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Enforcement proceedingsIn the Matter of Aristeia Capital, LLCOn May 2, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934 (Exchange Act) and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (the Order) against Aristeia Capital, LLC. The Order finds that, on four occasions from January through June 2008, Aristeia, a registered investment adviser and hedge fund manager, willfully violated Rule 105 of Regulation M under the Exchange Act. In each instance, the Order finds that Aristeia bought offered shares from an underwriter or broker or dealer participating in a follow-on public offering after having sold short the same security during the restricted period. The Order further finds that these violations collectively resulted in profits of approximately $1.2 million. Based on the above, the Order censures Aristeia, requires it to cease and desist from committing or causing any violations and any future violations of Rule 105 of Regulation M, and requires it to pay disgorgement in the amount of $1,221,571 and prejudgment interest of $141,205, and a civil penalty in the amount of $400,000. Aristeia consented to the issuance of the Order without admitting or denying any of findings in the Order. (Rels. 34-64374; IA-3191; File No. 3-14360) In the Matter of Roy D. HiggsOn May 2, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) and Notice of Hearing (Order) against Roy D. Higgs based upon the entry of a permanent injunction entered against him in the United States District Court for the District of Nevada (Securities and Exchange Commission v. Earthly Mineral Solutions, Inc., et al., Civil Action Number 2:07-CV-01057-JCM-(LRL)). In the Order, the Division of Enforcement alleges that on March 23, 2011, the United States District Court for the District of Nevada entered a judgment of permanent injunction and other relief against Higgs, which permanently enjoined 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) of the Exchange Act, and Rule 10b-5 thereunder. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, and to provide Higgs an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of the Order pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. 34-64375; File No. 3-14361) SEC Wins Summary Judgment Against Four Arizona-Based Promoters in $197 Million Mortgage Lending SchemeThe Securities and Exchange Commission today announced that it obtained summary judgment against four individuals who the Commission charged with securities fraud for orchestrating a mortgage lending scheme. On April 12, 2011, the United States District Court for the District of Phoenix issued an Order granting the Commission’s motion for summary judgment against defendants Tom Hirsch Paradise Valley, Ariz., Berta Walder and Howard Walder, of Phoenix, and Harish P. Shah, of Phoenix. The Order found that the defendants, through their company, Radical Bunny LLC, pooled investor funds to make loans to Mortgages Ltd. and made material misrepresentations and omissions to investors. The Order found that the defendants violated the securities registration, antifraud, and broker-dealer registration provisions of the federal securities laws. The final judgment, entered on April 28, 2011, permanently enjoins the defendants from violating the securities registration, antifraud, and broker-dealer registration provisions, and further orders the defendants to disgorge their ill-gotten gains (Hirsch was ordered to disgorge $1,245,220, the Walders $1,245,217, and Shah $740,160) plus prejudgment interest, and each defendant was ordered to pay civil penalties of $120,000. The Commission’s complaint, which was filed on July 28, 2009, alleged that Radical Bunny and the defendants raised $197 million from investors nationwide and that they made a series of misrepresentations and omissions to investors about the safety and security of the investment and the applicability of the securities laws to their offering. In particular, the complaint alleged that the defendants falsely represented that Radical Bunny held a secured interest in real estate and/or Mortgages Ltd.’s assets even after their attorneys repeatedly advised them that documentation of that security interest was either non-existent or defective. Previously, Radical Bunny, through its Chapter 11 bankruptcy trustee, consented to the entry of a judgment of permanent injunction entered by the Court on Nov. 4, 2009, which permanently enjoined Radical Bunny from violating the securities registration and antifraud provisions. The Commission acknowledges the substantial assistance of the Securities Division of the Arizona Corporation Commission in its investigation and the litigation. [SEC v. Radical Bunny, LLC, Tom Hirsch, Berta Walder, Howard Walder, and Harish Shah, United States District Court for the District of Arizona, Case No. 2:09-cv-01560-SRB] (LR-21952) Investment company act releasesNational Life Insurance Company, et al.An order has been issued approving an application filed by National Life Insurance Company, National Variable Annuity Account II, and National Variable Life Insurance Account (collectively, Applicants). Applicants have been authorized under Section 26(c) of the Investment Company Act to substitute the shares of a certain registered investment company for shares of a certain other registered investment company. (Rel. IC-29662 - April 29) Notice of Applications for Deregistration under the Investment Company ActFor the month of April 2011, a notice has been issued giving interested persons until May 24, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company:
(Rel. IC-29663- April 29) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesThe Stock Clearing Corporation of Philadelphia filed a proposed rule change (SR-SCCP-2011-02) under Section 19(b)(1) of the Securities Exchange Act relating to amendments to the By-Laws of its parent corporation, the NASDAQ OMX Group, Inc. The rule change became effective upon filing. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64355) The Boston Stock Exchange Clearing Corporation filed a proposed rule change (SR-BSECC-2011-002) under Section 19(b)(1) of the Securities Exchange Act relating to amendments to the By-Laws of its parent corporation, the NASDAQ OMX Group, Inc. The rule change became effective upon filing. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64356) A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2011-03) to alter its fee schedule relating to its CHX Connect service 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 May 2. (Rel. 34-64358) A proposed rule change filed by The NASDAQ Stock Market regarding limitation of liability (SR-NASDAQ-2011-058) has become immediately 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 May 2. (Rel. 34-64365) A proposed rule change filed by Financial Industry Regulatory Authority relating to the extension of the implementation date for the expansion of the Order Audit Trail System to all NMS stocks (SR-FINRA-2011-021) 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 May 2. (Rel. 34-64369) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-FINRA-2011-011) filed by the Financial Industry Regulatory Authority pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to amend the By-Laws of FINRA Regulation, Inc. with regard to District Committees. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64363) Proposed Rule ChangesThe Chicago Stock Exchange filed a proposed rule change (SR-CHX-2011-07) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend its Minor Rule Violation Plan. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64370) The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2011-056) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to adopt additional listing requirements for reverse mergers. Publication is expected in the Federal Register during the week of May 2. (Rel. 34-64371) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 NETWORKING PARTNERS INC, 857 SARNO ROAD, MELBOURNE, FL, 32935,
3219848858 - 5,000,000 ($2,500,000.00) Equity, (File 333-173790 -
Apr. 29) (BR. 03)
S-1 Juhl Wind, Inc, 996 190TH AVENUE, WOODSTOCK, MN, 56186, 507 777-4310 -
10,000,000 ($15,000,000.00) Equity, (File 333-173791 - Apr. 29)
(BR. 08A)
S-8 National Health Partners Inc, 120 GIBRALTAR RD, SUITE 107, HORSHAM, PA,
19044, 215-682-7114 - 12,000,000 ($264,000.00) Equity,
(File 333-173792 - Apr. 29) (BR. 09B)
S-8 Clearfield, Inc., 5480 NATHAN LANE NORTH, SUITE 120, PLYMOUTH, MN,
55442, 763-476-6866 - 1,000,000 ($5,210,000.00) Equity,
(File 333-173793 - Apr. 29) (BR. 11B)
F-10 BROOKFIELD ASSET MANAGEMENT INC., BCE PLACE 181 BAY ST,
STE 300 PO BOX 762, TORONTO ONTARIO, A6, M5J2T3, 4163639491 -
0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-173794 -
Apr. 29) (BR. 08A)
S-4 Kraton Polymers LLC, 700 MILAM STREET, 13TH FLOOR, NORTH TOWER,
HOUSTON, TX, 77002, 800 457-2866 -
0 ($250,000,000.00) Non-Convertible Debt, (File 333-173795 - Apr. 29)
(BR. 06B)
S-8 USEC INC, 2 DEMOCRACY CENTER, 6903 ROCKLEDGE DRIVE, BETHESDA, MD,
20817, 3015643200 - 8,479,867 ($38,752,992.00) Equity,
(File 333-173796 - Apr. 29) (BR. 04C)
S-8 DIAMOND HILL INVESTMENT GROUP INC, 325 JOHN H MCCONNELL BLVD,
SUITE 200, COLUMBUS, OH, 43215, 6142553333 -
600,000 ($47,718,000.00) Equity, (File 333-173797 - Apr. 29) (BR. 06A)
N-2 GABELLI GLOBAL MULTIMEDIA TRUST INC, ONE CORPORATE CENTER, RYE, NY,
10580, 9149215070 - 0 ($400,000,000.00) Equity, (File 333-173800 -
Apr. 29) (BR. 22)
S-8 Support.com, Inc., 575 BROADWAY, REDWOOD, CA, 94063, 650 556 8933 -
1,000,000 ($5,505,000.00) Equity, (File 333-173802 - Apr. 29) (BR. 03B)
S-8 INTUITIVE SURGICAL INC, 4085232100 -
1,250,000 ($443,250,000.00) Equity, (File 333-173803 - Apr. 29)
(BR. 10B)
S-4 TPC Group LLC, 5151 SAN FELIPE, SUITE 800, HOUSTON, TX, 77056,
713-627-7474 - 0 ($350,000,000.00) Non-Convertible Debt,
(File 333-173804 - Apr. 29) (BR. )
S-8 STANDARD REGISTER CO, 600 ALBANY ST, DAYTON, OH, 45401, 5134341000 -
5,780,000 ($20,114,400.00) Equity, (File 333-173805 - Apr. 29) (BR. 05C)
S-3 FLOTEK INDUSTRIES INC/CN/, 2930 W. SAM HOUSTON PARKWAY N, SUITE 300,
HOUSTON, TX, 77043, 7138499911 - 171,154 ($1,559,212.94) Equity,
(File 333-173806 - Apr. 29) (BR. 06A)
S-8 TESORO LOGISTICS LP, 19100 RIDGEWOOD PARKWAY, SAN ANTONIO, TX, 78259,
210-626-6000 - 0 ($17,902,500.00) Equity, (File 333-173807 - Apr. 29)
(BR. 04A)
S-1 WPX ENERGY, INC., ONE WILLIAMS CENTER, TULSA, OK, 74172, 918-573-2000 -
0 ($750,000,000.00) Equity, (File 333-173808 - Apr. 29) (BR. )
S-4 UNITED REFINING CO, 15 BRADLEY ST, WARREN, PA, 16365, 8147231500 -
0 ($365,000,000.00) Non-Convertible Debt, (File 333-173809 - Apr. 29)
(BR. 04C)
S-8 DreamWorks Animation SKG, Inc., GRANDVIEW BUILDING, 1000 FLOWER STREET,
GLENDALE, CA, 91201, (818) 695-5000 - 0 ($318,029,394.00) Equity,
(File 333-173810 - Apr. 29) (BR. 05A)
S-8 SIMPSON MANUFACTURING CO INC /CA/, 5956 W LAS POSITAS BLVD, PLEASANTON,
CA, 94588, 9255609000 - 0 ($39,074,000.00) Equity, (File 333-173811 -
Apr. 29) (BR. 06C)
S-4 CARRIZO OIL & GAS INC, 1000 LOUISIANA STREET, SUITE 1500, HOUSTON, TX,
77002, 7133281000 - 0 ($400,000,000.00) Non-Convertible Debt,
(File 333-173812 - Apr. 29) (BR. 04C)
S-8 Geeknet, Inc, 11216 WAPLES MILL RD.,, SUITE 100, FAIRFAX,, VA, 22030,
(877) 433-5638 - 156,250 ($3,918,750.00) Equity, (File 333-173813 -
Apr. 29) (BR. 02C)
S-1 Accend Media, 8275 S EASTERN AVE, SUITE 200-306, LAS VEGAS, NV, 89123,
702-332-9888 - 6,000,000 ($60,000.00) Equity, (File 333-173814 -
Apr. 29) (BR. )
S-8 Constant Contact, Inc., 1601 TRAPELO ROAD, SUITE 329, WALTHAM, MA,
02451, 781-472-8100 - 0 ($21,518,000.00) Equity, (File 333-173815 -
Apr. 29) (BR. 11C)
S-3ASR ETFS Platinum Trust, C/O ETF SECURITIES USA LLC,
555 CALIFORNIA STREET, SUITE 2900, SAN FRANCISCO, CA, 94104,
415-404-6332 - 0 ($0.00) Equity, (File 333-173816 - Apr. 29) (BR. 08B)
S-1 AIR LEASE CORP, 2000 AVENUE OF THE STARS, SUITE 600-N, LOS ANGELES, CA,
90067, (310) 553-0555 - 0 ($1,905,914,223.00) Equity,
(File 333-173817 - Apr. 29) (BR. 06B)
S-3ASR QUALITY SYSTEMS, INC, 18111 VON KARMAN AVENUE, SUITE 600, IRVINE, CA,
92612, 949-255-2600 - 0 ($12,293,710.00) Equity, (File 333-173818 -
Apr. 29) (BR. 03B)
N-2 GABELLI EQUITY TRUST INC, ONE CORP CENTER, RYE, NY, 10580, 9149215070 -
0 ($500,000,000.00) Equity, (File 333-173819 - Apr. 29) (BR. 22)
S-4 Clearwater Paper Corp, 601 WEST RIVERSIDE AVENUE, SUITE 1100, SPOKANE,
WA, 99201, 509.344.5900 -
375,000,000 ($375,000,000.00) Debt Convertible into Equity,
(File 333-173820 - Apr. 29) (BR. 09A)
S-3ASR CARRIZO OIL & GAS INC, 1000 LOUISIANA STREET, SUITE 1500, HOUSTON, TX,
77002, 7133281000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-173821 - Apr. 29) (BR. 04C)
S-3ASR Celanese CORP, 1601 W. LBJ FREEWAY, DALLAS, TX, 75234, 972-443-4000 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-173822 - Apr. 29)
(BR. 06C)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ACCURIDE CORP DE 5.02,5.07,9.01 04/26/11
ACCURIDE CORP DE 8.01,9.01 04/29/11
ACURA PHARMACEUTICALS, INC NY 5.02,8.01,9.01 04/28/11
Affinion Group, Inc. DE 2.02,9.01 04/29/11
AFH ACQUISITION IV, INC. DE 1.01,3.02,9.01 04/19/11 AMEND
AGREE REALTY CORP DE 2.02,9.01 04/28/11
AIR LEASE CORP DE 5.02,9.01 04/25/11
AIRTRAN HOLDINGS INC NV 5.02 04/29/11
AK STEEL HOLDING CORP DE 1.01,1.02,2.03,7.01, 04/28/11
9.01
ALBANY INTERNATIONAL CORP /DE/ DE 2.02,9.01 01/01/11
ALCOA INC PA 5.02,9.01 04/29/11
ALCOA INC PA 8.01,9.01 04/28/11
ALEXANDERS J CORP TN 2.02,7.01,9.01 04/29/11
ALLIANCE BANKSHARES CORP 8.01 04/29/11
ALLIANCE FIBER OPTIC PRODUCTS INC CA 5.07 04/28/11
Alliance HealthCare Services, Inc DE 2.02,9.01 04/28/11
Ally Auto Assets LLC DE 1.01,8.01,9.01 04/27/11
AMASYS CORP DE 1.01 04/25/11
AMBIENT CORP /NY DE 8.01,9.01 04/28/11
AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,7.01,9.01 04/29/11
American Capital Agency Corp 5.02 04/29/11
AMERICAN SHARED HOSPITAL SERVICES CA 5.03 04/28/11
AMERIGO ENERGY, INC. DE 4.01,8.01,9.01 04/29/01 AMEND
AMERIGO ENERGY, INC. DE 4.02 04/29/11 AMEND
AMERIGON INC MI 2.02,9.01 04/28/11
AMERIGROUP CORP 2.02,9.01 04/29/11
AMES NATIONAL CORP IA 5.07 04/27/11
AMPHENOL CORP /DE/ DE 2.02,9.01 04/29/11
AmStem Corp NV 5.02,9.01 04/26/11
ANGIOTECH PHARMACEUTICALS INC 8.01,9.01 04/28/11
ANNAPOLIS BANCORP INC MD 2.02,9.01 04/29/11
ANTS SOFTWARE INC DE 1.01,9.01 04/29/11
AON CORP DE 2.02,9.01 04/29/11
APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 04/29/11
Arcis Resources Corp NV 5.02,9.01 03/28/11 AMEND
ARROW FINANCIAL CORP NY 5.07,8.01,9.01 04/27/11
ASHFORD HOSPITALITY TRUST INC MD 8.01,9.01 04/27/11
ASPA Gold Corp NV 4.01,5.03,9.01 04/06/11
AT&T INC. DE 8.01,9.01 04/29/11
AuraSound, Inc. NV 4.02 02/18/11 AMEND
AUTOBYTEL INC DE 5.02,5.03,9.01 04/25/11
AVALON HOLDINGS CORP OH 5.07 04/28/11
AVATAR HOLDINGS INC DE 5.02,9.01 04/25/11
Avery Dennison Corp DE 5.03,5.07,9.01 04/28/11
Baby Fox International, Inc. NV 4.01,9.01 04/29/11
BALLY TECHNOLOGIES, INC. NV 2.02,9.01 04/28/11
Bancorp of New Jersey, Inc. NJ 2.02,9.01 04/29/11
BANCORPSOUTH INC MS 5.07 04/27/11
Bank of Commerce Holdings CA 7.01,9.01 04/29/11
Bank of the Carolinas CORP NC 5.02 04/27/11 AMEND
BARNES GROUP INC DE 2.02 04/29/11
BB&T CORP NC 5.07 04/26/11
BENCHMARK ELECTRONICS INC TX 2.02,9.01 04/28/11
Beneficial Mutual Bancorp Inc X1 2.02,9.01 04/28/11
BENIHANA INC DE 2.02,9.01 04/29/11
BMC SOFTWARE INC DE 5.02 04/29/11
BNC BANCORP NC 2.02,9.01 04/29/11
BOISE INC. DE 5.02,5.07 04/27/11
BOLT TECHNOLOGY CORP CT 2.02,9.01 04/27/11
BORDERS GROUP INC MI 7.01,9.01 04/29/11
BROWN & BROWN INC FL 5.07 04/27/11
C & F FINANCIAL CORP VA 2.02,9.01 04/29/11
CADENCE DESIGN SYSTEMS INC DE 5.02 04/25/11
CALPINE CORP DE 2.02,9.01 04/29/11
CAMDEN PROPERTY TRUST TX 2.02,9.01 04/28/11
CAPITALSOURCE INC DE 2.02,7.01,9.01 04/29/11
CARRIZO OIL & GAS INC TX 8.01,9.01 04/29/11
CARROLLTON BANCORP MD 2.02,9.01 04/29/11
CATERPILLAR FINANCIAL SERVICES CORP DE 2.02,9.01 04/29/11
CATERPILLAR INC DE 2.02,9.01 04/29/11
CATERPILLAR INC DE 7.01 04/29/11
CBIZ, Inc. DE 2.02,9.01 04/26/11
CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 04/28/11
Ceelox Inc. NV 8.01 04/28/11
Celanese CORP DE 7.01 04/29/11
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 04/29/11
CENTER BANCORP INC NJ 2.02,9.01 04/27/11
CENTRAL PACIFIC FINANCIAL CORP HI 5.07 04/27/11
CENTRUE FINANCIAL CORP DE 5.07 04/26/11
CHARTER COMMUNICATIONS, INC. /MO/ DE 5.02,5.07 04/26/11
CHESAPEAKE ENERGY CORP OK 8.01,9.01 04/28/11
CHEVIOT FINANCIAL CORP 2.02,9.01 04/29/11
CHEVRON CORP DE 2.02 04/29/11
China MediaExpress Holdings, Inc. DE 3.01,9.01 04/26/11
CHINA SHEN ZHOU MINING & RESOURCES, I NV 1.01,9.01 04/29/11
CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 04/28/11
CIFC Deerfield Corp. DE 5.02,9.01 04/26/11
CIRCOR INTERNATIONAL INC DE 8.01,9.01 04/28/11
CITY HOLDING CO WV 2.02,9.01 04/26/11
CLAYTON WILLIAMS ENERGY INC /DE DE 1.01,2.03,9.01 04/26/11
CLEANTECH TRANSIT, INC. NV 5.02 04/25/11
CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 04/28/11
CNA SURETY CORP 2.02,5.07 04/28/11
CNS RESPONSE, INC. DE 1.01,2.03,3.02,9.01 04/25/11
Cobalt International Energy, Inc. 5.07 04/28/11
COBRA ELECTRONICS CORP DE 2.02,9.01 04/29/11
COCA COLA CO DE 5.07 04/29/11
COCA-COLA ENTERPRISES, INC. DE 8.01,9.01 04/29/11
COCA-COLA ENTERPRISES, INC. DE 2.02,9.01 04/29/11
COFFEE HOLDING CO INC NV 5.07 04/28/11
CONEXANT SYSTEMS INC DE 4.01,9.01 04/25/11
CONEXANT SYSTEMS INC DE 5.07 04/19/11
CONSTELLATION BRANDS, INC. DE 5.02 04/28/11
CORNERSTONE HEALTHCARE PLUS REIT, INC MD 8.01,9.01 04/29/11
COVENTRY HEALTH CARE INC DE 2.02,9.01 04/29/11
CRONOS GLOBAL INCOME FUND XV LP CA 7.01,9.01 04/29/11
CRONOS GLOBAL INCOME FUND XVI LP CA 7.01,9.01 04/29/11
CSB BANCORP INC /OH OH 5.07 04/27/11
CULLEN FROST BANKERS INC TX 5.07 04/28/11
CURTISS WRIGHT CORP DE 2.02,9.01 04/28/11
DALECO RESOURCES CORP 5.07 04/26/11
DAYTON POWER & LIGHT CO OH 8.01,9.01 04/27/11
DELTIC TIMBER CORP DE 5.07 04/29/11
DELUXE CORP MN 5.07 04/27/11
DIAMOND HILL INVESTMENT GROUP INC OH 1.01,5.02,9.01 04/26/11
DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 04/29/11
Digital Realty Trust, Inc. 5.07 04/25/11
DIRECT INSITE CORP DE 5.02,9.01 04/26/11
DIRECT INSITE CORP DE 1.01,9.01 04/28/11
Dorman Products, Inc. PA 8.01 04/29/11
DOVER DOWNS GAMING & ENTERTAINMENT IN DE 5.07 04/27/11
DOVER MOTORSPORTS INC DE 5.07 04/27/11
DPL INC OH 2.02,7.01,8.01,9.01 04/27/11
DRI CORP NC 7.01,9.01 04/28/11
Duncan Energy Partners L.P. DE 1.01,7.01,9.01 04/28/11
Eagle Bulk Shipping Inc. 8.01 04/28/11
ECLIPS MEDIA TECHNOLOGIES, INC. DE 2.01,5.03,8.01,9.01 04/25/11
EDAC TECHNOLOGIES CORP WI 5.02,5.07,9.01 04/27/11
EDISON INTERNATIONAL CA 5.02,5.07,9.01 04/28/11
EMCLAIRE FINANCIAL CORP PA 5.07 04/29/11
EMCOR GROUP INC DE 2.02,9.01 04/29/11
EMPIRE DISTRICT ELECTRIC CO KS 5.02,5.07,9.01 04/28/11
ENBRIDGE ENERGY PARTNERS LP DE 2.02,9.01 04/28/11
Encore Bancshares Inc TX 2.02,9.01 04/29/11
ENDWAVE CORP DE 5.02 03/31/11
ENERGEN CORP AL 5.02,5.07,9.01 04/27/11
Energy Future Holdings Corp /TX/ TX 2.02,9.01 04/29/11
Energy Telecom, Inc. FL 8.01,9.01 04/29/11
ENTERGY CORP /DE/ DE 2.02,7.01,9.01 04/29/11
ENTERPRISE PRODUCTS PARTNERS L P DE 1.01,7.01,9.01 04/28/11
Ethos Environmental, Inc. NV 9.01 04/28/11
EV Energy Partners, LP DE 1.01,2.03,7.01,9.01 04/26/11
EVANS BANCORP INC NY 5.07 04/28/11
EVOLVING SYSTEMS INC DE 5.02 04/29/11
EXXON MOBIL CORP NJ 5.03 04/27/11
FARMERS NATIONAL BANC CORP /OH/ OH 1.01,5.07,9.01 04/28/11
FBR CAPITAL MARKETS CORP VA 8.01 04/27/11
Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 04/28/11
FEDEX CORP DE 1.01,1.02,2.03,9.01 04/26/11
FiberTower CORP DE 7.01,9.01 04/29/11
FIRST BANKS, INC MO 2.02,9.01 04/29/11
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.01,3.02,5.02,5.06, 09/15/10 AMEND
9.01
FIRST COMMUNITY BANK CORP OF AMERICA FL 5.02 04/25/11
FIRST FEDERAL BANCSHARES OF ARKANSAS TX 5.02,5.07,7.01,9.01 04/29/11
First Guaranty Bancshares, Inc. LA 2.02,9.01 04/29/11
FIRST HARTFORD CORP ME 4.01,9.01 04/29/11
FIRST INTERSTATE BANCSYSTEM INC MT 5.02 04/29/11
FIRST MID ILLINOIS BANCSHARES INC DE 5.07 04/27/11
FIRST NATIONAL COMMUNITY BANCORP INC PA 8.01,9.01 04/27/11
FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 04/28/11
FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 04/28/11
FIRST SECURITY GROUP INC/TN TN 5.02,9.01 04/27/11
FIRST TRUST/FIDAC MORTGAGE INCOME FUN 7.01,9.01 04/19/11
FIRST TRUST/FIDAC MORTGAGE INCOME FUN 7.01,9.01 04/29/11
FIRST UNITED CORP/MD/ MD 2.02,9.01 04/28/11
FLATBUSH FEDERAL BANCORP INC 5.07,9.01 04/28/11
FLIR SYSTEMS INC OR 2.02,9.01 04/28/11
FORTUNE BRANDS INC DE 5.03,5.07,9.01 04/29/11
FRANKLIN FINANCIAL SERVICES CORP /PA/ PA 5.07 04/29/11
FREEPORT MCMORAN COPPER & GOLD INC DE 5.02,9.01 04/27/11
FSB Community Bankshares Inc X1 2.02,9.01 04/28/11
GAIN Capital Holdings, Inc. DE 5.02 04/26/11
GateHouse Media, Inc. DE 2.02,9.01 04/28/11
GENTA INC DE/ DE 8.01 04/29/11
GLIMCHER REALTY TRUST MD 2.02,9.01 04/28/11
Global Geophysical Services Inc DE 2.02,9.01 04/28/11
Global Indemnity plc L2 8.01,9.01 04/28/11
Global Investor Services, Inc. UT 1.01,2.03,3.02,9.01 04/08/11
GOLDMAN SACHS GROUP INC DE 9.01 04/29/11
GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 04/29/11
GRAINGER W W INC IL 5.07 04/29/10
Grubb & Ellis Healthcare REIT II, Inc MD 1.01,9.01 04/25/11
GS FINANCIAL CORP LA 2.02,9.01 04/29/11
GULF ISLAND FABRICATION INC LA 2.02,9.01 04/28/11
GULF ISLAND FABRICATION INC LA 8.01,9.01 04/28/11
GULF ISLAND FABRICATION INC LA 8.01,9.01 04/28/11
H&R BLOCK INC MO 5.02,9.01 04/25/11
HANCOCK HOLDING CO MS 5.07,8.01,9.01 04/29/11
Hanesbrands Inc. MD 5.07 04/26/11
HARSCO CORP DE 5.07 04/26/10
HARVARD BIOSCIENCE INC DE 2.02,9.01 04/28/11
HEALTHCARE TRUST OF AMERICA, INC. MD 8.01 04/28/11
HELICOS BIOSCIENCES CORP DE 5.02 04/28/11
HERBALIFE LTD. E9 5.02,5.07,8.01,9.01 04/28/11
Heritage Financial Group Inc MD 1.01,2.01,9.01 02/18/11 AMEND
HERITAGE OAKS BANCORP CA 2.02,9.01 04/28/11
HERITAGE OAKS BANCORP CA 3.03,5.03,9.01 04/28/11
HIGHLAND BUSINESS SERVICES, INC. NV 2.01,9.01 04/29/11
Highpower International, Inc. DE 5.02 04/25/11
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 04/29/11
HMS HOLDINGS CORP 2.02,8.01,9.01 04/29/11
HORTON D R INC /DE/ DE 2.02,9.01 04/29/11
HS3 TECHNOLOGIES INC. 1.01,9.01 12/10/10
ICONIX BRAND GROUP, INC. DE 1.01,2.01,2.02,9.01 04/26/11
IKONICS CORP 2.02,9.01 04/28/11
Imperial Resources, Inc. 1.01,7.01,9.01 04/28/11
INGLES MARKETS INC NC 2.02,9.01 04/29/11
INSITUFORM TECHNOLOGIES INC DE 2.02,9.01 04/25/11
INTELSAT S.A. N4 8.01,9.01 04/29/11
INTERNATIONAL SHIPHOLDING CORP DE 2.02,5.02,5.07 04/27/11
INTERNATIONAL SILVER INC AZ 9.01 04/25/11
INTERNATIONAL STAR INC NV 1.01,2.03,3.02,9.01 04/26/11
INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01,9.01 04/29/11
INTERPHASE CORP TX 2.02,9.01 04/28/11
IntraLinks Holdings, Inc. DE 5.02,7.01,9.01 04/27/11
INVESTORS TITLE CO NC 2.02,9.01 04/29/11
INVIVO THERAPEUTICS HOLDINGS CORP. NV 1.01,8.01 04/27/11
ISABELLA BANK CORP MI 5.02 04/27/11
ISECURETRAC CORP DE 5.02 04/25/11
ITT Corp IN 2.02,7.01,9.01 04/29/11
J P MORGAN CHASE & CO DE 8.01,9.01 04/29/11
J P MORGAN CHASE & CO DE 8.01,9.01 04/27/11
JACKSON HEWITT TAX SERVICE INC DE 1.01,9.01 04/29/11
JANUS CAPITAL GROUP INC DE 5.07 04/28/11
JEFFERSONVILLE BANCORP NY 5.07 04/26/11
Jingwei International LTD NV 5.02 04/26/11
JOHNSON & JOHNSON NJ 5.07,8.01,9.01 04/28/11
K12 INC DE 1.01,5.02,9.01 04/27/11
KEY ENERGY SERVICES INC MD 2.02,9.01 04/29/11
KEY TECHNOLOGY INC OR 1.01,2.03,9.01 04/26/11
KH FUNDING CO MD 5.02 04/25/11
KINDRED HEALTHCARE, INC DE 8.01,9.01 04/29/11
KIRBY CORP NV 5.02,5.07 04/26/11
KVH INDUSTRIES INC \DE\ DE 2.02,9.01 04/29/11
L-1 IDENTITY SOLUTIONS, INC. DE 8.01,9.01 04/29/11
LACLEDE GROUP INC MO 2.02,7.01,9.01 04/29/11
LaSalle Hotel Properties MD 8.01,9.01 04/26/11
LEAR CORP DE 2.02,7.01,9.01 04/29/11
LEXICON PHARMACEUTICALS, INC./DE DE 5.07 04/28/11
LGL GROUP INC DE 4.01,9.01 04/25/11
LIBERTY PROPERTY TRUST MD 7.01 04/29/11
LIFEPOINT HOSPITALS, INC. 2.02,9.01 04/29/11
LIGAND PHARMACEUTICALS INC DE 1.01,2.03,9.01 04/29/11
Macquarie CNL Global Income Trust, In MD 8.01 04/28/11
MAGELLAN HEALTH SERVICES INC DE 2.02,9.01 04/29/11
MAGELLAN MIDSTREAM PARTNERS LP DE 5.07 04/27/11
Magyar Bancorp, Inc. DE 2.02,9.01 04/29/11
MAINSOURCE FINANCIAL GROUP IN 5.07,7.01,9.01 04/27/11
Majestic Capital, Ltd. 3.01,9.01 04/29/11
MALVERN FEDERAL BANCORP INC X1 2.02,9.01 04/29/11
MANITOWOC CO INC WI 2.02,9.01 04/28/11
MARATHON OIL CORP DE 5.03,9.01 04/27/11
MARATHON OIL CORP DE 5.07 04/27/11
MARINEMAX INC DE 2.02,9.01 04/29/11
MARKEL CORP VA 2.02,9.01 04/29/11
MARSHALL & ILSLEY CORP WI 2.02,9.01 04/29/11
MATERIAL SCIENCES CORP DE 2.02,9.01 04/29/11
MCGRAW-HILL COMPANIES INC NY 5.03,9.01 04/28/11
MDC HOLDINGS INC DE 5.02,5.07,8.01,9.01 04/27/11
MDU RESOURCES GROUP INC DE 8.01 04/26/11
MEMC ELECTRONIC MATERIALS INC DE 5.07 04/28/11
Mercantile Bancorp, Inc. DE 3.01,9.01 04/25/11
MERCER GOLD CORP. NV 5.02 04/27/11
Merck & Co. Inc. NJ 2.02,8.01,9.01 04/26/11
METALS USA HOLDINGS CORP. DE 2.02,9.01 04/26/11
METLIFE INC DE 5.07 04/26/11
MetroCorp Bancshares, Inc. TX 2.02,9.01 04/29/11
MGM Resorts International DE 8.01,9.01 04/29/11
MID WISCONSIN FINANCIAL SERVICES INC WI 5.07 04/29/11
MIDDLEBURG FINANCIAL CORP VA 2.02,5.07,8.01,9.01 04/27/11
MISCOR GROUP, LTD. IN 2.02,9.01 04/29/11
MOLEX INC DE 8.01 04/25/11
Momentive Performance Materials Inc. DE 5.02 04/26/11
MOMENTIVE SPECIALTY CHEMICALS INC. NJ 5.02 04/26/11
MONAR INTERNATIONAL INC. NV 5.02 04/28/11
MOSAIC CO DE 7.01,9.01 04/29/11
MPG Office Trust, Inc. MD 5.02,7.01,8.01,9.01 04/25/11
MPM ACQUISITION CORP 1.01,9.01 04/25/11
MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 04/25/11
MS STRUCTURED SATURNS SERIES 2002-14 DE 8.01,9.01 04/25/11
MSB FINANCIAL CORP. X1 2.02,9.01 04/29/11
MUTUALFIRST FINANCIAL INC MD 5.07,7.01,8.01,9.01 04/27/11
NABORS INDUSTRIES LTD D0 5.02,9.01 04/25/11
Nalco Holding CO 5.07 04/29/11
NATIONAL BANCSHARES CORP /OH/ OH 5.07 04/28/11
NATIONAL HEALTH INVESTORS INC MD 8.01,9.01 04/25/11
NATIONAL PENN BANCSHARES INC PA 5.07,9.01 04/29/11
NB&T FINANCIAL GROUP INC OH 5.07 04/29/11
NCR CORP MD 5.02,5.07,9.01 04/27/11
NEFFS BANCORP INC PA 2.02 04/29/11
NETWORK ENGINES INC DE 2.02,9.01 04/28/11
NeurogesX Inc CA 5.02,9.01 04/27/11
NeurogesX Inc CA 2.02,8.01,9.01 04/29/11
NeurogesX Inc CA 1.01,5.02,9.01 04/26/11
NEWELL RUBBERMAID INC DE 2.02,7.01,9.01 04/29/11
NEWPARK RESOURCES INC DE 2.02,9.01 04/28/11
NEXTERA ENERGY INC FL 2.02,2.03,9.01 04/29/11
NORTHWEST NATURAL GAS CO OR 7.01,9.01 04/29/11
NORTHWESTERN CORP DE 5.02,5.07 04/27/11
NOVELOS THERAPEUTICS, INC. DE 5.02 04/08/11 AMEND
NUMEREX CORP /PA/ PA 1.01,2.03,8.01,9.01 04/25/11
NV ENERGY, INC. NV 2.02,7.01,9.01 04/29/11
Oak Ridge Financial Services, Inc. NC 2.02,9.01 04/26/11
Obscene Jeans Corp. FL 8.01,9.01 04/26/11
OLD LINE BANCSHARES INC MD 5.02 04/26/11
Oncothyreon Inc. DE 1.01,8.01,9.01 04/29/11
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 04/29/11
OneBeacon Insurance Group, Ltd. D0 2.02,9.01 04/29/11
ONLINE RESOURCES CORP DE 8.01,9.01 04/29/11
Onteco Corp NV 4.02,9.01 03/28/11
OPTIMER PHARMACEUTICALS INC 5.02,5.07,9.01 04/25/11
PACIFIC PREMIER BANCORP INC DE 2.01,9.01 02/11/11
PACIFIC WEBWORKS INC NV 4.01,9.01 01/31/11 AMEND
PALMETTO BANCSHARES INC SC 2.02,9.01 04/29/11
Pebblebrook Hotel Trust MD 2.02,9.01 04/28/11
PENNICHUCK CORP NH 8.01,9.01 04/29/11
PENNS WOODS BANCORP INC PA 5.07 04/27/11
PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 04/29/11
PENTAIR INC MN 2.03,9.01 04/28/11
PENTAIR INC MN 5.07 04/28/11
PEOPLES FINANCIAL CORP /MS/ MS 5.07 04/28/11
PERKINELMER INC MA 5.02,5.07,9.01 04/26/11
PILGRIMS PRIDE CORP DE 7.01 04/29/11
PILGRIMS PRIDE CORP DE 7.01 04/29/11
PINNACLE BANKSHARES CORP VA 2.02,9.01 04/28/11
PINNACLE WEST CAPITAL CORP AZ 2.02,7.01,9.01 03/31/11
PITNEY BOWES INC /DE/ DE 2.02,9.01 04/29/11
PITTSBURGH & WEST VIRGINIA RAILROAD PA 5.02,8.01,9.01 04/29/11
Platinum Studios, Inc. CA 5.02 04/23/11
POLYMEDIX, INC DE 5.02 04/29/11
PREFERRED APARTMENT COMMUNITIES INC MD 7.01,9.01 04/29/11
PRESSURE BIOSCIENCES INC MA 5.02 04/28/11
PROGRESSIVE CORP/OH/ OH 2.02,7.01,9.01 04/29/11
PROVIDENT FINANCIAL HOLDINGS INC DE 2.02,7.01,9.01 04/28/11
Puda Coal, Inc. 5.03,8.01,9.01 04/27/11
RADIENT PHARMACEUTICALS Corp DE 3.01,8.01,9.01 04/28/11
RADIENT PHARMACEUTICALS Corp DE 7.01,8.01,9.01 04/28/11
RAIT Financial Trust MD 2.02,9.01 04/29/11
RAMCO GERSHENSON PROPERTIES TRUST MD 1.01,8.01,9.01 04/27/11
RAYMOND JAMES FINANCIAL INC FL 5.02,7.01,9.01 04/28/11
RC2 CORP DE 1.02,3.01,3.02,3.03, 04/29/11
5.02,5.03,9.01
Reach Messaging Holdings, Inc. DE 1.01,2.03,3.02 04/28/11
ReachLocal Inc DE 1.01 04/25/11
RED MOUNTAIN RESOURCES, INC. FL 1.01,8.01 02/18/11
REHABCARE GROUP INC DE 2.02,9.01 04/28/11
RELIABRAND INC. 7.01,9.01 04/29/11
REVA Medical, Inc. DE 2.02,7.01,9.01 04/29/11
ROCKY MOUNTAIN FUDGE CO IN NV 5.02 04/29/11
ROLLINS INC DE 5.07 04/26/11
RT Technologies, Inc. NV 1.01,5.02,9.01 04/29/11
RURBAN FINANCIAL CORP OH 2.02,9.01 04/28/11
Ruths Hospitality Group, Inc. DE 2.02,9.01 04/29/11
S Y BANCORP INC KY 5.07 04/27/11
SALISBURY BANCORP INC CT 2.02,8.01,9.01 04/29/11
SAUL CENTERS INC MD 2.02,9.01 04/28/11
SBA COMMUNICATIONS CORP FL 2.02,8.01,9.01 04/27/11
SCBT FINANCIAL CORP SC 2.02,9.01 04/29/11
SeaCube Container Leasing Ltd. 1.01,2.03,9.01 04/28/11
SENOMYX INC DE 2.02,9.01 04/29/11
SGB International Holdings Inc. A1 1.01,9.01 04/12/11
SHENANDOAH TELECOMMUNICATIONS CO/VA/ VA 1.01,9.01 04/29/11
ShengdaTech, Inc. 3.01,5.02,8.01,9.01 04/20/11
Shire plc 5.03,9.01 04/29/11
SHORE BANCSHARES INC MD 2.02,5.07,9.01 04/26/11
SIMON PROPERTY GROUP INC /DE/ DE 2.02,7.01,9.01 04/29/11
SIMPSON MANUFACTURING CO INC /CA/ DE 2.02,5.07,9.01 04/26/11
SITEL Worldwide Corp DE 8.01,9.01 04/29/11
SL GREEN REALTY CORP MD 8.01 04/27/11
SMART BALANCE, INC. DE 9.01 02/23/11 AMEND
SNAP-ON Inc DE 5.02,5.07,9.01 04/28/11
Sono Resources, Inc. NV 1.01,9.01 04/20/11
SOUTH AMERICAN GOLD CORP. NV 1.01,2.01,5.06,9.01 04/25/11
SOUTHERN CALIFORNIA EDISON CO CA 5.02,5.07,9.01 04/28/11
SOUTHERN MICHIGAN BANCORP INC MI 2.02,9.01 04/29/11
Southern National Bancorp of Virginia VA 2.02,9.01 04/28/11
SOUTHWEST AIRLINES CO TX 1.01,1.02,2.03,9.01 04/28/11
SOUTHWESTERN ENERGY CO DE 7.01 04/29/11
SOUTHWESTERN ENERGY CO DE 2.02,9.01 04/29/11
SOUTHWESTERN ENERGY CO DE 7.01 04/29/11
ST. BERNARD SOFTWARE, INC. DE 5.02 04/26/11
STAMPS.COM INC DE 2.02,9.01 04/28/11
STANDARD REGISTER CO OH 2.02,9.01 04/28/11
STAR BUFFET INC DE 3.01 04/25/11
STATE BANCORP INC NY 8.01,9.01 04/28/11
STERLING BANCORP NY 1.01,9.01 04/27/11
STERLING GROUP VENTURES INC NV 5.02 04/27/11
STRYKER CORP MI 5.07 04/26/11
STURM RUGER & CO INC DE 5.07 04/27/11
SUBAYE, INC. 8.01 04/27/11
SUFFOLK BANCORP NY 5.02 04/26/11
SURREY BANCORP NC 7.01,9.01 04/27/11
TANGER FACTORY OUTLET CENTERS INC NC 7.01 04/28/11
TC PIPELINES LP DE 1.01,7.01,9.01 04/29/11
TELEDYNE TECHNOLOGIES INC DE 2.01,9.01 02/12/11 AMEND
TENNANT CO MN 5.07 04/28/11
Tennessee Commerce Bancorp, Inc. TN 2.02,9.01 04/29/11
TESCO CORP 7.01,9.01 04/25/11
TESORO CORP /NEW/ DE 1.01,2.01,2.03,5.03, 04/26/11
9.01
TESORO LOGISTICS LP DE 1.01,2.01,2.03,3.02, 04/25/11
5.02,5.03,9.01
TEXAS INDUSTRIES INC DE 5.02,8.01,9.01 04/28/11
TEXAS PACIFIC LAND TRUST 2.02,9.01 04/29/11
TF FINANCIAL CORP DE 5.07 04/27/11
Titan Machinery Inc. DE 8.01,9.01 04/29/11
TMS International Corp. DE 7.01,9.01 04/29/11
TNP Strategic Retail Trust, Inc. MD 8.01 04/27/11
TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 04/27/11
TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 04/28/11
TRACTOR SUPPLY CO /DE/ DE 5.07 04/29/11
Tremont Fair, Inc. NV 3.02,3.03,5.02,5.03, 04/28/11
9.01
TYLER TECHNOLOGIES INC DE 2.02 04/28/11
Uni-Pixel DE 8.01,9.01 04/29/11
Unilife Corp DE 2.02,7.01,9.01 04/28/11
UNION FIRST MARKET BANKSHARES CORP VA 2.02,5.03,5.07,8.01, 04/26/11
9.01
United Community Bancorp X1 8.01,9.01 04/28/11
UNITED ONLINE INC DE 5.02 04/25/11
UNITED ONLINE INC DE 8.01 04/29/11
UNITED SECURITY BANCSHARES CA 2.02,9.01 04/28/11
United States 12 Month Natural Gas Fu 7.01,9.01 04/29/11
United States 12 Month Oil Fund, LP 7.01,9.01 04/29/11
United States Brent Oil Fund, LP DE 7.01,9.01 04/29/11
United States Commodity Index Funds T DE 7.01,9.01 04/29/11
United States Gasoline Fund, LP DE 7.01,9.01 04/29/11
United States Heating Oil Fund, LP DE 7.01,9.01 04/29/11
United States Natural Gas Fund, LP 7.01,9.01 04/29/11
United States Oil & Gas Corp DE 2.02,9.01 04/29/11
United States Oil Fund, LP DE 7.01,8.01 04/29/11
United States Short Oil Fund, LP DE 7.01,9.01 04/29/11
UNIVERSAL AMERICAN CORP. NY 2.01,3.01,5.01,5.02 04/29/11
Universal Bioenergy, Inc. 8.01,9.01 04/29/11
UNIVERSAL TRAVEL GROUP NV 4.01,9.01 04/28/11
Universal Truckload Services, Inc. MI 2.02,9.01 04/28/11
UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 8.01,9.01 04/25/11
V F CORP PA 2.02,7.01,9.01 04/29/11
VALLEY FINANCIAL CORP /VA/ VA 2.02,9.01 04/29/11
VALLEY NATIONAL BANCORP NJ 8.01,9.01 04/28/11
VALLEY NATIONAL BANCORP NJ 8.01,9.01 04/28/11
VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 04/26/11
Ventura Assets LTD CO 4.01 04/25/11
VIAD CORP DE 2.02,9.01 04/29/11
VISTA GOLD CORP B0 7.01 04/29/11
VITRAN CORP INC A6 5.07 04/29/11
Vivakor, Inc. NV 9.01 04/28/11
Volcom Inc 1.01,9.01 04/25/11
VSE CORP DE 2.02,9.01 04/28/11
W&T OFFSHORE INC TX 1.01,7.01,9.01 04/25/11
WABCO Holdings Inc. DE 2.02,7.01,9.01 04/29/11
WARWICK VALLEY TELEPHONE CO NY 9.01 04/29/11
WASHINGTON BANKING CO WA 2.02,8.01,9.01 04/29/11
WASHINGTON MUTUAL, INC WA 7.01,9.01 04/28/11
WASHINGTON TRUST BANCORP INC RI 5.02,5.07 04/26/11
WATTS WATER TECHNOLOGIES INC DE 2.01,2.03,9.01 04/28/11
WEBSTER FINANCIAL CORP DE 5.07 04/28/11
WELLS FARGO & CO/MN DE 9.01 04/29/11
WERNER ENTERPRISES INC NE 7.01,9.01 04/28/11
WEST BANCORPORATION INC IA 5.07,8.01 04/28/11
WESTBRIDGE RESEARCH GROUP CA 1.01,9.01 04/29/11
WESTBRIDGE RESEARCH GROUP CA 1.01,9.01 04/29/11
WESTWOOD ONE INC /DE/ DE 1.01,2.01,7.01,9.01 04/29/11
WEYCO GROUP INC WI 2.02,9.01 04/29/11
WEYERHAEUSER CO WA 2.02,9.01 04/29/11
WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 04/29/11
WHITE MOUNTAINS INSURANCE GROUP LTD D0 7.01,9.01 04/29/11
WHITNEY HOLDING CORP LA 5.04,9.01 04/27/11
WHITNEY HOLDING CORP LA 5.07,9.01 04/29/11
WILLIAM LYON HOMES DE 2.02 04/28/11
WINDGEN ENERGY, INC. UT 8.01,9.01 04/29/11
WISCONSIN ELECTRIC POWER CO WI 5.07 04/28/11
WMS INDUSTRIES INC /DE/ DE 2.02,9.01 04/26/11
World Omni Auto Leasing LLC DE 1.01,8.01,9.01 04/27/11
WORLD WRESTLING ENTERTAINMENTINC DE 8.01,9.01 04/28/11
WORLD WRESTLING ENTERTAINMENTINC DE 5.07 04/29/11
WVS FINANCIAL CORP PA 8.01,9.01 04/29/11
YRC Worldwide Inc. DE 1.01,9.01 04/29/11
ZION OIL & GAS INC DE 8.01,9.01 04/29/11
ZIX CORP TX 5.02 04/26/11
Zolon Corp FL 4.01,9.01 04/27/11 AMEND
http://www.sec.gov/news/digest/2011/dig050211.htm
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