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Commission announcementsSecurities and Exchange Commission Suspends Trading in the Securities of Seven Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 16, 2011, and terminating at 11:59 p.m. EDT on June 29, 2011.
The Commission temporarily suspended trading in the securities of these seven issuers due to a lack of current and accurate information about the companies because seven of the issuers have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Group of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64679) Securities and Exchange Commission Suspends Trading in the Securities of Seven Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on June 16, 2011, and terminating at 11:59 p.m. EDT on June 29, 2011.
The Commission temporarily suspended trading in the securities of these seven issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). 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 these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. 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. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-64681) SEC Provides Guidance and Temporary Relief Regarding Security–Based Swap Provisions of Dodd-Frank ActOn June 15, 2011, the Securities and Exchange Commission provided guidance as to which of the Title VII requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act will apply to security-based swap transactions as of July 16, the effective date of Title VII. It also granted temporary relief to market participants from compliance with certain of these requirements. The guidance issued makes clear that substantially all of Title VII’s requirements applicable to security-based swaps will not go into effect on July 16. The Commission’s action also grants temporary relief from compliance with most of the new Exchange Act requirements that would otherwise apply on July 16. In addition, to enhance the legal certainty provided to market participants, the Commission’s action provides temporary relief from Section 29(b), which generally provides that contracts made in violation of any provision of the Exchange Act shall be void as to the rights of any person who is in violation of the provision. “This is the first step in a series of actions the SEC intends to take in coming days to address effective date issues,” said Robert Cook, Director of the SEC’s Division of Trading and Markets. “Temporarily and to the extent appropriate, our goal is to preserve the pre-Dodd-Frank Act legal framework until we complete the rulemaking tasks and develop a workable implementation plan.” The antifraud and anti-manipulation prohibitions of the federal securities laws will continue to apply to security-based swaps after July 16. Title VII is the portion of the Dodd-Frank Act that establishes a comprehensive framework for regulating over-the-counter derivatives. In particular, it authorizes the Commission to regulate “security-based swaps” while also authorizing the CFTC to regulate other swaps. The portion of Title VII referred to as Subtitle B, which addresses the new regulatory regime for security-based swaps, generally will take effect on July 16 (360 days after the date of the Dodd-Frank Act’s enactment). After proposing all of the key rules under Title VII, the Commission intends to consider seeking public comment on a detailed implementation plan that will permit a rollout of the new securities-based swap requirements in an efficient manner while minimizing unnecessary disruption and costs to the markets. Although the guidance and temporary relief are now in effect, the Commission is seeking input from the public on today’s actions. Public comments should be received by July 6, 2011. A complete list of the Commission’s work implementing the Dodd-Frank Act is available on the SEC website. (Press Rel. 2011-130) Enforcement proceedingsCommission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted separate public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In the Order, the Division of Enforcement (Division) alleges that the respective Respondents are delinquent in their required periodic filings with the Commission. In these proceedings, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceedings will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in the proceedings issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64680; File No. 3-14426) Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with this trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-64682; File No. 3-14427) Commission Revokes Registration of Securities of Dippy Foods, Inc. for Failure to Make Required Periodic FilingsOn June 16, 2011, the Commission revoked the registration of each class of registered securities of Dippy Foods, Inc. (Dippy Foods) 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, Dippy Foods 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 Dippy Foods, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Dippy Foods’ securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Dippy Foods 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:
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. 34-64683; File No. 3-14391) In the Matter of American Resource Technologies, Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in American Resource Technologies, Inc., Admin. Proc. No. 3-14378. 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 Apollo Resources International, Inc., Bloodhound Search Technologies, Inc., Bluestar Health, Inc., Continental Fuels, Inc., and Data Race, Inc. pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondents Columbus Networks Corp. and Ness Energy International, Inc. See American Resource Technologies, Inc., Exchange Act Release Nos. 64548 (May 26, 2011) and 64662 (June 14, 2011), respectively. The proceeding is still ongoing as to Respondents American Resource Technologies, Inc., and Golden Oil Co. (Rel. 34-64684; File No. 3-14378) In the Matter of Saf T Lok Inc.An Administrative Law Judge has issued an Order Making Findings and Revoking Registrations by Default as to Five Respondents (Default Order) in Saf T Lok Inc., Admin. Proc. No. 3-14392. 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 Saf T Lok, Inc., Salesrepcentral.com, Inc., Sames Corp., Scientific Radio Systems, Inc., and SDC International, Inc. pursuant to Section 12(j) of the Securities Exchange Act of 1934. The proceeding has ended as to Respondent Scriptel Holding, Inc. (n/k/a National Community Builders, Inc.). See Saf T Lok, Inc., Exchange Act Release No. 64566 (May 31, 2011). The Division and Respondent Seneca Acquisition Corp. are in settlement negotiations. The proceeding is therefore pending the outcome of those negotiations. (Rel. 34-64685; File No. 3-14392) In the Matter of Adam SmithOn June 16, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings and Imposing Remedial Sanctions (Order) against Adam Smith. The Order finds that, from 2002 until 2009, Smith was employed by Galleon Management, LP (Galleon), a Delaware limited partnership founded in 1997 as a hedge fund investment adviser based in New York, New York. During the relevant time period, Galleon served as the investment adviser for several hedge funds. From 2002 until 2006, Smith was an analyst at Galleon. In 2006, Smith became the portfolio manager with respect to the Galleon Emerging Technology Funds (f/k/a Galleon Communications Funds), hedge funds advised by Galleon. Smith held a Series 7 securities license. On January 26, 2011, the Commission filed a civil action against Smith in SEC v. Adam Smith, Civil Action No. 1:11-CV-0535. The Commission’s complaint alleges that, in connection with the purchase, offer or sale of securities, Smith knew, recklessly disregarded, or should have known, that material non-public information he received from a tipper was disclosed or misappropriated in breach of a fiduciary duty, or similar relationship of trust and confidence, and Smith is liable for trading that occurred at Galleon because he effectuated trades on behalf of Galleon funds he managed and/or unlawfully tipped inside information to the funds he managed. On May 31, 2011, the Court entered an order permanently enjoining Smith, by consent, from future violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. On Jan. 26, 2011, Smith pled guilty to one count of securities fraud and one count of conspiracy to commit securities fraud in violation of 15 U.S.C. §§ 78j(b) and 78ff and 18 U.S.C. § 371 before the United States District Court for the Southern District of New York in United States v. Adam Smith, 11-CR-00079. Based on the above, the Order bars Smith from association with any investment adviser, broker, dealer, municipal securities dealer, or transfer agent. Smith consented to the issuance of the Order, without admitting or denying any of the findings, except he admitted the permanent injunction and criminal conviction (Rel. IA-3216; File No. 3-14428) Self-regulatory organizationsImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by The NASDAQ Stock Market to adopt a Market Order Spread Protection feature (SR-NASDAQ-2011-080) 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 20. (Rel. 34-64667) A proposed rule change filed by C2 Options Exchange to amend its fees schedule concerning the application and collection of the Sales Value fee (SR-C2-2011-013) 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 20. (Rel. 34-64673) A proposed rule change filed by Chicago Board Options Exchange to amend its fees schedule concerning the application and collection of the Sales Value fee (SR-CBOE-2011-054) 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 20. (Rel. 34-64674) A proposed rule change filed by EDGA Exchange (SR-EDGA-2011-18) relating to amendments to the EDGA Exchange Fee Schedule 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 20. (Rel. 34-64675) A proposed rule change, filed by NASDAQ OMX PHLX relating to routing of opening orders (SR-Phlx-2011-80) 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 20. (Rel. 34-64677) Securities Act RegistrationsThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-1 GAIA REMEDIES, INC., 13140 70TH LANE NE, KIRKLAND, WA, 98034,
(425) 224-2471 - 2,157,500 ($86,300.00) Equity, (File 333-174894 -
Jun. 15) (BR. )
N-2 Hercules Clean Technology Capital, Inc., 400 HAMILTON AVENUE,
SUITE 310, PALO ALTO, CA, 94301, (650) 289-3060 -
0 ($1,125,000.00) Equity, (File 333-174895 - Jun. 15) (BR. )
S-4 WireCo WorldGroup Inc., 12200 NW AMBASSADOR DRIVE, KANSAS CITY, MO,
64163, 816-270-4700 - 0 ($425,000,000.00) Non-Convertible Debt,
(File 333-174896 - Jun. 15) (BR. 06)
S-8 MULTI FINELINE ELECTRONIX INC, 3140 E CORONADO ST, STE A, ANAHEIM, CA,
92806, 7142381487 - 1,100,000 ($23,144,000.00) Equity,
(File 333-174898 - Jun. 15) (BR. 03A)
S-8 AMICUS THERAPEUTICS INC, 6 CEDAR BROOK DRIVE, CRANBURY, NJ, 08512,
(609) 662-2000 - 0 ($54,764,338.00) Equity, (File 333-174900 - Jun. 15)
(BR. 01B)
S-1 Real Estate Contacts, Inc., 240 WINDSOR RIDGE #36, NEW CASTLE, PA,
16105, 724-656-8886 - 18,030,000 ($1,803,000.00) Equity,
(File 333-174905 - Jun. 15) (BR. 08)
S-3ASR CMS ENERGY CORP, ONE ENERGY PLAZA, JACKSON, MI, 49201, 5177881031 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-174906 - Jun. 15)
(BR. 02B)
S-8 UFP TECHNOLOGIES INC, 172 EAST MAIN ST, GEORGETOWN, MA, 01833,
5083522200 - 0 ($16,200,000.00) Equity, (File 333-174907 - Jun. 15)
(BR. 06A)
S-3 GRANITE CITY FOOD & BREWERY LTD, 5402 PARKDALE, SUITE 101, MINNEAPOLIS,
MN, 55416, 952-215-0660 - 0 ($25,919,148.96) Equity, (File 333-174908 -
Jun. 15) (BR. 05B)
N-2 Multi-Strategy Growth & Income Fund, 450 WIRELESS BLVD., HAUPPAUGE, NY,
11788, 631-470-2600 - 100,000,000 ($100,000,000.00) Equity,
(File 333-174909 - Jun. 15) (BR. )
S-8 FREDERICK'S OF HOLLYWOOD GROUP INC /NY/, 1115 BROADWAY, NEW YORK, NY,
10010, 2127984700 - 0 ($3,268,660.00) Equity, (File 333-174910 -
Jun. 15) (BR. 09B)
S-8 FIRSTCITY FINANCIAL CORP, 6400 IMPERIAL DRIVE, WACO, TX, 76712,
2547511750 - 0 ($5,692,985.00) Equity, (File 333-174911 - Jun. 15)
(BR. 07A)
S-8 MOLINA HEALTHCARE INC, 200 OCEANGATE, SUITE 100, LONG BEACH, CA, 90802,
5624353666 - 0 ($195,525,000.00) Equity, (File 333-174912 - Jun. 15)
(BR. 01B)
S-8 Interactive Brokers Group, Inc., ONE PICKWICK PLAZA, GREENWICH, CT,
06830, 203-618-5800 - 10,800,000 ($170,640,000.00) Equity,
(File 333-174913 - Jun. 15) (BR. 08B)
S-4 DARLING INTERNATIONAL INC, 251 O CONNOR RIDGE BLVD, STE 300, IRVING,
TX, 75038, 9727170300 - 0 ($250,000,000.00) Non-Convertible Debt,
(File 333-174914 - Jun. 15) (BR. 04B)
S-3ASR TUTOR PERINI Corp, 15901 OLDEN STREET, SYLMAR, CA, 91342,
818-362-8391 - 0 ($0.00) Other, (File 333-174915 - Jun. 15) (BR. 06B)
S-8 ORBCOMM Inc., 2115 LINWOOD AVENUE, SUITE 100, FORT LEE, NJ, 07024,
201-363-4900 - 0 ($16,550,000.00) Equity, (File 333-174916 - Jun. 15)
(BR. 11A)
S-8 OPTICAL CABLE CORP, 5290 CONCOURSE DR, ROANOKE, VA, 24019, 5402650690 -
500,000 ($1,930,000.00) Equity, (File 333-174917 - Jun. 15) (BR. 06A)
S-8 INCYTE CORP, ROUTE 141 & HENRY CLAY ROAD, BUILDING E336, WILMINGTON,
DE, 19880, 3024986700 - 0 ($114,335,000.00) Equity, (File 333-174918 -
Jun. 15) (BR. 01C)
S-8 INCYTE CORP, ROUTE 141 & HENRY CLAY ROAD, BUILDING E336, WILMINGTON,
DE, 19880, 3024986700 - 0 ($17,590,000.00) Equity, (File 333-174919 -
Jun. 15) (BR. 01C)
S-8 IRIS INTERNATIONAL INC, 9158 ETON AVENUE, CHATSWORTH, CA, 91311,
8187091244 - 250,000 ($2,302,500.00) Equity, (File 333-174920 -
Jun. 15) (BR. 10B)
S-8 TARGET CORP, 1000 NICOLLET MALL, MINNEAPOLIS, MN, 55403, 6123046073 -
0 ($1,860,400,000.00) Equity, (File 333-174921 - Jun. 15) (BR. 02B)
S-8 MASTEC INC, 800 S. DOUGLAS ROAD, 12TH FLOOR, CORAL GABLES, FL, 33134,
3055991800 - 1,000,000 ($17,550,000.00) Equity, (File 333-174922 -
Jun. 15) (BR. 06C)
S-8 AMERICAN SCIENTIFIC RESOURCES INC, 1112 WESTON ROAD, UNIT 278, WESTON,
FL, 33326, (847) 386-1384 - 3,000,000 ($750,000.00) Equity,
(File 333-174923 - Jun. 15) (BR. 10A)
S-3D Apollo Commercial Real Estate Finance, Inc.,
C/O APOLLO GLOBAL MANAGEMENT, LLC, 9 WEST 57TH STREET, 43RD FLOOR,
NEW YORK, NY, 10019, (212) 515-3200 - 0 ($31,960,000.00) Equity,
(File 333-174924 - Jun. 15) (BR. 08A)
S-1 Enphase Energy, Inc., 201 1ST STREET SUITE 300, PETALUMA, CA, 94952,
877-797-4743 - 0 ($100,000,000.00) Equity, (File 333-174925 - Jun. 15)
(BR. )
Recent 8K FilingsForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE
NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT
ACETO CORP NY 8.01,9.01 06/15/11
ADOLOR CORP 1.01,1.02,9.01 06/14/11
AES CORP DE 1.01,2.03,9.01 06/15/11
AGILYSYS INC OH 2.02,7.01,9.01 06/15/11
ALIGN TECHNOLOGY INC DE 5.02,9.01 06/13/11
Allegiant Travel CO NV 5.07 06/14/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 06/15/11
Allied World Assurance Co Holdings, A 8.01 06/15/11
ALLSCRIPTS HEALTHCARE SOLUTIONS, INC. DE 7.01,9.01 06/15/11
Ally Auto Assets LLC DE 1.01,8.01,9.01 06/15/11
Alpha Natural Resources, Inc. DE 7.01,9.01 06/15/11
Alphatec Holdings, Inc. DE 5.07 06/09/11
Amarantus BioSciences, Inc. DE 1.01,9.01 06/12/11
AMERICAN BIO MEDICA CORP NY 5.07 06/14/11
American Energy Fields, Inc. DE 5.03 06/14/11
AMERICAN EXPRESS CO NY 7.01 06/15/11
AMERICAN INDEPENDENCE CORP DE 5.07 06/09/11
AMERICAN NATIONAL BANKSHARES INC VA 5.07 06/14/11
AMERICAN VANGUARD CORP DE 5.02,5.07,8.01,9.01 06/09/11
AmeriCredit Automobile Receivables Tr 8.01,9.01 06/15/11
AMFIL TECHNOLOGIES, INC. NY 1.01,5.02 06/15/11
Antero Resources Finance Corp DE 7.01,9.01 06/15/11
AON CORP DE 1.01,1.02,2.03,9.01 06/15/11
APPLE INC CA 5.02 06/12/11
APPLIED MATERIALS INC /DE DC 1.02,8.01 06/13/11
Applied Minerals, Inc. DE 7.01 06/15/11
ARCH COAL INC DE 7.01,9.01 06/15/11
ARGENTEX MINING CORP DE 1.01,3.02,8.01,9.01 06/13/11
ARIBA INC DE 8.01 06/09/11
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 06/15/11
ASHLAND INC. KY 5.02 06/14/11
ASSOCIATED BANC-CORP WI 5.02,8.01,9.01 06/09/11
AUTHENTEC INC DE 5.02,5.07 06/09/11
AUTOZONE INC NV 8.01,9.01 06/14/11
AVEO PHARMACEUTICALS INC DE 1.01,8.01,9.01 06/15/11
AXESSTEL INC NV 1.01,5.02,5.03,9.01 06/09/11
BEHRINGER HARVARD REIT I INC MD 7.01,9.01 06/15/11
BIMINI CAPITAL MANAGEMENT, INC. MD 5.07 06/14/11
BioDrain Medical, Inc. MN 5.02,5.07,7.01,9.01 06/15/11
BIOMIMETIC THERAPEUTICS, INC. DE 5.03,5.05,5.07,8.01, 06/15/11
9.01
BION ENVIRONMENTAL TECHNOLOGIES INC CO 7.01,9.01 06/15/11
BIOVEST INTERNATIONAL INC DE 7.01,9.01 06/15/11
BON TON STORES INC PA 5.07 06/14/11
BOSTON BEER CO INC MA 8.01 06/13/11
BRAINSTORM CELL THERAPEUTICS INC 5.02,5.07,9.01 06/10/11
BROADSOFT INC DE 1.01,2.03,3.02,8.01, 06/14/11
9.01
BUCKEYE TECHNOLOGIES INC DE 5.04,7.01,9.01 06/15/11
CABELAS INC DE 7.01,9.01 06/15/11
CALAVO GROWERS INC CA 1.01,1.02,2.03,9.01 06/10/11
CAMDEN NATIONAL CORP ME 5.02 06/15/11
CAMPBELL FUND TRUST DE 5.02 06/14/11
Campbell Global Trend Fund, L.P. DE 5.02 06/14/11
CAMPBELL STRATEGIC ALLOCATION FUND LP DE 5.02 06/14/11
CAPITAL ONE FINANCIAL CORP DE 7.01,9.01 06/14/11
CARMIKE CINEMAS INC DE 8.01 06/15/11
Carter Validus Mission Critical REIT, MD 1.01 06/13/11
CENTURY PROPERTIES FUND XIV CA 1.01,9.01 06/09/11
CHASE CREDIT CARD MASTER TRUST NY 8.01,9.01 06/15/11
CHEMBIO DIAGNOSTICS, INC. NV 4.01,9.01 06/15/11 AMEND
CHINA AMERICA HOLDINGS, INC. FL 2.01,2.05,5.02,5.07 06/09/11
China Ritar Power Corp. UT 5.02 06/09/11
China XD Plastics Co Ltd NV 8.01,9.01 06/13/11
CHINDEX INTERNATIONAL INC DE 5.07 06/10/11
CITIBANK OMNI-S MASTER TRUST 8.01 06/15/11
CITIGROUP INC DE 9.01 06/15/11
CKE RESTAURANTS INC DE 8.01,9.01 06/14/11
CLARCOR INC DE 2.02 06/14/11
Clarion Partners Property Trust Inc. MD 5.01 06/09/11
CMS ENERGY CORP MI 8.01,9.01 06/15/11
COLLECTIVE BRANDS, INC. DE 5.02,9.01 06/15/11
Complete Production Services, Inc. DE 1.01,2.03,9.01 06/13/11
Constellation Energy Partners LLC DE 7.01,8.01,9.01 06/13/11
Copano Energy, L.L.C. 1.01,2.03,9.01 06/10/11
Copano Energy, L.L.C. 7.01,9.01 06/15/11
CPI AEROSTRUCTURES INC NY 5.02 06/14/11
CPI AEROSTRUCTURES INC NY 5.07 06/15/11
CREDO PETROLEUM CORP DE 8.01,9.01 06/14/11
CYBERONICS INC DE 5.02 06/14/11
DANAHER CORP /DE/ DE 8.01,9.01 06/14/11
DARLING INTERNATIONAL INC DE 2.02,8.01,9.01 06/15/11
DARLING INTERNATIONAL INC DE 2.02,8.01,9.01 06/15/11
Deep Down, Inc. NV 1.01,2.01,9.01 06/09/11
Delanco Bancorp, Inc 2.02,9.01 06/14/11
dELiAs, Inc. DE 5.02,5.07 06/09/11
Discover Financial Services DE 8.01,9.01 06/15/11
Discovery Communications, Inc. DE 8.01,9.01 06/13/11
DOLE FOOD CO INC DE 7.01,9.01 06/14/11
DONEGAL GROUP INC DE 8.01,9.01 06/15/11
DST SYSTEMS INC DE 7.01,9.01 06/13/11
DYNEX CAPITAL INC VA 7.01,9.01 06/15/11
Eagle Bulk Shipping Inc. 8.01 06/14/11
Echo Therapeutics, Inc. DE 5.02 06/13/11
EMAGIN CORP DE 4.01,9.01 06/13/11
ENVIRONMENTAL TECTONICS CORP PA 5.02,9.01 06/15/11
EPOCRATES INC DE 5.02 06/09/11
EQUUS TOTAL RETURN, INC. DE 5.07,8.01,9.01 06/10/11
ESSEX PROPERTY TRUST INC MD 5.07 05/17/11 AMEND
EVERGREEN ENERGY INC DE 5.02,5.07,7.01,9.01 06/15/11
FEDERATED INVESTORS INC /PA/ PA 1.01,2.03 06/10/11
FINISAR CORP DE 2.02,9.01 06/15/11
First Bancorp, Inc /ME/ ME 8.01 06/15/11
FIRST NORTHERN COMMUNITY BANCORP CA 5.07 05/17/11
FNB CORP/FL/ FL 1.01,8.01,9.01 06/15/11
FOSTER WHEELER AG V8 5.02 06/13/11
Freshwater Technologies Inc. NV 3.02 06/06/11
GALECTIN THERAPEUTICS INC NV 8.01,9.01 06/15/11
GASTAR EXPLORATION LTD 1.01,7.01,9.01 06/14/11
Global Geophysical Services Inc DE 5.02,5.07 06/08/11
GLOBECOMM SYSTEMS INC 9.01 04/07/11 AMEND
GOLDMAN SACHS GROUP INC DE 9.01 06/15/11
GRAFTECH INTERNATIONAL LTD DE 8.01 06/13/11
GRAHAM PACKAGING HOLDINGS CO DE 8.01,9.01 06/14/11
Graymark Healthcare, Inc. OK 1.01,7.01,9.01 06/14/11
Great Lakes Dredge & Dock CORP DE 7.01,9.01 06/15/11
GREENMAN TECHNOLOGIES INC DE 1.01,7.01,9.01 06/13/11
GUIDED THERAPEUTICS INC DE 7.01,9.01 06/15/11
HANMI FINANCIAL CORP DE 1.02,8.01,9.01 06/15/11
HARBINGER GROUP INC. DE 5.02,9.01 06/15/11
HARRIS INTERACTIVE INC DE 3.01,5.02 06/13/11
HEALTH CARE REIT INC /DE/ DE 9.01 06/15/11 AMEND
HEALTHSOUTH CORP DE 7.01,9.01 06/13/11
HEMACARE CORP /CA/ CA 4.01,9.01 06/08/11 AMEND
HERITAGE COMMERCE CORP CA 7.01,9.01 06/14/11
HILLS BANCORPORATION IA 5.07 06/14/11 AMEND
HOSPITALITY PROPERTIES TRUST MD 1.01,9.01 06/14/11
HOUSTON AMERICAN ENERGY CORP DE 5.07 06/13/11
HSBC Finance Corp 8.01 06/15/11
HUMANA INC DE 7.01,9.01 06/15/11
IHS Inc. DE 7.01,9.01 06/15/11
IKANOS COMMUNICATIONS CA 5.02,9.01 06/14/11
IMMUCOR INC GA 5.02,9.01 06/09/11
inContact, Inc. DE 1.01,3.02,7.01,9.01 06/14/11
INDEPENDENCE HOLDING CO DE 5.07 06/09/11
India Globalization Capital, Inc. MD 4.02,9.01 06/09/11
INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,2.03,3.02,9.01 06/09/11
INTEGRATED DEVICE TECHNOLOGY INC DE 5.02,9.01 06/09/11
INTEGRATED FREIGHT Corp FL 3.02 05/31/11
IVANHOE ENERGY INC 3.02 06/09/11
JACK IN THE BOX INC /NEW/ DE 7.01,9.01 06/15/11
Janus Resources, Inc. NV 1.01,7.01,9.01 06/14/11
JBI, INC. NV 8.01,9.01 06/14/11
JBI, INC. NV 5.07 06/11/11
JOHNSON & JOHNSON NJ 8.01,9.01 06/15/11
KAPSTONE PAPER & PACKAGING CORP DE 7.01,9.01 06/15/11
KBW, INC. 5.07,7.01 06/13/11
KeyOn Communications Holdings Inc. DE 2.01,2.03,3.02,7.01, 06/10/11
9.01
KILLBUCK BANCSHARES INC OH 8.01,9.01 06/15/11
KIMBERLY CLARK CORP DE 5.02,9.01 06/15/11
KORN FERRY INTERNATIONAL DE 2.02,9.01 06/15/11
KRISPY KREME DOUGHNUTS INC NC 5.07 06/14/11
LABRANCHE & CO INC DE 5.07 06/15/11
Lawson Software, Inc. DE 2.02,9.01 06/15/11
LENCO MOBILE INC. DE 5.07,7.01,9.01 06/15/11
LIFEWAY FOODS INC IL 8.01 06/15/11
LINCOLN NATIONAL CORP IN 1.01,1.02,9.01 06/10/11
LML PAYMENT SYSTEMS INC A1 2.02,7.01,9.01 06/14/11
LTS Nutraceuticals, Inc. NV 1.01,9.01 06/13/11
LYRIS, INC. 5.07 06/07/11
LYRIS, INC. 7.01,9.01 06/15/11
Magnolia Solar Corp NV 7.01,9.01 06/15/11
MAKEMUSIC, INC. MN 5.02,8.01,9.01 06/13/11
MASIMO CORP DE 7.01,9.01 06/15/11
MEDICAL PROPERTIES TRUST INC 8.01,9.01 06/15/11
MEDTOX SCIENTIFIC INC DE 5.07,8.01,9.01 06/09/11
MERA PHARMACEUTICALS INC DE 4.01,9.01 06/10/11
MERCADOLIBRE INC 5.07 06/14/11
MERGE HEALTHCARE INC DE 1.01,3.03,8.01,9.01 06/14/11
MIDCAROLINA FINANCIAL CORP NC 5.07 06/14/11
Mojo Ventures, Inc. DE 4.01,9.01 06/09/11 AMEND
MORRIS PUBLISHING GROUP LLC GA 8.01 06/13/11
MOSAIC CO 5.02 06/09/11
NATURAL ALTERNATIVES INTERNATIONAL IN DE 1.01 06/09/11
NATURAL RESOURCE PARTNERS LP DE 2.03,9.01 06/15/11
NET TALK.COM, INC. FL 2.03,9.01 06/15/11
NETWORK ENGINES INC DE 5.02 06/09/11
NEWPARK RESOURCES INC DE 5.07,9.01 06/09/11
NEXT FUEL, INC. NV 3.02,9.01 06/14/11
NORWOOD FINANCIAL CORP PA 8.01,9.01 06/15/11
NOVELLUS SYSTEMS INC CA 5.02,9.01 06/09/11
NTS REALTY HOLDINGS LP DE 8.01,9.01 06/14/11
Oneida Financial Corp. MD 8.01,9.01 06/15/11
ONLINE DISRUPTIVE TECHNOLOGIES, INC. NV 4.01,9.01 06/01/11
ORIENT EXPRESS HOTELS LTD D0 5.03,9.01 06/09/11 AMEND
OWENS ILLINOIS INC /DE/ DE 7.01,9.01 06/15/11
PACIFIC CAPITAL BANCORP /CA/ DE 4.01,5.02,9.01 06/09/11
PARKWAY PROPERTIES INC MD 8.01,9.01 06/14/11
PARTNERRE LTD 3.03,5.03,8.01,9.01 06/15/11
Pebblebrook Hotel Trust MD 7.01,8.01,9.01 06/15/11
PENN NATIONAL GAMING INC PA 5.02,5.07,8.01,9.01 06/09/11
PEOPLES BANCORP INC OH 7.01,9.01 06/15/11
PEP BOYS MANNY MOE & JACK PA 5.02,5.07,7.01,9.01 06/15/11
PEPSICO INC NC 1.01,1.02,2.03,8.01, 06/14/11
9.01
PINNACLE BANKSHARES CORP VA 5.02 06/14/11 AMEND
POLAR WIRELESS CORP. NV 5.02 06/14/11
Portage Resources Inc. NV 3.02,5.01,5.02 06/14/11
Portlogic Systems Inc. NV 9.01 06/10/11
POTOMAC BANCSHARES INC WV 8.01 06/15/11
POWERSECURE INTERNATIONAL, INC. DE 5.07 06/13/11
PRESSURE BIOSCIENCES INC MA 3.01,9.01 06/13/11
PROASSURANCE CORP DE 7.01,9.01 06/14/11
Protalix BioTherapeutics, Inc. FL 8.01,9.01 06/15/11
QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,3.02,3.03,9.01 06/14/11
R & A Productions, Inc. NV 5.03,9.01 06/15/11
RADIAN GROUP INC DE 5.02 06/09/11
RAM ENERGY RESOURCES INC DE 1.01,9.01 06/10/11
REGAL ENTERTAINMENT GROUP DE 5.02 06/10/11
REGENERON PHARMACEUTICALS INC NY 5.02,5.07 06/14/11
RIGHTNOW TECHNOLOGIES INC MT 5.02,5.07 06/10/11
RLI CORP IL 8.01 06/09/11
ROSTOCK VENTURES CORP NV 1.01,3.02,9.01 06/14/11
RPM Dental, Inc. DE 7.01,9.01 06/14/11
Rubicon Technology, Inc. DE 7.01,9.01 06/15/11
rue21, inc. DE 5.07 06/10/11
RURAL ELECTRIC COOPERATIVE GRANTOR TR NY 8.01,9.01 06/15/11
RVUE HOLDINGS, INC. NV 5.02,8.01,9.01 05/16/11
SAGA COMMUNICATIONS INC DE 1.01,1.02,2.03,8.01, 06/13/11
9.01
SALESFORCE COM INC DE 5.07,8.01 06/09/11
SAN DIEGO GAS & ELECTRIC CO CA 5.07 06/10/11
SCRIPPS E W CO /DE OH 5.02,9.01 06/13/11
ServisFirst Bancshares, Inc. DE 4.01 06/15/11
SI Financial Group, Inc. 5.02 06/15/11
SI Financial Group, Inc. 5.07 05/11/11 AMEND
SIEBERT FINANCIAL CORP NY 5.07 06/13/11
SINOBIOMED INC DE 3.02,5.02,7.01,9.01 06/09/11
SkyShop Logistics, Inc. NV 5.02 06/14/11
Somaxon Pharmaceuticals, Inc. DE 7.01,9.01 06/15/11
SPARK NETWORKS INC X0 5.07 06/14/11
SPECTRUM PHARMACEUTICALS INC DE 2.04,3.02,5.02,5.07, 06/10/11
7.01,9.01
SPHERIX INC DE 7.01,9.01 06/15/11
STAGE STORES INC NV 5.07 06/09/11
STAGE STORES INC NV 8.01,9.01 06/13/11
STAMPS.COM INC DE 8.01 06/15/11
STARTEK INC DE 8.01 06/15/11
STEIN MART INC FL 5.02,5.07,7.01,9.01 06/14/11
STERLING GROUP VENTURES INC NV 8.01,9.01 06/15/11
SUBAYE, INC. 8.01 06/14/11
SUN RIVER ENERGY, INC CO 7.01 06/15/11
SUNPOWER CORP DE 2.03,2.05,3.03,5.01, 06/09/11
5.03,8.01,9.01
SunSi Energies Inc. NV 1.01,9.01 06/13/11
Symmetry Medical Inc. DE 8.01,9.01 06/14/11
SYNTA PHARMACEUTICALS CORP 1.01 06/09/11
TALEO CORP DE 9.01 04/01/11 AMEND
TAPIMMUNE INC NV 7.01 06/15/11
TBS International plc L2 5.07 06/09/11
TCF FINANCIAL CORP DE 5.02 06/15/11
TearLab Corp DE 8.01 06/13/11
TNP Strategic Retail Trust, Inc. MD 9.01 03/30/11 AMEND
TOLL BROTHERS INC DE 5.07 06/15/11 AMEND
TOOTSIE ROLL INDUSTRIES INC VA 5.07 05/02/11 AMEND
TORCH ENERGY ROYALTY TRUST DE 1.01,8.01,9.01 06/13/11
TRANSATLANTIC HOLDINGS INC DE 8.01 06/14/11
TRANSCAT INC OH 8.01,9.01 06/09/11
Triangle Capital CORP MD 5.07 06/15/11 AMEND
Triangle Petroleum Corp NV 7.01,8.01,9.01 06/13/11
TRUSTCO BANK CORP N Y NY 8.01,9.01 06/15/11
TRX INC/GA GA 1.01 06/09/11
TUESDAY MORNING CORP/DE DE 7.01,9.01 06/15/11
U S GOLD CORP CO 7.01,9.01 06/14/11
UMPQUA HOLDINGS CORP OR 8.01,9.01 06/15/11
UNITED CAPITAL CORP /DE/ DE 5.07 06/14/11
UNITED INSURANCE HOLDINGS CORP. DE 5.07 06/15/11
UNITED STATIONERS INC DE 5.02,9.01 06/10/11
UNIVERSAL HEALTH SERVICES INC DE 5.02,9.01 06/14/11
UTG INC 5.07 06/15/11
UTi WORLDWIDE INC D8 5.07 06/13/11
VALHI INC /DE/ DE 7.01,9.01 06/15/11
VIROPHARMA INC DE 8.01,9.01 06/15/11
VISTEON CORP DE 7.01,9.01 06/15/11
VITAL IMAGES INC MN 3.01 06/09/11
Voyager Oil & Gas, Inc. DE 5.02 06/10/11
VSB BANCORP INC NY 8.01 06/15/11
Vulcan Materials CO NJ 9.01 06/14/11
W&T OFFSHORE INC TX 1.01,2.03,7.01,9.01 06/10/11
WASHINGTON TRUST BANCORP INC RI 5.02 06/13/11
WIRELESS TELECOM GROUP INC NJ 5.07 06/14/11
WORLD FINANCIAL NETWORK CREDIT CARD M DE 1.01,9.01 06/15/11
World Surveillance Group Inc. DE 5.05,9.01 06/15/11
XO HOLDINGS INC DE 7.01,9.01 06/15/11
YOUNG INNOVATIONS INC MO 8.01 06/15/11
ZAP COM CORP NV 5.02 06/15/11
http://www.sec.gov/news/digest/2011/dig061611.htm
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