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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-47
March 10, 2011

Commission Announcements

Securities and Exchange Commission Suspends Trading in the Securities of Five 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 10, 2011 and terminating at 11:59 p.m. EDT on March 23, 2011.

  • Admiralty Holding Co. (ADMH)
  • American Consolidated Management Group, Inc. (ACMI)
  • DnC Multimedia Corp. (DCNMQ)
  • Dorsey Trailers, Inc. (n/k/a DT Liquidation, Inc.) (DSYT)
  • ElectraCapital, Inc. (a/k/a Electra Capital, Inc.) (ECTA)

The Commission temporarily suspended trading in the securities of these five 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. 34-64067)

Rose Romero, Director of Fort Worth Regional Office, to Leave SEC

On March 9, 2011, the Securities and Exchange Commission announced that Rose Romero, Director of the SEC’s Fort Worth Regional Office, will be leaving the agency in mid-April after 21 years of government service as a federal prosecutor and securities regulator.

As Regional Director in Fort Worth since March 2006, Ms. Romero oversaw all aspects of the office’s operations including its enforcement, regulation, and litigation programs. She is planning to practice law in the private sector. Prior to joining the SEC staff, Ms. Romero served for 16 years as an Assistant U.S. Attorney in the Northern District of Texas.

Robert Khuzami, Director of the SEC’s Division of Enforcement, said, “I want to thank Rose for her years of dedicated service to the law enforcement in general, and her leadership of the SEC’s Fort Worth Regional Office in particular. The many successful cases brought by the Fort Worth office are a testament to her commitment and ability, and I wish her continued success in her new endeavors.”

Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, added, “I want to thank Rose for her teamwork and collaboration in support of the exam program. Under her leadership, the Fort Worth office’s examination program integrated the management structure of its broker-dealer and investment management units to better respond to the changes in the financial services industry. Rose also played an important role in our recent self-assessment and restructuring to improve coordination across the National Exam Program. We wish Rose the best of luck in her future career.”

Ms. Romero said, “I am blessed to have had the opportunity to work with the talented and dedicated professionals in the Fort Worth office. Their commitment to the mission of finding and prosecuting fraud has been remarkable. I will be forever grateful for their dedicated service and their unwavering support.”

Under Ms. Romero’s leadership, the Fort Worth office brought highly significant cases covering the full range of the SEC’s enforcement program, including:

  • Foreign Corrupt Practices Act (FCPA) cases including the $137.9 million penalty levied against Swiss global logistics firm Panalpina Inc.; the $10.3 million penalty imposed against Houston-based Willbros Group; and the $ 23.5 million penalty against Houston-based Pride International.

  • Complex insider trading cases such as Acxiom Corporation, which involved an elaborate scheme orchestrated by hedge fund insiders to illegally trade in the securities of Acxiom and Tempur-Pedic International; a case against a former Perot Systems Inc. employee who made $8.1 million in illicit profits by trading on inside information relating to Dell’s proposed acquisition of Perot Systems Inc.; and a case against a New York-based securities analyst employed by a major investment bank who disclosed inside information ahead of the $45 million buyout of TXU.

  • Accounting and corporate reporting cases such as the case against New Orleans-based hurricane restoration company Home Solutions of America Inc. and seven of its executives for recording and reporting more than $40 million in improper revenue through an expense deferral scheme, and the $10 million case against the CEO and CFO at Oklahoma-based Quest Resources – which led to the officers’ criminal convictions and sanctions against three of the company’s auditors.

  • Offering fraud cases in which the courts ordered emergency relief halting the fraud and freezing assets, including the $100 million Millennium Bank Ponzi scheme; the $55 million fraud perpetrated by Amerifirst Funding and its principal Jeffrey Bruteyn; the $33 million fraud case against Francesco Rusciano and Ponta Negra Fund 1 LLC in which most of investors’ funds were recovered. Many of these cases also led to criminal prosecutions and convictions.

  • Significant Fair Fund distributions to harmed investors including a $113.5 million distribution from the Royal Dutch Shell Fair Fund, and a $50 million distribution to harmed investors in the AIM Advisors Inc. market timing matter.

During her tenure with the government, Ms. Romero has received commendations and awards from numerous agencies including the Federal Bureau of Investigation, Internal Revenue Service, U.S. Customs Service, U.S. Postal Inspection Service, and Drug Enforcement Administration.

A veteran of the U.S. Air Force, Ms. Romero received her BA degree from Texas Christian University and her JD from Southern Methodist University.

(Press Rel. 2011-63)

Statement from Chairman Schapiro on Independent Consultant Study of SEC Organization and Operations

An independent consultant today presented Congress with a report examining the organization and operations of the Securities and Exchange Commission, as required by Section 967 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The consultant, the Boston Consulting Group, focused its attention on four broad areas: organization structure, personnel and resources, technology and resources, and the SEC’s relationship with self-regulatory organizations.

In response to the report, SEC Chairman Mary L. Schapiro issued the following statement:

“I welcome today’s report and the analysis performed by the consultants.

“I am pleased that the report recognizes the many initiatives we have taken over the past two years to increase the agency’s efficiency and effectiveness. Yet, I know there is more to be done.

“Importantly, the report of the independent consultants confirms the concerns I have been expressing that the SEC does not have the resources to perform all the activities expected of us.

“As the report notes, despite the growth of our responsibilities and market complexities, SEC’s resources have not kept pace. This capacity gap places our markets and America's investors at risk.

“I believe that investors need an SEC with added staff and better technology to properly police Wall Street.

“The independent consultants’ report offers valuable recommendations that will help us improve SEC operations and market oversight. In fact, I am immediately undertaking the following first steps:

  • I plan to ask for the authority to expand the responsibility and strengthen the authority of our Chief Operating Officer (COO) by moving under him all of the functions that currently report to our Office of the Executive Director.

  • I also have assigned to our COO the responsibility for leading a series of working groups that are being created to address each of the report’s recommendations. He, along with other members of our senior leadership team, will ensure that we report to Congress and the public on our progress.

“These are significant steps, but they will not be our last. In the coming months we will report back to Congress on the other steps we will be taking to effectively and efficiently fulfill our market oversight and investor protection mission.” (Press Rel. 2011-65)

Enforcement Proceedings

In the Matter of Neal R. Greenberg

The U.S. Securities and Exchange Commission announced the dismissal of an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and (k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 against Neal R. Greenberg. The dismissal is part of a settlement with Greenberg that involved Greenberg’s consent to a United States District Court Final Judgment enjoining him from violations of Sections 206(2) and 206(4) of the Advisers Act and Rules 206(4)-2, 206(4)-7, and 206(4)-8 thereunder. See SEC v. Greenberg, Civil Action No. 1:11-cv-00313-JLK. (LR-21852I)

In addition to the final judgment, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Exchange Act and Section 203(f) of the Advisers Act, Making Findings, and Imposing Remedial Sanctions (Order) against Neal R. Greenberg on February 18, 2011. That Order barred Greenberg from acting as a broker, dealer, or investment adviser. (34-63932; IA-3164)

Greenberg consented to the final judgment and issuance of the Order without admitting or denying any of the allegations in the civil injunctive action. (Rels. 33-9196; 34-64066; IA-3172; IC-29598; File No. 3-14033)

Commission Orders Hearings on Registration Suspension or Revocation Against Five 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 five companies for failure to make required periodic filings with the Commission:

  • Admiralty Holding Co. (ADMH)
  • American Consolidated Management Group, Inc. (ACMI)
  • DnC Multimedia Corp. (DCNMQ)
  • Dorsey Trailers, Inc. (n/k/a DT Liquidation, Inc.) (DSYT)
  • ElectraCapital, Inc. (a/k/a Electra Capital, Inc.) (ECTA)

In this Order, the Division of Enforcement (Division) alleges that the five 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. 34-64068; File No. 3-14291)

In the Matter of Stephen Cina

On March 10, 20111, 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 Stephen Cina (Cina). The Order finds that Cina was a founding member and the Executive Vice President of Business Development 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 Cina 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 Sept. 15, 2010, a judgment was entered against Cina. He was sentenced to six months of home detention, five years probation, and 150 hours of community service and ordered to make restitution in the amount of $3,303,207.99.

Based on the above, the Order bars Cina from association with any investment adviser. Cina 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-3173; File No. 3-14292)

SEC Charges Operator of Trading Themed Ponzi Scheme

On March 7, 2011 the Securities and Exchange Commission filed an injunctive action in the United States District Court for the District of Colorado against Larry Michael Parrish in connection with a Ponzi scheme.

The Commission alleges that from about November 2005 through October 2009, Parrish raised approximately $9.2 million from 70 investors in 3 states. Parrish, and his company, IV Capital, solicited investors for his “Trading Program” and promised returns of at least 60% per year. The Commission alleges that investors received monthly payments which Parrish told them were profits from successful trading. However, the majority of funds that came into IV Capital bank accounts were from new investors, not from any actual profit-generating activity. The complaint alleges that Parrish, who had no other employment or legitimate source of income, funded his personal life at the expense of investors, misappropriating at least $780,000 for his personal benefit.

Parrish is a recidivist who was a named defendant in a previous SEC action. In April 2005 the SEC brought an action against Parrish for his involvement in a Prime Bank Scheme, SEC v. Larry Michael Parrish, et al., 05 Civ. 1031 (D. Md., filed April 14, 2005). Parrish was subsequently enjoined from violating securities laws and he also consented to the entry of an administrative order barring him from associating with any broker-dealer with a right to reapply for association after five years. 2007 SEC LEXIS 1031.

In the current action, the SEC's complaint alleges that Parrish violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b), 15(a), and 15(b)(6)(B)(i) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206 (1), (2), and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. [SEC v. Larry Michael Parrish, Civil Action No. 11-CV-00558-WJM-MJW (D. Colo.)] (LR-21881)

Final Judgment Entered Against Former Prudential Registered Representative Jason N. Ginder Concerning Deceptive Market Timing Practices

The Securities and Exchange Commission announced today that on March 9, 2011, the U.S. District Court for the Southern District of New York entered a final judgment by consent against Jason N. Ginder, a defendant in a civil injunctive action filed by the Commission in August 2006. The Commission's Complaint charged that Ginder, 47, of New Fairfield, Connecticut, was a registered representatives associated with broker-dealer Prudential Securities, Inc., who defrauded mutual fund companies and the funds' shareholders in order to place market timing trades at mutual funds that were trying to detect and block such trading. Without admitting or denying the allegations in the Commission's Complaint, Ginder consented to the entry of a final judgment enjoining him from violating the antifraud provisions of the federal securities laws and ordering him to pay a civil penalty of $300,000.

The Commission's Complaint alleged that, from at least January 2001 until September 2003, certain mutual fund companies tried to detect and block market timing activity. The Complaint alleged that Ginder defrauded mutual fund companies by hiding his and his hedge fund customers' identities through the use of multiple customer account numbers and broker identification numbers. The Complaint alleged that, among other deceptive practices, when mutual funds succeeded in identifying and attempted to block Ginder's trading activity under one customer account or broker identification number, Ginder often simply switched to a different customer account for the same customer or a different broker identification number and continued placing market timing trades.

The final judgment imposed a permanent injunction prohibiting Ginder from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Ginder was also ordered to pay a civil monetary penalty of $300,000. Ginder has also consented to be suspended from association with a broker, dealer, investment adviser, municipal securities dealer, and transfer agent, and from participating in any offer of penny stock, for a period of nine months in related administrative proceedings to be instituted after entry of the permanent injunction.

Two other defendants in the same enforcement action previously settled with the Commission. The Commission's action remains pending against a fourth defendant, Frederick O'Meally. [SEC v. Frederick O'Meally, et. al., United States District Court for the Southern District of New York, Civil Action No. 1:06-cv-06483-LTS] (LR-21882)

Investment Company Act Releases

Capital International, Inc., et al.

An order has been issued on an application filed by Capital International, Inc. (Capital International), et al. to exempt certain limited partnerships and other investment vehicles formed for the benefit of eligible employees of Capital International and its affiliates from certain provisions of the Investment Company. Each partnership or other investment vehicle will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-29596 – March 8)

Riverside Casualty, Inc.

An order has been issued on an application filed by Riverside Casualty, Inc., a single purpose holding company, to exempt it and its affiliates from certain provisions of the Investment Company Act. Riverside Casualty, Inc. will be an “employees’ securities company” within the meaning of Section 2(a)(13) of the Act. (Rel. IC-29597 – March 8)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

The Fixed Income Clearing Corporation filed a proposed rule change (SR-FICC-2011-01) under Section 19(b)(1) of the Exchange Act to notify participants that the Mortgage Backed Securities Division intends to move the time at which it runs its daily morning pass (also referred to as the “AM Pass”) from 10:30 am to 2:00 pm (EST). The proposed rule change became effective upon filing. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64053)

A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-036) to modify NASDAQ Options Market Rules Chapter VII, various sections, dealing with market maker obligations, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64054)

A proposed rule change filed by BATS Y-Exchange related to fees for use of BATS Y-Exchange, Inc. (SR-BYX-2011-005) 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 14. (Rel. 34-64055)

A proposed rule change filed by the NASDAQ OMX PHLX relating to the extension of a pilot program concerning disseminated quotations (SR-Phlx-2011-29) 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 14. (Rel. 34-64056)

A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-019) to modify the CBOE Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64057)

A proposed rule change (SR-C2-2011-006) filed by C2 Options Exchange relating to the Opening System 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 14. (Rel. 34-64058)

A proposed rule change filed by NASDAQ OMX BX to modify fees for co-location services (SR-BX-2011-013) 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 14. (Rel. 34-64059)

A proposed rule change filed by The NASDAQ Stock Market to modify fees for co-location services (SR-NASDAQ-2011-035) 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 14. (Rel. 34-64060)

A proposed rule change filed by NASDAQ OMX PHLX to modify fees for co-location services (SR-Phlx-2011-30) 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 14. (Rel. 34-64061)

Securities Act Registrations

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

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

        84121, 801-424-5500 - 0 ($150,000,000.00) Equity, (File 333-172683 -
        Mar. 9) (BR. 03A)

        650-496-3777 - 2,345,666 ($57,891,036.88) Equity, (File 333-172684 -
        Mar. 9) (BR. 01A)

S-1     Charlie GPS Inc, 101 RIDGE RD, NORTH ARLINGTON, NJ, 07031,
        201-998-2523 - 6,000,000 ($60,000.00) Equity, (File 333-172685 -
        Mar. 9) (BR. 05)

S-3     ARCA biopharma, Inc., 8001 ARISTA PLACE, SUITE 200, BROOMFIELD, CO,
        80021, 720-940-2200 - 0 ($50,000,000.00) Unallocated (Universal) Shelf,
        (File 333-172686 - Mar. 9) (BR. 01B)

        19382, 6104290181 - 2,400,000 ($360,000.00) Equity, (File 333-172687 -
        Mar. 9) (BR. 04A)

        7813705000 - 4,500,000 ($103,500,000.00) Equity, (File 333-172689 -
        Mar. 9) (BR. 03B)

        858-623-0000 - 2,000,000 ($5,700,000.00) Equity, (File 333-172690 -
        Mar. 9) (BR. 11A)

        RYE BROOK, NY, 10573, 914-934-5200 - 0 ($608,810,258.88) Equity,
        (File 333-172691 - Mar. 9) (BR. 01)

        TX, 77565-2701, 2813349479 - 600,000 ($318,000.00) Equity,
        (File 333-172693 - Mar. 9) (BR. 08C)

        8053883700 - 0 ($13,250,000.00) Equity, (File 333-172694 - Mar. 9)
        (BR. 10C)

        15241, 724-485-4000 - 0 ($0.00) Unallocated (Universal) Shelf,
        (File 333-172695 - Mar. 9) (BR. 04A)

        406 522 2952 - 0 ($27,162,716.00) Equity, (File 333-172696 - Mar. 9)
        (BR. 03C)

        NETHERLANDS ANTILLES, P8, 00000, 450,000 ($14,269,500.00) Equity,
        (File 333-172697 - Mar. 9) (BR. 10B)

S-3     GULF POWER CO, ONE ENERGY PLACE, PENSACOLA, FL, 32520, 8504446111 -
        390,000,000 ($390,000,000.00) Unallocated (Universal) Shelf,
        (File 333-172698 - Mar. 9) (BR. 02A)

S-8     COACH INC, 516 WEST 34TH ST, NEW YORK, NY, 10001, 2125941850 -
        30,000,000 ($1,630,800,000.00) Equity, (File 333-172699 - Mar. 9)
        (BR. 09A)

F-1     Sprott Physical Silver Trust, STE 2700, SOUTH TOWER, ROYAL BANK PLAZA,
        200 BAY STREET, TORONTO, A6, M5J 2J1, 416-362-7172 -
        0 ($243,591,430.00) Other, (File 333-172701 - Mar. 9) (BR. 04)

        CA, 92647, (714) 500-2440 - 1,200,000 ($43,548,000.00) Equity,
        (File 333-172703 - Mar. 9) (BR. 05A)

        9196592100 - 0 ($66,392,409.00) Equity, (File 333-172705 - Mar. 9)
        (BR. 03A)

S-8     DGT Holdings Corp., 100 PINE AIRE DRIVE, BAY SHORE, NY, 11706,
        631 231-6400 - 0 ($3,800,000.00) Equity, (File 333-172706 - Mar. 9)
        (BR. 10A)

S-1     Accretive Health, Inc., 401 NORTH MICHIGAN AVENUE, SUITE 2700, CHICAGO,
        IL, 60611, 312-324-7820 - 0 ($151,069,750.00) Equity,
        (File 333-172707 - Mar. 9) (BR. 08A)

        512-225-6000 - 0 ($86,250,000.00) Equity, (File 333-172709 - Mar. 9)
        (BR. )

Recent 8K Filings

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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


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


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


Cost Associated with Exit or Disposal Activities


Material Impairments


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


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


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


Changes in Control of Registrant


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


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


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


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


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1ST SOURCE CORP                         IN       1.01,9.01            03/09/11

22nd Century Group, Inc.                NV       5.02                 03/04/11

ACADIA REALTY TRUST                     MD       1.01,5.02,9.01       03/03/11

Acantha Acquisition Corp.               DE       1.01,5.02,9.01       03/08/11

ACETO CORP                              NY       5.05,9.01            03/07/11

Activision Blizzard, Inc.               DE       5.02                 03/03/11

Advanced Messaging Solutions Inc.       NV       1.01,9.01            03/08/11

AECOM TECHNOLOGY CORP                   DE       5.02,5.07,9.01       03/03/11

AGENUS INC                              DE       7.01,9.01            03/09/11

Aircastle LTD                           D0       7.01,9.01            03/08/11

AMERICAN AIRLINES INC                   DE       8.01,9.01            03/09/11

AMERICAN EAGLE OUTFITTERS INC           DE       5.02,7.01,9.01       03/09/11

AMERICAN INTERNATIONAL GROUP INC        DE       1.01,3.03,5.03,9.01  03/09/11

AMERICAN LITHIUM MINERALS, INC.                  7.01,9.01            03/08/11

AMERICAN SAFETY INSURANCE HOLDINGS LT            2.02,9.01            12/31/10

American Water Works Company, Inc.      DE       7.01                 03/09/11

AMR CORP                                DE       8.01,9.01            03/09/11

ANGEION CORP/MN                         MN       2.02,9.01            03/09/11

Answers CORP                                     8.01,9.01            03/07/11

ante5, Inc.                             DE       8.01,9.01            02/22/11    AMEND

Approach Resources Inc                  DE       2.02,7.01,9.01       03/08/11

Archipelago Learning, Inc.              DE       2.02,9.01            03/09/11

ARYx Therapeutics, Inc.                 DE       5.02,8.01,9.01       03/03/11

Asia Carbon Industries, Inc.            MD       2.02,9.01            03/09/11

ATLAS PIPELINE PARTNERS LP              DE       7.01,9.01            03/08/11

ATMOS ENERGY CORP                       TX       7.01,9.01            03/09/11

AUXILIUM PHARMACEUTICALS INC                     7.01,9.01            03/09/11

BANCORPSOUTH INC                        MS       7.01,9.01            03/09/11

BANK OF NEW ENGLAND CORP                MA       1.03                 02/28/11

BERKSHIRE INCOME REALTY INC                      1.01                 03/08/11    AMEND

BERTHEL GROWTH & INCOME TRUST I         DE       2.01,8.01,9.01       03/03/11

Big Bear Mining Corp.                   NV       7.01,9.01            03/08/11

BIG LOTS INC                            OH       2.02,9.01            03/03/11

BIOPHARM ASIA, INC.                     NV       4.01,9.01            01/20/11    AMEND

Birmingham Bloomfield Bancshares        MI       5.02                 03/07/11

BlackRock Kelso Capital CORP            DE       7.01                 03/09/11

BLOUNT INTERNATIONAL INC                DE       2.02,9.01            03/09/11

BON TON STORES INC                      PA       2.02,9.01            03/09/11

BOND LABORATORIES, INC.                 NV       2.02,8.01,9.01       03/09/11

Bonds.com Group, Inc.                   DE       1.01,3.02            03/03/11

BOVIE MEDICAL CORP                      DE       1.01,9.01            03/03/11

BreitBurn Energy Partners L.P.          DE       2.02,9.01            03/09/11

Brooklyn Federal Bancorp, Inc.          X1       3.01,9.01            03/07/11

BUTLER NATIONAL CORP                    DE       5.07                 03/08/11

CAMPBELL FUND TRUST                     DE       3.02                 03/09/11

CANTEL MEDICAL CORP                     DE       2.02,9.01            03/09/11

Cardium Therapeutics, Inc.              DE       8.01,9.01            03/08/11

CAVIUM NETWORKS, INC.                   DE       1.01,2.01,9.01       03/04/11

CENTERLINE HOLDING CO                   DE       5.02                 03/04/11

Changda International Holdings, Inc.    NV       8.01                 03/07/11

Chatham Lodging Trust                   MD       7.01,8.01,9.01       03/09/11

CHEESECAKE FACTORY INC                  DE       5.02                 03/03/11

Chemtura CORP                           DE       5.02,9.01            03/03/11

CHEMUNG FINANCIAL CORP                  NY       8.01                 03/09/11

CHILDRENS PLACE RETAIL STORES INC                1.01,2.02,8.01,9.01  03/03/11

China Integrated Energy, Inc.           DE       8.01,9.01            03/04/11

China Wi-Max Communications, Inc.       NV       7.01,9.01            03/07/11

Circle Entertainment, Inc.              DE       1.01,3.02,9.01       03/03/11

CISCO SYSTEMS INC                       CA       8.01,9.01            03/09/11

CITIGROUP INC                           DE       7.01,9.01            03/09/11

CITY NATIONAL BANCSHARES CORP           NJ       1.01,5.02,9.01       02/28/11

CKX, Inc.                               DE       2.02,9.01            03/08/11

CLAIRES STORES INC                      DE       1.01,2.03,8.01,9.01  03/04/11

Clean Coal Technologies Inc.            NV       7.01,9.01            03/09/11

CLICKER INC.                            NV       1.01,2.03,3.02,5.02, 12/10/09

CLOUD PEAK ENERGY INC.                  DE       5.02,9.01            03/08/11

CMS ENERGY CORP                         MI       7.01,9.01            03/09/11

COEUR D ALENE MINES CORP                ID       7.01                 03/09/11

COLDWATER CREEK INC                     DE       2.02,9.01            03/09/11

COLOMBIA CLEAN POWER & FUELS, INC       NV       5.02,9.01            03/03/11

Commercial Vehicle Group, Inc.          DE       1.01,1.02,3.03,9.01  03/08/11

COMMONWEALTH BIOTECHNOLOGIES INC        VA       8.01                 12/31/10

COMPLETE GENOMICS INC                   DE       5.02                 03/03/11

COMPX INTERNATIONAL INC                 DE       8.01                 03/09/11

COMVERGE, INC.                          DE       2.02,9.01            03/09/11

COMVERGE, INC.                          DE       5.02                 03/03/11

COMVERSE TECHNOLOGY INC/NY/             NY       5.02,9.01            03/03/11

CONOLOG CORP                            DE       1.01,2.03            01/24/11

CONOLOG CORP                            DE       4.01,9.01            03/03/11    AMEND

CONTINENTAL RESOURCES INC               OK       1.01,7.01,9.01       03/03/11

COPsync, Inc.                           DE       4.01                 03/09/11

CORCEPT THERAPEUTICS INC                DE       2.02,7.01,9.01       03/09/11

COST PLUS INC/CA/                       CA       2.02,9.01            03/08/11

COVENTRY HEALTH CARE INC                DE       5.02,8.01,9.01       03/09/11

CSX CORP                                VA       5.02,8.01,9.01       03/03/11

CUBIST PHARMACEUTICALS INC              DE       5.02,9.01            03/03/11

CUMBERLAND PHARMACEUTICALS INC                   2.02,9.01            03/08/11

DEL MONTE FOODS CO                      DE       7.01,9.01            03/09/11

DGT Holdings Corp.                      NY       2.02,9.01            03/07/11

DGT Holdings Corp.                      NY       5.02,5.07,9.01       03/08/11

DIGIRAD CORP                            DE       2.02,9.01            03/09/11

Discover Card Execution Note Trust      DE       8.01                 03/08/11

DIXIE GROUP INC                         TN       2.02,9.01            03/09/11

DIXIE GROUP INC                         TN       7.01,9.01            03/09/11

DOLLAR FINANCIAL CORP                   DE       1.01,2.03,9.01       03/03/11

Dr Pepper Snapple Group, Inc.           DE       7.01,9.01            03/09/11

Dresser-Rand Group Inc.                 DE       8.01,9.01            03/09/11

DUPONT FABROS TECHNOLOGY, INC.          MD       1.01,3.02,5.03,9.01  03/08/11

DYNAVAX TECHNOLOGIES CORP               DE       2.02,9.01            03/08/11

DYNEX CAPITAL INC                       VA       1.01,8.01,9.01       03/04/11

EASTMAN KODAK CO                        NJ       8.01,9.01            03/09/11

EDEN ENERGY CORP                        NV       5.03,7.01,9.01       03/08/11

EMERITUS CORP\WA\                       WA       5.02,9.01            03/07/11

ENCOMPASS HOLDINGS, INC.                NV       8.01                 03/09/11

ENERGIZER HOLDINGS INC                  MO       2.05                 11/01/10    AMEND

ENVIRONMENTAL SOLUTIONS WORLDWIDE INC   FL       5.02                 03/04/11

Essex Rental Corp.                      DE       8.01,9.01            03/07/11

EV Energy Partners, LP                  DE       7.01,9.01            03/03/11

EXELON CORP                             PA       7.01,9.01            03/09/11

Federal Home Loan Bank of Atlanta       X1       5.02,9.01            03/03/11

Federal Home Loan Bank of Dallas                 2.03,9.01            03/03/11

Fifth Street Finance Corp               DE       8.01,9.01            03/09/11

FIFTH THIRD BANCORP                     OH       7.01,9.01            03/09/11

FIRST DATA CORP                         DE       7.01                 03/09/11

FIRST HORIZON NATIONAL CORP             TN       8.01                 03/09/11

FIRST REAL ESTATE INVESTMENT TRUST OF   NJ       2.02,9.01            03/08/11

First Surgical Partners Inc.            DE       8.01,9.01            03/08/11

FLUIDIGM CORP                           DE       2.02,9.01            03/09/11

FORCE PROTECTION INC                    NV       2.02,7.01,9.01       03/09/11

Forestar Group Inc.                     DE       7.01,9.01            03/09/11

Forex International Trading Corp.       NV       5.02,9.01            03/04/11

FOX PETROLEUM INC.                      NV       2.01,4.01,5.02,8.01, 03/08/11

FPIC INSURANCE GROUP INC                FL       2.02,9.01            03/09/11

Fresh Harvest Products, Inc.                     1.01,1.02,3.02,3.03, 03/02/11

FUEL TECH, INC.                         DE       2.02,9.01            03/09/11

GAIAM, INC                              CO       2.02,9.01            03/09/11

GENTIVA HEALTH SERVICES INC             DE       1.01,2.03,2.04,7.01, 03/09/11

Glen Rose Petroleum CORP                DE       5.02                 03/04/11

Global Telecom & Technology, Inc.       DE       2.02,9.01            03/09/11

GLOBALSCAPE INC                         DE       8.01                 03/09/11

GOLD STANDARD MINING CORP.              NV       4.01,9.01            02/25/11    AMEND

Good Earth Land Sales CO                FL       1.01,9.01            03/09/11

Green Energy Management Services Hold   DE       1.01,9.01            03/03/11

Guggenheim Enhanced Equity Income Fun   MA       7.01,9.01            03/07/11

GULFMARK OFFSHORE INC                   DE       7.01,9.01            03/03/11

H&R BLOCK INC                           MO       1.01,2.02,9.01       03/04/11

HAMPTON ROADS BANKSHARES INC            VA       2.02,7.01,9.01       03/09/11

HARMONIC INC                            DE       5.02                 03/03/11

HEADWATERS INC                          DE       8.01,9.01            03/08/11

HEALTH CARE REIT INC /DE/               DE       9.01                 03/09/11    AMEND

Healthient, Inc.                                 8.01                 03/02/11

Heelys, Inc.                            DE       2.02,9.01            03/09/11

HERBALIFE LTD.                          E9       1.01,1.02,2.03,8.01, 03/09/11

HERCULES OFFSHORE, INC.                 DE       2.02,9.01            03/09/11

HESKA CORP                              DE       2.02,9.01            12/31/10

Horizon Lines, Inc.                              2.02,7.01,9.01       03/03/11

HORTON D R INC /DE/                     DE       1.01,2.03,9.01       03/04/11

Huifeng Bio-Pharmaceutical Technology   NV       7.01,9.01            03/08/11

Huifeng Bio-Pharmaceutical Technology   NV       4.02                 03/09/11    AMEND

Huntsman CORP                           DE       1.01,2.03,9.01       03/07/11

ID SYSTEMS INC                          DE       2.02,9.01            03/09/11

IDENTIVE GROUP, INC.                    DE       5.02,9.01            03/09/11

IMAGE SENSING SYSTEMS INC               MN       8.01                 03/08/11

INTEGRATED ENVIRONMENTAL TECHNOLOGIES   NV       5.02,8.01,9.01       03/03/11

INTREorg SYSTEMS INC.                   TX       5.02                 02/09/11

IRONWOOD PHARMACEUTICALS INC                     4.02                 03/03/11

ITT Corp                                IN       5.02                 03/03/11

JAZZ PHARMACEUTICALS INC                DE       5.02                 03/09/11

JO-ANN STORES INC                       OH       2.02,9.01            03/09/11

Juma Technology Corp.                            1.01,2.03,3.02,9.01  03/04/11

JUNIATA VALLEY FINANCIAL CORP           PA       5.02,9.01            03/09/11

KERYX BIOPHARMACEUTICALS INC            DE       2.02,9.01            03/08/11

KODIAK ENERGY, INC.                     DE       5.02                 03/09/11

KORN FERRY INTERNATIONAL                DE       2.02,9.01            03/09/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 03/09/11

Legacy Bancorp, Inc.                             7.01,9.01            03/09/11

Legend Oil & Gas, Ltd.                  CO       8.01                 03/09/11

LGL GROUP INC                           DE       8.01,9.01            03/07/11

LIBERTY MEDIA CORP                               8.01,9.01            03/08/11

LifeCare Holdings, Inc.                 DE       5.02,9.01            03/03/11

LIGHTSTONE VALUE PLUS REAL ESTATE INV   MD       8.01                 03/04/11

Lightstone Value Plus Real Estate Inv   MD       8.01                 03/04/11

LIHUA INTERNATIONAL INC.                DE       2.02,9.01            03/09/11

LMP CAPITAL & INCOME FUND INC.                   7.01,9.01            03/09/11

LSI CORP                                DE       1.01,2.02,8.01,9.01  03/09/11

LUNA INNOVATIONS INC                    DE       1.01,9.01            03/07/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            03/09/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            03/09/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            03/09/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            03/09/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            03/09/11

Main Street Capital CORP                MD       8.01,9.01            03/09/11

MANNATECH INC                           TX       2.02,9.01            03/09/11

MARLIN BUSINESS SERVICES CORP                    2.02,9.01            03/08/11

MATERION Corp                                    7.01,9.01            03/09/11

MAXSYS HOLDINGS, INC.                            1.01,9.01            03/05/11

MCDONALDS CORP                          DE       7.01,9.01            03/08/11

MediaMind Technologies Inc.             DE       8.01                 03/09/11

MEMC ELECTRONIC MATERIALS INC           DE       8.01,9.01            03/03/11

MENS WEARHOUSE INC                      TX       2.02,9.01            03/09/11

METABOLIX, INC.                                  2.02,9.01            03/09/11

METLIFE INC                             DE       8.01,9.01            03/08/11

MICROPAC INDUSTRIES INC                 DE       5.03,9.01            03/08/11

MIDDLESEX WATER CO                      NJ       2.02,9.01            03/09/11

Molycorp, Inc.                          DE       2.02,9.01            03/09/11

MONEYGRAM INTERNATIONAL INC                      1.01,3.02,3.03,9.01  03/07/11

MONEYGRAM INTERNATIONAL INC                      8.01,9.01            03/08/11

NACCO INDUSTRIES INC                    DE       5.02,9.01            03/04/11

NANOPHASE TECHNOLOGIES CORPORATION      IL       2.02,9.01            03/09/11

NATIONAL RURAL UTILITIES COOPERATIVE    DC       5.02                 03/07/11

NAVISTAR INTERNATIONAL CORP             DE       2.02,7.01,9.01       03/08/11

NEOPHOTONICS CORP                       DE       5.02                 03/04/11

NetApp, Inc.                            CA       7.01,9.01            03/09/11

NETWORK EQUIPMENT TECHNOLOGIES INC      DE       5.02                 10/20/10

New Generation Biofuels Holdings, Inc   FL       5.07                 03/03/11

NEWPARK RESOURCES INC                   DE       7.01,9.01            03/09/11

NEWPARK RESOURCES INC                   DE       1.01                 03/04/11

nFinanSe Inc.                                    1.01,9.01            03/03/11

NORTHSTAR REALTY                                 1.01,2.03,3.02,9.01  03/09/11

NUVASIVE INC                            DE       5.02                 03/04/11

Oasis Petroleum Inc.                    DE       2.02,9.01            03/08/11

OLD REPUBLIC INTERNATIONAL CORP         DE       8.01,9.01            03/09/11

OLIN CORP                               VA       7.01,9.01            03/09/11

ON-AIR IMPACT, INC.                     NV       4.01,9.01            03/08/11

ONE Bio, Corp.                                   1.01,3.02,9.01       12/31/10

Oneida Financial Corp.                  MD       8.01,9.01            03/08/11

OPHTHALMIC IMAGING SYSTEMS              CA       1.01,2.03            03/03/11

OPTI INC                                CA       1.01,9.01            12/06/10    AMEND

ORANCO INC                              NV       5.02                 03/09/11

ORB Automotive                          E9       2.01,5.07,9.01       11/02/10    AMEND

PAB BANKSHARES INC                      GA       3.01                 03/08/11

PENN VIRGINIA CORP                      VA       1.01,7.01,9.01       03/08/11

Pepper Rock Resources Corp.                      5.02                 03/08/11

Perfumania Holdings, Inc.               FL       7.01,9.01            03/03/11

Pet Airways Inc.                        IL       5.02,9.01            03/04/11

PHOENIX FOOTWEAR GROUP INC              DE       5.02,9.01            03/02/11

PHOTOTRON HOLDINGS, INC.                DE       2.01,3.02,5.01,5.02, 03/09/11

PIEDMONT NATURAL GAS CO INC             NC       5.02,5.07            03/04/11

PIONEER NATURAL RESOURCES CO            DE       7.01                 03/07/11

PNC FINANCIAL SERVICES GROUP INC        PA       2.02,9.01            03/09/11

POZEN INC /NC                                    2.02,9.01            03/09/11

PRICELINE COM INC                       DE       5.02,9.01            03/04/11

Primo Water Corp                        DE       1.01,2.02,3.02,7.01, 03/08/11

PRO PHARMACEUTICALS INC                 NV       5.02,9.01            03/07/11

PROGENICS PHARMACEUTICALS INC           DE       5.02,9.01            03/03/11

PROVIDENCE SERVICE CORP                 DE       2.02,7.01,9.01       03/09/11

PUBLIX SUPER MARKETS INC                FL       2.02,9.01            03/09/11

Pzena Investment Management, Inc.       DE       8.01,9.01            02/28/11

QUALITY DISTRIBUTION INC                FL       2.02,9.01            03/09/11

QUESTCOR PHARMACEUTICALS INC            CA       4.01,9.01            03/04/11

RADIO ONE, INC.                         DE       1.01,9.01            03/03/11

RadNet, Inc.                            DE       2.02,9.01            03/08/11

RAE SYSTEMS INC                         DE       5.02                 03/03/11

RBC LIFE SCIENCES, INC.                 DE       2.02                 03/08/11

Real Goods Solar, Inc.                  CO       2.02,9.01            03/09/11

REGENCY CENTERS CORP                    FL       7.01                 03/09/11

REGIONS FINANCIAL CORP                  DE       7.01,9.01            03/09/11

Reliance Bancshares, Inc.               MO       4.02                 03/04/11

Resource Capital Corp.                  MD       2.02,9.01            03/08/11

RLJ Acquisition, Inc.                   NV       8.01,9.01            03/08/11

ROSETTA STONE INC                                2.02                 02/28/11    AMEND

ROYALE ENERGY INC                       CA       2.02,9.01            03/09/11

S&W Seed Co                             DE       1.01,5.02,9.01       03/08/11

SAFETY INSURANCE GROUP INC              DE       2.02,9.01            03/09/11

SAFEWAY INC                             DE       9.01                 03/08/11    AMEND

SAPIENT CORP                            DE       5.02                 03/04/11

SAVE THE WORLD AIR INC                  NV       5.02,8.01,9.01       03/01/11

SAVVY BUSINESS SUPPORT INC              NV       4.01,9.01            03/08/11

SCHAWK INC                                       2.02,9.01            03/09/11

SEABOARD CORP /DE/                      DE       2.02,9.01            03/09/11

Seagate Technology plc                  L2       5.02                 03/08/11

SEMTECH CORP                            DE       2.02,7.01,9.01       03/09/11

SENIOR HOUSING PROPERTIES TRUST         MD       8.01                 03/08/11

Silicon Graphics International Corp     DE       1.01,2.01,9.01       03/07/11

Solanbridge Group, Inc.                          1.01,9.01            03/03/11

Solar Power, Inc.                       CA       9.01                 07/29/10    AMEND

SOLUTIA INC                             DE       1.01,2.03,9.01       03/03/11

SONUS NETWORKS INC                      DE       5.02                 03/03/11

SOUTHERN CALIFORNIA EDISON CO           CA       8.01,9.01            03/07/11

SPEEDWAY MOTORSPORTS INC                DE       2.02,9.01            03/09/11

SS&C Technologies Holdings Inc          DE       5.02,9.01            03/03/11

STAGE STORES INC                        NV       2.02,8.01,9.01       03/08/11

STERLING BANCORP                        NY       8.01,9.01            03/09/11

STERLING GROUP VENTURES INC             NV       1.01,9.01            10/18/10    AMEND

STERLING GROUP VENTURES INC             NV       1.01,9.01            11/10/10    AMEND

Stevia Corp                             NV       5.03,8.01,9.01       03/04/11

STRATS (SM) TRUST FOR JPMORGAN CHASE             8.01,9.01            03/01/11

STRATS SM TRUST FOR IBM CORP SEC SERI            8.01,9.01            03/01/11

Strats(SM) Trust for JPMorgan Chase C            8.01,9.01            03/01/11

STRATS(SM) Trust For Morgan Stanley S            8.01,9.01            03/01/11

Sucampo Pharmaceuticals, Inc.                    5.02,9.01            03/09/11

Summer Infant, Inc.                     DE       2.02,9.01            03/09/11

SUNRIDGE INTERNATIONAL, INC.                     5.02,9.01            03/09/11

SUNTRUST BANKS INC                      GA       7.01,8.01,9.01       03/09/11

SYNERGETICS USA INC                              2.02,9.01            03/09/11

TAKE TWO INTERACTIVE SOFTWARE INC       DE       7.01,9.01            03/09/11

TCF FINANCIAL CORP                      DE       8.01,9.01            03/09/11

TELKONET INC                            UT       1.01,2.01,2.03,9.01  03/04/11

TESORO CORP /NEW/                       DE       5.02,9.01            03/09/11

THERMOGENESIS CORP                      DE       1.01,9.01            03/04/11    AMEND

TICC Capital Corp.                      MD       2.02,9.01            03/09/11

TIVO INC                                DE       8.01,9.01            03/09/11

TNS INC                                          7.01,9.01            03/09/11

Tongji Healthcare Group, Inc.           NV       5.02,9.01            03/03/11

TOYOTA MOTOR CREDIT CORP                CA       1.01,9.01            03/04/11

TRANSACT TECHNOLOGIES INC               DE       5.02                 03/07/11

TransDigm Group INC                     DE       1.01,7.01,9.01       03/09/11

Triangle Capital CORP                   MD       2.02,7.01,9.01       03/09/11

Tropicana Las Vegas Hotel & Casino, I   DE       8.01                 03/04/11

Tyco Electronics Ltd.                   V8       5.07                 03/09/11

UNIFI INC                               NY       7.01,9.01            03/09/11

United States Natural Gas Fund, LP               8.01                 03/09/11

UNIVERSAL AMERICAN CORP.                NY       8.01,9.01            03/08/11

UNIVERSAL AMERICAN CORP.                NY       1.01,9.01            03/08/11

UNIVERSAL HOSPITAL SERVICES INC         MN       2.02,7.01,9.01       03/09/11

US BANCORP \DE\                         DE       7.01,9.01            03/09/11

US CONCRETE INC                         DE       2.02                 03/08/11

VALHI INC /DE/                          DE       2.02,7.01,9.01       03/09/11

Vertro, Inc.                            DE       2.02,7.01,9.01       03/09/11

VIROPHARMA INC                          DE       8.01,9.01            03/09/11

VISA INC.                               DE       8.01                 03/09/11

VISTEON CORP                            DE       2.02,7.01,9.01       03/09/11

Vringo Inc                              DE       7.01,9.01            03/09/11

VSB BANCORP INC                         NY       8.01                 03/08/11

WALGREEN CO                             IL       8.01,9.01            03/09/11

Warner Chilcott plc                              8.01,9.01            03/09/11

WAUSAU PAPER CORP.                      WI       5.02                 03/09/11

WCA WASTE CORP                          DE       9.01                 03/09/11    AMEND

WELLCARE HEALTH PLANS, INC.             DE       1.01,2.03,5.05,9.01  03/03/11

WESTERN DIGITAL CORP                    DE       1.01                 03/07/11    AMEND

Willbros Group, Inc.\NEW\                        1.01,2.03,9.01       03/04/11

WINSONIC DIGITAL MEDIA GROUP, LTD.      NV       1.01                 03/09/11

XERIUM TECHNOLOGIES INC                 DE       2.02,9.01            03/09/11

XFONE INC.                              NV       2.02,9.01            03/09/11

Zalicus Inc.                            DE       2.02,9.01            03/09/11

ZORAN CORP \DE\                         DE       5.02,5.03,5.07       03/03/11



Modified: 03/10/2011