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Enforcement proceedingsIn the Matter of Commercial Mortgage Resources Corp., Compressant Corp., Compression Labs, Inc., Consolidated Golden Quail Resources, Ltd., Consolidated NRD Resources Ltd., Contemporary Solutions, Inc. (n/k/a Purescience), Continental Heritage Corp. (n/k/a Visionquest Worldwide Holdings Corp.), and Corniche Corp.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) as to Compressent Corporation, Compression Labs, Inc., Consolidated Golden Quail Resources, Ltd., Consolidated NRD Resources Ltd., Contemporary Solutions, Inc. (n/k/a Purescience), Continental Heritage Corp. (n/k/a Visionquest Worldwide Holdings Corporation), and Corniche Corporation (collectively, Respondents), in Commercial Mortgage Resources Corp., Admin. Proc. No. 3-14356. 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 as to Respondents and revokes the registrations of each class of their registered securities, pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent Commercial Mortgage Resources Corp. See Commercial Mortgage Resources Corp., Exchange Act Release No. 64499 (May 16, 2011). (Rel. 34-64554; File No. 3-14356) Commission Revokes Registration of Securities of Concept Digital, Inc. for Failure to Make Required Periodic FilingsOn May 27, 2011, the Commission revoked the registration of each class of registered securities of Concept Digital, Inc. (Concept Digital) 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, Concept Digital 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 Concept Digital, 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 Concept Digital’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Concept Digital in In the Matter of Columbia Futures Fund, et al., Administrative Proceeding File No. 3-14366. 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 Columbia Futures Fund, et al., Administrative Proceeding File No. 3-14366, Exchange Act Release No. 64384, May 3, 2011. (Rel. 34-64556; File No. 3-14366) In the Matter of UBS Financial Services Inc.The Securities and Exchange Commission announced that it has granted to UBS Financial Services Inc. (UBS), on behalf of itself and its current and future affiliates, a waiver of the disqualification provisions of Section 27A(b)(1)(A)(ii) of the Securities Act of 1933 (Securities Act) and Section 21E(b)(1)(A)(ii) of the Securities Exchange Act of 1934 (Exchange Act). Those provisions disqualified UBS and its current and future affiliates from making use of the safe harbor for forward-looking statements provided by Section 27A of the Securities Act and Section 21E of the Exchange Act. The disqualifications arose by virtue of a Final Judgment entered on May 6, 2011 by Honorable William J. Martini, United States District Court Judge for the District of New Jersey in Securities and Exchange Commission v. UBS Financial Services Inc. (Case No. 11-cv-02539-WJM) enjoining UBS from violating Section 15(c)(1)(A) of the Exchange Act. Sections 27A(b) of the Securities Act and 21E(b) of the Exchange Act authorize the Commission to waive the disqualifications. In addition, the Securities and Exchange Commission determined, upon a showing of good cause, to grant UBS and its affiliates a waiver of the disqualification provisions of Rules 602(b)(4) and 602(c)(2) of the Securities Act that would otherwise be applicable by virtue of the Final Judgment. (Rel. 33-9212; 33-9213) Jury Finds Alfred S. Teo, Sr., Liable for Securities FraudOn Wednesday, May 25, 2011, a jury in federal court in Newark, New Jersey, returned a verdict in favor of the U.S. Securities and Exchange Commission finding Alfred S. Teo, Sr. liable for securities fraud and disclosure violations under the Securities Exchange Act of 1934. The jury also found the M.A.A.A. Trust, a trust for Teo’s children, liable for disclosure violations under the Exchange Act. The Commission had charged that Teo and the M.A.A.A. Trust made false public filings with the Commission, and failed to make required filings, thereby materially misrepresenting their ownership of stock in the Musicland Stores Corporation. The jury found that Teo violated Sections 10(b) and Rule 10b-5 thereunder and 13(d) of the Exchange Act. The jury also found that the M.A.A.A. Trust violated Sections 13(d) and 16(a) of the Exchange Act. The jury found the M.A.A.A. Trust not liable for violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. United States District Court Judge Susan D. Wigenton, who presided over the trial, previously granted the Commission’s motion for summary judgment with regard to Teo’s liability pursuant to Section 16(a) of the Exchange Act. Teo, age 65, is a resident of Kinnelon, New Jersey and Fisher Island, Florida. The M.A.A.A. Trust is a resident of New Jersey. Judge Wigenton will determine the relief. The Commission is seeking an injunction, disgorgement, prejudgment interest and civil penalties. [SEC v. Alfred S. Teo, Sr. and M.A.A.A. Trust, 04 Civ. 1815 (DNJ) (SW)] (LR-21982) Former Registered Representative Indicted on Criminal Charges in Connection With Misappropriation SchemeThe Securities and Exchange Commission announced today that on May 19, 2011, a federal grand jury returned a two-count indictment against Edward Lynn Moskop, a former registered representative and licensed insurance broker from Belleville, Illinois. Moskop, age 62, was indicted on charges of mail fraud and money laundering. The indictment alleges that Moskop, operating as Financial Services Moskop and Associates, Inc., acted as a securities broker for several customers by making investments on their behalf. According to the indictment, from 1991 to 2010, Moskop persuaded customers to provide him with funds for investment, but instead of making the investment, he kept the funds for his own use. The indictment alleges that Moskop obtained by fraud approximately $2,400,000 from 25 victims. According to the indictment, Moskop’s victims included his relatives, individuals referred by trusted friends and attorneys, a local Veterans of Foreign War Post, and long-time customers of his insurance business. The criminal case is being prosecuted in the U.S. District Court for the Southern District of Illinois. The criminal charges against Moskop are related to the conduct underlying the SEC’s civil action against Moskop and his company, Financial Services Moskop & Associates. On Nov. 19, 2010, the SEC filed an emergency civil action in the United States District Court for the Northern District of Illinois to halt an ongoing fraud on investors conducted by Moskop and his company. In its complaint, the SEC alleged that from 1989 until the filing of the SEC’s action against Moskop and his company, Moskop misappropriated most of the life savings of at least two elderly investors. On the same day the SEC filed its case, the Honorable Rebecca R. Pallmeyer, United States District Court Judge, granted the SEC’s motion for emergency relief, entering a temporary restraining order against Moskop and his company and an order freezing their assets. On Nov. 27, 2010, the court entered a preliminary injunction against Moskop and his company and continued the order freezing their assets. The SEC's action, which is ongoing, seeks permanent injunctions against Moskop and his company, disgorgement of their ill-gotten gains, and civil penalties. [U.S. v. Edward L. Moskop, Case No. 11 CR 30077 in the United States District Court for the Southern District of Illinois; SEC v. Edward L. Moskop and Financial Services Moskop & Associates, Inc., Civil Action No. 10 C 7462 in the United States District Court for the Northern District of Illinois] (LR-21983) Self-regulatory organizationsApproval of Proposed Rule ChangesThe Commission approved a proposed rule change (SR-Phlx-2011-46) submitted by NASDAQ OMX PHLX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to expand the number of components in the PHLX Gold/Silver SectorSM known as XAUSM, on which options are listed and traded. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64549) The Commission approved a proposed rule change (SR-NYSEArca-2011-11) submitted by NYSE Arca relating to the listing and trading of the Guggenheim Enhanced Core Bond ETF and Guggenheim Enhanced Ultra-Short Bond ETF. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64550) Accelerated Approval of Proposed Rule ChangeThe Commission approved a proposed rule change and issued notice of filing and granted on an accelerated basis approval to Amendment No. 1 thereto (SR-CBOE-2011-026), submitted by Chicago Board Options Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to list and trade to trade options on certain individual stock based and exchange-traded fund based volatility indexes. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64551) Immediate Effectiveness of Proposed Rule ChangeThe Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-NASDAQ-2011-070) filed by The NASDAQ Stock Market under Rule 19b-4 of the Securities Exchange Act of 1934 to modify the functionality of the post-only order. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64552) 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 Rexnord Corp, 4701 GREENFIELD AVENUE, MILWAUKEE, WI, 53214,
414-643-3000 - 0 ($700,000,000.00) Equity, (File 333-174504 - May. 26)
(BR. 10C)
S-8 Ameresco, Inc., 111 SPEEN STREET, FRAMINGHAM, MA, 01701, 508-661-2200 -
0 ($147,500,000.00) Equity, (File 333-174507 - May. 26) (BR. 06A)
F-1 Banco Santander Rio S.A., Bartolome Mitre 480,
(1036) Cuidad de Buenos Aires, Buenos Aires, C1, 00000,
54-11-4341-1000 - 0 ($100,000,000.00) Other, (File 333-174508 -
May. 26) (BR. 07)
S-8 CHRISTOPHER & BANKS CORP, 2400 XENIUM LANE NORTH, PLYMOUTH, MN,
55441-3626, 6125515000 - 0 ($7,735,500.00) Equity, (File 333-174509 -
May. 26) (BR. 09B)
S-8 COMPETITIVE TECHNOLOGIES INC, 1375 KINGS HIGHWAY EAST, FAIRFIELD, CT,
06824, (203) 368-6044 - 1,050,000 ($1,837,500.00) Equity,
(File 333-174518 - May. 26) (BR. 03A)
S-8 NN INC, 2000 WATERS EDGE DR, JOHNSON CITY, TN, 37604, 4237439151 -
2,500,000 ($35,925,000.00) Equity, (File 333-174519 - May. 26) (BR. 06A)
S-8 Eworld Interactive, Inc., 1088 SOUTH PUDONG ROAD, SUITE 1202, SHANGHAI,
F4, 200120, 021-6888 0708 -
500,000,000 ($500,000.00) Face Amount Certificates, (File 333-174520 -
May. 26) (BR. 05A)
S-8 UNITY BANCORP INC /NJ/, 64 OLD HIGHWAY 22, CLINTON, NJ, 08809,
9087307630 - 300,000 ($1,944,000.00) Equity, (File 333-174521 -
May. 26) (BR. 07A)
N-2 AETOS CAPITAL LONG/SHORT STRATEGIES FUND LLC,
CLIFFORD CHANCE ROGER & WELLS, 200 PARK AVENUE, NEW YORK, NY, 10166,
212-201-2500 - 0 ($1,535,314,400.00) Limited Partnership Interests,
(File 333-174522 - May. 26) (BR. 18)
N-2 AETOS CAPITAL MULTI-STRATEGY ARBITRAGE FUND LLC,
CLIFFORD CHANCE ROGER & WELLS, 200 PARK AVENUE, NEW YORK, NY, 10166,
212-201-2500 - 0 ($1,382,428,900.00) Limited Partnership Interests,
(File 333-174523 - May. 26) (BR. 18)
S-1 GenMark Diagnostics, Inc., 5964 LA PLACE COURT, CARLSBAD, CA, 92008,
(760) 448-4300 - 0 ($28,750,000.00) Equity, (File 333-174524 - May. 26)
(BR. 10B)
N-2 AETOS CAPITAL DISTRESSED INVESTMENT STRATEGIES FUND LLC,
CLIFFORD CHANCE ROGER & WELLS, 200 PARK AVENUE, NEW YORK, NY, 10166,
212-201-2500 - 0 ($338,501,300.00) Limited Partnership Interests,
(File 333-174525 - May. 26) (BR. 18)
S-8 BROWN SHOE CO INC, 8300 MARYLAND AVE, P O BOX 29, ST LOUIS, MO, 63105,
3148544000 - 2,249,572 ($24,452,848.00) Equity, (File 333-174526 -
May. 26) (BR. 09B)
S-1 ASB Bancorp Inc, 11 CHURCH STREET, ASHEVILLE, NC, 28801, 828-254-7411 -
0 ($83,317,500.00) Equity, (File 333-174527 - May. 26) (BR. 07)
S-8 TIFFANY & CO, 727 FIFTH AVE, NEW YORK, NY, 10022, 2122305321 -
0 ($34,540,000.00) Equity, (File 333-174528 - May. 26) (BR. 02A)
S-1 SUNGARD DATA SYSTEMS INC, SUNGARD DATA SYSTEMS INC,
680 EAST SWEDESFORD RD, WAYNE, PA, 19087, 4845825512 -
0 ($1.00) Non-Convertible Debt, (File 333-174529 - May. 26) (BR. 03A)
S-8 PSYCHEMEDICS CORP, 125 NAGOG PARK, ACTON, MA, 01720, 978-206-8220 -
250,000 ($2,507,500.00) Equity, (File 333-174531 - May. 26) (BR. 09B)
S-11 Medical Hospitality Group, Inc., 3241 PRESTON ROAD SUITE 7, FRISCO, TX,
75034, 214-618-8288 - 6,000,000 ($60,000,000.00) Equity,
(File 333-174533 - May. 26) (BR. )
S-8 AMARILLO BIOSCIENCES INC, AMARILLO BIOSCIENCES INC,
4134 BUSINESS PARK DRIVE, AMARILLO, TX, 79110-4225, (806) 376-1741 -
7,000,000 ($455,000.00) Equity, (File 333-174534 - May. 26) (BR. 01C)
S-3ASR REGENCY CENTERS CORP, ONE INDEPENDENT DRIVE, SUITE 114, JACKSONVILLE,
FL, 32202, 9045987000 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174535 - May. 26) (BR. 08C)
S-8 PERVASIVE SOFTWARE INC, 12365 RIATA TRACE PARKWAY, AUSTIN, TX, 78727,
5122316000 - 0 ($5,184,000.00) Equity, (File 333-174537 - May. 26)
(BR. 03A)
S-8 IAC/INTERACTIVECORP, 152 WEST 57TH ST, 42ND FLOOR, NEW YORK, NY, 10019,
2123147300 - 0 ($3,504,000.00) Equity, (File 333-174538 - May. 26)
(BR. 02B)
S-1 Pernix Group, Inc., 860 PARKVIEW BLVD, LOMBARD, IL, 60148, 6306204787 -
0 ($5,868,420.00) Equity, (File 333-174539 - May. 26) (BR. 06C)
S-8 VALENCE TECHNOLOGY INC, 12303 TECHNOLOGY BLVD, SUITE 950, AUSTIN, TX,
78727, 5125272900 - 1,500,000 ($1,875,000.00) Equity,
(File 333-174540 - May. 26) (BR. 10C)
S-3ASR SALESFORCE COM INC, THE LANDMARK, ONE MARKET STREET STE.300,
SAN FRANCISCO, CA, 94105, 0 ($57,787,766.00) Equity, (File 333-174541 -
May. 26) (BR. 03B)
S-8 DOMINOS PIZZA INC, 30 FRANK LLOYD WRIGHT DRIVE, ANN ARBOR, MI, 48106,
0 ($12,205,000.00) Equity, (File 333-174542 - May. 26) (BR. 02B)
S-1 POWER SOLUTIONS INTERNATIONAL, INC., 655 WHEAT LANE, WOOD DALE, IL,
60191, 630.350.9400 - 0 ($94,953,618.00) Equity, (File 333-174543 -
May. 26) (BR. 10C)
S-3 Resource Capital Corp., 712 FIFTH AVENUE, 12TH FLOOR, NEW YORK, NY,
10019, 212-506-3870 - 0 ($64,300,000.00) Equity, (File 333-174544 -
May. 26) (BR. 08C)
S-8 Anacor Pharmaceuticals Inc, 1020 E. MEADOW CIRCLE, PALO ALTO, CA,
94303, 650-543-7500 - 0 ($7,338,883.20) Equity, (File 333-174545 -
May. 26) (BR. 01A)
S-4 PAETEC Holding Corp., (585) 340-2500 -
0 ($450,000,000.00) Non-Convertible Debt, (File 333-174546 - May. 26)
(BR. 11A)
S-3 Lazard Group LLC, 30 ROCKEFELLER PLAZA, NEW YORK, NY, 10020,
(212)632-6000 - 0 ($1,500,000,000.00) Debt, (File 333-174547 - May. 26)
(BR. 06C)
S-1 Applied Minerals, Inc., 110 GREENE STREET, SUITE 1101, NEW YORK, NY,
10012, 212-226-4256 - 7,060,860 ($10,591,291.00) Equity,
(File 333-174548 - May. 26) (BR. 10A)
S-8 APTARGROUP INC, 475 W TERRA COTTA AVE, STE E, CRYSTAL LAKE, IL, 60014,
8154770424 - 0 ($226,556,000.00) Equity, (File 333-174549 - May. 26)
(BR. 06B)
S-8 WILLIAMS CONTROLS INC, 14100 SW 72ND AVENUE, PORTLAND, OR, 97224,
5036848600 - 320,000 ($3,740,800.00) Equity, (File 333-174550 -
May. 26) (BR. 05C)
S-8 WEST MARINE INC, 500 WESTRIDGE DRIVE, WATSONVILLE, CA, 95076-4100,
8317282700 - 1,900,000 ($19,494,000.00) Equity, (File 333-174551 -
May. 26) (BR. 02C)
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
1st Century Bancshares, Inc. DE 8.01,9.01 05/26/11
1st United Bancorp, Inc. FL 5.07 05/24/11
3D SYSTEMS CORP DE 7.01,9.01 05/26/11
3M CO DE 8.01,9.01 05/26/11
ABINGTON BANCORP, INC./PA 8.01,9.01 05/26/11
Advanced Biomedical Technologies Inc. NV 8.01 05/25/11
AFC ENTERPRISES INC MN 2.02,9.01 05/25/11
AFFYMAX INC DE 5.07 05/25/11
AGL RESOURCES INC GA 8.01 05/26/11
AKORN INC LA 8.01,9.01 05/26/11
All State Properties Holdings, Inc. NV 4.02 03/24/11
ALLIANCE DATA SYSTEMS CORP DE 1.01,1.02,2.03,7.01, 05/24/11
9.01
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 4.01,5.02,5.07,9.01 05/20/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 05/26/11
American Eagle Energy Inc. NV 1.01 05/19/11
AMERICAN EAGLE OUTFITTERS INC DE 2.02,9.01 05/25/11
AMERON INTERNATIONAL CORP DE 1.01,5.02,9.01 05/20/11
AMKOR TECHNOLOGY INC DE 5.02 05/23/11
AMP Holding Inc. NV 1.01,3.02,9.01 05/10/11 AMEND
AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 05/26/11
Anacor Pharmaceuticals Inc DE 5.02,5.07,9.01 05/25/11
ANGEION CORP/MN MN 2.02,7.01,8.01,9.01 05/26/11
ANNALY CAPITAL MANAGEMENT INC MD 8.01,9.01 05/26/11
ANWORTH MORTGAGE ASSET CORP MD 5.07,9.01 05/26/11
Apple REIT Eight, Inc. VA 9.01 05/12/11 AMEND
ARBITRON INC DE 5.07 05/24/11
ARCA biopharma, Inc. DE 8.01,9.01 05/26/11
Archipelago Learning, Inc. DE 2.02,7.01,9.01 05/26/11
ARENA PHARMACEUTICALS INC DE 8.01 05/26/11
ARGENTEX MINING CORP DE 1.01,8.01,9.01 05/26/11
Ascena Retail Group, Inc. DE 7.01,9.01 05/25/11
Asia Carbon Industries, Inc. MD 7.01,9.01 05/22/11
ASIARIM CORP NV 8.01 05/26/11
ASIARIM CORP NV 8.01 05/26/11 AMEND
AspenBio Pharma, Inc. CO 7.01,9.01 05/26/11
ASSURANCEAMERICA CORP NV 5.02,9.01 05/25/11
ATMI INC DE 5.02,5.07 05/25/11
AVANIR PHARMACEUTICALS, INC. DE 8.01,9.01 05/23/11
BALCHEM CORP MD 5.02 05/20/11
BANCFIRST CORP /OK/ OK 5.07,7.01 05/26/11
BANKUNITED FINANCIAL CORP FL 8.01,9.01 05/20/11
Beacon Federal Bancorp, Inc. MD 8.01,9.01 05/26/11
BEASLEY BROADCAST GROUP INC DE 5.07 05/25/11
Behringer Harvard Opportunity REIT I, MD 7.01,9.01 05/26/11
BELK INC 2.02,9.01 05/25/11
Beneficial Mutual Bancorp Inc X1 5.02,9.01 05/23/11
BJS WHOLESALE CLUB INC DE 5.07 05/26/11
BlackRock Kelso Capital CORP DE 5.07 05/26/11
BLUE COAT SYSTEMS INC DE 2.02,9.01 05/26/11
BODY CENTRAL CORP 5.02,5.07,9.01 05/25/11
Bridge Capital Holdings CA 2.02,9.01 05/26/11
BROWN SHOE CO INC NY 5.02,5.03,5.07,8.01, 05/26/11
9.01
BTHC XV, Inc. DE 1.01,2.03,9.01 01/27/11
Builders FirstSource, Inc. DE 5.07 05/25/11
CABLEVISION SYSTEMS CORP /NY DE 5.07 05/24/11
CALIFORNIA WATER SERVICE GROUP DE 5.07 05/24/11
CAMCO FINANCIAL CORP DE 5.07 05/24/11
CAMERON INTERNATIONAL CORP DE 9.01 05/25/11
CAMERON INTERNATIONAL CORP DE 1.01,7.01,9.01 05/25/11
CARLISLE COMPANIES INC DE 5.07 05/13/11
CATERPILLAR INC DE 1.01,9.01 05/24/11
CCA INDUSTRIES INC DE 5.02,8.01,9.01 05/26/11
CDW Corp DE 5.02 05/23/11
CEDAR SHOPPING CENTERS INC MD 1.01,5.02,9.01 05/24/11
CENTURY PROPERTIES FUND XVII CA 1.01,9.01 05/23/11
CH ENERGY GROUP INC NY 8.01,9.01 05/26/11
CHEESECAKE FACTORY INC DE 8.01,9.01 05/26/11
China Environmental Protection Inc. NV 4.02 01/21/11 AMEND
CHINA FORESTRY INC NV 1.02 05/20/11
CHIPOTLE MEXICAN GRILL INC 5.02,5.07,9.01 05/25/11
CIRRUS LOGIC INC DE 5.02,5.03,8.01,9.01 05/23/11
CITIZENS BANCSHARES CORP /GA/ GA 5.07 05/26/11
CITIZENS HOLDING CO /MS/ MS 7.01,9.01 05/26/11
CITY HOLDING CO WV 7.01 05/25/11
CITY HOLDING CO WV 4.01,9.01 05/25/11
CLEAN WIND ENERGY TOWER, INC. NV 1.01,3.02,9.01 05/24/11
COASTAL BANKING CO INC SC 5.07 05/25/11
COGNIZANT TECHNOLOGY SOLUTIONS CORP 8.01,9.01 05/26/11
COLLECTIVE BRANDS, INC. DE 5.07,9.01 05/26/11
COLONY BANKCORP INC GA 5.07 05/24/11
COLUMBIA BANKING SYSTEM INC WA 2.01,7.01,9.01 05/20/11
COMMERCIAL METALS CO DE 7.01,9.01 05/26/11
COMPLETE GENOMICS INC DE 8.01,9.01 05/26/11
CORNERSTONE HEALTHCARE PLUS REIT, INC MD 5.02 05/21/11
CORPORATE BOND BACKED CERT TR SER 199 DE 8.01,9.01 05/16/11
CORVEL CORP DE 2.02,9.01 05/26/11
Crestwood Midstream Partners LP DE 7.01,9.01 05/24/11
CROWN CASTLE INTERNATIONAL CORP DE 5.03,5.07,9.01 05/24/11
CUBIC ENERGY INC TX 5.07,7.01,9.01 05/25/11
CYBEX INTERNATIONAL INC NY 8.01,9.01 05/26/11
Cyclacel Pharmaceuticals, Inc. DE 5.07 05/24/11
dELiAs, Inc. DE 2.02,5.02,9.01 05/23/11
DELTEK, INC DE 5.07 05/26/11
DERMA SCIENCES, INC. PA 5.07 05/25/11
DEX ONE Corp DE 5.02,9.01 05/25/11
DIAMOND OFFSHORE DRILLING INC DE 5.07 05/23/11
DILLARDS INC DE 5.07 05/21/11
DOUGLAS DYNAMICS, INC DE 8.01,9.01 05/20/11
DRI CORP NC 7.01,9.01 05/26/11
DRIL-QUIP INC DE 5.02,9.01 05/24/11
DRIVETIME AUTOMOTIVE GROUP INC DE 5.02 05/21/11
DSW Inc. OH 1.01,1.02,2.01,3.03, 05/26/11
5.03,8.01,9.01
Duke Energy CORP DE 1.01 05/23/11
DUN & BRADSTREET CORP/NW DE 5.02,7.01,9.01 05/24/11
DUPONT FABROS TECHNOLOGY, INC. MD 5.02,5.07,9.01 05/23/11
DYCOM INDUSTRIES INC FL 2.02,7.01,9.01 05/25/11
EAST WEST BANCORP INC 5.02,5.07,9.01 05/24/11
Emdeon Inc. DE 5.07 05/25/11
Emergent Health Corp. NV 1.01,8.01 05/16/11
EMERITUS CORP\WA\ WA 5.07 05/24/11
EMPIRE DISTRICT ELECTRIC CO KS 8.01,9.01 05/25/11
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,9.01 05/24/11
EPIC ENERGY RESOURCES, INC. CO 5.02,8.01,9.01 05/12/11
EPLUS INC DE 7.01 05/24/11
Essex Rental Corp. DE 7.01,9.01 05/26/11
Eternal Energy Corp. 1.01 05/19/11
EVERGREEN ENERGY INC DE 2.03,3.02,8.01,9.01 05/26/11
EVOLVING SYSTEMS INC DE 7.01 05/25/11
EXELON CORP PA 8.01 05/24/11
EXPLORE ANYWHERE HOLDING CORP NV 5.02 05/20/11
EXTERRAN PARTNERS, L.P. DE 1.01,8.01,9.01 05/25/11
FARMERS & MERCHANTS BANCORP INC OH 5.07 05/20/11 AMEND
Federal Home Loan Bank of Atlanta X1 2.03 05/26/11
Federal Home Loan Bank of Boston X1 2.03 05/20/11
Federal Home Loan Bank of Chicago X1 2.03 05/23/11
Federal Home Loan Bank of Cincinnati X1 2.03,9.01 05/23/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 05/24/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 05/26/11
Federal Home Loan Bank of New York X1 2.03,9.01 05/23/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 05/23/11
Federal Home Loan Bank of San Francis X1 2.03 05/23/11
Federal Home Loan Bank of Seattle 2.03 05/23/11
Federal Home Loan Bank of Topeka 2.03,9.01 05/23/11
FedFirst Financial Corp 8.01,9.01 05/26/11
Fibrocell Science, Inc. DE 8.01 05/26/11
Fidelity National Financial, Inc. 5.07 05/25/11
FIRST BANCORP /NC/ NC 8.01,9.01 05/26/11
First Clover Leaf Financial Corp. MD 5.07,9.01 05/24/11
FIRST KEYSTONE CORP PA 8.01 05/25/11
FIRST PACTRUST BANCORP INC MD 8.01,9.01 05/26/11
FIRST PACTRUST BANCORP INC MD 5.07 05/25/11
FIRST SOLAR, INC. DE 5.07 05/25/11
FLOWERS FOODS INC GA 1.01,2.03,5.02,5.07, 05/20/11
9.01
Forbes Energy Services Ltd. D0 1.01,3.03,8.01,9.01 05/20/11
Fortegra Financial Corp DE 9.01 05/26/11 AMEND
Fortress Investment Group LLC DE 5.07 05/26/11
FOUR OAKS FINCORP INC NC 1.01,9.01 05/24/11
FREDS INC TN 2.02,9.01 05/26/11
Freescale Semiconductor Holdings I, L D0 5.07,8.01 05/21/11
GAMETECH INTERNATIONAL INC DE 5.02 05/25/11
GASTAR EXPLORATION LTD 8.01,9.01 05/26/11
GENELINK INC PA 5.02,5.07,8.01 05/20/11
General Growth Properties, Inc. DE 5.02,9.01 05/26/11
GENESCO INC TN 2.02,9.01 05/26/11
GERBER SCIENTIFIC INC CT 2.05,7.01 05/24/11
Global Telecom & Technology, Inc. DE 1.01,8.01 05/26/11
GLU MOBILE INC DE 7.01,9.01 05/26/11
GOLDMAN SACHS GROUP INC DE 9.01 05/26/11
Gordmans Stores, Inc. DE 2.02,9.01 05/26/11
GRACO INC MN 1.01,9.01 05/23/11
GRAND RIVER COMMERCE INC MI 5.07 05/24/11
GRANITE CONSTRUCTION INC DE 5.03,5.07,9.01 05/20/11
Great American Group, Inc. DE 1.01,2.03,9.01 05/20/11
Great Spirits Inc 3.01,4.01,9.01 05/23/10
GRYPHON GOLD CORP NV 7.01,9.01 05/26/11
GRYPHON GOLD CORP NV 7.01,9.01 05/26/11
GSI COMMERCE INC DE 9.01 03/15/11 AMEND
Hallwood Group Inc DE 7.01 05/23/11
HEALTHCARE SERVICES GROUP INC PA 5.07 05/24/11
HEALTHWAYS, INC DE 5.07 05/26/11
HEALTHWAYS, INC DE 1.01,7.01,9.01 05/25/11
HEINZ H J CO PA 2.02,2.05,7.01,9.01 05/26/11
HERITAGE OAKS BANCORP CA 5.07 05/25/11
hhgregg, Inc. DE 2.02,9.01 05/26/11
HIBERNIA HOMESTEAD BANCORP, INC. 5.07 05/26/11
Hillenbrand, Inc. IN 5.07 05/23/11 AMEND
HINES REAL ESTATE INVESTMENT TRUST IN 8.01 05/24/11
Homeland Security Capital CORP DE 5.02 05/20/11
HOOPER HOLMES INC NY 5.07 05/24/11
Hughes Communications, Inc. DE 5.07 05/25/11
HYPERERA INC NV 4.02 04/18/11 AMEND
IA GLOBAL INC DE 1.01,3.02,9.01 05/20/11
IDACORP INC ID 7.01,9.01 05/26/11
IMPERIAL CAPITAL BANCORP, INC. DE 1.03,9.01 04/20/11
IMPERIAL OIL LTD 8.01,9.01 05/26/11
Inland American Real Estate Trust, In MD 7.01,9.01 05/26/11
Inova Technology Inc. NV 8.01,9.01 05/26/11
INSIGNIA SYSTEMS INC/MN MN 8.01 05/25/11
INTEGRATED ENVIRONMENTAL TECHNOLOGIES NV 3.02,5.02 05/09/11 AMEND
INTERFACE INC GA 5.07 05/25/11
INTERPUBLIC GROUP OF COMPANIES, INC. DE 8.01,9.01 05/26/11
INTREorg SYSTEMS INC. TX 1.01,3.02,9.01 05/23/11
INVESTORS CAPITAL HOLDINGS LTD MA 2.02 03/31/11
IRIS INTERNATIONAL INC DE 5.07,8.01 05/20/11
ITERIS, INC. DE 2.02,9.01 05/26/11
J C PENNEY CO INC DE 5.07 05/20/11
KAPSTONE PAPER & PACKAGING CORP DE 5.07 05/25/11
KENSEY NASH CORP DE 1.01,2.03,9.01 05/26/11
KID BRANDS, INC NJ 8.01 05/20/11
KINDER MORGAN ENERGY PARTNERS L P DE 8.01 05/26/11
KINDRED HEALTHCARE, INC DE 5.02,5.07,8.01,9.01 05/26/11
Kodiak Oil & Gas Corp B0 1.01,3.02 05/20/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/25/11
LA JOLLA PHARMACEUTICAL CO DE 8.01 05/25/11
LAKE AREA CORN PROCESSORS LLC SD 5.07 05/24/11
Lake Victoria Mining Company, Inc. NV 2.01,9.01 05/20/11
LAKELAND BANCORP INC NJ 5.02,5.07,9.01 05/24/11
Liberty Global, Inc. 7.01 05/25/11
Liberty Global, Inc. 7.01 05/26/11
LIBERTY MEDIA CORP 5.07,8.01,9.01 05/23/11
LIBERTY MEDIA CORP 5.07,8.01,9.01 05/23/11
LIHUA INTERNATIONAL INC. DE 7.01,9.01 05/26/11
LIME ENERGY CO. DE 5.02,9.01 05/20/11
LIN TV CORP. DE 5.07 05/24/11
LUNA INNOVATIONS INC DE 5.07,8.01 05/24/11
MAGMA DESIGN AUTOMATION INC DE 2.02,5.02,9.01 05/24/11
MANHATTAN PHARMACEUTICALS INC DE 8.01 05/20/11
MAP Pharmaceuticals, Inc. DE 8.01,9.01 05/26/11
MARATHON OIL CORP DE 1.01,5.02,8.01,9.01 05/25/11
MARRIOTT INTERNATIONAL INC /MD/ DE 7.01 05/25/11
MARTHA STEWART LIVING OMNIMEDIA INC DE 5.02 05/26/11
MARVELL TECHNOLOGY GROUP LTD D0 2.02,9.01 05/26/11
MATTSON TECHNOLOGY INC DE 5.07 05/25/11
MEDASSETS INC DE 5.02,5.07 05/26/11
MEDCO HEALTH SOLUTIONS INC DE 5.02,5.03,5.07,9.01 05/24/11
MEDIA GENERAL INC VA 5.02,9.01 05/24/11
MFA FINANCIAL, INC. MD 3.03,5.07,9.01 05/24/11
MGM Resorts International DE 8.01 05/26/11
MGT CAPITAL INVESTMENTS INC DE 5.02 05/24/11
MICHAEL BAKER CORP PA 5.07 05/25/11
MICHAELS STORES INC DE 2.02,9.01 05/26/11
MMRGlobal, Inc. DE 1.01,2.03,9.01 05/24/11
MULTIBAND CORP MN 8.01,9.01 05/26/11
MusclePharm Corp NV 5.02 05/25/11
NEFFS BANCORP INC PA 8.01,9.01 05/26/11
NET TALK.COM, INC. FL 5.03 05/26/11
NETLOGIC MICROSYSTEMS INC DE 5.07 05/20/11
NEUROCRINE BIOSCIENCES INC CA 5.07 05/25/11
NEUROLOGIX INC/DE DE 7.01,9.01 05/26/11
NEW ENGLAND REALTY ASSOCIATES LIMITED MA 1.01,9.01 05/20/11
NEWMONT MINING CORP /DE/ DE 1.01,1.02,2.03 05/26/11
NEWTEK BUSINESS SERVICES INC NY 5.07 05/25/11
NOBLE CORP 7.01,9.01 05/26/11
NORTHEAST COMMUNITY BANCORP INC X1 5.07 05/25/11
Northfield Bancorp, Inc. X1 5.07,9.01 05/25/11
NORTHWEST PIPE CO OR 5.02 05/20/11
Novelis Inc. A6 2.02,9.01 05/26/11
Novelis Inc. A6 5.02,9.01 05/20/11
NTS MORTGAGE INCOME FUND DE 7.01,9.01 05/26/11
NUMEREX CORP /PA/ PA 5.07 05/26/11
OFFICE DEPOT INC DE 1.01,2.03 05/25/11
OLD LINE BANCSHARES INC MD 7.01 05/26/11
OMNICARE INC DE 8.01,9.01 05/26/11
OMNICOM GROUP INC NY 5.03,5.07,9.01 05/24/11
OMNIVISION TECHNOLOGIES INC DE 5.02 05/23/11
OMNIVISION TECHNOLOGIES INC DE 2.02,9.01 05/26/11
ORAGENICS INC FL 5.02,9.01 05/23/11
OSAGE EXPLORATION & DEVELOPMENT INC DE 1.01,2.01,9.01 05/23/11
OVERSTOCK.COM, INC DE 5.02 05/25/11
PACIFIC ENTERPRISES INC CA 8.01 05/26/11
PACIFIC MERCANTILE BANCORP CA 5.07 05/24/11
Park Sterling Corp NC 5.07 05/25/11
PATTERSON COMPANIES, INC. MN 2.02,9.01 05/26/11
PDL BIOPHARMA, INC. DE 5.02,9.01 05/21/11
PediatRx Inc. NV 2.02,9.01 05/26/11
PERFICIENT INC DE 1.01,2.03,7.01,9.01 05/23/11
PINNACLE ENTERTAINMENT INC. DE 1.01,7.01,9.01 05/25/11
PINNACLE ENTERTAINMENT INC. DE 5.02,5.03,5.07,9.01 05/24/11
PITTSBURGH & WEST VIRGINIA RAILROAD PA 8.01,9.01 05/26/11
PLX TECHNOLOGY INC DE 5.07 05/25/11
PORTLAND GENERAL ELECTRIC CO /OR/ OR 7.01 05/24/11
POST PROPERTIES INC GA 5.07 05/25/11
PREMIERWEST BANCORP OR 7.01,9.01 05/26/11
PRO PHARMACEUTICALS INC NV 7.01,9.01 05/26/11
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 05/26/11
PSYCHEMEDICS CORP DE 5.02,5.07,9.01 05/24/11
QAD INC DE 2.02,9.01 05/26/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 3.02 05/20/11
RADIENT PHARMACEUTICALS Corp DE 3.01,8.01,9.01 05/26/11
Rand Logistics, Inc. DE 7.01,9.01 05/26/11
RAVEN INDUSTRIES INC SD 5.07 05/24/11
RBC Bearings INC 2.02,9.01 05/26/11
Regency Energy Partners LP DE 1.01,7.01,8.01,9.01 05/23/11
REHABCARE GROUP INC DE 5.07,8.01 05/26/11
REINSURANCE GROUP OF AMERICA INC MO 1.01,8.01,9.01 05/24/11
RETAIL VENTURES INC OH 1.01,1.02,2.01,3.01, 05/26/11
3.03,5.01,5.02,5.03,
9.01
REXNORD LLC DE 7.01,9.01 05/25/11
RIGEL PHARMACEUTICALS INC DE 8.01,9.01 05/26/11
River Rock Entertainment Authority XX 1.01,9.01 05/25/11
ROYAL GOLD INC DE 8.01,9.01 05/26/11
ROYAL QUANTUM GROUP INC NV 1.01,2.03,3.02,5.02, 05/18/11
9.01
rue21, inc. DE 2.02,9.01 05/26/11
S1 CORP /DE/ DE 5.02,5.07,9.01 05/23/11
SAFETY INSURANCE GROUP INC DE 5.07 05/20/11
SEATTLE GENETICS INC /WA DE 5.02,5.03,5.07,9.01 05/20/11
SEI INVESTMENTS CO PA 5.07,8.01,9.01 05/25/11
SENTRY PETROLEUM LTD. 7.01,9.01 05/24/11
SENTRY PETROLEUM LTD. 7.01,9.01 05/26/11
ServisFirst Bancshares, Inc. DE 4.01,9.01 05/20/11
SIGNET JEWELERS LTD 2.02 05/26/11
SILVER BUTTE Co. NV 1.01,2.01,3.02,5.01, 01/12/11 AMEND
5.02,5.03,5.06,9.01
SILVER HORN MINING LTD. DE 1.01,3.02,9.01 05/23/11
Sky Harvest Windpower Corp. NV 9.01 05/26/11
SKY POWER SOLUTIONS CORP. NV 3.02 04/29/11
SLM Student Loan Trust 2011-2 DE 9.01 05/26/11
SLM Student Loan Trust 2011-2 DE 1.01,2.01,9.01 05/26/11
SOMERSET HILLS BANCORP NJ 5.02,9.01 05/19/11 AMEND
SONIC CORP DE 1.01 05/20/11
SOURCEFIRE INC DE 1.01,5.07 05/20/11
SouthPeak Interactive CORP DE 1.01,9.01 05/23/11
SOUTHWEST OIL & GAS INCOME FUND IX-A DE 5.02 05/23/11
SOUTHWEST OIL & GAS INCOME FUND X-A L DE 5.02 05/23/11
SOUTHWEST OIL & GAS INCOME FUND X-B L DE 5.02 05/23/11
SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 5.02 05/23/11
SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 5.02 05/23/11
SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 5.02 05/23/11
SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 5.02 05/23/11
SPARTAN MOTORS INC MI 5.07 05/25/11
SPICY PICKLE FRANCHISING INC CO 5.07 05/25/11
STERICYCLE INC DE 5.07 05/26/11
STEVEN MADDEN, LTD. DE 1.01,2.01,8.01,9.01 05/25/11
STILLWATER MINING CO /DE/ DE 2.02,9.01 05/25/11
STRATEGIC AMERICAN OIL CORP NV 5.02 05/25/11
STREAMLINE HEALTH SOLUTIONS INC. DE 5.07 05/25/11
SUNERGY INC NV 4.01,9.01 05/19/11
SUNOVIA ENERGY TECHNOLOGIES INC NV 5.02,9.01 01/31/11
SUNPOWER CORP DE 1.01,2.03,5.02,9.01 05/20/11
SUPERIOR ENERGY SERVICES INC DE 5.02,5.07,9.01 05/20/11
SUPERTEL HOSPITALITY INC VA 5.07 05/26/11
SYMS CORP NJ 8.01,9.01 05/26/11
TACTICAL AIR DEFENSE SERVICES, INC. 1.01,3.02,7.01,9.01 05/24/11
TAMM Oil & Gas Corp. NV 1.01,9.01 05/26/11
TASTY BAKING CO PA 3.01,3.02,3.03,5.01, 05/20/11
5.02,5.03,9.01
THORATEC CORP CA 5.07 05/25/11
TIB FINANCIAL CORP. FL 5.07 05/24/11
TIFFANY & CO DE 2.02,9.01 05/26/11
TIME WARNER CABLE INC. DE 1.01,9.01 05/26/11
Titan Energy Worldwide, Inc. NV 7.01,9.01 05/26/11
TNP Strategic Retail Trust, Inc. MD 1.01,2.03,9.01 05/20/11
TOYS R US INC DE 1.01,2.03,8.01 05/25/11
TTM TECHNOLOGIES INC WA 5.07 05/24/11
ULTRALIFE CORP DE 8.01,9.01 05/25/11
UMH PROPERTIES, INC. MD 1.01,3.03,5.03,7.01, 05/20/11
9.01
UNIGENE LABORATORIES INC DE 8.01 05/24/11
UNION BANKSHARES INC VT 8.01,9.01 05/25/11
UNIVEST CORP OF PENNSYLVANIA PA 5.02 05/25/11
URANIUM 308 CORP. NV 3.01 05/20/11
VALENCE TECHNOLOGY INC DE 1.01,9.01 05/25/11
VALHI INC /DE/ DE 5.07,7.01,9.01 05/26/11
Valley Commerce Bancorp CA 8.01 05/24/11
Verigy Ltd. U0 9.01 05/23/11 AMEND
VERSANT CORP CA 2.02,9.01 05/26/11
Virolab, Inc. DE 1.01,5.02,9.01 05/23/10
VIROPHARMA INC DE 8.01 05/26/11
Volcano Corp DE 8.01,9.01 05/26/11
W&T OFFSHORE INC TX 8.01 05/26/11
WATSON PHARMACEUTICALS INC NV 1.01,2.01,8.01,9.01 05/25/11
WCA WASTE CORP DE 7.01,9.01 05/26/11
WELLCARE HEALTH PLANS, INC. DE 5.07 05/25/11
WINNER MEDICAL GROUP INC NV 5.02,9.01 05/20/11
WISCONSIN ENERGY CORP WI 8.01 05/26/11
Wizard World, Inc. DE 1.01,5.02,9.01 05/25/11
WNC CALIFORNIA HOUSING TAX CREDITS LP CA 5.07 05/25/11
Wright Express CORP 1.01,1.02,2.03,3.03, 05/20/11
5.07,9.0
XCEL ENERGY INC MN 8.01 05/25/11
XETA TECHNOLOGIES INC OK 7.01,9.01 05/26/11
XL GROUP PLC L2 5.02,9.01 05/23/11
Zumiez Inc WA 5.07 05/25/11
http://www.sec.gov/news/digest/2011/dig052711.htm
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