SEC News Digest

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Commission Announcements

Securities and Exchange Commission Suspends Trading in the Securities of Six 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 18, 2011, and terminating at 11:59 p.m. EDT on August 31, 2011.

Consolidated Energy, Inc. (CEIW)
Diamond Home Services, Inc. (DHMS)
Goran Capital Inc. (GNCN)
Kingsley Coach, Inc. (The) (KNGS)
Knockout Holdings, Inc. (KNOH)
Kuhlman Co., Inc. (KUHM)

The Commission temporarily suspended trading in the securities of these six 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. 34-65155)

Securities and Exchange Commission Suspends Trading in the Securities of Five Issuers for Failure to Make Required Periodic Filings

Colorado Wyoming Reserve Company (CWYR)
Grant Life Sciences, Inc. (GLIF)
NOXSO Corp. (NXSO)
Omni Medical Holdings, Inc. (OMHI)
TSI, Inc. (TSIA)

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).

Commission Meetings

Following is a schedule of Commission meetings, which will be conducted under provisions of the Government in the Sunshine Act. Meetings will be scheduled according to the requirements of agenda items under consideration.

Open meetings will be held in the Auditorium, Room L-002 at the Commission's headquarters building, 100 F Street, N.E., Washington, D.C. Visitors are welcome at all open meetings, insofar as space is available. Persons wishing to photograph or videotape Commission meetings must obtain permission in advance from the Secretary of the Commission. Persons wishing to tape record a Commission meeting should notify the Secretary's office 48 hours in advance of the meeting.

Any member of the public who requires auxiliary aids such as a sign language interpreter or material on tape to attend a public meeting should contact SECInterpreter@SEC.gov at least three business days in advance. For any other reasonable accommodation related disability contact DisabilityProgramOfficer or call 202-551-4158.

Open Meeting on Wednesday, August 24, 2011, at 10:00 a.m.

The Securities and Exchange Commission will hold an Open Meeting to hear oral argument in an appeal by Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells (collectively, Respondents) and a cross-appeal by the Division of Enforcement from an initial decision of an administrative law judge.

Brown and Walsh were formerly associated with registered broker-dealer Prime Capital Services, Inc. (Prime Capital), and Collins and Wells are currently associated with Prime Capital.

The law judge found that, in sales of variable annuities to elderly customers, Respondents violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, and Exchange Act Rule 10b-5, and Exchange Act Section 17(a) and Exchange Act Rule 17a-3. The law judge also found that Collins failed to reasonably supervise Brown within the meaning of Exchange Act Sections 15(b)(4)(E) and 15(b)(6). For these violations, the law judge issued cease-and-desist orders against Respondents, ordered Respondents to disgorge commissions earned from selling certain variable annuities, barred Respondents from associating with a broker, dealer, or investment adviser, and imposed a third-tier civil monetary penalty of $130,000 against each Respondent.

Issues likely to be considered at oral argument include whether Respondents violated the above provisions and, if so, the extent to which, under the circumstances, sanctions are warranted.

For further information, please contact the Office of the Secretary at (202) 551-5400.

Closed Meeting on Thursday, August 25, 2011, at 2:00 p.m.

The subject matter of the Closed Meeting scheduled for Thursday, August 25, 2011 will be: institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551-5400.

Rules and Related Matters

Suspension of the Duty to File Reports for Classes of Asset-Backed Securities Under Section 15(d) of the Securities Exchange Act of 1934

The Commission amended its rules relating to the Exchange Act reporting obligations of asset-backed securities issuers in light of the statutory changes to Section 15(d) of the Exchange Act, as amended by Section 942(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The rule amendments include a provision for the suspension of the reporting obligations for asset-backed securities issuers as to any semi-annual fiscal period, if, at the beginning of the semi-annual fiscal period, there are no longer asset-backed securities of the class sold in a registered transaction held by non-affiliates of the depositor. The rule amendments are effective 30 days after publication in the Federal Register. (Rels. 34-65148; S7-02-11)

Enforcement Proceedings

Commission Orders Hearings on Registration Suspension or Revocation Against Six 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 six companies for failure to make required periodic filings with the Commission:

Consolidated Energy, Inc. (CEIW)
Diamond Home Services, Inc. (DHMS)
Goran Capital Inc. (GNCN)
Kingsley Coach, Inc. (The) (KNGS)
Knockout Holdings, Inc. (KNOH)
Kuhlman Co., Inc. (KUHM)

In this Order, the Division of Enforcement (Division) alleges that the six 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. 34-65154; File No. 3-14507)

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:

Colorado Wyoming Reserve Company (CWYR)
Grant Life Sciences, Inc. (GLIF)
NOXSO Corp. (NXSO)
Omni Medical Holdings, Inc. (OMHI)
TSI, Inc. (TSIA)

In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission.

Court Enters Judgments Against Operators of Multi-Million Dollar Securities Fraud

The Securities and Exchange Commission announced that on August 12, 2011, the United States District Court for the Central District of California entered judgments against Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC, (collectively, the Westmoore Entity Defendants) and Matthew Jennings, who served as the CEO and general partner of the corporate defendants.

The Commission’s complaint, filed on June 15, 2010, alleged that Jennings operated an undisclosed Ponzi-like fraudulent scheme through the Westmoore Entity Defendants and their subsidiaries in violation of the federal securities laws. The complaint also alleged that the defendants raised over $53 million in 2008 in multiple offerings, one of which promised returns as high as 130% annually.

The Commission alleged that the defendants misrepresented its offerings to potential investors by (1) promising high periodic returns, (2) lying about their use of offering proceeds, and (3) misleading investors about the performance of their investments and businesses. The Commission also alleged that Jennings directed the company’s accountants to operate a corporate shell game in which the various Westmoore bank accounts were treated as one integrated account from which funds, regardless of their source, could be used to pay promised returns.

Without admitting or denying the Commission’s allegations, except as to jurisdiction, Jennings and the Westmoore defendants consented to the judgments, which permanently enjoin them from violating Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) and Rule 10b-5 of the Securities Exchange Act of 1934. The judgment against the Westmoore Entity Defendants also orders (1) disgorgement of ill-gotten gains and prejudgment interest in an amount to be determined by the Court and (2) the appointment of a permanent receiver over the Westmoore Entity Defendants’ assets. The final judgment against Jennings also (1) orders him to pay a civil penalty of $130,000 and disgorgement and pre-judgment interest totaling $362,265.06 and (2) bars him from serving as an officer or director of any publicly-traded company for a period of five years. Investors with questions may contact the permanent receiver, David A. Gill, at (310) 277-0077. [SEC v. Westmoore Management, LLC, Westmoore Investment, L.P., Westmoore Capital Management, Inc., Westmoore Capital, LLC, and Matthew Jennings, Civil Action No. SACV 10-849-AG (MLGx) (Central District of California] (LR-22069)

Investment Company Act Releases

ING Asia Pacific High Dividend Equity Income Fund, et al.

An order has been issued on an application filed by ING Asia Pacific High Dividend Equity Income Fund, et al., 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 permits certain registered closed-end management investment companies to make periodic distributions of long-term capital gains with respect to their 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 companies may issue. (Rel. IC-29754 – August 16)

Self-Regulatory Organizations

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change filed by Chicago Mercantile Exchange to adopt a new rule regarding liens on collateral that relates solely to CME’s futures clearing operations (File No. SR-CME-2011-01) 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. 34-65141)

A proposed rule change filed by BATS Y-Exchange related to fees for use of BATS Y-Exchange (SR-BYX-2011-016) 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. 34-65143)

A proposed rule change filed by Chicago Board Options Exchange to amend certain registration and qualification requirements (SR-CBOE-2011-075) 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. 34-65147)

A proposed rule change filed by The NASDAQ Stock Market (SR-NASDAQ-2011-113) regarding clerical changes to its rules 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. 34-65150)

Approval of Proposed Rule Change

The Commission granted approval of a proposed rule change (SR-Phlx-2011-89) submitted by NASDAQ OMX PHLX pursuant to Rule 19b-4 under the Securities Exchange Act of 1934 relating to Alpha Index options. Publication is expected in the Federal Register during the week of August 15. (Rel. 34-65149)

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     Zyto Corp, 1266 South 1380 West, Orem, UT, 84058, 
        5,000,000 ($250,000.00) Equity, (File 333-176355 - Aug. 17) (BR. 10)

S-4     FNB United Corp., 150 SOUTH FAYETTEVILLE STREET, P O BOX 1328, 
        ASHEBORO, NC, 27203, 3366268300 - 0 ($12,794,396.22) Equity, 
        (File 333-176357 - Aug. 17) (BR. 07B)

S-3ASR  PROGRESSIVE CORP/OH/, 6300 WILSON MILLS RD, MAYFIELD VILLAGE, OH, 
        44143, 4404615000 - 0 ($0.00) Non-Convertible Debt, (File 333-176358 - 
        Aug. 17) (BR. 01B)

S-8     PROSPER MARKETPLACE INC, 111 SUTTER STREET, 22ND FLOOR, SAN FRANCISCO, 
        CA, 94104, 415-593-5400 - 3,550,875 ($426,105.00) Equity, 
        (File 333-176361 - Aug. 17) (BR. 07C)

S-1     Centor Inc., 4667A DUNDAS ST. WEST, ETIBICOKE, A6, M9A 1A4, 
        416-418-1582 - 4,950,000 ($99,000.00) Equity, (File 333-176362 - 
        Aug. 17) (BR. )

S-8     PREMIER ALLIANCE GROUP, INC., 4521 SHARON ROAD, SUITE 300, CHARLOTTE, 
        NC, 28211, 704-521-8078 - 10,000,000 ($9,000,000.00) Equity, 
        (File 333-176363 - Aug. 17) (BR. 03A)

S-8     HECLA MINING CO/DE/, 6500 N MINERAL DRIVE SUITE 200, NONE, 
        COEUR D'ALENE, ID, 83815-9408, 2087694100 - 
        1,500,000 ($10,770,000.00) Equity, (File 333-176364 - Aug. 17) (BR. 04A)

S-8     AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 
        6503662626 - 90,000,000 ($27,000,000.00) Equity, (File 333-176365 - 
        Aug. 17) (BR. 01C)

S-8     AP PHARMA INC /DE/, 123 SAGINAW DRIVE, REDWOOD CITY, CA, 94063, 
        6503662626 - 500,000 ($150,000.00) Equity, (File 333-176366 - Aug. 17) 
        (BR. 01C)

S-4     SUSQUEHANNA BANCSHARES INC, 26 N CEDAR ST, LITITZ, PA, 17543, 
        7176264721 - 0 ($216,261,858.10) Equity, (File 333-176367 - Aug. 17) 
        (BR. 07B)

S-8     BAYLAKE CORP, 217 N FOURTH AVE, PO BOX 9, STURGEON BAY, WI, 54235-0009, 
        9207435551 - 750,000 ($3,037,500.00) Equity, (File 333-176368 - 
        Aug. 17) (BR. 07C)

S-8     CAI International, Inc., 415-788-0100 - 0 ($4,296,000.00) Equity, 
        (File 333-176369 - Aug. 17) (BR. 06A)

S-3ASR  CURRENCYSHARES SWISS FRANC TRUST, 
        C/O RYDEX INVESTMENTS, ATTN: TIM MEYER, 9601 BLACKWELL ROAD, SUITE 500, 
        ROCKVILLE, MD, 20850, 301-296-5129 - 0 ($877,863,000.00) Other, 
        (File 333-176370 - Aug. 17) (BR. 08B)

S-8     KADANT INC, ONE TECHNOLOGY PARK DRIVE, WESTFORD, MA, 01886, 
        (978) 776-2000 - 333,000 ($6,652,800.00) Equity, (File 333-176371 - 
        Aug. 17) (BR. 10B)

S-3     CombiMatrix Corp, 310 GODDARD, SUITE 150, IRVINE, CA, 92618, 
        949-753-0624 - 0 ($1.00) Other, (File 333-176372 - Aug. 17) (BR. 10A)

S-8     Carbonite Inc, 177 HUNTINGTON AVENUE, BOSTON, MA, 02115, 6175871140 - 
        0 ($30,059,512.14) Equity, (File 333-176373 - Aug. 17) (BR. 03C)

S-3     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 ($30,540,000.00) Equity, 
        (File 333-176375 - Aug. 17) (BR. 08C)

Recent 8K Filings

Form 8-K is used by companies to file current reports on the following events:

1.01

Entry into a Material Definitive Agreement

1.02

Termination of a Material Definitive Agreement

1.03

Bankruptcy or Receivership

2.01

Completion of Acquisition or Disposition of Assets

2.02

Results of Operations and Financial Condition

2.03

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

2.04

Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

2.05

Cost Associated with Exit or Disposal Activities

2.06

Material Impairments

3.01

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

3.02

Unregistered Sales of Equity Securities

3.03

Material Modifications to Rights of Security Holders

4.01

Changes in Registrant's Certifying Accountant

4.02

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

5.01

Changes in Control of Registrant

5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officer

5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

5.04

Temporary Suspension of Trading Under Registrant's Employee Benefit Plans

5.05

Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics

5.06

Change in Shell Company Status

6.01

ABS Informational and Computational Material.

6.02

Change of Servicer or Trustee.

6.03

Change in Credit Enhancement or Other External Support.

6.04

Failure to Make a Required Distribution.

6.05

Securities Act Updating Disclosure.

7.01

Regulation FD Disclosure

8.01

Other Events

9.01

Financial Statements and Exhibits

8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html.

STATE
NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

3DICON CORP                                      8.01,9.01            08/16/11

Access to Money, Inc.                   OR       1.01,8.01,9.01       08/15/11

ADCARE HEALTH SYSTEMS INC               OH       8.01,9.01            08/17/11

ADVANCED CELL TECHNOLOGY, INC.          DE       1.01,2.02,3.02,5.02, 07/01/11
                                                 9.01
          
AirTouch Communications, Inc.           DE       1.01,3.02,9.01       08/15/11

AMERCO /NV/                             NV       8.01,9.01            07/20/11

American Express Issuance Trust         DE       8.01                 08/17/11

American Lorain CORP                    NV       2.02,9.01            08/17/11

ARETE INDUSTRIES INC                    CO       1.02,7.01,9.01       08/12/11

ARRAY BIOPHARMA INC                     DE       5.02                 08/15/11

ASSURANCEAMERICA CORP                   NV       2.02,9.01            08/16/11

ATRION CORP                             DE       8.01,9.01            08/16/11

AVATAR HOLDINGS INC                     DE       1.01,5.02            08/12/11

Beacon Federal Bancorp, Inc.            MD       1.01,8.01,9.01       08/17/11

BILL BARRETT CORP                                7.01,9.01            08/17/11

BioRestorative Therapies, Inc.          NV       5.03,8.01,9.01       08/15/11

BIOZONE PHARMACEUTICALS, INC.           NV       4.01,9.01            08/11/11

BJS WHOLESALE CLUB INC                  DE       2.02,9.01            08/17/11

BLOUNT INTERNATIONAL INC                DE       1.01,2.01,9.01       08/15/11

BMX Development Corp.                            1.01,9.01            08/15/11

BOB EVANS FARMS INC                     DE       2.02,9.01            08/17/11

BOND LABORATORIES, INC.                 NV       2.02,9.01            08/16/11

BRITTON & KOONTZ CAPITAL CORP           MS       8.01,9.01            08/17/11

Brooklyn Federal Bancorp, Inc.          X1       1.01,7.01,9.01       08/16/11

BSB Bancorp, Inc.                       MD       1.01,9.01            08/12/11

C & F FINANCIAL CORP                    VA       8.01,9.01            08/17/11

C H ROBINSON WORLDWIDE INC              DE       5.07                 05/12/11    AMEND

CABCO SERIES 2004-1 TRUST (GOLDMAN SA            8.01,9.01            08/15/11

CABCO SERIES 2004-101 TRUST (GOLDMAN             8.01,9.01            08/15/11

CAMAC Energy Inc.                       DE       7.01,9.01            08/17/11

CHARLES & COLVARD LTD                   NC       1.01,1.02,3.03,9.01  08/15/11

Chatham Lodging Trust                   MD       2.03,9.01            08/16/11

Chatham Lodging Trust                   MD       2.02,9.01            08/08/11

CHICOS FAS INC                          FL       2.02,9.01            08/17/11

CHICOS FAS INC                          FL       2.02,9.01            08/17/11

China Carbon Graphite Group, Inc.       NV       2.02,9.01            08/15/11

China Growth CORP                       E9       1.01                 12/15/10    AMEND

China Information Technology, Inc.               3.02,7.01,9.01       08/17/11

China Internet Cafe Holdings Group, I            2.02,9.01            08/16/11

CHINA NORTH EAST PETROLEUM HOLDINGS L   NV       9.01                 08/17/11    AMEND

CIGNA CORP                              DE       5.07                 04/27/11    AMEND

CIRCLE STAR ENERGY CORP.                NV       3.02,5.02,7.01,9.01  08/16/11

CITADEL BROADCASTING CORP               DE       8.01                 08/16/11

Citadel EFT, Inc.                       NV       8.01                 08/17/11

Citi Trends Inc                                  2.02,9.01            08/17/11

Citibank, N.A., as depositor of Citib   X1       8.01                 08/17/11

CLIFFS NATURAL RESOURCES INC.           OH       1.01,2.03,9.01       08/11/11

CNL LIFESTYLE PROPERTIES INC            MD       2.01,9.01            08/02/11

COLLECTIVE BRANDS, INC.                 DE       1.01,2.03,9.01       08/16/11

Colt Defense LLC                        DE       5.02,5.03,9.01       08/17/11

COMMUNICATION INTELLIGENCE CORP         DE       5.02,9.01            08/11/11

CONOLOG CORP                            DE       1.01,5.02,9.01       08/12/11

CONTINENTAL MATERIALS CORP              DE       2.02,9.01            08/16/11

CREE INC                                NC       2.01,3.02,5.02,7.01, 08/17/11
                                                 9.01
          
CROWN CRAFTS INC                        DE       2.02,9.01            08/17/11

CYANOTECH CORP                          NV       5.02,9.01            08/17/11

CYTRX CORP                              DE       1.02                 08/12/11

DEERE & CO                              DE       2.02,7.01,8.01,9.01  08/17/11

DEERE JOHN CAPITAL CORP                 DE       2.02,7.01,8.01,9.01  08/17/11

DEL MONTE CORP                                   5.02                 08/15/11

DELTA AIR LINES INC /DE/                DE       8.01,9.01            08/17/11

EAGLE ROCK ENERGY PARTNERS L P          DE       3.02,7.01,9.01       08/16/11

EATON VANCE CORP                        MD       2.02,9.01            07/31/11

ELECTRIC CAR COMPANY, INC.              DE       4.01,9.01            08/02/11    AMEND

ELITE PHARMACEUTICALS INC /DE/          DE       5.03,9.01            08/12/11

EMPIRE RESORTS INC                      DE       3.01,5.02,9.01       08/11/11

Encore Bancshares Inc                   TX       5.02,9.01            08/17/11

ENDEAVOUR INTERNATIONAL CORP            NV       7.01,9.01            08/16/11

EnerSys                                 DE       8.01,9.01            08/17/11

ENZON PHARMACEUTICALS INC               DE       5.02                 08/11/11

Federal Home Loan Bank of Boston        X1       2.03                 08/12/11

FERRO CORP                              OH       5.07                 04/29/11    AMEND

FIELDPOINT PETROLEUM CORP               CO       2.02,7.01,9.01       08/15/11

Firemans Contractors, Inc.              NV       5.03                 08/16/11

FIRST FEDERAL BANCSHARES OF ARKANSAS    TX       5.02                 08/17/11

FIRST FINANCIAL BANCORP /OH/            OH       1.01,7.01,9.01       08/15/11    AMEND

First Savings Financial Group Inc       IN       1.01,3.02,3.03,5.03, 08/11/11
                                                 8.01,9.01
     
First Sentry Bancshares, Inc.           WV       2.02,9.01            08/16/11

FIRST SOLAR, INC.                       DE       5.02,9.01            08/16/11

FLEXSTEEL INDUSTRIES INC                MN       2.02,9.01            08/16/11

FLIR SYSTEMS INC                        OR       1.01,7.01,9.01       08/16/11

FLOWERS FOODS INC                       GA       2.02,9.01            08/17/11

FLUSHING FINANCIAL CORP                 DE       8.01,9.01            08/17/11

GEOPETRO RESOURCES CO                   CA       5.07                 08/12/11

GOLDMAN SACHS GROUP INC                 DE       9.01                 08/17/11

GRANT PARK FUTURES FUND LIMITED PARTN   IL       7.01,9.01            08/17/11

Graystone Co                            DE       5.07,8.01            08/16/11

Graystone Co                            DE       8.01                 08/15/11

GREEN BANKSHARES, INC.                  TN       1.01,9.01            08/15/11

GTSI CORP                               DE       1.01,2.01,8.01,9.01  08/15/11

GTSI CORP                               DE       1.01,2.03,9.01       08/12/11

Hallwood Group Inc                      DE       2.02,9.01            08/17/11

HAMPSHIRE GROUP LTD                     DE       1.01,2.02,5.02,9.01  08/11/11

HDS INTERNATIONAL CORP.                 NV       1.01,2.01,2.03,3.02, 08/17/11
                                                 5.01,5.02,5.03,8.01,
                                                 9.01
   
HealthMarkets, Inc.                     DE       5.02,9.01            08/11/11

HERITAGE FINANCIAL CORP /WA/            WA       8.01                 08/17/11

Heritage Financial Group Inc            MD       8.01,9.01            08/17/11

HOSPIRA INC                             DE       5.02,9.01            08/17/11

HOT TOPIC INC /CA/                      CA       2.02,9.01            08/17/11

iGambit, Inc.                           DE       2.02,9.01            08/17/11

INFRASTRUCTURE DEVELOPMENTS CORP.                4.01,9.01            08/04/11

INLAND REAL ESTATE CORP                 MD       8.01,9.01            08/17/11

INSTITUTIONAL FINANCIAL MARKETS, INC.   MD       8.01,9.01            08/17/11

INTERNATIONAL RECTIFIER CORP /DE/       DE       2.02,9.01            08/17/11

INTERNET AMERICA INC                    TX       2.02,9.01            08/17/11

INTERPUBLIC GROUP OF COMPANIES, INC.    DE       8.01,9.01            08/17/11

Invesco Mortgage Capital Inc.           MD       8.01                 08/17/11

Investors Bancorp Inc                   DE       1.01,9.01            08/16/11

INX Inc                                 DE       5.02                 08/16/11

ITT Corp                                IN       5.02                 08/16/11

JDS UNIPHASE CORP /CA/                  DE       2.02,9.01            08/17/11

Kearny Financial Corp.                  X1       8.01,9.01            08/17/11

Kentucky First Federal Bancorp                   5.03,9.01            08/11/11

KEYSTONE CONSOLIDATED INDUSTRIES INC    DE       8.01,9.01            08/17/11

Lantheus Medical Imaging, Inc.          DE       2.02                 08/17/11

Legend Mining Inc.                               1.01,5.01,5.02,9.01  07/28/11

LIBERTY STAR URANIUM & METALS CORP.     NV       5.02,9.01            08/10/11

Lightwave Logic, Inc.                   NV       5.07                 08/17/11

Lotus Pharmaceuticals, Inc.             NV       2.02,9.01            08/15/11

MAGNETEK, INC.                          DE       2.02                 08/17/11

MAM SOFTWARE GROUP, INC.                DE       5.02                 08/11/11

Man AHL FuturesAccess LLC               DE       3.02                 08/12/11

Manitex International, Inc.             MI       7.01,9.01            08/17/11

MEDCATH CORP                            DE       2.02,9.01            08/17/11

Merriman Holdings, Inc                  DE       5.02                 08/11/11

Midway Gold Corp                        A1       2.02,7.01,9.01       08/16/11

MIPS TECHNOLOGIES INC                   DE       5.02,9.01            08/11/11

ML Aspect FuturesAccess LLC             DE       3.02                 08/12/11

ML Systematic Momentum FuturesAccess    DE       3.02                 08/12/11

ML Winton FuturesAccess LLC             DE       3.02                 08/12/11

MONEYGRAM INTERNATIONAL INC                      1.01                 08/12/11

MORRIS PUBLISHING GROUP LLC             GA       8.01                 08/15/11

MOTRICITY INC                           DE       1.01,5.02,7.01,9.01  08/12/11

MYRIAD GENETICS INC                     DE       8.01,9.01            08/15/11

NABORS INDUSTRIES LTD                   D0       1.01,8.01,9.01       08/16/11

NATIONAL OILWELL VARCO INC              DE       5.03,9.01            08/17/11

NEOPROBE CORP                           DE       5.02,5.07,8.01,9.01  08/15/11

NEOPROBE CORP                           DE       5.02,5.07,8.01,9.01  08/15/11    AMEND

NetApp, Inc.                            CA       2.02,9.01            08/17/11

NetApp, Inc.                            CA       5.02                 08/17/11

NetSpend Holdings, Inc.                 DE       8.01,9.01            08/17/11

NEW CENTURY BANCORP INC                 NC       8.01,9.01            08/12/11

NEWS CORP                                        8.01,9.01            08/16/11

NGP Capital Resources Co                MD       7.01,9.01            08/17/11

NORTEL NETWORKS CORP                             2.02,9.01            08/11/11

NORTHERN TRUST CORP                     DE       7.01,9.01            08/17/11

NUTRACEA                                CA       8.01                 08/15/11

Nutrastar International Inc.            NV       5.02,9.01            08/17/11

NVE CORP /NEW/                          MN       5.07                 08/15/11    AMEND

ODYSSEY PICTURES CORP                   NV       3.02                 08/16/11

OGLETHORPE POWER CORP                   GA       2.03,8.01,9.01       08/16/11

Optionable Inc                                   8.01                 08/12/11

ORTHOFIX INTERNATIONAL N V                       5.07                 08/16/11

PACIFIC MERCANTILE BANCORP              CA       2.02,9.01            08/15/11

PAETEC Holding Corp.                             1.01,3.03,8.01,9.01  08/16/11

Peoples Federal Bancshares, Inc.        MD       5.07,9.01            08/16/11

PERMA FIX ENVIRONMENTAL SERVICES INC    DE       1.01,2.01,9.01       08/12/11

PETSMART INC                            DE       2.02,9.01            08/17/11

PHC INC /MA/                            MA       2.02,9.01            08/17/11

PHH CORP                                MD       1.01,8.01,9.01       08/12/11

PHOTRONICS INC                          CT       2.02,9.01            08/16/11

PINNACLE FINANCIAL PARTNERS INC         TN       5.02,9.01            08/12/11

PLAINS ALL AMERICAN PIPELINE LP         DE       1.01,9.01            08/11/11

POLARIS INDUSTRIES INC/MN               MN       5.03,9.01            08/15/11

POPULAR INC                                      5.02,9.01            08/15/11

PostRock Energy Corp                    DE       9.01                 08/08/11    AMEND

PREMIER EXHIBITIONS, INC.               FL       8.01,9.01            08/17/11

PROGRESSIVE CORP/OH/                    OH       7.01,9.01            08/17/11

Protalix BioTherapeutics, Inc.          FL       8.01,9.01            08/17/11

Pulse Beverage Corp                     NV       5.03,9.01            08/11/11

Q LOTUS HOLDINGS INC                             1.01,2.03,3.02,9.01  08/12/11

QUEST DIAGNOSTICS INC                   DE       5.07                 08/12/11    AMEND

Rand Logistics, Inc.                    DE       7.01,9.01            08/15/11

Red Lion Hotels CORP                    WA       5.02                 08/16/11

RED MOUNTAIN RESOURCES, INC.            FL       3.02,8.01            08/16/11

REGENERON PHARMACEUTICALS INC           NY       8.01,9.01            08/17/11

RENAISSANCE LEARNING INC                WI       8.01,9.01            08/17/11

Rockville Financial, Inc. /CT/          CT       8.01                 08/17/11

RYLAND GROUP INC                        MD       5.02                 08/15/11

SEACOAST BANKING CORP OF FLORIDA        FL       8.01,9.01            08/15/11

Sono Resources, Inc.                    NV       1.01,9.01            08/11/11

SOUTHERN UNION CO                       DE       8.01,9.01            08/16/11

SOUTHERN UNION CO                       DE       8.01,9.01            08/17/11

SPECTRUM PHARMACEUTICALS INC            DE       2.04,3.02            08/15/11

STAPLES INC                             DE       2.02,9.01            08/17/11

STAR GAS PARTNERS LP                    DE       7.01                 08/17/11

STELLAR PHARMACEUTICALS INC                      7.01,9.01            08/17/11

STRATEGIC AMERICAN OIL CORP             NV       8.01,9.01            08/17/11

STRUCTURED PROD TIERS CORP BOND-BCKD    DE       8.01,9.01            08/15/11

STRUCTURED PRODUCTS CORP COR TRUST FO   DE       8.01,9.01            08/15/11

STRUCTURED PRODUCTS CORP CORTS TRUST    DE       8.01,9.01            08/15/11

STRUCTURED PRODUCTS CORP CORTS TRUST    DE       8.01,9.01            08/15/11

SUPERIOR OIL & GAS CO                   NV       8.01                 08/16/11

SYNOPSYS INC                            DE       2.02,9.01            08/17/11

SYNTHESIS ENERGY SYSTEMS INC            DE       7.01,9.01            08/17/11

Tara Minerals Corp.                     NV       1.01                 08/08/11

TARGET CORP                             MN       2.02,8.01,9.01       08/17/11

TASER INTERNATIONAL INC                          8.01                 08/16/11

TaxMasters, Inc.                        NV       8.01                 08/17/11

TEMPLE INLAND INC                       DE       8.01,9.01            08/13/11

Tennessee Commerce Bancorp, Inc.        TN       2.02,9.01            07/28/11    AMEND

TERRACE VENTURES INC                    NV       7.01                 08/16/11

TESCO CORP                                       5.02                 08/10/11

Texas Rare Earth Resources Corp.        NV       7.01,9.01            08/16/11

Texas Roadhouse, Inc.                   DE       1.01,1.02,2.03,9.01  08/12/11

TIDEWATER INC                           DE       1.01,2.03,9.01       08/15/11

Tim Hortons Inc.                        A6       5.02                 08/11/11    AMEND

TITAN PHARMACEUTICALS INC               DE       8.01,9.01            08/16/11

TMS International Corp.                 DE       5.02,9.01            08/16/11

TRANS LUX CORP                          DE       2.02,9.01            08/17/11

TRANSCONTINENTAL REALTY INVESTORS INC   NV       2.02,9.01            08/15/11

Transocean Ltd.                         V8       5.02                 08/17/11

Transocean Ltd.                         V8       7.01,9.01            08/17/11

Transocean Ltd.                         V8       5.07                 05/13/11    AMEND

TRICO MARINE SERVICES INC               DE       1.03,5.02,8.01       08/11/11

Trius Therapeutics Inc                  DE       5.02                 08/11/11

TRUDY CORP                              DE       4.01,9.01            08/17/11

United States Oil & Gas Corp            DE       2.02,9.01            08/17/11

UniTek Global Services, Inc.            DE       2.02,9.01            08/16/11

UWHARRIE CAPITAL CORP                   NC       2.02,9.01            06/07/11

Valley Commerce Bancorp                 CA       5.07                 08/15/11

VISHAY INTERTECHNOLOGY INC              DE       5.02,9.01            08/17/11

WESTERGAARD COM INC                     DE       1.01,2.01,3.02,5.02, 02/11/11    AMEND
                                                 5.03,5.06,9.01

Westinghouse Solar, Inc.                DE       1.01,3.03,9.01       08/16/11

WHITE MOUNTAINS INSURANCE GROUP LTD     D0       8.01,9.01            08/17/11

WILLIAM LYON HOMES                      DE       8.01                 08/15/11

WILLIAMS COMPANIES INC                  DE       8.01,9.01            08/16/11

WINLAND ELECTRONICS INC                 MN       2.02,9.01            08/11/11

WORKSTREAM INC                          A6       1.01,3.02,5.02,9.01  08/15/11

ZOGENIX, INC.                           DE       8.01                 08/17/11

http://www.sec.gov/news/digest/2011/dig081811.htm

SEC NEWS DIGEST