SEC News Digest, June 6, 2011

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Commission announcements

SEC Temporarily Suspends Trading in the Securities of Artfest International, Inc.

On June 6, 2011, the Securities and Exchange Commission (Commission) announced the temporary suspension, pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act), of trading in the securities of Artfest International, Inc. (Artfest) of Dallas, Texas at 9:30 a.m. EDT on June 6, 2011, and terminating at 11:59 p.m. EDT on June 17, 2011.

The Commission temporarily suspended trading in the securities of Artfest because of questions regarding the accuracy and adequacy of assertions by Artfest, in its 2010 Form 10-K and amended Form 10-K filed with the Commission, concerning, among other things, an independent audit of Artfest’s financial statements for the fiscal year ended December 31, 2010, which was not performed, and financial statements for the 2010 period that are referenced in the filings as “audited,” when they were not.

The Commission cautions brokers, dealers, shareholders, and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by the company.

Further, brokers and dealers should be alert to the fact that, pursuant to Rule 15c2-11 under the Exchange Act, at the termination of the trading suspension, no quotation may be entered unless and until they have strictly complied with all of the provisions of the rule. If any broker or dealer has any questions as to whether or not he has complied with the rule, he should not enter any quotation but immediately contact the staff in the Division of Trading and Markets, Office of Interpretation and Guidance, at (202) 551-5777. If any broker or dealer is uncertain as to what is required by Rule 15c2-11, he should refrain from entering quotations relating to Arfest’s securities until such time as he has familiarized himself with the rule and is certain that all of its provisions have been met. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. (Rel. 34-64602)

SEC Charges Longtime Madoff Employee With Fraud

The Securities and Exchange Commission today charged Eric Lipkin, a longtime employee at Bernard L. Madoff Investment Securities LLC (BMIS), with helping Bernard L. Madoff and his firm deceive and defraud investors and regulators about the massive Ponzi scheme.

“Eric Lipkin helped create the detailed and entirely phony trading and business records that contributed to the success of Madoff’s fraud,” said George S. Canellos, Director of the SEC's New York Regional Office. “The SEC is committed to holding accountable those who helped to perpetrate and conceal Madoff’s scheme.”

The SEC’s complaint, filed in U.S. District Court for the Southern District of New York, alleges that for more than a decade, Lipkin helped Madoff defraud investors and mislead auditors and regulators about Madoff’s fraudulent, multi-billion dollar advisory operations. According to the complaint, Lipkin processed payroll records for “no-show” employees, falsified records of investors’ account holdings, and played a role in executing the entirely fictitious investment strategy that Madoff and BMIS claimed to be pursuing on behalf of its clients. In fact, Madoff used investors’ funds to enrich himself, his family, and his associates, and to pay off other investors. Lipkin also helped Madoff deceive regulators by preparing fake Depository Trust Clearing Corporation (DTCC) reports showing the sham investments for clients. Lipkin received annual bonuses from the firm, including for his work to mislead auditors and examiners, and he received $720,000 from Madoff to purchase a house, an amount he never paid back.

Without admitting or denying the allegations of the SEC’s complaint, Lipkin has consented to a proposed partial judgment, which, if entered by the court, will impose a permanent injunction against Lipkin and require him to disgorge ill-gotten gains and pay a fine in an amount to be determined by the court at a later time.

The SEC’s complaint against Lipkin alleges that he violated Section 17(a) of the Securities Act of 1933; violated and aided and abetted violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder; aided and abetted violations of Sections 204, 206(1) and 206(2) of the Investment Advisers Act of 1940 and Rule 204-2 thereunder, and Sections 15(c) and 17(a) of the Exchange Act and Rules 10b-3 and 17a-3 thereunder.

The SEC’s investigation was conducted by Kristine M. Zaleskas and Aaron P. Arnzen of the New York Regional Office. The Commission acknowledges the assistance of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation, with which the Commission has coordinated its investigation. The SEC’s investigation is continuing.

For more information about this enforcement action, contact: Andrew M. Calamari, Associate Director, SEC’s New York Regional Office, 212-336-0042 or Alexander M. Vasilescu, Regional Trial Counsel, SEC’s New York Regional Office, 212-336-0178. (Press Rel. 2011-119)

Enforcement proceedings

In the Matter of Giuseppe Tullio Abatemarco

On June 3, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities and Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions (Order) against Giuseppe Tullio Abatemarco. The Order finds that on May 24, 2011 a final judgment was entered by consent against Giuseppe Tullio Abatemarco, permanently enjoining him from future violations of Sections 10(b) and 14(e) of the Exchange Act and Rules 10b-5 and 14e-3 thereunder, in the civil action entitled Securities and Exchange Commission v. Giuseppe Tullio Abatemarco, No. 10-cv-9527 (WHP), in the United States District Court for the Southern District of New York. The Commission’s amended complaint alleged that in the days preceding the announcement that another company would commence a cash tender offer to acquire all the outstanding shares of the common stock of Martek, Abatemarco purchased 2,616 Martek call option contracts based on material non-public information he acquired from the common-law wife of an employee of the offeror in violation of Sections 10(b) and 14(e) of the Exchange Act and Exchange Act Rules 10b-5 and 14e-3. The Commission further alleged that upon selling the call option contracts shortly after the announcement, Abatemarco netted illegal trading profits of almost $1.2 million.

Based on the above, Abatemarco is barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and he is barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Abatemarco consented to the issuance of the Order without admitting or denying any of the findings except he admitted the entry of the final judgment. (Rel. 34-64600; File No. 3-14409)

In the Matter of Columbia Futures Fund

An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations By Default as to Five Respondents (Default Order) in Columbia Futures Fund, Admin. Proc. No. 3-14366. The Order Instituting Proceedings alleged that Respondents repeatedly failed to file required annual and quarterly reports while their securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registrations of each class of registered securities of Computer Power, Inc., Connectivity Technologies, Inc., Constellation 3d, Inc., Construction Technology Industries, Inc., and Continuum Group A, Inc., pursuant to Section 12(j) of the Securities Exchange Act of 1934.

The proceeding has ended as to Respondents Columbia Futures Fund and Concept Digital, Inc. See Columbia Futures Fund, Exchange Act Release Nos. 64526 (May 20, 2011), and 64556 (May 27, 2011), respectively. (Rel. 34-64601; File No. 3-14366)

In the Matter of Livingston & Haynes, P.C., Kevin F. Howley, CPA and William W. Wood, CPA

On June 6, 2011, the Commission issued an Order Instituting Public Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C and 21C of the Securities Exchange Act of 1934 (Exchange Act) and Rule 102(e) of the Commission’s Rules of Practice, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against Livingston & Haynes, P.C., Kevin F. Howley, CPA and William W. Wood, CPA (the Respondents).

The Order finds that the Respondents failed to comply with Public Company Accounting Oversight Board Auditing Standards in their 2005 and 2006 audits and reviews of LocatePlus Holdings Corporation (LocatePlus). The Respondents also ignored blatant red flags, including specific allegations by a former LocatePlus board member, that one of LocatePlus’ main sources of revenue, Omni Data Services LLC was a fictitious client. The Order further finds that the Respondents engaged in improper professional conduct within the meaning of Rule 102(e)(1)(ii) of the Commission’s Rules of Practice and Section 4C of the Exchange Act and violated Section 10A(a) and (b) of the Exchange Act.

Based on the above, the Order (1) requires the Respondents to cease and desist from committing or causing any violations and any future violations of Sections 10A(a) and (b) of the Exchange Act; (2) censures Livingston & Haynes pursuant to Rule 102(e)(1)(ii) of the Commission’s Rules of Practice; (3) requires Livingston & Haynes to pay a civil penalty of $130,000; (4) requires Livingston & Haynes to comply with certain undertakings; and (5) denies Wood and Howley the privilege of appearing or practicing before the Commission as accountants under Rules 102(e)(1)(ii) of the Commission’s Rules of Practice and Section 4C of the Exchange Act, with a right to apply for reinstatement after three years. The Respondents consented to the issuance of the Order without admitting or denying any of the findings. (Rel. 34-64607; AAE Rel. 3288; File No. 3-14410)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-NYSEArca-2011-32) filed by NYSE Arca amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to establish a Gross FOCUS Revenue Fee has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64595)

A proposed rule change (SR-NYSEArca-2011-36) filed by NYSE Arca amending its Fee Schedule to adopt a fee for Qualified Contingent Cross Trades 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. 34-64596)

A proposed rule change filed by the Chicago Stock Exchange (SR-CHX-2011-10) related to orders that are eligible for entry to the Exchange’s Matching System 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. 34-64597)

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change

The Commission has instituted proceedings to determine whether to approve or disapprove a proposed rule change (SR-C2-2011-008) to allow the listing and trading of a P.M.-settled S&P 500 index option product filed by C2 Options Exchange pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64599)

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-1     CLEAN DIESEL TECHNOLOGIES INC, 4567 TELEPHONE ROAD, SUITE 206, VENTURA, 
        CA, 93003, 805 639 9458 - 0 ($13,800,000.00) Equity, (File 333-174680 - 
        Jun. 3) (BR. 06C)
 
S-3     Cardiovascular Systems Inc, 651 CAMPUS DRIVE, ST. PAUL, MN, 55112, 
        651-259-1600 - 0 ($75,000,000.00) Equity, (File 333-174681 - Jun. 3) 
        (BR. 10C)
 
S-8     COOPER COMPANIES INC, 6140 STONERIDGE MALL RD, STE 590, PLEASANTON, CA, 
        94588, 9254603600 - 0 ($135,035,700.00) Equity, (File 333-174682 - 
        Jun. 3) (BR. 10A)
 
S-8     AMERIGROUP CORP, 4425 CORPORATION LANE, SUITE 100, VIRGINIA BEACH, VA, 
        23462, 7574906900 - 0 ($82,260,000.00) Equity, (File 333-174683 - 
        Jun. 3) (BR. 01A)
 
S-4     American Tower REIT, Inc., 116 HUNTINGTON AVENUE, BOSTON, MA, 02116, 
        617-375-7500 - 401,942,792 ($21,895,833,595.00) Equity, 
        (File 333-174684 - Jun. 3) (BR. )
 
S-8     FREDERICK COUNTY BANCORP INC, 9 NORTH MARKET STREET, FREDERICK, MD, 
        21701, 301-620-1400 - 0 ($3,500,000.00) Equity, (File 333-174685 - 
        Jun. 3) (BR. 07A)
 
S-4     Atkore International Holdings Inc., 16100 SOUTH LATHROP AVENUE, HARVEY, 
        IL, 60426, (708) 339-1610 - 0 ($410,000,000.00) Debt, 
        (File 333-174689 - Jun. 3) (BR. )
 
S-8     BANCTRUST FINANCIAL GROUP INC, 100 ST JOSEPH ST, P O BOX 3067, MOBILE, 
        AL, 36602, 2514317800 - 500,000 ($1,242,500.00) Equity, 
        (File 333-174691 - Jun. 3) (BR. 07A)
 
S-3     Axion Power International, Inc., 3601 CLOVER LANE, NEW CASTLE, PA, 
        16105, 905-264-1991 - 0 ($28,000,000.00) Equity, (File 333-174692 - 
        Jun. 3) (BR. 10A)
 
S-3     SOUTHWESTERN PUBLIC SERVICE CO, SPS TOWER, TYLER AT SIXTH ST, AMARILLO, 
        TX, 79101, 3035717511 - 0 ($200,000,000.00) Debt, (File 333-174693 - 
        Jun. 3) (BR. 02C)
 
S-8     USANA HEALTH SCIENCES INC, 3838 WEST PARKWAY BLVD., SALT LAKE CITY, UT, 
        84120-6336, 8019547100 - 0 ($149,350,000.00) Equity, (File 333-174695 - 
        Jun. 3) (BR. 01C)
 
S-8     SeaBright Holdings, Inc., 1501 4TH AVENUE, SUITE 2600, SEATTLE, WA, 
        98101, 2062698500 - 440,509 ($4,325,798.38) Equity, (File 333-174696 - 
        Jun. 3) (BR. 01A)
 
S-1     Regius Thoroughbreds, Inc., 2850 W HORIZON PARKWAY, STE 200, HENDERSON, 
        NV, 89052, 7029979812 - 62,000,000 ($3,100,000.00) Equity, 
        (File 333-174697 - Jun. 3) (BR. )
 
S-8     Bona Film Group Ltd, 11/F, GUAN HU GARDEN 3, 
        105 YAO JIA YUAN ROAD, CHAOYANG DISTRICT, BEIJING, F4, 100025, 
        86 10 5928 3663 - 0 ($49,230,350.00) Equity, (File 333-174698 - Jun. 3) 
        (BR. 05B)
 
S-3ASR  BRANDYWINE REALTY TRUST, 555 EAST LANCASTER AVE., SUITE 100, RADNOR, 
        PA, 19087, 6103255600 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-174700 - Jun. 3) (BR. 08A)
 
S-3ASR  BRANDYWINE REALTY TRUST, 555 EAST LANCASTER AVE., SUITE 100, RADNOR, 
        PA, 19087, 6103255600 - 0 ($86,400,011.00) Equity, (File 333-174701 - 
        Jun. 3) (BR. 08A)
 
S-8     NATUS MEDICAL INC, 1501 INDUSTRIAL ROAD, SAN CARLOS, CA, 94070, 
        6508020400 - 6,400,000 ($102,785,000.00) Equity, (File 333-174702 - 
        Jun. 3) (BR. 10B)
 
S-1     Prime Time Travel, Inc., 809 HEAVENLY LANE, CINCINNATI, OH, 45238, 
        513-252-1577 - 2,000,000 ($100,000.00) Equity, (File 333-174703 - 
        Jun. 3) (BR. )
 
S-8     SOUTHERN CO, 30 IVAN ALLEN JR. BLVD., N.W., ATLANTA, GA, 30308, 
        4045065000 - 29,260,078 ($1,157,236,085.00) Equity, (File 333-174704 - 
        Jun. 3) (BR. 02A)
 
S-1     Adelt Design, Inc., 3217 ORCHARD ST., SALT LAKE CITY, UT, 84106, 
        801-467-3530 - 8,000,000 ($8,000.00) Equity, (File 333-174705 - Jun. 3) 
        (BR. 02)
 
S-8     FriendFinder Networks Inc., 6800 BROKEN SOUND PARKWAY, BOCA RATON, FL, 
        33487, (561) 912-7000 - 1,737,872 ($9,123,828.00) Equity, 
        (File 333-174706 - Jun. 3) (BR. 03C)
 
S-8     SOUTHERN CO, 30 IVAN ALLEN JR. BLVD., N.W., ATLANTA, GA, 30308, 
        4045065000 - 46,918,971 ($1,855,410,708.00) Equity, (File 333-174707 - 
        Jun. 3) (BR. 02A)
 
S-8     AIR LEASE CORP, 2000 AVENUE OF THE STARS, SUITE 600-N, LOS ANGELES, CA, 
        90067, (310) 553-0555 - 0 ($203,478,341.00) Equity, (File 333-174708 - 
        Jun. 3) (BR. 06B)
 
S-3     SS&C Technologies Holdings Inc, 80 LAMBERTON RD, WINDSOR, CT, 06095, 
        860-298-4500 - 0 ($195,100,000.00) Equity, (File 333-174709 - Jun. 3) 
        (BR. 03C)
 
S-8     Cord Blood America, Inc., 1857 HELM DRIVE, LAS VEGAS, NV, 89119, 
        (702) 914-7250 - 1,000,000 ($300,000.00) Equity, (File 333-174710 - 
        Jun. 3) (BR. 09A)
 
S-8     PAETEC Holding Corp., (585) 340-2500 - 0 ($88,291,918.00) Equity, 
        (File 333-174711 - Jun. 3) (BR. 11A)
 
S-8     DRINKS AMERICAS HOLDINGS, LTD, 372 DANBURY ROAD, WILTON, CT, 06997, 
        2037627000 - 25,000,000 ($68,750.00) Equity, (File 333-174713 - Jun. 3) 
        (BR. 09A)
 
S-1     RSR Development Corp., 277 NORTH AVENUE, SUITE 200, NEW ROCHELLE, NY, 
        10801, 9147748811 - 10,000,000 ($10,007,000.00) Equity, 
        (File 333-174714 - Jun. 3) (BR. )
 
S-8     CISCO SYSTEMS INC, 170 WEST TASMAN DR, SAN JOSE, CA, 95134-1706, 
        4085264000 - 420,097 ($6,881,188.86) Equity, (File 333-174715 - Jun. 3) 
        (BR. 03C)
 
N-2     ARES CAPITAL CORP, 245 PARK AVENUE, 44TH FLOOR, NEW YORK, NY, 10167, 
        2127507300 - 0 ($2,000,000,000.00) Other, (File 333-174716 - Jun. 3) 
        (BR. 17)
 
S-8     IBERIABANK CORP, 200 WEST CONGRESS STREET, LAFAYETTE, LA, 70505, 
        3375214003 - 900,000 ($51,444,000.00) Equity, (File 333-174717 - 
        Jun. 3) (BR. 07A)
 
S-1     Silver Falcon Mining, Inc., 7322 MANATEE AVENUE, WEST, #299, BRADENTON, 
        FL, 34209, 941-761-7819 - 75,553,034 ($7,555,303.40) Equity, 
        (File 333-174718 - Jun. 3) (BR. 04B)
 
S-8     IBERIABANK CORP, 200 WEST CONGRESS STREET, LAFAYETTE, LA, 70505, 
        3375214003 - 41,979 ($3,037,180.65) Equity, (File 333-174719 - Jun. 3) 
        (BR. 07A)
 
S-8     ORRSTOWN FINANCIAL SERVICES INC, 77 E KING STREET, P O BOX 250, 
        SHIPPENSBURG, PA, 17257, 7175326114 - 0 ($9,964,292.80) Equity, 
        (File 333-174720 - Jun. 3) (BR. 07C)
 
S-8     VALERO ENERGY CORP/TX, P.O. BOX 696000, SAN ANTONIO, TX, 78269-6000, 
        2103452000 - 0 ($546,624,000.00) Equity, (File 333-174721 - Jun. 3) 
        (BR. 04A)
 
N-2     Oxford Lane Capital Corp., 8 SOUND SHORE DRIVE, SUITE 255, GREENWICH, 
        CT, 06830, (203) 983-5275 - 0 ($13,335,000.00) Equity, 
        (File 333-174722 - Jun. 3) (BR. 22)
 
S-4     WESTMORELAND COAL Co, 2 N CASCADE AVE, 2ND FLOOR, COLORADO SPRINGS, CO, 
        80903-1614, 7194422600 - 0 ($150,000,000.00) Non-Convertible Debt, 
        (File 333-174723 - Jun. 3) (BR. 04C)

Recent 8K Filings

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

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

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

2.04

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

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

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

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

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

5.01

Changes in Control of Registrant

5.02

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

5.03

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

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

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

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

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

                                        STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

5to1 Holding Corp.                      DE       2.01,3.03,5.02,5.03, 05/27/11
                                                 9.01
          
ACCELRYS, INC.                          DE       5.02                 05/31/11
 
ACCO BRANDS CORP                        DE       5.04,9.01            05/27/11
 
ACELRX PHARMACEUTICALS INC              DE       1.01,9.01            05/27/11
 
ADA-ES INC                              CO       1.01                 05/27/11
 
ADEPT TECHNOLOGY INC                    DE       8.01                 05/31/11
 
ADVANCE AUTO PARTS INC                  DE       1.01,1.02,2.03,9.01  05/27/11
 
ADVENTRX PHARMACEUTICALS INC            DE       9.01                 04/08/11    AMEND
 
AFFILIATED MANAGERS GROUP INC           DE       5.07                 05/31/11
 
AIR T INC                               DE       2.02                 06/03/11
 
AIRGAS INC                              DE       1.01,2.03,8.01,9.01  05/31/11
 
Allezoe Medical Holdings Inc            DE       1.01,5.02,9.01       05/11/11
 
ALLIED AMERICAN STEEL CORP.             NV       1.01,5.01,5.06,5.07, 05/27/11
                                                 9.01
          
Ally Financial Inc.                     DE       5.02,9.01            06/03/11
 
Alpha Natural Resources, Inc.           DE       2.03,5.07,9.01       06/01/11    AMEND
 
AlphaMetrix Managed Futures III LLC (   DE       3.02                 06/01/11
 
ALTAIR NANOTECHNOLOGIES INC                      1.01,7.01,9.01       06/03/11
 
ALTERA CORP                             DE       7.01,9.01            06/02/11
 
ALTERRA CAPITAL HOLDINGS Ltd                     5.02,9.01            06/01/11
 
Altra Holdings, Inc.                    DE       2.01,7.01,9.01       05/29/11
 
Amarantus BioSciences, Inc.             DE       1.01,9.01            05/30/11
 
Amarantus BioSciences, Inc.             DE       1.01,2.01,3.02,5.01, 05/25/11    AMEND
                                                 5.02,5.03,9.01

American Energy Fields, Inc.            DE       1.01,9.01            05/27/11
 
AMERICAN SCIENTIFIC RESOURCES INC       NV       1.01,2.03,3.02,9.01  05/26/11
 
AMERICAN TOWER CORP /MA/                DE       8.01                 06/02/11
 
AMERICAN TOWER CORP /MA/                DE       8.01,9.01            06/03/11
 
AMERICAN WOODMARK CORP                  VA       2.02,8.01,9.01       06/03/11
 
ANADYS PHARMACEUTICALS INC                       5.07                 05/27/11
 
ANGEL ACQUISITION CORP.                 NV       5.02,9.01            05/27/11
 
Anthera Pharmaceuticals Inc             DE       1.01,9.01            06/03/11
 
Apollo Global Management LLC            DE       5.02,9.01            06/03/11
 
Apollo Medical Holdings, Inc.           DE       5.02                 06/01/11
 
Applied Nanotech Holdings, Inc          TX       8.01                 06/02/11
 
APTARGROUP INC                          DE       5.02                 06/01/11
 
ARIAD PHARMACEUTICALS INC               DE       8.01,9.01            06/03/11
 
ASURE SOFTWARE INC                      DE       5.02                 05/27/11
 
Atlas Therapeutics Corp                 NV       3.02                 05/31/11
 
ATWOOD OCEANICS INC                     TX       7.01,9.01            06/01/11
 
ATWOOD OCEANICS INC                     TX       7.01,9.01            06/01/11
 
Avatar Ventures Corp.                   NV       3.02                 04/14/11    AMEND
 
Bacterin International Holdings, Inc.   DE       4.01,9.01            06/03/11
 
BankFinancial CORP                               2.01,9.01            03/18/11    AMEND
 
BEACON POWER CORP                       DE       1.01                 06/02/11
 
BIODELIVERY SCIENCES INTERNATIONAL IN   DE       8.01,9.01            06/02/11
 
BIOPACK ENVIRONMENTAL SOLUTIONS INC.    NV       8.01                 06/01/11
 
BIOSPECIFICS TECHNOLOGIES CORP          DE       8.01,9.01            06/02/11
 
BIOTIME INC                             CA       8.01,9.01            06/02/11
 
BIRNER DENTAL MANAGEMENT SERVICES INC   CO       5.07                 06/02/11
 
BKF CAPITAL GROUP INC                   DE       8.01,9.01            06/01/11
 
Black Elk Energy Offshore Operations,   TX       1.01,2.01,5.03,7.01, 05/31/11
                                                 9.01
          
BLUE DOLPHIN ENERGY CO                  DE       3.01,9.01            06/03/11
 
Blue Earth, Inc.                        NV       1.01,9.01            05/31/11
 
BLYTH INC                               DE       2.02                 06/03/11
 
BOLD ENERGY INC.                        NV       3.02                 05/12/11
 
BORDERS GROUP INC                       MI       5.02                 06/02/11
 
BRANDYWINE REALTY TRUST                 MD       8.01,9.01            06/03/11
 
BREEZE-EASTERN CORP                     DE       2.02,9.01            06/03/11
 
BROADVISION INC                         DE       5.07                 06/02/11
 
BROCADE COMMUNICATIONS SYSTEMS INC      DE       5.02                 05/31/11
 
CADIZ INC                               DE       5.07                 06/02/11
 
CAGLES INC                              GA       2.02,9.01            06/03/11
 
CALIPER LIFE SCIENCES INC               DE       5.07                 06/02/11
 
CALL NOW INC                            FL       5.07                 06/01/11
 
CAMDEN PROPERTY TRUST                   TX       1.01,9.01            05/31/11
 
CAMERON INTERNATIONAL CORP              DE       8.01                 06/03/11
 
CASEYS GENERAL STORES INC               IA       7.01,9.01            06/03/11
 
CATALYST HEALTH SOLUTIONS, INC.         DE       5.02,5.07,7.01,9.01  06/01/11
 
CB RICHARD ELLIS GROUP INC              DE       5.02                 05/27/11
 
CEDAR FAIR L P                          DE       5.07,9.01            06/02/11
 
CHINA HGS REAL ESTATE INC.              F4       1.01,8.01,9.01       05/28/11
 
China Integrated Energy, Inc.           DE       5.02,9.01            05/31/11
 
China XD Plastics Co Ltd                NV       1.01,8.01,9.01       06/01/11
 
Chineseinvestors.com, Inc.              IN       4.02                 06/03/11
 
Chrysler Group LLC                      DE       5.02                 06/01/11
 
CIT GROUP INC                           DE       8.01,9.01            06/02/11
 
CITIGROUP INC                           DE       9.01                 06/03/11
 
CITIZENS FIRST CORP                     KY       1.01,7.01,9.01       06/01/11    AMEND
 
CLEAN HARBORS INC                       MA       1.01,9.01            05/31/11
 
CNL LIFESTYLE PROPERTIES INC            MD       5.02                 06/01/11
 
CODEXIS INC                                      8.01                 06/01/11
 
COINSTAR INC                            DE       5.02,5.07,9.01       06/01/11
 
COLUMBIA BANKING SYSTEM INC             WA       2.01,7.01,9.01       05/27/11
 
COLUMBUS MCKINNON CORP                  NY       8.01,9.01            06/03/11
 
COMMERCIAL METALS CO                    DE       7.01,9.01            06/03/11
 
Constellation Energy Partners LLC       DE       1.01,2.03,8.01,9.01  06/03/11
 
CONVERGYS CORP                          OH       1.01,8.01,9.01       06/02/11
 
Convio, Inc.                            DE       5.02                 05/31/11
 
CORNERSTONE REALTY FUND LLC             CA       5.07                 05/29/11
 
CORRECTIONS CORP OF AMERICA             MD       1.01,5.02,9.01       06/01/11
 
CROSS BORDER RESOURCES, INC.            NV       1.01,9.01            03/31/11
 
CURIS INC                               DE       5.07                 06/01/11
 
DDI CORP                                CA       5.02                 05/31/11
 
DELCATH SYSTEMS INC                     DE       7.01,9.01            06/03/11
 
DELMARVA POWER & LIGHT CO /DE/          DE       2.03,9.01            06/01/11
 
DELTA APPAREL, INC                      GA       1.01,2.03,3.03,9.01  05/27/11
 
DIGITAL ALLY INC                                 2.03,9.01            05/31/11
 
DIVERSEY, INC.                          DE       1.01,5.07,8.01,9.01  05/31/11
 
DJO Finance LLC                         DE       5.02,7.01,9.01       05/31/11
 
DRI CORP                                NC       1.01,2.03,9.01       05/30/11
 
DRUGSTORE COM INC                       DE       2.01,3.01,3.03,5.01, 06/02/11
                                                 5.02,5.03,5.07,7.01,
                                                 9.01
  
Dutch Gold Resources Inc                CO       4.01                 03/18/11    AMEND
 
DYNAMICS RESEARCH CORP                  MA       7.01,9.01            06/03/11
 
DYNAMICS RESEARCH CORP                  MA       5.07                 06/01/11
 
DYNAVAX TECHNOLOGIES CORP               DE       5.07                 06/01/11
 
Eastern Insurance Holdings, Inc.        PA       8.01,9.01            06/03/11
 
EDELMAN FINANCIAL GROUP INC.            TX       8.01,9.01            05/26/11    AMEND
 
EDISON INTERNATIONAL                    CA       7.01,9.01            06/02/11
 
EGAIN COMMUNICATIONS CORP               DE       1.01,2.03            05/31/11
 
EL PASO CORP/DE                         DE       1.01,2.03,9.01       05/27/11
 
EL PASO NATURAL GAS CO                  DE       1.01,2.03,9.01       05/27/11
 
El Paso Pipeline Partners, L.P.         DE       1.01,2.03,9.01       05/27/11
 
ELECTRO RENT CORP                       CA       8.01,9.01            06/02/11
 
EMMIS COMMUNICATIONS CORP               IN       5.03,9.01            06/03/11
 
EMTEC INC/NJ                            UT       5.02,9.01            05/09/11
 
ENDO PHARMACEUTICALS HOLDINGS INC       DE       7.01,9.01            06/03/11
 
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC   FL       1.01                 11/08/10    AMEND
 
ENZO BIOCHEM INC                        NY       5.02                 05/27/11
 
EQUITY LIFESTYLE PROPERTIES INC         MD       1.01,9.01            06/01/11
 
EXPONENT INC                            DE       5.07                 06/02/11
 
FBR & Co.                               VA       5.07                 06/03/11
 
Federal Home Loan Bank of Boston        X1       2.03                 05/31/11
 
Federal Home Loan Bank of Chicago       X1       5.02                 06/01/11
 
Federal Home Loan Bank of Dallas                 2.03,9.01            05/31/11
 
Federal Home Loan Bank of San Francis   X1       3.03                 05/27/11
 
FERRO CORP                              OH       1.01,2.03,9.01       05/31/11
 
FIRST ASIA HOLDINGS Ltd                 A6       3.02                 06/03/11
 
FIRST BUSEY CORP /NV/                   NV       1.01,9.01            05/31/11
 
FIRST CORP /CN/                         CO       8.01,9.01            06/02/11
 
FIRST FINANCIAL BANCORP /OH/            OH       1.01,7.01,8.01,9.01  06/02/11
 
FPIC INSURANCE GROUP INC                FL       5.07                 06/03/11
 
Freescale Semiconductor Holdings I, L   D0       1.01,1.02,2.03,5.02, 06/01/11
                                                 5.03,9.01
     
FUTURES PORTFOLIO FUND L.P.             MD       3.02                 06/01/11
 
GARDNER DENVER INC                      DE       5.02                 06/03/11
 
GASTAR EXPLORATION LTD                           5.07                 06/02/11
 
General Finance CORP                    DE       1.02,2.03,8.01,9.01  05/30/11
 
General Motors Financial Company, Inc   TX       1.01,2.03,8.01,9.01  06/01/11
 
GENERAL STEEL HOLDINGS INC              NV       8.01,9.01            06/01/11
 
GENEREX BIOTECHNOLOGY CORP              DE       1.01,9.01            05/30/11
 
GENSPERA INC                            DE       7.01,9.01            06/01/11
 
GENTA INC DE/                           DE       8.01,9.01            06/03/11
 
GLOBALSCAPE INC                         DE       7.01,9.01            06/02/11
 
GLOBALSCAPE INC                         DE       5.07                 06/02/11
 
GLOBE SPECIALTY METALS INC                       1.01                 05/27/11
 
GOLDFIELD CORP                          DE       5.07                 06/02/11
 
GOLDMAN SACHS GROUP INC                 DE       9.01                 06/03/11
 
GRAN TIERRA ENERGY, INC.                NV       9.01                 03/18/11    AMEND
 
GREAT PLAINS ENERGY INC                 MO       8.01                 06/02/11
 
Grubb & Ellis Healthcare REIT II, Inc   MD       1.01,8.01,9.01       05/31/11
 
Grubb & Ellis Healthcare REIT II, Inc   MD       1.01,2.03,9.01       05/27/11
 
GULF ISLAND FABRICATION INC             LA       1.01,9.01            05/31/11
 
H & H Imports, Inc.                     FL       1.01,9.01            05/27/11
 
HANSEN MEDICAL INC                               5.02,9.01            05/31/11
 
HERCULES TECHNOLOGY GROWTH CAPITAL IN   MD       5.07                 06/01/11
 
HINES REAL ESTATE INVESTMENT TRUST IN            2.01,8.01,9.01       06/01/11
 
HURCO COMPANIES INC                     IN       2.02,9.01            06/03/11
 
Image Metrics, Inc.                     NV       8.01                 05/13/11
 
IMAX CORP                               A6       1.01,2.03,9.01       06/02/11
 
Industrial Income Trust Inc.            MD       1.01,8.01            05/31/11
 
INFRASTRUCTURE MATERIALS CORP.          DE       3.02,9.01            06/02/11
 
IntelGenx Technologies Corp.            DE       1.01,3.02,9.01       06/03/11
 
INTERNATIONAL AUTOMATED SYSTEMS INC     UT       4.01,9.01            05/27/11
 
INTERNATIONAL AUTOMATED SYSTEMS INC     UT       4.01,9.01            05/27/11
 
INTERNATIONAL LEASE FINANCE CORP        CA       8.01,9.01            06/03/11
 
INVESTORS REAL ESTATE TRUST             ND       8.01,9.01            06/03/11
 
INX Inc                                 DE       2.02,7.01,9.01       06/03/11
 
ISABELLA BANK CORP                      MI       8.01,9.01            06/02/11
 
ISTAR FINANCIAL INC                     MD       5.07                 06/01/11
 
KEWAUNEE SCIENTIFIC CORP /DE/           DE       5.02,5.03,9.01       05/31/11
 
KINDER MORGAN ENERGY PARTNERS L P       DE       7.01                 06/03/11
 
KINDER MORGAN MANAGEMENT LLC            DE       7.01                 06/03/11
 
KINDER MORGAN, INC.                     DE       7.01                 06/03/11
 
KINDRED HEALTHCARE, INC                 DE       1.01,1.02,2.01,2.03, 06/01/11
                                                 3.03,5.02,7.01,8.01,
                                                 9.01
  
KIRBY CORP                              NV       1.01,9.01            05/31/11
 
L-1 IDENTITY SOLUTIONS, INC.            DE       8.01                 06/02/11
 
LendingClub Corp                        DE       1.01,5.02            06/01/11
 
LIBERTY MEDIA CORP                               8.01,9.01            06/03/11
 
LIBERTY MEDIA CORP                               8.01,9.01            06/03/11
 
LIFE PARTNERS HOLDINGS INC              TX       8.01,9.01            06/03/11
 
LIGAND PHARMACEUTICALS INC              DE       1.01,2.04            06/01/11
 
LIGAND PHARMACEUTICALS INC              DE       5.07                 06/01/11
 
LODGENET INTERACTIVE CORP               DE       5.02,5.07            06/02/11
 
LPATH, INC                              NV       1.01,9.01            05/31/11
 
LTC PROPERTIES INC                      MD       5.07                 06/01/11
 
Macquarie Infrastructure CO LLC         DE       5.07                 06/02/11
 
MAGNEGAS CORP                           DE       1.01,3.02,9.01       06/01/11
 
MARINEMAX INC                           DE       1.01,2.03,8.01,9.01  06/01/11
 
MARKWEST ENERGY PARTNERS L P                     5.07                 06/01/11
 
MASIMO CORP                             DE       5.07                 06/01/11
 
MATTEL INC /DE/                         DE       8.01                 05/27/11
 
Medidata Solutions, Inc.                DE       5.02,5.07            05/31/11
 
MERCER INTERNATIONAL INC.               WA       5.07                 06/01/11
 
MET PRO CORP                            PA       2.02,9.01            06/03/11
 
MFA FINANCIAL, INC.                     MD       4.01,9.01            05/27/11
 
Mistras Group, Inc.                     DE       1.01                 05/31/11
 
Molycorp, Inc.                          DE       5.07                 06/01/11
 
Morningstar, Inc.                       IL       7.01                 06/03/11
 
MUELLER INDUSTRIES INC                  DE       8.01,9.01            06/02/11
 
MYRIAD GENETICS INC                     DE       2.01,9.01            05/31/11
 
NANOSPHERE INC                          DE       5.07                 06/01/11
 
NATUS MEDICAL INC                       DE       5.07                 06/02/11
 
NEOMEDIA TECHNOLOGIES INC               DE       1.01,3.02,9.01       05/31/11
 
NETLIST INC                             DE       5.07                 06/01/11
 
NEW FRONTIER MEDIA INC                  CO       2.02,9.01            06/03/11
 
NEWFIELD EXPLORATION CO /DE/            DE       1.01,2.03            06/03/11
 
NGP Capital Resources Co                MD       7.01,9.01            06/03/11
 
NORTH BAY RESOURCES INC                 DE       3.02,9.01            06/01/11
 
NORTHWESTERN CORP                       DE       7.01,9.01            06/03/11
 
NORWOOD FINANCIAL CORP                  PA       8.01,9.01            06/03/11
 
OCZ TECHNOLOGY GROUP INC                DE       9.01                 03/22/11    AMEND
 
OFFICE DEPOT INC                        DE       7.01                 06/03/11
 
OFFICEMAX INC                           DE       5.02,9.01            05/27/11
 
OMEGA HEALTHCARE INVESTORS INC          MD       5.03,5.07            06/03/11
 
OMNICARE INC                            DE       5.02,9.01            06/01/11
 
OPTIMER PHARMACEUTICALS INC                      1.01                 06/01/11
 
ORB Automotive                          E9       1.01,2.01,3.02,9.01  05/18/11    AMEND
 
Orexigen Therapeutics, Inc.             DE       5.07,8.01            06/02/11
 
PAA NATURAL GAS STORAGE LP              DE       2.02,9.01            06/03/11
 
PACIFIC GAS & ELECTRIC Co               CA       1.01,1.02,2.03       05/31/11
 
Pacira Pharmaceuticals, Inc.            DE       5.02,7.01,9.01       06/02/11
 
PAETEC Holding Corp.                             5.02,9.01            06/02/11
 
PARAMETRIC TECHNOLOGY CORP              MA       2.01,9.01            05/31/11
 
Pay Mobile, Inc                         NV       1.01,2.01,3.02,4.01, 05/18/11    AMEND
                                                 5.01,5.02,5.03,9.01
       
Pebblebrook Hotel Trust                 MD       8.01,9.01            06/03/11
 
Pebblebrook Hotel Trust                 MD       9.01                 05/26/11    AMEND
 
Pegasus Tel, Inc                        DE       5.02,9.01            06/03/11
 
PENNSYLVANIA REAL ESTATE INVESTMENT T   PA       5.07                 06/02/11
 
PERVASIP CORP                           NY       1.01,3.02,8.01,9.01  05/31/11
 
PG&E CORP                               CA       1.01,1.02,2.03       05/31/11
 
PHOTOMEDEX INC                          DE       1.01                 06/03/11
 
PHOTONIC PRODUCTS GROUP INC             NJ       5.07                 06/02/11
 
PIEDMONT NATURAL GAS CO INC             NC       5.02                 06/03/11
 
PIEDMONT NATURAL GAS CO INC             NC       5.07                 03/04/11    AMEND
 
PILGRIMS PRIDE CORP                     DE       5.02                 06/01/11
 
PINNACLE AIRLINES CORP                  DE       9.01                 07/01/10    AMEND
 
POSITIVEID Corp                         DE       3.01,7.01,9.01       05/27/11
 
PRESSTEK INC /DE/                       DE       5.02,5.07,9.01       05/31/11
 
QC Holdings, Inc.                       KS       5.07,8.01            06/01/11
 
RASER TECHNOLOGIES INC                  UT       2.01,8.01,9.01       05/30/11
 
RED TRAIL ENERGY, LLC                            1.01,9.01            06/01/11
 
REHABCARE GROUP INC                     DE       1.02,3.01,3.03,5.01, 06/01/11
                                                 5.03,9.01
     
RELIV INTERNATIONAL INC                 DE       5.07                 05/26/11
 
ReoStar Energy CORP                              8.01                 06/01/11
 
REPROS THERAPEUTICS INC.                DE       5.07                 06/01/11
 
Resolute Energy Corp                    DE       5.07                 06/02/11
 
RETAIL OPPORTUNITY INVESTMENTS CORP     DE       3.03,9.01            06/02/11
 
REVLON INC /DE/                         DE       5.07                 06/02/11
 
Riverview Financial Corp                PA       8.01,9.01            06/01/11
 
RoomStore, Inc.                         VA       5.02                 05/31/11
 
ROPER INDUSTRIES INC                    DE       5.07                 06/01/11
 
RYDER SYSTEM INC                        FL       5.02                 05/27/11
 
SAGE FUND LP                            MD       3.02                 06/01/11
 
Sagebrush Gold Ltd.                     NV       4.01,9.01            05/31/11
 
SANGAMO BIOSCIENCES INC                 DE       5.07                 06/01/11
 
SCG Financial Acquisition Corp.         DE       8.01                 06/02/11
 
SCHIFF NUTRITION INTERNATIONAL, INC.    DE       1.01,2.01,2.03,8.01, 05/31/11
                                                 9.01
          
SCICLONE PHARMACEUTICALS INC            DE       5.02                 05/27/11
 
SCIENTIFIC LEARNING CORP                DE       5.07                 06/01/11
 
SEALED AIR CORP/DE                      DE       1.01,3.02,9.01       05/31/11
 
SECTOR 10 INC                           DE       5.01,5.02,5.07,8.01  05/12/11
 
SEN YU INTERNATIONAL HOLDINGS, INC.     DE       1.01,3.02,9.01       06/03/11
 
SERVICE CORPORATION INTERNATIONAL       TX       7.01,9.01            06/03/11
 
SERVICE CORPORATION INTERNATIONAL       TX       1.01,9.01            05/27/11
 
SILGAN HOLDINGS INC                     DE       5.07                 05/27/11
 
SINCLAIR BROADCAST GROUP INC            MD       5.07                 06/02/11
 
SINOCOKING COAL & COKE CHEMICAL INDUS   FL       5.02,9.01            05/31/11
 
SJW CORP                                CA       5.02                 05/31/11    AMEND
 
SkyPeople Fruit Juice, Inc              FL       8.01,9.01            06/02/11
 
SLM Student Loan Trust 2003-1           DE       8.01,9.01            06/03/11
 
SLM Student Loan Trust 2003-4           DE       8.01,9.01            06/03/11
 
SLM Student Loan Trust 2003-7           DE       8.01,9.01            06/03/11
 
SM Energy Co                            DE       1.01,2.03,7.01,9.01  06/03/11
 
Somaxon Pharmaceuticals, Inc.           DE       5.07                 06/01/11
 
SOUTHERN CALIFORNIA EDISON CO           CA       7.01,9.01            06/02/11
 
SOUTHERN MICHIGAN BANCORP INC           MI       7.01,9.01            06/03/11
 
Spansion Inc.                           DE       5.02,5.07            05/27/11
 
SRS LABS INC                            DE       5.02,9.01            06/03/11
 
STAGE STORES INC                        NV       8.01,9.01            06/02/11
 
STANDARD PACIFIC CORP /DE/              DE       5.02,9.01            05/31/11
 
State Auto Financial CORP               OH       8.01,9.01            06/01/11
 
STEEL DYNAMICS INC                      IN       8.01,9.01            05/31/11
 
STEVEN MADDEN, LTD.                     DE       5.07                 05/27/11
 
STIFEL FINANCIAL CORP                   DE       5.07                 06/01/11
 
Stream Global Services, Inc.            DE       5.07                 06/01/11
 
STUDIO II BRANDS INC                    FL       5.02                 05/16/11
 
STUDIO II BRANDS INC                    FL       1.02,9.01            05/31/11
 
SUN RIVER ENERGY, INC                   CO       2.01,9.01            02/07/11    AMEND
 
SUNVALLEY SOLAR, INC.                   NV       1.01,9.01            06/01/11
 
Susser Holdings CORP                    DE       8.01,9.01            06/02/11
 
SVB FINANCIAL GROUP                              5.02,9.01            06/01/11
 
SYNTHESIS ENERGY SYSTEMS INC            DE       7.01,9.01            06/03/11
 
TACTICAL AIR DEFENSE SERVICES, INC.              1.01,7.01,9.01       06/03/11
 
TANGER FACTORY OUTLET CENTERS INC       NC       8.01                 06/01/11
 
TAUBMAN CENTERS INC                     MI       5.07                 06/03/11
 
TECHNEST HOLDINGS INC                   NV       3.02,9.01            06/02/11
 
TELVUE CORP                             DE       5.07                 06/02/11
 
Tennessee Commerce Bancorp, Inc.        TN       3.01,9.01            06/02/11
 
TENNESSEE GAS PIPELINE CO               DE       1.01,2.03,9.01       05/27/11
 
TESLA MOTORS INC                        DE       5.07                 06/01/11
 
TETRA TECHNOLOGIES INC                  DE       1.01,2.01,9.01       05/31/11
 
TETRIDYN SOLUTIONS INC                  NV       1.01,2.03,3.02,9.01  05/29/11
 
THOMAS GROUP INC                        DE       5.03,9.01            06/01/11
 
TIENS BIOTECH GROUP USA INC                      5.07                 05/27/11
 
TOOTSIE ROLL INDUSTRIES INC             VA       5.07                 05/02/11    AMEND
 
TOREADOR RESOURCES CORP                 DE       5.07,8.01            05/31/11
 
Total Nutraceutical Solutions, Inc.     NV       1.01,1.02,2.01,3.02, 05/27/11
                                                 9.01
          
Travelport LTD                          D0       5.02,9.01            05/27/11
 
TRI VALLEY CORP                         DE       1.01,9.01            05/31/11
 
TRI-CONTINENTAL CORP                    MD       7.01,9.01            06/03/11
 
Trius Therapeutics Inc                  DE       5.07                 06/02/11
 
tw telecom inc.                         DE       5.07                 06/01/11
 
U S PHYSICAL THERAPY INC /NV            NV       7.01                 06/02/11
 
U-Store-It Trust                        MD       2.02,7.01,9.01       06/03/11
 
U.S. Auto Parts Network, Inc.           DE       5.07                 06/02/11
 
UNITED SURGICAL PARTNERS INTERNATIONA   DE       5.02,9.01            06/01/11
 
UNIVERSAL GOLD MINING CORP.             NV       1.01,2.01,9.01       05/27/11
 
UNIVERSAL HEALTH REALTY INCOME TRUST    MD       5.07,8.01,9.01       06/02/11
 
Urban Barns Foods Inc.                  NV       1.01,3.02,9.01       06/02/11
 
US AIRWAYS GROUP INC                    DE       2.02,9.01            06/03/11
 
US BANCORP \DE\                         DE       8.01,9.01            06/03/11
 
UTAH MEDICAL PRODUCTS INC               UT       9.01                 03/17/11    AMEND
 
VALASSIS COMMUNICATIONS INC             DE       7.01,9.01            06/03/11
 
VALLEY FINANCIAL CORP /VA/              VA       8.01                 06/02/11
 
VERINT SYSTEMS INC                      DE       7.01,9.01            06/03/11
 
Vicor Technologies, Inc.                DE       7.01,9.01            06/02/11
 
WATSCO INC                              FL       5.07                 05/27/11
 
WELLS CORE OFFICE INCOME REIT INC                2.01,9.01            05/27/11
 
Xenith Bankshares, Inc.                 VA       1.01,8.01,9.01       06/01/11
 
Yankee Holding Corp.                    DE       5.02                 06/01/11
 
ZIOPHARM ONCOLOGY INC                   DE       5.02,9.01            06/01/11
 
ZIPREALTY INC                                    5.07                 06/02/11

http://www.sec.gov/news/digest/2011/dig060611.htm

SEC News Digest