Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.
Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.
Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.
Open Meeting on Wednesday, June 15, 2011 at 10:00 a.m.
The Commission will consider whether to propose amendments to Rule 17a-5 – the broker-dealer reporting rule – under the Securities Exchange Act of 1934.
Open Meeting on Wednesday, June 22, 2011 at 10:00 a.m.
The subject matters of the Open Meeting will be:
Item 1: The Commission will consider whether to adopt new rules and rule amendments under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. These rules and rule amendments are designed to give effect to provisions of Title IV of the Dodd-Frank Act that, among other things, increase the statutory threshold for registration of investment advisers with the Commission, require advisers to hedge funds and other private funds to register with the Commission, and address reporting by certain investment advisers that are exempt from registration.
Item 2: The Commission will consider whether to adopt rules that would implement new exemptions from the registration requirements of the Investment Advisers Act of 1940 for advisers to venture capital funds and advisers with less than $150 million in private fund assets under management in the United States. These exemptions were enacted as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The new rules also would clarify the meaning of certain terms included in a new exemption for foreign private advisers.
Item 3: The Commission will consider whether to adopt a rule defining “family offices” that will be excluded from the definition of an investment adviser under the Investment Advisers Act of 1940.
Roundtable Open Meeting on Thursday, June 16, 2011 at 9:00 a.m.
Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Pub. L. 94-409, that the Securities and Exchange Commission ("SEC") and the Commodity Futures Trading Commission ("CFTC") will hold public roundtable discussions on Thursday, June 16, 2011 at the CFTC's headquarters at Three Lafayette Centre, 1155 21st Street, NW, Washington, DC 20581.
The meeting will begin at 9 a.m. and will be open to the public, with seating on a first-come, first-served basis. Visitors will be subject to security checks. This Sunshine Act notice is being issued because a majority of the Commission may attend the meeting.
The agenda for the meeting includes panel discussions concerning the definitions of “swap dealer,” “security-based swap dealer,” “major swap participant,” and “major security-based swap participant” in the context of certain authority that Section 712(d)(1) of the Dodd-Frank Wall Street Reform and Consumer Protect Act granted the Agencies.
For further information, please contact the CFTC’s Office of Public Affairs at (202) 418-5080 or the SEC’s Office of Public Affairs at (202) 551-4120.
Closed Meeting on Thursday, June 16, 2011, at 3:00 p.m.
The subject matter of the Closed Meeting scheduled for Thursday, June 16, 2011, will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; consideration of amicus participation; an opinion; and other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.
SEC Files Injunctive Action Against Copper King Mining Corp., Alexander Lindale, LLC, Mark D. Dotson, Wilford R. Blum, and Stephen G. Bennett
The Securities and Exchange Commission announced the filing of a complaint in federal district court against Copper King Mining Corp. (Copper King), Alexander Lindale, LLC (Alexander Lindale), Mark D. Dotson (Dotson), Wilford R. Blum (Blum) and Stephen G. Bennett (Bennett). The complaint alleges that Copper King and its prior President and CEO, Dotson, authored and distributed false and misleading information on Copper King’s Internet website regarding the company’s ability to produce revenue, its ability to extract significant amounts of copper and other metals, its receipt of an irrevocable purchase order for its copper, and its receipt of a firm funding commitment for $100 million to pay for operations and build an ore processing mill.
The complaint further alleges that Dotson knowingly allowed Alexander Lindale and Blum, a Salt Lake City stock promoter, to issue additional false press releases and conduct an unregistered offer and distribution of Copper King stock. Alexander Lindale and Blum were assisted by Bennett, a disbarred Utah attorney, who authored bogus stock tradability opinion letters when he was not properly licensed to issue such opinions. Bennett’s stock tradability opinion letters were used as the legal authority that enabled Copper King’s stock transfer agent to issue and distribute the company’s stock pursuant to Blum’s instructions.
The complaint also alleges that Alexander Lindale and Blum raised an approximate $12,280,419 in proceeds from Blum’s improper sales Copper King stock from 2008 through 2010. Blum provided Copper King with approximately $9,063,567 in cash or services while Alexander Lindale received approximately $3,291,352 from Blum’s sales Copper King stock. The complaint alleges that Alexander Lindale and Blum also operated as unregistered brokers or dealers.
The Commission’s complaint charges Copper King, Dotson and Bennett with violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. The complaint charges Alexander Lindale and Blum with violations of Section 5(a) and 5(c) of the Securities Act and Section 15(a) of the Exchange Act. The complaint seeks injunctive relief, disgorgement, civil penalties and penny stock bars from defendants.
The Commission acknowledges the assistance of the United States Attorney’s Office for the District of Utah, the Salt Lake Office of the Federal Bureau of Investigation, the Criminal Division of the Internal Revenue Service, Salt Lake Office, and the Bureau of Land Management, Arizona State Office, St. George Field Office, and Salt Lake City, Field Office. [SEC v. Copper King Mining Corp, Civil No. 2:11-cv-00526-SA USDC Utah, filed June 9, 2011)] (LR-21995)
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., Civil Action No. 07-cv-4979 (N.D. Ill.)] (LR-21994).
Immediate Effectiveness of Proposed Rule Changes
The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-NYSEArca-2011-35) filed by NYSE Arca, Inc. under Rule 19b-4 of the Securities Exchange Act of 1934 amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to replace numerical thresholds with percentage thresholds for tier volume requirements, add a new volume tier and increase the credit that lead market makers receive for execution of orders that provide undisplayed liquidity using post no preference blind orders. Publication is expected in the Federal Register during the week of June 13. (Rel. No. 34-64627).
A proposed rule change filed by The NASDAQ Stock Market LLC to amend Rule 7034 regarding certain co-location installation fees (SR-NASDAQ-2011-074) 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 13. (Rel. 34-64630)
A proposed rule change filed by NASDAQ OMX BX, Inc. to amend Rule 7034 regarding certain co-location installation fees (SR-BX-2011-032) 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 13. (Rel. 34-64631)
A proposed rule change filed by EDGX Exchange, Inc. (SR-EDGX-2011-17) relating to amendments to the EDGX Exchange, Inc. fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to made in the Federal Register during the week of June 13. (Release No. 34-64632)
A proposed rule change filed by EDGA Exchange, Inc. (SR-EDGA-2011-17) relating to amendments to the EDGA Exchange, Inc. fee schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected to made in the Federal Register during the week of June 13. (Release No. 34-64634)
A proposed rule change filed by the NASDAQ Stock Market LLC to modify fees for members using the NASDAQ Market Center (SR-NASDAQ-2011-072) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 13. (Rel. 34-64635)
A proposed rule change filed by NASDAQ OMX BX, Inc. to modify fees for members using the NASDAQ OMX BX equities system (SR-BX-2011-030) has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 13. (Rel. 34-64636)
Proposed Rule Change
The NASDAQ Stock Market LLC filed a proposed rule change (SR-NASDAQ-2011-073) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to adopt additional listing requirements for reverse mergers. Publication is expected in the Federal Register during the week of June 13. (Rel. 34-64633)
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.
N-2 COR Business Development Co LLC, 233 WILSHIRE BOULEVARD, SUITE 830, SANTA MONICA, CA, 90401, (310) 526-8400 - 0 ($86,250,000.00) Equity, (File 333-174767 - Jun. 8) (BR. ) S-3 PATRICK INDUSTRIES INC, 107 WEST FRANKLIN STREET PO BOX 638, ELKHART, IN, 46515, 574-206-7515 - 250,000 ($545,000.00) Equity, (File 333-174774 - Jun. 8) (BR. 06C) S-8 STREAMLINE HEALTH SOLUTIONS INC., 10200 ALLIANCE ROAD, SUITE 200, CINCINNATI, OH, 45242, 5137947100 - 0 ($1,650,000.00) Equity, (File 333-174775 - Jun. 8) (BR. 03B) S-8 TRI VALLEY CORP, 4550 CALIFORNIA AVE, SUITE 600, BAKERSFIELD, CA, 93309, 6618640500 - 7,000,000 ($4,690,000.00) Equity, (File 333-174776 - Jun. 8) (BR. 04B) S-8 FedFirst Financial Corp, 565 DONNER AVENUE, MONESSEN, PA, 15062, 7246846800 - 204,218 ($2,979,540.00) Equity, (File 333-174777 - Jun. 8) (BR. 07C) S-8 C&D TECHNOLOGIES INC, 1400 UNION MEETING ROAD, PO BOX 3053, BLUE BELL, PA, 19422, 2156192700 - 0 ($12,408,386.38) Equity, (File 333-174778 - Jun. 8) (BR. 10A) S-B PERU REPUBLIC OF, 241 EAST 49TH ST, NEW YORK, NY, 10017, 0 ($2,260,803,000.00) Unallocated (Universal) Shelf, (File 333-174779 - Jun. 8) (BR. DN) S-4 TransDigm Group INC, 1301 EAST 9TH STREET, SUITE 3710, CLEVELAND, OH, 44114, 216 706 2939 - 0 ($1,600,000,000.00) Non-Convertible Debt, (File 333-174781 - Jun. 8) (BR. 05C) F-1 Xunlei Ltd, 7/F, Bldg 11, Shenzhen software Park II, Shenzhen High-Tech Park, SHENZHEN, F4, 518057, (86-755) 2603-5888 - 0 ($200,000,000.00) ADRs/ADSs, (File 333-174782 - Jun. 8) (BR. 03C) S-8 CLAIBORNE LIZ INC, 1441 BROADWAY, NEW YORK, NY, 10018, 2123544900 - 0 ($17,475,000.00) Equity, (File 333-174783 - Jun. 8) (BR. 09B) N-2 FS Investment CORP, CIRCA CENTRE, 2929 ARCH STREET, SUITE 675, PHILDADELPHIA, PA, 19104-2867, 215-495-1150 - 0 ($537,500,000.00) Equity, (File 333-174784 - Jun. 8) (BR. 18) S-8 ACORDA THERAPEUTICS INC, 15 SKYLINE DRIVE, HAWTHORNE, NY, 10532, 914-347-4300 - 1,563,627 ($49,254,251.00) Equity, (File 333-174785 - Jun. 8) (BR. 01A) S-3 DISCOVERY LABORATORIES INC /DE/, 2600 KELLY ROAD, SUITE 100, WARRINGTON, PA, 18976, 2154889300 - 0 ($200,000,000.00) Equity, (File 333-174786 - Jun. 8) (BR. 01A)
Form 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.
STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT ABM INDUSTRIES INC /DE/ DE 2.02,8.01,9.01 06/07/11 Activision Blizzard, Inc. DE 5.07 06/02/11 ADA-ES INC CO 5.07 06/07/11 Ads In Motion, Inc. DE 9.01 02/08/11 AMEND AEP INDUSTRIES INC DE 5.02,9.01 06/07/11 AEP INDUSTRIES INC DE 5.07 04/12/11 AMEND AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.07 06/07/11 AFS SenSub Corp. 8.01,9.01 06/02/11 ALLIANCEBERNSTEIN HOLDING L.P. DE 7.01,9.01 06/07/11 ALLIANCEBERNSTEIN L.P. DE 7.01,9.01 06/07/11 Alon Refining Krotz Springs, Inc. DE 8.01 06/08/11 Alon USA Energy, Inc. DE 8.01 06/08/11 AMACORE GROUP, INC. DE 1.01,2.03,3.02,9.01 06/02/11 Amarok Resources, Inc. NV 1.01,2.03,3.02,9.01 05/20/11 AMEDISYS INC DE 7.01,9.01 06/08/11 AMERICA SERVICE GROUP INC /DE DE 1.01,1.02,2.01,3.01,3.03,5.01,5.02,5.03,9.01 06/03/11 American Casino & Entertainment Prope DE 8.01 06/08/11 AMERICAN CHURCH MORTGAGE CO MN 5.07 06/08/11 AMERICAN INDEPENDENCE CORP DE 7.01,9.01 06/08/11 American Rare Earths & Materials, Cor DE 3.01,9.01 06/07/11 AMERINST INSURANCE GROUP LTD D0 5.07 06/02/11 Ampio Pharmaceuticals, Inc. DE 5.02,7.01,9.01 06/08/11 Animal Health International, Inc. DE 5.07,9.01 06/08/11 ARCH COAL INC DE 8.01,9.01 06/02/11 Archipelago Learning, Inc. DE 5.07 06/08/11 ARES CAPITAL CORP MD 1.01,5.07,9.01 06/06/11 ARI NETWORK SERVICES INC /WI WI 5.02 06/02/11 ARRIS GROUP INC DE 5.07 05/25/11 ASPA Gold Corp NV 4.01,5.03,9.01 04/06/11 AMEND ASSOCIATED ESTATES REALTY CORP OH 1.01,2.03,9.01 06/03/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 06/08/11 BankUnited, Inc. DE 1.01,9.01 06/02/11 BAYLAKE CORP WI 5.07 06/06/11 Behringer Harvard Opportunity REIT II MD 8.01,9.01 06/06/11 BIGGEST LITTLE INVESTMENTS LP DE 1.01 06/08/11 BJs RESTAURANTS INC CA 8.01,9.01 06/08/11 BJs RESTAURANTS INC CA 5.02,5.07,9.01 06/07/11 BOISE INC. DE 3.03 06/08/11 BOTTOMLINE TECHNOLOGIES INC /DE/ DE 9.01 03/29/11 AMEND Buckeye Oil & Gas, Inc. FL 5.01,5.02,9.01 06/02/11 C&D TECHNOLOGIES INC DE 2.02,9.01 06/08/11 CADENCE PHARMACEUTICALS INC 7.01,9.01 06/08/11 CAI International, Inc. 5.07 06/03/11 CALAVO GROWERS INC CA 2.02,9.01 06/06/11 CALIFORNIA PIZZA KITCHEN, INC. DE 8.01,9.01 06/08/11 CANTEL MEDICAL CORP DE 2.02,9.01 06/08/11 Capstone Therapeutics Corp. DE 1.01,3.03,7.01,9.01 06/06/11 CAS MEDICAL SYSTEMS INC DE 5.02,5.07,9.01 06/08/11 CATERPILLAR INC DE 8.01,9.01 06/08/11 CATERPILLAR INC DE 8.01,9.01 06/08/11 CC Media Holdings Inc 8.01,9.01 06/08/11 CC Media Holdings Inc 7.01 06/07/11 CDI CORP PA 8.01 05/24/11 CENTURY PROPERTIES FUND XVII CA 1.01,9.01 06/03/11 CENTURYLINK, INC LA 8.01,9.01 06/08/11 CERUS CORP DE 5.07 06/01/11 CHINA GENGSHENG MINERALS, INC. NV 5.03,9.01 06/07/11 China Growth Equity Investment Ltd E9 8.01,9.01 06/02/11 China Transportation Acquisition Corp DE 8.01 06/08/11 CIENA CORP DE 2.02,9.01 06/08/11 CIENA CORP DE 5.02 06/08/11 CIT GROUP INC DE 7.01,9.01 06/08/11 CLEAR CHANNEL COMMUNICATIONS INC TX 8.01,9.01 06/08/11 CLEAR CHANNEL COMMUNICATIONS INC TX 7.01 06/07/11 Clear Channel Outdoor Holdings, Inc. DE 8.01,9.01 06/08/11 Clear Channel Outdoor Holdings, Inc. DE 7.01 06/07/11 Clearwire Corp /DE DE 7.01 06/08/11 CLIFFS NATURAL RESOURCES INC. OH 8.01,9.01 06/07/11 COBIZ FINANCIAL INC CO 7.01 06/08/11 Community Partners Bancorp NJ 8.01,9.01 06/08/11 COMPUWARE CORP MI 5.02,7.01,9.01 06/03/11 Comstock Mining Inc. NV 5.03,8.01,9.01 06/06/11 CONTINENTAL MATERIALS CORP DE 5.07 05/25/11 COOPER TIRE & RUBBER CO DE 1.01,9.01 06/02/11 CorMedix Inc. DE 5.02 06/07/11 Cornerworld Corp NV 1.01,5.02,9.01 05/09/11 Corporate Capital Trust, Inc. MD 1.01,2.02,9.01 06/08/11 COSTAR GROUP INC DE 5.02,5.07,9.01 06/02/11 CYANOTECH CORP NV 5.02,9.01 06/08/11 CYNOSURE INC 5.02,9.01 06/03/11 Cypress Sharpridge Investments, Inc. MD 7.01,9.01 06/08/11 Cypress Sharpridge Investments, Inc. MD 8.01,9.01 06/07/11 DC BRANDS INTERNATIONAL INC CO 3.02,5.03,8.01,9.01 06/03/11 DIGITAL ANGEL CORP DE 7.01,9.01 06/08/11 DIGITAL VALLEYS CORP NV 5.02 06/01/11 Discover Card Execution Note Trust DE 8.01 06/07/11 DIVERSEY HOLDINGS, INC. DE 7.01,9.01 06/08/11 DYNAMIC VENTURES CORP. 4.01,9.01 06/07/11 DYNAMICS RESEARCH CORP MA 1.01,9.01 06/02/11 EAGLE ROCK ENERGY PARTNERS L P DE 7.01 06/08/11 EASYLINK SERVICES INTERNATIONAL CORP DE 2.02,9.01 06/08/11 Ecoemissions Solutions Inc. DE 4.01,9.01 05/13/11 EDUCATIONAL DEVELOPMENT CORP DE 2.02,9.01 06/08/11 EL PASO CORP/DE DE 1.01,2.03,9.01 06/02/11 Ellington Financial LLC DE 7.01,9.01 06/07/11 Emergent Health Corp. NV 1.01,8.01 05/16/11 ENERGY XXI (BERMUDA) LTD D0 7.01,9.01 06/08/11 Envision Solar International, Inc. NV 8.01,9.01 06/07/11 EPIQ SYSTEMS INC MO 5.07,7.01,9.01 06/07/11 EVANS BOB FARMS INC DE 2.02,9.01 06/08/11 Excaliber Enterprises, Ltd. NV 1.01,2.01,3.02,4.01,5.01,5.02,5.03,5.06,9.01 05/11/11 AMEND FEDERAL AGRICULTURAL MORTGAGE CORP 5.07,8.01,9.01 06/01/11 Federal Home Loan Bank of Boston X1 2.03 06/02/11 FIRST CITIZENS BANCSHARES INC /DE/ DE 5.01 06/02/11 FIVE STAR QUALITY CARE INC 9.01 06/08/11 FLOTEK INDUSTRIES INC/CN/ DE 7.01,9.01 06/08/11 FORD MOTOR CO DE 8.01,9.01 06/08/11 FOUR OAKS FINCORP INC NC 5.07 06/06/11 FUELCELL ENERGY INC DE 2.02,9.01 06/06/11 Gas Natural Inc. OH 4.01,9.01 06/03/11 GENESCO INC TN 7.01 06/08/11 GENTA INC DE/ DE 8.01,9.01 06/08/11 GEOGLOBAL RESOURCES INC. DE 8.01,9.01 06/06/11 GEOVIC MINING CORP. DE 7.01,8.01,9.01 06/02/11 Glen Rose Petroleum CORP DE 5.02 05/17/11 GLOBAL PARI-MUTUEL SERVICES, INC. NV 8.01,9.01 06/08/11 GOLDMAN SACHS GROUP INC DE 9.01 06/08/11 GOODRICH CORP NY 2.05,9.01 06/07/11 GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 06/08/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 1.01 06/08/11 Great Wolf Resorts, Inc. DE 5.07 06/06/11 Greektown Superholdings, Inc. DE 7.01,9.01 06/08/11 GREEN DOT CORP DE 5.07 06/02/11 GT Solar International, Inc. DE 5.02 06/02/11 GULF RESOURCES, INC. DE 8.01,9.01 06/07/11 H & H Imports, Inc. FL 1.01,3.02,9.01 05/27/11 HACKETT GROUP, INC. FL 5.07 06/06/11 HARSCO CORP DE 5.02 06/02/10 HEALTH NET INC DE 7.01 06/07/11 Hill International, Inc. DE 5.07,9.01 06/03/11 Horizon Lines, Inc. 5.02,5.07,9.01 06/02/11 HUBBELL INC CT 5.02,9.01 06/08/11 HUNT J B TRANSPORT SERVICES INC AR 5.02,9.01 06/06/11 INDEPENDENCE HOLDING CO DE 7.01,9.01 06/08/11 Inland Diversified Real Estate Trust, MD 7.01,9.01 06/08/11 INSIGNIA SYSTEMS INC/MN MN 4.01,5.02,9.01 06/03/11 INSTITUTIONAL FINANCIAL MARKETS, INC. MD 5.02,5.07 06/07/11 INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,7.01,9.01 06/08/11 INTEGRAMED AMERICA INC DE 5.03,5.07,9.01 06/02/11 INTERNATIONAL GAME TECHNOLOGY NV 8.01,9.01 06/07/11 INTERNATIONAL ISOTOPES INC TX 7.01,9.01 06/08/11 INTERNATIONAL SHIPHOLDING CORP DE 2.01,9.01 06/08/11 AMEND INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 06/07/11 INVESTMENT TECHNOLOGY GROUP INC DE 8.01,9.01 06/08/11 IRON MOUNTAIN INC DE 2.01,9.01 06/02/11 JAMMIN JAVA CORP. 4.01,8.01,9.01 05/20/11 Jingwei International LTD NV 8.01,9.01 06/02/11 KINDRED HEALTHCARE, INC DE 5.02 06/07/11 AMEND KINDRED HEALTHCARE, INC DE 5.07 06/07/11 AMEND Kraton Performance Polymers, Inc. DE 7.01,9.01 06/08/11 KRATOS DEFENSE & SECURITY SOLUTIONS, DE 8.01,9.01 06/08/11 LAKELAND INDUSTRIES INC DE 2.02,9.01 06/08/11 LaSalle Hotel Properties MD 1.01,7.01,9.01 06/03/11 LAYNE CHRISTENSEN CO DE 2.02,9.01 06/08/11 Limoneira CO DE 2.02,9.01 06/08/11 Location Based Technologies, Inc. NV 7.01,9.01 06/07/11 LSB INDUSTRIES INC DE 5.07 06/08/11 LyondellBasell Industries N.V. P7 1.01,9.01 06/02/11 MANNKIND CORP DE 5.02,5.07,9.01 06/02/11 MDC HOLDINGS INC DE 8.01,9.01 06/08/11 MEDGENICS, INC. DE 5.02,7.01,9.01 06/08/11 MENS WEARHOUSE INC TX 2.02,9.01 06/08/11 MERGE HEALTHCARE INC DE 5.03,8.01,9.01 06/07/11 MERGE HEALTHCARE INC DE 5.02,5.07 06/02/11 MEXCO ENERGY CORP CO 8.01,9.01 06/08/11 Mojo Ventures, Inc. DE 1.01,3.02,9.01 06/07/11 MOKITA, INC. NV 1.01,2.03,9.01 06/07/11 MUTUALFIRST FINANCIAL INC MD 8.01,9.01 06/07/11 Native American Energy Group, Inc. DE 5.02,9.01 06/08/11 AMEND Natural Resources USA Corp 8.01 06/08/11 NAVARRE CORP /MN/ MN 2.02,5.02,9.01 06/07/11 NEUROLOGIX INC/DE DE 7.01,9.01 06/08/11 NINE MILE SOFTWARE, INC. NV 1.02,5.01,5.02,9.01 06/06/11 NORTHEAST UTILITIES MA 7.01,8.01,9.01 06/02/11 Oasis Petroleum Inc. DE 7.01,9.01 06/08/11 ODYSSEY MARINE EXPLORATION INC NV 8.01,9.01 06/07/11 ON ASSIGNMENT INC DE 5.07 06/07/11 PAETEC Holding Corp. 5.07 06/02/11 PARK ELECTROCHEMICAL CORP NY 5.02,9.01 06/01/11 PARK NATIONAL CORP /OH/ OH 7.01,9.01 06/08/11 Park Place Energy Corp. NV 1.01,9.01 06/05/11 PAYCHEX INC DE 8.01 06/06/11 Pebblebrook Hotel Trust MD 1.01,2.03,7.01,9.01 06/03/11 PERFICIENT INC DE 5.07 06/03/11 PHYSICIANS FORMULA HOLDINGS, INC. DE 3.01 06/07/11 PLAINS ALL AMERICAN PIPELINE LP DE 7.01 06/08/11 Porter Bancorp, Inc. KY 7.01,9.01 06/06/11 Porter Bancorp, Inc. KY 8.01,9.01 06/06/11 PRIME STAR GROUP INC NV 4.01,9.01 06/06/11 Prologis, Inc. MD 2.01,3.02,3.03,4.01,5.02,5.03,5.05,8.01,9.01 06/02/11 PROSPER MARKETPLACE INC DE 1.01,3.02,5.02 06/03/11 QLT INC/BC A1 8.01 06/07/11 RADIENT PHARMACEUTICALS Corp DE 2.02,7.01,9.01 06/08/11 RAIT Financial Trust MD 7.01,9.01 06/08/11 RAYMOND JAMES FINANCIAL INC FL 7.01 06/08/11 REFLECT SCIENTIFIC INC UT 1.01,9.01 08/17/10 AMEND REGIONS FINANCIAL CORP DE 7.01,9.01 06/08/11 RELIABRAND INC. 3.02,5.01 05/02/11 RESOURCE EXCHANGE OF AMERICA CORP. FL 1.01,2.03,3.02,9.01 06/07/11 REX ENERGY CORP DE 5.02 06/03/11 Rock-Tenn CO GA 8.01,9.01 06/08/11 ROCKWELL AUTOMATION INC DE 5.07 02/01/11 AMEND SABINE ROYALTY TRUST TX 2.02,9.01 06/03/11 SafeStitch Medical, Inc. DE 5.07 06/06/11 SANDISK CORP DE 5.02,5.07 06/07/11 SANDRIDGE ENERGY INC DE 5.07 06/03/11 SCHIFF NUTRITION INTERNATIONAL, INC. DE 5.02 04/26/11 AMEND SCIQUEST INC DE 1.01,9.01 06/06/11 SEALED AIR CORP/DE DE 7.01,9.01 06/08/11 SERENA SOFTWARE INC DE 5.02,9.01 06/02/11 ServisFirst Bancshares, Inc. DE 7.01,9.01 06/08/11 SINGLE TOUCH SYSTEMS INC DE 5.02 06/07/11 SINOBIOMED INC DE 1.01,5.07,7.01,9.01 06/06/11 SKY POWER SOLUTIONS CORP. NV 3.02,5.03,9.01 06/06/11 SkyPeople Fruit Juice, Inc FL 8.01,9.01 06/06/11 Smart-tek Solutions Inc NV 5.02,9.01 06/08/11 Socialwise, Inc. (formerly known as I CO 8.01 06/08/11 SOLTA MEDICAL INC DE 5.07 06/02/11 SOUTHSIDE BANCSHARES INC TX 5.07 04/21/11 AMEND SPANISH BROADCASTING SYSTEM INC DE 5.07 06/01/11 SPARTECH CORP DE 9.01 06/08/11 SquareTwo Financial Corp DE 7.01,9.01 06/08/11 SRA INTERNATIONAL INC DE 2.02,8.01,9.01 06/07/11 Star Gold Corp. NV 8.01,9.01 06/07/11 Star Gold Corp. NV 4.01,9.01 06/07/11 STELLAR PHARMACEUTICALS INC 7.01,9.01 06/08/11 Strategic Storage Trust, Inc. MD 7.01,9.01 06/08/11 SUNRISE SENIOR LIVING INC DE 1.01,2.01,2.03,9.01 06/02/11 SUPERVALU INC DE 5.03,9.01 06/02/11 TEXAS INSTRUMENTS INC DE 7.01,9.01 06/08/11 Tianli Agritech, Inc. D8 4.01,7.01,9.01 06/02/11 TICC Capital Corp. MD 5.07,9.01 06/07/11 TIDEWATER INC DE 8.01,9.01 06/07/11 TOPSPIN MEDICAL INC 5.02 06/02/11 TPC Group Inc. DE 7.01,9.01 06/08/11 TRAILER BRIDGE INC 5.07 06/07/11 TRANSACT TECHNOLOGIES INC DE 5.02,5.07 06/08/11 TRAVELZOO INC DE 5.07 06/02/11 TRC COMPANIES INC /DE/ DE 8.01,9.01 06/06/11 TRUSTCO BANK CORP N Y NY 7.01,9.01 06/08/11 Umami Sustainable Seafood Inc. NV 2.03 06/03/11 United Continental Holdings, Inc. DE 8.01,9.01 06/07/11 UniTek Global Services, Inc. DE 5.07 06/07/11 Universal Bioenergy, Inc. 8.01,9.01 06/08/11 UNIVERSAL FOREST PRODUCTS INC MI 8.01 06/08/11 URSTADT BIDDLE PROPERTIES INC MD 2.02,5.07,9.01 06/07/11 US DATAWORKS INC NV 1.01,9.01 06/02/11 US HOME SYSTEMS INC DE 5.07 06/07/11 USA TECHNOLOGIES INC PA 8.01,9.01 06/07/11 VCA ANTECH INC DE 5.07 06/06/11 VERINT SYSTEMS INC DE 2.02,7.01,9.01 06/08/11 VIRTUS INVESTMENT PARTNERS, INC. DE 7.01,9.01 06/08/11 VISA INC. DE 5.07 01/31/11 AMEND W&T OFFSHORE INC TX 1.01,8.01,9.01 06/03/11 WACCAMAW BANKSHARES INC NC 8.01,9.01 06/06/11 Walker & Dunlop, Inc. MD 5.07 06/07/11 WASTE MANAGEMENT INC DE 5.02,9.01 06/07/11 WCA WASTE CORP DE 1.01,2.03,9.01 06/06/11 WEBSTER FINANCIAL CORP DE 7.01 06/07/11 WEBSTER FINANCIAL CORP DE 8.01,9.01 06/02/11 WEGENER CORP DE 5.02 06/03/11 WEIKANG BIO-TECHNOLOGY GROUP CO., INC NV 8.01,9.01 06/07/11 WELLS REAL ESTATE FUND IX LP GA 2.01,9.01 06/02/11 WELLS REAL ESTATE FUND X L P GA 2.01,9.01 06/02/11 WELLS REAL ESTATE FUND XI L P GA 2.01,9.01 06/02/11 WHOLE FOODS MARKET INC TX 5.02,8.01,9.01 06/06/11 WNC HOUSING TAX CREDIT FUND II LP CA 2.02,9.01 06/08/11 XSUNX INC CO 8.01,9.01 06/07/11 YOU ON DEMAND HOLDINGS, INC. NV 1.01,3.02,9.01 06/08/11 ZANETT INC DE 1.01,2.03,9.01 05/20/11 Zyto Corp NV 7.01,9.01 06/08/11