SEC News Digest

Commission Announcements

Commissioner Casey to Leave SEC

SEC Commissioner Kathleen L. Casey announced that she is leaving the agency today, having completed her five-year term on June 5 of this year.

Commissioner Casey was sworn in on July 17, 2006, and has been a staunch advocate of the agency’s mission to protect investors, facilitate capital formation, and ensure transparent, efficient, and competitive capital markets.  During her tenure on the Commission, she was actively engaged on international matters, particularly in her capacity as chair of IOSCO’s Technical Committee and as the SEC’s representative to the Financial Stability Board.

“I feel fortunate to have served on the Commission during such a critical time and alongside such talented, hardworking and dedicated professionals,” said Commissioner Casey.

Prior to joining the SEC, Commissioner Casey spent 13 years on Capitol Hill, ultimately serving as Staff Director and Counsel of the Senate Banking, Housing, and Urban Affairs Committee.  She earned her law degree at George Mason University School of Law in 1993, and received her BA in International Politics from Pennsylvania State University in 1988. (Press Rel. 2011-163)

Enforcement Proceedings

In the Matter of Rajat K. Gupta

On August 4, 2011, the Securities and Exchange Commission issued an Order Dismissing Proceedings against Rajat K. Gupta.

The Order dismisses the pending administrative proceedings against Mr. Gupta but does not prevent the Commission from filing an action against Mr. Gupta in a United States District Court. (Rels. 33-9249; 34-65037; IA-3259; File No. 3-14279

Commission Sanctions Robert L. Burns for Acceptance of Gifts in Violation of the Investment Company Act

The Commission upheld an administrative law judge's determination, on summary disposition, that Robert L. Burns, a former equity trader at FMR Co., Inc., a registered investment advisor, had willfully violated Section 17(e)(1) of the Investment Company Act of 1940 by accepting compensation from brokerage firms to which he transmitted orders to buy and sell securities on behalf of certain mutual funds that were advisory clients of FMR Co. The Commission found that, from 2002 through 2004, Burns sent securities transactions involving more than 2 billion shares to ten firms from which he accepted at least thirty-nine gifts, including wine, travel, and tickets to various concerts, sporting events, and theater productions. For his violations, the Commission sustained the law judge's decision censuring Burns and ordering him to cease and desist from committing future violations. The Commission also ordered Burns to disgorge $141,822.50 and imposed a civil penalty of $40,000. (Rels. IA-3260; IC-29746; File No. 3-12978)

In the Matter of James R. Spurger

On August 5, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against James R. Spurger, a resident of Friendswood, Texas.

The Order finds that on March 28, 2011, a final judgment was entered by consent against Spurger, enjoining him from violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a)(1) of the Exchange Act and Rule 10b-5 in the civil action Securities and Exchange Commission v. Navigators International Management Co. Ltd., et al., Civil Action Number H-07-4518, in the United States District Court for the Southern District of Texas, Houston Division. The Order finds that the Commission’s complaint alleged that Spurger, acting on behalf of Navigators International Management Company, Ltd., a Bahamian corporation, induced and attempted to induce securities transactions with investors in the United States without being registered as a broker or dealer with the Commission. The Order also finds that the complaint alleged that Spurger offered and sold securities in unregistered transactions targeted at persons in the United States and engaged in other conduct that violated United States securities laws.

Based on the above, the Order bars Spurger from association with any broker or dealer. Spurger consented to issuance of the Order and, except for admitting entry of the judgment against him in the civil action, did not admit or deny the findings in the Order. (Rel. 34-65044; File No. 3-14348)

In the Matter of Navigators International Management Co., Ltd.

On August 5, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Navigators International Management Co., Ltd., a Bahamian Corporation headquartered in Nassau, The Bahamas. The Order finds that on March 28, 2011, a final judgment was entered by consent against Navigators International Management Co., Ltd., enjoining it from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a)(1) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Navigators International Management Co. Ltd., et al., Civil Action Number H-07-4518, in the United States District Court for the Southern District of Texas, Houston Division. The Order finds that the Commission’s complaint alleged that from at least January 2005 through August 2007, Navigators International Management Company, Ltd., induced and attempted to induce securities transactions with investors in the United States without being registered as a broker or dealer with the Commission. The Order also finds that the complaint alleged that Navigators International Management Co., Ltd. offered and sold securities in unregistered transactions targeted at persons in the United States and engaged in other conduct that violated United States securities laws.

Based on the above, the Order bars Navigators International Management Co., Ltd. from association with any broker or dealer. Navigators International Management Co., Ltd. consented to issuance of the Order and, except for admitting entry of the judgment in the civil action, did not admit or deny the findings in the Order. (Rel. 34-65045; File No. 3-14347)

Tzemach David Netzer Korem Sanctioned

Tzemach David Netzer Korem (Korem) has been barred from association with any transfer agent. The sanction was ordered in an administrative proceeding before an administrative law judge, following a court-ordered injunction against him.

Korem, also known as Mark Wellington, David Korman, Mark Pedley, Jack Williams, and Branch Vindresser, was enjoined from violating the antifraud provisions of the federal securities laws and barred from participating in any offering of penny stock in December 2010. Additionally, he was convicted in February 2011 of conspiracy to commit securities fraud and is currently serving a twenty-four month sentence of imprisonment. (Initial Decision No. 427; File No. 3-14208)

SEC Charges Former Mariner Energy Board Member and Son With Insider Trading

On August 5, 2011, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the Southern District of New York charging a former member of Mariner Energy Inc.’s board of directors, and his son, a securities industry professional, with illegally tipping and trading on the basis of inside information about the impending acquisition of Mariner Energy.

The SEC’s complaint alleges that H. Clayton Peterson, who served on Mariner Energy, Inc.’s board of directors from 2006 through 2010, provided his son, Drew Clayton Peterson, with confidential information, learned during various board meetings, about Apache Corporation’s upcoming acquisition of Mariner Energy. According to the allegations, in the week leading up to the April 15, 2010 announcement, Clayton Peterson tipped his son on multiple telephone calls and at in-person meetings about the impending takeover. Drew Peterson, a managing director at a Denver-based investment adviser, then traded on the illegally obtained inside information and purchased Mariner Energy stock for himself, his relatives, his clients, and for a close friend. Drew Peterson also tipped other close friends as to the impending acquisition of Mariner Energy who also traded on the illegally obtained information. The insider trading by the Petersons and others generated more than $5.2 million in illicit profits.

According to the SEC’s complaint, Clayton Peterson explicitly instructed his son, Drew Peterson, to purchase Mariner Energy stock for a family member based on positive news that the company was about to announce. As the announcement date neared, Clayton Peterson was even clearer in his discussions with his son, telling him that the company was going to be acquired and would no longer be a public company within a few days. Based on the inside information Drew Peterson learned from his father, Drew Peterson purchased Mariner Energy stock for his own accounts, as well as for his relatives, his clients, and for a close friend. In addition, Drew Peterson used the nonpublic information provided by his father to tip several close friends. One of those friends, a portfolio manager at a hedge fund, reaped approximately $5 million in illegal profits for himself, his hedge funds and his relatives.

The SEC’s complaint charges Clayton Peterson and Drew Peterson with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks a final judgment permanently enjoining the defendants from future violations of the above provisions of the federal securities laws, ordering them to disgorge their ill-gotten gains plus prejudgment interest on a joint and several basis, and ordering them to pay financial penalties. The SEC also seeks to permanently prohibit Clayton Peterson from acting as an officer or director of any registered public company. [SEC v. H. Clayton Peterson et al., Civil Action No. 11-CV-5448 (SDNY) (JGK)] (LR-22063)

Self-Regulatory Organizations

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-FINRA-2011-027) filed by the Financial Industry Regulatory Authority pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to amend the trade reporting rules relating to OTC transactions in equity securities that are part of a distribution and transfers of equity securities to create or redeem instruments such as ADRs and ETFs. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65025)

The Commission approved a proposed rule change (SR-NSCC-2011-04) filed by National Securities Clearing Corporation under Section 19(b)(1) of the Securities Exchange Act of 1934. The approved rule change will amend NSCC’s rules relating to its incorporation of its Dividend Settlement Service and Funds Only Settlement Service into the Envelope Settlement Service, changes to Envelope Settlement Service processing, and discontinuance of its Data Distribution Boxes Service. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65032)

Proposed Rule Changes

Chicago Board Options Exchange filed a proposed rule change under Rule 19b-4 (SR-CBOE-2011-040) to simplify the $1 Strike Price Interval Program. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65031)

The NYSE Amex filed a proposed rule change (SR-NYSEAmex-2011-55) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to adopt additional initial listing requirements for companies applying to list after consummation of a “reverse merger” with a shell company. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65033)

The New York Stock Exchange filed a proposed rule change (SR-NYSE-2011-38) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to adopt additional initial listing requirements for companies applying to list after consummation of a “reverse merger” with a shell company. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65034)

The Chicago Stock Exchange filed a proposed rule change (SR-CHX-2011-20) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to impose certain requirements on exchange-registered Institutional Broker firms that operate a separate non-Institutional Broker unit within the firm. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65035)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX BX relating to a definition of “Professional” and requiring that professional orders be appropriately marked by BOX Options Participants (SR-BX-2011-049) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65036)

A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-100) to modify the defined term “ Closed-End Fund” in Rules 5910 and 5920 to include business development companies has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 8. (Rel. 34-65038)

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     INSIGHT ENTERPRISES INC, 1305 WEST AUTO DRIVE, TEMPE, AZ, 85284, 
        480-902-1001 - 3,000,000 ($48,960,000.00) Equity, (File 333-176021 - 
        Aug. 4) (BR. 02B)

S-3     SYNTA PHARMACEUTICALS CORP, 45 HARTWELL AVE, LEXINGTON, MA, 02421, 
        781-274-8200 - 0 ($68,917,568.00) Unallocated (Universal) Shelf, 
        (File 333-176022 - Aug. 4) (BR. 01C)

S-8     China Ceetop.com, Inc., A2803, LIANHE GUANGCHANG,, 
        5022 BINHE DADAO, FUTIAN DISTRICT,, SHENZHEN, F4, 518033, 
        (86-755) 3336-6628 - 2,900,000 ($899,000.00) Equity, (File 333-176036 - 
        Aug. 4) (BR. 04C)

S-3ASR  Hyatt Hotels Corp, 71 SOUTH WACKER DRIVE, 12TH FLOOR, CHICAGO, IL, 
        60606, (312) 750-1234 - 0 ($0.00) Non-Convertible Debt, 
        (File 333-176038 - Aug. 4) (BR. 08C)

S-1     Sugarmade, Inc., 2280 LINCOLN AVENUE, SUITE 200, SAN JOSE, CA, 95125, 
        408-265-6233 - 6,081,200 ($30,710,060.00) Equity, (File 333-176043 - 
        Aug. 4) (BR. 09B)

S-8     ASTRONICS CORP, 130 COMMERCE WAY, -, EAST AURORA, NY, 14052-2191, 
        716-805-1599 - 0 ($15,890,000.00) Equity, (File 333-176044 - Aug. 4) 
        (BR. 05A)

S-4     CONSOL Energy Inc, C/O CONSOL INC, 1800 WASHINGTON RD, PITTSBURGH, PA, 
        15241, 724-485-4000 - 0 ($250,000,000.00) Non-Convertible Debt, 
        (File 333-176045 - Aug. 4) (BR. 04A)

S-8     ION GEOPHYSICAL CORP, 2105 CITYWEST BLVD, SUITE 400, HOUSTON, TX, 
        770422839, 281.933.3339 - 0 ($51,250,000.00) Equity, (File 333-176046 - 
        Aug. 4) (BR. 04C)

S-8     NATIONAL INSTRUMENTS CORP /DE/, 11500 NORTH MOPAC EXPRESSWAY, AUSTIN, 
        TX, 78759, 5123389119 - 3,000,000 ($77,640,000.00) Equity, 
        (File 333-176047 - Aug. 4) (BR. 03C)

S-1     BAHAMAS CONCIERGE, INC., OLDE TOWN MALL, 11148 SANDYPORT, NASSAU, C5, 
        00000, 242-433-9156 - 2,500,000 ($200,000.00) Equity, 
        (File 333-176048 - Aug. 4) (BR. 11)

S-8     STATE BANK FINANCIAL CORP, 415 EAST PACES FERRY ROAD NE, SUITE 200, 
        ATLANTA, GA, 30305, 478-722-6200 - 0 ($45,835,800.00) Equity, 
        (File 333-176049 - Aug. 4) (BR. 07)

S-8     EXTERRAN HOLDINGS INC., 1209 ORANGE STREET, WILMINGTON, DE, 19801, 
        713-335-7000 - 0 ($56,854,000.00) Equity, (File 333-176050 - Aug. 4) 
        (BR. 06B)

S-8     ALASKA AIR GROUP INC, 19300 PACIFIC HWY SOUTH, SEATTLE, WA, 98188, 
        206.392.5040 - 0 ($111,283,000.00) Equity, (File 333-176051 - Aug. 4) 
        (BR. 05A)

S-8     ULTRATECH INC, 3050 ZANKER RD, SAN JOSE, CA, 95134, 4083218835 - 
        3,300,000 ($81,576,000.00) Equity, (File 333-176052 - Aug. 4) (BR. 10C)

S-3ASR  Interactive Brokers Group, Inc., ONE PICKWICK PLAZA, GREENWICH, CT, 
        06830, 203-618-5800 - 0 ($0.00) Equity, (File 333-176053 - Aug. 4) 
        (BR. 08B)

S-8     National CineMedia, Inc., 9110 E. NICHOLS AVE., SUITE 200, CENTENNIAL, 
        CO, 80112, (303) 792-3600 - 3,000,000 ($42,990,000.00) Equity, 
        (File 333-176054 - Aug. 4) (BR. 11C)

S-3ASR  National CineMedia, Inc., 9110 E. NICHOLS AVE., SUITE 200, CENTENNIAL, 
        CO, 80112, (303) 792-3600 - 0 ($388,954,952.00) Equity, 
        (File 333-176055 - Aug. 4) (BR. 11C)

S-4     National CineMedia, LLC, 9100 E. NICHOLS AVENUE, SUITE 200, CENTENNIAL, 
        CO, 80112-3405, 303-792-3600 - 
        0 ($200,000,000.00) Non-Convertible Debt, (File 333-176056 - Aug. 4) 
        (BR. )

S-1     INSITE VISION INC, 965 ATLANTIC AVE, --, ALAMEDA, CA, 94501, 
        5108658800 - 0 ($34,574,841.00) Equity, (File 333-176057 - Aug. 4) 
        (BR. 01A)

S-8     GARTNER INC, 56 TOP GALLANT RD, P O BOX 10212, STAMFORD, CT, 
        06904-2212, 2039640096 - 1,396,589 ($49,468,229.82) Equity, 
        (File 333-176058 - Aug. 4) (BR. 08B)

S-8     MDC PARTNERS INC, 745 FIFTH AVENUE, 19TH FLOOR, NEW YORK, NY, 10151, 
        646 429 1800 - 2,000,000 ($36,720,000.00) Equity, (File 333-176059 - 
        Aug. 4) (BR. 11A)

S-8     CALLON PETROLEUM CO, 200 N CANAL ST, NATCHEZ, MS, 39120, 6014421601 - 
        3,089,095 ($21,530,992.15) Equity, (File 333-176061 - Aug. 4) (BR. 04C)

S-8     MAGELLAN MIDSTREAM PARTNERS LP, ONE WILLIAMS CENTER, MD 28-1, TULSA, 
        OK, 74172, 918 574 7000 - 0 ($87,435,000.00) Equity, (File 333-176062 - 
        Aug. 4) (BR. 04B)

S-8     METROPOLITAN HEALTH NETWORKS INC, 777 YAMATO ROAD, SUITE 510, 
        BOCA RATON, FL, 33431, 5618058500 - 3,000,000 ($17,310,000.00) Equity, 
        (File 333-176063 - Aug. 4) (BR. 01B)

S-8     FLUSHING FINANCIAL CORP, 1979 MARCUS AVENUE , SUITE E140, LAKE SUCCESS, 
        NY, 11042, 718-961-5400 - 625,000 ($7,737,500.00) Equity, 
        (File 333-176064 - Aug. 4) (BR. 07C)

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

A123 SYSTEMS, INC.                      DE       2.02,9.01            08/04/11

ABERCROMBIE & FITCH CO /DE/             DE       2.02,7.01,9.01       08/04/11

ABIOMED INC                             DE       2.02,9.01            08/04/11

ACCELLENT INC                                    2.02,9.01            08/04/11

Addus HomeCare Corp                     DE       2.02,7.01,9.01       08/04/11

ADVANCED ENERGY INDUSTRIES INC          DE       1.01,9.01            08/04/11

AECOM TECHNOLOGY CORP                   DE       2.02,9.01            08/04/11

AEROPOSTALE INC                                  7.01,9.01            08/04/11

AFFYMETRIX INC                          DE       9.01                 08/04/11    AMEND

AIR METHODS CORP                        DE       1.01,2.01,2.02,2.03, 08/01/11
                                                 7.01,9.01
     
Aircastle LTD                           D0       2.02,9.01            08/04/11

Alamo Energy Corp.                      NV       7.01,9.01            08/04/11

ALCO, INC.                              NV       1.01,9.01            08/04/11

ALEXANDERS J CORP                       TN       2.02,7.01,9.01       08/04/11

ALIMERA SCIENCES INC                    DE       2.02,9.01            08/04/11

ALLEGHANY CORP /DE                      DE       2.02,9.01            08/04/11

ALLIANT ENERGY CORP                     WI       2.02,9.01            08/04/11

ALLIANT TECHSYSTEMS INC                 DE       2.02,9.01            08/04/11

ALLIED HEALTHCARE INTERNATIONAL INC     NY       2.02,9.01            08/04/11

ALLIED MOTION TECHNOLOGIES INC          CO       2.02,9.01            08/03/11

ALLOS THERAPEUTICS INC                  DE       2.02,9.01            08/04/11

Alon Refining Krotz Springs, Inc.       DE       2.02                 08/04/11

Alon USA Energy, Inc.                   DE       2.02                 08/04/11

Alpha Natural Resources, Inc.           DE       2.02,9.01            08/04/11

Alpha Natural Resources, Inc.           DE       7.01,9.01            08/04/11

Alphatec Holdings, Inc.                 DE       2.02,9.01            08/04/11

Altegris QIM Futures Fund, L.P.         DE       3.02                 08/01/11

ALTEGRIS WINTON FUTURES FUND LP         CO       3.02                 08/01/11

AMEREN CORP                             MO       2.02,8.01,9.01       08/04/11

AMERICAN INTERNATIONAL GROUP INC        DE       2.02,9.01            08/04/11

American Midstream Partners, LP         DE       1.01,1.02,2.03,5.03, 08/01/11
                                                 9.01
          
American Reprographics CO               DE       2.02,2.06,9.01       08/04/11

AMERICAN SCIENCE & ENGINEERING, INC.    MA       2.02,9.01            08/04/11

AMERIGON INC                            MI       8.01,9.01            08/04/11

AMN HEALTHCARE SERVICES INC             DE       2.02,9.01            08/04/11

ANADARKO PETROLEUM CORP                 DE       5.07                 05/17/11    AMEND

ANADIGICS INC                           DE       2.02,9.01            08/04/11

ANALYSTS INTERNATIONAL CORP                      2.02,9.01            08/04/11

ANIKA THERAPEUTICS INC                  MA       2.02,9.01            08/04/11

ANSYS INC                               DE       2.02,9.01            08/04/11

APACHE CORP                             DE       2.02,9.01            08/04/11

APOLLO GROUP INC                        AZ       8.01                 08/03/11

APOLLO INVESTMENT CORP                  MD       2.02,9.01            08/03/11

Applied Nanotech Holdings, Inc          TX       8.01                 08/03/11

Approach Resources Inc                  DE       2.02,7.01,9.01       08/02/11

ARES CAPITAL CORP                       MD       2.02,7.01,9.01       08/04/11

Argo Group International Holdings, Lt            2.02,9.01            08/04/11

Armour Residential REIT, Inc.           MD       2.02,9.01            08/03/11

ARQULE INC                              DE       2.02,9.01            08/04/11

Ascena Retail Group, Inc.               DE       2.02,9.01            08/04/11

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            08/04/11

ASIAINFO-LINKAGE, INC                   DE       2.02,9.01            08/04/11

ASTA FUNDING INC                        DE       2.02,9.01            08/04/11

Atlas Energy, L.P.                      DE       2.02,9.01            08/03/11

ATRION CORP                             DE       2.02,9.01            08/04/11

Augme Technologies, Inc.                DE       1.01,8.01,9.01       08/03/11

AUTHENTEC INC                           DE       2.02,9.01            08/04/11

AVI BIOPHARMA INC                       OR       2.02,9.01            08/04/11

AVISTA CORP                             WA       2.02,9.01            08/04/11

AXA FINANCIAL INC                       DE       2.02,9.01            08/04/11

AXCELIS TECHNOLOGIES INC                DE       2.02,5.02,9.01       08/03/11

Bacterin International Holdings, Inc.   DE       5.02                 07/30/11

BALDWIN & LYONS INC                     IN       9.01                 06/30/11

BANCORPSOUTH INC                        MS       8.01,9.01            08/03/11

BANK OF NEW ENGLAND CORP                MA       1.03                 06/30/11

BankFinancial CORP                               7.01,8.01,9.01       08/04/11

BARD C R INC /NJ/                       NJ       8.01                 08/03/11

BELO CORP                               DE       2.02,9.01            08/04/11

BERRY PETROLEUM CO                      DE       2.02,9.01            08/04/11

BILL BARRETT CORP                                2.02,7.01,9.01       08/04/11

BIOCRYST PHARMACEUTICALS INC            DE       2.02,7.01,9.01       08/04/11

BIOCRYST PHARMACEUTICALS INC            DE       2.02,7.01,9.01       08/04/11    AMEND

Biodel Inc                                       2.02,9.01            06/30/11

BioMed Realty Trust Inc                 MD       2.02,9.01            08/03/11

Bitzio, Inc.                            NV       1.01,2.01            07/27/11

BJS WHOLESALE CLUB INC                  DE       2.02,9.01            08/04/11

BLACKBAUD INC                                    2.02,9.01            08/04/11

BlackRock Kelso Capital CORP            DE       2.02,7.01,9.01       08/04/11

BlackRock Kelso Capital CORP            DE       5.02                 08/03/11

BLUE NILE INC                           DE       2.02,5.02,9.01       08/02/11

BlueLinx Holdings Inc.                  DE       2.02,9.01            08/04/11

BOINGO WIRELESS INC                     DE       2.02,9.01            08/04/11

BOISE CASCADE HOLDINGS, L.L.C.          DE       2.02,9.01            08/04/11

BOISE INC.                              DE       2.02,8.01,9.01       08/04/11

BORDERS GROUP INC                       MI       5.02,8.01            07/29/11

Boston Therapeutics, Inc.               DE       8.01,9.01            08/04/11

BREEZE-EASTERN CORP                     DE       2.02,9.01            08/04/11

Brookdale Senior Living Inc.            DE       1.01,2.03,7.01,9.01  07/29/11

BROOKS AUTOMATION INC                   DE       2.02,9.01            08/04/11

BSQUARE CORP /WA                        WA       2.02,9.01            08/04/11

CAESARS ENTERTAINMENT Corp              DE       5.02,8.01            07/28/11

CAL MAINE FOODS INC                     DE       2.02,9.01            07/25/11

Calpian, Inc.                           TX       1.01,2.03,3.02       07/29/11

CAMCO FINANCIAL CORP                    DE       2.02,9.01            08/04/11

CAPITAL SENIOR LIVING CORP              DE       2.02,7.01,9.01       08/03/11

CapLease, Inc.                                   2.02,9.01            08/04/11

Carbon Sciences, Inc.                   NV       5.03,5.07,9.01       08/01/11

CARDICA INC                             DE       1.01,8.01,9.01       08/03/11

CARDINAL HEALTH INC                     OH       2.02,5.02,7.01,9.01  08/02/11

CARDTRONICS INC                         DE       2.02,9.01            08/04/11

CASCADE BANCORP                         OR       5.02                 08/01/11

CBOE Holdings, Inc.                     DE       2.02,9.01            08/04/11

CEC ENTERTAINMENT INC                   KS       2.02,5.02,8.01,9.01  07/29/11

CEDAR SHOPPING CENTERS INC              MD       2.02,7.01,9.01       08/04/11

CENTERPOINT ENERGY INC                           2.02,9.01            08/04/11

CENTRAL EUROPEAN DISTRIBUTION CORP      DE       2.02,7.01,9.01       08/04/11

CENTRAL GARDEN & PET CO                 DE       2.02,9.01            08/03/11

CENTURY ALUMINUM CO                     DE       2.02,9.01            08/04/11

CENTURY ALUMINUM CO                     DE       2.02,9.01            08/04/11

CF Industries Holdings, Inc.            DE       2.02,9.01            08/04/11

CF Industries Holdings, Inc.            DE       1.01,2.03,8.01,9.01  08/01/11

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            08/04/11

Chemtura CORP                           DE       2.02,9.01            08/03/11

CHESAPEAKE ENERGY CORP                  OK       8.01,9.01            08/01/11

CHESAPEAKE UTILITIES CORP               DE       2.02,9.01            08/04/11

CHOICE HOTELS INTERNATIONAL INC /DE     DE       5.02,9.01            08/01/11

CHURCH & DWIGHT CO INC /DE/             DE       2.02,9.01            08/04/11

CHYRON CORP                             NY       2.02,9.01            08/04/11

CIGNA CORP                              DE       2.02                 08/04/11

CIMAREX ENERGY CO                       DE       2.02,7.01,9.01       08/04/11

CINCINNATI BELL INC                     OH       5.02,9.01            07/29/11

CINCINNATI BELL INC                     OH       2.02,7.01,9.01       08/03/11

CIRCOR INTERNATIONAL INC                DE       2.02,9.01            08/04/11

CLEVELAND BIOLABS INC                   DE       5.02,9.01            07/31/11

CLOROX CO /DE/                          DE       5.02                 07/29/11

CMSF Corp                               CA       1.01,9.01            05/23/11    AMEND

Cogdell Spencer Inc.                    MD       2.02,9.01            08/04/11

COGENT COMMUNICATIONS GROUP INC                  2.02,9.01            08/04/11

COHU INC                                DE       8.01,9.01            08/01/11

COLE KENNETH PRODUCTIONS INC            NY       2.02,9.01            08/04/11

Coleman Cable, Inc.                     DE       2.02,9.01            08/04/11

Colony Financial, Inc.                  MD       2.02,9.01            08/03/11

COLUMBIA LABORATORIES INC               DE       2.02,9.01            08/04/11

COLUMBIA LABORATORIES INC               DE       2.02,7.01,9.01       08/04/11

Columbia Seligman Premium Technology    MD       7.01,9.01            08/04/11

COMPLETE GENOMICS INC                   DE       2.02,9.01            08/03/11

Compressco Partners, L.P.               DE       2.02,9.01            08/04/11

CONCEPTUS INC                           DE       2.02,7.01,9.01       08/04/11

CONOLOG CORP                            DE       1.01,2.03,9.01       01/24/11

CONOLOG CORP                            DE       1.01,2.03,9.01       07/12/11

Consolidated Communications Holdings,   DE       2.02,9.01            08/04/11

CONTINENTAL RESOURCES INC               OK       2.02,7.01,9.01       08/03/11

Convio, Inc.                            DE       2.02,9.01            08/04/11

COOPER TIRE & RUBBER CO                 DE       2.02,9.01            08/04/11

Copano Energy, L.L.C.                            2.02,8.01,9.01       08/01/11

CORELOGIC, INC.                         DE       2.02,9.01            08/04/11

CoreSite Realty Corp                    MD       2.02,9.01            08/04/11

CORNERSTONE HEALTHCARE PLUS REIT, INC   MD       1.01,5.02,8.01,9.01  07/29/11

Cornerstone OnDemand Inc                DE       2.02,9.01            08/04/11

CORNERSTONE THERAPEUTICS INC            DE       2.02,9.01            08/04/11

Corporate Capital Trust, Inc.           MD       1.01                 07/29/11

CORRECTIONS CORP OF AMERICA             MD       2.02,9.01            08/03/11

CRAY INC                                WA       5.02                 08/01/11

CROSS COUNTRY HEALTHCARE INC            DE       2.02,7.01,9.01       08/03/11

CROWN MEDIA HOLDINGS INC                DE       2.02,9.01            08/04/11

CUBIST PHARMACEUTICALS INC              DE       8.01,9.01            08/01/11

CUMULUS MEDIA INC                       DE       1.01,2.01,3.02,5.03, 08/01/11
                                                 5.07,9.01
     
CVR ENERGY INC                          DE       2.02,9.01            08/03/11

CVS CAREMARK CORP                       DE       2.02,9.01            08/04/11

CYTODYN INC                             CO       7.01,8.01,9.01       06/17/11

DCP Midstream Partners, LP              DE       2.02,9.01            08/03/11

DCT Industrial Trust Inc.               MD       2.02,9.01            08/04/11

DEAN FOODS CO                           DE       2.02,9.01            08/04/11

Delek US Holdings, Inc.                          2.02,9.01            08/03/11

DELTA PETROLEUM CORP/CO                 CO       2.02,9.01            08/04/11

DELTATHREE INC                          DE       2.02,9.01            08/04/11

DENBURY RESOURCES INC                   DE       2.02,9.01            08/04/11

DIGITAL ANGEL CORP                      DE       5.02,9.01            08/01/11

DineEquity, Inc                         DE       5.07                 05/18/11    AMEND

DIRECTV                                 DE       2.02                 08/04/11

DIRECTV                                 DE       1.01,9.01            07/29/11

DIRECTV HOLDINGS LLC                    DE       2.02                 08/04/11

Discovery Communications, Inc.          DE       2.02,8.01,9.01       08/04/11

DIXIE GROUP INC                         TN       2.02,9.01            08/04/11

DIXIE GROUP INC                         TN       7.01,9.01            08/04/11

Dolby Laboratories, Inc.                DE       2.02,8.01,9.01       08/04/11

DOT HILL SYSTEMS CORP                   DE       2.02,9.01            08/04/11

DOUBLE EAGLE PETROLEUM CO               MD       2.02,7.01,9.01       08/04/11

DOVER MOTORSPORTS INC                   DE       2.04,2.05,2.06,7.01, 08/03/11
                                                 9.01
          
DUN & BRADSTREET CORP/NW                DE       5.02,9.01            08/03/11

DURECT CORP                             DE       2.02,9.01            08/04/11

EAGLE ROCK ENERGY PARTNERS L P          DE       2.02,9.01            08/03/11

EASYLINK SERVICES INTERNATIONAL CORP    DE       1.01,9.01            07/31/11

ECHELON CORP                            DE       2.02,9.01            08/04/11

EDISON INTERNATIONAL                    CA       2.02,7.01,9.01       08/04/11

EDUCATION MANAGEMENT CORPORATION                 2.02,9.01            08/03/11

Edwards Lifesciences Corp               DE       1.01,1.02,2.03,9.01  07/29/11

EL PASO CORP/DE                         DE       2.02,9.01            08/04/11

El Paso Pipeline Partners, L.P.         DE       2.02,9.01            08/04/11

ELECTRONIC ARTS INC.                    DE       5.02,9.01            08/04/11

Emdeon Inc.                             DE       8.01,9.01            08/04/11

Emergent BioSolutions Inc.              DE       1.01,2.02,2.03,9.01  08/03/11

EMERITUS CORP\WA\                       WA       2.02                 08/04/11

Encore Energy Partners LP               DE       2.02,9.01            08/04/11

ENER1 INC                               FL       1.01,7.01,9.01       08/03/11

ENERGY PARTNERS LTD                     DE       2.02,9.01            08/03/11

Energy Recovery, Inc.                   DE       2.02,9.01            08/04/11

Energy Services of America CORP         DE       3.03,9.01            08/04/11

Energy Transfer Equity, L.P.            DE       2.02,9.01            08/03/11

Energy Transfer Partners, L.P.          DE       2.02,9.01            08/03/11

Enertopia Corp.                         NV       1.02,7.01,9.01       08/03/11

ENPRO INDUSTRIES, INC                   NC       2.02,9.01            08/04/11

ENSIGN GROUP, INC                                2.02,9.01            08/03/11

ENZON PHARMACEUTICALS INC               DE       2.02,9.01            08/04/11

EOG RESOURCES INC                       DE       2.02,7.01,9.01       06/30/11

EQUITY ONE, INC.                                 5.07                 05/02/11    AMEND

ERIE INDEMNITY CO                       PA       5.02,8.01,9.01       08/02/11

ERIE INDEMNITY CO                       PA       5.07                 08/02/11    AMEND

ESP Resources, Inc.                     NV       5.03,5.07,9.01       07/29/11

ESSEX PROPERTY TRUST INC                MD       2.02,9.01            06/30/11

ETHAN ALLEN INTERIORS INC               DE       2.02,9.01            08/03/11

Ever-Glory International Group, Inc.    FL       1.01,2.03,9.01       07/29/11

EXELIXIS INC                            DE       2.02,9.01            08/04/11

EXIDE TECHNOLOGIES                      DE       2.02,9.01            08/04/11

EXPRESS, INC.                                    1.01,2.03,9.01       07/29/11

EXTERRAN HOLDINGS INC.                  DE       2.02,9.01            08/04/11

EXTERRAN HOLDINGS INC.                  DE       5.02,9.01            08/03/11

EXTERRAN PARTNERS, L.P.                 DE       2.02,9.01            08/04/11

EXTERRAN PARTNERS, L.P.                 DE       5.02                 08/03/11

FBL FINANCIAL GROUP INC                 IA       2.02                 08/04/11

FEDERAL AGRICULTURAL MORTGAGE CORP               5.02,8.01,9.01       07/31/11

Federal Home Loan Bank of Atlanta       X1       2.03                 08/04/11

Federal Home Loan Bank of Chicago       X1       2.03                 08/01/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            08/02/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            08/02/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            08/04/11

Federal Home Loan Bank of New York      X1       2.03,9.01            08/02/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            08/01/11

Federal Home Loan Bank of San Francis   X1       2.03                 08/01/11

Federal Home Loan Bank of San Francis   X1       5.02                 07/29/11

Federal Home Loan Bank of Seattle                2.03                 08/01/11

Federal Home Loan Bank of Topeka                 2.03,9.01            08/02/11

Feihe International Inc                 UT       1.01,3.02,7.01,9.01  08/01/11

Fibrocell Science, Inc.                 DE       1.01,3.02,9.01       08/03/11

FIDUS INVESTMENT Corp                   MD       2.02,7.01,9.01       08/04/11

First Liberty Power Corp                NV       1.01,9.01            08/03/11

FIRST SOLAR, INC.                       DE       2.02,9.01            08/04/11

FLEETCOR TECHNOLOGIES INC               DE       2.02,9.01            08/04/11

FLUOR CORP                              DE       2.02,9.01            08/04/11

FLUOROPHARMA MEDICAL, INC.              NV       1.01,2.01,3.02,5.01, 05/16/11    AMEND
                                                 5.02,5.03,5.06,9.01
        
FORCE FUELS INC.                                 1.01,3.02,9.01       07/29/11

FORCE PROTECTION INC                    NV       2.02,7.01,9.01       08/04/11

Fortress Investment Group LLC           DE       8.01,9.01            08/04/11

Fortress Investment Group LLC           DE       7.01                 08/04/11

FORTUNE BRANDS INC                      DE       2.02,7.01,9.01       08/04/11

FOSTER L B CO                           PA       2.02,9.01            08/04/11

FOSTER WHEELER AG                       V8       5.07                 08/02/11

FOSTER WHEELER AG                       V8       5.07                 05/03/11    AMEND

Fraternity Community Bancorp Inc        MD       2.02,9.01            08/04/11

FreightCar America, Inc.                DE       2.02,9.01            08/04/11

FS Investment CORP                      MD       2.02,9.01            08/04/11

FSI INTERNATIONAL INC                   MN       5.02                 08/04/11

FSP 303 East Wacker Drive Corp.                  1.01,2.03,7.01,9.01  08/03/11

FSP 50 South Tenth Street Corp                   7.01,9.01            08/04/11

FSP GALLERIA NORTH CORP                          7.01,9.01            08/04/11

FSP PHOENIX TOWER CORP                           7.01,9.01            08/04/11

FULLCIRCLE REGISTRY INC                 NV       1.01,8.01,9.01       08/04/11

FUQI INTERNATIONAL, INC.                DE       5.02,7.01,9.01       07/30/11

FURNITURE BRANDS INTERNATIONAL INC      DE       2.02,9.01            08/03/11

FUSION-IO, INC.                         DE       2.02,7.01,9.01       08/04/11

FUTURES PORTFOLIO FUND L.P.             MD       3.02                 08/01/11

GAMCO INVESTORS, INC. ET AL             NY       8.01                 08/02/11

GAP INC                                 DE       2.02,9.01            08/04/11

GCI INC                                 AK       2.02,9.01            08/03/11

GE Dealer Floorplan Master Note Trust   DE       8.01,9.01            08/03/11

Geeknet, Inc                            DE       2.02,9.01            08/03/11

GENERAL COMMUNICATION INC               AK       2.02,9.01            08/03/11

General Motors Co                                8.01                 08/02/11

General Motors Co                                2.02,9.01            08/04/11

General Motors Financial Company, Inc   TX       2.02,9.01            08/04/11

GENTIVA HEALTH SERVICES INC             DE       2.02,9.01            08/04/11

GEORESOURCES INC                        CO       5.02                 07/29/11

GEORGIA GULF CORP /DE/                  DE       2.02,7.01,9.01       08/03/11

GIBRALTAR INDUSTRIES, INC.              DE       2.02,7.01,9.01       08/03/11

GLOBAL INDUSTRIES LTD                   LA       2.02,9.01            08/03/11

Global Karaoke Network, Inc.            DE       5.03,8.01,9.01       08/03/11

GLOBAL PARTNERS LP                               2.02,7.01,9.01       08/04/11

Global Pharm Holdings Group, Inc.       DE       1.01,2.01,8.01,9.01  08/01/11

Globalstar, Inc.                        DE       2.02,7.01,9.01       08/04/11

GMX RESOURCES INC                       OK       1.01,2.02,9.01       08/02/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 08/04/11

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 07/07/11

GOLDRICH MINING CO                      AK       3.02,7.01,9.01       07/29/11

GOODRICH PETROLEUM CORP                 DE       9.01                 08/03/11

GORMAN RUPP CO                          OH       5.07                 08/04/11    AMEND

GP STRATEGIES CORP                      DE       2.02,9.01            08/04/11

Grand Canyon Education, Inc.            DE       2.02,9.01            08/04/11

GRANITE CONSTRUCTION INC                DE       2.02,9.01            08/03/11

Great American Group, Inc.              DE       1.01,2.03,5.02,9.01  07/26/11

GREAT ATLANTIC & PACIFIC TEA CO INC     MD       7.01,9.01            08/04/11

GREENMAN TECHNOLOGIES INC               DE       2.01,5.03,5.07,7.01, 07/29/11
                                                 9.01
          
GTX INC /DE/                            DE       5.02                 08/04/11

GULFPORT ENERGY CORP                    DE       2.02,9.01            08/04/11

H&E Equipment Services, Inc.            DE       2.02,8.01,9.01       08/04/11

HANSEN NATURAL CORP                     DE       2.02,9.01            08/04/11

HARLAND CLARKE HOLDINGS CORP            DE       2.02,9.01            08/04/11

HAVERTY FURNITURE COMPANIES INC         MD       2.02,9.01            06/30/11

HAWAIIAN ELECTRIC INDUSTRIES INC        HI       2.02,9.01            08/03/11

HAYNES INTERNATIONAL INC                DE       2.02,7.01,9.01       08/04/11

HEALTH CARE REIT INC /DE/               DE       2.02,9.01            08/04/11

HEALTH DISCOVERY CORP                   2Q       5.02                 07/29/11

HEALTH NET INC                          DE       2.02,9.01            08/04/11

HeartWare International, Inc.           DE       2.02,9.01            08/04/11

HENNESSY ADVISORS INC                            2.02,7.01,9.01       08/04/11

HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       2.02,9.01            08/04/11

HERITAGE FINANCIAL CORP /WA/            WA       7.01,9.01            08/03/11

Heron Lake BioEnergy, LLC               MN       1.02                 07/29/11

HERSHA HOSPITALITY TRUST                MD       2.02,9.01            08/03/11

hhgregg, Inc.                           DE       2.02,9.01            08/04/11

HICKORY TECH CORP                       MN       2.02,9.01            08/04/11

Hilltop Holdings Inc.                   MD       1.01,9.01            07/29/11

HOLLOMAN ENERGY CORP                    NV       1.01,9.01            07/29/11

HollyFrontier Corp                      DE       7.01,9.01            08/03/11

Home Federal Bancorp, Inc. of Louisia   LA       2.02,9.01            08/03/11

Homeland Security Capital CORP          DE       1.01,9.01            07/29/11

Homeowners Choice, Inc.                 FL       2.02,9.01            08/04/11

HORNBECK OFFSHORE SERVICES INC /LA      DE       2.02,9.01            08/04/11

Huntsman CORP                           DE       2.02,9.01            08/04/11

IDACORP INC                             ID       2.02,7.01,9.01       08/04/11

IDENTIVE GROUP, INC.                    DE       2.02,9.01            08/04/11

iGo, Inc.                               DE       2.02,5.02,9.01       08/03/11

IKONICS CORP                                     2.02,9.01            08/04/11

IMAGE SENSING SYSTEMS INC               MN       2.02,9.01            08/04/11

IMMERSION CORP                          DE       2.02,9.01            08/04/11

IMMUCOR INC                             GA       8.01,9.01            08/03/11

inContact, Inc.                         DE       2.02,9.01            08/04/11

INFINITY PROPERTY & CASUALTY CORP       OH       2.02,9.01            08/04/11

INFRASTRUCTURE MATERIALS CORP.          DE       5.03,5.07,9.01       07/29/11

INNERWORKINGS INC                                2.02,9.01            08/04/11

INSTITUTIONAL FINANCIAL MARKETS, INC.   MD       5.02                 08/01/11

INTEGRAMED AMERICA INC                  DE       2.02,9.01            07/12/11

INTEGRYS ENERGY GROUP, INC.             WI       2.02,9.01            08/03/11

INTELSAT S.A.                           N4       2.02,9.01            08/04/11

INTERMUNE INC                           DE       2.02,9.01            08/04/11

INTERSECTIONS INC                       DE       8.01,9.01            08/02/11

Interval Leisure Group, Inc.            DE       2.02,8.01,9.01       08/04/11

INTEST CORP                             DE       2.02,9.01            08/03/11

INUVO, INC.                             NV       7.01,9.01            08/04/11

INVESTMENT TECHNOLOGY GROUP INC         DE       2.02,9.01            08/04/11

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       5.02,5.07,9.01       08/03/11

Iowa Renewable Energy, LLC              IA       5.02                 07/29/11

IPASS INC                               DE       2.02,5.02,9.01       07/29/11

IRIDEX CORP                             DE       2.02,9.01            08/04/11

IROBOT CORP                             DE       5.07                 05/25/11    AMEND

ISIS PHARMACEUTICALS INC                DE       2.02,9.01            08/04/11

ITERIS, INC.                            DE       2.01,7.01,9.01       07/29/11

JBI, INC.                               NV       1.01,9.01            07/29/11

K SWISS INC                             DE       2.02,9.01            08/04/11

KAMAN CORP                              CT       2.02,9.01            08/04/11

KENEXA CORP                                      2.02,9.01            08/02/11

Kennedy-Wilson Holdings, Inc.           DE       8.01                 08/02/11

KIMBALL INTERNATIONAL INC               IN       2.02,9.01            08/04/11

KITE REALTY GROUP TRUST                 MD       2.02,9.01            08/04/11

KLA TENCOR CORP                         DE       5.02,8.01,9.01       08/04/11

KNIGHT CAPITAL GROUP, INC.              DE       2.05,7.01,9.01       08/04/11

KNOLOGY INC                             DE       5.03,9.01            07/29/11

Kodiak Oil & Gas Corp                   B0       2.02,9.01            08/04/11

KOHLS Corp                              WI       2.02,9.01            08/04/11

KRAFT FOODS INC                         VA       2.02,9.01            08/04/11

KRAFT FOODS INC                         VA       7.01,9.01            08/04/11

KRAFT FOODS INC                         VA       5.02                 08/03/11

KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       2.02,9.01            08/03/11

La Cortez Energy, Inc.                  NV       8.01                 07/28/11

LAMAR ADVERTISING CO/NEW                DE       2.02,9.01            08/04/11

LANCASTER COLONY CORP                   OH       8.01,9.01            08/04/11

Latitude Solutions, Inc.                NV       5.02                 07/26/11

LAW ENFORCEMENT ASSOCIATES CORP         NV       4.01,9.01            08/01/11

LEAR CORP                               DE       2.02,7.01,9.01       08/04/11

LEGACY RESERVES LP                      DE       2.02,9.01            08/03/11

LEVEL 3 COMMUNICATIONS INC              DE       5.07                 08/04/11

LEVEL 3 COMMUNICATIONS INC              DE       5.07,8.01,9.01       05/19/11    AMEND

LGL GROUP INC                           DE       7.01,9.01            08/04/11

LHC Group, Inc                                   2.02,9.01            08/03/11

LINCOLN ELECTRIC HOLDINGS INC           OH       5.02,9.01            07/29/11

LINKEDIN CORP                           DE       2.02,9.01            08/04/11

LITTELFUSE INC /DE                      DE       2.02,9.01            08/04/11

LOCAL.COM                               DE       1.01,1.02,2.03,9.01  07/29/11

LORILLARD, INC.                         DE       1.01,2.03,9.01       08/01/11

LSB FINANCIAL CORP                      IN       2.02,9.01            08/04/11

M & F WORLDWIDE CORP                    DE       2.02,9.01            08/04/11

MAC-GRAY CORP                           DE       2.02,9.01            08/04/11

Macquarie Infrastructure CO LLC         DE       2.02,9.01            08/03/11

Macy's, Inc.                            DE       2.02,9.01            08/04/11

MAD CATZ INTERACTIVE INC                Z4       2.02,9.01            08/04/11

Main Street Capital CORP                MD       5.02,8.01,9.01       08/03/11

MANAS PETROLEUM Corp                    NV       5.02,9.01            06/01/11

MANNKIND CORP                           DE       2.02,9.01            08/04/11

MAP Pharmaceuticals, Inc.               DE       2.02,9.01            08/04/11

MARCHEX INC                             DE       2.02,9.01            08/04/11

Market Leader, Inc.                     WA       8.01,9.01            08/01/11

Market Leader, Inc.                     WA       2.02,9.01            08/04/11

MAUI LAND & PINEAPPLE CO INC            HI       2.02,9.01            08/03/11

McCormick & Schmicks Seafood Restaura            2.02,9.01            08/04/11

McCormick & Schmicks Seafood Restaura            1.01                 08/02/11

MCG CAPITAL CORP                        DE       2.02,9.01            08/04/11

MCGRATH RENTCORP                        CA       2.02,9.01            08/04/11

MDC HOLDINGS INC                        DE       2.02,7.01,9.01       08/04/11

MEADOWBROOK INSURANCE GROUP INC         MI       2.02,9.01            08/01/11

MEDCATH CORP                            DE       2.01,2.02,9.01       08/01/11

MEDICAL PROPERTIES TRUST INC                     2.02,9.01            08/04/11

MEMC ELECTRONIC MATERIALS INC           DE       1.01                 08/03/11

MEMSIC Inc                                       2.02,9.01            08/04/11

MICROCHIP TECHNOLOGY INC                DE       2.02,9.01            08/04/11

MICROMET, INC.                          DE       2.02,9.01            08/04/11

MICROSTRATEGY INC                       DE       2.02,9.01            08/02/11

MICROSTRATEGY INC                       DE       5.07                 05/09/11    AMEND

MIDAS INC                               DE       2.02                 08/04/11

Midas Medici Group Holdings, Inc.                1.01,2.01,2.03,9.01  07/29/11

MIDDLEFIELD BANC CORP                   OH       2.02,9.01            08/04/11

MIDDLESEX WATER CO                      NJ       2.02,9.01            08/04/11

MIPS TECHNOLOGIES INC                   DE       2.02,9.01            08/04/11

MIPS TECHNOLOGIES INC                   DE       5.02,9.01            08/04/11

MISSION BROADCASTING INC                DE       1.01,9.01            07/29/11

MOBILE MINI INC                         DE       2.02,9.01            08/04/11

MOLINA HEALTHCARE INC                   DE       8.01                 08/04/11

MOMENTA PHARMACEUTICALS INC             DE       2.02,9.01            08/04/11

MSCI Inc.                               DE       2.02,9.01            08/04/11

MTR GAMING GROUP INC                    DE       2.02,9.01            08/04/11

MTS SYSTEMS CORP                        MN       2.02,9.01            08/04/11

MULTI FINELINE ELECTRONIX INC                    2.02,9.01            08/04/11

MULTI FINELINE ELECTRONIX INC                    5.07                 03/09/11    AMEND

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       2.02,9.01            08/04/11

MUTUALFIRST FINANCIAL INC               MD       7.01,9.01            08/03/11

National CineMedia, Inc.                DE       2.02,9.01            08/04/11

NATIONAL HEALTH INVESTORS INC           MD       7.01,9.01            06/30/11

NATIONAL HEALTH INVESTORS INC           MD       2.02,9.01            06/30/11

NATIONAL HEALTH INVESTORS INC           MD       8.01,9.01            08/03/11

National Interstate CORP                OH       2.02,9.01            08/03/11

NATIONAL RETAIL PROPERTIES, INC.        MD       2.02,9.01            08/04/11

NATURAL RESOURCE PARTNERS LP            DE       2.02,7.01,9.01       08/03/11

Natural Resources USA Corp                       5.01,8.01,9.01       08/02/11

NAVISTAR INTERNATIONAL CORP             DE       2.05,2.06            07/29/11

NDB Energy, Inc.                        NV       1.01,2.01,3.02,5.02, 07/29/11
                                                 7.01,9.01
     
Neiman Marcus, Inc.                     DE       2.02,7.01            08/04/11

NEKTAR THERAPEUTICS                     DE       2.02,9.01            08/04/11

NEOPHOTONICS CORP                       DE       2.02,8.01,9.01       08/04/11

NEOPHOTONICS CORP                       DE       5.07                 08/02/11    AMEND

NEOPROBE CORP                           DE       1.01,9.01            08/03/11

Neuralstem, Inc.                        DE       7.01,9.01            08/03/11

NEUROLOGIX INC/DE                       DE       1.01,9.01            08/03/11

NEW AMERICA ENERGY CORP.                NV       1.01,9.01            08/03/11

NEXSTAR BROADCASTING GROUP INC          DE       1.01,9.01            07/29/11

NON INVASIVE MONITORING SYSTEMS INC /   FL       1.01                 07/29/11

NORDSTROM INC                           WA       7.01,9.01            08/04/11

NORTHSTAR REALTY                                 2.02,9.01            08/04/11

NORTHWEST BANCORPORATION INC            WA       2.02,9.01            08/04/11

NOVATEL WIRELESS INC                    DE       2.01,9.01            08/04/11

NRG ENERGY, INC.                        DE       2.02,9.01            08/04/11

Obagi Medical Products, Inc.            DE       2.02,9.01            06/30/11

Oculus Innovative Sciences, Inc.        CA       2.02,9.01            08/04/11

OCWEN FINANCIAL CORP                    FL       2.02,9.01            08/04/11

OGE ENERGY CORP.                        OK       2.02,9.01            08/04/11

Oiltanking Partners, L.P.               DE       5.02,9.01            08/04/11

OKLAHOMA GAS & ELECTRIC CO              OK       2.02,9.01            08/04/11

OLD NATIONAL BANCORP /IN/               IN       1.01,2.01,9.01       07/29/11

OLD SECOND BANCORP INC                  DE       8.01,9.01            08/02/11

OLYMPIC STEEL INC                       OH       2.02,9.01            08/04/11

OM GROUP INC                            DE       2.02,9.01            08/04/11

OM GROUP INC                            DE       1.01,1.02,2.01,2.03, 08/02/11
                                                 9.01
          
OMEGA HEALTHCARE INVESTORS INC          MD       2.02,9.01            08/04/11

OMEGA PROTEIN CORP                      NV       2.02,9.01            08/03/11

ONCOGENEX PHARMACEUTICALS, INC.         DE       2.02,9.01            08/04/11

ONLINE RESOURCES CORP                   DE       2.02,9.01            08/04/11

ONVIA INC                               DE       2.02,9.01            08/04/11

OPNEXT INC                                       2.02,9.01            08/04/11

OPTIMER PHARMACEUTICALS INC                      2.02,9.01            08/04/11

ORBIT INTERNATIONAL CORP                DE       1.01                 08/01/11

ORION ENERGY SYSTEMS, INC.              WI       2.02,9.01            08/04/11

Orion Marine Group Inc                           2.02,9.01            08/04/11

ORMAT TECHNOLOGIES, INC.                DE       2.02,9.01            08/04/11

OUTDOOR CHANNEL HOLDINGS INC                     2.02,9.01            08/04/11

OVERLAND STORAGE INC                    CA       5.02,9.01            07/29/11

Oxford Resource Partners LP             DE       2.02,9.01            08/04/11

PACIFIC BIOSCIENCES OF CALIFORNIA INC            2.02,9.01            08/04/11

Pacific Ethanol, Inc.                   DE       1.01,1.02,2.03,3.02, 08/03/11
                                                 9.01
          
PACIFIC GAS & ELECTRIC Co               CA       2.02,7.01,9.01       08/04/11

PACIFICHEALTH LABORATORIES INC          DE       2.02,9.01            08/04/11

PAIN THERAPEUTICS INC                   DE       1.01,9.01            08/04/11

PAIN THERAPEUTICS INC                   DE       2.02,9.01            08/04/11    AMEND

PARKER DRILLING CO /DE/                 DE       2.02,9.01            08/04/11

PARKWAY PROPERTIES INC                  MD       8.01,9.01            07/12/11

PARLUX FRAGRANCES INC                   DE       2.02,9.01            08/04/11

PC CONNECTION INC                       DE       2.02,9.01            08/04/11

PEABODY ENERGY CORP                     DE       1.01,8.01,9.01       07/29/11

Pebblebrook Hotel Trust                 MD       1.01,2.01,7.01,9.01  07/29/11

PENN VIRGINIA CORP                      VA       2.02,7.01,9.01       08/03/11

PENN VIRGINIA CORP                      VA       1.01,1.02,2.03,7.01, 08/02/11
                                                 9.01
          
PennantPark Floating Rate Capital Ltd            7.01                 08/04/11

PennantPark Floating Rate Capital Ltd            2.02,9.01            08/04/11

PENSON WORLDWIDE INC                    DE       1.01,2.02,5.02,9.01  08/04/11

PERFICIENT INC                          DE       2.02,9.01            08/04/11

PERKINELMER INC                         MA       2.02,9.01            08/04/11

PERMA FIX ENVIRONMENTAL SERVICES INC    DE       2.02,9.01            08/04/11

Pet Airways Inc.                        IL       5.03,5.07,8.01,9.01  07/27/11

PETROHAWK ENERGY CORP                   DE       8.01,9.01            08/04/11

PETROLEUM DEVELOPMENT CORP              NV       2.02,7.01,9.01       08/03/11

PETROQUEST ENERGY INC                   DE       2.02                 08/04/11

PG&E CORP                               CA       2.02,7.01,9.01       08/04/11

PharMerica CORP                         DE       2.02,9.01            08/04/11

PHOENIX COMPANIES INC/DE                DE       2.02,9.01            08/04/11

PHOENIX COMPANIES INC/DE                DE       2.02,9.01            08/04/11

PHYSICIANS FORMULA HOLDINGS, INC.       DE       2.02,7.01,9.01       08/04/11

PINNACLE AIRLINES CORP                  DE       2.02,9.01            08/04/11

PINNACLE ENTERTAINMENT INC.             DE       1.01,9.01            07/29/11

PINNACLE ENTERTAINMENT INC.             DE       1.01,2.01,2.03,9.01  08/02/11

PIONEER DRILLING CO                     TX       2.02,9.01            08/04/11

PITNEY BOWES INC /DE/                   DE       2.02,9.01            08/04/11

PLAINS EXPLORATION & PRODUCTION CO      DE       2.02,7.01,9.01       08/04/11

PMI GROUP INC                           DE       2.02,8.01,9.01       08/04/11

POWELL INDUSTRIES INC                   NV       2.02,9.01            08/02/11

POWERSECURE INTERNATIONAL, INC.         DE       2.02,9.01            08/04/11

POWERWAVE TECHNOLOGIES INC              DE       2.02,9.01            08/04/11

PPL Corp                                         2.05                 06/16/11    AMEND

PREFERRED APARTMENT COMMUNITIES INC     MD       7.01,9.01            08/04/11

Prestige Brands Holdings, Inc.                   2.02,5.07,7.01,9.01  08/02/11

PROFESSIONAL VETERINARY PRODUCTS LTD    NE       7.01,9.01            08/04/11

PROGRESS ENERGY INC                     NC       2.02,9.01            08/04/11

PROS Holdings, Inc.                     DE       2.02,9.01            08/04/11

PROSPER MARKETPLACE INC                 DE       8.01,9.01            08/03/11

PROTECTIVE LIFE CORP                    DE       2.02,9.01            08/03/11

PS BUSINESS PARKS INC/CA                CA       2.02,9.01            08/03/11

Pulse Beverage Corp                     NV       5.07,9.01            07/29/11

QC Holdings, Inc.                       KS       2.02,8.01,9.01       07/29/11

QUALITY SYSTEMS, INC                    CA       2.02,9.01            07/28/11    AMEND

RACKSPACE HOSTING, INC.                          2.02,9.01            08/04/11

RAND CAPITAL CORP                       NY       2.02,9.01            08/04/11

RAPTOR NETWORKS TECHNOLOGY INC                   2.01                 08/01/11

RBC Bearings INC                                 2.02,9.01            08/04/11

REALPAGE INC                            DE       2.02,9.01            08/04/11

REDWOOD TRUST INC                       MD       2.02,7.01,9.01       08/04/11

REGENCY CENTERS CORP                    FL       2.02,5.02,9.01       08/03/11

Regency Energy Partners LP              DE       2.02,7.01,9.01       08/04/11

REGENERX BIOPHARMACEUTICALS INC         DE       5.02                 08/03/11

RELIANCE STEEL & ALUMINUM CO            CA       8.01,9.01            08/02/11

RENTRAK CORP                            OR       2.02,9.01            08/04/11

REPROS THERAPEUTICS INC.                DE       8.01,9.01            08/03/11

REPROS THERAPEUTICS INC.                DE       5.02,9.01            08/01/11

RES CARE INC /KY/                       KY       2.02,9.01            08/04/11

RESMED INC                              DE       2.02,9.01            08/04/11

Rhino Resource Partners LP              DE       1.01,2.03,9.01       07/29/11

RIGEL PHARMACEUTICALS INC               DE       2.02,9.01            08/02/11

ROBERTSON GLOBAL HEALTH SOLUTIONS COR   NV       1.01,9.01            08/01/11

ROCKWELL MEDICAL TECHNOLOGIES INC       MI       2.02,9.01            08/04/11

ROFIN SINAR TECHNOLOGIES INC            DE       2.02,9.01            06/30/11

ROSETTA STONE INC                                2.02,7.01,9.01       08/04/11

ROSS STORES INC                         DE       2.02,9.01            08/04/11

Rubicon Technology, Inc.                DE       2.02,9.01            08/04/11

SABINE ROYALTY TRUST                    TX       2.02,9.01            08/03/11

SAGA COMMUNICATIONS INC                 DE       2.02,9.01            08/04/11

SAGE FUND LP                            MD       3.02                 08/01/11

SAKS INC                                TN       7.01,9.01            08/04/11

SALEM COMMUNICATIONS CORP /DE/          DE       2.02,7.01,9.01       06/30/11

Sally Beauty Holdings, Inc.                      2.02,7.01,9.01       08/04/11

SALLY HOLDINGS LLC                      DE       2.02,7.01,9.01       08/04/11

SANDRIDGE ENERGY INC                    DE       2.02,9.01            08/04/11

SAPIENT CORP                            DE       2.02,9.01            08/04/11

SAUL CENTERS INC                        MD       2.02,9.01            08/03/11

SCANA CORP                              SC       2.02,9.01            08/04/11

SCIQUEST INC                            DE       2.02,9.01            08/04/11

SeaBright Holdings, Inc.                DE       2.02,9.01            08/04/11

SEATTLE GENETICS INC /WA                DE       2.02,9.01            08/04/11

Select Notes Trust LT 2004-1            DE       8.01,9.01            08/01/11

SEQUENOM INC                            DE       2.02,9.01            08/04/11

SERENA SOFTWARE INC                     DE       5.02,9.01            07/31/11

SIGNATURE GROUP HOLDINGS INC            NV       5.02,9.01            08/04/11    AMEND

Silver Dragon Resources Inc.            DE       5.03,9.01            08/04/11

SILVERADO GOLD MINES LTD                A1       5.02                 07/31/11

SilverSun Technologies, Inc.            DE       7.01,9.01            08/04/11

Sino Gas International Holdings, Inc.   UT       5.02                 07/31/11

Six Flags Entertainment Corp                     8.01,9.01            08/04/11

SKYSTAR BIO-PHARMACEUTICAL CO           NV       5.02,9.01            07/29/11

SMART BALANCE, INC.                     DE       2.02,9.01            08/04/11

SOCKET MOBILE, INC.                     DE       8.01,9.01            08/03/11

SOLAZYME INC                            DE       2.02,9.01            08/04/11

Sono Resources, Inc.                    NV       7.01,9.01            08/04/11

SOUTHERN CALIFORNIA EDISON CO           CA       2.02,9.01            08/04/11

SOUTHWEST AIRLINES CO                   TX       2.02,9.01            06/30/11

SOUTHWEST GAS CORP                      CA       5.02,5.03            08/04/11

SOVRAN SELF STORAGE INC                 MD       2.02,9.01            08/03/11

SPARTON CORP                            OH       5.02,9.01            07/29/11

Spectra Energy Partners, LP             DE       2.02,9.01            08/04/11

SPECTRUM GROUP INTERNATIONAL, INC.      NY       5.02                 08/01/11

SPECTRUM PHARMACEUTICALS INC            DE       2.02,9.01            08/04/11

Spirit AeroSystems Holdings, Inc.       DE       2.02,9.01            08/04/11

SquareTwo Financial Corp                DE       8.01,9.01            08/04/11

SRS LABS INC                            DE       2.02,9.01            08/04/11

STANLEY BLACK & DECKER, INC.            CT       7.01,9.01            08/04/11

State Auto Financial CORP               OH       1.01,2.02,7.01,8.01, 07/27/11
                                                 9.01
          
STEINWAY MUSICAL INSTRUMENTS INC        DE       2.02,9.01            08/04/11

STRATEGIC HOTELS & RESORTS, INC                  2.02,9.01            08/03/11

STRATTEC SECURITY CORP                  WI       1.01,2.03,9.01       08/01/11

STRUCTURED PRODUCTS CORP CORTS TR FOR   DE       8.01,9.01            08/01/11

STRUCTURED PRODUCTS CORP CORTS TR FOR   DE       8.01,9.01            08/01/11

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            08/01/11

STRUCTURED PRODUCTS CORPTIERS PRINC P   DE       8.01,9.01            08/01/11

SUBURBAN PROPANE PARTNERS LP            DE       2.02,9.01            08/04/11

Sucampo Pharmaceuticals, Inc.                    2.02,9.01            08/04/11

SUNOCO INC                              PA       2.02,7.01,9.01       08/04/11

SUNRISE SENIOR LIVING INC               DE       2.02,9.01            08/03/11

SUPREME INDUSTRIES INC                  DE       5.02,9.01            08/01/11

SWIFT ENERGY CO                                  2.02,9.01            08/04/11

SXC Health Solutions Corp.              A6       2.02                 08/04/11

Symmetry Medical Inc.                   DE       5.02,8.01,9.01       08/03/11

TALEO CORP                              DE       8.01                 08/04/11

TALEO CORP                              DE       2.02,9.01            08/04/11

TALON INTERNATIONAL, INC.               DE       5.03,9.01            08/02/11

TANGOE INC                                       3.02,5.03,9.01       08/01/11

TARGACEPT INC                                    2.02,9.01            08/04/11

TECO ENERGY INC                         FL       2.02,9.01            08/04/11

TECUMSEH PRODUCTS CO                    MI       2.02,9.01            08/04/11

TEJON RANCH CO                          DE       2.02,9.01            08/03/11

TEJON RANCH CO                          DE       5.07                 08/03/11    AMEND

TEKELEC                                 CA       2.02,9.01            08/04/11

TELEFLEX INC                            DE       5.02                 07/29/11

TERADATA CORP /DE/                               2.02,7.01,9.01       08/04/11

TERRA NITROGEN CO L P /DE               DE       2.02,9.01            08/04/11

Terreno Realty Corp                     MD       9.01                 05/20/11    AMEND

Territorial Bancorp Inc.                MD       8.01,9.01            08/04/11

Territorial Bancorp Inc.                MD       8.01,9.01            08/04/11

TESORO CORP /NEW/                       DE       2.02,9.01            08/03/11

TESORO CORP /NEW/                       DE       7.01,9.01            08/04/11

TETRA TECH INC                          DE       2.02,9.01            08/03/11

THERMOGENESIS CORP                      DE       5.02                 07/29/11

Thermon Holding Corp.                   DE       2.02,9.01            08/04/11

THESTREET, INC.                         DE       2.02,9.01            08/03/11

TICC Capital Corp.                      MD       2.02,9.01            08/04/11

TICC Capital Corp.                      MD       8.01,9.01            08/04/11

TIDELANDS BANCSHARES INC                         2.02,9.01            08/04/11

TIMBERLAND CO                           DE       2.02,9.01            08/04/11

Tirex CORP                                       3.02                 08/01/11

TORCH ENERGY ROYALTY TRUST              DE       1.01,9.01            08/01/11

Tower International, Inc.               DE       2.02,7.01,9.01       08/04/11

TPC Group Inc.                          DE       5.07                 06/08/11    AMEND

TRANSCEND SERVICES INC                  DE       2.02,9.01            08/04/11

Transocean Ltd.                         V8       5.02                 08/04/11

Travelport LTD                          D0       2.02,5.02,9.01       08/02/11

TREDEGAR CORP                           VA       2.02,9.01            08/04/11

TreeHouse Foods, Inc.                   DE       2.02,7.01,9.01       08/04/11

TTM TECHNOLOGIES INC                    WA       2.02,9.01            08/04/11

TUTOR PERINI Corp                       MA       2.02,9.01            08/04/11

TWO RIVERS WATER Co                     CO       7.01                 08/03/11

TYSON FOODS INC                         DE       5.02                 08/03/11

U S PHYSICAL THERAPY INC /NV            NV       2.02,8.01            08/04/11

UFP TECHNOLOGIES INC                    DE       2.02,9.01            08/03/11

UGI CORP /PA/                           PA       7.01,9.01            08/04/11

UIL HOLDINGS CORP                       CT       2.02,5.07,7.01,9.01  08/04/11

ULTRALIFE CORP                          DE       2.02,9.01            08/04/11

UNION DRILLING INC                      DE       1.01,2.03            08/01/11    AMEND

UNION DRILLING INC                      DE       5.07                 08/02/11    AMEND

UNISOURCE ENERGY CORP                   AZ       2.02,9.01            08/04/11

UNIVERSAL CORP /VA/                     VA       2.02,8.01,9.01       08/04/11

UNIVERSAL ELECTRONICS INC               DE       2.02,9.01            08/04/11

UWHARRIE CAPITAL CORP                   NC       2.02,9.01            08/04/11

Valeant Pharmaceuticals International   A6       2.02,9.01            08/04/11

VALHI INC /DE/                          DE       2.02,7.01,9.01       08/04/11

Vanda Pharmaceuticals Inc.              DE       2.02,9.01            08/04/11

Vanguard Natural Resources, LLC         DE       2.02,7.01,9.01       08/04/11

Vantage Drilling CO                     E9       2.02,9.01            08/03/11

VECTOR GROUP LTD                        DE       2.02,9.01            08/04/11

VECTREN CORP                            IN       2.02                 08/04/11

VENTAS INC                              DE       2.02,9.01            08/04/11

Vera Bradley, Inc.                               5.02,9.01            07/29/11

VERMILLION, INC.                        DE       1.01,2.02,8.01,9.01  08/04/11

VIKING SYSTEMS INC                      DE       2.02,9.01            08/04/11

VISTEON CORP                            DE       2.02,7.01,9.01       08/04/11

VISTEON CORP                            DE       8.01,9.01            08/04/11

VIVUS INC                               CA       2.02,9.01            08/01/11

VYCOR MEDICAL INC                       DE       1.01,3.02,9.01       07/31/11

Walter Energy, Inc.                     DE       7.01,9.01            08/04/11

Warner Music Group Corp.                DE       1.01,2.02,2.03,7.01, 08/02/11
                                                 9.01
          
WEINGARTEN REALTY INVESTORS /TX/        TX       2.02,9.01            08/02/11

WEST PHARMACEUTICAL SERVICES INC        PA       5.02                 08/04/11

WESTAR ENERGY INC /KS                   KS       2.02,7.01,9.01       08/04/11

Western Refining, Inc.                  DE       2.02,9.01            08/04/11

WESTWOOD ONE INC /DE/                   DE       1.01,5.07,9.01       07/30/11

WILLIAMS COMPANIES INC                  DE       2.02,9.01            08/03/11

WILLIS GROUP HOLDINGS PLC               L2       2.02,9.01            08/03/11

WINN DIXIE STORES INC                   FL       2.02,9.01            08/01/11

WIRELESS RONIN TECHNOLOGIES INC         MN       1.01,2.03,9.01       07/29/11

WORLD ACCEPTANCE CORP                   SC       5.07                 08/03/11

WORLD HEART CORP                        DE       7.01,9.01            08/03/11

WORLD WRESTLING ENTERTAINMENTINC        DE       2.02,9.01            08/04/11

WORLDWIDE ENERGY & MANUFACTURING USA    CO       1.01,4.02,9.01       07/30/11

X RITE INC                              MI       2.02,7.01,9.01       08/04/11

XATA CORP /MN/                          MN       2.02,9.01            08/04/11

Xenith Bankshares, Inc.                 VA       1.01,2.01,8.01,9.01  07/29/11

XO GROUP INC.                           DE       2.02,9.01            08/04/11

XXX Acquisition Corp.                   NV       1.01,2.01,5.01,5.06, 07/31/11
                                                 9.01
          
YRC Worldwide Inc.                      DE       5.02                 07/29/11

ZEBRA TECHNOLOGIES CORP                          2.02,9.01            08/04/11

ZION OIL & GAS INC                      DE       4.01,9.01            08/01/11

http://www.sec.gov/news/digest/2011/dig080511.htm