In the Matter of Advantage Life Products, Inc.
On March 18, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Advantage Life Products, Inc., Administrative Proceeding No. 3-14223. The Default Order finds that Respondents failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 or 13a-16 because each failed to make periodic filings with the Commission for a number of years. Based on these findings, the Default Order, pursuant to Section 12(j) of the Exchange Act, revokes the registration of each class of registered securities of each of these companies. (Rel. 34-64092; File No. 3-14223)
Commission Revokes Registration of Securities of Bio-Life Labs, Inc. for Failure to Make Required Periodic Filings
On March 18, 2011, the Commission revoked the registration of each class of registered securities of Bio-Life Labs, Inc. (BLFE) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, BLFE consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Bio-Life Labs, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of BLFE’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against BLFE in In the Matter of Bio-Life Labs, Inc., et al., Administrative Proceeding File No. 3-14271.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Bio-Life Labs, Inc., et al., Administrative Proceeding File No. 3-14271, Exchange Act Release No. 63952 (Feb. 24, 2011). (Rel. 34-64093; File No. 3-14271)
In the Matter of Jason N. Ginder
The Commission today announced that, based on the entry of an injunction on March 9, 2011, in a civil injunctive action previously filed by the Commission, it issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions suspending Jason N. Ginder from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any offering of penny stock for a period of nine (9) months. Ginder, 47, of New Fairfield, Connecticut, was a registered representative of broker-dealer Prudential Securities, Inc. The Commission filed its complaint against Ginder and three other former Prudential Securities registered representatives in August 2006. The Commission's complaint alleged that, from at least January 2001 until September 2003, Ginder defrauded mutual fund companies and the funds' shareholders in order to engage in market timing trades on behalf of two hedge fund customers through the use of multiple customer account numbers and financial adviser numbers.
Ginder consented to the issuance of the Commission's Order without admitting or denying its findings, except he admitted the entry of the injunction. (Rels. 34-64098; IA-3176; File No. 3-14298)
IBM to Pay $10 Million in Settled FCPA Enforcement Action
The Securities and Exchange Commission today charged International Business Machines Corporation (IBM) with violating the books and records and internal control provisions of the Foreign Corrupt Practices Act of 1977 (FCPA) as a result of the provision of improper cash payments, gifts, and travel and entertainment to government officials in South Korea and China.
As alleged in the SEC’s Complaint, from 1998 to 2003, employees of IBM Korea, Inc., an IBM subsidiary, and LG IBM PC Co., Ltd., a joint venture in which IBM held a majority interest, paid cash bribes and provided improper gifts and payments of travel and entertainment expenses to various government officials in South Korea in order to secure the sale of IBM products.
It was further alleged that, from at least 2004 to early 2009, employees of IBM (China) Investment Company Limited and IBM Global Services (China) Co., Ltd., both wholly-owned IBM subsidiaries, engaged in a widespread practice of providing overseas trips, entertainment, and improper gifts to Chinese government officials.
Without admitting or denying the SEC’s allegations, IBM consented to the entry of a final judgment that permanently enjoins the company from violating the books and records and internal control provisions of the FCPA, codified as Sections 13(b)(2)(A) and 13(b)(2)(B) of the Securities Exchange Act of 1934. IBM also agreed to pay disgorgement of $5,300,000, $2,700,000 in prejudgment interest, and a $2,000,000 civil penalty. [SEC v. International Business Machines Corporation, Civil Action No. 01:11-cv-00563 (RJL) (D.D.C.) (filed on Mar. 18, 2011)] (LR-21889; AAE Rel. 3254)
SEC Charges Former Director of First Morris Bank and New Jersey Accountant With Illegal Insider Trading
On March 17, 2011, the Securities and Exchange Commission filed a civil injunctive action in the United States District Court for the District of New Jersey charging a former director of First Morris Bank and Trust (First Morris), at the time a publicly traded regional New Jersey bank, with illegally tipping a friend about First Morris’s confidential efforts to be acquired by another bank, and a New Jersey accountant with illegally trading on the basis of that inside information. The accountant is also charged with tipping a business associate about the potential sale of First Morris. Both defendants have agreed to settle the Commission’s charges and to pay a total of $188,699 in disgorgement and civil penalties.
The Commission’s complaint alleges as follows: Defendant Kim Ann Deskovick, age 55, was a director of First Morris during the relevant period. From June through September of 2006, Deskovick received confidential information concerning First Morris’s efforts to be acquired by another bank and the status of those merger negotiations. In breach of her fiduciary duty as a director, Deskovick tipped a close friend that First Morris was for sale and periodically updated her friend on the status of First Morris’s merger negotiations. Deskovick’s friend then tipped defendant Brian S. Haig, age 45, a friend and business associate. Deskovick’s friend told Haig that the friend had learned from Deskovick that First Morris was for sale and recommended that Haig buy First Morris securities. Based on the tip from Deskovick’s friend, Haig purchased 4,000 shares of First Morris stock in September 2006. Haig also tipped a friend and business associate, now deceased, about the pending sale of First Morris and the source of the information. Based on Haig’s tip, Haig’s friend purchased 800 shares of First Morris stock in September 2006. On October 16, 2006, First Morris and Provident Financial Services, Inc. announced the execution of a merger agreement, and the price of First Morris stock increased by approximately 14% that day. Haig sold his entire First Morris position on the day of the announcement for a profit of $56,797, and his friend sold his entire First Morris position on the following day for a profit of $11,480.
The complaint charges Deskovick and Haig with violating Section 10(b) of the Securities Exchange Act and Rule 10b-5. Simultaneous with the filing of the complaint, Deskovick and Haig each consented, without admitting or denying the allegations in the complaint, to the entry of final judgments: (1) permanently enjoining them from violating Section 10(b) of the Exchange Act and Rule 10b-5; (2) ordering Haig to disgorge $68,277, the full amount of the First Morris trading profits made by Haig and the person he tipped, and to pay prejudgment interest of $18,007 on that amount; (3) ordering Deskovick to pay a civil penalty of $68,277; (4) ordering Haig to pay a civil penalty of $34,138; and (5) barring Deskovick from serving as an officer or director of a public company for five years. In determining the amount of the penalty sought from Haig, the Commission considered the significant cooperation he provided in connection with this matter, including providing information about others that assisted the Commission in bringing additional charges. The final judgments are subject to the Court’s approval. [SEC v. Kim Ann Deskovick and Brian S. Haig, Civ. 11-1522 (JLL) (DNJ)] (LR-21890)
SEC Charges Officers of St. Anselm Exploration Co. with Fraud
The Securities and Exchange Commission filed a civil injunctive action yesterday in the United States District Court for the District of Colorado charging Denver-based St. Anselm Exploration Co. (St. Anselm); its three principals, Michael A. Zakroff, Anna M.R. Wells, and Mark S. Palmer; and Steven S. Etkind, its vice president of corporate development, with securities fraud. Specifically, the Commission’s complaint alleges that from at least January 2007 through Aug. 16, 2010, the Defendants engaged in a fraudulent high-interest promissory note program to fund St. Anselm’s operations.
The Commission’s complaint specifically alleges that defendants Zakroff, Wells, and Palmer, all of whom reside in Colorado, and Etkind, who resides in New Mexico, solicited investors in New Mexico, Colorado, and other states and offered high annual investment returns ranging from 18-36%. The complaint also alleges that as of Sept. 30, 2010, St. Anselm owed approximately 200 investors a total of over $62 million in outstanding notes. The complaint further alleges that the Defendants solicited investors by falsely representing and implying that St. Anselm was profitable and able to pay investors both from the recurring revenue from oil and gas production and from the larger, but less frequent, sales of asset packages. The complaint also alleges that the Defendants failed to disclose to investors St. Anselm’s true financial condition and that St. Anselm depended on the proceeds of new promissory note sales to service its debt. In fact, from January 2007 to Aug. 16, 2010, St. Anselm had paid investor returns and note redemptions almost exclusively with funds from other investors in Ponzi-like fashion.
The Commission’s complaint alleges that all of the defendants violated the antifraud provisions of the securities laws in Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Section 17(a) of the Securities Act of 1933. The Commission’s complaint seeks preliminary and permanent injunctions, third-tier civil penalties, disgorgement plus prejudgment interest, and other relief. [SEC v. St. Anselm Exploration Co. et al, Civil Action No. 11-CV-00668 REB MJW, (Dist. Colo.)] (LR-21891)
Immediate Effectiveness of Proposed Rule Change
A proposed rule change filed by NYSE Arca (SR-NYSEArca-2011-09) adopting rules related to Qualified Contingent Cross Orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64086)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-BX-2011-007) submitted by the NASDAQ OMX BX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to permanent approval of the BX and NES inbound routing relationship. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64090)
The Commission approved a proposed rule change (SR-ISE-2011-04) filed by the International Securities Exchange to establish a new class of market participant for index options. Publication is expected in the Federal Register during the week of March 21. (Rel. 34-64091)
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 Rovi Corp, C/O ROVI ROVI CORPORATION, 2830 DE LA CRUZ BOULEVARD, SANTA CLARA, CA, 95050, 408-562-8400 - 1,646,749 ($88,562,161.22) Equity, (File 333-172886 - Mar. 17) (BR. 05A) S-8 HCA Holdings, Inc., ONE PARK PLZ, NASHVILLE, TN, 37203, 6153449551 - 40,000,000 ($1,232,400,000.00) Equity, (File 333-172887 - Mar. 17) (BR. 01A) S-4 Alpha Natural Resources, Inc., ONE ALPHA PLACE, P.O. BOX 2345, ABINGDON, VA, 24212, 276-619-4410 - 0 ($5,338,945,368.00) Equity, (File 333-172888 - Mar. 17) (BR. 04C) S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($111,157,211.66) Equity, (File 333-172889 - Mar. 17) (BR. 06C) S-8 AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 18195-1501, 6104814911 - 0 ($3,185,640.00) Equity, (File 333-172890 - Mar. 17) (BR. 06C) S-8 Bacterin International Holdings, Inc., 600 CRUISER LANE, BELGRADE, MT, 59714, 406-388-0480 - 6,000,000 ($23,040,000.00) Equity, (File 333-172891 - Mar. 17) (BR. 01A) S-1 Puravita Corp, 3211 OCEAN DRIVE, VERO BEACH, FL, 32963, 7722349999 - 10,000,000 ($500,000.00) Equity, (File 333-172892 - Mar. 17) (BR. 08) S-8 Cullman Bancorp, Inc., 316 SECOND AVENUE S.W., CULLMAN, AL, 35055, (256) 734-1740 - 172,373 ($1,809,916.00) Equity, (File 333-172893 - Mar. 17) (BR. 07B) S-8 Platinum Studios, Inc., 11400 W. OLYMPIC BOULEVARD, SUITE 1400, LOS ANGELES, CA, 90064, (301) 807-8100 - 15,000,000 ($900,000.00) Equity, (File 333-172894 - Mar. 17) (BR. 05C) S-1 Calendar Dragon Inc., 11602 - 75 AVENUE N W, EDMONTON, A0, T6G 0J2, (780) 435-2650 - 1,575,000 ($31,500.00) Equity, (File 333-172896 - Mar. 17) (BR. ) S-4 RAAM Global Energy Co, 1537 BULL LEA ROAD, SUITE 200, LEXINGTON, KY, 40511, 859-253-1300 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-172897 - Mar. 17) (BR. ) S-1 Macquarie Equipment Leasing Fund Two, LLC, 225 FRANKLIN STREET, 17TH FLOOR, SUITE 1, BOSTON, MA, 02110, 6174570645 - 0 ($214,000,004.00) Other, (File 333-172898 - Mar. 17) (BR. ) S-4 Duke Energy CORP, 526 SOUTH CHURCH STREET, EC03T, CHARLOTTE, NC, 28202, 704-594-6200 - 0 ($13,601,231,047.00) Equity, (File 333-172899 - Mar. 17) (BR. 02A) S-1 TIAA REAL ESTATE ACCOUNT, 730 THIRD AVE, NEW YORK, NY, 10017, 2124909000 - 0 ($2,000,000,000.00) Other, (File 333-172900 - Mar. 17) (BR. 08A) S-8 ALCATEL LUCENT, 54, RUE LA BOETIE, PARIS, I0, 75008, 33140761010 - 0 ($35,425,900.26) Equity, (File 333-172901 - Mar. 17) (BR. 11A) S-3ASR PNM RESOURCES INC, ALVARADO SQUARE, NEW MEXICO, ALBUQUERQUE, NM, 87158, 5052412700 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172902 - Mar. 17) (BR. 02A) S-8 BSQUARE CORP /WA, 110 110TH AVENUE NE, SUITE 200, BELLEVUE, WA, 98004, 4255195900 - 0 ($2,632,500.00) Equity, (File 333-172904 - Mar. 17) (BR. 03B) S-8 OMEROS CORP, 1420 5TH AVE, SUITE 2600, SEATTLE, WA, 98101, 206-676-5000 - 0 ($6,674,890.00) Equity, (File 333-172905 - Mar. 17) (BR. 01A) S-8 EPOCRATES INC, 1100 PARK PLACE, SUITE 300, SAN MATEO, CA, 94403, 650-227-1700 - 0 ($89,473,301.90) Equity, (File 333-172906 - Mar. 17) (BR. 03A) N-2 O'Connor Fund of Funds: Long/Short Credit Strategies LLC, C/O UBS ALT. AND QUANT. INVESTMENTS LLC, 677 WASHINGTON BOULEVARD, STAMFORD, DE, 06901, (203) 719-1850 - 0 ($1.00) Equity, (File 333-172907 - Mar. 17) (BR. 17) N-2 O'Connor Fund of Funds: Long/Short Equity Strategies LLC, C/O UBS ALT. & QUANTIT. INVESTMENTS LLC, 677 WASHINGTON BOULEVARD, STAMFORD, CT, 06901, 203-719-1850 - 0 ($1.00) Equity, (File 333-172908 - Mar. 17) (BR. 17) S-8 Jingwei International LTD, 701, BUILDING 14, KEJI C.RD, 2ND, SOFTWARE PARK, NANSHAN DISTRICT, SHENZHEN,, F4, 518057, 86 75583433290 - 792,000 ($2,543,853.00) Equity, (File 333-172909 - Mar. 17) (BR. 03A) S-4 CAESARS ENTERTAINMENT Corp, ONE CAESARS PALACE DRIVE, LAS VEGAS, NV, 89109, 7024076000 - 0 ($750,000,000.00) Non-Convertible Debt, (File 333-172910 - Mar. 17) (BR. 08A)
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 1st United Bancorp, Inc. FL 7.01,9.01 03/17/11 ACCREDITED BUSINESS CONSOLIDATORS COR PA 8.01 03/11/11 ACME UNITED CORP CT 5.02,9.01 03/17/11 ACORN ENERGY, INC. DE 2.02,9.01 03/16/11 ACTUANT CORP WI 2.02,9.01 03/17/11 Advanced Life Sciences Holdings, Inc. 3.02 03/11/11 AEP INDUSTRIES INC DE 7.01 03/17/11 AgFeed Industries, Inc. NV 2.02,9.01 03/17/11 AIRTRAN HOLDINGS INC NV 5.02,9.01 03/16/11 ALICO INC FL 8.01,9.01 03/17/11 ALNYLAM PHARMACEUTICALS, INC. 8.01 03/16/11 AMARIN CORP PLC\UK X0 2.02,9.01 03/16/11 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA 5.02 03/15/11 AMERICAN RIVER BANKSHARES CA 5.02,9.01 03/16/11 AMERICAN VANGUARD CORP DE 5.02 03/15/11 AMERITYRE CORP NV 5.02 03/14/11 Answers CORP 2.02 03/17/11 APOGEE ENTERPRISES INC MN 5.02,9.01 03/11/11 Arcland Energy CORP UT 1.01,9.01 03/15/11 ARES CAPITAL CORP MD 5.02 03/12/11 ARGAN INC DE 2.01,9.01 03/11/11 ARI NETWORK SERVICES INC /WI WI 2.02,9.01 03/17/11 ASHLAND INC. KY 8.01,9.01 03/16/11 ASHLAND INC. KY 8.01,9.01 03/16/11 ATHENAHEALTH INC DE 1.01 03/11/11 Avantair, Inc DE 1.01,2.03,9.01 03/14/11 BANK OF AMERICA CORP /DE/ DE 8.01,9.01 03/17/11 Bank of Commerce Holdings CA 5.02 03/15/11 Bank of Commerce Holdings CA 5.02,9.01 03/16/11 Baron Energy Inc. NV 1.01,3.02,9.01 03/11/11 BARRETT BUSINESS SERVICES INC MD 4.02 03/11/11 BERKSHIRE HATHAWAY INC DE 1.01,9.01 03/13/11 BIOANALYTICAL SYSTEMS INC IN 5.07 03/17/11 BSQUARE CORP /WA WA 2.02 03/17/11 Burger King Holdings Inc DE 5.02 03/11/11 CABCO SERIES 2004-102 TRUST (SBC COMM 8.01,9.01 03/15/11 CAESARS ENTERTAINMENT Corp DE 7.01 03/17/11 CANAL Corp VA 8.01,9.01 03/14/11 CASUAL MALE RETAIL GROUP INC DE 2.02,9.01 03/17/11 CATASYS, INC. DE 8.01,9.01 03/17/11 CCA INDUSTRIES INC DE 1.01,9.01 03/15/11 CelLynx Group, Inc. NV 1.01,3.02,8.01,9.01 03/10/11 CENTERLINE HOLDING CO DE 5.02 03/14/11 CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 03/11/11 CERADYNE INC DE 5.02,9.01 03/11/11 CHINA AUTOMOTIVE SYSTEMS INC DE 4.02,9.01 03/17/11 China Botanic Pharmaceutical 2.02,9.01 03/17/11 CHINA EDUCATION ALLIANCE INC. NC 1.01,8.01,9.01 03/14/11 CHINA HGS REAL ESTATE INC. F4 5.02,5.07,9.01 03/14/11 China MediaExpress Holdings, Inc. DE 4.01,5.02,9.01 03/11/11 CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 03/17/11 CHYRON CORP NY 2.02,9.01 03/17/11 CHYRON CORP NY 5.02 03/13/11 CLARCOR INC DE 2.02,9.01 03/16/11 CLAYTON WILLIAMS ENERGY INC /DE DE 1.01,2.03,7.01,9.01 03/11/11 CLIFFS NATURAL RESOURCES INC. OH 8.01,9.01 03/16/11 COFFEE HOLDING CO INC NV 2.02,8.01,9.01 03/17/11 Cogdell Spencer Inc. MD 2.02,9.01 03/03/11 AMEND COGNEX CORP MA 5.02 03/16/11 COMMAND SECURITY CORP NY 5.07 09/16/10 Community Bankers Trust Corp DE 5.02,8.01,9.01 03/11/11 COMPUWARE CORP MI 5.02,9.01 03/11/11 COMSTOCK RESOURCES INC NV 1.01,2.03,9.01 03/14/11 CONSOL Energy Inc DE 8.01 03/09/11 AMEND Cooper-Standard Holdings Inc. DE 5.02 03/11/11 Cornerstone Financial Corp NJ 8.01,9.01 03/16/11 COST PLUS INC/CA/ CA 2.02,9.01 03/17/11 COVER ALL TECHNOLOGIES INC DE 8.01,9.01 03/16/11 CPEX Pharmaceuticals, Inc. DE 8.01,9.01 03/16/11 CROGHAN BANCSHARES INC OH 8.01 03/15/11 Crystal Rock Holdings, Inc. DE 2.02,9.01 03/17/11 Cullman Bancorp, Inc. X1 8.01,9.01 03/15/11 DAVITA INC DE 1.01,1.02,3.03,5.03, 03/10/11 AMEND 9.01 dELiAs, Inc. DE 2.02,9.01 03/17/11 DELTA PETROLEUM CORP/CO CO 2.02,9.01 03/16/11 DEWEY ELECTRONICS CORP NY 8.01 03/17/11 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 03/17/11 DigitalPost Interactive, Inc. NV 2.03 03/11/11 DIME COMMUNITY BANCSHARES INC DE 5.02,5.03,9.01 03/17/11 Discover Card Execution Note Trust DE 8.01 03/15/11 DISCOVER CARD MASTER TRUST I DE 8.01 03/15/11 DOCUMENT SECURITY SYSTEMS INC NY 3.01 03/15/11 DOCUMENT SECURITY SYSTEMS INC NY 1.01,3.02,3.03,9.01 03/14/11 DRI CORP NC 7.01,9.01 03/17/11 E TRADE FINANCIAL CORP DE 5.02 03/11/11 E-Debit Global Corp. CO 8.01 03/17/11 El Paso Pipeline Partners, L.P. DE 1.01,2.01,9.01 03/11/11 ELITE PHARMACEUTICALS INC /DE/ DE 8.01,9.01 03/11/11 EMAGIN CORP DE 2.02,9.01 03/16/11 EMC CORP MA 8.01,9.01 03/17/11 EMERSON ELECTRIC CO MO 7.01 03/17/11 EMPIRE RESORTS INC DE 5.03,5.05,8.01,9.01 03/14/11 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 03/17/11 ENDWAVE CORP DE 8.01 03/16/11 ENZON PHARMACEUTICALS INC DE 5.02,5.03,9.01 03/11/11 EON COMMUNICATIONS CORP DE 2.02,9.01 03/17/11 EVEREST RE GROUP LTD D0 8.01,9.01 03/17/10 Evetsco, Inc. DE 1.01,2.03 03/17/11 F5 NETWORKS INC WA 5.07 03/14/11 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 03/16/11 Federal Home Loan Bank of Atlanta X1 2.03 03/17/11 Federal Home Loan Bank of Boston X1 2.03 03/14/11 Federal Home Loan Bank of Chicago X1 2.03 03/17/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/15/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/15/11 Federal Home Loan Bank of New York X1 2.03,9.01 03/14/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/14/11 Federal Home Loan Bank of San Francis X1 2.03 03/14/11 Federal Home Loan Bank of Seattle 2.03 03/15/11 Federal Home Loan Bank of Topeka 2.03,9.01 03/14/11 FEDEX CORP DE 2.02,9.01 03/17/11 First Bancorp, Inc /ME/ ME 8.01 03/17/11 FIRST CITIZENS BANC CORP /OH OH 8.01 03/17/11 FIRSTFED FINANCIAL CORP DE 8.01,9.01 03/17/11 FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 03/16/11 Forex International Trading Corp. NV 3.02,7.01,9.01 03/17/11 FRANKLIN COVEY CO UT 1.01,2.03,9.01 03/14/11 FRANKLIN RESOURCES INC DE 5.02,5.07,9.01 03/15/11 GENERAL EMPLOYMENT ENTERPRISES INC IL 9.01 12/30/10 AMEND Genesis Biopharma, Inc NV 5.02,9.01 03/16/11 GenMark Diagnostics, Inc. DE 5.02,9.01 03/17/11 GENSPERA INC DE 7.01 03/17/11 GLOBAL CLEAN ENERGY, INC. MD 4.01 02/09/11 AMEND GLOBAL INDUSTRIES LTD LA 5.02,9.01 03/14/11 GLOBAL INDUSTRIES LTD LA 5.02 03/17/11 GLOBAL MOBILETECH, INC. NV 1.02,9.01 03/14/11 Gordmans Stores, Inc. DE 2.02,9.01 03/17/11 GRAHAM CORP DE 8.01,9.01 03/16/11 GRIFFON CORP DE 8.01,9.01 03/17/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 03/17/11 GULF RESOURCES, INC. DE 2.02,8.01,9.01 03/16/11 GULFMARK OFFSHORE INC DE 4.01,9.01 03/14/11 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 03/17/11 HARRIS CORP /DE/ DE 7.01,9.01 03/17/11 HAWAIIAN HOLDINGS INC DE 1.01,8.01,9.01 03/16/11 HEALTH CARE REIT INC /DE/ DE 5.03,9.01 03/16/11 HeartWare International, Inc. DE 8.01 03/16/11 HELEN OF TROY LTD 9.01 12/30/10 AMEND HERTZ CORP DE 2.03,9.01 03/11/11 HERTZ GLOBAL HOLDINGS INC 2.03,9.01 03/11/11 HF FINANCIAL CORP DE 8.01,9.01 03/17/11 Hines Global REIT, Inc. MD 1.01,2.01,2.03,7.01, 03/11/11 9.01 HOVNANIAN ENTERPRISES INC DE 5.07 03/17/11 Huntsman CORP DE 5.02 03/14/11 Huron Consulting Group Inc. DE 5.02 03/11/11 ICAD INC DE 9.01 12/30/10 AMEND ICO Global Communications (Holdings) DE 8.01,9.01 03/15/11 IHS Inc. DE 2.02 03/17/11 IMMEDIATEK INC NV 1.01,9.01 03/17/11 INDEPENDENT BANK CORP MA 8.01 03/17/11 Inland Diversified Real Estate Trust, MD 1.01,2.01,2.03,8.01 03/11/11 INLAND REAL ESTATE CORP MD 1.01,2.03,9.01 03/16/11 INLAND REAL ESTATE CORP MD 8.01,9.01 03/17/11 INSIGNIA SYSTEMS INC/MN MN 8.01 03/11/11 Intelimax Media Inc. 2.03,3.02 03/15/11 INTERNATIONAL RECTIFIER CORP /DE/ DE 7.01 03/11/11 INTERNATIONAL SHIPHOLDING CORP DE 4.01,9.01 03/14/11 INTERPHASE CORP TX 1.02 03/11/11 INTERSIL CORP/DE DE 5.02 03/17/11 Invesco Mortgage Capital Inc. MD 5.02 03/14/11 INVIVO THERAPEUTICS HOLDINGS CORP. NV 5.02,9.01 03/15/11 IPARTY CORP DE 5.02 03/15/11 IRON MOUNTAIN INC DE 5.02 03/11/11 ITC Holdings Corp. MI 8.01 03/11/11 KeyOn Communications Holdings Inc. DE 3.02,5.07,9.01 03/11/11 KEYSTONE CONSOLIDATED INDUSTRIES INC DE 2.02,7.01,9.01 03/17/11 KILLBUCK BANCSHARES INC OH 5.02,9.01 03/14/11 KIT digital, Inc. DE 2.02,9.01 03/16/11 KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 03/11/11 LAMAR ADVERTISING CO/NEW DE 5.02 03/16/11 LECG CORP DE 8.01,9.01 03/15/11 LEGACY RESERVES LP DE 1.01,2.03,8.01,9.01 03/10/11 Liberty Global, Inc. 7.01 03/17/11 Lifevantage Corp CO 5.02,9.01 03/11/11 Lightwave Logic, Inc. NV 7.01,9.01 03/17/11 lululemon athletica inc. DE 2.02,9.01 03/16/11 MACATAWA BANK CORP MI 7.01 03/17/11 MAGNUM HUNTER RESOURCES CORP DE 1.01,3.03,5.03,9.01 03/16/11 Manitex International, Inc. MI 2.02,9.01 03/17/11 MAXYGEN INC DE 8.01,9.01 03/16/11 MEDCO HEALTH SOLUTIONS INC DE 7.01,9.01 03/17/11 MedQuist Holdings Inc. DE 2.02,5.02 03/15/11 MedQuist Holdings Inc. DE 3.02,8.01,9.01 03/15/11 MERCER INSURANCE GROUP INC PA 5.07,8.01 03/16/11 MICHELEX CORP UT 5.02,8.01 11/30/10 MIDAS INC DE 2.02 03/16/11 MILLER PETROLEUM INC TN 1.01,2.03,5.02,5.03, 03/11/11 5.07,8.01,9.01 Momentive Performance Materials Inc. DE 1.01,9.01 03/17/11 MOMENTIVE SPECIALTY CHEMICALS INC. NJ 1.01,9.01 03/17/11 Motorola Solutions, Inc. DE 5.02,9.01 03/14/11 NEFFS BANCORP INC PA 5.03,8.01,9.01 03/17/11 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 03/11/11 New York & Company, Inc. 2.02,9.01 03/17/11 NEWELL RUBBERMAID INC DE 5.02,9.01 03/14/11 NewPage Holding CORP DE 1.01,9.01 03/16/11 Next 1 Interactive, Inc. NV 1.01,2.03,3.02,9.01 03/15/11 NIKE INC OR 2.02,9.01 03/17/11 NNN 2003 VALUE FUND LLC 7.01,8.01,9.01 03/15/11 NORDSTROM INC WA 5.02 02/23/11 AMEND NOVAVAX INC DE 4.02 03/17/11 Oak Ridge Financial Services, Inc. NC 2.02,9.01 03/11/11 OIL STATES INTERNATIONAL, INC DE 9.01 12/30/10 AMEND OLD NATIONAL BANCORP /IN/ IN 5.02 03/17/11 OMNIVISION TECHNOLOGIES INC DE 3.01 03/15/11 ON SEMICONDUCTOR CORP DE 8.01,9.01 03/16/11 OVERSEAS SHIPHOLDING GROUP INC DE 5.02,8.01,9.01 03/14/11 PAR TECHNOLOGY CORP DE 5.02 03/11/11 PARAMETRIC TECHNOLOGY CORP MA 3.01 03/15/11 PARLUX FRAGRANCES INC DE 1.01,9.01 03/02/11 PEABODY ENERGY CORP DE 8.01 03/16/11 PETROLEUM DEVELOPMENT CORP NV 5.02,9.01 03/17/11 Phreadz, Inc. NV 1.01,2.01,3.02,8.01 03/15/11 PITTSBURGH & WEST VIRGINIA RAILROAD PA 8.01,9.01 03/17/11 POTASH AMERICA, INC. NV 9.01 03/15/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 2.02,9.01 03/17/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 03/16/11 PROSPECT GLOBAL RESOURCES INC. NV 1.01,3.02,9.01 03/11/11 Protalix BioTherapeutics, Inc. FL 7.01,9.01 03/17/11 PRUDENTIAL BANCORP INC OF PENNSYLVANI 7.01,9.01 03/16/11 PSM HOLDINGS INC NV 2.01,3.02,5.02,9.01 03/15/11 RAM ENERGY RESOURCES INC DE 2.02,9.01 03/16/11 RASER TECHNOLOGIES INC UT 1.01,9.01 03/16/11 RAZOR RESOURCES INC NV 8.01 03/16/11 Reach Messaging Holdings, Inc. DE 1.01,2.03,3.02 02/10/11 READING INTERNATIONAL INC NV 2.02,9.01 03/15/11 RENAISSANCERE HOLDINGS LTD D0 8.01,9.01 03/16/11 REVLON INC /DE/ DE 7.01 03/17/11 REX ENERGY CORP DE 8.01,9.01 03/17/11 ROFIN SINAR TECHNOLOGIES INC DE 5.07 03/16/11 ROMA FINANCIAL CORP X1 8.01,9.01 03/16/11 Rosetta Resources Inc. DE 7.01,9.01 03/17/11 ROSS STORES INC DE 2.02,9.01 03/17/11 SANMINA-SCI CORP DE 5.02,8.01,9.01 03/17/11 SCANSOURCE INC SC 5.02,9.01 03/16/11 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 03/17/11 SHOE CARNIVAL INC IN 2.02,9.01 03/17/11 SILVER BUTTE Co. NV 4.01,5.03,9.01 03/14/11 Sino American Oil Co NV 1.01,7.01,9.01 03/14/11 Solo Cup CO DE 2.02,9.01 03/17/11 SPRINGLEAF FINANCE CORP IN 5.02 03/17/11 SPRINGLEAF FINANCE INC IN 5.02 03/17/11 STERLING CONSTRUCTION CO INC DE 9.01 03/16/11 STERLING FINANCIAL CORP /WA/ WA 5.02 03/11/11 STEWARDSHIP FINANCIAL CORP NJ 8.01,9.01 03/16/11 SUPERTEL HOSPITALITY INC VA 2.02,9.01 03/16/11 TASER INTERNATIONAL INC 5.02 06/30/10 TIB FINANCIAL CORP. FL 2.02,9.01 03/15/11 TOREADOR RESOURCES CORP DE 2.02,5.02,9.01 03/15/11 TOWERSTREAM CORP DE 2.02,9.01 03/17/11 TRANSATLANTIC PETROLEUM LTD. D0 2.02,7.01,9.01 03/17/11 TrueBlue, Inc. WA 1.01,9.01 03/11/11 UMPQUA HOLDINGS CORP OR 8.01 03/17/11 UNION BANKSHARES INC VT 1.01,9.01 03/16/11 Uniontown Energy Inc. NV 7.01,9.01 03/17/11 UNITED COMMUNITY BANKS INC GA 1.01,3.02,8.01,9.01 03/16/11 UNITED FIRE & CASUALTY CO IA 8.01,9.01 03/16/11 UNITED INSURANCE HOLDINGS CORP. DE 2.02,9.01 03/17/11 USA Mobility, Inc DE 5.02,9.01 03/14/11 USA TECHNOLOGIES INC PA 1.02,8.01,9.01 03/16/11 USD ENERGY CORP. NV 1.01,9.01 03/10/11 UTG INC 8.01 03/16/11 VALIDUS HOLDINGS LTD 5.02 03/14/11 VALUEVISION MEDIA INC MN 2.02,9.01 03/17/11 Velvet Rope Special Events, Inc. DE 5.03,5.07,9.01 03/09/11 VIBE RECORDS, INC. NEVADA NV 4.01,9.01 01/20/11 AMEND Vitacost.com, Inc. DE 4.01,9.01 03/11/11 WACCAMAW BANKSHARES INC NC 3.03,5.03,9.01 03/11/11 WILLIS GROUP HOLDINGS PLC L2 1.01,2.03,8.01,9.01 03/14/11 WINNEBAGO INDUSTRIES INC IA 2.02,9.01 03/17/11 WPCS INTERNATIONAL INC DE 2.02,9.01 03/17/11 WPCS INTERNATIONAL INC DE 7.01,9.01 03/17/11