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Enforcement ProceedingsEvelyn Litwok SanctionedEvelyn 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., FinalThe 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. MartinOn 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 RedekoppThe 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 SECThe 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 TradingThe 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 ReleasesRidgeworth 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 OrganizationsImmediate Effectiveness of Proposed Rule ChangesA 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 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-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 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 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
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