Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer@SEC.gov or call 202-551-4158.
Open Meeting on April 27, 2011 at 10:00 a.m.
The subject matters of the Open Meeting will be:
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.
Closed Meeting on Thursday, April 28, 2011 at 2:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, April 28, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a litigation matter; and other matters relating to enforcement proceedings.
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.
SEC and CFTC to Hold Public Roundtable
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) will hold a public roundtable to discuss the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act on Monday, May 2, 2011 and Tuesday, May 3, 2011 at the CFTC’s headquarters at Three Lafayette Centre, Conference Centre, 1155 21st Street, NW, Washington, DC 20581.
Both meetings will being open to the public, with seating on a first-come, first-served basis. Visitors will be subject to security checks.
The roundtable is expected to include panel discussions of (1) compliance dates for new rules for existing trading platforms and clearinghouses and the registration and compliance with rules for new platforms, such as swap and security-based swap execution facilities, and data repositories for swaps and security-based swaps; (2) compliance dates for new requirements for dealers and major participants in swaps and security-based swaps; (3) implementation of clearing mandates; (4) compliance dates for financial entities such as hedge funds, asset managers, insurance companies and pension funds subject to a clearing mandate and other requirements; and (5) considerations with regard to non-financial end users.
For further information, please contact the CFTC’s Office of Public Affairs at (202) 418-5080 or the SEC’s office of Public Affairs at (202) 551-4120.
In the Matter of Navigators International Management Company, Ltd.
On April 21, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 and Notice of Hearing against Navigators International Management Company, Ltd.
The Order finds that on March 28, 2011, a final judgment was entered by consent against Navigators, permanently enjoining it from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Navigators International Management Co. Ltd., et al., Civil Action Number H-07-4518 in the United States District Court for the Southern District of Texas. The Commission’s complaint alleged that from at least January 2005 through August 2007, Navigators, through its representatives James R. Spurger and Benjamin W. Young, Jr., (collectively the Defendants) engaged in unregistered offerings of securities that did not meet registration exemptions. The Complaint further alleged that in these offerings, the Defendants fraudulently disseminated materially false and misleading information to attract investors and facilitate the offerings. In each of the offerings, the Complaint alleges that the Defendants acted as unregistered broker-dealers.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to provide Navigators an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64315; File No. 3-14347)
In the Matter of James R. Spurger
On April 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934 and Notice of Hearing against James R. Spurger.
The Order finds that on March 28, 2011, a final judgment was entered by consent against Spurger, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. Navigators International Management Co. Ltd., et al., Civil Action Number H-07-4518 in the United States District Court for the Southern District of Texas. The Commission’s complaint alleged that from at least January 2005 through August 2007, Navigators, through its representatives Spurger and Benjamin W. Young, Jr., (collectively the Defendants) engaged in unregistered offerings of securities that did not meet registration exemptions. The Complaint further alleged that in these offerings, the Defendants fraudulently disseminated materially false and misleading information to attract investors and facilitate the offerings. In each of the offerings, the Complaint alleges that the Defendants acted as unregistered broker-dealers.
A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to provide Spurger an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64316; File No. 3-14348)
In the Matter of Torrey Pines Securities, Inc.
On April 20, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940 (Order) as to Torrey Pines Securities, Inc. (Torrey Pines), a registered broker-dealer and state registered investment adviser. The Commission previously instituted administrative proceedings against Torrey Pines on Feb. 3, 2011. According to the Order, between August 2006 and November 2008, Torrey Pines failed reasonably to supervise Dennis Lee Keating II (Keating), a part owner and registered representative of Torrey Pines, when Keating conducted an unregistered private securities offering outside the scope of his employment with Torrey Pines, violating Section 15(a) of the Securities Exchange Act of 1934 (Exchange Act). The Order finds that Torrey Pines did not establish reasonable policies and procedures to assign responsibility for supervising Keating (causing Keating to supervise himself), failed to develop systems to implement the firm’s procedures regarding outside business activities by registered representatives, and failed to develop systems to require supervisors and/or compliance staff to adequately follow-up on outside activities that might signal violations of the firm’s prohibition against selling securities outside the authority of Torrey Pines. According to the Order, had such systems been in place, Torrey Pines likely would have detected and prevented Keating’s outside activities that violated the broker-dealer registration provisions of the federal securities laws.
Based on the above, the Order finds Torrey Pines failed reasonably to supervise Keating within the meaning of Section 15(b)(4)(E) of the Exchange Act and Section 203(e) of the Investment Advisers Act of 1940, and censures Torrey Pines. A civil penalty was not imposed against Torrey Pines because of a demonstrated inability to pay. Pursuant to the Order, Torrey Pines must comply with certain undertakings, including retaining an independent compliance consultant to conduct a review of Torrey Pines’ relevant policies, procedures, and systems, implementing the changes recommended by the independent compliance consultant, and submitting to an annual review by the independent compliance consultant for two years following the initial review. Torrey Pines consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the Commission’s jurisdiction over it. (Rel. 34-64317; IA-3188; File No. 3-14230)
In the Matter of David L. Olson
On April 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against David L. Olson (Olson).
In the Order, the Division of Enforcement alleges that from September 2005 through approximately April 2009, Olson was the president of A&O Investments, LLC (A&O), a Florida limited liability company with its principal place of business in Lakeland, Florida. From April 2002 until he resigned in September 2007, Olson also was a registered representative associated with World Group Securities, Inc. (WGS), a broker-dealer registered with the Commission. The Division of Enforcement further alleges that on Nov. 9, 2010, a final judgment by default was entered against Olson permanently enjoining him from future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in a related action in the United States District Court for the Northern District of Ohio, captioned Securities and Exchange Commission v. Edward A. Allen, et al., Civil Action Number 1:10-cv-1143.
The Commission’s complaint in the district court action alleged that, from at least September 2005 until December 2008, Olson and his business partner raised approximately $14.8 million from at least 100 investors primarily in Florida and Ohio through the offer and sale of unregistered securities in the form of promissory notes issued by A&O and several other related entities. The complaint further alleged that Olson and his partner solicited WGS customers to become investors while they were working at WGS and after they had left the firm. According to the complaint, Olson knowingly made material misrepresentations and omitted to state material facts about the use of investor funds, the risks of the investments, and the safety of investor funds. Among other things, Olson told investors that he and his partner would use the investors’ money to purchase, rehabilitate, and sell real estate. He promised to pay investors annual returns of 20 percent, represented that the returns were generated from the sale of A&O’s real estate properties, and told investors that he and his partner were doing well in the real estate market and were making money. The complaint further alleged that, in reality, Olson and his partner operated a Ponzi scheme by using approximately $4.4 million of investor funds to pay “interest” and, in some cases, principal to previous investors. They spent only $5.1 million of the $14.8 million raised to purchase and rehabilitate real estate, and used $2.2 million to pay personal expenses for themselves and their family members. Finally, the complaint alleged that Olson and his partner misrepresented and omitted to state material facts regarding the collateral securing the notes. As much as approximately $5.5 million worth of A&O promissory notes purportedly were secured by the same piece of property at 5124 Windover Lane in Lakeland, Florida. As alleged in the complaint, the property’s value was grossly inadequate to secure the notes.
A hearing will be scheduled before an Administrative Law Judge to determine whether such allegations are true, to afford Olson an opportunity to establish defenses to the allegations, and to determine whether remedial action is necessary and appropriate. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order Instituting Proceedings, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. Rel. 34-64318; File No. 3-14349)
In the Matter of David W. Baldt
An Administrative Law Judge has issued an Initial Decision in David W. Baldt, Admin. Proc. No. 3-13887. The Initial Decision finds that David W. Baldt (Baldt) engaged in insider trading when, in 2008, he recommended that members of his family sell their holdings in a municipal bond fund he managed. As a result, Baldt violated Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), Exchange Act Rule 10b-5, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940 (Advisers Act). The Initial Decision orders Baldt to cease and desist from committing or causing any violations or future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act, bars him from association with an investment adviser, and orders Baldt to pay disgorgement in the amount of $9,403.55. (Initial Decision Rel. 418; File No. 3-13887)
In the Matter of SouthPeak Interactive Corporation and Patrice K. Strachan
On April 21, 2011, the Commission charged SouthPeak Interactive Corporation (SouthPeak) and its former vice president of operations, Patrice K. Strachan (Strachan), with securities law violations arising from a related party transaction between SouthPeak and the chairman of its board of directors, Terry M. Phillips.
In a settled administrative proceeding, the Commission issued an order finding that SouthPeak failed to adequately disclose a related party transaction in which Phillips used personal funds to pay for the purchase of inventory for SouthPeak in February 2009. According to the Commission’s order, in violation of SouthPeak’s internal policy, Phillips failed to obtain prior approval of the Audit Committee of SouthPeak’s board of directors for this related party transaction.
The Commission’s order further finds that, due to the actions of Patrice Strachan, SouthPeak’s vice president of operations, SouthPeak’s chief financial officer (CFO) was not informed of this payment and the transaction was not properly recorded on SouthPeak’s books and records. According to the Commission’s order, Strachan was responsible for ensuring the proper recording of accounts payable in SouthPeak’s books and records. The Commission’s order finds that Strachan not only failed to take steps to ensure that the payment was properly recorded, but, after questions were raised internally at SouthPeak concerning the payment, Strachan also instructed her subordinate not to inform the CFO that Phillips had made the payment with his personal funds.
According to the Commission’s order, SouthPeak failed to disclose the related party transaction in its quarterly report on Form 10-Q for the quarter ended March 31, 2009, and thereby omitted material facts regarding a decrease in the company’s liquidity. The Commission’s order also finds that, in connection with SouthPeak’s restatement of its quarterly report, Strachan made false material statements in an interview with SouthPeak’s auditor.
The Commission’s order requires that SouthPeak cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 12b-20 and 13a-13 thereunder. The Commission’s order also requires that Strachan cease and desist from causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20 and 13a-13 thereunder, and committing or causing any violations and any future violations of Rule 13b2-2 thereunder. The Commission’s order further requires Strachan to pay a civil penalty of $10,000. SouthPeak and Strachan consented to the entry of the Commission’s order without admitting or denying the Commission’s findings.
On April 21, 2011, the Commission filed and simultaneously settled civil charges against Terry M. Phillips. See Securities and Exchange Commission v. Terry M. Phillips, Civil Action No. 1: 11 CV 422 AJT/IDD (E.D. Va.), Litigation Release No. LR-21941. (Rel. 34-64320; File No. 3-14350)
SEC Charges and Obtains Relief Against South Florida Companies in $27 Million Commodities Investment Fraud
The Securities and Exchange Commission obtained permanent injunctions and the appointment of a receiver over two South Florida companies for conducting a fraudulent $27.5 million investment.
In its Complaint he SEC alleges that beginning in January 2010 Commodities Online, LLC and Commodities Online Management, LLC represented to investors that they were in the business of arranging and funding “presold” commodities contracts. Among other misrepresentations, Commodities Online claimed that, as of March 14, 2011, it had completed 48 commodities contracts that had returned the promised level of profits to the investors. In fact, not all contracts returned the promised level of profit to investors and Commodities Online performed only a limited number of the claimed commodities transactions. Commodities Online failed to disclose to prospective investors that its co-founder is a convicted felon and that a vice president pled guilty to federal bank fraud and other felonies. The Commission alleges that Commodities Online diverted millions of dollars to these managers.
The SEC’s Complaint charges the Defendants with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Defendants consented to the appointment of a Receiver; to the entry of permanent injunctions against future violations of the provisions of the securities laws with which they were charged; and to disgorgement, prejudgment interest, and civil money penalties in amounts to be determined by the Court. The Court appointed David S. Mandel, Esq. as Receiver.
The State of Florida Office of Financial Regulation assisted the SEC in its investigation. [SEC v. Commodities Online, LLC and Commodities Online Management, LLC, Civil Action No. 11-cv-60702-Seitz/Simonton, (S.D. Fla.)] (LR-21940)
Commission Files Settled Charges Against Chairman of SouthPeak Interactive Corporation
The Securities and Exchange Commission today announced that it filed a civil action in federal district court against Terry M. Phillips, chairman of the board of directors of SouthPeak Interactive Corporation (SouthPeak). In its Complaint, the Commission alleges that, in February 2009, Phillips used personal funds to pay for the purchase of inventory for SouthPeak. The Commission further alleges that, in violation of SouthPeak’s internal policy, Phillips failed to bring the proposed payment to the attention of the Audit Committee of SouthPeak’s board of directors for its approval. According to the Complaint, Phillips also failed to ensure that the related party transaction was properly and accurately recorded in SouthPeak’s books and records and disclosed in the relevant periodic report that SouthPeak filed with the Commission. The Commission further alleges that Phillips signed a management letter to SouthPeak’s outside auditor representing that all related party transactions had been disclosed for the quarter ended March 31, 2009, even though Phillips’ use of his personal funds to purchase inventory for SouthPeak had not been disclosed to the auditor.
The Commission alleges that, by this conduct, Phillips violated Rule 13b2-2 of the Securities Exchange Act of 1934 (Exchange Act), which prohibits officers and directors of public companies from making materially false or misleading statements to accountants in connection with, among other things, the preparation of any report required to be filed with the Commission, and aided and abetted violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20 and 13a-13 thereunder, which are the public company periodic reporting, books and records, and internal controls provisions of the federal securities laws.
Without admitting or denying the Commission’s allegations, Phillips consented to the entry of a permanent injunction against future violations of these provisions and a court order directing Phillips to pay a $50,000 civil penalty. Phillips further consented to the entry of an order requiring him to comply with the Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934 that was issued against Phillips by the Commission on May 2, 2007.
The settlement is subject to the approval of the United States District Court for the Eastern District of Virginia.
In related proceedings, the Commission today issued cease-and-desist orders against SouthPeak and its former vice president of operations, Patrice K. Strachan. Without admitting or denying the Commission’s findings, SouthPeak consented to the issuance an order requiring SouthPeak to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder. Without admitting or denying the Commission’s findings, Strachan consented to the issuance of an order finding that Strachan failed to ensure that Phillips’ payment was properly recorded in SouthPeak’s books and records, that Strachan instructed her subordinate not to inform the chief financial officer that Phillips had made the payment with his personal funds, and that Strachan made false material statements in an interview with SouthPeak’s auditor. The order requires Strachan to cease and desist from causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20 and 13a-13 thereunder, and committing or causing any violations and any future violations of Rule 13b2-2 thereunder and orders her to pay a $10,000 civil penalty. [SEC v. Terry M. Phillips, Civil Action No. 1: 11 CV 422 AJT/IDD (E.D. Va.)] (LR-21941; AAE Rel. 3273)
Orders of Deregistration Under the Investment Company Act
Orders have been issued under Section 8(f) of the Investment Company Act declaring that each of the following has ceased to be an investment company:
Russell Investment Management Company, et al.
A notice has been issued giving interested persons until May 13, 2011, to request a hearing on an application filed by Russell Investment Management Company, et al. for an order to permit (a) series of registered open-end management investment companies to issue shares that can be redeemed in large aggregations only (Creation Units); (b) secondary market transactions in shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire shares. (Rel. IC-29655 - April 20)
American Family Life Insurance Company, et al.
An order has been issued approving an application filed by American Family Life Insurance Company, American Family Variable Account I, and American Family Variable Account II (collectively, Applicants). The Applicants have been authorized under Section 26(c) of the Investment Company Act to substitute shares of a certain registered management investment company with shares of a certain other registered management investment company. (Rel. IC-29656 - April 21)
A proposed rule change filed by The NASDAQ Stock Market to eliminate Expire Time (SR-NASDAQ-2011-052) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64311)
A proposed rule change filed by The NASDAQ Stock Market to adopt an order price protection feature (SR-NASDAQ-2011-053) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64312)
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-3D Energy Transfer Partners, L.P., 3738 OAK LAWN AVENUE, DALLAS, TX, 75219, 214-981-0700 - 0 ($298,827,500.00) Equity, (File 333-173594 - Apr. 20) (BR. 02B) S-8 POWER-SAVE ENERGY CO, 3940-7 BROAD STREET, #200, SAN LUIS OBISPO, CA, 93401, 866-297-7192 - 4,000,000 ($40,000.00) Debt Convertible into Equity, (File 333-173595 - Apr. 20) (BR. 02A) N-2 NUVEEN ARIZONA PREMIUM INCOME MUNICIPAL FUND INC, 333 W WACKER DR, CHICAGO, IL, 60606, 3129178200 - 1,010 ($20,000.00) Equity, (File 333-173596 - Apr. 20) (BR. 18) S-8 STAG Industrial, Inc., 99 HIGH STREET, 28TH FLOOR, BOSTON, MA, 02110, (617)574-4777 - 0 ($21,553,709.00) Equity, (File 333-173599 - Apr. 20) (BR. 08B) N-2 BlackRock Preferred Partners LLC, 55 EAST 52ND STREET, NEW YORK, NY, 10055, 800-882-0052 - 0 ($1,000,000.00) Equity, (File 333-173601 - Apr. 20) (BR. ) S-3ASR ETFS PALLADIUM TRUST, C/O ETF SECURITIES USA LLC, 555 CALIFORNIA STREET, SUITE 2900, SAN FRANCISCO, CA, 94104, 415-404-6332 - 13,500,000 ($994,410,000.00) Equity, (File 333-173610 - Apr. 20) (BR. 08B) S-8 ZIPCAR INC, 25 FIRST STREET, 4TH FLOOR, CAMBRIDGE, MA, 02141, 617-995-4231 - 7,606,871 ($100,948,335.38) Equity, (File 333-173611 - Apr. 20) (BR. 05B) S-3D FIRST COMMUNITY CORP /SC/, 5455 SUNSET BLVD, LEXINGTON, SC, 29072, 8032538875 - 0 ($975,000.00) Equity, (File 333-173612 - Apr. 20) (BR. 07B) S-8 VENTRUS BIOSCIENCES INC, 787 7TH AVENUE, 48TH FLOOR, NEW YORK, NY, 10019, (212) 554-4388 - 2,469,216 ($36,099,937.92) Equity, (File 333-173613 - Apr. 20) (BR. 01B) S-8 Standard Financial Corp., 2640 MONROEVILLE BOULEVARD, MONROEVILLE, PA, 15146, 412-856-0363 - 1 ($1.00) Other, (File 333-173614 - Apr. 20) (BR. 07B) S-3 IGI LABORATORIES, INC, 105 LINCOLN AVENUE, BUENA, NJ, 08310, 6096971441 - 881,331 ($1,163,356.92) Equity, (File 333-173615 - Apr. 20) (BR. 01A) S-3 GEOKINETICS INC, 1500 CITYWEST BLVD., SUITE 800, HOUSTON, TX, 77042, (713) 850-7600 - 0 ($26,648,486.00) Equity, (File 333-173616 - Apr. 20) (BR. 04C) S-8 MITEL NETWORKS CORP, 350 LEGGET DRIVE, KANATA ONTARIO CANADA K2K 2W7, A6, 00000, 6135922122 - 0 ($32,989,888.00) Equity, (File 333-173617 - Apr. 20) (BR. 11C) F-1 JIAYUAN.COM INTERNATIONAL LTD, Changxin Building, Room 1005, No. 39 Anding Road, Chaoyang District, Bejing, PRC, F4, 00000, 8610-6442-8783 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-173619 - Apr. 20) (BR. 03A) S-3 STAR SCIENTIFIC INC, 16 SOUTH MARKET STREET, PETERSBURG, VA, 23803, 8048610681 - 0 ($32,569,293.18) Equity, (File 333-173627 - Apr. 20) (BR. 05C) S-8 FIRSTMERIT CORP /OH/, 111 CASCADE PLAZA, 7TH FLOOR, AKRON, OH, 44308, 3309966300 - 0 ($77,286,098.40) Equity, (File 333-173628 - Apr. 20) (BR. 07C) S-1 PIONEER POWER SOLUTIONS, INC., 400 KELBY STREET, 9TH FLOOR, ONE PARKER PLAZA, FORT LEE, NJ, 07024, 212-867-0700 - 0 ($22,250,000.00) Equity, (File 333-173629 - Apr. 20) (BR. 10C)
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 ABBOTT LABORATORIES IL 2.02,9.01 04/20/11 ACACIA RESEARCH CORP DE 2.02,9.01 04/20/11 ACCESS NATIONAL CORP VA 2.02,7.01,9.01 04/20/11 ACME UNITED CORP CT 2.02,9.01 04/20/11 ADEONA PHARMACEUTICALS, INC. DE 8.01,9.01 04/19/11 ADVOCAT INC DE 1.01,9.01 04/18/11 AEHR TEST SYSTEMS CA 1.01,9.01 04/13/11 AMEND AES CORP DE 1.01,8.01,9.01 04/19/11 AES CORP DE 8.01,9.01 04/19/11 AK STEEL HOLDING CORP DE 7.01,9.01 04/19/11 ALIGN TECHNOLOGY INC DE 2.02,9.01 04/20/11 Allis Chalmers Energy Inc. 4.01,9.01 04/14/11 Alpha Natural Resources, Inc. DE 8.01 04/20/11 Alpine Alpha 3, Ltd. DE 1.01,3.02,5.01,5.02, 04/14/11 9.01 ALTRIA GROUP, INC. VA 2.02,9.01 04/20/11 AMB PROPERTY CORP MD 2.02,7.01,9.01 04/20/11 AMB PROPERTY CORP MD 2.02,8.01,9.01 04/20/11 AMERICAN AIRLINES INC DE 2.02,9.01 04/20/11 AMERICAN ENVIRONMENTAL, INC. FL 4.01 04/20/11 AMERICAN EXPRESS CO NY 2.02,7.01 04/20/11 AMERICAN INTERNATIONAL GROUP INC DE 1.01 04/19/11 AMERICAN NATIONAL BANKSHARES INC VA 2.02 04/20/11 American Railcar Industries, Inc. ND 7.01,9.01 04/20/11 American Realty Capital Trust, Inc. DE 7.01,8.01,9.01 04/20/11 AMERICANWEST BANCORPORATION WA 7.01,9.01 04/15/11 AMGEN INC DE 2.02,9.01 04/20/11 AMP Holding Inc. NV 1.01,9.01 04/18/11 AMP PRODUCTIONS LTD NV 3.02 04/19/11 AMPHENOL CORP /DE/ DE 2.02,9.01 04/20/11 AMR CORP DE 2.02,9.01 04/20/11 Anthera Pharmaceuticals Inc DE 8.01 04/18/11 APPLE INC CA 2.02,9.01 04/20/11 APTARGROUP INC DE 2.02,9.01 04/20/11 AT&T INC. DE 2.02,9.01 04/20/11 AT&T INC. DE 8.01,9.01 04/20/11 ATMI INC DE 2.02,9.01 04/20/11 ATMOS ENERGY CORP TX 8.01 04/18/11 Atrinsic, Inc. DE 3.01 04/14/11 AUTOLIV INC DE 2.02,7.01,9.01 04/20/11 AVI BIOPHARMA INC OR 1.01,2.02 04/14/11 aVINCI MEDIA CORP DE 5.02 04/20/11 BAKKEN RESOURCES INC 8.01 04/15/11 BANCORP RHODE ISLAND INC 8.01,9.01 04/19/11 Bank of New York Mellon CORP DE 2.02,9.01 04/19/11 Behringer Harvard Opportunity REIT I, MD 7.01,9.01 04/20/11 BEL FUSE INC /NJ NJ 8.01,9.01 04/20/11 BIG LOTS INC OH 5.02,9.01 04/15/11 BJs RESTAURANTS INC CA 2.02,9.01 04/20/11 Blugrass Energy, Inc. NV 5.03 01/19/11 BOISE INC. DE 8.01,9.01 04/15/11 BOSTON SCIENTIFIC CORP DE 2.02,2.06,9.01 04/19/11 Bridge Capital Holdings CA 8.01,9.01 04/20/11 BROOKLINE BANCORP INC DE 2.02,7.01 04/20/11 BUREAU OF NATIONAL AFFAIRS INC DE 5.07 04/20/11 Calumet Specialty Products Partners, DE 1.01,2.03,8.01,9.01 04/15/11 Capitol Federal Financial Inc MD 7.01,9.01 04/19/11 CAPTERRA FINANCIAL GROUP, INC. CO 1.01,5.02 04/19/11 CASS INFORMATION SYSTEMS INC MO 2.02,5.07,8.01,9.01 04/18/11 CATALYST HEALTH SOLUTIONS, INC. DE 1.01,2.03,9.01 04/14/11 CATHAY GENERAL BANCORP DE 2.02,9.01 04/20/11 CB RICHARD ELLIS REALTY TRUST MD 2.01,9.01 03/24/10 AMEND CCFNB BANCORP INC PA 2.02,9.01 04/19/11 CDW Corp DE 2.02,7.01,8.01,9.01 04/20/11 CENTRAL VALLEY COMMUNITY BANCORP CA 2.02,9.01 04/20/11 CEPHEID CA 2.02,9.01 04/20/11 CERUS CORP DE 5.02,9.01 04/14/11 CHEESECAKE FACTORY INC DE 2.02,8.01,9.01 04/20/11 CHEETAH OIL & GAS LTD. NV 7.01,9.01 04/20/11 CHEMICAL FINANCIAL CORP MI 5.07,7.01,8.01,9.01 04/15/11 CHEMUNG FINANCIAL CORP NY 5.02 04/20/11 Cheniere Energy Partners, L.P. DE 8.01,9.01 04/20/11 CHESAPEAKE MIDSTREAM PARTNERS LP DE 1.01,2.03,8.01,9.01 04/14/11 China Carbon Graphite Group, Inc. NV 2.02,9.01 04/18/11 China Integrated Energy, Inc. DE 1.02,9.01 04/08/11 CHINA RUITAI INTERNATIONAL HOLDINGS C DE 4.01,9.01 04/14/11 ChinaNet Online Holdings, Inc. NV 4.01,9.01 04/14/11 CHRISTOPHER & BANKS CORP DE 5.02,9.01 04/15/11 CIT GROUP INC DE 7.01 04/14/11 CITIZENS & NORTHERN CORP PA 8.01,9.01 04/20/11 CNB FINANCIAL CORP/PA PA 5.07,8.01,9.01 04/19/11 COHEN & STEERS INC 2.02,9.01 04/20/11 COLUMBIA LABORATORIES INC DE 1.01,1.02,8.01,9.01 04/20/11 COMARCO INC CA 1.02,5.02 04/14/11 COMFORT SYSTEMS USA INC 2.02,9.01 04/19/11 COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 04/19/11 COMMUNITY TRUST BANCORP INC /KY/ KY 2.02,7.01,9.01 03/31/11 COMPUTER PROGRAMS & SYSTEMS INC DE 2.02,9.01 04/20/11 Coronus Solar Inc. A1 7.01,9.01 04/19/11 Corporate Resource Services, Inc. DE 7.01,9.01 04/19/11 COVANTA HOLDING CORP DE 2.02,7.01,9.01 04/20/11 CROSSTEX ENERGY INC DE 7.01,9.01 04/19/11 CROSSTEX ENERGY LP DE 7.01,9.01 04/19/11 CUMBERLAND PHARMACEUTICALS INC 5.07,8.01,9.01 04/19/11 CWHEQ Revolving Home Equity Loan Asse 7.01 01/01/11 CWHEQ Revolving Home Equity Loan Trus 7.01 01/01/11 CWHEQ Revolving Home Equity Loan Trus 7.01 01/01/11 CWHEQ Revolving Home Equity Loan Trus 7.01 01/01/11 CWHEQ Revolving Home Equity Loan Trus 7.01 01/01/11 CWHEQ Revolving Home Equity Loan Trus 7.01 01/01/11 CWHEQ Revolving Home Equity Loan Trus 7.01 01/01/11 CWHEQ Revolving Home Equity Loan Trus 7.01 01/01/11 Cypress Sharpridge Investments, Inc. MD 2.02,9.01 04/20/11 CYTOKINETICS INC 5.03 04/20/11 AMEND DANA HOLDING CORP DE 7.01,9.01 04/20/11 DATALINK CORP MN 2.02,9.01 04/20/11 Daulton Capital Corp. NV 1.01,9.01 04/18/11 Deerfield Capital Corp. MD 5.02,9.01 04/14/11 DICE HOLDINGS, INC. DE 5.07 04/15/11 DIGAGOGO VENTURES CORP DE 5.06 04/19/11 AMEND DISH Network CORP NV 8.01,9.01 04/20/11 DIVALL INSURED INCOME PROPERTIES 2 LI WI 7.01,8.01,9.01 04/18/11 DONEGAL GROUP INC DE 2.02,9.01 04/20/11 DORAL FINANCIAL CORP PR 2.02,7.01,9.01 04/20/11 Dot VN, Inc. DE 1.01,8.01,9.01 04/20/11 DOUGLAS DYNAMICS, INC DE 1.01,1.02,2.03,9.01 04/18/11 DPL INC OH 1.01,8.01,9.01 04/20/11 DST SYSTEMS INC DE 2.02,9.01 04/19/11 DYNAVAX TECHNOLOGIES CORP DE 8.01,9.01 04/20/11 E TRADE FINANCIAL CORP DE 2.02,9.01 04/20/11 EASTGROUP PROPERTIES INC MD 2.02,9.01 04/19/11 EATON CORP OH 2.02,9.01 04/20/11 EchoStar CORP NV 8.01,9.01 04/20/11 eCrypt Technologies, Inc. CO 5.02,9.01 04/15/11 Edwards Lifesciences Corp DE 2.02,9.01 04/20/11 ELLIE MAE INC DE 5.03,9.01 04/20/11 EMC CORP MA 2.02,9.01 04/20/11 ENCORE CAPITAL GROUP INC DE 5.02 04/19/11 Energizer Resources, Inc. MN 5.02 04/18/11 ENERGY EDGE TECHNOLOGIES CORP. NJ 5.02 04/15/11 Energy Future Holdings Corp /TX/ TX 1.01,2.03,9.01 04/19/11 ENTERPRISE BANCORP INC /MA/ MA 8.01,9.01 04/19/11 ERIE INDEMNITY CO PA 5.07 04/19/11 ESB FINANCIAL CORP PA 2.02,8.01,9.01 04/19/11 ESCALADE INC IN 1.01,2.02,2.03,9.01 04/14/11 Eternal Image Inc 4.01,9.01 04/07/11 AMEND EXPONENT INC DE 2.02,9.01 04/20/11 F5 NETWORKS INC WA 2.02,9.01 04/20/11 FAIR ISAAC CORP DE 5.02 04/20/11 Federal Home Loan Bank of Dallas 2.03,9.01 04/14/11 Federal Home Loan Bank of Pittsburgh PA 2.02,7.01 04/20/11 FIDELITY BANCORP INC PA 2.02,8.01,9.01 04/20/11 FIFTH THIRD BANCORP OH 5.02,5.07 04/15/11 FINISH LINE INC /IN/ IN 8.01,9.01 04/20/11 First Advantage Bancorp 8.01,9.01 04/20/11 First Bancorp, Inc /ME/ ME 2.02 03/31/11 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 5.02 04/19/11 FIRST COMMONWEALTH FINANCIAL CORP /PA PA 2.02,7.01,9.01 04/20/11 FIRST HORIZON NATIONAL CORP TN 5.03,5.07,9.01 04/18/11 First National Energy Corp. NV 1.01,2.01,9.01 04/18/11 FIRST SOUTH BANCORP INC /VA/ VA 2.02,9.01 04/20/11 FIRST TRUST HIGH INCOME LONG/SHORT FU MA 7.01,9.01 04/20/11 FIRSTMERIT CORP /OH/ OH 5.02,5.07,9.01 04/20/11 Flex Fuels Energy, Inc. NV 1.01,5.03,8.01,9.01 04/15/11 FLEXSTEEL INDUSTRIES INC MN 2.02,9.01 04/19/11 FOREST LABORATORIES INC DE 2.02,9.01 04/19/11 FORWARD AIR CORP TN 2.02,9.01 04/20/11 FORWARD INDUSTRIES INC NY 8.01 04/14/11 FREEPORT MCMORAN COPPER & GOLD INC DE 2.02,8.01,9.01 04/20/11 Freescale Semiconductor Holdings I, L D0 2.02,9.01 04/20/11 FUSION TELECOMMUNICATIONS INTERNATION DE 2.02,7.01,9.01 04/20/11 GENTOR RESOURCES, INC. FL 8.01,9.01 04/19/11 GENVEC INC DE 5.03,8.01,9.01 04/19/11 GeoBio Energy, Inc. CO 5.02 04/16/11 Georgetown Bancorp, Inc. X1 5.03,9.01 04/14/11 GILEAD SCIENCES INC DE 2.02,9.01 04/20/11 GLOBAL PARTNERS LP 7.01,9.01 04/20/11 Golden Minerals Co 8.01 04/13/11 AMEND GOLDEN PHOENIX MINERALS INC NV 1.01,2.01,3.02,7.01, 04/14/11 9.01 Gordmans Stores, Inc. DE 5.02 04/19/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 04/20/11 GRAPHIC PACKAGING HOLDING CO DE 1.01,9.01 04/14/11 GRUBB & ELLIS CO DE 1.01,2.03,3.02,8.01, 04/20/11 9.01 Grubb & Ellis Healthcare REIT II, Inc MD 2.03 04/08/11 AMEND H & H Imports, Inc. FL 4.02 04/19/11 HANCOCK HOLDING CO MS 2.02,7.01,9.01 04/19/11 Hanesbrands Inc. MD 2.02,7.01,9.01 04/20/11 HANOVER INSURANCE GROUP, INC. DE 2.02,9.01 04/19/11 HARBINGER GROUP INC. DE 8.01,9.01 04/20/11 HARLEYSVILLE GROUP INC DE 2.02,9.01 04/18/11 Hartman Short Term Income Properties MD 5.02 04/20/11 HEARTLAND EXPRESS INC NV 2.02,9.01 04/20/11 Hillenbrand, Inc. IN 8.01,9.01 04/20/11 HILLS BANCORPORATION IA 5.07 04/18/11 HONEYWELL INTERNATIONAL INC DE 2.02,9.01 04/20/11 HPC POS SYSTEM, CORP. NV 8.01,9.01 04/19/11 HUB GROUP INC DE 2.02,9.01 03/31/11 HUDSON CITY BANCORP INC DE 2.02,9.01 04/20/11 HUNTINGTON BANCSHARES INC/MD MD 2.02,9.01 04/20/11 Huntsman CORP DE 1.01,2.03,9.01 04/15/11 HUTTIG BUILDING PRODUCTS INC DE 5.07 04/18/11 ILLINOIS TOOL WORKS INC DE 8.01,9.01 04/20/11 IMAGE SENSING SYSTEMS INC MN 2.02,9.01 04/20/11 INDEPENDENT BANK CORP MA 5.02,9.01 04/14/11 Ingersoll-Rand plc L2 7.01,9.01 04/20/11 INNOVATIVE CARD TECHNOLOGIES INC DE 5.02 04/15/11 INTEL CORP DE 2.02 04/19/11 INTERLEUKIN GENETICS INC DE 1.01 04/15/11 INTERMOUNTAIN COMMUNITY BANCORP ID 2.02,9.01 04/19/11 INTERNATIONAL BALER CORP DE 5.02,9.01 04/20/11 INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 04/19/11 IPARTY CORP DE 2.02,9.01 04/20/11 IRON MOUNTAIN INC DE 7.01,9.01 04/20/11 JBI, INC. NV 8.01,9.01 04/20/11 Jiangbo Pharmaceuticals, Inc. FL 4.01,9.01 04/14/11 John Deere Owner Trust 2011 DE 9.01 04/20/11 John Deere Owner Trust 2011 DE 8.01,9.01 04/20/11 KBS Real Estate Investment Trust, Inc MD 1.01 04/15/11 KEYCORP /NEW/ OH 8.01,9.01 04/20/11 KINDER MORGAN ENERGY PARTNERS L P DE 2.02,9.01 04/20/11 KINDER MORGAN, INC. DE 2.02,5.02,9.01 04/20/11 KIRBY CORP NV 2.01,7.01,9.01 04/15/11 KNIGHT CAPITAL GROUP, INC. DE 2.02,7.01,9.01 04/20/11 KNIGHT TRANSPORTATION INC AZ 2.02,9.01 04/20/11 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 1.01,1.02,8.01,9.01 04/15/11 L & L ENERGY, INC. NV 1.01,8.01,9.01 04/14/11 LAM RESEARCH CORP DE 2.02,9.01 04/20/11 LAS VEGAS SANDS CORP NV 7.01,9.01 04/20/11 LaSalle Hotel Properties MD 2.02,9.01 04/20/11 Liberty Global, Inc. 7.01 04/19/11 Liberty Global, Inc. 2.02,7.01 04/19/11 AMEND LIGHTBRIDGE Corp NV 5.07 04/20/11 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 2.01,9.01 01/21/11 AMEND LINEAR TECHNOLOGY CORP /CA/ DE 2.02,9.01 04/19/11 LODGENET INTERACTIVE CORP DE 2.02,9.01 04/20/11 LSI CORP DE 5.02 04/15/11 LUFKIN INDUSTRIES INC TX 2.02,9.01 03/31/11 M I HOMES INC OH 1.01,1.02,9.01 04/18/11 M&T BANK CORP NY 5.07 04/19/11 MAJESCO ENTERTAINMENT CO DE 5.07 04/14/11 Majestic Capital, Ltd. 3.01,9.01 04/15/11 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 04/20/11 MARTEN TRANSPORT LTD DE 2.02,9.01 04/19/11 MARTIN MARIETTA MATERIALS INC NC 8.01 04/14/11 MDC HOLDINGS INC DE 8.01 04/20/11 MEDGENICS, INC. DE 7.01,9.01 04/19/11 MEDIA GENERAL INC VA 2.02,9.01 04/20/11 MEDTOX SCIENTIFIC INC DE 2.02,9.01 04/14/11 MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 04/15/11 MGIC INVESTMENT CORP WI 2.02,9.01 04/20/11 MIDAMERICAN ENERGY CO IA 8.01 04/20/11 MKS INSTRUMENTS INC MA 2.02,9.01 04/20/11 Molecular Insight Pharmaceuticals, In MA 8.01,9.01 04/14/11 Molycorp, Inc. DE 8.01 04/15/11 MOSAIC CO DE 8.01,9.01 04/19/11 Motors Liquidation Co DE 8.01,9.01 04/14/11 NABORS INDUSTRIES LTD D0 1.01,9.01 04/20/11 Nano Mask, Inc. NV 7.01 04/18/11 NASDAQ OMX GROUP, INC. DE 2.02,7.01,9.01 04/20/11 NASDAQ OMX GROUP, INC. DE 5.03,9.01 04/14/11 NASDAQ OMX GROUP, INC. DE 8.01 04/20/11 NATIONAL HOLDINGS CORP DE 5.07 04/15/11 NAUTILUS, INC. WA 5.02 04/19/11 NAVISTAR INTERNATIONAL CORP DE 5.02 04/19/11 NEW DRAGON ASIA CORP FL 5.02 04/15/11 NEWMARKET CORP VA 2.02,8.01,9.01 04/20/11 Newport Bancorp Inc 2.02,9.01 04/19/11 Noble Corp / Switzerland V8 2.02,9.01 04/20/11 Noranda Aluminum Holding CORP DE 2.02,9.01 04/20/11 NORTHERN TRUST CORP DE 7.01,9.01 04/19/11 NORTHWEST NATURAL GAS CO OR 7.01,9.01 04/19/11 NORWOOD FINANCIAL CORP PA 2.02,9.01 04/20/11 NUTRACEA CA 5.02 04/19/11 Obagi Medical Products, Inc. DE 5.02,9.01 04/15/11 ODYSSEY MARINE EXPLORATION INC NV 3.03,9.01 04/14/11 OLD POINT FINANCIAL CORP VA 2.02,9.01 04/20/11 OLD SECOND BANCORP INC DE 8.01 04/19/11 Omega Flex, Inc. PA 2.02,7.01,9.01 04/19/11 OMEGA HEALTHCARE INVESTORS INC MD 5.03,9.01 04/20/11 ONEOK INC /NEW/ OK 7.01,8.01,9.01 04/19/11 Optex Systems Holdings Inc DE 5.07 04/20/11 OPTICAL CABLE CORP VA 8.01,9.01 04/15/11 Orofino Gold Corp NV 1.01,9.01 04/18/11 Orpheum Property Inc DE 5.02 01/28/11 ORTHOVITA INC 7.01,9.01 04/19/11 PACIFIC CONTINENTAL CORP OR 5.07 04/18/11 PACIFIC GOLD CORP NV 1.01 04/01/11 PACIFIC GOLD CORP NV 4.01,9.01 04/13/11 PACIFIC MERCANTILE BANCORP CA 2.02,9.01 04/19/11 PACIFIC WEBWORKS INC NV 4.01,9.01 04/14/11 PACWEST BANCORP DE 2.02,9.01 04/20/11 PDI INC 5.02,9.01 04/18/11 Pebblebrook Hotel Trust MD 7.01 04/19/11 PHOTOTRON HOLDINGS, INC. DE 2.01 03/09/11 AMEND PIPER JAFFRAY COMPANIES DE 2.02,9.01 04/20/11 PIXELWORKS, INC OR 2.02,9.01 04/20/11 PLEXUS CORP WI 2.02 04/20/11 PMFG, Inc. DE 5.02,9.01 04/20/11 POLARIS INDUSTRIES INC/MN MN 2.02,7.01,9.01 04/20/11 PREMIERE GLOBAL SERVICES, INC. GA 2.02,9.01 04/20/11 PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 04/19/11 PRINCETON NATIONAL BANCORP INC DE 5.02 04/18/11 PROLOGIS MD 2.02,9.01 04/20/11 PROVECTUS PHARMACEUTICALS INC NV 3.02,9.01 04/20/11 QUALCOMM INC/DE DE 2.02,9.01 04/20/11 QUEST DIAGNOSTICS INC DE 2.02,9.01 04/20/11 RADIO ONE, INC. DE 8.01,9.01 04/18/11 RAYMOND JAMES FINANCIAL INC FL 2.02,7.01,9.01 04/20/11 Regenicin, Inc. NV 8.01 04/11/11 ROBERTSON GLOBAL HEALTH SOLUTIONS COR NV 1.01,9.01 04/18/11 ROCKWELL COLLINS INC DE 5.02,9.01 04/19/11 RSC Holdings Inc. DE 2.02,9.01 04/20/11 S Y BANCORP INC KY 2.02,9.01 04/20/11 SAVANNAH BANCORP INC GA 2.02 03/31/11 SELECT COMFORT CORP MN 2.02,9.01 04/20/11 SEN YU INTERNATIONAL HOLDINGS, INC. DE 3.02 04/20/11 SHERIDAN GROUP INC DE 1.01,1.02,2.03,3.03, 04/15/11 9.01 Shiner International, Inc. NV 7.01,8.01,9.01 04/20/11 SIGMA LABS, INC. NV 3.02,8.01,9.01 04/15/11 Sinobiopharma, Inc. NV 4.01,5.02,9.01 04/14/11 SLM CORP DE 2.02,8.01 04/20/11 SLM Student Loan Trust 2005-5 8.01 04/14/11 SLM Student Loan Trust 2005-8 8.01 04/14/11 Smart-tek Solutions Inc NV 5.03,8.01,9.01 04/15/11 Solar Park Initiatives, Inc. NV 5.03,9.01 04/18/11 Soltera Mining Corp. NV 8.01,9.01 04/19/11 SOLUTIA INC DE 5.07 04/18/11 SONIC FOUNDRY INC MD 5.02,9.01 04/14/11 SONOCO PRODUCTS CO SC 5.02,9.01 04/19/11 SOUTHERN CONNECTICUT BANCORP INC CT 5.02 04/14/11 ST JUDE MEDICAL INC MN 2.02,9.01 04/20/11 STANDARD PARKING CORP DE 8.01 04/20/11 STEEL DYNAMICS INC IN 2.02,9.01 04/18/11 STERLING BANCORP NY 7.01,9.01 04/18/11 STERLING CHEMICALS INC DE 5.07 04/15/11 STERLING FINANCIAL CORP /WA/ WA 2.02,9.01 04/19/11 STRYKER CORP MI 2.02,7.01 03/31/11 SUNRISE SENIOR LIVING INC DE 1.01,2.03,3.02,9.01 04/20/11 SUPERIOR ENERGY SERVICES INC DE 8.01,9.01 04/20/11 SUPERIOR ENERGY SERVICES INC DE 1.01,2.02,7.01,9.01 04/20/11 SUPERMEDIA INC. DE 7.01,9.01 04/20/11 SUPERTEL HOSPITALITY INC VA 7.01,9.01 04/20/11 Swisher Hygiene Inc. DE 1.01,1.02,2.03,9.01 03/30/11 AMEND Swisher Hygiene Inc. DE 9.01 03/30/11 AMEND Symmetry Medical Inc. DE 5.02,8.01,9.01 04/18/10 SYSTEMAX INC DE 5.02,8.01 04/18/11 T3 Motion, Inc. DE 7.01 04/20/11 TAUBMAN CENTERS INC MI 2.02 04/20/11 TECHE HOLDING CO LA 2.02,9.01 04/20/11 TELEDYNE TECHNOLOGIES INC DE 2.01,7.01,9.01 04/19/11 TEMPLE INLAND INC DE 2.02,7.01,9.01 04/20/11 TEREX CORP DE 2.02,7.01,9.01 04/20/11 TESORO CORP /NEW/ DE 7.01,9.01 04/20/11 TEXTRON INC DE 2.02,9.01 04/20/11 TIB FINANCIAL CORP. FL 4.01,9.01 04/19/11 Timberline Resources Corp DE 7.01,9.01 04/20/11 TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 04/20/11 TRACTOR SUPPLY CO /DE/ DE 2.02,9.01 04/20/11 TRANSDEL PHARMACEUTICALS INC DE 5.02 04/14/11 Treaty Energy Corp NV 1.01,9.01 04/15/11 Tremont Fair, Inc. NV 5.01 04/19/11 Triangle Petroleum Corp NV 8.01,9.01 04/19/11 Trunkbow International Holdings Ltd NV 4.01,9.01 04/14/11 TSIC, Inc. DE 7.01,9.01 04/14/11 U S PRECIOUS METALS INC DE 5.03,5.07,9.01 03/24/11 UNION BANKSHARES INC VT 2.02,8.01,9.01 04/20/11 UNION PACIFIC CORP UT 2.02,9.01 04/20/11 UNITED STATES CELLULAR CORP DE 5.02,8.01,9.01 04/15/11 UNITED TECHNOLOGIES CORP /DE/ DE 2.02,9.01 04/20/11 Universal Bioenergy, Inc. 8.01,9.01 04/20/11 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 4.01,9.01 03/09/11 AMEND US BANCORP \DE\ DE 5.07 04/19/11 USG CORP DE 2.02,9.01 04/20/11 Valiant Health Care, Inc. FL 1.01,2.04,3.02,5.02, 11/09/10 AMEND 9.01 Vantage Drilling CO E9 5.02,9.01 04/14/11 VERMILLION, INC. DE 8.01,9.01 04/20/11 VERSANT CORP CA 5.07 04/18/11 Vicor Technologies, Inc. DE 8.01 04/11/11 VIRGIN MEDIA INC. DE 2.02,9.01 04/20/11 VIRGINIA COMMERCE BANCORP INC 2.02,7.01,9.01 04/20/11 VISION INDUSTRIES CORP FL 8.01 04/08/11 VOYAGER ENTERTAINMENT INTERNATIONAL I NV 1.01,9.01 04/18/11 Voyager Oil & Gas, Inc. DE 2.02,9.01 04/20/11 Walter Energy, Inc. DE 8.01 04/14/11 WASHINGTON GAS LIGHT CO DC 8.01,9.01 04/15/11 Waste2Energy Holdings, Inc. DE 8.01 04/14/11 WELLS FARGO & CO/MN DE 2.02,9.01 04/20/11 WESBANCO INC WV 7.01,9.01 04/20/11 WEST CORP DE 2.02,9.01 04/20/11 WESTERN DIGITAL CORP DE 2.02,9.01 04/20/11 WESTMORELAND COAL Co DE 3.01,9.01 04/18/11 WESTWOOD HOLDINGS GROUP INC DE 2.02,7.01,9.01 04/20/11 WINTRUST FINANCIAL CORP IL 2.01,9.01 04/20/11 Woodward, Inc. DE 8.01 04/15/11 ZHONE TECHNOLOGIES INC DE 2.02,9.01 04/20/11 Zolon Corp FL 1.01 04/18/11 ZORAN CORP \DE\ DE 8.01,9.01 04/19/11