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Enforcement ProceedingsPetition to Lift Temporary Suspension of Carl W. Jasper DeniedThe Commission has denied the petition filed by Carl W. Jasper to lift the temporary suspension imposed on him pursuant to Commission Rule of Practice 102(e)(3). The Commission has also set the matter down for a hearing before an administrative law judge. Jasper was temporarily suspended from appearing or practicing before the Commission after the United States District Court for the Northern District of California found that Jasper had violated antifraud and other provisions of the federal securities laws, and permanently enjoined him from violating, directly or indirectly, the federal securities laws. (Rel. 34-64077; AAE Rel. 3253; File No. 3-14177) SEC v. Robert L. Hollier and Wayne A. DupuisOn March 11, 2011, the Honorable Tucker L. Melançon of the U.S. District Court for the Western District of Louisiana entered final judgment against Robert L. Hollier (Hollier) of Opelousas, LA and Wayne A. Dupuis (Dupuis) of Youngsville, LA. Hollier and Dupuis were permanently enjoined from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Judge Melançon ordered Hollier and Dupuis to pay disgorgement jointly and severally in the amount of $41,800 representing profits gained as a result of the conduct alleged in the Complaint, together with prejudgment interest thereon in the amount of $11,288.64 for a total of $53,088.64. The Court also imposed a civil penalty against Dupuis in the amount of $41,800, the full amount of his insider trading profits. The Court ordered Hollier and Dupuis to satisfy payment of these amounts within 30 days of the entry of the final judgment. Hollier and Dupuis consented to the entry of the final judgment without admitting or denying the allegations of the Commission’s Complaint. The Complaint alleged that during the latter part of August 2006, Hollier had knowledge of pending merger talks between Warrior Energy Services Corporation (Warrior) and Superior Energy Services, Inc. (Superior), the information constituted material nonpublic information, and that Hollier tipped Dupuis about the pending merger during a Canada hunting trip that Hollier and Dupuis both attended. The Complaint further alleged that on Sept. 18, 2006, the day he returned from the hunting trip, Dupuis purchased 5,000 shares of Warrior stock for approximately $85,000. Dupuis, who had no prior history of trading Warrior shares, sold the only two stocks in his portfolio to buy the Warrior shares. The Complaint further alleged that on Sept. 25, 2006, Warrior announced a definitive merger agreement with Superior. The Warrior shares, which were then traded on the Nasdaq National Market, increased in price by almost 70% on the news that day. The Complaint also alleged that on Oct. 3, 2006, Dupuis sold all of his Warrior stock for a profit of approximately $41,800. [SEC v. Robert L. Hollier and Wayne A. Dupuis, Civil Action No. 6:09-cv-00928 (W.D. La.)] (LR-21883) SEC Obtains Final Judgments Against Three CEOs in Penny Stock SchemeThe Securities and Exchange Commission announced today that on March 14, 2011, the United States District Court for the Northern District of Illinois entered final judgments against Gary Heesch, David Calkins, Brad Nordling, and Francis Scott Widen in connection with their participation in a complex and wide-reaching penny stock scheme orchestrated by Chicago-area resident Frank J. Custable, Jr. from November 2001 until March 2003, when the SEC brought an emergency enforcement action and obtained a TRO shutting it down. Judgments in this case have previously been entered against 14 defendants and three relief defendants. Heesch, Calkins, Nordling and Widen were the last four named defendants remaining in the SEC’s lawsuit. The Commission’s complaint alleged that Custable and at least 17 others violated various registration, antifraud and reporting provisions of the federal securities laws through the use of unregistered and fraudulent penny stock offerings. The complaint alleged that Custable accomplished this by obtaining and dumping massive quantities of improperly registered or unregistered shares of stock of at least seven different penny stock companies on the general public, generating net proceeds to Custable of at least $4.3 million. The complaint alleged that Custable obtained stock through fraudulent Form S-8 registrations (normally intended to provide for the issuance of stock as compensation to employees and consultants) fraudulent manipulations of Rule 144(k) holding requirements for resales of restricted stock. The complaint alleged that the penny stock companies received substantial financing from Custable in exchange for providing large blocks of unregistered or improperly registered stock that Custable dumped on the market through various nominee accounts held in the names of persons or entities he controlled. Heesch, Calkins and Nordling were CEOs of three of the penny stock companies involved in the fraudulent scheme. The complaint alleged that each of them engaged in fraudulent conduct in furtherance of the scheme, including knowingly or recklessly entering into sham consulting agreements, signing fraudulent Form S-8 registration statements, and providing false declarations concerning past compensation purportedly owed by their companies in order to justify the issuance of large blocks of stock and to manipulate the Rule 144(k) holding requirements for the issuances so that the transfer agents for these issuers would remove restrictive legends on the shares, allowing Custable to then freely trade them. Widen was an employee of Custable during the scheme. The complaint alleged that he violated the registration provisions of the federal securities laws by signing bogus consulting agreements and opening nominee accounts for Custable, enabling Custable to conceal his involvement in the scheme. The judgments against Heesch, Calkins and Nordling, which were entered with their consent and without their admitting or denying the Commission’s allegations: (i) permanently enjoin them from future violations of the antifraud and registration provisions contained in Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and at Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; (ii) bar them from ever serving as an officer or director of a public company; and (iii) prohibit them from ever again participating in an offering of penny stock. The judgment against Nordling further orders him to pay disgorgement of ill-gotten gains in the amount of $44,000, plus an additional $25,570 of prejudgment interest. The Court found Calkins liable for disgorgement in the amount of $150,000, plus prejudgment interest of $94,360, but waived payment of these amounts and did not impose a civil penalty based on his sworn Statement of Financial Condition. Based on Heesch’s sworn Statements of Financial Condition, the Court did not impose a civil penalty against him either. The judgment against Widen, also entered with his consent and without his admitting or denying the SEC’s allegations, permanently enjoins him from future violations of the registrations provisions contained in Sections 5(a) and 5(c) of the Securities Act, bars him from participating in any penny stock offering, and orders him to pay a first tier civil penalty of $6,500. In a related criminal proceeding, Custable has pled guilty to various federal charges arising conduct in the scheme, and on June 9, 2009 was sentenced to a prison term of 21 years. Calkins and Nordling pled guilty to securities fraud; both were sentenced to 5 years probation. For further information, see LR-18057 (March 31, 2003), LR-21423 (Feb. 23, 2010), and LR-21492 (April 19, 2010). [SEC v. Frank J. Custable, Jr., et al., Civil Action No. 03-cv-2182, USDC, N.D. Ill.] (LR-21884) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by the National Securities Clearing Corporation (SR-NSCC-2011-01) to modify NSCC’s fee schedule and to clarify the scope and computation of certain fees therein has become effective pursuant to Sections 19(b)(3)(A)(ii) and 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 14. (Rel. 34-64065) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-8 CBEYOND, INC., 320 INTERSTATE NORTH PARKWAY SE, SUITE 300, ATLANTA, GA,
30339, 678-424-2400 - 0 ($9,553,113.60) Equity, (File 333-172737 -
Mar. 11) (BR. 11C)
S-8 DAVEY TREE EXPERT CO, 1500 N MANTUA ST, P O BOX 5193, KENT, OH,
44240-5193, 3306739511 - 350,000 ($6,440,000.00) Equity,
(File 333-172738 - Mar. 11) (BR. 09A)
F-10 IESI-BFC Ltd, 400 APPLEWOOD CRESCENT, 2ND FLOOR, VAUGHAN, A6, L4K 0C3,
(905) 532-7510 - 0 ($750,000,000.00) Equity, (File 333-172739 -
Mar. 11) (BR. 06C)
S-8 MEDASSETS INC, 100 NORTH POINT CENTER EAST, SUITE 200, ALPHARETTA, GA,
30022, 6783232500 - 0 ($17,538,000.00) Equity, (File 333-172740 -
Mar. 11) (BR. 03A)
S-4 AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 -
0 ($10,001,135,820.00) Equity, (File 333-172741 - Mar. 11) (BR. 08A)
S-8 Camelot Information Systems Inc., BEIJING PUBLISHING HOUSE,
6 NORTH THIRD RING ROAD, BEIJING, F4, 100120, (86-10)5810-0999 -
23,498,012 ($34,714,856.00) Equity, (File 333-172742 - Mar. 11) (BR. 03)
S-3 WEST BANCORPORATION INC, 1601 22ND ST, WEST DES MOINES, IA, 50266,
5152222309 - 0 ($30,000,000.00) Equity, (File 333-172743 - Mar. 11)
(BR. 07B)
S-1 Gala Global Inc., 25 B HAMPSTEAD HILL GARDENS, LONDON, X0, NW32PJ,
447738529207 - 2,360,000 ($118,000.00) Equity, (File 333-172744 -
Mar. 11) (BR. )
S-8 WINMARK CORP, 605 HIGHWAY 169 N SUITE 400, MINNEAPOLIS, MN, 55441,
763-520-8500 - 0 ($9,000,000.00) Equity, (File 333-172745 - Mar. 11)
(BR. 02C)
S-8 HAWKINS INC, 3100 E HENNEPIN AVE, MINNEAPOLIS, MN, 55413, 6123316910 -
0 ($10,986,000.00) Equity, (File 333-172761 - Mar. 11) (BR. 06A)
S-4 BWAY Holding CO, 8607 ROBERTS DRIVE, SUITE 250, ATLANTA, GA, 30350,
770-6454800 - 0 ($205,000,000.00) Non-Convertible Debt,
(File 333-172764 - Mar. 11) (BR. 06B)
S-4 Energy XXI Gulf Coast, Inc., 1021 MAIN STREET, SUITE 2626, HOUSTON, TX,
77002, 713-351-3000 - 0 ($750,000,000.00) Equity, (File 333-172765 -
Mar. 11) (BR. 04)
S-8 ATRION CORP, ONE ALLENTOWN PARKWAY, ALLEN, TX, 75002, 9723909800 -
100,000 ($17,306,000.00) Equity, (File 333-172767 - Mar. 11) (BR. 10A)
S-8 CONSPIRACY ENTERTAINMENT HOLDINGS INC, 612 SANTA MONICA BLVD,
SANTA MONICA, CA, 90401, 310-260-6150 - 1,000,000 ($37,200.00) Equity,
(File 333-172768 - Mar. 11) (BR. 09A)
S-8 High Plains Gas, Inc., 3100 SOUTHERN DRIVE, GILLETTE, WY, 82718,
307-686-5030 - 12,330,000 ($15,412,500.00) Equity, (File 333-172769 -
Mar. 11) (BR. 04C)
S-1 Carroll Bancorp, Inc., 1321 LIBERTY ROAD, SYKESVILLE, MD, 21784,
410-795-1900 - 515,775 ($5,157,750.00) Equity, (File 333-172770 -
Mar. 11) (BR. )
S-8 Gevo, Inc., 345 INVERNESS DRIVE SOUTH, BUILDING C, Suite 310,
ENGLEWOOD, CO, 80112, 303-858-8358 - 6,751,194 ($81,269,947.86) Equity,
(File 333-172771 - Mar. 11) (BR. 06A)
S-4 Diamond Resorts Corp, 10600 WEST CHARLESTON BOULEVARD, LAS VEGAS, NV,
89135, (702)684-8000 - 0 ($425,000,000.00) Equity, (File 333-172772 -
Mar. 11) (BR. )
S-4 CEDAR FAIR L P, ONE CEDAR POINT DRIVE, SANDUSKY, OH, 44870,
4196260830 - 0 ($405,000,000.00) Non-Convertible Debt,
(File 333-172773 - Mar. 11) (BR. 05A)
S-8 MERCURY COMPUTER SYSTEMS INC, 201 RIVERNECK ROAD, CHELMSFORD, MA,
01824, 9782561300 - 1,077,680 ($20,335,821.60) Equity,
(File 333-172775 - Mar. 11) (BR. 10B)
S-8 Fibrocell Science, Inc., 405 EAGLEVIEW BOULEVARD, EXTON, PA, 19341,
484-713-6000 - 0 ($12,300,000.00) Equity, (File 333-172776 - Mar. 11)
(BR. 01C)
S-11 TMAC Mortgage Co, 865 SOUTH FIGUEROA STREET, SUITE 1800, LOS ANGELES,
CA, 90017, 213-244-0000 - 0 ($300,000,000.00) Equity,
(File 333-172778 - Mar. 11) (BR. )
S-3 INSULET CORP, 9 OAK PARK DRIVE, BEDFORD, MA, 01730, (781) 457-5000 -
0 ($150,000,000.00) Other, (File 333-172782 - Mar. 11) (BR. 10B)
S-1 HOMEAWAY INC, 1011 W. 5TH STREET, SUITE 300, AUSTIN, TX, 78703,
512-505-1525 - 0 ($230,000,000.00) Equity, (File 333-172783 - Mar. 11)
(BR. )
S-8 NAVIGATORS GROUP INC, 6 INTERNATIONAL DR, SUITE 100, RYE BROOK, NY,
10573, 9149348999 - 500,000 ($25,775,000.00) Equity, (File 333-172784 -
Mar. 11) (BR. 01B)
S-8 CHINA-BIOTICS, INC, NO 999 NINGQIAO ROAD, JINQIAO EXPORT PRO, PUDONG,
SHANGHAI, F4, 201206, 86 21 5834 9748 -
1,500,000 ($16,245,000.00) Equity, (File 333-172785 - Mar. 11) (BR. 04A)
S-3 CYTORI THERAPEUTICS, INC., 3020 CALLAN ROAD, SAN DIEGO, CA, 92121,
8584580900 - 0 ($100,000,000.00) Unallocated (Universal) Shelf,
(File 333-172787 - Mar. 11) (BR. 10A)
S-8 HANDY & HARMAN LTD., 1133 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604,
914 461-1300 - 1,120,000 ($13,787,200.00) Equity, (File 333-172788 -
Mar. 11) (BR. 06A)
S-3 METALLINE MINING CO, 885 WEST GEORGIA STREET, SUITE 2200, VANCOUVER,
A1, V6C 3E8, 604-687-5800 - 0 ($125,000,000.00) Equity,
(File 333-172789 - Mar. 11) (BR. 04B)
S-1 SOLAZYME INC, 225 GATEWAY BLVD., S. SAN FRANCISCO, CA, 94080,
650-780-4777 - 0 ($100,000,000.00) Equity, (File 333-172790 - Mar. 11)
(BR. )
S-3ASR General Growth Properties, Inc., 110 N. WACKER DRIVE, CHICAGO, IL,
60606, 312-960-5000 - 0 ($1,799,406,648.94) Equity, (File 333-172791 -
Mar. 11) (BR. 08B)
S-1 CROSSROADS SYSTEMS INC, 11000 NORTH MOPAC EXPRESSWAY, AUSTIN, TX,
78759, 5123490300 - 0 ($14,361,329.00) Equity, (File 333-172792 -
Mar. 11) (BR. 03B)
S-3ASR General Growth Properties, Inc., 110 N. WACKER DRIVE, CHICAGO, IL,
60606, 312-960-5000 - 0 ($192,205,000.00) Equity, (File 333-172793 -
Mar. 11) (BR. 08B)
S-8 MERU NETWORKS INC, 894 ROSS DRIVE, SUNNYVALE, CA, 94089, 4083162379 -
816,890 ($17,162,858.90) Equity, (File 333-172794 - Mar. 11) (BR. 03B)
S-3D General Growth Properties, Inc., 110 N. WACKER DRIVE, CHICAGO, IL,
60606, 312-960-5000 - 0 ($1,478,500,000.00) Equity, (File 333-172795 -
Mar. 11) (BR. 08B)
F-3 IntelliPharmaCeutics International Inc., 30 WORCESTER ROAD, TORONTO,
A6, M9W 5X2, 416-798-3001 - 9,696,000 ($37,911,360.00) Equity,
(File 333-172796 - Mar. 11) (BR. 01A)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
99 CENTS ONLY STORES CA 8.01,9.01 03/10/11
A. H. Belo CORP DE 5.02,9.01 03/09/11
ABIOMED INC DE 1.02,9.01 03/08/11
ACADIA REALTY TRUST MD 7.01 03/11/11
ACADIA REALTY TRUST MD 7.01,9.01 03/10/11
AEROPOSTALE INC 5.02 03/11/11
AJ Acquisition Corp I, Inc. NV 5.02 03/10/11
AJ Acquisition Corp. II, Inc. NV 5.02 03/10/11
Akeena Solar, Inc. DE 3.01 03/09/11
ALAMO GROUP INC DE 2.02,9.01 03/09/11
ALLIANCE FIBER OPTIC PRODUCTS INC CA 1.01,3.03,9.01 03/10/11
ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 03/10/11
ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 03/10/11
Alon Refining Krotz Springs, Inc. DE 2.02,9.01 03/10/11
Alon USA Energy, Inc. DE 2.02,9.01 03/10/11
ALR TECHNOLOGIES INC 1.01,8.01,9.01 03/11/11
American Assets Trust, Inc. MD 2.01,7.01,9.01 03/11/11
AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 03/09/11
AMERICAN PACIFIC CORP DE 5.02,5.03,5.07,9.01 03/08/11
American Renal Holdings Inc. DE 7.01 03/01/11
AMERICAN STATES WATER CO CA 2.02,9.01 03/11/11
AMERICAN VANGUARD CORP DE 2.02,8.01,9.01 03/08/11
Amerilithium Corp. NV 3.02 03/07/11
ANALOG DEVICES INC MA 5.07 03/08/11
ANNTAYLOR STORES CORP DE 2.02,9.01 03/11/11
APPLIED MATERIALS INC /DE DC 5.07 03/08/11
Ardea Biosciences, Inc./DE DE 2.02,9.01 03/11/11
ARENA PHARMACEUTICALS INC DE 2.02,9.01 03/11/11
ARGENTEX MINING CORP DE 3.02 03/08/11
ARMSTRONG WORLD INDUSTRIES INC PA 1.01,2.03,9.01 03/11/11
ARYx Therapeutics, Inc. DE 3.01,5.02 03/10/11
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/10/11
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/11/11
ASIAINFO-LINKAGE, INC DE 5.02,9.01 03/09/11
Avantair, Inc DE 7.01,9.01 03/11/11
BankFinancial CORP 1.01,7.01,9.01 03/10/11
BEST BUY CO INC MN 1.01,9.01 03/08/11
Bidz.com, Inc. CA 2.02,9.01 03/11/11
BIOHEART, INC. FL 8.01,9.01 03/05/11
BIOSPECIFICS TECHNOLOGIES CORP DE 2.02,9.01 03/11/11
BlackRock Inc. DE 1.01,1.02,2.03,9.01 03/10/11
BLASTGARD INTERNATIONAL INC CO 1.01,2.01,3.02,5.02, 03/04/11
9.01
Bloggerwave, Inc. NV 4.02 03/08/11
Blugrass Energy, Inc. NV 4.01,9.01 02/23/11 AMEND
BRINKS CO VA 7.01,9.01 03/11/11
BRT REALTY TRUST MA 5.07 03/07/11
Bunge LTD 8.01,9.01 03/08/11
CABLEVISION SYSTEMS CORP /NY DE 8.01,9.01 03/10/11
CALAIS RESOURCES INC 4.01 03/10/11
CANADIAN DERIVATIVES CLEARING CORP A6 9.01 02/28/11
CAPITAL BANK CORP NC 7.01,8.01 03/11/11
CAPRIUS INC DE 1.01,7.01,9.01 03/09/11
Cardiogenesis Corp /CA CA 2.02,9.01 03/09/11
CARNIVAL CORP DE 2.02,9.01 03/11/11
CASCADE MICROTECH INC 8.01 03/11/11
CDW Corp DE 1.01,9.01 03/11/11
CELADON GROUP INC DE 8.01,9.01 03/09/11
CHAMPION INDUSTRIES INC WV 2.02,9.01 03/11/11
CHINA CLEAN ENERGY INC DE 5.02,9.01 03/09/11
China Forestry Industry Group, Inc. CA 1.01,2.01,3.02,5.01, 03/11/11 AMEND
5.02,5.03,5.06,5.07,
9.01
China Housing & Land Development, Inc NV 7.01,9.01 03/09/11
CHINA VALVES TECHNOLOGY, INC NV 2.02,7.01,9.01 03/11/11
CHINA YIDA HOLDING, CO. 7.01,9.01 03/06/11
CIGNA CORP DE 7.01 03/11/11
CINCINNATI BELL INC OH 2.02,9.01 03/11/11
CITADEL BROADCASTING CORP DE 1.01,7.01,9.01 03/10/11
Citi Trends Inc 2.02,9.01 03/11/11
CLAYTON WILLIAMS ENERGY INC /DE DE 7.01,9.01 03/11/11
CLEAN POWER CONCEPTS INC. 1.01,2.01 03/11/11
Clearwater Paper Corp DE 2.01,9.01 12/27/10 AMEND
Cobalt International Energy, Inc. 8.01 03/11/11
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 03/09/11
Cole Credit Property Trust II Inc MD 8.01 03/07/11
Cole Credit Property Trust III, Inc. MD 8.01 03/08/11
COMMONWEALTH BIOTECHNOLOGIES INC VA 8.01 12/31/10
COMMUNICATIONS SYSTEMS INC MN 2.02,9.01 03/09/11
COMPLETE GENOMICS INC DE 2.02,9.01 03/10/11
COMPUTER TASK GROUP INC NY 5.02 03/07/11
CONSOL Energy Inc DE 1.01,2.03,8.01,9.01 03/09/11
CONSPIRACY ENTERTAINMENT HOLDINGS INC UT 3.02,9.01 02/25/11
COUNTERPATH CORP NV 5.02 03/10/11
CPI AEROSTRUCTURES INC NY 2.02 03/09/11
CREDO PETROLEUM CORP DE 2.02,9.01 03/10/11
CROWN MEDIA HOLDINGS INC DE 8.01 03/09/11
CYTRX CORP DE 2.02,9.01 03/11/11
DANA HOLDING CORP DE 1.01,1.02,2.03,9.01 03/08/11
Debut Broadcasting Corporation, Inc. NV 4.01,9.01 08/18/10 AMEND
DENDREON CORP DE 5.02,8.01,9.01 03/09/11
DIODES INC /DEL/ DE 7.01,9.01 03/10/11
Dividend Capital Total Realty Trust I 8.01,9.01 03/11/11
Domark International Inc. NV 2.03 03/11/11
Dorman Products, Inc. PA 8.01,9.01 03/11/11
DTE ENERGY CO MI 7.01,9.01 03/11/11
Duke Energy CORP DE 8.01,9.01 03/10/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01 03/10/11 AMEND
EAST WEST BANCORP INC 5.02,9.01 03/07/11
EASTMAN KODAK CO NJ 8.01,9.01 03/10/11
EDGAR ONLINE INC DE 2.02,9.01 03/11/11
EDGEWATER TECHNOLOGY INC/DE/ DE 5.02 03/09/11
EDUCATION MANAGEMENT CORPORATION 8.01,9.01 03/11/11
EMC INSURANCE GROUP INC IA 5.02,5.03,9.01 03/07/11
EMMIS COMMUNICATIONS CORP IN 5.02,8.01,9.01 03/11/11
EMS TECHNOLOGIES INC GA 5.02 03/07/11
ENERGY CONVERSION DEVICES INC DE 7.01,9.01 03/10/11
ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 03/11/11
ENGLOBAL CORP NV 2.02,9.01 03/10/11
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,7.01,9.01 03/11/11
FAMILY DOLLAR STORES INC DE 5.02,9.01 03/09/11
FAR EAST ENERGY CORP NV 1.01,7.01,9.01 03/11/11
FERRELLGAS PARTNERS L P DE 2.02,7.01,9.01 03/11/11
FiberTower CORP DE 2.02,9.01 03/10/11
FINANCIAL INSTITUTIONS INC NY 8.01,9.01 03/11/11
First Liberty Power Corp NV 4.01 03/03/11
FIRST NIAGARA FINANCIAL GROUP INC DE 8.01,9.01 03/11/11
FIRST OTTAWA BANCSHARES INC DE 2.02,9.01 03/08/11
FIRST UNITED CORP/MD/ MD 2.02,9.01 03/08/11
FORWARD INDUSTRIES INC NY 5.02,5.07,9.01 03/07/11
FRANKLIN COVEY CO UT 4.01,9.01 03/07/11
FUELCELL ENERGY INC DE 2.02,9.01 03/09/11
GAP INC DE 5.02,9.01 03/11/11
GASTAR EXPLORATION LTD 2.02,9.01 03/11/11
GASTAR EXPLORATION LTD 5.02,7.01,9.01 03/08/11
GateHouse Media, Inc. DE 5.02,9.01 03/08/11
GBS Enterprises Inc NV 7.01,9.01 03/11/11
GBS Enterprises Inc NV 3.02 03/11/11
GENERAL METALS CORP DE 3.02,7.01,9.01 03/08/11
General Motors Co 5.02,9.01 03/07/11
GENSPERA INC DE 7.01 03/08/11
GENTA INC DE/ DE 3.03 03/11/11
GEOSPATIAL HOLDINGS, INC. NV 1.01,2.01,7.01,9.01 03/07/11
GERON CORP DE 5.02 03/09/11
Glen Rose Petroleum CORP DE 5.03,9.01 03/07/11
GLOBAL CLEAN ENERGY, INC. MD 4.01 02/09/11 AMEND
GLOBAL CROSSING LTD 5.02 03/07/11
GLOBAL DEFENSE TECHNOLOGY & SYSTEMS, DE 8.01,9.01 03/01/11
Global Geophysical Services Inc DE 8.01,9.01 03/08/11
Google Inc. DE 5.02 03/07/11
GP STRATEGIES CORP DE 1.01,8.01,9.01 03/08/11
GREEN EARTH TECHNOLOGIES INC DE 1.01,3.02,9.01 03/07/11
GREENMAN TECHNOLOGIES INC DE 7.01,8.01,9.01 03/08/11
Grubb & Ellis Healthcare REIT II, Inc MD 2.02,9.01 03/11/11
GSI GROUP INC A3 8.01,9.01 03/09/11
GTSI CORP DE 2.02,9.01 03/11/11
HALOZYME THERAPEUTICS INC DE 2.02,9.01 03/11/11
HARDINGE INC NY 5.02,9.01 03/07/11
HAWKINS INC MN 5.02,9.01 03/09/11
HEALTHCARE REALTY TRUST INC MD 1.01,9.01 03/11/11
HEARTLAND EXPRESS INC NV 8.01,9.01 03/11/11
Helix Wind, Corp. NV 5.02,8.01 03/02/11
HI TECH PHARMACAL CO INC NY 2.02,9.01 03/10/11
HIBBETT SPORTS INC 2.02,7.01,9.01 03/11/11
Hicks Acquisition CO II, Inc. 8.01,9.01 03/07/11
HILLMAN COMPANIES INC DE 2.02,8.01,9.01 03/10/11
Homeowners Choice, Inc. FL 3.03,5.03,9.01 03/07/11
HOOPER HOLMES INC NY 2.02,9.01 03/11/11
Horizon Lines, Inc. 1.01,8.01,9.01 03/09/11
IBERIABANK CORP LA 1.01,7.01,9.01 03/10/11
inContact, Inc. DE 2.02,9.01 03/10/11 AMEND
INCYTE CORP DE 5.02 03/08/11
India Globalization Capital, Inc. MD 5.02,9.01 03/11/11
Infrared Systems International NV 9.01 03/09/11 AMEND
InfuSystem Holdings, Inc DE 2.02,9.01 03/10/11
INHIBITEX, INC. DE 2.02,9.01 03/11/11
Inland American Real Estate Trust, In MD 7.01,8.01,9.01 03/11/11
INTERLINK-US-NETWORK, LTD. CA 5.02 03/07/11
INTERNATIONAL FLAVORS & FRAGRANCES IN NY 5.02,5.03,8.01,9.01 03/08/11
INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 03/11/11
KMG CHEMICALS INC TX 2.02,9.01 03/11/11
KMG CHEMICALS INC TX 2.02,9.01 03/11/11
Kohlberg Capital CORP DE 8.01,9.01 03/11/11
LADENBURG THALMANN FINANCIAL SERVICES FL 2.02,9.01 03/11/11
Lake Victoria Mining Company, Inc. NV 1.01,3.02,9.01 03/07/11
LBI MEDIA HOLDINGS INC 2.02,9.01 03/07/11
LECG CORP DE 8.01,9.01 03/10/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 03/11/11
LIBERTY ENERGY CORP. NV 1.01,9.01 03/08/11
LMI AEROSPACE INC MO 2.02,7.01,9.01 03/11/11
LML PAYMENT SYSTEMS INC A1 1.01,9.01 03/11/11
LSB FINANCIAL CORP IN 2.02,9.01 03/11/11
LUBYS INC DE 2.02,9.01 03/10/11
MAGNACHIP SEMICONDUCTOR Corp DE 1.01,3.03,5.02,5.03, 03/10/11
8.01,9.01
Main Street Capital CORP MD 2.02,9.01 03/10/11
MAKEMUSIC, INC. MN 1.01,9.01 03/07/11
MAN SHING AGRICULTURAL HOLDINGS, INC NV 2.03,9.01 03/08/11
MANHATTAN PHARMACEUTICALS INC DE 1.01,1.02 01/04/11 AMEND
Manitex International, Inc. MI 7.01,9.01 03/11/11
MANPOWER INC /WI/ WI 5.02,9.01 03/07/11
MARKWEST ENERGY PARTNERS L P 7.01,9.01 03/10/11
MATTEL INC /DE/ DE 1.01,1.02,2.03,9.01 03/08/11
MATTEL INC /DE/ DE 5.02 03/08/11
McAfee, Inc. DE 5.02 03/10/11
MERCER GOLD CORP. NV 7.01,9.01 03/10/11
MFA FINANCIAL, INC. MD 1.01,5.03,9.01 03/08/11
MGT CAPITAL INVESTMENTS INC DE 5.02 03/07/11
MGT CAPITAL INVESTMENTS INC DE 8.01,9.01 03/09/11
MICROFLUIDICS INTERNATIONAL CORP DE 3.02,3.03,5.02,8.01, 03/10/11
9.01
MICROSTRATEGY INC DE 5.02 03/07/11
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 03/11/11
MILLER HERMAN INC MI 7.01,9.01 03/11/11
MORGANS FOODS INC OH 5.02 03/09/11
Motorola Mobility Holdings, Inc 5.02,9.01 03/07/11
MUELLER INDUSTRIES INC DE 1.01,2.03,9.01 03/07/11
MVB FINANCIAL CORP WV 3.02 03/10/11
NATIONAL BANCSHARES CORP /OH/ OH 2.02 12/31/10
NATIONAL BEVERAGE CORP DE 2.02,9.01 03/11/11
Neiman Marcus, Inc. DE 2.02,9.01 03/11/11
NEWALLIANCE BANCSHARES INC 8.01,9.01 03/11/11
NEWMONT MINING CORP /DE/ DE 8.01 03/09/11
NGP Capital Resources Co MD 2.02,7.01,9.01 03/11/11
NORTH CENTRAL BANCSHARES INC IA 2.02,9.01 12/31/10
NORTHEAST UTILITIES MA 8.01 03/10/11
NORTHWEST INDIANA BANCORP IN 8.01,9.01 03/11/11
NSTAR/MA 8.01 03/11/11
NuStar Energy L.P. DE 1.01,2.03,9.01 03/07/11
NuStar GP Holdings, LLC DE 1.01,2.03,9.01 03/07/11
NxStage Medical, Inc. DE 5.02 03/08/11
ODYSSEY MARINE EXPLORATION INC NV 5.02 03/07/11
OIL DRI CORP OF AMERICA DE 2.02,9.01 03/10/11
OMEGA PROTEIN CORP NV 8.01,9.01 03/09/11
OMEGA PROTEIN CORP NV 8.01,9.01 03/09/11
ON SEMICONDUCTOR CORP DE 9.01 01/01/11 AMEND
Oneida Financial Corp. MD 8.01,9.01 03/10/11
ONEOK INC /NEW/ OK 7.01,9.01 03/11/11
ONEOK Partners LP DE 7.01,9.01 03/11/11
PALL CORP NY 2.02,9.01 03/10/11
Pebblebrook Hotel Trust MD 1.01,3.03,5.03,8.01, 03/08/11
9.01
Penn Virginia GP Holdings, L.P. 3.01,5.07,7.01,8.01, 03/09/11
9.01
PENN VIRGINIA RESOURCE PARTNERS L P DE 1.01,3.03,5.02,5.03, 03/09/11
7.01,9.01
PEOPLES BANCORP INC OH 5.02,8.01,9.01 03/11/11
PEREGRINE PHARMACEUTICALS INC DE 2.02,7.01,9.01 03/11/11
PINNACLE AIRLINES CORP DE 8.01,9.01 03/08/11
PITTSBURGH & WEST VIRGINIA RAILROAD PA 5.02 03/11/11
PREMIER ALLIANCE GROUP, INC. NV 3.02 04/30/10 AMEND
PREMIER ALLIANCE GROUP, INC. NV 3.02 12/06/10 AMEND
Prime Sun Power Inc NV 1.01,9.01 03/10/11
PRINCETON REVIEW INC DE 1.01,2.03,5.02,5.05, 03/08/11
7.01,9.01
PROCERA NETWORKS INC NV 2.02,5.02,9.01 03/09/11
PROTEONOMIX, INC. DE 8.01 03/11/11
PSM HOLDINGS INC NV 1.01,9.01 03/09/11
PUBLIC MEDIA WORKS INC DE 1.01,3.02,5.02,9.01 03/07/11
PURE BIOFUELS CORP NV 5.02 03/10/11
PURE BIOSCIENCE CA 5.02 03/07/11
RACKSPACE HOSTING, INC. 5.02,9.01 03/10/11
RASER TECHNOLOGIES INC UT 2.06,8.01 03/10/11
RC2 CORP DE 1.01,5.02,7.01,9.01 03/10/11
REINSURANCE GROUP OF AMERICA INC MO 1.01,7.01,9.01 03/07/11
Reliance Bancshares, Inc. MO 2.02,9.01 03/11/11
RESOURCE ACQUISITION GROUP, INC. NV 8.01,9.01 03/11/11
RIMAGE CORP MN 7.01,9.01 03/11/11
Riverview Financial Corp PA 7.01,8.01,9.01 03/09/11
Riverview Financial Corp PA 7.01,8.01,9.01 03/09/11
RUSH ENTERPRISES INC \TX\ TX 5.02,9.01 03/10/11
SALIX PHARMACEUTICALS LTD 4.01,8.01,9.01 03/09/11
SHILOH INDUSTRIES INC DE 5.02 03/09/11
SIGA TECHNOLOGIES INC DE 5.02 03/09/11
Silver Falcon Mining, Inc. DE 8.01 03/11/11
Sino Clean Energy Inc NV 5.02,9.01 03/07/11
SIRONA DENTAL SYSTEMS, INC. DE 8.01,9.01 03/10/11
Sky Harvest Windpower Corp. NV 5.02,9.01 03/10/11
SMITH & WESSON HOLDING CORP NV 2.02,7.01,9.01 03/10/11
SMTC CORP DE 2.02,5.02,9.01 03/09/11
Socialwise, Inc. (formerly known as I CO 5.02 03/10/11
SOUPMAN, INC. DE 4.01,9.01 03/07/11
SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 03/10/11
SOUTHWESTERN WATER EXPLORATION CO CO 5.02,5.07 03/04/11
SPAN AMERICA MEDICAL SYSTEMS INC SC 5.07 02/18/11 AMEND
STATION CASINOS INC NV 8.01,9.01 03/10/11
Station Casinos LLC NV 1.01,8.01,9.01 03/10/11
STEEL DYNAMICS INC IN 8.01,9.01 03/10/11
STERICYCLE INC DE 5.03,9.01 03/07/11
STR HOLDINGS, INC. DE 2.02,9.01 03/10/11
STRATEGIC AMERICAN OIL CORP NV 8.01,9.01 03/10/11
Sucampo Pharmaceuticals, Inc. 9.01 12/23/10 AMEND
SUPERGEN INC DE 5.02,9.01 03/10/11
SXC Health Solutions Corp. A6 5.02,8.01 03/09/11
SYCAMORE NETWORKS INC DE 5.02,9.01 03/07/11
SYKES ENTERPRISES INC FL 5.02 03/07/11
TARGACEPT INC 5.02,9.01 03/08/11
TECUMSEH PRODUCTS CO MI 5.02,7.01,9.01 03/07/11
TECUMSEH PRODUCTS CO MI 5.02,9.01 03/07/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02,9.01 03/07/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 5.02 03/11/11
TELETOUCH COMMUNICATIONS INC DE 1.01,9.01 03/09/11
TETRA TECH INC DE 5.02,9.01 03/10/11
THRESHOLD PHARMACEUTICALS INC DE 1.01,8.01,9.01 03/11/11
TIB FINANCIAL CORP. FL 7.01 03/11/11
TOPSPIN MEDICAL INC 5.02 03/07/11
TRANSATLANTIC HOLDINGS INC DE 7.01,9.01 03/10/11
TRICO BANCSHARES / CA 8.01,9.01 03/10/11
TrueBlue, Inc. WA 5.02,9.01 03/10/11
U. S. Premium Beef, LLC 7.01,9.01 03/11/11
ULURU INC. NV 3.01,8.01,9.01 03/07/11
UMH PROPERTIES, INC. MD 2.02,9.01 03/11/10
UNIFI INC NY 5.02 03/09/11
UNIFY CORP 2.02,9.01 03/11/11
United Development Funding IV MD 8.01 03/11/11
UNITED REFINING CO PA 1.01,2.03,8.01,9.01 03/08/11
UNITED STATES CELLULAR CORP DE 5.02,9.01 03/07/11
UNITED STATES CELLULAR CORP DE 5.02 03/11/11
Universal Bioenergy, Inc. 8.01,9.01 03/11/11
URANIUM 308 CORP. NV 4.01 03/03/11
Urban Barns Foods Inc. NV 1.01,9.01 03/07/11
USAutos Series 2004-1 Trust DE 8.01,9.01 03/03/11
USChina Channel Inc 4.01,9.01 01/19/11
UTSTARCOM INC DE 2.02,9.01 03/11/11
UTSTARCOM INC DE 2.02,9.01 03/11/11
V F CORP PA 7.01,9.01 03/11/11
VALERO ENERGY CORP/TX DE 7.01,8.01,9.01 03/11/11
Vanity Events Holding, Inc. DE 1.01,2.01,3.02,5.01, 12/31/10 AMEND
5.02,9.01
VECTREN CORP IN 8.01 03/09/11
VISTA GOLD CORP B0 7.01 03/07/11
VOICE MOBILITY INTERNATIONAL INC NV 2.01,2.03,3.02,9.01 02/25/11
Walter Energy, Inc. DE 8.01,9.01 03/10/11
Walter Energy, Inc. DE 8.01,9.01 03/08/11
WARREN RESOURCES INC MD 5.02 03/04/11
WASTE MANAGEMENT INC DE 5.02,9.01 03/09/11
WATTS WATER TECHNOLOGIES INC DE 8.01 03/08/11
WEB.COM GROUP, INC. 5.02,9.01 03/07/11
WELLS REAL ESTATE INVESTMENT TRUST II MD 2.02,9.01 03/11/11
Western Union CO DE 5.02 03/07/11
WINSONIC DIGITAL MEDIA GROUP, LTD. NV 1.01 03/10/11
WINSONIC DIGITAL MEDIA GROUP, LTD. NV 7.01 03/11/11
X-CHANGE CORP NV 1.01,7.01,9.01 03/07/11
ZEBRA TECHNOLOGIES CORP 5.02 03/07/11
ZION OIL & GAS INC DE 8.01,9.01 03/07/11
http://www.sec.gov/news/digest/2011/dig031411.htm
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