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COMMISSION ANNOUNCEMENTSSean McKessy Named Head of Whistleblower OfficeThe Securities and Exchange Commission today announced that Sean McKessy will oversee the new Whistleblower Office in the Division of Enforcement. The Office will consolidate existing resources to administer the whistleblower provisions called for by The Dodd-Frank Wall Street Reform and Consumer Protection Act. In that role, McKessy will lead a program charged with working with whistleblowers, handling their tips and complaints, and helping the Commission determine the awards for individuals who provide the agency with information that leads to successful enforcement actions. Mr. McKessy rejoins the SEC, where he was a Senior Counsel in the Division of Enforcement from 1997 to 2000. More recently, McKessy served as corporate secretary for both Altria Group, Inc. and AOL Inc., and as securities counsel for Caterpillar, Inc. In these roles, McKessy developed and supervised internal compliance and reporting programs related to the federal securities laws, served as corporate compliance officer, and coordinated the reporting of potential violations to boards of directors. "Sean is uniquely positioned to oversee the Commission’s whistleblower program,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. "The Enforcement Division and whistleblowers alike will greatly benefit from Sean’s first-hand experience in bringing enforcement cases, handling whistleblower complaints and understanding the workings of internal corporate compliance programs.” “I am excited to return to public service and rejoin the dedicated staff of the Enforcement Division in this critical role,” said McKessy. "Whistleblowers often provide invaluable information that can help uncover securities fraud and protect investors.” The Dodd-Frank Wall Street Reform and Consumer Protection Act requires the SEC to pay rewards to individuals who voluntarily provide the Commission with original information that leads to successful SEC enforcement actions and certain related actions. The Commission is in the process of developing rules that will guide the whistleblower program. (Press Rel. 2011-47) SEC Executive Director Diego Ruiz to Leave AgencyThe Securities and Exchange Commission announced today that its Executive Director, Diego Tomás Ruiz, intends to leave the agency to return to the private sector. Mr. Ruiz has served as the Commission's executive director since August 2006, and in that capacity has overseen the agency's strategic planning, management policies and procedures, financial management, human resources and employee relations, and contracting and procurement activities. During his tenure he has led the agency’s capital planning, financial management and human capital committees. "Diego has been a steady hand at the Commission over the last several years, and I have greatly valued his commitment and public service,” said SEC Chairman Mary L. Schapiro. “He has provided guidance and counsel through challenging times at the agency and in the financial industry.” Mr. Ruiz added, “It has been a real honor and privilege to serve under Chairman Schapiro’s strong leadership, and in the company of the Commission’s highly motivated and talented staff. The job of safeguarding the nation’s financial markets is a high calling, and I am deeply grateful to the SEC’s dedicated men and women for their tireless efforts, often under extraordinary pressure, on behalf of America’s investors.” Prior to joining the SEC in 2006, Mr. Ruiz served as deputy chief for strategy and policy at the Federal Communications Commission. He previously served for 10 years as a senior executive for Univision Communications Inc., the Spanish-language media and entertainment conglomerate, heading up various television and internet business units. Mr. Ruiz is a graduate of Harvard Business School, where he earned an MBA degree, and the University of Virginia, from which he earned a BA in History and English Literature. (Press Rel. 2011-48) Commission MeetingsClosed Meeting on Thursday, February 24, 2011 at 2:00 p.m.The subject matter of the Closed Meeting scheduled for Thursday, Feb. 24, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400. Enforcement ProceedingsIn the Matter of Joanne KlineOn Feb. 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions (Order) against Joanne Kline (Kline). The Order finds that on February 14, 2011, a judgment was entered against Kline in SEC v. NutraCea, et al. (Civil Action No. CV 11-0092-PHX-SRB) (D. Arizona), permanently enjoining her from future violations of Section 13(b)(5) of the Exchange Act and Rules 13b2-1 and 13b2-2 thereunder, and aiding and abetting violations of Sections 13(a), 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder. The Order further finds that the Commission’s complaint in SEC v. NutraCea, et al. alleged, among other things, that NutraCea, through the misconduct of Kline and others, overstated its sales revenues for the second and third quarters of fiscal year 2007 and its fiscal year 2007 by booking false sales and engaging in improper revenue recognition practices. The complaint alleged that Kline violated the books and records and internal controls provisions of the federal securities laws because she knew that NutraCea improperly accounted for a $2.6 million sale in the second quarter of 2007 and a $1.9 million sale in the fourth quarter of 2007. The complaint further alleged that Kline also signed false management representation letters to NutraCea’s auditors. Based on the above, the Order suspends Kline from appearing or practicing before the Commission as an accountant with a right to apply for reinstatement after one year. Kline consented to the issuance of the Order without admitting or denying any of the findings in the Order, except as to the entry of the order of permanent injunction. (Rel. 34-63928; AAE Rel. 3244; File No. 3-14268) Initial Decision Dismissing Proceedings as to Gerard A.M. Oprins, CPA, is FinalThe Commission has declared final the initial decision of an administrative law judge ordering that administrative proceedings be dismissed as to Gerard A.M. Oprins, CPA. The initial decision found that Gerard A.M. Oprins, a licensed CPA, who had worked at E&Y for 27 years and served as the engagement partner on hundreds of audits, had acted reasonably in his supervision of a 2004 Audit when he reasonably relied upon another highly regarded auditor, Wendy McNeeley, to perform the audit in accordance with professional standards and escalate issues, such as the four cash transfers that totaled approximately $1.92 million to an audit client (collectively, the Transfers). McNeeley never brought the Transfers to Oprins' attention. The initial decision further found that while Oprins violated GAAP by failing to ensure that audit client's financial statements disclosed the purpose and substance behind the Transfers, in accordance with FAS 57; however, because of the professional judgment involved in evaluating financial statement disclosure, as well as interpreting FAS 57, that Oprins' conduct, while unreasonable, did not rise to the level of highly unreasonable conduct, as required under Rule 102(e). (Rel. 34-63931; File No. 3-13797) In the Matter of Neal R. GreenbergOn Feb. 18, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Neal R. Greenberg. The Order finds that on Feb. 10, 2011, a final judgment was entered by consent against Greenberg permanently enjoining him from violations of Sections 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rules 206(4)-2, 206(4)-7, and 206(4)-8 thereunder, in the civil action entitled SEC v. Greenberg, Civil Action No. 1:11-cv-00313-JLK. The Order further finds that the SEC’s complaint in this matter alleged, among other things, that extensive losses were suffered by affiliated hedge funds managed and recommended by Greenberg, including the Agile Safety Fund, the Agile Safety Fund International, and the Agile Safety Variable Fund (collectively the Agile hedge funds). The Agile hedge funds were marketed and managed by affiliated investment advisers Agile Group LLC and Tactical Allocation Services LLC (TAS). The Commission’s complaint alleged that Greenberg negligently misrepresented the safety, suitability, and diversification of the Agile hedge funds to TAS clients, in many cases conservative investors in or near retirement. Based on the above, the Order bars Greenberg from association with any broker, dealer, or investment adviser. Greenberg consented to the issuance of the Order without admitting or denying any of the findings in the Order. (34-63932; IA-3164; File No. 3-14269) SELF-REGULATORY ORGANIZATIONSAccelerated Approval of Proposed Rule ChangesThe Chicago Board Options Exchange filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-CBOE-2011-017) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to amend an Exchange rule relating to giving proxies. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63917) The C2 Options Exchange filed, and the Commission has approved on an accelerated basis, a proposed rule change (SR-C2-2011-005) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt Supplemental Rule (a) to Chapter 4 relating to proxy voting. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63918) Approval of Proposed Rule ChangeThe Commission granted approval of a proposed rule change, as modified by Amendment No. 1 thereto, submitted by NYSE Arca (SR-NYSEArca-2010-116) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to the listing and trading of the WisdomTree Asia Local Debt Fund. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63919) Proposed Rule ChangeThe Chicago Board Options Exchange filed a proposed rule change (SR-CBOE-2011-008) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to permit the listing of $0.50 and $1 strike price increments on certain options used to calculate volatility indexes. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63927) 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-3 Energy Services of America CORP, 2450 FIRST AVENUE, HUNTINGTON, WV,
25703, 304-528-2791 - 3,076,923 ($15,384,165.00) Equity,
(File 333-172314 - Feb. 17) (BR. 06B)
S-8 SANDERSON FARMS INC, 225 N 13TH AVE, PO BOX 988, LAUREL, MS, 39441,
6016494030 - 1,250,000 ($52,500,000.00) Equity, (File 333-172315 -
Feb. 17) (BR. 05C)
S-8 L & L ENERGY, INC., 130 ANDOVER PARK EAST, SUITE 200, SEATTLE, WA,
98188, 2062648065 - 4,200,000 ($33,894,000.00) Equity,
(File 333-172316 - Feb. 17) (BR. 04A)
F-3 YPF SOCIEDAD ANONIMA, AVENIDA PTE R SAENZ 777-8 PISO,
BUENOS AIRES 1364 AR, C1, 5413267265 - 0 ($943,269,317.55) Other,
(File 333-172317 - Feb. 17) (BR. 04A)
S-8 FORMFACTOR INC, 7005 SOUTHFRONT ROAD, LIVERMORE, CA, 94551,
9252433522 - 0 ($30,601,531.00) Equity, (File 333-172318 - Feb. 17)
(BR. 10A)
N-2 CORNERSTONE PROGRESSIVE RETURN FUND, C/O ULTIMUS FUND SOLUTIONS, LLC,
350 JERICHO TURNPIKE, SUITE 206, JERICHO, NY, 11753, (646) 881-4985 -
136,240 ($1,000,002.00) Equity, (File 333-172319 - Feb. 17) (BR. 16)
S-8 CLICKER INC., 18952 MAC ARTHUR BLVD., SUITE 210, IRVINE, CA, 92612,
9494863990 - 10,000,000 ($200,000.00) Equity, (File 333-172320 -
Feb. 17) (BR. 03C)
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
3D SYSTEMS CORP DE 2.02,7.01,9.01 12/31/10
AAA PUBLIC ADJUSTING GROUP, INC. FL 5.02,5.03 02/17/11
AbitibiBowater Inc. DE 1.01,9.01 02/11/11
ACADIA REALTY TRUST MD 7.01,9.01 02/17/11
ACORDA THERAPEUTICS INC 2.02 02/17/11
ADVANCED ENVIRONMENTAL RECYCLING TECH DE 2.03 02/15/11
AGENUS INC DE 2.02,9.01 02/17/11
Air Transport Services Group, Inc. DE 1.01 02/11/11
Akeena Solar, Inc. DE 1.01,2.03 02/15/11
Akeena Solar, Inc. DE 2.02,9.01 02/16/11
Akeena Solar, Inc. DE 1.01,3.02,3.03,9.01 02/17/11
ALASKA AIR GROUP INC DE 7.01,9.01 02/16/11
ALERE INC. DE 2.02,9.01 02/17/11
Allied World Assurance Co Holdings, A 2.02,9.01 02/17/11
ALNYLAM PHARMACEUTICALS, INC. 2.02,9.01 02/17/11
Altisource Portfolio Solutions S.A. N4 2.02,9.01 02/17/11
Ameresco, Inc. DE 2.02 02/17/11
AMERICAN GENERAL FINANCE CORP IN 5.07,8.01,9.01 02/17/11
AMERICAN GENERAL FINANCE INC IN 5.07,8.01,9.01 02/17/11
AMERICAN INDEPENDENCE CORP DE 5.02 02/16/11
AMERICAN PUBLIC EDUCATION INC DE 2.02,9.01 02/17/11
American Renal Holdings Inc. DE 5.02 02/14/11
AMERICAN VANTAGE COMPANIES NV 8.01,9.01 02/11/11
Ameris Bancorp GA 7.01,9.01 02/17/11
ANADIGICS INC DE 2.02,9.01 02/10/11
ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 02/17/11
APAC CUSTOMER SERVICES, INC IL 2.02,9.01 02/17/11
APACHE CORP DE 2.02,9.01 02/17/11
Applied Nanotech Holdings, Inc TX 3.02,5.02,9.01 02/13/11
ARBINET Corp DE 1.01,2.01,8.01,9.01 02/11/11
ARCA biopharma, Inc. DE 5.02 02/11/11
ARGENTEX MINING CORP DE 3.02 02/16/11
Argo Group International Holdings, Lt 2.02,9.01 02/17/11
ARIAD PHARMACEUTICALS INC DE 2.02,7.01,8.01,9.01 02/17/11
ARUBA NETWORKS, INC. DE 2.02,5.02,9.01 02/14/11
ASPIRE INTERNATIONAL, INC. MD 1.01,9.01 02/14/11
ASPIRE INTERNATIONAL, INC. MD 1.01,9.01 02/14/11
ATHENAHEALTH INC DE 2.02,9.01 02/17/11
ATS CORP DE 2.02,9.01 02/17/11
AVI BIOPHARMA INC OR 5.02 02/14/11
AVID TECHNOLOGY, INC. DE 5.02,8.01 02/11/11
AVISTA CORP WA 2.02,9.01 02/17/11
AXA FINANCIAL INC DE 2.02,9.01 02/17/11
B Green Innovations, Inc. NJ 8.01,9.01 02/14/11
BANCORP RHODE ISLAND INC 8.01,9.01 02/17/11
BASIC ENERGY SERVICES INC 2.02,9.01 02/16/11
BAZI INTERNATIONAL, INC. NV 8.01,9.01 02/15/11
Behringer Harvard Opportunity REIT I, MD 1.01,2.03 02/13/11
BGC Partners, Inc. DE 2.02,9.01 02/17/11
Big Sky Productions, Inc. NV 4.01,9.01 02/03/11 AMEND
BIODELIVERY SCIENCES INTERNATIONAL IN DE 8.01,9.01 02/17/11
BIOMARIN PHARMACEUTICAL INC DE 2.02,9.01 02/17/11
BIOVEST INTERNATIONAL INC DE 7.01,9.01 02/17/11
BLUE COAT SYSTEMS INC DE 2.02,9.01 02/17/11
BlueLinx Holdings Inc. DE 2.02,9.01 02/17/11
BORDERS GROUP INC MI 1.01,1.03,2.03,2.04, 02/15/11
2.05,3.01,9.01
BRANDYWINE REALTY TRUST MD 2.02,9.01 02/16/11
BRITTON & KOONTZ CAPITAL CORP MS 8.01,9.01 02/17/11
BROADVIEW INSTITUTE INC MN 2.02,9.01 02/17/11
BROADWAY FINANCIAL CORP \DE\ DE 8.01,9.01 02/16/11
BROCADE COMMUNICATIONS SYSTEMS INC DE 2.02,9.01 02/17/11
BROWN SHOE CO INC NY 1.01,2.01,2.03,7.01, 02/17/11
9.01
BUCKEYE PARTNERS, L.P. DE 2.02,9.01 02/11/11
BUILD A BEAR WORKSHOP INC DE 2.02,9.01 02/17/11
Builders FirstSource, Inc. DE 2.02,9.01 02/17/11
Burger King Holdings Inc DE 1.01,2.03 02/15/11
CABCO SERIES 2004-1 TRUST (GOLDMAN SA 8.01,9.01 02/15/11
CABCO SERIES 2004-101 TRUST (GOLDMAN 8.01,9.01 02/15/11
CABELAS INC DE 2.02,7.01,9.01 02/17/11
CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 02/16/11
CADENCE DESIGN SYSTEMS INC DE 5.02,9.01 02/14/11
CALLON PETROLEUM CO DE 8.01,9.01 02/16/11
CARDIONET INC CA 2.02,9.01 02/17/11
CATALYST LIGHTING GROUP INC DE 1.01,5.03,8.01,9.01 01/24/11
Cavico Corp 1.01,9.01 02/11/11
CB RICHARD ELLIS GROUP INC DE 7.01 02/17/11
CELGENE CORP /DE/ DE 5.02,8.01,9.01 02/16/11
CENTRAL GARDEN & PET CO DE 5.02,5.07 02/11/11
CENTRAL PACIFIC FINANCIAL CORP HI 5.02,9.01 02/16/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 1.01,5.02,9.01 02/14/11
CENTRAL VERMONT PUBLIC SERVICE CORP VT 5.02 02/14/11
CF Industries Holdings, Inc. DE 2.02,9.01 02/17/11
Chelsea Therapeutics International, L DE 8.01,9.01 02/17/11
CHINA AGRITECH INC DE 5.02,9.01 02/10/11
China Carbon Graphite Group, Inc. NV 7.01,9.01 02/16/11
CHINACAST EDUCATION CORP DE 7.01 02/17/11
CIRCOR INTERNATIONAL INC DE 2.02,9.01 02/17/11
CITIGROUP INC DE 9.01 02/16/11
CITIZENS FIRST CORP KY 1.01,9.01 02/16/11
CLAIBORNE LIZ INC DE 2.02,9.01 02/17/11
CleanTech Biofuels, Inc. 1.01,9.01 02/11/11
Clearwire Corp /DE DE 2.02,9.01 02/17/11
CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 02/16/11
COCA COLA CO DE 5.02,9.01 02/16/11
COCA COLA CO DE 5.02,9.01 02/17/11
Colfax CORP DE 1.01,9.01 02/14/11
Comstock Homebuilding Companies, Inc. DE 1.01,2.03,9.01 02/17/11
Conquest Petroleum Inc TX 8.01 02/17/11
CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 02/17/11
CORN PRODUCTS INTERNATIONAL INC DE 2.02,7.01,9.01 02/17/11
Cornerworld Corp NV 1.01 02/03/11
COUSINS PROPERTIES INC GA 5.02,9.01 02/15/11
COWEN GROUP, INC. 1.01,2.02,5.02,8.01, 02/16/11
9.01
CPI INTERNATIONAL, INC. DE 1.02,8.01 02/11/11
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 02/17/11
CRYOLIFE INC FL 2.02,9.01 02/17/11
DATARAM CORP NJ 3.01 02/11/11
DDI CORP CA 2.02,9.01 02/17/11
DEL MONTE FOODS CO DE 7.01,9.01 02/16/11
DELTA AIR LINES INC /DE/ DE 5.02 02/15/11
DEVELOPERS DIVERSIFIED REALTY CORP OH 5.02 02/15/11
DEVON ENERGY CORP/DE DE 5.02,9.01 02/11/11
DICE HOLDINGS, INC. DE 1.01,9.01 02/14/11
DOLLAR TREE INC VA 7.01,9.01 02/16/11
DONEGAL GROUP INC DE 9.01 12/06/10 AMEND
Dorman Products, Inc. PA 5.02,9.01 02/16/11
DOW CHEMICAL CO /DE/ DE 8.01 02/17/11
DPL INC OH 2.02,7.01,8.01,9.01 02/15/11
Dr Pepper Snapple Group, Inc. DE 2.02,9.01 02/17/11
DREW INDUSTRIES INC DE 7.01,9.01 02/15/11
Duke Energy CORP DE 2.02,9.01 02/17/11
Duncan Energy Partners L.P. DE 2.02,9.01 02/16/11
DYNACQ HEALTHCARE INC NV 5.07 02/15/11
DYNAMICS RESEARCH CORP MA 2.02,9.01 02/16/11
DYNEX CAPITAL INC VA 5.02 02/11/11
Eagle Ford Oil & Gas Corp NV 5.02 02/15/11
EASTERN LIGHT CAPITAL, INC. DE 3.01,9.01 02/17/11
EchoStar CORP NV 8.01 02/15/11
ECOLAB INC DE 2.02,2.05,9.01 02/17/11
Emergency Medical Services CORP DE 1.01,9.01 02/13/11
EMERITUS CORP\WA\ WA 1.01,9.01 02/11/11
EMPIRE RESORTS INC DE 8.01 02/17/11
Energy Transfer Equity, L.P. DE 2.02,9.01 02/16/11
ENSIGN GROUP, INC 2.02,7.01,9.01 02/16/11
ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 02/16/11
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 5.02 02/10/11
ENZON PHARMACEUTICALS INC DE 2.02,9.01 02/17/11
EVERGREEN SOLAR INC DE 1.01,2.03,9.01 02/17/11
Fabrinet E9 5.02 02/11/11
Federal Home Loan Bank of Atlanta X1 2.03 02/17/11
Federal Home Loan Bank of Boston X1 2.03 02/14/11
Federal Home Loan Bank of Chicago X1 2.03 02/14/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 02/14/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 02/15/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/17/11
Federal Home Loan Bank of New York X1 2.03,9.01 02/14/11
Federal Home Loan Bank of New York X1 8.01,9.01 02/17/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/14/11
Federal Home Loan Bank of San Francis X1 2.03 02/15/11
Federal Home Loan Bank of Seattle 2.03 02/14/11
Federal Home Loan Bank of Seattle 2.02,9.01 02/17/11
FEI CO OR 5.02 02/16/11
FiberTower CORP DE 7.01,9.01 02/17/11
FIRST CHINA PHARMACEUTICAL GROUP, INC NV 5.02,9.01 02/11/11
FIRST FINANCIAL HOLDINGS INC /DE/ DE 7.01,9.01 02/17/11
FLEETCOR TECHNOLOGIES INC DE 8.01,9.01 02/17/11
FreightCar America, Inc. DE 2.02,9.01 02/17/11
FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 02/16/11
FX ENERGY INC NV 7.01,9.01 02/17/11
Game Trading Technologies, Inc. DE 8.01,9.01 02/15/11
GARTNER INC DE 1.01,9.01 02/14/11
GENTA INC DE/ DE 8.01,9.01 02/17/11
GENTIVA HEALTH SERVICES INC DE 2.02,9.01 02/17/11
GEORGIA GULF CORP /DE/ DE 2.02,7.01,9.01 02/16/11
GLIMCHER REALTY TRUST MD 2.02,9.01 02/16/11
Global Cash Access Holdings, Inc. DE 1.01 02/11/11
Global Indemnity plc L2 2.02,9.01 02/16/11
Global Water Asset Corp 5.02 09/15/10
GLOBALSCAPE INC DE 8.01 02/17/11
GLOBE SPECIALTY METALS INC 8.01 02/17/11
GOLDEN GRAIN ENERGY IA 5.07 02/16/11
Granite Falls Energy, LLC MN 7.01,9.01 02/17/11
GreenPlex Services, Inc. NV 1.01,3.02,9.01 02/11/11
Greenwood Gold Resources, Inc. NV 5.03,9.01 02/16/11
GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 02/17/11
GTSI CORP DE 5.02 02/11/11
Gulf United Energy, Inc. NV 3.02,7.01,9.01 02/15/11
HARLEYSVILLE GROUP INC DE 2.02,9.01 02/17/11
Hawk Systems, Inc. DE 5.07 02/14/11
HAWKER BEECHCRAFT ACQUISITION CO LLC DE 2.02,9.01 02/17/11
HEALTH MANAGEMENT ASSOCIATES INC DE 2.02,5.02,9.01 02/15/11
HEALTH NET INC DE 7.01,8.01,9.01 02/17/11
HEALTHSOUTH CORP DE 2.02,7.01,9.01 02/17/11
HIGHLAND BUSINESS SERVICES, INC. NV 8.01 02/07/11
Hill-Rom Holdings, Inc. IN 2.02,9.01 02/17/11
HITTITE MICROWAVE CORP 2.02,9.01 02/17/11
HMN FINANCIAL INC DE 7.01,9.01 02/16/11
HONEYWELL INTERNATIONAL INC DE 9.01 02/17/11
HONEYWELL INTERNATIONAL INC DE 5.02 02/11/11
HOOPER HOLMES INC NY 5.03 02/16/10
HORNBECK OFFSHORE SERVICES INC /LA DE 2.02,9.01 02/17/11
HUGOTON ROYALTY TRUST TX 2.02,9.01 02/17/11
Huifeng Bio-Pharmaceutical Technology NV 4.02 02/15/11
Huntsman CORP DE 2.02,9.01 02/17/11
Hyatt Hotels Corp DE 2.02,9.01 02/17/11
HYPERDYNAMICS CORP DE 7.01,9.01 02/17/11
IDT CORP DE 8.01 02/15/11
IMPAX LABORATORIES INC DE 1.01,1.02,2.03 02/11/11
INLAND REAL ESTATE CORP MD 8.01,9.01 02/15/11
INPHI Corp DE 8.01 02/14/11
INSMED INC VA 1.01 02/11/11
INSPIRE PHARMACEUTICALS INC DE 2.02,7.01,9.01 02/17/11
INTEGRAMED AMERICA INC DE 7.01,9.01 02/17/11
INTERACTIVE DATA CORP/MA/ DE 2.03,9.01 02/11/11
INTERLINE BRANDS, INC./DE DE 5.02,9.01 02/17/11
INTERNAP NETWORK SERVICES CORP DE 5.02,9.01 02/14/11
IntraLinks Holdings, Inc. DE 2.02,9.01 02/17/11
INTUIT INC DE 2.02,9.01 02/17/11
INVENTURE FOODS, INC. DE 5.02,9.01 02/10/11
INVENTURE FOODS, INC. DE 8.01,9.01 02/16/11
INVENTURE FOODS, INC. DE 8.01,9.01 02/17/11
INVESTORS CAPITAL HOLDINGS LTD MA 2.02 12/31/10
INVESTORS TITLE CO NC 2.02,9.01 02/17/11
ION GEOPHYSICAL CORP DE 2.02,5.02,7.01,9.01 02/11/11
IPASS INC DE 2.02,9.01 02/17/11
IRIS INTERNATIONAL INC DE 5.02,9.01 02/14/11
ISABELLA BANK CORP MI 2.02,9.01 02/10/11
ISABELLA BANK CORP MI 2.02,9.01 02/15/11
ITC Holdings Corp. MI 1.01,2.03,9.01 02/11/11
J P MORGAN CHASE & CO DE 7.01,9.01 02/15/11
K SWISS INC DE 2.02,9.01 02/17/11
KBW, INC. 2.02,5.02,7.01,9.01 02/11/11
KELLY SERVICES INC DE 5.02,9.01 02/17/11
KEYSTONE AUTOMOTIVE OPERATIONS INC PA 1.01,2.03,8.01,9.01 02/08/11
KKR Financial Holdings LLC DE 2.02,9.01 02/17/11
Koppers Holdings Inc. PA 2.02,9.01 02/16/11
KROGER CO OH 5.02,9.01 02/16/11
LABRANCHE & CO INC DE 2.02,8.01,9.01 02/17/11
Lake Shore Bancorp, Inc. X1 7.01,9.01 02/17/11
LAMPERD LESS LETHAL INC NV 8.01 02/17/11
LANSDOWNE SECURITY, INC. TX 9.01 02/16/11 AMEND
LEAPFROG ENTERPRISES INC 5.02 02/14/11
LEAR CORP DE 8.01,9.01 02/16/11
Legend Oil & Gas, Ltd. CO 8.01 02/15/11
LianDi Clean Technology Inc. NV 8.01,9.01 02/15/11
Liberty Global, Inc. 2.03,9.01 02/16/11
LIFE TIME FITNESS INC MN 2.02,9.01 02/17/11
LIXTE BIOTECHNOLOGY HOLDINGS, INC. DE 8.01 02/01/11
LOJACK CORP MA 5.03,9.01 02/17/11
MARTIN MARIETTA MATERIALS INC NC 8.01 02/14/11
MASCO CORP /DE/ DE 1.01 02/11/11
MASTEC INC FL 1.01,9.01 02/11/11
MAXWELL TECHNOLOGIES INC DE 2.02,9.01 02/17/11
MB FINANCIAL INC /MD MD 7.01 02/16/11
MERGE HEALTHCARE INC DE 2.02,9.01 02/17/11
MERIT MEDICAL SYSTEMS INC UT 2.02,9.01 02/17/11
MERRILL LYNCH DEPOSITOR INC PREFERRED DE 8.01,9.01 02/15/11
METALLINE MINING CO NV 5.02 02/14/11
MEXCO ENERGY CORP CO 2.02,9.01 02/16/11
MICHAELS STORES INC DE 2.02,9.01 02/17/11
MICRON TECHNOLOGY INC DE 2.02,8.01,9.01 02/11/11
Mobiform Software Inc DE 7.01,9.01 02/13/11
MOLINA HEALTHCARE INC DE 2.02,9.01 02/17/11
Monotype Imaging Holdings Inc. DE 2.02,9.01 02/17/11
Morningstar, Inc. IL 2.02,9.01 02/17/11
Nalco Holding CO 5.02,9.01 02/14/11
NATIONAL HEALTH INVESTORS INC MD 7.01 12/31/10
NATIONAL HEALTH INVESTORS INC MD 5.02 02/16/11
NATIONAL HEALTH INVESTORS INC MD 8.01 02/16/11
NATIONAL HEALTH INVESTORS INC MD 2.02,9.01 12/31/10
NATIONAL RETAIL PROPERTIES, INC. MD 2.02,9.01 02/17/11
NATURALLY ADVANCED TECHNOLOGIES INC A1 7.01,9.01 02/17/11
NAVISTAR INTERNATIONAL CORP DE 5.03,5.07,9.01 02/15/11
NEWFIELD EXPLORATION CO /DE/ DE 2.02,7.01,9.01 02/15/11
NEWMARKET CORP VA 8.01,9.01 02/17/11
NewPage CORP DE 2.02,9.01 02/17/11
NEWS CORP 1.01,2.03,9.01 02/16/11
NOBLE CORP 1.01,2.03,9.01 02/11/11
NORDSTROM INC WA 2.02,7.01,8.01,9.01 02/17/11
Northwest Bancshares, Inc. MD 7.01,9.01 02/17/11
NOVAMED INC DE 2.02,9.01 02/17/11
NOVELL INC DE 5.07,8.01,9.01 02/17/11
NU SKIN ENTERPRISES INC DE 1.01 02/11/11
NxStage Medical, Inc. DE 2.02,8.01,9.01 02/16/11
OCEANEERING INTERNATIONAL INC DE 2.02,9.01 02/16/11
ODYSSEY MARINE EXPLORATION INC NV 1.01,8.01,9.01 02/11/11
OGE ENERGY CORP. OK 2.02,9.01 02/17/11
OKLAHOMA GAS & ELECTRIC CO OK 2.02,9.01 02/17/11
OMEGA HEALTHCARE INVESTORS INC MD 2.02,9.01 02/17/11
ON ASSIGNMENT INC DE 2.02,9.01 02/17/11
Oncologix Tech Inc. NV 4.01,9.01 09/09/10 AMEND
ORBITAL SCIENCES CORP /DE/ DE 2.02,9.01 02/16/11
Orexigen Therapeutics, Inc. DE 5.02,9.01 02/13/11
OSI RESTAURANT PARTNERS, LLC DE 2.02,9.01 02/17/11
PACIFIC GAS & ELECTRIC CO CA 2.02,7.01,9.01 12/31/10
PACIFIC GOLD CORP NV 1.01 02/10/11
PAETEC Holding Corp. 2.02,9.01 02/17/11
PG&E CORP CA 2.02,7.01,9.01 12/31/10
PINNACLE AIRLINES CORP DE 2.02,9.01 02/17/11
PIONEER DRILLING CO TX 2.02,9.01 02/17/11
PLEXUS CORP WI 5.02,5.07,9.01 02/16/11
POOL CORP DE 2.02,7.01,9.01 02/17/11
POPULAR INC 7.01,9.01 02/17/11
POTOMAC BANCSHARES INC WV 2.02 02/17/11
POWERSECURE INTERNATIONAL, INC. DE 8.01,9.01 02/17/11
PPOA HOLDING, INC. DE 1.03 01/18/11
PREMIER OIL FIELD SERVICES, INC. NV 8.01,9.01 02/17/11
PRIDE INTERNATIONAL INC DE 2.02,9.01 02/17/11
PRIME ESTATES & DEVELOPMENTS INC NV 1.01 02/17/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02,9.01 02/16/11
RAINMAKER SYSTEMS INC CA 2.02,7.01,9.01 02/17/11
Rand Logistics, Inc. DE 7.01,9.01 02/17/11
RED ROBIN GOURMET BURGERS INC DE 2.02,9.01 02/17/11
Regency Energy Partners LP DE 2.02,7.01,9.01 02/16/11
REINSURANCE GROUP OF AMERICA INC MO 2.04,8.01,9.01 02/16/11
RELIANCE STEEL & ALUMINUM CO CA 2.02,9.01 02/17/11
RENAISSANCE LEARNING INC WI 8.01,9.01 02/16/11
RESOURCE ACQUISITION GROUP, INC. NV 8.01,9.01 02/17/11
REVLON INC /DE/ DE 2.02,9.01 02/17/11
ROGERS CORP MA 2.02,9.01 02/17/11
S Y BANCORP INC KY 5.02,9.01 02/15/11
SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 02/11/11
Saint James CO NC 5.02,8.01,9.01 02/17/11
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 02/17/11
SAPIENT CORP DE 5.02,9.01 02/11/11
SARA CREEK GOLD CORP. NV 4.01,8.01,9.01 02/14/11
SCOTTS MIRACLE-GRO CO OH 7.01,9.01 02/17/11
Secure Luggage Solutions Inc. 1.01,3.02,5.02,9.01 02/16/11
SENETEK PLC /ENG/ 8.01,9.01 02/17/11
Shiner International, Inc. NV 7.01,9.01 02/17/11
SHUFFLE MASTER INC MN 5.02 02/16/11
SI Financial Group, Inc. 2.02,5.03,9.01 02/16/11
SILICON LABORATORIES INC DE 5.02,9.01 02/15/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 02/17/11
SMART BALANCE, INC. DE 5.07,8.01,9.01 02/15/11
SMUCKER J M CO OH 2.02,9.01 02/17/11
SOCKET MOBILE, INC. DE 2.02,9.01 12/31/10
SONOSITE INC 2.02,9.01 02/17/11
SOUTH AMERICAN GOLD CORP. NV 5.02 02/17/11
SOUTH HERTFORDSHIRE UNITED KINGDOM FU CO 8.01,9.01 02/17/11
SOUTHERN COMMUNITY FINANCIAL CORP 1.01,8.01,9.01 02/14/11
SPARTON CORP OH 9.01 02/15/11 AMEND
SPECTRANETICS CORP DE 2.02,9.01 02/17/11
SPEEDUS CORP DE 8.01,9.01 02/16/11
SPEEDWAY MOTORSPORTS INC DE 2.04,8.01 02/16/11
SPX CORP DE 2.02,9.01 02/17/11
SS&C Technologies Holdings Inc DE 2.02,9.01 02/17/11
SS&C TECHNOLOGIES INC DE 2.02,9.01 02/17/11
ST JOE CO FL 3.03,9.01 02/15/11
ST LAWRENCE SEAWAY CORP DE 2.01,3.02,5.01,5.02, 02/14/11
5.03,5.06,9.01
Stanadyne Holdings, Inc. DE 5.02 02/14/11
Sterilite Solutions, Corp. AZ 8.01 02/17/11
STERLING FINANCIAL CORP /WA/ WA 1.01,5.02,9.01 02/15/11
STEWART INFORMATION SERVICES CORP DE 2.02,9.01 02/17/11
Strategic Mining Corp 1.01,2.03,3.02,9.01 02/11/11
STRAYER EDUCATION INC MD 2.02,9.01 02/17/11
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/14/11
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/14/11
SUNGARD CAPITAL CORP DE 2.02,9.01 02/17/11
SUNPOWER CORP DE 2.02,9.01 02/17/11
Sunstone Hotel Investors, Inc. MD 2.02,9.01 02/17/11
SUPERMEDIA INC. DE 7.01 02/17/11
SUSQUEHANNA BANCSHARES INC PA 2.02,9.01 02/17/11
Swisher Hygiene Inc. DE 1.01,3.02,8.01,9.01 02/13/11
SYNTEL INC MI 2.02,9.01 02/17/11
Talecris Biotherapeutics Holdings Cor DE 5.07,8.01,9.01 02/14/11
TEAMSTAFF INC NJ 2.02,9.01 02/17/11
TEAMSTAFF INC NJ 7.01,9.01 02/17/11
TECHNEST HOLDINGS INC NV 5.02 02/17/11
TechTarget Inc 2.02,9.01 02/17/11
TERRA NITROGEN CO L P /DE DE 2.02,9.01 02/17/11
TIMBERLAND CO DE 2.02,9.01 02/17/11
Timberline Resources Corp DE 7.01,9.01 02/17/11
TITANIUM METALS CORP DE 7.01,9.01 02/17/11
TOR MINERALS INTERNATIONAL INC DE 8.01,9.01 02/17/11
TORO CO DE 2.02,9.01 02/17/11
Tower International, Inc. DE 8.01 02/17/11
TransDigm Group INC DE 1.01,2.03,9.01 02/14/11
TREX CO INC DE 8.01,9.01 02/17/11
TRIAD GUARANTY INC DE 2.02,9.01 02/17/11 AMEND
TRINITY INDUSTRIES INC DE 2.02,7.01,9.01 02/16/11
TRUDY CORP DE 4.01,9.01 02/16/11
TRUMP ENTERTAINMENT RESORTS, INC. DE 1.01,9.01 02/11/11
TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 02/17/11
TUCOWS INC /PA/ PA 2.02,9.01 02/16/11
ULTRALIFE CORP DE 2.02,9.01 02/17/11
UNIFI INC NY 8.01,9.01 02/16/11
UNITEDHEALTH GROUP INC MN 8.01,9.01 02/14/11
UNIVERSAL AMERICAN CORP. NY 2.02,8.01,9.01 02/17/11
UNIVERSAL GOLD MINING CORP. NV 1.02,8.01 02/16/11
UROLOGIX INC MN 3.01,8.01,9.01 08/19/10 AMEND
US ONCOLOGY INC DE 1.01,3.03,9.01 02/15/11
US ONCOLOGY INC DE 1.02 02/16/11
USA Synthetic Fuel Corp DE 8.01,9.01 02/11/11
USA Synthetic Fuel Corp DE 4.01,9.01 01/13/11 AMEND
VALASSIS COMMUNICATIONS INC DE 2.02,9.01 02/17/11
VALENCE TECHNOLOGY INC DE 8.01,9.01 02/17/11
VALSPAR CORP DE 5.02,7.01,9.01 02/17/11
VCA ANTECH INC DE 2.02,9.01 02/17/11
VECTREN CORP IN 2.02 02/17/11
VENTAS INC DE 2.02,8.01,9.01 02/17/11
Viacom Inc. DE 8.01,9.01 02/14/11
ViewPoint Financial Group Inc. MD 5.02,9.01 02/15/11
Viking Minerals Inc. NV 5.02 02/14/11
VIRCO MFG CORPORATION DE 7.01,9.01 02/15/11
VIRGIN MEDIA INC. DE 2.02,9.01 02/17/11
VITAL IMAGES INC MN 2.02,9.01 02/16/11
VMWARE, INC. DE 5.02 02/14/11
VOICE MOBILITY INTERNATIONAL INC NV 7.01,8.01,9.01 02/15/11
VOLT INFORMATION SCIENCES, INC. NY 5.04,9.01 02/17/11
VWR Funding, Inc. DE 5.07 02/11/11
WASTE MANAGEMENT INC DE 2.02,9.01 02/17/11
WAUSAU PAPER CORP. WI 5.02,9.01 02/17/11
WebMD Health Corp. DE 5.02 02/11/11
WEIGHT WATCHERS INTERNATIONAL INC VA 2.02,9.01 02/17/11
WELLS CORE OFFICE INCOME REIT INC 8.01 02/17/11
WEST PHARMACEUTICAL SERVICES INC PA 2.02,7.01,9.01 02/17/11
WESTFIELD FINANCIAL INC MA 7.01,9.01 02/17/11
WILLIAMS COMPANIES INC DE 2.02,7.01,9.01 02/17/11
Williams Partners L.P. 2.02,9.01 02/17/11
WINN DIXIE STORES INC FL 5.02,9.01 02/14/11
WINTRUST FINANCIAL CORP IL 7.01,9.01 02/15/11
http://www.sec.gov/news/digest/2011/dig021811.htm
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