Commission Suspends Trading in the Securities of Six Issuers for Failure to Make Required Periodic Filings
The Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on September 9, 2011 and terminating at 11:59 p.m. EDT on September 22, 2011.
The Commission temporarily suspended trading in the securities of these six issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. No. 34-65305).
Commission Charges Solicitor in Investment Scheme Targeting Deaf Community
The Commission has charged a Corinth, Texas man with securities fraud for soliciting more than $3.45 million from several thousand deaf investors in an investment scheme that the SEC halted last year.
The SEC previously charged Imperia Invest IBC with securities fraud and obtained an emergency court order to freeze the investment company’s assets.
In a complaint filed late yesterday, the SEC alleges that Dunn, who is deaf, solicited investments for Imperia over a three-year period from others in the deaf community, promising them he would invest in Imperia on their behalf. What Dunn did not tell investors is that he was misappropriating a portion of their funds to pay his mortgage, car payments, car insurance, and a variety of other personal expenses. Dunn sent the remaining amounts to Imperia’s offshore bank accounts. While Imperia guaranteed returns of 1.2 percent per day on these investments, investors have never been paid any interest after giving their money to Dunn to invest. Even after the SEC charged Imperia and issued an investor alert about the scheme, Dunn continued to reassure investors that Imperia was legitimate and they would be paid. (Press Rel. 2011-181).
Commission Orders Hearings on Registration Suspension or Revocation Against Six Companies for Failure to Make Required Periodic Filings
In conjunction with its trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In the Matter of Amerex Group, Inc., et al., Administrative Proceeding File No. 3-14543
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. No. 34-65306; File No. 3-14543).
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of Consolidated Energy, Inc., Diamond Home Services, Inc., Knockout Holdings, Inc., and Kuhlman Co., Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. No. 34-65303; File No. 3-14507)
Commission Revokes Registration of Securities of Noxso Corp. for Failure to Make Required Periodic Filings
On September 9, 2011, the Commission revoked the registration of each class of registered securities of NOXSO Corp. (NXSO) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, NXSO consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to NOXSO Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of NXSO’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against NXSO in In the Matter of Colorado Wyoming Reserve Co., et al., Administrative Proceeding File No. 3-14508.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . . (Rel. No. 34-65304; File No. 3-14508).
In the Matter of American Resource Technologies, Inc. et al.
An Administrative Law Judge has issued an Initial Decision (Decision) as to Golden Oil Co., in American Resource Technologies, Inc., Admin. Proc. No. 3-14378. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Decision finds these allegations to be true and revokes the registration of each class of registered securities of Golden Oil Co., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to Respondents American Resource Technologies, Inc., Apollo Resources International, Inc., Bloodhound Search Technologies, Inc., Bluestar Health, Inc., Columbus Networks Corp., Continental Fuels, Inc., Data Race, Inc., and Ness Energy International, Inc. See American Resource Technologies, Inc., Initial Decision Release No. 429 (Sept. 8, 2011) and Exchange Act Release Nos. 64684 (June 16, 2011), 64662 (June 14, 2011), 64548 (May 26, 2011). (ID No. 430).
In the Matter of American Resource Technologies, Inc. et al.
An Administrative Law Judge has issued an Initial Decision (Decision) as to American Resource Technologies, Inc., in American Resource Technologies, Inc., Admin. Proc. No. 3-14378. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Decision finds these allegations to be true and revokes the registration of each class of registered securities of American Resource Technologies, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.
The proceeding has ended as to Respondents Apollo Resources International, Inc., Bloodhound Search Technologies, Inc., Bluestar Health, Inc., Columbus Networks Corp., Continental Fuels, Inc., Data Race, Inc., and Ness Energy International, Inc. See American Resource Technologies, Inc., Exchange Act Release Nos. 64662 (June 14, 2011), 64684 (June 16, 2011), and 64548 (May 26, 2011). This proceeding is still ongoing as to Respondent Golden Oil Co. (ID No. 429).
In the Matter of Gregory A. Seib
The United States Securities and Exchange Commission (Commission) announced the issuance of an Order Makings Findings, And Imposing Remedial Sanctions Pursuant To Section 203(f) Of The Investment Advisers Act Of 1940 (Order) against Gregory A. Seib (Respondent). The Commission previously instituted an administrative proceeding against Respondent pursuant to Section 203(f) of the Investment Advisers Act of 1940 on May 20, 2011.
On May 2, 2011, a final judgment was entered by consent against Seib, permanently enjoining him from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Gregory A. Seib, Civil Action Number 1:11-CV-0626, in the United States District Court for the Northern District of Georgia.
Based on the above, the Order bars Respondent Seib from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization with the right to apply for reentry after five years.
Respondent Seib consented to the issuance of the Order without admitting or denying any of the findings in the Order except he admitted the Commission’s jurisdiction over him and the subject matter of these proceedings, and the entry of the injunction against him. (IA-3276; File No. 3-14399).
Proposed Rule Change
BATS Exchange, Inc. filed a proposed rule change (SR-BATS-2011-033) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend and restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. Publication of the proposal is expected in the Federal Register during the week of September 12th. (Rel. No. 34-65298).
BATS Y-Exchange, Inc. filed a proposed rule change (SR-BYX-2011-021) under Section 19(b)(1) of the Securities Exchange Act of 1934 to amend and restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc. Publication of the proposal is expected in the Federal Register during the week of September 12th. (Rel. No. 34-65299).
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-54) relating to fees and rebates for adding and removing liquidity has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of September 12th. (Rel. No. 34-65297)
A proposed rule change filed by the International Securities Exchange LLC (SR-ISE-2011-55) relating to a new market data feed has become immediately effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to be made in the Federal Register during the week of September 12th. (Rel. No. 34-65295).
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 LEFT BEHIND GAMES INC., 25060 HANCOCK AVE, STE 103, BOX 110, MURRIETA, CA, 92562, 951-894-6597 - 1,000,000,000 ($450,000.00) Equity, (File 333-176724 - Sep. 8) (BR. 03B) S-4 North American Financial Holdings, Inc., CORPORATION TRUST CENTER, 1209 ORANGE STREET, WILMINGTON, DE, 19801, 800 716 0507 - 0 ($38,394,236.00) Equity, (File 333-176725 - Sep. 8) (BR. 07) S-4 North American Financial Holdings, Inc., CORPORATION TRUST CENTER, 1209 ORANGE STREET, WILMINGTON, DE, 19801, 800 716 0507 - 0 ($7,635,992.00) Equity, (File 333-176726 - Sep. 8) (BR. 07) S-1 Skajaquoda Group inc., 1001 SOCIETY DRIVE, CLAYMONT, DE, 19703, (302) 504 4448 - 400,000 ($20,000.00) Equity, (File 333-176727 - Sep. 8) (BR. ) S-8 SIGMA DESIGNS INC, 1778 MCCARTHY BLVD., MILPITAS, CA, 95035, 4082629003 - 2,000,000 ($15,100,000.00) Equity, (File 333-176728 - Sep. 8) (BR. 10C) S-1 Buckeye Oil & Gas, Inc., 8275 S. EASTERN AVE., SUITE 200, LAS VEGAS, NV, 89123, 702-938-0491 - 22,200,000 ($5,550,000.00) Equity, (File 333-176729 - Sep. 8) (BR. 03C) S-1 COUNTERPATH CORP, 300-505 BURRARD STREET, VANCOUVER, A1, V7X 1M3, 604-320-3344 - 4,938,906 ($8,643,085.50) Equity, (File 333-176731 - Sep. 8) (BR. 03B) S-8 HSBC HOLDINGS PLC, 8 CANADA SQUARE, LONDON, X0, E145HQ, 442079912652 - 2,189,050 ($17,818,867.00) Equity, (File 333-176732 - Sep. 8) (BR. 12A) S-8 LAKELAND INDUSTRIES INC, 701-7 KOEHLER AVENUE, RONKONKOMA, NY, 11779, 6319819700 - 253,000 ($1,922,800.00) Equity, (File 333-176733 - Sep. 8) (BR. 10B) S-8 ZAP, 501 FOURTH STREET, SANTA ROSA, CA, 95401, 7075258658 - 30,000,000 ($12,600,000.00) Equity, (File 333-176734 - Sep. 8) (BR. 05C) S-8 Ulta Salon, Cosmetics & Fragrance, Inc., 1000 REMINGTON BLVD, SUITE 120, BOLINGBROOK, IL, 60440, (630) 410-4800 - 4,750,000 ($254,695,000.00) Equity, (File 333-176735 - Sep. 8) (BR. 02A) S-1 REMMINGTON ENTERPRISES, INC., 7582 LAS VEGAS BLVD. S., STE. 236, LAS VEGAS, NV, 89123, 7022173964 - 3,000,000 ($24,000.00) Equity, (File 333-176736 - Sep. 8) (BR. ) S-8 NCI BUILDING SYSTEMS INC, 10943 NORTH SAM HOUSTON PARKWAY W, HOUSTON TEXAS, TX, 77064, 2818977799 - 2,400,000 ($20,460,000.00) Equity, (File 333-176737 - Sep. 8) (BR. 06C) S-8 FEEL GOLF CO INC, 107 COMMERCE WAY, SANFORD, FL, 32771, 321-397-2072 - 120,000,000 ($24,000.00) Equity, (File 333-176738 - Sep. 8) (BR. 05C) S-4 BASIC ENERGY SERVICES INC, 400 W. ILLINOIS, SUITE 800, MIDLAND, TX, 79701, 4326205500 - 0 ($475,000,000.00) Non-Convertible Debt, (File 333-176739 - Sep. 8) (BR. 04A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 3M CO DE 8.01,9.01 09/02/11 57th Street General Acquisition Corp DE 1.01,9.01 09/08/11 ABINGTON BANCORP, INC./PA 8.01,9.01 09/08/11 AE BIOFUELS, INC. NV 1.01,5.02,9.01 09/01/11 ALKERMES INC PA 5.07,8.01,9.01 09/08/11 All American Gold Corp. WY 3.02 09/05/11 ALLIANCE DATA SYSTEMS CORP DE 5.02,7.01,9.01 09/02/11 Allied World Assurance Co Holdings, A 8.01,9.01 09/07/11 ALTERA CORP DE 7.01,9.01 09/06/11 Amarok Resources, Inc. NV 1.01,3.02,5.02 09/02/11 AMAZON COM INC DE 5.02 09/08/11 American Realty Capital Properties, I MD 8.01,9.01 09/07/11 AMERICAN VANTAGE COMPANIES NV 5.02,9.01 09/08/11 APACHE CORP DE 5.07 05/05/11 AMEND API Technologies Corp. DE 9.01 06/01/11 AMEND APPLIED MATERIALS INC /DE DC 8.01 08/29/11 ARCHER DANIELS MIDLAND CO DE 7.01,9.01 09/08/11 ARDENT MINES LTD 1.01,3.02,8.01,9.01 09/01/11 ARRAY BIOPHARMA INC DE 5.02,9.01 09/01/11 ARRIS GROUP INC DE 7.01 09/08/11 Asia Green Agriculture Corp NV 5.02,9.01 09/08/11 ASTROTECH Corp \WA\ WA 8.01,9.01 09/07/11 AT&T INC. DE 8.01 09/07/11 ATLANTIS TECHNOLOGY GROUP NV 5.02 09/08/11 AUTHENTIDATE HOLDING CORP DE 3.02,5.02,9.01 09/06/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 09/08/11 Bacterin International Holdings, Inc. DE 7.01 09/08/11 BANCORP RHODE ISLAND INC 5.07,9.01 09/08/11 BANK JOS A CLOTHIERS INC /DE/ DE 8.01,9.01 09/08/11 Behringer Harvard Mid-Term Value Enha TX 1.01 09/01/11 Bergio International, Inc. DE 1.01,5.03,9.01 09/01/11 BIO REFERENCE LABORATORIES INC NJ 5.07 09/08/11 BLOUNT INTERNATIONAL INC DE 1.01,2.01,9.01 09/07/11 BLUE CALYPSO, INC. NV 2.01,3.02,4.01,5.01, 5.02,5.06,9.01 09/01/11 BLUESKY SYSTEMS CORP 3.03,5.03 09/08/11 BNC BANCORP NC 8.01,9.01 09/08/11 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 5.02 09/07/11 BPZ RESOURCES, INC. TX 7.01,9.01 09/06/11 BREEZE-EASTERN CORP DE 8.01,9.01 09/08/11 BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 8.01,9.01 09/08/11 BROADSOFT, INC. DE 8.01,9.01 09/07/11 Buckeye Oil & Gas, Inc. FL 5.02,9.01 09/01/11 BUREAU OF NATIONAL AFFAIRS INC DE 5.02,5.03,8.01,9.01 09/08/11 CABCO TRUST FOR J.C. PENNEY DEBENTURE DE 8.01,9.01 09/01/11 CADENCE DESIGN SYSTEMS INC DE 5.07 05/10/11 AMEND CALIPER LIFE SCIENCES INC DE 1.01,3.03,7.01,9.01 09/07/11 CAPITOL CITY BANCSHARES INC GA 5.07 08/12/11 AMEND Carbon Natural Gas Co DE 9.01 06/29/11 AMEND CARDICA INC DE 1.01,2.03 09/02/11 CARRIAGE SERVICES INC DE 5.02,9.01 09/01/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 7.01 09/08/11 CERUS CORP DE 1.01 09/01/11 CHEMICAL FINANCIAL CORP MI 5.07 09/08/11 AMEND CHEROKEE INC DE 2.02,9.01 09/08/11 CHINA NUVO SOLAR ENERGY INC NV 1.01,2.01,2.02,3.02, 5.01,5.02,9.01 09/07/11 China Skyrise Digital Service Inc. 5.02,5.07,9.01 09/08/11 ChromaDex Corp. 1.01 09/08/11 CIGNA CORP DE 7.01 09/08/11 Cinedigm Digital Cinema Corp. DE 8.01,9.01 09/01/11 CNA FINANCIAL CORP DE 5.02,9.01 09/08/11 Cobalt International Energy, Inc. 5.02,9.01 09/06/11 Colony Financial, Inc. MD 1.01,2.03,9.01 09/01/11 COMMERCIAL METALS CO DE 5.02 09/01/11 COMVERSE TECHNOLOGY INC/NY/ NY 2.02,5.03,9.01 09/07/11 COMVERSE TECHNOLOGY INC/NY/ NY 8.01 09/02/11 CORE MOLDING TECHNOLOGIES INC DE 8.01,9.01 09/08/11 CorMedix Inc. DE 8.01,9.01 09/07/11 CorMedix Inc. DE 5.02,9.01 08/11/11 CRAWFORD & CO GA 7.01,9.01 09/08/11 Crestwood Midstream Partners LP DE 5.02 09/06/11 CrowdGather, Inc. NV 1.01,2.03,7.01,9.01 09/07/11 CTM MEDIA HOLDINGS, INC. DE 8.01 09/08/11 Culture Medium Holdings Corp. NV 1.01,9.01 08/19/11 CurrencyShares Russian Ruble Trust NY 8.01,9.01 09/08/11 CYTODYN INC CO 7.01,9.01 09/08/11 Dakota Gold Corp FL 2.03,3.02,5.02,9.01 09/07/11 DENBURY RESOURCES INC DE 1.01,2.03,9.01 09/01/11 DENDREON CORP DE 2.05,5.02,9.01 09/02/11 DEPOMED INC CA 1.01 09/02/11 DIGAGOGO VENTURES CORP DE 8.01,9.01 09/08/11 Douglas Lake Minerals Inc. NV 5.02 09/06/11 DPL INC OH 8.01,9.01 09/08/11 Duncan Energy Partners L.P. DE 1.02,2.01,3.01,3.03, 5.03,5.07,7.01,9.01 09/07/11 DYNEGY HOLDINGS, LLC DE 1.01,2.01,2.03,7.01, 8.01,9.01 09/01/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 09/08/11 Eco Energy Pumps, Inc. NV 1.01,4.01,5.02 08/22/11 ECOLAB INC DE 1.01,1.02,2.03,8.01, 9.01 09/08/11 EDGAR ONLINE INC DE 5.02 09/01/11 Ellington Financial LLC DE 7.01,9.01 09/07/11 ENTERPRISE PRODUCTS PARTNERS L P DE 1.01,1.02,2.01,2.03, 5.03,7.01,9.01 09/07/11 Excel Trust, Inc. MD 7.01 09/08/11 FAIRPOINT COMMUNICATIONS INC DE 2.05,8.01,9.01 09/08/11 Federal Home Loan Bank of Atlanta X1 2.03 09/08/11 Federal Home Loan Bank of Chicago X1 2.03 09/06/11 Federal Home Loan Bank of Dallas 2.03,9.01 09/02/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 09/06/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 09/08/11 Federal Home Loan Bank of New York X1 2.03,9.01 09/02/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 09/02/11 Federal Home Loan Bank of San Francis X1 2.03 09/02/11 Federal Home Loan Bank of Seattle 2.03 09/06/11 Federal Home Loan Bank of Topeka 2.03,9.01 09/06/11 FERRO CORP OH 7.01,9.01 09/08/11 FIRST PACTRUST BANCORP INC MD 7.01,8.01,9.01 09/08/11 FIRST PACTRUST BANCORP INC MD 7.01,8.01,9.01 09/08/11 Florida Bank Group, Inc. FL 5.02 09/08/11 FLUOR CORP DE 8.01,9.01 09/07/11 FORD MOTOR CO DE 5.02,9.01 09/07/11 FUELCELL ENERGY INC DE 2.02,9.01 09/06/11 FUNCTION (X) INC. DE 8.01,9.01 09/08/11 GALLAGHER ARTHUR J & CO DE 7.01,9.01 09/08/11 Geeknet, Inc DE 5.02,9.01 09/08/11 GLOBECOMM SYSTEMS INC 2.02,9.01 09/08/11 GRAMERCY CAPITAL CORP MD 1.01,9.01 09/01/11 GRAPHON CORP/DE DE 1.01,3.02 09/01/11 GREEN BANKSHARES, INC. TN 8.01,9.01 09/08/11 Hampden Bancorp, Inc. DE 5.02 09/07/11 HD SUPPLY, INC. DE 2.02,9.01 09/08/11 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 09/01/11 Heckmann CORP 1.01,2.03,9.01 09/07/11 Helix Wind, Corp. NV 3.02,8.01 09/06/11 HEMISPHERX BIOPHARMA INC DE 1.01,9.01 09/03/11 HERTZ CORP DE 2.01,9.01 09/01/11 HERTZ GLOBAL HOLDINGS INC 2.01,9.01 09/01/11 HMS HOLDINGS CORP 5.01,8.01,9.01 09/01/11 HUMAN GENOME SCIENCES INC DE 7.01,9.01 09/08/11 IMMUCELL CORP /DE/ DE 5.02,9.01 09/02/11 Income Now Consulting NV 4.01,9.01 08/18/11 AMEND INERGETICS INC DE 8.01 09/08/11 Infusion Brands International, Inc. NV 1.01,3.02 09/01/11 Inland American Real Estate Trust, In MD 7.01,9.01 09/08/11 INNOSPEC INC. DE 8.01,9.01 09/07/11 INTELSAT S.A. N4 7.01 09/08/11 INTERNET MEDIA SERVICES, INC. DE 1.01,2.03,3.02,9.01 09/01/11 INTERSIL CORP/DE DE 1.01,2.03,9.01 09/01/11 IRIS INTERNATIONAL INC DE 2.05,2.06,7.01,9.01 09/01/11 Juhl Wind, Inc 1.01,2.01,9.01 04/28/11 AMEND KAMAN CORP CT 7.01,9.01 09/07/11 KANSAS CITY SOUTHERN DE 1.01,2.03 09/01/11 Kansas City Southern de Mexico, S.A. O5 1.01,2.03 09/01/11 KBS Real Estate Investment Trust, Inc MD 1.01,2.03,8.01 09/01/11 KORN FERRY INTERNATIONAL DE 2.02,9.01 09/08/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 09/08/11 LAKELAND INDUSTRIES INC DE 2.02,9.01 09/08/11 LAM RESEARCH CORP DE 5.02,7.01,9.01 09/08/11 LAYNE CHRISTENSEN CO DE 2.02,9.01 09/07/11 LIFE PARTNERS HOLDINGS INC TX 5.02,9.01 08/31/11 LIGHTPATH TECHNOLOGIES INC DE 2.02,9.01 09/08/11 Limelight Networks, Inc. DE 2.01,9.01 09/01/11 LOCKHEED MARTIN CORP MD 8.01,9.01 09/06/11 LORILLARD, INC. DE 7.01,9.01 09/08/11 Marina Biotech, Inc. DE 5.02,8.01,9.01 09/01/11 MATRIX SERVICE CO DE 2.02,9.01 09/07/11 MEDGENICS, INC. DE 5.07 09/07/11 MEDGENICS, INC. DE 5.02,9.01 06/20/11 AMEND MEDICINOVA INC DE 1.01,9.01 09/01/11 MEDICIS PHARMACEUTICAL CORP DE 5.07 05/17/11 AMEND MEDIVATION, INC. DE 5.02,8.01,9.01 09/02/11 MedQuist Holdings Inc. DE 5.02,9.01 09/01/11 MEDQUIST INC NJ 5.02,9.01 09/01/11 Minerco Resources, Inc. NV 2.03,3.02,9.01 09/01/11 MOHEGAN TRIBAL GAMING AUTHORITY 5.02,9.01 09/01/11 MOTRICITY INC DE 5.02,8.01 09/01/11 Myrexis, Inc. DE 2.02,8.01,9.01 09/08/11 NABORS INDUSTRIES LTD D0 8.01,9.01 09/07/11 NATIONAL BEVERAGE CORP DE 2.02,9.01 09/08/11 NeurogesX Inc CA 8.01,9.01 09/08/11 NEWS CORP 8.01,9.01 09/08/11 NTELOS HOLDINGS CORP 5.02,8.01,9.01 09/06/11 OCWEN FINANCIAL CORP FL 2.03,9.01 09/01/11 Oncothyreon Inc. DE 5.02 09/07/11 ONE LIBERTY PROPERTIES INC MD 7.01,9.01 09/08/11 ORIGINOIL INC NV 8.01,9.01 09/08/11 PARLUX FRAGRANCES INC DE 7.01 09/07/11 Patriot Coal CORP DE 7.01,9.01 09/08/11 PDL BIOPHARMA, INC. DE 7.01,8.01,9.01 09/07/11 PEOPLES EDUCATIONAL HOLDINGS MN 3.01,5.02 09/07/11 PERRIGO CO MI 1.01,2.03,9.01 09/01/11 PRICESMART INC DE 2.02,8.01,9.01 09/08/11 PROASSURANCE CORP DE 7.01,9.01 09/08/11 Protalix BioTherapeutics, Inc. FL 7.01,9.01 09/08/11 PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 09/08/11 Raptor Pharmaceutical Corp DE 1.01,8.01,9.01 09/08/11 RARE ELEMENT RESOURCES LTD A1 7.01,9.01 09/07/11 REDtone Asia Inc NV 2.01 08/02/10 AMEND REDWOOD TRUST INC MD 7.01,9.01 09/08/11 REGENCY CENTERS CORP FL 2.03 09/07/11 RENTECH INC /CO/ CO 8.01 09/08/11 REPLIGEN CORP DE 1.01,3.03,9.01 09/08/11 REPROS THERAPEUTICS INC. DE 8.01,9.01 09/08/11 Riverview Financial Corp PA 8.01,9.01 09/07/11 ROCHESTER MEDICAL CORPORATION MN 7.01,9.01 09/08/11 Sagebrush Gold Ltd. NV 1.02,2.01,9.01 09/01/11 Santander Drive Auto Receivables Trus DE 8.01,9.01 09/08/11 SAPIENT CORP DE 8.01,9.01 09/08/11 SIGNATURE GROUP HOLDINGS, INC. NV 5.02 09/01/11 SINCLAIR BROADCAST GROUP INC MD 1.01 09/08/11 Skilled Healthcare Group, Inc. DE 2.02,9.01 09/08/11 SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 09/07/11 SMITHFIELD FOODS INC VA 2.02,9.01 09/08/11 SMITHFIELD FOODS INC VA 2.02,9.01 09/08/11 Sono Resources, Inc. NV 8.01,9.01 09/06/11 Sonora Resources Corp. NV 1.01,9.01 09/05/11 Sonora Resources Corp. NV 1.01,9.01 09/05/11 AMEND SONOSITE INC 1.01,9.01 09/06/11 SPARTON CORP OH 7.01,9.01 09/08/11 STATE BANK FINANCIAL CORP GA 5.02,9.01 09/01/11 STEWART ENTERPRISES INC LA 2.02,9.01 09/07/11 STR HOLDINGS, INC. DE 1.01,1.02,2.01, 8.01,9.01 09/01/11 Sucampo Pharmaceuticals, Inc. 1.01,9.01 09/08/11 Sucampo Pharmaceuticals, Inc. 8.01,9.01 09/08/11 Sunway Global Inc. NV 5.02 09/06/11 Sustainable Environmental Technologie CA 1.01,9.01 09/01/11 TAKEDOWN ENTERTAINMENT INC. NV 7.01,9.01 09/02/11 TBS International plc L2 1.01,7.01,9.01 09/07/11 TEAM HEALTH HOLDINGS INC. DE 8.01,9.01 09/02/11 TEMPLE INLAND INC DE 1.01,3.03,9.01 09/06/11 TESORO CORP /NEW/ DE 1.01,2.03,7.01,9.01 09/06/11 TESSERA TECHNOLOGIES INC DE 7.01,9.01 09/08/11 TEXAS INSTRUMENTS INC DE 7.01,9.01 09/08/11 Timberline Resources Corp DE 7.01,9.01 09/08/11 Titan Machinery Inc. DE 2.02,9.01 09/08/11 TOYS R US INC DE 2.02,9.01 09/08/11 TRC COMPANIES INC /DE/ DE 2.02,9.01 09/08/11 Triangle Petroleum Corp NV 2.02,7.01,9.01 09/08/11 TriView Global Fund, LLC DE 8.01 08/10/11 AMEND U S GOLD CORP CO 7.01,9.01 09/08/11 Ulta Salon, Cosmetics & Fragrance, In DE 2.02,9.01 09/08/11 Uni-Pixel DE 5.02,9.01 09/08/11 UNITED FIRE & CASUALTY CO IA 7.01,8.01,9.01 09/08/11 UNITED NATURAL FOODS INC DE 2.02,9.01 09/08/11 URANIUM ENERGY CORP NV 7.01,9.01 09/07/11 US BANCORP \DE\ DE 8.01,9.01 09/08/11 UTG INC 1.01 09/08/11 Vanda Pharmaceuticals Inc. DE 7.01,9.01 09/08/11 VERINT SYSTEMS INC DE 2.02,7.01,9.01 09/08/11 VERISIGN INC/CA DE 5.02,7.01,9.01 09/07/11 VIRGIN MEDIA INC. DE 8.01 09/08/11 Vitacost.com, Inc. DE 5.02,5.03,5.07,9.01 09/07/11 WASHINGTON POST CO DE 8.01,9.01 09/08/11 WELLS FARGO & CO/MN DE 9.01 09/08/11 WHOLE FOODS MARKET INC TX 8.01 09/08/11 WILEY JOHN & SONS, INC. NY 7.01 07/31/11 WILLIAMS SONOMA INC CA 1.01,2.03 09/02/11 WILSON BANK HOLDING CO TN 5.07 04/12/11 AMEND WORLD HEALTH ENERGY HOLDINGS, INC. DE 5.02,9.01 08/23/11 WPCS INTERNATIONAL INC DE 1.01,9.01 09/01/11 X-CHANGE CORP NV 1.01,5.02,9.01 08/18/11 X-CHANGE CORP NV 5.06,9.01 06/01/01 AMEND XFONE INC. NV 8.01,9.01 09/08/11 Xsovt Brands, Inc. NV 5.02,9.01 09/01/11 Xun Energy, Inc. NV 5.02,9.01 09/01/11 ZAP CA 1.01,2.03 08/11/11 ZBB ENERGY CORP WI 2.02,9.01 09/08/11 Zyto Corp NV 7.01,8.01,9.01 08/30/11