 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Commission AnnouncementsSEC Charges Securities Professionals and Traders in International Hedge Fund Portfolio Pumping SchemeOn Feb. 24, 2011, the Securities and Exchange Commission charged two securities professionals, a hedge fund trader, and two firms involved in a scheme that manipulated several U.S. microcap stocks and generated more than $63 million in illicit proceeds through stock sales, commissions and sales credits. The SEC alleges that Florian Homm of Spain and Todd M. Ficeto of Malibu, Calif., conducted the scheme through their Beverly Hills, Calif.-based broker-dealer Hunter World Markets Inc. (HWM) with the assistance of Homm’s close associate Colin Heatherington, a trader who lives in Canada. They brought microcap companies public through reverse mergers and manipulated upwards the stock prices of these thinly-traded stocks before selling their shares at inflated prices to eight offshore hedge funds controlled by Homm. Their manipulation of the stock prices allowed Homm to materially overstate by at least $440 million the hedge funds’ performance and net asset values (NAVs) in a fraudulent practice known as “portfolio pumping.” The SEC additionally brought administrative proceedings against HWM’s trader and chief compliance officer, who each agreed to settle the SEC’s charges against them. “Ficeto and Homm repeatedly abused their positions as securities industry professionals to commit a wide-ranging, cross-border fraudulent scheme,” said Rosalind R. Tyson, Director of the SEC’s Los Angeles Regional Office. “By manipulating U.S. stocks through a U.S. broker-dealer, they defrauded investors in offshore hedge funds and reaped millions of dollars from their illicit activities.” According to the SEC’s complaint filed in the U.S. District Court for the Central District of California, Homm along with Ficeto and Heatherington conducted the scheme from September 2005 to September 2007. Homm misused the assets of the hedge funds to allow him, Ficeto, Heatherington and HWM to manipulate upwards the prices of the U.S. microcap stocks in which the hedge funds held a position. They used a number of classic manipulative techniques such as placing matched orders, placing orders that marked the close or otherwise set the closing price for the day, and conducting wash sales. This manipulation enabled Ficeto, Homm and Heatherington to generate enormous profits through Ficeto’s and Homm’s co-ownership of HWM and their sale of the microcap stock shares to the hedge funds at inflated prices. Ficeto garnered further illicit profits through his control of Hunter Advisors LLC, which directed the investment activities of a “fund of funds” that also participated in the stock manipulation. The SEC’s complaint alleges that the principal traders at HWM and the London-based hedge funds manager Absolute Capital Management Holdings Limited (ACMH) exchanged hundreds of instant messages (IMs) that were recorded on a secret, alternate messaging system that allowed them to communicate freely without fear that their scheme would be detected by the SEC. As reflected in those secret IM messages, ACMH’s trader (typically Heatherington) under Homm’s direction would instruct Ficeto or HWM’s trader (Tony Ahn) acting under Ficeto’s direction to place matched orders, transactions that marked the close, or wash sales for the purpose of artificially raising or stabilizing the microcap stock prices. The SEC’s complaint charges Ficeto, Homm, Heatherington, HWM, and Hunter Advisors LLC with violating the antifraud provisions of the federal securities laws, and additionally charges HWM and Ficeto with violations of several broker-dealer recordkeeping provisions. The SEC seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, and financial penalties. The SEC also seeks an order permanently barring Ficeto from participating in any penny stock offering or from serving as an officer or director of a public company. The SEC instituted separate but related administrative proceedings against Ahn and HWM’s former chief compliance officer Elizabeth Pagliarini, who each agreed to settle their cases without admitting or denying the SEC’s findings. Ahn agreed to pay a $40,000 penalty, comply with certain undertakings, and be barred from association with a broker and dealer for five years. Pagliarini agreed to a $20,000 penalty and one-year suspension as a supervisor with a broker or dealer. Lucee Kirka, Rhoda Chang, Marc Blau, and Diana Tani conducted the SEC’s investigation, and Donald Searles will lead the SEC’s litigation efforts. The SEC acknowledges the assistance of the British Columbia Securities Commission as well as the Financial Industry Regulatory Authority. For more information about this enforcement action, contact: Michele Wein Layne Marc J. Blau Donald Searles (Press Rel. 2011-51) Commission MeetingsClosed Meeting on Monday, February 28, 2011 at 10:30 a.m.The subject matter of the Closed Meeting scheduled for Monday, Feb. 28, 2011, will be: institution of administrative proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsIn the Matter of Tony AhnOn Feb. 24, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Tony Ahn. The Order finds that Tony Ahn (Ahn) willfully violated, and willfully aided and abetted violations of, the antifraud and the broker-dealer record-keeping requirements of the Securities Exchange Act of 1934 (Exchange Act). Between August 2005 and May 2008, Ahn was associated with, and was the primary trader for, Hunter World Markets, Inc. (HWM), a now defunct broker-dealer that had previously been registered with the Commission. Between September 2005 and September 2007, Ahn, the co-owners of HWM, Todd M. Ficeto (Ficeto) and Florian Homm (Homm), as well as Colin Heatherington (Heatherington), manipulated upwards the stock price of several microcap issuers. Ficeto, Homm, Heatherington, and Ahn manipulated these stocks in order to artificially increase the net asset value of the now defunct hedge funds that Homm effectively controlled, and where Heatherington worked on behalf of Homm. The Order finds that, as HWM’s primary trader, Ahn executed numerous trades that manipulated upwards the price of several microcap stocks. Ahn received the hedge funds’ trade orders from Heatherington. Ahn would often communicate with Heatherington via an online instant messaging system in which they openly discussed trade orders. HWM did not properly preserve records of these instant messages as it was required to do under Section 17(a) of the Exchange Act. Some of the methods Ahn, Heatherington, Homm, and Ficeto used to accomplish the price manipulation included matched orders between the various hedge funds, marking the close in shares of several of the microcap companies, and wash trades between accounts held in the names of the same individual funds. The Order finds that, as a result of the conduct described above, Ahn willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, willfully aided and abetted and caused HWM’s violations of Section 15(c)(1) of the Exchange Act, and willfully aided and abetted and caused HWM’s violations of Section 17(a) of the Exchange Act and Rule 17a-4(b)(4). Based on the above, the Order bars Ahn from association with a broker or dealer with a right to reapply for association after five (5) years and requires him to pay a civil penalty of $40,000. Also, Ahn is ordered to cease and desist from committing or causing any violations and any future violations of Sections 10(b), 15(c)(1) and 17(a) of the Exchange Act and Rules 10b-5 and 17a-4(b)(4) thereunder. Ahn consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-63963; File No. 3-14272) In the Matter of Elizabeth PagliariniOn Feb. 24, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Elizabeth Pagliarini. The Order finds that Elizabeth Pagliarini (Pagliarini) failed reasonably to supervise Tony Ahn (Ahn), a registered representative who, between September 2005 and September 2007 helped manipulate the prices of several microcap issuers’ stocks. During this time, Ahn was associated with Hunter World Markets, Inc. (HWM), a now defunct broker-dealer that was formerly registered with the Commission, and for which Pagliarini was the designated compliance officer, as well as Ahn’s direct supervisor. Ahn violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and aided and abetted and caused HWM’s violations of Section 15(c)(1) of the Exchange Act, by executing a number of trades, including wash trades, the apparent purpose of which were to manipulate the prices of microcap issuers’ stock and to generate over $600,000 in sales credits to HWM. Pagliarini failed reasonably to supervise Ahn because she failed to follow HWM’s procedures that required her to follow up on suspicious transactions, such as the wash trades, that lacked business sense or exhibited a lack of concern regarding risks, commissions, or other transaction costs. The Order finds that Pagliarini also willfully aided and abetted and caused HWM’s violation of Section 17(a) of the Exchange Act and Rule 17a-8 thereunder, which requires brokers and dealers to comply with the recordkeeping, retention, and reporting obligations imposed by the Bank Secrecy Act. Specifically, HWM failed to file, and Pagliarini failed to cause the firm to file, any suspicious activity reports with respect to several transactions, including several large money transfers into and out of the brokerage account of Florian Homm, one of HWM’s co-owners at the time; a large transfer of funds to a third party account at a Canadian bank by Colin Heatherington, who worked for Homm; and with respect to the suspicious wash trades described above. Based on the above, the Order suspends Pagliarini from acting in a supervisory capacity with any broker or dealer for a period of twelve months and requires her to pay a civil penalty of $20,000. Also, Pagliarini is ordered to cease and desist from committing or causing any violations and future violations of Section 17(a) of the Exchange Act and Rule 17a-8 thereunder. Pagliarini consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-63964; File No. 3-14273) Commission Revokes Registration of Securities of Magna Entertainment Corp. (n/k/a Reorganized Magna Entertainment Corp.) for Failure to Make Required Periodic FilingsOn Feb. 25, 2011, the Commission revoked the registration of each class of registered securities of Magna Entertainment Corp. (n/k/a Reorganized Magna Entertainment Corp.) (MECAQ) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, MECAQ consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Magna Entertainment Corp. (n/k/a Reorganized Magna Entertainment Corp.) finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of MECAQ’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against MECAQ in In the Matter of ActiveCore Technologies, Inc., et al., Administrative Proceeding File No. 3-14231. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of ActiveCore Technologies, Inc., et al., Administrative Proceeding File No. 3-14231, Exchange Act Release No. 63841 (Feb. 4, 2011). (Rel. 34-63965; File No. 3-14231) Investment Company Act ReleasesOrders of Deregistration Under the Investment Company ActOrders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company:
Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NYSE Arca (SR-NYSEARCA-2011-04) to eliminate the requirement of an 80% supermajority vote to amend or repeal Section 3.1 of the Bylaws has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63942) A proposed rule change filed by NYSE Amex (SR-NYSEAMEX-2011-06) to eliminate the requirement of an 80% supermajority vote to amend or repeal Section 3.1 of the Bylaws has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63943) Proposed Rule ChangesThe Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of amendments to Rule G-23, on activities of financial advisors (SR-MSRB-2011-03). Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63946) The Commission issued a notice of filing of a proposed rule change by the Municipal Securities Rulemaking Board (MSRB) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, consisting of amendments to the MSRB’s Short-term Obligation Rate Transparency (SHORT) subscription service to provide subscribers with additional information as well as documents (SR-MSRB-2011-04). Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63950) Accelerated Approval of Proposed Rule ChangesThe Commission approved on an accelerated basis a proposed rule change by BATS-Y Exchange (SR-BYX-2011-002) to amend BYX rules in connection with the implementation of amendments to Regulation SHO. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63947) The Commission approved on an accelerated basis a proposed rule change by BATS Exchange (SR-BATS-2011-002) to amend BATS rules in connection with the implementation of amendments to Regulation SHO. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63948) 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-8 ACELRX PHARMACEUTICALS INC, 575 CHESAPEAKE DRIVE, REDWOOD CITY, CA,
94063, 650-216-3500 - 0 ($13,941,849.27) Equity, (File 333-172409 -
Feb. 24) (BR. 01C)
N-2 Kayne Anderson Energy Total Return Fund, Inc.,
717 TEXAS AVENUE - SUITE 3100, HOUSTON, TX, 77002, 877-657-3863 -
0 ($300,000,000.00) Equity, (File 333-172410 - Feb. 24) (BR. 17)
S-1 HOME LOAN SERVICING SOLUTIONS, LTD., C/O JAMES LAUTER,
2002 SUMMIT BLVD., SIXTH FLOOR, ATLANTA, GA, 30319, 561-682-7561 -
0 ($316,250,000.00) Equity, (File 333-172411 - Feb. 24) (BR. )
S-8 Solar Energy Initiatives, Inc., 818 A1A NORTH,, SUITE 201,
PONTE VEDRA BEACH, FL, 32082, (904) 280-2669 -
5,000,000 ($150,000.00) Equity, (File 333-172415 - Feb. 24) (BR. 10C)
S-1 NEUTRA CORP., 3572 SHADY BROOK LANE, SARASOTA, FL, 34243,
941-544-7035 - 3,000,000 ($42,000.00) Equity, (File 333-172417 -
Feb. 24) (BR. 01)
S-8 MAXLINEAR INC, 2051 PALOMAR AIRPORT ROAD, SUITE 100, CARLSBAD, CA,
92011, 760-710-3060 - 0 ($18,278,704.16) Equity, (File 333-172418 -
Feb. 24) (BR. 10B)
S-8 TIMESHARE HOLDINGS, INC., 2350 S. JONES BLVD, SUITE 101, LAS VEGAS, NV,
89146, 877-220-6404 -
8,000,000 ($1,200,000.00) Face Amount Certificates, (File 333-172420 -
Feb. 24) (BR. 07C)
S-8 LILLY ELI & CO, LILLY CORPORATE CTR, DROP CODE 1112, INDIANAPOLIS, IN,
46285, 3172762000 - 0 ($314,760,000.00) Equity, (File 333-172422 -
Feb. 24) (BR. 01B)
S-8 Under Armour, Inc., 1020 HULL STREET, 3RD FLOOR, BALTIMORE, MD, 21230,
410-454-6428 - 0 ($469,901,000.00) Equity, (File 333-172423 - Feb. 24)
(BR. 09B)
S-8 HeartWare International, Inc., 14000 NW 57TH COURT, MIAMI LAKES, FL,
33014, 508-739-0841 - 0 ($80,325,346.00) Equity, (File 333-172424 -
Feb. 24) (BR. 10B)
S-3 KAR Auction Services, Inc., 13085 HAMILTON CROSSING BOULEVARD, CARMEL,
IN, 46032, (800) 923-3725 - 0 ($1.00) Other, (File 333-172425 -
Feb. 24) (BR. 02A)
S-8 CUBIC ENERGY INC, 9870 PLANO ROAD, 9870 PLANO ROAD, DALLAS, TX, 75238,
972-681-8047 - 0 ($1,627,687.49) Equity, (File 333-172426 - Feb. 24)
(BR. 04C)
S-8 GAMCO INVESTORS, INC. ET AL, ONE CORPORATE CENTER,
401 THEODORE FREMD AVENUE, RYE, NY, 10580, 9149213700 -
955,000 ($49,035,218.00) Equity, (File 333-172427 - Feb. 24) (BR. 08A)
S-8 CHEVRON CORP, 6001 BOLLINGER CANYON ROAD, SAN RAMON, CA, 94583,
925-842-1000 - 0 ($18,928,891.00) Equity, (File 333-172428 - Feb. 24)
(BR. 04C)
S-8 Seawell Ltd, 14 PAR-LA-VILLE PLACE, HAMILTON, D0, HM 08,
00441 295-6935 - 5,292,521 ($32,125,602.00) Equity, (File 333-172429 -
Feb. 24) (BR. 04A)
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
ACACIA RESEARCH CORP DE 2.02,9.01 02/24/11
ACCREDITED BUSINESS CONSOLIDATORS COR PA 8.01 02/23/11
Affinion Group, Inc. DE 5.02 02/17/11
AGENUS INC DE 1.01,9.01 02/23/11
Agfeed Industries, Inc NV 3.01 02/22/11
Aircastle LTD D0 7.01,9.01 02/23/11
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 5.02,9.01 02/20/11
ALASKA COMMUNICATIONS SYSTEMS GROUP I DE 2.02,9.01 02/24/11
ALEXANDERS J CORP TN 5.02 02/22/11
ALIGN TECHNOLOGY INC DE 5.02,9.01 02/18/11
All State Properties Holdings, Inc. NV 5.02,8.01,9.01 02/18/11
Alphatec Holdings, Inc. DE 2.02,9.01 02/24/11
ALTAIR NANOTECHNOLOGIES INC 2.02,9.01 02/24/11
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 02/24/11
AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 02/24/11
American Natural Energy Corp OK 8.01,9.01 02/17/11
American Railcar Industries, Inc. ND 2.02,9.01 02/23/11
AMERICAN REALTY CAPITAL HEALTHCARE TR MD 8.01 02/24/11
AMSURG CORP TN 2.02,7.01,9.01 02/24/11
AMSURG CORP TN 7.01,9.01 02/23/11
ANADARKO PETROLEUM CORP DE 7.01,9.01 02/24/11
ANALYSTS INTERNATIONAL CORP 1.01,2.02,9.01 02/23/11
Ancestry.com Inc. DE 2.02,9.01 02/24/11
ANGIOTECH PHARMACEUTICALS INC 1.01,8.01,9.01 02/22/11
ANSYS INC DE 2.02,9.01 02/24/11
ante5, Inc. DE 1.01,9.01 02/18/11
API Technologies Corp. DE 2.04 02/20/11
APOLLO GROUP INC AZ 7.01,9.01 02/24/11
APPLE INC CA 5.07 02/23/11
APPLIED MATERIALS INC /DE DC 2.02,9.01 02/24/11
AQUA AMERICA INC PA 2.02,9.01 02/23/11
ARES CAPITAL CORP MD 8.01 02/24/11
Argo Group International Holdings, Lt 5.02,9.01 02/18/11
ARTS WAY MANUFACTURING CO INC DE 5.05,9.01 02/21/11
ASHFORD HOSPITALITY TRUST INC MD 2.02,9.01 02/24/11
AspenBio Pharma, Inc. CO 3.01,9.01 02/24/11
Atlas Energy, L.P. DE 1.01,2.01,2.03,3.02, 02/17/11
3.03,5.01,5.02,5.03,
9.01
ATLAS PIPELINE PARTNERS LP DE 2.01,5.01,5.02,9.01 02/17/11
AuraSound, Inc. NV 4.02 02/18/11
AUTODESK INC DE 2.02,9.01 02/24/11
AVON PRODUCTS INC NY 5.02 02/17/11
AVON PRODUCTS INC NY 5.02 02/17/11
AVON PRODUCTS INC NY 5.02 02/20/11
AVON PRODUCTS INC NY 7.01,9.01 02/24/11
Axius Inc. NV 3.02,9.01 02/24/11
BANK MUTUAL CORP WI 5.02 02/22/11
BANK OF KENTUCKY FINANCIAL CORP KY 8.01,9.01 02/24/11
Beacon Federal Bancorp, Inc. MD 8.01,9.01 02/24/11
BERKSHIRE INCOME REALTY INC 1.01 02/17/11
BIO RAD LABORATORIES INC DE 2.02,9.01 12/31/10
BIOANALYTICAL SYSTEMS INC IN 1.01,9.01 02/22/11
BIOCRYST PHARMACEUTICALS INC DE 8.01 02/21/11
BIOCRYST PHARMACEUTICALS INC DE 1.01,7.01,9.01 02/24/11
BRE PROPERTIES INC /MD/ MD 8.01,9.01 11/05/10
BRINKS CO VA 5.02,8.01,9.01 02/21/11
Brookdale Senior Living Inc. DE 2.02,7.01,9.01 02/23/11
BRUSH ENGINEERED MATERIALS INC 2.02,9.01 02/24/11
Burlington Coat Factory Investments H 1.01,1.02,2.03,9.01 02/17/11
BURLINGTON COAT FACTORY WAREHOUSE COR DE 8.01,9.01 02/23/11
CAESARS ENTERTAINMENT Corp DE 7.01 02/24/11
CALGON CARBON CORPORATION DE 2.02,9.01 02/23/11
CANAL Corp VA 8.01,9.01 02/21/11
CAPITAL GOLD CORP NV 8.01 02/24/11
CAPITALSOURCE INC DE 2.02,7.01,9.01 02/24/11
CAPITOL BANCORP LTD MI 5.07,9.01 02/24/11
CAREY W P & CO LLC DE 2.02,9.01 02/24/11
CARROLS RESTAURANT GROUP, INC. 2.02,7.01,9.01 02/24/11
CBL & ASSOCIATES PROPERTIES INC DE 7.01,9.01 02/24/11
CC Media Holdings Inc 1.01,2.03,8.01,9.01 02/23/11
CEC ENTERTAINMENT INC KS 2.02,8.01,9.01 02/22/11
CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01, 02/17/11
8.01,9.01
CERADYNE INC DE 2.02,9.01 02/24/11
CHART INDUSTRIES INC DE 2.02,7.01,9.01 02/24/11
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 02/22/11
CHICOS FAS INC FL 2.02,9.01 02/23/11
CHINA FUND INC MD 7.01,9.01 01/31/11
China Lithium Technologies Inc. 4.02 01/20/11
China Wind Systems, Inc DE 8.01 02/21/11
CHRISTOPHER & BANKS CORP DE 5.02,9.01 02/23/11
Cinemark Holdings, Inc. DE 2.02,7.01,9.01 02/24/11
CIRCOR INTERNATIONAL INC DE 2.02,9.01 02/24/11
CITY HOLDING CO WV 5.02,8.01 02/23/11
CLAYTON WILLIAMS ENERGY INC /DE DE 2.02,9.01 02/24/11
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 02/24/11
CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,2.03,8.01,9.01 02/23/11
CLECO CORP LA 2.02,9.01 12/31/10
CLICKER INC. NV 1.01,2.03,3.02,9.01 02/17/11
CLOUD PEAK ENERGY INC. DE 2.02,9.01 02/24/11
Cloud Peak Energy Resources LLC DE 2.02,9.01 02/24/11
CMS ENERGY CORP MI 2.02,9.01 02/24/11
CNB CORP /MI/ MI 8.01,9.01 02/24/11
CODEXIS INC 5.02,8.01 02/17/11
COGENT COMMUNICATIONS GROUP INC 2.02,9.01 02/24/11
COLORADO WYOMING RESERVE CO WY 5.02 02/21/11
CombiMatrix Corp DE 2.02,9.01 02/24/11
CommonWealth REIT MD 2.02,9.01 02/24/11
COMMUNITY HEALTH SYSTEMS INC DE 2.02,7.01,9.01 02/24/11
CONCEPTUS INC DE 2.02,7.01,9.01 02/24/11
CONCHO RESOURCES INC DE 2.02,9.01 02/23/11
Conmed Healthcare Management, Inc. DE 5.02,9.01 02/22/11
CONTINENTAL RESOURCES INC OK 2.02,7.01,9.01 02/23/11
Copano Energy, L.L.C. 2.02,9.01 02/24/11
CORELOGIC, INC. DE 2.02,9.01 02/24/11
COSTAR GROUP INC 1.01,2.01,2.02,2.03, 02/18/11
9.01
Coyote Resources, Inc. NV 7.01,9.01 02/24/11
CREDITRISKMONITOR COM INC NV 2.02,9.01 02/23/11
Crocs, Inc. 2.02,9.01 02/24/11
CROSS A T CO RI 2.02 02/23/11
DAKTRONICS INC /SD/ SD 5.02,8.01,9.01 02/24/11
DCP Midstream Partners, LP DE 5.02,9.01 02/18/11
DECKERS OUTDOOR CORP DE 2.02,9.01 02/24/11
DELTA MUTUAL INC DE 4.01,9.01 02/23/11
DESTINY MEDIA TECHNOLOGIES INC CO 5.07 02/22/11
DEX ONE Corp DE 2.02,7.01,9.01 02/24/11
DEX ONE Corp DE 7.01,9.01 02/24/11
DK Sinopharma, Inc. NV 8.01,9.01 02/22/11
DNB FINANCIAL CORP /PA/ PA 8.01,9.01 02/23/11
DOCUMENT SECURITY SYSTEMS INC NY 1.01,3.02,3.03,9.01 02/18/11
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 2.02,8.01,9.01 02/24/11
DOMINOS PIZZA INC 5.02,8.01,9.01 02/23/11
DORCHESTER MINERALS LP DE 2.02,7.01,9.01 02/24/11
DreamWorks Animation SKG, Inc. 2.02,9.01 02/24/11
DUKE REALTY CORP IN 8.01 02/23/11
DUKE REALTY LIMITED PARTNERSHIP/ IN 8.01 02/23/11
DYNAMIC MATERIALS CORP DE 2.02,9.01 02/24/11
DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 02/22/11
E TRADE FINANCIAL CORP DE 8.01 02/23/11
EASTMAN CHEMICAL CO DE 5.02,9.01 02/17/11
Ecologic Transportation, Inc. 1.01 02/15/11
Education Realty Trust, Inc. MD 2.02,7.01,9.01 02/24/11
EINSTEIN NOAH RESTAURANT GROUP INC DE 4.02,8.01,9.01 02/22/11
EL PASO CORP/DE DE 2.02,9.01 02/24/11
El Paso Pipeline Partners, L.P. DE 2.02,9.01 02/24/11
ELECTRO SENSORS INC MN 5.02 01/26/11
EMC INSURANCE GROUP INC IA 2.02,7.01,9.01 02/24/11
EMPIRE PETROLEUM CORP DE 5.02 02/24/11
ENDWAVE CORP DE 2.02,8.01,9.01 02/24/11
Ensco plc 2.02,9.01 02/23/11
EPICEPT CORP 2.02,9.01 02/24/11
EPIQ SYSTEMS INC MO 8.01,9.01 02/23/11
ERIE INDEMNITY CO PA 2.02,9.01 02/24/11
ESTERLINE TECHNOLOGIES CORP DE 2.02,9.01 02/24/11
Excel Trust, Inc. MD 2.02,9.01 02/23/11
Excel Trust, Inc. MD 9.01 12/09/10 AMEND
EXCO RESOURCES INC TX 2.02,9.01 02/23/11
EXTERRAN HOLDINGS INC. DE 2.02,9.01 02/24/11
EXTERRAN PARTNERS, L.P. DE 2.02,9.01 02/24/11
FARO TECHNOLOGIES INC FL 2.02,9.01 02/23/11
FBR CAPITAL MARKETS CORP VA 2.02,9.01 02/23/11
Federal Home Loan Bank of Atlanta X1 2.03 02/24/11
Federal Home Loan Bank of Boston X1 2.03 02/22/11
Federal Home Loan Bank of Chicago X1 2.03 02/22/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/22/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/24/11
Federal Home Loan Bank of New York X1 2.03,9.01 02/18/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/21/11
Federal Home Loan Bank of San Francis X1 2.03 02/18/11
Federal Home Loan Bank of Topeka 2.03,9.01 02/22/11
FEDERAL HOME LOAN MORTGAGE CORP 2.02,9.01 02/24/11
FedFirst Financial Corp 8.01,9.01 02/22/11
FelCor Lodging Trust Inc MD 2.02,9.01 02/24/11
First American Financial Corp DE 2.02,9.01 02/24/11
FIRST CAROLINA INVESTORS INC DE 8.01,9.01 02/24/11
FIRST INDUSTRIAL REALTY TRUST INC MD 2.02,9.01 02/23/11
FIRST PACTRUST BANCORP INC MD 8.01,9.01 02/24/11
FIRST PLACE FINANCIAL CORP /DE/ DE 3.01,9.01 02/17/11
FIRST SOLAR, INC. DE 2.02,9.01 02/24/11
Ford Credit Floorplan Master Owner Tr DE 8.01,9.01 02/24/11
Forestar Group Inc. DE 1.01,2.03,9.01 02/23/11
FORTUNE INDUSTRIES, INC. DE 8.01,9.01 02/21/11 AMEND
FOSTER L B CO PA 2.02,9.01 02/24/11
FOSTER WHEELER AG V8 2.02,9.01 02/24/11
FREEPORT MCMORAN COPPER & GOLD INC DE 8.01,9.01 02/24/11
FreightCar America, Inc. DE 8.01 02/21/11
FREMONT MICHIGAN INSURACORP INC MI 2.02,9.01 02/22/11
Fresh Harvest Products, Inc. 4.01,9.01 02/18/11
FRONTIER OIL CORP /NEW/ WY 2.02,9.01 02/24/11
FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.02,9.01 02/23/11
FTI CONSULTING INC MD 2.02,7.01,9.01 02/24/11
Galaxy Gaming, Inc. 1.01,5.02,9.01 02/24/11
GAP INC DE 2.02,7.01,9.01 02/24/11
GEO GROUP INC FL 2.02,9.01 02/17/11
GERON CORP DE 2.02,9.01 02/24/11
GigOptix, Inc. DE 2.02,8.01,9.01 02/24/11
GLOBAL DEFENSE TECHNOLOGY & SYSTEMS, DE 2.02,9.01 02/24/11
GLOBAL INDUSTRIES LTD LA 2.02,9.01 02/23/11
GOLDEN STAR RESOURCES LTD 2.02,9.01 02/23/11
GOLDRICH MINING CO AK 3.02 02/18/11
GOTTSCHALKS INC DE 8.01,9.01 02/18/11
Government Properties Income Trust MD 2.02,9.01 02/24/11
GRAFTECH INTERNATIONAL LTD DE 2.02,9.01 02/24/11
GRANITE CITY FOOD & BREWERY LTD MN 2.02,9.01 02/23/11
GRANITE CITY FOOD & BREWERY LTD MN 1.01,9.01 02/18/11
GRANITE CONSTRUCTION INC DE 2.02,9.01 02/23/11
GRAPHIC PACKAGING HOLDING CO DE 2.02,9.01 02/24/11
GREAT PLAINS ENERGY INC MO 2.02,9.01 02/24/11
Great Wolf Resorts, Inc. DE 2.02,9.01 02/23/11
GREATBATCH, INC. DE 2.02,9.01 02/24/11
GreenHouse Holdings, Inc. NV 1.01,3.02,9.01 02/18/11
GRYPHON GOLD CORP NV 1.01,7.01,9.01 02/22/11
GTX INC /DE/ DE 2.02,9.01 02/24/11
GULFMARK OFFSHORE INC DE 2.02,9.01 02/23/11
HANSEN NATURAL CORP DE 2.02,9.01 02/24/11
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 02/24/11
HARRIS & HARRIS GROUP INC /NY/ NY 1.01,2.03,9.01 02/24/11
HEALTHCARE REALTY TRUST INC MD 8.01,9.01 02/24/11
HeartWare International, Inc. DE 2.02,5.02,9.01 02/22/11
Heelys, Inc. DE 5.02 02/17/11
Heelys, Inc. DE 8.01,9.01 02/22/11
HEINZ H J CO PA 2.02,9.01 02/24/11
HELIX ENERGY SOLUTIONS GROUP INC MN 2.02,7.01,9.01 02/23/11
Heritage Financial Group Inc MD 1.01,2.01,8.01,9.01 02/18/11
Heritage-Crystal Clean, Inc. DE 2.02,9.01 02/24/11
HERSHA HOSPITALITY TRUST MD 2.02,9.01 02/23/11
Hillenbrand, Inc. IN 5.07 02/23/11
HMS HOLDINGS CORP 5.03 02/17/11
HOLLY CORP DE 2.02,9.01 02/24/11
Homeowners Choice, Inc. FL 1.01,5.02 02/17/11
Honda Auto Receivables 2011-1 Owner T CA 8.01,9.01 02/24/11
Honda Auto Receivables 2011-1 Owner T CA 1.01,9.01 02/24/11
HONEYWELL INTERNATIONAL INC DE 7.01,9.01 02/23/11
Horizon Lines, Inc. 1.01,2.02,5.02,7.01, 02/22/11
8.01,9.01
HOST HOTELS & RESORTS, INC. MD 8.01,9.01 02/24/11
HUMAN GENOME SCIENCES INC DE 2.02,9.01 02/24/11
HYPERCOM CORP DE 5.07,9.01 02/24/11
ICAHN ENTERPRISES L.P. DE 1.02 02/18/11
ICAHN ENTERPRISES L.P. DE 8.01,9.01 02/23/11
ILLINOIS TOOL WORKS INC DE 8.01 02/24/11
IMAX CORP A6 2.02,9.01 02/24/11
IMPAX LABORATORIES INC DE 2.02,9.01 02/24/11
INDEPENDENT BANK CORP MA 5.02 02/17/11
India Globalization Capital, Inc. MD 3.03,9.01 02/24/11
Industrial Income Trust Inc. MD 9.01 12/29/10 AMEND
INLAND WESTERN RETAIL REAL ESTATE TRU MD 8.01 02/24/11
INSITE VISION INC DE 2.02,9.01 02/24/11
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.02,7.01,9.01 02/24/11
INTEGRA LIFESCIENCES HOLDINGS CORP DE 5.02 02/22/11
INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 02/23/11
interclick, inc. DE 2.02,9.01 02/23/11
InterDigital, Inc. PA 2.02,9.01 02/23/11
INTERNAP NETWORK SERVICES CORP DE 2.02,9.01 02/24/11
INTERNATIONAL BALER CORP DE 4.01,9.01 02/04/11 AMEND
INTERNET CAPITAL GROUP INC DE 2.02,9.01 02/24/11
INTEVAC INC CA 8.01 02/22/11
Intrepid Potash, Inc. DE 2.02,9.01 02/23/11 AMEND
INVENTURE FOODS, INC. DE 2.02,9.01 02/24/11
IRON MOUNTAIN INC DE 2.02,9.01 02/24/11
ISTAR FINANCIAL INC MD 2.02,9.01 02/24/11
IVT SOFTWARE INC 1.01,2.01,3.02,5.01, 12/28/10 AMEND
5.02,5.03,5.06,8.01,
9.01
J P MORGAN CHASE & CO DE 8.01,9.01 02/24/11
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 02/24/11
KADANT INC DE 2.02,9.01 02/23/11
KADANT INC DE 2.02,9.01 02/24/11
KEMET CORP DE 8.01 02/17/11
KEYCORP /NEW/ OH 8.01,9.01 02/24/11
Kodiak Oil & Gas Corp B0 2.02,9.01 02/23/11
KOHLS Corp WI 2.02,7.01,8.01,9.01 02/24/11
LAM RESEARCH CORP DE 5.02 02/22/11
LEE ENTERPRISES, INC DE 5.07 02/23/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 02/24/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 02/24/11
LEHMAN ABS CORP BOEING NOTE BACKED SE DE 8.01,9.01 02/15/11
LEHMAN ABS CORP BOEING SECURITIES BAC DE 8.01,9.01 02/15/11
LEHMAN ABS CORP DUKE CAPITAL NOTE BAC DE 8.01,9.01 02/15/11
LEHMAN ABS CORP GOLD SACHS CAP I SEC DE 8.01,9.01 02/15/11
LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/11 AMEND
LEHMAN ABS CORP GOLDMAN SACHS CAP 1 S DE 8.01,9.01 02/15/11
LEHMAN ABS CORP GOLDMAN SACHS NOTE-BK DE 8.01,9.01 02/15/11
LEXICON PHARMACEUTICALS, INC./DE DE 2.02 02/22/11
LEXMARK INTERNATIONAL INC /KY/ DE 5.02,8.01,9.01 02/24/11
Liberty Global, Inc. 5.02 02/17/11
Liberty Global, Inc. 2.02,7.01 02/24/11
Liberty Global, Inc. 2.02,7.01 02/24/11
Limelight Networks, Inc. DE 8.01,9.01 02/24/11
LINN ENERGY, LLC DE 2.02,9.01 12/31/10
LITHIA MOTORS INC OR 2.02,5.02,9.01 02/23/11
LKQ CORP DE 2.02,9.01 02/24/11
LTX-CREDENCE CORP MA 2.02,9.01 02/24/11
LUBRIZOL Corp OH 5.02,9.01 02/21/11
MACQUARIE/FIRST TRUST GLOBAL INFRASTR 7.01,9.01 02/24/11
MADISON AVE. MEDIA, INC. DE 1.01,2.03,3.02,5.02 02/23/11
MADISON GAS & ELECTRIC CO WI 2.02,9.01 02/24/11
MAGELLAN HEALTH SERVICES INC DE 2.02,8.01,9.01 02/18/11
MAGMA DESIGN AUTOMATION INC DE 2.02,9.01 02/24/11
Market Leader, Inc. WA 1.01 02/17/11
MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 02/24/11
MASTEC INC FL 2.02,7.01,9.01 02/23/11
Mastech Holdings, Inc. PA 5.02 02/02/11
MATTHEWS INTERNATIONAL CORP PA 5.02 02/19/11
MAUI LAND & PINEAPPLE CO INC HI 1.01,2.03,8.01 02/23/11
MCDERMOTT INTERNATIONAL INC R1 5.02,9.01 02/17/11
MEDALLION FINANCIAL CORP DE 5.02 02/18/11
MEDASSETS INC DE 2.02,9.01 02/24/11
MEDASSETS INC DE 8.01,9.01 02/24/11
MEDICAL MAKEOVER CORP OF AMERICA DE 8.01 02/16/11
MENTOR GRAPHICS CORP OR 2.02 02/24/11
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 02/15/11
MESA ROYALTY TRUST/TX TX 2.02,9.01 02/24/11
METRO BANCORP, INC. 5.02 02/18/11
METROPCS COMMUNICATIONS INC DE 2.02,9.01 02/24/11
MGE ENERGY INC WI 2.02,9.01 02/24/11
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 02/18/11
MONTPELIER RE HOLDINGS LTD 8.01 02/24/11
Morningstar, Inc. IL 8.01,9.01 02/18/11
MORTONS RESTAURANT GROUP INC DE 2.02,9.01 02/24/11
Motors Liquidation Co DE 5.02,5.03,9.01 02/17/11
MxEnergy Holdings Inc 2.02,9.01 02/17/11
MYLAN INC. PA 2.02,9.01 02/24/11
NASDAQ OMX GROUP, INC. DE 5.02,9.01 02/17/11
NATIONAL BANK OF INDIANAPOLIS CORP IN 8.01 02/18/11
National CineMedia, Inc. DE 5.02 02/22/11
National Interstate CORP OH 2.02,9.01 02/23/11
Neenah Paper Inc DE 2.02,9.01 02/23/11
NetSpend Holdings, Inc. DE 2.02,9.01 02/24/11
NEW FRONTIER ENERGY INC CO 5.02 02/23/11
NEWMONT MINING CORP /DE/ DE 2.02,9.01 02/24/11
NEWS CORP 8.01,9.01 02/24/11
NII HOLDINGS INC DE 2.02,9.01 02/24/11
NORTEK INC DE 8.01 02/24/11
NORTHEAST UTILITIES MA 2.02,9.01 02/24/11
NORTHSTAR REALTY 2.02,9.01 02/24/11
NOVATEL WIRELESS INC DE 2.02,9.01 02/24/11
NTELOS HOLDINGS CORP 5.02 02/22/11
NTELOS HOLDINGS CORP 2.02,8.01,9.01 02/24/11
NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 02/24/11
NYTEX Energy Holdings, Inc. DE 7.01,9.01 02/24/11
OCWEN FINANCIAL CORP FL 5.02,8.01 02/24/11
OCWEN FINANCIAL Corp FL 2.02,9.01 02/24/11
OLYMPIC STEEL INC OH 2.02,9.01 02/24/11
OM GROUP INC DE 2.02,9.01 02/24/11
OMNI BIO PHARMACEUTICAL, INC. CO 5.02,7.01,9.01 02/22/11
OMNICARE INC DE 2.02,9.01 02/24/11
OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 02/24/11
OMNIVISION TECHNOLOGIES INC DE 3.01,5.02 02/22/11
ONE LIBERTY PROPERTIES INC MD 8.01 02/18/11
Oraco Resources, Inc. NV 5.03,8.01 02/23/11
ORBCOMM Inc. DE 1.01,8.01,9.01 02/24/11
ORBIT INTERNATIONAL CORP DE 1.01,9.01 02/22/11
Orient Paper Inc. NV 7.01,9.01 02/17/11
Owens Corning DE 2.02 02/24/11
Oxford Resource Partners LP DE 2.02,9.01 02/24/11
OYO GEOSPACE CORP DE 7.01,9.01 02/24/11
PACIFIC ENTERPRISES INC CA 2.02,9.01 02/24/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 1.01,1.02 02/17/11
PALATIN TECHNOLOGIES INC DE 1.01,2.02,9.01 02/24/11
PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 02/24/11
Parametric Sound Corp NV 1.01,3.02,9.01 02/22/11
PATTERSON COMPANIES, INC. MN 2.02,9.01 02/24/11
PC TEL INC DE 2.02,9.01 02/24/11
PENN VIRGINIA CORP VA 2.02,7.01,9.01 02/23/11
PEPSICO INC NC 7.01 02/24/11
PETROLEUM DEVELOPMENT CORP NV 2.02,9.01 02/24/11
PETROQUEST ENERGY INC DE 2.02 02/24/11
PGT, Inc. DE 2.02 02/24/11
PHARMACEUTICAL PRODUCT DEVELOPMENT IN NC 5.02 02/17/11
PharMerica CORP DE 2.02,9.01 02/24/11
Phillips Edison - ARC Shopping Center MD 7.01 02/22/11
Piedmont Office Realty Trust, Inc. MD 8.01,9.01 02/24/11
PILGRIMS PRIDE CORP DE 5.02 02/23/11
PINNACLE ENTERTAINMENT INC. DE 2.02,9.01 02/24/11
PLAINS EXPLORATION & PRODUCTION CO DE 2.02,9.01 02/24/11
POKERTEK, INC. NC 2.02,3.03,5.03,9.01 02/24/11
POKERTEK, INC. NC 2.02,3.03,5.03,9.01 02/24/11 AMEND
PONIARD PHARMACEUTICALS, INC. WA 8.01,9.01 02/24/11
PPLUS Trust Series GSC-2 DE 8.01,9.01 02/15/11
PPLUS TRUST SERIES GSC-3 DE 8.01,9.01 02/15/11
PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 02/24/11
PRGX GLOBAL, INC. GA 5.02 02/17/11
PRIMUS GUARANTY LTD 2.02,9.01 02/24/11
Probe Manufacturing Inc NV 1.01,2.03,9.01 02/18/11
Propell Corporation. DE 5.02 02/18/11
Puda Coal, Inc. 2.01,9.01 02/17/11
Pulse Beverage Corp NV 8.01 02/24/11
QEP RESOURCES, INC. DE 2.02,7.01,9.01 02/22/11
Quamtel, Inc. NV 4.01,9.01 02/20/11
QUESTAR CORP UT 2.02,9.01 02/22/11
QUICKSILVER RESOURCES INC DE 1.01,3.01,9.01 02/23/11
QUIDEL CORP /DE/ DE 2.02,9.01 02/24/11
RAILAMERICA INC /DE DE 2.02,9.01 02/23/11
RAILAMERICA INC /DE DE 1.01,9.01 02/23/11
RANGE RESOURCES CORP DE 7.01,9.01 02/23/11
RAYMOND JAMES FINANCIAL INC FL 7.01,9.01 02/23/11
RAYONIER INC NC 5.02,9.01 02/18/11
REALPAGE INC DE 1.01,2.03,5.02,8.01, 02/17/11
9.01
REALPAGE INC DE 2.02,9.01 02/24/11
REDWOOD TRUST INC MD 2.02,7.01,9.01 02/24/11
Riverview Financial Corp PA 8.01,9.01 02/21/11
ROCKWELL MEDICAL TECHNOLOGIES INC MI 1.01,9.01 02/17/11
S&T BANCORP INC PA 5.02,9.01 02/18/11
SAFEWAY INC DE 2.02,9.01 02/24/11
SAJAN INC DE 1.01,2.02,8.01,9.01 02/22/11
SALESFORCE COM INC DE 2.02,9.01 02/24/11
SAN DIEGO GAS & ELECTRIC CO CA 2.02,9.01 02/24/11
SANDRIDGE ENERGY INC DE 2.02,9.01 02/24/11
SANDY SPRING BANCORP INC MD 8.01,9.01 02/23/11
SCHOOL SPECIALTY INC WI 1.01,2.03,3.02,9.01 02/23/11
SCRIPPS E W CO /DE OH 2.02,9.01 02/24/11
SEARS HOLDINGS CORP DE 2.02,7.01,9.01 02/24/11
SEMPRA ENERGY CA 2.02,9.01 02/24/11
Shire plc 8.01,9.01 02/24/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 02/24/11
SINOFRESH HEALTHCARE INC FL 5.02,9.01 02/16/11
SIRONA DENTAL SYSTEMS, INC. DE 5.07 02/23/11
SMART BALANCE, INC. DE 2.02,9.01 02/24/11
Smart Kids Group Inc. FL 4.02 02/22/11
SMITH MICRO SOFTWARE INC DE 2.02,9.01 02/24/11
SOCKET MOBILE, INC. DE 1.01,3.02,9.01 02/23/11
SOUTHWEST GAS CORP CA 8.01 02/24/11
SPAN AMERICA MEDICAL SYSTEMS INC SC 5.07 02/18/11
STONE ENERGY CORP DE 2.02,7.01,9.01 02/23/11
STRATEGIC HOTELS & RESORTS, INC 2.02,9.01 02/23/11
SUN COMMUNITIES INC MD 9.01 02/24/11
SUPERIOR ENERGY SERVICES INC DE 2.02,9.01 02/23/11
SUPERIOR UNIFORM GROUP INC FL 2.02,9.01 02/24/11
SUPERMEDIA INC. DE 5.02 02/16/11
SUPREME INDUSTRIES INC DE 2.02,9.01 02/23/11
SUREWEST COMMUNICATIONS CA 2.02,9.01 02/24/11
Susser Holdings CORP DE 2.02,9.01 02/24/11
SWIFT ENERGY CO 2.02,9.01 02/24/11
Swisher Hygiene Inc. DE 1.01,3.02,9.01 02/23/11
SXC Health Solutions Corp. A6 2.02 02/24/11
SXC Health Solutions Corp. A6 2.02 02/24/11
SXC Health Solutions Corp. A6 2.02 02/24/11
SYCAMORE NETWORKS INC DE 2.02,9.01 02/24/11
Symmetry Medical Inc. DE 8.01,9.01 02/24/11
Synutra International, Inc. DE 5.07 02/18/11
Targa Resources Corp. DE 2.02,9.01 02/24/11
Targa Resources Partners LP DE 2.02,9.01 02/24/11
TARGET CORP MN 2.02,8.01,9.01 02/24/11
TechniScan, Inc. DE 1.01,8.01,9.01 02/17/11
TELEFLEX INC DE 2.01,9.01 02/24/11
TELEFLEX INC DE 7.01,9.01 02/24/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.02,9.01 12/31/10
THERMO FISHER SCIENTIFIC INC. DE 5.02,9.01 02/23/11
Thompson Creek Metals CO Inc. A6 7.01 02/24/11
TIME WARNER CABLE INC. DE 5.02,9.01 02/17/11
TITAN INTERNATIONAL INC IL 2.02,9.01 02/24/11
TMST, Inc. MD 7.01,9.01 02/22/11
TOLLGRADE COMMUNICATIONS INC \PA\ PA 2.02,9.01 02/23/11
TRANSATLANTIC PETROLEUM LTD. D0 1.01,3.02,8.01,9.01 02/18/11
TREE TOP INDUSTRIES, INC. NV 4.01,9.01 02/11/11 AMEND
TRI VALLEY CORP DE 8.01,9.01 02/24/11
TRONOX INC DE 1.01,1.02,3.02,3.03, 02/14/11
5.02,5.03,8.01,9.01
TRUE RELIGION APPAREL INC DE 2.02,7.01,9.01 02/24/11
TRUE RELIGION APPAREL INC DE 8.01,9.01 02/24/11
TUTOR PERINI Corp MA 2.02,9.01 02/24/11
TWO RIVERS WATER Co CO 7.01 02/24/11
TYLER TECHNOLOGIES INC DE 2.02 02/23/11
U S GOLD CORP CO 8.01,9.01 02/24/11
UNIGENE LABORATORIES INC DE 7.01,9.01 02/24/11
UNITED COMMUNITY BANKS INC GA 1.01,3.03,5.03,8.01, 02/22/11
9.01
UNITED STATES CELLULAR CORP DE 2.02,9.01 12/31/10
UNITED STATES STEEL CORP DE 5.02 02/24/11
UNIVERSAL ELECTRONICS INC DE 2.02,9.01 02/24/11
UNIVERSAL HEALTH REALTY INCOME TRUST MD 2.02,9.01 02/24/11
Uplift Nutrition, Inc. NV 4.01 02/24/11
US GEOTHERMAL INC DE 7.01,8.01,9.01 02/24/11
Valeant Pharmaceuticals International A6 2.02,9.01 02/24/11
VECTOR GROUP LTD DE 2.02,9.01 02/24/11
Verigy Ltd. U0 2.02,9.01 02/24/11
Verisk Analytics, Inc. DE 5.02,9.01 02/23/11
VERSANT CORP CA 2.02,9.01 02/24/11
VGTel, Inc. 1.01,5.02,9.01 02/15/11
VIBE RECORDS, INC. NEVADA NV 3.01,9.01 12/31/10
VIKING SYSTEMS INC DE 2.02,9.01 02/24/11
VIRGIN MEDIA INC. DE 8.01,9.01 02/24/11
VIROPHARMA INC DE 2.02,9.01 02/24/11
VirtualScopics, Inc. DE 2.02,9.01 02/24/11
Volcom Inc 2.02,7.01,9.01 02/24/11
Vulcan Materials CO NJ 7.01,9.01 01/24/11
WACHOVIA PREFERRED FUNDING CORP DE 5.02 02/23/11
WASHINGTON REAL ESTATE INVESTMENT TRU MD 5.02 02/17/11
WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 02/24/11
WELLCARE HEALTH PLANS, INC. DE 8.01 02/17/11
WESBANCO INC WV 8.01,9.01 02/24/11
WEST MARINE INC DE 2.02,9.01 02/24/11
WEST PHARMACEUTICAL SERVICES INC PA 5.02,7.01,9.01 02/22/11
WESTAR ENERGY INC /KS KS 2.02,5.02,7.01,9.01 02/24/11
Western Gas Partners LP DE 2.02,9.01 02/23/11
WESTSTAR FINANCIAL SERVICES CORP NC 8.01,9.01 02/22/11
WILSHIRE BANCORP INC CA 5.02,9.01 02/18/11
WINMARK CORP MN 2.02,7.01,8.01,9.01 02/24/11
Wolverine Bancorp, Inc. MD 7.01,9.01 02/23/11
WORLD FUEL SERVICES CORP FL 2.02,7.01,9.01 02/24/11
WORLDWIDE ENERGY & MANUFACTURING USA CO 5.02,9.01 02/19/11
WORTHINGTON INDUSTRIES INC OH 8.01,9.01 02/22/11
Yinfu Gold Corp. WY 5.02 01/23/11
YOU ON DEMAND HOLDINGS, INC. NV 5.03,9.01 02/23/11
ZST Digital Networks, Inc. DE 7.01,9.01 02/24/11
http://www.sec.gov/news/digest/2011/dig022511.htm
|