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Enforcement proceedingsCommission Declares Decision as to Tom Hirsch, Berta Walder, Howard Walder, and Harish P. Shah, FinalThe decision of an administrative law judge barring Tom Hirsch, Berta Walder, Howard Walder, and Harish P. Shah from associating with an investment adviser, broker, dealer, municipal securities dealer, or transfer agent, and from participating in any penny stock offering, is final. On April 28, 2011, Tom Hirsch, Berta Walder, Howard Walder, and Harish P. Shah (collectively, Respondents) were enjoined from future violations of Section 5(a), 5(c), and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) and 15(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 in SEC v. Radical Bunny, LLC, No. 2:09-CV-01560-SRB (D. Ariz. Apr. 28, 2011). The law judge found that Respondents’ conduct was egregious, continuous and involved a high degree of scienter. Respondent’s controlled an Arizona LLC, Radical Bunny, LLC (Radical Bunny). Radical Bunny was created for the purpose of investing in Mortgages Ltd. (Mortgages), a mortgage lender. Radical Bunny’s business consisted of loaning money to Mortgages, who would then loan money to real estate developers. For two years, starting in January 2006 and ending in June 2008, Radical Bunny issued notes and raised a total of $189.5 million in 900 separate accounts from investors located in 20 different states. During that two-year period, Respondents held no security licenses, and Radical Bunny was an unregistered broker-dealer and had not registered securities for sale to the public. The law judge noted that the court in the underlying action agreed that the Respondents violated the antifraud provisions by making numerous material misrepresentations and omissions to investors, both verbally and in writing. Further, Respondents did not provide investors with any disclosure documents or audited financial statements. (Rel. 34-65738; File No. 3-14394) SEC Awarded Final Judgment and Suspends Attorney in the Matter of Vincent L. Verdiramo, Esq.The U.S. Securities and Exchange Commission announced today that it has suspended Vincent L. Verdiramo from appearing or practicing before it as an attorney. This action follows the issuance of a final judgment by the U.S. District Court for the Southern District of New York in which U.S. District Court Judge Richard M. Berman permanently enjoined Vincent Verdiramo from violating the registration provisions of the federal securities laws. The Commission’s Complaint against Vincent Verdiramo and others in the civil action entitled Securities and Exchange Commission v. Richard Verdiramo, et al., 10-CIV-1888, alleged, among other claims, that he and others violated Section 5 of the Securities Act of 1933 in connection with sales of RECOV Energy Corporation (RECOV) stock. On September 9, 2011, Judge Berman granted the Commission’s motion for partial summary judgment against Vincent Verdiramo, holding that he illegally sold RECOV shares in unregistered transactions. Judge Berman awarded the Commission full injunctive relief against Vincent Verdiramo. On November 10, 2011, the Commission issued an Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice that suspends Vincent Verdiramo, who is licensed to practice law in the State of New Jersey and a partner in the law firm Verdiramo & Verdiramo, P.A., from appearing or practicing before the Commission. The Commission’s Order was based on the injunction entered by Judge Berman. (Rel. 34-65739; File No. 3-14621) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Alpha Petroleum Exploration Corp., AMCV Capital Trust I, American Health, Inc., Avid Sportswear & Golf Corp. (n/k/a Merger Co., Inc.), and The Bighub.com, Inc. (n/k/a Capital Consultants Funding, 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. 34-65740; File No. 3-14587) Self-regulatory organizationsApproval of Proposed Rule ChangesThe Commission approved a proposed rule change filed by The Depository Trust Company (DTC) (SR-DTC-2011-07) under Section 19(b)(1) of the Exchange Act. Under the rule change, DTC will add a new Daily Report subscription category and a Commercial Paper Family Report to its Security Position Report Service. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65721) The Commission approved a proposed rule change (SR-BATS-2011-035), as modified by Partial Amendment No. 1, filed by the BATS Exchange Inc. to amend and restate the second amended and restated bylaws of BATS Global Markets, Inc. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65728) The Commission approved a proposed rule change (SR-BYX-2011-022), as modified by Partial Amendment No. 1, filed by the BATS Y-Exchange Inc. to amend and restate the second amended and restated bylaws of BATS Global Markets, Inc. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65729) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-73) relating to fees for certain orders executed on the Exchange 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 November 14. (Rel. 34-65723) A proposed rule change filed by the International Securities Exchange, LLC (SR-ISE-2011-72) to amend transaction fees and rebates for certain Complex Orders executed on the Exchange 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 November 14. (Rel. 34-65724) A proposed rule change filed by the NASDAQ OMX PHLX LLC (SR-Phlx-2011-146) relating to Routing Fees to C2 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65727) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-79) amending the NYSE Arca Options Fee Schedule to modify the fees relating to Qualified Contingent Cross orders 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 November 14. (Rel. 34-65730) A proposed rule change filed by International Securities Exchange, LLC (SR- ISE-2011-74) relating to the removal of the requirement that its members pass the DTR Examination prior to registering has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65731) Proposed Rule ChangesChicago Board Options Exchange, Incorporated filed a proposed rule change (SR-CBOE-2011-007) to adopt rules in connection with S&P 500 option variance basket trades. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65725) NYSE Amex LLC has filed a proposed rule change (SR-NYSEAmex-2011-86) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to codify certain traditional Trading Floor functions that may be performed by Designated Market Makers. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65735) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 MERRILL LYNCH & CO., INC., 4 WORLD FINANCIAL CTR, NEW YORK, NY, 10080, 2124491000 - 0 ($200,000,000.00) Other, (File 333-177874 - Nov. 10) (BR. 12A) S-1 Vantiv, Inc., 8500 GOVERNOR'S HILL DRIVE, SYMMES TOWNSHIP, OH, 45249, 513-900-5250 - 0 ($100,000,000.00) Equity, (File 333-177875 - Nov. 10) (BR. 02) S-1 SMITH ELECTRIC VEHICLES CORP., 12200 N.W. AMBASSADOR DRIVE, SUITE 326, KANSAS CITY, MO, 64163, 913-940-8353 - 0 ($125,000,000.00) Equity, (File 333-177876 - Nov. 10) (BR. 05) S-8 JIAYUAN.COM INTERNATIONAL LTD, Changxin Building, Room 1005, No. 39 Anding Road, Chaoyang District, Bejing, PRC, F4, 00000, 8610-6442-8783 - 0 ($17,129,370.09) ADRs/ADSs, (File 333-177877 - Nov. 10) (BR. 03A) S-3ASR PROCTER & GAMBLE Co, ONE PROCTER & GAMBLE PLAZA, CINCINNATI, OH, 45202, 5139831100 - 100,000 ($6,278,000.00) Equity, (File 333-177878 - Nov. 10) (BR. 06B) S-1 Oxamedia Corp, P.O. BOX 2741, SUN VALLEY, ID, 83353, 561-921-1094 - 8,309,000 ($363.44) Equity, (File 333-177884 - Nov. 10) (BR. 11) S-3 VECTREN CORP, ONE VECTREN SQUARE, EVANSVILLE, IN, 47708, 8124914000 - 738,709 ($21,200,948.30) Equity, (File 333-177885 - Nov. 10) (BR. 02B) S-3ASR CMS ENERGY CORP, ONE ENERGY PLAZA, JACKSON, MI, 49201, 5177881612 - 3,000,000 ($61,380,000.00) Equity, (File 333-177886 - Nov. 10) (BR. 02B) S-1 UFood Restaurant Group, Inc., 12516-52A AVENUE, SURREY, A1, V3X 3K3, (604) 341-8993 - 0 ($1,350,000.00) Equity, (File 333-177888 - Nov. 10) (BR. 05A) S-8 MICROCHIP TECHNOLOGY INC, 2355 W CHANDLER BLVD, CHANDLER, AZ, 85224-6199, 480-792-7200 - 3,327,516 ($99,492,728.40) Equity, (File 333-177889 - Nov. 10) (BR. 10B) S-8 COMMUNICATIONS SYSTEMS INC, 213 S MAIN ST, HECTOR, MN, 55342, 3208486231 - 1,000,000 ($15,640,000.00) Equity, (File 333-177890 - Nov. 10) (BR. 11C) S-3 RBS COMMERCIAL FUNDING INC., 600 STEAMBOAT RD, GREENWICH, CT, 06830, 2036252756 - 1,000,000 ($1,000,000.00) Mortgage Backed Securities, (File 333-177891 - Nov. 10) (BR. OSF) S-3ASR Unum Group, 1 FOUNTAIN SQUARE, CHATTANOOGA, TN, 37402, 423-294-8974 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177892 - Nov. 10) (BR. 01A) S-1 GOLDEN QUEEN MINING CO LTD, GOLDEN QUEEN MINING CO. LTD., 6411 IMPERIAL AVE., WEST VANCOUVER, A1, V7W 2J5, 604-921-7570 - 2,500,000 ($4,475,000.00) Equity, (File 333-177893 - Nov. 10) (BR. 09A) S-8 Pike Electric CORP, 100 PIKE WAY, MOUNT AIRY, NC, 27030, (336) 789-2171 - 0 ($17,875,000.00) Equity, (File 333-177894 - Nov. 10) (BR. 06B) S-4 KINDER MORGAN, INC., 500 DALLAS STREET, SUITE 1000, HOUSTON, TX, 77002, 713-369-9000 - 0 ($28,847,001,239.08) Equity, (File 333-177895 - Nov. 10) (BR. 02C) S-8 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE, PITTSBURGH, PA, 15222, 412-762-2000 - 0 ($35,000,000.00) Other, (File 333-177896 - Nov. 10) (BR. 12A) S-3ASR TOTAL SYSTEM SERVICES INC, 1600 FIRST AVENUE, P O BOX 1755, COLUMBUS, GA, 31901, 7066492267 - 0 ($20,040,000.00) Equity, (File 333-177897 - Nov. 10) (BR. 03C) S-8 PNC FINANCIAL SERVICES GROUP INC, ONE PNC PLAZA, 249 FIFTH AVENUE, PITTSBURGH, PA, 15222, 412-762-2000 - 0 ($313,260,000.00) Equity, (File 333-177898 - Nov. 10) (BR. 12A) S-4 VISTEON CORP, ONE VILLAGE CENTER DRIVE, VAN BUREN TOWNSHIP, MI, 48111, 800-847-8366 - 500,000,000 ($500,000,000.00) Non-Convertible Debt, (File 333-177899 - Nov. 10) (BR. 05C) S-8 EXCO RESOURCES INC, 12377 MERIT DR, SUITE 1700, DALLAS, TX, 75251, 2143682084 - 0 ($69,300,000.00) Equity, (File 333-177900 - Nov. 10) (BR. 04A) S-3ASR BOEING CAPITAL CORP, 500 NACHES AVE. 3RD. FLOOR, RENTON, WA, 98055, 425-965-4000 - 0 ($0.00) Non-Convertible Debt, (File 333-177901 - Nov. 10) (BR. 07B) S-8 ATMEL CORP, 2325 ORCHARD PKWY, SAN JOSE, CA, 95131, 4084410311 - 0 ($184,775,000.00) Equity, (File 333-177902 - Nov. 10) (BR. 10A) S-1 CANYON GOLD CORP., 7810 MARCHWOOD PLACE, VANCOUVER, A1, V5S 4A6, 604-202-3212 - 3,280,000 ($2,873,000.00) Equity, (File 333-177903 - Nov. 10) (BR. ) S-11 SPIRIT FINANCE CORP, 14631 N. SCOTTSDALE ROAD, SUITE 200, SCOTTSDALE, AZ, 85254, 4806060820 - 0 ($500,000,000.00) Equity, (File 333-177904 - Nov. 10) (BR. 08C) S-3D FIRST OF LONG ISLAND CORP, 10 GLEN HEAD RD, GLEN HEAD, NY, 11545, 5166714900 - 0 ($12,762,500.00) Equity, (File 333-177905 - Nov. 10) (BR. 07A) S-1 IZEA Holdings, Inc., 150 N. ORANGE AVENUE, SUITE 412, ORLANDO, FL, 32801, 407-674-6911 - 30,312,500 ($30,312,500.00) Equity, (File 333-177906 - Nov. 10) (BR. 11C) S-8 PLAINSCAPITAL CORP, 2323 VICTORY AVENUE, SUITE 1400, DALLAS, TX, 75219-7657, 214.252.4065 - 4,000,000 ($49,560,000.00) Equity, (File 333-177907 - Nov. 10) (BR. 07B) S-3ASR REGAL BELOIT CORP, 200 STATE ST, BELOIT, WI, 53511, 6083648800 - 0 ($154,454,417.00) Unallocated (Universal) Shelf, (File 333-177908 - Nov. 10) (BR. 10C) S-8 WINN DIXIE STORES INC, 5050 EDGEWOOD CT, JACKSONVILLE, FL, 32254, 9047835000 - 6,028,000 ($37,403,740.00) Equity, (File 333-177910 - Nov. 10) (BR. 02C) N-2 FIRST TRUST GLOBAL EQUITY DIVIDEND FUND, 120 EAST LIBERTY STREET, SUITE 400, WHEATON, IL, 60187, 630-765-8000 - 1,000 ($25,000.00) Equity, (File 333-177911 - Nov. 10) (BR. ) S-3 QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC., 17872 CARTWRIGHT ROAD, IRVINE, CA, 92614, 949-399-4500 - 0 ($6,169,982.00) Equity, (File 333-177912 - Nov. 10) (BR. 05B) N-2 Salient Midstream & MLP Fund, 4265 SAN FELIPE, SUITE 800, HOUSTON, TX, 77027, 713-993-4675 - 40,000 ($1,000,000.00) Equity, (File 333-177913 - Nov. 10) (BR. ) S-3 PREMIER EXHIBITIONS, INC., 3340 PEACHTREE ROAD NE, SUITE 900, ATLANTA, GA, 30326, 404-842-2600 - 0 ($9,319,989.00) Equity, (File 333-177914 - Nov. 10) (BR. 05B) S-1 Marlborough Software Development Holdings Inc., 500 NICKERSON ROAD, MARLBOROUGH, MA, 01752, 617-497-6222 - 10,665,025 ($4,977,000.00) Equity, (File 333-177915 - Nov. 10) (BR. ) S-1 AMERICAN SCIENTIFIC RESOURCES INC, 1112 WESTON ROAD, UNIT 278, WESTON, FL, 33326, (847) 386-1384 - 5,890,000 ($117,800.00) Equity, (File 333-177916 - Nov. 10) (BR. 10A) 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 21ST CENTURY HOLDING CO FL 2.02,9.01 11/10/11 AARON'S INC GA 5.02,7.01,9.01 11/04/11 ACCELLENT INC 2.02,9.01 11/10/11 ACCESS PHARMACEUTICALS INC DE 1.01,9.01 11/10/11 ACORN ENERGY, INC. DE 2.02,9.01 11/09/11 ACORN ENERGY, INC. DE 5.02 11/07/11 ACTIVE NETWORK INC DE 2.02,9.01 11/10/11 AcuNetx, Inc. NV 5.02 11/07/11 ADA-ES INC CO 2.02,9.01 11/10/11 ADAMS RESOURCES & ENERGY, INC. DE 2.02 09/30/11 ADCARE HEALTH SYSTEMS INC OH 1.01,2.03 11/04/11 ADOLOR CORP 2.02,9.01 11/10/11 ADVANT E CORP DE 2.02,9.01 11/10/11 AECOM TECHNOLOGY CORP DE 2.02,9.01 11/10/11 AFC ENTERPRISES INC MN 2.02,9.01 11/09/11 Affinia Group Intermediate Holdings I DE 2.02,9.01 11/10/11 AgFeed Industries, Inc. NV 2.06,4.02,7.01,8.01 11/10/11 AGILYSYS INC OH 2.02,7.01,8.01,9.01 11/10/11 AIR LEASE CORP DE 2.02,9.01 11/10/11 AIR METHODS CORP DE 7.01,9.01 11/09/11 Air Transport Services Group, Inc. DE 2.02,7.01,9.01 11/10/11 AISystems, Inc. 4.01,9.01 10/25/11 AMEND ALASKA PACIFIC BANCSHARES INC AK 2.02,9.01 11/10/11 ALION SCIENCE & TECHNOLOGY CORP DE 3.02,7.01,8.01 09/30/11 AMEND Allegiant Travel CO NV 5.07,7.01,9.01 06/14/11 AMEND ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 11/10/11 Alliance Holdings GP, L.P. DE 7.01,9.01 11/09/11 ALLIANCE ONE INTERNATIONAL, INC. VA 5.02,5.03,9.01 11/10/11 ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 11/09/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 11/09/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 11/09/11 ALLIED HEALTHCARE PRODUCTS INC DE 7.01,9.01 11/10/11 ALLIED HEALTHCARE PRODUCTS INC DE 5.07 11/10/11 ALLSTATE LIFE INSURANCE CO 1.01,9.01 11/04/11 ALNYLAM PHARMACEUTICALS, INC. 1.01 11/04/11 Alta Mesa Holdings, LP TX 2.02,9.01 11/10/11 Alto Group Holdings Inc. NV 5.02,5.07,9.01 11/05/11 AMC Networks Inc. DE 2.02,9.01 11/10/11 AMEDISYS INC DE 7.01,9.01 11/10/11 AMERICAN APPAREL, INC DE 2.02,9.01 11/08/11 AMERICAN CAMPUS COMMUNITIES INC MD 1.01,8.01,9.01 11/09/11 American Casino & Entertainment Prope DE 2.02,9.01 11/10/11 AMERICAN DG ENERGY INC DE 2.02,9.01 11/10/11 American Electric Technologies Inc FL 2.02,9.01 11/08/11 AMERICAN EXPRESS CREDIT ACCOUNT MASTE DE 8.01,9.01 11/10/11 AMERICAN INDEPENDENCE CORP DE 2.02,9.01 09/30/11 American Realty Capital Properties, I MD 7.01,9.01 11/10/11 American Renal Associates Holdings, I DE 2.02,7.01,9.01 11/09/11 American Renal Holdings Inc. DE 2.02,7.01,9.01 11/09/11 Ameris Bancorp GA 7.01,9.01 11/10/11 AMES NATIONAL CORP IA 8.01 11/09/11 AMGEN INC DE 1.01,9.01 11/07/11 Anacor Pharmaceuticals Inc DE 2.02,9.01 11/10/11 ANADARKO PETROLEUM CORP DE 5.02 11/09/11 ANTS SOFTWARE INC DE 1.01,2.03,9.01 11/08/11 Apartment Trust of America, Inc. 1.01,9.01 11/04/11 APPLIED MATERIALS INC /DE DC 2.01,7.01,9.01 11/10/11 ARQULE INC DE 1.01,9.01 11/08/11 ARQULE INC DE 2.02,9.01 11/10/11 Artio Global Investors Inc. DE 7.01,9.01 11/10/11 Ascena Retail Group, Inc. DE 5.02,9.01 11/07/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/10/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 11/10/11 ATHENAHEALTH INC DE 1.01,2.03 11/07/11 ATLANTIC AMERICAN CORP GA 2.02,9.01 11/09/11 Augme Technologies, Inc. DE 1.01,8.01,9.01 11/10/11 AUTHENTIDATE HOLDING CORP DE 2.02,9.01 11/10/11 AUTOMATIC DATA PROCESSING INC DE 5.07 11/10/11 Avantair, Inc DE 2.02,9.01 11/09/11 AxoGen, Inc. MN 2.02,9.01 11/09/11 B2B INTERNET HOLDRSSM TRUST NY 8.01,9.01 11/10/11 Bacterin International Holdings, Inc. DE 2.02,9.01 11/10/11 BANCORPSOUTH INC MS 7.01,9.01 11/10/11 Bankrate, Inc. DE 2.02,9.01 10/27/11 BE Resources Inc. CO 5.02,9.01 11/10/11 BENIHANA INC DE 2.02,9.01 11/10/11 BERRY PLASTICS CORP DE 9.01 11/10/11 AMEND Bio-Carbon Solutions International In NV 2.01,3.02,9.01 11/09/11 BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 11/10/11 BIONOVO INC DE 2.02,7.01,9.01 11/10/11 BIOTECH HOLDRS TRUST DE 8.01,9.01 11/10/11 Bitstream Inc. DE 1.01,8.01,9.01 11/10/11 BLUEFLY INC DE 2.02,9.01 11/10/11 BNL FINANCIAL CORP IA 8.01 11/08/11 BODY CENTRAL CORP 2.02,9.01 11/10/11 BOISE INC. DE 1.01,1.02,2.03 11/10/11 BORGWARNER INC DE 8.01 11/08/11 BOSTON PROPERTIES INC DE 8.01,9.01 11/10/11 BOSTON PROPERTIES LTD PARTNERSHIP DE 8.01,9.01 11/10/11 BOTETOURT BANKSHARES INC VA 2.02,9.01 11/10/11 Bristow Group Inc DE 7.01,9.01 11/10/11 BROADBAND HOLDRS TRUST 8.01,9.01 11/10/11 BROOKS AUTOMATION INC DE 2.02,9.01 11/10/11 BSQUARE CORP /WA WA 2.02,9.01 11/10/11 CAMBRIDGE HOLDINGS LTD CO 4.01,9.01 08/04/11 AMEND CAPITOL BANCORP LTD MI 2.02,9.01 11/10/11 Car Charging Group, Inc. NV 1.01,3.02,9.01 11/04/11 CARDINAL FINANCIAL CORP VA 7.01,9.01 11/10/11 CareView Communications Inc NV 5.02,9.01 11/07/11 Carter Validus Mission Critical REIT, MD 7.01,8.01,9.01 11/04/11 CASTLE A M & CO MD 7.01,9.01 11/10/11 CDSI HOLDINGS INC DE 1.01,2.01,3.02,4.01, 11/04/11 5.01,5.02,5.03,5.06, 9.01 CECO ENVIRONMENTAL CORP DE 2.02,9.01 11/10/11 CEDAR SHOPPING CENTERS INC MD 5.03,9.01 11/09/11 Celsion CORP DE 2.02,9.01 11/10/11 CENTER FINANCIAL CORP CA 8.01,9.01 11/04/11 CENTRAL FEDERAL CORP DE 2.02,9.01 11/10/11 CENTRUE FINANCIAL CORP DE 2.02,9.01 11/10/11 CENVEO, INC CO 2.02,9.01 11/09/11 CERUS CORP DE 8.01,9.01 11/10/11 CH2M HILL COMPANIES LTD DE 8.01 11/10/11 CHESAPEAKE ENERGY CORP OK 8.01,9.01 11/10/11 CHINA FIRE & SECURITY GROUP, INC. 5.02 11/09/11 CHINA GENGSHENG MINERALS, INC. NV 2.02,8.01,9.01 11/10/11 China Green Agriculture, Inc. NV 2.02,9.01 11/10/11 Chino Commercial Bancorp CA 8.01,9.01 11/08/11 CIB MARINE BANCSHARES INC WI 8.01,9.01 11/10/11 CIGNA CORP DE 8.01,9.01 11/10/11 Cinedigm Digital Cinema Corp. DE 2.02,9.01 11/10/11 Cinemark Holdings, Inc. DE 1.01,8.01,9.01 11/08/11 CITIZENS SOUTH BANKING CORP DE 7.01,9.01 11/10/11 CITIZENS SOUTH BANKING CORP DE 8.01 11/09/11 CleanTech Biofuels, Inc. 1.01,9.01 11/07/11 Clearfield, Inc. MN 2.02,5.02,9.01 11/08/11 COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 11/08/11 CODORUS VALLEY BANCORP INC PA 2.02,9.01 11/10/11 AMEND COLUMBIA LABORATORIES INC DE 7.01,9.01 11/10/11 CombiMatrix Corp DE 2.02,9.01 11/10/11 COMFORT SYSTEMS USA INC 7.01,9.01 11/10/11 COMMUNITY FINANCIAL SHARES INC DE 7.01,9.01 11/10/11 COMMUNITY FIRST INC TN 5.02 11/10/11 Community Partners Bancorp NJ 8.01,9.01 11/10/11 COMPREHENSIVE CARE CORP DE 5.02 11/06/11 COMPUTER SCIENCES CORP NV 7.01,9.01 11/09/11 COMSTOCK RESOURCES INC NV 5.03,9.01 11/10/11 CONSOLIDATED WATER CO LTD E6 2.02,9.01 11/09/11 Cooper Industries plc 5.02 11/04/11 CORE MOLDING TECHNOLOGIES INC DE 2.02,9.01 11/09/11 CoreSite Realty Corp MD 1.01,9.01 11/08/11 CorMedix Inc. DE 2.02,9.01 11/10/11 Coronus Solar Inc. A1 1.01,7.01,9.01 11/10/11 CORPORATE PROPERTY ASSOCIATES 16 GLOB MD 7.01,9.01 11/09/11 COSI INC DE 2.02,7.01,9.01 11/10/11 COSI INC DE 8.01 11/10/11 COVENANT TRANSPORTATION GROUP INC NV 2.02,9.01 11/09/11 COVER ALL TECHNOLOGIES INC DE 2.02,9.01 11/10/11 CRIMSON EXPLORATION INC. 2.02,9.01 11/09/11 CURIS INC DE 1.01,8.01,9.01 11/07/11 Cyber Supply Inc. NV 9.01 10/03/11 AMEND CYTODYN INC CO 5.03,9.01 11/08/11 DARLING INTERNATIONAL INC DE 2.02,9.01 11/10/11 DAYBREAK OIL & GAS INC WA 1.01,2.03 11/04/11 Deep Down, Inc. NV 2.02,9.01 11/10/11 DELCATH SYSTEMS INC DE 7.01,9.01 11/07/11 DELTA MUTUAL INC DE 4.01 05/06/11 AMEND DELTA PETROLEUM CORP/CO CO 2.02,9.01 11/09/11 Dialogic Inc. DE 2.02,9.01 11/10/11 DIGITAL ALLY INC 2.03,9.01 11/07/11 DIGITAL POWER CORP CA 2.02,9.01 11/03/11 AMEND DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 11/10/11 DOLLAR TREE INC VA 7.01,9.01 11/10/11 DORAL FINANCIAL CORP PR 2.02,7.01,9.01 11/09/11 DOT HILL SYSTEMS CORP DE 2.02,9.01 11/10/11 DOUBLE CROWN RESOURCES INC. NV 5.03,8.01,9.01 11/10/11 Double Eagle Holdings, Ltd. NV 8.01,9.01 11/10/11 Douglas Lake Minerals Inc. NV 8.01,9.01 11/04/11 DOVER Corp DE 1.01,1.02,2.03 11/10/11 DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 11/09/11 E TRADE FINANCIAL Corp DE 8.01,9.01 11/10/11 Eagle Ford Oil & Gas Corp NV 4.02 11/09/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 11/10/11 EASTON-BELL SPORTS, INC. DE 2.02,9.01 11/09/11 EDGAR ONLINE INC DE 2.02,9.01 11/10/11 EFT Holdings, Inc. NV 5.02 11/04/11 Elite Energies, Inc. DE 5.07 11/05/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 7.01,9.01 11/10/11 ENDOCYTE INC DE 2.02,9.01 11/10/11 ENERGY CONVERSION DEVICES INC DE 2.05,7.01,9.01 11/09/11 Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 11/08/11 Entertainment Gaming Asia Inc. NV 2.02,9.01 11/10/11 Entertainment Gaming Asia Inc. NV 1.01 11/08/11 EPIQ SYSTEMS INC MO 8.01,9.01 11/10/11 EQUITY RESIDENTIAL MD 8.01,9.01 11/10/11 EUROPE 2001 HOLDRS TRUST NY 8.01,9.01 11/10/11 EVERGREEN ENERGY INC DE 3.01,9.01 11/04/11 EVERGREEN SOLAR INC DE 7.01,9.01 11/09/11 EVERTEC, Inc. PR 2.02,9.01 11/10/11 EVOLVING SYSTEMS INC DE 2.02,8.01,9.01 11/10/11 EXAR CORP DE 5.02,9.01 11/06/11 EXPLORE ANYWHERE HOLDING CORP NV 8.01 11/10/11 FARMER BROTHERS CO CA 2.02,9.01 11/08/11 FEDERAL AGRICULTURAL MORTGAGE CORP 2.02,9.01 11/09/11 Federal Home Loan Bank of Atlanta X1 2.03 11/10/11 Federal Home Loan Bank of Chicago X1 2.03 11/07/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 11/07/11 Federal Home Loan Bank of Dallas 2.03,9.01 11/04/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 11/08/11 Federal Home Loan Bank of Des Moines X1 2.02,5.02,5.07,7.01, 11/07/11 9.01 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 11/07/11 Federal Home Loan Bank of New York X1 2.03,9.01 11/07/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 11/07/11 Federal Home Loan Bank of San Francis X1 2.03 11/07/11 Federal Home Loan Bank of Topeka 2.03,9.01 11/07/11 First Advantage Bancorp 2.02,9.01 11/10/11 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 11/09/11 FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 11/10/11 FIRST MIDWEST BANCORP INC DE 7.01,9.01 11/10/11 FIRST MIDWEST BANCORP INC DE 7.01 11/10/11 AMEND FIRST PACTRUST BANCORP INC MD 2.02,9.01 11/10/11 FIRST PACTRUST BANCORP INC MD 7.01,9.01 11/10/11 FIRST WEST VIRGINIA BANCORP INC WV 2.02,9.01 11/09/11 FLOWERS FOODS INC GA 2.02,9.01 11/10/11 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 11/10/11 FULTON FINANCIAL CORP PA 8.01 11/10/11 FXCM Inc. 2.02,7.01,9.01 11/10/11 GAIN Capital Holdings, Inc. DE 7.01,9.01 10/27/11 AMEND Gaming Partners International CORP NV 2.02,9.01 11/10/11 General Finance CORP DE 8.01,9.01 11/10/11 General Finance CORP DE 8.01,9.01 11/10/11 GenMark Diagnostics, Inc. DE 2.02,9.01 11/10/11 GENTA INC DE/ DE 2.02,9.01 11/10/11 GeoVax Labs, Inc. DE 2.02,9.01 11/10/11 Global Telecom & Technology, Inc. DE 9.01 11/09/11 AMEND GLOBALSCAPE INC DE 2.02 11/10/11 GOLDFIELD CORP DE 2.02,9.01 11/10/11 GOLDMAN SACHS GROUP INC DE 9.01 11/10/11 GRANITE CITY FOOD & BREWERY LTD MN 1.01,2.01,9.01 11/04/11 GREENSHIFT CORP DE 5.03,9.01 11/09/11 GSI GROUP INC A3 2.02,9.01 11/10/11 GSV Capital Corp. MD 2.02,9.01 11/10/11 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 11/10/11 HANCOCK HOLDING CO MS 8.01,9.01 11/09/11 HARLEY DAVIDSON CUSTOMER FUNDING CORP NV 6.05,8.01,9.01 11/09/11 HARLEYSVILLE GROUP INC DE 8.01 10/27/11 HEALTH NET INC DE 7.01 11/10/11 HEALTHCARE TRUST OF AMERICA, INC. MD 5.07 11/09/11 Helix Wind, Corp. NV 2.04 10/27/11 HEMISPHERX BIOPHARMA INC DE 5.07,9.01 11/09/11 HERITAGE OAKS BANCORP CA 5.02,9.01 11/10/11 HERSHEY CO DE 1.01,8.01,9.01 11/08/11 HI TECH PHARMACAL CO INC NY 5.07 11/10/11 Hoku Corp DE 2.02,9.01 11/10/11 HOLLY ENERGY PARTNERS LP DE 1.01,2.01,2.03,3.02, 11/09/11 7.01,9.01 HollyFrontier Corp DE 1.01,7.01,9.01 11/09/11 Houston Wire & Cable CO 5.02 11/04/11 HUDSON VALLEY HOLDING CORP NY 8.01,9.01 11/09/11 HUMAN GENOME SCIENCES INC DE 7.01,9.01 11/10/11 HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.02,9.01 11/10/11 I/OMAGIC CORP NV 1.01,9.01 10/20/11 IASIS Healthcare LLC DE 8.01,9.01 11/10/11 IDERA PHARMACEUTICALS, INC. DE 1.01,3.02,3.03,5.03, 11/04/11 9.01 ILLINOIS TOOL WORKS INC DE 8.01,9.01 11/10/11 INDEPENDENCE HOLDING CO DE 2.02,9.01 09/30/11 INDEPENDENT BANK CORP MA 8.01 11/10/11 INFORMATION ARCHITECTS CORP NC 4.01,9.01 11/10/11 AMEND InfuSystem Holdings, Inc DE 2.02,9.01 11/10/11 INLAND WESTERN RETAIL REAL ESTATE TRU MD 7.01,9.01 11/10/11 INTERLEUKIN GENETICS INC DE 2.03 11/09/11 INTERNET ARCHITECTURE HOLDRSSM TRUST NY 8.01,9.01 11/10/11 INTERNET HOLDRS TRUST NY 8.01,9.01 11/10/11 INTERNET INFRASTRUCTURE HOLDRSSM TRUS NY 8.01,9.01 11/10/11 INTERSECTIONS INC DE 2.02,8.01,9.01 11/09/11 INUVO, INC. NV 2.02,7.01,8.01,9.01 11/10/11 Invesco Ltd. D0 7.01,9.01 11/09/11 IROBOT CORP DE 5.02 11/09/11 JACKSONVILLE BANCORP INC /FL/ FL 2.02,9.01 11/10/11 Jayhawk Energy, Inc. CO 4.01 11/04/11 JAZZ PHARMACEUTICALS INC DE 8.01 11/09/11 JEFFERSONVILLE BANCORP NY 2.02,8.01,9.01 11/09/11 JONES SODA CO WA 2.02,9.01 11/10/11 JOSHUA GOLD RESOURCES INC NV 5.02 09/30/11 KBS Real Estate Investment Trust, Inc MD 8.01,9.01 11/10/11 KEY TECHNOLOGY INC OR 2.02,9.01 11/10/11 KINETIC CONCEPTS INC TX 1.01,1.02,2.03,2.04, 11/04/11 3.03,5.01,5.02,5.03, 9.01 KINETIC CONCEPTS INC TX 3.01 11/04/11 KINGOLD JEWELRY, INC. DE 2.02,9.01 11/09/11 Kior Inc DE 2.02,7.01,9.01 11/10/11 KOHLS Corp WI 2.02,7.01,9.01 11/10/11 Kosmos Energy Ltd. D0 2.02,7.01,9.01 11/10/11 KULICKE & SOFFA INDUSTRIES INC PA 2.02,9.01 11/10/11 LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 11/10/11 Lantis Laser Inc. NV 2.01,3.02,5.02,9.01 03/17/11 AMEND LANTRONIX INC DE 2.02,2.05,9.01 11/07/11 LaPorte Bancorp, Inc. X1 8.01,9.01 11/10/11 LAWSON PRODUCTS INC/NEW/DE/ DE 7.01,9.01 11/10/11 LEAR CORP DE 8.01,9.01 11/10/11 LEGACY RESERVES LP DE 1.01,9.01 11/08/11 LEHMAN BROTHERS HOLDINGS INC DE 8.01,9.01 11/09/11 LGL GROUP INC DE 2.02,7.01,9.01 11/09/11 LGL GROUP INC DE 7.01,9.01 11/10/11 LIBERTY SILVER CORP NV 1.01,9.01 11/10/11 LKQ CORP DE 5.02,8.01,9.01 11/07/11 LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 11/09/11 Lone Pine Resources Inc. DE 4.01,9.01 11/10/11 LUBYS INC DE 2.02,9.01 11/09/11 M LINE HOLDINGS INC NV 3.02,5.02,7.01,9.01 11/08/11 MACROSOLVE INC OK 2.02,9.01 11/10/11 MAGNETEK, INC. DE 5.07 11/09/11 MANAGEMENT NETWORK GROUP INC 2.02,9.01 11/10/11 Marina Biotech, Inc. DE 2.02,9.01 11/10/11 MARKET 2000 PLUS HOLDRS SM TRUST NY 8.01,9.01 11/10/11 MARTIN MARIETTA MATERIALS INC NC 5.03,9.01 11/08/11 MASCO CORP /DE/ DE 5.02 11/04/11 MATTEL INC /DE/ DE 5.02,7.01,9.01 11/10/11 MATTHEWS INTERNATIONAL CORP PA 2.02,9.01 11/10/11 McCormick & Schmicks Seafood Restaura 1.01,1.02,3.01,3.03, 11/09/11 8.01,9.01 MCJUNKIN RED MAN HOLDING CORP DE 2.02,9.01 11/10/11 Medora Corp. 5.02 11/07/11 MedQuist Holdings Inc. DE 2.02,9.01 11/09/11 Merck & Co. Inc. NJ 7.01,9.01 11/10/11 MERIT MEDICAL SYSTEMS INC UT 5.02,7.01,9.01 11/05/11 MGT CAPITAL INVESTMENTS INC DE 8.01 11/09/11 MICROSEMI CORP DE 2.02,9.01 11/10/11 MICROVISION INC DE 7.01,8.01,9.01 11/10/11 MINISTRY PARTNERS INVESTMENT COMPANY, 1.01,2.03 11/04/11 Modern Mobility Aids, Inc. NV 1.01,5.02,9.01 11/07/11 Molycorp, Inc. DE 2.02,9.01 11/10/11 Monotype Imaging Holdings Inc. DE 1.01,8.01,9.01 11/10/11 MOVE INC DE 5.07 11/07/11 AMEND MRV COMMUNICATIONS INC DE 2.02,9.01 11/09/11 MSB FINANCIAL CORP. X1 8.01 11/09/11 MULTIBAND CORP MN 2.02,9.01 11/09/11 NASH FINCH CO DE 2.02,9.01 11/10/11 NATIONAL PENN BANCSHARES INC PA 7.01 11/10/11 NATURES SUNSHINE PRODUCTS INC UT 2.02,9.01 11/10/11 NAVISTAR INTERNATIONAL CORP DE 2.03 10/21/11 NETLIST INC DE 2.02,9.01 11/10/11 NETREIT, INC. MD 2.02,7.01 11/10/11 NETWORK CN INC DE 5.02 11/10/11 Neuralstem, Inc. DE 2.02,7.01,9.01 11/09/11 NEW PEOPLES BANKSHARES INC VA 8.01 11/10/11 NEWS CORP 8.01,9.01 11/10/11 NEWTEK BUSINESS SERVICES, INC. NY 7.01,9.01 11/09/11 NORDSON CORP OH 5.02 11/07/11 NORDSTROM INC WA 2.02,7.01,9.01 11/10/11 NORTEK INC DE 9.01 12/17/10 AMEND NORTH AMERICAN ENERGY RESOURCES, INC. 5.02,9.01 11/10/11 NORWOOD FINANCIAL CORP PA 8.01,9.01 11/10/11 NTN BUZZTIME INC DE 2.02,9.01 11/10/11 Nutrastar International Inc. NV 2.02,7.01,9.01 11/10/11 NVIDIA CORP DE 2.02,9.01 11/10/11 NXT Nutritionals Holdings, Inc. DE 1.01,9.01 11/04/11 Oasis Petroleum Inc. DE 1.01,2.03,9.01 11/10/11 OIL SERVICE HOLDRS TRUST NY 8.01,9.01 11/10/11 OLD POINT FINANCIAL CORP VA 7.01,9.01 11/10/11 OMNICARE INC DE 7.01,9.01 11/10/11 OMNIVISION TECHNOLOGIES INC DE 2.02,8.01,9.01 11/07/11 OMNOVA SOLUTIONS INC OH 7.01,9.01 11/10/11 OPNET TECHNOLOGIES INC DE 5.02,9.01 11/07/11 OPPENHEIMER HOLDINGS INC A6 2.02,9.01 11/10/11 Options Media Group Holdings, Inc. NV 5.02 11/04/11 ORASURE TECHNOLOGIES INC DE 5.02,9.01 11/10/11 Orbitz Worldwide, Inc. DE 8.01,9.01 11/09/11 Orchids Paper Products CO /DE DE 8.01,9.01 11/08/11 OSI RESTAURANT PARTNERS, LLC DE 7.01 11/09/11 OSI SYSTEMS INC DE 1.01,9.01 11/10/11 PARK NATIONAL CORP /OH/ OH 7.01,9.01 11/10/11 PATHFINDER BANCORP INC DE 5.02 11/10/11 Pavilion Energy Resources, Inc. DE 5.01,5.02,9.01 10/18/11 PDI INC 2.02,9.01 11/09/11 PENFORD CORP WA 1.01,2.02,5.02,5.03, 11/08/11 9.01 Peninsula Gaming, LLC DE 2.02,9.01 11/09/11 PENN MILLERS HOLDING CORP 2.02,9.01 11/10/11 PEPTIDE TECHNOLOGIES, INC. NV 5.02,5.03 11/08/11 PERCEPTRON INC/MI MI 2.02,9.01 11/09/11 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 09/30/11 PHARMACEUTICAL HOLDRS TRUST 8.01,9.01 11/10/11 PHAZAR CORP DE 5.02 11/08/11 Phillips Edison - ARC Shopping Center MD 1.01,2.01,2.03,8.01, 11/09/11 9.01 PHYTOMEDICAL TECHNOLOGIES INC NV 5.07,7.01,9.01 11/10/11 PINNACLE ENTERTAINMENT INC. DE 8.01,9.01 11/10/11 PIONEER NATURAL RESOURCES CO DE 1.01,9.01 11/08/11 PITNEY BOWES INC /DE/ DE 5.02 11/04/11 PLAINSCAPITAL CORP TX 5.02,9.01 11/10/11 PLY GEM HOLDINGS INC DE 2.02,9.01 11/10/11 PNM RESOURCES INC NM 8.01 11/10/11 Point.360 CA 2.02,9.01 11/10/11 PPL Corp 1.01 11/09/11 PREFERRED APARTMENT COMMUNITIES INC MD 7.01,9.01 11/10/11 Premier Power Renewable Energy, Inc. DE 1.01,9.01 11/10/11 PRESSURE BIOSCIENCES INC MA 1.01,5.03,9.01 11/08/11 PRINCETON REVIEW INC DE 1.01,2.03 11/09/11 PROFESSIONAL VETERINARY PRODUCTS LTD NE 7.01,9.01 11/10/11 Protalix BioTherapeutics, Inc. FL 7.01,9.01 11/10/11 PROVIDENT FINANCIAL SERVICES INC DE 7.01,9.01 11/10/11 PSB Holdings, Inc. 5.07 11/04/11 QKL Stores Inc. DE 5.02,8.01,9.01 11/08/11 Quad/Graphics, Inc. WI 2.02,9.01 11/09/11 QUALSTAR CORP CA 2.02,9.01 11/10/11 QUEPASA CORP NV 2.01,3.02,5.02,5.07, 11/09/11 7.01,9.01 R F INDUSTRIES LTD NV 5.07 11/04/11 Radius Health, Inc. DE 1.01,5.02,9.01 11/07/11 RadNet, Inc. DE 2.02,9.01 11/09/11 RAINMAKER SYSTEMS INC DE 5.02 11/04/11 Rand Logistics, Inc. DE 2.02,9.01 11/09/11 Rand Logistics, Inc. DE 7.01,9.01 11/10/11 RDA Holding Co. 2.02,9.01 11/10/11 RealD Inc. DE 8.01,9.01 11/09/11 RED ROBIN GOURMET BURGERS INC DE 5.07 05/26/11 AMEND Reef Global Energy VI, L.P. NV 8.01 11/06/11 Reef Global Energy VII, L.P. NV 8.01 11/06/11 Reef Global Energy VIII, L.P. 8.01 11/06/11 Reef Oil & Gas Income & Development F TX 8.01 11/06/11 REGIONAL BANK HOLDERS SM TRUST NY 8.01,9.01 11/10/01 RENTRAK CORP OR 5.02,9.01 11/06/11 REPROS THERAPEUTICS INC. DE 2.02,9.01 11/10/11 RESPONSE GENETICS INC 2.02,9.01 11/10/11 RESPONSYS INC CA 7.01 11/09/11 RETAIL HOLDRS TRUST NY 8.01,9.01 11/10/11 RigNet, Inc. DE 2.02,9.01 11/09/11 RLJ Lodging Trust MD 2.02,9.01 11/09/11 Rock-Tenn CO GA 2.02,9.01 11/09/11 Rock-Tenn CO GA 8.01,9.01 11/10/11 RoomStore, Inc. VA 5.02 11/05/11 ROTECH HEALTHCARE INC DE 8.01 11/10/11 SANFILIPPO JOHN B & SON INC DE 5.07 11/09/11 SANFILIPPO JOHN B & SON INC DE 5.07 11/09/11 AMEND SARATOGA RESOURCES INC /TX TX 2.02,7.01,9.01 11/10/11 SCBT FINANCIAL CORP SC 8.01,9.01 11/10/11 SCOLR Pharma, Inc. DE 2.02,9.01 11/10/11 SECURITY CAPITAL CORP/MS MS 4.01 11/10/11 SED INTERNATIONAL HOLDINGS INC 2Q 2.02,9.01 11/10/11 SEMICONDUCTOR HOLDRS TRUST NY 8.01,9.01 11/10/11 SENETEK PLC /ENG/ X0 5.07 11/08/11 SERVICESOURCE INTERNATIONAL, INC. 2.02,9.01 11/10/11 SGS International, Inc. DE 2.02,8.01,9.01 11/10/11 Shengkai Innovations, Inc. FL 3.01,8.01,9.01 11/07/11 Shire plc 5.02 11/10/11 SILLENGER EXPLORATION CORP. NV 1.01,3.02,9.01 11/07/11 SkyPeople Fruit Juice, Inc FL 5.02 11/07/11 SKYWORKS SOLUTIONS, INC. DE 8.01 11/09/11 SL INDUSTRIES INC NJ 2.02,9.01 11/09/11 SM Energy Co DE 1.01,2.03,9.01 11/08/11 SMTC CORP DE 2.02,9.01 11/09/11 SOFTWARE HOLDRS TRUST NY 8.01,9.01 11/10/11 Solar Power, Inc. CA 2.02,9.01 11/10/11 Solo International, Inc NV 8.01 11/09/11 SONOCO PRODUCTS CO SC 2.01 11/08/11 SPARK NETWORKS INC DE 2.02,9.01 11/10/11 SPECTRUM PHARMACEUTICALS INC DE 5.07 06/13/11 AMEND Spirit Airlines, Inc. DE 8.01,9.01 11/10/11 SPORT CHALET INC DE 2.02,9.01 11/09/11 SquareTwo Financial Corp DE 2.02,9.01 11/10/11 STAG Industrial, Inc. 2.02,9.01 11/10/11 STANDARD REGISTER CO OH 5.02 11/09/11 STERLING CONSTRUCTION CO INC DE 2.02 11/08/11 STRYKER CORP MI 2.05,8.01,9.01 11/10/11 SUBURBAN PROPANE PARTNERS LP DE 2.02,9.01 11/10/11 SUBURBAN PROPANE PARTNERS LP DE 5.02,9.01 11/09/11 Sucampo Pharmaceuticals, Inc. 7.01,9.01 11/10/11 Summit Hotel Properties, Inc. MD 2.02,9.01 11/10/11 SUNLINK HEALTH SYSTEMS INC OH 2.02,7.01,8.01,9.01 11/08/11 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 5.02 11/10/11 SYNAGEVA BIOPHARMA CORP DE 4.01,5.02,9.01 11/04/11 TAITRON COMPONENTS INC CA 3.01 11/07/11 TALON INTERNATIONAL, INC. DE 2.02,9.01 11/10/11 TANDY BRANDS ACCESSORIES INC DE 2.02,9.01 11/10/11 TANDY LEATHER FACTORY INC DE 2.02,9.01 11/10/11 TearLab Corp DE 2.02,9.01 11/10/11 TELECOM HOLDRS TRUST NY 8.01,9.01 11/10/11 TETRA TECH INC DE 2.02,9.01 11/09/11 THERMOGENESIS CORP DE 2.02,9.01 11/10/11 TIANYIN PHARMACEUTICAL CO., INC. DE 7.01 11/10/11 TIB FINANCIAL CORP. FL 2.02,9.01 11/09/11 Tim Hortons Inc. A6 2.02,8.01,9.01 11/10/11 TPC Group Inc. DE 2.02,7.01,9.01 11/10/11 TRANSATLANTIC HOLDINGS INC DE 8.01,9.01 11/10/11 Transcept Pharmaceuticals Inc DE 2.02,9.01 11/10/11 TRANZYME INC DE 2.02,9.01 11/10/11 Trius Therapeutics Inc DE 2.02,9.01 11/10/11 Tropicana Las Vegas Hotel & Casino, I DE 1.01,9.01 11/09/11 TRUSTMARK CORP MS 7.01,9.01 11/10/11 TRX INC/GA GA 2.02,9.01 09/30/11 TUCANA LITHIUM CORP. NV 7.01,9.01 11/10/11 TUCOWS INC /PA/ PA 9.01 11/08/11 AMEND tw telecom inc. DE 1.01 11/10/11 U S PHYSICAL THERAPY INC /NV NV 7.01,9.01 11/10/11 Ubiquiti Networks, Inc. DE 2.02,9.01 11/10/11 UDR, Inc. MD 8.01,9.01 04/01/11 AMEND Uni-Pixel DE 8.01,9.01 11/10/11 UNION BANKSHARES INC VT 2.02,9.01 11/10/11 United Financial Bancorp, Inc. 7.01,9.01 11/09/11 UNITEDHEALTH GROUP INC MN 8.01,9.01 11/07/11 UTILITIES HOLDERS SM TRUST NY 8.01,9.01 11/10/11 Valeant Pharmaceuticals International A6 5.02,9.01 11/04/11 VERENIUM CORP DE 2.02,9.01 11/10/11 Viacom Inc. DE 2.02,8.01,9.01 11/09/11 Vicor Technologies, Inc. DE 5.02 11/04/11 VirtualScopics, Inc. DE 2.02,9.01 11/10/11 VISANT CORP 2.02,9.01 11/10/11 VistaGen Therapeutics, Inc. NV 3.02 11/04/11 VISTEON CORP DE 8.01,9.01 11/10/11 VIVUS INC CA 2.02,9.01 11/07/11 Vringo Inc DE 1.01,9.01 11/08/11 WACHOVIA PREFERRED FUNDING CORP DE 5.02 11/08/11 Walker & Dunlop, Inc. MD 2.02,9.01 11/10/11 WALT DISNEY CO/ DE 2.02,9.01 11/10/11 Warner Music Group Corp. DE 5.02,9.01 11/10/11 WARWICK VALLEY TELEPHONE CO NY 1.01,2.02,9.01 11/04/11 WAVE SYSTEMS CORP DE 2.02,9.01 11/09/11 WEBSTER FINANCIAL CORP DE 7.01 11/10/11 WESTERN LIBERTY BANCORP DE 2.02,8.01,9.01 11/03/11 WESTWOOD ONE INC /DE/ DE 1.01,5.02,9.01 11/04/11 Willdan Group, Inc. DE 2.02,9.01 11/10/11 WILLIAMS COMPANIES INC DE 5.02 11/08/11 WILLIS LEASE FINANCE CORP DE 2.02,7.01,9.01 11/09/11 WINN DIXIE STORES INC FL 5.02,5.07,9.01 10/09/11 WINTRUST FINANCIAL CORP IL 7.01,9.01 11/07/11 WIRELESS HOLDRS TRUST NY 8.01,9.01 11/10/11 WMS INDUSTRIES INC /DE/ DE 2.02,9.01 11/07/11 WORLDWIDE STRATEGIES INC NV 5.01 11/01/11 WWA GROUP INC NV 4.02 11/03/11 AMEND X RITE INC MI 2.02,7.01,9.01 11/03/11 XPLORE TECHNOLOGIES CORP DE 7.01,9.01 11/10/11 Yankee Holding Corp. DE 2.02,9.01 11/10/11 Yayi International Inc DE 4.02 10/31/11 AMEND YCC Holdings LLC DE 2.02,9.01 11/10/11 Your Event, Inc. NV 5.01,9.01 06/10/11 AMEND Zayo Group LLC DE 2.02,7.01,9.01 11/09/11 ZHONGPIN INC. DE 5.07 06/15/11 AMEND ZIMMER HOLDINGS INC DE 1.01,2.03,8.01,9.01 11/07/11 ZIX CORP TX 8.01,9.01 11/09/11 ZOGENIX, INC. DE 2.02,9.01 11/10/11
http://www.sec.gov/news/digest/2011/dig111411.htm
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