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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-45
March 8, 2011

Commission Announcements

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.

  • AccessTel, Inc. (ACCS)
  • American Asset Management Corp. (AAMC)
  • DME Interactive Holdings, Inc. (DMEI)
  • DocuPort, Inc. (DCPT)
  • iCarbon Corp. (ICRB)

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)

Enforcement Proceedings

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:

  • AccessTel, Inc. (ACCS)
  • American Asset Management Corp. (AAMC)
  • DME Interactive Holdings, Inc. (DMEI)
  • DocuPort, Inc. (DCPT)
  • iCarbon Corp. (ICRB)

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)

Self-Regulatory Organizations

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)

JOINT INDUSTRY PLANS

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)

Securities Act Registrations

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. )

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

 

http://www.sec.gov/news/digest/2011/dig030811.htm


Modified: 03/08/2011