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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-226
November 23, 2011

Enforcement proceedings

In the Matter of Fifth Third Bancorp

On November 22, 2011, the Commission issued an Order Instituting Cease-And-Desist Proceedings, Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order (Order). The Order finds that Fifth Third Bancorp violated fair disclosure rules when it selectively disclosed to certain investors that it would be redeeming trust preferred securities (TruPS).

In particular, the Order finds that in May 2011, Fifth Third informed certain investors that it would be redeeming a class of its TruPS at a significant discount to the market price at that time. Fifth Third did not publicly disclose the redemption until it became aware that investors who appeared to have learned of the redemption had been selling the securities to unwitting buyers. Without admitting or denying the Commission’s findings, Fifth Third consented to the issuance of a cease-and-desist order finding that it violated Regulation FD, which prohibits issuers from selectively disclosing material nonpublic information about itself or its securities to certain market participants without also disclosing the information to the public generally.

In its Order, the SEC found that Fifth Third issued a redemption notice to the Depository Trust Corporation, the holder of record of the securities, on May 16, 2011. To inform the beneficial holders of the redemption, DTC posted the notice the following day on its Legal Notification System (“LENS”), an on-line library available to subscribers and DTC member banks and brokers. The redemption notice indicated that Fifth Third would be redeeming the TruPS for about $25 per share. At the time, the securities were trading on the New York Stock Exchange for about $26.50 per share. After certain investors learned that the TruPS would be redeemed at a discount to the prevailing market price, they began selling the securities to buyers who were unaware of the redemption. The SEC’s Order finds that Fifth Third publicly disclosed the redemption only after it learned of the impact that its selective disclosure had on the market.

Based on the above, the Order requires Fifth Third to cease and desist from committing or causing any violations and any future violations of Section 13(a) of the Exchange Act, 15 U.S.C.  78m(a), and Regulation FD, 17 C.F.R.  243.100, et seq.

In accepting Fifth Third’s offer of settlement, the Commission considered the cooperation afforded the Commission staff and remedial acts promptly and voluntarily undertaken by Fifth Third. Fifth Third has offered to compensate investors harmed by the timing of its disclosure. Fifth Third has also adopted additional policies and procedures relating to the redemption of securities.

Beth Collier Groves, Paul Gunson and Jonathan Jacobs conducted the SEC’s investigation in this matter. (Rel. 34-65808; File No. 3-14639)

SEC Charges Illinois-Based Hedge Fund Adviser and Its Owner For Fraudulent Conduct

The Securities and Exchange Commission today announced that on November 18, it filed a civil injunctive action against Patrick G. Rooney (“Rooney”), a resident of Oakbrook, Illinois, and his company, Solaris Management, LLC (“Solaris Management”), the investment adviser to the Solaris Opportunity Fund, LP (“Solaris Fund”) for the fraudulent misuse of the Solaris Fund’s assets and other illegal conduct.

According to the SEC’s complaint, the Solaris Fund is purportedly a non-directional hedge fund with approximately 30 investors and reported assets of $16,277,780 as of December 2008. Contrary to the Solaris Fund’s offering documents and marketing materials, Rooney and Solaris Management allegedly made a radical change in the Solaris Fund’s investment strategy by becoming wholly invested in Positron Corp. (“Positron”), a financially troubled microcap company of which Rooney has been Chairman since 2004. Rooney, who has received compensation from Positron since September 2005, allegedly misused the Solaris Fund’s money by investing over $3.6 million in Positron through both private transactions and market purchases. Many of the private transactions were undocumented while other investments were loans to Positron at 0% interest. The complaint alleges that Rooney and Solaris Management hid the Positron investments and Rooney’s relationship with the company from the Solaris Fund’s investors for over four years. Although Rooney finally told investors about the Positron investments in a March 2009 newsletter, he allegedly lied by telling them he became Chairman to safeguard the Solaris Funds’ investment. The complaint further alleges that these investments benefited Positron and Rooney while providing the Solaris Fund with a concentrated, undiversified, and illiquid position in a cash-poor company with a lengthy track record of losses.

The SEC’s complaint, filed in the United States District Court for the Northern District of Illinois, charges Rooney and Solaris Management with violating Section 17(a) of the Securities Act of 1933, Sections 10(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5 and thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (“Advisers Act”) and Rule 206(4)-8(a)(1) and (a)(2) thereunder. The complaint also charges Rooney with aiding and abetting Solaris Management’s violations of Section 206(4) of the Advisers Act and Rule 206(4)-8(a)(1) thereunder, and Rooney and Solaris Management with aiding and abetting the Solaris Fund’s violation of Section 10(b) of the Exchange Act and Rule 10b-5(b) thereunder, and Section 13(d)(1) of the Exchange Act and Rule 13d-1 thereunder.

The SEC is seeking permanent injunctions, disgorgement of any ill-gotten gains plus prejudgment interest and civil monetary penalties against Rooney and Solaris Management, and an officer and director bar against Rooney. [SEC v. Patrick G. Rooney and Solaris Management, LLC, Case No. 1:11-cv-08264 (N.D. IL)] (LR-22167)

Investment company act releases

Genesis Capital, LLC and Northern Lights Fund Trust

A notice has been issued giving interested persons until December 16, 2011 to request a hearing on an application filed by Genesis Capital, LLC and Northern Lights Fund Trust for an order exempting them from Section 15(a) of the Investment Company Act of 1940 (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-29867 - November 21)

Citadel LLC and CEIF LLC

An order has been issued on an application filed by Citadel LLC (Citadel) and CEIF LLC to exempt certain limited liability companies, limited partnerships, companies and other investment vehicles formed for the benefit of eligible employees of Citadel and its affiliates (ESC Funds) from certain provisions of the Investment Company Act of 1940 (Act). Each ESC Fund will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-29869 - November 22)

Self-regulatory organizations

Accelerated Approval of Proposed Rule Change

The National Stock Exchange, Inc. filed, and the Commission approved on an accelerated basis, a proposed rule change (SR-NSX-2011-012) pursuant to Section 19(b)(1) of the Exchange Act to amend NSX rules to conform with Section 957 of the Dodd-Frank Act prohibiting members voting uninstructed shares on certain matters. Publication is expected in the Federal Register during the week of November 14. (Rel. 34-65804)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NYSE Amex LLC to increase from 20 to 30 the number of Short Term Options Series that may be opened for each option class that participates in the Exchange’s Short Term Option Series Program (SR-NYSEAmex-2011-89) 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. 34-65805)

A proposed rule change filed by NYSE Arca, Inc. to increase from 20 to 30 the number of Short Term Options Series that may be opened for each option class that participates in the Exchange’s Short Term Option Series Program (SR-NYSEArca-2011-88) 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. 34-65806)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-3ASR  MFA FINANCIAL, INC., 350 PARK AVENUE, 21ST FL, NEW YORK, NY, 10022, 
        2122076400 - 1,185,865 ($7,909,719.55) Equity, (File 333-178096 - 
        Nov. 22) (BR. 08B)

S-3ASR  BUCKEYE PARTNERS, L.P., ONE GREENWAY PLAZA, SUITE 600, HOUSTON, TX, 
        77046, 8326158600 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-178097 - Nov. 22) (BR. 04B)

S-4     Whitestone REIT, 2600 SOUTH GESSNER, SUITE 500, HOUSTON, TX, 77063, 
        713-827-9595 - 1,321,431 ($15,698,600.28) Equity, (File 333-178098 - 
        Nov. 22) (BR. 08C)

S-1     iLOAN INC, 616 CORPORATE WAY, SUITE 2-3523, VALLEY COTTAGE, NY, 10989, 
        866 365 8141 - 1,000,000 ($100,000.00) Equity, (File 333-178099 - 
        Nov. 22) (BR. )

S-8     SPREADTRUM COMMUNICATIONS INC, 810 E ARQUES AVE, SUNNYVALE, CA, 94085, 
        4087358126 - 2,700,000 ($22,653,000.00) Equity, (File 333-178100 - 
        Nov. 22) (BR. 10C)

S-3ASR  VECTREN CORP, ONE VECTREN SQUARE, EVANSVILLE, IN, 47708, 8124914000 - 
        738,709 ($21,200,949.00) Equity, (File 333-178101 - Nov. 22) (BR. 02B)

S-4     IMMUCOR INC, 3130 GATWAY, PO BOX 5625, NORCROSS, GA, 30091, 
        770 441 2051 - 0 ($400,000,000.00) Equity, (File 333-178102 - Nov. 22) 
        (BR. 01A)

S-8     Madison Bancorp Inc, 8615 RIDGELYS CHOICE DRIVE, SUITE 111, BALTIMORE, 
        MD, 21236, 410-529-7400 - 0 ($640,337.40) Equity, (File 333-178109 - 
        Nov. 22) (BR. 07B)

S-3ASR  EMERSON ELECTRIC CO, 8000 W FLORISSANT AVE, P O BOX 4100, ST LOUIS, MO, 
        63136, 3145532000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-178110 - Nov. 22) (BR. 10B)

S-8     Amarantus BioSciences, Inc., 675 ALMANOR AVE., SUNNYVALE, CA, 94085, 
        (408) 737-2734 - 3,797,500 ($613,296.25) Equity, (File 333-178113 - 
        Nov. 22) (BR. 01A)

S-8     WORLDS INC, 11 ROYAL ROAD, BROOKLINE, MA, 02445, 617-725-8900 - 
        178,571 ($25,000.00) Equity, (File 333-178114 - Nov. 22) (BR. 03C)

S-8     SONY CORP, 7-1, KONAN, 1-CHOME, MINATO-KU, TOKYO, M0, 108-0075, 
        0367482180 - 2,537,500 ($49,629,708.00) Equity, (File 333-178115 - 
        Nov. 22) (BR. 11A)

S-8     INSIGNIA SYSTEMS INC/MN, 8799 BROOKLYN BLVD., MINNEAPOLIS, MN, 55445, 
        7633926200 - 300,000 ($657,000.00) Equity, (File 333-178116 - Nov. 22) 
        (BR. 11C)

S-3ASR  BioMed Realty Trust Inc, 17190 BERNARDO CENTER DRIVE, SAN DIEGO, CA, 
        92128, 858-485-9840 - 0 ($1.00) Equity, (File 333-178117 - Nov. 22) 
        (BR. 08C)

S-3ASR  HOST HOTELS & RESORTS, INC., 6903 ROCKLEDGE DR, SUITE 1500, BETHESDA, 
        MD, 20817, 240-744-1000 - 0 ($1.01) Equity, (File 333-178118 - Nov. 22) 
        (BR. 08B)

S-3ASR  CAMPBELL SOUP CO, CAMPBELL PL, CAMDEN, NJ, 08103, 8563424800 - 
        0 ($0.00) Non-Convertible Debt, (File 333-178119 - Nov. 22) (BR. 04B)

S-3ASR  AIR PRODUCTS & CHEMICALS INC /DE/, 7201 HAMILTON BLVD, ALLENTOWN, PA, 
        18195-1501, 6104814911 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-178120 - Nov. 22) (BR. 06C)

S-3ASR  BERKLEY W R CORP, 475 STEAMBOAT ROAD, ., GREENWICH, CT, 06830, 
        2036293000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-178121 - Nov. 22) (BR. 01A)

S-3ASR  PSEG POWER LLC, 80 PARK PLAZA T-6, `, NEWARK, NJ, 07111, 9734307000 - 
        0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-178123 - Nov. 22) (BR. 02B)

S-3ASR  IDACORP INC, 1221 WEST IDAHO STREET, BOISE, ID, 83702-5627, 
        2083882200 - 999,494 ($1.00) Equity, (File 333-178124 - Nov. 22) 
        (BR. 02B)

S-4     DELUXE CORP, 3680 VICTORIA STREET NORTH, SHOREVIEW, MN, 55126, 
        6514837111 - 0 ($200,000,000.00) Non-Convertible Debt, 
        (File 333-178125 - Nov. 22) (BR. 05A)

S-3     FIELDPOINT PETROLEUM CORP, 1703 EDELWEISS DRIVE, STE 301, CEDAR PARK, 
        TX, 78613, 5122508692 - 20,000,000 ($20,000,000.00) Equity, 
        (File 333-178126 - Nov. 22) (BR. 04A)

S-8     WAVE SYSTEMS CORP, 480 PLEASANT ST, LEE, MA, 01238, 4132431600 - 
        0 ($11,700,000.00) Equity, (File 333-178128 - Nov. 22) (BR. 03A)

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

3D SYSTEMS CORP                         DE       1.01,2.03,3.02,9.01  11/21/11

AASTROM BIOSCIENCES INC                 MI       1.01,9.01            11/16/11

ACCO BRANDS CORP                        DE       1.01,8.01,9.01       11/17/11

ACORN ENERGY, INC.                      DE       5.02                 11/16/11

ADA-ES INC                              CO       1.01,1.02,9.01       11/21/11

Adelphia Recovery Trust                 DE       3.03,5.03,9.01       11/21/11

Affinia Group Intermediate Holdings I   DE       5.02                 11/16/11

AGILENT TECHNOLOGIES INC                DE       5.02,9.01            11/17/11

AIR LEASE CORP                          DE       5.02,5.05,9.01       11/17/11

AIR METHODS CORP                        DE       4.02,7.01,9.01       11/18/11

AIR PRODUCTS & CHEMICALS INC /DE/       DE       5.02                 11/16/11    AMEND

Alliance Holdings GP, L.P.              DE       7.01,9.01            11/22/11

ALLIANCE RESOURCE PARTNERS LP           DE       7.01,9.01            11/22/11

ALLIANT TECHSYSTEMS INC                 DE       8.01                 11/22/11

American Sands Energy Corp.             DE       5.03,9.01            11/21/11

AMERICAN WOODMARK CORP                  VA       2.02,9.01            11/22/11

AMERIGROUP CORP                                  8.01                 11/18/11

AMSURG CORP                             TN       7.01,9.01            11/22/11

AMYRIS, INC.                            DE       1.01,2.03            11/16/11

ANHUI TAIYANG POULTRY CO INC            DE       2.02,9.01            11/22/11

ARBITRON INC                            DE       1.01,2.03,5.03,9.01  11/16/11

ARDEN GROUP INC                         DE       1.01,2.03,9.01       11/21/11

ARRIS GROUP INC                         DE       2.01,9.01            11/21/11

Ascent Solar Technologies, Inc.         DE       8.01                 11/21/11

ASTRO MED INC /NEW/                     RI       2.02,9.01            11/22/11

ATHENA SILVER CORP                      CA       7.01,9.01            11/18/11    AMEND

ATLANTIC AMERICAN CORP                  GA       7.01,9.01            11/21/11

Atlas Capital Holdings, Inc.            NV       1.01,2.03,5.03,9.01  11/22/11

AURA SYSTEMS INC                        DE       5.02                 11/22/11

AURI INC                                DE       1.01,9.01            11/17/11

AVNET INC                               NY       1.01,1.02,2.03,8.01, 11/18/11
                                                 9.01
          
Bacterin International Holdings, Inc.   DE       7.01,9.01            11/22/11

BANK OF HAWAII CORP                     DE       5.02                 11/18/11

BAR HARBOR BANKSHARES                   ME       8.01                 11/22/11

BB&T CORP                               NC       8.01,9.01            11/18/11

BEACON POWER CORP                       DE       7.01,9.01            11/19/11

BEAZER HOMES USA INC                    DE       5.02,9.01            11/16/11

BigBand Networks, Inc.                  DE       3.01,3.03,5.01,5.02, 11/21/11 
                                                 5.03,9.01
     
Bio-Solutions Corp.                     NV       1.01,2.01,9.01       09/26/11

BIOMEDICAL TECHNOLOGY SOLUTIONS HOLDI   CO       4.01,9.01            10/13/11

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            11/22/11

Bitzio, Inc.                            NV       5.02                 11/21/11

Blue Earth, Inc.                        NV       9.01                 09/07/11    AMEND

BLUESKY SYSTEMS CORP                             3.02,5.02            11/16/11

BOOKS A MILLION INC                     DE       2.02,9.01            11/22/11

CACI INTERNATIONAL INC /DE/             DE       1.01,5.07,9.01       11/17/11

CAMBIUM LEARNING GROUP, INC.                     5.02,8.01,9.01       11/16/11

CAMPBELL SOUP CO                        NJ       2.02,9.01            11/22/11

CANO PETROLEUM, INC                              2.02,7.01,9.01       11/22/11

CAPELLA EDUCATION CO                             5.02                 11/16/11

CAPSTONE TURBINE Corp                   DE       1.01,9.01            11/21/11

Carey Watermark Investors Inc                    9.01                 09/06/11    AMEND

Cell-nique Corp                         DE       4.02                 11/22/11

Cereplast Inc                           NV       5.07                 11/21/11

CHESAPEAKE UTILITIES CORP               DE       8.01                 11/18/11

CHICOS FAS INC                          FL       2.02,8.01,9.01       11/22/11

CIGNA CORP                              DE       8.01,9.01            11/16/11

Citi Trends Inc                                  2.02,9.01            11/22/11

Clearfield, Inc.                        MN       5.02                 11/17/11

Coleman Cable, Inc.                     DE       9.01                 05/16/11    AMEND

Complete Production Services, Inc.      DE       8.01,9.01            11/22/11

CONTINENTAL MATERIALS CORP              DE       2.02,9.01            11/21/11

Coronus Solar Inc.                      A1       7.01,9.01            11/22/11

CORPORATE BOND BACKED CERT TR SER 199   DE       8.01,9.01            11/15/11

COVENTRY HEALTH CARE INC                DE       5.05,9.01            11/22/11

Covidien plc                                     5.02                 11/16/11

CRACKER BARREL OLD COUNTRY STORE, INC   TN       2.02,7.01,9.01       11/22/11

CROSSTEX ENERGY INC                     DE       7.01,9.01            11/21/11

CROSSTEX ENERGY LP                      DE       7.01,9.01            11/21/11

CUMBERLAND PHARMACEUTICALS INC                   1.01,1.02,9.01       11/15/11

DAKTRONICS INC /SD/                     SD       2.02,9.01            11/22/11

dELiAs, Inc.                            DE       2.02,9.01            11/22/11

DELTA NATURAL GAS CO INC                KY       5.07,8.01            11/18/11

DELTA PETROLEUM CORP/CO                 CO       5.02                 11/21/11

DELUXE CORP                             MN       8.01,9.01            11/22/11

DELUXE CORP                             MN       8.01,9.01            11/22/11

DELUXE CORP                             MN       8.01,9.01            11/22/11

DELUXE CORP                             MN       8.01,9.01            11/22/11

DEVRY INC                               DE       5.02                 11/22/11

DGSE COMPANIES INC                      NV       5.02,9.01            11/17/11

Discover Card Execution Note Trust      DE       8.01                 11/22/11

DOLLAR TREE INC                         VA       1.01,7.01,9.01       11/21/11

Domark International Inc.               NV       4.02                 11/21/11

Domark International Inc.               NV       8.01                 11/16/11    AMEND

DONALDSON CO INC                        DE       5.07                 11/18/11

DOW CHEMICAL CO /DE/                    DE       8.01,9.01            11/22/11

DRAYTON RICHDALE CORP                   NV       5.02                 11/22/11

DSW Inc.                                OH       2.02,9.01            11/22/11

DUKE REALTY CORP                        IN       1.01,1.02,2.03,9.01  11/18/11

DUKE REALTY LIMITED PARTNERSHIP/        IN       1.01,1.02,2.03,9.01  11/18/11

DUPONT E I DE NEMOURS & CO              DE       5.02,9.01            11/17/11

DYCOM INDUSTRIES INC                    FL       2.02,7.01,9.01       11/21/11

DYNEGY INC.                             DE       1.02,3.03            11/17/11

EAGLE ROCK ENERGY PARTNERS L P          DE       5.02                 11/22/11

EARTHSTONE ENERGY INC                   DE       2.01,7.01,9.01       11/18/11

EATON VANCE CORP                        MD       2.02,9.01            10/31/11

EL PASO ELECTRIC CO /TX/                TX       8.01                 11/21/11

EMMIS COMMUNICATIONS CORP               IN       8.01                 11/22/11

ENER1 INC                               FL       1.01,2.03,9.01       11/16/11

EnviroStar, Inc.                        DE       1.01,2.03,9.01       11/16/11

ESPEY MFG & ELECTRONICS CORP            NY       5.07,8.01,9.01       11/21/11

Expedia, Inc.                                    8.01,9.01            11/21/11

Federal Home Loan Bank of Atlanta       X1       2.03                 11/16/11

Federal Home Loan Bank of Boston        X1       2.03                 11/16/11

Federal Home Loan Bank of Chicago       X1       2.03                 11/16/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            11/16/11

Federal Home Loan Bank of Dallas                 5.02                 11/17/11

Federal Home Loan Bank of Dallas                 2.03,9.01            11/16/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            11/18/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            11/22/11

Federal Home Loan Bank of Indianapoli   X1       1.01,9.01            11/21/11

Federal Home Loan Bank of New York      X1       2.03,9.01            11/16/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            11/16/11

Federal Home Loan Bank of San Francis   X1       2.03                 11/16/11

Federal Home Loan Bank of Seattle                2.03                 11/16/11

Federal Home Loan Bank of Seattle                5.02,9.01            11/17/11

Federal Home Loan Bank of Topeka                 2.03,9.01            11/16/11

FIFTH THIRD BANCORP                     OH       8.01,9.01            11/22/11

Financial Engines, Inc.                 DE       5.02,8.01,9.01       11/18/11

FIRST BANCORP /NC/                      NC       8.01,9.01            11/22/11

First Connecticut Bancorp, Inc.         MD       8.01,9.01            11/22/11

FIRST MIDWEST BANCORP INC               DE       8.01,9.01            11/22/11

FIRST NATIONAL COMMUNITY BANCORP INC    PA       5.02,9.01            11/21/11

First Savings Financial Group Inc       IN       2.02,9.01            11/18/11

FMC CORP                                DE       1.01,2.03,8.01,9.01  11/17/11

FMC CORP                                DE       7.01,9.01            11/22/11

FNB BANCORP/CA/                                  8.01,9.01            11/18/11

FREDS INC                               TN       2.02,9.01            11/22/11

FriendFinder Networks Inc.              NV       5.02,9.01            11/18/11

Fuelstream INC                          DE       5.03,9.01            11/20/11

FUSION-IO, INC.                         DE       5.07                 11/18/11

GALECTIN THERAPEUTICS INC               NV       8.01                 11/18/11

GENESCO INC                             TN       2.02,9.01            11/22/11

GeoMet, Inc.                            DE       1.01,2.01,2.03,7.01, 11/18/11 
                                                 9.01
          
GLOBAL AXCESS CORP                      NV       1.01,7.01,9.01       11/16/11

Global Clean Energy Holdings, Inc.      DE       5.02                 11/16/11

Global Pharm Holdings Group, Inc.       DE       2.02,9.01            11/21/11

GLOBALSCAPE INC                         DE       8.01                 11/22/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 11/22/11

Green Planet Bio Engineering Co. Ltd.            4.01,9.01            11/18/11

Guanwei Recycling Corp.                 NV       5.07                 11/18/11

GULF RESOURCES, INC.                    DE       8.01,9.01            11/22/11

GYMBOREE CORP                           DE       2.02,9.01            11/22/11

HARLEYSVILLE GROUP INC                  DE       8.01                 11/08/11

HARMONIC ENERGY, INC.                   NV       5.01                 11/16/11

HENRY JACK & ASSOCIATES INC             DE       5.07                 11/17/11

HERTZ GLOBAL HOLDINGS INC                        5.05,9.01            11/17/11

HITOR GROUP, IN.                        NV       4.02                 10/20/11    AMEND

HKN, Inc.                               DE       2.01,9.01            11/17/11

HORMEL FOODS CORP /DE/                  DE       2.02,9.01            11/22/11

Hybred International, Inc.              CO       3.02,3.03,5.03       11/22/11

Industrial Income Trust Inc.            MD       1.01                 11/16/11

INNERWORKINGS INC                                5.02,9.01            11/17/11

INSIGNIA SYSTEMS INC/MN                 MN       8.01                 11/22/11

INX Inc                                 DE       8.01,9.01            11/01/11

Jintai Mining Group, Inc.               DE       5.02                 11/21/11

JOHNSON & JOHNSON                       NJ       5.02                 11/22/11

KANSAS CITY SOUTHERN                    DE       5.04,9.01            11/22/11

KRANEM CORP                             CO       1.01,3.02,3.03,5.01, 11/22/11 
                                                 9.01
          
L 3 COMMUNICATIONS HOLDINGS INC         DE       2.03,8.01,9.01       11/17/11

LANCASTER COLONY CORP                   OH       5.07,8.01,9.01       11/21/11

LANTRONIX INC                           DE       5.07                 11/16/11    AMEND

LEAF Equipment Finance Fund 4, L.P.     DE       5.02                 11/16/11

LEAF Equipment Leasing Income Fund II   DE       5.02                 11/16/11

LEASE EQUITY APPRECIATION FUND I LP     DE       5.02                 11/16/11

Lease Equity Appreciation Fund II, L.   DE       5.02                 11/16/11

LEHMAN ABS CORP AT&T NOTE BACKED SERI   DE       8.01,9.01            11/15/11

LEHMAN ABS CORP BCKD TR CRTS FRD MOT    DE       8.01,9.01            11/21/11

LEHMAN ABS CORP CNA FINANCIAL DEBENTU   DE       8.01,9.01            11/15/11

LEHMAN ABS CORP SPRINT CAPITAL BACK S   DE       8.01,9.01            11/15/11

LEHMAN BROTHERS HOLDINGS INC            DE       7.01,9.01            11/22/11

LEXICON PHARMACEUTICALS, INC./DE        DE       8.01,9.01            11/22/11

Liberty Global, Inc.                    DE       7.01                 11/21/11

LNB BANCORP INC                         OH       7.01,9.01            11/22/11

Lone Pine Resources Inc.                DE       5.02,7.01,9.01       11/17/11

LRR Energy, L.P.                        DE       1.01,2.01,2.03,3.02, 11/16/11
                                                 5.03,9.01
     
LTV CORP                                DE       8.01,9.01            11/17/11

LTX-CREDENCE CORP                       MA       2.02,9.01            11/22/11

LYRIS, INC.                                      1.01,8.01,9.01       11/21/11

Main Street Capital CORP                MD       1.01,2.03,8.01,9.01  11/21/11

MANNKIND CORP                           DE       8.01                 11/17/11

Marriott Vacations Worldwide Corp       DE       1.01,2.01,3.03,5.01, 11/17/11
                                                 5.02,5.03,9.01

MEADWESTVACO Corp                       DE       1.01,8.01,9.01       11/17/11

MEDCATH CORP                            DE       8.01                 11/22/11

MEDTRONIC INC                           MN       2.02,9.01            11/22/11

Medytox Solutions, Inc.                 NV       4.01                 11/22/11    AMEND

MEMC ELECTRONIC MATERIALS INC           DE       5.04,9.01            11/22/11

MERIDIAN INTERSTATE BANCORP INC                  8.01,9.01            11/16/11

Merriman Holdings, Inc                  DE       3.02                 11/16/11

MGT CAPITAL INVESTMENTS INC             DE       8.01                 11/21/11

MIDAMERICAN ENERGY CO                   IA       8.01                 11/22/11

MONEYGRAM INTERNATIONAL INC                      1.01,2.03,9.01       11/21/11

MOSAIC CO                                        8.01                 11/17/11

MOUNTAIN NATIONAL BANCSHARES INC        TN       1.01,9.01            11/16/11

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       7.01,9.01            11/22/11

NETFLIX INC                             DE       1.01,9.01            11/21/11

NETLIST INC                             DE       1.01,9.01            11/21/11

NETLOGIC MICROSYSTEMS INC               DE       5.07,8.01,9.01       11/22/11

NEW CENTURY BANCORP INC                 NC       1.01,9.01            11/16/11

NEWS CORP                                        8.01,9.01            11/21/11

NEWTEK BUSINESS SERVICES, INC.          NY       8.01,9.01            11/21/11

NORTHRIM BANCORP INC                    AK       5.02,9.01            11/17/11

Northumberland Resources, Inc.          NV       4.02,9.01            11/21/11

NTS MORTGAGE INCOME FUND                DE       1.01,9.01            11/18/11

Nuance Communications, Inc.             DE       2.02,9.01            11/22/11

NUGEN HOLDINGS, INC.                    DE       1.01,9.01            11/14/11

O REILLY AUTOMOTIVE INC                          8.01                 11/21/11

OBA Financial Services, Inc.            MD       5.07,9.01            11/17/11

OCEANEERING INTERNATIONAL INC           DE       1.01,9.01            11/22/11

Onstream Media CORP                     FL       2.02,7.01,9.01       11/22/11

Oritani Financial Corp                  DE       5.07,9.01            11/22/11

OYO GEOSPACE CORP                       DE       8.01,9.01            11/22/11

Pandora Media, Inc.                     DE       2.02,9.01            11/22/11

PAR PHARMACEUTICAL COMPANIES, INC.      DE       5.02,9.01            11/22/11

PARK NATIONAL CORP /OH/                 OH       8.01                 11/22/11

PARTNERRE LTD                                    8.01,9.01            11/18/11

PATAPSCO BANCORP INC                    MD       5.07                 11/17/11

PAXTON ENERGY INC                       NV       1.01,2.03,3.02       11/14/11

PAXTON ENERGY INC                       NV       9.01                 11/14/11    AMEND

PDF SOLUTIONS INC                       DE       5.02,9.01            11/16/11

Pegasi Energy Resources Corporation.    NV       1.01,3.02,9.01       11/21/11

PEREGRINE PHARMACEUTICALS INC           DE       8.01,9.01            11/22/11

PG&E CORP                               CA       8.01,9.01            11/22/11

Piedmont Office Realty Trust, Inc.      MD       1.02                 11/17/11

PLAINS EXPLORATION & PRODUCTION CO      DE       1.01,2.03,7.01,9.01  11/16/11

PLURISTEM THERAPEUTICS INC              NV       7.01,9.01            11/22/11

PMI GROUP INC                           DE       8.01                 11/22/11

PNM RESOURCES INC                       NM       5.02                 11/18/11

Polonia Bancorp                                  2.02,4.02            11/16/11

PONIARD PHARMACEUTICALS, INC.           WA       5.03,5.07,8.01,9.01  11/21/11

POOL CORP                               DE       8.01,9.01            11/22/11

PostRock Energy Corp                    DE       5.02                 11/17/11

Powder River Coal Corp.                 FL       3.02                 11/22/11

POWER EFFICIENCY CORP                   DE       8.01,9.01            11/22/11

PRESIDENTIAL LIFE CORP                  DE       5.02,9.01            11/22/11    AMEND

Profit Planners Management, Inc.        NV       1.01,5.02,9.01       11/18/11

PROTEONOMIX, INC.                       DE       8.01                 11/22/11

PUGET SOUND ENERGY INC                  WA       8.01,9.01            11/17/11

QAD INC                                 DE       2.02,9.01            11/22/11

QCR HOLDINGS INC                        DE       8.01,9.01            11/21/11

Quad/Graphics, Inc.                     WI       5.02                 11/18/11

RadNet, Inc.                            DE       1.01,2.03,9.01       11/21/11

RAVEN INDUSTRIES INC                    SD       2.02,9.01            11/22/11

RAYMOND JAMES FINANCIAL INC             FL       7.01,9.01            11/22/11

RED MOUNTAIN RESOURCES, INC.            FL       1.01,2.03            11/16/11

REDDY ICE HOLDINGS INC                  DE       8.01,9.01            11/21/11

REGENERON PHARMACEUTICALS INC           NY       5.02,9.01            11/22/11

REGENERON PHARMACEUTICALS INC           NY       8.01,9.01            11/22/11    AMEND

REMEC LIQUIDATING TRUST                 CA       8.01                 11/17/11

RESMED INC                              DE       5.02,5.03,5.07,9.01  11/16/11

RESOURCE AMERICA, INC.                  DE       8.01                 11/16/11

Resource Capital Corp.                  MD       8.01                 11/16/11

Revett Minerals Inc.                    A6       8.01,9.01            11/21/11

RICKS CABARET INTERNATIONAL INC         TX       1.01,9.01            11/17/11

Riverview Financial Corp                PA       8.01,9.01            11/16/11

ROCKWELL MEDICAL TECHNOLOGIES INC       MI       5.02,9.01            11/17/11

Santos Resource Corp.                   NV       5.02                 11/16/11

SCHOOL SPECIALTY INC                    WI       2.02,9.01            11/22/11

Seagate Technology plc                  L2       7.01,9.01            11/21/11

SHARPS COMPLIANCE CORP                  DE       5.02,5.07,9.01       11/21/11

SIGNET JEWELERS LTD                              2.02                 11/22/11

SILVERSTAR MINING CORP.                 NV       4.01                 10/24/11    AMEND

Sino Clean Energy Inc                   NV       5.07                 11/18/11

SMTP, Inc.                              DE       1.01,9.01            11/22/11

SOUTHERN MICHIGAN BANCORP INC           MI       7.01,9.01            11/22/11

SOUTHWEST IOWA RENEWABLE ENERGY, LLC    IA       8.01,9.01            11/22/11

Spansion Inc.                           DE       3.02                 11/22/11

SPIRE Corp                              MA       1.01,9.01            11/22/11

SS&C Technologies Holdings Inc          DE       8.01,9.01            11/18/11

STANLEY BLACK & DECKER, INC.            CT       1.01,2.03,9.01       11/17/11

SUPERTEX INC                            CA       4.01,9.01            11/22/11

SWIFT ENERGY CO                                  1.01,9.01            11/22/11

SWS GROUP INC                           DE       5.02,5.07,9.01       11/17/11

TECHNICAL COMMUNICATIONS CORP           MA       2.02,5.02,8.01,9.01  11/17/11

TENET HEALTHCARE CORP                   NV       1.01,2.03,8.01,9.01  11/21/11

TESSCO TECHNOLOGIES INC                 DE       8.01,9.01            11/22/11

Texas Roadhouse, Inc.                   DE       5.02,8.01,9.01       11/17/11

TherapeuticsMD, Inc.                    UT       1.01,2.01,3.02,5.01, 10/04/11    AMEND 
                                                 5.02,9.01
     
Thermon Group Holdings, Inc.            DE       8.01                 11/16/11

TIDEWATER INC                           DE       8.01,9.01            11/16/11

TIDEWATER INC                           DE       8.01,9.01            11/21/11

TIVO INC                                DE       2.02,9.01            11/22/11

TIVO INC                                DE       8.01                 11/22/11

TRAILER BRIDGE INC                               1.01,2.02,9.01       11/18/11

TRANSATLANTIC HOLDINGS INC              DE       1.01,3.03,8.01,9.01  11/20/11

Travelport LTD                          D0       8.01                 11/21/11

TRIO TECH INTERNATIONAL                 CA       1.01,2.03            11/16/11

Tropicana Entertainment Inc.            DE       5.02                 11/16/11

TurkPower Corp                          DE       1.01,5.02            11/15/11

TWO RIVERS WATER Co                     CO       7.01                 11/22/11

UNIT CORP                               DE       1.01,9.01            11/21/11

UNITED SECURITY BANCSHARES INC          DE       5.02                 11/17/11

US AIRWAYS GROUP INC                    DE       5.02,9.01            11/22/11

VALSPAR CORP                            DE       2.02,9.01            11/22/11

VERISIGN INC/CA                         DE       7.01,9.01            11/22/11

VICTORY EAGLE RESOURCES CORP.           NV       5.02                 11/21/11

WACCAMAW BANKSHARES INC                 NC       3.01,9.01            11/21/11

WFRBS Commercial Mortgage Trust 2011-   NC       8.01,9.01            11/22/11

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       5.02                 11/16/11

WHITE SMILE GLOBAL, INC.                NV       1.01,9.01            11/10/11

WILLIAMS COMPANIES INC                  DE       8.01,9.01            11/21/11

WINDSTREAM CORP                         DE       1.01,2.03,8.01,9.01  11/22/11

WORLD FUEL SERVICES CORP                FL       7.01,9.01            11/22/11

YORK WATER CO                           PA       8.01                 11/22/11

 

http://www.sec.gov/news/digest/2011/dig112311.htm


Modified: 11/23/2011