Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic Filings
The 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 August 17, 2011 and terminating at 11:59 p.m. EDT on August 30, 2011.
The Commission temporarily suspended trading in the securities of these five 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. 34-65146)
Columbus Geographic Systems (GIS) Ltd.
An Administrative Law Judge has issued an Order Making Findings and Revoking Registration by Default (Default Order) in Columbus Geographic Systems (GIS) Ltd., Admin. Proc. No. 3-14461. The Order Instituting Proceedings alleged that Respondent repeatedly failed to file required annual and quarterly reports while its securities were registered with the Securities and Exchange Commission. The Default Order finds these allegations to be true and revokes the registration of each class of registered securities of Columbus Geographic Systems (GIS) Ltd., pursuant to Section 12(j) of the Securities Exchange Act of 1934. (Rel. 34-65144; File No. 3-14461)
Commission Orders Hearings on Registration Suspension or Revocation Against Five Companies for Failure to Make Required Periodic Filings
In 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 five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five 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. 34-65145; File No. 3-14506)
In the Matter of Erik S. Blum
On August 17, 2011, the Commission announced the entry of an Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 as to Erik S. Blum (Order). The Order bars Blum from associating in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, or transfer agent, with the right to reapply for association after two years and imposes disgorgement in the amount of $4,753, prejudgment interest of $355.47 and a civil penalty of $10,000, all of which will be paid over a three (3) year period in monthly installments of $419.68 to be paid on the 15th day of each month.
In the Order, the Commission found that from August 2006 until August 2009, Blum was registered with Aura Financial Services, Inc. (Aura), a Birmingham, Alabama-based corporation which was registered with the Commission as a broker-dealer from February 1997 until February 2010. Blum served as the manager of Aura’s Miami branch office, formerly located in West Palm Beach, Florida. Between at least January 2008 and December 2008 in Aura’s former Miami, Florida branch office, a former RR largely depleted the funds in two of his customers’ accounts through improper churning. Blum was responsible for supervising this RR. If Blum had reasonably followed-up on the red flags of high trading in the accounts of the RR, it is likely that he would have prevented or detected the RR’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. Blum consented to the issuance of the Order without admitting or denying any of the findings in the Order. (Rel. 34-65151; File No. 3-14069)
BAC Home Loan Servicing, LP (HLS), et al.
The Commission has issued an order to BAC Home Loan Servicing, LP (HLS), et al., under Section 9(c) of the Investment Company Act exempting applicants and any other company of which HLS is or becomes an affiliated person from Section 9(a) of the Act with respect to an injunction entered by the U.S. District Court for the Central District of California on May 31, 2011. (Rel. IC-29753 – August 15)
Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C.
A notice has been issued giving interested persons until September 9, 2011, to request a hearing on an application filed by Tortoise Power and Energy Infrastructure Fund, Inc. and Tortoise Capital Advisors, L.L.C. under Section 6(c) of the Investment Company Act for an exemption from Section 19(b) of the Act and Rule 19b-1 under the Act. The order would permit a registered closed-end management investment company to make periodic distributions of long-term capital gains with respect to its outstanding common stock as frequently as monthly in any taxable year, and as frequently as distributions are specified by or in accordance with the terms of any outstanding preferred stock that such investment company may issue. (Rel. IC-29755 – August 16)
Golub Capital BDC, Inc. et al.
A notice has been issued giving interested persons until September 12, 2011, to request a hearing on an application filed by Golub Capital BDC, Inc. (Company), et al. for an order under Section 6(c) of the Investment Company Act for an exemption from Sections 18 and 61(a) of the Act. The order would permit the Company to adhere to a modified asset coverage requirement. (Rel. IC-29756 – August 16)
Immediate Effectiveness of Proposed Rule Changes
A proposed rule change (SR-NASDAQ-2011-112) filed by The NASDAQ Stock Market relating to customer rebates in Penny Pilot Options 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. 34-65138)
A proposed rule change filed by NASDAQ OMX PHLX (SR-Phlx-2011-116) extending the pilot period to receive inbound routes of orders from Nasdaq Options Services has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65140)
A proposed rule change (SR-Phlx-2011-112) filed by NASDAQ OMX PHLX relating to clarifying amendments to the Rule Book 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. 34-65142)
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 SONOSITE INC, 21919 30TH DRIVE SE, BOTHELL, WA, 98021-3904, 4259511200 - 137,000 ($3,937,380.00) Other, (File 333-176328 - Aug. 16) (BR. 10C) S-1 Cardigant Medical Inc., 1500 ROSECRANS AVENUE, SUITE 500, MANHATTAN BEACH, CA, 90266, 310-421-8654 - 2,500,000 ($3,000,000.00) Equity, (File 333-176329 - Aug. 16) (BR. ) S-1 Callidus Corp, 9788 CHEEWALL LANE, PARKER, CO, 80134, 303-346-8384 - 4,000,000 ($40,000.00) Equity, (File 333-176333 - Aug. 16) (BR. ) S-3 BUCKEYE PARTNERS, L.P., ONE GREENWAY PLAZA, SUITE 600, HOUSTON, TX, 77046, 8326158600 - 0 ($103,847,125.20) Other, (File 333-176344 - Aug. 16) (BR. 04B) S-1 KWEST INVESTMENT INTERNATIONAL LTD., SUITE 204, 15615 102 AVENUE, EDMONTON, A0, T5P 4X7, 780-756-1668 - 1,345,000 ($134,500.00) Equity, (File 333-176350 - Aug. 16) (BR. ) S-8 Greektown Superholdings, Inc., 555 EAST LAFAYETTE, DETROIT, MI, 48226, 3132232999 - 125,000 ($11,250,000.00) Equity, (File 333-176351 - Aug. 16) (BR. 08A) S-3 INHIBITEX, INC., 9005 WESTSIDE PARKWAY, ALPHARETTA, GA, 30004, 678-746-1100 - 0 ($130,000,000.00) Unallocated (Universal) Shelf, (File 333-176352 - Aug. 16) (BR. 01B) S-8 CORELOGIC, INC., 4 FIRST AMERICAN WAY, SANTA ANA, CA, 92707, 714-250-6400 - 18,413,560 ($171,246,108.00) Equity, (File 333-176353 - Aug. 16) (BR. 03A) S-1 Dwarf Technology Holdings, Inc., 10/FLOOR, WEIXING BUILDING, NO. 252 WENSAN ROAD, HANGZHOU, F4, 310012, 0086-571-28188199 - 300,000 ($30,000.00) Equity, (File 333-176354 - Aug. 16) (BR. )
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 3Power Energy Group Inc. NV 1.01,1.02,5.02,9.01 08/10/11 3Power Energy Group Inc. NV 5.02 08/10/11 57th Street General Acquisition Corp DE 8.01,9.01 08/16/11 ABIOMED INC DE 5.02,5.07 08/10/11 AECOM TECHNOLOGY CORP DE 8.01,9.01 08/16/11 AEROCENTURY CORP DE 2.02 08/12/11 AEROCENTURY CORP DE 2.02 08/12/11 AMEND AFFIRMATIVE INSURANCE HOLDINGS INC DE 5.02,9.01 08/10/11 AgFeed Industries, Inc. NV 5.03,9.01 08/11/11 ALION SCIENCE & TECHNOLOGY CORP DE 2.02,7.01,8.01 08/15/11 ALTERNATE ENERGY HOLDINGS, INC. NV 1.01,9.01 08/10/11 Altisource Portfolio Solutions S.A. N4 1.01,9.01 08/10/11 AMBIENT CORP /NY DE 5.02 08/15/11 AMERICAN PETRO-HUNTER INC NV 1.01,9.01 08/13/11 American Realty Capital Trust, Inc. DE 2.02,9.01 08/15/11 AMERICAN REALTY INVESTORS INC NV 2.02,9.01 08/15/11 American Standard Energy Corp. DE 7.01,9.01 08/16/11 AMICUS THERAPEUTICS INC DE 1.01,9.01 08/16/11 AMREP CORP. OK 5.02,9.01 08/16/11 ANALOG DEVICES INC MA 2.02,9.01 08/16/11 ANDAIN, INC. NV 1.01,3.02,9.01 08/16/11 ANGIODYNAMICS INC DE 1.01,5.02,9.01 08/15/11 ANHUI TAIYANG POULTRY CO INC DE 2.02,9.01 08/16/11 APOGEE TECHNOLOGY INC DE 1.01,2.03,3.02,9.01 08/16/11 Apple REIT Eight, Inc. VA 2.02,9.01 08/15/11 Apple REIT Nine, Inc. VA 2.02,9.01 08/15/11 Apple REIT Seven, Inc. VA 2.02,9.01 08/15/11 APPLE REIT SIX INC 2.02,9.01 08/15/11 APPLIED DNA SCIENCES INC DE 5.02 08/10/11 Aquilex Holdings LLC DE 2.02,9.01 08/15/11 Arcis Resources Corp NV 5.02,9.01 08/11/11 ARK RESTAURANTS CORP NY 2.02,9.01 08/15/11 ASTEA INTERNATIONAL INC DE 2.02,9.01 08/15/11 ATWOOD OCEANICS INC TX 7.01,9.01 03/01/11 AURORA GOLD CORP DE 8.01,9.01 08/16/11 AUTOLIV INC DE 8.01,9.01 08/16/11 AVISTA CORP WA 5.07 05/12/11 AMEND AVNET INC NY 5.03,9.01 08/11/11 BCM Energy Partners Inc. DE 5.03,5.07,9.01 05/15/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 08/16/11 BEACON ENTERPRISE SOLUTIONS GROUP INC NV 7.01,9.01 08/15/11 BEACON ROOFING SUPPLY INC DE 8.01,9.01 08/11/11 Behringer Harvard Mid-Term Value Enha TX 7.01 08/15/11 BIOCANCELL THERAPEUTICS INC. 8.01 08/10/11 Black Elk Energy Offshore Operations, TX 2.02,9.01 08/16/11 BLUE COAT SYSTEMS INC DE 2.02,9.01 08/16/11 BLUE COAT SYSTEMS INC DE 5.02,9.01 08/16/11 BLUE DOLPHIN ENERGY CO DE 2.02,9.01 08/16/11 BLUEGREEN CORP MA 2.02,9.01 08/12/11 BlueLinx Holdings Inc. DE 1.01,2.03,9.01 08/11/11 BODY CENTRAL CORP 5.02 08/15/11 BPZ RESOURCES, INC. TX 5.02,7.01,9.01 08/16/11 BROADLEAF CAPITAL PARTNERS INC NV 4.01,8.01,9.01 02/23/11 AMEND Brookdale Senior Living Inc. DE 5.02 08/10/11 CAGLES INC GA 2.02,9.01 08/16/11 CalAmp Corp. DE 1.01,1.02,2.03,2.04, 08/15/11 9.01 CANTERBURY PARK HOLDING CORP MN 8.01,9.01 08/16/11 AMEND CAPITOL CITY BANCSHARES INC GA 5.07 08/12/11 CARRIAGE SERVICES INC DE 5.02 08/10/11 CARRIAGE SERVICES INC DE 1.01,2.03,9.01 08/11/11 CARROLS RESTAURANT GROUP, INC. 7.01,9.01 08/16/11 CATALYST PHARMACEUTICAL PARTNERS, INC DE 8.01,9.01 08/16/11 CENVEO, INC CO 5.02 08/10/11 CHDT CORP FL 2.02,7.01,8.01 08/15/11 CHINA AMERICA HOLDINGS, INC. FL 2.02,7.01,9.01 08/16/11 China Bilingual Technology & Educatio NV 2.02,9.01 08/16/11 CHINA EDUCATION INTERNATIONAL, INC. 9.01 05/31/11 AMEND China Precision Steel, Inc. CO 5.02 07/29/11 China Shenghuo Pharmaceutical Holding 2.02,9.01 08/16/11 CHINA YIDA HOLDING, CO. 8.01,9.01 08/10/11 ChinaNet Online Holdings, Inc. NV 2.02,9.01 08/16/11 CHOICE BANCORP, INC. WI 5.02,5.07 08/11/11 CNB FINANCIAL CORP/PA PA 5.02 08/12/11 CNL LIFESTYLE PROPERTIES INC MD 2.02,9.01 08/15/11 COAST DISTRIBUTION SYSTEM INC DE 2.02,9.01 08/15/11 Cole Credit Property Trust III, Inc. MD 7.01,9.01 08/16/11 Coleman Cable, Inc. DE 1.01,9.01 08/12/11 COMFORT SYSTEMS USA INC 5.07 05/17/11 AMEND Con-way Inc. DE 5.07 05/10/11 AMEND Cooper-Standard Holdings Inc. DE 7.01,9.01 08/16/11 CORPORATE OFFICE PROPERTIES TRUST MD 7.01,9.01 08/16/11 CPS TECHNOLOGIES CORP/DE/ DE 2.02 07/02/11 CROSS BORDER RESOURCES, INC. NV 2.02,9.01 08/15/11 CUMULUS MEDIA INC DE 8.01,9.01 08/16/11 DAHUA INC DE 4.01,9.01 08/16/11 AMEND DARLING INTERNATIONAL INC DE 2.02,9.01 08/11/11 DELL INC DE 2.02,9.01 08/16/11 DELTA MUTUAL INC DE 7.01 08/10/11 DELTA NATURAL GAS CO INC KY 5.02 08/15/11 Destination Maternity Corp DE 5.02,9.01 08/10/11 DIAMOND OFFSHORE DRILLING INC DE 7.01,9.01 08/16/11 DICE HOLDINGS, INC. DE 8.01,9.01 08/16/11 DICKS SPORTING GOODS INC DE 2.02,9.01 08/16/11 DJO Finance LLC DE 2.02,9.01 08/16/11 DOCUMENT SECURITY SYSTEMS INC NY 2.02,9.01 08/16/11 DRI CORP NC 2.02,7.01,9.01 08/15/11 ECB BANCORP INC NC 8.01,9.01 08/11/11 Echo Therapeutics, Inc. DE 2.02,9.01 08/12/11 EMAGIN CORP DE 4.02 08/10/11 EMCORE CORP NJ 1.01,3.02,9.01 08/16/11 ENDURANCE SPECIALTY HOLDINGS LTD 7.01,9.01 08/16/11 ENER1 INC FL 2.06,4.02 08/10/11 ENOVA SYSTEMS INC CA 2.02,9.01 08/15/11 ENTERPRISE PRODUCTS PARTNERS L P DE 5.03,9.01 08/11/11 ENVESTNET, INC. DE 5.02,9.01 08/15/11 ENVIRONMENTAL TECTONICS CORP PA 5.02,9.01 08/15/11 Epazz Inc IL 4.02 08/16/11 Essex Rental Corp. DE 7.01,9.01 08/16/11 EVERGREEN SOLAR INC DE 3.01,5.02 08/14/11 EXTERRAN HOLDINGS INC. DE 5.02,9.01 08/10/11 Fabrinet E9 1.01,2.03,9.01 05/12/11 Federal Home Loan Bank of Atlanta X1 2.03 08/16/11 Federal Home Loan Bank of Chicago X1 2.03 08/10/11 Federal Home Loan Bank of Des Moines X1 2.03,9.01 08/12/11 Federal Home Loan Bank of Indianapoli X1 2.03,9.01 08/16/11 Federal Home Loan Bank of New York X1 2.03,9.01 08/10/11 Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 08/10/11 Federal Home Loan Bank of San Francis X1 2.03 08/10/11 Federal Home Loan Bank of Seattle 2.03 08/12/11 Federal Home Loan Bank of Topeka 2.03,9.01 08/10/11 FIRST BUSINESS FINANCIAL SERVICES, IN WI 7.01,9.01 08/16/11 FIRST FINANCIAL BANCORP /OH/ OH 1.01,7.01,8.01,9.01 08/15/11 FLAGSTAR BANCORP INC MI 1.01,7.01,9.01 08/15/11 FLATBUSH FEDERAL BANCORP INC 2.02,9.01 08/15/11 FOREST OIL CORP NY 1.01,5.02,9.01 08/11/11 FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03,9.01 08/15/11 G&K SERVICES INC MN 2.02,9.01 08/16/11 GARB OIL & POWER CORP UT 4.01,9.01 07/29/11 GARDNER DENVER INC DE 7.01,9.01 08/16/11 GATEWAY ENERGY CORP/NE DE 9.01 08/16/11 GBS Enterprises Inc NV 4.02,9.01 08/08/11 GEOGLOBAL RESOURCES INC. DE 2.02,9.01 08/15/11 GEOKINETICS INC DE 1.01,1.02,2.02,2.03, 08/12/11 9.01 Global Telecom & Technology, Inc. DE 9.01 06/06/11 AMEND GOLDMAN SACHS GROUP INC DE 9.01 08/16/11 GREAT ATLANTIC & PACIFIC TEA CO INC MD 7.01,9.01 08/12/11 GUIDED THERAPEUTICS INC DE 2.02,7.01,9.01 08/16/11 Harbin Electric, Inc 8.01,9.01 08/15/11 HARTE HANKS INC DE 1.01,2.03,9.01 08/16/11 HASCO Medical, Inc. FL 4.01,9.01 08/05/11 AMEND HDS INTERNATIONAL CORP. NV 1.01,2.03,9.01 08/15/11 AMEND HDS INTERNATIONAL CORP. NV 1.01,2.03,9.01 08/16/11 AMEND HEALTHCARE TRUST OF AMERICA, INC. MD 2.02,9.01 08/16/11 HealthWarehouse.com, Inc. DE 2.02,9.01 08/16/11 HECLA MINING CO/DE/ DE 5.07,8.01,9.01 05/09/11 AMEND HEIDRICK & STRUGGLES INTERNATIONAL IN DE 5.02,9.01 08/15/11 HENRY JACK & ASSOCIATES INC DE 2.02,9.01 08/16/11 Hillenbrand, Inc. IN 5.02,9.01 08/10/11 HOME DEPOT INC DE 2.02,9.01 08/16/11 HONG KONG WINALITE GROUP, INC. 5.02,9.01 08/08/11 AMEND HQ Global Education Inc. DE 5.02,9.01 08/09/11 HWI GLOBAL INC. NV 2.02,9.01 08/12/11 I/OMAGIC CORP NV 5.02 08/16/11 IAC/INTERACTIVECORP DE 5.02,9.01 08/11/11 IMMUCOR INC GA 8.01,9.01 08/16/11 INCOME OPPORTUNITY REALTY INVESTORS I NV 2.02,9.01 08/15/11 INSITUFORM TECHNOLOGIES INC DE 7.01,9.01 08/15/11 Intellicell Biosciences, Inc. NV 4.01,9.01 08/11/11 JACKSON HEWITT TAX SERVICE INC DE 1.03,9.01 08/16/11 JAMBA, INC. DE 2.02,9.01 08/16/11 Jiangbo Pharmaceuticals, Inc. FL 1.01,9.01 07/17/11 Jintai Mining Group, Inc. DE 8.01,9.01 08/16/11 JMP Group Inc. DE 7.01 08/16/11 K12 INC DE 5.05,9.01 08/12/11 KEATING CAPITAL INC 5.02 08/10/11 KID BRANDS, INC NJ 2.02,9.01 08/16/11 KNIGHT TRANSPORTATION INC AZ 5.07 05/19/11 AMEND LANDSTAR SYSTEM INC DE 8.01 08/16/11 LAWSON PRODUCTS INC/NEW/DE/ DE 7.01,9.01 08/16/11 LECROY CORP DE 2.02,9.01 08/16/11 Li-ion Motors Corp. NV 5.03,9.01 08/10/11 LifeCare Holdings, Inc. DE 2.02,7.01,9.01 08/12/11 LIGHTPATH TECHNOLOGIES INC DE 8.01,9.01 08/16/11 Lumber Liquidators Holdings, Inc. 5.02,9.01 08/11/11 MACE SECURITY INTERNATIONAL INC DE 2.02,9.01 08/15/11 Macquarie Infrastructure CO LLC DE 5.02,8.01,9.01 08/12/11 MACROSOLVE INC OK 2.02,9.01 08/16/11 MCJUNKIN RED MAN HOLDING CORP DE 8.01,9.01 08/11/11 MEDICAL ACTION INDUSTRIES INC DE 5.07 08/11/11 MEDICINOVA INC DE 2.02,9.01 08/16/11 MEDICINOVA INC DE 7.01 08/16/11 MedQuist Holdings Inc. DE 2.02,8.01,9.01 08/15/11 MedQuist Holdings Inc. DE 5.02,9.01 08/02/11 MEDTOX SCIENTIFIC INC DE 1.01,9.01 08/15/11 MICHAEL FOODS GROUP, INC. DE 2.02,9.01 08/16/11 MISCOR GROUP, LTD. IN 2.02,9.01 08/16/11 MOSAIC CO 7.01,9.01 08/16/11 MOVE INC DE 5.02,9.01 08/15/11 NAUTILUS, INC. WA 5.02 08/10/11 NDB Energy, Inc. NV 1.01,2.01,5.06,7.01, 07/29/11 AMEND 9.01 New Concept Energy, Inc. NV 2.02,9.01 08/12/11 NEW ENERGY SYSTEMS GROUP NV 2.02,9.01 08/15/11 New England Bancshares, Inc. 5.07 08/11/11 NEW FRONTIER MEDIA INC CO 1.01,9.01 08/11/11 NGL Energy Partners LP DE 1.01,7.01,9.01 08/12/11 NORD RESOURCES CORP DE 8.01,9.01 08/15/11 NORWOOD FINANCIAL CORP PA 9.01 05/31/11 AMEND NTS MORTGAGE INCOME FUND DE 1.01,9.01 08/15/11 NVE CORP /NEW/ MN 5.07 08/15/11 O'Donnell Strategic Industrial REIT, 7.01,9.01 08/16/11 OCEAN BIO CHEM INC FL 5.02 08/15/11 OCWEN FINANCIAL CORP FL 1.01,9.01 08/10/11 OFFICEMAX INC DE 5.02 08/10/11 OLD DOMINION FREIGHT LINE INC/VA VA 2.03,9.01 08/10/11 ONE LIBERTY PROPERTIES INC MD 1.01,2.03,8.01,9.01 08/15/11 Orange 21 Inc. DE 2.02,9.01 08/15/11 OTELCO INC. DE 5.02 08/12/11 PALMETTO BANCSHARES INC SC 8.01,9.01 08/16/11 PARKVALE FINANCIAL CORP PA 4.02,8.01,9.01 08/10/11 PATTERSON COMPANIES, INC. MN 1.01,9.01 08/12/11 PCS EDVENTURES COM INC ID 5.02,7.01,9.01 08/15/11 PDL BIOPHARMA, INC. DE 7.01,9.01 08/16/11 PERNIX THERAPEUTICS HOLDINGS, INC. MD 2.02,9.01 08/16/11 PERRIGO CO MI 2.02,5.02,9.01 08/16/11 PERRIGO CO MI 8.01,9.01 08/16/11 PMC SIERRA INC DE 5.02,8.01,9.01 08/12/11 PONIARD PHARMACEUTICALS, INC. WA 2.02,9.01 08/12/11 POWER EFFICIENCY CORP DE 8.01,9.01 08/15/11 PURADYN FILTER TECHNOLOGIES INC DE 2.02,7.01,9.01 08/15/11 PYRAMID OIL CO CA 2.02,9.01 08/15/11 RALPH LAUREN CORP DE 5.03,5.07,9.01 08/11/11 RED HAT INC DE 5.02,5.07,9.01 08/11/11 REMEDENT, INC. NV 2.02,7.01,9.01 08/15/11 RENAISSANCE LEARNING INC WI 1.01,8.01,9.01 08/15/11 RENAISSANCE LEARNING INC WI 8.01,9.01 08/16/11 Restaurant Concepts of America Inc. NV 1.01,3.02,5.01,9.01 08/09/11 REVA Medical, Inc. DE 7.01,9.01 08/15/11 REVA Medical, Inc. DE 2.02,7.01,9.01 08/15/11 Rosetta Resources Inc. DE 7.01,9.01 08/15/11 RXI PHARMACEUTICALS CORP 2.02,9.01 08/15/11 SAKS INC TN 2.02,9.01 08/16/11 SBT Bancorp, Inc. CT 1.01,3.02,3.03,5.02, 08/08/11 AMEND 5.03,8.01,9.01 SENTRY PETROLEUM LTD. 5.07,7.01,9.01 08/15/11 SGS International, Inc. DE 2.02,9.01 08/16/11 SKULLCANDY, INC. 2.02,9.01 08/16/11 SkyShop Logistics, Inc. NV 5.07 07/15/11 Sono Resources, Inc. NV 7.01,9.01 08/16/11 STATE BANK FINANCIAL CORP GA 2.02,5.02,9.01 08/12/11 Steadfast Income REIT, Inc. MD 5.07 08/10/11 STELLAR PHARMACEUTICALS INC 2.02,9.01 08/15/11 STEWARDSHIP FINANCIAL CORP NJ 2.02,9.01 08/15/11 STILLWATER MINING CO /DE/ DE 1.01,9.01 08/15/11 STR HOLDINGS, INC. DE 1.01,8.01,9.01 08/15/11 Strategic Storage Trust, Inc. MD 7.01,9.01 08/16/11 Summit Hotel Properties, Inc. MD 2.02,9.01 08/15/11 SYNTHESIS ENERGY SYSTEMS INC DE 1.01,8.01,9.01 08/16/11 TEAMSTAFF INC NJ 2.02,9.01 08/16/11 TECHPRECISION CORP 2.02,9.01 08/15/11 TEREX CORP DE 1.01,1.02,9.01 08/11/11 THERMO FISHER SCIENTIFIC INC. DE 1.01,1.02,2.03,9.01 08/10/11 THOMAS & BETTS CORP TN 1.01,2.03,9.01 08/11/11 THOR INDUSTRIES INC DE 1.01,9.01 08/12/11 Titanium Asset Management Corp DE 2.02,9.01 08/15/11 TJX COMPANIES INC /DE/ DE 2.02,9.01 08/16/11 TOFUTTI BRANDS INC DE 2.02,9.01 08/16/11 Towers Watson & Co. DE 2.02,7.01,9.01 08/16/11 TRAVELCENTERS OF AMERICA LLC 1.01,5.02,9.01 08/16/11 Triangle Petroleum Corp NV 7.01,9.01 08/15/11 TriView Global Fund, LLC DE 8.01 08/10/11 Tropicana Las Vegas Hotel & Casino, I DE 1.01,9.01 08/16/11 TRUSTCO BANK CORP N Y NY 8.01,9.01 08/16/11 ULURU INC. NV 2.02,9.01 08/16/11 Uni-Pixel DE 5.07 08/16/11 UNITED PARCEL SERVICE INC DE 5.02 08/11/11 UNIVERSITY GENERAL HEALTH SYSTEM, INC NV 9.01 08/16/11 URBAN OUTFITTERS INC PA 2.02,9.01 08/15/11 US CONCRETE INC DE 5.07 08/16/11 VALENCE TECHNOLOGY INC DE 3.02,9.01 08/15/11 VALUEVISION MEDIA INC MN 2.02,9.01 08/16/11 VIASPACE Inc. 2.02,9.01 08/16/11 WAL MART STORES INC DE 2.02,9.01 08/16/11 WASTE MANAGEMENT INC DE 5.02,9.01 08/11/11 Westway Group, Inc. DE 2.02,9.01 08/15/11 WHIRLPOOL CORP /DE/ DE 5.02,9.01 08/15/11 WILSHIRE BANCORP INC 2.02,9.01 08/15/11 XILINX INC DE 5.07,8.01 08/10/11 XL GROUP PLC L2 8.01,9.01 08/15/11 ZIONS BANCORPORATION /UT/ UT 9.01 08/15/11