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Enforcement proceedingsIn the Matter of Wunderlich Securities, Inc., Tracy L. Wiswall, and Gary K. Wunderlich, Jr.On May 27, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders (Order) against Wunderlich Securities, Inc. (WSI), Tracy L. Wiswall (Wiswall), and Gary K. Wunderlich, Jr. (Wunderlich). The Order finds that, from at least 2007 through 2009, WSI: overcharged advisory clients for commissions and other transactional fees in violation of Section 206(2) of the Investment Advisers Act of 1940 (Advisers Act); failed to satisfy the disclosure and consent requirements of Section 206(3) of the Advisers Act when WSI engaged in principal trades with advisory clients; failed to adopt, implement and review written policies and procedures as required by Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder; and failed to establish, maintain, and enforce a written code of ethics as required by Section 204A of the Advisers Act and Rule 204A-1 thereunder. The Order further finds that Wiswall willfully aided and abetted and caused WSI's violations of Sections 204A and 206(4) of the Advisers Act and Rules 204A-1 and 206(4)-7 thereunder and caused WSI's violations of Section 206(3) of the Advisers Act. In addition, the Order finds that Wunderlich willfully aided and abetted and caused WSI's violations of Sections 204A and 206(4) of the Advisers Act and Rules 204A-1 and 206(4)-7 thereunder. Based on the above, the Order orders WSI, Wiswall and Wunderlich to cease and desist from committing or causing their respective violations and any future such violations, and imposes censures against each of them. The Order also imposes, against WSI, disgorgement of $369,336.15 plus prejudgment interest of $38,288.54, with the disgorgement amount to be distributed to certain affected advisory clients of WSI in accordance with the Order. In addition, the Order imposes civil penalties of $125,000 against WSI, $50,000 against Wiswall, and $45,000 against Wunderlich. Furthermore, the Order imposes certain undertakings, including WSI's undertaking to retain an independent compliance consultant to perform periodic compliance reviews of WSI's operations over a three-year period. WSI, Wiswall and Wunderlich each consented to the issuance of the Order without admitting or denying any of the findings in the Order, except jurisdiction, which they admitted. (Rels. 34-64558; IA-3211; File No. 3-14403) Commission Sustains Disciplinary Action Taken By FINRA Against Richard G. CodyThe Commission sustained FINRA disciplinary action against Richard G. Cody, finding that Cody recommended unsuitable trading in several customer accounts. The Commission found that Cody (i) recommended securities purchases to customers without conducting a reasonable investigation of the securities; (ii) recommended non-investment grade securities to a customer with conservative investment objectives and low tolerance for risk; and (iii) excessively traded two customer retirement accounts. In addition, the Commission found that Cody engaged in conduct that was inconsistent with just and equitable principles of trade by sending customers misleading account summaries and failing to update his professional registration form to timely disclose settlements of complaints from his customers. Based on these violations, the Commission also sustained a $27,500 fine and one year suspension imposed by FINRA. (Rel. 34-64565; File No. 3-13932) Commission Revokes Registration of Securities of Scriptel Holding, Inc. (n/k/a National Community Builders, Inc.) for Failure to Make Required Periodic FilingsOn May 31, 2011, the Commission revoked the registration of each class of registered securities of Scriptel Holding, Inc. (n/k/a National Community Builders, Inc.) (Scriptel Holding) 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, Scriptel Holding 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 Scriptel Holding, Inc. (n/k/a National Community Builders, 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 Scriptel Holding’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Scriptel Holding in In the Matter of Saf T Lok, Inc., et al., Administrative Proceeding File No. 3-14392. 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 Saf T Lok, Inc., et al., Administrative Proceeding File No. 3-14392, Exchange Act Release No. 64505, May 16, 2011. (Rel. 34-64566; File No. 3-14392) In Matter of Advanced Refractive Technologies, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default (Default Order) as to Advanced Refractive Technologies, Inc., CBCom, Inc., Group Long Distance Inc., HiEnergy Technologies, Inc., Holter Technologies Holding, A.G. (n/k/a International Consortium Corp.), and Inchorus Com (a/k/a Inchorus.Com, Inc., n/k/a WorldSource, Inc. (collectively, Respondents), in Advanced Refractive Technologies, Inc., Admin. Proc. No. 3-14363. The Order Instituting Proceedings alleged that eight 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 Respondents Bluebook International Holding Co. (The) and Gener8xion Entertainment, Inc. See Advanced Refractive Technologies, Inc., Exchange Act Release Nos. 64531 (May 23, 2011) and 64517 (May 19, 2011). (Rel. 34-64567; File No. 3-14363) Investment company act releasesNotice of Applications for Deregistration Under the Investment Company ActFor the month of May 2011, a notice has been issued giving interested persons until June 21, 2011, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company:
(Rel. IC-29684 – May 27)) Self-regulatory organizationsApproval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-NYSE-2011-15) submitted by the New York Stock Exchange to modify the initial trading market value for debt securities. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64561) Accelerated Approval of Proposed Rule ChangeThe Commission granted accelerated approval of a proposed rule change, as modified by Amendment No. 1 (SR-MSRB-2011-03), submitted by the Municipal Securities Rulemaking Board pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, to amend Rule G-23 on activities of financial advisors. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64564) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by Financial Industry Regulatory Authority (SR-FINRA-2011-024) to update rule cross-references and make non-substantive technical changes to certain FINRA Rules has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of May 30. (Rel. 34-64560) 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-3 Gastar Exploration USA, Inc., 1331 LAMAR STREET, SUITE 1080, HOUSTON,
TX, 77010, (713) 739-1800 - 0 ($200,000,000.00) Equity,
(File 333-174552 - May. 27) (BR. 04)
S-8 INVESTORS CAPITAL HOLDINGS LTD, 230 BROADWAY EAST, LYNNFIELD, MA,
01940, 7815938565 - 150,000 ($767,250.00) Equity, (File 333-174553 -
May. 27) (BR. 08A)
F-10 HUSKY ENERGY INC, 707 EIGHTH AVE, PO BOX 6525 STATION D,
CALGARY ALBERTA, A0, T2P 1H5, 4032986111 -
3,000,000,000 ($3,000,000,000.00) Other, (File 333-174554 - May. 27)
(BR. 04C)
S-8 SOLAZYME INC, 225 GATEWAY BLVD., S. SAN FRANCISCO, CA, 94080,
650-780-4777 - 14,772,420 ($167,741,630.20) Equity, (File 333-174556 -
May. 27) (BR. 06A)
S-1 Blue Water Restaurant Group, Inc., 4021 MCGINNIS FRY ROAD, SUITE 1436,
SUWANEE, GA, 30024, 512-772-1542 - 26,300,000 ($263,000.00) Equity,
(File 333-174557 - May. 27) (BR. )
F-3 Exceed Co Ltd., SUITE 8, 20/F, ONE INTERNATIONAL FINANCE,
1 HARBOUR VIEW STREET,, CENTRAL,, K3, 00000, (852) 3669 8105 -
18,932,140 ($112,267,590.20) Equity, (File 333-174558 - May. 27)
(BR. 09)
S-8 GREATBATCH, INC., 10000 WEHRLE DRIVE, CLARENCE, NY, 14031,
716-759-5600 - 1,000,000 ($28,210,000.00) Equity, (File 333-174559 -
May. 27) (BR. 10B)
S-8 CASEYS GENERAL STORES INC, P.O. BOX 3001, ANKENY, IA, 50021,
5152437611 - 0 ($15,256,823.00) Equity, (File 333-174560 - May. 27)
(BR. 02C)
S-8 CASEYS GENERAL STORES INC, P.O. BOX 3001, ANKENY, IA, 50021,
5152437611 - 0 ($118,935,000.00) Equity, (File 333-174561 - May. 27)
(BR. 02C)
S-8 3M CO, 3M CENTER, BLDG. 220-11W-02, ST PAUL, MN, 55144-1000,
6517332204 - 0 ($92,310,000.00) Equity, (File 333-174562 - May. 27)
(BR. 10C)
S-8 BION ENVIRONMENTAL TECHNOLOGIES INC, C/O BOX 566, 1774 SUMMITVIEW WAY,
CRESTONE, CO, 81131, (212) 758-6622 - 2,000,000 ($5,500,000.00) Equity,
(File 333-174565 - May. 27) (BR. 05B)
S-8 SALISBURY BANCORP INC, 5 BISSELL ST, LAKEVILLE, CT, 06039-1868,
8604359801 - 84,000 ($2,100,000.00) Other, (File 333-174567 - May. 27)
(BR. 07C)
S-8 CERNER CORP /MO/, 2800 ROCKCREEK PKWY-STE 601, KANSAS CITY, MO, 64117,
8162211024 - 0 ($900,187,125.00) Equity, (File 333-174568 - May. 27)
(BR. 03C)
S-8 CENTURYLINK, INC, P O BOX 4065, 100 CENTURYLINK DR, MONROE, LA, 71203,
3183889000 - 30,000,000 ($1,277,700,000.00) Equity, (File 333-174571 -
May. 27) (BR. 11A)
S-8 FLAGSTAR BANCORP INC, 5151 CORPORATE DRIVE, TROY, MI, 48098-2639,
248-312-2000 - 15,000,028 ($20,400,038.08) Equity, (File 333-174572 -
May. 27) (BR. 07A)
S-8 GENESEE & WYOMING INC, 66 FIELD POINT ROAD, GREENWICH, CT, 06830,
2036293722 - 0 ($142,525,000.00) Equity, (File 333-174573 - May. 27)
(BR. 05A)
F-3 Gentium S.p.A., (39) 031 385111 - 0 ($30,000,000.00) Equity,
(File 333-174575 - May. 27) (BR. 01A)
S-8 Tsingda eEDU Corp, NO. 0620, YONGLEYINGSHIWENHUANAN RD.,
YONGLEDIAN TOWN, TONGZHOU DISTRICT, BEIJING, F4, 00000,
86-10-62690290 - 0 ($1,600,000.00) Equity, (File 333-174576 - May. 27)
(BR. 11C)
S-8 AKAMAI TECHNOLOGIES INC, 8 CAMBRIDGE CENTER, CAMBRIDGE, MA, 02142,
6174443000 - 7,000,000 ($233,660,000.00) Equity, (File 333-174577 -
May. 27) (BR. 03B)
S-3 Regency Energy Partners LP, 2001 BRYAN STREET, SUITE 3700, DALLAS, TX,
75201, 214-750-1771 - 0 ($218,067,525.66) Equity, (File 333-174578 -
May. 27) (BR. 04B)
S-1 Fibrocell Science, Inc., 405 EAGLEVIEW BOULEVARD, EXTON, PA, 19341,
484-713-6000 - 31,116,000 ($38,272,680.00) Equity, (File 333-174579 -
May. 27) (BR. 01C)
S-8 FEEL GOLF CO INC, 1354-T DAYTON ST., SALINAS, CA, 93901, 831-422-9300 -
60,000,000 ($60,000.00) Equity, (File 333-174580 - May. 27) (BR. 05C)
S-1 Health Directory Inc., 6312 SEVEN CORNERS CENTER, #303, FALLS CHURCH,
VA, 22044, 202-379-5331 - 759,400 ($37,970.00) Equity,
(File 333-174581 - May. 27) (BR. 03)
S-8 COVENANT TRANSPORTATION GROUP INC, 400 BIRMINGHAM HIGHWAY, CHATTANOOGA,
TN, 37419, 4238211212 - 800,000 ($7,048,000.00) Equity,
(File 333-174582 - May. 27) (BR. 05A)
S-1 Myriant Corp, ONE PINE HILL DRIVE, BATTERYMARCH PARK II, SUITE 301,
QUINCY, MA, 02169, 617-657-5200 - 0 ($125,000,000.00) Equity,
(File 333-174583 - May. 27) (BR. 06)
S-8 Invesco Ltd., 1555 PEACHTREE STREET NE, SUITE 1800, ATLANTA, GA, 30309,
404-892-0896 - 0 ($693,840,000.00) Equity, (File 333-174584 - May. 27)
(BR. 06C)
S-8 EXPRESS SCRIPTS INC, ONE EXPRESS WAY, ST LOUIS, MO, 63121, 3149960900 -
30,000,000 ($1,803,600,000.00) Equity, (File 333-174585 - May. 27)
(BR. 01A)
S-3 ALIMERA SCIENCES INC, 6120 WINDWARD PARKWAY, STE 290, ALPHARETTA, GA,
30005, 6789905740 - 0 ($75,000,000.00) Other, (File 333-174586 -
May. 27) (BR. 01C)
S-8 SYNOPSYS INC, 700 E MIDDLEFIELD RD, MOUNTAIN VIEW, CA, 94043-4033,
6509625000 - 7,000,000 ($186,760,000.00) Equity, (File 333-174587 -
May. 27) (BR. 03A)
S-8 ADOBE SYSTEMS INC, 345 PARK AVE, SAN JOSE, CA, 95110-2704, 4085366000 -
0 ($580,635,000.00) Equity, (File 333-174588 - May. 27) (BR. 03C)
S-3 PAA NATURAL GAS STORAGE LP, 333 CLAY STREET, SUITE 1500, HOUSTON, TX,
77002, 713-646-4100 -
0 ($391,690,389.00) Limited Partnership Interests, (File 333-174589 -
May. 27) (BR. 02)
S-3 PAA NATURAL GAS STORAGE LP, 333 CLAY STREET, SUITE 1500, HOUSTON, TX,
77002, 713-646-4100 -
0 ($1,633,973,029.00) Unallocated (Universal) Shelf, (File 333-174590 -
May. 27) (BR. 02)
S-3ASR PAA NATURAL GAS STORAGE LP, 333 CLAY STREET, SUITE 1500, HOUSTON, TX,
77002, 713-646-4100 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-174591 - May. 27) (BR. 02)
S-3 PACIFIC CAPITAL BANCORP /CA/, 1021 ANACAPA STREET, PO BOX 60839,
SANTA BARBARA, CA, 931600839, 8055646312 - 0 ($107,938,945.00) Equity,
(File 333-174592 - May. 27) (BR. 07A)
S-4 Spansion LLC, 915 DEGUIGNE DRIVE, P.O. BOX 3453, SUNNYVALE, CA, 94088,
408-962-2500 - 0 ($200,000,000.00) Non-Convertible Debt,
(File 333-174593 - May. 27) (BR. )
S-3 DONEGAL GROUP INC, 1195 RIVER RD PO BOX 302, MARIETTA, PA, 17547-0302,
7174261931 - 0 ($3,934,500.00) Equity, (File 333-174594 - May. 27)
(BR. 01A)
S-1 TURBOSONIC TECHNOLOGIES INC, 550 PARKSIDE DRIVE, STE A-14, WATERLOO,
A6, N2L 5V4, 5198855513 - 8,000,000 ($3,200,000.00) Equity,
(File 333-174595 - May. 27) (BR. 06C)
S-8 BIOSANTE PHARMACEUTICALS INC, 111 BARCLAY BLVD, LINCOLNSHIRE, IL,
60069, 8474780500 - 0 ($5,790,000.00) Equity, (File 333-174596 -
May. 27) (BR. 01C)
S-3 BIOSANTE PHARMACEUTICALS INC, 111 BARCLAY BLVD, LINCOLNSHIRE, IL,
60069, 8474780500 - 0 ($150,000,000.00) Unallocated (Universal) Shelf,
(File 333-174597 - May. 27) (BR. 01C)
S-3ASR Invesco Mortgage Capital Inc., TWO PEACHTREE POINTE,
1555 PEACHTREE STREET, NE, ATLANTA, GA, 30309, 404-892-0896 -
0 ($0.00) Equity, (File 333-174598 - May. 27) (BR. 08B)
S-1 COMMITTED CAPITAL ACQUISITION Corp, 712 FIFTH AVENUE 22ND FLOOR,
ATTN: GEORGE CANNON, NEW YORK, NY, 10019, 212 277 5351 -
0 ($57,500,000.00) Equity, (File 333-174599 - May. 27) (BR. 09)
S-8 Rock-Tenn CO, 504 THRASHER STREET, NORCROSS, GA, 30071,
(770) 448-2193 - 0 ($237,910,090.00) Equity, (File 333-174600 -
May. 27) (BR. 09A)
S-8 MINE SAFETY APPLIANCES CO, 121 GAMMA DR, OHARA TOWNSHIP, PITTSBURGH,
PA, 15238, 4129673000 - 2,000,000 ($70,600,000.00) Equity,
(File 333-174601 - May. 27) (BR. 10B)
S-3 Primoris Services Corp, 2100 MCKINNEY AVENUE, SUITE 1500, DALLAS, TX,
75201, 214-740-5600 - 0 ($114,179,214.00) Equity, (File 333-174602 -
May. 27) (BR. 06A)
S-3ASR Invesco Mortgage Capital Inc., TWO PEACHTREE POINTE,
1555 PEACHTREE STREET, NE, ATLANTA, GA, 30309, 404-892-0896 -
0 ($226,700,000.00) Equity, (File 333-174603 - May. 27) (BR. 08B)
F-10 Brigus Gold Corp., 2000 BARRINGTON STREET,, SUITE 501, COGSWELL TOWER,
HALIFAX, A5, B3J 3K1, (902) 422-1421 - 0 ($133,926,677.00) Equity,
(File 333-174604 - May. 27) (BR. 04A)
S-3 PVF CAPITAL CORP, 30000 AURORA ROAD, SOLON, OH, 44139, 4402487171 -
1,524,948 ($2,716,299.97) Equity, (File 333-174606 - May. 27) (BR. 07A)
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 CONSTITUTION BANCORP NJ 5.07 05/26/11
ADPT Corp DE 5.02,5.07,8.01 05/25/11
ADVANCED ANALOGIC TECHNOLOGIES INC DE 1.01,5.02,8.01,9.01 05/26/11
Aircastle LTD D0 5.07 05/26/11
Alamo Energy Corp. NV 2.03,3.02,9.01 05/24/11
ALLETE INC MN 1.01,1.02,2.03,9.01 05/27/11
AMERICAN DG ENERGY INC DE 5.07,8.01 05/26/11
AMERICAN INTERNATIONAL GROUP INC DE 8.01,9.01 05/27/11
AMERICAN MEDICAL SYSTEMS HOLDINGS INC DE 8.01,9.01 05/26/11
American Realty Capital Trust, Inc. DE 1.01 05/27/11
AMERICAN SPECTRUM REALTY INC MD 5.02,9.01 05/26/11
AMERICAS CARMART INC TX 2.02,9.01 05/26/11
AMPHENOL CORP /DE/ DE 5.07 05/25/11
ANALYSTS INTERNATIONAL CORP 3.01,5.02,9.01 05/24/11
ANWORTH MORTGAGE ASSET CORP MD 1.01,9.01 05/27/11
AOL Inc. DE 5.07,8.01,9.01 05/25/11
AON CORP DE 8.01,9.01 05/24/11
ARADIGM CORP CA 5.07 05/26/11
ARBOR REALTY TRUST INC MD 5.07 05/25/11
ARCH COAL INC DE 7.01,9.01 05/02/11 AMEND
Ascent Media CORP DE 8.01,9.01 05/26/11
AsherXino Corp DE 5.02 05/25/11
ASHFORD HOSPITALITY TRUST INC MD 7.01 05/25/11
ASSURED GUARANTY LTD D0 8.01,9.01 05/27/11
ASURE SOFTWARE INC DE 5.02 05/23/11
ATHENAHEALTH INC DE 5.02,9.01 05/27/11
ATLANTIC POWER CORP A1 7.01,9.01 05/25/11
ATMEL CORP DE 5.02 05/23/11
ATRION CORP DE 5.02,5.07,9.01 05/27/11
AuraSound, Inc. NV 5.02 05/26/11
AUTODESK INC DE 1.01,2.03,9.01 05/26/11
BALLY TECHNOLOGIES, INC. NV 5.02,9.01 05/23/11
BANCTRUST FINANCIAL GROUP INC AL 5.07 05/26/11
BASIC ENERGY SERVICES INC 5.07 05/24/11
BEACON ENTERPRISE SOLUTIONS GROUP INC NV 5.07 05/26/11
BEAR STEARNS DEPOSITOR INC TRUST CERT 8.01,9.01 05/16/11
BERKSHIRE INCOME REALTY INC 1.01 05/24/11
BIOSANTE PHARMACEUTICALS INC DE 5.02,5.07,9.01 05/26/11
BlackRock Inc. DE 5.02,5.07 05/27/11
Blue Earth, Inc. NV 7.01 05/26/11
BofI Holding, Inc. DE 5.02,9.01 05/26/11
BOOKS A MILLION INC DE 5.07 05/24/11
BOSTON BEER CO INC MA 5.02,5.07 05/25/11
BOSTON PRIVATE FINANCIAL HOLDINGS INC MA 7.01,9.01 05/27/11
BRIDGE BANCORP INC NY 2.01,9.01 05/27/11
Bridge Capital Holdings CA 5.07 05/27/11
Brooklyn Federal Bancorp, Inc. X1 5.02,9.01 05/23/11
BRYN MAWR BANK CORP PA 1.01,2.01,9.01 05/27/11
CALIFORNIA PIZZA KITCHEN, INC. DE 1.01,9.01 05/24/11
CALIX, INC 5.07 05/27/11
CAMDEN PROPERTY TRUST TX 1.01,9.01 05/26/11
CAPITAL BANK CORP NC 5.07 05/26/11
CARDICA INC DE 8.01 05/25/11
CAROLINA BANK HOLDINGS INC NC 5.02,9.01 05/17/11
CARVER BANCORP INC DE 5.02,9.01 05/26/11
CELL THERAPEUTICS INC WA 2.02,7.01,9.01 05/27/11
Celsion CORP DE 7.01 05/26/11
CENTENE CORP 1.01,2.03,8.01,9.01 05/27/11
CENTER BANCORP INC NJ 5.07 05/24/11
CENTRAL FEDERAL CORP DE 1.01,8.01,9.01 05/25/11
CENTRAL VALLEY COMMUNITY BANCORP CA 8.01 05/25/11
CHART INDUSTRIES INC DE 5.07 05/26/11
Chatham Lodging Trust MD 5.07 05/26/11
China Advanced Construction Materials DE 5.02,9.01 05/27/11
CHINA BAK BATTERY INC NV 5.02,9.01 05/26/11
China Century Dragon Media, Inc. DE 3.01,7.01,9.01 05/23/11
CHINA ELECTRIC MOTOR, INC. DE 8.01 05/24/11
China Growth CORP E9 1.01,9.01 05/20/11
China Information Technology, Inc. 5.02,9.01 05/27/11
CHINA RUITAI INTERNATIONAL HOLDINGS C DE 2.02,9.01 05/23/11
CHRISTOPHER & BANKS CORP DE 5.02,7.01,9.01 05/25/11
CITIZENS BANCORP OF VIRGINIA INC VA 5.07,8.01,9.01 05/26/11
CITIZENS SOUTH BANKING CORP DE 7.01,9.01 05/27/11
Clean Energy Fuels Corp. DE 5.07 05/25/11
Coastal Carolina Bancshares, Inc. SC 5.07 05/25/11
COLE KENNETH PRODUCTIONS INC NY 5.07 05/26/11
COMMERCIAL METALS CO DE 5.02,7.01,9.01 05/23/11
COMMONWEALTH INCOME & GROWTH FUND V 8.01 05/25/11
COMMUNITY BANK SYSTEM INC DE 5.07,8.01,9.01 05/25/11
COMMUNITY WEST BANCSHARES / CA 7.01 05/26/11
Complete Production Services, Inc. DE 5.07 05/25/11
COMPUTER SCIENCES CORP NV 7.01,9.01 05/24/11
COMPUWARE CORP MI 2.02,9.01 05/24/11
CONCEPTUS INC DE 5.07,9.01 05/27/11
CONEXANT SYSTEMS INC DE 8.01 05/27/11
Congaree Bancshares Inc SC 5.07,8.01 05/25/11
CONSOLIDATED WATER CO LTD E6 5.07 05/24/11
CONSTELLATION ENERGY GROUP INC MD 5.07 05/27/11
CORNING NATURAL GAS CORP NY 8.01,9.01 05/24/11
CreXus Investment Corp. MD 5.07 05/26/11
CROSS BORDER RESOURCES, INC. NV 3.02,9.01 05/23/11
Crown Oil & Gas Inc. NV 5.02 05/26/11
Crownbutte Wind Power, Inc. NV 1.01,2.03,3.02,9.01 05/23/11
CTS CORP IN 5.07 05/27/11
CYBEX INTERNATIONAL INC NY 5.07 05/25/11
DAIS ANALYTIC CORP 5.02,9.01 05/23/11
DANA HOLDING CORP DE 5.02 05/27/11
DealerTrack Holdings, Inc. DE 7.01 05/26/11
Delek US Holdings, Inc. 5.02,9.01 05/24/11
DELTA MUTUAL INC DE 4.01 05/06/11 AMEND
DELTA MUTUAL INC DE 4.01 05/06/11 AMEND
DENTSPLY INTERNATIONAL INC /DE/ DE 5.07 05/25/11
Digitiliti Inc DE 7.01,9.01 05/27/11
DIRECT INSITE CORP DE 1.02,5.02,5.07 05/25/11
Discover Card Execution Note Trust DE 1.01,9.01 05/26/11
Diversified Restaurant Holdings, Inc. NV 5.07 05/26/11
DORAL FINANCIAL CORP PR 8.01,9.01 05/26/11
DRUGSTORE COM INC DE 8.01,9.01 05/27/11
DYNAMIC VENTURES CORP. 5.02,7.01,9.01 05/17/11
EAGLE ROCK ENERGY PARTNERS L P DE 1.01,2.03,9.01 05/24/11
EARTH DRAGON RESOURCES INC. 1.01 05/25/11
EARTH DRAGON RESOURCES INC. 1.01 05/25/11
EMISPHERE TECHNOLOGIES INC DE 5.07 05/24/11
ENBRIDGE ENERGY PARTNERS LP DE 1.01,9.01 05/27/11
ENDO PHARMACEUTICALS HOLDINGS INC DE 8.01,9.01 05/26/11
ESTEE LAUDER COMPANIES INC DE 2.05 02/09/09 AMEND
ESTERLINE TECHNOLOGIES CORP DE 1.01 04/28/11 AMEND
EXPRESS SCRIPTS INC DE 1.01,2.03,7.01,9.01 05/27/11
FBL FINANCIAL GROUP INC IA 5.03 05/27/11
FedFirst Financial Corp 5.02,5.07 05/26/11
FelCor Lodging LP DE 1.01,2.03,8.01,9.01 05/23/11
FelCor Lodging Trust Inc MD 1.01,2.03,5.02,5.07, 05/23/11
8.01,9.01
FERRELLGAS PARTNERS L P DE 7.01 05/27/11
First California Financial Group, Inc DE 5.07 05/26/11
FIRST FINANCIAL BANCORP /OH/ OH 5.02,5.03,5.07,9.01 05/24/11
FIRST FINANCIAL HOLDINGS INC /DE/ DE 1.01,9.01 05/26/11
FIRST MIDWEST BANCORP INC DE 5.02 05/27/11
FIRST NIAGARA FINANCIAL GROUP INC DE 5.07 04/26/11 AMEND
First Sentry Bancshares, Inc. WV 2.02,9.01 05/27/11
FIRST SOUTH BANCORP INC /VA/ VA 5.07 05/26/11
FISERV INC WI 5.07,8.01,9.01 05/25/11
FISERV INC WI 5.02,9.01 02/23/11 AMEND
FMC CORP DE 5.02,9.01 05/27/11
FNB United Corp. NC 5.02 05/26/11
FOOT LOCKER INC NY 5.02,9.01 05/25/11
FOSSIL INC DE 5.07 05/25/11
FRANKLIN CREDIT HOLDING CORP/DE/ DE 1.01,9.01 05/23/11
FRONTIER OIL CORP /NEW/ WY 1.01,8.01,9.01 05/26/11
Fushi Copperweld, Inc. NV 8.01,9.01 05/26/11
GALLAGHER ARTHUR J & CO DE 8.01,9.01 05/27/11
GateHouse Media, Inc. DE 5.07 05/26/11
GENESEE & WYOMING INC DE 5.02,5.07,9.01 05/27/11
GenMark Diagnostics, Inc. DE 5.07 05/25/11
GENTA INC DE/ DE 8.01 05/27/11
GENTOR RESOURCES, INC. FL 8.01,9.01 05/26/11
GIGA TRONICS INC CA 8.01,9.01 05/26/11
GMX RESOURCES INC OK 5.07 05/26/11
GOLDEN PHOENIX MINERALS INC NV 1.01,3.02,7.01,9.01 05/26/11
GOLDMAN SACHS GROUP INC DE 9.01 05/27/11
Gordmans Stores, Inc. DE 5.07 05/24/11
GRAFTECH INTERNATIONAL LTD DE 5.07 05/26/11
GRAHAM CORP DE 2.02,8.01,9.01 05/26/11
GRAHAM CORP DE 2.02,5.02,8.01,9.01 05/26/11
Granite Falls Energy, LLC MN 7.01,9.01 05/27/11
GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 05/24/11
GREATBATCH, INC. DE 5.07 05/17/11 AMEND
GreenHouse Holdings, Inc. 1.01,2.01,9.01 05/23/11
GT Solar International, Inc. DE 5.02 05/26/11
GUARANTY FEDERAL BANCSHARES INC DE 5.07 05/25/11
H&R BLOCK INC MO 8.01,9.01 05/23/11
HALLADOR ENERGY CO CO 5.02,5.07,9.01 05/25/11
HARRIS & HARRIS GROUP INC /NY/ NY 7.01,9.01 05/27/11
Hartman Short Term Income Properties MD 2.01 05/26/11
HARVARD BIOSCIENCE INC DE 5.07 05/25/11
HELIX BIOMEDIX INC DE 5.07 05/25/11
Heron Lake BioEnergy, LLC MN 8.01,9.01 05/27/11
Hines Global REIT, Inc. MD 9.01 03/11/11 AMEND
HINES REAL ESTATE INVESTMENT TRUST IN 8.01,9.01 05/24/11 AMEND
HORACE MANN EDUCATORS CORP /DE/ DE 1.01,5.07,9.01 05/25/11
HSBC Finance Corp 8.01,9.01 05/27/11
IDENTIVE GROUP, INC. DE 8.01,9.01 05/27/11
IMAGE SENSING SYSTEMS INC MN 5.07 05/27/11
IMMUNOGEN INC MA 8.01 05/23/11
IMPERIAL SUGAR CO /NEW/ TX 8.01 05/27/11
INFORMATICA CORP DE 5.02,5.07 05/26/11
InfuSystem Holdings, Inc DE 5.02,5.07 05/27/11
INNOVATIVE FOOD HOLDINGS INC FL 5.02,9.01 05/23/11
INSIGNIA SYSTEMS INC/MN MN 5.07,8.01 05/23/11
INTELLIGENT SYSTEMS CORP GA 5.07 05/26/11
International Coal Group, Inc. DE 1.01,8.01,9.01 05/26/11
INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.03,5.07,9.01 05/26/11
Invesco Ltd. D0 5.07 05/26/11
ION GEOPHYSICAL CORP DE 5.07 05/27/11
IROBOT CORP DE 5.07 05/25/11
IZEA Holdings, Inc. NV 1.01,3.02,9.01 05/24/11
JONES LANG LASALLE INC MD 7.01,9.01 05/27/11
Jumpkicks, Inc. DE 1.01,2.01,3.02,5.01, 05/25/11
5.02,5.03,9.01
Kangye International Holdings, Inc. NV 5.03,9.01 05/20/11
KBR, INC. DE 8.01 05/26/11
KEMET CORP DE 1.01,8.01,9.01 05/24/11
KENSEY NASH CORP DE 1.01,2.01,7.01,9.01 05/24/11
KILROY REALTY CORP MD 5.07 05/24/11
KNOLL INC DE 7.01,9.01 05/27/11
LAMAR ADVERTISING CO/NEW DE 5.07 05/26/11
LANDAUER INC DE 8.01,9.01 05/27/11
LANDEC CORP \CA\ CA 5.02 05/23/11
Lantheus Medical Imaging, Inc. DE 2.02,9.01 05/23/11
Lattice INC DE 2.01,3.02,9.01 05/26/11
Li-on Motors Corp. NV 3.02 04/29/11
LIBERTY STAR URANIUM & METALS CORP. NV 1.01,9.01 05/18/11
MACERICH CO MD 5.07 05/26/11
Maidenform Brands, Inc. DE 5.07 05/26/11
Manitex International, Inc. MI 5.07 05/26/11
MATERIAL SCIENCES CORP DE 8.01,9.01 05/27/11
MDU RESOURCES GROUP INC DE 8.01 05/24/11
MEDCATH CORP DE 2.02,8.01,9.01 05/27/11
MEDCO HEALTH SOLUTIONS INC DE 8.01 05/26/11
MEDIA TECHNOLOGIES, INC. NV 9.01 05/25/11 AMEND
MENTOR GRAPHICS CORP OR 2.02 05/27/11
Merck & Co. Inc. NJ 5.07 05/24/11
MGM Resorts International DE 8.01 05/26/11
MGM Resorts International DE 7.01 05/27/11
MID AMERICA APARTMENT COMMUNITIES INC TN 5.07 05/27/11
MIDSOUTH BANCORP INC LA 5.03,5.07,9.01 05/25/11
MINDSPEED TECHNOLOGIES, INC DE 5.03,9.01 05/24/11
MMRGlobal, Inc. DE 3.02 05/27/11
Modern Mobility Aids, Inc. NV 5.01,5.02 05/26/11
NAUTILUS, INC. WA 5.02,9.01 05/26/11
Neiman Marcus, Inc. DE 2.02,9.01 05/27/11
NELNET INC NE 5.07 05/26/11
NEOPROBE CORP DE 1.01,8.01,9.01 05/24/11
NETGEAR, INC DE 5.02,5.07 05/24/11
Neutral Tandem Inc 5.02,5.07,9.01 05/25/11
NEW ULM TELECOM INC MN 5.07 05/26/11
NEXSTAR BROADCASTING GROUP INC DE 5.07 05/24/11
Nexxus Lighting, Inc. DE 5.07 05/24/11
NICOR INC IL 8.01 05/26/11
Norcraft Holdings, L.P. DE 1.01,8.01,9.01 05/26/11
OCTAGON 88 RESOURCES, INC. NV 5.02 05/27/11
OGE ENERGY CORP. OK 8.01,9.01 05/24/11
OKLAHOMA GAS & ELECTRIC CO OK 8.01,9.01 05/24/11
OM GROUP INC DE 5.02,9.01 05/23/11
OmniaLuo, Inc. 5.02 05/23/11
OMNICARE INC DE 5.07 05/24/11
OMNICELL, Inc CA 5.07 05/24/11
ONYX PHARMACEUTICALS INC DE 2.05,5.03,5.07,9.01 05/26/11
OPTI INC CA 5.07 05/27/11
OptimumBank Holdings, Inc. FL 5.02 05/23/11
OVERHILL FARMS INC NV 5.07 05/25/11
PALATIN TECHNOLOGIES INC DE 8.01,9.01 05/26/11
PATRICK INDUSTRIES INC IN 5.07 05/26/11
PDL BIOPHARMA, INC. DE 7.01,9.01 05/25/11
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 05/26/11
PEOPLES BANCORPORATION INC /SC/ SC 5.07 05/25/11
Pepper Rock Resources Corp. 1.02,5.02 05/15/11
PHYSICIANS FORMULA HOLDINGS, INC. DE 5.02 05/24/11
PIXELWORKS, INC OR 8.01,9.01 05/27/11
PMFG, Inc. DE 5.02,9.01 05/27/11
POWER SOLUTIONS INTERNATIONAL, INC. 5.02 05/23/11
PowerShares DB Commodity Index Tracki 8.01,9.01 05/27/11
PowerShares DB G10 Currency Harvest F DE 8.01,9.01 05/27/11
PowerShares DB Multi-Sector Commodity DE 8.01,9.01 05/27/11
PowerShares DB US Dollar Index Bullis DE 8.01,9.01 05/27/11
PRESIDENTIAL LIFE CORP DE 5.03 05/25/11
PRGX GLOBAL, INC. GA 5.07 05/24/11
PRIMEENERGY CORP DE 5.07 05/25/11
PRIVATEBANCORP, INC DE 5.02,5.07,8.01,9.01 05/27/11
PULTEGROUP INC/MI/ MI 5.02,9.01 05/25/11
QKL Stores Inc. DE 5.07 05/27/11
QUALITY SYSTEMS, INC CA 2.02,8.01,9.01 05/26/11
Radius Health, Inc. 1.01,9.01 05/23/11
RED HAT INC DE 5.02,9.01 05/25/11
RELM WIRELESS CORP NV 5.07 05/25/11
RENTECH INC /CO/ CO 5.02 05/23/11
RETAIL VENTURES INC OH 1.01,1.02,2.01,3.01, 05/26/11 AMEND
3.03,5.01,5.02,5.03,
9.01
Rock-Tenn CO GA 1.01,1.02,2.01,2.03, 05/27/11
5.02,5.07,8.01,9.01
ROYAL CARIBBEAN CRUISES LTD 5.07 05/24/11
RPM INTERNATIONAL INC/DE/ DE 1.01,8.01,9.01 05/24/11
SAFEGUARD SCIENTIFICS INC PA 5.07 05/26/11
SANFILIPPO JOHN B & SON INC DE 8.01,9.01 05/23/11
SCRIPPS E W CO /DE OH 5.02,9.01 05/25/11
SEACHANGE INTERNATIONAL INC DE 8.01,9.01 05/27/11
SEACOR HOLDINGS INC /NEW/ DE 5.07 05/24/11
SEAHAWK DRILLING, INC. DE 7.01,9.01 05/26/11
Seneca Foods Corp NY 2.02,5.02,9.01 05/26/11
SENOMYX INC DE 5.07 05/26/11
SHILOH INDUSTRIES INC DE 2.02,9.01 05/27/11
SIGNATURE GROUP HOLDINGS INC NV 8.01 05/27/11
SIMMONS FIRST NATIONAL CORP AR 8.01,9.01 05/27/11
SIMMONS FIRST NATIONAL CORP AR 5.07 05/23/11 AMEND
SIRIUS XM RADIO INC. DE 5.07 05/25/11
SM Energy Co DE 5.07 05/26/11
SMTP, Inc. DE 5.07 05/27/11
SMURFIT-STONE CONTAINER Corp DE 2.01,3.01,3.03,5.01, 05/27/11
5.02,5.03,5.07,8.01,
9.01
Snap Interactive, Inc DE 5.02,9.01 05/24/11
Somaxon Pharmaceuticals, Inc. DE 8.01 05/26/11
SOUTHCOAST FINANCIAL CORP SC 5.07 05/26/11
SOUTHERN CO DE 5.02,5.07,9.01 05/25/11
SOUTHERN MICHIGAN BANCORP INC MI 5.02 05/26/11
SOUTHWEST GEORGIA FINANCIAL CORP GA 5.07 05/27/11
SOVRAN SELF STORAGE INC MD 5.07 05/26/11
SPECTRUM CONTROL INC PA 5.07 05/27/11
SS&C Technologies Holdings Inc DE 5.02,9.01 05/24/11
STAAR SURGICAL CO DE 7.01,9.01 05/27/11
STATION CASINOS INC NV 8.01,9.01 05/26/11
STEELCASE INC MI 2.02,9.01 05/27/11
STONERIDGE INC OH 2.02,9.01 05/27/11
STRATS SM TRUST FOR Goldman Sachs Cap 8.01,9.01 05/16/11
STRATS SM TRUST FOR GOLDMAN SACHS GRO 8.01,9.01 05/16/11
STRATS SM TRUST FOR JPMORGAN CHASE & 8.01,9.01 05/16/11
STRATS SM TRUST FOR WAL-MART STORES, 8.01,9.01 05/16/11
STRATS TRUST FOR SPRINT CAP CORP SEC DE 8.01,9.01 05/16/11
STRATS(SM) TRUST FOR DOMINION RESOURC 8.01,9.01 05/16/11
STRATS(SM) TRUST FOR GEN ELEC CAP COR 8.01,9.01 05/16/11
STRATS(SM) Trust For Goldman Sachs Ca 8.01,9.01 05/16/11
Stratus Media Group, Inc NV 1.01,2.03,3.02,8.01, 05/24/11
9.01
SYNOPSYS INC DE 5.07 05/26/11 AMEND
Targa Resources Corp. DE 5.07 05/25/11
TEAM HEALTH HOLDINGS INC. DE 5.07 05/25/11
TECHE HOLDING CO LA 5.07 05/25/11
TECHNICAL COMMUNICATIONS CORP MA 3.01,9.01 05/23/11
TELKONET INC UT 4.01,9.01 05/26/11
TESSERA TECHNOLOGIES INC DE 8.01,9.01 05/27/11
THERMO FISHER SCIENTIFIC INC. DE 5.07 05/25/11
THOMAS PROPERTIES GROUP INC DE 5.07 05/25/11
THRESHOLD PHARMACEUTICALS INC DE 5.07 05/26/11
Tim Hortons Inc. A6 5.02,7.01,9.01 05/23/11
TOWER BANCORP INC PA 5.02,5.07 05/24/11
TOWERSTREAM CORP DE 7.01,9.01 05/27/11
TRANS ENERGY INC NV 5.02 05/23/11
Transcept Pharmaceuticals Inc DE 8.01 05/26/11
TRAVELCENTERS OF AMERICA LLC 1.01,8.01,9.01 05/23/11
Treaty Energy Corp NV 1.01,9.01 05/19/11
TREDEGAR CORP VA 5.03,5.07,9.01 05/23/11
Triangle Petroleum Corp NV 5.02,7.01,8.01,9.01 05/23/11
U S PRECIOUS METALS INC DE 1.01 05/26/11
UGI CORP /PA/ PA 1.01,1.02 05/25/11
UGI UTILITIES INC PA 1.01,1.02,2.03,9.01 05/25/11
ULTRA PETROLEUM CORP 5.07 05/25/11
UMH PROPERTIES, INC. MD 7.01,9.01 05/26/11
UNISYS CORP DE 5.02,9.01 05/24/11
United States 12 Month Natural Gas Fu 7.01,9.01 05/27/11
United States 12 Month Oil Fund, LP 7.01,9.01 05/27/11
United States Brent Oil Fund, LP DE 7.01,9.01 05/27/11
United States Commodity Index Funds T DE 7.01,9.01 05/27/11
United States Gasoline Fund, LP DE 7.01,9.01 05/27/11
United States Heating Oil Fund, LP DE 7.01,9.01 05/27/11
United States Natural Gas Fund, LP 7.01,9.01 05/27/11
United States Oil Fund, LP DE 7.01,9.01 05/27/11
United States Short Oil Fund, LP DE 7.01,9.01 05/27/11
UNITEDHEALTH GROUP INC MN 5.02,5.07,7.01,9.01 05/23/11
UNITEDHEALTH GROUP INC MN 5.02 02/08/11 AMEND
UNIVERSAL STAINLESS & ALLOY PRODUCTS DE 5.07 05/26/11
US ECOLOGY, INC. DE 5.07 05/24/11
VECTOR GROUP LTD DE 5.07 05/25/11
VERISIGN INC/CA DE 5.02,5.07 05/26/11
VERSANT CORP CA 5.02 05/23/11
ViewPoint Financial Group Inc. MD 5.07 05/24/11
VIRCO MFG CORPORATION DE 5.02 05/24/11
VIVUS INC CA 7.01,9.01 05/27/11
VOICE MOBILITY INTERNATIONAL INC NV 5.02,8.01,9.01 05/26/11
WABCO Holdings Inc. DE 8.01,9.01 05/26/11
WALTER INVESTMENT MANAGEMENT CORP MD 7.01 05/26/11
WATSON PHARMACEUTICALS INC NV 1.01,2.01,8.01,9.01 05/25/11
Waxess Holdings, Inc. 7.01,9.01 05/27/11
WELLPOINT, INC IN 5.02 05/26/11
WESCO INTERNATIONAL INC 5.07 05/25/11
WESTWOOD ONE INC /DE/ DE 1.01,1.02,5.02,9.01 05/26/11
Willbros Group, Inc.\NEW\ 5.07 05/23/11
Wolverine Bancorp, Inc. MD 5.07,9.01 05/23/11
Woodward Energy Partners Inc. DE 4.01 04/01/11
Z3 ENTERPRISES, INC. NV 4.01,9.01 02/27/11
ZHONGPIN INC. DE 5.02,7.01,9.01 05/23/11
ZION OIL & GAS INC DE 8.01,9.01 05/27/11
ZIONS BANCORPORATION /UT/ UT 9.01 05/26/11
Zumiez Inc WA 5.02 05/25/11
http://www.sec.gov/news/digest/2011/dig053111.htm
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