SEC News Digest

Commission announcements

James R. Burns Named SEC Deputy Chief of Staff

On May 4, 2011, Securities and Exchange Commission Chairman Mary Schapiro announced that James R. Burns will become the agency’s Deputy Chief of Staff.

Mr. Burns has been a member of Chairman Schapiro’s staff since March 2010, working chiefly on issues involving the Division of Trading and Markets.  From August 2008 to February 2010, Mr. Burns was a counsel to Commissioner Kathleen Casey, advising her on investment management issues.

“Jim has a deep understanding of the workings of the Commission and has played an instrumental role in the implementation of the financial reform legislation,” said Chairman Schapiro.

Mr. Burns said, “I am honored to have been asked by Chairman Schapiro to take on this new role and to help advance the SEC’s critical mission to protect investors.”

Mr. Burns replaces Kayla Gillan, who left the agency at the end of April.

Before coming to the SEC, Mr. Burns was a securities lawyer in private practice and focused on investment management and enforcement matters.  He served as a law clerk to Judge William B. Traxler on the U.S. Court of Appeals for the Fourth Circuit.  Mr. Burns previously worked on federal higher education policy at the American Council on Education, and also worked at Oriel College, Oxford University.

Mr. Burns received his law degree from Georgetown University Law Center.  He holds master’s and doctorate degrees in philosophy from Oxford University, and graduated magna cum laude from Harvard College.   (Press Rel. 2011-106)

Commission Meetings

Closed Meeting on Thursday, May 12, 2011 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, May 12, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; adjudicatory matters; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Enforcement proceedings

Commission Revokes Registration of Securities of Secure Technologies Group, Inc. for Failure to Make Required Periodic Filings

On May 5, 2011, the Commission revoked the registration of each class of registered securities of Secure Technologies Group, Inc. (Secure Technologies Group) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Secure Technologies Group, Inc. consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Secure Technologies Group, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Secure Technologies Group’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Secure Technologies Group in In the Matter of Sabratek Corp., et al., Administrative Proceeding File No. 3-14318.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Sabratek Corp., et al., Administrative Proceeding File No. 3-14318, Exchange Act Release No. 64177, April 5, 2011. (Rel. 34-64409; File No. 3-14318)

In the Matter of Electrochemical Industries (1952) Ltd.

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Electrochemical Industries (1952) Ltd., Admin. Proc. No. 3-14277. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Electrochemical Industries (1952) Ltd., Empire Alliance Properties Inc., Encore Environmental Solutions, Inc. (f/k/a Oiram Incorporated), and Environmental Products Group, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-64410; File No. 3-14277)

In the Matter of Douglas K. Landeen

On May 5, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Douglas K. Landeen. The Order finds that Mr. Landeen made false statements in two applications for registration as an agent of an investment adviser filed with the Connecticut Department of Banking and was subsequently barred by the State of Connecticut from transacting business in or from Connecticut as a broker-dealer, agent, investment adviser, or investment adviser agent.

Based on the above, the Commission’s Order bars Mr. Landeen from association with any investment adviser, broker, dealer, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating agency. Douglas Landeen consented to the issuance of the Order without admitting or denying the findings contained in the Order. (Rel. IA-3194; File No. 3-14371)

In the Matter of Brett S. Kleese

On May 5, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Brett S. Kleese (Kleese). The Order finds in February 2009, that the Arizona Corporation Commission entered a final order, by consent, against Kleese which found that he violated the anti-fraud and registration provisions of Arizona’s securities laws in connection with the offer and sale of promissory notes issued by his company, BSK Enterprises, LLC (BSK).

The Commission’s Order further finds that from on or about October 2007 to May 2008, Kleese, a resident of Mesa, Arizona, offered and sold $2,980,000 of unregistered securities in the form of promissory notes issued by BSK to 57 investors. The promissory notes contained promises by BSK to repay the investors’ principal investments plus interest by the expiration date of the promissory note. Kleese told investors that BSK would lend their funds to Rosand Enterprises, Inc. (Rosand), and Rosand would use the funds as collateral in obtaining a line of credit to pay for the construction of pre-fabricated, low-cost housing in Chicago. Kleese represented that the investor funds sent to Rosand would be deposited into an Illinois law firm’s trust account, that none of the money would be withdrawn from the account because it was to be used by Rosand only as collateral for the line of credit, and that the account was covered by a bond. Contrary to what Kleese represented to investors, the funds sent to Rosand were withdrawn from the law firm’s trust account and were not covered by a bond. Kleese admitted that he did not adequately disclose these facts to investors.

The Commission’s Order bars Brett S. Kleese from association with any broker, dealer, investment adviser, municipal securities deal, or transfer agent. Kleese is also barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer, or issuer for the purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock.

Kleese consented to the issuance of the Order without admitting or denying any of the findings in the Order except as to the final order entered against him by the Arizona Corporation Commission. (Rel. 34-64412; IA-3195; File No. 3-14372)

Securities and Exchange Commission Seeks Leave to File Additional Claims in Case Against ICP Asset Management, LLC

The Securities and Exchange Commission today announced that it is seeking leave to file additional claims in its case against investment advisory firm ICP Asset Management, LLC (ICP) and its founder, owner and president, Thomas C. Priore. The additional claims seek to rescind Priore’s transfer of assets to ensure that they would be within the reach of the Court in the event the Commission is successful in a pending case in Priore, ICP, and related entities.

The Commission filed fraud charges last June against Priore, ICP, its affiliated broker-dealer ICP Securities, LLC, and holding company Institutional Credit Partners, LLC. The Commission’s civil suit, filed in the United States District Court for the District of New York, alleged that ICP and Priore repeatedly directed trading that caused certain clients to overpay for securities in order to make money for ICP and to protect other ICP clients from realizing losses.

The Commission now seeks permission from the Court to amend its pending complaint to include allegations that, at a time when Priore knew that the Commission’s staff expected to bring fraud charges against him and his companies, he transferred ownership of his two homes into trusts in an attempt to make them unavailable to satisfy any judgment entered by the Court against Priore.

The Commission’s amended complaint adds new claims of fraudulent conveyance under New York law and federal law against Priore (as transferor and as transferee in his capacity as trustee of certain trusts), his wife Lori A. Priore (as transferor and as transferee in her capacity as trustee of certain trusts), and Bertrand H. Smyers (as transferee in his capacity as trustee of certain trusts). The amended complaint also adds relief claims against Priore, Lori Priore, and Smyers in their role as trustees of the trusts. The amended complaint seeks a final judgment voiding the transfers of the two properties in question, and requiring the return of any ill-gotten gains from the transfers. [SEC v. ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. Priore, United States District Court for the Southern District of New York, Civil Action No. 10 Civ. 4791] (LR-21958)

SEC Halts Fraudulent Day Trading Scheme Targeting Senior Citizens

The Securities and Exchange Commission obtained an emergency asset freeze and court order to halt an ongoing securities fraud being orchestrated by Robert C. Butler of Bermuda Dunes, California.

The SEC alleges that from January 2009 to March 2011, Butler raised approximately $3.3 million from at least 17 investors who were mostly senior citizens living in or around Indio, Calif. He operated out of his home and dazzled investors with his multiple computer screens and a purported proprietary trading program that he claimed to use in his day trading business. Butler promised exorbitant returns to investors through investments in his hedge fund, but instead stole $1.6 million and lost the other half of investor funds in his securities trading.

The SEC’s complaint alleges that Butler sent falsified account statements to investors in order to conceal his fraud, and grossly inflated the hedge fund balances. According to one statement, the fund balance was $8.9 million compared to the true balance of merely $22. The SEC further alleges that Butler lied that he was a graduate of MIT and he concealed from investors his Chapter 7 bankruptcy filing in 1998. Despite investor requests, Butler has failed to return their money and instead continues to solicit new funds and lull existing investors into believing that repayments are forthcoming.

The Honorable Margaret Morrow, United States District Judge, granted the SEC’s application for emergency relief and froze the defendants’ assets.  On May 11, 2011, the court will hold a hearing on the SEC’s motion for a preliminary injunction.

 The SEC’s complaint charges Butler with violating the antifraud provisions, Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, of the federal securities laws.  In addition to the emergency relief, the complaint seeks preliminary and permanent injunctions, disgorgement, prejudgment interest, and financial penalties.

 The SEC’s investigation was conducted by Janet Weissman and Katharine Nolan in the Los Angeles Regional Office, and David Van Havermaat will lead the SEC’s litigation. [SEC v. Robert C. Butler, United States District Court for the Central District of California, Case No. 11-03792 MMM (FFMx)] (LR-21959)

District Court Finds Richard L. Goble Liable for Fraud

On April 27, 2011, Judge Mary Scriven found Richard L. Goble liable for committing fraud and aiding and abetting his clearing firm’s violations of the Customer Protection Rule and books and records provisions of the Securities Exchange Act of 1934 in SEC v. North American Clearing, Inc., et al., Case No. 6:08-cv-829-Orl-35KRS (M.D. Fla., May 28, 2008). North American Clearing, Inc., was a broker-dealer that acted as the clearing firm for approximately 40 correspondent firms and more than 10,000 customer accounts. Goble, a former FINRA board member, was the founder, sole owner, and a director of North American

Following a five-day bench trial, the judge found “it clear from the evidence of record, that North American had financial problems and Defendant Goble and North American’s executives made a substantial effort to conceal it.” Specifically, the judge found Goble acted with the “highest degree of scienter” in directing North American to falsely record a $5 million money market purchase, which artificially lowered the firm’s reserve requirement under the Customer Protection Rule and allowed North American to improperly withdraw more than $3 million from its Exclusive Benefit of Customers (EBOC) Account. The Court further found this “sham” transaction constituted fraud on the market.

As a result, the Court permanently enjoined Goble from violating Sections 10(b), 15(c)(3), and 17(a) of the Exchange Act and Rules 10b-5, 15c3-3, and 17a-3 thereunder. Additionally, on its own initiative, the Court enjoined Goble from attempting to secure any securities licenses or otherwise attempting to engage in the securities business. The Court also ordered him to pay a reduced civil penalty amount of $7,500 based, in part, on her consideration that Goble’s firm had been liquidated in a Securities Investor Protection Corporation bankruptcy proceeding.

The Commission commenced this action by filing its complaint on May 27, 2008, against North American Clearing, Inc., Goble, its president Bruce Blatman and its former financial and operations principal Timothy Ward. The other defendants previously settled the Commission’s charges against them by consenting, without admitting or denying the Commission’s allegations, to permanent injunctions. Pursuant to his settlement, the Court previously ordered Blatman to pay a civil penalty. A civil penalty amount against Ward is still to be decided. [SEC v. North American Clearing, Inc., et al., Civil Action No. 06-08-cv-829-Orl-35KRS (M.D. Fla.)] (LR-21960)

Investment company act releases

Russell Investment Company, et al.

An order has been issued on an application filed by Russell Investment Company, et al. under Section 6(c) of the Investment Company Act for an exemption from Rule 12d1-2(a) under the Act. The order permits open-end management investment companies relying on Rule 12d1-2 under the Act to invest in certain financial instruments. (Rel. IC-29664 – May 3)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by NASDAQ OMX PHLX relating to active SQF Port fees (SR-Phlx-2011-57) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64381)

A proposed rule change filed by C2 Options Exchange (SR-C2-2011-011) to amend the C2 Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64390)

A proposed rule change filed by Financial Industry Regulatory Authority (SR-FINRA-2011-019) to rename the OTC Bulletin Board in the FINRA Rulebook has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64397)

A proposed rule change (SR-NYSEArca-2011-20) filed by NYSE Arca amending its Fee Schedule to eliminate Registered Representative Fees for Options Trading Permit Holders and to institute a new transaction-based “Options Regulatory Fee” has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64399)

A proposed rule change (SR-NYSEAmex-2011-27) filed by NYSE Amex amending its Fee Schedule to eliminate Registered Representative Fees for Options Trading Permit Holders and to institute a new transaction-based “Options Regulatory Fee” has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64400)

A proposed rule change, filed by NASDAQ OMX PHLX relating to In-Crowd Priority (SR-Phlx-2011-55) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64401)

A proposed rule change filed by NYSE Arca (SR-NYSEArca-2011-25) proposing to extend its program that allows transactions to take place at a price that is below $1 per option contract until June 1, 2012 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64402)

A proposed rule change filed by Chicago Board Options Exchange (SR-CBOE-2011-048) related to trades for less than $1 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64403)

A proposed rule change filed by NYSE Amex (SR-NYSEAmex-2011-31) proposing to extend its program that allows transactions to take place at a price that is below $1 per option contract until June 1, 2012 has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64404)

A proposed rule change filed by Chicago Board Options Exchange relating to retroactive waiver of PAR Official Fees (SR-CBOE-2011-042) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64405)

A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-065) to adopt a two-sided order for NOM Market Makers has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64406)

Proposed Rule Changes

Financial Industry Regulatory Authority filed a proposed rule change and Amendment No. 1 under Rule 19b-4 (SR-FINRA-2011-018) to adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64386)

A proposed rule change (SR-C2-2011-012) has been filed by the C2 Options Exchange to reduce the minimum size of the Nominating and Governance Committee under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64394)

A proposed rule change (SR-CBOE-2011-044) has been filed by the Chicago Board Options Exchange to reduce the minimum size of the Nominating and Governance Committee under Section 19(b)(2) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64395)

NYSE Arca has filed a proposed rule change (SR-NYSEArca-2011-21) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to list and trade the WisdomTree Global Real Return Fund. Publication is expected in the Federal Register during the week of May 9. (Rel. 34-64411)

Securities Act Registrations

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

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

S-3     PostRock Energy Corp, 210 PARK AVENUE, SUITE 2750, OKLAHOMA CITY, OK, 
        73102, (405)600-7704 - 
        0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-173896 - 
        May. 4) (BR. 04B)

S-1     DUNKIN' BRANDS GROUP, INC., 130 ROYALL STREET, CANTON, MA, 02021, 
        7817374516 - 0 ($400,000,000.00) Equity, (File 333-173898 - May. 4) 
        (BR. 05)

S-4     KIRBY CORP, 55 WAUGH DRIVE SUITE 1000, HOUSTON, TX, 77385, 7134351000 - 
        0 ($109,495,111.00) Equity, (File 333-173901 - May. 4) (BR. 05A)

S-8     IMATION CORP, 1 IMATION PL, OAKDALE, MN, 55128, 6517044000 - 
        0 ($45,495,000.00) Equity, (File 333-173903 - May. 4) (BR. 11C)

S-8     SOTHEBYS, 1334 YORK AVENUE, NEW YORK, NY, 10021, 212-606-7000 - 
        0 ($5,023,500.00) Equity, (File 333-173904 - May. 4) (BR. 03C)

S-8     FRANKLIN RESOURCES INC, ONE FRANKLIN PARKWAY, BUILDING 920, SAN MATEO, 
        CA, 94403, 650-312-2000 - 10,000,000 ($1,255,600,000.00) Equity, 
        (File 333-173905 - May. 4) (BR. 06A)

S-8     RPX Corp, ONE MARKET PLAZA, STEUART TOWER, SUITE 700, SAN FRANCISCO, 
        CA, 94105, 866-779-7641 - 9,214,922 ($72,332,490.14) Equity, 
        (File 333-173911 - May. 4) (BR. 03A)

S-8     REVONERGY INC, LANDMARK HOUSE, 17 HANOVER SQUARE, LONDON, X0, W1S 1HU, 
        44-207-993-5700 - 10,256,000 ($173,875.00) Equity, (File 333-173913 - 
        May. 4) (BR. 04A)

S-8     ARTS WAY MANUFACTURING CO INC, P O BOX 288, ARMSTRONG, IA, 50514, 
        7128643131 - 466,500 ($4,025,895.00) Equity, (File 333-173914 - May. 4) 
        (BR. 10A)

S-8     MATERION Corp, 6070 PARKLAND BLVD., MAYFIELD HTS., OH, 44124, 
        2163834931 - 0 ($33,280,000.00) Equity, (File 333-173915 - May. 4) 
        (BR. 06A)

S-8     MATERION Corp, 6070 PARKLAND BLVD., MAYFIELD HTS., OH, 44124, 
        2163834931 - 0 ($6,240,000.00) Equity, (File 333-173916 - May. 4) 
        (BR. 06A)

S-8     MATERION Corp, 6070 PARKLAND BLVD., MAYFIELD HTS., OH, 44124, 
        2163834931 - 0 ($124,800,000.00) Equity, (File 333-173917 - May. 4) 
        (BR. 06A)

S-3ASR  DEXCOM INC, 6340 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 8582000200 - 
        0 ($0.00) Equity, (File 333-173918 - May. 4) (BR. 10A)

S-8     PARK CITY GROUP INC, 3160 PINEBROOK ROAD, PARK CITY, UT, 84098, 
        435-645-2000 - 250,000 ($1,345,000.00) Equity, (File 333-173919 - 
        May. 4) (BR. 03B)

S-3     INTEST CORP, 804 EAST GATE DR., SUITE 200, MT. LAUREL, NJ, 08054, 
        856-505-8800 - 
        30,000,000 ($30,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-173920 - May. 4) (BR. 10B)

S-8     TRC COMPANIES INC /DE/, 21 GRIFFIN ROAD NORTH, WINDSOR, CT, 06095, 
        8602986212 - 2,000,000 ($10,040,000.00) Equity, (File 333-173921 - 
        May. 4) (BR. 06B)

S-8     High Plains Gas, Inc., 3100 SOUTHERN DRIVE, GILLETTE, WY, 82718, 
        307-686-5030 - 100,000 ($102,000.00) Equity, (File 333-173922 - May. 4) 
        (BR. 04C)

S-8     THERAVANCE INC, 901 GATEWAY BLVD, SOUTH SAN FRANCISCO, CA, 94080, 
        6508086000 - 0 ($14,718,000.00) Equity, (File 333-173923 - May. 4) 
        (BR. 01C)

F-3     BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, 
        ONTARIO CANADA, A6, M5X 1A1, 4168677191 - 
        11,300,000,000 ($11,300,000,000.00) Other, (File 333-173924 - May. 4) 
        (BR. 07A)

S-8     Skilled Healthcare Group, Inc., 27442 PORTOLA SUITE 200, 
        FOOTHILL RANCH, CA, 92610, 949-282-5200 - 
        1,850,000 ($22,810,500.00) Equity, (File 333-173925 - May. 4) (BR. 11A)

S-4     Eternal Energy Corp., 2120 WEST LITTLETON BLVD.,, SUITE 300, 
        LITTLETON,, CO, 80120, (303) 385-1230 - 0 ($60,688,617.00) Equity, 
        (File 333-173927 - May. 4) (BR. 04C)

S-3     Ford Credit Auto Lease Two LLC, ONE AMERICAN ROAD, DEARBORN, MI, 48126, 
        3138455712 - 0 ($1,000,000.00) Asset-Backed Securities, 
        (File 333-173928 - May. 4) (BR. )

F-3     Scorpio Tankers Inc., 150 EAST 58TH STREET, NEW YORK, NY, 10155, 
        212-542-1616 - 0 ($500,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-173929 - May. 4) (BR. 05B)

S-1     GRASSMERE ACQUISITION Corp, 801 W. 47TH STREET, SUITE 400, KANSAS CITY, 
        MO, 64112, 816 531 0700 - 0 ($86,250,000.00) Equity, (File 333-173930 - 
        May. 4) (BR. 06)

S-8     Environmental Infrastructure Holdings Corp, 68 A LAMAR STREET, 
        WEST BABYLON, NY, 11704, 6316434400 - 20,000,000 ($600,000.00) Equity, 
        (File 333-173931 - May. 4) (BR. 06A)

S-8     Education Realty Trust, Inc., 530 OAK COURT DRIVE, SUITE 300, MEMPHIS, 
        TN, 38117, 901.259.2500 - 3,500,000 ($29,085,000.00) Equity, 
        (File 333-173932 - May. 4) (BR. 08B)
 

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

A123 SYSTEMS, INC.                      DE       5.02,9.01            05/04/11

ACCENTIA BIOPHARMACEUTICALS INC                  7.01,9.01            05/04/11

ACE Ltd                                 V8       2.02,9.01            05/04/11

ACHILLION PHARMACEUTICALS INC           DE       2.02,9.01            05/04/11

ACORN ENERGY, INC.                      DE       5.02                 05/02/11

Advaxis, Inc.                           DE       2.03,9.01            04/28/11

Aircastle LTD                           D0       2.02,9.01            05/04/11

Alamo Energy Corp.                      NV       5.02,7.01,9.01       05/01/11

ALBANY MOLECULAR RESEARCH INC           DE       2.02,9.01            05/04/11

ALLEGHANY CORP /DE                      DE       5.07                 04/29/11

ALLERGAN INC                            DE       5.02,5.07,9.01       05/03/11

ALLERGAN INC                            DE       2.02,9.01            05/04/11

Allied World Assurance Co Holdings, A            2.02,9.01            05/04/11

AlphaMetrix Managed Futures III LLC (   DE       3.02                 05/02/11

Alphatec Holdings, Inc.                 DE       2.02,9.01            05/04/11

ALPHATRADE COM                          NV       4.01,9.01            04/28/11

ALSERES PHARMACEUTICALS INC /DE         DE       1.01                 05/02/11

Altegris QIM Futures Fund, L.P.         DE       3.02                 05/01/11

ALTEGRIS WINTON FUTURES FUND LP         CO       3.02                 05/01/11

Altra Holdings, Inc.                    DE       5.07                 04/28/11

AMB PROPERTY CORP                       MD       8.01,9.01            05/03/11

AMBIENT CORP /NY                        DE       5.07                 04/29/11

Ameresco, Inc.                          DE       2.02                 05/03/11

AMERICAN AIRLINES INC                   DE       8.01                 05/04/11

AMERICAN AXLE & MANUFACTURING HOLDING   DE       5.07                 04/28/11

AMERICAN CAPITAL, LTD                            5.07                 05/03/11

AMERICAN CRYSTAL SUGAR CO /MN/          MN       7.01                 05/04/11

AMERICAN EQUITY INVESTMENT LIFE HOLDI   IA       2.02                 05/04/11

AMERICAN FINANCIAL GROUP INC            OH       2.02,9.01            05/03/11

AMERICAN NATIONAL INSURANCE CO /TX/     TX       5.03,5.05,5.07,9.01  05/04/11

AMERICAN SAFETY INSURANCE HOLDINGS LT            2.02,9.01            05/04/11

AMERICAN SCIENCE & ENGINEERING, INC.    MA       5.02,9.01            04/28/11

American Water Works Company, Inc.      DE       2.02,9.01            05/04/11

AMERIGON INC                            MI       8.01,9.01            05/03/11

AMERISOURCEBERGEN CORP                  DE       1.01,2.03,9.01       04/28/11

AMERISTAR CASINOS INC                   NV       2.02,8.01,9.01       05/04/11

AMERISTAR CASINOS INC                   NV       8.01                 05/04/11

AMICUS THERAPEUTICS INC                 DE       2.02,9.01            05/04/11

AMR CORP                                DE       8.01                 05/04/11

Ancestry.com Inc.                       DE       5.02                 05/04/11

Animal Health International, Inc.       DE       1.01,9.01            01/01/11    AMEND

ANNALY CAPITAL MANAGEMENT INC           MD       2.02,9.01            05/04/11

ante5, Inc.                             DE       1.01,9.01            04/28/11

AOL Inc.                                DE       2.02,9.01            05/04/11

APPLIED MATERIALS INC /DE               DC       1.01,7.01,8.01,9.01  05/03/11

APPLIED MICRO CIRCUITS CORP             DE       2.02,9.01            04/28/11

Approach Resources Inc                  DE       2.02,7.01,9.01       05/04/11

Approach Resources Inc                  DE       1.01,2.03,9.01       05/04/11

ARCH CHEMICALS INC                      VA       2.02,9.01            05/04/11

ARCH CHEMICALS INC                      VA       5.07                 04/28/11

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

ARROW ELECTRONICS INC                   NY       2.02,9.01            04/27/11

ARROW RESOURCES DEVELOPMENT INC         DE       4.02                 05/04/11

ASHFORD HOSPITALITY TRUST INC           MD       8.01,9.01            05/03/11

ASTRONICS CORP                          NY       2.02,9.01            05/04/11

ATLANTIC POWER CORP                     A1       5.02,7.01,9.01       05/04/11

ATLANTIC TELE NETWORK INC /DE           DE       2.02,9.01            05/03/11

ATMEL CORP                              DE       2.02,9.01            05/04/11

ATMOS ENERGY CORP                       TX       1.01,1.02,2.02,2.03, 05/02/11
                                                 9.01
          
AtriCure, Inc.                          DE       2.02,9.01            05/04/11

AUTONATION, INC.                        DE       7.01,8.01,9.01       05/03/11

Bank of Marin Bancorp                   CA       7.01                 05/04/11

BANK OF THE OZARKS INC                  AR       1.01,2.01,9.01       04/29/11    AMEND

BARNES & NOBLE INC                      DE       7.01                 05/04/11

BCB BANCORP INC                                  5.03,9.01            05/04/11

bebe stores, inc.                       CA       2.02,9.01            05/04/11

BEESTON ENTERPRISES LTD                 NV       1.02                 05/03/11

BERKSHIRE HATHAWAY INC                  DE       5.07                 04/30/11

BIMINI CAPITAL MANAGEMENT, INC.         MD       1.01,8.01,9.01       05/04/11

Bio-Carbon Solutions International In   NV       1.01,1.02,2.01,2.02, 05/04/11    AMEND
                                                 3.02,5.02,5.03,5.07,
                                                 9.01
   
BIOCLINICA INC                          DE       2.02,9.01            05/04/11

BIOCRYST PHARMACEUTICALS INC            DE       2.02,7.01,9.01       05/04/11

BMC SOFTWARE INC                        DE       2.02,9.01            05/04/11

BON TON STORES INC                      PA       5.02,9.01            05/02/11

BOSTON BEER CO INC                      MA       2.02,9.01            05/04/11

BRE PROPERTIES INC /MD/                 MD       2.02,8.01,9.01       05/03/11

BRIGHAM EXPLORATION CO                  DE       2.02,7.01,9.01       05/03/11

CACI INTERNATIONAL INC /DE/             DE       2.02,7.01,9.01       05/04/11

CAESARS ENTERTAINMENT Corp              DE       7.01                 05/04/11

CALLAWAY GOLF CO                        DE       5.02,9.01            04/29/11

Calpian, Inc.                           TX       1.01,2.03,3.02,9.01  04/28/11

Calumet Specialty Products Partners,    DE       2.02,9.01            05/04/11

CAMCO FINANCIAL CORP                    DE       2.02,9.01            05/04/11

CAMDEN NATIONAL CORP                    ME       5.07                 05/04/11

CANNABIS MEDICAL SOLUTIONS, INC.        DE       5.02                 05/03/11

CardioNet, Inc.                         CA       5.07                 04/29/11

Cardiovascular Systems Inc              DE       2.02,9.01            05/04/11

CAREER EDUCATION CORP                   DE       2.02,9.01            05/04/11

Carter Validus Mission Critical REIT,   MD       1.01                 04/28/11

CASCADE MICROTECH INC                            2.02,9.01            05/04/11

CBEYOND, INC.                                    2.02,9.01            05/04/11

CBL & ASSOCIATES PROPERTIES INC         DE       5.03,5.07,9.01       05/02/11

Celera CORP                             DE       5.01,5.02,8.01,9.01  05/04/11

Celldex Therapeutics, Inc.              DE       2.02,9.01            05/04/11

CENTRAL EUROPEAN DISTRIBUTION CORP      DE       2.02,7.01,9.01       05/04/11

CENTRAL GARDEN & PET CO                 DE       2.02,9.01            05/04/11

CHART INDUSTRIES INC                    DE       2.02,9.01            05/04/11

CHAUS BERNARD INC                       NY       3.02                 04/29/11

Chesapeake Lodging Trust                MD       2.02,9.01            05/03/11

Chesapeake Lodging Trust                MD       1.01,7.01            05/04/11

CHESAPEAKE UTILITIES CORP               DE       2.02,9.01            05/04/11

CHIMERA INVESTMENT CORP                 DE       2.02,9.01            05/04/11

China Integrated Energy, Inc.           DE       5.02,9.01            04/28/11

China New Energy Group CO               DE       4.02                 04/30/11

CINCINNATI FINANCIAL CORP               OH       5.02,5.07,7.01,9.01  04/29/11

Circle Entertainment, Inc.              DE       1.01,2.03,9.01       04/27/11

CLEAN HARBORS INC                       MA       2.02,9.01            05/04/11

Clearwire Corp /DE                      DE       2.02,5.02,9.01       05/03/11

CLECO CORP                              LA       2.02,9.01            03/31/11

CLOUD PEAK ENERGY INC.                  DE       2.02,9.01            05/04/11

Cloud Peak Energy Resources LLC         DE       2.02,9.01            05/04/11

CMS ENERGY CORP                         MI       7.01,9.01            05/04/11

COBIZ FINANCIAL INC                     CO       7.01                 05/04/11

Colony Financial, Inc.                  MD       9.01                 06/30/10    AMEND

Columbia Seligman Premium Technology    MD       7.01,9.01            05/04/11

COMERICA INC /NEW/                               7.01,9.01            05/04/11

Community Bankers Trust Corp            DE       2.02,9.01            05/02/11

COMMUNITY CENTRAL BANK CORP             MI       1.03,2.04,5.02,8.01  04/29/11

COMPETITIVE TECHNOLOGIES INC            DE       1.01,9.01            05/04/11

Con-way Inc.                            DE       2.02,9.01            05/04/11

CONAGRA FOODS INC /DE/                  DE       8.01,9.01            05/04/11

Consolidated Communications Holdings,   DE       5.02,5.05,5.07,9.01  05/04/11

CONVERSION SERVICES INTERNATIONAL INC   DE       5.02                 05/03/11

CORCEPT THERAPEUTICS INC                DE       2.02,5.02,7.01,9.01  05/04/11

CORE HEALTH CARE NETWORK, INC.                   1.02,5.06,9.01       02/16/11

COTT CORP /CN/                                   2.02,5.07,9.01       05/03/11

COUSINS PROPERTIES INC                  GA       2.02,9.01            05/04/11

CPI AEROSTRUCTURES INC                  NY       2.02                 05/03/11

CRAFT BREWERS ALLIANCE, INC.            WA       1.01,2.01,9.01       05/02/11

CREDEX CORP                             FL       8.01                 04/04/11

CREDIT ONE FINANCIAL INC                FL       1.01,3.02            05/03/11

CSX CORP                                VA       5.03,7.01,9.01       05/04/11

CTC Media, Inc.                                  2.02,5.07,9.01       04/28/11

DA-LITE SCREEN CO INC                   IN       1.01,3.03,9.01       05/02/11

DAVE & BUSTERS INC                      MO       2.02,7.01,9.01       05/04/11

DAWSON GEOPHYSICAL CO                   TX       2.02,8.01,9.01       05/04/11

Deer Consumer Products, Inc.            NV       8.01,9.01            05/02/11

DELCATH SYSTEMS INC                     DE       8.01,9.01            05/03/11

Delek US Holdings, Inc.                          1.01,2.01,2.03,3.02, 04/28/11
                                                 8.01,9.01
     
DEVON ENERGY CORP/DE                    DE       2.02,9.01            05/04/11

DEVRY INC                               DE       7.01,9.01            05/04/11

DIEBOLD INC                             OH       5.07                 04/28/11

Domtar CORP                             DE       8.01,9.01            05/04/11

Douglas Emmett Inc                      MD       2.02,9.01            05/03/11

Dresser-Rand Group Inc.                 DE       1.01,2.01,3.02,8.01, 05/04/11
                                                 9.01
          
DREW INDUSTRIES INC                     DE       7.01,9.01            05/02/11

DUPONT FABROS TECHNOLOGY, INC.          MD       2.02,7.01,9.01       05/03/11

Dutch Gold Resources Inc                CO       5.02                 05/03/11

DXP ENTERPRISES INC                     TX       2.02,9.01            03/31/11

DXP ENTERPRISES INC                     TX       2.02,9.01            03/31/11

ECA Marcellus Trust I                   DE       2.02,9.01            05/04/11

Echo Global Logistics, Inc.             DE       2.02,9.01            05/04/11

ELECTRONIC ARTS INC.                    DE       2.02,9.01            05/04/11

EMMAUS HOLDINGS, INC.                   DE       1.01,2.01,2.02,3.02, 05/03/11
                                                 5.01,5.02,5.03,5.06,
                                                 9.01
   
Employers Holdings, Inc.                NV       2.02,8.01,9.01       05/04/11

Employers Holdings, Inc.                NV       5.02                 05/03/11

ENCORE WIRE CORP                        DE       5.07                 05/03/11

ENCORIUM GROUP INC                      NV       1.01,1.02,2.03,3.02, 05/17/10
                                                 9.01
          
ENDEAVOUR INTERNATIONAL CORP            NV       2.02,7.01,9.01       05/04/11

Energy Telecom, Inc.                    FL       3.02,5.02,9.01       04/06/11

ENERNOC INC                             DE       2.02,9.01            05/04/11

EQUITY ONE, INC.                                 5.02,5.07,9.01       05/02/11

ESCALADE INC                            IN       5.07                 04/29/11

ESTERLINE TECHNOLOGIES CORP             DE       1.01,7.01,9.01       04/28/11

Excel Trust, Inc.                       MD       9.01                 03/21/11    AMEND

Excel Trust, Inc.                       MD       9.01                 04/05/11    AMEND

EXCO RESOURCES INC                      TX       2.02,9.01            05/03/11

Expedia, Inc.                                    5.02                 05/02/11

EXTREME NETWORKS INC                    DE       8.01                 04/30/11

FAIR ISAAC CORP                         DE       2.02,9.01            05/04/11

FAMOUS DAVES OF AMERICA INC             MN       5.07                 05/03/11

FEDERAL HOME LOAN MORTGAGE CORP                  2.02,9.01            05/04/11

FERRO CORP                              OH       5.07                 04/29/11

FIDELITY D & D BANCORP INC              PA       5.07,7.01,9.01       05/03/11

Fifth Season International, Inc.        DE       4.01                 05/04/11

FIRST BANCORP /NC/                      NC       2.02,9.01            05/03/11

FIRST BANCSHARES INC /MS/               MS       2.02,7.01,9.01       05/03/11

FIRST BANKS, INC                        MO       5.07,9.01            05/04/11

FIRST DATA CORP                         DE       2.02,9.01            05/04/11

FIRST MARBLEHEAD CORP                            5.02,9.01            04/28/11

FIRST SECURITY GROUP INC/TN             TN       1.01,9.01            04/28/11

FLORIDIAN FINANCIAL GROUP INC                    5.07                 04/28/11

Forestar Group Inc.                     DE       2.02,7.01,9.01       05/04/11

FOSTER L B CO                           PA       1.01,1.02,9.01       05/02/11

FOSTER WHEELER AG                       V8       5.07                 05/03/11

FPIC INSURANCE GROUP INC                FL       2.02,9.01            05/04/11

FRANKLIN ELECTRIC CO INC                IN       2.02,9.01            04/02/11

FRANKLIN RESOURCES INC                  DE       8.01,9.01            05/04/11

FS Investment CORP                      MD       8.01,9.01            05/04/11

FUTURES PORTFOLIO FUND L.P.             MD       3.02                 05/01/11

FX ENERGY INC                           NV       8.01,9.01            05/04/11

GARDNER DENVER INC                      DE       7.01,8.01,9.01       05/02/11

GARMIN LTD                              V8       2.02,9.01            05/04/11

GATX CORP                               NY       7.01,9.01            05/03/11

Geeknet, Inc                            DE       2.02,9.01            05/04/11

General Motors Financial Company, Inc   TX       2.02,9.01            05/04/11

Genpact LTD                             D0       2.02,9.01            05/04/11

GERMAN AMERICAN BANCORP, INC.           IN       2.02,8.01,9.01       05/02/11

Global Cornerstone Holdings Ltd         D8       8.01,9.01            04/28/11

Global Pharm Holdings Group, Inc.       DE       8.01,9.01            05/01/11

GMX RESOURCES INC                       OK       1.01,3.02,9.01       04/28/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 05/04/11

GOLDMAN SACHS HEDGE FUND PARTNERS LLC   DE       7.01                 05/04/11

Golub Capital BDC, Inc.                 DE       8.01                 05/03/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                 05/04/11

GREEN BANKSHARES, INC.                  TN       5.02                 05/04/11

GREENWORLD DEVELOPMENT, INC.            DE       5.02                 05/04/11

Guinness Exploration, Inc               NV       8.01,9.01            05/03/11

GULF ISLAND FABRICATION INC             LA       5.07                 03/28/11

HALLIBURTON CO                          DE       8.01                 05/02/11

HANSEN MEDICAL INC                               2.02,9.01            05/04/11

HARLEY DAVIDSON INC                     WI       1.01,2.03,8.01,9.01  04/28/11

HARLEYSVILLE GROUP INC                  DE       8.01,9.01            05/04/11

HARTE HANKS INC                         DE       5.02,5.07,7.01,9.01  05/04/11

HCA Holdings, Inc.                               2.02,7.01,8.01,9.01  05/03/11

HCSB FINANCIAL CORP                     SC       5.07                 04/28/11

HEALTH NET INC                          DE       2.02,8.01,9.01       05/04/11

HEARTLAND PAYMENT SYSTEMS INC           DE       2.02                 05/04/11

HELI ELECTRONICS CORP.                  NV       4.01,4.02,9.01       03/11/11    AMEND

Hellenic Solutions Corp                 E9       5.02                 04/29/11

HENRY JACK & ASSOCIATES INC             DE       2.02,9.01            05/03/11

HERITAGE FINANCIAL CORP /WA/            WA       2.02,8.01,9.01       05/03/11

Hillenbrand, Inc.                       IN       2.02,9.01            05/04/11

Hilltop Holdings Inc.                   MD       5.02                 04/28/11

HORACE MANN EDUCATORS CORP /DE/         DE       5.02                 04/29/11

Horizon Lines, Inc.                              1.01,9.01            04/28/11

HOT TOPIC INC /CA/                      CA       2.02,9.01            05/04/11

HPC POS SYSTEM, CORP.                   NV       8.01,9.01            05/03/11

HSN, Inc.                               DE       2.02,7.01,9.01       05/04/11

Hubei Minkang Pharmaceutical Ltd.       NV       3.02,9.01            04/27/11

HUDSON HIGHLAND GROUP INC               DE       5.03,5.07,9.01       04/28/11

Hudson Pacific Properties, Inc.         MD       1.01,2.01,2.03,9.01  04/29/11

iBio, Inc.                              DE       5.02,9.01            05/03/11

ICAGEN INC                              DE       2.02,9.01            05/04/11

ICAHN ENTERPRISES L.P.                  DE       2.02,9.01            05/04/11

IDENTIVE GROUP, INC.                    DE       2.02,8.01,9.01       04/28/11

IDENTIVE GROUP, INC.                    DE       1.01,7.01,8.01,9.01  04/29/11

IHS Inc.                                DE       7.01,9.01            05/04/11

IMAGEWARE SYSTEMS INC                   DE       7.01,8.01,9.01       05/03/11

INDUSTRIAL SERVICES OF AMERICA INC /F   FL       2.02,9.01            05/02/11

INLAND REAL ESTATE CORP                 MD       2.02,7.01,9.01       05/04/11

Innovative Wireless Technologies, Inc   DE       1.01,2.03,9.01       02/15/11

INSIGHT ENTERPRISES INC                 DE       2.02,9.01            05/04/11

INTERCONTINENTALEXCHANGE INC                     2.02,9.01            05/04/11

Intermec, Inc.                          DE       2.02,2.05,7.01,9.01  05/04/11

Intrepid Potash, Inc.                   DE       2.02,9.01            05/04/11

INUVO, INC.                             NV       2.02,7.01,9.01       05/04/11

ION GEOPHYSICAL CORP                    DE       2.02,7.01,9.01       05/04/11

IRIS INTERNATIONAL INC                  DE       2.02,9.01            05/04/11

ISSUER DIRECT CORP                               2.02,9.01            05/04/11

IXIA                                    CA       8.01,9.01            05/04/11

J&J SNACK FOODS CORP                    NJ       8.01,9.01            05/04/11

JACKSON HEWITT TAX SERVICE INC          DE       3.01                 05/02/11

JBI, INC.                               NV       1.01,9.01            05/02/11    AMEND

JDS UNIPHASE CORP /CA/                  DE       2.02,9.01            05/04/11

Juhl Wind, Inc                                   1.01,9.01            04/28/11

KELLOGG CO                              DE       2.02,9.01            05/04/11

KENDLE INTERNATIONAL INC                OH       1.01,2.03            04/28/11

KIMCO REALTY CORP                       MD       2.02                 05/04/11

KKR & Co. L.P.                          DE       2.02,9.01            05/04/11

Kraton Performance Polymers, Inc.       DE       2.02,9.01            05/04/11

KRONOS INTERNATIONAL INC                DE       7.01,9.01            05/04/11

KRONOS WORLDWIDE INC                             7.01,9.01            05/04/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 05/04/11

LAMAR ADVERTISING CO/NEW                DE       2.02,9.01            05/04/11

Lantheus Medical Imaging, Inc.          DE       1.01                 04/29/11

LEAP WIRELESS INTERNATIONAL INC         DE       2.02,9.01            05/04/11

LEGACY RESERVES LP                      DE       2.02,9.01            05/04/11

LHC Group, Inc                                   2.02,9.01            05/04/11

Liberty Global, Inc.                             2.02,7.01            05/04/11

LIGHTING SCIENCE GROUP CORP             DE       1.01,5.02,7.01,9.01  04/28/11

Lithium Exploration Group, Inc.         NV       1.01,9.01            03/17/11

LORILLARD, INC.                         DE       7.01,9.01            05/04/11

LOUISIANA BANCORP INC                   LA       5.07                 05/03/11

LTC PROPERTIES INC                      MD       2.02,9.01            05/04/11

Lunar Growth CORP                       E9       1.01,2.01,4.01,5.01, 05/02/11
                                                 5.02,5.06,9.01

MAC-GRAY CORP                           DE       2.02,9.01            05/04/11

MACKINAC FINANCIAL CORP /MI/            MI       2.02,9.01            05/04/11

Macquarie Infrastructure CO LLC         DE       2.02,9.01            05/04/11

MAGELLAN MIDSTREAM PARTNERS LP          DE       2.02,9.01            05/04/11

MAGNETEK, INC.                          DE       2.02                 05/04/11

Magnolia Solar Corp                     NV       8.01,9.01            05/04/11

MAKEMUSIC, INC.                         MN       2.02,8.01,9.01       05/04/11

MANNATECH INC                           TX       2.02,9.01            05/04/11

Market Leader, Inc.                     WA       7.01,9.01            05/03/11

MARSH & MCLENNAN COMPANIES, INC.        DE       2.02,9.01            05/04/11

MARTIN MIDSTREAM PARTNERS LP            DE       5.02,9.01            05/04/11

MARTIN MIDSTREAM PARTNERS LP            DE       2.02,9.01            05/04/11

MASTEC INC                              FL       2.02,7.01,9.01       05/04/11

MATERION Corp                                    7.01,9.01            05/04/11

MATRIX SERVICE CO                       DE       2.02,9.01            05/03/11

McCormick & Schmicks Seafood Restaura            8.01,9.01            05/04/11

MEDASSETS INC                           DE       2.02,9.01            05/04/11

MEDGENICS, INC.                         DE       7.01,9.01            05/04/11

MedPro Safety Products, Inc.            NV       7.01,9.01            05/04/11

MEMC ELECTRONIC MATERIALS INC           DE       2.02,9.01            05/04/11

MERCADOLIBRE INC                                 5.02,7.01,9.01       04/29/11

METLIFE INC                             DE       2.02,7.01,8.01,9.01  05/04/11

METTLER TOLEDO INTERNATIONAL INC/       DE       2.02,9.01            05/04/11

MFA FINANCIAL, INC.                     MD       7.01,9.01            05/04/11

MGM Resorts International               DE       2.02,9.01            05/04/11

MID PENN BANCORP INC                    PA       5.07,7.01            05/03/11

MILLER INDUSTRIES INC /TN/              TN       2.02,9.01            05/04/11

MMEX Mining Corp                                 3.02                 04/29/11

MOCON INC                               MN       2.02,9.01            05/04/11

Mojo Shopping Inc                       DE       3.03,5.03            04/27/11

Molecular Insight Pharmaceuticals, In   MA       1.01,2.03,7.01,9.01  04/28/11

MORRIS PUBLISHING GROUP LLC             GA       5.02                 05/02/11

MORTONS RESTAURANT GROUP INC            DE       2.02,9.01            05/04/11

MULTI COLOR Corp                        OH       1.01,9.01            05/02/11

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       2.02,9.01            05/04/11

MULTIMEDIA GAMES HOLDING COMPANY, INC   TX       5.07                 03/22/11    AMEND

MURPHY OIL CORP /DE                     DE       2.02,9.01            05/04/11

NACCO INDUSTRIES INC                    DE       2.02,9.01            05/04/11

NACCO INDUSTRIES INC                    DE       2.02,7.01,9.01       05/04/11

National American University Holdings   DE       8.01,9.01            05/04/11

National Interstate CORP                OH       2.02,5.07,8.01,9.01  04/28/11

NCI, Inc.                               DE       2.02,7.01,9.01       05/04/11

NEOPROBE CORP                           DE       8.01,9.01            05/03/11

NESS TECHNOLOGIES INC                            2.02,7.01,9.01       05/04/11

NEW ENERGY SYSTEMS GROUP                NV       4.02                 05/02/11

NEW JERSEY RESOURCES CORP               NJ       2.02,9.01            05/04/11

NEW JERSEY RESOURCES CORP               NJ       2.02,9.01            05/04/11    AMEND

NEWS CORP                                        2.02,9.01            05/04/11

NewStar Financial, Inc.                          2.02,8.01,9.01       05/04/11

NICOR INC                               IL       2.02,9.01            05/04/11

NL INDUSTRIES INC                       NJ       7.01,9.01            05/04/11

Noble Corp / Switzerland                V8       5.07                 04/29/11

NORTH STATE BANCORP                     NC       5.02                 04/29/11

NORTH VALLEY BANCORP                    CA       2.02,9.01            05/03/11

NORTHROP GRUMMAN CORP /DE/              DE       8.01,9.01            05/02/11

NORTHWEST NATURAL GAS CO                OR       2.02,9.01            05/04/11

NOVELLUS SYSTEMS INC                    CA       8.01,9.01            05/04/11

NU SKIN ENTERPRISES INC                 DE       2.02,9.01            05/04/11

NV ENERGY, INC.                         NV       5.07                 05/03/11

NVE CORP /NEW/                          MN       2.02                 05/04/11

NxStage Medical, Inc.                   DE       2.02,9.01            05/04/11

OMEGA HEALTHCARE INVESTORS INC          MD       2.02,9.01            05/04/11

Oncothyreon Inc.                        DE       8.01,9.01            05/04/11

ONEOK INC /NEW/                         OK       2.02,9.01            05/03/11

ONEOK Partners LP                       DE       2.02,9.01            05/04/10

Onstream Media CORP                     FL       3.02                 04/28/11

ONYX PHARMACEUTICALS INC                DE       2.02,9.01            05/04/11

ORASURE TECHNOLOGIES INC                DE       2.02,9.01            05/04/11

ORASURE TECHNOLOGIES INC                DE       7.01,9.01            05/04/11

Organic Sales & Marketing Inc                    4.01,9.01            05/03/11

ORIENT EXPRESS HOTELS LTD               D0       2.02,9.01            05/03/11

ORRSTOWN FINANCIAL SERVICES INC         PA       5.07                 05/03/11

OTELCO INC.                             DE       2.02,9.01            05/04/11

OUTDOOR CHANNEL HOLDINGS INC                     2.02,9.01            05/04/11

PAA NATURAL GAS STORAGE LP              DE       2.02,7.01,9.01       05/04/11

PACCAR INC                              DE       5.02                 04/29/11

PACIFIC GAS & ELECTRIC Co               CA       2.02,7.01,9.01       03/31/11

PACWEST BANCORP                         DE       7.01,9.01            05/03/11

PARK CITY GROUP INC                              2.02,8.01,9.01       05/03/11

PARKER DRILLING CO /DE/                 DE       2.02,9.01            05/04/10

PATRIOT TRANSPORTATION HOLDING INC      FL       2.02,9.01            05/04/11

PAYCHEX INC                             DE       5.02,9.01            05/04/11

Peninsula Gaming, LLC                   DE       2.02,9.01            05/04/11

PENNANTPARK INVESTMENT CORP                      2.02,9.01            05/04/11

PERFECTENERGY INTERNATIONAL LTD         NV       4.01,5.03,8.01,9.01  04/29/11

PERICOM SEMICONDUCTOR CORP              CA       2.02,9.01            05/04/11

PETMED EXPRESS INC                      FL       8.01,9.01            05/02/11

PETROQUEST ENERGY INC                   DE       2.02                 05/04/11

PG&E CORP                               CA       2.02,7.01,9.01       03/31/11

PHARMACYCLICS INC                       DE       2.02,9.01            05/04/11

PharMerica CORP                         DE       2.02,9.01            05/04/11

PHH CORP                                MD       2.02,9.01            05/04/11

Phreadz, Inc.                           NV       5.03                 04/29/11

PILGRIMS PRIDE CORP                     DE       2.02,9.01            05/03/11

PILGRIMS PRIDE CORP                     DE       7.01                 05/03/11    AMEND

PLAINS ALL AMERICAN PIPELINE LP         DE       2.02,7.01,9.01       05/04/11

POKERTEK, INC.                          NC       2.02,9.01            05/04/11

POLYONE CORP                                     2.02,9.01            05/04/11

Polypore International, Inc.                     2.02,9.01            05/04/11

Polypore International, Inc.                     2.02,9.01            05/04/11

PORTFOLIO RECOVERY ASSOCIATES INC       DE       2.02,9.01            05/04/11

POST PROPERTIES INC                     GA       8.01,9.01            05/03/11

POWELL INDUSTRIES INC                   NV       2.02,9.01            05/04/11

PREFERRED APARTMENT COMMUNITIES INC     MD       7.01,9.01            05/04/11

PREFORMED LINE PRODUCTS CO              OH       2.02,9.01            05/04/11

PROASSURANCE CORP                       DE       2.02,7.01,9.01       05/04/11

PROCTER & GAMBLE CO                     OH       5.02                 05/04/11

PROVIDENCE SERVICE CORP                 DE       2.02,7.01,9.01       05/04/11

PRUDENTIAL FINANCIAL INC                NJ       2.02,7.01,9.01       05/04/11

PS BUSINESS PARKS INC/CA                CA       5.07                 05/02/11

QCR HOLDINGS INC                        DE       8.01,9.01            05/04/11

QUAKER CHEMICAL CORP                    PA       7.01,9.01            05/04/11

QUALITY DISTRIBUTION INC                FL       2.02,9.01            05/04/11

QUANTA SERVICES INC                     DE       2.02,7.01,9.01       05/04/11

QUICKLOGIC CORPORATION                  CA       5.07                 04/28/11

QUINSTREET, INC                         CA       2.02,9.01            05/04/11

RADIOSHACK CORP                         DE       1.01,2.03,8.01,9.01  05/03/11

RADISYS CORP                            OR       2.02,8.01,9.01       05/03/11

RALCORP HOLDINGS INC /MO                MO       1.01,3.03,5.03,8.01, 05/04/11
                                                 9.01
          
REALNETWORKS INC                        WA       5.02                 04/28/11

REALOGY CORP                            DE       2.02,9.01            05/04/11

REALTY INCOME CORP                      MD       5.07                 05/03/11

REALTY INCOME CORP                      MD       1.01,9.01            05/03/11

Red Lion Hotels CORP                    WA       1.01,9.01            05/03/11

Reliance Bancshares, Inc.               MO       8.01,9.01            05/03/11

Reliance Bancshares, Inc.               MO       2.02,9.01            05/04/11

RELIV INTERNATIONAL INC                 DE       2.02,9.01            05/04/11

RELM WIRELESS CORP                      NV       2.02,9.01            05/04/11

RETAIL OPPORTUNITY INVESTMENTS CORP     DE       2.02,9.01            05/04/11

REVLON CONSUMER PRODUCTS CORP           DE       7.01,9.01            05/04/11

REVLON INC /DE/                         DE       7.01,9.01            05/04/11

Roadrunner Transportation Systems, In   DE       2.02,9.01            05/04/11

Rockwood Holdings, Inc.                 DE       1.01,9.01            05/04/11

ROLLINS INC                             DE       7.01,9.01            05/04/11

Rovi Corp                               DE       9.01                 02/17/11    AMEND

RR Donnelley & Sons Co                  DE       2.02,9.01            05/04/11

RTI INTERNATIONAL METALS INC            OH       5.07                 04/29/11

RXI PHARMACEUTICALS CORP                         9.01                 04/13/11    AMEND

Ryerson Holding Corp                    DE       2.02,9.01            05/04/11

RYERSON INC.                            DE       2.02,9.01            05/04/11

S1 CORP /DE/                            DE       2.02,9.01            05/04/11

S1 CORP /DE/                            DE       7.01,9.01            05/04/11

SAFETY INSURANCE GROUP INC              DE       2.02,9.01            05/04/11

SAGE FUND LP                            MD       3.02                 05/01/11

SANFILIPPO JOHN B & SON INC             DE       5.05,9.01            04/28/11

SANTARUS INC                            DE       2.02,9.01            05/04/11

SAUER DANFOSS INC                       DE       2.02,9.01            05/04/11

SCHAWK INC                                       2.02,9.01            05/04/11

SCHWEITZER MAUDUIT INTERNATIONAL INC    DE       2.02,9.01            05/04/11

Scripps Networks Interactive, Inc.      OH       1.01,9.01            04/28/11

Seagate Technology plc                  L2       8.01,9.01            05/04/11

Seagate Technology plc                  L2       8.01,9.01            05/04/11

SECURITY NATIONAL FINANCIAL CORP        UT       8.01                 03/30/11

SECURITY NATIONAL FINANCIAL CORP        UT       8.01,9.01            03/30/11    AMEND

Shire plc                                        8.01,9.01            05/04/11

SIGNET JEWELERS LTD                              4.01,9.01            05/01/11

SINCLAIR BROADCAST GROUP INC            MD       2.02,9.01            05/04/11

Sino Gas International Holdings, Inc.   UT       8.01                 04/28/11

SKYWEST INC                             UT       2.02,9.01            05/04/11

SMITH MICRO SOFTWARE INC                DE       2.02,9.01            05/04/11

SolarWinds, Inc.                        DE       2.02,9.01            05/04/11

SOONER HOLDINGS INC /OK/                OK       1.01,2.01,3.02,5.01, 02/14/11    AMEND
                                                 5.02,5.03,9.01

SOUNDBITE COMMUNICATIONS INC                     2.02,9.01            05/04/11

SOURCEFIRE INC                          DE       2.02,9.01            05/04/11

SOUTHWEST GAS CORP                      CA       2.02                 05/04/11

SOUTHWESTERN ENERGY CO                  DE       7.01                 04/29/11

SOVRAN SELF STORAGE INC                 MD       2.02,9.01            05/04/11

Spectra Energy Partners, LP             DE       2.02,9.01            05/04/11

SPECTRUM GROUP INTERNATIONAL, INC.      NY       2.03                 05/04/11

SPECTRUM PHARMACEUTICALS INC            DE       2.02,9.01            05/04/11

SPEEDWAY MOTORSPORTS INC                DE       2.02,9.01            05/04/11

SPX CORP                                DE       2.02,9.01            05/04/11

STANDARD MOTOR PRODUCTS INC             NY       2.02,9.01            05/04/11

STAR GAS PARTNERS LP                    DE       2.02,7.01,9.01       05/04/11

STATE BANCORP INC                       NY       1.01,5.02,9.01       04/28/11

STEMCELLS INC                           DE       2.02,2.05,9.01       05/04/11

STR HOLDINGS, INC.                      DE       2.02,9.01            05/04/11

STRATASYS INC                           DE       1.01,2.01,7.01,8.01, 05/03/11
                                                 9.01
          
STRATASYS INC                           DE       5.07                 04/28/11

Stream Global Services, Inc.            DE       2.02,9.01            05/04/11

SUPERCONDUCTOR TECHNOLOGIES INC         DE       2.02,9.01            05/04/11

Surna Inc.                              NV       5.02                 05/03/11

SURREY BANCORP                          NC       5.07                 04/28/11

SWS GROUP INC                           DE       8.01,9.01            05/03/11

Talecris Biotherapeutics Holdings Cor   DE       5.07                 05/03/11

TECHNE CORP /MN/                        MN       2.01,9.01            04/28/11

TELETECH HOLDINGS INC                   DE       2.02,9.01            05/03/11

Territorial Bancorp Inc.                MD       8.01,9.01            05/04/11

Territorial Bancorp Inc.                MD       8.01,9.01            05/04/11

TESLA MOTORS INC                        DE       2.02,9.01            05/04/11

TFS Financial CORP                      DE       2.02,9.01            05/04/11

TIDEWATER INC                           DE       8.01,9.01            05/02/11

Tiger Oil & Energy, Inc.                         1.01,2.01,5.06,9.01  08/30/10    AMEND

TIME WARNER INC.                        DE       2.02,9.01            05/04/11

TOOTSIE ROLL INDUSTRIES INC             VA       5.07                 04/02/11

TORCHMARK CORP                          DE       5.02,5.07,9.01       04/28/11

TRANSWITCH CORP /DE                     DE       2.02,9.01            05/04/11

TRC COMPANIES INC /DE/                  DE       2.02                 05/03/11

Triangle Capital CORP                   MD       2.02,5.07,7.01,9.01  05/04/11

TRICO BANCSHARES /                      CA       5.07,9.01            05/03/11

TRIPLE-S MANAGEMENT CORP                         2.02,9.01            05/04/11

TRW AUTOMOTIVE HOLDINGS CORP            DE       2.02,9.01            05/04/11

Two Harbors Investment Corp.                     2.02,9.01            05/04/11

UDR, Inc.                               MD       8.01,9.01            05/03/11

Uni-Pixel                               DE       8.01,9.01            05/04/11

UNION DRILLING INC                      DE       2.02,9.01            05/04/11

UNIT CORP                               DE       8.01,9.01            05/03/11

UNITED COMMUNITY FINANCIAL CORP         OH       5.02,9.01            04/28/11

UNITED STATES LIME & MINERALS INC       TX       5.07                 04/29/11

UNITED SURGICAL PARTNERS INTERNATIONA   DE       2.02,9.01            05/04/11

UNITRIN INC                             DE       7.01,9.01            05/04/11

UNIVERSAL AMERICAN CORP.                DE       3.03,5.01,5.03       04/28/11

US AIRWAYS GROUP INC                    DE       2.02,9.01            05/04/11

USA Mobility, Inc                       DE       2.02,8.01,9.01       05/04/11

VALLEY FINANCIAL CORP /VA/              VA       5.02,5.07            05/04/11

VALLEY NATIONAL BANCORP                 NJ       7.01,9.01            05/04/11

VALLEY NATIONAL BANCORP                 NJ       1.01,8.01,9.01       04/28/11

Vantage Drilling CO                     E9       7.01,9.01            05/03/11

VCA ANTECH INC                          DE       8.01                 05/04/11

VERTICAL HEALTH SOLUTIONS INC           FL       8.01,9.01            05/04/11

Vicor Technologies, Inc.                DE       8.01                 04/25/11

VISUALANT INC                           NV       8.01                 04/29/11

Volcano Corp                            DE       2.02,5.02,5.03,5.07, 05/02/11
                                                 9.01
          
Volcom Inc                                       1.01,5.02,9.01       05/01/11

VONAGE HOLDINGS CORP                    DE       2.02,9.01            05/04/11

VSE CORP                                DE       1.01,2.03,9.01       05/02/11

WARREN RESOURCES INC                    MD       2.02,7.01,9.01       05/04/11

WAYNE SAVINGS BANCSHARES INC /DE/       DE       5.03                 05/04/11

WEB.COM GROUP, INC.                              5.07                 05/04/11

WEB.COM GROUP, INC.                              2.02,9.01            05/03/11

WEBSTER PREFERRED CAPITAL CORP          CT       5.02                 03/16/11

WEIS MARKETS INC                        PA       5.07                 04/28/11

Western Gas Partners LP                 DE       2.02,9.01            05/04/11

WEYCO GROUP INC                         WI       5.07                 05/03/11

WGL HOLDINGS INC                        VA       2.02,9.01            05/04/11

White River Capital Inc                 IN       2.02,9.01            05/04/11

WHITING PETROLEUM CORP                  DE       5.07                 05/03/11

WHOLE FOODS MARKET INC                  TX       2.02,8.01,9.01       05/04/11

Willdan Group, Inc.                     DE       5.02,9.01            05/03/11

Williams Partners L.P.                           2.02,9.01            05/04/11

Win Gaming Media, Inc.                  NV       1.01,9.01            05/04/11

WINDSTREAM CORP                         DE       2.02,9.01            05/04/11

WINNER MEDICAL GROUP INC                NV       5.07                 04/29/11

WORLDWIDE ENERGY & MANUFACTURING USA    CO       8.01,9.01            05/04/11

Wright Express CORP                              2.02,9.01            05/04/11

WRIGHT MEDICAL GROUP INC                DE       2.02,5.02,8.01,9.01  05/03/11

XATA CORP /MN/                          MN       5.02                 05/02/11

XENOPORT INC                            DE       2.02,9.01            05/04/11

Zalicus Inc.                            DE       2.02,9.01            05/04/11

ZEBRA TECHNOLOGIES CORP                          2.02,9.01            05/04/11

Zumiez Inc                              WA       7.01,9.01            05/04/11

http://www.sec.gov/news/digest/2011/dig050511.htm