SEC News Digest, June 8, 2011

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Rules and related matters

Beneficial Ownership Reporting Requirements and Security-Based Swaps

The Securities and Exchange Commission readopted, without change, the relevant portions of existing rules that govern beneficial ownership determinations under Sections 13 and 16 of the Securities Exchange Act of 1934. The Commission has taken this action to preserve the application of the existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) under the Exchange Act, which was added by Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Readoption of the relevant portions of Exchange Act Rules 13d-3 and 16a-1 confirms that following the July 16, 2011 statutory effective date of Section 13(o), persons who purchase or sell security-based swaps will remain within the scope of these rules to the same extent as they are now. (Rel. 34-64628)

Enforcement proceedings

Commission Revokes Registration of Securities of DTC Data Technology Corp. for Failure to Make Required Periodic Filings

On June 8, 2011, the Commission revoked the registration of each class of registered securities of DTC Data Technology Corp. (DTC Data Technology) for failure to make required periodic filings with the Commission.

Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, DTC Data Technology consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to DTC Data Technology Corp. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of DTC Data Technology’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against DTC Data Technology in In the Matter of Dechtar Direct Inc., et al., Administrative Proceeding File No. 3-14391.

Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:

No member of a national securities exchange, broker, or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security the registration of which has been and is suspended or revoked . . . .

For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Dechtar Direct Inc., et al., Administrative Proceeding File No. 3-14391, Exchange Act Release No. 64504, May 16, 2011. (Rel. 34-64619; File No. 3-14391)

In the Matter of Data Fortress Systems Group, Ltd

On June 8, 2011, an Administrative Law Judge issued an Order Making Findings and Revoking Registrations by Default (Default Order) in Data Fortress Systems Group, Ltd., Admin. Proc. No. 3-14380. The Default Order finds that Respondents failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Exchange Act Rules 13a-1 and 13a-13 or 13a-16 because each failed to make periodic filings with the Commission for a number of years. Based on these findings, the Default Order, pursuant to Section 12(j) of the Exchange Act, revokes the registration of each class of registered securities of Data Fortress Systems Group Ltd., Digital Youth Network Corp., Fantom Technologies Inc., and KIK Technology International, Inc. (Rel. 34-64620; File No. 3-14380

In the Matter of Edwin Reese Davis, Jr. CPA

On June 8, 2011, the Commission issued an Order of Forthwith Suspension Pursuant to Rule 102(e) of the Commission’s Rules of Practice (Order) against Edwin Reese Davis, Jr., CPA. The Order finds that Edwin Reese Davis, Jr. (Davis) was a certified public accountant (CPA) in Utah from Oct. 29, 1977, until his license expired on Sept. 30, 2008. The Order further finds that on Nov. 4, 2010, Utah’s Division of Occupational & Professional Licensing revoked Davis’s CPA license. Despite having his license suspended and formally revoked, Davis continued to hold himself out to clients as a CPA and to prepare audit opinions that were filed with the Commission.

Based on the above, the Order forthwith suspends Davis from appearing or practicing before the Commission pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice. (Rel. 34-64621; AAE Rel. 3290; File No. 3-14416)

In the Matter of Michael Migliozzi II and Brian William Flatow

On June 8, 2011, the Commission issued an Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings, and Imposing a Cease-and-Desist Order (Order) against Michael Migliozzi II and Brian William Flatow.

The Order finds that, in November 2009, Migliozzi and Flatow created the BuyaBeerCompany.com website in order to solicit investors via crowdsourcing to invest $300 million to purchase the Pabst Brewing Company (Pabst). The Order further finds that solicitation was to be conducted in two stages. The first stage sought pledges and required that pledgors only supply an e-mail address, first name, last name, and pledge amount. If $300 million in pledges were received, the second stage would consist of collecting the pledges and undertaking to purchase Pabst. The Order finds that the website further explained that each investor would receive a “crowdsourced certificate of ownership,” as well as beer of a value equal to the amount invested. In February 2010, the Respondents publicly disclosed that they had raised over $200 million in pledges from over five million pledgors. The Order finds that the BuyaBeerCompany.com website continued to solicit pledges until the website was taken down in April 2010. No monies were collected.

The Order finds that Migliozzi and Flatow failed to register the offering with the Commission and that there was no applicable exemption from registration. Accordingly, the Order finds that Migliozzi and Flatow violated Section 5(c) of the Securities Act of 1933. As a result of the foregoing, the Order orders Migliozzi and Flatow to cease and desist from committing or causing any violations and from committing or causing any future violations of Section 5(c) of the Securities Act. Migliozzi and Flatow consented to the issuance of the Order without admitting or denying any of the findings in the Order, except jurisdiction, which they admitted. (Rel. 33-9216; File No. 3-14415)

In the Matter of MMR Investment Bankers, LLC (d/b/a MMR, Inc.)

On June 8, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Respondent MMR Investment Bankers, LLC , d/b/a MMR, Inc. (Order). MMR consented to the issuance of the Order without admitting or denying any of the findings in the Order.

The Order finds that MMR and others made material misrepresentations and omissions in connection with the sale of debentures being offered through MMR.

The Order orders MMR to cease-and-desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Sections 10(b) and 15(c) of the Exchange Act, and Rules 10b-5 and 17a-3(a)(17)(i)(B)(1) thereunder, censures MMR, and revokes the broker-dealer registration of MMR with the Commission. (Rels. 33-9217; 34-64622; File No. 3-14163)

In the Matter of William G. Martin, Jr.

On June 8, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Respondent William G. Martin (Order). Martin consented to the issuance of the Order without admitting or denying any of the findings in the Order.

The Order finds that Martin and others made material misrepresentations and omissions in connection with the offer and sale of debentures.

The Order orders Martin to cease-and-desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 and from aiding and abetting or causing violations of Sections 10(b), 15(c), and 17(a) and Rules 10b-5 and 17a-3(a)(17)(i)(B)(1) thereunder, orders Martin to pay disgorgement of $25,200.00, prejudgment interest of $2,292.32, and a civil penalty of $30,000 and bars Martin from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. (Rels. 33-9218; 34-64623; File No. 3-14163)

In the Matter of Eugene R. Rankin

On June 8, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Respondent Eugene R. Rankin (Order). Rankin consented to the issuance of the Order without admitting or denying any of the findings in the Order.

The Order finds that Rankin and others made material misrepresentations and omissions in connection with the offer and sale of debentures.

The Order orders Rankin to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 and from aiding and abetting or causing violations of Sections 10(b), 15(c), and 17(a) and Rules 10b-5 and 17a-3(a)(17)(i)(B)(1) thereunder, orders Rankin to pay a civil penalty of $15,000, and bars Rankin from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. (Rels. 33-9219; 34-64624; File No. 3-14163)

In the Matter of John A. Hubert

On June 8, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Respondent John A. Hubert (Order). Hubert consented to the issuance of the Order without admitting or denying any of the findings in the Order.

The Order finds that Hubert and others made material misrepresentations and omissions in connection with the offer and sale of debentures.

The Order orders Hubert to cease-and-desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 and from aiding and abetting or causing violations of Sections 10(b), 15(c), and 17(a) and Rules 10b-5 and 17a-3(a)(17)(i)(B)(1) thereunder, orders Hubert to pay disgorgement of $39,615.18, prejudgment interest of $3,603.58, and a civil penalty of $20,000 and bars Hubert from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. (Rels. 33-9220; 34-64625; File No. 3-14163)

In the Matter of Aaron D. Fimreite

On June 8, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933 and Sections 15(b) and 21C of the Securities Exchange Act of 1934 as to Respondent Aaron D. Fimreite (Order). Fimreite consented to the issuance of the Order without admitting or denying any of the findings in the Order.

The Order finds that Fimreite and others made material misrepresentations and omissions in connection with the offer and sale of debentures.

The Order orders Fimreite to cease-and-desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 and from aiding and abetting or causing violations of Sections 10(b), 15(c), and 17(a) and Rules 10b-5 and 17a-3(a)(17)(i)(B)(1) thereunder, orders Fimreite to pay disgorgement of $ 2,644.78 and prejudgment interest of $240.60, and bars Fimreite from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization and from participating in any offering of a penny stock. (Rels. 33-9221; 34-64626; File No. 3-14163)

British Virgin Islands Corporation Agrees to Pay $5.72 Million to Settle Insider Trading Charges

The Securities and Exchange Commission today announced that on June 8, 2011, the U.S. District Court for the Southern District of New York entered a final judgment against Onele Trading & Finance Ltd. (Onele), a British Virgin Islands corporation, in the Commission’s pending injunctive action, SEC v. Onele Trading & Finance Ltd., 10 Civ. 9159 (JFK) (S.D.N.Y.). The Commission’s action was filed on Dec. 8, 2010 and was initially styled Securities and Exchange Commission v. One or More Unknown Purchasers of Securities of Wimm-Bill-Dann Foods OJSC. The Commission’s complaint alleged that certain unknown purchasers engaged in illegal insider trading in the American Depositary Receipts (ADRs) of Wimm-Bill-Dann Foods OJSC (WBD), a Russian corporation that manufactures and sells dairy and fruit juice products, ahead of a Dec. 2, 2010, announcement that PepsiCo, Inc. intended to acquire a 66 percent interest in WBD. The day the Commission filed its action, the district court entered a temporary restraining order freezing the shares and proceeds related to the alleged insider trading. At a hearing held on Dec. 16, 2010, the district court entered a preliminary injunction extending the relief provided in the temporary restraining order. On May 26, 2011, the Commission amended its complaint to name Onele as the sole defendant.

The Commission’s amended complaint alleges that Onele violated the antifraud provisions of the Securities Exchange Act of 1934 through its trading ahead of the acquisition announcement. The amended complaint alleges that Onele, through an account maintained at SG Private Banking (Suisse) SA in Geneva, Switzerland, placed orders to buy 400,000 WBD ADRs during the three days preceding the announcement. The day after the announcement, the closing price of WBD ADRs rose approximately 28 percent from the previous day’s close.

Without admitting or denying the allegations of the amended complaint, Onele consented to entry of a final judgment enjoining it from violations of the Exchange Act antifraud provisions; ordering it to pay disgorgement in the amount of $2,864,638; and imposing a civil money penalty in the amount of $2,864,638. The monetary sanctions will be paid out of the monies frozen pursuant to the temporary restraining order and preliminary injunction. [SEC v. Onele Trading & Finance Ltd., 10 Civ. 9159 (JFK) (S.D.N.Y.)] (LR-21993)

Court Enters Final Judgment against Coppell, Texas Resident Mark G. Meyer and His Company Mark Meyer & Associates, Inc.

The Securities and Exchange Commission announced today that on June 7, 2011, Judge Elaine Bucklo of the United States District Court for the Northern District of Illinois entered a final judgment against Mark G. Meyer, of Coppell, Texas, and Mark Meyer & Associates, Inc. (MMAI), Meyer’s business. The final judgment: (1) enjoined Meyer and MMAI from violating Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rules 10b-5 and 10b-10 promulgated thereunder, and enjoined Meyer from aiding and abetting violations of Rule 10b-10 of the Exchange Act; (2) ordered Meyer and MMAI to pay disgorgement in the amount of $1,162,729.13 plus prejudgment interest of $565,204.12, for a total of $1,727,933.25; and (3) ordered Meyer to pay a civil penalty in the amount of $120,000, and MMAI to pay a civil penalty in the amount of $600,000.

The SEC’s complaint in this matter charges that Michael E. Kelly and 25 other defendants, including Meyer and MMAI, participated in a massive fraud on U.S. investors that involved the offer and sale of securities in the form of Universal Leases. Universal Lease investments were structured as timeshares in several hotels in Cancun, Mexico, coupled with a pre-arranged rental agreement that promised investors a high, fixed rate of return. The SEC’s complaint alleges that from 1999 until 2005, Kelly and others, including Meyer and MMAI, raised at least $428 million through the Universal Lease scheme from investors throughout the United States, with more than $136 million of the funds invested coming from IRA accounts. The SEC further alleges that a nationwide network of unregistered salespeople who sold the Universal Leases, including Meyer and MMAI, collected undisclosed commissions totaling more than $72 million. The SEC also alleges that Kelly and others ran the scheme from Cancun, Mexico, through a number of foreign entities in Mexico and Panama. According to the SEC's complaint, Kelly and others told investors that Universal Leases would generate guaranteed income through the leasing of investor timeshares by a large, independent leasing agent. In fact, the complaint alleges, the leasing agent was a small Panamanian travel agency controlled by Kelly, and for most of the scheme, its payments to investors came from accounts funded by money raised from new investors. Further, the complaint alleges that Kelly and the other defendants, including Meyer and MMAI, failed to disclose key facts about the Universal Lease investment, including the risks of the investment and that Kelly was paying commissions as high as 27% to the selling brokers. The SEC’s action against the remaining defendants is pending. [SEC v. Michael E. Kelly, et al., Case No. 1:07-CV-4979 in the United States District Court for the Northern District of Illinois] (LR-21994)

Self-regulatory organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Chicago Board Options Exchange relating to option expiration months open for trading on the Exchange (SR-CBOE-2011-053) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64614)

A proposed rule change filed by NASDAQ OMX BX (SR-BX-2011-033) to modify the functionality of the Post-Only Order 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. 34-64615)

A proposed rule change filed by the Chicago Board Options Exchange to increase the Class Quoting Limit in one option class (SR-CBOE-2011-050) 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. 34-64617)

Proposed Rule Change

The NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2011-077) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder to adopt a risk monitor mechanism. Publication is expected in the Federal Register during the week of June 6. (Rel. 34-64616)

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     KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, ., 
        SAN DIEGO, CA, 92121, 858-812-7300 - 0 ($138,116,907.78) Equity, 
        (File 333-174745 - Jun. 7) (BR. 11A)

S-3ASR  INSULET CORP, 9 OAK PARK DRIVE, BEDFORD, MA, 01730, (781) 457-5000 - 
        0 ($23,090,325.68) Equity, (File 333-174746 - Jun. 7) (BR. 10B)

S-1     VENTRUS BIOSCIENCES INC, 787 7TH AVENUE, 48TH FLOOR, NEW YORK, NY, 
        10019, (212) 554-4388 - 0 ($47,150,000.00) Equity, (File 333-174747 - 
        Jun. 7) (BR. 01B)

S-8     COMMTOUCH SOFTWARE LTD, 4086534330 - 1,500,000 ($5,092,500.00) Equity, 
        (File 333-174748 - Jun. 7) (BR. 11C)

F-10    AGNICO EAGLE MINES LTD, 145 KING STREET EAST, SUITE 400, TORONTO, A6, 
        M5C 2Y7, 4169471212 - 
        0 ($500,000,000.00) Unallocated (Universal) Shelf, (File 333-174751 - 
        Jun. 7) (BR. 04B)

S-3     CADIZ INC, 550 SOUTH HOPE STREET, SUITE 2850, LOS ANGELES, CA, 90071, 
        213-271-1600 - 0 ($50,000,000.00) Equity, (File 333-174752 - Jun. 7) 
        (BR. 02C)

F-10    NEXEN INC, 801-7TH AVENUE SW, CALGARY ALBERTA CANA, A0, T2P 3P7, 
        4036994000 - 0 ($4,000,000,000.00) Unallocated (Universal) Shelf, 
        (File 333-174753 - Jun. 7) (BR. 04C)

S-3ASR  RAMBUS INC, 1050 ENTERPRISE WAY, SUITE 700, SUNNYVALE, CA, 94089, 
        408-462-8000 - 0 ($88,437,971.00) Equity, (File 333-174754 - Jun. 7) 
        (BR. 10C)

S-8     ALAMO GROUP INC, 1627 E WALNUT, SEGUIN, TX, 78155, 8303791480 - 
        390,250 ($9,295,822.50) Equity, (File 333-174755 - Jun. 7) (BR. 10A)

N-2     Golub Capital BDC, Inc., 150 SOUTH WACKER DRIVE, SUITE 800, CHICAGO, 
        IL, 60606, 312-205-5050 - 0 ($500,000,000.00) Equity, 
        (File 333-174756 - Jun. 7) (BR. 16)

S-8     GLOBAL POWER EQUIPMENT GROUP INC., 5199 N MINGO ROAD, TULSA, OK, 74117, 
        9184880828 - 0 ($15,954,000.00) Equity, (File 333-174757 - Jun. 7) 
        (BR. 06C)

S-8     AASTROM BIOSCIENCES INC, 24 FRANKL LLOYD WRIGHT DR, PO BOX 376, 
        ANN ARBOR, MI, 48106, 7349305555 - 0 ($11,544,000.00) Equity, 
        (File 333-174758 - Jun. 7) (BR. 01A)

S-1     LIGHTCOLLAR, INC., PO BOX 973 #264, UNITY, A9, S0K 4L0, 306-228-3262 - 
        10,000,000 ($100,000.00) Equity, (File 333-174759 - Jun. 7) (BR. )

S-4     KRATOS DEFENSE & SECURITY SOLUTIONS, INC., 4820 EASTGATE MALL, ., 
        SAN DIEGO, CA, 92121, 858-812-7300 - 0 ($285,000,000.00) Debt, 
        (File 333-174760 - Jun. 7) (BR. 11A)

S-1     SPOT MOBILE INTERNATIONAL LTD., 4950 YONGE STREET, SUITE 900, 
        NORTH YORK, A6, M2N 6K1, 416-229-9333 - 0 ($4,905,000.00) Equity, 
        (File 333-174761 - Jun. 7) (BR. 11C)

S-1     CLEAN WIND ENERGY TOWER, INC., 1997 ANNAPOLIS EXCHANGE BLVD., 
        SUITE 300, ANNAPOLIS, MD, 21401, 410-972-4713 - 
        15,387,682 ($4,308,550.96) Equity, (File 333-174762 - Jun. 7) (BR. 04C)

S-3     Armour Residential REIT, Inc., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH, 
        FL, 32963, (772) 617-4340 - 10,000,000 ($74,100,000.00) Equity, 
        (File 333-174763 - Jun. 7) (BR. 08B)

S-1     Nuveen Long/Short Commodity Total Return Fund, 333 WEST WACKER DRIVE, 
        CHICAGO, IL, 60606, 312-917-8146 - 1,000,000 ($25,000,000.00) Equity, 
        (File 333-174764 - Jun. 7) (BR. )

S-1     Bonanza Creek Energy, Inc., 410 17TH STREET, SUITE 1500, DENVER, CO, 
        80202, 720-440-6100 - 0 ($200,000,000.00) Equity, (File 333-174765 - 
        Jun. 7) (BR. )

S-3ASR  Brookdale Senior Living Inc., 111 WESTWOOD PLACE, SUITE 400, BRENTWOOD, 
        TN, 37027, (615) 221-2250 - 0 ($0.00) Unallocated (Universal) Shelf, 
        (File 333-174766 - Jun. 7) (BR. 11C)

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

ABVIVA INC                              NV       1.01,1.02,3.02,5.01, 05/19/11
                                                 5.02,5.03
     
Accretive Health, Inc.                  DE       5.07                 06/03/11

ACCURAY INC                             DE       7.01,8.01,9.01       06/07/11

ACXIOM CORP                             DE       5.02                 06/02/11

ADA-ES INC                              CO       7.01,9.01            06/07/11

ADVANCED CELL TECHNOLOGY, INC.          DE       8.01                 05/24/11

ADVOCAT INC                             DE       5.07                 06/03/11

AEHR TEST SYSTEMS                       CA       2.01                 06/02/11

AEROPOSTALE INC                                  5.02,9.01            06/06/11

AIS FUTURES FUND IV LP                  DE       3.02                 05/31/11

ALBANY MOLECULAR RESEARCH INC           DE       1.01,5.07            06/01/11

ALNYLAM PHARMACEUTICALS, INC.                    5.02                 06/02/11

AMBAC FINANCIAL GROUP INC               DE       7.01                 06/01/11

AMBASE CORP                             DE       5.07                 06/03/11

AMERICAN INTERNATIONAL INDUSTRIES INC   NV       5.02                 06/07/11

American Mining Corp                    NV       1.01,2.01,3.02,5.01, 05/31/11
                                                 5.02,5.06,9.01

American Realty Capital Trust, Inc.     DE       8.01                 06/07/11

AMERISTAR CASINOS INC                   NV       1.01,9.01            06/02/11

AMICUS THERAPEUTICS INC                 DE       8.01,9.01            06/07/11

Amwest Imaging Inc                      NV       4.01,9.01            06/06/11

ANALOGIC CORP                           MA       2.02,9.01            06/07/11

APARTMENT INVESTMENT & MANAGEMENT CO    MD       7.01,9.01            06/07/11

Apple REIT Eight, Inc.                  VA       2.02,9.01            06/06/11

Apple REIT Nine, Inc.                   VA       2.02,9.01            06/06/11

Apple REIT Seven, Inc.                  VA       2.02,9.01            06/06/11

APPLE REIT SIX INC                               2.02,9.01            06/06/11

Apple REIT Ten, Inc.                    VA       2.01,9.01            06/02/11

Apple REIT Ten, Inc.                    VA       2.02,9.01            06/06/11

AsherXino Corp                          DE       5.02                 05/27/11    AMEND

ASHFORD HOSPITALITY TRUST INC           MD       7.01,9.01            06/07/11

ASHLAND INC.                            KY       7.01,9.01            06/07/11

Aurum, Inc.                             DE       5.02                 06/06/11

AUTOLIV INC                             DE       8.01,9.01            06/07/11

AVATAR HOLDINGS INC                     DE       5.07,9.01            06/02/11

AVEO PHARMACEUTICALS INC                DE       5.02,5.07,9.01       06/01/11

AvStar Aviation Group, Inc.             CO       8.01,9.01            06/07/11

AXIS CAPITAL HOLDINGS LTD                        5.02,9.01            06/06/11

BA Credit Card Funding, LLC             DE       8.01,9.01            06/03/11

BASIC ENERGY SERVICES INC                        1.01,8.01,9.01       06/02/11

BIG 5 SPORTING GOODS CORP               DE       5.02,7.01,9.01       06/02/11

BIOGEN IDEC INC.                        DE       1.01,5.03,5.07,9.01  06/01/11

BJs RESTAURANTS INC                     CA       8.01,9.01            06/07/11

BLOCKBUSTER INC                         DE       7.01,9.01            06/01/11

BMB MUNAI INC                           NV       5.07,7.01,9.01       06/02/11

BOINGO WIRELESS INC                     DE       2.02,9.01            06/07/11

Booz Allen Hamilton Holding Corp        DE       2.02,9.01            06/07/11

BRAINY BRANDS COMPANY, INC.             DE       1.01,2.01,3.02,4.01, 11/24/10    AMEND
                                                 5.01,5.02,5.06,9.01
        
BRINKER INTERNATIONAL INC               DE       7.01,8.01,9.01       06/03/11

BROADVIEW NETWORKS HOLDINGS INC         DE       8.01,9.01            06/07/11

BRT REALTY TRUST                        MA       1.01,3.02,5.02,9.01  06/02/11

BUCKEYE PARTNERS, L.P.                  DE       7.01,9.01            06/07/11

BUCKLE INC                              NE       5.07,8.01,9.01       06/02/11

Bunge LTD                                        1.01,2.03            06/01/11

C&D TECHNOLOGIES INC                    DE       5.07                 06/02/11

CALAVO GROWERS INC                      CA       1.01,2.01,3.02,9.01  06/01/11

CALGON CARBON CORPORATION               DE       8.01,9.01            06/03/11

Campus Crest Communities, Inc.          MD       7.01,9.01            06/07/11

CANADIAN DERIVATIVES CLEARING CORP      A6       9.01                 05/31/11

Carbon Sciences, Inc.                   NV       8.01                 06/06/11

CASCADE CORP                            OR       2.02,9.01            06/02/11

CASCADE CORP                            OR       5.07,7.01,9.01       06/01/11

Catalent Pharma Solutions, Inc.         DE       1.01,2.03,9.01       06/01/11

CENTRA FINANCIAL HOLDINGS INC           WV       5.07                 06/06/11

CENTRA FINANCIAL HOLDINGS INC           WV       5.02,9.01            06/01/11

CF Industries Holdings, Inc.            DE       8.01,9.01            06/06/11

CH ENERGY GROUP INC                     NY       5.07                 04/26/11    AMEND

China Biologic Products, Inc.                    7.01,9.01            06/07/11

China Environmental Protection Inc.     NV       4.01,9.01            01/21/11    AMEND

CHINA MEDIA INC.                        NV       5.02                 06/07/11

China Youth Media, Inc.                 DE       1.01,9.01            06/01/11

Chineseinvestors.com, Inc.              IN       4.02                 04/26/11    AMEND

Chocolate Candy Creations, Inc.         DE       3.03                 06/07/11

CKX, Inc.                               DE       8.01,9.01            06/07/11

CLAYTON WILLIAMS ENERGY INC /DE         DE       5.02,9.01            06/03/11

CLOUD PEAK ENERGY INC.                  DE       1.01,2.03,9.01       06/03/11    AMEND

COATES INTERNATIONAL LTD \DE\           DE       1.01,3.02,9.01       06/06/11

Cogdell Spencer Inc.                    MD       7.01                 06/07/11

COLOMBIA CLEAN POWER & FUELS, INC       NV       1.01,3.02,5.03,8.01, 06/01/11
                                                 9.01
          
COMTECH TELECOMMUNICATIONS CORP /DE/    DE       2.02,8.01,9.01       04/30/11

COMVERGE, INC.                          DE       5.02                 05/31/11    AMEND

Cornerstone Core Properties REIT, Inc   MD       8.01                 05/26/11

Coronus Solar Inc.                      A1       1.02,5.02,7.01,9.01  06/07/11

CorTS(R) Trust III For Verizon Global   DE       8.01,9.01            06/01/11

COVENTRY HEALTH CARE INC                DE       1.01,2.03,8.01,9.01  06/02/11

CPI CORP                                DE       2.02,9.01            06/07/11

CRESCENT FINANCIAL CORP                 NC       5.07                 06/07/11

CTI INDUSTRIES CORP                     DE       5.07                 06/03/11

Cypress Sharpridge Investments, Inc.    MD       7.01,9.01            06/07/11

DAVITA INC                              DE       5.02,5.07,9.01       06/06/11

DecisionPoint Systems, Inc.             DE       1.01,2.03,9.01       05/31/11

DENALI CONCRETE MANAGEMENT INC          NV       1.01                 06/07/11

DICKS SPORTING GOODS INC                DE       5.07                 06/02/11

DITECH NETWORKS INC                     DE       2.02,9.01            06/07/11

DIXIE GROUP INC                         TN       1.01,9.01            06/06/11

DUKE REALTY CORP                        IN       7.01,9.01            06/07/11

DUKE REALTY LIMITED PARTNERSHIP/        IN       7.01,9.01            06/07/11

EACO CORP                               FL       5.07                 06/01/11

EAGLE ROCK ENERGY PARTNERS L P          DE       5.02,5.07            06/07/11

EastBridge Investment Group Corp        AZ       1.01,9.01            06/01/11

Education Realty Trust, Inc.            MD       7.01,9.01            06/06/11

ELITE PHARMACEUTICALS INC /DE/          DE       1.01,9.01            06/01/11

Ellington Financial LLC                 DE       7.01                 06/07/11

EMAGIN CORP                             DE       5.02,8.01,9.01       06/01/11

Emergent BioSolutions Inc.              DE       1.01                 06/01/11

ENDEAVOUR INTERNATIONAL CORP            NV       7.01,8.01,9.01       06/07/11

ENDO PHARMACEUTICALS HOLDINGS INC       DE       7.01,9.01            06/07/11

Ensco plc                                        8.01,9.01            06/07/11

EPICEPT CORP                                     3.01,9.01            06/03/11

EPL Intermediate, Inc.                  DE       8.01                 06/06/11

EQUUS TOTAL RETURN, INC.                DE       5.02,8.01,9.01       06/02/11

Eureka Financial Corp.                           4.01                 06/01/11

Evetsco, Inc.                           DE       1.01,2.03            06/07/11

Excel Trust, Inc.                       MD       7.01                 06/07/11

Federal Home Loan Bank of Atlanta       X1       2.03                 06/07/11

Federal Home Loan Bank of Chicago       X1       2.03                 06/01/11

Federal Home Loan Bank of Chicago       X1       5.02                 06/01/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            06/01/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            06/03/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            06/01/11

Federal Home Loan Bank of New York      X1       2.03,9.01            06/01/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            06/01/11

Federal Home Loan Bank of San Francis   X1       2.03                 06/01/11

Federal Home Loan Bank of San Francis   X1       5.02,9.01            06/01/11

Federal Home Loan Bank of Seattle                2.03                 06/01/11

Federal Home Loan Bank of Topeka                 2.03,9.01            06/02/11

FEDERAL HOME LOAN MORTGAGE CORP                  5.03,9.01            06/03/11

FERRELLGAS PARTNERS L P                 DE       2.02,7.01,9.01       06/07/11

FISERV INC                              WI       1.01,8.01,9.01       06/06/11

Florida Bank Group, Inc.                FL       5.02                 06/01/11

FORD MOTOR CO                           DE       8.01,9.01            06/07/11

FORD MOTOR CREDIT CO LLC                DE       8.01,9.01            06/07/11

Forex International Trading Corp.       NV       2.02,7.01,9.01       06/06/11

Fortress International Group, Inc.      DE       5.02,5.07,9.01       06/02/11

Freescale Semiconductor Holdings I, L   D0       8.01,9.01            06/07/11

Freescale Semiconductor Holdings I, L   D0       8.01,9.01            06/07/11

Genpact LTD                             D0       7.01                 06/07/11

GeoEye, Inc.                            DE       5.07                 06/02/11

Global Aviation Holdings Inc.           DE       5.02                 06/07/11

GLU MOBILE INC                          DE       5.02,5.07,9.01       06/01/11

GOLDEN PHOENIX MINERALS INC             NV       1.01,3.02            06/01/11

GOLDEN RIVER RESOURCES CORP.            DE       1.01,2.01,9.01       05/25/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 06/07/11

GOLDSANDS DEVELOPMENT CO                DE       5.02                 06/01/11

Google Inc.                             DE       5.02,5.07,9.01       06/02/11

Gordmans Stores, Inc.                   DE       1.01,9.01            06/01/11

GRAND RIVER COMMERCE INC                MI       5.02,9.01            05/26/11

GREAT ATLANTIC & PACIFIC TEA CO INC     MD       7.01,9.01            06/02/11    AMEND

GTSI CORP                               DE       1.01,2.03,9.01       05/31/11

HAEMONETICS CORP                        MA       5.02,7.01,9.01       06/03/11

HALLMARK FINANCIAL SERVICES INC         NV       5.07                 06/02/11

Hatteras Financial Corp                          7.01                 06/07/11

HAWKINS INC                             MN       2.02,9.01            06/07/11

HEALTHSOUTH CORP                        DE       7.01,9.01            06/07/11

HINES REAL ESTATE INVESTMENT TRUST IN            9.01                 06/01/11    AMEND

HKN, Inc.                               DE       3.02                 06/03/11

HOME DEPOT INC                          DE       5.03,5.07,9.01       06/02/11

HOOKER FURNITURE CORP                   VA       2.02,9.01            06/06/11

HOOKER FURNITURE CORP                   VA       7.01,9.01            06/07/11

HOVNANIAN ENTERPRISES INC               DE       9.01                 04/30/11

IDENTIVE GROUP, INC.                    DE       5.02,5.03,5.07,9.01  06/06/11

INCYTE CORP                             DE       8.01,9.01            06/06/11

INFINITY PHARMACEUTICALS, INC.          DE       7.01,8.01,9.01       06/04/11

Inland Diversified Real Estate Trust,   MD       1.01,2.01,2.03,8.01, 05/31/11
                                                 9.01
          
INLAND REAL ESTATE CORP                 MD       8.01,9.01            06/06/11

INSIGNIA SYSTEMS INC/MN                 MN       8.01                 06/06/11

INSULET CORP                            DE       1.01,2.01,2.02,3.02, 06/01/11
                                                 7.01,8.01,9.01

InterDigital, Inc.                      PA       5.03,5.07,9.01       06/02/11

Intermec, Inc.                          DE       5.02,9.01            06/07/11

INTERNATIONAL PAPER CO /NEW/            NY       8.01,9.01            06/06/11

Invesco Ltd.                            D0       1.01,1.02,2.03,7.01  06/07/11

INVIVO THERAPEUTICS HOLDINGS CORP.      NV       1.01                 05/25/11

INX Inc                                 DE       7.01,9.01            06/06/11

IsoRay, Inc.                            MN       1.01,9.01            06/01/11

IZEA Holdings, Inc.                     NV       2.01,9.01            05/12/11    AMEND

JBI, INC.                               NV       1.01,3.02            06/07/11

JBI, INC.                               NV       1.01,2.01,3.02,9.01  08/24/09    AMEND

Jiangbo Pharmaceuticals, Inc.           FL       2.02,5.02,9.01       05/23/11

JMP Group Inc.                          DE       5.07                 06/06/11

KAMAN CORP                              CT       5.02,9.01            06/07/11

KIRKLAND'S, INC                                  5.07                 06/01/11

Lake Victoria Mining Company, Inc.      NV       5.03,9.01            05/30/11

LIBERTY MEDIA CORP                               8.01,9.01            06/07/11

LIBERTY MEDIA CORP                               8.01,9.01            06/07/11

Lincolnway Energy, LLC                  IA       7.01,9.01            06/07/11

LPL Investment Holdings Inc.            DE       8.01,9.01            06/06/11

Madison Enterprises Group, Inc.         DE       2.01,5.01,5.02,5.03, 05/10/11    AMEND
                                                 5.06,9.01
     
Main Street Capital CORP                MD       8.01,9.01            06/07/11

MASSEY ENERGY CO                        DE       2.01,3.01,3.03,5.01, 06/01/11
                                                 5.02,5.03,5.07,9.01
        
MASSEY ENERGY CO                        DE       1.01,1.02,2.03,2.04, 06/01/11
                                                 3.03,9.01
     
MASTERCARD INC                          DE       5.07                 06/07/11

Measurement Specialties Inc             NJ       2.02,9.01            06/07/11

Media Exchange Group, Inc.              NV       1.01,3.02,5.02,9.01  06/03/11

MEDIA TECHNOLOGIES, INC.                NV       3.02                 06/07/11

MERIDIAN INTERSTATE BANCORP INC                  5.07                 05/18/11    AMEND

METABOLIX, INC.                                  5.02                 06/06/11

MEXICO FUND INC                         MD       7.01,9.01            05/31/11

MICRONETICS  INC                        DE       2.02,9.01            06/06/11

MID AMERICA APARTMENT COMMUNITIES INC   TN       7.01,9.01            06/06/11

Midway Gold Corp                        A1       7.01,9.01            06/07/11

MODINE MANUFACTURING CO                 WI       2.02,9.01            06/07/11

ModusLink Global Solutions Inc          DE       2.02,9.01            06/07/11

Monarch Financial Holdings, Inc.        VA       5.02,9.01            06/07/11

MS STRUCTURED SATURNS SERIES 2002-11    DE       8.01,9.01            06/01/11

MS STRUCTURED SATURNS SERIES 2003-15    DE       8.01,9.01            06/01/11

NATHANS FAMOUS INC                      DE       2.02,9.01            06/06/11

Native American Energy Group, Inc.      DE       5.02,9.01            06/06/11

NATURAL BLUE RESOURCES, INC.            DE       5.02                 06/03/11

NAVISTAR INTERNATIONAL CORP             DE       2.02,7.01,9.01       06/06/11

NCI BUILDING SYSTEMS INC                DE       2.02,9.01            06/07/11

NETFLIX INC                             DE       5.07                 06/03/11

NEW AMERICA ENERGY CORP.                NV       1.01,9.01            06/07/11

NEW ENGLAND REALTY ASSOCIATES LIMITED   MA       1.01,9.01            06/01/11

NewCardio, Inc.                         DE       2.03,8.01,9.01       06/07/11

NEWCASTLE INVESTMENT CORP               MD       5.07                 06/03/11

NewStar Financial, Inc.                          2.03,9.01            06/07/11

Nexxus Lighting, Inc.                   DE       5.02                 06/04/11

NORTHERN STATES FINANCIAL CORP /DE/     DE       5.04,9.01            06/01/11

NORTHWEST BIOTHERAPEUTICS INC           DE       1.01                 06/02/11

NYSE Euronext                           DE       8.01,9.01            06/07/11

Oak Tree Educational Partners, Inc.              5.02,9.01            06/01/11

Obagi Medical Products, Inc.            DE       5.07                 06/07/11

ODYSSEY MARINE EXPLORATION INC          NV       1.01,5.03,5.07,8.01, 06/01/11
                                                 9.01
          
OIL DRI CORP OF AMERICA                 DE       2.02,9.01            06/07/11

OM GROUP INC                            DE       5.02                 06/01/11

ONEOK Partners LP                       DE       8.01,9.01            06/07/11

OPHTHALMIC IMAGING SYSTEMS              CA       1.01,2.03,9.01       06/01/11

Options Media Group Holdings, Inc.      NV       1.01,3.02,9.01       06/06/11

ORAGENICS INC                           FL       1.01,9.01            06/03/11

OXFORD INDUSTRIES INC                   GA       2.02,9.01            06/07/11

Pacific Ethanol, Inc.                   DE       5.03,8.01,9.01       06/06/11

PAIN THERAPEUTICS INC                   DE       5.02                 06/01/11

PARTNERRE LTD                                    8.01                 06/05/11

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

PHH CORP                                MD       7.01,9.01            06/07/11

PICO HOLDINGS INC /NEW                  CA       5.02                 06/01/11

Piedmont Office Realty Trust, Inc.      MD       7.01,9.01            06/07/11

POKERTEK, INC.                          NC       1.01,5.02,5.07,9.01  06/02/11

PPL Corp                                         7.01,9.01            06/07/11

PRECISION OPTICS CORPORATION INC        MA       1.01,9.01            06/03/11

PRICESMART INC                          DE       2.02,9.01            06/07/11

PRIMUS TELECOMMUNICATIONS GROUP INC     DE       8.01,9.01            06/06/11

ProIndia International, Inc.            DE       5.02                 06/06/11

PROLOGIS                                MD       1.01,1.02,3.01,3.03, 06/01/11
                                                 5.01,5.02,5.03,5.07,
                                                 8.01
   
PRUDENTIAL FINANCIAL INC                NJ       8.01,9.01            06/07/11

PUGET ENERGY INC /WA                    WA       1.01,2.03,8.01,9.01  06/03/11

PYRAMID OIL CO                          CA       5.07                 06/02/11

QUESTCOR PHARMACEUTICALS INC            CA       7.01,9.01            06/07/11

QUINSTREET, INC                         DE       7.01,9.01            06/07/11

R F INDUSTRIES LTD                      NV       1.01,2.02,8.01,9.01  06/06/11

Reis, Inc.                              MD       5.07                 06/02/11

RENTECH INC /CO/                        CO       8.01,9.01            06/07/11

REVLON CONSUMER PRODUCTS CORP           DE       8.01,9.01            06/07/11

REVLON INC /DE/                         DE       8.01,9.01            06/07/11

Revolutions Medical CORP                NV       1.01,5.02,9.01       06/01/11

Sabra Health Care REIT, Inc.            MD       7.01,9.01            06/07/11

SAFEWAY INC                             DE       1.01,2.03,9.01       06/01/11

SCANSOURCE INC                          SC       5.02                 06/06/11

SCOLR Pharma, Inc.                      DE       1.01                 06/02/11

Select Notes Trust LT 2004-1            DE       8.01,9.01            06/01/11

SEVCON, INC.                            DE       5.03,8.01,9.01       06/07/11

SIGNATURE EYEWEAR INC                   CA       1.01                 06/03/11

SKYWORKS SOLUTIONS INC                  DE       7.01,9.01            06/07/11

Solar Park Initiatives, Inc.            NV       2.04,8.01            06/07/11

Solar Power, Inc.                       CA       1.01,9.01            06/06/11

SOLERA HOLDINGS, INC                    DE       7.01,9.01            06/07/11

SOLERA HOLDINGS, INC                    DE       7.01,9.01            06/07/11

SONOMA VALLEY BANCORP                   CA       8.01,9.01            06/07/11

SONUS NETWORKS INC                      DE       5.02,5.05,5.07,8.01, 06/01/11
                                                 9.01
          
SOUTHWEST AIRLINES CO                   TX       7.01,9.01            05/31/11

SPOT MOBILE INTERNATIONAL LTD.          DE       5.02                 06/01/11

SS&C Technologies Holdings Inc          DE       5.07                 06/02/11

SSI Investments II Ltd                  L2       5.02                 06/02/11

Standard Gold                           CO       5.02,9.01            06/01/11

STAR GAS PARTNERS LP                    DE       1.01,2.03,9.01       06/03/11

STREAMLINE HEALTH SOLUTIONS INC.        DE       2.02,9.01            06/07/11

STRUCTURED PRODUCTS CORP TIERS CORP B   DE       8.01,9.01            06/01/11

STRUCTURED PRODUCTS CORP TIERS R INFL   DE       8.01,9.01            06/01/11

STUDIO II BRANDS INC                    FL       4.01,9.01            06/06/11

SULPHCO INC                             NV       3.01,9.01            06/07/11

SUNPOWER CORP                           DE       1.01,7.01,8.01,9.01  06/07/11

SYNERGETICS USA INC                              2.02,9.01            06/07/11

SyntheMed, Inc.                         DE       1.01                 05/27/11

TABLE TRAC INC                          NV       5.02,9.01            06/01/11

TALBOTS INC                             DE       2.02,9.01            06/07/11

TALON INTERNATIONAL, INC.               DE       5.07                 05/31/11

TEAMSTAFF INC                           NJ       1.01,2.03,3.02,5.02, 06/01/11
                                                 9.01
          
TEMPLE INLAND INC                       DE       1.01,3.03,5.03,8.01, 06/07/11
                                                 9.01
          
Thermon Holding Corp.                   DE       5.02                 06/01/11

TIDEWATER INC                           DE       5.02                 06/07/11

TOROTEL INC                             MO       5.02                 06/03/11

TRI VALLEY CORP                         DE       5.02,5.07,9.01       06/03/11

TRIDENT MICROSYSTEMS INC                DE       5.02,9.01            06/07/11

TUPPERWARE BRANDS CORP                  DE       1.01,1.02,2.03,9.01  06/02/11

Ulta Salon, Cosmetics & Fragrance, In   DE       5.07                 06/02/11

Ulta Salon, Cosmetics & Fragrance, In   DE       2.02,9.01            06/07/11

UNION PACIFIC CORP                      UT       8.01,9.01            06/07/11

UNITED INSURANCE HOLDINGS CORP.         DE       1.01,9.01            06/01/11

UNIVERSAL CITY DEVELOPMENT PARTNERS L            8.01,9.01            06/06/11

US BANCORP \DE\                         DE       7.01,9.01            06/07/11

VALMONT INDUSTRIES INC                  DE       7.01,9.01            06/07/11

VENTRUS BIOSCIENCES INC                 DE       1.01,9.01            06/05/11

VIRGIN MEDIA INC.                       DE       8.01,9.01            06/07/11

W&T OFFSHORE INC                        TX       7.01,9.01            06/07/11

WALGREEN CO                             IL       2.02,9.01            06/03/11

WARWICK VALLEY TELEPHONE CO             NY       5.02                 06/01/11

Waste2Energy Holdings, Inc.             DE       1.01,9.01            06/02/11

WCA WASTE CORP                          DE       1.01,2.03,7.01,9.01  06/07/11

WELLS CORE OFFICE INCOME REIT INC                1.01                 06/07/11

WELLS FARGO & CO/MN                     DE       9.01                 06/07/11

WEST BANCORPORATION INC                 IA       8.01                 06/03/11

Westway Group, Inc.                     DE       8.01,9.01            06/07/11

WESTWOOD HOLDINGS GROUP INC             DE       7.01,9.01            06/07/11

WHIRLPOOL CORP /DE/                     DE       1.01,2.03,9.01       06/02/11

Willdan Group, Inc.                     DE       5.07                 06/03/11

YADKIN VALLEY FINANCIAL CORP            NC       8.01,9.01            06/07/11

Zentric, Inc.                           NV       1.01                 05/21/11

http://www.sec.gov/news/digest/2011/dig0608.htm

SEC News Digest