 2.02,9.01 01/31/13
PACIFIC FINANCIAL CORP WA 7.01 01/31/13
Parabel Inc. DE 2.01,8.01,9.01 01/29/13
Pathfinder Cell Therapy, Inc. DE 2.03,3.02 01/28/13
PC CONNECTION INC DE 2.02,9.01 01/31/13
PC TEL INC DE 5.02 01/10/13
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 01/29/13
PennantPark Floating Rate Capital Ltd 7.01,9.01 01/31/13
PEOPLES FINANCIAL CORP /MS/ MS 2.02,9.01 01/31/13
PERKINELMER INC MA 2.02,9.01 01/31/13
PG&E Corp CA 8.01 01/29/13
PHAR MOR INC PA 7.01 01/31/13
Phillips Edison - ARC Shopping Center MD 8.01,9.01 01/31/13
PITNEY BOWES INC /DE/ DE 2.02,9.01 01/31/13
PIXELWORKS, INC OR 2.02,9.01 01/31/13
PMC SIERRA INC DE 2.02,9.01 01/31/13
POTASH CORP OF SASKATCHEWAN INC Z4 2.02,9.01 01/31/13
POWER ONE INC DE 2.02,9.01 01/31/13
PREMIER ALLIANCE GROUP, INC. NV 1.01,3.02,9.01 12/26/12 AMEND
PROOFPOINT INC DE 2.02,5.02,9.01 01/31/13
PROSPERITY BANCSHARES INC TX 9.01 01/30/13
PULTEGROUP INC/MI/ MI 2.02,9.01 01/31/13
PURE BIOSCIENCE, INC. DE 1.01,2.03,9.01 01/25/13
QCR HOLDINGS INC DE 7.01,9.01 01/31/13
QEP RESOURCES, INC. DE 5.02 01/28/13
QUAINT OAK BANCORP INC 2.02,9.01 01/31/13
QUAKER CHEMICAL CORP PA 5.02,9.01 01/30/13
QUALCOMM INC/DE DE 5.02 01/29/13
RADIO ONE, INC. DE 8.01 01/29/13
RANGE RESOURCES CORP DE 7.01,9.01 01/30/13
Rangeford Resources, Inc. NV 4.01,9.01 01/29/13 AMEND
RCM TECHNOLOGIES INC NV 1.01,3.03,5.03,9.01 01/31/13
REGENCY CENTERS CORP FL 2.02,9.01 01/30/13
REGIS CORP MN 2.02,7.01,9.01 01/29/13
REINSURANCE GROUP OF AMERICA INC MO 2.02,9.01 01/31/13
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 01/23/13 AMEND
RESOURCE EXCHANGE OF AMERICA CORP. FL 3.03,5.03 01/31/13
REVA Medical, Inc. DE 2.02,9.01 01/31/13
RF MICRO DEVICES INC NC 8.01,9.01 01/31/13
RIVER VALLEY BANCORP IN 2.02,9.01 01/25/13
ROBERTS REALTY INVESTORS INC GA 1.01,8.01,9.01 01/28/13
Rock-Tenn CO GA 5.02,9.01 01/25/13
ROI Acquisition Corp. DE 1.01,3.02,7.01,8.01, 01/31/13
9.01
ROYAL GOLD INC DE 2.02,9.01 01/31/13
RYDER SYSTEM INC FL 2.02,9.01 01/31/13
Sally Beauty Holdings, Inc. 5.07 01/30/13
Samson Oil & Gas LTD C3 2.02,9.01 01/30/13
San Lotus Holding Inc NV 1.01,9.01 01/27/13
SandRidge Mississippian Trust I DE 2.02,9.01 01/31/13
SandRidge Mississippian Trust II DE 2.02,9.01 01/31/13
SandRidge Permian Trust 2.02,9.01 01/31/13
SANFILIPPO JOHN B & SON INC DE 2.02,9.01 01/30/13
SANMINA CORP DE 5.02 01/31/13
SBT Bancorp, Inc. CT 2.02,9.01 01/31/13
SCBT FINANCIAL CORP SC 2.02,9.01 01/31/13
SCIENTIFIC GAMES CORP DE 8.01,9.01 01/31/13
SELECTICA INC DE 2.02,9.01 01/31/13
SELECTIVE INSURANCE GROUP INC NJ 2.02,7.01,9.01 01/31/13
Selway Capital Acquisition Corp. DE 1.01,8.01,9.01 01/25/13
Seneca Foods Corp NY 2.02,9.01 12/29/12
Sequoia Mortgage Trust 2013-2 8.01,9.01 01/01/13
SERVICEMASTER CO DE 2.02,7.01,9.01 01/31/13
SHERWIN WILLIAMS CO OH 2.02,9.01 01/31/13
SHFL entertainment Inc. MN 5.02,9.01 01/25/13
SHFL entertainment Inc. MN 5.02,9.01 01/25/13
Shire plc 8.01,9.01 01/31/13
SHORE BANCSHARES INC MD 2.02,9.01 01/29/13
SIMMONS FIRST NATIONAL CORP AR 5.02 01/28/13
SIMPSON MANUFACTURING CO INC /CA/ DE 5.02,8.01,9.01 12/10/12 AMEND
Skinny Nutritional Corp. NV 5.02,9.01 01/25/13
SL GREEN REALTY CORP MD 2.02,7.01,9.01 01/30/13
SONIC FOUNDRY INC MD 2.02,9.01 01/31/13
Sound Financial Bancorp, Inc. MD 2.02 12/31/12
SPAN AMERICA MEDICAL SYSTEMS INC SC 2.02,9.01 01/31/13
SPANISH BROADCASTING SYSTEM INC DE 5.02 01/25/13
SPARTON CORP OH 2.01,9.01 11/15/12 AMEND
SPECTRUM PHARMACEUTICALS INC DE 1.01 01/29/13
Stalar 2, Inc. DE 1.02 01/13/13
STANDARD PACIFIC CORP /DE/ DE 2.02,9.01 01/21/13
STARTEK INC DE 1.01 01/25/13
STEEL DYNAMICS INC IN 2.02,9.01 01/28/13
STEWART INFORMATION SERVICES CORP DE 3.02 01/30/13
SUPERMEDIA INC. DE 5.02,8.01 01/25/13
Sutor Technology Group LTD 5.02 01/28/13
SWISSINSO HOLDING INC. DE 1.01,2.03,3.02,5.02, 01/31/13
9.01
Telenav, Inc. DE 2.02,9.01 01/31/13
TELULAR CORP DE 2.02,5.02,7.01,8.01, 01/27/13
9.01
TENNECO INC DE 2.02,8.01,9.01 01/31/13
TETRA TECH INC DE 2.02,9.01 01/30/13
TEXAS PACIFIC LAND TRUST 2.02,9.01 01/31/13
THERMO FISHER SCIENTIFIC INC. DE 2.02,9.01 01/31/13
TIME WARNER CABLE INC. DE 2.02,9.01 01/31/13
TRANS ENERGY INC NV 7.01,9.01 01/29/13
TRANSCAT INC OH 2.02,9.01 01/28/13
TRANSGENOMIC INC DE 1.01,3.02,9.01 01/30/13 AMEND
TTM TECHNOLOGIES INC WA 5.02,9.01 01/25/13
TWO RIVERS WATER Co CO 7.01 01/31/13
UGI CORP /PA/ PA 2.02,9.01 01/31/13
UGI UTILITIES INC PA 2.02,9.01 01/31/13
ULTRATECH INC DE 2.02,9.01 01/31/13
Under Armour, Inc. MD 2.02 01/31/13
Unilife Corp DE 2.02,7.01,9.01 01/30/13
UNITED BANKSHARES INC/WV WV 1.01,9.01 01/29/13
UNITED FIRE GROUP INC 5.02,5.05,8.01,9.01 11/16/12 AMEND
UNITED ONLINE INC DE 8.01 01/31/13
UNITED PARCEL SERVICE INC DE 2.02,9.01 01/31/13
UNITED STATES LIME & MINERALS INC TX 2.02,9.01 01/30/13
UNIVERSAL HEALTH SERVICES INC DE 5.02 01/28/13
UNIVERSAL TECHNICAL INSTITUTE INC DE 2.02,9.01 01/31/13
UNWIRED PLANET, INC. DE 2.02,9.01 01/31/13
UTAH MEDICAL PRODUCTS INC UT 2.02 01/31/13
UTi WORLDWIDE INC D8 1.01,1.02,2.03,9.01 01/25/13
VALENCE TECHNOLOGY INC DE 7.01,9.01 11/20/12
VALIDUS HOLDINGS LTD 2.02,9.01 01/31/13
VALIDUS HOLDINGS LTD 2.02,9.01 01/31/13
Vanda Pharmaceuticals Inc. DE 8.01,9.01 01/31/13
VANGUARD HEALTH SYSTEMS INC DE 2.02,9.01 01/30/13
Viacom Inc. DE 2.02,9.01 01/31/13
VIAD CORP DE 8.01,9.01 01/25/13
VIASPACE Inc. 1.01,3.02,9.01 01/30/13
VIRGINIA COMMERCE BANCORP INC 1.01,9.01 01/29/13
VISA INC. DE 1.01,2.03,9.01 01/31/13
VISTAPRINT N.V. P7 2.02,9.01 01/31/13
VOLT INFORMATION SCIENCES, INC. NY 1.01,7.01,9.01 01/31/13
Vu1 CORP CA 3.02,8.01,9.01 12/20/12
WARNACO GROUP INC /DE/ DE 8.01 01/30/13
WASHINGTON BANKING CO WA 2.02,8.01,9.01 01/30/13
WASTE MANAGEMENT INC DE 5.02,9.01 01/28/13
Wayside Technology Group, Inc. DE 2.02,9.01 01/31/13
WELLS REAL ESTATE FUND IX LP GA 7.01,8.01,9.01 01/31/13
WELLS REAL ESTATE FUND VIII LP GA 7.01,8.01,9.01 01/31/13
WELLS REAL ESTATE FUND XI L P GA 7.01,8.01,9.01 01/31/13
WELLS REAL ESTATE FUND XII LP GA 7.01,8.01,9.01 01/31/13
WELLS REAL ESTATE FUND XIII L P 7.01,8.01,9.01 01/31/13
WELLS REAL ESTATE FUND XIV LP GA 7.01,8.01,9.01 01/31/13
WESBANCO INC WV 8.01,9.01 01/31/13
WESCO INTERNATIONAL INC 2.02 01/31/13
WHIRLPOOL CORP /DE/ DE 2.02,9.01 01/31/13
WMI HOLDINGS CORP. WA 8.01,9.01 01/30/13
WMS INDUSTRIES INC /DE/ DE 8.01,9.01 01/31/13
WSI INDUSTRIES, INC. MN 1.01,2.03,9.01 01/30/13
WYNN RESORTS LTD 8.01,9.01 01/24/13
WYNN RESORTS LTD 2.02,7.01,8.01,9.01 01/31/13
XCEL ENERGY INC MN 2.02,9.01 01/31/13
Xun Energy, Inc. NV 1.01,9.01 01/29/13
YOUNG INNOVATIONS INC MO 8.01,9.01 01/30/13
ZIMMER HOLDINGS INC DE 2.02,9.01 01/31/13
ZIOPHARM ONCOLOGY INC DE 5.02,9.01 01/25/13
http://www.sec.gov/news/digest/2013/dig020113.htm
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