U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-150
August 4, 2011

Enforcement Proceedings

Evelyn Litwok Sanctioned

Evelyn Litwok has been barred from association with an investment adviser. The sanction was based on her felony conviction for mail fraud and tax evasion and was ordered in an administrative proceeding before an administrative law judge.

Litwok was convicted of one count of mail fraud in violation of 18 U.S.C. 1341, 1342 and three counts of tax evasion in violation of 26 U.S.C. 7201 in United States v. Litwok, No. 2:02-cr-00427 (E.D.N.Y. May 11, 2010) and is currently serving a two-year prison term. At the time of her misconduct she was associated with Kohn Investment Management, Inc., an unregistered investment adviser to a fund known as Kohn Investment Partnership, L.P.-1. (Initial Decision No. 426; File No. 3-14190)

Commission Declares Decision as to Magnum D'Or Resources, Inc., Final

The decision of an administrative law judge with respect to Magnum D'Or Resources, Inc., has become final. The law judge found that Magnum violated Section 13(a) of the Securities Exchange Act of 1934 and Securities Exchange Act Rules 13a 1 and 13a 13 by failure to file timely its periodic reports. Magnum filed its last annual report on Form 10 K for the year ended September 30, 2009, on January 13, 2010, and its last Form 10 Q for the three months ended December 31, 2009, on February 16, 2010. Since February 2010, Magnum has not submitted its required periodic filings, which includes four 10 Qs and one 10 K. The law judge revoked the registration of Magnum D'Or's securities. (Rel. 34-65026; File No. 3-14359)

International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.)

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Three Respondents (Default Order) in International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.), Admin. Proc. No. 3-14439. 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 International Poultry Co., Inc. (n/k/a Carley Enterprises, Inc.), International Thoroughbred Breeders, Inc., and Ionic Fuel Technology, Inc. pursuant to Section 12(j) of the Securities Exchange Act of 1934.

The Division of Enforcement and Respondent IPEX, Inc. (n/k/a Salus Labs International, Inc.) are in settlement negotiations. The proceeding with respect to this Respondent is therefore pending the outcome of those negotiations. (Rel. 34-65027; File No. 3-14439)

Citizens Capital Corp.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents (Default Order) in Citizens Capital Corp., Admin. Proc. No. 3-14401. 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 Coho Energy, Inc., Colonial Industries, Inc., Comp-U-Check, Inc., Computer Automation, Inc., Concentrax, Inc., and Consolidated Capital Properties VII, pursuant to Section 12(j) of the Securities Exchange Act of 1934.

The proceeding is still pending as to Citizens Capital Corp. (Rel. 34-65028; File No. 3-14401)

In the Matter of Patrick L. Martin

On August 4, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 against Patrick L. Martin (Martin). The Order finds that Martin was the chief manager of LandOak Securities, LLC (LandOak Securities), an investment adviser registered with the Commission, since April 2000. LandOak Securities is also a broker-dealer registered with the Commission. Martin is currently the sole owner and principal operator of LandOak Securities and has owned at least 75% of it since April 2003. Prior to that time, Martin owned at least 25% of LandOak Securities. Martin has been a registered representative of LandOak Securities, the registered broker-dealer, from April 1996 to the present. On March 29, 2011, a final judgment was entered by consent against Martin, permanently enjoining him from future violations of Sections 206(1), 206(2), 206(4), 207, and 204 and Rule 204-2 of the Advisers Act, in the civil action entitled Securities and Exchange Commission v. LandOak Securities, LLC, Patrick L. Martin, and Michael A. Atkins, Civil Action Number 3:08-cv-0209, in the United States District Court for the Eastern District of Tennessee.

The Order finds that the Commission’s complaint alleged the following facts: Between July 1997 and July 1998, Martin and his co-defendant Michael A. Atkins (Atkins) sold investors approximately $3.6 million in promissory notes and membership interests in LandOak Mortgage, a Tennessee limited liability company. In July 2002, Martin and Atkins took $1,545,000 from LandOak Mortgage and diverted or loaned it to Tice Technologies, Inc. (Tice). Martin did not disclose to LandOak Mortgage’s investors, several of whom were advisory clients of LandOak Securities, that Martin had a conflict of interest because he was a director of Tice and owned a substantial stake in that company. Martin also failed to maintain certain books and records required of investment advisers registered with the Commission, and also made false statements and material omissions in LandOak Securities’ Form ADV and amendments filed with the Commission.

Based on the above, the Order bars Martin from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and 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. Martin consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-65029; IA-3258; File No. 3-14448)

In the Matter of Karlheinz Redekopp

The Securities and Exchange Commission announced that on July 26, 2011, the Honorable Ronald B. Leighton, United States District Court Judge for the Western District of Washington, entered a judgment of permanent injunction against Defendant Karlheinz Redekopp.

The final judgment enjoins Redekopp from violating Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5, 13a-14 and 13b2-1 thereunder, and from aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. Additionally, the final judgment bars Redekopp from serving as an officer or director of a public company for five years pursuant to Section 21(d)(2) of the Exchange Act.

On August 9, 2010, the Commission filed its complaint against Redekopp, who lives in Vancouver, B.C. The complaint alleges that Redekopp, the former CFO of International Commercial Television Inc. (ICTV), turned millions of dollars of quarterly losses into profits by falsely accounting for ICTV’s sales of the Derma Wand, a skin care appliance that purports to reduce wrinkles and improve skin appearance. Redekopp improperly recognized revenue before the Home Shopping Network had actually sold or delivered the product to viewers. The complaint also alleges that Redekopp recorded “sales” of products that had not been shipped or that the customer was not obligated to pay for. Redekopp’s fraudulent accounting resulted in ICTV adjusting net sales by more than $3.7 million over a five-quarter period in 2007 and 2008, negating all originally reported net income for those periods to restated net losses.

In addition to the relief described above, Redekopp consented to the entry of an order, without admitting or denying any of the findings in the Order, in a separate Commission administrative proceedings suspending him, pursuant to Rule 102(e) of the Commission's Rules of Practice, from appearing or practicing as an accountant before the Commission with the right to apply for reinstatement after three years. [SEC v. Karlheinz Redekopp, Civil Action No. 3:10-cv-05557-RBL (W.D. Wash.)] (LR-22060; AAE Rel. 3311); Administrative Proceeding — Rel. 34-65030; AAE Rel. 3310; File No. 3-14500)

Defendant in NewAlliance Bancshares IPO Fraud Settles with SEC

The Securities and Exchange Commission announced today that the federal court in Connecticut entered a final judgment by consent against defendant Gary Richetelli in an enforcement action relating to fraud in the initial public offering of NewAlliance Bancshares, Inc. On August 2, 2011, the U.S. District Court for the District of Connecticut entered judgment against Richetelli, 64, a resident of Milford, Connecticut ordering him to pay disgorgement of $854,945 plus prejudgment interest of $45,055 and a civil penalty of $100,000.

According to the Commission's complaint, filed March 5, 2009, the action arises out of the April 2004 conversion of New Haven Savings Bank (NHSB) from a mutual form of organization to a stock form of organization. Because mutual banks are owned by their depositors, the depositors are given first priority in receiving the shares arising out of the conversion's initial public offering. The Commission's complaint alleges that Richetelli entered into illegal arrangements with six NHSB depositors (which were hidden from NHSB) pursuant to which he funded their purchase of shares of NewAlliance stock in exchange for 90% of the profits earned on the sales of such shares. The complaint further alleges that Richetelli also illegally funded the purchase of additional shares of the stock using his mother’s NHSB account, retaining 100% of the profits derived from the sales of those shares. The complaint further alleges that, through his scheme and at the expense of other NHSB bank depositors, Richetelli illegally obtained hundreds of thousands in proceeds from the sale of NewAlliance stock that had been purchased in the IPO.

Without admitting or denying the allegations in the Commission's complaint, Richetelli consented to the entry of the judgment enjoining him from violating Section 10(b) of the Securities Exchange Act of 1934 and ordering him to pay disgorgement of $854,945, representing ill-gotten gains he received as a result of the conduct alleged in the complaint, together with prejudgment interest thereon in the amount of $45,055, and a civil penalty of $100,000. The judgment was entered by the Honorable Christopher Droney of the United States District Court for the District of Connecticut. [SEC v. Gary Richetelli, Civil Action No. 3:09-CV-00361 (CFD) (D. Conn.)] (LR-22061)

SEC Charges Former Professional Baseball Player Doug Decinces and Three Others With Insider Trading

The Securities and Exchange Commission today charged former professional baseball player Doug DeCinces and three others with insider trading ahead of a company buyout. The SEC alleges that DeCinces and his associates made more than $1.7 million in illegal profits when Abbott Park, Ill.-based Abbott Laboratories Inc. announced its plan to purchase Advanced Medical Optics Inc. through a tender offer.

The SEC alleges that DeCinces, who lives in Laguna Beach, Calif., received confidential information about the acquisition from a source at Santa Ana, Calif.-based Advanced Medical Optics. DeCinces immediately began to purchase shares of Advanced Medical Optics in several brokerage accounts, buying more throughout the course of the impending transaction as he received updated information from his source. During this time, DeCinces also illegally tipped three associates who traded on the confidential information — physical therapist Joseph J. Donohue, real estate lawyer Fred Scott Jackson, and businessman Roger A. Wittenbach.

DeCinces agreed to pay $2.5 million to settle the SEC’s charges, and the three others also agreed to settlements.

According to the SEC’s complaint filed in U.S. District Court for the Central District of California, DeCinces received the material, nonpublic information from an employee at Advanced Medical Optics. DeCinces knew that his source was under a duty to keep the information confidential. In the weeks preceding the public announcement, DeCinces bought Advanced Medical Optics stock on several occasions, eventually totaling at least 83,700 shares in several brokerage accounts he controlled. Some of these accounts were in his grandchildren’s names. On at least one occasion, DeCinces funded his purchase of shares by liquidating a diverse portfolio of 110 stocks. When a public announcement was made by the companies on Jan. 12, 2009, the stock price for Advanced Medical Optics increased 143 percent, and DeCinces sold all of his shares for $1.2 million in profits.

According to the SEC’s complaint, Donohue was DeCinces’s physical therapist at the time of the illegal trading. He bought 5,000 shares of Advanced Medical Optics stock in December 2008 and January 2009 on the basis of confidential information received from DeCinces about the impending transaction. Donohue made $75,570 when he sold the stock on the same day as the public announcement. DeCinces later asked Donohue whether he had sold his stock and congratulated him.

According to the SEC’s complaint, DeCinces and Jackson shared business and social interests. During a Jan. 8, 2009, breakfast meeting, Jackson used his mobile handheld device to buy 8,500 shares of Advanced Medical Optics stock on the basis of the confidential information that DeCinces communicated to him. Jackson bought additional shares later that day and again the next day, and following the public announcement sold all of his shares for a profit of $140,259.

DeCinces and Wittenbach have been longtime friends, according to the SEC’s complaint. After DeCinces tipped Wittenbach with confidential information about the impending transaction, Wittenbach bought 15,000 shares of Advanced Medical Optics stock on January 8. He also called his sister and recommended that she buy 1,000 shares of the stock, which she did later that day. On the same day of the public announcement, Wittenbach sold all of his shares for a profit of $201,692. He again called his sister and told her to sell her stock, which she did for a profit of $13,214.

Without admitting or denying the SEC’s allegations, DeCinces, Donohue, Jackson, and Wittenbach agreed to settle the charges against them by consenting to the entry of final judgments permanently enjoining them from violating Sections 10(b) and 14(e) of the Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. DeCinces agreed to pay disgorgement of $1,282,691, prejudgment interest of $19,311, and a penalty of $1,197,998 for a total of $2.5 million. Donohue agreed to pay disgorgement of $75,570 and a penalty of $37,785 for a total of $113,355. Jackson agreed to pay disgorgement of $140,259, prejudgment interest of $12,508, and a penalty of $140,259 for a total of $293,026. Wittenbach agreed to pay disgorgement of $201,692, prejudgment interest of $5,768, and a penalty of $214,906 for a total of $422,366. The settlements are subject to final approval by the court. [SEC v. Douglas V. DeCinces, Joseph J. Donohue, Fred Scott Jackson and Roger A. Wittenbach, Case No. SACV11-1168DOC (ANX) (C.D. Cal.)] (LR-22062)

Investment Company Act Releases

Ridgeworth Funds and Ridgeworth Capital Management, Inc.

A notice has been issued giving interested persons until August 29, 2011, to request a hearing on an application filed by RidgeWorth Funds and RidgeWorth Capital Management, Inc., 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. (Rel. IC-29743 - August 3)

American Capital, Ltd.

A notice has been issued giving interested persons until August 29, 2011, to request a hearing on an application filed by American Capital, Ltd. for an order under Section 61(a)(3)(B) of the Investment Company Act approving applicant’s proposal to grant stock options to non-employee directors under applicant’s 2010 stock option plan. (Rel. IC-29744 - August 3)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-073) to amend its Fees Schedule and Circular regarding Trading Permit Holder application and other related fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-65019)

A proposed rule change filed by International Securities Exchange (SR-ISE-2011-45) relating to fees for complex orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-65021)

A proposed rule change filed by The NASDAQ Stock Market to introduce a bulk-quoting interface (SR-NASDAQ-2011-102) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected to in the Federal Register during the week of August 1. (Rel. 34-65024)

Securities Act Registrations

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-11    Dividend Capital Total Realty Trust Inc., 518 SEVENTEENTH STREET, 
        17TH FLOOR, DENVER, CO, 80202, (303)228-2200 - 
        0 ($2,000,000,000.00) Equity, (File 333-175989 - Aug. 3) (BR. 08A)

S-8     DDI CORP, 1220 N. SIMON CIRCLE, ANAHEIM, CA, 92806, 7146887200 - 
        0 ($13,632,500.00) Equity, (File 333-175990 - Aug. 3) (BR. 03C)

S-8     PERNIX THERAPEUTICS HOLDINGS, INC., 33219 FOREST WEST STREET, MAGNOLIA, 
        TX, 77354, (832) 934-1825 - 1,316,213 ($11,174,649.00) Equity, 
        (File 333-175992 - Aug. 3) (BR. 01B)

S-8     ASIAINFO-LINKAGE, INC, 4/F ZHONGDIAN INFORMATION TOWER 6, 
        ZHONGGUANCUN SOUTH STREET HAIDIAN, BEIJING, F4, 100086, 
        00861082166688 - 0 ($129,351,270.00) Equity, (File 333-175993 - Aug. 3) 
        (BR. 03C)

S-3     Vantage Drilling CO, C/O M&C CORPORATE SVC LTD., PO BOX 309GT, 
        UGLAND HOUSE, S CHURCH ST., GEORGE TOWN, GRAND CAYMAN, E9, KY1-1104, 
        (281) 404-4709 - 0 ($250,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-175994 - Aug. 3) (BR. 04C)

S-8     BIOHEART, INC., 13794 NW 4TH STREET, SUITE 212, SUNRISE, FL, 33325, 
        954-835-1500 - 6,391,512 ($766,981.44) Equity, (File 333-176000 - 
        Aug. 3) (BR. 01C)

S-1     DNA BRANDS INC, 506 NW 77TH STREET, BOCA RATON, FL, 33487, 
        954-978-8401 - 4,427,000 ($3,541,600.00) Equity, (File 333-176001 - 
        Aug. 3) (BR. 11A)

S-8     TRAVELERS COMPANIES, INC., 385 WASHINGTON ST, SAINT PAUL, MN, 55102, 
        6513107911 - 0 ($1,637,850,000.00) Equity, (File 333-176002 - Aug. 3) 
        (BR. 01C)

S-8     MB FINANCIAL INC /MD, 800 WEST MADISON STREET, CHICAGO, IL, 60607, 
        888-422-6562 - 2,300,000 ($46,115,000.00) Equity, (File 333-176003 - 
        Aug. 3) (BR. 07A)

S-8     MB FINANCIAL INC /MD, 800 WEST MADISON STREET, CHICAGO, IL, 60607, 
        888-422-6562 - 20,000,000 ($20,000,000.00) Debt, 
        350,000 ($7,017,500.00) Equity, (File 333-176004 - Aug. 3) (BR. 07A)

S-3     Castle Brands Inc, 122 EAST 42ND STREET, SUITE 4700, NEW YORK, NY, 
        10168, 646-356-0200 - 52,923,765 ($22,662,510.68) Equity, 
        (File 333-176005 - Aug. 3) (BR. 09A)

S-3     NPS PHARMACEUTICALS INC, 550 HILLS DRIVE, BEDMINSTER, NJ, 07921, 
        (908) 450-5300 - 0 ($113,850,000.00) Other, (File 333-176006 - Aug. 3) 
        (BR. 01B)

S-8     HUDSON HIGHLAND GROUP INC, 560 LEXINGTON AVENUE, 5TH FLOOR, NEW YORK, 
        NY, 10022, 2123517300 - 500,000 ($3,005,000.00) Equity, 
        (File 333-176007 - Aug. 3) (BR. 11A)

S-8     SILICON IMAGE INC, 1060 EAST ARQUES AVE, SUNNYVALE, CA, 94085, 
        4086164000 - 3,000,000 ($17,490,000.00) Equity, (File 333-176008 - 
        Aug. 3) (BR. 10C)

S-8     AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156, 
        8602730123 - 9,750,000 ($389,025,000.00) Equity, (File 333-176009 - 
        Aug. 3) (BR. 01A)

N-2     TORTOISE MLP FUND, INC., 11550 ASH STREET, SUITE 300, LEAWOOD, KS, 
        66211, 913-981-1020 - 0 ($5,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-176010 - Aug. 3) (BR. 16)

S-8     AETNA INC /PA/, 151 FARMINGTON AVENUE, HARTFORD, CT, 06156, 
        8602730123 - 5,000,000 ($199,500,000.00) Equity, (File 333-176011 - 
        Aug. 3) (BR. 01A)

S-8     NPS PHARMACEUTICALS INC, 550 HILLS DRIVE, BEDMINSTER, NJ, 07921, 
        (908) 450-5300 - 0 ($44,547,000.00) Equity, (File 333-176012 - Aug. 3) 
        (BR. 01B)

S-8     GEN PROBE INC, 10210 GENETIC CENTER DR., SAN DIEGO, CA, 92121, 
        8584108000 - 0 ($150,350,000.00) Equity, (File 333-176013 - Aug. 3) 
        (BR. 10B)

S-8     NxStage Medical, Inc., 439 SOUTH UNION STREET, 5TH FLOOR, LAWRENCE, MA, 
        01843, 978-687-4700 - 0 ($72,660,000.00) Equity, (File 333-176014 - 
        Aug. 3) (BR. 10B)

S-8     Wesco Aircraft Holdings, Inc, 27727 AVENUE SCOTT, VALENCIA, CA, 91355, 
        661-775-7200 - 0 ($119,742,920.64) Equity, (File 333-176016 - Aug. 3) 
        (BR. 06A)

S-3     Cinedigm Digital Cinema Corp., 55 MADISON AVENUE, SUITE 300, 
        MORRISTOWN, NJ, 07960, 973-290-0080 - 4,338,750 ($7,506,038.00) Equity, 
        (File 333-176017 - Aug. 3) (BR. 03A)

S-3     John Deere Receivables, Inc., I EAST FIRST STREET, SUITE 600, RENO, NV, 
        89501, (775) 786-5914 - 0 ($1,000,000.00) Asset-Backed Securities, 
        (File 333-176018 - Aug. 3) (BR. 05D)

S-1     EXA CORP, 450 BEDFORD ST, LEXINTON, MA, 02420, 781-676-8500 - 
        0 ($86,250,000.00) Equity, (File 333-176019 - Aug. 3) (BR. )

S-8     Commercial Vehicle Group, Inc., 7800 WALTON PARKWAY, NEW ALBANY, OH, 
        43054, 614 289 5360 - 0 ($14,770,000.00) Equity, (File 333-176020 - 
        Aug. 3) (BR. 05B)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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


A.C. Moore Arts & Crafts, Inc.          PA       2.02,7.01,9.01       08/03/11

ABERCROMBIE & FITCH CO /DE/             DE       1.01,2.03,9.01       07/28/11

Activision Blizzard, Inc.               DE       2.02,9.01            08/03/11

Activision Blizzard, Inc.               DE       5.02                 07/31/11

ADEN SOLUTIONS INC.                     NV       1.01,9.01            07/27/11

AGL RESOURCES INC                       GA       2.02,9.01            08/03/11

AGL RESOURCES INC                       GA       8.01,9.01            08/03/11

Air Transport Services Group, Inc.      DE       2.02,2.05,2.06,9.01  08/03/11

ALERE INC.                              DE       5.07                 07/28/11

ALLERGAN INC                            DE       2.02,9.01            08/03/11

Allied World Assurance Co Holdings, A            2.02,9.01            08/03/11

Allied World Assurance Co Holdings, A            7.01,9.01            08/03/11

ALMOST FAMILY INC                       DE       2.02,9.01            08/03/11

ALPHA PRO TECH LTD                      DE       2.02,9.01            08/03/11

AlphaMetrix Managed Futures LLC (Aspe   DE       3.02                 08/01/11

ALTERRA CAPITAL HOLDINGS Ltd                     2.02,8.01,9.01       08/02/11

AMAG PHARMACEUTICALS INC.               DE       8.01,9.01            08/02/11

AMBIENT CORP /NY                        DE       3.01,9.01            08/03/11

AMERICA WEST RESOURCES, INC.            NV       5.02                 08/03/11

AMERICAN AIRLINES INC                   DE       8.01                 08/03/11

AMERICAN AXLE & MANUFACTURING HOLDING   DE       5.02,8.01,9.01       08/02/11

AMERICAN DEFENSE SYSTEMS INC            DE       8.01,9.01            08/03/11

AMERICAN EQUITY INVESTMENT LIFE HOLDI   IA       2.02                 08/03/11

AMERICAN NATIONAL BANKSHARES INC        VA       7.01,9.01            08/03/11

American Railcar Industries, Inc.       ND       7.01,9.01            08/03/11

American Retail Group, Inc.             NV       1.02,5.02,9.01       08/03/11

AMERICAN SAFETY INSURANCE HOLDINGS LT            2.02,9.01            08/03/11

American Water Works Company, Inc.      DE       2.02,9.01            08/03/11

AMERISTAR CASINOS INC                   NV       2.02,9.01            08/03/11

AMR CORP                                DE       8.01                 08/03/11

ANALYSTS INTERNATIONAL CORP                      5.02,9.01            08/03/11

ANAREN  INC                             NY       2.02,9.01            08/03/11

ANAVEX LIFE SCIENCES CORP.              NV       8.01,9.01            07/06/11

ANDERSONS INC                           OH       2.02                 08/03/11

AP PHARMA INC /DE/                      DE       1.01,9.01            07/28/11

APAC CUSTOMER SERVICES, INC             IL       2.02,9.01            08/03/11

APPLIED MICRO CIRCUITS CORP             DE       2.02,9.01            07/28/11

AQUA AMERICA INC                        PA       2.02,9.01            08/02/11

Aquilex Holdings LLC                    DE       5.02                 07/28/11

ARKANSAS BEST CORP /DE/                 DE       7.01                 08/02/11

ARROW FINANCIAL CORP                    NY       8.01                 08/01/11

ARROW FINANCIAL CORP                    NY       5.07                 04/27/11    AMEND

ARTHROCARE CORP                         DE       2.02,9.01            08/03/11

ASHFORD HOSPITALITY TRUST INC           MD       2.02,9.01            08/03/11

ASIARIM CORP                            NV       1.01,5.02            07/23/11

ASIARIM CORP                            NV       1.01,5.02,9.01       07/23/11

ASSOCIATED MATERIALS, LLC               DE       5.02,9.01            08/01/11

ATHENA SILVER CORP                      CA       3.02,5.02,9.01       08/01/11

ATMEL CORP                              DE       2.02,9.01            08/03/11

ATMOS ENERGY CORP                       TX       2.02,9.01            08/03/11

ATWOOD OCEANICS INC                     TX       2.02,9.01            08/03/11

ATWOOD OCEANICS INC                     TX       7.01,9.01            08/03/11

AUTONATION, INC.                        DE       7.01,9.01            08/03/11

AUXILIO INC                             NV       1.01,2.03,3.02,9.01  07/29/11

AVIS BUDGET GROUP, INC.                 DE       2.02,9.01            08/03/11

AXIS CAPITAL HOLDINGS LTD                        2.02,9.01            08/03/11

BALCHEM CORP                            MD       2.02,9.01            08/03/11

BCSB Bancorp Inc.                                1.01,2.02,5.02,9.01  07/29/11

Big Bear Mining Corp.                   NV       1.01,9.01            07/19/11

BIOCLINICA INC                          DE       2.02,9.01            08/03/11

BIONOVO INC                             DE       2.02,7.01,9.01       08/03/11

Birmingham Bloomfield Bancshares        MI       1.01,3.02,3.03,5.03, 07/28/11
                                                 9.01
          
BLACKBOARD INC                          DE       2.02,8.01,9.01       08/03/11

Blue Wolf Mongolia Holdings Corp.       D8       8.01,9.01            08/02/11

BNC BANCORP                             NC       7.01,9.01            08/03/11

BofI Holding, Inc.                      DE       7.01,9.01            08/03/11

Bravo Brio Restaurant Group, Inc.       OH       2.02,9.01            08/03/11

BRE PROPERTIES INC /MD/                 MD       2.02,8.01,9.01       08/02/11

BRUKER CORP                             DE       2.02,9.01            08/03/11

BUCKEYE TECHNOLOGIES INC                DE       2.02,7.01,9.01       08/02/11

C&J Energy Services, Inc.               DE       1.01,7.01,9.01       07/28/11

CADENCE PHARMACEUTICALS INC                      2.02,9.01            08/03/11

CAGLES INC                              GA       2.03                 07/29/11

Cal Dive International, Inc.            DE       2.02,7.01,9.01       08/02/11

CALIFORNIA WATER SERVICE GROUP          DE       2.02,9.01            08/03/11

CALLIDUS SOFTWARE INC                   DE       2.02,9.01            08/02/11

Calumet Specialty Products Partners,    DE       2.02,9.01            08/03/11

CAMAC Energy Inc.                       DE       2.02,9.01            08/03/11

Campus Crest Communities, Inc.          MD       2.02,9.01            08/02/11

Cardiovascular Systems Inc              DE       2.02,9.01            08/03/11

CAREER EDUCATION CORP                   DE       2.02,9.01            08/03/11

Caribou Coffee Company, Inc.            MN       2.02,9.01            08/03/11

CATALYST HEALTH SOLUTIONS, INC.         DE       2.02,9.01            08/02/11

CBEYOND, INC.                                    2.02,9.01            08/03/11

CBL & ASSOCIATES PROPERTIES INC         DE       2.02,9.01            08/02/11

CBOE Holdings, Inc.                     DE       8.01,9.01            08/02/11

CBOE Holdings, Inc.                     DE       5.07                 05/17/11    AMEND

CC Media Holdings Inc                            2.02,9.01            08/03/11

CDW Corp                                DE       5.02                 07/28/11

CEDAR FAIR L P                          DE       2.02,9.01            08/03/11

Celldex Therapeutics, Inc.              DE       2.02,9.01            08/03/11

CenterPoint Energy Transition Bond CO   DE       8.01,9.01            08/01/11

CENTRAL BANCORP INC /MA/                MA       8.01,9.01            08/02/11

CENTURYLINK, INC                        LA       2.02,9.01            08/03/11

CHART INDUSTRIES INC                    DE       1.01,2.03,3.02,9.01  07/28/11

CHENIERE ENERGY INC                     DE       7.01,9.01            08/02/11

CHINA AUTOMOTIVE SYSTEMS INC            DE       8.01,9.01            07/29/11

Chino Commercial Bancorp                CA       2.02                 07/27/11

CHIQUITA BRANDS INTERNATIONAL INC       NJ       2.02,9.01            08/03/11

CIBER INC                               DE       2.02,9.01            08/03/11

CIBER INC                               DE       1.01,9.01            07/28/11

CINCINNATI BELL INC                     OH       1.01,9.01            08/01/11

CLEAN HARBORS INC                       MA       2.02,9.01            08/03/11

CLEAR CHANNEL COMMUNICATIONS INC        TX       2.02,9.01            08/03/11

Clear Channel Outdoor Holdings, Inc.    DE       2.02,9.01            08/03/11

Clearwire Corp /DE                      DE       2.02,7.01,9.01       08/03/11

CLECO CORP                              LA       2.02,9.01            06/30/11

CLEOPATRA INTERNATIONAL GROUP, INC.              5.02,9.01            04/15/11

CLOROX CO /DE/                          DE       2.02,7.01,9.01       08/03/11

CMSF Corp                               CA       1.01,9.01            05/23/11    AMEND

COLLECTORS UNIVERSE INC                 DE       7.01,9.01            08/01/11

COMCAST CORP                            PA       2.02,9.01            08/03/11

COMFORT SYSTEMS USA INC                          2.02,8.01,9.01       08/02/11

COMMERCIAL NATIONAL FINANCIAL CORP /P   PA       2.02                 08/03/11

CommonWealth REIT                       MD       2.02,9.01            08/03/11

COMPUTER SCIENCES CORP                  NV       2.01,9.01            08/03/11

COMPX INTERNATIONAL INC                 DE       2.02,7.01,9.01       08/02/11

COMSCORE, INC.                          DE       1.02,7.01,9.01       08/03/11

COMSCORE, INC.                          DE       2.02,9.01            08/03/11

CONCHO RESOURCES INC                    DE       2.02,9.01            08/03/11

CONSOLIDATED GRAPHICS INC /TX/          TX       2.02,9.01            08/03/11

CONSTELLATION ENERGY GROUP INC          MD       2.02,9.01            08/02/11

CONSUMERS BANCORP INC /OH/              OH       2.02,9.01            08/03/11

COTT CORP /CN/                                   2.02,9.01            08/03/11

COUSINS PROPERTIES INC                  GA       2.02,9.01            08/03/11

CSP INC /MA/                            MA       2.02,9.01            08/03/11

CVR PARTNERS, LP                        DE       2.02,9.01            08/03/11

CYBERDEFENDER CORP                      CA       5.02,9.01            08/01/11

DAEGIS INC.                             DE       2.03                 08/03/11    AMEND

DAVITA INC                              DE       2.02,9.01            08/03/11

DAVITA INC                              DE       7.01                 08/03/11

DCT Industrial Trust Inc.               MD       2.03                 08/01/11

DENDREON CORP                           DE       2.02,9.01            08/03/11

DEVON ENERGY CORP/DE                    DE       2.02,9.01            08/03/11

DEVON ENERGY CORP/DE                    DE       8.01                 08/03/11

DEXCOM INC                                       2.02,9.01            08/03/11

DIRECTV                                 DE       5.02,9.01            07/28/11    AMEND

DISCOVERY LABORATORIES INC /DE/         DE       2.02,8.01,9.01       08/03/11

DOLLAR THRIFTY AUTOMOTIVE GROUP INC     DE       1.01,2.03,9.01       07/28/11

DONEGAL GROUP INC                       DE       5.02,9.01            07/29/11

Douglas Emmett Inc                      MD       2.02,9.01            08/02/11

DPAC TECHNOLOGIES CORP                  CA       7.01,9.01            08/03/11

DPL INC                                 OH       8.01,9.01            07/29/11

DUNKIN' BRANDS GROUP, INC.              DE       2.02,9.01            08/03/11

DUPONT FABROS TECHNOLOGY, INC.          MD       2.02,7.01,9.01       08/02/11

ECB BANCORP INC                         NC       7.01,9.01            08/03/11

EDGEWATER TECHNOLOGY INC/DE/            DE       2.02,9.01            08/03/11

EL PASO ELECTRIC CO /TX/                TX       2.02,9.01            08/03/11

ELLIE MAE INC                           DE       2.02,9.01            08/03/11

Ellington Financial LLC                 DE       8.01                 08/02/11

EMCORE CORP                             NJ       2.02,7.01,9.01       08/03/11

Employers Holdings, Inc.                NV       2.02,8.01,9.01       08/03/11

Encore Energy Partners LP               DE       2.01,7.01,9.01       08/03/11    AMEND

ENDEAVOUR INTERNATIONAL CORP            NV       2.02,7.01,9.01       08/03/11

ENERGEN CORP                            AL       7.01,9.01            08/02/11

ENTRAVISION COMMUNICATIONS CORP         DE       2.02,9.01            08/03/11

ENTROPIC COMMUNICATIONS INC             DE       2.02,9.01            08/03/11

EOS Preferred Corp                      MA       1.01,9.01            07/28/11

EQUITY ONE, INC.                                 2.02,7.01,9.01       08/03/11

EXCO RESOURCES INC                      TX       2.02,9.01            08/02/11

EXELON CORP                             PA       8.01,9.01            08/03/11

EXPEDITORS INTERNATIONAL OF WASHINGTO   WA       2.02                 08/02/11

FAIR ISAAC CORP                         DE       2.02,9.01            08/03/11

FAMOUS DAVES OF AMERICA INC             MN       5.02                 08/02/11

FARO TECHNOLOGIES INC                   FL       2.02,9.01            08/03/11

Federal Home Loan Bank of Atlanta       X1       7.01,8.01,9.01       07/28/11

Federal Home Loan Bank of Indianapoli   X1       5.02,9.01            08/03/11

FEDERAL REALTY INVESTMENT TRUST         MD       2.02,9.01            06/30/11

FFD FINANCIAL CORP/OH                   OH       2.02,9.01            08/02/11

FIRST BANCSHARES INC /MS/               MS       2.02,7.01,9.01       08/03/11

FIRST CORP /CN/                         CO       8.01,9.01            08/01/11

FIRST DATA CORP                         DE       2.02,9.01            08/03/11

FIRST FINANCIAL BANCORP /OH/            OH       7.01,9.01            08/03/11

FISERV INC                              WI       5.02                 07/29/11

FISHER COMMUNICATIONS INC               WA       1.01,9.01            07/28/11

Flagstone Reinsurance Holdings, S.A.    N4       2.02,9.01            06/30/11

FNB United Corp.                        NC       8.01,9.01            08/02/11

Forestar Group Inc.                     DE       2.02,7.01,9.01       08/03/11

Fortress International Group, Inc.      DE       5.02                 07/29/11

FPIC INSURANCE GROUP INC                FL       2.02,9.01            08/03/11

FRANKLIN ELECTRIC CO INC                IN       2.02                 08/03/11

Freeze Tag, Inc.                        DE       3.02,9.01            08/01/11

FreightCar America, Inc.                DE       1.02                 08/01/11

FRESH DEL MONTE PRODUCE INC             E9       8.01,9.01            08/03/11

FRONTIER COMMUNICATIONS CORP            DE       2.02,7.01,9.01       08/03/11

Full Circle Capital Corp                MD       8.01,9.01            08/03/11

Furiex Pharmaceuticals, Inc.            DE       2.02,9.01            08/03/11

FutureFuel Corp.                        DE       8.01,9.01            08/02/11

FX ENERGY INC                           NV       7.01,9.01            08/03/11

GAMCO INVESTORS, INC. ET AL             NY       2.02,9.01            08/02/11

GARMIN LTD                              V8       2.02,9.01            08/03/11

GENERAL DYNAMICS CORP                   DE       5.02,9.01            08/03/11

General Growth Properties, Inc.         DE       5.02,9.01            07/29/11

General Moly, Inc                       DE       2.02,9.01            08/03/11

GENOMIC HEALTH INC                               2.02,9.01            08/03/11

GenOn Energy, Inc.                      DE       5.07                 08/01/11    AMEND

Gevo, Inc.                              DE       1.01                 07/29/11

GLADSTONE CAPITAL CORP                  MD       2.02,9.01            08/03/11

GLATFELTER P H CO                       PA       2.02,9.01            08/02/11

Global Geophysical Services Inc         DE       2.02,9.01            07/28/11

GLOBAL GOLD CORP                        DE       8.01,9.01            08/02/11

Global Indemnity plc                    L2       2.02,9.01            08/03/11

Global Pharm Holdings Group, Inc.       DE       1.01,2.01,8.01,9.01  08/01/11

GLOBAL TRAFFIC NETWORK, INC.            DE       1.01,7.01,8.01,9.01  08/02/11

GRAMERCY CAPITAL CORP                   MD       5.02,9.01            07/28/11

Graystone Co                            DE       8.01                 08/02/11

GSI GROUP INC                           A3       5.02                 07/28/11

GT Advanced Technologies Inc.           DE       2.02,7.01,9.01       08/03/11

HANOVER INSURANCE GROUP, INC.           DE       1.01,2.03,9.01       08/02/11

HANSEN MEDICAL INC                               2.02,9.01            08/03/11

Harbor BioSciences, Inc.                DE       1.01,3.02,3.03,5.03, 07/28/11
                                                 9.01
          
HARTFORD FINANCIAL SERVICES GROUP INC   DE       2.02,9.01            08/03/11

HAWKER BEECHCRAFT ACQUISITION CO LLC    DE       2.02,9.01            08/03/11

HCC INSURANCE HOLDINGS INC/DE/          DE       2.02,9.01            08/02/11

Helix Wind, Corp.                       NV       2.04,8.01            07/28/11

HERITAGE COMMERCE CORP                  CA       5.02                 07/28/11

HFF, Inc.                               DE       2.02,9.01            08/02/11

HFF, Inc.                               DE       8.01,9.01            08/02/11

HICKORY TECH CORP                       MN       2.02,7.01,9.01       08/03/11

HOMELAND ENERGY SOLUTIONS LLC                    1.01                 07/28/11

Homeland Security Capital CORP          DE       2.01,8.01,9.01       07/29/11

HOT TOPIC INC /CA/                      CA       2.02,9.01            08/03/11

HSN, Inc.                               DE       2.02,7.01,9.01       08/03/11

IBERIABANK CORP                         LA       8.01,9.01            08/02/11

ICON Equipment & Corporate Infrastruc   DE       8.01                 08/03/11

IMAGE SENSING SYSTEMS INC               MN       2.02,9.01            08/03/11

IMMUNOGEN INC                           MA       2.02,9.01            08/03/11

INCYTE CORP                             DE       8.01,9.01            08/03/11

INLAND REAL ESTATE CORP                 MD       2.02,7.01,9.01       06/30/11

INLAND REAL ESTATE CORP                 MD       8.01,9.01            08/02/11

INNOVATIVE SOLUTIONS & SUPPORT INC      PA       2.02,9.01            07/27/11

INSIGHT ENTERPRISES INC                 DE       2.02,9.01            08/03/11

INSIGNIA SYSTEMS INC/MN                 MN       2.02,4.02,9.01       08/02/11

INSITUFORM TECHNOLOGIES INC             DE       2.02,9.01            07/28/11

INTERCONTINENTALEXCHANGE INC                     2.02,9.01            08/03/11

Intermec, Inc.                          DE       2.02,7.01,9.01       08/03/11

INTERNATIONAL LEASE FINANCE CORP        CA       7.01,8.01,9.01       08/02/11

INTREorg SYSTEMS INC.                   TX       1.01,2.03,5.02,7.01, 06/19/11
                                                 9.01
          
Intrepid Potash, Inc.                   DE       2.02,9.01            08/03/11

ION GEOPHYSICAL CORP                    DE       5.02,7.01,9.01       08/02/11

IRIS INTERNATIONAL INC                  DE       2.02,9.01            08/03/11

J2 GLOBAL COMMUNICATIONS INC            DE       2.02,7.01,9.01       08/02/11

John Bean Technologies CORP             DE       2.02,9.01            08/02/11

JOY GLOBAL INC                          DE       8.01,9.01            07/29/11

KANSAS CITY SOUTHERN                    DE       5.07                 05/04/11    AMEND

KAPSTONE PAPER & PACKAGING CORP         DE       2.02,7.01,9.01       08/03/11

KBS Legacy Partners Apartment REIT, I   MD       1.01,9.01            07/29/11

KENSINGTON LEASING, LTD.                NV       1.01,3.02,9.01       06/22/11

KENSINGTON LEASING, LTD.                NV       1.01,3.02,9.01       06/22/11

KENSINGTON LEASING, LTD.                NV       9.01                 08/02/11    AMEND

KKR & Co. L.P.                          DE       2.02,9.01            08/03/11

KNOLOGY INC                             DE       2.02,9.01            08/03/11

Kraton Performance Polymers, Inc.       DE       2.02,9.01            08/02/11

Kraton Performance Polymers, Inc.       DE       2.02,9.01            08/03/11

KRONOS INTERNATIONAL INC                DE       7.01,9.01            08/03/11

KRONOS WORLDWIDE INC                             7.01,9.01            08/02/11

KRONOS WORLDWIDE INC                             7.01,9.01            08/03/11

L & L ENERGY, INC.                      NV       2.02,7.01,9.01       08/01/11

LANNETT CO INC                          DE       5.02,9.01            08/01/11

LEAP WIRELESS INTERNATIONAL INC         DE       2.02,9.01            08/03/11

LEAPFROG ENTERPRISES INC                         2.02,9.01            08/02/11

LEGEND INTERNATIONAL HOLDINGS INC       DE       5.07                 07/28/11

LendingClub Corp                        DE       1.01,3.02,8.01,9.01  07/28/11

LEUCADIA NATIONAL CORP                  NY       8.01,9.01            08/03/11

LEXINGTON REALTY TRUST                  MD       2.02,7.01,9.01       08/02/11

LGL GROUP INC                           DE       2.02,7.01            08/03/11

Liberty Global, Inc.                             2.02,7.01            08/02/11

Liberty Global, Inc.                             2.02,7.01            08/03/11

LifeCare Holdings, Inc.                 DE       1.01,2.01,2.03,8.01, 08/01/11
                                                 9.01
          
LINCOLN EDUCATIONAL SERVICES CORP       NJ       2.02,9.01            08/03/11

LIVEPERSON INC                          DE       2.02,9.01            08/03/11

LOCAL.COM                               DE       2.02,9.01            08/03/11

LOOKSMART LTD                           DE       5.02                 07/22/11

MACROSOLVE INC                          OK       5.02,9.01            08/01/11

MAGELLAN MIDSTREAM PARTNERS LP          DE       2.02,9.01            08/03/11

MAKEMUSIC, INC.                         MN       2.02,5.03,9.01       07/28/11

MANNATECH INC                           TX       2.02,9.01            08/03/11

MARSH & MCLENNAN COMPANIES, INC.        DE       2.02                 08/03/11

MASTEC INC                              FL       2.02,7.01,9.01       08/03/11

MASTERCARD INC                          DE       2.02,7.01,9.01       08/03/11

MATERION Corp                                    7.01,9.01            08/03/11

Mattersight Corp                        DE       8.01                 08/03/11

MCDERMOTT INTERNATIONAL INC             R1       2.02,9.01            08/03/11

Measurement Specialties Inc             NJ       2.02,9.01            08/03/11

MEDALLION FINANCIAL CORP                DE       2.02,9.01            08/03/11

MedClean Technologies, Inc.             DE       1.01,5.02,9.01       07/31/11

MEDICAL ACTION INDUSTRIES INC           DE       7.01,9.01            08/03/11

MEMC ELECTRONIC MATERIALS INC           DE       2.02,9.01            08/03/11

MERCADOLIBRE INC                                 2.02,7.01,9.01       08/03/11

MERCER GOLD CORP.                       NV       5.02                 07/26/11

MERCER INTERNATIONAL INC.               WA       8.01,9.01            08/02/11

MF Global Holdings Ltd.                 DE       1.01,2.03,3.02,9.01  07/28/11

MICRONETICS  INC                        DE       2.02,9.01            08/01/11

MIDDLEBURG FINANCIAL CORP               VA       2.02,8.01,9.01       08/02/11

MITCHAM INDUSTRIES INC                  TX       5.02,5.07,9.01       07/28/11

MOD PAC CORP                            NY       2.02,9.01            08/03/11

MODINE MANUFACTURING CO                 WI       7.01,9.01            07/28/11

MOLEX INC                               DE       2.02,9.01            08/03/11

MONOLITHIC POWER SYSTEMS INC            CA       2.02,9.01            08/02/11

MORGANS FOODS INC                       OH       1.01                 07/29/11

Morgans Hotel Group Co.                 DE       1.01,2.03            07/28/11

MTR GAMING GROUP INC                    DE       1.01,8.01,9.01       08/01/11

Mueller Water Products, Inc.            DE       2.02,9.01            08/02/11

Mueller Water Products, Inc.            DE       7.01,9.01            08/03/11

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       1.01,2.03,7.01,9.01  08/03/11

NABI BIOPHARMACEUTICALS                 DE       2.02,9.01            08/03/11

NACCO INDUSTRIES INC                    DE       2.02,9.01            08/03/11

NACCO INDUSTRIES INC                    DE       2.02,7.01,9.01       08/03/11

Nalco Holding CO                                 2.02,9.01            08/02/11

NANOPHASE TECHNOLOGIES CORPORATION      IL       2.02,9.01            08/03/11

NATHANS FAMOUS INC                      DE       2.02,9.01            08/03/11

NATIONAL RESEARCH CORP                  WI       5.02                 08/03/11

NATIONAL RESEARCH CORP                  WI       2.02,9.01            08/02/11

Natural Resources USA Corp                       5.01,8.01,9.01       08/02/11

NAVARRE CORP /MN/                       MN       2.02,9.01            08/02/11

NAVISTAR INTERNATIONAL CORP             DE       7.01                 08/03/11

NCI, Inc.                               DE       2.02,5.02,7.01,9.01  08/01/11

NeoStem, Inc.                           DE       7.01,9.01            08/03/11

NetSpend Holdings, Inc.                 DE       2.02,9.01            08/03/11

Nevada Gold Holdings, Inc.              DE       4.01,5.03,9.01       07/29/11

NEW JERSEY RESOURCES CORP               NJ       2.02,9.01            08/03/11

NEW YORK MORTGAGE TRUST INC             MD       2.02,7.01,9.01       08/03/11

NEWMARKET CORP                          VA       2.02,9.01            08/03/11

NEWPORT CORP                            NV       2.02,9.01            08/03/11

NewStar Financial, Inc.                          2.02,7.01,9.01       08/01/11

NICOR INC                               IL       2.02,9.01            08/03/11

NL INDUSTRIES INC                       NJ       7.01,9.01            08/03/11

Noble Corp / Switzerland                V8       5.07                 04/29/11    AMEND

NORTHWEST NATURAL GAS CO                OR       2.02,9.01            08/03/11

NT MEDIA CORP OF CALIFORNIA INC         DE       1.01,3.02,9.01       06/22/11

NuStar Energy L.P.                      DE       5.02                 07/28/11

NVE CORP /NEW/                          MN       1.01,9.01            08/02/11    AMEND

NxStage Medical, Inc.                   DE       2.02,9.01            08/03/11

Oasis Petroleum Inc.                    DE       5.02,8.01,9.01       08/01/11

Oasis Petroleum Inc.                    DE       5.07                 05/11/11    AMEND

OLD NATIONAL BANCORP /IN/               IN       5.02                 07/28/11

OMNICARE INC                            DE       8.01                 08/02/11

ON ASSIGNMENT INC                       DE       2.02,9.01            08/03/11

ON SEMICONDUCTOR CORP                   DE       2.02,9.01            08/03/11

ONEOK INC /NEW/                         OK       2.02,7.01,9.01       08/02/11

ONEOK Partners LP                       DE       2.02,7.01,9.01       08/02/11

ONYX PHARMACEUTICALS INC                DE       2.02,9.01            08/02/11

OPENWAVE SYSTEMS INC                    DE       5.02                 07/28/11

ORASURE TECHNOLOGIES INC                DE       2.02,9.01            08/03/11

ORASURE TECHNOLOGIES INC                DE       7.01,9.01            08/03/11

ORB Automotive                          E9       1.01,2.01,3.02,9.01  05/18/11    AMEND

ORIENT EXPRESS HOTELS LTD               D0       2.02,9.01            08/02/11

ORIENT EXPRESS HOTELS LTD               D0       2.02,9.01            08/03/11

OTELCO INC.                             DE       2.02,9.01            08/03/11

Otter Tail Corp                         MN       1.01,2.03,9.01       07/29/11

Owens Corning                           DE       2.02,9.01            08/03/11

PAA NATURAL GAS STORAGE LP              DE       2.02,7.01,9.01       08/03/11

PALADIN REALTY INCOME PROPERTIES INC    MD       2.01,2.03,9.01       07/28/11

PAR PHARMACEUTICAL COMPANIES, INC.      DE       2.02,9.01            08/03/11

PARLUX FRAGRANCES INC                   DE       1.01,5.02,9.01       08/01/11

PATRIOT TRANSPORTATION HOLDING INC      FL       2.02,9.01            08/03/11

PDF SOLUTIONS INC                       DE       2.02,9.01            08/03/11

PEAPACK GLADSTONE FINANCIAL CORP        NJ       2.02,9.01            08/01/11

Pebblebrook Hotel Trust                 MD       2.02,9.01            08/03/11

PENNANTPARK INVESTMENT CORP                      7.01                 08/03/11

PEOPLES BANCORPORATION INC /SC/         SC       2.02,5.02,9.01       07/31/11

PEPCO HOLDINGS INC                      DE       2.02,7.01,9.01       08/03/11

PetroAlgae Inc.                         DE       5.02,7.01,9.01       07/21/11

PETROHAWK ENERGY CORP                   DE       2.02,9.01            08/03/11

PGT, Inc.                               DE       2.02                 08/03/11

PINNACLE ENTERTAINMENT INC.             DE       2.02,9.01            08/03/11

PIONEER NATURAL RESOURCES CO            DE       2.02,9.01            08/03/11

Pioneer Southwest Energy Partners L.P   DE       2.02,9.01            08/03/11

PLAINS ALL AMERICAN PIPELINE LP         DE       2.02,7.01,9.01       08/03/11

PLUMAS BANCORP                          CA       2.02,9.01            08/03/11

PLURISTEM THERAPEUTICS INC              NV       8.01                 08/03/11

POLYONE CORP                                     2.02,9.01            08/03/11

POOL CORP                               DE       7.01,9.01            08/03/11

PRECISION OPTICS CORPORATION INC        MA       1.01,9.01            07/28/11

Primerica, Inc.                         DE       5.02,9.01            08/01/11

PROASSURANCE CORP                       DE       2.02,7.01,9.01       08/03/11

Probe Manufacturing Inc                 NV       7.01,9.01            08/03/11

ProIndia International, Inc.            DE       3.02                 06/30/11

PROS Holdings, Inc.                     DE       1.01,2.03,9.01       07/29/11

PRUDENTIAL BANCORP INC OF PENNSYLVANI            2.02,9.01            08/02/11

PRUDENTIAL FINANCIAL INC                NJ       2.02,7.01,9.01       08/03/11

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       2.02,7.01,9.01       08/03/11

QUALITY SYSTEMS, INC                    CA       5.02                 07/29/11

QUANTA SERVICES INC                     DE       2.02,9.01            08/03/11

RAINMAKER SYSTEMS INC                   DE       1.01                 08/01/11

RAMTRON INTERNATIONAL CORP              DE       8.01,9.01            08/02/11

RASER TECHNOLOGIES INC                  UT       7.01,9.01            07/31/11

RCLC, INC.                              NJ       7.01,9.01            08/02/11

REALOGY CORP                            DE       2.02,9.01            08/03/11

REGAL BELOIT CORP                       WI       2.02                 08/02/11

REGAL BELOIT CORP                       WI       5.07                 05/02/11    AMEND

RELIV INTERNATIONAL INC                 DE       2.02,9.01            08/03/11

REPUBLIC AIRWAYS HOLDINGS INC           DE       8.01,9.01            08/02/11

RESOURCE AMERICA, INC.                  DE       2.02,9.01            08/02/11

RETAIL OPPORTUNITY INVESTMENTS CORP     DE       2.02,9.01            08/03/11

RICKS CABARET INTERNATIONAL INC         TX       8.01,9.01            07/28/11

Riverdale Mining Inc.                   NV       1.01,9.01            07/27/11

Roadrunner Transportation Systems, In   DE       2.02,9.01            08/03/11

ROBERTS REALTY INVESTORS INC            GA       8.01,9.01            08/03/11

Rock-Tenn CO                            GA       2.02,9.01            08/02/11

Rock-Tenn CO                            GA       8.01,9.01            08/03/11

Roebling Financial Corp, Inc.                    5.02                 07/29/11

ROSETTA STONE INC                                5.02                 07/31/11

ROWAN COMPANIES INC                     DE       5.02,9.01            07/28/11

RR Donnelley & Sons Co                  DE       2.02,9.01            08/03/11

Ryerson Holding Corp                    DE       2.02,9.01            08/03/11

RYERSON INC.                            DE       2.02,9.01            08/03/11

Sabra Health Care REIT, Inc.            MD       2.02,9.01            08/02/11

SAFETY INSURANCE GROUP INC              DE       2.02,9.01            08/03/11

SANTARUS INC                            DE       2.02,9.01            08/03/11

SAUER DANFOSS INC                       DE       2.02,9.01            08/03/11

SCHAWK INC                                       2.02,9.01            08/03/11

SCHWEITZER MAUDUIT INTERNATIONAL INC    DE       2.02,9.01            08/03/11

Seneca Foods Corp                       NY       2.02,9.01            08/03/11

SERVICESOURCE INTERNATIONAL, INC.                8.01                 08/03/11

Shire plc                                        8.01,9.01            08/01/11

Shire plc                                        8.01,9.01            08/02/11

Shire plc                                        8.01,9.01            08/03/11

SIERRA MONITOR CORP /CA/                CA       2.02,9.01            08/03/11

SIGNATURE GROUP HOLDINGS INC            NV       1.01,1.02,3.03,5.02, 07/28/11
                                                 5.03,9.01
     
Silver Falcon Mining, Inc.              DE       8.01                 08/03/11

SilverSun Technologies, Inc.            DE       1.01,5.02,9.01       07/26/11

SINCLAIR BROADCAST GROUP INC            MD       2.02,9.01            08/03/11

SKYWEST INC                             UT       2.02,9.01            08/03/11

SL GREEN REALTY CORP                    MD       8.01,9.01            08/02/11

SL INDUSTRIES INC                       NJ       2.02,9.01            08/03/11

SMARTHEAT INC.                          NV       5.02,8.01            03/12/08

SOHU COM INC                            DE       2.02,9.01            08/01/11

SolarWinds, Inc.                        DE       2.02,9.01            08/03/11

SOUNDBITE COMMUNICATIONS INC                     2.02,9.01            08/03/11

SOURCEFIRE INC                          DE       2.02,9.01            08/03/11

SOUTHERN FIRST BANCSHARES INC           SC       2.02,9.01            08/03/11

SOUTHWESTERN ENERGY CO                  DE       7.01                 07/29/11

SP Bancorp, Inc.                        MD       5.02,9.01            08/01/11

SPAR GROUP INC                          DE       2.02,8.01,9.01       08/02/11

Spectra Energy Corp.                    DE       2.02,9.01            08/03/11

SPEEDWAY MOTORSPORTS INC                DE       2.02,9.01            08/03/11

SPX CORP                                DE       2.02,9.01            08/03/11

SS&C Technologies Holdings Inc          DE       2.02,9.01            08/03/11

SS&C TECHNOLOGIES INC                   DE       2.02,9.01            08/03/11

STANDARD PARKING CORP                   DE       2.02,7.01            08/03/11

STAR GAS PARTNERS LP                    DE       2.02,7.01,9.01       08/03/11

STARRETT L S CO                         MA       5.02                 08/03/11

STARTEK INC                             DE       1.01                 07/28/11

STEIN MART INC                          FL       5.02,9.01            07/29/11

STEVEN MADDEN, LTD.                     DE       2.02,9.01            08/02/11

STILLWATER MINING CO /DE/               DE       2.02,9.01            08/03/11

STONE ENERGY CORP                       DE       2.02,7.01,9.01       08/02/11

STR HOLDINGS, INC.                      DE       2.02,9.01            08/03/11

Stream Global Services, Inc.            DE       2.02,9.01            08/03/11

SunCoke Energy, Inc.                             2.02,7.01,9.01       08/03/11

SUNRISE SENIOR LIVING INC               DE       9.01                 06/02/11    AMEND

SUPERGEN INC                            DE       2.02,9.01            08/03/11

SURMODICS INC                           MN       2.02,9.01            08/03/11

SUSQUEHANNA BANCSHARES INC              PA       8.01,9.01            08/03/11

SYNERGY PHARMACEUTICALS, INC.           FL       1.01,9.01            07/28/11

SYSTEMAX INC                            DE       2.02,9.01            08/03/11

TECH DATA CORP                          FL       1.01,9.01            07/28/11

TELETECH HOLDINGS INC                   DE       2.02,9.01            08/02/11

TESLA MOTORS INC                        DE       2.02,9.01            08/03/11

TFS Financial CORP                      DE       2.02,9.01            08/03/11

TFS Financial CORP                      DE       7.01,9.01            08/03/11

THOR INDUSTRIES INC                     DE       2.02,9.01            08/02/11

THORATEC CORP                           CA       1.01,2.02,8.01,9.01  08/03/11

THQ INC                                 DE       5.07                 07/28/11

TIME WARNER INC.                        DE       2.02,9.01            08/03/11

TRANSCEND SERVICES INC                  DE       1.01,2.01,7.01,9.01  07/29/11

Transocean Ltd.                         V8       2.02,9.01            08/03/11

Triangle Capital CORP                   MD       2.02,7.01,9.01       08/03/11

TRIPLE-S MANAGEMENT CORP                         2.02,9.01            08/03/11

TRIUMPH GROUP INC                       DE       2.02,9.01            07/28/11

TRW AUTOMOTIVE HOLDINGS CORP            DE       2.02,9.01            08/03/11

TUCOWS INC /PA/                         PA       1.01,2.03,7.01,9.01  07/27/11

TWIN DISC INC                           WI       5.02,9.01            08/03/11

Two Harbors Investment Corp.                     2.02,9.01            08/03/11

UNION DRILLING INC                      DE       2.02,9.01            08/03/11

UNITED ONLINE INC                       DE       2.02,9.01            08/03/11

UNITED RENTALS INC /DE                  DE       7.01,9.01            08/02/11

UNITRIN INC                             DE       2.02,9.01            08/03/11

US AIRWAYS GROUP INC                    DE       2.02,9.01            08/03/11

US NATURAL GAS CORP                     FL       5.03,9.01            08/02/11

USEC INC                                DE       2.02,9.01            08/03/11

Valeant Pharmaceuticals International   A6       5.02                 08/01/11

VALENCE TECHNOLOGY INC                  DE       2.02,9.01            08/03/11

VALIDUS HOLDINGS LTD                             1.01,2.03,9.01       08/02/11

Vanguard Natural Resources, LLC         DE       2.01,7.01,9.01       08/03/11    AMEND

VERAMARK TECHNOLOGIES INC               DE       2.02,9.01            08/03/11

VICAL INC                               DE       2.02,9.01            08/03/11

VIRTUS INVESTMENT PARTNERS, INC.        DE       2.02,9.01            08/02/11

VISA INC.                               DE       8.01                 08/02/11

Vishay Precision Group, Inc.            DE       2.02,9.01            08/03/11

Volcano Corp                            DE       1.01                 07/29/11

VONAGE HOLDINGS CORP                    DE       1.01,2.02,2.03,9.01  07/29/11

Vu1 CORP                                CA       5.02,9.01            07/28/11

Vulcan Materials CO                     NJ       2.02,9.01            08/02/11

W&T OFFSHORE INC                        TX       2.02,9.01            08/03/11

Walter Energy, Inc.                     DE       2.02,9.01            08/03/11

WATTS WATER TECHNOLOGIES INC            DE       1.01,5.02            08/01/11

WATTS WATER TECHNOLOGIES INC            DE       5.07                 05/11/11    AMEND

WCA WASTE CORP                          DE       2.02,9.01            08/03/11

WEB.COM GROUP, INC.                              2.02,9.01            08/03/11

WEB.COM GROUP, INC.                              1.01,8.01,9.01       08/03/11

WELLCARE HEALTH PLANS, INC.             DE       2.02,9.01            08/03/11

WELLCARE HEALTH PLANS, INC.             DE       1.01,1.02,2.03,9.01  08/01/11

Western Gas Partners LP                 DE       2.02,9.01            08/03/11

WESTERN LIBERTY BANCORP                 DE       2.02,9.01            08/03/11

WGL HOLDINGS INC                        VA       2.02,9.01            08/03/11

Williams Partners L.P.                           2.02,9.01            08/03/11

WIRELESS AGE COMMUNICATIONS INC         NV       2.02,9.01            08/03/11

WIRELESS RONIN TECHNOLOGIES INC         MN       2.02,9.01            08/03/11

Wright Express CORP                              2.02,9.01            08/03/11

XENOPORT INC                            DE       2.02,9.01            08/03/11

XSUNX INC                               CO       8.01,9.01            08/02/11

YRC Worldwide Inc.                      DE       5.02                 07/28/11    AMEND

Zalicus Inc.                            DE       2.02,9.01            08/03/11

ZIPCAR INC                                       2.02,9.01            08/03/11

Zoom Telephonics, Inc.                  DE       2.02,9.01            08/02/11

ZST Digital Networks, Inc.              DE       2.02,7.01,9.01       08/03/11

Zumiez Inc                              WA       7.01,9.01            08/03/11

ZYNEX INC                               NV       2.02,9.01            08/03/11

 

http://www.sec.gov/news/digest/2011/dig080411.htm


Modified: 08/04/2011