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COMMISSION ANNOUNCEMENTSCommission MeetingsClosed Meeting on Thursday, March 17, 2011 at 10:00 a.m.The subject matter of the Closed Meeting scheduled for Thursday, March 17, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; other matters relating to enforcement proceedings; and a litigation matter. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsIn the Matter of Caibs International, Inc. et al.An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) as to Cartoon Acquisition, Inc. (Cartoon Acquisition), in Caibs International, Inc., Admin. Proc. No. 3-14170. The Order Instituting Proceedings (OIP) alleged that six Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true as to Cartoon Acquisition and revokes the registration of each class of its registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to the other five Respondents named in the OIP. See Caibs Int’l, Inc., Exchange Act Release No. 63847 (Feb. 7, 2011). (Rel. 34-64069; File No. 3-14170) In the Matter of Robert J. Nelson, Jr.The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Robert J. Nelson, Jr., a resident of Prosper, Texas. The Order finds that, on December 28, 2010, an interlocutory judgment was entered by consent against Respondent, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a)(1) of the Exchange Act and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Garry B. Smith, et al., Civil Action Number 4:10-CV-613, in the United States District Court for the Eastern District of Texas, Sherman Division. The Order further finds that the Commission’s complaint in the civil action alleged that, among other things, Respondent and others engaged in securities offerings, which were not registered with the Commission as required under the law, through which Overland Energy, Inc. raised at least $10.4 million from at least 180 investors throughout the United States, in contravention of the antifraud provisions of the federal securities laws. Based on the above, the Order bars Nelson from association with any broker or dealer. Nelson consented to the issuance of the Order without admitting or denying any of the findings except as to the entry of the judgment, which he admitted. (Rel. 34-64074; File No. 3-14295) In the Matter of Heartland Financial Services, Inc.The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Daniel G. Danker (Danker), age 63, currently residing in Topeka, Kansas. The Division of Enforcement alleges that Danker was the vice-president, registered principal and office manager of now-defunct Heartland Financial Services, Inc. (Heartland), an unregistered entity that held itself out as a broker-dealer, insurance and estate-planning firm, and also a registered representative of Jonathan Roberts Financial Group, Inc., a broker-dealer which was then registered with the Commission. The Division further alleges that the Commission filed a complaint in the United States District Court for the Southern District of Indiana, captioned Securities and Exchange Commission v. Payne, et al., Case No. 1:00-cv-01265, against Danker and others. The Complaint alleged that Danker defrauded more than 300 investors in 13 states out of at least $29.1 million. Danker and others, acting primarily through Heartland, offered and sold numerous fraudulent investment opportunities to unsuspecting investors, including unit interests in JMS Investment Group, LLC and other securities promoted through Heartland. Rather than use investor funds for legitimate securities transactions, Danker and the other defendants commingled investors’ funds from the schemes in a common bank account and used most of the money raised from investors to repay investors in the Ponzi scheme and for other non-investment related purposes. Danker engaged in his fraudulent activities through the defendant entities that operated as unregistered broker-dealers and knowingly provided substantial assistance to these unregistered broker-dealers. Danker caused investors to be sent false trade confirmations and monthly statements purporting to verify the nature and amount of their investments. The District Court entered an order permanently enjoining Danker from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Sections 10(b), 15(a) and 15(c)(1) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 10b-5 and 15c1-2 thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest pursuant to Section 15(b) of the Exchange Act. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-64072; File No. 3-14293) In the Matter of Heartland Financial Services, Inc.The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Kenneth R. Payne (Payne), age 61, currently residing at the Seagoville Federal Correctional Institution in Seagoville, Texas. The Division of Enforcement alleges that Payne was the president and owner of now-defunct Heartland Financial Services, Inc. (Heartland), an unregistered entity that held itself out as a broker-dealer and insurance and estate-planning firm, and also a registered representative of Jonathan Roberts Financial Group, Inc., a broker-dealer which was then registered with the Commission. The Division further alleges that the Commission filed a complaint in the United States District Court for the Southern District of Indiana, captioned Securities and Exchange Commission v. Payne, et al., Case No. 1:00-cv-01265, against Payne and others. The Complaint alleged that Payne defrauded more than 300 investors in 13 states out of at least $29.1 million. Payne and others, acting primarily through Heartland, offered and sold numerous fraudulent investment opportunities to unsuspecting investors, including unit interests in JMS Investment Group, LLC, stock in a non-existent offshore bank located in Belize, and other securities promoted through Heartland. Rather than use investor funds for legitimate securities transactions, Payne and the other defendants commingled investors’ funds from all three schemes in a common bank account and used most of the money raised from investors to repay investors in the Ponzi scheme and for other non-investment related purposes. Payne engaged in his fraudulent activities through the defendant entities that operated as unregistered broker-dealers and knowingly provided substantial assistance to these unregistered broker-dealers. Payne caused investors to be sent false trade confirmations and monthly statements purporting to verify the nature and amount of their investments. The District Court entered an order permanently enjoining Payne from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b), 15(a)(1) and 15(c)(1) of the Securities Exchange Act of 1934 (Exchange Act), and Rules 10b-5 and 15c1-2 thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate in the public interest pursuant to Section 15(b) of the Exchange Act. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-64073; File No. 3-14294) Self-Regulatory OrganizationsOrder Approving Proposed Rule ChangeThe Commission granted accelerated approval to a proposed rule change filed by The NASDAQ Stock Market LLC, as modified by Amendment Nos. 1 and 3 (SR-NASDAQ-2010-074), to adopt Rule 4753(c) as a six month pilot in 100 NASDAQ-Listed Securities. Publication is expected in the Federal Register during the week of March 14, 2011. (Rel. 34-64071) Notice of Filing of Proposed Rule ChangeNasdaq OMX PHLX LLC has filed a proposed rule change (SR-Phlx-2011-028), to expand the number of components in the PHLX Oil Service SectorSM known as OSXSM, on which options are listed and traded. Publication is expected in the Federal Register during the week of March 14, 2011. (Rel. 34-64075) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-4 Chemtura CORP, BENSON ROAD, MIDDLEBURY, CT, 06749, 2035732000 -
0 ($393,587,425.00) Non-Convertible Debt, (File 333-172710 - Mar. 10)
(BR. 06A)
S-8 NXP Semiconductors N.V., 31 40 27 43704 -
17,675,000 ($324,337,068.00) Equity, (File 333-172711 - Mar. 10)
(BR. 10)
S-8 OCLARO, INC., 2584 JUNCTION AVENUE, SAN JOSE, CA, 95134,
(408) 383-1400 - 0 ($70,880,000.00) Equity, (File 333-172712 - Mar. 10)
(BR. 10A)
F-1 NXP Semiconductors N.V., 31 40 27 43704 -
28,750,000 ($860,775,000.00) Equity, (File 333-172713 - Mar. 10)
(BR. 10)
S-1 Selway Capital Acquisition Corp., 74 GRAND AVENUE, 2ND FLOOR,
ENGLEWOOD, NJ, 07631, 201-541-1083 - 0 ($69,000,000.00) Equity,
(File 333-172714 - Mar. 10) (BR. 10)
S-3ASR VISTEON CORP, ONE VILLAGE CENTER DRIVE, VAN BUREN TOWNSHIP, MI, 48111,
800-847-8366 - 0 ($1,770,470,000.00) Equity, (File 333-172716 -
Mar. 10) (BR. 05C)
F-3 IncrediMail Ltd., TEXTILE HOUSE, 2 KAUFMAN STREET, TEL AVIV, L3, 68012,
972 3 516 0195 - 1,020,000 ($7,629,600.00) Equity, (File 333-172722 -
Mar. 10) (BR. 03B)
S-8 METABOLIX, INC., 21 ERIE ST., CAMBRIDGE, MA, 02139, 617-583-1700 -
0 ($4,250,572.00) Equity, (File 333-172724 - Mar. 10) (BR. 06C)
S-3 METABOLIX, INC., 21 ERIE ST., CAMBRIDGE, MA, 02139, 617-583-1700 -
0 ($100,000,000.00) Equity, (File 333-172725 - Mar. 10) (BR. 06C)
F-3ASR BANK OF CHILE, BANCO DE CHILE NEW YORK BRANCH, 535 MADISON AVE 9TH FL,
NEW YORK, NY, 10022, 2127580909 - 0 ($0.00) Other, (File 333-172727 -
Mar. 10) (BR. 07B)
S-1 UAN CULTURAL & CREATIVE CO., LTD., 79 BYRON ROAD, WESTON, MA, 02493,
617-237-1014 - 53,480,000 ($144,396,000.00) Equity, (File 333-172728 -
Mar. 10) (BR. 09)
S-1 SIONIX CORP, 2801 OCEAN PARK BLVD, SUITE 339, SANTA MONICA, CA, 90405,
(847) 235-4566 - 33,024,994 ($1,548,900.00) Equity, (File 333-172729 -
Mar. 10) (BR. 06C)
S-3ASR SIRONA DENTAL SYSTEMS, INC., 30-30 47TH AVE, SUITE 500,
LONG ISLAND CITY, NY, 11101, 7189375765 - 0 ($769,197,321.00) Equity,
(File 333-172730 - Mar. 10) (BR. 10C)
S-8 Ancestry.com Inc., 360 WEST 4800 NORTH, PROVO, UT, 84604,
801-705-7000 - 0 ($117,622,969.00) Equity, (File 333-172731 - Mar. 10)
(BR. 03A)
S-8 MAKO Surgical Corp., 2555 DAVIE ROAD, FT. LAUDERDALE, FL, 33317,
954-927-2044 - 1,617,938 ($32,520,553.80) Equity, (File 333-172732 -
Mar. 10) (BR. 10B)
N-2 Crescent Capital Finance Group, Inc., 11100 SANTA MONICA BOULEVARD,
SUITE 2000, LOS ANGELES, CA, 90025, 310-235-5900 -
0 ($175,000,000.00) Equity, (File 333-172733 - Mar. 10) (BR. )
S-8 HAIN CELESTIAL GROUP INC, 58 SOUTH SERVICE ROAD, MELVILLE, NY, 11747,
6317302200 - 0 ($49,878,000.00) Equity, (File 333-172734 - Mar. 10)
(BR. 04C)
S-8 VOLTERRA SEMICONDUCTOR CORP, 47467 FREMONT BLVD., FREMONT, CA, 94538,
510-743-1200 - 1,759,399 ($40,307,831.09) Equity, (File 333-172735 -
Mar. 10) (BR. 10C)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
A.C. Moore Arts & Crafts, Inc. PA 1.01,2.03,9.01 03/04/11
ABM INDUSTRIES INC /DE/ DE 5.07 03/08/11
ACADIA PHARMACEUTICALS INC DE 2.02,9.01 03/10/11
ADVENTRX PHARMACEUTICALS INC DE 2.02,9.01 03/10/11
AEROPOSTALE INC 2.02,9.01 03/10/11
AFC ENTERPRISES INC MN 2.02,9.01 03/10/11
Affinia Group Intermediate Holdings I DE 2.02,9.01 03/10/11
AFFYMAX INC DE 2.02,9.01 03/10/11
AIR METHODS CORP DE 2.02,9.01 03/10/11
Aircastle LTD D0 2.02,9.01 03/10/11
ALABAMA POWER CO AL 8.01,9.01 03/03/11
ALEXION PHARMACEUTICALS INC DE 1.01,2.03,9.01 03/07/11
ALKERMES INC PA 7.01,9.01 03/10/11
Alliance HealthCare Services, Inc DE 2.02,9.01 03/09/11
ALSERES PHARMACEUTICALS INC /DE DE 1.01 03/04/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 03/10/11
AMERICAN INTERNATIONAL GROUP INC DE 7.01,9.01 03/10/11
AMERICAN INTERNATIONAL INDUSTRIES INC NV 8.01 03/10/11
Anacor Pharmaceuticals Inc DE 2.02,9.01 03/10/11
ANALOGIC CORP MA 2.02,9.01 03/10/11
ANIKA THERAPEUTICS INC MA 2.02,9.01 03/09/11
APCO OIL & GAS INTERNATIONAL INC 2.02,9.01 03/09/11
ARDEN GROUP INC DE 2.02,9.01 03/09/11
ARKADOS GROUP, INC. DE 5.02 03/04/11
Armour Residential REIT, Inc. MD 7.01,8.01,9.01 03/10/11
Artio Global Investors Inc. DE 7.01,9.01 03/10/11
AUDIOVOX CORP DE 8.01 03/08/11
AUDIOVOX CORP DE 9.01 03/01/11 AMEND
AUTHENTEC INC DE 2.02,9.01 03/10/11
AVI BIOPHARMA INC OR 2.02,9.01 03/10/11
B Green Innovations, Inc. NJ 2.02,9.01 03/07/11
BankFinancial CORP 8.01,9.01 03/09/11
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 03/10/11
BIOLASE TECHNOLOGY INC DE 2.02,9.01 03/10/11
BIOMIMETIC THERAPEUTICS, INC. DE 2.02,9.01 03/10/11
BofI Holding, Inc. DE 7.01,9.01 03/08/11
Bollente Companies Inc. NV 1.01,3.02 03/09/11
BOYD GAMING CORP NV 1.01 03/07/11
BPZ RESOURCES, INC. TX 7.01,9.01 03/07/11
BROADWIND ENERGY, INC. DE 1.01,9.01 03/04/11
Bronco Drilling Company, Inc. DE 7.01,9.01 03/10/11
BUCKLE INC NE 2.02,9.01 03/10/11
CABOT MICROELECTRONICS CORP DE 5.07 03/08/11
CALIFORNIA STEEL INDUSTRIES INC 2.03,9.01 03/10/11
CALPINE CORP DE 1.01,2.03,7.01,9.01 03/09/11
CAMCO FINANCIAL CORP DE 5.02,9.01 02/18/11
CAPITOL BANCORP LTD MI 8.01,9.01 03/10/11
CapLease, Inc. 8.01 03/10/11
CAPSTONE TURBINE Corp DE 1.01,9.01 03/09/11
CARDIONET INC CA 5.02,8.01 03/04/11
CAREER EDUCATION CORP DE 8.01 03/10/11
CARMAX AUTO FUNDING LLC DE 1.01,8.01,9.01 03/09/11
CB RICHARD ELLIS GROUP INC DE 1.01,2.03,9.01 03/04/11
CDW Corp DE 1.01,8.01,9.01 03/07/11
CECO ENVIRONMENTAL CORP DE 2.02,9.01 03/10/11
CENTRAL PACIFIC FINANCIAL CORP HI 3.01 03/08/11
CHARLES & COLVARD LTD NC 1.01 01/01/11
CHINA EDUCATION ALLIANCE INC. NC 8.01,9.01 03/09/11
China Integrated Energy, Inc. DE 2.02,9.01 03/10/11
CHINA NEW MEDIA CORP DE 5.02,8.01,9.01 03/10/11
CIBER INC DE 1.01,5.02,9.01 03/10/11
Citadel Exploration, Inc. NV 5.03,8.01 03/09/11 AMEND
CLEAN DIESEL TECHNOLOGIES INC DE 5.02 01/05/11 AMEND
Clean Energy Fuels Corp. DE 2.02,9.01 03/10/11
Clearwire Corp /DE DE 1.01,5.02,8.01,9.01 03/10/11
COASTAL BANKING CO INC SC 5.02 03/03/11
COLUMBIA LABORATORIES INC DE 2.02,9.01 03/10/11
Compass Diversified Holdings DE 8.01,9.01 03/10/11
Compass Diversified Holdings DE 2.02,9.01 03/10/11
COMPOSITE TECHNOLOGY CORP NV 1.01,2.03,3.02,9.01 03/04/11
COMTECH TELECOMMUNICATIONS CORP /DE/ DE 2.02,8.01,9.01 01/31/11
CONEXANT SYSTEMS INC DE 5.02 03/09/11
CoreSite Realty Corp MD 2.02,9.01 03/10/11
CORNING NATURAL GAS CORP NY 1.01,9.01 03/10/11
CORPORATE BOND BACKED CERT TR SER 199 8.01,9.01 03/01/11
CRIMSON EXPLORATION INC. 7.01 03/10/11
CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 03/08/11
CUMULUS MEDIA INC DE 1.01,3.02,5.07,8.01, 03/09/11
9.01
CVS CAREMARK CORP DE 5.02 03/09/11
CYTORI THERAPEUTICS, INC. DE 2.02,9.01 03/10/11
DATALINK CORP MN 1.01,8.01,9.01 03/08/11
DATAWATCH CORP DE 5.02,9.01 03/04/11
DEEP WELL OIL & GAS INC NV 5.02,9.01 03/08/11
Deer Consumer Products, Inc. NV 2.02,9.01 03/10/11
DEL MONTE FOODS CO DE 1.01,1.02,2.03,3.01, 03/08/11
3.03,5.01,5.02,5.03,
9.01
Delek US Holdings, Inc. 2.02,9.01 03/09/11
DemandTec, Inc. DE 1.01,9.01 03/09/11
DIRECTV DE 5.02,9.01 03/10/11
DIRECTV HOLDINGS LLC DE 1.01,9.01 03/07/11
DK Sinopharma, Inc. NV 8.01,9.01 03/03/11
DORAL FINANCIAL CORP PR 2.02,7.01,9.01 03/09/11
DOUBLE EAGLE PETROLEUM CO MD 1.01,2.03,9.01 03/07/11
Dresser-Rand Group Inc. DE 8.01,9.01 03/10/11
DYNEGY INC. DE 1.01,3.03,5.02,7.01, 03/07/11
9.01
DYNEGY INC. DE 5.02,9.01 02/23/11 AMEND
E-Debit Global Corp. CO 8.01 03/09/11
EAGLE ROCK ENERGY PARTNERS L P DE 2.02,9.01 03/09/11
EDAC TECHNOLOGIES CORP WI 2.02,9.01 03/10/11
EDIETS COM INC DE 3.01,9.01 03/09/11
El Paso Pipeline Partners, L.P. DE 1.01,8.01,9.01 03/04/11
ELECTRO RENT CORP CA 8.01,9.01 03/09/11
Emergent BioSolutions Inc. DE 2.02,9.01 03/10/11
ENER1 INC FL 2.02,9.01 03/10/11
Enertopia Corp. 1.01,3.02,7.01,9.01 03/10/11
ENTROPIC COMMUNICATIONS INC DE 5.02 03/05/11
ENVIRO VORAXIAL TECHNOLOGY INC ID 4.01,9.01 03/07/11
EQUITY LIFESTYLE PROPERTIES INC MD 1.01,3.02,9.01 03/04/11
EQUITY LIFESTYLE PROPERTIES INC MD 5.02,8.01 03/07/11
Essex Rental Corp. DE 3.02 03/04/11
EV Energy Partners, LP DE 1.01,7.01,9.01 03/04/11
EV Energy Partners, LP DE 9.01 12/30/10 AMEND
EVERGREEN SOLAR INC DE 2.02,9.01 03/09/11
EXELIXIS INC DE 8.01,9.01 03/09/11
EXTERRAN HOLDINGS INC. DE 1.02,9.01 03/10/11
EZENIA INC DE 5.02 03/09/11
Federal Home Loan Bank of Atlanta X1 2.03 03/10/11
Federal Home Loan Bank of Boston X1 2.03 03/07/11
Federal Home Loan Bank of Chicago X1 2.03 03/07/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/08/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/10/11
Federal Home Loan Bank of New York X1 2.03,9.01 03/07/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/07/11
Federal Home Loan Bank of San Francis X1 2.03 03/07/11
Federal Home Loan Bank of Seattle 2.03 03/08/11
Federal Home Loan Bank of Topeka 2.03,9.01 03/07/11
FINANCIAL INSTITUTIONS INC NY 7.01,9.01 03/09/11
FIRST ASIA HOLDINGS Ltd A6 8.01 03/09/11
FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,7.01,9.01 03/09/11
FITWAYVITAMINS, INC. NV 8.01 03/10/11
FNDS3000 Corp DC 1.01,2.03,3.02,9.01 03/07/11
FOOT LOCKER INC NY 7.01,9.01 03/10/11
FORCE PROTECTION INC NV 5.02 03/02/11
FOUR RIVERS BIOENERGY INC. 1.01,2.01,3.02 03/10/11
FREQUENCY ELECTRONICS INC DE 2.02,9.01 03/09/11
FURMANITE CORP DE 2.02,7.01,9.01 03/10/11
FX ENERGY INC NV 1.01,8.01,9.01 03/10/11
GC China Turbine Corp. NV 5.02 03/04/11
GCI INC AK 2.02,9.01 03/09/11
GelTech Solutions, Inc. DE 7.01,9.01 03/10/11
GENERAL COMMUNICATION INC AK 2.02,9.01 03/09/11
GENVEC INC DE 2.02,9.01 03/10/11
GEOGLOBAL RESOURCES INC. DE 7.01,9.01 03/09/11
GLOBAL CONDIMENTS, INC. 5.02 03/10/11
GLOBAL DEFENSE TECHNOLOGY & SYSTEMS, DE 1.01,9.01 03/03/11
GLOBAL EARTH ENERGY, INC. NH 4.01,9.01 03/09/11 AMEND
Global Geophysical Services Inc DE 8.01 03/09/11
Global Investor Services, Inc. UT 1.01,2.03,3.02,9.01 03/08/11
GLOBAL PARI-MUTUEL SERVICES, INC. NV 1.01,8.01,9.01 03/08/11
GLOBAL PARTNERS LP 2.02,7.01,9.01 03/10/11
GOLDEN STAR RESOURCES LTD 5.02,9.01 03/09/11
GREAT PLAINS ENERGY INC MO 2.05 03/10/11
GREEN MOUNTAIN COFFEE ROASTERS INC DE 7.01,9.01 03/10/11
Grid Petroleum Corp. NV 1.01,2.03,3.02,9.01 02/24/11
GUARANTY FEDERAL BANCSHARES INC DE 2.02,9.01 03/07/11
HARBINGER GROUP INC. DE 1.01,7.01,9.01 03/07/11
HCP, INC. MD 5.03,9.01 03/07/11
HERCULES OFFSHORE, INC. DE 5.02 03/06/11
Higher One Holdings, Inc. DE 8.01 03/10/11
Hill International, Inc. DE 2.02,9.01 03/07/11
Hill-Rom Holdings, Inc. IN 5.07 03/08/11
HOTGATE TECHNOLOGY, INC. 1.01,9.01 03/07/11
HSW International, Inc. DE 1.01,2.03,3.02,9.01 03/09/11
HUMAN GENOME SCIENCES INC DE 8.01,9.01 03/09/11
HUNTINGTON BANCSHARES INC/MD MD 7.01 03/10/11
HURCO COMPANIES INC IN 2.02,9.01 03/10/11
iGo, Inc. DE 2.02,9.01 03/10/11
IMMERSION CORP DE 2.02,9.01 03/10/11
IMMERSION CORP DE 1.01,5.02,8.01,9.01 03/09/11
inContact, Inc. DE 2.02,9.01 03/10/11
INDIANA COMMUNITY BANCORP IN 5.02 03/09/11
Information Services Group Inc. DE 2.02,9.01 03/10/11
INFRASTRUCTURE DEVELOPMENTS CORP. 3.01,7.01,9.01 02/23/11
INGLES MARKETS INC NC 5.01 03/10/11
INLAND WESTERN RETAIL REAL ESTATE TRU MD 5.02,7.01 03/08/11
INSIGNIA SYSTEMS INC/MN MN 8.01 03/04/11
INSMED INC VA 2.02,9.01 03/10/11
INSMED INC VA 8.01,9.01 03/10/11
Intcomex, Inc. DE 8.01,9.01 03/10/11
INTERNATIONAL BANCSHARES CORP TX 8.01,9.01 03/10/11
INTERNATIONAL PAPER CO /NEW/ NY 8.01 03/10/11
Invesco Ltd. D0 7.01,9.01 03/09/11
IR BIOSCIENCES HOLDINGS INC DE 2.04 03/04/11
IRIDEX CORP DE 5.02,9.01 03/04/11
ITC DELTACOM INC DE 4.01,9.01 02/21/11 AMEND
IVOICE, INC /NJ NJ 1.01,9.01 03/09/11
J CREW GROUP INC DE 1.01,1.02,2.03,3.01, 03/07/11
3.03,5.01,5.02,5.03,
9.01
JAMBA, INC. DE 2.02,9.01 03/10/11
JETBLUE AIRWAYS CORP DE 7.01 03/10/11
JOHNSON & JOHNSON NJ 8.01,9.01 03/10/11
JONES SODA CO WA 2.02,9.01 03/10/11
KAMAN CORP CT 7.01,9.01 03/10/11
KELLOGG CO DE 1.01,1.02,2.03,9.01 03/04/11
Keyser Resources, Inc. NV 4.01,9.01 03/07/11
Kiwibox.Com, Inc. DE 1.01,2.01,9.01 03/10/11 AMEND
KL Energy Corp NV 8.01 03/04/11
KOPIN CORP DE 5.02 02/18/11
KSW INC NY 2.02,9.01 03/10/11
Lantheus Medical Imaging, Inc. DE 1.01 03/09/11
LEHMAN ABS CORP BCKD TR CRTS TOYS R U DE 8.01,9.01 03/01/11
LEHMAN ABS CORP KINDER MORGAN DEBEN B DE 8.01,9.01 03/01/11
Leo Motors, Inc. 8.01 03/10/11
Leo Motors, Inc. 5.02 03/10/11
LIFETIME BRANDS, INC DE 2.02,9.01 03/10/11
LIME ENERGY CO. DE 1.01,2.03,9.01 03/09/11
LIME ENERGY CO. DE 2.02,9.01 03/10/11
LITTLEFIELD CORP DE 2.02,9.01 03/10/11
LODGENET INTERACTIVE CORP DE 7.01,9.01 03/09/11
LOGIC DEVICES Inc CA 3.01,9.01 03/09/11
MAC-GRAY CORP DE 2.02,9.01 03/10/11
MAYS J W INC NY 2.02 03/10/11
MEDIACOM COMMUNICATIONS CORP DE 3.01,3.03,5.02,5.03, 03/04/11
5.07,8.01,9.01
MEMC ELECTRONIC MATERIALS INC DE 1.01,2.03,9.01 03/10/11
METALICO INC 2.02,8.01,9.01 03/10/11
Midas Medici Group Holdings, Inc. 5.02 03/07/11
MOLSON COORS BREWING CO DE 5.02 03/04/11
MOSAIC CO DE 7.01,9.01 03/10/11
MTR GAMING GROUP INC DE 2.02,9.01 03/10/11
MYERS INDUSTRIES INC OH 4.01,9.01 03/08/11
NATIONAL SEMICONDUCTOR CORP DE 2.02,8.01,9.01 02/27/11
NCO Group, Inc. DE 2.02,7.01,9.01 03/10/11
NETSUITE INC 5.02 03/07/11
NETWORK 1 FINANCIAL GROUP, INC. DE 3.02,5.02,9.01 03/04/11
NEWMONT MINING CORP /DE/ DE 5.02 03/07/11
NEXSTAR BROADCASTING GROUP INC DE 2.02,9.01 03/10/11
NN INC DE 1.01,2.02,9.01 03/10/11
NORTH BAY RESOURCES INC DE 1.01,3.02,9.01 03/07/11
NORTHEAST BANCORP /ME/ ME 9.01 12/29/10 AMEND
NOVELL INC DE 8.01 03/04/11
Obagi Medical Products, Inc. DE 2.02,9.01 03/10/11
OLD POINT FINANCIAL CORP VA 5.03 03/08/11
OMEGA PROTEIN CORP NV 8.01,9.01 03/09/11
OMNI BIO PHARMACEUTICAL, INC. CO 5.02 03/04/11
ONCOGENEX PHARMACEUTICALS, INC. DE 2.02,9.01 03/10/11
ONCOVISTA INNOVATIVE THERAPIES, INC 7.01,9.01 03/08/11
Opko Health, Inc. DE 1.01,7.01,9.01 03/09/11
OPTIMER PHARMACEUTICALS INC 2.02,9.01 03/10/11
ORCHID CELLMARK INC 2.02,9.01 03/10/11
Orexigen Therapeutics, Inc. DE 2.02,9.01 03/10/11
Orient Petroleum & Energy, Inc. 5.02,8.01,9.01 03/07/11
P&F INDUSTRIES INC DE 1.01,1.02 03/04/11
PACIFIC GAS & ELECTRIC Co CA 7.01,9.01 03/09/11
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 5.02 03/04/11
PALL CORP NY 5.02,9.01 03/04/11
PANERA BREAD CO DE 5.02 03/04/11
PARK OHIO HOLDINGS CORP OH 8.01 03/08/11
Patriot Coal CORP DE 8.01 03/07/11
PAULSON CAPITAL CORP OR 2.02,9.01 03/10/11
PEPSICO INC NC 7.01,9.01 03/10/11
PG&E CORP CA 7.01,9.01 03/09/11
PHYSICIANS FORMULA HOLDINGS, INC. DE 2.02,7.01,9.01 03/10/11
Piedmont Mining Company, Inc. NC 1.01,3.02,5.01,5.03, 03/04/11
8.01,9.01
Pinnacle Foods Finance LLC DE 2.02,9.01 03/10/11
PIONEER NATURAL RESOURCES CO DE 7.01 03/08/11
PLAINS ALL AMERICAN PIPELINE LP DE 1.01,7.01,9.01 03/08/11
PLAYERS NETWORK NV 5.02,9.01 03/09/11
POWERSECURE INTERNATIONAL, INC. DE 2.02,9.01 03/10/11
PPL Corp 2.01,9.01 03/09/11
PREFORMED LINE PRODUCTS CO OH 2.02,9.01 03/10/11
PRESIDENTIAL LIFE CORP DE 4.02 03/07/11
PrimeCare Systems, Inc. DE 8.01 03/10/11
PRINCETON REVIEW INC DE 2.02,9.01 03/09/11
PUGET ENERGY INC /WA WA 5.02 03/10/11
PULSE ELECTRONICS CORP PA 8.01,9.01 03/10/11
QAD INC DE 2.02,9.01 03/10/11
QLIK TECHNOLOGIES INC DE 8.01 03/04/11
Quad/Graphics, Inc. WI 2.02,9.01 03/09/11
QUIKSILVER INC DE 2.02,9.01 03/10/11
RAM ENERGY RESOURCES INC DE 5.02,9.01 03/08/11
RAVEN INDUSTRIES INC SD 2.02,9.01 03/10/11
RAZOR RESOURCES INC NV 5.02 03/08/11
REDWOOD TRUST INC MD 7.01,9.01 03/10/11
REGENERON PHARMACEUTICALS INC NY 8.01,9.01 03/10/11
RENAISSANCERE HOLDINGS LTD D0 2.01,8.01,9.01 03/04/11
RF MONOLITHICS INC /DE/ DE 5.02,9.01 03/07/11
ROME BANCORP INC DE 5.07 03/09/11
ROTECH HEALTHCARE INC DE 7.01,9.01 03/10/11
S1 CORP /DE/ DE 7.01,9.01 03/10/11
S1 CORP /DE/ DE 2.02,9.01 03/10/11
SALEM COMMUNICATIONS CORP /DE/ DE 2.02,7.01,9.01 12/31/10
SANTEON GROUP, INC. DE 4.01,9.01 03/10/11
SEABRIDGE FREIGHT CORP. NV 9.01 03/09/11
SEABRIDGE FREIGHT CORP. NV 9.01 03/09/11
SeaCube Container Leasing Ltd. 2.02,9.01 03/09/11
SEAHAWK DRILLING, INC. DE 7.01,9.01 03/10/11
SEITEL INC DE 2.02,9.01 03/10/11
SENESCO TECHNOLOGIES INC DE 8.01,9.01 03/10/11
SENTRY PETROLEUM LTD. 7.01,9.01 03/10/11
SHENGRUI RESOURCES CO. LTD NV 5.01 03/07/11
Sino Clean Energy Inc NV 5.02,9.01 03/04/11
SmartPros Ltd. DE 2.02,7.01,9.01 03/10/11
SMITH & WESSON HOLDING CORP NV 2.02,9.01 03/10/11
SMITHFIELD FOODS INC VA 2.02,9.01 03/10/11
SOMBRIO CAPITAL CORP NV 4.01,9.01 02/08/11 AMEND
SOUTH JERSEY INDUSTRIES INC NJ 8.01 03/08/11
SPARK NETWORKS INC X0 2.02,9.01 03/10/11
Spectrum Brands Holdings, Inc. DE 1.01,9.01 03/04/11
Spectrum Brands, Inc. DE 1.01,9.01 03/04/11
SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 03/10/11
STANDARD PARKING CORP DE 2.02,7.01 03/09/11
STARBUCKS CORP WA 7.01,9.01 03/10/11
State Auto Financial CORP OH 5.02 03/03/11
STEWART ENTERPRISES INC LA 2.02,9.01 03/09/11
Stratus Media Group, Inc NV 8.01 02/18/11
SunOpta Inc. 2.02,9.01 03/10/11
SunSi Energies Inc. NV 2.01,3.02,9.01 03/09/11
SUPERCONDUCTOR TECHNOLOGIES INC DE 2.02,9.01 03/10/11
SupportSave Solutions Inc 5.02,9.01 03/08/11
SYNERGY PHARMACEUTICALS, INC. FL 1.01,9.01 03/04/11
SYNOVUS FINANCIAL CORP GA 7.01,9.01 03/10/11
TBS International plc L2 5.02 03/10/11
TCF FINANCIAL CORP DE 8.01,9.01 03/09/11
TECHNEST HOLDINGS INC NV 1.01,1.02,2.01,3.02, 03/04/11
5.01,5.02,8.01,9.01
TELEFLEX INC DE 1.01,2.03,9.01 03/04/11
THERMOGENESIS CORP DE 5.02 03/07/11
THOMAS GROUP INC DE 2.02,9.01 03/09/11
TIER TECHNOLOGIES INC DE 5.02,9.01 03/09/11
TNS INC 5.02,9.01 03/08/11
TORTOISE CAPITAL RESOURCES CORP 1.01,9.01 03/10/11
TRANSGENOMIC INC DE 2.02,9.01 03/10/11
TransMontaigne Partners L.P. DE 1.01,2.02,2.03,9.01 03/09/11
Tyco Electronics Ltd. V8 5.03,9.01 03/09/11
UIL HOLDINGS CORP CT 7.01,9.01 03/10/11
Ulta Salon, Cosmetics & Fragrance, In DE 2.02,9.01 03/10/11
ULTRALIFE CORP DE 2.02,2.05,9.01 03/08/11
Umami Sustainable Seafood Inc. NV 2.03 02/28/11
Uni-Pixel DE 8.01,9.01 03/10/11
UNIGENE LABORATORIES INC DE 2.02,9.01 03/10/11
United American Petroleum Corp. NV 1.01,2.03,3.02,5.02, 03/09/11
9.01
United Community Bancorp X1 1.01,9.01 03/10/11
UNIVERSAL DISPLAY CORP \PA\ PA 1.02 03/10/11
URBAN OUTFITTERS INC PA 2.02,9.01 03/07/11
VAIL RESORTS INC DE 2.02,9.01 03/10/11
Valeant Pharmaceuticals International A6 1.01,1.02,2.03,9.01 03/08/11
Vantage Drilling CO E9 8.01,9.01 03/10/11
VERSANT CORP CA 5.02 03/10/11
VIKING SYSTEMS INC DE 5.02 03/04/11
VIRGIN MEDIA INC. DE 5.02 03/04/11
WEB.COM GROUP, INC. 2.01,9.01 07/30/10 AMEND
WELLPOINT, INC IN 5.02,9.01 03/04/11
WELLS CORE OFFICE INCOME REIT INC 1.01,2.03 03/09/11
WELLSTONE FILTER SCIENCES INC /DE/ DE 1.01,3.02,5.01,5.02, 02/19/11 AMEND
8.01,9.01
WESCO INTERNATIONAL INC 5.02,9.01 03/10/11
WILEY JOHN & SONS, INC. NY 7.01 01/31/11
WILLIAMS SONOMA INC CA 5.02 03/08/11
WINNEBAGO INDUSTRIES INC IA 7.01,9.01 03/10/11
WORLD OMNI AUTO RECEIVABLES LLC DE 8.01,9.01 03/10/11
WYNDHAM WORLDWIDE CORP DE 8.01 03/10/11
XCEL ENERGY INC MN 7.01 03/10/11
Xenith Bankshares, Inc. VA 8.01,9.01 03/10/11
XL GROUP PLC L2 8.01,9.01 03/09/11
YRC Worldwide Inc. DE 5.02,9.01 03/06/11
Zumiez Inc WA 2.02,9.01 03/10/11
ZYNEX INC NV 2.02,9.01 03/10/11
http://www.sec.gov/news/digest/2011/dig031111.htm
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