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SEC News Digest
Issue 2011-156
August 12, 2011
Commission Announcements
SEC’s New Whistleblower Program Takes Effect Today
New Webpage Launched to Help People Report Violations, Apply for Awards
With its new whistleblower program officially becoming effective today, the Securities and Exchange Commission today launched a new webpage for people to report a violation of the federal securities laws and apply for a financial award.
The Dodd-Frank Wall Street Reform and Consumer Protection Act provided the SEC with the authority to pay financial rewards to whistleblowers who provide new and timely information about any securities law violation. Among other things, to be eligible, the whistleblower’s information must lead to a successful SEC enforcement action with more than $1 million in monetary sanctions.
The SEC’s new webpage at www.sec.gov/whistleblower includes information on eligibility requirements, directions on how to submit a tip or complaint, instructions on how to apply for an award, and answers to frequently asked questions.
“Early and quick law enforcement action is the key to preventing securities fraud and avoiding investor losses, and the whistleblower program gives us the tools to help achieve that goal,” said Robert Khuzami, Director of the SEC’s Division of Enforcement.
Sean McKessy, Chief of the SEC’s Office of the Whistleblower, added, “Securities fraud is not a victimless crime. That’s why it is so important for people to step forward when they witness an ongoing securities fraud or learn about one that has taken place or is about to occur. Our new whistleblower award program makes it easier for people to take that step.”
The SEC’s new whistleblower program strengthens the SEC’s ability to protect investors in several ways:
- Better Tips: Over the past several months, the SEC has seen an increase in the quality of tips that it has been receiving from individuals since Congress created the program.
- Timely Tips: Potential whistleblowers are incentivized to come forward sooner rather than later with “timely” information not yet known to the SEC.
- Maximizes Outside Resources: With fewer than 4,000 employees to regulate more than 35,000 entities, the SEC cannot be everywhere at all times. With a robust whistleblower program, the SEC is more likely to find and deter wrongdoing at firms it may not have otherwise uncovered&
- New Protections Against Retaliation: Employees who come forward are provided with new tools to protect themselves against employers who retaliate.
- Bolsters Internal Compliance: The new rules provide significant incentives for employees to report any wrongdoing to their company’s internal compliance department before coming to the SEC. Therefore, companies that would prefer their employees report internally first are incentivized to a have credible, effective compliance program in place.
The SEC adopted final rules on May 25 to implement the Dodd-Frank whistleblower program. Individuals wishing to be considered for an award under the Whistleblower Program are required to submit an online questionnaire or the newly approved Form-TCR.
Prior to the enactment of the Dodd-Frank Act, the SEC only had authority to reward whistleblowers in insider trading cases. (Press Rel. 2011-167)
David Woodcock Named Director of SEC Fort Worth Regional Office
The Securities and Exchange Commission today announced that David Woodcock has been named Regional Director of the SEC’s Fort Worth Regional Office. He will begin working at the agency in mid-September.
Mr. Woodcock joins the SEC from the law firm of Vinson & Elkins LLP, where he has been a litigation partner in the firm’s Austin office with a practice focusing on securities and commercial litigation, internal corporate investigations, complex accounting and auditing issues, and antitrust matters. Mr. Woodcock also has significant appellate experience. Prior to his legal career, Mr. Woodcock practiced public accounting for several years at Price Waterhouse LLP and Ernst & Young LLP.
David is a tremendous talent who brings impressive legal and managerial skills with him to his new position as the head of our Fort Worth Regional Office,” said Robert Khuzami, Director of the SEC’s Division of Enforcement. “The combination of David’s experience in law and public accounting, along with his sound judgment and outstanding work ethic, make him the ideal candidate to lead the Fort Worth Regional Office into the future.”
Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations, said, “David is exceptionally qualified for this position. He will be a tremendous asset to the SEC’s oversight of securities firms in the Fort Worth region and nationally.”
Mr. Woodcock said, “I am honored and pleased to have been chosen as the SEC’s Regional Director in Fort Worth. I know from personal experience that the lawyers and examiners in the Fort Worth office are enormously talented, dedicated, and committed. I look forward to working with them to further the SEC’s mission of investor protection and ensuring fair and orderly markets.”
As Regional Director, Mr. Woodcock will oversee the Fort Worth office’s enforcement and examination activities in Texas, Oklahoma, and Arkansas as well as the office’s enforcement activities in Kansas. Mr. Woodcock succeeds Rose Romero as Regional Director. She departed the SEC in March.
Mr. Woodcock earned his bachelor’s degree in accounting from Louisiana State University in 1992, and a JD from the University of Texas School of Law in 2000. He served as a law clerk for the Honorable Howell Cobb of the U.S. District Court for the Eastern District of Texas. (Press Rel. 2011-168)
Enforcement Proceedings
Initial Decision Revoking Registration of Securities Issued By the Sentex Sensing Technology, Inc. Declared Final
The Commission has declared final the decision of an administrative law judge revoking, pursuant to Section 12(j) of the Securities Exchange Act of 1934, the registration of all classes of securities of Sentex Sensing Technology, Inc. (Sentex). The law judge found that Sentex had not filed any periodic reports since it filed a Form 10-QSB for the period ended August 31, 2007. (Rel. 34-65121; File No. 3-14319)
In the Matter of Daniel Cohen
On August 12, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against Daniel Cohen, a resident of California, based on the entry of a permanent injunction against him in the civil action entitled Securities and Exchange Commission v. Delta Onshore Management, LLC, et al., Civil Action No. 08-1278 MLB in the United States District Court for the District of Kansas, Wichita Division.
In the Order, the Commission finds that, on March 22, 2011, an agreed permanent injunction was entered against Cohen, permanently enjoining him from future violations of Sections 5(a) and 5(c) of the Securities Act of 1933 and Section 15(a)(1) of the Securities Exchange Act of 1934. The Commission further finds in the Order that the Commission filed a Complaint against Cohen, alleging that from early February 2008 through approximately August 2008, he participated in an unregistered securities offering in which approximately $2.8 million was raised from investors from the sale of interests in a purported oil-and-gas equipment leasing joint venture. According to the Complaint, Cohen, along with two other defendants, supervised two sales offices which offered and sold interests in the venture on a commission basis.
Based on the above, the Order bars Cohen from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization; the Order also bars Cohen from participating in any offering of a penny stock. In consenting to the entry of the Order, Cohen admitted the Order’s finding as to the entry of the injunction against him and its findings that the Commission has jurisdiction over him and over the matters set forth in the Order; Cohen did not, however, admit any of the other findings in the Order. (Rel. 34-65123; File No. 3-14504)
In the Matter of Robert A. Bellia, Jr.
On August 12, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 (Order) against Robert A. Bellia, Jr. The Order imposes a permanent collateral bar, a penny stock bar, and disgorgement in the amount of $5,959 and prejudgment interest of $901.40, but waives payment of such amount, and not imposing a civil penalty based upon Bellia’s sworn representations in his Statement of Financial Condition dated November 17, 2010 and other documents submitted to the Commission.
In the Order, the Commission found that from June 2007 until August 2009, Bellia was registered with Aura Financial Services, Inc. (Aura), a Birmingham, Alabama-based corporation who was registered with the Commission as a broker-dealer from February 1997 until February 2010. Bellia owned Aura’s branch office in Islandia, New York, and served as its branch manager until January 2009. From January 2008 through December 2008, Bellia failed reasonably to supervise two former Aura registered representatives by failing to follow up on red flags of potential churning in certain customer accounts. If Bellia had reasonably followed-up on the red flags of high trading in the accounts of the RRs, it is likely that he would have prevented or detected the RRs’ violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Bellia consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-65124; File No. 3-14069)
Investment Company Act Releases
Northern Trust Investments, N.A., et al.
A notice has been issued giving interested persons until September 2, 2011, to request a hearing on an application filed by Northern Trust Investments, N.A., et al., for an order to permit: (a) series of certain open-end management investment companies or series thereof to issue shares (Shares) redeemable in large aggregations only (Creation Units); (b) secondary market transactions in Shares to occur at negotiated market prices; (c) certain series to pay redemption proceeds, under certain circumstances, more than seven days after the tender of Shares for redemption; (d) certain affiliated persons of the series to deposit securities into, and receive securities from, the series in connection with the purchase and redemption of Creation Units; and (e) certain registered management investment companies and unit investment trusts outside of the same group of investment companies as the series to acquire Shares. The order would supersede a prior order. (Rel. IC-29752 – August 10)
Self-Regulatory Organizations
The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-Phlx-2011-102) filed by the NASDAQ OMX PHLX under Rule 19b-4 of the Securities Exchange Act of 1934 relating to options on ETFS Gold Trust. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65098)
The Commission issued notice of filing and immediate effectiveness of proposed rule change (SR-NASDAQ-2011-109) filed by the NASDAQ Stock Market under Rule 19b-4 of the Securities Exchange Act of 1934 relating to options on ETFS Gold Trust. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65099)
A proposed rule change filed by Financial Industry Regulatory Authority to amend FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (SR-FINRA-2011-039) has become immediately 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 August 15. (Rel. 34-65101)
A proposed rule change filed by NYSE Amex amending NYSE Amex Equities Rule 128 so that clearly erroneous executions involving securities recently added to the individual security trading pause pilot under NYSE Amex Equities Rule 80C continue to be resolved in the same manner before being added to the pilot (SR-NYSEAmex-2011-60) 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 August 15. (Rel. 34-65102)
A proposed rule change filed by Chicago Board Options Exchange related to the CBSX clearly erroneous policy pilot program (SR-CBOE-2011-078) 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 August 15. (Rel. 34-65103)
A proposed rule change filed by The NASDAQ Stock Market to amend the clearly erroneous rule in light of changes to the single stock trading pause process (SR-NASDAQ-2011-116) 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 August 15. (Rel. 34-65104)
A proposed rule change filed by NASDAQ OMX BX to amend the clearly erroneous rule in light of changes to the single stock trading pause process (SR-BX-2011-056) 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 August 15. (Rel. 34-65105)
A proposed rule change filed by NYSE Arca amending NYSE Arca Equities Rule 7.10 so that clearly erroneous executions involving securities recently added to the individual security trading pause pilot under NYSE Arca Equities Rule 7.11 continue to be resolved in the same manner before being added to the pilot (SR-NYSEArca-2011-58) 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 August 15. (Rel. 34-65107)
A proposed rule change filed by the International Securities Exchange to amend ISE Rule 2128 (SR-ISE-2011-53) 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 August 15. (Rel. 34-65108)
A proposed rule change filed by EDGX Exchange to amend EDGX Rule 11.13 (SR-EDGX-2011-25) 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 August 15. (Rel. 34-65109)
A proposed rule change filed by EDGA Exchange to amend EDGA Rule 11.13 (SR-EDGA-2011-26) 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 August 15. (Rel. 34-65110)
A proposed rule change filed by New York Stock Exchange amending NYSE Rule 128 so that clearly erroneous executions involving securities recently added to the individual security trading pause pilot under NYSE Rule 80C continue to be resolved in the same manner before being added to the pilot (SR-NYSE-2011-42) 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 August 15. (Rel. 34-65111)
Approval of Proposed Rule Changes
The Commission approved a proposed rule change (SR-ISE-2011-33) submitted pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 by the International Securities Exchange relating to appointments to Competitive Market Makers. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65100)
The Commission granted approval of a proposed rule change (SR-CBOE-2011-055) submitted by Chicago Board Options Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 to trade options on the CBOE Silver ETF Volatility Index. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65116)
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-8 America's Suppliers, Inc., 7575 E. REDFIELD ROAD, SUITE #201,,
SCOTTSDALE, AZ, 85260, 5103603700 - 2,000,000 ($340,000.00) Equity,
(File 333-176223 - Aug. 11) (BR. 03C)
S-8 SIFCO INDUSTRIES INC, 970 E 64TH ST, CLEVELAND, OH, 44103, 2168818600 -
350,000 ($6,366,500.00) Equity, (File 333-176224 - Aug. 11) (BR. 05C)
S-1 UEG-Green Energy Solutions/Alberta, Inc., 2 BLOOR STREET WEST,
SUITE 735, TORONTO, A6, M4W 3R1, 416-942-5068 -
16,600,000 ($166,000.00) Equity, (File 333-176226 - Aug. 11) (BR. )
N-2 FSI Low Beta Absolute Return Fund, TEI, 3205 SOUTH BOSTON, SUITE 1130,
TULSA, OK, 74103, 918-585-5858 - 10,000 ($1,000,000.00) Equity,
(File 333-176227 - Aug. 11) (BR. 18)
S-4 AEP INDUSTRIES INC, 125 PHILLIPS AVE, SOUTH HACKENSACK, NJ, 07606,
2016416600 - 0 ($200,000,000.00) Non-Convertible Debt,
(File 333-176228 - Aug. 11) (BR. 06C)
N-2 Cohen & Steers Global Power & Utility Fund, Inc., 280 PARK AVENUE,
NEW YORK, NY, 10017, 800-330-7348 - 50,000 ($1,000,000.00) Equity,
(File 333-176230 - Aug. 11) (BR. )
S-8 US HOME SYSTEMS INC, 405 STATE HIGHWAY 121 BYPASS,
BUILDING A, SUITE 250, LEWISVILLE, TX, 75067, 2144886300 -
0 ($2,425,000.00) Equity, (File 333-176231 - Aug. 11) (BR. 06B)
S-8 SVB FINANCIAL GROUP, 3003 TASMAN DR, SANTA CLARA, CA, 95054,
4086547400 - 921,823 ($42,182,620.48) Equity, (File 333-176232 -
Aug. 11) (BR. 07A)
S-8 MIDDLEBY CORP, 1400 TOASTMASTER DRIVE, ELGIN, IL, 60120, 8477413300 -
550,000 ($39,644,000.00) Equity, (File 333-176233 - Aug. 11) (BR. 06A)
S-8 ARUBA NETWORKS, INC., 1344 CROSSMAN AVE., SUNNYVALE, CA, 94089,
408-227-4500 - 0 ($137,540,758.62) Equity, (File 333-176234 - Aug. 11)
(BR. 03C)
S-4 QUEPASA CORP, 324 DATURA STREET, SUITE 114, WEST PALM BEACH, FL, 33401,
561-491-4181 - 10,830,086 ($8,162.00) Equity, (File 333-176235 -
Aug. 11) (BR. 11A)
S-3ASR DSW Inc., 810 DSW DRIVE, COLUMBUS, OH, 43219, (614) 237-7100 -
753,185 ($33,170,267.40) Equity, (File 333-176236 - Aug. 11) (BR. 09B)
S-8 IXIA, 26601 W AGOURA RD, CALABASAS, CA, 91302, 8188711800 -
7,950,000 ($68,378,250.00) Equity, (File 333-176237 - Aug. 11) (BR. 10B)
S-8 EURONET WORLDWIDE INC, 3500 COLLEGE BOULEVARD, LEAWOOD, KS, 66211,
913-327-4200 - 500,000 ($6,375,000.00) Equity, (File 333-176238 -
Aug. 11) (BR. 07C)
S-8 RENTECH INC /CO/, 10877 WILSHIRE BLVD, #710, LOS ANGELES, CA, 90024,
310-571-9800 - 125,000 ($118,750.00) Equity, (File 333-176239 -
Aug. 11) (BR. 05C)
S-8 AMGEN INC, ONE AMGEN CENTER DRIVE, MAIL STOP 24-1-B, THOUSAND OAKS, CA,
91320-1799, (805)313-1762 - 0 ($9,802,000.00) Equity,
(File 333-176240 - Aug. 11) (BR. 01A)
S-8 HEALTH NET INC, 21650 OXNARD ST, WOODLAND HILLS, CA, 91367,
8186766000 - 0 ($10,950,000.00) Equity, (File 333-176241 - Aug. 11)
(BR. 01B)
S-8 VERIFONE SYSTEMS, INC., 2099 GATEWAY PLACE, SUITE 600, SAN JOSE, CA,
95110, (408) 232-7800 - 6,000,000 ($208,800,000.00) Equity,
(File 333-176242 - Aug. 11) (BR. 03B)
S-3ASR GENERAL MILLS INC, NUMBER ONE GENERAL MILLS BLVD, MINNEAPOLIS, MN,
55426, (763) 764-7600 - 2,000,000 ($72,160,000.00) Equity,
(File 333-176243 - Aug. 11) (BR. 04A)
S-3 PROGENICS PHARMACEUTICALS INC, 777 OLD SAW MILL RIVER ROAD, TARRYTOWN,
NY, 10591, 9147892800 - 0 ($100,000,000.00) Equity, (File 333-176244 -
Aug. 11) (BR. 01B)
S-3ASR Spectra Energy Partners, LP, 5400 WESTHEIMER COURT, HOUSTON, TX, 77056,
713-627-5400 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-176245 - Aug. 11) (BR. 02A)
S-8 DUNKIN' BRANDS GROUP, INC., 130 ROYALL STREET, CANTON, MA, 02021,
7817374516 - 0 ($204,591,068.00) Equity, (File 333-176246 - Aug. 11)
(BR. 05A)
S-8 ACCO BRANDS CORP, 300 TOWER PARKWAY, LINCOLNSHIRE, IL, 60069,
847-484-4800 - 5,265,000 ($39,434,850.00) Equity, (File 333-176247 -
Aug. 11) (BR. 05A)
S-1 Task Technologies, Inc., 1971 E BELTLINE AVE., NE STE. 217,
GRAND RAPIDS, MI, 49525, 616-421-8200 - 700,750 ($140,150.00) Equity,
(File 333-176248 - Aug. 11) (BR. )
S-8 INTERMUNE INC, 3280 BAYSHORE, BLVD, BRISBANE, CA, 94005, 415 466 2200 -
1,950,000 ($41,632,500.00) Equity, (File 333-176249 - Aug. 11) (BR. 01A)
S-8 DOT HILL SYSTEMS CORP, 1351 S. SUNSET STREET, LONGMONT, CO, 80501,
303-845-3200 - 8,000,000 ($12,560,000.00) Equity, (File 333-176250 -
Aug. 11) (BR. 03B)
Recent 8K Filings
Form 8-K is used by companies to file current reports on the following events:
1.01
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Entry into a Material Definitive Agreement
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1.02
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Termination of a Material Definitive Agreement
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1.03
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Bankruptcy or Receivership
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2.01
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Completion of Acquisition or Disposition of Assets
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2.02
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Results of Operations and Financial Condition
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2.03
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Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
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2.04
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Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
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2.05
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Cost Associated with Exit or Disposal Activities
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2.06
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Material Impairments
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3.01
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
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3.02
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Unregistered Sales of Equity Securities
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3.03
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Material Modifications to Rights of Security Holders
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4.01
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Changes in Registrant's Certifying Accountant
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4.02
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Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review
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5.01
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Changes in Control of Registrant
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5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer
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5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
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5.04
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Temporary Suspension of Trading Under Registrant's Employee Benefit Plans
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5.05
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Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics
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5.06
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Change in Shell Company Status
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6.01
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ABS Informational and Computational Material.
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6.02
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Change of Servicer or Trustee.
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6.03
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Change in Credit Enhancement or Other External Support.
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6.04
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Failure to Make a Required Distribution.
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6.05
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Securities Act Updating Disclosure.
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7.01
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Regulation FD Disclosure
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8.01
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Other Events
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9.01
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Financial Statements and Exhibits
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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
11 GOOD ENERGY INC DE 1.01,8.01,9.01 07/11/11 AMEND
21ST CENTURY HOLDING CO FL 2.02,9.01 08/11/11
ABINGTON BANCORP, INC./PA 8.01,9.01 08/11/11
ACADIA REALTY TRUST MD 5.07 05/10/11 AMEND
ADA-ES INC CO 2.02,9.01 08/11/11
ADCARE HEALTH SYSTEMS INC OH 2.02,9.01 08/11/11
ADPT Corp DE 5.02 08/09/11
ADVANT E CORP DE 2.02,9.01 08/11/11
AFFYMAX INC DE 8.01,9.01 08/10/11
AG Mortgage Investment Trust, Inc. MD 8.01,9.01 08/11/11
AGENUS INC DE 1.01,9.01 08/10/11
AIR LEASE CORP DE 2.02,9.01 08/11/11
AMBASSADORS GROUP INC DE 5.07 08/11/11 AMEND
AMC Networks Inc. DE 2.02,9.01 08/11/11
AMERICAN AIRLINES INC DE 8.01 08/11/11
AMERICAN APPAREL, INC DE 2.02,9.01 08/08/11
AMERICAN LEARNING Corp NY 2.02,9.01 08/11/11
AMERICAN PACIFIC CORP DE 2.02,9.01 08/11/11
AMERICAN POWER CORP. NV 1.01,3.02,9.01 08/09/11
American Renal Associates Holdings, I DE 2.02,7.01,9.01 08/11/11
American Renal Holdings Inc. DE 2.02,7.01,9.01 08/11/11
AMERICAN RIVER BANKSHARES CA 7.01,9.01 08/11/11
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 2.02,2.05,9.01 08/11/11
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 5.02 08/08/11
AMERICAS CARMART INC TX 5.02 08/10/11
AMR CORP DE 8.01 08/11/11
Anacor Pharmaceuticals Inc DE 2.02,9.01 08/11/11
ante5, Inc. DE 1.01,9.01 08/09/11
AOL Inc. DE 7.01,9.01 08/11/11
Apple REIT Eight, Inc. VA 8.01 08/09/11
Apple REIT Ten, Inc. VA 2.01,9.01 08/09/11
ARBITRON INC DE 5.02,9.01 08/10/11
ARENA PHARMACEUTICALS INC DE 8.01 08/09/11
ATLANTIC AMERICAN CORP GA 2.02,9.01 08/11/11
Atlantic Coast Financial CORP MD 3.01,5.02 08/11/11
AURA SYSTEMS INC DE 5.02 08/05/11
AUTONATION, INC. DE 7.01 08/05/11
Bacterin International Holdings, Inc. DE 2.02,9.01 08/11/11
BAKER HUGHES INC DE 8.01,9.01 08/10/11
BANK OF NEW ENGLAND CORP MA 1.03 07/30/11
BG Medicine, Inc. DE 2.02,8.01,9.01 08/11/11
BIOLIFE SOLUTIONS INC DE 1.01 08/10/11
BLACK BOX CORP DE 5.07 08/09/11
BLUE RIDGE REAL ESTATE CO PA 5.02 08/05/11
BLUEFLY INC DE 2.02,9.01 08/11/11
BODY CENTRAL CORP 2.02,9.01 08/11/11
BofI Holding, Inc. DE 2.02,7.01,9.01 08/11/11
Book Merge Technology, Inc. NV 1.01,2.01,3.02,5.01, 08/05/11 AMEND
5.02,5.06,9.01
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.02,9.01 08/11/11
BRIGGS & STRATTON CORP WI 2.02,9.01 08/11/11
BRINKER INTERNATIONAL INC DE 1.01,2.02,2.03,9.01 08/09/11
BROADRIDGE FINANCIAL SOLUTIONS, INC. DE 2.02,8.01,9.01 08/11/11
Burger King Holdings Inc DE 2.02,9.01 08/11/11
C H ROBINSON WORLDWIDE INC DE 8.01,9.01 08/11/11
CALL NOW INC FL 2.04,8.01 08/01/11
CAMPBELL FUND TRUST DE 3.02 08/11/11
CAPITOL BANCORP LTD MI 2.02,9.01 08/11/11
CECO ENVIRONMENTAL CORP DE 2.02,9.01 08/11/11
CELL THERAPEUTICS INC WA 7.01,9.01 08/11/11
CENTRAL FEDERAL CORP DE 1.01,8.01,9.01 08/08/11
CENTURY ALUMINUM CO DE 8.01,9.01 08/11/11
CENVEO, INC CO 2.02,9.01 08/10/11
CHECKPOINT SYSTEMS INC PA 7.01,9.01 08/11/11
China Chemical Corp. DE 5.02 07/29/11
China Direct Industries, Inc. FL 1.01,7.01,9.01 08/08/11
China Green Lighting Ltd 4.01,9.01 08/08/11
CHINA HOLDINGS GROUP INC NV 5.02 03/01/11
CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01,9.01 08/11/11
CHINA VALVES TECHNOLOGY, INC NV 5.03 08/11/11
Cinedigm Digital Cinema Corp. DE 2.02,9.01 08/11/11
Circle Entertainment, Inc. DE 1.01,2.03,9.01 08/08/11
CITIZENS SOUTH BANKING CORP DE 8.01,9.01 07/25/11 AMEND
CLAIRES STORES INC DE 2.02,9.01 08/10/11
CLEAN WIND ENERGY TOWER, INC. NV 5.02 08/10/11
CMS ENERGY CORP MI 7.01,9.01 08/11/11
CMSF Corp CA 2.01,3.02,5.01,5.02, 08/10/11
5.06,9.01
COCA COLA BOTTLING CO CONSOLIDATED /D DE 2.02,9.01 08/09/11
CODORUS VALLEY BANCORP INC PA 5.02,9.01 08/09/11
COLUMBIA BANKING SYSTEM INC WA 2.01,7.01,9.01 08/05/11
COMPASS MINERALS INTERNATIONAL INC DE 5.02,9.01 08/08/11
COMPUTER SCIENCES CORP NV 7.01,9.01 08/10/11
Comstock Mining Inc. NV 2.02,9.01 08/11/11
Comstock Mining Inc. NV 1.01,9.01 08/11/11
CONEXANT SYSTEMS INC DE 1.01,5.02,9.01 08/05/11
Consolidation Services, Inc. DE 5.02 08/05/11
CONSUMER PORTFOLIO SERVICES INC CA 1.01,9.01 08/06/11
Cooper-Standard Holdings Inc. DE 2.02,9.01 08/11/11
COSI INC DE 2.02,7.01,9.01 08/11/11
Counsel RB Capital Inc. FL 5.02,9.01 08/08/11
COVER ALL TECHNOLOGIES INC DE 2.02,8.01,9.01 08/11/11
Covidien plc 7.01,9.01 08/11/11
CRIMSON EXPLORATION INC. 2.02,9.01 08/11/11
CROSS BORDER RESOURCES, INC. NV 5.02 08/05/11
CUI Global, Inc. CO 7.01 08/05/11
CVD EQUIPMENT CORP NY 1.01,2.03 08/05/11
Cyclacel Pharmaceuticals, Inc. DE 2.02,9.01 08/11/11
DALIAN CAPITAL GROUP, INC. DE 4.01 08/11/11
DCT Industrial Trust Inc. MD 5.02 08/09/11
DELCATH SYSTEMS INC DE 5.02,9.01 08/08/11
DELTA PETROLEUM CORP/CO CO 5.07 07/12/11 AMEND
Dialogic Inc. DE 2.02,9.01 08/10/11
DIEBOLD INC OH 5.07 04/28/11 AMEND
Dr Pepper Snapple Group, Inc. DE 8.01,9.01 08/11/11
Duke Energy CORP DE 9.01 08/10/11
EBIX INC DE 8.01 08/11/11
EDIETS COM INC DE 2.02,9.01 08/11/11
EDUCATION MANAGEMENT CORPORATION 5.02 08/05/11
ELIZABETH ARDEN INC FL 2.02,9.01 08/11/11
EMERSON RADIO CORP DE 5.02,8.01,9.01 08/05/11
EMULEX CORP /DE/ DE 2.02,9.01 08/11/11
ENDOCYTE INC DE 2.02,9.01 08/11/11
ENERGY XXI (BERMUDA) LTD D0 2.02,9.01 08/10/11
EnteroMedics Inc 7.01,9.01 08/11/11
ENTEST BIOMEDICAL, INC. NV 5.02,8.01,9.01 08/08/11
ENVIRO VORAXIAL TECHNOLOGY INC ID 4.01,9.01 08/09/11
EQUITY ONE, INC. 2.02,7.01 08/11/11
ERHC Energy Inc CO 8.01,9.01 08/10/11
EVOLVING SYSTEMS INC DE 2.02,9.01 08/11/11
Excel Trust, Inc. MD 2.02,9.01 08/10/11
EXTREME NETWORKS INC DE 8.01 08/10/11
Federal Home Loan Bank of Atlanta X1 2.03 08/11/11
Federal Home Loan Bank of Chicago X1 2.03 08/08/11
Federal Home Loan Bank of Des Moines X1 7.01,9.01 08/11/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/09/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/09/11
Federal Home Loan Bank of New York X1 2.03,9.01 08/08/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/08/11
Federal Home Loan Bank of San Francis X1 2.03 08/08/11
Federal Home Loan Bank of Seattle 2.03 08/09/11
FIRST CENTURY BANCORP. GA 5.07 07/26/11
FIRST PACTRUST BANCORP INC MD 8.01,9.01 08/11/11
FIRST TRUST HIGH INCOME LONG/SHORT FU MA 7.01,9.01 08/11/11
Flagstone Reinsurance Holdings, S.A. N4 5.02,9.01 08/08/11
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 5.02,8.01 08/05/11
FLOTEK INDUSTRIES INC/CN/ DE 2.02,9.01 08/10/11
FORTUNE BRANDS INC DE 8.01,9.01 08/11/11
FOUR OAKS FINCORP INC NC 2.02,9.01 08/11/11
FXCM Inc. 2.02,7.01,9.01 08/11/11
GAMETECH INTERNATIONAL INC DE 3.01,8.01,9.01 08/11/11
GE Dealer Floorplan Master Note Trust DE 1.01,9.01 08/10/11
General Motors Co 8.01 08/09/11
Genesis Biopharma, Inc NV 1.01,9.01 08/05/11
GENTA INC DE/ DE 2.02,9.01 08/11/11
GETTY REALTY CORP /MD/ MD 8.01,9.01 08/08/11
GLADSTONE INVESTMENT CORPORATION\DE DE 2.01,7.01,9.01 08/05/11
GLOBAL CASINOS INC UT 7.01,9.01 08/11/11
GLOBALSCAPE INC DE 2.02,9.01 08/11/11
GOLDMAN SACHS GROUP INC DE 9.01 08/11/11
GOOD TIMES RESTAURANTS INC NV 5.02 08/11/11
Graham Packaging Co Inc. DE 2.02,9.01 08/11/11
GRAHAM PACKAGING HOLDINGS CO DE 2.02,9.01 08/11/11
GRAPHON CORP/DE DE 8.01 08/08/11
GRAPHON CORP/DE DE 2.02 08/10/11
GREEN BANKSHARES, INC. TN 1.02,5.02 08/09/11
GREEN BANKSHARES, INC. TN 2.02,9.01 08/11/11
Greenfield Farms Food, Inc. NV 7.01,9.01 06/30/11
GRUBB & ELLIS CO DE 1.01,2.01,2.03,8.01, 08/10/11
9.01
Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 08/11/11
GSI GROUP INC A3 2.02,9.01 08/11/11
Guaranty Bancorp DE 1.01,9.01 08/09/11
HARBINGER GROUP INC. DE 08/11/11
HEALTHWAYS, INC DE 5.07 08/10/11 AMEND
Heartland Bridge Capital, Inc. DE 9.01 03/22/11 AMEND
HERITAGE BANKSHARES INC /VA VA 1.01,3.02,3.03,5.02, 08/09/11
5.03,8.01,9.01
Highpower International, Inc. DE 2.02,7.01,9.01 08/11/11
Hoku Corp DE 2.02,9.01 08/11/11
HUNTINGTON BANCSHARES INC/MD MD 7.01,9.01 08/11/11
HUNTINGTON INGALLS INDUSTRIES, INC. DE 2.02,9.01 08/11/11
IDT CORP DE 8.01 08/05/11
IHS Inc. DE 2.01,7.01,9.01 08/11/11
IHS Inc. DE 5.02,9.01 08/11/11
Imperial Holdings, Inc. 2.02,9.01 08/11/11
India Globalization Capital, Inc. MD 7.01,9.01 08/09/11
InfuSystem Holdings, Inc DE 2.02,9.01 08/11/11
Innophos Holdings, Inc. 8.01,9.01 08/11/11
INNOTRAC CORP GA 2.02,9.01 08/11/11
InspireMD, Inc. DE 5.02,7.01,9.01 08/05/11
Intellicell Biosciences, Inc. NV 1.01,2.01,3.02,5.01, 06/03/11 AMEND
5.02,5.03,9.01
interclick, inc. DE 2.02,9.01 08/10/11
INTRUSION INC DE 2.02,5.07,9.01 08/11/11
INVIVO THERAPEUTICS HOLDINGS CORP. NV 2.02,9.01 08/11/11
IRONWOOD PHARMACEUTICALS INC 2.02,8.01,9.01 08/09/11
ISDERA NORTH AMERICA, INC. NV 5.02 08/05/11
ISIS PHARMACEUTICALS INC DE 1.01,9.01 08/11/11
ITERIS, INC. DE 8.01 08/09/11
JAMMIN JAVA CORP. 1.01,5.02,9.01 08/05/11 AMEND
JANEL WORLD TRADE LTD NV 1.01,2.03,9.01 08/01/11
JEFFERIES GROUP INC /DE/ DE 8.01,9.01 08/05/11
JONES SODA CO WA 2.02,9.01 08/11/11
KINDRED HEALTHCARE, INC DE 8.01,9.01 08/11/11
Kior Inc DE 2.02,7.01,9.01 08/11/11
KNIGHT TRANSPORTATION INC AZ 8.01,9.01 08/11/11
KOHLS Corp WI 2.02,4.02,7.01,9.01 08/11/11
Kosmos Energy Ltd. D0 2.02,9.01 08/11/11
LANNETT CO INC DE 5.02,9.01 08/08/11
Magnolia Solar Corp NV 8.01,9.01 08/11/11
MAP Pharmaceuticals, Inc. DE 5.07 05/19/11 AMEND
Marina Biotech, Inc. DE 2.02,9.01 08/11/11
MEMC ELECTRONIC MATERIALS INC DE 5.07 04/28/11 AMEND
Mercantile Bancorp, Inc. DE 5.02,8.01,9.01 08/08/11
MERGE HEALTHCARE INC DE 2.05 08/05/11
MIDDLEBY CORP DE 2.02,9.01 08/10/11
MILLER INDUSTRIES INC /TN/ TN 5.07 05/29/11 AMEND
Molycorp, Inc. DE 2.02,9.01 08/11/11
MULTI COLOR Corp OH 5.07,8.01,9.01 08/10/11
MULTIBAND CORP MN 2.02,9.01 08/11/11
MULTIBAND CORP MN 7.01,9.01 08/11/11
N-VIRO INTERNATIONAL CORP DE 5.07,9.01 08/04/11
NATURAL RESOURCE PARTNERS LP DE 1.01,2.03,9.01 08/10/11
NBC ACQUISITION CORP DE 5.02 08/11/11
NCO Group, Inc. DE 5.02 08/08/11
NEPHROS INC DE 8.01,9.01 08/11/11
NET TALK.COM, INC. FL 2.01,2.03,3.02,9.01 08/10/11
NETREIT, INC. MD 8.01,9.01 05/26/11 AMEND
Neuralstem, Inc. DE 2.02,7.01,9.01 08/10/11
NEUROLOGIX INC/DE DE 2.02,9.01 08/11/11
New Mountain Finance Corp DE 2.02,9.01 08/11/11
NEXCORE HEALTHCARE CAPITAL CORP CO 1.01,5.02,9.01 08/11/11
NICHOLAS FINANCIAL INC FL 5.07 08/11/11
Niska Gas Storage Partners LLC DE 2.02,9.01 08/10/11
NORDSTROM INC WA 2.02,7.01,9.01 08/11/11
NTN BUZZTIME INC DE 2.02,9.01 08/11/11
NTS REALTY HOLDINGS LP DE 8.01 08/11/11
NVIDIA CORP DE 2.02,9.01 08/11/11
O CHARLEYS INC TN 2.02,5.02,7.01,9.01 08/10/11
Oasis Petroleum Inc. DE 2.02,9.01 08/08/11
OGE ENERGY CORP. OK 7.01 08/11/11
OLD POINT FINANCIAL CORP VA 7.01,9.01 08/10/11
OLD POINT FINANCIAL CORP VA 7.01,9.01 08/11/11 AMEND
OMNI VENTURES INC KS 5.02 08/10/11
Onyx Service & Solutions, Inc DE 5.02,9.01 08/09/11
Opexa Therapeutics, Inc. TX 2.02,9.01 08/11/11
Orient Paper Inc. NV 2.02,9.01 08/09/11
P&F INDUSTRIES INC DE 2.02,9.01 08/11/11
Pacific Bepure Industry Inc DE 5.02 08/09/11
Pacira Pharmaceuticals, Inc. DE 2.02,9.01 08/11/11
PANTRY INC DE 1.01,9.01 08/08/11
PARLUX FRAGRANCES INC DE 7.01 08/10/11
PAULSON CAPITAL CORP OR 2.02,9.01 08/11/11
Perfumania Holdings, Inc. FL 8.01 08/10/11
PERICOM SEMICONDUCTOR CORP CA 2.02,9.01 08/10/11 AMEND
Phillips Edison - ARC Shopping Center MD 2.02,9.01 08/11/11
PICO HOLDINGS INC /NEW CA 2.02 08/11/11
PINNACLE ENTERTAINMENT INC. DE 1.01,8.01,9.01 08/08/11
PLANAR SYSTEMS INC OR 2.02,9.01 08/11/11
Pregis Holding II CORP DE 2.02,9.01 08/11/11
PRESSURE BIOSCIENCES INC MA 1.01,9.01 08/10/11
Prologis, Inc. MD 2.02,9.01 08/09/11
PROTECT PHARMACEUTICAL Corp NV 5.02 08/02/11
PUB CRAWL HOLDINGS, INC. NV 1.01,2.03,9.01 08/11/11
QUANTUM SOLAR POWER CORP. 1.01,3.02,7.01,9.01 08/05/11
QUEPASA CORP NV 2.02,7.01,9.01 08/11/11
RADIAN GROUP INC DE 5.07 05/10/11 AMEND
Radius Health, Inc. DE 1.01,9.01 07/15/11
RAINMAKER SYSTEMS INC DE 2.02,7.01,9.01 08/10/11
RAM ENERGY RESOURCES INC DE 2.02,9.01 08/08/11
RAMTRON INTERNATIONAL CORP DE 8.01,9.01 08/10/11 AMEND
RED ROBIN GOURMET BURGERS INC DE 2.02,5.02,9.01 08/10/11
REDDY ICE HOLDINGS INC DE 2.02,9.01 08/11/11
Regeneca, Inc. NV 5.02,9.01 08/10/11
Resource Capital Corp. MD 5.07 08/09/11
RGC RESOURCES INC VA 2.02,9.01 08/09/11
RLJ Lodging Trust MD 2.02,9.01 08/10/11
ROYAL GOLD INC DE 2.02,9.01 08/11/11
S1 CORP /DE/ DE 8.01,9.01 08/11/11
Sara Lee Corp MD 2.02,9.01 08/11/11
SARATOGA RESOURCES INC /TX TX 2.02,7.01,9.01 08/11/11
SAVE THE WORLD AIR INC NV 1.01,9.01 08/09/11
SCANA CORP SC 5.07 04/21/11 AMEND
SCIENTIFIC LEARNING CORP DE 2.02 08/11/11
Scio Diamond Technology Corp NV 1.01,3.02,5.01,5.02, 08/09/11
5.03,8.01,9.01
SeaCube Container Leasing Ltd. 5.07 08/11/11
SEITEL INC DE 2.02,9.01 08/10/11
SIFCO INDUSTRIES INC OH 5.02,9.01 08/09/11
SILGAN HOLDINGS INC DE 5.07 05/27/11 AMEND
SILLENGER EXPLORATION CORP. NV 1.01,5.02,9.01 08/11/11
SINGLE TOUCH SYSTEMS INC DE 5.02 08/08/11
SKY PETROLEUM, INC. NV 5.02,8.01,9.01 08/07/11
Smart Kids Group Inc. FL 5.03,9.01 07/12/11
SPARK NETWORKS INC DE 2.02,9.01 08/11/11
SPARTAN STORES INC MI 5.03,5.07,7.01,9.01 08/09/11
Spectrum Brands Holdings, Inc. DE 2.02,9.01 08/11/11
Spectrum Brands Holdings, Inc. DE 2.02,9.01 08/11/11
SPICY PICKLE FRANCHISING INC CO 7.01,9.01 08/09/11
SquareTwo Financial Corp DE 2.02,9.01 08/11/11
STANCORP FINANCIAL GROUP INC OR 5.07 05/16/11 AMEND
STATE BANCORP INC NY 8.01,9.01 08/05/11
STATE INVESTORS BANCORP, INC. 2.02,9.01 08/10/11
STIFEL FINANCIAL CORP DE 8.01,9.01 08/10/11
STIFEL FINANCIAL CORP DE 8.01,9.01 08/11/11
SUN RIVER ENERGY, INC CO 1.01,3.02,9.01 08/05/11
SUNESIS PHARMACEUTICALS INC DE 1.01,2.02,9.01 08/11/11
SUPERTEL HOSPITALITY INC VA 2.02,9.01 08/10/11
Surna Inc. NV 1.01,9.01 08/10/11
Swank, Inc. DE 2.02,9.01 05/10/11
SWK Holdings Corp DE 5.07 08/10/11
TAKEDOWN ENTERTAINMENT INC. NV 7.01 07/13/11
TALON INTERNATIONAL, INC. DE 2.02,9.01 08/11/11
TEL INSTRUMENT ELECTRONICS CORP NJ 7.01 08/09/11
Telanetix,Inc DE 2.02,9.01 08/11/11
TELEFLEX INC DE 2.02,9.01 08/11/11
TELIK INC DE 2.02,9.01 08/11/11
THERAGENICS CORP DE 2.02 08/11/11
THERMOENERGY CORP DE 3.02,5.03,9.01 08/11/11
THOR INDUSTRIES INC DE 8.01,9.01 08/09/11
TICC Capital Corp. MD 1.01,2.03,9.01 08/10/11
Tim Hortons Inc. A6 2.02,8.01,9.01 08/11/11
TIRE INTERNATIONAL ENVIRONMENTAL SOLU NV 1.01 08/11/11
TPC Group Inc. DE 2.02,7.01,9.01 08/10/11
TRANSATLANTIC PETROLEUM LTD. D0 1.01 08/09/11
Transcept Pharmaceuticals Inc DE 2.02,9.01 08/11/11
TRANSCONTINENTAL GAS PIPE LINE COMPAN DE 8.01,9.01 08/10/11
TRANSGENOMIC INC DE 2.02,9.01 08/11/11
TRANZYME INC DE 2.02,9.01 08/11/11
Trius Therapeutics Inc DE 2.02,9.01 08/11/11
TRX INC/GA GA 2.02,9.01 06/30/11
TUCOWS INC /PA/ PA 2.02,9.01 08/10/11
U S GOLD CORP CO 7.01,9.01 08/11/11
U S PHYSICAL THERAPY INC /NV NV 7.01 08/11/11
Universal Business Payment Solutions DE 8.01,9.01 08/08/11
UNIVERSAL HOSPITAL SERVICES INC MN 2.02,7.01,9.01 08/11/11
VAPOR CORP. NV 4.02 08/11/11
Verso Paper Corp. DE 2.02,9.01 08/11/11
VISANT CORP 2.02,9.01 08/11/11
Visual Network Design, Inc. NV 1.02,9.01 08/05/11
W&T OFFSHORE INC TX 5.02,8.01,9.01 08/05/11
Walker & Dunlop, Inc. MD 2.02,9.01 08/11/11
WAVE SYSTEMS CORP DE 2.02,9.01 08/09/11
WELLS CORE OFFICE INCOME REIT INC 9.01 06/27/11 AMEND
Wendy's Co DE 2.02,9.01 08/11/11
Wendy's Co DE 7.01 08/11/11
Willdan Group, Inc. DE 2.02,9.01 08/11/11
Win Gaming Media, Inc. NV 1.01,1.02,9.01 08/11/11
WINDSTREAM CORP DE 1.01,9.01 08/09/11
WPCS INTERNATIONAL INC DE 8.01,9.01 08/11/11
Yankee Holding Corp. DE 2.02,9.01 08/11/11
YCC Holdings LLC DE 2.02,9.01 08/11/11
ZOLTEK COMPANIES INC DE 2.02,9.01 08/09/11
http://www.sec.gov/news/digest/2011/081211.htm
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