0001354488-12-001330.txt : 20120327 0001354488-12-001330.hdr.sgml : 20120327 20120327081441 ACCESSION NUMBER: 0001354488-12-001330 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120327 DATE AS OF CHANGE: 20120327 EFFECTIVENESS DATE: 20120327 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTFIELD CAPITAL MANAGEMENT CO LP CENTRAL INDEX KEY: 0001177719 IRS NUMBER: 800175963 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10220 FILM NUMBER: 12715789 BUSINESS ADDRESS: STREET 1: ONE FINANCIAL CENTER STREET 2: 24FL CITY: BOSTON STATE: MA ZIP: 02111 BUSINESS PHONE: 6174287100 MAIL ADDRESS: STREET 1: ONE FINANCIAL CENTER STREET 2: 24FL CITY: BOSTON STATE: MA ZIP: 02111 FORMER COMPANY: FORMER CONFORMED NAME: WESTFIELD CAPITAL MANAGEMENT CO LLC DATE OF NAME CHANGE: 20020717 13F-HR/A 1 west_13fhra.txt AMENDMENT OMB Number: 3235-0862 Estimated average burden hours per response: 18 United States Securities and Exchange Commission FORM 13H LARGE TRADER REGISTRATION INFORMATION REQUIRED OF LARGE TRADERS PURSUANT TO SECTION 13(H) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER [] INITIAL FILING: Date identifying transactions first effected (mm/dd/yyyy) ___________________________ Voluntary filing? [ ] no [ ] yes Date of voluntary filing __________________________________ [ ] ANNUAL FILING: Calendar year ending _________________ [X] AMENDED FILING [ ] INACTIVE STATUS: Date commencing Inactive Status (mm/dd/yyyy) ______________ [ ] TERMINATION FILING: Effective date (mm/dd/yyyy) ____________________________ [ ] REACTIVATED STATUS: Date identifying transactions first effected, post-Inactive Status(mm/dd/yyyy) _______________________ Westfield Capital Management Company, L.P. -------------------------------------------------------------------------------- Name of Large Trader Filing This Form 12649247 ---------------------------------- LTID 80-0175963 ---------------------------------- Taxpayer Identification Number 1 Financial Center, 24th Floor, Boston, Massachusetts 02111, USA -------------------------------------------------------------------------------- Business Address of the Large Trader (Street, City, State, Zip, Country) 1 Financial Center, 24th Floor, Boston, Massachusetts 02111, USA -------------------------------------------------------------------------------- Mailing Address of the Large Trader (Street, City, State, Zip, Country) Telephone No. (617) 428-7100 Facsimile No. (617) 428-7190 Email: None The Form and the schedules thereto must be submitted by a natural person who is authorized to make this submission on behalf of the large trader. 1 Helen L. McAuley -------------------------------------------------------------------------------- Name of Authorized Person (First, Middle Initial, Last) Vice President, Head of Compliance -------------------------------------------------------------------------------- Title of Authorized Person Employee -------------------------------------------------------------------------------- Relationship to Large Trader 1 Financial Center, 24th Floor, Boston, Massachusetts 02111, USA -------------------------------------------------------------------------------- Business Address of Authorized Person (Street, City, State, Zip, Country) Authorized Person's Telephone No. (617) 428-7158 Facsimile No. (617) 428-7190 Authorized Person's Email hmcauley@wcmgmt.com ------------------- ATTENTION Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Intentional misstatements or omissions of facts may result in civil fines and other sanctions pursuant to the Securities Exchange Act of 1934. The authorized person signing this form represents that all information contained in the form, schedules, and continuation sheets is true, correct, and complete. It is understood that all information whether contained in the form, schedules, or continuation sheets, is considered an integral part of this form and that any amendment represents that all unamended information remains true, correct, and complete. /s/Helen L. McAuley -------------------------------------------------- Signature of Person Authorized to Submit this Form 2 FORM 13H INFORMATION REQUIRED OF ALL LARGE TRADERS ITEM 1. BUSINESSES OF THE LARGE TRADER (check as many as applicable) (a) Businesses engaged in by the large trader and any of the large trader's affiliates (check as many as applicable) [ ] Broker or Dealer [ ] Bank Holding Company [ ] Government Securities Broker or Dealer [ ] Non-Bank Holding Company [ ] Bank [ ] Municipal Securities Broker or Dealer [ ] Pension Trustee [X] Investment Adviser [ ] Non-Pension Trustee [X] to Registered Investment Companies [ ] Insurance Company [X] to Hedge Funds or other Funds not registered under the Investment Company Act [ ] Other (specify)_________________________________________ [ ] Futures Commission Merchant [ ] Commodity Pool Operator (b) Describe the nature of the business of the large trader including a description for each Securities Affiliate: WESTFIELD CAPITAL MANAGEMENT COMPANY, L.P. ("WESTFIELD") PROVIDES SEPARATE ACCOUNT INVESTMENT ADVISORY SERVICES TO INSTITUTIONS AND HIGH NET WORTH INDIVIDUALS. WESTFIELD PRIMARILY SUPERVISES DOMESTIC GROWTH EQUITY PORTFOLIOS THAT FOCUS ON EACH SEGMENT OF THE MARKET CAPITALIZATION SPECTRUM. ITEM 2. SECURITIES AND EXCHANGE COMMISSION FILINGS Does the large trader or any of its Securities Affiliates file any other forms with the Commission? [X] Yes [ ] No If yes, specify the entity and the forms filed: Entity Form(s) Filed CIK Number Westfield Capital Management Co., L.P. 13F, 13G, ADV 0001177719 ______________________________________ _____________ _______________ ______________________________________ _____________ _______________ ______________________________________ _____________ _______________ ______________________________________ _____________ _______________ ITEM 3. CFTC REGISTRATION AND FOREIGN REGULATORS 3 (a) Is the large trader or any of its affiliates registered with the Commodity Futures Trading Commission in any capacity, including as a "registered trader" pursuant to sections 4i and 9 of the Commodity Exchange Act? [ ] Yes [X] No If yes, identify each entity and specify the registration number: Entity Registration Number __________________________________ ______________ __________________________________ ______________ __________________________________ ______________ __________________________________ ______________ (b) Is the large trader or any of its Securities Affiliates regulated by a foreign regulator? [ ] Yes [X] No If yes, identify each entity and its primary foreign regulator(s): Entity Primary Foreign Regulator _________________________ ____________________________________ _________________________ ____________________________________ _________________________ ____________________________________ _________________________ ____________________________________ _________________________ ____________________________________ ITEM 4. ORGANIZATION INFORMATION (a) Attach an Organizational Chart that identifies the large trader, its parent company (if applicable), all Securities Affiliates, and all entities identified in Item 3(a). (b) Provide the following information on all Securities Affiliates and all entities identified in Item 3(a): Entity MPID(s) Description of Relationship to the Business Large Trader _______________ ____________ _____________________ _______________________ _______________ ____________ _____________________ _______________________ _______________ ____________ _____________________ _______________________ _______________ ____________ _____________________ _______________________ (c) If any affiliates file separately, identify each entity: 4 Entity LTID Suffix (if any) _______________ ____________ ____________________ _______________ ____________ ____________________ _______________ ____________ ____________________ (d) If any affiliates have been assigned an LTID suffix, identify such entities and their corresponding suffixes: Entity Suffix _______________ ____________ _______________ ____________ _______________ ____________ ITEM 5. GOVERNANCE OF THE LARGE TRADER (a) STATUS OF THE LARGE TRADER (check as many as apply) [ ] Individual [ ] Partnership [X] Limited Partnership [ ] Trustee [ ] Corporation [ ] Limited Liability Company [ ] Other (specify)____________________________ (b) Complete the following for each general partner, and in the case of limited partnerships, each limited partner that is the owner of more than a 10 percent financial interest in the accounts of the large trader: Name Status (check one for each) WMS General Partner [X] General Partner [ ] Limited Partner WMS Management LLC [ ] General Partner [X] Limited Partner _______________________________________ [ ] General Partner [ ] Limited Partner _______________________________________ [ ] General Partner [ ] Limited Partner _______________________________________ [ ] General Partner [ ] Limited Partner _______________________________________ [ ] General Partner [ ] Limited Partner _______________________________________ [ ] General Partner [ ] Limited Partner 5 (c) Complete the following for each executive officer, director, or trustee of a large trader corporation or trustee: Name Status (check one for each) -------------------------------------------------------------------------------- [ ] Executive Officer [ ] Director [ ] Trustee -------------------------------------------------------------------------------- [ ] Executive Officer [ ] Director [ ] Trustee -------------------------------------------------------------------------------- [ ] Executive Officer [ ] Director [ ] Trustee -------------------------------------------------------------------------------- [ ] Executive Officer [ ] Director [ ] Trustee -------------------------------------------------------------------------------- (d) Jurisdiction in which the large trader entity is incorporated or organized: Delaware, USA ------------------------------------------------------------------- (state and country) ITEM 6. LIST OF BROKER-DEALERS AT WHICH THE LARGE TRADER OR ITS SECURITIES AFFILIATES HAS AN ACCOUNT Identify each broker-dealer at which the large trader or any of its Securities Affiliates has an account and the types of services provided.

Name of Broker-Dealer ---------------------------------------------------------------------------------------------------------------------------------- ABN AMRO [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Abel Noser [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- AltruShare [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- America's Growth Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Aqua Equities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Avondale Partners [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Bank of America [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Barclays Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- BB&T Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ----------------------------------------------------------------------------------------------------------------------------------

6 ---------------------------------------------------------------------------------------------------------------------------------- Bluefin Research Partners [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- BMO Capital Markets [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- BNP Paribas [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- BNY ConvergeEx [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Brean Murray, Foster [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- BTIG LLC [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Cabrara Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Canaccord Genuity [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Cantor Fitzgerald & Co., Inc. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Capital Institutional Services [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Caris & Co. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Charles Schwab [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- CIBC [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Citigroup [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- CL King [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Collins Stewart LLC [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Comerica [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Commerz [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Cowen & Co. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Craig Hallum Capital Group, LLC [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Credit Suisse [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Cuttone & Company [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- DA Davidson [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Dahlmen Rose [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- DeMatteo Monness [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Deutsche Bank [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Dougherty & Company LLC [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Fechtor Detwiler [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Fidelity Capital Markets [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- First Analysis [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Friedman Billings [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- FTN MidWest [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Gleacher [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Goldman Sachs [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Guzman [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Heflin & Co. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Howard Weil [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Instinet Trading [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- ISI Group [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- ITG - Channel [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- J.P. Morgan Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Janney Montgomery Scott [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Jefferies & Co., Inc. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- JMP Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- JNK Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Johnson Rice [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Jones & Associates [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Kaufman Brothers [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Keefe, Bruyette & Woods [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Keybanc & Co. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Knight Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Lazard Freres & Co., LLC [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Leerink Swann [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Liquidnet [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Longbow Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Loop Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- MacQuarie [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Merriman Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Miller Tabak & Co. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- MKM Partners [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Moness Crespi [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Morgan Keegan & Co. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Morgan Stanley [X] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Muriel Siebert [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Natixis Bleichroeder [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Needham & Co. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Nikko Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Noble Financial [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Nomura Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Northern Trust Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Off the Record Research [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Oppenheimer & Co., Inc. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Pacific Crest Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Pershing [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Piper, Jaffray & Hopwood [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Pritchard Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Pulse Trading [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Rabo Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Rafferty Capital Markets, LLC [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Raymond James & Associates, Inc. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- RBC Capital Markets [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Robert Baird [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Roth Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Sandler O'Neill [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Sanford Bernstein [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Sidoti Inc. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Simmons & Company International [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Soleil [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- State Street Global Markets [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Stephens [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Sterne Agee [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Stifel Nicolaus [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Summer Street Research [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Susquehanna [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- The Robinson-Humphrey Co., Inc. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Think Equities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Ticonderoga Securities [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- UBS [X] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Weeden [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Wells Fargo [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- William Blair & Company, Inc. [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ---------------------------------------------------------------------------------------------------------------------------------- Williams Capital [ ] Prime Broker [X] Executing Broker [ ] Clearing Broker ----------------------------------------------------------------------------------------------------------------------------------