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Commission AnnouncementsSEC Charges Hedge Fund Managers With FraudThe Securities and Exchange Commission today charged a hedge fund investment advisory firm and its two founders with orchestrating a multi-faceted scheme to defraud clients and failing to comply with fiduciary obligations. The SEC alleges that Eugenio Verzili and Arturo Rodriguez through their firm Juno Mother Earth Asset Management LLC misappropriated client assets, inflated assets under management, and filed false information with the SEC. Juno, Verzili and Rodriguez looted approximately $1.8 million of assets from a hedge fund they manage, misusing it to pay Juno’s operating costs related to payroll, rent, travel, meals, and entertainment. They issued promissory notes to conceal a substantial portion of their misappropriation. Juno, Verzili and Rodriguez also misrepresented the amount of capital that some Juno partners had invested in one of its funds, claiming they had invested millions of dollars when they actually had invested nothing in the funds. “Verzili, Rodriguez and their firm violated the most fundamental duties of an investment adviser by lying to their clients and misappropriating the money entrusted to their care,” said George S. Canellos, Director of the SEC’s New York Regional Office. “They compounded their wrongdoing by providing false information in filings with the SEC that are designed to ensure that registered investment advisers make full disclosure to investors.” Bruce Karpati, Co-Chief of the Asset Management Unit in the SEC’s Division of Enforcement, said, “Hedge fund investors derive comfort from knowing the fund’s adviser has so-called ‘skin in the game’ by investing its own money side-by-side with investors and sharing the same risks and rewards. These managers deliberately distorted their skin in the game.” According to the SEC’s complaint filed in the U.S. District Court for the Southern District of New York, Juno sold securities in client brokerage and commodity accounts and directed 41 separate transfers of cash to Juno’s bank account, claiming falsely that the transfers were reimbursements for expenses Juno had incurred on behalf of the client fund. Verzili and Rodriguez later fabricated and issued nine promissory notes to make it appear that the client fund had invested the money in Juno. But they concealed the so-called investment from the independent directors of the client fund. The SEC’s complaint further alleges that Juno, Rodriguez and Verzili marketed investments in the Juno-advised fund and failed to disclose Juno’s precarious financial condition to investors. They also failed to disclose that Juno owed a client fund a minimum of $1.2 million, which represented the proceeds of the promissory notes. While offering and selling securities in the client fund, Juno repeatedly inflated and misrepresented the amount of assets that Juno managed and claimed at one point that Juno had as much as $200 million under management. Verzili also represented falsely to investors that Juno’s partners had up to $3 million of their own capital invested in a client fund. Juno’s partners had never actually invested any of their own money. The SEC alleges that Juno filed false Forms ADV with the SEC in order to avoid deregistration with the Commission, claiming in those filings that Juno managed $40 million more than it actually did. Verzili and Rodriguez also caused Juno to provide a number of false filings to the SEC that failed to disclose that Juno had engaged in principal transactions with its client and had custody of client assets. The SEC’s complaint charges Juno, Verzili and Rodriguez with violations of the antifraud provisions of the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940, as well as additional regulatory-based violations of the Advisers Act. The SEC seeks permanent injunctions, disgorgement of ill-gotten gains plus prejudgment interest, and monetary penalties. The SEC’s case was investigated by New York Regional Office staff including Ken C. Joseph and Mark D. Salzberg of the Asset Management Unit and Elzbieta Wraga, with assistance from examiners Eugenio Cantiello, Majid Mahmood, Raymond Slezak and Joseph DiMaria. Jack Kaufman will lead the SEC’s litigation. The SEC acknowledges the assistance of the Cayman Islands Monetary Authority and the Financial Market Authority Liechtenstein. For more information about this enforcement action contact: George S. Canellos Bruce Karpati (212-336-0104) and Robert Kaplan (202-551-4969) Ken C. Joseph (Press Rel. 2011-66; LR-21886) Enforcement ProceedingsIn the Matter of JSK Associates, Inc., Jerome S. Keenan and Paul Dos SantosOn March 14, 2011, the Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order (Order) against JSK Associates, Inc. (JSK), Jerome S. Keenan (Keenan) and Paul Dos Santos (Dos Santos). The Order finds that JSK, Keenan and Dos Santos failed to disclose to their advisory clients the financial benefits that International Equity Services, Inc. (IES), a broker-dealer under common control with JSK, derived from the advisory clients’ accounts. In addition, the Order finds that (i) JSK, through IES, engaged in fixed income transactions on a riskless principal basis and failed to provide prior written disclosure to its advisory clients, or obtain consent from those clients, that it would effect the trades on a principal basis; (ii) JSK failed to adopt and implement written policies and procedures reasonably designed to prevent violation of the Advisers Act of 1940 (Advisers Act) and the rules thereunder, and failed to establish, maintain and enforce a written code of ethics satisfying the requirements of Rule 204A-1 under the Advisers Act; and (iii) Keenan and Dos Santos willfully aided and abetted and caused these violations. Based on the above, the Order directs JSK, Keenan and Dos Santos to cease and desist from committing or causing any violations and any future violations of Sections 204, 204A, 206(2), 206(3), 206(4) and 207 of the Advisers Act and Rules 204-1(a)(2), 204A-1 and 206(4)-7 promulgated thereunder. In addition, the Order censures JSK, Keenan and Dos Santos. Further, the Order requires JSK to pay a civil money penalty in the amount of $60,000 and Keenan and Dos Santos to each pay a civil money penalty in the amount of $10,000. Finally, the Order requires JSK, Keenan and Dos Santos to pay disgorgement, on a joint and several basis of $60,350 and prejudgment interest of $3,805. JSK, Keenan and Dos Santos consented to the issuance of the Order without admitting or denying the Commission’s findings, except as to the Commission’s jurisdiction over them and the subject matter of the proceedings. (Rel. IA-3175; File No. 3-14296) SEC v. Charles William Petty, II, et al.The Securities and Exchange Commission announced today that the Honorable Richard W. Story, United States District Judge for the Northern District of Georgia, entered an order and final judgment permanently enjoining Charles William Petty, II (Petty), Visionary Publishing International, LLC (Visionary), and Virtual Properties Worldwide, Inc. (Worldwide) (collectively, Defendants). The order and final judgment restrained and enjoined Reynolds from future violations of Sections 5(a), (c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Exchange Act of 1934 and Rule 10b-5 thereunder. Defendants were also ordered to pay disgorgement in the amount of $263,100, pre-judgment interest in the amount of $45,606.24 and a civil penalty in amount of $20,000. The Court found that, from since at least 2007 to the present, Petty offered and sold at least $236,000 of promissory notes (Notes) issued by the Visionary companies to at least eleven investors in Georgia, North Carolina, Texas, California, New Jersey, and Canada. The Court also found that the defendants generally told investors that the Notes were “safe and high-yielding” and that the Note proceeds would be invested in real estate or “real estate related projects.” The defendants also told investors that each Note would be secured by a mortgage security deed on a particular property in Georgia, Tennessee, Alabama, North Carolina, or South Carolina at a loan to value ratio of no more than 60 to 75%. The Court found that these representations were false because no mortgage security deeds on properties were ever created, and Petty admitted that the Note proceeds were not invested in real estate or real estate related projects. [SEC v. Charles William Petty, II, et al., Civil Action No. 1:10-cv-03842-RWS (N.D.GA.)] ( LR-21885) 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-1 ECA Marcellus Trust I, C/O CT CORPORATION STAFFING, INC.,
1209 ORANGE STREET, WILMINGTON, DE, 19801, (303) 694-2667 -
3,480,800 ($102,509,560.00) Equity, (File 333-172797 - Mar. 14) (BR. 04)
S-1 APACHE DESIGN SOLUTIONS INC, 2645 ZANKER ROAD, SAN JOSE, CA, 95134,
650-969-4183 - 0 ($75,000,000.00) Equity, (File 333-172804 - Mar. 14)
(BR. )
S-8 EMTEC INC/NJ, 817 EAST LAKE GATE DRIVE, MT LAUREL, UT, 08054,
8013633283 - 7,000,000 ($4,270,000.00) Equity, (File 333-172805 -
Mar. 14) (BR. 02A)
S-8 POINTS INTERNATIONAL LTD, 171 JOHN STREET, 5TH FLOOR, TORONTO, A6,
M5T 1X3, 416-596-6361 - 1,563,526 ($15,191,121.94) Equity,
(File 333-172806 - Mar. 14) (BR. 03B)
S-3 Santander Holdings USA, Inc., 1500 MARKET ST, PHILADELPHIA, PA, 19102,
2155574630 - 1,000,000,000 ($1,000,000,000.00) Debt, (File 333-172807 -
Mar. 14) (BR. 07C)
S-8 KINDER MORGAN, INC., 500 DALLAS STREET, SUITE 1000, HOUSTON, TX, 77002,
713-369-9000 - 125,000,000 ($3,778,750,000.00) Equity,
(File 333-172808 - Mar. 14) (BR. 02)
S-4 Advanced Emissions Solutions, Inc., 8100 SOUTHPARK WAY STE B,
LITTLETON, CO, 80120, 303-734-1727 - 0 ($103,875,694.00) Equity,
(File 333-172809 - Mar. 14) (BR. )
S-8 MITEK SYSTEMS INC, 8911 BALBOA AVE., SUITE B, SAN DIEGO, CA, 92123,
858-503-7810 - 2,000,000 ($10,520,000.00) Equity, (File 333-172810 -
Mar. 14) (BR. 03A)
S-8 MITEK SYSTEMS INC, 8911 BALBOA AVE., SUITE B, SAN DIEGO, CA, 92123,
858-503-7810 - 1,000,000 ($5,260,000.00) Equity, (File 333-172811 -
Mar. 14) (BR. 03A)
S-8 TRIMERIS INC, 2530 MERIDIAN PARKWAY, 2ND FLOOR, DURHAM, NC, 27713,
(919) 806-4682 - 700,000 ($1,799,000.00) Equity, (File 333-172812 -
Mar. 14) (BR. 01C)
S-8 Worlds.com, Inc., 11 ROYAL ROAD, BROOKLINE, MA, 02445, 6177258900 -
147,058 ($25,000.00) Equity, (File 333-172813 - Mar. 14) (BR. 03C)
S-8 Oncothyreon Inc., 2601 FOURTH AVENUE, SUITE 500, SEATTLE, WA, 98121,
(206) 801-2100 - 0 ($1,415,308.00) Equity, (File 333-172814 - Mar. 14)
(BR. 01C)
S-3 Rand Logistics, Inc., 500 FIFTH AVENUE, 50TH FLOOR, NEW YORK, NY,
10110, 212-644-3450 - 0 ($43,063,095.88) Equity, (File 333-172815 -
Mar. 14) (BR. 05C)
F-1 Qihoo 360 Technology Co Ltd, Block 1, Area D, Huitong Times Plaza,
No. 71 Jianguo Rd, Chaoyang District, Beijing, F4, 100025,
(86-10) 5878-1000 - 0 ($200,000,000.00) ADRs/ADSs, (File 333-172816 -
Mar. 14) (BR. 03A)
S-8 Convio, Inc., 11501 DOMAIN DRIVE, SUITE 200, AUSTIN, TX, 78758,
512-652-2600 - 0 ($7,509,981.00) Equity, (File 333-172818 - Mar. 14)
(BR. 03C)
S-3 Marina Biotech, Inc., 3830 MONTE VILLA PARKWAY, BOTHELL, WA, 98021,
4259083600 - 0 ($1,687,683.00) Equity, (File 333-172819 - Mar. 14)
(BR. 01B)
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
ACCURAY INC DE 7.01,8.01,9.01 03/11/11
ACETO CORP NY 2.01,9.01 12/31/10 AMEND
ADA-ES INC CO 1.01,7.01,9.01 03/14/11
Advanced Emissions Solutions, Inc. 1.01,9.01 03/14/11
AEP INDUSTRIES INC DE 2.02,9.01 03/14/11
AGL RESOURCES INC GA 8.01,9.01 03/14/11
AGY Holding Corp. DE 1.01,2.03,9.01 03/08/11
ALAMO GROUP INC DE 5.02,9.01 03/10/11
ALAMO GROUP INC DE 5.02,9.01 03/10/11
ALERE INC. DE 8.01 03/14/11
Allegiant Travel CO NV 1.01,2.03 03/10/11
AMERICAN ELECTRIC POWER CO INC NY 7.01 03/14/11
AMERICAN SUPERCONDUCTOR CORP /DE/ DE 1.01,3.02,9.01 03/12/11
AMERIGROUP CORP 8.01 03/08/11
Animal Health International, Inc. DE 1.01,5.02,7.01,9.01 03/14/11
APARTMENT INVESTMENT & MANAGEMENT CO MD 7.01,9.01 03/14/11
ARCH CAPITAL GROUP LTD. 7.01,9.01 03/14/11
ARGENTEX MINING CORP DE 1.01,3.02,5.02,9.01 03/14/11
ARGENTEX MINING CORP DE 1.01,9.01 12/02/10 AMEND
Argo Group International Holdings, Lt 5.02,9.01 03/10/11
Armour Residential REIT, Inc. MD 8.01,9.01 03/14/11
AROTECH CORP DE 2.02,9.01 03/14/11
ASHFORD HOSPITALITY TRUST INC MD 1.01,2.01,9.01 03/10/11
ASHFORD HOSPITALITY TRUST INC MD 7.01,9.01 03/11/11
ASSURANT INC 5.02,9.01 03/11/11
ATHERSYS, INC / NEW DE 2.02,9.01 03/14/11
AUTONATION, INC. DE 5.02,9.01 03/14/11
AVI BIOPHARMA INC OR 2.02,8.01 03/11/11
BALLANTYNE STRONG, INC. DE 5.02 03/09/11
Banyan Rail Services Inc. DE 5.03,9.01 03/09/11
BigBand Networks, Inc. DE 5.02,9.01 03/10/11
BIOSPECIFICS TECHNOLOGIES CORP DE 7.01,9.01 03/14/11
Black Diamond, Inc. DE 2.02,9.01 03/14/11
BMB MUNAI INC 1.01,2.03,3.02,9.01 03/08/11
BRIDGETECH HOLDINGS INTERNATIONAL INC DE 4.01,9.01 03/14/11
Brownie's Marine Group, Inc NV 1.01,2.03,3.02,9.01 02/10/11
CACI INTERNATIONAL INC /DE/ DE 5.02,9.01 03/14/11
CALIX, INC 5.02 03/10/11
CAPITAL ONE FINANCIAL CORP DE 5.02 03/14/11
CARDIO VASCULAR MEDICAL DEVICE CORP DE 5.02 03/10/11
CATALYST HEALTH SOLUTIONS, INC. DE 1.01,7.01,9.01 03/08/11
CELL THERAPEUTICS INC WA 1.01,7.01,9.01 03/11/11
CHINA BAK BATTERY INC NV 5.07 03/09/11
China Fruits Corportion DE 8.01 10/29/10
China Natural Gas, Inc. DE 2.02,9.01 03/14/11
China Tel Group Inc NV 4.01 03/11/11
China VantagePoint Acquisition Co 8.01,9.01 03/11/11
CHINA-BIOTICS, INC DE 5.07,9.01 03/09/11
CHURCHILL DOWNS INC KY 2.02,9.01 03/14/11
CITIZENS REPUBLIC BANCORP, INC. MI 5.02 03/09/11 AMEND
CLAIBORNE LIZ INC DE 1.01 03/08/11
CLOUD PEAK ENERGY INC. DE 5.02,7.01,9.01 03/11/11
CLOUD PEAK ENERGY INC. DE 5.02,9.01 03/11/11
CODEXIS INC 5.02,8.01 03/08/11
COMMERCIAL BARGE LINE CO DE 5.02 03/10/11
CONSOLIDATED GRAPHICS INC /TX/ TX 7.01,9.01 03/14/11
CONSPIRACY ENTERTAINMENT HOLDINGS INC UT 4.01,9.01 03/08/11
Consumer Products Services Group, Inc DE 1.01,8.01 03/04/11
COOPER TIRE & RUBBER CO DE 5.02 03/10/11
COPART INC CA 5.02 03/09/11
CORELOGIC, INC. DE 5.02,9.01 03/14/11
CorMedix Inc. DE 2.02,9.01 03/11/11
CORNING INC /NY NY 7.01 03/14/11
CORPORATE EXECUTIVE BOARD CO DE 7.01,9.01 03/11/11
Corridor Ventures I Acquisition Corp. NV 1.01,5.01,5.02,9.01 03/14/11
Corridor Ventures II Acquisition Corp NV 1.01,5.01,5.02,9.01 03/14/11
COVANTA HOLDING CORP DE 8.01,9.01 03/14/11
Covidien plc 7.01 03/14/11
CREATIVE VISTAS INC AZ 8.01 03/14/11
CREDIT ACCEPTANCE CORP MI 8.01 03/11/11
Culture Medium Holdings Corp. NV 5.03,7.01,9.01 03/14/11
CUMULUS MEDIA INC DE 2.02,8.01,9.01 03/14/11
CVB FINANCIAL CORP CA 7.01,8.01,9.01 03/14/11
CYBEX INTERNATIONAL INC NY 5.02 03/11/11
DATALINK CORP MN 8.01 03/14/11
Deer Consumer Products, Inc. NV 8.01,9.01 10/11/10
Diamond Information Institute NJ 4.01,9.01 03/14/11
DiamondRock Hospitality Co 7.01,9.01 03/14/11
DOLE FOOD CO INC DE 2.02,7.01,8.01,9.01 03/14/11
DOLLAR FINANCIAL CORP DE 9.01 12/31/10 AMEND
DREAMS INC UT 7.01,9.01 03/14/11
EAST COAST DIVERSIFIED CORP NV 4.01,9.01 03/07/11
ECOLOGY COATINGS, INC. NV 5.02 03/14/11
ECOLOGY COATINGS, INC. NV 1.01,3.02 03/14/11
ELECSYS CORP KS 2.02,9.01 03/14/11
ENDEAVOUR INTERNATIONAL CORP NV 1.01,9.01 03/11/11
ENDOCYTE INC DE 2.02,9.01 03/10/11
ENDURANCE SPECIALTY HOLDINGS LTD 1.01,9.01 03/14/11
ENERGEN CORP AL 7.01,9.01 03/14/11
ESSEX PROPERTY TRUST INC MD 7.01,9.01 03/14/11
Essex Rental Corp. DE 2.02,9.01 03/14/11
EVERGREEN ENERGY INC DE 5.02,9.01 03/10/11
Exobox Technologies Corp. NV 5.03 03/10/11
FAMILY DOLLAR STORES INC DE 2.02,9.01 03/14/11
FAR EAST ENERGY CORP NV 1.01,3.02,7.01,9.01 03/10/11
FARMERS NATIONAL BANC CORP /OH/ OH 5.02,9.01 03/14/11
FARMERS NATIONAL BANC CORP /OH/ OH 5.02,9.01 01/20/10 AMEND
First Business Financial Services, In 7.01,9.01 03/14/11
FirstEnergy Solutions Corp. OH 1.01,9.01 03/11/11
FLAG INTERMEDIATE HOLDINGS Corp DE 2.01 03/11/11
FNB United Corp. NC 2.02,9.01 03/14/11
FORMFACTOR INC DE 5.02 03/08/11
Fortress Investment Group LLC DE 8.01 03/11/11
FXCM Inc. 7.01,9.01 03/14/11
GelTech Solutions, Inc. DE 5.02,7.01 03/10/11
GENERAL DYNAMICS CORP DE 5.02 03/01/11 AMEND
GEOGLOBAL RESOURCES INC. DE 1.01,8.01,9.01 03/08/11
Global Immune Technologies Inc. WY 2.01,2.03,3.01,5.01, 03/14/11
7.01,8.01,9.01
GOLD STANDARD MINING CORP. NV 8.01 03/10/11
GRAMERCY CAPITAL CORP MD 1.01,9.01 03/13/11
GRAYSON BANKSHARES INC VA 2.02,9.01 03/11/11
Great Lakes Dredge & Dock CORP DE 5.03,8.01,9.01 03/08/11
GROUP 1 AUTOMOTIVE INC DE 5.02,9.01 03/08/11
Grubb & Ellis Healthcare REIT II, Inc MD 7.01,9.01 03/14/11
GRYPHON GOLD CORP NV 7.01,9.01 03/14/11
GSE SYSTEMS INC DE 2.02 03/14/11
GULFPORT ENERGY CORP DE 2.02,9.01 03/14/11
HANDY & HARMAN LTD. DE 2.02,9.01 03/14/11
HANGER ORTHOPEDIC GROUP INC DE 1.01,7.01,9.01 03/11/11
HARRIS & HARRIS GROUP INC /NY/ NY 8.01,9.01 03/14/11
HARRIS & HARRIS GROUP INC /NY/ NY 1.01,1.02,9.01 03/11/10
HAWAIIAN ELECTRIC INDUSTRIES INC HI 8.01 03/11/11
HAWAIIAN HOLDINGS INC DE 7.01 03/14/11
HAWKER BEECHCRAFT ACQUISITION CO LLC DE 5.02 03/10/11
HCC INSURANCE HOLDINGS INC/DE/ DE 7.01,9.01 03/14/11
HEADWATERS INC DE 1.01,2.03,3.03,5.07, 03/11/11
9.01
HEALTH CARE REIT INC /DE/ DE 8.01,9.01 03/09/11
HEALTH NET INC DE 8.01,9.01 03/14/11
HEALTH NET INC DE 7.01,9.01 03/14/11
Heckmann CORP 4.02 03/14/11
Heckmann CORP 7.01,9.01 03/14/11
Heritage Financial Group Inc MD 7.01,9.01 03/14/11
HIBBETT SPORTS INC 1.01,5.02,7.01,9.01 03/08/11
HOOPER HOLMES INC NY 2.02,9.01 03/14/11
HUMAN GENOME SCIENCES INC DE 5.02 03/14/11
INLAND REAL ESTATE CORP MD 7.01,9.01 03/09/11
INTERNET CAPITAL GROUP INC DE 5.02,9.01 03/08/11
INTEST CORP DE 8.01 03/14/11
INVESTORS REAL ESTATE TRUST ND 2.02,7.01,9.01 03/14/11
INVESTORS REAL ESTATE TRUST ND 8.01,9.01 03/14/11
ITEX CORP NV 1.01,3.03,5.03,9.01 03/11/11
J C PENNEY CO INC DE 5.02 03/10/11
K-SEA TRANSPORTATION PARTNERS LP DE 1.01,7.01,9.01 03/13/11
KEATING CAPITAL INC 7.01,9.01 03/11/11
KINDER MORGAN ENERGY PARTNERS L P DE 7.01 03/14/11
KINDER MORGAN MANAGEMENT LLC DE 7.01 03/14/11
KINDER MORGAN, INC. DE 7.01 03/14/11
KIRBY CORP NV 8.01,9.01 03/13/11
KITE REALTY GROUP TRUST MD 7.01,9.01 03/14/11
KRAFT FOODS INC VA 5.02,9.01 03/14/11
KUNEKT CORP NV 3.02 03/03/11 AMEND
KV PHARMACEUTICAL CO /DE/ DE 7.01,9.01 03/08/11
LABORATORY CORP OF AMERICA HOLDINGS DE 7.01 03/14/11
LAKESIDE MORTGAGE FUND LLC CA 2.02,9.01 03/10/11
Lawson Software, Inc. DE 7.01,9.01 03/11/11
LBI MEDIA HOLDINGS INC 7.01,9.01 03/14/11
Liberty Global, Inc. 7.01 03/14/11
Limoneira CO DE 2.02,9.01 03/14/11
LIVEPERSON INC DE 7.01,8.01,9.01 03/10/11
Loreto Resources Corp. NV 3.02 03/08/11
LPL Investment Holdings Inc. DE 2.05,9.01 03/14/11
LUBRIZOL Corp OH 1.01,8.01,9.01 03/13/11
LUMINEX CORP DE 5.02 03/14/11
MABCURE INC. NV 4.01 03/09/11
Macquarie Equipment Leasing Fund, LLC DE 8.01,9.01 03/12/11
MAINLAND RESOURCES INC. 7.01,9.01 03/14/11
MAUI LAND & PINEAPPLE CO INC HI 2.02,9.01 03/11/11
MCT HOLDING CORP 8.01 03/08/11
MEDALLION FINANCIAL CORP DE 2.02,9.01 03/10/11
MERCER GOLD CORP. NV 7.01,9.01 03/14/11
MERCURY GENERAL CORP CA 5.02 03/09/11
METALS USA HOLDINGS CORP. DE 2.01 03/11/11
MIMEDX GROUP, INC. FL 2.01,9.01 01/05/11 AMEND
MITEK SYSTEMS INC DE 5.02,9.01 03/10/11
Mobiform Software Inc DE 7.01,9.01 03/14/11
MONTPELIER RE HOLDINGS LTD 7.01,9.01 03/14/11
Monza Ventures Inc. NV 5.07 03/14/11 AMEND
MPC CORP CO 1.03,9.01 03/08/11
MTS SYSTEMS CORP MN 8.01,9.01 03/14/11
MULTI FINELINE ELECTRONIX INC 5.07,8.01,9.01 03/09/11
NATIONAL FUEL GAS CO NJ 5.03,5.07,9.01 03/10/11
NATIONAL WESTERN LIFE INSURANCE CO CO 2.02,9.01 12/31/10
Naugatuck Valley Financial Corp X1 5.03,9.01 03/10/11
NEOGEN CORP MI 5.02 03/14/11
Net Savings Link, Inc. NV 7.01,9.01 03/14/11
Neutral Tandem Inc 2.02,9.01 03/14/11
NEW ENERGY SYSTEMS GROUP NV 7.01,9.01 03/07/11
NICOR INC IL 8.01,9.01 03/14/11
Niska Gas Storage Partners LLC DE 7.01,9.01 03/14/11
Noble Corp / Switzerland V8 7.01 03/14/11
NORTEL NETWORKS CORP 8.01 03/11/11
NORWOOD FINANCIAL CORP PA 8.01,9.01 03/14/11
Novelis Inc. A6 1.01,9.01 03/10/11
OCZ TECHNOLOGY GROUP INC DE 7.01,9.01 03/14/11
OIL DRI CORP OF AMERICA DE 5.02,8.01,9.01 03/11/11
OmniAmerican Bancorp, Inc. MD 7.01,9.01 03/14/11
ON ASSIGNMENT INC DE 9.01 03/11/11 AMEND
ONCOSEC MEDICAL Inc NV 5.02 03/10/11
ONCOSEC MEDICAL Inc NV 5.03,9.01 03/01/11 AMEND
Opko Health, Inc. DE 7.01,8.01,9.01 03/14/11
ORAMED PHARMACEUTICALS INC. NV 3.03,5.03,9.01 03/14/11
ORBIT INTERNATIONAL CORP DE 2.02,9.01 03/10/11
ORTHOVITA INC 2.02,9.01 03/08/11
PAA NATURAL GAS STORAGE LP DE 7.01,9.01 03/14/11
PARAMETRIC TECHNOLOGY CORP MA 5.02 03/08/11
PARK CITY GROUP INC 7.01,8.01,9.01 03/14/11
PERMA FIX ENVIRONMENTAL SERVICES INC DE 2.02,9.01 03/14/11
PERRY ELLIS INTERNATIONAL INC FL 1.01,2.03,9.01 03/08/11
PetroAlgae Inc. DE 5.02,8.01,9.01 03/08/11
PINNACLE AIRLINES CORP DE 5.02,9.01 03/14/11
PLAINS ALL AMERICAN PIPELINE LP DE 7.01,9.01 03/14/11
Point.360 CA 1.01 03/08/11
Polypore International, Inc. 8.01,9.01 03/14/11
POSITIVEID Corp DE 1.01,3.02,3.03,5.03, 03/14/11
9.01
POTOMAC BANCSHARES INC WV 8.01 03/14/11
POWERSECURE INTERNATIONAL, INC. DE 7.01,9.01 03/11/11
Premier Power Renewable Energy, Inc. DE 2.02,9.01 03/14/11
PRESSTEK INC /DE/ DE 2.02,9.01 03/14/11
PRGX GLOBAL, INC. GA 5.02 03/11/11
PRO PHARMACEUTICALS INC NV 5.02,9.01 03/08/11
Pro-Tech Industries, Inc. NV 5.02,9.01 03/08/11
PROFESSIONAL VETERINARY PRODUCTS LTD NE 7.01,9.01 03/09/11
PUBLIC SERVICE ENTERPRISE GROUP INC NJ 7.01,9.01 03/14/11
QUALCOMM INC/DE DE 5.07 03/08/11
R F INDUSTRIES LTD NV 5.03,9.01 03/11/11
REALTY INCOME CORP MD 8.01,9.01 03/09/11
RELM WIRELESS CORP NV 5.02 03/08/11
RESOURCE AMERICA, INC. DE 5.07 03/10/11
SCIENTIFIC GAMES CORP DE 1.01,9.01 03/11/11
SCOLR Pharma, Inc. DE 8.01,9.01 03/11/11
SENTRY PETROLEUM LTD. 7.01,9.01 03/11/11
SEYCHELLE ENVIRONMENTAL TECHNOLOGIES NV 7.01,9.01 03/14/11
SHARPS COMPLIANCE CORP DE 7.01,9.01 03/14/11
SHUFFLE MASTER INC MN 2.02,9.01 03/10/11
SINOHUB, INC. DE 2.02,7.01,9.01 03/14/11
SMITHFIELD FOODS INC VA 5.02 03/09/11
Solar Power, Inc. CA 2.02,9.01 03/14/11
SOUTH AMERICAN GOLD CORP. NV 8.01,9.01 03/11/11
SOUTHWALL TECHNOLOGIES INC /DE/ DE 3.03,5.03,9.01 03/14/11
SPECTRANETICS CORP DE 5.03,9.01 03/08/11
SPEEDWAY MOTORSPORTS INC DE 5.02 03/10/11
ST LAWRENCE SEAWAY CORP DE 4.01,9.01 03/09/11
STATE BANK FINANCIAL CORP GA 5.02 03/08/11
STRATEGIC HOTELS & RESORTS, INC 7.01,9.01 03/14/11
Stream Global Services, Inc. DE 5.02,9.01 03/08/11
STREAMLINE HEALTH SOLUTIONS INC. DE 5.02,9.01 03/08/11
SUBAYE, INC. 5.02 03/10/11
SUN BANCORP INC /NJ/ NJ 7.01,9.01 03/14/11
SUNRISE SENIOR LIVING INC DE 5.02 03/11/11
SYMS CORP NJ 1.01,9.01 03/08/11
SYNERGETICS USA INC 7.01,9.01 03/14/11
TAYLOR CAPITAL GROUP INC DE 8.01 03/10/11
TECUMSEH PRODUCTS CO MI 2.02,9.01 03/14/11
TENNECO INC DE 8.01 03/14/11
TEXAS INSTRUMENTS INC DE 8.01,9.01 03/14/11
THL Credit, Inc. DE 2.02,7.01,9.01 03/14/11
THOR INDUSTRIES INC DE 2.02,9.01 03/10/11
Tianli Agritech, Inc. D8 7.01,9.01 03/14/11
TII NETWORK TECHNOLOGIES, INC. DE 8.01,9.01 03/11/11
TORCHLIGHT ENERGY RESOURCES INC NV 5.02 03/14/11
TOYOTA MOTOR CREDIT CORP CA 7.01,9.01 03/14/11
TOYS R US INC DE 1.01 03/08/11
TRANSGENOMIC INC DE 9.01 12/29/10 AMEND
TRANSWITCH CORP /DE DE 5.02 03/10/11
Travelport LTD D0 1.01,2.03,5.02,9.01 03/08/11
TRIMERIS INC DE 2.02,9.01 03/14/11
TRUESPORT ALLIANCES & ENTERTAINMENT L NV 5.02,9.01 03/11/11
TYCO INTERNATIONAL LTD V8 5.07,9.01 03/09/11
U.S. China Mining Group, Inc. NV 5.02,9.01 03/11/11
UDR, Inc. MD 7.01,9.01 03/14/11
United Health Products, Inc. NV 1.01,9.01 03/08/11
UNR HOLDINGS INC FL 4.01,4.02 02/04/11 AMEND
URANIUM ENERGY CORP NV 7.01,9.01 03/14/11
US ENERGY CORP WY 7.01,9.01 03/14/11
US FARMS, INC. NV 5.02 03/08/11
USA TECHNOLOGIES INC PA 1.01,3.02,8.01,9.01 03/14/11
Valeant Pharmaceuticals International A6 4.01,9.01 03/10/11 AMEND
WaferGen Bio-systems, Inc. 7.01,9.01 03/14/11
WASHINGTON MUTUAL, INC WA 8.01,9.01 03/14/11
WebMD Health Corp. DE 1.01,2.03,3.02,9.01 03/08/11
WEIGHT WATCHERS INTERNATIONAL INC VA 5.02 03/08/11
WELLPOINT, INC IN 7.01 03/14/11
WESCO FINANCIAL CORP CA 5.02 03/10/11
Western Refining, Inc. DE 8.01,9.01 03/14/11
White River Capital Inc IN 1.01,9.01 03/14/11
WILLIS GROUP HOLDINGS PLC L2 1.01,8.01,9.01 03/14/11
WINDSTREAM CORP DE 8.01,9.01 03/14/11
WORDLOGIC CORP NV 7.01,9.01 03/09/11
WORLDGATE COMMUNICATIONS INC DE 8.01 03/08/11
WORLDGATE COMMUNICATIONS INC DE 5.02,8.01 03/11/11
XILINX INC DE 7.01,9.01 03/14/11
Zagg INC 1.01,2.03,5.02,7.01, 03/08/11
9.01
Zoo Entertainment, Inc DE 5.02 03/08/11
Zumiez Inc WA 5.02 03/10/11
http://www.sec.gov/news/digest/2011/dig031511.htm
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