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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-49
March 14, 2011

Enforcement Proceedings

Petition to Lift Temporary Suspension of Carl W. Jasper Denied

The 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. Dupuis

On March 11, 2011, the Honorable Tucker L. Melanšon 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 Melanšon 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 Scheme

The 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 Organizations

Immediate Effectiveness of Proposed Rule Change

A 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 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.

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 Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

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.

                                        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


Modified: 03/14/2011