SEC News Digest, April 22, 2011

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Enforcement proceedings

In the Matter of Robert David Beauchene

On April 22, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Section 203(f) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 (Order) against Robert David Beauchene.

In the Order, the Division of Enforcement (the Division) alleges that, from August 2005 until July 2007, Beauchene, an unregistered investment adviser and sometimes registered representative of a registered broker-dealer, fraudulently raised at least $160,000 from four investors for investment in Rhombus Amalgamated Enterprises, Inc. (Rhombus), a purported hedge fund. Specifically, the Division alleges that Beauchene obtained these investments in Rhombus by means of numerous misrepresentations, including that Rhombus already had over $10 million assets under management, he had earned annual returns of 10-20% trading for Rhombus in the past, and Rhombus’s trading was based on analytical models developed by his partner in Rhombus, an experienced market analyst. After receiving investors’ money, Beauchene provided monthly account statements to one investor and repeatedly represented to all of them that their investment was performing well, leading two of them to increase their investment. The Division also alleges in the Order that all of these representations were false: Rhombus did not operate as a hedge fund, had no investment track record, did not have any assets other than the approximately $160,000 Beauchene raised from the four investors, and his purported partner was not involved in the management of Rhombus, did not provide any models to Beauchene, and had not authorized Beauchene to use his name to solicit investments in Rhombus. In addition, the account referenced in the account statements he provided to one investor never existed. Furthermore, the Division alleges that, in reality, Rhombus was nothing more than a series of bank accounts into which Beauchene deposited investor funds, which he then used primarily to pay personal expenses and, to a lesser extent, to trade securities. The Division further alleges in the Order that Beauchene willfully violated Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act and Rule 10b-5, thereunder, and Sections 206(1) and 206(2) of the Advisers Act.

A hearing will be scheduled before an Administrative Law judge to determine whether the allegations in the Order are true, to afford Beauchene an opportunity to dispute the allegations, and to determine what, if any, remedial action is appropriate in the public interest against Beauchene pursuant to Section 15(b) of the Exchange Act, Section 203(f) of the Advisers Act, and Section 9(b) of the Investment Company Act, including, but not limited to, disgorgement and civil penalties pursuant to Section 21B of the Exchange Act and Section 203(j) of the Advisers Act. Pursuant to the Order, the Administrative Law Judge shall issue an initial decision no later than 300 days from the date of service of the Order. Rel. 34-64323; IA-3189; IC-29657; File No. 3-14351)

SEC Announces Initial Distribution of $792 Million to Injured Investors in WG Trading Investment Fraud

The United States Securities and Exchange Commission (Commission) announced today that the court-appointed Receiver in the Commission’s case against defendants Paul Greenwood, Steven Walsh and their affiliated WG Trading entities made an initial distribution of approximately $792 million to investors injured in the investment fraud orchestrated by Walsh and Greenwood. On Mar. 20, 2011, Judge George B. Daniels of the United States District Court for the Southern District of New York approved a pro rata net investment distribution plan proposed by the Receiver and recommended by the SEC and the Commodity Futures Trading Commission (CFTC). Today’s distribution marks the first distribution by the Receiver and constitutes a return to investors of nearly 85% of approved claims.

On Feb. 25, 2009, the SEC and CFTC obtained emergency relief against Walsh, Greenwood and their WG Trading affiliated entities in SEC v. WG Trading Investors, L.P., et al., Civ. No. 09-1750 (GBD)(SDNY) and CFTC v. Walsh, et al., Civ. No. 09-1749 (GBD)(SDNY). The SEC has since obtained an order of permanent injunction against Greenwood, who also pleaded guilty to criminal violations in a criminal action based on the same underlying conduct. Criminal and civil cases against Walsh continue.

The Receiver responsible for the distribution is Robb Evans & Associates, LLC, of Sun Valley, California. Information about the distribution can be found on the Receiver’s website at http://www.robbevans.com/html/wgtrading.html. Information regarding the SEC’s case can be found on the SEC’s website at http://www.sec.gov/litigation/litreleases/2009/lr20912.htm and http://www.sec.gov/news/press/2009/2009-35.htm. [SEC v. WG Trading Investors, L.P., et al., 09 Civ. 1750 (SDNY)(GBD)] (LR-21942)

U.S. v. Vennes, Harrold, and Prevost
SEC v. Prevost, Harrold, et al

The Securities and Exchange Commission announced that on April 20, 2011, the United States Attorney, District of Minnesota, obtained indictments against David W. Harrold, age 51, of Del Ray Beach, Florida, and Bruce F. Prevost, age 51, of Palm Beach Gardens, Florida, on four counts of securities fraud for fraudulently marketing investments in hedge funds they managed. Harrold and Prevost are alleged to have invested assets of their hedge funds in notes issued by entities controlled by Minnesota businessman Tom Petters. Petters was in fact operating a multi-billion dollars Ponzi scheme. If convicted, Harrold and Prevost face a potential maximum penalty of five years on each securities fraud count.

Previously, on Oct. 14, 2010, the SEC filed a separate civil action in U.S. District Court for the District of Minnesota alleging that Prevost, Harrold, and their firms Palm Beach Capital Management LP and Palm Beach Capital Management LLC invested more than $1 billion in hedge fund assets with Petters while pocketing more than $58 million in fees. Petters promised investors that their money would be used to finance the purchase of vast amounts of consumer electronics by vendors who then re-sold the merchandise to such "Big Box" retailers as Wal-Mart and Costco. In reality, Petters's "purchase order inventory financing" business was merely a Ponzi scheme. The SEC alleged that Prevost, Harrold, and their firms falsely assured investors that safeguards involving “collateral accounts” were being used to protect their money, when in fact these safeguards did not operate as represented. The SEC further alleged that Prevost, Harrold, and their firms devised with Petters a series of bogus note exchange transactions beginning around February 2008 to conceal Petters’s failure to make payments on the notes. [U.S. v. Vennes, Harrold and Prevost, CR 11-141 JRT/JJK; SEC v. Prevost, Harrold, et al., Civil Action No. 10-cv-4235-PAM-SER (D. Minn.)] (LR-21943)

SEC Charges Santa Ana-Based Company and Three Executives With $10 Million Boiler Room Fraud

The Securities and Exchange Commission filed a complaint today in the United States District Court for the Central District of California against mUrgent Corporation, Vladislav Walter Bugarski (Walter), and his twin sons Vladimir Boris Bugarski (Boris) and Aleksander Negovan Bugarski (Aleks). The SEC alleges that the defendants defrauded investors in a $10 million boiler room scheme.

The SEC alleges that mUrgent, chief executive officer Boris Bugarski, chief financial officer Walter Bugarski, and chief operating officer Aleks Bugarski operated a boiler room at the company to sell mUrgent stock. Boiler room employees cold-called investors, used high pressure sales tactics, and misrepresented to investors that mUrgent had a prospering business and would imminently conduct an initial public offering (IPO). The SEC also alleges that mUrgent and the Bugarskis falsely told investors that stock sale proceeds would not be used to pay cash salaries to the Bugarskis.

According to the SEC’s complaint, mUrgent and the Bugarskis conducted two unregistered securities offerings beginning in 2008 that raised nearly $10 million from at least 130 investors nationwide. The Bugarskis misused investor money to fund more than $1.3 million in cash salary and bonuses for themselves. They also established a separate “slush fund” of more than $500,000, and used investor funds to pay for luxury cars and other personal expenses.

The SEC seeks permanent injunctions against mUrgent and the Bugarskis for violations of the antifraud, offering registration, and broker registration provisions of the federal securities laws, disgorgement, civil penalties, and an order prohibiting the Bugarskis from serving as officers or directors of any public company.

As alleged in the SEC’s complaint, the defendants violated Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 and Sections 10(b) and 15(a)(1) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [SEC v. mUrgent Corporation, et al., Civil Action No. SACV11-626 DOC (SSx) (USDC, C.D. Cal.)] (LR-21944)

Judgment of Permanent Injunction and Other Relief Entered Against Defendants David M. Otto, Todd Van Siclen, Charles Bingham and Wall Street Pr, Inc. and Orders Instituting Administrative Proceedings, Making Findings and Imposing Sanctions Against David M. Otto and Todd Van Siclen

The United States Securities and Exchange Commission (Commission) announced that on April 11, 2011, the Honorable Richard A. Jones, United States District Court Judge for the Western District of Washington, entered judgments of permanent injunction and other relief against Defendants David M. Otto, Todd Van Siclen, Charles Bingham and Wall Street PR, Inc.

The final judgment against Otto enjoins the Seattle attorney from violating Sections 5 and 17(a) of the Securities Act of 1933 (Securities Act), and Sections 10(b) and 16(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 10b-5 and 16a-13 promulgated thereunder. In addition to the injunctive relief, the final judgment against Otto orders him to pay $180,000 in civil penalties, $38,610.18 in disgorgement together with $6,751.15 in prejudgment interest and bars him from participating in an offering of penny stock for five years. Otto consented to the entry of the judgment without admitting or denying the allegations in the complaint.

The final judgment against Seattle attorney Van Siclen enjoins him from violating Sections 5 and 17(a)(3) of the Securities Act. In addition to the injunctive relief, the final judgment against Van Siclen orders him to pay $10,000 in civil penalties and bars him from participating in an offering of penny stock for three years. Van Siclen consented to the entry of the judgment without admitting or denying the allegations in the complaint.

The final judgment against Texas stock promoter Bingham and his company Wall Street PR enjoins them from violating Sections 5 and 17(a)(2) and 17(a)(3) of the Securities Act. In addition to the injunctive relief, the final judgment against Bingham orders him to pay $50,000 in civil penalties, $80,153 in disgorgement together with $15,608.43 in prejudgment interest. Bingham and Wall Street PR consented to the entry of the judgments without admitting or denying the allegations in the complaint.

On July 13, 2009, the Commission filed its complaint against the Defendants alleging that they violated the anti-fraud and registration provisions of the federal securities laws by, among other things, conducting a “pump-and-dump” scheme in which the defendants used a false and misleading public relations campaign to tout their client MitoPharm Corporation’s products. In reality, the products did not exist. Otto sold MitoPharm stock at a profit before its stock price plunged after the close of the promotional campaign.

In addition to the relief described above, Otto and Van Siclen each consented to the entry of an order in separate Commission administrative proceedings suspending them, pursuant to Rule 102(e) of the Commission's Rules of Practice, from appearing or practicing as attorneys before the Commission with the right to apply for reinstatement after three years and one year, respectively. [SEC v. David M. Otto, Todd Van Siclen, et al., Civil Action No. 2:09-cv-0960 RAJ (W.D. Wa.)] (LR-21945; Otto - Rel. 34-64329, File No. 3-14352; Van Siclen - 34-64330, File No. 3-14353)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Change

A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2011-04) to add the CHX Only order type has become effective. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64319)

Approval of Proposed Rule Changes

The Commission granted approval of a proposed rule change (SR-NYSEAmex-2011-11) submitted pursuant to Section 19(b)(1) and Rule 19b-4 under the Securities Exchange Act of 1934, by NYSE Amex, amending Rule 103B – NYSE Amex Equities to modify the application of the Exchange’s Designated Market Maker allocation policy in the event of a merger involving one or more listed companies. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64321)

The Commission granted approval of a proposed rule change (SR-NYSE-2011-09) submitted pursuant to Section 19(b)(1) and Rule 19b-4 under the Securities Exchange Act of 1934, by New York Stock Exchange, amending Exchange Rule 103B to modify the application of the Exchange’s Designated Market Maker allocation policy in the event of a merger involving one or more listed companies. Publication is expected in the Federal Register during the week of April 25. (Rel. 34-64322)

Securities Act Registrations

The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue.

Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

S-4     SCHWAB CHARLES CORP, 211 MAIN STREET, SAN FRANCISCO, CA, 94105, 
        415-667-7000 - 0 ($1,088,893,628.21) Equity, (File 333-173635 - 
        Apr. 21) (BR. 08A)

S-3ASR  US BANCORP \DE\, U.S.BANCORP, 800 NICOLLET MALL, MINNEAPOLIS, MN, 
        55402, (651)466-3000 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-173636 - Apr. 21) (BR. 07C)

S-8     CGG VERITAS, TOUR MAINE MONTPARNASSE, 33 AVENUE DU MAINE - BP 191, 
        PARIS, I0, 75015, 33164474500 - 0 ($59,059,841.88) Equity, 
        (File 333-173638 - Apr. 21) (BR. 04B)

S-8     BONTAN CORP INC, 47 AVENUE ROAD, SUITE 200, TORONTO, A6, M5R 2G3, 
        416-929-1806 - 6,000,000 ($540,000.00) Equity, (File 333-173639 - 
        Apr. 21) (BR. 04B)

S-8     REHABCARE GROUP INC, 7733 FORSYTH BLVD, SUITE 2300, ST LOUIS, MO, 
        63105, 3148637422 - 0 ($73,240,000.00) Equity, (File 333-173640 - 
        Apr. 21) (BR. 01C)

S-8     GOODRICH CORP, 4 COLISEUM CENTRE, 2730 WEST TYVOLA ROAD, CHARLOTTE, NC, 
        28217, 7044237000 - 2,825,000 ($237,865,000.00) Equity, 
        (File 333-173643 - Apr. 21) (BR. 05B)

S-8     Cleartronic, Inc., 8000 N. FEDERAL HWY. #401, BOCA RATON, FL, 33487, 
        561-939-3900 - 20,000,000 ($54,000.00) Equity, (File 333-173644 - 
        Apr. 21) (BR. 03A)

S-8     EMC CORP, 176 SOUTH STREET, HOPKINTON, MA, 01748-9103, 5082937208 - 
        145,000 ($477,498.41) Equity, (File 333-173645 - Apr. 21) (BR. 03C)

S-8     NETLIST INC, 51 DISCOVERY, STE 150, IRVINE, CA, 92618, 949-435-0025 - 
        0 ($2,844,000.00) Equity, (File 333-173646 - Apr. 21) (BR. 10B)

S-8     Samson Oil & Gas LTD, LEVEL 36, EXCHANGE PLAZA, 2 THE ESPLANDE, 
        PERTH, WESTERN AUSTRALIA, C3, 6000, 618 9220 9830 - 
        150,000,000 ($22,650,000.00) Equity, (File 333-173647 - Apr. 21) 
        (BR. 04C)

S-11    New School Properties, Inc., 5646 MILTON STREET SUITE 888, DALLAS, TX, 
        75206, 214-234-0906 - 4,000,000 ($40,000,000.00) Equity, 
        (File 333-173649 - Apr. 21) (BR. )

S-8     PPG INDUSTRIES INC, ONE PPG PL 40 EAST, PITTSBURGH, PA, 15272, 
        4124343131 - 0 ($1,096,680,000.00) Equity, (File 333-173656 - Apr. 21) 
        (BR. 06C)

S-8     PPG INDUSTRIES INC, ONE PPG PL 40 EAST, PITTSBURGH, PA, 15272, 
        4124343131 - 0 ($591,705,103.00) Equity, (File 333-173657 - Apr. 21) 
        (BR. 06C)

S-8     PPG INDUSTRIES INC, ONE PPG PL 40 EAST, PITTSBURGH, PA, 15272, 
        4124343131 - 0 ($18,278,000.00) Equity, 0 ($40,000,000.00) Other, 
        (File 333-173658 - Apr. 21) (BR. 06C)

S-1     CATASYS, INC., 11150 SANTA MONICA BOULEVARD, SUITE 1500, LOS ANGELES, 
        CA, 90025, 310 444 4300 - 0 ($10,000.00) Equity, (File 333-173659 - 
        Apr. 21) (BR. 09A)

S-8     CENTERPOINT ENERGY INC, 1111 LOUISIANA ST., HOUSTON, TX, 77002, 
        7132073000 - 0 ($6,184,500.00) Equity, (File 333-173660 - Apr. 21) 
        (BR. 02C)

S-1     Trustwave Holdings, Inc., 70 W. MADISON, SUITE 1050, CHICAGO, IL, 
        60602, 312-873-7500 - 0 ($100,000,000.00) Equity, (File 333-173661 - 
        Apr. 21) (BR. )

S-8     CATASYS, INC., 11150 SANTA MONICA BOULEVARD, SUITE 1500, LOS ANGELES, 
        CA, 90025, 310 444 4300 - 216,000,000 ($14,040,000.00) Equity, 
        (File 333-173662 - Apr. 21) (BR. 09A)

S-3     AROTECH CORP, 1229 OAK VALLEY DRIVE, ANN ARBOR, MI, 48108, 8002810356 - 
        0 ($35,000,000.00) Other, (File 333-173663 - Apr. 21) (BR. 10A)

S-8     Computer Software Innovations, Inc., 900 EAST MAIN STREET, SUITE T, 
        EASLEY, SC, 29640, 8648553900 - 650,000 ($643,500.00) Equity, 
        (File 333-173664 - Apr. 21) (BR. 03B)

S-4     LG&E & KU Energy LLC, 220 WEST MAIN STREET, LOUISVILLE, KY, 40202, 
        502-672-2000 - 0 ($875,000,000.00) Debt, (File 333-173665 - Apr. 21) 
        (BR. )

F-1     Phoenix New Media Ltd, Fusheng Building Tower 2, 16th Floor, 
        4 Hui Xin Dong Jie, Chaoyang District, Beijing, F4, 100029, 
        (86) 10 8445 8000 - 0 ($200,000,000.00) ADRs/ADSs, (File 333-173666 - 
        Apr. 21) (BR. 11C)

S-1     IMPINJ INC, 701 NORTH 34TH STREET, SUITE 300, SEATTLE, WA, 98103, 
        206-517-5300 - 0 ($100,000,000.00) Equity, (File 333-173667 - Apr. 21) 
        (BR. )

S-1     Bluestem Brands, Inc., 6509 FLYING CLOUD DRIVE, EDEN PRAIRIE, MN, 
        55344, (952) 656-3700 - 0 ($150,000,000.00) Equity, (File 333-173668 - 
        Apr. 21) (BR. )

F-10    Avalon Rare Metals Inc., SUITE 1901 - 130 ADELAIDE STREET WEST, 
        TORONTO, A6, M5H 3P5, 416-364-4938 - 0 ($525,000,000.00) Equity, 
        (File 333-173669 - Apr. 21) (BR. 04)

S-8     Rodobo International Inc, 380 CHANGJIANG ROAD, 
        NANGANG DISTRICT, HARBIN, F4, 150001, 011-86-045182260522 - 
        2,000,000 ($4,860,000.00) Equity, (File 333-173670 - Apr. 21) (BR. 04B)

S-1     Momentive Performance Materials Holdings LLC, 180 EAST BROAD STREET, 
        COLUMBUS, OH, 43215, 614-225-4000 - 0 ($862,500,000.00) Equity, 
        (File 333-173671 - Apr. 21) (BR. )

S-3ASR  DEERE JOHN CAPITAL CORP, 1 EAST FIRST STREET, SUITE 600, RENO, NV, 
        89501, (702) 786-5527 - 
        0 ($18,000,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-173672 - Apr. 21) (BR. 07B)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1 800 FLOWERS COM INC                   DE       2.02,9.01            04/21/11

1ST SOURCE CORP                         IN       2.02,9.01            04/21/11

ACE MARKETING & PROMOTIONS INC          NY       3.02                 03/29/11

ACORDA THERAPEUTICS INC                          5.02,9.01            04/19/11

Adamis Pharmaceuticals Corp             DE       1.01,9.01            04/20/11

Adamis Pharmaceuticals Corp             DE       1.01,9.01            04/20/11

ADVANCED MICRO DEVICES INC              DE       2.02,7.01,9.01       04/21/11

AES CORP                                DE       5.07                 04/21/11

AIR PRODUCTS & CHEMICALS INC /DE/       DE       2.02,9.01            04/21/11

Aircastle LTD                           D0       7.01,9.01            04/20/11

Alamo Energy Corp.                      NV       1.01,3.02,7.01,9.01  04/19/11

ALASKA AIR GROUP INC                    DE       2.02,7.01,9.01       04/21/11

ALCOA INC                               PA       8.01,9.01            04/21/11

ALEXION PHARMACEUTICALS INC             DE       2.02,9.01            04/21/11

ALLIANCE DATA SYSTEMS CORP              DE       2.02,7.01,9.01       04/21/11

Ally Financial Inc.                     DE       8.01,9.01            04/21/11

Alto Group Holdings Inc.                NV       1.01,3.02            04/18/11

AMEREN CORP                             MO       5.07,9.01            04/21/11

AMERICAN BAR ASSOCIATION MEMBERS / NO   IL       1.01,9.01            04/20/11

AMERICAN ELECTRIC POWER CO INC          NY       2.02,9.01            04/21/11

American Railcar Industries, Inc.       ND       8.01                 04/15/11

AMERICAN REALTY CAPITAL NEW YORK RECO   MD       1.01,2.01,2.03,8.01, 04/18/11
                                                 9.01
  
American Reprographics CO               DE       5.02,9.01            04/20/11

AMERICAN RIVER BANKSHARES               CA       2.02,9.01            04/21/11

AMERIPRISE FINANCIAL INC                DE       8.01                 04/15/11

AMSURG CORP                             TN       2.02,7.01,9.01       04/21/11

ANTS SOFTWARE INC                       DE       5.02                 04/17/11

Apple REIT Eight, Inc.                  VA       2.04,8.01            04/19/11

APPLIED INDUSTRIAL TECHNOLOGIES INC     OH       2.02,9.01            04/21/11

Approach Resources Inc                  DE       9.01                 02/28/11    AMEND

ARGAN INC                               DE       5.02,9.01            04/19/11

ARIAD PHARMACEUTICALS INC               DE       8.01,9.01            04/20/11

ARTIFICIAL LIFE INC                     DE       4.01,9.01            04/20/11

ASSOCIATED BANC-CORP                    WI       2.02,9.01            04/21/11

ASTORIA FINANCIAL CORP                  DE       2.02,9.01            04/20/11

Athens Bancshares Corp                           8.01,9.01            04/20/11

AVID TECHNOLOGY, INC.                   DE       2.02,9.01            04/21/11

AVISTAR COMMUNICATIONS CORP             DE       2.02,9.01            04/21/11

BANK OF KENTUCKY FINANCIAL CORP         KY       2.02,9.01            04/21/11

BANK OF THE JAMES FINANCIAL GROUP INC   VA       5.03,9.01            04/19/11

BANK OF THE OZARKS INC                  AR       1.01,5.02,5.07,9.01  04/19/11

BARD C R INC /NJ/                       NJ       2.02,9.01            04/21/11

Baron Energy Inc.                       NV       3.02,5.02            04/18/11

BASIC ENERGY SERVICES INC                        2.02,9.01            04/20/11

BAXTER INTERNATIONAL INC                DE       2.02,9.01            04/21/11

BB&T CORP                               NC       2.02,9.01            03/31/11

BE Resources Inc.                       CO       4.01                 04/21/11

BEAZER HOMES USA INC                    DE       5.07                 02/02/11    AMEND

BEHRINGER HARVARD MULTIFAMILY REIT I             7.01,9.01            04/21/11

BELDEN & BLAKE CORP /OH/                OH       8.01,9.01            04/20/11

BIOGEN IDEC INC.                        DE       2.02,9.01            04/21/11

BIOTECH HOLDRS TRUST                             8.01,9.01            04/21/11

BlackRock Inc.                          DE       2.02,9.01            04/21/11

Blackstone Group L.P.                   DE       2.02,9.01            04/21/11

BMW Vehicle Lease Trust 2011-1                   8.01,9.01            04/19/11

BMW Vehicle Lease Trust 2011-1                   1.01,9.01            04/15/11

BUCYRUS INTERNATIONAL INC               DE       7.01,9.01            04/20/11

BUCYRUS INTERNATIONAL INC               DE       2.02,9.01            04/21/11

Burlington Coat Factory Investments H            7.01                 04/21/11

Burlington Coat Factory Investments H            7.01                 04/21/11

C & F FINANCIAL CORP                    VA       5.07                 04/19/11

CALIFORNIA PIZZA KITCHEN, INC.          DE       8.01,9.01            04/21/11

CAPITAL ONE FINANCIAL CORP              DE       2.02,7.01,8.01,9.01  04/21/11

CAPRIUS INC                             DE       2.01,3.03,5.01,5.07, 04/21/11
                                                 8.01,9.01
     
CARPENTER TECHNOLOGY CORP               DE       5.03,9.01            04/19/11

CASH AMERICA INTERNATIONAL INC          TX       2.02,7.01,9.01       04/21/11

Castle Brands Inc                       FL       2.02,7.01,9.01       04/20/11

CDW Corp                                DE       1.01,8.01,9.01       04/20/11

CENTRAL GARDEN & PET CO                 DE       5.02,9.01            04/15/11

CENTRAL PACIFIC FINANCIAL CORP          HI       5.02,9.01            04/20/11

CENTURY ALUMINUM CO                     DE       8.01                 04/21/11

CHARMING SHOPPES INC                    PA       3.01                 04/18/11

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            04/21/11

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            04/21/11

CHESAPEAKE MIDSTREAM PARTNERS LP        DE       8.01,9.01            04/21/11

China Energy CORP                                2.02,9.01            04/20/11

China Intelligent Lighting & Electron   DE       7.01,8.01,9.01       04/19/11

CHINA NORTH EAST PETROLEUM HOLDINGS L   NV       8.01,9.01            04/20/11

CHINA SECURITY & SURVEILLANCE TECHNOL   DE       1.01,8.01,9.01       04/21/11

China Shenghuo Pharmaceutical Holding            5.02,8.01,9.01       04/16/11

China TransInfo Technology Corp.        NV       1.01,9.01            04/21/11

China Voice Holding Corp.               NY       1.01,2.01,3.02,5.02, 04/21/11
                                                 7.01,9.01
     
Chino Commercial Bancorp                CA       2.02                 04/21/11

CHIPOTLE MEXICAN GRILL INC                       2.02,9.01            04/20/11

CHUBB CORP                              NJ       2.02,9.01            04/21/11

CITIZENS & NORTHERN CORP                PA       5.07                 04/19/11

CITIZENS FINANCIAL SERVICES INC         PA       5.07,8.01,9.01       04/21/11

CITIZENS FIRST CORP                     KY       2.02,7.01,9.01       04/21/11

CITY NATIONAL CORP                      DE       2.02,9.01            04/21/11

CKX, Inc.                               DE       1.01,2.03,9.01       04/15/11

CLAIRES STORES INC                      DE       2.02,9.01            04/20/11

CLIFFS NATURAL RESOURCES INC.           OH       1.01                 04/20/11

CNA FINANCIAL CORP                      DE       8.01,9.01            04/21/11

CNA SURETY CORP                                  1.01,8.01,9.01       04/21/11

CNS RESPONSE, INC.                      DE       1.01,2.03,3.02,9.01  04/15/11

COBIZ FINANCIAL INC                     CO       2.02,8.01,9.01       04/20/11

COMMERCE BANCSHARES INC /MO/            MO       5.07                 04/20/11

Community Partners Bancorp              NJ       5.02,9.01            04/20/11

COMMUNITY WEST BANCSHARES /             CA       2.02,9.01            04/21/11

Complete Production Services, Inc.      DE       2.02,9.01            04/21/11

COMPUTER PROGRAMS & SYSTEMS INC         DE       5.02,9.01            04/18/11

CONSOLIDATED TOMOKA LAND CO             FL       2.02,9.01            04/21/11

Constellation Energy Partners LLC       DE       5.02,9.01            04/19/11

CONTINENTAL MATERIALS CORP              DE       9.01                 04/20/11

CORE LABORATORIES N V                   P7       1.01,2.03,9.01       04/19/11

COURIER CORP                            MA       2.02,8.01,9.01       04/21/11

Covidien plc                                     2.02,9.01            04/21/11

CRT HOLDINGS, INC.                      FL       4.01                 04/21/11

CVB FINANCIAL CORP                      CA       2.02,9.01            04/20/11

Cyclacel Pharmaceuticals, Inc.          DE       4.01,9.01            04/19/11

CYMER INC                               NV       2.02,9.01            04/21/11

CYPRESS SEMICONDUCTOR CORP /DE/         DE       2.02,9.01            04/21/11

CYTEC INDUSTRIES INC/DE/                DE       2.02,9.01            04/21/11

DA-LITE SCREEN CO INC                   IN       8.01,9.01            04/18/11

DANAHER CORP /DE/                       DE       2.02,9.01            04/20/11

DANAHER CORP /DE/                       DE       8.01,9.01            04/21/11

DEARBORN BANCORP INC /MI/               MI       2.02,9.01            04/19/11

DIAMOND OFFSHORE DRILLING INC           DE       7.01,9.01            04/21/11

DIAMOND OFFSHORE DRILLING INC           DE       2.02,9.01            04/21/11

DIGI INTERNATIONAL INC                  DE       2.02,9.01            04/21/11

Double Eagle Holdings, Ltd.             NV       5.02,9.01            04/21/11

DOVER Corp                              DE       2.02,9.01            04/21/11

DPL INC                                 OH       3.03,8.01,9.01       04/18/11

DUPONT E I DE NEMOURS & CO              DE       2.02,9.01            04/21/11

EBIX INC                                DE       1.01,2.03,8.01,9.01  04/18/11

ECOSPHERE TECHNOLOGIES INC              DE       8.01                 04/19/11

EDIETS COM INC                          DE       5.02,5.03,8.01,9.01  04/15/11

Education Realty Trust, Inc.            MD       2.02,7.01,9.01       04/21/11

EFT BIOTECH HOLDINGS INC                NV       5.02                 04/20/11

EMAGIN CORP                             DE       2.02,9.01            04/21/11

EMMIS COMMUNICATIONS CORP               IN       1.01                 04/15/11

Encore Energy Partners LP               DE       8.01,9.01            04/21/11

Enertopia Corp.                         NV       5.07,7.01,9.01       04/21/11

Ensco plc                                        2.02,9.01            04/20/11

Enstar Group LTD                        D0       1.01,3.02,3.03,5.03, 04/20/11
                                                 9.01
          
ENTEGRIS INC                            DE       2.02,9.01            04/21/11

ENTERPRISE FINANCIAL SERVICES CORP      DE       7.01,9.01            04/21/11

ESB FINANCIAL CORP                      PA       5.07                 04/20/11

EVOLVING SYSTEMS INC                    DE       1.01,7.01,9.01       04/21/11

EVOLVING SYSTEMS INC                    DE       8.01,9.01            04/21/11

Eworld Interactive, Inc.                FL       1.01,2.01,5.06,8.01, 04/18/11    AMEND
                                                 9.01
          
EZCORP INC                              DE       2.02,9.01            04/21/11

FARMERS CAPITAL BANK CORP               KY       2.02,9.01            04/20/11

Federal Home Loan Bank of Atlanta       X1       2.03                 04/21/11

Federal Home Loan Bank of Boston        X1       2.02,7.01,9.01       04/21/11

Federal Home Loan Bank of Chicago       X1       2.03                 04/19/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            04/19/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            04/19/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            04/21/11

Federal Home Loan Bank of New York      X1       2.03,9.01            04/18/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            04/18/11

Federal Home Loan Bank of San Francis   X1       2.03                 04/18/11

Federal Home Loan Bank of Seattle                2.03                 04/18/11

Federal Home Loan Bank of Topeka                 2.03,9.01            04/18/11

FIFTH THIRD BANCORP                     OH       2.02,7.01,9.01       04/21/11

FIRST ASIA HOLDINGS Ltd                 A6       3.02                 04/21/11

FIRST CASH FINANCIAL SERVICES INC       DE       2.02,9.01            04/20/11

FIRST CITIZENS BANC CORP /OH            OH       5.07                 04/21/11

FIRST CITIZENS BANCSHARES INC /TN/      TN       5.07                 04/20/11

FIRST EQUITY PROPERTIES INC             NV       5.02                 04/19/11

FIRST FEDERAL BANCSHARES OF ARKANSAS    TX       1.01,3.02,9.01       04/21/11

FIRST HORIZON NATIONAL CORP             TN       2.02,9.01            04/21/11

FIRST HORIZON NATIONAL CORP             TN       7.01,9.01            04/21/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       2.02,9.01            04/21/11

FIRSTBANK CORP                          MI       2.02,9.01            04/21/11

FNB United Corp.                        NC       1.01,3.03,5.03,9.01  04/15/11

FREMONT MICHIGAN INSURACORP INC         MI       1.01,3.03,5.02,9.01  04/15/11

Freshwater Technologies Inc.            NV       3.02                 04/19/11

FUSION TELECOMMUNICATIONS INTERNATION   DE       2.02,7.01,9.01       04/21/11

G REIT Liquidating Trust                         7.01,9.01            04/21/11

GATX CORP                               NY       2.02,7.01,9.01       04/21/11

GENERAL ELECTRIC CAPITAL CORP           CT       8.01,9.01            04/21/11

GENERAL ELECTRIC CAPITAL SERVICES INC   DE       8.01,9.01            04/21/11

GENERAL ELECTRIC CO                     NY       2.02,9.01            04/21/11

GENTA INC DE/                           DE       8.01,9.01            04/21/11

GENTEX CORP                             MI       2.02,9.01            04/21/11

GILLA INC.                              NV       1.01                 04/21/11

GLOBAL CROSSING LTD                              2.02,7.01,9.01       04/21/11

Global Geophysical Services Inc         DE       8.01,9.01            04/19/11

Gold Bag, Inc.                                   9.01                 12/31/10    AMEND

GOODRICH CORP                           NY       2.02,5.02,5.07,9.01  04/19/11

GOODYEAR TIRE & RUBBER CO /OH/          OH       1.01,2.03,8.01,9.01  04/20/11

GP STRATEGIES CORP                      DE       2.01,8.01,9.01       04/15/11

GRAND RIVER COMMERCE INC                MI       5.02                 04/15/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                 04/21/11

GRAPHIC PACKAGING HOLDING CO            DE       2.02,9.01            04/21/11

GREENE COUNTY BANCORP INC               DE       8.01                 04/19/11

GREENHILL & CO INC                      DE       2.02,5.07,9.01       04/20/11

Grid Petroleum Corp.                    NV       1.01,9.01            01/20/11    AMEND

GROUP 1 AUTOMOTIVE INC                  DE       8.01,9.01            04/21/11

GUARANTY FEDERAL BANCSHARES INC         DE       2.02,9.01            04/20/11

GUESS INC                               DE       8.01,9.01            04/15/11

GULF RESOURCES, INC.                    DE       9.01                 12/14/10    AMEND

HALF ROBERT INTERNATIONAL INC /DE/      DE       2.02,8.01,9.01       04/21/11

HANCOCK HOLDING CO                      MS       8.01                 04/21/11

HANMI FINANCIAL CORP                    DE       2.02,9.01            04/21/11

HANOVER INSURANCE GROUP, INC.           DE       1.01,2.03,7.01,9.01  04/20/11

HARDINGE INC                            NY       8.01,9.01            04/21/11

HARLEYSVILLE SAVINGS FINANCIAL CORP              2.02,8.01,9.01       04/20/11

HeartWare International, Inc.           DE       8.01                 04/20/11

HELI ELECTRONICS CORP.                  NV       4.01,4.02            03/11/11    AMEND

Hellenic Solutions Corp                 E9       2.04,5.01,8.01       04/15/11

Heritage Financial Group Inc            MD       5.02,9.01            04/20/11

HNI CORP                                IA       2.02,9.01            04/20/11

HOME BANCSHARES INC                              2.02,9.01            04/21/11

HORIZON BANCORP /IN/                    IN       2.02,9.01            04/20/11

HUBBELL INC                             CT       2.02,9.01            04/21/11

HUDSON CITY BANCORP INC                 DE       5.07                 04/19/11

ICF International, Inc.                 DE       8.01,9.01            04/21/11

IDEX CORP /DE/                          DE       2.02,9.01            04/20/11

IDEXX LABORATORIES INC /DE              DE       2.02,9.01            04/21/11

ILLINOIS TOOL WORKS INC                 DE       2.02,9.01            04/21/11

ILLINOIS TOOL WORKS INC                 DE       8.01,9.01            04/21/11    AMEND

Image Metrics, Inc.                     NV       4.01,9.01            04/15/11

IMH Financial Corp                      DE       5.03,9.01            04/15/11

INFORMATICA CORP                        DE       2.02,9.01            04/21/11

ING LIFE INSURANCE & ANNUITY CO         CT       1.01                 04/21/11

Ingersoll-Rand plc                      L2       2.02,9.01            04/21/11

INSITE VISION INC                       DE       8.01                 04/18/11

INSPIRE PHARMACEUTICALS INC             DE       8.01                 04/20/11

INSTEEL INDUSTRIES INC                  NC       2.02,9.01            04/21/11

Intcomex, Inc.                          DE       1.01,3.02,5.02,8.01, 04/19/11
                                                 9.01
          
Interactive Brokers Group, Inc.         DE       2.02,8.01,9.01       04/21/11

INTERCONTINENTALEXCHANGE INC                     8.01,9.01            04/21/11

INTERNATIONAL BARRIER TECHNOLOGY INC    A1       7.01,9.01            04/21/11

INTERNATIONAL GAME TECHNOLOGY           NV       2.02,9.01            04/21/11

IPAYMENT INC                            DE       7.01,8.01,9.01       04/21/11

ITT EDUCATIONAL SERVICES INC            DE       2.02,9.01            04/21/11

IXIA                                    CA       2.02,9.01            04/21/11

James River Coal CO                     VA       1.01,2.01,2.03,2.04, 04/15/11
                                                 8.01,9.01
     
JANUS CAPITAL GROUP INC                 DE       2.02,5.02,8.01,9.01  04/21/11

JETBLUE AIRWAYS CORP                    DE       2.02,9.01            04/21/11

JETBLUE AIRWAYS CORP                    DE       7.01,9.01            04/21/11

John Deere Owner Trust 2011             DE       9.01                 04/20/11    AMEND

K SWISS INC                             DE       1.01,9.01            04/18/11

KANSAS CITY SOUTHERN                    DE       2.02,9.01            04/21/11

KOSS CORP                               DE       2.02,9.01            04/20/11

L 3 COMMUNICATIONS HOLDINGS INC         DE       2.02,9.01            04/21/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       2.02                 04/21/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 04/21/11

LACROSSE FOOTWEAR INC                   WI       2.02,9.01            04/21/11

LANDSTAR SYSTEM INC                     DE       2.02,9.01            04/21/11

Latitude Solutions, Inc.                NV       5.02,7.01,9.01       04/13/11

LATTICE SEMICONDUCTOR CORP              DE       2.02,2.05,9.01       04/15/11

LCNB CORP                               OH       2.02,8.01,9.01       03/31/11

LEFT BEHIND GAMES INC.                  WA       7.01,9.01            04/20/11

LEGACY RESERVES LP                      DE       8.01                 04/15/11

LIFE TIME FITNESS INC                   MN       2.02,9.01            04/21/11

LSB FINANCIAL CORP                      IN       5.07                 04/20/11

LUNA INNOVATIONS INC                    DE       5.02,7.01,9.01       04/19/11

MADISON GAS & ELECTRIC CO               WI       5.02,9.01            04/15/11

MANPOWER INC /WI/                       WI       2.02,9.01            04/21/11

MARINE PETROLEUM TRUST                  TX       4.01,9.01            04/15/11

MARTIN MIDSTREAM PARTNERS LP            DE       1.01,2.03,9.01       04/21/11

MAXIM INTEGRATED PRODUCTS INC           DE       2.02,9.01            04/21/11

McCormick & Schmicks Seafood Restaura            1.01,3.03,5.02,5.03, 04/20/11
                                                 8.01,9.01
     
MCDONALDS CORP                          DE       2.02,9.01            04/21/11

MCGRATH RENTCORP                        CA       1.01,2.03,9.01       04/21/11

MEADWESTVACO Corp                       DE       5.02,5.07,9.01       04/18/11

MEDIA SCIENCES INTERNATIONAL INC                 5.02                 11/08/10    AMEND

MEDIFAST INC                            DE       7.01,9.01            04/21/11

MERCER GOLD CORP.                       NV       7.01,9.01            04/18/11

MERIT MEDICAL SYSTEMS INC               UT       8.01,9.01            04/21/11

METALLINE MINING CO                     NV       7.01,9.01            04/20/11

MGE ENERGY INC                          WI       5.02,9.01            04/15/11

MICREL INC                              CA       2.02,9.01            04/21/11

MICROFINANCIAL INC                      MA       2.02,9.01            04/20/11

MONARCH CASINO & RESORT INC             NV       2.02,9.01            04/20/11

MONEYGRAM INTERNATIONAL INC                      1.01,2.03,9.01       04/19/11

MORGAN STANLEY                          DE       2.02,9.01            04/21/11

MORRIS PUBLISHING GROUP LLC             GA       4.02                 04/15/11

MORRIS PUBLISHING GROUP LLC             GA       8.01                 04/19/11

MTR GAMING GROUP INC                    DE       5.02,9.01            04/21/11

MULTIBAND CORP                          MN       1.01                 04/20/11

MUTUALFIRST FINANCIAL INC               MD       2.02,9.01            04/21/11

MYERS INDUSTRIES INC                    OH       2.02,9.01            04/20/11

NASDAQ OMX GROUP, INC.                  DE       8.01,9.01            04/21/11

NATIONAL BANK OF INDIANAPOLIS CORP      IN       5.02                 04/19/11

NATIONAL PENN BANCSHARES INC            PA       2.02,7.01,9.01       04/21/11

NATIONAL PENN BANCSHARES INC            PA       2.02,7.01,9.01       04/21/11

NATURAL RESOURCE PARTNERS LP            DE       1.01,2.03,9.01       04/20/11

NEUSTAR INC                                      2.02,7.01,9.01       04/21/11

New Generation Biofuels Holdings, Inc   FL       1.01                 04/15/11

New Leaf Brands, Inc.                   NV       4.01,9.01            04/15/11

New York & Company, Inc.                         5.02,9.01            04/15/11

NEW YORK TIMES CO                       NY       2.02,9.01            04/21/11

NEWBRIDGE BANCORP                       NC       2.02,9.01            04/21/11

NEWFIELD EXPLORATION CO /DE/            DE       2.02,7.01            04/20/11

NEWMONT MINING CORP /DE/                DE       2.02,9.01            04/21/11

NEXSTAR BROADCASTING GROUP INC          DE       1.01,2.03,8.01,9.01  04/15/11

NIKE INC                                OR       5.02,9.01            04/21/11

NNN 2003 VALUE FUND LLC                          7.01,9.01            04/21/11

NORTHERN TRUST CORP                     DE       5.07                 04/19/11

Northwest Bancshares, Inc.              MD       5.02,5.07,8.01,9.01  04/20/11

NOVELL INC                              DE       1.01,8.01,9.01       04/20/11

Nuance Communications, Inc.             DE       2.02,5.02,9.01       04/21/11

NUCOR CORP                              DE       2.02,9.01            04/21/11

NVR INC                                 VA       2.02,9.01            04/21/11

NYSE Euronext                           DE       8.01                 04/21/11

Onstream Media CORP                     FL       5.02,8.01,9.01       04/18/11

Onteco Corp                             NV       4.01,9.01            04/21/11

ORBITAL SCIENCES CORP /DE/              DE       2.02,9.01            04/20/11

PACIFIC GAS & ELECTRIC Co               CA       5.02,5.03,9.01       04/21/11

PACIFIC SUNWEAR OF CALIFORNIA INC       CA       5.02,7.01,9.01       04/18/11

Patriot Coal CORP                       DE       2.02,9.01            04/21/11

PediatRx Inc.                           NV       8.01,9.01            04/20/11

PENN VIRGINIA RESOURCE PARTNERS L P     DE       1.01,2.03,9.01       04/19/11

People's United Financial, Inc.         DE       2.02,8.01,9.01       04/20/11

PERMIAN BASIN ROYALTY TRUST             TX       2.02,9.01            04/19/11

PG&E CORP                               CA       5.02,5.03,9.01       04/21/11

Philip Morris International Inc.        VA       2.02,9.01            04/21/11

PNC FINANCIAL SERVICES GROUP INC        PA       2.02,9.01            04/21/11

PNC FINANCIAL SERVICES GROUP INC        PA       2.02,9.01            04/21/11

POLYCOM INC                             DE       2.02,9.01            04/21/11

POOL CORP                               DE       2.02,7.01,9.01       04/21/11

POPE RESOURCES LTD PARTNERSHIP          DE       8.01,9.01            04/21/11

PPG INDUSTRIES INC                      PA       2.02,9.01            04/21/11

PPL Corp                                         2.03,8.01,9.01       04/18/11

PREFERRED APARTMENT COMMUNITIES INC     MD       1.01,2.01,2.03,9.01  04/15/11

PREFERRED APARTMENT COMMUNITIES INC     MD       7.01,9.01            04/21/11

Premier Power Renewable Energy, Inc.    DE       1.01,9.01            04/19/11

PRIME GLOBAL CAPITAL GROUP Inc          NV       5.02,9.01            04/21/11

ProUroCare Medical Inc.                 NV       1.01,2.03            04/15/11

PSB HOLDINGS INC /WI/                   WI       5.07                 04/19/11

PUBLIC SERVICE ENTERPRISE GROUP INC     NJ       5.07,9.01            04/19/11

PULASKI FINANCIAL CORP                  MO       2.02,9.01            04/19/11

Radiation Therapy Services Holdings,    DE       5.02,8.01,9.01       04/21/11

RADIENT PHARMACEUTICALS Corp            DE       7.01,8.01,9.01       04/21/11

RAMBUS INC                              DE       2.02,9.01            04/21/11

RAMTRON INTERNATIONAL CORP              DE       2.02,9.01            04/21/11

RASER TECHNOLOGIES INC                  UT       2.04                 04/15/11

RDA Holding Co.                                  5.02,9.01            04/18/11

REPUBLIC BANCORP INC /KY/               KY       2.02,9.01            04/21/11

REPUBLIC BANCORP INC /KY/               KY       7.01,9.01            04/21/11

REPUBLIC SERVICES, INC.                 DE       1.01,2.03,9.01       04/20/11

REYNOLDS AMERICAN INC                            2.02,9.01            04/21/11

RIVER VALLEY BANCORP                    IN       2.02,5.07,9.01       04/19/11

Riverview Financial Corp                PA       2.02,9.01            04/20/11

RIVIERA HOLDINGS CORP                   NV       5.02                 04/19/11

RLI CORP                                IL       7.01,9.01            04/19/11

ROCKWELL COLLINS INC                    DE       1.01,2.02,7.01,9.01  04/20/11

Rosetta Resources Inc.                  DE       2.01,7.01,9.01       04/15/11

RUSH ENTERPRISES INC \TX\               TX       2.02,9.01            04/20/11

RXI PHARMACEUTICALS CORP                         3.01                 04/18/11

SANDISK CORP                            DE       2.02,9.01            04/21/11

SANDY SPRING BANCORP INC                MD       2.02,9.01            04/21/11

SCANA CORP                              SC       5.02                 01/07/11    AMEND

SCHLUMBERGER LTD /NV/                   P8       2.02,7.01,9.01       04/21/11

SEMPRA ENERGY                           CA       1.01,9.01            04/15/11

SEMPRA ENERGY                           CA       1.01,9.01            04/15/11    AMEND

Sensata Technologies Holding N.V.       P7       2.02,9.01            04/21/11

SHERWIN WILLIAMS CO                     OH       2.02,9.01            04/21/11

Shire plc                                        8.01,9.01            04/21/11

SIGNATURE GROUP HOLDINGS INC            NV       5.02,5.03,9.01       10/27/10

Silver Dragon Resources Inc.            DE       1.01,2.03,3.02,7.01, 04/21/11
                                                 9.01
          
SIMMONS FIRST NATIONAL CORP             AR       2.02,9.01            04/21/11

Sino Clean Energy Inc                   NV       5.02,9.01            04/15/11

Skinny Nutritional Corp.                NV       2.02,9.01            04/19/11

SM Energy Co                            DE       7.01,9.01            04/21/11

SNAP-ON Inc                             DE       2.02,9.01            04/21/11

SONOCO PRODUCTS CO                      SC       2.02,9.01            04/21/11

SONOSITE INC                                     5.07                 04/19/11

Sorrento Therapeutics, Inc.             DE       5.02,9.01            04/15/11

SOUTHWEST AIRLINES CO                   TX       2.02,9.01            03/31/11

SRA INTERNATIONAL INC                   DE       5.02,9.01            04/18/11

STAG Industrial, Inc.                            1.01,2.03,3.02,9.01  04/15/11

STAGE STORES INC                        NV       8.01,9.01            04/19/11

Standard Financial Corp.                MD       2.02,9.01            04/21/11

STANLEY BLACK & DECKER, INC.            CT       5.07                 04/19/11

STERICYCLE INC                          DE       2.01,9.01            04/18/11

STERLING FINANCIAL CORP /WA/            WA       7.01,9.01            04/21/11

STEWART ENTERPRISES INC                 LA       1.01,1.02,2.03,8.01, 04/20/11
                                                 9.01
          
Stone Harbor Investments, Inc.          NV       5.02,5.07,9.01       04/15/11

Strategic Storage Trust, Inc.           MD       7.01,9.01            04/21/11

STRATTEC SECURITY CORP                  WI       2.02,9.01            04/21/11

SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       04/21/11

SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       04/21/11

SUNTRUST BANKS INC                      GA       2.02,5.02,9.01       04/21/11

SUPERIOR UNIFORM GROUP INC              FL       2.02,9.01            04/21/11

SVB FINANCIAL GROUP                              2.02,9.01            04/21/11

SVB FINANCIAL GROUP                              8.01,9.01            04/21/11

SYMMETRICOM INC                         DE       2.02,9.01            04/21/11

SYNAPTICS INC                           DE       2.02,9.01            04/21/11

SYNTEL INC                              MI       2.02,9.01            04/21/11

SyntheMed, Inc.                         DE       1.01                 04/14/11

TASER INTERNATIONAL INC                          2.02,9.01            04/21/11

TCF FINANCIAL CORP                      DE       2.02,9.01            04/21/11

TE Connectivity Ltd.                    V8       2.02,7.01,9.01       04/21/11

TECHNEST HOLDINGS INC                   NV       3.02,9.01            04/18/11

TechniScan, Inc.                        DE       1.01,2.03,2.04,9.01  04/15/11

TEMPUR PEDIC INTERNATIONAL INC          DE       2.02,7.01,9.01       04/21/11

TENNANT CO                              MN       2.02,9.01            04/21/11

TEXAS CAPITAL BANCSHARES INC/TX                  2.02,9.01            04/20/11

THOMAS & BETTS CORP                     TN       2.02,9.01            04/21/11

THOMAS GROUP INC                        DE       3.01                 04/18/11

THRESHOLD PHARMACEUTICALS INC           DE       8.01,9.01            04/21/11

TIDELANDS ROYALTY TRUST B               TX       4.01,9.01            04/15/11

TIVO INC                                DE       8.01                 04/20/11

TOREADOR RESOURCES CORP                 DE       8.01,9.01            04/21/11

TORTOISE CAPITAL RESOURCES CORP                  2.01,9.01            04/21/11

TPG Specialty Lending, Inc.             DE       1.01,9.01            04/15/11

TRADESTATION GROUP INC                  FL       8.01,9.01            04/20/11

TRADESTATION GROUP INC                  FL       1.01,3.02,5.02,8.01, 04/20/11
                                                 9.01
          
TRANSATLANTIC PETROLEUM LTD.            D0       1.01                 04/15/11

TRANSUNION CORP.                                 7.01,9.01            04/20/11

TRAVELERS COMPANIES, INC.               MN       2.02,9.01            04/21/11

Treaty Energy Corp                      NV       1.01,9.01            04/20/11

TRI VALLEY CORP                         DE       1.01,3.02,9.01       04/19/11

ULTRATECH INC                           DE       2.02,9.01            04/21/11

UMH PROPERTIES, INC.                    MD       5.02,7.01,9.01       04/18/11

UMPQUA HOLDINGS CORP                    OR       2.02,9.01            04/21/11

United Continental Holdings, Inc.       DE       2.02,7.01,9.01       04/21/11

UNITEDHEALTH GROUP INC                  MN       2.02,9.01            04/21/11

UniTek Global Services, Inc.            DE       1.01,1.02,2.01,2.03, 04/15/11
                                                 9.01
   
UNIVERSAL HEALTH REALTY INCOME TRUST    MD       2.02,9.01            04/21/11

Vanguard Natural Resources, LLC         DE       8.01,9.01            04/21/11

VERIZON COMMUNICATIONS INC              DE       2.02,9.01            04/21/11

VERTICAL HEALTH SOLUTIONS INC           FL       1.01,1.02,3.02,5.01, 04/15/11
                                                 5.02,5.06,9.01

VIRCO MFG CORPORATION                   DE       7.01,9.01            04/19/11

VISTA GOLD CORP                         B0       7.01                 04/21/11

VONAGE HOLDINGS CORP                    DE       5.02                 04/19/11

VORNADO REALTY LP                       DE       3.02,5.03,9.01       04/20/11

VORNADO REALTY TRUST                    MD       5.03,8.01,9.01       04/20/11

WaferGen Bio-systems, Inc.                       4.01,9.01            04/15/11

Walter Energy, Inc.                     DE       2.02,9.01            04/20/11

Walter Energy, Inc.                     DE       5.07                 04/20/11

WATSCO INC                              FL       2.02,7.01,9.01       04/21/11

Weatherford International Ltd./Switze   V8       2.02,7.01,9.01       04/21/11

WEIS MARKETS INC                        PA       9.01                 04/21/11

WERNER ENTERPRISES INC                  NE       2.02,9.01            04/20/11

WESCO INTERNATIONAL INC                          2.02,7.01,9.01       04/21/11

WESTELL TECHNOLOGIES INC                DE       2.01,2.02,9.01       04/15/11

WHITNEY HOLDING CORP                    LA       2.02,9.01            03/31/11

WHITNEY HOLDING CORP                    LA       8.01                 04/21/11

WOLVERINE WORLD WIDE INC /DE/           MI       5.07                 04/21/11

XEROX CORP                              NY       2.02,9.01            04/21/11

YOUNG INNOVATIONS INC                   MO       2.02,9.01            04/20/11

YUM BRANDS INC                          NC       2.02,9.01            04/20/11

Z3 ENTERPRISES, INC.                    NV       1.01,2.01,2.03,3.02, 04/18/11
                                                 9.01
          
ZION OIL & GAS INC                      DE       5.02,9.01            04/15/11

http://www.sec.gov/news/digest/2011/dig042211.htm

SEC News Digest