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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Seven Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on May 3, 2011, and terminating at 11:59 p.m. EDT on May 16, 2011.
The Commission temporarily suspended trading in the securities of these seven issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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 communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64378) Enforcement proceedingsIn the Matter of Lawrence R. GoldfarbOn May 2, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Lawrence R. Goldfarb. The Order finds that on March 16, 2011, a final judgment was entered by consent against Goldfarb permanently enjoining him from future violations of Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, in the civil action titled Securities and Exchange Commission v. Lawrence R. Goldfarb and Baystar Capital Management, LLC, CV-11-0938 WHA, in the United States District Court for the Northern District of California. The Commission’s complaint in that action alleges that from 2006 to August 2010, Goldfarb employed a device, scheme, or artifice to defraud by failing to disclose and distribute to investors the proceeds from a profitable side pocket investment. It further alleges that rather than return the proceeds to investors, Goldfarb instead used the funds to make new investments by way of other entities in which he had a significant interest. Based on the above, the Order bars Goldfarb from association with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in any offering of penny stock, with the right to reapply for association after 5 years to the appropriate self-regulatory organization, or if there is none, to the Commission. Goldfarb consented to the issuance of the Order without admitting or denying any of the findings in the Order, except that he admitted the entry of the injunction. (Rels. 34-64377; IA-3192; File No. 3-14362) Commission Orders Hearings on Registration Suspension or Revocation Against Eight Companies for Failure to Make Required Periodic FilingsIn conjunction with today’s trading suspension, the Commission also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of eight companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the eight issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64379; File No. 3-14363) SEC Brings Settled FCPA Action Against Rockwell AutomationToday, the Commission entered an Order against Rockwell Automation, Inc. (Rockwell) arising out of violations of the FCPA through a former subsidiary in China, Rockwell Automation Power Systems (Shanghai) Ltd. (RAPS-China). As described in the Commission’s Order, from 2003 to 2006, certain employees of RAPS-China paid approximately $615,000 to Design Institutes, which were typically state-owned enterprises that provided design engineering and technical integration services that can influence contract awards by end-user state-owned customers. The payments were made through third-party intermediaries at the request of Design Institute employees and at the direction of RAPS-China’s Marketing and Sales Director. RAPS-China’s Marketing and Sales Director intended that these funds be paid directly to the Design Institute employees, with the expectation that they would influence the ultimate state-owned customers to purchase RAPS products. Rockwell realized approximately $1.7 million in net profits on sales contracts with end-user Chinese government-owned companies that were associated with payments to the Design Institutes. During the same period, employees of RAPS-China paid approximately $450,000 to fund sightseeing and other non-business trips for employees of Design Institutes and other state-owned companies. As further described in the Commission’s Order, Rockwell voluntarily self-reported the Design Institute payments, provided relevant facts from its internal investigation and otherwise cooperated with the Commission staff’s investigation, and undertook numerous remedial measures. Rockwell, without admitting or denying any of the findings in the Order except as to the jurisdiction of the Commission over it, consented to the entry of the Order which orders it to pay disgorgement of $1,771,000, prejudgment interest of $590,091 and a civil money penalty of $400,000, and orders it to cease and desist from committing or causing any violations and any future violations of Sections 13(b)(2)(A) and 13(b)(2)(B) of the Exchange Act. In the Matter of Rockwell Automation, Inc., Administrative Proceeding File No. 3-14364, Securities Exchange Act of 1934 Rel. No. 64380, Accounting and Auditing Enforcement Rel. No.3274. (Rel. 34-64380; AAE Rel. 3274; File No. 3-14364) Aron R. Carr, CPA Reinstated to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed With the CommissionPursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Aron R. Carr, CPA has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant responsible for the preparation or review of financial statements required to be filed with the Commission. Mr. Carr was suspended from appearing or practicing before the Commission as an accountant on March 30, 2006. His reinstatement is effective immediately. (Rel. 34-64382; AAE Rel. 3275; File No. 3-12251) SEC Halts Ponzi Scheme by Co-Founder of China Voice Holding Corp.On April 28, 2011, the Securities and Exchange Commission obtained an emergency court order freezing the assets of China Voice Holding Corp., its co-founder David Ronald, and several others. The SEC alleges that Allen and two associates are operating an $8.6 million Ponzi scheme and misusing its proceeds, in part, to help fund the company’s operations. In addition to the Ponzi scheme, the SEC’s complaint filed in U.S. District Court for the Northern District of Texas (Dallas Division) charges China Voice, its former chairman and CEO William F. Burbank IV, and Allen, for a series of fraudulent company statements about its financial condition and business prospects. Among other things, the SEC alleges that China Voice greatly overstated the value of certain business relationships and misled investors by failing to disclose significant loans from related parties needed to fund its operations. The SEC’s complaint also charges two China Voice shareholders, Gerald Patera and Ilya Drapkin, for helping Allen finance stock promotion campaigns to pump up the company’s stock price. These campaigns included a blast fax campaign orchestrated by Robert Wilson, who also is charged in the SEC’s complaint. The SEC’s complaint charges Allen, Dowlatshahi, Mills, and various related companies with violations of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933, and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The SEC’s complaint also charges Burbank, Patera, Drapkin, and Wilson with violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder for their roles in the scheme. [SEC v. David Ronald Allen, et al., Civil Action No. 3:11-cv-00882 (NDTX, Dallas Division)] (LR-21953) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by BATS Exchange (SR-BATS-2011-013) to extend the trading hours of BATS Options for certain products 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 May 2. (Rel. 34-64376) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-3 DynaVox Inc., 2100 WHARTON STREET, SUITE 400, PITTSBURGH, PA, 15203,
(412) 381-4883 - 0 ($104,712,438.00) Equity, (File 333-173823 - May. 2)
(BR. 03C)
S-4 Aviv Healthcare Properties L.P., 303 WEST MADISON STREET, SUITE 2400,
CHICAGO, IL, 60606, (312) 855-0930 -
0 ($300,000,000.00) Non-Convertible Debt, (File 333-173824 - May. 2)
(BR. )
S-3 LUCAS ENERGY, INC., 3555 TIMMONS LANE, SUITE 1550, HOUSTON, TX, 77027,
713-528-1881 - 4,230,589 ($14,257,085.00) Equity, (File 333-173825 -
May. 2) (BR. 04B)
S-1 WHITEGLOVE HOUSE CALL HEALTH INC, 5300 BEE CAVE ROAD,
BUILDING 1, SUITE 100, AUSTIN, TX, 78746, 512-329-8081 -
0 ($31,625,000.00) Equity, (File 333-173827 - May. 2) (BR. )
S-3ASR PENTAIR INC, 5500 WAYZATA BLVD., SUITE 800, GOLDEN VALLEY, MN, 55416,
763-545-1730 - 0 ($0.00) Other, (File 333-173829 - May. 2) (BR. 10C)
S-8 CARPENTER TECHNOLOGY CORP, 2 MERIDIAN BOULEVARD, WYOMISSING, PA, 19612,
6102082000 - 0 ($4,495,000.00) Equity, (File 333-173830 - May. 2)
(BR. 06B)
S-8 HUNTINGTON BANCSHARES INC/MD, HUNTINGTON CTR, 41 S HIGH ST HC0632,
COLUMBUS, OH, 43287, 6144808300 - 0 ($3,352,500.00) Equity,
(File 333-173831 - May. 2) (BR. 07C)
S-8 INTRICON CORP, 1260 RED FOX ROAD, ARDEN HILLS, MN, 55112, 6516369770 -
100,000 ($470,000.00) Equity, (File 333-173837 - May. 2) (BR. 10B)
F-1 ALTO PALERMO SA APSA, HIPOLITO YRIGOYEN 476 PISO 2, 54-11-4344-4600,
BUENOS AIRES ARGENTI, C1, 00000, 54-11-43-44-4600 -
0 ($500,000,000.00) Equity, (File 333-173838 - May. 2) (BR. 08B)
S-1 MABCURE INC., DE SCHIERVELLAAN 3/B1, 3500 HASSELT, C9, 00000,
011-32-48-742-5303 - 10,317,280 ($2,579,320.00) Equity,
(File 333-173840 - May. 2) (BR. 01B)
S-1 ESCO Corp, 2141 NW 25TH AVENUE, PORTLAND, OR, 97210, 503-228-2141 -
0 ($175,000,000.00) Equity, (File 333-173841 - May. 2) (BR. )
S-8 Atlas Capital Holdings, Inc., 1511 DODD ROAD, WINTER PARK, FL, 32792,
407-529-7144 - 0 ($12,500,000.00) Equity, (File 333-173845 - May. 2)
(BR. 08C)
S-1 MACE SECURITY INTERNATIONAL INC, 1000 CROWFORD PLACE, SUITE 400,
MOUNT LAUREL, NJ, 08054, 8567782300 - 0 ($10,000,000.00) Equity,
(File 333-173848 - May. 2) (BR. 06B)
N-2 Miller/Howard Fund, 324 UPPER BYRDCLIFFE ROAD, WOODSTOCK, NY, 12498,
845-679-9166 - 0 ($750,000.00) Equity, (File 333-173849 - May. 2)
(BR. 16)
S-3 Terreno Realty Corp, 16 MAIDEN LANE, FIFTH FLOOR, SAN FRANCISCO, CA,
94108, (415) 655-4580 - 0 ($250,000,000.00) Other, (File 333-173850 -
May. 2) (BR. 08A)
S-8 U.S. Auto Parts Network, Inc., 17150 SOUTH MARGAY AVENUE, CARSON, CA,
90746, (310) 715-6666 - 0 ($11,677,500.00) Equity, (File 333-173851 -
May. 2) (BR. 02B)
S-8 SAIA INC, 11465 JOHNS CREEK PARKWAY, STE 400, JOHNS CREEK, 2Q, 30097,
7702325067 - 0 ($9,162,000.00) Equity, (File 333-173852 - May. 2)
(BR. 05B)
S-3 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 0 ($44,618,657.41) Equity, (File 333-173853 - May. 2)
(BR. 09B)
S-8 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 0 ($34,643,500.00) Equity, (File 333-173854 - May. 2)
(BR. 09B)
S-3 NeoStem, Inc., 420 LEXINGTON AVENUE, SUITE 450, NEW YORK, NY, 10170,
212-584-4171 - 0 ($75,000,000.00) Equity, (File 333-173855 - May. 2)
(BR. 09B)
S-3 U.S. Auto Parts Network, Inc., 17150 SOUTH MARGAY AVENUE, CARSON, CA,
90746, (310) 715-6666 - 0 ($200,000,000.00) Equity, (File 333-173856 -
May. 2) (BR. 02B)
S-4 UNITED THERAPEUTICS Corp, 1040 SPRING ST, SILVER SPRING, MD, 20910,
3016089292 - 0 ($50,000,000.00) Equity, (File 333-173857 - May. 2)
(BR. 01C)
S-8 UNITED THERAPEUTICS Corp, 1040 SPRING ST, SILVER SPRING, MD, 20910,
3016089292 - 0 ($139,270,000.00) Other, (File 333-173858 - May. 2)
(BR. 01C)
S-8 FEDERATED INVESTORS INC /PA/, FEDERATED INVESTORS TOWER,
5800 CORPORATE DR, PITTSBURGH, PA, 15222, 4122888141 -
3,500,000 ($90,842,500.00) Equity, (File 333-173859 - May. 2) (BR. 06C)
S-1 DOUGLAS DYNAMICS, INC, 7777 NORTH 73RD ST, MILWAUKEE, WI, 53233,
414-362-3940 - 0 ($87,026,250.00) Equity, (File 333-173860 - May. 2)
(BR. 10A)
S-1 American Energy Fields, Inc., 3266 W. GALVESTON DRIVE #101,
APACHE JUNCTION, AZ, 85120, 480-288-6530 -
72,281,526 ($40,477,654.60) Equity, (File 333-173861 - May. 2) (BR. 04B)
S-8 SYNTA PHARMACEUTICALS CORP, 45 HARTWELL AVE, LEXINGTON, MA, 02421,
781-274-8200 - 0 ($15,010,388.24) Equity, (File 333-173862 - May. 2)
(BR. 01C)
S-3 MAJESCO ENTERTAINMENT CO, 160 RARITAN CENTER PARKWAY, SUITE 1, EDISON,
NJ, 08837, 7328727490 - 0 ($30,000,000.00) Equity, (File 333-173863 -
May. 2) (BR. 03C)
S-3D CNL LIFESTYLE PROPERTIES INC, CNL CENTER AT CITY COMMONS,
450 S ORANGE AVENUE, ORLANDO, FL, 32801, 4076501000 -
0 ($250,000,000.00) Equity, (File 333-173864 - May. 2) (BR. 08A)
S-8 ENERGY XXI (BERMUDA) LTD, CANONS COURT,
22 VICTORIA STREET PO BX HM 1179, HAMILTON, D0, 00000, 713 351 3003 -
1,000,000 ($36,250,000.00) Equity, (File 333-173865 - May. 2) (BR. 04B)
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
4NET SOFTWARE INC DE 8.01,9.01 04/29/11
Abingdon Futures Fund LP NY 1.01,9.01 04/29/11
ABINGTON BANCORP, INC./PA 2.02,9.01 04/29/11
ACE MARKETING & PROMOTIONS INC NY 5.02,7.01,9.01 04/29/11
ACNB CORP PA 2.02,9.01 05/02/11
ACTIVANT SOLUTIONS INC /DE/ DE 7.01,9.01 05/02/11
ACURA PHARMACEUTICALS, INC NY 5.02,8.01,9.01 04/28/11
ADVANCED ANALOGIC TECHNOLOGIES INC DE 2.02,9.01 05/02/11
AEP INDUSTRIES INC DE 8.01 05/02/11
AIRTRAN HOLDINGS INC NV 1.01,3.01,3.03,5.01, 05/02/11
5.02,5.03,9.01
Alarion Financial Services Inc 5.07 04/27/11
Alberto-Culver CO DE 2.02,9.01 05/02/11
ALIGN TECHNOLOGY INC DE 2.01,9.01 04/29/11
ALNYLAM PHARMACEUTICALS, INC. 2.02,5.02,9.01 04/30/11
ALTAIR NANOTECHNOLOGIES INC 1.01,2.03,9.01 04/27/11
AMARIN CORP PLC\UK X0 5.02 04/29/11
AMEDISYS INC DE 7.01,9.01 04/29/11
AMERICAN ELECTRIC POWER CO INC NY 5.02 05/01/11
American Energy Fields, Inc. DE 1.01,3.02,9.01 03/04/11 AMEND
AMERICAN REALTY INVESTORS INC NV 8.01,9.01 04/30/11
AMERICAN SIERRA GOLD CORP. NV 4.01 02/10/11 AMEND
AMERICAS ENERGY Co - AECO NV 1.01,2.03,3.02,8.01, 04/27/11
9.01
AMERIGAS PARTNERS LP DE 2.02,9.01 05/02/11
AMERISAFE INC TX 2.02,9.01 05/02/11
AMREP CORP. OK 2.03,9.01 05/02/11
AMYRIS, INC. DE 5.02 04/28/11
ANADARKO PETROLEUM CORP DE 2.02,9.01 05/02/11
Animal Health International, Inc. DE 1.01,9.01 01/01/11 AMEND
ANTS SOFTWARE INC DE 5.02 04/29/11
APOGEE ENTERPRISES, INC. MN 5.02,9.01 04/26/11
APOLLO GROUP INC AZ 8.01 05/02/11
APRICUS BIOSCIENCES, INC. NV 5.02 04/27/11
Arcland Energy Corp UT 4.01,9.01 04/12/11 AMEND
ARETE INDUSTRIES INC CO 3.02,8.01,9.01 05/02/11
Argo Group International Holdings, Lt 2.02,9.01 05/02/11
ARIAD PHARMACEUTICALS INC DE 5.02,9.01 04/28/11
ARMSTRONG WORLD INDUSTRIES INC PA 2.02,7.01,9.01 05/02/11
ARRAY BIOPHARMA INC DE 2.02,9.01 05/02/11
ARTHROCARE CORP DE 2.02,9.01 05/02/11
ASSURANCEAMERICA CORP NV 5.07 04/29/11
ASTEC INDUSTRIES INC TN 5.07 04/28/11
ASTROTECH Corp \WA\ WA 2.02,9.01 05/02/11
Athens Bancshares Corp 2.02,9.01 04/29/11
Atlantic Green Power Holding Co DE 1.01,9.01 04/26/11
ATWOOD OCEANICS INC TX 7.01,9.01 05/02/11
AUBURN NATIONAL BANCORPORATION INC DE 2.02,9.01 04/29/11
AUTHENTIDATE HOLDING CORP DE 8.01,9.01 04/28/11
AUTOMATIC DATA PROCESSING INC DE 2.02,9.01 05/02/11
AVENTINE RENEWABLE ENERGY HOLDINGS IN DE 7.01 04/29/11
Axius Inc. NV 3.02,9.01 04/28/11
Bacterin International Holdings, Inc. DE 7.01,9.01 05/02/11
BANK OF AMERICA CORP /DE/ DE 9.01 04/28/11
BANK OF THE JAMES FINANCIAL GROUP INC VA 2.02,9.01 04/30/11
BANK OF THE OZARKS INC AR 7.01,9.01 04/29/11
BARNES & NOBLE INC DE 1.01,2.03,9.01 04/29/11
BCSB Bancorp Inc. 2.02,9.01 04/29/11
BERKSHIRE HATHAWAY INC DE 2.02,7.01,9.01 04/30/11
BIO RAD LABORATORIES INC DE 5.07 04/26/11
BioScrip, Inc. DE 1.01,5.02 05/02/11
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 05/02/11
Boardwalk Pipeline Partners, LP DE 2.02,5.02,7.01,9.01 04/28/11
BOISE INC. DE 2.02,9.01 05/02/11
BOK FINANCIAL CORP ET AL OK 5.07 04/26/11
BORGWARNER INC DE 5.07 05/02/11
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 5.02,5.07,9.01 04/27/11
C&D TECHNOLOGIES INC DE 2.02,9.01 05/02/11
CAI International, Inc. 5.02,8.01,9.01 04/14/11
CALAVO GROWERS INC CA 5.07 04/27/11
CALIPER LIFE SCIENCES INC DE 2.02,9.01 05/02/11
CAPITAL CITY BANK GROUP INC FL 5.02,5.07 04/26/11
CAPITALSOURCE INC DE 5.02,5.07 04/26/11
CARDINAL BANKSHARES CORP VA 8.01,9.01 04/27/11
CAROLINA BANK HOLDINGS INC NC 2.02,9.01 05/02/11
CASUAL MALE RETAIL GROUP INC DE 5.02 04/27/11
CDW Corp DE 2.02,9.01 05/02/11
Celera CORP DE 8.01 05/02/11
CELL THERAPEUTICS INC WA 7.01,9.01 05/02/11
CELL THERAPEUTICS INC WA 1.01,3.03,5.03,7.01, 04/27/11
9.01
CenterState Banks, Inc. FL 5.07 04/28/11
CENTRA FINANCIAL HOLDINGS INC WV 8.01,9.01 04/29/11
CEPHALON INC DE 1.01,3.03,9.01 05/01/11
CERADYNE INC DE 7.01,9.01 04/28/11
CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 05/02/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 8.01,9.01 04/26/11
China Integrated Energy, Inc. DE 4.01,4.02,9.01 04/26/11
China Pharmaceuticals Inc NV 2.02,9.01 04/29/11
China Sure Water (USA) Inc. NY 5.03,9.01 04/26/11
Chrysler Group LLC DE 7.01,9.01 05/02/11
Chrysler Group LLC DE 2.02,9.01 05/02/11
CIGNA CORP DE 5.07 04/27/11
CLEAN HARBORS INC MA 1.02 04/26/11
CLEAR-LITE HOLDINGS, INC. NV 5.02,9.01 04/27/11
CMS Bancorp, Inc. DE 5.02 05/02/11
CNA FINANCIAL CORP DE 2.02,9.01 05/02/11
CNO Financial Group, Inc. DE 2.02,9.01 05/02/11
COGNEX CORP MA 2.02,9.01 05/02/11
Cogo Group, Inc. MD 8.01,9.01 05/02/11
COMERICA INC /NEW/ 5.02,5.07,9.01 04/26/11
COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 04/29/11
COMMUNITY HEALTH SYSTEMS INC DE 8.01,9.01 05/02/11
COMSCORE, INC. DE 2.02,5.02,9.01 04/28/11
COMSTOCK RESOURCES INC NV 2.02,9.01 03/31/11
COMVERSE TECHNOLOGY INC/NY/ NY 1.01,1.02,2.03,9.01 04/29/11
CONVERGYS CORP OH 3.03,5.07,9.01 04/27/11
CORELOGIC, INC. DE 1.01 04/26/11
CORN PRODUCTS INTERNATIONAL INC DE 2.02,7.01,9.01 05/02/11
COWEN GROUP, INC. 5.02,8.01,9.01 04/27/11
CREDIT ACCEPTANCE CORP MI 2.02,9.01 05/02/11
Crestwood Midstream Partners LP DE 1.01,8.01,9.01 04/29/11
CROSS A T CO RI 5.07,8.01,9.01 04/28/11
CROWN HOLDINGS INC PA 5.07 04/28/11
CUTERA INC DE 2.02,9.01 05/02/11
Daulton Capital Corp. NV 1.02,9.01 04/29/11
DAYSTAR TECHNOLOGIES INC DE 1.01,2.03,3.02,9.01 04/26/11
DCP Holding CO OH 5.07 04/27/11
DENDREON CORP DE 2.02,9.01 05/02/11
DEVRY INC DE 5.02,7.01,9.01 05/02/11
DEX ONE Corp DE 2.02,7.01,9.01 05/02/11
DIAMOND HILL INVESTMENT GROUP INC OH 8.01 05/02/11
DISH Network CORP NV 8.01,9.01 05/02/11
DUCOMMUN INC /DE/ DE 2.02,9.01 05/02/11
EAGLE FINANCIAL SERVICES INC VA 2.02,8.01,9.01 04/27/11
EATON CORP OH 5.02,5.07,9.01 04/27/11
Eco-Trade Corp DE 4.01 04/25/10
ECOLOCAP SOLUTIONS INC. NV 7.01,9.01 05/02/11
EDISON INTERNATIONAL CA 2.02,7.01,9.01 05/02/11
EDUCATION MANAGEMENT CORPORATION 8.01 05/02/11
ELECTRONIC SYSTEMS TECHNOLOGY INC WA 8.01,9.01 05/02/11
ELOYALTY CORP DE 1.01,5.02 04/26/11
END FUEL CORP FL 3.02 04/30/11
ENDURANCE SPECIALTY HOLDINGS LTD 2.02,9.01 05/02/11
Energy Transfer Partners, L.P. DE 1.01,2.01,7.01,9.01 05/02/11
ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 03/31/11
ENERGY XXI (BERMUDA) LTD D0 8.01,9.01 05/02/11
Ensco plc 1.01,2.03 04/26/11
ENTERTAINMENT PROPERTIES TRUST MD 2.02,9.01 05/02/11
EPICOR SOFTWARE CORP DE 8.01,9.01 05/02/11
ERESEARCHTECHNOLOGY INC /DE/ DE 2.02,5.02,5.07,9.01 04/28/11
ExlService Holdings, Inc. DE 1.01,2.02,5.03,8.01, 04/27/11
9.01
EXPRESS SCRIPTS INC DE 1.01,2.03,7.01,9.01 04/27/11
FBR CAPITAL MARKETS CORP VA 5.02 04/26/11
FEDERAL SIGNAL CORP /DE/ DE 5.07 04/26/11
FedFirst Financial Corp 2.02,9.01 04/29/11
FENTURA FINANCIAL INC MI 5.02,5.07,9.01 04/26/11
FIRST ASIA HOLDINGS Ltd A6 3.02 04/29/11
First Bancorp, Inc /ME/ ME 5.03 04/27/11
FIRST CENTURY BANKSHARES INC WV 2.02,9.01 05/02/11
FIRST DEFIANCE FINANCIAL CORP OH 5.07 04/26/11
First Federal of Northern Michigan Ba 2.02,9.01 04/26/11
FIRST HORIZON NATIONAL CORP TN 5.02,9.01 04/27/11
FIRST INDUSTRIAL REALTY TRUST INC MD 7.01,9.01 05/02/11
FIRST PACTRUST BANCORP INC MD 5.02,9.01 05/02/11
FIRST PULASKI NATIONAL CORP TN 5.07 04/28/11
FIRSTENERGY CORP OH 2.02,9.01 05/02/11
FOREST OIL CORP NY 1.01,9.01 04/29/11
FOREST OIL CORP NY 2.02,9.01 05/02/11
FOREVERGREEN WORLDWIDE CORP NV 4.01,4.02,9.01 04/26/11
FOSTER L B CO PA 2.02,9.01 05/02/11
FRONTIER OIL CORP /NEW/ WY 5.07 04/27/11
FS Investment CORP MD 2.02,9.01 04/29/11
FULL HOUSE RESORTS INC DE 5.07 04/26/11
FURNITURE BRANDS INTERNATIONAL INC DE 1.01,2.03,9.01 04/27/11
GENERAL ELECTRIC CO NY 5.07 04/27/11
General Growth Properties, Inc. DE 5.07 04/27/11
General Moly, Inc DE 2.02,9.01 05/02/11
GENESIS GROUP HOLDINGS INC 1.01 04/28/11
GLADSTONE COMMERCIAL CORP MD 2.02,9.01 05/02/11
Global Cash Access Holdings, Inc. DE 5.07 04/28/11
GLOBAL GOLD CORP DE 1.01,8.01,9.01 04/27/11
Global Resource Energy Inc. NV 3.02,5.01,5.02,8.01 04/25/11
GLOWPOINT INC DE 1.01,9.01 04/28/11
GOLDMAN SACHS GROUP INC DE 9.01 05/02/11
GREEN EQUITY HOLDINGS, INC. NV 5.02,9.01 04/29/11
GREENE COUNTY BANCORP INC DE 2.02,9.01 04/27/11
GREENLIGHT CAPITAL RE, LTD. 2.02,5.02,5.07,9.01 04/27/11
GRIFFIN LAND & NURSERIES INC DE 1.01,2.03,9.01 04/28/11
GULF RESOURCES, INC. DE 8.01,9.01 05/02/11
HAEMONETICS CORP MA 2.02,9.01 04/02/11
HAMPTON ROADS BANKSHARES INC VA 5.03,8.01,9.01 04/26/11
HARLEYSVILLE GROUP INC DE 5.07 04/27/11
HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 05/02/11
HCC INSURANCE HOLDINGS INC/DE/ DE 1.01,5.02,9.01 04/27/11
HCP, INC. MD 5.02,5.07 04/28/11
HEADWATERS INC DE 2.06,9.01 04/29/11
HealthWarehouse.com, Inc. DE 2.02,9.01 02/14/11 AMEND
HERBALIFE LTD. E9 2.02,8.01,9.01 05/02/11
HERITAGE COMMERCE CORP CA 2.02,9.01 03/31/11
HERTZ CORP DE 2.02,9.01 04/27/11
HERTZ GLOBAL HOLDINGS INC 2.02,9.01 04/27/11
HICKORY TECH CORP MN 2.02,7.01,9.01 05/02/11
HOLOGIC INC DE 2.02,9.01 05/02/11
Home Federal Bancorp, Inc. MD 2.02,9.01 04/29/11
HomeTown Bankshares Corp 2.02,9.01 04/29/11
HOST HOTELS & RESORTS, INC. MD 8.01,9.01 05/02/11
HUMANA INC DE 2.02,7.01,9.01 05/02/11
HUMANA INC DE 2.02,7.01,9.01 05/02/11
HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 04/30/11
IKONICS CORP 5.07 04/28/11
IMAGENETIX INC /NV/ NV 5.02 04/26/11
IMAGEWARE SYSTEMS INC DE 7.01,8.01,9.01 05/02/11
INCOME OPPORTUNITY REALTY INVESTORS I NV 8.01,9.01 04/30/11
Incoming, Inc. NV 2.01,3.02 08/18/10 AMEND
INDEPENDENT BANK CORP /MI/ MI 2.02,9.01 05/02/11
INGRAM MICRO INC DE 1.01,2.03,9.01 04/28/11
Innophos Holdings, Inc. 8.01,9.01 05/02/11
INSPERITY, INC. DE 2.02,9.01 05/02/11
INSWEB CORP 1.01,2.02,7.01,9.01 05/02/11
INTEGRA BANK CORP IN 5.02 04/28/11
INTERCONTINENTALEXCHANGE INC 8.01,9.01 05/02/11
INTERNATIONAL RECTIFIER CORP /DE/ DE 2.02,9.01 05/02/11
INTEVAC INC CA 2.02,9.01 05/02/11
INVISA INC NV 5.02,9.01 04/19/11 AMEND
IPAYMENT INC DE 7.01,8.01,9.01 04/29/11
ISABELLA BANK CORP MI 2.02,9.01 04/28/11
JACKSON HEWITT TAX SERVICE INC DE 1.01 04/29/11 AMEND
Jayhawk Energy, Inc. CO 5.02 04/13/11
JBI, INC. NV 1.01,9.01 05/02/11
JEFFERSON BANCSHARES INC TN 2.02,9.01 04/28/11
JOHNSON & JOHNSON NJ 1.01,9.01 04/26/11
JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01,9.01 04/29/11
K-SEA TRANSPORTATION PARTNERS LP DE 2.02,9.01 05/02/11
KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 05/02/11
KERYX BIOPHARMACEUTICALS INC DE 2.02,8.01,9.01 04/28/11
KINGOLD JEWELRY, INC. DE 8.01,9.01 05/02/11
KINGS ROAD ENTERTAINMENT INC DE 1.01,3.02,5.01,5.03, 04/26/11
9.01
KKR Financial Holdings LLC DE 2.02,8.01,9.01 05/02/11
LACROSSE FOOTWEAR INC WI 5.07 04/29/11
Lake Victoria Mining Company, Inc. NV 1.01,7.01,9.01 04/26/11
LEAPFROG ENTERPRISES INC 2.02,9.01 05/02/11
LEE ENTERPRISES, INC DE 2.02,9.01 05/02/11
LEE ENTERPRISES, INC DE 8.01,9.01 05/02/11
LIBERTY MEDIA CORP 8.01,9.01 04/29/11
Limelight Networks, Inc. DE 8.01,9.01 05/02/11
LINN ENERGY, LLC DE 5.07 05/02/11
LITHIUM TECHNOLOGY CORP DE 5.02,9.01 04/26/11
LIVEPERSON INC DE 2.02,9.01 05/02/11
LOCAL.COM DE 2.02,5.02,9.01 04/27/11
LOEWS CORP DE 2.02,9.01 03/31/11
LOUISIANA BANCORP INC LA 2.02,8.01,9.01 05/02/11
LYDALL INC /DE/ DE 2.02,9.01 05/02/11
LyondellBasell Industries N.V. P7 2.02,7.01,9.01 05/02/11
Majestic Capital, Ltd. 1.03,9.01 04/29/11
Manhattan Bancorp CA 2.02,5.02,9.01 04/28/11
MARSHALL EDWARDS INC DE 1.01,3.02,5.07,8.01, 05/02/11
9.01
McCormick & Schmicks Seafood Restaura 2.02,8.01,9.01 05/02/11
McCormick & Schmicks Seafood Restaura 8.01,9.01 05/02/11
MEDALLION FINANCIAL CORP DE 5.02,8.01 04/28/11
MEDIA GENERAL INC VA 5.02,5.07,9.01 04/28/11
MEDICAL PROPERTIES TRUST INC 1.01,2.03,9.01 04/26/11
MELA SCIENCES, INC. /NY 5.07 04/29/11
MERCURY GENERAL CORP CA 2.02,5.02,9.01 04/29/11
METROPCS COMMUNICATIONS INC DE 8.01,9.01 05/02/11
MID AMERICA APARTMENT COMMUNITIES INC TN 7.01,9.01 05/02/11
MITEL NETWORKS CORP 5.02,7.01,9.01 05/02/11
MOLINA HEALTHCARE INC DE 5.07,9.01 04/27/11
MONTPELIER RE HOLDINGS LTD 2.01,7.01,9.01 05/02/11
MOOG INC NY 2.02 05/02/11
Morgans Hotel Group Co. DE 2.02,9.01 05/02/11
MOSAIC CO DE 8.01 05/02/11
Motorola Solutions, Inc. DE 2.01,7.01,9.01 04/29/11
MVC CAPITAL, INC. DE 8.01 04/30/11
MYERS INDUSTRIES INC OH 5.07,8.01,9.01 04/29/11
NASDAQ OMX GROUP, INC. DE 8.01,9.01 05/02/11
National CineMedia, Inc. DE 5.02,5.03,5.07,9.01 04/26/11
NATIONAL FINANCIAL PARTNERS CORP 1.01,2.02,7.01,9.01 04/28/11
NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 04/29/11
NATIONAL TECHNICAL SYSTEMS INC /CA/ CA 2.02,9.01 05/02/11
NETLOGIC MICROSYSTEMS INC DE 2.02 03/31/11
NETSOL TECHNOLOGIES INC NV 2.02 05/02/11
NEUROLOGIX INC/DE DE 1.01,9.01 04/29/11
NEW FRONTIER ENERGY INC CO 1.01,9.01 05/02/11
NIC INC CO 2.02,7.01,9.01 05/02/11
NORTH EUROPEAN OIL ROYALTY TRUST DE 2.02,9.01 04/30/11
NORTHWEST INDIANA BANCORP IN 5.07 04/29/11
NORWOOD FINANCIAL CORP PA 8.01,9.01 05/02/11
NRG ENERGY, INC. DE 5.07 04/26/11
NYSE Euronext DE 5.07,9.01 04/28/11
OLD NATIONAL BANCORP /IN/ IN 2.02,9.01 05/02/11
OLD POINT FINANCIAL CORP VA 5.07 04/26/11
OMNICELL, Inc CA 2.02,9.01 05/02/11
ONEOK INC /NEW/ OK 7.01,9.01 04/28/11
Oraco Resources, Inc. NV 1.01 04/29/11
ORIENTAL FINANCIAL GROUP INC PR 2.02,9.01 04/29/11
ORIENTAL FINANCIAL GROUP INC PR 5.07 04/27/11
PAB BANKSHARES INC GA 1.03,9.01 04/29/11
PARK ELECTROCHEMICAL CORP NY 2.02,9.01 05/02/11
PARKER HANNIFIN CORP OH 5.02 04/26/11
PAXTON ENERGY INC NV 1.01,7.01,9.01 04/29/11
PEERLESS SYSTEMS CORP DE 2.02,9.01 05/02/11
PENFORD CORP WA 5.02 04/27/11
PENNSYLVANIA REAL ESTATE INVESTMENT T PA 2.02,9.01 04/27/11
PENTAIR INC MN 8.01,9.01 05/02/11
Peoples Federal Bancshares, Inc. MD 2.02,9.01 05/02/11
PEOPLES LIBERATION INC DE 1.02,2.01,9.01 04/26/11
PFF BANCORP INC DE 8.01,9.01 04/18/11
PNC FINANCIAL SERVICES GROUP INC PA 1.01,5.07 04/26/11
Porter Bancorp, Inc. KY 2.02,9.01 05/02/11
POWER INTEGRATIONS INC CA 2.02,9.01 05/02/11
PPL Corp 1.01,2.03,9.01 04/29/11
PROVIDENT COMMUNITY BANCSHARES, INC. 2.02,3.01,9.01 04/27/11
PROVIDENT FINANCIAL SERVICES INC DE 5.02,5.07,9.01 04/28/11
Public Storage MD 1.01,3.03,5.03,9.01 04/29/11
PUBLIX SUPER MARKETS INC FL 2.02,9.01 05/02/11
PURE BIOSCIENCE, INC. DE 1.01,5.02,9.01 04/28/11
QUESTCOR PHARMACEUTICALS INC CA 2.02,9.01 04/26/11
QUICKLOGIC CORPORATION CA 5.02 04/28/11
RALCORP HOLDINGS INC /MO MO 2.02,8.01,9.01 05/01/11
RAMCO GERSHENSON PROPERTIES TRUST MD 5.02,9.01 02/16/10 AMEND
Regency Energy Partners LP DE 1.01,2.01,3.02,7.01, 05/02/11
9.01
REGIS CORP MN 5.02 04/26/11
RENTECH INC /CO/ CO 8.01 05/02/11
REPROS THERAPEUTICS INC. DE 8.01,9.01 05/02/11
REPUBLIC AIRWAYS HOLDINGS INC DE 1.01,9.01 04/26/11
REPUBLIC FIRST BANCORP INC PA 2.02,9.01 04/29/11
RESOURCES CONNECTION INC DE 8.01,9.01 04/28/11
REVLON CONSUMER PRODUCTS CORP DE 7.01 05/02/11
REVLON INC /DE/ DE 7.01 05/02/11
Rockville Financial, Inc. /CT/ CT 5.07 04/26/11
ROGERS CORP MA 2.02,9.01 05/02/11
RUDOLPH TECHNOLOGIES INC DE 2.02,9.01 05/02/11
SAIA INC DE 5.07 04/26/11
SALESFORCE COM INC DE 1.01,3.02,9.01 05/02/11
SALISBURY BANCORP INC CT 2.02,8.01,9.01 05/02/11 AMEND
SARATOGA RESOURCES INC /TX TX 3.02,8.01,9.01 04/29/11
SAVIENT PHARMACEUTICALS INC DE 8.01 05/02/11
SBT Bancorp, Inc. CT 2.02,9.01 04/29/11
SCBT FINANCIAL CORP SC 5.07 04/26/11
SCHWEITZER MAUDUIT INTERNATIONAL INC DE 5.07 05/02/11
SemGroup Corp DE 5.02 04/26/11
Sensata Technologies B.V. P7 8.01,9.01 04/28/11
Sensata Technologies Holding N.V. P7 8.01,9.01 04/28/11
SERACARE LIFE SCIENCES INC 1.01,8.01,9.01 04/27/11
Shiner International, Inc. NV 1.01,9.01 05/02/11
Sino Clean Energy Inc NV 2.02,8.01,9.01 04/26/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 05/02/11
SMITH MICRO SOFTWARE INC DE 5.02 04/26/11
Solar Power, Inc. CA 5.02 05/02/11
SOLERA HOLDINGS, INC DE 8.01,9.01 04/29/11
SOLTA MEDICAL INC DE 5.02 02/11/11 AMEND
SOLUTIA INC DE 2.02,9.01 05/02/11
SOMERSET HILLS BANCORP NJ 5.07 04/27/11
SOUTH JERSEY INDUSTRIES INC NJ 5.03,5.07,9.01 04/28/11
SOUTH JERSEY INDUSTRIES INC NJ 7.01,9.01 05/02/11
Southeastern Bank Financial CORP GA 2.02,9.01 04/28/11
SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 05/02/11
SPECTRUM PHARMACEUTICALS INC DE 7.01,9.01 04/29/11
SRA INTERNATIONAL INC DE 8.01,9.01 05/02/11
STANDARD PARKING CORP DE 5.07 04/29/11
STANDARD REGISTER CO OH 5.07 04/28/11
Stereotaxis, Inc. DE 2.02,9.01 05/02/11
STEWART INFORMATION SERVICES CORP DE 8.01,9.01 04/29/11
SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 05/02/11
Summit Hotel Properties, Inc. MD 1.01,2.03,9.01 04/26/11
SUNPOWER CORP DE 1.01,3.03,9.01 04/28/11
SUSSEX BANCORP NJ 2.02,5.07,9.01 05/02/11
Sustainable Environmental Technologie CA 4.02 04/26/11
SYKES ENTERPRISES INC FL 2.02,9.01 05/02/11
SYMANTEC CORP DE 5.03,8.01,9.01 04/26/11
SYNALLOY CORP DE 5.07 05/02/11
Talecris Biotherapeutics Holdings Cor DE 8.01,9.01 04/29/11
TARGACEPT INC 8.01 05/02/11
TELEFLEX INC DE 5.02 04/26/11
TENET HEALTHCARE CORP NV 8.01,9.01 05/02/11
TERADATA CORP /DE/ 5.07 04/26/11
Terreno Realty Corp MD 8.01,9.01 05/02/11
Texas Roadhouse, Inc. DE 2.02,9.01 05/02/11
TGC INDUSTRIES INC TX 2.02,9.01 05/02/11
THERAVANCE INC DE 5.07 04/27/11
TIAA REAL ESTATE ACCOUNT NY 8.01 05/02/11
TIDEWATER INC DE 8.01 04/29/11
Timberline Resources Corp DE 7.01,9.01 04/20/11
TIVO INC DE 1.01,7.01,9.01 04/29/11
TNS INC 2.02,7.01,9.01 05/02/11
TOWER BANCORP INC PA 5.02,9.01 04/26/11
TRANS ENERGY INC NV 5.02 04/27/11
TRANSCONTINENTAL REALTY INVESTORS INC NV 8.01,9.01 04/30/11
TransDigm Group INC DE 5.07 03/03/11 AMEND
TREX CO INC DE 2.02,9.01 05/02/11
TRI CITY BANKSHARES CORP WI 2.02,9.01 05/02/11
TRUE RELIGION APPAREL INC DE 5.07 04/27/11
U.S. Auto Parts Network, Inc. DE 2.02,9.01 05/02/11
UDR, Inc. MD 2.02,9.01 05/02/11
UDR, Inc. MD 8.01,9.01 04/01/11
UGI CORP /PA/ PA 2.02,9.01 05/02/11
UGI UTILITIES INC PA 2.02,9.01 05/02/11
ULTRALIFE CORP DE 2.02,8.01,9.01 04/29/11
Uniontown Energy Inc. NV 1.01,3.02 03/23/11
UNISOURCE ENERGY CORP AZ 2.02,9.01 05/02/11
UNITED BANCORP INC /OH/ OH 2.02,9.01 04/29/11
UNITED BANCSHARES INC/OH OH 5.07 04/27/11
United Community Bancorp X1 2.02,9.01 04/29/11
UNITED FIRE & CASUALTY CO IA 2.02,9.01 05/02/11
UNITEDHEALTH GROUP INC MN 7.01 05/02/11
UNITY BANCORP INC /NJ/ NJ 5.07 04/28/11
USChina Channel Inc 5.03,9.01 04/25/11
Valeant Pharmaceuticals International A6 8.01,9.01 05/02/11
VALERO ENERGY CORP/TX DE 5.07 04/28/11
VERINT SYSTEMS INC DE 1.01,1.02,2.03,9.01 04/29/11
VIVUS INC CA 2.02,9.01 05/02/11
Vystar Corp GA 2.03,9.01 04/29/11
WALTER INVESTMENT MANAGEMENT CORP MD 1.01,9.01 05/02/11
WELLCARE HEALTH PLANS, INC. DE 1.01,2.03 04/26/11
WELLS REAL ESTATE FUND IX LP GA 7.01 05/02/11
WELLS REAL ESTATE FUND VIII LP GA 7.01,9.01 05/02/11
WELLS REAL ESTATE FUND X L P GA 7.01,9.01 05/02/11
WELLS REAL ESTATE FUND XI L P GA 7.01,9.01 05/02/11
WELLS REAL ESTATE FUND XII LP GA 7.01 05/02/11
WELLS REAL ESTATE FUND XIII L P 7.01,9.01 05/02/11
WELLS REAL ESTATE FUND XIV LP GA 7.01 05/02/11
WILSHIRE BANCORP INC 2.02,9.01 04/26/11
Woodward, Inc. DE 5.02 04/27/11
XFONE INC. NV 1.01,8.01,9.01 05/02/11
ZIPREALTY INC 2.02,9.01 05/02/11
ZUNICOM INC TX 4.01 04/27/11
http://www.sec.gov/news/digest/2011/dig050311.htm
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