Securities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 13, 2011 and terminating at 11:59 p.m. EDT on June 24, 2011.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64647)
In the Matter of William J. Hammons
On June 10, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against William J. Hammons. The Order finds that on February 24, 2011, Hammons was convicted of three counts of securities fraud in violation of Utah Code Ann §§ 61-1-1 and 61-1-21 and three counts of sales by an unlicensed agent in violation of Utah Code Ann §§ 61-1-3(3) and 61-1-21 before the Fifth Judicial District Court, Washington County, Utah in State of Utah v. Hammons (Case No. 091500166).
Based on the above, the Order bars Hammons from association with any broker or dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. The Order also bars Hammons from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase of any penny stock. Hammons consented to the issuance of the Order without admitting or denying any of the findings in the Order; however, he admitted the entry of the conviction against him. (Rel. 34-64646; File No. 3-14419)
Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic Filings
In conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64648; File No. 3-14420)
Division of Enforcement Institutes Stop Order Proceedings to Suspend the Effectiveness of Registration Statements Filed by China Intelligent Lighting and Electronics, Inc.
On June 10, 2011, the Commission issued an Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933 (Order) to determine whether a stop order should be issued suspending the effectiveness of two registration statements filed by China Intelligent Lighting & Electronics, Inc. (CIL) that became effective on June 17, 2010 and December 15, 2010, respectively.
The Division of Enforcement alleges that on March 24, 2011, CIL’s independent auditor resigned and withdrew its audit report for CIL’s financial statements as of December 31, 2009, which were included in CIL’s registration statements. The auditor notified the company that it was resigning due to “accounting fraud involving forging of the Company’s accounting records and forging bank statements, in addition to other discrepancies identified during [the auditor’s] testing of the Company’s accounts receivable,” which could indicate a material error in the company’s previously-issued financial statements. As a result, CIL’s auditor concluded that it could not rely on representations made by CIL’s management relating to the company’s previously-issued financial statements and withdrew its audit reports for those financial statements, which were included in the registration statements filed by CIL.
As a result, the Division of Enforcement alleges that the registration statements are materially misleading and deficient.
A hearing has been scheduled to commence at 9:30 a.m. on June 24, 2011, at the Commission's offices at 100 F Street N.E., Washington, DC 20549, to determine whether the allegations contained in the Order are true, to provide an opportunity to CIL to respond to those allegations, and to determine whether a stop order should be issued suspending the effectiveness of CIL’s registration statements. The Order directs the administrative law judge to issue an initial decision within 60 days from the date of service of the Order Instituting Proceedings. (Rel. 33-9223; File No. 3-14418)
Division of Enforcement Institutes Stop Order Proceedings to Suspend the Effectiveness of Registration Statement Filed by China Century Dragon Media, Inc.
On June 13, 2011, the Commission issued an Order Fixing Time and Place of Public Hearing and Instituting Proceedings Pursuant to Section 8(d) of the Securities Act of 1933 (Order) to determine whether a stop order should be issued suspending the effectiveness of a registration statement filed by China Century Dragon Media, Inc. (CDM) that became effective on February 7, 2011.
The Division of Enforcement alleges that on March 22, 2011, CDM’s independent auditor resigned and withdrew its audit report for CDM’s financial statements as of December 31, 2009, and 2008, which were included in CDM’s registration statement. The auditor notified the company that it was resigning due to “discrepancies noted on customer confirmations and the auditor’s inability to directly verify the Company’s bank records,” which could indicate a material error in the company’s previously-issued financial statements. As a result, CDM’s auditor concluded that it could not rely on representations made by CDM’s management relating to the company’s previously-issued financial statements and withdrew its audit reports for those financial statements, which were included in the registration statement filed by CDM.
As a result, the Division of Enforcement alleges that the registration statements are materially misleading and deficient.
A hearing has been scheduled to commence at 11 a.m. on June 24, 2011, at the Commission's offices at 100 F Street N.E., Washington, DC 20549, to determine whether the allegations contained in the Order are true, to provide an opportunity to CDM to respond to those allegations, and to determine whether a stop order should be issued suspending the effectiveness of CDM’s registration statement. The Order directs the administrative law judge to issue an initial decision within 60 days from the date of service of the Order Instituting Proceedings. (Rel. 33-9224; File No. 3-14421)
In the Matter of Cary R. Kahn
The June 13, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Order) against Cary R. Kahn (Kahn). The proceedings are based on Kahn’s conviction in United States District Court for the District of Colorado, in United States v. Cary Richard Kahn, No. 10-CR-00116-WYD.
In the Order, the Commission found that on March 24, 2010, Kahn pleaded guilty to one count of mail fraud in violation of Title 18, United States Code, Section 1341 and judgment was entered against him on June 28, 2010. In his guilty plea, Kahn admitted, among other things, that from September 2002 through January 2009, he was manager and general partner of the Double Eagle Fund (Fund), an unregistered investment company in Boulder, Colorado, and that he misrepresented himself to the Fund’s investors in order to obtain approximately $2,121,098.70 in investment funds, most of which he then converted to his own use. The Commission also found that for a portion of that time Kahn was also associated with broker-dealers registered with the Commission.
Based on the above, the Order bars Kahn from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent and from participating in any offering of a penny stock. Kahn consented to the issuance of the Order without admitting or denying any of the finding, except he admitted the criminal conviction. (Rel. 34-64657; File No. 3-14193)
SEC Charges Former Chairman of the Board of First Cash Financial Service with Insider Trading
The Securities and Exchange Commission announced that it filed a civil injunctive action today in the United States District Court for the Western District of Texas, Waco Division, charging Phillip E. (Rick) Powell, former chairman of the board of First Cash Financial Services, Inc. (First Cash), with illegal insider trading. The SEC’s Complaint alleges that in early March 2008 Powell, while he was serving as the chairman of the board of First Cash, learned material, non-public information about the commencement of a company share buyback.
According to the Complaint, on Nov. 6, 2007, the company had announced that it had authorized a buyback of up to 1 million First Cash shares. That announcement did not disclose when the authority would be exercised or even whether management would actually exercise the authority. The SEC alleges that Powell, through his position as chairman of First Cash’s board of directors, later learned, among other things, that First Cash had decided to actually exercise its repurchase authority and was set to begin the repurchase.
According to the Complaint, Powell, armed with this material, non-public information, called his broker on March 11, the same day that First Cash entered into an agreement with JP Morgan Securities to facilitate the repurchase and the day before First Cash began repurchasing its shares. He instructed the broker to buy 100,000 First Cash shares. According to the SEC’s Complaint, Powell insisted that the purchase needed to be made that day.
As alleged in the Complaint, Powell’s pre-buyback purchases caused First Cash to overpay $36,000 for its own securities between March 12 and March 14, 2008. In addition, the SEC alleges that, as a result of the share price increase following disclosure that the buyback had commenced, Powell profited in the amount of $124,000 from his illegal purchase.
Powell is alleged to have repeatedly tried to hide his trading from First Cash and its shareholders. For example, the Complaint alleges that he misled another board member when he was warned against purchasing in advance of the buyback, and later he misled First Cash’s chief executive officer when he asked about the trade. In addition, after his broker warned him that Commission rules required him to file a Form 4 disclosing his trade, he refused to do so and delayed filing his Form 4 until April 30, 2009, over thirteen months after it was required by Commission rules and only after he knew the Commission was investigating his trades.
The SEC’s complaint alleges that, as a result of his conduct, Powell violated Sections 10(b) and 16(a) of the Securities Exchange Act of 1934 and Rules 10b-5 and 16a-3 thereunder. The Commission seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, a monetary penalty, and an order barring Powell from serving as an officer or director of a public company.
The Commission acknowledges the assistance of the U.S. Attorney’s Office for the Northern District of Texas and the Federal Bureau of Investigation. [SEC v. Phillip E. (Rick) Powell , (Case No. 6:11-cv-161, USDC, W.D. Tex. [Waco Division] (LR-21996)
SEC Charges Fraud in Offering of Oil and Gas Securities
On June 10, 2011, the Securities and Exchange Commission filed suit in U.S. District Court for the Northern District of Texas against Norman Forrest Germany and two companies he controls – E.B. Germany & Sons, LLC and Germany Energy Company – for conducting a fraudulent, unregistered offering of oil and gas-related securities. The Commission alleges that, from 2008 until May 2010, Germany and his companies raised more than $600,000 through the sale of promissory notes and interests in two Mississippi oil and gas projects. Among other things, the Commission contends that Germany falsely claimed that certain wells were “producing” when he knew they were not, and that, instead of using offering proceeds for oil and gas related expenditures, as represented to investors, Germany diverted these funds to personal expenses.
The Commission’s complaint alleges that Germany violated the Sections 5(a) and (c) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Without admitting or denying the Commission’s allegations, Germany and his companies settled the Commission’s charges by consenting to permanent injunctions against further violations. The court will determine the amount of disgorgement and civil money penalties to be assessed against the defendants. [SEC v. Norman Forrest Germany, et al., Civ. Action No. 3:11-CV-1252 (United States District Court for the Northern District of Texas, Dallas Division)] (LR-21997)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2011-11) to add a rule concerning the CHX Book Feed 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 13. (Rel. 34-64644)
A proposed rule change filed by NASDAQ OMX PHLX relating to routing fees (SR-Phlx-2011-81) 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 13. (Rel. 34-64645)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 RXI PHARMACEUTICALS CORP, 60 PRESCOTT STREET, WORCESTER, MA, 01605, 508-767-3861 - 0 ($325,000.00) Equity, (File 333-174819 - Jun. 10) (BR. 01C) S-8 VERINT SYSTEMS INC, 330 SOUTH SERVICE ROAD, MELVILLE, NY, 11747, 6319629600 - 0 ($10,581,670.00) Equity, (File 333-174820 - Jun. 10) (BR. 03A) S-8 INGRAM MICRO INC, 1600 E ST ANDREW PLACE, SANTA ANA, CA, 92799, 7145661000 - 0 ($240,165,000.00) Equity, (File 333-174821 - Jun. 10) (BR. 03A) F-9 BANK OF NOVA SCOTIA /, 44 KING STREET WEST, SCOTIA PLAZA 8TH FL., TORONTO, A6, M5H 1H1, (416)866-7555 - 0 ($7,100,000,000.00) Debt, (File 333-174823 - Jun. 10) (BR. 07B) S-8 PETROHAWK ENERGY CORP, 1000 LOUISIANA SUITE 5600, HOUSTON, TX, 77002, 8322042700 - 0 ($286,000,000.00) Equity, (File 333-174824 - Jun. 10) (BR. 04A) S-1 Macon Financial Corp., 220 ONE CENTER COURT, FRANKLIN, NC, 28734, (828) 524-7000 - 6,612,500 ($66,125,000.00) Equity, (File 333-174826 - Jun. 10) (BR. ) S-1 EPAM Systems, Inc., 41 UNIVERSITY DRIVE, SUITE 202, NEWTOWN, PA, 18940, (267) 759-9000 - 0 ($100,000,000.00) Equity, (File 333-174827 - Jun. 10) (BR. ) S-8 InfuSystem Holdings, Inc, 31700 RESEARCH PARK DRIVE, MADISON HEIGHTS, MI, 48071, (248) 291-1210 - 0 ($6,540,000.00) Equity, (File 333-174828 - Jun. 10) (BR. 10B) S-1 CAFEPRESS INC., 1850 GATEWAY DRIVE, SUITE 300, SAN MATEO, CA, 94404, 650.655.3000 - 0 ($80,000,000.00) Equity, (File 333-174829 - Jun. 10) (BR. ) S-1 MATTRESS FIRM HOLDING CORP., C/O MATTRESS HOLDING CORP, 5815 GULF FREEWAY, HOUSTON, TX, 77023, (713) 923-1090 - 0 ($115,000,000.00) Equity, (File 333-174830 - Jun. 10) (BR. 02) S-1 ScripsAmerica, Inc., 77 MCCULLOUGH DR., NEW CASTLD, DE, 19720, 800-957-7622 - 5,229,000 ($1,045,880.00) Equity, (File 333-174831 - Jun. 10) (BR. 09) N-2 Brookfield Investment Management Global Infrastructure Income Fund Inc., THREE WORLD FINANCIAL CENTER, 200 VESEY, NEW YORK, NY, 10281, 212-549-8408 - 0 ($1,000,000.00) Equity, (File 333-174832 - Jun. 10) (BR. 22) S-1 Starflick.com, 1361 PELTIER DRIVE, POINT ROBERTS, WA, 98281, (403) 399-6402 - 2,000,000 ($200,000.00) Equity, (File 333-174833 - Jun. 10) (BR. 05) S-8 ACETO CORP, ONE HOLLOW LANE, LAKE SUCCESS, NY, 11042, 5166276000 - 0 ($13,810,000.00) Equity, (File 333-174834 - Jun. 10) (BR. 06C) S-8 CASCADE BANCORP, 1100 N W WALL ST, P O BOX 369, BEND, OR, 97709, 5413856205 - 0 ($34,686,304.91) Equity, (File 333-174835 - Jun. 10) (BR. 07C) S-8 OPTIMER PHARMACEUTICALS INC, 10110 SORRENTO VALLEY ROAD, SUITE C, SAN DIEGO, CA, 92121, 8589090736 - 0 ($13,095,000.00) Equity, (File 333-174836 - Jun. 10) (BR. 01C) S-8 IDENTIVE GROUP, INC., 949-250-8888 - 10,559,961 ($25,132,307.18) Equity, (File 333-174837 - Jun. 10) (BR. 03A) S-1 AMBARELLA INC, 2975 SAN YSIDRO WAY, SANTA CLARA, CA, 95054, 408-734-8888 - 0 ($65,000,000.00) Equity, (File 333-174838 - Jun. 10) (BR. ) S-8 ERF Wireless, Inc., 2911 SOUTH SHORE BLVD, SUITE 100, LEAGUE CITY, TX, 77573, 281-538-2101 - 25,000,000 ($255,000.00) Equity, (File 333-174839 - Jun. 10) (BR. 11A) S-8 PRIVATEBANCORP, INC, 120 SOUTH LASALLE STREET, 4TH FLOOR, CHICAGO, IL, 60603, 3126837100 - 0 ($67,215,785.00) Equity, (File 333-174840 - Jun. 10) (BR. 07C) S-4 Verso Paper Holdings LLC, 6775 LENOX COURT PARK, BUILDING E, MEMPHIS, TN, 38115, (901) 419-7130 - 0 ($396,000,000.00) Non-Convertible Debt, (File 333-174841 - Jun. 10) (BR. 09A) S-3ASR PRIVATEBANCORP, INC, 120 SOUTH LASALLE STREET, 4TH FLOOR, CHICAGO, IL, 60603, 3126837100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-174842 - Jun. 10) (BR. 07C) S-4 DAWSON GEOPHYSICAL CO, 508 WEST WALL, SUITE 800, MIDLAND, TX, 79701, 9156843000 - 0 ($120,996,426.42) Equity, (File 333-174843 - Jun. 10) (BR. 04A) S-3 THRESHOLD PHARMACEUTICALS INC, 1300 SEAPORT BOULEVARD, SUITE 500, REDWOOD CITY, CA, 94063, 650 474 8200 - 0 ($50,000,000.00) Unallocated (Universal) Shelf, (File 333-174844 - Jun. 10) (BR. 01C) S-3 URANIUM RESOURCES INC /DE/, 9723877777 - 0 ($50,000,000.00) Other, (File 333-174845 - Jun. 10) (BR. 04C) S-3 rue21, inc., 800 COMMONWEALTH DRIVE, SUITE 100, WARRENDALE, PA, 15086, 724-776-9780 - 7,091,919 ($230,132,771.55) Equity, (File 333-174846 - Jun. 10) (BR. 09) S-8 DineEquity, Inc, 450 N BRAND BLVD 3RD FLR, GLENDALE, CA, 91203-1903, 818-240-6055 - 0 ($71,430,000.00) Equity, (File 333-174847 - Jun. 10) (BR. 03A) S-8 GULFMARK OFFSHORE INC, 10111 RICHMOND AVE, STE 340, HOUSTON, TX, 77042, 7139639522 - 0 ($10,000,000.00) Other, (File 333-174848 - Jun. 10) (BR. 04B) S-3ASR CA, INC., ONE CA PLAZA, ISLANDIA, NY, 11749, 1-800-225-5224 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-174849 - Jun. 10) (BR. 03A) S-8 GULFMARK OFFSHORE INC, 10111 RICHMOND AVE, STE 340, HOUSTON, TX, 77042, 7139639522 - 0 ($5,910,000.00) Equity, (File 333-174850 - Jun. 10) (BR. 04B) S-4 OFFSHORE GROUP INVESTMENT Ltd, P.O. BOX 309, UGLAND HOUSE, GRAND CAYMAN, E9, KY1-1104, (281) 404-4700 - 0 ($225,000,000.00) Other, (File 333-174851 - Jun. 10) (BR. 04) S-3ASR CAREY W P & CO LLC, 50 ROCKEFELLER PLAZA, NEW YORK, NY, 10020, 2124921100 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-174852 - Jun. 10) (BR. 08A) S-1 GLOBAL GREEN INC., 2820 REMINGTON GREEN CIRCLE, TALLAHASSEE, FL, 32308, 850-597-7906 - 147,516,080 ($36,879,020.00) Equity, (File 333-174853 - Jun. 10) (BR. ) S-1 Secure Luggage Solutions Inc., 2375 EAST CAMELBACK ROAD, 5TH FLOOR, PHOENIX, AZ, 85016, (602) 387-4035 - 10,170,000 ($3,051,000.00) Equity, (File 333-174855 - Jun. 10) (BR. 05B) S-4 STEWART ENTERPRISES INC, 1333 SOUTH CLEARVIEW PARKWAY, JEFFERSON, LA, 70121, 5047291400 - 0 ($200,000,000.00) Non-Convertible Debt, (File 333-174856 - Jun. 10) (BR. 11C)
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 ACHILLION PHARMACEUTICALS INC DE 5.03,5.07,9.01 06/08/11 Advanced Voice Recognition Systems, I NV 1.01,5.02,9.01 06/06/11 ALIMERA SCIENCES INC DE 5.07 06/08/11 ALLEGHENY TECHNOLOGIES INC DE 8.01,9.01 06/10/11 ALLIANCE DATA SYSTEMS CORP DE 5.07 06/07/11 ALLIANCE ONE INTERNATIONAL, INC. VA 2.02,9.01 03/31/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 06/09/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 06/09/11 Ally Auto Assets LLC DE 1.01,8.01,9.01 06/08/11 ALNYLAM PHARMACEUTICALS, INC. 5.02,5.07 06/09/11 ALPHA PRO TECH LTD DE 5.07 06/06/11 AMAZON COM INC DE 5.07 06/07/11 AMEDISYS INC DE 5.07 06/09/11 AMERICAN SHARED HOSPITAL SERVICES CA 5.07,9.01 06/09/11 Ameris Bancorp GA 5.02 06/09/11 ANCHOR BANCORP WISCONSIN INC WI 4.02 06/09/11 ANIKA THERAPEUTICS INC MA 5.02,5.07,9.01 06/07/11 Animal Health International, Inc. DE 1.02,2.01,3.01,3.03, 06/10/11 5.01,5.02 APAC CUSTOMER SERVICES, INC IL 5.07 06/07/11 APPLIED MATERIALS INC /DE DC 1.01,8.01,9.01 06/08/11 ARRIS GROUP INC DE 7.01,9.01 06/10/11 Artio Global Investors Inc. DE 7.01,9.01 06/10/11 ATHERSYS, INC / NEW DE 8.01 06/10/11 AUTOLIV INC DE 8.01,9.01 06/10/11 AVANIR PHARMACEUTICALS, INC. DE 5.07 02/08/11 AMEND AVAYA INC DE 8.01 06/08/11 AVISTAR COMMUNICATIONS CORP DE 5.07 06/08/11 AWARE INC /MA/ MA 3.01 06/08/11 BARD C R INC /NJ/ NJ 8.01 06/08/11 BECKMAN COULTER INC DE 5.02 06/06/11 BENCHMARK ELECTRONICS INC TX 5.02,9.01 06/06/11 BENIHANA INC DE 2.02,9.01 06/10/11 AMEND BIOMIMETIC THERAPEUTICS, INC. DE 7.01,9.01 06/09/11 BRINKS CO VA 7.01,9.01 06/10/11 BROCADE COMMUNICATIONS SYSTEMS INC DE 1.01,9.01 06/10/11 Brookdale Senior Living Inc. DE 8.01,9.01 06/07/11 BSQUARE CORP /WA WA 5.07 06/08/11 CALAIS RESOURCES INC 1.01,9.01 06/08/11 CALIFORNIA WATER SERVICE GROUP DE 3.03,5.03,8.01,9.01 06/08/11 CALYPSO WIRELESS INC DE 8.01 06/07/11 CAMERON INTERNATIONAL CORP DE 8.01 06/08/11 CAMERON INTERNATIONAL CORP DE 1.01,9.01 06/06/11 Capstone Therapeutics Corp. DE 4.01,9.01 06/06/11 CAREY W P & CO LLC DE 8.01,9.01 06/10/11 Casablanca Mining Ltd. NV 1.01,9.01 05/06/11 CASCADE MICROTECH INC 1.01 06/06/11 CENTRAL GARDEN & PET CO DE 1.01,8.01,9.01 06/08/11 CENTRAL VIRGINIA BANKSHARES INC VA 5.02,9.01 04/12/11 CENTURYLINK, INC LA 8.01,9.01 06/09/11 CHARMING SHOPPES INC PA 7.01,9.01 06/09/11 China Energy Recovery, Inc. DE 5.02 06/07/11 CHRISTOPHER & BANKS CORP DE 4.01,9.01 06/06/11 CHUBB CORP NJ 5.07 04/26/11 AMEND CINCINNATI BELL INC OH 1.01,9.01 06/10/11 Circle Entertainment, Inc. DE 1.01,9.01 06/07/11 CKX, Inc. DE 8.01,9.01 06/10/11 Clark Holdings Inc. DE 3.01,5.02,9.01 06/06/11 CNB CORP /SC/ SC 1.01,9.01 06/07/11 COMMERCETEL CORP NV 1.01 06/10/11 COMMUNITY FIRST INC TN 5.07 06/07/11 COMPETITIVE TECHNOLOGIES INC DE 5.02 06/10/11 CONEXANT SYSTEMS INC DE 4.01 06/07/11 CONSOLIDATED CAPITAL INSTITUTIONAL PR CA 8.01 06/06/11 CORPORATE EXECUTIVE BOARD CO DE 5.07 06/09/11 COVENANT BANCSHARES, INC. IL 1.01,9.01 06/06/11 CREDO PETROLEUM CORP DE 2.02,9.01 06/09/11 CROWN CASTLE INTERNATIONAL CORP DE 1.01,9.01 06/09/11 Crown Equity Holdings, Inc. NV 7.01,9.01 06/09/11 CYBERDEFENDER CORP CA 5.07 06/09/11 CYCLE COUNTRY ACCESSORIES CORP NV 8.01,9.01 06/08/11 DELCATH SYSTEMS INC DE 5.07 06/01/11 AMEND Delek US Holdings, Inc. 7.01,9.01 06/10/11 Delta Entertainment Group, Inc. FL 1.01,2.01,9.01 06/03/11 DEVRY INC DE 5.02,7.01,9.01 06/08/11 DIGITAL VALLEYS CORP NV 5.03,5.07,9.01 06/06/11 DIODES INC /DEL/ DE 7.01,9.01 06/09/11 DOCUMENT SECURITY SYSTEMS INC NY 5.07 06/09/11 DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 5.07 06/09/11 DRIVETIME AUTOMOTIVE GROUP INC DE 1.01,9.01 06/06/11 DUSA PHARMACEUTICALS INC NJ 5.07 06/08/11 DYNEGY INC. DE 5.02 06/06/11 EARTH DRAGON RESOURCES INC. 5.02 06/06/11 EDGEWATER TECHNOLOGY INC/DE/ DE 5.07,9.01 06/08/11 eHealth, Inc. DE 8.01 06/09/11 EMPIRE DISTRICT ELECTRIC CO KS 1.01,3.03,9.01 06/09/10 ENCORE CAPITAL GROUP INC DE 5.07 06/09/11 ENER1 INC FL 1.01,9.01 06/06/11 ENTERPRISE FINANCIAL SERVICES CORP DE 3.01 06/06/11 ENTEST BIOMEDICAL, INC. NV 3.03,9.01 06/09/11 ENTREMED INC DE 5.02,5.07,9.01 06/09/11 ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 8.01,9.01 06/09/11 EOG RESOURCES INC DE 5.02 06/06/11 EPIQ SYSTEMS INC MO 9.01 04/04/11 AMEND EQUINIX INC DE 5.07 06/09/11 EQUITY LIFESTYLE PROPERTIES INC MD 8.01 06/09/11 ERIE INDEMNITY CO PA 8.01 06/10/11 FIRST CAROLINA INVESTORS INC DE 8.01,9.01 06/10/11 FIRST MARBLEHEAD CORP 9.01 12/31/10 AMEND FIVE STAR QUALITY CARE INC 5.03,9.01 06/10/11 FLOWSERVE CORP NY 5.02 06/01/11 Freescale Semiconductor Holdings I, L D0 8.01 06/10/11 FRONTIER OIL CORP /NEW/ WY 8.01,9.01 06/09/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 06/10/11 GASCO ENERGY INC NV 1.01,8.01,9.01 06/10/11 GENERAC HOLDINGS INC. DE 5.07 06/10/11 GENEREX BIOTECHNOLOGY CORP DE 5.07,9.01 06/08/11 GENOMIC HEALTH INC 5.07 06/09/11 GENTA INC DE/ DE 8.01 06/10/11 GeoEye, Inc. DE 3.03,9.01 06/08/11 GFI Group Inc. DE 5.07,9.01 06/09/11 GILEAD SCIENCES INC DE 8.01,9.01 06/06/11 GLADSTONE CAPITAL CORP MD 5.03,9.01 06/08/11 GLADSTONE COMMERCIAL CORP MD 1.01,7.01,9.01 06/10/11 Global Pharm Holdings Group, Inc. DE 9.01 08/13/10 AMEND Global Telecom & Technology, Inc. DE 1.01,2.01,2.03,3.02, 06/06/11 9.01 GLOBETRAC INC DE 1.01,3.02,9.01 06/10/11 GOLD RESERVE INC B0 5.07 06/09/11 GOLDEN EAGLE INTERNATIONAL INC CO 4.02 04/08/11 GOLDMAN SACHS GROUP INC DE 9.01 06/10/11 Good Earth Land Sales CO FL 5.03,8.01,9.01 06/10/11 GREAT LAKES AVIATION LTD IA 1.01,9.01 06/10/11 GREEN BANKSHARES, INC. TN 5.02 06/06/11 GREIF INC DE 5.07 03/02/11 AMEND H & H Imports, Inc. FL 7.01,9.01 06/09/11 HANCOCK FABRICS INC DE 2.02,9.01 06/10/11 HARBINGER GROUP INC. DE 8.01,9.01 06/10/11 HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 06/10/11 HAWTHORN BANCSHARES, INC. MO 5.07 06/07/11 Heckmann CORP 4.02 03/14/11 AMEND Heelys, Inc. DE 5.07 06/09/11 HENRY COUNTY BANCSHARES INC GA 5.03,9.01 06/07/11 HERITAGE COMMERCE CORP CA 5.02,9.01 06/07/11 HORACE MANN EDUCATORS CORP /DE/ DE 8.01,9.01 06/09/11 Horizon Lines, Inc. 1.01,9.01 06/10/11 HOST HOTELS & RESORTS L.P. DE 8.01,9.01 06/10/11 HUDSON VALLEY HOLDING CORP NY 7.01,9.01 06/10/11 IKANOS COMMUNICATIONS CA 5.07 06/07/11 IMMUCELL CORP /DE/ DE 8.01,9.01 06/09/11 Inca Global, Inc DE 1.01,5.06,9.01 03/22/11 AMEND INNODATA ISOGEN INC DE 5.07 06/07/11 INTEGRA LIFESCIENCES HOLDINGS CORP DE 8.01,9.01 06/10/11 INTERNATIONAL GAME TECHNOLOGY NV 7.01,9.01 06/07/11 INTERNATIONAL GAME TECHNOLOGY NV 5.07 06/07/11 AMEND INTERNATIONAL PAPER CO /NEW/ NY 5.02 06/10/11 Invesco Ltd. D0 7.01,9.01 06/09/11 IRIS INTERNATIONAL INC DE 5.02,9.01 06/06/11 IRON MOUNTAIN INC DE 7.01 06/10/11 IVAX DIAGNOSTICS INC DE 1.01,2.03,5.07,8.01, 06/10/11 9.01 JETBLUE AIRWAYS CORP DE 7.01 06/10/11 JOE'S JEANS INC. DE 3.01,9.01 06/08/11 KAISER ALUMINUM CORP DE 5.07 06/09/11 Kirin International Holding, Inc. NV 1.01,2.01,3.03,9.01 03/01/11 AMEND LAKE AREA CORN PROCESSORS LLC SD 1.01 06/06/11 LEXARIA CORP. NV 3.02,7.01,9.01 06/10/11 LIFE PARTNERS HOLDINGS INC TX 8.01 06/06/11 AMEND Lithium Exploration Group, Inc. NV 7.01,9.01 06/09/11 LOCATEPLUS HOLDINGS CORP 5.02 06/10/11 LUCAS ENERGY, INC. NV 9.01 06/10/11 lululemon athletica inc. DE 2.02,9.01 06/10/11 M WISE INC DE 7.01 06/10/11 MAKO Surgical Corp. DE 8.01 06/07/11 MANAGEMENT NETWORK GROUP INC 5.07 06/08/11 MANNATECH INC TX 5.07,9.01 06/09/11 MCDONALDS CORP DE 7.01,9.01 06/08/11 MCGRATH RENTCORP CA 5.07 06/08/11 MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 06/01/11 MERU NETWORKS INC DE 5.02,5.07,9.01 06/10/11 Mesa Energy Holdings, Inc. DE 8.01,9.01 06/08/11 METLIFE INC DE 7.01 06/10/11 MICROVISION INC DE 5.07 06/09/11 Millstream Ventures, Inc. NV 1.01,2.01,5.01,5.06, 06/08/11 9.01 Mojo Ventures, Inc. DE 4.01,9.01 06/09/11 MOLINA HEALTHCARE INC DE 7.01 06/09/11 Molycorp, Inc. DE 8.01,9.01 06/07/11 MONSTER WORLDWIDE INC DE 5.02,5.07,9.01 06/07/11 Monza Ventures Inc. NV 5.02 06/08/11 MUSTANG GEOTHERMAL CORP 4.01 06/09/11 NABORS INDUSTRIES LTD D0 5.07 06/07/11 NCI, Inc. DE 5.07 06/08/11 NESS TECHNOLOGIES INC 1.01,5.02,8.01,9.01 06/10/11 NET 1 UEPS TECHNOLOGIES INC 8.01,9.01 06/06/11 Net Savings Link, Inc. NV 2.03 06/10/11 NEW ENERGY SYSTEMS GROUP NV 4.02 05/02/11 AMEND New Generation Biofuels Holdings, Inc FL 1.01,9.01 06/07/11 NEW HAMPSHIRE THRIFT BANCSHARES INC DE 5.02 06/09/11 NEWS CORP 8.01,9.01 06/08/11 Next 1 Interactive, Inc. NV 1.01,3.02,9.01 06/03/11 NEXTERA ENERGY INC FL 8.01,9.01 06/10/11 Niska Gas Storage Partners LLC DE 5.02 06/08/11 NISOURCE INC/DE DE 1.01,9.01 06/07/11 NX Global, Inc NV 4.01 06/09/11 Oak Tree Educational Partners, Inc. 7.01,9.01 06/09/11 OGLETHORPE POWER CORP GA 1.01,2.03,9.01 06/09/11 Omega Flex, Inc. PA 5.07,9.01 06/10/11 ONCOSEC MEDICAL Inc NV 4.01,9.01 05/27/11 AMEND OPENTABLE INC DE 5.07 06/07/11 Opko Health, Inc. DE 5.07,7.01,9.01 06/09/11 OPTIMER PHARMACEUTICALS INC 5.02,9.01 06/06/11 Orange 21 Inc. DE 5.07 06/06/11 ORBITAL SCIENCES CORP /DE/ DE 1.01,1.02,2.03,9.01 06/07/11 Orbitz Worldwide, Inc. DE 5.07 05/31/11 AMEND ORIENT EXPRESS HOTELS LTD D0 5.02,5.03,5.07,9.01 06/09/11 OVERSEAS SHIPHOLDING GROUP INC DE 5.07 06/07/11 PANHANDLE OIL & GAS INC OK 5.07 06/10/11 AMEND PAR TECHNOLOGY CORP DE 1.01,2.03 06/06/11 PATHEON INC 2.02,9.01 06/10/11 Pebblebrook Hotel Trust MD 7.01,8.01,9.01 06/08/11 PERFORMANCE TECHNOLOGIES INC \DE\ DE 5.07 06/09/11 PHARMATHENE, INC DE 1.01,8.01,9.01 06/10/11 PLUMAS BANCORP CA 5.02 06/06/11 PMC COMMERCIAL TRUST /TX TX 1.01,2.03,9.01 06/08/11 PostRock Energy Corp DE 5.02,9.01 06/06/11 PPG INDUSTRIES INC PA 5.02,9.01 06/08/11 Premier Power Renewable Energy, Inc. DE 1.01,3.02,9.01 06/07/11 PRICELINE COM INC DE 8.01 06/10/11 PRIVATEBANCORP, INC DE 8.01 06/06/11 PROS Holdings, Inc. DE 5.07 06/09/11 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,9.01 06/10/11 PSM HOLDINGS INC NV 1.01,9.01 06/09/11 QUEPASA CORP NV 5.02,5.03,5.07,9.01 06/08/11 QUEST SOFTWARE INC CA 5.07 06/07/11 RADIANT LOGISTICS, INC DE 5.02,9.01 06/10/11 RADIANT SYSTEMS INC GA 5.07 06/08/11 RED MOUNTAIN RESOURCES, INC. FL 1.01,9.01 05/23/11 REPUBLIC AIRWAYS HOLDINGS INC DE 8.01 06/10/11 RESEARCH FRONTIERS INC DE 5.07 06/09/11 RESPECT YOUR UNIVERSE, INC. NV 3.02,5.02 06/07/11 REXAHN PHARMACEUTICALS, INC. DE 5.07 06/06/11 ROYAL CARIBBEAN CRUISES LTD 1.01,2.03,9.01 06/08/11 RXI PHARMACEUTICALS CORP 9.01 04/13/11 AMEND Sagebrush Gold Ltd. NV 7.01,8.01,9.01 06/08/11 SEN YU INTERNATIONAL HOLDINGS, INC. DE 5.02 06/09/11 SILLENGER EXPLORATION CORP. NV 1.01,9.01 03/31/11 SITEL Worldwide Corp DE 1.01,2.03,9.01 06/07/11 SKYWORKS SOLUTIONS INC DE 2.01,8.01,9.01 06/10/11 SMG Indium Resources Ltd. DE 8.01 06/10/11 SMTC CORP DE 5.02,9.01 06/09/11 SOLERA HOLDINGS, INC DE 7.01,9.01 06/10/11 Solera National Bancorp, Inc. DE 7.01,9.01 06/10/11 SOLITARIO EXPLORATION & ROYALTY CORP. CO 5.07 06/09/11 SPOT MOBILE INTERNATIONAL LTD. DE 2.04 06/06/11 STAPLES INC DE 5.07 06/07/11 STRATEGIC HOTELS & RESORTS, INC 1.01,2.01,2.03,7.01, 06/09/11 9.01 SunOpta Inc. 5.02 06/10/11 SUNOVIA ENERGY TECHNOLOGIES INC NV 2.03,3.02,8.01,9.01 06/01/11 SYNTHESIS ENERGY SYSTEMS INC DE 1.01,3.02,7.01,9.01 06/09/11 TARGET CORP MN 5.02,5.07,9.01 06/08/11 TAYLOR CAPITAL GROUP INC DE 8.01 06/10/11 TE Connectivity Ltd. V8 5.07 03/09/11 AMEND TE Connectivity Ltd. V8 5.02 05/09/11 AMEND Texas Rare Earth Resources Corp. NV 3.02,9.01 06/09/11 THORATEC CORP CA 5.02 06/07/11 TIBET PHARMACEUTICALS, INC. D8 5.01,5.02,8.01,9.01 05/16/11 TIDELANDS BANCSHARES INC 5.02,9.01 06/09/11 TITAN INTERNATIONAL INC IL 9.01 04/01/11 AMEND TMX Finance LLC DE 2.02,9.01 06/07/11 TNP Strategic Retail Trust, Inc. MD 5.07 06/09/11 TOYS R US INC DE 2.02,9.01 06/10/11 TRANSATLANTIC PETROLEUM LTD. D0 1.01,2.01,3.02,9.01 06/07/11 TRAVELERS COMPANIES, INC. MN 8.01,9.01 06/10/11 U S GOLD CORP CO 7.01,9.01 06/09/11 UNIGENE LABORATORIES INC DE 5.02,9.01 06/08/11 UNION DRILLING INC DE 5.07 06/09/11 UNION PACIFIC CORP UT 8.01 06/07/11 UNITED CAPITAL CORP /DE/ DE 1.01,9.01 06/07/11 United Continental Holdings, Inc. DE 5.07 06/08/11 UNITED NATURAL FOODS INC DE 2.05 06/09/11 UNIVERSAL TRAVEL GROUP NV 4.02,9.01 06/07/11 VAIL RESORTS INC DE 5.02,5.03,9.01 06/07/11 VALMONT INDUSTRIES INC DE 1.01,5.07,9.01 06/06/11 Verigy Ltd. U0 8.01 06/09/11 VIRGIN MEDIA INC. DE 5.07 06/07/11 Virolab, Inc. DE 4.01 06/06/11 VISUALANT INC NV 2.01,9.01 06/07/11 VONAGE HOLDINGS CORP DE 5.07 06/09/11 VORNADO REALTY LP DE 1.01,2.03,9.01 06/08/11 VORNADO REALTY TRUST MD 1.01,2.03,9.01 06/08/11 Vringo Inc DE 8.01,9.01 06/10/11 Wayside Technology Group, Inc. DE 5.07 06/08/11 Western Refining, Inc. DE 5.07 06/07/11 WILLIS GROUP HOLDINGS PLC L2 5.02,9.01 05/16/11 WORLD FUEL SERVICES CORP FL 7.01,9.01 06/10/11 WORLDWIDE ENERGY & MANUFACTURING USA CO 5.02,5.03,9.01 06/03/11 XILINX INC DE 5.02 06/07/11 Yongye International, Inc. NV 3.03,5.02,5.03,5.07, 06/09/11 9.01 ZION OIL & GAS INC DE 8.01,9.01 06/10/11 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 06/10/11 ZIX CORP TX 5.07 06/08/11 Zurvita Holdings, Inc. DE 1.01,3.02,9.01 06/10/11