Securities and Exchange Commission Suspends Trading in the Securities of Eight Issuers for Failure to Make Required Periodic Filings
The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EST on March 9, 2011 and terminating at 11:59 p.m. EDT on March 22, 2011.
The Commission temporarily suspended trading in the securities of these eight issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act).
The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies.
Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64062)
SEC Office of the Chief Accountant and Division of Corporation Finance Release Staff Accounting Bulletin
On March 7, 2011, the Office of the Chief Accountant and the Division of Corporation Finance of the U.S. Securities and Exchange Commission issued Staff Accounting Bulletin (SAB) No. 114. This SAB revises or rescinds portions of the interpretive guidance included in the codification of the SAB Series.
This update is intended to make the relevant interpretive guidance consistent with current authoritative accounting guidance issued as part of the Financial Accounting Standards Board’s Accounting Standards Codification. The principal changes involve revision or removal of accounting guidance references and other conforming changes to ensure consistency of referencing throughout the SAB Series.
The statements in a SAB are not rules or interpretations of the Commission, nor are they published as bearing the Commission’s official approval. They represent interpretations and practices followed by the Division of Corporation Finance and the Office of the Chief Accountant in administering the disclosure requirements of the Federal securities laws.
Commission Orders Hearings on Registration Suspension or Revocation Against Eight Companies for Failure to Make Required Periodic Filings
In conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission.
In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64063; File No. 3-14289)
Delinquent Filer’s Stock Registration Revoked
The registration of the registered securities of Eternal Technologies Group, Inc., has been revoked. The company had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, the company 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 revocation was ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64064; File No. 3-14213)
In the Matter of Timothy Smith
On March 9, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions (Order) against Timothy Smith (Smith). The Order finds that Smith was First Vice President and then promoted to President, at Jadis Capital, Inc., a New York corporation. Jadis Capital was the sole owner of Jadis Investments, LLC (Jadis Investments), a Delaware limited liability company and Uniondale, Long Island-based investment adviser registered with the Commission.
The Order further finds that Smith pled guilty to conspiracy to commit securities fraud, in violation of Title 18 United States Code, Section 371 before the United States District Court for the Eastern District of New York. On Oct. 29, 2010, 2010, a judgment was entered against Smith. He was sentenced to 5 years probation and 250 hours of community service and ordered to make restitution in the amount of $3,303,207.99.
Based on the above, the Order bars Smith from association with any investment adviser. Smith consented to the issuance of the Order without admitting or denying any of the findings in the Order, except for the Commission’s jurisdiction over him and the subject matter of the proceedings and his criminal conviction, which he admitted. (Rel. IA-3171; File No. 3-14290)
SEC v. Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al.
On March 7, 2011, the SEC obtained an emergency court order freezing the assets of Jason Bo-Alan Beckman, of Plymouth, Minnesota, and his registered investment advisory firm Oxford Private Client Group, LLC, for their role in a massive foreign currency trading scheme that raised at least $194 million from nearly 1,000 investors. The court also entered a freeze order against the assets of Beckman’s wife, Hollie Beckman, who also received investor funds. In addition, the court issued an order appointing a receiver over all of these assets.
The SEC alleges that for their part in the scheme, Beckman and Oxford Private Client Group raised at least $47.3 million from at least 143 investors from August 2006 to July 2009 through a fraudulent, unregistered offering of investments in a purported foreign currency trading venture (the “Currency Program”). According to the SEC’s complaint, Beckman told investors that each investor’s money would be invested in the Currency Program, their money would be held in a segregated account, there was little or no risk to their money, they would receive guaranteed returns ranging from 10.5% to 12% per year, and they could withdraw their money at any time. The SEC alleges that these representations were false. According to the SEC’s complaint, a significant portion of the investors’ funds were never invested in the Currency Program but instead were used to make purported interest and return of principal payments to other investors and also diverted to Beckman and others’ personal accounts. Beckman and his wife Hollie Beckman received approximately $7.7 million of investor funds. None of the funds was ever placed in segregated accounts at banks or foreign currency trading firms and the funds sent to the trading firms sustained significant losses.
The SEC's complaint charges Beckman and Oxford Private Client Group with violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1) and 206(2) of the Investment Advisers Act of 1940. In addition to the emergency relief already obtained, the complaint seeks preliminary and permanent injunctions, disgorgement, and civil penalties from the defendants. The complaint also seeks disgorgement from Hollie Beckman. A hearing on the SEC's motion for preliminary injunction has been set for March 15, 2011 at 9:30 a.m. in Courtroom 15E at 300 South Fourth Street, 202 U.S. Courthouse, Minneapolis, MN.
The SEC acknowledges the assistance of the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority, the National Futures Association, and the Swiss Financial Market Supervisory Authority. [SEC v. Jason Bo-Alan Beckman and Oxford Private Client Group, LLC, et al. Case No. 11 CV 574 MJD/FLN (D. Minn.)] (LR-21879)
StarMedia Co-Founder Agrees to Settlement in SEC Litigation
The U.S. Securities and Exchange Commission today announced that on March 8, 2011, the U.S. District Court for the Southern District of New York entered a settled final judgment as to Defendant Jack C. Chen, a co-founder of StarMedia Network, Inc. and the company’s former President. StarMedia is a former Internet portal based in New York City. The Commission’s amended complaint, filed on Dec. 11, 2008, alleged that for fiscal year 2000 and the first two quarters of fiscal year 2001, StarMedia’s books and records, and its filings with the Commission, misstated the quality and amount of the company’s revenue. The amended complaint also alleged that StarMedia executives made misstatements regarding the company’s revenue to certain entities from which it was attempting to obtain financing. In its amended complaint, the Commission alleged violations of the federal securities laws by eight former StarMedia executives.
Without admitting or denying the allegations in the amended complaint, Chen consented to the entry of the Final Judgment permanently enjoining him from future violations of Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933 and Rule 13b2-1 promulgated under the Securities Exchange Act of 1934, and from aiding and abetting violations of Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Exchange Act Rules 12b-20, 13a-1, and 13a-13, and ordering him to pay a civil penalty in the amount of $100,000. [SEC v. Fernando J. Espuelas et al., Civil Action No. 06 CV 2435 (RJH) (S.D.N.Y.)] (LR-21880; AAE Rel. 3252)
Immediate Effectiveness of Proposed Rule Changes
The Depository Trust Company filed a proposed rule change (SR-DTC-2011-04), which became effective upon filing pursuant to Section 19(b)(3)(A) of the Exchange Act, that amends DTC’s Dividends Service Guide to clarify that: (1) the Domestic Tax Reporting Service is no longer available on the internet or as a computerized file, (2) the tax withholding services that DTC performs relate exclusively to payments processed through DTC, and (3) DTC’s U.S. Tax Withholding Service is available to all non-U.S. entities that are DTC participants. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64044)
A proposed rule change filed by The NASDAQ Stock Market to enhance the Investor Support Program (SR-NASDAQ-2011-034) 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 March 7. (Rel. 34-64050)
A proposed rule change filed by Chicago Board Options Exchange to establish a revenue sharing program with Correlix, Inc. (SR-CBOE-2011-023) 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 March 7. (Rel. 34-64051)
A proposed rule change filed by C2 Options Exchange to establish a revenue sharing program with Correlix, Inc. (SR-C2-2011-010) 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 March 7. (Rel. 34-64052)
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.
N-2 Eaton Vance Preferred Dividend Income Trust, TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 800-225-6265 - 50,000 ($1,000,000.00) Equity, (File 333-172660 - Mar. 8) (BR. 16) S-4 STANDARD PACIFIC CORP /DE/, 26 TECHNOLOGY DRIVE, IRVINE, CA, 92618, 9497891600 - 0 ($675,000,000.00) Non-Convertible Debt, (File 333-172661 - Mar. 8) (BR. 06B) S-3ASR BEST BUY CO INC, 7601 PENN AVE SOUTH, RICHFIELD, MN, 55423, 6122911000 - 0 ($0.00) Debt, (File 333-172662 - Mar. 8) (BR. 02C) S-8 PROGRESSIVE CORP/OH/, 6300 WILSON MILLS RD, MAYFIELD VILLAGE, OH, 44143, 4404615000 - 18,000,000 ($366,030,000.00) Equity, (File 333-172663 - Mar. 8) (BR. 01B) N-2 Special Value Continuation Fund, LLC, 2951 28TH STREET, SUITE 1000, SANTA MONICA, CA, 90405, 310-566-1000 - 0 ($150,000,000.00) Equity, (File 333-172669 - Mar. 8) (BR. 16) S-B HELLENIC REPUBLIC, CHARALAMBOS ROCANAS CONSUL GENERAL, 69 EAST 79TH STREET, NEW YORK, NY, 10021, 0 ($1,693,200,000.00) Debt, (File 333-172670 - Mar. 8) (BR. DN) S-11 Provident Mortgage Capital Associates, Inc., 1633 BAYSHORE HIGHWAY, SUITE 155, BURLINGAME, CA, 94010, 650-652-1300 - 0 ($300,000,000.00) Equity, (File 333-172672 - Mar. 8) (BR. 08) S-8 VILLAGE SUPER MARKET INC, 733 MOUNTAIN AVE, SPRINGFIELD, NJ, 07081, 2014672200 - 1,200,000 ($35,982,000.00) Equity, (File 333-172673 - Mar. 8) (BR. 02A) S-3ASR PENN VIRGINIA CORP, 100 MATSONFORD ROAD SUITE 200, FOUR RADNOR CORPORATE CENTER, RADNOR, PA, 19087, 6106878900 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-172674 - Mar. 8) (BR. 04C) S-1 TYPHOON RESOURCES CORP, 409-3187 SHELBOURNE ST, VICTORIA, A1, V8T3A6, 250-686-1610 - 3,500,000 ($175,000.00) Debt Convertible into Equity, (File 333-172675 - Mar. 8) (BR. ) N-2 JAPAN SMALLER CAPITALIZATION FUND INC, 2 WORLD FINANCIAL CENTER, BUILDING B, 22ND FLOOR, NEW YORK, NY, 10281-1712, 8008330018 - 0 ($1,000,000.00) Other, (File 333-172676 - Mar. 8) (BR. 17) S-8 SuccessFactors, Inc., 1500 FASHION ISLAND BLVD., SUITE 300, SAN MATEO, CA, 94404, (650) 645-2000 - 3,884,721 ($136,431,401.52) Equity, (File 333-172677 - Mar. 8) (BR. 03C)
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 ABM INDUSTRIES INC /DE/ DE 2.02,7.01,8.01,9.01 03/07/11 ACELRX PHARMACEUTICALS INC DE 5.02 03/02/11 ACI WORLDWIDE, INC. DE 7.01,9.01 03/08/11 Activision Blizzard, Inc. DE 5.02 03/02/11 ADAMS GOLF INC DE 2.02,9.01 03/08/11 AeroVironment Inc DE 2.02,9.01 03/08/11 ALEXANDERS J CORP TN 2.02,7.01,9.01 03/08/11 ALLERGAN INC DE 5.02,9.01 03/02/11 Alon USA Energy, Inc. DE 1.01 03/01/11 Alpha Natural Resources, Inc. DE 8.01 03/08/11 Altra Holdings, Inc. DE 8.01,9.01 03/08/11 AMEDISYS INC DE 7.01,9.01 03/08/11 AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 03/08/11 American Energy Fields, Inc. DE 1.01,3.02,9.01 03/04/11 AMERICAN PACIFIC CORP DE 7.01,9.01 03/08/11 AMERICAN RIVER BANKSHARES CA 7.01,9.01 03/08/11 AMERICAN TOWER CORP /MA/ DE 8.01,9.01 03/08/11 AMICUS THERAPEUTICS INC DE 5.02 03/04/11 AMN HEALTHCARE SERVICES INC DE 2.02,9.01 03/08/11 AMREP CORP. OK 2.02,9.01 03/07/11 ANHUI TAIYANG POULTY CO INC DE 1.01,3.02,9.01 03/07/11 Animal Health International, Inc. DE 1.01,9.01 01/01/11 AON CORP DE 1.01,2.03,9.01 03/08/11 APACHE CORP DE 5.02,9.01 02/21/11 AMEND Apple REIT Ten, Inc. VA 2.01,9.01 03/04/11 APRICUS BIOSCIENCES, INC. NV 2.02,9.01 03/08/11 Argo Group International Holdings, Lt 7.01,9.01 03/08/11 ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/07/11 ASPA Gold Corp NV 1.01,3.02,5.02,9.01 01/18/11 ASSISTED LIVING CONCEPTS INC NV 5.02,9.01 03/02/11 AVON PRODUCTS INC NY 5.02,9.01 03/02/11 Bakhu Holdings, Corp. NV 5.02 03/08/11 Bancorp, Inc. 8.01,9.01 03/08/11 Bank of New York Mellon CORP DE 5.02 03/02/11 BankFinancial CORP 7.01,9.01 03/07/11 BARNWELL INDUSTRIES INC DE 5.07 03/07/11 BARRETT BUSINESS SERVICES INC MD 2.02,9.01 03/04/11 BEACON POWER CORP DE 5.02,9.01 03/04/11 BELO CORP DE 5.02,9.01 03/03/11 BERKSHIRE INCOME REALTY INC 1.01 03/08/11 BIOMARIN PHARMACEUTICAL INC DE 5.02 03/02/11 BlackRock Kelso Capital CORP DE 2.02,9.01 03/08/11 Bluefire Renewables, Inc. NV 1.01,5.02,9.01 03/01/11 BOSTON BEER CO INC MA 2.02,9.01 03/08/11 BRANDYWINE REALTY TRUST MD 5.02,9.01 03/02/11 Bridge Capital Holdings CA 2.02,9.01 03/08/11 BROWN FORMAN CORP DE 2.02,9.01 03/08/11 Bullion Monarch Mining, Inc. (NEW) UT 1.01,2.01,3.02,9.01 03/02/11 CADUCEUS SOFTWARE SYSTEMS CORP. NV 8.01 03/03/11 Cape Bancorp, Inc. MD 8.01,9.01 03/08/11 CAPSALUS CORP NV 1.01,2.01,3.02,7.01, 01/26/11 9.01 CARDINAL FINANCIAL CORP VA 7.01,9.01 03/08/11 CARDIO VASCULAR MEDICAL DEVICE CORP DE 4.01 03/02/11 AMEND CARMIKE CINEMAS INC DE 2.02,9.01 03/08/11 CASEYS GENERAL STORES INC IA 2.02,9.01 03/08/11 CASTLE A M & CO MD 2.02,5.02,9.01 03/02/11 CATALYST PHARMACEUTICAL PARTNERS, INC DE 1.01,9.01 03/08/11 CB RICHARD ELLIS GROUP INC DE 7.01,9.01 03/08/11 CENTRAL VERMONT PUBLIC SERVICE CORP VT 8.01,9.01 03/02/11 Chemtura CORP DE 2.01,9.01 03/07/11 CHENIERE ENERGY INC DE 8.01 03/07/11 CHENIERE ENERGY INC DE 5.02,9.01 03/02/11 Cheniere Energy Partners, L.P. DE 8.01 03/07/11 CHESAPEAKE UTILITIES CORP DE 2.02,9.01 03/07/11 China Information Technology, Inc. 2.02,9.01 03/08/11 China Internet Caf? Holdings Group, I 8.01,9.01 03/08/11 CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01,9.01 03/08/11 CHINA SUN GROUP HIGH-TECH CO NC 9.01 03/07/11 AMEND ChinaNet Online Holdings, Inc. NV 8.01,9.01 03/08/11 CIGNA CORP DE 8.01,9.01 03/02/11 CLAIBORNE LIZ INC DE 7.01,9.01 03/08/11 CLAIMSNET COM INC DE 1.01,2.03,9.01 03/02/11 CLIFFS NATURAL RESOURCES INC. OH 1.01,2.03,9.01 03/04/11 CNL Macquarie Global Growth Trust, In MD 7.01 03/07/11 Cogdell Spencer Inc. MD 7.01 03/08/11 Converted Organics Inc. DE 1.01,2.03,9.01 03/07/11 CRAY INC WA 8.01 03/07/11 CRYOLIFE INC FL 1.01 03/02/11 DCP Midstream Partners, LP DE 7.01,9.01 03/07/11 Deep Down, Inc. NV 1.01,9.01 03/03/11 DEL MONTE FOODS CO DE 8.01,9.01 03/08/11 DELCATH SYSTEMS INC DE 7.01,9.01 03/08/11 DELL INC DE 5.02 03/02/11 DELUXE CORP MN 8.01,9.01 03/08/11 Diamond Foods Inc DE 2.02,5.02,7.01,9.01 03/04/11 DICKS SPORTING GOODS INC DE 2.02,7.01,9.01 03/08/11 DIGITAL POWER CORP CA 2.02,9.01 03/03/11 Digital Realty Trust, Inc. 1.01,8.01,9.01 03/08/11 DITECH NETWORKS INC DE 2.02,9.01 03/08/11 DJSP Enterprises, Inc. D8 3.01,9.01 03/08/11 DOLPHIN DIGITAL MEDIA INC NV 4.01,9.01 02/24/11 DOUBLE EAGLE PETROLEUM CO MD 2.02,7.01,9.01 03/08/11 DOUGLAS DYNAMICS, INC DE 2.02,9.01 03/08/11 DOUGLAS DYNAMICS, INC DE 5.02 03/02/11 Dresser-Rand Group Inc. DE 8.01,9.01 03/08/11 DRINKS AMERICAS HOLDINGS, LTD DE 8.01 03/07/11 DUPONT E I DE NEMOURS & CO DE 5.02 03/02/11 DUPONT FABROS TECHNOLOGY, INC. MD 1.01,8.01,9.01 03/03/11 DYNEGY INC. DE 2.02,7.01,9.01 03/08/11 EAGLE BANCORP INC MD 8.01,9.01 03/08/11 Eagle Bulk Shipping Inc. 4.01 03/07/11 AMEND EASTMAN CHEMICAL CO DE 8.01 03/07/11 EDGAR ONLINE INC DE 5.02,8.01,9.01 03/01/11 Ellington Financial LLC DE 7.01,9.01 03/07/11 EMC INSURANCE GROUP INC IA 7.01,9.01 03/08/11 EMCORE CORP NJ 5.02,9.01 03/02/11 Emdeon Inc. DE 2.02,9.01 03/08/11 EMERITUS CORP\WA\ WA 2.02,9.01 03/08/11 EnergyConnect Group Inc OR 5.02 03/02/11 Ensco plc 8.01,9.01 03/07/11 Entertainment Gaming Asia Inc. NV 1.01,8.01,9.01 03/04/11 ENZO BIOCHEM INC NY 5.02,8.01 03/03/11 EVOLVING SYSTEMS INC DE 2.02,9.01 03/08/11 ExamWorks Group, Inc. DE 2.02,9.01 03/03/11 EXPRESS SCRIPTS INC DE 1.01,1.02,3.03,9.01 03/07/11 EXPRESS SCRIPTS INC DE 5.02,9.01 03/02/11 EZENIA INC DE 5.02,8.01 03/04/11 Federal Home Loan Bank of Atlanta X1 2.03 03/08/11 Federal Home Loan Bank of Boston X1 2.03 03/03/11 Federal Home Loan Bank of Chicago X1 2.03 03/02/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/04/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/08/11 Federal Home Loan Bank of New York X1 2.03,9.01 03/02/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/02/11 Federal Home Loan Bank of San Francis X1 2.03 03/02/11 Federal Home Loan Bank of Seattle 2.03 03/02/11 Federal Home Loan Bank of Topeka 2.03,9.01 03/02/11 FINISAR CORP DE 2.02,9.01 03/08/11 FIRST BANCSHARES INC /MS/ MS 8.01 03/08/11 First California Financial Group, Inc DE 7.01,9.01 03/08/11 FIRST INDUSTRIAL REALTY TRUST INC MD 8.01,9.01 03/03/11 FIRST MIDWEST BANCORP INC DE 7.01,9.01 03/08/11 FISHER COMMUNICATIONS INC WA 5.02,7.01,8.01,9.01 03/02/11 Florida Bank Group, Inc. FL 1.01,9.01 03/08/11 FOREST OIL CORP NY 5.02 03/03/11 FOUR RIVERS BIOENERGY INC. 8.01,9.01 03/07/11 Freescale Semiconductor Holdings I, L D0 5.02,9.01 03/04/11 FutureFuel Corp. DE 8.01,9.01 03/08/11 GASTAR EXPLORATION LTD 7.01,9.01 03/08/11 GENCOR INDUSTRIES INC DE 5.07 03/08/11 GENESCO INC TN 7.01 03/08/11 GETTY REALTY CORP /MD/ MD 8.01,9.01 03/07/11 GLADSTONE COMMERCIAL CORP MD 2.02,9.01 03/08/11 Global Cash Access Holdings, Inc. DE 2.02,9.01 03/08/11 GLOBAL GREEN HOLDINGS, LTD. WI 5.01,5.02 03/07/11 GOODRICH PETROLEUM CORP DE 1.01,9.01 03/02/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 03/08/11 Green Plains Renewable Energy, Inc. 5.02,9.01 03/02/11 GROUP 1 AUTOMOTIVE INC DE 8.01,9.01 03/07/11 GRUBB & ELLIS CO DE 8.01 03/08/11 Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 03/07/11 GSP-1, Inc. NV 3.02,5.03,9.01 02/15/11 Guardian 8 Holdings 2.01,3.02,5.01,5.02, 11/26/10 AMEND 5.03,5.06,9.01 GUIDED THERAPEUTICS INC DE 8.01,9.01 03/08/11 Guinness Exploration, Inc NV 1.01,2.01,9.01 03/04/11 GYRODYNE CO OF AMERICA INC NY 8.01,9.01 03/07/11 HALOZYME THERAPEUTICS INC DE 7.01,9.01 03/08/11 HARMAN INTERNATIONAL INDUSTRIES INC / DE 5.02 03/07/11 HARMONIC ENERGY, INC. NV 5.02 03/04/11 HARRIS CORP /DE/ DE 2.02,7.01,9.01 03/08/11 HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,1.02,2.03,9.01 03/08/11 HEALTHSOUTH CORP DE 7.01,9.01 03/08/11 HEALTHWAYS, INC DE 5.02,9.01 03/03/11 HERCULES OFFSHORE, INC. DE 1.01,2.03,9.01 03/03/11 HERTZ CORP DE 8.01,9.01 03/07/11 HERTZ GLOBAL HOLDINGS INC 8.01,9.01 03/07/11 HFF, Inc. DE 2.02,9.01 03/07/11 HIGHWATER ETHANOL LLC 5.07 03/04/11 HNI CORP IA 7.01 03/04/11 HOLLY CORP DE 7.01,9.01 03/08/11 Homeowners Choice, Inc. FL 2.02,9.01 03/08/11 HOSPIRA INC DE 5.02,9.01 03/07/11 HOT TOPIC INC /CA/ CA 2.02,9.01 03/07/11 HUNT GLOBAL RESOURCES, INC. CO 1.01,2.01,2.03,3.02, 03/02/11 5.02,7.01,9.01 HUTCHINSON TECHNOLOGY INC MN 2.05,2.06,5.02,9.01 03/03/11 ICAD INC DE 8.01 03/02/11 ICAHN ENTERPRISES L.P. DE 2.02,9.01 03/07/11 ICAHN ENTERPRISES L.P. DE 8.01,9.01 03/07/11 ICEWEB INC DE 1.01,9.01 03/04/11 INDEPENDENT BANK CORP MA 8.01 03/08/11 Innovative Wireless Technologies, Inc DE 1.01,9.01 03/07/11 INTELSAT S.A. N4 2.02,9.01 03/08/11 INTER PARFUMS INC DE 2.02,7.01,8.01,9.01 03/08/11 INTERNATIONAL BUSINESS MACHINES CORP NY 7.01 03/08/11 INTERNATIONAL COMMERCIAL TELEVISION I NV 3.02 03/04/11 Interval Leisure Group, Inc. DE 2.02,9.01 03/08/11 Interval Leisure Group, Inc. DE 5.02,9.01 03/02/11 INVACARE CORP OH 1.01,8.01,9.01 03/07/11 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 03/08/11 IPARTY CORP DE 9.01 03/08/11 AMEND IPAYMENT INC DE 5.02,9.01 03/04/11 ISLE OF CAPRI CASINOS INC DE 1.01,2.03,9.01 03/08/11 JMP Group Inc. DE 7.01 03/08/11 JOHNSON OUTDOORS INC WI 5.07 03/02/11 JOY GLOBAL INC DE 5.07 03/08/11 KENNAMETAL INC PA 5.02,9.01 03/02/11 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/07/11 KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/07/11 KINDER MORGAN MANAGEMENT LLC DE 7.01 03/07/11 KINDER MORGAN MANAGEMENT LLC DE 7.01 03/07/11 KINDER MORGAN, INC. DE 7.01 03/07/11 KINDER MORGAN, INC. DE 7.01 03/07/11 KNOLL INC DE 7.01 03/08/11 Kryptic Entertainment Inc. 8.01,9.01 03/04/11 KV PHARMACEUTICAL CO /DE/ DE 2.02,7.01 03/08/11 LAPIS TECHNOLOGIES INC DE 5.02,8.01 03/02/11 LIBERTY STAR URANIUM & METALS CORP. NV 5.02,9.01 02/14/11 LIFETIME BRANDS, INC DE 5.02,9.01 03/04/11 LIVEPERSON INC DE 7.01 03/08/11 LKQ CORP DE 7.01,9.01 03/07/11 LUNA INNOVATIONS INC DE 2.02,9.01 03/08/11 M WISE INC DE 7.01,9.01 03/08/11 MAGELLAN HEALTH SERVICES INC DE 5.02,9.01 03/03/11 Magnolia Solar Corp NV 8.01,9.01 03/08/11 MAJESCO ENTERTAINMENT CO DE 2.02,5.02,9.01 03/04/11 Market Leader, Inc. WA 2.02,9.01 03/08/11 MARTEN TRANSPORT LTD DE 5.02,9.01 03/02/11 MATERION Corp 5.03,9.01 03/07/11 MAXYGEN INC DE 2.02,9.01 03/08/11 MEDICINOVA INC DE 1.01 03/03/11 MET PRO CORP PA 5.02,9.01 03/08/11 MILLER INDUSTRIES INC /TN/ TN 2.02,8.01,9.01 03/08/11 Molecular Insight Pharmaceuticals, In MA 1.01,1.02,7.01,9.01 03/01/11 MONEYGRAM INTERNATIONAL INC 8.01,9.01 03/08/11 MYR GROUP INC. DE 2.02,9.01 03/08/11 NABI BIOPHARMACEUTICALS DE 2.02,9.01 03/08/11 National Investment Managers Inc. FL 1.01,5.02,7.01,9.01 03/04/11 NATIONAL MENTOR HOLDINGS, INC. DE 5.02 03/03/11 NATIONAL PENN BANCSHARES INC PA 5.02 03/08/11 NAUTILUS, INC. WA 2.02,9.01 03/08/11 NCI BUILDING SYSTEMS INC DE 2.02,9.01 03/08/11 NeoStem, Inc. DE 8.01,9.01 03/04/11 NEW ENERGY TECHNOLOGIES, INC. 7.01,9.01 03/03/11 NEW JERSEY RESOURCES CORP NJ 7.01,9.01 03/08/11 NF Energy Saving Corp DE 2.02,9.01 03/03/11 NGAS Resources Inc A1 1.01 03/07/11 Oasis Petroleum Inc. DE 2.02,9.01 03/08/11 OLD REPUBLIC INTERNATIONAL CORP DE 1.01,2.03,9.01 03/02/11 OMEGA HEALTHCARE INVESTORS INC MD 2.03 03/08/11 Opexa Therapeutics, Inc. TX 2.02,9.01 03/08/11 ORTHOVITA INC 5.02,9.01 03/03/11 Otter Tail Corp MN 1.01,2.03,9.01 03/03/11 OYO GEOSPACE CORP DE 1.01,1.02,2.03,9.01 03/02/11 PAA NATURAL GAS STORAGE LP DE 7.01 03/08/11 PACIFIC CAPITAL BANCORP /CA/ DE 5.02,9.01 03/03/11 PACIFIC PREMIER BANCORP INC DE 7.01,9.01 03/08/11 PAN AMERICAN GOLDFIELDS LTD DE 1.01,3.02,5.02,9.01 03/08/11 PDL BIOPHARMA, INC. DE 7.01,9.01 03/08/11 PDL BIOPHARMA, INC. DE 8.01,9.01 03/08/11 PEOPLES BANCORP INC OH 5.02,8.01,9.01 03/08/11 AMEND PERRY ELLIS INTERNATIONAL INC FL 8.01,9.01 03/08/11 PERRY ELLIS INTERNATIONAL INC FL 1.01,9.01 03/02/11 Pet Airways Inc. IL 7.01,9.01 03/08/11 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 03/08/11 Point.360 CA 2.03,9.01 03/07/11 PREMIER HOLDING CORP. NV 3.02,5.06 03/08/11 PRICESMART INC DE 2.02,9.01 03/08/11 PROASSURANCE CORP DE 7.01,9.01 03/08/11 PROTEONOMIX, INC. DE 1.01,9.01 03/08/11 QUIDEL CORP /DE/ DE 5.02,9.01 03/02/11 RADIO ONE, INC. DE 2.02,9.01 03/03/11 REGEN BIOLOGICS INC DE 5.02 03/04/11 Resolute Energy Corp DE 8.01,9.01 03/04/11 REX ENERGY CORP DE 8.01,9.01 03/08/11 ROMA FINANCIAL CORP X1 2.02,9.01 03/08/11 ROYAL MINES & MINERALS CORP NV 7.01,9.01 03/07/11 RVUE HOLDINGS, INC. NV 7.01,9.01 03/07/11 Sabine Pass LNG, L.P. DE 8.01 03/07/11 SAFEWAY INC DE 2.02,8.01,9.01 03/08/11 SBT Bancorp, Inc. CT 5.02 03/03/11 SCBT FINANCIAL CORP SC 5.02 03/07/11 SECTOR 10 INC DE 5.02,5.07,8.01,9.01 03/03/11 SEQUENOM INC DE 2.02,9.01 03/08/11 Shengkai Innovations, Inc. FL 7.01,9.01 03/07/11 SIERRA MONITOR CORP /CA/ CA 2.02,9.01 03/08/11 SIGMATRON INTERNATIONAL INC DE 2.02,9.01 03/08/11 SMART ONLINE INC DE 2.03,3.02 03/04/11 SMITHFIELD FOODS INC VA 5.02 03/02/11 SMUCKER J M CO OH 5.02,8.01,9.01 03/08/11 SONIC FOUNDRY INC MD 5.07 03/03/11 SONO TEK CORP NY 7.01,9.01 03/08/11 SOUTHERN CONNECTICUT BANCORP INC CT 8.01,9.01 03/02/11 SOUTHERN FIRST BANCSHARES INC SC 5.02,9.01 03/08/11 SPARTON CORP OH 7.01,9.01 03/04/11 SRI SURGICAL EXPRESS INC FL 2.02,9.01 03/07/11 ST JOE CO FL 5.02,9.01 03/04/11 STANDARD PARKING CORP DE 8.01 03/07/11 STERLING FINANCIAL CORP /WA/ WA 7.01,9.01 03/08/11 STIFEL FINANCIAL CORP DE 8.01,9.01 03/08/11 STRATEGIC DIAGNOSTICS INC/DE/ DE 5.02 03/01/11 Subprime Advantage, Inc. NV 1.01,3.02 03/08/11 SuccessFactors, Inc. DE 2.02,9.01 03/02/10 SUN COMMUNITIES INC MD 1.01,5.02 03/07/11 SUN HYDRAULICS CORP FL 2.02,5.03,8.01,9.01 03/05/11 SYMS CORP NJ 1.01,9.01 03/03/11 SYNERGETICS USA INC 5.02 03/03/11 SYNOVIS LIFE TECHNOLOGIES INC MN 5.07 03/03/11 TALEO CORP DE 5.02 03/02/11 Teaching Time, Inc. FL 4.01,9.01 03/02/11 TEAM HEALTH HOLDINGS INC. DE 8.01,9.01 03/02/11 TESORO CORP /NEW/ DE 5.02 03/04/11 TEXAS INSTRUMENTS INC DE 7.01,9.01 03/08/11 THOMAS GROUP INC DE 5.02 03/03/11 TIMBERLAND CO DE 5.02 03/02/11 TIVO INC DE 8.01,9.01 03/08/11 TOWER BANCORP INC PA 5.02 01/25/11 AMEND TRANSACT TECHNOLOGIES INC DE 2.02,9.01 03/08/11 TRANSATLANTIC PETROLEUM LTD. D0 1.01,9.01 03/03/11 Tyco Electronics Ltd. V8 5.03,9.01 03/08/11 Tycore Ventures Inc NV 5.03,8.01,9.01 02/07/11 U S GOLD CORP CO 7.01,9.01 03/08/11 UFP TECHNOLOGIES INC DE 1.01,5.02,9.01 03/02/11 United Continental Holdings, Inc. DE 7.01,9.01 03/07/11 UNITED REFINING CO PA 8.01,9.01 03/08/11 UNIVERSAL DISPLAY CORP \PA\ PA 3.02 03/08/11 UNIVERSAL TECHNICAL INSTITUTE INC DE 5.02,9.01 03/07/11 US ECOLOGY, INC. DE 2.02,9.01 03/08/11 USA Mobility, Inc DE 7.01,9.01 03/04/11 VERAMARK TECHNOLOGIES INC DE 5.02,9.01 03/02/11 VERIFONE SYSTEMS, INC. DE 8.01 03/08/11 VMWARE, INC. DE 5.03,9.01 03/02/11 Vringo Inc DE 8.01,9.01 03/08/11 WALTER INVESTMENT MANAGEMENT CORP MD 8.01,9.01 03/07/11 WALTER INVESTMENT MANAGEMENT CORP MD 2.02,7.01,9.01 03/08/11 WARREN RESOURCES INC MD 5.02 03/04/11 WatchIt Technologies Inc. TX 5.03,8.01,9.01 03/08/11 WELLS MID-HORIZON VALUE-ADDED FUND I 7.01,9.01 03/08/11 WindTamer Corp NY 5.02 03/02/11 XETA TECHNOLOGIES INC OK 2.02,9.01 03/07/11 Z3 ENTERPRISES, INC. NV 5.06 09/02/10 AMEND ZAP CA 5.02,9.01 02/28/11 ZIPREALTY INC 2.02,9.01 03/08/11