Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on March 8, 2011 and terminating at 11:59 p.m. EDT on March 21, 2011.
The Commission temporarily suspended trading in the securities of these five issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64047)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Score One, Inc., and Global Peopleline Telecom, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64045; File No. 3-14251)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of CellPoint Inc., Centacom Technologies, Inc. (n/k/a Telycom Technologies, Inc.), and Centaur Mining & Exploration Ltd. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64046; File No. 3-14244)
Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings
In conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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 judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the 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. 34-64048; File No. 3-14287)
In the Matter of Sujata Sachdeva
On March 8, 2011, the Commission issued an Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice against Sujata Sachdeva. The Order finds that from 1992 through her termination on Dec. 23, 2009, Sachdeva was Principal Accounting Officer, Secretary, and Vice-President of Finance of Koss Corporation (Koss), located in Milwaukee, Wisconsin. On July 16, 2010, Sachdeva pleaded guilty to six counts of wire fraud, in violation of 18 U.S.C. Section 1343, in U.S. v. Sujata Sachdeva, No. 10-CR-6 ( E.D. Wisc.). The counts of the criminal indictment to which Sachdeva pleaded guilty alleged that she defrauded Koss and obtained money and property by means of material false and fraudulent pretenses and representations and did knowingly cause wire communications to be transmitted in interstate commerce for the purpose of executing her scheme. On Nov. 17, 2010, the court sentenced Sachdeva to a prison term of 132 months, followed by 3 years of supervised release, and ordered her to pay $34 million in restitution.
The Order suspends Sachdeva forthwith from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. Sachdeva consented to the issuance of the Order without admitting or denying the findings in the Order, except that she admitted her guilty plea, and that the criminal judgment and conviction were entered against her. (Rel. 34-64049; AAE Rel. 3251; File No. 3-14288)
SEC Charges Mortgage Company and Its President/CEO With Fraud
The Commission today charged Robert A. DiGiorgio of Cape Coral, Florida, and his company, Radius Capital Corporation, with securities fraud for making false and misleading statements relating to Radius’ issuance of mortgage-backed securities guaranteed by the Government National Mortgage Association (Ginnie Mae).
According to the complaint, from December 2005 through October 2006, Radius and DiGiorgio offered and sold 15 Ginnie-Mae guaranteed mortgage-backed securities to investors totaling approximately $23.5 million. Radius and DiGiorgio represented to Ginnie Mae, and to investors in 15 separate prospectuses, that the residential loans underlying the securities were, or would be, insured by the Federal Housing Administration (FHA) as required to receive Ginnie-Mae’s guarantee. The SEC alleges that Radius and DiGiorgio’s representations about the insurability of the underlying loans were false and misleading as the vast majority, more than 100 of the 154 underlying loans, were not, and could not, be FHA insured. The SEC alleges that Radius and DiGiorgio never applied for FHA insurance for most of the uninsured loans. According to the Complaint, even if Radius and DiGiorgio had actually applied for insurance, the uninsured loans could not have been insured because the borrowers failed to meet FHA’s debt-to-income, credit history, employment history, and other underwriting requirements. In October 2006, Radius defaulted on its pass-through payments to the investors holding the mortgage-backed securities. As a result, Ginnie Mae was required to pay investors the remaining principal balance on each uninsured loan that was in default, thereby incurring several million dollars in losses. In addition, investors holding the Radius securities lost interest income due to the unexpectedly high rate of prepayment of principal (by Ginnie Mae) as the Radius loans fell into default.
Radius and DiGiorgio are charged with violating the antifraud provisions of the federal securities laws, Section 17(a) of the Securities Act of 1933 [15 U.S.C. § 77q(a)], Section 10(b) of the Securities Exchange Act of 1934 [15 U.S.C. § 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. § 240.10b-5]. The complaint seeks permanent injunctive relief against future violations, a conduct-based injunction preventing Radius and DiGiorgio from offering mortgage-backed securities, disgorgement of ill-gotten gains with prejudgment interest and civil penalties, jointly and severally, against Radius and DiGiorgio.
The SEC wishes to acknowledge the assistance of the Department of Housing and Urban Development’s Inspector General’s Office, Government National Mortgage Association and the Federal Housing Administration. [SEC v. Radius Capital Corporation and Robert A. DiGiorgio. Civil Action No. 2:11-cv-00116-JES-DNF (M.D. Fla.)] (LR-21876)
Commission Charges Attorney With Two Instances of Insider Trading
The Commission today charged attorney Todd Leslie Treadway with insider trading in advance of two separate tender offer announcements during 2007 and 2008. According to the complaint, while employed as an attorney in the New York office of Dewey & LeBoeuf, LLP, Treadway provided advice on, among other things, the employee benefit and executive compensation consequences of mergers and acquisitions and had access to material nonpublic information concerning contemplated corporate acquisitions. The SEC alleges that in 2007, and again in 2008, Treadway used material, non-public information he obtained through his position at D&L to purchase stock in two separate companies prior to the announcement of the acquisition: In June 2007, Treadway purchased securities in Accredited Home Lenders Holding Company, and in May 2008 Treadway purchased securities in CNET Networks, Inc. According to the complaint, Treadway’s illegal trading resulted in profits of approximately $27,000.
The Commission’s complaint charges Treadway with violations of Sections 10(b) and 14(e) of the Securities and Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The Commission is seeking permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, and monetary penalties against Treadway.
The Commission acknowledges the assistance of FINRA. [SEC v. Todd Leslie Treadway, Civil Action No. 11-cv-1534 (S.D.N.Y.)] (LR-21877)
SEC Charges Joseph A. Dawson in $3.8 Million Offering Fraud and With Insider Trading
The Securities and Exchange Commission announced that on March 8, 2011, it filed a civil injunctive action in the United States District Court for the Northern District of Illinois against Joseph A. Dawson, a resident of Fox Lake, Illinois, and the president and owner of Dawson Trading, LLC. Dawson purportedly operated Dawson Trading as a pooled investment vehicle to invest in securities including, stocks, bonds, commodities, currencies, and options for family and friends. The SEC alleges that Dawson used Dawson Trading to perpetrate a fraudulent offering scheme through which he raised approximately $3.8 million. The SEC further alleges that Dawson, after misappropriating confidential information from a family member regarding a pending acquisition of SPSS Inc. by International Business Machines Corporation (IBM)¸ caused Dawson Trading to purchase call options of SPSS, reaping profits of $437,770.
The complaint alleges that from October 2004 through December 2009, Dawson used Dawson Trading to perpetrate a fraudulent offering scheme through which he raised approximately $3.8 million from 31 investors. Dawson offered investors promissory notes which purportedly provided a guaranteed interest rate, generally 5% compounded quarterly, plus a certain percentage of profits made with the investor’s funds. Contrary to the representations Dawson made to investors, instead of investing the $3.8 million in safe investments, Dawson misappropriated approximately $2.1 million of investors’ monies for his own personal expenses and purposes, and lost approximately $945,000 from trading securities. Despite having never invested the funds or losing the funds that were invested, Dawson provided false quarterly account statements to investors which showed significant returns. In addition, when investors redeemed their investments, Dawson, in the nature of a Ponzi scheme, paid them with other investors’ funds based upon the inflated returns reflected in the previously issued false account statements.
The SEC’s complaint further alleges that between June 4, 2009 and July 22, 2009, Dawson caused Dawson Trading to purchase call options of SPSS in advance of a July 28, 2009 announcement of an acquisition of SPSS by IBM, after learning from a family member and close friend and neighbor of a then-current officer of SPSS, that SPSS would be acquired by IBM. The family member and the officer routinely shared confidences regarding personal and business matters, including information concerning the pending acquisition of SPSS. Dawson began purchasing SPSS call options shortly after the family member sought financial advice from Dawson as to whether the family member could do anything with the confidential information he had learned from the officer.
The SEC’s complaint charges Dawson with violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Dawson has agreed to settle the SEC’s charges without admitting or denying the allegations. Dawson has consented to the entry of a final judgment, subject to the Court’s approval, permanently enjoining him from engaging in the above violations, and requiring him to pay disgorgement and prejudgment interest.
On November 18, 2010, Dawson pled guilty to three counts of wire fraud for conduct arising out of the fraudulent offering scheme described in the Complaint and on March 8, 2011, Dawson was sentenced to 54 months in prison and was ordered to pay restitution in the amount of $3.3 million.
The Commission acknowledges the Options Regulatory Surveillance Authority, the United States Attorney for the Northern District of Illinois, and the Federal Bureau of Investigation for their assistance in this matter. [SEC v. Joseph A. Dawson, Civil Action No. 1:11-cv-01615 (N.D. Ill.)] (LR-21878)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the Chicago Board Options Exchange to modify the fees schedule for the CBOE Stock Exchange (SR-CBOE-2011-020) 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 March 7. (Rel. 34-64027)
A proposed rule change filed by BATS Exchange (SR-BATS-2011-008) related to fees for use of BATS Exchange, Inc. 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 March 7. (Rel. 34-64033)
A proposed rule change filed by NYSE Arca extending the pilot period of the Exchange’s prior approvals to receive inbound routes of certain equities orders from Archipelago Securities LLC (SR-NYSEArca-2011-06) 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 March 7. (Rel. 34-64042)
Proposed Rule Changes
The Commission issued notice of a proposed rule change submitted by New York Stock Exchange (SR-NYSE-2011-09) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to modify the application of the Exchange’s Designated Market Maker (DMM) allocation policy in the event of a merger involving one or more listed companies. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64039)
The Commission issued notice of a proposed rule change submitted by NYSE Amex (SR-NYSEAmex-2011-11) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to modify the application of the Exchange’s Designated Market Maker (DMM) allocation policy in the event of a merger involving one or more listed companies. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64040)
Approval of Proposed Rule Change
The Commission approved a proposed rule change submitted by the Financial Industry Regulatory Authority (SR-FINRA-2011-004), pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, relating to the Trading Activity Fee rate for transactions in asset-backed securities. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64041)
Order Approving Amendment No. 25 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
The Commission approved an amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis (Nasdaq/UTP Plan) to permit ministerial amendments to the Plan under the signature of the Chairman of the Nasdaq/UTP Plan Operating Committee. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64043)
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 Mellanox Technologies, Ltd., 350 OAKMEAD PARKWAY, SUITE 100, SUNNYVALE, CA, 94085, 408-970-3400 - 0 ($21,985,692.30) Equity, (File 333-172632 - Mar. 7) (BR. 10B) S-8 AOL Inc., 770 BROADWAY, 4TH FLOOR, NEW YORK, NY, 10003, 703-265-1000 - 0 ($106,081,256.88) Equity, (File 333-172633 - Mar. 7) (BR. 03A) S-8 MORGAN STANLEY, 1585 BROADWAY, NEW YORK, NY, 10036, 212-761-4000 - 0 ($100,000,000.00) Other, (File 333-172634 - Mar. 7) (BR. 08B) S-1 INPHI Corp, 1154 SONORA COURT, SUNNYVALE, CA, 94086, 408-636-2700 - 6,325,000 ($140,984,250.00) Equity, (File 333-172635 - Mar. 7) (BR. 10B) S-4 BERKSHIRE HATHAWAY INC, 1440 KIEWIT PLZ, OMAHA, NE, 68131, 4023461400 - 0 ($551,458,260.00) Equity, (File 333-172636 - Mar. 7) (BR. 01A) S-3 Anthera Pharmaceuticals Inc, 25801 INDUSTRIAL BOULEVARD, SUITE B, HAYWARD, CA, 94545, (510) 856-5600 - 0 ($75,000,000.00) Unallocated (Universal) Shelf, (File 333-172637 - Mar. 7) (BR. 01C) S-3ASR Kraton Performance Polymers, Inc., 15710 JOHN F. KENNEDY BLVD., SUITE 300, HOUSTON, TX, 77032, 800 457-2866 - 0 ($0.00) Equity, (File 333-172639 - Mar. 7) (BR. 06B) S-3 Noranda Aluminum Holding CORP, 801 CRESCENT DRIVE, SUITE 600, FRANKLIN, TN, 37067, 615-771-5760 - 0 ($661,583,021.00) Equity, 0 ($350,000,000.00) Other, (File 333-172640 - Mar. 7) (BR. 04A) S-3ASR DIRECTV HOLDINGS LLC, 0 ($0.00) Debt, (File 333-172641 - Mar. 7) (BR. 11B) S-1 Bravo Brio Restaurant Group, Inc., 777 GOODALE BOULEVARD, SUITE 100, COLUMBUS, OH, 43212, (614) 326-7944 - 0 ($80,191,177.44) Equity, (File 333-172642 - Mar. 7) (BR. 05C) S-1 BlueFlash Communications, Inc., 1108 ST. JOSEPH DRIVE, ST. JOSEPH, MI, 49085, 269-208-7245 - 3,000,000 ($30,000.00) Equity, (File 333-172647 - Mar. 7) (BR. ) S-B EXPORT IMPORT BANK OF KOREA, 460 PARK AVE 20TH FL, NEW YORK, NY, 10005, 0 ($5,000,000,000.00) Non-Convertible Debt, (File 333-172648 - Mar. 7) (BR. DN) S-8 CLIFFS NATURAL RESOURCES INC., 200 PUBLIC SQUARE, STE. 3300, CLEVELAND, OH, 44114-2315, 216-694-5700 - 0 ($865,665,000.00) Equity, (File 333-172649 - Mar. 7) (BR. 04B) S-8 CUMMINS INC, 500 JACKSON ST, BOX 3005 MAIL CODE 60207, COLUMBUS, IN, 47202-3005, 8123773842 - 500,000 ($50,250,000.00) Equity, (File 333-172650 - Mar. 7) (BR. 10A) S-8 FINANCIAL INSTITUTIONS INC, 220 LIBERTY STREET, WARSAW, NY, 14569, 7167861100 - 0 ($4,755,000.00) Equity, (File 333-172651 - Mar. 7) (BR. 07A) S-8 FINANCIAL INSTITUTIONS INC, 220 LIBERTY STREET, WARSAW, NY, 14569, 7167861100 - 0 ($13,123,800.00) Equity, (File 333-172652 - Mar. 7) (BR. 07A) S-4 M I HOMES INC, 3 EASTON OVAL STE 500, COLUMBUS, OH, 43219, 6144188000 - 0 ($200,000,000.00) Other, (File 333-172653 - Mar. 7) (BR. 06B) N-2 Salient MLP & Energy Infrastructure Fund, 4265 SAN FELIPE, SUITE 800, HOUSTON, TX, 77027, 713-993-4675 - 40,000 ($1,000,000.00) Equity, (File 333-172654 - Mar. 7) (BR. 17) F-3 Rosetta Genomics Ltd., 10 PLAUT STREET, SCIENCE PARK, POB 4059, REHOVOT, L3, 76706, 972-8-9484755 - 8,061,461 ($4,409,619.00) Equity, (File 333-172655 - Mar. 7) (BR. 01C) S-11 Alexander Mortgage REIT, Inc., 245 PARK AVENUE, 26TH FLOOR, NEW YORK, NY, 10167, 212-692-2000 - 0 ($300,000,000.00) Equity, (File 333-172656 - Mar. 7) (BR. 08) S-3 VIASYSTEMS GROUP INC, 101 S HANLEY RD, STE 400, ST LOUIS, MO, 63105, 3147462229 - 0 ($348,290,048.00) Equity, 0 ($150,000,000.00) Unallocated (Universal) Shelf, (File 333-172657 - Mar. 7) (BR. 03B) S-1 Thunderclap Entertainment, Inc., 201 SANTA MONICA BLVD., STE. 300, SANTA MONICA, CA, 90401, (310) 752-7773 - 1,485,000 ($297,000.00) Equity, (File 333-172658 - Mar. 7) (BR. ) S-1 STATE INVESTORS BANCORP, INC., 1041 VETERANS BOULEVARD, METAIRIE, LA, 70005, (504) 832-9400 - 0 ($29,095,000.00) Equity, (File 333-172659 - Mar. 7) (BR. )
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 8888 Acquisition CORP NV 7.01,9.01 03/07/11 ACCELERATED ACQUISITION XI DE 1.01,5.01,5.02,9.01 03/07/11 ACCELRYS, INC. DE 5.02,9.01 03/01/11 ACCURAY INC DE 1.01,7.01,8.01,9.01 03/06/11 ACCURAY INC DE 7.01,8.01,9.01 03/07/11 ACNB CORP PA 2.02,9.01 03/07/11 ACORDA THERAPEUTICS INC 8.01 03/07/11 ADVANCED OXYGEN TECHNOLOGIES INC DE 4.01 03/04/11 Advanced Voice Recognition Systems, I NV 1.02,9.01 03/01/11 ADVOCAT INC DE 2.02,9.01 03/07/11 Aegerion Pharmaceuticals, Inc. DE 7.01 03/04/11 AeroVironment Inc DE 1.01 03/01/11 AFFYMAX INC DE 5.02 03/02/11 AGILENT TECHNOLOGIES INC DE 5.07 03/01/11 Air Transport Services Group, Inc. DE 2.02,9.01 03/03/11 AMEND ALBANY MOLECULAR RESEARCH INC DE 8.01 03/02/11 All American Gold Corp. WY 2.01,3.02,5.06,9.01 08/23/10 ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 03/07/11 Allegiant Travel CO NV 7.01,9.01 03/07/11 ALLIED HEALTHCARE INTERNATIONAL INC NY 8.01,9.01 03/07/11 Allied World Assurance Co Holdings, A 7.01,9.01 03/07/11 Altra Holdings, Inc. DE 1.01,2.03,3.02,8.01, 03/01/11 9.01 AMBAC FINANCIAL GROUP INC DE 1.01,1.02 03/01/11 AMC ENTERTAINMENT INC DE 5.07,8.01,9.01 03/03/11 AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 03/07/11 AMERICAN AIRLINES INC DE 8.01,9.01 03/07/11 AMERICAN AIRLINES INC DE 5.02 03/07/11 American Paramount Gold Corp. NV 1.01,1.02,3.02,9.01 03/02/11 American Standard Energy Corp. DE 1.01,3.02,9.01 03/01/11 AMGEN INC DE 5.02 03/02/11 AMP Holding Inc. NV 1.01,3.02,9.01 12/03/10 AMEND AMR CORP DE 8.01,9.01 03/07/11 AMR CORP DE 5.02 03/07/11 AMYRIS, INC. DE 5.02 03/02/11 AOL Inc. DE 8.01 03/04/11 AOXING PHARMACEUTICAL COMPANY, INC. FL 7.01,9.01 03/07/11 APOLLO GROUP INC AZ 8.01 03/07/11 APPLETON PAPERS INC/WI 2.02,9.01 03/07/11 Archipelago Learning, Inc. DE 5.02,8.01,9.01 03/01/11 ARCHON CORP NV 8.01 03/03/11 ASSET ACCEPTANCE CAPITAL CORP 5.02 03/01/11 ASSURED GUARANTY LTD D0 5.02,9.01 03/07/11 AT&T INC. DE 5.02 03/04/11 ATHENA SILVER CORP CA 4.01,9.01 03/02/11 ATHEROS COMMUNICATIONS INC DE 8.01,9.01 03/07/11 ATHEROS COMMUNICATIONS INC DE 5.07,8.01,9.01 03/07/11 AUDIOVOX CORP DE 1.01,2.01,2.03,7.01 03/01/11 Bank of Commerce Holdings CA 8.01,9.01 03/04/11 BARK GROUP INC NV 5.02,8.01,9.01 03/01/11 BB&T CORP NC 8.01,9.01 03/07/11 BIOSPECIFICS TECHNOLOGIES CORP DE 8.01,9.01 03/07/11 BIOVEST INTERNATIONAL INC DE 7.01,9.01 03/07/11 BIRCH BRANCH INC CO 5.02,9.01 03/02/11 Blue Earth, Inc. DE 5.02 03/01/11 BORGWARNER INC DE 7.01,9.01 03/07/11 BPZ RESOURCES, INC. TX 5.02,5.03,9.01 03/01/11 Bravo Brio Restaurant Group, Inc. OH 8.01 03/07/11 BROADSOFT INC DE 2.02,8.01,9.01 03/07/11 Bunge LTD 5.02 03/01/11 CADENCE FINANCIAL CORP MS 2.01,3.01,5.01,5.02, 03/07/11 8.01,9.01 Calamos Asset Management, Inc. /DE/ 5.02,9.01 03/01/11 CALIX, INC 5.02,9.01 03/04/11 CAMBIUM LEARNING GROUP, INC. 2.02,9.01 02/08/11 CANCER THERAPEUTICS INC DE 4.01,9.01 01/13/11 AMEND CapLease, Inc. 8.01,9.01 03/07/11 CARDIO VASCULAR MEDICAL DEVICE CORP DE 4.01 03/02/11 CASCADE FINANCIAL CORP WA 1.01,7.01,9.01 03/04/11 CASCADE FINANCIAL CORP WA 1.01 03/07/11 CASELLA WASTE SYSTEMS INC DE 2.01,9.01 03/01/11 CASEYS GENERAL STORES INC IA 2.02,9.01 03/07/11 CELL THERAPEUTICS INC WA 3.03,5.03,9.01 02/17/11 AMEND CenterState Banks, Inc. FL 7.01,9.01 03/07/11 CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 03/01/11 CHANDLER USA INC OK 7.01,9.01 03/07/11 CHESAPEAKE ENERGY CORP OK 8.01,9.01 03/07/11 China Biologic Products, Inc. 7.01,9.01 03/07/11 China Education Acquisition Corp. DE 4.01,9.01 03/07/11 AMEND CHINA EDUCATION ALLIANCE INC. NC 1.01,8.01,9.01 03/04/11 CHINA FIRE & SECURITY GROUP, INC. 8.01,9.01 03/07/11 China High Technology Acquisition Cor DE 4.01,9.01 03/07/11 AMEND China Industrial Waste Management Inc NV 7.01,9.01 03/07/11 CHINA JO-JO DRUGSTORES, INC. 8.01,9.01 03/07/11 CHINA NORTH EAST PETROLEUM HOLDINGS L NV 7.01,9.01 03/07/11 CHINA RECYCLING ENERGY CORP 7.01,9.01 03/07/11 CHINA RUITAI INTERNATIONAL HOLDINGS C DE 7.01,9.01 03/07/11 CHINA SUN GROUP HIGH-TECH CO NC 7.01,9.01 03/07/11 China TransInfo Technology Corp. NV 7.01,9.01 03/07/11 CIENA CORP DE 2.02,9.01 03/07/11 Ciglarette, Inc. NV 1.01,2.01,3.02,4.01, 03/01/11 5.01,5.02,5.03,5.06, 5.07 CITIGROUP INC DE 8.01,9.01 03/07/11 CKE RESTAURANTS INC DE 2.02,9.01 03/07/11 CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 03/07/11 CLAYTON WILLIAMS ENERGY INC /DE DE 2.03,7.01,8.01,9.01 03/02/11 CNO Financial Group, Inc. DE 5.02 03/02/11 Cogdell Spencer Inc. MD 1.01,2.03,9.01 03/01/11 Coleman Cable, Inc. DE 2.02,9.01 03/07/11 COLUMBIA LABORATORIES INC DE 7.01,8.01,9.01 03/07/11 COMMUNICATION INTELLIGENCE CORP DE 8.01 03/07/11 Community Bankers Trust Corp DE 5.02,9.01 03/01/11 COMPOSITE TECHNOLOGY CORP NV 5.07 03/01/11 CONOLOG CORP DE 4.01 03/03/11 COOPER COMPANIES INC DE 7.01,9.01 03/07/11 CORE LABORATORIES N V P7 5.02,9.01 03/02/11 CORNERSTONE BANCSHARES INC TN 2.02,9.01 03/04/11 CORNERSTONE HEALTHCARE PLUS REIT, INC MD 2.01,9.01 12/22/10 AMEND COSTCO WHOLESALE CORP /NEW WA 8.01,9.01 02/28/11 CROSSTEX ENERGY INC DE 7.01,9.01 03/07/11 CROSSTEX ENERGY LP DE 7.01,9.01 03/07/11 CROWN MEDIA HOLDINGS INC DE 5.02,9.01 02/28/11 CSG SYSTEMS INTERNATIONAL INC DE 5.02 03/01/11 CVB FINANCIAL CORP CA 7.01,8.01,9.01 03/07/11 Data Storage Corp NV 1.01,3.02,5.02,9.01 03/01/11 DCB FINANCIAL CORP OH 2.02,9.01 03/07/11 DCP Midstream Partners, LP DE 1.01,7.01,9.01 03/04/11 DE Acquisition 3, Inc. 1.01,3.02,5.01,5.02, 03/01/11 9.01 Debut Broadcasting Corporation, Inc. NV 4.01,9.01 11/01/10 DECKERS OUTDOOR CORP DE 5.02,9.01 03/07/11 DEL MONTE FOODS CO DE 5.07,9.01 03/07/11 DELTATHREE INC DE 2.03,8.01,9.01 03/04/11 DEVRY INC DE 5.02,7.01,9.01 03/07/11 Discover Card Execution Note Trust DE 1.01,8.01,9.01 03/07/11 DJSP Enterprises, Inc. D8 8.01 03/07/11 DOMINION RESOURCES INC /VA/ VA 8.01,9.01 03/02/11 Douglas Emmett Inc MD 5.02 03/04/11 Dresser-Rand Group Inc. DE 7.01,9.01 03/07/11 Duff & Phelps Corp DE 5.02,9.01 03/07/11 DYNATRONICS CORP UT 5.02,9.01 03/03/11 EARTHLINK INC DE 4.01,9.01 02/21/11 AMEND EGPI FIRECREEK, INC. NV 1.01,2.01,3.02,8.01, 03/07/11 9.01 EMS TECHNOLOGIES INC GA 2.02,7.01,9.01 03/07/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 5.02 03/03/11 AMEND ENDURANCE SPECIALTY HOLDINGS LTD 5.02 03/07/11 EnergyConnect Group Inc OR 1.01,9.01 03/02/11 EnerJex Resources, Inc. NV 7.01,9.01 03/07/11 EOG RESOURCES INC DE 1.01,9.01 03/01/11 ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 03/07/11 ESSA Bancorp, Inc. PA 5.07 03/03/11 ESTERLINE TECHNOLOGIES CORP DE 5.02,5.07,9.01 03/02/11 Ethos Environmental, Inc. NV 1.01,9.01 03/07/11 FBC Holding Inc. 1.01,2.01,3.02,9.01 08/11/10 AMEND FelCor Lodging Trust Inc MD 1.01,1.02,2.03,8.01, 03/04/11 9.01 FINANCIAL INSTITUTIONS INC NY 7.01,9.01 03/07/11 FIRST ASIA HOLDINGS Ltd A6 2.01,9.01 02/28/11 FIRST FRANKLIN CORP DE 2.02,9.01 03/04/11 Fortegra Financial Corp DE 1.01,2.03 03/01/11 Freescale Semiconductor Holdings I, L D0 1.01,2.03,9.01 03/04/11 Fresenius Kabi Pharmaceuticals Holdin 8.01 03/04/11 FUTURES PORTFOLIO FUND L.P. MD 3.02 03/01/11 FX ENERGY INC NV 8.01,9.01 03/07/11 FX ENERGY INC NV 2.02,8.01,9.01 03/07/11 GAMETECH INTERNATIONAL INC DE 5.02 03/01/11 GATEWAY ENERGY CORP/NE DE 5.02 03/01/11 GC China Turbine Corp. NV 2.02,5.02,7.01,9.01 03/04/11 GENERAL DYNAMICS CORP DE 5.02 03/01/11 General Finance CORP DE 1.01,9.01 03/04/11 Genpact LTD D0 5.02 03/04/11 GLOBALSCAPE INC DE 8.01 03/07/11 Green Realty Trust, Inc. MD 5.02 03/03/11 GREER BANCSHARES INC SC 1.01,7.01,9.01 03/01/11 GRIFFON CORP DE 1.01 03/04/11 GRIFFON CORP DE 8.01,9.01 03/07/11 GT Solar International, Inc. DE 8.01,9.01 03/07/11 HARLEY DAVIDSON INC WI 2.03,9.01 03/01/11 HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 03/04/11 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 03/07/11 HEALTH CARE REIT INC /DE/ DE 5.03,8.01,9.01 03/01/11 HEALTH ENHANCEMENT PRODUCTS INC NV 8.01 03/07/11 HEALTHSOUTH CORP DE 8.01,9.01 03/07/11 HELIX ENERGY SOLUTIONS GROUP INC MN 5.02 03/07/11 HEMISPHERX BIOPHARMA INC DE 1.01,5.02 03/03/11 Heron Lake BioEnergy, LLC MN 1.01,9.01 03/01/11 HUDSON HIGHLAND GROUP INC DE 5.02,9.01 03/07/11 HUTCHINSON TECHNOLOGY INC MN 8.01,9.01 03/07/11 HYTHIAM, INC. DE 5.07,8.01,9.01 03/07/11 ICAGEN INC DE 2.02,9.01 03/07/11 IHS Inc. DE 7.01,9.01 03/07/11 IMAGING DIAGNOSTIC SYSTEMS INC /FL/ FL 8.01,9.01 03/03/11 INFINITY PHARMACEUTICALS, INC. DE 7.01,9.01 03/07/11 INGLES MARKETS INC NC 5.02,9.01 03/07/11 INSIGNIA SYSTEMS INC/MN MN 8.01,9.01 03/07/11 INTEGRAMED AMERICA INC DE 1.01,9.01 03/02/11 INTERCONTINENTALEXCHANGE INC 5.02,9.01 03/03/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 1.01,7.01,9.01 03/07/11 Intrepid Potash, Inc. DE 7.01,9.01 03/07/11 INVESTMENT TECHNOLOGY GROUP INC DE 8.01 03/07/11 INVESTORS CAPITAL HOLDINGS LTD MA 1.01,9.01 03/03/11 IPC The Hospitalist Company, Inc. DE 2.02,9.01 03/07/11 Iridium Communications Inc. DE 2.02,9.01 03/07/11 IRON MOUNTAIN INC DE 8.01 03/07/11 James River Coal CO VA 2.02,7.01,9.01 03/06/11 James River Coal CO VA 1.01,8.01,9.01 03/06/11 JAZZ PHARMACEUTICALS INC DE 2.02,9.01 03/07/11 JONES GROUP INC PA 1.01,2.03,8.01,9.01 03/07/11 KAISER ALUMINUM CORP DE 5.02,9.01 03/04/11 Kandi Technologies Corp DE 7.01,9.01 03/07/11 KEYNOTE SYSTEMS INC DE 5.02,9.01 03/04/11 Keyuan Petrochemicals, Inc. NV 7.01,9.01 03/07/11 Kiwibox.Com, Inc. DE 7.01,9.01 03/07/11 Kohlberg Capital CORP DE 2.02,9.01 03/07/11 KRONOS INTERNATIONAL INC DE 7.01,9.01 03/07/11 KRONOS WORLDWIDE INC 7.01,9.01 03/07/11 KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 03/01/11 LaSalle Hotel Properties MD 1.01,9.01 03/04/11 Latitude Solutions, Inc. NV 1.01,7.01,9.01 03/02/11 LBI MEDIA HOLDINGS INC 2.02,7.01,9.01 03/07/11 LEARNING TREE INTERNATIONAL INC DE 1.01,9.01 03/03/11 LECG CORP DE 1.01,2.01,9.01 03/01/11 LEFT BEHIND GAMES INC. WA 7.01,9.01 03/04/11 LEVEL 3 COMMUNICATIONS INC DE 1.01,2.03,8.01,9.01 03/01/11 Liberty Global, Inc. 7.01 03/04/11 LIHUA INTERNATIONAL INC. DE 2.02,9.01 03/06/11 MAKEMUSIC, INC. MN 2.02,9.01 03/02/11 MANHATTAN PHARMACEUTICALS INC DE 1.01,9.01 03/01/11 Mantra Venture Group Ltd. 5.02 02/28/11 MARCHEX INC DE 1.01,2.03 03/01/11 MARVELL TECHNOLOGY GROUP LTD D0 1.01,9.01 03/02/11 MDC PARTNERS INC A6 2.02,7.01,9.01 03/07/11 MEDICIS PHARMACEUTICAL CORP DE 5.02 03/01/11 MedQuist Holdings Inc. DE 8.01,9.01 03/04/11 MEDQUIST INC NJ 8.01,9.01 03/04/11 MERCER GOLD CORP. NV 7.01,9.01 03/07/11 MEREDITH CORP IA 8.01,9.01 03/07/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 03/03/11 METLIFE INC DE 8.01,9.01 03/07/11 MEXICO FUND INC MD 7.01,9.01 02/28/11 MF Global Holdings Ltd. DE 5.02,9.01 03/02/11 MFA FINANCIAL, INC. MD 8.01 02/17/11 ModusLink Global Solutions Inc DE 2.02,8.01,9.01 03/07/11 MOTORCAR PARTS AMERICA INC NY 1.01,9.01 03/01/11 MPHASE TECHNOLOGIES INC NJ 8.01,9.01 03/07/11 AMEND MPHASE TECHNOLOGIES INC NJ 8.01,9.01 03/07/11 AMEND MPHASE TECHNOLOGIES INC NJ 9.01 03/07/11 AMEND MYERS INDUSTRIES INC OH 5.02,9.01 03/01/11 MYMETICS CORP DE 3.01 03/01/11 Native American Energy Group, Inc. DE 8.01,9.01 03/01/11 NEOPROBE CORP DE 2.02,8.01,9.01 03/07/11 NEW WORLD BRANDS INC DE 8.01 02/28/11 NL INDUSTRIES INC NJ 7.01,9.01 03/07/11 NOBILITY HOMES INC FL 2.02,9.01 03/07/11 NORTEL NETWORKS CORP 2.02,9.01 03/04/11 AMEND NORTH VALLEY BANCORP CA 7.01,9.01 03/07/11 NORTHSTAR REALTY 8.01,9.01 03/02/11 NOVELLUS SYSTEMS INC CA 5.02 03/03/11 OCZ TECHNOLOGY GROUP INC DE 2.02,9.01 03/07/11 Oneida Financial Corp. MD 1.01,9.01 03/03/11 Orexigen Therapeutics, Inc. DE 5.02,9.01 03/02/11 Orient Paper Inc. NV 7.01,9.01 03/07/11 ORTHOFIX INTERNATIONAL N V 5.02,9.01 03/02/11 OSIRIS THERAPEUTICS, INC. DE 2.02,9.01 03/07/11 OUTDOOR CHANNEL HOLDINGS INC 2.02,9.01 03/07/11 PANHANDLE OIL & GAS INC OK 5.07 03/03/11 PARK OHIO HOLDINGS CORP OH 2.02,9.01 03/07/11 PDL BIOPHARMA, INC. DE 7.01,9.01 03/07/11 PediatRx Inc. NV 3.02,5.02,9.01 03/04/11 PetroAlgae Inc. DE 3.01 02/23/11 PICO HOLDINGS INC /NEW CA 2.02,9.01 03/01/11 PINNACLE ENTERTAINMENT INC. DE 5.02,5.03,9.01 03/01/11 PLAYBOY ENTERPRISES INC DE 3.01,3.03,5.01,5.02, 03/04/11 5.03,9.01 PNC FINANCIAL SERVICES GROUP INC PA 5.02 03/01/11 Porter Bancorp, Inc. KY 8.01,9.01 03/07/11 POTASH AMERICA, INC. NV 9.01 03/07/11 PREMIER ALLIANCE GROUP, INC. NV 3.02 03/04/11 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/07/11 QLIK TECHNOLOGIES INC DE 5.02 03/01/11 QUANTA SERVICES INC DE 5.02,9.01 03/03/11 Radiation Therapy Services Holdings, DE 1.01,2.01,2.03,3.02, 03/01/11 8.01,9.01 RadNet, Inc. DE 8.01,9.01 03/07/11 RAMCO GERSHENSON PROPERTIES TRUST MD 7.01,9.01 03/07/11 RAMTRON INTERNATIONAL CORP DE 1.01,3.03,9.01 03/02/11 REALTY INCOME CORP MD 7.01,9.01 03/07/11 REXAHN PHARMACEUTICALS, INC. DE 5.02,9.01 03/07/11 RICHARDSON ELECTRONICS LTD/DE DE 2.01,8.01,9.01 03/01/11 RigNet, Inc. DE 8.01 03/04/11 Roadrunner Transportation Systems, In DE 5.02,8.01,9.01 03/01/11 ROLLINS INC DE 7.01,9.01 03/07/11 ROTECH HEALTHCARE INC DE 7.01,9.01 03/07/11 SABINE ROYALTY TRUST TX 2.02,9.01 03/03/11 SAGE FUND LP MD 3.02 03/01/11 SANDRIDGE ENERGY INC DE 1.01,8.01,9.01 03/02/11 Sanswire Corp. DE 2.03,5.03,9.01 03/02/11 SAVE THE WORLD AIR INC NV 3.02,9.01 02/28/11 SBARRO INC NY 1.01,9.01 03/03/11 SBM CERTIFICATE CO MD 5.02,8.01,9.01 03/07/11 SELECT COMFORT CORP MN 7.01,9.01 03/07/11 Select Notes Trust LT 2004-1 DE 8.01,9.01 03/01/11 SERENA SOFTWARE INC DE 1.01 03/02/11 SGS International, Inc. DE 5.02 03/03/11 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 2.02,9.01 03/07/11 SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 7.01,9.01 03/07/11 SkyPeople Fruit Juice, Inc FL 7.01,9.01 03/04/11 SMITH & WESSON HOLDING CORP NV 1.01,2.03,9.01 03/03/11 SOUTHWEST AIRLINES CO TX 7.01,9.01 02/28/11 SPARTAN MOTORS INC MI 8.01,9.01 03/07/11 SPARTECH CORP DE 2.02,9.01 03/07/11 Spectrum Brands Holdings, Inc. DE 5.02,9.01 03/02/11 STAAR SURGICAL CO DE 2.02,7.01 03/01/11 Standard Financial Corp. MD 5.07 03/03/11 STATE STREET Corp MA 8.01,9.01 03/02/11 Sucampo Pharmaceuticals, Inc. 7.01,9.01 03/07/11 SUN BANCORP INC /NJ/ NJ 5.02,9.01 03/02/11 Sustainable Environmental Technologie CA 2.01,5.01,9.01 07/07/10 AMEND SYNNEX CORP DE 1.01,9.01 03/01/11 SYPRIS SOLUTIONS INC DE 5.02 03/02/11 TANDY LEATHER FACTORY INC DE 2.02,9.01 03/07/11 TAYLOR CAPITAL GROUP INC DE 7.01 03/03/11 TearLab Corp DE 8.01,9.01 03/04/11 TETRA TECHNOLOGIES INC DE 7.01,9.01 03/07/11 THERMOGENESIS CORP DE 1.01,9.01 03/04/11 TomoTherapy Inc WI 1.01,5.02,5.03,7.01, 03/07/11 9.01 Tornier N.V. P7 8.01,9.01 03/07/11 Total Nutraceutical Solutions, Inc. NV 4.01,9.01 03/01/11 Tower Group, Inc. DE 8.01,9.01 03/04/11 TOYS R US INC DE 2.02 03/07/11 TPC Group Inc. DE 5.02 03/04/11 TRANS WORLD ENTERTAINMENT CORP NY 2.02,7.01,9.01 03/03/11 TransDigm Group INC DE 5.02,5.07,9.01 03/03/11 Travelport LTD D0 7.01,8.01,9.01 03/05/11 Triangle Petroleum Corp NV 7.01,8.01,9.01 03/02/11 Triangle Petroleum Corp NV 7.01,9.01 03/07/11 TRUSTMARK CORP MS 7.01,9.01 03/07/11 U. S. Premium Beef, LLC 3.03,9.01 03/02/11 ULTRA CLEAN HOLDINGS INC DE 5.02,9.01 03/07/11 UNITRIN INC DE 7.01,9.01 03/07/11 US GEOTHERMAL INC DE 8.01,9.01 03/07/11 UV FLU TECHNOLOGIES INC NV 3.02 03/01/11 VECTREN CORP IN 8.01 03/02/11 VERIZON COMMUNICATIONS INC DE 5.02 03/04/11 VIASYSTEMS GROUP INC DE 9.01 02/16/10 AMEND VIRGINIA ELECTRIC & POWER CO VA 5.03,9.01 03/03/11 VISANT CORP 2.02,9.01 03/07/11 Vulcan Materials CO NJ 8.01 03/03/11 WASTE MANAGEMENT INC DE 7.01 03/07/11 WEB.COM GROUP, INC. 8.01,9.01 02/22/11 AMEND WELLS FARGO & CO/MN DE 9.01 03/07/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01,2.01,2.03,9.01 03/07/11 WellTek Inc NV 4.01,9.01 03/04/11 WESTERN DIGITAL CORP DE 1.01,3.02,5.02,7.01, 03/07/11 9.01 Western Union CO DE 8.01,9.01 03/02/11 WEYCO GROUP INC WI 1.01,2.01,9.01 03/02/11 WINTRUST FINANCIAL CORP IL 7.01,9.01 03/01/11 WORLD FUEL SERVICES CORP FL 7.01,9.01 03/04/11 WUHAN GENERAL GROUP (CHINA), INC NV 4.02 03/07/11 YORK WATER CO PA 2.02,9.01 03/07/11 ZHONGPIN INC. DE 2.02,9.01 03/04/11 ZIOPHARM ONCOLOGY INC DE 8.01 03/07/11 ZIX CORP TX 8.01,9.01 03/04/11 ZYNEX INC NV 7.01,9.01 03/07/11