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Commission AnnouncementsSEC Announces Agenda and Panelists for Inaugural Roundtable of Financial Reporting SeriesThe Securities and Exchange Commission today announced the agenda and panelists for next week’s inaugural public roundtable of the Financial Reporting Series. The November 8 roundtable entitled “Measurement Uncertainty in Financial Reporting” – announced last month – will feature three panels discussing the extent to which financial reporting should include measurement uncertainties, and the information that investors find important to understanding and assessing those uncertainties. The SEC staff has previously prepared a briefing paper highlighting the issues to be considered at the roundtable discussion. The roundtable will begin at 10 a.m. in the multi-purpose room at the SEC’s Washington D.C. headquarters with public seating on a first-come, first-served basis. The event also will be viewable by live webcast on the SEC website, and will be archived for later viewing. Members of the public who wish to provide their views on the matters to be considered at the roundtable discussion may submit comments through one of the following methods: Electronic Comments Use the SEC’s Internet comment form or send an e-mail to rule-comments@sec.gov and include File Number 4-640 on the subject line. Paper Comments Send paper submissions in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington, D.C. 20549-1090, and refer to File Number 4-640. Any comments submitted will be made available to the public. (Press Rel. 2011-231) ENFORCEMENT PROCEEDINGSIn the Matter of Daniel W. Nodurft, Esq.On November 2, 2011, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Rule 102(e) of the Commission’s Rules of Practice, Making Findings, and Imposing Remedial Sanctions (Order) against Daniel W. Nodurft, Esq. The Order finds that Nodurft is a licensed attorney with the Louisiana bar. The Order further finds that from the incorporation of Aerokinetic Energy Corporation (Aerokinetic or the Company) in December 2005 until May 2007, Nodurft served as Aerokinetic’s vice-president, and thereafter became its secretary. The Order further finds that Nodurft also served as the Company’s general counsel from its inception until early 2008 when he agreed with the Florida bar not to serve as or hold himself out as a general counsel for a Florida corporation. The Order further finds that on October 14, 2014, the U.S. District Court for the Middle District of Florida entered by consent a judgment against Nodurft, permanently enjoining him from future violations of Section 5 and Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933, in the civil action entitled Securities and Exchange Commission v. Nodurft., Civil Action Number 8:08-CV-1409, and ordering him to pay a $50,000 civil money penalty. The Order also finds that the Commission’s complaint alleged, among other things, that Nodurft violated the registration and antifraud provisions of the securities laws in connection with Aerokinetic’s fraudulent unregistered offering of securities. The complaint also alleged that Aerokinetic made numerous material misrepresentations and omissions to investors and prospective investors regarding, among other things, its purported “power generation” technology, the capabilities of its two primary products, and its purported success. The complaint further alleged that the Company disseminated baseless financial projections and made material misrepresentations about its operations and its president’s personal use of investor funds. Based on the above, the Order suspends Nodurft from appearing or practicing before the Commission as an attorney. Nodurft consented to the Commission’s Order without admitting or denying any of the findings therein, except as to the entry of the judgment, which he admitted. (Rel. 34-65673; File No. 3-14612) Commission Revokes Registration of Securities of Apex Resources Group, Inc. For Failure to Make Required Periodic FilingsOn November 3, 2011, the Commission revoked the registration of each class of registered securities of Apex Resources Group, Inc. (APXR) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, APXR consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Apex Resources Group, Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of APXR’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the charges brought against APXR in In the Matter of Accesspoint Corp., et al., Administrative Proceeding File No. 3-14604. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information seeOrder Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Accesspoint Corp., et al., Administrative Proceeding File No. 3-14604, Exchange Act Release No. 65640 (October 27, 2011). (Rel. 34-65674; File No. 3-14604) Commission Revokes Registration of Securities of Ablest Inc. For Failure To Make Required Periodic FilingsOn November 3, 2011, the Commission revoked the registration of each class of registered securities of Ablest Inc. (Ablest) for failure to make required periodic filings with the Commission. Without admitting or denying the findings in the Order, except as to jurisdiction, which it admitted, Ablest consented to the entry of an Order Making Findings and Revoking Registration of Securities Pursuant to Section 12(j) of the Securities Exchange Act of 1934 as to Ablest Inc. finding that it had failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (Exchange Act) and Rules 13a-1 and 13a-13 thereunder and revoking the registration of each class of Ablest’s securities pursuant to Section 12(j) of the Exchange Act. This Order settled the proceedings brought against Ablest in In the Matter of Ablest Inc., et al., Administrative Proceeding File No. 3-14587. Brokers and dealers should be alert to the fact that Exchange Act Section 12(j) provides, in pertinent part, as follows:
For further information see Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934, In the Matter of Ablest Inc., et al., Administrative Proceeding File No. 3-14587, Exchange Act Release No. 65560, October 14, 2011. (Rel. 34-65675; File No. 3-14587) SELF-REGULATORY ORGANIZATIONSProposed Rule ChangesThe Commission issued a notice of filing of a proposed rule change by NASDAQ OMX PHLX LLC (SR-Phlx-2011-118) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to transfer of positions off the floor. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65666) The Commission issued a notice of filing of a proposed rule change by NASDAQ OMX PHLX LLC (SR-Phlx-2011-136) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 relating to transfer of exchange house accounts. Publication is expected in the Federal Register during the week of November 7. (Rel. 34-65667) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the C2 Options Exchange, Incorporated (SR-C2-2011-032) to amend transaction fees 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 November 7. (Rel. 34-65668) A proposed rule change (SR-NYSEArca-2011-78) filed by NYSE Arca, Inc. offering a market data product to vendors and subscribers that combines three existing market data feeds as well as additional market data from the Exchange into one integrated product, the NYSE Arca Integrated Data Feed, 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 November 7. (Rel. 34-65669) A proposed rule change filed by NASDAQ OMX PHLX LLC (SR-Phlx-2011-144) relating to the extension of a pilot program concerning disseminated quotations 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 November 7. (Rel. 34-65670) 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-8 CANYON COPPER CORP., 1199 WEST PENDER STREET, SUITE 408, VANCOUVER, A1, V6E 2R1, 604-331-9326 - 6,839,693 ($1,504,732.46) Equity, (File 333-177653 - Nov. 2) (BR. 09A) S-8 DOW CHEMICAL CO /DE/, 2030 DOW CENTER, MIDLAND, MI, 48674-2030, 989-636-1000 - 12,000,000 ($305,040,000.00) Equity, (File 333-177658 - Nov. 2) (BR. 06B) F-3ASR AerCap Holdings N.V., STATIONSPLEIN 965, SCHIPHOL AIRPORT, P7, 1117 CE, 31 20 655 9655 - 0 ($8,608,436.10) Other, (File 333-177659 - Nov. 2) (BR. 06C) S-8 TIME WARNER INC., ONE TIME WARNER CENTER, NEW YORK, NY, 10019, 2124848000 - 100,000,000 ($100,000,000.00) Other, (File 333-177660 - Nov. 2) (BR. 05C) S-8 KINGOLD JEWELRY, INC., 40 WALL STREET, 58TH FLOOR, NEW YORK, NY, 10005, (212) 509-1700 - 5,000,000 ($6,450,000.00) Equity, (File 333-177661 - Nov. 2) (BR. 02C) S-3 CENTERPOINT ENERGY HOUSTON ELECTRIC LLC, 1111 LOUISIANA, HOUSTON, TX, 77002, 7132073000 - 0 ($1,695,000,000.00) Non-Convertible Debt, (File 333-177662 - Nov. 2) (BR. 02C) S-8 Texas Rare Earth Resources Corp., 304 INVERNESS WAY SOUTH, SUITE 365, ENGLEWOOD, CO, 80112, 303-597-8737 - 5,000,000 ($12,204,750.00) Equity, (File 333-177665 - Nov. 2) (BR. 09A) S-3 ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($1.00) Other, (File 333-177666 - Nov. 2) (BR. 01A) S-8 CELGENE CORP /DE/, 86 MORRIS AVENUE, SUMMIT, NJ, 07901, (908)673-9000 - 0 ($709,968,000.00) Equity, (File 333-177669 - Nov. 2) (BR. 01A) F-3 Rosetta Genomics Ltd., 10 PLAUT STREET, SCIENCE PARK, POB 4059, REHOVOT, L3, 76706, 972-73-222-0700 - 5,062,504 ($3,619,690.00) Equity, (File 333-177670 - Nov. 2) (BR. 01A) S-3 ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177671 - Nov. 2) (BR. 01A) S-3 ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177672 - Nov. 2) (BR. 01A) S-3 ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177673 - Nov. 2) (BR. 01A) S-3ASR MB FINANCIAL INC /MD, 800 WEST MADISON STREET, CHICAGO, IL, 60607, 888-422-6562 - 0 ($0.00) Debt, 0 ($0.00) Equity, (File 333-177674 - Nov. 2) (BR. 07A) S-3 ALLSTATE LIFE INSURANCE CO, 3100 SANDERS ROAD, NORTHBROOK, IL, 60062, 8474025000 - 0 ($1.00) Non-Convertible Debt, (File 333-177675 - Nov. 2) (BR. 01A) 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 3DICON CORP 8.01,9.01 11/01/11 A. H. Belo CORP DE 2.02,9.01 11/01/11 ABERCROMBIE & FITCH CO /DE/ DE 8.01,9.01 11/01/11 Abingdon Futures Fund LP NY 3.02 11/01/11 ADEONA PHARMACEUTICALS, INC. DE 5.02,5.03,9.01 10/31/11 Advanced Biomedical Technologies Inc. NV 5.02,8.01 11/01/11 ADVANCED ENERGY INDUSTRIES INC DE 2.02,9.01 11/01/11 Advaxis, Inc. DE 2.03,3.02,8.01,9.01 10/28/11 ADVISORY BOARD CO DE 2.02,9.01 11/02/11 Aegion Corp DE 7.01,9.01 11/02/11 Affinity Gaming, LLC NV 1.01,5.02,9.01 10/28/11 AFFYMETRIX INC DE 2.02 09/30/11 AFS SenSub Corp. 8.01,9.01 11/02/11 AGL RESOURCES INC GA 2.02,9.01 11/02/11 AGL RESOURCES INC GA 8.01,9.01 11/02/11 ALLIANCE BANKSHARES CORP 8.01 11/02/11 Ally Financial Inc. DE 2.02,9.01 11/02/11 ALMOST FAMILY INC DE 2.02,9.01 09/30/11 ALPHA & OMEGA SEMICONDUCTOR Ltd 2.02,9.01 11/02/11 AMEDISYS INC DE 5.02,9.01 11/01/11 American Realty Capital Properties, I MD 8.01,9.01 11/02/11 American Reprographics CO DE 2.02,2.06,9.01 11/02/11 AMERICAN SAFETY INSURANCE HOLDINGS LT 2.02,9.01 11/02/11 American Water Works Company, Inc. DE 2.02,9.01 11/02/11 AMERISERV FINANCIAL INC /PA/ PA 1.01,9.01 11/02/11 AMERISOURCEBERGEN CORP DE 8.01,9.01 10/31/11 ANIKA THERAPEUTICS INC MA 2.02,9.01 11/02/11 Anthera Pharmaceuticals Inc DE 2.02,9.01 11/01/11 AOL Inc. DE 2.02,9.01 11/02/11 APEX 2 INC. DE 5.01,5.02 10/28/11 Apple REIT Ten, Inc. VA 1.01 10/28/11 AQUA AMERICA INC PA 2.02,9.01 11/01/11 ARBOR ENTECH CORP DE 8.01 11/01/11 ARTHROCARE CORP DE 2.02,9.01 11/02/11 ASSOCIATED BANC-CORP WI 7.01,9.01 11/02/11 ATRION CORP DE 2.02,9.01 11/02/11 AURA SYSTEMS INC DE 5.07 11/02/11 AUXILIUM PHARMACEUTICALS INC 7.01,9.01 11/02/11 AVEO PHARMACEUTICALS INC DE 2.02,9.01 11/02/11 AVIAT NETWORKS, INC. DE 2.02,7.01,9.01 11/02/11 AVIS BUDGET GROUP, INC. DE 2.02,9.01 11/02/11 AVISTA CORP WA 2.02,9.01 11/02/11 AXIS CAPITAL HOLDINGS LTD 2.02,9.01 11/01/11 BALCHEM CORP MD 2.02,9.01 11/02/11 BANCORPSOUTH INC MS 7.01,9.01 11/02/11 BECTON DICKINSON & CO NJ 2.02,9.01 11/02/11 Beneficial Mutual Bancorp Inc X1 7.01,9.01 11/02/11 BERKSHIRE BANCORP INC /DE/ DE 3.02 10/31/11 BHM Discretionary Futures Fund L.P. DE 3.02 11/01/11 BIMINI CAPITAL MANAGEMENT, INC. MD 2.02,9.01 11/02/11 BIOCRYST PHARMACEUTICALS INC DE 2.02,7.01,9.01 11/02/11 BioMed Realty Trust Inc MD 2.02,9.01 11/01/11 BJs RESTAURANTS INC CA 8.01,9.01 11/01/11 BLACK HILLS CORP /SD/ SD 8.01,9.01 11/01/11 Bravo Brio Restaurant Group, Inc. OH 2.02,9.01 11/02/11 BROADCOM CORP CA 8.01 11/01/11 BUTLER NATIONAL CORP DE 5.07 11/02/11 CACI INTERNATIONAL INC /DE/ DE 2.02,7.01,9.01 11/02/11 Calumet Specialty Products Partners, DE 2.02,9.01 11/02/11 Camelot Entertainment Group, Inc. DE 3.02 10/31/11 Campus Crest Communities, Inc. MD 2.02,9.01 11/01/11 CAPITALSOURCE INC DE 8.01,9.01 10/28/11 Cardiovascular Systems Inc DE 2.02,9.01 11/02/11 CAREER EDUCATION CORP DE 2.02,9.01 11/01/11 CAREER EDUCATION CORP DE 5.02,7.01,8.01,9.01 10/31/11 CAREFUSION Corp 8.01,9.01 11/02/11 CARROLLTON BANCORP MD 2.02,9.01 11/02/11 CASH AMERICA INTERNATIONAL INC TX 8.01 10/31/11 CATALYST HEALTH SOLUTIONS, INC. DE 2.02,9.01 11/01/11 CBEYOND, INC. 2.02,9.01 11/02/11 CBL & ASSOCIATES PROPERTIES INC DE 2.02,9.01 11/01/11 CEC ENTERTAINMENT INC KS 1.01,2.03,9.01 10/28/11 Celldex Therapeutics, Inc. DE 2.02,9.01 11/02/11 CENTERPOINT ENERGY INC 2.02,9.01 11/02/11 CenterState Banks, Inc. FL 2.01,9.01 11/01/11 CENTURYLINK, INC LA 2.02 11/02/11 CF Industries Holdings, Inc. DE 2.02,9.01 11/02/11 Chelsea Therapeutics International, L DE 8.01,9.01 11/02/11 CHESAPEAKE MIDSTREAM PARTNERS LP DE 8.01,9.01 10/28/11 China Crescent Enterprises, Inc. NV 7.01,9.01 10/27/11 CHRISTOPHER & BANKS CORP DE 5.07 07/27/11 AMEND CHUGACH ELECTRIC ASSOCIATION INC AK 2.03 10/28/11 Citi Trends Inc 1.01,1.02,2.03,9.01 11/02/11 CLAYTON WILLIAMS ENERGY INC /DE DE 8.01 10/28/11 CLEAN HARBORS INC MA 2.02,9.01 11/02/11 Clearwire Corp /DE DE 7.01,9.01 11/02/11 Clearwire Corp /DE DE 2.02,9.01 11/02/11 CLECO CORP LA 5.02,5.03,9.01 10/27/11 CLECO CORP LA 2.02,9.01 09/30/11 CLIFTON SAVINGS BANCORP INC 2.02,9.01 11/02/11 CLOROX CO /DE/ DE 2.02,7.01,9.01 11/02/11 COGNIZANT TECHNOLOGY SOLUTIONS CORP 2.02,9.01 11/02/11 COHERENT INC DE 2.02,9.01 11/02/11 COMCAST CORP PA 2.02,9.01 11/02/11 COMMERCIAL NATIONAL FINANCIAL CORP /P PA 2.02 11/02/11 CommonWealth REIT MD 2.02,9.01 11/02/11 COMPX INTERNATIONAL INC DE 7.01,9.01 11/01/11 COMSCORE, INC. DE 2.02,9.01 11/02/11 Comstock Mining Inc. NV 8.01,9.01 11/02/11 CONSOLIDATED GRAPHICS INC /TX/ TX 2.02,9.01 11/02/11 CONVERGYS CORP OH 2.02,9.01 11/01/11 COTT CORP /CN/ 2.02,9.01 11/02/11 COUSINS PROPERTIES INC GA 2.02,9.01 11/02/11 COVANCE INC DE 2.02,9.01 11/02/11 Coyote Hills Golf, Inc. NV 5.02 10/31/11 Creative Entertainment Holdings, INc. 3.02,5.01,5.02,5.03 10/30/11 CREDO PETROLEUM CORP DE 5.02,9.01 11/02/11 CROSS COUNTRY HEALTHCARE INC DE 2.02,7.01,9.01 11/02/11 CROWN HOLDINGS INC PA 5.03,9.01 10/27/11 CubeSmart MD 3.03,5.03,9.01 10/31/11 CVR ENERGY INC DE 2.02,9.01 11/02/11 DAWSON GEOPHYSICAL CO TX 7.01,9.01 11/02/11 DAYSTAR TECHNOLOGIES INC DE 3.01 10/27/11 DENDREON CORP DE 2.02,5.02,9.01 11/02/11 DEVON ENERGY CORP/DE DE 2.02,9.01 11/02/11 DEXCOM INC 1.01,2.02,7.01,9.01 11/01/11 DIAMOND HILL INVESTMENT GROUP INC OH 8.01 11/02/11 DICE HOLDINGS, INC. DE 2.02,9.01 11/02/11 DJO Finance LLC DE 2.02,9.01 11/02/11 Dolan Co. DE 2.02,9.01 11/02/11 DORCHESTER MINERALS, L.P. DE 2.02,7.01,9.01 11/02/11 DOT HILL SYSTEMS CORP DE 1.01,2.02,9.01 10/31/11 Douglas Emmett Inc MD 2.02,9.01 09/30/11 Dresser-Rand Group Inc. DE 2.02,9.01 11/02/11 DREW INDUSTRIES INC DE 2.02,7.01,9.01 11/02/11 DRI CORP NC 7.01,9.01 11/02/11 DST SYSTEMS INC DE 1.01,2.01,2.02,2.03, 10/28/11 8.01,9.01 DUNE ENERGY INC DE 2.02,9.01 11/01/11 DUPONT FABROS TECHNOLOGY, INC. MD 2.02,7.01,9.01 11/01/11 DYNAMICS RESEARCH CORP MA 2.02,9.01 11/01/11 DYNEGY INC. DE 8.01,9.01 11/01/11 DYNEX CAPITAL INC VA 2.02,9.01 11/01/11 EAGLE BANCORP INC MD 8.01,9.01 11/02/11 EAGLE ROCK ENERGY PARTNERS L P DE 2.02,9.01 11/02/11 ECHELON CORP DE 5.02,9.01 11/02/11 EDGEWATER TECHNOLOGY INC/DE/ DE 2.02,9.01 11/02/11 EDISON INTERNATIONAL CA 2.02,7.01,9.01 11/02/11 Education Realty Trust, Inc. MD 7.01,9.01 11/01/11 EL PASO CORP/DE DE 2.02,8.01,9.01 11/02/11 EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 11/02/11 El Paso Pipeline Partners, L.P. DE 2.02,9.01 11/02/11 ELLIE MAE INC DE 2.02,9.01 11/02/11 Emdeon Inc. DE 1.02,5.02,5.03,9.01 11/02/11 Emdeon Inc. DE 1.01,2.01,2.03,3.01, 11/01/11 3.03,5.01,5.07,8.01, 9.01 Emergent Health Corp. NV 8.01 11/01/11 EMERSON ELECTRIC CO MO 5.02,5.03,8.01,9.01 11/01/11 EMPIRE RESORTS INC DE 8.01 10/28/11 Employers Holdings, Inc. NV 2.02,8.01,9.01 11/02/11 ENCORE CAPITAL GROUP INC DE 8.01,9.01 11/02/11 ENCORE CAPITAL GROUP INC DE 8.01,9.01 11/02/11 ENDEAVOUR INTERNATIONAL CORP NV 2.02,7.01,9.01 11/02/11 ENERGY PARTNERS LTD DE 1.01,9.01 10/28/11 Energy Transfer Equity, L.P. DE 2.02,9.01 11/02/11 Energy Transfer Partners, L.P. DE 1.01,2.03,9.01 10/27/11 Energy Transfer Partners, L.P. DE 2.02,9.01 11/02/11 ENTERPRISE PRODUCTS PARTNERS L P DE 2.02,9.01 11/01/11 ENTERTAINMENT PROPERTIES TRUST MD 2.02,9.01 11/02/11 EVERGREEN SOLAR INC DE 7.01,9.01 10/31/11 EXCO RESOURCES INC TX 2.02,9.01 11/01/11 ExlService Holdings, Inc. DE 2.02,9.01 11/02/11 EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02 11/02/11 EXTERRAN PARTNERS, L.P. DE 5.02,8.01,9.01 11/02/11 EXTREME NETWORKS INC DE 2.02,9.01 11/02/11 FAIR ISAAC CORP DE 2.02,9.01 11/02/11 FAIRPOINT COMMUNICATIONS INC DE 2.02,9.01 11/02/11 FARO TECHNOLOGIES INC FL 2.02,9.01 11/02/11 FAUQUIER BANKSHARES, INC. VA 2.02,9.01 11/01/11 FedFirst Financial Corp 2.02,9.01 10/31/11 FEI CO OR 5.02 10/28/11 Feihe International Inc UT 1.01,5.07,9.01 10/27/11 FelCor Lodging Trust Inc MD 1.01,5.03,8.01,9.01 10/27/11 FENTURA FINANCIAL INC MI 5.02,9.01 10/27/11 FIRST BANCORP /PR/ PR 5.02,9.01 10/27/11 AMEND FIRST CAPITAL BANCORP, INC. VA 2.02,9.01 10/31/11 FIRST CHINA PHARMACEUTICAL GROUP, INC NV 2.01,3.02,5.02,5.06, 09/15/10 AMEND 9.01 FIRST CITIZENS BANCSHARES INC /TN/ TN 5.07 04/21/11 AMEND FIRST DATA CORP DE 2.02,9.01 11/02/11 FIRST KEYSTONE CORP PA 2.02 10/28/11 FIRST MARINER BANCORP MD 2.02,5.02,9.01 10/27/11 FIRST NIAGARA FINANCIAL GROUP INC DE 7.01,9.01 11/02/11 FIRST POTOMAC REALTY TRUST MD 8.01,9.01 10/27/11 FORD MOTOR CO DE 8.01,9.01 11/01/11 FORD MOTOR CREDIT CO LLC DE 8.01,9.01 11/02/11 Forestar Group Inc. DE 2.02,7.01,9.01 11/02/11 Fortune Brands Home & Security, Inc. DE 2.02,7.01,9.01 11/02/11 FOSTER WHEELER AG V8 2.02,9.01 11/02/11 FOUR RIVERS BIOENERGY INC. NV 1.01 05/24/11 AMEND FRANKLIN ELECTRIC CO INC IN 2.02,9.01 11/02/11 FRONTIER COMMUNICATIONS CORP DE 8.01,9.01 11/02/11 FROZEN FOOD EXPRESS INDUSTRIES INC TX 2.05,9.01 11/02/11 FTI CONSULTING INC MD 8.01 11/02/11 Furiex Pharmaceuticals, Inc. DE 2.02,8.01,9.01 11/01/11 FUSION-IO, INC. DE 2.02,9.01 11/02/11 FutureFuel Corp. DE 8.01,9.01 11/02/11 FX ENERGY INC NV 7.01,9.01 11/02/11 GAIAM, INC CO 2.02,9.01 11/02/11 GAMETECH INTERNATIONAL INC DE 1.01,8.01,9.01 10/31/11 GARMIN LTD V8 2.02,9.01 11/02/11 GASCO ENERGY INC NV 2.02,9.01 11/01/11 GEN PROBE INC DE 2.02,9.01 11/02/11 General Maritime Corp / MI 2.02,9.01 11/02/11 GENESIS ENERGY LP DE 1.01,9.01 11/02/11 GeoEye, Inc. DE 5.02,9.01 10/27/11 GLADSTONE INVESTMENT CORPORATION\DE DE 2.02,9.01 11/02/11 GLATFELTER P H CO PA 2.02,9.01 11/01/11 Global Income Trust, Inc. MD 2.01,2.03,9.01 10/27/11 Gordmans Stores, Inc. DE 5.02,9.01 10/31/11 Granite Falls Energy, LLC MN 2.02,9.01 10/27/11 Great Wolf Resorts, Inc. DE 2.02,9.01 11/02/11 GREIF INC DE 5.02,5.03,9.01 10/31/11 GULFPORT ENERGY CORP DE 2.02,9.01 11/02/11 Hanesbrands Inc. MD 2.02,7.01,9.01 11/02/11 HANSEN MEDICAL INC 2.02,9.01 11/02/11 HARBINGER GROUP INC. DE 7.01 11/02/11 HARTFORD FINANCIAL SERVICES GROUP INC DE 2.02,9.01 11/02/11 HEALTH NET INC DE 2.02,9.01 11/02/11 HERITAGE COMMERCE CORP CA 7.01,9.01 11/02/11 HERITAGE OAKS BANCORP CA 4.01,9.01 10/31/11 HERTZ CORP DE 2.02,7.01,9.01 11/01/11 HERTZ GLOBAL HOLDINGS INC 2.02,7.01,9.01 11/01/11 hhgregg, Inc. DE 2.02,9.01 11/02/11 HIBERNIA BANCORP, INC. 2.02,9.01 11/02/11 HOLLYWOOD MEDIA CORP FL 8.01 10/27/11 HomeTown Bankshares Corp 2.02,9.01 10/27/11 HOT TOPIC INC /CA/ CA 2.02,9.01 11/02/11 HSN, Inc. DE 2.02,7.01,9.01 11/02/11 HUGHES Telematics, Inc. DE 7.01,9.01 11/02/11 Huntsman CORP DE 2.02,9.01 11/02/11 Huron Consulting Group Inc. DE 2.02,9.01 11/02/11 Hyatt Hotels Corp DE 2.02,9.01 11/02/11 ICAHN ENTERPRISES L.P. DE 2.02,9.01 11/02/11 ICF International, Inc. DE 2.02,8.01,9.01 11/02/11 IDENIX PHARMACEUTICALS INC DE 2.02,9.01 11/02/11 India Globalization Capital, Inc. MD 5.07 10/28/11 INNOSPEC INC. DE 2.02,9.01 11/01/11 INSIGHT ENTERPRISES INC DE 2.02,9.01 11/02/11 INSITE VISION INC DE 5.02 10/31/11 INSWEB CORP 2.02,9.01 10/31/11 INSWEB CORP 9.01 11/02/11 AMEND INTEGRYS ENERGY GROUP, INC. WI 2.02,9.01 11/02/11 INTERCONTINENTALEXCHANGE INC 2.02,9.01 11/02/11 Internal Fixation Systems, Inc. FL 1.01,2.03,3.02,9.01 11/01/11 Intrepid Potash, Inc. DE 2.02,9.01 11/02/11 Invesco Mortgage Capital Inc. MD 2.02,9.01 11/02/11 ION GEOPHYSICAL CORP DE 2.02,7.01,9.01 11/02/11 ISSUER DIRECT CORP 2.02,9.01 11/02/11 ISTA PHARMACEUTICALS INC DE 2.02,9.01 11/01/11 Iveda Solutions, Inc. NV 4.01,9.01 10/17/11 AMEND IXYS CORP /DE/ DE 2.02,9.01 11/02/11 JEFFERSON BANCSHARES INC TN 2.02,9.01 11/01/11 Kallo Inc. NV 7.01,9.01 11/02/11 KAMAN CORP CT 2.02,9.01 11/02/11 KAPSTONE PAPER & PACKAGING CORP DE 2.02,7.01,9.01 11/02/11 KAR Auction Services, Inc. DE 2.02,9.01 11/02/11 KEMPER Corp DE 2.02,9.01 11/02/11 KENEXA CORP 2.02,9.01 11/01/11 KILROY REALTY CORP MD 2.02,9.01 11/01/11 KIMCO REALTY CORP MD 1.01,2.03,9.01 10/27/11 KIMCO REALTY CORP MD 2.02 11/02/11 KINGOLD JEWELRY, INC. DE 5.02,5.07,9.01 10/31/11 KITE REALTY GROUP TRUST MD 2.02,9.01 11/02/11 Kosmos Energy Ltd. D0 1.01,1.02 10/31/11 KRAFT FOODS INC VA 2.02,9.01 11/02/11 LANDMARK BANCORP INC DE 2.02,8.01,9.01 11/02/11 LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 11/02/11 LEVEL 3 COMMUNICATIONS INC DE 2.02,9.01 11/02/11 LEXMARK INTERNATIONAL INC /KY/ DE 1.01,9.01 10/27/11 LHC Group, Inc 2.02,9.01 11/02/11 Liberty Global, Inc. DE 2.02,7.01 11/02/11 LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 11/02/11 LINCOLN NATIONAL CORP IN 2.02,9.01 11/02/11 LIONBRIDGE TECHNOLOGIES INC /DE/ DE 5.02 10/27/11 LOCAL.COM DE 2.02,9.01 11/02/11 LTC PROPERTIES INC MD 2.02,9.01 11/02/11 LUCAS ENERGY, INC. NV 4.01,9.01 10/27/11 MAGELLAN MIDSTREAM PARTNERS LP DE 2.02,9.01 11/02/11 MAKEMUSIC, INC. MN 2.02,8.01,9.01 11/02/11 MANNATECH INC TX 2.02,9.01 11/02/11 MARCHEX INC DE 2.02,9.01 11/02/11 MARSH & MCLENNAN COMPANIES, INC. DE 2.02,9.01 11/02/11 MASTERCARD INC DE 2.02,7.01,9.01 11/02/11 Max Sound Corp DE 1.01,3.02,9.01 09/19/11 MB FINANCIAL INC /MD 7.01 11/02/11 MEDICAL ACTION INDUSTRIES INC DE 7.01,9.01 11/02/11 MEDISAFE 1 TECHNOLOGIES CORP DE 3.02 11/02/11 MEDIWARE INFORMATION SYSTEMS INC NY 2.02,9.01 11/02/11 MELA SCIENCES, INC. /NY 8.01,9.01 11/02/11 MEMC ELECTRONIC MATERIALS INC DE 2.02,9.01 11/02/11 MICROSTRATEGY INC DE 2.02,9.01 10/31/11 MOD PAC CORP NY 2.02,9.01 11/02/11 Mojo Ventures, Inc. DE 1.01,2.01,5.02,9.01 10/27/11 MOLEX INC DE 5.07 10/28/11 MOLSON COORS BREWING CO DE 2.02,8.01,9.01 11/02/11 MOODYS CORP /DE/ DE 5.02,9.01 11/02/11 MOTRICITY INC DE 5.02,5.07,9.01 10/28/11 MSB FINANCIAL CORP. X1 2.02,9.01 11/02/11 MSCI Inc. DE 2.02,9.01 11/02/11 Mueller Water Products, Inc. DE 2.02,9.01 11/01/11 Mueller Water Products, Inc. DE 7.01 11/02/11 MURPHY OIL CORP /DE DE 2.02,9.01 11/02/11 NABI BIOPHARMACEUTICALS DE 2.02,9.01 11/02/11 Nalco Holding CO 2.02,9.01 11/01/11 NANOSPHERE INC DE 2.02,9.01 11/02/11 NATIONAL HEALTH INVESTORS INC MD 2.01,9.01 10/31/11 NATIONAL HEALTH INVESTORS INC MD 1.01,2.03,9.01 11/01/11 National Interstate CORP OH 2.02,8.01,9.01 11/01/11 NATIONAL RESEARCH CORP WI 2.02,9.01 11/01/11 NATURAL RESOURCE PARTNERS LP DE 2.02,9.01 11/02/11 NBC ACQUISITION CORP DE 7.01,9.01 10/31/11 NCI, Inc. DE 2.02,7.01,9.01 11/02/11 Neenah Paper Inc DE 8.01,9.01 11/01/11 NEKTAR THERAPEUTICS DE 2.02,9.01 11/02/11 Netco Investments, Inc. TX 5.02 10/31/11 NETLOGIC MICROSYSTEMS INC DE 8.01 11/01/11 NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 11/02/11 NEWS CORP 2.02,9.01 11/02/11 NEWS CORP 8.01,9.01 11/02/11 NewStar Financial, Inc. 2.02,9.01 11/02/11 NIKE INC OR 1.01,1.02,2.03,9.01 11/01/11 NOBLE ROMANS INC IN 7.01,9.01 10/19/11 Noranda Aluminum Holding CORP DE 2.02,8.01,9.01 11/01/11 NORDSON CORP OH 2.01,9.01 08/26/11 AMEND NORTH VALLEY BANCORP CA 2.02,9.01 11/01/11 NORTHERN MINERALS INC. NV 4.01,9.01 10/24/11 NUTRI SYSTEM INC /DE/ DE 2.02,7.01,9.01 11/02/11 NV ENERGY, INC. NV 2.02,7.01,9.01 11/02/11 Ocean Shore Holding Co. 2.02,9.01 11/02/11 Och-Ziff Capital Management Group LLC DE 7.01 11/02/11 Och-Ziff Capital Management Group LLC DE 2.02,8.01,9.01 11/02/11 Ohr Pharmaceutical Inc 1.01 10/31/11 ON SEMICONDUCTOR CORP DE 2.02,9.01 11/02/11 ONCURE HOLDINGS INC 1.01,2.03,9.01 10/26/11 Onteco Corp NV 3.02,9.01 10/31/11 ONYX PHARMACEUTICALS INC DE 2.02,9.01 11/02/11 Opexa Therapeutics, Inc. TX 5.07,8.01,9.01 10/27/11 OPTICAL CABLE CORP VA 1.01,3.03,9.01 10/28/11 OptimumBank Holdings, Inc. FL 1.01,9.01 11/02/11 AMEND Orange 21 Inc. DE 5.02,9.01 10/27/11 ORASURE TECHNOLOGIES INC DE 2.02,7.01,9.01 11/02/11 ORASURE TECHNOLOGIES INC DE 9.01 08/16/11 AMEND OTELCO INC. DE 2.02,9.01 11/02/11 OVERSEAS SHIPHOLDING GROUP INC DE 2.02,8.01,9.01 11/01/11 PAA NATURAL GAS STORAGE LP DE 2.02,7.01,9.01 11/02/11 PACIFIC FINANCIAL CORP WA 7.01 11/01/11 PACIFICHEALTH LABORATORIES INC DE 2.02 11/02/11 PAR PHARMACEUTICAL COMPANIES, INC. DE 2.02,9.01 11/02/11 PAR TECHNOLOGY CORP DE 2.02 11/02/11 PARK OHIO HOLDINGS CORP OH 2.02,9.01 11/02/11 Park Sterling Corp NC 2.02,7.01,9.01 11/02/11 PATAPSCO BANCORP INC MD 2.02,9.01 10/24/11 PATHFINDER BANCORP INC DE 8.01,9.01 11/01/11 PCS EDVENTURES COM INC ID 8.01 10/28/11 PEABODY ENERGY CORP DE 1.01,2.03,9.01 10/28/11 PENSECO FINANCIAL SERVICES CORP PA 2.02,9.01 11/02/11 PENSKE AUTOMOTIVE GROUP, INC. DE 2.02,7.01,8.01,9.01 10/27/11 PHH CORP MD 2.02,9.01 11/01/11 PHOENIX COMPANIES INC/DE DE 2.02,9.01 11/02/11 PHOENIX COMPANIES INC/DE DE 2.02,9.01 11/02/11 PINNACLE ENTERTAINMENT INC. DE 1.01,9.01 11/01/11 PIONEER NATURAL RESOURCES CO DE 2.02,9.01 11/01/11 PLAINS ALL AMERICAN PIPELINE LP DE 2.02,7.01,9.01 11/02/11 PLAINS EXPLORATION & PRODUCTION CO DE 1.01,3.02 10/28/11 Polypore International, Inc. 2.02,9.01 11/02/11 Polypore International, Inc. 2.02,9.01 11/02/11 PONIARD PHARMACEUTICALS, INC. WA 2.02,9.01 10/28/11 POST PROPERTIES INC GA 8.01,9.01 11/01/11 POWERWAVE TECHNOLOGIES INC DE 5.02 10/31/11 POWERWAVE TECHNOLOGIES INC DE 2.02,9.01 11/01/11 Primerica, Inc. DE 1.01,2.02,7.01,9.01 11/01/11 PRINCETON NATIONAL BANCORP INC DE 1.01,9.01 10/27/11 PROVIDENCE SERVICE CORP DE 2.02,7.01,9.01 10/27/11 PRUDENTIAL FINANCIAL INC NJ 2.02,7.01,8.01,9.01 11/02/11 PSM HOLDINGS INC NV 2.01,3.02,9.01 11/01/11 QUALCOMM INC/DE DE 2.02,9.01 11/02/11 QUALITY DISTRIBUTION INC FL 2.02,9.01 11/02/11 QUANTA SERVICES INC DE 2.02,9.01 11/02/11 QUICKSILVER RESOURCES INC DE 2.04 11/01/11 RAIT Financial Trust MD 1.01,2.03 10/27/11 RARE ELEMENT RESOURCES LTD A1 7.01,9.01 09/07/11 Raystream Inc. NV 5.02 11/01/11 Real Goods Solar, Inc. CO 2.02,9.01 11/02/11 RealD Inc. DE 2.02,9.01 11/02/11 REGIS CORP MN 5.02,5.07 10/27/11 RELIV INTERNATIONAL INC DE 2.02,9.01 11/02/11 REX AMERICAN RESOURCES Corp DE 1.01,2.01,2.03,9.01 11/01/11 RIMAGE CORP MN 7.01,9.01 11/02/11 River Rock Entertainment Authority XX 8.01,9.01 11/02/11 Roadrunner Transportation Systems, In DE 2.02,9.01 11/02/11 Rock-Tenn CO GA 5.02 11/02/11 RR Donnelley & Sons Co DE 2.02,9.01 11/02/11 RTI INTERNATIONAL METALS INC OH 5.02 10/28/11 AMEND RURBAN FINANCIAL CORP OH 7.01,9.01 11/02/11 Ryerson Holding Corp DE 2.02,9.01 11/02/11 RYERSON INC. DE 2.02,9.01 11/02/11 SAFETY INSURANCE GROUP INC DE 2.02,9.01 11/02/11 Saker Aviation Services, Inc. NV 5.07 10/27/11 SALISBURY BANCORP INC CT 8.01,9.01 11/02/11 SAUER DANFOSS INC DE 2.02,9.01 11/02/11 SAUL CENTERS INC MD 2.02,9.01 11/02/11 SCBT FINANCIAL CORP SC 5.02 10/27/11 SCHAWK INC 2.02,9.01 11/02/11 SCHWEITZER MAUDUIT INTERNATIONAL INC DE 2.02,9.01 11/02/11 SCIENTIFIC GAMES CORP DE 2.02,9.01 11/02/11 SCORPION PERFORMANCE, INC. FL 5.02,9.01 10/31/11 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 11/02/11 SELECTIVE INSURANCE GROUP INC NJ 7.01,9.01 11/02/11 AMEND Shire plc 8.01,9.01 11/01/11 SIGNATURE GROUP HOLDINGS, INC. NV 5.02,8.01 10/27/11 SINCLAIR BROADCAST GROUP INC MD 2.02,9.01 11/02/11 SINCLAIR BROADCAST GROUP INC MD 1.01 11/02/11 SKYWEST INC UT 2.02,9.01 11/02/11 SM Energy Co DE 2.02,9.01 11/01/11 SMITH & WESSON HOLDING CORP NV 1.01,2.03,9.01 10/28/11 SMITH MICRO SOFTWARE INC DE 2.02,9.01 11/02/11 SMITH MICRO SOFTWARE INC DE 8.01,9.01 11/02/11 Solar Park Initiatives, Inc. NV 8.01 10/31/11 SOLTA MEDICAL INC DE 2.01,9.01 11/01/11 Sono Resources, Inc. NV 1.01,2.01,3.02,5.06, 07/22/11 AMEND 9.01 SOUNDBITE COMMUNICATIONS INC 2.02,9.01 11/02/11 SOUTHERN CALIFORNIA EDISON CO CA 2.02,9.01 11/02/11 SOUTHERN COPPER CORP/ DE 2.02,9.01 10/28/11 SOUTHERN COPPER CORP/ DE 8.01 10/28/11 SOUTHWEST OIL & GAS INCOME FUND IX-A DE 1.01,9.01 10/28/11 SOUTHWEST OIL & GAS INCOME FUND X-A L DE 1.01,9.01 10/28/11 SOUTHWEST OIL & GAS INCOME FUND X-B L DE 1.01,9.01 10/28/11 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 1.01,9.01 10/28/11 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 1.01,9.01 10/28/11 SOUTHWEST ROYALTIES INSTITUTIONAL INC DE 1.01,9.01 10/28/11 Spansion Inc. DE 2.05 11/02/11 Spectrum Brands Holdings, Inc. DE 2.02,8.01,9.01 11/02/11 Spectrum Brands, Inc. DE 2.02,8.01,9.01 11/02/11 SPEEDWAY MOTORSPORTS INC DE 2.02,9.01 11/02/11 SPX CORP DE 2.02,9.01 11/02/11 STAG Industrial, Inc. 1.01,3.03,5.03,9.01 10/31/11 STANDARD PARKING CORP DE 2.02,7.01 11/02/11 STERIS CORP OH 2.02,9.01 11/02/11 STEVEN MADDEN, LTD. DE 2.02,9.01 11/01/11 STONE ENERGY CORP DE 2.02,7.01,9.01 11/01/11 STURM RUGER & CO INC DE 2.02,9.01 11/02/11 SunCoke Energy, Inc. 2.02,7.01,9.01 11/02/11 SUPERCONDUCTOR TECHNOLOGIES INC DE 2.02,9.01 11/02/11 SUPERMEDIA INC. DE 2.02,7.01,9.01 11/02/11 SWIFT ENERGY CO 5.07 11/02/11 AMEND SYMS CORP NJ 1.03,2.04,5.02 11/02/11 SYNERGY PHARMACEUTICALS, INC. FL 1.01,9.01 10/28/11 Tennessee Commerce Bancorp, Inc. TN 1.01,9.01 10/27/11 Tennessee Commerce Bancorp, Inc. TN 2.02,9.01 11/01/11 TESLA MOTORS INC DE 2.01,9.01 11/02/11 Texas Roadhouse, Inc. DE 2.02,9.01 11/01/11 TGC INDUSTRIES INC TX 1.02,5.07,8.01,9.01 10/27/11 THQ INC DE 2.02,2.03,9.01 10/31/11 TIDEWATER INC DE 2.02,9.01 11/02/11 TIME WARNER INC. DE 2.02,9.01 11/02/11 TITANIUM METALS CORP DE 2.02,7.01,9.01 11/02/11 Transocean Ltd. V8 2.02,9.01 11/02/11 Triangle Capital CORP MD 1.01,2.02,2.03,7.01, 11/02/11 9.01 TRIPLE-S MANAGEMENT CORP 2.02,9.01 11/02/11 TRIPLE-S MANAGEMENT CORP 2.02,9.01 11/02/11 AMEND TRW AUTOMOTIVE HOLDINGS CORP DE 2.02,9.01 11/02/11 TTM TECHNOLOGIES INC WA 2.02,9.01 11/02/11 Two Harbors Investment Corp. 2.02 11/02/11 U S GOLD CORP CO 7.01,9.01 11/02/11 UNIGENE LABORATORIES INC DE 5.02 10/28/11 UNIT CORP DE 2.02,9.01 11/02/11 UNITED ONLINE INC DE 2.02,9.01 11/02/11 UNITED SURGICAL PARTNERS INTERNATIONA DE 2.02,9.01 11/02/11 VALERO ENERGY CORP/TX DE 5.02,9.01 10/28/11 VALLEY NATIONAL BANCORP NJ 7.01,9.01 11/02/11 VALUECLICK INC/CA DE 2.02,9.01 11/02/11 VALUEVISION MEDIA INC MN 2.02,9.01 11/02/11 Varca Ventures, Inc. NV 1.01,2.01,3.02,4.01, 10/07/11 5.01,5.02,5.06,9.01 VASCO DATA SECURITY INTERNATIONAL INC DE 2.02,9.01 10/27/11 VERMILLION, INC. DE 3.02,5.02 11/01/11 VIRTUS INVESTMENT PARTNERS, INC. DE 1.01,2.02,5.02,9.01 10/27/11 VIRTUSA CORP 2.02,9.01 11/02/11 VLOV INC. NV 8.01,9.01 11/02/11 VONAGE HOLDINGS CORP DE 2.02,9.01 11/02/11 WATTS WATER TECHNOLOGIES INC DE 2.02,9.01 11/02/11 WebMD Health Corp. DE 2.02,7.01,9.01 11/02/11 WEBMEDIABRANDS INC. DE 2.02,9.01 11/02/11 WEBSTER FINANCIAL CORP DE 7.01 11/02/11 WEINGARTEN REALTY INVESTORS /TX/ TX 2.02,9.01 10/31/11 WELLCARE HEALTH PLANS, INC. DE 2.02,9.01 11/02/11 WEYCO GROUP INC WI 2.02,9.01 11/01/11 WHIRLPOOL CORP /DE/ DE 7.01,9.01 11/02/11 White River Capital Inc IN 2.02,9.01 11/02/11 WHITING PETROLEUM CORP DE 2.02,9.01 11/02/11 WHOLE FOODS MARKET INC TX 2.02,8.01,9.01 11/02/11 WILLIAM PENN BANCORP INC 5.07 11/02/11 WILLIAMS COMPANIES INC DE 2.02,9.01 11/01/11 WINN DIXIE STORES INC FL 2.02,9.01 10/31/11 Winthrop Realty Trust OH 1.01 10/28/11 WINTRUST FINANCIAL CORP IL 1.01,2.03,9.01 10/28/11 WIRELESS RONIN TECHNOLOGIES INC MN 3.03,5.02,5.03,8.01, 10/27/11 9.01 WORLD FUEL SERVICES CORP FL 7.01,9.01 11/02/11 Wright Express CORP 2.02,9.01 11/02/11 WSFS FINANCIAL CORP DE 5.02,9.01 10/27/11 WYNN RESORTS LTD 8.01,9.01 11/01/11 XENOPORT INC DE 2.02,9.01 11/02/11 XOMA LTD /DE/ DE 5.02 10/27/11 Yanglin Soybean, Inc. NV 5.02,9.01 10/28/11 Zalicus Inc. DE 2.02,9.01 11/02/11 ZILLOW INC WA 2.01,2.02,7.01,9.01 10/31/11 ZIONS BANCORPORATION /UT/ UT 7.01,9.01 11/02/11 ZIPCAR INC 2.02,9.01 11/02/11 Zoom Telephonics, Inc. DE 2.02,9.01 11/01/11 Zumiez Inc WA 7.01,9.01 11/02/11
http://www.sec.gov/news/digest/2011/dig110311.htm
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