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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-106
June 2, 2011

Commission Announcements

SEC, FINRA Warn Retail Investors About Investing In Structured Notes With Principal Protection

The Securities and Exchange Commission’s Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) have issued an investor alert called Structured Notes with Principal Protection: Note the Terms of Your Investment to educate investors about the risks of structured notes with principal protection, and to help them understand how these complex financial products work. The retail market for these notes has grown in recent years, and while these structured products have reassuring names, they are not risk-free.

Structured notes with principal protection typically combine a zero-coupon bond – which pays no interest until the bond matures — with an option or other derivative product whose payoff is linked to an underlying asset, index or benchmark. The underlying asset, index or benchmark can vary widely, from commonly cited market benchmarks to currencies, commodities and spreads between interest rates. The investor is entitled to participate in a return that is linked to a specified change in the value of the underlying asset. However, investors should know that these notes might be structured in a way such that their upside exposure to the underlying asset, index or benchmark is limited or capped.

Investors who hold these notes until maturity will typically get back at least some of their investment, even if the underlying asset, index or benchmark declines. But protection levels vary, with some of these products guaranteeing as little as 10 percent — and any guarantee is only as good as the financial strength of the company that makes that promise.

“Structured notes with principal protection contain risks that may surprise many investors and can have payout structures that are difficult to understand,” said Lori J. Schock, Director of the SEC’s Office of Investor Education and Advocacy. “This alert is a ‘must read’ for investors considering these products, especially those with the mistaken belief that these investments offer complete downside protection.”

“The current low interest rate environment might make the potentially higher yields offered by structured notes with principal protection enticing to investors,” said FINRA Senior Vice President for Investor Education John Gannon. “But retail investors should realize that chasing a higher yield by investing in these products could mean winding up with an expensive, risky, complex and illiquid investment.”

FINRA and the SEC’s Office of Investor Education and Advocacy are advising investors that structured notes with principal protection can have complicated pay-out structures that can make it hard to accurately assess their risk and potential for growth. Additionally, investors considering these notes should be aware that they could tie up their principal for upwards of a decade with the possibility of no profit on their initial investment. Structured Notes with Principal Protection: Note the Terms of Your Investment also includes a list of questions investors should ask before investing in these products.

For additional information regarding the SEC and FINRA’s educational outreach and program, please visit www.investor.gov or www.sec.gov/investor or www.finra.org. (Press Rel. 2011-118)

Commission Meetings

Closed Meeting on Thursday, June 9, 2011 at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, June 9, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

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

Enforcement proceedings

In the Matter of Lodavina Grosnickle

On June 2, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing against Lodavina Grosnickle. In the Order the Division of Enforcement alleges that Grosnickle was enjoined from future violations of Section 17(a) of the Securities Act and Sections 10(b) and 15(a) of the Exchange Act and Rule 10b-5 thereunder in the civil action entitled Securities and Exchange Commission v. TG Capital LLC, et al., Civil Action Number SACV 07-00579-CJC (ANx), in the United States District Court for the Central District of California. The Commission’s complaint in the district court action alleged that while acting as an unregistered broker-dealer, Grosnickle offered and sold membership interests in TG Capital, Inc. (TG Capital), and knowingly or recklessly: (1) misrepresented to investors how TG Capital would use investor funds; (2) misrepresented to investors that their investments in TG Capital were guaranteed; and (3) provided forged documents to investors.

A hearing will be scheduled before an Administrative Law Judge to determine whether the allegations contained in the Order are true, to provide Grosnickle an opportunity to respond to these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. An Administrative Law Judge will issue an initial decision no later than 210 days from the date of service of the Commission’s Order. (Rel. 34-64587; File No. 3-14408)

In the Matter of Carl W. Jasper, CPA

On June 2, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Rule 102(e)(3) of the Commission’s Rules of Practice (Order) against Carl W. Jasper. The Order finds that on November 5, 2010, the United States District Court for the Northern District of California entered an order permanently enjoining Jasper from future violations of Section 17(a)(1) of the Securities Act and Section 10(b) of the Exchange Act and Rules 10b-5, 13a-14, 13b2-1, and 13b2-2 thereunder, and from aiding and abetting any violations of Sections 13(a), 13(b)(2)(A), and 13(b)(2)(B) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, and 13a-13 thereunder. It also bars Respondent, for a period of two years, from acting as an officer or director for any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act, 15 U.S.C. 781, or that is required to file reports pursuant to Section 15(d) of the Exchange Act, 15 U.S.C. 78o(d), and requires Respondent to reimburse Maxim $1,869,639 and pay a civil penalty of $360,000.

Based on the above, the Order suspends Jasper from appearing or practicing before the Commission as an accountant. After five years, Jasper may request that the Commission consider his reinstatement. Jasper consented to the issuance of the Order without admitting or denying any of the findings in the Order, except he admitted the entry of the injunction. (Rel. 34-64588; AAE Rel. 3286; File No. 3-14177)

SEC Settles Charges With Bruce E. Snyder, Jr., Former Chief Accounting Officer of Waste Management, Inc.

The Securities and Exchange Commission announced today that it settled its civil injunctive action previously filed against Bruce E. Snyder, Jr. (Snyder), in the United States District Court for the Southern District of Texas.  Snyder formerly was Chief Accounting Officer of Waste Management, Inc. (WMI).  The complaint previously filed in this matter alleged that Snyder, among other things, prepared, reviewed, and signed a materially false or misleading Form 10-Q that Waste Management, Inc. filed with the Commission for the first quarter of its fiscal year ended Dec. 31, 1999. 

Snyder, without admitting or denying the allegations in the Commission’s Complaint, consented to an order permanently enjoining him from aiding and abetting violations of Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rules 12b-20 and 13a-13, the reporting provisions of the federal securities laws. For more information see Litigation Release No. 18422 (Oct. 22, 2003). [SEC v. Bruce E. Snyder, Jr., Civil Action No. 03 CV 4658 (S.D.Tx.)] (LR-21984)

SEC Charges Michael L. Rothenberg and His Company, Four Five, with Securities Fraud

The Securities and Exchange Commission announced the filing of a civil injunctive action in Atlanta, Georgia on June 2, 2011, alleging that Michael L. Rothenberg (Rothenberg) and the company he controlled, Four Five, LLC (Four Five) operated a fraudulent Prime Bank scheme that violated the antifraud provisions of the federal securities laws.

The Commission’s complaint alleges that between at least February 2010 and March 2010, Rothenberg, through Four Five, used misrepresentations and omissions of material fact to induce investors to participate in a secret and allegedly risk-free trading platform or trading facility. This trading platform or trading facility purportedly involved transactions among international banks that would generate substantial return on a recurring basis. Specifically, Rothenberg represented that the trading platform would produce returns in excess of 300% every fourteen days. Rothenberg and Four Five also represented to investors, both orally and in writing, that the majority of their funds would remain at all times in Rothenberg’s attorney trust account, and that all funds invested, along with the profits, would be returned to the investors at the conclusion of the trades. Rothenberg further represented to the investors that the investment was risk-free because their funds would remain in his attorney trust account. Contrary to Defendants’ representations, a risk-free trading process providing the returns promised by Defendants does not exist. Moreover, contrary to Rothenberg’s representations that investor funds would remain in his attorney trust account, Rothenberg began disbursing investor funds within days of receipt of those funds. Between March 2010 and October 2010, at least $210,000 in investor funds were transferred to a bank account designated for contributions to Rothenberg’s judicial election campaign. Rothenberg used another $190,000 of investor funds for personal expenses. Although Rothenberg ultimately returned approximately $910,000 to investors, Defendants have misappropriated at least $800,000 of investor funds.

In its Complaint, the Commission alleges that Rothenberg and Four Five Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. [SEC v. Michael L. Rothenberg, et al., Case No. 1:11-CV-1803 (N.D. GA.)] (LR-21985)

Court Enters Judgment of Civil Penalty and Other Relief Against Defendants Carol McKeown and Daniel F. Ryan and Grants the Commission’s Voluntary Dismissal as to Civil Penalty Claims Against Meadow Vista Financial Corp. and Downshire Capital Inc.

The Commission announced that on May 23, 2011, the Honorable James I. Cohn, United States District Court Judge for the Southern District of Florida entered Judgments of Civil Penalties and Other Relief against Defendants Carol McKeown and Daniel F. Ryan. McKeown and Ryan consented to the entry of the Judgments without admitting or denying the allegations of the Commission’s Complaint. The Judgments order McKeown and Ryan to pay $150,000 each in civil penalties. On the same day, the Court granted the Commission’s request to voluntarily dismiss its claim for civil money penalties against Defendants Meadow Vista Financial Corp. and Downshire Capital Inc., neither of whom is conducting business and who have sought voluntary dissolution.

The Commission previously obtained Judgments of Permanent Injunction and Other Relief against Defendants McKeown, Ryan, Downshire and Meadow Vista which includes permanent injunctions and orders them to pay disgorgement of $3,719,543, representing ill-gotten gains and prejudgment interest of $74,762.81. [Securities and Exchange Commission v. Carol McKeown, et al., Civil Action No. 10-CV-80748- Cohn/Seltzer (S.D. Fla.)] (LR-21986)

Investment company act releases

PennantPark Investment Corporation, et al.

An order has been issued on an application filed by PennantPark Investment Corporation (Company), et al. for an order under Section 6(c) of the Investment Company Act for an exemption from Sections 18(a) and 61(a) of the Act. The order permits the Company to adhere to a modified asset coverage requirement. (Rel. IC-29686 – June 1)

TIAA-CREF Life Insurance Company, et al.

A notice has been issued giving interested persons until June 27, 2011, to request a hearing on an application filed by TIAA-CREF Life Insurance Company, et al. requesting an order pursuant to Section 26(c) of the Investment Company Act to permit the substitution of shares of a certain registered management investment company with shares of another registered management investment company. (Rel. IC-29687 – June 1)

BAC Home Loan Servicing LP, et al.

The Commission has issued a temporary order to BAC Home Loan Servicing LP, et al., under Section 9(c) of the Investment Company Act with respect to an injunction entered by the U.S. District Court for the Central District of California on or about May 31, 2011. The temporary order exempts applicants from the provisions of Section 9(a) of the Act, until the earlier of July 29, 2011, or until the Commission takes final action on the application for a permanent order. IC-29688 – June 1)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change submitted by The NASDAQ OMX BX Inc. regarding the correction of an inadvertent error in Exchange Rule 7019(c) (SR-BX-2011-028) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64577)

A proposed rule change submitted by NASDAQ OMX PHLX regarding the correction of an inadvertent error in the fee schedule (SR-Phlx-2011-71) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64578)

A proposed rule change submitted by The NASDAQ Stock Market regarding the correction of an inadvertent error in NASDAQ Rule 7019(d) (SR-NASDAQ-2011-071) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64579)

A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-73) relating to customer complex orders has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64580)

Securities Act Registrations

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

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

S-4     HSBC Finance Corp, 224-544-2000, 26525 N. RIVERWOODS BLVD., METTAWA, 
        IL, 60045, 224-544-2000 - 0 ($2,938,669,000.00) Debt, 
        (File 333-174628 - Jun. 1) (BR. 07B)

S-8     INTREorg SYSTEMS INC., 2600 E. SOUTHLAKE BLVD, SUITE 120-366, 
        SOUTHLAKE, TX, 76092, 817-491-8611 - 2,000,000 ($1,900,000.00) Equity, 
        (File 333-174630 - Jun. 1) (BR. 03A)

S-1     Sino Daren Co. Ltd, SUITE 5B, 5F, CHINA HARBOUR BUILDING, 
        370, KINGS ROAD, NORTH POINT, K3, 00000, 85228156986 - 
        0 ($250,000.00) Equity, (File 333-174631 - Jun. 1) (BR. 11)

        94608, 5104205000 - 0 ($83,533,385.00) Equity, (File 333-174632 - 
        Jun. 1) (BR. 05B)

S-8     SANDISK CORP, 601 MCCARTHY BLVD., MILPITAS, CA, 95035, 4088011000 - 
        208,913 ($909,620.02) Equity, (File 333-174633 - Jun. 1) (BR. 03B)

F-1     Nautilus Marine Acquisition Corp, 90 Kifissias Avenue, Maroussi, J3, 
        15125, 30 210 876-4858 - 0 ($151,725,100.00) Equity, (File 333-174634 - 
        Jun. 1) (BR. 02)

S-8     Lone Pine Resources Inc., 645-7 AVENUE SW, CALGARY, A0, T2P 4G8, 
        403-292-8000 - 0 ($97,500,000.00) Equity, (File 333-174635 - Jun. 1) 
        (BR. 04A)

        95054-3299, 4087275555 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-174636 - Jun. 1) (BR. 10A)

        5017856000 - 0 ($17,038,000.00) Equity, (File 333-174637 - Jun. 1) 
        (BR. 05A)

S-8     COINSTAR INC, 1800 114TH AVENUE S E, BELLEVUE, WA, 98004, 4259438000 - 
        0 ($31,806,000.00) Equity, (File 333-174638 - Jun. 1) (BR. 11A)

        900,000 ($10,053,000.00) Equity, 900,000 ($0.00) Other, 
        (File 333-174639 - Jun. 1) (BR. 07A)

        805 KING FARM BOULEVARD, SUITE 600, ROCKVILLE, MD, 20850, 
        301-296-5100 - 0 ($537,950,000.00) Other, (File 333-174640 - Jun. 1) 
        (BR. )

        EDINBURGH, SCOTLAND, X0, EH12 1HQ, 441315568555 - 
        0 ($109,780,409.90) Equity, (File 333-174641 - Jun. 1) (BR. 07A)

S-1     Cord Blood America, Inc., 1857 HELM DRIVE, LAS VEGAS, NV, 89119, 
        (702) 914-7250 - 20,652,270 ($5,576,113.00) Equity, (File 333-174642 - 
        Jun. 1) (BR. 09A)

S-8     Premier Power Renewable Energy, Inc., 4961 WINDPLAY DRIVE, SUITE 100, 
        EL DORADO HILLS, CA, 95762, (916) 939-0400 - 0 ($1,500,000.00) Equity, 
        (File 333-174643 - Jun. 1) (BR. 02C)

N-2     Eaton Vance Inflation-Linked Income Credit Trust, 
        800-225-6265 - 50,000 ($1,000,000.00) Equity, (File 333-174644 - 
        Jun. 1) (BR. )

S-8     Midas Medici Group Holdings, Inc., 445 PARK AVENUE, 20TH FLOOR, 
        NEW YORK, NY, 10022, 212-792-0921 - 650,000 ($2,275,000.00) Equity, 
        (File 333-174645 - Jun. 1) (BR. 08B)

        2126550220 - 0 ($500,000,000.00) Other, (File 333-174646 - Jun. 1) 
        (BR. 08A)

        NY, 10606, 914-372-4202 - 40,000,000 ($14,755,957.00) Equity, 
        (File 333-174647 - Jun. 1) (BR. 06C)

S-1     Lightwave Logic, Inc., 121 CONTINENTAL DRIVE, SUITE 110, NEWARK, DE, 
        19713, (302) 356-2717 - 10,000,000 ($12,500,000.00) Equity, 
        (File 333-174648 - Jun. 1) (BR. 06C)

S-8     QUALCOMM INC/DE, 5775 MOREHOUSE DR, SAN DIEGO, CA, 92121, 8585871121 - 
        0 ($515,665,900.00) Equity, (File 333-174649 - Jun. 1) (BR. 11A)

S-3ASR  Fidelity National Financial, Inc., 601 RIVERSIDE AVENUE, JACKSONVILLE, 
        FL, 32204, 904-854-8100 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-174650 - Jun. 1) (BR. 01C)

S-1     Umami Sustainable Seafood Inc., 1230 COLUMBIA ST.,, SUITE 1100, 
        SAN DIEGO,, CA, 92101, (619) 544-9177 - 
        23,989,465 ($71,968,395.00) Equity, (File 333-174651 - Jun. 1) (BR. 09B)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant


Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement


Cost Associated with Exit or Disposal Activities


Material Impairments


Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review


Changes in Control of Registrant


Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer


Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


Financial Statements and Exhibits

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

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

AASTROM BIOSCIENCES INC                 MI       8.01,9.01            06/01/11

AbitibiBowater Inc.                     DE       8.01,9.01            05/27/11

ACADIA REALTY TRUST                     MD       7.01,9.01            05/31/11

ACCESS PHARMACEUTICALS INC              DE       5.07                 05/26/11

AE Biofuels, Inc.                                2.01,9.01            05/24/11

AES CORP                                DE       8.01,9.01            06/01/11

AES CORP                                DE       1.01,2.03,9.01       05/27/11

ALBANY INTERNATIONAL CORP /DE/          DE       5.07,9.01            05/27/11

ALBANY MOLECULAR RESEARCH INC           DE       3.03,9.01            06/01/11

ALEXANDRIA REAL ESTATE EQUITIES INC     MD       5.07                 05/25/11

ALLSTATE CORP                           DE       7.01,9.01            06/01/11

Alpha Natural Resources, Inc.           DE       1.01,2.01,2.03,2.04, 06/01/11
ALPHARX INC                             DE       5.02,9.01            06/01/11

ALTERNATE ENERGY HOLDINGS, INC.         NV       5.02,9.01            05/31/11

AMARIN CORP PLC\UK                      X0       1.01,8.01,9.01       05/25/11

AMBASSADORS GROUP INC                   DE       9.01                 05/31/11

AMEDISYS INC                            DE       1.01,2.03,9.01       05/26/11

AMERICA SERVICE GROUP INC /DE           DE       5.07,8.01,9.01       06/01/11

American Assets Trust, Inc.             MD       1.01,2.03,7.01,9.01  06/01/11

AMERIGON INC                            MI       8.01,9.01            06/01/11

Ameris Bancorp                          GA       5.07,8.01,9.01       06/01/11

AMKOR TECHNOLOGY INC                    DE       8.01,9.01            06/01/11

AMP Holding Inc.                        NV       1.01,3.02,5.02,9.01  05/25/11

AMSURG CORP                             TN       7.01,9.01            06/01/11

Anchor Bancorp                          WA       5.02                 05/27/11

ANCHOR BANCORP WISCONSIN INC            WI       1.01,9.01            05/31/11

ANNALY CAPITAL MANAGEMENT INC           MD       5.07                 05/26/11

Antero Resources Finance Corp           DE       2.02,9.01            05/31/11

APPLIED MATERIALS INC /DE               DC       9.01                 06/01/11

ARDENT MINES LTD                                 8.01,9.01            05/31/11

ASIA PROPERTIES INC                     NV       5.02                 05/31/11

Atlantic Resources Inc.                 NV       5.01,5.02,9.01       05/27/11

Atrinsic, Inc.                          DE       1.01,2.03,3.02,9.01  05/31/11

AURA SYSTEMS INC                        DE       1.01                 02/28/11

AWARE INC /MA/                          MA       5.07                 05/25/11

AXION INTERNATIONAL HOLDINGS, INC.      CO       5.01                 05/25/11

Bancorp of New Jersey, Inc.             NJ       5.02,5.07,9.01       05/25/11

BANK JOS A CLOTHIERS INC /DE/           DE       2.02,9.01            06/01/11

BANK OF FLORIDA CORP                    FL       5.07,8.01            05/23/11

BANNER CORP                             WA       5.03,8.01,9.01       05/26/11

BASIC ENERGY SERVICES INC                        5.02,5.07,9.01       05/24/11    AMEND

BEACON POWER CORP                       DE       1.01,3.03            05/31/11

BELK INC                                         5.07                 05/25/11

BENIHANA INC                            DE       2.02,9.01            06/01/11

BIG LOTS INC                            OH       1.01,2.02,5.07,9.01  05/26/11

BIOLASE TECHNOLOGY INC                  DE       7.01,9.01            05/31/11

BIOLIFE SOLUTIONS INC                   DE       8.01,9.01            06/01/11

BioMed Realty Trust Inc                 MD       5.07                 05/25/11

BION ENVIRONMENTAL TECHNOLOGIES INC     CO       5.02,7.01,9.01       05/31/11

BIOPACK ENVIRONMENTAL SOLUTIONS INC.    NV       1.02,9.01            05/31/11

BIOVEST INTERNATIONAL INC               DE       7.01,9.01            06/01/11

BLUE COAT SYSTEMS INC                   DE       5.02,9.01            05/25/11

BLUEFLY INC                             DE       5.02,9.01            05/31/11

BLUEFLY INC                             DE       5.02                 05/31/11    AMEND

BOYD GAMING CORP                        NV       5.02,5.07            05/26/11

BROCADE COMMUNICATIONS SYSTEMS INC      DE       5.07                 04/12/11    AMEND

Brookdale Senior Living Inc.            DE       7.01,9.01            06/01/11

Bunge LTD                                        5.02,5.07            05/25/11

CalAmp Corp.                            DE       5.02,8.01,9.01       05/27/11

CALAVO GROWERS INC                      CA       1.01,7.01,9.01       05/25/11

CAPITAL SENIOR LIVING CORP              DE       5.07                 05/25/11

CAPSALUS CORP                           NV       5.02,7.01,9.01       05/27/11

Car Charging Group, Inc.                NV       1.01,3.02,9.01       05/27/11

CARMIKE CINEMAS INC                     DE       5.02,9.01            06/01/11

CASCADE FINANCIAL CORP                  WA       5.07,8.01,9.01       05/31/11

CBS CORP                                DE       5.07                 05/26/11

CERADYNE INC                            DE       7.01,9.01            06/01/11

CERNER CORP /MO/                        DE       5.03,5.07,8.01,9.01  05/27/11

CF Industries Holdings, Inc.            DE       7.01,9.01            06/01/11

CHART INDUSTRIES INC                    DE       7.01,9.01            06/01/11

CHENIERE ENERGY INC                     DE       7.01,9.01            06/01/11

CHEVRON CORP                            DE       5.07                 05/25/11

CHIMERA INVESTMENT CORP                 DE       5.07                 05/26/11

China Complant Group Inc                NV       1.01                 01/31/11    AMEND

CHINA EDUCATION INTERNATIONAL, INC.              1.01,2.01,3.02,7.01, 05/31/11
China Environmental Protection Inc.     NV       9.01                 02/12/10    AMEND

China Lithium Technologies Inc.                  8.01                 05/30/11

China New Greenfood Co., Ltd            NV       1.01,2.01,9.01       03/22/11

CHINA PHARMA HOLDINGS, INC.             DE       5.02,9.01            05/25/11

Chineseinvestors.com, Inc.              IN       4.02                 05/31/11

Chrysler Group LLC                      DE       8.01,9.01            06/01/11

Citizens Community Bancorp Inc.         MD       5.02                 05/26/11

CleanTech Biofuels, Inc.                         1.01,9.01            05/31/11

Clenergen Corp                          NV       2.03,3.02,9.01       05/26/11

COLDWATER CREEK INC                     DE       2.02,9.01            06/01/11

Colfax CORP                             DE       7.01,9.01            06/01/11

COLUMBIA SPORTSWEAR CO                  OR       5.07                 05/27/11

COLUMBUS MCKINNON CORP                  NY       2.02,9.01            05/26/11

COMMITTED CAPITAL ACQUISITION Corp      DE       1.01,1.02,2.03,9.01  05/27/11

COMMUNICATION INTELLIGENCE CORP         DE       4.01,9.01            06/01/11

COMMUNITY FINANCIAL CORP /VA/           VA       2.02,9.01            06/01/11

COMMUNITY FINANCIAL SHARES INC          DE       5.07                 05/25/11

COMMUNITY WEST BANCSHARES /             CA       5.07                 06/01/11

COMPLETE GENOMICS INC                   DE       8.01,9.01            06/01/11

CONSTELLATION BRANDS, INC.              DE       5.02,7.01,9.01       05/25/11

CONTINENTAL RESOURCES INC               OK       5.07                 05/26/11

COSTAR GROUP INC                        DE       8.01,9.01            06/01/11

CRACKER BARREL OLD COUNTRY STORE, INC   TN       7.01,9.01            05/26/11

CRAFT BREWERS ALLIANCE, INC.            WA       5.02,9.01            05/25/11

CVD EQUIPMENT CORP                      NY       8.01                 05/27/11

Cyber Supply Inc.                       NV       1.01,9.01            05/31/11

CYPRESS SEMICONDUCTOR CORP /DE/         DE       1.01                 05/12/11

DAKTRONICS INC /SD/                     SD       2.02,9.01            06/01/11

DANA HOLDING CORP                       DE       5.02                 05/25/11

DARLING INTERNATIONAL INC               DE       1.01,8.01,9.01       05/31/11

DEBT RESOLVE INC                        DE       5.02,9.01            05/31/11

DEERE & CO                              DE       7.01                 06/01/11

DELCATH SYSTEMS INC                     DE       5.07,7.01,9.01       05/31/11

DEXCOM INC                                       5.07                 05/25/11

Dialogic Inc.                           DE       5.07                 05/27/11

DIGITAL ALLY INC                                 5.07,9.01            05/24/11

DIODES INC /DEL/                        DE       5.02,5.07,7.01,9.01  05/26/11

DISCOVERY LABORATORIES INC /DE/         DE       8.01,9.01            06/01/11

DJSP Enterprises, Inc.                  D8       1.01,9.01            05/17/11

DOLLAR GENERAL CORP                     TN       2.02,5.07,7.01,9.01  05/25/11

Domark International Inc.               NV       5.06,8.01            05/27/11

DOVER Corp                              DE       7.01,9.01            06/01/11

DTE ENERGY CO                           MI       7.01,9.01            06/01/11

DYAX CORP                               DE       8.01,9.01            05/27/11

DYNAMIC VENTURES CORP.                           1.01,9.01            05/28/11

Eastern Insurance Holdings, Inc.        PA       8.01,9.01            05/31/11

EASTGROUP PROPERTIES INC                MD       5.02,5.07,9.01       05/25/11

ELECTRONIC ARTS INC.                    DE       5.02,9.01            05/26/11

EMC INSURANCE GROUP INC                 IA       1.01,5.07,7.01,9.01  05/26/11

Emergency Medical Services CORP         DE       1.01,1.02,2.03,3.01, 05/25/11
EMERSON RADIO CORP                      DE       1.03,8.01,9.01       05/31/11

ENDEAVOUR INTERNATIONAL CORP            NV       5.02,5.07,9.01       05/26/11

ENDOLOGIX INC /DE/                      DE       5.07                 05/25/11

ENDURANCE SPECIALTY HOLDINGS LTD                 8.01,9.01            06/01/11

ENERGIZER HOLDINGS INC                  MO       2.04                 05/25/11

ENERGY PARTNERS LTD                     DE       1.01,5.07            05/26/11

EnergySolutions, Inc.                   DE       5.07                 05/25/11

ENGLOBAL CORP                           NV       5.02,9.01            05/31/11

ENSIGN GROUP, INC                                5.07                 05/26/11

ESTERLINE TECHNOLOGIES CORP             DE       2.02,9.01            06/01/11

Ethos Environmental, Inc.               NV       8.01                 05/31/11

EVCARCO, INC.                           NV       1.01,9.01            05/24/11

EXELON CORP                             PA       7.01,9.01            06/01/11

EXIDE TECHNOLOGIES                      DE       2.02,9.01            06/01/11

Exousia Advanced Materials, Inc.        TX       3.02,9.01            06/01/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            05/25/11

Federal Home Loan Bank of Dallas                 5.02,9.01            05/25/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            05/27/11

Federal Home Loan Bank of Topeka                 5.02                 05/26/11

Federal Home Loan Bank of Topeka                 2.03,9.01            05/25/11

FIRST BANCSHARES INC /MS/               MS       5.07                 05/26/11

FIRST COMMUNITY BANK CORP OF AMERICA    FL       2.01,3.01,8.01       05/31/11

FIRST FINANCIAL HOLDINGS INC /DE/       DE       2.01,9.01            06/01/11

FIRST NATIONAL COMMUNITY BANCORP INC    PA       5.02,9.01            05/25/11

FLUOROPHARMA MEDICAL, INC.              NV       4.01,9.01            06/01/11

FORD MOTOR CO                           DE       8.01,9.01            06/01/11

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            06/01/11

FOREST OIL CORP                         NY       1.01,2.01,7.01,9.01  05/25/11

FRANKLIN ELECTRIC CO INC                IN       7.01,9.01            06/01/11

Franklin Financial Corp                 VA       5.02,9.01            06/01/11

FROZEN FOOD EXPRESS INDUSTRIES INC      TX       8.01,9.01            06/01/11

FSI INTERNATIONAL INC                   MN       8.01,9.01            06/01/11

GATEWAY ENERGY CORP/NE                  DE       9.01                 05/26/11

GENWORTH FINANCIAL INC                  DE       5.03,9.01            06/01/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01                 06/01/11

GREAT PLAINS ENERGY INC                 MO       8.01                 06/01/11

GREENBRIER COMPANIES INC                DE       5.02                 05/25/11

GreenCell, Inc                          FL       1.01,3.02            05/25/11

GREER BANCSHARES INC                    SC       2.02,9.01            05/23/11

Grubb & Ellis Healthcare REIT II, Inc   MD       1.01,2.01,2.03,7.01, 05/26/11
GSE SYSTEMS INC                         DE       8.01                 06/01/11

GSV Capital Corp.                       MD       1.01,1.02,5.03,9.01  05/26/11

GT Solar International, Inc.            DE       5.02,9.01            05/26/11

GTX INC /DE/                            DE       2.05                 06/01/11

HABER INC                               DE       8.01,9.01            06/01/11

Harvard Illinois Bancorp, Inc.          MD       5.07,9.01            05/26/11

HCC INSURANCE HOLDINGS INC/DE/          DE       5.02,5.07            05/25/11

HCP, INC.                               MD       7.01,9.01            06/01/11

HCP, INC.                               MD       7.01,9.01            05/31/11

HEALTH NET INC                          DE       7.01                 05/31/11

HEALTHCARE TRUST OF AMERICA, INC.       MD       8.01,9.01            05/31/11

HEALTHSTREAM INC                        TN       5.07                 05/26/11

HERITAGE COMMERCE CORP                  CA       5.07,7.01            05/26/11

HERTZ GLOBAL HOLDINGS INC                        5.07                 05/26/11

HEWLETT PACKARD CO                      DE       8.01,9.01            05/25/11

HFF, Inc.                               DE       5.07                 05/26/11

HIGHLAND BUSINESS SERVICES, INC.        NV       1.01,2.01,3.02,5.02, 05/31/11
Hoku Corp                               DE       5.02,9.01            05/25/11

HOLOGIC INC                             DE       7.01,8.01,9.01       06/01/11

Homeowners Choice, Inc.                 FL       5.07                 05/25/11

IA GLOBAL INC                           DE       5.02,9.01            05/19/11

IBERIABANK CORP                         LA       8.01,9.01            05/31/11

IDACORP INC                             ID       7.01,8.01,9.01       05/31/11

ImmunoCellular Therapeutics, Ltd.       DE       8.01,9.01            06/01/11

INFORMATION SYSTEMS ASSOCIATES, INC.    FL       2.03                 05/28/11

INSWEB CORP                                      1.01,5.02,8.01,9.01  06/01/11

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       1.01,9.01            06/01/11

INUVO, INC.                             NV       9.01                 02/15/11

Investors Heritage Capital Corp         KY       5.07                 05/12/11

IPG PHOTONICS CORP                      DE       5.02,5.07            06/01/11

ITC Holdings Corp.                      MI       5.02,5.07,8.01,9.01  05/25/11

ITEX CORP                               NV       8.01                 06/01/11

IVANHOE ENERGY INC                               1.01                 05/25/11

JACOBS ENGINEERING GROUP INC /DE/       DE       5.02,9.01            05/26/11

JACOBS ENGINEERING GROUP INC /DE/       DE       5.07                 01/27/11    AMEND

JDA SOFTWARE GROUP INC                  DE       5.07                 05/26/11

JETBLUE AIRWAYS CORP                    DE       5.07                 05/26/11

JONES LANG LASALLE INC                  MD       5.07                 05/26/11

JONES SODA CO                           WA       5.02,5.07,9.01       05/25/11

KATY INDUSTRIES INC                     DE       5.07                 05/25/11

KEMET CORP                              DE       7.01,9.01            06/01/11

Kennedy-Wilson Holdings, Inc.           DE       8.01,9.01            06/01/11

KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 05/31/11

KINDER MORGAN MANAGEMENT LLC            DE       7.01                 05/31/11

KINDER MORGAN, INC.                     DE       7.01                 05/31/11

KIRBY CORP                              NV       5.02                 05/27/11

Kraton Performance Polymers, Inc.       DE       5.02,5.07            05/25/11

KRATOS DEFENSE & SECURITY SOLUTIONS,    DE       5.07                 06/01/11

LA JOLLA PHARMACEUTICAL CO              DE       8.01                 05/27/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 06/01/11

LANDSTAR SYSTEM INC                     DE       5.02,5.07            05/26/11

LAPOLLA INDUSTRIES INC                  DE       3.02                 05/25/11

LED Power Group, Inc.                   NV       1.01,9.01            05/26/11

LEHMAN ABS CORP BACKED TRUST CERTS SE   DE       8.01,9.01            05/20/11

LIMITED BRANDS INC                      DE       5.07                 05/26/11

Lone Pine Resources Inc.                DE       1.01,2.01,3.02,5.02, 05/25/11
Macquarie Equipment Leasing Fund, LLC   DE       3.03,5.07            06/01/11

Manhattan Bancorp                       CA       5.02,5.07,9.01       05/26/11

MARATHON OIL CORP                       DE       5.04,9.01            06/01/11

Market Leader, Inc.                     WA       5.07                 05/26/11

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            06/01/11

MARTIN MIDSTREAM PARTNERS LP            DE       1.01,7.01,9.01       05/31/11

MASTEC INC                              FL       1.01,9.01            05/31/11

MATTSON TECHNOLOGY INC                  DE       5.02,9.01            06/01/11

MCCORMICK & CO INC                      MD       7.01,9.01            06/01/11

McCormick & Schmicks Seafood Restaura            5.07,9.01            05/26/11

MDC PARTNERS INC                        A6       5.02,5.07,9.01       06/01/11

MEDCO HEALTH SOLUTIONS INC              DE       7.01,9.01            06/01/11

MediaMind Technologies Inc.             DE       5.07                 06/01/11

MEDICIS PHARMACEUTICAL CORP             DE       8.01                 05/25/11

Mercantile Bancorp, Inc.                DE       8.01,9.01            05/31/11

MERIT MEDICAL SYSTEMS INC               UT       5.07                 05/27/11

MET PRO CORP                            PA       8.01,9.01            06/01/11

MET PRO CORP                            PA       5.07                 06/01/11

MHI Hospitality CORP                    MD       5.02                 05/25/11

MOCON INC                               MN       5.02,5.03,5.07,9.01  05/26/11

MOLSON COORS BREWING CO                 DE       5.07                 05/25/11

MS STRUCTURED ASSET CORP CBT SERIES 2   DE       8.01,9.01            05/25/11

MTS SYSTEMS CORP                        MN       5.07                 02/09/11    AMEND

MULTIBAND CORP                          MN       8.01,9.01            06/01/11

MYERS INDUSTRIES INC                    OH       8.01,9.01            06/01/11

NANOMETRICS INC                         DE       5.02,5.07,8.01,9.01  05/26/11

NANOPHASE TECHNOLOGIES CORPORATION      IL       3.01,9.01            06/01/11

NATIONAL HOUSING PARTNERSHIP REALTY F   MD       8.01                 05/26/11

NATIONAL RETAIL PROPERTIES, INC.        MD       1.01,2.03,9.01       05/25/11

NATIONAL TAX CREDIT PARTNERS L P        CA       2.01,9.01            05/25/11

NEOPROBE CORP                           DE       8.01                 06/01/11

NETWORK 1 SECURITY SOLUTIONS INC        DE       1.01,9.01            05/25/11

NEXTERA ENERGY INC                      FL       7.01                 06/01/11

NOVELOS THERAPEUTICS, INC.              DE       4.01,5.02,5.03,9.01  05/25/11

NxStage Medical, Inc.                   DE       5.07                 05/26/11

OIL STATES INTERNATIONAL, INC           DE       1.01,2.03,8.01,9.01  05/26/11

OLD NATIONAL BANCORP /IN/               IN       8.01,9.01            06/01/11

OLD REPUBLIC INTERNATIONAL CORP         DE       5.07                 05/27/11

ONEOK INC /NEW/                         OK       5.02,9.01            05/27/11

ONEOK INC /NEW/                         OK       7.01,9.01            06/01/11

ONEOK Partners LP                       DE       5.02,9.01            05/27/11

ONEOK Partners LP                       DE       7.01,9.01            06/01/11

OUTDOOR CHANNEL HOLDINGS INC                     5.07                 05/31/11

OXIGENE INC                             DE       8.01,9.01            06/01/11

PACIFIC OFFICE PROPERTIES TRUST, INC.   MD       5.07                 05/26/11

PAM TRANSPORTATION SERVICES INC         DE       5.07                 05/26/11

PANTRY INC                              DE       5.02,9.01            05/31/11

PARK OHIO HOLDINGS CORP                 OH       5.02,5.07,9.01       05/26/11

PDI INC                                          5.07                 05/31/11

PDL BIOPHARMA, INC.                     DE       7.01,9.01            06/01/11

PediatRx Inc.                           NV       8.01,9.01            06/01/11

PEETS COFFEE & TEA INC                  WA       8.01                 05/31/11

PENNANTPARK INVESTMENT CORP                      7.01,9.01            06/01/11

People's United Financial, Inc.         DE       8.01,9.01            06/01/11

PHH CORP                                MD       8.01                 05/25/11

PIEDMONT NATURAL GAS CO INC             NC       8.01                 06/01/11

Pinewood Acquisition Corp               DE       3.02,5.01,5.02,5.03  03/31/11

PINNACLE ENTERTAINMENT INC.             DE       1.01,9.01            05/26/11

PINNACLE WEST CAPITAL CORP              AZ       7.01,8.01,9.01       06/01/11

PITTSBURGH & WEST VIRGINIA RAILROAD     PA       5.07,8.01,9.01       05/31/11

POLYCOM INC                             DE       7.01,9.01            06/01/11

POWIN CORP                                       8.01,9.01            06/01/11

PRIVATEBANCORP, INC                     DE       7.01,9.01            06/01/11

PSM HOLDINGS INC                        NV       9.01                 03/15/11    AMEND

QUALITY SYSTEMS, INC                    CA       5.02,9.01            05/25/11

RAE SYSTEMS INC                         DE       1.01,2.01,9.01       05/26/11

RAYTHEON CO/                            DE       5.07                 05/26/11

REALPAGE INC                            DE       5.07                 06/01/11

RED ROBIN GOURMET BURGERS INC           DE       7.01,9.01            05/31/11

REGAL ONE Corp                          FL       8.01,9.01            03/31/11

REPRO MED SYSTEMS INC                   NY       8.01,9.01            05/31/11

RETAIL OPPORTUNITY INVESTMENTS CORP     DE       8.01,9.01            06/01/11

REX AMERICAN RESOURCES Corp             DE       2.02,9.01            06/01/11

Roadrunner Transportation Systems, In   DE       1.01,2.03,8.01,9.01  05/31/11

ROCKWELL MEDICAL TECHNOLOGIES INC       MI       5.02,5.07            05/26/11

ROFIN SINAR TECHNOLOGIES INC            DE       2.01,9.01            06/01/11

RR Donnelley & Sons Co                  DE       9.01                 06/01/11

RURBAN FINANCIAL CORP                   OH       5.03,5.07,9.01       05/26/11

Santa Fe Gold CORP                      DE       5.07,9.01            05/18/11

SEACOAST BANKING CORP OF FLORIDA        FL       3.03,5.03,5.07,9.01  05/26/11

Seagate Technology plc                  L2       8.01                 05/30/11

SEALED AIR CORP/DE                      DE       7.01,9.01            06/01/11

SEITEL INC                              DE       1.01,2.03,9.01       05/25/11

SEITEL INC                              DE       8.01                 06/01/11

SemGroup Corp                           DE       5.07                 05/25/11

SHUTTERFLY INC                          DE       5.07                 05/25/11

SIGMA LABS, INC.                        NV       8.01,9.01            05/25/11

SKECHERS USA INC                        DE       5.07                 05/25/11

SPDR GOLD TRUST                                  8.01,9.01            06/01/11

Spirit Airlines, Inc.                   DE       1.01,1.02,3.02,5.03, 05/25/11
SquareTwo Financial Corp                DE       1.01,2.03            05/26/11

STAGE STORES INC                        NV       8.01,9.01            05/27/11

Stewart & Stevenson LLC                 DE       9.01                 03/23/11    AMEND

STILLWATER MINING CO /DE/               DE       2.02,9.01            05/31/11

Susser Holdings CORP                    DE       5.07                 05/25/11

TEKELEC                                 CA       5.02,9.01            05/31/11

TELEFLEX INC                            DE       8.01,9.01            06/01/11

Tennessee Commerce Bancorp, Inc.        TN       8.01                 06/01/11

Tennessee Commerce Bancorp, Inc.        TN       1.01,8.01,9.01       05/25/11    AMEND

TESLA MOTORS INC                        DE       3.02,3.03,9.01       05/25/11

THOMAS GROUP INC                        DE       3.01,9.01            05/26/11

THRESHOLD PHARMACEUTICALS INC           DE       5.02                 05/26/11

TIMBERLAND CO                           DE       5.02,5.07,8.01       05/26/11

TPC Group Inc.                          DE       5.02,9.01            05/31/11

TRANSATLANTIC HOLDINGS INC              DE       5.02,5.07            05/26/11

TRAVELERS COMPANIES, INC.               MN       5.07                 05/26/11

Tremont Fair, Inc.                      NV       1.01,2.01,3.02,5.01, 05/26/11

TRICO MARINE SERVICES INC               DE       7.01,9.01            05/31/11

TYCO INTERNATIONAL LTD                  V8       8.01,9.01            05/26/11

ULURU INC.                              NV       8.01,9.01            06/01/11

UNICO AMERICAN CORP                     NV       5.07                 05/26/11

UNION BANKSHARES INC                    VT       8.01,9.01            05/27/11

UNITED STATIONERS INC                   DE       5.02,9.01            06/01/11

UNIVERSAL TRAVEL GROUP                  NV       8.01                 05/26/11

Urban Barns Foods Inc.                  NV       1.01,9.01            05/02/11    AMEND

URS CORP /NEW/                          DE       5.02,5.07,9.01       05/26/11

USA TECHNOLOGIES INC                    PA       8.01,9.01            05/27/11

VALHI INC /DE/                          DE       7.01,9.01            05/31/11

VALIDUS HOLDINGS LTD                             8.01,9.01            06/01/11

VEECO INSTRUMENTS INC                   DE       1.02,3.02            05/26/11

Venture Lending & Leasing VI, Inc.      MD       2.03                 05/26/11

Vera Bradley, Inc.                               2.02,9.01            06/01/11

VERENIUM CORP                           DE       5.07                 05/25/11

VERTICAL HEALTH SOLUTIONS INC           FL       5.02                 05/23/11

VGTel, Inc.                                      1.01                 05/25/11

VirnetX Holding Corp                    DE       5.07                 05/26/11

VISTAPRINT N.V.                         P7       5.02                 05/31/11

W&T OFFSHORE INC                        TX       7.01,8.01,9.01       05/26/11

WABCO Holdings Inc.                     DE       5.02,5.07            05/25/11

WaferGen Bio-systems, Inc.              NV       1.01,1.02,2.03,3.02, 05/25/11
WASHINGTON GAS LIGHT CO                 DC       5.02,5.03,9.01       05/25/11

WASHINGTON MUTUAL, INC                  WA       7.01,9.01            05/31/11

WELLS CORE OFFICE INCOME REIT INC                8.01                 05/31/11

WELLS REAL ESTATE INVESTMENT TRUST II   MD       8.01                 06/01/11

WGL HOLDINGS INC                        VA       5.02,8.01            05/25/11

WHOLE FOODS MARKET INC                  TX       1.01,2.03,9.01       05/26/11

Willbros Group, Inc.\NEW\                        4.01,9.01            05/25/11

WILLIAMS COMPANIES INC                  DE       8.01,9.01            06/01/11

WILSHIRE BANCORP INC                             5.03,5.07,9.01       05/25/11

WORLDWIDE ENERGY & MANUFACTURING USA    CO       5.02,9.01            05/30/11

XCEL ENERGY INC                         MN       7.01                 06/01/11

XEROX CORP                              NY       5.07                 05/26/11

XOMA LTD /DE/                           DE       5.07                 05/26/11

Xsovt Brands, Inc.                      NV       1.01,2.03,3.02,9.01  05/25/11

Yayi International Inc                  DE       4.02                 06/01/11

ZION OIL & GAS INC                      DE       1.01,9.01            05/26/11

Zumiez Inc                              WA       7.01,9.01            06/01/11



Modified: 06/02/2011