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Commission AnnouncementsIn the Matter of Corestream Energy, Inc.The United States Securities and Exchange Commission (Commission) announced the temporary suspension of trading in the securities of Corestream Energy, Inc. (Corestream), commencing at 9:30 a.m. EDT on March 31, 2011 and terminating at 11:59 p.m. EDT on April 13, 2011. The Commission temporarily suspended trading in the securities of Corestream due to a lack of current and accurate information about the company because it failed to file certain periodic reports with the Commission and because of questions regarding the accuracy and adequacy of publicly disseminated information concerning, among other thing, the acquisition of certain oil wells. The order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by this company. Brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Corestream’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-64155) Enforcement ProceedingsIn the Matter of Printz Capital Management, LLCOn March 31, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(e) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Printz Capital Management, LLC (Printz Capital). In the Order, the Division of Enforcement alleges that Printz Capital, located in Philadelphia, Pennsylvania, has been registered with the Commission as an investment adviser since Sept. 19, 2006. The Division of Enforcement further alleges in the Order that on March 15, 2011, the United States District Court for the Eastern District of Pennsylvania entered a final judgment by default against Printz Capital in the matter captioned Securities and Exchange Commission v. Alfred Clay Ludlum, III, et al., Civil Action No.10-CV-7379 (E.D. Pa.). The final judgment permanently enjoined Printz Capital from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2), 203A, 204, and 207 of the Investment Advisers Act of 1940. It also ordered Printz Capital to pay, jointly and severally with two affiliated defendants, $735,617 in disgorgement, $49,817 in prejudgment interest, and a civil penalty of $735,617. The Commission’s complaint alleged that Printz Capital is wholly controlled by Alfred Clay Ludlum III (Ludlum), who also controls a number of other business entities, including Printz Financial Group, Inc. and PCM Global Holdings LLC (together with Printz Capital, the Printz Entities). The complaint alleged that Ludlum and the Printz Entities made fraudulent misrepresentations and material omissions to investors, including Printz Capital advisory clients, concerning unregistered offerings of equity and debt securities in the Printz Entities. These investors were told that their funds would be used for working capital and to grow and operate the businesses of the Printz Entities when, in fact, most of these funds were used to support Ludlum’s lifestyle, pay his personal expenses, and repay other investors. The Commission also alleged that Printz Capital fraudulently obtained loans from one advisory client and transferred funds from three advisory client accounts to accounts controlled by Ludlum without those clients’ consents. The complaint further alleged that the Printz Entities, including Printz Capital, failed to register their securities offerings with the Commission, even though no exemption from registration applied, and that Printz Capital violated a number of provisions governing investment advisers. A hearing will be scheduled before an Administrative Law Judge to determine whether such allegations are true, to afford the Respondent an opportunity to establish defenses to the allegations, and to determine whether remedial action is necessary and appropriate. The Administrative Law Judge is directed to issue a decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission’s Rules of Practice. (Rel. IA-3183; File No. 3-14314) District Court Enters Final Judgment Against Defendants Aerokinetic Energy Corporation and Randolph E. BridwellThe Securities and Exchange Commission announced that the United States District Court for the Middle District of Florida entered a final judgment against Aerokinetic Energy Corporation and its president, Randolph E. Bridwell. The final judgment imposes disgorgement of ill-gotten proceeds, jointly and severally, in the amount of $555,000, plus prejudgment interest in the amount of $59,571.09. Additionally, Aerokinetic and Bridwell were ordered to pay civil penalties of $250,000 and $130,000, respectively. Previously, the Commission filed an emergency action to halt Aerokinetic and Bridwell from ongoing fraud involving the sale of its common stock. Acting on the Commission’s request for emergency relief, Judge James D. Whittemore issued a temporary restraining order, an asset freeze over Aerokinetic’s bank account, and other relief against the defendants. The Commission’s complaint alleged that Aerokinetic and Bridwell violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and that from at least September 2006 through July 2008, the defendants raised at least $535,000 from 24 investors nationwide (and sought to raise an additional $575,000) by conducting a fraudulent offering of unregistered securities in the form of common stock. Aerokinetic, a Sarasota company purportedly in the business of researching, developing, and marketing alternative power technologies and other innovative products, claimed to have developed new energy technologies, including a power generation station capable of creating electrical energy at a fraction of the cost of conventional or nuclear means, without generating any pollution. Defendants told investors and potential investors that they projected millions of dollars of sales revenue within Aerokinetic’s first years of operations and billions of dollars shortly thereafter. In reality, Aerokinetic had no patents, license agreements, contracts, suppliers, customers, sales, revenue, or market share and its purported energy technologies and products were, at best, in the early development stage and, therefore, its predictions of imminent financial success and financial projections lacked any reasonable basis in fact. Moreover, contrary to defendants’ assurances that they would use investor funds to research and develop Aerokinetic’s products, the complaint alleged that Bridwell misappropriated investors’ funds to pay his personal expenses, with approximately $230,000 in investor funds unaccounted for. [SEC v. Aerokinetic Energy Corporation and Randolph E. Bridwell, Case No. 8:08-cv-1409-T27TGW (M.D. Fla.)] (LR-21911) Self-Regulatory OrganizationsProposed Rule ChangeNYSE Amex (Exchange) filed a proposed rule change (SR-NYSEAmex-2011-18) relating to the formation of a Joint Venture between the Exchange, its ultimate parent NYSE Euronext, and seven other entities to operate an electronic trading facility for options contracts. Publication is expected in the Federal Register during the week of April 4, 2011. (Rel. 34-64144) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by NASDAQ OMX PHLX relating to ETNs (SR-Phlx-2011-38) 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 April 4, 2011. (Rel. 34-64150) A proposed rule change filed by NASDAQ OMX PHLX relating to rebates and fees for adding and removing liquidity in select symbols (SR-Phlx-2011-40) 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 April 4, 2011. (Rel. 34-64151) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-CFE-2011-001) filed by CBOE Futures Exchange under Rule 19b-7 of the Securities Exchange Act of 1934, to amend certain rules relating to listing and trading security futures. Publication is expected in the Federal Register during the week of April 4, 2011. (Rel. 34-64152) The Commission issued notice of filing and immediate effectiveness of a proposed rule change (SR-CFE-2011-002) filed by CBOE Futures Exchange under Rule 19b-7 of the Securities Exchange Act of 1934, relating to listing and trading CBOE Gold ETF Volatility Index security futures. Publication is expected in the Federal Register during the week of April 4, 2011. (Rel. 34-64153) 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-3 SANDRIDGE ENERGY INC, 123 ROBERT S. KERR AVENUE, OKLAHOMA CITY, OK,
73102-6406, 405-429-5500 - 0 ($19,982,114.00) Equity,
(File 333-173153 - Mar. 30) (BR. 04C)
S-1 Insys Therapeutics, Inc., 10220 SOUTH 51ST STREET, SUITE 2, PHOENIX,
AZ, 85044, 602-910-2617 - 0 ($55,000,000.00) Equity, (File 333-173154 -
Mar. 30) (BR. 01)
S-8 Pointer Telocation Ltd, 1 KORAZIN STREET, GIVATAYIM, L3, 53583,
97235723111 - 500,000 ($2,980,000.00) Equity, (File 333-173155 -
Mar. 30) (BR. 11B)
S-8 SouFun Holdings Ltd, 8TH FLOOR, TOWER 3, XIHUAN PLAZA,
NO. 1 XIZHIMENWAI AVENUE, XICHENG DISTRICT, BEIJING, F4, 100044,
(011-86) 10 59306668 - 0 ($139,328,635.00) Equity, (File 333-173157 -
Mar. 30) (BR. 03A)
S-1 RVUE HOLDINGS, INC., 100 N.E. 3RD AVENUE, SUITE 200, FT. LAUDERDALE,
FL, 33301, 954-525-6464 - 9,898,730 ($6,929,111.00) Equity,
(File 333-173159 - Mar. 30) (BR. 11B)
F-1 Golar LNG Partners LP, PAR-LA-VILLE PLACE, FOURTH FLOOR,
14 PAR-LA-VILLE ROAD, HAMILTON, D0, HM 08, 1 441-295-4705 -
0 ($303,600,000.00) Equity, (File 333-173160 - Mar. 30) (BR. 05)
S-8 Apollo Global Management LLC, 9 West 57th Str, new York, ny, 10019,
212-515-3200 - 0 ($900,000,003.60) Equity, (File 333-173161 - Mar. 30)
(BR. 06C)
S-1 RAND WORLDWIDE INC, 161 WORCESTER ROAD, SUITE 401, FRAMINGHAM, MA,
01701, 508-663-1400 - 0 ($21,511,889.00) Equity, (File 333-173162 -
Mar. 30) (BR. 03A)
S-1 Gold Swap Inc, 72 POND ROAD, WOODBURY, NY, 11797, 516-857-0980 -
131,200 ($13,120.00) Equity, (File 333-173163 - Mar. 30) (BR. )
S-1 RedStone Literary Agents, Inc., 1842 E CAMPO BELLO DR, PHOENIX, AZ,
85022, 6028670160 - 3,000,000 ($45,000.00) Equity, (File 333-173164 -
Mar. 30) (BR. 03)
S-1 CrowdGather, Inc., 20300 VENTURA BLVD. SUITE 330, WOODLAND HILLS, CA,
91364, (818) 435-2472 - 15,906,426 ($16,065,490.00) Equity,
(File 333-173165 - Mar. 30) (BR. 03C)
S-8 22nd Century Group, Inc., 11923 SW 37 TERRACE, MIAMI,, FL, 33175,
212.400.6900 - 4,250,000 ($4,505,000.00) Equity, (File 333-173166 -
Mar. 30) (BR. 05A)
S-8 HUNTINGTON INGALLS INDUSTRIES, INC., 4101 WASHINGTON AVENUE,
NEWPORT NEWS, VA, 23607, (757) 380-2000 - 0 ($342,145,845.78) Equity,
(File 333-173168 - Mar. 30) (BR. 05B)
S-8 HUNTINGTON INGALLS INDUSTRIES, INC., 4101 WASHINGTON AVENUE,
NEWPORT NEWS, VA, 23607, (757) 380-2000 - 0 ($14,930,000.00) Equity,
(File 333-173170 - Mar. 30) (BR. 05B)
S-8 HUNTINGTON INGALLS INDUSTRIES, INC., 4101 WASHINGTON AVENUE,
NEWPORT NEWS, VA, 23607, (757) 380-2000 - 0 ($3,732,500.00) Equity,
(File 333-173171 - Mar. 30) (BR. 05B)
S-8 HUNTINGTON INGALLS INDUSTRIES, INC., 4101 WASHINGTON AVENUE,
NEWPORT NEWS, VA, 23607, (757) 380-2000 - 0 ($3,732,500.00) Equity,
(File 333-173173 - Mar. 30) (BR. 05B)
S-4 GenOn Energy, Inc., 1000 MAIN STREET, HOUSTON, TX, 77002,
713-497-3000 - 0 ($1,225,000,000.00) Non-Convertible Debt,
(File 333-173174 - Mar. 30) (BR. 02C)
S-8 TRAVELZOO INC, 590 MADISON AVENUE, 37TH FLOOR, NEW YORK, NY, 10022,
2124844900 - 300,000 ($4,491,000.00) Equity, (File 333-173175 -
Mar. 30) (BR. 03B)
S-8 NeurogesX Inc, 2215 BRIDGEPOINTE PARKWAY, SUITE 200, SAN MATEO, CA,
94404, 650-358-3300 - 1,250,837 ($4,776,410.43) Equity,
(File 333-173176 - Mar. 30) (BR. 01A)
S-1 C&J Energy Services, Inc., 500 NORTH SHORELINE, SUITE 350,
CORPUS CHRISTI, TX, 78401, 361-653-9400 - 0 ($225,000,000.00) Equity,
(File 333-173177 - Mar. 30) (BR. )
S-8 POKERTEK, INC., 1150 CREWS ROAD, SUITE F, MATTHEWS, NC, 28105,
7048490860 - 400,000 ($632,000.00) Equity, (File 333-173178 - Mar. 30)
(BR. 06B)
S-3ASR NORDSTROM INC, 1617 SIXTH AVENUE, SEATTLE, WA, 98101-4407, 2066282111 -
0 ($245,509,147.00) Equity, (File 333-173179 - Mar. 30) (BR. 09B)
S-4 Aleris International, Inc., 25825 SCIENCE PARK DRIVE, SUITE 400,
BEACHWOOD, OH, 44122, 216-910-3400 -
500,000,000 ($500,000,000.00) Non-Convertible Debt, (File 333-173180 -
Mar. 30) (BR. )
S-1 Neutron Energy, Inc., 9000 E. NICHOLS AVENUE, SUITE 225, DENVER, CO,
80112, (303) 531-0407 - 0 ($60,950,000.00) Other, (File 333-173181 -
Mar. 30) (BR. )
S-8 PEARSON PLC, 80 STRAND, LONDON ENGLAND, X0, WC2R 0RL, 442070102000 -
0 ($287,635,470.00) Other, (File 333-173182 - Mar. 30) (BR. 05B)
S-8 IKANOS COMMUNICATIONS, 47669 FREMONT BLVD., FREMONT, CA, 94538,
(510) 979-0400 - 4,496,880 ($5,216,380.80) Equity, (File 333-173183 -
Mar. 30) (BR. 11B)
S-8 QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 -
0 ($4,584,030,000.00) Equity, (File 333-173184 - Mar. 30) (BR. 11B)
S-3ASR SANDRIDGE ENERGY INC, 123 ROBERT S. KERR AVENUE, OKLAHOMA CITY, OK,
73102-6406, 405-429-5500 - 0 ($20,304,117.00) Equity,
(File 333-173185 - Mar. 30) (BR. 04C)
S-1 C&J Energy Services, Inc., 500 NORTH SHORELINE, SUITE 350,
CORPUS CHRISTI, TX, 78401, 361-653-9400 - 0 ($414,259,200.00) Equity,
(File 333-173188 - Mar. 30) (BR. )
S-3 Bridge Capital Holdings, 55 ALMADEN BLVD., SUITE 200, SAN JOSE, CA,
95113, 408-423-8500 - 3,508,771 ($32,842,096.00) Equity,
(File 333-173189 - Mar. 30) (BR. 07C)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
1ST CONSTITUTION BANCORP NJ 2.01 03/25/11
4 KIDS ENTERTAINMENT INC NY 8.01 03/24/11
8888 Acquisition CORP NV 1.01,2.01,3.02,4.01, 03/30/11 AMEND
5.01,5.02,5.03,5.06,
9.01
A123 SYSTEMS, INC. DE 8.01 03/30/11
ACCURAY INC DE 7.01,8.01,9.01 03/29/11
ACUITY BRANDS INC DE 2.02,8.01,9.01 03/25/11
ACXIOM CORP DE 5.02,7.01,9.01 03/30/11
ADEPT TECHNOLOGY INC DE 1.01,9.01 03/29/11
AFFYMAX INC DE 8.01 03/30/11
AIVTECH INTERNATIONAL GROUP CO. NV 4.02,9.01 03/20/11
Akeena Solar, Inc. DE 3.02,8.01 03/25/11
Alamo Energy Corp. NV 1.01,7.01,9.01 03/28/11
Alliance Holdings GP, L.P. DE 7.01,9.01 03/30/11
ALLIANCE RESOURCE PARTNERS LP DE 7.01,9.01 03/30/11
Ally Financial Inc. DE 8.01 03/30/11
Alphatec Holdings, Inc. DE 5.02,9.01 03/25/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 03/30/11
AMERICAN HONDA RECEIVABLES CORP CA 1.01,8.01,9.01 03/28/11
AMERICAN SURGICAL HOLDINGS INC DE 1.01,2.01,3.03,5.01, 03/23/10
5.02,5.03,8.01,9.01
AMERIGON INC MI 8.01,9.01 03/30/11
AMERIGON INC MI 8.01,9.01 03/30/11
ANALOG DEVICES INC MA 7.01,9.01 03/30/11
Andatee China Marine Fuel Services Co DE 2.02,9.01 03/30/11
Andina Group Inc. NV 1.01,5.01,5.02,9.01 03/24/11
ANGEL ACQUISITION CORP. NV 1.01,2.01 03/23/11
Anoteros, Inc. NV 1.01,9.01 03/30/10
ANV SECURITY GROUP INC. NV 5.02,8.01,9.01 03/25/11
API Technologies Corp. DE 1.01,8.01,9.01 03/28/11
ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 03/30/11
AUXILIO INC NV 2.02,9.01 03/30/10
BAETA CORP NJ 1.01,7.01,9.01 03/25/11
Bancorp of New Jersey, Inc. NJ 5.02,5.03,5.06,9.01 03/24/11
BANK JOS A CLOTHIERS INC /DE/ DE 2.02,9.01 03/30/11
Banks.com, Inc. FL 2.02,9.01 03/30/11
Behringer Harvard Opportunity REIT II MD 7.01 12/31/10
BEL FUSE INC /NJ NJ 2.02,7.01,8.01,9.01 03/30/11
BioMed Realty Trust Inc MD 1.01,2.03,9.01 03/30/11
BLOCKBUSTER INC DE 7.01,9.01 03/29/11
Blue Earth, Inc. DE 4.01,9.01 01/22/10 AMEND
Book Merge Technology, Inc. NV 1.01,2.01,3.02,5.01, 03/28/11 AMEND
5.02,5.06,9.01
BORGWARNER INC DE 5.02 03/28/11
Bravo Brio Restaurant Group, Inc. OH 1.01,7.01,9.01 03/28/11
CALAVO GROWERS INC CA 5.03 03/24/11
CALLAWAY GOLF CO DE 5.02,9.01 03/24/11
CAMCO FINANCIAL CORP DE 5.02,9.01 03/25/11
CAMDEN NATIONAL CORP ME 5.02,9.01 03/29/11
Capital Financial Holdings, Inc ND 5.02 03/24/11
Capital Group Holdings, Inc. MN 1.02,7.01,9.01 03/24/11
CBL & ASSOCIATES PROPERTIES INC DE 3.02,8.01,9.01 03/28/11
CDW Corp DE 1.01,8.01,9.01 03/29/11
CENTRAL FEDERAL CORP DE 2.02,9.01 03/30/11
CEPHALON INC DE 8.01,9.01 03/29/11
CHAMPIONS BIOTECHNOLOGY, INC. DE 1.01,3.02,9.01 03/24/11
CHARMING SHOPPES INC PA 7.01,9.01 03/29/11
CHDT CORP FL 7.01,9.01 03/28/11 AMEND
CHILDRENS PLACE RETAIL STORES INC 5.02 03/28/11
China Architectural Engineering, Inc. DE 5.03,7.01,9.01 03/25/11
China Chemical Corp. DE 2.02,9.01 03/30/11
China Executive Education Corp 4.02 03/30/11
China Green Energy Industries, Inc. NV 2.02,7.01,9.01 03/30/11
China Integrated Energy, Inc. DE 8.01,9.01 03/21/11
China PharmaHub Corp. 7.01,9.01 03/24/11
CHURCH & DWIGHT CO INC /DE/ DE 5.02 03/28/11
CICERO INC DE 1.01,3.02,9.01 03/25/11
CITADEL BROADCASTING CORP DE 2.02,9.01 03/30/11
Clean Coal Technologies Inc. NV 5.02,7.01 03/30/11
CMoney, Inc. 8.01 03/29/11
CNO Financial Group, Inc. DE 7.01,9.01 03/30/11
CPEX Pharmaceuticals, Inc. DE 5.07,8.01,9.01 03/24/11
CRC Health CORP DE 2.02,9.01 03/30/11
Crown Equity Holdings, Inc. NV 3.02,5.03,9.01 03/18/11
CYTOMEDIX INC DE 9.01 04/09/10 AMEND
DA-LITE SCREEN CO INC IN 1.01,5.02,8.01,9.01 03/30/11
DARLING INTERNATIONAL INC DE 7.01,9.01 03/29/11
diaDexus, Inc. DE 1.01 03/24/11
DIAGNOSTIC IMAGING INTERNATIONAL CORP NV 4.01,9.01 03/28/11
DIGITAL ANGEL CORP DE 2.02,9.01 03/30/11
Diversified Restaurant Holdings, Inc. NV 1.01,2.03,9.01 03/25/11
Dot VN, Inc. DE 8.01,9.01 03/30/11
Dr Pepper Snapple Group, Inc. DE 7.01,9.01 03/30/11
DREAMS INC UT 2.02,9.01 03/30/11
EBAY INC DE 1.01,8.01,9.01 03/27/11
EDGEWATER TECHNOLOGY INC/DE/ DE 4.02 07/12/10 AMEND
EDIETS COM INC DE 2.02,9.01 03/30/11
ELECTRONIC CONTROL SECURITY INC NJ 1.01,2.03 03/23/11
EMISPHERE TECHNOLOGIES INC DE 4.02,9.01 03/28/11
EMMIS COMMUNICATIONS CORP IN 1.01,9.01 03/28/11
Empire Sports & Entertainment Holding NV 1.02,5.02,8.01,9.01 03/29/11
ENCOMPASS HOLDINGS, INC. NV 5.03 03/29/11
ENDEAVOUR INTERNATIONAL CORP NV 1.01,9.01 03/24/11
ENOVA SYSTEMS INC CA 2.02,9.01 03/30/11
ENTREMED INC DE 2.02,9.01 03/30/11
EPICEPT CORP 1.01,9.01 03/28/11
EPOCRATES INC DE 5.02 03/24/11
EVERGREEN ENERGY INC DE 2.01,9.01 03/29/11
FAMILY DOLLAR STORES INC DE 2.02,7.01,9.01 03/30/11
FEDERAL AGRICULTURAL MORTGAGE CORP 1.01 03/24/11
Fifth Street Finance Corp DE 8.01,9.01 03/30/11
FINANCIAL INSTITUTIONS INC NY 8.01,9.01 03/30/11
FINISAR CORP DE 8.01 03/30/11
FIRST DATA CORP DE 8.01,9.01 03/30/11
FIRST FINANCIAL SERVICE CORP KY 2.02,9.01 03/30/11
First Guaranty Bancshares, Inc. LA 5.02 03/29/11
FOREST CITY ENTERPRISES INC OH 2.02,9.01 03/30/11
Geeknet, Inc DE 5.02 03/29/11
General Maritime Corp / MI 2.02,7.01,9.01 03/30/11
GENEREX BIOTECHNOLOGY CORP DE 5.02 03/25/11
GENEREX BIOTECHNOLOGY CORP DE 1.01,9.01 03/25/11
GENEREX BIOTECHNOLOGY CORP DE 8.01,9.01 03/30/11
GENEREX BIOTECHNOLOGY CORP DE 7.01,8.01,9.01 03/30/11
GENTA INC DE/ DE 2.02,9.01 03/30/11
GENZYME CORP MA 8.01,9.01 03/29/11
GERBER SCIENTIFIC INC CT 5.02 03/28/11
GigOptix, Inc. DE 8.01 03/29/11
GLOBAL AXCESS CORP NV 2.02,9.01 03/29/11
GLOBAL AXCESS CORP NV 7.01,9.01 03/30/11
GLOBALSCAPE INC DE 8.01 03/30/11
GOLD STANDARD MINING CORP. NV 8.01,9.01 03/29/11
GOLDFIELD CORP DE 2.02,9.01 03/30/11
GOLDMAN SACHS GROUP INC DE 9.01 03/30/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 03/30/11
Graystone Co DE 8.01 03/29/11
GREENBRIER COMPANIES INC DE 7.01,8.01,9.01 03/30/11
GREENBRIER COMPANIES INC DE 3.03,9.01 03/29/11
GREER BANCSHARES INC SC 5.02,9.01 03/24/11
GRUBB & ELLIS CO DE 1.01,9.01 03/30/11
GSI COMMERCE INC DE 5.02 03/29/11
GULFPORT ENERGY CORP DE 1.01,7.01,8.01,9.01 03/24/11
HEALTHCARE TRUST OF AMERICA, INC. MD 8.01 03/24/11
HEALTHSTREAM INC TN 7.01,9.01 03/30/11
HIGHLANDS BANKSHARES INC /WV/ WV 2.02,9.01 03/30/11
HOME BANCORP, INC. LA 5.02,9.01 03/28/11
Honda Auto Receivables 2010-2 Owner T CA 1.01,8.01,9.01 03/28/11
Honda Auto Receivables 2010-3 Owner T CA 1.01,8.01,9.01 03/28/11
Honda Auto Receivables 2011-1 Owner T CA 1.01,8.01,9.01 03/28/11
Idle Media, Inc. NV 4.02 03/29/11 AMEND
INSIGNIA SYSTEMS INC/MN MN 8.01 03/24/11
Iridium Communications Inc. DE 1.01,8.01,9.01 03/29/11
JACOBS ENTERTAINMENT INC DE 2.02,9.01 03/29/11
KAISER VENTURES LLC DE 2.06,8.01,9.01 03/28/11
Kallo Inc. NV 5.02 03/29/11
KANSAS CITY SOUTHERN DE 8.01,9.01 03/29/11
KATY INDUSTRIES INC DE 2.02,9.01 03/30/11
KEYCORP /NEW/ OH 8.01,9.01 03/30/11
KIRKLAND'S, INC 5.02 03/24/11
LAKES ENTERTAINMENT INC MN 2.02,9.01 03/30/11
LEAGUE NOW HOLDINGS CORP FL 4.01,9.01 03/29/11
LEAP TECHNOLOGY INC / DE DE 8.01 02/23/11
LEGGETT & PLATT INC MO 5.02,9.01 03/25/11
LEUCADIA NATIONAL CORP NY 8.01 03/29/11
LIGAND PHARMACEUTICALS INC DE 1.01,1.02 03/24/11
LOCATEPLUS HOLDINGS CORP 8.01 03/30/11
Location Based Technologies, Inc. NV 7.01,9.01 03/30/11
M&F BANCORP INC /NC/ NC 2.02,9.01 03/29/11
MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 03/30/11
MEDIANET GROUP TECHNOLOGIES INC NV 2.01,3.03,5.01,9.01 03/29/11 AMEND
MENTOR GRAPHICS CORP OR 8.01,9.01 03/29/11
MILLER PETROLEUM INC TN 3.01,8.01,9.01 03/30/11
MOKITA, INC. NV 5.02 03/29/11
MOLEX INC DE 1.01,2.03,9.01 03/25/11
MOSAIC CO DE 2.02,9.01 03/30/11
MSC INDUSTRIAL DIRECT CO INC NY 5.02,9.01 03/29/11
MSC INDUSTRIAL DIRECT CO INC NY 8.01,9.01 03/30/11
NASH FINCH CO DE 5.02 03/29/11
NATIONAL WESTERN LIFE INSURANCE CO CO 1.01 03/25/11
NATIONWIDE HEALTH PROPERTIES INC MD 8.01,9.01 03/30/11
NAVIGATORS GROUP INC DE 5.02,9.01 03/24/11
Neuro Biotech Corp NV 5.02 03/30/11
NeurogesX Inc CA 2.02,8.01,9.01 03/30/11
NEW JERSEY RESOURCES CORP NJ 7.01,9.01 03/30/11
NIC INC CO 7.01,9.01 03/30/11
Niska Gas Storage Partners LLC DE 5.02,9.01 03/30/11
NORDSTROM INC WA 8.01 03/30/11
NORTHEAST BANCORP /ME/ ME 8.01,9.01 03/24/11
OAKRIDGE ENERGY INC UT 4.01,9.01 03/24/11
OMEGA PROTEIN CORP NV 8.01,9.01 03/29/11
OPLINK COMMUNICATIONS INC DE 7.01,9.01 03/29/11
OPPENHEIMER HOLDINGS INC A6 7.01,8.01,9.01 03/30/11
Orient Paper Inc. NV 4.01,9.01 12/01/09 AMEND
PACIFIC OFFICE PROPERTIES TRUST, INC. MD 5.02 03/24/11
PALADIN REALTY INCOME PROPERTIES INC MD 8.01 03/29/11
PARKERVISION INC FL 8.01,9.01 03/30/11
PATRIOT GOLD CORP NV 1.01 03/30/11
PEPSICO INC NC 7.01 03/30/11
PERFECTENERGY INTERNATIONAL LTD NV 5.02,9.01 03/25/11
PHH CORP MD 8.01,9.01 03/29/11
POLYCOM INC DE 5.03,9.01 03/25/11
PONIARD PHARMACEUTICALS, INC. WA 2.02,9.01 03/30/11
Portage Resources Inc. NV 5.03,9.01 02/04/11
PowerShares DB Commodity Index Tracki 8.01,9.01 03/30/11
PowerShares DB G10 Currency Harvest F DE 8.01,9.01 03/30/11
PowerShares DB Multi-Sector Commodity DE 8.01,9.01 03/30/11
PowerShares DB US Dollar Index Trust DE 8.01,9.01 03/30/11
PPG INDUSTRIES INC PA 7.01,9.01 03/30/11
PRESIDENTIAL REALTY CORP/DE/ DE 2.02,9.01 03/29/11
PRIVATE MEDIA GROUP INC NV 3.01 03/24/11
PROFILE TECHNOLOGIES INC DE 8.01 03/29/11
QKL Stores Inc. DE 2.02,9.01 03/30/11
QUALSTAR CORP CA 5.07,9.01 03/24/11
RADIANT LOGISTICS, INC DE 8.01,9.01 03/29/11
REAL ESTATE ASSOCIATES LTD VI CA 8.01 03/28/11
Real Mex Restaurants, Inc. DE 7.01,9.01 03/25/11
Red Lion Hotels CORP WA 1.01,2.03,9.01 03/25/11
Redpoint Bio CORP 8.01 03/30/11
REMEDENT, INC. NV 1.01,2.03,9.01 03/25/11
Resource Capital Corp. MD 1.01,8.01,9.01 03/24/11
REXAHN PHARMACEUTICALS, INC. DE 1.01,7.01,9.01 03/23/11
RHI Entertainment, Inc. DE 7.01,9.01 02/22/11
RHI Entertainment, Inc. DE 7.01,9.01 03/29/11
RJO GLOBAL TRUST 8.01,9.01 03/29/11
ROCHESTER MEDICAL CORPORATION MN 7.01,9.01 03/30/11
Rongfu Aquaculture, Inc. NV 9.01 12/08/10 AMEND
Rotoblock CORP NV 5.02 03/29/11
SALESFORCE COM INC DE 1.01,9.01 03/30/11
SECTOR 10 INC DE 4.01,9.01 03/24/11
SEITEL INC DE 2.04,8.01 03/30/11
SELECT COMFORT CORP MN 7.01,9.01 03/30/11
SENTRY PETROLEUM LTD. 7.01,9.01 03/28/11
SERVOTRONICS INC /DE/ DE 2.02,9.01 12/31/10
SHERIDAN GROUP INC DE 8.01,9.01 03/30/11
SIGNET JEWELERS LTD 2.02 03/30/11
Solar Energy Initiatives, Inc. DE 5.03,9.01 03/28/11
Solar Power, Inc. CA 4.01,9.01 03/25/11
SOUTH DAKOTA SOYBEAN PROCESSORS LLC 5.02,9.01 03/28/11
SPHERIX INC DE 2.02,9.01 03/30/11
SSI Investments II Ltd L2 2.02,9.01 01/31/11
ST. BERNARD SOFTWARE, INC. DE 5.02,9.01 03/24/11
STERLING FINANCIAL CORP /WA/ WA 5.02 03/29/11
STONEMOR PARTNERS LP DE 4.02 03/25/11
SUREWEST COMMUNICATIONS CA 8.01,9.01 03/29/11
SYMBOLLON CORP DE 4.01 03/07/11 AMEND
TEL OFFSHORE TRUST TX 2.02,9.01 03/30/11
TELKONET INC UT 2.02,9.01 03/30/11
TETRA TECH INC DE 1.01,1.02,2.03,9.01 03/28/11
THERMOENERGY CORP DE 1.01 03/25/11
TORO CO DE 5.02,7.01,9.01 03/30/11
TORTOISE CAPITAL RESOURCES CORP 7.01,9.01 03/28/11
TOWERSTREAM CORP DE 8.01 03/29/11
Travelport LTD D0 2.02,9.01 03/30/11
TRC COMPANIES INC /DE/ DE 5.02,9.01 03/30/11
TRI VALLEY CORP DE 5.03,9.01 03/29/11
UNIFIRST CORP MA 2.02,9.01 03/30/11
UNITED FIRE & CASUALTY CO IA 1.01,2.03,9.01 03/24/11
UNIVERSAL DISPLAY CORP \PA\ PA 8.01,9.01 03/24/11
UNIVERSAL POWER GROUP INC. TX 2.02,9.01 03/29/11
UNIVERSAL TRAVEL GROUP NV 8.01,9.01 03/29/11
UNR HOLDINGS INC FL 4.01,4.02 02/04/11 AMEND
US CONCRETE INC DE 5.02,9.01 03/30/11
USA Synthetic Fuel Corp DE 4.01 03/28/11
USA TRUCK INC DE 5.02,9.01 03/28/11
VALIDIAN CORP NV 4.01,9.01 03/29/11
Valley Commerce Bancorp CA 5.02,9.01 02/15/11
VCG HOLDING CORP CO 2.02,9.01 03/30/11
VERINT SYSTEMS INC DE 7.01,8.01,9.01 03/28/11
Verisk Analytics, Inc. DE 8.01,9.01 03/30/11
VGTel, Inc. 4.01,9.01 12/30/10
VOLKSWAGEN AUTO LEASE/LOAN UNDERWRITT DE 8.01,9.01 03/30/11
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,3.02,9.01 03/30/11
WELLS FARGO & CO/MN DE 9.01 03/30/11
WIND ENERGY AMERICA INC. MN 4.01 03/18/11
WINDSTREAM CORP DE 1.01,2.03,8.01,9.01 03/28/11
WINLAND ELECTRONICS INC MN 5.02,9.01 03/28/11
Xun Energy, Inc. NV 2.03,9.01 03/28/11
Xzeres Wind Corp. NV 3.02,7.01,9.01 03/29/11
ZHONGTIAN MOULD TECHNOLOGIES INC 4.01,4.02,9.01 03/24/11
http://www.sec.gov/news/digest/2011/dig033111.htm
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