Petition to Lift Temporary Suspension of Michael C. Pattision, CPA, Denied
The Commission has denied the petition filed by Michael C. Pattison, CPA, to lift the temporary suspension imposed on him pursuant to Commission Rule of Practice 102(e)(3). The Commission has also set the matter down for a hearing before an administrative law judge.
Pattison was temporarily suspended from appearing or practicing before the Commission after a jury in the U.S. District Court for the Northern District of California found that Pattison had violated the federal securities laws by circumventing his company's internal accounting controls and falsifying books, records, and accounts in connection with the backdating of stock options from 2000 to 2005. The district court permanently enjoined Pattison from violating the federal securities laws. (Rel. 34-64598; AAE Rel. 3287; File No. 3-14323)
SEC Charges FDA Chemist with Additional Insider Trading
The Commission today announced the filing of an amended complaint in its insider trading action against a chemist who worked at the U.S. Food and Drug Administration (FDA). The amended complaint, filed in the U.S. District Court for the District of Maryland (Greenbelt Division), charges Cheng Yi Liang with trading in advance of a 28th drug approval announcement and through an additional brokerage account in the name of a sixth nominee.
On March 29, 2011, the SEC filed a complaint in federal court in Maryland alleging that Liang illegally traded in advance of at least 27 public announcements about FDA drug approval decisions involving 19 publicly traded companies, garnering more than $3.6 million in illicit profits and avoided losses. Today’s amended complaint alleges that Liang traded in advance of a 28th announcement involving a 20th publicly-traded company, XenoPort, Inc.
According to the SEC’s amended complaint, Liang accessed a confidential FDA database that contained critical documents and information about the FDA’s review of Horizant, a drug developed by XenoPort to treat restless leg syndrome. Between February 22 and March 24, 2011, Liang purchased 43,000 shares of XenoPort in accounts in the name of three nominees. On March 29, 2011, Liang was charged by the SEC and arrested by the criminal authorities. One week later, on April 6, 2011, XenoPort announced that the FDA had approved Horizant, which caused XenoPort’s shares to rise 56% and resulted in imputed profits to Liang of over $126,000.
The amended complaint further alleges that Liang used an eighth brokerage account in the name of his 87-year-old father, Zhaozheng Liang, to trade beginning in January 2011 and in advance of the XenoPort and Clinical Data, Inc. announcements. The amended complaint names Zhaozheng Liang as a relief defendant.
The SEC’s amended complaint alleges that Liang violated Section 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and seeks a permanent injunction against future violations, disgorgement of unlawful trading profits and losses avoided plus prejudgment interest, and a financial penalty. The SEC’s amended complaint names Liang’s wife Yi Zhuge and the account holders for the eight trading accounts Liang used – Liang’s mother Hui Juan Chen, his son Andrew Liang, his father Zhaozheng Liang, Shuhua Zhu, Zhongshan Chen, and Honami Toda – as relief defendants for the purpose of recovering ill-gotten funds to which they have no legitimate claim.
The SEC’s investigation is continuing. [SEC v. Cheng Yi Liang, et al., Civil Action No. 8:11-cv-00819-RWT (D. Md.)] (LR-21987)
SEC Obtains Emergency Asset Freeze to Protect Investor Funds Raised by Association for Betterment through Education and Love, Inc. and Anthony O. Degregorio, Sr. through Unlawful Unregistered Securities Offerings
The Securities and Exchange Commission announced today that it charged Association for Betterment through Education and Love, Inc. (ABEL) and its principal, Anthony O. DeGregorio, Sr., age 81 and resident of New Jersey, with offering and selling securities in unregistered transactions and obtained an emergency court order to halt the offerings and preserve assets for investors. The Complaint also names Margherita DeGregorio as a relief defendant.
The Commission's complaint, filed in the District of New Jersey, alleges that ABEL and DeGregorio have raised more than $1.3 million through unregistered securities offerings since ABEL’s inception in 1989, obtaining more than $1 million in the last four years through offering purported “CDs.” According to the Complaint, ABEL’s purported purpose was to invest funds raised in securities offerings and use investment profits to pay a “guaranteed” return to investors, and donate a portion to charity. The Complaint alleges that ABEL and DeGregorio offered securities in the form of charitable gift annuities, without complying with state registration requirements, and offered purported CDs that carried above-market interest rates. The Complaint also charges that, at times, ABEL used the proceeds from new offerings of securities to make promised interest payments to earlier investors.
The Complaint charges ABEL and DeGregorio with violating Sections 5(a) and (c) of the Securities Act of 1933.
Judge Freda L. Wolfson of the United States District Court for the District of New Jersey issued a temporary restraining order, which prohibits ABEL and DeGregorio from committing further violations of the federal securities laws and places a freeze on their assets and the assets of Margherita DeGregorio. In its enforcement action, the Commission is seeking additional relief, including orders enjoining ABEL and DeGregorio, preliminarily and permanently, from committing future violations of the foregoing federal securities laws, and a final judgment ordering ABEL and DeGregorio to disgorge their ill-gotten gains plus prejudgment interest, and assessing civil penalties against them. [SEC v. Association for Betterment Through Education and Love, Inc., et al., Civil Action No. 11-Cv-3183 (FLW) (D.N.J.)] (LR-21988)
SEC Charges Two Individuals With Orchestrating $560,000 Securities Fraud Through Their Company, Sovereign International Group, LLC
The Securities and Exchange Commission today charged Ronald Abernathy and Arthur Weiss with orchestrating a $560,000 securities fraud through their company, Sovereign International Group, LLC (SIG).
The SEC alleges that Abernathy and Weiss fraudulently obtained investor deposits by telling investors that they would use those funds to trade securities. According to the complaint, they used no investor funds to trade securities. Instead, Abernathy and Weiss misappropriated investor funds for their own personal use. Several investors have demanded that Abernathy and Weiss return their money. With the exception of a limited number of investors who received Ponzi-like payments, Abernathy and Weiss have failed to repay these investors. Instead, they have lulled the investors with various excuses for the delay and by promising repayment in the near future.
According to the SEC’s complaint filed in the Western District of Michigan, Abernathy and Weiss told investors that funds invested by SIG were earning a profit. The SEC further alleges that Abernathy and Weiss did not invest any of those funds and none of the investors earned any actual profits. Additionally, at different times during the scheme, Abernathy and Weiss have told investors that SIG is engaged in the trading of securities, receiving fees in connection with the monetization of multi-million and multi-billion dollar financial instruments, brokering the sale of fine art and, most recently, brokering the sale of and/or refining precious metal ore concentrate. They also falsely told prospective investors that Abernathy was appointed “the director of a highly exclusive group of investors who are purchasing a Major League Baseball Franchise” and that this group of investors includes billionaires Paul Allen (co-founder of Microsoft) and Ted Turner (founder of CNN). Despite their repeated promises of imminent multimillion dollar payouts to SIG from these purported business ventures, SIG, in its entire existence, has not earned any profits, realized any returns or generated any revenue from any business operations. SIG’s only income has consisted of money received from investors.
The SEC’s complaint charges Abernathy, Weiss and SIG with securities fraud in violation of Section 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 Commission seeks permanent injunctive relief, disgorgement of ill-gotten gains with prejudgment interest, and the imposition of monetary penalties against all defendants. [SEC v. Ronald Abernathy, Arthur Weiss and Sovereign International Group, LLC, No. 1:11-cv-580 (W.D. Mich.)] (LR-21989)
Altegris Advisors, L.L.C. and Northern Lights Fund Trust
A notice has been issued giving interested persons until June 27, 2011, to request a hearing on an application filed by Altegris Advisors, L.L.C. and Northern Lights Fund Trust for an order exempting them from Section 15(a) of the Investment Company 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. (IC-29689 – June 1)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by NYSE Amex to amend the fees relating to the sale of trading licenses (SR-NYSEAmex-2011-35) 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 June 6. (Rel. 34-64581)
A proposed rule change filed by New York Stock Exchange to amend the Exchange price list (SR-NYSE-2011-23) 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 June 6. (Rel. 34-64582)
A proposed rule change filed by NASDAQ OMX BX (SR-BX-2011-031) to amend the Fee Schedule of the BOX 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 June 6. (Rel. 34-64583)
A proposed rule change filed by NASDAQ OMX PHLX to conform Exchange rules (SR-Phlx-2011-69) 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 June 6. (Rel. 34-64584)
A proposed rule change filed by EDGX Exchange (SR-EDGX-2011-16) relating to amendments to the EDGX Exchange, Inc. fee schedule 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 June 6. (Rel. 34-64586)
A proposed rule change filed by NASDAQ OMX PHLX to permit the listing of series with $0.50 and $1 strike price increments on certain options used to calculate volatility indexes (SR-Phlx-2011-74) 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 June 6. (Rel. 34-64589)
A proposed rule change filed by NASDAQ OMX PHLX to allow qualified Exchange members to act as off-floor option specialists in one or more options classes (SR-Phlx-2011-79) 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 June 6. (Rel. 34-64591)
A proposed rule change filed by the Chicago Board Options Exchange to amend CBOE Stock Exchange transaction fees to change the maker/taker fee to a flat fee (SR-CBOE-2011-051) 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 June 6. (Rel. 34-64592)
A proposed rule change filed by NYSE Arca amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to introduce two new pricing tiers, Investor Tier 1 and Investor Tier 2 (SR-NYSEArca-2011-34) 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 June 6. (Rel. 34-64593
A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-76) relating to the appeal fee has become immediately 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 June 6. (Rel. 34-64594)
Approval of Proposed Rule Change
The Commission approved a proposed rule change submitted by the Financial Industry Regulatory Authority (SR-FINRA-2011-020), pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, relating to FINRA’s Trading Activity Fee rate for transactions in covered equity securities. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64590)
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-3ASR COVENTRY HEALTH CARE INC, 6705 ROCKLEDGE DRIVE, SUITE 900, BETHESDA, MD, 20817, 3015810600 - 0 ($0.00) Non-Convertible Debt, (File 333-174653 - Jun. 2) (BR. 01B) S-1 Alternative Energy & Environmental Solutions, Inc., 159 NORTH STATE STREET, NEWTOWN, PA, 18940, 215-968-1600 - 2,025,032 ($5,062,580.00) Equity, (File 333-174658 - Jun. 2) (BR. 01B) S-8 OCEAN BIO CHEM INC, 4041 SW 47TH AVE, FORT LAUDERDALE, FL, 33314, 9545876280 - 0 ($2,167,500.00) Equity, (File 333-174659 - Jun. 2) (BR. 06C) S-4 BCB BANCORP INC, 860 BROADWAY, BAYONNE, NJ, 07002, 0 ($3,104,000.00) Equity, (File 333-174660 - Jun. 2) (BR. 07A) S-1 Groupon, Inc., 600 WEST CHICAGO AVENUE, SUITE 830, CHICAGO, IL, 60610, (312) 604-5515 - 0 ($750,000,000.00) Equity, (File 333-174661 - Jun. 2) (BR. ) S-8 REGENCY CENTERS CORP, ONE INDEPENDENT DRIVE, SUITE 114, JACKSONVILLE, FL, 32202, 9045987000 - 0 ($186,381,682.00) Equity, (File 333-174662 - Jun. 2) (BR. 08C) S-8 Medical Care Technologies Inc., ROOM 815, NO. 2 BUILDING, BEIXIAOJIE, DONGZHIMEN NEI, BEIJING, F4, 10009, (8610)6407 0580 - 21,000,000 ($210,000.00) Equity, (File 333-174663 - Jun. 2) (BR. 06) S-8 SANDY SPRING BANCORP INC, 17801 GEORGIA AVE, OLNEY, MD, 20832, 3017746400 - 300,000 ($5,649,000.00) Equity, (File 333-174664 - Jun. 2) (BR. 07B) S-8 KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 - 0 ($17,435,000.00) Equity, (File 333-174665 - Jun. 2) (BR. 04C) S-1 CK VINEYARDS, INC., 39730 CALLE CONTENTO, TEMECULA, CA, 92591-4014, 760-310-3356 - 50,000,000 ($25,000,000.00) Equity, (File 333-174666 - Jun. 2) (BR. ) S-8 JUNIATA VALLEY FINANCIAL CORP, 2 SOUTH MAIN ST, P O BOX 66, MIFFLINTOWN, PA, 17059-0066, 7174368211 - 300,000 ($5,094,000.00) Equity, (File 333-174667 - Jun. 2) (BR. 07B) S-3ASR SOVRAN SELF STORAGE INC, 6467 MAIN ST, WILLIAMSVILLE, NY, 14221, 7166331850 - 0 ($0.00) Other, (File 333-174668 - Jun. 2) (BR. 08C) S-8 Arlington Asset Investment Corp., 7033730200 - 545,097 ($15,360,834.00) Equity, (File 333-174669 - Jun. 2) (BR. 08B) S-8 ANSYS INC, 275 TECHNOLOGY DRIVE, SOUTHPOINTE, CANONSBURG, PA, 15317, 4127643304 - 5,200,000 ($293,072,000.00) Equity, (File 333-174670 - Jun. 2) (BR. 03C) S-8 SXC Health Solutions Corp., 2441 WARRENVILLE ROAD, SUITE 610, LISLE, IL, 60532, 630-577-3100 - 1,800,000 ($105,534,000.00) Equity, (File 333-174671 - Jun. 2) (BR. 01A) S-8 RED ROBIN GOURMET BURGERS INC, 6312 FIDDLER'S GREEN CIRCLE, GREENWOOD VILLAGE, CO, 80111, 3038466000 - 0 ($8,992,500.00) Equity, (File 333-174672 - Jun. 2) (BR. 05C) S-8 CYPRESS SEMICONDUCTOR CORP /DE/, 198 CHAMPION COURT, SAN JOSE, CA, 95134, 4089432600 - 16,360,995 ($376,711,909.88) Equity, (File 333-174673 - Jun. 2) (BR. 10A) S-1 Virtual Learning Company, Inc., 60 KNOLLS CRESCENT, SUITE 9M, BRONX, NY, 10463, (973) 768 - 4181 - 1,000,000 ($500,000.00) Equity, (File 333-174674 - Jun. 2) (BR. ) F-1 ALTO PALERMO SA APSA, HIPOLITO YRIGOYEN 476 PISO 2, 54-11-4344-4600, BUENOS AIRES ARGENTI, C1, 00000, 54-11-43-44-4600 - 0 ($500,000,000.00) Other, (File 333-174675 - Jun. 2) (BR. 08B)
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 Abingdon Futures Fund LP NY 3.02 06/01/11 ABIOMED INC DE 5.02 05/26/11 ACE Ltd V8 5.02,9.01 06/02/11 AES CORP DE 8.01,9.01 06/01/11 AFFYMETRIX INC DE 5.02 05/26/11 AIR METHODS CORP DE 1.01,7.01,9.01 06/01/11 AKORN INC LA 1.01,2.03,3.02,8.01, 06/01/11 9.01 ALCOA INC PA 7.01,9.01 06/02/11 ALEXANDERS INC DE 5.07 05/26/11 ALEXANDERS INC DE 5.02,9.01 05/26/11 ALICO INC FL 5.02 06/02/11 ALLIED AMERICAN STEEL CORP. NV 8.01 06/01/11 AlphaMetrix Managed Futures LLC (Aspe DE 3.02 06/01/11 AMARIN CORP PLC\UK X0 8.01,9.01 06/01/11 AMB PROPERTY CORP MD 5.07 06/01/11 AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 8.01 06/02/11 American Realty Capital Trust, Inc. DE 2.01,5.07 05/24/11 ANGEION CORP/MN MN 5.02,5.07 05/26/11 ANIXTER INTERNATIONAL INC DE 1.01,9.01 05/31/11 AP PHARMA INC /DE/ DE 3.01 06/02/11 Apple REIT Ten, Inc. VA 1.01 05/27/11 Approach Resources Inc DE 5.07 06/01/11 APRICUS BIOSCIENCES, INC. NV 5.02,9.01 05/30/11 ARAMARK CORP DE 9.01 03/18/11 AMEND ARCH COAL INC DE 7.01,8.01,9.01 05/31/11 ARGAN INC DE 8.01,9.01 05/31/11 ARGENTEX MINING CORP DE 3.02,8.01,9.01 05/27/11 Armour Residential REIT, Inc. MD 1.01,8.01,9.01 06/01/11 ARTHROCARE CORP DE 7.01 06/01/11 ASSURANT INC 8.01 06/01/11 ATHENA SILVER CORP CA 3.02,9.01 04/01/11 ATP OIL & GAS CORP TX 5.07 05/26/11 AUTONATION, INC. DE 7.01,9.01 06/02/11 Avago Technologies LTD U0 8.01,9.01 05/31/11 Bank of the Carolinas CORP NC 5.02 05/27/11 BankUnited, Inc. DE 8.01,9.01 06/02/11 BEFUT International Co., Ltd. NV 4.02 06/02/11 Behringer Harvard Mid-Term Value Enha TX 2.01,7.01,9.01 05/26/11 Bella Petrellas Holdings, Inc. FL 8.01 05/12/10 BI-OPTIC VENTURES INC 9.01 05/20/11 BLOUNT INTERNATIONAL INC DE 5.07 05/26/11 BOSTON PROPERTIES INC DE 8.01,9.01 06/02/11 BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 06/02/11 BRAINSTORM CELL THERAPEUTICS INC 8.01,9.01 06/02/11 BRANDYWINE REALTY TRUST MD 5.07 06/01/11 BRISTOL ENERGY FUND LP NY 3.02 06/01/11 BRUKER CORP DE 5.02,9.01 06/02/11 Buckingham Exploration Inc. 3.02,9.01 04/18/11 CABOT OIL & GAS CORP DE 5.02 06/01/11 CAMERON INTERNATIONAL CORP DE 1.01,2.03,9.01 06/02/11 CAPSTEAD MORTGAGE CORP MD 1.01,8.01,9.01 06/01/11 CARBONICS CAPITAL CORP DE 1.01,9.01 06/02/11 CATO CORP DE 5.07 06/02/11 Cavico Corp 3.01,9.01 05/26/11 CDEX INC NV 1.01,3.02,9.01 05/27/11 CEDAR FAIR L P DE 8.01,9.01 06/02/11 Celldonate Inc. NV 5.02 05/09/11 CelLynx Group, Inc. NV 1.01,3.02,9.01 05/18/11 Celsion CORP DE 1.01,9.01 05/26/11 CHARMING SHOPPES INC PA 2.02,9.01 06/02/11 CHARTER FINANCIAL CORP/GA 8.01,9.01 05/31/11 China Digital Animation Development, NY 1.01,5.01,5.05,9.01 05/27/11 Chrysler Financial Auto Securitizatio 8.01 06/01/11 Chrysler Financial Auto Securitizatio 8.01 06/01/11 CITIZENS FIRST CORP KY 7.01,9.01 06/01/11 CITRIX SYSTEMS INC DE 5.02,5.07,9.01 05/26/11 CLAIRES STORES INC DE 2.02,9.01 06/01/11 Clearwire Corp /DE DE 7.01 06/02/11 COGNIZANT TECHNOLOGY SOLUTIONS CORP 5.07,9.01 06/02/11 COINSTAR INC DE 1.01,9.01 05/31/11 COLLECTIVE BRANDS, INC. DE 8.01 06/02/11 Comstock Homebuilding Companies, Inc. DE 7.01,9.01 06/02/11 Constant Contact, Inc. DE 5.02,5.07,9.01 05/31/11 COOPER COMPANIES INC DE 2.02,9.01 06/02/11 Cooper Industries plc 1.01,1.02,2.03,9.01 05/26/11 COPART INC CA 2.02,9.01 06/01/11 COWEN GROUP, INC. 2.01 05/26/11 CRI HOTEL INCOME PARTNERS L P DE 1.01,9.01 06/02/11 CYBERONICS INC DE 2.02,9.01 06/01/11 CYTOKINETICS INC 8.01,9.01 06/02/11 DAKTRONICS INC /SD/ SD 7.01,9.01 06/02/11 DAWSON GEOPHYSICAL CO TX 8.01 05/26/11 DEARBORN BANCORP INC /MI/ MI 8.01 06/02/11 DECKERS OUTDOOR CORP DE 5.07 05/31/11 dELiAs, Inc. DE 1.01,2.03,8.01,9.01 05/26/11 DemandTec, Inc. DE 5.03,9.01 05/31/11 DENDREON CORP DE 5.02,8.01 06/02/11 DEPOMED INC CA 5.07,8.01,9.01 05/26/11 Diamond Foods Inc DE 2.02,9.01 06/02/11 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 06/02/11 Diamond Information Institute NJ 4.01,9.01 06/01/11 AMEND Diamond Information Institute NJ 4.01,9.01 06/01/11 AMEND DiamondRock Hospitality Co 2.01,9.01 06/01/11 Domark International Inc. NV 5.02 06/01/11 DRI CORP NC 7.01,9.01 06/02/11 DURECT CORP DE 5.02 05/26/11 DYCOM INDUSTRIES INC FL 7.01,9.01 06/02/11 DYNAMIC MATERIALS CORP DE 5.07 05/26/11 DYNAMIC MATERIALS CORP DE 5.02 02/15/11 AMEND EchoStar CORP NV 1.01,2.03,9.01 06/01/11 ECO VENTURES GROUP, INC. NV 2.01 05/27/11 Ecoemissions Solutions Inc. DE 5.02,8.01,9.01 06/01/11 EDELMAN FINANCIAL GROUP INC. TX 5.02,5.03,5.07,8.01, 05/26/11 9.01 EDIETS COM INC DE 5.03,9.01 05/31/11 Electromed, Inc. MN 5.02,9.01 06/02/11 EMCOR GROUP INC DE 5.07 06/02/11 EMCORE CORP NJ 3.02 05/31/11 EMERGING CTA PORTFOLIO LP NY 3.02 06/01/11 EMERGING CTA PORTFOLIO LP NY 1.01,9.01 05/31/11 EMERGING MEDIA HOLDINGS INC NV 1.02,5.02 05/31/11 ENCISION INC CO 2.02,9.01 06/01/11 ENDOCYTE INC DE 5.02,5.07,9.01 05/26/11 Ensco plc 1.01,2.03 05/31/11 ENTRAVISION COMMUNICATIONS CORP DE 1.01,5.07,9.01 05/26/11 ENVIRONMENTAL TECTONICS CORP PA 4.01,9.01 05/31/11 ExlService Holdings, Inc. DE 1.01,2.03 05/26/11 EXPONENT INC DE 8.01,9.01 06/01/11 EXPRESS SCRIPTS INC DE 7.01 05/31/11 Federal Home Loan Bank of Atlanta X1 2.03 06/02/11 Federal Home Loan Bank of Chicago X1 2.03 05/31/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/31/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/31/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 06/02/11 Federal Home Loan Bank of New York X1 2.03,9.01 05/31/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/31/11 Federal Home Loan Bank of San Francis X1 2.03 05/27/11 Federal Home Loan Bank of Seattle 2.03 05/30/11 Federal Home Loan Bank of Topeka 2.03,9.01 05/31/11 FelCor Lodging LP DE 8.01 05/26/11 FelCor Lodging Trust Inc MD 8.01 05/26/11 FIRST BANCORP /PR/ PR 1.01,3.02,9.01 05/30/11 First California Financial Group, Inc DE 5.02,9.01 05/26/11 FIRST INDUSTRIAL REALTY TRUST INC MD 8.01,9.01 05/31/11 FIRST INDUSTRIAL REALTY TRUST INC MD 9.01 06/02/11 Freescale Semiconductor Holdings I, L D0 3.03,8.01 05/26/11 Fresh Market, Inc. DE 2.02,7.01,9.01 06/02/11 Freshwater Technologies Inc. NV 2.01,3.02,5.01,5.02, 06/01/11 9.01 FSP PHOENIX TOWER CORP 1.01,9.01 05/31/11 FTI CONSULTING INC MD 5.07 06/01/11 FTI CONSULTING INC MD 5.03,9.01 06/01/11 FUELCELL ENERGY INC DE 8.01,9.01 05/31/11 GALECTIN THERAPEUTICS INC NV 5.02,5.03,5.07,8.01, 05/26/11 9.01 GAP INC DE 7.01,9.01 06/02/11 GARTNER INC DE 5.07 06/02/11 GASTAR EXPLORATION LTD 7.01,9.01 06/02/11 GENTA INC DE/ DE 8.01,9.01 06/02/11 Global Pharm Holdings Group, Inc. DE 8.01,9.01 06/02/11 GLOWPOINT INC DE 5.02,5.07,9.01 06/01/11 GOLDRICH MINING CO AK 7.01,9.01 05/31/11 Golub Capital BDC, Inc. DE 5.02,7.01,9.01 06/01/11 GRAY TELEVISION INC GA 5.07 06/01/11 GREEN BANKSHARES, INC. TN 5.03,9.01 05/31/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 06/02/11 GUIDED THERAPEUTICS INC DE 5.02 06/02/11 H&E Equipment Services, Inc. DE 7.01 06/02/11 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 06/02/11 HCP, INC. MD 8.01 06/01/11 HEALTH MANAGEMENT ASSOCIATES INC DE 5.02 06/02/11 HealthMarkets, Inc. DE 1.01,9.01 05/27/11 HealthSpring, Inc. DE 5.07 06/02/11 HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02,5.07 05/26/11 HERITAGE FINANCIAL CORP /WA/ WA 5.03,5.07,9.01 06/01/11 High Plains Gas, Inc. NV 1.01,9.01 06/02/11 Home Federal Bancorp, Inc. MD 8.01,9.01 05/31/11 Homeland Security Capital CORP DE 5.02 05/20/11 AMEND Horizon Lines, Inc. 1.01,9.01 06/01/11 HQ SUSTAINABLE MARITIME INDUSTRIES, I DE 3.01,4.01,7.01,9.01 05/26/11 IAC/INTERACTIVECORP DE 8.01,9.01 05/30/11 Idle Media, Inc. NV 8.01,9.01 06/02/11 ImmunoCellular Therapeutics, Ltd. DE 8.01,9.01 06/02/11 INERGY L P DE 1.01,7.01,9.01 06/01/11 INSIGHT ENTERPRISES INC DE 8.01,9.01 05/26/11 INSITE VISION INC DE 5.07 06/01/11 INTEGRA BANK CORP IN 7.01 06/01/11 INTERNATIONAL TEXTILE GROUP INC DE 1.01,2.03 06/02/11 INTERSIL CORP/DE DE 1.01 05/31/11 Interval Leisure Group, Inc. DE 7.01,9.01 06/01/11 INVESTMENT TECHNOLOGY GROUP INC DE 8.01 06/01/11 INX Inc DE 3.01,9.01 06/02/11 IPC The Hospitalist Company, Inc. DE 5.02,5.07,9.01 05/26/11 ISLE OF CAPRI CASINOS INC DE 2.02,9.01 06/02/11 JONES GROUP INC PA 1.01,2.01,7.01,9.01 06/02/11 JOY GLOBAL INC DE 2.02,7.01,9.01 06/02/11 Kallo Inc. NV 5.07 06/02/11 KEY ENERGY SERVICES INC MD 7.01 06/02/11 KOHLS Corp WI 2.02,9.01 06/02/11 KV PHARMACEUTICAL CO /DE/ DE 7.01 06/02/11 LECTEC CORP /MN/ MN 1.01,7.01,9.01 05/31/11 LSB INDUSTRIES INC DE 1.01,2.03,8.01,9.01 06/02/11 MACE SECURITY INTERNATIONAL INC DE 8.01,9.01 06/02/11 MAGNUM HUNTER RESOURCES CORP DE 5.01 06/02/11 MARATHON OIL CORP DE 8.01 05/31/11 MARSHALL EDWARDS INC DE 1.01,5.02,7.01,9.01 06/01/11 MCG CAPITAL CORP DE 5.07 06/01/11 MEDICINES CO /DE DE 5.05,5.07 05/26/11 METROPCS COMMUNICATIONS INC DE 5.07 05/26/11 MID AMERICA APARTMENT COMMUNITIES INC TN 1.01,7.01,9.01 06/01/11 Millburn Multi-Markets Fund L.P. DE 3.02 06/01/11 Millennium India Acquisition CO Inc. DE 8.01,9.01 06/02/11 MILLER INDUSTRIES INC /TN/ TN 5.07 05/29/11 MONAR INTERNATIONAL INC. NV 7.01,9.01 06/02/11 MOVADO GROUP INC NY 2.02,9.01 06/02/11 NASDAQ OMX GROUP, INC. DE 5.07 05/26/11 Native American Energy Group, Inc. DE 5.02 05/31/11 Neiman Marcus, Inc. DE 2.02,7.01 06/02/11 Neogenix Oncology Inc MD 5.02,9.01 05/26/11 NETSUITE INC 5.07 05/26/11 NEW YORK COMMUNITY BANCORP INC DE 5.07 06/02/11 NIVS IntelliMedia Technology Group, I DE 3.01,7.01,9.01 05/31/11 NORDSTROM INC WA 7.01,9.01 06/02/11 NORTHSIGHT CAPITAL, INC. NV 1.01,3.02,5.01,5.02, 06/02/11 9.01 NORTHWEST NATURAL GAS CO OR 5.07,8.01 05/26/11 NOVADEL PHARMA INC DE 8.01,9.01 06/02/11 NTS MORTGAGE INCOME FUND DE 1.01,9.01 05/27/11 NUPATHE INC. DE 7.01,9.01 06/02/11 OCEANFIRST FINANCIAL CORP DE 7.01,9.01 06/02/11 Och-Ziff Capital Management Group LLC DE 7.01 06/02/11 Oculus Innovative Sciences, Inc. CA 2.02,9.01 06/02/11 OMEGA HEALTHCARE INVESTORS INC MD 7.01,9.01 06/02/11 OMEROS CORP WA 5.07 05/27/11 ONCOGENEX PHARMACEUTICALS, INC. DE 5.02,5.07 05/26/11 ONCOSEC MEDICAL Inc NV 4.01,9.01 05/27/11 ORBIT INTERNATIONAL CORP DE 1.01 05/26/11 Orient Paper Inc. NV 8.01,9.01 05/31/11 ORION FUTURES FUND LP NY 3.02 06/01/11 OVERSEAS SHIPHOLDING GROUP INC DE 1.01,9.01 05/26/11 PACIFIC SUNWEAR OF CALIFORNIA INC CA 5.07 06/01/11 PEETS COFFEE & TEA INC WA 5.02,5.07,8.01,9.01 05/27/11 PENN MILLERS HOLDING CORP 8.01 05/31/11 PHAZAR CORP DE 8.01,9.01 06/02/11 PIER 1 IMPORTS INC/DE DE 7.01,9.01 06/02/11 PINNACLE AIRLINES CORP DE 5.02,9.01 06/02/11 POLYCOM INC DE 5.02,5.03,5.07,9.01 05/26/11 POTOMAC FUTURES FUND LP NY 3.02 06/01/11 POWERSECURE INTERNATIONAL, INC. DE 2.05,8.01,9.01 05/31/11 PPL Corp 1.01,2.03,9.01 05/27/11 PRICELINE COM INC DE 5.07 06/02/11 PUBLIC SERVICE CO OF NEW HAMPSHIRE NH 2.03,3.03,9.01 05/26/11 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 06/02/11 PULSE ELECTRONICS CORP PA 5.03,5.07 05/31/11 AMEND QLOGIC CORP DE 5.02 05/26/11 QUALITY SYSTEMS, INC CA 2.02,9.01 05/26/11 AMEND QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.02 05/26/11 QUIKSILVER INC DE 2.02,9.01 06/02/11 RADIENT PHARMACEUTICALS Corp DE 2.04,7.01,9.01 06/01/11 RAMCO GERSHENSON PROPERTIES TRUST MD 5.07 06/01/11 Regency Energy Partners LP DE 7.01,9.01 06/02/11 RENAISSANCERE HOLDINGS LTD D0 8.01,9.01 06/01/11 REPUBLIC BANCORP INC /KY/ KY 7.01,9.01 06/01/11 RESPECT YOUR UNIVERSE, INC. NV 5.02 06/01/11 ROCKWELL COLLINS INC DE 1.01,1.02,2.03,9.01 05/26/11 SAIC, Inc. 2.02,7.01,9.01 06/02/11 SAKS INC TN 7.01,9.01 06/02/11 SAKS INC TN 5.07 06/01/11 Sally Beauty Holdings, Inc. 7.01 06/02/11 SALLY HOLDINGS LLC DE 7.01 06/02/11 SAVIENT PHARMACEUTICALS INC DE 5.02,9.01 05/30/11 SED INTERNATIONAL HOLDINGS INC 2Q 8.01,9.01 06/02/11 SELECT MEDICAL HOLDINGS CORP 1.01,2.03,8.01,9.01 06/01/11 SENTRY PETROLEUM LTD. 7.01,9.01 06/02/11 SEQUENOM INC DE 1.01,2.03 05/31/11 SERVIDYNE, INC. GA 1.01,2.03,8.01,9.01 06/02/11 Shire plc 8.01,9.01 06/01/11 Silver Falcon Mining, Inc. DE 8.01 06/02/11 SIRONA DENTAL SYSTEMS, INC. DE 5.07 02/23/11 AMEND SKYWORKS SOLUTIONS INC DE 1.01,8.01,9.01 05/26/11 SOLIGENIX, INC. DE 5.02,9.01 05/31/11 SOUTHERN BELLA INC 5.02 05/27/11 SOUTHERN NATURAL GAS CO DE 8.01 06/02/11 Southern Products, Inc. NV 1.01,5.01,5.02,8.01, 06/01/11 9.01 STANDARD PARKING CORP DE 5.02,9.01 05/27/11 STEINWAY MUSICAL INSTRUMENTS INC DE 8.01 06/02/11 Stream Global Services, Inc. DE 8.01,9.01 06/02/11 SUBAYE, INC. 1.01,5.02,9.01 06/01/11 SUNPOWER CORP DE 1.01,2.03 05/27/11 SunSi Energies Inc. NV 9.01 03/18/11 AMEND TACTICAL DIVERSIFIED FUTURES FUND L.P NY 3.02 06/01/11 TAKEDOWN ENTERTAINMENT INC. NV 7.01 05/20/11 TBS International plc L2 7.01,9.01 06/01/11 TCF FINANCIAL CORP DE 8.01 05/27/11 TEAMSTAFF INC NJ 8.01,9.01 06/02/11 TGC INDUSTRIES INC TX 8.01 05/26/11 THERAVANCE INC DE 8.01,9.01 06/02/11 Thermon Holding Corp. DE 2.02,8.01,9.01 06/02/11 THESTREET COM DE 5.03,5.07,9.01 05/26/11 TIDEWATER FUTURES FUND LP NY 3.02 06/01/11 TIDEWATER INC DE 8.01,9.01 05/26/11 TIDEWATER INC DE 8.01,9.01 06/01/11 Timberline Resources Corp DE 7.01,9.01 06/02/11 TIME WARNER CABLE INC. DE 5.02,9.01 05/26/11 TMX Finance LLC DE 8.01,9.01 05/24/11 TNP Strategic Retail Trust, Inc. MD 1.01,2.01,2.03,3.02, 05/26/11 7.01,9.01 TORCHMARK CORP DE 5.07 04/28/11 AMEND TRANSCEND SERVICES INC DE 5.02,5.07,9.01 06/01/11 TRANSGLOBAL ASSETS, INC. NV 1.01 06/02/11 TYCO INTERNATIONAL LTD V8 8.01,9.01 05/26/11 AMEND U S GOLD CORP CO 7.01,9.01 06/01/11 U-Store-It Trust MD 5.07 06/01/11 ULTRALIFE CORP DE 1.01,9.01 06/01/11 UNIT CORP DE 1.02 05/31/11 United Financial Bancorp, Inc. 4.01 05/31/11 United Financial Bancorp, Inc. 4.01,9.01 05/19/11 AMEND United Health Products, Inc. NV 5.02 06/01/11 UNITED NATURAL FOODS INC DE 2.02,9.01 06/02/11 UNIVERSAL INSURANCE HOLDINGS, INC. DE 8.01,9.01 06/01/11 USA TRUCK INC DE 7.01,9.01 06/02/11 UTi WORLDWIDE INC D8 2.02,9.01 06/02/11 Vantage Drilling CO E9 1.01,1.02,2.03,8.01, 06/01/11 9.01 VERIFONE SYSTEMS, INC. DE 2.02,9.01 06/02/11 VERIFONE SYSTEMS, INC. DE 2.02,9.01 06/02/11 VERISIGN INC/CA DE 5.02 06/01/11 VIEW SYSTEMS INC NV 5.02 05/31/11 VISHAY INTERTECHNOLOGY INC DE 5.02,5.03,5.07 06/01/11 VISION INDUSTRIES CORP FL 8.01 05/13/11 VISION SCIENCES INC /DE/ DE 2.02,9.01 06/02/11 Volcom Inc 8.01 06/02/11 VORNADO REALTY TRUST MD 5.07 05/26/11 Voyager Oil & Gas, Inc. DE 1.01,3.03,5.07,9.01 05/27/11 WARRINGTON FUND LP NY 3.02 06/01/11 WARWICK VALLEY TELEPHONE CO NY 1.01 05/26/11 WESTAR ENERGY INC /KS KS 7.01,9.01 06/02/11 WESTPORT JWH FUTURES FUND LP NY 3.02 06/01/11 WILLIS LEASE FINANCE CORP DE 7.01,9.01 06/01/11 WNC HOUSING TAX CREDIT FUND IV L P SE CA 5.07 06/01/11 World Surveillance Group Inc. DE 1.01,3.02,9.01 05/27/11 WORLD WRESTLING ENTERTAINMENTINC DE 5.02,9.01 06/02/11 X-CHANGE CORP NV 5.06,9.01 06/01/11 XCEL ENERGY INC MN 8.01 06/01/11 XERIUM TECHNOLOGIES INC DE 1.01,2.03,8.01,9.01 05/26/11 ZIONS BANCORPORATION /UT/ UT 5.07 06/01/11