The Securities and Exchange Commission announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (the Exchange Act), of trading in the securities of China Changjiang Mining & New Energy Co., Ltd. (CHJI), a Nevada corporation previously known as North American Gaming and Entertainment Corporation with headquarters and operations in the People’s Republic of China, at 9:30 a.m. EDT on April 1, 2011, and terminating at 11:59 p.m. EDT on April 14, 2011.
Questions have arisen regarding the accuracy and completeness of information contained in CHJI’s public filings with the Commission concerning, among other things, the company’s financial statements for 2009 and 2010. CHJI has failed to disclose that (a) the company filed its last periodic report on Form 10-Q for the quarter ended Sept. 30, 2010 without the required review of the interim financial statements by an independent public accountant; and (b) the company’s independent auditor has resigned, withdrawn its audit opinion issued April 16, 2010 relating to the audit of the company’s consolidated financial statements as of Dec. 31, 2009, and informed the company that the financial statements for the quarters ended March 31, June 30, and Sept. 30, 2010 could no longer be relied upon.
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 the company.
Further, 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 CHJI’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.
If any broker, dealer or other person has any information which may relate to this matter, they should immediately contact Marshall S. Sprung, Assistant Regional Director, Los Angeles Regional Office, at (323) 965-3320, or Junling Ma, Senior Counsel, Los Angeles Regional Office, at (323) 965-4539, or by e-mail at firstname.lastname@example.org or email@example.com. (Rel. 34-64164)
Sanjay Wadhwa Named Associate Regional Director For Enforcement in SEC New York Regional Office
Securities and Exchange Commission today announced the promotion of Sanjay Wadhwa to Associate Regional Director for Enforcement in the agency’s New York Regional Office.
Mr. Wadhwa joins the office’s two other Associate Directors for Enforcement – Andrew Calamari and David Rosenfeld. He has been serving as an Assistant Regional Director and as Deputy Chief of the Enforcement Division’s Market Abuse Unit. Mr. Wadhwa will immediately assume his new post, and will continue to serve as Deputy Chief of the Market Abuse Unit under the direction of Unit Chief Daniel M. Hawke.
“Sanjay is a very special blend: experienced securities lawyer, meticulous investigator, gracious colleague, and nurturing leader,” said George S. Canellos, Director of the SEC’s New York Regional Office. “His unique personal qualities and total dedication to the mission of the SEC make him ideally suited for senior leadership in the enforcement program.”
Robert Khuzami, Director of the SEC’s Enforcement Division, added, “Sanjay is one of our best and brightest, someone who demands of himself an extraordinary level of performance that serves to inspire those around him. I am very pleased to welcome him to the ranks of senior management.”
Mr. Wadhwa said, “I am honored by this appointment. It has been thoroughly enjoyable and a privilege to work in the Enforcement Division, and I look forward to continuing to work alongside the agency’s talented staff in serving and protecting the investing public.”
Since July 2003, Mr. Wadhwa has served in the enforcement program of the New York Regional Office, first as a senior attorney, then branch chief, and later Assistant Regional Director. In his new role, he joins the senior management team responsible for supervising a staff of approximately 180 attorneys, investigators, accountants and paralegals and oversight of all enforcement activities in the New York office.
Mr. Wadhwa was named Deputy Chief of the Market Abuse Unit when it was created last year.
Before joining the SEC staff, Mr. Wadhwa served for nearly seven years as an associate at the New York law firms of Cahill, Gordon & Reindel LLP, and Skadden, Arps, Slate, Meagher & Flom LLP. Mr. Wadhwa received an LLM in taxation from New York University School of Law in 1996, a JD from South Texas College of Law in 1995, and a BBA in Accounting from Florida Atlantic University in 1990. (Press Rel. 2011-80)
Federal Court Orders Officers of Neurotech to Disgorge Ill-Gotten Gains and Pay Penalties
The Securities and Exchange Commission announced today that on March 23, 2011, the Honorable Thomas C. Platt, United States District Court for the Eastern District of New York, adopted, in full, a Magistrate Judge’s previously-issued Report and Recommendation against Neurotech Development Corporation’s (Neurotech) sole officers, the father-son management team of Bernard Artz (chairman, chief executive officer and chief financial officer) and Lawrence Artz (vice president). Pursuant to the March 23 Order, Bernard Artz must pay a total of over $173,000 and Lawrence Artz must pay a total of over $141,000 in disgorgement of ill-gotten gains, prejudgment interest, and civil penalties.
The Commission originally filed its action against Neurotech, Bernard Artz and Lawrence Artz in October 2004. The complaint alleged that, between at least 1999 and 2003, Neurotech falsely claimed in Commission filings and press releases that it had: (i) sold and built prefabricated hospitals in China and Indonesia, and (ii) entered into billions of dollars of overseas construction contracts. The Commission’s complaint also alleged that the company made false public statements about possessing certain fraudulent “bank guarantees” it could purportedly use to finance the building of hospitals. The Commission also alleged that Bernard Artz and Lawrence Artz contemporaneously sold the company’s common stock into the market for illicit gains.
In April 2010, Neurotech reached a settlement with the Commission and Bernard Artz and Lawrence Artz agreed to partial settlements with the Commission. Bernard and Lawrence Artz consented to entry of judgments permanently enjoining them from violating Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder (antifraud provisions), Section 16(a) of the Exchange Act (failure to make change of beneficial ownership filings), and aiding and abetting Neurotech’s violations of Section 13(a) of the Exchange Act and Rules 12b-20, 13a-1 and 13a-13 thereunder (reporting provisions). In addition, Bernard Artz consented to an injunction from violating Exchange Act Rule 13a-14 (false certification of Commission filings). Both individual defendants also consented to five-year officer and director and penny stock bars, and left disgorgement, prejudgment interest, and civil penalties to be decided by the Court. Neurotech settled the matter by consenting to the entry of a final judgment providing for a permanent injunction from violating Sections 10(b) and 13(a) of the Exchange Act and Rules 10b-5, 12b-20, 13a-1 and 13a-13 thereunder.
Thereafter, the court considered the issue of disgorgement, prejudgment interest, and civil penalties as to Bernard Artz and Lawrence Artz. The Order issued on March 23, 2011, adopting a recommendation by a Magistrate Judge, requires Bernard Artz to disgorge $131,414, plus prejudgment interest of $32,017.42, and pay a civil penalty of $10,000. Similarly, Lawrence Artz must disgorge $57,129.73, plus prejudgment interest of $79,846.92, and pay a civil penalty of $5,000. The Magistrate Judge stated that the recommended civil penalties were “third tier” penalties and that he considered the defendants’ financial conditions in his decision to not recommend higher penalty amounts. Under the Exchange Act, a “third tier” penalty is one where the violation involved fraud, deceit, manipulation, or deliberate or reckless disregard of a regulatory requirement, and such violation directly or indirectly resulted in substantial losses or created a significant risk of substantial losses to other persons. [SEC v. Neurotech Development Corporation, et al., 04-CV-4667 (Platt) (United States District Court for the Eastern District of New York)] (LR-21912)
Court Grants Summary Judgment Against Defendants Joseph J. Monterosso and Luis Vargas
On March 31, 2011, the United States District Court for the Southern District of Florida granted the Commission's motions for summary judgment against the two remaining defendants in a civil action originally filed in November 2007. The judgment permanently enjoins Joseph J. Monterosso and Luis Vargas from violations of the antifraud and other securities law provisions. The Court ordered that a magistrate judge would determine the amount of disgorgement and penalties that the defendants would pay.
The Commission brought civil actions against Monterosso and Vargas in connection with GlobeTel Communications Corp., now Sanswire Corp. (GlobeTel). GlobeTel reported millions of dollars in telecommunications revenue from 2002 to 2006 that the Commission alleged were fake. Two former GlobeTel executives were sentenced to prison as a result of parallel criminal prosecutions. See U.S. v. Huff, 09-cr-60295-DMM (S.D. Fla.); U.S. v. Jimenez, 08-cr-60367-DTKH (S.D. Fla.). Sanswire Corp. and three former executives, including the two sentenced to prison, previously consented to the entry of judgments against them in the Commission’s action.
The Commission’s complaint against Monterosso and Vargas alleged that they created hundreds of false invoices that made it appear that GlobeTel's three wholly-owned subsidiaries, Centerline Communications, LLC (Centerline), Volta Communications, LLC (Volta), and Lonestar Communications, LLC (Lonestar) bought and sold telecom "minutes" with other wholesale telecom companies. The complaint alleged that, in reality, there were no transactions under the program that GlobeTel executives described as the "off-net" revenue program. It alleged that two of GlobeTel's subsidiaries - Volta and Lonestar - actually did no business. It alleged that the third subsidiary, Centerline, reported millions of dollars in business with Monterosso's and Vargas' own private company, Carrier Services Inc. (CSI), which did not occur.
The court found that the Monterosso and Vargas violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), Rule 10b-5(a) promulgated thereunder, and Section 17(a)(1) of the Securies Act of 1933 (Securities Act) by their direct involvement in a scheme to report fraudulent “off-net” revenue.
In addition, the court found that Monterosso and Vargas violated Rule 13b2-1 promulgated under the Exchange Act and aided and abetted GlobeTel’s violated Sections 13(a) and 13(b)(2)(A) of the Exchange Act and Rules 12b-20, 13a-1, and 13a-13 promulgated thereunder.
The GlobeTel case was investigated and litigated by Brent Mitchell, Peter Rosario, Jeffrey Infelise, Gina Twyman and Reid Muoio.
For further information, please see Litigation Release Numbers 20371 (Nov. 26, 2007) [initial complaint filed]; 20550 (May 1, 2008) [civil injunctive action filed against GlobeTel and three former executives]; and 21202 (Sept. 9, 2009) [civil action filed against Timothy J. Huff].
The Commission acknowledges the assistance of the Internal Revenue Service, the Federal Bureau of Investigation, the Tax Division of the United States Department of Justice, and the United States Attorney’s Office for the Southern District of Florida. [SEC v. Joseph J. Monterosso, et. al.,Civil Action No. 07-61693 (S.D. Fla.)] (LR-21913; AAE Rel. 3256)
Eaton Vance Management, et al.
An order has been issued on an application filed by Eaton Vance Management, Eaton Vance ETF Trust, and Foreside Fund Services, LLC, to permit: (a) series of certain actively managed open-end management investment companies to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds under certain circumstances more than seven days from the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. (Rel. IC-29620 – March 30)
Jackson National Life Insurance Company, et al.
A notice has been issued giving interested persons until April 22, 2011, to request a hearing on an application filed by Jackson National Life Insurance Company (Jackson), Jackson National Separate Account - I, Jackson National Life Insurance Company of New York (JNLNY), JNLNY Separate Account I, and Jackson National Life Distributors LLC (collectively, Applicants). Applicants seek an order under Section 6(c) of the Investment Company Act to exempt certain transactions from the provisions of Sections 2(a)(32), 22(c), and 27(i)(2)(A) of the Act and Rule 22c-1 thereunder, to the extent necessary to permit the recapture, under specified circumstances, of certain contract enhancements applied to purchase payments made under deferred variable annuity contracts issued by Jackson and JNLNY. (Rel. IC-29621 – March 31)
Approval of Accelerated Delivery of Supplement to the Options Disclosure Document and Amendment to the Options Disclosure Document Inside Front Cover
The Commission granted approval to the accelerated delivery of a supplement to the options disclosure document, submitted by The Options Clearing Corporation (SR-ODD-2011-02) pursuant to Rule 9b-1 under the Securities Exchange Act of 1934, regarding disclosures on variability index options and relative performance index options and amendment to the options disclosure document inside front cover. Publication is expected in the Federal Register during the week of April 4, 2011. (Rel. 34-64154)
Approval of Proposed Rule Change
The Commission approved a proposed rule change submitted by NASDAQ OMX PHLX (SR-Phlx-2011-15) pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to expand the $2.50 Strike Price Program. Publication is expected in the Federal Register during the week of April 4, 2011. (Rel. 34-64157)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change filed by National Stock Exchange (SR-NSX-2011-03) to enable the use of a replace message to modify the display quantity of a reserve order, and certain other conforming changes to exchange rules, 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. 34-64158)
A proposed rule change filed by the Chicago Board Options Exchange to expand the $2.50 Strike Price Program (SR-CBOE-2011-029) 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 April 4, 2011. (Rel. 34-64159)
A proposed rule change filed by The NASDAQ Stock Market to expand the $2.50 Strike Price Program (SR-NASDAQ-2011-041) 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 April 4, 2011. (Rel. 34-64160)
A proposed rule change filed by NASDAQ OMX BX to amend the BOX Rules to expand the $2.50 Strike Price Program (SR-BX-2011-017) 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 April 4, 2011. (Rel. 34-64161)
A proposed rule change filed by NYSE Arca to expand the $2.50 Strike Price Program (SR-NYSEArca-2011-13) 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 April 4, 2011. (Rel. 34-64162)
A proposed rule change filed by NYSE Amex to expand the $2.50 Strike Price Program (SR-NYSEAmex-2011-22) 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 April 4, 2011. (Rel. 34-64163)
The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.
Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
S-8 BALLY TECHNOLOGIES, INC., 6601 S. BERMUDA RD., LAS VEGAS, NV, 89119, 7028967700 - 0 ($106,110,000.00) Equity, (File 333-173190 - Mar. 31) (BR. 03A) S-1 American Midstream Partners, LP, 1614 15TH STREET SUITE 300, DENVER, CO, 80202, (720) 457-6060 - 0 ($75,000,000.00) Limited Partnership Interests, (File 333-173191 - Mar. 31) (BR. 02) S-3 Unilife Corp, 633 LOWTHER ROAD, LEWISBERRY, PA, 17339, (717)938-9323 - 0 ($216,496,371.00) Other, (File 333-173195 - Mar. 31) (BR. 10) S-8 MAINSOURCE FINANCIAL GROUP, 201 N BROADWAY, PO BOX 87, GREENSBURG, IN, 47240, 8126630157 - 0 ($12,099,594.00) Equity, (File 333-173196 - Mar. 31) (BR. 07A) F-10 TASEKO MINES LTD, SUITE 1020, 800 WEST PENDER STREET, VANCOUVER, A1, V6C 2V6, 604-684-6365 - 0 ($66,690,000.00) Unallocated (Universal) Shelf, (File 333-173197 - Mar. 31) (BR. 04C) S-1 Ally Financial Inc., MAIL CODE: 482-B08-D76, 200 RENAISSANCE CENTER, DETROIT, MI, 48265, 866-710-4623 - 0 ($100,000,000.00) Equity, (File 333-173198 - Mar. 31) (BR. 07C) S-1 Oiltanking Partners, L.P., 15631 JACINTOPORT BLVD., HOUSTON, TX, 77015, 281-457-7900 - 0 ($200,000,000.00) Limited Partnership Interests, (File 333-173199 - Mar. 31) (BR. ) S-8 CLICKSOFTWARE TECHNOLOGIES LTD, 655 CAMPBELL TECHNOLOGY PARKWAY, SUITE 250, CAMPBELL, CA, 95008, 4083776088 - 800,000 ($6,392,000.00) Equity, (File 333-173200 - Mar. 31) (BR. 03C) S-1 Santa Lucia Bancorp, P. O. BOX 6047, ATASCADERO, CA, 93423, 805-466-7087 - 7,500,000 ($5,850,000.00) Equity, (File 333-173201 - Mar. 31) (BR. 07A) S-3 AMERICAN HONDA RECEIVABLES CORP, 700 VAN NESS AVENUE, C/O AMERICAN HONDA RECIEVABLES CORP, TORRANCE, CA, 90501, 3107814318 - 0 ($1,000,000.00) Asset-Backed Securities, (File 333-173202 - Mar. 31) (BR. 05) S-8 AtriCure, Inc., 6217 CENTRE PARK DRIVE, WEST CHESTER, OH, 45069, 513-755-4107 - 509,067 ($5,559,011.64) Equity, (File 333-173203 - Mar. 31) (BR. 10A) S-8 AtriCure, Inc., 6217 CENTRE PARK DRIVE, WEST CHESTER, OH, 45069, 513-755-4107 - 313,272 ($3,420,930.24) Equity, (File 333-173204 - Mar. 31) (BR. 10A) F-3 ATTUNITY LTD, INDUSTRIAL PARK, TECHNION CITY, HAIFA ISRAEL, L3, 32000, 5086513888 - 6,199,602 ($4,060,739.31) Equity, (File 333-173205 - Mar. 31) (BR. 03C) S-8 AVANIR PHARMACEUTICALS, INC., 101 ENTERPRISE, SUITE 300, ALISO VIEJO, CA, 92656, 949-389-6700 - 0 ($17,381,111.00) Equity, (File 333-173206 - Mar. 31) (BR. 01C) S-8 Seaspan CORP, UNIT 2, 7TH FLOOR, BUPA CENTRE, 141 CONNAUGHT ROAD WEST, HONG KONG, F4, 00000, (852) 2540 1686 - 0 ($52,605,000.00) Equity, (File 333-173207 - Mar. 31) (BR. 05C) S-8 INVIVO THERAPEUTICS HOLDINGS CORP., ONE BROADWAY, 14TH FLOOR, CAMBRIDGE, MA, 02142, (617) 475-1520 - 0 ($3,047,087.00) Equity, (File 333-173208 - Mar. 31) (BR. 10B) S-11 Whitestone REIT, 2600 SOUTH GESSNER, SUITE 500, HOUSTON, TX, 77063, 713-827-9595 - 0 ($86,250,000.00) Equity, (File 333-173209 - Mar. 31) (BR. 08C) S-8 Silicon Graphics International Corp, 46600 LANDING PARKWAY, FREMONT, CA, 94538, 408-240-8300 - 464,076 ($8,984,511.36) Equity, (File 333-173210 - Mar. 31) (BR. 03B) S-8 FOREST CITY ENTERPRISES INC, 1100 TERMINAL TOWER, 50 PUBLIC SQ, CLEVELAND, OH, 44113, 216-621-6060 - 0 ($14,261,250.00) Equity, (File 333-173211 - Mar. 31) (BR. 08B) S-3 DATARAM CORP, P O BOX 7528, PRINCETON, NJ, 08543, 6097990071 - 0 ($20,000,000.00) Other, (File 333-173212 - Mar. 31) (BR. 03A) N-2 Blackstone / GSO Floating Rate High Income Fund, 280 PARK AVENUE, 11TH FLOOR, NEW YORK, NY, 10017, 212-503-2100 - 0 ($1,000,000.00) Equity, (File 333-173213 - Mar. 31) (BR. ) S-8 JOY GLOBAL INC, 100 EAST WISCONSIN AVE SUITE 2780, MILWAUKEE, WI, 53201-0554, 4144866400 - 1,000,000 ($95,850,000.00) Equity, (File 333-173214 - Mar. 31) (BR. 10B) S-1 Foreclosure Solutions, Inc., 2502 LIVE OAK STREET STE 205, DALLAS, TX, 75204, 214-620-8711 - 2,000,000 ($60,000.00) Equity, (File 333-173215 - Mar. 31) (BR. ) S-1 Wellness Center USA, Inc., 1014 E. ALGONQUIN ROAD, SUITE 111, SCHAUMBURG, IL, 60173, (847) 530-4898 - 7,800,000 ($1,950,000.00) Equity, (File 333-173216 - Mar. 31) (BR. ) S-3ASR DUPONT E I DE NEMOURS & CO, 1007 MARKET ST, WILMINGTON, DE, 19898, 3027741000 - 0 ($0.00) Other, (File 333-173217 - Mar. 31) (BR. 06B) S-8 Globalstar, Inc., 300 HOLIDAY SQUARE BLVD.,, COVINGTON,, LA, 70433, 408-933-4000 - 0 ($7,441,475.80) Equity, (File 333-173218 - Mar. 31) (BR. 11B) S-1 USA TECHNOLOGIES INC, 100 DEERFIELD LANE, SUITE 140, MALVERN, PA, 19355, 6109890340 - 9,464 ($23,186,800.00) Equity, (File 333-173219 - Mar. 31) (BR. 03B) S-3 Globalstar, Inc., 300 HOLIDAY SQUARE BLVD.,, COVINGTON,, LA, 70433, 408-933-4000 - 0 ($368,617.00) Equity, (File 333-173220 - Mar. 31) (BR. 11B) S-3 Neuralstem, Inc., 9700 GREAT SENECA HIGHWAY, ROCKVILLE, MD, 20850, 3013664841 - 716,675 ($1,491,685.00) Equity, (File 333-173221 - Mar. 31) (BR. 01B) S-1 General Cleaning & Maintenance, 412 MARTHA ST, LAS VEGAS, NV, 89110, 702-277-5916 - 5,000,000 ($50,000.00) Equity, (File 333-173222 - Mar. 31) (BR. ) S-4 COWEN GROUP, INC., 1221 AVENUE OF THE AMERICAS, NEW YORK, NY, 10020, (646) 562-1000 - 0 ($164,546,628.00) Equity, (File 333-173223 - Mar. 31) (BR. 08C) S-4 Swisher Hygiene Inc., 4725 PIEDMONT ROW DRIVE, SUITE 400, CHARLOTTE, NC, 28210, 704 364 7707 - 0 ($59,100,000.00) Equity, (File 333-173224 - Mar. 31) (BR. 08B) S-1 Swisher Hygiene Inc., 4725 PIEDMONT ROW DRIVE, SUITE 400, CHARLOTTE, NC, 28210, 704 364 7707 - 0 ($213,396,696.12) Equity, (File 333-173225 - Mar. 31) (BR. 08B)
Form 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 4 KIDS ENTERTAINMENT INC NY 2.02,8.01,9.01 03/31/11 ADEONA PHARMACEUTICALS, INC. DE 2.02,9.01 03/31/11 Ads In Motion, Inc. DE 1.01,2.03,3.02,9.01 03/25/11 AEHR TEST SYSTEMS CA 2.02,9.01 02/28/11 AEP INDUSTRIES INC DE 1.01,3.03,5.03,9.01 03/31/11 AgFeed Industries, Inc. NV 4.02 03/25/11 Alpha Lujo, Inc. NY 1.01,9.01 03/30/11 Altegris QIM Futures Fund, L.P. DE 4.01,9.01 12/31/10 ALTERRA CAPITAL HOLDINGS Ltd 7.01 03/31/11 Amarok Resources, Inc. NV 1.01,8.01,9.01 03/24/11 AMERICAN BIO MEDICA CORP NY 5.02 03/25/11 AMERICAN CONSUMERS INC GA 5.07,7.01,9.01 03/31/11 AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01,9.01 03/30/11 AMERICAN INTERNATIONAL GROUP INC DE 5.02,7.01,9.01 03/31/11 American Smooth Wave Ventures, Inc. NV 9.01 01/21/11 AMEND AMERICAN SPECTRUM REALTY INC MD 4.02,9.01 03/31/11 AMERICAN SPECTRUM REALTY INC MD 2.02,9.01 03/31/11 AMERIGON INC MI 1.01,2.03,3.03,5.02, 03/30/11 5.03,9.01 AmREIT, Inc. MD 5.02,9.01 03/29/11 ANALOG DEVICES INC MA 8.01,9.01 03/31/11 Andatee China Marine Fuel Services Co DE 2.02,9.01 03/30/11 AMEND Antero Resources Finance Corp DE 2.02,7.01,9.01 03/30/11 ANWORTH MORTGAGE ASSET CORP MD 8.01,9.01 03/31/11 APOLLO GROUP INC AZ 8.01 03/29/11 Applied Minerals, Inc. DE 3.02 03/31/11 ARAMARK CORP DE 1.01 03/25/11 ARBITRON INC DE 5.02,7.01,9.01 02/28/11 ARBITRON INC DE 7.01,9.01 03/31/11 Arcis Resources Corp NV 5.02 03/28/11 Armour Residential REIT, Inc. MD 3.01,9.01 03/31/11 ARTFEST INTERNATIONAL INC DE 2.01,9.01 02/17/11 Ascend Acquisition Corp. DE 1.01,2.03,9.01 03/28/11 Ascend Acquisition Corp. DE 1.01,2.03,9.01 03/30/11 AMEND ASHLAND INC. KY 2.01,9.01 03/31/11 ASTRO MED INC /NEW/ RI 8.01,9.01 03/31/11 ASURE SOFTWARE INC DE 5.02,9.01 01/21/10 AT&T INC. DE 1.01,2.03,9.01 03/31/11 ATHENA SILVER CORP CA 7.01,9.01 03/29/11 Aurum, Inc. DE 5.02 03/29/11 AVI BIOPHARMA INC OR 8.01,9.01 03/31/11 AXION INTERNATIONAL HOLDINGS, INC. CO 8.01 03/31/11 BB&T CORP NC 7.01,9.01 03/31/11 BELK INC 2.02,8.01,9.01 03/30/11 BERKSHIRE HILLS BANCORP INC 4.01,9.01 03/31/11 BIGLARI HOLDINGS INC. IN 8.01 03/30/11 BIOJECT MEDICAL TECHNOLOGIES INC OR 1.01,9.01 03/31/11 BIOZONE PHARMACEUTICALS, INC. NV 2.03,3.02,9.01 03/27/11 BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 1.01,9.01 03/29/11 BRAINY BRANDS COMPANY, INC. DE 5.07 03/25/11 BROOKFIELD HOMES CORP DE 3.01,3.03,5.03,8.01, 03/31/11 9.01 CABLEVISION SYSTEMS CORP /NY DE 5.02,9.01 03/29/11 Capital Financial Holdings, Inc ND 5.02 03/24/11 Capital Financial Holdings, Inc ND 5.02 03/24/11 CAPITAL GROWTH SYSTEMS INC /FL/ FL 8.01,9.01 03/31/11 CAPTERRA FINANCIAL GROUP, INC. CO 2.01 03/31/11 Car Charging Group, Inc. NV 3.02,9.01 03/18/11 Cardium Therapeutics, Inc. DE 8.01,9.01 03/31/11 CARMAX INC VA 2.02,9.01 02/28/11 CARRIZO OIL & GAS INC TX 4.02 03/30/11 Carter Validus Mission Critical REIT, MD 1.01,5.03,5.07,9.01 03/29/11 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 03/31/11 CENTERLINE HOLDING CO DE 2.02,9.01 12/31/10 CENTRAL VALLEY COMMUNITY BANCORP CA 8.01,9.01 03/31/11 CENTURY CASINOS INC /CO/ DE 2.02 12/31/10 China Biologic Products, Inc. 4.02 03/31/11 CHINA ELECTRIC MOTOR, INC. DE 7.01,9.01 03/31/11 CHINA GENGSHENG MINERALS, INC. NV 2.02,8.01,9.01 03/31/11 China Internet Caf? Holdings Group, I 8.01,9.01 03/31/11 China MediaExpress Holdings, Inc. DE 4.01,4.02,9.01 03/11/11 AMEND China Power Equipment, Inc. MD 2.02,9.01 03/31/11 CHINA SHEN ZHOU MINING & RESOURCES, I NV 2.02,7.01,9.01 03/29/11 CHINA SHEN ZHOU MINING & RESOURCES, I NV 9.01 01/14/11 AMEND China Shenghuo Pharmaceutical Holding 2.02,7.01,9.01 03/30/11 ChinaNet Online Holdings, Inc. NV 2.02,9.01 03/31/11 CHRISTOPHER & BANKS CORP DE 7.01,9.01 03/31/11 CHUGACH ELECTRIC ASSOCIATION INC AK 5.02 03/25/11 CHURCHILL DOWNS INC KY 5.02 03/25/11 CIT GROUP INC DE 1.01,2.03,8.01,9.01 03/30/11 CITY HOLDING CO WV 5.02 03/30/11 CLAIBORNE LIZ INC DE 1.01 03/25/11 COMMUNICATION INTELLIGENCE CORP DE 5.03,5.07,9.01 03/31/11 COMMUNITY CAPITAL CORP /SC/ SC 8.01,9.01 03/30/10 Comstock Mining Inc. NV 8.01,9.01 03/31/11 CONNS INC DE 2.02,9.01 03/31/11 CONSTITUTION MINING CORP DE 8.01 03/31/11 CONSTITUTION MINING CORP. DE 8.01 03/30/11 Consumer Capital Group, Inc. 9.01 03/31/11 AMEND Cornerworld Corp NV 5.02,8.01 03/30/11 Crown Oil & Gas Inc. NV 5.02 03/21/11 CVB FINANCIAL CORP CA 2.02,9.01 03/28/11 CYBEX INTERNATIONAL INC NY 2.02,9.01 03/31/11 CYIOS CORP NV 4.01 03/31/11 AMEND DELL INC DE 8.01,9.01 03/28/11 Delta Seaboard International, Inc. NV 1.01,2.01,3.01,5.01, 12/31/09 AMEND 5.06 DemandTec, Inc. DE 2.02,9.01 03/31/11 DENDREON CORP DE 8.01,9.01 03/30/11 DIGITAL ALLY INC 1.01,9.01 03/31/11 DIGUANG INTERNATIONAL DEVELOPMENT CO. NV 2.02,9.01 03/31/11 DIVERSIFIED GLOBAL HOLDINGS GROUP INC FL 7.01,9.01 03/31/11 Douglas Lake Minerals Inc. NV 3.02,9.01 03/11/11 DPAC TECHNOLOGIES CORP CA 1.01,9.01 03/25/11 DTS, INC. DE 5.02 03/31/11 EARTH DRAGON RESOURCES INC. 1.01 03/30/11 EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 03/31/11 AMEND EMCLAIRE FINANCIAL CORP PA 3.02,9.01 03/31/11 EMISPHERE TECHNOLOGIES INC DE 2.02,9.01 03/31/11 Emrise CORP DE 2.02,9.01 03/31/11 Endeavor Power Corp NV 3.02,8.01,9.01 03/29/11 Energy Transfer Partners, L.P. DE 1.01,7.01,9.01 03/29/11 EnergySolutions, Inc. DE 4.02 03/28/11 ERIE INDEMNITY CO PA 1.01,8.01,9.01 03/31/11 EVEREST RE GROUP LTD D0 5.01,5.02,9.01 03/31/11 EXERGETIC ENERGY, INC. MI 1.01,9.01 03/30/11 EXPRESS-1 EXPEDITED SOLUTIONS INC DE 2.03 03/31/11 EXTREME NETWORKS INC DE 5.02,5.03 03/25/11 EXXON MOBIL CORP NJ 2.02,7.01 03/31/11 EZENIA INC DE 2.02,7.01,9.01 03/31/11 FBL FINANCIAL GROUP INC IA 7.01 03/31/11 Federal Home Loan Bank of Atlanta X1 2.03 03/31/11 Federal Home Loan Bank of Boston X1 2.03 03/29/11 Federal Home Loan Bank of Chicago X1 2.03 03/28/11 Federal Home Loan Bank of Cincinnati X1 2.03,9.01 03/28/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/31/11 Federal Home Loan Bank of New York X1 2.03,9.01 03/28/11 Federal Home Loan Bank of New York X1 8.01 03/31/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 03/28/11 Federal Home Loan Bank of San Francis X1 2.03 03/28/11 Federal Home Loan Bank of Seattle 2.03 03/28/11 Federal Home Loan Bank of Topeka 2.03,9.01 03/28/11 FIELDPOINT PETROLEUM CORP CO 7.01,8.01,9.01 03/31/11 FIELDPOINT PETROLEUM CORP CO 2.02,7.01,9.01 03/31/11 FIRST HORIZON NATIONAL CORP TN 2.06,8.01,9.01 03/31/11 FITWAYVITAMINS, INC. NV 9.01 Flagstone Reinsurance Holdings, S.A. 8.01,9.01 03/30/11 FLORIDIAN FINANCIAL GROUP INC 5.02 03/25/11 FORCE FUELS INC. 1.01,1.02,9.01 03/30/11 FOREST CITY ENTERPRISES INC OH 2.02,9.01 03/30/11 Forex International Trading Corp. NV 8.01 03/30/11 FRANKLIN COVEY CO UT 2.02,8.01,9.01 03/31/11 FREEPORT MCMORAN COPPER & GOLD INC DE 1.01,2.03 03/30/11 FSP PHOENIX TOWER CORP 1.01,2.03,8.01,9.01 03/11/11 FusionTech, Inc. NV 1.01,2.03,3.02,9.01 03/28/11 Game Trading Technologies, Inc. DE 4.02 03/25/11 GASTAR EXPLORATION LTD 7.01,9.01 03/31/11 GBS Enterprises Inc NV 3.02 03/31/11 General Growth Properties, Inc. DE 8.01,9.01 03/31/11 General Maritime Corp / MI 1.01,8.01,9.01 03/31/11 Genpact LTD D0 5.02,9.01 03/28/11 GeoMet, Inc. DE 2.02,9.01 03/30/11 GETTY REALTY CORP /MD/ MD 9.01 01/13/11 AMEND GLOBAL ENERGY INC NV 3.02 03/31/11 GLOBAL GSM SOLUTIONS NV 5.02 03/25/11 GLOBAL PAYMENTS INC GA 2.02,9.01 03/31/11 Globalstar, Inc. DE 2.02,7.01,9.01 03/31/11 GOLDMAN SACHS GROUP INC DE 9.01 03/31/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 5.02 03/31/11 Great Spirits Inc 4.01,9.01 02/01/11 AMEND Great Spirits Inc 4.01,9.01 02/01/11 AMEND GREEN ENVIROTECH HOLDINGS CORP. DE 1.01,9.01 03/25/11 GREEN EQUITY HOLDINGS, INC. NV 2.01 03/30/11 GS FINANCIAL CORP LA 1.01,8.01,9.01 03/30/11 GS FINANCIAL CORP LA 1.01,9.01 03/30/11 AMEND GSP-2, INC. NV 2.01,5.02,9.01 02/11/11 AMEND GULF RESOURCES, INC. DE 8.01,9.01 03/25/11 H & H Imports, Inc. FL 8.01 03/24/11 HAMPTON ROADS BANKSHARES INC VA 7.01,9.01 03/31/11 HAWAIIAN HOLDINGS INC DE 5.02 03/25/11 HAWTHORN BANCSHARES, INC. MO 2.02,9.01 03/30/11 HEALTH CARE REIT INC /DE/ DE 8.01 03/29/11 HEALTHCARE TRUST OF AMERICA, INC. MD 7.01,9.01 03/31/11 HEALTHSTREAM INC TN 1.01,2.03,9.01 03/30/11 HEICO CORP FL 5.07 03/28/11 HERCULES OFFSHORE, INC. DE 8.01 03/30/11 HERLEY INDUSTRIES INC /NEW DE 3.01,3.03,5.02,5.03, 03/29/11 8.01,9.01 HOLLY ENERGY PARTNERS LP DE 1.01,9.01 03/31/11 HOME BANCORP, INC. LA 1.01,8.01,9.01 03/30/11 HOME DEPOT INC DE 8.01,9.01 03/28/11 Homeowners Choice, Inc. FL 1.01,8.01,9.01 03/25/11 HYPERDYNAMICS CORP DE 8.01 03/30/11 IMEDIA INTERNATIONAL INC DE 1.01,9.01 03/30/11 INFOSPACE INC DE 8.01,9.01 03/31/11 INHIBITEX, INC. DE 8.01,9.01 03/31/11 Inland Diversified Real Estate Trust, MD 1.01,2.01,2.03,9.01 03/25/11 INNOTRAC CORP GA 2.02,9.01 03/31/11 instaCare Corp. NV 4.01,9.01 03/31/11 INSTEEL INDUSTRIES INC NC 9.01 11/19/10 AMEND IntelGenx Technologies Corp. DE 5.03,9.01 03/31/11 InterDigital, Inc. PA 8.01,9.01 03/28/11 INTERLINE BRANDS, INC./DE DE 5.02,9.01 03/31/11 INTERNATIONAL LEASE FINANCE CORP CA 1.01,2.03,7.01,8.01, 03/30/11 9.01 INTERNATIONAL SHIPHOLDING CORP DE 2.01,9.01 03/25/11 INTERNET MEDIA SERVICES, INC. DE 8.01,9.01 03/29/11 INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 03/29/11 Island Radio, Inc. NV 3.02 03/29/11 ISLE OF CAPRI CASINOS INC DE 1.01,2.03,9.01 03/25/11 iTech Medical, Inc. DE 5.02 03/25/11 ITP Energy Corp 1.01,9.01 12/23/10 JAGGED PEAK, INC. NV 2.02,9.01 03/31/11 KFORCE INC FL 8.01 03/30/11 KKR Financial Holdings LLC DE 2.03 03/28/11 KRAFT FOODS INC VA 5.02,9.01 03/31/11 KRISPY KREME DOUGHNUTS INC NC 2.02,7.01,9.01 03/31/11 LAS VEGAS SANDS CORP NV 7.01,9.01 03/31/11 Lawson Software, Inc. DE 2.02,9.01 03/31/11 LAYNE CHRISTENSEN CO DE 1.01,1.02,2.03,9.01 03/25/11 LEAGUE NOW HOLDINGS CORP FL 9.01 03/30/11 AMEND Lender Processing Services, Inc. DE 5.02 03/31/11 LINDSAY CORP DE 2.02,9.01 03/30/11 Lotus Pharmaceuticals, Inc. NV 2.02,9.01 03/28/11 LUBRIZOL Corp OH 8.01,9.01 03/31/11 LUMINEX CORP DE 5.02,9.01 03/31/11 Magnolia Solar Corp NV 8.01,9.01 03/31/11 MANPOWER INC /WI/ WI 2.02,7.01,9.01 03/31/11 Marina Biotech, Inc. DE 3.01 03/25/11 MEDICINOVA INC DE 2.02,9.01 03/31/11 MERITOR INC IN 2.05,7.01,8.01,9.01 03/29/11 METROPCS COMMUNICATIONS INC DE 5.02 03/25/11 MEXCO ENERGY CORP CO 8.01,9.01 03/31/11 MICROWAVE FILTER CO INC /NY/ NY 5.07 03/31/11 MIT Holding, Inc. DE 1.01,9.01 03/18/11 MMRGlobal, Inc. DE 2.02,9.01 03/31/11 MOSAIC CO DE 2.02,9.01 03/31/11 MULTI COLOR Corp OH 1.01,9.01 03/29/11 NATIONAL HOUSING PARTNERSHIP REALTY F MD 8.01 03/28/11 NATIONAL SECURITY GROUP INC DE 7.01,9.01 03/31/11 NAUTILUS, INC. WA 5.02,9.01 03/30/11 NEAH POWER SYSTEMS, INC. NV 5.07,9.01 03/25/11 NEPHROS INC DE 5.02,9.01 03/28/11 NEW ENERGY SYSTEMS GROUP NV 7.01,9.01 03/29/11 New England Bancshares, Inc. 5.02 03/30/11 NGAS Resources Inc A1 3.01 03/29/11 NNN 2003 VALUE FUND LLC 2.01,9.01 03/25/11 NORTEK INC DE 2.02,9.01 12/31/10 NPS PHARMACEUTICALS INC DE 8.01 03/30/11 NU SKIN ENTERPRISES INC DE 1.01 03/25/11 NUCLEAR SOLUTIONS INC NV 5.02,8.01 03/23/11 Okana Ventures, Inc. NV 5.02 03/31/11 OLD DOMINION ELECTRIC COOPERATIVE VA 5.02 03/28/11 OMEROS CORP WA 1.01,2.03,9.01 03/25/11 OMEROS CORP WA 8.01,9.01 03/31/11 OMNI BIO PHARMACEUTICAL, INC. CO 7.01,9.01 03/31/11 OMNICARE INC DE 8.01,9.01 03/31/11 OPNEXT INC 7.01,9.01 03/30/11 OSI RESTAURANT PARTNERS, LLC DE 7.01 03/31/11 OXYGEN BIOTHERAPEUTICS, INC. DE 5.02 03/28/11 Pacira Pharmaceuticals, Inc. DE 2.02,9.01 03/31/11 Park Sterling Corp NC 8.01,9.01 03/30/11 Patient Safety Technologies, Inc DE 1.01,1.02,3.02,8.01, 03/28/11 9.01 Pay Mobile, Inc NV 1.01,5.03 03/24/11 PDC 2005-A Limited Partnership WV 8.01 03/31/11 PDC 2005-B Limited Partnership WV 8.01 03/31/11 Pebblebrook Hotel Trust MD 9.01 03/31/11 AMEND Pegasus Tel, Inc DE 1.01,3.02,5.02 03/30/11 PEPSICO INC NC 8.01,9.01 03/31/11 PERFORMANCE TECHNOLOGIES INC \DE\ DE 2.02 12/31/10 PETROLEUM DEVELOPMENT CORP NV 8.01,9.01 03/29/11 Pharmasset Inc 7.01,8.01,9.01 03/30/11 PharMerica CORP DE 5.02 03/01/11 PharMerica CORP DE 5.02 03/25/11 PHOTONIC PRODUCTS GROUP INC NJ 8.01 03/24/11 PHOTRONICS INC CT 8.01,9.01 03/30/11 Piedmont Office Realty Trust, Inc. MD 8.01 03/31/11 PIER 1 IMPORTS INC/DE DE 5.02,7.01,9.01 03/25/11 PNM RESOURCES INC NM 8.01 03/31/11 PREMIER EXHIBITIONS, INC. FL 5.02 03/31/11 PRESIDENTIAL LIFE CORP DE 2.02,9.01 03/31/10 PRIMUS GUARANTY LTD 8.01,9.01 03/31/11 PROSPECT GLOBAL RESOURCES INC. NV 1.01,2.01,2.03,3.02, 02/11/11 AMEND 4.01,5.02,5.03,5.06, 9.01 PUBLIC MEDIA WORKS INC DE 5.02 03/25/11 PULTEGROUP INC/MI/ MI 5.02 03/29/11 PYRAMID OIL CO CA 2.02,9.01 03/30/11 QKL Stores Inc. DE 2.02,9.01 03/15/11 QR Energy, LP DE 2.02,9.01 03/31/11 RADIANT LOGISTICS, INC DE 1.01,2.01,8.01,9.01 03/29/11 RAMOIL MANAGEMENT LTD DE 1.01,2.01,5.02,9.01 03/13/11 RED MOUNTAIN RESOURCES, INC. FL 2.01,5.01,9.01 03/22/11 REDDY ICE HOLDINGS INC DE 2.02,9.01 03/31/11 Regenicin, Inc. NV 1.02,5.02,8.01 02/28/11 REPLIGEN CORP DE 5.02 03/25/11 REPRO MED SYSTEMS INC NY 8.01,9.01 03/31/11 RESOURCE ACQUISITION GROUP, INC. NV 1.01,2.01,3.02,4.01, 02/11/11 AMEND 5.01,5.02,5.06,9.01 RESOURCES CONNECTION INC DE 2.02,9.01 03/31/11 ROBBINS & MYERS, INC. OH 1.01,2.02,9.01 03/28/11 Rockies Region Private LP 8.01 03/31/11 ROYAL UNION HOLDINGS, CORP. NV 1.01,3.02,5.02,9.01 02/02/11 Sabra Health Care REIT, Inc. MD 1.01,9.01 03/30/11 SAIC, Inc. 5.03,9.01 03/25/11 SAJAN INC DE 5.02 03/28/11 SANDY SPRING BANCORP INC MD 5.02,9.01 03/30/11 SemGroup Corp DE 2.02,9.01 03/31/11 SIGNET JEWELERS LTD 4.01,9.01 03/28/11 Silicon Graphics International Corp DE 8.01,9.01 03/30/11 SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 03/31/11 SMITH MIDLAND CORP DE 2.02,9.01 03/30/11 SMTC CORP DE 5.02 03/29/11 Solar Power, Inc. CA 5.01,8.01,9.01 03/31/11 SOLERA HOLDINGS, INC DE 5.02 03/15/11 AMEND SOUTHWALL TECHNOLOGIES INC /DE/ DE 8.01,9.01 03/30/11 SPANISH BROADCASTING SYSTEM INC DE 2.02,9.01 03/31/11 SPEEDEMISSIONS INC FL 2.02,9.01 03/31/11 ST LAWRENCE SEAWAY CORP DE 2.01,3.02,5.01,5.02, 03/25/11 AMEND 5.03,5.06,9.01 STAR SCIENTIFIC INC DE 1.01,3.02,9.01 03/30/11 STARTEK INC DE 5.03,9.01 03/31/11 STATE BANK FINANCIAL CORP GA 2.02 02/18/11 AMEND STELLAR PHARMACEUTICALS INC 2.02,9.01 03/31/11 Strategic Storage Trust, Inc. MD 1.01,8.01,9.01 02/28/11 STRATUS PROPERTIES INC DE 2.02,9.01 03/31/11 STRAYER EDUCATION INC MD 8.01 03/25/11 SUMMIT FINANCIAL SERVICES GROUP INC FL 2.02,9.01 03/31/11 Summit Growth CORP E9 1.01,2.01,3.02,4.01, 03/15/11 AMEND 5.01,5.02,5.06,9.01 Sunshine Financial Inc MD 8.01,9.01 03/30/11 Swisher Hygiene Inc. DE 9.01 03/01/11 AMEND SYNTHESIS ENERGY SYSTEMS INC DE 1.01,8.01,9.01 03/31/11 TECHE HOLDING CO LA 5.03,9.01 03/29/11 TELEPHONE & DATA SYSTEMS INC /DE/ DE 2.04,8.01,9.01 03/31/11 TELESTONE TECHNOLOGIES CORP CO 2.02,7.01,9.01 03/28/11 TEREX CORP DE 5.02,9.01 03/29/11 Terreno Realty Corp MD 1.01 03/31/11 TESSERA TECHNOLOGIES INC DE 5.02,7.01,9.01 03/27/11 TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 03/31/11 TIENS BIOTECH GROUP USA INC 2.02,9.01 03/31/11 TII NETWORK TECHNOLOGIES, INC. DE 2.02,9.01 03/31/11 Titan Oil & Gas, Inc. NV 8.01,9.01 03/30/11 TIVO INC DE 2.03,3.02,9.01 03/30/11 Tops Holding Corp DE 2.02,9.01 03/31/11 TRADE LINK WHOLESALERS INC. NV 1.01,2.01,3.02,4.01, 01/28/11 AMEND 5.01,5.02,5.04,5.06, 9.01 Treaty Energy Corp NV 4.02 03/30/11 AMEND TRICO MARINE SERVICES INC DE 7.01,9.01 03/31/11 Trunkbow International Holdings Ltd NV 2.02,9.01 03/31/11 Tuffnell Ltd. NV 8.01 03/30/11 U S GOLD CORP CO 7.01,9.01 03/30/11 UDR, Inc. MD 1.01,8.01,9.01 03/31/11 UMPQUA HOLDINGS CORP OR 7.01 03/31/11 UNION DRILLING INC DE 5.02,9.01 03/29/11 UNITED COMMUNICATIONS PARTNERS INC NV 5.03,9.01 03/25/11 UNITED COMMUNITY BANKS INC GA 1.01,3.02,5.03,8.01, 03/31/11 9.01 United States 12 Month Natural Gas Fu 7.01,9.01 03/31/11 United States 12 Month Oil Fund, LP 8.01,9.01 03/31/11 United States 12 Month Oil Fund, LP 7.01,9.01 03/31/11 United States Brent Oil Fund, LP DE 7.01,9.01 03/31/11 United States Commodity Index Funds T DE 7.01,9.01 03/31/11 United States Gasoline Fund, LP DE 8.01,9.01 03/31/11 United States Gasoline Fund, LP DE 7.01,9.01 03/31/11 United States Heating Oil Fund, LP DE 7.01,9.01 03/31/11 United States Natural Gas Fund, LP 8.01,9.01 03/31/11 United States Natural Gas Fund, LP 7.01,9.01 03/31/11 United States Oil Fund, LP DE 8.01,9.01 03/31/11 United States Oil Fund, LP DE 7.01,9.01 03/31/11 United States Short Oil Fund, LP DE 7.01,9.01 03/31/11 USA VIDEO INTERACTIVE CORP WY 4.01,9.01 03/30/11 VALUEVISION MEDIA INC MN 1.01,8.01,9.01 03/30/11 Vera Bradley, Inc. 5.02 03/29/11 Verigy Ltd. U0 8.01 03/30/11 Verisk Analytics, Inc. DE 1.01,8.01,9.01 03/30/11 Viacom Inc. DE 8.01,9.01 03/31/11 VIEWCAST COM INC DE 2.02,9.01 03/31/11 VITRAN CORP INC A6 8.01,9.01 03/31/11 Vringo Inc DE 2.02,9.01 03/31/11 WASHINGTON MUTUAL, INC WA 7.01,9.01 03/30/11 WELLS FARGO & CO/MN DE 9.01 03/31/11 WellTek Inc NV 2.01,3.02,5.02,9.01 03/30/11 Western Iowa Energy, L.L.C. IA 1.01,9.01 03/28/11 Western Iowa Energy, L.L.C. IA 7.01,8.01,9.01 03/31/11 WESTERN PLAINS ENERGY LLC KS 5.07 03/28/11 Western Refining, Inc. DE 1.01,2.03,8.01,9.01 03/29/11 Westway Group, Inc. DE 2.02,9.01 03/31/11 Westway Group, Inc. DE 3.01,5.02,9.01 03/26/11 WHIRLPOOL CORP /DE/ DE 8.01,9.01 03/30/11 Winthrop Realty Trust OH 7.01,8.01,9.01 03/31/11 WORLDGATE COMMUNICATIONS INC DE 1.01,2.03,5.02,9.01 03/29/11 WORTHINGTON INDUSTRIES INC OH 2.02,5.02,7.01,9.01 03/30/11 X RITE INC MI 1.01,1.02,2.03,8.01, 03/30/11 9.01 XO HOLDINGS INC DE 2.02,9.01 03/31/11 YTB International, Inc. DE 1.01,1.02,2.01,3.02, 03/25/11 9.01 Zalicus Inc. DE 1.02 03/31/11