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ENFORCEMENT PROCEEDINGSIn the Matter of John P. Flannery and James D. HopkinsAn Administrative Law Judge has issued an Initial Decision in John P. Flannery, Admin. Proc. No. 3-14081, finding that Respondents John P. Flannery and James D. Hopkins did not violate the antifraud provisions of the federal securities statutes and dismissing the proceeding. The Securities and Exchange Commission (Commission) issued an Order Instituting Proceedings on September 30, 2010, in which the Division of Enforcement alleged that Respondents, employees of State Street Bank and Trust Company, misled investors in 2006-07, about the extent of subprime mortgage-backed securities held in an unregistered fund, and engaged in a course of conduct, which resulted in willful violations of Sections 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act), and Exchange Act Rule 10b-5. A copy of the Initial Decision, which can be appealed to the Commission, is available at the Commission’s website, www.SEC.gov, under Administrative Law Judges, ALJ Initial Decisions. (Initial Decision No. 438; File No. 3-14081) In the Matter of Hector Gallardo, Michael Zurita, and Orion Trading, LLCOn October 31, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and Cease-and-Desist Orders Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 (Order) as to Michael Zurita (Zurita) and Orion Trading, LLC (Orion). On the basis of the Order and the offers of settlement of Zurita and Orion, the Commission found that in 2007, Zurita, the President of Orion, a Florida-based registered broker-dealer and the supervisor responsible for Orion’s New York branch office, failed to reasonably supervise Hector Gallardo (Gallardo), a registered representative of Orion. Zurita failed to follow-up on red flags that made him aware that an Orion customer was communicating with Gallardo about stock market investments that would pay returns in excess of twelve percent per month (144% annualized) and that the customer was proposing to enter into a profit sharing arrangement with Gallardo, which violated Orion’s procedures. Zurita failed to take reasonable steps to investigate Gallardo’s conduct, which would have led to detecting and preventing Gallardo’s violations of the antifraud provisions of the securities laws. Further, as Orion’s President, Zurita was responsible for establishing, maintaining, and implementing policies, procedures, and systems that are reasonably designed to detect violative activity by Orion’s registered representatives. Orion and Zurita failed to develop reasonable systems to implement Orion’s Written Supervisory Procedures with respect to prohibited transactions. In addition, for several months in 2006 and 2007, Orion and Zurita permitted an unlicensed foreign associate to perform the functions of a registered representative at Orion’s New York branch office. As a result of the conduct described above, the Commission found that Zurita and Orion failed reasonably to supervise Gallardo within the meaning of Section 15(b)(4)(E) of the Exchange Act, which requires broker-dealers reasonably to supervise persons subject to their supervision with a view toward preventing and detecting Gallardo’s violations of the antifraud provisions of the federal securities laws. The Commission further found that Orion violated Section 15(b)(7) of the Exchange Act and Rule 15b7-1 thereunder, which require registration of individuals effecting securities transactions in accordance with standards set forth by a national securities association of which the broker-dealer is a member, and that Zurita aided and abetted and caused Orion’s violations of Section 15(b)(7) of the Exchange Act and Rule 15b7-1 thereunder. Based on the above, the Commission deemed it appropriate and in the public interest to impose the sanctions agreed to in the offers of settlement of Zurita and Orion. Zurita and Orion consented to the issuance of the Order without admitting or denying the findings in the Order. The Commission ordered that Zurita and Orion cease and desist from committing or causing any violations and any future violations of Section 15(b)(7) of the Exchange Act and Rule 15b7-1 thereunder, and that Orion be censured. The Commission further ordered that Zurita be barred from association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, with the right to apply for reentry after three years. The Commission also ordered Zurita and Orion to pay civil penalties of $35,000 and $50,000, respectively. Finally, Orion undertook to hire an individual with appropriate supervisory licenses and qualifications to assume supervisory authority at Orion. (Rel. 34-65658; File No. 3-14139) In the Matter of David StoryOn October 31, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against David Story. The Order finds that beginning in or around September 2006, David Story (Story) solicited investors located in the United States and Spain to invest with Story, through his companies, U.S. Ventures International, LLC and Siim, S.L. Story raised at least $3,844,000 from investors promising investors a guaranteed return of 5% per month. Story represented that the funds would be used to invest in futures trading, with the safety of principal being the primary concern. Instead of investing funds as promised, Story used investor funds to pay earlier investors and to pay for his own personal expenses. Based on the above, Story was ordered to cease and desist from committing or causing any violations and any future violations of Sections 5(a), 5(c) and 17(a) of the Securities Act of 1933, and Sections 10(b) and 15(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Story was barred from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, and prohibited from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter, and barred from participating in any offering of a penny stock, including: acting as a promoter, finder, consultant, agent or other person who engages in activities with a broker, dealer or issuer for purposes of the issuance or trading in any penny stock, or inducing or attempting to induce the purchase or sale of any penny stock. Story consented to the issuance of the Order without admitting or denying any of the any of the findings in the Order. (Rel. 33-9272; 34-65657; IC-29854; File No. 3-14607) U.S. Attorney Charges Massachusetts-Based Purported Hedge Fund Manager With Fraud; Court Enters Preliminary Injunction in Commission ActionThe Securities and Exchange Commission today announced that the U.S. Attorney for the District of Massachusetts has charged Andrey C. Hicks of Boston, Mass., in a criminal complaint unsealed on October 28, 2011. Hicks was charged with committing wire fraud, attempting to commit wire fraud, and aiding and abetting wire fraud, in violation of 18 U.S.C. Sections 1343, 1349, and 2. On October 26, 2011, the SEC filed an emergency enforcement action charging Hicks and Locust Offshore Management, LLC, his investment advisory firm, with fraud in connection with misleading prospective investors about their supposed quantitative hedge fund and diverting investor money to the money manager’s personal bank account. The SEC alleges in its complaint that Hicks and his advisory firm made misrepresentations about his education, work experience, and the hedge fund’s auditor, prime broker/custodian, and corporate status when soliciting individuals to invest in the purported hedge fund, called Locust Offshore Fund, Ltd. By making these representations and creating other indicia of legitimacy, the SEC alleged that Hicks may have obtained at least $1.7 million from 10 investors and may have misappropriated at least a portion of these funds for personal expenses. In the Commission’s action, the U.S. District Court in Massachusetts issued a temporary restraining order that, among other things, freezes the assets of the money manager, his advisory firm, and the hedge fund. On October 28, 2011, the Court converted the temporary restraining order into a preliminary injunction that will continue the asset freeze and other relief until further order of the Court. [United States of America v. Andrey C. Hicks (United States District Court for the District of Massachusetts, Case No. 11-mi-1147-RBC); SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, as Defendants, and Locust Offshore Fund, Ltd., as Relief Defendant (United States District Court for the District of Massachusetts, Civil Action No. 1:11-cv-11888-RGS)] (LR-22144) SEC Charges New York-Based Hedge Fund Adviser and its Co-Owner for Scheme to Evade Group Purchase Limits in Several Bank Conversion OfferingsThe Securities and Exchange Commission announced today the filing of a civil injunctive action against Drake Asset Management, LLC (Drake), of Glen Head, NY, and Oliver R. Grace, Jr., of Hobe Sound, FL, for conducting a scheme to evade the group purchase limits of the public offerings of seven banks that were converting from mutual to stock ownership. The Commission’s complaint alleges that, from 2003 through 2007, Grace knowingly or recklessly failed to disclose his association with certain entities, including hedge funds managed by Drake, which participated in the offerings alongside Grace. Under Grace’s direction, Drake also knowingly or recklessly failed to disclose the hedge funds’ association with Grace. By failing to disclose these associations, Grace and the Drake hedge funds were able to acquire stock that exceeded the offerings’ group purchase limits, in violation of offering terms and banking regulations. The complaint alleges that Drake and Grace, to conceal their relationships and group activity from converting banks and their underwriters, arranged for the hedge funds and Grace’s other associated entities to take steps to prevent the banks from associating these group orders. Over the course of the scheme, Drake and Grace generated $610,781 in ill-gotten gains. Because the seven offerings at issue were oversubscribed, the scheme harmed other bank depositors by limiting the amount of stock available to them. The Commission’s complaint, which was filed in the United States District Court for the District of Columbia, charges Drake and Grace with violations of the antifraud provisions of the Securities Exchange Act of 1934, Section 10(b) and Rule 10b-5 thereunder. Drake, without admitting or denying the allegations in the complaint, has consented to the entry of a final judgment permanently enjoining it from violating the abovementioned provisions and imposing a civil monetary penalty of $175,000. Grace, without admitting or denying the allegations in the complaint, has consented to the entry of a final judgment permanently enjoining him from violating the abovementioned provisions, ordering him to pay $838,285 in disgorgement and prejudgment interest, and imposing a civil monetary penalty of $150,000. The settlements are subject to approval by the Court. [SEC v. Drake Asset Management, LLC and Oliver R. Grace, Jr., Civil Action No. 11-CV-01905 (D.D.C.)] (LR-22145) SELF-REGULATORY ORGANIZATIONSApproval of Proposed Rule ChangesThe Commission has approved a proposed rule change (SR-OCC-2011-12) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to adopt fitness standards for directors, clearing members, and others. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65648) The Commission has approved a proposed rule change (SR-OCC-2011-08) filed by The Options Clearing Corporation (OCC) under Section 19(b)(2) of the Securities Exchange Act of 1934 to provide specific authority to use an auction process as one of the means to liquidate a defaulting clearing member's accounts. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65654) The Commission has approved a proposed rule change (SR-CME-2011-07) filed by the Chicago Mercantile Exchange Inc. (CME) under Section 19(b)(2) of the Securities Exchange Act of 1934 to add rules to accept additional credit default index swaps for clearing. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65655) Designation of Longer Period For Commission Action on a Proposed RuleThe Commission has designated a longer period for Commission action under Section 19(b)(2) of the Securities Exchange Act of 1934 on a proposed rule change (SR-NASDAQ-2011-122) filed by The NASDAQ Stock Market LLC to describe complimentary services that are offered to certain new listings on NASDAQ’s Global and Global Select Markets. Publication is expected in the Federal Register during the week of October 31. (Rel. 34-65653) SECURITIES ACT REGISTRATIONSThe following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. S-3 WESTERN ALLIANCE BANCORPORATION, ONE E. WASHINGTON STREET, PHOENIX, AZ, 85004, 6029525408 - 0 ($141,000,000.00) Equity, (File 333-177566 - Oct. 28) (BR. 07C) S-1 GLOBAL LINES INC, 16400 COLLINS AVENUE UNIT 2142, SUNNY ISLES BEACH, FL, 33160, 954-889-7573 - 10,000,000 ($100,000.00) Equity, (File 333-177567 - Oct. 28) (BR. 05) S-8 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, ONTARIO CANADA, A6, M5X 1A1, 4168677191 - 500,000 ($29,330,000.00) Equity, (File 333-177568 - Oct. 28) (BR. 12A) S-8 WISCONSIN ENERGY CORP, 231 W MICHIGAN ST, P O BOX 1331, MILWAUKEE, WI, 53201, 414-221-2345 - 33,000,000 ($1,082,400,000.00) Equity, (File 333-177572 - Oct. 28) (BR. 02B) S-8 MARCUS CORP, 100 EAST WISCONSIN AVENUE, SUITE 1900, MILWAUKEE, WI, 53202-4125, 4142726020 - 2,074,318 ($24,248,777.42) Equity, (File 333-177573 - Oct. 28) (BR. 08B) S-3ASR WISCONSIN ENERGY CORP, 231 W MICHIGAN ST, P O BOX 1331, MILWAUKEE, WI, 53201, 414-221-2345 - 3,000,000 ($98,400,000.00) Equity, (File 333-177575 - Oct. 28) (BR. 02B) F-3 GLOBAL SOURCES LTD /BERMUDA, CANON'S COURT, 22 VICTORIA STREET, HAMILTON, D0, HM 12, 300,000,000 ($300,000,000.00) Equity, (File 333-177577 - Oct. 28) (BR. 11A) S-8 BANK OF MONTREAL /CAN/, 1 FIRST CANADIAN PLACE, TORONTO, ONTARIO CANADA, A6, M5X 1A1, 4168677191 - 3,000,000 ($175,980,000.00) Equity, (File 333-177579 - Oct. 28) (BR. 12A) S-3ASR ALTRIA GROUP, INC., 6601 WEST BROAD STREET, RICHMOND, VA, 23230, (804) 274-2200 - 0 ($0.00) Non-Convertible Debt, (File 333-177580 - Oct. 28) (BR. 05A) S-1 SAVING ENERGY SOLAR INC., 2043 PABCO ROAD, HENDERSON, NV, 89011, 702-448-4410 - 8,067,454 ($4,033,727.00) Equity, (File 333-177583 - Oct. 28) (BR. ) S-1 XCel Brands, Inc., 475 10TH AVENUE, 4TH FLOOR, NEW YORK, NY, 10018, (347) 727-2474 - 2,912,860 ($15,178,843.00) Equity, (File 333-177585 - Oct. 28) (BR. 03A) S-8 SENESCO TECHNOLOGIES INC, 34 CHAMBERS STREET, PO BOX 3303, PRINCETON, NJ, 08542, 908-864-4444 - 11,867,803 ($2,076,866.00) Equity, (File 333-177586 - Oct. 28) (BR. 01A) S-8 BERKSHIRE HILLS BANCORP INC, 24 NORTH ST., PITTSFIELD, MA, 01201, 4134435601 - 1,477,673 ($31,540,112.29) Equity, (File 333-177587 - Oct. 28) (BR. 07B) F-3ASR Royal Dutch Shell plc, CAREL VAN BYLANDTLAAN 30, THE HAGUE, P7, 2596 HR, 31-70-377-9111 - 0 ($0.00) Unallocated (Universal) Shelf, (File 333-177588 - Oct. 28) (BR. 04A) S-1 AURORA GOLD CORP, C/- CORESCO AG, LEVEL 3, GOTTHARDSTRASSE 20, ZUG, 6304, V8, 00000, 41-7887-96966 - 100,000,000 ($15,000,000.00) Equity, (File 333-177589 - Oct. 28) (BR. 09B) S-8 FLAMEL TECHNOLOGIES SA, PARC CLUB DU MOULIN A VENT, 33 AVE DU DOCTEUR GEORGES LEVY, VENISSIEUX CED, I0, 69693, 2126641666 - 3,350,000 ($15,644,500.00) Equity, (File 333-177591 - Oct. 28) (BR. 01A) S-1 SCOOP MEDIA, INC., 2187 PREVILLE ST., LASALLE, A8, H8N 1N4, 514-312-7075 - 10,000,000 ($100,000.00) Equity, (File 333-177592 - Oct. 28) (BR. ) S-8 ATMOS ENERGY CORP, 1800 THREE LINCOLN CTR, 5430 LBJ FREEWAY, DALLAS, TX, 75240, 9729349227 - 0 ($74,294,000.00) Equity, (File 333-177593 - Oct. 28) (BR. 02B) S-1 GLOBAL BRASS & COPPER HOLDINGS, INC., 1901 N. ROSELLE ROAD, SUITE 800, SCHAUMBERG, IL, 60195, 847-517-6340 - 0 ($150,000,000.00) Equity, (File 333-177594 - Oct. 28) (BR. ) F-1 LaShou Group Inc., ROOM 1003, H BUILDING (N) TIME FORTUNE, Jia-6 Chuguange Xili, Chaoyang District, Beijing, F4, 100028, 86-10-8444-0025 - 0 ($100,000,000.00) ADRs/ADSs, (File 333-177596 - Oct. 28) (BR. 11C) S-4 COCA COLA CO, ONE COCA COLA PLAZA, ATLANTA, GA, 30313, 404-676-2121 - 0 ($2,979,354,000.00) Debt, (File 333-177600 - Oct. 28) (BR. 09A) S-8 USA TECHNOLOGIES INC, 100 DEERFIELD LANE, SUITE 140, MALVERN, PA, 19355, 6109890340 - 0 ($462,000.00) Equity, (File 333-177601 - Oct. 28) (BR. 03B) S-8 ITT Corp, 1133 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604, 914.641.2041 - 0 ($225,975,000.00) Other, (File 333-177604 - Oct. 28) (BR. 10B) S-8 Exelis Inc., 1650 TYSONS BOULEVARD, SUITE 1700, MCLEAN, VA, 22102, 703-790-6300 - 0 ($421,500,000.00) Other, (File 333-177605 - Oct. 28) (BR. 11C) S-8 Zeltiq Aesthetics Inc, 4698 Willow Road, Suite 100, Pleasanton, CA, 94588-2710, (925) 474-2500 - 7,854,321 ($58,204,284.93) Equity, (File 333-177606 - Oct. 28) (BR. 10C) S-8 Xylem Inc., 1133 WESTCHESTER AVENUE, WHITE PLAINS, NY, 10604, 914-304-1700 - 0 ($575,025,000.00) Other, (File 333-177607 - Oct. 28) (BR. 10B) S-8 Seagate Technology plc, 38/39 FITZWILLIAM SQUARE, DUBLIN 2, L2, 00000, (353) (1) 234-3136 - 0 ($592,681,085.84) Equity, (File 333-177609 - Oct. 28) (BR. 03A) RECENT 8K FILINGSForm 8-K is used by companies to file current reports on the following events:
8-K reports may be viewed in person in the Commission's Public Reference Branch at 100 F Street, N.E., Washington, D.C. To obtain paper copies, please refer to information on the Commission's Web site at http://www.sec.gov/answers/publicdocs.htm. In most cases, you can view and download this information by using the search function located at http://www.sec.gov/edgar/searchedgar/companysearch.html. STATE NAME OF ISSUER CODE 8K ITEM NO. DATE COMMENT 1ST CONSTITUTION BANCORP NJ 2.02,9.01 10/28/11 57th Street General Acquisition Corp DE 5.03,5.07,8.01,9.01 10/25/11 ACACIA RESEARCH CORP DE 8.01 10/27/11 ACI WORLDWIDE, INC. DE 8.01,9.01 10/28/11 ADOLOR CORP 8.01 10/26/11 AFS SenSub Corp. 1.01,8.01,9.01 10/26/11 AFS SenSub Corp. 8.01,9.01 10/26/11 ALL AMERICAN PET COMPANY, INC. MD 5.02 10/28/11 AMEND Alliance Bancorp, Inc. of Pennsylvani PA 2.02,9.01 10/27/11 Alliance Holdings GP, L.P. DE 2.02,9.01 10/28/11 ALLIANCE RESOURCE PARTNERS LP DE 2.02,9.01 10/28/11 AMACORE GROUP, INC. DE 8.01 10/28/11 AMCOL INTERNATIONAL CORP DE 2.02,9.01 10/28/11 AMERICAN APPAREL, INC DE 5.02,9.01 10/24/11 AMERICAN AXLE & MANUFACTURING HOLDING DE 2.02,9.01 10/28/11 American Realty Capital Properties, I MD 1.01,7.01,9.01 10/28/11 American Realty Capital Properties, I MD 7.01 10/28/11 AMERIGROUP CORP 2.02,9.01 10/28/11 AMERISOURCEBERGEN CORP DE 1.01,9.01 10/28/11 Ampio Pharmaceuticals, Inc. DE 7.01,9.01 10/26/11 Antero Resources Finance Corp DE 1.01,2.03,7.01,9.01 10/26/11 ANWORTH MORTGAGE ASSET CORP MD 2.02,9.01 10/28/11 AON CORP DE 2.02,9.01 10/28/11 APARTMENT INVESTMENT & MANAGEMENT CO MD 2.02,9.01 10/28/11 ARCH COAL INC DE 2.02,9.01 10/28/11 ARI NETWORK SERVICES INC /WI WI 5.02 10/24/11 ARKANSAS BEST CORP /DE/ DE 2.02,9.01 10/28/11 Armour Residential REIT, Inc. MD 8.01,9.01 10/28/11 ASHLAND INC. KY 2.01,9.01 08/23/11 AMEND AtheroNova Inc. DE 3.02 09/30/11 Atrinsic, Inc. DE 1.01,9.01 10/27/11 Atrinsic, Inc. DE 8.01 10/28/11 Bacterin International Holdings, Inc. DE 7.01,9.01 10/28/11 Bank of Commerce Holdings CA 7.01,9.01 10/28/11 Banks.com, Inc. FL 1.01 10/24/11 BARNES GROUP INC DE 2.02 10/28/11 Beacon Federal Bancorp, Inc. MD 2.02,9.01 10/27/11 BEASLEY BROADCAST GROUP INC DE 2.02,9.01 10/28/11 Behringer Harvard Mid-Term Value Enha TX 5.02 10/24/11 Behringer Harvard Opportunity REIT I, MD 5.02 10/24/11 Behringer Harvard Opportunity REIT II MD 5.02 10/24/11 BEHRINGER HARVARD SHORT TERM OPPORTUN TX 5.02 10/24/11 BENCHMARK ELECTRONICS INC TX 2.02,7.01,9.01 10/27/11 BERRY PLASTICS CORP DE 5.02,9.01 10/28/11 BIOGEN IDEC INC. DE 2.02,9.01 10/28/11 BLASTGARD INTERNATIONAL INC CO 5.02,7.01,9.01 10/28/11 BNC BANCORP NC 2.02,9.01 10/28/11 BOLT TECHNOLOGY CORP CT 2.02,9.01 10/27/11 Bonanza Goldfield Corp. NV 5.02,9.01 10/24/11 Bonanza Goldfield Corp. NV 5.02,9.01 10/24/11 AMEND BORGWARNER INC DE 2.02,9.01 10/28/11 BOSTON SCIENTIFIC CORP DE 5.02,9.01 10/24/11 BROCADE COMMUNICATIONS SYSTEMS INC DE 5.02 10/25/11 BSB Bancorp, Inc. MD 2.02,9.01 10/27/11 C & F FINANCIAL CORP VA 2.02,9.01 10/26/11 CABLEVISION SYSTEMS CORP /NY DE 2.02,9.01 10/28/11 CAGLES INC GA 2.03 10/24/11 CALAIS RESOURCES INC 1.01,5.02,9.01 10/24/11 CALPINE CORP DE 2.02,9.01 10/28/11 CAMCO FINANCIAL CORP DE 2.02,9.01 10/28/11 CANO PETROLEUM, INC 3.01 10/26/11 CANO PETROLEUM, INC 3.01 10/14/11 AMEND CANTEL MEDICAL CORP DE 9.01 10/21/11 AMEND CATALYST PHARMACEUTICAL PARTNERS, INC DE 1.01,9.01 10/28/11 CELL THERAPEUTICS INC WA 2.02,7.01,9.01 10/28/11 CENTRAL PACIFIC FINANCIAL CORP HI 2.02,9.01 09/30/11 Cereplast Inc NV 2.02,9.01 10/24/11 CHASE BANK USA, NATIONAL ASSOCIATION DE 8.01,9.01 10/28/11 Chatham Lodging Trust MD 2.01,9.01 10/27/11 CHEVIOT FINANCIAL CORP 2.02,9.01 10/28/11 CHEVRON CORP DE 2.02 10/28/11 CIGNA CORP DE 2.02 10/28/11 CITIZENS REPUBLIC BANCORP, INC. MI 2.02,9.01 10/27/11 CITIZENS REPUBLIC BANCORP, INC. MI 7.01,9.01 10/27/11 Clearwire Corp /DE DE 5.02 10/24/11 CLIFFS NATURAL RESOURCES INC. OH 2.02,9.01 10/27/11 CODEXIS INC 5.07 06/08/11 AMEND COLUMBIA BANKING SYSTEM INC WA 2.02,8.01,9.01 10/27/11 COLUMBUS MCKINNON CORP NY 2.02,9.01 10/28/11 COMCAST CORP PA 5.02 10/27/11 AMEND COMMERCIAL METALS CO DE 2.02,9.01 10/28/11 CommonWealth REIT MD 1.01,2.03,9.01 10/26/11 Community Bankers Trust Corp DE 2.02,9.01 10/28/11 CONCURRENT COMPUTER CORP/DE DE 5.07 10/26/11 CONNECTICUT LIGHT & POWER CO CT 2.03,9.01 10/24/11 CONSOLIDATED EDISON INC NY 1.01,1.02,2.03,9.01 10/27/11 CONSOLIDATED TOMOKA LAND CO FL 5.03,9.01 10/26/11 CONSOLIDATED TOMOKA LAND CO FL 2.02,9.01 10/27/11 CONSTELLATION ENERGY GROUP INC MD 2.02,9.01 10/27/11 CORUS BANKSHARES INC MN 1.03 10/27/11 COSI INC DE 5.02,8.01,9.01 10/24/11 COVENANT TRANSPORTATION GROUP INC NV 1.01,2.03,9.01 10/24/11 COVENTRY HEALTH CARE INC DE 2.02,9.01 10/28/11 CURTISS WRIGHT CORP DE 2.02,9.01 10/27/11 DAWSON GEOPHYSICAL CO TX 1.02,5.07,8.01,9.01 10/27/11 DCB FINANCIAL CORP OH 2.02,9.01 10/28/11 DDR CORP OH 2.02,9.01 10/27/11 DEARBORN BANCORP INC /MI/ MI 3.01 10/26/11 DEL MONTE CORP 5.02,7.01,8.01,9.01 10/24/11 DELCATH SYSTEMS INC DE 8.01,9.01 10/26/11 DG FastChannel, Inc DE 5.02 10/25/11 DGSE COMPANIES INC NV 1.01,9.01 10/25/11 DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 10/28/11 Diamond Resorts Corp MD 1.01,9.01 10/24/11 Digital Realty Trust, Inc. 5.03,9.01 10/24/11 DNB FINANCIAL CORP /PA/ PA 5.02,9.01 10/25/11 DOMINION RESOURCES INC /VA/ VA 2.02,9.01 10/28/11 Dorman Products, Inc. PA 8.01 10/28/11 DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 10/27/11 Dutch Gold Resources Inc CO 4.01,9.01 03/18/11 AMEND DYNAMICS RESEARCH CORP MA 5.07 06/01/11 AMEND DYNEGY INC. DE 7.01,9.01 10/27/11 Eaglecrest Resources, Inc. NV 1.01,3.02,9.01 10/24/11 EchoStar CORP NV 5.02 10/25/11 ECOLAB INC DE 8.01,9.01 10/28/11 ELLIE MAE INC DE 2.01,9.01 08/15/11 AMEND EMPIRE GLOBAL CORP. DE 5.02 10/27/11 Encore Bancshares Inc TX 2.02,9.01 10/28/11 ENCORE CAPITAL GROUP INC DE 5.07 06/09/11 AMEND Energy Future Holdings Corp /TX/ TX 2.02,9.01 10/28/11 ENTERPRISE FINANCIAL SERVICES CORP DE 2.01,9.01 08/12/11 AMEND ESSA Bancorp, Inc. PA 2.02,9.01 10/26/11 Exelis Inc. IN 1.01,2.03 10/25/11 EXELON CORP PA 8.01 10/26/11 FARMERS NATIONAL BANC CORP /OH/ OH 2.02,9.01 10/27/11 FBR & Co. VA 8.01 10/27/11 Federal Home Loan Bank of Dallas 2.03,9.01 10/24/11 Federal Home Loan Bank of San Francis X1 2.02,7.01,9.01 10/27/11 FFD FINANCIAL CORP/OH OH 2.02,9.01 10/27/11 FIRST BANKS, INC MO 2.02,9.01 10/28/11 FIRST BUSINESS FINANCIAL SERVICES, IN WI 2.02,9.01 10/28/11 First Federal of Northern Michigan Ba 2.02,9.01 10/28/11 FIRST MID ILLINOIS BANCSHARES INC DE 2.02,9.01 09/30/11 FIRST NATIONAL CORP /VA/ 2.02,9.01 10/28/11 FIRST NORTHERN COMMUNITY BANCORP CA 2.02,7.01,9.01 10/27/11 FIRST PACTRUST BANCORP INC MD 5.02,8.01,9.01 10/28/11 FIRST POTOMAC REALTY TRUST MD 2.02,7.01,9.01 10/27/11 FLUSHING FINANCIAL CORP DE 2.02,9.01 10/27/11 FNB BANCORP/CA/ 5.03,9.01 10/28/11 FORWARD AIR CORP TN 8.01,9.01 10/28/11 FOSTER L B CO PA 5.02 10/28/11 FREDERICK'S OF HOLLYWOOD GROUP INC /N NY 2.02,9.01 10/27/11 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.02,9.01 10/28/11 FS Investment CORP MD 2.02,9.01 10/28/11 Galena Biopharma, Inc. 4.02 10/26/11 GALLAGHER ARTHUR J & CO DE 8.01,9.01 10/28/11 GateHouse Media, Inc. DE 2.02,9.01 10/28/11 GLACIER BANCORP INC DE 2.02,9.01 10/27/11 GLIMCHER REALTY TRUST MD 2.02,9.01 10/27/11 GLOBAL INDUSTRIES LTD LA 8.01,9.01 10/24/11 GOLDMAN SACHS GROUP INC DE 5.02,9.01 10/27/11 GOLDMAN SACHS GROUP INC DE 9.01 10/28/11 GOODYEAR TIRE & RUBBER CO /OH/ OH 2.02,9.01 10/28/11 GRAHAM CORP DE 2.02,5.05,8.01,9.01 10/27/11 GULF ISLAND FABRICATION INC LA 8.01,9.01 10/27/11 GULF ISLAND FABRICATION INC LA 2.02,9.01 10/27/11 GXS Worldwide, Inc. DE 5.02 10/24/11 HAMPTON ROADS BANKSHARES INC VA 2.02,7.01,9.01 10/28/11 Harbor BioSciences, Inc. DE 5.07,8.01 10/26/11 HEALTH NET INC DE 1.01,1.02,2.03,9.01 10/24/11 HEALTHCARE TRUST OF AMERICA, INC. MD 8.01 10/27/11 HeartWare International, Inc. DE 5.02,9.01 10/27/11 HeartWare International, Inc. DE 2.02,9.01 10/27/11 HERITAGE FINANCIAL CORP /WA/ WA 2.02,8.01,9.01 10/28/11 Heritage Financial Group Inc MD 1.01,2.01,9.01 08/19/11 AMEND HINES REAL ESTATE INVESTMENT TRUST IN 8.01 10/28/11 HMS HOLDINGS CORP 2.02,9.01 10/28/11 HOLLYWOOD MEDIA CORP FL 1.01,9.01 10/27/11 Homeland Security Capital CORP DE 5.02 10/24/11 ICAD INC DE 2.02,9.01 10/26/11 ICAGEN INC DE 3.01,3.03,5.02,5.03, 10/27/11 9.01 ICF International, Inc. DE 7.01,9.01 10/28/11 ICONIX BRAND GROUP, INC. DE 5.07 08/18/11 AMEND IDACORP INC ID 1.01,2.03,9.01 10/26/11 INDEPENDENT BANK CORP MA 1.01 10/24/11 INFORMATION SYSTEMS ASSOCIATES, INC. FL 2.03 10/26/11 INTERACTIVE DATA CORP/MA/ DE 2.02,9.01 10/27/11 INTERMOUNTAIN COMMUNITY BANCORP ID 5.02 10/28/11 INTERPHASE CORP TX 2.02,9.01 10/27/11 Investors Bancorp Inc DE 2.02,9.01 10/27/11 Ironwood Gold Corp NV 5.03,8.01,9.01 10/28/11 ISSUER DIRECT CORP 8.01,9.01 10/27/11 ITT Corp IN 2.02,7.01,9.01 10/28/11 JA Energy 3.02 10/21/11 JAZZ PHARMACEUTICALS INC DE 5.02,8.01,9.01 10/24/11 JUNIATA VALLEY FINANCIAL CORP PA 2.02,8.01,9.01 10/27/11 Kallo Inc. NV 1.01,9.01 10/28/11 KAYDON CORP DE 2.02,9.01 10/28/11 KENEXA CORP 3.01,9.01 10/27/11 KENT INTERNATIONAL HOLDINGS INC NV 1.01,2.01,5.06,9.01 03/22/11 AMEND KEY ENERGY SERVICES INC MD 2.02,9.01 10/27/11 KEY TRONIC CORP WA 5.07 10/27/11 KINETIC CONCEPTS INC TX 5.07,9.01 10/28/11 Kodiak Oil & Gas Corp B0 5.07 06/15/11 AMEND KRANEM CORP CO 7.01,9.01 10/27/11 LACLEDE GROUP INC MO 2.02,7.01,9.01 10/28/11 LAS VEGAS SANDS CORP NV 5.02 10/26/11 LAS VEGAS SANDS CORP NV 5.07 06/10/11 AMEND Latitude Solutions, Inc. NV 5.02,7.01,9.01 10/21/11 LCNB CORP OH 2.02,7.01,9.01 10/28/11 LEAR CORP DE 5.02 10/24/11 LEAR CORP DE 2.02,7.01,9.01 10/28/11 LECROY CORP DE 5.07 10/26/11 LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 10/25/11 LIFEPOINT HOSPITALS, INC. 2.02,9.01 10/28/11 LITHIA MOTORS INC OR 7.01,9.01 10/27/11 LNB BANCORP INC OH 7.01,9.01 10/28/11 Location Based Technologies, Inc. NV 5.02,9.01 10/28/11 Location Based Technologies, Inc. NV 5.03,9.01 10/25/11 LOUISIANA BANCORP INC LA 2.02,8.01,9.01 10/28/11 LOWES COMPANIES INC NC 1.01,2.03,9.01 10/25/11 LYFE Communications, Inc. UT 7.01,9.01 10/26/11 LyondellBasell Industries N.V. P7 2.02,7.01,9.01 10/28/11 MACKINAC FINANCIAL CORP /MI/ MI 2.02,9.01 10/28/11 MACROSOLVE INC OK 5.02,5.03,9.01 10/24/11 MACROSOLVE INC OK 5.02,9.01 08/01/11 AMEND MAGELLAN MIDSTREAM PARTNERS LP DE 1.01,1.02,2.03,5.03, 10/27/11 9.01 MAGNEGAS CORP DE 1.01,3.02,8.01,9.01 10/28/11 MAGNUM HUNTER RESOURCES CORP DE 7.01,9.01 10/28/11 MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 10/25/11 MEDIA TECHNOLOGIES, INC. NV 1.01,5.02,9.01 10/01/11 Merck & Co. Inc. NJ 2.02,9.01 10/28/11 METLIFE INC DE 2.02,7.01,9.01 10/28/11 METLIFE INC DE 5.02,7.01,9.01 10/25/11 MICRO IMAGING TECHNOLOGY, INC. CA 7.01,8.01,9.01 10/28/11 MICROSEMI CORP DE 2.01,9.01 10/25/11 MICROVISION INC DE 3.01,9.01 10/26/11 MIDDLEBURG FINANCIAL CORP VA 2.02,8.01,9.01 10/28/11 Midway Gold Corp A1 5.02,7.01,9.01 10/28/11 MISSION COMMUNITY BANCORP CA 4.01,9.01 10/25/11 Monarch Financial Holdings, Inc. VA 5.02,8.01,9.01 12/31/10 MOUNTAIN NATIONAL BANCSHARES INC TN 1.01,7.01,9.01 10/27/11 Mueller Water Products, Inc. DE 3.01,5.02,5.03 10/28/11 MYLAN INC. PA 5.02,8.01,9.01 10/24/11 NABORS INDUSTRIES LTD D0 5.02,9.01 10/28/11 Nalco Holding CO 8.01,9.01 10/28/11 NATIONAL BANCSHARES CORP /OH/ OH 2.02,9.01 09/30/11 NATIONAL FINANCIAL PARTNERS CORP 7.01,9.01 10/28/11 NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 10/26/11 NATIONAL PENN BANCSHARES INC PA 2.02,7.01,9.01 10/28/11 NAVARRE CORP /MN/ MN 5.02,9.01 10/24/11 NEOMEDIA TECHNOLOGIES INC DE 1.01,3.02,9.01 10/25/11 NetSpend Holdings, Inc. DE 8.01 10/28/11 NEVADA GOLD & CASINOS INC NV 2.06 10/25/11 NEVADA GOLD & CASINOS INC NV 1.01,9.01 10/07/11 AMEND Nevada Property 1 LLC DE 5.02 10/24/11 NEWELL RUBBERMAID INC DE 2.02,2.05,5.02,7.01, 10/26/11 9.01 NEWMARKET CORP VA 8.01,9.01 10/27/11 AMEND NEWMONT MINING CORP /DE/ DE 2.02,9.01 10/27/11 NEWPARK RESOURCES INC DE 2.02,9.01 10/27/11 NEWS CORP 8.01,9.01 10/28/11 NISOURCE INC/DE DE 2.02,9.01 10/28/11 Nova Mining CORP 8.01,9.01 10/27/11 NOVINT TECHNOLOGIES INC DE 5.02 10/28/11 NuStar Energy L.P. DE 2.02,9.01 10/28/11 NuStar GP Holdings, LLC DE 2.02,9.01 10/28/11 NuStar GP Holdings, LLC DE 2.02,9.01 10/28/11 AMEND Oasis Petroleum Inc. DE 1.01,7.01,9.01 10/27/11 OCZ TECHNOLOGY GROUP INC DE 1.01,9.01 10/25/11 OHIO VALLEY BANC CORP OH 2.02,9.01 09/30/11 OLD LINE BANCSHARES INC MD 2.02,9.01 10/27/11 OLD REPUBLIC INTERNATIONAL CORP DE 2.02,9.01 10/27/11 OLIN CORP VA 2.02,7.01,9.01 10/27/11 OMEGA PROTEIN CORP NV 5.07 06/15/11 AMEND ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 10/28/11 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 10/28/11 OneBeacon Insurance Group, Ltd. D0 2.02,9.01 10/28/11 ORION ENERGY SYSTEMS, INC. WI 5.02,5.07,9.01 10/26/11 Oritani Financial Corp DE 2.02,9.01 10/28/11 OXYGEN BIOTHERAPEUTICS, INC. DE 8.01 10/27/11 P F CHANGS CHINA BISTRO INC 2.02,7.01,9.01 10/27/11 PAETEC Holding Corp. 5.07 10/27/11 PALMETTO BANCSHARES INC SC 2.02,9.01 10/28/11 PARK ELECTROCHEMICAL CORP NY 5.02 10/27/11 PARTNERRE LTD 8.01,9.01 10/27/11 PC TEL INC DE 2.02,4.02,8.01,9.01 10/24/11 Pebblebrook Hotel Trust MD 2.02,9.01 10/27/11 PHOTOTRON HOLDINGS, INC. DE 5.02 10/26/11 PILGRIMS PRIDE CORP DE 7.01 10/28/11 PILGRIMS PRIDE CORP DE 7.01 10/28/11 PILGRIMS PRIDE CORP DE 2.02,9.01 10/28/11 PLATINUM UNDERWRITERS HOLDINGS LTD D0 2.02,9.01 10/28/11 AMEND PLAYERS NETWORK NV 5.02 10/24/11 POLYMEDIX, INC DE 5.07 06/17/11 AMEND Porter Bancorp, Inc. KY 2.02,9.01 10/28/11 Power of The Dream Ventures Inc DE 1.01,3.02,5.01,5.02 10/26/11 POWERWAVE TECHNOLOGIES INC DE 5.07,7.01,9.01 10/27/11 PRESSTEK INC /DE/ DE 3.01 10/28/11 PRIMUS GUARANTY LTD 8.01,9.01 10/28/11 PRIVATE MEDIA GROUP INC NV 5.02 10/25/11 Profit Planners Management, Inc. NV 2.02,7.01,9.01 10/28/11 PROVIDENT FINANCIAL HOLDINGS INC DE 8.01,9.01 10/27/11 PROVIDENT FINANCIAL SERVICES INC DE 2.02,7.01,9.01 10/28/11 QKL Stores Inc. DE 5.02,9.01 10/21/11 AMEND QUAINT OAK BANCORP INC 2.02,9.01 10/27/11 QUALITY SYSTEMS, INC CA 2.02,8.01,9.01 10/27/11 QUANTUM FUEL SYSTEMS TECHNOLOGIES WOR DE 1.01,2.03,3.02,9.01 10/17/11 AMEND QUESTCOR PHARMACEUTICALS INC CA 7.01,9.01 10/27/11 Radius Health, Inc. DE 1.01,2.01,3.02,4.01, 05/17/11 AMEND 5.01,5.02,5.06,9.01 RAIT Financial Trust MD 2.02,9.01 10/28/11 RECOVERY ENERGY, INC. NV 8.01,9.01 10/27/11 Reliance Bancshares, Inc. MO 2.02 10/28/11 REPLIGEN CORP DE 1.01,7.01,9.01 10/27/11 REPROS THERAPEUTICS INC. DE 5.02 10/27/11 REVA Medical, Inc. DE 2.02,7.01,9.01 10/28/11 RF MICRO DEVICES INC NC 8.01,9.01 10/28/11 Rockville Financial, Inc. /CT/ CT 8.01,9.01 10/28/11 ROCKWELL COLLINS INC DE 2.02,7.01,9.01 10/28/11 RUDDICK CORP NC 1.01,2.06,5.02,9.01 10/27/11 RURBAN FINANCIAL CORP OH 2.02,9.01 10/27/11 S&W Seed Co DE 5.02,9.01 10/27/11 SAIA INC DE 7.01,9.01 10/26/11 SALISBURY BANCORP INC CT 2.02,8.01,9.01 10/28/11 SandRidge Mississippian Trust I DE 2.02,9.01 10/28/11 SandRidge Permian Trust 2.02,9.01 10/28/11 SCANA CORP SC 5.02,8.01,9.01 10/26/11 SCBT FINANCIAL CORP SC 2.02,9.01 10/28/11 SCHOLASTIC CORP DE 1.01 10/25/11 SCIENTIFIC GAMES CORP DE 1.01,8.01,9.01 10/27/11 SELECTICA INC DE 1.01,2.02,5.02,9.01 10/25/11 SemGroup Corp DE 1.01,3.03,5.03,8.01, 10/28/11 9.01 Sherwood Acquisition Corp DE 3.02,5.01,5.02 07/20/11 AMEND Shire plc 2.02,9.01 10/28/11 SI Financial Group, Inc. 2.02,9.01 10/26/11 SOLTA MEDICAL INC DE 1.01,2.03,9.01 10/25/11 SOUTHERN CONNECTICUT BANCORP INC CT 5.02,9.01 10/24/11 Southern National Bancorp of Virginia VA 2.02,9.01 10/27/11 SOUTHWALL TECHNOLOGIES INC /DE/ DE 1.01,5.02,9.01 10/25/11 SOUTHWEST BANCORP INC OK 7.01,9.01 10/27/11 SOUTHWEST BANCORP INC OK 7.01,9.01 10/27/11 SOUTHWESTERN ENERGY CO DE 7.01 10/28/11 Spansion Inc. DE 5.02 10/24/11 SPARTON CORP OH 5.07 10/26/11 SPECTRUM PHARMACEUTICALS INC DE 2.02,9.01 10/28/11 SRS LABS INC DE 5.02,9.01 10/24/11 STAAR SURGICAL CO DE 7.01 10/24/11 STANDARD REGISTER CO OH 2.02,9.01 10/28/11 STATE BANCORP INC NY 8.01,9.01 10/25/11 Steadfast Income REIT, Inc. MD 9.01 08/24/11 AMEND STEMCELLS INC DE 8.01,9.01 10/28/11 STILLWATER MINING CO /DE/ DE 2.02,9.01 10/28/11 STONERIDGE INC OH 2.02,9.01 10/27/11 STRATEGIC AMERICAN OIL CORP NV 9.01 02/15/11 AMEND SUMMIT FINANCIAL GROUP INC WV 2.02,9.01 10/27/11 Summit Hotel Properties, Inc. MD 3.03,5.03,9.01 10/26/11 SUNGARD CAPITAL CORP DE 2.02,9.01 10/28/11 SUPERIOR INDUSTRIES INTERNATIONAL INC CA 2.02 10/28/11 SUSQUEHANNA BANCSHARES INC PA 8.01,9.01 10/28/11 Susser Holdings CORP DE 1.01,9.01 09/01/11 TENNECO INC DE 2.02,9.01 10/28/11 TEREX CORP DE 2.02,9.01 10/27/11 TEXAS PACIFIC LAND TRUST 2.02,9.01 10/28/11 THERMADYNE HOLDINGS CORP /DE DE 5.02,9.01 10/24/11 THERMOENERGY CORP DE 1.01,9.01 10/25/11 THQ INC DE 1.01 10/24/11 THRESHOLD PHARMACEUTICALS INC DE 8.01,9.01 10/28/11 TITANIUM METALS CORP DE 7.01,9.01 10/27/11 TOMPKINS FINANCIAL CORP NY 2.02,8.01,9.01 10/26/11 TOOTSIE ROLL INDUSTRIES INC VA 2.02,9.01 10/01/11 TouchIT Technologies, Inc. NV 5.02,7.01,9.01 10/28/11 TRACTOR SUPPLY CO /DE/ DE 1.01,2.03,9.01 10/26/11 TRAVELCENTERS OF AMERICA LLC 1.01,2.03,9.01 10/25/11 TREDEGAR CORP VA 2.01,2.03,7.01,8.01, 10/24/11 9.01 Tri-Tech Holding, Inc. E9 5.02,9.01 10/28/11 ULTRALIFE CORP DE 5.07 06/07/11 AMEND UMH PROPERTIES, INC. MD 7.01,9.01 10/28/11 UNION FIRST MARKET BANKSHARES CORP VA 8.01,9.01 10/28/11 UNITED BANCSHARES INC/OH OH 2.02,7.01,9.01 10/28/11 UNITED RENTALS INC /DE DE 7.01,9.01 10/28/11 United States 12 Month Natural Gas Fu 7.01,9.01 10/28/11 United States 12 Month Oil Fund, LP 7.01,9.01 10/28/11 United States Brent Oil Fund, LP DE 7.01,9.01 10/28/11 United States Commodity Index Funds T DE 7.01,9.01 10/28/11 United States Gasoline Fund, LP DE 7.01,9.01 10/28/11 United States Heating Oil Fund, LP DE 7.01,9.01 10/28/11 United States Natural Gas Fund, LP 7.01,9.01 10/28/11 United States Oil Fund, LP DE 7.01,9.01 10/28/11 United States Short Oil Fund, LP DE 7.01,9.01 10/28/11 UNIVERSAL HEALTH SERVICES INC DE 2.02,9.01 10/27/11 USA Mobility, Inc DE 7.01,9.01 10/27/11 Valley Commerce Bancorp CA 2.02,9.01 10/27/11 VALLEY FINANCIAL CORP /VA/ VA 2.02,9.01 10/27/11 Verisk Analytics, Inc. DE 7.01,9.01 10/28/11 VICON INDUSTRIES INC /NY/ NY 5.02 10/28/11 ViewPoint Financial Group Inc. MD 8.01,9.01 10/28/11 Vitamin Shoppe, Inc. DE 5.07 06/01/11 AMEND Volcano Corp DE 5.02,9.01 10/24/11 WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,9.01 10/27/11 WAUSAU PAPER CORP. WI 1.01,9.01 10/26/11 WEB.COM GROUP, INC. DE 1.01,2.01,2.03,3.02, 10/27/11 5.02,8.01,9.01 WELLS FARGO & CO/MN DE 9.01 10/28/11 WEST BANCORPORATION INC IA 2.02,9.01 10/27/11 WEST COAST BANCORP /NEW/OR/ OR 2.02,9.01 10/28/11 WESTMOUNTAIN ASSET MANAGEMENT INC CO 4.01,9.01 10/28/11 WEYERHAEUSER CO WA 2.02,9.01 10/27/11 WHIRLPOOL CORP /DE/ DE 9.01 10/28/11 WHITE MOUNTAINS INSURANCE GROUP LTD D0 2.02,9.01 10/28/11 WisdomTree Investments, Inc. DE 2.02,9.01 10/27/11 WNC HOUSING TAX CREDIT FUND VI LP SER CA 2.02,9.01 10/28/11 Wonder Auto Technology, Inc NV 2.04,5.02 10/20/11 WVS FINANCIAL CORP PA 5.07 10/28/11 Xylem Inc. IN 1.01,2.03 10/25/11 Z3 ENTERPRISES, INC. NV 5.02 10/21/11 ZIOPHARM ONCOLOGY INC DE 8.01,9.01 10/28/11
http://www.sec.gov/news/digest/2011/dig103111.htm
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