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.
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)
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:
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:
In this Order, the Division of Enforcement (Division) alleges that the six 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. 34-64385; File No. 3-14365)
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:
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:
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:
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)
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)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 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