SEC News Digest, May 4, 2011

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Commission announcements

Securities and Exchange Commission Suspends Trading in the Securities of Four 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 4, 2011 and terminating at 11:59 p.m. EDT on May 17, 2011.

Dijji Corp. (DJJI)
Hydro Environmental Resources, Inc. (n/k/a EXIM Internet Group, Inc.) (EXGN)
Hydrogen Power, Inc. (HYDP)
InsynQ, Inc. (INSQ)

The Commission temporarily suspended trading in the securities of these four 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. 34-64387)

SEC Seeks Public Comment on Short Sale Disclosure

The Securities and Exchange Commission today published on its website a request for public comment on the feasibility, benefits, and costs of two short selling disclosure regimes as a part of a study mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Section 417 of the Dodd-Frank Act directs the SEC’s Division of Risk, Strategy and Financial Innovation to study two short sale disclosure regimes. A transactions reporting regime would add short sale-related marks to the consolidated tape in a voluntary pilot program. A position reporting regime would entail real time reporting of investors’ short positions either to the public or to regulators only. The Commission is required to submit a report on the study to Congress by July 21, 2011.

To better inform the study, the request seeks public comment on both the existing uses of short selling in securities markets and the adequacy or inadequacy of the information regarding short sales available today. The request also seeks public comment on the likely effect of these possible future reporting regimes on the securities markets, including their feasibility, benefits, and costs.

The public comment period will remain open for 45 days following publication of the request in the Federal Register. (Press Rel. 2011-103)

Enforcement proceedings

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Seven Public Companies for Failure to Make Required Periodic Filings

On May 3, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of seven companies for failure to make required periodic filings with the Commission:

Columbia Futures Fund
Computer Power, Inc.
Concept Digital, Inc.
Connectivity Technologies, Inc.
Constellation 3D, Inc.
Construction Technology Industries, Inc.
Continuum Group A, Inc.

In this Order, the Division of Enforcement (Division) alleges that the seven 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 Administrative Law 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 Administrative Law 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. 34-64384; File No. 3-14366)

Securities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic Filings

On May 3, 2011, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:

Comedco, Inc.
Communications/USA, Inc.
Complete Wellness Centers, Inc.
Consolidated Resources Group, Inc.
Consolidated Stainless, Inc.
Conus Holdings, Inc.

In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission.

Commission Orders Hearings on Registration Suspension or Revocation Against Four 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 four companies for failure to make required periodic filings with the Commission:

Dijji Corp. (DJJI)
Hydro Environmental Resources, Inc. (n/k/a EXIM Internet Group, Inc.) (EXGN)
Hydrogen Power, Inc. (HYDP)
InsynQ, Inc. (INSQ)

In this Order, the Division of Enforcement (Division) alleges that the four 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. 34-64388; File No. 3-14367)

In the Matter of Dale J. Engelhardt

On May 4, 2011, an Administrative Law Judge issued an Order Making Findings and Imposing Sanctions by Default barring Dale J. Engelhardt (Engelhardt) from association with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent, in Dale J. Engelhardt, Admin. Proc. No. 3-14198. The Order Instituting Proceedings alleged that Engelhardt was a sales agent for Kensington Resources, Inc. (Kensington), and participated in an unregistered offering of American Environmental Energy, Inc. (AEEI), in which Kensington raised over $11 million from approximately two hundred investors nationwide. The OIP also alleged that Engelhardt received commissions for his sales of AEEI stock and was not registered with the Securities and Exchange Commission at the time of these sales.

Engelhardt was enjoined from violating Section 17(a) of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5 in SEC v. Environmental Energy, Inc., No. 2:98-cv-006060 (C.D. Cal. 1999). Engelhardt also consented to an order suspending him from association with any broker or dealer for twelve months in Christian R. Higgins, 70 SEC Docket 1116 (Aug. 18, 1999). Finally, Engelhardt was enjoined from violating Section 5 of the Securities Act and Section 15(a) of the Exchange Act, and from participating in an offering of penny stock, including engaging in activities with a broker, dealer, or issuer for purposes of issuing, trading, or inducing or attempting to induce the purchase or sale of any penny stock in SEC v. Porche, No. 8:10-cv-01165-DOC (C.D. Cal. 2010). (Rel. 34-64389; File No. 3-14198)

In the Matter of Paul N. Nicholson

On May 4, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions against Paul N. Nicholson (Nicholson).

The Order finds that the United States District Court for the Central District of California entered a judgment on April 12, 2011 against Nicholson, permanently enjoining him from future violations of Sections 5 and 17(a) of the Securities Act, Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder. Securities and Exchange Commission v. Paul N. Nicholson, et al., Civil Action Number 8:11-CV-00546-JVS-RNB (CDCA).

Based on the above, the Order bars Nicholson from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, or from participating in an offering of penny stock. Nicholson consented to the issuance of the Order without admitting or denying the findings therein, except he admitted the entry of the injunction. (Rel. 34-64396; File No. 3-14368)

In the Matter of Mark Zaino

On May 4, 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 against Mark Zaino, a former officer of UBS Financial Services, Inc. (UBS).

Zaino consented to a Commission Order barring him from association with any broker, dealer or investment adviser, based upon his guilty plea to a criminal information on May 17, 2010, in U.S. v. Mark Zaino (Criminal Action No. 10-CR-434) charging him with two counts of conspiracy and one count of wire fraud. The criminal information charged, among other things, that Zaino engaged in fraudulent misconduct in connection with the competitive bidding process involving the investment of proceeds of tax-exempt municipal bonds. The Commission recognizes Zaino’s cooperation in connection with the Commission's investigation as well as investigations conducted by other law enforcement agencies.

In a related action, the SEC filed today a complaint in U.S. District Court for the District of New Jersey against UBS alleging that from at least October 2000 through at least November 2004, UBS repeatedly engaged in fraudulent practices and made misrepresentations in connection with the bidding of investments, such as guaranteed investment contracts (GICs), repurchase agreements (Repos), and forward purchase agreements (FPAs). These practices affected the prices of the investment products and jeopardized the tax-exempt status of the underlying municipal securities. Without admitting or denying the allegations, UBS consented to the entry of a final judgment, subject to the approval of the Court, which permanently enjoins UBS from violations of Section 15(c) of the Securities Exchange Act of 1934 and orders UBS to pay disgorgement, together with prejudgment interest and a civil penalty, totaling $47,207,180.

The SEC thanks the Antitrust Division of the Department of Justice and the Federal Bureau of Investigation for their cooperation and assistance in this matter. (Rel 34-64398; IA-3193; File No. 3-14369)

In the Matter of Johnny E. Johnson

On May 4, 2011, an Administrative Law Judge issued an Order Making Findings and Imposing Sanctions by Default, barring Johnny E. Johnson (Johnson) from association with a broker, dealer, investment adviser, municipal securities dealer, or transfer agent, and from participating in an offering of penny stock in Johnny E. Johnson, Admin. Proc. No. 3-14210. The Order Instituting Proceedings alleged that Johnson participated in offers and sales of unregistered securities in a multi-level marketing scheme operated out of an Anaheim, California, hotel.

On January 12, 2011, Johnson was enjoined from future violations of Sections 5 and 17(a) of the Securities Act of 1933; Sections 10(b) and 15(a) of the Exchange Act of 1934 (Exchange Act) and Exchange Rule 10b-5; and Johnson and a co-defendant were found jointly and severally liable for disgorging $9,750,691.94, representing profits gained from their conduct, together with prejudgment interest of $262,300.12, and ordered to pay a $20 million civil penalty, jointly and severally, in SEC v. Sun Empire, LLC, No. 8:09-cv-00399-DOC-RNB (C.D. Cal.). (Rel. 34-64408; File No. 3-14210)

SEC Charges Kentucky Steel Company Executives With Insider Trading (March 17, 2011)

On March 17, 2011, the Securities and Exchange Commission charged four executives at a Louisville-based steel processing company and four of their family and friends with illegal insider trading in advance of the company’s acquisition.

The SEC alleges that Patrick Carroll, William “Tad” Carroll, David Mark Calcutt and David Stitt – who are vice presidents of sales at Steel Technologies – traded based on confidential information about their company’s acquisition by Mitsui & Co. (USA) Inc. Three of the four executives illegally tipped family members or friends. The ring of eight traders together purchased $578,000 of Steel Technologies stock in the month prior to the public announcement of the acquisition and made $320,000 in illegal profits.

The SEC alleges that Patrick Carroll tipped his son James Carroll, and Calcutt tipped his brother Christopher Calcutt. David Stitt tipped his friend John Monroe, who then tipped another friend Stephen Somers.

According to the SEC’s complaint filed in U.S. District Court for the Western District of Kentucky, Patrick and Tad Carroll are brothers of Michael Carroll, who is the president and chief operating officer of Steel Technologies. Patrick traded after Michael introduced him to Mitsui representatives who were touring the Steel Technologies facility where Patrick worked. Patrick tipped his son James, who then purchased his own Steel Technologies stock shortly before the acquisition was publicly announced. Tad bought more than $84,000 of Steel Technologies stock approximately one week before the public announcement following his own communications with Michael.

The SEC alleges that before getting inside information about the forthcoming acquisition, Calcutt liquidated nearly all of his company stock. However after he went on a hunting trip with Michael Carroll, Calcutt soon started aggressively buying Steel Technologies stock at higher prices. He also tipped his brother Christopher Calcutt, who then sold all of his shares in another company for a loss and used that money to buy Steel Technologies stock on margin to increase his illicit gains.

According to the SEC’s complaint, Stitt, Monroe and Somers have known each other since childhood. Stitt learned about the forthcoming acquisition on the Friday before the public announcement and immediately purchased Steel Technologies stock that same day. Over the weekend, Stitt told Monroe about the forthcoming acquisition. On Monday, Monroe passed the inside information to Somers. That same day, Monroe told his broker to immediately open a new account so he could buy Steel Technologies stock. Somers also immediately traded based on the inside information. During the SEC’s investigation, Stitt and Monroe contradicted each other’s testimony about their communications and advance knowledge of the acquisition.

The SEC’s complaint charges the eight defendants with securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The Commission seeks permanent injunctive relief, disgorgement of illicit profits with prejudgment interest, and the imposition of monetary penalties against all defendants.

The SEC thanks FINRA for its cooperation and assistance in this matter. For more information, see Press Release No. 2011-69 (March 17, 2011) and Litigation Release No. 21954. [SEC v. Patrick M. Carroll, James P. Carroll, William T. Carroll, David A. Stitt, John P. Monroe, Stephen Somers, David Mark Calcutt and Christopher T. Calcutt, 3:11-CV-00165-JGH (W.D. Ky.)] (LR-21954)

SEC Sues Allen E. Weintraub and Sterling Global Holdings for Securities Fraud

The Securities and Exchange Commission announced today that it filed a Complaint alleging fraud and violations of a tender offer rule against AWMS Acquisition, Inc., d/b/a Sterling Global Holdings (Sterling Global), a shell company, and Allen E. Weintraub, Sterling Global’s sole owner, officer, director, and employee.

The Complaint, which was filed in U.S. District Court for the Southern District of Florida, alleges that Weintraub and Sterling Global deceived the public by making false and misleading statements regarding Sterling Global’s ability to purchase and operate two public companies–Eastman Kodak Company (Kodak) and AMR (AMR), the parent company of American Airlines. Specifically, the Complaint alleges:

On March 19, 2011, Weintraub, on behalf of Sterling Global, emailed a written tender offer to Kodak for all its “outstanding stock” at a total price of approximately $1.3 billion in cash. On March 29, 2011, Weintraub emailed substantially the same letter to AMR offering to purchase all AMR’s “outstanding stock” for approximately $3.25 billion in cash. These offer prices represented almost a 50% premium over each company’s then current stock price.
In an effort to generate publicity, Weintraub emailed the purported tender offers to media outlets and financial investment research firms. In published media interviews, Weintraub boasted that he has 15 years experience buying distressed companies, that banks had agreed to finance the acquisitions, and that letters of credit could be readily provided.
Weintraub’s statements created the impression that Sterling Global's tender offers were legitimate and that the deals were capable of being completed; however, completion of either deal was impossible —Weintraub knew that neither he nor Sterling Global had any assets and that there were no agreements in place to finance the purported acquisitions.
Weintraub and Sterling Global also omitted to disclose the following material information about their backgrounds:
- In a 2002 SEC enforcement action, SEC v. Florida Stock Transfer, Inc., et al., Lit. Rel. 17795 & 18021, the court entered a permanent injunction enjoining Weintraub from, among other things, violating Section 17(a) of the Securities Act of 1933 and Sections 10(b) and 13(a) of the Securities Exchange Act of 1934 (Exchange Act). The Court also barred him from acting as an officer and director of a public company and ordered him to pay disgorgement plus prejudgment interest of $930,000 and a civil penalty of $120,000.
- Weintraub was convicted in Florida for fraud and grand larceny in 1992, 1998, and 2008. Weintraub is on probation for his 2008 conviction.
- Weintraub filed for personal bankruptcy in 2007 and still owes a non-dischargeable prior judgment in favor of the SEC in the amount of approximately $1,050,000.
- In September 2010, the State of Florida’s Division of Corporations administratively dissolved Sterling Global for failure to file its required annual report.

The Complaint charges Weintraub and Sterling Global with violations of Sections 10(b) and 14(e) of the Exchange Act and Exchange Act Rules 10b-5 and 14e-8. The Commission requests that the court permanently enjoin Weintraub and Sterling Global from violating the antifraud and tender offer provisions of the federal securities laws, order them to pay disgorgement plus prejudgment interest, and impose a civil money penalty against them. [SEC v. Allen E. Weintraub and AWMS Acquisitions, Inc., d/b/a Sterling Global Holdings, Case No.: 1:11-cv-21549-PCH (S.D.Fla.)] (LR-21955)

SEC Charges UBS with Fraudulent Bidding Practices Involving Investment of Municipal Bond Proceeds

The Securities and Exchange Commission today charged UBS Financial Services Inc. (UBS) with fraudulently rigging at least 100 municipal bond reinvestment transactions in 36 states and generating millions of dollars in ill-gotten gains. To settle the SEC’s charges, UBS has agreed to pay $47.2 million that will be returned to the affected municipalities. UBS and its affiliates also agreed to pay $113 million to settle parallel charges brought by other federal and state authorities.

When investors purchase municipal securities, the municipalities generally temporarily invest the proceeds of the sales in reinvestment products before the money is used for the intended purposes. Under relevant IRS regulations, the proceeds of tax-exempt municipal securities must generally be invested at fair market value. The most common way of establishing fair market value is through a competitive bidding process in which bidding agents search for the appropriate investment vehicle for a municipality.

The SEC alleges that during the 2000 to 2004, UBS’s fraudulent practices and misrepresentations undermined the competitive bidding process and affected the prices that municipalities paid for the reinvestment products being bid on by the provider of the products. Its fraudulent conduct at the time also jeopardized the tax-exempt status of billions of dollars in municipal securities because the supposed competitive bidding process that establishes the fair market value of the investment was corrupted. The business unit involved in this misconduct closed in 2008 and its employees are no longer with the company.

According to the SEC’s complaint filed in U.S. District Court for the District of New Jersey, UBS played various roles in these tainted transactions. UBS illicitly won bids as a provider of reinvestment products, and also rigged bids for the benefit of other providers while acting as a bidding agent on behalf of municipalities. UBS at times additionally facilitated the payment of improper undisclosed amounts to other bidding agents. In each instance, UBS made fraudulent misrepresentations or omissions, thereby deceiving municipalities and their agents. As bidding agent UBS steered business through a variety of mechanisms to favored bidders acting as providers of reinvestment products. In some cases, UBS gave a favored provider information on competing bids in a practice known as “last looks.” In other instances, UBS deliberately obtained off-market ”courtesy” bids or arranged “set-ups” by obtaining purposefully non-competitive bids from others so that the favored provider would win the business. UBS also transmitted improper, undisclosed payments to favored bidding agents through interest rate swaps. In addition, UBS was favored to win bids with last looks and set-ups as a provider of reinvestment products.

Without admitting or denying the allegations in the SEC’s complaint, UBS has consented to the entry of a final judgment enjoining it from future violations of Section 15(c) of the Securities Exchange Act of 1934. UBS has agreed to pay a penalty of $32.5 million and disgorgement of $9,606,543 with prejudgment interest of $5,100,637. The settlement is subject to court approval.

In a related enforcement action, the SEC barred former UBS officer Mark Zaino from associating with any broker, dealer or investment adviser, based upon his guilty plea last year in a criminal case charging him with two counts of conspiracy and one count of wire fraud for engaging in misconduct in the competitive bidding process involving the investment of proceeds of tax-exempt municipal bonds. The Commission recognizes Zaino’s cooperation in the SEC’s investigation as well as investigations conducted by other law enforcement agencies.

This is the SEC’s second settlement with a major bank in an ongoing investigation into corruption in the municipal reinvestment industry. In December 2010, the SEC charged Banc of America Securities LLC (BAS) with securities fraud for similar conduct. In that matter, BAS agreed to pay more than $36 million in disgorgement and interest to settle the SEC’s charges, and paid an additional $101 million to other federal and state authorities for its misconduct.

The SEC’s investigation was conducted by Deputy Chief Mark R. Zehner and Assistant Municipal Securities Counsel Denise D. Colliers, who are members of the Municipal Securities and Public Pensions Unit in the Philadelphia Regional Office. The SEC’s investigation is continuing.

The SEC thanks the Antitrust Division of the Department of Justice and the Federal Bureau of Investigation for their cooperation and assistance in this matter. The SEC is bringing this enforcement action in coordination with the Department of Justice, Internal Revenue Service and 25 State Attorneys General. [SEC v. UBS Financial Services Inc., Civil Action No. 11-CV-2885 (D.N.J.)] (LR-21956)

SEC Charges Six Former Executives of The Brooke Companies With Financial and Disclosure Fraud

The Securities and Exchange Commission today charged six former senior executives of Kansas-based Brooke Corporation and its other, publicly-traded subsidiaries, Brooke Capital Corporation, an insurance agency franchisor, and Aleritas Capital Corporation, a lender to insurance agency franchises and other businesses, with conducting an extensive financial and disclosure fraud. The Complaint alleges that in SEC filings and other public statements for year-end 2007 and the first and second quarters of 2008, senior executives at the Brooke companies misrepresented, among other things, the number of Brooke Capital franchisees and their financial health, the deterioration of Aleritas’ corresponding loan portfolio, and the increasingly dire liquidity and financial condition of the Brooke companies.

The SEC’s Complaint charges the following former Brooke executives:

Robert D. Orr, founder and former chairman of the board of Brooke Corporation, former chief executive officer and chairman of the board of Brooke Capital, and former chief financial officer of Aleritas
Leland G. Orr, former chief executive officer, chief financial officer, and vice-chairman of the board of Brooke Corporation, and former chief financial officer of Brooke Capital
Michael S. Lowry, former chief executive officer and member of the board of Aleritas
Michael S. Hess, former chief executive officer and member of the board of Aleritas
Kyle L. Garst, former chief executive officer, president, and member of the board of Brooke Capital
Travis W. Vrbas, former chief financial officer of Brooke Corporation and Brooke Capital

As alleged in the Commission’s Complaint, each of the defendants violated Sections 17(a)(1) and 17(a)(3) of the Securities Act of 1933, and Sections 10(b) and 13(b)(5) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rules 10b-5 and 13b2-1 thereunder, and aided and abetted violations by Brooke Corporation, Brooke Capital, and/or Aleritas of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20 and 13a-13 thereunder. The Complaint also alleges that Robert Orr violated Exchange Act Section 16(a) and Rule 16a-3 thereunder; Robert Orr, Leland Orr, Lowry, Hess, and Garst violated Exchange Act Rule 13b2-2; Robert Orr, Leland Orr, Hess, Garst, and Vrbas violated Exchange Act Rule 13a-14 and aided and abetted violations by Brooke Corporation and Brooke Capital of Rule 13a-1; and Robert Orr and Hess aided and abetted violations by Aleritas of Exchange Act Rule 13a-11.

The Commission seeks permanent injunctions, civil penalties, and officers and director bars against each defendant, and disgorgement with prejudgment interest against Robert Orr, Leland Orr, and Lowry.

Robert Orr, Leland Orr, Lowry, Hess, and Vrbas agreed to settle the SEC’s charges without admitting or denying the allegations in the Complaint. These settlements are subject to approval by the Court. Each of the defendants consented to be permanently enjoined from violating or aiding and abetting all of the provisions that the Commission alleges they violated, and to officer and director bars. Lowry also consented to pay a $175,000 civil penalty and disgorgement of $214,500, with prejudgment interest of $24,004.91, Hess consented to pay a $250,000 civil penalty, and Vrbas consented to pay a $130,000 civil penalty. Robert Orr and Leland Orr consented to pay civil penalties and disgorgement in amounts to be determined by the Court. [SEC v. Robert D. Orr, Leland G. Orr, Michael S. Lowry, Michael S. Hess, Kyle L. Garst, and Travis W. Vrbas, Case No. 11-CV-2251 WEB/KGG , D. Kansas] (LR-21957; AAE Rel. 3276)

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-8     HCA Holdings, Inc., ONE PARK PLZ, NASHVILLE, TN, 37203, 6153449551 - 
        0 ($11,136,997.45) Equity, (File 333-173866 - May. 3) (BR. 01A)

S-1     Stewart & Stevenson LLC, 1000 LOUISIANA ST., SUITE 5900, HOUSTON, TX, 
        77002, 718-751-2700 - 0 ($250,000,000.00) Equity, (File 333-173867 - 
        May. 3) (BR. 04B)

S-3     DERMA SCIENCES, INC., 214 CARNEGIE CENTER, SUITE 300, PRINCETON, NJ, 
        08540, 6095144744 - 0 ($50,000,000.00) Equity, (File 333-173870 - 
        May. 3) (BR. 10A)

N-2     Vertical Capital Income Fund, 450 WIRELESS BLVD, HAUPPAUGE, NY, 11788, 
        631-470-2600 - 100,000,000 ($100,000,000.00) Equity, (File 333-173872 - 
        May. 3) (BR. 17)

S-1     SW China Imports, Inc., 15800 CRABBS BRANCH WAY, SUITE 310, ROCKVILLE, 
        MD, 20855, 240-477-7738 - 50,000,000 ($500,000.00) Equity, 
        (File 333-173873 - May. 3) (BR. )

S-8     HERBALIFE LTD., P.O. BOX 309GT, UGLAND HOUSE, SOUTH CHURCH STREET, 
        GEORGE TOWN, E9, 00000, 310 410 9600 - 0 ($286,560,000.00) Equity, 
        (File 333-173876 - May. 3) (BR. 09A)

S-8     UNITRIN INC, ONE EAST WACKER DR, CHICAGO, IL, 60601, 3126614600 - 
        0 ($298,805,000.00) Equity, (File 333-173877 - May. 3) (BR. 01C)

S-8     STEPAN CO, EDENS & WINNETKA ROAD, NORTHFIELD, IL, 60093, 8474467500 - 
        0 ($92,729,000.00) Equity, (File 333-173878 - May. 3) (BR. 06C)

S-1     PREMIER ALLIANCE GROUP, INC., 4521 SHARON ROAD, SUITE 300, CHARLOTTE, 
        NC, 28211, 704-521-8078 - 15,869,197 ($16,027,889.00) Equity, 
        (File 333-173879 - May. 3) (BR. 03A)

S-8     LINCOLN EDUCATIONAL SERVICES CORP, 200 EXECUTIVE DRIVE, WEST ORANGE, 
        NJ, 07052, 9737369340 - 0 ($21,208,850.00) Equity, (File 333-173880 - 
        May. 3) (BR. 11C)

S-8     Energizer Resources, Inc., 520 ? 141 ADELAIDE ST. W., TORONTO, A6, 
        M5H 3L5, 416-364-4986 - 5,000,000 ($1,700,000.00) Equity, 
        (File 333-173881 - May. 3) (BR. 04B)

S-8     HARMAN INTERNATIONAL INDUSTRIES INC /DE/, 400 ATLANTIC STREET, 
        SUITE 1500, STAMFORD, CT, 06901, 2033283500 - 
        0 ($53,438,000.00) Equity, (File 333-173882 - May. 3) (BR. 11A)

S-8     Colfax CORP, 8730 STONY POINT PARKWAY, SUITE 150, RICHMOND, VA, 23235, 
        (804) 560-4070 - 0 ($3,268,500.00) Equity, (File 333-173883 - May. 3) 
        (BR. 10A)

S-3ASR  UNIT CORP, 1000 KENSINGTON TOWER, 7130 SO LEWIS STE 1000, TULSA, OK, 
        74136, 9184937700 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-173884 - May. 3) (BR. 04C)

S-8     RADISYS CORP, 5445 NE DAWSON CREEK DR, HILLSBORO, OR, 97124, 
        5036461800 - 0 ($5,178,000.00) Equity, (File 333-173885 - May. 3) 
        (BR. 03C)

F-3ASR  BARCLAYS PLC, 1 CHURCHILL PLACE, LONDON, X0, E14 5HP, 
        01100442076993139 - 0 ($0.00) Debt Convertible into Equity, 
        (File 333-173886 - May. 3) (BR. 07C)

S-8     INFINERA CORP, 169 JAVA DRIVE, SUNNYVALE, CA, 94089, 408-572-5200 - 
        0 ($47,064,495.56) Equity, (File 333-173887 - May. 3) (BR. 11A)

S-8     EARTHLINK INC, 1375 PEACHTREE STREET, SUITE 400, ATLANTA, GA, 30309, 
        4048150770 - 0 ($186,300,000.00) Equity, (File 333-173889 - May. 3) 
        (BR. 03A)

S-11    Orchid Island Capital, Inc., 3305 FLAMINGO DRIVE, VERO BEACH, FL, 
        32963, 772-23-1400 - 0 ($115,000,000.00) Equity, (File 333-173890 - 
        May. 3) (BR. )

S-4     AMB PROPERTY CORP, PIER 1 BAY 1, SAN FRANCISCO, CA, 94111, 4153949000 - 
        0 ($1,580,865,000.00) Debt Convertible into Equity, 
        0 ($3,053,391,075.00) Non-Convertible Debt, (File 333-173891 - May. 3) 
        (BR. 08A)

S-3     MAD CATZ INTERACTIVE INC, 141 ADELAIDE STREET WEST, SUITE 400, 
        TORONTO ONTARIO, A6, M5H 3L5, 6196839830 - 0 ($18,764,675.00) Equity, 
        (File 333-173892 - May. 3) (BR. 05B)

S-8     PAPA JOHNS INTERNATIONAL INC, 2002 PAPA JOHNS BOULEVARD, LOUISVILLE, 
        KY, 40299-2334, 5022617272 - 4,785,000 ($143,023,650.00) Equity, 
        (File 333-173893 - May. 3) (BR. 05C)

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

3D SYSTEMS CORP                         DE       7.01,9.01            05/03/11

A. H. Belo CORP                         DE       2.02,9.01            05/02/11

ABAXIS INC                              CA       5.02,9.01            04/27/11

ABAXIS INC                              CA       5.02                 04/27/11

Abingdon Futures Fund LP                NY       3.02                 05/01/11

ABOVENET INC                            DE       5.02                 04/27/11

ACCELRYS, INC.                          DE       2.02,9.01            05/03/11

ADAMS GOLF INC                          DE       2.02,9.01            05/03/11

ADVANCED ENERGY INDUSTRIES INC          DE       2.02,5.02,9.01       04/27/11

Advanced Life Sciences Holdings, Inc.            3.02                 04/29/11

AEROCENTURY CORP                        DE       5.07                 04/29/11

AEROSONIC CORP /DE/                     DE       2.02,9.01            03/03/11

AGL RESOURCES INC                       GA       2.02,9.01            05/03/11

AGL RESOURCES INC                       GA       8.01,9.01            05/03/11

AIS FUTURES FUND IV LP                  DE       3.02                 04/30/11

AKORN INC                               LA       2.02,5.07,7.01,9.01  04/29/11

ALEXANDER & BALDWIN INC                 HI       2.02,9.01            05/03/11

Alexza Pharmaceuticals Inc.             DE       1.01,9.01            05/03/11

ALIMERA SCIENCES INC                    DE       7.01,9.01            05/03/11

ALLIANCEBERNSTEIN HOLDING L.P.          DE       2.02,7.01,9.01       05/02/11

ALLIANCEBERNSTEIN L.P.                  DE       2.02,7.01,9.01       05/02/11

Ally Financial Inc.                     DE       2.02,9.01            05/03/11

Alpha Natural Resources, Inc.           DE       2.02,9.01            05/03/11

ALTERRA CAPITAL HOLDINGS Ltd                     2.02,5.07,8.01,9.01  05/02/11

AMAG PHARMACEUTICALS INC.               DE       2.02,9.01            05/03/11

AMEDISYS INC                            DE       7.01,9.01            05/03/11

AMERICAN CAPITAL, LTD                            2.02,9.01            05/03/11

AMERICAN MEDICAL SYSTEMS HOLDINGS INC   DE       2.02,5.07,9.01       04/28/11

American Reprographics CO               DE       2.02,5.02,5.07,9.01  05/03/11

AMERICAN TOWER CORP /MA/                DE       2.02,9.01            05/03/11

AMERIGAS PARTNERS LP                    DE       5.02,9.01            04/27/11

AMERISTAR CASINOS INC                   NV       1.02,5.02            04/29/11

Amtrust Financial Services, Inc.        DE       2.02,9.01            05/03/11

ANADIGICS INC                           DE       2.02,9.01            05/03/11

Anchor Bancorp                          WA       2.02,9.01            05/02/11

Anoteros, Inc.                          NV       1.01,2.01,3.02,5.01, 05/03/11
                                                 5.02,8.01,9.01

Anthera Pharmaceuticals Inc             DE       2.02,9.01            05/03/11

APAC CUSTOMER SERVICES, INC             IL       1.01,7.01,9.01       04/27/11

APOGEE ENTERPRISES, INC.                MN       5.02,9.01            01/19/11    AMEND

ARCA biopharma, Inc.                    DE       1.01,9.01            05/02/11

ARCH COAL INC                           DE       8.01,9.01            05/02/11

ARCH COAL INC                           DE       1.01,9.01            05/02/11

ARCH COAL INC                           DE       5.02,5.07            04/28/11

ARCHER DANIELS MIDLAND CO               DE       2.02,9.01            05/03/11

ARES CAPITAL CORP                       MD       2.02,7.01,9.01       05/03/11

ARGENTEX MINING CORP                    DE       3.02,5.07,8.01,9.01  04/29/11

Arlington Asset Investment Corp.        VA       2.02,9.01            04/27/11

ARRAY BIOPHARMA INC                     DE       1.01,5.03,9.01       05/02/11

ARROW ELECTRONICS INC                   NY       5.07                 05/02/11

ARROW ELECTRONICS INC                   NY       8.01,9.01            05/02/11

ARTS WAY MANUFACTURING CO INC           DE       5.02,5.07,9.01       04/28/11

ASIAINFO-LINKAGE, INC                   DE       2.02,9.01            05/03/11

ASPA Gold Corp                          NV       8.01,9.01            05/01/11

ASPEN INSURANCE HOLDINGS LTD            D0       5.07                 05/03/11

ASPEN TECHNOLOGY INC /DE/               DE       2.02,9.01            05/03/11

ASSISTED LIVING CONCEPTS INC            NV       2.02,8.01,9.01       05/02/11

ATLAS AIR WORLDWIDE HOLDINGS INC        DE       2.02,9.01            05/03/11

ATLAS PIPELINE PARTNERS LP              DE       2.02,9.01            05/03/11

ATWOOD OCEANICS INC                     TX       2.02,9.01            05/03/11

AUTOINFO INC                            DE       1.01,9.01            04/28/11

aVINCI MEDIA CORP                       DE       2.02                 05/03/11

AVIS BUDGET GROUP, INC.                 DE       2.02,9.01            05/03/11

AVON PRODUCTS INC                       NY       2.02,9.01            05/03/11

AXT INC                                 DE       2.02,9.01            05/03/11

Bacterin International Holdings, Inc.   DE       3.02,7.01,9.01       05/03/11

BAKER HUGHES INC                        DE       5.02,5.07,7.01,9.01  04/28/11

BALCHEM CORP                            MD       2.02,9.01            05/03/11

BALL CORP                               IN       8.01,9.01            05/03/11

Baltic Trading Ltd                      1T       2.02,9.01            05/03/11

BANK JOS A CLOTHIERS INC /DE/           DE       8.01,9.01            05/03/11

BANK MUTUAL CORP                        WI       5.07                 05/02/11

Bank of the Carolinas CORP              NC       1.01,9.01            04/27/11

BANKATLANTIC BANCORP INC                FL       8.01,9.01            05/02/11

BANNER CORP                             WA       8.01,9.01            05/02/11

BCS Solutions, Inc.                     FL       1.01,8.01,9.01       05/01/11

BEASLEY BROADCAST GROUP INC             DE       2.02,9.01            05/03/11

BEAZER HOMES USA INC                    DE       2.02,9.01            05/03/11

BEL FUSE INC /NJ                        NJ       8.01,9.01            05/03/11

BIG 5 SPORTING GOODS CORP               DE       2.02,9.01            05/03/11

BILL BARRETT CORP                                2.02,7.01,9.01       05/03/11

BIO RAD LABORATORIES INC                DE       2.02,9.01            03/31/11

BIOCRYST PHARMACEUTICALS INC            DE       5.02,7.01,9.01       04/27/11

BIOTIME INC                             CA       7.01,9.01            05/03/11

Bitstream Inc.                          DE       1.01,5.02,9.01       05/01/11

BOEING CO                               DE       5.03,5.07,9.01       05/02/11

BOSTON PROPERTIES INC                   DE       2.02,9.01            05/02/11

BOSTON PROPERTIES LTD PARTNERSHIP       DE       2.02,9.01            05/02/11

BOYD GAMING CORP                        NV       1.01,2.02,9.01       04/29/11

Bridgepoint Education Inc               DE       2.02,9.01            05/03/11

BRISTOL ENERGY FUND LP                  NY       3.02                 05/01/11

BROADRIDGE FINANCIAL SOLUTIONS, INC.    DE       8.01,9.01            05/03/11

BSD MEDICAL CORP                        DE       5.02,8.01,9.01       04/29/11

BTU INTERNATIONAL INC                   DE       2.02,9.01            05/03/11

Cal Dive International, Inc.            DE       2.02,7.01,9.01       05/03/11

CALGON CARBON CORPORATION               DE       2.02,5.07,9.01       04/29/11

CALLIDUS SOFTWARE INC                   DE       2.02,9.01            05/03/11

CAMBREX CORP                            DE       5.02,5.07            04/28/11

Campus Crest Communities, Inc.          MD       2.02,9.01            05/03/11

CardioNet, Inc.                         CA       2.02,9.01            05/03/11

CARDTRONICS INC                         DE       5.02,5.03,9.01       05/01/11

Carlyle Gaming & Entertainment, Ltd.    CO       8.01,9.01            04/03/11

CASCADE BANCORP                         OR       5.07                 04/25/11

CASTLE A M & CO                         MD       1.01,5.02,5.07       04/27/11

CBS CORP                                DE       2.02,9.01            05/03/11

CELL THERAPEUTICS INC                   WA       7.01,8.01,9.01       05/03/11

CELL THERAPEUTICS INC                   WA       8.01,9.01            04/27/11

CENTURY ALUMINUM CO                     DE       2.02,9.01            05/03/11

CENVEO, INC                             CO       7.01,9.01            05/03/11

CEPHALON INC                            DE       2.02,9.01            05/03/11

Cereplast Inc                           NV       8.01,9.01            05/02/11

CHARLES RIVER LABORATORIES INTERNATIO            2.02,9.01            05/03/11

CHARTER COMMUNICATIONS, INC. /MO/       DE       2.02,9.01            05/03/11

CHARTER FINANCIAL CORP/GA                        2.02,9.01            04/28/11

CHECKPOINT SYSTEMS INC                  PA       2.02                 05/03/11

CHESAPEAKE ENERGY CORP                  OK       2.02,9.01            05/02/11

China Agricorp, Inc                     NV       5.02                 05/02/11

China MediaExpress Holdings, Inc.       DE       8.01,9.01            05/02/11

China MediaExpress Holdings, Inc.       DE       3.01                 05/03/11    AMEND

CHINA SECURITY & SURVEILLANCE TECHNOL   DE       1.01,8.01,9.01       05/03/11

CHOICEONE FINANCIAL SERVICES INC        MI       5.07,8.01            04/28/11

Chrysler Group LLC                      DE       8.01,9.01            05/03/11

CIBER INC                               DE       2.02,9.01            05/03/11

CIGNA CORP                              DE       5.02,9.01            04/27/11

Citadel Exploration, Inc.               NV       1.01,9.01            05/02/11

CLAYTON WILLIAMS ENERGY INC /DE         DE       2.02,9.01            05/03/11

CLECO CORP                              LA       5.07                 04/29/11

CLOROX CO /DE/                          DE       2.02,7.01,9.01       05/03/11

CNO Financial Group, Inc.               DE       2.02,9.01            05/03/11

Cobalt International Energy, Inc.                2.02,9.01            05/03/11

COGNIZANT TECHNOLOGY SOLUTIONS CORP              2.02,9.01            05/03/11

COHERENT INC                            DE       2.02,9.01            05/03/11

Coleman Cable, Inc.                     DE       5.07,9.01            04/28/11

Colfax CORP                             DE       2.02,9.01            05/03/11

COLONIAL PROPERTIES TRUST               AL       5.02,5.07            04/27/11

Colony Financial, Inc.                  MD       2.02,9.01            05/02/11

COLUMBIA BANKING SYSTEM INC             WA       5.07                 04/27/11

COMCAST CORP                            PA       2.02,9.01            05/03/11

COMPX INTERNATIONAL INC                 DE       2.02,7.01,9.01       05/02/11

CONCUR TECHNOLOGIES INC                 DE       2.02,9.01            05/03/11

CONCURRENT COMPUTER CORP/DE             DE       2.02,9.01            05/03/11

CONSOLIDATED GRAPHICS INC /TX/          TX       2.02,9.01            05/03/11

Constant Contact, Inc.                  DE       9.01                 02/15/11    AMEND

CONVERGYS CORP                          OH       2.02,9.01            05/03/11

Convio, Inc.                            DE       2.02,9.01            05/03/11

Core-Mark Holding Company, Inc.         DE       8.01                 05/03/11

CORINTHIAN COLLEGES INC                          2.02,9.01            05/03/11

CORNING INC /NY                         NY       5.02,5.07            04/28/11

CORPORATE EXECUTIVE BOARD CO            DE       2.02,9.01            04/27/11

CreXus Investment Corp.                 MD       2.02,9.01            05/03/11

CROSSTEX ENERGY INC                     DE       1.01,2.03,7.01,9.01  05/02/11

CROSSTEX ENERGY LP                      DE       1.01,2.03,7.01,9.01  05/02/11

CSG SYSTEMS INTERNATIONAL INC           DE       2.02,9.01            05/03/11

Cullen Agricultural Holding Corp        DE       1.01                 04/29/11

CYNOSURE INC                                     2.02,9.01            05/03/11

CYTOMEDIX INC                           DE       1.01,2.03,3.02,7.01, 04/28/11
                                                 9.01
          
CYTORI THERAPEUTICS, INC.               DE       5.02                 04/28/11

DAVI LUXURY BRAND GROUP, INC.                    5.02,8.01,9.01       04/27/11

DAVITA INC                              DE       2.02,9.01            05/02/11

DCT Industrial Trust Inc.               MD       2.02,9.01            05/02/11

DCT Industrial Trust Inc.               MD       5.07                 04/28/11

DE Acquisition 2, Inc.                           4.01,9.01            04/29/11

DE Acquisition 3, Inc.                           4.01,9.01            04/29/11

Denarii Resources Inc.                  NV       3.02,9.01            04/20/11

DENNYS CORP                             DE       2.02,9.01            05/03/11

DEXCOM INC                                       2.02,5.02,8.01,9.01  04/28/11

DiamondRock Hospitality Co                       2.02,9.01            05/03/11

DIGITALGLOBE INC                                 2.02,9.01            05/03/11

DIMECO INC                              PA       5.07,9.01            04/28/11

DineEquity, Inc                         DE       2.02,9.01            05/03/11

DIRECTV                                 DE       5.07                 04/28/11

DISH Network CORP                       NV       8.01,9.01            05/02/11

DIXIE GROUP INC                         TN       5.07                 05/03/11

DOLE FOOD CO INC                        DE       2.02,7.01,9.01       05/03/11

DOLLAR FINANCIAL CORP                   DE       5.02                 04/27/11

Dot VN, Inc.                            DE       8.01,9.01            05/03/11

DREW INDUSTRIES INC                     DE       2.02,7.01,9.01       05/02/11

DREW INDUSTRIES INC                     DE       8.01,9.01            05/02/11

Duke Energy CORP                        DE       2.02,9.01            05/03/11

DUKE REALTY CORP                        IN       2.02,5.07,9.01       04/27/11

DUKE REALTY LIMITED PARTNERSHIP/        IN       2.02,5.07,9.01       04/27/11

DUPONT E I DE NEMOURS & CO              DE       5.02,5.07            04/27/11

EAGLE ROCK ENERGY PARTNERS L P          DE       1.01,2.01,2.03,3.02, 05/03/11
                                                 5.02,7.01,9.01

ECHELON CORP                            DE       1.01                 04/29/11

EL PASO ELECTRIC CO /TX/                TX       2.02,9.01            05/03/11

Emergent BioSolutions Inc.              DE       1.01,8.01,9.01       04/28/11

EMERGING CTA PORTFOLIO LP               NY       3.02                 05/01/11

EMERSON ELECTRIC CO                     MO       2.02,9.01            05/03/11

EPOD Solar Inc.                                  1.01,2.03,3.02,8.01, 05/03/11
                                                 9.01
          
ESCO TECHNOLOGIES INC                   MO       2.02,7.01,9.01       05/03/11

EXACT SCIENCES CORP                     DE       2.02,9.01            05/03/11

EXACTECH INC                            FL       2.02,7.01,9.01       05/03/11

EXELIXIS INC                            DE       2.02,9.01            05/03/11

F&M BANK CORP                           VA       2.02,9.01            05/03/11

FASTENAL CO                             MN       7.01,9.01            05/03/11

Federal Home Loan Bank of Atlanta       X1       2.03                 05/03/11

Federal Home Loan Bank of Atlanta       X1       5.02                 03/22/11    AMEND

Federal Home Loan Bank of Boston        X1       2.03                 04/27/11

Federal Home Loan Bank of Chicago       X1       2.03                 04/27/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            04/27/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            04/29/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            04/27/11

Federal Home Loan Bank of New York      X1       2.03,9.01            04/27/11

Federal Home Loan Bank of New York      X1       8.01                 05/03/11

Federal Home Loan Bank of Pittsburgh    PA       2.02,7.01,9.01       05/03/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            04/27/11

Federal Home Loan Bank of San Francis   X1       2.03                 04/27/11

Federal Home Loan Bank of Seattle                2.03                 04/27/11

Federal Home Loan Bank of Topeka                 2.03,9.01            04/27/11

FEDERAL HOME LOAN MORTGAGE CORP                  5.02                 04/29/11

FEI CO                                  OR       2.02,9.01            05/03/11

Fidelity National Information Service            2.02,9.01            05/03/11

FIDELITY SOUTHERN CORP                  GA       5.07                 04/28/11

FIRST CAPITAL BANCORP, INC.             VA       2.02,9.01            04/27/11

FIRST FEDERAL BANCSHARES OF ARKANSAS    TX       1.02,3.02,3.03,5.01, 05/03/11
                                                 5.02,5.03,7.01,9.01
        
FIRST FINANCIAL SERVICE CORP            KY       5.02                 05/03/11

FIRST PACTRUST BANCORP INC              MD       1.01,9.01            05/03/11

FIRST SOLAR, INC.                       DE       2.02,9.01            05/03/11

Flagstone Reinsurance Holdings, S.A.    N4       9.01                 03/31/11

Florida Bank Group, Inc.                FL       5.02,5.07            04/27/11

FMC CORP                                DE       2.02,9.01            05/02/11

FOOTSTAR INC                            DE       8.01                 05/03/11

FORD MOTOR CO                           DE       8.01,9.01            05/03/11

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            05/03/11

FOSTER WHEELER AG                       V8       2.02,9.01            05/03/11

Fox Chase Bancorp Inc                            5.02                 04/27/11

FRANKLIN STREET PROPERTIES CORP /MA/             2.02,9.01            05/03/11

FRESH DEL MONTE PRODUCE INC             E9       2.02,9.01            05/03/11

Fresh Market, Inc.                      DE       1.01,8.01,9.01       04/27/11

FULTON FINANCIAL CORP                   PA       5.07,9.01            05/03/11

FUSION TELECOMMUNICATIONS INTERNATION   DE       1.01,2.03,9.01       04/30/11

FX ENERGY INC                           NV       7.01,9.01            05/03/11

G&K SERVICES INC                        MN       2.02,9.01            05/03/11

GAYLORD ENTERTAINMENT CO /DE            DE       2.02,9.01            05/03/11

GDT TEK, Inc.                                    1.01,2.01,8.01,9.01  04/29/11

GENCO SHIPPING & TRADING LTD                     2.02,9.01            05/03/11

GENERAL CABLE CORP /DE/                 DE       2.02,9.01            05/02/11

General Finance CORP                    DE       8.01,9.01            05/03/11

GENOMIC HEALTH INC                               2.02,9.01            05/03/11

Genpact LTD                             D0       1.01,1.02,2.01,2.03, 04/29/11
                                                 8.01,9.01
     
GENSPERA INC                            DE       1.01,3.02,7.01,9.01  04/29/11

GENTA INC DE/                           DE       8.01,9.01            05/03/11

GENWORTH FINANCIAL INC                  DE       2.02,9.01            05/03/11

GIGA TRONICS INC                        CA       2.02,9.01            05/03/11

GLACIER BANCORP INC                     DE       5.07                 04/27/11

GLADSTONE CAPITAL CORP                  MD       2.02,9.01            05/03/11

GLATFELTER P H CO                       PA       2.02,9.01            05/03/11

GLOBAL CROSSING LTD                              2.02,9.01            05/03/11

GLOBAL NUTECH, INC.                              7.01,9.01            05/03/11

GLU MOBILE INC                          DE       2.02,9.01            05/03/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 05/03/11

GORMAN RUPP CO                          OH       2.02,5.07,9.01       04/28/11

Great Lakes Dredge & Dock CORP          DE       2.02,9.01            05/03/11

GREAT PLAINS ENERGY INC                 MO       2.02,9.01            05/03/11

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       2.02,9.01            05/03/11

GREEN MOUNTAIN COFFEE ROASTERS INC      DE       7.01,9.01            05/03/11

GTSI CORP                               DE       1.01,5.07,9.01       04/28/11

GXS Worldwide, Inc.                     DE       5.02                 04/27/11

H&Q LIFE SCIENCES INVESTORS             MA       8.01,9.01            05/02/11

HAIN CELESTIAL GROUP INC                DE       2.02,9.01            05/03/11

HANOVER INSURANCE GROUP, INC.           DE       2.02,9.01            05/02/11

HARRIS CORP /DE/                        DE       2.02,7.01,9.01       05/03/11

HAWKER BEECHCRAFT ACQUISITION CO LLC    DE       2.02,9.01            05/02/11

HCC INSURANCE HOLDINGS INC/DE/          DE       2.02,9.01            05/03/11

HCP, INC.                               MD       2.02,9.01            05/03/11

HEALTH CARE REIT INC /DE/               DE       2.02,9.01            05/03/11

HEALTHCARE REALTY TRUST INC             MD       2.02,9.01            05/03/11

Helix Wind, Corp.                       NV       1.01,1.02,8.01,9.01  05/02/11

HENRY SCHEIN INC                        DE       2.02,9.01            03/26/11

Heron Lake BioEnergy, LLC               MN       1.01                 04/27/11

HERSHEY CO                              DE       5.02,5.07,9.01       05/03/11

HFF, Inc.                               DE       2.02,9.01            05/02/11

HICKORY TECH CORP                       MN       2.02,9.01            05/03/11

Higher One Holdings, Inc.               DE       2.02,7.01,9.01       05/03/11

HIGHLAND BUSINESS SERVICES, INC.        NV       4.02                 05/02/11

HOLLY ENERGY PARTNERS LP                DE       5.03,9.01            04/27/11

HORNE INTERNATIONAL, INC.               DE       5.02,8.01,9.01       05/03/11

Houston Wire & Cable CO                          1.01,2.03,9.01       04/27/11

HUNT J B TRANSPORT SERVICES INC         AR       5.07                 04/28/11

Hyatt Hotels Corp                       DE       2.02,9.01            05/03/11

iGo, Inc.                               DE       5.02,9.01            04/28/11

IMPAX LABORATORIES INC                  DE       2.02,9.01            05/03/11

Imperial Holdings, Inc.                          5.02                 05/01/11

INCYTE CORP                             DE       2.02,9.01            05/03/11

Innocent, Inc.                                   8.01,9.01            05/03/11

INNOVATIVE SOLUTIONS & SUPPORT INC      PA       2.02,9.01            04/27/11

INOLIFE TECHNOLOGIES, INC.                       3.02,5.02,5.03,9.01  01/24/11

Interactive Brokers Group, Inc.         DE       5.07                 04/28/10

International Coal Group, Inc.          DE       8.01,9.01            05/02/11

International Coal Group, Inc.          DE       1.01,8.01,9.01       05/02/11

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       2.02,9.01            04/28/11

INTRICON CORP                           PA       2.02,5.07,7.01,9.01  04/27/11

IPG PHOTONICS CORP                      DE       2.02,9.01            05/03/11

IVANHOE ENERGY INC                               5.07                 04/27/11

JA Energy                                        3.02,5.02,8.01       04/27/11

JAZZ PHARMACEUTICALS INC                DE       2.02,9.01            05/03/11

KAR Auction Services, Inc.              DE       2.02,9.01            05/03/11

KBS Real Estate Investment Trust, Inc   MD       1.01,2.03,8.01       04/28/11

KEY TRONIC CORP                         WA       2.02,9.01            05/03/11

KeyOn Communications Holdings Inc.      DE       9.01                 02/15/11    AMEND

KFORCE  INC                             FL       2.02,9.01            05/03/11

KID BRANDS, INC                         NJ       2.04                 04/27/11

KILROY REALTY CORP                      MD       2.02,9.01            05/02/11

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 05/02/11

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 05/02/11

KINDER MORGAN, INC.                     DE       7.01                 05/02/11

KONA GRILL INC                          DE       5.07                 04/28/11

KRONOS WORLDWIDE INC                             7.01,9.01            05/02/11

KULICKE & SOFFA INDUSTRIES INC          PA       2.02,9.01            05/03/11

LANDAUER INC                            DE       2.02,9.01            05/03/11

LAS VEGAS SANDS CORP                    NV       2.02,9.01            05/03/11

Lattice INC                             DE       3.02,9.01            05/03/11

LEAGUE NOW HOLDINGS CORP                FL       1.01,2.01,3.02,5.01, 10/06/10    AMEND
                                                 5.02,5.06,9.01
             
LEAPFROG ENTERPRISES INC                         5.02                 04/27/11

LEFT BEHIND GAMES INC.                  WA       7.01,9.01            05/03/11

LEGG MASON INC                          MD       2.02,9.01            03/31/11

LEVEL 3 COMMUNICATIONS INC              DE       2.02,8.01,9.01       05/03/11

LEXICON PHARMACEUTICALS, INC./DE        DE       2.02,9.01            05/03/11

LIBBEY INC                              DE       1.01,2.03,9.01       04/29/11

Liberty Global, Inc.                             2.02,7.01            05/03/11

LIBERTY SILVER CORP                     NV       2.03                 04/01/11

LIBERTY SILVER CORP                     NV       5.02,9.01            04/19/11

LITHIA MOTORS INC                       OR       5.07,9.01            05/02/11

LITTELFUSE INC /DE                      DE       5.07                 04/29/11

LNB BANCORP INC                         OH       7.01,9.01            05/03/11

LOCATEPLUS HOLDINGS CORP                         4.01,9.01            05/03/11

LOJACK CORP                             MA       2.02,9.01            05/03/11

MAGNUM HUNTER RESOURCES CORP            DE       8.01,9.01            05/03/11

MAKO Surgical Corp.                     DE       2.02,9.01            05/03/11

MANNATECH INC                           TX       1.01,9.01            05/02/11

MAP Pharmaceuticals, Inc.               DE       2.02,9.01            05/03/11

MARATHON OIL CORP                       DE       2.02,9.01            03/31/11

Market Leader, Inc.                     WA       2.02,9.01            05/03/11

MARTIN MARIETTA MATERIALS INC           NC       2.02,7.01,9.01       05/03/11

MARTIN MARIETTA MATERIALS INC           NC       8.01                 04/27/11

MASIMO CORP                             DE       2.02,9.01            05/03/11

MASSEY ENERGY CO                        DE       2.02,9.01            05/02/11

MASTERCARD INC                          DE       2.02,7.01,9.01       05/03/11

MASTERCARD INC                          DE       5.02,9.01            04/29/11

MCKESSON CORP                           DE       2.02,9.01            05/03/11

MDU RESOURCES GROUP INC                 DE       2.02,7.01,9.01       03/31/11

Measurement Specialties Inc             NJ       2.02,9.01            05/03/11

Measurement Specialties Inc             NJ       2.02,9.01            05/03/11

MEDCO HEALTH SOLUTIONS INC              DE       7.01,9.01            05/03/11

MEDGENICS, INC.                         DE       7.01,9.01            05/03/11

Media Exchange Group, Inc.              NV       1.01,8.01,9.01       04/27/10

MEDIWARE INFORMATION SYSTEMS INC        NY       2.02,9.01            05/03/11

MEDNAX, INC.                            FL       2.02,9.01            05/03/11

MENDOCINO BREWING CO INC                CA       1.01                 04/29/11

MERCANTILE BANK CORP                    MI       5.07                 04/28/11

MERGE HEALTHCARE INC                    DE       2.02,9.01            05/03/11

MERITOR INC                             IN       2.02,9.01            05/03/11

MERRILL LYNCH DEPOSITOR INC PREFERRED   NY       8.01,9.01            05/02/11

METROPCS COMMUNICATIONS INC             DE       2.02,9.01            05/03/11

MFA FINANCIAL, INC.                     MD       2.02,7.01,9.01       05/03/11

MHI Hospitality CORP                    MD       2.02,9.01            05/03/11

Millburn Multi-Markets Fund L.P.        DE       3.02                 05/02/11

MISCOR GROUP, LTD.                      IN       2.02,9.01            05/03/11    AMEND

MKS INSTRUMENTS INC                     MA       5.07                 05/02/11

MOD PAC CORP                            NY       2.02,9.01            05/03/11

MOLEX INC                               DE       2.02,9.01            05/03/11

MOLSON COORS BREWING CO                 DE       2.02,9.01            05/03/11

Monotype Imaging Holdings Inc.          DE       2.02,9.01            05/03/11

MORGAN STANLEY SMITH BARNEY CHARTER W   DE       1.01,9.01            04/01/11

MOTRICITY INC                           DE       2.02,9.01            05/03/11

Mueller Water Products, Inc.            DE       2.02,8.01,9.01       05/02/11

Mueller Water Products, Inc.            DE       7.01,9.01            05/03/11

MYLAN INC.                              PA       2.02,8.01,9.01       05/02/11

MYRIAD GENETICS INC                     DE       2.02,9.01            05/03/11

MYRIAD GENETICS INC                     DE       1.01,9.01            04/27/11

NATIONAL FINANCIAL PARTNERS CORP                 7.01,9.01            05/03/11

Neenah Paper Inc                        DE       8.01,9.01            05/02/11

NetSpend Holdings, Inc.                 DE       5.07                 04/27/11

NETWORK EQUIPMENT TECHNOLOGIES INC      DE       2.02,9.01            05/02/11

NEUROCRINE BIOSCIENCES INC              CA       2.02,9.01            05/03/11

NEW JERSEY RESOURCES CORP               NJ       7.01                 05/03/11

NEW YORK COMMUNITY BANCORP INC          DE       7.01,9.01            05/03/11

NEW YORK MORTGAGE TRUST INC             MD       2.02,7.01,9.01       05/03/11

NISOURCE INC/DE                         DE       2.02,9.01            05/03/11

Norcraft Holdings, L.P.                 DE       1.01,8.01,9.01       05/03/11

NPS PHARMACEUTICALS INC                 DE       2.02,9.01            05/03/11

NTN BUZZTIME INC                        DE       5.02                 04/27/11

NuStar GP Holdings, LLC                 DE       5.07                 04/27/11

Och-Ziff Capital Management Group LLC   DE       7.01                 05/03/11

Och-Ziff Capital Management Group LLC   DE       2.02,8.01,9.01       05/03/11

OCZ TECHNOLOGY GROUP INC                DE       2.02,9.01            05/03/11

OLIN CORP                               VA       5.03,5.07,7.01,9.01  04/28/11

ONCOR ELECTRIC DELIVERY CO LLC          DE       2.02,9.01            05/03/11

ONEOK INC /NEW/                         OK       7.01,9.01            05/02/11

ONEOK Partners LP                       DE       7.01,9.01            05/02/11

OPENTABLE INC                           DE       2.02,5.02,8.01,9.01  04/29/11

OPLINK COMMUNICATIONS INC               DE       2.02,9.01            05/03/11

ORBCOMM Inc.                            DE       5.02,5.07,9.01       04/28/11

ORBITAL SCIENCES CORP /DE/              DE       5.02,5.07            04/28/11

ORION FUTURES FUND LP                   NY       3.02                 05/01/11

ORRSTOWN FINANCIAL SERVICES INC         PA       7.01,9.01            05/03/11

OVERSEAS SHIPHOLDING GROUP INC          DE       8.01,9.01            05/02/11

P F CHANGS CHINA BISTRO INC                      2.02,7.01,9.01       04/27/11

PACIFIC FINANCIAL CORP                  WA       5.02,5.07            04/27/11

PAPA JOHNS INTERNATIONAL INC            DE       5.02,5.07,9.01       04/28/11

PAPA JOHNS INTERNATIONAL INC            DE       2.02,9.01            05/03/11

PAREXEL INTERNATIONAL CORP              MA       2.02,2.05,9.01       05/02/11

PARK CITY GROUP INC                              7.01,8.01,9.01       05/03/11

PARKVALE FINANCIAL CORP                 PA       2.02,9.01            04/29/11

PARKWAY PROPERTIES INC                  MD       2.02,9.01            05/02/11

PARTNERRE LTD                                    2.02,9.01            05/02/11

PDI INC                                          2.02,9.01            05/03/11

Pebblebrook Hotel Trust                 MD       2.01,7.01,9.01       05/03/11

PEETS COFFEE & TEA INC                  WA       2.02,9.01            05/03/11

PENSON WORLDWIDE INC                    DE       5.07                 04/28/11

PENTAIR INC                             MN       1.01,9.01            05/02/11

PEOPLES BANCORP INC                     OH       2.02,5.07,7.01,8.01, 05/03/11
                                                 9.01
          
PEOPLES FINANCIAL SERVICES CORP.        PA       9.01                 05/03/11

PERRIGO CO                              MI       2.02,9.01            05/03/11

PFIZER INC                              DE       2.02,9.01            05/03/11

PFIZER INC                              DE       5.07                 04/28/11

PINNACLE DATA SYSTEMS INC               OH       2.02,9.01            05/03/11

PIONEER NATURAL RESOURCES CO            DE       2.02,9.01            05/03/11

Pioneer Southwest Energy Partners L.P   DE       2.02,9.01            05/03/11

PLANAR SYSTEMS INC                      OR       2.02,9.01            05/03/11

PLANTRONICS INC /CA/                    DE       2.02,7.01,8.01,9.01  05/03/11

POLARIS INDUSTRIES INC/MN               MN       5.02,5.07,9.01       04/28/11

POPULAR INC                                      5.07,9.01            04/28/11

POST PROPERTIES INC                     GA       2.02,9.01            05/02/11

POTOMAC FUTURES FUND LP                 NY       3.02                 05/01/11

POWERSECURE INTERNATIONAL, INC.         DE       8.01,9.01            05/03/11

PRECISION OPTICS CORPORATION INC        MA       1.01,9.01            04/29/11

Primerica, Inc.                         DE       2.02,7.01,9.01       05/03/11

PRINCIPAL FINANCIAL GROUP INC           DE       2.02,9.01            05/03/11

PROGRESS SOFTWARE CORP /MA              MA       5.02,5.03,5.07,8.01, 04/28/11
                                                 9.01
          
PROGRESSIVE CORP/OH/                    OH       5.02,5.07,8.01       04/28/11

PS BUSINESS PARKS INC/CA                CA       2.02,9.01            05/02/11

pSivida Corp.                           DE       8.01,9.01            05/03/11

PULSE ELECTRONICS CORP                  PA       2.02,9.01            05/03/11

QLT INC/BC                              A1       8.01,9.01            05/03/11

Quad/Graphics, Inc.                     WI       5.02,5.03,9.01       04/27/11

QUANTUM SOLAR POWER CORP.                        1.01,9.01            05/02/11

QUEST SOFTWARE INC                      CA       2.02,9.01            05/03/11

QUICKLOGIC CORPORATION                  CA       2.02,9.01            05/03/11

RADISYS CORP                            OR       1.01,2.02,3.02,5.02, 05/01/11
                                                 5.03,8.01,9.01

RAMBUS INC                              DE       5.07                 04/28/11

RASER TECHNOLOGIES INC                  UT       1.01,9.01            04/15/11

RASER TECHNOLOGIES INC                  UT       1.01,1.03,2.04,8.01, 04/28/11
                                                 9.01
          
RCM TECHNOLOGIES INC                    NV       2.02,9.01            05/03/11

REGAL BELOIT CORP                       WI       2.02,7.01,9.01       05/02/11

REGENERON PHARMACEUTICALS INC           NY       2.02,9.01            05/03/11

REPUBLIC AIRWAYS HOLDINGS INC           DE       2.02                 05/02/11

RESOURCE AMERICA, INC.                  DE       1.01,9.01            04/27/11

Resource Capital Corp.                  MD       2.02,9.01            05/02/11

REX ENERGY CORP                         DE       2.02,7.01,9.01       05/03/11

RIGEL PHARMACEUTICALS INC               DE       2.02,9.01            05/03/11

RODMAN & RENSHAW CAPITAL GROUP, INC.    DE       2.02,9.01            05/03/11

ROLLINS INC                             DE       7.01,9.01            05/02/11

ROWAN COMPANIES INC                     DE       2.02,9.01            05/03/11

ROYAL MINES & MINERALS CORP             NV       4.01,9.01            05/02/11

RTI INTERNATIONAL METALS INC            OH       2.02,9.01            05/03/11

S&T BANCORP INC                         PA       5.07                 04/26/11

SAIA INC                                DE       7.01,9.01            04/28/11

SANDERSON FARMS INC                     MS       5.02,9.01            04/27/11

SANDERSON FARMS INC                     MS       5.02,5.07,9.01       02/17/11    AMEND

Santa Fe Gold CORP                      DE       8.01,9.01            04/28/11

Santander Drive Auto Receivables Trus   DE       1.01,8.01,9.01       04/28/11

SARATOGA RESOURCES INC /TX              TX       8.01,9.01            05/03/11

SAUL CENTERS INC                        MD       2.02,9.01            04/28/11    AMEND

SCOTTS MIRACLE-GRO CO                   OH       2.02,9.01            05/03/11

SEARS HOLDINGS CORP                     DE       2.02,9.01            05/02/11

SEARS HOLDINGS CORP                     DE       5.02,5.07            04/27/11

SECURITY FEDERAL CORP                   SC       2.02,9.01            05/03/11

SENECA GLOBAL FUND, L.P.                DE       5.03,9.01            05/01/11

SERVICEMASTER CO                        DE       5.02                 04/27/11

SHAMIKA 2 GOLD, INC.                    NV       4.01,5.02,9.01       05/03/11    AMEND

Shire plc                                        8.01,9.01            05/03/11

SIGNET JEWELERS LTD                              8.01                 05/03/11

Silicon Graphics International Corp     DE       2.02,5.02,9.01       04/29/11

SILVER HORN MINING LTD.                 DE       3.02,5.02,8.01,9.01  05/02/11

SIRIUS XM RADIO INC.                    DE       2.02,9.01            05/03/11

Six Flags Entertainment Corp                     2.02,9.01            05/03/11

Skilled Healthcare Group, Inc.          DE       2.02,9.01            05/03/11

SM Energy Co                            DE       2.02,9.01            05/02/11

Solar Capital Ltd.                      MD       2.02,9.01            05/02/11

Solar Capital Ltd.                      MD       2.02,9.01            05/03/11    AMEND

Solar Senior Capital Ltd.               MD       2.02,9.01            05/03/11

SOLTA MEDICAL INC                       DE       2.02,9.01            05/03/11

Somaxon Pharmaceuticals, Inc.           DE       2.02,9.01            05/03/11

SONUS NETWORKS INC                      DE       2.02,7.01,9.01       05/03/11

SOUTH JERSEY INDUSTRIES INC             NJ       1.01,1.02,2.03,9.01  04/29/11

SOUTHERN MICHIGAN BANCORP INC           MI       7.01                 05/03/11

Southern National Bancorp of Virginia   VA       5.07                 04/28/11

SOUTHWEST AIRLINES CO                   TX       2.03,7.01,9.01       05/02/11

SOUTHWEST BANCORP INC                   OK       5.07,7.01            04/28/11

Spansion Inc.                           DE       1.01,3.02            04/30/11

Spectra Energy Corp.                    DE       2.02,9.01            05/03/11

STANDARD PARKING CORP                   DE       2.02,7.01            05/03/11

STANDARD PARKING CORP                   DE       5.07                 04/29/11    AMEND

STANLEY FURNITURE CO INC.               DE       5.07                 04/27/11

STEINWAY MUSICAL INSTRUMENTS INC        DE       5.02,8.01,9.01       04/29/11

STEWARDSHIP FINANCIAL CORP              NJ       2.02,9.01            05/02/11

STEWART INFORMATION SERVICES CORP       DE       5.07                 04/29/11

STILLWATER MINING CO /DE/               DE       2.02,9.01            05/03/11

STONE ENERGY CORP                       DE       2.02,7.01,9.01       05/03/11

SUN HEALTHCARE GROUP INC                DE       2.02,9.01            05/03/11

SUNERGY INC                             NV       5.02,7.01,9.01       05/02/11

SunOpta Inc.                                     8.01                 05/03/11

SUPERMEDIA INC.                         DE       2.02,7.01,9.01       05/03/11

SWS GROUP INC                           DE       2.02,9.01            05/03/11

SYNCHRONOSS TECHNOLOGIES INC                     2.02,9.01            05/03/11

SYNCHRONOSS TECHNOLOGIES INC                     8.01                 05/03/11

SYNOVUS FINANCIAL CORP                  GA       5.02,5.07,9.01       04/27/11

TACTICAL DIVERSIFIED FUTURES FUND L.P   NY       3.02                 05/01/11

TACTICAL DIVERSIFIED FUTURES FUND L.P   NY       1.01,9.01            04/29/11

TCF FINANCIAL CORP                      DE       5.02,5.07,9.01       04/27/11

TEAM HEALTH HOLDINGS INC.               DE       2.02,9.01            05/03/11

TECH OPS SEVCON INC                     DE       2.02,9.01            05/02/11

TECHNE CORP /MN/                        MN       2.02,9.01            05/03/11

TECHNE CORP /MN/                        MN       8.01,9.01            05/03/11

TECO ENERGY INC                         FL       2.02,9.01            05/03/11

TECUMSEH PRODUCTS CO                    MI       5.07                 04/27/11

TEL INSTRUMENT ELECTRONICS CORP         NJ       7.01                 04/29/11

TENET HEALTHCARE CORP                   NV       2.02,9.01            05/03/11

TENNECO INC                             DE       2.02,9.01            05/03/11

TEREX CORP                              DE       1.01,7.01,8.01,9.01  04/30/11

THORATEC CORP                           CA       2.02,9.01            05/03/11

THQ INC                                 DE       2.02,9.01            05/03/11

TIB FINANCIAL CORP.                     FL       1.01,2.01,9.01       04/27/11

TIDEWATER FUTURES FUND LP               NY       3.02                 05/01/11

Titan Machinery Inc.                    DE       8.01,9.01            05/02/11

TomoTherapy Inc                         WI       2.02,9.01            05/03/11

TOREADOR RESOURCES CORP                 DE       7.01,9.01            05/03/11

TOTAL SYSTEM SERVICES INC               GA       8.01,9.01            05/03/11

TRANSATLANTIC PETROLEUM LTD.            D0       1.01                 04/30/11

TransDigm Group INC                     DE       5.02,5.03,9.01       04/27/11

Tremont Fair, Inc.                      NV       1.02                 05/01/11

TRI-CONTINENTAL CORP                    MD       7.01                 05/03/11

TRIDENT MICROSYSTEMS INC                DE       2.02,9.01            05/03/11

TRIDENT MICROSYSTEMS INC                DE       1.01,5.02            04/27/11

TRIMBLE NAVIGATION LTD /CA/             CA       2.02,9.01            04/28/11

TRINITY INDUSTRIES INC                  DE       5.07                 05/02/11

TRIPLE-S MANAGEMENT CORP                         5.07                 04/29/11

Tropicana Las Vegas Hotel & Casino, I   DE       3.02,5.03,5.07,9.01  04/28/11

U S PHYSICAL THERAPY INC /NV            NV       8.01                 05/03/11

UDR, Inc.                               MD       3.02                 04/01/11

UIL HOLDINGS CORP                       CT       2.02,7.01,9.01       05/03/11

UNIT CORP                               DE       2.02,9.01            05/03/11

UNIT CORP                               DE       8.01,9.01            05/03/11

United American Petroleum Corp.         NV       7.01,9.01            05/03/11

UNITED COMMUNITY FINANCIAL CORP         OH       5.02,5.07,9.01       04/27/11

UNITED DOMINION REALTY L P              DE       3.02                 04/01/11

UNITRIN INC                             DE       2.02,9.01            05/03/11

UNIVERSAL TECHNICAL INSTITUTE INC       DE       2.02,9.01            05/03/11

Unum Group                              DE       2.02,9.01            05/03/11

UROLOGIX INC                            MN       2.02,9.01            04/26/11

US ECOLOGY, INC.                        DE       2.02,9.01            05/03/11

USANA HEALTH SCIENCES INC               UT       5.07                 04/27/11

USEC INC                                DE       5.02,5.07,9.01       04/28/11

USEC INC                                DE       2.02,9.01            05/03/11

VALUECLICK INC/CA                       DE       2.02,9.01            05/03/11

VENTRUS BIOSCIENCES INC                 DE       7.01,8.01,9.01       05/02/11

Ventura Assets LTD                      CO       4.01,9.01            04/25/11    AMEND

VERISIGN INC/CA                         DE       5.02                 05/02/11

Verisk Analytics, Inc.                  DE       2.02,9.01            05/03/11

VERTEX PHARMACEUTICALS INC / MA         MA       2.02,9.01            05/03/11

VIASYSTEMS GROUP INC                    DE       2.02                 05/03/11

VIRGINIA COMMERCE BANCORP INC                    5.07                 04/27/11

VIRTUS INVESTMENT PARTNERS, INC.        DE       2.02,5.07,9.01       04/28/11

VIRTUSA CORP                                     2.03                 04/28/11

VISCOUNT SYSTEMS INC                    NV       5.02                 05/01/11

VISHAY INTERTECHNOLOGY INC              DE       2.02,7.01,9.01       05/03/11

Vishay Precision Group, Inc.            DE       2.02,9.01            05/03/11

VITAL IMAGES INC                        MN       2.02,9.01            05/02/11

Volcom Inc                                       2.02,7.01,9.01       05/03/11

Vu1 CORP                                CA       5.02,9.01            04/27/11

WABASH NATIONAL CORP /DE                DE       2.02,9.01            05/03/11

WACCAMAW BANKSHARES INC                 NC       5.03,9.01            04/27/11

WARRINGTON FUND LP                      NY       3.02                 05/01/11

WATTS WATER TECHNOLOGIES INC            DE       2.02,9.01            05/03/11

WELLS REAL ESTATE INVESTMENT TRUST II   MD       9.01                 03/07/11    AMEND

WESTLAKE CHEMICAL CORP                           2.02,9.01            05/03/11

WESTPORT JWH FUTURES FUND LP            NY       3.02                 05/01/11

WESTWOOD ONE INC /DE/                   DE       1.01,5.02,9.01       04/28/11

WILLIS GROUP HOLDINGS PLC               L2       5.02,5.07,9.01       04/27/11

WINSONIC DIGITAL MEDIA GROUP, LTD.      NV       2.02,7.01,8.01       05/02/11

WISCONSIN ENERGY CORP                   WI       2.02                 05/03/11

WNC CALIFORNIA HOUSING TAX CREDITS II   CA       5.07                 05/02/11

WORLD FUEL SERVICES CORP                FL       2.02,7.01,9.01       05/03/11

WSFS FINANCIAL CORP                     DE       5.07                 04/28/11

XIAN RESOURCES, LTD.                             5.03,9.01            05/02/11

XILINX INC                              DE       5.02                 04/29/11

XL GROUP PLC                            L2       2.02,9.01            05/03/11

YORK WATER CO                           PA       5.07                 05/03/11

http://www.sec.gov/news/digest/2011/dig050411.htm

SEC News Digest