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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-52
March 17, 2011

Rules and Related Matters

Beneficial Ownership Reporting Requirements and Security-Based Swaps

The Securities and Exchange Commission today proposed to readopt without change the relevant portions of existing rules that govern beneficial ownership determinations under Sections 13 and 16 of the Securities Exchange Act of 1934. The proposed rulemaking is being undertaken to preserve the application of our existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) under the Exchange Act, which was added by Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposals to readopt, without change, the relevant portions of Exchange Act Rules 13d-3 and 16a-1 are intended to clarify that following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now. Public comments on the rule proposal should be received by April 15, 2011. (Rel. 34-64087)

Commission Announcements

SEC Charges Kentucky Steel Company Executives With Insider Trading

The Securities and Exchange Commission today charged four executives at a Louisville-based steel processing company and four of their family and friends with illegal insider trading in advance of the company’s acquisition.

The SEC alleges that Patrick Carroll, William “Tad” Carroll, David Mark Calcutt and David Stitt – who are vice presidents of sales at Steel Technologies – traded based on confidential information about their company’s acquisition by Mitsui & Co. (USA) Inc. Three of the four executives illegally tipped family members or friends. The ring of eight traders together purchased $578,000 of Steel Technologies stock in the month prior to the public announcement of the acquisition and made $320,000 in illegal profits.

Merri Jo Gillette, Director of the SEC’s Chicago Regional Office, said, “Our complaint alleges that these high-level salespeople exploited their insider status for monetary gain, and their friends and family knowingly used confidential information to gain an illegal advantage over other traders in the market.”

Specifically, the SEC alleges that Patrick Carroll tipped his son James Carroll, and Calcutt tipped his brother Christopher Calcutt. David Stitt tipped his friend John Monroe, who then tipped another friend Stephen Somers.

According to the SEC’s complaint filed in U.S. District Court for the Western District of Kentucky, Patrick and Tad Carroll are brothers of Michael Carroll, who is the president and chief operating officer of Steel Technologies. Patrick traded after Michael introduced him to Mitsui representatives who were touring the Steel Technologies facility where Patrick worked. Patrick tipped his son James, who then purchased his own Steel Technologies stock shortly before the acquisition was publicly announced. Tad bought more than $84,000 of Steel Technologies stock approximately one week before the public announcement following his own communications with Michael.

The SEC alleges that before getting inside information about the forthcoming acquisition, Calcutt liquidated nearly all of his company stock. However after he went on a hunting trip with Michael Carroll, Calcutt soon started aggressively buying Steel Technologies stock at higher prices. He also tipped his brother Christopher Calcutt, who then sold all of his shares in another company for a loss and used that money to buy Steel Technologies stock on margin to increase his illicit gains.

According to the SEC’s complaint, Stitt, Monroe and Somers have known each other since childhood. Stitt learned about the forthcoming acquisition on the Friday before the public announcement and immediately purchased Steel Technologies stock that same day. Over the weekend, Stitt told Monroe about the forthcoming acquisition. On Monday, Monroe passed the inside information to Somers. That same day, Monroe told his broker to immediately open a new account so he could buy Steel Technologies stock. Somers also immediately traded based on the inside information. During the SEC’s investigation, Stitt and Monroe contradicted each other’s testimony about their communications and advance knowledge of the acquisition.

The SEC’s complaint charges the eight defendants with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, and the imposition of monetary penalties against all defendants.

Jake Schmidt, Pesach Glaser and James A. Davidson of the SEC’s Chicago Regional Office conducted the SEC’s investigation. The SEC’s litigation will be led by Daniel J. Hayes. The SEC’s investigation is continuing.

The SEC thanks FINRA for its cooperation and assistance in this matter.

For more information about this enforcement action, contact:

Robert J. Burson
Associate Regional Director, SEC Division of Enforcement
(312) 353-7428

(Press Rel. 2011-69)

Commission Meetings

Closed Meeting on Thursday, March 24, 2011 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, March 24, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; a regulatory matter regarding a financial institution; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-14) adopting rules related to Qualified Contingent Cross orders 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 21. (Rel. 34-64085)

A proposed rule change filed by the New York Stock Exchange amending NYSE Rule 36 to permit written communications to be sent electronically between the Designated Market Maker Unit’s post location on the floor and the DMM Unit’s off-floor offices and to persons permitted to provide non-trading related services to the DMM under Rule 98 (SR-NYSE-2011-10) 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 21. (Rel. 34-64088)

A proposed rule change filed by NYSE Amex amending NYSE Amex Equities Rule 36 to permit written communications to be sent electronically between the Designated Market Maker Unit’s post location on the floor and the DMM Unit’s off-floor offices and to persons permitted to provide non-trading related services to the DMM under NYSE Amex Equities Rule 98 (SR-NYSEAmex-2011-16) 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 21. (Rel. 34-64089)

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-1     IF Bancorp, Inc., 201 E. CHERRY ST, WATSEKA, IL, 60970, 
        (815) 432-2476 - 0 ($48,122,550.00) Equity, (File 333-172843 - Mar. 16) 
        (BR. )

S-1     SINGLE TOUCH SYSTEMS INC, 2235 ENCINITAS BLVD. SUITE 210, ENCINITAS, 
        CA, 92024, 7604380100 - 0 ($1,573,497.12) Equity, (File 333-172844 - 
        Mar. 16) (BR. 03C)

S-1     CORTINA SYSTEMS INC, 1376 BORDEAUX DRIVE, SUNNYVALE, CA, 94089, 
        408-481-2330 - 0 ($100,000,000.00) Equity, (File 333-172845 - Mar. 16) 
        (BR. )

S-1     Reef 2011 - 2012 Drilling Program, 1901 N. CENTRAL EXPRESSWAY, 
        SUITE 300, RICHARDSON, TX, 75080, 972-437-6792 - 
        0 ($225,000,000.00) Limited Partnership Interests, (File 333-172846 - 
        Mar. 16) (BR. )

S-8     Vale S.A., AVENIDA GRACA ARANHA #26, RIO DE JANEIRO, D5, 20005-900, 
        552138144540 - 0 ($563,050,000.00) Equity, (File 333-172847 - Mar. 16) 
        (BR. 04A)

S-8     HANSEN MEDICAL INC, 380 NORTH BERNARDO AVENUE, MOUNTAIN VIEW, CA, 
        94043, 650 404 5800 - 2,906,044 ($5,841,148.44) Equity, 
        (File 333-172848 - Mar. 16) (BR. 10B)

S-3     PRO PHARMACEUTICALS INC, 189 WELLS ST, STE 200, NEWTON, MA, 02459, 
        6175590033 - 0 ($50,000,000.00) Equity, (File 333-172849 - Mar. 16) 
        (BR. 01B)

S-1     Unique Underwriters, Inc., 5650 COLLEYVILLE ROAD, COLLEYVILLE, TX, 
        76034, 8172813200 - 8,333,333 ($600,000.00) Equity, (File 333-172850 - 
        Mar. 16) (BR. )

S-1     MetLife Insurance CO of Connecticut, 1300 HALL BOULEVARD, BLOOMFIELD, 
        CT, 06002, 860-277-0111 - 0 ($20,000,000.00) Other, (File 333-172860 - 
        Mar. 16) (BR. 01B)

S-8     SATCON TECHNOLOGY CORP, 27 DRYDOCK AVENUE, BOSTON, MA, 02210, 
        6178972400 - 0 ($1,165,000.00) Equity, (File 333-172861 - Mar. 16) 
        (BR. 10C)

S-3D    Inland American Real Estate Trust, Inc., 2901 BUTTERFIELD ROAD, 
        OAK BROOK, IL, 60523, 630-218-8000 - 0 ($803,000,000.00) Equity, 
        (File 333-172862 - Mar. 16) (BR. 08A)

S-3     CCRE Commercial Mortgage Securities, L.P., 110 EAST 59TH STREET, 
        NEW YORK, NY, 10022, 212-938-5000 - 
        1,000,000 ($1,000,000.00) Mortgage Backed Securities, 
        (File 333-172863 - Mar. 16) (BR. )

S-8     MAGNACHIP SEMICONDUCTOR Corp, C/O MAGNACHIP SEMICONDUCTOR S.A., 
        74, RUE DE MERL, LUXEMBOURG, N4, L-2146, (352) 45-62-62 - 
        3,637,950 ($35,537,328.66) Equity, (File 333-172864 - Mar. 16) (BR. 10B)

S-1     Augme Technologies, Inc., 43 WEST 24TH STREET, SUITE 11B, NEW YORK, NY, 
        10010, 800-825-8135 - 3,462,215 ($13,364,149.00) Equity, 
        (File 333-172865 - Mar. 16) (BR. 11C)

S-8     LPL Investment Holdings Inc., ONE BEACON STREET , FLOOR 22, BOSTON, MA, 
        02108, 617 423 3644 - 0 ($401,673,862.81) Equity, (File 333-172866 - 
        Mar. 16) (BR. 08B)

S-3     METALLINE MINING CO, 885 WEST GEORGIA STREET, SUITE 2200, VANCOUVER, 
        A1, V6C 3E8, 604-687-5800 - 2,545,976 ($2,775,139.00) Equity, 
        (File 333-172868 - Mar. 16) (BR. 04B)

N-2     Eaton Vance Floating-Rate Income Trust, TWO INTERNATIONAL PLACE, 
        BOSTON, MA, 02110, 617-482-8260 - 60,169 ($1,000,008.78) Equity, 
        (File 333-172869 - Mar. 16) (BR. 16)

N-2     EATON VANCE SENIOR FLOATING RATE TRUST, TWO INTERNATIONAL PLACE, 
        BOSTON, MA, 02110, 617-482-8260 - 58,549 ($1,000,016.92) Equity, 
        (File 333-172870 - Mar. 16) (BR. 16)

S-8     REALNETWORKS INC, 2601 ELLIOTT AVENUE, STE 1000, SEATTLE, WA, 98121, 
        2066742700 - 0 ($7,280,000.00) Equity, (File 333-172871 - Mar. 16) 
        (BR. 03B)

S-3     DELL INC, ONE DELL WAY, STED, ROUND ROCK, TX, 78682-2244, 5127284737 - 
        0 ($1.00) Debt, (File 333-172872 - Mar. 16) (BR. 03B)

S-8     ZHONE TECHNOLOGIES INC, 7195 OAKPORT STREET, OAKLAND, CA, 94621, 
        5107777000 - 1,504,552 ($3,290,784.35) Equity, (File 333-172876 - 
        Mar. 16) (BR. 11B)

S-8     PRINCETON REVIEW INC, 111 SPEEN STREET, SUITE 550, FRAMINGHAM, MA, 
        01701, 508-663-5050 - 2,337,500 ($4,002,000.00) Equity, 
        (File 333-172878 - Mar. 16) (BR. 11C)

S-4     BERRY PLASTICS CORP, 101 OAKLEY ST, P O BOX 959, EVANSVILLE, IN, 47710, 
        8124242904 - 800 ($800.00) Debt, (File 333-172879 - Mar. 16) (BR. 06A)

S-8     VORNADO REALTY TRUST, 888 SEVENTH AVE, NEW YORK, NY, 10019, 
        212-894-7000 - 17,256,258 ($1,489,560,190.56) Equity, 
        (File 333-172880 - Mar. 16) (BR. 08C)

S-8     SOLTA MEDICAL INC, 25881 INDUSTRIAL BOULEVARD, HAYWARD, CA, 94545, 
        5107822286 - 2,700,000 ($7,956,000.00) Equity, (File 333-172881 - 
        Mar. 16) (BR. 10C)

S-1     ChromaDex Corp., 10005 MUIRLANDS BLVD., STE. G, FIRST FLOOR, IRVINE, 
        CA, 92618, 949-419-0288 - 0 ($5,731,014.00) Equity, (File 333-172882 - 
        Mar. 16) (BR. 01A)

N-2     Duff & Phelps Global Utility & Midstream Energy Income Fund Inc., 
        200 SOUTH WACKER DRIVE, SUITE 500, CHICAGO, IL, 60606, (312) 368-5510 - 
        250,000 ($5,000,000.00) Equity, (File 333-172883 - Mar. 16) (BR. )

S-3     PINNACLE ENTERTAINMENT INC., 8918 SPANISH RIDGE AVENUE, LAS VEGAS, NV, 
        89148, 702-541-7777 - 0 ($2,494,000.00) Equity, (File 333-172884 - 
        Mar. 16) (BR. 08B)

N-2     FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND, 2455 CORPORATE WEST DRIVE, 
        LISLE, IL, 60532, 630-505-3700 - 0 ($200,000,000.00) Equity, 
        (File 333-172885 - Mar. 16) (BR. 16)

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

1st United Bancorp, Inc.                FL       7.01,8.01,9.01       03/16/11

3D SYSTEMS CORP                         DE       8.01,9.01            03/11/11

AAR CORP                                DE       2.02,9.01            03/15/11

Accredited Members Holding Corp         CO       1.01                 03/10/11

ACORN ENERGY, INC.                      DE       5.02                 03/10/11

ADA-ES INC                              CO       7.01,9.01            03/16/11

ADVENT SOFTWARE INC /DE/                DE       5.02,5.03,9.01       03/10/11

AE Biofuels, Inc.                                1.01,2.03,7.01,9.01  03/09/11

AEI NET LEASE INCOME & GROWTH FUND XX   MN       2.01,9.01            03/10/11

AEROPOSTALE INC                                  5.02                 03/16/11

ALEXION PHARMACEUTICALS INC             DE       7.01                 03/15/11

ALION SCIENCE & TECHNOLOGY CORP         DE       1.01,2.03,9.01       03/11/11

ALTAIR NANOTECHNOLOGIES INC                      1.02                 03/10/11

AMCOL INTERNATIONAL CORP                DE       1.01,1.02,9.01       03/11/11

AMEREN CORP                             MO       8.01                 03/16/11

AMERICAN TOWER CORP /MA/                DE       5.02,8.01,9.01       03/10/11

Ampio Pharmaceuticals, Inc.             DE       1.01,3.02,9.01       03/10/11

ANADYS PHARMACEUTICALS INC                       5.02                 03/11/11

ANGIOTECH PHARMACEUTICALS INC                    2.02,9.01            03/16/11

ANN INC.                                DE       5.03,9.01            03/15/11

APPLIANCE RECYCLING CENTERS OF AMERIC   MN       1.01                 03/10/11

Arlington Asset Investment Corp.        VA       7.01,9.01            03/16/11

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            03/15/11

ASURE SOFTWARE INC                      DE       2.02,9.01            03/16/11

AtriCure, Inc.                          DE       1.01,2.03,9.01       03/15/11

AURORA GOLD CORP                        DE       8.01,9.01            03/16/11

AUTHENTIDATE HOLDING CORP               DE       5.02                 03/10/11

AVALON HOLDINGS CORP                    OH       5.02                 03/11/11

AVATAR HOLDINGS INC                     DE       2.02,7.01,9.01       03/16/11

BALLANTYNE STRONG, INC.                 DE       2.02,9.01            03/15/11

BANK OF AMERICA CORP /DE/               DE       5.02,9.01            03/16/11

Bank of Commerce Holdings               CA       7.01,9.01            03/16/11

BASIC ENERGY SERVICES INC                        5.02,9.01            03/10/11

BAZI INTERNATIONAL, INC.                NV       3.02,8.01            03/14/11

BEACON POWER CORP                       DE       2.02,3.01,9.01       03/16/11

BG Medicine, Inc.                       DE       2.02,8.01,9.01       03/16/11

BIO KEY INTERNATIONAL INC               DE       2.02,9.01            03/16/11

BIODELIVERY SCIENCES INTERNATIONAL IN   DE       1.01,3.02,9.01       03/11/11

BIOLASE TECHNOLOGY INC                  DE       7.01,9.01            03/16/11

BION ENVIRONMENTAL TECHNOLOGIES INC     CO       7.01,8.01,9.01       03/01/11

BIOSANTE PHARMACEUTICALS INC            DE       2.02,9.01            03/16/11

BioScrip, Inc.                          DE       2.02                 03/11/11

BLOUNT INTERNATIONAL INC                DE       5.02,9.01            03/10/11

Blueknight Energy Partners, L.P.        DE       2.02,9.01            12/31/10

BOSTON PRIVATE FINANCIAL HOLDINGS INC   MA       7.01,9.01            03/16/11

BPZ RESOURCES, INC.                     TX       2.02,9.01            03/15/11

Bridge Capital Holdings                 CA       8.01,9.01            03/16/11

BROADWAY FINANCIAL CORP \DE\            DE       9.01                 03/15/11    AMEND

BUCKEYE PARTNERS, L.P.                  DE       7.01,9.01            03/16/11

BUCKEYE TECHNOLOGIES INC                DE       7.01,8.01,9.01       03/14/11

CALLON PETROLEUM CO                     DE       2.02,7.01,9.01       03/14/11

CAPITAL TRUST INC                       MD       1.01                 03/14/11

CENTURY ALUMINUM CO                     DE       5.02                 01/31/11    AMEND

CEPHALON INC                            DE       1.01,5.02,5.03,8.01, 03/10/11
                                                 9.01

CHARTER COMMUNICATIONS, INC. /MO/       DE       5.02,9.01            03/15/11

CHINA AGRITECH INC                      DE       8.01,9.01            03/13/11

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       5.02                 03/16/11

China Tel Group Inc                     NV       1.01,9.01            03/14/11

CHINDEX INTERNATIONAL INC               DE       2.02,7.01,9.01       03/16/11

CHINDEX INTERNATIONAL INC               DE       9.01                 12/31/10    AMEND

CIGNA CORP                              DE       7.01                 03/16/11

CINCINNATI BELL INC                     OH       7.01,9.01            03/16/11

CISCO SYSTEMS INC                       CA       1.01,5.02,8.01,9.01  03/15/11

Clearwater Paper Corp                   DE       7.01,9.01            03/16/11

COMARCO INC                             CA       5.02,9.01            03/10/11

COMMUNICATIONS SYSTEMS INC              MN       5.02,9.01            03/14/11

Conforce International, Inc.            DE       3.02                 03/16/11

CONVERGYS CORP                          OH       1.01,1.02,2.03,9.01  03/11/11

CoroWare, Inc,                          DE       3.02                 03/10/11

Covidien plc                                     5.02,9.01            03/16/11

CYTODYN INC                             CO       4.02,9.01            03/11/11

DATARAM CORP                            NJ       2.02,9.01            03/16/11

DAVITA INC                              DE       1.01,1.02,3.03,      03/10/11
                                                 5.03, 9.01

DecisionPoint Systems, Inc.             DE       9.01                 12/31/10    AMEND

DemandTec, Inc.                         DE       2.01,9.01            03/16/11

DEPOMED INC                             CA       1.02,8.01            03/15/11

Derycz Scientific Inc                   NV       7.01                 03/16/11

diaDexus, Inc.                          DE       5.02,7.01            03/10/11

DIAMOND OFFSHORE DRILLING INC           DE       5.03,9.01            03/15/11

Digital Realty Trust, Inc.                       7.01                 03/11/11

Diversified Restaurant Holdings, Inc.   NV       1.01,5.02            03/10/11

DJO Finance LLC                         DE       1.01,8.01,9.01       03/10/11

DOVER SADDLERY INC                               2.02,7.01,9.01       03/16/11

DREW INDUSTRIES INC                     DE       5.02                 03/10/11

Duff & Phelps Corp                      DE       5.02                 03/11/11

DXP ENTERPRISES INC                     TX       2.02,9.01            12/31/10

EAGLE ROCK ENERGY PARTNERS L P          DE       8.01,9.01            03/15/11

EASTMAN KODAK CO                        NJ       5.02                 03/14/11

EGPI FIRECREEK, INC.                    NV       5.02,9.01            03/10/11

ELEPHANT TALK COMMUNICATIONS INC        CA       7.01,9.01            03/16/11

Employers Holdings, Inc.                NV       7.01,9.01            03/15/11

ENDOLOGIX INC /DE/                      DE       2.02                 03/16/11

Enertopia Corp.                                  1.01,3.02,7.01,9.01  11/17/10

Ensco plc                                        8.01,9.01            03/08/11

EQUITY ONE, INC.                                 2.02,7.01            03/15/11

ESB FINANCIAL CORP                      PA       8.01,9.01            03/15/11

EXACT SCIENCES CORP                     DE       7.01,9.01            03/15/11

EXELON CORP                             PA       8.01,9.01            03/16/11

Explortex Energy Inc.                   NV       1.01,9.01            03/15/11

Explortex Energy Inc.                   NV       1.02,8.01            03/15/11    AMEND

Feihe International Inc                 UT       7.01,9.01            03/16/11

FIRST MARBLEHEAD CORP                            9.01                 12/31/10

FITWAYVITAMINS, INC.                    NV       4.01,9.01            03/10/11

FLINT TELECOM GROUP INC.                NV       9.01                 10/25/10    AMEND

FLINT TELECOM GROUP INC.                NV       9.01                 10/25/10    AMEND

Forex International Trading Corp.       NV       1.01,2.01,3.02,5.01, 12/30/10    AMEND
                                                 9.01

Fortegra Financial Corp                 DE       2.01                 03/11/11

FOSTER L B CO                           PA       7.01,9.01            03/15/11

FX ENERGY INC                           NV       8.01,9.01            03/16/11

GALLAGHER ARTHUR J & CO                 DE       7.01                 03/16/11

Gaming Partners International CORP      NV       5.02                 03/09/11

General Maritime Corp / MI                       2.02,8.01,9.01       03/16/11

GENERAL STEEL HOLDINGS INC              NV       2.02,7.01,9.01       03/16/11

GEORGIA POWER CO                        GA       8.01                 03/14/11

Global Immune Technologies Inc.         WY       5.02                 03/16/11

GLOBAL NUTECH, INC.                              7.01,9.01            03/16/11

GLOWPOINT INC                           DE       2.02,9.01            03/16/11

GMV Wireless, Inc.                      NV       8.01                 03/15/10

Good Earth Land Sales CO                FL       1.01,3.02,5.01,5.02, 03/16/11
                                                 9.01

GRACO INC                               MN       1.01,2.03,9.01       03/11/11

Great East Bottles & Drinks (China) H   FL       8.01,9.01            03/09/11

Great Lakes Dredge & Dock CORP          DE       2.01,9.01            01/03/11    AMEND

GREAT SOUTHERN BANCORP INC              MD       8.01,9.01            03/16/11

Greatmat Technology Corp                NV       4.01,9.01            03/02/11    AMEND

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       5.07                 03/10/11

GTSI CORP                               DE       2.02,9.01            03/11/11    AMEND

GUESS INC                               DE       2.02,9.01            03/16/11

H&E Equipment Services, Inc.            DE       7.01                 03/16/11

HARRIS CORP /DE/                        DE       7.01,9.01            03/16/11

HARVEST NATURAL RESOURCES, INC.         DE       2.02,9.01            03/16/11

HCA Holdings, Inc.                               1.01,1.02,3.03,5.02, 03/09/11
                                                 5.03,8.01,9.01

HILLMAN COMPANIES INC                   DE       1.01,2.03,8.01,9.01  03/11/11

Hilltop Holdings Inc.                   MD       5.02                 03/10/11

HOUSTON AMERICAN ENERGY CORP            DE       5.02,9.01            03/16/11

Houston Wire & Cable CO                          2.02,9.01            03/15/11

IBERIABANK CORP                         LA       5.02                 03/10/11

ICOP DIGITAL, INC                       CO       1.01,2.01,5.03,9.01  03/16/11

ID SYSTEMS INC                          DE       2.02                 03/09/11    AMEND

IDACORP INC                             ID       8.01,9.01            03/16/11

INCYTE CORP                             DE       8.01,9.01            03/15/11

INSPERITY, INC.                         DE       7.01                 03/14/11

INSPIRE PHARMACEUTICALS INC             DE       5.02,8.01            03/16/11

Intcomex, Inc.                          DE       1.01,9.01            03/16/11

INTELLIGENT SYSTEMS CORP                GA       8.01,9.01            03/16/11

INTERLEUKIN GENETICS INC                DE       5.02                 03/11/11

International Stem Cell CORP                     8.01,9.01            03/16/11

ITRON INC /WA/                          WA       5.02,8.01,9.01       03/14/11

JAVO BEVERAGE CO INC                    DE       8.01,9.01            03/15/11

JBI, INC.                               NV       4.01,9.01            03/10/11

Joway Health Industries Group Inc       NV       8.01,9.01            03/15/11

KENEXA CORP                                      9.01                 10/01/10    AMEND

KEY ENERGY SERVICES INC                 MD       7.01,9.01            03/15/11

KEYSTONE AUTOMOTIVE OPERATIONS INC      PA       8.01                 03/16/11

KINGOLD JEWELRY, INC.                   DE       2.02,8.01,9.01       03/16/11

KIRBY CORP                              NV       1.01,9.01            03/13/11

Kirin International Holding, Inc.       NV       5.03,5.07,9.01       03/10/11

Kohlberg Capital CORP                   DE       1.01,2.03,3.02,9.01  03/16/11

KULICKE & SOFFA INDUSTRIES INC          PA       5.02                 03/15/11

KV PHARMACEUTICAL CO /DE/               DE       1.01,2.03            03/15/11

L-1 IDENTITY SOLUTIONS, INC.            DE       8.01                 03/15/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 03/16/11

LAKELAND BANCORP INC                    NJ       8.01,9.01            03/16/11

Lantheus Medical Imaging, Inc.          DE       1.01,3.03,7.01,8.01, 03/14/11
                                                 9.01

LAWSON PRODUCTS INC/NEW/DE/             DE       7.01,9.01            03/16/11

LEFT BEHIND GAMES INC.                  WA       7.01,9.01            03/16/11

LEXICON PHARMACEUTICALS, INC./DE        DE       9.01                 07/30/10    AMEND

LGL GROUP INC                           DE       2.02,7.01,9.01       03/15/11

LGL GROUP INC                           DE       7.01,9.01            03/16/11

LIBERTY MEDIA CORP                               8.01                 03/15/11

Lightwave Logic, Inc.                   NV       7.01,9.01            03/16/11

LIN TV CORP.                            DE       2.02,9.01            03/16/11

LORAL SPACE & COMMUNICATIONS INC.       DE       2.02,9.01            03/15/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            03/16/11

MAGNUM HUNTER RESOURCES CORP            DE       1.01,3.02,9.01       03/16/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            01/05/11    AMEND

Magyar Bancorp, Inc.                    DE       7.01,9.01            03/16/11

Maiden Holdings, Ltd.                   D0       8.01,9.01            03/15/11

MAM SOFTWARE GROUP, INC.                DE       8.01,9.01            03/16/11

MAMMATECH CORP                          FL       1.01,2.01,3.02,4.01, 03/11/11
                                                 5.01,5.02,9.01

MAMMATECH CORP                          FL       1.01,2.01,3.02,4.01, 03/11/11
                                                 5.01,5.02,9.01

MANAGEMENT NETWORK GROUP INC                     3.03,5.02,5.03,9.01  03/10/11

MARCUS CORP                             WI       2.02,9.01            03/16/11

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            03/16/11

MEDICAL PROPERTIES TRUST INC                     5.02                 03/11/11

MEDIVATION, INC.                        DE       2.02,9.01            03/16/11

MedQuist Holdings Inc.                  DE       2.02,9.01            03/15/11

MEDTRONIC INC                           MN       8.01,9.01            03/10/11

MILLER HERMAN INC                       MI       2.02,9.01            03/16/11

MIMEDX GROUP, INC.                      FL       2.01,9.01            01/05/11    AMEND

ML SELECT FUTURES I LP                  DE       5.03,9.01            03/16/11

Molecular Insight Pharmaceuticals, In   MA       1.02,8.01,9.01       03/11/11

Monster Offers                          NV       1.01,3.02            03/14/11

MORGANS FOODS INC                       OH       8.01                 03/14/11

MORRIS PUBLISHING GROUP LLC             GA       8.01                 03/14/11

MORTONS RESTAURANT GROUP INC            DE       8.01,9.01            03/16/11

Motorola Mobility Holdings, Inc                  5.02,9.01            03/10/11

Motors Liquidation Co                   DE       7.01,9.01            03/10/11

MOVADO GROUP INC                        NY       1.01                 03/11/11

MPHASE TECHNOLOGIES INC                 NJ       8.01,9.01            03/16/11

MS STRUCTURED SATURNS SERIES 2002-14    DE       8.01,9.01            03/15/11

MYMETICS CORP                           DE       4.02,9.01            03/09/11

NATIONAL PENN BANCSHARES INC            PA       1.01,7.01,9.01       03/16/11

NATIONAL QUALITY CARE INC               DE       4.01,9.01            03/04/11

NATURES SUNSHINE PRODUCTS INC           UT       2.02,9.01            03/16/11

NEPHROS INC                             DE       1.02,3.02,5.03,8.01, 03/10/11
                                                 9.01          

Neuralstem, Inc.                        DE       2.02,7.01,9.01       03/16/11

NGAS Resources Inc                      A1       1.01,9.01            03/10/11

NOVELOS THERAPEUTICS, INC.              DE       5.02                 03/10/11

NTS REALTY HOLDINGS LP                  DE       8.01,9.01            03/15/11

OMNICARE INC                            DE       7.01,9.01            03/16/11

ON SEMICONDUCTOR CORP                   DE       5.02                 03/12/11

ONCOSEC MEDICAL Inc                     NV       1.01,9.01            03/14/11

OPNEXT INC                                       5.02,8.01,9.01       03/08/11

ORBCOMM Inc.                            DE       2.02,9.01            03/16/11

Orient Paper Inc.                       NV       8.01,9.01            03/10/11

OXIGENE INC                             DE       3.01,8.01,9.01       03/10/11

PANTRY INC                              DE       5.07                 03/15/11

PARK ELECTROCHEMICAL CORP               NY       8.01,9.01            03/15/11

Park Sterling Corp                      NC       5.02,9.01            03/10/11

PARKER DRILLING CO /DE/                 DE       5.03,9.01            03/11/11

PATTERSON COMPANIES, INC.               MN       8.01,9.01            03/15/11

Pebblebrook Hotel Trust                 MD       7.01,8.01,9.01       03/15/11

PEGASYSTEMS INC                         MA       2.02,9.01            03/16/11

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       5.02                 03/10/11

PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       5.02                 03/11/11

PEPSICO INC                             NC       5.02                 03/11/11

PERNIX THERAPEUTICS HOLDINGS, INC.      MD       1.01,1.02            03/14/11

PLC SYSTEMS INC                         B0       5.02,9.01            03/11/11

POZEN INC /NC                                    5.02                 03/14/11

PROGRESSIVE CORP/OH/                    OH       7.01,9.01            03/16/11

Promap Corp                             CO       5.02                 03/14/11

PROVECTUS PHARMACEUTICALS INC           NV       4.02                 03/14/11

QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR   DE       1.01,3.02            03/10/11

QUEST SOFTWARE INC                      CA       5.02                 03/10/11

REALNETWORKS INC                        WA       2.02                 03/16/11

REGENERX BIOPHARMACEUTICALS INC         DE       8.01,9.01            03/16/11

Reliance Bancshares, Inc.               MO       5.02                 03/11/11

REPROS THERAPEUTICS INC.                DE       8.01,9.01            03/16/11

RESOURCE AMERICA, INC.                  DE       1.01,9.01            03/10/11

REXAHN PHARMACEUTICALS, INC.            DE       4.02                 03/15/11

RGC RESOURCES INC                       VA       1.01,2.03,9.01       03/14/11

RIVAL TECHNOLOGIES INC                  NV       4.01,9.01            03/15/11

ROCKWELL AUTOMATION INC                 DE       1.01,1.02,2.03,9.01  03/14/11

Rodobo International Inc                NV       8.01,9.01            03/15/11

RURBAN FINANCIAL CORP                   OH       1.01,2.02,2.06,7.01, 03/09/11
                                                 9.01          

S&T BANCORP INC                         PA       2.02,9.01            03/15/11

S1 CORP /DE/                            DE       7.01,9.01            03/16/11

SAFEWAY INC                             DE       5.02,9.01            03/15/11

Santander Holdings USA, Inc.            PA       7.01,9.01            03/15/11

SATCON TECHNOLOGY CORP                  DE       5.03,9.01            03/11/11

SCICLONE PHARMACEUTICALS INC            DE       2.02,8.01,9.01       03/16/11

SED INTERNATIONAL HOLDINGS INC          2Q       8.01,9.01            03/14/11

SEFE, INC.                              NV       2.03,9.01            03/11/11

SILVER LEGACY CAPITAL CORP                       2.02,9.01            03/16/11

SILVERLEAF RESORTS INC                           2.02,9.01            03/10/11

SINCLAIR BROADCAST GROUP INC            MD       1.01,2.03,9.01       03/15/11

SINOHUB, INC.                           DE       7.01,9.01            03/16/11

Skinny Nutritional Corp.                NV       5.03,5.07,9.01       03/11/11

SOMERSET HILLS BANCORP                  NJ       5.02,9.01            03/15/11

SOUPMAN, INC.                           DE       4.01,9.01            03/07/11    AMEND

SOUTHWALL TECHNOLOGIES INC /DE/         DE       8.01,9.01            03/16/11

STANLEY BLACK & DECKER, INC.            CT       1.01,1.02,2.03,9.01  03/11/11

STERLING GROUP VENTURES INC             NV       3.02                 03/11/11

STRATEGIC AMERICAN OIL CORP             NV       7.01,9.01            03/16/11

STRATEGIC HOTELS & RESORTS, INC                  1.01,8.01,9.01       03/11/11

SUPERIOR INDUSTRIES INTERNATIONAL INC   CA       2.02                 03/16/11

SYNTROLEUM CORP                         DE       8.01,9.01            03/15/11

T3 Motion, Inc.                         DE       2.03                 03/10/11

TAMM Oil & Gas Corp.                    NV       8.01,9.01            03/16/11

Team Nation Holdings CORP                        1.02,3.02            03/16/11

TENGION INC                             DE       1.01,2.03,3.02,9.01  03/14/11

TIER TECHNOLOGIES INC                   DE       5.03,9.01            03/15/11

TIVO INC                                DE       1.01,2.03,3.02,9.01  03/16/11

TORO CO                                 DE       5.07,7.01,9.01       03/15/11

Transcept Pharmaceuticals Inc           DE       2.02,7.01,9.01       03/14/11

Transocean Ltd.                         V8       7.01,9.01            03/16/11

Triangle Petroleum Corp                 NV       1.01,8.01,9.01       03/10/11

TRUESPORT ALLIANCES & ENTERTAINMENT L   NV       5.02                 03/15/11

Two Harbors Investment Corp.                     1.01,8.01,9.01       03/16/11

TWO RIVERS WATER Co                     CO       7.01                 03/16/11

United States Oil & Gas Corp            DE       3.02,7.01,9.01       03/15/11

UNIVERSAL HEALTH SERVICES INC           DE       1.01,8.01,9.01       03/15/11

Vantage Drilling CO                     E9       2.02,9.01            03/16/11

Warner Chilcott plc                              8.01,9.01            03/16/11

WATERS CORP /DE/                        DE       1.01,2.03            03/15/11

WAVE SYSTEMS CORP                       DE       2.02,9.01            03/15/11

WEST PHARMACEUTICAL SERVICES INC        PA       7.01,9.01            03/16/11

WESTERN LIBERTY BANCORP                 DE       5.02,7.01,9.01       03/10/11

WRIGHT MEDICAL GROUP INC                DE       2.03,7.01,9.01       03/14/11

XERIUM TECHNOLOGIES INC                 DE       5.02,9.01            03/14/11

XERIUM TECHNOLOGIES INC                 DE       2.02,9.01            03/10/11

ZOGENIX, INC.                           DE       8.01                 03/16/11

 

http://www.sec.gov/news/digest/2011/dig031711.htm


Modified: 03/17/2011