 |
Home | Previous Page | |
|
||
 |
|
|
|
||
 |
|
|
|
|
|||||||||||||||
|
|
|||||||||||||||
|
 |
Enforcement ProceedingsIn the Matter of Anthony P. MooreOn March 3, 2011, the Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 as to Anthony P. Moore (Order). The Order finds that Moore formerly served as chairman of Equus Total Return, Inc., a business development company listed on the New York Stock Exchange, and controlled an investment adviser that provided investment advice to Equus. According to the Order, Moore was responsible for misleading information in an Equus press release, Commission reports, proxy materials, and board meetings regarding a payment of approximately $400,000 to a senior Equus officer in connection with a change in Equus’s investment advisers in June 2005. Based on the above, the Order censured Moore, ordered him to pay a $25,000 civil penalty, and ordered him to cease and desist from committing or causing any violations and any future violations of Sections 13(a), 13(b)(2)(A), 13(b)(2)(B), and 14(a) of the Exchange Act and Rules 12b-20, 13a-1, 13a-11, 13a-13, 13b2-1, 13b2-2, and 14a-9 thereunder and Section 206(2) of the Investment Advisers Act of 1940. Respondent Moore consented to the entry of the Order without admitting or denying its findings, except as to the Commission’s jurisdiction over him and the subject matter of the proceedings, which he admitted. (Rels. 34-64029; IA-3169; IC-29594; File No. 3-13934) In the Matter of Securities Transfer Corporation and Kevin Halter, Jr.On March 3, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 17A and 21C of the Securities Exchange Act of 1934, Making Findings and Imposing Remedial Sanctions and a Cease-and Desist Order against Securities Transfer Corporation and Kevin Halter, Jr. Securities Transfer Corporation (STC) is a transfer agent registered with the Commission, located in Frisco, Texas, and Kevin Halter, Jr. (Halter, Jr.) is the President of STC. The Order finds that between August 2007 and November 2008, STC’s bookkeeper, Kevin B. Halter (Halter), Halter, Jr.’s father, misappropriated approximately $2.7 million from ten issuer accounts. The transfers were identified during a routine examination of STC by Commission staff and resulted in Halter’s termination. Halter repaid the misappropriated funds to STC and the issuers were made whole. In the Order against STC and Halter, Jr., the Commission finds that STC and Halter, Jr. failed reasonably to supervise Halter and that STC also violated Section 17A of the Securities Exchange Act of 1934 (Exchange Act) by failing to have necessary controls over funds entrusted to STC. STC and Halter, Jr. settled the cease-and-desist proceedings by consenting to the entry of the Order, which requires that they cease and desist from committing or causing any violations and any future violations of the foregoing provisions of the securities laws, censures STC and requires the company to pay a $10,000 civil money penalty. The Order also requires STC to retain an independent consultant and suspends Halter, Jr. from association in a supervisory capacity with any transfer agent, broker, dealer, investment adviser, municipal securities dealer, municipal advisor or nationally recognized statistical ratings organization for a period of three months. (Rel. 34-64030; File No. 3-14285) Delinquent Filers’ Stock Registrations RevokedThe registrations of the registered securities of Emporia Systems, Eneftech Corp., Entree Corp., eSAT, Inc., estream, Inc., and Everex Systems, Inc. (n/k/a CFLC, Inc.), have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-64031; File No. 3-14258) In the Matter of SBM Investment Certificates, Inc., f/k/a 1st Atlantic Guaranty Corp., SBM Certificate Company, Geneva Capital Partners, LLC and Eric M. Westbury, Sr.On March 4, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 (Securities Act) and Section 21C of the Securities Exchange Act of 1934 (Exchange Act), Section 203(f) of the Investment Advisers Act (Advisers Act) and Sections 9(b) and 9(f) of the Investment Company Act (Investment Company Act), Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order). The Order finds that SBM Investment Certificates, Inc., f/k/a 1st Atlantic Guaranty Corp. (SBMIC) and SBM Certificate Company (SBMCC), failed to maintain adequate qualified reserves and, together with Eric M. Westbury, failed to fully and truthfully disclose to investors material facts related to the financial condition and operations of these companies from January 1, 2003 through April 4, 2006. In addition, the Order finds that, in the issuance of certain fixed interest rate certificates, Geneva Capital Partners, LLC (Geneva), the parent of SBMIC and SBMCC, together with Westbury, failed to fully and truthfully disclose material information regarding these investments and made misstatements concerning assets held in Geneva’s custody on behalf of a purchaser of these fixed interest rate certificates. Based on the above, the Order finds that SBMIC and SBMCC willfully violated Sections 28(a) and (b) of the Investment Company Act, and that SBMIC, SBMCC, Geneva and Westbury willfully violated Section 17(a) of the Securities Act, Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder, which prohibit fraudulent conduct in the offer or sale of securities and in connection with the purchase or sale of securities. Pursuant to Section 8A of the Securities Act, Section 21C of the Exchange Act and Section 9(f) of the Investment Company Act with regard to SBMIC and SBMCC, Section 8A of the Securities Act, Section 21C of the Exchange Act, Section 203(f) of the Advisers Act, and Section 9(b) of the Investment Company Act with regard to Westbury, and Section 8A of the Securities Act and Section 21C of the Exchange Act, with regard to Geneva, the Order provides that Westbury is censured; SBMIC, SBMCC, Geneva and Westbury are ordered to cease and desist from committing or causing any violations and any future violations of Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act, and Rule 10b-5 thereunder; and that Westbury shall pay a civil money penalty in the amount of $130,000 to the United States Treasury. Further, in connection issuance of the Order, Westbury has agreed that, within sixty (60) days of its entry, he will no longer be an affiliated person, as defined in Section 2(a)(3) of the Investment Company Act (or an affiliated person of an affiliated person), of SBM Financial, LLC, the investment adviser to SBMIC and SBMCC, and will not in the future be an affiliated person (or affiliated person of an affiliated person) of any investment adviser to SBMIC and SBMCC. Westbury further agreed that upon the entry of the Order he will no longer serve as President of SBMIC and SBMCC, but that he will remain as Chairman and Chief Executive Officer of SBMIC and SBMCC to ensure that SBMIC and SBMCC comply with the undertakings imposed by a Final Consent Judgment entered by the United States District Court for the District of Maryland in the action captioned Securities and Exchange Commission v. SBM Investment Certificates, Inc. et al, 8:06-cv-00866-DKC (Civil Action). However, upon termination of the independent consultant’s duties set forth in the Final Consent Judgment entered in the Civil Action, Westbury agreed that he will no longer serve in any officer, director, employee or consulting positions or capacities with SBMIC and SBMCC, and will no longer be involved in the daily operations or investment decisions of those entities. SBMIC, SBMCC, Geneva and Westbury consented to the issuance of the Order without admitting or denying any of the findings contained therein. Separately, the Commission announced that, on Feb. 28, 2011, the United States District Court for the District of Maryland, in the action captioned Securities and Exchange Commission v. SBM Investment Certificates, Inc. et al, 8:06-cv-00866-DKC, entered a Final Consent Judgment in which SBMIC and SBMCC, without admitting or denying the allegations in the complaint filed in that action, were ordered to perform certain undertakings, including the retention of an independent consultant, to enable them in the future to comply with the reserve and reporting requirements of Sections 28(a) and 28(b) of the Investment Company Act. The Final Consent Judgment also continued Court imposed restrictions on payment of principal and interest for a limited period and a partial set aside of proceeds from any sale of assets for the benefit of certificate holders. Further, the Final Consent Judgment provides that SBMCC and SBMIC will comply with Section 28 of the Investment Company Act within two years, or liquidate by that date or operate in a manner such that it no longer meets the definition of “investment company” under the Investment Company Act. Defendants Westbury and Geneva will be dismissed from the Civil Action. (Rels. 33-9195; 34-64035; IC-29595; IA-3170; File No. 3-14286) Self-Regulatory OrganizationsImmediate Effectiveness of Proposed Rule ChangesA proposal (SR-FINRA-2011-007) filed by the Financial Industry Regulatory Authority to amend various rules of the Code of Arbitration Procedure for Customer Disputes to correct cross-references to rules that were changed by the approval of another rule filing has become immediately effective pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64005) A proposed rule change (SR-CBOE-2011-021) filed by the Chicago Board Options Exchange relating to PULSe fees has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64007) A proposed rule change (SR-C2-2010-011) filed by the C2 Options Exchange to amend the C2 Fees Schedule has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64008) A proposed rule change filed by the New York Stock Exchange extending the pilot period of the Exchange’s prior approvals to receive inbound routes of certain equities orders from Archipelago Securities LLC (SR-NYSE-2011-08) 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 March 7. (Rel. 34-64013) A proposed rule change filed by NYSE Amex extending the pilot period of the Exchange’s prior approvals to receive inbound routes of equities orders from Archipelago Securities LLC (SR-NYSEAmex-2011-10) 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 March 7. (Rel. 34-64014) Proposed Rule ChangesC2 Options Exchange filed a proposed rule change (SR-C2-2011-008) to allow the listing and trading of a p.m.-settled S&P 500 index option product. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64011) The Municipal Securities Rulemaking Board filed a proposed rule change (SR-MSRB-2011-02) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, consisting of Amendments to MSRB Rule A-3, on Membership on the Board. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64022) Accelerated Approval of Proposed Rule ChangesNASDAQ OMX BX has filed and the Commission has approved on an accelerated basis a proposed rule change (SR-BX-2011-012) under Section 19(b)(1) of the Securities Exchange Act of 1934 to prohibit members from voting uninstructed shares on certain matters. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64023) NASDAQ OMX BX has filed and the Commission has approved on an accelerated basis a proposed rule change (SR-BX-2011-011) under Section 19(b)(1) of the Securities Exchange Act of 1934 to Adopt Section 16 (Proxy Voting) to Chapter III of the BOX trading rules concerning broker voting. Publication is expected in the Federal Register during the week of March 7. (Rel. 34-64024) 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 GLOBE SPECIALTY METALS INC, ONE PENN PLAZA,
250 WEST 34TH ST SUITE 3514, NEW YORK, NY, 10119, 212-798-8100 -
1,000,000 ($22,695,000.00) Equity, (File 333-172580 - Mar. 3) (BR. 04A)
S-3 BUCKEYE PARTNERS, L.P., ONE GREENWAY PLAZA, SUITE 600, HOUSTON, TX,
77046, 8326158600 - 0 ($69,019,528.78) Equity,
0 ($39,108,034.39) Limited Partnership Interests, (File 333-172581 -
Mar. 3) (BR. 04B)
S-8 KINDER MORGAN, INC., 500 DALLAS STREET, SUITE 1000, HOUSTON, TX, 77002,
713-369-9000 - 2,500,000 ($76,200,000.00) Equity, (File 333-172582 -
Mar. 3) (BR. 02)
S-8 KINDER MORGAN, INC., 500 DALLAS STREET, SUITE 1000, HOUSTON, TX, 77002,
713-369-9000 - 250,000 ($7,620,000.00) Equity, (File 333-172584 -
Mar. 3) (BR. 02)
S-4 Ensco plc, 6 CHESTERFIELD GARDENS, LONDON, X0, W1J5BQ, 4402076594660 -
0 ($4,555,483,000.00) Equity, (File 333-172587 - Mar. 3) (BR. 04B)
S-8 GIBRALTAR INDUSTRIES, INC., 3556 LAKE SHORE ROAD, P O BOX 2028,
BUFFALO, NY, 14219-0228, 7168266500 - 0 ($8,220,000.00) Equity,
(File 333-172588 - Mar. 3) (BR. 06B)
S-8 LoopNet, Inc., 185 BERRY STREET, SUITE 4000, SAN FRANCISCO, CA, 94107,
(415) 243-4200 - 0 ($15,074,904.00) Equity, (File 333-172589 - Mar. 3)
(BR. 08B)
S-1 Billet Finder Inc, 1894 CLARENCE ST., SARNIA, A6, N7X1C8,
519 331 1103 - 3,525,000 ($35,250.00) Equity, (File 333-172590 -
Mar. 3) (BR. )
S-3ASR 3D SYSTEMS CORP, 333 THREE D SYSTEMS CIRCLE, ROCK HILL, SC, 29730,
8033263900 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-172591 - Mar. 3) (BR. 03A)
S-8 BIG LOTS INC, 300 PHILLIPI ROAD, P.O.BOX 28512, COLUMBUS, OH,
43228-0512, 614-278-6800 - 2,643,645 ($105,164,198.00) Equity,
(File 333-172592 - Mar. 3) (BR. 02C)
S-3ASR EV Energy Partners, LP, 1001 FANNIN, SUITE 800, HOUSTON, TX, 77002,
713-659-3500 - 0 ($0.00) Unallocated (Universal) Shelf,
(File 333-172593 - Mar. 3) (BR. 04C)
S-3 ACHILLION PHARMACEUTICALS INC, 300 GEORGE STREET, NEW HAVEN, CT, 06511,
203-624-7000 - 0 ($71,372,000.00) Equity, (File 333-172594 - Mar. 3)
(BR. 01A)
S-3 NEWCASTLE INVESTMENT CORP, C/O FORTRESS,
1345 AVENUE OF THE AMERICAS 46TH FL, NEW YORK, NY, 10105, 2127986100 -
0 ($500,000,000.00) Equity, (File 333-172595 - Mar. 3) (BR. 08C)
S-8 FLOTEK INDUSTRIES INC/CN/, 2930 W. SAM HOUSTON PARKWAY N, SUITE 300,
HOUSTON, TX, 77043, 7138499911 - 0 ($25,320,000.00) Equity,
(File 333-172596 - Mar. 3) (BR. 06A)
S-8 ENDURANCE SPECIALTY HOLDINGS LTD, 4 PAR LA VILLE ROAD,
HAMILTON HM 08 BERMUDA, D0, 00000, 441-278-0400 -
0 ($86,393,350.00) Equity, (File 333-172597 - Mar. 3) (BR. 01C)
S-8 Spectrum Brands Holdings, Inc., 601 RAYOVAC DRIVE, MADISON, WI, 53711,
608-275-3340 - 4,625,676 ($131,970,536.28) Equity, (File 333-172598 -
Mar. 3) (BR. 10C)
S-3D GRANITE CONSTRUCTION INC, 585 WEST BEACH ST, WATSONVILLE, CA, 95076,
8317241011 - 0 ($84,150,000.00) Equity, (File 333-172599 - Mar. 3)
(BR. 06A)
S-4 SCIENTIFIC GAMES CORP, 750 LEXINGTON AVE, NEW YORK, NY, 10022,
3027374300 - 0 ($250,000,000.00) Equity, (File 333-172600 - Mar. 3)
(BR. 03B)
N-2 MONROE CAPITAL Corp, 311 SOUTH WACKER DRIVE, SUITE 6400, CHICAGO, IL,
60606, 312-258-8300 - 0 ($150,000,000.00) Equity, (File 333-172601 -
Mar. 3) (BR. )
S-8 AUXILIO INC, 27401 LOS ALTOS, SUITE 100, MISSION VIEJO, CA, 92691,
9496140700 - 7,809,897 ($7,533,484.05) Equity, (File 333-172602 -
Mar. 3) (BR. 02C)
S-8 IPASS INC, 3800 BRIDGE PARKWAY, REDWOOD SHORES, CA, 94065, 6502324115 -
0 ($11,569,079.00) Equity, (File 333-172603 - Mar. 3) (BR. 03C)
S-8 DEXCOM INC, 6340 SEQUENCE DRIVE, SAN DIEGO, CA, 92121, 8582000200 -
0 ($35,085,244.00) Equity, (File 333-172604 - Mar. 3) (BR. 10A)
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 1.01,9.01 02/25/11
3D SYSTEMS CORP DE 9.01 03/03/11
ACACIA RESEARCH CORP DE 8.01 03/02/11
ACCELRYS, INC. DE 2.02,9.01 03/03/11
ACHILLION PHARMACEUTICALS INC DE 2.02,9.01 03/02/11
ACME UNITED CORP CT 2.02,9.01 03/03/11
ACME UNITED CORP CT 1.01,9.01 03/03/11
Addus HomeCare Corp DE 2.02,9.01 03/03/11
ADDVANTAGE TECHNOLOGIES GROUP INC OK 5.07 03/03/11
Affinion Group, Inc. DE 2.02,9.01 03/03/11
ALEXANDER & BALDWIN INC HI 5.02,9.01 02/28/11
ALKERMES INC PA 7.01,9.01 03/03/11
ALLIANCE DATA SYSTEMS CORP DE 7.01,9.01 03/03/11
Alliqua, Inc. FL 3.02,7.01,9.01 03/02/11
ALLOS THERAPEUTICS INC DE 2.02,9.01 03/03/11
ALMOST FAMILY INC DE 7.01,9.01 03/03/11
ALNYLAM PHARMACEUTICALS, INC. 5.02 02/28/11
Alphatec Holdings, Inc. DE 5.02 01/01/11
ALTERA CORP DE 7.01,9.01 03/01/11
ALTERA CORP DE 5.02 02/28/11
AlumiFuel Power Corp NV 4.01,9.01 02/14/11 AMEND
AMERICA SERVICE GROUP INC /DE DE 1.01,8.01,9.01 03/02/11
AMERICA SERVICE GROUP INC /DE DE 2.02,5.02,9.01 03/01/11
AMERICA SERVICE GROUP INC /DE DE 8.01,9.01 03/03/11
AMERICAN AIRLINES INC DE 8.01 03/03/11
American Assets Trust, Inc. MD 1.01,7.01,9.01 03/01/11
AMERICAN EAGLE OUTFITTERS INC DE 5.02 03/01/11
AMERICAN INTERNATIONAL GROUP INC DE 1.01,9.01 03/01/11
AMERICAN RIVER BANKSHARES CA 7.01,9.01 03/03/11
AMERICAN SHARED HOSPITAL SERVICES CA 2.02,9.01 03/03/11
American Standard Energy Corp. DE 7.01,9.01 03/03/11
AMERINST INSURANCE GROUP LTD D0 8.01 02/25/11
AMERISAFE INC TX 2.02,9.01 03/03/11
AMR CORP DE 8.01 03/03/11
AMYLIN PHARMACEUTICALS INC DE 8.01,9.01 03/03/11
ANADYS PHARMACEUTICALS INC 2.02,9.01 03/03/11
API Technologies Corp. DE 4.01,5.02,9.01 02/25/11
APOGEE ENTERPRISES INC MN 5.02,9.01 02/25/11
APPLIED MICRO CIRCUITS CORP DE 5.02,9.01 02/24/11
ARCA biopharma, Inc. DE 8.01 02/25/11
ARDENT MINES LTD 8.01,9.01 03/03/11
ASSET ACCEPTANCE CAPITAL CORP 2.02,9.01 03/03/11
Atlas Therapeutics Corp 1.01,2.01,3.02,5.01, 03/03/11
5.02,5.06,9.01
Attitude Drinks Inc. DE 3.02 02/25/11
AUTHENTEC INC DE 5.02 02/28/11
BAKER HUGHES INC DE 7.01 03/03/11
Bancorp, Inc. 1.01,8.01,9.01 03/02/11
BAYHILL CAPITAL CORP DE 8.01,9.01 03/03/11
BEAZER HOMES USA INC DE 8.01,9.01 03/03/11
BENIHANA INC DE 2.02,9.01 03/03/11
Bering Exploration, Inc. NV 1.01,9.01 02/28/11
BJs RESTAURANTS INC CA 8.01,9.01 03/03/11
BKF CAPITAL GROUP INC DE 1.02,8.01,9.01 02/09/11
BLOCKBUSTER INC DE 1.02,2.04,7.01 02/25/11
BRUSH ENGINEERED MATERIALS INC 5.02,9.01 03/01/11
BSQUARE CORP /WA WA 2.02,9.01 03/03/11
Burger King Holdings Inc DE 5.02 02/28/11
CADUCEUS SOFTWARE SYSTEMS CORP. NV 5.03,5.07,7.01,9.01 02/15/11
CAN CAL RESOURCES LTD NV 3.02,8.01,9.01 02/23/11
CAPITAL SENIOR LIVING CORP DE 2.02,9.01 03/02/11
CAPITAL TRUST INC MD 1.01,3.03,5.03,7.01, 03/03/11
9.01
CAPITOL BANCORP LTD MI 4.02,7.01,9.01 03/03/11
Cardiovascular Systems Inc DE 8.01 02/25/11
CEDAR FAIR L P DE 1.01,2.03,8.01,9.01 02/25/11
Celldex Therapeutics, Inc. DE 2.02,9.01 03/03/11
CENTRA FINANCIAL HOLDINGS INC WV 2.02,9.01 03/03/11
CENVEO, INC CO 2.02,9.01 03/02/11
CERUS CORP DE 1.01,2.03 03/03/11
CERUS CORP DE 2.02,9.01 03/03/11
CHART INDUSTRIES INC DE 7.01,9.01 03/03/11
CHARTER FINANCIAL CORP/GA 8.01,9.01 03/01/11
CHEMBIO DIAGNOSTICS, INC. NV 7.01,9.01 03/03/11
CHENIERE ENERGY INC DE 2.02,9.01 03/03/11
Cheniere Energy Partners, L.P. DE 2.02,9.01 03/03/11
CHINA AUTOMOTIVE SYSTEMS INC DE 3.02 03/01/11
China Biologic Products, Inc. 5.02,9.01 03/03/11
China Ceetop.com, Inc. OR 4.01 02/15/11 AMEND
CHINA MEDICINE CORP NV 5.02,9.01 02/25/11
China Power Technology, Inc. NV 1.01,9.01 03/03/11
China Redstone Group, Inc. DE 5.02,9.01 03/02/11
CHINA SECURITY & SURVEILLANCE TECHNOL DE 1.01,2.03,9.01 03/02/11
CHINA SECURITY & SURVEILLANCE TECHNOL DE 1.01,2.03,9.01 03/02/11
China Tel Group Inc NV 4.01,9.01 02/25/11
China VantagePoint Acquisition Co 8.01,9.01 02/25/11
China YCT International Group, Inc. FL 1.01,2.01,5.01,9.01 02/24/11
CHOICE BANCORP, INC. WI 2.02,5.02,8.01,9.01 02/25/11
Circle Entertainment, Inc. DE 1.01,9.01 02/28/11
Clear Skies Solar, Inc DE 3.02,9.01 03/01/11
Clearwater Paper Corp DE 2.02,9.01 03/03/11
CNS RESPONSE, INC. DE 1.01,2.03,3.02,9.01 02/23/11 AMEND
Cogdell Spencer Inc. MD 2.02,7.01,9.01 03/03/11
COLONIAL PROPERTIES TRUST AL 8.01 03/03/11
COMERICA INC /NEW/ 7.01,9.01 03/03/11
COMFORT SYSTEMS USA INC 7.01,9.01 03/02/11
COMMUNITY FINANCIAL SHARES INC DE 2.02,9.01 02/28/11
COMPX INTERNATIONAL INC DE 7.01,9.01 03/02/11
COMPX INTERNATIONAL INC DE 2.02,7.01,9.01 03/02/11
CONSOL Energy Inc DE 8.01,9.01 03/02/11
Consolidated Communications Holdings, DE 2.02,9.01 03/03/11
CONSUMER PORTFOLIO SERVICES INC CA 1.01,2.03,9.01 02/24/11
COOPER COMPANIES INC DE 2.02,9.01 03/03/11
COOPER TIRE & RUBBER CO DE 1.01,7.01,9.01 03/01/11
COPART INC CA 2.02,9.01 03/02/11
CorMedix Inc. DE 1.01,5.02,8.01,9.01 02/25/11
CORNERSTONE THERAPEUTICS INC DE 2.02,9.01 03/03/11
Corporate Property Associates 17 - Gl MD 2.01,9.01 12/22/10 AMEND
COTT CORP /CN/ 2.02,9.01 03/03/11
CREDIT ACCEPTANCE CORP MI 1.01,2.03,8.01,9.01 03/03/11
CROWN MEDIA HOLDINGS INC DE 2.02,9.01 03/03/11
CVR ENERGY INC DE 2.02,9.01 03/02/11
CYTEC INDUSTRIES INC/DE/ DE 2.01,9.01 02/28/11
DALECO RESOURCES CORP NV 3.02,8.01,9.01 03/03/11
DARLING INTERNATIONAL INC DE 2.02,9.01 02/28/11
DATA I/O CORP WA 2.02 02/28/11
DEL MONTE FOODS CO DE 7.01,9.01 03/02/11
DELTATHREE INC DE 1.01,2.03,3.02,9.01 03/02/11
DELTATHREE INC DE 2.02,9.01 03/03/11
DEPOMED INC CA 2.02,9.01 03/03/11
Desert Hawk Gold Corp. 1.01,2.03,9.01 02/25/11
DESTINY MEDIA TECHNOLOGIES INC CO 7.01,9.01 02/28/11
DEXCOM INC 2.02,9.01 03/03/11
DineEquity, Inc DE 2.02,7.01,9.01 03/03/11
DIVERSEY HOLDINGS, INC. DE 5.02 02/28/11
DOLLAR THRIFTY AUTOMOTIVE GROUP INC DE 4.01,9.01 01/31/11 AMEND
DOT HILL SYSTEMS CORP DE 2.02,9.01 03/03/11
DREW INDUSTRIES INC DE 8.01,9.01 03/01/11
DRI CORP NC 1.01,2.03,9.01 02/25/11
DTS, INC. DE 5.02 02/27/11
DYNEX CAPITAL INC VA 8.01,9.01 03/03/11
E-Debit Global Corp. CO 8.01 03/02/11
EAGLE MATERIALS INC DE 7.01 03/03/11
EINSTEIN NOAH RESTAURANT GROUP INC DE 2.02,9.01 03/03/11
EMS TECHNOLOGIES INC GA 2.02,9.01 03/03/11
Encore Bancshares Inc TX 7.01,9.01 03/03/11
ENERGY FOCUS, INC/DE DE 5.02 02/25/11
Energy Recovery, Inc. DE 2.02,9.01 03/03/11
Enertopia Corp. 3.02,7.01,9.01 03/03/11
ENSIGN GROUP, INC 8.01,9.01 02/28/11
ENTERGY NEW ORLEANS INC LA 5.07 03/02/11
ENVIRONMENTAL SOLUTIONS WORLDWIDE INC FL 8.01 02/23/11
EPLUS INC DE 9.01 02/28/11
ESSA Bancorp, Inc. PA 7.01,9.01 03/03/11
ESSA Bancorp, Inc. PA 7.01,9.01 03/03/11 AMEND
EV Energy Partners, LP DE 7.01,9.01 03/01/11
EV Energy Partners, LP DE 8.01,9.01 03/03/11
EVERGREEN ENERGY INC DE 8.01,9.01 03/02/11
EVOLVING SYSTEMS INC DE 5.03,9.01 03/01/11
FAMILY DOLLAR STORES INC DE 1.01,3.03,5.03,8.01, 03/02/11
9.01
Federal Home Loan Bank of Atlanta X1 2.03 03/03/11
Federal Home Loan Bank of Chicago X1 2.03 03/01/11
Federal Home Loan Bank of Des Moines X1 2.03,9.01 03/01/11
Federal Home Loan Bank of Indianapoli X1 2.03,9.01 03/03/11
Federal Home Loan Bank of New York X1 2.03,9.01 02/28/11
Federal Home Loan Bank of Pittsburgh PA 2.03,9.01 02/28/11
Federal Home Loan Bank of San Francis X1 2.03 02/28/11
Federal Home Loan Bank of Seattle 2.03 03/01/11
Federal Home Loan Bank of Topeka 2.03,9.01 02/28/11
Feigeda Electronic Technology, Inc. DE 4.01,9.01 02/08/11
Financial Engines, Inc. DE 3.02,8.01 03/01/11
FINISH LINE INC /IN/ IN 5.02,9.01 02/25/11
First American Silver Corp. NV 5.02 03/02/11
FIRST PLACE FINANCIAL CORP /DE/ DE 1.01,5.02,9.01 03/01/11
FISHER COMMUNICATIONS INC WA 2.02,9.01 03/03/10
FLOW INTERNATIONAL CORP WA 1.01,2.02,2.03,9.01 03/02/11
FNB United Corp. NC 1.01,9.01 02/28/11
FORTUNE INDUSTRIES, INC. DE 8.01,9.01 02/25/11
FRESH DEL MONTE PRODUCE INC E9 8.01,9.01 03/03/11
Fresh Harvest Products, Inc. 4.01 02/26/11
FROZEN FOOD EXPRESS INDUSTRIES INC TX 5.03,9.01 02/23/11
FTI CONSULTING INC MD 1.01,2.03,7.01,9.01 03/02/11
Fuel Systems Solutions, Inc. 2.02,9.01 03/03/11
FusionTech, Inc. NV 1.01,2.03,5.02,5.05, 03/02/11
9.01
FX ENERGY INC NV 7.01,9.01 03/03/11
GAP INC DE 7.01,9.01 03/03/11
General Motors Co 8.01 03/01/11
GENESIS ENERGY LP DE 2.02,9.01 03/03/11
GenMark Diagnostics, Inc. DE 2.02,9.01 03/03/11
GENSPERA INC DE 7.01 03/01/11
GERBER SCIENTIFIC INC CT 2.02,9.01 03/03/11
GLATFELTER P H CO PA 5.02,5.03,9.01 03/03/11
GLOBAL DEFENSE TECHNOLOGY & SYSTEMS, DE 1.01,9.01 03/02/11
GLOBAL MOBILETECH, INC. NV 4.01,9.01 10/26/10 AMEND
GMX RESOURCES INC OK 2.02,5.02,9.01 03/01/11
GOLD STANDARD MINING CORP. NV 4.01 02/25/11
GOLDEN PHOENIX MINERALS INC NV 5.02,7.01,9.01 02/27/11
GOLFSMITH INTERNATIONAL HOLDINGS INC DE 5.02,9.01 02/25/11
GOODRICH PETROLEUM CORP DE 1.01,9.01 02/25/11
GP STRATEGIES CORP DE 2.02,9.01 03/03/11
GREAT PLAINS ENERGY INC MO 7.01,9.01 03/03/11
GREEN MOUNTAIN COFFEE ROASTERS INC DE 9.01 12/17/10 AMEND
GreenHouse Holdings, Inc. NV 2.02,7.01,9.01 03/03/11
GREENTECH TRANSPORTATION INDUSTRIES I NV 5.02 02/28/11
H&E Equipment Services, Inc. DE 2.02,8.01,9.01 03/03/11
HANOVER INSURANCE GROUP, INC. DE 5.02,8.01 02/28/11
HEINZ H J CO PA 2.02,9.01 03/03/11
HERCULES TECHNOLOGY GROWTH CAPITAL IN MD 2.02,9.01 03/03/11
HF FINANCIAL CORP DE 8.01 02/25/11
HIGHLAND BUSINESS SERVICES, INC. NV 8.01 03/02/11
HIGHLAND BUSINESS SERVICES, INC. NV 8.01 03/03/11 AMEND
HITTITE MICROWAVE CORP 5.02 02/23/11
Hoku Corp DE 1.01,2.03,9.01 02/25/11
HOLLY CORP DE 7.01,9.01 03/03/11
HOMELAND ENERGY SOLUTIONS LLC 1.01 03/01/11
Howard Hughes Corp DE 3.02,5.02,9.01 02/25/11
Hughes Communications, Inc. DE 2.02,9.01 03/03/10
Hughes Network Systems, LLC DE 2.02,9.01 03/03/10
INDEPENDENCE HOLDING CO DE 3.02 03/01/11
INDUSTRIAL MINERALS INC DE 7.01 03/03/11
INSMED INC VA 8.01,9.01 03/03/11
INSPERITY, INC. DE 5.03,8.01,9.01 02/28/11
INTEGRA LIFESCIENCES HOLDINGS CORP DE 1.01,9.01 03/02/11
Intermec, Inc. DE 2.01,2.03,7.01,8.01, 03/03/11
9.01
INTERMUNE INC DE 8.01,9.01 03/03/11
INTEST CORP DE 2.02,5.02,9.01 03/01/11
ION GEOPHYSICAL CORP DE 8.01 03/02/11
IRIDEX CORP DE 2.02,9.01 03/03/11
IRONWOOD PHARMACEUTICALS INC 2.02,9.01 03/03/11
ISDERA NORTH AMERICA, INC. 4.01,4.02 02/25/11
Iveda Solutions, Inc. NV 5.02 02/25/11
JONES GROUP INC PA 8.01,9.01 03/02/11
Kat Gold Holdings Corp. NV 5.02 02/25/11
KEWAUNEE SCIENTIFIC CORP /DE/ DE 2.02,9.01 03/02/11
Kodiak Oil & Gas Corp B0 2.02,9.01 03/03/11
KOHLS Corp WI 2.02,9.01 03/03/11
KOPIN CORP DE 2.02,9.01 03/03/11
Kraton Performance Polymers, Inc. DE 2.02,9.01 03/02/11
Kraton Performance Polymers, Inc. DE 2.02,9.01 03/03/11
KROGER CO OH 2.02,7.01,9.01 03/03/11
KROGER CO OH 7.01 03/03/11
KV PHARMACEUTICAL CO /DE/ DE 1.01,2.03,3.02 03/02/11
LADYBUG RESOURCE GROUP, INC. NV 5.03 03/03/11
LAS VEGAS RAILWAY EXPRESS, INC. DE 5.02 03/03/11
LEAPFROG ENTERPRISES INC 8.01 03/02/11
LEFT BEHIND GAMES INC. WA 7.01,9.01 03/03/11
LEGACY RESERVES LP DE 2.02,9.01 03/02/11
LENCO MOBILE INC. DE 1.01,5.02,9.01 03/01/11
LHC Group, Inc 2.02,9.01 03/02/11
LIBERTY MEDIA CORP 2.02,8.01,9.01 02/28/11
LIBERTY MEDIA CORP 2.02,8.01,9.01 02/28/11
LIBERTY PROPERTY TRUST MD 5.02 02/28/11
LIBERTY SILVER CORP NV 7.01,9.01 02/28/11
LINCOLN EDUCATIONAL SERVICES CORP NJ 2.02,9.01 03/03/11
LML PAYMENT SYSTEMS INC A1 1.01,9.01 03/03/11
LSB INDUSTRIES INC DE 2.02 03/03/10
MADISON GAS & ELECTRIC CO WI 1.01,2.03,9.01 02/28/11
Majestic Capital, Ltd. 1.01,8.01,9.01 03/03/11
MAN SHING AGRICULTURAL HOLDINGS, INC NV 2.02,9.01 03/03/11
MANGO CAPITAL INC NV 1.01,5.02,5.03,7.01, 03/03/11 AMEND
9.01
MARKWEST ENERGY PARTNERS L P 1.01,7.01,9.01 03/02/11
MARVELL TECHNOLOGY GROUP LTD D0 2.02,8.01,9.01 03/03/11
MEDIZONE INTERNATIONAL INC NV 5.02,7.01,9.01 12/30/10
Mellanox Technologies, Ltd. L3 1.01 03/01/11
MEMC ELECTRONIC MATERIALS INC DE 8.01 03/02/11
MESA AIR GROUP INC NV 1.03,8.01,9.01 03/01/11
METALLINE MINING CO NV 1.02,5.02,8.01,9.01 02/25/11
METHODE ELECTRONICS INC DE 2.02,9.01 03/01/11
METRO BANCORP, INC. 8.01 02/25/11
METROPCS COMMUNICATIONS INC DE 8.01,9.01 03/03/11
MGE ENERGY INC WI 1.01,2.03,9.01 02/28/11
MGIC INVESTMENT CORP WI 8.01,9.01 10/14/09 AMEND
MICHAEL BAKER CORP PA 2.02,9.01 03/03/11
MICROMET, INC. DE 2.02,9.01 03/03/11
MID WISCONSIN FINANCIAL SERVICES INC WI 5.02,9.01 03/03/11
MIDAS INC DE 2.02 03/03/11
Millburn Multi-Markets Fund L.P. DE 3.02 03/01/11
MINES MANAGEMENT INC ID 1.01,9.01 03/03/11
Mobile Data Corp. NV 8.01,9.01 03/03/11
MOCON INC MN 2.02,9.01 03/02/11
MONMOUTH REAL ESTATE INVESTMENT CORP MD 5.03,9.01 02/28/11
Morgans Hotel Group Co. DE 8.01,9.01 03/01/11
MS STRUCTURED SATURNS SERIES 2001-4 DE 8.01,9.01 03/01/11
NACEL ENERGY CORP WY 5.02,9.01 02/03/11
NANOMETRICS INC DE 5.02,9.01 02/28/11
NASH FINCH CO DE 2.02,9.01 01/01/11
Neiman Marcus, Inc. DE 2.02,7.01 03/03/11
NELNET INC NE 2.02,9.01 03/03/11
NEOPHOTONICS CORP DE 2.02,9.01 03/03/11
NeuroMetrix, Inc. DE 1.01,2.03,9.01 03/01/11
NEW PEOPLES BANKSHARES INC VA 5.02 03/03/11
NEWALLIANCE BANCSHARES INC 5.04,9.01 03/03/11
NEWTEK BUSINESS SERVICES INC NY 1.01,2.03,9.01 02/28/11
Nile Therapeutics, Inc. DE 1.01,8.01,9.01 02/25/11
NISOURCE INC/DE DE 1.01,1.02 03/03/11
NORDSTROM INC WA 7.01,9.01 03/03/11
NOVELL INC DE 2.02,9.01 01/31/11
OLD REPUBLIC INTERNATIONAL CORP DE 8.01,9.01 03/02/11
OLD REPUBLIC INTERNATIONAL CORP DE 8.01,9.01 03/03/11
OLIN CORP VA 1.01,2.01,2.03,9.01 02/28/11
ON ASSIGNMENT INC DE 2.01,9.01 03/03/11
ONCOSEC MEDICAL Inc NV 5.03,7.01,9.01 02/09/11
ONEOK INC /NEW/ OK 7.01,9.01 03/03/11
ONEOK Partners LP DE 7.01,9.01 03/03/11
OVERSEAS SHIPHOLDING GROUP INC DE 2.02,8.01,9.01 02/28/11
Owens Corning DE 8.01,9.01 03/03/11
OXIGENE INC DE 2.02,9.01 03/03/11
PALADIN REALTY INCOME PROPERTIES INC MD 5.02,8.01 02/24/11
PANERA BREAD CO DE 8.01,9.01 02/22/11
PATRIOT NATIONAL BANCORP INC CT 1.01,9.01 02/25/11
PENNICHUCK CORP NH 2.02,9.01 03/03/11
PennyMac Mortgage Investment Trust MD 1.01,2.03,9.01 02/25/11
Pepper Rock Resources Corp. 1.01 02/25/11
PERFICIENT INC DE 2.02,9.01 03/03/11
PERRY ELLIS INTERNATIONAL INC FL 8.01,9.01 03/03/11
PHILLIPS VAN HEUSEN CORP /DE/ DE 1.01,2.03,9.01 03/02/11
Phoenix International Ventures, Inc. NV 5.02 02/27/11
PHYSICIANS FORMULA HOLDINGS, INC. DE 1.01,9.01 02/28/11
PIER 1 IMPORTS INC/DE DE 5.02,7.01,9.01 02/27/11
PivX Solutions, Inc. NV 8.01 03/03/11
PLAINSCAPITAL CORP TX 7.01 02/24/11
PNC FINANCIAL SERVICES GROUP INC PA 2.02,9.01 03/03/11
POLYONE CORP 1.01,2.01,9.01 02/28/11
POOL CORP DE 7.01,9.01 03/03/11
PostRock Energy Corp DE 2.02,9.01 03/02/11
PREMIER FINANCIAL BANCORP INC KY 7.01,9.01 03/03/11
PREMIERWEST BANCORP OR 8.01 03/03/11
Prime Sun Power Inc NV 5.02 02/25/11
PRIMEDIA INC DE 2.02,7.01,9.01 03/03/11
PROLOGIS MD 5.02 02/27/11
PROS Holdings, Inc. DE 1.01,5.02,9.01 02/28/11
PROVIDENT FINANCIAL HOLDINGS INC DE 7.01,9.01 03/03/11
RADIANT LOGISTICS, INC DE 5.02 03/03/11
RADIANT SYSTEMS INC GA 5.02,9.01 02/25/11
RANCHER ENERGY CORP. NV 1.03,2.01,9.01 02/24/11
RDA Holding Co. 2.02,9.01 03/03/11
RESOURCE AMERICA, INC. DE 1.01,2.03,9.01 02/25/11
RESOURCE EXCHANGE OF AMERICA CORP. FL 1.01,2.03,3.02,9.01 03/02/11
Rhino Resource Partners LP DE 2.02,9.01 03/03/11
RITE AID CORP DE 1.01,2.03,9.01 03/03/11
Rockville Financial, Inc. /CT/ CT 8.01,9.01 03/03/11
ROCKWELL MEDICAL TECHNOLOGIES INC MI 2.02,9.01 03/03/11
Sabra Health Care REIT, Inc. MD 2.02,9.01 03/02/11
SAFEGUARD SCIENTIFICS INC PA 2.02,9.01 03/03/11
SafeStitch Medical, Inc. DE 5.02 02/25/11
SAKS INC TN 7.01,9.01 03/03/11
SANDRIDGE ENERGY INC DE 5.02,8.01 02/28/11
SANTARUS INC DE 2.02,9.01 03/03/11
SAVIENT PHARMACEUTICALS INC DE 8.01 03/02/11
SENOMYX INC DE 2.02,9.01 03/03/11
Sequoia Mortgage Trust 2011-1 MD 8.01,9.01 02/01/11
SIFCO INDUSTRIES INC OH 7.01,9.01 02/24/11
SIGA TECHNOLOGIES INC DE 5.02,9.01 02/25/11
SIGNATURE GROUP HOLDINGS INC NV 5.02 02/28/11
SILICON IMAGE INC DE 7.01,9.01 03/02/11
Silver Dragon Resources Inc. DE 8.01 03/03/11
SIMMONS FIRST NATIONAL CORP AR 5.02,9.01 02/28/11
SLM FUNDING LLC DE 9.01 03/03/11
SLM Student Loan Trust 2003-1 DE 8.01,9.01 03/02/11
SLM Student Loan Trust 2003-4 DE 8.01,9.01 03/02/11
SLM Student Loan Trust 2003-7 DE 8.01,9.01 03/02/11
SLM Student Loan Trust 2011-1 DE 1.01,2.01,9.01 03/03/11
SMART BALANCE, INC. DE 5.02,9.01 02/28/11
Somaxon Pharmaceuticals, Inc. DE 2.02,9.01 03/03/11
SOTHEBYS DE 2.02,9.01 03/03/11
SOUTHWESTERN ENERGY CO DE 7.01 02/25/11
Spartan Gold Ltd. 5.06,9.01 03/02/11
SPECTRANETICS CORP DE 1.01,2.03,5.02,9.01 02/25/11
ST. BERNARD SOFTWARE, INC. DE 2.02,9.01 03/03/11
Standard Financial Corp. MD 7.01,9.01 03/03/11
STANDARD MOTOR PRODUCTS INC NY 2.02,9.01 03/03/11
STEINWAY MUSICAL INSTRUMENTS INC DE 2.02,9.01 03/03/11
STIFEL FINANCIAL CORP DE 7.01,9.01 03/03/11
STRATEGIC AMERICAN OIL CORP NV 3.02 02/28/11
STRATEGIC DIAGNOSTICS INC/DE/ DE 2.02,9.01 03/03/11
STRUCTURED PRODUCTS CORP TIERS R INFL DE 8.01,9.01 03/01/11
STRUCTURED PRODUCTS CORTS TRUST FOR J DE 8.01,9.01 03/01/11
Sucampo Pharmaceuticals, Inc. 2.02,9.01 03/03/11
SUN COMMUNITIES INC MD 1.01,2.03,9.01 03/01/11
SupportSave Solutions Inc 1.02,9.01 02/28/11
SUREWEST COMMUNICATIONS CA 1.01,2.03,9.01 03/02/11
TAMM Oil & Gas Corp. NV 5.02,9.01 03/03/11
TANGER FACTORY OUTLET CENTERS INC NC 5.02,7.01,9.01 02/28/11
TARGACEPT INC 1.02 02/28/11
TASER INTERNATIONAL INC 8.01,9.01 03/03/11
TC Global, Inc. 5.02,9.01 02/28/11
TECHNEST HOLDINGS INC NV 5.03,9.01 02/28/11
TEKELEC CA 5.02 02/25/11
TEKELEC CA 5.02 02/16/11 AMEND
Teleconnect Inc. OK 1.01,3.02,9.01 10/15/10 AMEND
TELESTONE TECHNOLOGIES CORP CO 7.01,9.01 03/03/11
TELKONET INC UT 5.02 03/03/11
TERADATA CORP /DE/ 1.01,8.01,9.01 03/02/11
TESCO CORP 2.02,9.01 02/24/11
TETRA TECH INC DE 5.07 03/01/11
TEXAS INDUSTRIES INC DE 7.01,9.01 03/03/11
THERMOENERGY CORP DE 1.01,9.01 02/25/11
TIDEWATER INC DE 8.01 03/03/11
Timberline Resources Corp DE 7.01,9.01 03/03/11
TIMESHARE HOLDINGS, INC. NV 5.02 03/02/10
TOR MINERALS INTERNATIONAL INC DE 2.02,9.01 02/23/11
TPC Group Inc. DE 2.02,7.01,9.01 03/03/11
TRINITY INDUSTRIES INC DE 5.03,9.01 03/02/11
Tupper, Inc. NV 5.02 03/01/11
TWO RIVERS WATER Co CO 7.01 03/03/11
Tycore Ventures Inc NV 1.01,2.01,3.02,4.01, 02/08/11 AMEND
5.01,5.02,5.03,5.06,
9.01
U S PHYSICAL THERAPY INC /NV NV 2.02,8.01 03/03/11
U-Store-It Trust MD 5.02 02/25/11
UIL HOLDINGS CORP CT 5.02 02/28/11
Umami Sustainable Seafood Inc. NV 5.02 02/24/11
Uni-Pixel DE 8.01,9.01 03/03/11
UNION DRILLING INC DE 2.02,9.01 03/03/11
UNITED NATURAL FOODS INC DE 2.02,9.01 03/03/11
UNITED SECURITY BANCSHARES CA 2.02,9.01 03/03/11
US AIRWAYS GROUP INC DE 2.02,9.01 03/03/11
US CONCRETE INC DE 2.02,5.02,9.01 02/28/11
VERINT SYSTEMS INC DE 5.02,8.01 02/25/11
Verso Paper Corp. DE 2.02,9.01 03/03/11
ViewPoint Financial Group Inc. MD 2.02,8.01,9.01 03/03/11
VIRGIN MEDIA INC. DE 1.01,2.03,9.01 03/03/11
WASHINGTON BANKING CO WA 8.01 03/02/11
WCA WASTE CORP DE 1.01,2.01,3.02,7.01, 02/28/11
9.01
WELLS CORE OFFICE INCOME REIT INC 9.01 01/27/11 AMEND
WENDY'S/ARBY'S GROUP, INC. DE 2.02,9.01 01/02/11
WENDY'S/ARBY'S GROUP, INC. DE 7.01,9.01 02/28/11
WES Consulting, Inc. FL 5.03,9.01 02/28/11
Western Refining, Inc. DE 2.02,9.01 03/03/11
WEYCO GROUP INC WI 2.02,9.01 03/03/11
WILMINGTON TRUST CORP DE 8.01,9.01 03/03/11
Wind Works Power Corp. NV 1.01,9.01 02/28/11
WINDSTREAM CORP DE 8.01,9.01 03/02/11
WindTamer Corp NY 2.04 02/26/11
Writers Group Film Corp DE 1.01,2.01,5.02 02/25/11
WYNDHAM WORLDWIDE CORP DE 1.01,2.03,5.03,8.01, 02/23/11
9.01
Yankee Holding Corp. DE 2.02,9.01 03/03/11
ZOGENIX, INC. DE 2.02,9.01 03/03/11
http://www.sec.gov/news/digest/2011/dig030411.htm
|