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Rules and Related MattersOrder Cancelling Registrations of Certain Transfer AgentsThe Commission issued an order cancelling the registrations of certain transfer agents. Publication of the order is expected in the Federal Register during the week of March 21, 2011. (Rel. 34-64102) Enforcement ProceedingsCommission Obtains Emergency Court Order Against Timothy J. RothOn March 21, 2011, the SEC obtained an emergency court order freezing the assets of Urbana, Illinois money manager Timothy J. Roth for stealing more than $6 million of his clients’ mutual fund shares, liquidating the shares, and sending the ill-gotten gains to various accounts and companies under his control. The Court also entered a temporary restraining order prohibiting Roth from violating the anti-fraud provisions of the federal securities laws. According to the civil complaint filed by the SEC, Roth worked for Comprehensive Capital Management, Inc. (“CCM”), a New Jersey-based registered investment adviser. The SEC’s complaint alleges that from October 2010 through February 2011, Roth stole more than $6 million worth of mutual fund shares from several employee deferred compensation plans (“Plans”) for whom he provided investment advice. The SEC alleges that Roth, who worked out of CCM’s office near Urbana, Illinois, secretly caused the Plans’ mutual fund shares to be transferred to an account under his control, even though no such transfer had been requested or authorized by the Plans or the Plans’ participants. The SEC alleges that after selling the Plans’ shares, Roth funneled the cash proceeds to various accounts and companies under his control or for his benefit. According to the SEC’s complaint, at the time he was engaging in his scheme, Roth did not tell the Plans or their participants about the transfers. Instead, Roth sent them bogus account statements that deliberately omitted his surreptitious transfer of the mutual fund shares. Thus, the account statements overstated the Plans’ account holdings and concealed Roth’s theft. The SEC's complaint charges Roth with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder and with aiding and abetting violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-2 thereunder. In addition to the emergency relief already obtained, the complaint seeks preliminary and permanent injunctions, disgorgement, and civil penalties from Roth. The SEC’s complaint also names Roth’s companies as relief defendants and seeks disgorgement from them. The Court’s freeze order extends to the assets of the relief defendants. A hearing on the SEC's motion for preliminary injunction has been set for 1:00 p.m. on March 30, 2011, at the U.S. District Court for the Central District of Illinois courthouse in Peoria, Illinois before Judge Michael M. Mihm. [SEC v. Timothy J. Roth, et al., Case No. 11-CV-02079 (C.D. Ill., filed March 21, 2011)] (LR-21895) Commission Obtains Judgment Against Michael RiversThe Securities and Exchange Commission announced that on February 28, 2011, the United States District Court for the Middle District of Florida entered a Judgment of Permanent Injunction and Other Relief against Michael Rivers, former Chief Executive Officer of IBSG International, Inc. The Judgment enjoins Rivers from violations of Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934, and Rules 10b-5, 13a-14, 13b2-1 and 13b2-2, and from aiding and abetting IBSG’s violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act, and Rules 12b-20, 13a-1, 13a-11 and 13a-13. In addition to injunctive relief, the Judgment bars Rivers from acting as an officer or director of a public company registered with the Commission. The Court will determine at a later date whether to also order Rivers to pay disgorgement, prejudgment interest, and a civil penalty. Rivers consented to entry of the Judgment without admitting or denying any of the allegations in the Complaint. The Commission began this action by filing its complaint on September 29, 2009, against Michael Rivers and Relief Defendant ARKR Trust, LLC. Among other things, the Complaint alleged Rivers directed IBSG to issue multiple press releases announcing fictitious software licensing agreements, and to file periodic reports with the Commission that falsely recognized more than $23 million in revenues from the purported agreements. Rivers contemporaneously sold over one million shares of IBSG stock, generating approximately $1.23 million in illicit proceeds. [Securities and Exchange Commission v. Michael Rivers and ARKR Trust, LLC, Civil Action No. 6:09-CV-1674-MSS-DAB (M.D. Fla.)] (LR-21894) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of eMobile Data Corp., The Encore Group Inc., Ener-Grid, Inc., Environmental Technologies International Inc. (n/k/a Eco Technologies International Inc.), Evergreen Network.com, Inc., and Eye Catching Marketing Corp. have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64109; File No. 3-14270) Investment Company Act ReleasesTIAA-CREF Life Insurance Company, et al.A notice has been issued giving interested persons until April 20, 2011 to request a hearing on an application filed by TIAA-CREF Life Insurance Company, et al. requesting an order pursuant to Section 26(c) of the Investment Company Act of 1940 to permit the substitution of shares of a certain registered management investment company with shares of another registered management investment company. (Release No. IC-29600) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by NYSE Amex LLC (SR-NYSEAmex-2011-15) to extend the operation of its pilot program regarding minimum value sizes for Flexible Exchange Options 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, 2011. (Rel. 34-64107) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-35) to extend the FLEX no Minimum Value Pilot Program 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, 2011. (Rel. 34-64108) A proposed rule change filed by NYSE Arca, Inc. (SR-NYSEArca-2011-10) amending its option trading rules to extend the operation of its pilot program regarding minimum value sizes for flexible exchange options 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, 2011. (Rel. 34-64111) 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 Atlantic Coast Financial CORP, 505 HAINES AVE, WAYCROSS, GA, 31501,
(800) 234-0642 - 380,631 ($9,056,013.00) Equity, (File 333-172984 -
Mar. 22) (BR. 07B)
S-1 Octacation Productions Ltd., 21 COUNTRY HILLS GARDENS NW, CALGARY, A0,
T3K 5G1, (403) 369-1072 - 40,000,000 ($100,000.00) Equity,
(File 333-172985 - Mar. 22) (BR. )
S-3 FiberTower CORP, 185 BERRY STREET, SUITE 4800, SAN FRANCISCO, CA,
94107, (415) 659-1350 - 0 ($30,000,000.00) Other, (File 333-172986 -
Mar. 22) (BR. 11C)
N-2 Ares Senior Credit Strategies Fund, Inc., 2000 AVENUE OF THE STARS,
12TH FLOOR, LOS ANGELES, CA, 90067, (310) 201-4200 -
0 ($1,000,000.00) Equity, (File 333-172987 - Mar. 22) (BR. 17)
S-1 EXPRESS, INC., 1 EXPRESS DRIVE, COLUMBUS, OH, 43230, 614-474-4001 -
0 ($338,893,500.00) Equity, (File 333-172988 - Mar. 22) (BR. 09)
S-1 Monte Resources Inc, 1002 ERMINE COURT, SOUTH LAKE TAHOE, CA, 96150,
530 577 4141 - 7,000,000 ($7,000.00) Equity, (File 333-172989 -
Mar. 22) (BR. )
S-8 NATURALLY ADVANCED TECHNOLOGIES INC, SUITE 402 - 1008 HOMER STREET,
VANCOUVER, A1, V6B 2X1, 604-683-8582 -
7,057,640 ($8,822,050.00) Equity, (File 333-172995 - Mar. 22) (BR. 09A)
S-4 TAMPA ELECTRIC CO, 702 N FRANKLIN ST, TECO PLZA, TAMPA, FL, 33602,
8132284111 - 0 ($278,495,000.00) Debt Convertible into Equity,
(File 333-172996 - Mar. 22) (BR. 02A)
N-2 Eaton Vance Structured Emerging Markets Premium Income Fund,
TWO INTERNATIONAL PLACE, BOSTON, MA, 02110, 800-225-6265 -
50,000 ($1,000,000.00) Equity, (File 333-172997 - Mar. 22) (BR. 16)
S-8 VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK, NY,
10007, 212-395-1000 - 0 ($3,930,700,000.00) Equity, (File 333-172999 -
Mar. 22) (BR. 11B)
S-3 ASR VERIZON COMMUNICATIONS INC, 140 WEST STREET, 29TH FLOOR, NEW YORK,
NY, 10007, 212-395-1000 - 0 ($10,000,000,000.00) Unallocated (Universal) Shelf,
(File 333-173000 - Mar. 22) (BR. 11B)
F-1 SEQUANS COMMUNICATIONS, 19 LE PARVIS, BATIMENT CITICENTER,
PARIS LA DEFENSE, I0, 92073, 0170721600 - 0 ($110,000,000.00) Equity,
(File 333-173001 - Mar. 22) (BR. 10C)
S-8 CHINDEX INTERNATIONAL INC, 4340 EAST WEST HWY, SUITE 1100, BETHESDA,
MD, 20814, 3012157777 - 600,000 ($10,015,800.00) Equity,
(File 333-173003 - Mar. 22) (BR. 09B)
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 NUMBERS DATE COMMENT
1st United Bancorp, Inc. FL 8.01,9.01 03/17/11
ACCELERATED ACQUISITION XI DE 1.01,5.06,9.01 03/22/11
ADOBE SYSTEMS INC DE 2.02,9.01 03/22/11
Advance Nanotech, Inc. DE 5.02 03/21/11
ADVANCED ENVIRONMENTAL RECYCLING TECH DE 1.01,1.02,2.03,3.02, 03/18/11
3.03,5.01,5.02,5.03,
9.01
ADVENTRX PHARMACEUTICALS INC DE 5.02,9.01 03/22/11
ADVOCAT INC DE 8.01,9.01 03/22/11
AEROCENTURY CORP DE 2.02 03/21/11
AEROCENTURY CORP DE 2.02 03/22/11 AMEND
AFFYMAX INC DE 8.01 03/21/11
AIRGAS INC DE 1.01,2.03,9.01 03/16/11
ALEXANDER & BALDWIN INC HI 2.02,9.01 03/22/11
Allegiant Travel CO NV 1.01,1.02 03/17/11
ALSERES PHARMACEUTICALS INC /DE DE 1.01 03/16/11
AMERCO /NV/ NV 8.01,9.01 03/15/11
AMERCO /NV/ NV 8.01 03/22/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 03/22/11
AMERICAN AIRLINES INC DE 8.01 03/22/11
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 03/22/11
American Renal Holdings Inc. DE 2.02,7.01,9.01 03/22/11
AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 03/22/11 AMEND
AMERIGON INC MI 8.01 03/22/11
AMR CORP DE 8.01 03/22/11
ANNALY CAPITAL MANAGEMENT INC MD 5.03,9.01 03/22/11
ante5, Inc. DE 1.01,2.01,9.01 03/16/11
ARDENT MINES LTD 5.02 03/22/11
ARES CAPITAL CORP MD 7.01,8.01,9.01 03/22/11
ARRHYTHMIA RESEARCH TECHNOLOGY INC /D DE 2.02,9.01 03/21/11
ARROW FINANCIAL CORP NY 8.01 03/16/11
ASHLAND INC. KY 7.01,9.01 03/22/11
Asia Green Agriculture Corp NV 1.01,2.01,3.02,4.01, 08/20/10 AMEND
5.01,5.02,5.06,9.01
AUXILIO INC NV 1.01,3.02,9.01 03/21/11 AMEND
AUXILIUM PHARMACEUTICALS INC 1.01,7.01,9.01 03/22/11
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 2.02,9.01 03/22/11
Bancorp, Inc. 5.03,9.01 03/18/11
BANK OF GRANITE CORP DE 3.01 03/21/11
Bank of New York Mellon CORP DE 8.01,9.01 03/18/11
Baron Energy Inc. NV 2.04 03/16/11
BIOTIME INC CA 3.02,8.01,9.01 03/21/11
BJs RESTAURANTS INC CA 8.01,9.01 03/22/11
BLACKBAUD INC 5.03,9.01 03/16/11
BOOKS A MILLION INC DE 2.02,9.01 03/22/11
BORDERS GROUP INC MI 1.01,9.01 03/16/11
BRANDYWINE REALTY TRUST MD 5.02 03/21/11
BRIGHTPOINT INC IN 1.01,9.01 03/16/11
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 7.01,9.01 03/22/11
BRUNSWICK CORP DE 1.01,2.03,7.01,9.01 03/22/11
BUCKLE INC NE 5.02,8.01,9.01 03/22/11
CADENCE PHARMACEUTICALS INC 5.02 03/16/11
CALLON PETROLEUM CO DE 7.01,9.01 03/21/11
CAREER EDUCATION CORP DE 8.01,9.01 03/22/11
Caribou Coffee Company, Inc. MN 5.02 03/22/11
CARNIVAL CORP DE 2.02,8.01,9.01 03/22/11
CELL THERAPEUTICS INC WA 8.01,9.01 03/18/11
Celsion CORP DE 3.03 03/16/11
CENTURY PROPERTIES GROWTH FUND XXII CA 1.01,9.01 03/16/11
CF Industries Holdings, Inc. DE 7.01,9.01 03/22/11
CHAMPION INDUSTRIES INC WV 5.07 03/22/11
CHAMPIONS BIOTECHNOLOGY, INC. DE 1.01 03/16/11
China Bilingual Technology & Educatio NV 2.02,8.01,9.01 03/22/11
China Sports Holding Co Ltd 5.02 03/18/11
CHINACAST EDUCATION CORP DE 2.02,8.01,9.01 03/16/11
CINTAS CORP WA 2.02,9.01 03/22/11
CISCO SYSTEMS INC CA 5.02 02/21/11 AMEND
CLEAN DIESEL TECHNOLOGIES INC DE 5.02 03/17/11
CLEAN DIESEL TECHNOLOGIES INC DE 5.02 01/05/11 AMEND
CLEAR-LITE HOLDINGS, INC. NV 5.02 03/21/11
CLIFFS NATURAL RESOURCES INC. OH 8.01,9.01 03/16/11
CLOUD PEAK ENERGY INC. DE 5.02,9.01 03/17/11
Cloud Peak Energy Resources LLC DE 5.02,9.01 03/17/11
CMoney, Inc. 8.01,9.01 03/21/11
CMR Mortgage Fund II, LLC CA 8.01,9.01 03/22/11
COMCAM INTERNATIONAL INC DE 1.01,3.02,9.01 02/21/11
COMMERCIAL METALS CO DE 2.02,9.01 03/22/11
Community Partners Bancorp NJ 5.02,5.05 03/17/11
COMPUMED INC DE 8.01,9.01 03/21/11
COMPUTER SCIENCES CORP NV 2.03,9.01 03/22/11
COMSCORE, INC. DE 7.01 03/16/11
CONVERA Corp DE 8.01,9.01 03/18/11
COOPER COMPANIES INC DE 5.07,9.01 03/16/11
Cord Blood America, Inc. FL 8.01 03/07/11
Coyote Resources, Inc. NV 1.01,2.03,3.02,5.02, 03/17/11
8.01,9.01
CRAY INC WA 8.01 03/22/11
CrowdGather, Inc. NV 7.01,9.01 03/22/11
CTI INDUSTRIES CORP DE 2.02,9.01 03/21/11
Deer Consumer Products, Inc. NV 8.01,9.01 03/21/11
DELTA AIR LINES INC /DE/ DE 7.01,9.01 03/22/11
DG FastChannel, Inc DE 5.02 03/16/11
Diamond Information Institute NJ 4.01,9.01 03/22/11 AMEND
Diamond Information Institute NJ 4.01,9.01 03/22/11 AMEND
Digital Systems, Inc. CO 7.01,9.01 03/21/11
DigitalPost Interactive, Inc. NV 8.01 03/17/11
Diligent Board Member Services, Inc. DE 7.01,9.01 03/22/11
Discover Financial Services DE 2.02,9.01 03/22/11
DISCOVERY LABORATORIES INC /DE/ DE 2.02,8.01,9.01 03/22/11
DOLLAR GENERAL CORP TN 2.02,7.01,9.01 03/22/11
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 7.01,9.01 03/22/11
DOLLAR TREE INC VA 5.02 03/16/11
DONEGAL GROUP INC DE 8.01,9.01 03/22/11
DOT HILL SYSTEMS CORP DE 5.02 03/16/11
DYNEGY INC. DE 5.02,9.01 03/21/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 03/21/11
EARTHLINK INC DE 8.01 03/18/11
ECB BANCORP INC NC 8.01,9.01 03/16/11
EGPI FIRECREEK, INC. NV 1.01,2.01 10/01/10 AMEND
EL PASO ELECTRIC CO /TX/ TX 8.01 03/21/11
Emrise CORP DE 5.02 03/16/11
EV Energy Partners, LP DE 1.01,2.03,7.01,9.01 03/10/11
EXCO RESOURCES INC TX 5.02,9.01 03/16/11
EXPRESS, INC. 2.02,8.01,9.01 03/22/11
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 5.01,9.01 03/22/11
EXPRESS-1 EXPEDITED SOLUTIONS INC DE 5.01,9.01 03/21/11 AMEND
EZCORP INC DE 1.01,9.01 03/21/11
FAIRPOINT COMMUNICATIONS INC DE 4.02 03/22/11
Federal Home Loan Bank of Atlanta X1 5.02,9.01 03/22/11
Federal Home Loan Bank of Atlanta X1 2.03 03/22/11
Federal Home Loan Bank of Boston X1 2.03 03/16/11
Federal Home Loan Bank of Chicago X1 2.03 03/16/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/16/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/18/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/22/11
Federal Home Loan Bank of New York X1 2.03,9.01 03/16/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/16/11
Federal Home Loan Bank of San Francis X1 2.03 03/16/11
Federal Home Loan Bank of Seattle 2.03 03/17/11
Federal Home Loan Bank of Topeka 2.03,9.01 03/17/11
FINISAR CORP DE 8.01,9.01 03/22/11
FIRST MIDWEST BANCORP INC DE 5.02 03/22/11
FIRST NATIONAL COMMUNITY BANCORP INC PA 5.02 03/18/11
FLINT TELECOM GROUP INC. NV 9.01 10/25/10 AMEND
FLUSHING FINANCIAL CORP DE 7.01,9.01 03/21/11
FNB CORP/FL/ FL 5.02 03/16/11
FNB United Corp. NC 3.01 03/16/11
FOREST OIL CORP NY 1.01,9.01 03/18/11
FSI INTERNATIONAL INC MN 2.02,5.02,9.01 03/22/11
G III APPAREL GROUP LTD /DE/ DE 2.02,9.01 03/22/11
GLOBAL EARTH ENERGY, INC. NH 1.01,9.01 03/22/11
GOLDMAN SACHS GROUP INC DE 9.01 03/22/11
GOODYEAR TIRE & RUBBER CO /OH/ OH 7.01,9.01 03/22/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 03/22/11
Graymark Healthcare, Inc. OK 1.01,8.01,9.01 03/11/11
Great East Bottles & Drinks (China) H FL 5.03 03/16/11
Greektown Superholdings, Inc. DE 8.01 03/22/11
GROUP 1 AUTOMOTIVE INC DE 7.01,9.01 03/21/11
H&R BLOCK INC MO 5.02,9.01 03/17/11
HALLMARK FINANCIAL SERVICES INC NV 1.01,9.01 03/21/11
HAMPSHIRE GROUP LTD DE 2.02,9.01 03/18/11
HANCOCK HOLDING CO MS 8.01,9.01 03/22/11
HANCOCK HOLDING CO MS 1.01,9.01 03/21/11
Hanesbrands Inc. MD 1.01,9.01 03/18/11
HAWAIIAN HOLDINGS INC DE 1.01,3.02,8.01,9.01 03/18/11
HCP, INC. MD 8.01,9.01 03/22/11
HEARUSA INC DE 2.04 03/17/11
HEMISPHERX BIOPHARMA INC DE 5.07,9.01 03/17/11
HERCULES OFFSHORE, INC. DE 7.01,9.01 03/22/11
HEWLETT PACKARD CO DE 7.01 03/22/11
Huron Consulting Group Inc. DE 5.02,9.01 03/17/11
HYPERCOM CORP DE 3.02 03/18/11
IMERGENT INC DE 8.01,9.01 03/22/11
IMPERIAL PETROLEUM INC NV 1.01,9.01 03/21/11
INDEPENDENCE REALTY TRUST, INC MD 1.01,9.01 03/17/11
INTELLIGENT SYSTEMS CORP GA 2.02,9.01 03/22/11
INTERNET MEDIA SERVICES, INC. DE 3.02,8.01 03/16/11
ISTAR FINANCIAL INC MD 1.01,9.01 03/16/11
IVANHOE ENERGY INC 2.02,9.01 03/17/11
JABIL CIRCUIT INC DE 2.02,9.01 03/22/11
James River Coal CO VA 8.01,9.01 03/22/11
JDA SOFTWARE GROUP INC DE 1.01,2.03 03/18/11
JEFFERIES GROUP INC /DE/ DE 2.02,9.01 03/22/11
KBS Real Estate Investment Trust III, MD 1.01,9.01 03/17/11
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/22/11
KINDER MORGAN MANAGEMENT LLC DE 7.01 03/22/11
KINDER MORGAN, INC. DE 7.01 03/22/11
Kohlberg Capital CORP DE 5.02 03/18/11
KRATOS DEFENSE & SECURITY SOLUTIONS, DE 8.01,9.01 03/22/11
Lantis Laser Inc. NV 8.01,9.01 03/17/11
LEHMAN ABS CORP BCKD TR CRTS GDYR TR DE 8.01,9.01 03/15/11
LIGHTING SCIENCE GROUP CORP DE 4.01,9.01 03/17/11
LINN ENERGY, LLC DE 1.01,8.01,9.01 03/16/11
LODGENET INTERACTIVE CORP DE 1.01,2.03,7.01,9.01 03/22/11
MCINTOSH BANCSHARES INC /GA/ GA 5.02 03/17/11
Mellanox Technologies, Ltd. L3 5.02 03/22/11
METROPCS COMMUNICATIONS INC DE 1.01,2.03,9.01 03/17/11
Midway Gold Corp A1 5.02,7.01,9.01 03/18/11
MILLER PETROLEUM INC TN 2.02,7.01,9.01 03/22/11
Mogul Energy International, Inc. DE 1.01,7.01,9.01 03/21/11
Monarch Financial Holdings, Inc. VA 7.01,9.01 03/22/11
MORGAN STANLEY DE 8.01,9.01 03/21/11
MPHASE TECHNOLOGIES INC NJ 8.01,9.01 03/22/11 AMEND
NABI BIOPHARMACEUTICALS DE 5.02,9.01 03/16/11
NASH FINCH CO DE 7.01,9.01 03/21/11
NATIONAL BANK OF INDIANAPOLIS CORP IN 5.02 03/17/11
National CineMedia, Inc. DE 3.02,9.01 03/17/11
NATIONAL RURAL UTILITIES COOPERATIVE DC 2.03 03/21/11
NATURAL RESOURCE PARTNERS LP DE 8.01,9.01 03/16/11
NATURALLY ADVANCED TECHNOLOGIES INC A1 8.01,9.01 03/17/11
NetApp, Inc. CA 5.02 03/16/11
NETGEAR, INC DE 8.01,9.01 03/18/11
NETLOGIC MICROSYSTEMS INC DE 1.01,9.01 03/20/11
NEWFIELD EXPLORATION CO /DE/ DE 7.01 03/21/11
NIKE INC OR 2.02,9.01 03/17/11
NOBLE ENERGY INC DE 5.02,9.01 03/17/11
NORTHEAST BANCORP /ME/ ME 5.03,5.07,9.01 03/18/11
NORTHWEST PIPE CO OR 2.02,9.01 03/21/11
NRG ENERGY, INC. DE 8.01,9.01 03/21/11
OMEGA PROTEIN CORP NV 8.01,9.01 03/18/11
OMNOVA SOLUTIONS INC OH 5.07 03/22/11
OVERLAND STORAGE INC CA 1.01,3.02,3.03,7.01, 03/16/11
9.01
PALL CORP NY 5.03,9.01 03/16/11
PDL BIOPHARMA, INC. DE 7.01,9.01 03/22/11
PENN VIRGINIA CORP VA 7.01,9.01 03/21/11
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 03/21/11
PHOENIX FOOTWEAR GROUP INC DE 5.02,9.01 03/16/11
PHOTRONICS INC CT 7.01,8.01,9.01 03/22/11
POZEN INC /NC 8.01 03/21/11
RADIENT PHARMACEUTICALS Corp DE 3.01,7.01,9.01 03/21/11
RAINMAKER SYSTEMS INC CA 5.02 03/18/11
RAIT Financial Trust MD 1.01,2.03,8.01,9.01 03/21/11
Raptor Pharmaceutical Corp DE 8.01 03/22/11
REDDY ICE HOLDINGS INC DE 8.01 03/21/11
REX ENERGY CORP DE 7.01,9.01 03/22/11
ROGERS CORP MA 2.01,9.01 03/22/11 AMEND
ROPER INDUSTRIES INC DE 5.03,9.01 03/16/11
SANDISK CORP DE 5.02 03/17/11
SCHIFF NUTRITION INTERNATIONAL, INC. DE 2.02,9.01 03/22/11
SEMPRA ENERGY CA 8.01,9.01 03/17/11
Shiner International, Inc. NV 2.02,9.01 03/22/11
SHUFFLE MASTER INC MN 5.07 03/17/11
SHUFFLE MASTER INC MN 5.02,9.01 03/16/11
SONIC CORP DE 2.02,9.01 03/22/11
Stevia Corp NV 5.07,9.01 03/18/11
Strategic Storage Trust, Inc. MD 7.01,8.01,9.01 03/01/11
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 03/15/11
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 03/15/11
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 03/15/11
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 03/15/11
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 03/15/11
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 03/15/11
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 03/15/11
SuccessFactors, Inc. DE 5.02 03/16/11
SUN BANCORP INC /NJ/ NJ 1.01,7.01,9.01 03/17/11
Swisher Hygiene Inc. DE 8.01,9.01 03/22/11
T3 Motion, Inc. DE 2.02,9.01 03/18/11
TAIWAN FUND INC DE 7.01,9.01 02/28/11
TAMM Oil & Gas Corp. NV 5.02 03/22/11
TELEPHONE & DATA SYSTEMS INC /DE/ DE 1.01,8.01,9.01 03/21/11
TESORO CORP /NEW/ DE 1.01,9.01 03/16/11
THT Heat Transfer Technology, Inc. NV 2.02,7.01,9.01 03/22/11
TIDELANDS BANCSHARES INC 1.01,3.01,9.01 03/16/11
TIDELANDS ROYALTY TRUST B TX 7.01,9.01 03/21/11
TIVO INC DE 5.02,9.01 03/16/11
Tri-Tech Holding, Inc. E9 9.01 08/06/10 AMEND
TTM TECHNOLOGIES INC WA 7.01,9.01 03/22/11
U S PHYSICAL THERAPY INC /NV NV 7.01 03/21/11
UNION NATIONAL FINANCIAL CORP / PA PA 8.01,9.01 03/22/11
UNITED REFINING CO PA 1.01,2.03,8.01,9.01 03/08/11 AMEND
US AIRWAYS GROUP INC DE 7.01,9.01 03/22/11
VECTREN CORP IN 8.01 03/17/11
VECTREN CORP IN 7.01 03/22/11
VERMILLION, INC. DE 5.02 03/18/11
VETERANS IN PACKAGING, INC. NV 4.01,9.01 03/21/11
VIRGINIA COMMERCE BANCORP INC 1.01,9.01 03/22/11
VISTA GOLD CORP B0 7.01 03/16/11
Volcano Corp DE 5.02 03/21/11
VOLT INFORMATION SCIENCES, INC. NY 1.01,9.01 03/16/11
WACCAMAW BANKSHARES INC NC 5.02 03/16/11
WALGREEN CO IL 2.02,7.01,9.01 03/22/11
WEBTRADEX INTERNATIONAL Corp NV 5.03 03/22/11
WELLS FARGO & CO/MN DE 9.01 03/22/11
WEST MARINE INC DE 5.02,9.01 03/22/11
WESTWOOD HOLDINGS GROUP INC DE 7.01,9.01 03/22/11
WILLIS LEASE FINANCE CORP DE 8.01 03/16/11
World Energy Solutions, Inc. DE 1.01,2.03,9.01 03/17/11
WSI INDUSTRIES, INC. MN 2.02,9.01 03/22/11
YESDTC HOLDINGS, INC. NV 1.01,3.02 03/07/11
YUKON GOLD CORP INC DE 5.02,9.01 03/22/11
ZION OIL & GAS INC DE 5.02 03/17/11
Zurvita Holdings, Inc. DE 8.01,9.01 03/18/11
http://www.sec.gov/news/digest/2011/dig032311.htm
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