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Enforcement ProceedingsSEC Files Action to Halt International Investment Scheme and Obtains Emergency Asset Freeze and Repatriation OrderThe Securities and Exchange Commission announced that on Friday, Feb. 18, 2011, it filed an emergency action in U.S. District Court for the District of New Jersey against Secure Capital Funding Corporation, Bertram A. Hill, PP&M Trade Partners, and Kiavanni Pringle, to halt an alleged multi-million dollar international investment scheme that has defrauded investors in the United States and overseas. The Court issued a temporary restraining order freezing assets and ordering repatriation of investor funds. The SEC’s complaint in SEC v. Secure Capital Funding Corp. et al., No. 3:11-cv-00916-AET (D.N.J.), filed in Trenton, New Jersey, alleged that in recent months defendants Secure Capital Funding Corporation, Bertram A. Hill, PP&M Trade Star Partners, and Kiavanni L. Pringle, defrauded investors of millions of dollars through the sale of fictitious Swiss “debentures.” According to the SEC’s complaint, defendants told investors that these securities were “risk-free” and would be used to establish highly leveraged margin accounts to trade other securities, and that investors would earn monthly returns of 10-100%. In reality, according to the SEC, these securities were fictitious and nearly $3 million of investor funds were quickly wired out of the country to accounts in Latvia and Jamaica. The Honorable Anne E. Thompson, U.S. District Judge for the District of New Jersey, granted the SEC’s motion for a temporary restraining order freezing assets, ordering repatriation of investor funds, ordering expedited discovery, and scheduling a hearing for Feb. 28, 2011. The SEC’s complaint alleges that defendants Secure Capital Funding Corporation, Bertram A. Hill, PP&M Partners, and Kiavanni Pringle violated Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. In addition to the emergency relief granted by the Court, the SEC seeks in this action permanent injunctions, disgorgement, and civil penalties against each of the defendants. The SEC’s investigation is continuing. [SEC v. Secure Capital Funding Corporation, Bertram A. Hill, PP&M Trade Partners, and Kiavanni Pringle, No. 3:11-cv-00916-AET (D.N.J.)] (LR-21864) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangeA proposed rule change filed by The Depository Trust Company (SR-DTC-2011-03) regarding a new browser-based interface, the “Settlement Web,” that allows Participants to view their settlement-related activity has become effective pursuant to Section 19(b)(3)(A)(iii) of the Securities Exchange Act of 1934 and Rule 19b-4(f)(4) thereunder. Publication is expected in the Federal Register during the week of February 21. (Rel. 34-63936) 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 Transfer Technology International Corp., 2203 N LOIS AVE, SUITE 704,
TAMPA, FL, 33607, 813-600-4081 - 15,000,000 ($150,000.00) Equity,
(File 333-172373 - Feb. 22) (BR. 02A)
S-1 Panex Resources Inc., 30 LEDGAR ROAD, BALCATTA, C3, 6021,
011-61-89-240-2836 -
88,240,623 ($4,412,031.00) Debt Convertible into Equity,
(File 333-172375 - Feb. 22) (BR. 04B)
S-8 TIME WARNER INC., ONE TIME WARNER CENTER, NEW YORK, NY, 10019,
2124848000 - 18,000,000 ($18,000,000.00) Other, (File 333-172376 -
Feb. 22) (BR. 05C)
S-1 ETFS Physical Base Metals Trust, ETF SECURITIES USA LLC,
ORDNANCE HOUSE, 31, PIER ROAD, ST. HELIER, Y9, JE48PW,
011-44-1534-825-500 - 0 ($8,750,000.00) Equity, (File 333-172377 -
Feb. 22) (BR. )
F-10 Theratechnologies Inc., 2310 ALFRED-NOBEL BLVD., MONTREAL, A8, H4S 2B4,
514-336-7800 - 12,650,000 ($66,159,500.00) Equity, (File 333-172378 -
Feb. 22) (BR. )
S-8 CALIX, INC, 1035 N MCDOWELL BLVD, PETALUMA, CA, 95954, 707-766-3000 -
0 ($13,044,314.44) Equity, (File 333-172379 - Feb. 22) (BR. 11B)
S-8 ENSIGN GROUP, INC, 27101 PUERTA REAL, SUITE 450, MISSION VIEJO, CA,
92691, (949) 487-9500 - 829,150 ($21,756,896.00) Equity,
(File 333-172380 - Feb. 22) (BR. 11C)
S-8 Deerfield Capital Corp., 6250 NORTH RIVER ROAD, ROSEMONT, IL, 60018,
773-380-1600 - 0 ($3,764,877.72) Equity, (File 333-172381 - Feb. 22)
(BR. 07A)
S-8 ITEX CORP, 3326 160TH AVE SE, SUITE 100, BELLEVUE, WA, 98008-6418,
425-463-4000 - 400,000 ($1,820,000.00) Equity, (File 333-172382 -
Feb. 22) (BR. 02C)
S-8 CONSOLIDATED EDISON INC, 4 IRVING PLACE, ROOM 1618 S, NEW YORK, NY,
10003, 2124604600 - 0 ($147,120,000.00) Equity, (File 333-172385 -
Feb. 22) (BR. 02A)
S-8 FMC CORP, 1735 MARKET STREET, PHILADELPHIA, PA, 19103, 215 299-6000 -
0 ($161,260,000.00) Equity, (File 333-172387 - Feb. 22) (BR. 06B)
S-8 FMC CORP, 1735 MARKET STREET, PHILADELPHIA, PA, 19103, 215 299-6000 -
0 ($483,780,000.00) Equity, (File 333-172388 - Feb. 22) (BR. 06B)
S-3ASR NEW YORK TIMES CO, 620 EIGHTH AVENUE, NEW YORK, NY, 10018, 2125561234 -
0 ($0.00) Unallocated (Universal) Shelf, (File 333-172389 - Feb. 22)
(BR. 05B)
S-4 NEW YORK TIMES CO, 620 EIGHTH AVENUE, NEW YORK, NY, 10018, 2125561234 -
0 ($225,000,000.00) Non-Convertible Debt, (File 333-172390 - Feb. 22)
(BR. 05B)
S-4 MERCER INTERNATIONAL INC., 14900 INTERURBAN AVENUE SOUTH, SUITE 282,
SEATTLE, WA, 98168, (206) 674-4639 -
300,000,000 ($300,000,000.00) Non-Convertible Debt, (File 333-172391 -
Feb. 22) (BR. 09A)
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
3D SYSTEMS CORP DE 7.01,8.01,9.01 02/22/11
57th Street General Acquisition Corp 1.01,7.01,9.01 02/18/11
ABBOTT LABORATORIES IL 5.03,9.01 02/18/11
ACCELERIZE NEW MEDIA INC DE 8.01 02/18/11
AEROSONIC CORP /DE/ DE 2.05 02/15/11
AFFYMETRIX INC DE 5.02 02/22/11
Alexza Pharmaceuticals Inc. DE 5.02,9.01 02/22/11
Alexza Pharmaceuticals Inc. DE 1.01 02/15/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 02/22/11
ALLIANCE FINANCIAL CORP /NY/ NY 8.01,9.01 02/22/11
ALLIED MOTION TECHNOLOGIES INC CO 2.02,9.01 02/22/11
Alternative Energy Partners, Inc. FL 1.01,9.01 02/15/11
AMANASU ENVIRONMENT CORP NV 4.02 12/31/09
AMEDISYS INC DE 2.02,7.01,9.01 02/22/11
AMERCO /NV/ NV 1.01,2.03,8.01,9.01 02/22/11
AMEREN CORP MO 2.02,8.01,9.01 02/22/11
AMERICAN APPAREL, INC DE 1.01,3.03,9.01 02/17/11
AMERICAN NATIONAL INSURANCE CO /TX/ TX 2.02,9.01 02/22/11
American Reprographics CO DE 2.02,9.01 02/22/11
AMERICAN TELSTAR INC CO 2.01,9.01 02/11/11 AMEND
AMERICAN WOODMARK CORP VA 2.02,9.01 02/22/11
AMERIGON INC MI 2.02,9.01 02/17/11
AMERISOURCEBERGEN CORP DE 5.03,5.07,8.01,9.01 02/17/11
AMICUS THERAPEUTICS INC DE 5.02 02/18/11
AMP Holding Inc. NV 1.01,3.02,9.01 12/03/10 AMEND
ANAVEX LIFE SCIENCES CORP. NV 8.01,9.01 02/16/11
Ancestry.com Inc. DE 5.02 02/22/11
ANIXTER INTERNATIONAL INC DE 5.02,9.01 02/18/11
APOLLO GROUP INC AZ 5.02 02/22/11
APOLLO GROUP INC AZ 8.01,9.01 02/11/11
Apollo Medical Holdings, Inc. DE 1.01,3.02,5.02,7.01, 02/15/11
9.01
APPLIANCE RECYCLING CENTERS OF AMERIC MN 2.02,9.01 02/21/11
Approach Resources Inc DE 7.01,9.01 02/22/11
ARKANSAS BEST CORP /DE/ DE 5.02,9.01 02/18/11
ARKANSAS BEST CORP /DE/ DE 1.01,9.01 02/18/11
ARKANSAS BEST CORP /DE/ DE 5.02,9.01 02/18/11
ARKANSAS BEST CORP /DE/ DE 5.04,8.01,9.01 11/26/10 AMEND
ARTS WAY MANUFACTURING CO INC DE 2.02,9.01 02/22/11
ASBURY AUTOMOTIVE GROUP INC DE 2.02,7.01,9.01 02/22/11
ASBURY AUTOMOTIVE GROUP INC DE 5.05 02/16/11
ASHLAND INC. KY 7.01,9.01 02/22/11
Asia Green Agriculture Corp NV 1.01,2.01,3.02,4.01, 08/20/10 AMEND
5.01,5.02,5.06,9.01
ASIAINFO-LINKAGE, INC DE 8.01,9.01 02/22/11
ASPEN INSURANCE HOLDINGS LTD D0 7.01,9.01 02/22/11
ASSISTED LIVING CONCEPTS INC NV 1.01,1.02,2.03,9.01 02/18/11
ASSOCIATED BANC-CORP WI 5.02,9.01 02/22/11
ASSOCIATED ESTATES REALTY CORP OH 2.01,9.01 02/22/11 AMEND
ASTEC INDUSTRIES INC TN 2.02,9.01 02/22/11
ASTORIA FINANCIAL CORP DE 8.01,9.01 02/22/11
ATHENAHEALTH INC DE 5.02,9.01 02/15/11
Atlas Energy, L.P. DE 2.02,9.01 02/22/11
ATLAS PIPELINE PARTNERS LP DE 2.02,9.01 02/22/11
ATWOOD OCEANICS INC TX 8.01,9.01 02/21/11
AUTOLIV INC DE 5.02,8.01,9.01 02/21/11
AVEO PHARMACEUTICALS INC DE 5.02 02/15/11
AVT, Inc. NV 5.03 02/22/11
AWARE INC /MA/ MA 5.02,9.01 02/18/11
BALDWIN TECHNOLOGY CO INC DE 5.02,9.01 02/16/11
BANK OF FLORIDA CORP FL 1.01,9.01 02/21/11
Bank of Marin Bancorp CA 1.01,7.01,9.01 02/18/11
BARCLAY ROAD, INC. WY 4.01,9.01 02/18/11 AMEND
BARNES & NOBLE INC DE 2.02,9.01 02/22/11
BECKMAN COULTER INC DE 1.01,2.03,9.01 02/15/11
BEST BUY CO INC MN 2.05,7.01,9.01 02/21/11
BigBand Networks, Inc. DE 5.02,9.01 02/16/11
BIOCANCELL THERAPEUTICS INC. 5.02 02/21/11
Biolog, Inc UT 5.02,9.01 02/21/11
Blugrass Energy, Inc. NV 1.01,7.01,9.01 02/18/11
BOISE INC. DE 1.01,8.01,9.01 02/21/11
BORDERS GROUP INC MI 1.01,7.01,9.01 02/16/11
Bosco Holdings, Inc. NV 5.02 02/15/11
BOTTOMLINE TECHNOLOGIES INC /DE/ DE 2.05,5.02,8.01 02/22/11
BRADY CORP WI 2.02,9.01 02/18/11
BRAINY BRANDS COMPANY, INC. DE 1.01,2.01,3.02,4.01, 11/24/10 AMEND
5.01,5.02,5.06,9.01
Brooklyn Federal Bancorp, Inc. X1 3.01,9.01 02/15/11
BRYN MAWR BANK CORP PA 1.01,7.01,9.01 02/18/11
BUCKEYE PARTNERS, L.P. DE 1.01,2.01,3.02,9.01 02/15/11
Business Marketing Services Inc DE 4.01 08/24/10 AMEND
CALLON PETROLEUM CO DE 7.01,9.01 02/22/11
CARACO PHARMACEUTICAL LABORATORIES LT MI 1.01,9.01 02/21/11
Cardinal Ethanol LLC IN 1.01 02/15/11
Cardiovascular Systems Inc DE 8.01 02/15/11
CBIZ, Inc. DE 2.02,9.01 02/16/11
CDI CORP PA 2.02 02/17/11
Celera CORP DE 1.01 02/15/11
Cellceutix CORP 5.02,8.01,9.01 12/29/10 AMEND
CENTRAL EUROPEAN MEDIA ENTERPRISES LT 1.01,2.03,7.01,9.01 02/18/11
CENTRAL PACIFIC FINANCIAL CORP HI 1.01,3.02,3.03,8.01, 02/17/11
9.01
CENTRAL VALLEY COMMUNITY BANCORP CA 5.02 02/22/11
Cereplast Inc NV 1.01,2.03,9.01 02/17/11
CHAMPIONS BIOTECHNOLOGY, INC. DE 5.03,9.01 02/18/11
Chaparral Energy, Inc. DE 1.01,2.03,9.01 02/22/11
CHECKPOINT SYSTEMS INC PA 2.02 02/22/11
CHEMED CORP DE 8.01,9.01 02/18/11
CHESAPEAKE ENERGY CORP OK 7.01,8.01,9.01 02/16/11
CHICAGO BRIDGE & IRON CO N V 2.02,9.01 02/22/11
CHINA AGRITECH INC DE 1.01,8.01,9.01 02/16/11
China Bio-Energy Corp. DE 4.01,9.01 02/17/11
China Media Group CORP TX 1.01,3.02,9.01 02/22/11
CHINA MEDICINE CORP NV 4.01,9.01 02/15/11
CHINA SECURITY & SURVEILLANCE TECHNOL DE 8.01,9.01 02/22/11
CHINACAST EDUCATION CORP DE 7.01 02/22/11
CHOICE HOTELS INTERNATIONAL INC /DE DE 2.02,9.01 02/21/11
CIBER INC DE 1.01,2.02,9.01 02/18/11
CITIZENS INC CO 8.01,9.01 02/18/11
CITY NATIONAL CORP DE 5.02,9.01 02/16/11
CleanTech Innovations, Inc. NV 5.02 02/21/11
CleanTech Innovations, Inc. NV 2.02,9.01 02/22/11
Clearfield, Inc. MN 5.02,9.01 02/22/11
CLINICAL DATA INC DE 8.01,9.01 02/22/11
COMPELLENT TECHNOLOGIES INC DE 2.01,3.01,3.03,5.01, 02/22/11
5.02,5.03,5.07,9.01
COMPUTER TASK GROUP INC NY 7.01,9.01 02/22/11
COMVERSE TECHNOLOGY INC/NY/ NY 2.02,5.02,7.01,9.01 02/17/11
CONAGRA FOODS INC /DE/ DE 2.05,2.06 02/16/11
CONAGRA FOODS INC /DE/ DE 7.01,9.01 02/22/11
CONEXANT SYSTEMS INC DE 8.01,9.01 02/22/11
Cooper Industries plc 5.02 02/15/11
COPsync, Inc. DE 4.01 02/22/11
CORE HEALTH CARE NETWORK, INC. 2.01,9.01 02/16/11 AMEND
Coronus Solar Inc. A1 7.01,9.01 02/22/11
COSINE COMMUNICATIONS INC DE 5.02,9.01 02/15/11
COSINE COMMUNICATIONS INC DE 2.02,9.01 02/21/11
CRACKER BARREL OLD COUNTRY STORE, INC TN 2.02,7.01,9.01 02/22/11
Crestwood Midstream Partners LP DE 2.02,9.01 02/22/11
Crestwood Midstream Partners LP DE 1.01,3.02,7.01,8.01, 02/18/11
9.01
CUBIST PHARMACEUTICALS INC DE 5.02,9.01 02/15/11
Cytosorbents Corp 1.01,3.02,9.01 02/15/11
DAKTRONICS INC /SD/ SD 2.02,9.01 02/22/11
Darlington Mines Ltd. NV 1.01,2.01,3.02,5.02, 02/15/11
5.03,5.06,9.01
DAVI LUXURY BRAND GROUP, INC. 5.02,9.01 02/15/11
DEMAND MEDIA INC. DE 2.02,9.01 02/22/11
DENBURY RESOURCES INC DE 1.01,7.01,9.01 02/17/11
DIAMOND OFFSHORE DRILLING INC DE 5.02 02/16/11
DIVERSEY HOLDINGS, INC. DE 5.02,9.01 02/21/11
Dorman Products, Inc. PA 2.02,9.01 02/22/11
DOVER CORP DE 8.01,9.01 02/22/11
DTE ENERGY CO MI 7.01,9.01 02/22/11
DUCOMMUN INC /DE/ DE 2.02,9.01 02/21/11
Duke Energy CORP DE 5.02,9.01 02/18/11
DUPONT FABROS TECHNOLOGY, INC. MD 5.02,9.01 02/17/11
DYNAMIC VENTURES CORP. 1.01,2.01,3.02,4.01, 10/14/10 AMEND
5.01,5.02,5.03,5.06,
9.01
EARTHLINK INC DE 5.02,9.01 02/18/11
EASTERN VIRGINIA BANKSHARES INC VA 1.01,7.01,9.01 02/17/11
EcoReady Corp FL 4.02 02/21/11
EL PASO ELECTRIC CO /TX/ TX 2.02,9.01 02/22/11
Emergency Medical Services CORP DE 7.01 02/18/11
EMERSON ELECTRIC CO MO 7.01 02/22/11
Emrise CORP DE 3.01,8.01,9.01 02/22/11
ENTEST BIOMEDICAL, INC. NV 8.01,9.01 02/17/11
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 1.01,2.03,3.02,8.01, 02/15/11
9.01
EPIQ SYSTEMS INC MO 2.02,9.01 02/22/11
EXELIXIS INC DE 2.02,9.01 02/22/11
EXELIXIS INC DE 2.05 12/01/10 AMEND
EXELON CORP PA 8.01,9.01 02/22/11
EXPEDITORS INTERNATIONAL OF WASHINGTO WA 2.02,9.01 02/22/11
EXPRESS SCRIPTS INC DE 5.02 02/18/11
Extra Space Storage Inc. MD 2.02,9.01 02/22/11
F&M BANK CORP VA 8.01,9.01 02/22/11
Federal Home Loan Bank of Atlanta X1 2.02,9.01 02/22/11
Federal Home Loan Bank of Atlanta X1 2.03 02/22/11
Federal Home Loan Bank of Boston X1 2.03 02/16/11
Federal Home Loan Bank of Boston X1 2.02,9.01 02/22/11
Federal Home Loan Bank of Chicago X1 2.02,9.01 02/22/11
Federal Home Loan Bank of Chicago X1 2.03 02/16/11
Federal Home Loan Bank of Cincinnati X1 2.02,9.01 02/22/11
Federal Home Loan Bank of Dallas 2.02,9.01 02/22/11
Federal Home Loan Bank of Des Moines X1 2.02,7.01,9.01 02/22/11
Federal Home Loan Bank of Des Moines X1 5.02 11/08/10 AMEND
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 02/22/11
Federal Home Loan Bank of Indianapoli X1 2.02,9.01 02/17/11
Federal Home Loan Bank of New York X1 2.03,9.01 02/16/11
Federal Home Loan Bank of New York X1 2.02,8.01,9.01 02/22/11
Federal Home Loan Bank of Pittsburgh PA 2.02,7.01,9.01 02/22/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/16/11
Federal Home Loan Bank of San Francis X1 2.03 02/16/11
Federal Home Loan Bank of Seattle 2.03 02/16/11
Federal Home Loan Bank of Topeka 2.02,7.01,9.01 02/22/11
FERRELLGAS PARTNERS L P DE 7.01 02/22/11
FERRO CORP OH 7.01,9.01 02/21/11
Fibrocell Science, Inc. DE 9.01 11/18/10 AMEND
Fibrocell Science, Inc. DE 9.01 11/18/10 AMEND
Fibrocell Science, Inc. DE 9.01 01/21/11 AMEND
FINANCIAL INSTITUTIONS INC NY 5.02 02/16/11
First California Financial Group, Inc DE 7.01,9.01 02/22/11
First California Financial Group, Inc DE 7.01,9.01 02/22/11
First Savings Financial Group Inc IN 5.07 02/15/11
FIVE STAR QUALITY CARE INC 2.02,9.01 02/22/11
FLEXIBLE SOLUTIONS INTERNATIONAL INC NV 1.01 02/16/11
FOREST LABORATORIES INC DE 8.01,9.01 02/22/11
FOREST OIL CORP NY 2.02,9.01 02/22/11
FRONTIER OIL CORP /NEW/ WY 8.01,9.01 02/22/11
FRONTIER OIL CORP /NEW/ WY 8.01,9.01 02/21/11
FRONTIER OIL CORP /NEW/ WY 1.01,5.02,8.01,9.01 02/21/11
FSP 303 East Wacker Drive Corp. 1.01,9.01 11/24/10
FTI CONSULTING INC MD 7.01,9.01 02/18/11
FUNCTION (X) INC. TX 1.01,5.02,9.01 02/15/11
Furiex Pharmaceuticals, Inc. DE 2.02,9.01 02/21/11
GENERAL EMPLOYMENT ENTERPRISES INC IL 8.01 02/22/11
General Motors Financial Company, Inc TX 1.01,9.01 02/17/11
GENUINE PARTS CO GA 5.02,8.01,9.01 02/21/11
GENUINE PARTS CO GA 2.02,9.01 02/22/11
GFI Group Inc. DE 2.02,9.01 02/22/11
GLOBAL CROSSING LTD 2.02,9.01 02/22/11
GLOBAL EARTH ENERGY, INC. NH 8.01,9.01 02/22/10
GLOBAL EARTH ENERGY, INC. NH 1.02,8.01,9.01 02/22/11 AMEND
Global Immune Technologies Inc. WY 1.01 02/22/11
GLOBAL NUTECH, INC. 7.01,9.01 02/22/11
GOLD AMERICAN MINING CORP. NV 1.01,3.02,9.01 02/18/11
GOODRICH PETROLEUM CORP DE 8.01,9.01 02/22/11
GOODYEAR TIRE & RUBBER CO /OH/ OH 5.02,9.01 02/21/11
GOTTSCHALKS INC DE 7.01,9.01 02/16/11
Government Properties Income Trust MD 9.01 02/22/11
GRAFTECH INTERNATIONAL LTD DE 2.02,7.01,9.01 02/22/11
Grand Canyon Education, Inc. DE 2.02,9.01 02/22/11
Graymark Healthcare, Inc. OK 5.02 02/17/11
Great Lakes Dredge & Dock CORP DE 2.02,9.01 02/22/11
GREAT SOUTHERN BANCORP INC MD 7.01 02/22/11
GREENLIGHT CAPITAL RE, LTD. 2.02,9.01 02/22/11
Greenwood Gold Resources, Inc. NV 1.01,3.02,9.01 02/22/11
GTX INC /DE/ DE 5.02 02/17/11
GUIDE HOLDINGS INC 8.01 02/22/11
GULF RESOURCES, INC. DE 9.01 06/07/10 AMEND
HACKETT GROUP, INC. FL 2.02,9.01 02/22/11
HARDINGE INC NY 2.02,9.01 02/17/11
HARDINGE INC NY 5.02 02/15/11
Harry & David Holdings, Inc. DE 5.02,9.01 02/18/11
HEADWATERS INC DE 8.01,9.01 02/22/11
HEALTHCARE REALTY TRUST INC MD 2.02,7.01,9.01 02/22/11
HEALTHSTREAM INC TN 2.02,7.01,9.01 02/22/11
HEICO CORP FL 2.02,9.01 02/22/11
HENRY SCHEIN INC DE 2.02,9.01 12/25/10
HERBALIFE LTD. E9 2.02,8.01,9.01 02/18/11
HEWLETT PACKARD CO DE 2.02,5.02,9.01 02/17/11
Hill-Rom Holdings, Inc. IN 5.02 02/22/11
Hillenbrand, Inc. IN 1.01,5.02,7.01,9.01 02/22/11
HNI CORP IA 5.02,7.01 02/15/11
HOLLY CORP DE 1.01,5.02,8.01,9.01 02/21/11
HOLLYWOOD MEDIA CORP FL 8.01,9.01 02/18/11
HOME DEPOT INC DE 2.02,9.01 02/22/11
Honda Auto Receivables 2011-1 Owner T CA 1.01,9.01 02/17/11
HORMEL FOODS CORP /DE/ DE 2.02,9.01 02/22/11
HORNBECK OFFSHORE SERVICES INC /LA DE 5.02 02/15/11
HUDSON HIGHLAND GROUP INC DE 5.02,5.03,7.01,9.01 02/22/11
Huron Consulting Group Inc. DE 2.02,9.01 02/21/11
Huron Consulting Group Inc. DE 5.02,9.01 02/22/11
IBERIABANK CORP LA 1.01,8.01,9.01 02/22/11
IBERIABANK CORP LA 8.01 02/22/11
iGambit, Inc. DE 4.02 10/26/10
IMERGENT INC DE 2.02,9.01 02/22/11
IMMUNOGEN INC MA 7.01 02/10/11
IMPERIAL SUGAR CO /NEW/ TX 5.02,5.07,9.01 02/18/11
InfoSpi, Inc. NV 1.01,3.02,9.01 02/14/11
INFRASTRUCTURE MATERIALS CORP. DE 8.01,9.01 02/16/11
Innocent, Inc. 1.01,9.01 02/22/10
INNOVATIVE SOLUTIONS & SUPPORT INC PA 7.01,9.01 02/18/11
Insight Management Corp FL 5.03,5.07 02/22/11
INTEGRAL SYSTEMS INC /MD/ MD 7.01,9.01 02/16/11 AMEND
INTELLIGENT SYSTEMS CORP GA 8.01,9.01 02/21/11
INTERNATIONAL BALER CORP DE 4.01,9.01 02/04/11 AMEND
INTERPUBLIC GROUP OF COMPANIES, INC. DE 5.02 02/16/11
INUVO, INC. NV 1.01,2.03,7.01,9.01 02/15/11
ISDERA NORTH AMERICA, INC. 1.01,2.01,3.02,5.01, 02/22/11
5.02,5.06,9.01
ISTAR FINANCIAL INC MD 5.02 02/15/11
ITC Holdings Corp. MI 5.02,5.03,8.01,9.01 02/15/11
ITEX CORP NV 8.01,9.01 02/21/11
ITRONICS INC TX 2.02,9.01 02/15/11
JACK IN THE BOX INC /NEW/ DE 5.07 02/21/11
Janus Resources, Inc. NV 5.07,7.01,9.01 12/14/10
KAISER ALUMINUM CORP DE 2.02,9.01 02/21/11
Kallo Inc. NV 1.01,1.02,9.01 02/18/11
KeyOn Communications Holdings Inc. DE 1.01,9.01 02/17/11
KINDER MORGAN KANSAS, INC. KS 8.01 02/22/11
KING PHARMACEUTICALS INC TN 5.02 02/15/11
KKR Financial Holdings LLC DE 8.01,9.01 02/22/11
KNOLOGY INC DE 1.01,2.02,8.01,9.01 02/18/11
KRAFT FOODS INC VA 7.01 02/22/11
KRISPY KREME DOUGHNUTS INC NC 8.01,9.01 02/21/11
KV PHARMACEUTICAL CO /DE/ DE 8.01,9.01 02/18/11
Lattice INC DE 1.01,3.02,9.01 02/22/11
LEAP WIRELESS INTERNATIONAL INC DE 2.02,9.01 02/22/11
LECTEC CORP /MN/ MN 5.02,9.01 02/15/11
LEFT BEHIND GAMES INC. WA 4.02 02/16/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 02/16/11
LEFT BEHIND GAMES INC. WA 1.01 02/22/11
LEGACY RESERVES LP DE 5.02,9.01 02/15/11
LEHMAN BROTHERS HOLDINGS INC DE 7.01,9.01 02/22/11
LianDi Clean Technology Inc. NV 2.02,9.01 02/22/11
LIBBEY INC DE 5.03,8.01 02/08/11
Liberty Global, Inc. 2.02,7.01 02/18/11 AMEND
LIVEPERSON INC DE 5.02,8.01 02/15/11
LOOKSMART LTD DE 5.02,9.01 01/19/11
LORAL SPACE & COMMUNICATIONS INC. DE 8.01 02/17/11
Macy's, Inc. DE 2.02,9.01 02/22/11
Magnolia Solar Corp NV 8.01,9.01 02/22/11
MANAGEMENT NETWORK GROUP INC 2.02,9.01 02/17/11
MATRIXX INITIATIVES INC DE 3.01,3.02,3.03,5.01, 02/15/11
5.02,5.03,8.01,9.01
MATTHEWS INTERNATIONAL CORP PA 5.07 02/17/11
MDU RESOURCES GROUP INC DE 5.02,9.01 02/15/11
MEADOWBROOK INSURANCE GROUP INC MI 2.02,7.01,9.01 02/22/11
MEADOWBROOK INSURANCE GROUP INC MI 7.01,9.01 02/22/11
MEDCO HEALTH SOLUTIONS INC DE 2.02,9.01 02/22/11
MEDICINES CO /DE DE 5.02 02/15/11
MEDTRONIC INC MN 2.02,9.01 02/22/11
MEMC ELECTRONIC MATERIALS INC DE 1.01 02/15/11
MENTOR GRAPHICS CORP OR 8.01,9.01 02/22/11
MERCER INTERNATIONAL INC. WA 7.01,9.01 02/22/11
METALICO INC 5.02,8.01,9.01 02/16/11
METROPCS COMMUNICATIONS INC DE 5.02 02/15/11
MHI Hospitality CORP MD 2.02,9.01 02/22/11
MIDDLESEX WATER CO NJ 5.02 02/22/11
Molecular Insight Pharmaceuticals, In MA 8.01,9.01 02/16/11
Motorola Mobility Holdings, Inc 5.02,9.01 02/15/11
MS STRUCTURED SATURNS SERIES 2004-2 DE 8.01,9.01 02/15/11
MS STRUCTURED SATURNS SERIES 2004-6 DE 8.01,9.01 02/15/11
MULTIMEDIA GAMES INC TX 8.01 02/22/11
MUTUALFIRST FINANCIAL INC MD 8.01,9.01 02/22/11
MYERS INDUSTRIES INC OH 2.02,9.01 02/17/11
NABORS INDUSTRIES LTD D0 8.01,9.01 02/22/11
NATIONAL HEALTHCARE CORP DE 2.02,8.01,9.01 02/22/11
NATIONAL HOLDINGS CORP DE 2.02,9.01 02/15/11
NATIONAL PRESTO INDUSTRIES INC WI 2.02,9.01 02/18/11
NATIONAL RETAIL PROPERTIES, INC. MD 5.02 02/17/11
Natural Resources USA Corp 7.01 02/18/11
NEOMEDIA TECHNOLOGIES INC DE 1.01,9.01 02/15/11
Net Element, Inc. DE 5.02,9.01 02/15/11
Neutral Tandem Inc 5.02,7.01,8.01,9.01 02/16/11
NEW FRONTIER ENERGY INC CO 7.01 02/16/11
NEW YORK COMMUNITY BANCORP INC DE 7.01,9.01 02/22/11
NEWPARK RESOURCES INC DE 7.01,9.01 02/22/11
NEWS CORP 8.01,9.01 02/21/11
NOBLE ENERGY INC DE 1.01,9.01 02/15/11
Noble Medical Technologies, Inc. DE 5.02,9.01 02/22/11
NORDSON CORP OH 2.02,9.01 02/22/11
NORTHROP GRUMMAN CORP /DE/ DE 5.02,8.01,9.01 02/15/11
NPC INTERNATIONAL INC KS 2.02,9.01 02/21/11
NRG ENERGY, INC. DE 2.02,9.01 02/22/11
NUMEREX CORP /PA/ PA 2.02,9.01 02/22/11
O REILLY AUTOMOTIVE INC 2.02,9.01 02/16/11
OCTUS INC NV 1.01,9.01 02/15/11
OFFICE DEPOT INC DE 2.02,9.01 02/22/11
OMEROS CORP WA 1.01,9.01 02/15/11
OMNICARE INC DE 5.02,5.03,9.01 02/22/11
ONEOK INC /NEW/ OK 2.02,9.01 02/21/11
ONEOK Partners LP DE 2.02,9.01 02/15/11
Opko Health, Inc. DE 1.01,2.03 02/22/11
Opko Health, Inc. DE 1.01,2.03 02/22/11 AMEND
ORTHOFIX INTERNATIONAL N V 5.02,9.01 02/15/11
OXIGENE INC DE 8.01,9.01 02/22/11
P F CHANGS CHINA BISTRO INC 2.02,7.01,9.01 02/16/11
PAETEC Holding Corp. 5.02 01/28/11
PAPA JOHNS INTERNATIONAL INC DE 5.02,9.01 02/17/11
PAPA JOHNS INTERNATIONAL INC DE 2.02,9.01 02/22/11
Pebblebrook Hotel Trust MD 1.01,2.01,2.03,7.01, 02/16/11
9.01
PediatRx Inc. NV 5.02,9.01 02/18/11
Penn Virginia GP Holdings, L.P. 5.07,8.01 02/16/11
PENN VIRGINIA RESOURCE PARTNERS L P DE 5.07,8.01 02/16/11
Peoples Federal Bancshares, Inc. MD 5.07 02/15/11
PETROHAWK ENERGY CORP DE 2.02,9.01 02/22/11
Phillips Edison - ARC Shopping Center MD 9.01 12/10/10 AMEND
PINNACLE WEST CAPITAL CORP AZ 5.02 02/15/11
PIONEER NATURAL RESOURCES CO DE 5.02 02/22/11
Pioneer Southwest Energy Partners L.P DE 5.02 02/22/11
PMI GROUP INC DE 1.01,3.03,5.02,9.01 02/16/11
PRICELINE COM INC DE 5.03,9.01 02/16/11
PROVIDENT NEW YORK BANCORP DE 5.07 02/17/11
PS BUSINESS PARKS INC/CA CA 2.02,9.01 02/22/11
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 2.02,7.01,9.01 02/22/11
RADIOSHACK CORP DE 2.02,9.01 12/31/10
RAMTRON INTERNATIONAL CORP DE 2.02,9.01 02/22/11
RANGE RESOURCES CORP DE 1.01,2.03,9.01 02/18/11
RBC LIFE SCIENCES, INC. DE 5.02 02/18/11
RCM TECHNOLOGIES INC NV 2.02,9.01 02/22/11
REAL ESTATE ASSOCIATES LTD V CA 1.01,9.01 02/18/11
RENAISSANCE LEARNING INC WI 7.01,9.01 02/22/11
REPRO MED SYSTEMS INC NY 5.02 02/18/11
REYNOLDS AMERICAN INC 5.02 02/15/11
Riverbed Technology, Inc. DE 5.03,9.01 02/15/11
RiverSource LaSalle International Rea MD 7.01 02/22/11
Rotoblock CORP NV 5.02 02/21/11
ROYAL MINES & MINERALS CORP NV 7.01 02/15/11
RR Donnelley & Sons Co DE 2.02,9.01 02/22/11
SANDERSON FARMS INC MS 5.02,5.07,9.01 02/17/11
SATCON TECHNOLOGY CORP DE 2.02,9.01 02/22/11
SCOTTS LIQUID GOLD INC CO 1.01,3.03,9.01 02/15/11
SCRIPPS E W CO /DE OH 5.02,9.01 02/15/11
SemiLEDs Corp 5.02 02/22/11
SEMPRA ENERGY CA 5.02 02/17/11
SEN YU INTERNATIONAL HOLDINGS, INC. DE 1.01,3.02,9.01 02/17/11
SENTRY PETROLEUM LTD. 7.01,9.01 02/18/11
SENTRY PETROLEUM LTD. 7.01,9.01 02/22/11
SERVICEMASTER CO DE 5.02,9.01 02/16/11
Shengkai Innovations, Inc. FL 8.01,9.01 02/18/11
SHILOH INDUSTRIES INC DE 2.02,9.01 02/22/11
SINO CEMENT, INC NV 5.02 02/18/11
SINOCOKING COAL & COKE CHEMICAL INDUS FL 8.01,9.01 02/22/11
Six Flags Entertainment Corp DE 2.02,9.01 02/22/11
Skilled Healthcare Group, Inc. DE 5.02,9.01 02/17/11
So Act Network, Inc. DE 1.01,3.02,9.01 02/17/11
Solar Park Initiatives, Inc. NV 1.01,2.01,9.01 02/14/11
SOLITRON DEVICES INC DE 4.01,9.01 02/15/11
SOLTA MEDICAL INC DE 2.02,9.01 02/22/11
Somaxon Pharmaceuticals, Inc. DE 8.01 02/22/11
SONIC AUTOMOTIVE INC DE 2.02,7.01,9.01 02/22/11
SOUTHWEST IOWA RENEWABLE ENERGY, LLC IA 8.01,9.01 02/14/11
Soy Energy, LLC IA 8.01,9.01 02/18/11
SPARTAN STORES INC MI 7.01 02/22/11
SPARTON CORP OH 8.01,9.01 02/18/11
SRS LABS INC DE 8.01 02/22/11
SRS LABS INC DE 2.02,9.01 02/22/11
STARTEK INC DE 2.02,9.01 02/22/11
STATE BANK FINANCIAL CORP GA 2.02,9.01 02/18/11
Stereotaxis, Inc. DE 5.02,7.01,9.01 02/16/11
STEVEN MADDEN, LTD. DE 2.02,9.01 02/22/11
STILLWATER MINING CO /DE/ DE 2.02 02/21/11
STRATEGIC AMERICAN OIL CORP NV 1.01,2.01,2.03,3.02, 02/15/11
5.02,9.01
SUBAYE, INC. 3.01,9.01 02/22/11
SUPREME INDUSTRIES INC DE 5.02,5.03,9.01 02/15/11
SURREY BANCORP NC 7.01,9.01 02/17/11
Suspect Detection Systems, Inc. DE 4.02 02/22/11
SyntheMed, Inc. DE 1.01 02/15/11
TAIWAN FUND INC DE 7.01,9.01 01/31/11
TANGER FACTORY OUTLET CENTERS INC NC 7.01,9.01 02/22/11
TELEFLEX INC DE 5.02 02/15/11
TELETECH HOLDINGS INC DE 8.01 02/22/11
TELIK INC DE 2.02,9.01 02/22/11
TENNANT CO MN 2.02,8.01,9.01 12/31/10
Texas Roadhouse, Inc. DE 2.02,9.01 02/22/11
THERMO FISHER SCIENTIFIC INC. DE 1.01,2.03,9.01 02/22/11
THOMPSON DESIGNS INC NV 8.01 02/22/11
TIANYIN PHARMACEUTICAL CO., INC. DE 7.01,9.01 02/22/11
TIER TECHNOLOGIES INC DE 1.01,5.02,7.01,8.01, 02/22/11
9.01
TIVO INC DE 1.01,9.01 02/16/11
Total Nutraceutical Solutions, Inc. NV 1.01,1.02,9.01 02/16/11
TOWN SPORTS INTERNATIONAL HOLDINGS IN DE 2.02,9.01 02/22/11
TPC Group Inc. DE 5.02,7.01,9.01 02/18/11
TRI CITY BANKSHARES CORP WI 2.02,9.01 02/15/11
TRIO TECH INTERNATIONAL CA 2.02,9.01 02/18/11
TRIQUINT SEMICONDUCTOR INC DE 5.02 02/21/11
TrueBlue, Inc. WA 7.01,9.01 02/22/11
Trycera Financial, Inc. NV 8.01,9.01 02/22/11
UIL HOLDINGS CORP CT 2.02,7.01,9.01 02/22/11
UNIFIED GROCERS, INC. CA 5.07 02/16/11
UNISYS CORP DE 8.01,9.01 02/22/11
UNIT CORP DE 2.02,9.01 02/22/11
UNITED REFINING CO PA 8.01,9.01 02/22/11
UNITED REFINING CO PA 8.01,9.01 02/22/11
UNITED REFINING CO PA 7.01,9.01 02/22/11
UNITED SECURITY BANCSHARES INC DE 2.02,9.01 02/18/11
UNITRIN INC DE 5.02,9.01 02/15/11
US ENERGY CORP WY 8.01,9.01 02/22/11
USA TECHNOLOGIES INC PA 8.01,9.01 02/22/11
V F CORP PA 5.02,9.01 02/18/11
V F CORP PA 2.02,7.01,9.01 02/22/11
VANGUARD HEALTH SYSTEMS INC DE 9.01 12/31/10 AMEND
Vantage Drilling CO E9 5.02 02/17/11
VASCO DATA SECURITY INTERNATIONAL INC DE 5.02,9.01 02/15/11
Venoco, Inc. DE 2.02,9.01 02/22/11
VERISIGN INC/CA DE 7.01,9.01 02/22/11
VICOR CORP DE 2.02,9.01 02/22/11
VICTORY ENERGY CORP NV 8.01,9.01 02/14/11
VIRCO MFG CORPORATION DE 5.02,5.03,9.01 02/15/11
Vitacost.com, Inc. DE 5.02,9.01 02/17/11
VITRAN CORP INC A6 8.01,9.01 02/22/11
VITRAN CORP INC A6 5.02 02/22/11
Volcano Corp DE 5.02,9.01 02/15/11
Vulcan Materials CO NJ 1.01 02/16/11
WAL MART STORES INC DE 2.02,9.01 02/22/11
WASHINGTON MUTUAL, INC WA 8.01,9.01 02/18/11
Weatherford International Ltd./Switze V8 5.02,9.01 02/15/11
WELLS CORE OFFICE INCOME REIT INC 1.01,5.03,9.01 02/17/11
WELLSTONE FILTER SCIENCES INC /DE/ DE 1.01,3.02,5.01,5.02, 02/19/11
8.01,9.01
WESTAR ENERGY INC /KS KS 1.01,2.03,9.01 02/18/11
WESTINGHOUSE AIR BRAKE TECHNOLOGIES C DE 2.02,5.03,8.01,9.01 02/15/11
WESTLAKE CHEMICAL CORP 2.02,9.01 02/22/11
Whitestone REIT TX 7.01,9.01 02/21/11
Whitestone REIT Operating Partnership DE 7.01,9.01 02/21/11
WILSHIRE ENTERPRISES INC DE 5.02 02/15/11
Wizard World, Inc. DE 8.01 02/18/11
WORTHINGTON INDUSTRIES INC OH 8.01,9.01 02/22/11
XETA TECHNOLOGIES INC OK 7.01,9.01 02/22/11
ZIX CORP TX 5.02 02/15/11
ZIX CORP TX 2.02,9.01 02/22/11
ZORAN CORP \DE\ DE 1.01,9.01 02/20/11
ZYGO CORP DE 1.01,5.02,8.01,9.01 02/17/11
Zyto Corp NV 8.01,9.01 02/16/11
http://www.sec.gov/news/digest/2011/dig022311.htm
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