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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-85
May 3, 2011

Commission announcements

Securities and Exchange Commission Suspends Trading in the Securities of Seven Issuers for Failure to Make Required Periodic Filings

The 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.

  • Advanced Refractive Technologies, Inc. (ARFR)
  • Bluebook International Holding Co. (The) (BBKH)
  • CBCom, Inc. (CBCI)
  • Gener8xion Entertainment, Inc. (GNXE)
  • Group Long Distance Inc. (GLDI)
  • HiEnergy Technologies, Inc. (HIET)
  • Holter Technologies Holding, A.G. (n/k/a International Consortium Corp.) (ICSM)

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 proceedings

In the Matter of Lawrence R. Goldfarb

On 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 Filings

In 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:

  • Advanced Refractive Technologies, Inc. (ARFR)
  • Bluebook International Holding Co. (The) (BBKH)
  • CBCom, Inc. (CBCI)
  • Gener8xion Entertainment, Inc. (GNXE)
  • Group Long Distance Inc. (GLDI)
  • HiEnergy Technologies, Inc. (HIET)
  • Holter Technologies Holding, A.G. (n/k/a International Consortium Corp.) (ICSM)
  • Inchorus Com (a/k/a Inchorus.Com, Inc., n/k/a WorldSource, Inc.) (WDSC)

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 Automation

Today, 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 Commission

Pursuant 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 organizations

Immediate Effectiveness of Proposed Rule Change

A 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 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-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 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

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


Modified: 05/03/2011