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Commission announcementsSEC Proposes Rule to Disqualify Felons and Bad Actors From Securities OfferingsThe Securities and Exchange Commission today proposed a rule to deny certain securities offerings from qualifying for exemption from registration if they involve certain “felons and other bad actors.” The proposed rule would implement a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Regulation D provides three exemptions that a company can use to avoid registration under the securities laws, the most widely used of which is Rule 506. If an offering qualifies for the Rule 506 exemption, an issuer can raise unlimited capital from an unlimited number of accredited investors and up to 35 non-accredited investors. Under the proposed rule, an offering would be unable to rely on the Rule 506 exemption if the issuer or any other person covered by the rule had a “disqualifying event” such as a criminal conviction, court injunction and restraining order. “The Dodd-Frank Act requires the Commission to adopt rules that would make this safe harbor unavailable if a felon and other ‘bad actor’ is involved in the offering,” said SEC Chairman Mary L. Schapiro. Public comments on the SEC’s proposal should be received by July 14, 2011. (Press Rel. 2011-115) SEC Adopts Rules to Establish Whistleblower ProgramThe Securities and Exchange Commission today adopted rules to create a whistleblower program that rewards individuals who provide the agency with high-quality tips that lead to successful enforcement actions. The new SEC whistleblower program, implemented under Section 922 of the Dodd-Frank Act, is primarily intended to reward individuals who act early to expose violations and who provide significant evidence that helps the SEC bring successful cases. To be considered for an award, the SEC’s rules require that a whistleblower must voluntarily provide the SEC with original information that leads to the successful enforcement by the SEC of a federal court or administrative action in which the SEC obtains monetary sanctions totaling more than $1 million. “For an agency with limited resources like the SEC, it is critical to be able to leverage the resources of people who may have first-hand information about violations of the securities laws,” said SEC Chairman Mary L. Schapiro. “While the SEC has a history of receiving a high volume of tips and complaints, the quality of the tips we have received has been better since Dodd-Frank became law. We expect this trend to continue, and these final rules map out simplified and transparent procedures for whistleblowers to provide us critical information.” The SEC’s rules will be effective 60 days after they are submitted to Congress or published in the Federal Register. (Press Rel. 2011-116) Enforcement proceedingsCommission Revokes Registration of Securities of Diamond Hitts Production, Inc. for Failure to Make Required Periodic FilingsOn May 25, 2011, the Commission revoked the registration of each class of registered securities of Diamond Hitts Production, Inc. (Diamond Hitts Production) 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, Diamond Hitts Production 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 Diamond Hitts Production, 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 Columbia Futures Fund’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Diamond Hitts Production in In the Matter of Davin Computer Corp., et al., Administrative Proceeding File No. 3-14375. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Davin Computer Corp., et al., Administrative Proceeding File No. 3-14375, Exchange Act Release No. 64443, May 9, 2011. (Rel. 34-64540; File No. 3-14375) In the Matter of Sabratek Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Six Respondents and Staying the Proceeding as to One Respondent (Default Order), in Sabratek Corp., Admin. Proc. No. 3-14318. 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 Sabratek Corp., San Holdings, Inc., Scantek Medical, Inc., SciLabs Holdings, Inc., The SCO Group, Inc., and SinoFresh Healthcare, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Secure Technologies Group, Inc. See Sabratek Corp., Exchange Act Release No. 64409 (May 5, 2011). The proceeding has been stayed pending settlement as to Respondent SBD International, Inc. (n/k/a Solargy Systems, Inc.). (Rel. 34-64541; File No. 3-14318) SEC Charges New Jersey Resident With Multiple Instances of Insider TradingOn May 24, 2011, the Securities and Exchange Commission charged Abraham Haim with insider trading in the securities of five companies based on material nonpublic information regarding potential acquisitions he misappropriated from a relative, an investment banker, who by virtue of his employment, had material nonpublic information regarding the acquisitions. Haim and the relative shared a relationship of trust and confidence. Unbeknownst to the relative, Haim allegedly surreptitiously listened to the relative’s private telephone conversations about the potential transactions, and read confidential documents, which referenced the transactions. By trading on the material nonpublic information he heard and saw, Haim allegedly breached his duty of trust and confidence that he owed to the relative. The Commission’s complaint alleges that between April 2006 and March 2007, Haim, a New Jersey resident and self-employed technology consultant, purchased securities in advance of merger and acquisition announcements based on material nonpublic information in Intergraph Corporation, Metasolv, Inc., Open Solutions Inc., Aeroflex Incorporated, and MapInfo Corporation in brokerage accounts he owned or controlled. According to the complaint, Haim knew that the relative owed a duty of confidentiality to his employer and his employer’s clients. Despite knowing that the relative could not, and did not, share nonpublic information with him, Haim misappropriated such information and used it for his own benefit. As a result of his trading, Haim generated $30,126 in illegal profits. Without admitting or denying the SEC’s allegations, Haim agreed to settle the charges against him. The settlement is pending final approval by the court. Specifically, Haim consented to the entry of a final judgment permanently enjoining him from violating Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder, ordering him to pay disgorgement of $30,126 plus prejudgment interest of $7,188 and imposing a civil penalty of $30,126. The SEC acknowledges the assistance of FINRA in connection with this matter. [SEC v. Abraham Haim, Civil Action No. 11-CV-295 (D.N.J.)] (LR-21977) Self-regulatory organizationsProposed Rule ChangeInternational Securities Exchange has filed a proposed rule change (SR-ISE-2011-30) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to complex orders. Publication is expected in the Federal Register during the week of May 23. (Rel. 34-64538) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 POST DATA, INC., 10160 - 114 ST., SUITE 403, EDMONTON, A0, T5K 2L2,
000-000-0000 - 10,000,000 ($100,000.00) Equity, (File 333-174433 -
May. 24) (BR. 11C)
S-3ASR LEGACY RESERVES LP, 303 W WALL, SUITE 1400, MIDLAND, TX, 79701,
432-689-5200 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174434 - May. 24) (BR. 04A)
S-8 UNITEDHEALTH GROUP INC, UNITEDHEALTH GROUP CENTER, 9900 BREN ROAD EAST,
MINNEAPOLIS, MN, 55343, 9529361300 - 0 ($8,438,789,425.00) Equity,
(File 333-174436 - May. 24) (BR. 01C)
S-8 UNITEDHEALTH GROUP INC, UNITEDHEALTH GROUP CENTER, 9900 BREN ROAD EAST,
MINNEAPOLIS, MN, 55343, 9529361300 -
20,000,000 ($1,004,000,000.00) Equity, (File 333-174437 - May. 24)
(BR. 01C)
S-3ASR PRINCIPAL FINANCIAL GROUP INC, 711 HIGH STREET, DES MOINES, IA,
50392-0300, 5152475111 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174438 - May. 24) (BR. 01B)
S-8 INNOSPEC INC., 8375 SOUTH WILLOW STREET, LITTLETON, CO, 80124,
303-792-5554 - 850,000 ($27,497,500.00) Equity, (File 333-174439 -
May. 24) (BR. 06C)
S-8 GLOBAL EARTH ENERGY, INC., 1213 CULBERTH DRIVE, WILLMINGTON, NC, 28405,
(910) 270-7749 - 100,000,000 ($400,000.00) Equity, (File 333-174442 -
May. 24) (BR. 08C)
S-1 iSoft International Inc., 1 AHMED KAMAL ST., SIDI GABER, ALEXANDRIA,
H2, 21311, 20 (10) 9204278 - 1,000,000 ($50,000.00) Equity,
(File 333-174443 - May. 24) (BR. )
S-8 Qihoo 360 Technology Co Ltd, Block 1, Area D, Huitong Times Plaza,
No. 71 Jianguo Rd, Chaoyang District, Beijing, F4, 100025,
(86-10) 5878-1000 - 0 ($196,569,425.33) ADRs/ADSs, (File 333-174444 -
May. 24) (BR. 03A)
S-1 MASCOT PROPERTIES, INC., 7985 113TH STREET, SUITE 220, SEMINOLE, FL,
33772, 727 393 7439 - 24,208,000 ($242,080.00) Equity,
(File 333-174445 - May. 24) (BR. )
S-8 ASHFORD HOSPITALITY TRUST INC, 14185 DALLAS PARKWAY SUITE 1100, DALLAS,
TX, 75254, 9724909600 - 0 ($74,060,000.00) Equity, (File 333-174448 -
May. 24) (BR. 08A)
S-3 COLDWATER CREEK INC, ONE COLDWATER CREEK DRIVE, SANDPOINT, ID, 83864,
2082632266 - 0 ($100,000,000.00) Unallocated (Universal) Shelf,
(File 333-174449 - May. 24) (BR. 09B)
S-8 LKQ CORP, 120 NORTH LASALLE STREET, SUITE 3300, CHICAGO, IL, 60602,
0 ($165,440,000.00) Equity, (File 333-174450 - May. 24) (BR. 05B)
S-8 Discovery Communications, Inc., 12300 LIBERTY BOULEVARD, ENGLEWOOD, CO,
80112, (720) 875-4000 - 0 ($218,350,000.00) Equity, (File 333-174451 -
May. 24) (BR. 11C)
S-1 Latrobe Specialty Metals, Inc., 2626 LIGONIER STREET, LATROBE, PA,
15650, (724) 537-7711 - 0 ($175,000,000.00) Equity, (File 333-174452 -
May. 24) (BR. )
S-8 LINKEDIN CORP, 2029 STIERLIN COURT, MOUNTAIN VIEW, CA, 94043,
650-687-3600 - 0 ($1,587,825,063.27) Equity, (File 333-174454 -
May. 24) (BR. 03C)
F-1 Cloudary Corp., 35 Boxia Road, Pudong New Area, Shanghai, F4, 201203,
86-21-6187-0500 - 0 ($200,000,000.00) ADRs/ADSs, (File 333-174455 -
May. 24) (BR. 03B)
S-8 Snap Interactive, Inc, 363 7TH AVENUE, NEW YORK,, NY, 10001,
(516)942-2030 - 7,500,000 ($15,750,000.00) Equity, (File 333-174456 -
May. 24) (BR. 03C)
S-3 KIT digital, Inc., 168 FIFTH AVENUE,, SUITE 302, NEW YORK, NY, 10010,
(212) 661-4111 - 1,443,643 ($16,739,040.59) Equity, (File 333-174457 -
May. 24) (BR. 11C)
S-1 Molycorp, Inc., 5619 DENVER TECH CENTER PARKWAY, SUITE 1000,
GREENWOOD VILLAGE, CO, 80111, (303) 843-8040 -
0 ($662,170,000.00) Equity, (File 333-174458 - May. 24) (BR. 04B)
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
AARON'S INC GA 1.01,2.03,9.01 05/18/11
ACCELRYS, INC. DE 1.01,9.01 05/19/11
ACTUANT CORP WI 1.01 05/24/11
ADA-ES INC CO 7.01,9.01 05/24/11
Advanced BioEnergy, LLC DE 5.02 05/18/11
ADVANT E CORP DE 8.01,9.01 05/24/11
AGENUS INC DE 8.01,9.01 05/24/11
ALABAMA POWER CO AL 8.01,9.01 05/18/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 05/24/11
AMERICAN CRYSTAL SUGAR CO /MN/ MN 7.01 05/23/11
AMERICAN DG ENERGY INC DE 1.01,2.03,3.02,9.01 05/23/11
AMERICAN INTERNATIONAL GROUP INC DE 8.01 05/24/11
AMERICAN REALTY CAPITAL NEW YORK RECO MD 5.07 05/23/11
AMERICAN SPECTRUM REALTY INC MD 8.01,9.01 05/24/11
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02,9.01 05/23/11
AmREIT, Inc. MD 5.07 05/18/11
Amtrust Financial Services, Inc. DE 5.07 05/23/11
ANALYSTS INTERNATIONAL CORP 7.01,9.01 05/24/11
ANALYSTS INTERNATIONAL CORP 5.07,9.01 05/24/11
AON CORP DE 8.01,9.01 05/24/11
APPLIED MATERIALS INC /DE DC 2.02,9.01 05/24/11
ARABIAN AMERICAN DEVELOPMENT CO DE 5.02 05/20/11
ARCA biopharma, Inc. DE 1.02,5.02 05/20/11
ARTHROCARE CORP DE 7.01 05/20/11
ASPA Gold Corp NV 4.01,5.03 04/06/11 AMEND
ASSISTED LIVING CONCEPTS INC NV 5.03,9.01 05/20/11
ATHEROS COMMUNICATIONS INC DE 2.01,3.01,3.03,5.01, 05/24/11
5.02,5.03,9.01
Austin Acquisitions, Inc NV 8.01,9.01 05/23/11
AUTOLIV INC DE 1.02,8.01 05/20/11
AUTOZONE INC NV 2.02,9.01 05/24/11
Avago Technologies LTD U0 2.02,7.01,9.01 05/24/11
Avantair, Inc DE 7.01,9.01 05/24/11
AVIS BUDGET GROUP, INC. DE 5.07 05/20/11
AWARE INC /MA/ MA 5.02,9.01 05/20/11
AZZ INC TX 7.01,8.01,9.01 05/24/11
BAB, INC. DE 5.07 05/24/11
BANK OF NEW ENGLAND CORP MA 1.03 04/30/11
BARNES GROUP INC DE 5.02 05/20/11
BB&T CORP NC 7.01,9.01 05/24/11
BofI Holding, Inc. DE 7.01,9.01 05/24/11
Bonanza Goldfield Corp. NV 4.01,9.01 05/24/11
BOND LABORATORIES, INC. NV 2.02,8.01,9.01 05/24/11
BOOKS A MILLION INC DE 2.02,9.01 05/24/11
BRANDYWINE REALTY TRUST MD 5.02,9.01 05/24/11
Bridgeline Digital, Inc. DE 5.02 05/20/11
Brooklyn Federal Bancorp, Inc. X1 3.01,9.01 05/24/11
BUCKEYE PARTNERS, L.P. DE 7.01,9.01 05/24/11
CAREER EDUCATION CORP DE 8.01 05/17/11
Cavico Corp 5.02 05/18/11
CENTRAL VALLEY COMMUNITY BANCORP CA 5.07 05/18/11
CEPHALON INC DE 1.01,8.01,9.01 05/20/11
Cereplast Inc NV 1.01,3.02,9.01 05/24/11
Chesapeake Lodging Trust MD 5.02 05/24/11
CHESAPEAKE MIDSTREAM PARTNERS LP DE 5.02 05/21/11
CHINA HGS REAL ESTATE INC. F4 1.01 05/18/11
Chrysler Group LLC DE 1.01,1.02,2.03,8.01, 05/24/11
9.01
CITIGROUP INC DE 9.01 05/24/11
CITIZENS REPUBLIC BANCORP, INC. MI 5.02,5.07 05/18/11
CLEAN POWER CONCEPTS INC. 1.01,9.01 05/18/11
CLEANTECH TRANSIT, INC. NV 5.02 05/23/11
CLOROX CO /DE/ DE 8.01 05/18/11
CMS ENERGY CORP MI 7.01,9.01 05/24/11
COLLECTIVE BRANDS, INC. DE 2.02,7.01,9.01 05/24/11
COMMERCIAL METALS CO DE 1.01,2.03 05/18/11
COMMITTED CAPITAL ACQUISITION Corp DE 5.02,5.03,9.01 05/20/11
COMMUNITY SHORES BANK CORP MI 1.01,9.01 05/18/11
CONSOLIDATED GRAPHICS INC /TX/ TX 7.01 05/24/11
Constant Contact, Inc. DE 1.01,1.02,9.01 05/24/11
Core-Mark Holding Company, Inc. DE 5.07 05/24/11
CoreSite Realty Corp MD 5.07 05/19/11
CORN PRODUCTS INTERNATIONAL INC DE 5.07 05/18/11
CORNERSTONE THERAPEUTICS INC DE 5.07 05/18/11
CRACKER BARREL OLD COUNTRY STORE, INC TN 2.02,7.01,9.01 05/24/11
CRAWFORD & CO GA 7.01,9.01 05/24/11
CRYO CELL INTERNATIONAL INC DE 8.01,9.01 05/24/11
CSX CORP VA 1.01,2.03,9.01 05/20/11
CVD EQUIPMENT CORP NY 1.01,8.01,9.01 05/23/11
CYBEROPTICS CORP MN 5.07 05/23/11
CYTODYN INC CO 1.01,7.01,9.01 05/20/11
DecisionPoint Systems, Inc. DE 1.01,2.03,3.02,5.02, 05/18/11
9.01
DEERE & CO DE 8.01 05/24/11
DELTA MUTUAL INC DE 4.01,9.01 05/06/11 AMEND
DONALDSON CO INC DE 2.02,9.01 05/20/11
DONALDSON CO INC DE 8.01,9.01 05/24/11
DRIL-QUIP INC DE 8.01,9.01 05/23/11
DSW Inc. OH 2.02,9.01 05/24/11
DUPONT E I DE NEMOURS & CO DE 2.01 05/19/11
EAGLE BANCORP INC MD 5.07 05/19/11
EAGLE FINANCIAL SERVICES INC VA 5.07 05/18/11
EAGLE ROCK ENERGY PARTNERS L P DE 7.01,9.01 05/24/11
EARTHLINK INC DE 7.01,9.01 05/24/11
EAU TECHNOLOGIES, INC. DE 5.02 05/20/11
Edgen Murray II, L.P. DE 2.02 05/24/11
EGPI FIRECREEK, INC. NV 9.01 03/01/11 AMEND
EL PASO CORP/DE DE 5.02,7.01,8.01,9.01 05/24/11
ELITE PHARMACEUTICALS INC /DE/ DE 8.01,9.01 05/24/11
Ensco plc 1.01,8.01,9.01 05/23/11
ENTERPRISE FINANCIAL SERVICES CORP DE 8.01,9.01 05/24/11
ENTROPIC COMMUNICATIONS INC DE 5.02,5.07,9.01 05/19/11
EPICOR SOFTWARE CORP DE 5.02 05/19/11
EQUITY ONE, INC. 1.01,3.02,9.01 05/18/11
ESPEY MFG & ELECTRONICS CORP NY 8.01,9.01 05/23/11
EURONET WORLDWIDE INC DE 5.02,5.07,9.01 05/18/11
EXELIXIS INC DE 5.02,5.07,9.01 05/18/11
EXPRESS, INC. 2.02,9.01 05/24/11
EXTERRAN HOLDINGS INC. DE 1.01,7.01,9.01 05/23/11
EXTERRAN PARTNERS, L.P. DE 1.01,2.03,3.02,7.01, 05/23/11
9.01
EXTERRAN PARTNERS, L.P. DE 9.01 05/24/11
EZCORP INC DE 7.01,9.01 05/24/11
Federal Home Loan Bank of Atlanta X1 2.03 05/24/11
Federal Home Loan Bank of Chicago X1 2.03 05/18/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/18/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/20/11
Federal Home Loan Bank of Indianapoli X1 7.01,9.01 05/19/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/19/11
Federal Home Loan Bank of New York X1 2.03,9.01 05/18/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/18/11
Federal Home Loan Bank of San Francis X1 2.03 05/18/11
Federal Home Loan Bank of Seattle 2.03 05/18/11
Federal Home Loan Bank of Topeka 2.03,9.01 05/19/11
FEDERAL SIGNAL CORP /DE/ DE 5.02 05/19/11
Fibrocell Science, Inc. DE 8.01 05/24/11
FIELDPOINT PETROLEUM CORP CO 7.01,9.01 05/24/11
FIFTH THIRD BANCORP OH 7.01,9.01 05/24/11
Financial Engines, Inc. DE 8.01 05/20/11
FIRST BANCSHARES INC /MO/ MO 5.02,5.03,9.01 05/20/11
FIRST FINANCIAL BANCORP /OH/ OH 7.01 05/23/11
First Physicians Capital Group, Inc. DE 7.01,9.01 05/24/11
FIRST POTOMAC REALTY TRUST MD 7.01 05/24/11
FIRST SOLAR, INC. DE 1.01,2.03,9.01 05/18/11
First Trinity Financial CORP 5.07 05/18/11
FISHER COMMUNICATIONS INC WA 5.03,5.07,8.01,9.01 05/11/11 AMEND
FLUIDIGM CORP DE 5.02,8.01 05/18/11
FMC CORP DE 7.01,9.01 05/24/11
FONAR CORP DE 5.07 05/20/11
FOOT LOCKER INC NY 5.02,5.07,9.01 05/18/11
FORMFACTOR INC DE 5.07 05/19/11
FORMFACTOR INC DE 5.02 03/08/11 AMEND
FPIC INSURANCE GROUP INC FL 1.01,7.01,9.01 05/23/11
Fresh Harvest Products, Inc. NJ 1.01,3.02,9.01 05/17/11
FUEL TECH, INC. DE 5.07 05/19/11
Furiex Pharmaceuticals, Inc. DE 5.07 05/19/11
FutureFuel Corp. DE 7.01,9.01 05/24/11
GASCO ENERGY INC NV 8.01,9.01 03/20/11
GENOMIC HEALTH INC 8.01,9.01 05/24/11
GETTY REALTY CORP /MD/ MD 5.07 05/19/11
Global Eagle Acquisition Corp. DE 8.01,9.01 05/18/11
GLOBAL EARTH ENERGY, INC. NH 8.01,9.01 05/24/11
GLOBAL POWER EQUIPMENT GROUP INC. DE 5.02,5.07,9.01 05/19/11
GLOWPOINT INC DE 1.01,9.01 05/20/11
Granite Falls Energy, LLC MN 5.02 05/19/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 05/24/11
Greenfield Farms Food, Inc. NV 5.06,9.01 05/24/11
GRYPHON GOLD CORP NV 7.01,9.01 05/24/11
Gulf Shores Investments, Inc. NV 5.01,5.02,9.01 05/23/11
HANOVER INSURANCE GROUP, INC. DE 8.01,9.01 05/23/11
HANSEN NATURAL CORP DE 5.02,5.07,9.01 05/19/11
HARRIS CORP /DE/ DE 5.02,9.01 05/23/11
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 05/20/11
HAWAIIAN HOLDINGS INC DE 8.01 05/23/11
HealthMarkets, Inc. DE 5.07 05/23/11
HealthWarehouse.com, Inc. DE 2.02,9.01 05/24/11
HEICO CORP FL 2.02,9.01 05/24/11
HELMERICH & PAYNE INC DE 7.01,9.01 05/24/11
HOME BANCORP, INC. LA 7.01,9.01 05/23/11
HOTELPLACE, INC. NV 3.02,5.01,5.02 05/24/11
IDENTIVE GROUP, INC. DE 1.01,8.01,9.01 05/24/11
INERGY L P DE 5.02,9.01 05/24/11
INFINERA CORP DE 5.02,9.01 05/23/11
Ingersoll-Rand plc L2 1.01,2.03,9.01 05/20/11
INSIGNIA SYSTEMS INC/MN MN 8.01 05/24/11
INTEGRA LIFESCIENCES HOLDINGS CORP DE 2.03,8.01,9.01 05/20/11
INTEL CORP DE 5.07 05/19/11
IntelGenx Technologies Corp. DE 5.02,9.01 05/24/11
INTERACTIVE DATA CORP/MA/ DE 5.02 05/18/11
INTERNATIONAL LEASE FINANCE CORP CA 1.01,2.03,9.01 05/24/11
IPAYMENT INC DE 5.01,5.02,8.01,9.01 05/23/11
J P MORGAN CHASE & CO DE 8.01,9.01 05/17/11
J2 GLOBAL COMMUNICATIONS INC DE 7.01 05/24/11
JACKSON HEWITT TAX SERVICE INC DE 1.01,1.03,2.04,7.01, 05/20/11
9.01
JUNIPER GROUP INC NY 8.01 05/24/11
KBR, INC. DE 5.07 05/23/11
Kenergy Scientific, Inc. NJ 5.03,9.01 05/05/11
KEY ENERGY SERVICES INC MD 5.07 05/24/11
Keyuan Petrochemicals, Inc. NV 3.01,9.01 05/19/11
KINDRED HEALTHCARE, INC DE 8.01,9.01 05/24/11
KIT digital, Inc. DE 9.01 05/03/11 AMEND
KULICKE & SOFFA INDUSTRIES INC PA 5.02 05/18/11
La Cortez Energy, Inc. NV 7.01,9.01 05/24/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/23/11
LAM RESEARCH CORP DE 5.03,9.01 05/18/11
Lantis Laser Inc. NV 2.01,3.02,5.02,9.01 05/23/11
LEHMAN ABS CORP AT&T NOTE BACKED SERI DE 8.01,9.01 05/16/11
LEHMAN ABS CORP BCKD TR CRTS FRD MOT DE 8.01,9.01 05/16/11
LEHMAN ABS CORP CNA FINANCIAL DEBENTU DE 8.01,9.01 05/16/11
LEHMAN ABS CORP SPRINT CAPITAL BACK S DE 8.01,9.01 05/16/11
LEVEL 3 COMMUNICATIONS INC DE 1.01,9.01 05/24/11
LEXINGTON REALTY TRUST MD 5.07 05/24/11
LIBBEY INC DE 5.07 05/19/11
Liberty Global, Inc. 7.01 05/23/11
LIGHTING SCIENCE GROUP CORP DE 8.01,9.01 05/24/11
LIVEDEAL INC NV 3.01,5.02 05/18/11
LNB BANCORP INC OH 7.01,9.01 05/24/11
MAC-GRAY CORP DE 5.02,5.07,9.01 05/18/11
Macy's, Inc. DE 5.03,5.07,9.01 05/20/11
MAGNETEK, INC. DE 7.01 05/24/11
Magnolia Solar Corp NV 8.01,9.01 05/24/11
MANHATTAN PHARMACEUTICALS INC DE 5.07 05/20/11
Mantra Venture Group Ltd. 1.01,3.02,5.02,9.01 05/17/11
MAP Pharmaceuticals, Inc. DE 5.07 05/19/11
MARINE GROWTH VENTURES INC 4.02,9.01 05/11/11 AMEND
MARINE PETROLEUM TRUST TX 7.01,9.01 05/20/11
MB FINANCIAL INC /MD MD 7.01 05/23/11 AMEND
MEDIA SCIENCES INTERNATIONAL INC 5.02 05/18/11
MEDICAL PROPERTIES TRUST INC 5.07 05/19/11
MEDTRONIC INC MN 2.02,9.01 05/24/11
Mercantile Bancorp, Inc. DE 5.07,7.01,8.01,9.01 05/23/11
MERRILL LYNCH DEPOSITOR INC PPLUS TRU DE 8.01,9.01 05/16/11
MESA ROYALTY TRUST/TX TX 2.02,9.01 05/24/11
META FINANCIAL GROUP INC DE 8.01,9.01 05/24/11
METABOLIX, INC. 5.02,5.07,8.01,9.01 05/19/11
Midway Gold Corp A1 7.01,9.01 05/24/11
Midway Gold Corp A1 1.01,7.01,9.01 05/24/11
MIT Holding, Inc. DE 1.01,9.01 05/24/11
Mojo Ventures, Inc. DE 5.03 05/23/11
MOOG INC NY 8.01,9.01 05/24/11
NEWBRIDGE BANCORP NC 7.01,9.01 05/24/11
NOBEL LEARNING COMMUNITIES INC DE 5.02,9.01 05/18/11
Norcraft Holdings, L.P. DE 8.01,9.01 05/23/11
NORTHERN OIL & GAS, INC. 7.01 05/23/11
NORTHRIM BANCORP INC AK 5.07 05/19/11
Northwest Bancshares, Inc. MD 5.02,9.01 05/18/11
NPS PHARMACEUTICALS INC DE 5.02,5.03,5.07,9.01 05/18/11
NuStar Energy L.P. DE 1.01,9.01 05/23/11
NVIDIA CORP DE 5.03,5.07,9.01 05/18/11
OGE ENERGY CORP. OK 5.07 05/24/11
OLD POINT FINANCIAL CORP VA 7.01,9.01 05/24/11
Options Media Group Holdings, Inc. NV 3.02 05/17/11
ORB Automotive E9 1.01,3.02,9.01 05/18/11
OVERSTOCK.COM, INC DE 5.07 05/04/11 AMEND
PAA NATURAL GAS STORAGE LP DE 7.01 05/24/11
PACIFIC SUNWEAR OF CALIFORNIA INC CA 2.02,9.01 05/24/11
PACIFIC WEBWORKS INC NV 5.02,9.01 05/18/11
PACWEST BANCORP DE 1.01,9.01 05/18/11
PAIN THERAPEUTICS INC DE 5.07 05/19/11
PALOMAR MEDICAL TECHNOLOGIES INC DE 5.07 05/24/11
PC TEL INC DE 1.01,9.01 01/05/11 AMEND
PDL BIOPHARMA, INC. DE 7.01,8.01,9.01 05/24/11
PEOPLES BANCORP INC/MD MD 5.07 05/18/11
PEOPLESTRING CORP DE 1.01,3.02,7.01,9.01 05/18/11
PEPCO HOLDINGS INC DE 5.07 05/20/11
Pinnacle Foods Finance LLC DE 7.01,9.01 05/24/11
PINNACLE WEST CAPITAL CORP AZ 5.07 05/18/11
PLAINS ALL AMERICAN PIPELINE LP DE 7.01 05/24/11
POTASH AMERICA, INC. NV 7.01 05/19/11
POWELL INDUSTRIES INC NV 1.01,2.03,9.01 05/18/11
POWRTEC CORP DE 1.01,2.03,3.02,9.01 05/20/11
PPLUS Trust Series GSC-2 DE 8.01,9.01 05/16/11
PREMIER EXHIBITIONS, INC. FL 1.01,2.02,3.02,9.01 05/24/11
PRIDE INTERNATIONAL INC DE 1.01,9.01 05/23/11
PULSE ELECTRONICS CORP PA 5.03,5.07,9.01 05/24/11
QLIK TECHNOLOGIES INC DE 5.02,5.07,9.01 05/19/11
QNB CORP PA 5.07 05/24/11
QUALCOMM INC/DE DE 2.01,8.01,9.01 05/24/11
QUALITY DISTRIBUTION INC FL 5.07 05/24/11
RADIENT PHARMACEUTICALS Corp DE 2.02,7.01,9.01 05/24/11
RADIO ONE, INC. DE 5.02,5.07 05/18/11
RADISYS CORP OR 5.02 05/20/11
Radius Health, Inc. 8.01,9.01 05/24/11
RAE SYSTEMS INC DE 1.01,9.01 05/20/11
RAND CAPITAL CORP NY 5.07 04/29/11
RASER TECHNOLOGIES INC UT 7.01,9.01 05/19/11
READING INTERNATIONAL INC NV 5.07,9.01 05/19/11
READING INTERNATIONAL INC NV 8.01,9.01 05/19/11
REAL ESTATE ASSOCIATES LTD III CA 2.01 05/18/11
REGIONS FINANCIAL CORP DE 5.07 05/19/11
REINSURANCE GROUP OF AMERICA INC MO 9.01 05/24/11
RETRACTABLE TECHNOLOGIES INC TX 8.01,9.01 05/20/11
REVA Medical, Inc. DE 7.01,9.01 05/24/11
REVA Medical, Inc. DE 5.07 05/22/11
Rock-Tenn CO GA 8.01,9.01 05/24/11
Rockwood Holdings, Inc. DE 7.01,9.01 05/24/11
Rovi Corp DE 5.02,5.07,9.01 05/24/11
SCBT FINANCIAL CORP SC 7.01,9.01 05/24/11
SCOTTS LIQUID GOLD INC CO 5.02,5.07,9.01 05/18/11
Scripps Networks Interactive, Inc. OH 5.07 05/18/11
SHARPS COMPLIANCE CORP DE 5.02,9.01 05/24/11
Signature Exploration & Production Co DE 7.01,9.01 05/24/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 05/23/11
SKYSTAR BIO-PHARMACEUTICAL CO NV 8.01,9.01 05/23/11
SLM CORP DE 5.07 05/19/11
Socialwise, Inc. (formerly known as I CO 5.02 05/23/11
Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 05/24/11
Sonora Resources Corp. NV 1.01,2.03,9.01 05/19/11
SOUNDBITE COMMUNICATIONS INC 5.02,9.01 05/18/11 AMEND
SOUTHERN MICHIGAN BANCORP INC MI 7.01,9.01 05/24/11
SOUTHERN UNION CO DE 1.01,2.03 05/20/11
SOUTHWEST AIRLINES CO TX 5.07 05/18/11
SPHERIX INC DE 8.01,9.01 05/24/11
STATE STREET Corp MA 5.02,5.07,9.01 05/18/11
STEC, INC. CA 5.02,5.07,9.01 05/19/11
STEEL DYNAMICS INC IN 5.07 05/19/11
STEIN MART INC FL 2.02,9.01 05/19/11
STERLING GROUP VENTURES INC NV 8.01,9.01 05/23/11
STERLING GROUP VENTURES INC NV 8.01,9.01 05/24/11
STRATEGIC HOTELS & RESORTS, INC 5.02,5.07,9.01 05/19/11
Strategic Mining Corp 5.02 05/23/11
SUBAYE, INC. 5.02 05/20/11
SUFFOLK BANCORP NY 3.01,9.01 05/18/11
SUMMIT FINANCIAL GROUP INC WV 5.07 05/24/11
SunOpta Inc. 5.02,5.07,9.01 05/24/11
SupportSave Solutions Inc 5.02 05/23/11
SUSQUEHANNA BANCSHARES INC PA 7.01,9.01 05/24/11
T3 Motion, Inc. DE 7.01,9.01 05/24/11
TAKE TWO INTERACTIVE SOFTWARE INC DE 1.01,2.02,9.01 05/20/11
TapSlide, Inc. CO 5.02,9.01 05/20/11
Tempco, Inc. NV 5.02 05/18/11
TERADYNE, INC MA 5.07 05/24/11
TESORO LOGISTICS LP DE 7.01,9.01 05/24/11
TESSERA TECHNOLOGIES INC DE 8.01,9.01 05/23/11
THERAGENICS CORP DE 5.07 05/20/11
THERMO FISHER SCIENTIFIC INC. DE 1.01,9.01 05/19/11
Thompson Creek Metals CO Inc. A6 5.02,9.01 05/23/11
TIDEWATER INC DE 7.01,9.01 05/19/11
TIFFANY & CO DE 5.07 05/19/11
TIVO INC DE 8.01 05/24/11
TIVO INC DE 2.02,9.01 05/24/11
TOWER FINANCIAL CORP IN 5.02,5.07 05/19/11
TPC Group Inc. DE 5.02,9.01 05/23/11
Transcept Pharmaceuticals Inc DE 7.01,9.01 05/24/11
TRANSGENOMIC INC DE 5.07 05/18/11
TRANSIT MANAGEMENT HOLDING CORP 9.01 05/13/11 AMEND
TRICO BANCSHARES / CA 8.01,9.01 05/24/11
TRIUMPH GROUP INC DE 8.01,9.01 05/19/11
UNION PACIFIC CORP UT 8.01,9.01 05/23/11
United Financial Bancorp, Inc. 4.01,9.01 05/19/11
URANIUM ENERGY CORP NV 7.01,9.01 05/24/11
Urban Barns Foods Inc. NV 5.03,9.01 05/20/11
US BANCORP \DE\ DE 8.01,9.01 05/24/11
VALERO ENERGY CORP/TX DE 8.01,9.01 05/24/11
Valiant Health Care, Inc. FL 1.02,9.01 05/19/11
Vera Bradley, Inc. 5.02,9.01 05/20/11
Verso Paper Corp. DE 5.07 05/19/11
Vertro, Inc. DE 1.01,7.01,9.01 05/19/11
VIAD CORP DE 1.01,2.03,9.01 05/18/11
VICON INDUSTRIES INC /NY/ NY 5.02,5.07 05/18/11
Vicor Technologies, Inc. DE 7.01,9.01 05/24/11
VIROPHARMA INC DE 5.07 05/23/11
VirtualScopics, Inc. DE 2.02,7.01,9.01 05/24/11
VISUALANT INC NV 1.01,9.01 05/19/11
VIVUS INC CA 7.01,9.01 05/24/11
Voice Assist, Inc. NV 1.01,2.01,9.01 03/21/11 AMEND
Vyteris, Inc. NV 5.02,7.01,9.01 05/19/11
WALTER INVESTMENT MANAGEMENT CORP MD 7.01 05/24/11
Warner Music Group Corp. DE 1.01,8.01,9.01 05/23/11
WASTE CONNECTIONS, INC. DE 5.07 05/20/11
WCA WASTE CORP DE 7.01,9.01 05/23/11
WESTERN RESERVE BANCORP INC 5.07 05/19/11
Western Union CO DE 5.07 05/20/11
WESTFIELD FINANCIAL INC MA 5.07,8.01 05/19/11
WEYERHAEUSER CO WA 7.01,9.01 05/19/11
Wilhelmina International, Inc. DE 5.03,9.01 05/18/11
WILLIAMS COMPANIES INC DE 5.07 05/19/11
WIRELESS RONIN TECHNOLOGIES INC MN 8.01 05/24/11
WORLD ACCEPTANCE CORP SC 8.01 05/24/11
XCEL ENERGY INC MN 5.02,5.03,5.07,9.01 05/18/11
YUM BRANDS INC NC 5.02,5.07 05/24/11
http://www.sec.gov/news/digest/2011/dig052511.htm
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