SEC Charges Bay Area Hedge Fund Manager With Misappropriating “Side Pocketed” Assets
The Securities and Exchange Commission today charged a Bay Area hedge fund manager with concealing more than $12 million in investment proceeds that he owed investors in his fund.
The SEC alleges that Lawrence R. Goldfarb of Larkspur, Calif., and his company Baystar Capital Management LLC (BCM) instead diverted the cash to other entities he controlled, ultimately funding a real estate venture and a San Francisco record company. Goldfarb also comingled investor funds in a bank account that he used to pay for unauthorized personal expenses including entertainment and charitable donations.
According to the SEC’s complaint filed in federal district court in San Francisco, Goldfarb and BCM were able to carry out their fraud in part because the investment was maintained in a “side pocket” into which investors in the hedge fund – Baystar Capital II, L.P. – had limited visibility. A side pocket is a type of account that hedge funds use to separate particular investments that are typically illiquid from the remainder of the investments in the fund. Goldfarb’s side pocket investment became profitable in 2006, but he diverted the proceeds for other uses rather than paying the fund’s investors. None of his transactions were authorized by the fund’s partnership agreement or offering documents.
Goldfarb agreed to pay more than $14 million to settle the SEC’s charges.
“Goldfarb betrayed the trust of his hedge fund’s investors, keeping them in the dark about their investment profits so he could use their money as his own,” said Marc Fagel, Director of the SEC’s San Francisco Regional Office.
Robert Kaplan, Co-Chief of the SEC Enforcement Division’s Asset Management Unit, added, “Hedge fund managers may not use side pockets to obscure their activities from investors. Hedge fund managers need to honor their obligations to investors, and investors should pay close attention to the discretion that managers wield over side pocketed investments.”
According to the SEC’s complaint, Goldfarb and BCM concealed the fraud for several years by providing investors with false account statements showing no gains had been realized in the side pocket. This falsely indicated that the side pocket investment had not yet distributed any profits to the fund, and investors were unable to determine that they were entitled to distributions. Generally, investors can only withdraw their side pocket investments once the underlying position has been sold or liquidated. This helps ensure fairness by limiting the ability of an early-redeeming investor to withdraw a disproportionate share of the fund’s liquid assets.
The SEC alleges that Goldfarb also took steps to conceal the side pocket profits from the fund’s third party administrator. For example, he directed money to the bank account of an entity no longer existed.
Without admitting or denying the SEC’s allegations, Goldfarb and BCM consented to permanent injunctions against violations of certain provisions of the federal securities laws and to pay disgorgement of $12,112,416 and prejudgment interest of $1,967,371, which will be distributed to the fund’s investors. Goldfarb also agreed to pay a $130,000 penalty, be barred from associating with any investment adviser or broker (with the right to reapply in five years), and be barred from participating in any offering of penny stock.
This case was investigated by Erin E. Schneider and Robert S. Leach of the San Francisco Regional Office, both of whom are members of the SEC’s Asset Management Unit. The SEC acknowledges and appreciates the assistance of the U.S. Attorney’s Office for the Northern District of California, and the Federal Bureau of Investigation for their assistance in this matter.
For more information about this enforcement action, contact:
Robert Kaplan (202-551-4969) and Bruce Karpati (212-336-0104)
Marc J. Fagel
Robert S. Leach
SEC Issues Notice of Proposed Distribution Plan and Opportunity for Comment in the Matter of Folger Nolan Fleming Douglas Capital Management, Inc.
The Securities and Exchange Commission announced today that it has given notice, pursuant to Rule 1103 of the Securities and Exchange Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. § 201.1103, that the Division of Enforcement has filed a proposed plan (Distribution Plan) for the distribution of monies in the matter of Folger Nolan Fleming Douglas Capital Management, Inc. (Folger Nolan).
The Distribution Plan provides for distribution of the $244,921 of disgorgement and prejudgment interest paid by Folger Nolan, plus any accumulated interest, less any federal, state, or local taxes on the interest and tax administrator fees. The proposed plan provides for distribution of the monies to certain advisory clients of Folger Nolan.
A copy of the Distribution Plan may be obtained by submitting a written request to Brendan P. McGlynn, Assistant Regional Director, United States Securities and Exchange Commission, 701 Market Street, Suite 2000, Philadelphia, PA 19106. Interested parties may also print a copy of the proposed Distribution Plan from the Commission’s public website, http://www.sec.gov. Any person or entity wishing to comment on the Distribution Plan may do so in writing by submitting their comments within 30 days of the date of the Notice (i) to the Office of the Secretary, United States Securities and Exchange Commission, 100 F Street, N.E., Washington, DC 20549-1090; or (ii) via the Commission’s Internet comment form (www.sec.gov/litigation/admin.shtml); or (iii) by sending an e-mail to firstname.lastname@example.org. Comments submitted by e-mail or via the Commission’s website should include the Administrative Proceeding File Number (Admin. Proc. File No. 3-12737) in the subject line. Comments received will be publicly available. Persons should submit only information that they wish to make publicly available. (Rel. 34-63994; File No. 3-12737)
Delinquent Filers’ Stock Registrations Revoked
The registrations of the registered securities of ActiveCore Technologies, Inc., Battery Technologies Inc., China Media1 Corp., Dura Products International Inc. (n/k/a Dexx Corp.), GrandeTel Technologies, Inc., and 649.com, Inc. (n/k/a Infinite Holdings Group, 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. 34-63991; File No. 3-14231)
Commission Revokes Registrations of Securities of Tronox Incorporated for Failure to Make Required Periodic Filings
On March 1, 2011, the Commission instituted a settled proceeding pursuant to Section 12(j) of the Securities Exchange Act of 1934 (Exchange Act) revoking the registration of each class of registered securities of Tronox Incorporated (TRXBQ) for failure to make required periodic filings with the Commission.
Without admitting or denying the findings of the order, except as to jurisdiction, which it admitted, TRXBQ consented to the entry of an Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 finding that it had failed to comply with Section 13(a) of the Exchange Act and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of TRXBQ’s securities pursuant to Section 12(j) of the Exchange Act.
Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
(Rel. 34-63992; File No. 3-14278)
In the Matter of Rajat K. Gupta
On March 1, 2011, the Commission issued an order instituting administrative and cease-and-desist proceeding as to Rajat K. Gupta, the former head of a multi-national consulting firm. The Division of Enforcement alleges that Gupta conveyed material nonpublic information that he obtained in the course of his duties as a board member of The Goldman Sachs Group, Inc. (Goldman Sachs) and The Procter & Gamble Company (Procter & Gamble) to Raj Rajaratnam (Rajaratnam), the founder and a Managing General Partner of the hedge fund investment adviser Galleon Management, LP (Galleon). Rajaratnam, in turn, either caused the Galleon hedge funds that he managed to trade based on the information, or passed the information on to others at Galleon, who caused trades by Galleon funds based on the information.
Specifically, the Division of Enforcement alleges in the Order that Gupta tipped Rajaratnam to material nonpublic information about Berkshire Hathaway Inc’s (Berkshire) $5 billion investment in Goldman Sachs, which was publicly announced on September 23, 2008, as well as Goldman Sachs’s financial results for both the second and fourth quarters of 2008. Rajaratnam caused the various Galleon hedge funds that he managed to trade based on the inside information, generating illicit profits and loss avoidance of more than $17 million. In addition, Gupta passed to Rajaratnam material nonpublic information concerning Procter & Gamble’s financial results for the quarter ending December 2008. Galleon funds traded based on the information, generating illicit profits of over $570,000.
The Division of Enforcement further alleges in the Order that Gupta willfully violated Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, which prohibit fraudulent conduct in the offer and sale of securities and in connection with the purchase or sale of securities. A hearing will be scheduled before an administrative law judge to determined whether the allegations contained in the Order are true, to provide Gupta an opportunity to dispute the allegations, and to determine what sanctions, if any, are appropriate and in the public interest. The Administrative Law Judge shall issue an initial decision no later than the 300 days from the date of the service of the order. (Rel. 33-9192; 34-63995; IA-3167; IC-29580; File No. 3-14279)
SEC v. Douglas F. Vaughan, the Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC
A federal grand jury in Albuquerque, New Mexico has indicted former real estate magnate, Douglas F. Vaughan, for operating an approximately $75 million Ponzi scheme and for knowingly providing false documents to the SEC in the course of its investigation into Vaughan’s conduct in the fall of 2009.
The SEC filed a civil complaint against Vaughan and two of his entities on March 23, 2010, alleging violations of the antifraud and securities registration provisions of the federal securities laws. The Honorable M. Christina Armijo for the U.S. District Court for the District of New Mexico granted the SEC’s request for a temporary restraining order and asset freeze against Vaughan and his companies at that time. Judge Armijo subsequently entered a preliminary injunction, which remains in force. The SEC’s action is pending.
The federal criminal indictment, styled United States v. Douglas F. Vaughan, Criminal Action No. 11-cr-404, was filed in the United States District Court for the District of New Mexico on February 24 and unsealed on February 25. It alleges that, between 1993 and 2010, Vaughan raised approximately $75 million from investors through the issuance of promissory notes from his now-defunct real estate company, The Vaughan Company Realtors (Vaughan Company) and through the sale of interests in a separate entity called Vaughan Capital, LLC. In both instances, the indictment alleges, Vaughan falsely told investors that their funds would be used for real estate-related investments, when, in fact, he used their money to make principal and interest payments to earlier investors, to cover Vaughan Company’s mounting operating losses, and to support his own extravagant lifestyle, which included a mansion overlooking a golf course, a Ferrari, and frequent travel to Las Vegas, Nevada.
With respect to the promissory note program, the indictment further alleges that Vaughan misrepresented the safety of the program by telling investors that outstanding promissory notes would never exceed a sum certain (which was never higher than $2.5 million) and that Vaughan Company’s obligations on the promissory notes were backed by Vaughan’s “personal guarantee.” In fact, according to the indictment, the aggregate principal balance on outstanding notes grew from approximately $24.4 million at the end of 2004 to approximately $75 million at the beginning of 2010, and Vaughan himself had a negative net worth, as reflected by his bankruptcy filing on or about Feb. 22, 2010. Based on the foregoing, the indictment charges Vaughan with three counts of wire fraud in violation of 18 U.S.C. §§ 1343 and 2; 17 counts of mail fraud in violation of 18 U.S.C. §§ 1341 and 2; and five counts of money laundering in violation of 18 U.S.C. §§1957 and 2.
The indictment also charges Vaughan with five counts of knowingly making false statements to the SEC, in violation of 18 U.S.C. § 1001, during the SEC’s investigation into Vaughan’s conduct in late 2009. Specifically, the indictment charges that, between Sept. 21 and Dec. 4, 2009, Vaughan made written submissions to the SEC in which he falsely represented, among other things, that Vaughan Company made principal and interest payments to note holders with proceeds from real estate investments; that Vaughan’s net worth exceeded $12.5 million; that Vaughan Company’s and Vaughan’s financial condition were sufficiently sound to guarantee repayment of all promissory notes; and that Vaughan Capital had not invested in any “unrelated ventures.” [SEC v. Douglas F. Vaughan, The Vaughan Company, Realtors, Inc., and Vaughan Capital, LLC, Civil Action No. 1:10-cv-00263-MCA-WPL (D. N.M.)] (LR-21868)
SEC Obtains a Final Judgment of Disgorgement Against Unregistered Broker-Dealer and a Permanent Injunction Against Its Former Principal, Who Was Sentenced Following Criminal Conviction
The Securities and Exchange Commission announced that a final judgment of $9,492,744.95 in monetary relief was entered against an unregistered broker-dealer, Finbar Securities Corp., formerly based in West Covina, California, and a judgment of permanent injunction was entered against Finbar’s former principal, Robert Tringham, 65, formerly of Diamond Bar, who was also sentenced to 13 years in prison following a criminal conviction.
On July 12, 2010, the United States District Court in Los Angeles entered a final judgment against Finbar pursuant to the consent of the Court-appointed permanent receiver, Robb Evans & Associates LLC. The judgment requires Finbar to disgorge ill-gotten gains of $9,492,744.95 plus prejudgment interest of $2,853,986.55 within ten days of the filing of the receiver’s final accounting in this action. Pursuant to a plan of distribution to be submitted by the receiver and approved by the Court, Finbar shall disgorge all of the funds and assets of the receivership estate, if any, less Court-approved fees and expenses of the receiver. On May 11, 2010, the Court entered a judgment of permanent injunction and other relief against Tringham. The judgment enjoins Tringham from violating the antifraud and the broker-dealer registration provisions of the federal securities laws, and specifies that Tringham shall pay disgorgement of ill-gotten gains, prejudgment interest thereon, and a civil penalty in amounts set by the Court upon motion of the Commission. Tringham consented to the entry of the permanent injunction without admitting or denying the allegations in the Commission’s complaint.
The Commission’s complaint alleged that Finbar and Tringham were operating as an unregistered broker-dealer and engaged in a variety of conduct which operated as a fraud and deceit on investors. The defendants raised over $9.4 million from at least eight investors, including six investors outside the United States
Separately, Tringham was sentenced on February 15, 2011 for conduct unrelated to Finbar following his conviction in United States of America v. Robert Tringham, U. S. District Court, Central District of California, Case No. CR0900490. Tringham was sentenced to serve 156 months in prison (with credit for time already served) and pay restitution of $8,076,034.
For further information, see Litigation Release Nos. 20991 (April 7, 2009), 21027 (May 7, 2009), 21109 (June 29, 2009), and Securities Exchange Act of 1934 Release No. 34-62244 (June 8, 2010). [SEC v. Finbar Securities Corp., et al., United States District Court for the Central District of California, Case No. CV 09-2325 ODW] (LR-21869)
Notice of Applications for Deregistration under the Investment Company Act
For the month of February 2011, a notice has been issued giving interested persons until March 22, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company:
(Rel. IC-29589 - February 25)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 SUNPOWER CORP, 3939 NORTH FIRST STREET, SAN JOSE, CA, 95134, 408-240-5500 - 8,882,331 ($159,260,195.00) Equity, (File 333-172477 - Feb. 28) (BR. 10C) S-1 CENTRAL PACIFIC FINANCIAL CORP, 220 S KING ST, HONOLULU, HI, 96813, 8085440500 - 0 ($20,000,000.00) Equity, (File 333-172479 - Feb. 28) (BR. 07A) S-1 CENTRAL PACIFIC FINANCIAL CORP, 220 S KING ST, HONOLULU, HI, 96813, 8085440500 - 0 ($538,687,116.94) Equity, (File 333-172480 - Feb. 28) (BR. 07A) S-8 SPREADTRUM COMMUNICATIONS INC, 810 E ARQUES AVE, SUNNYVALE, CA, 94085, 4087358126 - 5,848,530 ($39,760,256.45) Debt, (File 333-172481 - Feb. 28) (BR. 10C) S-4 BEAZER HOMES USA INC, 5775 PEACHTREE DUNW00DY RD, STE B 200, ATLANTA, GA, 30342, 4042503420 - 0 ($250,000,000.00) Other, (File 333-172482 - Feb. 28) (BR. 06C) S-3 BEAZER HOMES USA INC, 5775 PEACHTREE DUNW00DY RD, STE B 200, ATLANTA, GA, 30342, 4042503420 - 0 ($750,000,000.00) Other, (File 333-172483 - Feb. 28) (BR. 06C) S-8 GLOBAL TRAFFIC NETWORK, INC., 880 THIRD AVENUE, 6TH FLOOR, NEW YORK, NY, 10017, 212-896-1255 - 600,000 ($6,978,000.00) Equity, (File 333-172484 - Feb. 28) (BR. 11C) S-3 ASR KRAFT FOODS INC, THREE LAKES DRIVE, NORTHFIELD, IL, 60093, 8476462000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172488 - Feb. 28) (BR. 04C) S-8 Global Education & Technology Group Ltd, 9F TOWER D, BEIJING NEW LOGO, A18, ZHONGGUANCUN SOUTH STREET, HAIDIAN DISTRICT, BEIJING, F4, 100081, 86-10-6212-5800 - 0 ($17,474,135.00) ADRs/ADSs, (File 333-172489 - Feb. 28) (BR. 11C) S-3 ASR Philip Morris International Inc., 120 PARK AVENUE, NEW YORK, NY, 10017, (917) 663-2000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172490 - Feb. 28) (BR. 05A) S-8 FORD MOTOR CO, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 3133223000 - 0 ($203,757,000.00) Equity, (File 333-172491 - Feb. 28) (BR. 05A) S-8 Allot Communications Ltd., 5 HANAGAR STREET, INDUSTRIAL ZONE B, HOD-HASHARON, L3, 45800, 972-9-761-9200 - 635,154 ($9,381,225.00) Other, (File 333-172492 - Feb. 28) (BR. 03B) S-8 PRUDENTIAL PLC, LAURENCE POUNTNEY HILL, LONDON ENGLAND, X0, EC4R OHH, 011442075483737 - 0 ($220,492,000.00) Equity, (File 333-172493 - Feb. 28) (BR. 01B) S-8 VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK, NY, 10007, 212-395-1000 - 0 ($2,134,200,000.00) Equity, (File 333-172501 - Feb. 28) (BR. 11B) S-8 China Gerui Advanced Materials Group Ltd, 1 SHUANGHU DEVELOPMENT ZONE,, XINZHENG CITY, ZHENGZHOU,, HENAN PROVINCE, F4, 451191, 86-371-62568634 - 3,500,000 ($19,320,000.00) Equity, (File 333-172502 - Feb. 28) (BR. 06A) N-2 New Mountain Guardian (Leveraged), L.L.C., 787 SEVENTH AVENUE, 49TH FLOOR, NEW YORK, NY, 10019, (212) 720-0300 - 0 ($1.00) Equity, (File 333-172503 - Feb. 28) (BR. 17) S-8 POWER 3 MEDICAL PRODUCTS INC, 3400 RESEARCH FOREST DR, SUITE B2-3, THE WOODLANDS, TX, 77381, 281-466-1600 - 0 ($452,500.00) Equity, (File 333-172504 - Feb. 28) (BR. 01B) S-8 ANIXTER INTERNATIONAL INC, 2301 PATRIOT BLVD, GLENVIEW, IL, 60026, 2245218204 - 1,800,000 ($124,092,000.00) Equity, (File 333-172505 - Feb. 28) (BR. 10A) S-3 PALMETTO BANCSHARES INC, 301 HILLCREST DR, P O BOX 49, LAURENS, SC, 29360, 8649844551 - 0 ($7,063,534.80) Equity, (File 333-172506 - Feb. 28) (BR. 07B) S-8 PRINCETON NATIONAL BANCORP INC, 606 S MAIN ST, PRINCETON, IL, 61356, 8158754444 - 0 ($207,380.00) Equity, (File 333-172507 - Feb. 28) (BR. 07B) S-1 BIOANALYTICAL SYSTEMS INC, 2701 KENT AVE, WEST LAFAYETT, IN, 47906-1382, 3174634527 - 0 ($5,000,000.00) Equity, (File 333-172508 - Feb. 28) (BR. 01A) S-1 POWERDYNE INTERNATIONAL, INC., 1504 R STREET NW, WASHINGTON DC, DC, 20009, 202 387 5400 - 83,318,500 ($12,497,775.00) Equity, (File 333-172509 - Feb. 28) (BR. 09) S-3 WISCONSIN ELECTRIC POWER CO, 231 W MICHIGAN ST, PO BOX 2046, MILWAUKEE, WI, 53290-0001, 414-221-2345 - 0 ($1,150,000,000.00) Debt, (File 333-172511 - Feb. 28) (BR. 02B) S-8 LIBERTY MEDIA CORP, 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO, 80112, 7208755400 - 0 ($66,477,933.20) Equity, (File 333-172512 - Feb. 28) (BR. 11C) S-3 ASR JOHNSON & JOHNSON, ONE JOHNSON & JOHNSON PLZ, NEW BRUNSWICK, NJ, 08933, 732-524-2455 - 0 ($0.00) Other, (File 333-172513 - Feb. 28) (BR. 01B) S-8 AMYRIS, INC., 5885 HOLLIS ST SUITE 100, EMERYVILLE, CA, 94608, 510-450-0761 - 2,630,845 ($76,566,359.73) Equity, (File 333-172514 - Feb. 28) (BR. 06) S-8 PROS Holdings, Inc., 3100 MAIN STREET, SUITE 900, HOUSTON, TX, 77002, 713-335-5151 - 0 ($10,764,000.00) Equity, (File 333-172516 - Feb. 28) (BR. 03C) S-3 ASR MCMORAN EXPLORATION CO /DE/, 1615 POYDRAS ST, NEW ORLEANS, LA, 70112, 5045824000 - 0 ($854,760,000.00) Equity, (File 333-172517 - Feb. 28) (BR. 04A) S-8 SEARS HOLDINGS CORP, 3333 BEVERLY ROAD, HOFFMAN ESTATES, IL, 60179, 847-286-2500 - 0 ($21,035,000.00) Equity, (File 333-172518 - Feb. 28) (BR. 02B) S-8 Spansion Inc., 915 DEGUIGNE DRIVE, P.O. BOX 3453, SUNNYVALE, CA, 94088, (408) 962-2500 - 4,321,911 ($88,296,641.73) Equity, (File 333-172519 - Feb. 28) (BR. 10C) S-3 ASR MCMORAN EXPLORATION CO /DE/, 1615 POYDRAS ST, NEW ORLEANS, LA, 70112, 5045824000 - 0 ($500,000,000.00) Debt Convertible into Equity, (File 333-172520 - Feb. 28) (BR. 04A) S-3 NARA BANCORP INC, 3731 WILSHIRE BLVD, SUITE 1000, LOS ANGELES, CA, 90010, 2136391700 - 0 ($136,250,000.00) Unallocated (Universal) Shelf, (File 333-172521 - Feb. 28) (BR. 07C) S-3 ASR Clearwire Corp /DE, 4400 CARILLON POINT, KIRKLAND, WA, 98033, 425-216-7600 - 0 ($536,597,277.00) Equity, (File 333-172522 - Feb. 28) (BR. 11B) S-8 EATON CORP, EATON CTR, 1111 SUPERIOR AVE, CLEVELAND, OH, 44114-2584, 2165235000 - 100,000 ($10,461,000.00) Equity, (File 333-172523 - Feb. 28) (BR. 06C) N-2 PENNANTPARK INVESTMENT CORP, 590 MADISON AVENUE, 15TH FLOOR, NEW YORK, NY, 10022, 212-905-1000 -0 ($1,000,000,000.00) Unallocated (Universal) Shelf, (File 333-172524 -Feb. 28) (BR. 17) S-3 TRIMAS CORP, 2486315400 - 0 ($500,837,760.00) Equity, (File 333-172525 - Feb. 28) (BR. 06C) S-8 BLUE NILE INC, 705 FIFTH AVE S, STE 900, SEATTLE, WA, 98104, 2063366700 - 741,941 ($38,966,742.00) Equity, (File 333-172526 - Feb. 28) (BR. 02C) S-8 QLIK TECHNOLOGIES INC, 150 N. RADNOR CHESTER ROAD, SUITE E220, RADNOR, PA, 19087, 888-828-9768 - 0 ($72,288,656.64) Equity, (File 333-172527 - Feb. 28) (BR. 03C) S-3 ASR ALABAMA POWER CO, 600 N 18TH ST, P O BOX 2641, BIRMINGHAM, AL, 35291, 2052571000 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172528 - Feb. 28) (BR. 02A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 4301 Inc DE 4.01 12/22/10 A123 SYSTEMS, INC. DE 2.02,9.01 02/28/11 AASTROM BIOSCIENCES INC MI 2.02,9.01 02/28/11 ABINGTON BANCORP, INC./PA 8.01,9.01 02/24/11 ACCELERIZE NEW MEDIA INC DE 5.02,9.01 02/28/11 Advance America, Cash Advance Centers DE 5.02,9.01 02/25/11 AES CORP DE 2.02,7.01,9.01 02/28/11 AETNA INC /PA/ PA 5.02 02/25/11 ALANCO TECHNOLOGIES INC AZ 1.01,9.01 02/25/11 ALLEGHANY CORP /DE DE 2.02,5.02,9.01 02/24/11 ALLEGHENY TECHNOLOGIES INC DE 5.02,9.01 02/28/11 Allis Chalmers Energy Inc. DE 1.01,3.01,5.02,5.07, 02/22/11 9.01 Ally Financial Inc. DE 5.02,9.01 02/28/11 ALMOST FAMILY INC DE 2.02,9.01 02/28/11 Alto Group Holdings Inc. NV 1.01,1.02,3.02 02/22/11 Altra Holdings, Inc. DE 1.01,7.01,9.01 02/25/11 Altra Holdings, Inc. DE 2.02,9.01 02/28/11 Altra Holdings, Inc. DE 8.01,9.01 02/28/11 Altra Holdings, Inc. DE 1.01,7.01,9.01 02/24/11 AMERICA WEST RESOURCES, INC. NV 7.01,8.01 02/25/11 AMERICAN ELECTRIC POWER CO INC NY 7.01 02/28/11 American Energy Fields, Inc. DE 1.01,3.02,9.01 02/22/11 AMERICAN POWER CORP. NV 1.01,3.02,9.01 02/23/11 AMERICAN SURGICAL HOLDINGS INC DE 5.07,8.01,9.01 02/23/11 AMERIGON INC MI 1.01,9.01 02/28/11 AMERISTAR CASINOS INC NV 1.01,9.01 02/27/11 AMYRIS, INC. DE 2.02,9.01 02/28/11 ANALYSTS INTERNATIONAL CORP 5.02,9.01 02/22/11 ANAVEX LIFE SCIENCES CORP. NV 1.01,5.02,9.01 02/11/11 Antero Resources Finance Corp DE 7.01,9.01 02/28/11 AP PHARMA INC /DE/ DE 5.02,9.01 02/23/11 Apextalk Holdings Inc DE 1.01,3.02,9.01 02/24/11 APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 02/28/11 Aquilex Holdings LLC DE 5.02 02/22/11 Aquilex Holdings LLC DE 1.01,9.01 02/28/11 ARCH COAL INC DE 7.01,9.01 02/28/11 Archipelago Learning, Inc. DE 5.02,9.01 02/24/11 ARGENTEX MINING CORP DE 3.02 02/28/11 ARMSTRONG WORLD INDUSTRIES INC PA 2.02,5.02,7.01,8.01, 02/28/11 9.01 ARQULE INC DE 5.02,9.01 02/23/11 ARROW ELECTRONICS INC NY 5.02 02/25/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 02/25/11 AtheroNova Inc. DE 5.02 02/25/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 02/28/11 Avantair, Inc DE 2.02,9.01 02/10/11 Babcock & Wilcox Co DE 5.02,9.01 02/22/11 Bacterin International Holdings, Inc. DE 7.01,9.01 02/28/11 BALCHEM CORP MD 2.02,9.01 02/28/11 BALL CORP IN 8.01 02/24/11 Bancorp, Inc. 8.01,9.01 02/28/11 Bancorp, Inc. 7.01,9.01 02/28/11 BANK OF HAWAII CORP DE 7.01,8.01 02/28/11 BANK OF NEW ENGLAND CORP MA 1.03 06/30/09 BANK OF NEW ENGLAND CORP MA 1.03 01/31/11 Baron Energy Inc. NV 1.01,3.02,9.01 12/31/10 BEL FUSE INC /NJ NJ 7.01,8.01,9.01 02/28/11 BIG CAT ENERGY CORP 8.01,9.01 02/28/11 BioNeutral Group, Inc NV 8.01,9.01 02/28/11 Blackhawk Fund NV 3.01 02/23/11 BMP Sunstone CORP DE 2.01,3.01,3.03,5.01, 02/24/11 5.02,5.07,8.01,9.01 BPZ RESOURCES, INC. TX 7.01,9.01 02/28/11 Business Marketing Services Inc DE 4.01,9.01 08/24/10 Calumet Specialty Products Partners, DE 1.01,7.01,9.01 02/24/11 CANANDAIGUA NATIONAL CORP NY 8.01 02/28/11 CANO PETROLEUM, INC 5.02 02/28/11 CBEYOND, INC. 1.01,7.01,9.01 02/22/11 CEC ENTERTAINMENT INC KS 5.02,9.01 02/22/11 CEDAR SHOPPING CENTERS INC MD 5.02 02/28/11 CHART INDUSTRIES INC DE 7.01,9.01 02/24/11 CHEESECAKE FACTORY INC DE 8.01,9.01 02/28/11 Chemtura CORP DE 8.01 02/25/11 CHEMUNG FINANCIAL CORP NY 5.02 02/28/11 Chesapeake Lodging Trust MD 1.01,9.01 02/23/11 China Bilingual Technology & Educatio NV 4.01,9.01 02/23/11 CHINA FUND INC MD 7.01,9.01 01/31/11 AMEND China Growth CORP E9 1.01,2.01,3.02,4.01, 12/15/10 AMEND 5.01,5.02,5.03,5.06, 9.01 China Marketing Media Holdings, Inc. TX 5.02,9.01 02/28/11 CHINA SECURITY & SURVEILLANCE TECHNOL DE 2.02,9.01 02/28/11 China TransInfo Technology Corp. NV 2.02,7.01,9.01 02/28/11 CITIGROUP INC DE 5.02 02/25/11 CLOUD PEAK ENERGY INC. DE 7.01,9.01 02/28/11 Cloud Peak Energy Resources LLC DE 7.01,9.01 02/28/11 CMR Mortgage Fund II, LLC CA 8.01,9.01 02/28/11 CNO Financial Group, Inc. DE 7.01,9.01 02/28/11 COEUR D ALENE MINES CORP ID 2.02,9.01 02/28/11 COLE CORPORATE INCOME TRUST, INC. MD 1.01,5.03,5.07,8.01, 02/22/11 9.01 COLONY BANKCORP INC GA 5.02 02/28/11 Commercial Vehicle Group, Inc. DE 5.02,9.01 02/24/11 COMPOSITE TECHNOLOGY CORP NV 1.01,2.03,3.02,9.01 02/22/11 COMPUTER SCIENCES CORP NV 8.01 02/25/11 COMSTOCK RESOURCES INC NV 8.01,9.01 02/28/11 COMVERSE TECHNOLOGY INC/NY/ NY 5.02,5.03,7.01,8.01, 02/25/11 9.01 CONCHO RESOURCES INC DE 5.02 02/22/11 CONNS INC DE 5.02,9.01 02/27/11 Convio, Inc. DE 5.02,9.01 01/27/11 COOPER TIRE & RUBBER CO DE 5.02 02/23/11 CORELOGIC, INC. DE 1.01,5.02,9.01 02/22/11 CORNING NATURAL GAS CORP NY 1.01,9.01 02/28/11 CREDIT ACCEPTANCE CORP MI 8.01,9.01 02/28/11 CRONOS GLOBAL INCOME FUND XV LP CA 2.02,9.01 02/28/11 CRONOS GLOBAL INCOME FUND XVI LP CA 2.02,9.01 02/28/11 CVR ENERGY INC DE 1.01,1.02,2.03,9.01 02/22/11 CYIOS CORP NV 4.01 02/22/11 CYPRESS SEMICONDUCTOR CORP /DE/ DE 8.01 02/27/11 DARLING INTERNATIONAL INC DE 5.02,8.01,9.01 02/25/11 DAVE & BUSTERS INC MO 8.01,9.01 02/25/11 DAYSTAR TECHNOLOGIES INC DE 5.02,9.01 02/28/11 Derycz Scientific Inc NV 1.01,9.01 02/24/11 Dialogic Inc. DE 2.02,5.02,9.01 02/24/11 Digimarc CORP OR 2.02,9.01 02/28/11 DIGITALGLOBE INC 5.02,9.01 02/28/11 DIGITALGLOBE INC 2.02,9.01 02/28/11 DineEquity, Inc DE 1.01,9.01 02/25/11 Discover Card Execution Note Trust DE 1.01,9.01 02/24/11 DOVER CORP DE 1.01,2.03 02/22/11 DPL INC OH 5.02,8.01,9.01 02/23/11 DRIL-QUIP INC DE 2.02,9.01 02/28/11 DTS, INC. DE 2.02,9.01 02/28/11 Duff & Phelps Corp DE 1.01,9.01 02/23/11 DUNE ENERGY INC DE 2.02,9.01 02/28/11 E DIGITAL CORP DE 8.01 02/25/11 E TRADE FINANCIAL CORP DE 8.01,9.01 02/23/11 E-Band Media, Inc. DE 4.01,5.03,9.01 02/28/11 EARTH DRAGON RESOURCES INC. 1.01 01/12/11 EASTON-BELL SPORTS, INC. DE 2.02,9.01 02/24/11 EATON CORP OH 5.02 02/22/11 EDIETS COM INC DE 5.02 02/24/11 EDISON INTERNATIONAL CA 2.02,7.01,9.01 02/28/11 EDUCATIONAL DEVELOPMENT CORP DE 8.01,9.01 02/28/11 EMISPHERE TECHNOLOGIES INC DE 1.02,5.02,9.01 02/28/11 ENCORE CAPITAL GROUP INC DE 8.01,9.01 02/28/11 ENDO PHARMACEUTICALS HOLDINGS INC DE 2.02,9.01 02/28/11 Energy Future Holdings Corp /TX/ TX 7.01,9.01 02/28/11 ENERGY XXI (BERMUDA) LTD D0 1.01,2.03,9.01 02/25/11 ENTERTAINMENT PROPERTIES TRUST MD 2.02,9.01 02/28/11 ESCALADE INC IN 2.02,9.01 02/28/11 EXACTECH INC FL 2.02,7.01,9.01 02/28/11 ExlService Holdings, Inc. DE 2.02,9.01 02/28/11 Exmovere Holdings, Inc. NV 4.01 02/23/11 Explortex Energy Inc. NV 1.01,5.02,8.01,9.01 02/28/11 Federal Home Loan Bank of Atlanta X1 5.02,7.01 02/28/11 Federal Home Loan Bank of Dallas 2.03,9.01 02/22/11 FEDERAL HOME LOAN MORTGAGE CORP 7.01,9.01 02/28/11 FIRST COMMUNITY BANCSHARES INC /NV/ NV 7.01,9.01 02/28/11 FIRST PACTRUST BANCORP INC MD 5.03,9.01 02/22/11 FIRST POTOMAC REALTY TRUST MD 5.02,9.01 02/22/11 FIRST SECURITY GROUP INC/TN TN 7.01,9.01 02/28/11 FMC TECHNOLOGIES INC DE 5.02,9.01 02/25/11 Forex International Trading Corp. NV 1.01,2.01,3.02,9.01 02/23/11 AMEND FOSTER L B CO PA 2.01,9.01 02/28/11 AMEND FRANKLIN ELECTRIC CO INC IN 2.05,9.01 01/01/11 Fresh Traffic Group Inc. NV 5.02 02/25/11 FTI CONSULTING INC MD 7.01,9.01 02/24/11 FUNCTION (X) INC. TX 1.01,5.02,9.01 02/15/11 AMEND GAIN Capital Holdings, Inc. DE 5.02 02/23/11 Game Face Gaming, Inc. FL 1.01,2.01,9.01 02/22/11 GASTAR EXPLORATION LTD 7.01,9.01 02/28/11 GENESIS GROUP HOLDINGS INC 1.02,8.01 02/28/11 GENTIVA HEALTH SERVICES INC DE 5.02,9.01 02/23/11 GLOBAL INDUSTRIES LTD LA 5.02 02/28/11 GOLDFIELD CORP DE 1.01,2.03,9.01 02/22/11 Great Wolf Resorts, Inc. DE 5.02 02/23/11 GREENWORLD DEVELOPMENT, INC. DE 5.02 02/28/11 Guaranty Bancorp DE 5.02,9.01 02/28/11 GUARANTY FEDERAL BANCSHARES INC DE 5.02,9.01 02/23/11 HARSCO CORP DE 5.02 02/22/11 HAWKER BEECHCRAFT ACQUISITION CO LLC DE 5.02,9.01 02/28/11 HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 02/28/11 HCW PENSION REAL ESTATE FUND LTD PART MA 1.02 02/24/11 HEALTH CARE REIT INC /DE/ DE 1.01,7.01,9.01 02/28/10 HEALTH CARE REIT INC /DE/ DE 8.01,9.01 02/28/11 HEALTH DISCOVERY CORP 2Q 5.02 02/22/11 Helios & Matheson North America Inc. DE 5.02 02/28/11 HERCULES OFFSHORE, INC. DE 7.01,9.01 02/28/11 HICKORY TECH CORP MN 2.02,7.01,9.01 02/28/11 Hoku Corp DE 5.02,9.01 02/28/11 Homeland Security Capital CORP DE 5.02,9.01 02/22/11 HOOPER HOLMES INC NY 1.01,9.01 02/25/11 Horiyoshi Worldwide Inc. NV 1.01,9.01 01/01/11 HOVNANIAN ENTERPRISES INC DE 5.02 02/28/11 IDENIX PHARMACEUTICALS INC 2.02,9.01 02/28/11 Idle Media, Inc. NV 4.02 02/28/11 IMAGENETIX INC /NV/ NV 2.02,9.01 02/25/11 ImmunoCellular Therapeutics, Ltd. DE 1.01,3.02,5.02,9.01 02/22/11 IMPAX LABORATORIES INC DE 4.01 02/28/11 INSIGNIA SYSTEMS INC/MN MN 2.02,5.02,8.01,9.01 02/22/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 2.02,9.01 02/28/11 INTEGRATED ELECTRICAL SERVICES INC DE 8.01,9.01 02/22/11 INTEL CORP DE 2.01,7.01,9.01 02/28/11 INTERFACE INC GA 7.01,9.01 02/28/11 INTERGROUP CORP DE 5.07 02/23/11 INTERNATIONAL BANCSHARES CORP TX 2.02,9.01 02/28/11 International Stem Cell CORP 1.01,9.01 02/25/11 Investors Heritage Capital Corp KY 5.04 02/28/11 IRIS INTERNATIONAL INC DE 2.02,9.01 02/28/11 ISIS PHARMACEUTICALS INC DE 2.02,9.01 02/28/11 ISLE OF CAPRI CASINOS INC DE 2.02,9.01 02/28/11 ITT Corp IN 8.01 02/23/11 J C PENNEY CO INC DE 5.02,5.03,9.01 02/22/11 JDA SOFTWARE GROUP INC DE 8.01 02/25/11 JENNIFER CONVERTIBLES INC DE 1.01,1.02,1.03,2.03, 02/22/11 3.02,3.03,5.01,5.02, 9.01 JENNIFER CONVERTIBLES INC DE 5.03,8.01,9.01 02/22/11 Jiangbo Pharmaceuticals, Inc. FL 2.02,9.01 02/23/11 KAMAN CORP CT 2.02,9.01 02/28/11 KENTUCKY BANCSHARES INC /KY/ KY 2.02,9.01 02/28/11 KeyOn Communications Holdings Inc. DE 3.02,9.01 02/23/11 KINDER MORGAN ENERGY PARTNERS L P DE 1.01,9.01 02/25/11 KINETIC CONCEPTS INC TX 8.01 02/28/11 KMP Futures Fund I LLC DE 8.01,9.01 02/28/11 KNOT INC DE 1.01,1.02,8.01,9.01 02/25/11 KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 02/27/11 KVH INDUSTRIES INC \DE\ DE 5.02 02/22/11 LAPOLLA INDUSTRIES INC DE 1.01,3.02,5.02,9.01 02/22/11 LEAPFROG ENTERPRISES INC 5.02,8.01,9.01 02/27/11 LEFT BEHIND GAMES INC. WA 7.01,9.01 02/28/11 LEMAITRE VASCULAR INC 2.02,9.01 02/28/11 Live Nation Entertainment, Inc. DE 2.02,9.01 02/28/11 LKQ CORP DE 5.02 02/28/11 LMI AEROSPACE INC MO 1.01,5.02,9.01 02/22/11 MACQUARIE/FIRST TRUST GLOBAL INFRASTR 7.01,9.01 02/28/11 MAGNETEK, INC. DE 5.02 02/25/11 Majestic Capital, Ltd. 8.01,9.01 02/28/11 Manitex International, Inc. MI 7.01,9.01 02/28/11 MARATHON OIL CORP DE 5.03 02/23/11 MAXWELL TECHNOLOGIES INC DE 3.02 02/24/11 MB FINANCIAL INC /MD MD 7.01 02/28/11 McAfee, Inc. DE 1.02,2.01,3.01,3.03, 02/28/11 5.01,5.02,5.03,9.01 MCKESSON CORP DE 1.01,2.03,9.01 02/28/11 MCMORAN EXPLORATION CO /DE/ DE 8.01,9.01 12/31/10 METALICO INC 7.01,9.01 02/28/11 MINE SAFETY APPLIANCES CO PA 2.02,9.01 02/28/11 MOBILE MINI INC DE 2.02,9.01 02/28/11 MOLLER INTERNATIONAL INC CA 1.01 02/25/11 MOMENTA PHARMACEUTICALS INC DE 5.02,9.01 02/28/11 Monarch Financial Holdings, Inc. VA 8.01,9.01 02/28/11 Morningstar, Inc. IL 4.01,9.01 02/28/11 MOVE INC DE 8.01 02/22/11 MS STRUCTURED ASSET CORP CBT SERIES 2 DE 8.01,9.01 02/25/11 MYRIAD GENETICS INC DE 5.03,9.01 02/23/11 NATIONAL PATENT DEVELOPMENT CORP DE 5.02 02/24/11 NATIONWIDE HEALTH PROPERTIES INC MD 2.02,9.01 02/28/11 NATIONWIDE HEALTH PROPERTIES INC MD 1.01,8.01,9.01 02/27/11 Nature's Call Brands Inc. NV 5.02 02/28/11 New Generation Biofuels Holdings, Inc FL 5.02 02/28/11 NEXT FUEL, INC. NV 1.01,5.01,9.01 02/28/11 NORDSTROM INC WA 8.01 02/28/11 NORDSTROM INC WA 5.02 02/23/11 NORFOLK SOUTHERN CORP VA 5.02,5.03 02/28/11 NORTHWESTERN CORP DE 7.01,9.01 02/28/11 OCEANEERING INTERNATIONAL INC DE 5.02,9.01 02/25/11 OMNI BIO PHARMACEUTICAL, INC. CO 7.01,9.01 02/24/11 OMNI BIO PHARMACEUTICAL, INC. CO 7.01,9.01 02/28/11 ON SEMICONDUCTOR CORP DE 8.01,9.01 02/27/11 OneBeacon Insurance Group, Ltd. D0 5.02,9.01 02/22/11 OneBeacon Insurance Group, Ltd. D0 5.02,9.01 02/22/11 AMEND ORAMED PHARMACEUTICALS INC. NV 5.07 02/28/11 ORAMED PHARMACEUTICALS INC. NV 1.01,9.01 02/28/11 OVERSTOCK.COM, INC DE 2.02,9.01 02/28/11 PAPA JOHNS INTERNATIONAL INC DE 5.02,7.01,9.01 02/28/11 PARAMETRIC TECHNOLOGY CORP MA 7.01 02/28/11 PAULSON CAPITAL CORP OR 8.01,9.01 02/28/11 PDI INC 5.02 01/07/11 AMEND PDL BIOPHARMA, INC. DE 8.01,9.01 02/25/11 PDL BIOPHARMA, INC. DE 2.02,7.01,9.01 02/28/11 PEABODY ENERGY CORP DE 2.02 02/28/11 PERRY ELLIS INTERNATIONAL INC FL 8.01,9.01 02/28/11 PERRY ELLIS INTERNATIONAL INC FL 8.01,9.01 02/28/11 PHH CORP MD 2.02,9.01 02/28/11 PHOENIX COMPANIES INC/DE DE 2.02,9.01 12/31/10 PIONEER BANKSHARES INC/VA 2.02,9.01 02/28/11 PPL Corp 4.01,9.01 11/01/10 AMEND PRAXAIR INC DE 5.02,8.01,9.01 02/22/11 PRECISION OPTICS CORPORATION INC MA 1.01,9.01 02/25/11 Prime Sun Power Inc NV 8.01 02/25/11 Public Storage MD 2.02,9.01 02/25/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.02 02/22/11 QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 02/24/11 QUICKSILVER RESOURCES INC DE 2.02,9.01 02/28/11 QUINSTREET, INC CA 7.01 02/28/11 RAYMOND JAMES FINANCIAL INC FL 5.02,5.07,7.01,9.01 02/28/11 REGENERON PHARMACEUTICALS INC NY 8.01,9.01 02/28/11 REGIONS FINANCIAL CORP DE 8.01,9.01 02/28/11 REMEDENT, INC. NV 7.01,9.01 02/23/11 REVA Medical, Inc. DE 7.01,9.01 02/28/11 REVA Medical, Inc. DE 2.02,7.01,9.01 02/28/11 RIMAGE CORP MN 2.02,5.02,8.01,9.01 02/23/11 RLJ Acquisition, Inc. NV 8.01,9.01 02/22/11 ROLLINS INC DE 7.01,9.01 02/23/11 ROSETTA STONE INC 2.02,7.01,8.01,9.01 02/28/11 ROTECH HEALTHCARE INC DE 2.02,9.01 02/28/11 ROYAL GOLD INC DE 8.01,9.01 02/28/11 SANTA FE FINANCIAL CORP NV 5.07 02/24/11 SANTARUS INC DE 8.01,9.01 02/28/11 SAVANNA EAST AFRICA, INC. NV 9.01 02/28/11 AMEND SELECT MEDICAL HOLDINGS CORP 7.01,9.01 02/28/11 Sequoia Mortgage Trust 2011-1 MD 8.01,9.01 02/01/11 Shire plc 8.01,9.01 02/28/11 SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 02/28/11 Skinny Nutritional Corp. NV 1.01,3.02,8.01 02/25/11 SMART BALANCE, INC. DE 1.01 02/23/11 SOLUTIA INC DE 5.02,9.01 02/24/11 SONUS NETWORKS INC DE 2.02,9.01 02/28/11 SOONER HOLDINGS INC /OK/ OK 4.01,5.03,9.01 02/28/11 SOUTH JERSEY INDUSTRIES INC NJ 2.02,7.01,9.01 02/28/11 SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 02/28/11 SOUTHWEST GAS CORP CA 2.02 02/28/11 SPRINT NEXTEL CORP KS 5.02 02/23/11 SPRINT NEXTEL CORP KS 5.02 02/23/11 AMEND SPRINT NEXTEL CORP KS 5.02 02/23/11 AMEND STANFORD MANAGEMENT LTD DE 2.01,3.02,5.01,5.02, 02/18/11 5.03,5.06,9.01 STANFORD MANAGEMENT LTD DE 2.01,3.02,5.01,5.02, 02/18/11 5.03,5.06,9.01 Stereotaxis, Inc. DE 2.02,9.01 02/28/11 SUNOCO INC PA 8.01 02/24/11 SUPERGEN INC DE 2.02,9.01 02/28/11 SUPERIOR UNIFORM GROUP INC FL 3.03,5.03,9.01 02/23/11 Swank, Inc. DE 2.02,9.01 02/24/11 SYKES ENTERPRISES INC FL 2.02,9.01 02/28/11 TEJON RANCH CO DE 2.02,9.01 02/28/11 TELEDYNE TECHNOLOGIES INC DE 1.01,1.02,2.03,9.01 02/25/11 TGC INDUSTRIES INC TX 2.02,9.01 02/28/11 THOMAS & BETTS CORP TN 5.02,9.01 02/28/11 Timberline Resources Corp DE 1.01,7.01,9.01 02/28/11 TIME WARNER CABLE INC. DE 5.04,9.01 02/22/11 TITANIUM METALS CORP DE 2.02,7.01,9.01 02/28/11 TNS INC 2.02,7.01,9.01 02/28/11 Tornier N.V. P7 5.02 02/22/11 TRANS1 INC 5.02 02/22/11 TreeHouse Foods, Inc. DE 2.05,9.01 02/28/11 TREX CO INC DE 2.02,9.01 02/28/11 TRIMAS CORP DE 2.02,9.01 02/28/11 Trius Therapeutics Inc DE 8.01,9.01 02/28/11 TYSON FOODS INC DE 1.01,2.03,9.01 02/28/11 AMEND U.S. Auto Parts Network, Inc. DE 2.02,9.01 02/28/11 UNISOURCE ENERGY CORP AZ 2.02,9.01 02/28/11 UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 02/28/11 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 02/28/11 URS CORP /NEW/ DE 1.01,2.02,8.01,9.01 02/28/11 US GEOTHERMAL INC DE 1.01,7.01,9.01 02/28/11 USA Mobility, Inc DE 7.01,9.01 02/24/11 VALIDUS HOLDINGS LTD 2.02,9.01 02/28/11 Vanguard Natural Resources, LLC DE 5.02 02/28/11 VARIAN MEDICAL SYSTEMS INC DE 1.01,2.03,9.01 02/23/11 VENTAS INC DE 1.01,7.01,9.01 02/27/11 VERISIGN INC/CA DE 2.02,9.01 02/28/11 Verisk Analytics, Inc. DE 2.02,9.01 02/28/11 VERSAR INC DE 5.02,9.01 02/10/11 AMEND Viacom Inc. DE 8.01,9.01 02/28/11 VISHAY INTERTECHNOLOGY INC DE 1.01,5.02,9.01 02/23/11 VISTA GOLD CORP B0 8.01 02/22/11 Vitacost.com, Inc. DE 3.01,5.02,9.01 02/22/11 Vitamin Shoppe, Inc. DE 1.01,5.02,8.01,9.01 02/22/11 VIVUS INC CA 2.02,9.01 02/28/11 Voyager Oil & Gas, Inc. DE 8.01,9.01 02/28/11 VSUS TECHNOLOGIES INC DE 1.01,5.02 02/28/11 W R GRACE & CO DE 5.02,9.01 02/24/11 WABASH NATIONAL CORP /DE DE 5.02 02/23/11 WaferGen Bio-systems, Inc. 5.02,7.01,9.01 02/23/11 WARNACO GROUP INC /DE/ DE 2.02,9.01 02/28/11 Warner Music Group Corp. DE 5.07 02/22/11 WASTE MANAGEMENT INC DE 1.01,8.01,9.01 02/23/11 WELLS FARGO & CO/MN DE 5.02,9.01 02/22/11 WELLS REAL ESTATE INVESTMENT TRUST II MD 1.01 02/22/11 WESCO FINANCIAL CORP CA 2.02,9.01 02/26/11 Western Gas Partners LP DE 2.01 02/28/11 WESTFIELD FINANCIAL INC MA 8.01 02/25/11 WESTWOOD ONE INC /DE/ DE 3.02 02/28/11 Whitestone REIT TX 2.02,7.01,9.01 02/28/11 WILSHIRE ENTERPRISES INC DE 5.07,8.01 02/25/11 WINMARK CORP MN 5.02,8.01,9.01 02/28/11 WINNER MEDICAL GROUP INC NV 8.01,9.01 02/28/11 WINNER MEDICAL GROUP INC NV 7.01,9.01 02/28/11 WISCONSIN ENERGY CORP WI 8.01 02/28/11 World Monitor Trust III - Series J DE 8.01,9.01 02/28/11 WYNN RESORTS LTD 1.01,5.02,9.01 02/24/11 XCEL ENERGY INC MN 5.02,9.01 02/23/11 YELLOWCAKE MINING INC. NV 1.01,3.02,5.01,5.02, 12/01/10 AMEND 9.01 YouChange Holdings Corp NV 1.01,1.02,9.01 02/25/11 YRC Worldwide Inc. DE 1.01,9.01 02/28/11