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Commission announcementsJulius Leiman-Carbia Named Head of SEC’s National Broker-Dealer Examination ProgramThe Securities and Exchange Commission today announced that Julius Leiman-Carbia has been appointed an Associate Director to lead the National Broker-Dealer Examination Program in the SEC’s Office of Compliance Inspections and Examinations (OCIE). In this role, Mr. Leiman-Carbia oversees a staff of approximately 300 lawyers, accountants and examiners responsible for the inspections of U.S.-based broker-dealers. He succeeds Mary Ann Gadziala, who retired from the SEC in September. Over the past year, OCIE has undertaken a comprehensive self-assessment that has resulted in a new risk-focused examination strategy and the creation of a new National Exam Program that seeks to ensure greater collaboration with other divisions and offices within the SEC. “Julius is a great addition to the leadership team of the National Exam Program and brings a wealth of technical expertise and broker-dealer industry experience to this role,” said Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations. “We are pleased to have such a highly qualified individual join our management team as we continue to make our National Exam Program as effective as possible in its mission.” Mr. Leiman-Carbia said, “I look forward to working with this talented and dedicated team of examiners, and I welcome the opportunity to use my expertise from the industry to further strengthen the National Exam Program.” Mr. Leiman-Carbia previously worked at the SEC from 1989 to 1994 as a counsel in the SEC’s then-Division of Market Regulation, specifically in its Office of Capital Markets. Among his experience outside the SEC, he served as Managing Director of the Capital Markets and Banking Compliance Department at Citigroup Global Markets from 2005 to 2009, and held legal and compliance leadership positions at JP Morgan (2004 to 2005) and Goldman Sachs (1995 to 2004). For the past two years, Mr. Leiman-Carbia served as Vice President, Integrated Supply and Trading Compliance for North America for BP Energy Company. Mr. Leiman-Carbia received his bachelor’s degree from the School of Foreign Service at Georgetown University in 1983, and his law degree from the University of Pennsylvania Law School in 1986. The SEC’s National Exam Program is recruiting more industry specialists, strengthening risk assessment and surveillance capabilities, streamlining and automating the exam process, and working to establish an examiner certification program and an exam workbook to drive greater consistency, effectiveness and efficiency. These changes will further strengthen OCIE’s mission of promoting compliance with the federal securities laws, monitoring risks at registered entities, preventing fraud, and informing policy. “We are excited about these changes and believe they will strengthen our ability to protect investors, ensure market integrity, and facilitate capital formation. Taxpayers and the investing public are best served by a program that is highly focused, highly effective, and very efficient in leveraging resources,” Mr. di Florio said. Other members of OCIE’s new management team are: Norm Champ, the Deputy Director of OCIE; Robert Fishman, the Chief Operating Officer of OCIE; John Polise, the Associate Director of Market Oversight; and Dawn A. Patterson, the Associate Director for the Clearance and Settlement Examination Program. (Press Rel. 2011-94) SEC Announces Roundtable on International Financial Reporting StandardsThe Securities and Exchange Commission staff announced today that it will sponsor a roundtable in July to discuss benefits or challenges in potentially incorporating International Financial Reporting Standards (IFRS) into the financial reporting system for U.S. issuers. The July 7 event will feature three panels representing investors, smaller public companies, and regulators. The panel discussions will focus on topics such as investor understanding of IFRS and the impact on smaller public companies and on the regulatory environment of incorporating IFRS. “We must carefully consider and deliberate whether incorporating IFRS into our financial reporting system is in the best interest of U.S. investors and markets,” said SEC Chief Accountant James Kroeker. “This roundtable will provide an excellent opportunity for investors, preparers, and regulators to provide the SEC staff with valuable information that will help the Commission in its ongoing consideration of incorporating IFRS.” The roundtable will be held in the auditorium at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C. A final agenda including a list of participants and moderators will be published closer to the event date. The roundtable will be open to the public with seating on a first-come, first-served basis, and will be available via webcast on the SEC website. The SEC staff welcomes feedback on the topics to address at the roundtable and suggestions for potential roundtable participants. Submissions to the Commission may be made either on paper or electronically; please use only one method. Electronic submissions: Use the SEC’s Internet comment form or send an e-mail to rule-comments@sec.gov. Paper submissions: Send paper submissions in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090. All submissions should refer to File Number 4-600. This file number should be included on the subject line if e-mail is used. Please note that all submissions received will be made publicly available and posted on the SEC’s website. (Press Rel. 2011-95) Report on Administrative ProceedingsThe Report on Administrative Proceedings for the Period Oct. 1, 2010 through March 31, 2011, has been issued giving summary statistical information on the Commission's administrative proceedings caseload. The report is published in the SEC Docket and appears on the Commission's website. (Rel. 34-64313) Enforcement proceedingsIn the Matter of Adal Group, Inc.On April 20, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Adal Group, Inc., Administrative Proceeding No. 3-14289. The Default Order finds that seven Respondents failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 because each failed to make periodic filings with the Commission for a number of years. Based on these findings, the Default Order, pursuant to Section 12(j) of the Exchange Act, revokes the registration of each class of registered securities of Adal Group, Inc., Com/Tech Communication Technologies, Inc., Dialog Group, Inc., Golden Books Family Entertainment, Inc. (n/k/a GB Holdings Liquidation, Inc.), Information Management Technologies Corporation, Interiors, Inc., and SFG Financial Corp. (Rel. 34-64307; File No. 3-14289) In the Matter of Amanda E. KnorrOn April 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against Amanda E. Knorr. The Order finds that on March 29, 2011, an order for permanent injunction was entered by consent against Knorr, permanently enjoining her from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Mantria Corporation, et al., Civil Action Number 1:09-CV-02676, in the United States District Court for the District of Colorado. The Commission’s complaint in the civil injunctive action alleged that, from at least September 2007 through November 2009, Defendants, including Knorr, sold the securities of Mantria Corporation and its affiliates by making materially false representations to investors regarding, among other things, the intended use of the proceeds from the sale of such securities, the past rates of return that had been paid to other investors, and the operational success and business prospects of the companies issuing the securities. The complaint also alleged that Defendants omitted the material fact that the proceeds from the sale of these securities were used, in Ponzi-like fashion, to pay off earlier investors. The complaint further alleged that Knorr acted as an unregistered broker or dealer in selling securities of Mantria Corporation and its affiliates. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to provide Knorr an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64308; File No. 3-14344) In the Matter of Wayde M. McKelvyOn April 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against Wayde M. McKelvy. The Order finds that on April 5, 2011, an order for permanent injunction was entered by consent against McKelvy, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Mantria Corporation, et al., Civil Action Number 1:09-CV-02676, in the United States District Court for the District of Colorado. The Commission’s complaint in the civil injunctive action alleged that, from at least September 2007 through November 2009, Defendants, including McKelvy, sold the securities of Mantria Corporation and its affiliates by making materially false representations to investors regarding, among other things, the intended use of the proceeds from the sale of such securities, the past rates of return that had been paid to other investors, and the operational success and business prospects of the companies issuing the securities. The complaint also alleged that Defendants omitted the material fact that the proceeds from the sale of these securities were used, in Ponzi-like fashion, to pay off earlier investors. The complaint further alleged that McKelvy acted as an unregistered broker or dealer in selling securities of Mantria Corporation and its affiliates. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to provide McKelvy an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64309; File No. 3-14345) In the Matter of Troy B. WraggOn April 20, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against Troy B. Wragg. The Order finds that on March 29, 2011, an order for permanent injunction was entered by consent against Wragg, permanently enjoining him from future violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, in the civil action entitled Securities and Exchange Commission v. Mantria Corporation, et al., Civil Action Number 1:09-CV-02676, in the United States District Court for the District of Colorado. The Commission’s complaint in the civil injunctive action alleged that, from at least September 2007 through November 2009, Defendants, including Wragg, sold the securities of Mantria Corporation and its affiliates by making materially false representations to investors regarding, among other things, the intended use of the proceeds from the sale of such securities, the past rates of return that had been paid to other investors, and the operational success and business prospects of the companies issuing the securities. The complaint also alleged that Defendants omitted the material fact that the proceeds from the sale of these securities were used, in Ponzi-like fashion, to pay off earlier investors. The complaint further alleged that Wragg acted as an unregistered broker or dealer in selling securities of Mantria Corporation and its affiliates. A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations in the Order are true, to provide Wragg an opportunity to respond to these allegations, and to determine what, if any, remedial action is appropriate in the public interest. The Order directed the Administrative Law Judge to issue an initial decision within 210 days from the date of service of the Order. (Rel. 34-64310; File No. 3-14346) Court Enters a Final Judgment Against Stock Promoter Gary TrumpOn April 12, 2011, the District Court for the Northern District of Illinois entered a Final Judgment against stock promoter Gary Trump in a civil action brought by the United States Securities & Exchange Commission (Commission). The Commission sued Trump as well as Duane Martin, the former CEO of St. Charles, Illinois-based Universal Food & Beverage, Inc. (Universal), a now-defunct company, for violating federal securities laws. Trump was charged with violating the registration provisions of the Securities Act of 1933 (Securities Act) for improperly issuing S-8 stock to stock promoters and Martin's personal creditors. The Final Judgment entered against Trump permanently enjoins him from violating Sections 5(a) and 5(c) of the Securities Act and permanently bars him from participating in any penny stock offerings. It also orders him to pay $69,976.27 in disgorgement and prejudgment interest, but waives payment based on his demonstrated inability to pay. The Final Judgment was entered based on Trump’s Consent to Final Judgment in which he neither admitted nor denied the allegations in the Commission's Complaint. The Commission's Complaint alleged that Trump and Martin violated the registration provisions of the Securities Act by improperly issuing S-8 stock to stock promoters and Martin's personal creditors. Trump, who took S-8 shares in exchange for promoting Universal stock, (a) helped engineer the illegal S-8 offering by hand-picking a team of promoters who participated in the offering and (b) illegally distributed his S-8 shares to the public without registration. The Complaint also pled several fraud claims against Martin. The Commission previously settled its claims against Duane Martin by which Martin agreed to entry of (1) a permanent injunction, (2) a permanent penny stock bar, and (3) a permanent officer and director bar. In addition, on March 16, 2010, the United States Attorney’s Office for the Northern District of Illinois (USAO) charged Martin with wire fraud based largely on the misconduct identified in the Commission’s Complaint. Martin pled guilty and, on July 13, 2010, was sentenced to 41 months in prison and ordered to pay $618,441 in restitution to Universal’s creditors. The Commission recognizes the efforts of the United States Attorney's Office for the Northern District of Illinois and the Chicago Office of the Federal Bureau of Investigation in resolving this case. For more information, see Litigation Release Nos. 21187 (Aug. 27, 2009) and 21733 (Nov. 9, 2010). [SEC v. Duane Martin and Gary Trump, Civil Action No. 09-cv-05259 (N.D. Ill.)] (LR-21939; AAE Rel. 3272) Investment company act releasesSimple Alternatives, LLC and the RBB Fund, Inc.An order has been issued on an application filed by Simple Alternatives, LLC and The RBB Fund, Inc. exempting applicants from Section 15(a) of the Investment Company Act and Rule 18f-2 under the Act. The order permits the applicants to enter into and materially amend subadvisory agreements without shareholder approval and grants relief from certain disclosure requirements. (Rel. IC-29629 - April 19) 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-1 Francesca's Holdings CORP, 3480 WEST 12TH STREET, Houston, TX, 77008,
713-864-1358 - 0 ($150,000,000.00) Equity, (File 333-173581 - Apr. 19)
(BR. 09)
S-8 CAMPBELL SOUP CO, CAMPBELL PL, CAMDEN, NJ, 08103, 8563424800 -
6,000,000 ($202,440,000.00) Equity, (File 333-173582 - Apr. 19)
(BR. 04A)
S-8 CAMPBELL SOUP CO, CAMPBELL PL, CAMDEN, NJ, 08103, 8563424800 -
0 ($236,180,000.00) Equity, (File 333-173583 - Apr. 19) (BR. 04A)
F-1 China Zenix Auto International Ltd,
1608, North Circle Road State Highway, Zhangzhou, Fujian Province, F4,
363000, (86) 596-2600308 - 0 ($250,000,000.00) ADRs/ADSs,
(File 333-173587 - Apr. 19) (BR. 05)
S-1 Ampio Pharmaceuticals, Inc., 5445 DTC PARKWAY, P4, GREENWOOD VILLAGE,
CO, 80111, 303-418-1000 - 0 ($19,611,757.00) Equity, (File 333-173589 -
Apr. 19) (BR. 01B)
S-4 Bankrate, Inc., 11760 U.S. HIGHWAY ONE, SUITE 200, NORTH PALM BEACH,
FL, 33408, (561) 630-2400 - 0 ($300,000,000.00) Non-Convertible Debt,
(File 333-173591 - Apr. 19) (BR. 02)
S-8 5to1 Holding Corp., 101 MIDDLESEX TURNPIKE, BURLINGTON,, MA, 01803,
213-689-9300 - 1,568,498 ($1,725,347.80) Equity, (File 333-173592 -
Apr. 19) (BR. 02A)
S-4 Affinia Group Inc., 1101 TECHNOLOGY DRIVE, ANN ARBOR, MI, 48108,
734-827-5400 - 0 ($100,000,000.00) Non-Convertible Debt,
(File 333-173593 - Apr. 19) (BR. 05A)
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
ACORDA THERAPEUTICS INC 8.01,9.01 04/19/11
ADA-ES INC CO 1.02,7.01,8.01,9.01 04/13/11
Advanced Emissions Solutions, Inc. 1.02,8.01,9.01 04/13/11
Aegerion Pharmaceuticals, Inc. DE 5.02,9.01 04/18/11
AEHR TEST SYSTEMS CA 1.01,9.01 04/19/11
ALBEMARLE CORP VA 2.02,9.01 04/19/11
ALLSTATE CORP DE 8.01,9.01 04/19/11
Ally Financial Inc. DE 8.01,9.01 04/13/11
AMCON DISTRIBUTING CO DE 1.01,2.02,2.03,9.01 04/19/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 04/19/11
American Tire Distributors Holdings, 8.01,9.01 04/15/11
AMERISERV FINANCIAL INC /PA/ PA 2.02 04/19/11
AMERISTAR CASINOS INC NV 1.01,1.02,2.03,8.01, 04/14/11
9.01
Ametrine Capital Inc DE 5.03,9.01 04/15/11
Ampio Pharmaceuticals, Inc. DE 1.01,3.02,9.01 04/18/11
ANADIGICS INC DE 5.02,9.01 04/19/11 AMEND
AP PHARMA INC /DE/ DE 5.02 04/19/11
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02 04/19/11
Approach Resources Inc DE 7.01,9.01 04/19/11
ARGENTEX MINING CORP DE 3.02 04/18/11
Armour Residential REIT, Inc. MD 7.01,9.01 04/19/11
ARROW FINANCIAL CORP NY 2.02,9.01 04/19/11
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
Atlas Capital Holdings, Inc. NV 1.01 04/13/11
AUTOLIV INC DE 8.01,9.01 04/19/11
Avatar Ventures Corp. NV 8.01 04/19/11
AVAYA INC DE 5.02 04/14/11
AXIS CAPITAL HOLDINGS LTD 8.01,9.01 04/18/11
BANCFIRST CORP /OK/ OK 2.02,9.01 04/19/11
Bank of Marin Bancorp CA 7.01,9.01 04/18/11
Bank of New York Mellon CORP DE 2.02,9.01 04/19/11
BAR HARBOR BANKSHARES ME 8.01 04/19/11
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 04/19/11
BECKMAN COULTER INC DE 1.02 04/13/11
BEHRINGER HARVARD MULTIFAMILY REIT I 7.01,9.01 04/19/11
BIG CAT ENERGY CORP 8.01,9.01 04/19/11
BLACKBOARD INC DE 7.01,9.01 04/19/11
Bluerock Enhanced Multifamily Trust, MD 8.01 04/18/11
Bravo Brio Restaurant Group, Inc. OH 5.07 04/14/11
BROWN & BROWN INC FL 2.02 03/31/11
BUCKEYE PARTNERS, L.P. DE 8.01,9.01 04/14/11
Burlington Coat Factory Investments H 7.01,9.01 04/19/11
CALLISTO PHARMACEUTICALS INC DE 5.02 04/15/11
CANAL Corp VA 1.03,5.02,9.01 04/01/11
CAPITOL BANCORP LTD MI 1.01,1.02,5.02,9.01 04/19/11
CardioNet, Inc. CA 5.02 04/13/11
Care Investment Trust Inc. MD 1.01,8.01,9.01 04/15/11
CARNIVAL CORP DE 5.07 04/13/11
CASCADE CORP OR 8.01,9.01 04/19/11
Cavitation Technologies, Inc. NV 1.01,9.01 01/31/11
CDW Corp DE 5.02 04/15/11
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 04/19/11
CHICOS FAS INC FL 8.01,9.01 04/19/11
China Agricorp, Inc NV 5.02 04/13/11
CHINA INDUSTRIAL GROUP INC CO 1.01,2.01,3.03,5.01, 04/19/11
5.03,5.06
China Kangtai Cactus Bio-tech, Inc. NV 1.01,9.01 04/18/11
China Youth Media, Inc. DE 5.02 04/15/11
CITIZENS SOUTH BANKING CORP DE 1.01,2.01,7.01,8.01, 04/15/11
9.01
CITIZENS SOUTH BANKING CORP DE 7.01,9.01 04/19/11 AMEND
CKE RESTAURANTS INC DE 2.02,9.01 04/14/11
Clearwire Corp /DE DE 1.01,9.01 04/18/11
Clearwire Corp /DE DE 5.02 04/13/11
CNB FINANCIAL CORP/PA PA 2.02,9.01 04/18/11
CODORUS VALLEY BANCORP INC PA 2.02,9.01 04/18/11
COMERICA INC /NEW/ 2.02,7.01,9.01 04/19/11
COMMUNITY CENTRAL BANK CORP MI 3.01,9.01 04/13/11
COMPETITIVE TECHNOLOGIES INC DE 1.01,8.01,9.01 04/18/11
COMPUTER TASK GROUP INC NY 7.01,9.01 04/19/11
CONEXANT SYSTEMS INC DE 2.01,3.01,3.03,5.01, 04/18/11
5.02,5.03,5.07,8.01,
9.01
CORE LABORATORIES N V P7 2.02,9.01 03/31/11
CORECARE SYSTEMS INC DE 8.01,9.01 12/22/10
CORNERSTONE HEALTHCARE PLUS REIT, INC MD 8.01,9.01 04/14/11
CORNING NATURAL GAS CORP NY 8.01 04/15/11
CPI CORP DE 2.02,9.01 04/19/11
CREE INC NC 2.02,9.01 04/19/11
CROSS TIMBERS ROYALTY TRUST TX 2.02,9.01 04/19/11
CROWN HOLDINGS INC PA 2.02,9.01 04/19/11
CSX CORP VA 2.02,9.01 04/01/11
CYTOKINETICS INC 8.01 04/19/11
DecisionPoint Systems, Inc. DE 1.01,9.01 04/13/11
Discover Card Execution Note Trust DE 8.01 04/19/11
DISCOVER CARD MASTER TRUST I DE 8.01 04/19/11
DYNASIL CORP OF AMERICA NJ 5.02,9.01 04/13/11
ELECTRIC CAR COMPANY, INC. DE 5.03,9.01 04/11/11
EMS TECHNOLOGIES INC GA 8.01,9.01 04/19/11
ENTERGY CORP /DE/ DE 2.02,9.01 04/19/11
EOG RESOURCES INC DE 7.01 04/19/11
EQUITY LIFESTYLE PROPERTIES INC MD 2.02,9.01 04/18/11
FASTENAL CO MN 8.01,9.01 04/19/11
FASTENAL CO MN 5.07 04/19/11
Federal Home Loan Bank of Atlanta X1 2.03 04/19/11
Federal Home Loan Bank of Boston X1 2.03 04/13/11
Federal Home Loan Bank of Chicago X1 2.03 04/13/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 04/13/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 04/15/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 04/14/11
Federal Home Loan Bank of New York X1 2.03,9.01 04/13/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 04/13/11
Federal Home Loan Bank of San Francis X1 2.03 04/13/11
Federal Home Loan Bank of Seattle 2.03 04/13/11
Federal Home Loan Bank of Topeka 2.03,9.01 04/13/11
Fifth Street Finance Corp DE 8.01,9.01 04/19/11
FIFTH THIRD BANCORP OH 7.01,9.01 04/19/11
FIRST M&F CORP/MS MS 2.02,7.01,9.01 04/19/11
FIRST NIAGARA FINANCIAL GROUP INC DE 8.01,9.01 04/19/11
FIRST REAL ESTATE INVESTMENT TRUST OF NJ 8.01 04/15/11
FIRSTENERGY CORP OH 7.01,9.01 04/19/11
FIRSTENERGY CORP OH 9.01 02/25/11 AMEND
FIRSTFED FINANCIAL CORP DE 8.01,9.01 04/15/11
FULTON FINANCIAL CORP PA 2.02,9.01 04/19/11
Furiex Pharmaceuticals, Inc. DE 8.01,9.01 04/15/11
GENUINE PARTS CO GA 5.07,8.01,9.01 04/18/11
GEORESOURCES INC CO 5.02 04/13/11
GEORGIA POWER CO GA 8.01,9.01 04/12/11
GEOVIC MINING CORP. DE 7.01,9.01 04/19/11
GIGA TRONICS INC CA 8.01,9.01 04/18/11
GLOBALSCAPE INC DE 8.01 04/19/11
GOLD STANDARD MINING CORP. NV 4.01 02/25/11 AMEND
GOLDMAN SACHS GROUP INC DE 2.02,8.01,9.01 04/19/11
Golub Capital BDC, Inc. DE 2.02,9.01 04/19/11
Google Inc. DE 5.02 04/13/11
GRAMERCY CAPITAL CORP MD 1.01,9.01 04/15/11
GREIF INC DE 5.02,9.01 04/19/11
Grubb & Ellis Healthcare REIT II, Inc MD 7.01,8.01,9.01 04/13/11
HALLIBURTON CO DE 2.02 04/18/11
HARLEY DAVIDSON INC WI 2.02,9.01 04/19/11
HECLA MINING CO/DE/ DE 8.01,9.01 04/18/11
HERITAGE OAKS BANCORP CA 7.01,9.01 04/19/11
HUDSON CITY BANCORP INC DE 7.01,9.01 04/19/11
HUDSON CITY BANCORP INC DE 5.02 04/19/11
HUGOTON ROYALTY TRUST TX 2.02,9.01 04/19/11
Huron Consulting Group Inc. DE 1.01,1.02,2.03,9.01 04/14/11
ICO Global Communications (Holdings) DE 5.02 04/14/11
IDACORP INC ID 8.01 04/19/11
Innovaro, Inc. 5.02,9.01 04/18/11
Inova Technology Inc. NV 8.01,9.01 04/19/11
INTEGRATED ELECTRICAL SERVICES INC DE 5.02,9.01 04/13/11
INTEL CORP DE 2.02 04/19/11
INTERCONTINENTALEXCHANGE INC 8.01,9.01 04/19/11
INTERNATIONAL BUSINESS MACHINES CORP NY 2.02 04/19/11
INTUITIVE SURGICAL INC DE 2.02,9.01 04/19/11
INX Inc DE 8.01,9.01 04/18/11
IRON MOUNTAIN INC DE 1.01,5.02,9.01 04/19/11
ISDERA NORTH AMERICA, INC. 5.02 04/16/11
JAZZ PHARMACEUTICALS INC DE 1.01,1.02 04/15/11
JOHNSON & JOHNSON NJ 2.02,9.01 04/19/11
JOURNAL COMMUNICATIONS INC 2.02,9.01 04/19/11
JUNIPER NETWORKS INC DE 2.02,9.01 04/19/11
Kodiak Oil & Gas Corp B0 1.01,7.01,9.01 04/13/11
KORE NUTRITION, INC. NV 3.02,9.01 04/13/11
LA JOLLA PHARMACEUTICAL CO DE 5.03,8.01,9.01 04/14/11
LANDMARK BANCORP INC DE 8.01,9.01 04/07/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 04/19/11
LEHMAN ABS CORP BACKED TRUST CERTS SE DE 8.01,9.01 04/15/11
Liberty Global, Inc. 2.02,7.01 04/19/11
LILLY ELI & CO IN 5.07 04/18/11
LINCARE HOLDINGS INC DE 2.02,9.01 04/18/11
LNB BANCORP INC OH 7.01,9.01 04/19/11
LTC PROPERTIES INC MD 1.01,9.01 04/19/11
MACE SECURITY INTERNATIONAL INC DE 5.02 04/18/11
MANHATTAN ASSOCIATES INC GA 2.02,9.01 04/19/11
MATCHES, INC. NV 4.01,9.01 04/15/11
MATCHES, INC. NV 1.01,2.01,4.01,5.01, 12/17/10 AMEND
5.02,5.06,8.01,9.01
MBT FINANCIAL CORP MI 2.02,9.01 04/19/11
MCMORAN EXPLORATION CO /DE/ DE 2.02,9.01 04/18/11
MDC PARTNERS INC A6 1.01,2.03,8.01,9.01 04/14/11
MEDICAL PROPERTIES TRUST INC 8.01,9.01 04/19/11
Mellanox Technologies, Ltd. L3 9.01 02/07/11 AMEND
MENS WEARHOUSE INC TX 5.02,8.01,9.01 04/13/11
MERCANTILE BANK CORP MI 2.02,9.01 04/19/11
METALLINE MINING CO NV 3.02 04/13/11
MHI Hospitality CORP MD 5.07 04/19/11
MidWestOne Financial Group, Inc. IA 3.01,7.01,9.01 04/15/11
MINDSPEED TECHNOLOGIES, INC DE 5.02,9.01 04/13/11
MOBILE MINI INC DE 8.01 04/19/11
MONARCH CEMENT CO KS 3.02 04/19/11
MONEYGRAM INTERNATIONAL INC 8.01 04/15/11
NANOVIRICIDES, INC. NV 1.01,9.01 04/18/11
NASDAQ OMX GROUP, INC. DE 8.01,9.01 04/19/11
NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 04/13/11
Net Savings Link, Inc. NV 4.01 04/15/11
NeuMedia, Inc. DE 3.02 04/05/11
Neutral Tandem Inc 1.01,9.01 04/18/11
NEW JERSEY MINING CO ID 1.02,9.01 04/19/11
NEW YORK COMMUNITY BANCORP INC DE 2.02,7.01,9.01 04/19/11
NewCardio, Inc. DE 2.03,9.01 04/13/11
NewCardio, Inc. DE 1.01,3.02 04/14/11
NICOR INC IL 2.03 04/19/11
NOCOPI TECHNOLOGIES INC/MD/ MD 9.01 04/19/11
Norcraft Holdings, L.P. DE 8.01,9.01 04/19/11
NORTHERN ILLINOIS GAS CO /IL/ /NEW/ IL 2.03 04/19/11
NORTHERN TRUST CORP DE 2.02,9.01 04/19/11
NORTHERN TRUST CORP DE 5.02,8.01,9.01 04/19/11
NOVA NATURAL RESOURCES CORP CO 5.02 04/19/11
NPS PHARMACEUTICALS INC DE 8.01,9.01 04/19/11
NRG ENERGY, INC. DE 2.06,9.01 04/18/11
NUCLEAR SOLUTIONS INC NV 5.02,8.01 04/19/11
NYSE Euronext DE 8.01 04/19/11
OMEGA PROTEIN CORP NV 7.01,9.01 04/19/11
OMNICOM GROUP INC NY 7.01,9.01 04/19/11
PACCAR INC DE 2.02,9.01 04/19/11
PACIFIC WEBWORKS INC NV 4.01,9.01 04/13/11
PACKAGING CORP OF AMERICA 2.02,9.01 04/18/11
PARK NATIONAL CORP /OH/ OH 5.03,5.07,9.01 04/18/11
PEABODY ENERGY CORP DE 2.02,9.01 04/19/11
PENNS WOODS BANCORP INC PA 2.02,9.01 04/18/11
PEOPLES FINANCIAL SERVICES CORP. PA 5.02 04/19/11
PERVASIVE SOFTWARE INC DE 2.02,9.01 04/19/11
Phillips Edison - ARC Shopping Center MD 8.01,9.01 04/19/11
PINNACLE FINANCIAL PARTNERS INC TN 2.02,9.01 04/18/11
PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 04/19/11
POTASH CORP OF SASKATCHEWAN INC 8.01 03/31/11
PPL Corp 1.01,2.03,7.01,8.01, 04/15/11
9.01
PRECISION OPTICS CORPORATION INC MA 1.01,9.01 04/14/11
PRESIDENTIAL REALTY CORP/DE/ DE 1.01,2.01,8.01,9.01 04/14/11
PRINCIPAL FINANCIAL GROUP INC DE 7.01 04/19/11
PROVECTUS PHARMACEUTICALS INC NV 8.01 04/19/11
Redpoint Bio CORP 1.02 04/13/11
REDtone Asia Inc NV 2.01,9.01 04/11/11
REGIONS FINANCIAL CORP DE 2.02,7.01,9.01 04/19/11
RENAISSANCERE HOLDINGS LTD D0 8.01,9.01 04/18/11
RENASANT CORP MS 2.02,9.01 04/19/11
RITE AID CORP DE 5.02 04/13/11
Riverbed Technology, Inc. DE 2.02,9.01 04/19/11
RLI CORP IL 2.02,9.01 04/18/11
SAN JUAN BASIN ROYALTY TRUST TX 2.02,9.01 04/19/11
Sanswire Corp. DE 5.03,9.01 04/19/11
Santander Holdings USA, Inc. PA 8.01,9.01 04/14/11
SCICLONE PHARMACEUTICALS INC DE 1.01,2.01,3.02,5.02, 04/18/11
9.01
Seagate Technology plc L2 1.01,2.02,3.02,9.01 04/19/11
SENTRY PETROLEUM LTD. 1.01,7.01,9.01 04/19/11
Shire plc 8.01,9.01 04/19/11
Shrink Nanotechnologies, Inc. DE 1.01,4.02,7.01,9.01 03/23/11
SIMULATIONS PLUS INC 8.01,9.01 04/18/11
SMITH A O CORP DE 2.02,9.01 04/19/11
SOUTHERN COPPER CORP/ DE 2.02,9.01 04/18/11
SOUTHERN COPPER CORP/ DE 8.01,9.01 04/18/11
SOUTHWEST BANCORP INC OK 2.02,7.01,9.01 04/19/11
SPEEDEMISSIONS INC FL 3.02,5.02,9.01 04/18/11
SPHERIX INC DE 8.01,9.01 04/19/11
SPICY PICKLE FRANCHISING INC CO 2.03,9.01 04/15/11
SPRINT NEXTEL CORP KS 7.01 04/19/11
ST LAWRENCE SEAWAY CORP DE 1.01 04/14/11
STATE STREET Corp MA 2.02,9.01 04/19/11
STERLING BANCSHARES INC TX 2.02,9.01 04/19/11
STEWART ENTERPRISES INC LA 1.01,2.03,8.01,9.01 04/18/11
Strategic Storage Trust, Inc. MD 7.01,9.01 04/19/11
Strategic Storage Trust, Inc. MD 9.01 02/01/11 AMEND
STRYKER CORP MI 2.02,9.01 03/31/11
SUNRISE SENIOR LIVING INC DE 1.01,8.01,9.01 04/19/11
Sunstone Hotel Investors, Inc. MD 2.03 04/15/11
SUPERIOR BANCORP DE 1.03,2.04,3.01,8.01, 04/15/11
9.01
Susser Holdings CORP DE 2.02,9.01 04/19/11
Swisher Hygiene Inc. DE 1.01,3.02,9.01 04/15/11
Symmetry Medical Inc. DE 8.01,9.01 04/18/11
TC PIPELINES LP DE 5.02,7.01,9.01 04/18/11
Tennessee Commerce Bancorp, Inc. TN 8.01 04/19/11
Tennessee Commerce Bancorp, Inc. TN 8.01 04/19/11
Tennessee Valley Authority 1.01 04/14/11
Titan Oil & Gas, Inc. NV 1.01,9.01 04/14/11
TOLLGRADE COMMUNICATIONS INC \PA\ PA 5.02 04/15/11
TORCHLIGHT ENERGY RESOURCES INC NV 3.02 04/18/11
TOREADOR RESOURCES CORP DE 5.02,5.03,9.01 04/16/11
TransDigm Group INC DE 5.02,9.01 04/19/11
TREE TOP INDUSTRIES, INC. NV 8.01,9.01 04/18/11
TRIMAS CORP DE 8.01,9.01 04/19/11
TRUSTCO BANK CORP N Y NY 2.02,9.01 04/19/11
TurkPower Corp DE 5.02 04/13/11
TWIN DISC INC WI 2.02,7.01,9.01 04/19/11
TWO RIVERS WATER Co CO 7.01 04/19/11
U S PRECIOUS METALS INC DE 5.02 04/15/11
UNIFY CORP 2.03 04/19/11 AMEND
UNITED BANCORP INC /MI/ MI 7.01 04/19/11
UNITED PARCEL SERVICE INC DE 1.01,1.02,2.03 04/14/11
UNITED RENTALS INC /DE DE 2.02,7.01,9.01 04/19/11
United States Oil & Gas Corp DE 2.02,9.01 04/19/11
UNITED TECHNOLOGIES CORP /DE/ DE 5.02,5.07,9.01 04/13/11
US BANCORP \DE\ DE 2.02,9.01 04/19/11
US BANCORP \DE\ DE 8.01,9.01 04/13/11
US CONCRETE INC DE 8.01 04/19/11
US NATURAL GAS CORP FL 5.03,9.01 04/14/11
VALLEY NATIONAL BANCORP NJ 5.07 04/13/11
VASCULAR SOLUTIONS INC MN 2.02,9.01 04/19/11
VCG HOLDING CORP CO 1.01,1.02,3.03,5.01, 04/08/11
5.02,9.01
Vera Bradley, Inc. 1.01,8.01,9.01 04/13/11
Vera Bradley, Inc. 1.01,9.01 04/13/11
VERSAR INC DE 5.02,9.01 04/18/11
VLOV INC. NV 8.01,9.01 04/19/11
VMWARE, INC. DE 2.02,9.01 04/19/11
WASHINGTON FEDERAL INC WA 2.02,7.01,9.01 04/14/11
WESTAMERICA BANCORPORATION CA 2.02,9.01 04/19/11
WESTMOUNTAIN INDEX ADVISOR INC CO 5.02,9.01 04/18/11
Westway Group, Inc. DE 3.01 04/14/11
WEYERHAEUSER CO WA 5.03 04/14/11
WEYERHAEUSER CO WA 5.07 04/14/11
WOLVERINE WORLD WIDE INC /DE/ MI 2.02,9.01 04/19/11
WORLD FUEL SERVICES CORP FL 7.01,9.01 04/19/11
WYNN LAS VEGAS LLC NV 2.02,7.01,8.01,9.01 04/19/11
WYNN RESORTS LTD 8.01,9.01 04/18/11
YAHOO INC DE 2.02,9.01 04/19/11
ZIONS BANCORPORATION /UT/ UT 8.01 04/18/11
ZIONS BANCORPORATION /UT/ UT 9.01 04/19/11
ZIPCAR INC 5.03,9.01 04/19/11
Zolon Corp FL 8.01 04/15/11
http://www.sec.gov/news/digest/2011/dig042011.htm
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