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Enforcement ProceedingsSecurities and Exchange Commission Orders Hearing on Registration Suspension or Revocation Against Six Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the Administrative Law Judge will hear evidence from the Division and the Respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The Administrative Law Judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these Respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-63939; File No. 3-14270) Benedict P. Rybicki, CPA, Reinstated to Appear and Practice Before the Commission as an AccountantPursuant to Rule 102(e)(5)(i) of the Commission's Rules of Practice, Benedict P. Rybicki, CPA, has applied for and been granted reinstatement of his privilege to appear and practice before the Commission as an accountant. Mr. Rybicki was denied the privilege of appearing or practicing before the Commission on August 5, 2004. His reinstatement is effective immediately. (Rel. 34-63940; AAE Rel. 3245; File No. 3-11377) SEC Charges Attorney with Fraud for Issuing False Legal Opinion in Connection with Illegal Stock OfferingOn Feb. 10, 2011, the Commission amended its complaint in SEC v. Greenstone Holdings, Inc., et al., 10 civ. 1302 (S.D.N.Y.), to add as a defendant Virginia K. Sourlis, a securities lawyer. According to the amended complaint, in early 2006, Sourlis intentionally authored a materially false and misleading legal opinion, which Greenstone used to illegally issue millions of shares of stock in unregistered transactions. Among other things, Sourlis falsely described promissory notes, note holders, and communications with those holders, none of which actually existed. The SEC alleges that, contrary to Sourlis’ fraudulent opinion letter, the stock issuance did not qualify for an exemption from registration under the federal securities laws. The amended complaint alleges that Sourlis violated Sections 5 of the Securities Act of 1933 (Securities Act) and Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder and aided and abetted defendant Greenstone’s violations of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder. The SEC seeks injunctive relief and financial penalties, disgorgement, and a penny stock bar from Sourlis. [SEC v. Greenstone Holdings, Inc., et al., Civ. No. 10-CV-1302 (S.D.N.Y.)] ( LR-21863) Self-Regulatory OrganizationsProposed Rule ChangeThe NASDAQ Stock Market filed a proposed rule change (SR-NASDAQ-2011-025) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder, to amend The NASDAQ OMX Group, Inc. by-laws. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63925) Institution of Proceedings to Determine Whether to Disapprove Proposed Rule ChangesThe Commission instituted proceedings to determine whether to disapprove a proposed rule change, as modified by Amendment No. 2 (SR-EDGA-2010-18), submitted by EDGA Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to amend EDGA Rules 11.9 and 11.5. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63929) The Commission instituted proceedings to determine whether to disapprove a proposed rule change, as modified by Amendment No. 2 (SR-EDGX-2010-17), submitted by EDGX Exchange pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to amend EDGX Rules 11.9 and 11.5. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63930) Approval of Proposed Rule ChangeThe Commission approved a proposed rule change (SR-FINRA 2010-056) submitted by the Financial Industry Regulatory Authority pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to adopt FINRA Rule 1113 (Restrictions Pertaining to New Member Applications) and to amend FINRA Rule 9520 Series (Eligibility Proceedings). Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63933) Immediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by New York Stock Exchange to amend the Exchange price list (SR-NYSE-2011-04) 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 February 21. (Rel. 34-63934) A proposed rule change filed by NYSE Amex to amend the Exchange price list (SR-NYSEAmex-2011-07) 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 February 21. (Rel. 34-63935) 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 ReachLocal Inc, 21700 OXNARD STREET, SUITE 1600, WOODLAND HILLS, CA,
91367, 8189369906 - 0 ($30,874,497.36) Equity, (File 333-172321 -
Feb. 18) (BR. 11B)
S-3ASR ALCOA INC, 201 ISABELLA ST, ALCOA CORPORATE CTR, PITTSBURGH, PA,
15212-5858, 4125532576 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-172327 - Feb. 18) (BR. 06B)
S-8 KONINKLIJKE PHILIPS ELECTRONICS NV, BREITNER CENTER, AMSTELPLEIN 2,
AMSTERDAM, P7, 1096 BC, 31 20 59 77777 -
16,500,000 ($518,760,000.00) Equity, (File 333-172329 - Feb. 18)
(BR. 10B)
S-8 Asia Green Agriculture Corp, 174 FM 1830, ARGYLE, TX, 76226,
972-233-0300 - 5,500,000 ($22,000,000.00) Equity, (File 333-172330 -
Feb. 18) (BR. 09)
S-1 CFO CONSULTANTS, INC., 829 FRANCIS DR, PALM SPRINGS, CA, 92262,
760-899-1919 - 11,960,000 ($1,435,200.00) Equity, (File 333-172331 -
Feb. 18) (BR. 08B)
S-8 Energy Future Holdings Corp /TX/, ENERGY PLAZA, 1601 BRYAN ST, DALLAS,
TX, 75201, 2148124600 - 0 ($90,000,000.00) Equity, (File 333-172332 -
Feb. 18) (BR. 02C)
S-8 IROBOT CORP, 8 CROSBY DRIVE, BEDFORD, MA, 01730, 781-430-3000 -
0 ($33,308,835.52) Equity, (File 333-172333 - Feb. 18) (BR. 11A)
F-1 LONE OAK ACQUISITION CORP, 16 Fenwick Street,
Unit 1004, East Town Building, Wanchai, Hong Kong, K3, 00000,
852-2110-9133 - 0 ($65,320,100.00) Equity, (File 333-172334 - Feb. 18)
(BR. 01A)
S-8 Community Partners Bancorp, 1250 HIGHWAY 35 SOUTH, MIDDLETOWN, NJ,
07748, 732-706-9009 - 250,000 ($1,320,000.00) Equity,
(File 333-172335 - Feb. 18) (BR. 07B)
S-8 ACME PACKET INC, 100 CROSBY DRIVE, BEDFORD, MA, 01730, 781-328-4400 -
0 ($215,330,095.00) Equity, (File 333-172351 - Feb. 18) (BR. 03A)
S-1 ACCENTIA BIOPHARMACEUTICALS INC, 324 SOUTH HYDE PARK AVE, SUITE 350,
TAMPA, FL, 33606, 8138642562 - 0 ($5,000,000.00) Equity,
(File 333-172353 - Feb. 18) (BR. 01B)
S-1 BROADCAST INTERNATIONAL INC, 7050 UNION PARK AVENUE, #600,
SALT LAKE CITY, UT, 84047, 801-562-2252 -
40,599,961 ($24,359,976.60) Equity, (File 333-172354 - Feb. 18)
(BR. 02C)
S-1 Fabrinet, 294 MOO 8, VIBHAVADI RANGSIT ROAD, KOOKOT, LUMLOOKA,
PATUMTHANEE, W1, 12130, 662-998-9956 -
6,900,000 ($198,582,000.00) Equity, (File 333-172355 - Feb. 18)
(BR. 11C)
S-8 HAWAIIAN HOLDINGS INC, 3375 KOAPAKA STREET, SUITE G-350, HONOLULU, HI,
96819, 0 ($51,611,000.00) Equity, (File 333-172356 - Feb. 18) (BR. 05B)
S-8 BLUEFLY INC, 42 WEST 39TH ST, NEW YORK, NY, 10018, 2129448000 -
3,086,392 ($8,293,874.00) Equity, (File 333-172357 - Feb. 18) (BR. 02B)
S-8 Global Cash Access Holdings, Inc., 3525 EAST POST ROAD, SUITE 120,
LAS VEGAS, NV, 89120, 705-855-3000 - 1,931,400 ($6,953,040.00) Equity,
(File 333-172358 - Feb. 18) (BR. 07A)
S-3 CHEROKEE INC, 6835 VALJEAN AVE, VAN NUYS, CA, 91406-4713, 8189511002 -
0 ($6,881,799.66) Equity, (File 333-172359 - Feb. 18) (BR. 09B)
S-8 RAINMAKER SYSTEMS INC, 900 EAST HAMILTON AVENUE, SUITE 400, CAMPBELL,
CA, 95008, 8314617299 - 931,008 ($1,247,550.72) Equity,
(File 333-172360 - Feb. 18) (BR. 08C)
S-4 Celanese CORP, 1601 W. LBJ FREEWAY, DALLAS, TX, 75234, 972-443-4000 -
0 ($600,000,000.00) Non-Convertible Debt, (File 333-172362 - Feb. 18)
(BR. 06C)
S-3 Golden Minerals Co, 350 INDIANA STREET, SUITE 800, GOLDEN, CO, 80401,
3038395060 - 0 ($27,073,205.25) Equity, (File 333-172363 - Feb. 18)
(BR. 04C)
S-8 Armour Residential REIT, Inc., 3001 OCEAN DRIVE, SUITE 201, VERO BEACH,
FL, 32963, (772) 617-4340 - 250,000 ($1,815,000.00) Equity,
(File 333-172364 - Feb. 18) (BR. 08B)
S-3 JAKKS PACIFIC INC, 22619 PACIFIC COAST HWY, SUITE 250, MALIBU, CA,
90265, 3104567799 - 100,000 ($1,764,000.00) Equity, (File 333-172365 -
Feb. 18) (BR. 05B)
S-3 WELLS FARGO COMMERCIAL MORTGAGE SECURITIES INC,
301 SOUTH COLLEGE STREET, CHARLOTTE, NC, 28228-0166, 7043832556 -
1,000,000 ($1,000,000.00) Asset-Backed Securities, (File 333-172366 -
Feb. 18) (BR. 05D)
S-8 Mass Hysteria Entertainment Company, Inc., 5555 MELROSE AVE.,
SWANSON BLDG SUITE 400,, HOLLYWOOD, CA, 90038, 323-956-8388 -
23,000,000 ($460,000.00) Equity, (File 333-172367 - Feb. 18) (BR. 02)
S-3ASR HEALTHCARE REALTY TRUST INC, 3310 WEST END AVE, FOURTH FL SUITE 700,
NASHVILLE, TN, 37203, 6152699175 - 0 ($0.00) Equity, (File 333-172368 -
Feb. 18) (BR. 08B)
S-3 TEAM HEALTH HOLDINGS INC., 265 BROOKVIEW CENTRE WAY, SUITE 400,
KNOXVILLE, TN, 37919, 865-693-1000 - 0 ($200,000,000.00) Equity,
(File 333-172369 - Feb. 18) (BR. 11B)
S-8 ALNYLAM PHARMACEUTICALS, INC., 300 THIRD STREET, CAMBRIDGE, MA, 02142,
(617) 551-8200 - 0 ($4,000,000.00) Equity, (File 333-172370 - Feb. 18)
(BR. 01B)
S-8 DEMAND MEDIA INC., 1299 OCEAN AVENUE, SUITE 500, SANTA MONICA, CA,
90401, 310-394-6400 - 0 ($698,990,204.86) Equity, (File 333-172371 -
Feb. 18) (BR. 03A)
S-3 CAPITAL SENIOR LIVING CORP, 14160 DALLAS PARKWAY, SUITE 300, DALLAS,
TX, 75254, 9727705600 -
0 ($100,000,000.00) Unallocated (Universal) Shelf, (File 333-172372 -
Feb. 18) (BR. 11C)
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
21ST CENTURY HOLDING CO FL 8.01 02/16/11
8888 Acquisition CORP NV 1.01,2.01,3.02,4.01, 02/18/11 AMEND
5.01,5.02,5.03,5.06,
9.01
ABERCROMBIE & FITCH CO /DE/ DE 2.02,2.06,8.01,9.01 02/18/11
AbitibiBowater Inc. DE 5.02,9.01 02/14/11
AbitibiBowater Inc. DE 2.02,9.01 02/18/11
ACELRX PHARMACEUTICALS INC DE 5.03,9.01 02/16/11
ACORDA THERAPEUTICS INC 2.02 02/17/11 AMEND
Advance America, Cash Advance Centers DE 5.02,9.01 02/15/11
ADVANCED ENERGY INDUSTRIES INC DE 2.02,5.02,9.01 02/14/11
AdvanSource Biomaterials Corp DE 2.02,7.01,9.01 02/18/11
AIR PRODUCTS & CHEMICALS INC /DE/ DE 1.02 02/16/11
AlumiFuel Power Corp NV 4.01,9.01 02/14/11
AMEREN CORP MO 8.01 02/18/11
AMEREN CORP MO 8.01 02/16/11
AMERICAN CONSUMERS INC GA 7.01,9.01 02/18/11
AMERICAN LIFE HOLDING CO INC 5.01,5.02 02/11/11
AMERICAN NATIONAL BANKSHARES INC VA 8.01,9.01 02/17/11
AMERICAN NATIONAL BANKSHARES INC VA 5.02 02/17/11
AMERICAN RIVER BANKSHARES CA 5.02,9.01 02/16/11
AMERICANWEST BANCORPORATION WA 7.01,9.01 02/15/11
AMERICAS CARMART INC TX 2.02,9.01 02/18/11
AMERIGROUP CORP 2.02,9.01 02/18/11
AMHN, Inc. UT 1.01,1.02,2.01,5.02, 02/15/11
8.01,9.01
AMKOR TECHNOLOGY INC DE 8.01,9.01 02/18/11
Ampio Pharmaceuticals, Inc. DE 7.01 02/14/11
ANGIOTECH PHARMACEUTICALS INC 1.01,8.01,9.01 02/16/11
ANNALY CAPITAL MANAGEMENT INC MD 1.01,9.01 02/15/11
Applied Natural Gas Fuels, Inc. NV 1.01,1.02,2.03,9.01 02/08/11
APRIA HEALTHCARE GROUP INC DE 2.02,9.01 02/18/11
Aquasil International Inc. NV 5.01,5.02,5.03,8.01, 02/18/11
9.01
Arkson Nutraceuticals Corp. DE 5.03,9.01 02/18/11
Armour Residential REIT, Inc. MD 1.01,9.01 02/18/11
ARYx Therapeutics, Inc. DE 8.01 02/17/11
Asia Green Agriculture Corp NV 1.01 02/14/11
Atlantic Coast Financial CORP MD 8.01,9.01 02/18/11
ATRION CORP DE 2.02,9.01 02/18/11
AVAYA INC DE 5.02 10/12/10
Bank of the Carolinas CORP NC 8.01,9.01 02/18/11
BARNES GROUP INC DE 2.02,9.01 02/18/11
BARRETT BUSINESS SERVICES INC MD 5.02,8.01,9.01 02/17/11
BASIC ENERGY SERVICES INC 1.01,1.02,2.03,3.03, 02/15/11
8.01,9.01
BIOCRYST PHARMACEUTICALS INC DE 5.02 02/14/11
BIOPHARM ASIA, INC. NV 5.02 02/15/11
Biostar Pharmaceuticals, Inc. MD 2.02,7.01,9.01 02/17/11
BLUE RIDGE REAL ESTATE CO PA 1.01,9.01 02/17/11
BMB MUNAI INC 1.01,9.01 02/14/11
Bonanza Goldfield Corp. NV 1.01,2.01,9.01 02/09/11
BROADSOFT INC DE 5.02 02/14/11
BUCYRUS INTERNATIONAL INC DE 2.02,9.01 02/17/11
CABLEVISION SYSTEMS CORP /NY DE 7.01,9.01 02/18/11
CADENCE FINANCIAL CORP MS 5.02,9.01 02/17/11
CALPINE CORP DE 2.02,9.01 02/18/11
CAMBIUM LEARNING GROUP, INC. 1.01,2.03,8.01,9.01 02/17/11
CAMPBELL SOUP CO NJ 2.02,9.01 02/18/11
CAPITAL GROWTH SYSTEMS INC /FL/ FL 5.02,9.01 02/14/11
CAPITALSOURCE INC DE 5.03,9.01 02/16/11
CAREER EDUCATION CORP DE 2.02,9.01 02/17/11
CASCADE MICROTECH INC 3.01 02/16/11
CATERPILLAR INC DE 7.01 02/18/11
CB RICHARD ELLIS GROUP INC DE 1.01,2.03,9.01 02/15/11
CC Media Holdings Inc 1.01,8.01,9.01 02/15/11
CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 02/16/11
CF Industries Holdings, Inc. DE 2.02,9.01 02/18/11
Chatham Lodging Trust MD 2.02,9.01 02/16/11
Chelsea Therapeutics International, L DE 1.01,8.01,9.01 02/18/11
CHEYENNE RESOURCES CORP. NV 5.02 02/01/11
CHINA DIGITAL VENTURES CORP NV 4.02 02/15/11
CHINA DIGITAL VENTURES CORP NV 4.01 02/18/11
CHINA DIGITAL VENTURES CORP NV 4.02 02/15/11 AMEND
CHINA GENGSHENG MINERALS, INC. NV 1.01,9.01 02/18/11
China SHESAYS Medical Cosmetology Inc NV 8.01,9.01 02/17/11
CITADEL BROADCASTING CORP DE 8.01,9.01 02/17/11
CITIGROUP INC DE 5.02 02/14/11
CLAIRES STORES INC DE 8.01,9.01 02/17/11
Clean Energy Fuels Corp. DE 7.01 02/18/11
CLEAR CHANNEL COMMUNICATIONS INC TX 1.01,8.01,9.01 02/15/11
Clear Skies Solar, Inc DE 5.02 02/18/11
CLOROX CO /DE/ DE 5.02 02/15/11
CLX MEDICAL, INC. CO 3.02,5.02 02/16/11
COCA-COLA ENTERPRISES, INC. DE 8.01,9.01 02/18/11
Colonial Financial Services, Inc. MD 8.01,9.01 02/18/11
Compass Diversified Holdings DE 5.02,9.01 02/16/11
CORE HEALTH CARE NETWORK, INC. 2.01,9.01 02/16/11
Coyote Resources, Inc. NV 5.02,9.01 02/17/11
CPG INTERNATIONAL INC. DE 7.01,9.01 02/18/11
CROWN CASTLE INTERNATIONAL CORP DE 4.01,9.01 12/08/10 AMEND
Cryoport, Inc. NV 1.01,3.02,5.02 02/14/11
CUMULUS MEDIA INC DE 8.01,9.01 02/18/11
CYMER INC NV 5.02 02/16/11
CYTRX CORP DE 3.01 02/18/11
DATALINK CORP MN 5.02,5.03,9.01 02/15/11
DATALINK CORP MN 2.02,9.01 02/17/11
DAWSON GEOPHYSICAL CO TX 7.01,9.01 02/18/11
DEVELOPERS DIVERSIFIED REALTY CORP OH 2.02,9.01 02/17/11
DIAMOND HILL INVESTMENT GROUP INC OH 2.02,9.01 02/18/11
Digital Realty Trust, Inc. 2.02,7.01,9.01 02/18/11
Digital Realty Trust, Inc. 5.02 02/14/11
DIME COMMUNITY BANCSHARES INC DE 7.01 02/18/11
DOMINION RESOURCES BLACK WARRIOR TRUS DE 2.02,9.01 02/18/11
DYNAMEX INC DE 5.07,7.01,9.01 02/18/11
ECB BANCORP INC NC 2.02,9.01 02/18/11
EMPIRE RESORTS INC DE 3.01 02/14/11
Energy Future Holdings Corp /TX/ TX 2.02,9.01 02/18/11
ENERGY INCOME & GROWTH FUND 7.01,9.01 02/17/11
EnerSys DE 1.01,9.01 02/14/11
Entertainment Gaming Asia Inc. NV 1.01 02/14/11
EOG RESOURCES INC DE 2.02,7.01,9.01 02/17/10
Essex Rental Corp. DE 8.01,9.01 02/18/11
EVANS BANCORP INC NY 7.01 02/15/11
Federal Home Loan Bank of Dallas 2.03,9.01 02/14/11
FEI CO OR 5.02 02/16/11
FIRST BANCORP /NC/ NC 5.02 02/18/11
FIRST CENTURY BANCORP. GA 5.02 02/17/11
FIRST UNITED ETHANOL LLC GA 5.02 02/16/11
FIRSTFED FINANCIAL CORP DE 8.01,9.01 02/15/11
Florida Bank Group, Inc. FL 5.02 02/14/11
FOREST OIL CORP NY 5.02,9.01 02/17/11
FOUR OAKS FINCORP INC NC 2.02,9.01 02/18/11
FUSION TELECOMMUNICATIONS INTERNATION DE 1.01,2.03 02/18/10
GAP INC DE 5.03,9.01 02/17/11
GARTNER INC DE 1.01,9.01 02/17/11
GENERAC HOLDINGS INC. DE 2.02,9.01 02/18/11
GENZYME CORP MA 2.05 11/05/10 AMEND
GEOKINETICS INC DE 7.01,9.01 02/18/11
Global Immune Technologies Inc. WY 1.01 02/18/11
Global Pharm Holdings Group, Inc. DE 5.02,8.01,9.01 02/18/11
GMX RESOURCES INC OK 7.01,9.01 02/15/11
GOODRICH PETROLEUM CORP DE 2.02,9.01 02/17/11
GRANT PARK FUTURES FUND LIMITED PARTN IL 7.01 01/31/11
Great Lakes Dredge & Dock CORP DE 8.01,9.01 02/18/11
GSI COMMERCE INC DE 5.02 02/15/11
Hanesbrands Inc. MD 1.01,7.01,9.01 02/17/11
HAWTHORN BANCSHARES, INC. MO 8.01 02/16/11
HealthSpring, Inc. DE 2.02,9.01 02/18/11
HELEN OF TROY LTD 5.02,9.01 02/14/11
Helix Wind, Corp. NV 3.02 02/15/11
HENRY SCHEIN INC DE 8.01,9.01 02/18/11
HMS HOLDINGS CORP 2.02,9.01 02/18/11
HOLLY ENERGY PARTNERS LP DE 1.01,2.03,5.02,9.01 02/14/11
HOME PROPERTIES INC MD 7.01,9.01 02/17/11
HOSPITALITY PROPERTIES TRUST MD 2.02,9.01 02/18/11
HUMANA INC DE 7.01 02/17/11
ICONIX BRAND GROUP, INC. DE 2.02,5.02,9.01 02/15/11
IMMUCELL CORP /DE/ DE 8.01,9.01 02/16/11
Incoming, Inc. NV 5.02 02/11/11
Ingersoll-Rand plc L2 5.02 02/14/11
INPHI Corp DE 5.02 02/14/11
INTERLINK-US-NETWORK, LTD. CA 4.01,9.01 02/14/11
INTERNET CAPITAL GROUP INC DE 2.01 02/17/11
INTERPHASE CORP TX 5.02 02/11/11
INTERPRO MANAGEMENT CORP. NV 1.01,9.01 02/14/11
INTRICON CORP PA 2.02,7.01,9.01 02/17/11
ITEX CORP NV 5.02,9.01 02/14/11
J CREW GROUP INC DE 8.01 02/17/11
J2 GLOBAL COMMUNICATIONS INC DE 7.01 02/17/11
JO-ANN STORES INC OH 8.01,9.01 02/18/11
JOHNSON CONTROLS INC WI 2.03,9.01 02/17/11
KACHING KACHING, INC. DE 5.02 02/15/11
KENEXA CORP 5.02 02/16/11
KEY ENERGY SERVICES INC MD 2.02,9.01 02/18/11
KIMBERLY CLARK CORP DE 5.02 02/18/11
KINETIC CONCEPTS INC TX 5.02 02/16/11
Klein Retail Centers, Inc. DE 4.01 02/07/11
LABRANCHE & CO INC DE 1.01,9.01 02/16/11
LANDEC CORP \CA\ CA 1.01,9.01 02/15/11
LAWSON PRODUCTS INC/NEW/DE/ DE 2.02,9.01 02/17/11
Li3 Energy, Inc. NV 3.02 02/16/11
Liberty Global, Inc. 2.02,7.01 02/18/11
LIFEPOINT HOSPITALS, INC. 2.02,9.01 02/18/11
Limelight Networks, Inc. DE 5.02 02/15/11
LINCOLN ELECTRIC HOLDINGS INC OH 2.02,9.01 02/18/11
Lithium Exploration Group, Inc. NV 5.02 02/02/11
LUCAS ENERGY, INC. NV 5.02 02/18/11
LyondellBasell Industries N.V. P7 2.02,7.01,9.01 02/18/11
MACK CALI REALTY CORP MD 1.01,7.01,9.01 02/15/11
MAGELLAN PETROLEUM CORP /DE/ DE 1.01,2.02,8.01,9.01 02/11/11
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,8.01,9.01 02/18/11
MAGNUM HUNTER RESOURCES CORP DE 2.02,7.01,8.01,9.01 02/18/11
Man AHL FuturesAccess LLC DE 3.02 02/18/11
MAP Pharmaceuticals, Inc. DE 5.02,9.01 02/16/11
MARINE PETROLEUM TRUST TX 7.01,9.01 02/17/11
MAXIMUS INC VA 8.01 02/18/11
MedPro Safety Products, Inc. NV 7.01,9.01 02/18/11
MELO BIOTECHNOLOGY HOLDINGS INC. A6 1.01,9.01 02/17/11
MENTOR GRAPHICS CORP OR 2.02,8.01,9.01 02/17/11
METLIFE INC DE 8.01,9.01 02/18/11
MID WISCONSIN FINANCIAL SERVICES INC WI 2.02,9.01 02/18/11
Midway Gold Corp A1 7.01,9.01 02/10/11
MILLER HERMAN INC MI 5.02 02/18/11
ML Aspect FuturesAccess LLC DE 3.02 02/18/11
ML Systematic Momentum FuturesAccess DE 3.02 02/18/11
ML Winton FuturesAccess LLC DE 3.02 02/18/11
MMAX MEDIA, INC. NV 1.01,5.02,9.01 02/17/11
MOLINA HEALTHCARE INC DE 5.02 02/17/11
MONRO MUFFLER BRAKE INC NY 8.01,9.01 02/17/11
MS STRUCTURED SATURNS SERIES 2003-6 DE 8.01,9.01 02/15/11
MS STRUCTURED SATURNS SERIES 2004-4 DE 8.01,9.01 02/15/11
MS STRUCTURED SATURNS SERIES 2005-1 DE 8.01,9.01 02/15/11
MUELLER INDUSTRIES INC DE 8.01,9.01 02/18/11
NATIONAL PENN BANCSHARES INC PA 7.01,9.01 02/18/11
NATIONAL RURAL UTILITIES COOPERATIVE DC 8.01,9.01 02/14/11
NATIONWIDE HEALTH PROPERTIES INC MD 5.02 02/15/11
NaturalNano , Inc. NV 1.01,2.03,9.01 01/23/11
NAVIGATORS GROUP INC DE 2.02,7.01,9.01 02/17/11
NAVIGATORS GROUP INC DE 5.02,9.01 02/17/11
NetSpend Holdings, Inc. DE 5.02,9.01 02/16/11
NEULION, INC. 8.01,9.01 11/30/10 AMEND
Neutral Tandem Inc 9.01 09/30/10 AMEND
NEWPARK RESOURCES INC DE 2.02,9.01 02/17/11
NOBLE ENERGY INC DE 8.01,9.01 02/18/11
NV ENERGY, INC. NV 2.02,7.01,9.01 02/18/11
Oasis Petroleum Inc. DE 5.02,7.01,9.01 02/15/11
Oculus Innovative Sciences, Inc. CA 1.01,9.01 02/14/11
OIL STATES INTERNATIONAL, INC DE 2.02,9.01 02/17/11
Omega Flex, Inc. PA 2.02,7.01,9.01 02/18/11
ONCOR ELECTRIC DELIVERY CO LLC DE 2.02,9.01 02/18/11
ONEOK INC /NEW/ OK 5.02,8.01,9.01 02/18/11
ONEOK Partners LP DE 5.02,9.01 12/15/10
Paradigm Holdings, Inc WY 5.02,9.01 02/15/11
PATTERSON COMPANIES, INC. MN 2.02,9.01 02/18/11
PENN VIRGINIA CORP VA 5.02,5.03,7.01,9.01 02/17/11
PENN VIRGINIA CORP VA 5.02 10/28/10 AMEND
PERMIAN BASIN ROYALTY TRUST TX 2.02,9.01 02/17/11
PINNACLE WEST CAPITAL CORP AZ 1.01,1.02,2.02,2.03, 12/31/10
7.01,9.01
POTOMAC BANCSHARES INC WV 2.02 02/17/11 AMEND
PRECISION CASTPARTS CORP OR 5.03,9.01 02/16/11
PRIMUS TELECOMMUNICATIONS GROUP INC DE 8.01,9.01 02/17/11
PRINCETON NATIONAL BANCORP INC DE 5.02 01/24/11 AMEND
PRIVATEBANCORP, INC DE 7.01,9.01 02/18/11
PROGENICS PHARMACEUTICALS INC DE 8.01,9.01 02/17/11
PROGRESS ENERGY INC NC 2.02,9.01 02/18/11
ProShares Trust II DE 8.01,9.01 02/18/11
PROSPECT CAPITAL CORP MD 1.01,2.03,3.02,8.01, 02/14/11
9.01
Protalix BioTherapeutics, Inc. FL 7.01,9.01 02/18/11
PSM HOLDINGS INC NV 8.01,9.01 02/17/11
PULTEGROUP INC/MI/ MI 5.02,9.01 02/18/11
QUEST DIAGNOSTICS INC DE 5.03,9.01 02/16/11
RAIT Financial Trust MD 7.01,9.01 02/10/11
Rand Logistics, Inc. DE 7.01,9.01 02/14/11
Real Mex Restaurants, Inc. DE 5.02 02/18/11
REDWOOD TRUST INC MD 7.01,9.01 02/18/11
REGENERON PHARMACEUTICALS INC NY 2.02,9.01 02/17/11
RENAISSANCERE HOLDINGS LTD D0 8.01 02/15/11
ROLLINS INC DE 7.01,9.01 02/17/11
ROSETTA STONE INC 2.02,9.01 02/18/11
Rovi Corp DE 2.01 02/17/11
ROYAL INVEST INTERNATIONAL CORP. DE 8.01 02/18/11
RUDDICK CORP NC 5.02,5.07,9.01 02/17/11
Ruths Hospitality Group, Inc. DE 2.02,9.01 02/18/11
SAFE TECHNOLOGIES INTERNATIONAL INC DE 5.02 02/14/11
SAGE FUND LP MD 3.02 12/01/10
SAGE FUND LP MD 3.02 01/01/11
SANGUI BIOTECH INTERNATIONAL INC CO 1.01,9.01 02/17/11
SCBT FINANCIAL CORP SC 1.01,3.02,7.01,9.01 02/18/11
SCBT FINANCIAL CORP SC 7.01,9.01 02/18/11
SCHIFF NUTRITION INTERNATIONAL, INC. DE 5.02,9.01 02/17/11
SCHOOL SPECIALTY INC WI 2.02,9.01 02/17/11
SCHOOL SPECIALTY INC WI 1.01,2.03,9.01 02/16/11
SEACOR HOLDINGS INC /NEW/ DE 2.02,9.01 02/17/11
Seagate Technology plc L2 8.01 02/18/11
SEFE, INC. NV 2.03,9.01 02/14/11
ServisFirst Bancshares, Inc. DE 7.01,9.01 02/18/11
SILGAN HOLDINGS INC DE 8.01,9.01 02/17/11
Silver Dragon Resources Inc. DE 1.01,2.03,3.02,7.01, 02/18/11
9.01
Six Flags Entertainment Corp DE 5.02 02/03/11 AMEND
SOUTHERN MICHIGAN BANCORP INC MI 2.02,9.01 02/18/11
SOUTHWESTERN ENERGY CO DE 1.01 02/18/11
SP Bancorp, Inc. MD 8.01,9.01 02/18/11
SPARTAN STORES INC MI 5.02,7.01,9.01 02/16/11
SPICY PICKLE FRANCHISING INC CO 7.01,9.01 02/15/11
ST JOE CO FL 5.02,9.01 02/14/11
State Auto Financial CORP OH 2.02,7.01,9.01 02/17/11
STATE BANCORP INC NY 5.02 02/17/11
STEMCELLS INC DE 8.01,9.01 02/17/11
STONE ENERGY CORP DE 5.02 02/17/11
STRATEGIC AMERICAN OIL CORP NV 3.02 02/14/11
STRUCTURED PROD TIERS CORP BOND-BCKD DE 8.01,9.01 02/15/11
STRUCTURED PRODUCTS CORP COR TRUST FO DE 8.01,9.01 02/15/11
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/15/11
STRUCTURED PRODUCTS CORP CORTS TRUST DE 8.01,9.01 02/15/11
Summit Hotel Properties, Inc. MD 1.01,2.01,2.03,3.02, 02/14/11
5.02,9.01
SUNESIS PHARMACEUTICALS INC DE 5.02,9.01 02/14/11
SURMODICS INC MN 5.02 02/16/11
Targa Resources Corp. DE 5.02,9.01 02/14/11
Targa Resources Partners LP DE 5.02,8.01,9.01 02/14/11
TCF FINANCIAL CORP DE 5.02,9.01 02/16/11
TD AMERITRADE HOLDING CORP DE 5.02,5.07,9.01 02/16/11
TechniScan, Inc. DE 1.01,2.03,3.02,9.01 02/14/11
TECHNOLOGY RESEARCH CORP FL 5.02,7.01,9.01 02/14/11
TESSCO TECHNOLOGIES INC DE 1.01,9.01 02/15/11
TEXAS INSTRUMENTS INC DE 5.02 02/17/11
THOMAS PROPERTIES GROUP INC DE 2.02 02/17/11
TIAA REAL ESTATE ACCOUNT NY 2.02,7.01,9.01 02/18/11
TomoTherapy Inc WI 2.02,9.01 02/18/11
TOWER BANCORP INC PA 9.01 12/10/10 AMEND
Tower International, Inc. DE 2.02,7.01,9.01 02/18/11
TRAVELCENTERS OF AMERICA LLC 2.02,9.01 02/18/11
TRICO BANCSHARES / CA 5.03,9.01 02/15/11
TRIMAS CORP DE 5.03,9.01 02/18/11
TRW AUTOMOTIVE HOLDINGS CORP DE 5.02 02/15/11
Tuffnell Ltd. NV 8.01 02/18/11
U S GOLD CORP CO 1.01,9.01 02/17/11
U S GOLD CORP CO 7.01,9.01 02/18/11
ULTRA PETROLEUM CORP 2.02,9.01 02/18/11
ULTRA PETROLEUM CORP 7.01,9.01 02/18/11
ULTRA PETROLEUM CORP 8.01,9.01 02/18/11
UNIFY CORP 4.02,7.01,9.01 02/18/11
United Community Bancorp X1 3.01 02/18/11
UNITED WESTERN BANCORP INC CO 8.01,9.01 02/18/11
UNR HOLDINGS INC FL 4.01 02/04/11
US 1 INDUSTRIES INC IN 1.01,9.01 02/18/11
USEC INC DE 5.02,9.01 02/17/11
VALMONT INDUSTRIES INC DE 2.02,9.01 02/17/11
Vulcan Materials CO NJ 1.01 02/16/11
Walter Energy, Inc. DE 8.01 02/14/11
WASHINGTON REAL ESTATE INVESTMENT TRU MD 2.02,7.01,8.01,9.01 02/17/11
WELLCARE HEALTH PLANS, INC. DE 8.01,9.01 02/17/11
WELLCARE HEALTH PLANS, INC. DE 5.02 02/14/11
WERNER ENTERPRISES INC NE 5.02,9.01 02/18/11
WESBANCO INC WV 5.02 02/18/11
WESTERN LIBERTY BANCORP DE 5.02 02/14/11
WILLIAMS CONTROLS INC DE 5.02 02/15/11
WINDSTREAM CORP DE 2.02,9.01 02/18/11
Wizard World, Inc. DE 1.01,2.01,3.02,5.01, 12/07/10 AMEND
5.02,5.03,5.06,9.01
ZEALOUS, INC. NV 5.02 02/18/11
ZION OIL & GAS INC DE 8.01,9.01 02/18/11
http://www.sec.gov/news/digest/2011/dig022211.htm
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