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Commission AnnouncementsSecurities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe 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 July 14, 2011 and terminating at 11:59 p.m. EDT on July 27, 2011:
The Commission temporarily suspended trading in the securities of the foregoing companies due to a lack of current and accurate information about the companies because they have not filed certain periodic reports with the Commission. 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 trading suspensions 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. 34-64879) Securities and Exchange Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic FilingsThe 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 July 14, 2011 and terminating at 11:59 p.m. EDT on July 27, 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 Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64882) Commission MeetingsCancellation of Open Meeting on July 14, 2011 at 10:00 a.m.The Commission announced the cancellation of the previously announced open meeting to hear oral argument in an appeal by Comverse Technology, Inc. from an initial decision of an administrative law judge. Comverse is a New York corporation that provides a variety of services in the telecommunications industry through its subsidiaries. Comverse's common stock is registered with the Commission pursuant to Section 12(g) of the Securities Exchange Act of 1934. Closed Meeting on Thursday, July 14, 2011 at 2:00 p.m.The Commission announced the adjudicatory matter previously announced to be considered at the Closed Meeting scheduled for Thursday, July 14, 2011 will not be considered. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Closed Meeting on Thursday, July 21, 2011 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, July 21, 2011, will be: consideration of amicus participation; institution and settlement of injunctive actions; institution and settlement of administrative proceedings; an adjudicatory matter; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today 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 the Matter of bioMETRX, Inc., et al., Administrative Proceeding File No. 3-14465
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. 34-64880; File No. 3-14465). Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted separate 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 the Matter of M.B.A. Holdings, Inc., et al., Administrative Proceeding File No. 3-14466
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, 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 proceedings 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 the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64881; File No. 14466). In the Matter of Roman LyniukThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 (Securities Act), Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934 (Exchange Act), Sections 203(f) and 203(k) of the Investment Advisers Act of 1940 (Advisers Act) and Section 9(b) of the Investment Company Act of 1940 (Investment Company Act) against Roman Lyniuk (Lyniuk). The Order finds that from approximately 2004-2007, Lyniuk was the principal of Atlantis Capital Markets NA, LLC, a now-insolvent entity that acted as the investment advisor to Atlantis Capital Management L.P., a hedge fund (Fund). The Order also finds that Lyniuk made material misrepresentations and omissions to potential investors concerning the Fund’s historical performance and assets under management, and that, contrary to an express representation that he had no undisclosed conflicts of interest, Lyniuk received substantial undisclosed volume-based compensation from the broker-dealers through which he traded the Fund’s assets. The Order also finds that Lyniuk misappropriated assets and that he obstructed the investigation into his misconduct. Based on the above and additional facts set forth in the Order, the Order requires Lyniuk to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Advisers Act. The Order also (i) bars Lyniuk from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; (ii) prohibits him from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter; and (iii) bars him 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 or sale of any penny stock. The Order requires Lyniuk to pay disgorgement of $4,072,500 and prejudgment interest of $1,181,606, but waives payment and does not impose a civil penalty, based upon Respondent’s sworn representations in his Statement of Financial Condition dated May 24, 2011 and other documents submitted to the Commission. Lyniuk consented to the issuance of the Order without admitting or denying any of the findings of the Order. This Order resolves the proceedings that were instituted on March 23, 2011. (Rel. 33-9236; File No. 3-14304) In the Matter of Dawn Technologies, Inc.On July 14, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default as to Two Respondents (Default Order) in Dawn Technologies, Inc., Admin. Proc. No. 3-14422. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Dawn Technologies, Inc. and Distinctive Devices, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-64878; File No. 3-14422) Respondent Haber, Inc. remains in the proceeding. The proceeding has ended as to Respondent Independence Brewing Co. See Dawn Technologies, Inc., Exchange Act Release No. 64828 (July 7, 2011). In the Matter of Joseph F. Sofo, CPAThe United States Securities and Exchange Commission (Commission) announced the issuance of an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing a Cease-and-Desist Order against Joseph F. Sofo. The Order finds that Sofo was a cause of violations of Sections 17(a)(2) and (3) of the Securities Act of 1933 (Securities Act) and Section 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. The Order finds that from 2003 to 2009, James M. Peister and the Northstar International Group, Inc., intentionally overstated the assets of the North American Globex Fund, LP (Fund), resulting in the dissemination of materially false and misleading asset values and performance figures to investors and prospective investors via reports, account statements, and audited financial statements, among others. Indeed, the vast majority of the assets claimed in the Fund’s financial statements did not exist. Kurcias, Jaffe & Co. LLP (Kurcias), a Great Neck, New York accounting firm, conducted yearly audits of the Fund. Joseph F. Sofo is a certified public accountant and the engagement partner for Kurcias who was responsible for the Fund’s audits from 2001 through February 2009. Sofo represented that the audits were conducted in accordance with Generally Accepted Auditing Standards (GAAS) and that the financial statements were presented in accordance with Generally Accepted Accounting Principles (GAAP). Sofo was required, among other things, to ensure that the audit work was adequately performed and supported the conclusions presented in Kurcias’s audit opinions. In conducting the audits for fiscal year 2005, Sofo ignored the requirements of GAAS and relied on a flawed confirmation process. Sofo understood that a majority of the Fund’s assets were purportedly held by North American Globex Group (Group) and that Peister controlled both the Fund and the Group. To verify the balance of the Fund’s assets at the Group, Sofo merely obtained representations from Peister, in his role as the Group’s president, “confirming” the value of the Fund’s assets being held by the Group. Sofo did no further work to verify these balances. For fiscal year 2006, in addition to receiving “confirmation” from Peister, Sofo obtained a compilation of the Group’s balance sheet from the Group’s accountant and relied on this information to support the Fund’s assets supposedly held at the Group. Sofo failed to obtain third party confirmation or any other form of persuasive audit evidence with respect to the Fund’s balance purportedly held at the Group, a clear violation of GAAS. Sofo thus allowed the issuance of materially false financial statements while claiming that they were prepared in accordance with GAAP. As a result of the conduct described above, Sofo was a cause of Peister’s and Northstar’s violations of Sections 17(a)(2) and (3) of the Securities Act and Section 206(4) of the Advisers Act and Rule 206(4)-8 thereunder. Based on the above, the Order imposes disgorgement of $4,521 and prejudgment interest of $1,117, and imposes a cease-and-desist order on Sofo, who consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 33-9237; File No. 3- 14467). In the Matter of Priscilla G. SabadoOn July 14, 2011, the United States Securities and Exchange Commission (Commission) issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b)(6) and 21C of the Securities Exchange Act of 1934, and Section 203(f) of the Investment Advisers Act of 1940 (Order). The Order finds that, between August 2008 and November 2009, during her employment as a registered representative with AXA Advisors, LLC (AXA) Sabado offered and sold Halek Energy, LLC and CBO Energy, LLC (collectively Halek Energy) oil and gas working interests to several of her clients. While soliciting her clients, Sabado made material misrepresentations and omissions regarding the risks of the returns, the projected returns and her family’s investment. As a result of Sabado’s recommendations, six of her clients purchased working interests in Halek Energy oil and gas leases in the aggregate amount of $491,880. In offering and selling Halek Energy working interests to her AXA clients, Sabado violated AXA’s compliance policies and procedures prohibiting selling away and requiring disclosure to, and approval by, the firm of all outside business. Sabado was aware of AXA’s requirement that she obtain AXA’s approval prior to selling oil and gas working interests and failed to obtain the required approval. She also failed to disclose her Halek Energy sales on her annual outside business activities forms. The Order finds that Sabado willfully violated Sections 5(a), (c), and 17(a) of the Securities Act of 1933 (Securities Act), Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. Based on the above, the Commission orders Sabado to cease and desist from committing or causing any violations and any future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act, and Exchange Act Rule 10b-5. The Order permanently bars Sabado from (1) association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent; and (2) 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 or sale of any penny stock, with the right to apply for reentry after five years to the appropriate self-regulatory organization, or if there is none, to the Commission. The Order also requires Sabado to pay disgorgement of $2,341, prejudgment interest of $275, and a $25,000 civil penalty. Without admitting or denying the Commission’s findings in the Order, Sabado consented to the entry of the Order. (Rel. 33-9238; File No. 3-14145). Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change (SR-NYSEArca-2011-43) filed by NYSE Arca, Inc. amending its fee schedule by adding definitions for the Strategy Executions that qualify for transaction fee caps has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of July 18th. (Rel. 34-64875) A proposed rule change filed by Chicago Board Options Exchange, Incorporated (SR-CBOE-2011-061) to amend its Fees Schedule concerning certain orders of certain affiliates for purposes of a fee cap and sliding scale has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to made in the Federal Register during the week of July 18th. (Rel. 34-64876) A proposed rule change filed by The Options Clearing Corporation (SR-OCC-2011-06) to accommodate the clearing and settling of a transaction type called a Price Differential Spread for purposes of effecting exchange transactions in futures contracts has become effective pursuant to Section 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of July 18th. (Rel. 34-64883) A proposed rule change filed by the Financial Industry Regulatory Authority, Inc (SR-FINRA-2011-033) to adopt FINRA Rule 0180 relating to security-based swaps 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 July 18th. (Rel. 34-64884) 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-8 RADISYS CORP, 5445 NE DAWSON CREEK DR, HILLSBORO, OR, 97124, 5036461800 - 323,123 ($2,678,689.67) Equity, (File 333-175510 - Jul. 13) (BR. 03C) S-8 RADISYS CORP, 5445 NE DAWSON CREEK DR, HILLSBORO, OR, 97124, 5036461800 - 1,000,000 ($7,800,000.00) Equity, (File 333-175511 - Jul. 13) (BR. 03C) S-4 TRIMERIS INC, 2530 MERIDIAN PARKWAY, 2ND FLOOR, DURHAM, NC, 27713, (919) 806-4682 - 0 ($670,052.77) Equity, (File 333-175512 - Jul. 13) (BR. 01C) S-8 SEQUENOM INC, 3595 JOHN HOPKINS CT, SAN DIEGO, CA, 92121, 8582029000 - 0 ($31,000,000.00) Equity, (File 333-175513 - Jul. 13) (BR. 10C) S-1 Zeltiq Aesthetics Inc, 4698 Willow Road, Suite 100, Pleasanton, CA, 94588-2710, (925) 474-2500 - 0 ($115,000,000.00) Equity, (File 333-175514 - Jul. 13) (BR. ) S-3 GYRODYNE CO OF AMERICA INC, 1 FLOWERFIELD, SUITE 24, ST JAMES, NY, 11780, 6315845400 - 0 ($10,210,000.00) Equity, (File 333-175515 - Jul. 13) (BR. 08B) S-4 Acadia Healthcare Company, Inc., 725 COOL SPRINGS BOULEVARD, SUITE 600, FRANKLIN, TN, 37067, 615-732-6259 - 0 ($61,530,596.32) Equity, (File 333-175523 - Jul. 13) (BR. 01) S-1 DILMAX CORP., 2360 CORPORATE CIRCLE STE 400, HENDERSON, NV, 89074-7722, 7024306148 - 2,500,000 ($75,000.00) Equity, (File 333-175525 - Jul. 13) (BR. ) S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($771,250,000.00) Equity, (File 333-175526 - Jul. 13) (BR. 01A) S-4 HILLMAN COMPANIES INC, 10590 HAMILTON AVE., CINCINNATI, OH, 45231, 5138514900 - 0 ($50,000,000.00) Non-Convertible Debt, (File 333-175527 - Jul. 13) (BR. 06A) S-8 ALLSTATE CORP, 2775 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($20,000,000.00) Other, (File 333-175528 - Jul. 13) (BR. 01A) S-1 Penola Inc., 492 GILBERT ROAD, WEST PRESTON, C3, 3072, 61 3 9605 3907 - 1,160,000 ($116,000.00) Equity, (File 333-175529 - Jul. 13) (BR. ) S-4 BankUnited, Inc., 14817 OAK LANE, MIAMI LAKES, FL, 33016, (305) 569-2000 - 0 ($41,983,329.47) Equity, (File 333-175530 - Jul. 13) (BR. 07) S-8 BASSETT FURNITURE INDUSTRIES INC, PO BOX 626, BASSETT, VA, 24055, 5406296209 - 500,000 ($3,940,000.00) Equity, (File 333-175531 - Jul. 13) (BR. 06A) S-8 INSMED INC, 11 DEER PARK DRIVE, SUITE 117, MONMOUTH JUNCTION, NJ, 08852, 732-438-9434 - 3,000,000 ($36,300,000.00) Equity, (File 333-175532 - Jul. 13) (BR. 01A) S-8 HEARTLAND PAYMENT SYSTEMS INC, 90 NASSAU STREET, 2ND FLOOR, PRINCETON, NJ, 08542, 6096833850 - 6,641,219 ($137,871,707.00) Equity, (File 333-175533 - Jul. 13) (BR. 03C) S-3ASR ASSURED GUARANTY LTD, 30 WOOD BOURNE AVE, HAMILTON BERMUDA, D0, 0000, 441-279-5700 - 0 ($0.00) Equity, (File 333-175534 - Jul. 13) (BR. 01A) N-2 Western Asset Middle Market Income Fund Inc., 620 EIGHTH AVENUE, 49TH FLOOR, NEW YORK, NY, 10018, (888) 777-0102 - 0 ($1,000,000.00) Equity, (File 333-175535 - Jul. 13) (BR. ) S-1 CLIMATE ESCO LTD., UNIT 4, 2119 152ND STREET, SURREY, A1, V4A 4N7, 604-535-2597 - 15,605,000 ($1,560,500.00) Equity, (File 333-175536 - Jul. 13) (BR. ) S-3ASR BB&T CORP, 200 WEST SECOND STREET, WINSTON-SALEM, NC, 27101, 3367332000 - 0 ($0.00) Non-Convertible Debt, (File 333-175538 - Jul. 13) (BR. 07A) S-3ASR ASSURED GUARANTY LTD, 30 WOOD BOURNE AVE, HAMILTON BERMUDA, D0, 0000, 441-279-5700 - 0 ($0.00) Other, (File 333-175539 - Jul. 13) (BR. 01A) 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 11 GOOD ENERGY INC DE 1.01,9.01 07/11/11 ABAKAN, INC NV 2.01,5.06,7.01,9.01 07/13/11 ADTRAN INC DE 2.02,9.01 07/12/11 AdvanSource Biomaterials Corp DE 1.01,2.03,9.01 07/13/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 07/12/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 07/12/11 Allied World Assurance Co Holdings, A 8.01,9.01 07/13/11 ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 2.02,5.02,8.01,9.01 07/08/11 ALLSTATE CORP DE 7.01,9.01 07/13/11 Alon USA Energy, Inc. DE 5.02 07/08/11 AMERICA FIRST TAX EXEMPT INVESTORS LP DE 8.01,9.01 07/07/11 AMERICAN AIRLINES INC DE 7.01 07/13/11 AMERICAN APPAREL, INC DE 1.02,3.01,3.02,3.03, 07/07/11 9.01 AMERICAN INTERNATIONAL GROUP INC DE 5.03,9.01 07/04/11 American Standard Energy Corp. DE 1.01,3.02,9.01 07/12/11 AMR CORP DE 7.01 07/13/11 AMTECH SYSTEMS INC AZ 2.02,9.01 07/12/11 Apple REIT Ten, Inc. VA 1.01 07/11/11 ARBITRON INC DE 5.02,9.01 07/12/11 ARENA PHARMACEUTICALS INC DE 8.01 07/12/11 ARRAY BIOPHARMA INC DE 1.01,9.01 07/12/11 Artio Global Investors Inc. DE 7.01,9.01 07/13/11 ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 07/13/11 Ascent Capital Group, Inc. DE 5.07 07/11/11 ASHLAND INC. KY 5.02 07/13/11 AspenBio Pharma, Inc. CO 5.02,5.07,9.01 07/08/11 AUDIOVOX CORP DE 2.02 07/11/11 Augme Technologies, Inc. DE 8.01,9.01 07/13/11 AUTOINFO INC DE 1.01,2.01,9.01 07/08/11 AVALONBAY COMMUNITIES INC MD 5.02,9.01 07/11/11 AZZ INC TX 5.07 07/12/11 BANK OF SOUTH CAROLINA CORP SC 2.02,9.01 07/13/11 BERKSHIRE HILLS BANCORP INC 1.01,9.01 07/13/11 BIG 5 SPORTING GOODS CORP DE 5.02,9.01 07/07/11 BILL BARRETT CORP 7.01,9.01 07/12/11 BIMINI CAPITAL MANAGEMENT, INC. MD 5.07 07/12/11 Bitzio, Inc. NV 1.01 07/11/11 BJs RESTAURANTS INC CA 8.01,9.01 07/13/11 Blueknight Energy Partners, L.P. DE 8.01,9.01 07/13/11 BONANZA GOLD CORP. DE 3.02,9.01 07/08/11 BUILD A BEAR WORKSHOP INC DE 5.02 07/07/11 CALIFORNIA PIZZA KITCHEN, INC. DE 1.01,3.01,3.02,3.03, 07/07/11 5.01,5.02,5.03,8.01, 9.01 CAPITAL ONE FINANCIAL CORP DE 2.02,8.01,9.01 07/13/11 CAPITAL ONE FINANCIAL CORP DE 7.01,8.01,9.01 07/13/11 CarePayment Technologies, Inc. OR 1.01,1.02,5.02,9.01 07/07/11 CASEY CONTAINER CORP NV 1.01,9.01 07/11/11 AMEND Ceelox Inc. NV 2.04 07/12/11 CENTURY BANCORP INC MA 2.02,9.01 07/13/11 CENTURY BANCORP INC MA 8.01,9.01 07/13/11 Chesapeake Lodging Trust MD 1.01,2.03,9.01 07/08/11 China Biologic Products, Inc. 8.01,9.01 07/13/11 China Growth CORP E9 1.01,2.01,3.02,4.01, 12/15/10 AMEND 5.01,5.02,5.03,5.06, 9.01 CHINA RECYCLING ENERGY CORP 1.01,2.01,2.03 06/28/11 AMEND China Youth Media, Inc. DE 5.02,7.01,9.01 07/07/11 ChromaDex Corp. 1.01 07/12/11 Circle Entertainment, Inc. DE 1.01,9.01 07/07/11 CIRCLE STAR ENERGY CORP. NV 1.01,3.02,5.02,7.01, 07/11/11 9.01 Cleartronic, Inc. FL 5.02,9.01 07/13/11 Cole Credit Property Trust III, Inc. MD 7.01,9.01 07/13/11 Colony Financial, Inc. MD 2.01,9.01 07/07/11 CommonWealth REIT MD 8.01,9.01 07/12/11 Conmed Healthcare Management, Inc. DE 1.01,5.02,8.01,9.01 07/11/11 Cornerstone OnDemand Inc DE 5.02 07/07/11 CRYO CELL INTERNATIONAL INC DE 2.02,9.01 07/13/11 CSX CORP VA 7.01 07/12/11 DALECO RESOURCES CORP 5.02 07/11/11 DC BRANDS INTERNATIONAL INC CO 1.01,1.02,9.01 07/08/11 DE Acquisition 3, Inc. 5.03,9.01 07/07/11 DEAN FOODS CO DE 8.01,9.01 07/12/11 DELTA PETROLEUM CORP/CO CO 5.03,5.07,8.01,9.01 07/12/11 DIGITAL RIVER INC /DE DE 5.02,9.01 07/08/11 Double Eagle Holdings, Ltd. NV 3.02,5.02,9.01 06/02/11 Energy Future Holdings Corp /TX/ TX 2.06,8.01 07/07/11 ENVIRONMENTAL TECTONICS CORP PA 2.02,9.01 07/11/11 EPL Intermediate, Inc. DE 8.01 07/13/11 EQUINIX INC DE 1.01,9.01 07/13/11 ERHC Energy Inc CO 8.01,9.01 07/11/11 EXCO RESOURCES INC TX 7.01,8.01,9.01 07/11/11 Federal Home Loan Bank of Atlanta X1 2.03 07/12/11 Federal Home Loan Bank of Dallas 2.03,9.01 07/07/11 FEDERAL HOME LOAN MORTGAGE CORP 5.02 07/07/11 FIRST INDUSTRIAL REALTY TRUST INC MD 5.02,9.01 07/12/11 FIRST PLACE FINANCIAL CORP /DE/ DE 1.01,4.02,8.01,9.01 07/11/11 FOREST CITY ENTERPRISES INC OH 1.01,8.01,9.01 07/13/11 GARNER INVESTMENTS INC WY 5.01,8.01,9.01 07/12/11 GASCO ENERGY INC NV 5.02 07/11/11 General Moly, Inc DE 1.01,2.03,8.01,9.01 07/07/11 GFI Group Inc. DE 7.01,9.01 07/13/11 GLEACHER & COMPANY, INC. DE 1.01,5.02,7.01,9.01 07/07/11 Global Geophysical Services Inc DE 5.02 07/07/11 Global Investor Services, Inc. UT 1.01,2.03,3.02,9.01 07/07/11 GLU MOBILE INC DE 5.02 07/07/11 GOLDFIELD CORP DE 5.02,9.01 07/12/11 GREER BANCSHARES INC SC 1.01,9.01 07/07/11 Griffin Capital Net Lease REIT, Inc. 5.03,9.01 07/12/11 GRIFFIN LAND & NURSERIES INC DE 8.01,9.01 07/13/11 GULF RESOURCES, INC. DE 8.01,9.01 07/13/11 GYRODYNE CO OF AMERICA INC NY 8.01,9.01 07/13/11 HARMONY METALS, INC. FL 8.01,9.01 07/12/11 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 07/13/11 HEALTHCARE SERVICES GROUP INC PA 2.02,9.01 07/12/11 HELEN OF TROY LTD 2.02,9.01 07/07/11 IA GLOBAL INC DE 5.02 06/04/11 INNODATA ISOGEN INC DE 5.02,9.01 07/12/11 INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02,9.01 07/07/11 INTERDOM, CORP. NV 5.02 07/12/11 INTERVEST BANCSHARES CORP DE 2.02,9.01 07/13/11 INVESTMENT TECHNOLOGY GROUP INC DE 2.02,2.05,5.02,8.01, 07/11/11 9.01 INX Inc DE 2.02,7.01,9.01 07/13/11 ION GEOPHYSICAL CORP DE 7.01 07/13/11 Jacksonville Bancorp, Inc. MD 2.02,9.01 07/12/11 JEWETT CAMERON TRADING CO LTD OR 5.02 07/13/11 JONES GROUP INC PA 5.02,9.01 07/13/11 KANSAS CITY SOUTHERN DE 1.01,2.03,7.01,9.01 07/12/11 Kansas City Southern de Mexico, S.A. O5 7.01,9.01 07/12/11 Keyuan Petrochemicals, Inc. NV 3.01,7.01 07/11/11 KINETIC CONCEPTS INC TX 8.01,9.01 07/13/11 KINETIC CONCEPTS INC TX 8.01,9.01 07/13/11 KLA TENCOR CORP DE 2.02 07/12/11 KRISPY KREME DOUGHNUTS INC NC 5.02,9.01 07/07/11 LAKELAND FINANCIAL CORP IN 5.02,7.01,9.01 07/12/11 LAKELAND FINANCIAL CORP IN 7.01 07/12/11 LAYNE CHRISTENSEN CO DE 1.01,2.03,9.01 07/08/11 Legacy Bancorp, Inc. 1.01,9.01 07/13/11 LEHMAN ABS CORP BACKED TR CERT FED EX DE 8.01,9.01 07/01/11 Liberty Coal Energy Corp. 5.02,9.01 07/12/11 LIGHTSTONE VALUE PLUS REAL ESTATE INV MD 1.01,1.02,7.01,9.01 07/08/11 Lithium Exploration Group, Inc. NV 1.01,2.01,5.06,9.01 12/16/10 Lithium Exploration Group, Inc. NV 1.01,3.02,9.01 07/12/11 LML PAYMENT SYSTEMS INC A1 1.01,9.01 07/13/11 LOJACK CORP MA 8.01 07/13/11 LUFKIN INDUSTRIES INC TX 8.01,9.01 07/12/11 MARINE PRODUCTS CORP DE 8.01,9.01 07/12/11 MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 07/07/11 MARRIOTT INTERNATIONAL INC /MD/ DE 2.02,9.01 07/13/11 MASSEY EXPLORATION CORP. NV 5.03,8.01,9.01 07/08/11 MATERION Corp 7.01,9.01 07/13/11 MedClean Technologies, Inc. DE 4.01,9.01 06/29/11 AMEND MEDIANET GROUP TECHNOLOGIES INC NV 5.02,9.01 07/13/11 MITEK SYSTEMS INC DE 8.01,9.01 07/12/11 MITEL NETWORKS CORP 7.01,9.01 07/13/11 MORRIS PUBLISHING GROUP LLC GA 5.02 07/07/11 MOTORCAR PARTS AMERICA INC NY 1.01,9.01 07/07/11 MultiCell Technologies, Inc. DE 5.02,5.07,9.01 07/11/11 MUNICIPAL MORTGAGE & EQUITY LLC DE 5.02,9.01 07/12/11 MUTUALFIRST FINANCIAL INC MD 2.02,9.01 07/13/11 NATIONAL HOUSING PARTNERSHIP REALTY F MD 8.01 07/11/11 NBT BANCORP INC DE 1.01,9.01 07/13/11 NCI BUILDING SYSTEMS INC DE 5.07 07/13/11 AMEND NeuMedia, Inc. DE 5.02 06/27/11 AMEND NEW YORK MORTGAGE TRUST INC MD 7.01 07/13/11 NEW YORK TIMES CO NY 8.01,9.01 07/11/11 NEWPORT CORP NV 7.01,9.01 07/13/11 NEWS CORP 8.01,9.01 07/13/11 NORTHERN TECHNOLOGIES INTERNATIONAL C DE 2.02,9.01 07/13/11 ONCURE HOLDINGS INC 1.02,5.02 07/08/11 ONEOK Partners LP DE 5.03,7.01,8.01,9.01 07/13/11 ONLINE RESOURCES CORP DE 5.07 06/17/11 ORB Automotive E9 5.07 07/12/11 PEERLESS SYSTEMS CORP DE 5.07 07/11/11 PennyMac Mortgage Investment Trust MD 1.01,2.03 07/12/11 PERVASIVE SOFTWARE INC DE 2.02,9.01 07/13/11 PETMED EXPRESS INC FL 8.01,9.01 07/11/11 Platinum Studios, Inc. CA 5.02 07/12/11 POPE RESOURCES LTD PARTNERSHIP DE 8.01,9.01 07/13/11 POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 07/13/11 PPL ELECTRIC UTILITIES CORP PA 1.01,9.01 07/08/11 Premier Power Renewable Energy, Inc. DE 7.01,9.01 07/12/11 PRIMEDIA INC DE 8.01,9.01 07/13/11 PROGRESS SOFTWARE CORP /MA MA 5.02,7.01,9.01 07/07/11 PROVECTUS PHARMACEUTICALS INC NV 5.02,9.01 07/13/11 PSM HOLDINGS INC NV 2.01,3.02,5.02,9.01 07/06/11 QCR HOLDINGS INC DE 8.01,9.01 07/13/11 QKL Stores Inc. DE 4.01,8.01,9.01 07/08/11 Quad/Graphics, Inc. WI 8.01,9.01 07/13/11 RAAM Global Energy Co DE 1.01,2.03,9.01 07/12/11 REDFIN NETWORK, INC. NV 7.01,9.01 07/13/11 RENTRAK CORP OR 5.03,7.01,9.01 07/11/11 Resource Capital Corp. MD 1.01,2.03,9.01 07/07/11 Rhino Resource Partners LP DE 1.01,7.01,9.01 07/13/11 Rockwood Holdings, Inc. DE 5.02 07/12/11 RPC INC DE 8.01,9.01 07/12/11 Samson Oil & Gas LTD C3 5.02,9.01 07/10/11 SAVVIS, Inc. DE 5.07,8.01,9.01 07/13/11 SeaBright Holdings, Inc. DE 5.02,9.01 07/07/11 SHERWIN WILLIAMS CO OH 1.01,1.02,2.03,9.01 07/08/11 SIGMATRON INTERNATIONAL INC DE 2.02,9.01 07/13/11 SILVER HORN MINING LTD. DE 5.02 07/12/11 Sino Green Land Corp NV 4.01,5.02,9.01 07/10/11 SLM Student Loan Trust 2003-14 8.01,9.01 07/13/11 SLM Student Loan Trust 2004-1 8.01,9.01 07/13/11 SLM Student Loan Trust 2004-10 DE 8.01,9.01 07/13/11 SLM Student Loan Trust 2004-5 8.01,9.01 07/13/11 SLM Student Loan Trust 2004-8 DE 8.01,9.01 07/13/11 SMART Modular Technologies (WWH), Inc E9 8.01,9.01 07/13/11 SMF ENERGY CORP DE 8.01 07/07/11 SMSA Treemont Acquisition Corp NV 5.02 07/12/11 Solera National Bancorp, Inc. DE 5.07 07/12/11 SONIC AUTOMOTIVE INC DE 1.01,2.01,2.03 07/08/11 SOUTHERN CO DE 8.01 07/12/11 SPO Medical Inc DE 1.01,9.01 07/07/11 SRA INTERNATIONAL INC DE 8.01 07/13/11 STILLWATER MINING CO /DE/ DE 1.01,2.03,3.02,9.01 07/12/11 SUNRISE REAL ESTATE GROUP INC TX 1.01,3.02 07/01/11 TAKEDOWN ENTERTAINMENT INC. NV 7.01 05/24/11 TD AMERITRADE HOLDING CORP DE 1.01,9.01 06/01/11 TECUMSEH PRODUCTS CO MI 5.02,7.01,9.01 07/11/11 THOR INDUSTRIES INC DE 1.01,9.01 07/08/11 TIB FINANCIAL CORP. FL 2.01,9.01 04/27/11 AMEND TITANIUM METALS CORP DE 7.01,9.01 07/13/11 TOPSPIN MEDICAL INC 5.02 07/07/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 07/13/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 07/13/11 Transocean Ltd. V8 7.01,9.01 07/13/11 TRIMEDYNE INC NV 1.01 06/22/11 TUESDAY MORNING CORP/DE DE 2.02,9.01 07/13/11 UDR, Inc. MD 1.01,8.01,9.01 07/13/11 UMB FINANCIAL CORP MO 7.01,9.01 07/12/11 UNICO INC /AZ/ AZ 8.01 07/07/11 UNIVERSAL FOREST PRODUCTS INC MI 5.02,9.01 07/12/11 UNIVERSAL FOREST PRODUCTS INC MI 2.02,9.01 07/13/11 UNIVERSAL SECURITY INSTRUMENTS INC MD 5.03,9.01 07/12/11 URANIUM 308 CORP. NV 1.01,3.02,7.01 07/08/11 Urban Barns Foods Inc. NV 7.01,9.01 07/12/11 US DATAWORKS INC NV 2.02,9.01 07/13/11 US NATURAL GAS CORP FL 8.01,9.01 07/12/11 VALIDUS HOLDINGS LTD 8.01,9.01 07/12/11 VCA ANTECH INC DE 1.01,2.03,9.01 07/10/11 Visual Network Design, Inc. NV 1.01,5.03,8.01,9.01 07/08/11 VSB BANCORP INC NY 2.02,9.01 07/13/11 Waxess Holdings, Inc. DE 1.01,3.02,9.01 07/11/11 Weatherford International Ltd./Switze V8 1.01,2.03,9.01 07/13/11 WESTSTAR FINANCIAL SERVICES CORP NC 8.01 07/07/11 WINMARK CORP MN 2.02,7.01,9.01 07/13/11 WORTHINGTON INDUSTRIES INC OH 5.02,9.01 07/13/11 Xenacare Holdings, Inc. FL 8.01 07/08/11 Xun Energy, Inc. NV 1.01 07/13/11
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