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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-58
March 25, 2011

Commission Announcements

Commission Names Anne K. Small as Deputy General Counsel

On March 24, 2011, the Securities and Exchange Commission announced that Anne K. Small has been named a Deputy General Counsel in the SEC’s Office of General Counsel and will join the agency staff next week.

Ms. Small fills the position held by Mark Cahn before he was promoted to General Counsel last month. She will serve as Deputy General Counsel for Litigation and Adjudication, a role in which she will help oversee enforcement matters, appellate cases, and adjudications.

Ms. Small comes to the SEC from the New York office of WilmerHale LLP, where she was a partner in the firm’s litigation department.  She was involved in commercial and securities litigation, a broad range of civil and criminal matters, and trial and appellate work.

“We welcome the breadth of experience that Anne brings to the SEC,” said SEC General Counsel Mark Cahn.  “She will serve the Commission well, and we are very fortunate to have someone of Anne’s aptitude, judgment and extraordinary skill in this important role.” 

Ms. Small said, “It is an honor to have the opportunity to contribute to the work of the Commission and its dedicated staff.  I look forward to serving the SEC and the public interest in advancing the significant goals of the agency.”

Ms. Small began her law career as law clerk for Judge Guido Calabresi on the U.S. Court of Appeals for the Second Circuit and for Justice Stephen G. Breyer on the Supreme Court of the United States.  She received her JD in 2001 from Harvard Law School, where she was awarded the Sears Prize and served as President of the Harvard Law Review.  She earned her BA from Yale University in 1996.  (Press Rel. 2011-71

Enforcement Proceedings

In the Matter of Joseph A. Dawson

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 Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Joseph A. Dawson, the owner and president of Dawson Trading, LLC. The Order bars Dawson from association with any broker, dealer, investment adviser, municipal securities dealer or transfer agent and from participating in any penny stock offering based upon a final judgment entered against Dawson in the civil action entitled Securities and Exchange Commission v. Joseph A. Dawson, Civil Action No. 1:11-cv-01615, in the United States District Court for the Northern District of Illinois on March 17, 2011.

The Commission’s complaint in the action alleged, among other things, that Dawson engaged in a fraudulent offering scheme and unlawful insider trading. The complaint alleged that during a five-year period, Dawson raised approximately $3.8 million from 31 investors through the sale of promissory notes that provided guaranteed returns. The complaint further alleged that instead of investing the $3.8 million on behalf of investors, Dawson misappropriated approximately $2.1 million for his own personal expenses and purposes, and lost $945,000 trading securities. The complaint alleged that 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. The complaint also alleged that through Dawson Trading, Dawson engaged in unlawful insider trading by purchasing options of SPSS Inc. based on material, non-public information in advance of the July 28, 2009 announcement that International Business Machines Corporation was going to acquire SPSS. The complaint alleged that the unlawful trading generated profits of approximately $437,770. Dawson consented to the entry of the judgment without admitting or denying the allegations in the Commission’s complaint.

The final judgment entered against Dawson permanently enjoins 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) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder, and orders him to pay disgorgement of $3,349,455, together with prejudgment interest of $1,449,870, for a total of $4,799,325, provided that the total of such disgorgement and prejudgment interest shall be offset, on a dollar for dollar basis, by any amounts paid by Defendant as restitution pursuant to an order of the Court in the criminal proceeding before the United States District Court for the Northern District of Illinois, United States v. Joseph A. Dawson, Criminal Action No. 1:09-cr-01037-1.

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 ordered to pay restitution in the amount of $3.3 million. (Rel. No. 34-64126; File No. 3-14309)

In the Matter of Kevin Halter

The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 17A(c)(4)(C) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Kevin Halter. The Order finds that on February 17, 2011, a final judgment was entered by consent against Halter permanently enjoining him from aiding and abetting violations of Section 17A(d)(1) of the Securities and Exchange Act of 1934 and Rule 17Ad-12(a)(2) thereunder, in the civil action entitled Securities and Exchange Commission v. Kevin Halter, Civil Action Number 3:11-CV-197-N.

The Order further finds that the SEC’s complaint in this matter alleged, among other things, that while performing accounting functions for Securities Transfer Corporation (STC), a transfer agent registered with the Commission, Halter misappropriated approximately $2.7 million from ten client accounts. The complaint further alleges that after his conduct was discovered as a result of a Commission examination, Halter promptly repaid all misused funds.

Based on the above, the Order bars Halter from association with any transfer agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor or nationally recognized statistical ratings organization. Halter consented to the Order without admitting or denying any of the findings, except he admitted the entry of the final judgment. (Rel. No. 34-64124; File No. 3-14306)

Delinquent Filers’ Stock Registrations Revoked

The registrations of the registered securities of Admiralty Holding Co., American Consolidated Management Group, Inc., DnC Multimedia Corp., Dorsey Trailers, Inc. (n/k/a DT Liquidation, Inc.), and ElectraCapital, Inc. (a/k/a Electra Capital, 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. No. 34-64125; File No. 3-14291)

Delinquent Filers’ Stock Registrations Revoked

An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in China 9D Construction Group, Admin. Proc. No. 3-14215. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds the allegations to be true and revokes the registration of each class of registered securities of China 9D Construction Group pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. No. 34-64117; File No. 3-14215)

Investment Company Act Releases

Simple Alternatives, LLC, et al.

A notice has been issued giving interested persons until April 18, 2011 to request a hearing on an application filed by Simple Alternatives, LLC, et al., for an order exempting applicants from Section 15(a) of the Investment Company Act of 1940 (Act) and Rule 18f-2 under the Act. The order would permit the applicants to enter into and materially amend subadvisory agreements without shareholder approval and would grant relief from certain disclosure requirements. (Rel. No. IC-29616 / March 24, 2011)

Self-Regulatory Organizations

Order Approving Proposed Rule Change

The Commission has approved a proposed rule change (SR-OCC-2011-02) filed by The Options Clearing Corporation under Section 19(b)(1) of the Exchange Act to accommodate the clearance of options on certain indexes measuring the relative performance of one reference security or reference index relative to a second reference security or reference index. Publication is expected in the Federal Register during the week of March 28, 2011. (Rel No. 34-64119)

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.

N-2     ACAP Strategic Fund, 350 MADISON AVENUE, NEW YORK, NY, 10017, 
        212-389-8712 - 55,685,189 ($556,851,890.00) Equity, 
        (File 333-173027 - Mar. 24) (BR. 16)

S-1     AlphaPoint Technology, Inc., 5245 OFFICE PARK BLVD. SUITE 102, 
        BRADENTON, FL, 34203, 941-896-7848 - 4,000,000 ($400,000.00) Equity, 
        (File 333-173028 - Mar. 24) (BR. 03A)

S-3     ASR  NII Capital Corp., 1875 EXPLORER STREET, SUITE 1000, RESTON, VA, 
        20190, 703-390-5100 - 0 ($0.00) Non-Convertible Debt, 
        (File 333-173029 - Mar. 24) (BR. 11A)

S-8     CROGHAN BANCSHARES INC, 323 CROGHAN ST, FREMONT, OH, 43420, 
        4193327301 - 190,951 ($4,540,814.78) Equity, (File 333-173034 - 
        Mar. 24) (BR. 07A)

S-4     McJunkin Red Man Corp, 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100, 
        HOUSTON, TX, 77010, (713) 655-1005 - 0 ($1,050,000,000.00) 
        Non-Convertible Debt, (File 333-173035 - Mar. 24) (BR. )

N-2     NUVEEN INSURED DIVIDEND ADVANTAGE MUNICIPAL FUND, JOHN 
        NUVEEN & CO INC, 333 WEST WACKER DRIVE, CHICAGO, IL, 60606, 3129177794 - 
        1,000 ($10,000.00) Equity, (File 333-173036 - Mar. 24) (BR. 18)

S-1     McJunkin Red Man Corp, 2 HOUSTON CENTER, 909 FANNIN, SUITE 3100, 
        HOUSTON, TX, 77010, (713) 655-1005 - 0 ($1.00) Non-Convertible Debt, 
        (File 333-173037 - Mar. 24) (BR. )

S-1     Continental Alloy Wheel Corp, 5348 VEGAS DRIVE, LAS VEGAS, NV, 89108, 
        202-973-0186 - 1,500,000 ($15,000.00) Equity, (File 333-173038 - 
        Mar. 24) (BR. )

S-1     ANVEX INTERNATIONAL, INC., 2360 CORPORATE CIRCLE - SUITE 400, 
        HENDERSON, NV, 89074-7722, (702) 358-0509 - 
        3,000,000 ($60,000.00) Equity, (File 333-173039 - Mar. 24) (BR. )

S-1     Inventtech Inc., 5348 VEGAS DRIVE, SUITE 677, LAS VEGAS, NV, 89108, 
        209-694-4885 - 850,000 ($42.50) Equity, (File 333-173040 - Mar. 24) 
        (BR. )

S-8     ZOLL MEDICAL CORP, 269 MILL ROAD, CHELMSFORD, MA, 01824-4105, 
        9784219655 - 0 ($40,176,850.00) Equity, (File 333-173041 - Mar. 24) 
        (BR. 10C)

S-1     AMC ENTERTAINMENT INC, 920 MAIN STREET, N/A, KANSAS CITY, MO, 64105, 
        8162214000 - 0 ($1.00) Other, (File 333-173042 - Mar. 24) (BR. 05B)

S-4     BRIDGE BANCORP INC, 2200 MONTAUK HGWAY, BRIDGEHAMPTON, NY, 11932, 
        6315371000 - 0 ($2,127,250.00) Equity, (File 333-173043 - Mar. 24) 
        (BR. 07A)

S-3     ASR  HealthSpring, Inc., 9009 CAROTHERS PARKWAY, SUITE 501, FRANKLIN, TN, 
        37067, 615-291-7000 - 0 ($0.00) Equity, (File 333-173044 - Mar. 24) 
        (BR. 01C)

S-3     ASR  ACACIA RESEARCH CORP, 500 NEWPORT CENTER DRIVE, 7TH FLOOR, 
        NEWPORT BEACH, CA, 92660, 9494808300 - 0 ($1.00) Equity, 
        (File 333-173045 - Mar. 24) (BR. 03B)

S-3     Armour Residential REIT, Inc., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH, 
        FL, 32963, (772) 617-4340 - 4,000,000 ($29,000,000.00) Equity, 
        (File 333-173046 - Mar. 24) (BR. 08B)

S-8     THRESHOLD PHARMACEUTICALS INC, 1300 SEAPORT BOULEVARD, SUITE 500, 
        REDWOOD CITY, CA, 94063, 650 474 8200 - 
        1,350,000 ($2,216,000.00) Equity, (File 333-173047 - Mar. 24) (BR. 01C)

S-11    Plymouth Opportunity REIT Inc., 2 LIBERTY SQUARE 10TH FLOOR, BOSTON, 
        MA, 02109, 617-340-3827 - 65,000,000 ($642,500,000.00) Equity, 
        (File 333-173048 - Mar. 24) (BR. )

S-8     AAA PUBLIC ADJUSTING GROUP, INC., 6365 TAFT STREET SUITE 1003, 
        HOLLYWOOD, FL, 33024, 954-894-0043 - 0 ($300,000.00) Equity, 
        (File 333-173049 - Mar. 24) (BR. 01C)

S-4     KINDRED HEALTHCARE, INC, 680 SOUTH FOURTH STREET, LOUISVILLE, KY, 
        40202, 5025967300 - 12,041,470 ($267,673,423.00) Equity, 
        (File 333-173050 - Mar. 24) (BR. 11C)

S-3ASR  HYPERDYNAMICS CORP, 12012 WICKCHESTER LANE,, SUITE 475, HOUSTON,, TX, 
        77079, 7133539400 - 0 ($0.00) Other, (File 333-173051 - Mar. 24) 
        (BR. 04C)

S-1     LOGIC DEVICES Inc, 1375 GENEVA DRIVE, SUNNYVALE, CA, 94089, 
        4085425400 - 1,740,000 ($922,200.00) Equity, (File 333-173052 - 
        Mar. 24) (BR. 10B)

S-8     VONAGE HOLDINGS CORP, 23 MAIN STREET, HOLMDEL, NJ, 07733, 
        732-528-2600 - 23,398,128 ($93,592,512.00) Equity, (File 333-173053 - 
        Mar. 24) (BR. 11B)

S-8     AMAZON COM INC, 410 TERRY AVENUE NORTH, SEATTLE, WA, 98109, 
        2062661000 - 0 ($7,935,000.00) Equity, (File 333-173054 - Mar. 24) 
        (BR. 02B)

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

21ST CENTURY HOLDING CO                 FL       2.02,9.01            03/24/11

ACCELLENT INC                                    2.02,9.01            03/24/11

Accenture plc                           L2       2.02,9.01            03/24/11

ACCENTURE SCA                                    2.02,9.01            03/24/11

Advanced BioEnergy, LLC                 DE       5.07,8.01            02/23/11

Advanced Life Sciences Holdings, Inc.            2.02,9.01            03/24/11

ALKERMES INC                            PA       5.02,9.01            03/22/11

ALLIANCE DATA SYSTEMS CORP              DE       7.01,9.01            03/24/11

AMAZON COM INC                          DE       7.01                 03/24/11

AMERICAN STATES WATER CO                CA       5.02                 03/20/11

AMERISOURCEBERGEN CORP                  DE       1.01,1.02,9.01       03/18/11

Answers CORP                                     8.01,9.01            03/24/11

APOLLO GROUP INC                        AZ       1.01,9.01            03/24/11

APRICUS BIOSCIENCES, INC.               NV       1.01,3.03,5.03,9.01  03/22/11

ARAMARK CORP                            DE       2.01,9.01            03/18/11

ARTHROCARE CORP                         DE       5.02,9.01            03/23/11

ASTEA INTERNATIONAL INC                 DE       2.02,9.01            03/24/11

ATLANTIC AMERICAN CORP                  GA       2.02                 03/24/11

ATLANTIC POWER CORP                     A1       7.01,9.01            03/21/11

AVISTA CORP                             WA       7.01                 03/23/11

BAKKEN RESOURCES INC                             1.01,3.02,9.01       03/18/11

BAKKEN RESOURCES INC                             8.01                 03/18/11    AMEND

BALDWIN TECHNOLOGY CO INC               DE       5.02,9.01            03/18/11

BALLANTYNE STRONG, INC.                 DE       5.02                 03/19/11

BANK OF SOUTH CAROLINA CORP             SC       8.01,9.01            03/24/11

BEHRINGER HARVARD MULTIFAMILY REIT I             8.01                 03/22/11

BEST BUY CO INC                         MN       2.02,9.01            03/24/11

BIRNER DENTAL MANAGEMENT SERVICES INC   CO       2.02,9.01            03/24/11

Bluerock Enhanced Multifamily Trust,    MD       8.01                 03/22/11

BODY CENTRAL CORP                                2.02,9.01            03/24/11

BOLT TECHNOLOGY CORP                    CT       9.01                 01/06/11    AMEND

BON TON STORES INC                      PA       1.01,8.01,9.01       03/21/11

BOWL AMERICA INC                        MD       5.02                 03/22/11

CANTEL MEDICAL CORP                     DE       5.02,9.01            03/22/11

CAPITAL GOLD CORP                       NV       5.07                 03/18/11

CAPSTEAD MORTGAGE CORP                  MD       7.01,9.01            03/24/11

Cardo Medical, Inc.                     DE       1.01,2.03,9.01       03/18/11

Carter Validus Mission Critical REIT,   MD       8.01,9.01            03/18/11

CASELLA WASTE SYSTEMS INC               DE       1.01,9.01            03/18/11

CHARMING SHOPPES INC                    PA       2.02,9.01            03/24/11

CHINA EDUCATION ALLIANCE INC.           NC       1.01,8.01,9.01       03/21/11

CHINA FIRE & SECURITY GROUP, INC.                5.02                 03/24/11

China Golf Group, Inc.                  DE       1.01,9.01            03/22/11

China Health Industries Holdings, Inc            4.01,9.01            03/23/11

CHINDEX INTERNATIONAL INC               DE       5.02,8.01            03/20/11

CLARCOR INC                             DE       5.07,8.01            03/21/11

CLAYTON WILLIAMS ENERGY INC /DE         DE       7.01,8.01,9.01       03/21/11

CLEAN POWER CONCEPTS INC.                        5.02                 03/23/11

CMS ENERGY CORP                         MI       7.01,9.01            03/24/11

COCA-COLA ENTERPRISES, INC.             DE       8.01                 03/24/11

Cole Credit Property Trust III, Inc.    MD       7.01,9.01            03/24/11

COLONIAL COMMERCIAL CORP                NY       2.02,9.01            03/24/11

COMMERCETEL CORP                        NV       8.01,9.01            03/24/11

COMPOSITE TECHNOLOGY CORP               NV       1.01,2.03,3.02,9.01  03/18/11

Computer Software Innovations, Inc.     DE       2.02,9.01            03/24/11

CONAGRA FOODS INC /DE/                  DE       2.02,9.01            03/24/11

Conmed Healthcare Management, Inc.      DE       2.02,9.01            03/24/11

CORNERSTONE HEALTHCARE PLUS REIT, INC   MD       7.01                 03/24/11

CORNING NATURAL GAS CORP                NY       8.01,9.01            03/21/11

CPI CORP                                DE       5.02,9.01            03/18/11

CRC Health CORP                         DE       2.05                 03/23/11

CREDO PETROLEUM CORP                    DE       8.01,9.01            03/23/11

CTC Media, Inc.                                  8.01,9.01            03/24/11

CTPARTNERS EXECUTIVE SEARCH INC.        DE       2.02,9.01            03/24/11

DARDEN RESTAURANTS INC                  FL       2.02,9.01            03/24/11

DecisionPoint Systems, Inc.             DE       1.01,8.01,9.01       03/22/11

DENBURY RESOURCES INC                   DE       8.01,9.01            03/17/11

DIAMOND HILL INVESTMENT GROUP INC       OH       1.01,9.01            03/24/11

DIGAGOGO VENTURES CORP                  DE       1.01,2.03,3.02,9.01  03/24/11

Dividend Capital Total Realty Trust I            8.01                 03/24/11

DONEGAL GROUP INC                       DE       8.01,9.01            03/24/11

DOW CHEMICAL CO /DE/                    DE       5.02                 03/24/11

Dresser-Rand Group Inc.                 DE       1.01,2.03,3.03,7.01, 03/21/11
                                                 9.01

DRUGSTORE COM INC                       DE       1.01,7.01,9.01       03/23/11

EARTHSTONE ENERGY INC                   DE       5.02,9.01            03/23/11

Edgen Murray II, L.P.                   DE       2.02                 03/24/11

Ensco plc                                        1.02                 03/23/11

Entergy Louisiana, LLC                  TX       8.01,9.01            03/24/11

ENZON PHARMACEUTICALS INC               DE       5.02                 03/21/11

EPIC ENERGY RESOURCES, INC.             CO       1.03                 03/23/11

EPL Intermediate, Inc.                  DE       1.01                 03/19/11

EXELON CORP                             PA       8.01,9.01            03/24/11

Federal Home Loan Bank of Atlanta       X1       2.03                 03/24/11

Federal Home Loan Bank of Boston        X1       2.03                 03/21/11

Federal Home Loan Bank of Chicago       X1       2.03                 03/21/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            03/22/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            03/24/11

Federal Home Loan Bank of New York      X1       2.03,9.01            03/21/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            03/21/11

Federal Home Loan Bank of San Francis   X1       2.03                 03/21/11

Federal Home Loan Bank of Seattle                2.03                 03/21/11

Federal Home Loan Bank of Topeka                 2.03,9.01            03/21/11

Federal Home Loan Bank of Topeka                 7.01,9.01            03/24/11

FINISH LINE INC /IN/                    IN       2.02,9.01            03/24/11

FIRST MERCHANTS CORP                    IN       7.01,9.01            03/24/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       5.02,9.01            03/24/11

FIRSTCITY FINANCIAL CORP                DE       2.02,7.01,9.01       03/24/11

FISERV INC                              WI       5.02                 03/23/11

FRANKLIN COVEY CO                       UT       8.01                 03/24/11

FREDS INC                               TN       2.02,9.01            03/24/11

FULLER H B CO                           MN       2.02,9.01            03/23/11

FusionTech, Inc.                        NV       1.01,2.03,3.02,9.01  03/21/11

GameStop Corp.                          DE       2.02,9.01            03/24/11

General Motors Co                                1.01,5.02,9.01       03/18/11

GEOVIC MINING CORP.                     DE       5.02                 03/24/11

Glen Rose Petroleum CORP                DE       5.02                 03/17/11

Global Investor Services, Inc.          UT       1.01,2.03,3.02,9.01  03/17/11

GLOBALSCAPE INC                         DE       5.02                 03/24/11

GMX RESOURCES INC                       OK       1.01,9.01            03/14/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 03/24/11

GREATBATCH, INC.                        DE       7.01,9.01            03/24/11

HARMAN INTERNATIONAL INDUSTRIES INC /   DE       7.01,9.01            03/24/11

HARRIS & HARRIS GROUP INC /NY/          NY       8.01,9.01            03/24/11

HAWAIIAN HOLDINGS  INC                  DE       1.01,2.03,3.02,9.01  03/18/11

Heartland Bridge Capital, Inc.          DE       1.01,2.01,3.02,7.01, 03/22/11
                                                 9.01

HeartWare International, Inc.           DE       8.01,9.01            03/24/11

HERE ENTERPRISES, INC.                  NV       5.02,8.01            02/09/11

High Plains Gas, Inc.                   NV       1.01,9.01            03/24/11

HKN, Inc.                               DE       5.07                 03/23/11

HOME DEPOT INC                          DE       5.02                 03/21/11

Horiyoshi Worldwide Inc.                NV       4.01,9.01            02/11/11    AMEND

HOSPIRA INC                             DE       7.01                 03/24/11

HUNTINGTON INGALLS INDUSTRIES, INC.     DE       5.02,7.01,9.01       03/21/11

HYPERDYNAMICS CORP                      DE       5.02                 03/21/11

HYPERDYNAMICS CORP                      DE       7.01,9.01            03/24/11

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       2.02,9.01            03/24/11

IRON MOUNTAIN INC                       DE       1.01,3.03,5.03,9.01  03/23/11

Iveda Solutions, Inc.                   NV       1.01,1.02            03/21/11

J P MORGAN CHASE & CO                   DE       8.01,9.01            03/23/11

J P MORGAN CHASE & CO                   DE       8.01,9.01            03/22/11

James River Coal CO                     VA       8.01,9.01            03/24/11

JONES GROUP INC                         PA       5.02                 03/20/11

Juma Technology Corp.                            1.01,9.01            03/18/11

KAIBO FOODS Co Ltd                      NV       8.01                 03/22/11

KANSAS CITY SOUTHERN                    DE       7.01,9.01            03/24/11

KBW, INC.                                        5.02,9.01            03/21/11

KEYCORP /NEW/                           OH       9.01                 03/24/11

Kohlberg Capital CORP                   DE       8.01,9.01            03/24/11

LANSDOWNE SECURITY, INC.                TX       4.01,9.01            03/24/11

LEXICON UNITED INC                      DE       1.01,5.02,9.01       03/24/11

LGL GROUP INC                           DE       8.01,9.01            03/21/11

Liberty Global, Inc.                             1.01                 03/21/11

LIGHTPATH TECHNOLOGIES INC              DE       8.01,9.01            03/24/11

Limoneira CO                            DE       5.07                 03/22/11

LIQUIDMETAL TECHNOLOGIES INC            DE       1.01,3.02            03/19/11

LIVEDEAL INC                            NV       1.01,8.01,9.01       03/18/11

LOCATEPLUS HOLDINGS CORP                         8.01                 03/24/11

LOGITECH INTERNATIONAL SA                        5.02,9.01            03/18/11

LTC PROPERTIES INC                      MD       8.01,9.01            03/24/11

MADISON GAS & ELECTRIC CO               WI       5.02,9.01            03/18/11

MARSH & MCLENNAN COMPANIES, INC.        DE       5.02,9.01            03/23/11

MASS Petroleum Inc.                              5.02                 03/16/11

MAXLIFE FUND CORP.                      WY       1.02,9.01            03/23/11

MB FINANCIAL INC /MD                    MD       5.03,8.01,9.01       03/23/11

MEDCO HEALTH SOLUTIONS INC              DE       7.01,9.01            03/24/11

Medical Care Technologies Inc.          NV       1.01,2.03,3.02,9.01  03/21/11

MEDICINOVA INC                          DE       1.01,2.02,8.01,9.01  03/23/11

MEMC ELECTRONIC MATERIALS INC           DE       1.01,1.02,2.03       03/23/11

Merck & Co. Inc.                        NJ       1.02,8.01,9.01       03/21/11

MERIDIAN BIOSCIENCE INC                 OH       5.02,9.01            03/18/11

MFA FINANCIAL, INC.                     MD       5.02                 03/21/11

MGE ENERGY INC                          WI       5.02,9.01            03/18/11

MICHAELS STORES INC                     DE       2.02,9.01            03/24/11

Monarch Financial Holdings, Inc.        VA       4.01,9.01            03/24/11

MORGAN STANLEY                          DE       9.01                 03/24/11

Morgans Hotel Group Co.                 DE       5.02                 03/20/11

MPHASE TECHNOLOGIES INC                 NJ       8.01,9.01            03/24/11

NCO Group, Inc.                         DE       5.02,9.01            03/18/11

NELNET INC                              NE       5.03,9.01            03/18/11

Net Savings Link, Inc.                  NV       7.01,9.01            03/24/11

NEW ENERGY SYSTEMS GROUP                NV       5.02                 03/18/11

NEW ENERGY TECHNOLOGIES, INC.                    1.01,7.01,9.01       03/18/11

New Generation Biofuels Holdings, Inc   FL       1.01                 03/21/11

New Oriental Energy & Chemical Corp.    DE       3.01,5.02,8.01,9.01  03/11/11

NEXAIRA WIRELESS INC.                   NV       3.02,9.01            03/24/11

NII HOLDINGS INC                        DE       8.01,9.01            03/24/11

NORTHWESTERN CORP                       DE       7.01,9.01            03/24/11

NTN BUZZTIME INC                        DE       2.02,9.01            03/24/11

OLD LINE BANCSHARES INC                 MD       5.03,9.01            03/24/11

OLIN CORP                               VA       7.01,9.01            03/24/11

OMNOVA SOLUTIONS INC                    OH       2.02,9.01            03/23/11

ONCOSEC MEDICAL Inc                     NV       1.01,2.01,3.02,5.01, 03/24/11
                                                 5.02,5.06,9.01

ORACLE CORP                                      2.02,8.01,9.01       03/24/11

Paradigm Holdings, Inc                  WY       2.02,9.01            03/24/11

PATRIOT NATIONAL BANCORP INC            CT       2.02,9.01            03/24/11

PENN VIRGINIA CORP                      VA       7.01,9.01            03/24/11

PERVASIP CORP                           NY       3.02                 03/23/11

PFSWEB INC                              DE       2.02                 03/23/11

PHYTOMEDICAL TECHNOLOGIES INC           NV       1.02,7.01,9.01       01/20/11

Pinnacle Foods Finance LLC              DE       7.01,9.01            03/24/11

Platinum Studios, Inc.                  CA       5.02                 03/02/11

POWRTEC CORP                            DE       1.01,2.03,3.02,9.01  03/23/11

POZEN INC /NC                                    1.01                 03/21/11

Primo Water Corp                        DE       2.02,9.01            03/24/11

PrismOne Group, Inc.                    NV       4.01,5.02,9.01       03/22/11

PROCTER & GAMBLE CO                     OH       7.01                 03/24/11

PSM HOLDINGS INC                        NV       8.01,9.01            03/18/11

PSP Industries, Inc.                    UT       4.01,9.01            03/23/11

PSP Industries, Inc.                    UT       5.02                 11/30/10

PULSE ELECTRONICS CORP                  PA       8.01,9.01            03/24/11

PVF CAPITAL CORP                        OH       8.01,9.01            03/24/11

QSGI INC.                               DE       1.03                 03/24/11

QUICKSILVER RESOURCES INC               DE       8.01,9.01            03/24/10

R & A Productions, Inc.                 NV       8.01                 03/24/11

RACKSPACE HOSTING, INC.                          8.01                 03/23/11

RAM ENERGY RESOURCES INC                DE       5.02,9.01            03/23/11

RAND WORLDWIDE INC                      DE       8.01,9.01            03/24/11

Reach Messaging Holdings, Inc.          DE       1.01,2.03,3.02       03/08/11

Resource Capital Corp.                  MD       8.01,9.01            03/24/11

Rhino Resource Partners LP              DE       8.01                 03/18/11

RICHARDSON ELECTRONICS LTD/DE           DE       5.02                 03/18/11

RICKS CABARET INTERNATIONAL INC         TX       8.01,9.01            03/22/11

RIVAL TECHNOLOGIES INC                  NV       4.01,9.01            03/15/11    AMEND

RYLAND GROUP INC                        MD       8.01,9.01            03/24/11

SABA SOFTWARE INC                       DE       2.02,9.01            03/24/11

SAVIENT PHARMACEUTICALS INC             DE       8.01                 03/23/11

SCHOLASTIC CORP                         DE       2.02,9.01            03/24/11

SERENA SOFTWARE INC                     DE       5.02,5.07,9.01       03/21/11

SERVICE CORPORATION INTERNATIONAL       TX       1.01,2.03,9.01       03/18/11

SIGNATURE GROUP HOLDINGS INC            NV       5.02                 03/23/11

Sinobiopharma, Inc.                     NV       5.02                 03/19/11

SM Energy Co                            DE       5.02,7.01,9.01       03/23/11

SMART Modular Technologies (WWH), Inc   E9       2.02,9.01            03/24/11

SONIC AUTOMOTIVE INC                    DE       5.02                 03/18/11

SOURCEFIRE INC                          DE       1.01,1.02            03/21/11

SOUTHERN COMMUNITY FINANCIAL CORP                2.02,9.01            03/24/11

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       5.07                 03/18/11

STARTEK INC                             DE       1.01,9.01            03/24/11

STATE BANCORP INC                       NY       5.02                 03/18/11

STREAMLINE HEALTH SOLUTIONS INC.        DE       1.02,5.02,9.01       03/18/11

Sucampo Pharmaceuticals, Inc.                    1.01,7.01,8.01,9.01  03/22/11

SunSi Energies Inc.                     NV       5.03,9.01            03/24/11

SUNTRUST BANKS INC                      GA       7.01,8.01,9.01       03/21/11

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       5.02                 03/24/11

Suspect Detection Systems, Inc.         DE       1.01,9.01            03/21/11

Swisher Hygiene Inc.                    DE       1.01,3.02,9.01       03/22/11

SYMBOLLON CORP                          DE       4.01                 03/07/11

SYNNEX CORP                             DE       2.02,5.07,9.01       03/21/11

TALBOTS INC                             DE       2.02,2.05,9.01       03/24/11

TARGACEPT INC                                    8.01,9.01            03/24/11

TELETECH HOLDINGS INC                   DE       8.01,9.01            03/24/11

TELVUE CORP                             DE       1.01,9.01            03/23/11

TENGASCO INC                            TN       7.01,8.01,9.01       03/24/11

TEXAS INDUSTRIES INC                    DE       2.02,9.01            02/28/11

THUNDER MOUNTAIN GOLD INC               NV       8.01,9.01            03/22/11

Timberline Resources Corp               DE       5.02,5.07,7.01,9.01  03/21/11

TMST, Inc.                              MD       7.01,9.01            03/22/11

TomoTherapy Inc                         WI       8.01,9.01            03/21/11

Tootie Pie Company, Inc.                TX       5.02,9.01            12/06/10    AMEND

TRANSATLANTIC PETROLEUM LTD.            D0       1.01                 03/18/11

TRUMP ENTERTAINMENT RESORTS, INC.       DE       5.02                 03/18/11

UNIGENE LABORATORIES INC                DE       8.01,9.01            03/24/11

UNION NATIONAL FINANCIAL CORP / PA      PA       1.01,9.01            03/24/11

Uniontown Energy Inc.                   NV       1.01,9.01            03/17/11

UNITED GUARDIAN INC                     DE       2.02,9.01            03/24/11

USEC INC                                DE       1.01                 03/23/11

UTi WORLDWIDE INC                       D8       2.02,9.01            03/24/11

VCG HOLDING CORP                        CO       1.01,8.01,9.01       03/17/11

VENTAS INC                              DE       5.02,9.01            03/22/11

VINYL PRODUCTS, INC.                    DE       1.01,2.01,2.03,3.02, 12/31/10    AMEND
                                                 5.01,5.02,9.01

VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT   DE       8.01,9.01            03/24/11

WALGREEN CO                             IL       8.01,9.01            03/24/11

WATSCO INC                              FL       1.01,9.01            03/18/11

Weatherford International Ltd./Switze   V8       5.02                 03/18/11

WET SEAL INC                            DE       5.02,9.01            03/21/11

WIRELESS TELECOM GROUP INC              NJ       5.02                 03/22/11

YTB International, Inc.                 DE       1.01                 03/18/11

Zenitech Corp                                    5.02                 03/19/11

ZST Digital Networks, Inc.              DE       5.02,7.01,9.01       03/18/11

 

http://www.sec.gov/news/digest/2011/dig032511.htm


Modified: 03/28/2011