In the Matter of Divine Capital Markets, LLC, Danielle Hughes, and Michael Buonomo
On Feb. 25, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8(A) of the Securities Act of 1933 and Section 15(b) of the Securities Exchange Act of 1934 against registered broker-dealer Divine Capital Markets, LLC; its former registered representative, Michael Buonomo, 36 of Wood-Ridge, New Jersey and its CEO and majority owner Danielle Hughes, 41, of Jersey City, New Jersey.
The Division of Enforcement alleges in the Order that Buonomo and Divine participated in the unregistered offer and sale of over 9.8 billion shares of Advanced Optics Electronics, Inc. The Order alleges that beginning in February 2006, Buonomo established an account on behalf of JDC Swan Inc., a Florida corporation controlled by Jason Claffey, for the purpose of liquidating bulletin board and pink sheet companies. From approximately February 28, 2006 through June 2007, Divine and Buonomo publicly offered and sold over 9.8 billion shares of ADOT for over $2 million on behalf JDC Swan. According to the Order there was no effective registration statement pertaining to the offers and sales, and no valid exemptions from registration.
The Order also alleges that Danielle Hughes, Divine’s CEO, ignored red flags and failed to maintain adequate supervisory procedures that would have detected and prevented the registration violations.
The Division of Enforcement alleges that through their conduct, Divine and Buonomo willfully violated Sections 5(a) and 5(c) of the Securities Act and that Divine and Hughes failed reasonably to supervise Buonomo with a view to detecting and preventing his violations of the Securities Act.
An administrative hearing will be scheduled to determine whether the allegations in the Order are true, and to provide Divine, Hughes and Buonomo an opportunity to establish any defenses to the allegations. The proceedings also will determine whether remedial sanctions should be imposed. As directed by the Commission, the administrative law judge shall issue an initial decision in this matter no later than 300 days from the date of service of the Order. (Rel. 34-63980; File No. 3-14274)
In the Matter of Scott Wilkinson, CPA
On Feb. 25, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Scott Wilkinson (Wilkinson). The Order finds that on February 14, 2011, a judgment was entered against Respondent in SEC v. NutraCea, et al. (Civil Action No. CV 11-0092-PHX-SRB) (D. Arizona), permanently enjoining him from future violations of Section 13(b)(5) of the Exchange Act and Rules 13b2-1 and 13b2-2 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder.
The Order further finds that the Commission’s complaint in SEC v. NutraCea, et al. alleged, among other things, that NutraCea, through the misconduct of Wilkinson and others, overstated its sales revenues for its fiscal year 2007 by engaging in improper revenue recognition practices. The complaint alleged that Wilkinson violated the books and records and internal controls provisions of the federal securities laws because he knew that NutraCea improperly accounted for a $1.9 million sale in the fourth quarter of 2007. The complaint further alleged that Wilkinson also signed false management representation letters to NutraCea’s auditors.
Based on the above, the Order suspends Wilkinson from appearing or practicing before the Commission as an accountant with a right to apply for reinstatement after one year. Wilkinson consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of the order of permanent injunction. (Rel. 34-63982; AAE Rel. 3246; File No. 3-14275)
In the Matter of KPMG Australia
On Feb. 28, 2011, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 and Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order (Order) against KPMG Australia. The Order finds that KPMG Australia and certain other KPMG member firms provided non-audit services to two audit clients of KPMG Australia, identified in the Order as Companies A and B, both of which had a class of securities registered with the Commission during the relevant period, in violation of the auditor independence requirements imposed by the Commission’s rules and by U.S. generally accepted auditing standards, or, with respect to one financial reporting period relating to Company B, the standards of the Public Company Accounting Oversight Board. The Order finds that the violative services were rendered during fiscal years 2001 and 2002 in the case of Company A, and during fiscal years 2001 through 2004 in the case of Company B.
The Order finds that several distinct categories of non-audit services were rendered that violated Rule 2-01 of Commission Regulation S-X and therefore impaired independence. First, the Order finds that Respondent KPMG Australia and at least one other KPMG member firm outside Australia seconded non-tax professional staff to work at each client’s premises, under the supervision and direction of each client, doing the same types of work that each client’s own employees or managers ordinarily would perform, in violation of the prohibition under Rule 2-01(c)(4)(vi) against “[a]cting, temporarily or permanently, as a director, officer, or employee of an audit client, or performing any decision-making, supervisory, or ongoing monitoring function for the audit client.” Second, the Order finds that Respondent KPMG Australia received trailing commissions from an acquired subsidiary of Company B in exchange for KPMG Australia’s earlier promotion of the subsidiary’s products prior to the subsidiary’s acquisition by Company B. The Order finds that these services violated the prohibition under Rule 2-01(c)(3) against direct business relationships with an audit client. Third, the Order finds that certain overseas subsidiaries of Company B retained a legal practice associated with another KPMG member firm to provide litigation services in violation of the prohibition under Rule 2-01 against acting as an advocate for an audit client.
Based on the above, the Order finds that Respondent KPMG Australia engaged in improper professional conduct pursuant to Exchange Act Section 4C and Rule 102(e)(1)(ii) of the Commission’s Rules of Practice; (b) violated Rule 2-02(b) of Regulation S-X; and (c) caused Company A and Company B to violate Exchange Act Section 13(a) and Rule 13a-1. As a result of the foregoing, the Order censures KPMG Australia; orders KPMG Australia to cease and desist from committing any violations and any future violations of Rule 2-02 of Regulation S-X, and from causing any violations and any future violations of Exchange Act Section 13(a) and Rule 13a-1; orders KPMG Australia to disgorge $1.982 million in audit fees and pay $760,000 in pre-judgment interest; and orders KPMG Australia to comply with its undertaking to retain an independent consultant. (Rel. 34-63987; AAE Rel. 3248; File No. 3-14276)
Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Four Public Companies for Failure to Make Required Periodic Filings
Today the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of four companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the four issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law 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 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding 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 this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-63990; File No. 3-14277)
Commission Charges CEO of Public Company With Operating Fraudulent Investment Schemes
On Feb. 28, 2011, the Securities and Exchange Commission charged Francis E. Wilde and Matrix Holdings LLC, an entity he controls, with orchestrating two fraudulent, “high yield” or “prime bank” investment schemes that defrauded investors out of more than $11 million. Wilde is the CEO of Riptide Worldwide, Inc. (Riptide), a public company that is quoted on the OTC Market Group Inc.’s OTC Pink quotation service. The SEC alleges that Wilde started the fraudulent schemes when Riptide began experiencing financial difficulties. The SEC also charged Steven E. Woods, Mark A. Gelazela, and entities they control, for participating in the larger of the two schemes, and Bruce H. Haglund, a California-based attorney for aiding in that scheme.
According to the SEC’s complaint, filed in the U.S. District Court for the Central District of California, the first scheme began in April 2008 when Wilde obtained a U.S. Treasury bond with a market value of nearly $5 million from an investor. He secured the investment by knowingly making false and misleading promises of outsized returns from what he claimed was a “private placement program.” Wilde (through Matrix) then used the bond to secure a line of credit that he drew down to pay personal expenses, to pay investors, creditors and debt holders of Riptide, and to make failed attempts to acquire fictitious prime bank instruments or to invest in high yield programs.
The SEC further claims that, beginning in October 2009, Wilde concocted another fraudulent scheme with Woods and Gelazela in the form of a “bank guarantee funding” program using the services of Haglund as escrow attorney. Between October 2009 and mid-March 2010, Woods and Gelazela signed contracts with 24 investors who sent over $6.3 million to Haglund’s trust account. According to the SEC, Haglund knowingly and substantially aided and abetted the fraud perpetrated by Wilde, Woods and Gelazela. Haglund controlled the trust account into which investors were instructed to wire their funds. Haglund then wired those funds out of the account according to instructions from Wilde, thus allowing Wilde to utilize funds for undisclosed purposes.
The SEC alleges that Wilde never successfully acquired or leased a single legitimate financial instrument and exhausted all $6.3 million of the investors’ funds, much of which was taken by the defendants in the form of undisclosed fees.
The SEC’s complaint alleges that Wilde, Woods, Gelazela and entities they controlled violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; that Woods and Gelazela also violated Section 15(a) of the Exchange Act; and that Haglund aided and abetted the other defendants’ violations of Section 10(b) and Rule 10b-5. The SEC seeks permanent injunctions, disgorgement of ill-gotten gains with prejudgment interest thereon, financial penalties, and accountings, against each defendant, as well as officer and director bars against Wilde and Haglund. The SEC’s complaint also names Wilde’s wife, Maureen Wilde, Shillelagh Capital Corporation (an entity Wilde controls), and IBalance LLC (an entity partially owned by Gelazela) as relief defendants. The SEC seeks disgorgement of all monies they have received improperly from any of the defendants. [SEC v. Francis E. Wilde, Steven E. Woods, Mark A. Gelazela, Bruce H. Haglund, Matrix Holdings LLC, BMW Majestic LLC, IDLYC Holdings Trust LLC, and IDLYC Holdings Trust, et al., Case No. SACV 11-315 DOC (AJWx ) (C.D. Cal.] (LR-21866)
SEC Charges Military Body Armor Supplier and Its Former Outside Directors with Financial Fraud
The Securities and Exchange Commission today filed securities fraud charges against DHB Industries, Inc. n/k/a Point Blank Solutions, Inc. (DHB), a major supplier of body armor to the U.S. military and law enforcement agencies, for engaging in a massive accounting fraud that occurred at the company between 2003 and 2005. The agency also filed separate fraud charges against DHB’s former outside directors and audit committee members, Jerome Krantz, Cary Chasin, and Gary Nadelman, for facilitating the company’s fraud.
The SEC’s complaint against DHB, filed in U.S. District Court for the Southern District of Florida, alleges that the company, through its senior executive officers, engaged in pervasive accounting and disclosure fraud, and misappropriation of company assets that resulted in the company filing materially false and misleading periodic reports with the SEC. The complaint against Krantz, Chasin, and Nadelman alleges that they facilitated DHB’s fraud by willfully ignoring numerous, significant red flags signaling widespread accounting fraud and misappropriation at the company by senior officers.
The SEC’s complaint against Krantz, Chasin, and Nadelman alleges that from at least 2003 through 2005, they were willfully blind to numerous red flags signaling accounting fraud, reporting violations, and misappropriation at DHB. According to the complaint, Krantz, Chasin, and Nadelman’s willful blindness to these red flags, allowed senior management to manipulate the company’s reported gross profit, net income, and other key figures in its earnings releases and public filings. The company did so by, among other things, overstating inventory values, failing to include appropriate charges for obsolete inventory, and falsifying journal entries.
The complaint against Krantz, Chasin, and Nadelman further alleges that their willful blindness to red flags enabled DHB’s former chief executive officer, David Brooks, to divert at least $10 million out of the company through fraudulent transactions with a related entity he controlled. By ignoring the numerous red flags, the three outside directors also facilitated DHB’s improper payment of millions of dollars in personal expenses for Brooks. These expenses included such items as luxury cars, jewelry, art, real estate, extravagant vacations, and prostitution services. As a result of this misconduct, DHB’s SEC filings and press releases contained materially false and misleading financial and other information. Despite being confronted with numerous, significant, and compounding red flags indicating fraud, Krantz, Chasin, and Nadelman approved and/or signed DHB’s false and misleading filings.
The SEC’s complaint against DHB charges it with violating Sections 10(b), 13(a), 13(b)(2)(A),13(b)(2)(B), and 14(a) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13 thereunder.
The complaint against Krantz, Chasin, and Nadelman charges them with violating Sections 10(b) and 14(a) of the Exchange Act and Rules 10b-5 and 14a-9 thereunder, and with aiding and abetting DHB’s violations of Sections 10(b), 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1, 13a-11, and 13a-13 thereunder, and also charges Nadelman with violating Section 13(b)(5) of the Exchange Act and Rules 13b2-1 and 13b2-2 thereunder.
DHB has agreed to settle with the SEC and agreed to a permanent injunction from future violations. The proposed settlement took into account the remedial measures already taken by the company in this regard. The company is currently in bankruptcy and its settlement with the SEC is pending the approval of the bankruptcy court. Krantz, Chasin, and Nadelman have not settled to the charges and the SEC seeks injunctive relief, disgorgement of ill-gotten gains, monetary penalties, and officer and director bars against them.
The SEC previously filed civil fraud charges in federal district court against David Brooks and two other DHB senior officers – former chief operating officer Sandra Hatfield and former chief financial officer Dawn Schlegel – for their roles in this fraud. The U.S. Attorney’s Office for the Eastern District of New York also previously filed criminal charges against Brooks, Hatfield, and Schlegel based on the same conduct that led to the SEC’s action against them. On September 14, 2010, a jury convicted Brooks and Hatfield of, among other things, multiple counts of securities fraud, insider trading, and obstruction of justice, including obstructing the SEC’s investigation. Brooks and Hatfield are awaiting sentencing. Schlegel previously pled guilty to criminal charges pursuant to a plea agreement. The SEC’s civil actions against Brooks, Hatfield, and Schlegel are stayed pending the full resolution of the criminal actions. [SEC v. DHB Industries, Inc. n/k/a Point Blank Solutions, Inc., Civil Action No. 0:11-cv-60431-JIC (U.S. District Court for the Southern District of Florida; SEC v. Jerome Krantz, Cary Chasin, and Gary Nadelman, Civil Action No.0:11-cv-60432-WPD (U.S. District Court for the Southern District of Florida] (LR-21867; AAE Rel. 3247)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NASDAQ OMX PHLX relating to dividend and merger strategies (SR-Phlx-2011-20) 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. 34-63957)
A proposed rule change filed by NASDAQ OMX PHLX relating to rebates and fees for adding and removing liquidity in Select Symbols (SR-Phlx-2011-24) 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. 34-63958)
A proposed rule change filed by The NASDAQ Stock Market regarding the NASDAQ Order Imbalance Snapshot (SR-NASDAQ-2011-031) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63959)
A proposed rule change filed by the Municipal Securities Rulemaking Board consisting of amendments to Rule A-15, on notification to board of termination of municipal securities activities and change of name or address (SR-MSRB-2011-05) 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. 34-63962)
A proposed rule change filed by Financial Industry Regulatory Authority (SR-FINRA-2011-009) to eliminate duplicative filings under FINRA Rule 9610(a) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63966)
Proposed Rule Changes
The NASDAQ Stock Market has filed a proposed rule change under Rule 19b-4 (SR-NASDAQ-2011-030) to adopt new Rule 4763 to implement the amendments to Regulation SHO. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63968)
The Commission issued notice of a proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (SR-FINRA-2011-008) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to require public disclosure of any access or post-transaction fees for executions against a public quotation in an OTC Equity Security. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63960)
Approval of Proposed Rule Change
The Commission granted approval to a proposed rule change (SR-FINRA-2010-059) submitted by the Financial Industry Regulatory Authority, Inc. to adopt FINRA Rule 4360 (Fidelity Bonds) in the Consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of February 28. (Rel. 34-63961)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 CITRIX SYSTEMS INC, 851 WEST CYPRESS CREEK ROAD, FORT LAUDERDALE, FL, 33309, 954-267-3000 - 0 ($6,881,973.00) Equity, (File 333-172430 - Feb. 25) (BR. 03A) S-4 LOCKHEED MARTIN CORP, 6801 ROCKLEDGE DR, BETHESDA, MD, 20817, 3018976000 - 0 ($728,191,000.00) Other, (File 333-172431 - Feb. 25) (BR. 05C) S-4 Rock-Tenn CO, 504 THRASHER STREET, NORCROSS, GA, 30071, (770) 448-2193 - 0 ($2,118,577,312.00) Equity, (File 333-172432 - Feb. 25) (BR. 09A) S-8 ATSI COMMUNICATIONS INC/DE, 8600 WURZBACH, SUITE 700 WEST, SAN ANTONIO, TX, 78240, 210-614-7240 - 12,500,000 ($539,030.00) Equity, (File 333-172433 - Feb. 25) (BR. 11B) S-8 CEPHEID, 904 CARIBBEAN DRIVE, SUNNYVALE, CA, 94089, 4085414191 - 200,000 ($4,212,600.00) Equity, (File 333-172434 - Feb. 25) (BR. 10A) S-8 ShangPharma Corp, NO. 5 BUILDING, 998 HALEI ROAD, ZHANGJIANG HI-TECH PARK PUDONG NEW AREA, SHANGHAI, F4, 201203, (86-21) 5132-0088 - 0 ($35,924,098.40) ADRs/ADSs, (File 333-172435 - Feb. 25) (BR. 01B) F-1 Global Market Group Ltd, 17F, Tower A, Victory Plaza, No.103, Tiyu Xi Road Guangzhou, Guangdong, F4, 510620, (86) 20-8600-2299 - 0 ($50,000,000.00) ADRs/ADSs, (File 333-172438 - Feb. 25) (BR. 02) N-2 FIRST TRUST ENERGY INFRASTRUCTURE FUND, 120 EAST LIBERTY DRIVE, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($20,000.00) Equity, (File 333-172439 - Feb. 25) (BR. ) S-1 Finishing Touches Home Goods Inc., 3420 E.SHEA BOULEVARD, SUITE 200, PHOENIX, AZ, 85028, (480)945-3449 - 3,000,000 ($30,000.00) Equity, (File 333-172440 - Feb. 25) (BR. ) S-3 STRATEGIC HOTELS & RESORTS, INC, 200 WEST MADISON STREET, SUITE 1700, CHICAGO, IL, 60606-3415, 3126585000 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-172441 - Feb. 25) (BR. 08C) S-1 Advanced BioHealing Inc, 36 CHURCH LANE, WESTPORT, CT, 06880, 203-682-7224 - 0 ($200,000,000.00) Equity, (File 333-172442 - Feb. 25) (BR. 01) S-8 JABIL CIRCUIT INC, 10560 NINTH ST NORTH, ST PETERSBURG, FL, 33716, 7275779749 - 0 ($5,000,000.00) Other, (File 333-172443 - Feb. 25) (BR. 03B) S-8 ADVANCED ANALOGIC TECHNOLOGIES INC, 3230 SCOTT BOULEVARD, SANTA CLARA, CA, 95054, (408) 737-4600 - 1,395,736 ($5,879,792.72) Equity, (File 333-172444 - Feb. 25) (BR. 10A) S-8 Pike Electric CORP, 100 PIKE WAY, MOUNT AIRY, NC, 27030, (336) 789-2171 - 0 ($20,000,000.00) Other, (File 333-172446 - Feb. 25) (BR. 06B) S-8 EQUINIX INC, ONE LAGOON DRIVE, 4TH FLOOR, REDWOOD CITY, CA, 94065, (650) 598-6000 - 500,000 ($43,420,000.00) Equity, (File 333-172447 - Feb. 25) (BR. 11C) S-8 Contango ORE, Inc., 3700 BUFFALO SPEEDWAY, STE 960, HOUSTON, TX, 77098, 713-960-1901 - 0 ($17,569,182.00) Equity, (File 333-172448 - Feb. 25) (BR. 04C) S-1 DANE EXPLORATION INC., C/O DAS CORPORATE SERVICES INC., 558 BERRY STREET, COQUITLAM, A1, V3J 5T3, 604-805-7292 - 25,000,000 ($500,000.00) Equity, (File 333-172450 - Feb. 25) (BR. ) S-8 Blackstone Group L.P., 345 PARK AVENUE, NEW YORK, NY, 10154, (212) 583-5000 - 0 ($209,220,039.00) Equity, (File 333-172451 - Feb. 25) (BR. 06C) S-8 Manhattan Bancorp, 2221 E. ROSECRANS AVENUE, SUITE 131, EL SEGUNDO, CA, 90245, 310 321-6164 - 0 ($2,355,044.40) Equity, (File 333-172452 - Feb. 25) (BR. 07C) S-8 Manhattan Bancorp, 2221 E. ROSECRANS AVENUE, SUITE 131, EL SEGUNDO, CA, 90245, 310 321-6164 - 0 ($2,322,778.00) Equity, (File 333-172453 - Feb. 25) (BR. 07C) S-8 INTEL CORP, 2200 MISSION COLLEGE BLVD, RNB-4-151, SANTA CLARA, CA, 95054, 4087658080 - 139,326 ($299,550.90) Equity, (File 333-172454 - Feb. 25) (BR. 10B) S-1 Shiner International, Inc., 19/F, DIDU BUILDING, RIVER PEARL PLAZA, NORTH LONGKUN ROAD, HAIKOU, HAINAN PROVINCE, F4, 570125, 86-898-68581104 - 3,130,000 ($4,444,600.00) Equity, (File 333-172455 - Feb. 25) (BR. 06B) S-3 ASR WINDSTREAM CORP, 4001 RODNEY PARHAM RD., LITTLE ROCK, AR, 72212, 5017487000 - 0 ($59,927,000.00) Equity, (File 333-172456 - Feb. 25) (BR. 11B) S-8 JABIL CIRCUIT INC, 10560 NINTH ST NORTH, ST PETERSBURG, FL, 33716, 7275779749 - 0 ($178,150,500.00) Equity, (File 333-172457 - Feb. 25) (BR. 03B) S-8 JABIL CIRCUIT INC, 10560 NINTH ST NORTH, ST PETERSBURG, FL, 33716, 7275779749 - 0 ($120,780,000.00) Equity, (File 333-172458 - Feb. 25) (BR. 03B) S-8 FORTINET INC, 1090 KIFER ROAD, SUNNYVALE, CA, 94086, 408-235-7700 - 3,719,050 ($145,600,807.50) Equity, (File 333-172459 - Feb. 25) (BR. 03C) S-8 DUPONT FABROS TECHNOLOGY, INC., 1212 NEW YORK AVENUE, NW, SUITE 900, WASHINGTON, DC, 20005, 202-728-0044 - 1,378,125 ($31,490,156.25) Equity, (File 333-172460 - Feb. 25) (BR. 08C) S-8 LIGHTING SCIENCE GROUP CORP, 1227 SOUTH PATRICK DRIVE, BUILDING 2A, SATELLITE BEACH, FL, 32937, 321-779-5520 - 0 ($34,880,000.00) Equity, (File 333-172461 - Feb. 25) (BR. 11A) S-3 ASR GLIMCHER REALTY TRUST, 180 EAST BROAD STREET, COLUMBUS, OH, 43215, 6146219000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172462 - Feb. 25) (BR. 08B) S-8 ZIMMER HOLDINGS INC, 345 EAST MAIN STREET, WARSAW, IN, 46580, 5742676131 - 0 ($120,656,570.00) Other, (File 333-172463 - Feb. 25) (BR. 10C) S-8 FIRSTENERGY CORP, 330-761-7837 - 0 ($19,477,239.84) Equity, (File 333-172464 - Feb. 25) (BR. 02B) S-8 NUVASIVE INC, 7475 LUSK BLVD., SAN DIEGO, CA, 92121, (858) 909-1800 - 0 ($205,983,540.00) Equity, (File 333-172465 - Feb. 25) (BR. 10B) S-8 LIGHTING SCIENCE GROUP CORP, 1227 SOUTH PATRICK DRIVE, BUILDING 2A, SATELLITE BEACH, FL, 32937, 321-779-5520 - 0 ($8,720,000.00) Equity, (File 333-172466 - Feb. 25) (BR. 11A) S-3D CHEMICAL FINANCIAL CORP, 235 E MAIN ST, MIDLAND, MI, 48640, 989-839-5350 - 300,000 ($6,138,000.00) Equity, (File 333-172467 - Feb. 25) (BR. 07C) S-3 ASR Hyatt Hotels Corp, 71 SOUTH WACKER DRIVE, 12TH FLOOR, CHICAGO, IL, 60606, (312) 750-1234 - 0 ($867,710,250.67) Equity, (File 333-172468 - Feb. 25) (BR. 08C) S-8 SolarWinds, Inc., 3711 SOUTH MOPAC EXPRESSWAY, BUILDING TWO, AUSTIN, TX, 78746, 512-682-9500 - 0 ($72,262,525.00) Equity, (File 333-172470 - Feb. 25) (BR. 03A) F-3 VOCALTEC COMMUNICATIONS LTD, 2 MASKIT ST, HERZLIYA 46733, L3, 01197299707845 - 0 ($75,475,000.00) Equity, (File 333-172471 - Feb. 25) (BR. 11A) S-8 PASSUR Aerospace, Inc., 47 ARCH STREET, GREENWICH, CT, 06830, 2036224086 - 500,000 ($1,650,000.00) Equity, (File 333-172472 - Feb. 25) (BR. 03B)
Form 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 ABOVENET INC DE 2.02,7.01,9.01 02/25/11 ACCO BRANDS CORP DE 5.02,9.01 02/23/11 ACCURIDE CORP DE 2.02,7.01,9.01 02/24/11 ACL SEMICONDUCTORS INC 5.02,9.01 02/21/11 ADEN SOLUTIONS INC. NV 1.01,9.01 02/23/11 ADEN SOLUTIONS INC. NV 5.02 02/24/11 ADVANCED MICRO DEVICES INC DE 5.02,9.01 02/18/11 ADVANTA CORP DE 7.01,9.01 02/25/11 AEOLUS PHARMACEUTICALS, INC. DE 1.01 02/18/11 AIRTRAN HOLDINGS INC NV 1.01,7.01,9.01 02/25/11 Alberto-Culver CO DE 5.07 02/24/11 ALLEGHENY ENERGY, INC MD 3.01,3.03,5.01,5.02, 02/25/11 5.03,9.01 Allied World Assurance Co Holdings, A 7.01,9.01 02/25/11 Alpha Natural Resources, Inc. DE 8.01,9.01 02/25/11 ALTRIA GROUP, INC. VA 5.03,9.01 02/24/11 AMAG PHARMACEUTICALS INC. DE 2.02,9.01 02/25/11 AMERCO /NV/ NV 8.01 02/22/11 AMERICAN INTERNATIONAL GROUP INC DE 2.02,9.01 02/24/11 AMEND American Water Works Company, Inc. DE 2.02,9.01 02/25/11 Amerilithium Corp. NV 8.01,9.01 02/17/11 ANALYSTS INTERNATIONAL CORP 5.02,9.01 02/24/11 ante5, Inc. DE 5.02,8.01,9.01 02/22/11 APACHE CORP DE 5.02,9.01 02/21/11 APOGEE ENTERPRISES INC MN 5.02 02/18/11 ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 02/24/11 ARBINET Corp DE 5.07,8.01,9.01 02/25/11 ARCH CAPITAL GROUP LTD. 7.01,8.01,9.01 02/25/11 ARES CAPITAL CORP MD 5.03,9.01 02/25/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/25/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/25/11 ASSURED GUARANTY LTD D0 2.02,9.01 02/24/11 ATP OIL & GAS CORP TX 1.01,2.03,3.03,8.01, 02/19/11 9.01 Atrinsic, Inc. DE 5.02,9.01 02/24/11 Aurum, Inc. DE 1.01,7.01,9.01 12/31/10 BANCFIRST CORP /OK/ OK 7.01 02/25/11 BANKATLANTIC BANCORP INC FL 1.01,7.01,9.01 02/23/11 BEACON POWER CORP DE 3.03,5.03,9.01 02/24/11 BIGLARI HOLDINGS INC. IN 1.01,2.03 02/18/11 BIOMODA INC/NM 1.01,3.02,8.01,9.01 02/25/11 AMEND BLACKSANDS PETROLEUM, INC. NV 7.01,9.01 02/23/11 BLOCKBUSTER INC DE 7.01,9.01 02/15/11 BLOCKBUSTER INC DE 1.01,1.02,7.01 02/21/11 Blue Earth, Inc. DE 5.02,9.01 02/21/11 BMB MUNAI INC 1.01,8.01,9.01 02/23/11 BRIGHAM EXPLORATION CO DE 1.01,2.02,2.03,7.01, 01/27/11 9.01 Business Marketing Services Inc DE 2.01,9.01 02/25/11 CAESARS ENTERTAINMENT Corp DE 2.02,9.01 02/25/11 CALIFORNIA COASTAL COMMUNITIES INC DE 1.03,7.01,8.01,9.01 02/24/11 CALIX, INC 2.01,5.02,8.01,9.01 02/22/11 CAREY W P & CO LLC DE 7.01,9.01 02/25/11 Caribou Coffee Company, Inc. MN 5.02 02/25/11 CARRIAGE SERVICES INC DE 2.02,5.02,8.01,9.01 02/24/11 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 02/25/11 CENTRAL PACIFIC FINANCIAL CORP HI 5.02,9.01 02/18/11 CENTRUE FINANCIAL CORP DE 3.01 02/22/11 CHARLES RIVER LABORATORIES INTERNATIO 1.01,2.03,9.01 02/24/11 CHARTER FINANCIAL CORP/GA 5.07 02/23/11 CHESAPEAKE ENERGY CORP OK 8.01 02/21/11 China Education Acquisition Corp. DE 4.01 02/25/11 CHINA ELECTRIC MOTOR, INC. DE 1.01,9.01 02/25/11 CHINA GREEN MATERIAL TECHNOLOGIES, IN NV 7.01,9.01 02/25/11 China High Technology Acquisition Cor DE 4.01 02/25/11 CIRRUS LOGIC INC DE 5.02 02/24/11 CITIZENS SOUTH BANKING CORP DE 8.01,9.01 02/23/11 CLINICAL DATA INC DE 1.01,9.01 02/22/11 CMS Bancorp, Inc. DE 5.07 02/25/11 CNA FINANCIAL CORP DE 5.02,9.01 02/22/11 COACH INC MD 5.02,9.01 02/25/11 COBRA ELECTRONICS CORP DE 2.02,9.01 02/25/11 COCA-COLA ENTERPRISES, INC. DE 7.01 02/25/11 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.02 02/23/11 COMCAST CORP PA 5.02,9.01 02/22/11 COMMUNITY SHORES BANK CORP MI 5.02 02/23/11 COMPUTER PROGRAMS & SYSTEMS INC DE 5.02 02/25/11 CONCEPTUS INC DE 8.01,9.01 02/24/11 Conforce International, Inc. DE 3.02 02/25/11 Constant Contact, Inc. DE 1.01,1.02 02/18/11 Constellation Energy Partners LLC DE 2.02,9.01 02/25/11 Consumer Capital Group, Inc. 5.03,9.01 02/17/11 COOPER TIRE & RUBBER CO DE 2.02,9.01 02/25/11 CoreSite Realty Corp MD 5.05,9.01 02/23/11 Corporate Resource Services, Inc. DE 5.02,9.01 02/18/11 Corporate Resource Services, Inc. DE 2.01,9.01 12/14/10 AMEND CORRECTIONS CORP OF AMERICA MD 1.01 02/23/11 CORTLAND BANCORP INC OH 2.02,9.01 02/25/11 CPG INTERNATIONAL INC. DE 1.01,1.02,2.03,8.01 02/25/11 CRESCENT FINANCIAL CORP NC 1.01,2.02,3.02,5.02, 02/19/11 9.01 CROSSTEX ENERGY INC DE 2.02,9.01 02/25/11 CROSSTEX ENERGY LP DE 2.02,9.01 02/25/11 CTM MEDIA HOLDINGS, INC. DE 8.01 02/22/11 Cyber Supply Inc. NV 1.01,9.01 02/23/11 DCP Midstream Partners, LP DE 2.02,9.01 02/24/11 DEERE & CO DE 5.07 02/23/11 DELCATH SYSTEMS INC DE 7.01,9.01 02/22/11 DIGITAL ANGEL CORP DE 1.01,2.03,3.02,9.01 02/24/11 Digital Realty Trust, Inc. 8.01 02/25/11 DISH Network CORP NV 1.01 02/24/11 Divine Skin Inc. FL 4.01,9.01 02/22/11 DOLE FOOD CO INC DE 5.02,8.01,9.01 02/24/11 DONEGAL GROUP INC DE 2.02,9.01 02/25/11 Dot VN, Inc. DE 1.01,8.01,9.01 02/22/11 DOUBLE EAGLE PETROLEUM CO MD 5.02,7.01,9.01 02/23/11 DOVER MOTORSPORTS INC DE 1.01,2.01 02/18/11 Dresser-Rand Group Inc. DE 2.02,9.01 02/24/11 DREW INDUSTRIES INC DE 2.03,9.01 02/24/11 DSW Inc. OH 1.01,8.01,9.01 02/08/11 AMEND EASTMAN KODAK CO NJ 8.01 02/25/11 Elemental Protective Coating Corp. NV 1.01,1.02,2.02,3.02, 02/23/11 AMEND 5.02,5.03,5.07,9.01 ELRAY RESOURCES, INC. NV 1.01,5.01,5.02,9.01 02/23/11 EMCOR GROUP INC DE 2.02,9.01 02/24/11 Endeavor Power Corp NV 1.01,2.03,3.02,9.01 02/23/11 ENDOLOGIX INC /DE/ DE 2.02,9.01 02/22/11 Energy Future Holdings Corp /TX/ TX 8.01 02/25/11 Energy Telecom, Inc. FL 7.01,9.01 02/25/11 ESSEX PROPERTY TRUST INC MD 3.01,5.02,9.01 02/18/11 Eureka Financial Corp. 8.01,9.01 02/22/11 EXTERRAN HOLDINGS INC. DE 5.02 02/21/11 EXTERRAN PARTNERS, L.P. DE 5.02 02/21/11 FBR CAPITAL MARKETS CORP VA 8.01 02/24/11 FEDERAL NATIONAL MORTGAGE ASSOCIATION 2.02,7.01,9.01 02/24/11 FEDERAL REALTY INVESTMENT TRUST MD 1.01,9.01 02/24/11 Feigeda Electronic Technology, Inc. DE 1.01,2.01,2.02,3.02, 12/16/10 AMEND 4.01,5.01,5.02,5.03, 5.06 First California Financial Group, Inc DE 1.01,2.01,7.01,9.01 02/18/11 FIRST KEYSTONE CORP PA 8.01 02/25/11 FIRST MID ILLINOIS BANCSHARES INC DE 8.01 02/22/11 FIRST PACTRUST BANCORP INC MD 5.02,9.01 02/23/11 FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 02/24/11 FIRSTENERGY CORP OH 2.01,3.03,5.02,5.03, 02/25/11 8.01,9.01 FISERV INC WI 5.02,9.01 02/23/11 FISHER COMMUNICATIONS INC WA 5.02,7.01,8.01,9.01 02/18/11 FMC TECHNOLOGIES INC DE 8.01,9.01 02/25/11 FOREST LABORATORIES INC DE 1.01,9.01 02/25/11 Forex International Trading Corp. NV 1.01,2.03,3.02,9.01 02/23/11 Forex International Trading Corp. NV 1.01,2.01,3.02,9.01 02/23/11 FORTUNE INDUSTRIES, INC. DE 5.02 02/21/11 FORTUNE INDUSTRIES, INC. DE 5.02 02/21/11 AMEND Fresh Market, Inc. DE 1.01,1.02,2.03 02/22/11 FRONTIER FUND DE 8.01,9.01 02/24/11 FULTON FINANCIAL CORP PA 7.01,9.01 02/25/11 GARDNER DENVER INC DE 5.02,9.01 02/21/11 GARTNER INC DE 5.02,9.01 02/22/11 General Motors Co 2.02,9.01 02/24/11 GENERAL NUTRITION CENTERS, INC. 2.02,9.01 02/25/11 Geopulse Exploration Inc. NV 1.01,2.03,9.01 02/22/11 GeoVax Labs, Inc. DE 2.02,9.01 02/25/11 GIBRALTAR INDUSTRIES, INC. DE 2.02,7.01,9.01 02/24/11 GILEAD SCIENCES INC DE 1.01 02/21/11 GILLA INC. NV 4.01,9.01 02/20/11 GLOBAL CROSSING LTD 5.02 02/22/11 GLOBAL EARTH ENERGY, INC. NH 1.01,3.02,9.01 02/25/11 GLOBAL INDUSTRIES LTD LA 2.02,9.01 02/24/11 GOODRICH PETROLEUM CORP DE 7.01 02/25/11 GOODRICH PETROLEUM CORP DE 8.01,9.01 02/25/11 GRAN TIERRA ENERGY, INC. NV 2.02,9.01 02/24/11 Green Energy Live Inc NV 8.01 02/23/11 GTSI CORP DE 5.02 02/18/11 GULF ISLAND FABRICATION INC LA 2.02,9.01 02/24/11 GULF ISLAND FABRICATION INC LA 8.01,9.01 02/24/11 GULFMARK OFFSHORE INC DE 7.01,9.01 02/24/11 HALLIBURTON CO DE 8.01 02/22/11 HAMPTON ROADS BANKSHARES INC VA 5.02 02/24/11 Harbin Electric, Inc 1.01,9.01 02/23/11 HARVARD BIOSCIENCE INC DE 2.02,8.01,9.01 02/25/11 HEADWATERS INC DE 5.07,9.01 02/24/11 HECLA MINING CO/DE/ DE 2.02,9.01 02/24/11 HEMACARE CORP /CA/ CA 1.01 02/18/11 Heritage Financial Group Inc MD 8.01,9.01 02/23/11 HERSHEY CO DE 5.02,9.01 02/23/11 HERTZ CORP DE 2.02,9.01 02/23/11 HERTZ GLOBAL HOLDINGS INC 2.02,9.01 02/23/11 HINES REAL ESTATE INVESTMENT TRUST IN 8.01 02/25/11 HOLLYWOOD MEDIA CORP FL 8.01,9.01 02/25/11 HOMELAND ENERGY SOLUTIONS LLC 5.02 02/25/11 Homeland Security Network, Inc. 7.01,9.01 02/24/11 Horsehead Holding Corp 2.02,8.01,9.01 02/25/11 HUMANA INC DE 7.01,9.01 02/25/11 HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 02/25/11 ICOP DIGITAL, INC CO 7.01,9.01 02/25/11 IDENIX PHARMACEUTICALS INC 5.02,9.01 02/21/11 IDEX CORP /DE/ DE 5.02,9.01 02/22/11 ImmunoCellular Therapeutics, Ltd. DE 1.01,3.02,8.01,9.01 02/22/11 India Globalization Capital, Inc. MD 1.01,2.03,3.02,9.01 02/25/11 Information Services Group Inc. DE 5.02 02/22/11 INTERLINE BRANDS, INC./DE DE 2.02,9.01 02/25/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,8.01,9.01 02/24/11 IPASS INC DE 5.02 02/21/11 IPG PHOTONICS CORP DE 2.02,9.01 02/25/11 ITC DELTACOM INC DE 4.01,9.01 02/21/11 iTech Medical, Inc. DE 5.02,7.01,9.01 02/19/11 J C PENNEY CO INC DE 2.02,9.01 02/25/11 J C PENNEY CO INC DE 1.01,9.01 02/24/11 J CREW GROUP INC DE 8.01 02/24/11 Joway Health Industries Group Inc NV 5.02 02/22/11 KAYDON CORP DE 2.02,8.01,9.01 02/25/11 KELLOGG CO DE 5.02,9.01 02/18/11 Kenergy Scientific, Inc. NJ 5.03,9.01 02/03/11 KIRBY CORP NV 1.01,9.01 02/21/11 Kodiak Oil & Gas Corp B0 5.02 02/21/11 KRONOS INTERNATIONAL INC DE 8.01 02/17/11 KRONOS WORLDWIDE INC 8.01 02/17/11 LANDAUER INC DE 8.01,9.01 02/25/11 LEUCADIA NATIONAL CORP NY 8.01,9.01 02/25/11 LEXICON PHARMACEUTICALS, INC./DE DE 5.02 02/24/11 LEXINGTON REALTY TRUST MD 2.02,7.01,9.01 02/24/11 Liberty Global, Inc. 2.02,7.01 02/25/11 Liberty Global, Inc. 2.02,7.01 02/25/11 LIHUA INTERNATIONAL INC. DE 2.02,9.01 02/22/11 LIMITED BRANDS INC DE 2.02,7.01 02/23/11 LOCKHEED MARTIN CORP MD 5.02,9.01 02/24/11 LODGENET INTERACTIVE CORP DE 2.02,9.01 02/25/11 MAM SOFTWARE GROUP, INC. DE 5.07 02/18/11 MANPOWER INC /WI/ WI 1.01,5.02,9.01 02/16/11 AMEND MARKETAXESS HOLDINGS INC 5.02 02/23/11 MARTEK BIOSCIENCES CORP DE 1.02,3.01,3.02,3.03, 02/18/11 5.01,5.02,5.03,9.01 Masterbeat Corp DE 2.01,4.01,5.01,5.02, 02/24/11 9.01 MATRIXX RESOURCE HOLDINGS, INC. DE 2.01 02/24/11 Mayflower Bancorp Inc MA 2.02,9.01 02/23/11 MEDIACOM COMMUNICATIONS CORP DE 2.02,9.01 02/25/11 MEDICIS PHARMACEUTICAL CORP DE 1.01,2.02,9.01 02/24/11 MELO BIOTECHNOLOGY HOLDINGS INC. A6 3.02 02/24/11 MEMC ELECTRONIC MATERIALS INC DE 5.02 02/21/11 MERISEL INC /DE/ DE 5.01 02/21/11 METALICO INC 8.01,9.01 02/25/11 MICROFLUIDICS INTERNATIONAL CORP DE 1.02,5.01,5.02,9.01 02/25/11 Midway Gold Corp A1 7.01,9.01 02/18/11 MILLER PETROLEUM INC TN 7.01,9.01 02/25/11 Momentive Performance Materials Inc. DE 2.02 02/25/11 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 2.02,9.01 02/25/11 MONARCH CASINO & RESORT INC NV 2.02,9.01 02/24/11 NCI BUILDING SYSTEMS INC DE 5.07 02/18/11 NCI, Inc. DE 1.01,9.01 02/24/11 NEUSTAR INC 5.02 02/22/11 New Leaf Brands, Inc. NV 5.02,9.01 02/21/11 New Oriental Energy & Chemical Corp. DE 1.01,3.02,8.01,9.01 10/18/10 AMEND NEWBRIDGE BANCORP NC 5.02,9.01 02/21/11 NORTHWEST NATURAL GAS CO OR 2.02,7.01,9.01 02/25/11 NovaBay Pharmaceuticals, Inc. CA 5.02 02/22/11 NTELOS HOLDINGS CORP 7.01,9.01 02/25/11 NTS REALTY HOLDINGS LP DE 9.01 12/22/10 AMEND NUTRACEA CA 2.02,7.01,9.01 02/25/11 ORIENT EXPRESS HOTELS LTD D0 2.02,9.01 02/24/11 PACIFIC GAS & ELECTRIC Co CA 8.01 02/24/11 PC MALL INC DE 1.01,2.03 02/23/11 PEPCO HOLDINGS INC DE 2.02,7.01,9.01 02/25/11 PERKINELMER INC MA 7.01 02/25/11 PG&E CORP CA 8.01 02/24/11 PINNACLE WEST CAPITAL CORP AZ 1.01,2.03 02/23/11 PIONEER NATURAL RESOURCES CO DE 2.01,9.01 02/25/11 POLYCOM INC DE 5.02 02/22/11 POPULAR INC 5.02 02/18/11 PORTLAND GENERAL ELECTRIC CO /OR/ OR 2.02 02/25/11 Pregis Holding II CORP DE 5.02,9.01 02/25/11 PRICELINE COM INC DE 2.02,7.01,9.01 02/23/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 5.07,8.01,9.01 02/25/11 PROFILE TECHNOLOGIES INC DE 5.02,9.01 02/24/11 PROGRESS ENERGY INC NC 5.02,9.01 02/22/11 Protalix BioTherapeutics, Inc. FL 8.01,9.01 02/25/11 Q LOTUS HOLDINGS INC 5.02,9.01 01/25/11 Quanex Building Products CORP DE 2.02,9.01 02/24/11 Quanex Building Products CORP DE 5.07 02/24/11 QUESTAR CORP UT 5.02,9.01 02/18/11 QUICKSILVER RESOURCES INC DE 5.02,8.01,9.01 02/22/11 RAILAMERICA INC /DE DE 8.01 02/25/11 REDDY ICE HOLDINGS INC DE 8.01 02/23/11 REGAL ENTERTAINMENT GROUP DE 1.01,2.03,9.01 02/23/11 REGIONS FINANCIAL CORP DE 5.02,9.01 02/23/11 REINSURANCE GROUP OF AMERICA INC MO 5.02,9.01 02/22/11 RETAIL VENTURES INC OH 1.01,2.03,3.03,5.02, 02/25/11 AMEND 8.01,9.01 REVA Medical, Inc. DE 7.01,9.01 02/25/11 RIVAL TECHNOLOGIES INC NV 5.02 02/15/11 Riverdale Mining Inc. NV 1.01 02/23/11 Rockville Financial Inc. 5.07,8.01,9.01 02/18/11 Rockville Financial New, Inc. CT 8.01,9.01 02/25/11 Rosetta Resources Inc. DE 2.02,9.01 02/24/11 Rovi Corp DE 5.02 02/24/11 ROWAN COMPANIES INC DE 7.01,9.01 02/25/11 ROWAN COMPANIES INC DE 2.02,9.01 02/25/11 SANDERSON FARMS INC MS 1.01,1.02,2.02,2.03, 02/23/11 8.01,9.01 SANDISK CORP DE 5.02 02/22/11 SAVE THE WORLD AIR INC NV 5.02 11/30/10 SAVVIS, Inc. DE 5.02,9.01 02/24/11 SBA COMMUNICATIONS CORP FL 2.02,9.01 02/24/11 SBT Bancorp, Inc. CT 8.01,9.01 02/25/11 SCBT FINANCIAL CORP SC 1.01,2.01,9.01 02/18/11 SCIENTIFIC LEARNING CORP DE 5.02,9.01 02/23/11 SCOLR Pharma, Inc. DE 1.01,9.01 02/19/11 SCORPION PERFORMANCE, INC. FL 4.01,9.01 02/20/11 SEARS HOLDINGS CORP DE 5.02,9.01 02/23/11 SECURED FINANCIAL NETWORK, INC. NV 7.01,9.01 02/25/11 Sequoia Mortgage Trust 2011-1 MD 8.01,9.01 02/25/11 SHERIDAN GROUP INC DE 8.01,9.01 02/24/11 SINO CEMENT, INC NV 1.01,2.01,3.02,4.01, 02/21/11 5.02,5.06 SM Energy Co DE 2.02,9.01 02/24/11 SNYDER'S-LANCE, INC. NC 5.02,9.01 02/21/11 So Act Network, Inc. DE 1.01,3.02,9.01 02/22/11 So Act Network, Inc. DE 1.01,3.02,9.01 12/18/09 Somaxon Pharmaceuticals, Inc. DE 5.02 02/18/11 SOUTHERN UNION CO DE 2.02,7.01,9.01 02/25/11 SOUTHERN UNION CO DE 7.01,9.01 02/25/11 SOUTHWESTERN ENERGY CO DE 7.01 02/25/11 SOUTHWESTERN ENERGY CO DE 2.02,9.01 02/24/10 Spectrum Brands Holdings, Inc. DE 8.01,9.01 02/25/11 Spectrum Brands, Inc. DE 8.01,9.01 02/25/11 Spring Creek Healthcare Systems, Inc. NV 5.02 02/20/11 STANDARD REGISTER CO OH 2.02,9.01 02/25/11 STANDARD REGISTER CO OH 5.02,9.01 02/23/11 STERLING BANCORP NY 8.01 02/24/11 STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 02/15/11 STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 02/15/11 STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 02/15/11 STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 02/15/11 STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 02/15/11 STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 02/15/11 STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 02/15/11 Stream Global Services, Inc. DE 5.02 02/21/11 STURM RUGER & CO INC DE 7.01 02/24/11 SUNOCO INC PA 5.02 02/22/11 SUNRISE SENIOR LIVING INC DE 2.02,9.01 02/25/11 SUPERIOR ENERGY SERVICES INC DE 5.02,5.03,5.05,8.01, 02/22/11 9.01 Sutor Technology Group LTD 5.02,9.01 02/24/11 TELEFLEX INC DE 5.02 02/22/11 TENET HEALTHCARE CORP NV 2.02,9.01 02/25/11 TENGASCO INC TN 2.03,9.01 02/22/11 TESSERA TECHNOLOGIES INC DE 5.02 02/24/11 TETRA TECHNOLOGIES INC DE 2.02,9.01 02/25/11 TETRIDYN SOLUTIONS INC NV 1.01,2.03,9.01 02/19/11 Thompson Creek Metals CO Inc. A6 2.02,9.01 02/24/11 Thompson Creek Metals CO Inc. A6 1.01,9.01 02/24/11 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 02/16/11 TIBCO SOFTWARE INC DE 5.02,9.01 02/24/11 TIDEWATER INC DE 8.01 02/25/11 TIMESHARE HOLDINGS, INC. NV 1.01 02/24/11 TOLLGRADE COMMUNICATIONS INC \PA\ PA 1.01,5.02,8.01,9.01 02/20/11 TOPSPIN MEDICAL INC 5.02,5.03,9.01 02/11/11 TRANS1 INC 2.02,9.01 02/22/11 TransDigm Group INC DE 5.02,9.01 02/24/11 TreeHouse Foods, Inc. DE 5.03,9.01 02/24/11 TSIC, Inc. DE 7.01,9.01 02/16/11 U-Store-It Trust MD 2.02,7.01,9.01 02/24/11 U.S. Auto Parts Network, Inc. DE 5.02 02/22/11 UFP TECHNOLOGIES INC DE 2.02,5.02,9.01 02/18/11 UNIFI INC NY 5.02,9.01 02/18/11 UNISOURCE ENERGY CORP AZ 5.02 02/18/11 UNITED BANCORP INC /MI/ MI 2.02,9.01 02/25/11 United States 12 Month Natural Gas Fu 7.01,9.01 02/25/11 United States 12 Month Oil Fund, LP 7.01,9.01 02/25/11 United States Brent Oil Fund, LP DE 7.01,9.01 02/25/11 United States Commodity Index Funds T DE 7.01,9.01 02/25/11 United States Gasoline Fund, LP DE 7.01,9.01 02/25/11 United States Heating Oil Fund, LP DE 7.01,9.01 02/25/11 United States Natural Gas Fund, LP 7.01,9.01 02/25/11 United States Oil Fund, LP DE 7.01,9.01 02/25/11 United States Short Oil Fund, LP DE 7.01,9.01 02/25/11 UNIVERSAL AMERICAN CORP. NY 8.01,9.01 02/25/11 UNIVERSAL BIOSENSORS INC DE 5.02,9.01 02/21/11 UNIVERSAL TECHNICAL INSTITUTE INC DE 5.07 02/23/11 Universal Truckload Services, Inc. MI 2.02,9.01 02/24/11 VALIDUS HOLDINGS LTD 7.01,9.01 02/15/11 AMEND VALLEY FINANCIAL CORP /VA/ VA 5.02,5.03,9.01 02/24/11 VALMONT INDUSTRIES INC DE 5.02 02/25/11 VECTOR GROUP LTD DE 2.02,9.01 02/24/11 AMEND VISTA GOLD CORP B0 7.01 02/23/11 VSE CORP DE 2.02,9.01 02/24/11 VWR Funding, Inc. DE 2.02,7.01 02/25/11 VWR Funding, Inc. DE 7.01,9.01 02/25/11 W R GRACE & CO DE 2.02,9.01 02/25/11 WADDELL & REED FINANCIAL INC DE 5.02,5.03,9.01 02/22/11 WaferGen Bio-systems, Inc. 5.02 02/21/11 WALT DISNEY CO/ DE 8.01,9.01 02/22/11 Warner Chilcott plc 2.02,9.01 02/25/11 WASHINGTON MUTUAL, INC WA 7.01,9.01 02/24/11 WESBANCO INC WV 5.03,9.01 02/25/11 WESTMORELAND COAL Co DE 5.02 02/21/11 WISCONSIN ENERGY CORP WI 7.01,9.01 02/25/11 Xenacare Holdings, Inc. FL 4.01,9.01 02/20/11 XOMA LTD /DE/ DE 5.02 02/21/11 XPLORE TECHNOLOGIES CORP DE 1.01,3.02,7.01,9.01 02/23/11 Zalicus Inc. DE 8.01,9.01 02/25/11