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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Seven Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 16, 2012 and terminating at 11:59 p.m. EDT on May 30, 2012.
The Commission temporarily suspended trading in the securities of these seven issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66995) Securities and Exchange Commission Suspends Trading in the Securities of Six Issuers For Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 16, 2012 and terminating at 11:59 p.m. EDT on May 30, 2012.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-66997) SEC Charges U.S. Perpetrators in $35 Million International Boiler Room SchemeThe Securities and Exchange Commission today charged a Hawaii resident and two firms he used to orchestrate a scheme in which he covertly founded small companies, installed management, and recruited overseas boiler rooms that pressured investors into buying their stock while he pocketed more than $2 million in consulting fees from proceeds of the fraudulent stock sales. The SEC alleges that Nicholas Louis Geranio worked behind the scenes to create eight U.S.-based companies used to raise money through the sale of Regulation S stock, which is exempt from SEC registration under the securities laws because it is offered solely to investors located outside the United States. Geranio handpicked the management for the companies, primarily Keith Michael Field of Sherman Oaks, Calif., who served as an officer, director, or investor relations representative for each company and also is charged in the SEC’s complaint. Geranio then set up consulting arrangements through his firms — The Good One Inc. and Kaleidoscope Real Estate Inc. — so he could instruct management on how to run the companies and raise money offshore. Geranio extracted consulting fees from the companies, which generally had few or no employees, little or no office space, and no sales or customers. The SEC alleges that Field drafted misleading business plans, marketing materials, and website information about the companies that were provided to investors as part of fraudulent solicitation efforts by teams of telemarketers operating in boiler rooms that Geranio recruited primarily in Spain. The boiler rooms used high-pressure sales tactics and false statements about the companies to raise more than $35 million from investors. Meanwhile, Geranio instructed Field and others to buy and sell shares in some of the companies to create an illusion of trading activity and manipulate upwards the price of the publicly-traded stock. “Geranio covertly set up companies and manipulated the market for their stock to profit from aggressive offshore boiler room activity,” said Stephen L. Cohen, Associate Director in the SEC’s Division of Enforcement. “Geranio pulled the strings while Field scripted the show for the boiler rooms to bring a payday to everyone but the investors.” According to the SEC’s complaint filed in the U.S. District Court for the Central District of California, Geranio was the subject of a previous SEC enforcement action in 2000. In his latest misconduct, he concealed his role from investors and the public at all times by acting through The Good One and Kaleidoscope. The scheme lasted from April 2007 to September 2009. Geranio began by locating and acquiring shell companies to create the issuers used in the scheme: Blu Vu Deep Oil & Gas Exploration Inc., Green Energy Live Inc., Microresearch Corp., Mundus Group Inc., Power Nanotech Inc., Spectrum Acquisition Holdings Inc., United States Oil & Gas Corp., and Wyncrest Group Inc. Geranio then appointed management for these companies, in some cases turning to business associates, friends, or others. For example, the former CEO of Blu Vu was someone Geranio met while kite surfing in Malibu. According to the SEC’s complaint, Geranio worked behind the scenes to keep the companies’ publicly-traded shares trading at prices conducive to the boiler room sales. He did this by directing Field, personal friends, and others to open accounts and buy or sell shares in at least five of the companies as part of matched orders and manipulative trades that created the false impression of active trading and market value in these stocks. The manipulative trades allowed the boiler rooms to sell the Regulation S shares to overseas investors at higher prices. The SEC alleges that boiler room representatives recruited by Geranio induced investors by using aggressive techniques consistent with boiler room activity. For instance, they promised immediate and substantial investment returns, convinced investors that they needed to purchase the shares immediately or miss the grand opportunity altogether, and threatened legal action if an investor did not agree to purchase shares that the representatives believed the investor had already agreed to purchase. The boiler rooms also used “advance fee” solicitations, telling investors that only if they purchased shares in one of these companies would the boiler room agree to sell their other shares. Many of the investors were elderly and living in the United Kingdom. According to the SEC’s complaint, investors were directed to pay for their Regulation S stock by sending money to U.S.-based escrow agents. As arranged by Geranio, the escrow agents paid 60 to 75 percent of the approximately $35 million raised from investors to the boiler rooms as their sales markups, kept 2.5 percent as their own fee, and paid the remaining proceeds back to the companies that Geranio created. The companies (or in some cases the escrow agents) then funneled approximately $2.135 million of the proceeds back to Geranio through The Good One and Kaleidoscope in the form of consulting fees, and paid Field approximately $279,000. The SEC alleges that Geranio also assisted in diverting $240,000 in investor funds toward an undisclosed down payment on a property to start a Hawaiian wedding planning company. The SEC’s complaint alleges that Geranio, Field, The Good One and Kaleidoscope violated Sections 17(a)(1) and (3) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rules 10b-5(a) and (c) thereunder. The complaint alleges that Field also violated Section 17(a)(2) of the Securities Act and aided and abetted the companies’ violations of Section 10(b) of the Exchange Act and Rule 10b-5(b) thereunder, and Geranio is liable as a control person of The Good One and Kaleidoscope under Exchange Act Section 20(a). The SEC is seeking financial penalties, disgorgement of ill-gotten gains plus prejudgment interest, penny stock bars, and permanent injunctions against all of the defendants, as well as officer and director bars against Geranio and Field. The complaint seeks disgorgement and prejudgment interest against relief defendant BWRE Hawaii LLC based on its alleged receipt of investor funds. The SEC's investigation, which is continuing, has been conducted by Ricky Sachar, Carolyn Kurr, and Wendy Kong under the supervision of Josh Felker with assistance from Jim Daly in the Office of International Affairs. Richard Simpson will lead the litigation. The SEC acknowledges the assistance of the City of London Police, Macedonian Securities and Exchange Commission, Macedonian Public Prosecutor, Lithuanian Securities Commission, Australian Securities and Investments Commission, Comision Nacional del Mercado de Valores (Spain), and Financial Market Supervisory Authority (Switzerland). More information about boiler room schemes: http://www.sec.gov/investor/pubs/coldcall.htm and http://www.sec.gov/investor/pubs/worthless.htm SEC PAUSE list of unregistered soliciting entities that have been the subject of investor complaints: http://www.sec.gov/investor/oiepauselist.htm (Press Rel. 2012-93) Enforcement proceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In these Orders, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66996; File No. 3-14881) Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with these trading suspensions, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-66998; File No. 3-14882) Revocation of Registration of Securities of Worldwide Energy and Manufacturing USA, Inc.The Securities and Exchange Commission announced the revocation of the registration of the securities of Worldwide Energy and Manufacturing USA, Inc. (“WEMU”), a Colorado corporation, registered with the Commission pursuant to Section 12 of the Securities Exchange Act of 1934 (“Exchange Act”), on May 16, 2012, pursuant to Section 12(j) of the Exchange Act. In its Order revoking the registration of securities of WEMU registered with the Commission pursuant to Section 12 of the Exchange Act, the Commission found that WEMU has failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder by failing to file an annual report on Form 10-K since April 2010, and failing to file quarterly reports on Form 10-Q for any fiscal period subsequent to its fiscal quarter ending September 30, 2010. WEMU has also announced it will need to amend its financial statements going back two years, from its 2009 Form 10-K forward. The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the Company. Further, brokers and dealers should be alert to the fact that Section 12(j) provides, in pertinent part, as follows:
Without admitting or denying the findings in the Order Instituting Proceedings Pursuant to Section 12(j) of the Securities Exchange Act of 1934, Making Findings, and Revoking Registration of Securities, WEMU consented to the entry of an order finding that it has failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder, and revoking the registration of each class of WEMU’s securities registered with the Commission pursuant to Section 12 of the Exchange Act. (Rel. 34-66999; File No. 3-14883) Self-Regulatory OrganizationsApproval of Proposed Rule ChangeThe Commission has approved a proposed rule change (SR-FICC-2012-03) filed by the Fixed Income Clearing Corporation (FICC) under Section 19(b)(2) of the Securities Exchange Act of 1934 relating to the expansion of the one-pot cross-margining program with New York Portfolio Clearing, LLC to certain “market professionals.” Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66989) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-62) to PSX Rule 3301(f)(8) concerning the processing of the Price to Comply Order has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66992) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2012-63) to establish a direct market data product, PHLX Orders, has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66993) A proposed rule change filed by New York Stock Exchange LLC (SR-NYSE-2012-12) amending Sections 102.01C and 103.01B of the Exchange’s Listed Company Manual to permit the listing of emerging growth companies on the basis of two years of reported financial data has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 14. (Rel. 34-66994) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 Intelligent Highway Solutions, Inc., 8 LIGHT SKY COURT, SACRAMENTO, CA, 95828, 916-379-0324 - 675,000 ($168,750.00) Equity, (File 333-181405 - May. 15) (BR. 11) S-3 QUESTAR GAS CO, 333 SOUTH STATE STREET, P.O. BOX 45433, SALT LAKE CITY, UT, 84145-0433, 8013245555 - 0 ($250,000,000.00) Debt, (File 333-181406 - May. 15) (BR. 02C) F-3 SouFun Holdings Ltd, 8TH FLOOR, TOWER 3, XIHUAN PLAZA, NO. 1 XIZHIMENWAI AVENUE, XICHENG DISTRICT, BEIJING, F4, 100044, (011-86) 10 59306668 - 0 ($1,031,056,006.00) ADRs/ADSs, (File 333-181407 - May. 15) (BR. 03A) S-3 Maiden Holdings, Ltd., SCHRODERS HOUSE, 131 FRONT STREET, HAMILTON, D0, HM 12, (441) 295-5225 - 300,000,000 ($300,000,000.00) Equity, (File 333-181408 - May. 15) (BR. 01B) S-1 SIMPLE PRODUCTS CORP, 138 EAST 12300 SOUTH, SUITE C-165, DRAPER, UT, 84020, 801-553-8886 - 1,925,000 ($3,850,000.00) Equity, (File 333-181414 - May. 15) (BR. 02) S-3ASR FNB CORP/FL/, F.N.B. CORPORATION, ONE F.N.B. BOULEVARD, HERMITAGE, PA, 16148, 724-981-6000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-181418 - May. 15) (BR. 07C) S-8 MARKEL CORP, 4521 HIGHWOODS PARKWAY, GLEN ALLEN, VA, 23060-3382, 8047470136 - 150,000 ($66,241,500.00) Equity, (File 333-181419 - May. 15) (BR. 01B) F-9 SUNCOR ENERGY INC, 112 4TH AVENUE SW PO BOX 38, CALGARY, ALBERTA CANADA, A0, T2P 2V5, 4032698100 - 0 ($2,000,000,000.00) Debt, (File 333-181421 - May. 15) (BR. 04B) S-8 OVERSTOCK.COM, INC, 6350 SOUTH 3000 EAST, SALT LAKE CITY, UT, 84121, 8019473100 - 0 ($17,075,000.00) Equity, (File 333-181422 - May. 15) (BR. 02A) S-1 Ocean Electric Inc., 112 NORTH CURRY STREET, CARSON CITY, NV, 89703, 775-321-8216 - 45,000,000 ($13,500,000.00) Equity, (File 333-181423 - May. 15) (BR. 05B) S-8 Oconee Federal Financial Corp., 115 E. NORTH SECOND STREET, SENECA, SC, 29678, (864) 882-2765 - 435,472 ($5,178,232.00) Equity, (File 333-181424 - May. 15) (BR. 07B) S-8 ON ASSIGNMENT INC, 26651 WEST AGOURA ROAD, CALABASAS, CA, 91302, 8188787900 - 825,327 ($13,279,511.43) Equity, (File 333-181426 - May. 15) (BR. 11A) S-8 VOXX International Corp, 180 MARCUS BLVD, HAUPPAUGE, NY, 11788, 6312317750 - 22,500 ($278,100.00) Equity, (File 333-181427 - May. 15) (BR. 10B) S-8 ANADARKO PETROLEUM CORP, 1201 LAKE ROBBINS DRIVE, THE WOODLANDS, TX, 77380-1046, 832-636-3276 - 30,000,000 ($2,083,500,000.00) Equity, (File 333-181429 - May. 15) (BR. 04B) S-8 ACCO BRANDS CORP, 300 TOWER PARKWAY, LINCOLNSHIRE, IL, 60069, 847-484-4800 - 10,400,000 ($104,312,000.00) Equity, (File 333-181430 - May. 15) (BR. 05A) S-3 Westinghouse Solar, Inc., 1475 S. BASCOM AVE., SUITE 101, CAMPBELL, CA, 95008-0528, 408-402-9400 - 1,900,000 ($655,500.00) Equity, (File 333-181431 - May. 15) (BR. 06C) S-8 LEGGETT & PLATT INC, NO. 1 LEGGETT ROAD, CARTHAGE, MO, 64836, (417) 358-8131 - 0 ($220,420,000.00) Equity, (File 333-181432 - May. 15) (BR. 06A) S-8 AXIS CAPITAL HOLDINGS LTD, 92 PITTS BAY ROAD, PEMBROKE, D0, HM 08, (441) 496-2600 - 0 ($207,540,000.00) Equity, (File 333-181433 - May. 15) (BR. 01A) S-3ASR ARENA PHARMACEUTICALS INC, 6166 NANCY RIDGE DR, SAN DIEGO, CA, 92121, 8584537200 - 0 ($0.00) Equity, (File 333-181434 - May. 15) (BR. 01B) S-8 DELUXE CORP, 3680 VICTORIA STREET NORTH, SHOREVIEW, MN, 55126, 6514837111 - 5,000,000 ($118,000,000.00) Equity, (File 333-181435 - May. 15) (BR. 05A) S-8 UNITED PARCEL SERVICE INC, 55 GLENLAKE PARKWAY NE, ATLANTA, GA, 30328, 4048286000 - 0 ($3,136,998,254.00) Equity, (File 333-181436 - May. 15) (BR. 05C) S-1 FIRST COMMUNITY CORP /SC/, 5455 SUNSET BLVD, LEXINGTON, SC, 29072, 8032538875 - 0 ($14,375,000.00) Equity, (File 333-181437 - May. 15) (BR. 07B) S-8 TG THERAPEUTICS, INC., 787 SEVENTH AVENUE, NEW YORK, NY, 10019, (212) 554-4484 - 6,000,000 ($8,520,000.00) Equity, (File 333-181439 - May. 15) (BR. 01B) S-1 Dignyte, Inc., 605 WEST KNOX ROAD, SUITE 202, TEMPE, AZ, 85284, 480-588-3337 - 15,000,000 ($1,500,000.00) Equity, (File 333-181440 - May. 15) (BR. ) S-8 Western Asset Mortgage Capital Corp, 385 EAST COLORADO BOULEVARD, PASADENA, CA, 91101, 626-844-9400 - 0 ($4,829,765.28) Equity, (File 333-181441 - May. 15) (BR. 08A) S-8 DDR CORP, 3300 ENTERPRISE PARKWAY, BEACHWOOD, OH, 44122, 2167555500 - 0 ($140,562,948.50) Equity, (File 333-181442 - May. 15) (BR. 08B) S-3 CLEAN DIESEL TECHNOLOGIES INC, 4567 TELEPHONE ROAD, SUITE 100, VENTURA, CA, 93003, 805 639 9458 - 0 ($50,000,000.00) Equity, (File 333-181443 - May. 15) (BR. 06C) S-1 Blue Fire Equipment Corp, 1113 VINE STREET, SUITE 148, HOUSTON, TX, 77002, 866-713-3700 - 7,500,000 ($75,000.00) Equity, (File 333-181444 - May. 15) (BR. ) S-8 Huron Consulting Group Inc., 550 WEST VAN BUREN STREET, CHICAGO, IL, 60607, (312) 583-8700 - 1,398,204 ($46,434,354.84) Equity, (File 333-181445 - May. 15) (BR. 08B) S-1 SPINDLE, INC., 6821 E. THOMAS ROAD, SCOTTSDALE, AZ, 85251, (480) 335-7351 - 15,000,000 ($1,500,000.00) Equity, (File 333-181446 - May. 15) (BR. 02A) S-8 DTS, INC., 5220 LAS VIRGENES ROAD, CALABASAS, CA, 91302, 818 436-1000 - 0 ($40,437,984.79) Equity, (File 333-181447 - May. 15) (BR. 03A) S-1 US-TIANXIA SOFTWARE TECHNOLOGY INT'L, INC., 699 SERRAMONTE BLVD., STE 212, DALY CITY, CA, 94015, 650-530-0699 - 19,500,000 ($390,000.00) Equity, (File 333-181448 - May. 15) (BR. ) 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 ----------------------------------------------------------------------------------------- A123 SYSTEMS, INC. DE 1.01,9.01 05/11/12 ACXIOM CORP DE 2.02,9.01 05/15/12 ADVANCED MICRO DEVICES INC DE 5.02 05/09/12 ADVENT SOFTWARE INC /DE/ DE 5.07 05/09/12 ADVENT SOFTWARE INC /DE/ DE 5.02 09/08/11 AMEND AEMETIS, INC NV 2.01 03/31/12 Affinity Gaming, LLC NV 2.02,9.01 05/14/12 Alarion Financial Services Inc 5.07 05/10/12 ALLEGHENY TECHNOLOGIES INC DE 5.07 05/11/12 ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/15/12 Alta Mesa Holdings, LP TX 2.02,9.01 05/15/12 AMERCO /NV/ NV 8.01,9.01 05/14/12 AMERICAN DG ENERGY INC DE 2.02,9.01 05/15/12 AMERICAN EXPRESS CO NY 7.01 05/15/12 American Midstream Partners, LP DE 2.02,9.01 05/14/12 AMERICAN ORIENTAL BIOENGINEERING INC CO 5.02,8.01 05/09/12 American Realty Capital Properties, I MD 3.02,3.03,9.01 05/15/12 AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 05/15/12 AMGEN INC DE 1.01,9.01 05/10/12 AMYLIN PHARMACEUTICALS INC DE 5.02 05/14/12 ANADARKO PETROLEUM CORP DE 5.02,5.03,9.01 05/15/12 ANAREN INC NY 5.02,9.01 05/15/12 AMEND ANGIOTECH PHARMACEUTICALS INC 2.02,9.01 05/15/12 ANNALY CAPITAL MANAGEMENT INC MD 1.01,9.01 05/09/12 AQUA AMERICA INC PA 5.07 05/10/12 ARCH COAL INC DE 1.01,7.01,9.01 05/15/12 ARENA PHARMACEUTICALS INC DE 8.01 05/15/12 Arista Power, Inc. NY 5.07 05/09/12 ARK RESTAURANTS CORP NY 5.07,9.01 05/14/12 AROTECH CORP DE 2.02,9.01 05/14/12 Ascent Capital Group, Inc. DE 2.02,8.01,9.01 05/15/12 ASSOCIATED MATERIALS, LLC DE 8.01 05/15/12 ASSURANT INC 5.07 05/10/12 ASTEA INTERNATIONAL INC DE 2.02,9.01 05/15/12 ASTRO MED INC /NEW/ RI 2.02,9.01 05/15/12 ASURE SOFTWARE INC DE 2.02,9.01 03/31/12 ATMOS ENERGY CORP TX 5.02,9.01 05/15/12 AXESSTEL INC NV 2.02,9.01 05/15/12 AXIS CAPITAL HOLDINGS LTD 7.01,9.01 05/15/12 AxoGen, Inc. MN 2.02,9.01 05/14/12 AXT INC DE 5.07 05/15/12 BANCORPSOUTH INC MS 7.01,9.01 05/15/12 BB&T CORP NC 8.01 05/15/12 BCB BANCORP INC 8.01 05/09/12 BG Medicine, Inc. DE 2.02,8.01,9.01 05/15/12 BILL BARRETT CORP DE 5.03,5.07,9.01 05/10/12 BioDrain Medical, Inc. MN 5.02 05/15/12 BJs RESTAURANTS INC CA 8.01,9.01 05/15/12 BJs RESTAURANTS INC CA 8.01,9.01 05/15/12 BLUEGREEN CORP MA 2.02,9.01 05/11/12 Bohai Pharmaceuticals Group, Inc. NV 1.01,8.01,9.01 05/15/12 BRIDGE BANCORP INC NY 5.02,9.01 05/04/12 AMEND BRINKS CO VA 5.02 05/14/12 BROADWAY FINANCIAL CORP \DE\ DE 2.02,9.01 05/15/12 BRUKER CORP DE 8.01 05/15/12 Buildablock Corp. FL 3.02 04/30/12 C H ROBINSON WORLDWIDE INC DE 5.03,5.07,9.01 05/10/12 CABELAS INC DE 7.01,9.01 05/15/12 CAI International, Inc. 8.01,9.01 05/14/12 CALAVO GROWERS INC CA 3.01 05/14/12 CALGON CARBON CORPORATION DE 5.02,9.01 05/10/12 CALPINE CORP DE 5.07 05/15/12 CAMBIUM LEARNING GROUP, INC. 2.02,9.01 05/10/12 CAMBRIDGE HEART INC DE 2.02,8.01,9.01 03/31/12 CAMERON INTERNATIONAL CORP DE 5.03,5.07,9.01 05/11/12 CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 05/14/12 CAPITAL SOUTHWEST CORP TX 1.01,2.01,9.01 05/14/12 CARDINAL HEALTH INC OH 7.01,9.01 05/15/12 Carlyle Group L.P. DE 2.02,9.01 05/15/12 CAROLINA POWER & LIGHT CO NC 8.01,9.01 05/14/12 CASCADE MICROTECH INC 5.07 05/11/12 CASEYS GENERAL STORES INC IA 7.01 05/15/12 CATHAY GENERAL BANCORP DE 5.07 05/14/12 Cavitation Technologies, Inc. 1.01,9.01 05/14/12 CBRE GROUP, INC. DE 7.01,9.01 05/15/12 Celsion CORP DE 2.02,9.01 05/15/12 CENTRAL FEDERAL CORP DE 2.02,9.01 05/15/12 CENTRUE FINANCIAL CORP DE 2.02,9.01 05/15/12 Cereplast Inc NV 2.02,8.01,9.01 05/14/12 CHARMING SHOPPES INC PA 8.01,9.01 05/15/12 CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 05/15/12 CHENIERE ENERGY INC DE 1.01,8.01,9.01 05/14/12 Cheniere Energy Partners, L.P. DE 1.01,8.01,9.01 05/14/12 CHESAPEAKE MIDSTREAM PARTNERS LP DE 7.01,9.01 05/14/12 Chile Mining Technologies Inc. NV 1.01,2.03,3.02,5.02, 05/14/12 9.01 CHINA AUTOMOTIVE SYSTEMS INC DE 5.02 05/15/12 CHINA GENGSHENG MINERALS, INC. NV 2.02,7.01,9.01 05/15/12 China Natural Gas, Inc. DE 4.01,9.01 05/15/12 CIFC Corp. DE 2.02,9.01 05/15/12 CIT GROUP INC DE 5.07 05/15/12 CITIBANK OMNI-S MASTER TRUST 8.01 05/15/12 CITIZENS BANCSHARES CORP /GA/ GA 2.02,9.01 05/15/12 CITIZENS CAPITAL CORP TX 7.01,9.01 05/15/12 CLEARSIGN COMBUSTION CORP WA 8.01,9.01 05/15/12 COBIZ FINANCIAL INC CO 7.01 05/15/12 COLE CORPORATE INCOME TRUST, INC. MD 8.01 05/10/12 Cole Credit Property Trust II Inc MD 8.01 05/07/12 Cole Credit Property Trust III, Inc. MD 8.01 05/10/12 COLE REAL ESTATE INCOME STRATEGY (DAI MD 8.01 05/09/12 COLONIAL COMMERCIAL CORP NY 2.02,9.01 05/14/12 COMMERCIAL NATIONAL FINANCIAL CORP /P PA 5.07 05/15/12 Community Bankers Trust Corp DE 8.01,9.01 05/15/12 CompuCredit Holdings Corp GA 5.07 05/11/12 CONCHO RESOURCES INC DE 1.01,9.01 05/11/12 CONNECTICUT WATER SERVICE INC / CT CT 5.07,8.01,9.01 05/15/12 CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 05/11/12 CONSUMERS BANCORP INC /OH/ OH 5.02 05/15/12 COOPER TIRE & RUBBER CO DE 5.07 05/11/12 Cord Blood America, Inc. FL 5.02,7.01 05/14/12 CORE MOLDING TECHNOLOGIES INC DE 5.02,9.01 05/09/12 CORNERSTONE THERAPEUTICS INC DE 2.02,8.01,9.01 05/14/12 CORONADO BIOSCIENCES INC DE 2.02,9.01 05/15/12 CORPORATE OFFICE PROPERTIES TRUST MD 5.07 05/10/12 CORTEX PHARMACEUTICALS INC/DE/ DE 2.02,9.01 05/15/12 Crestwood Midstream Partners LP DE 5.02,9.01 05/11/12 CUBIC ENERGY INC TX 8.01,9.01 05/14/12 CVR ENERGY INC DE 8.01 05/14/12 CVR PARTNERS, LP DE 8.01 05/14/12 Cyalume Technologies Holdings, Inc. DE 4.01 05/14/12 Cyclacel Pharmaceuticals, Inc. DE 8.01,9.01 05/14/12 CYPRESS SEMICONDUCTOR CORP /DE/ DE 5.07,7.01,9.01 05/11/12 CYTEC INDUSTRIES INC/DE/ DE 8.01,9.01 05/11/12 CYTRX CORP DE 5.03,5.07,8.01,9.01 05/14/12 DATALINK CORP MN 5.02,5.07,9.01 05/10/12 DAVI LUXURY BRAND GROUP, INC. 4.02 05/07/12 DAYSTAR TECHNOLOGIES INC DE 2.02,9.01 05/15/12 DELPHI FINANCIAL GROUP INC/DE DE 1.01,9.01 05/14/12 DEVRY INC DE 7.01,9.01 05/14/12 diaDexus, Inc. DE 1.01 05/09/12 Diamond Resorts Corp MD 2.02,9.01 05/15/12 DICKS SPORTING GOODS INC DE 2.02,8.01,9.01 05/14/12 Discover Financial Services DE 7.01,9.01 05/15/12 DITECH NETWORKS INC DE 3.01 05/09/12 DOCUMENT SECURITY SYSTEMS INC NY 8.01,9.01 05/15/12 DRINKS AMERICAS HOLDINGS, LTD DE 5.02 05/15/12 Eastern Insurance Holdings, Inc. PA 5.07 05/10/11 Ecologic Transportation, Inc. 8.01 05/15/12 ELANDIA INTERNATIONAL INC. DE 5.03,5.07,9.01 05/15/12 ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 05/15/12 Emrise CORP DE 4.01,9.01 05/14/12 Emrise CORP DE 7.01,9.01 05/15/12 ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 03/31/12 ENGLOBAL CORP NV 2.02,9.01 05/15/12 Ensco plc 1.01,1.02,3.03,8.01, 05/14/12 9.01 Entertainment Gaming Asia Inc. NV 2.02,9.01 05/15/12 ENTREMED INC DE 2.02,9.01 05/15/12 Essex Rental Corp. DE 7.01,9.01 05/15/12 EVERTEC, LLC PR 2.02,9.01 05/15/12 Federal Home Loan Bank of Atlanta X1 2.03 05/15/12 Federal Home Loan Bank of Boston X1 2.03 05/09/12 Federal Home Loan Bank of Chicago X1 2.03 05/09/12 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/11/12 Federal Home Loan Bank of Dallas 2.03,9.01 05/11/12 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/11/12 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/15/12 Federal Home Loan Bank of New York X1 2.03,9.01 05/09/12 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/09/12 Federal Home Loan Bank of San Francis X1 2.03 05/09/12 Federal Home Loan Bank of Seattle 2.03 05/09/12 Federal Home Loan Bank of Seattle 2.02,5.02,7.01,9.01 05/15/12 Federal Home Loan Bank of Topeka 2.03,9.01 05/09/12 Fibrocell Science, Inc. DE 1.01,3.02,5.03,8.01, 05/11/12 9.01 FIRST BANCSHARES INC /MO/ MO 2.02,9.01 05/15/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 5.02 05/14/12 FIRST BUSINESS FINANCIAL SERVICES, IN WI 5.02,5.07,9.01 05/14/12 FIRSTMERIT CORP /OH/ OH 7.01,9.01 05/15/12 FISHER COMMUNICATIONS INC WA 5.07,8.01 05/09/12 FLATBUSH FEDERAL BANCORP INC 2.02,9.01 05/11/12 FORD MOTOR CO DE 5.07 05/15/12 FORD MOTOR CO DE 5.02 05/15/12 AMEND FORD MOTOR CREDIT CO LLC DE 8.01,9.01 05/15/12 FORWARD INDUSTRIES INC NY 2.02,9.01 05/10/12 Freedom Environmental Services, Inc. DE 4.01,8.01,9.01 03/21/12 AMEND FS Energy & Power Fund DE 2.02,9.01 05/15/12 FS Investment CORP MD 2.02,9.01 05/15/12 Furiex Pharmaceuticals, Inc. DE 1.01,8.01,9.01 05/14/12 GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/15/12 GEO GROUP INC FL 8.01,9.01 05/14/12 GLOBAL AXCESS CORP NV 1.01,2.02,9.01 05/10/12 GOLFSMITH INTERNATIONAL HOLDINGS INC DE 2.02,9.01 05/15/12 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01,9.01 05/11/12 GRAPHON CORP/DE DE 5.02 05/09/12 Graymark Healthcare, Inc. OK 2.02,9.01 05/15/12 GREAT WEST LIFE & ANNUITY INSURANCE C CO 5.07 05/11/12 Greektown Superholdings, Inc. DE 2.02,9.01 05/15/12 GREENWORLD DEVELOPMENT, INC. DE 8.01 05/15/12 GSE SYSTEMS INC DE 2.02 05/15/12 Guru Health Inc NV 5.02 05/14/12 HANOVER INSURANCE GROUP, INC. DE 5.07 05/15/12 HARBINGER GROUP INC. DE 7.01 05/14/12 HAUPPAUGE DIGITAL INC DE 2.02,9.01 05/15/12 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,5.02,9.01 05/15/12 HEALTH NET INC DE 7.01 05/14/12 HEARTLAND EXPRESS INC NV 5.07 05/10/12 HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 05/15/12 HIGHWOODS PROPERTIES INC MD 5.07 05/15/12 HOLLYWOOD MEDIA CORP FL 2.02,9.01 05/15/12 HOLLYWOOD MEDIA CORP FL 1.01,9.01 05/01/12 AMEND HOME DEPOT INC DE 2.02,9.01 05/15/12 HOOPER HOLMES INC NY 2.02,9.01 05/11/12 Houston Wire & Cable CO 2.02,9.01 05/10/12 Howard Hughes Corp DE 7.01,9.01 05/15/12 Hubei Minkang Pharmaceutical Ltd. NV 1.01,2.03,7.01,9.01 05/07/12 HUTCHINSON TECHNOLOGY INC MN 5.02 05/09/12 I-LEVEL MEDIA GROUP INC NV 3.02 03/31/12 ICU MEDICAL INC/DE DE 5.02,5.07 05/11/12 IEC ELECTRONICS CORP DE 7.01,9.01 05/11/12 IGI LABORATORIES, INC DE 2.02,9.01 05/15/12 IMAGEWARE SYSTEMS INC DE 7.01,8.01,9.01 05/15/12 Information Services Group Inc. DE 5.07 05/14/12 INLAND REAL ESTATE CORP MD 8.01,9.01 05/15/12 INNOTRAC CORP GA 2.02,9.01 05/15/12 InsPro Technologies Corp DE 8.01,9.01 05/15/12 INSTEEL INDUSTRIES INC NC 8.01,9.01 05/15/12 INTEGRATED SECURITY SYSTEMS INC DE 2.01,3.02,5.01,5.02, 04/05/12 AMEND 5.06,8.01,9.01 IntelGenx Technologies Corp. DE 5.07 05/15/12 INTELLIGENT SYSTEMS CORP GA 2.02,9.01 05/15/12 Interactive Brokers Group, Inc. DE 8.01 05/15/12 INTERSECTIONS INC DE 2.02,7.01,9.01 05/10/12 ISECURETRAC CORP DE 5.07 05/10/12 Islet Sciences, Inc NV 1.01,3.02,9.01 05/09/12 IsoRay, Inc. MN 2.02,9.01 05/15/12 ITEX CORP NV 8.01,9.01 05/14/12 IZEA Holdings, Inc. NV 3.02 05/15/12 J C PENNEY CO INC DE 2.02,8.01,9.01 05/15/12 J&J SNACK FOODS CORP NJ 8.01,9.01 05/15/12 JETBLUE AIRWAYS CORP DE 5.07 05/10/12 JPMORGAN CHASE & CO DE 5.02 05/14/12 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 05/15/12 Kips Bay Medical, Inc. DE 1.01,9.01 05/10/12 KITE REALTY GROUP TRUST MD 5.03 05/09/12 KNIGHT CAPITAL GROUP, INC. DE 1.01,7.01,9.01 05/14/12 KNOLL INC DE 5.07 05/09/12 KOPIN CORP DE 5.07 05/11/12 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,9.01 05/14/12 L 3 COMMUNICATIONS HOLDINGS INC DE 5.04,9.01 05/15/12 Latitude Solutions, Inc. NV 7.01,8.01,9.01 05/07/12 Laufer Bridge Enterprises, Inc. NV 8.01,9.01 04/27/12 Laufer Bridge Enterprises, Inc. NV 8.01,9.01 05/02/12 LEGACY RESERVES LP DE 5.07 05/09/12 LEXINGTON REALTY TRUST MD 5.07 05/15/12 LGL GROUP INC DE 7.01,9.01 05/15/12 LIBBEY INC DE 1.01,9.01 05/10/12 Liberator, Inc. FL 2.02,9.01 05/15/12 Lifevantage Corp CO 8.01,9.01 05/15/12 LIME ENERGY CO. DE 1.01,9.01 05/15/12 LINN ENERGY, LLC DE 1.01 05/15/12 LKQ CORP DE 8.01,9.01 05/15/12 LOCAL.COM DE 7.01,9.01 05/15/12 Lone Pine Resources Inc. DE 2.02,9.01 05/14/12 Longhai Steel Inc. NV 2.02,7.01,9.01 05/15/12 Lumos Networks Corp. VA 7.01,9.01 05/15/12 LyondellBasell Industries N.V. P7 7.01,8.01,9.01 05/15/12 M LINE HOLDINGS INC NV 5.02 05/15/12 M&F BANCORP INC /NC/ NC 2.02,9.01 05/14/12 Maiden Holdings, Ltd. D0 7.01,9.01 05/15/12 Manning & Napier, Inc. 8.01,9.01 05/11/12 MARINEMAX INC DE 5.02 05/14/12 MARTIN MARIETTA MATERIALS INC NC 8.01,9.01 05/14/12 MASTEC INC FL 5.02,5.07,9.01 05/09/12 Matador Resources Co TX 2.02,7.01,9.01 05/14/12 Matador Resources Co TX 2.02,7.01,9.01 05/15/12 MAXLINEAR INC 5.07 05/10/12 McEwen Mining Inc. CO 7.01,9.01 05/14/12 Mellanox Technologies, Ltd. L3 5.02,5.07,9.01 05/14/12 MERRIMACK PHARMACEUTICALS INC DE 2.02,9.01 05/15/12 Merriman Holdings, Inc DE 2.02,9.01 05/15/12 METLIFE INC DE 8.01,9.01 05/15/12 MetroCorp Bancshares, Inc. TX 8.01,9.01 05/15/12 MICROSTRATEGY INC DE 5.02,5.07 05/09/12 Midway Gold Corp A1 5.07 05/11/12 Morningstar, Inc. IL 7.01,9.01 05/15/12 Morningstar, Inc. IL 8.01,9.01 05/15/12 MOTORCAR PARTS AMERICA INC NY 2.02,9.01 05/14/12 Motorola Solutions, Inc. DE 8.01,9.01 05/15/12 NANOPHASE TECHNOLOGIES CORPORATION IL 2.02,9.01 05/15/12 NATIONAL HEALTH INVESTORS INC MD 5.07 05/10/12 NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 05/15/12 NATIONAL MENTOR HOLDINGS, INC. DE 2.02,9.01 05/15/12 Nationstar Mortgage Holdings Inc. DE 2.02,9.01 05/15/12 NATURES SUNSHINE PRODUCTS INC UT 2.02,8.01,9.01 05/15/12 Neonode, Inc DE 5.07 05/10/12 NETLIST INC DE 2.02,9.01 05/15/12 NeuroMetrix, Inc. DE 5.02,5.07 05/14/12 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.07 05/10/12 New Source Energy Corp DE 3.01,9.01 05/14/12 NEWCASTLE INVESTMENT CORP MD 1.01,9.01 05/13/12 NEWS CORP 8.01,9.01 05/15/12 NEXTERA ENERGY INC FL 8.01,9.01 05/15/12 Nexxus Lighting, Inc. DE 3.01 05/09/12 NISOURCE INC/DE DE 7.01,9.01 05/15/12 NOBILITY HOMES INC FL 3.01,9.01 05/15/12 Noranda Aluminum Holding CORP DE 5.07 05/10/12 NORD RESOURCES CORP DE 7.01,9.01 05/15/12 NORFOLK SOUTHERN CORP VA 5.07 05/15/12 NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 04/30/12 NORTHERN OIL & GAS, INC. 8.01,9.01 05/15/12 NORTHERN TRUST CORP DE 7.01,9.01 05/15/12 Nutrastar International Inc. NV 2.02,9.01 05/15/12 NV ENERGY, INC. NV 7.01,9.01 05/15/12 OCEAN BIO CHEM INC FL 5.02 05/14/12 OCTAGON 88 RESOURCES, INC. NV 5.02 05/05/12 OLD NATIONAL BANCORP /IN/ IN 5.02,5.07,9.01 05/10/12 OLD SECOND BANCORP INC DE 8.01,9.01 05/15/12 OmniAmerican Bancorp, Inc. MD 5.07,9.01 05/15/12 ON ASSIGNMENT INC DE 1.01,2.01,2.03,3.02, 05/15/12 5.02,5.07,8.01,9.01 ONCOR ELECTRIC DELIVERY CO LLC DE 1.01,2.03,7.01,9.01 05/15/12 Online Tele-Solutions, Inc. NV 3.03,5.03,9.01 05/09/12 Onstream Media CORP FL 2.02,9.01 05/15/12 OPNEXT INC 2.02,8.01,9.01 05/15/12 OPPENHEIMER HOLDINGS INC A6 5.07 05/14/12 ORGANA GARDENS INTERNATIONAL 5.03 05/09/12 PACWEST BANCORP DE 5.02,9.01 05/09/12 Patriot Coal CORP DE 7.01,9.01 05/14/12 Patriot Coal CORP DE 5.07 05/10/12 PERVASIVE SOFTWARE INC DE 8.01 05/15/12 PG&E CORP CA 5.07 05/14/12 PHOENIX MEDICAL SOFTWARE, INC. NV 8.01 05/15/12 PHOTRONICS INC CT 2.02,9.01 05/14/12 PIONEER DRILLING CO TX 5.07 05/10/12 PLAINS EXPLORATION & PRODUCTION CO DE 7.01 05/15/12 PLAINSCAPITAL CORP TX 5.07 05/09/12 PLATINUM ENERGY SOLUTIONS, INC. NV 1.01 05/09/12 PLUG POWER INC DE 2.02,9.01 05/15/12 PLURISTEM THERAPEUTICS INC NV 5.07 05/15/12 POLYMER GROUP INC DE 5.02,9.01 05/09/12 Post Holdings, Inc. MO 1.01,2.03,9.01 05/14/12 PostRock Energy Corp DE 5.02,5.07,8.01 05/09/12 PREMIER ALLIANCE GROUP, INC. NV 4.02 05/04/12 AMEND PREMIER ALLIANCE GROUP, INC. NV 9.01 03/05/12 AMEND PRESSTEK INC /DE/ DE 2.02,9.01 05/15/12 PROSPECT GLOBAL RESOURCES INC. NV 7.01,9.01 05/15/12 PROTECTIVE LIFE CORP DE 7.01,9.01 05/15/12 PROTECTIVE LIFE CORP DE 5.07 05/14/12 QKL Stores Inc. DE 2.02,9.01 05/15/12 QR Energy, LP DE 8.01,9.01 05/14/12 QUESTAR CORP UT 5.07 05/10/12 QUESTAR GAS CO UT 8.01 05/11/12 QUESTAR PIPELINE CO UT 8.01 05/10/12 RAINMAKER SYSTEMS INC DE 2.02,7.01,9.01 05/15/12 RAIT Financial Trust MD 7.01,9.01 05/03/12 REAL ESTATE ASSOCIATES LTD VII CA 8.01 05/11/12 REALNETWORKS INC WA 5.02 05/09/12 REDDY ICE HOLDINGS INC DE 2.02,9.01 05/14/12 Regeneca, Inc. NV 1.01,5.02,9.01 05/11/12 REPROS THERAPEUTICS INC. DE 2.02,9.01 05/15/12 RESEARCH FRONTIERS INC DE 7.01,9.01 05/15/12 RITE AID CORP DE 1.01,2.03,8.01,9.01 05/14/12 Rock Energy Resources, Inc. DE 7.01,9.01 05/15/12 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 2.02,5.02,8.01,9.01 05/11/12 RODMAN & RENSHAW CAPITAL GROUP, INC. DE 8.01,9.01 05/15/12 ROTECH HEALTHCARE INC DE 2.02 05/10/12 RVUE HOLDINGS, INC. NV 2.03,9.01 05/10/12 SAKS INC TN 2.02,9.01 05/15/12 SARATOGA RESOURCES INC /TX TX 2.02,7.01,9.01 05/15/12 SCANA CORP SC 7.01,9.01 05/15/12 SCANSOURCE INC SC 5.02 05/14/12 SCBT FINANCIAL CORP SC 8.01,9.01 05/14/12 Scio Diamond Technology Corp NV 1.01,3.02,4.02 08/31/11 SCIQUEST INC DE 8.01,9.01 05/15/12 SENESCO TECHNOLOGIES INC DE 2.02,9.01 05/15/12 Seven Seas Cruises S. DE R.L. R1 2.02,9.01 05/15/12 SINOHUB, INC. DE 2.02,7.01,9.01 05/15/12 SL INDUSTRIES INC NJ 2.02,9.01 05/10/12 SLM Student Loan Trust 2010-1 DE 6.02 05/15/12 SLM Student Loan Trust 2010-2 DE 6.02 05/15/12 SLM Student Loan Trust 2011-1 DE 6.02 05/15/12 SLM Student Loan Trust 2011-2 DE 6.02 05/15/12 SLM Student Loan Trust 2011-3 DE 6.02 05/15/12 SLM Student Loan Trust 2012-1 DE 6.02 05/15/12 SLM Student Loan Trust 2012-2 DE 6.02 05/15/12 SLM Student Loan Trust 2012-3 DE 6.02 05/15/12 SMARTHEAT INC. NV 2.02,5.02,9.01 05/15/12 Snap Interactive, Inc DE 7.01,9.01 05/15/12 SOLIGENIX, INC. DE 2.02,9.01 05/14/12 Somaxon Pharmaceuticals, Inc. DE 8.01,9.01 05/11/12 Sono Resources, Inc. NV 7.01,9.01 05/15/12 SOTHEBYS DE 2.02,9.01 05/15/12 SOUTHWEST GAS CORP CA 5.02,5.07 05/15/12 SPANISH BROADCASTING SYSTEM INC DE 2.02,8.01,9.01 05/15/12 SPARTAN MOTORS INC MI 5.02,9.01 05/15/12 SPHERIX INC DE 2.02,9.01 05/15/12 Spine Pain Management, Inc DE 5.02,8.01,9.01 05/09/12 SS&C Technologies Holdings Inc DE 8.01,9.01 05/15/12 STAKOOL, INC. NV 1.01,4.01,8.01,9.01 09/15/11 AMEND Station Casinos LLC NV 2.02,9.01 05/15/12 STELLAR PHARMACEUTICALS INC 2.02,9.01 05/14/12 STEWARDSHIP FINANCIAL CORP NJ 5.07 05/14/12 STONE ENERGY CORP DE 7.01,9.01 05/10/12 STRATUS PROPERTIES INC DE 2.02,9.01 05/15/12 SUBURBAN PROPANE PARTNERS LP DE 5.07,9.01 05/15/12 SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 04/27/12 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 05/15/12 SUNESIS PHARMACEUTICALS INC DE 2.02,9.01 05/15/12 SUPERMEDIA INC. DE 7.01 05/14/12 SWK Holdings Corp DE 5.02,8.01,9.01 05/14/12 Synthetic Biologics, Inc. NV 2.02,9.01 05/15/12 SYPRIS SOLUTIONS INC DE 2.02,7.01,9.01 05/15/12 TearLab Corp DE 2.02,9.01 05/14/12 TESCO CORP 5.07 05/10/12 THL Credit, Inc. DE 1.01,2.03,9.01 05/10/12 Thompson Creek Metals CO Inc. A6 7.01,9.01 05/15/12 THQ INC DE 2.02,9.01 05/15/12 THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 05/14/12 Timberwood Acquisition Corp DE 3.02,5.01,5.02 05/12/12 TJX COMPANIES INC /DE/ DE 2.02,9.01 05/15/12 TOFUTTI BRANDS INC DE 2.02,9.01 05/15/12 Tornier N.V. P7 1.01,9.01 05/14/12 Towers Watson & Co. DE 1.01,9.01 05/11/12 TRANSWITCH CORP /DE DE 8.01,9.01 05/15/12 TrueBlue, Inc. WA 5.07 05/09/12 TRUSTCO BANK CORP N Y NY 8.01,9.01 05/15/12 TRUSTMARK CORP MS 7.01,9.01 05/15/12 TTM TECHNOLOGIES INC WA 7.01,9.01 05/15/12 Tumi Holdings, Inc. DE 2.02,9.01 05/15/12 Two Harbors Investment Corp. 1.01,2.03,9.01 05/15/12 U S PHYSICAL THERAPY INC /NV NV 5.07 05/15/12 U.S. Auto Parts Network, Inc. DE 7.01,9.01 05/15/12 UDR, Inc. MD 5.02 05/15/12 UNILENS VISION INC 8.01,9.01 05/15/12 United Community Bancorp X1 2.02,9.01 05/11/12 Unseen Solar Inc DE 5.02 05/09/12 URANIUM ENERGY CORP NV 7.01,9.01 05/15/12 US GEOTHERMAL INC DE 1.02 05/15/12 USEC INC DE 1.01,9.01 05/15/12 USG CORP DE 5.02 05/09/12 AMEND VALSPAR CORP DE 2.02,9.01 05/15/12 VALUEVISION MEDIA INC MN 1.01,9.01 05/11/12 VelaTel Global Communications, Inc. NV 1.01,8.01,9.01 05/10/12 Verso Paper Corp. DE 1.01,2.03,9.01 05/11/12 VIASAT INC DE 1.01,2.03,9.01 05/09/12 VIASPACE Inc. 2.02,9.01 05/15/12 VIEWCAST COM INC DE 2.02,9.01 05/15/12 VirtualScopics, Inc. DE 2.02,9.01 05/15/12 VISANT CORP 2.05,8.01 05/14/12 VISION SCIENCES INC /DE/ DE 2.02,9.01 05/15/12 VLOV INC. NV 2.02,9.01 03/31/12 Vulcan Materials CO NJ 8.01 05/14/12 WARNACO GROUP INC /DE/ DE 5.07 05/09/12 Warner Music Group Corp. DE 2.02,9.01 05/15/12 WELLS MID-HORIZON VALUE-ADDED FUND I 2.01,9.01 05/09/12 Wendy's Co DE 1.01,1.02,2.03,8.01, 05/15/12 9.01 WEST PHARMACEUTICAL SERVICES INC PA 7.01,9.01 05/15/12 WESTERN LIBERTY BANCORP DE 2.02,8.01,9.01 05/15/12 Westway Group, Inc. DE 2.02,9.01 05/15/12 WILLIS GROUP HOLDINGS PLC L2 7.01,9.01 03/15/12 WIRELESS TELECOM GROUP INC NJ 2.02,7.01,9.01 05/15/12 WMI HOLDINGS CORP. WA 7.01,9.01 05/14/12 WPX ENERGY, INC. DE 8.01,9.01 05/15/12 Wright Express CORP 8.01,9.01 05/11/12 X RITE INC MI 1.02,2.01,3.01,3.03, 05/15/12 5.01,5.02,5.03,9.01 XENONICS HOLDINGS, INC. NV 2.02,9.01 05/15/12 XILINX INC DE 5.02,5.03,9.01 05/09/12 Xylem Inc. IN 5.07 05/10/12 YTB International, Inc. DE 5.02,8.01,9.01 04/26/12 ZIMMER HOLDINGS INC DE 1.01,1.02,2.03,9.01 05/09/12 Zurvita Holdings, Inc. DE 1.01,1.02,9.01 05/08/12 Zurvita Holdings, Inc. DE 1.01,1.02,9.01 05/08/12
http://www.sec.gov/news/digest/2012/dig051612.htm
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