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U.S. Securities and Exchange Commission

SEC News Digest

Issue 2011-204
October 21, 2011

Commission Announcements

SEC Staff to Hold Roundtable on “Measurement Uncertainty in Financial Reporting”

The Securities and Exchange Commission today announced that the inaugural roundtable in the Financial Reporting Series will be held on November 8.

 The purpose of the Financial Reporting Series is to proactively help identify risks and potential improvements in the financial information provided to investors.  The inaugural roundtable will examine the extent to which financial reporting should include measurement uncertainties, and the information investors find important to understanding and assessing those uncertainties. 

“We want to consider whether the right balance has been struck to provide investors with useful information,” said SEC Chief Accountant James Kroeker.  “This roundtable discussion will provide us with an opportunity to hear directly from investors about the challenges in understanding the types of uncertainties included in financial reports.”

The roundtable will feature three panels comprised of investors, financial statement preparers, and auditors.  The chairs of the Financial Accounting Standards Board and the Public Company Accounting Oversight Board will attend as observers.  A final agenda and list of participants will be published closer to the event date.

The roundtable will begin at 10 a.m. in the multipurpose room at the SEC’s headquarters at 100 F Street, N.E., Washington, D.C.  It is open to the public with seating on a first-come, first-served basis, and also may be viewed via a live webcast on the SEC website.

A briefing paper highlighting the issues to be considered at the roundtable is available at http://www.sec.gov/about/offices/oca/ocafrseries-briefing-measurement.htm.  The SEC staff welcomes comment on the issues to be addressed and suggestions for potential participants at the roundtable, using the following methods:

Electronic submissions:

Use the SEC’s Internet comment form or send an e-mail to rule-comments@sec.gov.  Include File Number 4-640 in the subject line.

Paper submissions:

Send in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090. Cite File Number 4-640.

All submissions received will be posted on the SEC’s website.  The agency does not edit personal identifying information, so submit only information you wish to be made public. (Press Rel. 2011-215)

SEC to Hold Annual Government-Business Forum on Small Business Capital Formation

The Securities and Exchange Commission today announced that it will hold its annual SEC Government-Business Forum on Small Business Capital Formation on November 17 at its Washington, D.C. headquarters.

The Commission announced that this year’s forum will include two panel discussions, one on current capital formation issues for private companies and a second on initial public offerings and securities regulation involving smaller public companies.  During the afternoon, participants will work in groups to formulate specific policy recommendations.

The forum will begin at 9 a.m. ET with the panel discussions, which will be webcast on the SEC's website.  The afternoon breakout group sessions will not be webcast but will be open to the public and accessible by teleconference.  Anyone wishing to participate in a breakout group, either in person or by teleconference, must register online by November 14.

The names of panel participants and the full agenda for the forum will be announced at a later date and posted on the SEC's website.  Members of the public are invited to make suggestions about specific topics to be discussed at the forum.  These suggestions, or any questions about the forum, may be e-mailed to the SEC's Office of Small Business Policy at SmallBusiness@sec.gov.  For more information, call (202) 551-3460. (Press Rel. 2011-216)

Andrew J. Bowden Named Head of SEC’s National Investment Adviser/Investment Company Examination Program

The Securities and Exchange Commission today announced that Andrew J. Bowden has been appointed an Associate Director to lead the National Investment Adviser/Investment Company Examination Program in the SEC’s Office of Compliance Inspections and Examinations (OCIE). He starts on November 1.

Mr. Bowden comes to the SEC from Legg Mason, where he held senior executive positions in its legal/compliance and business units. Mr. Bowden will oversee a staff of approximately 450 lawyers, accountants, and examiners responsible for the inspections of U.S.-registered investment advisers and investment companies.

“Drew brings extensive experience in the operation and oversight of investment advisers and investment companies and will help us implement our risk-based approach to examination of investment advisers and companies,” said OCIE Director Carlo di Florio. “Drew also has expertise in leading corporate governance initiatives, which will serve us well as we continue our dialogue with senior management and boards on critical business, risk, and regulatory matters.”

Mr. Bowden said, “I am grateful for the opportunity to join the investment adviser/investment company professionals at OCIE. Collectively, they have thousands of years of examination experience, which they use to promote compliance and to ensure that investors are treated fairly. I look forward to supporting them in this mission.”

Mr. Bowden succeeds Gene Gohlke, who retired from the agency earlier this year after 35 years of public service. Since Mr. Gohlke’s retirement, OCIE Deputy Director Norm Champ has served as the Acting Associate Director of the National Investment Adviser/Investment Company Examination Program.

Early in his career, Mr. Bowden worked at Legg Mason, Inc., and later for Legg Mason Capital Management in various roles, including General Counsel, Chief Operating Officer and ultimately Executive Director for Sales, Client Service and Marketing. He also has served on the Board of Governors and Executive Committee of the Investment Advisers Association. He holds a Bachelor of Arts degree in the Honors English Program at Loyola University in Baltimore and a law degree from The University of Pennsylvania.

OCIE conducts the SEC’s national examination program for investment advisers and investment companies, broker-dealers, self regulatory organizations, clearing agencies, transfer agents, and credit rating agencies to fulfill its mission of promoting compliance, preventing fraud, monitoring risk and informing SEC policy. (Press Rel. 2011-217)

SEC Charges Denver-Area Hedge Fund Manager in Expansion of Mariner Energy Insider Trading Case

The Securities and Exchange Commission today announced additional charges in its insider trading case against Denver-based traders who traded on confidential information in the securities of Mariner Energy Inc. ahead of the oil and gas company’s $3.9 billion takeover by Apache Corporation in April 2010.

In its initial complaint filed on Aug. 5, 2011, the SEC alleged that Mariner Energy board member H. Clayton Peterson tipped his son with confidential details about Mariner Energy’s upcoming acquisition. Drew Clayton Peterson, who was a managing director at a Denver-based investment adviser, then used the inside information to purchase Mariner Energy stock for himself and others.

An amended complaint filed today adds two more defendants to the case – money manager Drew K. Brownstein who is a longtime friend of Drew Peterson, and the hedge fund advisory firm he controls, Big 5 Asset Management LLC. The SEC alleges that Brownstein traded Mariner Energy securities on the basis of inside information he received from Drew Peterson and reaped illicit profits of more than $5 million combined in his own account, the accounts of his relatives, and the accounts of two hedge funds managed by Big 5.

“This case is further evidence of the pervasive nature of insider trading by hedge funds, and a sobering reminder that such conduct is not limited to the immediate vicinity of Wall Street but is taking place in cities around the country,” said Sanjay Wadhwa, Deputy Chief of the SEC Enforcement Division’s Market Abuse Unit and Associate Director of the New York Regional Office. “The SEC is firmly committed to rooting out this illegal activity wherever it occurs, and those who engage in this conduct should consider the severe consequences they will face when caught.”

According to the SEC’s amended complaint, Drew Peterson repeatedly tipped Brownstein about the impending acquisition of Mariner Energy as he learned the information from his father. Brownstein caused two Big 5 hedge funds – the Lion Global Fund LLLP and the Lion Global Master Fund Ltd. – to purchase large quantities of Mariner Energy stock and call option contracts on the basis of the inside information. This was the first time that the Big 5 hedge funds had ever traded Mariner Energy stock or options. Brownstein also purchased thousands of shares of Mariner Energy stock and call option contracts for the accounts of his relatives and for his personal brokerage account. In the days following the announcement of the deal, Brownstein liquidated the positions he had accumulated in Mariner Energy securities.

The SEC’s amended complaint charges each of the defendants with violations of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks a final judgment permanently enjoining them from future violations of the above provisions of the federal securities laws, ordering them to disgorge their ill-gotten gains plus prejudgment interest, and ordering them to pay financial penalties. The SEC also seeks to permanently prohibit Clayton Peterson from acting as an officer or director of any publicly registered company.

The SEC’s investigation was conducted by Joseph Sansone, a member of the SEC’s Market Abuse Unit in New York, with assistance from Neil Hendelman of the New York Regional Office and Jay Scoggins, Jeffrey Oraker, Bruce Ketter and Craig Ellis of the Denver Regional Office. The SEC acknowledges the ongoing assistance and cooperation of the U.S. Attorney’s Office for the Southern District of New York and the Federal Bureau of Investigation.

The SEC’s investigation is continuing. (Press Rel. 2011-218)

Commission Meetings

Open Meeting – Monday, October 31, 2011 – 9:00 a.m.

The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies will hold an Open Meeting on Monday, October 31, 2011, in the Multipurpose Room, L-006. The meeting will begin at 9:00 a.m. and will be open to the public. Seating will be on a first-come, first-served basis. Doors will open at 8:30 a.m. Visitors will be subject to security checks.

The agenda for the meeting includes opening remarks, introduction of Committee members, discussion of the Committee’s agenda and organization, and discussion of capital formation issues relevant to small and emerging companies.

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


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-1     Chimera Energy Corp, 2800 POST OAK BLVD., HOUSTON, TX, 77056, 
        832-390-2334 - 5,000,000 ($75,000.00) Equity, (File 333-177406 - 
        Oct. 20) (BR. )

S-8     Alliance Bancorp, Inc. of Pennsylvania, 541 LAWRENCE ROAD, BROOMALL, 
        PA, 19008, (610) 353-2900 - 325,842 ($3,556,310.00) Equity, 
        (File 333-177407 - Oct. 20) (BR. 07)

        0 ($5,326,279.00) Equity, (File 333-177408 - Oct. 20) (BR. 07B)

        LAS VRGAS, NV, 89104, 281-914-8636 - 2,000,000 ($60,000.00) Equity, 
        (File 333-177409 - Oct. 20) (BR. 10A)

S-8     High Plains Gas, Inc., 3100 SOUTHERN DRIVE, GILLETTE, WY, 82718, 
        307-686-5030 - 18,000,000 ($1,260,000.00) Equity, (File 333-177416 - 
        Oct. 20) (BR. 09B)

        85254, 602-595-4997 - 14,000,000 ($7,630,000.00) Equity, 
        (File 333-177417 - Oct. 20) (BR. 09A)

        00000, 0000000000 - 0 ($11,080,000.00) Equity, (File 333-177418 - 
        Oct. 20) (BR. 02C)

        MAIL STOP 11-18, NEW YORK, NY, 10104, 2125541234 - 
        52,000,000 ($52,000,000.00) Equity, (File 333-177419 - Oct. 20) 
        (BR. 01A)

        NY, 10104, 2125541234 - 0 ($1.00) Equity, (File 333-177420 - Oct. 20) 
        (BR. 01A)


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


Entry into a Material Definitive Agreement


Termination of a Material Definitive Agreement


Bankruptcy or Receivership


Completion of Acquisition or Disposition of Assets


Results of Operations and Financial Condition


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


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


Cost Associated with Exit or Disposal Activities


Material Impairments


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


Unregistered Sales of Equity Securities


Material Modifications to Rights of Security Holders


Changes in Registrant's Certifying Accountant


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


Changes in Control of Registrant


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


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


Temporary Suspension of Trading Under Registrant's Employee Benefit Plans


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


Change in Shell Company Status


ABS Informational and Computational Material.


Change of Servicer or Trustee.


Change in Credit Enhancement or Other External Support.


Failure to Make a Required Distribution.


Securities Act Updating Disclosure.


Regulation FD Disclosure


Other Events


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.

NAME OF ISSUER                          CODE     8K ITEM NO.          DATE        COMMENT

1ST SOURCE CORP                         IN       2.02,9.01            10/20/11

3DICON CORP                                      5.07                 10/15/11

AB&T Financial CORP                     NC       2.02                 10/19/11

ABBOTT LABORATORIES                     IL       5.03,9.01            10/14/11

ACACIA RESEARCH CORP                    DE       2.02,9.01            10/20/11

ACME PACKET INC                         DE       2.02,9.01            10/20/11

ADCARE HEALTH SYSTEMS INC               OH       1.01,2.03,9.01       10/14/11

ADINO ENERGY CORP                       MT       2.03                 10/14/11

AGENT155 MEDIA CORP.                    NV       3.02                 10/14/11

AgFeed Industries, Inc.                 NV       3.01                 10/14/11

ALAMO GROUP INC                         DE       2.01                 10/18/11

ALASKA AIR GROUP INC                    DE       2.02,7.01,9.01       10/19/11

Aleris International, Inc.              DE       8.01,9.01            10/20/11

ALEXION PHARMACEUTICALS INC             DE       2.02,9.01            10/20/11

ALEXION PHARMACEUTICALS INC             DE       8.01                 10/19/11

ALLDIGITAL HOLDINGS, INC.               NV       4.01,5.02,9.01       10/12/11

ALLIANCE DATA SYSTEMS CORP              DE       2.02,7.01,9.01       10/20/11

ALLIANCE RESOURCE PARTNERS LP           DE       8.01                 10/13/11

ALLIED HEALTHCARE INTERNATIONAL INC     NY       2.01,3.01,3.03,5.01, 10/20/11

Allied Nevada Gold Corp.                DE       7.01,9.01            10/18/11

ALLSTATE CORP                           DE       7.01,9.01            10/20/11

ALTAIR NANOTECHNOLOGIES INC             Z4       5.02                 10/15/11

ALTERA CORP                             DE       2.02,9.01            10/20/11

AMACORE GROUP, INC.                     DE       1.01,8.01,9.01       10/14/11

Amarantus BioSciences, Inc.             DE       8.01,9.01            09/29/11

AMARIN CORP PLC\UK                      X0       5.02,8.01,9.01       10/20/11

AMERICAN RIVER BANKSHARES               CA       2.02,9.01            10/20/11

AMYLIN PHARMACEUTICALS INC              DE       8.01,9.01            10/19/11

ANGIODYNAMICS INC                       DE       5.02,5.07,9.01       10/17/11

APOLLO GROUP INC                        AZ       5.02                 10/18/11

ARCH CHEMICALS INC                      VA       1.02,2.01,2.04,3.01, 10/17/11
Arista Power, Inc.                      NY       8.01,9.01            10/20/11

ASHFORD HOSPITALITY TRUST INC           MD       8.01,9.01            10/20/11

AspenBio Pharma, Inc.                   CO       5.02,8.01,9.01       10/15/11

ASSOCIATED BANC-CORP                    WI       2.02,9.01            10/20/11

ASTORIA FINANCIAL CORP                  DE       2.02,9.01            10/19/11

AT&T INC.                               DE       2.02,9.01            10/20/11

AT&T INC.                               DE       8.01,9.01            10/20/11

ATHENAHEALTH INC                        DE       1.01,2.02,2.03,9.01  10/20/11

ATWOOD OCEANICS INC                     TX       5.02,9.01            10/17/11

AUTONATION, INC.                        DE       2.02,9.01            10/20/11

AVIS BUDGET GROUP, INC.                 DE       1.01,1.02,2.03,7.01, 10/14/11
AVISTAR COMMUNICATIONS CORP             DE       2.02,9.01            10/20/11

Bancorp, Inc.                                    2.02,9.01            10/20/11

BANK OF KENTUCKY FINANCIAL CORP         KY       2.02,9.01            10/20/11

Bank of New York Mellon CORP            DE       2.02,9.01            10/19/11

BANNER CORP                             WA       2.02,9.01            10/19/11

BAXTER INTERNATIONAL INC                DE       2.02,9.01            10/20/11

BAYLAKE CORP                            WI       2.02,9.01            10/19/11

BB&T CORP                               NC       2.02,9.01            09/30/11

BEACON ENTERPRISE SOLUTIONS GROUP INC   NV       1.01,3.02,5.02,7.01, 10/14/11
Behringer Harvard Opportunity REIT I,   MD       5.07                 10/17/11

BERRY PLASTICS CORP                     DE       2.02,9.01            10/20/11

BIOTIME INC                             CA       8.01                 10/20/11

BJs RESTAURANTS INC                     CA       2.02,9.01            10/20/11

Blackstone Group L.P.                   DE       2.02,9.01            10/20/11

BLUE CALYPSO, INC.                      NV       3.02,3.03,5.02,5.03, 10/13/11    AMEND
BOSTON SCIENTIFIC CORP                  DE       2.02,9.01            10/20/11

BPZ RESOURCES, INC.                     TX       7.01                 10/18/11

BRIDGE BANCORP INC                      NY       2.02,9.01            10/20/11

BRIGGS & STRATTON CORP                  WI       2.02,9.01            10/20/11

Builders FirstSource, Inc.              DE       2.02,9.01            10/20/11

Bullion Monarch Mining, Inc. (NEW)      UT       5.07                 10/17/11

BUTLER NATIONAL CORP                    DE       8.01,9.01            10/20/11

CAGLES INC                              GA       1.03,9.01            10/19/11

CALGON CARBON CORPORATION               DE       5.02,9.01            10/14/11

CALIX, INC                                       2.02,9.01            10/20/11

CAMBRIDGE HOLDINGS LTD                  CO       4.01,9.01            08/04/11    AMEND

CANO PETROLEUM, INC                              3.01                 10/14/11

CANO PETROLEUM, INC                              2.02,2.06,7.01,9.01  10/13/11    AMEND

CAPITAL ONE FINANCIAL CORP              DE       2.02,7.01,8.01,9.01  10/20/11

CAPITAL SENIOR LIVING CORP              DE       7.01,9.01            10/20/11

Capitol Federal Financial Inc           MD       7.01,9.01            10/20/11

CARDINAL FINANCIAL CORP                 VA       2.02,8.01,9.01       10/19/11

Caribou Coffee Company, Inc.            MN       1.01,8.01,9.01       10/14/11

CARMAX INC                              VA       5.03,9.01            10/17/11

Casablanca Mining Ltd.                  NV       1.01,3.02,5.02,9.01  10/14/11

CASH AMERICA INTERNATIONAL INC          TX       2.02,7.01,9.01       10/20/11

CASS INFORMATION SYSTEMS INC            MO       2.02,8.01,9.01       10/20/11

CEPHEID                                 CA       1.02,2.02,9.01       10/20/11

CHANCELLOR GROUP INC.                   NV       1.01,9.01            10/18/11

CHECKPOINT SYSTEMS INC                  PA       7.01,9.01            10/18/11

CHECKPOINT SYSTEMS INC                  PA       5.07                 10/20/11    AMEND

CHEMBIO DIAGNOSTICS, INC.               NV       7.01,9.01            10/20/11

CHINA EDUCATION INTERNATIONAL, INC.              1.01,3.02            10/14/11

CHINA SHEN ZHOU MINING & RESOURCES, I   NV       5.02                 10/20/11

China Shengda Packaging Group Inc.      NV       8.01                 10/20/11    AMEND

CHIPOTLE MEXICAN GRILL INC                       2.02,9.01            10/20/11

ChromaDex Corp.                                  5.02                 10/14/11

CHUBB CORP                              NJ       2.02,9.01            10/20/11

CINTAS CORP                             WA       5.07,8.01            10/18/11

CITIZENS & NORTHERN CORP                PA       8.01,9.01            10/20/11

CITY NATIONAL CORP                      DE       2.02,9.01            10/20/11

COBIZ FINANCIAL INC                     CO       2.02,8.01,9.01       10/20/11

COHU INC                                DE       2.02,9.01            10/19/11

COLONIAL COMMERCIAL CORP                NY       1.01,1.02,2.03,7.01, 10/14/11
COMMAND SECURITY CORP                   NY       1.01,9.01            10/18/11

CommonWealth REIT                       MD       1.01,2.03,9.01       10/18/11

COMMUNITY BANK SHARES OF INDIANA INC    IN       1.01,2.02,9.01       10/18/11

COMMUNITY BANK SHARES OF INDIANA INC    IN       2.02,9.01            10/20/11    AMEND

Computer Graphics International Inc.    NV       1.01,9.01            09/26/11

CONCEPTUS INC                           DE       8.01,9.01            10/17/11

Converted Organics Inc.                 DE       1.01,2.03,9.01       10/19/11

Cooper Industries plc                            2.02,9.01            10/20/11

CORE LABORATORIES N V                   P7       2.02                 10/19/11

COURIER Corp                            MA       5.02                 10/17/11

CPI CORP                                DE       3.01,9.01            10/12/11    AMEND

CSB BANCORP INC /OH                     OH       2.01,9.01            10/14/11

CVB FINANCIAL CORP                      CA       2.02,7.01,8.01,9.01  10/19/11

CYMER INC                               NV       2.02,9.01            10/20/11

CYPRESS SEMICONDUCTOR CORP /DE/         DE       2.02,9.01            10/20/11

CYTEC INDUSTRIES INC/DE/                DE       2.02,9.01            10/20/11

DANAHER CORP /DE/                       DE       2.02,9.01            10/19/11

DAVE & BUSTERS INC                      MO       5.02,9.01            10/19/11

Deca Investments, Inc.                  NV       5.02                 10/20/11

DG FastChannel, Inc                     DE       5.02                 10/19/11

DIAMOND OFFSHORE DRILLING INC           DE       2.02,9.01            10/20/11

Diamond Resorts Corp                    MD       1.01,2.03,9.01       10/14/11

DIMECO INC                              PA       2.02,9.01            10/20/11

DNB FINANCIAL CORP /PA/                 PA       2.02,9.01            10/20/11

DONEGAL GROUP INC                       DE       7.01,9.01            10/20/11

Duke Energy CORP                        DE       8.01                 10/19/11

DUSA PHARMACEUTICALS INC                NJ       5.07                 06/08/11    AMEND

Dynastar Holdings, Inc.                 NV       1.01,3.03,5.03,9.01  10/14/11

EAGLE FINANCIAL SERVICES INC            VA       8.01,9.01            10/20/11

EASTGROUP PROPERTIES INC                MD       2.02,9.01            10/20/11

ELECTRONICS FOR IMAGING INC             DE       2.02,9.01            10/20/11

EMERGING MEDIA HOLDINGS INC             NV       5.02,5.03,9.01       09/12/11

Ensco plc                                        7.01,9.01            10/20/11

EnteroMedics Inc                                 2.02,9.01            10/20/11

ENXNET INC                              OK       7.01,9.01            10/20/11

ESTERLINE TECHNOLOGIES CORP             DE       5.02                 10/14/11

Evercore Partners Inc.                  DE       5.07                 06/07/11    AMEND

EVERGREEN ENERGY INC                    DE       8.01                 10/20/11

EWaste Systems, Inc.                    NV       1.01,2.01,3.03,5.03, 10/14/11

Exelis Inc.                             IN       5.02,9.01            10/14/11

FARMERS CAPITAL BANK CORP               KY       2.02,9.01            10/19/11

Federal Home Loan Bank of Atlanta       X1       2.03                 10/20/11

Federal Home Loan Bank of Boston        X1       2.03                 10/18/11

Federal Home Loan Bank of Chicago       X1       2.03                 10/17/11

Federal Home Loan Bank of Cincinnati    X1       2.03,9.01            10/18/11

Federal Home Loan Bank of Des Moines    X1       2.03,9.01            10/18/11

Federal Home Loan Bank of Indianapoli   X1       2.03,9.01            10/20/11

Federal Home Loan Bank of New York      X1       2.03,9.01            10/18/11

Federal Home Loan Bank of Pittsburgh    PA       2.03,9.01            10/17/11

Federal Home Loan Bank of San Francis   X1       2.03                 10/18/11

Federal Home Loan Bank of Seattle                2.03                 10/17/11

Federal Home Loan Bank of Topeka                 2.03,9.01            10/17/11

FIFTH THIRD BANCORP                     OH       2.02,7.01,9.01       10/20/11

FIRST FINANCIAL BANKSHARES INC          TX       2.02,9.01            10/20/11

FIRST HORIZON NATIONAL CORP             TN       5.02,5.03,8.01,9.01  10/17/11

FIRST M&F CORP/MS                       MS       2.02,7.01,9.01       10/20/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       2.02,9.01            10/20/11

FIRST NIAGARA FINANCIAL GROUP INC       DE       7.01,9.01            10/20/11

FIRST SOUTH BANCORP INC /VA/            VA       2.02,9.01            10/20/11

FIRST TRUST SENIOR FLOATING RATE INCO            7.01,9.01            10/20/11

FLEXTRONICS INTERNATIONAL LTD.          U0       2.02,9.01            10/20/11

FLIR SYSTEMS INC                        OR       2.02,9.01            10/20/11

FNB BANCORP/CA/                                  8.01,9.01            09/30/11    AMEND

FORD MOTOR CO                           DE       8.01,9.01            10/19/11

FOUR RIVERS BIOENERGY INC.              NV       8.01                 10/19/11

Freescale Semiconductor Holdings I, L   D0       2.02,9.01            10/20/11

Gambit Energy, Inc.                     NV       5.02,5.03,8.01,9.01  10/20/11

GATX CORP                               NY       2.02,7.01,9.01       10/20/11

Genesis Biopharma, Inc                  NV       5.02,9.01            10/03/11

GENTEX CORP                             MI       2.02,9.01            10/20/11

GeoMet, Inc.                            DE       1.01,7.01,9.01       10/14/11

GEOPETRO RESOURCES CO                   CA       5.02                 10/14/11

Global Growth Trust, Inc.               MD       7.01,9.01            10/20/11

Global Growth Trust, Inc.               MD       2.01,2.03,9.01       10/17/11

GOLD HORSE INTERNATIONAL, INC.          FL       2.02,7.01,9.01       10/18/11

Golub Capital BDC, Inc.                 DE       2.02,9.01            10/20/11

Government Properties Income Trust      MD       1.01,2.03,9.01       10/18/11

GP STRATEGIES CORP                      DE       5.03,9.01            10/14/11

GRANITE CITY FOOD & BREWERY LTD         MN       5.02,5.07,9.01       10/18/11

GULF RESOURCES, INC.                    DE       8.01,9.01            10/19/11

GULFMARK OFFSHORE INC                   DE       2.02,9.01            10/19/11

HANCOCK FABRICS INC                     DE       5.02,9.01            10/17/11

HANMI FINANCIAL CORP                    DE       5.02,9.01            10/19/11

HANMI FINANCIAL CORP                    DE       2.02,9.01            10/20/11

HARBINGER GROUP INC.                    DE       7.01,9.01            10/20/11

HARLEYSVILLE SAVINGS FINANCIAL CORP              2.02,9.01            10/19/11

HealthWarehouse.com, Inc.               DE       1.01,3.02,5.03,5.07, 10/17/11
HEARTLAND EXPRESS INC                   NV       5.02,9.01            10/15/11

HEARTLAND FINANCIAL USA INC             DE       7.01,9.01            10/20/11

HENRY SCHEIN INC                        DE       1.01,8.01,9.01       10/14/11

Heritage-Crystal Clean, Inc.            DE       2.02,9.01            10/19/11

HERSHEY CO                              DE       1.01,1.02,2.03,9.01  10/14/11

HITTITE MICROWAVE CORP                           2.02,9.01            10/20/11

HNI CORP                                IA       2.02,9.01            10/19/11

HOME BANCSHARES INC                              2.02,7.01,9.01       10/20/11

Homeland Security Capital CORP          DE       5.02                 10/14/11

Horizon Lines, Inc.                              3.01,9.01            10/14/11

HUBBELL INC                             CT       1.01,1.02,2.03,9.01  10/20/11

HUBBELL INC                             CT       2.02,9.01            10/20/11

HUDSON HIGHLAND GROUP INC               DE       1.02,2.04            09/05/11

HUMANA INC                              DE       8.01,9.01            10/20/11

HUNTINGTON BANCSHARES INC/MD            MD       2.02,9.01            10/20/11

IDEX CORP /DE/                          DE       2.02,9.01            10/19/11

IFLI Acquisition Corp.                  DE       1.01,9.01            10/20/11

IMPAX LABORATORIES INC                  DE       7.01                 10/19/11

INDEPENDENT BANK CORP                   MA       2.02,7.01,9.01       10/20/11

INFORMATICA CORP                        DE       2.02,9.01            10/20/11

Ingersoll-Rand plc                      L2       2.02,9.01            10/20/11

Ingersoll-Rand plc                      L2       2.06                 09/30/11    AMEND

Inspired Builders, Inc.                 NV       1.01                 10/13/11

INSTEEL INDUSTRIES INC                  NC       2.02,9.01            10/20/11

Interactive Brokers Group, Inc.         DE       2.02                 10/20/11

Internal Fixation Systems, Inc.         FL       5.02,9.01            10/14/11

INTERNATIONAL BARRIER TECHNOLOGY INC    A1       7.01,9.01            10/14/11

INTUIT INC                              DE       5.02                 10/18/11

IPC The Hospitalist Company, Inc.       DE       5.02,9.01            10/19/11

IRONWOOD PHARMACEUTICALS INC                     1.01                 10/18/11

ITT Corp                                IN       5.02,9.01            10/14/11

ITT Corp                                IN       5.02,9.01            10/05/11    AMEND

ITT EDUCATIONAL SERVICES INC            DE       2.02,9.01            10/20/11

IXIA                                    CA       2.02,9.01            10/20/11

JANUS CAPITAL GROUP INC                 DE       2.02,9.01            10/20/11

Kennedy-Wilson Holdings, Inc.           DE       8.01                 10/20/11

KENSEY NASH CORP                        DE       2.02,9.01            10/20/11

KEY TECHNOLOGY INC                      OR       5.02                 10/18/11

KEYCORP /NEW/                           OH       2.02,7.01,9.01       10/20/11

Keyuan Petrochemicals, Inc.             NV       4.02                 10/19/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       2.02                 10/20/11

LABORATORY CORP OF AMERICA HOLDINGS     DE       7.01                 10/20/11

LACROSSE FOOTWEAR INC                   WI       2.02,9.01            10/20/11

LAS VEGAS RAILWAY EXPRESS, INC.         DE       5.02                 10/19/11

LATTICE SEMICONDUCTOR CORP              DE       2.02,9.01            10/20/11

LAW ENFORCEMENT ASSOCIATES CORP         NV       9.01                 09/30/11    AMEND

LEAF Equipment Finance Fund 4, L.P.     DE       5.03,9.01            10/17/11

LEAF Equipment Leasing Income Fund II   DE       5.03,9.01            10/17/11

LEHMAN ABS CORP BACKED TRUST CERTS SE   DE       8.01,9.01            10/17/11

LEVEL 3 COMMUNICATIONS INC              DE       3.03,5.03,8.01,9.01  10/19/11

Li3 Energy, Inc.                        NV       5.02                 10/14/11

Liberty Gold Corp.                      DE       3.02,8.01,9.01       10/10/11    AMEND

LIFE PARTNERS HOLDINGS INC              TX       8.01,9.01            10/19/11

LIFE TIME FITNESS, INC.                 MN       2.02,9.01            10/20/11

LILLY ELI & CO                          IN       2.02,9.01            10/20/11

LIVEDEAL INC                            NV       8.01,9.01            10/19/11

MARKWEST ENERGY PARTNERS L P                     7.01,9.01            10/20/11

MARTEN TRANSPORT LTD                    DE       2.02,9.01            10/18/11

MATERION Corp                                    8.01                 10/19/11

MAXIM INTEGRATED PRODUCTS INC           DE       2.02,9.01            10/20/11

MCGRAW-HILL COMPANIES INC               NY       2.02,7.01,9.01       10/20/11

Mercantile Bancorp, Inc.                DE       1.01,9.01            10/19/11

Mericol, Inc.                           NV       4.01,9.01            10/19/11

Merilus, Inc.                           NV       4.01,9.01            10/04/11    AMEND

MESA ROYALTY TRUST/TX                   TX       2.02,9.01            10/20/11

MGP INGREDIENTS INC                     KS       7.01,9.01            10/20/11

MICROFINANCIAL INC                      MA       2.02,9.01            10/19/11

MICROSOFT CORP                          WA       2.02,9.01            10/20/11

MINDEN BANCORP, INC.                    LA       7.01,9.01            10/20/11

MODINE MANUFACTURING CO                 WI       5.02,9.01            10/17/11

Monarch Financial Holdings, Inc.        VA       2.02,9.01            10/20/11

NB&T FINANCIAL GROUP INC                OH       2.02,7.01,9.01       10/20/11

NEOPROBE CORP                           DE       8.01,9.01            10/19/11

Net Savings Link, Inc.                  NV       1.01,9.01            10/18/11

NETSCOUT SYSTEMS INC                    DE       2.02,9.01            10/20/11

NEW YORK TIMES CO                       NY       2.02,9.01            10/20/11

NEWBRIDGE BANCORP                       NC       2.02,9.01            10/20/11

NEWFIELD EXPLORATION CO /DE/            DE       2.02,7.01,9.01       10/19/11

NEWS CORP                                        8.01,9.01            10/20/11

NOBLE ENERGY INC                        DE       2.02,9.01            10/20/11

NORFOLK SOUTHERN CORP                   VA       1.01                 10/20/11

Northfield Bancorp, Inc.                X1       1.01,2.01,7.01,9.01  10/14/11

NORWOOD FINANCIAL CORP                  PA       2.02,9.01            10/20/11

NUCOR CORP                              DE       2.02,9.01            10/20/11

NUTRITION 21 INC                        NY       7.01,9.01            10/20/11

NVR INC                                 VA       2.02,9.01            10/20/11

ORBITAL SCIENCES CORP /DE/              DE       2.02,9.01            10/19/11

OSL HOLDINGS INC.                                1.01,2.01,3.02,5.01, 10/10/11

PACIFIC PREMIER BANCORP INC             DE       2.02,9.01            09/30/11

PACWEST BANCORP                         DE       2.02,9.01            10/20/11

Patriot Coal CORP                       DE       2.02,9.01            10/20/11

PediatRx Inc.                           NV       2.02,9.01            10/20/11

PEREGRINE PHARMACEUTICALS INC           DE       5.02,5.07            10/20/11

PERKINELMER INC                         MA       8.01,9.01            10/20/11

PETROQUEST ENERGY INC                   DE       7.01,9.01            10/20/11

Philip Morris International Inc.        VA       2.02,9.01            10/20/11

PICO HOLDINGS INC /NEW                  CA       5.02                 10/19/11

PIXELWORKS, INC                         OR       2.02,9.01            10/20/11

PLUG POWER INC                          DE       5.02,9.01            10/19/11

POOL CORP                               DE       1.01,1.02,2.02,2.03, 10/20/11
POPULAR INC                                      2.02,9.01            10/19/11

PPG INDUSTRIES INC                      PA       2.02,9.01            10/20/11

PREMIER EXHIBITIONS, INC.               FL       1.01,8.01,9.01       10/17/11

PREMIERE GLOBAL SERVICES, INC.          GA       2.02,9.01            10/20/11

PSM HOLDINGS INC                        NV       9.01                 08/08/11    AMEND

PULASKI FINANCIAL CORP                  MO       2.02,9.01            10/18/11

PULSE ELECTRONICS CORP                  PA       5.02                 10/17/11

QUICKSILVER RESOURCES INC               DE       8.01,9.01            10/19/11

RAMBUS INC                              DE       2.02,9.01            10/20/11

RAMCO GERSHENSON PROPERTIES TRUST       MD       5.07                 10/19/11

RAMTRON INTERNATIONAL CORP              DE       8.01,9.01            10/19/11

RAMTRON INTERNATIONAL CORP              DE       2.02,9.01            10/20/11

Rand Logistics, Inc.                    DE       2.01,8.01,9.01       10/14/11

Recon Technology, Ltd                   E9       3.01,9.01            10/17/11

RECOVERY ENERGY, INC.                   NV       5.03,8.01,9.01       10/17/11

RENTECH INC /CO/                        CO       2.02,2.06            10/19/11

REPUBLIC FIRST BANCORP INC              PA       2.02,9.01            10/19/11

REX AMERICAN RESOURCES Corp             DE       8.01,9.01            10/20/11

River Rock Entertainment Authority      XX       2.02,7.01,8.01,9.01  10/19/11

RIVER VALLEY BANCORP                    IN       2.02,9.01            10/18/11

RJO GLOBAL TRUST                                 5.02                 10/14/11

Roadrunner Transportation Systems, In   DE       5.02,9.01            10/14/11

ROLLINS INC                             DE       8.01,9.01            10/18/11

RSC Holdings Inc.                       DE       2.02,9.01            10/20/11

SANDISK CORP                            DE       2.02,9.01            10/20/11

SANDY SPRING BANCORP INC                MD       2.02,9.01            10/20/11

SAVANNAH BANCORP INC                    GA       5.07                 04/21/11    AMEND

SCHAWK INC                                       2.03,8.01,9.01       10/19/11

SCHNITZER STEEL INDUSTRIES INC          OR       2.02,9.01            10/20/11

SCICLONE PHARMACEUTICALS INC            DE       8.01,9.01            10/20/11

SCIENTIFIC GAMES CORP                   DE       8.01,9.01            10/19/11

SENSIENT TECHNOLOGIES CORP              WI       2.01,8.01,9.01       10/19/11

SHARPROCK RESOURCES INC.                NV       5.02                 10/14/11

SIMMONS FIRST NATIONAL CORP             AR       2.02,9.01            10/20/11

SLM Student Loan Trust 2005-5                    8.01                 10/20/11

SLM Student Loan Trust 2005-8                    8.01                 10/20/11

SMITH MICRO SOFTWARE INC                DE       2.05                 10/18/11

SNAP-ON Inc                             DE       2.02,9.01            10/20/11

Solar Energy Initiatives, Inc.          DE       1.01,2.03,3.02,9.01  10/17/11

SONIC CORP                              DE       2.02,9.01            10/18/11

SONO TEK CORP                           NY       7.01,9.01            10/18/11

SOUTHERN COMMUNITY FINANCIAL CORP                2.02,9.01            10/20/11

SOUTHWEST AIRLINES CO                   TX       2.02,9.01            09/30/11

SOUTHWEST BANCORP INC                   OK       2.02,7.01,9.01       10/20/11

SOUTHWEST GEORGIA FINANCIAL CORP        GA       2.02,9.01            09/30/11

Spansion Inc.                           DE       5.07                 05/31/11    AMEND

Spectra Energy Corp.                    DE       1.01,1.02,2.03,9.01  10/18/11

Spectra Energy Partners, LP             DE       1.01,1.02,2.03,9.01  10/18/11

State Auto Financial CORP               OH       8.01,9.01            10/17/11

STEEL DYNAMICS INC                      IN       2.02,9.01            10/17/11

STEEL DYNAMICS INC                      IN       5.02,8.01,9.01       10/14/11

STEPAN CO                               DE       2.02,9.01            10/19/11

STR HOLDINGS, INC.                      DE       2.02,9.01            10/17/11

SUBURBAN PROPANE PARTNERS LP            DE       7.01,8.01,9.01       10/20/11

SUPERMEDIA INC.                         DE       7.01,9.01            10/20/11

SUSQUEHANNA BANCSHARES INC              PA       5.02                 10/17/11

Susser Holdings CORP                    DE       2.02,9.01            10/18/11

SVB FINANCIAL GROUP                              7.01                 10/20/11

SVB FINANCIAL GROUP                              2.02,9.01            10/20/11

SYNAPTICS INC                           DE       2.02,9.01            10/20/11

SYNOPSYS INC                            DE       1.01                 10/15/11

SYNTEL INC                              MI       2.02,9.01            10/20/11

TAUBMAN CENTERS INC                     MI       2.02,9.01            10/20/11

TAYLOR CAPITAL GROUP INC                DE       7.01,9.01            10/20/11

TAYLOR CAPITAL GROUP INC                DE       2.02,9.01            10/20/11

TCF FINANCIAL CORP                      DE       2.02,9.01            10/20/11

TE Connectivity Ltd.                    V8       5.02                 10/14/11

TELIK INC                               DE       8.01                 10/20/11

TEMPUR PEDIC INTERNATIONAL INC          DE       2.02,7.01,9.01       10/20/11

TEXAS CAPITAL BANCSHARES INC/TX                  2.02,9.01            10/19/11

THEGLOBE COM INC                        DE       8.01                 10/14/11

THOMAS & BETTS CORP                     TN       2.02,9.01            10/20/11

Tonix Pharmaceuticals Holding Corp.     NV       8.01,9.01            10/20/11

TRIDENT ACQUISITIONS, INC.              NV       5.02                 10/20/11

ULTRATECH INC                           DE       2.02,9.01            10/20/11

UMPQUA HOLDINGS CORP                    OR       2.02,9.01            10/19/11

UNIGENE LABORATORIES INC                DE       8.01,9.01            10/20/11

UNION BANKSHARES INC                    VT       2.02,8.01,9.01       10/19/11

UNION PACIFIC CORP                      UT       2.02,9.01            10/20/11

URS CORP /NEW/                          DE       1.01,1.02,2.03,7.01, 10/19/11
USG CORP                                DE       2.02,9.01            10/20/11

UTAH MEDICAL PRODUCTS INC               UT       2.02                 10/20/11

VERENIUM CORP                           DE       1.01,2.03            10/19/11

Voice Assist, Inc.                      NV       5.02,9.01            10/14/11

VSE CORP                                DE       5.02                 10/12/11

WATSCO INC                              FL       2.02,7.01,9.01       10/20/11

WEB.COM GROUP, INC.                     DE       5.02                 07/01/11

WEB.COM GROUP, INC.                     DE       8.01,9.01            10/17/11

WebXU, Inc.                             DE       5.03,8.01,9.01       10/14/11

WESCO INTERNATIONAL INC                          2.02,7.01,9.01       10/20/11

WESTERN DIGITAL CORP                    DE       7.01,9.01            10/19/11

WESTWOOD HOLDINGS GROUP INC             DE       2.02,7.01,9.01       10/19/11

WNC HOUSING TAX CREDIT FUND III L P     CA       2.02,9.01            10/19/11

WSFS FINANCIAL CORP                     DE       8.01,9.01            10/20/11

Xylem Inc.                              IN       5.02,9.01            10/14/11

YOUNG INNOVATIONS INC                   MO       2.02,8.01,9.01       10/19/11

ZION OIL & GAS INC                      DE       4.01,9.01            10/17/11



Modified: 10/21/2011